GRUNDGESTALT AND DIATONICIOCTATONIC INTERACTION
IN CHOPIN'S BALLADES
by
KAORI KATAYAMA NOLAND
A DISSERTATION
Presented to the School of Music and Dance
and the Graduate School of the University of Oregon
in partial fulfillment of the requirements
for the degree of
Doctor of Philosophy
June 2009
11
University of Oregon Graduate School
Confirmation of Approval and Acceptance of Dissertation prepared by:
Kaori Noland
Title:
"Grundgestalt and Diatonic/Octatonic Interaction in Chopin's Ballades"
This dissertation has been accepted and approved in partial fulfillment of the requirements for
the Doctor of Philosophy degree in the Department of Music by:
Jack Boss, Chairperson, Music
Stephen Rodgers, Member, Music
Timothy Pack, Member, Music
Hal Sadofsky, Outside Member, Mathematics
and Richard Linton, Vice President for Research and Graduate Studies/Dean of the Graduate
School for the University of Oregon.
June 13,2009
Original approval signatures are on file with the Graduate School and the University of Oregon
Libraries.
© 2009 Kaori Katayama Noland
III
IV
An Abstract of the Dissertation of
Kaori Katayama Noland
in the School of Music and Dance
for the degree of
to be taken
Doctor of Philosophy
June 2009
Title: GRUNDGESTALTAND DIATONIC/OCTATONIC INTERACTION IN
CHOPIN'S BALLADES
Approved: _
Dr. Jack Forrest Boss, Chair
When published 1836, Chopin's first Ballade in G minor, Op. 23, was not only
the first instrumental ballade of his own, but also the first ballade ever written without
words. Since Chopin himself never disclosed any literature behind his idea, a question
arises: how did he express the narrative nature of the Ballades in his purely instrumental
music? The purpose of this dissertation is to explore Chopin's logic and the coherence.
that governs and connects every detail of the piece and how he "narrates" without words
in his instrumental works.
I use two compositional and analytical ideas established by Schoenberg-
Grundgestalt and tonal network-to explore Chopin's compositional idea. According to
Schoenberg, the real compositional idea of tonal music is how balance is restored. The
Grundgestalt becomes the source of conflict and unity throughout the Ballades while
the story unfolds, and the balance is restored in a unique way in each Ballade. I attempt
to apply two features of Grundgestalt: functional Grundgestalt, which is responsible for
the piece's structural development, and motivic Grundgestalt, which creates thematic
development.
Another focus of the dissertation is how Chopin's excursion to the outskirts of
the tonal boundary, the manifestation of octatonic pitch collections, was created and
later assimilated into the tonal structure. Traditionally, the use of octatonic scales was
considered a tool for much later compositions, typically in the early twentieth-century
works ofRussian composers such as Stravinsky. However, recent research reveals that
the application of the octatonic scale goes back considerably farther. Chopin's use of
the octatonic scale is for the most part manifested by tonally ambiguous chords, such as
diminished 7th chords and modal mixtures, to lengthen octatonic pitch-sets already
existing in diatonic scales. Although Chopin's application of octatonic scales is subtle,
it usually relates to other sections of the piece motivically and is smoothly integrated
into his tonal scheme and graceful style of writing.
v
CURRICULUM VITAE
NAME OF AUTHOR: Kaori Katayama Noland
GRADUATE AND UNDERGRADUATE SCHOOLS ATTENDED:
University of Oregon
Mills College, Oakland, California
Ritsumeikan University, Kyoto, Japan
DEGREES AWARDED:
Doctor of Philosophy in Music Theory, 2009, University of Oregon
Master of Fine Arts in Piano Performance and Literature, 1991, Mills College
Bachelor of Arts in English Literature, 1977, Ritsumeikan University
AREAS OF SPECIAL INTEREST:
Analysis of Nineteenth- and Twentieth-Century Music
Performance of Piano Music
Music Theory Pedagogy and Piano Pedagogy
PROFESSIONAL EXPERIENCE:
Theory Instructor, Portland Community College, Portland, Oregon, 2009
Piano and Theory Instructor, Portland Conservatory, Portland, Oregon, 2005
Graduate Teaching Fellow, University of Oregon, Eugene, 1999-2004
Adjunct Piano Faculty, Community Music Institute, University of Oregon
Schoo1of Music, 1994-1997
VI
Music Instructor, Yamaha Music School, Eugene, Oregon, 1993-1994
Music Instructor, Yamaha Music School, San Francisco Bay Area, California,
1991-1993
Organ Instructor, Kyoto Conservatory, Kyoto, Japan, 1988-1989
Music Instructor, Yamaha Music School, Kyoto and Shiga, Japan, 1977-1989
GRANTS, AWARDS AND HONORS:
Graduate Research Award, University of Oregon, 2007
Alumnae Tuition Scholarship, Mills College, 1990-1991
Aspen Music Association Scholarship, Aspen, Colorado, 1990
Antonia Menaglia Scholarship, Mills College, 1989-1991
PUBLICATIONS:
Noland, Kaori Katayama. "Grundgestalt and Manifestation of Octatonic
Collections in Chopin's G minor Ballade." In Chopin in Paris: The 1830s,
ed. Artur Szklener. Warsaw: Narodowy Instytut Fryderyka Chopina,
forthcoming.
Noland, Kaori Katayama. "Grundgestalt and Diatonic/Octatonic Interaction in
Chopin's F minor Ballade." In Chopin's Musical Worlds: The 1840s, ed.
Artur Szklener, 203-46. Warsaw: Narodowy Instytut Fryderyka Chopina,
2008.
Vll
V111
ACKNOWLEDGMENTS
I would like to thank everyone on my committee for their valuable advice and
copious time devoted to reviewing my dissertation. Extensive feedback received from
Dr. Jack Boss, my advisor, was especially helpful and inspiring as I progressed through
the entire research and writing process. lowe him special gratitude for his
encouragement and continuous support. I also thank Jeanne Rouslin for notating the
Schenkerian graphs in Finale, Gary Noland for copying the examples, and Robin Rokey
for his editing and formatting skills.
to Jack Forrest Boss, my advisor
IX
Chapter
TABLE OF CONTENTS
Page
x
I. INTRODUCTION .
Past Analyses.. 3
Analytical Method and Focus in This Dissertation 18
II. G MINOR BALLADE, OP. 23 27
Overall Structure 35
Grundgestalt and Motivic Development.. 38
Tonal Network in Chopin's G Minor Ballade 47
Creating Imbalances 52
Conflict Between Minor and Major Regions in the Ballade's Early Stage 54
Manifestation of the Octatonic Scale 59
Expansion of the Submediant Region 65
Restoring the Balance 69
Conclusion 75
III. F MAJOR BALLADE, OP. 38 78
Form and Structure of the Ballade 84
Section A and the Presentation of the Grundgestalt as a Source
of Coherence 86
Chapter
Xl
Page
Reinterpretation of the Grundgestalt and Section B 96
Conclusion '" 115
IV. F MINOR BALLADE, OP. 52 120
Introduction: Background of the Ballade 120
Formal Organization and the Ballade's Hidden "Two-Key Scheme":
FM: vs. Fm: 121
The Grundgestalt and the Introduction's Tonal Problem: Implicating
F Major as the Tonic 125
Another Grundgestalt and Ambiguous Chromatic Chords in Theme I: The
Fm Chord as an Opposition and Presentation of the Octatonic Subsets 128
Grundgestalt and the Pentatonic Episode 134
More Development of the Oppositional Forces in Theme I #3 136
The Transition to Theme II in the Key of B~M, the Subdominant of FM,
Creates a Safe Haven Against the Oppositional Force 137
Theme II in the Subdominant ofF Major: Creating a Safe Haven Against
the Oppositional Force 140
Development Section: Pilgrimage Towards F Major.. 140
The Oasis in the Middle Creates a Magical Moment: The Second
Introduction in the Key of A Major and the Unification of the Conflicting
Pitches 145
Theme I in the Reprise: A Brief Encounter with FM: and the Beginning of
a New Course in the Ballade 147
Empowerment of the Oppositional Forces and Octatonic Subsets in
Theme I #4 and #5 150
The Extensive Development of the Major Theme in VI of F Minor: A
Crucial Turning Point Toward Establishing the F Minor Mode 154
Chapter
XlI
Page
Preparation for the Coda: Setting the Stage for the Decisive Battle
Between F Major and F Minor 155
Coda: A Fierce Battle, Heroic Resistance, and the Final Triumph of
F Minor 156
Conclusion 162
V. CONCLUSION 174
APPENDIX: OCTATONIC REGIONS IN OTHER REPERTOIRE
BY CHOPIN 217
BIBLIOGRAPHy 219
X111
LIST OF TABLES
Table Page
1. Formal Structure of the G Minor Ballade, Op. 23 35
2. Summary of "x' s" 47
3. Formal Structure of the F Major Ballade, Op. 38................................................... 85
4. Formal Structure of the F Minor Ballade, Op. 52 122
XIV
LIST OF FIGURES
Figure Page
1. Schenker's Graph of the G Minor Ballade 7
2. Lauri Suurpaa's Schenkerian Graph of Chopin's F Minor Ballade 10
3. Alan Walker's Examples: The Opening Theme of the Ab Major Ballade and
Its Development 13
4. Carpenter's Grundgestalt of Brahms's A Major Intermezzo 21
5. Roy Howat's Example of Octatonic Segment in Chopin's Nocturne,
Gp. 15, ]\1"0.3, Measure 77 24
6. The Octatonic Sets in Howat's Example 25
7. Karol Berger's Melodic Reduction of Chopin's G Minor Ballade 28
8. Schenker's Analysis of the First Ballade 30
9. David Witten's Example of Wedges, Modified from Witten's Example 5.7 31
10. Cavalli's Lamento Aria and Chopin's Primary Theme 33
11. Schenkerian Graph of the G Minor Ballade 36
12. Grundgestalt in the G Minor Ballade: "yl" and "x" 39
13. Theme I in the Key of G Minor and "x' s" 41
14. Bridge Theme: Suggesting a Departure from G Minor (Bb-a-G) to B Major
(Bb-Ab-G) 42
15. Theme II-a: Disordered "x's" Create a Major Region 43
Figure Page
xv
16. Theme II-B (Second Secondary Theme in the Key ofB Major) on the Pedal
Point B 44
17. Theme III and the Introduction of the Ballade: The "x + 1" Connection 46
18. Schoenberg's Chart of Regions in Major and Minor Modes 48
19. Tonal Pyramid in the Key ofG Minor Showing Regions Related to
the Ballade 49
20. Tonal Discourse of the G Minor Ballade on the Tonal Pyramid 51
21. Conflict Between Bm: and Gm: in the Introduction 55
22. Effort to Modulate to a Major Key in the Theme I Area (Mm. 32-37) 55
23. Introduction and the Transitional Section After Theme I: Restoring
the Balance 56
24. Enharmonic Exchange to Reinterpret F# (7 of the Key of G Minor) as (], (b6
of the Key ofm Major) to Establish a New Major Key Region Preceding
Theme II-a 58
25. Comparison Between Minor Scales and Octatonic Scale 59
26. Development of "x' s" and the Manifestation of the Octatonic Scale 61
27. Perceptional Connection Between "x" in the Theme II-B Area and the
Octatonic Scale Before Theme III 63
28. The Development of the Three-Note Figure "x" to Create the Manifestation
of the Octatonic Scale 64
29. Theme III in Section B and the Reinterpretation of the Pitches in
the Introduction 65
30. Transition Between Theme III and Section AI: More Reinterpretations of
Pitches Declare the Supremacy ofB Major 67
31. The Beginning of Theme II-a in Section AI: "Apotheosis" of the Theme 68
Figure
XVI
Page
32. Assimilating the Neapolitan 6th Chord in the G Minor Context in
Measures 216-217 70
33. The Resolution to a G Minor Triad to Establish Centricity 70
34. The Resolutions from E-D (6-5) and C#-D (#4-5), Which Emphasize the
Dominant D (5), and 7-1, Which Emphasize the Tonic to Establish Centricity
in the Key of G Minor 71
35. Centripetal Function in the Coda to Establish the Tonic ofG Minor. 71
36. Assimilation of the Oppositional Forces to the Key of G Minor in the Coda ........ 72
37. Harold Krebs' Schenkerian Graph Displays His Idea of "Interlocking of the
Large-Scale F-Major and A-Minor Triads" 80
38. Witten's Example Showing How the F Major Region Is Assimilated to the
A Minor Region 83
39. The Opening of the F Major Ballade, Op. 38 86
40. The Repeated Notes Without Accompaniment at the Opening ofthe Grand
Waltz Brilliante in H Major (Op. 18) 87
41. Repeated "c" Leading to Theme II in the Ab Major Ballade 88
42. Theme I in Section A: Antecedent and Consequent 89
43. Grundgestalt (C-E-F), 5-7-1, and Its Development in the Key ofF Major
in Theme I 90
44. The Retrograded Grundgestalt in Section A 91
45. Sequences in the Key of A Minor and the Key ofC Major in the
Theme I Area 92
46. Incomplete Consequent in the Key of F Major and Restated Consequent in
the Key of A Minor in Measures 26-37 93
Figure
XVll
Page
47. The Authentic Cadence in the Key ofF Major and the Gravity Towards
Tonic F in Upper Voices to Emphasize the Superiority ofF Major at the
End of Section A...................................................... 94
48. The Conflict Between F and A at the End of Section A and the Beginning
of Section B and Reinterpretation of Pitches.......... 95
49. The Retrograded Grundgestalt F-E-C As g6-5-3 in the Key of A Minor in
Section B 96
50. Conflict Created by the Reinterpretation of the Grundgestalt.............................. 97
51. Theme II and Its Harmonic Progression (Measures 46-49) 98
52. Primary Theme in the F Minor Ballade, Op. 52, and Its Chord Progression
(Measures 7-10) 99
53. Octatonic Subsets in the A Minor Context in Section B (Measures 49-53) 99
54. Reinterpretation of the Tonal Cells from the Grundgestalt 100
55. Incomplete Consequent in F Major and Restated Consequent in A Minor 102
56. Transition to the Octatonic Episode and the Motivic Transformation from
Theme I 103
57. The Octatonic Episode and the Motivic Development of "t" 106
58. Canon in Major-Oriented Section Between Octatonic Phrases 107
59. Second 8-28 (Oct. 2) and Motivic Development of"t" 108
60. Section B1: Theme II in the Key ofD Minor 109
61. Assimilation of the Dm6/4 Chord in Section B1 110
62. Hypothetical Scenario for the Dominance ofF Major 110
63. Preparation for the Coda (Measures 155-167) 111
64. Beginning of the Coda Dominated by yl(g6-5) in the Key of A Minor and
the Attempt to Establish the Key of F Maj or 112
Figure
XVlll
Page
65. More Conflict Between F and E 113
66. End of the Coda: Chaotic Battle and the Metamorphosis of Theme I 114
67. The Diminution of Theme I 116
68. Three Stages of the Development of the Ballade 118
69. The Overall Key Scheme of the Thematic Areas on the Tonal Pyramid 124
70. Tonal Cells "x", "y" and "z" in the Introduction (Measures 1-7) 126
71. G Minor Ballade (Measures 5-10) 126
72. Schenkerian Graph of the Introduction 128
73. Antecedent and Consequent in Theme I (Measures 7-12) 129
74. Schenkerian Graph of Theme I 130
75. Conflicting Scenarios: "y" in the Introduction and yl in Theme I 131
76. Modal Mixture and Referential Collections in Theme I, Phrase "a's" 133
77. Pentatonic Subsets in the Transition Between Measures 37-46 135
78. Tonal Cells "x" and "y" in Gb and H Pentatonic Scales 136
79. Motivic Relationship Between Theme I and the Pentatonic Episode 137
80. Octatoic Sets in the Transition Between Measures 46-55 138
81. Transition to Theme II-I 139
82. Theme II-I in the Key ofm Major 141
83. F Major Ballade, Op. 38, Measures 0-9 141
84. Thematic Transformation Between Measures 100-113 142
Figure
XiX
Page
85. Thematic Transformation: Contour and Rhythmic Relationship Between
the Motives in the Introduction and Theme I and Melodic Figures in
Section B, Theme I 143
86. The Second Introduction (Measures 129-134) 146
87. Modal Mixture and Octatonic Sets: Creating the Magical Moment.. 148
88. Theme I in Canon: The Dreamlike Moment and an Encounter with FM:
(Measures 135-142) 148
89. Measures 162-168: Prolongation of the F Major Chord and the Confrontation
Between A and Ah at the End of Theme I #5 151
90. Summary of the Development of Theme I #1-#5 153
91. Emphasis on D~-C in the Bass in Measures 191-196 155
92. Suspenseful Moment Before the Coda and Motivic Relationship Between the
Reprise of Theme I and the Pre-Coda Section in Measures 197-210 157
93. Emphasis on "x" and "y\>' in the F Minor Context in Measures 211-212 158
94. Chromatic Ascending Motion in the Bass Line and the Octatonic Sets in
Measures 215-216 159
95. Crucial Moment in the Coda 160
96. End of the Coda 163
97. Tonal Discourse of the F Minor Ballade's Themes 165
98. Motivic and Tonal Connection Between the F Major Ballade and
F Minor Ballade 166
99. The Perceptive Connection Between Theme I in the F Major Ballade and
the Introduction of the F Major Ballade 167
100. Prolongation of the Resolution from E Natural to F ("z") 170
101. Modal Mixture and the Octatonic Subset.. 172
Figure Page
xx
102. Structure of the Octatonic 2 Subset 7-31 in Measure 223 172
103. The Grundgestalt from the G Minor Ballade: Introduction to Theme 1.. 176
104. Theme II-a Area and Reinterpretation of the Pitches 177
105. Grundgestalt in Theme III in the G Minor Ballade: The Reinterpretation
of the Dyad B-D to Create the B Major Region 178
106. Creating a Strong Conflict by Reinterpretation of the Dyad E and F in
Theme I and Theme II in the F Major Ballade 180
107. The Grundgestalt in Theme I in the M Major Ballade and Its Thematic
Development 181
108. Grundgestalten in the F Minor Ballade 185
109. The Structure of the Melody of Theme I and Implied Grundgestalt Db-C-F...... 186
110. The Pentatonic Episode as the Antithesis to the "Deformed Grundgestalt"
in Oct. 1 (E-Bb-Db) and Theme II 187
111. The Motive of Theme I and Its Corresponding Tonal Regions: A Hidden
Repetition Between the Pitches of the Motive "a" of Theme I (C-F-E-Bb-Db)
and the Tonal Scheme of the Ballade 188
112. The Development of the Functional Grundgestalt in All Four Ballades:
Common Tonal Cells and Reinterpretation of Pitches and/or Functions 190
113. The Similarities Between the Grundgestalten in the Primary Themes of
the Ballades 194
114. Similarity in the Ambiguous Key Areas in the G Minor Ballade and the
M Major Ballade 195
115. Harmonic Connection Between the Ab Major Ballade and the
F Minor Ballade 196
116. Perceptual Connection Between the F Major Ballade and F Minor Ballade ...... 198
Figure
XXI
Page
117. Perceptual Connections Linking the F Major, Ab Major, and
F Minor Ballades , 200
118. The Tonal Discourse in the Four Ballades on Tonal Pyramids 202
119. The Exploitation of the Mediant Regions: Simplified Tonal Plan Between
the Second and Fourth Ballades 203
120. Chopin's Application of the Octatonic Scale in the G Minor Ballade 206
121. The Thematic Structure ofthe G Minor Ballade and the Octatonic Scale 207
122. Taruskin's Example of Liszt's Octatonic Application in Ce qu'on entend
sur fa montagne, 16 Before Y" 209
123. The Octatonic Ascending Motion in the F Major Ballade 210
124. Octatonic Passages and Tonal Scheme of the F Major Ballade 211
125. Prolongation of the F Major Chord and the Confrontation Between Major
and Minor in 3-3's 212
126. End of the Second Introduction and the Beginning of the "Recapitulation":
"Magically" Bringing Out the Key ofF Major.. 214
127. Octatonic Subsets Expressing the Major-Minor Conflict in the Coda 215
CHAPTER I
INTRODUCTION
Chopin composed four instrumental Ballades during his most productive years.
The first Ballade (Op. 23) was published in 1836, while the last Ballade (Op. 52) was
completed in 1842.1 The instrumental "Ballade" was Chopin's own innovation.
Although Chopin did not give any evidence that his Ballades had literary models, the
title "Ballade" itself invites speculation that his Ballades were based on specific
literature. Many scholars in the past have attempted to make connections between
Chopin's Ballades and literary ballads, especially the ones written by his countryman
Mickiewicz. However, the latest research tends to dismiss the idea that Chopin's
Ballades were based on specific works of literature, and the analytical trend has shifted
to a more theory-based approach.
If one cannot prove that Chopin's Ballades were based on specific works of
literature, then, how can one comprehend his music?
Jim Samson writes:
The title "ballade" signifies no particular programme, then, but it does
invite the listener to interpret musical relationships at least partly in the
terms of a literary narrative, even if this can only be at the level of
I Jim Samson, Chopin: The Four Ballades, (Cambridge University Press, 1992),
14; see also James Paraki1as, Ballades Without Words: Chopin and the Tradition ofthe
Instrunental Ballade (Portland, Amadeus Press, 1992), 19.
1
2metaphor. It is not so much the intrinsic qualities of the musical work
which may suggest a narrative, but our predisposition-given the genre
title-to construct a narrative from the various ways in which purely
musical events are transformed through time. Such a musical narrative
would be based on the generic character and interplay of themes, on the
transformation of conventional formal succession and on the
organization of large-scale tonal relationships?
As Samson notes in his statement above, it is possible to interpret Ballades
without reference to any specific literature. The challenge of analyzing Chopin's
Ballades is, however, how to read specific musical events without a text, and
comprehend the entire piece as a coherent entity. Any interpretation of music may be
intuitive and subjective, but a theoretical approach can become a confirmation of one's
intuition. I think it is not only gratifying but also provocative to use metaphors for
listeners, performers and even theorists in order to follow the musical discourse in
Romantic repertoire, especially Chopin's Ballades. And it is more persuasive ifthe
metaphor is based on musical logic rather than general impressions based on
perceptions from the piece.
The expressiveness and narrative character of the Ballades outgrew the
"absolute" instrumental music from the previous era, and formal archetypes alone, such
as sonata form, cannot explain all the nuances and unexpected turns specific to
Chopin's Ballades. Schenkerian analyses that reveal the large-scale harmonic discourses
of musical works are useful in so far as they bring to light the overall structures of
pieces, but they tend also to generalize the harmonic structure at large and fail to
illustrate the thematic developments and meanings of specific musical events as they
2Samson, Four Ballades, 14.
3succeed one another. The exciting aspects of the Ballades depend not only on their
large-scale structures, such as the energy that accumulates through the agency of
delayed dominant-tonic resolutions, but also on a subtle interplay of themes and
episodes on the surface level that is difficult to illustrate with middle- to background
Schenkerian graphs.
This dissertation makes an important contribution to the analytic literature on
Chopin's Ballades by doing three things: (1) it shows how the main motives become the
source of thematic development of each Ballade, (2) it exhibits how the functional tonal
cells in the main motives account for the key scheme and express the dramatic
progression of each Ballade, and 3) it examines how the octatonic collection relates to
the main motives and plays clearly defined roles in the drama. In order to isolate how
the changes in tonal context of the main motives give rise to the key areas, I will adapt
and more clearly define Schoenberg's methods of Grundgestalt and tonal network. At
the end, I will also demonstrate how the motives of each Ballade and the development
of their tonal contexts fit together into a large narrative that spans all four Ballades.
Past Analyses
Jim Samson has compiled the most extensive survey of research devoted to
analyzing Chopin's Ballades. His book Chopin: The Four Ballades includes the
majority of historical and theoretical research published on this subject from the
nineteenth century to the early 1990s. The book covers these works' historical
background as well as gives information on their various editions, public reception of
4the music, analytical trends, and other topics explored by musicologists, theorists, and
critics. The analysis of each Ballade is also a synthesis of various points of view and
touches on forms, keys, thematic materials, interpretations, and different analytical
methodologies. Although there are different approaches to analyzing the Ballades, there
are common traits in these works that engender mutual agreement: delayed V-I
resolution, emphasis on third-related key regions, and expansive codas are among them.
John Rink's article also summarizes the history of past analysis. 3 According to
Rink, there have been three phases of analytical trends in the 150 years since Chopin's
four Ballades were published. In the first phase, "narrative content" and "extramusical
programmes" were the primary focus. He quotes Jim Samson: "The nineteenth-century
critic was less interested in formulating theories than in conveying his experience of a
work directly to his readers, and the metaphor was his principal tool. In case of the
Ballades the temptation was to allow the genre title to make even more specific the
£ . 1d· ,,4customary re erences to non-mUSlca eSlgnates.
Many critics in the nineteenth century tried to discern a relationship between
Chopin's Ballades and the ballads found in literature. Some critics drew connections
between Chopin's Ballades and the works of the Polish Poet Mickiewicz. Samson
writes that Huneker, Cortot, and Bourniquel cited Schumann as a source for Chopin's
3JoOO Rink, "Review: Chopin's Ballades and the Dialectic: Analysis in
Historical Perspective," Music Analysis 13, no. 1 (March 1994): 99-115.
4Samson, Four Ballades, 34.
------ --
5
indebtedness to Mickiewicz without any written evidence.5 According to them, when
Schumann first met Chopin in Leipzig, Chopin confessed that he conceived the idea of
the instrumental Ballades from the poems by his fellow countryman.
Chopin's encounters with these poems harkened back to his youth, when, at age
sixteen, he happened to purchase a copy of Mickiewicz's Ballads and Romance at a
Warsaw bookstore.6 Impressed by Mickiewicz's work, Chopin composed music based
on one of the ballads by Mickiewicz at that time, according to Szulc, but the manuscript
was lost. Typically, critics speculate upon possible associations between Chopin's first
Ballade and Mickiewicz's "Konrad Wallenrod," and the fourth Ballade and "Trzech
budrysow.,,7 The second Ballade was sometimes referred to as both "Switez" and
"Switezianka," while the third was associated with "Undine." More common
associations, however, connected the second Ballade to "Switez" and the third to
"Switezianka." However, evidence for such connections has been scarce to nonexistent,
6Tad Szulc, Chopin in Paris: Life and Times ofthe Romantic Composer
(Cambridge and New York: Da Capo Press, 2000), 52. Huneker also writes, "That
Chopin had a programme, a definite one, there can be no doubt; but he was [a] wise
artist [and] left us no clue beyond Mickiewicz's, the Polish bard [sic] Lithuanian poems.
In Leipzig, Karasowski relates that when Schumann met Chopin, the pianist confessed
having 'been incited to the creation ofthe Ballades by the poetry' of his own
countryman." James Huneker, Chopin: The Man and His Music (New York: Dover,
1966), 156.
7Samson, Four Ballades, 34.
6giving some credence to Ehlert's claim that "Chopin narrates a story, but one which has
never taken place, except as an odyssey of the spirit."s
In addition, nineteenth-century critics did not hesitate to elaborate the Ballades
with metaphor and other emotional statements. For example, Huneker describes the fast
waltz section in B major in the first Ballade as "a capricious, butterfly existence," and
the coda, marked Presto, as "a perpendicular roar ... almost appalling."g Frederick
Nieck's expression belongs to the same category. He describes the first Ballade as "all
over quivering with intensest feeling, full of sighs, sobs, groans, and passionate
ebullitions."l0
The second phase of research on Chopin's Ballades began in the early twentieth
century. Rink summarizes this trend as "triumphs of architecture" over "the wordless
narratives of Chopin's age." He writes,
Later authors played down the "literary and programmatic associations"
of Chopin's extended works "in favor of their purely musical values, and
in particular the strength and stability of their structures," responding to
an early twentieth-century tendency to "de-contextualize the musical
work, to let it make its own statement, assign it a monadic character
whose meaning might be revealed only through analysis."]]
SSamson, Four Ballades, 35, citing Louis EWoert, Aus der Tonwelt (Berlin: B.
Behr's Verlag, 1877),298.
9Huneker, 157.
]DRink, 1a1.
!lIbid., 100.
7Hugo Leichtentritt's attempt to study Chopin's work reveals form, harmony,
phrase, rhythm, meter, and motive. 12 His approach is more objective rather than
endlessly descriptive of emotion and feeling. The most groundbreaking analytical
approach during this phase, however, was Schenkerian theory, which sheds light on the
deepest structural levels of a composition, revealing both its unity and its evolution as a
contrapuntal organism. Schenker's own graph of Chopin's G minor Ballade is a
charismatic statement that has both structural logic and beauty (see Figure 1).13 His
graph clearly shows the work's form and the importance of the ~VI region. The most
striking event in the graph is that the final descent of the melody occurs after the
structural cadence, because there is no 4. before the coda if we choose to apply as-line
for the soprano. The graph expresses the dramatic development in the coda and the end-
weighted structure of the Ballade.
5
A I I
® ® ® @ @) @@) @@)@
(n.n.) 5 4 3 i
I I
r-
I -
-~~~Jf~r rr
VI ( ) (COli'. pi.) VJ1 I
FIGURE 1. Schenker's graph of the G minor Ballade.
12Ibid., 101.
13Heinrich Schenker, Free Composition, translated and edited by Ernst Oster
(New York and London: Longman, 1979), 153.
8In the third phase, the last decades of the twentieth-century, a fusion of first- and
second-phase approaches occurred. Critics have attempted to justify subjective
interpretations of the music through theoretica110gic. One trend has been the revival of
Schenkerian analysis. For example, Harald Krebs' analysis of the second Ballade
utilizes a Schenkerian graph to explain the problem of the "two-key scheme.,,14 In his
graph, there are two Kopftone: two oppositional keys, F major and A minor,
successively interlocking with each other. This solution to Schenker's monotona1
theory, which allows only one tonic, is unique. At the end of his analysis, Krebs refers
to Mickiewicz's poem "The Switez." He writes, "If the tradition is valid, the music
renders the maidens' transformation generally by a shift from F major to A minor, and
specifically, in the final measures of the work, by the partial statement, in the new key
of A minor, of the theme previously associated with F major." Although there is no
evidence that the Ballade is based on Mickiewicz's poem, the structural and tonal
analysis proves why some critics in the past found a connection between the music and
literary ballad.
Another Schenker-inspired approach can be observed in Lauri Suurpaa's
analysis of the F minor Ballade. 15 His graphs are skillfully written, and he points out at
the beginning of his analysis that there is a massive culmination near the end and the
14Hara1d Krebs, "Alternatives to Monotona1ity in Early Nineteenth-Century
Music," Journal ofMusic Theory 25, no. 1: 1-16.
15Lauri Suurpaa, "The Path from Tonic to Dominant in the Second Movement of
Schubert's String Quintet and in Chopin's Fourth Ballade," Journal ofMusic Theory
44, no. 2: 451-85.
9entire piece is directed to it. In spite of this initial statement (with which I agree), his
attention shifts to searching for a traditional formal prototype, such as sonata or
variation form. He writes, "There are, then, no clearly drawn boundaries that would be
articulated by all formal principles underlying the work.,,16 He then chooses to write a
graph based on the sonata form with rotations. 17The final middle-ground graph (see
Figure 2) summarizes his ideas about the form of the Ballade.
Like Chopin's other Ballades, the most dramatic key in the Ballade is bVI , the
key of the second "secondary theme," placed before the final structural cadence in the
home key F minor. The b6 is also prominent melodically in the principal theme,
suggesting the direction of the piece. However, since Suurpaa's concern lies somewhere
between sonata and variation form, he hardly shows any of this important development.
His final graph displays only the repetition of the primary theme (developed via
rotation) and the bVI region is de-emphasized, and therefore it lacks excitement and
drama.
Brent Lawrence Auerbach writes, "Schoenberg, as it is well known, was greatly
distressed by Schenkerian reduction because it appears to filter out the small details
which drive music's moment-to-moment evolution.,,18 Suurpaa's initial impression of
16Ibid., 465.
17Suurpaa explains that the word "rotation" is taken from James Hepokoski and
is used to mean "cycles." According to Suurpaa, there are four cycles that start with the
main thematic material in the home key and end with a weak dominant (except the last
one). Ibid., 467.
18Brent Lawrence Auerbach, "The Analytical Grundgestalt: A New Model and
Methodology" (Ph.D diss., University of Rochester, 2005), l03.
8 16 22 23 31 57 58 66 84 113 145 151 152 160 169 194 195 202 211 218 223
10
tV) I (IV) V "II" I IV V "II" I l.-I._~IV ~ V "II" I IV (V I)
Rotations: R I R2 R3 R4
FIGURE 2. Lauri Suurpaa's Schenkerian graph of Chopin's F minor Ballade.
Source: Lauri Suurpaa, "The Path from Tonic to Dominant in the
Second Movement of Schubert's String Quintet and in Chopin's
Fourth Ballade," Journal ofMusic Theory 44, no. 2 (2000): 478.
the Ballade, especially the accumulation of the energy towards the end, must have
derived from his experience of playing the Ballade or listening to it. But in the process
ofthe reduction, it seems that Chopin's musical idea and its unique development were
buried under the concept of the prototype. I think the Schenkerian graph is an effective
tool for expressing and grasping an entire piece in a concise form. Moreover, it has the
potential to reveal the deepest level of the music's contrapuntal structure. But
Schenkerian analysis alone cannot express the uniqueness and specifics of a
composition, such as motivic development.
11
David Witten's analysis of Chopin's four Ballades is another example of a
recent approach. 19 He praises twentieth-century theorists like Hugo Riemann, Arnold
Schoenberg, Heinrich Schenker, Rudolph Reti, and Hans Keller. As a pianist, Witten is
apparently pursuing the objective of enriching performance through analytical
comprehension of the music.
In addition to objective analysis, Witten uses metaphor. He writes, "Metaphor
has been defined as the hidden unity of the cosmos, revealing its points of convergence.
Metaphor and her twin sister, analogy, facilitate our understanding in art, music, and
other modes of nonverbal communication. Though some metaphors may seem
whimsical at first, the best ones have a way of growing profound at second glance." He
further states, "Metaphors are the missing link between the analysis of music and the
performance of music.,,2o
His analysis shows the differences in energy distribution between the traditional
classical sonata form and Chopin's Ballades; Chopin's climax comes much later. Witten
is aware of the importance of the submediant region. He shows how Chopin often
elaborates.5 by chromatic motion, such as ~4-.5 and b6-.5, which Witten calls "wedges."
He also demonstrates his points by making hypothetical versions of phrases. Although I
don't agree with a few details of his analysis, I think it is valid, accurate, and appealing
to performers since he tries to mediate between theorists' desire to find logic in the
19David Witten, "The Coda Wagging the Dog: Tails and Wedges in the Chopin
Ballades," in Nineteenth-Century Piano Music: Essays in Performance and Analysis,
ed. David Witten (New York: Garland, 1997), 126-86.
2ol bid., 11.
12
music and performers' need to comprehend the music in a way that enhances their
artistic expression.
Alan Walker's analysis of the opening ofthe third Ballade seems to be inspired
by Schoenbergian analysis.21 Although he does not use the word Grundgestalt, his
example (see Figure 3) displays "basic shapes" at the opening that are essential to the
motivic development in the later thematic materials. His model is a melodic one, and he
does not mention tonally functional elements ofthe Grundgestalt that become an
important issue for some later analysts.
For the analysis of a single Ballade, some notable studies by other theorists have
become available in recent years. Michael Klein's analysis of the fourth Ballade, in
which he applies Robert Hatten's semiotic theory, is one of them.22 In his approach, the
narrative of Chopin's Ballade is uncovered not by mapping the existing text to the
music or seeking a sequence of actors and actions, but by following the expressive
states based on the narrative logic presented in the music itself. His analysis highlights
the secondary theme in the recapitulation as a desired emotional state using the idea of
"apotheosis" established by Edward T. Cone. In Klein's diagram, the apotheosis leads
to the tragic coda, which together forge the climax of the piece.
21 Alan Walker, "Chopin and Musical Structure: An Analytical Approach," The
Chopin Companion, ed. Alan Walker (New York: W.W. Norton, 1966),227-58.
22Michae1 Klein, "Chopin's Fourth Ballade as Musical Narrative," Music Theory
Spectrum 26 (2004): 23-55.
13
A. AJ, major Ballade, mm. 1-2:
Allegretto
r-I---x.,,------,
y
B. A~ major Ballade measure, mm. 13-17:
9
"
t:
-." F'"i Fi
,"' II ...
f r~ ~I
~ r- ;t - ~
I b~
FIGURE 3. Alan Walker's examples: The opening theme of the A~ major
Ballade and its development. Source: Adapted from Allen Walker,
"Chopin and Musical Structure: An Analytical Approach," in The
Chopin Companion: Profiles ofthe Man and Musician, ed. Alan
Walker (New York: W.W. Norton, 1966),236-37.
Klein writes,
With regard to the Fourth Ballade, we ask why the apotheosis makes a
sudden affective turn; why the pastoral topic is marked for apotheosis;
why the waltz is the opening topic; we ask if these topics cohere; if the
surface signifies temporality; if the action unfolds before our eyes; or if a
narrator frames the action. I have tried to answer these questions by
14
mediating between my intuitions and the music's structure. In particular,
I have borrowed semiotic theories by Hatten and Monelle to understand
how this music signifies.23
Most performers follow their intuition when they interpret music. They
intuitively "know" the music, and by dint of their interpretive prowess, their
performance delivers the music to the audience. The general image of music theory,
however, is more scientific, or objective. Theorists try to encode the music in order to
find logic and coherence in it. While performers move the audience emotionally,
theorists satisfy their curiosity. But is there any middle ground between performance
and analysis?
According to Alan Walker, "There is an essential difference between description
and analysis. Description tells you what is there. Analysis attempts to tell you why it is
there.,,24 His statement clarifies the evolution that occurred in the analysis of Chopin's
music between the nineteenth and twentieth centuries. Klein's words "mediating my
intuitions and music's structure" represent a more recent trend of the late twentieth
century. As David Witten has advocated, there are some efforts to connect performance
practice and analyses.
Dorota Zakrzewska's analysis "Alienation and Powerlessness: Adam
Mickiewictz's Ballady and Chopin's Ballade" is one of the studies that tries to
understand the music from a historical and cultural point of view. It also spotlights the
23Klein, 52.
24Walker,227.
15
connection between Mickiewicz's ballads and Chopin's second Ballade?5 Zakrzewska
states that the Polish exiles experienced "intense and disturbing emotions-alienation,
powerlessness, and morbid anxiety-all easily connected to the ideology of the Polish
emigration in Paris in the 1830s," as expressed in Mickiewicz's poems.26 She agrees
with the connection between ideology and the narrative works posited by Karol Berger.
Zakrzewska also finds similarity in the structures of Mickiewicz's ballady and
Chopin's second Ballade. She writes,
On the most obvious level, the form of Ballade no. 2 reveals its
similarities to the structure of its literary counterpart. Both the large-
scale and local level form of the work corresponds to the main
characteristics of the literary ballad's syntax with its characteristic
stanzaic structure (often with some kind of refrain), patterns of
repetitions and variation, usually regular length of lines and rhythm
distribution, and frequent use of framing technique.27
Regarding the Ballade's "two-key scheme," she interprets the weakness ofF
major as the powerlessness of Polish immigrants. At the end of the Ballade, "The theme
is never allowed to return to its home key after the expressive rest in m. 8, and
concludes its tonal pilgrimage in a main key of the second theme rather than its own.,,28
25Dorota Zakrzewska, Alienation and Powerlessness: Adam Mickiewicz's
Ballady and Chopin's Ballade", Music Research Forum 15 (2000).
26Zakrzewska, 31.
27Ibid., 58.
28Ibid., 69.
16
Wai-Ling Cheong focuses on the "two-key scheme" of Chopin's second
Ballade.29 She states that Schenker adhered to the idea of monotonality more rigidly
than Schoenberg, although the term "monotonality" was established by Schoenberg.
Cheong writes, "Despite the assertion that 'there is only one tonality in a piece,'
Schoenberg, unlike Schenker, does not regard 'monotonality' as the essential "truth' of
music. For him, the 'principle of monotonality' is only one ofthe possible options." I
see substantial validity in Cheong's interpretation of the conflicting statements found in
Structural Functions ofHarmony and Theory ofHarmony by Schoenberg. In the
former, Schoenberg writes on tonal music with a clear tonal center, and in the latter, he
talks about more possibilities of breaking rules traditionally followed in tonal music.
Cheong writes, "monotonality is a deep-rooted convention for music from the
cornmon practice period. As Chopin's Gp. 38 comes to end in a minor key that lies a
major third above the original tonic, an effect of being left hanging is created. It is
important to realize that such an effect is only achievable if it is heard against a
monotonal background.,,3o She concludes that avoidance of the monotonality is a
negative way of confirming it.
The above literature review reveals various approaches to the analysis of
Chopin's Ballades. As Rink pointed out, the recent trend of research bridges between
our emotional reaction to the music typically elaborated in nineteenth-century literature
29Wai-Ling Cheong, "Structural Coherence and the Two-Key Scheme: A Study
of Selected Cases from the Nineteenth Century" (Ph.D. diss., Lucy Cavendish College,
University of Cambridge, 1988).
30Cheong,61.
17
and the logical explanation of all the musical events in Chopin's Ballades. My approach
to the Ballade also follows recent trends. As David Witten's analysis is aimed towards
performers, I would like to find logic in the music that coincides with my own
interpretation as a performer or listener.
I presented my papers on Chopin's G minor Ballade and F minor Ballade at the
International Chopin Conference in Warsaw (organized by the Fryderyk Chopin
Institute) in 2006 and 2007, respectively. After my presentation of the F minor Ballade
at the 2007 conference, Rink asked me how my detailed analysis of the Ballade relates
to my performance. I think my analysis is the confirmation of my intuition, and while a
great masterpiece offers so many different interpretations, there is a strong desire
among theorists to interpret music based on their own intuition just as all pianists have
their own interpretations based on their own intuition.
During the conferences, I had the privilege of listening to presentations based on
the latest research by leading Chopin scholars. There were many papers given from an
historical perspective, but few from a purely theoretical perspective. There seems to be
a prevailing opinion among theorists that, in theoretical terms, Chopin's music is
relatively conservative, even though his endeavors in pianism are highly regarded. I
think, however, that many of Chopin's subtle innovations are hidden in his graceful
style of writing. These occult theoretical nuances motivated my analytical approach to
Chopin's Ballades with the purpose ofrevealing their Grundgestalten and octatonic
scales.
18
Analytical Method and Focus in This Dissertation
Now I would like to focus on my analytical method. My idea to apply
Schoenberg's notion of the Grundgestalt to Chopin's Ballades evolved from my other
projects on the music of Arnold Schoenberg. I analyzed a few compositions by
Schoenberg, including his atonal work "Hanging Gardens" and his twelve-tone
composition "String Quintet, Op. 26," before I chose to work on Chopin's music.
Schoenberg's compositional path from tonality to atonality to twelve-tone music was
one of the most influential and radical aesthetic phenomena of his era, but it was also a
result of his beliefthat one single idea, or Grundgestalt, governs all good music. The
twelve-tone method was the ultimate expression of his ideas because a single twelve-
tone row and its intervallic equivalents can be repeated throughout a piece. Thus, the
single row becomes the source of an entire piece, creating both opposition and
coherence.
When I analyzed the first movement of Schoenberg's Op. 26, I realized that not
all twelve tones are given equal emphasis; some pitches or intervals are emphasized and
others are de-emphasized, and by shifting the emphasis, the piece has different themes,
phrases, harmonies, and its own unique structure. When I looked at the G minor
Ballade, I noticed that Chopin's idea was economical, and certain pitches or intervals
were reinterpreted to create different themes and/or specific tonal structures. I decided
to apply Schoenberg's analytical method to my dissertation on Chopin's Ballades.
In this dissertation, I explore how the Grundgestalt or Gundgestalten unify the
Ballades tonally, harmonically, and thematically. Before I discuss how I apply the idea
19
of Grundgestalt to my analysis, I would like to define what Grundgestalt is and how
other Schoenbergian theorists used the idea.
According to 10sefRufer, Schoenberg started using the term Grundgestalt
around 1919.31 Although Schoenberg wrote several theory textbooks during his life, the
idea of Grundgestalt remained rather obscure. Schoenberg struggled with the idea of
unifying means, but it seemed to keep evolving side by side with his innovative twelve-
tone composition technique. In his letter to 10sefMatthias Hauer in December 1923,
Schoenberg wrote,
Probably the book to be entitled "The Theory of Musical Unity,"
originally planned about ten years ago, often sketched out and just as
often scrapped, time and again newly delimited and then again enlarged,
will in the end have just the modest title: "Composition with Twelve
Notes." This is as far as I have got in the last approximately two years.
32
Some of Schoenberg's students---e.g., Rufer and Patricia Carpenter-wrote on
the Grundgestalt, but they have presented some conflicting ideas. Hali Annette
Fie1dman examines several Grundgestalt analysts in her dissertation "The Grundgestalt
and Schubert Sonata Forms." Both Rudolph Reti and Alan Walker claim that the "basic
shape" is responsible for the development of music from its surface to deeper levels,
31Hali Annette Fieldman, "The Grundgestalt and Schubert Sonata Forms"
(Ph.D. diss., University of Michigan, 1996),61; see also Auerbach, 53.
32Arnold Schoenberg, Arnold Schoenberg: Letters, edited by Erwin Stein (New
York: St. Martin's Press, 1965), 104.
20
including the key areas.33 However, Fieldman comments that both studies are
unsystematic and do not support their claims.34 According to Fieldman, Hans Keller's
"Functional Analyses" and Walter Frisch's study of Brahms focused on more local
levels ofmotivic development instead oflarge-scale influences like the Grundgestalt.
Brent Lawrence Auerbach also acknowledges in his extensive dissertation that it
is difficult to define the term Grundgestalt. He writes,
Schoenberg regarded the Musical Idea as the pinnacle of his theory, yet
never finished the treatise describing it. And while Schoenberg's ideas
pervade and influence modern musical thought--consider the extent to
which we accept his views on motives and the historical trend towards
"emancipation of dissonance"-his ideas have never been corralled
within the confines of a single tight, analytical system.35
He concludes, "where Schoenberg's prose becomes less reliable-later discussion will
show how often he is unclear and unsystematic in his terminology-we must rely on the
accounts of his students.,,36 However, the students' accounts conflict with each other
partly because Schoenberg's teaching was not consistent. Auerbach concludes, "The
seemingly limitless analytic potential of the Grundgestalt has impelled theorists to
33Fieldman cites the following studies: Alan Walker, A Study ofMusical
Analysis O"Jew York: Free Press of Glencoe, 1962); Rudolph Reti, The Thematic
Process in Music (New York: Macmillan, 1951).
34Fieldman, 65.
35Auerbach, 8.
36Ibid., 11.
21
continually push it in new directions, regardless of their intentions to remain faithful to
the letter of Schoenberg's theories.,,37
Most of the Schoenbergian analysts, such as Epstein, have focused on the purely
melodic Grundgestalt. In addition, the Grundgestalt was supposed to be apparent at the
beginning of a piece. Significant advancement was made by Patricia Carpenter, who
was one of the last disciples of Schoenberg. Auerbach says that Carpenter's major
contribution was that Grundgestalt is perceived vertically and polyphonically. His
example of Carpenter's analysis of Brahms's A major Intermezzo (see Figure 4)
demonstrates that Carpenter's Grundgestalt is taken from the polyphonic structure of
the music.
FIGURE 4. Carpenter's Grundgestalt of Brahms's A major Intermezzo. Source:
Brent Lawrence Auerbach, "The Analytical Grundgestalt: A New
Model and Methodology Based on the Music of Johannes Brahms"
(Ph.D. diss., Eastman School of Music, University of Rochester,
2005),97.
Since my own analysis of Chopin's Ballades partially derives from Carpenter's
analytical idea, I would like to summarize her concept of Grundgestalt. Carpenter
37Ibid., 103.
22
writes, "by Grundgestalt or 'basic shape,' I mean the concrete, technical aspect ofthe
idea.,,38 She exhibits her notion of the Grundgestalt in the analysis of Beethoven's
Appassionata, op. 57, which, according to Carpenter, Schoenberg used to demonstrate
the unity of the horizontal and vertical implication of the idea." She states that three
technical features of the Grundgestalt are motive, harmony and tonality. Grundgestalt
works as a "germ" that grows throughout the entire piece, and it is considered as the
"smallest common multiple" that includes elements of every subsequent musical
figure-and the "greatest common factor" included in every subsequent figure.
Grundgestalt in tonal music is responsible for the specific tonal discourse in the
preexisting tonal network, in which the tonal instability or unrest is finally restored at
the end of the piece.
I will use both horizontal and vertical Grundgestalten in my analysis of
Chopin's Ballades. If the Grundgestalt embodies the totality of a piece, it has to
generate not only a motivic development but also the tonal structure and harmonic
progression as well. There have been some analysts, such as Alan Walker and Anatoly
Leikin, who demonstrated a "basic shape" in Chopin's Ballades, but their idea of
Grundgestalt was limited to motivic development in different thematic areas at most. In
order to display the tonal discourse of the Ballades, I will use a tonal pyramid that
exhibits my own idea of tonal network and its hierarchy, instead of Schoenberg's Chart
of the Regions.
38Patricia Carpenter, "Grundgestalt as Tonal Function," Music Theory Spectrum
5 (1983), 15.
23
Another objective of this dissertation is to investigate Chopin's application of
octatonic scales. My idea for this aspect of the dissertation materialized from playing
Chopin's G minor Ballade. I always sensed that there was a tonally unstable region
containing a strange scale in the middle of the piece. Then it dawned on me one day that
it was an octatonic scale. But how could there be an octatonic scale in Chopin's music?
We associate the octatonic scale with Russian composers such as Scriabin, Rimsky-
Korsakov, and Stravinsky--or Bar6k and Debussy.
I examined the score carefully, and there were eight pitches from a full octatonic
scale, which suggested that Chopin's use of the scale was intentional. Since the G minor
Ballade was published in 1836, the composer may already have had some exposure to
the octatonic scale in France. I was curious to see if Chopin made use of octatonic
passages in his other compositions, and to ascertain the extent to which he employed
them ifthere were any. I also wondered how the octatonic segments contributed to the
unifying idea of the Ballade and how they related to the rest of the piece.
Anatoly Leikin pointed out the exposure of the octatonic scale in the G minor
Ballade, but he did not investigate how the octatonic scale relates to the rest of the
piece.39 Roy Howat's research shows Chopin's influence on later composers' works,
such as Faure, Debussy, and Ravel.4o Howat writes, "Chopin was also something of a
39Anatoly Leikin, "The Dissolution of Sonata Structure in Romantic Piano
Music (1820-1950)" (Ph. D. diss., University of Califomia, Los Angeles, 1986),237.
40Roy Howat, "Chopin's Influence on the Fin de Siecle and Beyond," in The
Cambridge Companion to Chopin, ed. Jim Samson (Cambridge: Cambridge University
Press, 1992),246-327.
24
pioneer with the octatonic scale (of alternating tones and semitones).... Debussy and
Ravel are more often credited as innovators in this field, yet one of Debussy's clearest
octatonic passages, in 'Jardins sous la pluie' of 1903, is essentially just [Figure 5] in
reverse. ,,41
77 q~~ b~~ ~.~~A I lU~ L~~ ,~ H.
..
'" -
-~ JI"
rT ~., ..
\.
•
< :::::=-- ===-=-
~ I ~
4iT= ,,-:.;;;:
~ = -= ;.."'" '.rT ~ '" • -y-11 H III" •
t n~ v_~
FIGURE 5. Roy Howat's example of octatonic segment in Chopin's Nocturne,
Op. 15, No.3, measure 77. Source: Roy Howat's "Chopin's
Influence on the Fin de Siecle and Beyond," in The Cambridge
Companion to Chopin, ed. Jim Samson (Cambridge: Cambridge
University Press, 1992), 275.
Since Howat does not analyze the passage below, I added rectangular boxes to
his example to show how this passage is structured (see Figure 6). The passage consists
of descending diminished 7th chords. Each box has two adjacent diminished 7th chords
related by a half-step, creating a full octatonic set 8-28. There is a whole step in the
41Ibid., 275.
25
bass-line between the boxes, which creates a descending octatonic 2 scale42 horizontally
in different voices, except in the top voice.
8-28 (oct.2)
r---------
1 I
I
8-28 (oct.2) 8-28 (oct.2)
1- - - - - - - - - , r - - - - - - - - - - -
I
I:I#!-~ ::b~~ I I77 I;~.~~ I:q~.~ I.~!- :', ~ H. I~ I I
H I.- ,H ., I
h • '"
I.-
If
" v
W
• , II I II II I I
< I ::::::=-- II I :0::::=- I.I II 1 I
~ I I II I I~ I
-
"' ....,..
........ ,..
lIm '1-
-.: IJ rr .. 'h .... H-
t I Ir~1 ~-~_:
-------
-~------______ I
FIGURE 6. The octatonic sets in Howat's example.
Howat's article displays several examples of Chopin's octatonic segments and
comparisons between Chopin's and later composers' use of the collection. However, he
does not investigate what type of octatonic scale is used, how the octatonic segment is
brought out, how the octatonic section relates to the rest of the piece, or how much
historic significance Chopin's octatonic application has, compared to other composers
who used octatonic scales in their compositions. In my analysis, I will seek answers to
the above questions. I will analyze the first, second and fourth Ballades, which have at
least one notable octatonic application, and focus on Grundgestalt and the manifestation
42There are three transpositions of the octatonic scale, and I will identify them
by octatonic 0, octatonic 1, and octatonic 2. Octatonic 0 scale consists of 0134679T,
octatonic 1 consists of 124578TE, and octatonic 3 scale consists of 23 5689EO (O="C,"
l="C#/Db," 2="D," etc.).
26
of octatonic scales in those pieces. In order to identify the octatonic pitch sets, I will use
pitch-class set numbers (such as 7-31) established and used by Allen Forte and others.43
431 will use pitch-class set numbers in order to measure the size of the octatonic
pitch set rather than discussing the nature of the components of the pitch-class set or
finding relationships between the octatonic pitch sets; for example, the pitch set number
7-31 indicates that 7 pitches are drawn out of 8 pitches from a single octatonic
collection. The larger the cardinal number is, the more pitches the pitch set has. A full
octatonic scale is 8-28, which consists of all 8 pitches. I used the Simplified Set List.
See Joseph N. Straus, Introduction to Post-Tonal Theory, 2d ed. (Upper Saddle River,
NJ: Prentice-Hall, 2000), appendix.
27
CHAPTER II
G MINOR BALLADE, OP. 23
When published in 1836, Chopin's Ballade in G minor, Op. 23, was not only the
composer's first instrumental ballade, but also the first ballade ever written without
words. l Mendelssohn's "Songs Without Words" had already been published in 1835,
but Chopin's Ballade was a much more substantial and ambitious work in the Romantic
piano repertoire.2The free narrative form of this Ballade3is Chopin's own invention,
and its rhapsodic nature stimulates the listener's imagination.
There have been a few published analyses on the G minor Ballade in past
decades. In his analysis "The Form of Chopin's 'Ballade,' Op. 23," Karol Berger writes,
"The main challenge facing a composer of a relatively long and complex work is that of
continuity."4 He further writes, "Once they assume that they are dealing with a single
work, performers and listeners must attempt to determine ... how the whole is divided
lOp. 23 was published in various editions in 1836, and some of them had titles
like "Ballade ohne Worte" ("Ballade Without Words"). See James Parakilas, Ballads
Without Words: Chopin and the Tradition ofthe Instrumental Ballade (Portland:
Amadeus Press, 1992) p.19. Chopin, who was fascinated by the Polish poet
Mikiewicz's Ballad and Romances, had already composed and published a vocal work
to one of Mikiewicz"s ballads in 1826, but Op. 23 is Chopin's first instrumental ballade
among four that he composed during his lifetime. See Szulc, 52.
2According to Parakilas, Gottfried Wilhelm Fink (1783-1846) wrote, "We have
songs without words; why shouldn't we have ballades without words as well? Anyway,
the newer music loves to compose stories in sound." Parakilas, 19.
3Chopin told Schumann that he was "incited to the creation of the ballades by
the poetry" of his fellow countryman. However, Chopin never disclosed the program of
the ballade. See Huneker, 156.
4Karol Berger, "The Form of Chopin's 'Ballade,' Op. 23," Nineteenth Century
Music 20, no. 1 (1996): 46-71.
28
into parts and what function each part has in making up the whole. And once they
assume that the work is narrative, they must then look for the relationship of causing
and resulting among the parts." Then Berger focuses on the varying strength of the
cadences that punctuate the piece.
Berger also analyzes the G minor Ballade's melodies in reductive form to
emphasize certain characteristics in its thematic material--e.g., the "sigh motive"
evident in the falling seconds (see Figure 7).
in g
Example 2: Ballade, mm. 9--36, reduction.
~ H U ~ ~ ~ a «
;i:b~--'" '-..,.oA%~···.-.. i.ji. • •• 51- .
ing
Example 3: Ballade, mm. 36-44, reduction.
FIGURE 7. Karol Berger's melodic reduction of Chopin's G minor Ballade.
Source: Karol Berger, "The Form of Chopin's Ballade, Op. 23,"
Nineteenth-Century Music 20, no. 1 (1996): 58.
Berger's idea of melodic reduction is similar to Schenker's mode of structural
analysis, which focuses on a work's foreground, middleground and background, but
Berger's method of harmonic and melodic analysis tends to linger at the surface level.
Sometimes, he seems to get lost in the foreground of the melody. For instance, Berger's
example 2 in Figure 7 presents neither the structural hierarchy ofpitches nor the
melodic direction. Moreover, his melodic reduction does not have any harmonic
support. He extols "the threads provided by a single sigh motif, which generates with
29
astonishing economy the essential motivic substance of the work."s It is true that the
dyad he describes as a "sigh motive" is used in various sections ofthe piece, but how
does it contribute to the music on the structural level? Are certain pitch collections in
specific "sigh motives" more prominent than others? In my analysis, the most important
descending dyad is "B-D," which, in terms of crucial meaning, towers over the dyads
that Berger emphasizes.
Berger also emphasizes
the obsessive focusing on a single pitch, C, which maintains its identity
even through the changes of undedying keys and which, as the opening
pitch of the Dr-motif C-Bb, generates the expectation of the structural
melodic descent from the fourth to the first scale of the main key. The
expectation is repeatedly frustrated, and the work concludes instead with
a climactic, catastrophic-heroic reversal of the structural melody's
direction, that is, with an ascent from 4-1 in mm. 230-50.6
It is true that the structural 4 is missing throughout the piece until the coda. This forces
the final descent in the soprano, 5-4-3-2-1, to be delayed until the end of the coda in
Schenker's famous graph of the Ballade, while the structural V7 is resolved to I at the
beginning of the coda (see Figure 8). This delay of the final descent, instead of the
ascent that Berger points out, symbolizes the unusual intensity and importance of the
final moments in the Ballade and it differentiates the Ballade from the traditional sonata
form.
Not only does Berger miss the soprano's structural descent 4-3-2-1 in the coda,
but he also overlooks the coda's logical resolution of the ambiguous Neapolitan chord
(mm. 216-217 and 226-227) found in the opening of the Ballade. Although Berger
5Ibid., 66.
6Ibid.
30
® ® ® @§ @@ @@)@
5 (n.n.) . .- . .5 J 2
A I I I I
---=-'
ItJ "~r
L4<
r- --~~ ~Jr~T r-r
1- VI ( ) (CO"". pil) V" I
FIGURE 8. Schenker's analysis of the First Ballade. Source: Jim Samson,
Chopin: The Four Ballades (Cambridge: Cambridge University
Press, 1992),48.
describes general structural idiosyncrasies such as the prominence of the coda, his
analysis does not fathom the deepest level of the work's structural and tonal coherence.
He states in the conclusion that "These essential threads of narrative continuity
would remain undiscovered without reaching below the surface and reducing the
melody phrase by phrase. Reduction of this sort does not have to go very deep...."7 His
focus is limited to the melodic figures without harmonic support, and one can easily
miss the structural and tonal hierarchy when one focuses only on the melodic figures. It
also seems insufficient to focus only on cadences when analyzing musical forms. We
need to focus on the key areas. For example, there is a strong emphasis on VI (B major)
in the G minor Ballade's secondary theme areas, but Berger's analysis hardly mentions
it.
David Witten's analysis of the four Ballades is a synthesis of traditional tonal
and harmonic analysis and some Schenkerian analysis. He points out the delayed
dominant-to-tonic resolution and the importance of the submediant key, an
7Ibid., 67.
31
interpretation that coincides with the reading of Jim Samson, and others. Witten also
mentions the half-step motions, which he calls wedges, frequently observed in Chopin's
music to embellish important structural notes---e.g., .5 is emphasized by b6 and #4 (see
Figure 9).
v
/
v
FIGURE 9. David Witten's example of wedges, modified from Witten's
example 5.7. Source: David Witten, "The Coda Wagging the Dog:
Tails and Wedges in the Chopin Ballades," in Nineteenth-Century
Piano Music: Essays in Performance and Analysis, ed. David
Witten (New York: Garland, 1997), 124.
The idea of wedges is applied to various areas in the Ballade, including the
introduction and the coda. In Witten's example, the controversial B (b6) in the inner
voice at the end of the introduction is resolved to .5 at the beginning of the primary
theme area. However, this resolution is interrupted by the rest and the tempo change,
and it is only implied. In my analysis, the resolution from b6-.5 is established by analogy
much later in the piece. The missing link between b6-.5 is the main plot of the drama that
gradually unfolds.
Anatoly Leikin's dissertation "The Dissolution of Sonata Structure in Romantic
Piano Music (1820-1850)" points out the motivic relationship between the primary
32
theme and the secondary themes in the Ballade.8They are in arch forms and start from a
weak beat and land on a downbeat with a long value.
Another contribution of Leikin's analysis is the connection between the
descending seconds in the primary theme area and the lament motive that originated
from the seventeenth-century Italian lamenti. According to Leikin, Valentina Konen, a
prominent Russian musicologist, called a descending trochaic second the "sorrow" or
lament motive (see FigureIO). Although it became a trend to include lament in opera in
mid-seventeenth-century Italy, it gradually disappeared from operas at the end of the
seventeenth century. However, this particular gesture and its implication of sorrow was
adapted in instrumental music by later composers, including Bach, Mozart, and
Beethoven.
Leikin also mentions the phrase containing the octatonic scale: "these
augmented rhythmic patterns are placed in the lower melodic voice that contains
perhaps the earliest example of the octatonic (semitone-tone) scale in Romantic music.,,9
Since Leikin does not elaborate further on the octatonic segment, I will show how the
octatonic pitch collection is generated and how it relates to the rest of the Ballade.
One tendency of recent analyses is to focus on structural and hierarchical forms.
Other theorists-e.g., Schenker and his followers-have already provided a fairly clear
view of the G minor Ballade's structure and architectural significance. Although
Schenker's graph is strikingly beautiful in its concise view of the Ballade's entire
structure, there is a danger in overgeneralizing the significance of a particular form or
overlooking significant motivic details that have special meaning. Instead of arguing
8Leikin,230-62.
9Ibid.,236-37.
33
A. Cavalli's Gli amori d'Apollo e di Dafne
- .,
B. Primary theme from Chopin's G minor Ballade
1
•
~ I
"
!lr
~'-
-.:
... 11
I
~ "'-~'l'
J.
.
~.
•
•
5
0_0
~. • b.;)•
1
. .
--
• Tw.•
." ...
'--'
...
0"-,,,,0
FIGURE 10. Cavalli's lamento aria and Chopin's primary theme. Source:
Anatoly Leikin, "The Dissolution of Sonata Structure in Romantic
Piano Music (1820-1850)" (Ph.D. diss., University of California,
Los Angeles, 1986),243 and 242, respectively.
34
whether the Ballade is based on the sonata form, I am more interested in demonstrating
how the motives or themes-or, more specifically, the Grundgestalt---eontributes to
Chopin's structural design. Karol Berger tries to illuminate the narrative of the Ballade
by focusing on the surface-level motives, but he does not attempt to explicate how the
motives contribute to the formal design. In my view, a deeper comprehension of the
music requires a focus on both foreground and background. I believe the unity is
evident in the logical development of the single idea that exists in both the foreground
and background. As my analysis contends, a seed is planted at the beginning of the
Ballade, and the narrative of the Ballade occurs when the seed starts to grow. My
analysis focuses on how the drama unfolds through the growth of the seed throughout
the piece.
As mentioned in the introduction, I will use two compositional and analytical
ideas established by Schoenberg, Grundgestalt and tonal network, to explore Chopin's
compositional idea in the Ballade. According to Schoenberg, the real compositional idea
of tonal music is how balance is restored. 10 The problems created at the beginning of the
piece are eventually solved. The tonic conquers all the foreign elements and restores its
governing power to conclude the piece. I employ a "tonal pyramid" to illustrate the
tonal scheme and hierarchy within the Ballade's pre-existing tonal network. In addition,
a Schenkerian graph is used to display the work's thematic and motivic relationships at
different levels of its musical hierarchy. I also examine how Chopin's excursion to the
outskirts of the tonal boundary, his manifestation of octatonic pitch collections, is
created and later assimilated into the tonal structure.
!OSee Arnold Schoenberg, Style and Idea: Selected Writings ofArnold
Schoenberg, ed. Leonard Stein, trans. Leo Black (Berkeley and Los Angeles: University
of California Press, 1975), 123.
35
Overall Structure
Before I explore the details of the development of the Grundgestalt, I would like
to present the structure of Chopin's Gm Ballade by employing a diagram of the piece
(Table 1) and a Schenkerian graph (Figure 11), both of which should foster better
comprehension of the work as a whole. The entire piece can be divided into several
distinct sections: introduction, A, B, AI, and coda.
TABLE 1. Formal Structure of the G Minor Ballade, Op. 23
Cirundgestalten
Section Measure Theme Key (x and l) Remarks
intra. 1-/ Ambiguous B-(D) N' at lim: tollowed by
ambiguous chords
Unresolved m
A lS-J) Theme 1 lim: Bb-A-G
36-0/ tlndge Theme lim: Bb-A//Bb-A~-G
M-lS2 Theme 11-a HM:+BbM: F-G-H/C-D-Bb
S2-1J4 Theme 11-b HM: G-A~-Bb Pedal point on m
m-O-Bb
J:S 94-10S Theme 1 Am/b C-tl-A Pedal pomt on J!:
lUo-l:L) Theme ll-a AM:+bM: B-C~-A/F#-G#-E
l:L)-1J1 O-C# ........ uctatolllc 1
UlS-loo Theme 111 HM: (C)-Bb-A~-G
A' 100-lSO Theme 11-a HM:+BbM: F-G-H/C-D-Bb
IlS0-193 Theme 11-b HM: G-A~-m Pedal point on E~ I
I1J4-2UlS Theme 1 lim: Bb-A-G Yedal pomt on U ~
Coda :LOS-2M lim: H-D N -v -I~lim:)
Bb-A-G Strong resolution to
tonic Gm
*Colon signifies that the key is established as a region.
--------------- -----
36
Int,rQ..-.ir-- --!>ts~ec~ti:.l.lonl..1A~ ___.II.....---------
--'" ----
\
Theme I Bridge Theme Theme \l-a Theme \l·b Theme I Thane 11-.
I , )4 6t I~ 901 106
\ ~
-. DlI • bJ~~
'-''-r-t-A---/ •\,
VI .~ ng Ijyll ii.
'
'\14 lJ _
G A
G A
FIGURE 11. Schenkerian graph of the G minor Ballade.
Seerian B
~..
Ii Section A' ,i Coda
37
w----I~
-------
l
,-----,
\,.
~ 6 I~L--[ ,.---."nrt ,....u.L..., ," - r-7"'"'<I ~
tp" Y I.--.,r--J ,\..:..I, ........., ""I ---, K
-
-Theme III Theme lI·a Theme lI·bThemc I --
-
-
III III ,.- '10 '94 ;m :16 . {, ~.& ~'I 16l
-.
--
-
.
.
~
-
-
.-
-
-
l--/f '-~T l-/,---/[~r r ----------N6 V' I i Vl i
V1 I
VI
\
l'
B, F4 G G
0:1'
D G G
..-l'-- --L Ohannonicmu"" __--'-_----' -J
FIGURE 11. (Continued)
The structure ofthe piece is symmetrical and folds against a sonata form
background. ll However, the piece is rather directional and goal-oriented; there is an
accumulation of energy towards the end, and finally there is a burst of energy in the
llSee Samson, Four Ballades, 45-50, and Leikin, 253-56.
38
coda to conclude the piece. Not only is the coda in the Schenkerian graph
disproportionately large, but it also demonstrates that the real resolution from V to i
occurs at the beginning of the coda and that the soprano's important structural descent
from 5to 1has to wait until the middle of the coda. 12
Theme I (the "primary theme" area) in section B (the "development section")
and Theme I in section Al (the "recapitulation") rest entirely on the dominant bass,
driven by the strong pull of gravity towards the following tonic. This is another
characteristic that differs from sonata form. In addition, all the themes are derived from
a single motivic idea to create a unified whole (see my Schenkerian graph above). The
metaphor of this aspect of the piece is that the protagonist (represented by theme) is
driven by fate (represented by the accumulating harmonic intensity towards the end)
beyond his control.
Grundgestalt and Motivic Development
Patricia Carpenter wrote that the Grundgestalt, or basic shape, is the "germ" of
the idea. 13 She contends that Grundgestalt is a source of coherence in a composition and
the subject of the musical discourse. Her article demonstrates that the Grundgestalt not
121 chose 5 lines because of the emphasis on 6-5 in the soprano. The final descent
to the tonic in the soprano occurs in the middle of the coda because there is no 4-
elsewhere before the coda, which differs from typical classical sonatas. The structural
resolution from the dominant to tonic occurs at the beginning of the coda. The entire
coda becomes a battleground and releases a culmination of energy.
13Carpenter, 15-38.
39
only provides motivic and thematic development but also deeply penetrates the
composition to govern its harmonic structure and tonal hierarchy.
I think: the Grundgestalt of Chopin's Gm Ballade is Bb-A-G in measure 8, and
a l4 in the inner voice juxtaposed with D in the bass in measure 7 (see Figure 12). As
part of the Grundgestalt, Bb-A-G indicates the fundamental tone G and determines its
minor mode. Beginning from 3of the key of G minor, the intervals between the three
notes are a half-step and a whole step, thus creating a minor third between the outer
pitches. The actual pitches of Bb-A-G, as well as the intervallic relationship between the
three notes, are exploited in the discourse of the piece.
Moderato
>
FIGURE 12. Grundgestalt in the G minor Ballade: "yl" and "x."
14The a in the last bar of the introduction has caused some controversy;
according to Jim Samson, a D instead ofa first appeared in the German edition
(Breitkopf &Hartel, plate no. 5706) in 1836, and the D appeared in other later editions
(Samson, 22). Gutman, Mikuli, and other pupils of Chopin insisted that a was correct,
while Klindworth and Kullak chose to use a D natural (Huneker, 157). Finally, a
became firmly established when the New York pianist Ferdinand Von Inten discovered
that Chopin had actually written an a in the last bar of the introduction, as confirmed in
his original manuscript in Stuttgart (Huneker, 157).
40
The controversial B, on the other hand, is a dissonance on the 6/4 chord in
measure 7. Although some Schenkerian theorists might think the resolution D is in the
inner voice of the right-hand part in the following measure, there is a rest at the
beginning of measure 8, and the tempo changes from Largo to Moderato. There is a
strong contrast between the unstable and disoriented introduction and the more
grounded waltz section in 6/4 time. This indicates that the resolution b6-5 is somewhat
detached, or at least postponed, and the B lingers in the listener's ear. I will refer to the
three-note figure Bb-A-G in the waltz section as "x" and the dyad B-D as "yl."
Examples below show the motives of the themes created by the three-note figure
Bb-A-G from the Grundgestalt. Table 1 and the Schenkerian graph also display the
development of the Grundgestalt in the themes and the corresponding key regions.
Theme I, the "primary theme," establishes the Grundgestalt "x," or the original
Bb-A-G figure, within a G minor context (see Figure 13). The meter is a waltz-like 6/4
and the tempo is Moderato. However, the absence of the bass on the downbeats
enervates this section. "x" is repeated many times throughout the Theme I area. This
stagnation is varied only by the "sigh motive" following each phrase containing "x"-as
if the protagonist's melancholic question is never answered and he is lost.
The Bridge Theme shown in Figure 14 suggests a gradual departure from Gm by
halting the "x," or Bb-A-G three-note figure from Theme I, and restating it as Bb-M-G, a
subset ofB major. B major is the key in the secondary theme area (see Table 1), and
therefore this is an early sign of the development of the Ballade's plot. After the Bridge
Theme is established between measures 36 and 44, the thematic materials begin to erode
and finally fragment into arpeggios between measures 56 and 65.
Moderato
" I
x x
III
41
I tJ I I ~ rr ~ LJ ~ rr rr""1
-----
.. ..
FIGURE 13. Theme I in the key ofG minor and "x's."
Theme II-a in Figure 15, the first secondary theme, is marked with meno mosso
and sotto voce, creating a striking contrast with the melancholic primary theme area and
the volcanic transition. The upper voice of the duet presents a disordered "x" in the
major key, F-G-B (2-3-1 in the key ofB major), while its inner voice intones C-D-B, a
retrograde transposition of Bb-A-G. The F-G-A figure not only resembles the arch form
of the primary theme, but it also shows off the third G-B to declare the supremacy of
the tonic E/, major.
In the soprano and alto of the Theme II-a area, the melodic motion is created by
interlocking instances of "x" shown in Figure 14. Theme II-a also displays two keys by
42
Yzx x
•
r-----.....-- II
36
~ ~ -...... -fL~ r;- -...... -A I .......... ....
I tJ ~ ~ ~ .-J-- ...~1 J J~ 1 J ud 1 JJ ~JJ-rr - _ 1 7'T -
.
It'· Ii':' ~ .. ~ •
agitato
FIGURE 14. Bridge Theme: Suggesting a departure from G minor (Bh-A-G) to
H major (m-A~-G).
sequences: H major (submediant major) and mmajor (mediant major).15 The
preparation of the secondary theme area between measures 62 and 67 has a clear
tendency towards the key ofmmajor. However, the music does not stop on the m
major triad, and keeps moving by a fifth to create a H major triad in measure 69, as ifit
cannot wait to realize the H major suggested in the introduction that is the antithesis of
Theme I in the key of G minor. Then the music retreats to B~ major followed by a
descending cycle of fifths.
15There is an ambiguity of the key in this section. Theme II-a is presented in H
major and then Bh major in sequence, and immediately followed by a cycle of 5ths,
without emphasizing either H or mas a primary key.
43
Menomosso
sotto voce
X (disordered) X X (disorderd)
~
* '!ill. • ~
• ~ •
EbM: (V7 I) BbM: (V7
X X
I
>71
" I f'- -fLf'- \"..-~_J.l J.l " ~. "
_.
tJ I L;'-.J~
~
~ ~~.- ~ I L ___ k_ f::.
,
~
I
--- .1-7 7 *~ • '!ill. I * '!ill.• '!ill. *~ .~ •
66 riten.
r~~___
1)
L-- Cycle of 5tllS
FIGURE 15. Theme II-a: Disordered "x's" create a major region.
The theme is repeated twice. The mood of the section is intimate, but the
sequential phrases in the two keys, as well as the cycle of fifths, serve as ajoyful foil to
the static and melancholic waltz section in the opening. As a whole, the Theme II-a
section works as a dominant section to prepare for the more stable B major region in
the Theme II-b area.
Theme II-b, the second secondary theme in B major, is most closely related to
Theme I by contour (see Figure 16). The first phrase G-A~-m-D-C-m includes two
examples of "x": G-A~-m, the transposed inversion of the original m-A-G figure (see
44
Figure 12). The example also shows "x," or m-A~-G in the soprano, which spans the
entire theme between measures 83-86. In the inner voice in the left-hand part, another
G-M-m is observed between measures 85-86. The interlocking examples of "x" in
Theme II-b, originating from the B major scale, overwhelmingly dominate the Theme
II-b area. The third of the original "x" in the Theme I area, m-G, 3-1 in the key ofG
minor, is now reinterpreted as 5-3 in the B major context and declares its supremacy
over G minor in the Theme I area.
X
1-
x (B~-A~-G)
x
x
II ,--,
" I - -
~
tJ ~T I ~II I l;;J,;J
3 3 3
sempre ~~ ~. pp
I I 1.1 I ~ -r I I j I t 1L] TJ ] -fL
.. -<II -<II
x x
.------..,----, I I
" I I / r-4-, r-4-,~
tJ I T, ~ x (D~ n-m) I
r
x (G-A~-m) I I>
~ ~ I I l.l I ~
... .. ..
~ 1II ~
*
"-Th.
FIGURE 16. Theme II-b (second secondary theme in the key ofB major) on the
pedal point B.
45
Contrary to the Theme II-a area, which modulates throughout, the key of the
Theme D area is firmly grounded in B major on the pedal point B, creating the
atmosphere of a lullaby or barcarole. The stability and calm of the Theme D section is a
safe haven from the minor key area in the Ballade. The three-note figure D~-n-m is
accented in the inner voice in measures 85 and 86, which is acquired by the modal
mixture between B major and B minor through the subdominant minor M minor triad.
Later, the motive D~-n-m is further extended to create an octatonic section.
In Theme III, marked scherzando, the three-note linear figure m-A-G, or "x," is
expanded to a four-note figure C-m-A~-G, or "x + 1," in the B major context, which
makes a perceptive connection to the four-note figure C-m-A~-G in measure 3 in the
introduction (see Figure 17).
The above examples show that Chopin develops the linear Grundgestalt m-A-G
presented in the primary theme area to create all the themes economically (see Table 2).
First, the departure from the home key G minor is suggested in the Bridge Theme area.
Then the three-note figure m-A-G, 3-2-1, is transposed and disordered (2-3-1) in the
secondary Theme I area and emphasizes tonics in B major (submediant) and m major
(median), respectively. Then the submediant key is more firmly established in the
secondary Theme II area by the three-note figure G-A~-m (3-4-5). The third between G
and m (1-3) in the original Grundgestalt in the key of G minor is reinterpreted as (3-5)
in the key ofB major. The three-note figure in the key ofB major is expanded to a
four-note fugure C-B~-M-G in the Theme III area, creating 6-5-4-3 in the key of B
major.
Theme III
scherzando
x+ 1
Introduction of the Ballade
x+l
46
Largo
f
dim. ======-
FIGURE 17. Theme III and the introduction of the Ballade: The "x + 1"
connection.
47
TABLE 2. Summary of"x's"
Bndge
Theme Theme I Theme Theme II-a Theme II-b Theme III
(jrundgestalt m-A-G m-A// F-G-E~ G-A~-m C-m-A~-G
m-A~-G C-D-m
Key Gm: Gm: E~M: E~M: E~M
tomM: BbM:
The operations here are similar to the operations suggested by Patricia
Carpenter. 16 There are two possible operations: (l) reinterpretation of the same pitches,
such as G-m as i -3 from 3-5; and (2) reinterpretation ofthe same function in a different
tonal context, such as 3-2- i in the key of G minor and 2-3- i (disordered in Theme II-a)
in the key of B major.
Tonal Network in Chopin's G Minor Ballade
According to Schoenberg, a tonal network is "not merely the relation of the
tones with one another, but much more ... the particular way in which all tones relate to
the fundamental tone, especially the fundamental tone of the scale. ,,17 Figure 18 shows
Schoenberg's Charts of Regions in major and minor modes. The Chart of Regions has
its own unique property that differs from the popular cycle of fifths; in addition to the
fifth relations shown vertically in the chart, the third relations are shown horizontally. It
also displays the parallel keys next to each other.
16See Carpenter, 31.
17Schoenberg, Style and Idea, 123.
48
A. Chart of regions in major mode
MM CHART OF THE REGIONS ~mvMMm
M ~MD ~mv mvmMSM m D v ~mvSMMsm mvsm
SMM ~mMSMm SM T ~M ~m mmSMSM sm t tmSMSMsm msm
S/TM ~smMSlTm
sIT dar SD sd ~SM bsm smmS/.TSM tsmSMSjTsm Np smsm
ABBREVIATIONS
Np means Neapolitan
dar Dorian
SIT "supertonic
bM flat mediant major
bSM " flat submediant major .
bMD " flat mediant major's dominant
bm flat mediant minor
bs", "flat submediant minor
b"'v " flat mediant minor's five
T means tonic
D dominant
SD subdominant
t )) tonic minor
ad "subdominant minor
v " five-minor
8m submediant minor
m mediant minor
SM " submediant major
M "mediant major
[N.B. All symbols in capitals refer to major keys;
keys.]
those in small letters to minor
B. Chart ofRegions in minor mode
CHART OF THE REGIONS IN MINOR2
#m #M
m ~sm #SM
8m
Np
~ c# dc C a A f# F#f F d D
B~
FIGURE 18. Schoenberg's Chart of Regions in major and minor modes. Source:
Arnold Schoenberg, Structural Functions ofHarmony, rev. ed.,
edited by Leonard Stein (New York: W. W. Norton, 1969),20 and
30. Since Schoenberg's Chart of Regions in the minor mode shows
a rather limited tonal network, I will use my tonal pyramid to map
the tonal discourse of Chopin's Ballade (see Figure 19).
Gm
I
BbM Cm Din EbM FM
III iv v VI VII
F
III
III iv v
m Ab'm-Abm BbM C
ii iii IV (iv) V VI
vi
FIGURE 19. Tonal pyramid in the key ofG minor showing regions related to the Ballade.
+:>-
\D
50
This tonal pyramid illustrates the relationships of tonal regions, which interact
with each other according to a specific hierarchy. Unlike the popular cycle of fifths, the
pyramid shows not only fifth relationships but also third relationships. For example, the
G natural minor scale yields five diatonic chords-BbM, Cm, Dm, EbM, and Fm-and
those diatonic chords can engender secondary regions of keys. When we repeat this
procedure to create more regions downward from the new regional centers, we can
create a larger diatonic pyramid. As the music moves down the pyramid, it becomes
more remote from the original key and the fundamental tone.
According to Patricia Carpenter, there are two motions that constantly occur and
create conflict during the discourse of tonal music: (1) the centrifugal function, which
tends to move away from the tonal center (or stray lower in the tonal pyramid); and (2)
the centripetal function, which halts the outward motion and re-establishes the
structure's attraction to the tonal center (by going upward on the tonal pyramid).18 In
order to establish a monotonality, the centripetal function has to overcome the
centrifugal function, assimilating all of the foreign regions. Figure 20 exhibits the key
regions of the piece, their order of modulation, and how they relate to the specific
octatonic scales in the Ballade.
When one observes the tonal scheme displayed on the tonal pyramid in Figure
18, one will notice Chopin's preference to modulate to the third-related keys Bb major,
the mediant major, and Eb major, the submediant major, respectively. The most far-
reaching region is C# minor, and Chopin touches G# minor through C# minor, the
18Carpenter, 17.
,.?~~,':/// \ \ 9
" / I 1
, / I I \
" / I I \"""~/101\ ",. ,
H;';/Om DNi E ilm
~"",....";,:~~", ....
\ "" ::..., ....\ ,,\\\ : ....
'\"" ....\ \ \\\ ....
'\.... ....
1 \', .... ........
Fin Gm Al>m-A~m H],M eM Octatonic 1
ii iii IV (iv) V VI
/- 12 -J
/ I The order of the modulation
Enharmonic exchange 1. measure 68 10. measure 122
2. measure 70 11. measure 123
3. measure 82 12. measure 126
4. measure 91 13. measure 138
5. measure 92 14. measure 169
6. measure 93 15. measure 180
7. measure 94 16. measure 194
8. measure 107
9. measure 109
J
J
I
I
I
J
J
I
I
J
eM
VII
V vi11 iii
If~,,"
I I \ ,',
I I \ , ....
/ ! \'~:J""'"" I \',',I I \ "
I I " \ ' ...E~ F#k G#\ ~EM
III iv v VI VII
FIGURE 20. Tonal discourse of the G minor Ballade on the tonal pyramid.
VI
.......
52
dominant minor of C# minor. However, one can recall the G# minor chord from the
previous section where the subdominant minor ofB major, Ab minor, appeared in the
secondary Theme II by modal mixture. The perceptive connection between Ab minor
and G# minor is the crux to connect the two remote keys, B major and E major where
the adventure to the foreign regions started. After an excursion to the octatonic 1 scale,
Chopin returns to B major, and the piece heads back to the home key G minor towards
the end.
Creating 1mbalances
Past analyses barely discuss the meaning of the introduction or its significance
throughout the rest of the piece. For example, in Schenker's middle-ground graph, the
introduction is simply ignored. Yet the introduction announces the discourse of the
Ballade in an embryonic stage, and the strange events that transpire in those mere seven
measures create imbalances that grow and evolve throughout the piece.
Schoenberg describes how the ambiguity of keys in tonal music creates
imbalance or problems:
Every tone which is added to a beginning tone makes the meaning of that
tone doubtful. If, for instance, G follows after C, the ear may not be sure
whether this expresses C major, or even F major or E minor: and the
addition of other tones mayor may not clarify this problem. In this
manner, there is produced a state of unrest, or imbalance which grows
throughout most of the piece.19
How, then, are the imbalances created and later resolved in Chopin's Gm Ballade?
The first imbalance is in the unaccompanied opening Largo passage marked
pesante with! The long ascending arpeggio of an AbM 6th chord (or Neapolitan 6th of
19Schoenberg, Style and Idea, 123.
53
G minor) in octaves begins at C in the low register. Since there is no logical explanation
for the Neapolitan 6th chord between measures 1 and 5 in the opening, one cannot find a
clear tonal context for this arpeggio. This creates uneasiness for the listeners.
Another problem develops in measure 7, where a dissonance in the inner voice,
Eb, is juxtaposed with D in the bass. The sound of the dissonance Eb over an otherwise
usual cadential $chord before the dominant lingers in the ear. Only min the top voice
of the $chord is sustained, and the other voices, followed by a rest, decay without
resolution.20 The ambiguity of the Neapolitan 6th chord, as well as the juxtaposition of
Eb and D, creates imbalance or umest. In the entire seven measures of the introduction,
the tonic G minor is never clearly established.
Since a certain component of the tonal logic is missing, the introduction works
just like the dream of a protagonist. Some important figures or concerns emerge from
the subconscious level. The dream itself does not explain what the problems are and
how they should be solved. However, it has a profound meaning, as if to predict the fate
of the protagonist.
After the introduction, Chopin introduces the tonic G minor in $and everything
seems to be more tonally oriented as the music embarks on a logical chord progression.
But the problems in the introduction do not disappear. Instead, they persist and even
grow more urgent throughout the piece until everything is explained and settled in its
rightful place. Schoenberg writes, "The method by which balance is restored seems to
2°Schenker's analysis does not show this B. David Witten thinks Eb is resolved
to D in the following measure. However, I think the rest, the double bar lines separating
Eb and D, and the tempo change indicate Chopin's intention to separate or emphasize B.
54
me the real idea of the composition."21 Now I will analyze how the problems develop
and how balance is restored at the end.
Conflict Between Minor and Major Regions
in the Ballade's Early Stage
In the introduction, c-m-A~-G in measure 3 appears after the strong ascending
A~ arpeggion in unison (see Figure 21). As aforementioned, until the third beat of
measure 3, the tonality ofthe introduction is ambiguous, although the consistent flat
sign applied to A implies Eb major as its possible tonal orientation. On the fourth beat,
however, F# emerges-later interpreted as ::; of G minor-and gradually the key of G
minor becomes more prominent. The initial C-m-M-G is restated as C-m-A-G at the
end of the introduction, thus establishing a minor character for the following waltz
section.
Although the Theme I area is predominantly in the key of G minor, there are
some subtle attempts to modulate to the key ofm major, the dominant of the key ofEb
major (see Figure 22). For example, an extensive improvisational figure appears over
the Fj chord in measure 33, as if predicting that the major key will eventually blossom.
The controversial Eb is reinterpreted as 4- in the key of m major. A vj-I resolution in the
key of m major appears in measures 33-34, but Cm and D7 immediately follow to
maintain the superiority of the key ofG minor.
Throughout the piece, there are abundant examples of conflicts between the
force that interprets Eb in the major key context and another force that tries to establish
21 Schoenberg, Style and Idea, 123.
55
-.
...------\ Gm:?
I I
~ 1 (Gm:)
>
dim. :::::==--
I
~
I
~
r--
x+l
.---- Conflict
.....---'---1 ffiM:? I~-----.
Largo
I'
FIGURE 21. Conflict between HM: and Gm: in the introduction.
32
34
:>
:>
q
mM: v1 *
FIGURE 22. Effort to modulate to a major key in the Theme I area (mm. 32-37).
56
Gm as the tonic by an EB-D resolution to counterbalance the umest in the opening
passage. Some of the early-stage resolutions between EB and D are shown in Figure 23.
Figure 21 shows some perceptional connection between the opening of the
Ballade and the transitional section after Theme I. At the end of the introduction, there
are two motives that are incomplete: (1) umesolved B (1.6 of the key of G minor), which
should be resolved to D (5) in the inner voice; and (2) the c-m in soprano, which
eventually becomes the descending three-note figure B~-A-G in Theme I. Altogether,
there are two incomplete figures in the introduction: "x + 1" and "yI." It is as if the
protagonist in the Ballade has an encountered an omen.
In the rabid transitional section marked piu mosso with/, the vaguely suggested
figures "x + 1" and "yb' in the introduction are fully realized in powerful arpeggiation.
In measures 44-48, "x + 1" is presented in the soprano, while "yb' is in the inner voice
as in the introduction. This voicing and the clear resolution from B-D suggest that the
controversial B in the introduction was not accidental but intentional.
A. The end of the introduction and the beginning of Theme I (measures 5-9)
Moderato
x+1
-----------------------r--l
>
(Incompletef
FIGURE 23. Introduction and the transitional section after Theme I: Restoring
the balance.
B. Transitional section after Theme I (measures 44-55)
57
x+l x+l x+l x+l
y Segments of "x + I"
1 __-------
--~1
r:?J-¥~~~~~~~~-l~ccI~f±~F~rJ
'---' '------
.. '.Ii'll. .. '.Ii'll. lit
FIGURE 23. (Continued)
58
After measure 48, the four-note figure "x + 1" becomes fragmented, and the
dyad c-m and m-A is repeated several times along with B-D in the left-hand part
between measures 48-51. After measure 53, the dyads c-m, A-G, and B-D are all in the
right-hand part and gradually start diminishing to prepare the entrance of the measure
themes.
In measures 59-60, there is a tonal cell "z" or F#-G. "z" works as 7-1 in the key
of G minor that confirms the supremacy of the tonic G (see Figure 24). In measures
8······························
1
~
Gm: ",
S9
II I • /1.: • f!:. ~f!:.. : fl.. r .,....,...,....
-.J - .. - -.. -;- ... - - ...
===- :" i':
R.= • ~ r ~. I I r~~ .
z
r
62
fli +-
-.J b1-"'- -.. 1- .. - -." -.*.. t ;. ---...~:::=- :::=>- Ig:~ *
:
-------r--
~~. ~ r ~. ""~:.-
-&. -
1
WI v
FIGURE 24. Enharmonic exchange to reinterpret F# (7 of the key ofG minor) as
G~ (~6 of the key ofB~ major) to establish a new major key region
preceding Theme II-a.
59
62-63, the enharmonic exchange transforms F# into G~, however, and mthat works as
~6th is resolved to F, making ~b-~ in the key ofm major (modal mixture). This operation
establishes Theme II in the new m major region.
Manifestation of the Octatonic Scale
As mentioned before, one of the most striking characteristics of the piece is the
manifestation of the octatonic collection. Before I point out the specifics of the octatonic
manifestation in the piece, I would like to compare the octatonic scale 0 [0134679T]
with the minor scales in Figure 25. I added the Grundgestalt of the piece at the bottom
to enhance the comparison.
Although G minor scales and the octatonic scale share many common notes, the
implication of this comparison shows that D is the crucial note to establish G as the
tonal center in the G minor mode. Not only is D the crucial note that creates the
dominant of the key ofG minor, but also the tonic Gm cannot be completed without D.
G natural minor G A m C D B F G
G harmonic minor G A m C D B F# G
G melodic minor G A m C D E F# G
(Ascending)
Octatonic 0 G A m C m B E F# G
Grungestalt G A m (D) B
t I
?
FIGURE 25. Comparison between minor scales and octatonic scale.
60
The octatonic scale 0 contains Db and B, both a half-step away from D.22 Figure 18
shows that the Grundgestalt Bb-A-G and B is a subset of both the G minor scales and
the octatonic scale O. This indicates that the unresolved B has to be resolved to D to
establish a clear centricity around the tonic Gm.
In the G minor Ballade, the manifestation of the octatonic collection appears in
the middle of the piece. The transformation from the minor scales to an octatonic scale
begins around measure 118 (see Figure 26). Bass E, from the previous secondary theme
section in the key of E major, is held, while the harmony in the upper voices changes
from an E major chord to an F#7chord. The ascending scale spans one octave from F#.
All the notes in the scale are derived from the ascending B melodic minor scale. The
sequence yields A#-B-C#, which is enharmonic to Bb-O-Db and the octatonic scale 1
subset. The orientation of the scale is rather ambiguous because of its starting note and
the sudden harmonic shift without preparation.
Chopin sequences the next two measures and superimposes a ffi7 chord on bass
E, creating more tension between the bass and the upper voices. This is a typical
conflict between the centripetal function and the centrifugal function in the tonal
pyramid; there is an energy that resists moving from the previous tonal region E, and
there is opposition in the upper voices, which tries to escape further down the tonal
pyramid to create a more remote region from the fundamental tone G. The upper voices,
derived from the C# melodic minor scale and one neighbor tone (F double sharp),
221 will use "Octatonic 0," "Octatonic I ," and "Octatonic 2" to distinguish
between transpositions of the octatonic scale. Octatonic 0 ascends from C (0) and
repeats a semitone and a whole tone in turn. Octatonic I starts from C#/Db, and octatonic
2 starts from D. Here, I started the octatonic 0 scale from G for an easy comparison.
no
61
I
I
I
I
I1-·- • _
_ .~L~,:=.....
I .-
i·"
I
1. _
------------------------------------------ oct.l .--------------------------------------.
112x
---------------------------------------------------------------------------,Ill*-••_•••_.-._._------••_--------_. ..l_••_•• _
FIGURE 26. Development of"x's" and the manifestation of the octatonic scale.
creates the sequence Fx-G#-A#, which is enharmonic to G-Ab-m. This is another
octatonic scale 1 subset.
62
In measure 123, Chopin begins an ascending scale that derives from G# melodic
minor and starts on the same note as the previous scale. Now the two octatonic scale 1
subsets, F,,-G#-A# (enharmonic to G-A~-m) and A#-B-C# (enharmonic to m-O-D~), are
unified, forming the sequence F,,-G#-A#-B-C#, or G-AJ,-m-O-D~. This five-note figure
connects two 3-note linear figures from the Grundgestalt in the Theme II-b section: G-
Ah-m in Theme II-b and D~-O-m, which was in the inner voice. After B-AJ, is respelled
as o-m in measures 125 and 126 in the soprano, every note is finally derived from the
octatonic 1 scale. The reversed melodic figure m-o-c# expands to the full ascending
octatonic 1 scale, which spans three octaves starting from measure 130.
m-o-c# is a retrograde construction of the figure D~-O-B~ in measures 85 and
86, the Theme II-b region in the key ofB major (see Figure 27). Since B major does
not produce D~ and 0, Chopin employs the subdominant minor ofB major, or A~m, by
modal mixture.
Chopin retains m 7 in the lower voices, D diminished 7th in the upper voices, and
the ascending octatonic 1 scale in the middle voices between measures 130 and 133. 0
from the diminished 7th chord is resolved to m 7 in measures 133 and 134, creating the
incomplete motive o-m (D~ is missing). m 7 and Do7 chords, subsets of both octatonic 1
scales, function as V7 and viio7 of the key ofB major, respectively, to create a smooth
modulation back towards the fundamental tonal region. In measures 134 and 137,
Chopin employs a chromatic scale in the upper voices to bridge between the octatonic
scale and the B major diatonic scale. In measures 136 and 137, the octatonic four-note
figure is sequenced chromatically, creating octatonic 1, octatonic, 2, octatonic 0, and
85
" I
I
63
x ~
I I I J I~
----------------------------;=======~~~
v7 ofE~M:
.------- --\ chromatic scale
I I II I I I I I I i I Iii I
(&<»--"-----------1-·-------------------------.----------------------------------------------------------------------,
~
_________7
FIGURE 27. Perceptional connection between "x" in the Theme II-b area and
the octatonic scale before Theme III.
64
octatonic 1 subsets. The octatonic subsets are assimilated completely in measure 137,
resuming the key ofB major. The technique of keeping the dominant scale degree in
the bass while having nondiatonic subsets in the upper voices is reminiscent of the later
French composer Debussy.
Figure 28 illustrates the development of the Grundgestalt and octatonic
manifestation. The excursion to the octatonic scale is shown in the tonal pyramid as
well. On the tonal pyramid, C#m is the most distant key region from the tonic Gm in the
Ballade. Chopin employed EM to acquire C#m, the submediant of EM. G#m, the
dominant minor of C#m, was used as a pivot chord to bridge between C#m and BM
because G#m is enharmonic to A~m, the submediant minor of BM. Both G#m and A~m
produce the crucial pitches A#-B-C# or m-n-D~ to create the octatonic manifestation.
Measures 8 82 85-86 123 130-134
Keys Gm: 8M: (8m:) Transition Octatonic I scale
(Modal Mixture)
•I\ .. ~ Oct. I Oct. II I I I
Grundgestalt (x) B~-A-G G-A~-B~ I)I,-Q-m Fx-GI-AI-B-a B~-Q-C#-D-E-F-G-A~-B~
L-....J L-....J L-..J (G-M-B~-Q-I)I,) L----J L..-.J
LI ~ L-..Jl...-.J J It t
FIGURE 28. The development ofthe three-note figure "x" to create the
manifestation of the octatonic scale.
65
Expansion of the Submediant Region
At the beginning of the introduction, "x + 1," C-m-A~-G, following the
ascending M major chord, creates tonal ambiguity before the introduction is steered to
the key of G minor to begin Theme I. However, the consistent M in the melody implies
B as a possible tonal center. This assumption is justified when the same "x + 1" is
realized in Theme III in the key ofB major. Figure 29 demonstrates how the ambiguous
"x + 1" and other pitches in the introduction are reinterpreted in the key of B maj or.
Retrograded Grundgestalt (G-D-E~)
III
z
II
A 7 1
x+l
rz I I
x+l
FIGURE 29. Theme III in Section B and the reinterpretation of the pitches in the
introduction.
In Figure 29, H-G, or the 7-1 resolution in the key of G minor in the
introduction, is now #2-3 in Theme III. The important leading tone F# becomes a mere
lower neighbor tone #2. The figure "x + 1," or C-m-M-G, is now clearly in the B major
66
context followed by F natural. B-D was "yl" or b6-5 in the key of G minor, but "yl" is
reversed to form "z" or 1-7 in the key ofB major in measure 138 and "rz" without
reversal in measure 141. Above all, the most crucial event in Theme III is the
reinterpretation of the Grundgestalt. The three-note figure B-D-G in the opening, b6-5-
1, establishes the key of G minor. Now the retrograded Grundgestalt becomes 3-7-1,
creating centricity around the tonic B. The functional tonal cell B-D, or "yl" (b6-5) in
the key of G minor, is reversed to form "z" (7-1) in the key of B major. Overall, Theme
III represents the triumph of B major and works as an antithesis against the tonic G
minor. Since this section is preceded by the manifestation of the octatonic 1 scale, it
may have some programmatic meaning, such as a magical moment caused by a
supernatural force. The dazzling character of the theme marked scherzando creates a
Mephisto-Waltz-like mood.
In the transition between Theme III and Theme II-a, more reinterpretations of
the pitches from the introduction establish the superiority ofB major. In measures 157-
158, an augmented 6th chord resolves to VSin B major, creating b6-5 in the bass line
(see Figure 30). This is a reinterpretation ofb6-5 (B-D) in an B major context. Then
there is a repeated motion ofB-D-Bin the inner voice in measures 158-162. The b6-5
(B-D), or "yl" in the key of G minor in the introduction, is now reinterpreted as 1-7 (D-
B), or "z" in the key ofB major.
My Schenkerian graph in Figure 11 and Table 1 shows that Chopin reversed the
order of the primary and secondary themes in Section AI. The order of the themes in
67
=
:>
leggieramente
FIGURE 30. Transition between Theme III and Section AI: More
reinterpretations of pitches declare the supremacy of B major.
Section A is Theme I in the key of G minor and Themes II-a and II-b in the key of B
major, while the order in Section Al begins with Themes II-a and II-b in the key ofB
major, followed by Theme I in the key ofG minor. Since Theme III is in the key ofB
major, the reversal of the themes in Section Al creates an unusually large submediant
region that stretches over Themes III, II-a, and II-b.
Themes II-a and II-b in Section A I are forceful and full of life compared to the
ones in Section A, which is expressive yet intimate and delicate (see Figure 31). The
dynamics markedffand the powerful block chords in the Theme II-a area as well as the
conJorza in the Theme II-b area sharply contrast with Themes II-a and II-b in Section
A, which are marked Meno Mosso and sotto voce, respectively, withpp. Michael Klein
uses the term "apotheosis" to describe the transformation of the F minor Ballade's
68
fi
166
III >- 1_____. I I I ~
'----" :
~ ~ ~~ ~
--------
.ff
I I..J I I I I..J I I I I II I Ir l I I I I
.=i 0" "":I .. " ... ... . ..
1
FIGURE 31. The beginning of Theme II-a in Section A I : "Apotheosis" of the
theme.
secondary theme from exposition to reprise.23 In the diagram of the G minor Ballade,
Klein categorizes Theme II-a as an "apotheosis" and Theme II-b as a "Valedictory"
expressing a farewell.
23Klein quotes Edward T. Cone: "In Chopin's larger works, including the
ballades, formal/expressive logic is directed towards what Cone calls apotheosis, a
special kind of recapitulation that reveals unexpected harmonic richness and textual
excitement in the theme previously presented with a deliberately restricted
harmonization and a relatively drab accompaniment." Klein, 31. Klein further
elaborates, "In Chopin's larger works, an interior theme tends to be a nocturne or
pastorale, whose simple accompaniment imbues it with potential for apotheosis. Often
the initial appearance of such a theme is in a chorale texture, whose religious
implications underscore a desired emotional state." Klein, 32.
69
Theme I follows the Theme II-a area. The Theme II-a area occurs over the pedal
point B, and the Theme I area occurs over the pedal point D. This B-D progression
creates the structural b6-5 in the key of G minor, and the victorious and extensive E
major region is assimilated to G minor. This crucial turn is ironic because the more
thriving and extensive the major key area is, the more devastating when it surrenders to
its opponent. The lengthy pedal point is analagous to an irreversible fate, as if the
protagonist's triumph remains elusive no matter what the melodic figures express. After
Theme I, the coda gives its verdict.
Restoring the Balance
The powerful restoration of the imbalance in the opening can be found in the
coda. Since the primary theme and the coda follow the expansive mediant region in
Themes III, II-a, and II-b with full development, the coda contains a massive
culmination of energy that counterbalances the mediant region. In measures 216 and
217, the Neapolitan 6th chord, which was not in the introduction's logical harmonic
context, is now followed by V7 and I in the key of G minor (see Figure 32). Thus, the
tonal ambiguity in the opening is explained by analogy in the coda. (Bb)-Ab-G, the
melodic line in measure 216, also suggests the correct source of the Neapolitan chord:
the key ofB major.
In addition to the resolution from B to D, there are other pitches resolved in the
coda. Chopin included a subset of octatonic 0, A, H, and C# in the inner voice in
measures 208 and 209, the opening of the coda (see Figure 33). Since the entire two
measures have a Gm chord, these dissonances are resolved: A goes to Bb, F# goes to G,
70
x
FIGURE 32. Assimilating the Neapolitan 6th chord in the G minor context in
measures 216-217.
and C# goes to D. Chopin places an eighth rest in front of each resolution, which is
reminiscent of the B followed by the rest in the opening passage.
FIGURE 33. The resolution to a G minor triad to establish centricity.
In measures 240 and 241, in addition to the resolutions from Fho G, and C# to
D, there is also one from E natural to D (see Figure 34). E is also a prominent pitch in
both bass and soprano parts in the Theme I area in the key of A minor. In my
Schenkerian graph, B-D is marked yl and E-D is marked y. The Schenkerian graph in
Figure 11 illustrates a "contraction" in Schenkerian terms, which means a repetition at a
lower structural level.
71
FIGURE 34. The resolutions from E-D (6-5) and C#-D (#4-5), which emphasize
the dominant D (5), and 7-1, which emphasize the tonic to establish
centricity in the key of G minor.
Some of the above resolutions occur in the key ofG minor in the diatonic
context, but some of them also offset the tension between the octatonic scale and the G
minor scale. Figure 35 illustrates the resolutions between octatonic °and the G minor
scale.
The coda not only provides solutions to the problems, but also introduces more
conflicts between opposing forces, transforming the entire section into a fierce
battlefield (see Figure 36). Between measures 242 and 245, the inner voices played by
the left hand form octatonic 0, while the bass in measure 242 contains a strong
Octatonic scale 0
Gm (Harmonic)
G
G
A
A
C ClJDI, FJ, E
C D EI>
PI
PI
G
G
t ----'
v
FIGURE 35. Centripetal function in the coda to establish the tonic of G minor.
----------
72
x
242
chromatic scale
8-'- -Y_~ ~!c£ 5!!?.. ,
rh 111111111111
k
G harmonic minor scale
r-----------------------" r--
>
G melodic minor scale
l.--~--l
riten.
aceel.
x
>
FIGURE 36. Assimilation of the oppositional forces to the key of G minor in the
coda.
:;,..
G melodieuullor scale
w
FIGURE 36. (Continued)
chromatic scale
riten.
yl
accel. .,
~
8
ff
&'t'------,
......... fL t:\
&
n
73
statement ofD, the dominant of Gm, which is markedft. To heighten the drama, the
right hand plays an ascending chromatic scale with a crescendo, a super set of both
diatonic G minor and octatonic O.
The conflict continues in measures 245 to 247. There is an octatonic subset m-
B-C# at the end of the chromatic scale, which reminds the listeners of the beginning of
the ascending octatonic scale 1 between measures 130 and 134, immediately followed
by the resolution between B-D to assert the key of Gm. The following descending scale
is a hybrid of octatonic 2 and G natural minor, creating a tug of war between the
octatonic pitch collection and the diatonic pitch collection. After the struggle, the G
harmonic minor scale is finally established in measure 249.
74
In the following measures, G minor triumphs. A strong ascending G melodic
minor scale is followed by the G minor chord in the root position and the arch-shaped
figure that resembles Theme I, with the emphasis on G-A-m. This is followed by an
even longer ascending G melodic minor scale in tenths, a G minor chord, and the arch-
shaped figure, emphasizing B-D this time. At this point, it seems that all the problems
are solved and the balance is restored. A strong statement of the tonic Gm and the clear
resolution from B to D means the victory of the home key over the other keys and the
pitch collections that grew out of them.
The most striking event at the end of the piece, however, is the chromatic scale
that pours down to the tonic G, an avalanche that swallows up all the foreign forces-
not only diatonic scales in tonal key regions distinct from G minor, but also octatonic
scales. The chromatic scale, the super set of all the diatonic scales, also buries the G
minor scale, which represents the home key of the piece, and the last measure reduces
everything to a single pitch (G), played in octaves. Metaphorically, the protagonist does
not conquer all enemies and obstacles; instead, the piece ends as if ill fate (e.g., foreign
key regions and octatonic scales) has caught up with the protagonist (tonic Gm) and
conquered him.
The descending chromatic scale in octaves starts from E-B-D in the right hand
in measure 258. Together with the D at the beginning of the measure, it forms another
contraction marked "w" in my Schenkerian graph (Figure 11). In my Schenkerian
graph, the first D represents the structural soprano of Theme I in section A, E is another
structural soprano of Theme I in section B, B is the structural soprano for Theme III
and Theme II-a that follows, and the last D is the soprano of Theme I in section AI.
Altogether, "w" stretches the entire soprano line from the beginning of section A to the
beginning of section AI, as ifdescribing a long journey of the protagonist.
75
This contraction implies that the protagonist recalls the discourse of his life
while facing the consequence ofhis fate. The last measure's octaves, which land on the
single pitch G in the low register, are reminiscent of the octaves in the opening of the
introduction, which sound in the same low register. This final declamation implies that
the omen of the introduction is now realized. The dramatic ending is not only tragic, but
also unique in the Romantic piano literature.
Conclusion
There are two important issues in Chopin's Gm ballade. One is the role of the
Grundgestalt, which creates all the conflicts and resolutions in the discourse of the
piece. The source of the problems is B, which yields the subdominant major, or
ambiguous Neapolitan of G minor, and the subdominant minor that provides the subset
ofoctatonic scale 1. In addition, B is the source of thriving interior themes that
establish an expansive major region from the middle of Section B to the beginning of
Section AI, challenging the supremacy of G minor. Unfolding throughout the piece is a
struggle between the desire to establish the key of B major and the forceful power to
resolve B to D and thereby establish the centricity of G minor. Thus, the umesolved B
in the introduction becomes the crux of all the oppositions and resolutions in the piece.
The three-note figure m-A-G from the Grundgestalt also plays a major role.
Chopin unifies the piece with this three-note figure by developing all the themes
economically. The three-note figures are also used to modulate from one section to
another, creating the tonal scheme and harmonic structure shown in the Schenkerian
graph.
Patricia Carpenter's "Grundgestalt as Tonal Function" proves that the
Grundgestalt provides not only the work's motivic development but also its harmonic
76
functions. My analysis of Chopin's Ballade indicates that the role of the Grundgestalt
may extend even further; it appears integral to the creation of problems and solutions in
the relationship between diatonic pitch collections and nondiatonic pitch collections-
e.g., octatonic scales.
The second significant issue in this piece is Chopin's employment of the
octatonic scales in the 1830s. Chopin's use of the octatonic scale has scarcely been
analyzed. As seen in the tonal pyramid, Chopin's key scheme is relatively conservative
compared to the works of other Romantic composers such as Liszt. It is interesting to
note, however, that all the tonic roots that represent the different key regions in the Gm
ballade are derived from octatonic 0 subset G, A, Bb, H, and E. To complete the picture,
C# minor appears in the transitional section, the crucial pitch that differentiates the
octatonic scale from the diatonic one (see the Schenkerian graph). As the tonal pyramid
shows, C# minor is the most distant key from the tonic Gm in the Ballade, and along
with G#minor, the dominant minor ofC# minor and enharmonic to Ab minor, it leads to
the manifestation of the octatonic scale. Thus, C# minor becomes the destination of the
centrifugal function.
The octatonic scale is mostly used melodically in Chopin's Gm ballade, except
for the tonal scheme. Although the use of the octatonic scale is limited compared to the
works of later composers, both the exposure of the full three octaves of the octatonic
scale and the way the Grundgestalt is deeply ingrained to create the octatonic scale
demonstrate Chopin's clear intention to integrate the octatonic scale into his
compositional idea. He seamlessly exploits the common pitches or pitch-sets between
diatonic minor scales and octatonic scales, and then unifies all the scales by the
chromatic super-set.
77
Taruskin wrote, "most writers who looked for the origins of the (octatonic)
scale-whether in Stravinsky, in Messiaen, or simply in general-have fastened on
melodically embellished diminished and diminished-seventh chords."24 Taruskin states
that such a practice is just a "fortuitous veneer" on the surface of common practice.
Chopin's use of octatonic scales in the Gm ballade is one of the early models that does
not generate specific octatonic chord progressions. Taruskin further contends that the
root ofthe octatonic scale is a minor third modulation connected by passing notes. On
the other hand, my analysis suggests that the source of these octatonic materials could
be an alteration of the minor scale as well. More research is necessary to determine the
historical sources of octatonic collections in Chopin's music, but it is significant that the
analytical tools developed by Schoenberg-Grundgestalt and tonal network---eonnect
every detail of the piece, including the tonal schemes and octatonic scales.
24Richard Taruskin, Stravinsky and the Russian Traditions: A Biography ofthe
Works Through Marva (Berkeley and Los Angeles: University of Califomia Press,
1996).
78
CHAPTER III
F MAJOR BALLADE, OP. 38
Chopin's second Ballade, Op. 38, was published in 1840. Chopin dedicated Op.
38 to Schumann, who listened to a few different versions before publication. Schumann
wrote that the piece finished in the key of F major when he first heard it in 1836 instead
of A minor in the published version. 1 Since the publication, its "two-key scheme" has
not only fascinated scholars, performers and listeners, but has also kindled extensive
arguments to determine whether the piece is in F major, A minor, or both. How can
monotonal theory, such as Schenkerian analysis and Schoenberg's idea of tonal
network, deal with this problem?
John Rink writes, "Other Schenker-inspired writers have puzzled over the
problematic second Ballade, in which Schenker's notion of unified tonal structure is
seriously undermined by an F major/A minor tonal polarity."2 He groups past analytical
strategies to interpret this tonal polarity into the following categories: (l) "directional
tonality" (two tonics operate in succession); and (2) "two-key scheme" (two tonics
function simultaneously, also known as "tonal pairing" or the "double tonic complex").
Wai-Ling Cheong's dissertation "Structural Coherence and the Two-Key
Scheme: A Study of Selected Cases from the Nineteenth Century" explains the above
categories in more detail. According to Cheong, the idea of "directional tonality," which
IAlan Rawsthorne, 'Ballades, Fantasy, and Scherzos', The Chopin Companion;
Profiles ofthe Man and the Musician, ed. Alan Walker (New York: W. W. Norton,
1973),50.
2Rink,103.
79
starts and ends in different keys and is typically found in late-nineteenth-century music,
was addressed by Robert Bailey as a part of his theory of the "double-tonic complex."
Bailey defined "double-tonic complex" as the coexistence of two tonics.3Bailey's idea
of "tonal pairing" is another phenomenon in some post-Wagnerian tonal structures, in
which two tonics are not in opposition but co-existent, and it penetrates to the deepest
structural level. Two tonics in "tonal pairing" either alternate rapidly or are textually
overlaid in the foreground and middle-ground. Bailey thinks the simultaneous existence
of two tonics in "tonal pairing" is more important than directional tonality. A similar
idea is discussed in Newlin's "progressive tonality."
Harold Krebs' analysis of Chopin's F major Ballade belongs to the first
category, "directional tonality" (see Figure 37).4 He states, "An example of a non-mono-
tonal instrumental work is Chopin's Ballade, Opus 38, which begins in the key ofF and
ends in A minor." In his analysis, the piece starts in the key ofF major, and the key of A
minor is not clearly established until much later in the piece. Conversely, F major
becomes progressively weaker and the piece concludes in A minor. In his graph, there
are two tonics: F major (between measures 1-82) and A minor (between measures 36-
196).
Although they overlap in the middle, the structural cadence V-I in F major is
concluded in measure 82, while the resolution to the structural tonic in A minor occurs
in measure 168, thus providing two tonal centers in equal weight. As Rink points out,
this differs from Schenker's graph, in which F major is assimilated to A minor as VI.5It
3Wai-Ling Cheong, "Structural Coherence and the Two-Key Scheme: A Study
of Selected Cases from the Nineteenth Century" (Ph.D. diss., Lucy Cavendish College,
University of Cambridge, 1988), 7-8.
4Krebs, 1-16.
5See the graph in Samson, Four Ballades, 80.
~Hm II!l UIlll Qj} IW 1m ill] fin
t'l
-
L..,,- - ..1
tJ
-
-
..... =6_
6 8-5 8-5 8- 5
L
T I I IT~ 1~I~r 1- ""'-...../1 I I
F~ I ..J.!! y
t
1Zl
___
t-*--------....-.---- -
I
1'1 ,
'if
I
80
F: I
L... ............... __ ..
Q: I
v
6 ~ ..
I (f:) V -J v
I " II
I
- ----- - ---- .----
(F:) - V -1- - - - - - - - - - - - - - - - - - - - - - - - - --
FIGURE 37. Harold Krebs' Schenkerian graph displays his idea of
"interlocking of the large-scale F-major and A-minor triads."
Source: Harold Krebs, "Alternatives to Monotonality in Early
Nineteenth-Century Music," Journal ofMusic Theory 25, no. 1
(Spring 1981): 12.
(f:) Y
• (4:) vim I-?-I
81
. - - - - - - - - - - -
- .
I I'l
- -
v
,~=---, 1- --
- - - )
~: V -·1
FIGURE 37. (Continued)
is interesting to note that the two Kopjtone, C as .5 ofF major and E as .5 of A minor, do
not descend to their tonics at their structural cadences and remain throughout the piece
in Krebs' graph; Krebs thinks the entire tonal structure of the Ballade is a presentation
of two equally weighted triads-F major and A minor, respectively.
Charles Rosen thinks that relative keys are more or less in the same key. Since
Op. 38 has the mediant key instead of the submediant, however, he thinks that a central
tonality is not Chopin's focus. He writes,
to interpret Chopin's two-key works as being based on the mixture of
two tonalities is problematic. In his two-key works, Chopin is
deliberately making a strong contrast oftona1 areas. It is precisely the
distinct centralizing pull of each key that adds drama to the works. The
sharp focus ofthe individual tonality is of prime importance in shaping
the music.6
6Cheong, 12. Taken from Charles Rosen, Sonata Forms (New York: W.W.
Norton, 1980), 295-96.
-------_._------_.._-
82
Jim Samson also focuses on the contrast rather than a superiority of one key over
the other:
The essential dynamics of the Second Ballade are set up by contrast
between its two principal ideas, the first (Theme I) a siciliano melody in
F major, which conceals its art beneath a deceptively innocent lilting
surface, and the second (Theme II) a bravura figuration in A minor.
Although contrast is the primary aim-and it is articulated by rhythm,
texture, and register as well as by tonal and thematic substance-Chopin
establishes coherence by highlighting common ground between the two
ideas.?
For David Witten, however, the second Ballade is a monotonal work. Like
Schenker, he thinks the piece is in the key of A minor because one perceives the key of
F major as VI of A minor retroactively. He fortifies his argument by quoting Brahms,
who was one of the editors of Breikopf & Hartel, which published Chopin's Ballades.
Brahms referred to Op. 38 as the "A minor Ballade" in his correspondence.s The figure
below is extracted from Witten's article and shows how F major is assimilated to A
minor as its mediant (see Figure 38). Witten also refers to Chopin's fascination with the
interplay ofF-E by adding the example taken from the Mazurka in A minor, Op. 17, No.
4; he points out how Chopin obscures the central tonality A minor at the opening ofthe
piece and only implies the tonic A minor by the first-inversion F major chord, which he
interprets as an A minor chord with an unresolved F.
Finally, there is another interpretation that explains the two-key scheme by
means of the connection between Chopin's Ballade and literary ballads. Dorota
Zakrzewska's analysis reveals some close resemblances between the Ballade and the
?Samson, Four Ballades, 51.
SWitten, Coda Wagging the Dog, 140.
83
f
------------. e
c ------------- c
a a
Am
(modified Witten's example 5.29)
FIGURE 38. Witten's example showing how the F major region is assimilated to
the A minor region.9
literary mode1. 10 She states that the Ballade is "highly sectional, with unusually sudden
leaps between contrasting sections," which is "reminiscent to the alternating stanza
pattern of a literary ballad." She also suggests that the large structure of the ballade,
which forms symmetry by the placement of the first theme, is typical in the literary
ballad. II
The above literature review presents some conflicting ideas, such as two-key
scheme vs. monotonality, or structural analysis vs. narratives. In this chapter, I
investigate how the Grundgestalt creates unity and conflict that contribute to the idea of
the Ballade. My hypothesis is that the Grundgestalt is the source of the opposite keys-
F major and A minor, respectively-similar to the way the Grundgestalt generates
IODorota Zakrewska, "Alienation and Powerlessness: Adam Mickiewicz's
'Ballady' and Chopin's Ballades," Music Research Forum 15 (2000): 60. Zakrewska
mentions that the first theme frames each secondary theme section, and the piece
concludes with a minor version of the first theme.
llSamson, Four Ballades, 51.
84
different key regions and octatonics in the G minor Ballade. The story of the Ballade
will unfold as the transformation of keys progresses. The main focus of this analysis is
not to determine which key is superior or which key dominates the piece. Rather, I will
focus on what F major and A minor signify and how those keys interact throughout the
piece. In my analysis, I will display that the piece is unified not by a single tonal center
but by a single motivic idea, the Grundgestalt, and the idea of the Ballade is a drama
created by oppositions: F major and A minor.
Form and Structure of the Ballade
The structure of the Ballade is shown in Table 3. The overall form is ABAB and
coda. There are clear distinctions between the A and B sections. Section A, mostly in
the key ofF major, is an Andantino with lilting motions. Section B, on the other hand,
is marked presto eon Juoeo and contains etude-like arpeggiations. However, there are
subtle exchanges between the key ofF major and A minor in each section, which are
described in detail later in this chapter.
The key signature does not change until the coda, even though Section B's key
(A minor) before the coda strongly contrasts with Section A's key (F major) and
progressively the key of A minor becomes dominant. This indicates that there is a
conflict between F major and A minor, and there is strong resistance against, as well as
hope for, supporting F major as the tonic until the coda. The coda, marked Agitato,
enables A minor to triumph. At the end of the coda, there is a small segment of Theme I
in the key of A minor instead ofF major, as if the original Theme I has been captUred
by A minor. Perhaps it suggests a metamorphosis of the major theme. This is a unique
programmatic feature of this particular Ballade and one that is not found in most other
repertoire.
TABLE 3. Formal Structure of the F Major Ballade, Op. 38
Sections Tempo! Motives Measures Keys Remarks
(Theme)
A (FM:) Andantino a a-I 0-5 FM: Antecedent
(Theme I) a-2 5-9 FM: Consequent
a-II 9-13 FM: Antecedent
a-2 13-17 FM: Consequent
b b-l 17-19 Am:
b-2 19-21 CM:
a-2 21-26 CM:
a a-I 26-29 FM: Antecedent
a-2 29-32 FM: Consequent
a-2 32-37 Am: Consequent
a-3 37-39 FM:
a-3 39-45 FM:
B (Am:) Presto eon c c-l 46-53 Am:
(Theme II) Juoeo c_l 1 54-61 Gm:
c-2 62-63 Dm:
64-65 Fm:
66- Mm:---
Al (FM:) Tempo I a a-l 82-85 FM: Antecedent
(Theme I) Y2 a-2 85-87 FM: Consequent
a-2 88-91 Am: Consequent
1Y2 a-3 91-94 FM:
d d-l 95-107 Dl>M:- oct.O, oct.2
ffiM:
d-2 107-110 oct. 0 stretto, piu mosso
d-3 110-114 Bk-
d-4 114-132 EM:-CM:- oct. 1
(FM:)
d-2 132-135 oct. 2 stretto, piu mosso
d-3 135-139 Gm:- oct. 1, oct.O
BI (Am:) Presto eon c c-l 140-147 Dm:!A
(Theme II) Juoeo c-l 148-155 Am:
c-3 156-167 V of Am:
Coda Agitato e e-l 168-175 AnI:
(Am:) e-2 176-183 Am:
e-3 184-187 Am:
e-4 188-196 Am:
IA Tempo I a Y2 a-2 196-203 Am: Consequent
85
86
Section A and the Presentation of the Grundgestalt
as a Source of Coherence
Section A, marked Andantino in 6/8 and called a siciliano by Jim Samson,12 has
a calm and peaceful atmosphere, as if representing the ideal pastoral setting typical in
literary ballads. The repeated C at the opening is ambiguous until the tonic of F major
appears in measure 2. In addition to the lack of chordal support, the rhythm and duration
of the repeated C is unstable, and it obscures a clear sense ofthe entry to the opening
theme. According to William Rothstein, the original version of the opening was more
straightforward metrically, but the addition of two extra notes makes the rhythmic
orientation more ambiguous when one listens to the section aurally (see Figure 39).13
The "original version" oftheme I
Ballad
-~
The final version of theme I'
FIGURE 39. The opening of the F Major Ballade, Op. 38. Source: William
Rothstein, "Ambiguity in the Themes of Chopin's First, Second,
and Fourth Ballades," Integral 8 (1994): 15.
12Ibid.
13William Rothstein, "Ambiguity in the Themes of Chopin's First, Second, and
Fourth Ballades," Integral 8 (1994): 15.
87
The repeated single tone at the opening is used in other pieces by Chopin. For
example, the Grand Waltz Brilliante in EJ, major starts with a repeated m(see Figure
40). In this short introduction, which consists of only one pitch, the hemiola lends
urgency and heightens one's expectation ofthe theme that enters shortly thereafter.
Conversely, the longer-than-usual repeated notes at the opening of the Ballade create an
illusion of the long distant past emerging gradually from one's memory.
FIGURE 40. The repeated notes without accompaniment at the opening of the
Grand Waltz Brilliante in EJ, major (Op. 18).
The opening C that starts from the weak beats in the middle of measure 0 is
reminiscent of the G minor Ballade's introduction, which starts with C as well. In the
case of the G minor Ballade, C was interpreted as the third of the A~ major chord that
is later identified as Neapolitan 6th in the key of G minor. There is another example
of a repeated "COO that leads to the secondary theme in the third Ballade in A~ major, Op.
38 (see Figure 41). These examples suggest that C indicates some perceptive and
programmatic connection between the Ballades.
Theme I in the A section of the F major Ballade consists of two phrases as an
antecedent and a consequent (see Figure 42). While the melodic line of the antecedent
has a memorable arch shape, the consequent mostly lingers between two pitches, A and
88
f\l :{!:.\ ~ :{!:.\ ~\
1
tJ. 11teZZO voce
FIGURE 41. Repeated "COO leading to Theme II in the Ab major Ballade.
F. There are motives "x," a three-note linear figure, and "y" (6-5) and "yl" (4-3), which
are whole-step and half-step dyads, respectively.
In the antecedent, after the gentle repetition of C, the ascending three-note
figure gradually emerges and climbs to the tonic F. Jim Samson describes this pastoral
theme as "deceptively innocent," and its simple rocking motion creates optimism, hope,
and nostalgia. The ascent to the top of the arch in the antecedent is symbolically
idealistic against the descent in Theme II in A minor that appears later. In the
consequent, there is a confirmation of the tonic F by a step-wise descending motion.
Figure 43 displays more detailed motivic ideas of the A section in the Ballade.
The structural notes in the opening antecedent are C-E-F, or 5-7-1 in the key ofF major.
I think this three-note motive is the Grundgestalt of the piece. The motion of the ascent
and the strong resolution from the leading tone E to the tonic F in the key of F major
establishes clear centricity and superiority of the tonic F major, the important statement
that begins the Ballade.
89
Theme I
Antecedent
Consequent
x
x
ITl
x
r
&1\ I.. I..
----.
..,
.. ,. .. 7i r p"" ... r tJiV r~
. .
:
-...L.Y I r I V I r I V I II
FIGURE 42. Theme I in Section A: Antecedent and consequent.
The Grundgestalt is developed in the antecedent. After reaching to F in measure
3, the melodic line starts descending, creating an arch form. The soprano D-C-A-F, or 6-
5-3-1 in measures 3-4, is an extension ofthe "basic shape," or the Grundgestalt; the first
three notes D-C-A (6-5-3) represent a reversion and transposition of the original shape
5-7-1, although there is a modification from a half-step (7-1) to a whole step (6-5). The
90
Antecedent:
Grundgestalt
Retrograded and
transposed Grundgestalt +1
(in major mode)
o 5
z
x
Consequent:
Retrograded and transposed
Grundgestalt (in major mode)
I I I5 A
1'\ ~ 3 1
f-&-!r._~' 1-. - . . .
.
IJ .. ......... i ~ .. 11 i ~rV r~
'..
f-=-.i'1- -
V I VI r 'I VI r 1 y I
FIGURE 43. Grundgestalt (C-E-F), 5-7-1, and its development in the key ofF
major in Theme 1.
descending motion D-C-A-F reiterates the tonic F, but it returns to A at the end of the
antecedent, forming "x," as if questioning the authority of the tonic F.
The Grundgestalt 5-7-1, or c-E-F, in the antecedent is reversed and transposed
(t = -7), forming 4-3-1, or m-A-F, in the consequent in Theme 1. Although the m-A
resolution reinforces the third of the tonic F major, as soon as A descends to F, it returns
to A as if there is resistance to settling on the tonic F major. After a tug of war between
A and F, finally the melodic line gravitates towards 1ofF major in measure 9.
91
The same consequent is modulated to the key ofC major between measurese 21
and 25 (see Figure 44). This modulation creates the retrograde of the Grundgestalt
without any transposition, F-E-C. The three note figure further falls onto A in measure
26 and yields a four-note figure F-E-C-A that replicates the opening pitches of Theme II
A. Measures 5-9
5 ~'\
--
. . .
.
v • ... -....... r P" .. r ~ i ~ r~
. ..
.
--
y I III r I VI r I y J Y
B. Measures 21-26
Retrograded Grundgestalt (F-E-C) + 1 (A)
I
eM: .4 (F)
FM: (1 yl
21 yl yl
.---, II
i
I
:3 (E)
7)
I ----------1
1 (C) 6 (A)
5 :3
FIGURE 44. The retrograded Grundgestalt in Section A.
---------------------- -
92
in the B section. While the original Grundgestalt stresses the superiority of the tonic F
by creating an ascending motion from the leading tone E to the tonic F, the retrograded
Grundgestalt weakens the centricity around F by the descending motion from F to E.
This reinterpretation of the two prominent pitches in the Grundgestalt, "z" (7-1 or E-F
in the key ofF major) to "yJ" (4-3 or F-E in the key of A minor), will be further
developed in Section B later.
Although the conflict between F major and A minor is clearly displayed between
Section A and Section B, there is a quiet shift and a hidden struggle beneath the surface
already in Section A. The first appearance of A minor is in measures 17-19, dropping a
hint of the future problem in the course of the Ballade (see Figure 45). However, the A
minor phrase is sequenced by its relative major, C major. C major functions as V ofF
major, and is assimilated to the home key F major in the next phrase. Chopin
emphasizes this sequential motion with dynamic marks.
17 x zr-l
x z
II
'1 1......- ,I k l\ I ~ 1\ "- I ~
V r D • I ¥ q'" ¥ .. I • r p
=~ I • ... \
I r' I r # ~, I I II
Am: (iii of F major) eM: (V of F major)
FIGURE 45. Sequences in the key of A minor and the key ofC major in the
Theme I area.
Theme I in the home key ofF major begins again in measure 26. However, the
consequent of Theme I in the key ofF major is halted, and the last note of the
93
consequence, tonic F, never appears (see Figure 46). Instead, the consequence is restated
in the key of A minor, and finds completion this time by landing on the tonic A. Chopin
marks the entrance of the A minor consequence with a crescendo and diminuendo,
stressing the tension of A minor overwhelming F major.
Antecedent (F major)
Complete consequent (A minor)Incomplete consequent (F major)
--------//30
I I I l I ~ r--=r-, I ~
!J ... ., ... "i r P" 1 i ~ r ~ r OP r ~ • r ~ •:::==-
• •
I V I r I II I r I V I V I V I r r r
1
36
FIGURE 46. Incomplete consequent in the key of F major and restated
consequent in the key of A minor in measures 26-37.
After the consequent is stated in the key of A minor, F major returns to conclude
Section A (see Figure 47). The perfect authentic cadence in the key of F major is
94
repeated many times at the end, as if the listener needs strong assurance of its
sovereignty. E-F-marked as "z," or 7-1 in the key ofF major-is repeated urgently as
well in the inner voice to affirm the superiority of the key ofF major. In the soprano, the
retrograded Grundgestalt m-A-F is repeated twice, and then it is shortened to a dyad A-
F, repeating many times until it fades.
xx
FM: V7 I y7
FM: I y7 I y7 I y7 I y7 I y7 I y7 I
FIGURE 47. The authentic cadence in the key of F major and the gravity
towards tonic F in upper voices to emphasize the superiority of F
maj or at the end of Section A.
The repetition gradually fades away during the smorzando, and there are some
subtle hints that portend uneasiness (see Figure 48). In the soprano, the pitch F, the
tonic of F major, and pitch A, which is juxtaposed over the dominant chord as a
dissonance, compete with each other for the conclusion of the melody. In the bass, the
95
descending motion F-E-C with a passing note D, or 1-7-6-5 in the key ofF major,
works as an omen ofF-E-C, or ~6-5-3 in the key of A minor, which appears in the
soprano at the entrance of the following Section B. The problematic "A" in the soprano
lingers, and it overrides the resolution F in the soprano in measure 45 with quarter-note
triplets. Section A ceases in the silence elongated by a fermata.
.-
I y' I y' 1 y' I y' Iy'I
Retrograded Grundgestalt (F-E-C)
rn
yl C,\?i-3 or F-E)
+ t n " f1 r--..._-_....-
~~~~::::::::=-~m.m~~~~r."I~
Am: i
FIGURE 48. The conflict between F and A at the end of Section A and the
beginning of Section B and reinterpretation of pitches.
---------- -----
96
Reinterpretation of the Grundgestalt and Section B
Figure 49 shows the beginning of Section B. After the pause, the hierarchy
between two confronting pitches, F and A, is dramatically reversed. The vertically
juxtaposed F and A in the soprano at the end ofthe Section A appear at the beginning of
the Section B in a higher register to start the new section. However, the problematic
pitch "A" at the end of Section A is empowered in Section B. The powerful descending
motion, marked presto con fuoco, forces pitch "F" to step down to pitch "E." The
previous tonic F is now reinterpreted as ~6 of the key ofA minor, and assimilated to E, 5
by a descending "yl." Thus, the Grundgestalt, the ascending three-note figure C-E-F
introduced in Theme I, now becomes a retrograde F-E-C.
FIGURE 49. The retrograded Grundgestalt F-E-C as ~6-5-3 in the key of A
minor in Section B.
The most interesting aspect of this reversal of the Grundgestalt is
reinterpretation ofthe pitches (see Figure 50). In theme I, C-E-F is interpreted as 5-7-1.
Pitch E is a leading tone ofF major and resolves to the tonic F via strong gravitation. In
97
Theme 2, however, F-E-C is interpreted as ~6-5-3. Pitch F, which is ~6 of A minor,
gravitates toward the more structural note E, which is the dominant of A minor, and
thus F is assimilated to the tonic of A minor. This not only provides a thematic
opposition against Theme I, but also predicts the course of the Ballade structurally; the
key of F major is eventually assimilated to the key of A minor.
FIGURE 50. Conflict created by the reinterpretation of the Grundgestalt.
Although the opposition is created by the contrasting tempi, a reversed arch
form, and dynamics, Theme A and Theme B are strikingly similar motivically. The
four-note figure F-E-C-A ~6-5-3-1) in Theme II is a minor version ofD-C-A-F (6-5-3-
1) in measures 3-4 in Section A, created from the original Grundgestalt. The first three
notes F-E-C not only represent the retrograde ofC-E-F from the antecedent of Theme I
but also a transposition ofm-A-F in the consequent ofTheme 1. Therefore, Theme I and
Theme II are the opposite sides of the same coin, closely related via the Grundgestalt.
98
The change in tempo markings from Andantino to Presto confuoco, dynamics frompp
to.ff, and texture from rocking barcarole to bravura figuration all contribute to the
dramatic turn of the piece. Contrary to the rhapsodic mood in Section B, however, the
harmony lingers on the stationary bass A between measures 46 and 52 (see Figure 51);
after the tonic arpeggio in measure 46 with emphasis on the 6-5 resolution in the right-
hand part, viio7 is juxtaposed on the tonic bass A. The motion between the tonic and the
diminished 7th on the static bass is repeated twice. Instead of securing the key of A
minor by a cadence from the dominant to tonic, the key modulates from A minor to G
minor. The harmonic motion, i-viio7/i-i-viio7/1, on the tonic bass is similar to Theme I in
the F minor Ballade (see Figure 52). In both cases, the tonic is stated not by an authentic
cadence but by the prolongation of the tonic.
5-31 (oct. 2)
.~
I 1
L I
-------------------------,~~ft#1Il" I I ~~~#*4~ I b~I III
~ ff *~ ~l~q.... ·.. .,. I ... ~I
~ I I .........-- U;.·h.l ___ :~" h. il- II
=
... I I I = ... I
• I I •
Am: i}
1
FIGURE 51. Theme II and its harmonic progression (measures 46-49).
The diminished 7th chord over the tonic bass creates a pitch class set 5-31, the
octatonic subset. Another octatonic set is observed in the bass line G#-A-B natural-C-D-
D# fueled by A and E from the A minor triad in measures 50 and 51 (see Figure 53).
99
5-31 (oct. 1)
I I1 -_ ..... _ ..~ I
5-31 (oct. 1)
r----------jin tempo7 r - -- ----I
I >...--: . ~ 1 --....' -...... I
4 I I II I I
mezza voce I I II I
I I I
: ; II
I
~ OJ .... :1 I ",.,F ¥: ~ ..... :1 I OJ .,F .... :I
J
11
\7
6
i~
FIGURE 52. Primary theme in the F minor Ballade, Op. 52, and its chord
progression (measures 7-10).
8············..·····..........·····..·..··..·..····!
....
...
LN
Oct. 2
~~------------._~
~"""'''''''
FIGURE 53. Octatonic subsets in the A minor context in Section B (measures
49-53).
Although the right-hand part is clearly derived from an A minor triad, the left-hand part,
elaborated with double neighbor-tones that could be derived from both minor mode and
100
the octatonic scale, renders the impact of the minor key against Theme I more powerful.
In measures 52 and and 53, another octatonic subset is created in the bass line while the
upper voices transform into a more ambiguous diminished 7th chord. Instead of
establishing the key of A minor with a clear cadence, the key shifts from A minor to G
minor via the stepwise motion A-G in the bass line in measure 54. Theme II is then
sequenced in the key of G minor.
The transition starts from measure 62 (see Figure 54). The key modulates from
D minor to F minor, from F minor to A~ minor, although all the tonics are on the
dominant basses instead of rooted on the tonic basses. There are several instances of the
three-note figure "x," emphasizing the orientation of each key where it belongs. The
minor-oriented dyads are instances of"yb' and are reminiscent ofF-E, or q6-5, at the
beginning of Theme II, based on the reinterpretation of the Grundgestalt. The bass line
A-C-R as well as the soprano A-B natural- C-D-R, marked as "xx," form octatonic 2
subsets, creating tonal instability in the transient section.
r Of 1
! t
A~m:
I
x '
I
i1. <tJ. '*
. .
1
x
FIGURE 54. Reinterpretation of the tonal cells from the Grundgestalt.
101
5
-----.J y7
13 Y V
....~._~"""'~.._'"
"'"....
-*-
y7 Y y7
82 y
FIGURE 54. (Continued)
102
After the transition between measures 62-82, Theme I in the key ofF major is recalled
between measures 82-87. The duration of the entire theme is presented under a single
slur this time, and is shorter than the theme in the previous section because the
consequent ofthe theme is incomplete and followed by a rest with a fermata (see Figure
55).
FM: Antecedent Consequent (incomplete)
HZ
I
Temp~
-~ '_. . "
.--------- - - - -
IV
Am: Consequent (complete)
FIGURE 55. In.complete consequent in F major and restated consequent in A
mIllor.
The consequent is restated in the key of A minor between measures 88-91. The
concluding phrase of section A, "xx," follows (see Figure 56); "xx," the linear
descending motion 5-4-3-2-1, provides assurance of the tonic F major in the first
Section A, which neutralizes the preceding A minor phrase. The difference between the
first Section A and Section Al is that the second "xx" lands on F# instead F in measure
103
95, creating 5-4-3-2-1#, the octatonic 0 subset. This alteration leads to the end of Section
A1 on an F# diminished chord, an octatonic subset, whereupon the piece progresses to a
region that is tonally unstable.
Figure 56 shows that motive "t" in Theme I is altered to create an octatonic
subset "t1" and its modulation in measures 95-96 and 102. In this transition, there is an
alternation of tonally stable areas and tonally unstable areas (octatonic subsets). In the
tonally stable area, there are some canonic motions of"s\" a four-note linear descent (6-
5-4-3), between different voices. The orientation of the four-note figure is major
Measures 0-9
s
FIGURE 56. Transition to the octatonic episode and the motivic transformation
from Theme 1.
104
Measures 88-107
xx (FM:)
Am:
I
FM: ~
I I I
~ ~ ~
I
1
I
~
94
~ :
I I I
~ ~ 2
\ ,
,~----------------------,~
I I
~ ~
I
~GloMtO~ ~ ~ ...~_______.;._?E.!:..2_________", : 1. I 'I
" , I 1 I1. I I..
, :
«J j' 'r ;1 l"ij'::. f!':' ~'J II .' I I s'l l~l Vtt-l , I
II I ~.i ; ~~ ~j)~J .h ~J J~.i ~.J I hI 1£:", b..~, II I ~.. 4- I
-
~-===
~! ...--------- ---- --- .. r
I
tO~ I L~ ~ I I t
I sll l'Q'
cresc,b~ ~~~..... ~.. _
FIGURE 56. (Continued)
because of 6-5 and 4-3, but the figure is on the dominant bass without resolution to the
tonic-as if the serenity of the major-oriented phrase is not real but something one
dreams of.
105
After the incompletion of Theme I in the key ofF major with the silence created
by the rest with a fermata in measure 87, the motive from Theme I begins
transformation as if the protagonist is lost or in a dream-like state. The tonal instability
created by the octatonic sets seems to produce a programmatic effect related to a
mysterious or supernatural atmosphere, an evocation commonly observed in literary
ballads. 14 This section is magical and works as if the protagonist is spared from reality;
the octatonic section creates a safe haven from the major/minor conflict created between
Theme I and Theme II.
The intensive chromatic ascending motion in the right-hand part begins in
measure 107 (see Figure 57). On the first, third, fourth, and sixth beats between
measures 107-110, the soprano forms 8-28, or G-A-A#-C-C#-B-H-F#-G-A-Bb, a full
octatonic 0 scale. The chromatic octatonic passage marked stretto, piu mosso is
intensified with a crescendo that leads to.ff. The harmonic structure of this passage is a
prolongation of the diminished 7th chord connected by chromatic passing notes. The
effect of this extended diminished 7th chord is significant in this section. Motive "t,"
which originated in Theme I, is modified to "t\" the octatonic subset, and repeated
several times in the lower voice.
After tonicizing both mmajor and G minor between measures 111-113, the
chromatic voice-leading yields B7 in measure 114, which is resolved to its tonic E
major, which is V ofthe key of A minor (see Figure 58). There is no resolution to the
tonic of A minor, however, and the key ofC major, which is V ofF major, follows.
14According to Steven Baur, Taruskin wrote that whole-tone and octatonic scales
were used to evoke the evil and supernatural beings while diatonic and modes were used
to depict folk characters and other human beings. Steven Baur, "Ravel's 'Russian'
period: Octatonicism in His Early Works, 1893-1908," Journal ofthe American
Musicological Society 52, no. 3 (Autumn 1999): 541.
106
S-28 (Oct. 0)
FIGURE 57. The octatonic episode and the motivic development of "1."
Between measures 115-122, more complete thematic material from the
antecedent of Theme I is presented, first in the inner voice, and then in the bass line.
Another canonic motion follows, repeating "Sl."
Between measures 122-126, figure Sl (6-5-4-3) is repeated and the resolution
V7-I takes place in the upper voices, but the bass remains on the dominant, preventing
realization of the tonic C major. After a brief intervention of the octatonic set in
measure 127, the F major segments are sequenced on the dominant bass without
attaining the resolution to the tonic. From measure 132, the transposed 8-28 (t = -1), the
octatonic ascending motion, interrupts the dream-like F major section with strong
intensity (see Figure 59). After the minor-oriented sequences in measures 135-138,
107
markedff, chromatic descent in the bass line in measure 139 neutralizes the preceding
octatonic region and leads to section B1.
1t5
I EM: I jCM:1
Tempo I _-------------------_.
III
-i'!
.,.-- ~ , I I I
4IJ ~: ~t t }r r- ~r- f' )': I~v,: r--=---
. . . JJ I t\ I
"
I 1.. J 1\ I
"
.. - ...
:
...~ ~' ~. ·r~ff~f·VofC major
1
Oct. 0
A·~"""·......",c--....- ..-I-----~ "I " 1 I,. I l
I-IIy I ----- I
V ofF major
... ...
....
.......-..._-----"
FIGURE 58. Canon in major-oriented section between octatonic phrases.
108
8-28 (Oct.2)
accet.
Chromatic
FIGURE 59. Second 8-28 (Oct 2) and motivic development of "1."
Figure 60 shows the beginning of section B1• Instead of starting with the tonic of
Am, Chopin applies the second inversion of a Dm triad on the dominant bass A. The
Dm triad is embellished by V~917 but is never established as the tonic of the key ofD
minor. Instead, the entire section between measures 140-147 works as a prolongation of
the is chord of the key of A minor.
David Witten explains how the second inversion of the Dm chord is assimilated
within the key of A minor (Figure 61). Not only is 6 resolved to 5, as we observed in
Section B, but 4- also descends to 3to form the tonic Am.
109
:::;;; I
/~,.
- '.'---.
v1
~. t
'
).-.······-···-···--··-·l---------
FIGURE 60. Section B1: Theme II in the key ofD minor.
The appearance ofD minor is ironic. D minor is vi ofF major, which is
supposed to be assimilated in the F major context. By analogy, the ally ofF major is
seized by A minor, creating a strong blow to F major. Figure 62 is a hypothetical
scenario from the opposite point of view, one that favors the key ofF major.
In measures 155-156, the bass line descends from F to E. forming 6-5 in the key
of A minor (See Figure 63). A trill-like figuration in the soprano goes back and forth
between E and F, the two crucial pitches from the Grundgestalt in measures 156-157. If
mm.140-147 mm.148-
110
F
------. ED
------. C
A --------------_. A
DmS chord Am chord
D
A
F
FIGURE 61. Assimilation of the Dm6/4 chord in Section B1. Source: Adapted
from David Witten, "The Coda Wagging the Dog: Tails and
Wedges in the Chopin Ballades," in Nineteenth-Century Piano
Music: Essays in Performance and Analysis, ed. David Witten
(New York: Garland, 1997), 144.
C
A
F
FIGURE 62. Hypothetical scenario for the dominance of F major.
F major declares its superiority, E is interpreted as 7, and establishes the tonic F in the
major context. If A minor triumphs, F is reinterpreted as 6and descends to EA, 5of the
key of A minor. The tension is built up with a crescendo while the altered motive from
Theme I is repeated in the bass line. In the inner voice, the modified motive "x" in the A
minor context is repeated as well. The suspenseful moment reaches its peak when the
pitch E in octaves starts descending towards the tonic A by stepwise motion in measures
166-167. The long tremolo works like a drum roll to heighten a decisive moment.
111
Alternating 'E' and 'F'
._-------------------
166
{
Am: 5
yl I
157
.?---_. ~---~--------------­
===------.:=:: , =--:-'....-.;.;-=---'--J
,.------------ .
1 --------------
1!J8
::1 ...__
:':;;;'
'-----------------
161
.. ,---_..------_._--_.-
•~ -,. I
---------------------------------------------- ----------
154
xx in A minor
FIGURE 63. Preparation for the coda (measures 155-167).
112
The coda starts from the first inversion of an F major triad, but immediately F is
interpreted as an upper neighbor note, and it is assimilated to the A minor triad (see
Figure 64). There are many attempts to assimilate F to E, creating yl or 6-5 in the key of
A minor. Although the tonal context is predominantly A minor, there is no strong
cadence to establish the tonic, and thus the struggle continues. In measure 171, an F
major triad is briefly established but taken over by the dominant of A minor at the end
of the measure.
(GM:) (FM:)
yl yl yl Z
I I I I I ~ r\& (.a) ~ ~~ (fa) ~ ~~ (fa) (& \' , 1) (~ ,(F) Am E7 Am 'G GmC7
171 --W6
1\
1
.. tl. l Itf" '1r
...... k... "
..
FIGURE 64. Beginning ofthe coda dominated by yl(q6-5) in the key of A minor
and the attempt to establish the key ofF major. Scale degree
numbers in the first parenthesis are in the key of G major, and the
ones in the second parenthesis are in the key of F maj or.
In measures 174 and 175 in Figure 65, another attempt is made to
establish F major; a "ZOO or 7-1 resolution occurs to replace the Am triad at the beginning
of measure 174, and an F major triad is established at the beginning of measure 175.
However, the F major triad is reinterpreted as VI of A minor, and more y1>s follow.
113
FIGURE 65. More conflict between F and E.
In the last page of the coda, the music becomes increasingly chaotic (see Figure
66). Between measures 186 and 187, the harmonic rhythm accelerates, and the
chromatic bass line prevents creation of any decisive cadence. The forceful descent in
the soprano line and the octaves in the bass from measure 188 create more instances of
yl, but it doesn't result in any final cadences. The bass line starts ascending from
measure 194, and there is a final attempt to include "E" to "F" in measure 195.
However, because of the succession of diminished 7th chords in the upper voice, "E"-
"F" in the bass line cannot be interpreted as?-I as a way of establishing the key of F
major. The chromatic chord progression between measures 194 and 196 is tonally
unstable, creating a few octatonic pitch-sets; B7 and D#o7 in measure 194 produce an
octatonic 2 subset, Eo7 and po7 produce an octatonic 1 subset, and the French 6th chord
in measure 196 produces an octatonic 2 subset.
r114
Oct. 28····················································· .
r-----------------------·--I
, ,
w·_,~ _. t----.
1::::1:=::1::=:
.,
,
,
---i',
I~ J
Tempo I
Fr.6th
'-- .....,.,,,......,,,...,... ---J'l..' _
z (E-F)?
Recalling tile Grundgestalt in FM:'
J I
yl (F-E)
GmndgestaltS-7-1 in Am'
---F?
FIGURE 66. End of the coda: Chaotic battle and the metamorphosis of Theme 1.
-----------_..._----
115
The F diminished 7th chord in measure 195 is followed by an F augmented 6th
chord markedft in measure 196. When the French 6th chord is about to be resolved to
the dominant of A minor so as to establish its tonic, a surprise event occurs. Suddenly
the resolution is curtailed and the highly charged music grinds to a halt.
Thereafter, the consequent of Theme I, marked pp and Tempo primo, appears as
if surrendering to its enemies-not in the original key ofF major, but in the key of A
minor associated with the presto confuoco theme in Section B. The vS chord in the key
of A minor, the resolution of the augmented 6th chord, reluctantly follows. While the
bass-line forms yl, or F-E, on A minor's terms, the soprano ascends from C to E,
recalling the opening's Grundgestalt C-E-F in the key ofF major. Finally, after a pause,
an authentic cadence in the key of A minor is quietly established.
The ending of the Ballade is unique and unexpected. The resolution to the tonic
A minor is indirect. The abrupt halt of the emotionally agitating coda insinuates that the
tale of the Ballade derives from the distant past, and the consequence of the tragedy is
narrated through Theme I in a distant manner. The Grundgestalt in the opening theme,
C-E-F, or 5-7-1 in the key ofF major, is transposed in measures 200-203, creating E-G#-
A, or 5-7-1 in the key of A minor, to conclude the piece.
Conclusion
The above analysis of the F major Ballade shows interactions between two
themes through a reinterpretation of the Grundgestalt. The Grundgestalt is the source of
the two themes, which strongly contrast with one another on the surface. Although the
themes seem to have nothing in common, close observation reveals that they are
generated from a single Grundgestalt. The piece is therefore unified by means of the
116
common "basic shape." Notwithstanding, one question remains: How can one explain
the fact that the piece starts in one key and ends in another? How is it perceived by
listeners and performers? Figure 67 shows how Theme I in the key of F major gradually
loses ground to A minor, until Am finally takes over and transforms Theme 1. Figure 67
also shows how F major in the Theme I area is progressively shortened and finally
replaced by A minor. Figure 67-A has the full antecedent and consequent. Figure 67-B's
consequent stops at the V7 chord without a resolution to the tonic. Figure 67-C is even
shorter; the consequent stops at IV before the V7 chord. Finally, at the end of the
Ballade, Theme I remains entirely in the key of A minor.
A. Theme I with a full consequent in F major (measures 0-9)
FM: IV
vi IV vi IV' vi IV VI IV' VI V' I
PAC in FM:
FIGURE 67. The diminution of Theme 1.
117
B. Theme I with an incomplete consequent in F major (measures26-32)
30
FM: vt IV vt Iv' vt IV vt IV' Vl II Followed by Am:
C. Theme I with an incomplete consequent in F major (measures 82-87)
FM: IV vt IV vt IV' vt IV
Followed by Am:
D. Theme I in A minor (measures 196-203)
Tempo 1196
A f ,f ~~ I ~ I f
V .. V .. .. . ..,.. I....
11l>- .. I 1.
.
r r -- ._-,.
.g'
Am: \1 iv \1iv'\1 iv \1 iv' \1 V7 •
- 1
FIGURE 67. (Continued)
I PAC in Am:
118
How does Chopin maintain coherence in the Ballade while applying a "two-key
scheme"? Figure 68 shows the three stages of the Ballade: the thesis, in which Theme I
A. Thesis: Theme I in F major
Grundgestalt in FM: (C-E-F)
z
B. Antithesis: Theme II in A minor
C. Synthesis: Theme I in A minor
Grundgestalt in Am:
z
Tempo 1
FIGURE 68. Three stages of the development of the Ballade.
i
----------------- -----------
119
is presented; the antithesis, where the oppositional force enters; and the synthesis, which
is the metamorphosis of Theme 1. Since Chopin never disclosed whether his Ballades
were based on any literary models, any plot attributed to them would be purely
speculative. However, the title "Ballade" itself invites the listener's imagination. For
example, metaphorically, the protagonist's beloved homeland (thesis) has experienced
many setbacks that have caused a great deal of suffering (antithesis). Thus, he knows his
country will never be the same (synthesis).
It is interesting and informative that Chopin replays Theme I at the end in the
opposing key. The imbalance created by the key scheme is unified thematically. First,
Chopin creates a perfect symmetry through application of the Grundgestalt C-E-F in the
key ofF major and its retrograde F-E-C in the key of A minor. Then he creates a
synthesis of two keys through its thematic unity. These two strategies solve the problem
of the "two-key scheme" and contribute to expressing the tragic nature of the Ballade.
120
CHAPTER IV
F MINOR BALLADE, OP. 52
Introduction: Background of the Ballade
Chopin's Fm Ballade, Op. 52, was the last of four Ballades he composed during
his lifetime. Jim Samson, whose extensive research covers historical background as well
as theoretical analyses, defines the period between 1836-1842 as Chopin's most
productive years. He composed the fourth Ballade in 1842,1 about six years after the
publication of the first Ballade, Op. 23. In 1842, Chopin also produced the last Scherzo,
Op. 54, in E major, the last Polonaise, Op. 53, in A~ major, and the last Impromptu, Op.
51, in G~ major.
According to Samson, Chopin became increasingly critical of his own
compositions in the 1840s, resulting in a diminution of his output during his last years.2
A comparison of Op. 23 with Op. 52 suggests that a stylistic evolution occurred from
the mid-1830s to the early 1840s: the organization and motivic development of Op. 52
demonstrate more complexity, and the listener experiences a few unexpected subsidiary
episodes that are absent in Op. 23.
ISamson, Four Ballades, 14.
2Ibid., 17.
121
Formal Organization and the Ballade's Hidden
"Two-Key Scheme": FM: vs. Fm:
The overall structure of the Fm Ballade is shown in Table 4. Section A includes
an introduction, Theme I, and Theme II. In Section B, Chopin extensively transforms
the motives "x" and "y" found in the introduction and Theme I of Section A. Section B
is short (about 28 bars), and Themes I and II are not directly recognizable. A reprise of
Section Al follows Section B. Section Al includes the introduction and Themes I and II,
but the introduction and Theme II are in keys different from those found in Section A.
At the end of Section A I, a significant dominant pedal over C anticipates the arrival of a
substantial coda in the key ofF minor.
Although Chopin's music is not programmatic in the manner of Berlioz's
Symphonie Fantastique,3 many people would agree that the Ballade is telling a story.4
However, because Chopin's Ballades are purely instrumental works and the composer
does not disclose any model of literature as their foundation, the following questions
can be raised: what is the plot and how does it unfold?
3Samson writes that "the ballad settings by Schubert, Loewe, and others were
frequently presented in a 'narrative' 6/8 or 6/4 metre, borrowing freely from a
convention commonly associated with pastoral music of the eighteenth and early
nineteenth centuries." He also adds, "the lyric poem and its musical setting expressed an
emotion, while the ballad and its musical setting told a story." However, Samson states
that Chopin avoided programmatic association by shunning any attempt to express the
world of external reality (as opposed to inner emotional reality) through his music,
unlike Berlioz and Schumann, who already wrote instrumental works inspired by
literature before 1835. Samson, Four Ballades, 11-12.
4For example, David Witten summarizes the piece with metaphor: "Poetically,
this Ballade describes a hero who suffers many setbacks but struggles to overcome them
and emerges victorious. Analytically, it narrates the story of a tonality (I) that
continuously slips down a fifth below to its subdominant (IV), but ultimately discovers
a path towards home (V-I) via the submediant (VI)." Witten, "Coda Wagging the Dog,"
162.
TABLE 4. Formal Structure of the F Minor Ballade, Gp. 52
122
"y" (major) or
Sections Themes Measures Keys Remarks "i" (minor)
A Introduction 1-7 CM: (as VofFM:) Motives "x," y (6-5)
'ty," "z"
Theme I-I (a + b) 7-22 FM: - A~M: - B~m: Motives "x," yl (~6-5)
"yl" (opposition)
(FM:)-B~m: Modal mixture I
Theme 1-2 (a + b) 23-37 Fm: - A~M: - B~m: Variation I yl (~6-5)
Modal mixture
(FM:)-B~m
Episode 38-46 G~M-F~M Pentatonic y (6-5)
46-57 Cycle of 5'"- Transformation y (6-5)
B~m: of "x," "yI"
Theme 1-3 (a + b) 58-71 Fm: - A~M: - B~m: Variation 2 yl (~6-5)
(FM:) Modal mixture
72-80 -F V7 ofB~M: i (~6-5))I y (6-5)
Theme II-I 80-99 B~M: (IV ofFM:) Emphasis on 3 y (6-5)
(B) "Development" 99-107 Gm:-Am: Transformation i (~6-5)
108-120 Gm: - Fm: - D~M: - of "x," "yl"
A~M: - D~M: Enharmonic
121-128 D~m: - A~M: - Fm - change
EM(F~M)
A "Introduction 2" 129-134 AM: (III of FM:) Modal mixture y (6-5)
"x," "y," "z" i (~6-5)
Theme 1-4 (a + b) 135-151 (Dm:) - FM:- Variation 3 yl (~6-5)
(Fm:) - A~M: - B~m: Canon,3-3's
(FM:)-B~m:
Modal mixture
Theme 1-5 (a + b) 152-164 Fm: - A~M: - B~m: Variation 4 yl (~6-5)
(FM:) Modal mixture
164-168 F/9 6-27 (Oct. 2)
+
3-3's (A vs. A~)
Theme 11-2 169-191 D~M: &VI of Fm:) ~VI ofFm: Y(6-5)
Preparation for 191-202 D~M-CM bVI-V in Fm: yl (~6-5)
the coda 202-210 CM Reduction of the Neither "y"
(V of Fm:/FM:) intro. nor "yl"
Coda 211-239 Fm:-(FM:) -Fm: 3-3 's (F-G#-A) yJ (~6-5)
7-31 (Oct. 1)
V7_i in Fm:
*In resolution "y," 6-5 indicates a major diatonic scale and ~6-5 indicates a minor diatonic scale as its
referential collection. Octatonic 0 stands for [0134679T], octatonic I stands for [124578TE], and
octatonic 2 stands for [235689EO] (0 = C, 1 = O/D~, 2 = D, etc.).
123
My analysis reveals a conflict between F major and F minor throughout the
piece, as if a two-key scheme lies hidden just below the surface. As this musical story
unfolds, F minor gradually emerges and finally triumphs over F major at the end of the
Ballade. Therefore, it appears that the unique quality of this key scheme, rather than the
form, speaks as Chopin's primary idea in the Ballade. This analytic approach suggests
that the composer intended to convey a succession of events and their consequence. The
key scheme not only expresses the mood of each section, but also gives the piece
coherent direction. The tonal discourse of the themes is illustrated in the tonal pyramid,
which shows the order of the modulations in the thematic areas. The tonal pyramid also
shows two tonal centers-FM: and Fm:-projected in the introduction and Theme I,
respectively (see Figure 69).
The tonal pyramid displays Chopin's preference for third-related keys. In Theme
I, whose recurrence dominates the piece, the key ofA~ major ~III) always assimilates
the preceding F minor. The second introduction in Section A1 is in the key of A major,
which is a mediant (III) ofF major. The key ofD~ major, submediant major ~VI) ofF
minor, is chosen for Theme II in Section AI, and A major and D~ major dance
symmetrically around the tonic F. The order of A major and D~ major symbolizes the
development ofthe plot as well; after the appearance ofD~ major, which is ~VI ofF
minor, the course of the piece clearly steers towards the final destination, F minor, via
the resolution from ~VI to V.
F major related regions
FM:
I
Theme 1-#4 & (coda)
F minor related regions
Fm:
1
Theme 1-#'sl, 2, 3, 5, & Coda
I, 22 ~.~\t:: .
2,5,8,16 ./;: t\ ..
{
.~•••/ / 4:7,15 , ••••.•...••
....:.•~ji \ '\ .
36,•••·~·1417/ : 18 \.. .•..••..•
~! ~ \ .
AbM Bb.:n em DbM EbM
19
124
* Arabic numerals represent the order of modulation.
FIGURE 69. The overall key scheme of the thematic areas on the tonal pyramid.
Arabic numerals represent the order of modulation.
Other prominent keys are m major and B~ minor, the subdominant key regions
of both F major and F minor. mm exerts a strong presence in Theme I, including the
theme's conclusion. Theme II in Section A is in the key ofB~ major. The parallel keys
in the subdominant area mirror the major/minor conflict between F minor and F major
in the tonic area. Conversely, the dominant is mostly absent, except in the introduction,
which is detached from Theme I by a fermata. This structure renders the arrival of the
dominant before the coda even more aurally dramatic and decisive.
125
The Grundgestalt and the Introduction's Tonal Problem:
Implicating F Major as the Tonic
The F minor Ballade's introductory section (mm. 1-7) emphasizes C major and
functions as the dominant for the following section, which begins with an F minor triad.
Three important melodic motives appear in the introduction: (1) a descending linear
three-note motive E-D-C, or "x" (mm. 1-2), presented in the left-hand part; (2) a
descending melodic five-note motive G-F-E-D-C in the right hand part, or "xx" (that is,
two x's, G-F-E and E-D-C, combined); and (3) the descending major second, "y," which
is 6 to 5in the dominant key, C major (see Figure 70).
A detailed analysis of the introduction, however, reveals a curiosity. As soon as
the F major triad is tonicized by its dominant C7 chord in measure 2, the secondary
dominant G7 chord in measure 3 counterbalances the initial tonicization in an attempt to
establish the key ofC major. All three melodic motives are oriented toward C major.
Motives "x," E-D-C, and "xx," G-F-E-D-C, descend to C by stepwise motion, stressing
the superiority of C as the apparent tonic. However, E is added to the end ofmotive
"xx," completing the melody G-F-E-D-C-E in the first phrase of the right-hand part, as
if raising a question. In the second phrase, not only "xx" but also "x" returns to E,
resulting in the melodic sequence E-D-C-E. The introductory phrase concludes by
reducing the melody to nothing more than a single E.
The added "E" after every descent to C in "x" and "xx" renders the melody's
tonal orientation ambiguous and forces the following speculation: is "E" going to be
interpreted as 7 eventually and resolve to 1in the key ofF major? The umesolved "E" is
reminiscent of the controversial "H" (~6 of the key ofG minor) in the introduction of
the Gm Ballade (see Figure 71). I will use "z" to imply the implied half-step upward
motion from 7-1 shown in Figure 70.
126
xx
x
z
xx
xyz
z
I~
x
x
I J ..J ] j ..J j i i J1\,
tJ
P le~toqr "f!:- b.... .0b;" ;:",.. .,........ L
-
~
:
: "x
r--------- I ~3 fl , '\ --....-.. , ITj i ..Jr i
.
...
f)
'f I '1l'" I l' I 'l'f
-¥--
-----
'1/1- t;' ........sA /' ,;,. ~ It. q:~ / .. L til- ~
:
-
~ ~
---J
~~ I r-------- Ir I r----------5 1\ I 'I Ii i 1-- ~
f) ~f -f4~ I ti-I 'rr Ill"' I 1*'1
di1/J. Y ritenuto . ..Y .
~I;- ...~I
--
-I. _
... LT "t----.....
:
l
zr--------·,
t:'\
FIGURE 70. Tonal cells "x", "y" and "z" in the introduction (measures 1-7).
x
___--..;;.Moderato~
FIGURE 71. G minor Ballade (measures 5-10).
127
In measure 3 of Figure 70, motive "y" descends from A to G, creating a 6-5
sequence in the key ofC major and assimilating an F major triad as the subdominant
first inversion resolved to C major. I think the pitch "A," 6 ofC major, is another
component of the Grundgestalt. Although the introduction concludes with a C major
triad, the 6-5 C major sequence recurs several times at the end of the introduction,
echoing the initial F major triad in the opening, until the introduction fades away.
If one can interpret "E" as '7 and seek the resolution 7-1 in the course of the
Ballade, it is not umeasonable to reinterpret A-G as 3-2 and speculate the expansion of
"y" from a dyad to a three-note motive. The last two pitches in the inner voice A-G (y)
in the introduction might possibly be expanded to A-G-F, 3-2-1, emerging from "y" to
"x" in an F major context. Thus, both uncompleted "z" and uncompleted "y" suggest F
major as a possible tonic.5The Schenkerian graph shown in Figure 72 summarizes the
motives and the ambiguity of the introduction's key.
Metaphorically, what does the key ofF major represent? The mood of the
introduction evokes a lovely springtime atmosphere. By returning to "E," the phrase is
like an innocent child asking a question. The key of F maj or could be an idealized
pastoral vision of one's homeland, or something that the protagonist always dreams of:
love, happiness, or a fond reminiscence of the past. However, F major is merely
suggested, not realized, in the introduction. And the question lingers not only in the
5Witten also points out the ambiguity of the beginning of the Ballade. He writes,
"Is this phrase in the key of C or F? On the one hand, the repetitions of C major
continue until measure 7. But the 9-8 struck suspension in measures 2 and 4 are an
expressively persuasive argument for F major; also tiny plagal cadences act as "filler"
after each phrase, and keep the sonority ofF in [the] ears." Witten, "Coda Wagging the
Dog," 162.
128
xx
"I I , J·~.I /1-1
I
/,J X ~< '~~... ~... ~--..... ·~I
I ..
r--,r"~
7
V'hv IV V~: 3
FM:
eM:
v
x
7
6 - 5V4 - 3/V V
zi------------------- :
I
I
I
I
I
I
(F)
(F)
I IL J
x
FIGURE 72. Schenkerian graph of the introduction.
introduction, but also throughout the piece. Does the protagonist's dream come true?
Next, I will demonstrate how the projection of the F major chord in the introduction and
the F minor chord in the primary theme area become problematic, creating conflict
throughout the piece.6
Another Grundgestalt and Ambiguous Chromatic Chords in Theme I: The Fm Chord
as an Opposition and Presentation of the Octatonic Subsets
The introduction begins to fade with the diminuendo and ritenuto marked in bars
5 and 6, and it concludes with the fermata. A clear change occurs in the texture and
rhythm as well. Theme I begins as a waltz in 6/8 meter, but like the opening of the G
minor Ballade, the accompaniment is absent (in the first half of measure 8). No voice
6Michael Klein also points out an opposition between major and minor keys,
mainly between the primary theme (minor) and the secondary themes (major). He
writes, "The narrating presence in the Fourth Ballade idealizes the pastorale in
opposition to the waltz, which stands as a synecdoche for the urban life of the salon."
Klein, 49.
129
leading resolves "E" in the soprano at the end of the introduction. This suggests that the
introduction is somehow detached from Theme I in the following section. It renders
ambiguous the connection between the C major triad at the end of the introduction and
the F minor triad at the beginning of Theme I, thus creating a juxtaposition: the
protagonist's longing for the key ofF major in the introduction, as opposed to the
intrusion of "reality" represented by the key ofF minor. The mood of Theme I stifles
the nostalgic dream in the introduction and replaces it with a melancholic atmosphere.
Theme I, or the primary theme, is divided into two distinctive phrases: "a" and
"b." In phrase "a," the 5of the key ofFm, or C, is prolonged and embellished by the
upper and lower neighbor tones (see Figure 73). Phrase "b" manifests a strong tonal
direction to establish the relative key, Ab major. The soprano of phrase "b" consists of
"x" and "xx," generated from the motives in the introduction.
a
FIGURE 73. Antecedent and consequent in Theme I (measures 7-12).
Figure 74 shows my Schenkerian graph of phrases "a" and "b" in the Theme I
area. Phrase "a" is static and creates uneasiness because of the chromatic/octatonic
130
subset embellishing the F minor chord. Conversely, phrase "bOO concludes with a perfect
authentic cadence to establish Ab major, the relative major ofF minor, by assimilating
the F minor triad as submediant. The insinuated major key and the clear cadence of M
major counterbalance the uneasiness in phrase "a," creating a 6-5 sequence. The upper
neighbor Db is stressed rhythmically by anticipation in measure 9, and then resolved to
C. This structure forms figure "yl>' by the motion from b6 to 5in F minor.
Oct. I
v X xx~~ i II I
.~ ~ r--:./ t . ..--.. _ T';"'~I~L- I-.
...
:/ 5.31~qe I: :I If!:. :I
I ..
/ ,.
·r-----/
....
6
,
Y
q7
5 6 5
Fm: i 3 4 .1
I 2 I
I
A!,M: v;
"-5
I
7
V 6 - 54 - 3
FIGURE 74. Schenkerian graph of Theme 1.
I think b6 or Db is another Grundgestalt that represents the key of F minor and
creates opposition against the tonic F major suggested in the introduction. First, Db
doesn't belong to the key ofF major; therefore, its presence creates a problem. Second,
Db calls for a resolution to C, the dominant ofF minor, to establish its tonic in the minor
131
mode. Therefore, D~ represents the identity of the F minor mode that counteracts the F
major mode originally projected in the introduction.
There are three harmonically functional components of the Grundgestalt
presented at the beginning of the Fm Ballade: (l) the leading tone "E," which has to be
resolved to F; (2) an "A," which resolves to G to create 6-5 in the key of C major, as
well as 3-2 in the key ofF major; and (3) "D~", the ~6 ofF minor resolved to 5, which is
the oppositional force that prevents the establishment of the key of F major, steering the
direction of the piece to F minor instead. "A", "E", and "D~" all gravitate towards more
structural pitches, creating stepwise motions "y" (6-5), "yl" (~6-5), and "z" (/-1),
respectively.
Figure 75 illustrates the two conflicting scenarios created by the Grundgestalt.
Scenario 1 establishes the key ofF major projected in the introduction. Scenario 2
establishes the Fm tonality suggested in Theme 1.
Scenario 1 in the introduction (F major oriented)
z
E -----------------------------~ F(~)
1\ G ---------------------------~
I
y
x
Scenario 2 in Theme I (F minor oriented)
I I
Db C -----------------------.. F(m)
FIGURE 75. Conflicting scenarios: "y" in the introduction and yl in Theme I.
132
In addition to the melodic tension and resolution between ~6 and 5, there exists a
harmonic tension and resolution in the same measures. The vii07 chord juxtaposed with
the bass F on the downbeat in measures 9 and 10 creates 5-31 [1457T],7 which is a
diatonic/octatonic subset. This juxtaposition creates dissonances over the bass F. Thus,
tension exists not only between ~6 and 5, but also between viio7 and i in the key of F
minor. Although the entire phrase "a" is derived from the Fm harmonic scale, the effect
of employing the chromatic chord, which is the common subset between the diatonic
collection and the octatonic collection, adds a specific color to the primary theme and
works as a "seed" that grows into a larger conflict later.
Figure 76 summarizes phrase "a's" from the Theme I area (mm. 7-22) and
displays the referential collections behind the melodic and harmonic structure as well as
the octatonic sets created.
The characteristic of the Theme I phrase "a" area is strongly affected by the
diminished chords juxtaposed over the tonic bass to create octatonic sets through a
modal mixture. While a-I starts from the F minor triad, a-2 and a-3 start the phrase with
major triads A~M and FM, respectively. However, neither major triad has the freedom to
express its major mode character, because each major triad is tainted with a minor
character by the modal mixture, as if held hostage within the minor boundary. Even
more confining is the F major triad's interpretation as the dominant ofm minor, the
subdominant ofF minor. Combined with chromatic/octatonic chords, which are
71 will use the following symbols for three transpositions of the octatonic scale:
octatonic 0 [0134679T], octatonic 1 [124578TE], and octatonic 2 [235689EO]. The
numbers represent pitches: 0 = C, 1 = C#lD~, 2 = D, etc.
133
a-I
Referencial collection: F harmonic minor scale
t~ 9 9t1 99 nQ 9 a
I
ocL I ocL I
a-2
~~~1 ~~_.__ _~~~___ _ :::=:_- _- ~.. ~ ,_ .~:: - :: ~-~- -- ,,~N~- ~~ N_ _ _ ~= ~_____ ~ ___ ~ :=:-_~.~ -:- ~_ .. -- H.
Referential collection: A~ major/minor scale
A~ minor
AI major ; ~-J.-
'?if g
Q
r
tJ
oct. 0
a-3
~ ..~17~~I·~;[········~r~~p :§ ~ ----_.._... -' -" .,. ·_w·····.· .~.." . ", ._, -_"'~... __ "'"•._ • ,~m ••,_.... , ~ ~~_.,_ _ N'~_ -_•••• . ...... _ .....__ ._~ _ •.•__ ,.... ••• .._..... _.. .... ..••...•.•...... _"m_'''' _• :=:.::~ ---==-...:.=:::::::~..=."== ~~~'~.&ij::: :~=:, ,;f ~ ~
Referential collection: F major/minor scale
I
-9-
F major
ocL 0
a
F minor
FIGURE 76. Modal mixture and referential collections in Theme I, phrase "a's."
134
juxtaposed over the tonic bass, and an irregular harmonic rhythm, the entire Theme I
area creates an uneasy, disoriented, and melancholic air. 8
Grundgestalt and the Pentatonic Episode
There is an episode in which Chopin employs the pentatonic scale between
measures 37 and 46 (see Figure 77). The source of the pentatonic scales 1- 2- 3- 5- 6
between measures 37 and 47 is the introduction; if one combines 3-2-1from "x" in
measures 1-2, and 6-5 from "yh' in measure 3, the pentatonic scale 1-2-3-5-6 is formed. 9
Thus, Chopin embellishes the m major triad with the Gb pentatonic scale, and the H
major triad with the H pentatonic scale (see Figure 78).
In measure 37, the descending motive "x" m-Ab-Gb bridges the key ofm minor
and the key of Gb major. While the right-hand part stations on the m major triad with
slow repetitions between measures 38 and 41, the left-hand part casts a melodic
figuration with the octave doubling. The Gb major arpeggiated chord in the left hand
part is embellished by its neighboring notes B (as an escape tone) and AI, (as a lower
neighbor tone). This embellishment of the Gb major chord results in a full Gb pentatonic
scale, m, Ab, Bb, Db, and H between measures 37 and 41.
8According to Zakrzewska, feelings of alienation, powerlessness, and morbid
anxiety were common among Polish emigrants, especially after the failed Warsaw
Uprising in 1831, which promoted the Great Emigration. Zakrzewska, 31-35. She
suggests that this emotion is expressed in both Chopin's Ballades and his countryman
and poet Mickiewictz's ballads. I think the waltz sections in both the G minor and F
minor Ballades might reflect Chopin's feeling of loneliness and disorientation living in
a foreign land.
9This was pointed out by Dr. Jack Boss, my dissertation advisor, in one of the
meetings.
135
x
yx
pp
legato
Gb Pentatonic
pb Pentatonic
FIGURE 77. Pentatonic subsets in the transition between measures 37-46.
The three-note figure B-m-D marked in Figure 79 has a contour relationship
with the three-note figure H-m-D~ from Theme 1. The difference, however, is the
intervallic relations among the pitches in the figures. E natural-m-D~ is a diminished
triad, and an octatonic subset. Conversely, B-m-D~ is a pentatonic subset derived from
the major diatonic scale without leading tones. Since there is no half-step in the
pentatonic scale, the whole section is spared the influence oH6-5, the negative force
against a major key. The lack of leading tones or half-steps counterbalances the
136
GbM
I I I
GbPentatonic scale: Gb Ab Bb Db Eb
1 ~ ~ ~ ~
I [ I I I
x y
FbM
I I j
FbPentatonic scale: Fb Gb Ab Cb Db
1 ~ ~ ~ ~
I I I I I
x y
FIGURE 78. Tonal cells "x" and "y" in Gb and H pentatonic scales.
hierarchy created in the usual diatonic scale, creating a peaceful pastoral atmosphere.
Along with the relaxed barcarolle-like rocking motion of the right-hand part and slow
harmonic rhythm, the section creates a safe haven from the oppositional forces
represented by the minor and octatonic scales.
More Development of the Oppositional Forces in Theme I #3
How are the oppositional forces against F major, represented by D~ or ~6 ofF
minor in the Theme I section, developed in the rest of the piece? Chopin continuously
transforms phrase "b" throughout the piece. Figure 80 shows a further transformation of
"b" in the transitional section. In measures 46 and 47, the melody forms an octatonic
subset 6-27 [23568E] over m7and F"7. In measures 48 and 49, another octatonic subset
6-27 [023569] is created over m7 and F7 to form a sequence. Chopin applies modal
mixtures to obtain Gb for both.
137
37
7 -------- ..I I
" I
I I
I t.> Il-l-oI """"'" , I
'_ - - _____ I
<
r--.,..... r--,.....
I . .. .
~ ""... ::t "",...... ": ..., .... ::t ..." ....-F
FIGURE 79. Motivic relationship between Theme I and the pentatonic episode.
The Transition to Theme II in the Key ofBbM, the Subdominant ofFM,
Creates a Safe Haven Against the Oppositional Force
Between measures 68 and 71, at the end of the third cycle of the Theme I
section, the tension grows over the bass F. Figure 81 illustrates the octatonic 0 subsets
created with increasing dynamics and more forceful octaves in both hands. There is also
an emphasis on m, the flat 6th of Bb minor, as well as a, the 7th ofthe F7 triad, to
signal the usual modulation to Bb minor and conclude the Theme I section. However,
the F not only withstands the pressure to move to Bbm, which is the subdominant of
6-27 (oct. 0)
138
7·31 (oct. 2)
r--------------I:/------
II xI I I :----
L--- _. Cycle of 5ths - - - - - - - - .
7-31 (oct.O) 3-2 (oct.2)
1
x x x1f.rmnv I I52 1= ,~ /" ~~ ~fli t---
-.J I r~ I 'I X ~ I
~t ~~~""~ =lIl- t' --I!= ' ~I/I.""
- "- .....
.
L-"'- t. ~
FIGURE 80. Octatoic sets in the transition between measures 46-55.
F minor, but it also directs the course to F major territory. After a chromatic modulation
in sequences, Chopin alternates ~6-5 (a-F) and 6-5 (G-F) in rapid motion with an
accelerando and diminuendo, signaling minor to major modulation. F7 is then resolved
to m major, the subdominant ofF major, to create the Theme II area, a kind of safe
haven from the oppositional forces.
,
,
I
I
J ~ ~
•I
I
•
I_~_w ~
139
FIGURE 81. Transition to Theme II-I.
140
Theme II in the Subdominant of F Major: Creating a Safe Haven
Against the Oppositional Force
Although Theme II contrasts with Theme I, there exist some similarities
between the two (see Figure 82). Some of the stepwise motions around 5---e.g., 6-5 and
6-5-4-5-are reminiscent of "a" in Theme I (mm. 86-87). In measure 91, the inner voice
A natural-D natural-C-G-A natural mimics the contour of the opening of "a": C-F-E
natural-Bb-Db. However, there are some contrasting elements as well. For example, at
the beginning of the theme between measures 80-84, the melody line emphasizes 3
above the root position of the bass, featuring its major orientation. The Theme I section
stresses 5 instead of 3. When 5 is emphasized in the Theme II area, it is embellished by
6 instead on6 to ensure the superiority of the major key. When there is a half-step
descent, it forms 4-3 instead on6-5; in addition, "z", the E-F resolution, is reinterpreted
from 7-8 to natural 4-5 in measure 87.
Jim Samson usually attributes the slow major thematic section in Chopin's
Ballades to either siciliano or barcarolle. The Theme II section in the F minor Ballade,
which Samson describes as a siciliano, resembles most closely the F major theme in the
second Ballade, Op. 38 (see Figure 83). They are both written in 6/8 meter, and the
lilting or rocking style, as well as the distribution of the voices, is shared by both.
Development Section: Pilgrimage Towards F Major
Section B, or the development section between measures 99 and 128, consists of
an extensive thematic transformation of motives. In measures 100-101, motive "y\" or
B-D, is emphasized in the key ofG minor (see Figure 84). There are ascending thirds,
FIGURE 82. Theme II-I in the key ofm major.
141
FIGURE 83. F major Ballade, Gp. 38, measures 0-9.
142
lAm:)
[Gm:] ~ I yl I
1&0 ~6" S" --. b6r;::" "
I&~ f ~I" ~ M !:l- ~~~q~}fk.............. __
tl
".-.....> ~ Ilf • 'I r- Illi 'I
:
x
=
treSt. . . . • I .
/b~#~~ .-
. . .
,I<. I r 11.•k J I /f,.
:
~ .
.
=: x
1
xx
:
rDbM:)
I~~'
IAbM:] xx
11~ " ....;:::== I
~ I
FIGURE 84. Thematic transformation between measures 100-113.
------------- ---------------------
143
"x's," in the bass and soprano: H-G-A (7-1-2) natural A-Bb-C (2-3-4), respectively. A
stepwise descending motion starts from pitch A in measure 101, stretching more than
one octave to reach its tonic G. This could be viewed as an expansion of motives "x"
and "xx." Chopin modulates the same phrase to the key of A minor between measures
103 and 107, creating sequences.
After more transformations of "x" and "y," the repeated-note rhythmic motive
from the opening of the introduction emerges gradually for the transition between
measures 121 and 128 (see Figure 85). The right-hand part initiates some repetitive
motion in measure 121 to mimic the motion at the opening ofthe introduction. The
contour of the bass line in measure 121 and measure 123 is reminiscent of the contour
of "a" from Theme 1. In measures 125-128, the contour and the rhythmic motion ofthe
right-hand part tends progressively closer to the introduction. The pitch Ab is
enharmonically exchanged for min measure 128, creating the third of an EM chord
(enharmonic to HM), the Neapolitan of the key of B minor. Then the EM chord is
reinterpreted as the dominant of AM, the key of the second introduction.
Theme 1
a b
sst
1""1----..,'-
FIGURE 85. Thematic transformation: Contour and rhythmic relationship
between the motives in the introduction and Theme I and melodic
figures in Section B, Theme 1.
144
Section B rom. 119- 128
b
'f! I .,..1'- • .,.. · .....
· .
tJ r' ~r ~ I -r-r r" I T 'r" I
< - -~
-:
·
.
I I
s
t
lee
1
III
tJ
,.. r r I ~;-- rqr r r 7'" ,.. r-17'"1 r-r r:r f f I
cresco ~ _
-
. .
..----:
----:
q;;- ..
-,;" ~ +- v· ~ -,;
t s
ITlIn III I
t
J2i1 I J -4 • .-l- J .r l ~J ..l .I J.1;';Ti
tJ r I b;-- q;-- r I I
-
. . . . f ,.--, 4f .r:l-r--.J k J7:r':J :ft'
.
.
.
b~ ~ ~~ ~ :! .. = +1"- ---I I ,
=i ~ tcn.
FIGURE 85. (Continued)
145
L..-.--__t
12~ I 1" J I.J .I L I l
.., r L I "If If" "I lfJ l' ~r r L I'" ~r
='-- ~t (li1ll.J------J J J ~1
: .
.
~ '* I~r' I I...
I
The second introduction
n ITl I
12~ I
- I I I I
r lU I I
FIGURE 85. (Continued)
The Oasis in the Middle Creates a Magical Moment: The Second Introduction in the
Key of A Major and the Unification of the Conflicting Pitches
Chopin now recalls the introduction in an unexpected key, A major, at the
beginning of section Al (see Figure 86). Embedding the key of A major in the middle of
the piece is symbolic. The root of AM, the pitch A, is one of the Grundgestalt pitches
presented in the introduction as 6of CM. The third of AM, C#, is enharmonic to D~,
146
xx
x x z
129
fli
-
I I I I
.
tJ 1I,. 'r I r J r "I I f 1 ~t'lr I~ f q~ J t'"f .". Iii r:J
pp
L. J h.J !l..!. I II...J I I
:
.::; qll q..111
AM:
A7
IV jiB? iii6 V4zN V6 I IV6 16
DM F#m C#M F#m C#M E7 AM DMAM(DbM) (DbM)
xx
x x z x z
66
131
-il I I
qtrq1ff#~' .tJ $Rt. 1 '1r I r 1 r- "I ~I"" I.".! [tI,.. orr rr IR"'" rrr ~1i tr f -r l1r-rr
•
-1 Ik-:J~J II. ~,.. I.f+Jhiri-- f---
~~ ,-
q~ ql It.. R..... 1I" #;;;;~ J q,. 1 .1 JJ
AM: V7IIV IV vi VJvi vi Vfvi V i V7 I I IV I
134
DMAMDMAM
,r-
FIGURE 86. The second introduction (measures 129-134).
another pitch in the Grundgestalt, which is derived from the oppositional force of Fm as
b6. Finally, the fifth of A major is the pitch "E," 7ofFM/Fm, another pitch in the
Grundgestalt. Now all three prominent pitches in the Grundgestalt at the beginning of
147
the Ballade are reinterpreted and united in one harmony, losing their original tonal
function. The conflict between F major and F minor vanishes. I think the unification of
the oppositional pitches symbolizes a moment of repose, a ceasefire.
The key of A major is the mediant (III) of the key ofF major. When we observe
the tonal discourse of the Ballade, the second introduction exists as ifthere were an
oasis in the desert. The peaceful, spring-like major mode represents wistfulness.
Nevertheless, hidden in this context are signs of future conflicts: a modulation to F#
minor occurs in measure 132, and the following progression to the C# major chord forms
a half cadence in the middle of the introduction. The flavor of the minor key and the
existence of C# major, which is enharmonic to Db major, subtly suggest a potential
wrong turn towards the second half of the Ballade.
Since the new introduction concludes in the key of A major, C#, enharmonic to
Db, calls for its resolution to D major. A substantial cadenza-like A major arpeggio
follows. Chopin embellishes the A major chord with neighbor tones, stressing its b6-5
resolution, F natural to E, by modal mixture. This not only creates the tonal ambiguity
of a major/minor orientation, but also produces octatonic 1 subsets, 4-3 (F-E-D-C#) and
5-10 (G-F-E-D-C#; see Figure 87). This arpeggiation, marked dolciss. and highlighted
by the octatonic subsets, creates a mysterious mood and disorientation, as if the
protagonist sees an illusion.
Theme I in the Reprise: A Brief Encounter with FM: and the
Beginning of a New Course in the Ballade
A variation of Theme I follows in canon in measure 135 (see Figure 88). All the
pitches of phrase "a" in measures 135 and 136 are derived from a D harmonic minor
148
5-10 4-3 5-104-3 5·10 4-3
(oct n (oct I).
----
...-
UD1~~1 ill UIT U~ ~13~ I ,.-.-- -t:\ :~i 1 ~ =-
-
v tf~~ r 7"/ ~r .+~ . ~~t- r lle t.darciss.
~0 11... i ~! ~-;.
: .
.
'I
FIGURE 87. Modal mixture and octatonic sets: Creating the magical moment.
scale, but unlike the A section, the tonic Dm is never clearly established. Instead there is
an additional ~6 after A natural on the downbeat in measure 135, which conversely
emphasizes ~6 instead of 5throughout phrase "a." Figure 88 also displays a chain of 3-
3's, which are octatonic subsets that create tonal ambiguity.
(Dm:)
4-18 (oct.I)
a letnpo----------~
(Fm:)
FM:
I PAC in FM:
x
---:oJ
.------.
----_.:..----
FIGURE 88. Theme I in canon: The dreamlike moment and an encounter with
FM: (measures 135-142).
149
Pitch-set 3-3 was a favorite in the second Viennese school and among other
twentieth-century composers. For example, Schoenberg's monumental atonal work The
Book ofHanging Gardens, Op. 15, starts from a prominent 3-3 in the bass. The
characteristic of the set is its property of major and minor thirds. It resembles pitch-set
3-11, which represents either the major or minor triad. The difference, however, is
another crucial interval: a perfect 5th (4th) owned by 3-11. The perfect fifth makes the
triad tonally stable, whereas 3-3, in contrast, has a half-step instead, which produces
tonal ambiguity and instability.
Chopin repeats 3-3 in different voices in canonic motion, as if to create waves
that obscure their tonal orientation. Along with the avoidance of the clear tonic in the
designated key in phrase "a" and the lack of supporting accompaniment, this device
creates a mysterious mood. C#, the leading tone in the key of D minor in phrase "a," is
reinterpreted as D~ in measure 137 by another enharmonic exchange. D~ is then resolved
to C, creating ~6-5 in the key of F minor, but the phrase "b" is modulated to the key of F
major instead because phrase "a" and phrase "b" are supposed to be in relative
minor/major keys (D minor to F major), as demonstrated in Section A. This is the first
and last time that F major is clearly realized in the Ballade. 1O Since the Grundgestalt of
IOSome theorists dismiss the modulation to F major in the reprise of Theme 1.
William Rothstein writes, "This measure [measure 134], which immediately precedes
the wrong-key 'recapitulation' of the principal theme, corresponds closely to m. 7 at
the end of the introduction." Rothstein, 38. Rothstein doesn't elaborate why F major is
the wrong key. David Witten writes, "The canonic return of the opening theme presents
an imitative texture rare for Chopin, but harmonically familiar from the original version
of the theme: I, III, and IV. Of course, the I on F has no structural significance because
it was not properly prepared by a structural dominant-it was, shall we say,
'convenient. '" Witten, "Coda Wagging the Dog," 166. In fact, F major was established
by a perfect authentic cadence in measure 138. Witten doesn't explain that I is not
minor but major; however, I think there is more than just a "convenient" reason why
Chopin carefully prepared and realized F major in the midst of the piece, and this is one
150
the piece produces F majoriF minor conflicts, it is significant that F major appears in the
middle of the piece, as if projecting the protagonist's dream.
The canon continues, and phrase "a" is now in the key ofFm in measures 138-
140, followed by its relative major, Ab major. The encounter of both F major and F
minor is seamless because the chord progression was already preset in Theme I of
Section A, and transposition of the introduction to the key of A major originated this
encounter. The enharmonic exchanges and modal mixtures in the section are full of
surprises and twists that function to realize the aforementioned chord progressions.
Subsequently, the canon is gradually replaced by more harmonically oriented
accompaniment as before, as if losing its magical power, and the chord progression
resumes the pattern originally presented in Theme I of Section A. After this moment,
more extensive variations of Theme I follow.
Empowerment ofthe Oppositional Forces and
Octatonic Subsets in Theme I #4 and #5
Figure 89 shows elaborate diatonic/octatonic subsets created over the bass F
between measures 162 and 168, positioned at the end of Theme I #5 and Theme II #2 in
the Al section. In measures 162 and 163, Chopin embellishes the F major chord with an
E07th with an added Eb, which is reminiscent of the opening's Theme I in F minor,
though it is much larger in scale. The E07, with an added Eb major chord, creates 6-27, an
octatonic °subset. In measures 164 and 165, Chopin creates more 6-27's, which are
octatonic 2 subsets.
of the reasons I think the opposition is between F major and F minor rather than F minor
and Bb minor.
151
6-27 (oct.O)
FIGURE 89. Measures 162-168: Prolongation of the F major chord and the
confrontation between A and AJ, at the end of Theme I #5.
If we focus on smaller pitch-sets, there are some 3-3 's originally introduced in
the Theme I #4 area in canon following the second introduction. The first 3-3' s, E
natural-C-E flat, are found at the beginning of 6-27's in measures 162 and 163,
---------------- ---------
152
displaying a major (E-C)/minor (C-B) conflict. In measures 164, 165, and 167, Chopin
juxtaposes A~ against A, creating another major (F-A)/minor (F-A~) conflict, the
opposition created in the Grundgestalt in the opening D~ against A. This is the first time
a confrontation occurs between A (3 ofF major) and M (3 ofF minor); it is more direct
and thus more powerful than A (3 ofF major) against D~ (~6 ofF minor). Chopin marks
the arpeggiation of the chords with cresco and accel. to highlight the intensity of this
clash between opposite forces.
Chopin neutralizes the effect of the interaction of diatonic/octatonic subsets by a
long chromatic descending scale in measures 167 and 168, which is a super set of both
diatonic and octatonic collections. This is the technique that Chopin used in the G minor
Ballade as well. l ! mm at the end of Theme I is aborted, and Theme II-2 in the key of D~
major follows.
Figure 90 summarizes how Theme I's #1, #2, #3, #4, and #5 areas are
concluded. While Theme 1#1, #2, and #4 are concluded in the key of mm from its
dominant FM/m, FM/m resists the resolution to mm in Theme I #3 and #5. A tug of war
ensues between minor and major at the end of Theme I #3, and the resolution to m
minor is aborted. Then there is an alternation oH6-5 and 6-5 before the secondary
Theme II. The analogy of this is that FM withstands the pressure to resolve to mm and
instead changes the resolution to B~ major, the subdominant ofF major. The
]JIn the Gm Ballade, between the 4th beat of measure 134 and measure 136,
Chopin applied a chromatic scale to neutralize the previous octatonic collection.
b a b}
FMlm Bbm
b a b}
FM/m Bbm
Section A
!Theme 1#1
{a b a b
Fm AbM AbM/m Bbm
hhemeI#2 I
{a b a b
Fm AbM AbM/m Bbm
!Theme I #3 ]
a b a b
Fm AbM AbMim Bbm
Section AI
ITheme I #4
b
ternatinl! b6"~S'\ and 6,\_5
a
FMlm __1~!!:~~&!!s..ol!!!!2!!~!l_b_n.L __.,
I
I
-----------••, I:Theme II #1: BbM: .....__J
1 -------
153
a b
(Dm) FM
I
{a
(Fm)
canon
b
AbM
a b b
(AbM/m) Bbm
a b}
FMlm Bbm
hheme1#5 I
a b a
Fm AbM AbM/m
b
Bbm
b a
FMlm
II Conflict between b3,\ and 3,\ II
Aborting resolution toBbm
---------------------------,I,
I[t[l~~~~~~~?~: DbM: ..... J
{ } indicates a full cycle of theme I (a - b- a- b- b - a)
FIGURE 90. Summary of the development of Theme I #1-#5.
154
minor/major conflict becomes more intense in Theme 1-#5, in which b3 and 3, the
crucial third over the bass F, have a direct confrontation. After the struggle, DbM
emerges instead of mm.
The Extensive Development of the Major Theme in VI of F Minor: A Crucial
Turning Point Toward Establishing the F Minor Mode
Because the Ballade begins with a major/minor conflict and the major represents
wistfulness, the modulation to the major key area is an ostensibly positive development.
The second Theme II area is much more extensive than the first, which was rather
simple and naYve. The second theme expresses its passion in flamboyant melodic figures
and flourishes taken to their maximum potential.
However, the bass line reveals a sign of decline in the midst ofthe melodic
development; Db-C, the source of the oppositional forces, emerges in the bass line in
measures 177 to 180, reminding us that the source of the maj or key Db major is not F
major, but F minor. Even though the secondary theme is in the lyrical major key, the
direction of the piece is now headed towards the key of F minor. Increasing the
intensity, the bass line forms a hidden F minor scale between measures 185 to 189: m-
C-Db-H-F-G-Ab. Then Ab is interpreted as the dominant ofthe following Db major.
Between measures 191-194, the prolonged bass Db is elaborated by the
ascending inner voice Ab-A-m-B natural-C: first juxtaposing the conflicting minor 3rd
and major 3rd in measures 191-192, F-M and F-A, respectively, and then heightening the
tension by the dominant preparation iv to the French 6th chord in measures 193-194
(see Figure 91). In measure 195, the arrival of the dramatic structural va chord ofF
minor creates b6-5, or Db-C, in the bass line, heightening the drama. This creates a
155
hidden repetition of the Db-C: one in the melody of Theme I #1 at the opening and the
structural Db-C from Theme II #2 (bVI) to V in the following section before the coda.
x (F-G-Ab)
Conflict between Ab and A natural
:>
FIGURE 91. Emphasis on Db-C in the bass in measures 191-196.
Preparation for the Coda: Setting the Stage for the Decisive Battle
Between F Major and F Minor
At the end of the extensive chromatic chain of harmonies in measures 198-201,
Chopin brings out the pitches from the Grundgestalt in the soprano: E goes to F, and Db
156
goes to C, setting up the superiority of the key ofF minor in measures 200 and 201 (see
Figure 92). The C major chord is established in measure 202 following the three-note
figure C-D~-F in the Theme I area, which recalls the mysterious C-D~-F in canon in
measures 138-140 following the previous F major tonality. Retrograded "yl" and "ZOO
and repeated "G" from the introduction are combined in this short phrase.
The C major triad, the dominant ofF major/F minor, is emphasized in measure
202 followed by a fermata. The following lengthy prolongation of the C major chord
awaits quietly with pp in measures 203-210, as if expressing a profound silence before a
deadly storm. The stretch of eight measures works as a reduction of the introduction; the
motive "x," the three-note figure E-D-C, is recalled from the introduction. The awkward
minor 7th leap in the soprano at the end not only calls attention to the following E
natural, but also recalls the same E at the end of the introduction in the same register,
which is still searching for its resolution to F major. However, what is missing in this
stretch is 6-5, the important background to indicate the key ofF major. Furthermore, m,
the 7th ofthe C major triad, appears in measures 205 and 206, yearning for its
resolution. Now everything is set for the final verdict to determine ifF major overcomes
all its obstacles and becomes the tonic of the Ballade, or ifF minor overpowers F major
and declares victory over its rival mode.
Coda: A Fierce Battle, Heroic Resistance,
and the Final Triumph of F Minor
The coda starts with a strong and swift statement ofF minor in measure 211,
emphasizing a D~-C resolution in both the soprano and bass (see Figure 93).
JOt
~---------~-~---------------------------------~-----------~--------------------------~--- ----
'------_---:.-
FIGURE 92. Suspenseful moment before the coda and motivic relationship
between the reprise ofTheme I and the pre-coda section in
measures 197-210.
157
158
FIGURE 93. Emphasis on "x" and "yl" in the F minor context in measures 211-
212.
There is a small octatonic passage in measures 215 and 216 with chromatic
passing notes (see Figure 94), creating a powerful whirlwind motion. This stunning
effect is created by neighboring diminished seventh chords and is markedJz, followed
by crescendo, to express increasing intensity. The dynamics and nondiatonic scales, the
octatonic scale and chromatic scale, heighten the tension.
In measures 218 to 221, the harmonic rhythm moves rapidly, as if describing a
fierce battle between F major and F minor. In measure 218, the progression from V6/4 to
V sets up a cadence to establish its tonic F minor, a passage marked as marcato (see
Figure 95). But instead of establishing its tonic, the chord progression starts slipping
away while accenting mM-AbM-GM-FM chords in measure 219. In this measure, the F
minor chord appears on the weak beat, in a less prominent position than F major.
However, the F major triad, established temporarily with the bass line E-F resolution, is
immediately replaced by the Db major triad, which proceeds immediately to iiJJ7-V in F
minor. The resolution from the eM triad (V) in measure 119 is resolved to FM on the
first beat in measure 220, as if it were another attempt to establish the key ofF major,
8-28 (oct. 1) 8-28 (oct. 2) 5-31 (oct. 0)
159
L.. _
--------------,
I~i~I§~~~~~~~~I~1~~~~~~~~~,~1~~~~~§§~~f1)L J L ~ L ~
Chromatic Scale
FIGURE 94. Chromatic ascending motion in the bass line and the octatonic sets
in measures 215-216.
but it is forced to become F7, the dominant 7th ofBb minor, following the norm in the
Theme I areas. The struggle continues between F major and F minor.
In measure 222, there are more resolutions from b6-5, or Db-C. The transposed
"yl," Ab-G, is extended to "x," or Ab-G-F, in the bass between measures 222-223,
steering the following cadence toward F minor, not F major. Measure 222 is dominated
by the massive force of F minor, and it seems to be approaching the final cadence.
However, when the dominant 7th ofF minor is about to be resolved to its tonic Fm at
the end of measure 222, a miracle occurs. The Ab, the third crucial to establishing the
160
EO Fm ffiM
cresco
i (Fm!)
accel. ~·j7l'a_~l:..:J1~f::.:·lI::.e_-- _
--------
-------
----------
-----
J(FM?)
y 7
y 7iio7
Y~J6 vii"/iv iv
8 ..···..·,
----.-...:-
229
rnarcalo
vt V (Fm:) --- iie7 Y(Fm:)-
mm VI Fm mm Fm z
~$~ l I tG q.J220 .J. ~ f!: l. ...
-I -
II q... . .,.........,... q.... •. ..
!~~_.~.~
~------------------------------I (PM?)
z 17w31 (oct. 2)
r- 1-------
FIGURE 95. Crucial moment in the coda.
161
F minor chord, is altered to G#, and G# is resolved to A natural, creating an F major
chord instead.
The first three notes in the right-hand part-F, G#, A-form 3-3 at the beginning
of measure 223, and the symbolic major/minor opposition in this crucial moment shifts
in favor of F major. This moment is like a heroic uprising struggling to reverse the
course of fate. However, the massive arpeggiation of the octatonic 2 subset, 7-31,
immediately swallows the F major chord. I2 The chaotic ascending figure 7-31, involving
the G#-A resolution a few times, is then reinterpreted from the octatonic set to the
dominant ofm minor (iv), followed by GO? and C? in another attempt to establish F
minor. 13
The more powerful attempt to establish the tonic F minor occurs in measure 224.
This time, the octaves Ab-G create a forceful motion in the bass line that counteracts the
A-G in the introduction, as well as Db-C in both bass and soprano. The leading tone E in
the soprano, which is in the same register found in the introduction, waits for its
resolution. Does F minor win this time? M is replaced by G#, and FM reappears. The
same octatonic 2 subset, 7-31, swallows the F maj or chord, and there is a third attempt
12Roy Howat's article "Chopin's Influence on the Fin de Siecle and Beyond"
displays some of Chopin's octatonic phrases, including measure 223, and discusses
Chopin's influence on later composers--e.g., Ravel and Debussy. He comments that the
origin of the octatonic scale is a diminished 7th chord with a passing note. Regarding
measure 223, he writes, "Chopin has gone beyond this, strategically placing the passing
notes to produce clashes of major against minor, as well as abrupt juxtaposition of
diatonically distant keys." Howat, 278. However, he doesn't elaborate further to explain
what major/minor keys clash, how the conflict occurs, and how it relates to the rest of
the piece.
131 think Artur Rubinstein's 1960 recording of the F minor Ballade highlights the
impact of the crush between F minor and F maj or; the powerful ascending arpeggio of
7-31 and the ensuing violent octaves in the left-hand part, which establish F minor,
creating a dramatic effect in the coda.
162
to resolve the dominant 7th chord to F minor in measure 227. The third time, the
resolution finally comes through, and the F minor chord is established as the tonic of the
Ballade in measure 227.
After the catastrophic loss ofF major, the music accelerates towards the end to
declare the victory of F minor. The alternating chords between C major and F minor
harbor a strong emphasis on Db-C (yl) and M-G, which is a transfigured "y," A-G, in
the ascending figure in the right-hand part (see Figure 96). In measures 231 and 232,
there is another alternation between Fm and its b6th chord DbM while the descending
scale presents "x" and "xx" in F minor. The final descent in the right-hand part
(between mm. 233 and 236) has the greatest concentration of Db-C, the original
Grundgestalt in the F minor context. Another component of the Grundgestalt, "z," is
presented in the soprano in the same register found in the introduction, and the piece
concludes with a strong cadence in the key of F minor.
Conclusion
The above analysis explicates the overall structure, the motivic development,
and the diatonic/octatonic interaction in Chopin's Fm Ballade, Gp. 52. Although its
form has some similarities to sonata form, the thematic material is continuously and
extensively transformed, and the structure and the key scheme suggest that the discourse
of the music and the plot of the Ballade is not explained by the form, but by the specific
"meaning" associated with each key region. The meaning of the reprise is not a return to
formerly explored territory, but rather an arrival at something unexperienced in the
previous section. Figure 97 delineates the tonal discourse of the Ballade's themes as
well as a possible plot.
z-. CO:::::::::::'
z
163
--' z z
~_---:;r,;r----;=:":'::=::=::-:="""""'__ _ I..~ l,
1 :
i
XX+Y'
FIGURE 96. End of the coda.
164
z
Z36
...,
FIGURE 96. (Continued)
The exposure of the key ofF major is small compared to the key ofF minor, but
it plays a big role in the tonal discourse. I would also like to suggest some similarity
between the phrase in the F major section in the reprise and the phrase in the F major
section in the F major Ballade, Op. 38 (see Figure 98).
In addition to the similarity of "xx" phrases in the F major and F minor
Ballades, Chopin's conclusion to the F minor Ballade's introduction, which fades out
with repeated notes, is reminiscent of the end ofthe opening F major section in the F
major Ballade (see Figure 99). These resemblances imply a possible programmatic
connection between the F minor Ballade and the F major Ballade; one can speculate that
the metaphor ofF major in Op. 38 might be recalled in Op. 52.
How does the Grundgestalt work to organize the piece? There are three elements
of the Grundgestalt-"x," "y," and "z"-at the beginning of the piece. As mentioned
before, there seems to be a hidden "two-key scheme," and while "x" and "z" work as
unifying devices for both F major and F minor, "yl," which represents the key of F
minor, works in opposition against "y," the representative ofF major. Schoenberg
writes,
A real composer does not compose merely one or more themes, but a
whole piece. In an apple tree's blossoms, even in the bud, the whole
future apple is present in all its details-they have only to mature, to
F major related regions F minor related regions
165
(PM: == Pastoral, homeland, happiness, innocence, etc." (Fm: == Opposition, enemy, sadness, ill-fate, etc.)
I
Nostalgia, longing IReality, sadness, disorientation
A Pastral
Safe haven
Theme 11,#1
BbM: (IV)
---------------------~ Theme I, #1-3Fm:-AbM:-Bbm:
(i) (bIll) (biv)
(B)
r
Intro. #2-
AM: (III)
Journey, pilgrimage, earching for "FM:"
.----------------- ----------------------,I __ I
: Gm:-Am:-Gm: Fm:-DbM:-AbM:-(Fm) I
: (ii) (iii) (ii) (i) (bVI) (bIlI) :
, I, ,
: (EM )(Enharmonic to Fb) :
I I
I I~ ~ ¥. w J
Theme 1,#4
(Dm:)-FM:~ AbM:-Bbm:
(vi) (I) (bIll) (biv)
Oasis
Dreams
Illusion of
happiness
Coming back to
the reality
Strong desire/longing
Premonition of the
destiny
Fierce battle,
heroic resistance, and
tragic end
Theme 1,#5
Fm:-AbM:-Bbm:
(i) (bIlI) (biv)
Theme 11,#2
DbM: (bVI)
Coda Fm:(i)
FIGURE 97. Tonal discourse of the F minor Ballade's themes.
166
A. F mll,jor Ballade Gp. 38 measures 37~45.
xx Extended xx
. ! I
1
xx
B. F minor Ballade measures 135-138
FIGURE 98. Motivic and tonal connection between the F major Ballade and
F minor Ballade.
grow, to become the apple, the apple tree, and its power of reproduction.
Similarly, a real composer's musical conception, like the physical, is one
single act, comprising the totality of the product. 14
14Arnold Schoenberg, "Folk~Music and Nationalism," Style and Idea: Selected
Writings ofArnold Schoenberg, edited by Leonard Stein, translated by Leo Black
(Berkeley and Los Angeles: University of California Press, 1984), 165.
167
A. F major Ballade measures 37AS
37
41
I
~
,
1
I
1
n Il n 1""""1-----------
~ 1 ~ 1 ~ 1 ~ .....------,~ r':\
B. Fm Ballade measures 5-7
I
1
I
~ (eM:)
I
~
I
1
I
~
II I I I ., L-
----
.
t> '[ I •l~ I 1"-1 'r I 1"1 ~I
dim. . . . ritenuto . .
- -
.
-
.--- h... .,...t;--..... .-----k... .,...1.----""
:1
FIGURE 99. The perceptive connection between Theme I in the F major Ballade
and the Introduction of the F major Ballade.
168
If! use the analogy of the apple tree, both "y" (6-S) and "i" (b6-S) are seeds at the
opening of the piece. Both of them want to grow, but space is limited and can
accommodate only one of them. At the beginning, both Grundgestalten are still subtle
and small, although Fm seems to be more prominent than FM. In the middle of the
piece-with the appearance of a second introduction, this time in A major-the
Grundgestalten appear to be balanced, sharing equal space. But in the second half of the
piece, more conflicts emerge, and while the growth of the FM seed is stunted, the Fm
seed begins to grow. After the struggle of the last cycle of Theme I, Theme II #2
appears in the key of Db major. This is supposed to be an apotheosis of the major key,
but harmonically it is b6 of F minor and suggests the destiny ofthe protagonist.
Grundgestalt also affects the structure of the Ballade. The Grundgestalt Db-C, or
"yl," in which Db represents the oppositional forces that include both the key of F minor
and the octatonic subsets, can be expanded to the motive Bb-Db-C-(F) in measure 9 (see
Figure 73). This not only relates to the bass line in the last three measures of the
Ballade, Db-Bb-C-F, but also to the structure. The bass Bb can be prolonged from the
Theme I areas in the key ofBb minor through the Theme II area in the key ofBb major,
further reaching to Theme I areas in the reprise. After the Db in Theme II #2, the big
dominant section over bass C follows. Although there is an attempt to overturn the
superiority of F minor in the coda, the final cadence is concluded by the tonic of F
minor on bass F. This structural bass line Bb-Db-C-F in large scale is already presented
in the motive in the first cycle of Theme I, creating hidden repetitions; Bb-Db-C-(F)
works as a premonition of fate in the discourse of the Ballade, revealing Db as the source
of the tonal conflict.
169
Throughout the piece, "x" is primarily used for thematic development, while "y"
and its opposition, "yl," are used harmonically, creating the Ballade's unique key
scheme. 15 On the other hand, "z" is prolonged for the entire piece, calling for its
resolution. Figure 100 displays how "z" is strategically positioned to heighten the
drama's suspense.
How does the diatonic/octatonic interaction contribute to the Ballade? There are
several techniques that Chopin used to incorporate octatonic collections in his diatonic
language. For example, in measure 134, Chopin unexpectedly applied major/minor
modal mixtures to create octatonic subsets in the midst of the major mode (see Figure
101). Figure 101 shows the common subset between a major/minor hybrid scale and the
corresponding octatonic scale. The modal mixture enables an A major chord to interact
with a minorloctatonic subset that includes Db, or b6 (enharmonic to C#), the important
pitch from the Grundgestalt.
Another technique Chopin applied to create an octatonic scale is the
embellishment of chromatic chords, such as V7b9 , and the diminished 7th and half-
diminished 7th. The octatonic scale is also called the diminished scale because of its
close association with the diminished chords. By adding neighboring tones to a
diminished 7th chord-thus creating an alternation of a half-step and a whole step, for
15The Grundgestalt Db-C, or "yl," in which Db represents the oppositional forces
that include both the key of F minor and the octatonic subsets, can be expanded to the
motive m-Db-C-F in measure 9. This not only relates to the bass line in the last three
measures of the Ballade, Db-m-C-F, but also to the structure. The bass m can be
prolonged from the Theme I areas in the key of Bb minor through the Theme II area in
the key ofm major, further reaching to Theme I areas in the reprise. The second Theme
II area is in the key of Db major, followed by C major, and finally resolves to F minor in
the coda. This structural bass line Bb-Db-C-F is already presented in large scale in the
motive in the first cycle of Theme I, creating hidden repetitions.
170
Introduction
5,., I
--:-F I I . i i I. "=::::",.
ll! 'I IfI'" I t*1 III'" I t*!
dim. . . nOt_to . . . . . . .
~"j;"- .1:--... ...----t"_ .. I. --..
.
r:----~ I Search for the resolution starts••• l7" in tempo7,.,
...J --""'l?:'\ $, • , ::--.
ll!
. . . me:&la voce
.....-;;:-L .-:
.~ . -"-*-$ -"'1 • .. ~". :$
'--
v
on
z
Waiting for its true resolution...
The most suspenseful moment
d 2ntro uctlOn- ItReinterpretation or
- ~134 the pitches - I IJ.J~~)\~~J Jl r"E"'f.. I ..--- ? t:"I r-r,. =-_
ll! l!t:~ ~ "'T~r~ llnr r rallellt."S8. ,t~.1: __ a.... I ~~ ....
-....
L....- ,
,
- -.---_ _"••••_ _ __ .1.••••_ _ ,." "' _ __ _ __ __ w.,.._
..
,
..
, ~ ..
- - - - - .. - ----.~~.~ _ , -- N ; ..:.::.=.:;"::·::...=:..;:'~..~ _-_·' W'/llV'lll_._ ":':'_..• __ ,-..- -
,~' ....... , :
'.. I
'" \
......... , ..
....~
Before Coda
FIGURE 100. Prolongation of the resolution from E natural to F ("z").
171
Coda: Resolution to FM:?
Uprising of F major followed by a
chaotic battle
z
,_1---- ~--------------------------.
---I s·······.....·...····.······....
: )" 1
\ 1
'" 1~-~-----------------------------------------.
V7 I?
-:;~::~~:::::;~::~~-:~;;~:----------'\,-------------------------------------------.
!The decisive victory ofFm:
z
V7
z
V7
The end of the tragedy
236
~ :
Coda: Final cadence of the piece
---------------------------------------------- -----------------------------------------
FIGURE 100. (Continued)
172
example--one could create an octatonic subset. Chopin exploited the property of the
diminished 7th-related chord, especially in the coda. Figure 102 illustrates the structure
of the F/9 chord and its neighbor tones, which form 7-31 for the most dramatic moment.
A major
A minor
Octatonic 1 sub-set
A
A
B
B C
C# D
D
C# D
I I
E
E
E
I
F
F
I
F#
G
G
r
G# A
A
FIGURE 101. Modal mixture and the octatonic subset.
3-3
:l :l
F A C Eb Gb
I I I
F/9
5 8 9 0 2 3 6
I I I I I I I
7-31(0235689), octatonic 2 subset
FIGURE 102. Structure of the octatonic 2 subset 7-31 in measure 223.
-----------------_.._-----
173
Chopin's application of the octatonic scale is not expansive. However, in Op. 52,
Chopin demonstrated that, though his usage of octatomc collection did not amount to a
large number of octatonic passages or penetrate deeper into the structure, they are
nevertheless important to the narrative of the piece. The application of 7-31 facilitated
the most crucial moment in the coda, the major/minor conflict created by the
Grundgestalt at the beginning and accumulating throughout the piece.
174
CHAPTER V
CONCLUSION
In Chapters II through IV, I give a detailed analysis of three Ballades: Op. 23,
Op. 38, and Gp. 52, respectively. Although each piece has its unique character and a
different outcome in the coda, or conclusion to the drama, there are some common
elements in these three Ballades. In addition to similarities such as meter (6/4 or 6/8),
structural organization (quasi-sonata form), emphasis on mediant keys, and delayed V-I
resolution, I would like to point out some motivic and tonal relationships common to all
four Ballades in this conclusion.
The functional Grundgestalt is responsible for the key scheme and structural
development of these compositions and is comprised of tonal cells. Tonal cells are
either dyads or three-note linear figures that are the smallest pitch-sets to represent
tonality. For example, "x," a third with a passing note, is a conjunct three-note subset of
a major or minor scale; "y" or "yl" indicates a descending leading tone and its
resolution; "y" indicates a whole step, and it is either 4-~3 in the minor context or 6-5 in
the major context, and "yl" is a half step and therefore is either 4-3 in the major context
or b6-5 in the minor context. Finally, "z" indicates the ascending leading tone 7, which
gravitates towards its tonic 1. While "x" is used as a component of melody, "y", "yl"
and "z" create a strong gravity towards the tonic.
~~~~~~~~~~~-------------
175
In my analysis of each Ballade, the function of the Grundgestalt is determined
by the tonal cells, "y", "yl", and "zoo. In the following examples, I summarize the
Grundgestalten and tonal cells in the Ballades' themes and conclude how changes in the
tonal context of the Grundgestalten lead to various key areas. In addition, I illustrate the
relationship between the Grundgestalten over all four Ballades.
Figure 103 displays the Grundgestalt from the G minor Ballade, presented at the
opening of the piece. The Grundgestalt consists of two tonal cells, "x" and "yl"; "x" is
the source of all the thematic development, while "y!" is the source of the Ballade's
tonal scheme. The unresolved dissonance B at the end of the introduction is unstable
because there is no harmonic support. There is an implied resolution to D in the melody
of Theme I, and G at the end of the phrase. Since the resolution from B to D is indirect,
the story of the Ballade unfolds as B gradually becomes more prominent and finally
establishes itself as the structural ~VI in the secondary theme area. Not only is the
secondary Theme II-b (see Table 1 in Chapter II) in the tonic key ofB major, but the
entire theme also occurs on the pedal point B. Then Chopin strategically reverses the
order of Theme I and Theme II-b in the recapitulation. As a result, Theme I follows
ThemeII-b in Section AI, and Theme I also occurs on the pedal point D. The B-D pedal
point creates a powerful structural ~6-5 in the bass line as well as in the key regions, and
one feels as if it is the point of no return. The culmination of energy explodes in the
coda, heading for its final destination, the tonic of G minor.
176
Functional Grundgestalt (Eb-D-G)
I yl I
~ J) I
E\. D G
II
x
I 1- ----------- ---l
4 3 3 2 I
6
FIGURE 103. The Grundgestalt from the G minor Ballade: Introduction to
Theme 1. The dotted lines show the indirect connection.
The source of the large-scale structural bass line H-D-G in Figure 10 in Chapter
I (my Schenkerian graph) is the functional Grundgestalt, b6-5- i in the opening. As an
analogy, the Grundgestalt works as a premonition of the "protagonist" and, through its
eventual realization, significantly contributes to the Ballade's entire drama. The idea of
the Ballade is how the missing link between b6-5-i.e., the premonition at the beginning
of the piece-is established. Therefore, the Grundgestalt also relates to the Ballade's
narrative nature, not by extra-musical elements, but by creating a plot as a musical
discourse. This is an example of the functional Grundgestalt, which is responsible for
the structural development of the piece.
The functional Grundgestalt also works as a unifying device. In the Theme II
area, the same pitches from the original Grundgestalt in the Theme I area are
reinterpreted and assigned a different function (see Figure 104, Theme II). For example,
H is b6, D is 5, and G is i in the Theme I area that is in the key of G minor. However, in
177
the Theme II-a area, G works as 3 in measure 68, an escape-tone, and B in measure 69
becomes the tonic of B major. Thereupon the same "B" is re-interpreted as 4 followed
by "D" in measures 69 and 70, creating 4-3, and is assimilated into the key of B~major.
Xl (disordered) x
i I I I II
E~M: ~ ~ 1
66 B~M: a a ~riten.
1 -------
----,
m
71 ~1
1
-.:..l
:
Theme II-a: Reinterpretation ofB-D as 4-3 in the key ofm major
Grundgestalt (40 ~-1 in B~M)
r---------- I I
Do D
Xl
FIGURE 104. Theme II-a area and reinterpretation of the pitches.
Theme III contains the retrograde Grundgestalt, G-D-B, which completely
reverses the role of the three pitches that originated from Theme I; G is interpreted as 3,
D as 7, and B as 1(see Figure 105). In addition, there is a motivic connection between
Theme I and Theme III. The reinterpretation of the four-note motive from the Theme I
area, C-m-A-G, 4-3-2-1 in the key ofG minor, is modified to 6-5-4-3 in measure 138.
"x + 1" in the Theme III area becomes C-Bb-A~-G, the original four-note motive in
measure 3 in the introduction. Since the introduction implies the B major/G minor
178
conflict discussed in Chapter II, Theme III is the realization ofB major suggested in the
introduction. Theme III in the key of B major thus becomes the antithesis of the
original Grundgestalt, claiming its triumph over the opening tonic G minor.
Theme III: Retrograde B-D (y') as D- B (z) to establish the key ofB major
Grundgestalt(3-"!-1 in 8M:)
III
G DE~
z
n
x+ 1
r---~
EbM: 3 '7 i 6 .5 4. 3
138 ~~~
.,.. ~k-.L. ~~~ .~. ~k-.L1\ I .ll • II •
t.!
< scherzando
11 11
"'r
~
"'r
~
FIGURE 105. Grundgestalt in Theme III in the G minor Ballade: The
reinterpretation of the dyad B-D to create the B major region.
The thematic and harmonic development of the G minor Ballade reveals an
interesting aspect of its nature through the Grundgestalt. It not only provides coherence
through the "basic shape" of the themes, but it also creates opposition by
reinterpretation of the pitches. As my figures above demonstrate, the tonal cells of the
Grundgestalt play an important role in this process. In the original Grundgestalt in the
key of G minor, B-D functions as "y", or b6-5. This not only indicates the minor
orientation of the referential scale, but also points towards its tonic G minor. In Theme
---------- ------------------------
179
III, the dyad B-D is reversed to D-B and reinterpreted as "z," or 7-1. Now the tonic B
is established. The key ofB major works in opposition to the key ofG minor.
Throughout the course of the Ballade, Chopin tells a story in which the submediant
region gradually emerges and soars, but is finally assimilated into the tonic G minor. I
think it likely that the tonal cells in the Grundgestalt determine how the large-scale key
scheme is designed.
A more intense conflict is projected by the Grundgestalt in the F major Ballade,
Op. 38. Once again, Chopin employs a reinterpretation of the pitches to create an
oppositional force against the tonic F major. In theme I, "E," 7of the key ofF major, is
resolved to the tonic F (see Figure 106). The dyad E to F, or 7- i ("z"), is reversed in the
A minor region and reinterpreted as (~)6-5 (yI) in the key of A minor. This process is the
same as the contention created between Theme I and Theme III in the G minor Ballade,
but the change is more abrupt in the F major Ballade and generates a crushing impact
between the two contrasting themes.
In contrast to the high level of tension in the Op. 38 Ballade, Chopin applied a
"variation-like" thematic transformation in the third Ballade, Op. 47 (see Figure 107).
The Grundgestalt C-F-B, or 3-6-5 in the key of A~ major, is repeated many times
throughout the piece with embellishment, not only in the thematic areas but also in the
transitional sections. The home key A~ major then modulates to the relative minor F
minor in the first Theme II area. Surprisingly, the same pitches C-F-B (5- i -7), in the
180
A. Theme I: Establishing the key ofF major through the functional tonal cell "z" (E-F)
Grundgestalt (C-E-F)
z (E-F)
I
I I I
5 3 I
x
III I
'7 6 5 I 6FM: 5
n0- \-., I
.
_.
-
...._-
.
1 0 r I r I r , I VI r I I .. "i r ~*satto 'Vocej
...-t:-·-r ~~ ..... ... .~--t'- ~ ~ ... .. . ~ I.
-+ ..
- --
yl •
1Conflict
B. Theme II: Reversing the dyad E-F, and creating yl (F-E) to produce the key of A
mmor.
Grundgestalt +1 (F-E-C-A)
j I
yl(F_E)
n
Am: 6 5 3 I
FIGURE 106. Creating a strong conflict by reinterpretation of the dyad E and F
in Theme I and Theme II in the F major Ballade.
181
same order (not reversed), are also used for the secondary theme in the key ofF minor,
creating a sense of unity. This reinterpretation ofthe pitches, however, does not produce
the same dramatic effect that one experiences in the second Ballade. The reason for this
less dramatic effect is that F-H is in the same order, and F-H in the F minor context
does not yield strong magnetism toward its tonic. Thus, the contrast is created by only
other elements instead of pitches, such as keys (major vs. minor), rhythm, texture, etc.
A. Theme I: Reinterpretation of the same functions (6-5): "yl"(F_E) in A minor in
Theme II of the F major Ballade is reinterpreted to create "y"(F-H) in Theme I in the
context of Ab major
Grundgestalt (C-F-Eb)
I I I
y
,-----.
.----
.
\ Motivic unity (same pitches)
\onal conflict (A,M: vs. Fm:)
FIGURE 107. The Grundgestalt in Theme I in the Ab major Ballade and its
thematic development.
182
B. Theme II-2: Reinterpretation of the same pitches (C-F-H) to create Theme II in the
key of F minor
Grundgestalt (C-F-EIo)
~
I
Fm: ~
(A~M: ~IL... _
. Grundgntall
Retrograded 'z"
~)
I
C. Theme III
Motivic unity (same pitches)
Grundgestalt (C-F-Eh)
I I
y
n
6 5
FIGURE 107. (Continued)
183
Ending
Motivic unity (same pitches)
:3 65\:1
L-I
y
V/vi vi V7 I
I I I
Grundgestaft (C-F-E~) resolved to 1
Grundgestalt (C-F-E~)
III
y
n '-I-I
AbM: :3 (,5 :3 6 5
8···········..! IT::l r--n In III
237
---t,: f:.~... ~:el 6 5 3 :3 65 :3 65 ?I I I
·.
· ·
.
.
·
: .'f~ : ·'''L~ .. . • ·~
> ~ > >I
·. ..
.
!J r:4 ..... ~ ~. ........ ~.A ,
I
FIGURE 107. (Continued)
Theme III has the same pitches C-F-B in the key of A~ major again, but with
more elaborate ornamentation. The same theme is repeated at the end between measures
231-236 to prepare the final cadence in the key of A~ major, thus asserting the original
figure, 3-6-5 in A~. The three-note figure C-F-B is presented in the bass line and finally
resolved to M to conclude the piece. It seems that the entire design of the music
depends on one's expectation of the direct resolution from the Grundgestalt 3-6-5 to 1
in the key of A~ major, and one's desire is finally fulfilled at the end.
The F minor Ballade, Op. 52, is probably Chopin's most ambitious work among
the four Ballades. The interaction between the thematic materials is more complex and
sophisticated. Although the introduction implies the Grundgestalt C-E-F (5-7-1) from
184
the F major Ballade, the real functional Grundgestalt of the piece is the one in the
Theme I area (see Figure 108). The motive of Theme 1, C-F-H-m-D~, represents
interlocking three-note figures that are all related by their shapes. The three-note figure
C-F-H (5-1-7) in Theme I is related to the Grundgestalt of the AI> major Ballade C-F-B
by the pitches and contour. The function of the leading tone E is weakened through
descending motion, instead of seeking a resolution to the tonic. The following E-m-D~
forms a "deformed" Grundgestalt, which is a subset of the octatonic 1 collection.
Finally the work's "real" Grundgestalt, U-C-F ~6-5-1),which includes the crucial "yl,"
or ~6-5, to establish its tonic in the minor context, concludes the chain of motives. The
analogy to this motive is the disorientation of the "protagonist," who loses confidence in
his ability to regain the beautiful pastorale (i.e., the F major theme from the second
Ballade) and feels anxiety regarding the possible destination-the tragic F minor.
Close observation reveals, however, that it is not Chopin's intention to give out
the real Grundgestalt in Theme I immediately (see Figure 109). Although D~-C-F is
realized in the antecedent of the theme, since motive "a" is repeated twice, D~ may be
perceived as being somewhat detached from C and F because of phrasing and harmony.
C and F constitute the beginning of the second "a." At the end of the antecedent, D~ is
left alone. The consequent starts from C, but since the consequent is in the key ofA~
major, "D~" is reinterpreted as 4. Thus, the resolution from ~ 6 to 5-1 in the key of
185
Introduction: Recalling the Grundgestalt (C-E-F) of Theme I in the F major Ballade
Grundgestalt (C-E-F)
r-----;-I-----z----------
FM:
I
5
1--------·
"I
r---------------
r-_-,-_.;.,5 "I
------------------------------t
7 -----------------------------,~ __~~:iJ. ,,_ -- 17'1 I'?F?.. ~
I:.:.J
Theme I: Denying F major by reversing E-F to create the retrograded "z" and
suggesting F minor as the new destination by the Grundgestalt D~-C-F.
Modified Grundgestalt from
the F major Ballade (C-F-E)
"real" Grundgestalt
m-C-F
I
"Deformed" Grundgestalt (Oct. 1)
I I I
Retrograded 'z' yl
I I
7
1\ I ~I 17'1 Fm:
mezza voce
5 1 5 1
-.--.
-_......-F--
--
FIGURE 108. Grundgestalten in the F minor Ballade.
--------------
186
Antecedent
I
Grundgestalt (D~-C-F)
r---l ~
Fm: ~6 II 5-1) ~6 ....
AJ,M: 4- 3
a a
Consequent
b
FIGURE 109. The structure of the melody of Theme I and implied Grundgestalt
D~-C-F.
F minor is evaded, and the entire piece must transpire before the real resolution to the
tonic occurs. This incomplete Grundgestalt (D~ detached from C and F) in the key ofF
minor is a parallel to the incomplete Grundgestalt in the key ofF major (C and E
detached from the resolution F) in the introduction, and the conflict between the two
Grundgestalten develops into an intense drama, as shown in Chapter IV.
Figure 110-A displays the Grundgestalt (m-B-D~) in the G~ major mode, which
works as an antithesis to the "deformed Grundgestalt" in Oct. 1 (E-m-D~) and the "real
Grundgestalt" to establish the key ofF minor (D~-C-F) from the Theme 1 area. B~-B-D~
is also a transposition of the Grundgestalt (C-F-B) from the primary theme in the third
Ballade in M major, Op. 47, creating a perceptive connection between the last two
Ballades. The same Grundgestalt is further developed to generate Theme II in the key
of m major (see Figure 11 O-B). This is another transposition of 3-6-5 (D-G-F), which
also serves to establish unity in the piece.
187
A. Pentatonic episode
Grundgestalt (B~-E~-D~)
B. Theme II
~unity
Grundgestalt (D-G-F)
y z
II
3 6 5 ~ 6 5 .4 5
J f\ r.>,-...I ..-------.. -~.
r- ....
_.
.
..
--.-!
......
Il . ,',: I~'" ... ! ... q~ IY'" • • I)
-
•• ~q.i' t---...... '..a." ~ ;-=::=:: ::>l. \ \ 11IH
·f·-..};
-
... - '",
·
. "-,
=JJ=
· Ui --=r) 'I li ....
)~-~~~~~
I~~~~~~
L...L-J
FIGURE 110. The pentatonic episode as the antithesis to the "deformed
Grundgestalt" in Oct. 1 (E-m-D~) and Theme II.
188
The most striking aspect of the F minor Ballade, however, is that one can predict
the approximate large-scale tonal discourse from the primary theme. Figure 111
suggests the pitches from the motive of the primary theme and corresponding tonal
regions. It also provides the octatonic subset that is later developed.
F minor Ballade Theme I
Grundgestalt
r--------T1
-------,
I
5 I 7 .4 ~b 5 L III I I I I
------
I{ ,..
~ tJ r ~ -...~ II------_ ..
<
, r--...... r---r--
. : : :.
. .
li! ~ ... ::t ~.,.... ~ ~ ... ::t ...,.,. " ..
The corresponding tonal regions in the Ballade to create a hidden repetition
I-----------lr------------1
CM: Fm: ---- Fb(E)M: (CM:) (Fm:)
Introduction
mm.I-7
Theme I
mm.7-36
Pentatonic Theme II ThemeH Pre-coda Coda
episode mm.80-99 mm.169-194 mm.195-210 mm.211-239
mm.42-45
Gmndgestalt (structurally realized)
FIGURE 111. The motive of Theme I and its corresponding tonal regions: A
hidden repetition between the pitches of the motive "a" of
Theme I (C-F-E-m-Db) and the tonal scheme of the Ballade.
189
In addition to providing the conflict between the F-major-oriented introduction
and the F-minor-oriented opening of Theme I, the Grundgestalt provides unity among
the thematic materials of the Ballade. Figure 110 shows that part of the pentatonic
episode, Bb-B-Db (3-6-5), is a transposition of one of the Grundgestalten in Theme I, C-
F-E natural, in the major context. Theme II also has the same contour, D-G-F (3-6-5),
which is a transposition from the one in the pentatonic episode. The above observation
demonstrates not only that all the themes from the F minor Ballade are related, but also
that there is a thematic connection between the F minor Ballade and the AI, major
Ballade.
Figures 103-111 summarize the functional Grundgestalten in Chopin's Ballades
Op. 23, Op. 38, Op. 47, and Op. 52, respectively. When one compares the
Grundgestalten of Chopin's Ballades, one will notice a striking resemblance between
the "basic shapes." In other words, the first Grundgestalt presented in the G minor
Ballade is further developed in the other Ballades, and therefore the four Ballades are
strongly bound by a common Grundgestalt. The common Grundgestalt in the Ballades
is a three-note figure mostly in arch form or inverted arch form, and there are specific
intervallic relationships between the pitches---e.g., a perfect 4th and major/minor
seconds (see Figure 112). Figure 112 illustrates the thematic development and
interaction between the Grundgestalten of the four Ballades, such as oppositions and
affiliates. For example, the Grundgestalt B-D-G in the Theme I area of the G minor
Themes Keys Grundgestalten Tonal Cells
Op.23 Theme! Gm:
y(m2) p4
""'--'r---t
r------ .. ----
'B D: G:,~ ~: ~t!?.... ..-: .. .J 1
Indicated intervals
are based on the
melodic contour
R-D
l>6 -3
Theme II-a BM:!B~M:
p4 Same Function
Reinterpretation of
the pitches
Retrograde and
reinterpretation of
the pitches
B-D
4-3
p4
i (BM:)
,-- ----.
y(m2)
3
I I
G) fa-: II (C) r5-1 m
!4 L ~ J 3! i (mM:)
~-----------------~
p4 z(m2)
r----J .----.G :D-----R-
3 LL L
I I
z(m2)
I ICE···-·-·-P-·
~ 7 t
........... _.......
2
(F
BM:
FM:Theme I
Theme III
Op.38
Theme II Am:
p4
I y(m2) I
.l..._....I.- .•
FE; C
.2....._._$..j 3
(A)
(1)
,---- 1,1 F-E
(\)6 .S
Retrograde
Reinterpretation
of the pitches
I
FIGURE 112. The development of the functional Grundgestalt in all four Ballades: Common tonal cells and
reinterpretation of pitches and/or functions.
......
'-0
o
p4 ),1(M2) Same function but
Gp.47 Theme I & III AJ.M: ~--~F- ll Same I I different mode
1&'3 l~ JJ pItches F-&6-)
~ i(M2) IReinterpretation of
Theme II Fm' C r::~- the pitches
· IF &13 Ii "t I F-BL J -I . .,.
p4
I z(m2) I
Gp.52 Intro. FM' /_._ .•.•. ]...•
· C!¥ (F) i
3 :'? ...._._~i) j f-(~) ~
p4 rL(m2) -... - I
Theme I Fm' r----1
C
' IF-'.'.'-'J.-. Retrograde
· 'E'~ i • i;) i 1 '7 i F-E
.._._ ' i·'
y(m2) p4
:-'=J~
!D~ (C i F)I,;> (_. - .....,
..~._._.~.J 1) Ul>·Ci>6 -3
~4 yl(M2)Theme II BIM' D~C:=:'_" Transde· POhsition and
. iG F ! mo c ange
3 i.~_ .._.. 3 ! G-F
__ ,_ 6·3
FIGURE 112. (Continued)
........
'0
........
192
Ballade becomes a source of conflict when the original Grundgestalt is reversed and
creates G-D-B in the Theme III area. This happens because the same pitches have
different functions when the order is reversed. B-D in the key of G minor functions as
b6-3 (y\ while D-B is perceived as 7-1 (z) in the key ofB major. Therefore, the
operation to reverse the functional tonal cells of the Grundgestalt creates two tonics in a
monotonal work where only one tonic can survive in the end.
The same operation is further developed in the second Ballade, Op. 38. The two-
key scheme is created by the reinterpretation of two pitches, E-F ("z," or 7-1in the key
ofF major) in theme I, and its retrograde F-E (yl or ~6-5 in the key of A minor) in
Theme II, thus stressing two conflicting tonics. Although the contrasts and unity are
affected by other factors such as tempo, texture, rhythm, dynamics, etc., the
Grundgestalt reveals more fundamental compositional ideas that can penetrate to the
large-scale tonal structure as well as on the surface level.
In the F minor Ballade, Chopin changes his strategy. The introduction implies a
connection between the F major Ballade and F minor Ballade. The implied dyad E-F
indicates 7-1 (z) in the key ofF major, but the reversed dyad F-E, 1-7 (reversed "z"
instead of a change in function to "yl,,), in the Grundgestalt in the Theme I area doesn't
necessarily establish any specific tonal center immediately. Instead, it leads to the entire
motive C-F-E-Bb-Db and thus suggests the future tonal structure of the Ballade.
Metaphorically the entire motive works as if it is the omen or premonition of the
protagonist.
193
The last note of the motive, Db, plays a large role in the F minor Ballade as the b6
of F minor intended for resolution to 5-1, and the resolution "z" is realized not in the F
major context implied in the introduction, but in the F minor context at the end of the
Ballade. The plot of the F minor Ballade is therefore more complex and tortuous than
the other Ballade's programmes, but the same Grundgestalt, b6-5-1 in the G minor
Ballade, becomes a focal point of the piece.
The above observations suggest that the most powerful oppositional tensions are
created when the functional dyad of the Grundgestalt is reversed and reinterpreted from
"yl" to "z" or from "z" to "yl." This operation is possible between tonic and third-
related keys (e.g., Gm:/ BM:, FM:/Am:). Conversely, a unifying effect among different
tonal areas is observed when the Grundgestalt is transposed without changing the
functional dyads.
Figure 113 shows the similarities between Grundgestalten in the four Ballades.
The Grundgestalten of the M major Ballade are the retrograde transposition of the
Grundgestalt of the G minor Ballade, although there is a half-step difference between
the dyads in the Ab major Ballade and the G minor Ballade because one is in a major
key and the other in a minor key. The Ab major Ballade also has another contour
relationship with the F minor Ballade. The Grundgestalt of the F major Ballade and the
first Grundgestalt of the F minor Ballade consist of the same pitches.
There are other similarities in addition to the relations between the
Grundgestalten. Figure 114 displays the ambiguous tonicizations in the Theme II area
Gm: FM: Am: AbM: Fm:
194
V
~6 5 1 5 7 \6 5 3
-
3 I) 5 5 \7 ~6 5 1
01¥ ~n ~ I ~0 0 0 I) 0 I- 0 It qo 0 ••9 9 9 9 9
~ L..-J ~ L.- L-J 7z y rz
II r I~.L- _
Same pitches
Same contour
Same function
FIGURE 113. The similarities between the Grundgestalten in the primary themes
of the Ballades.
of the G minor Ballade and the one in the bridge theme in the A~ major Ballade. In both
cases, there is one tonicization after another to emphasize two dominant-related keys
with equal weight. Melodically it sequences xhs in the G minor Ballade and x's in the
A~ major Ballade, stressing its tonic.
Figure 115 below shows a perceptive connection between the A~ major Ballade
and F minor Ballade; Chopin took advantage of the relative major/minor relationship
between them. The first Theme II area starts from an F minor triad, and the chord
progression of the beginning of the Theme II area is y7_i (Fm:) - y7_I (A~M:). The same
chord progression is repeated at the end of the M major Ballade. Then Chopin repeats
the same progression in the F minor Ballade. The tonal design of the introduction to the
195
A. G minor Ballade Theme II (measure 66-71)
I mM: I
I
I E~M: I '----1--'-1------,1
2 3 i66 riten.
1
~
71 1
I
B. A~ major Ballade bridge theme (measures 53-57)
I "f:.\ ~~ ~\ f:.\
~ ,J
( mezzo voce
5~ :3
x
I
x
I eM: I r-I-----,----
i~ :3 2 i~
I
FIGURE 114. Similarity in the ambiguous key areas in the G minor Ballade and
the M major Ballade.
196
A~ major Ballade Theme II (measures 62-69)
Fro: v7
A~M: V7/vi
66
i
vi
A~M: V7 I
A~ major Ballade ending (measures 237-241)
'V
I
237 ~_ f:.~... ~!: ... - I ;,..'I I
·.
· ·
·.
·
...'~ 1~ • .... • ·v
> 1" > >'I I I
: ·
-. .
.
... ~ ~ . ..... -v ~~ ~ .
I
I
FIGURE 115. Harmonic connection between the M major Ballade and the F
minor Ballade.
--_.- --
197
F minor Ballade theme I (measures 7-12)
3 (A~M:)
'V'
I
III ...-1 r.'I
--
tJ '1,
~ mezza ooce
: ~ ; :
":' ... :st,I. .. , .. -.- ":' .... :t:
1
1FM: YIII AJ.M: Y/vi . vi
tJ
~ ..~ ..~ ~*: : .
. . .
.. ., ...
"
... :s. fJ"
-
-
-
10
AJ.M: (vt) Y' I
FIGURE 115. (Continued)
Theme I area is C-Fm-H7-A~M. This indicates perceptive and/or programmatic
connections, and justifies the performance of the four Ballades in sequence.
Another connection can be found between the F major Ballade and F minor
Ballade. As I suggested in Chapter IV, the nostalgic feeling in the introduction suggests
yearning for the key ofF major. In the introduction of the F minor Ballade, the
Grundgestalt C-E-(F), or 5-7-1, is merely implied rather than clearly presented. If one
looks back at the previous Ballades, however, one can spot the Grundgestalt C-E-F in
the F major Ballade. I think there might be a programmatic connection between the F
major and F minor Ballades (see Figure 116).
198
A. F major Ballade Theme I (measures 0-5)
Grundgestalt (C.E.F)
I z
I
J(
B. F minor Ballade introduction (measures5-7): Recalling the Grundgestalt (C-E-F) of
theme I in the F maj or Ballade
r---------------
Grundgestalt (C-E-F)
I ----~-----------
5 '7
I --------.
'7
I
5FM'5
I I~------..'I I r I r -
.._._- . ..
..::w::=
V '1[ 1 ...~ I ,. I "'If I r~ I 1 I
< dim.
-
. . rftenuto . . . .
- -
~ .. "..~ . ~ .. .".. k ---......
1I-.l4...llt/l =fL.
_.
..---
"
--1-- -
. -,..
------------------------------,
I?
F?
-----------------------------,1"':"1 I
(~~~
FIGURE 116. Perceptual connection between the F major Ballade and F minor
Ballade.
199
Although never proven, the connection between the second Ballade and
Mickiewicz's ballad has often been the object of past speculated. Jim Samson writes,
More precise documentation has proved elusive, but tradition has it that
the Second Ballade was inspired by Mickiewicz's ballad Switez, which
recounts how the maidens of a Polish village were besieged by Russian
soldiers. They pray that they might be swallowed by the earth, and when
their wish is granted they are transformed into beautiful flowers which
adorn the site of the village. 1
lfthe key ofF major represents a protagonist, or protagonists, the interaction
between the Grundgestalten and the key scheme dictates that the A minor sections in
the F major Ballade and F minor sections of the F minor Ballade are oppositions against
F major. As shown in the comparison of the Grundgestalten in Figure 112, there is less
conflict in the A~ major Ballade. While all the other Ballades have conflicting tonal cells
such as E-F (7-1) and F-E (g6-)), the A~ major Ballade has the same pitches and coutour
in contrasting themes. This indicates that the AI> major Ballade is spared serious
struggles, and the entire Ballade works in the same way that the secondary themes work
in the G minor and F minor Ballades. Figure 117 illustrates how the turbulent A minor
theme in the second Ballade is reinterpreted in the A~ major Ballade.
Oddly, the AI> major Ballade is spared from the stress created by oppositional
forces, but since the tonic of AI> major is the minor third ofF major, the plot of the
1Samson, Four Ballades, 16.
200
A. Theme II in the F major Ballade
Grundgestalt (F-E-C) + 1
r-r-n
~ ~ ~ 1 (Am:)
B. The final descending arpeggiation in the AI> major Ballade
nil
l; ~ ~ 1 (MM:)
8·············!
1':"1.
'V
~ l; ~ 1
I I I I
Grundgestalt (C-F-FJ,) + 1
C. Theme I in the F minor Ballade
Anxiety (Fm:)
Grundgestalt (C-F-E) Grundgestalt (m-C-F)
I i I r I I
mena voce
itt tempo ~ 1 , ~?; // ~ 1l~~-~--=------"--'----'---,...:.><--p•• ---....:::....--..
10
":'''+ :$
Assuarance (~M:)
--------" Ir-------...:..--~------.
~-"..,._.. -~
FIGURE 117. Perceptual connections linking the F major, AI> major, and
F minor Ballades.
-------------_._-_....._---_.. __ ..- .._..-
201
Ballades is moving in the wrong direction. The Grundgestalt in the bass C-F-B (3-6-5)
in the AJ, major Ballade is altered to create a tragic Theme I in the F minor Ballade by
reinterpreting the Grundgestalt in a minor context, and creating C-F-m (5-1-7) and Db-
C-F (1)6-5-1). The culmination of energy in the dramatic ending of the F minor Ballade
is large enough to conclude the four ballades, which are related by the Grundgestalt.
Although other elements contribute to the way in which Chopin's Ballades
communicate with audiences--e.g., rhythm, tempo, dynamics, texture, etc.-this
dissertation has focused on pitch organization and key scheme to investigate how the
Ballades unfold their stories. It has also examined the specific compositional techniques
Chopin applied to make these substantial instrumental works coherent when the sonata
principle and other forms inherited from the previous era were beginning to dissolve.
My analysis proves that there is a unifying device, the Grundgestalt, which creates both
opposition and unity. This unifying device dictates both thematic development and tonal
organization. The Grundgestalt not only governs each Ballade, but it connects all four
Ballades with common elements. The tonality is essential to the Ballades because each
key represents an important role or development of musical events, and the various
stories of the Ballades unfold while the key areas interact with one another.
Figure 118 illustrates the simplified tonal discourse of the four Ballades on tonal
pyramids. As shown in the tonal pyramids, the narrative of the Ballades continues
throughout the entire cycle of the Ballades by means of a tonal discourse. There is a
FM
I
Gm
*Arabic numerals represent the order of modulation.
Fm
10
20
202
#1, #2, and #3: Modulations in the G minor Ballade, Op. 23 (Theme I in Gm:, Theme II-I in
EbM:/B~M:, Themes 11-2 and III in E~M:.
#4: G minor Ballade followed by F major Ballade
#5: F major Ballade, Op 38 (Theme I in FM:, Theme II in Am:)
#6: F major Ballade followed by A~ major Ballade
#7, #8, #9, and #10: A~ major Ballade Op. 47 (Theme I in A~M:, Theme II-I in Fm:, Theme 11-2 in
CPm.
#11 A~M Ballade followed by Fm Ballade.
#12-#20: Fm Ballade Op. 52 (Theme I in Fm:-A~M-&m:, Theme II-I in &M:, and Theme 11-2 in
mM:.
FIGURE 118. The tonal discourse in the four Ballades on tonal pyramids.
strong emphasis on the tonic F in the last three Ballades. The key of A minor in the
second Ballade works as an antithesis to F major. The key of M major becomes the
203
antithesis of A minor in the third Ballade, thereby enabling the major mode to regain its
supremacy. In the F minor Ballade, however, AJ, major is assimilated into the minor
context. The tonic F regains its supremacy, but in a minor context. I propose that the
problem of the two-key scheme in the second Ballade, as focused upon in previous
analyses, is solved when one perceives the second Ballade as a part of the entire cycle
of Ballades. The tonal pyramids in Figure 119 display the simplified path from the
F major to the F minor Ballade, and how Chopin exploited their mediant regions. The
modulations in Figure 119 are directed by the functional Grundgestalten and their tonal
cells. In other words, the tonal cells influence the direction of the harmonic structure
and create a specific path in the plot.
Gm
11
Am
iii
FM
I
mM CM
IV V
Dm
VI
AhM
III
mm
IV
Fm
i
Cm D~M
v VI
....
....
......
.....
.....
....
HM
VII
FM: The first tonic of the second Ballade
Am: The second tonic of the second Ballade
AJlM: The tonic of the third Ballade
Fm: The tonic of the fourth Ballade
FIGURE 119. The exploitation of the mediant regions: Simplified tonal plan
between the second and fourth Ballades.
204
Here is a literary analogy based on the development of "F" as a main character
in the last three Ballade. In the F major Ballade, "F" is portrayed as an ideal, such as a
beautiful pastorale, or innocent childhood, for which one longs. The assault against "F"
by "Am" follows. At the end of the second Ballade, "F" surrenders with sorrow. Then
"F" is gently steered to B to find itself in a safe haven in the new major key of Ak After
the triumph of AI> major, the F minor Ballade follows. As shown in my analysis of the F
minor Ballade, there is a strong nostalgic feeling towards F major in the introduction.
,
Instead, "Db," b6 ofF minor, emerges in Theme I, and Ab major is assimilated into the F
minor context. While "Db" is realized later as the second Theme II in a major context
that is reminiscent of the pastorale, the destiny of "F" is determined when "Db"
,
functions as b6 of the key of F minor. The ideal F major is never recovered, and the
tragedy ends when the tonic of F minor is established at the end of the fourth Ballade.
Another significant issue in this piece is Chopin's employment of the octatonic
scale in the l830s. Since Arthur Berger published his article "Problems of Pitch
Organization in Stravinsky" in 1963,2 scholars such as Richard Taruskin, Pieter van den
Toom, Dmitri Tymoczko, Wai-Ling Cheong, Allen Forte, and others have written
extensively on this subject, mainly analyzing Russian composers' works from the end
2Arthur Berger, "Problems of Pitch Organization in Stravinsky," Perspectives of
New Music 2, no. 1 (1963): 11-42. Berger's discovery of the octatonic scale as an
organizational tool of Stravinsky's compositions changed people's perception of
Stravinsky's music.
------------------~--~-
205
of the nineteenth century and after. Some works of French composers-e.g., Debussy,
Messiaen, and Ravel-have also been studied in this context.
As shown in Anatoly Leikin's dissertation and Roy Howat's article, Chopin is
one of the composers who applied octatonic collections in his compositions. This
indicates that employment of octatonic scales during the Romantic period occurred
earlier than most of the octatonic compositions previously studied. Now I will
summarize the application of the octatonic collections in Chopin's Ballades.
In the G minor Ballade, the ascending octatonic scale leads to Theme III in B
major, the pinnacle ofthe Ballade and the antithesis to Theme I in the key of G minor.
Prior to the octatonic section, the tonality in the Theme II-I area in the key ofE major
becomes increasingly unstable, and the octatonic section is used as a bridge to establish
the key ofB major (see Figure 120).
Taruskin writes, "they [whole-tone scale and octatonic scale] were functional
equivalents: both were outgrowths ofmediant interval cycles, both first appeared as
descending basses, both were originaly used as modulatory devices, and both, for
Russian composers, were evocative of evil magic.,,3
3Taruskin, 267. Taruskin also quotes Rimsky-Korsakov's autobiography My
Musical Life, in which the composer describes the application of octatonics in his opera
Ruslan and Lyudmila. "The introduction-picture of the calmly surging sea-contains
the harmonic and modulatory basis of the beginning ofLiszt's "Ce qu 'on entend sur la
montagne" (modulation by a minor third downward). The beginning of the Allegro %,
depicting Sadko' s fall into the sea and his being dragged to the depth by the Sea King,
is, in method, reminiscent of the moment where Lyudmila is spirited away by
Chernomor in Act 1 of Ruslan and Lyudmila. However, Glinka's scale, descending by
whole tones, has been replaced by another descending scale of semitone, whole tone,
semitone, whole tone-a scale which subsequently played an important part in many of
my compositions." Taruskin, 266.
126
206
(---~e:;r:~~~~~~~:;o------------------l Oct. 1 r----------------------------
I
I
--------------------------------------------------------------------------------
130 x
v7 of Ej, major
~----8 lHl- --- ----------------- ------- ----
I :
_---'-_---J I
I
I
I
I
-----------,
FIGURE 120. Chopin's application ofthe octatonic scale in the G minor
Ballade.
I think there are some similarities between Chopin's application of the octatonic
scale in the G minor Ballade and the above description by Taruskin. First, the octatonic
scale enhances the modulation between E major and B major, and analogously, it
magically materializes Theme III as the complete antithesis to the G minor theme at the
Theme I (Am/E)
I Theme III (UM:)
207
height of the Ballade; B is merely suggested at the introduction. Chopin applied the
ascending octatonic 1 scale with crescendo and animato, which ascends energetically at
dazzling speed to express excitement and emphasize Theme III. Figure 121 illustrates
the tonal design and the role of the octatonic scale in the Ballade.
Theme 11-2 (E~M:)
FIGURE 121. The thematic structure of the G minor Bal1ade and the octatonic
scale.
According to Taruskin's study, however, there were various cases of octatonic
segments employed in compositions even earlier in Western music history, including
----------~ ----
208
some of the works of 1. S. Bach.4 Sylvia Kahan writes, "True octatonicism, defined by
Taruskin, is identified as the supplanting of functions generated by movement within
the circle of fifths by a rotation of thirds or by a tonally stable diminished harmony.,,5 In
other words, true octatonicism is achieved only by the bass line that moves via the cycle
of minor thirds. Figure 122 is Taruskin's example of "true" octatonicism, as shown in
Liszt's composition.
According to Taruskin, Liszt sketched his first symphonic poem, Ce qu 'on
entend sur fa montagne, in 1848. The above example shows a descending minor third
connected by passing notes in the bass to support a succession of triads related by
thirds. It completes an entire cycle in one octave from Eb to Eb, creating a symmetrical
functional rotation. This score is considered to be an historic innovation by Liszt
because each node of the diminished 7th chord is harmonized.
Chopin's usage of octatonic scales is a "fortuitous" type, according to
Taruskin's definition. However, Chopin's octatonic phrases often grow from a small
subset to larger ones, and are often integrated into the development of the music. As
4Ibid., 269. According to Taruskin, most early examples of octatonicism are
melodically embellished diminished chords and are common in virtuoso keyboard
mUSIC.
5Sylvia Kahan, '''Rien de la tonalite usuelle': Edmond de Polignac and the
Octatonic Scale in Nineteenth-Century France," Nineteenth-Century Music 19, no. 2
(2005): 98.
209
FIGURE 122. Taruskin's example of Liszt's octatonic application in Ce qu 'on
entend sur la montagne, 16 before Y". Source: Richard Taruskin,
Stravinsky and the Russian Traditions: A Biography o/the Works
Through Marva (Berkeley and Los Angeles: University of
California Press, 1966), 267.
shown in my analysis of Chopin's G minor Ballade (see Figure 27), the three-note
figure "D~-C~-m" created by a modal mixture in the secondary theme area starts
growing in the development section and finally inclines into the full octatonic scale. The
rapid octatonic passage leads to Theme III, which is a perfect antithesis in the key of B
major against the original G minor by the reinterpretation of the pitches in the
Grundgestalt. Theme III appears only once-in the pinnacle of the Ballade, which
indicates that the use of the octatonic scale may have some programmatic meaning.
In the case of the F major Ballade, a sizable octatonic passage is repeated twice
between measures 107-110 and 132-135 in different keys. They are placed in the midst
of the Ballade between the second pastoral theme in the key of F maj or and the
1210
tempestuous presto theme in the key of A minor (see Figure 123). In this section, the
pastoral theme undergoes an expansive thematic transformation. The major octatonic
segment appears as an expanded ascending diminished chord each time, and becomes a
bridge between two distant keys. The effect of the octatonic phrases and the segment of
major scales surrounding the octatonic phrases is to avoid the direct conflict between F
major and A minor in the middle of a battleground-a refuge from fierce combat. There
is a motivic connection between the antecedent in Theme I in F major at the opening
and in the octatonic section in the bass, which is marked "t."
8-28 (Oct. 0)
streU(}, piu mosso _ ~ t~ l:~ rID~ ~l I I~" -Z-i:.~ I:'lr::': • h" #~:. ~l
.j : .. .
-.> I I .., T' l-I .....
"'"~j),,;s: {i cr ~e:' t' {OC~~ . - -:1 .... ..:, .. "~.. ~ i..·
--
"- ~ /~ --; )t (oc 1) ~. \
:
..
.
-
- -
~.
,,"
- ~ ..--~ '--............_---
FIGURE 123. The octatonic ascending motion in the F major Ballade.
211
The placement of the octatonic scales in the F major Ballade is similar to the
application of the G minor Ballade. They appear where the thematic transformation of
Theme 1 occurs, and because of the tonal flexibility of the diminished chords they
embellish, the new key areas are established. This becomes a safe haven from the direct
conflict between F major and A minor. Figure 124 illustrates the tonal scheme ofthe F
major Ballade and the appearances of the octatonic scales.
I Theme I (Am:)
I
I
I
I
I
I
I
I
I
_________ w J
Theme J thematic
trllnsformation
EM:-CM:-FM:
~
Theme II (Dm/A-Am:) I
Theme J thematic
transformation
mM:-QM:
Theme II (Am:-Gm:-AIom:)
Theme J (FM:) I I Theme I (FM:)
\/
-------------------------------11-------------------------------- ------------------,
- ---- -- -- - -- -- --- - ------------- FM:/Am: conflict zone
FIGURE 124. Octatonic passages and tonal scheme of the F major Ballade.
Chopin is more ambitious in the F minor Ballade. He employed octatonic
subsets to gradually develop a sense oftension between major and minor modes
212
throughout the piece by juxtaposing major/minor thirds (e.g. F-A and F-M) that are a
property of the octatonic scale (see Figure 125). This conflict is developed gradually
FIGURE 125. Prolongation of the F major chord and the confrontation between
major and minor in 3-3's.
213
through the octatonic subset 3-3 in the Theme I area in the key of F minor. The final
catastrophic crash is in the substantial coda where the key of F minor declares its
victory.
Other important octatonic sets are found at the end of the second introduction
and at the beginning of the "recapitulation" (see Figure126). The cadenza-like
arpeggiation at the end of the second introduction has a major/minor modal mixture,
and the octatonic subsets 4-3 and 5-10 create tonal ambiguity as well as a magical
effect. The following Theme I area begins as a canon where the subset 3-3 creates
further tonal instability and emphasizes the key of F major suggested in the first
introduction.
The largest octatonic subset is placed in the coda at the decisive moment in
order to portray the fierce battle between F major and F minor, in which the minor
mode declares its victory; Chopin takes advantage ofthe octatonic subset 3-3, which
can juxtapose major/minor thirds to create tension between the key ofF major
suggested in the introduction and the key ofF minor in Theme I (see Figure 127).
The above observations suggest that the octatonic segments in Chopin's
Ballades often have some programmatic meaning (such as a magical or supernatural
being or event), and by prolonging the chromatic chord(s) with melodic elaboration,
they create special effects where other diatonic scales alone could not generate them.
This happens when the octatonic subsets are placed in the transitional sections before
the important themes or key regions, leading to their unexpected appearances. The
The end of the second introduction
4-3 5-10 4-3
(oet.l) (oet.l)
- ,.--
Rf"--=I1I"'=:l""'"=''j:jI"'-:::jT ......:.-
- dolciss.
~I':\ ~...
'I
5-10 4-3 5-10
r lle t.
~,L... ,.r;.
214
The beginning of Theme I area in the "recapitulation"
(Dm:)
(Fm:)
1
______ 1
FM:
I PAC in FM:
~'
----_.:...----
FIGURE 126. End of the second introduction and the beginning of the
"recapitulation": "Magically" bringing out the key of F major.
215
cresco
nccel. sin'~a:.:..l;:.fi.:.:iu:.;;.e _
i(Fm!)
z
~-----------_:-----------------I (FM1)
r l
y'
I
L__ ---------------------------
'- I (FM?)
y'He'
Ho'iv
---
------.J
y~9/jv
---
----
FIGURE 127. Octatonic subsets expressing the major-minor conflict in the coda.
octatonic scale also stands out where there are sharp oppositions between two tonal
areas by major/minor thirds. Thus, the octatonic scale can either expand these
oppositional forces through its unique pitch properties or by providing a haven wherein
tonal conflicts in the diatonic context are avoided.
216
Paul Badura-Skoda quotes Schumann's remark at the beginning of his article
"Chopin's Influence": "Chopin's works are guns buried in flowers."6 Badura-Scoda
himself writes,
Indeed, Chopin is a truly revolutionary composer. The "gunpowder" of
his bold innovations had the most far-reaching result on the development
of music up to the twentieth century. Yet at the same time he used his
new musical language with such a classical restraint, with such a unique
sense for balance of form and expression and with such a grace that the
"guns" became invisible and many of his most original inventions could
pass unnoticed by the general public.7
I have attempted to expound upon some of Chopin's most innovative
musical ideas as expressed in his Ballades. The narrative of the Ballades unfolds
through the character of the themes and transitions, and the plots of the Ballades
are determined by their key schemes. The Grundgestalten are the sources of the
themes and help to determine the tonal discourses ofthe Ballades. The overall
feeling of unity created by the Grundgestalten spans not only throughout each
Ballade, but also over the four Ballades as a complete cycle. Although they are
subtle, the octatonic subsets produce colors, contribute to the narrative of the
Ballades, and are smoothly integrated within Chopin's elegant style of writing.
6Paul Badura-Skoda, "Chopin's Influence," in The Chopin Companion: Profiles
ofthe Man and the Musician, ed. Alan Walker (New York: Barrie & Rockliff, 1966),
258.
7Ibid.
217
APPENDIX
OCTATONIC REGIONS IN OTHER
REPERTOIRE BY CHOPIN
Below is an example of Chopin's use of octatonic sets in other repertoire. Op. 10
#3, the Etude in E major, has an extensive octatonic section in the middle, which makes
a striking contrast with the lyrical tonal section in E major (see Figure 91). The entire
middle section is a succession of diminished 7th chords in which the combination of
two different diminished 7th chords creates the full octatonic scale 8-28. The chromatic
motion of the octatonic region is seamlessly connected to the tonally oriented sections
in this composition from Chopin's early period.
Octatonic regions in Etude Op. 10 #3 (measures 31-57)
oct. 1
: -....: :: .
.. --- _ ... -_ ... --- --- --- 1_ ...... _
oct.! oct.2
218
219
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