Four Ballades - Song Cycle Without Words

BOSTON UNIVERSITY
COLLEGE O F FINE ARTS
D issertatio n
THE FOUR BALLADES, OP. 10 OF JOHANNES BRAHMS:
A SONG CYCLE WITHOUT WORDS
by
TING-CHU HEATHER SHIH
B.M ., F u -Je n C atholic U niversity, 1992

M.M., T he O hio S ta te U niversity, 1994
S u b m itted in p a rtia l fulfillm ent o f th e
re q u ire m e n ts for th e degree of
D octor o f M usical A rts
2005
Reproduced with permission of the copyright owner. Further reproduction prohibited without permission.
UMI Number: 3171193
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Shih, Ting-Chu Heather
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Approved by
F irst R eader
T hom as P eattie, Ph.D .
A ssista n t P rofessor o f M usic
Second R eader
Antho: >naventufa/
P rofessor of M usic, Piano
T hird R eader
R ichard C ornell, Ph.D .
A ssociate P rofessor o f M usic
To my parents
iv
Acknowledgem ents
O ver th e c o u rse of m y d o cto ral stu d y a t B oston U niversity, th e re
h ave b een c o u n tle ss te a c h e rs, staff, a n d frien d s w ho h av e eno rm o usly
in sp ired m e a n d m ad e th e com pletion o f m y stu d y po ssib le. F irst o f all, I
w ould lik e to ex p re ss m y d e ep e st ap p reciatio n to P ro fesso r T hom as P battie
w ho alw ays su p p o rte d m e in eveiy a sp e c t of m y d isse rta tio n a n d still
stim u la te s m y th in k in g w ith h is a b u n d a n t know ledge. W itho u t h is
en co u rag em en t, I w ould n o t have b een ab le to accom p lish th e ta s k . I also
owe en o rm o u s d e b t o f g ra titu d e to m y p ian o tea ch e r, P rofesso r A n thony di
B o n av en tu ra. H is p a tie n t g u id an ce over th e y e ars h a s com pletely
tran sfo rm ed m y ph ilo so p h y o f p ian o playing. H is know ledge of rep e rto ire
a n d lite ra tu re o f a ll g en res is a n in sp ira tio n to m e. A h e a rtfe lt th a n k s goes
to P rofessor R ich ard C ornell, w ho offered v alu ab le advice in th e w ritin g of
th is d isse rta tio n a n d th e p re p a ra tio n of m y le c tu re recital.
F lirth e rm o re , I w ould like to th a n k L isa B u rn e tt w ho sp e n t m an y
h o u rs going th ro u g h th e e n tire d isse rta tio n a n d m odifying m y w riting. A
sp ecial th a n k s goes to C ath y T sen g w ho help ed m e in ed itin g th e m u sic
exam p les a n d solving m an y co m p u ter problem s. Also, a tru e g rate fu ln e ss
is d u e to J e n n y C h o u w ho h a s b een w alking w ith m e o n th is long jo u rn e y
a n d e n co u rag es m e in all I do.
My g re a te st a p p reciatio n goes to m y p a re n ts a n d s is te rs for th e ir
u n c o n d itio n al love a n d c o n siste n t su p p o rt. W ithout th em , th e
ach iev em ent o f th is degree w ould have n ev er com e tru e . A nd for a ll th e
people w ho hav e influ enced m y life, I give m y m o st sin cere g ra titu d e to m y
Lord, J e s u s C h rist. M ay a ll th e glory a n d h o n o rs give u n to G od.
vi
THE FOUR BALLADES, OP. 10 OF JOHANNES BRAHMS:
A SONG CYCLE WITHOUT WORDS
(O rder No. )
B oston U niversity College o f F ine A rts, 2005
M ajor Professor: T hom as P eattie, Ph.D . A ssista n t P ro fessor o f M usic
ABSTRACT
T he n in e te e n th c e n tu ry saw th e b losso m in g of p rog ram m u sic a n d
th e evolution of its o p po site, so -called "absolute" m u sic. J o h a n n e s
B rah m s rep re se n te d th e g ro u p th a t d efended trad itio n . H is in stru m e n ta l
m u sic clearly b e a rs w itn ess to h is belief in a b so lu te m u sic. However,
am ong h is early p ian o w orks sta n d th e B a lla d es, Op. 10, th e first piece o f
w hich c a rrie s a pro g ram m atic asso c iatio n w ith th e S co ttish b allad
"Edw ard." M oreover, som e re c e n t re se a rc h h a s u nco vered a p o ten tial
rela tio n sh ip betw een O p. 10 a n d o n e o f B ra h m s's m issin g com positions,
B la tter a u s d em Tagebuch e in es M usikers, w h ich w as in sp ired by E. T. A.
H offm ann's lite ra ry w orks. T he p u rp o se o f th is d isse rta tio n is to provide a
th o ro u g h ex am in atio n o f th e b ack g ro u n d o f B ra h m s's O p. 10 a n d a
d etailed a n aly sis o f each piece, in o rd e r to reveal th e rela tio n sh ip betw een
vii
th e m u sic a n d its lite ra ry in sp ira tio n a n d to u n fold th e in te r-relatio n sh ip
betw een th e fo u r p ieces o f O p. 10. M oreover, by exploring th e e sse n tia l
q u a litie s o f O p. 1 0 ,1 h ope to d e m o n stra te th e c h a ra c te ristic s o f
sto rytellin g in th e s e t a n d th e in flu en ce th e se c h a ra c te ristic s h a d u p o n
la te r com posers.
C h a p te r O ne tra c e s th e p ian o b allad e to its vocal origin, th e b allad .
T he d isc u ssio n fo cu ses o n its evolution from V olksballade to K unstbaU ade
a n d th e ch allen g es com po sers e n co u n tere d in se ttin g th e te x ts to d iverse
m u sical form s. T he genre o f th e p ian o b allad e first a p p ea re d in th e early
n in e te e n th cen tu ry . A m ong w orks in th e genre, B ra h m s's O p. 10 is
co n sid ered o n e o f th e m o st u n iq u e. C h a p te r Two p re se n ts recen tly
unco vered evidence re la te d to th e B la tter pieces a n d th erefo re tie s all fo u r
pieces to g eth er w ith lite ra ry referen ces. Also, th is c h a p te r su m m arizes
B ra h m s's ph ilo so p h y o f g rou ping sev eral p ieces a s a set. C h a p te r T hree,
w hich is divided in to fo u r p a rts , pro vid es a th o ro u g h a n a ly sis of each
piece w ith m u sica l exam ples. To rem ed y th e div ersity show n in th e
an aly sis, C h a p te r F o u r d isc u sse s th e com m on elem en ts am o n g th e fo u r
B allades a n d e sta b lish e s th e u n ity o f th e se t. Finally, C h a p te r Five rev eals
th e tru e n a tu re of O p. 10 a s a m asterp iece o f storytelling. T his w ork p lay s
a sig n ifican t role in reviving th is dying tra d itio n a n d p a ssin g it dow n to
g en eratio n s to com e.
viii
Table o f C ontents
page
C h a p te r O ne H istorical B ackg ro un d 1
C h a p te r Two In to B ra h m s's w orld 32
C h a p te r T hree A nalysis
1) A nalysis of th e first B allade 63
2) A nalysis of th e seco nd B allade 74
3) A nalysis of th e th ird B allade 88
4) A nalysis of th e fo u rth B allade 102
C h a p te r F o u r As A U nit 117
C h a p te r Five E pilogue-A sto ry h a s b een to ld 128
A ppendix I B rah m s' S co ttish T exts 137
A ppendix II T he D etailed F orm al A nd H arm onic

S tru c tu re O f O p. 10 149
B ibliography 155
V ita 160
ix
List o f Tables
page
C h a p te r Two
T able 1 B ra h m s's W orks C o n tain in g A llusions
to P o etiy o r Song 36
T able 2 B ra h m s's W orks R elated to S co ttish Songs 41
T able 3 S elected Im p o rta n t D ates o f 1853-1856,

reg ard in g B lo tter a n d O p. 10 46
T able 4 T he In ten d e d T itles o f B ldtterand

Jo a c h im 's resp o n se 51
T able 5 C om parison betw een B latter a n d Piano

B allad es 55
T able 6 C o m parison betw een th e fo u r so n g s on

poem s by K laus G ro th a n d
L ieder u n d G esange, O p. 59 60
C h a p te r F o u r
T able 1 F orm al S tru c tu re s o f T he F o u r B allades 119
T able 2 R elated T onal P la n s B etw een E ach B allade

a n d S ection 119
T able 3 L ist o f M odal S hifting 121
T able 4 P edal P o in ts F o u n d In T he F irst

T hree B allad es 123
T able 5 D escend in g Id eas 125
List of M usic Exam ples
page
C h a p te r O ne
E xam ple 1 Z u m steeg 's "Die E ntfufrung," m m . 127-133 17
C h a p te r T hree
1) A nalysis of th e first B allade
E xam ple 1.1 P iano B allade, Op. 10 no. 1, m m . 1-2 (Them e I) 65
E xam ple 1 .2 a P iano B allade, O p. 10 no. 1,
m m . 7 -9 , 2 2 -24 (Them e II) 64
E xam ple 1.2b D escen d ing Scale 64
E xam ple 1.3 P iano B allade, Op. 10 no. 1 (with texts) 66
E xam ple 1.4 P iano B allade, O p. 10 no. 1,
m m . 2 7 -2 8 (B section) 69
E xam ple 1.5 S cherzino from "F-A-E" S o n ata
for V iolin a n d P iano 70
E xam ple 1.6 P iano B allade, O p. 10 no. 1,
m m . 2 8 -5 9 (B section) 70
E xam ple 1.7 P iano B allade, Op. 10 no. 1,
m m . 2 7 -2 8 (B section), LH only 71
E xam ple 1.8 m m . 5 7 -5 8 71
E xam ple 1.9 P iano B allade, Op. 10 no. 1, m m . 59-61 72
E xam ple 1.10 P iano B allade, O p. 10 no. 1, m . 6 5 73
2) A nalysis o f th e seco n d B allade

E xam ple 2.1 P iano B allade, O p. 10 no. 2, m m . 1-2 77
E xam ple 2 .2 B ra h m s's S ym phony No. 3 F irst m ovem ent
(Allegro con brio) 77
E xam ple 2 .3 O pening g e stu re of a l (m m . 3-7),
tw o d escen d in g lin e s 79
E xam ple 2 .4 F irst tw o m e a su re s o f a 2 (mm. 10-11),
d escen d in g lin e 79
E xam ple 2 .5 P iano B allade, O p. 10 no. 2, m m . 2 4 -2 7 80
E xam ple 2 .6 H arm onic p ro g ressio n s o f m m . 3 5 -4 3 (B section) 81
E xam ple 2 .7 P iano B allade, Op. 10 no. 2, m m . 3 6 -3 7 81
E xam ple 2 .8 P iano B allade, Op. 10 no. 2, him . 4 6 -4 7 82
E xam ple 2 .9 P iano B allade, O p. 10 no. 2, m m . 51 -52 82
E xam ple 2 .1 0 C o m p arison betw een m m . 28-31 a n d 8 4 -8 8 84
E xam ple 2.11 P iano B allade, O p. 10 no. 2, m m . 118-119
(m otto tra n sp o se d a m in o r th ird down) 85
xi
E xam ple 2 .1 2 C oda o f P iano B allade, Op. 10 no. 2 86
3) A nalysis of th e th ird B allade

E x am p le3 .1 P iano B allade, O p. 10 no. 3, m m . 1-9 89
E xam ple 3 .2 P iano B allade, O p. 10 no. 3, m m . 9 -1 4 90
E xam ple 3 .3 C losing o f A sectio n in P iano B allade,
O p. 10 no. 2 (m m . 31-38) 92
E xam ple 3 .5 P iano B allade, O p. 10 no. 3, m m . 31 -3 2 93
E xam ple 3 .8 P iano B allade, O p. 10 no. 3, m m . 77-81
(harm onic p ro g ressio n from D# m inor
to B m inor) 96
E xam ple 3 .1 0 R hythm ic d isp lacem en t p a rt of A' sectio n ,
m m . 103-104 97
E xam ple 3.11 C om parison o f m m . 15-40 a n d 105-116 98
E xam ple 3 .1 2 iii - I p ro g ressio n 99
E xam ple 3 .1 3 P iano B allade, Op. 10 no. 3, m m . 121-124 100
4) A nalysis of th e fo u rth B allade

E xam ple 4.1 P iano B allade, O p. 10 no. 4, T hem e A (m m . 1-8) 104
E xam ple 4 .2 m m . 1-8, sim plified h arm o n ic p ro g ressio n 105
E xam ple 4 .3 R hythm ic p a tte rn o f th e m elody in a 2 106
E xam ple 4 .4 P iano B allade, Op. 10 no. 4, T hem e B 108
E xam ple 4 .5 F o u r rh y th m ic p a tte rn s in m m . 55 -60 108
E xam ple 4 .6 B eginning o f A' sectio n , m m . 7 3 -7 4 109
E xam ple 4 .7 P iano B allade, Op. 10 no. 4,
T hem e C (m m . 89-93) 109
E xam ple 4 .8 P iano B allade, O p. 10 no. 4, m m . 115-124 110
C h a p te r F o u r
E xam ple 1 T onal p la n o f O p. 10 120
C h a p te r Five
Eixample 1 G rieg, O p. 24 old N orw egian m elody 132
EXam ple 2 G rieg, O p. 65 n o . 5 I balladetone, m m . 1-8 132
E xam ple 3 Dvorak, O p. 85 no. 5 S elsk a B allad a, m m . 1-25 134
EXam ple 4 R eger, O p. 2 5 no. 4 N ordische B allade, m m . 1-9 135
xii
List o f Diagram s
page
C h a p te r T hree
D iagram 1.1 F orm al S tru c tu re o f Piano B allade, O p. 10 n o . 1 64
D iagram 2.1 P iano B allade, O p. 10 no. 2 74
D iagram 2.2 F orm al S tru c tu re o f P iano B allade, O p. 10 no . 2 76
D iagram 2.3 D etail S tru c tu re o f A sectio n 79
D iagram 3.1 Form al S tru c tu re o f P iano B allade, O p. 10 no. 3 88
D iagram 3.2 D ynam ics o f th e T h ird B allade 101
D iagram 4.1 F orm al S tru c tu re o f P iano B allade, O p. 10 no. 4 103
D iagram 4.2 S tru c tu re a n d th e M ajor H arm onic P ro g ressio n s

o f th e A section 103
D iagram 4 .3 S tru c tu re a n d th e M ajor H arm onic P ro g ressio n s

o f th e B sectio n 106
D iagram 4 .4 S tru c tu re a n d th e M ajor H arm onic P ro g ressio n s

o f th e C sectio n 111
D iagram 4.5 C om parison o f H arm onic P rogression

B etw een a l a n d c l , C2 112
D iagram 4 .6 C om parison o f H arm onic P rogression

B etw een a 2 a n d C2 114
XUl
1
Chapter 1 H istorical Background
B efore com ing to a n ex am in atio n o f th e p ian o b allad e, its e sse n tia l
to u n d e rs ta n d th e o rig in s of th is g en re, for B rah m s's P iano B allade, O p.
10, u n lik e m an y of th o se w ritte n by h is co n tem p o raries, h a s a stro n g
co nn ectio n w ith th e o riginal vocal genre.
T he 18th c e n tu ry m ark e d th e revival of a n in te re s t in folksong
th ro u g h o u t E urope. T h is m ovem ent first a ro se in E n gland a n d S co tlan d ,
a n d la te r sp re a d to o th e r c o u n trie s, in clu d in g G erm any. T he te x ts o f th e
so n g s w ere first collected b y e n th u s ia s ts a n d la te r th e m elodies. C ritics
su c h a s Jo s e p h A ddison b eg an to p ay se rio u s a tte n tio n to th is lite ra ry
developm ent, a s evidenced by th e p u b licatio n o f tw o e ssa y s by A ddison in
1711 p raisin g th e folksong "Chevy C h ase."1 A m ong th e an th o lo g ies of
p o p u lar folksongs, it w as T h om as P ercy's th re e volum es o f R eliques o f
1 Both essays were published in Addison's Journal The Spectator in May, 1711. The
Spectator, a daily journal, which was founded in 1711, presents almost every aspect of life
during the reign of Queen Anne and touches upon most of the intellectual and religious
topics of the time. As George Sherbum states in the introduction of the Spectator, Vol. 1:
"if one wishes to know what the 18th-centuiy Londoner thought about, one can do no
better than to read The Spectator The two essays, Nos. 70 and 74 in Spectator can be
found in the first volume of the Spectator. According to Percy,"Chevy-Chase"was
possibly written after the elogium of Sir Philip Sydney, and can not be older than the time
of Elizabeth. The version Addison employed was not the original one, but a more polished
version of the revised "Hunting of the Cheviot", a broadside ballad frequently printed in
song collections of the time. More information can be found in Joseph Addison, The
Spectator, Vol. 1 (Oxford: Clarendon Press, 1965), 297-303 and 315-322. And Thomas
Percy, Reliques o f Ancient English Poetry, Book of the first, Vol. 1 series I (New York: E. P.
Dutton 8s Co., 1932), 65-75.
2
A ncient E n g lish Poetry, first p u b lish e d in 1765, th a t h a d th e m o st d irec t
in flu en ce on th e evolution o f th e G erm an b allad ? T his collection in clu d ed
n o t only ex istin g p o p u lar p oetry , b u t also th e p o etry in p o p u la r style
com posed by co n tem p o rary p o e ts, a n d even som e o rig inal p o em s b a se d o n
th e folksong frag m en ts com posed b y Percy him self. A no th er im p o rta n t
in flu en ce o n th e developm ent o f G erm an b allad w as J a m e s M acph erso n's
O ssianic Poetry, p u b lish ed betw een 1760 a n d 1765. T his collection w as
in itially reg ard ed a s a n a u th e n tic exam ple o f th e 1^ - c e n tu r y G aelic epic,
b u t la te r w ere proved to b e M acp h erso n 's ow n w ork.3
B ecau se o f th e close political rela tio n sh ip betw een E ng lan d a n d
G erm any d u rin g th e 18th c e n tu ry a n d th e fo u n d atio n o f th e U niversity of
G ottingen in 1737 b y K ing G eorge II, th e re w as c o n sta n t in te lle ctu al
exchan g e betw een th e tw o c o u n tries. T herefore, once th e folksong revival
2 According to Percy himself, he found an old folio manuscript that belonged to

Humphrey Pitt of Shifnal. It contained one hundred and ninety-five Sonnets, Ballads,
Historical Songs, and Metrical Romances from the 17th century. However, about fifty-four
pages had been tom away. Also, due to the binding, the top and bottom lines of a large
portion of the manuscript had been cut off. Therefore, Percy had to modify some of the
poems according to the fragments. Despite the simple folk ballads collected in Percy's
Reliques, poems written by John Skelton, Shakespeare, Jam es Shirley, King Jam es V,
Queen Elizabeth, Walter Raleigh, Colonel Richard Lovelace, William Shenstone, John
Lilye, etc, were also included in ReKques.
3 A controversy concerning the authenticity of Macpherson's Ossianic Poetry arose soon
after the first poem "Fingal" was published in 1760. At the earliest stage of the
controversy, some of the doubts especially those voiced by Hugh Blair and David Hume
seemed to stem from pure prejudice. The poet Thomas Gray was skeptical but at the
same time showed interest in Macpherson's work. Also, Malcolm Laing did more
thorough research, comparing Macpherson's writing with that of Classical and English
writers and found a strong similarity. Even though the Ossianic Poems are known
principally as a forgery today, the two-hundred-year controversy stimulated the
investigation of the oral traditions of the Highlands and therefore the formation of many
authentic collections of Ossianic ballads.
3
w as u n d erw ay in E n g lan d it im m ediately received a tte n tio n in G erm any
a n d in sp ired th e developm ent o f th e G erm an n a tio n al lite ra tu re a n d in
tu rn th e G erm an lie d .
T he in flu en ce w as m an ifested in th e p u b lic atio n s o f Jo h a n n
G ottfried von H erder, m o st n o tab ly Stim m en d e r Volker in L ied em (Voices
of th e People in Songs) in 1778-9, a w ork w ritten in re sp o n se to P ercy's
R eliques.4 T h is tw o-volum e anth olo g y in clu d ed tw enty-four tra n s la tio n s of
Percy a n d sev eral o f G o eth e's early po em s, som e o f w hich w ere la te r s e t by
S ch u b ert. H erd er's w ritin g a n d co llectio ns of folk so ng s played a n
im p o rta n t role in en co u rag in g G oethe to stu d y th e V olkslieder, lead in g in
tu rn to a new G erm an lite ra ry m ovem ent: Sturm u n d D rang.5 A m ong
several an th o lo g ies p u b lish e d d u rin g th is tim e, th e only one com posed
en tirely o f G erm an folksongs w as F ried rich N icolai's tw o-volum e
anthology, E y n fe y n e r kle yn e r A lm a n a ck ("A refin ed little alm anac") in
1777-78. It la te r becam e a favorite so u rc e o f folk m ateria l for B rah m s in
4 What Herder intended to give to Germany was a folk collection similar to that given by
Percy to England. Herder even planned a collection of folk tales. Unfortunately, he was
unable to find time to do the actual work. The 1778 and 1779 collection of folk poetiy,
Stimmen der Vdlker in Liedem, is generally referred to simply as Volkslieder. Related
information about Herder's work in folk poetiy can be found in Robert Reinhold Ergang,
Herder and the Foundations o f German Nationalism (New York: Columbia University Press,
1931), 201-212.
5 A movement that aimed for exploring and expressing frightening, stunning, and
shocking emotions and even violence. It dates from 1773, the publication of Goethe's
play Gotz von Bertichingen, until 1781, the date of Schiller's Die Rauber. Goethe, as the
leading figure of this movement, together with other contemporaneous poets and
dramatists, believed that 'Gefuhl ist alles'(Feeling is everything). For further discussion of
this topic, see Kenneth Whitton, Lieder (New Yoik: Franklin Watts, 1984), 21-30.
h is c h o ral folksongs a n d o th e r in stru m e n ta l w orks. In sp ired b y th e efforts
o f H erder a n d o th e rs in tra n s la tin g E n g lish a n d collecting G erm an
folksongs, th e m ovem ent flo u rish ed , cu lm in atin g in th e p u b licatio n o f th e
three-v olu m e anthology, D es K n ab en W underhom (The Y o u th 's M agic
H orn), by Ludw ig A chim von A m im a n d C lem ens B ren tan o in th e first
d ecad e of th e 19th cen tu ry .6
In ad d itio n to th e in flu en ce o f th e folksong revival m ovem ent in
E n g lan d a n d S cotlan d, a n o th e r s tra in th a t c o n trib u te d to th e developm ent
o f th e p o etic form of G erm an b a llad is th e tra d itio n o f th e B& nkelsang
(B ankel, in G erm an, m e a n s b e n c h .), w hich flo u rish ed d u rin g th e 18th
a n d 19th c e n tu rie s. P erfo rm ances o f th is type o f n a rra tiv e son g u su a lly
to o k p lace in p u b lic v en u es su c h a s m ark e tp la ce s or fairs. S in g ers sto od
o n a w ooden b en ch a s a m ak e sh ift p od iu m , a n d w ere o ften accom p anied
b y folk in stru m e n ts, su c h a s th e h u rd y -g u rd y . F req uently, sin g ers w ould
u s e a sta ff to p o in t to p ic tu re s on a n oilcloth, w hich p re sen te d th e sc en e s
o f th e p lo t b ein g n a rra te d . A fter th e p erfo rm an ce, a p rin te d sh e e t or
p a m p h let of tw o o r m ore leaves c o n ta in in g b o th th e son g a n d th e
d escrip tio n of th e tale w ould be sold to th e p ublic. A lthough th e su b je c ts
o f th e B& nkelsang w ere g enerally b a se d o n tru e even ts, th e to p ic s c h o sen
6 Des Knaben Wunderhom was first published between 1805 and 1808. Each of the first
two volumes contains more than four hundred folk lyrics and the third volume has more
than five hundred. It became a major source of lyrics for many major composers, such as
Felix Mendelssohn, Luise Reichardt, Robert Schumann, Johannes Brahms, Gustav
Mahler, Richard Strauss, and Arnold Schonberg.
em p h asized m u rd e rs, crim es a n d o th e r terrifying a n d se n sa tio n a l events.
T herefore, th e so n g s often co n clu d ed by offering m oral advice to th e
au d ien ce. B & nkelsang u su a lly c arry long title s a n d te x ts th a t c o n ta in th e
e x ac t d a te a n d p lac e o f th e ev en ts d escrib ed . The c h a ra c te ristic s o f
B & nkelsang a re sim ilar to th o se of folk b a llad s. The te x t a n d th e tu n e a re
s h o rt a n d sim p le in form . A B & nkelsang w as som etim es tra n sm itte d orally
am ong th e people a n d tran sfo rm ed in to a folk ballad.
M any 18th-c e n tu iy p o e ts ad o p ted som e o f th e c h a ra c te ristic s of
B & nkelsang in to th e ir p o etiy . F or exam ple, all th re e poem s o f J o h a n n
G leim 's Drei R o m a n zen c o n ta in long titles, a s w ell a s th e ex act d a te a n d
p lace th a t th e ev en ts o ccu rred .7 Som e of G ottfried A u g u st B u rg er's
poem s, su c h a s "Lenore," "D er w ilde Jag er" ("The w ild horsem an"), "Das
Lied vom b rav en M anne" ("The ta le o f a b rave m an ) a n d "Des P farrers
T o ch ter von T aubenhayn" (The m in iste rs d a u g h te r from T aubenhayn")
c o n sist o f effects design ed to sh o c k th e rea d er. T here a re m o ral
p ro n o u n ce m en ts fo u n d a t th e en d o f "Lenore" a n d "Der R itter u n d sein
Liebchen." W ith th e influ ence o f th e B& nkelsang, th e trag ic, b allad -lik e
elem en t h a d b een p o u red in to th e stilte d lite ra ry co n v ention s o f th e tim e.
T he w ord b allad , derived from L atin ballare, m ean in g to dance,"
w as originally a sso c ia te d w ith d an ce-so n g s, su c h a s th e caro l. A definition
o f th is term , given b y D avid C h arles O ssenkop, provides a clear
u n d e rsta n d in g of th e g enre a s it h a s ex isted over th e la s t on e h u n d re d a n d
fifty y ears.
A b a llad c a n b e defined a s a m od erately sh o rt stro p h ic so n g o r

poem h avin g a se c u la r, b u t n o n -p o litical c o n te n t in w hich a p lo t,
stre ssin g a single episode, is rela te d . T he sta n z a s a re u su a lly
com posed of th e sam e n u m b e r of lin e s, a n d it is n e a rly alw ays
th e c a se th a t a b asically u n ifo rm m etrical p a tte rn a n d rim e o r
a sso n a n c e schem e is p re se n t.8
T aking a sligh tly lo n ger h isto ric a l view, th e b a llad d erives from tw o
so u rces: th e Italia n ballata a n d Proven?al battada, w hich b o th m ean
"dance so n g , a n d w ere closely a sso c ia te d w ith F ren ch fo rm e s fix e s , w hich
flo u rish ed d u rin g th e 13th, 14th, a n d 15th c e n tu rie s. W hen b a lla d referred
to a "dance song" d u rin g 14th cen tu ry , it d id n 't carry th e m ean in g o f
"n arrativ e lyric." A fter th e decline o f th e F ren ch p o p u la r p o etiy , th e term ,
to g eth er w ith b allet, becam e a synonym for "song". D u rin g th e 18th
cen tu ry , w hile th e loose se n se o f th e term co n tin u ed to b e "p o p u lar song",
b a lla d s w ritten by p ro fessio n al p o e ts b egan to ta k e on a m ore p a rtic u la r
m ean in g: "n arrativ e song", u n d e r th e in flu en ce o f G erm an B & nkelsang a n d
E n g lish folksong revival. B o th se n se s o f th e te rm w ere com m on d u rin g
th e 19th cen tu ry , a n d a re still in u s e today.
7 Wilhelm Korte, ed. Johann Wilhelm Ludeung Gleims sammtliche Werke, vol. 3
(Halberstadt: Bdreau f&r Uteratur und Kunst, 1811), 95-132.
8 David Charles Ossenkop, The Earliest Settings o f German Ballads for Voice and Clavier
(New York: Columbia University, 1968), 25-26.
7
A m ore re c e n t definition given b y A lbert B. F ried m an offers m ore
conservative d e scrip tio n s o f b o th th e "folk ballad" a n d "w ider u s e o f th e
term ," respectively.
The "folk," "popular," o r "traditional" b allad is a s h o rt n a rra tiv e

so n g p reserv ed a n d tra n sm itte d orally am ong illite rate o r
sem iliterate people. As o n e o f th e im p o rta n t, if n o t th e m o st
im p o rta n t form s o f folk poetry, b a lla d s h ave b een com posed,
su n g , a n d rem em b ered in every age.
F ried m an c o n tin u es m ak in g c le ar d istin c tio n s am ong v ario u s ty p es of
b a llad in te rm s o f its w ider u se .
(1) th e b a llad a s a sp ecies o f o ral p o etiy , w hich is o rally com posed

a n d tra n s m itte d ,...
(2) 16th c e n tu iy a ssim ila tio n s a n d a d a p ta tio n s o f th e o ral b a lla d ,...
(3) lite ra ry im itatio n s o f th e p o p u la r b allad ,...flo u rish in g
p a rtic u la rly in th e la te r IB ^ -ce n tu ry revival of a n tiq u a ria n ism
a n d folk p o e tiy w hich cu lm in ated in ro m an ticism .9
L iteraiy h isto ria n s often divide th e b a lla d in to tw o categories,
accord in g to a u th o rsh ip : V olksballade, folk b a lla d s a n d K unstballade, a rt
b a llad s. T he m o st d istin c t c h a ra c te ristic o f th e folk b a llad is its an on y m ity
(an d its lac k of a cle ar a u th o ria l voice). As F ra n k Sidgw ick h a s observed,
"The first a n d forem ost q u ality a b o u t th e B allad, in a n y lan g u ag e, is n o t
its p erso n ality , b u t its im p erso n ality."10 A ccording to th e definition
provided by G eorge L. K ittredge, "[The ballad] m ay be defined a s a sh o rt
9 Albert B. Friedman and T. V. F. Brogan, "Ballad," The New Princeton Encyclopedia o f

Poetry and Poetics, eds. Alex Preminger and T. V. F. Brogan (Princeton: Princeton
University Press, 1993), 116-118.
10 Frank Sidgwick. The Ballad (New York: George H. Doran, 1914), 11.
8
n a rra tiv e poem , a d a p te d for singing, sim ple in p lo t a n d m etrical stru c tu re ,
divided in to sta n z a s, a n d ch arac terize d by com plete im p erso n ality so fa r
a s th e a u th o r o r sin g er is concerned." A nd fu rth e r, "A b a llad h a s n o
a u th o r. ... T he teller o f th e sto ry for th e tim e b ein g is a s m u ch th e a u th o r
a s th e u n k n o w n p e rso n w ho first p u t it in to shape." Not only is
a u th o rsh ip a b se n t in th e folk b allad , "there a re [also] n o co m m ents o r
reflection s by th e n a rra to r." 11
The folk b allad , a s Sydney N orthocote d escrib es, is "a p ro d u c t o f
m instrelsy," w hich belongs to th e o ral tra d itio n .12 As Sidgw ick co m m en ts,
"A b a lla d ... is o f a genre rio t o nly o ld er th a n th e E pic, o ld er th a n T ragedy,
b u t o ld er th a n lite ra tu re , old er th a n th e a lp h a b et. It is lore, a n d belongs
to th e illiterate."13 T herefore, folk b a llad s w ere tra n sm itte d orally from
g en eratio n to g en eratio n , a n d a re o ften preserved in sev eral v a ria n ts. F or
exam ple, in F ra n cis C h ild 's collectio n ,14 "Edw ard" (No. 13) e x ists in a t le a st
11 Helen Child Sargent, ed. Introduction to English and Scottish Popular Ballads, by
George Lyman Kittredge. (New York: Houghton Mifflin, 1932), xi.
12 Sydney Northocote. The Ballad in Music (London: Oxford University Press, 1942), 42.
13 Sidgwick, The Ballad, 7*8.
14 Francis James Child was an American ballad scholar, who graduated from Harvard
College in 1846 and continued to serve there throughout his life. He was known for, his
masterly 5-volume ballad collection, The English and Scottish Popular Ballads (1882-98).
It includes 305 sets of song texts sorted by Child's numbers and titles and an additional
53 tunes printed from the manuscript. The entire collection was published in ten parts.
Unfortunately, Child passed away while preparing the tenth part. G. L. Kittredge, who
had been closely associated with J. Child as a colleague, became the editorial supervisor
of Part Ten and finished the work. Professor Kittredge also arranged and indexed the
Child MSS and completed the General Preface for the collection. A more detailed
discussion can be found in Sigurd Bernhard Hustvedt, Ballad Books and Ballad Men
(Cambridge, MA: Harvard University Press, 1970), 205-22.
2 4 d ifferent versio n s. S om etim es a tu n e co uld be a d a p te d for several
d ifferen t so n g s o r several d ifferen t tu n e s for th e sam e story.
T he su b je c ts o f th e folk b a llad in clu d e dom estic trag edy , h isto ric al
ev en ts, th e o u tlaw b allad (su ch a s th a t o f R obin Hood), th e lam e n t b allad
a n d folkloric b allad , etc. In som e c a se s, su p e rn a tu ra l forces p lay a n
im p o rta n t ro le in th e developm ent o f th e p lo t, su c h a s in "The M ight o f th e
H arp". T he sto iy is to ld in chronological sectio n s w ith a b ru p t tra n sitio n s
betw een th em , a n d th e a ctio n is som etim es p resen te d th ro u g h dialogue.
V ario us k in d s o f te x tu a l rep e titio n generally called "increm ental repetition"
o c c u r freq u en tly .15 In crem en tal rep e titio n m ay o ccu r in n a rra tiv e o r in
dialogue, a n d it m ay be ap p lied to g ro u p s o f sta n z a s, single sta n z a s, o r
lin es. A ccording to L ouise P o un d , it is fo u n d m ore often in la te r b a llad s
th a n e arlie r o nes.
B allad s w ritte n by th e p o e ts o f th e 18th, 19th, a n d 2 0 th c e n tu rie s
belong to th e seco n d category. G erm an sc h o la rs n am ed it K unstballade,
(a rt ballad). Som e m o d em sc h o la rs gave b a llad s of th is ty pe a ltern a tiv e
n a m e s to avoid th e vague c o n n o ta tio n s o f th e w ord "art," su c h a s "m odem
lite ra ry ballad" b y O ssen ko p , o r "m odem ballad" b y Sydney. T he a r t
b allad is d istin g u ish ed from th e folk b allad by its know n a u th o rsh ip . It
belo ng s to th e w ritte n lite ra tu re a n d m u st be co n sid ered a s a p o etic genre.
15 For a more detailed discussion of incremental repetition, see in Louise Pound, Poetic
Origins and The Ballad (New York: Russell & Russell, 1962), 121-139.
10
W hen J o h a n n W olfgang von G oethe, still a you n g stu d e n t stu d y in g
a t U niversity o f A lsace, m et H erder in S tra sb o u rg in 1770, a new G erm an
lite ra tu re a n d poetic revolution w as beg in n in g to unfold. T his w as th e
b irth o f th e K unstballade. H erd er's e n th u sia sm in collecting folksongs
in sp ired a n d en co u rag ed G oethe to go o u t in to th e field a n d to collect th e
surviving folk so n g s o f A lsace. T he m o st im p o rta n t in fluence th a t H erder
gave to th e revival m ovem ent in G erm an lite ra tu re a n d p o e tiy o f th e
su cceed in g c e n tu rie s w as h is in siste n c e th a t th e m od em p o e tiy sh o u ld
"draw su ste n a n c e a n d in sp ira tio n from th e g en eral style of folk poetry."16
N ot only w ere th e w orks o f H erd er's co n tem p o raries n u rtu re d by th e
sim plicity o f folk p o etiy , b u t folk m a te ria ls also becam e a n im p o rtan t
so u rce for m an y m ajo r p o e ts a n d co m p o sers in th e 19th c e n tu iy .
A s m en tio n ed above, G oethe h a d p e rso n a l c o n ta ct w ith H erder a n d
acco rd in g to h is au to b io g rap h y , th e y sp e n t a g re a t d eal o f tim e together,
sh a rin g th e ir view s o n th e p hilo so ph y of p o e tiy a n d lite ra tu re . G oethe
w rote:
I w as m ad e a cq u a in ted by h im [H erder] w ith p o e tiy from q u ite

a differen t side, in a n o th e r lig h t th a n heretofore, a n d one, too,
w h ich su ite d m e well. T he p oetic a r t o f th e H ebrew s, w hich h e
tre a te d in gen iou sly a fte r h is p red e ce sso r L ow th--popular p oetiy ,
th e tra d itio n s o f w hich in A lsace h e u rg ed u s to se a rc h after;
a n d th e o ld est reco rd s ex istin g a s p o etiy , all b o re w itn ess
th a t p o e tiy in g en eral w as a gift to th e w orld a n d to n a tio n s,
16 J. W. Smeed, German Song and Its Poetry 1740-1900 (New York; Croom Helm, 1987),
21 .
11
a n d n o t th e p riv ate in h e rita n c e o f a few refined, c u ltiv ated m e n .17
As early a s th e 1770s, G oeth e's "D er F ischer", w hich w as on e of h is th re e
poem s p u b lish ed in H erd er's Volkslieder, show s th e in flu en ce of th e folk
b allad . L ater b a llad s, su c h a s "D er u n tre u e K nabe," "Erlkonig," a n d "Der
K 6nig in Thule" show th e d irectio n h is w ork h a d m oved. H is poem s n o
longer "linger in th e g racefu l b u t artificial w orld of A rcadian sh e p h erd s
a n d sh ep h erd esses," b u t h ave "in creasin g affinity w ith folksongs a n d folk
b allad s."18 H is "Faust" re c a p tu re s th e sp irit o f th e folk b allad m o st
su ccessfu lly .
[It] is sh o rt a n d q u ite lyrical. T he concise d escrip tio n s,

th e u tilizatio n o f th e b asic m etrical p a tte rn (iam bic trim eter,
w ith a lte rn a tin g fem inine a n d m ascu lin e endings), a n d th e
em ploym ent o f a rc h a ic lan g u ag e, especially in th e original
versio n, reveal th e stro n g in flu en ce o f th e folk b a lla d .19
A n oth er m ajo r figure d u rin g th e ep o ch s o f Sturm u n d Drang a n d
W eim ar C lassicism w as F ried rich von S chiller (1759-1805).20 As a
d ra m a tist, p o et, p h ilo so p h er, lite ra ry a n d social critic, h isto ria n ,
p h y sician , a n d e d u c a to r, th e re is n o d o u b t th a t h is poem s h a d a
17 John Qxenford, trans. The Autobiography o f Johann Wolfgang von Goethe. Volume H,
Book X (New York: Horizon Press, 1969), 16.
18 Smeed, German Song, 49.
19 Ossenkop, German Ballads, 51.
20 During the second half of the 18th centuiy, with the encouragement of the Duchess
Anna Amalia (reigned 1756-1775), a social and musical circle became active at her "court
of the muses" at the Wittum Palace, including many important figures of the Classicial
period, such as E. W. Wolf, Corona Schroter, K. S Seckendorff, E. F. Krantz, J. G. Herder,
and Goethe. Goethe's house "am Frauenplan" also became a center of social and musical
activity.
12
co n sid erab le im p act o n m an y im p o rta n t com posers. In 1797, several
b a lla d s w ritte n by G oethe a n d S chiller w ere p u b lish ed in S ch iller's M usen-
A lm a n a c h filr d a s J a h r 1798. S ch iller's c o n trib u tio n s in clu d ed "R itter
Toggenburg," "D er T aucher," "Der G ang n a ch d em E ise n h a m m e r,"" Die
K ranich e d es Ibykus," a n d " D er R ing d es Polykrates." M ost o f th e se
b a lla d s a re q u ite lengthy, u se in crem en tal rep etitio n , a n d have
com plicated m etrical p a tte rn s.
In c o n tra st to tra d itio n a l folk b a llad s, K unstballade, a re d istin ctiv e
for th e ir com plexity of m etrical s tru c tu re a n d th e ir v ario u s sc en e s a n d
ch an g in g m oods. T his c h a ra c te r provides g rea ter challeng es for
co m p o sers th a n o th e r p o etic g en res in se ttin g th e te x ts to m u sic.
B oth C arl F ried rich Z elter (1758-1832) a n d J o h a n n F ried rich
R eich ard t (1752-1814), to g eth er w ith J . A. P. S chulz a n d F. L. A. K unzen,
belonged to so-called "Second B erlin School". A lthough th ey com posed
ex ten d ed so n g s for voice a n d p ian o a n d certain ly w ere th e p io n eers in th e
g en re o f lie d , th e ir b allad se ttin g s h a rd ly provided en o ug h fo u n d atio n to
e sta b lish th e form of th e K unstballade.
J . F. R eich ard t often ap p lied sim ple stro p h ic form in h is e a rlie r
b allad s, su c h a s "S elbstbetrug" a n d "D er M usensohn," p u b lish e d in th e
collection o f G oethe's Lieder, O den, B alla d en u n d R om anzen. A fter 1790,
h e ten d e d to p refer m odified stro p h ic form . Since th e b allad te x ts often
c o n ta in sh ifts o f scen e a n d m ood, th e v ariatio n p a tte rn s provide th e
13
m ea n s to m ak e th e d istin ctio n betw een e ach stro p h e b y ch an g in g th e
m eter, m ode, a n d ad d in g elab o ratio n to th e m elody. T h u s th e stro p h ic
form , w hich w as reg ard ed a s th e m o st su ita b le form for a b allad se ttin g a t
th e tim e, survived, w hile a t th e sam e tim e excessive m elodic rep etitio n
co uld b e avoided. "Leonora" provides a good exam ple o f th is type. Its first
th re e stro p h e s a re w ritten in D m ajo r w ith a n eig h th -n o te figure in th e
acco m p anim en t. The n e x t n in e stro p h e s ch an g e to th e m in o r m ode w ith a
six teen th -n o te ru n n in g figure in th e rig h t h a n d o f th e p ian o
acco m p an im en t. D m in o r th e n tu rn s to E -flat m ajo r in stro p h e s 13 to 24
w ith a d ram a tic ch an g e in th e p ian o p a rt, in w h ich a se rie s o f ch o rd s
rep lace th e ru n n in g n o tes. Finally, in th e la s t eig h t stro p h e s, n o t only
d o es th e m u sic sh ift b a ck to D m in o r w ith a th irty -seco n d -n o te b ro k en
ch o rd figure in th e rig h t h a n d of th e p ian o p a rt, b u t also 3 /8 m eter
rep laces th e 6 /8 m eter.
O ne of th e m o st sig n ifican t ev en ts d u rin g C. F. Z elter's lifetim e w as
h is frien d sh ip w ith G oethe. A fter Z elter s e n t a copy o f h is new ly p u b lish ed
collectionZ w o lfL ied er am K lavier z u sin g en (1796)to G oethe, w hich
co n tain ed sev eral se ttin g s o f G o ethe's p oem s, a life-long rela tio n sh ip
developed betw een them . T h eir n early 9 0 0 le tte rs n o t o nly rev eal th e ir
o p in io n s o n each o th e rs' com positions, b u t m ore im p o rtan tly c o n ta in
q u e stio n s co n cern in g th e p o sitio n o f th e m u sice sse n tia lly th e lied
am ong o th e r a rts o f th e early 19th cen tu ry .
Z elter's a e sth e tic p rin cip le in so n g com position w as p re se n te d
clearly in a le tte r to C arl Loewe in 1824; "th e te x t m u s t ta k e p rio rity , th e
stro p h ic son g is to be p referred to 'a b so lu te thro u g h -co m p o sin g ,' th e
acco m p an im en t m u st sta y in th e b ack g ro u n d (so th a t 'if n e c e ssa ry th e
m elody could ex ist w ith o u t it')."21 T herefore, n e arly all o f Z elter's b allad
se ttin g s a re b a sed on sim ple stro p h ic form , even th o se w ith len g th y a n d
com plex tex ts, su c h a s G o eth e's "Die B ra u t von C orinth", a n d S ch iller's
"Der K am pf m it dem D rachen". Z elter only ad op ted m odified stro p h ic
form in a few se ttin g s. For exam ple, in "D er Z auberlehrling," slig h t
c h an g es a re m ade a t e a c h stro p h e for th e p u rp o se of a d ju stin g th e w ord
se ttin g , especially in th e la s t stro p h e . A lthough in h is o p in ion "the
acco m p an im en t m u st sta y in th e b ackg ro un d ," h is p ian o acco m p an im en t
a t tim es becom es very e lab o rate, su c h a s in "Die T h eilu ng d e r Erde".
Z elter often u s e s b ro k en c h o rd s a n d arpeggios to accom p an y th e vocal
lin e, for exam ple, th e tw o sh o rt a n d lovely b allad s: "D as R osenband" a n d
"S chafers Klagelied." In som e c a se s, th e b a s s o f th e acco m p an im en t
d o u b les th e vocal lin e w hile th e h ig h er reg iste r e la b o rates th e harm o n y ,
su c h a s "Der Konig in Thule" a n d "D er k a m p f m it dem D rachen".
T he m o st in flu en tial b a llad co m p oser betw een th e S econd B erlin
School a n d S c h u b e rt w as J o h a n n R udolf Z um steeg (1760-1802), w ho
21 Hans-Gunter Ottenberg, "Carl Friedrich Zelter, in The New Grove Dictionary o f Music &
Musicians, ed. Stanley Sadie (New York: Macmillan Publishers Limited, 2001), vol. 27,
781-783.
15
p ro d u ced app ro x im ately 3 0 0 lied er a n d b allad s. Z u m steeg a n d S chiller
becam e in tim ate frien d s a fte r th e ir stu d ie s a t th e C arlssch u le. L ater, in
1797, Z u m steeg becam e a c q u a in te d w ith G oethe, a n d w as a sk ed to se t h is
"D er Ju n g g esell u n d d e r M uhlbach" to m u sic. Z u m steeg 's choice o f b allad
p o etry w as q u ite w ide in ran g e; N ot only d id h e s e t b a llad p o etry by
S ch iller a n d G oethe, h e also se t som e te x ts b y G ottingen p o e ts,22 G. A.
B urger, J o h a n n C h risto p h F ried rich H aug, F ried rich A u g u st C lem ens
W erthes, som e o th e r m in o r p o ets, a n d several poem s o f E n g lish origin.23
Z u m steeg 's b a llad se ttin g s reveal h is profo u nd im ag in atio n in
co o rd in atin g m u sic a n d po etry . H e ap p lied sim ple a n d m odified stro p h ic
form to sh o rte r b a llad s, c a n ta ta form a n d som e u n u s u a l s tru c tu re s for
longer b a llad s. H e d id n o t h e sita te to a d ju s t th e s tru c tu re o f th e m u sical
p h ra s e s in o rd er to co rresp o n d to th e com plex rhym e sch em es o f
in d iv id u al lin es; n e ith e r did h e h e sita te to om it lin es o r stro p h e s o f th e
p oetry th a t h e deem ed in e sse n tia l. H e u tilized b o th folk-like a n d o p eratic
sty les, a n d h e w as ab le to tra n sfo rm th e sim p lest folk-like m elody in to a n
e x tra o rd in a ry a b u n d a n t harm o n y .
22 During the four years from 1772 to 1776, a group of poets who were interested in
writing original ballads founded the Gdttinger Hainbund. The chief members in this group
were L. C. H. Hdlty, J. H. Voss, F. L. G. zu Stolberg, C. G. zu Stolberg, and composer J.
M. Kraus. They represented one o f the influences arisen by Herder among German poets.
Some of their ballads are directly based on those in Percy's Reliques. Some recall the
characters of Bankelsang.
23 The five ballads of English origin include "Das Klagende Madchen," "Was ist Liebe?"
"Richard und Mathilde," "Raymund und Ottilie," and "Aus Shakespeard's Othello I." The
last one is a translation of the W illow Song" from Shakespeare's Othello,
16
Z u m steeg 's se ttin g o f S ch iller's "R itter Toggenburg" in th e first
volum e o f h is K leine B a lla d en u n d L ieder provides a good exam ple o f h is
m eth o d o f u nifying a b allad by u sin g c a n ta ta form a lte rn a tin g betw een
recitativ e a n d ario so p a ssa g es. M otivic sim ilarities w ith in th e ario so
sectio n a re ap p lied , a n d rh y th m ic u n ity is achieved by u sin g or
, co rresp o n d in g to th e rhym e schem e. In ad d itio n , h e in g en io usly
u s e s th e recitativ es to d ep ict th e k n ig h t's grief a n d th e p ian o in te rlu d e s to
su g g est th e k n ig h t's m ood. In th is b allad , th e m u sic su ccessfu lly follows
every d ram a tic tw ist a n d tu r n in th e tex t.24
In g en eral, th e role of th e acco m p an im en t in Z u m steeg 's b a llad s
com posed before 1790 is to su p p o rt th e voice in c h o rd s o r b ro k en ch o rd
p a tte rn s . L ater, m an y p a ssa g e s o f th e acco m p an im en t becom e
in d ep e n d en t of th e voice p a rt, especially in h is la te r b a llad s, su c h a s
"Lenore" a n d "Elwine". W ithin Z u m steeg 's c a n ta ta form , h e occasionally
com bin es d ifferen t stro p h ic tec h n iq u e s. H is "Die E n tfu h ru n g " is one
exam ple. T he m o st strik in g c h a ra c te ristic o f Z u m steeg 's b a llad s is h is
h arm o n ic v o cabulary. N ot only is h e ab le to h arm o n ize th e sim p lest folk
like m elody, su c h a s in "Elwine", b u t also h e often m o d u lates to rem ote
k eys, especially in th o se b a llad s w ritte n in c a n ta ta form . F or exam ple, in
24 More details regarding Zumsteeg's setting of Schiller's "Ritter Toggenburg" are found in
J. W. Smeed, German Song and its Poetry 1740-1900 (New York: Croom Helm, 1987), 94-
6.
17
h is "Die E n tfu h ru n g ", h e e n d s a p a ssa g e in th e d o m in an t o f D -flat m ajo r
a n d m ak es a n en h arm o n ic m o d u latio n to th e VI of B m ajo r (see E xam ple
1). A sim ilar m o d u latio n (D -flat m in o r to B m ajor) is ap p lied in h is
"Elwine", in w hich th e strik in g m o d u latio n rev eals th e tu r n o f th e p lot.
M oreover, in "Lenore", a n A -flat p a ssa g e m o d u la tes to A m ajo r a n d la te r to
F m ajor. T hose m o d u latio n s a re m ad e to p o rtra y th e u n u s u a l d ram a tic
tu r n s o f th e tex ts.
E xam ple. 1 Z u m steeg 's "Die E n tfu h ru n g ," m m . 127-133
Db M ajor: V
B M ajor: VI V 7/ii ii ^ ive V I
Z u m steeg 's ach iev em en t in b a llad se ttin g s w as n o t w ith o u t
h isto ric a l significance. A lthough som e criticized Z um steeg 's choice o f
com plex c a n ta ta form for lo n g er b allad s, h is ap p ro a ch stim u la te d m an y o f
h is co n tem p o raries in th e ir b a llad se ttin g s, in clu d in g G ottlob B en ed ikt
B ierey, J o h a n n F ried rich C h ristm a n n , Ludw ig Abeille, a n d m o st n o tab ly ,
F ra n z S ch u b ert.
A ccording to S c h u b e rt's frien d J o s e f von S p a u n , S c h u b e rt h a d
"w anted to m odernize Z u m steeg 's so n g form , w hich ap p ealed very m u ch to
18
him " a n d h e co u ld "revel in th e se so n g s for d ay s on end".25 Indeed,
Z u m steeg 's in flu en ce c a n b e seen in m an y o f S c h u b e rt's earlie r b allad
se ttin g s, especially th o se w ritte n in c a n ta ta form , su c h a s "B allade", D.
134 a n d "D er Tod O scars", D. 375. Also, S c h u b e rt's ap p ro a ch to
d eclam ato ry ep iso d es in h is early se ttin g s rec alls th a t o f Z um steeg. In
S c h u b e rt's "R itter Toggenburg", D. 39 7 a n d "Adelwold u n d Em m a", D.
2 1 1 , Z u m steeg 's influ en ce is a p p a re n t a t th e opening "m in strel's chord".
O ne of th e m o st sig n ifican t sim ilarities betw een Z um steeg a n d S c h u b e rt is
in th e ir h arm o n ic v ocabulary, su c h a s th e rem ote-key m o d u latio n , sm o o th
c h o rd a l p ro g ressio n s w ith p a rts m oving stepw ise a n d th e su d d e n sh ift to
p a ra lle l to n ality .
B esid es Z um steeg 's influ ence, th e re a re o th e r c h a ra c te ristic s fo u n d
in S c h u b e rt's b a llad se ttin g s w hich c o n trib u te d greatly to th e developm ent
o f th e genre. In h is early b a llad se ttin g s, S c h u b e rt utilized c a n ta ta form
fo r com plex b a llad te x ts a n d stro p h ic form fo r sim ple b a llad tex ts. L ater,
h e s ta rte d to fo cus o n th e u n ificatio n o f th e w hole w hile paying a tte n tio n
to th e c o n stru c tio n o f eac h in d iv id u al sectio n . O ne o f th e so lu tio n s to th e
p roblem o f u n ify in g th e e n tire b a llad is to provide m otivic lin k s in th e
acco m p an im en t. H is m o st fam o u s b allad "Erlkonig" certain ly exem plifies
th is . Also, stro p h ic v a ria tio n form p rov id es a m u ch g re a te r se n se o f u n ity
25 Otto Erich Deutsch, Schubert Memoirs by his Friends (London: Adam & Charles Black,
1958), 127.
19
th a n th e c a n ta ta form do es, a s c a n be se en in "D er Zwerg", D. 771. Also,
in several early b a lla d s, su c h a s "D er T aucher", D. 77 a n d "Adelwold u n d
Em m a"D . 2 1 1, S c h u b e rt u s e s recitativ e in n a rra tiv e p a ssa g e s m ore
extensively th a n h is co n tem p o raries. B esides th e c a n ta ta form , som e o f
S c h u b e rt's b a llad s w ritten d u rin g 1815 a n d 1816, su c h a s "Des M adchens
Klage", D er F ischer", "H eidenroslein" a n d "Der Konig in T hule", a re w ritten
in sim ple stro p h ic settin g s. A lthough th e sim ple stro p h ic se ttin g s a n d th e
tre a tm e n t o f m elody seem to com e from R eich ard t a n d Z elter, S c h u b e rt
u tilized b o th th e m elody a n d th e p ian o acco m p an im en t to effectively
p o rtra y th e a tm o sp h ere a n d th e m ood.
O ne o f S c h u b e rt's m o st su c ce ssfu l b a lla d s "Erlkonig" (D. 328)
p re s e n ts h is in g en io u s m eth o d o f u nifying th e se ttin g m u sically v ia m otivic
rep etitio n , n am ely th e scalew ise figure in th e b a s s a n d th e rep e ate d
c h o rd s in th e h ig h er re g iste r of th e p ian o acco m p an im en t. E ven th o u g h
th e s tru c tu re o f th is b a llad is com plicated, th e e n tire piece is in one
sectio n , in clu d in g th e recitativ e a t th e en d . O ssenk o p sa y s o f th is b allad
th a t "it is th e first o f a long se rie s o f excellent b allad co m po sitio ns in
w h ich a b a la n ce betw een faith fu l observan ce o f ch an g es o f scen e a n d
m ood a n d u n ity o f th e w hole is achieved b y th e in g en io u s u s e o f com plex
tec h n iq u e s o f am plification."26 A lthough S c h u b e rt seem ed to lose in te re s t
26 Ossenkop, German Ballads, 569.
20
in com posing b a llad s a fte r 1816, th e a rra n g e m e n t a n d th e tec h n iq u e s
ap plied in "Erlkonig" a re fa r a h e a d o f th e b allad se ttin g s o f h is
co n tem p o raries a n d w ere o f g re a t im p o rtan ce for th e g en eratio n s th a t
followed.
Two of th e m o st rem ark ab le w o rks in th e h isto ry o f th e b a llad a re
S c h u b e rt's "Erlkonig" a n d C arl Loew e's "Edw ard". B oth "m ark th e
b egin n in g o f a tra d itio n o f excellence th a t w as tp c o n tin u e th ro u g h th e
19th c e n tu iy in th e w orks o f S c h u m an n , B rah m s, W olf a n d a n u m b e r of
le sse r com posers."27 E ven th o u g h Loewe com posed o p eras, o rato rio s,
c h am b er m u sic a n d p ian o w orks, h is p rim ary in te re s t w as th e m u sical
se ttin g o f th e b allad . B etw een 1817 a n d 1862, h e com posed
ap pro xim ately 118 se ttin g s o f b a lla d s, a n d 31 se ttin g s o f religio u s
n a rra tiv e poem s.
In Loew e's b a llad se ttin g s, th e in flu en ce of h is co n tem p o raries,
Z um steeg, R eich ard t, Z elter a n d S c h u b e rt, is evident. He ap p lied th e
c a n ta ta form w ith th e a lte rn a tio n o f th e recitativ e a n d ario so p a ssa g es,
su c h a s in "W allhaide." "D er W irth in T ochterlein," "Abschied" a n d "G raf
E berstein" provide a n exam ple o f th e stro p h ic v a riatio n sim ilar to th a t o f
R eich ard t. Som etim es, Loewe ch o o ses m elodic m a teria l rem in isce n t of
Z elter's, su c h a s in h is "H ochzeitlied" (com pare th e piece o f th e sam e title
21
b y Z elter). T he w ay in w hich Loewe com bines recitative w ith d eclam ato ry
p a ssa g e s often rec alls S c h u b e rt's b a llad se ttin g s. M oreover, Loewe te n d s
to give th e p ian o acco m p an im en t a n e q u al ro le to th a t o f th e voice.
H ow ever, it is m ore th a n tra c e s o f in flu en ce from R eich ard t, Z elter,
a n d Z um steeg th a t p u t Loew e's b a lla d s in a c la ss w ith th o se o f S ch u b ert.
Loew e's g en iu s is revealed in h is tre a tm e n t o f stro p h ic v ariatio n . B ased on
stro p h ic form , Loewe freely m old s th e n a rra tiv e a n d v aries th e device of
th e stro p h e s. B eyond th a t, m u sical u n ificatio n is often achieved th ro u g h
th e u se o f m otivic p a tte rn s. H is m o st su c ce ssfu l b allad , w hich w as also
h is first a tte m p t in b a llad w ritin g, is "Edw ard", com posed in 1818, th re e
y e a rs la te r th a n S c h u b e rt's "Erlkonig". T he tw o op posing c h a ra c te rsa
m o th er a n d h e r so n a re given d istin c t id e n titie s in th e ir vocal ran g e s,
th em atic m a te ria ls a n d m eters. T h is b a lla d is divided in to th re e sectio n s.
A m otivic p a tte rn in th e p ian o is u tilized w ith in th e seco n d sectio n th a t
tra n sfo rm s rh y th m ically e a c h tim e it re p e a ts. Sydney gives "Edw ard" h igh
p raise:
T he m u sica l d etail fulfills a ll th e psychological ch an g es

in th e n a rra tiv e , a n d th e form is ad ro itly fash io n ed o u t
o f th e inev itab le seq u en ce in th e d ram a tic situ a tio n .
T he b a re h a rm o n ies o f E d w ard 's first w ords, th e d ram a tic
lift o f th e vocal lin e (above th e sam e b a sic harm onies)
for h is seco nd reply, th e grow ing ap p re h en sio n o f th e
m o th er, th e vivid m o d u latio n for th e so n 's terrib le
con fessio n , th e g a th e rin g sp eed o f th e d ra m a dow n to
27 James Elson, "Carl Loewe and the Nineteenth Century German Ballad," National
Association o f Teachers o f Singing Bulletin 28 (1971-2): 16.
22
th e la s t d read fu l c u rse , a re all accom plished w ith a n

a sto n ish in g m u sica l econom y a n d w ith a m asterly
c o n cisen ess of form .28
Indeed, "Edw ard" m ark ed th e tu rn in g p o in t in th e developm ent of th is
g en re a n d c a n be reg ard ed a s a m agnificent exam ple o f "K unstballade".
B etw een 1840 a n d 1910, com po sers c o n tin u ed to c u ltiv ate th e
g en re o f K unstballade. B esides G erm an -sp eak in g com po sers, su c h a s
L iszt, S ch u m an n , F ran z, M endelssohn, B rah m s, a n d Wolf, com p osers of
o th e r c o u n trie s in E uro p e in clu d in g F ran ce, C zechoslovakia, P oland,
R u ssia a n d E n gland, also p ro d u ced a larg e n u m b er o f b allad s. T heir
b allad se ttin g s w ere b a se d o n th e m odels e stab lish ed b y th e ir above-
m en tio n ed p red ecesso rs. S ettin g s o f sh o rt p o em s w ere largely b a se d on
th e m odified stro p h ic form , o r stro p h ic v ariatio n , a s is th e c ase w ith
Loew e's b allad s. T hose s e t to longer te x ts ten d e d to u tilize c a n ta ta form ,
in w hich th e m otivic m a te ria ls w ere freq u en tly ap plied for th e p u rp o se o f
organizing a n d unifying th e v ario u s sectio n s. D uring th e seco n d h a lf of
th e n in e te e n th cen tu ry , in stru m e n ts o th e r th a n p ian o , a n d som etim es
even a full o rc h e stra w ere also em ployed a s acco m p an im en t. In th e h a n d s
o f th e R om antic co m p osers, th e original vocal g enre evolved in to a new
in stru m e n ta l genre.
28 Sydney, The Ballad, 47.
23
W hen th e vocal g en re "ballad" w as a d a p te d in to in stru m e n ta l m u sic,
it becam e th e com m on p ractice to u s e "ballade"th e F re n ch Form o f th e
term for in stru m e n ta l w orks, a n d "ballad"th e E nglish form for son g s
a n d poem s th a t h a d in sp ired th e new ly-created genre. From th is p o in t
forw ard, I will u s e th e F ren ch form w h en referrin g to th e in stru m e n ta l
genre.
U nlike th e ir vocal a n ce sto r, in stru m e n ta l b allad es p re s e n t "a
bew ildering variety" o f a p p ro a ch e s.29 The g en re in clu d es b allad es w ritte n
for p ian o , o rc h e stra , a n d o th e r in stru m e n ts in different co m b ination s.
W hile th e g en re of p ian o b a lla d e s h a s a c le ar sta rtin g p o in t in th e p ro ce ss
o f its developm ent, th e o rc h e stra l b allad e h a s no d efin ite beg inn in g a s a
genre. O rc h estra l b allad es a ctu a lly belong to th e genre o f th e sym phonic
poem . S u ch w orks often ad o p ted b a lla d s a s th e ir poem s a n d m ay carry
th e n a rra tiv e title s o f th e poetic m odels th e y follow.
The e a rlie st o rc h e stra l b a lla d e s in ex isten ce, com posed by two
p u p ils o f L iszt, a re "The G h o st Ship" (1860), b y C arl T au sig , th e o rc h e stra l
v ersion o f a p ian o b allad e, a n d B alla d e fo r Large O rchestra aD es Sangers
Fluch," a fte r U hland's Poem "The M instrel's C urse," Op. 16 (1863), b y H an s
von Bulow . A lthough th e la tte r w as w ell received by th e au d ie n ce s, b o th
b a llad e s h a d little in fluen ce o n th e ir co n tem p o raries. By th e 1870s,
29 Sydney, The Ballad, 88.
how ever, o rc h e stra l b a llad e s b eg an to flo u rish stead ily th ro u g h o u t
E urope. T he H u n g arian com poser O don d e M ihalovich, for exam ple,
p ro d u ced a se rie s o f fo u r o rc h e stra l b allad es, b a se d o n tw o G erm an
poem s, o n e F ren ch poem , a n d o n e H u n g arian poem . Also, tw o sym phonic
b allad es, b a se d o n th e sam e b allad B u rg er's "Lenore"w ere com posed by
A u g ust K lu g h ard t (1847-1902) a n d Jo a ch im R aff (1822-1882). F ran ce
saw th e co m position o f sym phonic poem s b y H enri D u p arc (1848-1933),
V incent d 'In d y (1851-1931), a n d , m o st significantly, C esar F ra n ck 's Le
C hasseurM aud.it (1882), a fte r B u rg er's "The W ild H u n tsm an ", w h ich h a s
k e p t a p o sitio n in th e o rc h e stra l rep erto ire to th is day. T he e a rlie st
o rc h e stra l b allad e com posed in B ritain is O verture to C hevy Chace (1836)
b y G eorge A lexander M acfarren (1813-1887). U nlike th e tra d itio n o f
G erm an o rc h e stra l b a llad e s, it is in d eb ted to th e folk b allad , ra th e r th a n
th e lite ra ry b allad . O th e r B ritish b a llad e s a re b ased o n lite ra ry b allad s,
in clu d in g M acfarren 's L a B elle D am e s a n s merci: B allad fo r O rchestra
(1884) a n d H am ish M acC unn The Ship o' th e F iend (1890). In
C zechoslovakia, Z denek F ib ich 's (1850-1900) Tom an a lesn i p a n n a (Tom an
a n d th e W ood Nymph) (1874-5), b a sed o n th e poem derived from th e
collection "E choes of C zech Songs" (1839) by F ra n tisek L adislav
C elakovsky (1799-1852), m a rk s th e beg inn in g of th e tra d itio n o f
o rc h e stra l b allad es. D vorak's fo u r sym phonic poem s, (1896), b a se d o n
b a lla d s c h o sen from th e collection "Kytice" (The G arland) by K arel Ja ro m ir
25
E rb en (1811-1870), a re th e c u lm in atio n o f th e C zech b allad e tra d itio n . In
R u ssia, th e in flu en tial sym phonic poem Tam ara (1884) b y Mily B alakirev
(1837-1910) in tro d u c es o rie n ta l effects in to th e genre o f R u ssia n b allad e.
T chaikovsky's Voevoda (1891) also provides a n exam ple of th e sym phonic
b allad e, th o u g h it n ever becam e one o f h is m o st p o p u lar pieces.
From th e 2 0th c e n tu ry u n til th e p re se n t, o rch e stral b a llad e s have
b een com posed co n tin u o u sly . A new type of b allade, th e co n certo b allad e,
ap p eared early in th e 2 0 th centuxy. C h arles K oechlin a n d D a riu s M ilhaud
b o th w rote pieces called B allade p o u r p ia n o e t orchestre (1919 a n d 1922
respectively), w hile A lexander G lazunov com posed a Concerto ballata fo r
molincello a n d orchestra (1931), a n d B enjam in B ritten c o n trib u te d to th e
g enre w ith a S cottish B allad fo r tw o p ia n o s a n d orchestra (1941). Also
n o tab le a re F ra n k M artin 's six con certo b allad es (1938-1972), each
com posed for a differen t solo in stru m e n t. B esides co n certo b a llad e s,
co m po sers w rote b a llad e s for d ifferen t com b in atio n s of in stru m e n ts, su c h
a s H enry V ieuxtem ps's B alla d e a n d Polonaise fo r violin a n d
orchestra/pianoforte, O p. 38 (c.1860), D vorak's B allad fo r violin a n d p ia n o ,
O p. 15 No. 1 (1884), Leo Sow erby's B allad o f K ing E stm ere fo r tw o p ia n o s
a n d orchestra (1922), a n d G eorge H en sch els B allade fo r violin a n d
orchestra, O p. 39.
Reproduced with permission of the copyright owner. Further reproduction prohibited w ithout permission.
26
T he m ore o rc h e stra l b allad es o n e ex am ines, th e m ore difficult it
becom es to categorize th em , for th is is a g enre th a t h a s h a rd ly estab lish ed
its ow n d istin ctiv e sty listic fe a tu re s to asso c iate w ith th e n am e "ballade".
A sim ilar p ro b lem o ccu rred w hen "ballade" b ecam e one o f th e e sse n tia l
p ian o g en res.
W hile b a llad s w ere a p o p u lar vocal g en re d u rin g th e first th re e
d ecad es o f th e 19th cen tu ry , it w as n o t u n til 1836 th a t C hopin p u b lish ed
h is first p ian o b allad e, given th e title "B allade O hne W orte" ("Ballad
W itho u t W ords") in one of its ed itio n s.30 Soon after, th e ed ito r o f th e
A llgem eine M usikalische Zeitung, G ottfried W ilhelm Fink, review ed th is
ed itio n a n d said , "We have so n g s w ith o u t w ords; w hy sh o u ld n 't w e h av e
b a lla d s w ith o u t w ords a s w ell? Anyway, th e new er m u sic loves to
com pose sto rie s in sound."31 W hat F in k m e a n t b y "sto ries in sound" w as
th e grow ing p h en o m eno n of co n n ectin g poetry, lite ra tu re , o r p e rso n al
p ro g ram s in to p u re in stru m e n ta l m u sic in th e 1830s. E xam ples in clu d e
M en d elsso h n 's "The H ebrides" o v ertu re (1830) a n d "A M idsum m er N ight's
30 There are three earliest editions published in 1836: Breitkopf 8s Hartel in Leipzig, M.'
Schlesinger in Paris, and Wessel in London. The Breitkopf & Hartel edition published
this piece along with other miscellany of songs and piano pieces by Loewe, Liszt, Spohr,
Mendelssohn, F. Hunten, G. Meyerbeer, and Panseron. The collection was named Album
Musical. In this collection, Chopins Ballade was titled Ballade ohne Worte. Besides,
the Wessel edition indicated Ballade ohne Worte or La Favorit Ballade as its title, when
it was published in England. The edition reviewed by Gottfried Wilhelm Fink was that of
Breitkopf & Hartel.
31 "Hat man Lieder ohne Worte, warum soil man nicht auch Balladen ohne Worte haben?
Ueberhaupt liebt es die neuere Musik, Beschichten in Tonen zu dichten." quoted from
Allgemeine Musikalische Zeitung 2 (January 1837): 25-6.
27
D ream " (1826), S c h u m a n n 's "C am aval", O p. 9 (1834-35) a n d
"D avidsbfm dlertanze" (1837), L iszts "H arm onies p o etiq u es e t religieuses"
(1834) a n d "Album d 'u n voyageur" (1835-36), a n d B erlioz's "Sym phonie
fan tastiq u e" (1830) a n d H arold in Ita ly (1834). M en d elsso h n 's "Songs
W itho u t W ords" (1835) h a d b een p u b lish ed , only sh o rtly before th e
p u b licatio n o f C h o p in 's first p ian o b allad e, a n d therefo re, C h o p in 's id ea
w as n o t en tirely new . It w as u n iq u e sim ply in th e g enre h e ch o se a s th e
b a sis o f h is p ian o w orks, for h e m ad e th e first a tte m p t to a d a p t th is vocal
g en re for th e in stru m e n ta l m u sic.
Before B rah m s p u b lish ed h is fo u r P iano B allades, O p. 10, in 1856,
C hopin h a d alread y p u b lish ed h is ow n fo u r B allades: O p. 2 3 (1836), Op.
38 (1840), Op. 4 7 (1841) a n d O p. 52 (1843). A lthough it is p o ssib le th a t
C hopin h a d M ickiew icz's b a lla d s in rriind w h en h e com posed h is p ian o
b allad es,32 th e se n se o f a d o p tin g th e id ea o f th e b allad com es m ore from
"its a lte rn a tio n o f th e lyric, epic, a n d d ram a tic 'to n es"'.33 As H ugo
32 According to Schumann's review of Chopin's second Ballade, Chopin "mentioned that

certain poems of Mickiewicz had suggested his ballade to him." Except this description,
there is no further evidence to support this information and to identify specifically which
poems by Mickiewicz had inspired Chopin's ballades. However, some scholars have gone
too far and have tried to provide the likely models of Chopin's ballades, usually chosen
from Mickiewicz's poems, such as "Konrad Wallenrod", "Le Lac de Willis", "Switezianka",
"Switez" and "Pan Budri". Scholars who support this concept include James Huneker
and Lubov Keefer. After Worid War II, this idea has been abandoned by some scholars.
Among them included Zofia Iissa and Gunther Wagner. For Schumann's description, see
Robert Schumann, On Music and Musicians, ed. Konrad Wolff, trans. Paul Rosenfeld (New
York: W. W. Norton, 1946), 143.
33 Carl Dahlhaus, Nineteenth-Century Music, trans. J. Bradford Robinson (Berkeley and
Los Angeles: University of California Press, 1989), 149.
28
L eich te n tritt m en tio n s in h is stu d y o f C h o p in 's m usic: "W ith h is fo u r
B allad es C hopin developed a new genre o f p ian o m u sic, ch arac terize d n o t
so m u ch by new form al id e a s a s b y new m oods, legendary in c h arac ter."34
E ven th o u g h C h o p in 's B allad es w ere th e m ain in sp ira tio n for th e
g en eratio n th a t cam e afterw ard , th e m ajority of th e p ian o b a llad e s
com posed a fte r C h o p in 's b e a r little resem b lan ce to th e ir original m odel.
L iszt com posed tw o p ian o b a llad e s, in 1848 a n d in 1853
respectively. T he first b allad e w as p u b lish e d u n d e r th e title "Le C h a n t d u
C roise: Ballade" ("The so n g o f th e C ru sad er: Ballade") in one o f th e o riginal
ed itio n s. T he seco n d , like a ll fo u r o f C hopins b allad es, h a s n o h in t of an y
p o etic m odel. Ironically, sc h o la rs seem to p ay le ss a tte n tio n to
in te rp re tin g th e first b allad e p ro g ram m atically th a n th e y do th e second.
Indeed, th e seco n d b allad e "seem s to h av e o pened u p th e genre to m u sica l
form s o th e r th a n C h o p in 's a n d n a rra tiv e ty p es o th e r th a n th a t o f th e
ballad."35 It n o t only becam e th e m odel o f th e n a rra tiv e p ian o b allad e for
la te r g en eratio n s, su c h a s H an s von Billow s B allade, Op. 11 (1854), a n d
B edfich S m e ta n a 's B allade in E m in o r (1858), b u t e sta b lish e d th e n a m e of
th e "ballade" for p ro g ram m atic p ian o p ieces a s well.
34 Hugo Leichtentritt, Analyse der Chopin'schen Kiavierwerke, 2 vols., vol. 2 (Berlin: Max
Hesses Veiiag, 1921-22), 1. Translation quoted from James ParakUas, Ballads Without
Words: Chopin and the Tradition o f the Instrumental Ballade (Portland, Oregon: Amadeus
Press, 1992), 50.
35 Parakilas, Ballads Without Words, 113.
T he sam e y e a r th a t C hopin p u b lish ed h is first p ian o b allad e, C lara
W ieck also p u b lish e d a se t o f p ian o pieces: S oirees m u sicales, O p. 6.
A lthough it w as in sp ired b y C h o p in 's e a rlie r p u b lish ed com p o sitio n s, th e
c h a ra c te r o f th e "ballade" in th e se t m ore closely resem b les th a t of
C h o p in 's n o c tu rn e . In o th e r w ords, it is a so n g -in sp ired c h a ra c te r piece.
R ight a fte r C la ra 's com position, S c h u m an n , in sp ired by th e id ea o f th e
c h a ra c te r piece, com posed a "B alladenm assig" (balladlike) in h is
D av id sb u n d lertan ze, O p. 6 (1837), w h ich is only sixty-tw o m e a su re s long
w ith o u t rep etitio n . B ecause o f its com plicated te x tu re a n d c ro ss rh y th m
(6 /8 for th e rig h t h a n d fig u res, 3 /4 for th e b ass), it c a n h a rd ly b e reg ard ed
a s a "song-like" piece. F u rth erm o re, th e u n se ttle d m ood o f th e piece
s ta n d s in s ta rk op po sitio n to th e calm a n d im p erso n al c h a ra c te rs of
o riginal g en re"ballad". T hese tw o b a llad e s, w hich coex ist in th e
rep erto ire o f th e p ian o b allad e, b elong to a n iso lated categ ory w ith o u t
p rec ed e n t a n d w ith few follow ers.
A n o ther ty p e o f p ian o b allad e, in flu en ced by th e c h a ra c te ristic s o f
"salon m usic", is d istin ctiv e in its sim plicity, th o u g h it is n o t a s sim ple a s
folk b a llad s. It often h a s p lain acco m p an im en ts to su p p o rt u n a d o rn e d
a n d se n tim en ta l m elodies. U nlike C h o p in 's ap p ro a ch to p ian o b allad es,

*
th is ty pe of p ian o b allad e p lac es a n e m p h a sis o n m elodies, so th a t it lo ses
th e sto ry -tellin g a n d d ra m a tic q u a litie s. H enry C ram er's "La R om antique"
a n d Sigism ond T halbergs B allade, O p. 7 6 p re se n t th e tw o m o st com m on
form s o f th is type: th e form er is w ritten in te rn a ry form , th e la tte r in
v ariatio n form . T he te rn a ry ty pe is a lso p re sen te d in th e B allade, O p. 9 b y
C esar F ran ck . T his p ian o b allad e is u n u su a lly len gth y (474 m easu res)
a n d is s tru c tu re d episodically. O th er b a llad e s o n a sim ilar scale c a n be
fo u n d am ong th e w orks o f L ouis M oreau G o ttsch alk (1829-1869). The
th re e p ian o b a llad e s p u b lish e d eig h t y e a rs a fte r h is d e a th a re labeled a s
No. 6, 7 a n d 8. T hey a re d ra stic a lly d ifferen t in style a n d stru c tu re from
G o ttsc h alk 's e a rlie r "O ssian: Two B allades", w hich a re brief, sim ple, a n d
n o stalg ic in m ood. A m ong th e la s t th re e b a llad e s, B allade No. 8 is th e
lo n g est o ne (316 m easu res). It n o t only h a s a th em e derived from
C h o p in 's C -m inor P relud e, O p. 28 No. 2 0 a n d a w altz rh y th m , it also
b rin g s a to n e of se rio u sn e ss in to th e c h a ra c te r o f salo n m usic.
In th e co n tex t o f th is div erse a rra y o f p ian o b allad es cam e B rah m s's
F o u r B allades, O p. 10. T h ese fo u r b a llad e s co h ere a s a se t, som eth in g
u n p rec ed e n ted in th e genre. E ach b allad e is sh o rte r th a n C h o p in 's, b u t
longer th a n S c h u m a n n 's "B alladenm assig" (from D am dsbundlertanze). All
fo u r b a llad e s a re w ritte n in te rn a ry form , b u t w ith som e flexibility. H ie
e n tire se t p re se n ts a m ore se rio u s q u ality th a n th a t o f salo n b a llad e s, a n d
a m ore u n a d o rn e d c h a ra c te r in th e m elodies th a n th a t g en erally fo un d in
C hopin. A lthough it does n o t follow th e pro gram m atic tra d itio n th a t Liszt
31
h a d e stab lish ed , th e first b allad e is rela te d to th e S co ttish folk b allad
"Edw ard" in H erd er's Stim m en d e r Volker. T his se t sta n d s a s a new a n d
y e t tru ly c la ssic al b allad e for p ian o.
T he co h eren ce of th e se t, how ever, is q u estio n ed b y its ow n title,
"B allade," b e ca u se th e title a d d ed o n to th e th ird b allad e, "Interm ezzo,"
c re a te s con fusion in defining th e th ird piece w ith in th e set. Also, it is
q u e stio n a b le w h e th er th e re s t o f th e B allad es sh a re th e sam e su b -h e ad in g
o f th e first B allade.36 S ince th is se t belon g s to a cyclic w ork, it is
im p o rta n t to se a rc h for a p o ssib le ex p lan atio n for B rah m s's d esig n atio n in
th is p a rtic u la r com position. Also, it is n e ce ssa ry to sp e cu la te on B rah m s's
in te n tio n s in tu rn in g p o etry in to p u re in stru m e n ta l m u sic, p a rticu la rly in
w h a t se n se h e ad o p ted th e folk b allad "Edw ard" into h is first B allade a n d
its p o ssib le rela tio n sh ip w ith th e o th e r th re e B allades. T hese related
q u e stio n s w ill b e d isc u sse d in g re a te r d e ta il in c h a p te r tw o.
36 Scholars bring many different points of view to this issue. Max Kalbeck, Brahmss
earliest biographer, supposes that there m ust also have poetic connections to the rest of
the ballades, since the first ballade is related to one. Though many scholars dont deny
this possibility, there are no further discussions in their writings that touch upon this
issue. Both Robert Haven Schauffler and Malcolm MacMonald observe the match
between the text of Edward and Brahmss melody, however, they provide ho explanation
on the relationship between each ballade. A different point of view given by Paul Mies
suggests that the First ballade was originally set as a song and later converted to an
instrumental work. Therefore, the entire concept of programmatic setting is dismissed.
Roger Fiske has the similar opinion about the origin of the first ballade. James Parakilas
provides a conservative explanation that the title ballade is given to solve the problem
of what to call the whole set, even at the price of mislabeling the others to a greater or
lesser extent For a further discussion of this issue can be found in Parakilas, Ballads
Without Words (Portland, Oregon: Amadeus Press, 1992), 139-143.
32
C hapter 2 Into Brahms's W orld
In h is stu d y "The Lives o f th e G reat C om posers, H arold C.
S ch on b erg m ak e s th e claim th a t "B rahm s w as th e c la ssic ist w ho d e a lt
w ith a b s tra c t form s a n d n ev er w rote a n o te of p ro g ram m u sic in h is life."1
S ch o n b erg 's claim is b a se d o n a flaw ed u n d e rsta n d in g o f th e com poser
th a t h a s com e to b e reg ard ed a s a w ell-know n fact. B rah m s in h e rite d th e
com p ositio n al tra d itio n o f J . S. B ach a n d B eethoven, a n d in flu en ced 20 th-
c e n tu ry m u sic g reatly w ith th e s tra in h e rep re se n te d , w hich w as opposed
to W agner's "M usic of th e F u tu re". H e, to g eth er w ith Jo a ch im , J u liu s O tto
G rim m , a n d B e rn h ard Scholz h a d signed a p ro clam atio n in 1869 th a t w as
accid en tally p rin te d in B erlin Echo, ex p ressin g th e ir d isap p ro v al o f th e
p ro clam atio n m ad e in th e N eue Z eitschrift fu r M usik th a t "all th e m o st
p ro m in e n t m u sic ia n s o f th e d ay w ere in fav o u r o f th e 'm u sic o f th e
fu tu re'".2 A lthough th is d o cu m en t d id n o t h ave a n y sig n ifican t im p act,
a n d B rah m s h im self never m ad e a n y p u b lic d eclaratio n a g ain a fte r th is
p ro clam atio n , h is choices o f m u sical form s, co m p ositional te c h n iq u e s, a n d
g en res seem to su p p o rt h is op p o sitio n a g a in st th e stre a m o f th e p rog ram
m u sic.
1 Harold C. Schonberg, The Lives o f the Great Composers (New York: W. W. Norton, 1997),
289.
2 J. A. Fuller-Maitland. Brahms (London: Methuen & Co., 1911), 11.
33
A lthough h e w as stro n g ly in flu en ced b y R om anticism , esp ecially E.
T. A. H offm ann's K apellm eister J o h a n n e s K reisler, B ra h m s's m u sic is
p reo ccu pied by th e C lassic id io m s o f in stru m e n ta l form s a n d s tru c tu re s.
H einz B ecker w riting in th e 1980 ed itio n o f th e N ew Grove D ictionary o f
M usic a n d M usicians provides th e follow ing criticism :
In sp ite of pow erfully R om antic c h a ra c te ristic s in

h is m u sic, h e im posed a tra d itio n a l se n se of o rd er
o n h is m u sic; h e th u s ra n k s a s a figure o f co n stru ctiv ely
C lassical in c lin a tio n s in a R om antic age, a n d a s
su c h w as w idely claim ed in h is ow n day a s th e tru e
u p h o ld er o f a c e n tra l G erm an tra d itio n .3
In re c e n t y e a rs, sc h o lars h av e ta k e n a m ore n u a n c e d p o sitio n on th is
issu e . G eorge S. B o zarth 's article "B rah m s's U ed er ohne worte," provides
a th o ro u g h ex am in atio n o f th e 'ex tra m u sica l' p ro m p tin g s in B rah m s's
'a b so lu te' m u sic in th e A n d an te m ovem ents of th e th re e p ian o so n a ta s,
w ith w ell-docum ented evidence.4 D illon P arm er ta k e s th in g s o n e ste p
fu rth e r b y p o in tin g o u t th e ex isten ce o f "secret program s," w h ich a re
h id d en b eh in d e ith e r th e q u o tatio n o r th e p a re n th e sis o f th e so n g s in h is
in stru m e n ta l w orks.5 Since 1855, c ritic s a n d h isto ria n s h av e te n d e d to
exp lain p ro g ram m u sic alo n g th e lin e s o f B erlioz's H arold Sym phony,
w hich is generally a sso c iated w ith a "specific o r im plied ex te rn al text".
3 Heinz Becker, "Brahms" in the New Grove Dictionary o f Music and Musicians, ed. Stanley
Sadie, vol. 3 (London: Macmillan, 1980), 155.
4 George S. Bozarth, "Brahms's Lieder Ohne Worte: the 'Poetic' Andantes of the Piano
Sonatas," Brahms Studies (Oxford: Clarendon Press, 1990): 345-378.
5 Dillon Parmer, "Brahms, Song Quotation, and Secret Programs," 19th-Century Music, 19
(1995-6): 161-190.
34
How ever, th e a llu sio n to a p a rtic u la r so n g also c re a te s "the p o ten tial to
tra n sfo rm a w ork allegedly free o f specific ex tern al a sso c iatio n s in to
prog ram m usic."6 T h ro u gh u n d e rsta n d in g th e m ean in g o f th e so n g tex t,
so-called "absolute" m u sic is given a n in n e r a n d in te rn a l p rogram .
E vidence th a t su p p o rts P a rm er's view is offered b y o n e o f B rah m ss
fellow co m p osers, A lbert D ietrich. D ietrich recalled in h is m em oirs th a t
B rah m s m en tio n ed in th e ir c o n v ersatio n s th a t "w hen com posing, h e liked
to recall folk-songs, a n d th a t m elodies th e n sp o n tan eo u sly p resen te d
them selves."7 M oreover, in a le tte r betw een B rah m s a n d h is p u b lish er,
Senff, B rah m s m en tio n ed th a t "the m o tto accom panying th e Op. 5
A n d an te is n e c e ssa ry for u n d e rsta n d in g a n d enjoying th e m ovem ent."8 In
ad d itio n , B rah m s su g g ested th a t a re a d in g o f G o eth e's "Leiden d e s ju n g e s
W erther" (The Sorrow s of th e Y oung W erther) w ill h elp liste n e rs
u n d e rs ta n d th e Q u a rte t, O p. 6 0 . T h u s, th e te x t o f th e vocal w ork
fu n ctio n s like th e e x tra m u sic al lite ra ry referen ce in B ra h m s's 'a b so lu te'
in stru m e n ta l m u sic.
A llusions to so n g s in B ra h m s's m u sic generally a p p e a r in fo u r w ays.
In th e first, th e in d icatio n o f th e origin o f th e so ng o r th e p o etry is clearly
m ark ed o n th e score, su c h a s th e Piano B alla d e, Op. 10, no. 1, a n d
V ariations on a H ungarian Them e, O p. 21, no. 2. Som e o f th e se even
6 Ibid, 163.
7 Bozarth, "Brahms's Lieder Ohne Worte, 345.
8 Parmer, "Song Quotation," 164.
in clu d e a stro p h e o f th e te x ts, so th a t it will n o t be m issed , for exam ple,
th e secon d m ovem ent o f th e P iano S o n a ta in C m ajor, O p. 1 a n d th e first
o f th e Drei Interm ezzi, O p. 117. In th e seco n d in sta n c e , d e sp ite th e lack of
a lite ra l p re se n ta tio n , th e a llu sio n to a p re-ex istin g so n g is u n d e n ia b le , for
exam ple, in th e th ird m ovem ent o f th e first Violin S o n a ta in G m ajor, Op.
78 , th e A n d an te of th e seco nd P iano S o n a ta in F -sh a rp m inor, Op. 2 , a n d
th e A dagio o f th e H orn T rio, O p. 40. T hirdly, w ith in a larg e w ork, th e
frag m en ts o f th e so n g s m ig h t b e in se rte d to c re ate a n iso lated m o m en t of
recollection, su c h a s th e first m ovem ent o f Sym phony no. 2, th e first a n d
seco n d m ovem ents o f S ym phony n o . 3, th e F inale of S ym phony no. 4, a n d
th e slow m ovem ents o f th e F irst P iano C oncerto, Op. 15 a n d th e Second
P iano C oncerto, O p. 83. L astly, a s in h is O p. 56, Variations on a Them e b y
H ayd n , a n d som e o rg an w orks, su c h a s O p. 177 a n d WoO 7 , B rah m s u s e s
a ch o rale a s th e b a sis for th e piece. F or fu rth e r d e ta ils o n th e rela tio n sh ip
betw een th e so u rc es o f th e so n g a llu sio n a n d th e ir ap p licatio n in
in stru m e n ta l w orks, see T able 1.
A m ong th e poem s c h o sen b y B rah m s, th e re a re tw o ex am p les b ased
o n S co ttish folk songs: P iano B allade, O p. 10 No. 1 a n d Interm ezzo, Op.
117 No. I .9 As alre ad y d isc u sse d in c h a p te r one, E nglish O ssian fever
9 The poetic quotation of Op. 117, no. 1 by Brahms and the translation are listed in
Appendix I.
T able 1: B ra h m s's W orks co n ta in in g a llu sio n s to p o e tiy o r song
WORK MOVEMENT POETIC ORIGIN TEXT IN SCORE REFERRED

TO SCORE
P iano S o n a ta in A n d a n te N ach einem V ersto h len g eh t d e r M ond au f, Yes
C m ajor, Op. 1 (second) a ltd e u sc h e n M innelied b la u b la u B lum elein,
d u rc h S ilberw olkchen fu h rt sein
Lauf,
b la u b la u B lum elein,
R osen im Tal, M adel im Saal,
o sc h o n ste Rosa!
Allegro con R obert B u m s, "Mein No
Juoco H erz is t im H ochland"
(Finale): 6 /8
p a ssa g e , A
m in o r
P iano S o n a ta in A n d a n te con old G erm an song M ir is t leide, No
F -sh a rp m inor, esp ressio n e d a ss d e r W inter beide W ald
O p. 2 (second) u n d a u c h die H aide h a t
g em ach et k ah l.
Scherzo in E -flat H. A. M arsch n er, No
m ino r, Op. 4 o v ertu re to O pera
H a n s H eiling
03
Ch
P iano S o n a ta in A n d a n te C. O. S te m a u , Ju n g e D er A bend d am m ert, Yes

F m inor, Op. 5 esp ressivo Liebe; d a s M ondlicht sc h e in t
(second) D a sin d zwei H erzen in Liebe
v erein t
U nd h a lte n sich selig um fang en
Folk song, "Steh' ich in No
fin st're r M itternacht"
Interm ezzo: C. 0 . S te m a u , B itte No
R tickblick
(fourth)
Piano Trio, Op. A dagio S c h u b e rt, "Am Meer" No
8 (original (third) (S ch w a n en g esa n g , D.
version) 957)
Finale: B eethoven, "Nimm sie No

Allegro molto h in d e n n d ieser
agitato Lieder" {An die fe m e
G eliebte, Op. 98)
F o u r B allades, no. 1 N ach d e r sc h o ttisc h en Yes

Op. 10 B allad e "Edw ard" in
H erd ers "Stim m en d e r
Volker"
F irst Piano A dagio B eethoven, "Nimm sie No

C oncerto, (Second): h in d e n n d ieser
O p. 15 m m . 17-20 Lieder" {An die fe m e
G eliebte, Op. 98)
V ariatio n s on a T hem e Yes

H u n g arian
T hem e, Op. 21
no. 2
H orn Trio, Op. A dagio Folk song, "D ort in d e r No
40 m esto (third) W eiden s te h t ein
H aus"
V ariatio n s o n a T hem e C horale, S t. A ntoni Yes

th em e by
H aydn, Op. 56
K an o Q u artet, G oethe, L eiden d e s No
O p. 60 ju n g e s W erther
S ym phony in D Allegro non B rah m s, W iegenlied, No

m ajor, troppo (first): O p. 49 no. 4
O p. 73 m m . 102-5
V iolin S o n a ta in Allegro molto B rah m s, "Regenlied" No
G m ajor, Op. 78 m oderato a n d "N achklang" Op.
(third) 59 no. 3 8s 4
S econd K ano A n d a n te B rah m s, T o d esseh n en , No

C oncerto, Op. (Third): m m . O p. 86 no. 6
83 59-62
Sym phony in F Allegro con W agner, T a n n M u se r No
m ajor, brio (first):
O p. 90 m m . 31-5
03
00
(Sym phony in F A n d a n te W agner, No

m ajor, Op. 90) (second): G o tterd am m eru n g
m m , 108-10
S ym phony in E Allegro S ch u m an n , "S u sser No
m inor, en erg ico e F re u n d , d u blickest"
O p. 98 p a ss io n a to - (F rauenliebe u n d -
Piu Allegro leben, O p. 42);
(finale): m m . B eethoven, "Nimm sie
105-10 h in d e n n d ieser
Lieder" (An die fe m e
G eliebte, Op. 98)
Violin S o n a ta in Allegro W agner, "Preislied" No
A m ajor, Op. am abile (M eistersinger);
100 (first) B rah m s, "Wie
M elodien a ie h t e s m ir",
O p. 105 no. 1
T hree no. 1 S ch o ttish . A us S ch laf sa n ft, m ein k in d , Yes
Interm ezzi, Op. H erd ers V olksliedem sc h la f sa n ft u n d schon!
117 M ich d a u e rt's se h r,
d ich w einen seh n .
11 C horale Yes
P relu d es for
o rg an solo
O rgan ch o rale C horale, O Yes
p relu d e 8s fugue T rau rig k eit, o
on th e hym n: O H erzeleid
T rau rig k eit, o
H erzeleid, WoO
7
40
sw ept th e C o n tin en t. Ja m e s M acp h erso n 's w ork s w ere tra n s la te d in to all
th e m ajo r lan g u ag es in E urope, su c h a s G erm an, F ren ch , Italian ,
H u n g arian , R u ssian , a n d G reek. M any com posers, in clu d in g S c h u b e rt,
S ch u m an n , M endelssohn, a n d B rah m s com posed w o rk s b a se d o n
O ssian ic p oetry o r S co ttish folk m a te ria ls.10 A t th e sam e tim e, Jo h a n n
G ottfried von H erd er's e n th u sia sm for G erm an folk so n g s w as revealed in
h is VolksUeder, w hich in clu d ed tra n s la tio n s o f several folk so n g s from
P ercy's R eliques a n d o th e r so n g s from a Variety o f so u rces. T his
cu lm in ated in th e p u b licatio n o f D es K naben W underhom th e p ro d u c t of
G erm an n a tio n a l folk so ng s. T he ab ove-m entioned so u rc e s provided
a b u n d a n t in sp ira tio n to 1^ - c e n tu r y com p o sers a n d th e g en eratio n s th a t
followed, a n d th ey a re th e m ajo r so u rc es o f B ra h m s's S co ttish so n g te x ts
in b o th h is vocal a n d in stru m e n ta l w orks.
In ad d itio n to th e tw o S co ttish folk te x ts B rah m s ch o se for h is p ian o
w orks, w hich b o th derive from H erd er's collections, th e re a re eig h t vocal
10The impact is apparent in the sheer number of compositions inspired fay the texts and
the subjects from Ossian since Macphersons Ossianic poetry was first published. With
Schubert, there are Ossians Ges&nge, texts translated from Ossianic poetry, which
contains ten songs in five volumes. With Schumann, there are Der Konigssohn, Op. 116;
Des S&ngers Fhich, Op. 139; Das GiUck von EdenhaU, Op. 143; and Vom Pagen und der
Kdnigstochter, Op. 140. With Brahms, there are the unaccompanied choral work
Darthulas Grabesgesang, Op. 42, No. 3 and the accompanied choral piece Gesang aus
Fingal, Op. 17, No. 4. Although Mendelssohn did not compose any obviously Ossian-
related works, his Die Hebriden (Fingals Hdhle) and Scottish Symphony reflect the
influence and inspiration of the Scottish legends. Finally, Niels Gade, a Danish composer
and conductor, produced works that are strongly influenced by the tales of Ossian, such
as Comala (after Ossian) for solo voices, chorus, and orchestra, Op. 12 and the concert
overture Efterklange a f Ossian (Echoes of Ossian), Op. 1.
Table 2: Brahms's works related to Scottish songs

Instrum ental Works
F o u r B allades, Op. 10, No. 1 "Edw ard" 1854
T hree Interm ezzos, Op. 117, No. 1 (S ch o ttish. A uf H eders V olksliedem ) 1892
Vocal Works
Solo Songs
E ig ht Songs a n d R om ances, op 14 1858
ii) Vom v erw u n deten K naben tra d ., in H erder: V olkslieder
iii) M u rray s E rm o rdu n g from Percy: R eliques, tra n s . in H erd er
iv) E in S o n ett a ttrib . C o u n t T h ib a u lt (13th cen tu ry ), tra n s . in H erd er
F o u r Songs, Op. 43
iv) D as Lied vom H erm von F a lk en ste in tra n s . U h lan d 1857
O riginally a p p ea re d in th e first vol. o f J . G. von
H erd er's V olkslieder, a n d la te r cam e in to th e
collection of folk p o etry D es K naben W underhom
Vocal D uets
T hree D u ets, for S, A, a n d p ian o , O p. 20
i) Weg d e r Liebe, i F rom H erder: S tim m en d e r V olker 1858
ii) Weg d e r Liebe, ii F rom H erder: S tim m en d e r V olker 1858
F o u r B allads a n d R om ances, Op. 75
i) E dw ard, A, T, p ian o T rad. S co ttish , tra n s . in H erder: V olkslieder 1877
A ccom panied Choral W orks
F o u r Songs, th ree fem ale w , Op. 17
iv) G esang a u s F ingal O ssian 1859
U naccom panied Choral W orks
T hree Songs, for 6 w ., O p 42
iii) D a rth u la s G rabesg esan g O ssian , tra n s . H erder 1861
pieces w ith S co ttish folk tex ts. T hey in clu d e solo so n g s (No. 2 , 3, a n d 4 of
O p. 14 a n d O p. 4 3 No. 4), vocal d u e ts (Op. 2 0 No. 1 a n d 2 , a n d O p. 7 5 No.
I "Edw ard"), a n d ch o ral w orks (Op. 17 No. 4 a n d Op. 42 No. 3 - see T able
2). Two o f th e ir te x ts com e from O ssian ic poetry, o ne d eriv es from D es
K nab en W underhom , a n d th e re s t a re from H erd er's Stim m en d e r Volker.
The su b je c ts ran g e from love to m u rd er, from deeply-felt affection to
com plex u n d e rc u rre n ts o f h a tre d a n d re se n tm e n t. T here a re ty pical folk
so n g c h ara c te ristic s: som e te x ts c h o sen b y B rah m s a re w ritten in th ird -
p e rso n n a rra tiv e , som e a re in dialogue. T he m u sical se ttin g s a re v aried in
style. T here a re d ram a tic se ttin g s full o f te n sio n , su c h a s O p. 14, n o . 3
a n d O p. 75, no. 1, a n d th e re a re se ttin g s w hich d ep ict th e n a rra to r's
longing for h is lover, su c h a s O p. 14, n o . 4 a n d O p. 20 , n o . 2. T he p o in t of
c o n ta c t b etw een th e tw o in stru m e n ta l w orks a n d th e eig h t vocal w orks is
th e ad o p tio n o f th e folk te x t "Edw ard": th e te x tu a l allu sio n in O p. 10, no. 1
a n d th e m u sica l se ttin g o f th e sam e folk te x t in O p. 7 5 , n o . 1 .11
"Edw ard" belongs to one o f th e w ell-know n b allad types: th e in c e st
b a lla d .12 B allad s o f th is ty p e c irc u la ted in th e S can d in av ian c o u n trie s,
II Among Herders various versions of Edward, Brahms adopted the one from Volkslieder
of the year 1779.
12 In Childs collection, the brother-sister type of incest ballad appears four times: "Sheath
and Knife", "the Bonny Hind", "Lizie Wan", and "The Kings Dochter Lady Jean". Beside
brother-sister incest ballads, there are a small number of other types, such as "Brown
Robyn's Confession" (mother-son incest), "The Maid and the Palmer"(a woman with her
uncle, brother, and father), "Lady IsabeF(daughter-frther). Among them,
"Edward"(mother-son) is regarded as the most famous of all. Further details regarding
the various types and versions of the incest ballad can be found in David Atkinson, The
43
F in lan d , S co tland , a n d even in th e A p palachian region o f th e U nited
S ta te s. A m ong th e m an y d ifferen t v ersio n s, th e best-k no w n a n d th e m o st
refined v ersio n w as first p u b lish ed by Percy. Also, th is is th e only version
th a t su g g ests it is th e m o th e r w ho is resp o n sib le for th e so n 's g u ilt. The
sto ry u n fo ld s th ro u g h a d ialo gu e betw een th e m o th er a n d h e r so n . The
m o th er p re s e n ts a se ries o f q u e stio n s a s to w hy h e r so n 's sw ord is so ak ed
w ith blood. T he so n first lies th a t it is h is falco n 's blood. In resp o n se to
th e m o th e r's seco n d q u e stio n , h e lies ag ain sta tin g th a t it is h is h o rse 's
blood. Finally, th e m o th e r's in s is te n t q u estio n in g u n co v ers th e tru th : th a t
h e h a d killed h is ow n fa th e r. B u t th e clim ax of th e te x t h a s y e t to com e.
A fter th e a n n o u n c e m e n t of th e c u rs e s th e so n is going to b e a r a n d h is
in te n tio n to go aw ay forever, it is revealed th a t th e ch ief c u lp rit is th e
m o th er, for sh e is th e one w ho in stig a te d th is crim e. T herefore, it
d isclo ses th e in c e st b e h in d th e sto ry . H erd er m ade th e follow ing com m ent
a b o u t th is d ram a tic tex t.
A S co ttish so n g w ith th e m a rk o f C ain u p o n it a n d

se eth in g w ith u n re s t. H is sw ord h a s d ru n k h is
fa th e r's blood, w herefore h is eyes a re c a s t dow n to
th e g rou n d. H is sin is beyond forgiveness a n d will
p u rsu e h im over all th e e a rth . A nd how th e b allad
m oves, w ith in te rv a ls full o f woe, a n d fury, a n d d eep
h id d en d is tre s s .13
English Traditional Ballad: Theory, Method, and Practice (Burlington, VT: Ashgate
Publishing Company, 2002), 108-145.
13 Cain is one of the sons of Adam and live. According to Bible, he killed his brother Abel
out of jealousy, for "the Lord looked with favor on Abel and his offering." Therefore, God
called down a curse upon him: "Now you are under a curse and driven from the ground,
44
B rah m s first becam e a cq u a in te d w ith H erd ers tra n sla tio n s o f folk
so n g s d u rin g th e su m m er o f 1854. B efore, th is tex t h a d b een se t to m u sic
a t le a s t fo u r tim es before 1854, b y K arl S iegm und von S eckendorff (1779),
J o s e f A ntonin Stepan (1782), C arl Loewe (1818), a n d F ran z S c h u b e rt
(1827).14 B rah m s m ig h t h ave know n a t le a s t one o f th e se "Edward"
se ttin g s w h en h e com posed h is P iano B allade O p. 10, no. 1. In a le tte r to
O tto D essoff, B rah m s w rote th a t "I n eed n o t tell yo u how th e b e au tifu l
poem re m a in s alw ays in o n e 's m in d , a n d how o ne m u st, eventually, in a
c e rta in se n se , rid o n eself o f it."15 In sp ired b y th e d ra m a o f "Edw ard",
B rah m s, in h is y o u th , ex p ressed it th ro u g h a "ballad w ith o u t w ords." A nd
tw en ty -th ree y e a rs la te r, in h is m atu rity , h e ad o p ted vocal d u e ts w ith
p ian o acco m p an im en t a s th e m edium to re p re se n t th e d ra m a a n d
ev en tu ally 'rid ' h im self o f its glam or.
If th e ad o p tio n o f th e folk b a llad E dw ard in to th e p ian o g en re is
u n p rec ed e n ted , to b rin g fo u r pieces to g eth er a s a se t m a rk s th e beg in n ing
which opened its mouth to receive your brother's blood from your hand. When you work
the ground, it will no longer yield its crops for you. You will be a restless wanderer on the
earth." (quoted from Bible, New International Version, Genesis 4: 11-12) Herder's
comment appears in the preface of his Volkslieder of 1779. The English translation is
quoted from Max Friedlaender, Brahms's Lieder An Introduction to the Songs for One and
Two Voices (London: Oxford University Press, 1928), 133.
14Josef Antonin Stepan (1726-1797), Czech composer and one of the most brilliant
harpsichordists in Vienna at the time. His "Edward" is collected in Sammhing deutscher
Lieder (1782). Karl Siegmund Seckendorff (1744-1785), German courtier, writer and
composer and had close association with Goethe and Herder. The latter inspired his
Volks- und andere Lieder (1779-82), in which his "Edward" is collected in the second
volume (1779).
15 Quoted in Max Friedlaender, Brahms's Lieder, 133.
45
o f a new ty p e o f p ian o b allad e. Indeed, th e fo u r p ieces a re m e a n t to b e
perform ed to g eth er, a s a cycle. T he id e a m ig h t have b e en in sp ired b y
S c h u m a n n 's B allade cycle Vom P agen u n d d e r K dnigstochter, Op. 140 of
1852. B oth c o n ta in fo u r m ovem ents o r pieces w ith a n interm ezzo-like
th ird m ovem ent. A lso, b o th fo u rth m ovem ents con clud e w ith ex ten d ed
m inor-key cod as. T he p a ra lle ls betw een th e se tw o w o rk s co u ld in d ic ate
S c h u m a n n 's in flu en ce o n th e o rg an izatio n o f B ra h m s's P iano B allad es.16
D ue to th e la c k o f surviving evidence, it is im p o ssib le for u s to tra c e
th e co m positional h isto ry of th e p ian o B allades w ith a n y p recisio n (see
T able 3). T he p ian o B allad es a p p ea re d su d d en ly a s a com plete s e t in
O ctober o f 18 5 4 .17 A nd w hen B rah m s m en tio n ed th e B allad es to C lara,
sh e seem ed fam iliar w ith th em . Since B rah m s u su a lly sh a re d n ew s o f h is
com p o sitio ns in le tte rs to h is frien d s, it is u n u s u a l th a t h e d o es n o t seem
to have d o n e so in th is case. W hy did B rah m s n o t m en tio n it earlier?
W hen d id B rah m s s ta r t th e p ieces a n d p u t th em to g eth er? W hy d id C lara
seem to k now w h a t B rah m s w as talk in g a b o u t w hen h e first m en tio n ed
th is w ork in th e le tte r? O ne p o ssib ility is th a t B rah m s m ig h t h ave
m en tio n ed th is w ork e a rlie r (at le a st partially), b u t u n d e r a d ifferen t title.
16 Brahms might have heard Robert Schumann's Op. 140 during the spring of 1854
(Brahms's Op. 10 was possibly composed at this time), when Clara Schumann played
through several of Robert's compositions from manuscript with Brahms, Joachim, Albert
Dietrich and Julius Otto Grimm. See Styra Avins, Johannes Brahms: life and Letters
(Oxford: Oxford University Press, 1997), 41.
17 Brahms mentioned that he played his Ballades for his teacher, Eduard Marxsen, when
he visited him. And he also played the Variations for him. See Avins, Johannes Brahms,
64.
46
T able 3 S elected im p o rta n t d a te s o f 1853-1856,

reg ard in g B la tter a n d O p. 10
DATE YEAR EVENT SOURCE

Sep. 30 1853 B rah m s m ee ts S c h u m an n fam ily.
Feb. 27 1854 R obert S c h u m an n a tte m p ts

su icid e.
A pril 21 1854 B rah m s b rin g s th re e pieces to C la ra 's d ia iy
C lara, "am ong th em h is very
sp irite d 'R em iniscence of
M endelssohn.
J u n e 11 1854 C lara gives b irth to h e r 8th a n d
la s t child.
A few d a y s la te r, B rah m s se n d s
h e r a m a n u sc rip t o f h is
"V ariations o n a T hem e by
S ch u m an n ," e n title d " little
V ariatio n s o n a T hem e b y Him .
D edicated to Her."
J u n e 18 1854 C lara th a n k s B rah m s for th e co rresp o n d en ce
d ed icatio n o f th e V ariation. from C lara to
B rah m s
J u n e 19 1854 B rah m s w rites to Jo a c h im for co rresp o n d en ce
advice o n h is B ldtter. from B rah m s to
Jo a c h im
J u n e 27 1854 Jo a c h im p rov ides su g g estio n s o n co rresp o n d en ce
B ra h m s's B ldtter. from Jo a c h im
to B rah m s
J u n e 28 1854 B rah m s w rites to h is te a c h e r F lorence M ay,
E d u a rd M arxsen, a n d re q u e sts The L ife o f
h is o pinio n reg ard in g th e title o f Jo h a n n es
B ldtter. B ra h m s, 168.
O ct. 21 1854 B rah m s p lay s fo u r b a llad e s for co rresp o n d en ce
h is te a c h e r E d u a rd M arxsen. from B rah m s to
C lara
47
Nov. 1854 Schum ann-V ariations is

p u b lish ed .
D ec. 8 1854 B rah m s p lay s tw o B allad es for co rresp o n d en ce
O tten . from B rah m s to
C lara
Dec. 15 1854 B rah m s m ak es a copy o f B allades co rresp o n d en ce
for R ob ert S ch u m an n . from B rah m s to
C lara
D ec. 15 1854 R obert S c h u m an n h e a rs a b o u t co rresp o n d en ce
B ra h m s's B allades from C lara. from R obert to
B rah m s
J a n . 25 1855 B rah m s is d elig h ted w ith h is co rresp o n d en ce
w o rks th a t cam e in to bein g , a s from B rah m s to
w ell a s th e V ariatio n s a n d Jo a c h im
B allades.
Feb. 20 1855 B rah m s w a n ts to d ed icate co rresp o n d en ce
B allad es to G rim m . from B rah m s to
J u liu s O tto
G rim m
Feb. 23 1855 R obert S ch u m an n is d elighted for co rresp o n d en ce
& 24 th e copy o f th e B allad es m e a n t from B rah m s to
for h im . C lara
Feb. 1856 P iano B allad es, O p. 10 is
p u b lish ed .
J u ly 29 1856 R obert S c h u m an n d ies.
48
It is c le a r th a t th e p ian o B allades, Op. 10 w ere com pleted a ro u n d
th e sam e tim e a s th e "S ch u m ann-V ariations," O p. 9 .18 In a le tte r, d a te d
J a n . 25, 1855, B rah m s w rote "How d e a r to m e a re a ll th e w ork s w hich
cam e in to b ein g th is w in ter, a s w ell a s m y V ariatio n s a n d B allades; th ey
rem in d m e so m u c h o f tw ilight h o u rs a t C lara's."19 A d ay a fte r th e first
a p p ea ra n c e o f th e v a ria tio n s, d a te d J u n e 19, 1854, B rah m s re q u e ste d
Jo a c h im 's o p inion on p u b lish in g a tw o-volum e collection of com positions.
T he first volum e w ould c o n ta in fo u r p ieces for p iano . T he secon d volum e
w ould in clu d e th e v a ria tio n s a n d o th e r p ieces. T he v a ria tio n s w ere la te r
p u b lish ed in N ovem ber 1854, a s O p. 9 , b u t th e fo u r p ian o pieces in ten d ed
to b e in th e first volum e a re "lost."20 T he ab sen ce of evidence a s to th e
form atio n o f th e com plete p ian o B allad es a n d th e referen ce to a "lost" w ork
com posed a b o u t th e sam e tim e su g g e sts th e p ossib ility th a t th ey m ig h t be
rela te d to e ac h o th er, in w hole o r in p a rt.
In a le tte r to Jo a c h im o n J u n e 19, 1854 B rah m s w rote:
I w ould like to p u b lish th e enclo sed th in g s a n d
18A set of variations based on Robert Schumann's Bunte Bl&tter, Op. 99. Clara
Schumann had already composed a set o f variations based on the same theme in June,
1853, entitled Variation fur das Pianoforte fiber ein Thema von Robert Schumann.
Brahms's piano Ballades were first mentioned in the letter from Brahms to Clara dated
Oct. 21, 1854. And his "Schumann-Variations" were first mentioned in the letter from
Clara to Brahms, dated June 18, 1854. A few days later, when Clara Schumann gave
birth to her eighth and the last child on June 11, 1854, Brahms dedicated the
"Schumann-Variations" to her, and entitled the piece "Little Variations on a Theme by
Him. Dedicated to Her. Clara expressed her appreciation for the dedication in the letter.
See Avins, Johannes Brahms, 45.
19 Avins, Johannes Brahms, 83.
20 Margit L. McCorkle, Johannes Brahms. Thematisch-bibliographisches Werkverzeichnis
(Munich: G. Henle Verlag, 1984), 660.
49
th erefo re b eg y o u a s u rg en tly a s I c a n to look th em

th ro u g h a n d w rite m e y o u r m o st candid, opinion of
th em . I have so m an y d o u b ts a b o u t th e ir w o rth o r
la c k th e re o f th a t I cou ld com e to n o decision w ith o u t
know ing y o u r d efin ite verdict.
I w ould m ainly like to a s k y o u to w rite m e a definite

Y es o r No, o r yo u r m isgivings, for e ac h piece a n d for
e ac h v ariatio n . I th o u g h t o f p u b lish in g th e th in g s
w ith th e follow ing title:
L ea ves fro m th e D iary o f a M usician
P ublished b y th e Young K reisler
1st V olum e: F o u r P ieces for P ianoforte (M inuet o r ?
in A flat m in or, S cherzino o r ? in B m inor, Piece
in D m in or, a n d In M em ory o f M. B. in B m inor.
2 nd V olum e. V ariatio n s, etc.
W hat d o y o u th in k o f it? T he th in g s sh o u ld b e a r th e
an o n y m o u s title n o t so a s to licen se th em to be w orse
th a n m y e a rlie r o n es, b u t for th e sa k e of th e jo k e a n d
b e c a u se th ey a re o ccasio n al pieces.
I am also u n c le a r a b o u t th e seq u en ce o f pieces a n d

th e in d iv idu al title s in th e firs t volum e. M ight th e
V ariatio n s be a ll too sm all a n d in sig n ifican t?21
Jo a c h im 's resp o n se on J u n e 27, 1854, provides m ore in fo rm ation
a b o u t th e fo u r p ian o pieces. He w rote:
Y our o th e r p ian o p ieces (from th e diary) h ave also

p leased m e v eiy m u ch ; th e tw o C apriccios in B m inor
(so th e y m u st b e called, I th in k ) a re old acq u a in tan c e s;
I p refer th e B rah m sian [one] to th e im itatio n o f
M endelssohn; it is e x tra o rd in a rily sw eet, alm o st so
iro nic, so p o lish ed th a t o ne c a n sa y n o th in g in reply,
b e ca u se o ne o f th e p h ra s e s co u ld slip o u t o f rea ch
like a little eel. T he d m in o r piece is original in form ,
a n d b re a th e s a g entle m elancholy; a sh o rt "N ottum o,"
it a p p e a rs to m e. I like th e s a ra b a n d le a st o f all; to m e
50
its trio h a s a little ta s te o f m o n o to n o u s com m onness.

A ren 't th e te n th s in th e D m ino r piece very difficult to
p lay ? A nd w ould th e y n o t be rep laced by th e th ird of
th e h ig h er octave? * ,
T he p lace vjr f ^ so u n d s em pty to m e.
(I w ould n o t w rite it.) B u t I tr u s t y o u r ear.
Jo a ch im th e n w en t o n to d isc u ss th e title of th e w ork.
B u t I hav e to p u t m y foot dow n categorically a g a in st

th e title o f th e w hole. In H offm ann's a n d J e a n P au l's
tim e su c h m y stificatio n s w ere new , b e ca u se [they
w ere] th e p ro d u c t o f a tru e , b rillia n t bravado, w hich
lik ed to o u tw it th e old school in a ll p o ssib le w ays -
n ow ad ays sim ilarities to th is form a re so m u ch
d eg rad ed th ro u g h th e m ean in g less u se w hich alm o st
every y o u n g little p o e t. . . h a s m ad e o f it, th a t you
m ay n o t en co u rag e it th ro u g h y o u r exam ple.22
Jo a c h im 's critiq u e drew a c le are r p ic tu re o f th e fo u r p ian o pieces.
T he tw o C apriccios in B m in o r m u s t b e th e "Scherzino o r ?" a n d
"R em em brance o f M. B." T he sh o rt N o ttu m o , w hich "b reath es a gentle
m elancholy," is th e D m in o r piece. The S a ra b a n d w ith trio , w hich
Jo a ch im lik es th e le a st, is B ra h m s's "M enuett o r ?."23 (see T able 4)
22 Andreas Moser, ed., Johannes Brahms im Briefwechsel nut Joseph Joachim, 2 vols.
(Berlin: Hans Schneider), I, 50-51. English translations taken from William Home,
"Brahms's Op. 10 Ballades and his Blatter aus dem Tagebuch eines Afusikers" Journal o f
Musicology 15/1 (Winter 1997): 100.
23 The Sarabande, a Baroque dance movement in triple meter that originated in France
and later spread to Germany, is usually slow and majestic in style. Its characteristics are
the accented dotted note on the second beat, and cadence on the third beat. German
51
T able 4 The in te n d ed tiles o f B la tter a n d Jo a c h im 's resp o n se
B ra h m s's B la tter Jo a c h im 's resp o n se

M en u ett o r ? in A -flat m in o r S a ra b a n d + T rio
Scherzino o r ? in B m in o r C apriccio (B m inor)
Piece in D m in o r N o ttu m o (D m inor)
R em em brance of M. B. in B m in o r C apriccio (B m inor)
T he d isc u ssio n o f th e title s o f e ach piece c re a te s a p ossib le
rela tio n sh ip betw een th e B la tter piece a n d th e p ian o B allades. B ased on
th e A bschrift, th e only rem ain in g m a n u sc rip t of th e p ian o B allades,
B rah m s originally called th is se t Drei B alla den u n d ein Interm ezzo.24 The
Interm ezzo, u n d e r th e co p y ist's h a n d , also b e a rs a su b title Scherzino th a t
w as la te r s tru c k off by B rah m s. Since th e Scherzino is also in B m in o r
a n d th e re is n o evidence th a t B rah m s u s e s th is title elsew here, it stro ng ly
su g g e sts th a t th e th ird B allade o f O p. 10 (the Interm ezzo in th e Abschrift)
is th e Scherzino o f th e B la tter w ork.25 Jo a c h im 's d escrip tio n "one o f th e
composers generally adopted the slow tempo and accented second beat from French
models.
24 The Abschrift of piano Ballades is a copy made by an anonymous copyist, with
numerous corrections, refinements and revisions by Brahms. It is now preserved in the
archive of Breitkopf und Hartel in Wiesbaden.
25 George S. Bozarth does not exclude the possibility that the two pieces might be the
same. However, because the autograph of the piano Ballades is missing, in his opinion, it
is impossible to make further inference to relate the third Ballade and the "Scherzino" in
the Blotter. He also raises the possibility that the Remembrance o f M. B. in B minor in the
Blatter work, which Joachim called Capriccio, could be the Capriccio in B minor, Op. 76,
no. 2. For more details see George S. Bozarth, "Paths not taken: The 'Lost' Works of
Johannes Brahms" The Music Review 50 (1989): 193.
William Home makes the connection between die third Ballade and the "Scherzino"
according to the existing Abschrift. He believed that the Abschrift was made from one of
the manuscripts. And this Abschrift was the one which Brahms submitted to the
52
p h ra s e s co u ld slip o u t o f re a c h like a little eel" a lso su p p o rts th is p o in t o f
view.
T herefore, sin ce o ne o f th e B ld tter p ieces c a n p o ten tially be
co n n ected to th e p ian o B allad es, it is also p o ssib le th a t o th e r B ldtter
p ieces m ig h t b e rela te d to som e o r a ll o f th e p ian o B allades. The first
B allade is in th e sam e key a s th e N o ttu m o , b u t th e c h a ra c te rs a n d th e
m e te r do n o t fit th e d e scrip tio n s Jo a c h im m entioned. Also, it do es n o t
ex h ib it th e c h a ra c te ristic s o f a C apriccio o r th e dan ce-lik e c h a ra c te ristic s
o f a M en u ett o r S a rab an d e w ith trio . It is th erefo re likely n o t one of th e
B la tter p ieces. The seco n d B allade, w hich s ta rts w ith a song-like sectio n
a n d follows a sym m etrical form A B C B A, is certain ly n o t in th e form o f a
M en u ett o r S a rab an d e w ith trio , a n d it is h a rd ly in trip le m eter. It c a n n o t
b e th e sh o rt N o ttu m o, for it la s ts 149 m e a su re s a n d s ta n d s a s th e lo n g est
p iece o f th e four. T he style o f th e seco n d B allade is also u n re la te d to th a t
o f M endelssohn.
As for th e fo u rth B allade, th e re a re differing o pin io n s am dng
sch o lars. In W illiam H o m e's article, h e a d v an ces th e a rg u m e n t th a t th e
fo u rth B allade cam e from th e M e n u e tt/S a ra b a n d e w ith trio . H e ex am in es
th re e c h a ra c te ristic s of th e fo u rth B allade in o rd er to prove th a t th ey a re
th e sam e com position. F irst, b o th title s given b y B rah m s a n d Jo a c h im
publisher and became the engraver's model for the first edition of the Ballades. For
further details regarding the authenticity of this copy, see Home, "Brahms's Op. 10 and
his Blotter, 101.
in d ic ate th e c h a ra c te ristic o f d an ce m ovem ent w ith trio. T he fo u rth
B allade is in trip le m eter a n d in th e form of A B A' C B'. T he o p en in g A
sectio n , in ro u n d ed b in a ry form , h a s reg u la r fo u r-b ar p h ra s e s w ith
h arm o n ic m ovem ent m ostly o n e ac h m easu re. T he B sectio n ch an g es th e
te x tu re , reg iste r a n d c h a ra c te r com pletely, a n d co u ld b e tre a te d a s a trio.
A lso, th e tem po m ark in g A n d a n te con moto is n o t u n lik e th a t o f a H aydn
o r M ozart M enuet. T herefore, it could m atch B rah m s's title M enuett.
Secondly, a fte r th e re tu rn o f th e A sectio n com es a sectio n w ith new
c h o rd al m aterial. W ith th e sh ift to th e low er reg ister a n d its se rio u sn e ss
in to n e, it co u ld b e th o u g h t o f a s a S arab a n d e, a s Jo a c h im sug gested .
T hirdly, one o f B ra h m s's rev isio n s in th e trio sectio n (show n in th e
A bsch rift by ad d in g n o te s, ste m s, a n d b eam s in th e te n o r voice a n d
show ing th e m ain m elody a n d th e cou nterm elo dy p arts) m ig h t be th e
resp o n se to Jo a c h im 's com m ent: "to m e its trio h a s a little ta s te of
m o n o to n o u s com m onness." W ith o ut th e in d icatio n o f th e m ain m elodic
p a rts , th e trio could b e m isu n d ersto o d a s "m onotonous com m onness."
T he o th e r op inion given b y B o zarth says: "Prom Jo a c h im 's re m a rk s [ab o u t
B rah m s's Bldtter], n o n e o f th e p ieces c a n be unequivocally lin k ed w ith
w orks su b seq u e n tly p u b lish ed ."26 T herefore, in ste a d o f m ak in g a lin k from
M e n u e tt/S a ra b a n d e w ith trio to th e fo u rth B allade, h e su g g e sts a lin k to
B ra h m s's o th e r in d iv id u al d a n ce w orks, su c h a s th e tw o S a ra b a n d s (WoO
26 Bozarth, "Paths not taken," 192.
54
5 , one in A m ajo r/m in o r, th e o th e r in B m inor) a n d th e tw o G avottes (in A
m in or, a n d A m ajor) th a t B ld tter p ieces a n d P iano B allad es ex isted in th e
a u to g ra p h o f A m a jo r/m in o r S a ra b a n d e a s a trio .27
H o m e's rem a rk s c a n n o t to solve th e q u e stio n o f th e m ode.
A lthough th e o p en ing of th e fo u rth B allade slid es in to th e m ajo r m ode
from th e m ino r, it is clearly w ritte n in B m ajor. T herefore, if th e A -flat
m in o r M e n u e tt/S a ra b a n d e w ith trio is co nv erted in to B m ajo r, how m u ch
revision h a s to be m ade to fit it in to th e key schem e? W ith th is degree of
revision, c a n th ey still b e iden tified a s th e sam e w ork? A lthough B ozarth
b asically d en ies th e p o ssib ility o f th e re la tio n sh ip betw een th e p ian o
B allad es a n d th e B latter, th e rela te d evidence betw een th em sh o u ld n o t be
ignored. To su m u p , th e above evidence c re a te s a n o p p o rtu n ity for fu rth e r
re se a rc h o n th e su b je c t o f th e rela tio n sh ip betw een th e fo u rth B allade a n d
th e M e n u e tt/S a ra b a n d e w ith trio . T he an sw er will only b e revealed if
a d d itio n al so u rces becom e av ailable (see T able 5 for co m p ariso n betw een
B ld tter pieces a n d Piano B allades).
27 In addition to Home's and Bozarth's opinions, Alfred Ehrmann also suggests a link
between the third Ballade and the Scherzino, however, without supporting evidence.
Gunther Wagner thinks Ehrmann's comment is improvable. Also, see Alfred Ehrmann,
Johannes Brahms: Weg, Werk und WeU (Leipzig, 1933), 55. and Gunther Wagner, Die
Klavierballade um die Mitte des 19. Jahrhunderts (Munich, 1976), 74-76.
55
T able 5 C om parison betw een B la tter p ieces a n d P iano B allad es
B ldtter a u s d em Tagebuch e in es P iano B allades, O p. 10

M usikers
N ottum o (D m inor) No. 1 (D m inor) in 4 /4 m eter
*B rahm s d id n o t provide a title *in th e form o f ABA'
*original in form
^projects a se n se o f a gentle
m elancholy
* contains difficult te n th s
*an em pty p a ssa g e in 6 /8 tim e
(Joachim )
C apriccio (B m inor) No. 2 (D m ajor) in 4 /4 & 6 /4 m eters

*B rahm s called it R em em brance
o f M. B.
C apriccio (B m inor) No. 3 Interm ezzo (B m inor) in 6 /8

*B rahm s called it S cherzino m e te r
*sw eet, alm o st iro nic, po lish ed * su b title o n th e m an u scrip t:
*one o f th e p h ra se s co uld slip o u t S cherzino
o f rea ch
like a little eel
S a ra b a n d + Trio (A-flat m inor) No. 4 (B m ajor) in 3 /4 8s 6 /4 m eters

*B rahm s called it M inu ett * M e n u ett/S ara b an d e w ith trio
*its trio h a s a little ta s te o f c h a ra c te ristic s
m o n o to n o u s co m m o n ness *on th e copy o f th e
m a n u sc rip t,
B rah m s m ad e som e
n o ta tio n a l revision. Possibly
c a u se d by Jo a c h im s
com m ent.
A fter Jo a c h im 's critiq u e, B rah m s w rote to h is te a c h e r M arxsen th e
n e x t day, J u n e 28, 1854, reg ard in g th e title o f th e B ld tter a s a w hole.
O bviously, h e w as n o t su re a b o u t Jo a c h im 's su g g estio n th a t th e title "w as
b e n e a th B ra h m s's im p o rtan ce a s a com poser, a n d a violation o f th e
56
se rio u sn e ss o f th e pieces."28 B rah m s seem ed d eterm in ed to keep th e
id ea.29 W hat w e do know is th a t B rah m s th e n decided to p u b lish th e
"S chum ann-V ariations" in div idu ally a n d p u t th e se fo u r p ieces asid e.
A ccording to F lorence M ay, it w as a b o u t th is tim e th a t B rah m s becam e
a cq u a in te d w ith J u liu s Allgeyer, w ho le n t him H erd er's tra n s la tio n s of
Volkslieder. T h en , betw een J u n e 28 a n d O ct. 21, B rah m s m ad e h is
d ecision to assem b le p o ssib ly o ne o r tw o pieces from th e B ld tter a n d o th e r
new p ieces, in clu d in g "Edw ard", to form th e se t in w hich e ac h w ould be
called a B allade. T ak en to g eth er th e se p ieces of evidence c a n ch an g e o u r
view a s to th e id en tificatio n of th e "four B allades", for th e th ird a n d
p ossib ly th e fo u rth B allad es w ere com posed w ith o u t a n y b a llad -b a se d
origin. W hile th e seco n d m ig h t h av e a c e rta in rela tio n sh ip to th e th ird ,30
only th e first h a s th e u n d e n ia b le a sso c iatio n w ith th e folk b allad
"Edw ard". As Ja m e s P a ra k ila s h a s observed "B rahm s m ay hav e b een
u sin g th e title th a t p ro p erly belonged to th e first piece a s a so lu tio n to th e
28 Home, "Brahms's Op. 10 and his Blotter," 109.

29 According to the letter dated June 28, 1854, Brahms sent the completed manuscript of
his trio (Op. 8) to Marxsen and had received it back from his teacher. He also sent the
variations and a set of short piano pieces. Brahms asked Marxsen "if he considers the
pianoforte pieces worth publishing, he adds as to the proposed title: What do you think of
it? Doesn't it please you? I m ust confess I should be sorry to strike it out." It is possible
"that Marxsen's opinion was unfavourable, for the short pieces did not see the light." For
more details see Florence May, The Ufe o f Johannes Brahms (London: The New Temple
Press, 1905), 168.
30According to Robert Schumann's comment: "the closing F-sharp in the bass {of the
second Ballade] appears to lead into the third Ballade," it is possible that the second
Ballade was composed before the third and was meant to link the two pieces together.
Max Kalbeck believed that the relationship between the second and the third Ballades is
as in the second and the third movements of Brahms's Op. 1. Home, "Brahmss Op. 10
and his Blotter, 110.
57
p roblem o f w h a t to call th e w hole se t, even a t th e price o f m islab eling th e
o th e rs to a g re a te r o r le sse r ex tent."31
T he seco n d , th ird , a n d fo rth P iano B allades a re n o t com pletely
w ith o u t lite ra ry referen ce, how ever. D u rin g th e su m m er o f 1854, B rah m s
w as p reo ccu p ied w ith th e w ritin g s o f E. T. A. H offm ann. H e also
en co u rag ed C lara to re a d it a fte r R o b ert's su icid e a ttem p t, p o ssibly for th e
re a so n o f com forting h e r. In th e co rresp o n d en ce d a te d A u g u st 2 7 , 1854,
B rah m s w rote:
You [Clara] lau g h ed over M adem oiselle M eikel? Did

y o u also w eep w ith em otion for S erap io n? (at th e
b eg in n in g o f th e first volum e, in tro d u ctio n ). I c o u ld n 't
re a d it alo u d to you; in K respel too, th e re is so m eth in g
w h ich now a n d a g ain will m ove y o u deeply, a s it d id m e."32
B rah m s also w rote in a le tte r a w eek la te r, talk in g a b o u t th e books h e
ow ned: "I h av e S h a k e sp ea re's a n d S c h u m a n n 's com plete w orks, G o ethe's
p oem s, H offm ann's F a n ta siestu cke a n d still m ore!"33 T h ro u g h exam ing th e
title o f th e B ld tter w ork, it is n o t difficult to se e th e in flu en ce o f H offm ann.
T he title in te n d ed for th e fo u r p ian o pieces a n d "S chum ann-V ariations":
B ld tter a u s d em Tagebuch e in es M usikers

H erausgegeben vom ju n g e n K reisler
is a ctu a lly a co nflatio n o f tw o title s b y E. T. A. H offm ann:
P h a n ta siestu cke in C allots Martier.

B ld tter a u s d em Tagebuch ein e s reisen d en E n th u sia sten

32 Mademoiselle Meikel is the character in the novella Fermate, by Hoffmann. Avins,
Johannes Brahms, 58.
58
and
L eb en sa n sich ten d e s K a ters Murr.

N eb stfra g m en ta risch erB io g ra p h ie d e s K apellm eisters J o h a n n es K reisler
in zu fa llig en M akulatur-bldttem
H erausgegeben von E. T. A . H offm ann34
In B ra h m s's v ariatio n s, in te n d ed to b e th e seco n d volum e of th e B ld tter
w ork, h e signed a n in itial "B" (for B rahm s) for th e slow a n d contem plative
v a ria tio n s a n d a n "Kr" (for K reisler) for th e fa s t a n d en erg etic v ariatio n s.
T herefore, i t is rea so n a b le to in fer th a t th e first volum e co uld h av e b een
w ritten u n d e r th e in flu en ce of th e c h a ra c te rs c re ate d by E. T. A. H offm ann
a s w ell. S ince p a rt of th e B ld tter la te r becam e p a rt o f th e p ian o B allades,
th e lite ra ry referen ce c a rrie s over.
Soon a fte r B rah m s's d ecisio n to assem b le th e se fo u r p ieces in to a
se t, h e gave th e title Drei B a lla den u n d ein Interm ezzo. B esides th e
'obvious' B allade (no. 1), th e seco nd a n d fo u rth a re also given th e sam e
n am e. A nd in ste a d o f C apriccio (as Jo a c h im suggested) o r S cherzino (as
B rah m s originally n am ed it), B rah m s called th e th ird Interm ezzo. In w h a t
se n se th e n d o th ey form a cyclic g rou p ? W hat is B ra h m s's id e a o f a cyclic
w ork? It is p o ssib le to find a clu e by ex am inin g B ra h m s's cyclical vocal
w orks.

34 Pages from the Diary of a Musician, edited by the young Kreisler. Fantastic pieces in
Callot manner, Pages from the Diaiy of a travelling enthusiast. The life and Opinions of
Katers Murr., Together with a fragmentary biography of the music director Johannes
Kreisler, in random scrap-pages, edited by E. T. A. HofBmann.
59
W hen B rah m s com posed so n g s, h e often com posed th em
in dividually o r in sm all g ro u p s. L ater, a t th e tim e o f p u b licatio n h e w ould
organize th em in to a set. Som etim es, h e s e t several so n g s to g eth er a n d
before sen d in g th em for p u b licatio n , re-selected a n d re-o rd ered th e
in d iv id u al songs. F or exam ple, B rah m s h a d s e t fo u r so n g s o n p oem s by
K laus G roth. He s e n t th e se fo u r so n g s to G ro th a n d clearly G ro th tre a te d
th e m a s a cycle. In a le tte r o f A pril 2 7 , 1873, D oris G o rth w rote: "Since
th e 24th [of April] I have sp e n t som e tim es e ach d ay w ith th e w onderfully
b e au tifu l cycle of so n g s b y y o u a n d b y K laus. How ten d erly , how
in gen iou sly y o u have o rd ered th e s e fo u r songs."35 W hen B rah m s
p u b lish ed th em , h e a d d ed fo u r ad d itio n al so n g s a n d n am ed th e collection
L ieder u n d G esange, O p. 59. H e also re a rra n g e d th e o rd er o f th e fo u r
songs. The original la s t so ng o f th e fo u r becam e th e fo u rth one in O p. 59,
w hile o ne o f th e in n e r so n g s b ecam e th e co n clu sio n o f th e cycle (see T able
6). By alterin g th e o rd er o f th e se so n g s, B rah m s ch an g ed th e ir fu n ctio n

36
of. O n occasion, a fte r B rah m s s e n t so n g s to h is p u b lish er, h e ch an g ed
h is m ind a n d re q u e ste d c e rta in re a rran g e m en ts. O ne su c h exam ple is in
h is lie d e r u n d Ges&nge von G. F. D aum er, Op. 5 7 , w here h e rev ersed th e
35 Quoted in Imogen Fellinger, "Cyclic Tendencies in Brahms's Song Collections," Brahms

Studies (Oxford: Clarendon Press, 1983), 384.
36 H ie original four songs sent to Klaus Groth are "Regenlieder" (as the first song),
"Regentropfen aus den Baumen" (as the last song), "Mein wundes Herz" and "Dein blaues
Auge" (as the inner songs, the actual order is unknown.). In Op. 59, "Regenlied" becomes
the third song and "Nachklang (Regentropfen)" follows after. The two inner songs become
the last two songs of the opus, with "Dein blaues Auge" ending the cycle.
60
o rd er of n o s. 5 a n d 7 to m ak e a stro n g e r co n n ectio n betw een n o s. 4 a n d 5.
It is cle ar th a t e sta b lish in g th e su ccessio n o f so n g s w as sig n ifican t to
B rah m s. In o ne le tte r from B rah m s to h is p u b lish e r R ieter-B iederm ann,
th e form er w rote "The tw o volum es differ in size, b u t I w ish th e o rd er...to
b e kept."37
T able 6 C om parison betw een th e fo u r so n g s on poem s b y K laus G ro th a n d

L ieder u n d Ges&nge, O p. 59
F o u r so n g s o n p o em s b y K laus L ieder u n d G esange, O p. 59
(F irst song) R egenlieder No. 1 ----- (D am m rung se n k te sich

von oben)
No. 2 A uf dem See
(In ner so n g s, o rd er unknow n) No. 3 R egenlied
M ein w u n d es H erz No. 4 N ochklang (R egentropfen)
D ein b la u e s A uge No. 5 A gnes
No. 6 ----- (Eine g u te, g u te N acht)
No. 7 M ein w u n d es H erz
(L ast song) R egentropfen a u s d e n No. 8 D ein b la u e s Auge
B aum en
A ccording to H einz von B eck erath (1876-1964), so n o f B rah m s's
friend Alwin von B eck erath , B rah m s o n ce com plained th a t
m o st m ale a n d fem ale sin g ers g ro u p h is so ng s

to g eth er [on th e ir program m es] in a q u ite a rb itra ry
m a n n e r, co n sid erin g only w h a t s u its th e ir voices,
a n d n o t realizin g how m u ch tro u b le h e [B rahm s]
h a d alw ays ta k e n to assem b le h is song com positions
like a b o u q u e t.38
37 "Die Hefte sind an Umfang verschieden; ich wunschte aber doch die Ordnung so zu
lassen." Brahms Briefwechsel 14: 157.
38 Fellinger, "Cyclic Tendencies," 380.
61
It is tru e th a t B ra h m s's co n cep t o f "bouquet" is d ifferent from "cycle" in th e
se n se o f B eethoven's A n d ie fe m e G eliebte, S c h u b e rt's Die sch d ne M ullerin
a n d W interreise, S c h u m a n n 's F rauenliebe u n d -leben a n d D ichteiiiebe.
How ever, o ne c a n n o t d eny th a t "bouquet" im p lies a loo ser c rite ria to
assem b le so n g s to g eth er. Songs c a n b e gro u p ed acco rd in g to a com m on
p o e t (as in O p. 3 3 , a n d 57), su b je c t (as in Op. 32), folk-song origin (as in
O p. 14, a n d 103), d ialo g u e -stru c tu re (as in Op. 84), o r b iblical te x t (as in
O p. 121). W hen B rah m s assem b led so n g s to g eth er, th e cyclic se n se is
o ften achieved by th e size, c h a ra c te r, a n d to n ality of th e so n g s in q u estio n .
D ecisions a re m ad e in o rd er to b u ild th e clim ax o f th e m u sic a n d th e
in te r-relatio n sh ip betw een th e so n g s a n d betw een each volum e w ith in a n
o p u s.
T he fo u r p ian o B allades w ere com posed a n d assem b led d u rin g th e
su m m er o f 1854. A lthough th ey have differen t o rig in s, th e y sh a re a
com m on th em eth e asso ciatio n w ith lite ra ry so u rces, in e ith e r a d irec t o r
in d ire c t way. T hough th e la s t piece d o es n o t sh a re th e sam e key a s th e
first piece, th e ir to n alities a re closely tie d to g eth er a n d c re a te a b alan ced
sym m etry.
No. 1 No. 2 No. 3 No. 4

D nor D B .m m or
parallel parallel
relative
T he fo u r p ieces, e ac h w ith its ow n d istin c t c h a ra c te r, provides a w ide
v ariety o f m u sical sty les. T he u n se ttle d opening, th e d ram a tic m iddle
sectio n a n d th e u n reso lv ed en d in g o f th e first B allade is followed by th e
seco n d B allade w ith a calm , song-like o pening a n d ending, b a sed on
B ra h m s's m o tto.39 How ever, th e allegro sectio n h a s th e p o ten tial to
rem in d liste n e rs o f th e u n se ttle d m ood o f th e p rev io us piece. The
Interm ezzo, in th e c h a ra c te r o f a scherzo, c re a te s a se n se of am big u ity
b o th rh y th m ically a n d m elodically in th e o u te r sectio n s w ith a heavenly
so n o rity in th e m iddle sectio n . Finally, th e la s t B allade co n clu d es th e
cycle w ith a lyric m elody, ch o rale-lik e m aterial, a n d th ic k te x tu re (w ith
fo u r voices a t th e sam e tim e), providing a feeling o f h eav in ess, a n d
rem in d in g th e liste n e r of th e m ood o f th e first B allade. In p a rtic u la r, th e
sh ift betw een m ajo r a n d m in o r m odes recalls th e m in o r/m a jo r d esig n atio n
o f th e e n tire se t. T hese fo u r B allad es form a n organ ic w hole a n d certain ly
p re s e n t th e se n se o f a "bouquet". M oreover, by com p rehend in g th e ir
h arm o n ic lan gu age, m otivic id ea s, form al stru c tu re s, a n d c h a ra c te ristic s,
th e re la tio n sh ip betw een th e fo u r p ieces a s assem b led a n d e sta b lish e d by
B rah m s is revealed.
39 For discussion of Brahms's motto, see the analysis of the second Ballade in chapter 3.
63
Chapter 3
1) A nalysis o f th e first Ballade
Piano B allade, Op. 10 no. 1

Tem po m arkin g : A n d a n te & Poco p m rnoto
M eter: 4 /4
Key: D m in o r
Form : A B A '
T he firs t b allad e is in te rn a ry form (A B A'). E ach sectio n is divided
b y do u b le b a r lin e s a n d is in d ic ate d clearly th ro u g h tem po ch an g es. The
o u tlin e o f th e form al s tru c tu re is show n below (see D iagram 1.1). As

\
show n in d iag ram 1.1, th e A' sectio n is h a lf th e size o f th e A sectio n . T he B
sectio n , n o t o nly h a s a c o n tra stin g m ode (m ajor) a n d a fa ste r tem po, b u t it
is th e lo n g est sectio n o f all.
T he A sectio n c o n ta in s tw o m ain th em es: one a n d a n te (m arked a s
T hem e I), o n e poco p iu moto (m arked a s T hem e II). J u s t a s th e b allad
"Edward" is w ritte n in dialogue, th e tw o th a n e s in th e A sectio n p re se n t
th e q u e stio n a n d th e an sw er a s th e co u p lets d o in th e op ening sta n z a of
th e poem . E ach sta te m e n t h a s a n open ending, ex cept th e la s t p h ra se
before th e B sectio n . A gain it h a s a d irec t connection to th e te x t of
"Edw ard," w h ich s ta rts w ith th e m o th e r's terrified q u e stio n s, a n d is
follow ed by h e r so n 's false rep lies. T he th re e b a sic elem en ts o f T hem e I
D iagram 1.1 F orm al S tru c tu re of Piano B allade, O p. 10 no. 1

measure mm. 1-26 mm. 27-59 mm. 60-71
form A B A'
Tempo Andante/Poco pxti moto Allegro Tempo I
major tonality dm BbM dm BbM ~ dm DM~BbM~EbM dm
major harmonic movement i-V iIII I--IV-- IV--I# I 16- I-V i i
relation to the home key i -----i v - i------- IV - i I-I V - N i
total measure number 26 12
percentage 36.6% 46.4% 17%
E xam ple 1.2 a P iano B allade, Op. 10 n o .l, m m . 7-9, 2 2 -2 4 (Them e II)
m elody
TT
countermelody
E xam ple 1.2b
- p "
/ r u^ :.' ' ...............
M y"
w .
65
a re a m elodic line d ou bled a t th e octave, th e grace n o te, a n d th e sighing
m otivea d escen d in g fifth o r trito n e (see E xam ple 1.1).
E xam ple 1.1: P iano B allade, Op. 10 no. 1, m m . 1-3 (Them e I)
By d o u b lin g th e m elodic lin e s o ne a n d th re e octaves a p a rt a n d b y cre atin g
a w ide sp ace betw een rig h t- a n d left-h an d reg iste rs, B rah m s c re a te s a
s ta rk a n d hollow so u n d , w hich e sta b lish e s a d a rk a n d u n se ttle d m ood.
Also, th e fifth sighing m otives, om ittin g th e th ird of th e d o m in an t, in c re a se
th e se n se o f m elancholy, a s if to su g g est th e m o th e r's calling "Edward!
Edw ard!" T hem e II is ch aracterized b y ch o rale-lik e h arm o n y a n d a
d escen d in g lin e w ith a co un term elod y m oving in c o n tra ry m otion. W hen
T hem e II a p p e a rs th e seco n d tim e, th e original counterm elody becom es
th e m ain m elody, a n d th e m ain m elody is p a rtially sta te d in th e b a s s (see
E xam ple 1.2a). A t th e core o f th is m elodic lin e is a sim ple d escen d in g
scale th ro u g h o u t (see E xam ple 1.2b). D espite th e fac t th a t th e re is a
sig n ifican t difference betw een th e tw o th em es, th ey n e v erth eless sh a re
com m on m aterial. W hen th e grace n o te o f th e first th em e is o m itted it
66
becom es c le a r th a t th e first m e a su re s o f b o th th em es s h a re th e sam e
rh y th m ic profile:
J | J J1J J
Several sc h o lars, in clu d in g P au l M ies a n d Roger F iske, believe th a t
th e "Edward" B allade w as first in te n d e d to b e s e t a s a song. The follow ing
exam ple is ed ited from several ex am p les given by sc h o la rs w ho have
attem p ted to m a tc h th e first tw o sta n z a s of th e poem to th e m elody.1 T his
rev eals th a t b o th th e w o rds a n d m elody fit e ach o th er, a t le a st in th e first
sta n z a a n d th e b u lk o f th e seco n d sta n z a (see E xam ple 1.3).
E xam ple 1.3: P iano B allade, O p. 10 n o .l
--1
lap*"**..F-....i f r m ..... -F t - f ......I
1......... .....ip* w H = r l
Dein 5 tW r t w<e ists von Biut so nst? Ed - wflnj, &J-Wftrij } Defri Seiweii,wf ;sts bn
1 See Roger Fiske, "Brahms and Scotland," The Musical Times 109 (1968): 1106-11, Paul
Mies, "Herders Edward-Ballade bei Joh. Brahms," Zeitschrift fur Musikwissenschaft 2
(1919-20), 225-32. Also relevant to the texts of Edward is Edwin Evans, Handbook to the
Pianoforte Works o f Johannes Brahms (New York: Burt Franklin, 1970), 107-110.
A m ong th e m o st u n u s u a l a sp e c ts o f th is m elody is its irre g u la r p h ra se s.
T he a tte m p t to m a tc h th e te x t o f "Edw ard" m ig h t provide a clu e a s to
w here th e irreg u larity com es from . T hem e I c o n sists o f eig h t m e a su re s
a n d c an b e divided in to th re e a n d five m e a su re s. T hem e II c o n sists o f five
m e a su re s a n d sh o u ld b e tre a te d a s o ne p h ra se . The m otivic id ea of
T hem e II c o n sists o f five n o tes. W ith th e four-fold m otivic id ea rep etitio n
o f th is, th e m etrical a c c e n ts a re c o n sta n tly sh ifted to d ifferen t p o sitio n s
w ithin th e five-note m otive. In one w ay th e d esign d e crea se s th e feeling o f
irre g u la rity (five-m easure p h rase); in a n o th e r w ay, it h e lp s to sh a p e th e
m otive each tim e it o ccu rs.
T he difference betw een T hem e I a n d T hem e II a p p e a rs n o t only in
th e ir m otivic id eas, b u t is also p re s e n t in th e ir h arm o n ic lang u ag e. W hen
T hem e I is first sta te d , it is su p p o rte d by D m in o r h arm o n y a n d e n d s w ith
a h a lf caden ce. T he e n tra n c e o f T hem e II, o n a Bb m ajo r ch o rd , c re a te s a
V VI p ro g ressio n , w hich n a tu ra lly m oves to th e new key: Bb m ajor.
T hem e II th e n m o d u lates sm oo th ly to Eb m ajor, w hich is IV o f Bb m ajo r
a n d th e N eapolitan o f D m inor. T herefore, by u sin g a pivot ch o rd , th e
m u sic tu rn s b a ck to D m inor. W hen T hem e I is sta te d th e seco n d tim e,
th e new key (Bb) s ta rts e a rlie r before th e cad en ce. T his tim e, a VI
p ro g ressio n is ap p lied betw een th e tw o th em es. Even th o u g h th e m elody
o f th e seco n d T hem e II h a s b e en sw itched w ith th e o riginal b a ss, th e
68
h arm o n ic p ro g ressio n is e sse n tia lly th e sam e. T he only difference is th e
choice o f th e cad en ce, w h ich is a IV -- i /o r I cad en ce. T h ro u g h o u t A
sectio n , m a jo r/m in o r am b ig u ity is a p p a re n t. N ot only d o es B rah m s w ait
u n til m . 8 to give th e th ird o f th e d o m in a n t (C#), b u t a lso a t m . 26 h e
o m its th e th ird o f th e to n ic. T h u s, th e o p en fifth a t th e very e n d o f th e A
sectio n provides th e p o ssib ility o f m oving in to b o th m in o r a n d m ajo r for
th e n e x t section.
In th e B sectio n th e te x t o f th e poem c a n n o longer be follow ed w ord
for w ord, b u t th e d ram a tic c h a ra c te r o f th is sectio n still su g g ests th e
v iolent m ood o f th e poem . K albeck ob serv es th a t "th is is th e p o in t a t
w hich th e so n , u n a b le to w ith sta n d h is risin g g u ilt, co n fesses h is d eed a n d
c u rse s h is m o th e r for h e r role."2 A lthough K albeck m ig h t re a d m ore in to
b y th e c o n ce n tra te d d ram a tic pow er o f "Edw ard".
T here a re tw o m ajo r elem en ts th a t form th e B section: one is th e
five-note m otive derived from T hem e II, o n e is th e th e m u sic th a n B rah m s
originally in te n d ed , th e m u sic is clearly in sp ire d trip le t figure (see
E xam ple 1.4).
69
E xam ple 1.4: P iano B allade, O p. 10 n o . 1, m m .27-28 (B section)
Element 2
m--
*Pi
b t % .....E ;.:'"-
>r y,.. .... c- .....r.P r .
y* M l jr
TVi - -J- : ,
I r r f r-'
Element 1
E lem en t 1 is first sta te d in th e to n ic o f D m ajor, th e n d o u b led in octaves.
It is n o t u n til en d o f m . 2 8 th a t it m oves to th e d o m in an t. W hen th is
m elody re tu rn s to th e to n ic (end of m . 30), grace-n o te fig u res (as if to
su g g est a n echo from T hem e I) a n d m ore trip le t figu res o n o u te r p a rts o f
th e m ain m elody a re ad d ed . T he d riving trip le ts (E lem ent 2) a re
rem in isce n t of th e b eg in n in g of a n e arlie r com position: th e Scherzo
m ovem ent w ritten for th e "F-A-E" S o n a ta for V iolin a n d P iano (1853).
B oth s ta r t w ith re p e a te d trip le ts a n d m ove u p w ard , a n d b o th c re a te a n
irresistib le rh y th m ic pow er (see E xam ple 1.5). T he trip le t figure (E lem ent
2) d o m in ates th e m ain m elodic lin e a fte r m . 3 0 a n d la te r a p p e a rs in th e
b a s s a s a tim p an i-lik e effect to w ard th e e n d o f th e section (m m 48-54).
T h ese tw o elem en ts e sta b lish th em selv es se p ara tely a n d ev en tu ally m erge
to g eth er n e a r th e clim ax o f th e piece (m. 43). T he e n tire sectio n c a n be
70
p re se n te d sim ply a s a n asce n d in g a n d d escen d in g scale, in th e p ro ce ss of
cre atin g a n d releasin g ten sio n (see E xam ple 1.6).
E xam ple 1.5: S cherzino from "F-A-E" S o n a ta for Violin a n d P iano

rep e ate d u n iso n in trip le t a n d ascen d in g line a fte r m . 5
w. I
v io lin
1 # # f
f > * v > T ,? ? T_
> >
^
r , -tf-l f t JT } |
y * *------------ 4=4= *#==
piano
P f r l ...~ 1 m m
m p
4##w 3 ii
1 '
i
....... ------ < ------------
kt=4= ]^-jHr?=Ffhi~~rtM-#= > > >

>
4^4= ipr -iSp=zzz
h p 4P m 14-4-=4= >
E xam ple 1.6: P iano B allade, O p. 10 no. 1, m m . 2 8 -5 9 (B section)

4b
W :
O 1~ ,a>.....v ,
F p n .1 r
* s,.
ffe rf f
". J"'J; . ,.- 1 .:... . J -----
4ft
.......... ....
- j j
V - i
< 1* 1 1
m J k J*
71
E ven th o u g h th e o p ening o f th e B sectio n u tilizes th e five-note m otive of
T hem e II, it d o es n o t em ploy th e sam e p h rasin g . B ecause o f th e
overlapping o f th e five-note m otive, it is p o ssib le to e sta b lish a fo u r-b ar
p h ra se (see E xam ple 1.7). How ever, a fte r th e clim ax, th e overlapping is
d ro p p ed a n d th e p h ra s e s becom e irre g u la r again .
E xam ple 1.7: P iano B allade, O p. 10 n o .l, m m . 27 -2 8 (B section), LH only
T he asce n d in g p a rt o f th e B sectio n sta y s in D m ajor. T hen, before it
re a c h e s th e clim ax, a m a jo r/m in o r sh ift (m m . 40-43) o c cu rs to b u ild u p
ten sio n . E ventu ally in m m . 4 4 -5 7 , it m oves to Bb a n d Eb m ajo r for th e
d escen d in g p a rt of th e B sectio n w ith d o m in a n t a n d to n ic p e d als in th e
b a s s to p re p a re th e re tu rn o f th e A' sectio n . T h is tim e, B rah m s u s e s a
d im in ish ed se v en th ch o rd to m ak e th e m o d u latio n from Eb m ajor to D
m in o r b y applying a n en h arm o n ic spellin g (see E xam ple 1.8).
E xam ple 1.8 m m . 5 7 -5 8
Eb: viif/ii dm: viil
T he A' sectio n , th e sh o rte st sectio n in th e piece, only u tilize s th e
m ateria l from T hem e I w ith th e trip le t figure carried over from B sectio n
(see E xam ple 1.9). T he o p en in g of th e A' sectio n so u n d s a t first like a
"retu rn ." B u t a fte r five m e a su re s, it tu rn s o u t in ste a d to b e only a n
epilogue. T herefore, it leaves th e m u sic w ith a se n se o f in co m p leten ess.
T he d escen d in g lin e in th e la s t seven m e a su re s seem s to recall th e
dragging force o f th e five-note d escen d in g m otive a n d th e sh ad o w o f th e
long d escen d in g lin e in B sectio n , ju s t a s th e re s u lt o f th e sin is "beyond
forgiveness a n d w ill p u rsu e h im over all th e earth ."3
E xam ple 1.9: P iano B allade, O p. 10 no. 1, m m . 59-61
A skillful m a n ip u la to r of rh y th m in h is la te r y ears, th e y o u n g
B rah m s h e re alread y show s h is in te re st in sw itching th e a c c e n ts of th e
b e a t a n d c re atin g rh y th m ic am biguity. In m m . 6 5 -66 , h e p u ts a c c e n t
m a rk s o n th e seco n d trip le t w hile leaving th e first trip le t a s a re s t (see
E xam ple 1.10).
3 See Chapter 2, footnote 11.
73
E xam ple 1.10: P iano B allade, O p. 10 no. 1, m . 6 5
mM
Jab.
w m
A gain, th e m a jo r/m in o r sh ift is ev id en t in th is section. W hen th e
d o m in a n t first a p p e a rs, u n lik e in th e A sectio n , th e th ird o f th e ch o rd (C#)
is given rig h t aw ay. B u t th re e m e a su re s la te r, w hen th e d o m in a n t
a p p e a rs a g ain , it becom es a m in o r d o m in a n t (Cfy. M oreover, a m ajo r to n ic
a p p e a rs in m . 6 6 a n d im m ediately tu rn s to m in o r a m e a su re la te r. In
g en eral, th e to n a l am b ig uity clearly c o n trib u te s to th e u n se ttle d m ood.
It is likely th a t B rah m s to o k th e poem "Edw ard" a s th e s tru c tu ra l
m odel a t th e beginning, th a t is, in th e m elody w hich fits th e sta n z a , a n d
w ith th e id ea of tw o th em es (dialogue). How ever, B rah m s do es n o t strictly
follow th e plot. In ste ad , h e c a p tu re s th e te n sio n o f th e folk b a llad v ia a n
asy m m etrical stru c tu re , irre g u la r p h ra se s, to n a l am biguity, b u ild in g
dyn am ics, in te n se rh y th m ic p a tte rn s , a n d a d e sp e ra te epilogue. Indeed,
h e su ccessfu lly conveys th e e sse n ce o f th is inexorable b a llad w ith o u t
em ploying a single w ord.
74
2) A nalysis o f th e second Ballade

Tem po m arking: A n d a n te & AUegro non troppo
M eter. 4 /4 & 6 /4
Key: D m ajo r
Form : A B C B ' A '
T he seco n d B allade h a s th e sam e tem po m ark in g a s th e first
B allade, b u t from th e b eg in n in g it e x h ib its a n en tirely d ifferen t c h a ra c te r.
A lso, a s opposed to th e sim ple te rn a ry form o f th e first B allade, th is
second is w ritten in a com pound te rn a ry form , in w hich th e m iddle
te rn a ry form (m arked Allegro non troppo) is su rro u n d e d b y th e o u te r A
sectio n s (m arked A ndante) (see D iagram 2.1).
D iagram 2.1 P iano B allade, Op. 10 no. 2
A B C B A'
A n d a n te Allegro non troppo A n d a n te
I DM | bm BM bm , BM--DM ,
rounded binary i i rounded binary
------------ te rn a ry ----------
______________ ternary _____________:___
T he o p en ing A sectio n (m m . 1-23) itse lf is a ro u n d ed b in a ry form . A
do u ble b a r (in m . 9) divides th e e n tire A sectio n in to tw o p a rts (m m . 1-9,
10-23). T he re c a p itu la tio n o f th e A sectio n a t th e en d o f th e piece, m ark ed
a s A' (mm. 118-149), is alm o st id en tical to A. T he only differences o ccu r
75
in th e to n ality of th e b eg inn in g n in e m e a su re s a n d th e a d d ed ex ten ded
coda. T he o u te r tw o sectio n s su rro u n d th e m iddle doppio m om m ento
(double speed) section . By th e obvious ch an g e o f tem po a n d th e c o n tra st
in to n ality betw een D m ajo r (A section) a n d B m a jo r/m in o r (B C B'
section), th e piece falls in to te rn a ry form . In add itio n , a n o th e r te rn a ry
sectio n is form ed w ith in doppio m ovim ento sectio n (mm. 24-117), by th e
a g ita te d th em e in B m in o r a s o u te r sectio n s (m m .24-50, 80-117) a n d th e
lig h t m elody d eco rated by c o n sta n t grace n o te s in B m ajor a s th e m iddle
sectio n (mm. 51-79). T he e n tire s tru c tu re , th e n , com p rises tw o te rn a ry
form s a n d is sy m m etrical in c o n stru c tio n (see D iagram 2 .2 for th e form al
stru c tu re ).
B ra h m s's "F-A-F" m o tto is clearly sta te d a t th e o u tse t (see E xam ple
2.1). T his m u sical m otto is ad o p ted by B rah m s in resp o n se to Jo a c h im 's
"F-A-E" m otto , w hich s ta n d s for "Frei a b e r einsam " (free b u t lonely). O ne
o f th e m o st fam o u s ap p licatio n o f Jo a c h im 's m o tto is th e "F-A-E" S o n a ta
for violin a n d pian o , w hich w as c o n trib u te d b y D ietrich (first m ovem ent),
S c h u m an n (second a n d fo u rth m ovem ents), a n d B rah m s (th ird
m ovem ent). B rah m ss m otto s ta n d s for "Frei a b e r froh" (free b u t happy).
It is also p re s e n t a t th e o p en in g o f h is S ym phony No. 3 (see E xam ple 2.2).
D iagram 2 .2 Form al S tru c tu re of P iano B allade, Op. 10 no. 2
measure mm. 1-23 mm. 24-50 mm. 51-79 mm. 80-117 mm. 118-149
form A B C B' A'
major tonality DM - (b/B) - D bm BM bm BM - (b/B) - DM
major harmony movement I i/I I-I V -i-V I V/V V-i -V I i/I I-I
relation to the home key I - vi/VI - I vi VI vi VI vi/VI - I
total measure number 23 27 29 38 32
percentage 15.4% 18.1% 19.5% 25.5% 21.5%
<1
0\
77
E xam ple 2.1 Piano B allade, Op. 10 no. 2, m m . 1-2
F#
F#
f! f P fp fe
T he F-A-F m o tto is u se d to se t th e stag e for th e m elody th a t follow s,
to g eth er w ith th e b a s s w h ich alw ays delayed b y h a lf a b e a t T he om ission
o f th e th ird s in th e b a ss in c re a se s th e p o ten tial o f sh iftin g betw een m ajo r
a n d m ino r m odes. F or exam ple, in m m . 10-13, th e first seq u en ce is
s ta te d in m in o r a n d an sw ered in th e m ajo r w ith o u t ch an g in g a n o te in th e
b a ss. T his o stin a to b a ss is sta te d th ro u g h o u t th e en tire A sectio n , except
for a sh o rt b re a k in m m . 14 a n d 16.
E xam ple 2 .2 B ra h m s's S ym phony No. 3 F irst m ovem ent (Allegro con brio)
A s m en tio n ed before, th e A sectio n is in ro u n d ed b in a ry form (see
D iagram 2.3). T he first p a rt, al, c o n sists o f th re e p h ra se s: th e prologue
(F-A-F m otto, m m . 1-2), th e o p en in g g e stu re (m m . 3-6), a n d th e c ad e n tia l
sta te m e n t (m m . 7-9). V arious h arm o n ic m ovem ents o ccu r o n th e to p of
th e b a ss w hile th e c o n siste n t D-A-D b a ss stab ilizes th e h arm o n y o f al in
D m ajor. T he m ain m elody a n d counterm elo d y o f th e o p en in g g e stu re c a n
b e sim plified in to tw o d escen d in g lin es, w hich echo th e d escen d in g five-
n o te m otive o f T hem e II in th e first B allade (see E xam ple 2.3). T he m iddle
p a rt, a2 (mm. 10-17), co m p rises tw o fo u r-b a r p h ra se s, w hich in clu d e tw o
q u e stio n a n d an sw er seq u en ces. A lthough th e key ch an g e a n d th e re g u la r
2+2 p h ra se s o f a2 provide a cle ar se n se o f division from al, th e b asic
stru c tu re o f th e q u e stio n p h ra s e (m m . 10-11) reveals th e shado w o f th e
m ain m elody o f al. B rah m s in g en io u sly h arm on izes th e se tw o sim ilar
m elodies in D m ajo r a n d B m in o r (see E xam ple 2.4). C o n trastin g w ith th e
to n a l sta b ility of al, a2 sh ifts betw een B m in o r a n d B m ajor, a n d finally
m o d u lates b a c k to D m ajo r th ro u g h th e N eapolitan key o f B m in o r (C
m ajor). T he la s t p h ra se o f th e A sectio n , al' (mm. 18-23), a d o p ts only th e
c ad e n tia l m a teria l from al. It is firm ly e stab lish ed in D m ajor, a s in al,
a n d ex tend ed to six m ea su re s. A gain, like th e tech n iq u e app lied in th e
79
first B allade (Exam ple 1.2a), th e m elody o f th e very la s t tw o m e a su re s of
ai' is th e p rolo n g atio n o f th e m iddle voice of th e la s t m e a su re in al (m. 9).
D iagram 2 .3 d e ta il s tru c tu re o f A sectio n
measure 1-9 10-17 18-23

form al a2 a l
tonality DM bm/M- DM DM
harmony I_ -V-I iVIViVIN -V -I I -V -I
Ex, 2 .3 o p en in g g estu re o f a i (mm. 3-7), tw o d escen d in g lin e s
m3
mS | H I i ft
6:
f I* r t M ... 2
L 1 t, U ' I *
m
Ex. 2 .4 first tw o m e a su re s o f a2 (mm. 10-11), d escen d in g lin e
' -r 2 ocfeves 2 adfews
i p -n 1
Ik -i | =
S u d d en tem po a n d k ey ch an g e s b re a k th e sm o o th a n d lullaby-like
to n e a n d m ark a new sectio n . S im ilar to th a t o f th e first p ian o B allade,
th e B sectio n of th e seco n d p ian o B allade is c h aracterized by a p o u n d in g
rh y th m (see E xam ple 2.5). T his driving c h a ra c te r h a d a p p ea re d e arlier in
B ra h m s's "Scherzo" m ovem ent of "F-A-E" S o n a ta for V iolin a n d P iano
(1853) (com pare w ith E xam ple 1.5). H arm onically, th e B sectio n is
u n sta b le , a n d follows th e sam e to n a l p la n in a 2 (mm. 14-16): m oving aw ay
from B m inor, th ro u g h C m ajo r (N eapolitan) to D m ajor, a n d finally
re tu rn in g b a ck to B m in o r (see E xam ple 2 .6 fo r th e h arm o n ic
progressions).
E xam ple 2 .5 P iano B allade, O p. 10 no. 2, m m . 2 4 -2 7
81
E xam ple 2 .6 h arm o n ic p ro g ressio n s o f m m . 3 5 -4 3 (B section)
4 -:.:. : ' t * t i - 1e / J ... - ;_ o 'r

te .- 8 -----
$a -H ..............
N: IV IV+ enharmonic
(CM) spelling
bm : v HI6 V7 V7
O ne of th e m o st strik in g d ifferen ces betw een th e A a n d B se ctio n s in th e
seco nd B allade is th a t th e m elody a n d b a s s now m ove a t th e sam e
rh y th m , in ste a d of m oving a t d ifferen t tim es. S ta rtin g from m . 3 6 , th e
th ree -ag a in st-fo u r p olyrhythm e n h a n c e s th e ten sio n a n d b u ild s u p to th e
clim ax o f th is section . Also, it h in ts a t th e upcom ing 6 /4 m eter for th e
n e x t sectio n. (See E xam ple 2.7)
P.36 3
St 1
#3:
r
fii
i
-H
T he m aterial for th e clim ax o f th e B sectio n , w hich also a n tic ip a te s th e
n e x t sectio n , co m p rises tw o elem en ts: th e trip le t m elody d eco rated b y
g race n o te s a n d th e te n o r d o u b lin g th e m elodic n o tes w ith staccatissim o
82
m ark ed o n b o th lin e s (see E xam ple 2.8). T h is m ateria l d o m in ates a lm o st
th e e n tire C sectio n (m m . 51-79), ex cep t th a t th e counterm elody now
m oves in c o n tra ry m otion in th e b a s s a n d all th e staccatissim o m a rk s a re
ch an g ed to staccato (see E xam ple 2.9). O ne o f th e c h a ra c te ristic s th a t
re la te s to b o th th e C a n d A sectio n s is th e su sta in e d to n ic p edal. In th e A
sectio n , th e to n ic o stin a to is su sta in e d for n in e m e a su re s a t th e v eiy
beg inn in g (m m . 1-9) a n d th e en d in g p h ra se (of th e A section) (m m . 18-23)
a s well. W ithin th e C sectio n , th e to n ic p ed al, w hich is su s ta in e d in m m .
5 1 -5 8 a n d 6 8 -7 1 , c re a te s a se n se o f stilln e ss d e sp ite a co n tin u ed se n se o f
h arm o n ic m otion.
E xam ple 2 .8 P iano B allade, O p. 10 no. 2, m m . 4 6 -47
E xam ple 2 .9 P iano B allade, O p. 10 no . 2, m m . 5 1 -5 2
T he C sectio n serv es a s th e m iddle sectio n o f th e in n e r te rn a ry form .
It is c o n tra stin g b o th in c h a ra c te r a n d in to n ality to th e o u te r se ctio n s (B).
T he tem po m ark in g , motto staccato e leggiero, a n d th e c le a r B -m ajor ch o rd
a t th e beg inn in g m a rk th e division. A fter th e rep etitio n o f th e first p h ra se
(m m . 51-58), th e m elody u n fo ld s a s a fo u r-m easu re asce n d in g p h ra se
(m m . 59-62) a n d a five-m easure d escen d in g lin e (m m . 63-67). B etw een m .
59 a n d 6 3 , it m oves to th e m in o r d o m in a n t o f B m ajor, th erefo re
p ro d u cin g th e m in o r so n o rity w ith in th e m ajo r section. At th e e n d of th is
lig h t a n d sta c c a to p a ssa g e (m. 67), B rah m s tra n sfo rm s th e sam e m aterial
in to a legato p a ssa g e a n d ch o rale-lik e sta te m e n t. It is th ic k in te x tu re a n d
ric h in h arm o n y , a n d lead s to th e cad en ce (m m . 68-71) o f th e C section.
How ever, com ing a fte r th e cad en ce is a tra n sitio n (mm. 72-79) lin k in g
b a c k to th e re tu rn of th e B sectio n . The eig h th -n o te figure o f th e
tra n sitio n is ta k e n from a seg m en t th a t first ap p eared in th e left-h an d p a rt
in B sectio n (m. 2 4 ; see E xam ple. 2.5). T h is sta c c a to eig h th -n o te figure
a n tic ip a te s th e driving rh y th m o f th e re tu rn o f th e B sectio n , b u t in a
m u ch lig h ter w ay.
T he m ajo rity o f th e B sectio n (m m . 80-117) is th e sam e a s B
sectio n , ex cep t for th e seco n d p h ra se o f th e B' sectio n (m. 84-88), w hich
differs from th e p a ra lle l p h ra se of th e B sectio n (m m . 28-31) in to n ality
a n d m elodic co n to u r. In ste a d o f rep eatin g th e first sta te m e n t (of th e B'
section) ag ain , a s in th a t o f th e B sectio n , it sh ifts to B m ajo r a n d a lte rs
84
th e sh a p e o f th e m elodic line. How ever, th e a lte rn a tio n d o es n o t ch an g e
th e to n al fu n ctio n o f th e p h ra se . T he p h ra s e th e n c o n tin u e s w ith its
o rig in al id e a (see E xam ple 2 .1 0 for th e co m pariso n betw een m . 28-31 a n d
m . 84-88).
E xam ple 2 .1 0 C om parison betw een m m . 28-31 a n d 8 4 -8 8
W.84- >
It is u n u s u a l th a t th e tra n sitio n a l m ateria l a p p e a rs a g ain a t th e e n d o f th e
B' sectio n . Since th e A sectio n is in D m ajo r a n d th e m iddle (B, C, B)
sectio n s a re in B m ajo r/m in o r, o n e m ig h t ex p ect a to n a l a lte ra tio n w h en
th e tra n sitio n a l m a teria l o c cu rs a g ain (m m . 108-117). However, even
th o u g h th e re is a slig h t h arm o n ic ch an g e, th e tra n sitio n a l p a ssa g e still
le a d s b a c k to th e d o m in a n t o f B m ajo r/m in o r, a n d c re a te s a false to n ality
a t th e b eg in n in g o f th e A' sectio n . T h u s, th e original F-A-F m o tto is now
tra n sp o se d a m in o r th ird dow n (see E xam ple 2.11). Since b o th th e
o p en ing a n d m iddle sectio n s of A' a re now in B m ajo r/m in o r, th e to n ic
o stin a to is ex ten d ed for th irte e n m ea su re s. To conclud e th is ex ten d ed
stru c tu re , B rah m s in tro d u c e s a len g th y coda, w hich is ch arac terize d by
fo u r elem en ts: th e m otto, rh y th m derived from th e m elody in A sectio n ,
th e sy n co p atio n betw een th e b a s s a n d th e m elody, a n d ro llin g ch o rd s.
T he e n tire co d a p re s e n ts a lo n g d escen d in g lin e, a s w as th e c a se a t th e
e n d of th e first p ian o B allade (see E xam ple 2.12).
E xam ple 2.11 P iano B allade, Op. 10 no. 2, m m . 118-119

(m otto tra n sp o se d a m in o r th ird down)
86
E xam ple 2 .1 2 C oda o f P iano B allade, Op. 10 no . 2

RHYTHM derived from A Syncopation
between
MELODY
ROLLING CHORDS and BASS
MOTTO
Z1
W hen S c h u m an n com m ented o n th is B allade, h e w rote "O nly th e
doppio m ovim ento o f th e seco n d d o I n o t u n d e rsta n d ; is n 't it too fast?"4
Indeed, th e m iddle scherzo-like se ctio n h a s a c o n tra stin g c h a ra c te r a n d a
tem po d o ub ly fa s t from th e o u te r lu llaby- a n d song-like sectio n s. D espite
4 From a letter dated on January 6, 1855 to Clara Schumann. Robert Schumanns Briefe:
neue Folge, 2nd ed., ed. F. Gustav Jansen (Leipzig: Breitkopf & Hartel, 1904), 404.
English translation from Parakilas, Ballads Without Words, 143.
seem ing som ew hat o u t of place, th e ir clo se to n a l rela tio n sh ip h o ld s th em
to g eth er. W ithin th e A sectio n , th e im p licatio n s o f B m a jo r/m in o r a re
p re se n t. A nd b o th B m in o r a n d m ajo r a re firm ly e sta b lish e d in th e m iddle
sectio n , a n d th e B m ajo r even c a rrie s over in to th e A' sectio n . It seem s
th a t th e seco n d tra n sitio n in te n tio n a lly fails to m o d u late b a ck to th e hom e
k ey (D m ajor), so th a t a sp ecial effect c a n b e c re ate d w hen th e m ode
ch an g e o c cu rs in th e A' sectio n . Also, w h en th e opening th em e is sta te d in
th e rig h t key (D m ajor) in th e cod a, a stro n g se n se of re tu rn is estab lish ed .
In o th e r w ord s, th e tem po ch an g e c re a te s th e d ram a tic a lte rn a tio n
betw een se ctio n s w hile th e h arm o n ic re la tio n sh ip tie s th e e n tire B allade
togeth er.
88
3) A nalysis o f the third Ballade
Piano B allade, Op. 10 no. 3: Interm ezzo

Tem po m arking: Allegro
M eter: 6 /8
Key: B m inor
Form : A B A '
T he th ird B allade is th e m o st u n u s u a l am ong th e fo u r B allades, n o t
only b e ca u se o f its su b title ap p ea rin g in th e A bschrift, b u t also b e ca u se o f
th e u n iq u e so n o rities fo u n d in e a c h sectio n. It is w ritten in te rn a ry form ,
a s a re th e re s t of th e B allad es, b u t w ith im m ediate rep etitio n of th e A
sectio n a n d a b rie f rec all o f th e m iddle sectio n a s its coda. U nlike th e
secon d B allade, it is c h arac terize d b y scherzo-like o u te r sectio n s a n d a
lyrical trio . T he form al s tru c tu re is show n in D iagram 3 .1 .
D iagram 3.1 F orm al S tru c tu re o f Piano B allade, O p. 10 no. 3
measure mm. 1-42 mm. 43-92 mm. 93-124

form ||: A :|| B A' ||.
tempo---------------------------- I-------------------- Allegro--------- 1
major tonality bm d#m bm bmBM
major harmony movement i V viViv V7 i I
relation to the home key i vi/V --------------- i i 1
total measure number 40+42 50 32
percentage 50% 30.5% 19.5%
T he A sectio n u n fo ld s th ro u g h a b rief in tro d u ctio n o f tw o -m easu re
a b ru p t open fifths. Follow ing th e in tro d u ctio n , th e first sta te m e n t o f th e
p iece (mm, 3-14) is e sta b lish e d b y th re e p a rts: a n ascen d in g g e stu re (mm.
3-6), a d escen d in g g e stu re (m m . 7-9), a n d rh y th m ic d isp lacem en t (m m . 9-
89
14) (see E xam ple 3 .1 , 3.2). The a scen d in g g e stu re is m ade b y segm ented
m elodic lin es, w hich clim b u p seq u en tially w ith th e in te rru p tio n o f open-
fifth c h o rd s in th e b a s s a t th e e n d o f e ac h m easu re. It ta k e s fo u r
m e a su re s to re a c h th e p e a k o f th e lin e a n d tw o m ea su re s for a rap id
d escen t.
E xam ple 3.1 P iano B allade, O p. 10 no. 3, m m . 1-9
ascending gesture
descending gesture
I m m
Reproduced with permission of the copyright owner. Further reproduction prohibited w ithout permission.
90
E xam ple 3 .2 K an o B allade, O p. 10, no. 3, m m . 9 -1 4
U p to th is p o in t, th e coun term elod y e sse n tia lly d o u b les th e m elody a n
octave a p a rt. T he c o n tra ry m otion first a p p e a rs in m m . 9 -1 5, th e p a rt o f
rh y th m ic d isp lacem en t. It c re a te s a g rad u a l ta u t dynam ic a s b o th m elody
a n d counterm elody m ove fu rth e r a p a rt, in p a rtic u la r w hen th e a c c e n ts
a n d hem iola a re em ployed. T h ro u g h o u t th e first sta te m e n t (m m . 3-14),
th e g reat a m o u n t o f n o n -h arm o n ic to n es a n d th e u se o f dim in ish ed
se v en th s e n h an c e th e tu rb u le n t a n d u n sta b le m ood.
In fact, th e u n sta b le m ood is alread y ev iden t in th e in tro d u ctio n .
T he a b ru p t op en fifth, m ark ed staccatissim o, e n te rs a t th e la s t eig h th n o te
o f each m ea su re , w hich c re a te s a h igh degree of m etric am biguity. It is
n o t u n til th e th ird m ea su re , w h ere th e first dow n b e a t o c cu rs, th a t th e
6 /8 m eter becom es clear. It is n o t long, how ever, before rh y th m ic
d isp lacem en t o ccu rs, achieved b y th e p lacem en t o f a c c e n ts o n th e w eak
b e a ts (m m . 9-12). N ot only hav e th e b a r lin e s b een sh ifted , b u t th e
hem iola (m m . 13-14) th a t com es a t th e en d o f th is p a ssa g e also
u n d e rm in es th e e sta b lish e d 6 /8 m eter. In ad d itio n to th e rh y th m ic
am bigu ity , th e open fifth also (om itting th e third) c re ate s to n a l am biguity.
It is n o t u n til th e seco n d n o te o f th e th ird m ea su re th a t it becom es cle ar
th e piece is in B m inor. The d o w n b eat of e ach m ea su re , th o u g h it is
m ark ed w ith a n a cc en t, a c ts a s a n ap p o g g iatu ra (see E xam ple 3.1).
W hen th e opening th em e is re s ta te d ag ain in m . 15, it m oves from
to n ic to m in o r d o m in a n t a n d th e dynam ic level is red u ced to piano. In
ad d itio n to th e difference in to n ality a n d h arm o n ic pro gressio n, th e
re sta te m e n t a c ts a s a v a ria tio n o f th e o pening them e. It also in c lu d e s th e
th re e elem en ts, b u t it ta k e s fo u r e x tra m e a su re s to a sce n d to th e p e a k D#
before ta k in g tw o m e a su re s to d escen d (m m . 15-22). A fter th e d escen d in g
lin e, in m . 2 4 , com es th e rh y th m ic d isp lacem en t again. However, th is
tim e B rah m s d o es n o t ap p ly o ctav es in c o n tra ry m otion, b u t a th in n e r
te x tu re w ith a d o m in a n t p e d al (F#) in th e b a ss. E ven w hen th e o p en in g
th em atic g e stu re reo c cu rs for th e th ird tim e in th e A sectio n , th e d o m in a n t
p ed al re m a in s in e ac h m ea su re . T herefore, it provides a stro n g se n se o f
clo su re for b o th th e re tu rn to th e beg in nin g a n d th e tra n sitio n to th e n e x t
92
sectio n . H ie voice lead in g o f th e closing p a ssa g e (m. 31-38) in th e A
sectio n is p a rticu la rly u n u s u a l (see E xam ple 3.3).
E xam ple 3 .3 C losing o f A section in K an o B allade, O p. 10 n o . 2

(m m . 31-38)
32 36, & 38
' 1 ft
34-
K
-------- m------------------
X %
.<b.- H r # -------..................... ..........
r . . ft
itm ft?
x \) ** x j1 W* & -.W
U , ^
i I ..... ...
Tf
H ie th ird B allade is th e only o ne o u t o f th e fo u r w h ich m a in ta in s a
ste ad y tem po th ro u g h o u t. A lthough th e m iddle sectio n is opp osite in
c h a ra c te r from th e o u te r p a rts , th e tem po do es n o t ch an g e. P e rh ap s th e
m o st strik in g fact a b o u t th e m iddle sectio n is its u se o f th e h ig h reg ister.
In th e m iddle sectio n, th e left h a n d o ccu p ies th e ran g e above m iddle C
n e arly th re e q u a rte rs o f th e tim e. H ie rig h t h a n d sta y s largely in th e a lt
ran g e a n d above.5 H ie four-octave sh ift, from th e la s t c h o rd o f th e A
sectio n to th e first ch o rd o f B sectio n , c re a te s a m y sterio u s a tm o sp h e re
5 H ie pitches lie in one octave above treble staff, which is from gb to f#. The range an
octave higher is called in attissimo.
(see E xam ple 3.4). Also, th e chim ing a n d bell-like ch o rale m elody ch an g es
th e m ood from "dem oniacal" in to p eacefu l a n d e th e rea l.6
8 -------
T h is ch o rale th em e a ctu ally com es from th e id e a in th e A sectio n a n d h a s
b e en sta te d in a n ex tend ed w ay (see E xam ple 3.5).
6 Robert Schumann, when he wrote to Brahms about the third Ballade, suggested the
epithet for it should be "demoniacal." Malcolm MacDonald, Brahms (New York;
Macmillan, Inc., 1990), 86.
N ot only d o es th e h ig h -reg ister so n o rity c re a te a sp ecial m ood, b u t th e
c o n sta n t rep etitio n of th e falling fo u rth in th e counterm elody also c re a te s
a n echo effect. T his h a p p e n s b o th in th e m iddle a n d th e en d o f th e
p h ra se s. T his falling fo u rth is a lso tran sfo rm ed in to a falling fifth a n d
octave. E xam ple 3 .6 show s th e b a sic form s o f th e th re e in terv als.
oc-ftove
A fter a se rie s o f falling o ctav es o n A# (mm. 67-70), th e ch im in g
th em e re c u rs. T he rec u rren c e o f th e ch o rale-lik e th em e tu rn s o u t to b e a
closing m ateria l, ju s t a s th e op en in g th em e becom es th e closing m a teria l
in th e A section . U nlike th e first a p p e a ra n c e o f th e chim ing th em e, th e
b a s s alw ays e n te rs a n eig h th n o te e a rlie r th a n th e m elody, w hich
95
resem b les th e A sectio n o f th e seco n d B allade (see E xam ple 3.7). In
ad d itio n , th e A#, d o m in a n t p ed al p o in t o f D# m inor, c o n tin u e s to th e en d
o f closing sectio n , u n til th e F#, d o m in a n t p ed al p o in t o f B m in o r, ta k e s
over. T he m o d u latio n from D# m in o r to B m in o r is p a rtic u la rly sm ooth.
B rah m s low ers th e fifth o f th e m in o r d o m in a n t in D# m in o r a h a lf ste p
dow n to form th e sev en th (vii) o f B m inor. T hen, th e F# is a d d ed a s th e
b a s s o f th e ch o rd to form th e d o m in a n t sev en th o f B m in o r (see E xam ple
3.8). N ot only is th e re tra n sitio n h arm o n ically sta tic , b u t th e se n se of
s ta s is in its th e m a tic m ateria l also e sta b lish e s q u ite a c o n tra s t to th e A'
sectio n . How ever, th e tw o sectio n s (B a n d A') a re n o t w ith o u t com m on
elem ents. T he single low F# c o n tin u e s to be su sta in e d a n d is c a rrie d over
in to th e A' sectio n for a n o th e r th re e m e a su re s, u n til it is sh ifted a n octave
h ig h er (see E xam ple 3.9).
96

(harm o nic p ro g ressio n from D# m in o r to B m inor)
w.n
d# m inor: v vii/V I
b m inor: vii V7
m .93 &
n r p . r i Vv
P = 1 ^ = i
ft
rv . i
I . f v V
i t t - i l . . y i . J
T he A' sectio n evolves w ith o u t th e th re e sta ccatissim o o p en fifths,
b e c a u se th e rh y th m h a s b e en e sta b lish e d d u rin g th e la s t 12 m e a su re s o f
th e B section . As in th e A sectio n , th e first sta te m e n t o f th e A' sectio n also
in c lu d e s th e asce n d in g g e stu re (m m . 9 3 -96), d escen d in g g e stu re (m m . 97 -
99), a n d rh y th m ic d isp lacem en t p a rt (m m . 99-104). All th e d o w n b eats a re
now harm o n ized . T he cou nterm elody, w hich w as d o u b lin g th e m elody a n
97
octave low er, ch an g e s to slu rs (see E xam ple 3.9). All th e tie s in th e
rh y th m ic d isp lacem en t p a rt a re rem oved. A lthough in m m . 103-104 b o th
h a n d s still c re ate th e se n se o f hem iola, a s it a p p e a rs in its original form ,
now th e y a re stag gered (com pare E xam ple 3 .2 , m . 13 w ith E xam ple 3.10).
E xam ple 3 .1 0 R hythm ic d isp lacem en t p a rt of A' section , m m . 103-104
In th e A sectio n , th e th em atic id e a is sta te d th re e tim es (m m . 3, 15,
31): th e first tim e in to nic, th e seco n d tim e in m inor d o m in an t, a n d finally
in m ajo r d o m in an t. T he seco n d sta te m e n t e sta b lish e s th e d o m in a n t o f B
m in o r a n d th erefo re m ak es th e m o d u latio n to D# m in o r in th e B sectio n a
sm o o th one. In th e A' sectio n , th e th em e is only given tw ice (m m . 9 3 ,
105): th e first tim e in to n ic a n d th e seco n d in m in o r/m a jo r d o m in an t. The
fu n ctio n o f th e seco nd sta te m e n t is to tu rn b a ck to th e to nic. In th is
c o n tex t it is w o rth co m p arin g th e h a rm o n ic fu n ctio n o f th e second
sta te m e n ts in b o th se ctio n s to see how a slig h t chan ge in voice lead in g
a lte rs th e h arm o n ic d irectio n (see E xam ple 3.11).
98
E xam ple 3.11 C om parison o f m m . 15-40 a n d 105-116
LI (A 2J fl a 25-30 3f
%- . I - fr*. 3rrrg- / O
- ~ -i " = tf f i=
p ^
b minor: v III iv 1 I vii LJ V9 I vii7 iii L
N V
to? HO
Trt.ios IQ? JOB ill H2 t / 3 _________115 116
dt
$jaZ
* - i - <g > f i 1E i l EEf i
W
b m inor: v III iv N V I iii
T h is piece co n clu d es w ith a P icardy cad en ce. It n o t only h in ts a t
th e to n a l am b ig u ity in tro d u c ed rig h t from th e beginning, b u t also show s
th e c o n sisten cy in th e m a jo r/m in o r sh ifts th ro u g h o u t th e e n tire set.
A m ong th e u n u s u a l so n o rities B rah m s a p p lies th ro u g h o u t th e piece, th e
cad e n tia l h arm o n ic p ro g ressio n , iii to I, is u n iq u e. T his p ro g ressio n
a p p e a rs a t th e e n d o f b o th A sectio n s a n d sev eral sp o ts in th e B sectio n
(m m . 3 7 -8 , 3 9 -4 0 , 43 , 5 0 , 59, 7 1 , 115-6, 117-8, 119-124). In ste a d o f
h arm o n izin g th e sev en th n o te o f th e scale degree w ith th e d o m in an t,
B rah m s ch o o ses iii. T he dynam ic o f th is h arm o n ic p ro g ressio n is c re a te d
b y th e lead in g to n e m oving a h a lf-ste p u p to th e to n ic a n d th e b a s s o f th e
iii ch o rd a m ajo r th ird dow n to th a t o f I (see E xam ple 3.12). A lthough
b o th tria d s co n ta in tw o com m on n o te s, w ith tw o m oving lin e s, th e so n o rity
d o es n o t rem a in sta tic . T he iii - I p ro g ressio n u n d e rn e a th th e e n tire piece
also ech o es th e to n alities o f th e B sectio n (D# m inor) a n d A' (end in B
m ajor).
E xam ple 3 .1 2 iii - I pro g ressio n
m. 115 m. 117
Above th e iii - I p ro g ressio n , th e frag m en tary m elody in th e co d a
(m m . 119-124) recalls b o th th e p rev io u s sectio n a n d th e p reviou s B allade.
Its rh y th m a n d m elodic c o n to u r a re re m in isc e n t o f th e th e m a tic m ateria l
in th e B sectio n (e.g. m m . 43-44). M oreover, th e p itc h e s o f th e m elody
rec alls th e F-A-F m otto from th e seco n d B allade (see exam ple 3.13).
100
E xam ple 3 .1 3 Piano B allade, O p. 10 no. 3, m m . 121-124
w.
A s m en tio n ed in c h a p te r tw o, th e fin al low F# o f th e seco n d B allade
su g g e sts a co n n ectio n w ith th e b eg in n in g F# o f th e th ird B allade. The
very la s t m elodic n o te F#, o f th e th ird B allade, w hich is fo u r octaves
h ig h er th a n th e low F#, serv es to ro u n d off th e design. T he e n tire B allade
s ta rts w ith a forceful a n d sp irite d en erg y a n d is g rad u ally tran sfo rm ed in to
a piece w ith a lig h t a n d a iry c h a ra c te r. E ven th o u g h th e sam e th em atic
m a teria l re c u rs in th e A' sectio n , th e orig inal energy do es n o t re tu rn . Over
th e co u rse o f th e piece a s a w hole th e re is a g rad u a l p ro cess o f red u c tio n
(see D iagram 3.2). T he A sectio n s ta r ts fo rte, before b ein g red u ced to
piano, a n d finally p ia nissim o . T he B se ctio n c o n tin u e s pia n issim o a n d by
th e en d h a s b een red u c ed to p ia n ississim o . T he A' sectio n , follow ing th e
red u ced dynam ic o f th e B sectio n , b eg in s p ia nissim o a n d clo ses
p ia n ississim o . T herefore, th e la s t o p en fifth so n o rity rec alls th e beginning
101
o f th e piece, b u t only a s a vague recollection, a n d th e la s t m elodic
frag m en t m erely resem b les a n echo in th e a ir (see E xam ple 3 ,1 3 , m . 123).
D iagram 3 .2 d y n am ics o f th e th ird B allade
A Section B Section A' S ection

forte
piano
pianissimo pianissim o-pianississim o pianissimo-pianississimo
102
4) A nalysis o f th e fourth Ballade

Tem po m ark ing : A n d a n te con moto
M eter: 3 /4 & 6 /4
Key: B m ajo r
Form : A B A ' C B '
T he fo u rth B allade conveys th e m o st in te rio r a n d in tro sp ectiv e m ood
o f all, It d o es n o t have th e d ram a tic pow er of th e first B allade, th e lu llab y
like m elody o f th e second B allade, o r th e scherzo-like c h a ra c te r o f th e
th ird B allade. A lthough th e re a re th re e different th em es, one for e ach
sectio n , th e g en eral c h a ra c te r rem a in s sta tic a n d contem plative
th ro u g h o u t. T he th re e th em es divide th e e n tire piece in to five sectio n s: A
B A ' C B ' . T he C sectio n, alth o u g h it so u n d s v eiy different, is a ctu ally a
v a riatio n o f th e A sectio n from th e p ersp ectiv e o f th e ir h arm o n ic
p ro g ressio n s, a n d th e en d in g B' sectio n fu n ctio n s a s a C oda. T herefore,
w h en o ne view s th e C sectio n a s th e ex ten sio n o f th e A' sectio n , a w ell-
b a la n ce d T ern ary Form w ith C oda is form ed (see D iagram 4.1).
T he A sectio n is in ro u n d ed b in a ry form , b u t only th e first p a rt is
rep e ate d (see D iagram 4.2). T he first a n d th e th ird p a rts , a l (mm. 1-16)
a n d a l ' (m m . 27-46), a re in B m ajor, w hile th e m iddle p a rt, a 2 (mm. 17-
26), is in b m in or. T he th em atic m ateria l in th e A sectio n (m arked a s
T hem e A) co m p rises a g entle m elodic lin e over d escen d in g b ro k en ch o rd s.
T he m o st u n u s u a l a sp e c t o f T hem e A is th e o pening sh ift from m in o r to
Diagram 4.1 Formal Structure of Piano Ballade, Op. 10 no. 4
measure
/ \
mm. 1-46 mm. 47-72 mm. 73-88 mm. 89-134 mm. 135-148
form A B A' C B
tempo Andante con moto Piu lento Tempo I Piii lento
major tonality BM-bm-BM BM-d#-F#~BM-d#-BM BM BM -bm-DM -bm GM-bmbm//BM BM
major harmonic movement i-IV i-V V--I I- - v -v - l I- -V- -V i-IV IV i-V 16V - I. -V- iv-i//V- I-iv-I
relation to the home key I i 1 1 iiiVI iiiI I I-----i mbi VIbi------ i//I------------ 1
-
total measure number 46+16 26+8 16 46 14
percentage 36% 20% 9% 27% 8%
\ /
Diagram 4.2 structure and the major harmonic progressions of the A section
m.1-16 17-26 27-46

|J: a l :|| a2 a l' ||
B major: i-IviV -I-i-V iiv- |___ | -Vl7-ii-V V-I-vi-V-i | -V-IV-iv-I
HI IV
103
104
m ajor. The m in o r/m a jo r sh iftin g becom es in effect th e p rin cip al th em e of
th e fo u rth B allade. Also, th e h alf-ste p m ovem ent of th e m elody in th e
o p en in g tw o m e a su re s (m arked a s m otive A) la te r develops in to th e in itial
m elodic m otive o f th e o th e r tw o th em es (see E xam ple 4.1). T he
d escen d in g b ro k en c h o rd s h ave a sim ilar ten sio n -release d esig n to th a t of
th e opening sh ift. T hese b ro k en ch o rd s alw ays s ta rt from th e seco n d
eig h th n o te o f th e m e a su re a n d d escen d u n til th e dow nb eat o f th e n e x t
m ea su re . In m o st c ase s, th e m ain h arm o n y of each m e a su re is achieved
th ro u g h a n u p p e r n eig h b o r to ne. T herefore, w hile th e o pening m inor-
m ajo r p ro g ressio n c re a te s a ten sio n -re le ase effect, th e sam e effect also
a p p e a rs w ith in e a c h falling lin e (see E xam ple 4.2).
E xam ple 4.1 P iano B allade, O p. 10 no. 4, T hem e A (m m . 1-8)
Motive A
falling
accompaniment
105
Exam ple 4 .2 mm. 1-8, sim plified harm onic progression
B m ajor: i
V
In o rd er to echo th e o pening sh ift from m in or to m ajo r, th e la s t
p h ra se of a l b eg in s w ith a sh ift from m ajo r to m inora rev erse
p ro g ressio n from th e beginning. T herefore it n o t only c re a te s a
sym m etrical p ro g ressio n , b u t a lso p re p a re s fo r th e m in o r so n o rity o f th e
n e x t p a rt (a2). T he rh y th m of th e m elody in a2 becom es m ore a g ita te d
th a n th a t of al, w hile th e falling tria d acco m p an im en t re m a in s th e sam e.
Its b asic rh y th m ic p a tte rn is show n below (see E xam ple 4.4). W hen al'
s ta rts , in ste a d o f brin gin g th e o p enin g m elodic lin e b a ck , it a p p e a rs a s
th o u g h B rah m s w a n ts to develop fu rth e r th e m iddle sectio n w ith a new
m elodic id ea. However, tw o m e a su re s la te r, th e 'new 1id e a lea d s sm oothly
to th e seco n d h a lf o f th e opening p h ra se . Indeed, it tu rn s o u t to b e o nly a
slig h t v ariatio n o f th e m ain m elody. O ne p h ra se la te r, in m m . 3 9 -4 0 ,
B rah m s u se s th e sam e g e stu re ag ain , b u t, u n ex p ected ly , it is su b je c t to
developm ent a n d n ever m ak es its w ay b a c k to th e o riginal line. T herefore,
th e opening m in or-m ajo r sh ift only a p p e a rs once (in al) a n d it c ertain ly
m ak e s th e u n iq u e effect.
106
E xam ple 4 .3 R hythm ic p a tte rn o f th e m elody in 3 2
Rhythmic pattern:
J J J IJ J
T he B sectio n , w hich is m ark ed Col intim issim o sentim ento, m a
se n za troppo m arcare la m elodia ("with in tim a te se n tim e n t b u t w ith o u t
m ark in g th e m elody too strongly), c a n b e divided in to th re e p a rts: b l
(mm. 47-54), b 2 (m m . 55-60), a n d b 3 (m m . 61-72). b l c o n sists o f tw o
p h ra se s. T he secon d p h ra se resp o n d s to th e first p h ra se a scale degree
low er. b 2 fu n ctio n s a s th e developm ent of b l , w hich is rh y th m ically m ore
com plicated a n d m ore ch ro m atic. A lthough th e first tw o m e a su re s o f b 3
a re exactly th e sam e a s th o se of b l , th e m elody a n d h arm o n y o f b 3 la te r
u n fo ld s differently (see D iagram 4.3).
D iagram 4 .3 s tru c tu re a n d m ajo r h a rm o n ic p ro g ressio n o f th e B sectio n
m m . 47-54 5 5 -6 0 6 1 -7 2
||: b l :|| b 2 b3 ||
B major: I6-V-I-V-vi V7-I6-V-I-V-vi iiV
D# minoni6-ivVv6 f D# minor: i6-ivVivI ^
F# major: V-I iVviIV
107
The m ain th em e o f th e B sectio n , th em e B, is in th e alto p a rt. It is
su p p o rte d by a tw o -ag a in st-th re e acco m p an im en t in o pen fifth s a n d
octaves. M otive A (half-step m otion), w h ich a p p e a rs a t th e b eg in n in g o f
th e m elodic lin e, ch an g es o n o ccasio n in to w ho le-step m o tion a n d
d o m in ates th e stru c tu re o f th e m elody (see E xam ple 4.5). T he b a sic
rh y th m of th e e n tire th em e B (a h a lf n o te follow ed b y a q u a rte r note) is
ta k e n from th e A sectio n , su c h a s in m m . 3 a n d 4. In th e b 2 p a rt, a
co un term elody is a d d ed in th e te n o r p a rt to co o rd in ate w ith th e m ain
m elody, w here a co m p licated te x tu re is c re a te d by h av in g fo u r d ifferen t
rh y th m ic p a tte rn s sim u lta n eo u sly (see E xam ple 4.6). T he te x tu re o f th e B
sectio n is rem in isce n t o f R obert S c h u m a n n 's R om anzen, O p. 2 8 no . 2
(1839), in w hich th e m ain th em e is also h id d en in th e alto voice a n d
h arm on ized b y a te n o r co un term elod y , to g eth er w ith b ro k en -ch o rd figu res
in th e two o u te r voices.
In ad d itio n to th e obvious difference in to n ality a n d tex tu re , th e
c o n tra st betw een T hem es A a n d B c a n b e also found in th e ir u se o f
d ifferent reg isters. T hem e B, w h ich is w ritte n in th e low er ran g e w ith
th ic k tex tu re, is sta te ly a n d m elancholy, w h ereas T hem e A h a s a n a rra tiv e
th r u s t a n d is tra n s p a re n t in c h a ra c te r, resem b lin g p a rts o f M en d elsso h n's
S on g s W ithout W ords.
108
Exam ple 4 .4 Piano Ballade, Op. 10 no. 4, Them e B

7n. 4? motive A
I T ;;t
+11 ? T *m8
iPPPPPpfffppftf
E xam ple 4 .5 F o u r rh y th m ic p a tte rn s in m m . 55-60
m jjj in
j j
j j' j j j }
n n
W hen T hem e A re tu rn s th e seco n d tim e (m arked a s A' section), it
o nly re c a p itu la te s th e a l p a rt o f th e A sectio n , b u t w ith o u t rep etitio n . The
ex p ressio n m ark in g h a s b een ch an g ed from esp ressivo to dolce. Also, th e
o rig in al a rtic u la tio n , legato, becom es p o rta to , a n d th u s lig h ter in te x tu re .
M ore im p o rtan tly , th e a lte ra tio n in th e falling b ro k en -ch o rd
a cco m p an im en t b re a th e s new life in to th e m elody. H ere, a ll th e n o te s in
th e acco m p an im en t a re sp re a d o u t. T herefore, th e eig h th -n o te rh y th m ic
109
p a tte rn is tran sfo rm ed in to a co m b in atio n o f six te e n th s a n d e ig h th s (see
E xam ple 4 .7 for A' section).
E xam ple 4 .6 B eginning o f A' sectio n , m m . 73-74
rt f , j y
.. V
0 ----
A fter th e 1 6 -m easu re A* sectio n com es a new cho rale-like p a ssa g e (C
section), w hich is divided in to th re e p a rts b y do u ble lin es: c l (m m . 89-
114, see E xam ple 4 .8), C2 (m m . 115-124, see E xam ple 4.9), a n d C l' (m m .
125-134). It c o n tin u e s w ith th e sam e to n ality , B m ajor, from th e A'
sectio n a n d sh ifts to B m in o r in th e m iddle p a rt. A fter a sh o rt m o du latio n
to D m ajor, in th e c l ' p a rt, th is sectio n e n d s o n th e d o m in a n t o f B m in o r
(see D iagram 4.4).
E xam ple 4 .7 P iano B allade, O p. 10 no. 4, T hem e C (m m . 89-93)

motive A
i i i i
m
110
Exam ple 4 .8 Piano Ballade, Op. 10 no. 4, mm. 115-124
D espite differences in te x tu re a n d p h rasin g , th is sectio n is
rem in isce n t o f th e A sectio n . N ot only do th e m otive A a n d its v a ria n ts
a p p e a r freq uen tly, b u t also th e m ajo r h arm o n ic p ro g ressio n of c l a n d c l '
p a ra lle ls th a t o f a l . M ost clearly, C2 b rin g s b a c k th e m elody o f a 2 w ith
o nly som e h arm o n ic a lte rn a tio n . In o rd e r to show th e close in te rio r
re la tio n sh ip betw een th e se tw o sectio n s, d iag ram 4 .5 provides a p h ra se -
b y -p h rase co m p ariso n in h a rm o n ic p ro g ressio n betw een th e a l a n d c l ,
C l' p a rts (see D iagram 4.5).
Diagram 4.4 structure and major harmonic progression of the C section
mm. 89-114 115-124 125-134

It c l || c2 cl*
B major: I-I-vi-V-I-IV-I V-IV-ii-I~V~
B minor: i-ii-i-vi-ii-i6-iv-V/III-III9-VI-ii7-V7 i - V-VI6-N-V
t
D major: I-v-IV-V
Diagram 4.5 Comparison of harmonic progression between al and c l, c2'
Part P h ra se 1 P h ra se 2 P h ra se 3 P h ra se 4 P h ra se 5
_>
CD m m . 1-4 m m . 5 -8 m m . 9 -1 2 m m . 1 3 -1 6
O
O
o
- 5
1m 1m 2mm 1m 1 m 2 mm 1m 1m 2mm 1m 1m 2 mm
ca n n i--------- 1 r.. 7 1 1 ir .........1 M i l l 1
~
O al i----1-----16----16 vig vi7 V/V -V vif V^/IV -viif/V-Vf I--..i-----V7/V-V
3
CD
s
4 V "
T1
C
3-
CD m m . 8 9 -9 3 m m . 9 4 -9 8 m m . 9 9 -1 0 3 m m . 1 0 4 -1 0 7 m m . 1 0 8 -1 1 4

CD
i
- o5
oQ. 1m 1m 3 mm lm lm 3 mm 1m 1m 3 mm 1m lm 2 mm 3 mm 4 mm
a cl ^I-vii7-I-vii3 ---l6 1 'vif -V^vi5-vi7V-----^ 1HvU-vii^ /IV---V3 /VV7IV-iis I-viigI-V^ -16-i^-V/N1 'vf/V-V^ - 16- t v 1
O
3
o Vb
o ni3 *+4
o; ^ W ^ H m3 m3 p5
w
Q. m m . 1 2 5 -1 2 9 m m . 1 3 0 -1 3 4

o
1m 1m 3 ma 1m 1m 3 mm
5 5 cr *i-vii7i-vii /III--III* jvi-vv / ii-rv--y~ v 1
3
C III
c/)/)
o
o
*The arrows indicate the appearance of the motive A at the beginning of that particular measure
either moving up or moving down.
*Wwhole step *m3minor third *p5perfect fifth
112
*H--half step *+4augmented fourth
al is w ritte n in re g u la r fo u r-m easu re p h ra se s. In o rd er to com pare
it w ith C l, in th e d iag ram it is divided in to (1 + 1) + 2 . c l is m o stly w ritte n
in five-m easure p h ra s e s a n d is divided in to (1 + 1) + 3 in th e d iag ram . T he
h arm o n ic p ro g ressio n s in th e first tw o m e a su re s o f e ac h p h ra se a re m ostly
id en tical, except for th e th ird p h ra se s. T he re s t o f th e m e a su re s o f th e
p h ra s e s in c l a re m ostly ex te n sio n s o f th e seco n d h a lf o f th e p h ra se s in
al. A lthough th e cho rale-lik e T hem e C p re se n ts en tirely different
c h a ra c te ristic from th e lyric T hem e A, th e fam iliar h arm o n ic p ro g ressio n
stro n g ly recalls th e so u n d o f th e A sectio n .
D iagram 4 .6 p rov id es a n o th e r p h ra se -b y -p h ra se co m parison
betw een a 2 a n d C 2 . Since th e y sh a re th e sam e m elody, th e m otive A a n d
th e p h ra se s tru c tu re s a re id en tical. T herefore, th e se tw o elem en ts a re
elim in ated in th is diagram . T he m ajo r difference o c cu rs in th e a lte ra tio n
o f th e h arm o n ic rh y th m . In a 2 , th e h arm o n y ch an g es reg u larly by
m ea su re s. However, in C 2 , b e sid es e a c h d o w nbeat, th e h a rm o n ic c h an g e s
alw ays first o c c u r o n th e seco n d b e a t in th e left h a n d a n d co m plete th e ir
re so lu tio n o n th e th ird b e a t in th e rig h t h a n d . Also, th e h a rm o n ic
c h a n g e s o c cu rrin g o n th e seco n d b e a t so m etim es a n tic ip a te th e h arm o n y
o f th e n e x t m e a su re (see D iag ram 4.6).
114
D iagram 4 . 6 C o m parison o f h arm o n ic p ro g ressio n betw een a 2 a n d c 2
part phrase 1 phrase 2

mm 17 18 19 20 21 22 23 24 25 26
a2 i $ vi7 ii7 iv V 7/m V/VI VI7 ii7 V7
mm 115 116 117 118 119 120 121 122 123 124
..6 .,
c2 i-iil 115-16 vi7-ii7 115-16 iv-V7/III V7/III-III9 HI9-VI VI-ii7 ii7 V7
T herefore, by keep in g th e c o n to u r o f th e h arm o n ic pro g ressio n o f
th e A sectio n , c o n siste n t a p p ea ra n c e of m otive A, a n d h av in g th e
recollection o f th e a 2 m elody in th e m iddle p a rt, th e C sectio n p re s e n ts a
co m m en tary o n a l a n d a 2 . Indeed, th e com pletely differen t ch orale-lik e
te x tu re a n d p h ra sin g a n d th e new ly c re ate d m elody in c l a n d C l' do n o t
re s u lt in a fre sh b eg in ning a t all. O n th e c o n tra ry , it flows n a tu ra lly a fte r
th e A' sectio n a n d b rin g s th e q u ality o f a n "old-acquaintance" in to th e
m u sic. M oreover, th e len g th o f th e A' a n d C sectio n s (62 m easu res) m ak es
a p erfect b a la n c e w ith th e A sectio n (also 62 m easu res).
T he C sectio n is follow ed by th e B' sectio n , w hich ap p lies th e
o riginal b 3 m ateria l tra n sp o se d a m ajo r th ird dow n. T his sectio n
fu n ctio n s a s th e co d a o f th e piece, b u t th e re is no clear c ad e n tial feeling
115
u n til seven m e a su re s in to th e sectio n . In m . 141, in ste a d o f en d in g in th e
ste ad y p ace of T hem e B, a su d d e n recollection of T hem e A o ccu rs. The
q u o tatio n o f th e first five n o te s o f T hem e A in te rru p ts th e m elodic line.
A nd w hen th e m elodic lin e re su m e s its cad en ce, a n o th e r in te rru p tio n
o ccu rs. It is w hen th e m elody re su m e s th e sta te m e n t for th e th ird tim e
th a t th e in te rru p tio n ceases. T herefore, th e closing p ro cess is prolonged
b y th e in te rru p tio n a n d a sse rtio n , w hich n o t only provides a closing
fu n ctio n for th e fo u rth B allade, b u t also for th e e n tire set.
As m en tio n ed earlier, th e m a jo r/m in o r sh ift d o m in ates th is piece.
In a d d itio n th e o p enin g sh ift to m ajo r from m ino r, th e m a jo r/m in o r
c o n tra s t is ev iden t betw een p h ra s e s arid sectio n s. For exam ple, w ithin th e
A sectio n, th e m iddle te n m e a su re s (a2) a re in B m inor, w h ereas th e al
and al' sectio n s a re in B m ajor. Also, th e recall o f th e a2 sectio n w ithin
th e C sectio n is in B m in o r, w hile th e tw o sectio n s su rro u n d in g it, a re
b o th in m ajo r keys. Som etim es th e m in o r su b d o m in an t is app lied , w hich
c re a te s a sh ad ow o f th e m in o r so n o rity w ith in a m ajo r key, su c h a s in
m m . 4 4 , 6 9 -7 1 , a s w ell a s th e coda. F u rth erm o re, im m ediate ch an g es of
m ode do n o t m erely h a p p e n in th e begin n ing o f th e piece; exam ples c an
a lso be fo u n d in m m . 13-14, 5 0 a n d 54 (second ending). Also, th e m odal
sh ifts a t cad en ces give th e im p ressio n o f a Picardy th ird , su c h a s a t th e
cad en ce a t th e en d o f th e A sectio n , even th o u g h th e m ajo r key h a s
116
alre ad y b een e sta b lish e d for a b o u t six teen m ea su re s. T he co d a in
p a rtic u la r is full o f to n a l am biguity. It leaves th e e n tire se t w ith a n
u n se ttle d feeling. T he freq u e n t in te rru p tio n o f th e m in or so n o rity w ith in
th e m ajo r p a ssa g e c a u se s th e B -m ajor cad en ce in th e B -m ajor B allade to
so u n d like a P icardy caden ce.
To co n clu d e a piece w ith a s ta tic la s t m ovem ent a s O p. 10 d o es is
n o t w ith o u t p reced en t. T he la s t m ovem ent o f R obert S c h u m an n 's F a n ta sy
in C m ajor, O p. 17 (1839) is su c h a piece. B rah m s's O p. 9 , w hich is
co n tem p o rary to O p. 10, also e n d s in a sim ilar m editative m ood. Its
p e n u ltim a te v ariatio n (no. 15) u s e s m ateria l sim ilar to th e beg inn in g o f th e
fo u rth B allade. It is w ritten in 6 /4 a n d it c o n ta in s a m elodic lin e o n to p o f
a n asce n d in g b ro k en -triad acco m p an im en t. T he m elodic n o tes a re
su sta in e d a n d th e acco m p an im en t s ta rts from th e second eig h th n o te in
th e first m e a su re . In ad d itio n , th e th em e o f O p. 9 is in F# m inor, w h ereas
th e fifteen th v ariatio n is in Gb m ajo r a n d th e six tee n th v ariatio n is w ritten
in F# m ajor. T h is desig n ag ain p a ra lle ls th e m ajo r-m in o r sh ift a n d sev eral
P icardy th ird s fo u n d th ro u g h o u t th e e n tire s e t o f fo ur B allades. T hose
sim ilarities sh ow a close rela tio n sh ip b etw een th e se tw o w orks a n d could
p o ssib ly su p p o rt fu rth e r sp e cu la tio n a b o u t O p. 10's origin, p a rtially a s th e
seco nd volum e o f B latter a u s d em Tagebuch ein es M usikers.
117
Chapter 4 Four B allades As A Unit

"The chief requirements for the creation of a comprehensible
form are logic and coherence. The presentation, development
and interconnection of ideas must be based on relationship."
~ Arnold Schonberg,
Fundamentals o f Music Composition
It w as generally ag reed b y 18th a n d 19th c e n tu ry th e o rists su c h a s
H einrich C h risto p h Koch a n d A dolf B ern h ard M arx, th a t a tru e m u sical
form req u ire s w h oleness, u n ity , logic, coherence, a n d sym m etry, w hich
re la te to th e p rin cip les o f a e sth e tic s. B ased on th is very c riteria, H ugo
R iem ann claim ed th a t u n ity n o t only is e stab lish ed in o n e n ess, b u t also in
diversity. He w rote th a t th e u n ity lies in
"the c o n so n a n t ch o rd , in th e d efinition o f a key, th e

re te n tio n o f a b e a t o r rh y th m , in th e recu rren ce of
rh ythm ic-m elodic m otifs, th e form ation a n d rec u rren c e
o f p re g n a n t th em es; c o n tra st a n d conflict a p p e a r in
ch an g e s o f h arm o n y , d isso n an ce, m o du lation , a lte ra tio n
o f rh y th m a n d m otifs, th e ju x ta p o sitio n of th em es o f
o p p o sin g c h a ra c te r."1
In th e p rev io u s c h a p te r, o ne fin d s th a t each B allade p re s e n ts a n
in d ivid u al c h a ra c te r a n d p o rtra y s e ach diverse sto ry to ld th ro u g h e ac h
u n iq u e design. At th e sam e tim e, how ever, th e re a re sev eral com m on
elem en ts th a t re c u r th ro u g h o u t th e set. B oth th e u n iq u e c h a ra c te ristic s
1 Arnold Whittall, "Form," The New Grove Dictionary o f Music and Musicians, ed. Stanley
Sadie (London, 1980), vol. 6, p. 709. This paragraph has been omitted from the article in
both the 2001 edition and 2005 Grove Music Online.
a n d th e re tu rn in g "them es", no m a tte r w h eth er th ey o ccu r in s tru c tu re ,
to n ality , h arm o n ic prog ression , rh y th m , so no rity, o r m elodic c o n to u r,
c re a te th e in te r-re la tio n sh ip a n d th re a d th e fo u r b allad es to g eth er. In th is
c h a p te r, th e d isc u ssio n will fo cu s o n th e com m on elem en ts fo u n d am o ng
th e fo u r b allad es. A lthough th ey a re called "com m on," th ey do n o t alw ays
a p p e a r th e sam e a s in th e ir o riginal a p p ea ra n c es. Also, som e o f th e
com m on elem en ts c a n b e fo u n d th ro u g h o u t th e e n tire se t, w hile som e a re
sh a re d betw een only tw o o r th re e b allad es. T herefore, th e follow ing
d isc u ssio n w ill be divided in to th re e p a rts accord in g to th e freq u en cy of
th e ir ap p ea ra n c e in Op. 10: th e com m on elem en ts th a t a p p e a r th ro u g h o u t
th e en tire se t, th e com m on elem en ts sh a re d am ong th re e b allad es, a n d
th o se sh a re d betw een tw o b allad es. T he u ltim a te goal is to reveal th e
rela tio n sh ip betw een m u sical id e a s a n d to expose th e p o rtra it o f a
"sufficient bouquet."
1) Four com m on elem ents appeared throughout the entire se t
T here a re fo u r m ajo r com m on elem en ts th a t c a n b e tra c e d
th ro u g h o u t th e fo u r B allades: form al stru c tu re , to n ality , m od al am biguity,
a n d ch orale-lik e p assag e. All fo u r B allad es a re w ritten in te rn a ry form ,
e ith e r sim ple o r com pound. (See T able 1) How ever, th e u n ity in s tru c tu re
d o es n o t im ply m onotony. E ach te rn a ry form is varied in u n iq u e w ays.
T he first B allade is in sim ple te rn a ry form w ith th e incom plete
re c a p itu la tio n o f th e th ird p a rt. T he seco n d B allade is in a w ell-b alanced
119
com p o un d te rn a ry form . T he th ird B allade, th o u g h in sim ple te rn a ry
form , h a s th e first p a rt rep e ate d , th ereb y e n h a n c in g th e gravity o f th e first
p a rt a n d lig h ten in g th e re c ap itu latio n . T he la s t B allade is w ritten in a
fiv e-p art stru c tu re , a n d y e t a sim ple te rn a ry form w ith co d a serves
perfectly for th e b ro ad e r view o f th e stru c tu re .
T able 1 F orm al s tru c tu re s o f th e fo u r B allades
___________________ P a r ti P a rt II P a rt III C oda

B allade No. 1 A B A'
B allade No. 2 A p C p A'
B allade No. 3 A B A'

B allade No. 4 A B A'C B'
In te rm s o f th e to n ality , e ac h B allade a n d sectio n ex h ib its a sim ilar
to n a l p lan . (See T able 2) B esides th e relative a n d p arallel m a jo r/m in o r
k eys, B rah m s also u s e s th ird -re la te d key s, su c h a s from B m ajo r to D#
m in o r a n d G m ajo r to B m inor.
T able 2 R elated to n a l p la n s betw een e a c h B allade a n d sectio n
N o. 1 N o. 2 N o. 3 N o. 4
d m in o r D m a jo r b m in o r B m a jo r
d -D -d D -b-D b--B bB-b-D bd#-b~b-(B l fblB--B-F# -B--BB -b-D -bG -b-B
T able 2 also show s th e freq u e n t a p p licatio n of m a jo r/m in o r c o n tra st
betw een a n d w ith in B allades. T he m a jo r/m in o r c o n tra st betw een th e first
120
a n d th e seco n d B allad es, a s w ell a s th e th ird a n d th e fo u rth B allad es
cre a te s a n in tim ate rela tio n sh ip betw een B allades. F or e ac h n ew key, only
o n e p itc h is ch an g ed . T herefore, to n a l p la n u n fo ld s in a c le a r a n d logical
m an n er. W hat m ak es th e p ro g ressio n even m ore in te re stin g is th e u se o f
th e Picardy th ird a t th e e n d o f th e th ird B allade a n d th e sh ift from m in o r
to m ajo r a t th e beg in nin g of th e fo u rth B allade, w hich rev erses th e
p rog ression from m in o r-m ajo r to m ajo r-m in o r (see E xam ple 1).
E xam ple 1 T onal p la n o f O p. 10
No. 1 No. 2 No. 3 No. 4

/ \
minor
1 m inor (minor| m ajo,
* shows the pitch which is altered or added
T he m odal sh iftin g is n o t only p re s e n t in a b ro ad view o f th e se t, b u t
is also ev id en t betw een p h ra se s, m e a su re s, a n d b e a ts. It is u se d to cre ate
a highly d ram a tic clim ax, su c h a s in m . 41 o f th e first B allade. O n sev eral
occasio n s it also c re a te s a slig h t c h an g e in to n e color, su c h a s in m m . 61
a n d 64 of th e first B allade a n d betw een m m . 14 a n d 15 o f th e th ird
B allade. It is also u se d to m ak e c o n tra st betw een q u e stio n a n d an sw er
p h ra s e s , su c h a s in m m . 10-13 o f th e secon d B allade. In som e in sta n c e s,
th e m odal sh iftin g le a d s to to n icizatio n , su c h a s in m . 32 a n d m . 59 o f th e
121
seco n d B allade. O n o th e r o ccasio n s, th e m o dal sh ifts a d d m ore h arm o n ic
v arieties in to th e m u sic, su c h a s in m m . 1-2 a n d 13-14 o f th e fo u rth
B allade. (For a com plete list o f m odal sh ifts, see T able 3.)
T able 3 L ist o f m odal sh iftin g
No. 1 No. 2
mm. chord mm. chord
26-27 dm -DM 11-12 bm -BM
41 DM -dm 30-32 bm -BM
61 8b 64 AMam 50-51 bm -BM
58-59 F#M -f#m
82-84 bm -BM
106-118 bm -BM
127-130 bm -BM
No. 3 No. 4
mnr chord mm. chord
14-15 F#M -f#m 1-2 bm -BM
46-50 A #M -a#m 13-14 BM -bm
67-71 A #M -a#m 50 A#M -a#m
104-105 F#M -f#m 54 A#M -a#m
112-113 bm -BM 67 G#M -g#m
73 -7 4 bm -BM
8 5 -8 6 BM -bm
110 BM -bm
41 (1st half) EM -em
141 (2nd half) bm -BM
143 bm -BM
In o rd er to in cre ase th e p o te n tia l o f m o dal shifting, B rah m s
in te n tio n a lly em ploys th e so n o rity o f open fifth s a n d octav es to c re a te
m o dal am b ig u ity in a ll fo u r B allades. E xam ples a re ev id en t in th e o stin a to
b a s s in th e A sectio n o f th e seco n d B allade, th e open fifth s in th e A sectio n
122
o f th e th ird B allade, a n d th e octave-figure acco m p an im en t in th e B sectio n
o f th e fo u rth B allade. Also, th e exam ple a t th e e n d o f th e A sectio n in th e
first B allade su b tly b u t in g en io u sly in v ites th e com ing o f th e p a ra lle l m ajo r
key. F u rth erm o re, th e m odal am b ig u ity p o in ts in o n e d irectio n , nam ely
th e u n se ttle d m ood, c o n sta n t ten sio n , a n d e n d le ss longing a n d search in g .
T he ch o rale-lik e p a ssa g e certain ly fu n ctio n s a s a n o th e r re c u rrin g
elem en t in th e e n tire se t. S u ch p a ssa g e s a re lo cated in v ario u s p o sitio n s
o f th e fo u r B allades, In th e seco n d a n d th ird B allades, th ey a p p e a r in th e
m iddle sectio n . T he form er o ccu p ies only a b rief fo u r-m easu re p h ra se ; th e
la tte r ta k e s u p th e e n tire sectio n . In th e first B allade, th e ch o rale-lik e
te x tu re is sta te d w ith in th e beg in n in g sectio n . In th e fo u rth B allade, th e
cho rale-lik e p a ssa g e becom es a p a rt o f th e re c a p itu la tio n o f th e A sectio n.
U nlike th e first a n d th ird B allad es, th e re s t a re w ritte n for low er reg iste rs
a n d convey a feeling o f w arm th a n d o p en n ess. In th e first b allad e, th e re is
a slig h t feeling o f u n e a sin e ss a n d in stab ility , w h ich allow s for am ple
c o n tra st to th e o th e r th em es b o th before a n d after. T he m o st d istin ctiv e
cho rale-like sectio n is in th e th ird B allade, w hose h ig h -p itch so n o rity
c re a te s a novel so u n d . A ccording to H ugo R iem an n 's n o tio n th a t "the
ju x ta p o sitio n o f th em es o f op p osin g ch aracter" c a n signify u n ity , th e se
cho rale-lik e p a ssa g e s, w h ich p re s e n t c o n tra ry c h a ra c te rs w ith in each
B allade, recall e ac h o th e r b y th e ir com m on te x tu ra l c h a ra c te ristic s.
123
M oreover, in th e ir diversified a p p e a ra n c e s, th e u n ity o f th e s e t is
proclaim ed.
2) Two com m on elem ents shared betw een three Ballades
T h ro u g h o u t th e first th re e B allad es, a re c u rre n t h arm o n ic d esig n is
fd u nd , nam ely th e long p ed al p o in t. It a p p e a rs n o t only to p re p a re th e
re tu rn of th e to n ic, a s n e a r th e e n d o f th e m iddle sectio n o f th e first
B allade, b u t also to e sta b lish th e stab ility o f th e sonority, a s in th e m iddle
sectio n o f th e th ird B allade. In m o st c a se s, th e h arm o n ic p ro g ressio n
a ro u n d a n d above th e p ed al p o in t rem a in s active. T herefore, it c re a te s a
c o n sta n t a lte rn a tio n of c o n so n a n t a n d d isso n a n t color, fo r in sta n c e , in th e
m iddle sectio n o f th e seco n d B allade. A n o ther sim ilar effect is th e u s e o f
h arm o n ic o stin a to in th e seco n d B allade, w here th e h arm o n ic sta b ility in
th e b a ss a n d th e alw ay s-m issin g -th ird desig n allow th e u p p e r h arm o n y to
m ove freely. O n th e o th e r h a n d , th e p ed al p o in t o r th e h arm o n ic o stin ato
is ap p lied b o th to fix th e to n a l c e n te r a n d to an im ate th e sonority. (See
T able 4)
T able 4 P edal p o in ts fo u n d in th e first th re e B allades
No. 1 No. 2 No. 3

m m . 48-51 Bb mm. 5 1 -5 8 B m m . 2 5 -3 8 F#
m m . 51 -5 4 Eb mm. 68-71 B m m . 6 7 -7 0 A#
mm. 1-23 D m m . 76-9 6 A# 8 b F#
mm. 118-142 B 8 b D
A n o th er com m on elem en t o c cu rs in th e desig n o f th e m elodic
co n to u r: th e descen d in g -lin e idea. T here a re tw o ty p es o f d escen d in g
id eas; o n e o c cu rs a s p a rt o f th e th em atic m aterial, th e o th e r o c cu rs a s a
p ro ce ss o f rele asin g ten sio n . F or th e first type, a s alread y m en tio n ed in
th e seco n d c h a p te r, it is cle ar th a t th e T hem e II in th e A sectio n o f th e first
B allade is b asically form ed by a d escen d in g five-note m otive (up b e a t to m .
9). Also, in th e seco n d B allade, th e d escen d in g id ea is a p p a re n t a t th e
b eg in n in g sta te m e n t o f th e A sectio n (m m . 3 -4 , 120-121). F or th e th ird
B allade, it a p p e a rs to re sp o n d to a se ries o f ascen d in g seg m en ts a s p a rt of
th e th em e in th e A sectio n (m m . 7-8). T he seco n d type c a n also be fo u n d
in th re e B allades. T h is ty pe a p p e a rs e ith e r a s a tra n sitio n (to release
te n sio n from th e clim ax a n d to develop th e th em atic idea) o r a closing
id ea. In th e first B allade, th e long d escen d in g lin e o c cu rs a fte r th e clim ax
a n d ta k e s fo u rteen m e a su re s (m m . 44-57) to d escen d . In th e seco n d
B allade, it is u se d to prolo n g th e closing id e a (m m . 139-149). As for th e
fo u rth B allade, sev eral d escen d in g lin es fu n ctio n a s b rid g es to c o n n ect one
id e a to a n o th e r, su c h a s in th e m iddle A sectio n . Som etim es, d escen d in g
lin e s a re u se d to close a sectio n , a s a t th e e n d o f C sectio n , o r th e
co m b in atio n o f a rele asin g a n d closing, su c h a s a t th e very e n d o f th e
piece, (see ta b le 5)
125
Table 5 D escending ideas
No. 1 No. 2 No. 3 No. 4

As m m . 8-9 m m . 2 -5 m m . 7-9
th em atic m m . 119- m m . 23-25
m ateria l 122 m m . 35 -36
m m . 97 -9 9
m m . 113-114
As m m . 43 -5 7 m m . 139- m m . 17-18; 19-20;
tra n sitio n (releasin g 149 2 1 -2 6
o r closing tensio n ) (coda) m m . 115-116; 117-
118; 119-124
(developm ental idea)
m m . 65 -7 2
(releasin g tension)
m m . 138-148
(releasin g te n sio n &
closing)
m m . 111-114
m m . 132-134
(closing)
3) Two com m on elem en ts shared betw een two Ballades
In analy zing th e fo u rth B allade, th e one re c u rrin g elem en t is th e
h a lf-ste p m otive, w h ich is resp o n sib le for form ing th e in itia l s tru c tu re of
a ll th e th em es. It do es n o t o rig in ate from th e first tw o m e a su re s o f th e
fo u rth B allade, b u t ra th e r rev eals itse lf in a m ore su b tle w ay in th e
p rev io u s B allade. T he cad en tial h arm o n ic p ro g ressio n , iii to I, w hich
a p p e a rs a t th e e n d of b o th A sectio n s, su p p o rts th e m elody from sev en th
to eig h th scale degree o f e ith e r to p o r in n e r voices. S ince th e iii - I
126
h arm o n ic p ro g ressio n lead s to a u n iq u e so n o rity in th e th ird B allade, th e
h alf-ste p m otion becom es p alp ab le. Also, e ac h m ea su re o f th e ascen d in g
g e stu re in th e A sectio n alw ays s ta r ts from th e h a lf-ste p m otive. A lthough
th e ap p ea ra n c e of th e m otive is alw ays fleeting a n d th e secon d n o te o f th e
m otive is n ev er th e aim o f th e a sce n d in g segm en t, th e h a lf-ste p m otion,
a fte r c o n sta n t rep etitio n , is clearly b ra n d e d o n liste n e rs' e a rs. T herefore,
w h en th e h alf-ste p m otive re c u rs in th e s tru c tu re o f th e th em es in th e
fo u rth B allade, it is a ctu ally a realizatio n o f a shadow y im age from th e
th ird B allade (see E xam ple 3.1 a n d 3 .1 2 for th e h a lf-ste p m otive).
A no th er obvious com m on elem en t is th e q u o tatio n o f th e F-A-F
m otto. It a p p e a rs for th e first tim e a t th e beg in n in g o f th e seco n d B allade
(m m . 1-2), a n d for th e seco n d tim e a t th e e n d o f th e th ird B allade (m m .
121-124). T he form er se ts th e sta g e fo r th e m elody to com e; th e la tte r is
b ro u g h t in a s a n epilogue. N one o f th e m a re p resen te d a s m ain th em atic
m ateria ls, b u t th e y w rap u p th e se tw o B allad es a n d e sta b lish th e se n se of
in te r-relatio n sh ip betw een th em .
T rue u n ity am ong th e B allad es is e sta b lish e d th ro u g h diversity.
W ithout th e s e t o f in te rre la tio n sh ip s, th e d iv ersity w ill b e ju s t a
p atch w o rk . A lthough th e P iano B allades, Op. 10 belong to B ra h m s's early
co m po sitio ns, h is g e n iu s is alre ad y a p p a re n t th ro u g h th e v ariety o f
th em atic m ateria ls a n d th e logic o f th e ir organ izatio n. T he fo u r pieces,
a lth o u g h p e rh a p s n o t com posed to g eth er o r originally in te n d ed to b e p u t
to g eth er, re la te w ith e ac h o th e r in tim ately , a n d y et m an ag e to re ta in th e ir
individuality. How ever, th is w ork do es n o t m erely lead u s tow ard a
su fficien t u n ity , it b rin g s u s on a jo u rn e y in w onder w here th e sto ry is n o t
to ld in w ords, b u t in so u n d .
128
Chapter S Bpilogue-A sto ry has been told

Only what is genuine endures.
~John Daverio, Crossing Paths
W hen W alter B enjam in p u b lish ed h is e ssa y "The S toryteller:
R eflections o n th e W orks o f N ikolai Leskov," h e stim u lated d isc u ssio n o f
th e decline of th e tra d itio n o f storytelling. The a r t o f sto ry tellin g , w ith th e
rise o f m o d em life sty le, "is com ing to a n end." A lthough o u r daily lives
a re su rro u n d e d b y a w ealth o f info rm ation from a ro u n d th e globe, "we a re
p o o r in n o tew o rth y sto ries. T his is b e c a u se n o ev en t a n y lo n g er com es to
u s w ith o u t alread y being sh o t th ro u g h w ith explanation." From
B en jam in 's p o in t o f view, "it is h a lf th e a r t o f storytelling to k eep a sto ry
free from e x p lan atio n a s o n e rep ro d u c es it."1 In o th e r w ord s, th e essen ce
o f sto ry tellin g is to exchange exp eriences. A sto ry teller te lls h is sto ry from
ex p erien ces b a se d o n h is ow n o r o th e rs' re p o rts, a n d re la te s th e
exp eriences to h is liste n ers.
In sp ired by B en jam in 's co ncept, J o h n D averio, in h is la s t book
C rossing P aths, provides a c le a r co m m en tary o n th e te rm "experience". An
"experience" cou ld in d ic a te e ith e r a no tew o rth y in cid en t th a t h ap p en ed a t
1 Walter Benjamin, "The Storyteller: Reflections on the Works of Nikolai Leskov,"

Illuminations: E ssays and Reflections (New York: Schocken, 1969), 89.
129
a p a rtic u la r p lace a n d tim e, o r th e w isdom th a t grow s from c o n tin u o u s
e x p o su re to a c e rta in activity. In G erm an , th e re a re tw o differen t w ords to
e x p re ss th e se tw o m ean in g sE rlebnis a n d E rfahrung, respectively. A
sto ry teller em ploys a sto ry a s th e m ed iu m to trigger th e iso lated m o m en t
{Edebrds) a n d th erefo re to rec all th e m em ory"the c h ain o f tra d itio n
w hich p a sse s a h ap p en in g o n from g en eratio n to generation" (E rfahrung).2
A s for a m u sical sto ry teller, th e m u sica l a llu sio n s certain ly p re s e n t o n e o f
th e v ario u s a p p ro a ch e s to th e "experience of listening." T he m u sica l te x t
provides n o t only a n im m ediate stim u la tio n (Edebrds), b u t a lso a "stylistic
c o n tin u ity betw een th e w ork a t h a n d a n d th e tra d itio n of w hich it
p artak es" (Erfahrung). In o th e r w ords, th e a r t o f m u sical story telling
re s u lts from co m posers' "efforts to p reserv e th e in teg rity o f experience."3
O ne o f th e ir efforts is revealed in th e su ccessive ap p ea ra n c e o f
com p osition s in w hich lQ ^ -ce n tu ry co m p o sers, su c h a s S ch u b ert,
S ch u m an n , M endelssohn, N iels G ade, a n d B rah m s, a d o p t th e epic p o etry
o f O ssian o r lite ra ry referen ces affected b y th is e n th u sia stic m ovem ent.
U ndeniably, B ra h m s's P iano B allad es, O p. 10 belong to th is g ro u p by
v irtu e of th e so n g a llu sio n o f th e first B allade. (The so u rce o f "E dw ard
h a s b een d isc u sse d in th e c h a p te r tw o.) In d efense of th e valu e o f th e
2 Ibid., 98.
3 John Daverio, Crossing Paths (Oxford: Oxford University Press, 2002), 245.
130
incom plete a llu sio n a n d o f th e d ifferen t se ries o f m oods co m p ared w ith th e
o riginal b allad , D averio provides th e follow ing s ta te m e n t
It w ould b e a m istak e for u s to h old th e sto ry teller to th e

stric tu re s o f th e A risto telian p lo t p arad ig m , in sistin g th a t
th e beginning, m iddle, a n d e n d o f h is n a rra tiv e follow
from o n e a n o th e r w ith in exorable logic. O n th e co n trary ,
th e n a tu ra l sto ry teller loves to d ig ress, to lin ger reflectively
o n a p e rtin e n t (an d som etim es im p ertin en t) d etail, to
rem in isce, to d a rt back w ard a n d forw ard in tim e.4
B rah m s in h erite d th e g re a t tra d itio n of storytellin g from S c h u m an n a n d
S c h u b e rt a n d c o n trib u te d trem en d o u sly to th e a rt of m u sical storytelling.
A lthough Op. 10 p re se n ts a n early exam ple o f h is skill in sto ry tellin g, it is
su rely no le ss sig n ifican t th a n h is o th e r w orks w hich ap p ly th e sam e skill.
M oreover, its u n iq u e n e ss a n d im p act is ev iden t w hen co m p ared w ith
m an y p ian o B allad es com posed later.
B rah m s h im self com posed a n o th e r p ian o B allade in G m ino r, Op.
118 no. 3 (1893), ap pro xim ately forty y e ars a fte r O p. 10. It is th e th ird of
a six-piece s e t a n d d o es n o t h av e a defin ite lite ra ry reference. B rah m s
evidently d id n o t w ish to re p e a t w h at h e d id in Op. 10 in th e g en re of
p ian o b allad e for th e re s t o f h is life. M oreover, m an y p ian o b a llad e s
ap p ea rin g a fte r B ra h m s's O p. 10 d o n o t im itate its sty listic id ea s a n d
com p ositional tech n iq u e, eith er. However, th e re a re still en o u g h tra c e s of
B ra h m s's in flu en ce in o th er, la te r p ian o b allad es to en ab le u s to observe
4 Ibid., 245.
131
th e evidence o f co n tin u o u sly p a ssin g o n th e tra d itio n o f m u sica l
storytelling.
O ne su c h piece o f evidence is th e ten d en cy to g ro u p m u ltip le
b a lla d e s to g eth er to form a n in se p ara b le u n it. A lthough th e re a re few,
exam ples c a n still be seen in th e T hree B allad es, O p. 115 (1866) by
S te p h e n H eller (1813-1888) a n d Tw o B allades: H om age to LeoS J a n a ce k
(1981-3) b y G erard S c h u rm an n (1924-). A nother u n p rec ed e n ted
u n d e rta k in g o f B ra h m s's B allad es is to a d o p t a b allad a s th e b a s is for th e
m u sic, a tec h n iq u e also ta k e n u p by la te r com posers, esp ecially th o se
"nationalistic" com posers. F or in sta n c e , th e B allade in Form o f V ariatio n s
o n a N orw egian Folksong (p u b lish ed in 1876), O p. 24 b y E dvard G rieg
(1843-1907) beg ins w ith a th em e b a se d o n a n old N orw egian m elody "The
N ordland yeom an" (see E xam ple 1). G rieg's I balladetone (In B allad Vein),
O p. 6 5 no. 5 (1897) d o es n o t in d icate its folksong reference, b u t p o sse sse s
c h a ra c te ristic s stron g ly suggestive o f folk song. The e n tire b allad e
c o n sists o f only tw o d ifferent m elodic p h ra se s. T he first on e, a n eig h t-
m e a su re sim ple tu n e , is sta te d a t th e begin n ing o f th e p iece a n d is
rep e ate d fo u r tim es w ith a lte ra tio n (see E xam ple 2). T he id e a o f th e
seco n d m elodic p h ra se is derived from th e first o n e a n d is re p e a te d tw ice
over th e c o u rse of th e piece. T h u s, to g eth er th e y form a sim p le s tru c tu re
w ith a n u n a d o rn e d c h a ra c te r. T he ty p ical folk sty le is gen erally sho w n in
fo u r w ays: a re stric te d m elodic ran g e, re d u c ed d ynam ics, stro p h ic
132
s tru c tu re , a n d a m elancholy m ood w ith le ss v irtu o sic w riting. T hese
c h a ra c te ristic s a re m an ifested n o t only in B ra h m s's p ian o B allades, b u t
a lso in G rieg's tw o p ian o B allad es a n d th o se fo lk -based b a llad e s by
com p osers in la te r g en eratio n s.
E xam ple 1 G rieg, O p. 24 o ld N orw egian m elody
UI-_.h
L J s^
ut ir I JL
-I -. r~>---- r
ab -----1---- ---- 5-C-i------ ==l
i-1 *=
CJu l - : : r r
9 * .... -r , j -J |
= -= = 4 ^
#=l V j . ... -i
"
L y --y * ... L. - J
E xam ple 2 G rieg O p. 6 5 n o . 5 I balladetone, m m . 1-8
/ ' 1
J...... ^ - t r -
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/H r -.. . f - ^ 2 frf l= t= s ^f f .... * '1
133
A ntonin D vorak (1841-1904), w ho w as deeply in flu en ced by B rah m s
a n d C zech folk m u sic, also com posed a p ian o b allad e, n a m e d S e lsk d
balada (P easan t ballad). It is th e fifth o f a th irteen -p iece se t, PoeUcke
n a la d y (Poetic T one-P ictures), O p. 8 5 (1889). All th irte e n a re given title s
to d escrib e th e in d iv id u al c h a ra c te rs a s w ell a s th e m ood o f th e m u sic. In
m an y a sp e c ts, th is w ork re c a lls com po sitio n al tec h n iq u e s in B ra h m s's O p.
10. M ost im p o rtan tly , th e e n tire b allad e is w ritte n in Bb m ajo r/m in o r.
T he only key ch an g e is a m odal sh ift. T he m a jo r/m in o r c o n tra st n o t only
o ccu rs betw een sectio n s, b u t also h a p p e n s w ith in th e p h ra se s. F or
exam ple, in m . 6 , th e Bb m in o r, w h ich h a s b een e sta b lish e d for five
m e a su re s from th e beginning, su d d e n ly sh ifts to Bb m ajo r o n th e seco nd
b e a t (see E xam ple 3). Also, th e re a re rh y th m ic d isp lacem en t (su ch a s
hem iola), o p en fifth so n o rities, a n d long p ed al p o in ts fo u n d in th is piece,
w hich also in d ic ate a n in flu en ce from B rahm s.
A n oth er p ian o b allad e th a t show s B ra h m s's in flu en ce is b y th e
G erm an com p o ser o f th e p o st R om antic period, M ax R eger (1873-1916).
H e is d escrib ed a s "a sp iritu a l d e sc e n d a n t of B rahm s" by D onald J .
G ro u t.5 R eger's A quarellen (W ater C olor), O p. 2 5 (1897-8) co m p rises five
p ieces, w ith N ordische B allade b ein g th e fo u rth one. T he title o f th e se t
su g g ests a su b d u e d a n d su b tle so n o rity to th e piece, a n d th is show s in
5 Donald Jay Grout, A History o f Western Music (New York: W. W. Norton & Company,
1988), 771.
134
Exam ple 3 Dvorak, Op. 8 5 no. 5 Selsk a Ballada, mm. 1-25
-"-Mar-.--"--- ,-r....
-fU h 3---- -------- -
4 e _ ! --------
ff f r
7*y> %
qtinrS- ^7"... 'V .... f t - .. r r ~ - ----
* [ _l 1 1 =1 &' =
pf r r
.....
iFrff tW 1 1 * i i_
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life
km
1*=43~
-it*= t = P i
"f---------- f '- j f = -
ff
-pi--------- 4^------: -------- --
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ll
frf j j j - m ........... ....wt----
= fe =
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f e y
th e m elancholy m ood o f th e b allad e. T he o p enin g m elodic lin e is s ta te d in
th e alto voice w ith th e te n o r d o u b lin g a n octave low er, w hich is
rem in isce n t o f th e te x tu re o f th e B sectio n o f B rah m s's fo u rth B allade of
O p. 10. B oth p ieces a re in 6 /4 m eter a n d irre g u la r p h ra se s, w hich a re
also visible in B ra h m s's fo u rth B allade, su c h a s in m m . 9 -1 3 a n d m m . 18-
2 0 , a re fo u n d freq u en tly th ro u g h o u t th e b allad e. M oreover, R eger's
b allad e a p p lies rh y th m ic d isp lacem en t (e.g. m . 32-33) a n d u s e s trip le t
135
fig u res, su c h a s th e co u n term elo dy a g a in st th e m ain m elody from m . 4 8
u n til th e en d . All th e se c h a ra c te ristic s a re fo u n d in B ra h m s's fo u r
B allad es (see E xam ple 4). M ost im p o rtan tly , th e a n c ie n t so n o rity R eger's
b allad e conveys b rin g s th e liste n e rs in to a w orld full o f rem in iscen ces.
T h is is th e in h e rita n c e p a sse d o n b y B rah m s a n d h is p red e ce sso rs to
R eger a n d now to o u r g en eratio n .
E xam ple 4 R eger, O p. 25 no. 4 N ordische B allade, m m 1-9
jf rf m

n ?
*F i i f I ? i l l * f
4 .i ---
f T u S i J U 7&1 Y i f .
m\ ^ - ." 3 J O
V.J1 fl JXX
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JLi p- ^jj t- - - 1-- 1it-

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j ? t r r * t j T * t .f i J i f i J- -
...f i *
T he ab ove-m entioned p ian o b a lla d e s n o t only provide liste n e rs w ith
a fleeting experience o f listen in g , b u t th ey also tra n sfo rm "the m o m en tary
136
in to th e visionary, th e ep h em eral in to th e en d u rin g , th e E rlebrds to
Erfahrung"6, in o th e r w ords, th e a r t o f sto rytelling . In a le tte r from
B rah m s to C lara S c h u m an n , B rah m s w rote: "If th ro u g h m y m u sic I s tir o r
in sp ire o th e rs, th e n I m yself am stirre d a n d in sp ired , m o re a n d m ore, [but]
w h en o th e r rem a in unm oved, o r liste n so superficially, th e n th e fire in m e
is im m ediately cooled."7 W hat o u r g en eratio n a ctu ally se es in th e valu e o f
B ra h m s's O p. 10 d o es n o t reflect w h a t th is piece really is. T he valu e of
th is piece lies in its ab ility to "stir" a n d "inspire" liste n e rs' h e a rts. T he fire
o f th is piece sh o u ld n ev er b e ex tin g u ish ed b y n eglect in th e p iano
rep erto ire. In deed, th e fo u r P iano B allad es, Op. 10 reflect th e effort h e
gave to c o n trib u te to th e dying a r t o f story telling a n d also to stim u la te a n d
in sp ire g en eratio n s to com e.
6 Daverio, Crossing Paths, 249.

7 Styra Avins, Johannes Brahms: Life and Letters (Oxford: Oxford University Press, 1997),
75.
137
Appendix I Brahm s's S cottish tex ts
Lieder Und Rom anzen, Op. 14

(1858)
for solo voice w ith p ian o
No. 2 Vom verwundeten Knaben No. 2 About the Wounded Boy
E s w ollt e in M adchen fru h A girl decided to get u p early

a u fste h 'n a n d ta k e a w alk in th e green
U nd in d e n g ru n e n W ald sp azieren fo rest,
g eh'n .
U nd a ls sie n u n in d en g ru n en A nd a s sh e now e n te re d th e g reen

W ald k am , fo rest,
D a fan d sie e in e n v erw u nd te n sh e fou n d a w o unded boy.
K nabn
D er K nab, d e r w ar von B lu t so ro t, The boy w as all red w ith blood,

U nd a ls sie sic h v erw an d t, w as e r a n d w h en sh e tu rn e d a sid e h e w as
sch o n to t. alread y d ead .
Wo k rieg ich n u n zwei "W here c a n I now find tw o w om en

L eidfraulein, m o u rn ers
D ie m ein fein s Lieb z u G rabe w ho w ill sin g fu n era l c h a n ts for
w einn ? m y beloved?
Wo k rieg ich n u n se c h s "W here c a n I now find six y o u th fu l

R e u te rk n ab n , k n ig h ts
D ie m ein fein s Lieb z u G rabe w ho w ill b e a r m y beloved to h is
tra g n ? grave?
W ie lan g soil ich d e n n tra u e m "How long, th e n , sh a ll I c o n tin u e

g eh 'n ? m o u rn in g ?
B is alle W asser zu sam m en g eh 'n ? U ntil a ll w aters flow to g eth er?
J a , alle W asser g eh 'n n ic h t "Yes, a ll w a ters w ill n ev er flow

zu sam m n to g eth er,
So w ird m ein T ra u e m kein E nde so m y m o u rn in g w ill h av e n o end."
han.
138
No. 3 Murrays Ermordung No. 3 The A ssassination o f

Murray
O H ochland u n d o Sudland! 0 h ig h lan d s, a n d O so u th e rn land!

W as is t a u f e u c h gescheh'n! W hat h a s h a p p en e d u p o n yo u ?
E rsch lag en d e r edle M urray, S lain is th e noble M urray,
W erd n ie ih n w ied erseh 'n , 1 sh a ll n ev er see him ag ain .
O W eh dir! W eh d ir, H untley! O woe to you, w oe to you, H untley!

So u n tre u , falsch u n d k u h n , So faith le ss, false a n d bold;
SoUst ih n z u ru c k u n s b rin g en , y o u m u s t b rin g h im b a c k to u s;
E rm o rd et h a s t d u ih n , y o u h av e killed him .
E in sc h o n er R itter w ar er, He w as a h an d so m e k n ig h t
In W ett- u n d R ingeLauf; in ra c e s a n d to u rn ey s;
Allzeit w ar u n s re s M urray o u r M urray w as a t a ll tim es
Die K rone ob en d 'rau f. th e crow ning ch am p io n .
E in sch o n er R iter w ar er, He w as a h an d so m e k n ig h t

b ei W affenspiel u n d Ball; in w ar gam es a n d b a ll gam es;
e s w ar d e r edle M urray no b le M urray w as everyw here
Die B lum e u b erall. th e ch o icest flow er.
E in sch o n er R itter w ar er, He w as a h an d so m e k n ig h t

in T anz u n d S aiten sp iel; in d a n cin g a n d p lay ing th e lu te ;
A ch, d a ss d e r edle M urray how u n fo rtu n a te th a t noble
D er K onigin gefiel. M urray
w as p leasin g to th e Q ueen!
O K onigin, w irst lang e O, Q u een, over th e c a stle w all

se h 'n u b e r S ch lo sses W all, y o u w ill long gaze
E h' d u d e n sc h o n en M urray before y o u see th e h an d so m e
S ie h st re ite n in dem Tal. M urray
rid in g in th e valley.
139
No. 4 Ein Sonett No. 4 A Sonnet
A ch K onnt' ich , k o n n te v erg essen O h, if I could only, only forget h e r,

sie, h e r b e au tifu l, lovely, loving n a tu re ,
Ih r sch o n es, lieb es, lieblich es h e r glance, h e r friendly m outh!
W esen, I co u ld th e n grow well!
D en B lick, die freu n d lich e Lippe
die!
V ielleicht ich m ochte genesen!
D och a c h , m ein H erz, m ein H erz B u t a h , m y h e a rt, m y h e a rt c an

k a n n e s nie! n ev er do so!
U nd d o ch is ts W ah n sin n , z u A nd y e t it is m a d n e ss to h o p e for
hoffen sie! her!
U nd u m sie schw eben, gib t M ut A nd to hover a b o u t h e r gives
u n d L eben, cou rag e a n d life,
Z u w eichen nie. n ev er to d raw w ay.
U nd d en n , w ie k a n n ich v erg essen A nd th e n , how c a n I forget h e r,

sie, h e r b eau tifu l, lovely, loving n a tu re ,
Ih r sch o n es, liebes, lieblich es h e r glance, h e r friendly m o u th ?
W esen, M uch b e tte r nev er to grow well!
D en B lick, die freu n d lich e Lippe
die?
Viel lieb er nim m er genesen!
140
G esange, Op. 17 (1859)

for w om en's c h o ru s w ith tw o
h o rn s a n d h a rp
No. 4 Gesang aus Fingal No. 4 Song from "Fingal"
W ein a n d e n F elsen d e r W eep o n th e ro ck s o f ro arin g

b ra u se n d e n W inde, w inds,
W eine, o M adchen von Inistore! O m aid o f Inistore! B end
B eug u b e r die W ogen dein th y fa ir h e a d over th e vaves,
sch o n es H au p t,
L ieblicher d u a ls d e r G eist d e r th o u lovelier th a n th e g h o st o f th e
B eige, h ills,
W enn e r u m M ittag a n einem w h en it m oves, in a su n b e am , a t
S o n n e n stra h l noon
U ber d a s Schw eigen von M orven over th e silence o f Morven!
fah rt. H e is fallen! T hy y o u th is low,
E r is t gefallen, d ein Ju n g lin g liegt p ale b e n e a th th e sw ord of
d am ied er, C uthullin!
B leich sa n k e r u n te r C u th u llin s No m ore sh all v alo u r ra ise th y love
S chw ert. to m a tc h th e blood of kings.
N im m er w ird M ut d ein en L iebling
m eh r reizen,
D as B lu t von K onigen zu
vergiessen.
T ren ar, d e r liebliche T ren a r starb ! T ren ar, graceful T ren a r died,
O M adchen von Inistore! O m aid of Inistore!
S eine g rau e n H un d e h e u le n H is grey dogs a re how ling a t hom e;
d aheim ; th e y see h is p a ssin g ghost.
Sie se h n se in en G eist H is bow is in th e h a ll u n stru n g .
vorub erzieh n . No so u n d is in th e h ill o f h is
S ein B ogen h a n g t u n g e sp a n n t in h in d s.
d e r H alle,
n ic h ts reg t sich a u f d e r H aide d e r
R ehe.
141
Three d uets, Op. 2 0 (1858)

for S o p ran o a n d A lto w ith P iano
No. 1 Weg der Liebe, i No. 1 Way o f Love, i
O ver th e m o u n ta in s, over th e
U ber die B erge, u b e r d ie W ellen, w aves,
U n te r d e n G ra b em , u n te r d e n U n d er th e fo u n ta in s, u n d e r th e
Q uellen, g raves,
U ber F lu te n u n d S een , u n d e r floods th a t a re d e e p e st
In d e r A bg ru nd e Steg, w h ich N ep tu n e obey,
U ber F elsen , u b e r H ohen, O ver ro ck s, over h e ig h ts,
Find*t Liebe d e n Weg! Love w ill find o u t th e w ay,
In R itzen, in F a lte n , In rifts w here th e re 's n o p lace

Wo d e r F e u rw u rm n ic h t leigt, for th e glow -w orm to lie,
In H ohlen, in S p a lte n , In cliffs w here th e re 's n o sp ace
Wo die Fliege n ic h t k rie c h t, for re c eip t of a fly,
Wo M ucken n ic h t fliegen w h ere th e m idge d a re n o t v e n tu re
U nd sch liip fen hinw eg, le s t h e rs e lf fa s t sh e lay,
K om m t L iebe, sie w ird siegen If Love com es, h e w ill e n te r
U nd fin d en d e n Weg! a n d so on fin d o u t th e w ay.
S p re ch t, A m or, sei n im m er You m ay esteem h im

Z u fu rc h te n , d a s Kind! a ch ild for h is m ig ht,
L ach t u b e r ih n im m er o r y o u m ay deem h im
Als F lu ch tlin g , a ls b lin d , a cow ard from h is flight,
U nd sc h lie ss t ih n d u rc h Riegel b u t if n e 'e r so close y o u w all h im ,
Vom T aglicht hinw eg; do th e b e s t th a t y o u m ay,
D u rch S c h lo sse r u n d Siegel b lin d Love, if so y o u call h im ,
F in d t Liebe d e n Weg. w ill find o u t th e w ay.
W enn P ho n ix u n d A dler Y ou m ay tra in th e eagle

S ich u n te r e u c h b e u g t, to sto o p to y o u r fist,
W enn D rach e, w en n Tiger o r y o u m ay inveigle
G efallig sic h n eig t, th e p h o en ix o f th e e a st;
D ie Lowin la s s t k rieg en th e lio n e ss, y o u m ay m ove h e r
D en R au b sic h hinw eg; to give o 'e r h e r p rey,
K om m t L iebe, sie w ird siegen b u t y o u 'll n e 'e r sto p a lover,
U nd fin d en d e n Weg! h e w ill fin d o u t th e w ay.
No. 2 Weg der Liebe, ii No. 2 Way o f Love, ii
D en g o rd isch en K noten, C an sk ill d ise n ta n g le

d e n Liebe sich b a n d , th e m e sh e s o f love,
K an n b re c h e n k a n n lo sen o r m o rta l en d eav o u r
ih n ste rb lich e H and ? its to rm e n ts rem ove?
W as m u h t ih r, w as s in n e t Y our crafty d esig n in g
ih r listig en Zw eck? h is a r ts will b etray ,
D u rch w as ih r b eg in n et for in to y o u r schem ing
fin d s Liebe d e n W eg. Love w ill find o u t a w ay.
U nd w ar E r v e n ie g elt, A nd th o u g h y ou confine him

u n d w ar E r v e rk a n n t w ith b o lts a n d w ith b a rs,
S ein N am e versiegelt, a n d th o u g h y o u m align him
u n d n im m er g e n a n n t, a n d m ock a t h is cares,
M itieidige W inde, th e w an d erin g breezes
ih r sc lu p fte t z u m ir, w ould b e a r h im aw ay
U nd b ra c h te t m ir Z eitu n g to m ak e of th y to rm e n ts
u n d b ra c h te t ih n m ir. h is sp o rt a n d h is play.
W arst fern u b e r B ergen, O h w ert th o u oe r m o u n ta in s

w a rst fern fib er'm M eer: o r fa r o 'e r th e se as,
Ich w a n d e rt d u rc h B erge, I'd clim b eveiy m o u n tain ,
ic h schw am m e d u rc h s M eer: I'd c ro ss a ll th e seas;
W arst L iebchen e in S chw albe o r s e rt th o u a b ird
u n d sc h lu p fte st am B ach, o n th e su n lig h ted sp ray ,
Ich , L iebchen, w ar S chw albe to th ee , love, to th e e
u n d sc h lu p fte d ir n a c h . w ould I find o u t th e way.
143
Drel G esange, Op. 4 2 (1861)

fo r six voices a cap p ella c h o ru s
No. 3 Darthulas Grabesgesang No. 3 Dirge for Dar-Thula
M adchen von Kola, d u schlafst! D a u g h ter o f C olla, th o u a r t low!

tJm d ich schw eigen die b la u e n S ilence is a t th e b lu e stre a m s of
S trom e Selm as! S elam a,
Sie tra u re n u m d ich , d e n letzten T ru th il's ra c e h av e failed.
Zweig
v on T h ru th ils Stam m !
W ann e rs te h s t d u w ieder in d ein er W hen w ilt th o u rise in th y b e a u ty ,

S chone? first o f E rin 's m aid s?
S ch o n ste d e r S ch o n en in Erin! T hy sleep is lo n g in th e to m b ,
D u sc h la fst im G rabe lan g en th e m o rn in g d is ta n t far.
Schlaf,
D ein M orgenrot is t fem e!
N im m er, o n im m er, k om m t d ir die T he s u n sh a ll n o t com e to th y b e d

S onne a n d say , "Awake!"
w eekend a n dein e R u h e statte: A w ake, D ar-T hula!
W ach a u f, w ach au f, D arth u la! T he w ind o f sp rin g is a b ro a d ,
F ru h lin g is t d rau sse n ! th e flow ers sh a k e th e ir h e a d s
D ie Lufte sa u se ln , o n th e g reen h ills: th e w in d s
a u f g ru n e n H ugeln, holdseliges w ave th e ir grow ing leaves."
M adchen,
W eben die B lum en!
Im H ain, w allt sp rie sse n d es,
sp rie sse n d e s Laub!
A uf im m er, a u f im m er, so w eiche R etire, O sun!

d e n n , Sonne! T he d a u g h te r o f C olla is asleep .
D em M adchen von Kola, sie S h e w ill n o t com e fo rth in h e r
schlaft! b eau ty :
Nie e rs te h t sie w ieder in ih re r sh e will n o t m ove in th e ste p s of
Schone! h e r loveliness!
Nie sie h st d u sie lieblich w an deln
m ehr.
144
Vier Gesange, Op. 4 3 (1857)

for solo voice w ith p ian o
No. 4 Das Lied vom Herrn von No. 4 The Song o f th e Lord o f
Falkenstein Falkenstein
The Lord o f F a lk en ste in rid e s

E s re it d e r H err von F alk en stein over a b ro ad h e a th .
w ohl u b e r e in b reite Heide. W hat do es h e see sta n d in g in h is
W as sie h t e r a n dem W ege ste h n ? p a th ?
E in M adel m it w eissem Kleide. A girl w ith a w hite d re ss.
"G ott g ru sse e u c h H erm von "G reetings, Lord o f F alk enstein!
F alkenstein! If y ou a re a lo rd o f th e lan d ,
S eid ih r d e s L an ds e in H erre, th e n resto re m y im p riso n ed lover
Ei so gebt m ir w ieder d en to m e
G efangenen m ein for th e h o n o r o f all m aidens."
U m aller Ju n g fra u e n E hre."
"D en G efangenen m ein, d e n geb "I w o n 't release m y p riso n er;

ich n ic h t, h e m u s t ro t in th e tower!
Im T urm m u ss e r verfaulen! A t F alk en stein th e re s ta n d s a d eep
Z u F alk en stein s te h t ein tiefer tow er
T urm , b etw een tw o h ig h w alls."
W ohl zw ischen zwei h o h en
M auren."
"S teh t zu F alk en stein ein tiefer "If a t F alk en stein th e re s ta n d s a

T urm d eep tow er
w ohl zw ischen zwei h o h en betw een tw o h ig h w alls,
M auren, th e n I will sta n d b y th e w alls
So will ich a n die M auren ste h n , a n d h elp h im grieve."
U nd will ih m helfen tra u re n ."
S ie ging d e n T urm w ohl u m u n d S h e w en t a ro u n d a n d a ro u n d th e

w ieder um : tow er:
F einslieb, b ist d u d a rin n e n ? "D arling, a re y o u in sid e?
U nd w enn ich d ich n ic h t se h en A nd if I c a n 't see you,
kann, I'll lose m y m ind."
So kom m ich von m ein en S in n en .
145
Sie gjng d e n T urm w ohl u m u n d S h e w e n t a ro u n d a n d a ro u n d th e

w ieder um : tow er:
D en T urm w ollt sie au fsch liessen : sh e w an ted to u n lo ck th e tow er:
"U nd w enn d ie N acht ein J a h r "And even if th e n ig h t w ere a y e ar
la n d w ar, long,
K ein S tu n d ' ta t m ich v erd riessen ! n o h o u r o f it w ould d is tre s s me!"
"Ei, d o rft ich sch arfe M esser "Yes, if I w ere allow ed to c a rry
tra g n , s h a rp k n ives
W ie u n s e r's H erm se in K nechte, lik e o u r lo rd 's se rv an t,
So ta t ich m it D em voh I w ould fig h t w ith th e Lord o f
F alk en stein F alk en stein
Um m ein en H erzliebsten fechten!" to o b ta in m y sw eeth eart."
"M it e in e r Ju n g fra u fech t ich "I d o n 't fight w ith girls;

n ic h t, th a t w ould b rin g sh a m e u p o n me!
D as w ar m ir ein e Schande! I will give y o u y o u r im p riso n ed
Ich will d ir d ein en G efangn e n lover;
gebn , leave th e c o u n try w ith him ."
Z ieh m it ihm a u s dem L ande.
"Wohl a u s dem L and d a zieh ich "No, I w o n 't leave th e co u n try ;

n ich t, I h a v e n 't sto len an y th in g from
H ab N iem and w as g estohlen; anyone;
U nd w enn ich w as h a b liegen a n d if I h ave left a n y th in g b eh in d ,
la h n , I am en title d to com e a n d g et it
So d a rf ic h s w ieder holen." a g ain .
146
Ballads and Rom ances, Op. 75

(1877)
for tw o voices w ith p ian o
No. 1 Edward No. 1 Edward
D ein S chw ert, w ie is ts von B lu t so W hy is y o u r sw ord so red w ith

ro t? blood,
E dw ard, Edw ard! E dw ard, E dw ard,
D ein S chw ert, wie is ts von B lu t so w hy is y o u r sw ord so re d w ith
ro t, blood
u n d g e h st so tx au rig h e r? O! a n d w hy go y o u so sadly ? O!
O, ich h a b ' g eschlag en m ein en "O, I h ave s tru c k m y falcon d ead ,

G eier to t, m o th er, m o th er,
M u tter, M utter! O , I h ave s tru c k m y falcon d ead ,
O, ich h a b ' geschlag en m ein en a n d I h av e n o o th e r like h im -
G eier to t, O!"
u n d k ein en h a b ich w ie er. O!
Y our falco n 's blood is n o t so red ,
D ein's G eiers B lu t is t n ic h t so ro t, E dw ard, E dw ard,
E dw ard, Edw ard! y o u r falco n 's blood is n o t so red;
D ein's G eiers B lu t is t n ic h t so ro t, m y so n , co n fess th e tr u th to m e
m ein S o h n , b ek en n m ir frei! O! -O !
O! ich h a b ' g eschlag en m ein "O, I h ave s tru c k m y ro a n d ead ,

R o tro ss to t, m o th er , m oth er,
M u tter, M utter! O, I h ave s tru c k m y ro a n d ead ,
O, ich h a b ' g eschlag en m ein a n d it w as so p ro u d a n d
R o tro ss to t, faith fu l - O!
u n d 's w ar so sto lz u n d tre u . O!
D ein R oss w ar a lt u n d h a s t's n ic h t Y our ste ed w as old a n d y o u n e ed it

n o t, n o t,
D ein ro ss w ar a lt u n d h a s t's n ic h t y o u r ste e d w as old a n d y o u n e ed it
n o t, no t;
d ich d ru c k t e in a n d re r som e o th e r grief o p p re sse s y o u
S chm erz. O! - O!
147
O, ich h a b ' g esch lagen m ein en V ater O, I h ave s tru c k m y fa th e r d ead ,

to t, m o th er, m o th er,
M u tter, M utter! O, I have s tru c k m y fa th e r d ead ,
O, ich h a b ' g esch lagen m ein en V ater a n d heavy, heavy is m y h e a rt - O!
to t,
u n d w eh, w eh is t m ein Herz! O!
U nd w as fu r B u sse w illt d u n u n A nd w h a t p en an ce w ill y o u now do,

tu n ? E dw ard, E dw ard,
E dw ard, E dw ard! a n d w h a t p en an ce will y ou now do?
U nd w as fu r B u sse w illt d u n u n My so n , co n fess m ore to m e - O!
tu n ?
M ein S o h n , b e k en n m ir m ehr! O!
A uf E rd en soli m ein F u s s n ic h t O n e a rth m y foot sh a ll n ev er re s t,

ru h n , m o th er, m o th er,
M u tter, M utter! o n e a rth m y foot sh a ll n ev er rest:
A uf E rd en soil m ein fu s s n ic h t ru h n , I will go fa r a c ro ss th e se a - O!
will g eh n te rn u b e rs M eer. O!
U nd w as soil w erd en d ein H of u n d A nd w h a t m u st becom e o f y o u r

H all? h o u se a n d hom e,
E dw ard, Edw ard! E dw ard, Edw ard!
U nd w as soli w erd en d ein H of u n d a n d w h a t m u st becom e o f y o u r
H all, h o u se a n d hom e,
so h e rrlich so n s t u n d sch o n ? O! till now so lordly a n d so fair? - O!
Ich la s s e s ste h n , b is e s sin k u n d I'll le t it sta n d till it d ecays a n d falls,

fall, m o th er, m o th er,
M u tter, M utter! I'll le t it sta n d till it d ecays a n d falls:
Ich la s s e s ste h n , b u s e s sin k u n d I c a n n ev er see it ag ain - O!
fall,
m ag n ie e s w ied erseh n . O!
U nd w as soil w erden d ein W eib u n d A nd w h a t m u st becom e o f y o u r wife

K ind? a n d child,
U nd w as soil w erd en d ein W eib u n d a n d w h a t m u st becom e of y o u r wife
K ind, a n d child
w arm d u g e h st u b e r M eer? O! w hen y o u go a c ro ss th e se a ? - O!
148
D ie W elt is t g ro ss, la s s sie b e tteln T he w orld is w ide, le t th em b eg in

d rin , it,
M utter! M utter! m o th er, m o th er,
D ie W elt is t g ro ss, la s s sie b e tte ln th e w orld is w ide, le t th em beg in
d rin , it;
ich sell' sie nim m erm ehr! O! I sh a ll n ev er see th em m ore - O!
U nd w as w illt d u la sse n d e in e r A nd w h a t will y o u leave y o u r

M u tter te u r? m o th er d ear,
U nd w as w illt d u la s se n d ein er a n d w h a t will y o u leave y o u r
M u tter te u r? m o th er d e ar?
M ein S o h n , d a s sag e m ir! O! Tell m e, m y so n - O!
F lu ch w ill ich e u c h la sse n u n d I'll leave y o u m y c u rse a n d th e

h o llisch F eu 'r, fires o f Hell,
M u tter, M utter! m o th er, m o th er,
F lu ch w ill ic h e u c h la s se n u n d I'll leave yo u m y c u rse a n d th e
h o llisch F eu 'r, fires o f Hell,
D enn Ih r, Ih r rie te t's m ir - O! for y ou it w as w ho b a d e m e do
th e d eed - O!"
Interm ezzo, Op. 117 no. 1 Interm ezzo, Op. 117 no. 1
(1892)
(as a p p e a rs in th e score)
S ch laf sa n ft, m ein K ind, sc h la f Sleep softly, m y ch ild , sleep softly

sa n ft u n d schon! a n d well!
M ich d a u e rt's se h r, d ich w einen It grieves m e m u ch to see y o u w eep.
seh n .
(S ch o ttish . A uf H erd ers (S co ttish . From H erd er's F olk Songs)
V olksliedem )
149
Appendix II
The D etailed Form al And Harm onic S tru cture Of
Op. 10
PIANO BALLADE, OP. 10 NO. 1:

DETAILED FORMAL AND HARMONIC STRUCTURE
Form inclusive total tonality brief description

nun mm
A SECTION 1-26 26 iI tempo changes; two thematic materials

Theme I 1-8 8 i-V hollow sonority & sighing motive
first statement 1-3 3 i-V half cadence missing the third
extension 4-8 5 i-V the harmony of V is complete this time
Theme II 9-13 5 in VI sequence; preparation of return to dm
Thane F 14-21 8 i-V /V I only slight change in the cadence
Theme IF 22-26 5 VI-N-iv-I LH melody exchanges with RH
B SECTION 27-59 33 l-V I-N -V development and climax

First statement 27-30 4 I-V triplet figure with Thane II material
Developing idea 31-34 4 I-iii rises chromatically
Extension 35-43 9 ~VIiVI continuously ascending toward the climax
Climax 44-48 5 VIN uses Theme II material
Sequential statement 49-52 4 inN V & I pedals in Eb major
Retransition 53-59 7 Nvii preparation of the Tempo I
A' SECTION 60-71 12 ii Theme II is missing

tf It
Thane I 60-71 12 slight rhythmic variation in LH part
first statement 60-62 3 i-V the third of V is stated in LH
extension 63-66 4 i-V moves toward the cadence
closing 67-71 5 Ii descending melodic line with tonic pedal

mm. mm.
A SECTION 1-23 23 I major/minor mode shift in the middle

First statement (al) 1+9 9 I -I a 2+4+3 phrase
prologue 1-2 2 I functions as the introduction o f song
opening gesture 3-6 4 I-V tonic pedal in the bass constantly
cadential statement 7-9 3 I-IV-V-I irregular phrase to close the first statement
Middle section (a2) 10-17 8 v i-I major/minor shift; bass-omitting 3rd of tonic
1st Q & A sequence 10-13 4 vi-V/vi-VI-V/VI uses the opening felling gesture to develop
2nd Q & A sequence 14-17 4 vi-N/vi-V-I by Cl]C# leads back to D major
Return statement (al) 18-23 6 I-V -I uses the cadential statement for sequence;
2+2+2(extension) phrase
B SECTION 24-50 27 vi sudden change in tonality & themes

First statement 24-31 8 vi: V-iV pounding rhythmic motive
opening statement 24-27 4 If
in lower register
repetition 28-31 4 tt M
adds an octave higher
Developing idea 32-50 19 V l-V/vi many shift; of mode
Is*sequence 32-35 4 VI-N/VI uses the same motive; shift to major
2nd sequence 36-41 6 N/Vl-v-I-V 3 against 4 figure
toward climax 42-46 5 VI: VI-V-I octaves emphasize dominant and tonic
climax 47-50 4 VI: I-V anticipation of grace-note figure & rhythm
C SECTION 51-79 29 VI 6/4 meter; grace-note figure

First statement 51-54 4 VI: I-V contrary melodic lines w/ tonic pedal
Repetition 55-58 4 W
exact repetition o f the first statement
Excursion 59-62 4 v/vi-v-i-rv two lines-parallel first, then contrary
Return 63-67 5 on V long descending line
Cadence 68-71 4 VI: I-V all grace notes are played chordally
Transition 72-79 8 iv-V anticipation of rhythm from B section
151
B* SECTION 80-117 38 vi some changes at die beginning

First Statement 80-88 9 viVI minor/major shift
opening statement 80-83 4 vi same as B section
2nd statement 84-88 5 VI faster harmonic rhythm (every half note)
Development idea 89-107 19 V l-V/vi same as B section
Transition 108-117 10 iv-V still stays in b minor
A SECTION 118-149 32 V I-I same material, but in B major

First statement 118-126 9 V l-V l same as A section
prologue 118-119 2 I introduction in B major
opening gesture 120-123 4 I-V p p indication in m. 122
cadential statement 124-126 3 I-IV-V-I closing the first statement in B major
Middle section 127-134 8 v i-I same as A section
Return statement 135-138 4 I-V 7 cut shorter for coda
Coda 139-149 11 I-IV-vii-I F-A-F motto reappears, extended Coda
152


mm mm
A SECTION 1-42 82 bm rhythmic ambiguity

Introduction 1-2 2 V open 5* missing the third
First statement 3-14 12 i-V scherzo-like characteristic
ascending gesture 3-6 4 i-V unpredictable melodic figure
descending gesture 7-9 3 i-v ii arpeggio down with lower neighbors
rhythmic displacement 10-14 5 vii-i-iv-V accents on weak beats & hemiola
Variation o f first statement 15-30 16 v-N-V longer than the first statement
ascending gesture 15-22 8 v~V/N spends double time to climb up
descending gesture 23-25 3 N -V same structure as the first time
rhythmic displacement 26-30 5 V lighter in texture; V pedal
Closing idea 31-38 8 V harmonizes the down beats of each measure
First ending 38-40 3 (V -i) same rhythm as the opening two measures
Second aiding 38-42 5 V -iii/V repetition of the last two chords
B SECTION 43-92 50 d#m - bm heavenly sonority: both hands in higher

register
First statement 43-49 7 -iv-i-V-i chorale-like with echoes (felling 4*) at the
end
Variation of first statement 50-58 9 W It
slight extension in die middle o f the phrase
Developing idea 59-70 12 m-v sequences; falling 5*and octaves
Closing idea 71-80 10 ~i-v-bm:vii uses mm. 43-44 material to develop
Retransition 81-92 12 hm:V7 constantly switches between higher & lower
register; sets the off-beat pause for the return
of A section
A ' SECTION 93-124 32 bm V pedal still sustains

First statement 93-104 12 i-V lighter in texture than mm. 3-14
Variation of first statement 105-118 14 v-V -i-I moves toward the coda
Coda 119-124 6 BM: iii-I recalls the low F of the beginning and F-A-F
motto of the 2nd Ballade
153

irm inclusive total tonality brief description

mm. mm.
SECTION 1-46 46+16 in B mode mostly four-mm phrases; arch-like

phrase
al 1-16 16 in B major repeats itself
question statement 1-8 8 iIV open cadence
1st half 1-4 4 iI moves to B major through minor mode
2ndhalf 5-8 4 vi-V imitation rhythmically of the first half
answer statement 9-16 8 viIiV still half cadence
Is*half 9-12 4 vi-V similar design of the melodic structure
2ndhalf 13-16 4 I-i-V major/minor shift
a2 (developmental idea) 17-26 10 in B miner turns to minor mode
excursion 17-20 4 iii7 uses the same thematic material
extension 21-26 6 V7 sequential passage
a l 27-46 20 in B major sense of return of a l and closing
recall of question 27-34 8 V -I-V slight alternation of the melody
1st half 27-30 4 V -I leads bade to die opening theme
2ndhalf 31-34 4 vi-V same as first appearance
recall of answer 35-42 8 viIV1 imitation of mm. 27-28
1st half 35-38 4 viIV develops the idea of m. 27
extension 39-42 4 V--IV keeps developing & moves to closing
closing 43-46 ' 4 iv -I minor/major shift; end in B major
SECTION 47-72 26+8 BM-d#m-F#M tempo and meter change; thick texture
bl 47-54 8+8 BM-d#m change to lower registtf with melody in
alto
1st statement 47-50 4 BM: I6-d#m: V a lot of open octaves and fifths
2ndstatement 51-54 4 d#m: v6-F#M: I imitation of the first statement
b2 55-60 6 inF#M/t#m complex rhythmically, chromaticism
b3 61-72 12 in BM & d#m long descending line
b l' 61-64 4 BM: I6-d#m: V/V leads to more melodic development
154
falling phrase 65-68 4 d#m: V7-i starts the descending line from G#
re-transition 69-72 4 bm/BM: V closing and preparation fir the return c
A
A SECTION 73-88 16 in B major variation of a l; slight alternation in

rhythm
C SECTION 89-134 46 BM-bm-DM-hm chorale-like; same tempo as A section

cl 89-114 26 inBM 5-measure phrases
1st statement 89-93 5 I-I contrary lines in both hands
2ndstatement 94-98 5 vi-V same melodic structure as the Is*
statement
escape phrase 99-103 5 I-IV-V-IV-ii a short running away
return 104-107 4 I-(bm :) VI syncopated figure
extension 108-110 3 BM: V16 ascending leap
closing 111-114 4 i6V descending line to close the section
c2 115-124 10 bm: iV7 variation of a2
cl* 125-134 10 iIIIV back to cl thematic material
Is*statement 125-129 5 i- r a transposes to D major
2ndstatement 130-134 5 ra-v descending line at the end
B'SECTION (CODA) 135-148 14 GM -bm-BM recall of B section; long descending lit

recall of partial b3 135-142 8 GM-bm//BM with interruption of al thematic mater
extension 143-146 4 bm//BM: I constantly shifts between major and
minor
closing 147-148 2 BM: I prolongation of tonic
155
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160
VITA
Ting-Chu Heather Shih
tingchushih@ yahoo.com
Current Address
51 C olbom e R d. #6
B righton, MA 0 2 1 3 5
6 1 7 -2 5 4 -1 2 2 6
B om in S hing-C hu, T aiw an, in 1969.
EDUCATION
Boston U niversity, College for th e Arts, B oston, MA
D octor of M usical A rts in P iano P erform ance, 1994-2005
Ohio State U niversity, Columbus, OH

M aster of M usic in P iano P erform ance, 1992-1994
Fu-Jen Catholic U niversity, Taipei, Taiwan

B ach elo r of M usic in P iano P erform ance, 1987-1992
PRINCIPAL TEACHERS
Piano; Organ: Cello;
A nthony d i B o n a v en tu ra M ax M iller C he-M in C hen
Tong-11 H an N ancy G ra u e rt S h ih -L an H siu ng
R ich ard T etley-K artdos
R osem ary P la tt
D onald G ren
M ichael D ellinger
TEACHING ASSISTANTSHIP
Boston U niversity, Boston, MA, 1996-2000
In stru c to r, G ro u p K an o M U 151-153, College o f Fine A rts
d u tie s in cluded:
te a c h b o th u n d e rg ra d u a te a n d g ra d u a te s tu d e n ts
w ith a n d w ith o u t m u sic b ack g ro u n d
te a c h from b eg in n ers to ad v an ced levels
161
m u sic th eo iy , k ey b o ard h arm on y , p ian o en sem b le

c la ssic al a n d p o p u la r sty les
Ohio State U niversity, Columbus, OH, 1994-95

P riv ate P iano In stru c to r, P iano D ep artm en t
TEACHING EXPERIENCE
IP Piano School, B oston, MA, 1998-2000
(A ssociated B oard O f T he R oyal Schools O f M usic)
C oncerto C om petition C oach
p rep a re s tu d e n ts for C oncerto C om petitions
s a t o n p a n e l o f ju d g e s for th e 2 0 0 0 C oncerto
C om petition
Private Studio, B oston/m etro area, MA, 1988-present

s tu d e n ts ran g e from 4 to 35 y e a rs o f age
tea ch in g know ledge o f b eg in n ers to ad van ced levels
HONORS AND AWARDS

F in a list, A nne a n d A aron R ichm ond C om petition,
B oston U niversity, B oston, MA, 2 00 0
F in alist, C oncerto C om petition, B oston U niversity,
B oston, MA, 2 0 0 0
T zu -C h i B o ud d hism A rt S ch o larsh ip , 1991
C h o u -S h ih S ch o larsh ip , 1990
W inner, first Prize, P iano C om petition,
Long-A nn E lem en tary School, T aipei, 1980
SELECTED PERFORMANCE EXPERIENCE

Solo perform ance
C o n cert H all, B oston U niversity, B oston, MA. 1999, 2 00 0 , 2 00 3 .
P iano D ep artm en t P erform ance C lasses, B oston U niversity,
B o ston, MA. 1995-2002.
P iano D ep artm en t M aster C lasses, B oston U niversity,
B oston, MA. 1995-2002.
W eigel H all A uditorium , O hio S ta te U niversity,
C o lu m b u s, OH, 1993-1995.
K ong-She R ecital H all, T aipei, T aiw an, 1992.
H u e i-Jen H all, T aipei, T aiw an. 1990-1991.
162
Chamber perform ance

T aipei S he-C hiao H all, T aipei, T aiw an, 1991
N ational C on cert H all (R ecital Hall), T aipei, T aiw an, 1991
Piano A ccom panist

6 th B iennial R oodepoort In tern a tio n al E isteddfood
V ocal C om petition o f S o u th A frica, 1991
O p era C h o ru s, T aipei, T aiw an, 1991
MUSIC FESTIVAL
T he P iano In stitu te a t Colby, W aterville, ME, 1995-2002
P ian o F estiv al, u n d e r th e in stru c tio n o f Prof. M enahem P ressler,
In d ia n a U niversity, 1993
MINISTRY EXPERIENCE
S u n d a y School T each er, C hinese B ible C h u rch o f G reater
B o ston, L exington, MA, 1995-96
C h o ir acco m p an ist, C h in ese B ible C h u rch o f G reater B oston,
L exington, MA, 1996-2002
S u n d a y School T eacher, E m eth C hapel, 2 0 0 2 -2 0 0 4
M usic W orship L eader, E m eth C hapel, 2 0 0 3 -p resen t
OTHER ACTIVITIES
C h o ru s acco m p an ist a n d sectio n coach , W eston C om m unity
C h o ru s, W eston, MA, 2 0 0 1 -p resen t
C h u rc h M usic W orkshop, S o u th w estern B a p tist Theological
S em inary, F o rt W orth, TX. 2005

Four Ballades - Song Cycle Without Words

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Four Ballades - Song Cycle Without Words

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BOSTON UNIVERSITY

COLLEGE O F FINE ARTS

THE FOUR BALLADES, OP. 10 OF JOHANNES BRAHMS:

A SONG CYCLE WITHOUT WORDS

TING-CHU HEATHER SHIH

B.M ., F u -Je n C atholic U niversity, 1992

S u b m itted in p a rtia l fulfillm ent o f th e

re q u ire m e n ts for th e degree of

D octor o f M usical A rts

All rights reserved.

ProQuest Information and Learning Company

O ver th e c o u rse of m y d o cto ral stu d y a t B oston U niversity, th e re

h ave b een c o u n tle ss te a c h e rs, staff, a n d frien d s w ho h av e eno rm o usly

in sp ired m e a n d m ad e th e com pletion o f m y stu d y po ssib le. F irst o f all, I

w ould lik e to ex p re ss m y d e ep e st ap p reciatio n to P ro fesso r T hom as P battie

w ho alw ays su p p o rte d m e in eveiy a sp e c t of m y d isse rta tio n a n d still

stim u la te s m y th in k in g w ith h is a b u n d a n t know ledge. W itho u t h is

en co u rag em en t, I w ould n o t have b een ab le to accom p lish th e ta s k . I also

owe en o rm o u s d e b t o f g ra titu d e to m y p ian o tea ch e r, P rofesso r A n thony di

B o n av en tu ra. H is p a tie n t g u id an ce over th e y e ars h a s com pletely

a n d lite ra tu re o f a ll g en res is a n in sp ira tio n to m e. A h e a rtfe lt th a n k s goes

to P rofessor R ich ard C ornell, w ho offered v alu ab le advice in th e w ritin g of

th is d isse rta tio n a n d th e p re p a ra tio n of m y le c tu re recital.

F lirth e rm o re , I w ould like to th a n k L isa B u rn e tt w ho sp e n t m an y

h o u rs going th ro u g h th e e n tire d isse rta tio n a n d m odifying m y w riting. A

sp ecial th a n k s goes to C ath y T sen g w ho help ed m e in ed itin g th e m u sic

exam p les a n d solving m an y co m p u ter problem s. Also, a tru e g rate fu ln e ss

is d u e to J e n n y C h o u w ho h a s b een w alking w ith m e o n th is long jo u rn e y

a n d e n co u rag es m e in all I do.

u n c o n d itio n al love a n d c o n siste n t su p p o rt. W ithout th em , th e

ach iev em ent o f th is degree w ould have n ev er com e tru e . A nd for a ll th e

people w ho hav e influ enced m y life, I give m y m o st sin cere g ra titu d e to m y

Lord, J e s u s C h rist. M ay a ll th e glory a n d h o n o rs give u n to G od.

TING-CHU HEATHER SHIH

B oston U niversity College o f F ine A rts, 2005

M ajor Professor: T hom as P eattie, Ph.D . A ssista n t P ro fessor o f M usic

T he n in e te e n th c e n tu ry saw th e b losso m in g of p rog ram m u sic a n d

th e evolution of its o p po site, so -called "absolute" m u sic. J o h a n n e s

B rah m s rep re se n te d th e g ro u p th a t d efended trad itio n . H is in stru m e n ta l

m u sic clearly b e a rs w itn ess to h is belief in a b so lu te m u sic. However,

"Edw ard." M oreover, som e re c e n t re se a rc h h a s u nco vered a p o ten tial

rela tio n sh ip betw een O p. 10 a n d o n e o f B ra h m s's m issin g com positions,

B la tter a u s d em Tagebuch e in es M usikers, w h ich w as in sp ired by E. T. A.

H offm ann's lite ra ry w orks. T he p u rp o se o f th is d isse rta tio n is to provide a

th o ro u g h ex am in atio n o f th e b ack g ro u n d o f B ra h m s's O p. 10 a n d a

betw een th e fo u r p ieces o f O p. 10. M oreover, by exploring th e e sse n tia l

q u a litie s o f O p. 1 0 ,1 h ope to d e m o n stra te th e c h a ra c te ristic s o f

sto rytellin g in th e s e t a n d th e in flu en ce th e se c h a ra c te ristic s h a d u p o n

C h a p te r O ne tra c e s th e p ian o b allad e to its vocal origin, th e b allad .

T he d isc u ssio n fo cu ses o n its evolution from V olksballade to K unstbaU ade

a n d th e ch allen g es com po sers e n co u n tere d in se ttin g th e te x ts to d iverse

m u sical form s. T he genre o f th e p ian o b allad e first a p p ea re d in th e early

n in e te e n th cen tu ry . A m ong w orks in th e genre, B ra h m s's O p. 10 is

co n sid ered o n e o f th e m o st u n iq u e. C h a p te r Two p re se n ts recen tly

unco vered evidence re la te d to th e B la tter pieces a n d th erefo re tie s all fo u r

pieces to g eth er w ith lite ra ry referen ces. Also, th is c h a p te r su m m arizes

B ra h m s's ph ilo so p h y o f g rou ping sev eral p ieces a s a set. C h a p te r T hree,

w hich is divided in to fo u r p a rts , pro vid es a th o ro u g h a n a ly sis of each

piece w ith m u sica l exam ples. To rem ed y th e div ersity show n in th e

an aly sis, C h a p te r F o u r d isc u sse s th e com m on elem en ts am o n g th e fo u r

B allades a n d e sta b lish e s th e u n ity o f th e se t. Finally, C h a p te r Five rev eals

th e tru e n a tu re of O p. 10 a s a m asterp iece o f storytelling. T his w ork p lay s

a sig n ifican t role in reviving th is dying tra d itio n a n d p a ssin g it dow n to