Barber Concerto Dissertation

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A Style Analysis of Samuel Barbers Concerto for Piano and Orchestra, Op. 38

by

Yoon-Jung Song

Advisor

Dr. David Macbride

This thesis is submitted to the Graduate Committee o f The Hartt School at the

University o f Hartford in partial fulfillment of the requirements

for the degree o f Doctor o f Musical Arts.

October 11, 2004


UMI Number: 3153982

Copyright 2004 by Song, Yoon-Jung

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I HEREBY RECOMMEND THAT THE DOCTORAL THESIS PREPARED UNDER M Y SUPERVISION BY: Yoon-Jung Song

ENTITLED: A Style Analysis of Samuel BarbersConcerto for Piano and Orchestra, Op. 38

BE ACCEPTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DOCTOR OF MUSICAL ARTS DEGREE

Thesis Advisor

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r ^

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To my parents


ABSTRACT

A Style Analysis o f Samuel Barbers

Concerto for Piano and Orchestra, Op. 38

A Doctoral Thesis presented to

the Graduate Committee o f The Hartt School,

University o f Hartford, Connecticut

by Yoon-Jung Song

Samuel Barbers Concerto for Piano and Orchestra, Op. 38 achieved acclaim among the

best concertos written by an American composer, as a result o f its craftsmanship o f

com positional technique and its brilliant contending relationship between the orchestra

and piano solo. The second movement o f the Concerto was composed independently as

the Elegy for flute and piano in 1958. Later, the work was renamed Canzone, and was

orchestrated as part o f the Concerto, published in 1962. The evolution o f the work based

on the second movement offers a great opportunity to evaluate the coherence within the

structure. The formal design and the treatment o f the thematic material throughout the

Concerto are discussed with regard to the influence o f the second movement. I examine

the com positional style o f the work via perspectives derived from tonal orientation,

including pitch structure and internal connections, in conjunction with the rhythmic and

phrase structure. I then explore the relationship between the piano and orchestra via an

investigation o f other parameters including texture, orchestration, timbre, register, and

dynamics. The ultimate goal o f this study is to put forth a convincing interpretation for

performance. This thesis concludes with a summary which brings together the discussion

presented throughout the thesis.


Table of Contents

Acknowledgements-----------------------------------------------------------------------------------------iv

List o f Tables-------------------------------- ------------------- ------- ------------------------------------- v

List o f Examples-------------------------------------------------------------------------------------------- vi

Introduction------------- 1

1. Forms in relation to the Canzone ....... .............------------------------------------------- -8

2. Canzone: M oderato ------------------------------------------------- ----- ------------------ 15

3. First movement: Allegro appassionato---------------------------------------------------------27

4. Finale: Allegro molto-------------------------------------------------------------------------------- 60

5. Further Characteristics in the Relationship betweenthe Solo Piano and O rchestra-----------------------------------------------------------------------84

Conclusion- -.......------------------------------------------------------------------- ---------------109

Bibliography------------------------------------------------------------------------------------------------115


Acknowledgements

First, I would like to express my deepest appreciation to Dr. David Macbride, for

his invaluable guidance during the writing o f this thesis. I especially appreciate his

diligence and willingness to give advice during the summertime. My sincere appreciation

is extended to members of the Committee, Dr. Michael Schiano, Dr. Akane Mori, and

Professor David Westfall for their helpful comments given in the completion o f this

thesis. I am indebted to G. Schirmer Inc., for granting me permission to reproduce

musical examples from Barbers Piano Concerto.

I would like to thank Dr. Ronald Borror for his sincere advice and suggestions

throughout my years at Hartt. I also wish to thank my teacher Dr. Paul Rutman, without

whom I could not have achieved this degree. I am deeply grateful for his continual

support throughout the years.

The completion of this degree at Hartt would not have reached fruition without

support from the faculty, including Dr. Imanuel Willheim who suggested the idea of

writing about Samuel Barbers Concerto. He has been a source o f inspiration to me.

I offer my sincere thanks to my friends, the Rev. Dr. Kun-Soo Choi, Sara Overholt,

and Elizabeth Baumbach, who have encouraged and supported me through many

challenges over the past years. I value their friendships.

Lastly, 1 owe a great debt to my parents, whose love and endless support has

enabled me to complete my degree. I give them my love and appreciation.

iv


List of Tables

Table Page

1. Two-part strophic form o f the Canzone--------------------------------------------------------- 10

2. The first movement in a modified concerto-sonata design---------------------------------11

3. Finale in sonata-rondo fo rm ------------------------------------------------------------------------13

4. Main structural influences o f the Canzone throughout the Concerto------------------- 15

v


List of Examples

Example Page

2.1 II, mm. 1-10-------------------------------------------------------------------------------------------- 16

2.2 II, mm. 1-2; I, R. 2, mm. 1-4; III, R. 8, mm. 1-5----------------------------------- -1 8

2.3 II, R. 1, m. 2--------------------------------------- ------ ------------------------------- - .........-20

2.4 II, R. 1, mm. 3-4--------------------------------------------------------------------------------------- 21

2.5 II, R. 1, mm. 3-4: two linear chromatic counterpoints---------------------- 21

2.6 II, R. 1, mm. 5-6--------------------------------------------------------------------------------------- 22

3.1 II, R. 1, mm. 3-4; I, mm. 1-3, R. 2, mm. 1-4, and R. 9, mm. 1-2;

III, R. 1, mm. 3-7, R. 8, mm. 3-8, and R. 18, mm. 1-5----------------------------- ----- 28

3.2 I, mm. 1-3: thematic figure 1--------------------------------------------------------------------- 30

3.3 I, mm. 1-3: motives----------------------------------------------------------------------------------30

3.4 I, mm. 1-3: two linear counterpoints------------------------------------------------------------ 32

3.5 Key-relationship o f the Concerto----------------------------------------------------------------- 32

3.6 I, mm. 3-4: thematic figure 2-----------------------------------------------------------------------34

3.7 I, mm. 7-8: thematic figure 3----------------------------- 34

3.8 I, mm. 6-7------------------------------------------------------------------------------------------------ 36

3.9 I, mm. 9-11: vertical presentation o f thematic figure 1-------------------- -......... 37

3.10 I, m. 11: motives A, B, and D--------------------------------------------------------------------38

3.11 I, R. 1, mm. 2-3-------------------------------------------------------------------------------------- 38

3.12 I, R. 1, mm. 4-7: chord progression------------------------------------------------------------40

3.13 I, R. 2, mm. 1-9: theme 1------------------------------------------------------------------------- 42

vi


3.14 I, R. 2, mm. 6-9---------------------------------------------------------------------------------------- 44

3.15 I, R. 3, mm. 1-6---------------------------------------------------------------------------------------- 45

3.16 I, R. 3, mm. 5-6------------------------------------------------------------------------- 46

3.17 I, mm. 3-5; I, R. 5, mm. 6-8------------------------------------------------------------------------ 47

3.18 I, R. 9 - R. 10, m. 1: chord progression--------------- 49

3.19 I, R. 9, mm. 1-8; II, mm. 1-9: a comparison o f phrase structure-----------------49

3.20 I, R. 9, mm. 1-2: motive A and 3:3:2 note pattern in theme-2------ -------------------51

3.21 I, mm. 1-3; I, R. 9, m. 1: rhythmic relationship between

thematic figure 1 and theme 2 ------- 52

3.22---- I, R. 22, m. 1-------------------------------------------------------------------- 55

3.23 I, R. 22, mm. 2-4----------- --------------------------------------------- ------------------------57

3.24 Tonal relationships in the first movement --------- 58

4.1 III, m. 1; I, m. 9: motivic connection----------------------------------------------------------- 60

4.2 III, R. 1, m. 1: 3+2 metric pattern----------------------------------------------------------------61

4.3 III, R. 1, m. 1: 2+3 metric pattern-----------------------------------------------------------------62

4.4 III, R. 1, mm. 3-6: chromatic linear motion followed by a minor third---------------63

4.5 III, mm. 1-2; III, R. 1, mm. 3-7---------------------- 63

4.6 III, R. 1, mm. 7-8; III, R. 2, mm. 4-5--------------- 65

4.7 III, R. 5, mm. 1-5----- 66

4.8 III, R. 5, mm. 1-5; III, m. 1: linear presentation of the five-note motive------------ 67

4.9 III, R. 5, mm. 1-3: three-note motive----------------------------------------------------------- 67

4.10 III, R. 8, mm. 1-5---- -69

4.11 III, R. 2, mm. 4-6--------------------------------------------------------------------------------------69

vii


4.12 III, R. 10, mm. 1-6------------------------------------------------------------------------------------70

4.13 III, R. 8, mm. 3-5; III, R. 10, mm. 6-7---------- 71

4.14 III, R. 8-11: circle-of-fifths progression------------------------------------------------------ 73

4.15 III, R. 12, mm. 6-8-------------------------------------------------------------------------------------- 74

4.16 III, R. 15, mm. 1-8------- 75

4.17 III, R. 17, mm. 1-4---------------------------------------------------------------------------------76

4.18 III, R. 17, m. 6 - R . 18, m. 5---------------------------------------------------------------------- 77

4.19 III, R. 20, mm. 1-4-------------------------------------------------------------------------------- 78

4.20 III, R. 22, m. 1; III, R. 8, m. 1--------------------------------------------------------------------79

4.21 III, R. 22, mm. 1-3------------------------------- ------------------------------------------------- 80

4.22 III, R. 22, mm. 1-5---------------------------------------------------------------------------------81

4.23 III, R. 33, mm. 1-4------------------------------------------------------------ -------------------- 82

5.1 I, R. 4, mm. 1-5---------------- 87

5.2 I, R. 21, mm. 2-6-------- 89

5.3 II, R. 3, mm. 1-2----------------------------------------------------------------------------------------90

5.4 I, R. 17, mm. 1-5---------------------------------------------------------------------------------------- 92

5.5 III, R. 8--------------------------------------------------- 95

5.6 I, R. 28----------------------------------------------------------------------------------------------------- 98

5.7 1, R. 6------------------------------------------------ 100

5.8 II, R. 7-8-------------------------------------------------------------------------------------------------- 104

5.9 III, R. 25-6-----------------------------------------------------------------------------------------------106

v ii i


A Style Analysis of Samuel Barbers

Concerto for Piano and Orchestra, Op. 38

Introduction

It has been claimed that Samuel Barbers (1910-1981) music achieved popularity

as a result o f its lyric style and its tonal principles.1 His lyric style is clearly evident in his

early music, as represented in particular by the String Quartet in B minor (1936), the slow

movement o f which is orchestrated as the Adagio fo r Strings. Its poignantly expressive,

sustained melody is quite striking within the 20th century repertoire.

Barber began to assimilate contemporary idioms into his lyric style in the period

before, during, and immediately following World War II. Harmonic range is expanded

drastically in the Violin Concerto (1939-40). Irregular and cross rhythms are incorporated

into the Capricorn Concerto (1944), a concerto grosso for flute, oboe, trumpet, and

strings. Barber refined his style in works such as the Piano Sonata (1949). the third

movement o f which utilizes the twelve-tone technique in an American neo-Classic vein,

and Excursions (1944), which integrates American folk material.

Barbers lyrical and subjective path continued in the late 40s, 50s and 60s, along

with veering moderately toward a more chromatic, angular, and dramatic language.2

Knoxville: Summer o f 1915 (1947) for soprano and orchestra, the ballet The Cave of the

Heart (1946), written for Martha Graham and later rearranged as a tone poem and

renamed Medea's Meditation and Dance o f Vengeance (1955), and his operas, Vanessa

1 Joseph Machilis, Nicolas Slonimsky, and others agree with this sentiment.2 Allan Kozina, Samuel Barber: The Last Interview and the Legacy, part L High F idelity (June 1981),46.

1


(1958), which was awarded Barbers first Pulitzer Prize in 1958, and Anthony and

Cleopatra (1966) commissioned by Metropolitan Opera Company are among the

important pieces o f this period. After composing Knoxville Barber injected more

rhetoric, more drama, and more scope within the framework o f the personal lyricism 3

and synthesized elements that he had developed from the very first. From his earliest

piano piece, Sadness, to the song cycle written near the end o f his career, Despite and

Still, self-expression was inseparable from the compositional process.4

Because o f his lyric expressivism, Barbers music is described as neo-Romantic5

incorporating the aesthetics of 19th century Romanticism, while reinterpreting it via the

use o f contemporary harmonic and rhythmic idioms. However, Barbers musical style

defies being categorized with a single term.

In 1962 Barbers Concerto for Piano and Orchestra, Op. 38 was completed as

commissioned (in 1961) by the music publisher G. Schirmer, and was intended for

performance during the inaugural week o f the Lincoln Center for the Performing Arts in

New York (September 24, 1962). Since then, Barbers Concerto is widely recognized as

an important 20th century example o f the genre. In fact, Barber won his second Pulitzer

Prize for the Concerto in 1963. Jay Harrison reviewed a performance o f the Concerto by

John Browning and New York Philharmonic with Josef Krips conducting, and stated:

T o ta k e th in g s as th e y c o m e to m in d : it is f i rs t o f all a real c o n c e r t o th a t

p la c e s th e so lo is t o n a p e d e s ta l a n d a l l o w s h im to b a k e in s u n l ig h t o f h is o w n

v i r t u o s i ty . . . B u t B a rb e r h a s b e g u n by tu r n in g h is d i f f ic u l t i e s to a m u s ic a l

a d v a n ta g e , to m a k e th e m s e r v e th e c o n te n t o f the w o rk , n o t m e r e ly a p p e a r as

so m a n y e x c r e s c e n c e s s tu c k u p o n it. E v e ry d a z z l in g p h ra s e , e v e r y w i ld - e y e d

J Eric Salzman, ' Samuel Barber: Classical Clarity and Passion. H iF i/S tereo R eview (O ctober 1966), 89.4 B arbara H eym an, Sam uel Barber: The C om poser and His M usic , 5.5 Nathan Broder has termed Barber a n eo-R om ant ic in his article The Music o f Sam uel Barber,(.M usica l Q uarterly, 34, 1948, 325) yet he objected to oversimplifying B arbers music with such a term.

0


scale, every contortionist figuration comes alive as part of the whole and is

not an isolated show of pianistic fancy. Thus, not a measure of the number

detracts from the concerto as an entity.6

His comments on the Concerto reflect his enthusiastic response to the work, and

poetically summarize the style o f the Concerto as not only a highly virtuosic piece for

soloist, but also a balanced discourse between solo and orchestra, where the soloist is the

Romantic protagonist within the context o f the Classical concerto.

Harrison also mentions the melodic theme ....has tunes, which curl in and around

the piece, embrace it, provide it with the added dimension o f emotional richness. They

are mostly romantic in flavor, which is nothing to be said against them, but whether they

are pithy or languorous, they fit in perfectly with the dash and splash that surrounds

n

them. Although the diatonicism prevalent in the Concerto gives tonal allusions, the

work is not structured as the result o f functional harmonic organization. Emphasizing the

use o f the intervallic seconds, sevenths, and the tritone, all o f which produce dissonance,

the Concerto deviates from the Romantic norm in its main themes.

Despite its importance, the Concerto has been the subject o f little theoretical

analysis. Existent analyses seem to miss a true understanding of the Concertos style. In

the twentieth century, chordal structure and harmonic relations are no longer governed by

the axioms o f the major-minor system, but are sometimes based upon a variety of

intervallic arrangements. For this reason composers now may allow their structural ideas

to permeate the total organization, possibly achieving even greater unity than in the

6 Jay Harrison, The N ew York Music Scene. M usica l Am erica, 83 (D ecem ber 1963), 178, 243.7 Ibid, 243.


traditional period.8 Several works o f literature mention the Concerto, but significant

discussion is lacking.9 Some studies place the Concerto in historical context with regard

to American concerti composers or twentieth century composers. However, an analytical

study is obligated to include cohesive and comprehensive aspects o f the work, and these

discussions shed little light on the Concertos stylistic and structural elements, and lack

insight into unifying elements o f the work. For example, Paul Hayden10 concentrates

exclusively on Barbers use o f tonality o f the Concerto, and does not fully acknowledge

other elements that contribute to the structural coherence derived from other parameters.

Analyzing the structure o f the Concerto using solely traditional approaching would

yield unsatisfying analytic results. An in-depth structural discussion is crucial for a

satisfying and revealing interpretation o f the work, especially for performers. This

discussion might suggest the direction o f particular phrases as well as the overall form.

The investigation o f motivic construction in individual phrases is useful in solving

technical problems, in helping memorize the piece, and most importantly, in shaping

phrases dynamically and timbrally.11 In addition, for a true understanding o f the genre, a

thorough investigation o f the relationship between soloist and orchestra is a crucial point.

The title style analysis of this study is defined as following:

T h e id e n t i f ic a t io n o f c h a ra c t e r i s t i c f e a tu re s in th e m u s ic o f c o m p o s e r s a n d

s c h o o l s b y c o m p r e h e n s i v e a n a ly s is o f h a rm o n y , rh y th m , m e l o d y , a n d s o u n d

(all a c o u s t ic a l e l e m e n ts , s u c h as t i m b r e a n d tex tu re ) , as w e l l a s fo rm . W ith in

t h e s e c a te g o r ie s , s ty le a n a ly s is c o n s id e r s all r a m if ic a t io n s a p p r o p r ia t e to th e

m u s ic e x a m i n e d , a p p ly i n g a n a ly t ic a l p r o c e d u r e s in all d im e n s i o n s , f ro m

8 Donald O utturn , The Synthesis o f Materials and Devices in non-serial C ounterpoint. The M usic R eview (M ay 1970), 125.9 The references are included in the Bibliography.10 Paul Hayden, The use o f Tonality in F our C oncertos by A m erican C om posers , 198 1.11 John Rink also refers this aspect in his article Analysis and (or?) Performance. M usica l P erform ance:A G uide to U nderstand ing , 2002.

4


small details to comparisons of whole movements and cycles, and

distinguishing significant from coincidental phenomena by systematic and

consistent frames of reference. This approach, which deals concretely with

the musical notes themselves, complements aesthetic and historical

considerations of style.'2

This study is organized into three large sections. The first section (Chapter 1) will

discuss the formal design for each movement o f the Concerto. The second movement of

the Concerto was composed independently as the Elegy for flute and piano in 1958.13 The

work was renamed Canzone, and Barber decided to orchestrate this piece, and

incorporate it into his Concerto for Piano and Orchestra, Op. 38, published in 196214.

This fact leads one to the assumption that the second movement was composed first, and

structurally influenced the outer movements with regard to the formal design and the

treatment o f the thematic material. The three movements o f the Concerto are seemingly

clear with regard to recognizing the formal designs as the sonata allegro, strophic, and

rondo form due to their explicit rendering o f the themes. However, deviations from the

standard form occur, which will be considered in the first chapter. This will elucidate

what elements influence deviations from the standard form, and Barbers idea o f adapting

the layout o f the canzone as a cohesive element throughout the Concerto.

Formal design and thematic and motivic ideas are inevitably related throughout the

work. However, the thematic and motivic relationships originated from the second

movement will be examined in the second section (Chapters 2 - 4), along with other

structural elements o f the Concerto. Structural relationships in each movement are

12 The H arvard D ictionary o f M usic , 2 nd ed. 812.b R efer to Heyman, 517.14 H eym am notes this in her book, 412.

5


studied in the second section.15 Based on the presumption o f the second movement being

most influential, the chapter for the second movement (Chapter 2) will precede the

discussion o f the first (Chapter 3) and third (Chapter 4) movements. The Concerto will be

examined from many perspectives derived from tonal orientation, including pitch

structure and internal coherence, in conjunction with the rhythmic and formal structure.

There are several recommended analytical methods for post-tonal diatonic works: the

prolongational approach by Schenker and Felix Salzer, Allen Fortes set-structured

theory, the motivic analysis represented by Schoenberg, and methodologies for analyzing

centricity are among the most well known. In this study, voice-leading procedures

combined with motivic analysis will be applied, and different analytical approaches will

be added where deemed appropriate. The analytical study in this section is intended to

define the cohesive elements in structure and style o f the Concerto, in order to suggest a

convincing interpretation for performance.

The third section (Chapter 5 )16 will present further characteristics o f the Concerto

not included in previous chapters. These other parameters include texture, orchestration,

timbre, register, and dynamics. These are among the main factors for determining

structural relationships. This chapter focuses on the relationship between the piano and

orchestra via an investigation o f these parameters, and elucidates Barbers concept o f the

genre.

The concluding chapter will summarize the discussions presented in the previous

chapters, which consists of the elements of coherence within the structure and the

cohesion o f the stylistic amalgam among sharply contrasted movements. It is hoped that

15 Although musical examples are included in this thesis, the use o f the two-piano score is recom m ended while reading this section.16 The use o f the full orchestral score when reading Chapter 5 is recom mended.

6


through this study performers will be provided with greater insight into the style of

Barbers Piano Concerto, and consequently will be more able to make informed

performance decisions.

7


Chapter 1

Forms in relation to the Canzone

Canzone: Moderato

The formal designs o f all three movements in the Concerto are clearly defined by

each movements extensive use o f thematic repetition. This structural unity is derived

from the 16th and 17th century canzone with its characteristic sectional structure involving

repetition. The second movement Canzone is an arrangement of Barbers own Elegy for

flute and piano which was composed a few years earlier than the Concerto. Barber

changed the title to the Canzone due to its formal structure. The original Elegy consists of

three unbalanced phrase groups and a coda in a one-part form. Barber expands this one-

part form via reiteration in the Canzone, which is in a two-part strophic form.

The canzone is an important type o f instrumental music of the 16th and 11th century

originated by a poetic form defined by Dante and made popular by Petrarch, having five

to seven stanzas of identical scheme and often ending with a shorter final stanza

(.commiato)C]1 This form is found in numerous works for instrumental ensembles

((canzona da sonare) that developed into the sonata, concerto, and other multi-movement

genres of the Baroque Era.18 The early 18th century concerto adapted the sectional layout

derived from the canzone, creating the characteristic alternation o f tutti and solo.

The form in the Canzone is modified due to the asymmetrical repetition o f the

phrase in the first section. Therefore, the formal division is obscured by the interpolation

17 The H arvard D ic tionary o f M usic, 4 '1' cd. 148.18 The keyboard canzone, on the other hand, laid the foundation for the fugue.

8


at Rehearsal 2 . 1 call this an interpolation because it does not return in the second

section. Without this interpolation, the formal division o f the Canzone is symmetrical. In

other words, the second section is shorter, and Barber clearly adapts the idea o f commiato

to make a structural point. In fact, the interpolation is a repetition o f the previous six

measures that emphasizes the new melodic contour in the left hand accompaniment at

Rehearsal 1, measures 3-4, which becomes the thematic idea of the Concerto (refer to Ex.

3.1).

Perhaps the most interesting aspect is that a reversed golden-mean proportion19

occurs at the interpolation. This reinforces the position o f the interpolation as the apex of

the movement, and in turn emphasizes its thematic significance throughout the Concerto.

In fact, other analyses have determined the movement as three-part form in which this

segment begins the second main part. However, such analyses do not account for the

unstable tonality at this point or, even more crucially, the repetition. It is the previous six

bars that are repeated in the interpolation, and not the opening theme. This repetition at

Rehearsal 2 preceded by G-sharp begins in D-sharp, and the new D-sharp section is quite

brief (1 measure) and the original key (C-sharp) returns quickly during the presentation

o f the melodic theme. Thus, despite changes in orchestration, the passage is a direct

repeat o f preceding materials and cannot function as the opening o f a second formal

group. The transitory passage leads into the second section (R. 5), and the second section

is restated with the same material with different instrumentation (see the detailed

discussion in Chapter 5). Barbers covert design in two sections is quite ingenious.

19 The golden mean is a proportion used for centuries in art and architecture to obtain aesthetically pleasing designs. ... The resulting fraction is about .618. (Stefan Kostka, M ateria ls a n d Techniques o f Tw entieth-cen tury M usic , 158)

9


In short, orchestration, tonal progression, and thematic material all manifest

strophic form. The formal design with reiterating phrases in each section is shown in

Table 1.

Table 1. Two-part strophic form of the Canzone

Part 1 (Strophe 1: mm. 1-30)

Section Phrase 1 Phrase 2 Transition

Measure num ber 1 2 4 6 8 10 12 16 18 22 24 26

Rehearsal number 1 *2 3 4

Melodic unit (A) A B C A A D A D C + A A(piano flourish)

D (+A +C )

Key C #---------------------------------------G# D#-F# C # ------------------------------------------------------------

Part II (Strophe II: mm. 31-51)

Section Phrase 1 Phrase 2 Link Closing (Coda)

Measure number 31 33 35 36 37 39 43 45 47 49 51

Rehearsal number 5 6 7 8

Melodic unit A B C A A D C + A A(piano flourish)

A (with p ianos arpeggio at m. 48)

D (f lourish)

Key C #----------------------------- G # ~ C # --------------------------------------------------------------------------------

* Interpolation (mm. 16-21)

First movement: Allegro appassionato

The sonata structure, influenced by the Canzone with its asymmetrical phrases

followed by altered repetitions, is evinced in the first movement. Barber adopts this idea

o f repetition from the canzone, and utilizes it throughout all three movements. The

10


sonata-based form is employed for the outer movements, notably with the ritornello-type

passages.

The opening piano solo is a virtuosic display of the main thematic figures, and is

used to punctuate formal divisions throughout the work. Thus, the opening section is not

an introduction due to its reappearance at crucial sectional divisions. Emphasis on the

virtuosic display o f the soloist (both piano solo and solo instruments in the orchestra)

impacts on the Concertos textural, thematic, and tonal organizations.

The first movement follows the basic concerto-sonata design. The thematic

materials o f the opening solo are exclusively utilized in the transitions, coda, and the

development section. These materials are also closely related to the first (R. 2) and

second (R. 9) themes. Therefore, the opening thematic materials which are, interestingly

enough, initiated by the solo piano, can be conceived of as the ritornello o f the concerto-

sonata form. It is interesting to note that the solo cadenza, normally reserved for the end

o f the recapitulation, occurs before the recapitulation. The deviation from the standard

concerto-sonata form in the first movement is shown in Table 2.

Table 2. The first movement in a modified concerto-sonata design

O pening section (P iano solo) [Section 1 :Ritornello 1, Orchestra ritornello]

Section O pening I Opening II

Rehearsal num ber 1

Them atic material Thematic figures 1, 2, 3 Th. Fig. 1, 2

Key E

* The basic outline o f the standard concerto-sonata form in these brackets shows that the opening thematic figures o f the C oncerto have taken on characteristics o f the ritornello in design.

1 1


Table 2 continued

Exposit ion [Section 2: Solo and orchestral exposition]

Section T hem e 1 orchestra

T hem e 1 solo orch.

Transition Theme 2 orchestra

T ransi tion

Rehearsalnum ber

2 R.3, m.7 R.4, m .6 6 9 11

Them aticmaterial

T hem e 1 Them e 1 Th. Fig. 1,2,3

Them e 2 Th. Fig. 1,2,3

Key E G# m G#

D evelopm en t [Section 4: Solo 2, Solo and orchestral development]

Section Solo introductory passage

Develop. 1 Develop. 2 Cadenza "

Rehearsal n um ber 12 13 18 22

Them atic material Based on Thematic figure 1 , 2 , 3 Based on theme 1

Key C

Recapitulation [Section 5: Ritornello 3 - Solo 3, Solo and orchestral repetition]

Section Them e 1 orchestra

T hem e 1 solo orch.

Transition T hem e 2 solo orch.

Transition Them e 2 orchestra

Rehearsalnum ber

23 R.24, m.7 27 28 29 30 R.30, m.5

Them aticmaterial

Them e 1 Them e 1 Inverted Th. Fig. 1

T hem e 2 Th. Fig. 1,2 Them e 2

Key E B-flat E (C)

C oda [Section 6: Ritornello 4]

Section Coda

Rehearsal num ber 31

T hem atic material Them atic figure 1,2----- T hem e 1------Them atic figure 3

Key E

"[S ec t io n 3: Ritornello 2, Orchestral ritornello] o f the Classical concerto-sonata design * Notice the cadenza is inserted between the developm ent and recapitulation here. A cadenza was aninterruption o f ri tornello 4 in the Classical concerto-sonata form.

12


F inale: Allegro molto

The finale is more remotely related to the Canzone than the first movement.

Despite the fact that there is no direct quote from the thematic material o f the second

movement, the motivic ideas from the opening piano solo in the first movement return,

and are transformed in the finale. The pattern o f altered repetitions in asymmetrical

phrases for both refrains and episodes in the finale are derived from the Canzone.

The third movement is in a modified sonata-rondo form, whose formal design is

outlined in Table 3.

Table 3. Finale in sonata-rondo form

Section Refrain 1 Episode 1 Refrain 2 Episode 2**" Refrain 3 EpisodeT

Refrain 4

R ehearsalnum ber

8 12 18 30 33 35

Them aticmaterial

A B A C(Developm ent o f A, B)

A B A

Key B-flatB

F#- B - E- A (D )(G)(C)(F/E)

B-flat(-B-C-G-C#)

D(-F#-G-flat-D)

B-flat B BB-flat

The second episode shows a development o f previous materials instead o f presenting new

ideas. Therefore, this episode works as the development within the sonata form. Episode

2 materials are derived from both refrain 1 and the first episode, and are treated with

techniques common to traditional development sections. Each section of the finale

transforms material from the introductory passage, and the opening melodic theme of

**** This section is followed by a cadenza-like passage, which reminds the listener o f the cadenza inserted between the developm ent and recapitulation in the first movement.

13


each section is repeated several times in varied forms within each section. Details o f

these thematic transformations are included in Chapter 4.

14


Chapter 2

Canzone: Moderato

As mentioned in Chapter 1, the form o f the Canzone is two-part strophic. The

following is a study o f the structural relationships present in the Canzone, including its

phrase structure and the use o f thematic materials in both the melody and accompaniment

parts.

Strophe 1 (Part 1)

The material o f this movement consists o f four melodic units (A: mm. 2-3, B: mm.

4-5, C: mm. 6-7, D: R. 1, mm. 3-4). The first part (mm. 1 - R. 4, m. 5) consists o f two

phrases and a closing: phrase 1 (mm. 1-9), phrase 2 (R. 1, 2), and a closing (transition, R.

4). The first phrase includes a pick-up opening measure, melodic unit A, B, and C

followed by a tail derived from antecedent part (melodic unit A). This phrase draws an

arch-shape o f melodic line due to its ascending and descending sequences, which

produces tension and release. Structural influences o f the Canzone throughout the

Concerto are listed in Table 4. Each point will be discussed in detail.

Table 4. Main structural influences o f the Canzone throughout the Concerto

M elodic unit A Utilizing the sam e melodic unit to open each phrase Sequential melodic gesture Imitative relationship between the voices

Melodic unit B and C Asymmetrical phrase structure caused by elision or metric displacement

15


Table 4 continued

M elodic unit D Counterpo in t produces both chromatic linear m otion and motivic pitchcontents

Rhythm ic pattern created by melodic contour (3:3:2)

Melodic unit A (mm. 2-3) consists o f two sequences, which is a feature o f the

20sequential melodic gesture found throughout the Concerto. The first measure contains

the thematic and motivic ideas in the sixteenth-note accompaniment: the elision o f three-

note group with upper neighbor note. This pattern, initiated in the first measure, occurs

repeatedly, and is bound by the descending chromatic linear motion throughout the first

phrase (Ex. 2.1).

Ex. 2.1. II, mm. 1-10

legato

[0,2,5] [0 .2 .6]

M .

[0,1,3]

20 The opening them atic figure, the first and second them e o f the first movement, and several repetit ions o f the thematic presentation in both refrains and episodes o f the finale are examples o f this feature.

16


Ex. 2.1 continued

H

[0 .2 ,6 ]

PIA N O C O N C E R T O , O P. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc (A SC A P) In ternational C opyright Secured. All R ights Reserved. Used by Perm ission.

The accompaniment o f the harp and mid-register strings lead into the antecedent part

where the melody is played by the flute in measures 2 and 3. The three-note motive itself

is employed together with its accompaniment in the strings. This imitative relationship

between the voices is clearly influential to the other movements as follows (Ex. 2.2). In

fact, the C-sharp minor tonality is strengthened significantly in that the three-note motive

is tonal as opposed to the use of chromatic counterpoint in the bass line. Therefore, not

only is the main motivic figure [0,2,5]21 that outlines perfect fourth or perfect fifth

predominant throughout, but motivic materials that have influence on the first and third

21 The notation o f the pitch class set in brackets will be used in further discussion as uti lized by Allen Fortein his The S tructure o f A tona l M usic.

17


22movements also sneak into the design. For example, the motive [0,1,3] is part o f the

lower linear descent, C-sharp, B to A-sharp (see Ex. 2.1).

Ex. 2.2. II, mm. 1-2; I, R. 2, mm. 1-4; III, R. 8, mm. 1-5

II, Opening two measures

melody

p legato

accompaniment

I, Theme 1

r melody

^ m......

LJ ] 2 X I i ]

$ 1

_TT 1--accompaniment

III, Episode 1

melody

calm ando

a c co m p a n im en t

PIA N O C O N C E R T O , O P. 38 by Samuel B arber C opyright 1962 by G. Schirm er, Inc. (A SCA P) In ternational C opyright Secured. All R ights Reserved. Used by Permission.

22 The motivic pattern utilized in the first m ovem ent (motive A) is hidden in measure 3 with rhythmic augmentation.

18


In the consequent part, melodic units B and C are structurally linked due to the

change o f the time signature from 3/2 to 4/4.23 The melodic unit B is also interpreted as

consisting of a two-measure link and it is designed to vary thematic materials and to

expand the register. Melodic unit C as a two-measure counterpart o f measures 2 and 3

suggests the boundary points o f minor second with trills. The three-note motivic idea is

based on materials from melodic unit A, but does not have the same intervallic contents,

and does not prolong the harmonic pattern in the same way. The changing meter occurs

to signify the minor second as a boundary point. That is, had the section remained in 3/2,

the melody would have ended in conjunction with the bar line (m. 5). In addition, the

changed meter 4/4 is employed in order to keep the sixteenth-note group at the end of

measure 5 functioning as a pick-up to the next down beat. This was established at the

beginning of the movement with the orchestral pick-up to the onset o f the melody (m. 1).

The interval o f the second is made more predominant with the trills o f the flute and oboe

in melodic unit C, measures 6 and 7, emphasizing the minor second interval as one o f the

motivic ideas for the entire work.

The two-measure tail (melodic unit A ) derived from melodic unit A finishes the

opening phrase. Along with the minor third emphasis as a boundary point for the first

phrase at measure 9 found in the horns and harp, the final four sixteenth notes produce a

three-note cell that outlines a tritone. This cell [0,2,6] is derived from the last four

sixteenth-notes at measure 2 (see Ex. 2.1). These elements are both references to the

materials from the first movement, and complete the presentation of the main thematic

material (m. 2) and orchestral opening phrase o f the second movement (nr. 9).

23 The same type o f metric displacem ent that happened in them atic figure 1 o f the first m ovem ent occurs here as well.

19


The second phrase starts at Rehearsal 1. Melodic unit A reoccurs with the piano for

two measures. The strings reinforce the three-note cells as chords in vertical arrangement

(R. 1, m. 2) (Ex. 2.3).

Ex. 2.3. II, R. l , m . 2

[0,2,5]

[0,2,5]

n

[0,2,51

[0,2,5]

PIA N O C O N C E R T O , O P. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc. (A SCA P)International C opyright Secured All R ights Reserved. Used by Perm ission

What appears to be new material (melodic unit D) comes (R. 1, mm. 3-4) in the

place o f melodic unit B for four measures in 4/4 time. The sequence borrows from

melodic unit A (mm. 2-3). The sixteenth-note accompaniment has two linear chromatic

counterpoints, one ascending and one descending, both converging in the pattern o f two

three-note cells followed by a dyad (Ex. 2.4). Two linear chromatic counterpoints occur

in the melody in the upper part as well (Ex. 2.5). The three-note melody in the upper part

[0,1,6] is related to the three-note cell (motive C) in the opening section and to the first

and second themes o f the first movement. Therefore the ascending accompaniment o f the

piano underneath the descending three-note melody groups is directly related to the

melodic contour o f the opening thematic figure 1, movement 1 (see Ex. 3.4).

20


Ex. 2.4. II, R. 1, mm. 3-4

I un pochino p iu mosso

iQ y TPAu ie/irt/o

un^ j^cAtVw jDtu //U>si0 i

torruxndo

W * * PIANO CONCERTO, OP. 38 e a by Samuel Barber

Copyright 1962 byG . Schirmer, Inc. (ASCAP) International Copyright Secured All Rights Reserved.Used by Permission.

(/ u. 4

J f ........" T T r * f t r

Ex. 2.5. II, R. 1, mm: 3-4: two linear chromatic counterpoints

- f % H t * t 1 * r = >= t % a , , j . M i

This, in turn, is related to the first theme, and ultimately the second theme in contour

inversion, o f the first movement. Another motive [0,1,3] that appears as a starting point in

thematic figure 1 o f the first movement occurs as an accented split from the pattern o f

two three-note cells, followed by a dyad (R. 1, m. 5, Ex. 2.6). A more detailed discussion

o f this relationship can be found in Chapter 3.

21


Ex. 2.6. II, R. 1, mm. 5-6

[0,1,3]pocoa l tempo I0* ,3] [0,1,3]

- P P

T C 2[0,2,5] jpoco ra il.

P P

P IA N O C O N C ER T O , O P. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc. (A SCA P)International C opyright Secured. All R ights R eserved. Used by Perm ission.

Melodic unit D (R. 1, mm. 3-6) begins in G-sharp with a pedal, and moves to D-

sharp by Rehearsal 2. This melodic unit D functions as a transition. The last pitch o f this

motive [0,1,3] at Rehearsal 1, measure 6, C-double sharp leads into the brief D-sharp

tonal center as a part o f the dominant chord. Voice leading o f the upper and lower parts

cross over at their resolution. That is, the crossing in the upper voice leads to the lower

D-sharp, with G-double sharp moving to resolve in the upper range, A-sharp. Melodic

unit D ends on D-sharp (R. 2, m. 1) rather than ending on the dominant (G-sharp) to lead

the listener away temporarily, possibly to suggest motion to a new section, which is

quickly denied by the return of melodic unit D at the original tonal center C-sharp after

the brief statement o f melodic unit A. The melody occurs in the same tonal center each

time. However, the only digression from the tonal center in this whole movement occurs

here at Rehearsal 2.

22


The third statement o f melodic unit A starts from Rehearsal 2. This A restates in D-

sharp minor (R. 2, m. 1) and F-sharp minor (R. 2, m. 2). The tonal center o f this

movement C-sharp minor recurs with melodic unit D, which starts from Rehearsal 2,

measure 3. That is, the main key area returns not with melodic unit B, as might be

expected, but with melodic unit D. The second phrase o f the first part in this movement is

expanded to a length o f sixteen measures, accomplished by means o f a six-measure

interpolation. The interpolation at Rehearsal 2 is crucial element o f the structure both

formally and thematically. In fact, the interpolation is a repetition o f the previous six

measures (R. 1), which is presented in a dialogue between the piano solo and orchestra,

and this emphasizes the material which will be quoted and utilized in the outer

movements. The orchestration, tonal progression, and thematic material o f the

interpolation manifest the idea o f the strophic form.

The measures with trills from melodic unit C follow at Rehearsal 3 in canon. It is

an antiphonal passage between the piano and the oboe solo or flute solo. The figurative

sixteenth-note o f the piano part on the second inversion o f the tonic chord (R. 3, m. 3)

links to the transitional passage.

Transition (Closing of Part 1)

The transitional passage (R. 4) is a closing for the first section. This is played by

the orchestra alone, but mostly by the full string groups based on melodic unit D. The

passage stays on the C-sharp minor tonal center and finishes with the leading tone to lead

directly into the repetition of the first section. This transitional passage functions as a

23


build-up to the recapitulation, much like the formal function of the solo cadenza in the

first movement o f the Concerto.

It is interesting to note that the melodic instruments (oboe and flute) for the

Canzone are not present during this transition area. This predicates the idea o f balance,

which occurs in the orchestration o f the movement. That is, where the orchestra took the

melody in the first half, the piano takes over in the second.

The entire transition passage here is loaded with overlapping statements in stretti, a

device which is emphasized further by stereophonic displays o f the head-motive, the

dotted eighth followed by sixteenth figure. The intensity is increased considerably by the

use o f this device in the second group (R. 4, mm. 3-4), where it occurs on every beat

except the last two. Somewhat obscured in the score, the plainly audible slurred notes in

the upper range (transferred to the lower range on beat 3 of Rehearsal 4, measure 4) give

the same sound as the dotted eighth note with sixteenth note groups. The time signature

5/4 (R. 4, m. 4) helps make the rhythm flow, and the intensity finally dissolves into

chromatic sixteenth-note figuration at the final extension.

Strophe 2 (Part 2)

The repetition at the second half o f the movement (R. 5) follows the original design

o f the material without the interpolation during the second phrase in comparison with the

materials o f the first half, with embellishments o f the three-note motives. The thematic

melody in quarter notes appears against the delicate, rapid, but stationary accompanying

thirty-second note figures. The theme appears in the middle register shared by both

24


hands. The role is exchanged so that the piano takes the melody (antecedent and

consequent part), and the three-note diminution changes to an embellishment o f the

melody, instead o f actually comprising a part o f the melodic line as it was in the first

thematic statement (mm. 1-9). The accented perfect fifth (D-sharp and G-sharp) in the

piano part at Rehearsal 5, measure 2 emphasizes that the C-sharp tonality with its

dominant harmony. Trills at Rehearsal 5, measure 5, anticipated at measures 6 and 7,

become prominent due to the embellishment figure that follows, with the sweeping scale

like gesture. The trills are transformed into a succession o f the seventh-intervals. Since

they occur quite rapidly as thirty-second notes, they sound like a continuation o f the

embellishment. The trill establishes emphasis on the location, which leads into the

following tail segment, as it occurred in the parallel location in the first half. Emphasis on

perfect fifth, D-sharp and G-sharp, occurs again at Rehearsal 5, measure 6 via chromatic

pizzicato o f the low-register strings right before melodic unit A reappears.

At Rehearsal 6, the first violins play the principal theme, while the pianos left hand

figure is a diminution o f the melody. At Rehearsal 6, measure 3, Melodic unit D from

Rehearsal 2, measure 3 returns in the violins, outlining the tritone. The piano plays the 3-

3-2 note pattern from melodic unit D in both hands. Instead of playing the three-note

melody, the right hand presents the diminution o f the same 3-3-2 note pattern from the

left hand. The same voice leading occurs one measure before Rehearsal 7 as in the

previous segment one measure before Rehearsal 2. Just as at Rehearsal 5, measure 5, the

same type o f canon occurs between the lower and upper parts, with the upper part in

diminution. The piano is in canon a sixteenth-note apart.

25


The measures with trills o f melodic unit C and the tail from the opening complete

the restatement o f the theme (R. 7, mm. 1 -4), and are also in canonic imitation, between

the right hand o f the piano and the oboe-flute solos. This antiphonal passage is extended

with melodic unit A, which is played by the solo clarinet and the piano, and then solo

bassoon. A tail o f the theme occurs in the orchestra (R. 7, mm. 5-6) together with the

pianos arpeggio at Rehearsal 7, measure 6, forming a succession o f diminished triads

that outline the tritones before the coda. The 3/4 measure (R. 7, m. 6) brings about the

completion o f this section leading into the coda. This measure balances the 5/4 measure

at Rehearsal 4, measure 4 which becomes 3/4 at Rehearsal 7, measure 6, and they act as

two 4/4 measures. In this way, together, they compensate for each other, and balance out.

In both o f these passages the music broadens (allargando), serving as examples of

written-out metric and tempo fluctuations.

The coda (R. 8) consists o f two measures from the transition (R. 4) in canon played

only by the full strings, and the piano completes the movement with the opening

fragment in three-voice stretto allowing the movement to fade to nothing.

26


Chapter 3

First movement: Allegro appassionato

The first movement evinces the modified concerto-sonata form, as discussed

previously in Chapter 1.

Opening section

Barber outlines three main thematic figures from the opening o f this movement in

his program notes for the premiere performance24, which are the unison statements in

mm. 1-3, mm. 4-6, and m. 7-8. Thematic figure 1 (mm. 1-3) is self-contained and consists

o f four motivic cells, two structural intervals found at boundary points, and a descending

linear chromatic statement which can be derived from two contrapuntal lines. These

elements are derived from the Canzone, and foreshadow connections throughout all three

movements (Ex. 3.1).

The first movement is in the key of E minor. Thematic figure 1 establishes the key,

despite the major third on the final harmony. The reason the G-sharp (m. 3) replaces the

expected G-natural, is to predicate the use o f the minor third derived from the dominant

diminished-seventh chord (F, D, B, G-sharp) as a structural device (Ex. 3.2).2:

24 Refer to H eyman, 4 1 5, quoting N otes on the Program, P hilharm onic H all P rogram 1962-63, 24 Septem ber 1962.25 This detail is discussed later in this chapter (32-3).

27


Ex. 3.1. II, R. 1, mm. 3-4; I, mm. 1-3, R. 2, mm. 1-4, and R. 9, mm. 1-2;

III, R. 1, mm. 3-7, R. 8, mm. 3-8, and R. 18, mm. 1-5

II. R. 1, mm. 3-4

[0 , 1.6 ] [0 , 1,6]

Chromatic linear motion

3 3 2

I. Thematic figure 1 (mm. 1-3)

' -.1 [0,1,3]

f4

1 3 - 1 1 1 1

[0,2,6] [0,1,3] [0,1,6]

m

; I f / i i

I. Theme 1, (R. 2, mm. 1-4)

r H a i p c f :4-

------r^V~f r

/ -o- A _ -

~ B p f -

wyfe---------------

Jyj

28


Ex. 3.1 continued

I. Theme 2, (R. 9, mm. 1-2)

[0,1,3] [0,1,3]

I___________! I_______ ! *_____ ! I . i !____1 '___ I

3 : 3 : 2

III. Refrain (R. 1, mm. 3-7)

[0,2,5] [0,2,6] [0,2,6] [0,2,5] [0,2,6]

III. Episode 1 (R. 8, mm. 3-8)

[0,1,3] [0,1,3][0,1,3] [2 ,2 ,8 ] [2 ,2 ,8 ]

III. Episode 2 (R. 18, mm. 1-5)

/ vMlf y a g ltm 1

p c* c P (* *if- *,

4 4 ^ 4 J

P IA N O C O N C E R T O , OP. 38 by Sam uel Barber. Copyright 1962 by G. Schirm er, Inc. (A SCA P) International C opyright Secured. All R ights Reserved. Used by Perm ission.


Ex. 3.2. I, mm. 1-3: thematic figure 1

SHE] PIA N O C O N C E R T O , OP. 38~ V - by Sam uel Barber P P C opyright 1962 k- by G. Schirm er, Inc. (A SCA P)

International C opyright Secured All R ights Reserved.U sed by Perm ission.

D im in ish ed 7 11' on th e d o m in a n t

Thematic figure 1 consists o f the following structural ideas (Ex. 3.3): motive A

contains a whole step and a major sixth [0,1,3], motive B outlines the tritone evenly

divided by major second and major third [0,2,6], motive C, which is a modified motive B,

outlines the tritone with the inflection o f repeated initial notes followed by a half step

[0,1,6], and motive D [0,1,4] can be inferred from motives B and C in conjunction with

the boundary points, minor second and minor third.

Ex. 3.3. I, mm. 1-3: motives

minor 3

augm ented unison (ic 1)m o tiv e A

D

30


Thematic figure 1 has an unconventional three measure antecedent-consequent

design. The formal structure o f the first thematic figure divides into two parts, each of

which ends with a defining boundary point. The first is the ascending minor second, and

the second is a descending minor third. Motive A initiates each part o f the first thematic

figure, but it is reordered in the second part. That is, there is a metric elision at the onset

o f the second part, so that the C-sharp ends the first part and also begins the second. This

boundary point produces the first o f the structural intervals, the minor second. The

transformed motive A creates the confusion felt at the metric division. Melodic contour

influences this metric displacement, even though it conflicts with the motivic cells. One

could, for instance, analyze the theme division to begin with D-E-C-natural (m. 2.2)26 to

have the same contour as motive A, but not the same pitch class set. However, this is not

quite accurate, since the C-sharp initiates the pattern o f two three-note group followed by

a dyad that is derived from melodic unit D o f the Canzone. Because o f this conflict,

thematic figure 1 fits more easily into 3/2 than the presented time signature o f 2/2.

Motive C brings together the boundary points from the endings o f the antecedent and

consequent parts o f thematic figure 1. In a sense motive C is related to motive B in that

they both outline the tritone, and motive C brings the minor second directly before the

minor third, to show the connection o f the boundary points, on a local level. The minor

third interval at the end o f the first opening theme is inflected as the major third to signify

the use of the diminished-seventh relation as a structural point. This G-sharp is crucial as

a foreshadowing o f a key center for later events, such as the key o f the second theme. In

fact, the G-sharp occurs continually in the opening section. The last notes o f each motive

in the antecedent part and the first notes o f the motives in the consequent part represent

26 M easure 2, second beat in 2/2 time.

31


the descending line (E, D-sharp, C-sharp, C, and B) (Ex. 3.4).27 These notes clearly

delineate into an upper range above the rest o f the phrase, ending on the major third of

the tonic chord, E minor. The line resolves to the tonic chord when considering the

surface harmonic structure.

Ex. 3.4. I, mm. 1-3: two linear counterpoints

r - i h J---------- i---- o------------

However, when considering the deeper structure, the accented F-D-B-G-sharp from

the opening, shows a diminished-seventh chord, that is constructed by a succession of

minor thirds and tritones in horizontal formation. This procedure occurs repeatedly to

emphasize the tonal shape o f the Concerto via the diminished-seventh chord (Ex. 3.5).

Ex. 3.5. Key-relationship of the Concerto

I II III

, (> Diminished 7th on the tonic

The overall key-relationship o f the work between all three movements outlines a

diminished-seventh, which was presented locally in thematic figure 1. The key o f each

movement is E, C-sharp, B-flat in tonic diminished-seventh with missing G. The

substitution o f G-sharp for G occurs within the larger tonal context when the diminished-

27 John Hanson (M acro Form in Se lec ted T w entieth -cen tury P iano C oncertos, 18) and Hayden (1) also mention this detail.


seventh chord is based on E. At the local level, the diminished-seventh chord is based on

the dominant (B, D, F, G-sharp) over a tonic E emphasis. Notice that for the large-scale

design, E diminished-seventh is outlined with the exception o f the third o f the chord. This

is precisely the pitch that is altered by the modal inflections throughout the piece. That is,

G is replaced with a G-sharp making the scale major instead o f minor, and in essence

changing the modal inflection o f the piece. Thus, while the work outlines an E

dimini shed-seventh chord, the modal quality is continually challenged by the insistence

o f G-sharp on many structural levels. Tonality is further made ambiguous through the

blurring o f motivic cells (such as the elision mentioned between two parts o f the first

thematic figure), and metric displacement as was discussed. These elements are used to

obscure the clarity o f tonality and phrasing.

Thematic figures 2 and 3 are not actually complete themes, but are each derived

from thematic figure 1. Thematic figure 2 (mm. 4-6) is based rhythmically from motive B

and C, and the intervallic content can be derived from all three motives. The repeated

note o f motive B establishes the rhythmic pattern for thematic figure 2. In motive B,

however, the repeated figure occurs directly on the beat, whereas thematic figure 2 begins

with a pick-up note, thus disguising its connection. This is, perhaps, a subtle indication of

the metric modification used to obscure structural relationships throughout the work. As

for the pitch content o f thematic figure 2, the theme consists entirely o f overlapping

contrapuntal statements o f motive A. Considering range, the close grouping D-E-E-sharp

is one motive A [0,1,3], leaving the outer range G-sharp-A-sharp-B as the other statement

o f motive A (Ex. 3.6).

33



PIA N O C O N C E R T O , O P. 38 by Samuel BarberCopyright 1962 by G. Schirm er, Inc. (ASCAP) International Copyright Secured.All Rights Reserved. Used by Permission.

motive A

'j ,

J . f ,,----- 1H--- 9 1 r

i D= J

1 A------------

The second measure (m. 5) is a repeat, followed by an altered repetition filled in with

sixteenth notes (m. 6) (see Ex. 3.8).

Thematic figure 3, measures 7 and 8, begins with an isolated 5/4 time-signature

that not only suggests the characteristic metrical displacement o f the work, but also sums

up thematic figure 1 (Ex. 3.7).


f f poco totienuio

PIA N O C O N C E R T O , OP. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc. (A SC A P) International C opyright Secured. All R ights R eserved. Used by Perm ission.

34


The symmetrical rhythmic palindrome found in the quintuplet-eighths is reminiscent of

the antecedent and consequent division caused by a metric displacement o f thematic

figure 1. That is, the midpoint repeated note pattern can be likened to the elision at the

28midpoint o f thematic figure 1. The statement o f thematic figure 3 is a recurrence o f

motive B, followed by the closing major third. The minor third from B to G-sharp is

directly contradicted by the lower major third, E - G-sharp. Therefore, while on the

surface one might analyze the major third as ending the group, what is actually happening

is the minor third (B - G-sharp) from thematic figure 1 with the tonic note o f the E chord

interspersed. A crucial connection at this point, and one that helps to explain the new

time signature, is the initial G-sharp at measure 7. This note, which also began thematic

figure 2, indicates later tonal centers o f the first theme for the soloist, and second theme

o f the movement. It is an integral tonic area for the work, but which ultimately folds back

into the E minor tonic. The pitch G-sharp at the onset o f thematic figure 3 ends the first

segment o f the sequence (m. 7) and is thus not necessary as a defining element at the

beginning o f the second part o f the sequence (m. 8). This G-sharp (m. 7) related to B at

measure 8 produces the overriding minor third relationship that was established at the end

o f thematic figure 1. However, the relationship between onsets o f each o f the two

quintuplets produces the major third interval that is hidden by G-sharp pedal. The

obscurity o f the boundary between major and minor thirds provides reason to expand

measure 7 to include the initial low G-sharp, thereby causing metric displacement which

is a characteristic feature of the Concerto.

28 This can be perceived as a grouping (o f a three-note cell followed by a dyad) that is derived from the pattern (o f two three-note cells followed by a dyad) o f thematic figure I .

35


O f special interest is the cluster-like sweep that leads into thematic figure 3 (Ex.

3.8).

Ex. 3.8. I, mm. 6-7

J f poco tostenutomolto

PIA N O C O N C E R T O , O P. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc. (A SC A P) International C opyright Secured. All R ights Reserved. U sed by Perm ission.

It is inserted between B and G-sharp, another minor third, and the top line consists of

descending seconds (M2, m2, M2): the major second can be considered a compound

minor second in relation to the bass line. Thus, the rapid passage sounds like tone cluster

is stated in the boundary o f the tritone (D - G-sharp). Motive A is also presented linearly.

These are the significant motivic and boundary points from thematic figure 1, in a

condensed version to present an elision of boundary points, so to speak. Also, the metric

displacement figures into this sweep, as the syncopation is made up o f a quintuplet thirty-

seconds in the time o f an eighth note. This is a diminutive rhythmic value that precedes

the 5/4 (5/4 with five separate evenly placed attacks) and also the quintuplet eighths. The

pattern of two three-note groups followed by a dyad in conjunction with four motives,

along with the two boundary points and linear descent in thematic figure 1, are almost

exclusively used throughout the movement.

After the main ideas are displayed, the succession o f chords (mm. 9-11) is

constructed based on specific intervals, that is followed by the combined statement o f the

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three motives elaborated as a flourish (m. 11). Each chord has the same pitch class set

from the descending melodic line o f thematic figure 1 [0,1,3,4,5,8]29 (Ex. 3.9, see also

Ex. 3.4). These chords have a G-sharp tonal implication, and lead into the second

statement o f the thematic figures via the descending flourish that sweeps through the

keyboard. This expands the register o f the piano, and opens the new section as well.

Fragments are embellished, as interlocking statements o f three motives, A, B, and D (Ex.

Ex. 3.9. I, mm. 9-11: vertical presentation o f thematic figure 1 (chromatic descending line)

3.10).

mm. 9-11

mm. 1-3 y[0 ,1 ,3 ,4 ,5 ,8 3 PIANO C O N C E R T O , O P. 38 by Sam uel Barber

C opyright 1962 by G. Schirm er, Inc. (A SC A P) International C opyright Secured All R ights Reserved. Used by Perm ission

29 A pitch se ts characteristics are defined by its intervallic content. This pitch set consists o f three minor seconds, a m ajor second, a m inor third, and a m ajor third.

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Ex. 3.10. I, m. 11: motives A, B, and D

motive A

The same process occurs at Rehearsal 1, measure 2 in ascending motion. Rehearsal 1,

measure 1 starts on the B pedal tone, and suggests the prolongation o f the E tonality with

the repeat o f thematic figure 1. Rehearsal 1 is the modified opening theme with altered

time signatures (5/4-2/2-3/2). It reveals the notion o f split counterpoint, and metric

displacement. The set o f the two chords (R. 1, m. 2) is inserted in the middle o f the

passage as an axis o f rhythmic division. This element of the rhythmic shift comes to the

surface that is foreshadowed in the opening passage as an elision. These chords are a

combination o f both boundary points from thematic figure 1 (minor second, minor third),

in linear presentation (Ex. 3.11).

Ex. 3.11. I, R. 1, mm. 2-3

downbeat [0,1,3,4,5,8]f minor 2nd

r^dminor j

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38


These two inserted chords lead to the initial chord in C o f the orchestra two measures

later (R. 1, m. 4), by linear voice leading descent in the bass line. The initial statement by

the orchestra is not only prepared contrapuntally by two inserted chords, but also occurs

rhythmically on the weak part o f the beat. This aspect is derived from the two-chord

elision (R. 1, m. 2), since the second chord occurs as syncopation (it sounds like it occurs

early), indicating the importance o f the weak beat. This will bring a rhythmical flow for

the performance, which will in turn project a recitative style o f the theme. Each of the

successive orchestral statements follows with this syncopated, up-beat pattern. For the

piano performance, the three-note pattern establishes an anticipation to the main beat

followed by a resolution. Thus, performance should emphasize the middle note of each

group. This will clearly establish the 2/2 meter.

Formally, this opening section (mm. 1-18) is divided into two repeating segments.

This sequential presentation o f the theme in the section is influenced by the sequential

melodic gesture that originated from the Canzone. In the second opening section (R. 1),

thematic figure 1 occurs clearly, albeit altered with added chords and without unison.

Thematic figure 2 is also present. Flowever, no direct statement o f thematic figure 3

occurs in the second opening section. A closer look at Rehearsal 1 measures 4-7 as

compared to its previous statement (mm. 9-11) reveals that orchestration is o f primary

concern. In the pianos statement, the underlying harmonic motion moves to B major, but

when the orchestra takes over the large chords, on the off beat, an actual progression can

be seen moving to E minor (at R. 2). The B pedal (V/E minor) at Rehearsal 1, measure 1

moves linearly through the two-chord boundary point into C for the orchestras first

statement. This, then, progresses by minor third (the second boundary point) in the bass

39


line back to an E minor tonality at Rehearsal 2, measure 1 .This is actually the

diminished-seventh on the subdominant, A, C, E-flat, F-sharp, and is derived from

thematic figure 1 on the dominant. The harmonic progression outlined by the orchestra is

as follows: (Ex. 3.12)

Ex. 3.12. I, R. 1, mm. 4-7: chord progression

R. 1 m.4 m.5 m.6 m.7 m.8

minor 3' [0,1,2,3,6]

TIVI diminished 7lhE

Hayden also discusses this progression.30 However, our approaches differ in that the

significance o f this passage is not the vertical harmonies produced, but rather the motivic

and contrapuntal design that allows for these harmonies to occur as incidental points

along the linear design. The main elements of the passage are the motivic and

contrapuntal elements, which conjoin with the temporarily functional harmonic scheme.

Proper voice leading outlines the passage (bass descends by minor 3rd, upper voice

ascends in contrary motion), and the upper voice moves chromatically (boundary point 1

is the minor 2nd, and boundary point 2 the minor 3rd occurs once). The bass motion

outlines minor thirds which is yet another example of the diminished-seventh chord

outlined in the work. In fact, the bass note F-sharp is necessary to fulfill this pattern, and

30 H ayden, 4.

40


is the reason the III chord is found with a seventh and in this inversion. These diverging

outer voices prepare the full E minor chord that occurs for the first time at the entrance o f

the full orchestra. The penultimate VI chord contains the characteristic m odal reference

o 1with an added note, G-sharp. This is the same modal inflection that Barber expresses

throughout the work. Here, it comes directly prior to resolution to the tonic in order to

reinforce B arbers tonal structure.

The first theme

Asymmetrical phrase structure o f the first theme is divided into two parts (R. 2,

mm. 1-4 and mm. 5-9), the same as in the Canzone and the second theme o f the first

movement (refer to Ex. 3.19). The first four-bar has a descending chromatic line ((E)32,

D-sharp, D, C-sharp, C, B, G-sharp at R. 2, m. 9) that serves to prolong the E minor

tonality (Ex. 3.13). The consequent part seems to embellish the note B to lead into G-

sharp.

31 O ther exam p les o f th is k ind o f m odal reference include the m ajo r th ird E -G -sharp be tw een the op en in g them atic figures and betw een the tw o m ain them es, and the m a jo r th ird re la tionsh ip o f the C tonality o f the d ev e lopm en t to th e E tonality o f th e recap itu lation .32 E is in the paren thesis , since it is p resen ted as a pedal, no t part o f the m elody. H ow ever, the line should be perceived as in itia ting from the E due to the E m inor tonality at this point.

41


Ex. 3.13. I, R. 2, mm. 1-9: theme 1

TT

TF

P IA N O C O N C E R T O , O P. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc. (A SC A P) International C opyright Secured. Ail R ights R eserved. Used by Perm ission.

M elody at R. 2, mm. 1-4

T (R. 2, m. 9)

~3 ; 3 : 1-

Accompaniment at R. 2, mm. 1-2

--- ---- - t r

tr r - >- i r

This chromatic descending line, resulting from the pattern o f the two three-note

groupings followed by a dyad,33 borrows from the thematic figure 1 and melodic unit D

of the Canzone (see Ex. 3.1). Yet the tritone span creates surface tension, which is again

In fact, the descending linear pattern is initiated in the accom panim ent line w ith E, and is then picked up and doubled by the m elodic line.

42


reinforced by the A-sharp in the melodic line against the bass E (R. 2, m. 4). It is

precisely the tritone span here, which occurs in both motives B and C from opening

thematic figure 1, that harks to the underlying diminished-seventh structure o f the work.

In fact, the tritone is perhaps the most reminiscent o f the diminished-seventh o f all

possible intervals, with the possible exception o f the minor third. However, throughout

the piece Barber denies the structural importance o f G (the minor 3rd) by his modal

inflections between major and minor collections. Thus, the prominence o f the

diminished-seventh chord is heavily dependent upon the tension created by the tritone,

and is in turn a crucial point for analysis.

The statement o f motive C immediately leads to this A-sharp, as part of the

melodic contour. The theme starts on the second beat with the chromatic counterpoint o f

the accompaniment. The three-note groups anticipated by thematic figure 1 create five

statements o f the characteristic three-note groups in the lower register instruments. The

characteristic rhythmic design is comprised o f two overlapping statements of three note

cells. One is in the melodic voice, which emphasizes the B (the 5th scale degree), and the

other is in the tenor range o f the English horn and the clarinets and emphasizes G (the 3 rd

scale degree). However, it is the metric displacement as established in the opening that

causes the disjointed feel when the two groups are combined. This polyrhythm is a

consequence o f the counterpoint. The three-note statement on G occurs five times with

even metric placement, while the upper part on B shifts metrically to accommodate the

melodic line. Therefore the metric displacement that occurs can be likened to the effect of

a hemiola. The first two measures in 2/2 time subdivided by eighth note is eight pulses,

during which the three-note pattern on G occurs five times. Thus, 8:5 is the ratio found

43


here, and is explored and predominates as the main meter 5/8 in the third movement. The

purpose o f this metrical displacement is to reveal the embedded cell [0,1,6] that is one o f

the opening motives. The four-measure theme is transformed and expanded at the second

statement in 3/2 time (R. 2, mm. 5-9). This time motive A [0,1,3] is embedded. Rehearsal

2, measures 7-9 modulate to a temporary A minor area by the three segments o f the

sequence for the restatement o f the theme. The chromatic line from thematic figure 1 is

disguised in the bass o f this sequence. The bass line here is ascending chromatically, but

each dyad is presented in reverse order. The resultant pitch content reordered is F-sharp,

G, G-sharp, A, B-flat, C-sharp. Thus, the final minor third leap is retained from the

original line in thematic figure 1. The bass line is coupled with the upper voice o f the

sequence pattern, where motive A [0,1,3] occurs (Ex. 3.14).

Ex. 3.14. I, R. 2, mm. 6-9

motive A [0,1,3] a

'A F* A Of* C* |3bp - 6[ - A

PIA N O C O N C E R T O , OP. 38 by Samuel Barber. C opyright 1962 by G. Schirm er, Inc. (A SC A P)International C opyright Secured. All R ights Reserved. Used by Permission.

After the four-measure theme in A minor with chromatic descending G-sharp, G,

F-sharp, F (R. 3, mm. 1-4) in the counterpoint o f the melodic line in octaves, the original

44


E is brought for two measures as a pedal (R. 3, m. 5). The 3/4 at Rehearsal 3, measure 4,

one measure before the pedal, is changed to 3/2 in order for the pedal E to occur on the

downbeat. Also the preceding F o f the descending line is the important minor second

prior to the goal note E34, and it is placed on a downbeat as well in order to establish its

role (Ex. 3.15).

Ex. 3.15. I, R. 3, mm. 1-6

poco ra il.

PIA N O C O N C ER T O , OP. 38 by Sam uel Barber. C opyright 1962 by G. Schirm er, Inc. (A SC A P) International C opyright Secured. All R ights Reserved. Used by Perm ission.

The 3/2 time allows for the pitch content [0,1,4] from the initial three-note group o f the

first theme accompaniment (R. 2, mm. 1-2) to be presented on the third beat, following

the repeated minor seconds. The rhythmic device used in this whimsical passage is

accumulative, that is 2-3-4-5 by eighth note division in conjunction with the motivic

ideas, minor second and motive D [0,1,4], This gives the passage a jazzy, syncopated

feel. This brief passage includes the tonal direction to G-sharp (E at R. 3, m. 5, B-A at R.

A n exam ple o f a flat II cadential chord is also found before the second them e.

45


3, m. 6). The minor second appears as an upper leading tone to the next tonal center (G-

sharp). This is a hint at the G-sharp phrygian mode, and explains the recurrent use o f G-

sharp in the previous section (Ex. 3.16). Another example o f a using an upper leading

tone occurs to precede the second theme (R. 8, mm. 3-6).

Ex. 3.16. I, R. 3, mm. 5-6

poco rail. a tempo

motive D

P IA N O C O N C E R T O , OP. 38 by Sam uel Barber. C opyrigh t 1962 by G. Schirm er, Inc. (A SC A P)International C opyright Secured. All R ights Reserved. U sed by Perm ission.

The solo exposition starts on G-sharp (minor) via modulation by fourth scale

degree during the course of exposition (E at R. 2, m. 1, A at R. 3, m. 1) then a step down

(E-A-G-sharp). The second part o f the first theme is developed in the solo exposition as is

the contrapuntal texture. After the full statement o f the theme, the tonal center shifts from

G-sharp minor (R. 3, m. 7) to C-sharp minor (R. 4, m

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Barber Concerto Dissertation