Berg's Sketches for 'Wozzeck': A Commentary and Inventory

David Fanning
Journal of the Royal Musical Association, Vol. 112, No. 2. (1986 - 1987), pp. 280-322.
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Berg's Sketches for W o t ~ e c kA

: Commentary
and Inventory
DAVID FANNING
IN 1975 the Wozzeck sketches were examined and commented on by
Ernst Hilmar, having been made available to him by the composer's
widow.' Subsequently they were catalogued, along with all the
manuscripts in the Berg legacy, by Rosemary Hilmar.* It might
appear surprising, then, that neither George Perle3 nor Janet Schmalfeldt4 makes more than passing mention of them in their important
recent studies. In a sense the omission is not unduly sinful - not
surprisingly, the majority of the sketches show Berg at work on
constructional features of the opera which are already well known,
and there is no evidence of hitherto undiscovered esoteric planning.
Yet the sketches still have a fascinating story to tell, which until now
has been passed on only in garbled form.5 In particular, there are new
insights to be gained into Berg's ideas on leitmotivic features and
connections between scenes, many of them contained in one
sketchbook to be examined in some detail below; instances of
eventually rejected or modified ideas also throw new light on aspects
of the compositional process; finally, the accepted view of the
chronolo y of Berg's work on Wozzeck has to be challenged in several
respects.
All these observations would be impossible without a more

'

Ernst Hilmar, W o u e c k von Alban Berg (Vienna, 1975). In connection with the sketches the two
most important chapters are 'Die Komposition der Oper: Versuch einer Zeitfolge' (henceforth
EHKom) and 'Bemerkungen zu den Kompositionsskizzen' (henceforth EHBem). With the
exception of two pages in the Staatsbibliothek Preussischer Kulturbesitz, Berlin, all known
Wozzeck sketches are in the Musiksammlung of the Osterreichische Nationalbibliothek, Vienna.
Sketches referred to by Ernst Hilmar (p. 103, n. 103) in the Collection Meyer, Paris, apparently
do not exist. (I am grateful to Dr Peter Petersen, Hamburg, for this information.)
Katalog der Musikhandschn3en, Schriften und Studim Alban Bergs im Fond Alban Berg und der weiterm
handrchriftlichen Quellen im Besitz der i)steneichischen Nationalbibliothek, i, ed. Rosemary
Hilmar (Vienna, 1980), Alban Berg-Studien, ed. Franz Grasberger and Rudolf Stephan, i:
Veroffentlichung der Alban Berg Stiftung; henceforth RHKat.
George Perle, The O p e r a of Alban Berg, i: Wozzeck (Berkeley, 1980).
Janet Schmalfeldt, Berg's Wozzeck: Harmonic Language and Dramatic Design (New Haven, 1983).
With respect to the identification and interpretation of musical contents it may seem that
the present study leaves little intact of EHBem or, especially, RHKat. However, it should be
remembered that both studies were prepared in a relatively short space of time and as part of
very much larger projects. Their pioneering elforts should not go unrecognized.
It may be recalled that the composition of Wozzeck extended over a period of more than
seven years, from the earliest sketches in mid-1914 to the completion of the last scene in short
score in October 1921. In so far as Berg's unpublished letters assist in dating the sketches, I am
indebted to EHKom.

BERG'S SKETCHES FOR WOZZECK

28 1

complete and accurate inventory than has been available hitherto.

This is presented in broad outline in Appendix 1, together with
summaries of problems of identification, features of special interest,
and evidence for dating. Appendix 2 is a detailed inventory, which
aims to identify each sketch or fragment to the nearest bar and to
indicate the content and state of completion in each case. Appendix 3
also shows for which parts of the work sketches exist, in how much
detail, and, perhaps most significantly for insights into the compositional process, which parts were sketched more than once.'
CATALOGUING PROBLEMS AND THE IDENTIFICATION OF MATERIAL

Most major discrepancies between the present inventory and that of

RHKat are outlined in Appendix 1. In one case, however, the problem
is so complex that it demands separate discussion. This will also serve
to illustrate in general terms the kind of difficulty encountered in
working with the Wozzeck sketches, before more specifically musical
issues are broached.
Item 17 in RHKat has the same library index number as Item 4
(F 21 Berg 13/III), the same indication of foliation, but a markedly
different indication of contents. In fact the contents given under Item
4 are substantially correct and those under Item 17 quite wrong. The
latter refer instead to what may, in most essentials, be found in Item 6
(F 21 Berg 28/XXXVII) on ff. 14 and 17, the one remaining discrepancy being that the 'Harmoniestudien ( V o r h a l t e - ~ b u n ~ e nare
) ' actually a sketch for the harmonic reduction of the opening of
Schoenberg's op. 7 String Quartet which Berg made for his article
'Warum ist Schonbergs Musik so schwer ~ e r s t a n d l i c h ?It
' ~ is possible
that these folios could have migrated to Item 6 from a previously
self-contained Item 17 during the cataloguing process - both they and
the intervening folios contain materials foreign to the rest of Item 6,
which is Lulu material also catalogued as Item 79 - although the
duplication of library index numbers for Items 4 and 17 is still
unexplained. In any case 'Item 17' is now a phantom entry.
Although there is no mention under Item 6 of the materials from
'Item 17' that it in fact contains, it is said to include a sketch for Act 3,
scene ii (the 'Invention on a N ~ t e ' ) supposedly
,~
on the reverse side of
sketches for Lulu, which is not there. The mistake perhaps arises from
a misinterpretation of the word 'Orgel' on f. 16", a possible abbreviation for 'Orgelpunkt'; there is indeed a sketch including the word
'Lulu' on the recto. However, there does not appear to be any evidence

'

Appendix 3 also shows that Act 1 , scene iv is the only large section of the work for which no
sketch material is known, although it is probable that additional sketches also once existed for
Act I , scene ii.
First published in Musikbfatter des Anbruch, 6 (1924), 329-41. Translated as 'Why is
Schonberg's Music so Hard to Understand?' in Music Review, 13 (1952), 187-96.
In general such designations, and details of the formal outline of the opera as shown in
Appendix 3, will follow those in Perle, The Operas of Alban Berg, i, 44-88.

282

DAVID FANNING

of a Wozzeck sketch here, and even allowing for the reference to

19-lined manuscript paper in Item 6 being a probable misprint, the
format description (quarto) would be quite wrong. Since the sketches
surrounding this one on ff. 14 and 17 (described under 'Item 17') are
indeed in quarto format, it may be that the description of Item 6 in
RHKat rests partly on misidentification (of material on f. 16) and
partly on the format description of material now listed under 'Item
17'. Equally it may be that the indication of contents for Item 6 was
taken over in error from Item 5 (also claimed in R H K a t as a sketch for
Act 3, scene ii with Lulu material present) and that this is in some way
associated with the gap left by the transposition of the largely correct
contents description for Item 6 to the ghost 'Item 17'.
I n fact Item 5 does not contain a sketch for Act 3, scene ii. The
relevant folio has descriptive analytical notes on the second movement of Mahler's Eighth Symphony, confusion probably having arisen
as a result of the word 'Waldung' (the opening of Mahler's Faust
setting) being read as 'Waldweg' (Act 3, scene ii of Wozzeck takes place
on a 'Waldweg am Teich'). Such confusions can be unravelled with a
little patience. More alarming though is the likelihood that further
Wozzeck sketches lurk undetected elsewhere in the Berg legacy, which
runs to thousands of pages.''
ITEM 1

+ 3 IN VIENNA, OSTERREICHISCHE NATIONALBIBLIOTHEK

However, careful examination of the known sketches already yields

much new information, and some of the most interesting details are
found in Items 1 and 3 in RHKat. Item 1 is a small volume in
horizontal format, with pages numbered 2-40." It contains sketches
for the latter part of Act 2, scene iv leading into the opening of scene v.
There follow more fragmentary sketches for the last three scenes of
the opera. The sketches start roughly in the middle of Act 2, scene iv
with what Berg elsewhere called the 'Todesahnung"* (Wozzeck's
premonition of death). They are initially concerned with the overlap
between the 314 Landler being played onstage and the 514 music of
the Ostinato which eventually drowns it (see Example 1 ) . Although
the orchestral parts are rather fragmentary, particularly as the sketch
progresses, this does not necessarily imply an early stage of composition, since the whole point of the sketch is to combine passages which
may have been worked out individually in some detail beforehand.
This becomes clear on pp. 4 and 5, where two bars of the final version
are omitted (bars 601-2), at precisely the point where the onstage
music is not heard and the problem of synchronization does not apply.
l o As in Item 22 and (remarkably) Item 260 (see Appendix 1). Several sketches referred to in
EHBem, including one shown in facsimile (ibid., 75) are no longer to he found among the
catalogued Wozzeck materials.
" Few, if any, of the paginations in the Wozzeck sketches are the composer's own (see below, p.
287 and Appendix 1, Item 9).
See Item 18, F 21 Berg 13/VI, C 2.

BERG'S SKETCHES FOR WOZZECK

Example 1

[589]

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1

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es mu0

splter

sein

die

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t

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rd

p i t wird einem lang

bei der K u m e i l

There follows the Melodrama with Chorale, in which the First

Apprentice delivers his drunken sermon to the accompaniment of
onstage music only. Having sketched the rhythm of the voice part
against the top orchestral line, Berg backtracks a few bars to the
beginning of the chorale bass line in the bombardon, which will
occupy the lower half of pp. 6-11. It is derived from a chord
progression used earlier in the scene (bars 447-65).13 Above this line
l 3 The process of derivation may be seen at its clearest in Berlin, Item 2; since the derived
pitches are more definitive in this version than in Vienna, Item 1 , i t may be that the former was
merely a neat copy or aide-mimaire.

DAVID FANNING

Example 2

interesting things are happening. O n p. 6, together with the beginning

of the chorale bass, Berg jumps ahead some 40 bars to notate the
beginning of the arpeggiated retrograde of the chord progression (bar
643). Below this he tries out a chord progression for the link between
the scene of Wozzeck's drowning to the D minor orchestral interlude,
that is, from the Invention on a Six-Note Chord to the Invention on a
Tonality (Act 3, scene iv, bars 319-20; see Example 2). O n the facing
page 7 is a sketch for the Barracks Scene (Act 2, scenes iv-v) starting
with the Snoring Chorus (which in the final version will be transposed
down a tritone - here it appears a t the pitch level of the original
statement in Act 1, scene ii) and going on into a more or less definitive
version of Wozzeck's opening phrases.
I t seems probable that the three new fragments here and the
continuing thread of the chorale line were part of a single conception.
In the sketch for the link to the Invention on a Tonality Berg
experiments with semitone auxiliaries to the D minor triad with
added ninth. He tries out a respacing of the first chord from the
progression underlying the Rhapsody sections of Act 1, scene ii
(referred to on p. 30 of this sketchbook as a 'Natur' leitmotif), and of
course this is the same progression used for the Snoring Chorus whose
top line only is notated on the facing page. It is possible that this line
of thought was associated with the arpeggiation Db-Eb-Ab in the
opening of the chorale.

BERG'S SKETCHES FOR WOZZECK

Example 3
[Scene] IV

As well as sketching the progression from the Rhapsody chord to

that of the Invention on a Tonality, to which the upper four notes
relate as lower chromatic auxiliaries, Berg writes, then deletes, a
chord with three upper auxiliaries, and this may be recognized as part
of the chord he eventually chose for the Invention on a Six-Note
Chord (see Example 3). The full significance of the fragment of
retrograde chord progression now becomes apparent. Its first arpeggiation has one note in common with, and three chromatic auxiliaries
to, the Rhapsody ('Natur') chord, and its second arpeggiation
contains the three pitch classes of the deleted triad eventually
incorporated into the Six-Note Chord. This gives an insight into the
genesis of the chord chosen for Act 3, scene iv, as well as a significant
detail of harmonic consistency, at least in the composer's mind,
between four widely separated scenes. It also suggests a characteristically Bergian conceit to do with the reinterpretation of the 'Natur'
chord in the later stages of the work. Not only is there a transposition
to the tritonal opposite pole for the Snoring Chorus, but there is the
suggestion that the chord for the Invention on a Six-Note Chord was
conceived as being, as it were, on the far side of the D minor-plusninth chord (in that it contains upper rather than lower auxiliaries), a
concept broadly in line with the characteristic inversion and retrograding of material as balancing forces in the later stages of Berg's
structures.
At the beginning of the sketchbook there are sporadic indications of
bar numbers which correspond exactly to the final version. From p. 7,
however, they are about ten short. This is because Berg subsequently
expanded the passage where the Fool approaches Wozzeck and smells
blood (bars 650-70). The beginnings of this expansion (via an
opening-out of the last chord in the retrograde progression) are
worked out on pp. 8-1 1, together with the continuing chorale line and
the now fully notated version of the retrograde progression. Thereafter Berg cuts past the 15-bar quasi-reprise of the presumably
already-composed Waltz (bars 670-84) to what he called the Orgy.14
Here (on pp. 12-14) he drafts a systematically accumulating ostinato,
details of whose construction are given by Perle.I5
After p. 14 a number of the original pages appear to be missing. A
break in the binding is visible here (see Figure 1 ) . 1 6 But when f. 2' of
See EHBem, 33.
The Operas o f Alban Berg, i, 171-3. The sketch throws no light on the discrepancy noted by
Schmalfeldt (Berg's Woeeeck, 252).
Original sources are reproduced by kind permission of the Musiksammlung of the
Osterreichische Nationalbibliothek, Vienna.
l4

l5

286

DAVID FANNING

Figure 1. F 21 Berg 1311, pp. 14-15

Item 3 in RHKat ( F 21 Berg 13lVII) is placed alongside p. 14 of Item 1
it can be seen that the sketch continues from the exact bar where it
broke off (see Figure 1, top page, and Figure 2, bottom page).
Furthermore, sketches at the 'end' of Item 3 link smoothly with the
pages after the 'break' in Item l.I7 Pagination in Item 1 is continuous
"

item.

This assumes that the folio currently numbered 1, recto and verso, should be the last in the

287

BERG'S SKETCHES FOR WOZZECK

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Figure 2. F 21 Berg 13/VII, ff. 1'-2'

over the break, but need not be taken as the composer's own, even
disregarding this evidence. There are many places in the other
sketchbooks where pages are manifestly not in their original order,I8
and in certain cases it is evident that page numbers have been added
since 1975 when Ernst Hilmar examined the sketches.Ig In Item 1
EHBem refers to 'Seiten 1 bis 13',*~clearly meaning pages now

'* See Appendix, 1, Item 9.

l9
20

Compare Item 18, f. 4", with the facsimile in Ernst Hilmar, Wozzcck von Alban Berg, 74.
EHBem, 33.

288

DAVID FANNING

numbered 2-14. Following these pages Hilmar then makes reference

to sketches for the March from the op. 6 Orchestral Pieces, sketches
which are now to be found elsewhere (in Item 2, F 21 Berg 13/11). It
seems that the original continuation of Item 1 became detached2' and
now forms Item 3 (though the correct order is not as paginated or as
indicated in RHKat), and that the op. 6 sketch was inserted in error at
some point, only to be removed some time after 1975.
Assuming that f. 1 should be the last in Item 3, the contents of this
item then begin with the conclusion of Act 2, scene iv, picking up
exactly where Item 1 left off and leading into the following scene until
the sketch peters out in rejected ideas. Then Berg shifts, possibly by
association with one of these rejected ideas containing an F # major
triad (on f. 5"), to Act 3, scene ii,22 noting down the leitmotifs to be
used at the point of Marie's murder (where they represent her dying
This leads directly to fragmentary sketches for the next
scene (the second Tavern Scene), in which Berg tries out various
forms of the underlying rhythm. This then links smoothly with the
continuation of Item 1 (see Figure 2, left-hand page, and Figure 1,
right-hand page). Somewhat obscured by the draft of a letter, the
sketch now continues with the Song Wozzeck addresses in this scene
to Margret (bars 161-8). Above the continuation of this sketch on the
next page, Berg notes down the definitive pitches for the Invention on
a Six-Note Chord, the next scene of the opera, albeit in the form of a
dyad followed by a tetrad rather than as a single entity. This
presumably represents the next stage in his thoughts on this chord
from that already discussed (see Example 3 above).
Before proceeding with this new scene, Berg doubles back to make a
more detailed sketch for part of Act 2, scene iv, noting down fugal
entries for the passage around bars 614-1 7, with, exceptionally for the
Wozzeck sketches, indications for instrumentation. Underneath are
two short rhythm sketches. It is difficult to say whether these are
directly connected with the fugal sketch (perhaps as a study for the
Marschtempo in bars 622-5) or with another idea sketched in the same
book, such as the Drum-Major's music or the product of a stretto of
the rhythm for Act 3, scene iii. They might equally be an indication
that a theme from the 'William Tell' Overture, or perhaps more likely
the Radetzky March, was considered for the Dance music in the Tavern
Scenes, along with the Don Giovanni dances and Rosenkaualier Waltz
which do make an appearance (bars 439-42, 603-4; see Example 4).
The following 12 pages are largely concerned with the possibilities
of the now established Six-Note Chord, its application to various

''

This seems to have happened in Berg's lifetime, since there is a draft of a letter on pp. 14
and 15 which appears to be continuous over the break.
22 See, for instance, bars 83, 86, 91K in that scene.
23 See 'Bergs "Wozzeck"-Vortrag von 1929' in Hans Redlich, Alban Berg: Versuch eincr Wurdigung
(Vienna, 1957), 324, translated as 'Berg's Lecture on "Wozzeck" (1929)' in Hans Redlich, Alban
Berg: The Man and his Music (London, 1957), 280.

BERG'S SKETCHES FOR WOZZECK

Example 4

images in the text of Act 3, scene iv (there are several abortive

attempts at the passage accompanying the rising of the blood-red
moon), and various modifications arising from the accommodation of
leitmotivic reminiscences. This then leads into drafts for the vocal
declamation in this scene.
There follows (on pp. 30-7) a list of leitmotifs headed 'Epilog'.
Clearly Berg is proceeding to the Interlude following Act 3, scene iv
and making a kind of inventory before deciding which themes he will
combine in the middle section (bars 346-64). This list supplements
the repertory of representational elements given by the composer and
by Perle.24 For instance the accumulation of thirds leading up to the
12-note chord (as at Act 1, scene i, bars 1 3 6 7 and Act 3, scene iv, bars
361-4) is identified as 'der Sich aufrichtende', and among a cluster of
musical ideas associated with Wozzeck 'der Gehetzte' is applied first
to the theme in Act 2, scene ii (bar 272) heralding Wozzeck's entrance
and then to his entrance theme first heard in Act 1, scene iii (bar
427),25and 'der Emporte' to part of the opening theme of Act 2, scene
iii (bars 368-9).26 Wozzeck's fugue subject in Act 2, scene ii, which
also appears at the climax of the final D minor Interlude (and so, in a
sense, of the whole work) is labelled 'Fatalistische' (see Figure 3).27
The association of the key of Eb minor with Wozzeck will be discussed
under 'Modified and Rejected Ideas' below.
After the inventory of leitmotifs there are sketches for the climax of
the D minor Interlude, marked 'Hohepunkt' (bars 364-6), and a
rhythmic outline of the combination of leitmotifs immediately
preceding it. This is followed by more leitmotifs, this time ones not
featured in the Epilogue, and a fragment of the final scene of the
opera. Finally there is a draft of the articulated orchestral glissando in
Act 2, scene i, bars 139-40.
DATING VIENNA ITEM 1

+3

Neither RHKat nor EHBem draws attention to the substantial

portions of Act 3 material present in this sketchbook, and this
'Bergs "Wozzeck"-Vortrag' and Perle, The Operas ofAlban Berg, i, 93-1 17.
Number 10 in Perle's list (The Operas of Alban Berg, i , 106).
26 Not listed by Perle. Neither this nor the original 'Gehetzte' motif is, as Ernst Hilmar
suggests (EHBem, 34), a rejected idea.
27 Ernst Hilmar reads 'Das Fatalische' (EHBem, 34).
24
25

DAVID FANNING

L-

-.

Figure 3.

.3.

F 2 1 Berg 13/1, p. 33

Figure 4. F 21 Berg 1311, p. 34

BERG'S SKETCHES FOR WOZZECK

29 1

contributes to their implausible conclusions as to its dating. The fact

that Berg is working on passages involving the combination of ideas,
namely Landler and Ostinato in Act 2, scene iv and superimposed
leitmotifs in Act 3, scenes ii and iv, strongly suggests that the
composition is at an advanced stage. The appearance of exact bar
numbers in Act 2, scene iv and of page numbers cross-referring to the
Particell (RHKat Item 22, F 21 Berg 14) in the inventory of leitmotifs
for Act 3, scene iv further suggests that the first eight scenes of the
opera were already complete in short score (with the exception of
refinements such as the precise nature of the orchestral glissando in
Act 2, scene i, bars 139-40).
Circumstantial evidence supports this supposition. O n 24 July 1919
Berg wrote to his pupil Gottfried Kassowitz that the first act and the
second scene of the second act were finished and that he intended to
complete Act 2 during that summer.28 We know that Berg was then
interrupted by the need to copy parts for a performance of his op. 6
Orchestral Pieces in Dresden and by jobs for Schoenberg's Verein fur
musikalische Pri~atauffuhrtm~en.~~
O n 9 July 1920 he informed Kassowitz
that he was about to set to work again on the completion of Act 2,30
and four weeks later he was able to report that he had composed three
scenes and that he might manage two more before the end of the
.~'
summer, which would then leave four scenes ~ u t s t a n d i n ~ Ernst
Hilmar suggests that the three completed scenes were the first, third
and fifth of Act 2,32 and these may indeed be found in a fairly
advanced state of completion in one sketchbook (Item 13, F 21 Berg
131x1). However, since this book contains only the latter portion of
scene v, it may also be that Act 3, scene i, for which there are sketches
in a separate book (Item 20, F 21 Berg 13/XIV), was the third
completed scene, and that Act 2, scenes iv and v were the two he
hoped to complete that year, leaving Act 3, 'scenes ii-v still to be
3 would then represent the stage of composition
composed. Item 1
immediately following.
In the event Berg's plans for the remainder of summer 1920 were
interrupted by proofreading for the publication of his op. 3 String
Quartet and op. 5 Clarinet Pieces, worries about the editing of the
Anbruch journal, asthma attacks, still more work for Schoenberg's
Verein, and his agreement to undertake a book on Schoenberg for the
firm of Halbreither (the second such commission he accepted but
never fulfilled).33 Completion of the composition had to wait until the
summer of 1921. We know that Act 2, scene iv was still not entirely
sorted out, because at this time Berg was informing himself on the

2g
30

3'
32
33

EHKom, 22-3

Ibid.,22.

Ibid., 23.

Ibid.

Ibid.

Ibid., 2 4 5 .

292

DAVID FANNING

workings of the ac~ordion.'~

However, the sketches in Item 1 3 are
not definitive at this point, so that no conclusions regarding dating
can be drawn. By 17 August 1921, as Berg wrote to Webern, the
second act was complete but the third only a quarter finished.35 This
would appear to be almost exactly the stage of composition represented by Item 3. Thus it seems probable that Item 1 3 dates from
summer 1921 and certainly not earlier than summer 1920, that is from
the last 15 months or so of the opera's seven-year period of gestation.
A final piece of circumstantial evidence is that the 'Fatalistische' motif
is almost certainly the one referred to in Berg's letter to Helene of 7
August 1918: 'I myself went uphill very slowly, rested frequently
"according to instructions", and eventually, as I proceeded with heavy
steps, there occurred to me . . . a long-sought idea for one of Wozzeck's entrance^.'^^ As evidence for an earliest possible date this is
consistent with the observations already made.
However, in RHKat Item 1 is dated May-June 1914, with the
comment 'Diese Skizzen zahlen zu den friihesten Aufzeichnungen zur
Oper' and an aberrant list of contents. In EHBem the description of
the contents of the 'first sketchbook' is totally at variance with the
material in Item 1 - in fact he refers to Item 1 as the 'second
sketchbook'. This he dates to spring 1914 up to the break in the
binding (between the present pages 14 and 15), then the rest to spring
1915 or 1917, the two parts of the book being separated b sketches for
the March from op. 6 which we know to date from 1914.&
What seems to have happened is that Ernst Hilmar was led to date
the opening of Item 1 (his 'second sketchbook') to 1914 by the
presence of the op. 6 sketch which should never have been there. (It
may be also that he was misled by the similarity of the small oblong
format to that of Item 2, his 'first sketchbook', which probably does
date from 1914; see Appendix 1.) When Rosemary Hilmar came to
compile her catalogue, the op. 6 sketch had somehow found its way to
its possibly rightful place at the beginning of Item 2 (see Appendix 1).
She then made her inventory partly from the obvious contents of each
sketchbook, but partly also taking into account Ernst Hilmar's
commentary, unaware that his 'first and second sketchbooks' were in
the reverse order from her 'Items 1 and 2'. She also apparently took
the dating from EHBem without demur.38

MODIFIED AND REJECTED IDEAS IN T H E WOZZECK SKETCHES

Concluding the inventory of leitmotifs in Item 1 (on p. 34) is the

apparent connection between Wozzeck and Eb minor. The
34 Alban Berg, Bride an scinc Frau (Munich, 1965), 461; translated as Lcttcrs to his W g e (London,
1971), 280.
35 'Der 11. Akt ist fertig, der 111. zu ein Viertel nur' (EHKom, 25-6).
36 Berg, Bride an seinc Frau, 376; Lctters to his W g c , 229.
37 EHBem, 33-4.
38 The incorrect dating of Item 1 is repeated in the catalogue of the Berg centenary exhibition,
Alban Bcrg: Katalog zur Ausstcllung (Vienna, 1985), 79.

BERG'S SKETCHES FOR WOZZECK

Example 5

Example 6

Example 7

294

DAVID FANNING

significance of Eb minor as a root-position triad with superimposed D

has been noted by Perle and others,39 but the sketches as a whole
suggest that it carried more weight in the composer's initial conception than might be suspected - the clarity of its tonal focus was
reduced in the final version of the score.
It may be significant that the above-mentioned labelling follows on
from a brief notation of the Landler, which Berg labels 'Volk' and
which has a strong Eb (major) element clashing with the G minor
accompaniment - the 'Volk' is, of course, another agent in the
oppression of Wozzeck. I t may also be recalled that Item 1 started
with Wozzeck's premonition of death, at which point there are
repeated E b minor triads with repeated Ds for the question 'Wieviel
Uhr?' (Item 1, p. 2; see Example 1). In what we can probably take to
be the first sketchbook for Wozzeck (Item 2, F 21 Berg 13/11), amid
preliminary sketches for Act 2, scene ii, there is a rejected theme
underneath which Berg notes 'Eb minor' followed by 'E b major and
minor with superimposed D'.40 In an interesting plan for the structure
of Act 2, scene i, Berg refers to Eb minor themes after the short
introduction, with a further appearance at the Reprise where Wozzeck
enters.41 Then in the sketchbook which probably follows this one
there are drafts for this scene including a clear Eb minor opening to
the Stretto (bar 141)42- in both cases the E b minor tonality is less
clear in the final version. Perhaps by association, he then goes on to
sketch the section from Act 2, scene v underpinned by the Eb
minor-plus-D chord (bars 798-804)) the point of the Drum-Major's
triumph over Wozzeck after their
Finally, in a sketch for the
Waltz of Act 2, scene iv (bars 480-505)) Berg notes down where E
minor (sic) and Eb major are to appear.44 All these instances point to
an idea present from the earliest stages of composition and playing a
more important role in Berg's conception than it was eventually
accorded in the score.
In a draft for the overall structure of Act 3 (Item 11, F 21 Berg
13/XIII, f. 1) a faint sketch for the Polka of scene iii can be discerned
(see Example 5).45Rejected polka ideas go back to the earliest Wozzeck
sketches,46 and the appearance of one here suggests that the eventual
decision to fit the Polka to the basic rhythm of the scene was a
comparatively late one.
There are other, more illuminating examples of rejected ideas in the
sketches. It would appear, in fact, that all the earliest ideas for Wozzeck
39 Perle, The Operas of Alban Berg, i, 16%71. I have been unable to decipher Berg's designation
here. It reads, 'W[ozzeck] Es moll der I ( ? ) g n ( ? ) i e r t e l(see Figure 4).
Item 2, F 21 Berg 13/11, p. 90; also Item 7, F 21 Berg 7011, f. 9.
Item 12, F 21 Berg 13/X, f. 4.
42 Item 13, F 21 Berg 13/XI, f. 3.
43 Item 13, f. 4".
44 Item 19, F 21 Berg l3/V, f. 1 .
45 Not shown in Ernst Hilmar's transcription (EHBem, 38).
Item 2, F 21 Berg 13/11, p. 55 - see Example 7 .
47 Item 2, pp. 5&5, 58.

BERG'S SKETCHES FOR WOZZECK

295

were eventually rejected.47 These were principally chord progressions

all consisting of three- to six-note chords containing a whole-tone or
semitone adjacency (see Example 6). This harmonic characteristic
may well have been a spin-off from the composition of Reigen, the
second of the op. 6 Orchestral Pieces,48 and although the actual
progressions notated here were abandoned, the sound quality of their
spacing was to become important to the harmonic consistency of Act
1, scene ii, Act 2, scene i, Act 3, scene iv and the final D minor
Interlude (see Examples 2 and 3 above). The other rejected ideas here
are almost dance-like in implied character, again possibly showing the
influence of Reigen (see Example 7). Indeed, although the first scene to
be sketched in any detail is Act 2, scene ii (in which the Doctor baits
the Captain before they jointly taunt Wozzeck), rather than one with
obvious scope for dance-like themes, Berg actually starts sketching
from the Waltz section (around bar 202).
Berg was constantly on the lookout for the possibility of retrogrades
or inversions to provide a structural balancing force at the end of a
scene or act. It is well known that the central scene of the work
(Wozzeck's accusation of Marie) is framed by a progression presented
in retrograde as a transition to the next scene. In addition it can be
observed from the sketches that Berg considered inverting the
'Emporte' motif to indicate the 'inversion' of Wozzeck's despair
('Wozzecks Verzweiflung umgekehrt') - presumably into determination on vengeance (see Item 19, F 21 Berg 13/V, f. 3). In the end he
settled on a rather incongruous octave doubling of the motif (bars
402-3)) which perhaps registers less curiously if we keep this dramatic
conception in mind.
Similarly it can be seen that he experimented with retrogrades of
the rhythm in Act 3, scene iii before abandoning the idea (Item 3 F 21
Berg 13/VII, f. 1'). Such rhythmic manipulations were to be of prime
importance in the Chamber Concerto, which Berg began sketching
immediately after completing the full score of Wozzeck.
There are undoubtedly further discoveries still to be made in the
Wozzeck sketches, although even the closest examination will probably
not yield more than a modest addition to our understanding of the
work - sketches for a 12-note work such as Lulu naturally document
the conscious processes of composition in more detail. Nevertheless
an attempt at an accurate and reasonably comprehensive account
does show several new aspects of the process whereby the 'unerhorte
S t i m m ~ n ~ s ~ e h aofl tBiichner's
'~~
drama was objectified, focused, and
kept within bounds. It is nothing less than Berg's masterpiece
demands.
University of Manchester

49

For instance, the first five bars of this piece.

Letter to Webern of 19 July 1918 (quoted in EHKom, 21).

DAVID FANNING

APPENDIX 1
GENERAL INVENTORY
A.

SKETCHES I N VIENNA, 6STERREICHISCHE NATIONALBIBLIOTHEK

Item 1 F 21 Berg 1311

(a) pp. 2-14, 17
(b)
(c)
(d)
(e)

p. 7
pp. 15-16
pp. 6, 16, 18-29
pp. 30-7

(f)

pp. 38-9
p. 4-0

9(

2/iv: 589-704 and plan to 736 (omitting

601-2, 621, 634-42, 671-84)
2/iv-v: 737-47
3/iii: 159-68
3/iv: fragments, esp. 235-84, 3 15-20
Inventory of leitmotifs, esp. as used in
Interlude 31iv-v: 336-52, 364-6; also
includes 3/i: 33-6
3/v: 375-81, 387-9
2/i: 134-40

Identification
Missing material between pages now numbered 14 and 15 now forms Vienna
Item 3. Item 1 is called the 'second sketchbook' in EHBem. RHKat takes list
of contents partly from description of 'first sketchbook' (= Item 2) in
EHBem.
Contents
Calculation of overlap between 514 Ostinato and 314 Landler in 2/iv; pitch
and rhythm structures for conclusion to 2/iv (685-736); combination of
leitmotifs in Interlude 3/iv-v. Pp. 6-7 reveal melodic and harmonic connections between 2/iv, 2/v, 3/iv and Interlude 3/iv-v, all associated with first
chord of l/ii. Interesting labels for leitmotifs (including Wozzeck as 'der
Gehetzte', 'der Emporte', 'der Sich aufrichtende', 'Fatalistische').
Date
Probably summer 1920 or summer 1921. Sketches for combining passages or
leitmotifs suggest late stage of composition; letters to Kassowitz, Schoenberg
and Webern report work on these scenes at this time (EHKom, 23-6).
EHBem, 33 dates the book partly to May-June 1914 (on the basis of
conjunction with sketches for op. 6 now elsewhere in the legacy) and partly to
spring 1915 or 1917. RHKat gives May-June 1914.

Item 2 F 21 Berg 13/11

(a) pp. 5-49
(b) pp. 50-5, 58

Sketches for op. 6, March

Discarded thematic and harmonic ideas
for Wozzeck
Cast list and voice ranges
Character sketch of Captain
Fragment of Doctor's and Captain's leitmotifs combined (2Iii: 170-1)

BERG'S SKETCHES FOR WOZZECK

(0 p p.

60-1, 64-5, 69-71, 78,

81, 89
(g) pp. 62-3, 66-8, 72-89
(h) pp. 90-4
(i) pp. 90, 94-6

Discarded ideas for 2/ii

2/ii: 191-366
11% 201-5, 212-69
Discarded ideas for 1/ii

Identification
Item 2 comprises the 'first sketchbook' and part of the 'second' as mentioned
in EHBem. RHKat takes list of contents partly from EHBem description of
'second sketchbook' (= Item 1). EHBem does not mention l/ii sketches and
misleadingly refers to the appearance of the pitch-succession of Marie's
lullaby planned as a Landler melody for 2/iv (presumably referring to the
similarity between the 'Eia popeia' theme and a rejected theme on p. 65). It is
possible that the op. 6 sketch is still misplaced here, since the Wozzeck
sketches in this item show an independent stencilled pagination (beginning
with 1 on p. 50). In connection with the draft for 2/ii EHBem, 33 states that
Berg intended to introduce a pedal point after the third theme in the Fugue.
However, it is clear that the duet between Wozzeck and the Captain was to
intervene here just as it does in the final version (Item 2, p. 79).
Con tents
Initial rejected ideas are either chordal, featuring whole-tone or semitone
adjacencies which characterize harmony in l/ii, 2/i, 3/iv, or dance-like (first
continuous sketch starts from Waltz section of 2/ii); possible influence of op.
6 in both instances. Captain's leitmotif possibly suggested by bars 8-9
(woodwind Hauptstimme) of op. 6 March. Draft on p. 79 shows conscious
differentation between rhythmic character of themes in 2/ii (quavers for
Captain, crotchets and minims for Doctor, eventually triplets for Wozzeck).
Date
Probably very early - many rejected musical ideas (including a version of
Andres's song in l/ii), cast list not definitive. If contemporary with op. 6,. this
is almost certainly the first Wozzeck sketchbook, and may be dated to shortly
after the premiere of Biichner's play on 5 May 1914 (see EHKom, 20-1).

Item 3 F 21 Berg 13/VII

(a) ff. 1, 1'
(b) ff. 2, 2', 3, 3'
(c) ff. 3'-5'
(d) ff. 6, 6'
(e) K 68''

Rhythmic patterns for 3/iii (including

186-90)
2/iv: 704-37
2/v: 746-73
3/ii: 103-8
3/iii: 122-2 1 1 (fragments only)

Identification

Item 3 originally formed part of Item 1. Ff. 1, 1' belong at the end of the item.

RHKat does not identify sketches for 2/iv and takes certain erroneous bar

numbers from EHBem.

Contents

Experiments with retrogrades of rhythm for 3/iii (later abandoned). 3/ii

sketch concerned with medley of leitmotifs at the point of Marie's murder.

298

DAVID FANNING

Date
Probably summer 1920 or summer 1921 (see Item 1). RHKat gives 1917
(taken from EHBem, 34, which suggests this as an earliest possible date on
the evidence of the handwriting, although it must be contemporary with Item
1, for which EHBem gives 1914).

Item 4 F 21 Berg 131111

Discarded ideas for 2/ii, 2/iv, 3Iiii (many identical to those in Item 2).
Drum-Maior's motif in definitive form on f. 1' (2/iv: 508-12). RHKat dates
these sketches to 1914 (perhaps because of similarity to contents of Item 2).
For no apparent reason the 'Akkordverbindungen' on f. 2' are separately
catalogued in RHKat as Item 269, and dated to 1910. In fact no very precise
datinefor
Item 4 seems ~ossible.A number of details on f. 1'. if not-added
"
subsequently, suggest 1920 as a possibility - the contents of the folio are
preliminary, mainly rejected, thematic studies for 2/iv, drafted and
composed that year, and the Waltz idea is given an accurate bar number for
its appearance (later not taken up) in 2lii and the Drum-Major's leitmotif a
page number cross-referring to the Particell of llv, all suggesting that the
first six scenes of the opera at least had already been composed (see
Appendix 1, Items 13, 14, 11, 8).
d

Item 5 F 21 Berg 28lXVI

Ff. 1-5': no Wo~reckmaterial present. F . 5' contains sketch of analysis of
Mahler Symphony no. 8, second movement, mistaken for Worzeck 3lii in
RHKat - 'Waldung'[, sie schwankt heran] misread as 'Waldweg' [am Teich].
Remaining contents largely sketches for Lulu (see RHKat Item 54).

Item 6 F 21 Berg 28lXXXVII

Entirely sketches for Lulu, except:
(a) f. 14
Harmonic reduction of opening of Schoenberg's op. 7 String Quartet (for essay,
'Warum ist Schonbergs Musik so schwer
vers tandlich?')
2/iv: 464-80
(b) ff. 14', 17
(c) f. 17'
Possibly a discarded version of lliii:
41 7-24
Identification
Gap in original (or earlier) pagination before appearance of Wozzeck materials
confirms that pages listed above are not in their original location. Details
given in RHKat may have been duplicated in error from Item 5. Roughly
correct desciiption given under 'ghost' item 17 (see above: 'Cataloguing
Problems and the Identification of Material').
Date
Probably late (1921) in view of highly developed nature of sketch for 2liv and
apparent notation of stave layout for Particell or vocal score on f. 17.

BERG'S SKETCHES FOR WOZZECK

Item 7 F 21 Berg 7011

Plan for trilogy of operas, Wozzeck op. 7,
Vincent op. 9, Wolfgang op. 11, to be
interspersed with Chamber Concerto op. 8
and a cappella choruses op. 10
?3/i: 63-4
?Plan for 3/i
l/v: 677-9, ?l/v: 705-7
Rejected fragments

(a) f. 2

(b)
(c)
(d)
(e)

f. 5'
ff. 6, 6"
f. 8'
f. 9, 9', 10

Identification
Ff. 9, 9", 10 probably belong with Item 4 (same format, also copies of material
in Item 2). With the exception off. 2 these are all fragmentary sketches of
little apparent significance and difficult to date.

Item 8 F 21 Berg 131x11

Form-scheme for Act 2, then
detailed plan for 2/iv
Discarded rhythm sketch ?for 3liii
Very detailed plan for 2/iv

(a) f. 1
(b) f. 2
(c) ff. 2', 1'

more

Contents
Shows conscious concern to differentiate between transitions and to regulate
relationship between orchestra and onstage music.
Date
Probably 1920 - EHKom, 23 quotes letter to Kassowitz reporting on formal
plan for 2/iv.

Item 9 F 21 Berg 701111

(a) ff. 1,2-5',7,7',
(b) ff. lV, 12, 12'
(c) f f . l v , 1 0
(d) K 8-9'
(e) f. 11'

10, lov, 11 l/i: 1-161

l/ii: 2 1 1-1 2, 286-95, 303-25
l/v: fragments and notes on dramatic
structure
l/v: 691-717
2liii: 380

Identification/Contents

l/i sketch is a more or less continuous vocal score draft, suggesting that the

original order of pages (written on) was approximately as follows: lov, 10, 2',

3', 2, 1, 3, 7", 7, 11, 4, 4', 5, 5' (see Appendix 2).

Date

Probably around July 1919 (see EHKom, 22).

Item 10 F 21 Berg 70111

(a) ff. 1-10'
(b) ff. 11, 1lV

11% 326-482 (omitting 362, 424-5, 473-5)

3/i: 45-51

300

DAVID FANNING

Contents
Material of 3/i related by dramatic subject-matter to that of l/iii (Marie and
child). l/iii sketch makes two 'false starts' before continuous sketch.
Date
Probably before summer 1919 - EHKom, 22 quotes letter to Kassowitz of 22
July 1919 reporting completion of Act 1.

Item 11 F 21 Berg 13/XIII

(a) f. 1
(b) f. 1'

Scenario for Act 3

Scenario for Act 2; sketch for rise of curtain 3/i: 1-6; details of transitions in Act 2

Identification
Act 3 scenario transcribed in EHBem, 38, omitting rejected Polka theme (see
Example 5 above) and reading 'Chor' instead of 'Charakterstiick' [B la
Debussy] apropos 3/v. EHBem, 36 states that the Act 2 scenario indicates a
conclusion to the act with a massive climax broken off by the chorus 'Frau
Wirtin' sung behind a closed curtain - in fact this was intended as a link
between the third and fourth scenes.
ContentsIDate
Act 2 scenario presumably predates that in Item 8 (probably 1920), as it
mentions the rejected 'Frau Wirtin' chorus in 2/iv. Nevertheless it already
shows Berg's conscious care to differentiate between introductions, between
transitions, and between conclusions.

Item 12 F 21 Berg 13/X

(a) f. 1
(b) f. 1'
(c) f. 2
(d) f. 2'
(e) f. 3
(f) f. 4

2/iii: 400 (articulated orchestral glissando)

Discarded chords
l/i: gigue (65-9) in style of courante
?3/i: 33-5
Discarded leitmotifs
Plan for 2/i and discarded sketch for
opening (6-8)
Discarded waltz theme

Contents

2/i plan refers to Eb minor themes (tonality less clear in final version).

Date
Probably from various dates (all torn pages and fragments); 2/i plan probably
immediately precedes I tem 13 (August 1920).

Item 13 F 21 Berg 131x1

(a) ff. 1, lV,2', 3
(b) ff. 2, 3'
(c) ff. 4, 4'

2/i: 6-59, 139, 141-72 (for 140 see Items 1

and 16)
2/iii: 364-82, 395-7
2/v: 797-818

30 1

BERG'S SKETCHES FOR WOZZECK

Contents
~b minor emphasized in 2/i and 2/v. 2/iii linked by subject-matter to 2/i
(Wozzeck's entrance and exit).
Date
This is possibly the sketch referred to in letter to Kassowitz of 9 August 1920
(EHKom, 23), or else part of it (see above: 'Dating Vienna.Item 1 3').

Item 14 F 21 Berg 13/IX

(a) ff. 1, lV,3, 3', 4
(b) f. 2

2/i: 2-53, 93-123;

version of 8 1-4
3/v: 371-82

also copyist's neat

Identification

F. 2 is in a different format and belongs with f. 4 of Item 16. F. 4' contains an

extract from a pre-op. 1 Piano Sonata (see RHKat Items 260-1).
Date
May follow on from Item 13 (i.e. after August 1920), since this is a more
detailed sketch for 2/i. Located after Item 14 Ernst Hilmar found Item 11
(EHBem, 36), and these sketches may originally have belonged together.

Item 15 F 21 Berg 13/VIII

(a) ff. 1, lV,2
(b) f. 2'

2Iiii: 383-402
3/ii: 73-80 and fragments

Contents
These scenes connected by dramatic subject-matter (Wozzeck's confrontation of Marie). F. 1 indicates that the voice line was the last to be decided.
Date
Probably 1919 or 1920. May belong with Item 19 f. 3 - same format (16-lined
paper unusual in Worreck sketches) and were found together by Ernst Hilmar
(EHBem, 35-6). Contents of Item 19 appear to postdate those of Item 9
(probably July 1919); contents of Item 15 are similar to those of Item 13
(probably August 1920).

Item 16 F 21 Berg 13/IV

(a) ff. 1,2",3, 10, lov, 11'
(b) ff. lV,2
(c) f. 4
(d) f. 6
(e) f. 6'
(f) ff. 7, '7
(g) ff. 8, 8', 10"
(h) f. 9
(i) f. 11

2/iv: 455-504, 514-29, 538-60

Extract from piano duet arrangement of
Schoenberg's op. 9 Chamber Symphony
3/v: 371-3
3/i: 61-7
3/ii: 81-91
2/i: 109-30, 139-40, 164-6
3/iv: 284-315, 327-8
Plan for conclusion to 2/ii
2Iiv-v: 737-48

302

DAVIDFANNING

Identification
F. 4 and f. 9 in different format - probably mislocated. F. 4 belongs with Item

14, f. 2.

ContentsIDate

Largely elaborations of materials in Item 1

must predate p. 40 of Item 1).

+ 3; probably 1921 (although f. '7

Item 17 F 21 Berg 131111

Ghost entry. Index number same as Item 4; contents description roughly

correct for Item 6 (see above: 'Cataloguing Problems and the Identification of

Material').

Item 18 F 21 Berg 13/VI

(a) ff. 1, lV,2,4,4',5,5'
(b) f. 3
(c) f. 3"

2/iv: 51 1-20, 560-642

l/v: 665-9 and later fragmerits
Fair copy of l/iv: 635-55

ContentsIDate
Elaboration of material in Items 1 3 and 16 - suggests 1921. Andres's song
in 2/iv shows correction to words found in Witkowski edition of play (Leipzig,
1920) - see Peter Petersen, 'Buchner aus zweiter Hand: Neue Thesen uber
Bergs Wozzeck-Libretto', Alban Berg Symposion Wicn 1980, ed. Rudolf Klein
(Vienna, 1981), 80-3.

Item 19 F 2 1 Berg 13/V

(a) ff. 1, lV,2, 2"
(b) f. 3
(c) ff. 3', 4, 4'
(d) ff. 5, 5"

2/iv: 41 1-49, 455-65, 48&505

2/iii-iv: 403-16
l/i: 153, 162-200 and miscellaneous fragments, 2/iii: 394
Discarded continuation of 2/iv Waltz

Date
2/iv material appears to predate Items 16 and 18; l/i material appears to
follow on from Item 9. So probably 1919 or 1920 (see Appendix 1, Item 15).

Item 20 F 21 Berg 13/XIV

(a) ff. 1, lv, 2, 2'

3/i: 17-40, 52-63

Date
Probably summer 1920 or summer 1921 (see above: 'Dating Vienna Item
1
3', p. 289).

Item 2 1 F 2 1 Berg 74/XV

(a) f. 1

2/i: 21 1-18

Identification/Contents
The remainder of this item is largely taken up with lecture notes on Rondo

303

BERG'S SKETCHES FOR WOZZECK

form (with examples from Beethoven Piano Sonatas op. 13 and op. 31 no.
I).~O
Date
This is a sketch for instrumentation and may even postdate completion of the
Particell (October 1921).

Item 22 F 2 1 Berg 14
'p. 63'

2liv: 624-32

Identification
This single page is interleaved in the Particell after p. 121. The handwriting
and layout are the same as the sketch for 2liv: 606-8 reproduced in Ernst
Hilmar, Wozreck von Alban Berg, 75 (present whereabouts uncertain).
ContentsIDate
This is a more developed sketch than that in Item 1, and so probably dates
from summer 1921.
Subsequent Wozreck items in RHKat are fair copies, proofs and printed
scores. Item 26 should have index number 28lVII (see Lulu Item 53, which
also gives correct description of contents).

Item 260 F 2 1 Berg 48

f. 9 3/iv: 320-7. The fourth of Berg's pre-op. 1 Piano Sonatas opens with the
beginning of the Interlude 3liv-v - see facsimile in Alban Berg: Katalog zur
Ausstellung (Vienna, 1985), 37.
B. SKETCHES IN BERLIN, STAATSBIBLIOTHEK PREUSSISCHER KULTURBESITZ

Item 1 N. Mus. MS 68
3/iii: 209-15 (Wozzeck's exit from the Tavern). Notated in 214. Appears to
postdate drafts for this scene in Vienna Item 1 3, so probably 1921.

Item 2 N. Mus. MS 69
2/iv: 447-65, 604-32. Plan for Chorale Variation. More definitive than Item
1; probably 1921.

Item 3 N. Mus. MS 70
(a) Sketches for op. 6, March, similar to those at the beginning of Vienna
Item 2, p. 5.
(b) Letter suggesting that the sketches dated from 1913-14.

50

I am grateful to Dr Douglas Jarman for the identification of this sketch.

DAVID FANNING

APPENDIX 2

DETAILED INVENTORY
KEY

A1
A2
A3
B1
B2
B3
C1
C2
C3

Concept only (usually verbal)

Discarded idea
Leitmotif or thematic fragment
Rhythm (and contour) only - single line
Rhythm and contour only - more than one line
Rhythm and some melodic details
Single melodic line
More than one melodic line
Nearly complete texture (voice line often contour only)
Complete texture (usually omitting details of instrumentation)

A. VIENNA, C)STERREICHISCHE NATIONALBIBLIOTHEK

Item 1 F 21 Berg 1311

589-97: C M 2
595: C2; 598-600: C2; 603-4: C2; 606-9: B2
604-14: C1-C2; 643: C1, C3; 737-47: C2-B1; 3/iv 319-20:
C3
615-20: C2; 643-9: D; 650-64: A2; 665-8: B3
623: C1; 624-33: A2; 626-7: C1; 649-56: C3; 660-1: C3;
665-70: D-C3
685-96: C2; 697-700: A2; plan to 736
697-704: C1 (see Figure 1)
161-5: D (see Figure 1)
?159-60: C 1; 166-8: D; 3/iv 220: A3
614-17: D; ?622-5: B1
222: Al; 222-3: A3; 227: A3; ?230-5: A2; 237-8: A3;
241-3: A3; 249-51: A2; 262-7: A2; 275: A3; 27t3-84: A3;
discarded ideas
?228-33: A2; 241-6: C1; 243-6: C2; 269-74: Al; all 12
transpositions of 3/iv chord
235-8: B3; discarded ideas
238-58: B3; ?267: A2; 3/iii 122-5: B1
258-73: B2; 277-84: B3
3 15-20: C 1; discarded scale and arpeggio ideas
'Epilog' - inventory of leitmotifs for Interlude 3/iv-v. l/i
4-5: A3; 136-8: A3 (twice); l/ii 201-4: A3; 212-16: A3;
l/iii 363: A3; 453-4: C3; 486-7: A3; l/iv 656-8: A3; 2/i
55-6: A3
l/iii 427: A3; l/v 661-3: A3; 666: A3; 2/i 29-30: A3; 109,
112-14: Al; 2/i-ii 170-4: A3; 2/ii 313-14: A3; 2/ii 368-9:
A3; 2/v 761-2: A3; 776-8: A3; 3/ii 86: A3 (see Figure 3)
2/iii 412-13 or 2/iv 443-4: A3; 3/iv 336-52: C1-B2; 364-6:
C2 (see Figure 4)

BERG'S SKETCHES FOR WOZZECK

36-7
38-9
40

3/v
2/i

305

l/i 12C-2: A3; 139: A3; l/iii 372: A3; 449-52: Al; l/v 715:
A3; 2/i 43-6: A3; 84: A3; ?109: A3; 3/i 33-6: A3
375-81:C2;387-9:Cl
139-40: D

Item 2 F 21 Berg 13/11

Sketches for op. 6, March
Discarded harmonic and thematic fragments
Discarded harmonic and thematic fragments, ?l/ii 3 14:
A2
Discarded harmonic and thematic fragments, 3/iii 122-5:
A2
Cast list and voice ranges. Character sketch of Captain
Discarded theme, 2/i 170-1: A3
Discarded themes for funeral march interlude
193-4: A2; 195-7: A2; 203-4: A2; 21 1-15: A2; 231: A2
191-4: B1; 192-201: B3-Bl
Discarded ideas for 2/ii and 2/iv
191-204: B2; 196-7: C2 (p. 67 reproduced in Hilmar,
Wozzeck, 73)
192-6: C2; 197-9: B3; discarded ideas
Discarded ideas ?for 2/ii
204-25: B2
226-31 : B1; 232-7: C2; 238-43: B1
244-54: B2; 253-9: C 1; 255-8: B2; 262-7 1 : C 1-B1
Discarded ideas; plan for 270-345: A1
287-90: C1; 291-2: C1; 293-6: C1; 346-66: Al; discarded
sketch for military tattoo
272-5: B1; 276-7: A2; 277-9: C2; 282-3: B1; 287-9: C1
279-80: C2; 284-5: B1; 286-96: B3
296-8: B3; plan for 299-3 17: A 1; 3 17-18: A3; 326: A3
Plan for 329-66: Al; discarded Wozzeck themes
201-2: A3; ?203-5: A2; 212-22: A2; discarded idea
containing Eb/D conjunction
212-69: A1
201-4: A2 (chords still not finalized); discarded ideas
Discarded ideas (? for I/ii)

Item 3 F 21 Berg 13/VII

186-90: B2; 618 version with upbeat not used
Retrograde rhythms (not used); see Figure 2
704-12: C1 (two versions); see Figure 2
713-23: C1
724-37: C1 (two versions)
713-16: C1
746-51: B1
750-1: C l ; 751-60: B2-C1
761-73: B2
761 : C1; discarded ideas
Discarded ideas

DAVID FANNING

6
6'

3/ii

"
3/iii

7
7'
8
8"

"
"

"

"

103-7: C2
107-8: C2
Discarded rhythm
122-5: A3; 122-5: B2; discarded rhythms; 168-79: B1
122-5: A3; 144-52: B2-B1
130-6: B1; 193-211: A1
190-6: B1; 208-11: B1

Item 4 F 21 Berg 131111

Discarded ideas for 'Wirtshausscene' (2/iv or 3Iiii) Ostinato, Waltz, Landler, Polka
Discarded ideas for 2/ii and 2/iv; Drum-Major leitmotif in
definitive form - 2/iv 508-12: A3
'Themen' (discarded ideas)
'Akkordverbindungen' (discarded)
Blank
'W[ozzeck] Fugenthemen Strasse' (2lii - all ideas
discarded)
'Strasse Zapfenstreich' (tattoo - ?for llii-iii or 2/ii,
discarded); polka (?for 31iii - discarded)

Item 5 F 21 Berg 28/XVI

No Wozzeck sketches present (see Appendix 1)

Item 6 F 21 Berg 28/XXXVII

Item 7 F 21 Berg 7011

Remarks for Frankfurt performance of Chamber Concerto
Plan for operatic trilogy (see Appendix 1)
?3/i 63-4: A2
?Plan for 3/i
677-9: B1; discarded theme (?l/v 705-7: A2)
Discarded sketches (f. 9 has Eb minor theme with superimposed D)
Notes on Bach chorales and counterpoint
Notes on Bach three-part inventions
Miscellaneous analytical notes
Sketch for chamber orchestra piece (unidentified)

Item 8 F 21 Berg 13/XII

2/iv: Al; 3/iii 144-6: B1; definitive formal layout for entire

work (three acts, each of five scenes)

Continuation of 2' (plan for 2/iv)

Discarded rhythm sketch ?for 3/iii

Detailed plan for 2/iv (reproduced in Hilmar, Wozzeck, 76)

BERG'S SKETCHES FOR WOZZECK

Item 9 F 21 Berg 701111

58-64: C3; 65-77: C3; 65-108: B2-B1; 109-14: A1
286-95: C3-B2; notes on dramatic concept of l/v
42-57: D; 54-7: C1
1-19: D
78-109: C3-Bl
20-41: D
128-36: D
136-43: D-C3
144-53: D-B3
151-61: C3-422
Telegram dated 3 December 1919
129-35: B2-B3; 1364: B1
109-28: D-B3-C3
691-9: D
700-7: D
707-13: D
714-17: B2; 714-17: C3 and discarded rhythm
4-6: A3; 15: A3; 25-6: A3; 30-2: A3
672-4: A2; 700-1 : A3; 71 2-15: A3
Notes on French and English Suite dance movements
(with characteristic rhythms from Bach Suites)
115-27: D
380: A1
303-25: C 1-D
21 1/12: D; 303-5: A2
Item 10 F 21 Berg 70111
326-34: C3; 326-33: C2
326-34: D
335-41: D
342-9: C3
350-61: C3
372-99: D
?410-13: A2; 394-5: A2
396-403: C3; 398-403: C2: 400-3: C2
404-16: C3-D
363-70: C3
369-71: C3
417-23: C3; 426-7: C3
428-33: C3
434-9: B3
440-6: B S C 2
447-54: C2-B3
453-4: A2; 453-4: C3; 455-8: C2; 456-8: C3
459-67: C3
468-72: C3; 476-80: A2
481-2: A2
45-5 1: D; discarded fragments
45-51: BSB1

DAVID FANNING

Item 11 F 21 Berg 13/XIII

Scenario for Act 3 (cf. transcription in EHBem, 38)
Scenario for Act 2 (less detailed than Act 3 scenario);
sketch for rise of curtain 3/i 1-6: A2; plan for transitions
in Act 2 (still provisional - mentions chorus 'Frau Wirtin'
in 2Iiv)

1
1'

Item 12 F 2 1 Berg 13/X

1
1'
2

2/iii

2'
3
3'
4
4'

400: C3
Discarded chords
Sketch for 9/16 courante (later became gigue, l/i 65-9:
B2); discarded 414 idea
F minor idea (?3/i 33-5: A2)
Leitmotifs for 'Kind' and 'Dirne' (discarded); discarded
theme (?2/i 6-10: A2)
Blank
Plan for 2/i and discarded sketch for opening (2/i 6-8: A2)
Waltz (discarded)

Item 13 F 21 Berg 131x1

6-59: B2
43-5: B2; 50-9: C2-C 1
364-8: D; 367-71: C 1-Bl; 367-74: D; 372-5: C3
162-71: C3; 164-5: D; 170-2: D
139: C3; 141-61: C3 (planned stretto in Eb minor) (140
sketched in Items 16 and 1)
374-81: C3-B3; 381-2: B2; 395-7: B1
805-18: C3
797-805: C3

Item 14 F 21 Berg 13/IX

1
1'
2

2/i

"
3/v

2'
3
3'
4
4'

2/i

"
"
"

29-53: C 3 4 2 ; 50-53: C2
2-6: C2; 4-5: C2; 6-29: D-C3
371-82: C2
Blank
8 1 4 : D (fair copy); 109-12: B3; 109-23: B1-B2
106-8: C3; 107-9: B3
93-100: C3; 97-107: B3
Sketch for pre-op. 1 Piano Sonata (see RHKat, Items
260-1)

Item 15 F 21 Berg 13/VIII

1
1'
2
2'

2/iii

"
"
3/ii

383-9: C3
390-7: C3
397-402: C3-B2; 400-2: B1
73-80: D-B3; 100: A3; 103: A3; 103: A2; discarded fragments

309

BERG'S SKETCHES FOR WOZZECK

Item 16 F 21 Berg 13lIV

455-62: B2
Extract from piano duet arrangements of Schoenberg's
op. 9 Chamber Symphony
460-70: B2; 471-80: Bl ('folgt Walzer')
51 1-13: A2; 513-29: C 2 4 3 ; 513-25: C2
Discarded waltz idea
371-3: C2 (part of missing page Item 14, f. 2)
Blank
61-7: D C 2
81-91: B3
109-30: D-B3; 117-23: A2; 164-6: B1
139-40: C3 (and part of a letter)
284-96: C2
297-315: C2
Details of instruments (?original concept of part of 21iii);
concept of part 2lii; discarded rhythm (?around 2/ii
297-300)
Blank
538-50: C2-B3 and stage directions up to 559
546-60: C3; 3liv 327-8: D
737-48: D-C3
480-504: C3
Strips of manuscript with score layout indications (?for
2/iii)

Item 17 F 21 Berg 131111

Ghost entry - see above, 'Cataloguing Problems and the Identification of
Material'.

Item 18 F 21 Berg 13lVI

51 1-13: A2; 513-20: C2; ?526-9: A2; 555-9: A2; discarded
fragments
560-89: C3
Landler 1')
589-98: A2; 599-4302: A1 ('Todesahnung
Blank
665-9: A3; 702-3: A3; 708: A3; 709: A3; discarded fragments
635-55: D (fair copy)
600-5: D
596-9: C3; 605-10: B3 (reproduced in Hilmar, Wozzeck,
74)

610-24: B3

62-2:
B3

Item 19 F 21 Berg 13/V

1
1'

2liv
2liii-iv

480-505: C2; discarded fragments

411-15: A2; 416-21: C2; 429-47:
themes

C3-B3;

discarded

DAVID FANNING

447-9: A3; 45545: C3

421-9: D
402-3: A2; 403-16: C W 2
47-8: A3; 65: A3; 80: A3; 172-6: C2; 184-200: C1; 201
A3; discarded fragment
172-91: C2
394: C3
153: D (fair copy); 162-5: B3; 165-72: B3
Discarded fragments for continuation of 2/iv Waltz

Item 20 F 21 Berg 13/XIV

1
1'
2
2'

3/i

"
"
"

17-18:
26-35:
33-40:
52-63:

C1; 17-29: M I ; 19-29: C 3 4 1

C2-B1; 28-32: C2
C2; 38: C3; 38-40: C3; discarded theme
C3-B2

Item 21 F 21 Berg 74/XV

Item 22 F 21 Berg 14
'63'

2/iv

624-32: C2 (see Appendix 1)

Item 260 F 2 1 Berg 48

9

3/iv

320-7: D-C3 (as opening of pre-op. 1 Piano Sonata IV)

B. BERLIN. STAATSBIBLIOTHEK PREUSSISCHER KULTURBESITZ

Item 1 N. Mus. MS 68
Quarto, 12-stave manuscript. 3/iii 209-15: C3. Sketch in full score, two
systems (seven staves; five staves). Probably given to Friedrich Wildgans by
Helene Berg in 1955 (see letter on adjoining sheet).

Item 2 N. Mus. MS 69
2/iv 447-65: Al; 604-32: Al. Plan for Chorale Variation derived from chord
progression. Annotation: 'Manuskript Alban Bergs mit Beispielen zur 4.
Szene des zweiten Akts der Oper "Wozzeck"'.

Item 3 N. Mus. MS 70
Sketch for op. 6, March (cf. Vienna Item 2, p. 5). Adjoining page contains
draft of a letter to Doktor ? of 17 July 1931, mentioning that the sketch must
date from 17 or 18 years previously.

BERG'S SKETCHES FOR WOZZECK

APPENDIX 3

SUMMARY OF THE SKETCHES

(See Key to Appendix 2, p. 304.)

Act 1, scene i (Suite)

Prelude

Pavane (30)
30-2 A3 9/10

Vla cadenza (51)

Gigue (65)
65 A3 1913'

D. bn cadenza (109)
109-14 A1 911
Gavotte ( 1 15)

Double I (127); Double I1 (133)

Air (136)
136-8 A3 1/31
139 A3 1/37
Reprise ( 153)

136-8 B1 917

DAVID FANNING

Interlude (1 73)

Scene ii (Rhapsody and Hunting Song)

Rhapsody (20 1)
201 A3 1913'
201-2 A3 2/90
201-4 A2 2/94
201-4 A3 1/30
?203-5 A2 2/90
Hunting Song 1 (2 12)

Rhapsody (223)
Hunting Song 2 (249)
Rhapsody and Hunting Song 3 (257)

Interlude (31 1)
?314 A2 2/52

Scene iii (Military March and Cradle Song)

Military March (330)

Quasi Trio (346)

Introduction (363)
363 A3 1/30
Cradle Song 1 (372)
372 A3 1/36
Cradle Song 2 (388)
394-5 A2 1014

BERG'S SKETCHES FOR WOZZECK

Coda and Transition (417)

4 17-24 A2 6117'

Through-composed episode (427)

427 A3 1/33

Interlude (473)
476-80 A2 10110
481-2 A2 10/1OV
486-7 A3 1I30

Scene iv (Passacaglia) (488)

No sketches known, except:
Interlude (656) (=Quasi-rondo A)
656-8 A3 1131
661-3 A3 1/32
665-9 A3 1813
666 A3 1/32

Scene v (Quasi-rondo)

DAVID FANNING

Act 2, scene i (Sonata)

Introduction (1)
Exposition a (7)

Transition (29)

29-30 A3 1/32

Exposition b (43)

43-6 A3 1/37
Transition (4)

5 5 6 A3 1131
1st Reprise a (60)
Transition (81)
84 A3 1/37
1st Reprise b (90)
1st Reprise c (93)

43-5 B2 13/lV

BERG'S SKETCHES FOR WOZZECK

Development (96)
97-107 B3 1414
106-8 C 3 1413'
109 A3 1/37
109 A1 1/32
112-14 A1 1/32

107-9 B3 1413'
109-23 B 1-B2 1413
109-12 B3 1413

109-30 D-B3 1617

2nd Reprise a (128)

Interlude (stretto) (141)

2nd Reprise b (150)
2nd Reprise c ( 162)

Scene ii (Fantasia and Fugue)

Invention a + b (171)
191-4 B1 2/62
191-7 B2 2/66
192-7 B3-B1 2/62

192-6 C2 2/68

193-4 A2 216 1
195-7 A2 2/61
196-7 C2 2/67

Waltz (202)
203-4 A2 2/61
204-13 B2 2/72
21 1-15 A2 2/61
21 4-25 B2 2/73
226-31 B1 2/74
23 1 A2 216 1

DAVID FANNING

Chorale c (272)
270-345 A1 2/79
276-7 A2 2/83

272-5 B1 2/83
277-9 C2 2/83
279-80 C2 2/84
282-3 B1 2/83
284-5 B1 2/84

Fugue a (286)
286-96 B3 2/85
287-9 C 1 2/82
287-90 C 1 2/80
291-2 C 1 2/80
Fugue b (293)
293-6 C1 2/80
296-8 B3 2/86
Development a + b (298)
299-3 1 7 A 1 2186-7
Fugue c (313)
313-14 A3 1/33
Development a+ b+c (317)
31 7-18 A3 2/87
326 A3 2/87
329-66 A1 2188-9
Fugue c (341)
Coda (345)
346-66 A1 2/80
Interlude (=Largo A') (366)

Scene iii (Largo) (372)

Largo B (387)

BERG'S SKETCHES FOR WOZZECK

Recapitulation (Largo A2a) (398)

400-2 Bl 1512
Largo A2b (402)
402-3 A2 1913
Interlude (=Scherzo I, i.e. Landler A') (412)
41 1-15 A2 1911'
412-736 A1 811, 2, 2'
412-13 A3 1/34
Landler B (430)
Landler A2 (439)

Scene iv (Scherzo) (443)

Transition (447)
447-9 A3 1912
447-65 A1 Berlin 2
Trio l a (456)

Trio I b (465)
471-80 B1 1612'
Scherzo I1 (Waltz A) (481)

Waltz B (496)

Waltz D (514)

318

DAVID FANNING

Waltz E (529)

Waltz F (539)

Waltz G (546)
555-9 A2 1811

558-9 A2 16/10' (twice)

Trio I1 (Hunting Chorus) A' (560)

Trio I1 B (576)

Trio I1 A* (581)

Ostinato (589)

589-98 A2 1812

Scherzo I (Quasi-reprise of Landler A) (592)

Landler B (603)
604-32 A1 Berlin 2
Trio I (Chorale Variation) Melodrama (605)
605-10 B3 1814'
606-9 B2 115
61G24 B3 1815

624-32 C2 22/63 (see

Appendix 1)
Transition (634)

BERG'S SKETCHES FOR WOZZECK

650-64 A2 118
665-8 B3 119
Scherzo I1 (Quasi-reprise of Waltz) (67 1)
(Waltz C+D) (685)
691-736 A1 1/13
697-700 A2 1113

Introduction (737)

Scene v (Idtroduction and Rondo marziale) (742)

Rondo marziale A' (761)

76 1-2 A3 1/32
761-73 B2 314'
Rondo marziale A2 (768)

Rondo marziale B' (776)

776-8 A3 1/32

Rondo marziale

(785)

Rondo marziale C' (789)

Rondo marziale B2 (800)

Rondo marziale A4 (805)

Act 3, scene i (Invention on a Theme)

1-6 A2 1 111' (twice)

Theme (3)

761 C1 315

DAVID FANNING

Variation 1 (10)
Variation 2 (17)

Variation 3 (19)
Variation 4 (26)

Variation 5 (33)
?33-5 A2 1212'
33-6 A3 1/37

Variation 6 (40)
Variation 7 (45)
45-51 B3-Bl 10111'
Fugue a (52)
Fugue b (57)

Stretto (62)

63-4 A2 715'

Codetta (71)

Scene ii (Invention on a Note)

A (73)

BERG'S SKETCHES FOR WOZZECK

Interlude (109)

Scene iii (Invention on a Rhythm)

Polka (122)
122-5 A2 2/55
122-5 A3 317, 317'

122-5 B 1 1/25
122-5 B2 317
130-6 B1 318

Song 1 ( 145)
144-6 Bl 811
144-52 B2-B1 317'
Polka (154)

Song 2 (168)
168-79 B1 317
Stretto (186)
186-90 B2 311
190-6 B1 318"
193-211 A1 318
208-1 1 B 1 318'
209-15 C3 Berlin 1
Interlude (2 12)

Scene iv (Invention on a Six-Note Chord)

Part 1 (220)
220 A3 1/16
222 A1 1/18
222-3 A3 1/19
227 A3 1/18
?228-33 A2 1121
?230-5 A2 1/18
235-8 B3 1/23
237-8 A3 1/19
238-45 B3 1/24
241-3 A3 1/19

Part 2 (257)
258-69 B2 1/26
262-7 A2 1/18
?267 A2 1/24
26S74 A 1 1/21
27&3 B2 1/27

DAVID FANNING

Part 3 (284)

Part 4 (302)

Interlude (Invention on a Tonality) (320)

320-7 D-C3 26019
327-8 D 16110"
336-45 C 1-B2 1/34
337-45 C3 1/31
346-52 B2 1/35
364-6 C2 1/35

Scene v (Invention on a continuous quaver motion) (372)

371-3 C2 1614
371-82 C2 1412
375-81 C2 1/38
387-9 C 1 1/39