Musical Symbolism in

Thomas Mann's mDoktor Faustum

by Gunilla Bergsten

The musical elements of Thomas Mann's Doktor Faustus have proved a stum-
bling-block to many interpreters of the novel. Music critics have been irritated
by Mann's wilful treatment of historical problems and find his psychological
interpretation of musical modes of expression highly questionable. The ex-
clusively literary critics, on the other hand, are often inclined to regard the
musical apparatus of the novel as an exhibition of scholarly learning of sub-
ordinate importance. Both ways of approach lead one astray, however. In
making a composer the hero of the novel Mann lays down, not music, but
the language of musical analysis as one of his chief media of presentation.
The musical terminology of Doktor Faustus is throughout symbolic; and the
exposition of the historical development of German music is nothing but a
vast and complex symbol of the spiritual problems that constantly occupied
Mann the humanist. In Der Zauberberg he goes straight to the point, using the
academic jargon of a modem scholar; in the Joseph tetralogy he employs my-
thical patterns to express the same set of ideas; in Doktor Faustus he turns
to the language of music for the final revision and solution of the problems
that had haunted him for a life-time. Disregarding the objections raised by
professional musicians and being convinced of the central importance of the
musical pattern of the novel, I will try to substantiate my interpretation by
analysing a few isolated traits. At the risk of incurring accusations of pedantry
-- which would ultimately fall back upon Mann himself - I will be as explicit
as possible, trusting that the mass of evidence will form the best support for
my theory.
As Mann himself has pointed out, Doktor Fauslus can and should be in-
terpreted on many different levels. In Die Entstehung des Doktor Faustus he
speaks of the Montage-Technik of the novel, of the depth of perspective of the
story.' The exact definition of the various levels, Mann graciously leaves to
1. Die Entstehung des Doktor Faustus. Roman eines Romans, Amsterdam, 1949, p. 33.
Musical Symbolism in Thomas Mann’s “Doktor Faustus”
~~ ____ ~

his critics. Of special interest is the time structure of the novel, involving a 207
complex technique of what might be called double references. Every event
or episode in the story has a direct, obvious meaning within the context of
related events. Adrian Leverkiihn’s visit to Hetaera Esmeralda, for instance,
is sufficiently accounted for by Adrian’s previous experience and by his situ-
ation in general, but at the same time it alludes to, or is symbolic of two other
events, both of wide, national sigruficance.
Correspondingly, all the major events of the novel can be interpreted on
two or three separate levels of time: first, the period during which Serenus
Zeitblom was occupied in writing the biography of his friend, i. e. from May
27, 1943 to the May of 1945 (p. 10, p. 715);2 secondly, the span of Adrian’s
life, 1885-1940; and thirdly, the history of German civilization from the end
of the Middle Ages up to the second World War. Adrian being a “typical”
character, a kind of reincarnation of characters from the earlier history of
Germany such as Doctor Faustus and Beethoven, the second and third levels
often overlap, but never obviously since the historical level is only implied,
never directly referred to by Zeitblom.
The amount of historical information contained in Doktor Faustus is quite
astounding and makes the novel into a kind of encyclopaedia of German cul-
ture. Apart from the pleasure Mann obviously took in exhibiting his learning
- manifest in all his major works - the historical elaboration in Doktor Faustus
serves the purpose of supplying a background for Adrian Leverkuhn’s life
and work, but it is also an end in itself since the nature and causes of the
destiny of Germany is the real subject-matter of the novel. The integration of
this encyclopaedic material into a work of art naturally involved considerable
difficulties. One device that Mann had often employed before consists in creat-
ing characters of such education and of such interest as made it natural for them
to expatiate, in conversation, on various historical problems; this applies, of
course, in particular to the Studienrat Herr Doktor Serenus Zeitblom himself.
But even so Mann ran the risk of trying the patience of his readers; the histo-
rical information had to be as condensed as possible, and hints and allusions
often take the place of lengthy discussions. Sometimes a proper name stands
for a whole complex of ideas or a whole epoch.
Mann’s aim to give a complete historical survey in Doktor Faustus is
manifest above all in the field of music. The novel contains references to not
less than 68 different composers, some of them mentioned only once or twice,
others thoroughly analysed. As appears from the following table they cover
2. Figures in brackets refer to the “Stockholmer Gesamtausgabe”, 1951.
 Gunilla Bergsten

208 almost completely the development of European music up to the time of

Adrian's de'but. (The page references are not exhaustive; the include first men-
tion and subsequent discussions of any significance.)
Perotinus Magnus (556 f.) . . ca. 1200 Berlioz (117. 225. 615. 666) . 1803-69
Andrea Gabrieli (420) ...... 1510-86 Mendelssohn (119) ......... 1809-47
Giovanni Gabrieli (420) .... 1557-1612 Chopin (215 f., 265) ........ 1810-49
Pdestrina (112. 420) ........ 1525-94 Schumann (115. 117. 119. 215) 1810-56
Orlando di Lasso (95.420) .... 1532-94 Liszt (117) ................ 1811-86
von Burck (95) ............ 1541-1610 Wagner (97. 130. 216. 220.
Monteverdi (267. 724. 726) . . 1567-1643 245.283.290.557. 666 f.) . . 1813-83
Frescobaldi (267) .......... 1583-1643 Franz. Robert (119) ........ 1815-92
Schiitz (267) ............... 1585-1672 Gounod (117. 607 f., 615) .... 1818-93
Carissimi (267) ............ 1604-74 Viewtemps (299. 612) ...... 1820-81
Melani (722) .............. 1623-? Franck (117. 299) .......... 1822-90
Buxtehude (267) ........... 1637-1707 Bruckner (98. 117. 604. 608) 1824-96
Scarlatti (1 12. 627) ........ 1659-1725 Brahms (117 ff., 286. 356. 604.
Ariosti (413) .............. 1660-? 649) ................... 1833-97
Vivaldi (299) .............. 1680-1743 Borodin (117) ............. 1834-87
Bach (98. 112. 118. 211. 419. Wieniawski (612) . . . . . . . . . . 1835-80
521. 556. 560. 600. 619) . . 1685-1750 Mussorgsky (117) .......... 1835-81
Handel (215. 556) .......... 1685-1759 Saint-Saens (616 ff.) ........ 1835-1921
Beissel (99f€., 284. 562) .... 1691-1768 Tchaikowsky (117. 414. 561) 1840-93
Tartini (521. 612) . . . . . . . . . . 1692-1770 Chabrier (117. 627) ........ 1841-94
Gluck (215) ............... 1714-87 Dvorak (117. 640) .......... 1841-1904
Haydn (69. 116. 211. 413) .. 1732-1809 hlassenet (608) ............ 1842-1912
Cimarosa (627) ............ 1749-1801 Grieg (299) ............... 1843-1907
Clementi (116) ............ 1752-1832 Rimsky-Korsakov (117. 356) . 1844-1908
Mozart (69.112. 116.120. 390) 1756-91 d'Indy (117) .............. 1851-1931
Cherubini (205. 255) ....... 1760-1842 Wolf (119. 604f.) .......... 1860-190.3
Beethoven (79 ff. . 87 ff., 102. Mahler (119. 242) .......... 1860-1911
109. 115. 119ff., 132. 215. Debussy (117. 225. 391. 522.
239. 245. 286. 299. 356. 359. 627) ................... 1862-1918
562. 612. 712. 723ff.) .... 1770-1827 Strauss. Richard (230. 233) . . 1864-1949
Paganini (240) ............ 1782-1840 Satie (599) ................ 1866-1925
Spohr (299) ............... 1784-1859 Ravel (414. 627) ........... 1875-1937
Weber (120. 214. 341. 372f., de Falla (522. 603) ......... 1876-
741) ................... 1786-1826 Stravinsky (414) . . . . . . . . . . . 1882-
Meyerbeer (293) ........... 1791-1864 Thomson. Virgil (599) . . . . . . 1896-
Schubert (117. 119. 120) .... 1797-1828 Rieti (627) . . . . . . . . . . . . . . . . 1898-
Lanner (61.5) .............. 1801-43 Auric (627) . . . . . . . . . . . . . . . 1899-
Btriot (612) . . . . . . . . . . . . . . 1802-70 Poulenc (627) . . . . . . . . . . . . . 1899-

The inclusion of several non-German composers in the novel is not surprising.

since the history of German music is so often interreIated with European music
in general. but the number of composers. whose chief instrument was the violin.
is out of proportion to the rest. which. however. is due to the elaborate record
of Adrian's work on the violin concerto dedicated to Rudi Schwerdtfeger. The
Musical Symbolism in Thomas Mann’s “Doktor Faustus”
list of composers does not extend farther back than the late twelfth century, 209
which is quite natural as we do not know the name of any notable composer
before that date. Yet Mann has covered even the precering phases of the
history of music, at least to some extent. In a discussion of the foundations
of harmony, reference is made to both Pythagoras and Ptolemy (pp. 142,239),
and the origins of vocal music in the simple, anonymous VoZkslied is illustrated
by the old ditties Adrian used to sing, as a small boy, together with Hanne, the
stable-maid at Hof Buchel (p. 46).
The list of composers is here complemented by a table of the musical in-
struments that appear in Doktor Fwstus; it is almost equally exhaustive, and
serves the same p ~ r p o s e . ~
Bronze horn (65)
Drum (66)
Kettle-drum (66)
Castanets (67)
Cymbal (66, 67, 275) Old instruments of various
Tambourine (67, 275) non-European origin
Flute (65, 68, 270)
Piccolo flute (65)
Harp (701, 729)
Trumpet (65, 474, 561, 701)

Guitar (37, 149) Middle Ages

Xylophone (66)
Trombone (65, 474)
Viola da gamba (64,) 16th century
Viola d’amore (64, 412)
Bassoon (64, 270, 474)

Violin (64, 69, 474, 682, 701)

Viola (64, 682)
Violoncello (64, 69, 227, 682, 732)
Double bass (64, 474)
Glockenspiel (‘Bell-play’) (66, 474, 729)
Oboe (65, 701) 17th century
Harpsichord (729)
Double-bassoon (64)
Clarinet (65, 270, 474)
Oboe d’amore (63)
Cor anglais (65)

3. In his “Sinn und Wandlung der Musik in Th. Manns Doktor Faustus und Hermann
Hesses Glasperlenspiel”, Annales Universitatis Saraviensis, 2, Saarbriicken 1953, p. 146,
J. Miiller-Blattau hints at a similar interpretation but he does not undertake any
systematic investigation.
 Gunilla Bergsten
210 Piano (75, 96, 171, 214, 270, 308, 680, 729)
Basset horn (270) 18th century
Triangle (67)
Harmonium (73, 293) 1810
Erard’s double-action pedal harp (67, 701, 729) ca. 1810
Valve horn (65) 1816
Bass tuba (65) 1835
Saxophone (561) cu. 1840
Celeste (64, 701, 729) 1886

The inclusion of all these instruments and composers in Doktor Fwstus can
certainly not have been a matter of chance. It reveals the deliberate purpose of
the author to include in the novel the entire past of German culture in the
disguise of the history of music. The proportion accorded to music and musi-
cal history compared with other fields of cultural activity can be estimated from
the following figures. The novel contains altogether 294 characters, of whom
121 are fictitious; of the rest, 173 historical or mythical personages, 82 are
in some way associated with music, 68 of them being composers. By trans-
lating problems of, for instance, religion and politics into terms of music, Mann
was able to reduce his material considerably, thus overcoming a difficult pro-
blem of composition and achieving a higher artistic unity. But at the same time
he presented the interpreter of the novel with the difficult task of deciphering
the musical code.
The table of composers gives only a vague idea of the relative importance
attributed to each individual composer in the novel; it is in his choice of signi-
ficant characters within the list, however, that Mann reveals his intentions.
Had he aimed at an objective picture of the development of German music,
he would no doubt have had much more to say about Johann Sebastian Bach,
the father of the German music, for instance. In fact, Bach occupies a very
subordinate place in the novel, whereas the principal part is given to Beethoven.
M a d s treatment of Beethoven gives a clue to the understanding of the whole
historical construction within Doktor Faustus and supplies a key to the musical
symbolism. Mann discerns three decisive points in the spiritual history of
Germany; the first is the Reformation, the second the Romantic revolution
at the beginning of the nineteenth century, and the third, finally, the period
covered by the span of Adrian’s creative activity. In all three cases it is a
question of what Mann calls Durchbruch, a breaking through of the barriers of
isolation and estrangement and of imposed artistic and spiritual forms, a revo-
Musical Symbolism in Thomas Mann’s “Doktor Faustus”

lution of subjectivity against objective standards. As regards the Reformation, 211

that change is presented, in the novel, in its original theological terms, since
sixteenth century German music was not sufficiently developed to lend itself to
a complex symbolic function, but in the other two cases music is the chief
medium of presentation.
Generally, Beethoven is regarded as the last of the classicists, but to Mann
he is the first of the romantics, struggling to assert the right of self-expression
in art, and yet tragically endeavouringto masterthe rigorous forms of classicism.
Thosetwo opposing tendencies are but a variation of the twain souls of Goethe’s
Faust, and thus, appearing as a representative of the >Faustian mana, Beetho-
ven reveals his fundamental identity with the old Doctor Faustus of the Re-
naissance and Reformation era, and with the modern Doktor Faustus, Adrian
Leverkiihn.
Adrian, as well as the readers of Doktor Faustus, are introduced into the
world of Beethoven’s music through the lectures of Adrian’s musical mentor,
Wendell Kretzschmar. Kretzschmar’s interpretation of the piano sonata opus
111 is an imposing study in Tiefsinn and supplies a number of formulas for
the romantic dualism of Beethoven’s music. Starting with the opposition of the
two fundamental principles of harmonic homophony and contrapuntal poly-
phony, Kretzschmar arrives at two important equations according to which
harmonic homophony = subjectivity, and contrapuntal polyphony = objecti-
vity. Synonymous with subjectivity is >expression<(Ausdruck), and with ob-
jectivity Sachlichkeit (pp. 82,556). From the technical point of view objectivity
implies conforming to strict rules and acceptance of what Kretzschmar calls
the conventions of music. Subjectivity, on the other hand, means revolt against
fixed rules and free play for capricious improvisations. Beethoven’s treatment
of the Sonata Form illustrates the clash of the two principles: retaining the
essentials of the classicist standards, he yet permits the development section to
expand and become the most important part of the movement, thus breaking
traditional rules and yielding to subjectivity (p. 286). The manifestation of one
of Beethoven’s two Faustian souls, subjective self-expression is in constant
conflict with his demand for formal stability; the disruptive force of Beethoven’s
passionate character needed the support of imposed forms, as is illustrated
by his lifelong strugle to master the strictest of all contrapuntal forms, the
fugue (pp. 87 ff.). In this inner split Mann sees the very essence of demonism,
which according to one, quite astounding definition is the result of the Espres-
sivo taking possession of strict counterpoint, causing objectivity to “blush
with passion” (“das Objektive rotete sich von Gefuhl”, p. 267).
 Gunilla Bergsten
2t 2 Mann’s analysis of Beethoven culminates in the concept of Durchbruch.
That term has a very wide application including the attempts of the individual
artist as well as of the German nation to break through the barriers of loneliness
and isolation into a universal human community. The history of music from
the Renaissanceto Beethoven is characterized by a gradual dissociation of music
from its former ritual, ecclesiastical functions, and that secularization is the
chief cause of the spiritual isolation of modem art (pp. 92, 126). Beethoven’s
struggle with the fugue illustrates the attempt of the secularized artist to break
5 s isolation and reestablish a communion between art and religion. On the
orthodox level (for counterpoint is but another word for orthodoxy) Beethoven
suffered defeat, and in spite of its gospel of all-embracing humanity the finale
of the Ninth Symphony remains a manifestation of romantic subjectivity. The
choral symphony formed the starting-point of Richard Wagner, and the prin-
ciple of subjectivity inherited from Beethoven was carried to its extreme limits
by the post-romantics who thus prepared the way for another turn in the
dialectical progress of history. At the moment of Adrian Leverkiihn’s de‘but,
time was ripe for a new Durchbruch, the supreme goal of Adrian’s life (p. 482).
At first sight this interpretation of Beethoven’s life and work may seem
sheer metaphysical rigmarole; yet it contains in nuce Mann’s philosophy of
history. As one begins to discover the interrelations of the different structural
levels of Doktor Faustus, the figure of Beethoven assumes a new significance;it
is revealed to be a foreshadowing of Adrian Leverkuhn, and the identity of the
two is part of the evidence of Mann’s trying to embody a cyclic theory of history
in the novel, Beethoven is not the only analogue of Adrian, that is true - other
incarnations of the “Faustian man” are Luther, Wagner and Nietzsche - but
he is the most explicit, the most conspicuous one. The relation of Adrian to
Beethoven contains a “demonic” ambiguity, however: their identity is a nega-
tive identity, Adrian creates the absolute negation of Beethoven’s music and
retracts all that Beethoven achieved. Their identity is not a question of biogra-
phical parallelism, as in the case of Nietzsche, but of artistic achievement.
Adrian’s character of an inverted Beethoven will appear most clearly from
a comparison between Adrian’s last composition, a cantata called Doctor Fausti
Weheklag, and three of Beethoven’s late works, the Missa Solemnis, the choral
symphony, and the string quartet in F opus 135. In a long digression in one
of his lectures, Wendell Kretzschmar relates the moving story of the composi-
tion of the mass. After a whole night’s desperate struggle with the fugue of the
“Credo”, Beethoven comes out of his room at one o’clock in the morning and
asks for something to eat. Finding the kitchen-maids fast asleep he exclaims,
Musical Symbolism in Thomas Mann’s “Doktor Faustus”
“Konnt ihr denn nicht eine Stunde mit mir wachen?” (p. 90). The phrase re- 21 3
appears towards the end of the novel in Zeitblom’s analysis of the Wehekkzg;
Faustus’ words to his disciples, they could “mit Ruhe schlafen”, Zeitblom
interprets as the reverse of the “Wachet mit mir!” of Gethsemane (p.730).
Referring thus at the same time to Christ, to Beethoven, and to the Faustus
of the Vdksbuch, which supplied Adrian with the text of his cantata, the phrase
indicates the entire scope of Adrian’s “taking back” (Zuriicknehmen) of the
message of the ninth symphony. The last movement of Beethoven’s symphony,
based on Schiller’s “Ode an die Freude”, corresponds to the choral movement
of the Weheklag called “Hymn to Sorrow”. The negative correspondence is
manifest even in the technical details of the two compositions: the vocal parts
having finally been stifled by the orchestra, the cantata dies away in a solitary,
high note of a cello (p. 732), whereas, in the ninth symphony, the choral ode is
intoned by the cellos.
Adrian’s own confession of the purpose of his last composition is one of
the central passages of the novel:
- Ich habe gefunden, sagte er, - es soll nicht sein.
- Was, Adrian, soll nicht sein?
- Das Gute und Edle, antwortete er mir, - was man das Menschliche nennt,
obwohl es gut ist und edel. Um was die Menschen gekampft, wofiir sie Zwing-
burgen gestiirmt, und was die Erfullten jubelnd verkiindigt haben, das soll
nicht sein. Es wird zuriickgenommen. Ich will es zuriicknehmen.
- Ich verstehe dich, Lieber, nicht ganz. Was willst du zuriicknehmen?
- Die “Neunte Symphonie”, enviderte er. (p. 712).
The phrase “es soll nicht sein” is another instance of Mann’s use of complex
allusions. In the first place the phrase is identical with one used by the Devil
in his conversation with Adrian in Italy (p. 373), and it forms part of a sen-
tence borrowed, word by word, from the VoZksbuch of Doctor F a u s t ~ sBut .~
it also alludes to Beethoven, to the motto of the fourth movement of the string
quartet opus 135. Again, it is an inverted, negative allusion. Below the prin-
cipal subject of the last movement Beethoven wrote the words, “MUSSes sein?”,
later followed by, “Es muss sein, es muss sein”. This motto has been variously
interpreted. Some hold that it was intended as a joke referring to a dispute
between Beethoven and his housekeeper about her wages; others, and among
them Hermann Kretzschmar, the namesake of Adrian’s teacher, read the motto
4. Historia von D . Johann Fausten, ed. by R. Bern (“Die deutschen Volksbiicher”),
Jena, 1924, p. 14.
 Gunilla Bergsten
214 as an affirmation of the positive qualities of life, of “the Good and the Noble”
of which Adrian said that “it shall not be”.5 Recalling this saying of his friend,
Zeitblom feels certain that Adrian intended the Wehek2ag as a negation of the
message of the choral symphony @. 730).
These are only a few elucidative instances of the use Mann makes of the
framework of musical history as focused in the figure of Beethoven. Ultimately
the musical categories of Daktor Fmstus serve to express a complete philo-
sophy of history, but here I have only been concerned with some technical
aspects. The dualism of Mann’s philosophy, as illustrated by the opposition of
subjectivity to objectivity, is reflected, not only in the works of Beethoven and
Adrian Leverkuhn but also in the technical structure of Thomas Mann’s own
work: in the conflict between his endeavour to integrate into the novel an over-
whelming quantity of historical facts and his attempt to make these facts yield
a meaning consistent with his private vision of the destiny of Germany.
5 . Cf. Schindler, A., Biogruphie von Ludwig van Beethoven, Miinster 1845; Mersmann,
H., Hermann Kretzschmar Fiihrer durch den Konzertsaal, “Die Kammermusik“ 11,
Leipzig, 1930, p. 183.