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Kalman Filtering Theory and Practice Using MATLAB
Third Edition Mohinder S. Grewal Digital Instant
Download
Author(s): Mohinder S. Grewal, Angus P. Andrews(auth.)
ISBN(s): 9780470377819, 047037781X
File Details: PDF, 10.98 MB
Year: 2008
Language: english
KALMAN FILTERING
KALMAN FILTERING
Theory and Practice Using MATLABw

Third Edition

MOHINDER S. GREWAL
California State University at Fullerton

ANGUS P. ANDREWS
Rockwell Science Center (retired)
Copyright # 2008 by John Wiley & Sons, Inc. All rights reserved
Published by John Wiley & Sons, Inc., Hoboken, New Jersey
Published simultaneously in Canada

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by
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Library of Congress Cataloging-in-Publication Data:

Grewal, Mohinder S.
Kalman filtering : theory and practice using MATLAB/Mohinder S. Grewal,
Angus P. Andrews. — 3rd ed.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-470-17366-4 (cloth)
1. Kalman filtering. 2. MATLAB. I. Andrews, Angus P. II. Title.
QA402.3.G695 2008
629.8’312—dc22
200803733
Printed in the United States of America

10 9 8 7 6 5 4 3 2 1
CONTENTS

Preface ix
Acknowledgments xiii
List of Abbreviations xv

1 General Information 1
1.1 On Kalman Filtering, 1
1.2 On Optimal Estimation Methods, 5
1.3 On the Notation Used In This Book, 23
1.4 Summary, 25
Problems, 26

2 Linear Dynamic Systems 31

2.1 Chapter Focus, 31
2.2 Dynamic System Models, 36
2.3 Continuous Linear Systems and Their Solutions, 40
2.4 Discrete Linear Systems and Their Solutions, 53
2.5 Observability of Linear Dynamic System Models, 55
2.6 Summary, 61
Problems, 64

3 Random Processes and Stochastic Systems 67

3.1 Chapter Focus, 67
3.2 Probability and Random Variables (RVs), 70
3.3 Statistical Properties of RVs, 78

v
vi CONTENTS

3.4 Statistical Properties of Random Processes (RPs), 80

3.5 Linear RP Models, 88
3.6 Shaping Filters and State Augmentation, 95
3.7 Mean and Covariance Propagation, 99
3.8 Relationships Between Model Parameters, 105
3.9 Orthogonality Principle, 114
3.10 Summary, 118
Problems, 121

4 Linear Optimal Filters and Predictors 131

4.1 Chapter Focus, 131
4.2 Kalman Filter, 133
4.3 Kalman – Bucy Filter, 144
4.4 Optimal Linear Predictors, 146
4.5 Correlated Noise Sources, 147
4.6 Relationships Between Kalman – Bucy and Wiener Filters, 148
4.7 Quadratic Loss Functions, 149
4.8 Matrix Riccati Differential Equation, 151
4.9 Matrix Riccati Equation In Discrete Time, 165
4.10 Model Equations for Transformed State Variables, 170
4.11 Application of Kalman Filters, 172
4.12 Summary, 177
Problems, 179

5 Optimal Smoothers 183

5.1 Chapter Focus, 183
5.2 Fixed-Interval Smoothing, 189
5.3 Fixed-Lag Smoothing, 200
5.4 Fixed-Point Smoothing, 213
5.5 Summary, 220
Problems, 221

6 Implementation Methods 225

6.1 Chapter Focus, 225
6.2 Computer Roundoff, 227
6.3 Effects of Roundoff Errors on Kalman Filters, 232
6.4 Factorization Methods for Square-Root Filtering, 238
6.5 Square-Root and UD Filters, 261
6.6 Other Implementation Methods, 275
6.7 Summary, 288
Problems, 289

7 Nonlinear Filtering 293

7.1 Chapter Focus, 293
7.2 Quasilinear Filtering, 296
CONTENTS vii

7.3 Sampling Methods for Nonlinear Filtering, 330

7.4 Summary, 345
Problems, 350

8 Practical Considerations 355

8.1 Chapter Focus, 355
8.2 Detecting and Correcting Anomalous Behavior, 356
8.3 Prefiltering and Data Rejection Methods, 379
8.4 Stability of Kalman Filters, 382
8.5 Suboptimal and Reduced-Order Filters, 383
8.6 Schmidt – Kalman Filtering, 393
8.7 Memory, Throughput, and Wordlength Requirements, 403
8.8 Ways to Reduce Computational Requirements, 409
8.9 Error Budgets and Sensitivity Analysis, 414
8.10 Optimizing Measurement Selection Policies, 419
8.11 Innovations Analysis, 424
8.12 Summary, 425
Problems, 426

9 Applications to Navigation 427

9.1 Chapter Focus, 427
9.2 Host Vehicle Dynamics, 431
9.3 Inertial Navigation Systems (INS), 435
9.4 Global Navigation Satellite Systems (GNSS), 465
9.5 Kalman Filters for GNSS, 470
9.6 Loosely Coupled GNSS/INS Integration, 488
9.7 Tightly Coupled GNSS/INS Integration, 491
9.8 Summary, 507
Problems, 508

Appendix A MATLAB Software 511

A.1 Notice, 511
A.2 General System Requirements, 511
A.3 CD Directory Structure, 512
A.4 MATLAB Software for Chapter 2, 512
A.5 MATLAB Software for Chapter 3, 512
A.6 MATLAB Software for Chapter 4, 512
A.7 MATLAB Software for Chapter 5, 513
A.8 MATLAB Software for Chapter 6, 513
A.9 MATLAB Software for Chapter 7, 514
A.10 MATLAB Software for Chapter 8, 515
A.11 MATLAB Software for Chapter 9, 515
A.12 Other Sources of Software, 516
viii CONTENTS

Appendix B A Matrix Refresher 519

B.1 Matrix Forms, 519
B.2 Matrix Operations, 523
B.3 Block Matrix Formulas, 527
B.4 Functions of Square Matrices, 531
B.5 Norms, 538
B.6 Cholesky Decomposition, 541
B.7 Orthogonal Decompositions of Matrices, 543
B.8 Quadratic Forms, 545
B.9 Derivatives of Matrices, 546

Bibliography 549
Index 565
PREFACE

This book is designed to provide familiarity with both the theoretical and practical
aspects of Kalman filtering by including real-world problems in practice as illustrative
examples. The material includes the essential technical background for Kalman filter-
ing and the more practical aspects of implementation: how to represent the problem in
a mathematical model, analyze the performance of the estimator as a function of
system design parameters, implement the mechanization equations in numerically
stable algorithms, assess its computational requirements, test the validity of results,
and monitor the filter performance in operation. These are important attributes of
the subject that are often overlooked in theoretical treatments but are necessary for
application of the theory to real-world problems.
In this third edition, we have included important developments in the implemen-
tation and application of Kalman filtering over the past several years, including adap-
tations for nonlinear filtering, more robust smoothing methods, and developing
applications in navigation.
We have also incorporated many helpful corrections and suggestions from our
readers, reviewers, colleagues, and students over the past several years for the
overall improvement of the textbook.
All software has been provided in MATLAB1 so that users can take advantage of
its excellent graphing capabilities and a programming interface that is very close to
the mathematical equations used for defining Kalman filtering and its applications.
See Appendix A for more information on MATLAB software.
The inclusion of the software is practically a matter of necessity, because Kalman
filtering would not be very useful without computers to implement it. It provides a

1
MATLAB is a registered trademark of The Mathworks, Inc.

ix
x PREFACE

better learning experience for the student to discover how the Kalman filter works by
observing it in action.
The implementation of Kalman filtering on computers also illuminates some of the
practical considerations of finite-wordlength arithmetic and the need for alternative
algorithms to preserve the accuracy of the results. If the student wishes to apply
what she or he learns, then it is essential that she or he experience its workings
and failings—and learn to recognize the difference.
The book is organized as a text for an introductory course in stochastic processes at
the senior level and as a first-year graduate-level course in Kalman filtering theory and
application. It can also be used for self-instruction or for purposes of review by practi-
cing engineers and scientists who are not intimately familiar with the subject. The
organization of the material is illustrated by the following chapter-level dependency
graph, which shows how the subject of each chapter depends upon material in other
chapters. The arrows in the figure indicate the recommended order of study. Boxes
above another box and connected by arrows indicate that the material represented by
the upper boxes is background material for the subject in the lower box.

Chapter 1 provides an informal introduction to the general subject matter by way

of its history of development and application. Chapters 2 and 3 and Appendix B cover
the essential background material on linear systems, probability, stochastic processes,
and modeling. These chapters could be covered in a senior-level course in electrical,
computer, and systems engineering.
Chapter 4 covers linear optimal filters and predictors, with detailed examples of
applications. Chapter 5 is a new tutorial-level treatment of optimal smoothing
PREFACE xi

methods based on Kalman filtering models, including more recent, more robust
implementations. Chapter 7 is devoted to nonlinear applications, including extended
Kalman filters for quasilinear problems, and to sampling-based methods for extend-
ing Kalman filtering to more highly nonlinear problems. Applications of these tech-
niques to the identification of unknown parameters of systems are given as examples.
Chapter 6 covers the more modern implementation techniques, with algorithms
provided for computer implementation.
Chapter 8 deals with more practical matters of implementation and use beyond the
numerical methods of Chapter 7. These matters include memory and throughput
requirements (and methods to reduce them), divergence problems (and effective reme-
dies), and practical approaches to suboptimal filtering and measurement selection.
As a demonstration of how to develop and evaluate applications of Kalman filtering,
in Chapter 9 we show how to develop different Kalman filtering configurations for inte-
grating global navigation satellite system receivers with inertial navigation systems.
Chapters 4 – 8 cover the essential material for a first-year graduate class in Kalman
filtering theory and application or as a basic course in digital estimation theory and
application.

MOHINDER S. GREWAL, PHD, PE

ANGUS P. ANDREWS, PHD

ACKNOWLEDGMENTS

The authors express their appreciation to the following individuals for their contri-
butions during the preparation of the core material: Robert W. Bass, E. Richard
Cohen, Thomas W. De Vries, Reverend Joseph Gaffney, Thomas L. Gunckel II,
Dwayne Heckman, Robert A. Hubbs, Thomas Kailath, Rudolf E. Kalman, Alan J.
Laub, Robert F. Nease, John C. Pinson, John M. Richardson, Jorma Rissanen,
Gerald E. Runyon, Joseph Smith, and Donald F. Wiberg. We also express our
appreciation to Donald Knuth and Leslie Lamport for TEX and LATEX, respectively.
In addition, the following individuals deserve special recognition for their careful
review, corrections, and suggestions for improving the second edition: Dean Dang
and Gordon Inverarity.
For the third edition, we wish to thank Kenneth W. Fertig, former Chief
Statistician of Rockwell International, for providing us with better statistical
examples. We also thank Mark Arlinghaus and Seung Hyun Kong for needed correc-
tions to the second edition.
Most of all, for their dedication, support, and understanding throughout the writing
of all editions, we dedicate this book to Sonja Grewal and Jeri Andrews.

MOHINDER S. GREWAL

ANGUS P. ANDREWS

xiii
LIST OF ABBREVIATIONS

ANSI, American National Standards Institute

arc-sec, second of arc
BMFLS, Biswas-Mahalanabis fixed-lag smoother
CEP, circular error probable, the radius of a circle centered at the mean of a prob-
ability distribution such that is equally likely that a random sample is inside or
outside the circle (also called circle of equal probability)
dB, decibel
ed., editor or edition
EKF, extended Kalman filter
ENU, east-north-up (coordinates)
f, foot (0.3048 m)
flops, floating-point operations per second
FLS, fixed lag smoother
g, 9.80665 m/s2
GNSS, global navigation satellite system
GPS, Global Positioning Service, a GNSS operated by the U.S. Department
of Defense
h, hour
IEEE, Institute of Electrical and Electronic Engineers
IEKF, iterated extended Kalman filter
IIR, infinite impulse response
INS, inertial navigation system

xv
xvi LIST OF ABBREVIATIONS

ISA, inertial sensor assembly

KF, Kalman filter
km, kilometer
kph, kilometer per hour
m, meter
max, maximum
mi, mile
min, minute of time, or minimum
mph, mile per hour
NED, north-east-down (coordinates)
NMi, nautical mile (1852 m)
ppm, part per million
PSD, power spectral density
RMS, root mean-squared
RP, random process
RPY, roll-pitch-yaw (vehicle coordinates)
RS, random sequence
RV, random variable
s, second of time
SKF, Schmidt – Kalman filter
SPKF, sigma-point Kalman filter
STM, state transition matrix
SVD, singular value decomposition
UKF, unscented Kalman filter
UT, unscented transform
vs, versus
WSS, wide-sense stationary
m, micron (1026 m) or micro (1026 [units])
1
GENERAL INFORMATION

. . . the things of this world cannot be made known without mathematics.

—Roger Bacon (1220–1292), Opus Majus, trans. R. Burke, 1928

1.1 ON KALMAN FILTERING

1.1.1 First of All: What Is a Kalman Filter?

Theoretically, the Kalman filter is an estimator for what is called the linear-quadratic
problem, which is the problem of estimating the instantaneous “state” (a concept that
will be made more precise in the next chapter) of a linear dynamic system perturbed
by white noise—by using measurements linearly related to the state but corrupted
by white noise. The resulting estimator is statistically optimal with respect to any
quadratic function of estimation error.
Practically, the Kalman filter is one of the greater discoveries in the history of stat-
istical estimation theory and possibly the greatest discovery in the twentieth century.
It has enabled humankind to do many things that could not have been done without it,
and it has become as indispensable as silicon in the makeup of many electronic
systems. Its most immediate applications have been for the control of complex
dynamic systems such as continuous manufacturing processes, aircraft, ships, or
spacecraft. To control a dynamic system, you must first know what it is doing. For
these applications, it is not always possible or desirable to measure every variable

Kalman Filtering: Theory and Practice using MATLABw, Third Edition. By Mohinder S. Grewal
and Angus P. Andrews
Copyright # 2008 John Wiley & Sons, Inc.

1
2 GENERAL INFORMATION

that you want to control, and the Kalman filter provides a means for inferring the
missing information from indirect and noisy measurements. The Kalman filter is
also used for predicting the likely future courses of dynamic systems that people
are not likely to control, such as the flow of rivers during floods, the trajectories of
celestial bodies, or the prices of traded commodities.
From a practical standpoint, these are the perspectives that this book will present:

† It is only a tool. It does not solve any problem all by itself, although it can make
it easier for you to do so. It is not a physical tool but a mathematical one.
Mathematical tools make mental work more efficient, just as mechanical
tools make physical work more efficient. As with any tool, it is important to
understand its use and function before you can apply it effectively. The
purpose of this book is to make you sufficiently familiar with and proficient
in the use of the Kalman filter so that you can apply it correctly and efficiently.
† It is a computer program. It has been called “ideally suited to digital computer
implementation” [95], in part because it uses a finite representation of the esti-
mation problem—by a finite number of variables. It does, however, assume that
these variables are real numbers—with infinite precision. Some of the problems
encountered in its use arise from the distinction between finite dimension and
finite information and from the distinction between finite and manageable
problem sizes. These are all issues on the practical side of Kalman filtering
that must be considered along with the theory.
† It is a consistent statistical characterization of an estimation problem. It is
much more than an estimator, because it propagates the current state of knowledge
of the dynamic system, including the statistical influence of random dynamic per-
turbations and the effects of all past measurements. These properties are extremely
useful for statistical analysis and the predictive design of sensor systems.

If these answers provide the level of understanding that you are seeking, then there is
no need for you to read the rest of this book. If you need to understand Kalman filters
well enough to use them effectively, then please read on!

1.1.2 How It Came to Be Called a Filter

It might seem strange that the term filter would apply to an estimator. More com-
monly, a filter is a physical device for removing unwanted fractions of mixtures.
(The word felt comes from the same medieval Latin stem, for the material was
used as a filter for liquids.) Originally, a filter solved the problem of separating
unwanted components of gas-liquid-solid mixtures. In the era of crystal radios and
vacuum tubes, the term was applied to analog circuits that filter electronic signals.
These signals are mixtures of different frequency components, and these physical
devices preferentially attenuate unwanted frequencies.
This concept was extended in the 1930s and 1940s to the separation of signals
from noise, both of which were characterized by their power spectral densities.
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(b) From the Liebestraum No. 3.

Figure XXIX.

It would be interesting, did it not involve a general discussion here

out of place, to inquire how far the exaggerated expression of Liszt
is due to the lack of spiritual, moral, and intellectual balance already
noted as characteristic of French romanticism. Surely there is more
than a striking analogy, there is an actual relation of cause and
effect, were we but learned and keen enough to trace it out,
between the unrestrained individualism of the romanticist, in politics,
religion, love—and the hysterical, unreal feeling of this music. Both
alike lose poise by taking an over-personal view of life. Liszt, so
singly set on being magnificent or heart-rending in passion that he
ignores the restraints of good taste, forgets artistic reserve, and
becomes in turn blustering and craven, reminds us of Rousseau, so
in love with his fixed idea of "freedom" that he undermines the
foundations of the social order on which true freedom depends.
If Liszt were quite sincere in his passionate extremes, we should
have to forgive them as on the whole we forgive the often crude
grandiloquence of the Gallic Berlioz. What makes the Hungarian
artist peculiarly exasperating is the impression of hypocrisy in his
heroics that we cannot escape or argue away. He does not really feel
these things, we discern; he is ogling us, he is posing for our
benefit; all the while that one of his eyes is so proudly flashing fire,
or so devoutly gazing heavenward, or so touchingly secreting a tear,
the other is winking at his alter ego, the ego that sits behind the
scenes and pulls the strings. What those ladies to whom he bowed
with such an irresistible chivalry, such a noble humility, would have
felt could they have read the cynical thoughts about women which
meanwhile filled his mind, that we feel when we realize that for all
his pompous utterance, for all his dreamy emotion, he is in his heart
laughing at us for being so obligingly impressed by his
rhodomontade. We can forgive, we can even rather enjoy, the
poseur who is himself in love with his pose, but not the charlatan
who makes capital of our gullibility.
Liszt shows to far better advantage, however, in his manipulation of
his ideas than in the ideas themselves; for whereas in the latter
artificiality is a damning fault, in the former art, especially such
skilful art as his, is a shining merit. His plan of combining the musical
organization of the classicists with the dramatic organization of
Berlioz was an interesting and in some ways a felicitous one. By the
use of program and leading motives he secured the advantages of
the realistic school: freedom from the shackles of the strict
traditional sonata-form, and a "poetic" principle of coherence. By
retaining thematic development, he reinforced this poetic coherence
by musical logic, and avoided to some extent the fragmentary
effects into which unmodified realism generally falls. To the thirteen
orchestral pieces in which he most strikingly embodied this plan of
interlinked dramatic and musical structure he gave the name of
"Poèmes Symphoniques," generally translated as "Symphonic
Poems" though more precisely as "Orchestral Poems." He owes his
chief historical importance to his creation of this form, which he
exemplified also on a larger scale in his "Faust" and "Dante"
symphonies.
A brief analysis of his most popular symphonic poem, "Les Préludes,"
will make clear the peculiarities of the type. This work has a
program, taken from Lamartine's "Méditations poétiques," as follows:
—
"What is our life but a series of Preludes to that unknown song of
which death strikes the first solemn note? Love is the enchanted
dawn of every life; but where is the destiny in which the first
pleasures of happiness are not interrupted by some storm, whose
deadly breath dissipates its fair illusions, whose fatal thunderbolt
consumes its altar? And where is the soul which, cruelly wounded,
does not seek, at the coming of one of these storms, to calm its
memories in the tranquil life of the country? Man, however, cannot
long resign himself to the kindly tedium which has at first charmed
him in the companionship of nature, and when 'the trumpet has
sounded the signal of alarms,' he hastens to the post of peril,
whatever may be the strife which calls him to its ranks, in order to
regain in combat the full consciousness of himself and the complete
command of his powers."
This program, it will at once be seen, is far more favorable to
musical treatment than Berlioz's hotch-potches of petty details and
wild, incongruous fancies. It is but slightly narrative and descriptive,
presenting rather such abstract emotional states as music can best
depict. And it has a natural symmetry and completeness of its own
which the composer has only to reproduce in order to give his music
the same desirable qualities. This he does by dividing his piece into
six sections, which might be called Introduction, Love, Storm,
Country Life, War, and Coda or Conclusion.

[PDF]
(a )

[PDF]
(b)

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(c )

[PDF]
(d)
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Figure XXX.

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form, by basing his entire work on two leading motives (a and b in
Figure XXX), which he subjects to all manner of variation, melodic,
harmonic, rhythmic, as opportunity suggests. Some of the more
important of these variants, set down in Figures XXX-XXXIII, deserve
careful attention. The work begins with a recitative for strings,
andante (c), derived from (a) by a modification of rhythm. At page 7
of the full orchestral score, published by Breitkopf and Härtel,
appears another variant of the same theme, andante maestoso in
bass strings and brass (d). Motive (a) is sung by the 'cellos, in very
nearly its primitive form, at page 13 (e); in the last measure of this
excerpt the very clever echoing of the three characteristic notes of
the theme, in the bass, marked by asterisks, should be especially
noted. Motive (b), symbolizing love, first appears at page 21,
sensuously set forth by four horns, strings, and harp, is taken up by
the wood wind, and is developed in a powerful climax, at the end of
which appears for a moment the variant of it represented at (f).
Thus in the first two sections of the poem are the underlying
motives expounded and somewhat developed.
Section three, Storm, begins (allegro ma non troppo, page 30) with
a very theatrical variant of motive a, highly characteristic of Liszt, in
which he resorts to the chromatic scale beloved of all musical storm-
makers (g, Figure XXXI), and later to an endless series of diminished
sevenths, intended for nothing but to make our flesh creep (h). It is
unnecessary to follow out this section in detail; it is the least
interesting of all, and illustrates that element of claptrap which Liszt
could never entirely eliminate.

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(g)

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(h)
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(i)

Figure XXXI.

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(j )

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(k)

Figure XXXII.

The mood now changes again, and with (i) (Figure XXXII), a
charmingly expanded version of motive a, intrusted to the oboe, an
allegretto pastorale is ushered in, beginning the fourth section,
Country Life. A new theme, of fascinating grace and freshness (j),
now enters in the horn, and is presently combined with motive b in
what seems on the whole the most delightful moment, musically, of
the entire composition (k). A somewhat lengthy working out of these
combined motives follows, gradually growing more and more
agitated, until, with an adaptation of the protean motive (a) for
horns and trumpets, allegro marziale (l) (Figure XXXIII), the fifth
section, War, is introduced. Piccolos and drums become prominent,
and at page 82 of the score even the love motive (b) takes on a
militant character (m, Figure XXXIII). Turmoil now increases steadily
until a sort of apotheosis is reached with the reëntrance of the
majestic passage (d), in Figure XXX, and the poem comes to an
impressive close.

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Figure XXXIII.
The advantages of such a scheme of form as is exemplified in "Les
Préludes" are many; and they are made the most of by Liszt, with
his accustomed cleverness and long-headed sense for practical
values. For both of the two classes of listeners that make up the
average concert audience music made on this recipe has an
appropriate appeal. That class, usually a majority, which has little
ear for music, but likes to indulge itself in vague dreams, pictorial
imaginings, and nervous thrills, finds its account in the program,
follows out with interest the suggestions of the various moods, such
as, in the present instance, the amorous, the stormy, the pastoral,
the warlike, and gets its fill, all along the way, of brilliant and
gorgeous tone-coloring, exciting rhythms, sombre, rich, or
mysterious harmonies. At the same time the minority of true music-
lovers have, as they have not in the works of Berlioz, a "logical and
lucid play of definite motives" to enjoy; they trace with never failing
interest the transformations of a few simple themes; they may
entirely forget the program, and yet have plenty of opportunity for
an agreeable activity of attention, perception, memory, and
imagination. Thus each hearer may pick out from the mass of
conglomerate impressions something that appeals to him.
There is a fine freedom about the symphonic poem which
degenerates into lawlessness only when the composer's skill is
insufficient to hold it firmly in hand. It is not, like the sonata and the
symphony, condemned beforehand to follow a certain course, to fill
a predetermined mould; it can ramify, as it proceeds, in obedience to
its own latent possibilities. A development here may be expanded to
great length, an episode or repetition there may be abbreviated to
the slightest possible compass; so long as each link securely
engages the next, so long as there is no break in the coherence of
the thread, the hearer will be satisfied. Through all the twists and
turns the presence of the fundamental melodies will save him from
that sense of mere drifting which was so painful to Wagner in
listening to Berlioz's "Romeo and Juliet." The symphonic poem
bears, in fact, somewhat the same relation to the symphony that
rhymed couplets bear to a sonnet, triolet, or other conventional
verse-form. It exacts little of strict formalism; but by retaining,
underneath all its free ramification, certain basic principles of
balance and symmetry, it escapes the pitfall of amorphousness, and
constantly satisfies, though in unexpected ways, the radical
expectations of the intelligent listener.
Unfortunately, however, Liszt himself fell short of realizing the finer
potentialities of his own device. Just as his primal melodies, as we
have already seen, are usually of a stilted, rhetorical, and artificial
character, his treatment of them, the second but scarcely less
important of the processes of composition, is generally labored; it is
apt to be a clever feat of intelligence, a sort of mental legerdemain,
rather than a spontaneous germination of idea. What he said of
Chopin's larger works, that they showed "plus de volonté que
d'inspiration," is true of his own. His developments are as often
distortions as fulfilments, and among his melodies there are many
monsters. Plausible, and even winning, as are at first sight some of
the thematic transformations (for we are apt to be won by any
display of intelligence, no matter how specious its ends), on closer
inspection they are seen to be mere juggling. The variants of motive
(a), in "Les Préludes," shown at (c) and (d) in Figure XXX, at (g) in
Figure XXXI, and at (l) in Figure XXXIII, have an unpleasant sub-
flavor of artificiality; analysis reveals their derivation from the parent
motive, but affection, so to speak, repudiates them. Even more is
this the case with (f) in Figure XXX, and (m) in Figure XXXIII, which,
though we see that they come from motive b, we feel to be parodies
or caricatures of it, bearing only a superficial resemblance to it, and
quite devoid of its essential character. Such observations make us
wonder whether a theme is not truly as inconvertible into anything
else as any other individual being, and whether the kind of thematic
transformation, or deformation, adopted by Liszt, is not after all
intrinsically mechanical and inartistic. If the reader will take the
trouble to look at some typical example of thematic evolution as it is
practised by a master like Beethoven, such as the first movement,
for instance, of the "Eroica Symphony,"[45] he will see what a vast
difference there is between such inevitable drawing forth of the very
soul of a melody, by a process as august and beyond human whim
as the processes of nature, and the laborious ingenuity of the
composer of "Les Préludes."
As in this all-important matter of thematic development, so is it in
other subordinate matters of technic: Liszt, allowing mere
ostentation, immediate effect upon an audience, to have too large a
part in his artistic ideal, falls thereby into a hundred artificialities.
While he was alive the extraordinary magnetism of his personality
carried it all off, by disguising the factitiousness of his methods, and
reinforcing immensely their superficial appeal; but stripped from
himself and scanned in the cold impersonal light of criticism, his
gorgeous artistic accoutrements look thin and tawdry, and prove to
be made, not of genuine gold, but of theatrical tinsel. His melody,
when it neither struts nor fawns, is apt to stagnate. His "furiously
chromatic" harmony gains its effectiveness at the expense of
solidity; by too completely forgetting key-relationship, on which all
genuine harmony must depend, it falls into chaos, as the harmony of
a master such as Wagner never does. When it is based on the old
ecclesiastical modes instead of on the chromatic scale, as in many
passages of the later religious works, it is no less a fabrication, an
artifice: the Palestrina-like ending of the Credo in the "Gran Mass,"
for example, is pseudo-mediævalism, such as no modern composer
could write spontaneously. His orchestration, much praised, is indeed
skilful, but radically vulgar; his amorous 'cellos and braying
trombones are enemies fatal to artistic moderation and restraint.
Even in his piano-writing, so large an element in his fame, his
methods are those of barbarism. He ignores the lesson of fitness
that Chopin might have taught him, and overstrains the resources of
the poor instrument until, instead of achieving its own unique
possibilities, it becomes a forlorn imitation of an orchestra, without
an orchestra's variety, sonority, and grandeur.
Thus is the virtuoso spirit of Liszt, which had thriven on adulation
only too well from the days when, as "le petit Litz," he made the
tour of the boxes, to those later days when, as "The Master," he
oscillated between Rome and Weimar in one prolonged triumph,
responsible for errors of taste and judgment which seriously impair
the value of all his work. Yet there was in him, besides the virtuoso
who fed on applause and was not superior to charlatanisms when
they served his purpose, quite another being, who aspired honestly
to be a faithful servant of art, and who brought to the service rare
intellectual powers. This was the Liszt who befriended all worthy
composers, who gave freely of his time, his money, and his strength,
whenever he saw merit unacknowledged or genius struggling for
bread. This was the Liszt who kept Wagner alive until the world
could learn to appreciate him, who sought out César Franck when he
was the obscure organist of St. Clotilde, who risked his post as
Kapellmeister in order to produce an opera by his friend Cornelius.
And this was the Liszt whose keen wit discerned the principles of
combined musical and dramatic form on which works intrinsically far
superior to his own were later written by Dvořák, Smetana,
Tschaïkowsky, Saint-Saëns, and Richard Strauss. Whatever his purely
musical powers, his indefatigable and highly cultivated mind and his
generous heart enabled him to play an important rôle in the history
of music.
 FOOTNOTES:
[38] Ramann, "Life of Liszt," Eng. trans., I, 218.
[39] "Letters of Liszt," ed. by La Mara, Eng. trans., I, 8.
[40] Brahms is said to have fallen asleep during Liszt's
performance of it. See Dr. William Mason's "Memories of a Musical
Life."
[41] Amy Fay, "Music Study in Germany."
[42] Janka Wohl, "Recollections of Liszt," Eng. trans., p. 9.
[43] Ibid., p. 187.
[44] See, as examples of this cloying harmonization, both
excerpts in Figure XXIX, or almost any of the "Consolations" and
"Liebesträume." An especially flagrant instance may be found in
the Piano Sonata in B-minor, edition of Breitkopf and Härtel, p.
29, the last measure.
[45] See the present author's "Beethoven and his Forerunners,"
pp. 316-321.
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