The Tyranny of the Formula in Beethoven Author(s): Walter Schenkman Reviewed work(s): Source: College Music Symposium, Vol.

18, No. 2 (Fall, 1978), pp. 158-174 Published by: College Music Society Stable URL: http://www.jstor.org/stable/40373981 . Accessed: 28/12/2011 19:08
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Fresh Historical and to Approaches Analysis

of The Tyranny the Formulain Beethoven

Walter Schenkman of Colorado University Northern
PRESENTED ALMOST AS AN AFTERTHOUGHT in his UnCOHSCWUS Beetho-

ErnestNewman'sthesis the of over ven, regarding tyranny theformula themusician's offers attractive an for imagination pointofdeparture investiintothe precisenatureof thatcomposer's melodicinvention. fact, In gation strides thedirection just sucha study in Newmanhimself made significant of whenhe called attention thethree-note to as feature of rising figure a constant in Beethoven's melodiclanguage.But all too often thisstudydid the author allowanalytical ofa musicalnatureto be cloudedoverby interpretainsights tionsbordering thepsychoanalytical. on limitedto Nonetheless, applied in a pragmaticfashionand rigorously musical contextsalone, Newman's postulatedtheoriesregarding formulas and "fingerprints"that thosestylistic characteristics he claimed mightbe foundon page afterpage of a given composer'swritinghold promiseof into associatedwiththeprocvaluable insights thevariousproblems yielding ess of musical creativity. the veryleast, a musical analysiscarriedout At certainstylistic thatmay features along theselinesshouldserveto highlight hitherto have been completely or simplytakenforgranted without ignored, oftheir fullimport. And whileanalysis thissortcan hardlybe of recognition once and forall theexact dividingline betweenthecomexpectedto define in consciousintent and subconscious unconscious) (or poser's response dealit to witha particularset of circumstances, may surelycontribute the ing elucidation the grayarea thatsurrounds thatline. of For one thing,Newman's thesisservesto underlinethe fact that the freeagent. Even the most radical composeris by no means a completely is bound to accept and respect cerlike Beethoven creative himself, genius, timewhile rejecting others. But Newman'sidea sugtain conventions his of of mind itself too,thatthe mysterious gests, workings the composer's impose stillfurther restrictions and above thoseconferred his environment. over by Like the laboratory animal who comes to displaya preference one path for

THE TYRANNY OF THE FORMULA IN BEETHOVEN

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in his overanother finding wayout ofa maze,so toodoes thecomposer arrive overany numberof at solutions thatimplya relianceon one givenresponse other thatmight open. lie possibilities to thesepointsare best illustrated reference a concrete exby Perhaps of it ample. For instance, is reasonableto assumethata composer the Classical period-Beethoven well as anotheras would be inclined,by virtueof to withthatof the his training and conditioning, followthe tonicharmony would he be prone to resolvethe dominanthardominant.In like fashion would to monyby a return the tonic.The questionthenarises:what effect have on his faculties melodicinof almostautomatic, thisroutine, response himself tonic-dominant choicesin the first to harmonic vention? limiting By be would certainly the case here in a large numberof instances), place (as a of that frame reference thecomposer mustcertainly operatewithin definite in of to pertaining melody places limitson his freedom imagination matters in In it as well as in otherdirections. fact, is the manner whichhe copeswith withinthe small area theselimitations- mannerin whichhe maneuvers the the stylehe exhibitsto the of freechoice remainingthat will determine world. this Beethoven when,in a worklikethe beautifully exemplifies problem and he opens his composition statingthe Variations Fugue, Fifteen Op. 35, by of first bass ofhistheme-to-be ofall in isolation. finale theEroica Justas in the it servedas sketch, is onlyafterhe has exforwhichthe Variations Symphony that withthe additionof different counterpoints ploredvariousalternatives in Of the he finally discloses melodicidea ofthethemeproper. course, actual facthe had conceivedand used the same melodysome yearsearlierin his it herenevertheless, appears almost Prometheus ballet music.But in its effect for were searching the ideal melodywith as thoughthe composerhimself whichto matchtheinitialinspiration suggested the idea in the bass. by those harof the bass outline implyprecisely Now, the openingbars underdiscussion, monicprogressions namely,I-V-V-I; and the solutionthe an will achieve in constructing appropriatemelodic counterpart composer for of take musttherefore on an added significance the purposes our present of of It inquiry. is worthy note in passing,too, thateven priorto disclosure the themeproperBeethoven the Variations actuallyanticipates problem'sfielements in nal resolution severalof the fragmentary injected contrapuntal of thathe realizes theway.But it is withtheemergence thethemeitself along of the mostlogicaland conciseordering thoseelements. Indeed, it mightbe of that this particularformulation the tonic-dominant relationship argued solutionsto a problemof this characteristic one constitutes of Beethoven's whether consciousor natureand epitomizeshis typicalmelodic responseharmonic environment. to otherwise- a predetermined of the construction a themesuch as thisare The principles underlying beforegoing on to examine how theyappear to of closerscrutiny worthy

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have influenced composer'sthought the fromfirst last and, indeed,perto meateeveryaspectofhis art:
and Variations Fugue, Ex. 1. Beethoven: Fifteen Op. 35.

from Main themeidea and fragments counterpoints. preceding

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accordedthe mediantdegree Firstofall thereis the prominent position to tone withinthis melody.This is the tone that Berliozwas subsequently withan evaluationof Bellini'smelody)as being characterize connection (in to of sensitive virtue its close proximity the fourth degree.It is by especially of often avoidsjust thisproximity thirdand of note that Beethoven worthy fourth degreesby his use of the tone withinmelodic outlinesthat implya in chordalderivation. instance, the present For examplethe mediantis both and departedby skip; the outlineof the melodyin the subseapproached quent phraselikewise proceedsby skipand simplyspellsout the uppermost tonesof the dominant seventh chord. is A crucialpointin thistypeofconstruction to be seenin therelationship and D. the between threetonesoftheinitialphrase:, E-flat, thatis effected G, achievesan especially of an arrangement thissortthecomposer sharpconBy and scachordaloutline motion-between and disjunct trast between conjunct aroundmediantand tonic, centered of The lar progression. interval thethird, downto theleadingtone forms melodicnucleusbefore the resolving stepwise in the is likewise keyshapesuggested thecontrapuntal quotedin excerpts (this in itself one degree higher up simply repeats Example 1); and thesameprocess this time,to the tonic the sequence that followswith stepwiseresolution, keynote. markofBeethoa Perhapsit is thisfinesenseofcontrast- distinguishing of ven'smelodygenerallythatprovides keyto thesubsequent the unfolding too. the line in thepresent phase of exampleunderconsideration, In thefirst boththetonic-todrawnoutlineinforms thetheme's a similarly development back to tonic: the and of dominantprogression the reverse that progression the chordalin conceptand simplyredefine variouseleideas are altogether in between tonicand dominant melodic and of ments thedifference diversity to the ofdevelopment resolution thefifth terms. But in thesubsequent phase a oppohighlights diametrically degreeon therepeatedcommontoneB-flats withattention on between siteperspective focused thesingleelement unity of thetwopolarities thetonality. of

THE TYRANNY OF THE FORMULA IN BEETHOVEN

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of Another feature the Variations themerelatesto the area of prominent itunfolds: general, contours in the allowedthemelodicphraseas of expansion boundsdefined theinterval a fourth. fact, themelody keptwithin are of In by one might that venture broadgeneralization whileBaroque melody a appears withinthe framework the hexachord, of to be conceivedlargely Beethoven's more likelywithinthe confines the tetrachord. of One typicalline unfolds that could evenadvancetheclaim thatit is thetetrachord comprises Beethoven'sideal compositional buildingblock.And whilethe Baroque composers in to the as treated hexachord a fixed entity relation an established center, key of Beethoven morefreedom actionat hisdisposalin thathe can avail himhas to self anyand all ofthevarioustetrachords be constructed of alongthedifferentdegrees thescale. of of The importance thetetrachord a constructive as devicein Beethoven's in itself a variety ways.For thesakeofconvenience analysis artmanifests of in twomain categories itsusage: one might in one might distinguish distinguish In and incomplete tetrachords. thefirst one complete category wouldconsider seenlateron thattheformula to mayeasilybe extended includecontrapuntal with tetrachords in reversedirections:in other combinations proceeding an version words, ascending one, or vice maybe combinedwitha descending versa. would includeall thosevariantsof like The nextcategory possibilities ofExample 1 itselfwhichemployan admixturestep and theprototype of figure
one tetrachord. choice The of fourmembers theoriginal eliminating ofthe skip,thereby tones within interval the those melodic formulaswhich comprise all ofthediatonic in whether or order. Here, too, it will be arranged ascending descending ofthe fourth,

is bothby thedias in thisinstance to whichtonewillbe omitted influenced of rection the melodicline and by the degreeof the scale on whichit is to whatever toneomitted, the there stillremains the and, ofcourse, commence; and disjunct between motion referred earlier. seto A contrast conjunct sharp of withand versions the incomplete riesof hypothetical tetrachord, starting be illustrated follows: as theprototype figure, might including tetrachord from derived Ex.2. Variants incomplete figure.
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of to alone,one is immediately Returning a consideration theprototype withwhichitasserts itself a permanent as struck theinsistence fixture the of by Beethoven's Therecan be littledoubt melodicstyle throughout composition. musthave helda peculiarfascination his construction over thatthisparticular for falls he backon itsuse practically whenever there a question is imagination, overthe typicaltonic-dominant ofhavingto devisea melodicstructure pro-

162

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at Evidenceof itsconstant usage is everywhere hand and one need gression. to lookpast thepiano sonatasalone to findmorethanample material hardly illustrate point. the available in thisconnection In fact, becauseofthewealthofmaterial just For it might advantageous narrow downthearea ofsearchevenfurther. to be be limited, the instance, way of introduction investigation initially might by secondsubjects from so-called the matter at least,to a brief of survey pertinent of first lastmovements and in willbe culledfrom alone: and these, turn, only, creative the ofthecomposer's thesonatasspanning various activity. periods The secondthemeoftheAllegro movement an earlysonatalikethatof of theA Major, as case Op. 2, No. 2, mayserve a first in point.Here thecomposer is concerned withmoving from without tonicto dominant rounding primarily thecircleby wayofreturn. and are variousmodulations effected the Instead, seriesof seinitialphraseis propelledto its climacticpeak through rising a withtheinsertion quences.But thecoreofthemelodicshape,though enlarged ofsuspension backto the and other decorative stillharks tones, figures directly basic linethatthecomposer finer econformulatedwitha somewhat perhaps ofmaterial-in the Variations theme. omy No. 2. Ex. 3. Beethoven: Sonata, 2, Op. from movement, first second theme. Excerpt

if likewise datthe Or one might lookat thesecondsubjectfrom Pathetique, melodicconto see thesame underlying from composer's the earlyperiod, ing the of Here one notesa restatement theidea featuring skip cept in operation. the from of a thirdbefore resolution the leading tone; and the return its to to to dominantharmony the tonicis embellished covermoregroundthanis of of outlines theprototype thecase within simpler the melody the Variations. in and assumes Fortherest, overallmelodicoutlineis extended itsbreadth the of a six-four leadingfrom pick-upfigure shape by inclusion the introductory thedominant degree. Ex. 4. Beethoven: Sonata{Pathetique), 13. Op. theme. second from movement, first Excerpt

yiijr fiyn rir ff^^

the so-calledmiddle period,one could cite Turningto the worksfrom themesfrom such compositions the G MajorSonata, as Op. 31, No. 1, or the the "Appassionata," 57. Unlike the example fromthe Pathetique, second Op. in a feature thatis themeof the G Majoris distinctive its Schubertian ringdance-like ascribableas much as anything else to the light-hearted perhaps

THE TYRANNY OF THE FORMULA IN BEETHOVEN

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of chordalfigure itsaccompaniment. melodically, But qualityoftherepeated exists this between theme at least, closerelationship a and thatofthePathetique to from domithe bothwithregard overalloutline(theupwardskipofa sixth and the repetition motif nant toneis featured of thattakesplace here,too), within initialphrase.The characteristic the emphasison the mediant-highin instance- succeededbya resolution is by lighted syncopation thisparticular theme.On theotherhand,the return the thatofthe Variations of paralleling features embellished an to version thecordominant thetonicthatfollows of thatsametheme. idea responding from Ex.5. Beethoven: Sonata, 31,No. 1. Op. theme. second from movement, Excerpt first

secondthemeexhibits differa of The familiar melody the "Appassionato," that in and but enttenor iousness; itis noteworthy altogether itsgravity portent of notonlythecrest themelodicline shouldoutlinethesame shape as thatof in with the Variations tune,but thecharacteristic ofa third combination skip levelsto mold the entire descentis also used hereat different pitch stepwise of length theline. Ex.6. Beethoven: Sonata(Appassionata), 57. Op. First second theme. movement,

of there stillno dearth examplesfeaturing is Movingon to thelaterworks, idea. The secondthemeofthe to of similarities construction our prototype 7*naleoftheLebewohl too, mention, Sonata, 81a, comesto mind.One might Op. reflection as the between figure used hereand itsdiminished therelationship triadshape of the openingstatelies concealedwithinthe root-position that orientaharmonic mentofthesame movement. Perhaps, giventheprevailing of tion,analysisshouldsimplyaccept a relationship thissortas an everyday into to without occurrence attempting read a hiddensignificance it. On the for therelationship wellholda specific other hand, significance theaware may difchooseto deliverthemain themeidea in a slightly who performer might overcarelessly The thanotherwise. passagewouldnotbe slurred manner ferent to in be butwouldrather articulated suchwiseas to givedue prominence the beat. secondeighth-note toneG on the mediant Ex. 7. Beethoven: Sonata, 81a Op. of themes theFinale. from andsecond Excerpts first

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COLLEGE MUSIC SYMPOSIUM

the within outline The incorporation the motiveunderconsideration of ofthe completetriad,as is to be notedin the openingthemeof the Op. 81a a It is finale, hardlyunusual and shouldcome as no surprise. simplyreflects so that dominates of further extension the same chordalframeof reference lies An melodicthinking. examplein illustration at much of the composer's moveNo. 3, first hand in thesecondthemeoftheearlyC MajorSonata, 2, Op. to refer the career,one might ment;or,from oppositeend of the composer's in of movement the last Sonata C Minor, the the themefrom Allegro Op. 111. to of triteexpression the former the profound the The distancefrom rather of the lattermay be great,indeed; but it is stillthe same melodic eloquence between skipand stepwise languagethatis beingspokenand it is thecontrast idiombeingused.(The secof motion thatremains keystone theparticular the
" '-comes to ond idea of thefinaleof the C-SharpMinorSonata-the Moonlight'' in connection with the Op. Ill example). mind, too, Ex. 8. Beethoven: Sonata,Op. 2, No. 3, and Op. 111.

themes. of Comparison second

touches of The preceding upon one merely capsulereview secondthemes to broadens ofinvestigation As limited aspectofthewholeproblem. thearea slowmovements from and than includethemes other just secondary- material as well as fast-one quicklybecomesawareofan evenwiderfieldofpossibilia is thatwhereas broad ties.An important consideration here, perhaps, thefact of of line seemsto dominatein the construction so manyofthe secexpanse movements themestructures the Allegro espe(of ondaryideas, the primary morefragmento often tend,on thecontrary, be builtaroundshorter, cially) In of of tarymotives. any case, a close observation thevariants theprototype clues to figure be foundwithintheseprimary groupsshouldyieldimportant the natureofBeethoven's concerning precise compositional techniques. For instance, theAllegro thevery in first in the of Sonata F Minor characterthandepart isticfigure turned is the insideout to reaffirm tonicchordrather the from As theupwardthrust therocket of it. attainsthemediant, enfigure embellish resolution thetonicbywayof the to sixteenths suingtriplet merely theleadingtonerather aroundas in ourprevious thantheother way examples. The resulting terms of to modification theoriginal is figure reduced itssimplest in theskeleton outlineaccompanying literal the below(cf.Ex. 9). quote that who attempt showthecloserelationships are to Now, thoseanalysts in the cultivated thecomposer theinterest a greater between varof by unity iousideas ofa givenmovement, evenbetween willloseno time or movements, in pointing thatthe triplet out likewise forms basis forthe closing the figure themeoftheexposition thissame movement. theymaygo evenfurther of Or and proclaim theme to existbetween thisfigure theopening and relationships

THE TYRANNY OF THE FORMULA IN BEETHOVEN

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or ofthesecondmovement, between same figure the and variousotherideas from movements. bothsecondand third of The existence thesebondscannotbe denied,but perhapstheirsignifilinksare quoted below from cance could be argued.Some possiblethematic movements theSonata in question of thevarious and they likewise are reduced the to basic outlinesthatshouldclarify possibleunderlying influence our of The decisionas to whether relationis consciously the inprototype figure. another or merely manifestation thedominance of overthe tended, represents of is one at best. (or imagination theprototype itsvariants), a fine composer's Ex.9. Beethoven: Sonata, 2,No. 1. Op. ideas of and movements. first, Excerpts thematic from second, third
lstMvt. 2ndMvt. 3rdMvt.

in of one A similar exampleoftheproblems encounters analysis thistype of the Sonata, Op. 10,No. maybe drawnfrom openingmovement theC Minor is clear of 1. The relationship the openingmotiveto the prototype patently interval eventhough rangeoftheoctaveis exceededand thecharacteristic the The initialphraseofthesecondthememay ofa third becomesthatofa tenth. of this different version thearchetypal likewise relatedto a slightly be figure, of the an timeinvolving inversion sortsthatleads up from mediantto tonic direction moretypical ourmodel.But perhaps of rather thanin thedownward an linkbetween to presume intended a point, itwouldbe stretching somewhat, suchas this. on thesetwomotives thebasisofan indirect kinship maintainthattherepeateduse oftheapOn theotherhand,one might ideasdeveloped within exposition the in figure manyofthemotivic poggiatura on thepartofthecoma conscious does constitute ofthismovement attempt intohiswork.But it could also signify a nothing poserto infuse senseofunity himself an of reaction hispartin freely on than further a spontaneous availing of mannerism theday. accepted Ex. 10. Beethoven: Sonata, 10,No. 1. Op. themes first from movement. and of Comparison first second

if

thematic a to comparison maybe cited Turning thelaterworks, revealing is in the case of the last Sonata, Op. 111. It almostseemsas if the composer to old The herefornewmethods exploitlifelong materials. searching actively the introduction outof first boldlyproclaims essential very motive theMaestoso

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166

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and line of the prototype but textures, (the rhythms, harmonies figure, fresh a transdiminished chordofthedominant) combineto effect strange seventh as maintained is of in formation itsuse.The novelty thetreatment consistently of his brushesaside the morecustomary the composerfurther arrangement to and in material themainthemeoftheAllegro elidestheresolution theleadof interval thediminished the tone,thereby jarring setting extraordinarily ing in fourth bold relief. as theseproceedings an outright to One might tempted interpret be rejechimwellup until of tionby thecomposer a thought sequencethathad served did now. One might speculatethatonlynow,at theend ofa longcareer, he itself. the of succeedin escapinga tyranny theformula destroying formula by could be developedwithequal But on the otherhand a contrary argument atthateven in thislast desperate he efficacy: was so bound by the formula to destroy he could notescape it! it tempt themes. movement Ex. 11. Beethoven: Sonata, 111.First Op.
^ Maestoso <fr con Allegro brio ^
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withtheinclusion to At any rate,thefactthathe reverts normalpractice from in thecase ofthesecondtheme the ofthefigure (within fulltriadoutline) was thissame movement alreadypointedout in Example 8 above. innerrelationThe dangersof lendingtoo muchcredenceto purported of demonstrated a comparison are ofthissort evenmoreconvincingly by ships one stemfrom and thesame work.For thematic ideas thatdo notnecessarily was reference made in Example 7 to thesecondthemeoftheSonata, instance, back middleperiod.But one has onlyto turn of a work thecomposer's Op. 81a, in formulated a to theearlyyearsto findalmosttheexact same thought fully 7. And it is the same idea- bandied about likethatofOp. sonataexposition of thistimebetween portion the majorand minor-thatshapestheconsequent from workof a still the of themeof thefinale the Waldstein. Finally, opening transto laterperiodone seesthegerm thesame idea subjected evenfurther of of movement ofthefirst in in formation chromatic coloring theclosingtheme theHammerklavier Op. 106. Sonata, Ex. 12. Beethoven: Sonatas, 7,Op. 53,and Op. 106. Op. to theme from 81a,Finale Ex. 7). Excerpts relating second (cf. Op.

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THE TYRANNY OF THE FORMULA IN BEETHOVEN

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works thatmayoccurbetween different of illustration thelinks As further one might tracetheconstant reappearwidelydifferent periods, datingfrom withthethemes from Pathethe like ance ofa figure thatnotedin connection This and the G MajorSonata quoted in Examples4 and 5, respectively. tique theleadingtone,seems outlinebefore a fullsix-four reaching describing figure, our to have attracted composer's earlyin lifeand remainedwithhim fancy but his throughout career.To mention a fewexamples:an earlyworklikethe as in little Sonatina G Minor, 49, No. 1,openswithitsuse. It serves a transiOp. of a idea in theslowmovement theOp. 2, No. 2; it roundsoff melodic tional it to and sectionoftheLebewohl; finally, serves crown linein theintroductory the of themein thefinale Op. 111. Actually, the initialphraseof the Arietta of main themeoftheAdagio Op. 2, No. 1, quoted in Example 9, has itsderisameidea, too. of vationin theroots thisvery Ex. 13. Beethoven: Sonatas, 49,No. 1; Op. 2,No. 2; Op. 81a; andOp. 111. Op. Thematic excerpts.

withthe prototype to One last feature be remarked upon in connection it in the purposes may serve.It may function is flexibility figure itsextreme of or tapering a melodic equallywell in theinitialshaping, in theconcluding as a in of line;itmaydo service as effectively matters fashioning texture in just for of a in involved devising pattern figuration. theproblems Consider, examto illustration Example 14 below)refers an idea the (cf. ple,thefollowing: first of finale theOp. 7 Sonata; thesecondshowsthe practicality developedin the I-V overtheperennial connection a in ofthefigure modeling variation (from Variationof the Op. 26 Sonata set); the thirdand fourth the first examples the of showa usage in theconclusion a broad melodicline (from second,and the of movements theSonatas,Op. 81a, and Op. 110,respectively); next Arioso, in thatserves theArioso showshow thesame figure melodyofOp. quotation into 110 is incorporated the texture theshapingoftheline ofthecounterby the the lastly, examplesfrom openingmoveFugue; subjectin thesucceeding the of mentoftheSonata,Op. 81a andfinale Op. 78 are includedto illustrate work. in decorative usesofthefigure devising passage

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COLLEGE MUSIC SYMPOSIUM

Ex. 14. Beethoven: Sonatas,(a) Op. 7; (b) Op. 26; (c) Op. 81a; (d and e) Op. 110; () Op. 81a; (g) Op. 78. of of idea. Manifestations theinfluence theprototype
^. U I JB~~~"B^^f^ ^111 I | I m r I _^^H \W\ v a m II II V I If /x wJ* I P. It <y w I y ^\ I I ^^^11 _|_JE_|__1 ^^^j_ II) I ]/ ff II

underconsideration to the As was mentioned up earlier, prototype figure These cona largenumberofrelatedconstructions. thispointis onlyone of teor either complete, incomplete, to as werecategorized belonging structions wereilthe from latter trachord category shapesderiving groupsand certain ofthefirst the in lustrated Example 2 above.Concerning fulltetrachord figure it exampleshave encategory mustbe ownedthatifcertainoftheforegoing this of the compassedall ofthetoneswithin interval thefourth, was primarily tonethere of due to theinclusion a passingtonehereor decorative (thereader Sonata the is referred to the musicalideas from F Minor quoted in especially of thisarticlewill be devotedto an examiportion Example 9). The present nationofotherusesofthisparticular figure. of to Firstof all one may return a reconsideration features previously theinnerrelations Sonata itself: of notedin thediscussion theF Minor namely, movement the within first and themematerial between expoprimary closing from sucand certainothers as sition, well as thelinksbetweenthosethemes also be added movements. thiscollection relatedfigures To of might ceeding first secand as thatofthetransitional themeidea thatserves bridgebetween ond subjectsin the first movement But now,as one proceedsto exposition. in examineotherSonatas,one finds thissame idea serving a similarcapacity one and in a like position as withinotherexpositions well. For instance, has to comparethe F Minor idea to a similarpassage in the C Minor only bridge the is to (Op. 10, No. 1) whosemain function likewise introduce exposition as serves a melodicbond to secondsubject.In both instances tetrachord the of confirm newtonality setthestageforthepresentation a newidea. and a Ex. 15. Beethoven: Sonatas, 2,No. 1,andOp. 10,No. 1. Op.
of ideas. Comparison transitional

THE TYRANNY OF THE FORMULA IN BEETHOVEN

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in Butthesameidea ofthetetrachord be usedjustas effectively formmay theharmonic bases formodulatory willmoveaway from a ing sequencesthat of The examplesbelow,from first movement expositions still giventonality. thesame C Minor Sonata, 10,No. 1, and oftheD MajorSonata, 28, may Op. Op. in be understood precisely thislight. Ex. 16. Beethoven: Sonatas, 10,No. 1,and Op. 28. Op. of Comparison ideas.

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The same generalprinciples underliethebustling note thirty-second acthatforms central the "C" section idea oftheRondo Finale from Sonata the tivity inBfiat reflection sorts to be observed of is in Major, Op. 22. Here,too,a mirror the contrapuntal combinations effected betweenascendingand descending forms thetetrachord. of Finale. Ex. 17. Beethoven: Sonata, 22.Idea from Op.

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one finds elaboratedversion thebasic figure, an of Occasionally adjusted to fit metrical a otherthanduple. The exampleis takenfrom movea setting mentin 6/8 meter. Ex. 18. Beethoven: Sonata, 7. Op. First Transitional passage, Movement.

the idea new out Besidesseeking orconfirming tonalities, tetrachord may in but thatgo nowhere particular, simplyimparta senseof passages inspire of and harmonic stability reposeas, forexample,in theclosingsection an exthe or finale position in a coda. The examplesbelow,from "Moonlight" and the sucha purpose. of first movement the "Appassionata," exemplify

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COLLEGE MUSIC SYMPOSIUM

Ex. 19. Beethoven: themes. Sonatas, 27,No. 2 and Op. 57.Closing Op.

as devicein building and Again,thetetrachord serve constructive may up a The efficacy thedeof the materialwithin development section. extending of vice remains as unaffected it guideseitherthe unfolding a melodicline in thesoprano
Ex. 20. Beethoven: Sonatas,Op. 109 and Op. 110. sections. movement First development

f j'"'jjl^p 'TiTT^ i^j^mt

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Sonata (Waldstein), 53. Ex. 21. Beethoven: Op.

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determined an outlinein thebass. of or theflow harmonic by progressions section. movement First development

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of The uses of the idea in the formulation running passage figuration in most Here itmayserve shouldnotbe ignored either. effectively theconstrucof to passagework a tionofa specific idea as well as in giving thematic shape or the the The fugue moregeneral nature. subjectfrom Hammerklavier opening to ofthe "Appassionato," maybe referred in thisconnection. finale passages themmotives is On theother hand,there no rulethatsaysthatprimary of The maintheme selvesmaynotbe based on thissametetrachordal concept. an the D Minor Sonata, Op. 31, No. 2, provides ideal example ofjust such a line of withitslightly version thedescending pitted slurred eighth-note usage bass progression. theunadorned ascending against Ex. 22. Beethoven: Sonata, 31,No. 2. Op. Maintheme, movement. first

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Finally, as ifin summaryof all these possible uses of the tetrachordfigure, fromthe D majorSonata,Op. 10, No. 3, one may turn to the score of the Presto where the initial four-notemotive assumes proportions of a monothematic character- in a sense both looking backwards to the example of Frescobaldi's does it control the and anticipating Berlioz' idee Ricercari fixe- so persistently movement ideas frombeginning to end: the figureapof construction the first and second theme groups as well as in closing themes and within first pears coda; it is used not only in augmentation but in diminution as well, in melodic contextsand in harmonic underpinnings,and in parallel chordal combinations as well as in contrary-motion contrapuntal settings. to Of course it would be far-fetched assertthat Beethoven was responding to unconscious impulses in organizinghis materials here in the particular fashion that he did. On the other hand, the constant recourse to the tetrachord formulaunder totallyunrelated circumstancesand withinthe contextof comcompositionscertainlybespeaks a powerfulinfluenceover his pletelydifferent creative imagination,to say the least. It would be redundant at this point to attempt an exhaustive listing of fromthe incomplete instancesin which Beethoven has recourseto those figures tetrachord(other than the prototype) hypothesized in our Example 2. Two to pertinentexamples that come to mind in this connection must suffice give some idea of theirsignificance. derived fromthefinaleof the same D Major Sonataunder discusThe first, sion just now, exemplifiesa treatmentin which the whole movement centers in around thisone germinalidea - set off splendid isolation by the surrounding silences. And of course, combination of the motive with its inversionwill also be noted in the quotation below. (Incorporation of the same motive in this same combination could be cited in numerous other instances: in the second theme idea of thefinaleof Op. 7 and in the contrastingperiod of the Variation movement theme of Op. 26, to mention but two. This should sufficeto discourage those analysts who presume to find a unifyingfigurehere, too, that extends to ideas developed in the other movements of the D Major Sonata as well.) Ex. 23. Beethoven: Sonata,Op. 10,No. 3. Themefrom Finale. mm

will be made comes fromthe pen The second example to which reference of a composer other than Beethoven: namely, Diabelli. Several points are of significancehere. First of all, this example will show that Beethoven himself had no exclusive hold on this particular property.Secondly, it will emphasize his abiding attraction to models that exploit the possibilities inherent in its

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to uses.And finally, mightsee herea challenge, one again, forthe composer breakawayfrom lifelong the underwhichhe normally operated. assumptions the thatgaveBeethoven is of The reference, course, to theDiabelli Waltz alluded to The -three set themeforhis monumental of Thirty Variations. section is thatwhichdevelopsthe sequences(in bothhalvesofthe theme)based on of as the exactly same figure was quotedin Example 23 above. An analysis the within mannerin which Beethovenfaces-or evades- the stereotype figure should providean interesting each one of his Variations indeed,and study, for wellserve a worthwhile as assaying pointofdeparture theperformer might are "evasions"ofthefigure includedbelow As twostriking thatwork. example, in withitsoriginal from Variations the setting Diabelli's Theme. together
-three Ex. 24. Beethoven: Thirty Variations Theme ona ofDiabelli.

' i iJJ' ID ii*L_LJ ^

of inner from portions theme, Sequences XV andXX. andvariations

==. A y j H A ===4== =^r Iff*ff ^LJlP' *^JIPt W4--**

As one approachestheend ofa review that devotedto typical figurations werefoundto recurtimeand again in Beethoven's work one cannotavoid the in the did to a formulas exert true whether, fact, composer allowthese question over or than whether was able- moreoften he tyranny his imagination, rather not- toexerthisindependence from sucha tyranny. might led to conbe One clude withNewman,on the basis of the evidencepresented, thatBeethoven theperfect represents exampleofa composer

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to be a . . . whocan most every point be obeying voiceof clearly seenat almost but he commands imperative. were which wasunconscious, whose in and ofa composer whosework to a number formulaeof ... itisastonishingwhat small and melodic, rhythmic, soon-hisapparently varied so canbe reduced. procedure in Butone couldjust as easilyconcludethatthewealthofhisimagination the fresh withwhichhe imtheseformulae- continually variation just treating the that in buesthem-negates possibility he was wholly unconscious following voicethatNewmanpostulates. And indeed,perhapstheuse of themysterious littlemorethan does an idiomatic constitutes the formula the composer for for or ofwordsor specialchoiceofimagery thewriter poet. usage a Shakespeareor a Milton to expresshis One would hardlyexpect thanEnglish-or toexpress in themin thelanguage thoughts a languageother in orderto avoid a repetition thesame phraseor of ofa Keats or Shelleyjust or a the imagery secondtimearoundin treating giventhought topic.In similar to likeBach one day,and one fashion wouldhardly hope forBeethoven write one have serious about thecomthenext.In fact, might Stravinsky misgivings and of whodid so,as wellas gravedoubtsabout theintegrity validity his poser language. further question,then,that Perhapsone shouldaccept the factwithout of theconsistency any language-musicalor otherwisedependsupon the reof number triedand truepatterns. the of To and reusability a certain liability of a generalnaturebequeathedby the timesin whichhe lives,the patterns adds hisownpeculiarrefinements personal and writer composer or idiosyncrasies.As was notedat theoutsetofthispaper,thetonic-dominant relationship for and one pattern Beethoven itwas to thecommon comprised suchinherited and thathe was to add therefinements peharmonic languagebased thereon melodicidiom. of culiarities a personal over a the constitutestyranny the In sum,thedebateas towhether formula his a tyranny within musicallanguage,or even a tyrmusician's imagination, involves morethansemantic little quibblingand will annyat all ... probably centers notbe resolved here.Forthepresent the interest investigation primary itself rather thanaroundany idle speculation aroundthefactofthe formula of withinthe darkrecesses a troubledpsyche. its concerning possibleorigins how ourknowledge And itwas totheend offurthering concerning theformula musicalthought thatthepresof in serve theorganization a composer's might was entinquiry directed. of of withan idealizedversion a Beethoven setting thecommon Starting in theTheme oftheEroicaVariations, I-V harmonic progression hypothesized were derivedtherefrom tracedin theirvariousmanitheuses oftheformula thePiano Sonatasoftheearly, festations middle,and late periods. throughout

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likewise It was suggested, thatthefullline ofthetetrachord too, playsan imand thatrolewas subjected rolein Beethoven's constructive portant processes touchedupon. werebriefly relatedfigures to similar review. Certainother the from piano litwas thematerial reviewed derived exclusively Though wouldnotvarysigthat it maybe asserted withconfidence theresults erature, or weretheSymphonies Quartetsto have been used as theprimary nificantly desourceinstead.For one is dealingherenotwithan isolatedphenomenon and thataffects controls witha phenomenon termined medium, rather but by theveryessenceof a totalstyle. may be foundanywhere Justas the formula at and everywhere within certain a texture- anypointalongthewayofdevelwithin fast opmentwithina givenphrase, period,or even wholemovementin surface the and slow;happyand sad- so too will theformula compositions in one whether Symphony, of wherever looks, fulfillment itsmission Song,or Sonata. the An analyticalstudyof the sortjust completeddoes not hold forth it On of immediatehard and fastconclusions. the contrary, serves promise of the soonerto introduce elementof skepticism an concerning validity that of whichdoes offer on theotherhand,analysis suchconclusions. But analysis withthetype to hereshouldadd a newdimension ourfamiliarity expounded in general.It and understanding Beethoven's ofprocedures compositional certain an of awareness, regarding too, maywell introduce element conscious orbarely recmatters whichpreviously been onlyvaguely had comprehended ognized.The performer, especially, may findherea practicalkeyin dealing withmanya thorny thatdefies easysolution. problem "so itmaybe possibletoreducemuchofBeethoven's varFinally, though as was seen during ied procedure" dryabstraction mechanicalformula to or of thecourseofthepresent thought intensity themaster's paper,thespiritual that formulation and expression eventhemost brilliant transcends diabolically secan be devisedby theanalyticalmindin theeffort probetheinnermost to the cretsof thatexpression. And the magicofhis touchwill forever preclude everbeing perfrom of possibility even his use of the mostblatantformula ceivedas such- in theactual flesh and blood ofthemusicitself- theintelby in and sympathetic for listener whomthatmusicwas intended thefirst ligent place.