T O - T R B P C N 4 GM, O 58, O W: 01-Burstein 7.8.06 11:13

L.
POUNDIE BURSTEIN
THE OFF-TONIC RETURN IN BEETHOVEN'S PIANO CONCERTO NO. 4 IN G MAJOR, OP. 58, AND OTHER WORKS
Thematic Returns Introduction The return of a hero will normally be accompanied by cheering throngs, the adornment of laurels and the heralding of brass instruments. Yet in one of the most famous homecomings in literature, the hero returns in a manner that is notably unvaliant:
At no long interval, Odysseus came through his own doorway as a mendicant, humped like a bundle of rags over his stick.1
In this passage, Odysseus sneaks back unrecognised through the portal of his home, following a lone welcome by his dying dog, who scarcely manages to wag his tail in salute. This odd return of course gains much force when set against what the audience and readers know could have been. In music, as in literature, a return is often a momentous event that is strongly underlined. Although not always triumphant or heroic, the typical return of a main theme in music is usually accompanied at least by a renewed sense of groundedness and stability. This is especially true for the music of the high Classical era, where the return of the main theme along with the simultaneous return of the main tonic frequently marks a highpoint of a composition. Indeed, an emphatic re-entrance of the main theme and home tonic following a `standing on V' that is, a climactic, sustained V chord forms one of the chief hallmarks of this style, to the point that it is almost a cliche.2 Yet composers of the era occasionally took advantage of other strategies for returning to a main theme, strategies that twist the accompanying sense of resolution or even eradicate it entirely. In these alternative strategies, the theme either returns with a jolt, sneaks back in, enters deceptively, or comes back transformed. These other possibilities contrast so strongly with the typical strategies for thematic returns that they often stand out as noteworthy and fraught with meaning.3 One situation which gives rise to an unusual thematic return occurs when the main theme of a movement opens on a non-tonic chord. It is difficult to establish a feeling of beginning anew with such a theme, which even at its first
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appearance sounds harmonically as though it begins in medias res. For many such themes, the standard dominant preparation is likely to be inadequate or inappropriate. As we shall see, composers developed a variety of specific techniques for dealing with returns of themes that have non-tonic beginnings. Even the standard procedure of preceding a thematic return with a prolonged V has special implications when dealing with such off-tonic themes. Although found in only a minority of compositions, main themes with non-tonic openings along with their oddly approached returns are nevertheless found frequently enough as to form a significant feature of the music of the Classical era. This is particularly true of the works of Beethoven, who had a penchant for off-tonic main themes. Examination of the way in which composers handled the returns of such themes not only provides much insight into this style, but also prompts a re-evaluation of various analytic assumptions regarding the nature of thematic returns in general. Returns of Themes that Begin on the Tonic To better understand the treatment of themes with non-tonic openings, it is first necessary to take a close look at the typical thematic return. Most typically, when a theme is recapitulated, it is underpinned by a tonic chord and is preceded by an imperfect cadence (also known as a `semicadence' or half cadence that is, a cadence which ends on a root-position V). Although most would agree that a sense of resolution usually accompanies such a return, there is less agreement regarding precisely where the resolution takes place. Some suggest that the V of an imperfect cadence resolves to the I which directly follows it, as is depicted in Ex. 1a. For instance, discussing these cadences in general, William Caplin notes that à subsequent resolution to tonic does not belong to the progression proper but occurs at the beginning of the next harmonic progression'.4 Although this stance seems reasonable, one might well wonder how a V can progress to a chord which belongs to a separate progression. At the very least, the sense of resolution arising between the V of an imperfect cadence and the tonic at the beginning of the next progression is weaker than that which arises within a perfect cadence.
Ex. 1a Interpretation of a typical thematic return, showing the V of an imperfect cadence resolving to the tonic that immediately follows
imperfect cadence
V resolves to I at beginning of next harmonic progression
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BEETHOVEN'S PIANO CONCERTO OP. 58
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An alternative, more prevalent interpretation claims that the V of a typical imperfect cadence does not lead to the tonic that immediately follows it, but rather resolves only when counterbalanced by a subsequent perfect cadence (Ex. 1b). That is, taking a cue from Heinrich Schenker, one would regard the V of a typical imperfect cadence as being followed by an ìnterruption' so that it is `closed off' (in other words, tonally disconnected) from the I which begins the next phrase, with the V finding its full resolution only at a subsequent VI motion.5 As Alan Cadwallader and David Gagne explain, when a V is followed by an interruption, àll melodic and harmonic progressions cease at least on the level at which the interruption occurs . . . the V does not resolve to the following I'.6 Thus, for instance, the V at the end of a typical sonata-form development section does not resolve at the beginning of the recapitulation, but rather only resolves to the background tonic which appears towards the end of the recapitulation.
Ex. 1b Interpretation of a typical thematic return, showing the V of an imperfect cadence resolving at a subsequent perfect cadence
closed off theme thematic return
[exposition / development
recapitulation]
Yet problems arise with this stance as well, at least if it is taken to extremes. It may be correct to say that the V of a typical imperfect cadence does not resolve fully until it is balanced by a subsequent perfect cadence. But is it fair to suggest that the V is completely closed off from what immediately follows it? I would argue, in contrast, that in most cases in spite of the interruption there is at least some sense of resolution between the cadential V and the tonic which appears at the head of the next phrase. In other words, as depicted in Ex. 1c, the V of an imperfect cadence usually resolves at least to some extent to the
Ex. 1c Proposed alternative analysis (cf. Exs. 1a and 1b)
theme motion (on surface) from V of imperfect cadence to following I chord thematic return
motion (on deeper level) from V of imperfect cadence to I of subsequent perfect cadence
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very next chord. (I use the dotted arrow in this example to represent the relative foreground nature of this resolution.) As one of hundreds of possible examples from the literature, consider the conclusion of the development section in Beethoven's Sonata for Piano in F minor, Op. 2 No. 1, I (Ex. 2a). Following standard practice, one would identify an interruption at the end of this development section. Yet is it fair to claim that the V here is completely closed off from the tonic at the beginning of the recapitulation? Clearly, the prolonged dominant leads strongly to the tonic that immediately follows, and there is a powerful feeling of resolution when this tonic arrives.7
Ex. 2a Beethoven, Sonata for Piano in F minor, Op. 2 No. 1, I, bars 93102
(Allegro) end of development section 93
3
interruption, closed off?
97
recapitulation
cresc.
We might try to untangle the problem by claiming that the VI resolution in this passage results from the foreground stepwise descent in bars 93101. Since this descent takes place on the foreground, the background V chord of bar 93 remains completely closed off on the deeper levels from the tonic of bar 101.8 The problem with this line of reasoning is that the dominant is prolonged from bar 93 to bar 100. As a result, if this passage leads to the tonic, it must be assumed that the V which is prolonged during these bars also leads to the tonic. To get around this, one would have to accord the V a type of schizophrenic existence. That is, one could claim that the V of bars 93100 functions both as a background chord that is closed off from the tonic which comes directly after it, and also as a relative foreground chord that leads directly to the following tonic. But this is equivalent to stating that V does resolve partially to the tonic chord which follows, in a manner similar to what is depicted in Ex. 1c. Even in cases where there is no linking passage, there will almost always be
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some sense of motion from the V of an imperfect cadence to the following I. For instance, consider the excerpt from Beethoven's Sonata for Piano in E major, Op. 14 No.1, II, shown in Ex. 2b. Although there is no bridge passage between the V and I here, is a connection between these two chords entirely absent? Admittedly, owing to the lack of a transition in this example, the connection between the V and I chords is considerably weaker than in Ex. 2a. However, the closing-off at the point of interruption need not be regarded as a monolithic construct; closings-off may be realised with varying degrees of force. In the excerpt given in Ex. 2b as in most such cases there is certainly at least some harmonic connection between the V of an imperfect cadence and the I that immediately follows it. This is important to remember when discussing returns of themes which do not begin with the tonic, where such harmonic connection is often entirely absent. If all imperfect cadences are routinely regarded as followed by a complete closing-off, the special nature of returns of themes with non-tonic openings might well be overlooked.
Ex. 2b Beethoven, Sonata for Piano in E major, Op. 14 No. 1, II, bars 2936
(Allegretto) 29 imperfect cadence followed immediately by thematic return (with no connection on a later level)
V resolves to following I (on foreground) V points to deep-level resolution at subsequent perfect cadence (in bar 51)
The analytical problem involved here is not simply a Schenkerian one. Rather, it lies at the heart of some basic analytic attitudes, such as those involved in labelling cadences. Classifying cadences as either imperfect or perfect is one of the first things taught to students of music analysis. Accordingly, a great distinction is made between a phrase that halts on a V on the one hand, and a phrase which concludes with a perfect cadence whose final chord elides with the following phrase on the other. Yet many cadences resist such ready classification, falling in between the cracks of these two categories in a way that can be baffling. For instance, consider the first vocal phrase of Franz Schubert's `Der Wegweiser' (Ex. 2c). In their separate analyses of this song, Walter Everett suggests the appearance of a perfect cadence in bar 10 while Janet Schmalfeldt reads an imperfect cadence in bar 9.9 But regardless of which analysis one prefers, surely the status of the cadence here remains at least somewhat
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ambiguous. Furthermore, reading an imperfect cadence in bar 9 does not preclude acknowledging the motion from a dominant leading to a tonic in bars 910. The resolution from V to I here is of course enhanced by the `filler' at the end of bar 9. Fillers that lie between an imperfect cadence and the tonic which begins the next phrase are not uncommon: as Schenker notes, a `connective linear progression' or the addition of a chordal seventh frequently helps to link a V divider to the tonic that immediately follows.10
Ex. 2c Schubert, Winterreise, song 20: `Der Wegweiser', bars 610
imperfect cadence Was ver meid ich denn die We ge, wo die an dern Wand rer or perfect cadence
gehn? (filler)
or
Such transitional material is particularly prominent at the end of various sonata-form development sections where a retransition connects the background V of an imperfect cadence to the tonic at the beginning of the recapitulation. This is the case, for instance, in the first movement of Beethoven's Fourth Piano Concerto in G major, Op. 58 (see Ex. 2d). Towards the end of this movement's development section, the background dominant is articulated by an imperfect cadence in bar 245. This dominant harmony is then prolonged during the ensuing retransition, where it transforms into a V7 which leads into the recapitulation in the manner of a perfect cadence. The strong V7I resolution in bar 252253 by no means prevents one from regarding the V prolonged in bars 245252 as interrupted and thus ultimately leading to a later, deeper-level tonic. Basic Strategies for Off-Tonic Returns That the V of a typical interruption resolves both to the tonic that immediately follows it and to a deeper-level tonic which arrives later may be appreciated by considering situations in which such a two-pronged resolution is impossible. One such situation arises when the main theme begins with an auxiliary cadence, that is, when the progression which frames the main theme starts with a chord other than the tonic.11 I shall use the term off-tonic returns to refer to the returns of such main themes that at least in their initial appearance begin with a non-tonic chord. These include not only central thematic returns which appear at the beginning of a recapitulation, but also lesser thematic
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Ex. 2d Beethoven, Concerto for Piano and Orchestra No. 4 in G major, Op. 58, I, bars 251253
243 imperfect cadence 245
(standing on V,
divider 8 recapitulation 253
piano flourishes continue and intensify)
cresc.
(perfect cadence)
returns such as those where the main theme re-enters at the beginning of a rondo refrain or within a coda. Off-tonic returns arise in various formats, which I shall place into four basic categories. The standard thematic return discussed above in which an imperfect cadence is followed by a theme that begins on a tonic chord sets in relief those situations in which an off-tonic return comes directly after an imperfect cadence, following an interruption. I shall classify this situation as a CATEGORY I off-tonic return, shown in the abstract in Ex. 3a.12 Unlike standard thematic returns that begin on the tonic, CATEGORY I off-tonic returns do not allow a sense of resolution at the re-entrance of the main theme. That is, unlike the passages seen in Ex. 2, there is no surface resolution from the V of the imperfect cadence to the very next chord. In most of these cases, the interrupted status of the V chord is unambiguous, and there is no confusion over whether to consider the imperfect cadence part of an elided perfect cadence instead.
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But although the V in Ex. 3a is closed off from what immediately follows it, one cannot help noticing the resulting odd chord succession as opposed to progression of a V chord moving directly to a non-tonic chord. This and other similarly awkward chord successions produce what I shall refer to as a `harmonic bump'. As we shall see, a harmonic bump (which is not a factor in a standard thematic return where the theme begins on a I chord) is characteristic of many CATEGORY I off-tonic returns. Furthermore, such harmonic bumps frequently have far-reaching motivic implications.
Ex. 3 Four basic strategies for off-tonic returns (a)
CATEGORY I:
Thematic return follows cadence

thematic return
theme
harmonic bump
(b)
CATEGORY II:
Thematic return follows applied chord

thematic return
theme
7 applied chord points to first chord of theme
(c)
CATEGORY III:
Thematic return appears in the middle of larger progression

thematic return
theme
theme returns in mid-progression
(d)
CATEGORY IV:
Theme recomposed so as to begin on I

thematic return
theme
theme recomposed so as to begin on I
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A harmonic bump can be avoided if the first harmony of the off-tonic return is preceded by its own dominant. An abstract example of this procedure, which I shall classify as a CATEGORY II off-tonic return, is shown in Ex. 3b. In this example, a V7 of IV intercedes between the V of the imperfect cadence and the opening IV chord of the thematic return. As with the passage of Ex. 3a, the background dominant here is closed off from the first chord of the returning theme, but the potential bump between these chords is smoothed over at a later level by an intervening applied chord. This differs substantially from what happens in standard thematic returns (as in Ex. 2a), where the material which appears at a later level after the onset of the imperfect cadence prolongs and continues the tendencies of the large V of the home key. In contrast, with a CATEGORY II off-tonic return the local harmonic goal is redirected in the passage which directly follows the deep-level dominant. The emphasis given to the applied chords that precede CATEGORY II off-tonic returns varies widely, as does their structural significance. That is, in some instances the applied chord which precedes the main theme will be a surface chord that is stated perfunctorily. On other occasions, however, the applied chord will be extended and treated as though part of an imperfect cadence, which itself seems to give rise to an interruption-like structure within the applied key area (see, for instance, the discussion of Ex. 9 below). Additional possibilities for off-tonic returns that avoid potential harmonic bumps are shown in Exs. 3c and d, which I classify as CATEGORY III and CATEGORY IV types, respectively. In CATEGORY III, the first harmony of the theme is understood to lie within a larger progression when it returns.13 In CATEGORY IV, the theme is modified so that it begins with a tonic chord. In neither of these situations is there an interruption preceding the return of the main theme.14 It should be emphasised that these categories are by no means strict; they do overlap to a certain extent, as will be discussed presently. Nevertheless, these four categories do help to delimit the basic strategies for dealing with off-tonic returns. Of course, the ways in which these devices are realised in actual compositions are manifold. These procedures are used with great variety and ingenuity in a number of compositions from the Classical era; this is particularly true of the music of Beethoven. As we shall see, off-tonic returns can have a deep impact on the harmonic and motivic layout of a composition, and they often influence its poetic and narrative framework as well. Examples from the Literature Off-Tonic Return Directly Following a Cadence (CATEGORY I) The off-tonic returns of CATEGORY I are most like standard thematic returns, inasmuch as the theme re-enters immediately after a cadence (usually an
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imperfect cadence, following an interruption). Yet because of the harmonic bump which often accompanies them, CATEGORY I returns often have motivic implications. Consider the second movement of Mozart's Quartet for Strings in E major, K. 160, which begins with the progression VI7IIV7I (Ex. 4a). The peculiarity of this non-tonic beginning is enhanced by the dissonant setting of the opening linear progression, as well as by the initial tonal ambiguity.15 The shock of this beginning is mirrored at the head of the recapitulation, which is directly preceded by an imperfect cadence (Ex. 4b). The motion from the V of this imperfect cadence to the opening of the returning theme produces a harmonic bump, which is underlined by the tutti crochet rest in bar 30 and the sudden registral shift between the phrases.16 It is instructive to compare this CATEGORY I off-tonic return to the standard thematic returns seen in Ex. 2 above. By contrast with these former excerpts, the passage shown in Ex. 4b exhibits no tonal connection between the V of the cadence and the following chord, and nor does this V in any sense resolve at the beginning of the next phrase. The odd chord succession at the point of recapitulation interacts with other passages within the movement. Such is the case, for instance, with the beginning of the second theme of the exposition, where an expected motion to I of
Ex. 4 Mozart, Quartet for Strings in E major, K. 160, II: (a) First theme, bars 16
Un poco Adagio
1
A : (=B : )
(b) Bars 3031, main theme returns at the beginning of the recapitulation, creating a harmonic bump (CATEGORY I off-tonic thematic return)
harmonic bump! 30
(imperfect cadence)
recapitulation
315
A is rudely interrupted by a sudden lurch towards the key of E (Ex. 4c). Significantly, the disturbing chromatic progression at the head of the second theme is similar to the progression found in the opening of the main theme, albeit now appearing within the key of the dominant. A similar chordal succession appears also twice within the recapitulation. In
(c) Bars 1215, harmonies from main theme unexpectedly appear (within the key of E major) at the beginning of the second theme
harmonic bump! second theme 12
( )
A :
E :
cf. chords of bars 3032 (Ex. 4b)
(d) Bars 3640, transition section of recapitulation: motivic reminiscence of main theme's opening harmonies, now appearing within a larger progression (and with no harmonic bump)
36
harmonies similar to opening reappear in the middle of a progression
(e) Bars 4348, beginning of second theme in the recapitulation: motivic reminiscence of main theme's opening harmonies, now appearing within a larger progression (and with no harmonic bump)
43
harmonies similar to opening reappear in the middle of a progression!
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(f) Voice-leading sketches of entire movement

1 1st group 5 7 (bridge) 13 2nd group 17 22
( 7! 10 7! 10
A : (E : NB: surprising opening harmonies opening harmonies reappear following harmonic bump )
1 exposition
23 development
31 recapitulation first theme
36 37 bridge
42
return of opening follows harmonic bump
opening harmonies appear in mid-progression, with no harmonic bump
43
45 46
47
48
51
56
recapitulation second theme
opening harmonies appear in mid-progression with no harmonic bump
each of these latter passages, however, the opening non-tonic chord appears within the middle of a larger progression, so that a bump is no longer associated with these same harmonies during the recapitulation (Exs. 4d and e). Note that these subsequent harmonic allusions are not prompted by the overall key design. For instance, the second theme of the recapitulation could have simply been transposed from its prototype in the exposition. Likewise, since the transition
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has a bifocal close, the verbatim musical return which begins the recapitulation could have continued for a full twelve bars through to the end of the transition.17 In other words, had Mozart recapitulated the transition and second theme here in simpler fashion as he had done in so many other works the motivic references bracketed in Exs. 4d and 4e would not have appeared. This suggests that these motivic allusions result from a deliberate decision on Mozart's part. The interplay of these various motivic and thematic references helps shape the narrative profile of this movement, in which an initial source of tension is confronted and then mollified. That is, the progression seen at the opening of this movement gives rise to bumps and disturbances at the outsets of the first theme, second theme and recapitulation, thereby creating tension. Ultimately, however, these harmonies are recast during the recapitulation so as to supplant the former tensions, yielding a sense of reconciliation.18 Ex. 4f provides voiceleading sketches of the entire movement. Motivic interaction with a passage involving a CATEGORY I harmonic bump may likewise be found in the Menuetto of Beethoven's Trio for Piano and Strings, Op. 1 No. 1. This movement begins with the arpeggiation of a ii chord (Ex. 5a). The non-tonic opening contributes to the harmonic bump that occurs when the main theme returns at the outset of the AH section, where it directly follows an imperfect cadence (Ex. 5b).19 As though counterbalancing this, however, the chord succession which gives rise to this bumpy return, along with the opening gesture of the melody, appears in other passages in midphrase, where the harmonic bump is thereby avoided (see Ex. 5c, bars 50ff.; and also the coda not shown in Ex. 5c bars 205ff.). To be sure, a CATEGORY I off-tonic return will not always yield a bumpy harmonic succession. This is especially true when the main theme begins on a V chord, as in the passage from Haydn's Quartet for Strings in A major, Op. 55 No. 1, shown in Ex. 6. Although the texture implies a closing-off after the imperfect cadence here, the harmonies at the head of the returning theme nonetheless also suggest at least on the surface a continuation of the V of the imperfect cadence. In any event, no harmonic bump is formed in this case (see also the discussion of `Situations Involving More than One Category' on pp. 3248 below). CATEGORY I off-tonic returns may also involve a theme that immediately follows an imperfect cadence on a V/vi, that is, a III (see Haydn's Symphony No. 90, I, bars 138156) or even a perfect cadence (Ex. 7). An off-tonic return which follows a perfect cadence of course will not create a harmonic bump, although a textural articulation can nonetheless create a sense of closing off in such cases. In the passage from Beethoven's Trio for Strings in G major, Op. 9 No. 1, shown in Ex. 7, for instance, a stark articulation distinguishes the opening, implied non-tonic chord of the returning theme as the beginning of a
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Ex. 5 Beethoven, Trio for Piano and Strings in E major, Op. 1 No. 1, III (a) Opening, bars 18
Scherzo: Allegro assai
1 C A F
E :
(b) Return of A section, bars 95108 (CATEGORY I off-tonic thematic return)

95 return of A section 101
harmonic bump
(c) Voice-leading sketch of the entire Menuetto

1 9 consequent 42 50 57 73 101 109 consequent
A
antecedent
opening gesture appears in mid-phrase, without harmonic bump
A'
antecedent
harmonic bump
harmonic bump harmonic bump
Ex. 6 Haydn's Quartet for String in A major, Op. 55 No. 1, IV, bars 5663: imperfect cadence followed by theme that begins on a V chord (CATEGORY I)
(Finale: Vivace) 56 A' section
dim.
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Ex. 7 Beethoven, Trio for Strings in G major, Op. 9 No. 1, III, bars 3237: offtonic thematic return follows perfect cadence (CATEGORY I)
(Scherzo: Allegro) 32 perfect cadence thematic return
cresc.
progression, one that is tonally separated from the tonic harmony which precedes it.20 Off-Tonic Return Preceded by an Applied Chord (CATEGORY II) As noted above, in the case of a CATEGORY II off-tonic return, an applied chord points toward the reappearance of the returning theme (see Ex. 3b). This gives rise to a sense of momentum, a sense which is lacking in the CATEGORY I excerpts that we have just examined. For instance, compare the passage from Haydn's Quartet for Strings in A major, Op. 55 No. 1, IV, shown in Ex. 8, with the excerpt taken from an earlier passage in this same quartet shown in Ex. 6. In Ex. 6 there is no motion leading from the V of the imperfect cadence towards the first chord of the thematic return. In the passage shown in Ex. 8,
Ex. 8 Haydn, Quartet for String in A major, Op. 55 No. 1, IV, bars 100110: applied chord leads to the off-tonic thematic return (CATEGORY II)
(Finale: Vivace) 100
dim.
of A' section 105
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on the other hand, the theme is preceded not by a V, but rather by a V4 of V, 3 thereby allowing for the harmonic drive which leads towards the beginning of the ensuing main theme. Note that the extended V4 of V here is treated in the 3 manner of an imperfect cadence. It thereby simulates an interruption structure, even though unlike the standing on V passage typically found at the end of a developmental section it does not save to confirm the background key. At times an applied chord which appears directly before an off-tonic return has far-reaching tonal implications, as in the Scherzo from Beethoven's Sonata for Piano in A, Op. 26 (Ex. 9a).21 Although this movement is in A major, it begins on an F minor chord (vi of A). Not only is the AH of the Scherzo preceded by an extended V of F that leads to the first chord of the returning theme, but the entire B section also consists of a sequence leading to this same
Ex. 9 Beethoven, Sonata for Piano in A major, Op. 26, III (a) Bars 2552: off-tonic thematic return follows an applied chord (CATEGORY II)
(Molto allegro) 25
of 31 decresc.
38
A' section 45
321
harmony.22 As such, the off-tonic return plays an integral role in the tonal structure of the entire middle section. Passages such as that shown in Ex. 9a highlight certain problems concerning the traditional interpretation of an interrupted structure. Imagine the situation whereby an imperfect cadence similar to the one shown in Ex. 9a had been found in an F minor composition. In the manner of Ex. 1b, the V of F minor in such a context would typically be interpreted as closed off from the following chord, resolving to the tonic only at a subsequent perfect cadence (Ex. 9b). However, in the Beethoven Scherzo, there is no subsequent cadence to F minor, and thus the V of F minor must here be regarded as resolving to the chord at the head of the
(b) Abstract example of standard interpretation of interruption in F minor (cf. Ex. 1b) interruption
points to perfect cadence in F minor
(c) Proposed alternative analysis (cf. Ex. 1c)

resolves locally to following chord
points to perfect cadence in F minor
(d) Voice-leading analysis of Beethoven, Op. 26, III (local resolution and thwarted large-scale resolution of applied chord)
1/9 8/16 17 20 24 45 62 64
A'
of resolution to F minor on foreground
points to perfect cadence in F minor (which never arrives)
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theme (since that is the only F minor chord which comes after it).23 But this creates a degree of ambiguity: it is simply inconsistent to say that the V of a typical imperfect cadence does not resolve to the chord which immediately follows it, and yet the V of vi in this imperfect cadence from Op. 26 does just that. Since the V of F minor clearly leads to the very next chord within the CATEGORY II off-tonic return of Ex. 9a, the V within a standard interruption structure should also be regarded by analogy as leading to the very next chord, at least on a local level (as depicted in Ex. 9c). Likewise, much as the V within a standard interruption structure ultimately points to a deep-level resolution later in the composition (see the solid arrow in Ex. 9c), so the climactic V in Beethoven's Op. 26 Scherzo points on a deeper level to an F minor chord that ironically never appears (Ex. 9d). No doubt this odd lack of resolution adds to the comic effect of this movement: to paraphrase Immanuel Kant's definition of humour, the grand V of vi in the Scherzo of Op. 26 creates a great expectation which leads almost to nothing.24 This sense of frustrated deep-level resolution is quite typical of CATEGORY II off-tonic returns. The situation may be summed up as follows: (1) With a typical interruption, the V of the imperfect cadence relates both to the background tonic and on a lesser level to the tonic chord which immediately follows. (2) With a CATEGORY I off-tonic return (Ex. 3a), the V of the imperfect cadence points only to the background tonic and not to the chord which immediately follows, thereby frequently creating a harmonic bump. (3) With a CATEGORY II off-tonic return (Ex. 3b), the V of the imperfect cadence resolves on the surface level only to the chord which immediately follows, and not at all to the background tonic. As such, although a harmonic bump is avoided on the surface, tonal disorientation is nevertheless fostered on the deeper levels, since a promised large-scale resolution is frustrated. Off-Tonic Return Appearing within a Larger Progression (CATEGORY Recomposed (CATEGORY IV)
III)
or
A smoother approach to an off-tonic return is afforded by CATEGORY III, in which the returning theme is reset so that it falls in the middle of a larger progression (see Ex. 3c). A classic instance of this is found at the onset of the recapitulation in Beethoven's Sonata for Piano in E, Op. 31 No. 3, I (see Ex. 10). The main theme of this movement begins with an inverted supertonic chord. Accordingly, the development section of this movement does not end with a V followed by an interruption, as would be typical. Rather, it concludes with a IV which gradually transforms into the ii6 of the returning theme. As a result, a single harmonic progression spans the end of the development section through to the beginning of the recapitulation.25 This situation is somewhat similar to what was seen in Exs. 4de and 5c (bars 50ff.), where motivic references to the main theme appear mid Blackwell Publishing Ltd. 2005
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Ex. 10 Beethoven Sonata for Piano in E, Op. 31 No. 3, I, bars 128144: no imperfect cadence at the end of the development section; recapitulation begins in the middle of the harmonic progression (CATEGORY III)
(Allegro) end of development section 128
133
recapitulation 137
cresc.
139
ritard.
a tempo
cresc.
progression. In Op. 31 No. 3 as in these earlier examples harmonies which seem as though they belong in the middle of a larger progression are actually placed within such a context when they return. However, in Op. 31 No. 3, there is a conflict between òuter form' and ìnner form' which was lacking in the passages discussed in relation to Exs. 4d-e and 5c. Since these other passages involve simple motivic references that otherwise are not strongly articulated, they act like reminiscences and do not effect a sense of return. In Op. 31 No. 3, on the other hand, there is a strong feeling of return at the point of recapitulation. The conflict here between the design, which announces bar 137 as the beginning of a section, and the harmonies, which suggest that bar 137 lies in the middle of a larger progression, creates a paradox. Similar paradoxes frequently attend CATEGORY III off-tonic returns.26 The least frequently used device for returning to a theme that has a nontonic beginning is the CATEGORY IV type, which involves the recomposition of the main theme so that it starts on the tonic (as in Ex. 3d). This strategy appears most often in coda sections where the main theme makes a final reappearance. An example may be found in the last bars of Beethoven's Second
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Symphony in D major, Op. 36, IV. The opening gesture of the movement's main theme, which in its first appearance opened by outlining a V chord, is rewritten in bars 424ff. so as to begin on I. Another good example arises in the aforementioned Scherzo to Beethoven's Piano Sonata in A major, Op. 26. In the last appearance of the movement's main theme (bars 53ff.), the original opening submediant chord is changed to a tonic. In this and many other such cases, it as though there were an attempt to `tame' the main theme on its final appearance by removing its non-tonic beginning, thereby paving the way for the end of the movement. Situations Involving More than One Category At times it is difficult to place an off-tonic return neatly into one of the four categories discussed above; certain instances will straddle more than one type. For example, consider the situation which arises when a theme that begins with a V is itself preceded by a V chord. In such cases, should the second V be regarded as a continuation of the first (CATEGORY III, Ex. 11a), or as a separate chord that is closed off from the first (CATEGORY I, Ex. 11b)? The degree to which these V chords are connected will differ in each case, although in almost every instance there will be at least some element of connectedness, as well as some degree of closing off. In many such situations, the texture or thematic design help to determine whether the V of the imperfect cadence should be regarded as closed off. In the passage shown in Ex. 6, for instance, the pronounced pause which precedes the return of the main theme strongly suggests that the cadential V chord is closed
Ex. 11 Voice-leading sketches of abstract examples showing possible interpretations of off-tonic thematic returns that both begin on V and which follow an imperfect cadence (a) V chord is prolonged through thematic return (CATEGORY III)
return of theme
(b) V chords are closed off from one another (CATEGORY I)

return of theme
325
off from what follows. As a result, this passage should be classified in CATEGORY I, in the manner of Ex. 11b. Conversely, in the first movement of Haydn's Quartet for Strings in D major, Op. 50 No. 6, a thematic gesture offsets the break following the imperfect cadence at the end of the development section (as in Ex. 11a). In this passage, the movement's opening motive (Ex. 12a) appears transposed up an octave in bar 112 (Ex. 12b) and then is repeated twice as the final V of the development section continues to be prolonged. The second of these motivic repetitions, in bar 114, turns out to be the beginning of the recapitulation. Since the opening of the recapitulation flows so seamlessly from the end of the development, there is no interruption here; rather, a single V chord overlaps with the end of the development section and the beginning of the recapitulation. As such, this passage unlike the one seen in Ex. 6 would best be understood as a CATEGORY III off-tonic return. In other such situations where the formal articulation is more ambiguous, it might not be so clear as to whether one should classify the off-tonic return as a CATEGORY I type, a CATEGORY III type, or perhaps a combination of both. Even in the passages shown in Exs. 6 and 12b each of which is relatively straightforward
Ex. 12 Haydn's Quartet for Strings in D major, Op. 50 No. 6, I, bars 111117 (CATEGORY III; cf. Ex. 11b) (a) Opening, bars 14
Allegro
1
(b) Bars 111117, recapitulation begins in the middle of a V chord prolongation (CATEGORY III; see Ex. 11b)
end of development section no interruption! 111 recapitulation
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some ambiguity exists. That is, in spite of the interruption indicated in Ex. 6, there is nonetheless some connection between the V of the imperfect cadence and the V which appears at the head of the returning theme. Likewise, in Ex. 12b, there is, despite the unified progression, some degree of closing off between the sections, owing to the retrospectively understood articulation in the design. A special situation in which an off-tonic return falls within both CATEGORY I and CATEGORY III arises when a clearly demarcated imperfect cadence appears
Ex. 13 Beethoven, Second Symphony in D major, Op. 36, IV (a) Opening, bars 16
Allegro molto
1 con 8
(b) Approach to the recapitulation, bars 181190: imperfect cadence appears after beginning of the recapitulation (CATEGORY I and III)
recapitulation begins
181
con 8
( )
186
imperfect cadence
new phrase
327
shortly after the onset of the thematic return. Such is the case in the approach to the recapitulation in the finale of Beethoven's Second Symphony. This movement opens with an outburst which outlines a V chord, followed by a brief rest (Ex. 13a). In spite of the pause, this opening gesture is too brief to establish an imperfect cadence; rather, the V should here be regarded as harmonically attached to the I that enters in bar 3. When it returns at the end of the development section, on the other hand, the opening motive is texturally linked to the music which precedes it (Ex. 13b). As a result, the opening of the recapitulation seems to precede the interruption that concludes the development section. Thus, as in a CATEGORY I off-tonic return, both a cadence and an interruption occur here but, in the manner of a CATEGORY III off-tonic return, a progression overlaps with the return of the main theme.27 An off-tonic return can also involve an overlap between CATEGORY II and CATEGORY III. Such is the case in the passage from the finale of Beethoven's Sonata for Cello and Piano in G minor, Op. 5 No. 2, shown in Ex. 14. In this excerpt, the return of the main theme which begins on IV is preceded by a
Ex. 14 Beethoven, Sonata for Cello and Piano in G minor, Op. 5 No. 2, II, bars 6267: applied V7 to the first chord of an off-tonic thematic return appears in the middle of larger progression (CATEGORY II and III)
(Rondo: Allegro)
sequence from vi to IV: 62
Bass: E
A' section
65
C of
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V7 of IV. However, unlike the CATEGORY II returns seen above in Exs. 8 and 9, this applied chord is not followed by a caesura or a break of any sort. Rather, it appears in the middle of a sequence which embraces the opening of the returning theme, in the manner of a CATEGORY III off-tonic return. The Finale of Beethoven's Fourth Piano Concerto and Related Works Beethoven and the Off-Tonic Return The technical challenges involved in accommodating off-tonic returns provide numerous expressive opportunities for the composer. Whereas returns of main themes are typically points of great stability and confirmation, off-tonic returns replace this expected stability with shock (as in CATEGORY I types), confusion (as in CATEGORY II), obfuscation (as in CATEGORY III), or perhaps even stronger confirmation (as in CATEGORY IV), giving rise in turn to various possibilities for musical drama and poetry. Beethoven was particularly adept at exploiting the possibilities of the offtonic return, thereby making the return of the main theme a focal point in many of his works. The archetypical Beethovenian practice of having the main theme return forcefully following a huge prolongation of the V chord is well known. Yet he would also counter this standard procedure in a number of creative and frequently bold ways. Beethoven exploited the off-tonic return throughout his career. The instrumental works which employ off-tonic returns include those shown in Table 1, organised by genre for ease of reference. This list does not pretend to be complete. Indeed, it would be impossible to draw up any such listing that would meet with complete consensus, especially when one considers the ambiguities which arise in distinguishing between pieces that begin with a weakly stated tonic on the one hand, and those with non-tonic beginnings that nonetheless hint at an opening I chord on the other.28 In any case, even if one were to argue over precise content, I feel that the main points are undebatable: namely, that Beethoven composed many works which include off-tonic returns, that such works appear throughout his career, that these include a number of his most significant compositions, and that in many of these the impact of the thematic return is considerable. As such, the off-tonic return would have to be regarded as a vital part of Beethoven's style and technique. The Finale of Op. 58: Tonal and Motivic Structure Of all the works by Beethoven listed in Table 1, the third movement rondo of the Piano Concerto No. 4 in G major, Op. 58, stands out for its exhaustive use of the four categories of off-tonic returns. As a result, this movement can serve as a primer for the techniques of returning to a main theme which begins with a
BEETHOVEN'S PIANO CONCERTO OP. 58 Table 1

Sonata Sonata Sonata Sonata Sonata Sonata Sonata Sonata for for for for for for for for Piano Piano Piano Piano Piano Piano Piano Piano in in in in in in in in E Major, Op. 7, IV A Major, Op. 26, III G Major, Op. 31 No. 1, III D Minor, Op. 31 No. 2, I E Major, Op. 31 No. 3, I F Major, Op. 78, II E Major, Op. 81a, I A Major, Op. 101
329
Sonata for Violin and Piano in G Major, Op. 30 No. 3, II Sonata for Violin and Piano in A Minor, Op. 47, I Sonata for Violin and Piano in G Major, Op. 96, III Sonata for Cello and Piano in G Minor, Op. 5, No.2, II Trio for Strings in E Major, Op. 3, VI Trio for Strings in G Major, Op. 9 No. 1, III Trio for Strings in C Minor, Op. 9 No. 3, IV Trio for Piano and Strings in E Major, Op. 1 No. 1, III Quartet Quartet Quartet Quartet Quartet Quartet for for for for for for Strings Strings Strings Strings Strings Strings in in in in in in D Major, Op. 18 No. 3, I E Minor, Op. 59 No. 2, IV C Major, Op. 59 No. 3, I F Minor, Op. 95, III E Major, Op. 127, I B Major, Op. 130, VI
Symphony No. 2 in D Major, Op. 36, IV Symphony No. 7 in A Major, Op. 92, IV Symphony No. 9 in D Minor, Op. 125, I Concerto for Piano and Orchestra in C Minor, Op. 37, III Concerto for Piano and Orchestra in G Major, Op. 58, III
non-tonic chord; it also demonstrates some of the powerfully expressive potentialities of these various devices. The finale of this concerto begins on a IV chord. This non-tonic beginning, along with its jerky rhythm and melodic line, contributes to the impish quality of the movement's main theme (Ex. 15a). The playfulness here is further enhanced by its relationship with the enigmatic theme of the previous movement (Ex. 15b). The opening themes of these movements relate strongly to one another through orchestration, rhythmic gestures, melodic outlines (especially at their cadences), and their emphasis on the notes E and C.29 The effect of this parallelism is actually quite comedic; it brings to mind Jean Paul's notion of humour as ìnverse sublimity', as the profoundly sublime theme of the second movement is contorted by the mischievous theme of the finale.30
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Ex. 15 Beethoven, Concerto for Piano and Orchestra No. 4 in G major, Op. 58: excerpts showing inter-movement relationship (a) Main theme of finale, bars 110
Rondo (Vivace)
1 strings
starts on IV chord!
(b) Main theme of second movement, bars 14

Andante con moto
1 strings
By the end of the finale's first phrase, there is a cadence in G, which of course is the principal key of the movement. But does the unusual cadence in bars 910, with its sudden downward-swooping melodic motion, convincingly establish the tonic key? To be sure, the opening harmonies do outline a IVii V7I progression in G. Yet could these chords not also function as IviV7/V V in the key of C?31 Leon Plantinga has argued for such a reading, noting that the A section of this rondo begins in the manner of a rounded binary form in C major.32 Following Plantinga's suggestion, Ex. 16a provides an analytic sketch showing a hypothetical continuation of the opening A section after this fashion. A rounded binary framework would of course be normal for a rondo refrain, and it would be common for such a format to include a modulation to the key of V at the end of its a section, and a prolongation of V during its b section. (Certainly this is more common than a rounded binary form which starts with a IV chord and prolongs the tonic at the beginning of its b section.) As Ex. 16a suggests, had the D chord of bars 28ff. resolved to a G7 and the ensuing a section concluded with a perfect cadence in C, it would have been possible for the entire opening A section to express the key of C major, with the motions to G serving as tonicisations of the dominant. The possibility of the key of C is completely dislodged only when the D chord of bars 28ff. is followed directly by a return of the main theme (Exs. 16b
331
Ex. 16 Beethoven, Concerto for Piano and Orchestra No. 4 in G Major, Op. 58, III (a) Voice-leading sketch of A section, with hypothetical continuation
1 11 21 28
a'
(modulation to G, as key of V)
(hypothetical return to C)
(b) Voice-leading sketch of actual A section, bars 141 (CATEGORY I)

1 11 21 28 32
a'
G: (or C: / ?) harmonic bump
(c) Detailed voice-leading sketch of section, bars 141

1 11 21 24 32 41
a'
thematic return
G: ; (C: /
( ) )
( harmonic bump
and c). This formal articulation highlights the D chord and thereby announces its status as a deep-level V. In other words, because it appears at the end of a large section, this D chord is recognised as functioning at a deep level, as does the first-inversion G triad to which it ultimately resolves.33 Note that the point at which the deep-level tonality is clarified is also the point of a big harmonic bump, as a V chord moves directly to a IV chord in a CATEGORY I off-tonic return. This harmonic bump is further underlined by a corresponding shift in
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dynamics and texture. Thus, in keeping with the overall playfulness of the opening section, the tonal clarity here is finally confirmed not through heroic struggle, but rather a raucously sudden harmonic shift. Since the first movement of this concerto is in the key of G, the fact that its finale should likewise end up in G is a foregone conclusion. But to contend that the G chord of bar 10 is clearly a background tonic would be tantamount to claiming that the culprit in a murder mystery is obvious from its opening pages. As Donald Francis Tovey put it, `half the musical miseducation in the world comes from people who know that the Ninth Symphony begins on the dominant of D minor'.34 At the very least, the tonality at the outset of this concerto's finale is ambiguous, and the disjointedness that results from this ambiguity is a central feature of the movement. The harmonic bump from the CATEGORY I off-tonic return within the A section contrasts with the smooth approaches to the first chord of the rondo's AH and AHH sections. These sections are preceded not by cadences on V, but rather by cadences on a V7 of IV, in the manner of a CATEGORY II off-tonic return. Ex. 17a shows the approach to the AH section. This passage with its powerfully extended prolongation of a dominant chord has all the earmarks of a typical retransition, except that it points to the `wrong' tonic. Like the passage from Op. 26 discussed earlier (see Ex. 9), this creates a comedic situation: in spite of the big hubbub raised by the retransition, this passage leads ultimately not to the background tonality of G major, but merely to a local key (Ex. 17b). Note the striking difference between these thematic returns from the finale and the one from the first movement of the concerto noted in Ex. 2d above. In the first movement, the recapitulation enters firmly and triumphantly, as a V sturdily points both to the background key and to the first chord of the theme. In the finale, on the other hand, the V chords that precede the thematic returns produce either a harmonic bump by pointing to the background key but not to the first chord of the theme, or else a sense of tonal disorientation by pointing to the first chord of the theme but not to the background key. The unusual reappearances of the rondo's frenetic main theme give rise to a rowdiness that is counterbalanced both by the movement's lyrical second theme and by the poignant developmental sections.35 These developmental sections relate strongly to one another: both of them move through flat keys towards a V7 of G, a motion that in each case is suddenly disrupted by the appearance of an F diminished-seventh chord (Exs 18a and b). The second of these F chords forms the dramatic climax of the movement (Ex. 18c). Significantly, upon the arrival of this climactic diminished-seventh chord, there is a reminiscence of the main theme close to its original pitch level, although any sense of a true return is undercut by the pronouncement of F in the strings (compare this passage with the motivic reminiscences seen in Exs. 4d-e and 5c
BEETHOVEN'S PIANO CONCERTO OP. 58 Ex. 17a Approach to AHH section, bars 132170 (CATEGORY II)
retransition: harmonies lead not to main tonic, but to first chord of main theme 132 (piano part)
3
333
of
(not
of )
138
145
cresc.
153
dim.
A' section (thematic return) 160 (tutti)
(=C:
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Ex. 17b Voice-leading sketch of bars 1201 (cf. Ex. 9d)

1 28 41 57 80 110 132 161 188 201
trans.
retrans.
A'
(points to perfect cadence in C, which never arrives)
above).36 The tension created at this point shortly evaporates, however, for the main theme soon returns in its familiar slapdash manner (bars 418ff.), as if to laugh at the momentary submergence into darker realms. In the coda, the opening theme reappears in the manner of a CATEGORY IV off-tonic return, with the theme recomposed so as to start on the tonic (Ex. 19). The boisterousness of the theme's opening is thereby harnessed at this point, since unlike on its previous appearances the theme begins in a `normal' harmonic fashion. The resulting sense of calmness and restraint, which is underlined by the use of legato, soon gives way to a new theme (bars 548ff.) whose naivete appears to signal that the movement is winding down. The calmness is short lived, however, as the na ve theme is suddenly interrupted in mid-phrase by a return of the main theme in its original, raucous guise (Ex. 20). This final return of the main theme is a combination of CATEGORY II and
Ex. 18 Developmental sections (a) Voice-leading sketch of C section, bars 205209

205 209 217 229 241 245 248 F
7
257
261
265
269
272
! (chromatic bass descent momentarily stops at E before continuing to D)
(F
E )
BEETHOVEN'S PIANO CONCERTO OP. 58 (b) Voice-leading sketch of end of BH section, bars 352445
352 373 389 393 F
7!
335
400
402
403
418
445
A''
(replaces expected D chord)
(points to perfect cadence in C, which never arrives)
(c) Bars 393396: reminiscence of opening motive within F diminished-seventh chord

393 wind and horns
trumpets strings F
7
CATEGORY III types (in the manner seen above in Ex. 14). In other words, the theme is immediately preceded by an applied chord (as in CATEGORY II), but this applied chord along with the opening of the returning theme appears within the middle of a larger progression (as in CATEGORY III).
Ex. 19 Bars 522533 (strings and winds only): theme recomposed so as to begin on I chord (CATEGORY IV)
thematic return 522
IV chord arrives mid-phrase!
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L. POUNDIE BURSTEIN
Ex. 20 Harmonic reduction of conclusion, Op. 58, III, bars 548579: thematic return appears within a larger progression (CATEGORY II and III, cf. Ex. 14)
548 555 566 570 return of theme (in mid-phrase) Presto 10 bars 3 bars 3 bars 577
) (= / )
Comic Narrative in the Op. 58 Finale The frequently observed humour of this movement derives not simply from the playful main theme itself, but also from the manner in which the theme is framed within the movement as a whole, and in relation to which the off-tonic returns play a vital role. In all, the movement seems to follow a type of comic narrative structure, one which may be contrasted with the heroic romance narrative structures that are more prototypically associated with middle-period Beethoven. As Byron Almen notes in a recent discussion of musical narrative archetypes, a romance narrative involves a `victory of order over transgression', while a comedy conversely entails a `victory of transgression over order'.37 In a typical heroic romance narrative, a problem is presented, confronted and then solved and overcome. In comedy, on the other hand, problems are presented, confronted and then simply accepted. In a standard comic narrative, characters do not transcend their problems and limitations, but rather learn to live with them. Friedrich Schiller succinctly summed this up when he noted that comedy's aim is `to see everywhere occurrence rather than fate or hazard; and ultimately rather to smile at absurdities than rage or shed tears at the sight of wickedness'.38 Major-key rondos are particularly suited for the comedic expression, since they often involve a jovial-sounding theme which remains basically unchanged in the face of its increasingly turbulent surroundings. This is certainly the case in the finale of Beethoven's Op. 58, in which the problems involved in returning to the main theme continue throughout the movement, as the rondo's off-tonic, off-kilter theme resists attempts by the surrounding tonal framework to `civilise' it. Throughout most of the movement, the retransitional standing on V passages do not yield the stability which one normally expects at the return of a rondo refrain. Rather, they create either harmonic bumps (as in the CATEGORY I off-tonic returns within the A section), or large-scale tonal disorientation (as in the CATEGORY II off-tonic returns of the AH and AHH sections). Things do momentarily take a more sedate turn towards the end of
337
the concerto, where the main theme is transformed so as to begin on the tonic (in bars 522ff., CATEGORY IV). The movement as a whole would have yielded a more earnest impression had it concluded with this version of the theme. But in the end, it is the rowdy version that triumphs, as the theme forcefully reappears one final time in its original, impish format (in bars 570ff., CATEGORIES II and III). Unlike its first appearance, the final statement of the theme is tonally secure, for it is completely and clearly embraced by the key of G, and within a prolongation of a G major triad. Even so, like most CATEGORY III types of offtonic returns, this final appearance of the theme presents a paradox, for its return is clearly marked as a beginning, even as the listener is made keenly aware that this beginning lies in the middle of something. As a result, the theme maintains its offbeat, off-tonic character even while it is placed within a larger tonic prolongation on its final presentation: ultimately, it is not the playful theme that is reconciled to the stability of the tonic, but rather the tonic itself that is reconciled to the intractably playful nature of the theme.39 Related Compositions by Beethoven Although many of Beethoven's other works involving off-tonic returns exhibit strategies similar to those seen in the rondo finale of Op. 58, two deserve special mention. One of these is the rondo finale from the Quartet for Strings in E Minor, Op. 59 No. 2, which Beethoven completed shortly after Op. 58. Of all of Beethoven's works, it is in the finales of Op. 58 and Op. 59 No. 2 where the tonic key is most strongly obscured at the beginning of the movement. As noted above, the finale of Op. 58 sounds as though it might begin in the key of C major, which is ultimately understood as the local key of IV within G major. Similarly, the finale of Op. 59 No. 2 also seems to begin in the key of C major, which is ultimately understood to function as the local key of VI within E minor. Since each of the off-tonic returns in this quartet movement is of the CATEGORY II type, with a V7 of VI preceding the theme each time it is recalled, the sense of tonal ambiguity extends far into the composition. As Arnold Schoenberg notes, only gradually does it become certain that this is not a C major movement which modulates repeatedly to E minor, but rather an E minor movement that starts on and repeatedly modulates to C:
[T]he last movement of Beethoven's quartet, Op. 59, No. 2, is in E minor. We know this principally because it ends in E minor. But it begins in C major with a theme which uses every means to establish this key. After a few measures it turns to the key which Beethoven decides to make the main tonality of the piece. I beg you to give due consideration to this case: by every ingenious means C major is at first stressed in the harmony and in the melody; and the subsequent turn to E minor can be taken even at that point as the third degree of C major.40
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An earlier composition of Beethoven's bears even stroner similarities to the finale of Op. 58: namely, the finale to his Sonata for Cello and Piano in G minor, Op. 5 No. 2. This movement, too, is a buoyant rondo in G major whose main theme begins on a subdominant triad. Comparable to what happens in Op. 58, the opening theme of the finale of Op. 5 No. 2 (Ex. 21a) forms a comic variant of the theme from the previous movement (Ex. 21b). Furthermore, the finale from Op. 5 No. 2 also exhibits great variety in its treatment of off-tonic returns.
Ex. 21 Sonata for Cello and Piano in G minor, Op. 5 No. 2: excerpts showing inter-movement relationship (cf. Ex. 15) (a) Excerpt from the beginning of the finale, bars 18
Rondo (Allegro)
1 C D E D B
starts on IV chord! 5
(b) Excerpt from the end of Allegro molto piu tosto Presto, bars 538546
(Allegro molto pi tosto presto) 538 C D E D
B 542
339
Ex. 22a provides an analytical sketch of the A section of this rondo finale. Notice that the opening of the theme returns twice within this section: a small return in bar 5 (as part of the consequent phrase of the first period) and a larger return in bar 13 at the outset of the aH section. In each case, the return of the theme is directly preceded by a V of the main key, resulting in the harmonically bumpy succession of a D chord to a C chord (CATEGORY I).41 As the composition continues, various thematic returns (see Exs. 14 and 22b) and mid-phrase motivic allusions (Ex. 22c) recall the passage which gave rise to this harmonic bump, albeit within smoother contexts. The last statement of the theme is particularly striking. Prior to its entrance, a new, na ve theme is introduced (in bars 287ff.), as though in preparation for the
Ex. 22 Sonata for Cello and Piano in G minor, Op. 5 No. 2, II (a) Voice-leading sketch of A section, bars 116: return of the opening follows an imperfect cadence (CATEGORY I)
1 5 consequent (return of opening) thematic return 9 13 16
a
antecedent
a'
harmonic bump
harmonic bump
(b) Voice-leading sketch of approach to AHH section, bars 66174: thematic return appears in the middle of a larger progression (CATEGORY III)
66 100 152 160 163 167 theme returns in earnest over V chord 174
A''
theme expanded, diverts to A
(thematic return grows out of C section, large IIVVI progression spans the sections)
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L. POUNDIE BURSTEIN
(c) Excerpt from climax of B section, bars 5255: D-C motion embraced within a single phrase (cf. Exx. 4f and 5c)
(Rondo: Allegro) 52
54
(d) Coda, bars 297304: theme recomposed so as to begin in mid-progression over I chord (CATEGORY III and IV)
297
301
341
anticipated conclusion of the work, and in a pattern similar to that which unfolds in bars 548ff. of Op. 58. Also much as in Op. 58, the resulting sense of calm is suddenly interrupted by a last, frantic outburst of the main theme (Ex. 22d). In this final appearance, the harmonic setting of the theme is transformed so that it enters in the middle of a progression which begins on the tonic, in a mixture of a CATEGORY III and CATEGORY IV off-tonic return. The net effect of this concluding reiteration is somewhat like that of the paradoxical final thematic statement in Op. 58, where the opening of the theme asserts its mischievous off-tonic nature in spite of its firm tonic underpinnings. The strategies for returning to a harmonically discrepant main theme in the finales of Op. 5 No. 2 and Op. 58 are so similar that it is not inconceivable that the sonata movement may have served as a model for the concerto finale. If nothing else, the correspondence suggests that Beethoven felt it worthwhile to explore more than once the opportunities offered by opening a G major rondo with a C major triad. This in turn underlines the importance of the off-tonic return as an important element in the army of compositional techniques employed by Beethoven throughout his career. Of course, Beethoven was not the only composer to take advantage of the expressive opportunities afforded by off-tonic returns. It quite possible that Haydn influenced him in this regard, and it is also not unlikely that Beethoven's use of off-tonic returns subsequently exerted a pervasive influence on his successors, most notably Schumann, Chopin and Brahms. But since Beethoven so strongly highlighted the thematic return as a climactic point in many of his works, his use of off-tonic returns has a special impact. The finale of his Op. 58, as well as many of the other works cited in this article, strongly suggest that the composer relished the various motivic, harmonic and narrative possibilities afforded by off-tonic returns: his attempts to recommence with a theme that has an harmonically aberrant opening not only provided Beethoven with occasions for virtuoso compositional manoeuvres, but also allowed him to examine the very essence of what constitutes a beginning and what constitutes a return.42
NOTES
1. 2. 3. Homer, The Odyssey, Book XVII; English translation taken from Fitzgerald 1961, p. 321. See Ratz 1973, p. 25; and Caplin 2000, pp. 757 and 1445. See also Newman 1952, pp. 28990 and Bakos 1981. As Michael Spitzer notes, à composer can achieve a converse kind of markedness by ending a development section with unorthodox formal closure' (Spitzer 1996, p. 24).
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4.
L. POUNDIE BURSTEIN
Caplin 2004, p. 70. It is evident from the context of his article that Caplin applies this notion not only to imperfect cadences in a general sense, but also to those that precede the return of a theme. See also Lerdahl and Jackendoff 1983, pp. 18891 (especially Ex. 8.16) and 243ff. (especially Ex. 9.35). Schenker's views on this subject, which varied over the course of his career, reached their final form in his last book, Free Composition (Schenker 1979). In 89 of this book, Schenker explicitly abjures the idea of an imperfect cadence or `semicadence' (Halbschlu), preferring to label the V chord in such a situation as a `divider' or `dividing dominant' (Teiler or Teildominant). Typically, the divider functions as part of an interruption structure, which finds its classic depiction in Fig. 21b of Free Composition (see also 8791, Figs. 24 and 3334, and Ernst Oster's important footnotes to 90). Schenker also notes that the divider can appear `where no such division is involved' (279), in which case the V relates only to a previous tonic and does not point to a later resolution. However, such a structure, which Schenker refers to as an àpplied divider', generally does not involve a thematic return. Furthermore, Schenker makes it clear that in each case the voice leading of the divider (or applied divider) is closed off from what immediately follows, even when the next chord is the tonic. Incidentally, the term `closed off' comes from Schenker's term abgeriegelt, which may be translated more literally as `shut off with a bolt' or `barricaded off'. From his analytic sketches, it is evident that Schenker regarded closed-off chords as being tonally unconnected to one another, as though separated by a bolted door. (Of course, Schenker speaks primarily in terms of tonal structures and not of chords `progressing' or `resolving' to one another. Consequently, Schenker would inevitably tend to label any harmonies that belong to separate transferred Ursatzformen as closed off from one another, regardless of how strong the resolution between them might seem. Nonetheless, this does not prevent us from speculating on the connections between such harmonies.) Cadwallader and Gagne 1998, p. 379. Ex. 2a is very similar to the analysis offered in Cadwallader and Gagne 1998, p. 9. The authors do not comment on the interruption in this example, which is presented in an introductory chapter. See the discussion of connective linear progressions on p. 310 below. See Everett 1990, pp. 1678 and Schmalfeldt 1991, pp. 2612. See Schenker 1979, 88 and 92, and Figs. 22 and 23. (Incidentally, note Schenker's curious placement of the caesura symbol in Fig. 23; compare this with Ex. 2a above.) The term àuxiliary cadence' (Hilfskadenz) is a term invented by Schenker to refer to a discrete progression which begins with a non-tonic Stufe; see Schenker 1979, 2445. I discuss this notion of Schenker's at length in Burstein 2005. In addition to other non-tonic Stufen, an auxiliary cadence can begin with a I6 chord, although returning to a theme which is framed with a I6VI or I6IVVI auxiliary cadence obviously does not create the same problems entailed in returning to a theme in which the auxiliary cadence begins with a pre-dominant chord such as a II or IV.
5.
6. 7.
8. 9. 10.
11.

12.
343
The situations shown in Ex. 3 all involve hypothetical themes which begin on the subdominant. Similar situations can readily arise with themes that begin with non-tonic chords other than the subdominant. On occasion, situations similar to CATEGORY III returns can arise even in pieces whose main theme begins with a tonic chord. In other words, a theme which on its first appearance begins with a structural tonic chord might be reinterpreted upon its return as appearing within a larger harmonic progression. An abstract representation of this form of reorientation might use the same harmonies seen in Ex. 1 above, albeit with the two V chords tonally connected and the intervening tonic chord which appears at the outset of the returning theme functioning on a lower level. Examples of such reinterpreted tonic openings may be found in Beethoven's Trio for Strings in C minor, Op. 9 No. 3, I; the Sonata for Piano in F minor, Op. 57, I; and Symphony No. 6 in F major, Op. 68, I. In the latter example, for instance, the main theme's opening I chord is sandwiched in between a IV and a V when it reappears at the outset of the recapitulation, hence this opening tonic is thereby reinterpreted as a passing chord; see Schenker 1979, Fig. 119, 8; and Rothgeb 1990, pp. 1114. Although rare, it is also is possible in CATEGORY III situations for an interruption to follow shortly after the return of the main theme; see, for instance, Ex. 13. Since the movement begins with two applied dominants, its central key is not apparent until bar 2 and is not confirmed until the perfect cadence in bar 6; only retrospectively are the initial harmonies understood to lie within the key of A major. That this is the second movement of a larger work does not necessarily eradicate the opening tonal ambiguity, since it surely would have been possible for an E major work to have a second movement which is in the key of B major, the key that is tonicised in bar 1. A harmonic bump is also created at the repeat of the exposition, since the V chord which concludes this section leads directly to the first, non-tonic chord of the returning main theme. A `bifocal close' (a term coined in Winter 1989) refers to a situation in which the transition section concludes on the V chord of the original key in both the exposition and the recapitulation. This structure is `bifocal' because the same cadence can occur without transposition in both places. In this sense, a sonata-form movement with a bifocal close is unlike the more typical movement in which the transition section cadences on V of the new key during the exposition and thus must be recomposed when it recurs during the recapitulation. In about one third of his sonata-form movements in which there is a bifocal close including the very first movement of K. 160 Mozart actually does repeat the first theme and transition section verbatim during the recapitulation. Such a narrative framework in which a problem encountered near the beginning of a work is eventually conquered or solved of course forms the basis of many compositions, at least in broad terms. This narrative structure may be contrasted with one based on a comedic archetype, in which a disruptive feature is not `conquered', but rather remains ascendant; see discussions in the text below regarding Op. 26, III and the finale of Op. 58.
13.
14. 15.
16.
17.
18.
344
19.
L. POUNDIE BURSTEIN
There is also a harmonic bump at the beginning of the main theme's consequent phrase of bars 9ff., which forms a smaller thematic return of sorts; see Ex. 5c. The harmonic bumps here are only slightly mitigated by the chromatic passing note B. Though this theme starts literally with scale-degree 1, the opening gesture of a fourth-progression from G to C clearly suggests that ii7 and not I serves as the opening harmony here; see n. 28. Regarding the status of the opening chord of Op. 26, see n. 28. See also the discussion in Oster 1961, pp. 5960. It would not do to argue that the V7 of F here is a `back-relating' dominant or divider, since there is no F chord that precedes it, and the added seventh and ninth prevent it from being regarded as a III divider. In any case, it is surely no coincidence that the main theme begins here with an F chord while the middle section ends with a lengthy V of F. Immanuel Kant, Kritik der Urteilskraft (1793), Book II, 54; English translation taken from Bernard 1951, p. 177. See Laufer 1991, pp. 869. The tendency of a theme which begins with a non-tonic chord to produce a conflict between inner and outer form is discussed at length in McKee 1996, pp. 5176. Some scholars argue against allowing a dominant seventh to mark an imperfect cadence; see, for instance, Caplin 2000, p. 70. This stance is analogous to Schenker's apparent requirement that a dominant divider be represented by a root position triad. Admittedly, V7 chords tend to lead so strongly to the following tonic that is difficult for them to establish the end of a phrase. Yet as I have noted in reference to Ex. 1c above, such contrapuntal tendencies are not abnormal for the V of an imperfect cadence. For this reason, I would argue that the appearance of a dominant chord with an added seventh or even in inversion does not automatically disallow it from articulating an imperfect cadence or dominant divider, especially in cases where there is a firm demarcation in the texture. For instance, I do not include the first movement of Op. 11, whose main theme begins on an unharmonised scale-degree 5, since I feel that its context suggests an implied opening tonic chord. Admittedly, however, it is conceivable that one could argue that Op. 11 does begin with an implied V chord somewhat similar to Op. 18 No. 3, I, which also begins with an unharmonised scale-degree 5. Likewise, I include on this list the third movement of Op. 26, even though it, too, literally begins with scale-degree 1. As in the case of Op. 9 No. 1, III (Ex. 7), not only does the first note of Op. 26, III appear unharmonised and as an anacrusis, but it is also followed immediately by a tonal departure, thereby negating the sense of an implied tonic chord. My reading of the opening of Op. 26, III, follows that of Schenker 1979, Fig. 110, 3; for a different interpretation of this passage, see Morgan 1998, p. 30. For a fuller discussion of progressions that begin literally, but not structurally, with the tonic, see Burstein 2005, pp. 1704.
20.
21. 22. 23.
24. 25. 26.
27.
28.

29. 30. 31. 32. 33.
345
This inter-movement relationship has not gone unnoticed: see, for instance, Fiske 1970, pp. 367; Kerman 1994, p. 426; and Epstein 1995, pp. 202ff. Jean Paul [Richter], Vorschule der Aesthetik (1804); English translation taken from Hale 1973, p. 91. For instance, compare the progression at the opening of this finale with the progression seen in bars 18 of Haydn's Symphony No. 85, II. Plantinga 1999, p. 2058; see also Lockwood 2003, pp. 2445. A strong root-position VI cadence in G is delayed until well into the movement. The first firmly stated root-position tonic comes in the BH section in bars 300ff., and the first firmly stated perfect cadence to a root-position I chord with the tonic in the melody does not appear until the end of the recapitulation (the AHH section) in bar 445. The avoidance of a perfect cadence in the home key adds to the offkilter effect of this movement. Tovey 1935, p. 68. The first of these developmental sections is the development section proper (bars 205ff., with the core of the development section arriving in bar 217). The second developmental section (bars 352ff.) is a `purple patch' that arises in the transition from the BH section to the AHH of the recapitulation. The trumpets which are tuned not in the tonic key of G, but rather in C do not appear until the third movement of this concerto. Until bar 309 of the last movement they have played only at the appearances of the main theme (which itself sounds much like a trumpet fanfare) and the beginnings of the transitional sections that follow. In the reiterations of the F-diminished seventh chord of bars 393ff., the trumpets announce the note C in octaves, much as they did in previous statements of the theme (and much as they will do in the ensuing thematic return of bars 428ff.). This orchestrational nuance greatly strengthens the relationship of the fanfare over the F-diminished seventh chord with that of the opening gesture of the main theme. (See also the discussion in Katzenberger 1978, pp. 834.) Incidentally, the emphasis on this F chord at the climactic points of the developmental sections interacts with the unusual modulatory section which appears towards the beginning of the coda in bars 461ff. In this passage, the secondary subject appears first in the key of F, then in the key of C, and finally in the key of G, thereby alluding to the two main key areas of the movement as well as to the tonally antipodal point of F. Almen 2003, p. 18. See also Liszka, 1989, pp. 12934. Friedrich Schiller, Ùber naive und sentimentalische Dichtung' (179596); English translation taken from Hale 1973, p. xxxii. The same may be said of the very last bars of the movement, where for the first time in the piece the opening fanfare motive is expressed as a tonic G. Schoenberg 1973, p. 275. (Superfluous hyphens within key area designations such as in È-minor' have been removed from this quotation.) That the pickup to the IV chord of the main theme appears in first inversion in these returns (allowing for a voice exchange with the melody) does not seriously
34. 35.
36.
37. 38. 39. 40. 41.
346
L. POUNDIE BURSTEIN
mitigate the harmonic bump; note that the bumpiness is underlined by the sudden textural shift which coincides with the thematic returns. 42. I would like to extend my deep thanks to Lynne Rogers for her many helpful suggestions in the course of preparing this article.
REFERENCES
Almen, Byron, 2003: `Narrative Archetypes: A Critique, Theory, and Method of Narrative Analysis', Journal of Music Theory, 47/i, pp. 139. Bakos, Daniel, 1981: `Recapitulation Preparation in Selected Sonata Form Movements by Beethoven' (PhD diss., Ohio State University). Bernard, J. H., 1951 [1892]: Critique of Judgment (New York: Hafner); translation of Immanuel Kant, Kritik der Urteilskraft (Berlin, 1790). Burstein, L. Poundie, 2005: Ùnraveling Schenker's Concept of the Auxiliary Cadence', Music Theory Spectrum, 27/ii, pp. 15985. Cadwallader, Allen and Gagne, David, 1998: Analysis of Tonal Music: A Schenkerian Approach (Oxford: Oxford University Press). Caplin, William, 2000: Classical Form (Oxford: Oxford University Press). _______, 2004: `The Classical Cadence: Conceptions and Misconceptions', Journal of the American Musicological Society, 57/i, pp. 51118. Epstein, David, 1995: Shaping Time: Music, the Brain, and Performance (New York: Schirmer). Everett, Walter, 1990: `Grief in Winterreise: A Schenkerian Perspective', Music Analysis, 9/ii, pp. 15776. Fiske, Roger, 1970: Beethoven Concertos and Overtures (Seattle, WA: University of Washington Press). Fitzgerald, Robert, 1961: Homer's Odyssey (Garden City, NY: Doubleday). Hale, Margaret, 1973: Horn of Oberon: Jean Paul Richter's School for Aesthetics (Detroit, MI: Wayne State University Press). Katzenberger, Gunther, 1978: `Zur Integration von ``Nebendingen'' bei Beethoven', in Richard Jakoby and Gunther Katzenberger (eds.), Heinrich Sievers zum 70. Geburtstag (Tutzing: Schneider), pp. 8192. Kerman, Joseph, 1994: `4. Klavierkonzert G-Dur op. 58', trans. Gudrun Budde, in Albrecht Riethmuller, Carl Dahlhaus and Alexander L. Ringer (eds.), Beethoven: Interpretationen seiner Werke 1 (Laaber: Laaber Verlag), pp. 41529. Laufer, Edward, 1991: `Voice-Leading Procedures in Development Sections', Studies in Music from the University of Western Ontario, 13, pp. 69120. Lerdahl, Fred and Jackendoff, Ray, 1983: A Generative Theory of Tonal Music (Cambridge, MA: MIT Press). Liszka, James, 1989: The Semiotic of Myth: A Critical Study of the Symbol (Bloomington, IN: Indiana University Press).
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Lockwood, Lewis, 2003: Beethoven: The Music and the Life (New York: Norton). McKee, Eric, 1996: Àuxiliary Progressions as a Source of Conflict between Tonal Structure and Phrase Structure', Music Theory Spectrum, 18/i, pp. 5176. Morgan, Robert, 1998: `Symmetrical Form and Common-Practice Tonality', Music Theory Spectrum, 20/i, pp. 147. Newman, William, 1952: `The Climax of Music', Music Review 13/iv, pp. 28393. Oster, Ernst, 1961: `Register and the Large-Scale Connection', Journal of Music Theory, 5/i, pp. 5960. Plantinga, Leon, 1999: Beethoven's Concertos: History, Style, and Performance (New York: Norton). Ratz, Erwin, 1973: Einfuhrung in die musikalische Formenlehre (Vienna: Universal). Rothgeb, John, 1990: `Schenkerian Theory and Manuscript Studies: Modes of Interaction', in Hedi Siegel (ed.), Schenker Studies (Cambridge: Cambridge University Press), pp. 414. Schenker, Heinrich, 1979: Free Composition, trans. and ed. Ernst Oster (New York: Longman). Schmalfeldt, Janet, 1991: `Towards a Reconciliation of Schenkerian Concepts with Traditional and Recent Theories of Form', Music Analysis, 10/iii, pp. 23389. Schoenberg, Arnold: Style and Idea: Selected Writings of Arnold Schoenberg, ed. Leonard Stein (New York: St Martin's Press, 1973). Spitzer, Michael, 1996: `The Retransition as Sign: Listener-Orientated Approaches to Tonal Closure in Haydn's Sonata-Form Movements', Journal of the Royal Music Association, 121/i, pp. 1145. Tovey, Donald Francis, 1935: Essays in Musical Analysis, I (London: Oxford University Press). Winter, Robert, 1989: `The Bifocal Close and the Evolution of the Viennese Classical Style', Journal of the American Musicological Society, 42/ii, pp. 275337.
ABSTRACT Various compositional problems and opportunities may accompany the return of a main theme that has a non-tonic opening. There are four overlapping strategies for approaching such òff-tonic returns': (1) the thematic return may be preceded by V of the main key; (2) the returning theme may be preceded by an applied chord which points to the theme's opening, non-tonic harmony; (3) the theme may return in the middle of a larger progression; or (4) the theme may be recomposed so as to start on the tonic when it returns. In many compositions, these various strategies have deep harmonic, motivic, or narrative implications. Beethoven was particularly adept in handling off-tonic returns, as may be witnessed in works such as his Concerto for Piano and Orchestra in G Major, Op. 58.

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L.

V resolves to I at beginning of next harmonic progression

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Music Analysis, 24/iii (2005)

BEETHOVEN'S PIANO CONCERTO OP. 58

Music Analysis, 24/iii (2005)

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interruption, closed off?

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BEETHOVEN'S PIANO CONCERTO OP. 58

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BEETHOVEN'S PIANO CONCERTO OP. 58

divider 8 recapitulation 253

piano flourishes continue and intensify)

Thematic return follows cadence

Thematic return follows applied chord

7 applied chord points to first chord of theme

Thematic return appears in the middle of larger progression

theme returns in mid-progression

Theme recomposed so as to begin on I

theme recomposed so as to begin on I

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Music Analysis, 24/iii (2005)

BEETHOVEN'S PIANO CONCERTO OP. 58

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BEETHOVEN'S PIANO CONCERTO OP. 58

cf. chords of bars 3032 (Ex. 4b)

harmonies similar to opening reappear in the middle of a progression

harmonies similar to opening reappear in the middle of a progression!

Music Analysis, 24/iii (2005)

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(f) Voice-leading sketches of entire movement

31 recapitulation first theme

return of opening follows harmonic bump

opening harmonies appear in mid-progression, with no harmonic bump

recapitulation second theme

opening harmonies appear in mid-progression with no harmonic bump

Music Analysis, 24/iii (2005)

BEETHOVEN'S PIANO CONCERTO OP. 58

(b) Return of A section, bars 95108 (CATEGORY I off-tonic thematic return)

(c) Voice-leading sketch of the entire Menuetto

opening gesture appears in mid-phrase, without harmonic bump

harmonic bump harmonic bump

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BEETHOVEN'S PIANO CONCERTO OP. 58

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BEETHOVEN'S PIANO CONCERTO OP. 58

points to perfect cadence in F minor

(c) Proposed alternative analysis (cf. Ex. 1c)

points to perfect cadence in F minor

of resolution to F minor on foreground

points to perfect cadence in F minor (which never arrives)

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BEETHOVEN'S PIANO CONCERTO OP. 58

(b) V chords are closed off from one another (CATEGORY I)