Analyzing Tension and Drama in Beethovens First-Movement Sonata Forms

by

Mark C. Richards

A thesis submitted in conformity with the requirements

for the degree of Doctor of Philosophy

Graduate Department of Music

University of Toronto

Copyright by Mark C. Richards (2011)

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Abstract

Analyzing Tension and Drama in Beethovens First-Movement Sonata Forms

Mark Christopher Richards Doctor of Philosophy (2011)

Graduate Department of Music University of Toronto

Dramatic, in the sense of highly intense, is a quality we often associate with the music

of Beethoven, but no theory has attempted to define drama in any systematic manner. This study

therefore explores the idea by constructing a theory that distinguishes between dramatic and non-

dramatic passages. At the core of the theory is the notion that drama is the result of several types

of tension occurring simultaneously. Dramatic passages have a High tension level, whereas

non-dramatic ones have a Low level. Individual tension types are divided into two categories:

rhetorical and syntactical. Rhetorical tension types include such features as a loud dynamic, a

fast rhythm, and a thick texture, which need no musical context to be expressed. By contrast,

syntactical tension types include such features as chromaticism, metric irregularity, and phrase

expansion, which always require a comparison of events to be expressed. Only tension types

from the same category may combine to form drama.

Because this study examines the relationships between drama and sonata form, the

analysis of form is a key issue that receives a separate chapter and additional thought throughout.

The methodology combines aspects of William E. Caplins theory of formal functions and James

Hepokoski and Warren Darcys Sonata Theory, and is applied to all of Beethovens first-

movement sonata forms, a total of eighty-seven movements. Each formal unit is analyzed as one

of six dramatic archetypes that describe a basic outline of High and/or Low tension levels.

These archetypes constitute the dramatic structure of the piece.

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Percentage frequencies of the archetypes were calculated for each formal unit in the

movements as a whole, and as grouped by the categories of key, mode, genre, and style period.

The greatest distinctions in dramatic structure occur among the three style periods of early,

middle, and late, the early works showing a sectional approach with contrasting tension between

phrases and the middle to late works gradually becoming more continuous, maintaining the same

tension levels between units. A concluding analysis of Beethovens String Trio, op. 3,

demonstrates the theorys ability to enrich the interpretation of an individual work.

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Acknowledgements There are many people I would like to thank for their invaluable assistance in the writing

of this dissertation. From my very first ideas to the final draft, my advisor, Prof. Ryan

McClelland, was a constant source of helpful guidance as he provided thoughtful and intelligent

responses to my work and always knew how to increase the effectiveness of my arguments. In

his written feedback, his wonderful thoroughness and attention to detail, no matter how small,

were an enormous asset, especially in verifying the copious numerical data on which I based so

many of my observations.

I am also indebted to the members of my committee, Profs. Robin Elliott and Mary Ann

Parker, for taking the time to read through the drafts and provide essential and insightful

comments that helped to strengthen the conceptual framework of the theory and enhance the

clarity of the text. Moreover, I am very grateful for their constant enthusiasm and positive

support in researching this little explored area of music theory.

Many thanks to Prof. Mark Sallmen for reading the final draft and taking part in my

doctoral defense. His keen skills as a theorist caught some analytical errors at important points.

A debt of gratitude is also owed to Prof. Scott Burnham, whose extremely gracious

remarks for the defense, both written and verbal, were most encouraging and especially helped

me to understand how I might further pursue the ideas presented in this dissertation.

I would like to thank my parents, whose encouragement in all of my musical endeavours

have inspired me to pursue my love of music to its fullest.

Finally, my beloved wife Natasha deserves enormous thanks for her continual willingness

to help me sort through the many conceptual roadblocks I met while writing this dissertation, and

for her infinite patience and tireless support throughout my entire graduate education.

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Table of Contents Introduction......................................................................................................................... 1

I. What is Drama?: Defining Types of Tension........................................................ 2 II. Background

i) Caplin: Formal Functions.......................................................................... 6 ii) Hepokoski and Darcy: Sonata Theory...................................................... 9 iii) Other Important Sources.......................................................................... 12

III. The Theory of Dramatic Structure...................................................................... 13 IV. Limitations and Aims of the Study..................................................................... 15

Part 1: The Analysis of Dramatic Structure Chapter 1: The Analysis of Musical Form........................................................................ 18

I. Determining the Type of Sonata Form.................................................................. 18 II. Large-Scale Analysis: Breaking the Form Down into Sections and Zones......... 20 III. Small-Scale Analysis: Breaking the Large Sections Down into Themes, Theme-like Units and Other Smaller Structures

i) Thematic Areas of Sonata Form (P and S)................................................ 22 a) Sentence........................................................................................ 25

b) Period............................................................................................ 29 c) Caplins Hybrid Themes............................................................... 30 d) Other Hybrid Themes.................................................................... 33

e) Cadence Types............................................................................... 34 f) Framing Functions: Introductions and Post-Cadential Functions.. 40 g) Other Small-Scale Functions: Retransition, Transition, and Expansion................................................................................ 42

ii) Non-Thematic Areas of Sonata Form a) Theme-Like Units......................................................................... 45 b) Slow Introductions........................................................................ 46 c) Transitions..................................................................................... 47 d) Developments............................................................................... 49 e) Codas............................................................................................ 50

Chapter 2: The Analysis of Musical Tension and Drama............................................... 52

I. Rhetorical and Syntactical Tension........................................................................ 52 i) Rhetorical Tension Types

a) Dynamic Tension........................................................................... 54 b) Rhythmic Tension.......................................................................... 58 c) Melodic Tension............................................................................ 61 d) Harmonic Tension......................................................................... 63 e) Textural Tension........................................................................... 64 f) Thickness Tension......................................................................... 65 g) Timbral Tension............................................................................ 67

ii) Syntactical Tension Types a) Tonal Tension................................................................................ 71 b) Metric Tension............................................................................... 73

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c) Expansional Tension..................................................................... 76 d) Accelerative Tension..................................................................... 79 e) Closural Tension........................................................................... 81 f) Implicational Tension.................................................................... 83

II. How Tension Types Combine to Create Drama................................................... 84 i) Rhetorical Drama....................................................................................... 84 ii) Syntactical Drama..................................................................................... 92 iii) Units of Dramatic Structure..................................................................... 97 Part 2: Dramatic Structures in Beethovens First-Movement Type 3 Sonata Forms Introduction to Chapter 3

I. Archetypes of Dramatic Structure.......................................................................... 109 II. Patterns in Dramatic Structure.............................................................................. 114

Chapter 3: The Exposition.................................................................................................. 118 I. The Primary-Theme Zone (P)................................................................................. 118 II. The Transition Zone (TR)..................................................................................... 133 III. The Secondary-Theme Zone (S).......................................................................... 150 IV. The Closing Section (CL).................................................................................... 173

Chapter 4: The Development.............................................................................................. 190 I. Zone 1 (D1)............................................................................................................. 191 II. Zone 2 (D2)........................................................................................................... 196

III. Zone 3 (D3).......................................................................................................... 201 i) Single-Module D3-Zones........................................................................... 204 ii) Two-Module D3-Zones............................................................................. 209

iii) Three- and Four-Module D3-Zones......................................................... 217 IV. Zone 4 (D4).......................................................................................................... 218

Chapter 5: The Recapitulation........................................................................................... 229

I. The Primary-Theme Zone (P)................................................................................ 235 II. The Transition Zone (TR)..................................................................................... 243 III. The Secondary-Theme Zone (S)......................................................................... 250 IV. The Closing Section (CL)................................................................................... 252

Chapter 6: The Coda and Slow Introduction................................................................... 260

I. The Coda............................................................................................................... 261 i) Beethovens Codas: General Features....................................................... 271

ii) Zones 1 and 2 (Z1 and Z2)........................................................................ 273 iii) Zone 3 (Z3).............................................................................................. 275

II. The Slow Introduction......................................................................................... 282 i) Beethovens Slow Introductions: General Features.................................. 284 ii) Zone 1 (I1)................................................................................................ 285 iii) Zone 2 (I2)............................................................................................... 287 iv) Zone 3 (I3)............................................................................................... 292

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Chapter 7: Epilogue I. Summary and Conclusions..................................................................................... 297

II. Dramatic Structure in Beethovens String Trio in E-Flat Major, op. 3................ 308 Bibliography......................................................................................................................... 326 Appendix A Beethovens Eighty-Seven Published Works with First Movements in

Type 3 Sonata Form, and Their Date of Composition, Style Period, and Key........ 334 Appendix B Dramatic Analysis of All Eighty-Seven of Beethovens First-Movement

Type 3 Sonata Forms................................................................................................ 336

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List of Tables Introduction Table 1 Types of Tension................................................................................................... 14 Chapter 1 Table 1.1 Formal Functions for the Analysis of Themes................................................... 24 Table 1.2 Caplins Hybrid Themes.................................................................................... 33 Table 1.3 Other Hybrid Themes......................................................................................... 34 Chapter 2 Table 2.1 Rhetorical Tension Types and Their Definitions............................................... 54 Table 2.2 Syntactical Tension Types and Their Definitions.............................................. 54 Table 2.3 Timbral Tension Threshold Pitches for Instruments of Beethovens Era.......... 70 Table 2.4 Dramatic Structure in P and TR of Beethovens Fifth Symphony Exposition... 108 Introduction to Chapter 3 Table 3.1 The Six Archetypes of Dramatic Structure........................................................ 113 Chapter 3 Table 3.2 Archetypes in P1.0.............................................................................................. 119 Table 3.3 Archetypes in P1................................................................................................ 121 Table 3.4 High Endings to TR by TR Type........................................................................ 134 Table 3.5 High Endings to Modulating TRs by Style Period............................................ 136 Table 3.6 High Endings to TR Part 1 in Two-Part TRs by Style Period........................... 148 Table 3.7 High Endings to TR Part 2 in Two-Part TRs by Style Period........................... 148 Table 3.8 High Endings to S-Themes in the Early Period................................................. 157 Table 3.9 High Endings to S-Themes in the Middle Period.............................................. 158 Table 3.10 High Endings to S-Themes in the Late Period................................................. 158 Table 3.11 Archetypes in Single-Codetta CLs by Style Period......................................... 175 Table 3.12 Tension Between End of S and Start of Single-Codetta CL by Style Period.. 180 Table 3.13 High Endings to CL by Style Period............................................................... 184 Table 3.14 High Endings to P, TR, S, and CL by Style Period......................................... 184 Table 3.15 Tension Between RT1 and First Module of an Expositional Repeat by Style

Period........................................................................................................................ 187 Table 3.16 Tension Between RT2 and First Module of Development by Style Period..... 187 Table 3.17 Tension Between Last Module of Exposition Proper (S or CL) and First

Module of Development by Style Period.................................................................. 187 Chapter 4 Table 4.1 L Archetype in D1 by Style Period.................................................................... 196 Table 4.2 Low-Low Connections into D1 by Style Period................................................ 196 Table 4.3 Tension Between Single-Module D2-zones and Following Zone by Style

Period....................................................................................................................... 199 Table 4.4 Comparison of Tension Between Modules Within Two-Module D2-Zones

and Between Two-Module D2-Zones and Following Zone by Style Period............ 200

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Table 4.5 High Endings to D3 by Style Period.................................................................. 204 Table 4.6 - Percentages of D3-Zones with One to Four Modules by Style Period............... 204 Table 4.7 Archetypes in Single-Module D3-Zones by Style Period.................................. 205 Table 4.8 Tension Between Single-Module D3-Zones and Surrounding Modules by

Style Period............................................................................................................... 208 Table 4.9 Three- and Four-Module D3-Zones Ending with a High Dramatic Unit by

Style Period............................................................................................................... 218 Table 4.10 Frequencies of D4 and TRSod by Style Period.................................................. 220 Table 4.11 Archetypes in D4.1 by Style Period (Single-Module and First Module of

Two-Module Zones)................................................................................................. 221 Table 4.12 Tension Between End of D3 (or D2) and Beginning of D4 by Style Period.... 221 Table 4.13 High Endings to D4 by Style Period................................................................ 223 Table 4.14 Tension Between End of Development and Beginning of Recapitulation by

Style Period............................................................................................................... 223 Table 4.15 Frequencies of Dramatic Strategies (Types of Drama Present) in High

Units at the End of Development Sections by Style Period..................................... 224 Chapter 5 Table 5.1 Comparison of Archetype Frequencies in P1.0.................................................. 237 Table 5.2 Comparison of Archetype Frequencies in P1.................................................... 237 Table 5.3 Frequency of Dramatic Returns at Recapitulations (Compared to Low Starts

to Exposition) by Style Period.................................................................................. 240 Table 5.4 Comparison of Archetypes at End of P-Zone Between Exposition and

Recapitulation in Works that Omit Post-Cadential-P or P2 in Recapitulation.......... 241 Table 5.5 Comparison of Archetypes at End of P-Zone Between Exposition and

Recapitulation in Works that Retain Post-Cadential-P or P2 in Recapitulation........ 243 Table 5.6 Frequencies of Recapitulated TRs that Begin With Correspondence or

Referential Measures by TR Type............................................................................ 247 Table 5.7 S-Zone Alterations in Beethovens Recapitulations.......................................... 251 Table 5.8 Frequency of Retained Modules and Archetypes in Recapitulations CL........ 253 Table 5.9 Comparison of High Endings to CL in Exposition and Recapitulation by

Style Period............................................................................................................... 253 Table 5.10 Archetypes of CL Module from Exposition that is Omitted in

Recapitulation, and Its Replacement Archetype in Coda......................................... 254 Table 5.11 Frequencies of RT2 in the Recapitulation (of Works with a Coda) by Style

Period........................................................................................................................ 257 Chapter 6 Table 6.1 Frequency of a Coda by Style Period................................................................ 272 Table 6.2 Number of Modules in Coda by Style Period.................................................... 272 Table 6.3 Tension Between Modules into Z1 by Style Period........................................... 274 Table 6.4 Frequency of Z2 by Style Period........................................................................ 274 Table 6.5 Initial Tension Levels in Z3 by Style Period...................................................... 276 Table 6.6 Tension Between End of Recapitulation Proper and Coda Beginning with Z3

by Style Period.......................................................................................................... 276 Table 6.7 Number of Modules in Z3 by Style Period........................................................ 277

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Table 6.8 Tension at End of Z3 and End of Movement by Style Period........................... 277 Table 6.9 Low Movement Ends in the Major and Minor Mode by Style Period.............. 282 Table 6.10 Comparison of High Starts to I1 and to First Module of I by Style Period..... 286 Table 6.11 Archetypes in Last Module of I2..................................................................... 289 Table 6.12 Frequency of I3 by Style Period...................................................................... 293 Table 6.13 Frequency of Slow Introductions that End High by Style Period................... 294 Table 6.14 Tension Between Modules from Slow Introduction into First P Module by

Style Period............................................................................................................... 294

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List of Examples Unless otherwise noted, all references are to first movements and, from chapter 2 onward, to works by Beethoven. Chapter 1 Example 1.1 A Sentence Within a Period Theme; Mozart, Piano Sonata in A Major,

K. 331, mm. 1-8........................................................................................................ 26 Example 1.2 Three Types of Sentence

a) Monofold Sentence; Mozart, Piano Sonata in E-Flat Major, K. 282, mm. 1-4.... 28 b) Trifold Sentence; Haydn, String Quartet in C Major, op. 50, no. 2, mm. 1-9...... 28 c) Quadrifold Sentence; Beethoven, Piano Sonata in E-flat Major, op. 7, mm. 273-280......................................................................................................... 28

Example 1.3 Large-Scale Basic Ideas a) Structured as a Sentence and Supported by a Dominant Prolongation; Beethoven, Piano Sonata in D Minor, op. 31, no. 2, Tempest, mm. 41-49...... 31 b) Larger than Four Measures; Beethoven, Piano Sonata in D Major, op. 28, Pastoral, mm. 1-39............................................................................................ 32

Example 1.4 Cadential Function as Determined by the Start of a Melodic Event (Along with Harmony and Location) a) Cadence Beginning Before (and with Embellishment of) the Initial Tonic Harmony; Mozart, Piano Sonata in B-flat Major, K. 333, mm. 1-10................... 37 b) Cadence Beginning After the Initial Tonic Harmony; Haydn, Piano Sonata in A Major, Hob. XVI: 12, II, mm. 1-10................................................................... 37 c) Cadence Beginning After the Predominant Harmony; Beethoven, Piano Sonata in A Major, op. 2, no. 2, IV, mm. 5-8................................................................... 38

Example 1.5 A Separated PAC; Beethoven, Piano Sonata in C Minor, op. 111, mm. 34-35................................................................................................................. 40

Example 1.6 A Transition Function; Beethoven, Piano Sonata in E-flat Major, op. 7, mm. 181-190............................................................................................................. 43

Example 1.7 Expansion Functions a) Beethoven, Cello Sonata in F Major, op. 5, no. 1, mm. 132-137......................... 44 b) Beethoven, String Trio, op. 3, mm. 63-83............................................................ 45

Chapter 2 Example 2.1 Different Types of Elision a) Left Elision by a Loud Dynamic, Piano Sonata in B-Flat Major, op. 22,

mm. 58-63............................................................................................................. 57 b) Left Elision by a Soft Dynamic, Violin Sonata in A Minor, op. 23, mm. 50-55.. 57 c) Left Elision with a Crescendo Preparing a Loud Dynamic, Cello Sonata in D Major, op. 102, no. 1, mm. 8-14........................................................................ 57 d) Right Elision by a Loud Dynamic, Piano Sonata in E-Flat Major, op. 7, mm. 29-35............................................................................................................. 58

Example 2.2 Bass Pedal Points and Harmonic Acceleration; Piano Sonata in C Minor, op. 13, Pathtique, mm. 11-19.............................................................................. 81

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Example 2.3 Passages Containing One Type of Rhetorical Tension a) Dynamic Tension (Horn Sonata in F Major, op. 17, mm. 1-4); not Dramatic..... 85 b) Rhythmic Tension (Violin Sonata in E-flat Major, op. 12, no. 3, mm. 13-16); not Dramatic......................................................................................................... 85 c) Melodic Tension (Piano Sonata in F Minor, op. 2, no. 1, mm. 1-2); not Dramatic............................................................................................................... 86

Example 2.4 Rhetorical Tension and Drama a) Not Dramatic; Only Rhythmic Tension (Piano Sonata in G Major, op. 31, no. 1, mm. 1-3)..................................................................................................... 86 b) Dramatic; Rhythmic and Dynamic Tension (mm. 194-196)............................... 86

Example 2.5 Dramatic Combinations of Dynamic Tension and Other Rhetorical Types a) Dynamic and Thickness Tension (Piano Sonata in C Minor, op. 10, no. 1, mm. 1-4)............................................................................................................... 87 b) Dynamic and Timbral Tension (Piano Sonata in E-Flat Major, op. 31, no. 3, mm. 39-46)........................................................................................................... 88

Example 2.6 Dramatic Combinations of Dynamic Tension and Multiple Other Rhetorical Types (Piano Sonata in E-flat Major, op. 7, mm. 355-359)................... 88

Example 2.7 Combinations of Rhetorical Tension Types without Dynamic Tension a) Rhythmic and Melodic Tension; not Dramatic (Piano Sonata in A Major, op. 2, no. 2, IV, mm. 1-2)..................................................................................... 89 b) Rhythmic and Timbral Tension; not Dramatic (Piano Sonata in A-flat Major, op. 110, mm. 12-13)............................................................................................. 89

Example 2.8 Rhythmic, Melodic, and Timbral Tension; Dramatic (Piano Sonata in C Minor, op. 13, Pathtique, mm. 11-14)............................................................. 89

Example 2.9 Rhetorical Drama from Parallelism (String Trio in E-Flat Major, op. 3, mm. 1-6).................................................................................................................... 91

Example 2.10 Accelerative Tension Only; not Dramatic (Piano Sonata in G Major, op. 14, no. 2, mm. 1-8).............................................................................................. 92

Example 2.11 Tonal Tension Only; not Dramatic (Piano Sonata in C Major, op. 53, Waldstein, mm. 1-8).............................................................................................. 93

Example 2.12 Non-Dramatic Combinations of Syntactical Tension Types a) Tonal and Accelerative Tension (Piano Sonata in E-flat Major, op. 7, mm. 221-229)........................................................................................................ 93 b) Expansional and Implicational Tension (op. 7, mm. 213-219)............................ 94

Example 2.13 Dramatic Combinations of Syntactical Tension a) Tonal, Expansional, and Implicational Tension (op. 7, mm. 81-93).................... 96

b) Tonal, Metric, Expansional, and Accelerative Tension (Eroica Symphony, mm. 3-11).............................................................................................................. 96

Example 2.14 Two Tension Types in Each Category; not Dramatic (String Quartet in C Minor, op. 18, no. 4, mm. 33-41).......................................................................... 97

Example 2.15 P and TR of the Fifth Symphony, mm. 1-62.............................................. 99 Introduction to Chapter 3 Example 3.1 Dramatic Structure in the Piano Sonata in C Minor, op. 10, no. 1,

mm. 1-22................................................................................................................... 114

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Chapter 3 Example 3.2 LH Archetype in P1 of First Symphony, mm. 13-33.................................... 124 Example 3.3 LHL Archetype in P1 of the Piano Sonata in F-Sharp Major, op. 78,

mm. 4-12................................................................................................................... 127 Example 3.4 Accompaniments to S That Begin Before S-Zone

a) Piano Sonata in F Minor, op. 2, no. 1, mm. 18-22................................................ 138 b) Piano Sonata in D Minor, op. 31, no. 2, Tempest, mm. 39-42.......................... 139

Example 3.5 A Flush-Juxtaposed TR and S in the Eroica Symphony, mm. 37-46........ 139 Example 3.6 The Two Styles of Classical Instrumental Music

a) Symphony Style Violin Sonata in A Minor, op. 47, Kreutzer, mm. 18-27..... 142 b) Sonata Style String Quartet in A Major, op. 18, no. 5, mm. 1-15..................... 143

Example 3.7 Continuous, Non-Dramatic Cadence in Piano Sonata in F Minor, op. 57, Appassionata, mm. 35-51...................................................................................... 145

Example 3.8 Postponement of Promised Drama in the String Quartet in F Major, op. 59, no. 1 a) End of S-Zone in Exposition, mm. 85-93............................................................. 155 b) Coda, mm. 332-351.............................................................................................. 156

Example 3.9 High Ending to an S-Theme, First Strategy, in Piano Sonata in B-Flat Major, op. 22, mm. 22-30......................................................................................... 161

Example 3.10 High Ending to S-Theme, Second Strategy, in Piano Sonata in E Major, op. 14, no. 1, mm. 22-46........................................................................................... 163

Example 3.11 - High Ending to S-Theme, Fourth Strategy, in Piano Sonata in C Minor, op. 13, Pathtique, mm. 101-113........................................................................... 167

Example 3.12 Standing on the Dominant with High Ending, Compensating for S Start in Wrong Key, String Trio in C Minor, op. 9, no. 3, mm. 17-41.......................... 171

Example 3.13 Transition Function that Mitigates Differing Tension Levels Between S-Themes, Piano Sonata in D Major, op. 28, Pastoral, mm. 71-91....................... 174

Example 3.14 Continuity Between Codetta and Development Section a) By Tension Level and Motive, Piano Sonata in E Minor, op. 90, mm. 71-84..... 177 b) By Tension Level and Closing Exposition without a Triad or Unison, String Quartet in A Minor, op. 132, mm. 73-78.............................................................. 178

Example 3.15 Excited Effect Followed by a Tutti Effect to Close the Exposition, Piano Sonata in C Major, op. 2, no. 3, mm. 85-90............................................................. 184

Chapter 4 Example 4.1 Prominent B-Naturals at or Near Start of Development in E-Flat-Major

Movements a) Piano Trio, op. 1, no. 1, mm. 104b-112................................................................ 193 b) Piano Sonata, op. 7, mm. 135-141........................................................................ 193 c) Eroica Symphony, op. 55, mm. 154-166 (piano reduction)................................. 194 d) String Quartet, op. 127, mm. 65-76...................................................................... 194

Example 4.2 Functions of D2-Zones a) As a Pre-Core; String Trio in C Minor, op. 9, no. 3, mm. 74-82.......................... 197 b) As a Small-Scale Core; Piano Sonata in G Major, op. 49, no. 2, mm. 53-60....... 197

Example 4.3 An LH Archetype in a Single-Module D3-Zone; Violin Sonata in A Major, op. 12, no. 2, mm. 88-110......................................................................................... 206

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Example 4.4 Drama in an LH Archetype in the First Module of a Two-Module D3-

Zone from the Early Period; Piano Sonata in E-Flat Major, op. 7, mm. 137-165.... 211 Example 4.5 An LH Archetype in the First Module of a Two-Module D3 from the

Middle Period; String Quartet in E Minor, op. 59, no. 2, mm. 89-107..................... 213 Example 4.6 Drama in an LH Archetype in the First Module of a Two-Module D3-

Zone from the Late Period; from Piano Sonata in E Minor, op. 90, mm. 82-111.... 215 Example 4.7 A High-High Connection Between D3 and D4 from Piano Sonata in

C Minor, op. 111, mm. 76-87................................................................................... 222 Chapter 5 Example 5.1 A Dramatic Return in the Piano Sonata in E-Flat Major, op. 7

a) Start of Exposition, mm. 1-6................................................................................ 239 b) Start of Recapitulation, mm. 189-194.................................................................. 239

Example 5.2 Comparison of a Modulating TR with its Recapitulation; Piano Sonata in E-Flat Major, op. 81a a) Exposition, mm. 29-36......................................................................................... 246 b) Recapitulation, mm. 122-128............................................................................... 246

Example 5.3 Comparison of a Non-Modulating TR with its Recapitulation; Septet, op. 20 a) Exposition, mm. 39-52......................................................................................... 248 b) Recapitulation, mm. 172-187............................................................................... 249

Example 5.4 Transposed Opening of S-Zone in Recapitulation; Piano Trio in D Major, op. 70, no. 1, Ghost, mm. 215-226........................................................................ 252

Example 5.5 Comparison of Tension at End of CL in the Sextet, op. 71 a) Exposition, mm. 98-111 (CL1 and CL2)............................................................... 255 b) Recapitulation, mm. 264-278 (CL1 and first module of coda, Z1)....................... 256

Chapter 6 Example 6.1 String Trio in D Major, op. 9, no. 2

a) End of Exposition; mm. 103-110.......................................................................... 264 b) Codetta-Based Material that is Part of the Recapitulation (not the Coda); mm. 300-end......................................................................................................... 265

Example 6.2 Piano Sonata in A-Flat Major, op. 110 a) End of Exposition; mm. 34-38.............................................................................. 266 b) New Codetta-Based Material that Begins Coda; mm. 93-105............................. 266

Example 6.3 Piano Sonata in E-Flat Major, op. 7 a) End of Exposition; mm. 127-136.......................................................................... 268 b) New Material Elided with End of Recapitulation to Begin Coda; mm. 307-318.. 268

Example 6.4 Piano Trio in E-Flat Major, op. 1, no. 1 a) End of Exposition; mm. 94-104............................................................................ 269 b) New Material not Elided with Recapitulation to Begin Coda; mm. 244-252...... 269

Example 6.5 Piano Sonata in G Minor, op. 49, no. 1 a) End of Exposition; mm. 28-33............................................................................. 270 b) Codetta-Based Material Not Elided with Recapitulation to Begin Coda; mm. 96-106........................................................................................................... 270

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Example 6.6 Tension Types at End of a Movement that Ends with High Tension; Piano

Trio in C Minor, op. 1, no. 3, mm. 351-360............................................................. 281 Example 6.7 Zone 3 (I3) of a Slow Introduction as a Small-Scale Transition; Violin

Sonata in A Minor, op. 47, Kreutzer, mm. 9-18................................................... 283 Example 6.8 Differing Types of Tonal Tension in Final I2 Modules

a) Diatonic and Mixtural Tonal Tension; Septet, op. 20, mm. 1-8........................... 291 b) Distant Tonal Tension; Pathtique Sonata, op. 13, mm. 5-9............................ 292

Chapter 7: Epilogue Example 7.1 Dramatic Structure in Beethovens String Trio in E-Flat Major, op. 3........ 317

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List of Figures Chapter 1 Figure 1.1 Three Types of Continuation with Cadence.................................................... 29 Figure 1.2 A Sixteen-Measure Period............................................................................... 30 Introduction to Chapter 3 Figure 3.1 All Possible Modules in Beethovens First-Movement Type 3 Sonata Forms

(for the Purposes of This Study)............................................................................... 117

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List of Appendices Appendix A Beethovens Eighty-Seven Published Works with First Movements in

Type 3 Sonata Form, and Their Date of Composition, Style Period, and Key........ 334 Appendix B Dramatic Analysis of All Eighty-Seven of Beethovens First-Movement

Type 3 Sonata Forms................................................................................................ 336

1

Introduction

Dramaticin the sense of highly intenseis a term that seems inextricably bound to

virtually every description of classical sonata form from recent decades. In part, scholars are

motivated to use this and other similar terms like intensity and tension by some of the most

essential features of the form, especially in relation to first movements, features that Charles

Rosen collectively refers to as sonata style:

The method of articulating and dramatizing a variety of old forms that we call sonata style gave rise in turn to a new set of forms, equally various. If we order these forms according to the expressive intensity of the structuresthat is, the importance of the tonic-dominant polarization, the degree to which this is heightened, the way the resolution is achievedthen we will find that they fall broadly into four types, which correspond fairly well to whichever movement of the sonata as a whole employs them most frequently: first, second, minuet, or finale. First-movement forms are the most dramatically structured.1

But what are the specific musical devices occurring within these sonata forms that may be

considered dramatic? While a wide variety of theoretical sources has discussed many aspects of

classical music in these dramatic terms, none has sought to determine precisely what

mechanisms contribute to the sense of drama in these works. In this study, I therefore attempt a

systematic analysis of drama in sonata form using the first movements of Beethoven as a model,

since these pieces often possess an intensity that, intuitively, could only be called dramatic.

The study of drama in Beethoven fits into a larger body of recent music-theoretical work

on the classical repertoire that deals with surface-level details of the music and their impact on its

form or expressive/rhetorical implications. Prominent among these is James Hepokoski and

Warren Darcys Elements of Sonata Theory, a comprehensive investigation of classical sonata

form that is constantly informed by rhetorical features such as dynamics, texture, rhythm, and

1 Charles Rosen, Sonata Forms, rev. ed. (New York: W. W. Norton, 1988), 98. Considering the close relationship between Rosens work and that of Tovey, it is not surprising to find a similarand similarly frequentuse of the term dramatic throughout the latters work in connection with sonata form or sonata style. To cite one instance of many, see Donald Francis Tovey, Some Aspects of Beethovens Art Forms, in The Main Stream of Music and Other Essays (New York: Oxford University Press, 1949), 275, who opines, a composer whose music is dramatic, as all true sonata style is, . . .

2

melodic content.2 Their work is especially pertinent to the present study for its numerous

discussions of the relationships between these rhetorical features and specific locations in sonata

form. Robert Hattens two books take as their basis Leonard Ratners idea of musical topics,

each of which is defined by such details as surface rhythms and harmonies, metre, texture, and

melodic style. Going a step further, Hatten maps expressive oppositions onto these topics to

derive emotional meaning from the music, which, on the largest scale, creates what he calls

expressive genres.3 Along the same lines is Kofi Agawus Playing with Signs, which combines

Ratners topics with Schenkerian analysis in order to explore the interactions between classical

musics rhetoric and syntax (or expression and structure) and determine ways the two

may overlap to create regions of compositional play.4 Finally, there is Austin T. Pattys recent

Music Theory Spectrum article on pacing scenarios, which, although concerned with repertoire

of the late-nineteenth century, examines how factors such as dynamics, textural thickness,

melodic direction, and rhythmic and harmonic accelerations or decelerations contribute to our

understanding of musical climaxes.5 But because none of these works has suggested any

definitions for drama in music, it is necessary to establish some first principles on which to build

a theory of dramatic structure.

I. What is Drama?: Defining Types of Tension Excluding definitions involving staged or enacted narrative of any kind, the term

dramatic when applied to music is simply another way of saying that an event is highly

2 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth-Century Sonata (New York: Oxford University Press, 2006). 3 Robert Hatten, Musical Meaning in Beethoven: Markedness, Correlation, and Interpretation (Bloomington: Indiana University Press, 1994); Robert Hatten, Interpreting Musical Gestures, Topics, and Tropes: Mozart, Beethoven, and Schubert (Bloomington: Indiana University Press, 2004). 4 V. Kofi Agawu, Playing with Signs: A Semiotic Interpretation of Classic Music (Princeton: Princeton University Press, 1991). 5 Austin T. Patty, Pacing Scenarios: How Harmonic Rhythm and Melodic Pacing Influence Our Experience of Musical Climax, Music Theory Spectrum 31 (2009): 325-67.

3

intense, or in other words, has a high degree of tension. But then, what is tension, and what

determines a high degree of it? For our purposes here, I would propose that, fundamentally,

tension may be defined as any event that requires a high or relatively high level of musical

energy, whether that energy is compacted into a single gesture or distributed over a more gradual

process. This definition explains why seeming opposites such as phrase expansion (which

increases the length of structural units) and fragmentation (which progressively decreases the

length of structural units) may both be understood as forms of musical tension: in the former,

energy is required to stretch the phrase out longer than is syntactically necessary; in the latter,

energy is required to accelerate the rate of progress in the phrase. With this definition, then,

precisely what factors may be considered types of musical tension? To answer this question, I

refer to a study of melodic highpoints by Zohar Eitan, who distinguishes among emphasis,

intensity, and tension:

In this study the notion of emphasis is used in a very general sense, denoting anything that is relatively attention-getting in a time-pattern (Jones 1987: 622). Intensity is used here within a conceptual background such as the intensification-abatement model (Hopkins 1990, chapter 2; Berry 1976), postulating that some musical parameters have two opposing directions of change: one intensifying, namely, promoting activity and elevating tension, the other abating, namely, lessening activity and lowering tension. The related concept of musical tension refers here to an unstable, open, state, strongly implying continuation and resolution.6

Of these terms, I consider the latter two to constitute two types of tension, what I will

respectively call rhetorical tension and syntactical tension. (Eitans choice of similar terms for

the two concepts, as well as his admission that they are indeed related, supports this idea.)

Rhetorical tension types (Eitans intensity) may be expressed along a spectrum of tensional

values, and encompass the following parameters (the range of tensional values, from low to high,

is shown in parentheses): dynamics (soft to loud), rhythm (slow to fast), melodic interval (large

leap down to large leap up), harmonic interval (perfect consonance to harsh dissonance), type of

6 Zohar Eitan, Highpoints: A Study of Melodic Peaks (Philadelphia: University of Pennsylvania Press, 1997), 6.

4

texture (homophonic to polyphonic), thickness of texture (one voice to many voices), and timbre

(mellow/dark to harsh/bright). Such parameters essentially agree with Leonard Meyers notion of

statistical parameters, that is, those aspects of music that may be quantified (hence the term

statistical), but most importantly, are not essential to the musics formal structure;7

consequently, the form of the music remains the same regardless of whether the parameters

occur in a state of high or low tension. However, I prefer to describe these parameters as

rhetorical tension types because of the prevalence of the term rhetorical in theoretical writings

when referring to parameters that do not affect the form of a piece.8

Syntactical tension is based on Eitans definition of tension above: that which creates

instability in the music, and therefore implies further motion towards a more stable state. Such

tension implies further motion by exploiting the rules of musical syntax and thus has a direct

impact on the formal structure of the music. Types of syntactical tension include instabilities that

occur in tonality, metre, phrase rhythm, closure, as well as prolongations of dominant harmony

(which imply future motion to a tonic) and accelerations in surface rhythm, harmonic rhythm

and/or the length of structural units (all of which produce a forward-driving motion).9 A simple

example would be a half cadence: since a self-contained piece of tonal music cannot close with a

half cadence, it implies that more music lies ahead in order to arrive at the syntactically required

7 Leonard B. Meyer, Style and Music: Theory, History, and Ideology (Philadelphia: University of Pennsylvania Press, 1989), 14-16. Whereas Meyer considers rhythm to be a syntactic (i.e., form-defining) parameter, I place it in the rhetorical (Meyers statistical) category because I do not believe that note-to-note rhythms contribute to form, but rather may accelerate or decelerate and hence create a spectrum of tensional values like other rhetorical tension types. 8 Agawu, Playing with Signs, 67, distinguishes between syntactic and rhetorical components of cadences. Following Agawus lead is William E. Caplin, The Classical Cadence: Conceptions and Misconceptions, Journal of the American Musicological Society 57 (2004): 51-117, who likewise distinguishes between syntax and rhetoric in cadences. Hepokoski and Darcy, Elements of Sonata Theory, 23, differentiate between the tonal form and rhetorical form of a sonata. In addition, Eitan, Highpoints, 7, distinguishes between grammatical (i.e., syntactical) and rhetorical emphasis. 9 Cf. Meyer, Style and Music, 14, who considers the syntactic parameters of most musics of the world to be melody, rhythm, and harmony. While my notion of syntactical tension certainly involves aspects of melody and harmony, I rather define it by the more specific categories I discuss here (tonality, meter, etc.).

5

authentic cadence, after which the piece may then end. Besides the effects that syntactical

tension has on structure, one other feature that distinguishes it from rhetorical tension is its

inability to be expressed with a single intensified event. Whereas rhetorical tension may occur

with a sforzando marking over a single note, for example, syntactical tension requires a

comparison of juxtaposed events in order to be expressed. Thus the former tends to be an

absolute type of tension and the latter a relative type.

One important distinction to make at this point is that between tension and emphasis.

According to the definition I give here, tension always requires a high (or relatively high) degree

of musical energy, whereas emphasis, adopting Eitans definition, involves those features that

grasp ones attention, or more simply, are made prominent. But as a refinement of the latter

definition, I would propose that emphasis, as a rule, cannot be sustained over long stretches of

music. For example, if a piece begins with a forte gesture, it will create both emphasis and

tension, because loud gestures garner attention but also require a high energy level. However, if a

loud dynamic is sustained without change, the emphatic effect wears off, even though rhetorical

tension remains high. Consequently, emphasis tends to be concentrated in short gestures that

involve high contrast, but not necessarily high energy (such as a sudden drop to piano after an

extended fortissimo passage). It is for this reason that such effects as agogic accents, staccato

articulations, melodic highpoints (rather than the absolute pitches of a melody), and contrasts in

general create emphasis but do not create tension.

Noting the occurrence of rhetorical and syntactical tension in a piece of music is only part

of the process of analyzing dramatic content. In order to extract an overarching dramatic

structure for a particular section or piece, such tensions must be compared with their location in

the form. Moreover, since sonata form is the formal type under investigation here, a review of

6

the pertinent literature on classical form and its interactions with the various tension types I have

outlined above is now in order. Two recent books on classical form in particular will be of

central importance to the present study: those of William E. Caplin, and James Hepokoski and

Warren Darcy.

II. Background i) Caplin: Formal Functions

Caplins book on classical form provides a detailed account of his theory of formal

functions, which revives the Formenlehre tradition of Arnold Schoenberg and his student Erwin

Ratz.10 The theory provides an ideal foundation on which to map tension types, not only because

it establishes a rigorous and highly detailed method for the analysis of form in these works, but

also because it explains much of how the syntax of this music operates, especially at the little-

discussed levels of structure below that of a complete phrase. For example, contrary to many

sources on form, the smallest unit of structure in Caplins view is not the motive but the basic

idea, which combines a few motives into a single gesture usually spanning two measures. This

basic idea can either be joined with other ideas to form complete themes (or theme-like units) or

fragmented into smaller units for the purpose of development. Various types of themes then

obtain from the particular arrangement of the ideas within a phrase.

Caplins theme type of the sentence occupies a privileged position in this study because,

inherently, it contains an accelerative type of tension. Structurally, it is defined by the three

formal functions of presentation, continuation, and cadence. The presentation initiates the theme

with a basic idea that may or may not be repeated, but most commonly, a presentation has two

10 William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven (New York: Oxford University Press, 1998).

7

basic ideas and is four measures in length.11 The continuation then provides an intensification

through at least one of three types of acceleration: fragmentation (in which the size of the units,

as established in the presentation, becomes smaller, and perhaps increasingly so), a faster

harmonic rhythm, or an increase in surface rhythmic activity.12 These devices all serve to drive

the theme towards the final function, the cadence, which is often fused with the continuation into

a four-measure span.

Caplin also discusses a number of other issues regarding form that are especially

pertinent to this study. The techniques of cadential extension, through such means as imperfect,

evaded, abandoned, or repeated cadences, avoid closure in a phrase and therefore create

syntactical tension. Also in this category is Janet Schmalfeldts concept of the one more time

technique, in which a phrase promises an authentic cadence, but does not reach the final tonic

chord (resulting in an evaded cadence), then sounds that end one more time and completes it

with an authentic cadence.13 Caplins idea of a compound theme, in which one theme is nested

within another, is particularly valuable since it demonstrates that simple (eight-measure)

sentences may form the antecedent and consequent of a larger period theme, and thus a period,

which is often described as a more reposeful structure in opposition with the forward-driving

sentence, may in fact be composed of sentences and possess the very same accelerative type of

syntactical tension.

In contrast to the compound period, Caplins compound sentence does not involve such

nesting of theme types, but rather is distinguished by the number of measures contained in the

11 While Caplin, Classical Form, 35, defines the presentation as containing two basic ideas, I view it more broadly as a function that may contain any number of basic ideas, even only one. For more discussion on this point, see my chapter 1, Sentence. 12 Caplin, Classical Form, 41, also lists harmonic sequence as a defining feature of a continuation, but as explained in my chapter 1, Sentence, I do not regard it as such. 13 Janet Schmalfeldt, Cadential Processes: The Evaded Cadence and the One More Time Technique, The Journal of Musicological Research 12 (1992): 1-52.

8

theme. Normatively, the compound sentence is like a simple sentence, but with the proportions

doubled to form a sixteen-measure structure. Caplin does not discuss the nesting of one sentence

within another because his proportions of both the sentence and the basic idea make this

impossible: if a basic idea must always be either two measures (in the simple sentence) or four

(in the compound sentence), then a full eight-measure sentence cannot constitute a basic idea. If

one disregards the issue of length, however, then one finds that the nesting of sentences occurs

incredibly frequently in classical music. One common type involves sentences with a

continuation that is itself structured as a sentence the well-known opening theme of

Beethovens Piano Sonata, op. 2, no. 1, provides a typical example.14

A particularly enlarged version of the sentence, on the other hand, is a common feature of

development sections. Caplin describes this kind of structure with Ratzs idea of the core of the

development: The phrase-structural technique most characteristic of a development involves

the establishment of a relatively large model, which is repeated sequentially one or more times.

Subsequent fragmentation leads to a half cadence (or dominant arrival) of either the home key or

a development key.15 Clearly, this whole process of the core is tantamount to sentence structure,

but Caplin refrains from mentioning the resemblance, presumably because the putative

presentation generally does not prolong tonic harmony, which is one of his stipulations for that

function. Yet, there are sentences in which a tonic prolongation does not strictly occur within the

bounds of the presentation, as for example in the first theme of Beethovens Piano Sonata in G

Major, op. 14, no. 2, mm. 1-8, and his First Symphony, mm. 13-33.16 And conversely, there are

14 Such a structure is one of four types of continuation listed by Matthew BaileyShea, Beyond the Beethoven Model: Sentence Types and Limits, Current Musicology 77 (2004): 5-33. 15 Caplin, Classical Form, 141. Dominant arrival is Caplins term for a non-cadential ending on V. For more on this point, see my chapter 1, Cadence Types. 16 Caplin, Classical Form, 40. Of the sonata, Caplin notes that a tonic prolongation begun in the presentation is completed within the continuation, but minimizes its significance, simply calling it an exceptional case.

9

development sections that contain a tonic prolongation within a presentation, as for example in

the first movement of Beethovens Fifth Symphony, mm. 129-138, where the return of the

movements opening material in F minor completes the prolongation with the first chord of the

continuation (just as the opening theme did). Thus, while it can be beneficial to distinguish

between a sentence as theme and a sentence as phrase structure, from a dramatic point of view,

there is analytical value in recognizing both as part of a larger family of sentence structures.

ii) Hepokoski and Darcy: Sonata Theory

James Hepokoski and Warren Darcys recent book Elements of Sonata Theory is one of

the largest and most thorough accounts of sonata form to date. One may therefore find

discussions of nearly any subject pertaining to the form as a whole and its various parts, large or

small. Their view of the sentence, for example, is somewhat broader than that of Caplin, since

they contend that not all presentations prolong tonic harmony, and therefore argue that it is not a

required feature of the function.17 Such a view would expand the sentence paradigm to include

presentations based on other harmonies, as for instance a dominant prolongation, which

sometimes occurs at the beginning of Beethovens second theme groups.

Although Hepokoski and Darcy employ most of Caplins terminology for theme types

(such as period, sentence, and hybrid themes), their view of sonata form relies primarily on

units of structure that they term modules: . . . module is intended to be a flexible term

covering any of a number of small building-blocks within a work, ranging from each of Caplins

two smaller ideas, to any slightly larger unit without strong inner contrasts, to, at times, a

consistent phrase itself.18 Depending on its location in the form, each module is assigned a

one- to three-letter abbreviation, most of which I adopt in this study, and the all-important 17 Hepokoski and Darcy, Elements of Sonata Theory, 84n14. 18 Hepokoski and Darcy, Elements of Sonata Theory, 69n10.

10

perfect authentic cadences (PACs), which provide the strongest type of closure, are enumerated

with superscript numerals. Thus, a first theme, or primary theme (P) as they call it, usually

begins with a module labelled P1. If there is an introduction to the theme, a P1.0 label is affixed.19

If after P1 there is then a PAC and another theme in the tonic, that theme is labelled P2. But if one

wishes to distinguish between modules that are not separated by PACs, numbers after a decimal

point may be used, as in P1.1, P1.2, and so on. While this latter notation may apply, for instance, to

the antecedent and consequent phrases of a period, it becomes especially useful in sections where

modules may flow into one another without cadential articulation, as in developments, codas,

and slow introductions.

Hepokoski and Darcys discussions of the various sections within a sonata movement are

strongly informed by features of the musical surface that, in the present theory, constitute

rhetorical tension types. They distinguish, for example, between P-themes that open with a

strong-launch option, which includes gestures that are forte, chordal, in dotted rhythm, and so

on, and those with a weak-launch option, which includes gestures that are piano and lyrical, or

engage in a crescendo effect. Moreover, each type of opening has an impact on the surrounding

sections of the movement: strong launches tend to occur in large-scale, public, or ambitious

works that lack a slow introduction, while weak launches tend to follow slow introductions and

be followed by a transition (TR) that is either a forte affirmation or a restatement of P.20 Their

view of TR does not depend on the appearance of a concluding V chord before the second theme,

as occurs in most sonata forms, but rather on TRs location within the exposition and its texture,

19 Hepokoski and Darcy, Elements of Sonata Theory, 72, also suggest only the superscript zero, as in P0, but for all intents and purposes, I prefer the P1.0 label in order to emphasize the modules connection to the upcoming P1 module. 20 Hepokoski and Darcy, Elements of Sonata Theory, 66.

11

which they describe, significantly, as an energy-gain.21 The TR drives toward one of the

central features of Hepokoski and Darcys theory: the medial caesura (MC), which is the literal

break in texture that occurs directly before the secondary-theme zone (S) and classifies the

exposition type as two-part. (Without an MC, an exposition is of their continuous type.)

They observe that the beginning of S-themes are most often at a piano dynamic, but that a forte

opening to S can be the result of such events as a piano TR or a spilling over of energy from TR

into S.

Rhetorical features also inform Hepokoski and Darcys discussion of typical pathways

in development sections, which they divide into four optional zones.22 The first is a link between

the retransition (RT) at the end of the exposition into the development proper. The second is an

entry or preparation zone, often at a piano dynamic in anticipation of the third zone, the

central action or set of actions. Finally, the fourth zone is an exit or retransition leading to a

prolonged dominant chord in preparation for the recapitulation. But it is the central action that is,

as the name suggests, the real heart of the development and may involve up to three (or

occasionally more) subsections. Listing a wide range of events that may occur there, the authors

cite surging restlessness, moves to minor, Sturm und Drang outbursts, quieter, reactive

moments, special-effect episodes; and so on. Moreover, their suggestion that the central action

(as sometimes in Beethoven) can be a dramatic panorama of separate actions or dramatic

interactions encourages thought on precisely how a development may function in dramatic

terms and construct such dramatic passages through the use of various types of tension.

21 Hepokoski and Darcy, Elements of Sonata Theory, 93. 22 Hepokoski and Darcy, Elements of Sonata Theory, 229-30.

12

iii) Other Important Sources

Several other sources will be of considerable value to this study. William Rothsteins

concept of phrase expansion, as developed in his book Phrase Rhythm in Tonal Music,23 forms

an important type of syntactical tension found in many parts of sonata form. William Horne has

pointed out a wearing away of the medial caesura in Beethovens works up to the Eroica

Symphony, a trend that, as will be seen, becomes an increasingly pronounced part of the

composers style over time.24 Scott Burnham examines some of the most famous passages from

the first movements of the Eroica and Fifth Symphoniestwo movements that epitomize the

dramatic qualities of Beethovens heroic styleand often describes their effectiveness in

terms that correspond with the various types of tension I give here.25 Research by Harald Krebs

on metric dissonance in the music of Schumann applies equally well to similar passages in

Beethoven that therefore create a type of syntactical tension.26 Fred Lerdahl and Ray

Jackendoffs influential work deals much with rhythm, and helps to clarify the tension types that

belong to each of the two phrases involved in an elision.27 Robert Hattens work on musical

meaning in Beethoven and musical gesture provides insight into the inner workings of the

tension involved in rising melodic lines.28 Other important sources include James Websters New

23 William Rothstein, Phrase Rhythm in Tonal Music (New York: Schirmer Books, 1989). 24 William Horne, The Hidden Trellis: Where Does the Second Group Begin in the First Movement of Beethovens Eroica Symphony?, Beethoven Forum 13 (2006): 95-147. 25 Scott Burnham, Beethoven Hero (Princeton: Princeton University Press, 1995). 26 Harald Krebs, Fantasy Pieces: Metrical Dissonance in the Music of Robert Schumann (New York: Oxford University Press, 1999). 27 Fred Lerdahl and Ray Jackendoff, A Generative Theory of Tonal Music (Cambridge, Mass.: MIT Press, 1983). 28 Hatten, Musical Meaning in Beethoven and Interpreting Musical Gestures, Topics, and Tropes.

13

Grove article on sonata form,29 William Kindermans book on Beethoven,30 and several of

Donald Francis Toveys writings.31

Still other scholarly works will be pertinent due to their focus on factors that affect the

tension types. Because harmonic rhythm, for instance, can accelerate and therefore contribute

syntactical tension, determining the rate of harmonic change in a passage will be an integral part

of the present study. Hence, Joseph P. Swains exploration of harmonic rhythm will prove useful,

especially in situations where harmonic changes occur at different rates at different levels of

structure.32 Clive Browns work on determining tempo in Beethovens music aids in judging

whether relatively fast rhythmic values can be considered intense in movements without

metronome marks.33 And finally, some typical patterns in Beethovens use of dynamics, another

important tension type, have been proposed by Miriam Sheer.34

III. The Theory of Dramatic Structure

Having identified many of the factors that create tension in Beethovens music, it is

necessary to classify them into one of the two categories, rhetorical or syntactical. Once they are

classified, it becomes much easier to analyze tension in a systematic way, as one can then assess

whether or not drama, or high tension, results from the combined effect of the tension types in

either the rhetorical or syntactical categories. Linking this result with the location in the form

29 James Webster, Sonata Form, The New Grove Dictionary of Music and Musicians, 2nd ed., edited by Stanley Sadie and John Tyrell (London: Macmillan, 2001), 23:687-701. 30 William Kinderman, Beethoven, 2nd ed. (New York: Oxford University Press, 2009). 31 Donald Francis Tovey, A Companion to Beethovens Pianoforte Sonatas (London: Associated Board of the Royal Schools of Music, 1931); Essays in Musical Analysis, 7 vols. (London: Oxford University Press, 1955. First published 1935); The Forms of Music (New York: Meridian Books, 1959. Originally published 1944 as Musical Articles from the Encyclopaedia Brittanica by Oxford University Press). 32 Joseph Peter Swain, Harmonic Rhythm: Analysis and Interpretation (New York: Oxford University Press, 2002). 33 Clive Brown, Historical Performance, Metronome Marks and Tempo in Beethoven's Symphonies, Early Music 19 (1991): 247-58. 34 Miriam Sheer, Comparison of Dynamic Practices in Selected Piano Sonatas by Clementi and Beethoven, Beethoven Forum 5 (1996): 85-101; and Patterns of Dynamic Organization in Beethovens Eroica Symphony, The Journal of Musicology 10 (1992): 483-504.

14

produces what I call the dramatic structure of the piece. For the time being, I would only like to

introduce the precise tension types within each category and defer until chapter 2 a more detailed

discussion of each type and how their combination creates drama.

Table 1 lists all possible types of tension in both categories. There are seven different

types of rhetorical tension, each of which is intense when at a high level in its spectrum of

values. In short, dynamic tension becomes intense with a dynamic level of forte or louder;

rhythmic tension with relatively fast rhythmic values; melodic tension with ascents of a perfect

fifth or more in the melody; harmonic tension with a simultaneous dissonance; textural tension

with a polyphonic texture; thickness tension with a relatively large number of simultaneous

voices; and timbral tension with the harsh tone colours of either extreme registers or loud

trumpets, trombones, or timpani. As I mentioned earlier, these types of tension are not essential

to the musics formal structure. In other words, the conventions by which we determine the

rules of classical form are not primarily based on these parameters. Moreover, rhetorical types

tend to be of an immediate nature, not requiring any comparison of events to be perceived.

Table 1 Types of Tension

Rhetorical Types Syntactical Types Dynamic Tonal Rhythmic Metric Melodic Expansional Harmonic Accelerative Textural Closural Thickness Implicational Timbral

The six syntactical tension types, on the other hand, involve parameters that are essential

to the musics form; that is, they strongly affect the course of events in the music and therefore

require a comparative context. Tonal tension involves chromaticism and harmonic/tonal

ambiguity, both of which are disturbances in the pitch structure that demand resolution,

15

respectively, to diatonicism or a clear chord function/key. In a similar way, metric tension

involves irregularities in the metric structure, such as hemiola, syncopation, and

metric/hypermetric ambiguity that demand motion to a regular, and therefore stable, metre.

Expansional tension occurs with any sort of phrase expansion. Accelerative tension is caused by

fragmentation, or an increase in harmonic rhythm or surface rhythm. Closural tension involves

any device that weakens the sense of closure at the end of a phrase: cadential evasion or

abandonment, melodic openness through an imperfect authentic cadence, or repetition of a

closural unit (whether or not it is harmonically closed). Finally, implicational tension occurs with

a prolonged dominant harmony, which increases the implication that its respective tonic chord

will arrive.35

IV. Limitations and Aims of the Study

The present study of dramatic structure is constrained by a number of limitations. First,

although I demonstrate how various devices create tension in Beethovens music, I do not seek to

explain precisely why this is so. As a result, my definition of tension rests only on the particular

mechanisms in the music that work to produce it, rather than the psychological effect they have

on the listener.

Second, I do not seek to describe absolutely every occurrence of tension in music, but

only those that are salient. As a result, in a given passage, there may be an event that, in a purely

technical sense, constitutes a type of tension, but that I do not recognize because it lacks salience

and therefore analytical value. For example, the seventh of a V7 chord is strictly a type of

35 I prefer the term implication to expectation for some of the same reasons given by Leonard B. Meyer in Explaining Music: Essays and Explorations (Berkeley: University of California Press, 1973), 114-15n1. First, the former term better describes implied events that we may not be consciously aware of. Moreover, it does not refer to the listener and therefore describes processes in more objective terms. Naturally, the concept of implication is an integral part of expansional and closural tensions, but the category of implicational tension is designed to describe passages where a future tonic harmony is implied by a prolonged dominant harmony.

16

rhetorical tension, since it contains the dissonant harmonic interval of the minor seventh. But if

the dissonance is not made prominent (for instance, without a dynamic accent, agogic accent, or

is not differentiated in any way from the surrounding music), which occurs very frequently, I

will not consider it a significant contributor to musical tension and therefore will not include it in

my analysis. Since a discussion of all the factors that produce salience is beyond the scope of this

study, such judgements must necessarily remain with a degree of subjectivity. Moreover, by

adopting this approach, my hope is that the results will be of greater value than either a more or

less detailed approach: to be more in-depth would produce an overabundance of data, while to be

less in-depth would risk being too broad to be of much use.

Third, the study will have a tendency to favour more foreground, short-range

relationships since those of a more middleground or background level tend to be less perceptible

and, therefore, debatable. Nevertheless, a portion of the study will include some of the long-

range relationships between passages in terms of their dramatic content, for example between the

start of the exposition and the return of the same music at the start of the recapitulation.

Finally, the nature of this study is more qualitative than quantitative. In other words, I do

not seek to measure how much tension is expressed in total at any given point, but rather to

identify precisely what types of tension occur in certain locations in sonata form. One important

exception concerns rhetorical tension types, since the amount of tension a type expresses is

crucial to deciding whether it can be considered intense at a particular moment.

As a whole, this study is intended to reveal which areas of sonata form Beethoven tended

to dramatize with a high level of tension, which tension types he used to do so, and the patterns

that may emerge from such an analysis. One other overarching aim of the study will be to

determine whether such patterns are consistent with the categories of key, mode, genre, or style

17

period. After all, Beethoven is known to have felt expressive differences with different keys.36

Moreover, as Robert Hatten points out, the minor mode consistently conveyed a tragic

character in the classical style, whereas the major mode was more broadly nontragic.37

Furthermore, intuitively, there would seem to be significant differences, for example, between

the genres of symphony and string quartet, owing to the largely public and private function of

each, respectively, at the time. Finally, identifying stark differences among works in the three

style periods of early, middle, and late has long been a part of Beethoven scholarship and will be

an important part of this study. I include the four above categories because the distinctions in

Beethovens musical attitude seen within each may have translated into significant differences in

his treatment of dramatic structure.

Overall, this study is divided into two large parts. Part 1 contains two chapters, the first of

which explains my method of analysis for the sonata forms involved. The second chapter

discusses each tension type individually then demonstrates how various types may be combined

to create a high tension level, or more simply, drama. Part 2 deals with the results of my analyses

and contains an introduction describing the application of the complete theory in actual practice,

then a separate chapter devoted to each large section of Beethovens first-movement sonata

forms: exposition, development, recapitulation, and coda and slow introduction (both in one

chapter). An epilogue then summarizes the most prominent findings and applies the theory of

dramatic structure to the entire first movement of Beethovens String Trio in E-Flat Major, op. 3,

in order to illustrate how such an analysis can enhance our interpretation of a single movement.

36 Rita Steblin, A History of Key Characteristics in the Eighteenth and Early Nineteenth Centuries, 2nd ed., (Rochester: University of Rochester Press, 2002), 140-41 and 165-66, cites several sources indicating Beethovens belief in key characteristics, and although many are from the dubious Anton Schindler, Steblin rightfully remarks (on p. 140) that although Schindler may not be the most reliable source, it is unlikely that he completely fabricated the account here of Beethovens defence of key characteristics. Besides, several other pieces of evidence confirm Beethoven as a believer in key meanings. 37 Hatten, Musical Meaning in Beethoven, 36.

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Part 1: The Analysis of Dramatic Structure

Chapter 1: The Analysis of Musical Form In order for an analysis of dramatic structure to have any sort of meaning, it must be

linked with the details of the musical form. Without this crucial relationship, it would be

impossible to establish patterns in the dramatic structure between similar sections of different

pieces. The parts of the form that contain these patterns may be large or small, but above all

ones interpretation of them must remain consistent from one piece to the next. It is therefore

imperative that the methodology for analyzing form be both detailed and precise, and it is for this

reason that I present here a lengthy description of my analytical procedure for the musical form

of the works studied, drawing primarily on two recent works: James Hepokoski and Warren

Darcys book on Sonata Theory, which proves an invaluable resource for the understanding of

sonata form from the perspective of relatively large sections of music (generally on the level of

the theme and larger); and William E. Caplins seminal book on classical form, which lays the

groundwork for my analysis on the level of theme and smaller. By combining these two theories,

it is my belief that more insight can be gained from dramatic analysis since, as I mentioned,

patterns between pieces may be on both the large and small levels.

I. Determining the Type of Sonata Form The analysis of dramatic structure begins with an analysis of musical form, and although

the methodology presented here may be applied to any type of form, I deal exclusively with

sonata form in this study. Furthermore, although I apply this analytical method strictly to the

music of Beethoven, it may be applied equally well to music by other composers who wrote in

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the classical style. Essentially, my approach to analyzing a sonata form involves a two-stage

process, the first being a large-scale, top-down analysis, guided largely by Hepokoski and

Darcys Sonata Theory, that divides the large sections of slow introduction, exposition,

development, recapitulation, and coda into their next largest components: the zones of each

section, such as the primary-theme zone, secondary-theme zone, various zones within the

development, and so on. The second stage involves a small-scale, bottom-up analysis, based

largely on Caplins work, which determines the type of phrase structure present (e.g., sentence,

period, etc.) by its internal components. In this way, one can take note of both small- and large-

scale patterns that may emerge when the dramatic content is mapped onto the musical form.

The first step in the large-scale analysis is to identify the particular type of sonata form

that one is dealing with. Hepokoski and Darcy have proposed five broad categories of sonata

form that are identified only by a type number and generally proceed from the simplest to the

most complex.1 Type 1, sonata form without a development, is most common in overtures and

slow movements. In the Type 2 binary sonata, there is a return to the tonic key in its second

half that begins with material from somewhat after the start of the exposition. Although it is

relatively infrequent in late-eighteenth and early-nineteenth century music, it tends to occur

mostly in finales. Type 3, the familiar standard form with exposition, development, and

recapitulation, is found mainly in first movements. Type 4, the sonata-rondo and its variants, is

another common occurrence in finales. Finally Type 5, first-movement concerto form, is a hybrid

between Type 3 and the older ritornello form found in baroque concertos. All of the movements

analyzed in this study were chosen from first movements in order that Beethovens idiosyncratic

1 For brief descriptions of the five sonata types, see James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth-Century Sonata (New York: Oxford University Press, 2006), vi and 344-45.

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use of the Type 3 form, which was obligatory for a fast-tempo first movement in the classical

period,2 may be studied in some detail.

II. Large-Scale Analysis: Breaking the Form Down into Sections and Zones For all Type 3 sonatas, the next step in the large-scale analysis is to break down the three

to five largest components of the form: exposition, development, recapitulation, and any optional

slow introduction and coda. Each of these large sections may be further broken down into

themes, theme-like units, and other small units. Essentially, I adopt the labelling system of

Hepokoski and Darcy for this purpose, but with a number of important differences. Most

significantly, while Hepokoski and Darcys system of analysis for expositions and

recapitulations is highly developed and readily applied to actual pieces, they offer no similar

detailed system for the other areas of the form, namely introductions, developments, and codas.

To be sure, they do recognize and discuss customary features of these areas, but not in such a

way that allows one to apply labels like those in their analyses of expositions. For this reason, I

have extrapolated their method into these far less studied areas by using the following labels:

I = Slow Introduction D = Development Z = Coda

For the exposition and recapitulation, I adopt Hepokoski and Darcys terminology and

shorthand labels of P for primary-theme zone (i.e., first theme group), TR for transition, and S

for secondary-theme zone (i.e., second theme group), but I diverge on a few other points. First, I

do not consider the medial caesura (MC) to be the only factor for the presence of S, for there

are cases in which an MC cannot be found yet one may still perceive an S to be present, as for 2 Hepokoski and Darcy, Elements of Sonata Theory, 321.

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example in the first movement of Beethovens Sixth Symphony.3 Nevertheless, it is important to

note that none of Beethovens first-movement sonata forms have what Hepokoski and Darcy call

a continuous exposition, in which there is no discernible beginning to S; rather, they all have a

beginning to S and thus fall into the two-part category.4 Second, I do not prioritize the first

perfect authentic cadence (PAC) in S as the essential expositional closure (EEC), which for

Hepokoski and Darcy marks the end of S and after which begins a separate closing zone (C).

Rather, my understanding of the form in this respect agrees with that of Caplin, who considers S

(the subordinate theme group in his terminology) to consist of one or more successive themes,

the last of which is usually followed by a set of codettas that together form a closing section,

what I will label CL. Because these codettas are post-cadential in function, or more broadly

they project the sense of after-the-end, they are in fact an extension of S and stretch the S-zone