Term Paper I
"The person whose tonal sense is not sufficiently
mature to bind tones together into linear progressions
and to derive from them further linear progressions,
clearly lacks musical vision and the love that
procreates. Only living love composes, makes possible
linear progressions and coherence - not metaphysics [or]
"objectivity" these have neither creativity nor
breeding warmth."
Heinrich Schenker, Free Composition
This essay delves into the relatively long duration of the first
movement of Beethoven's piano sonata, Op. 2, No. 3. A close harmonic
analysis, highlighting motivic subtleties and unity between various
excerpts within the movement, followed by a Schenkerian analysis of
pertinent relationships allows for a broader view of the movement as a
whole. This movement is particularly unique in that Beethoven veers from
the traditional aspects of the classical sonata form; the second theme,
rather than establishing itself in the dominant of the home key, modulates
to the dominant minor; melodic development occurs in other areas of the
sonata other than the development of the standard middle section of the
sonata form (ex. the codetta); the finale of the movement exudes the
quality's of an orchestral-like passage.
The piano sonatas of Haydn and Mozart employ an equilibrium between
harmonic and thematic development whereas Beethoven's early piano sonatas
thrive on thematic contrast and transformation. In the Classical Style,
Charles Rosen states:
In his youthful works, the imitation of his two great
precursors is largely exterior in technique and evenin
spirit, he is at the beginning of his career oftencloser
to Hummel, Weber, and to the later works of Clementi
than to Haydn and Mozart.
A typical format for a Mozart piano sonata would resemble the following
outline: A B [small development section] A B. Contrary to Mozart's
structure, Beethoven's format is enhanced: A B "C" A B "C."
Unlike many other theorists, Schenker's intent, in effect, was to
observe similarities in sonatas rather than differences. His
concentration with respect to the sonata form rested on specific aspects
of compositional unity. The general characteristic of the large-scale
sonata form leans towards a ternary division, including a modulation and a
contrasting key in the opening. Schenker, in his essay entitled Organic
Structure in Sonata Form states:
The concept of sonata form as it has been taught up to
now lacks precisely the essential characteristic - that of
organic structure [organischen]. This characteristic is
determined solely by the invention of the parts out of the
unity of the primary harmony [Hauptklang]by the
composing out of the fundamental line [Urlinie] and the
bass arpeggiation [Bassbrechung]. The capacity to have
such a perception of the primary harmony is a prerogative
of genius.
The first movement of Beethoven's piano sonata, Op. 2, No. 3 is a
movement enhanced by diverse ideas. Beethoven's apparent intention in
this early movement is to unite these ideas through similarity of motives.
There are strong links in the first movement of harmony, rhythm and
contour in range and much emphasis is placed on dynamics; although they
are not immediately obvious, they do have a subconscious impact.
The first movement clearly follows a sonata form, containing two
distinguishable subject groups. The opening of the movement introduces
the first theme in C major and is masculine in nature, executing a clear
and simple idea based on double thirds. The first theme ends at measure
12 on a closed cadence in C major. The fist subject group (bars 1-8)
consists of an eight bar theme kept strictly in four parts. Structurally,
the theme contains two figures: (a) and (b) [ex. 1]. Figure (a) often
becomes significant and detached from the initial compilation of the first
themes (a) and (b), and later asserts itself in the development section.
For example, figure (a) returns in the bass at bar 9 (ex. 2), and here the
opening theme is closely related to this base line through inversion.
Another characteristic of the opening theme is the long held note,
followed by a slur, followed by staccatos (ex. 1-2). These echoed
syncopations are derived from the opening half note. In bars 11 and 12,
rhythmic displacement occurs in a systematic way on the accents (ex. 3),
and the syncopation foreshadows later incidents.
A transition occurs in the bridge section starting at bar 13. A new
four-bar theme is introduced in this two part diatonic variation,
returning in the second-theme. The theme consists of arpeggios followed
by broken octaves, and is extended by modulation towards G major. The
passage is subdivided as follows: 1+1+2.
Characteristic of Beethoven's piano sonatas is the expansion of the
first subject groups. Before establishing the dominant, he will go to
another secondary key with a new theme; he finds substitutes for the
dominant in the tonic-dominant polar relation that epitomizes the
classical style. The second theme enters at bar 27. In contrast to the
first theme it is feminine and lyrical in nature, implementing a quite
enormous range of expression. The problem lies with keeping up the
variety of sentiment and style. This sudden transition consists of a
modal change into the dominant minor (g minor) (ex. 5). The second theme
is romantic yet maintains a dark and disturbed quality - the dramatic
element enhanced by the modulation to the dominant. The new six bar theme
modulates to d minor and A minor, with a descending scale in the latter
key, subdivided as 2+2+2. The aesthetic of this passage involves the
rhythmic energy of the alberti bass and the extended syncopation. An
augmented sixth chord occurs at bar 42 (ex. 6). Four bars of dominant
preparation follow and at bar 47, the key of the dominant is being
established - G major being a more typical key for the second-theme in a C
major sonata (ex. 7).
The passage of example four returns at bar 61, slightly modified but
at first in its' original chord of C major, now functioning as IV of G.
It is unusual for the bridge to reappear in the development section, for
in traditional sonata form the bridge only asserts its presence once. The
passage then reverts to G and leads into a syncopated descent (ex. 8), the
bass descending more than two octaves in a four-bar frame. The movement
ends in C major therefore the exposition must end in G major. Beginning
at bar 73, three rising arpeggios occur, including an augmented triad (ex.
9). The coda plus first theme related material begins at bar 76. The
cadential grouping at bar 77 exercises a new two-bar theme (referred to as
y) (ex. 10), and by self-repetition, leads into a closing four bar phrase,
in unharmonized broken octaves (ex. 11), with two-bars of final chords.
The expositions is repeated from the beginning.
The development section, beginning at bar 90, undergoes a
transformation. It begins with a development of the coda material (theme
y) (ex. 10) and modulates successively into C minor, F minor and the
dominant of E flat major. From bars 97 to 108, the passage gives light to
sharp, glittering chords; however, there is no theme in the semiquaver
arpeggios of the right hand. The exposition ends on G and in bar 97 of
the development section the tonal idea is established through B flat.
This new idea balances the passage starting at bar 13, descending in a
downward fashion. The bass rises in semitones in two bar steps from B
flat to D flat (written as C#), with chords finally closing into D major,
over a sudden diminuendo (ex. 12). The passage is connected chromatically
to A, leading to D, eventually heading towards G. At bars 109 to 112, in
D major, the main theme of bars 1 to 4 (ex. 1) returns, almost unchanged,
except for the fact that the key has risen by a whole tone. But now the
two figures of the main theme, (a) and (b), detach themselves to be
independently developed at some length, in a four-bar grouping; figure (a)
is unaccompanied (ex. 13) whereas figure (b) occurs in bold octave
formations with fierce clashes of semitones (ex. 14). The four-bar
groupings comprise a circle of fifths repeated, combining major and minor
elements; the dominants from G minor (m. 119), through C minor (m. 121),
to F minor, landing on the home dominant. The dominant harmonic
preparation beginning at bar 135 (ex. 15), leads back to example 1 in its'
original form and key, hence the recapitulation. This sequence is in
direct parallel to the relationship that exists from bars 97 to 218.
The first group of the recapitulation, including bars 139 to 146, is
equivalent to bars 1 to 8, with only slight changes in some of the lower
parts. New development occurs at bars 147 to 154 with new syncopated
counterpoint (ex. 16) altering the whole structure in comparison to the
original material; the syncopation in the bass is repeated in the
subdominant; then taken up by the treble, with the counterpoint in the
bass moving from D minor and closing in the home dominant. This new
bridge material differs from the passages located at bar 17 and 61 but is
similar in that it arrives at the same G; the common note between G and C
being the G. At bars 155 to 160 (equivalent to bars 21 to 26, except for
that of tonality {minor mode}, the home dominant prepares for the tonic.
The second group, consisting of bars 161 to 217, is comparable to
bars 27 to 83, however, the former is transposed to the tonic of C major,
creating a balance. Comparable to bar 61 (IV chord on G), the passage
beginning at 195 begins on the IV chord in C major. Bar 210 technically
represents the end of the movement, for the coda was previously executed
in the exposition but Beethoven proceeds to introduce a codetta at bar
211.
For the first time in a piano sonata, Beethoven introduces this large
codetta. Here, the sonata form takes on the elements of a piano concerto,
the codetta representing a cadenza/orchestral-like passage. The close of
theme y in C major is suddenly interrupted by an A flat major, flat VI,
chord (ex. 17); so far the composer has avoided this atonal region. Every
former thematic reference is avoided from bars 218 to 231 and the passage
confines itself solely to broken chords - mainly diminished sevenths. The
bass starts from A flat and rises up the scale, first in three two-bar
steps, then in four single bars, whereby the quavers become triplets and
the harmony veers towards C (ex. 18). At bar 232, the music rests on a
conventional 6/4 chord in C (ex. 18), and from here, a cadenza, after a
preliminary upward passage, develops figure (a) (ex. 1). In bar 233, a
trill occurs on a full dominant chord, leading to a rapid chromatic scale
descending to the main theme, whereby the codetta, continues (ex. 19).
Technically, bar 233 should close on the dominant but is only an
illusion and the codetta continues on. The codetta that finalizes the
movement integrates the material from bars 76 to 90; however, new material
is developed and reiterated in the finale, with Beethoven placing the
emphasis on the action at the end of the movement. New development occurs
within bars 237 to 251: the upper part leads, and the harmonies are at
first tonic and dominant. Here, the developmental concept has been
shifted from bar 115, encompassing syncopated steps (ex. 20), crotchet
steps and wide skips (ex. 21), but eventually returns to the broken octave
figure, with which the exposition had concluded (ex. 11). Bars 245 to 248
represents a rhetorical pause: II - V - VI, followed by a full bar rest.
Bars 78 to 90 are presented in an expanded version at the end of the
movement from bars 249 to the movements completion.
In the Schenkerian analysis, I have graphed specific elements
relevant to the piano sonata as a whole: the first and second theme, and
the final section illustrating the establishment of the dominant key; the
shift in tonality in the development; new development and the final
codetta in the recapitulation.
In the exposition, measure 25 represents the dividing dominant.
Measures 27 to 45 comprise a passage that eventually ends on the dominant,
but does not complete a closed tonal structure. A trail of melodic
connections begins at bar 48: D - C - B - F - E (m. 61) - D (m. 66). Bar
47 begins on a G chord and ends on a G chord at bar 77, completing this
unit via a perfect authentic cadence. The development section,
establishing the tonality of B flat at bar 97, outlines a chromatic
passage in an upward motion, ending on the I chord in D major at bar 109.
>From measures 119 to 139 a grouping of fifths illustrates a circular
motion, ending on the tonic of the home key. Bars 147 to 155 in the
recapitulation demonstrates an extended syncopated format, with an
agitated push-pull sensation, arriving at the stable dominant in the home
key. The codetta illustrates a rising scale, beginning on A flat,
arriving temporarily on the tonic at bar 232. The codetta is itself
developmental in the respect that foreground motives are transformed with
expanded middleground arpeggiation. From bars 233 to 256, the tonic -
dominant cadential relationship is re-established.
Schenkerian analysis is best applied to tonal music and is a form of
analysis that illuminates the foundation of tonal music. In Beethovens
piano sonata, the fundamental structure in the foreground establishes a
nucleus (I) from which other motivic ideals stem. The linear progression
to V explores the foreground through the modulatory tonal centre of the
dominant, returning to the germ of the piece (I). Different structural
levels can be seen to operate in the sonata form, revealing unique
perspectives within the work.
Bibliography
Rosen,Charles. The Classical Style - Haydn,Mozart, Beethoven (New York:
W.W. Norton & Co., 1972), p. 380.
Schenker, Heinrich. Organic Structure in Sonata Form - trans. Orin
Grossman Readings in Schenkerian Analysis, ed. Maury Yeston
(London: Yale University Press, 1977), p. 39.
