BERRY_Formal Process and Performance in the 'Eroica' Introductions

7/24/2019 BERRY_Formal Process and Performance in the 'Eroica' Introductions

1/17

Society for usic Theory

Formal Process and Performance in the "Eroica" IntroductionsAuthor(s): Wallace BerrySource: Music Theory Spectrum, Vol. 10, 10th Anniversary Issue (Spring, 1988), pp. 3-18Published by: {oupl} on behalf of the Society for Music TheoryStable URL: http://www.jstor.org/stable/745789Accessed: 14-01-2016 14:50 UTC

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2/17

F o r m a l

Process

a n d Performance

n

t h e r o i c a

ntroductions

Wallace

Berry

Those who look to music

theory

for

guidance

in

perform-

ance are

right

o

expect

more than

generality.

Given a reasoned

view of

structure,

to what

particular interpretive

decisions

might

it be said

to lead?

What,

for

example,

might

the

per-

former

do in

recognition

and

portrayal

of an

accepted

analyti-

cal

construct,

allowing

that

any

particular

tructural

ontinuity

or

function can

usually

be

served

in

a number of

ways?

Such

questions

areall too often

neglected

in

studies

of structure

and

interpretation;

or

they

are treated with broad

pronouncementswhose

utility

comes into

serious doubt

in

particular

circum-

stances.1

That there can

be

divergent,

reasonable

concepts

of struc-

ture

in

any given

piece

is a fundamental

ule

of

existence for the

analyst

unfettered

by

bias. That

unalterable act of life accounts

in

part

for the

sometimes

bewildering

complications

of

relating

analysis

to

performance.

Another reason for such

complica-

tions follows

inescapably:

a

particularanalytical

construct

by

no means

points

to

a

singular,pursuant

directionof

realization;

the

path

from

analysis

to

interpretive

decision is

anything

but

A

preliminary

version

of

this

paper

was

presented

as a lecture at the Uni-

versity

of

Alberta,

Edmonton,

in 1983.

'An

exception

is

Janet Schmalfeldt's"On the Relations of

Analysis

to

Per-

formance: Beethoven's

Bagatelles

Op.

126,

Nos. 2 and

5,"

Journal

of

Music

Theory

29/1

(1985):1-31.

straight

and narrow. One can

readily

observethat this funda-

mental

principle

is corroborated n

(at

times

extreme)

differ-

ences

among

convincingperformances

of

any

piece.

To

put

this into the terms of a

specific

realm of

interpretive

decision: no

general

guidelines

can

be said to

apply

to all

in-

stances of

any

cited

formal

process-all

retransitional

repara-

tions,

all

consequent

phrases,

all motivic

correspondences,

all

sequential

developments.

Nor can

general guidelines.be

ad-

duced with

respect

to

all instances of

any given

structural

process-register

transfers,

descendingprotolines, compound

melodies.

Each

piece

demands

its

own

argument,

ts

uniquely

apposite

possibilities

of

realization,

whatever ts commonalities

of

form

and

structure n

relation o other

pieces.

And while

per-

formances

can

indeed distortand

suppress

essential

elements,

divergent

interpretations

can

satisfyingly

lluminate

different

things.

Janet

Schmalfeldtnotes

that

three recorded renditions

of

a

Beethoven

Bagatelle

achieve

an

indicated,

desirableresult

in

different

ways:

". .

. there is no

single, one-and-onlyper-

formance

decision that

can be

dictated

by

an

analytic

observa-

tion."2

If,

as

commonly

conceded,

there

is no

"best"

or

"correct"

interpretation

of a

subject

piece,

there are

nonetheless

infinite

possibilities

of

misrepresenting,

and of

interpretive

ntrusion,

2Schmalfeldt,

28.

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3/17

4

Music

Theory

Spectrum

so that

analysis

must

often tell the

performer

what should not

be done.

Or

multiple meanings

of a

given

musical event

may

suggest

an ideal of

neutral

xecution,

especially

as to such blunt

and

potentially

damaging

nterventionsas

dynamic

ntensifica-

tion,

allowing

the notes to

speak plainly

and

directly

or them-

selves.

FormalContextas

a

Determinant

n

Performance

This

paper

considers a

narrowly

defined

problem

of formal

significance

n relation to

performance

and

pursuant

details

of

tempo

and

articulation-the

two

comprehensivecategories

of

interpretive

decision-in

two brief

excerpts

from Beethoven's

Symphony

No. 3. For

this

purpose,

I am

thinking

of

musical

form as to certain

consistently

relevant

processes

by

which

it is

expressed:

those of

preparation,

of

expository

statement,

of

transitional

bridging,

of active

development,

and of

closure,

in

which

prevailing

element-processes

incline toward resolutive

conditions.

The

place

and

functionof amusicaleventin the

for-

mal

narrative

s often the

clearestclue to

interpretiveapproach.

Two preliminary itationsfurther llustrate he issue of for-

mal

function

and

pursuant

interpretive approach

in

specific

contexts. One of

Beethoven's

surging developments

is cited

first,

as

Example

1:

it

is a

context characterized

y driving

accel-

eration

corroborated

n the

relative

proportions

of

sequential

grouping

Ex. la)

as

well as of motivic

ragmentation

nd mita-

tion,

in stretto

(Ex. lb).3

The

characterization

f the

develop-

ment as accelerativemust refer

also to

complementary

actors

of

expansion

n

sonority

and

timbre,

especially

with

entry

of the

horns.

Such

passages

pose urgent,

difficult

questions

of

interpretive

conduct:

Does the conductor

go

along, by

discreetacceleration

in

metronomic

empo?

Or

is well

enough

best left

alone,

intrin-

sic musical

processes speaking

for

themselves while

perform-

3Pertinent

to

the

above is

my "Rhythmic

Accelerations

in

Beethoven,"

Journal

of

Music

Theory

22/2

(1978):177-240.

ance

clearly

enunciates and

accommodates-at least

does not

contradict-the overt

tendencies of musicalelements? Or

is it

even conceivable that in

comparable

phases

of structure it

could be

appropriate

o

resist inherent

tendencies

of accelera-

tion,

very subtly

counteracting

hem

in

tempo?

I

should

find

it

hard to

imagine performance

doing

other than

yielding

to

Beethoven's

explicit

accelerativedrive in the

mobile,

develop-

mental

context,

confirming

more

than

enforcing

or,

to

be

sure,

exaggerating)

t,

by

a

tightly

controlled,

slight

acceleration n

metronomic

empo.

Yet it seems

doubtful hat

general

answers

to

such

questions

are

attainable,and it is manifestlyclearthat

the

understanding

f

structural

rocess

affords

he

only

reason-

able

basis for theirconsideration.

In the Bach

piece

from which

Example

2

is

drawn,

here are

functional

changes

in

rhythms

of

harmony

and

of

step

descent

spanning

much

of

the

structure,

whose interioraccelerations n

these

rhythms

probably

signify

for

the

performerfirmly

con-

trolled

supportive

accelerations

n real

tempo.4

But at the end

of the

Prelude

(Ex.

2a),

following

a

cadential

hemiola, Bach introducesmarkedacceleration Ex. 2b) in re-

newed

step

descent from the

register

n which

primary

melodic

activity

had

originated.

This final

plunge

takes

place

of

course

in

a much shorter

time than

that of its broader

precedent,

and

the

governingprocess

of

closure n a

context of harmonic

eces-

sion and

stability

dictatesa

bracing empo

and

final

ritardando

toward the

fermata. A

prime

instructionhere

again

is

the im-

perative

of

awareness

of formal context and direction

as

a fac-

tor in

interpretive

decision.

The Eroica Introductions

I

turn

now to the

problematic

opening

bars

of

each of

the

outer

movements of

Beethoven's

Symphony

No.

3,

with

atten-

4There

s an

analysis

of

rhythmicprocesses

in this

piece

in

my

"Dialogue

and

Monologue

in

the

Professional

Community,"

College

Music

Symposium

21/2

(1981):92-99.



4/17

FormalProcess and

Performance 5

Example

1.

Beethoven,

Symphony

No. 2 in

D,

IV,

mm.

138-156

144

Fl.

Ob.

Fg.

Cor.

(D)

Tr.

(D)

Timp.

V1.

I

VI. II

Via.

Vic.

e

Cb.

139

1.

-o

f

1.

A

a

p

*f f

^ f

,JJA-

.t .

J

t,J

-

_

2

*if[

r e

^

r

K

rr--

r

?

? r

?

f

f

TI~

~ ~ w

u'

a ....-- O O

//

a

|':

- j fE -

b

- I* h -- -

r-

0

f

fw

.

W#

~J

p

f

/f

,

~hA

4

f

f

r

i

1f

f

o_f

vrs

t

continued

I

-

J J

r

I

l r-

I

J

-

.J

I

I

I- L

1

F

K

.r

Z 6

.L.

.*

f

'" '

+V"-



5/17

6 Music

Theory

Spectrum

Example

1,

continued

, . ..

150

Fl.

Ob.

Fg.

Vl.

Vl.

Via.

Vc.

e Ct

J

a.

139

I I

tt

lff ,f_

i , t f r r

, f T r

T 7 , f

f,Tf

T5Ft

f

T'f,

f

A

cresc.

f

Y-

l4

r

J

.'r

>

r

^r

.

j-

I

,

r

r

tt

F

I

*cres^. f

i i

J

re7c. -

rr

P

cresc.

f

P

.

cresc.

If

cresc

=,,

. r -~ I I

~

_

~

_

s_resc.

f

_fl

I

Jj

_

i

i

-

k

J-i

-

1

a---

_

r

A

J

Ia

p

cresc

cresc.

145

U \

-

^.

,,I.

\

-'(

____

t1

_______ \

jLjrV

41-/

A

-

---

4

- 4

2

1

A Li

139

Ohr

V

-,O-

O

-

+,

.

4

ff --:

,

/*

f

r

f

r

140

.

J

f.

j

fI

143

i

ALI

-,

-

=

-4'

Y.

i

P

156

_ O

f

151

153

b.

155

157

I

2

2

1;

.



6/17

FormalProcess and Performance 7

Example

2.

J. S.

Bach,

Little

Prelude,

BWV

926,

mm.

42-48

K

I I

I

I

r

-

(I4

k.JU

r

F U

-

-q

i-

J

-

-

WlJ

J

*

JJ

-o

I

II

I

I I

I

12

7

6 3 3

-

A .

I I

I

I

ti

.

tion to

their

realization

in

light

of inferred

introductory

proc-

ess.

The

fourth

movement's

initiating

egment.

The final

move-

ment's first eleven

bars

are here understoodto

be

explicitly

n-

troductory, notwithstanding

heir further role

in

bridging

he

third

and

fourth

movements,

and a

fleeting subsequent

remi-

niscence

of

like material

during

he coda

(see

mm.

431-35).

A

commandingsweep

of

precipitate

action

unmistakably

ets

the

scene for the

entry,

at m.

12,

of the theme which

is,

in

recur-

rence and

variation,

to become the basis for the movement's

formal

narrative.

Many

commentators have

noted

a

provoca-

tive

irony

in what

might

be characterized

as an "inversion"

of

typical

content in

the relationsof

certainelements

of mm. 1-11

to

those of the

unequivocally

hematic materialwhich follows:

loud to

soft,

mobile to

relatively

mmobile,

and dense

to

sparse,

in

particular.

To

put

the matter

directly,

the

explosive

Beethoven

excerpt (Ex.

3)

does not

at its

inception

sound

like

an introduction.

Clearly,

more

usual

introductory

procedure

s

that of

relatively

subdued

(dynamic

and

other)

intensities,

un-

complicated

texture,

and

slow

tempo,

yielding

to

comparative

animation and

more

vigorous

content and

activity.

There are

thus,

in

both of

the

Beethoven

examples

and

patently

n that of

the

finale,

significantly

assertive

aspects

of

structure

atypical

of

introductory

process,

a

circumstance

eading

to

questions

of

highly

problematic

nterpretive

control,

yet

in

an

expressive

at-

titude

of

intended,

decisive

spontaneity.

Such

control s a

mat-

ter of detailsof

appropriate

empering

ntervention.

One has the

retrospective

sense of

momentary,

capricious

contradiction n the

fourth

movement's

initiating

jest;

the

lis-

tener,

yielding

to the

impression

of

vital

content and

accepting

appearances,

"allows" hat

the

main

event is

indeed

underway,

only

to "discover"

shortly

that

the

principal

substance of dis-

A

^

. .

a.

I..,

... .

1

-'

1 I

-

,,

'

I , ,

/W

,.

Fl,

"

,

"

-V:

I

Z'

i

I



7/17

8 Music

Theory

Spectrum

Example

3.

Beethoven,

Symphony

No. 3

in

Eb, IV,

mm. 1-15

FINALE

A

.

Allegro

molto

Flutes

Oboes

Clarinets

n Bb

Bassoons

Horns

I and

II

in

Eb

Horn III

in

Eb

Trumpets n Eb

v

A

A

A

i

-----

w m

Timpani

in

Eb,Bb

-

-

-

Violin

I

Violin II

Viola

Cello

and Bass

i 1-

~~F->

ff

Lk1

t-II

Ji

I

1

l'

Ir

fl

S

ff

-

--

-

V-)

'r

2

B.'WwM

^:kg

-

-

------

gm -

&

-'

^

hJ

(

-

-

-4

(IM

I

0

L

J=

--t-



8/17

FormalProcess and Performance

9

Example

3,

continued

A

I,

L

I

I

I

i

I r--

iff

f f

f

;4K.

.

ff

;f

f

A

J

J

J

J?

-

] off,,

o

i f

i

-

-

-

_

if

if

'f

ff'. '.

'.^rf

i r

> K

if

i

P

r

ff rf

f

I | s

| J

7

7^

Yp

i

S

if

,.iLr

-^ r

j pizz. f

i

*9:;

>

r

r>

J

^

J

T-

^

y

ff ~~~~~~~

df

~~~~~~

I

~~~ ~

-prl

1

I

)

ff

f

p



9/17

10

Music

TheorySpectrum

course is

yet

to

come,

having

been

brilliantly

prepared

by

the

preceding

vigorous

outburst.

But the

sweeping allegro

s

brief,

peremptory,and

lacking

n thematic substance

(the

juxtaposi-

tion of

nonthematicand thematic can be felt as a criterionof

up-down

relation).

It

points,

moreover,

inexorably

oward

the

primary

dominantof

El,

sustained and intensified

n

the char-

acteristically

anticipative

ermata

of

m.

11,

clearlydeferring

o

the variation

heme,

adumbrated n its bass

alone,

and like

the

opening

theme of the

firstmovement

initially

a tonic

arpeggia-

tion at the

foreground.

In

the

end,

its

dynamic

mplications

not-

withstanding,

he

passage's

harmonic

content,

rhythmicpunc-

tuation, and extreme

brevity

denote an

unmistakably

subordinaterole in relation to

the

manifestlypredominant,

f

initially

enuous,

materialwhich

follows and is to

prevail

virtu-

ally throughout

he

movement.

Thus,

while

introductoryproc-

ess

characteristically

nvolves certain conditions of

tentative-

ness,

any ambiguities

of

formal

significance

are

clarified,

as

here,

when the material n

question

s

supersededby

clearly

ex-

pository

entry.

The

provocative

Beethoven

example

s,

in

fact,

conformant

not

only

in the

early

emergence

of

unequivocal

he-

matic

exposition

but also invital

essentials,

as

suggested

above,

typically receding

toward an interim

cadential dissonance

which,

in

turn,

leans toward he

primary

onicand the thematic

object

of

preparation.

What is

striking

in

the

Eroica

example

is, then,

its overt

force and

mobility,

briefly

errant tonal

substance,

and swift

tempo; yet

it is

typical

n

its ultimatetonal

focus,

rhythmic

ae-

sura,

melodic

descent,

and

preparatory

unction ntensified

by

fermata.

Likeother

introductions,

t

is well characterized

s

an

amplified,

"pointing"

upbeat,

the

concept

of metricanacrusis

unmistakably

pplicable

o the

eleven-measure

pan,

as

indeed

it can

be to much

argerspans.

Introductoryprocess

s

thus em-

bodied here inboth

characteristic nd

exceptional

elements.

So

general

a

characterization f

tonal

introductoryprocess

as that

of

fundamental

harmonicmotion to a cadentialdominant

s,

in

fact,

ultimately

applicable

even in

exceptional

instances

in

which,

in

contrastto the common

tendency

of

relatively

direct

and

uncomplicated

motivic,textural,

and

rhythmic

ontent,

we

find

elaborate,

spacious

development-as,

for

example,

in the

opening

of Beethoven's next

symphony.

That

largerspecimen

is

reducible to a

fundamental,

protracted

motion toward the

primary

dominant,

temporally

extended.

It is

inconceivable,

to

apply

the

useful

test of

imagined

com-

positional

alternatives,

that the

fourth

movement could

begin

without some

manner of

tonal

variance

following

the third

movement's decisive

cadence

on the

tonic El

which is also to

prevail

n

the

finale-variance in this

case coincident

with

pre-

cipitate,

swift

tempo

andotherelements of dramatic

vigorpre-

ceding entry

of

the

unpretentious

variation

heme and follow-

ing

the

scherzo's

dynamic

development

and

powerful

coda.

Indeed,

the

variation

theme

which is the

finale'sconstant sub-

ject

is to be

introduced

gradually,

sparsely,

unobtrusively;

he

natureof its

appearance,

a basisfor

Beethoven's

staged exposi-

tory

unfolding,

thus

demands

introduction,

and Beethoven's

solution

s,

to

put

it

mildly,

atonce

imaginative

and

deal

in

con-

tent. Its active

rhythmic

surface is

in

direct

contrast

to

both

scherzo and

upcoming

theme;

moreover,

it moves

quickly,

powerfully,

and

inevitably

beyond

its

superficial

deviance to

El,

:V in

preparation

or

the

primary

heme.

Example

4

exposes

the

tonal content

of the

opening

segment

as far less errant

han it atfirst

appears:

t is

comprised,

ndeed,

of an inexorable

plunge

of

tonally

compelling

ifths

ncorporat-

ing

six of the

seven

diatonic

pitch

classes of El

major,

as

repre-

sented in a

digest

of actual

pitches

of

relevant instrumental

partsgiven

below

the main

body

of

Example

4. In this sense the

apparently

circuitoustonicization of G minor functions in a

very

conventional

harmonic

successiontoward

Eb:

V/III-III-

VI-II-V-I.

The

sweep

is

thus

powerfully

directed n a context

of

irrepressible

ogic

and

unity,

while

sufficiently

ariant o off-

set

surrounding

materials.

The

above-noted

factors

are evident in

Example

4,

as

are

other

aspects

of

extreme

mobility.

Among

the

latter

are a

rapid

fall

and rise in

pitch,

and with the turn

of directiona

functional



10/17

Formal

Process and Performance

11

Example

4

7 8

9 10

11

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11/17

12

Music

TheorySpectrum

change

in

texture as strict

doublings

give

way

to diversitiesof

content

involving

modest

imitations

(see brackets)

as the as-

cent takes place; these are scored for sharplycontrasting im-

bres

culminating

n

sforzato,

accelerated

exchanges

between

strings

and winds.

At

the

same

time,

the structureof

these

eleven

bars

nvolves

vitally

mportant actors

of

retardationn its second

phase:

the

abandonment of sixteenth

notes

(the

rhythms

of m.

6

are a

transitional

stage

in this

process);

the

now

uninterrupted

V;

longer

intervals of

attack

rhythm

within each orchestral

body

(against

motivating

antiphonal responses

between orchestral

choirs, in counteractivequarter-note values); the abandon-

ment of staccato

articulations

at

m. 10

in

favor,

presumably,

of

slightly

onger

values;

and

of

course the fermata.

Interpretive

pproach

and detail in

thefinale's

introduction.

The

example

demands a

bold

entry,

in

keeping

with its charac-

ter

of

breathtaking

summons

involving ultimately

very

direct

texturaland tonal

process.

Yet,

despite

its dramatic

weep,

for-

tissimo,

and

rapid

articulations,

the sense of

the

problematic

passage

is to

be

conveyed

as

introductory

n its relation

to the

expositorystatement which follows. How can a realizationbe

effected which

acknowledges,

and avoids denial

of,

the

pas-

sage's

tentative

introductory

ole?

Apart

from

relevant details

of

execution,

a

general,

attitudi-

nal

perspective

can be

suggested

in

analogy

to

the

physical

act

of

inhalation,

an

easily appreciable

reference

implying,

in the

requisite

character

of

upbeat,

some

essentials

of

fitting

inter-

pretation

n such a context. Or to

imagine

he

(of

course unreal-

izable,

yet

conceivable)

physical

act of

conducting

the entire

passageupcan be persuasively uggestive: hekinetic,internal-

ized consciousness

of

upbeat,

and thus of the

concretely mag-

ined sensation

of

preparatory

unction,

can

be

engendered

in

the mental

imagery

of an inflated

up-gesture.

Thus,

the

present

example,

with its inexorable

drive,

rapid

articulations,

and

dy-

namic

intensity,

is

appropriately

conceived,

in

general

ap-

proach

and

attitude,

as

nevertheless

tentative,

anticipative,

and

preparatory,

n relation to

the thematic

exposition

which

follows

in

ironically

bare,

subdued

stringpizzicati.

And

what of

interpretive

details suitable to such a

general

concept?

The

implication

of

ambivalence

requires

hat the for-

tissimo not be exaggerated n too ponderousan initialattack; t

demands

too,

and

corroborates,

the swift

tempo-allegro

molto,

facilitated

by

the

simplicity

of

texture. Further

elements

of

control,

and of

clarity,

are

realized n

incisively

bowed

artic-

ulationsof

the

rising

sixteenths,

and

restrainedarticulative

m-

phasis

on the

tonally

vital,

V-arpeggiating

attacks

of mm. 6-

11-in

effect a

slight

holding

of

tempo

at the immediate

approach

o

the

fermata.

(See

Ex. 5 and

its

explanatory

notes.)

All

of

the above

transpires

n a

context

of,

at

the

same

time,

apparently pontaneous,uninhibitedabandon,albeitimpecca-

bly

measured.

Probably

this

quality

of

abandon,

and

of

seem-

ingly

deviant

intrusion,

requires

that the

break

between third

and

fourth movements be

relatively

brief.

The first

pitch

class

to

point strongly

oward

Eb

is

the

Al,

of

m.

4,

where IIwill

yield

to

V7;

Beethoven

gives

this note

agogic

emphasis,

but it

yet

requires

a

strong, steadying

bass

attack,

and

subsequent

underscoring

of

components

of the

emergent

V7,

as

represented

n

Example

6,

where

the

symbol

[-]

denotes

subsidiary tress in relation to the morepronounced A].

A

deliberate-not

exaggerated-exposure

of essential

har-

monic

factors,

as

indicated in

Example

6,

contributesto the

sense

of

preparatory

"up,"

vital

to

anticipatory

unction,

as do

the controlled

"stretching"

of time at the

approach

o the fer-

mata

(Ex. 5)

and

of course the fermata tself.

Further,

rue stac-

cato

articulations

n

mm.

8-9

yielding

o articulations f almost

full

length

in m. 10

(Ex. 5),

contribute o the

graduated

process

of

anticipative

retardation. The

punctuation

ndicated in

Ex-

ample5 is critical ollowingthe introductory leven measures,

lest the

unpretentious

hematic

entry

be

overwhelmed

by

sheer

sonority,

and to

establish

a

"frame"

or that

entry.

How

long

is the fermata? t

can be instructive

deliberately

o

imagine

one

that is

too

long

or too short-one that is of an

ab-

surd extreme or

that is

slightly

overdone

or underdone. An

overdrawn ermatawould contribute

dangerously

o

the

possi-

bility

of

overwhelming

he thematic

element

at m.

12,

and to a

severanceof relation between mm. 11 and

12. And an

underes-



12/17

Formal

Process

and Performance

13

[I

f-V-

]

.f

of

1n^ pizz.-->v

'fi

I

pizz.

),

)LA

I

-t

.

l

]

}

.

-I

f

r

J

A

F

ff\****

of sf

df

*

[pochiss.

rit.

-----------------]

*

The

pochissimo

ritardando

as a

'phasing'

of the fermata.

*

*

Down:

a

decisive,

yet

piano

attack

nitiating

lear

forward

thrust,

and

following

a

brief but

pronounced

break.

*

*

*

The

'antiphonal'

forzandi,

a factor

n

holding

tempo.

****

Bring

out as a

motivating

imitation

and local

V-

arpeggiation.

Example

6

m. 4

[n

n]

[movendol

Fea

H-3

[-]

[-]

punctuation

of a furtherrest and

slight

break,

all in the

context

of a

scarcely appreciable tempo pochissimo

ritardando,

n a

condition of suspended activityneversymmetricallymeasured

in relation o established

ulsation.

It must be

emphasized

hat

such a

specification

arises as a

preliminary

conceptualization,

and is

assuredly

not a

formulaic olution

necessarily

o be

repli-

cated with

each

experience.

A

knowing

treatment of the thematic

entry, by

distinction,

contributes

reflexively

to the

impression

of

introductory

unc-

tion in the

opening passage.

Thus,

its

slightly delayed

attack s

one of

insistent

clarity,

if

delicacy,

of deliberate articulation.

The theme's exposure and importanceare, ironically,under-

scored

by

utter

contrast of

dramatic,

radical

change,

in "in-

verse"

accent;

ndeed,

the

listener's

attention s

capturedby

the

sheer effort of

hearing

the theme's

"negative"emergence

and

decisive but

modestly

colored

resolution of the

potent

disso-

nance on which the

introduction

has,

typically,

ended. The

brief

void between

mm.

11

and 12

serves

to

expose

the thematic

inception,

and to

underscore,

as does the

fermata,

the disso-

nance and

expectancy

of the

emphatic,

iterated V.

The

the-

maticentry is conceived affirmatively"down,"in responseto

the

preceding

"up"-pointing

preparation.

The

first

movement. In the

opening

of

the firstmovement

(Ex. 7)

there

are,

quite obviously,

very

striking

ontrasts o

that

of the

finale,

although

both

segments

can

reasonably

be con-

ceived as in

disparate

ways

introductory:

ach

prepares

subse-

quent

thematic

exposition.5

The first

movement

example

is

(ff)

[A]

timated duration

can have

analogous

effect in

a different

way,

while

awkwardly

mpairing

he

sense of

secure balance essen-

tial to a

poised

subsequent

entry.

The illustration

uggests

that

a conceivable

nterpretation

would be that of an

added,

flexibly

conceived,

"two

bars"-m.

11

plus

two,

with

the indicated

50f interest in

the

characterizationof the

opening

chords as

introductory

are the comments

of Edward

Cone,

whose

originalanalysis

of

the two chords

as

"a

completely

integrated

introduction" s

qualified

in a

subsequent publica-

tion. See

Musical

Form and

Musical

Performance

New

York: W. W.

Norton,

1968),

23;

and

"Musical Form

and

Musical

Performance

Reconsidered,"

Mu-

sic

Theory

Spectrum

7

(1985):156-57.

In

his

distinction,

the

beginning

of the

Eroica

finale

would,

presumably,

be a true

anacrustic

ntroduction;

hat of the

first

movement he deems

"neither

upbeat

nor

downbeat"--a "metrical ntro-

duction,"

which

"establishes a

metrical

background

or what is

to follow."

Example

5

f

m.8 A

|

I I

JJI

-4-K

i W

09k

- I

- I I

-r"rtf;

I

I r- I r- w

I

- - O'P'

OP

-



13/17

14 Music

TheorySpectrum

Example

7.

Beethoven,

Symphony

No. 3 in

Eb, I,

mm. 1-7

Allegrocon brio(J. = 60)

J ,

Flutes

Oboes

Clarinetsn Bb

Bassoons

HornsI and II

in

Eb

Horn III in

Eb

Trumpets

n

Eb

Timpani

in

Eb,Bb

:

i

I

j

I

:

-:

Violin I

Violin

II

Viola

Cello

and Bass

x:

f

X

f

-

f .

i

?t

4 R

i

>

N

-

1

-

-

/L~

I

V

f

6

(I

r

>

r

I-

-

-

'

-

-~~

I i'

,

f

A I

V

= : i ,

-

-

-

--

(

1

,=2?-

1:

P

cresc.

i'}~'$~~~~~~~~~~~~~~

~.|~

~f

-

,~crsP

ccresc.

t)

/b

~

.,:y.

|cresc.

9:1,\

li

f

i

r

3

> J

~'

J

'

t.

0

J

0

b

f

cresc.



14/17

Formal

Process

and

Performance 15

atypical

n

a

number of

ways, notably

in its

rhythmic

and

har-

monic content.6

Measures

1-2

of the firstmovement are

simply

a reiterationof the tonic chord, anticipating he forthcoming

theme's

tonic

arpeggiation.

The more

typical ntroductorypro-

gression

to

V,

"expecting"

,

is

thus absent n the Eroica

begin-

ning.

The

chords,

in

addition to

adumbrating

he theme to

come,

thus

unequivocally

establish

the

tonic,

a

factornot irrelevant o

the

theme's

early

tonal

wavering.

The

absence of

characteristic

dissonance

notwithstanding,

the

chords are a

theme-setting,

tonic-setting pronouncement,

terse

but

insistent. In

their

in-

tense, tutti articulationand full texture they establisha per-

spective

of

characterand

expressive

attitude,

n two

bars

mply-

ing

and

boldly

announcing

the

symphony's

context

of

power

and

magnitude.

And

as

often in

the

considerationof

structure

and effect in

music,

it

is

instructive

o

think of the

piece

other-

wise

(i.e.,

without these

chords)

to

appreciate

how

imperative

is

their

function n

the

preparation

of

Beethoven's

sparsely

ex-

tured

thematic

exposition.

As in

the

finale,

the

relation

between introductionand ex-

positorystatement, while manifestly"up-down" (see Ex. 8),

with

decisive

melodic

and

rhythmic

hrust

at

m.

3,

is

again

one

of

provocative

irony,

of an

"inversion"

of

usual

attributes n

that

the

thematic

"down" s

in

a

setting

of

greatly

reduced

dy-

namic

intensity,

texture,

and

orchestral

sonority,

if

of latent

vigor

and

restless

mobility.

Yet a

critical

sense

of

anticipative

"up"

n

the

first

two

chords

(which

again

one can

usefully

con-

ceive in

the

physical

analogy

of

inhalation,

or in

that of the con-

ductor's

upbeat

gesture),

a

sense

of

preparatory

unction,

of

leadingto the mainevent, is to be conveyedin performance.

Realization

of

the

opening

chords.

Again

the

preliminary

n-

derstanding

of

formal

place

and

function

leads to vital

6Compare

he harmonic

progression

which constitutes

a

similarly

brief

in-

troduction

to

the

first

movement of

Beethoven's

String

Quartet,

op.

59,

no.

2,

or the

analogous

opening

of

Brahms's

Symphony

No.

3.

questions-general

and

immediate-of

realization;

indeed,

with

respect

to

the Eroica

chords,

the

mannerof

rendition,

in

conceptand detail, finallysuggeststhe interpreter'sanswerto

(or

confusion

about)

the

controversial

ssue of

functional,

for-

mal

significance.

With

respect

to the

element of

dynamic

nten-

sity,

the

sense

of

introductory

unction

requires

as

in

the

open-

ing

of the

finale,

a

degree

of

restraint,

an

avoidance of

exaggerated

articulation,

he

forte

dynamic

evel

notwithstand-

ing.7

Beethoven's

dense

sonorities

initiate the

movement,

and

the

symphony,

with

commandingpower; yet,

theiroverstate-

Examole

8

er -b

i

Allegro

con

brio

V

f0i.

.

/

.2

y

9 b i k

A>

A A

f^r? \

i

--

f

p

7In

his

earlier

view of

the

chords

as an

introductory

"upbeat,"

Cone calls

for a

"requisite lightness

and

springiness."

(See

Musical

Form

and

Musical

Performance,

23.)

-d. La



15/17

16 Music

TheorySpectrum

ment,

in

violation of

introductory

subordinacy,

can

easily

overwhelm-"reverberate" into-the

approaching

theme.

The precariousbalance between introductionand exposition

can be

compromisedby

even

so

slight

a factor

of overstatement

as too

pronounced,

too deliberate

arpeggiations

of the

string

chords.

In

such

a constructof

relation between mm.

1-2 and

m.

3,

the

immediate,

deliberate surface

activity

of

the

theme's

entry

is

a

vital,

compensating

actor,

an

aspect

of its "down"

signific-

ance,

where

the

piano

dynamic

level

and reduced texture are

again

conceivableas a kind of inverse accent with which

one

canmeaningfullyassociate hepsychological"effort"of assimi-

lation. The thematic

entry,

so

viewed,

necessitates

(again

as in

the finale's

corresponding vent)

a

manner

of

suppressed

vigor

and

insistent

clarity,

not

merely

in

spite

of the restricted

dy-

namic condition

(piano),

but

using

that element as an

aspect

of

intense control of

latent,

potentially

vital content. The contrast

of

forte-piano

can thus

drawattention o

the

expository

entry

at

m.

3,

in a

conservative

ntroductory

orte

(the

tutti tself

afford-

ing

sonorous

emphasis)

ollowed

by

an

incisive,

yet

piano,

cello

attack at m. 3 againstdriven, cleanlyarticulated,accompani-

mental

activity

in the

second violin and viola.

The

reverse

of

such

an

approachseverely

attenuates the inferredhierarchical

relations of formal

function.

Relevant,

although

subsequently

qualified,

s

Cone's

original

view of

these

bars as an

"expanded

upbeat,"

suggesting

avoidance

of the

"heavy

accents

we

so of-

ten

get."8Clearly,

to

exaggerate

the articulations

f

the

chords

is to

negate

their

anticipative,

entative

role.

The

chords are short

(as

Beethoven

directs), yet

not so

short

as to compromisethe decisive solidityimperativeto the sym-

phony's

majesty

of

import. Tempo

of course

is

steady

in these

bars: it is far

too

early

for

any

modulations of

pace,

although

the

possibility

of

a

contextually itting,

all but

unnoticeable,

ad-

justment

n m.

2 is

conjectured

below.

8Ibid.

Example

9

[pochiss.

tenuto

****

***

r

Allegro

con brio

*

[staccato

Piustol **

f [a non troppo]

f

[ma

non

troppo]

M r

W

\

>

\

r

p

*

Steady,

unmodulated

tempo.

*

The

staccatochords n

balance

throughout

he orchestra.

*** Down: assertive,if piano, theme entry;an incisive cello

Eb,

clearly

ongoing.

****

Very slight,

virtually

unnoticeable,

hesitation

enhancing

the accent

which follows?

Example

9 is

a

summary

of

interpretiveconceptualization

and intervention deemed

to serve the

necessary

relational

balance-

adjustments

of

pace,

articulation,

and

timing

so sub-

tle as to defy the listener'sawareness,yet sufficient o under-

score the sense of

expectancy

in mm.

1-2,

and of

important,

focal

expository

statement

at m. 3.

These are

interpretive

con-

trols of

timing

and articulation

which

clarify,

almost sublimi-

nally,

the

requisite

effect

of

interdependence

between

mm. 2

and

3,

of mm. 1-2

as

preparing

m.

3,

and of

m.

3

as

arising

rom

mm.

1-2,

the

controversial onic chords a

preparatory pbeat,

a

"gathering"

nhalation,

a "lift" n

relation to the "down"

m-

pulse

which

follows,

to

which-and which-it

yields.

The

va-

lidityof themodestinterventionsrepresented nExample9 can

again

be corroborated

and

understood when

one

imagines,

in

performance,

their

opposites-for

example,

the

damaging

ef-

fect

of

rushing

nto m.

3.

The

speculative

notion of

articulation

un

pochissimo

enuto

associated with m.

2,

a

matter of

very

slight

hesitation,

is

pos-

ited

in

Example

9 as

contributing

n a subtle

way

to the

"down"

implication

of

the

subsequent

cello

entry;

such

an

intervention



16/17

FormalProcess

andPerformance 17

is

complemented

in

performanceby

deliberate

approach

o the

cello's

thematic

entry,

as

urged

above. The latter is conceived

as an incisive attack,albeit quiet and pliant,as at the entryof

the finale's theme:

something circumspectly

more than casual

indifference,

and with a determined orward

mpulse.

The

recurrence

of introductory

materials n another

ormal

context.

In the coda to the Eroica's

ourth

movement,

there

is

a

momentary,

discursive reference

to G

minor.

Following

the

characteristiccadential

IV

(m. 404),

Beethoven's bass

moves

up

chromatically, entatively

throughscale-degree

5,

to the G-

minordominant.

Thus

is

set

a

tonal basis

for

reappearance

at

m. 431 of the

introductory

material,

in a transformed ormal role and

tempo

(presto).9

There is

no context of

anticipativeexpectancy

here:

the course

of

conclusive

process

and

direction are not

unmis-

takably

established,

and the faster

tempo

is

itself

a

sign

of

per-

functory

reference,

a

framing

reminiscence n the context

of in-

exorable

final

resolution.

Moreover,

the

tonal element

is

appropriately

altered in

the

new context: as the movement's

firstpitchclass, D, is to BI, the introduction'sdestination,the

coda's

chromatically

derived G is to

ES,

the ultimate

goal.

In

the environment of

conclusion,

presto,

there

is

again

a

plunge

through

fifths,

now from G to

Eb.

This

process

achieves

the

final

tonic,

and a

powerful

last

recollection

of

the

theme's

pri-

mary

motive in

bassoons and horns

(m.

435).

Such a

rounding

(and

resounding)

recurrence

of heretofore

introductory

materialsmakes its

point:

its

rapidity

of relentless

drive,

its

imposing

sonorities,

and

especially

its inexorable

tonal direction-initiated from a delaying yet motivatingG-

reference,

so

deliberately

prepared,

the bass

G

itself reiterated

without

digression

for 12 bars

up

to,

and

into,

the

presto.

The

9See

also the

ongoing accompaniment

o

fugato

entries

in

mm.

277ff.,

an-

other instance of modified contextual

implication

of

redirected,

originally

n-

troductory

material.

chromaticascent

from Al

to D

requires

a

circumspect

marking

of

each

degree

in the

ascent,

with studied attention

to

Beethoven's phased crescendo (piano- graduallyto forte -

semprepiu

forte

-

fortissimo),

and with awareness

of its func-

tional

rhythmic

partitioning

from

m. 408:2 bars

2

-

2

-

1

-

1

-

1

-

3,

a

process

of acceleration

and

subsequent

retardation),

in

which

slight,

judiciously

supportive

modulations of

metro-

nomic

tempo may

well be indicated.

Over the extended

G-pedal,

there is

critically

an

explicit

down-scaling

of

dynamic intensity

which sets

a characteristic

perspective

of

dramatic,

radical contrast

for

the

abrupt

ortis-

simo andpresto. A correspondingmodulationof tempo at the

approach

to

m.

431,

pochissimo

ritardando,

is

probably

irresistible-and

prudently

restricted,

appropriately

n accord

with other elements of

process

as well

as

effective

in

modestly

enhancing

he

momentary

mpression

of

illusorydigression.

Fi-

nally,

the

coda's

stunning, ransposed

restatementof the move-

ment's first

measures,

texturally

uncomplicated

as

before,

car-

ries

out the

decisive,

headlong fifth-cycle

oward the

tonic,

its

reversed

processive

role,

as noted

above,

now

functionallyop-

posed to thatof itsorigin.This finalplunge clearlywantsan un-

qualified

empo,

as

swift

as

clarity

of articulationwill allow.

Summary

Comments

Interpretive

considerations

deriving

from the evaluation of

formal function

and

process

in

the

two

introductionsare of a

number

of

kinds,

involvinggeneral

approaches

as

well as de-

tails

of

tempo

and

articulation.

The

examples

point

up

the

critical

necessity

for

analysis

of

the natureof formalcontext,

suggesting

a

guiding nterpretive

conduct-here,

a

sense of

amplified upbeat,

a

conception

of

introductory

and

expository

functions in a

calculated,

appro-

priately

balanced

relation.

Following

rom

such a sense is a

con-

ception

of

thematic

entry

characterized

by

decisive

(if

tex-

turally

and

dynamically

subdued)

thrust

and

expository

assertion

distinguished

rom the

preceding,

tentative

anticipa-

tive

process

so

artfully disguised

in both

movements-in em-



17/17

18

Music

TheorySpectrum

phatic

sonorities

and,

at the finale's

opening,

in a

deceptive

tempo

of

driving but

fleeting)

momentum.

Among details of executionsuggestedas fittingthe stated,

general

appreciation

of functionand relation

have been certain

thoroughly

calibrateddifferences of

articulation,

ightly

regu-

lated sonorous

qualities

and

balances,

and controlled dura-

tional values

deliberately

estimated

in

the

light

of contextual

function

(the

latter

including

hat

of the

problematic

ermata,

an

expression

of

momentary

indefinite

hiatus

yet

of

intense,

palpable

connection

through

the

subsequent punctuation).

Fundamentally

critical s the

problem

of

avoiding nterpretive

intrusionswhichoverwhelmsubsequent hematicstatement n

the

anomalouscircumstances

f

"inverted"

dynamic

values,

or

which

result

n

a too

common,

diffidentunderstatement

f

the-

matic

entry,

in

both

movements reduced

in

sonorous

and tex-

tural conditions

of

ironically

stark,

and

easily eclipsed,

exposi-

tion.

I

have

suggested

that an all

but unnoticeable

"delay"

of

the first movement's thematic

entry-more

in

feeling

than

in

measurable ime-can be an

arresting

device of subtle nuance

contributing

o its affirmative

mport.

The Eroica

passagesemphatically

demonstrate hat

the ana-

lytical

evaluation of formal context

is

one

necessary

basisfor

conclusions

respecting

interpretive

details of metronomic

tempo,

surface modulations

of

tempo, precisely

calculated

qualities

of

articulation,

and

assessed,

deliberate continuities

within all

cofunctioning

elements.

The

consideration

of

inter-

pretive

questions

as to a

discerned

processive

role in

the formal

narrative

can,

with a

commensurate

analytical

comprehension

of other factorsof structure,helpto resolveproblemsof indeci-

sion about details of

performance,establishing

a rational

per-

spective

for

bringing

out elements and

processes

considered n-

tegral

to

the

meanings

of

structural vents in relation

to

formal

position

and

direction.

Of

course,

an

evaluation

of formal

significance

n the

Eroica

excerpts contrary

o that

developed

here

would,

presumably,

lead

to other

conclusions

about

fittingly

contributive

approaches

o

performances,

yet

demon-

stratingno less the vitallinks betweenanalysisandinterpretive

decision.

The sense

of

what

s

happening,

and

to what

formal,

struc-

tural,

expressive

end-an

awareness

grounded

firmly

in the

performer's

earned

conceptualization-becomes

a basis for

intelligent

and

intelligible

interpretation, eading

toward

pur-

poseful, clarifying

nterventions

and

tending

to

preclude

nap-

propriate

intrusions. The

Eroica

excerpts

are

patently

chal-

lenging specimens

for

analytical

evaluation

of the

ultimate,

conditioningparticulars f temporalpacingandcompatiblear-

ticulations

n

performance

which understands

and

illuminates

the

imperative

nterrelations

of

cofunctioning

musicalevents.

Does

it matter whether the

performer

s aware

of the

(often

subtle

and

at times

tenuous)

interrelations nd

materials

of mu-

sical

form and structure?

My

answer

s

unequivocal.

Certainly

no

justifiable

decision

respecting

the

manifold

possibilities

of

tempo

and

articulation,

of interventionor

the lack

of

it,

can

be

made without the underpinningof that systematicanalytical

discovery

which

yields

a

reasoned,

justifiable

determination

among

conceivable

possibilities

of

portrayal

n the

illusionof

spontaneous

rebirtheach

time

a

piece

is heard.

The

intuitive

mpulse,

fed

by

experience

yet

too often

unve-

rified and adventitious

as to the elements

of a

particular

con-

text,

may

indeed

"hit it

right";

but

the

thoughtful

nterpreter,

stirred

by

intellectual

curiosity

no

less

than

by untempered

eel-

ing,

will

seek the reassurances

f corroborative

ationale,

n

the

analytical exploration of putative, alternative conceptions.

And

the

analysis

which

nforms

nterpretation

ffords

a basis-

the

only

basis-for

resolving

the hard

questions

both

of

gen-

eral

interpretive

demeanor

and

of

those

elusive

refinements

of

detailwhich make

for

performance

which

is both

moving

and

illuminating.


BERRY_Formal Process and Performance in the 'Eroica' Introductions

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Transcript of BERRY_Formal Process and Performance in the 'Eroica' Introductions