Society for Music Theory

Formal Process and Performance in the "Eroica" Introductions

Author(s): Wallace Berry
Source: Music Theory Spectrum, Vol. 10, 10th Anniversary Issue (Spring, 1988), pp. 3-18
Published by: {oupl} on behalf of the Society for Music Theory
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Formal
in

the

Process
Eroica

and

Performance

Introductions

WallaceBerry
Those who look to music theory for guidance in performance are rightto expect more thangenerality.Given a reasoned
view of structure, to what particular interpretive decisions
might it be said to lead? What, for example, might the performer do in recognition and portrayalof an accepted analytical construct, allowingthat any particularstructuralcontinuity
or function can usually be served in a number of ways? Such
questions are all too often neglected in studies of structureand
interpretation;or they are treatedwith broadpronouncements
whose utility comes into serious doubt in particularcircumstances.1
That there can be divergent, reasonable concepts of structure in any given piece is a fundamentalrule of existence for the
analystunfetteredby bias. That unalterablefact of life accounts
in partfor the sometimes bewilderingcomplicationsof relating
analysis to performance. Another reason for such complications follows inescapably: a particularanalyticalconstructby
no means points to a singular,pursuantdirectionof realization;
the path from analysis to interpretivedecision is anythingbut

straightand narrow. One can readily observe that this fundamental principle is corroboratedin (at times extreme) differences among convincingperformancesof any piece.
To put this into the terms of a specificrealm of interpretive
decision: no general guidelines can be said to apply to all instances of any cited formalprocess-all retransitionalpreparations, all consequent phrases, all motivic correspondences,all
sequential developments. Nor can general guidelines.be adduced with respect to all instances of any given structural
process-register transfers, descendingprotolines, compound
melodies. Each piece demands its own argument,its uniquely
appositepossibilitiesof realization,whateverits commonalities
of form and structurein relationto otherpieces. And while performancescan indeed distort and suppressessential elements,
divergent interpretationscan satisfyinglyilluminate different
things. Janet Schmalfeldtnotes that three recordedrenditions
of a Beethoven Bagatelle achieve an indicated,desirableresult
in different ways: ". . . there is no single, one-and-only performance decision that can be dictatedby an analyticobservation."2

A preliminaryversion of this paper was presented as a lecture at the University of Alberta, Edmonton, in 1983.
'An exception is Janet Schmalfeldt's"On the Relations of Analysis to Performance: Beethoven's Bagatelles Op. 126, Nos. 2 and 5," Journal of Music
Theory29/1 (1985):1-31.

If, as commonly conceded, there is no "best" or "correct"

interpretationof a subject piece, there are nonetheless infinite
possibilities of misrepresenting,and of interpretiveintrusion,
2Schmalfeldt,28.

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MusicTheorySpectrum

so that analysismust often tell the performerwhat should not

be done. Or multiple meanings of a given musical event may
suggestan ideal of neutralexecution, especiallyas to such blunt
and potentially damaginginterventionsas dynamicintensification, allowingthe notes to speak plainlyand directlyfor themselves.
FormalContextas a Determinantin Performance
This paper considers a narrowlydefined problem of formal
significancein relation to performanceand pursuantdetails of
tempo and articulation-the two comprehensivecategoriesof
interpretivedecision-in two brief excerptsfrom Beethoven's
Symphony No. 3. For this purpose, I am thinkingof musical
form as to certainconsistentlyrelevantprocessesby which it is
expressed: those of preparation, of expository statement, of
transitionalbridging,of active development,and of closure, in
which prevailing element-processes incline toward resolutive
conditions.The place and functionof a musicalevent in the formal narrativeis often the clearestclue to interpretiveapproach.
Two preliminarycitations furtherillustratethe issue of formal function and pursuant interpretive approach in specific
contexts. One of Beethoven's surging developments is cited
first,as Example 1: it is a context characterizedby drivingacceleration corroboratedin the relative proportionsof sequential
grouping(Ex. la) as well as of motivicfragmentationandimitation, in stretto (Ex. lb).3 The characterizationof the development as accelerativemust refer also to complementaryfactors
of expansionin sonorityandtimbre,especiallywith entryof the
horns.
Suchpassagespose urgent, difficultquestionsof interpretive
conduct:Does the conductorgo along, by discreetacceleration
in metronomictempo? Or is well enough best left alone, intrinsic musical processes speaking for themselves while perform-

3Pertinent to the above is my "Rhythmic Accelerations in Beethoven,"

Journalof Music Theory22/2 (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 appropriateto resist inherenttendencies of acceleration, very subtly counteractingthem in tempo? I should find it
hard to imagine performance doing other than yielding to
Beethoven's explicit accelerativedrive in the mobile, developmentalcontext, confirmingmore thanenforcing(or, to be sure,
exaggerating)it, by a tightly controlled, slight accelerationin
metronomictempo. Yet it seems doubtfulthat generalanswers
to such questions are attainable, and it is manifestlyclear that
the understandingof structuralprocessaffordsthe only reasonable basis for their consideration.
In the Bach piece from which Example2 is drawn,there are
functionalchanges in rhythmsof harmonyand of step descent
spanningmuch of the structure,whose interioraccelerationsin
these rhythmsprobably signify for the performerfirmlycontrolled supportiveaccelerationsin real tempo.4
But at the end of the Prelude (Ex. 2a), followinga cadential
hemiola, Bach introducesmarked acceleration(Ex. 2b) in renewed step descent from the registerin whichprimarymelodic
activityhad originated.This final plunge takes place of course
in a much shorter time than that of its broaderprecedent, and
the governingprocess of closurein a context of harmonicrecession and stabilitydictates a bracingtempo and finalritardando
toward the fermata. A prime instructionhere again is the imperative of awarenessof formalcontext and directionas a factor in interpretivedecision.
TheEroica Introductions
I turn now to the problematicopening bars of each of the
outer movements of Beethoven's SymphonyNo. 3, with atten4Thereis an analysis of rhythmicprocesses in this piece in my "Dialogue
and Monologue in the Professional Community," College Music Symposium
21/2 (1981):92-99.

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FormalProcess and Performance 5

Example 1. Beethoven, SymphonyNo. 2 in D, IV, mm. 138-156

144
1.

139

-o

Fl.

Ob.

1.

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ft

continued

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Music Theory Spectrum

Example 1, continued
156

150

. ..

Fl.

,f_ i,tfrr f

lff

cresc.

rl4
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I

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fI

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FormalProcess and Performance 7

Example 2. J. S. Bach, Little Prelude, BWV 926, mm. 42-48

/W

,. .

-JJ

(I4

a.

I..,

-o k.JU

-q

i-

r -

WlJ,.J

.-

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I

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tion to their realization in light of inferred introductoryprocess.

Thefourth movement's initiatingsegment. The final movement's first eleven bars are here understoodto be explicitlyintroductory, notwithstandingtheir further role in bridgingthe
third and fourth movements, and a fleeting subsequent reminiscence of like material duringthe coda (see mm. 431-35). A
commandingsweep of precipitateaction unmistakablysets the
scene for the entry, at m. 12, of the theme which is, in recurrence and variation, to become the basis for the movement's
formal narrative. Many commentatorshave noted a provocative irony in what might be characterizedas an "inversion"of
typicalcontent in the relationsof certainelements of mm. 1-11
to those of the unequivocallythematic materialwhich follows:
loud to soft, mobile to relativelyimmobile, and dense to sparse,
in particular. To put the matter directly, the explosive

ti

Beethoven excerpt (Ex. 3) does not at its inception sound like

an introduction.Clearly, more usual introductoryprocedureis
that of relatively subdued (dynamicand other) intensities, uncomplicatedtexture, and slow tempo, yielding to comparative
animation and more vigorous content and activity. There are
thus, in both of the Beethoven examples and patentlyin that of
the finale, significantlyassertiveaspectsof structureatypicalof
introductoryprocess, a circumstanceleading to questions of
highlyproblematicinterpretivecontrol, yet in an expressiveattitude of intended, decisive spontaneity. Such controlis a matter of detailsof appropriatetemperingintervention.
One has the retrospective sense of momentary, capricious
contradictionin the fourth movement's initiatingjest; the listener, yielding to the impressionof vital content and accepting
appearances,"allows"that the main event is indeed underway,
only to "discover"shortly that the principalsubstanceof dis-

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MusicTheorySpectrum

Example 3. Beethoven, SymphonyNo. 3 in Eb, IV, mm. 1-15

FINALE
A

Allegro molto

Flutes
-

B.'WwM

--

'r

Oboes

V-)

Clarinetsin Bb .gm
^:kg-

Bassoons

------

&

-' yhJ ^

HornsI and II
in Eb
( v

lI

--4

(IM

Horn III in Eb

A
A

Trumpetsin Eb0

_
i

-----

Timpani in Eb,Bb

I
Violin I

i
Violin II

1-7ff

~~F->

t-II

Ji

Lk1

7-

-I

Viola

Cello and Bass

l'

^
ff

fl

Ir
L

J=

--t-

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FormalProcess and Performance 9

Example 3, continued

A I, L

r I

Ii

iff

^ ff A

J J

;4K..

J ;f
J?

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rfS
iff

if

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a

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,

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ff

~~~~~~~

'f
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~~~

,.iLr

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if
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7

pizz.

P~~~~~~

df

f
if

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p

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7^
i

10

MusicTheorySpectrum

course is yet to come, having been brilliantlypreparedby the

precedingvigorous outburst.But the sweeping allegrois brief,
peremptory, and lackingin thematicsubstance(the juxtaposition of nonthematic and thematic can be felt as a criterionof
up-downrelation). It points, moreover, inexorablytowardthe
primarydominantof El, sustainedand intensifiedin the characteristicallyanticipativefermataof m. 11, clearlydeferringto
the variationtheme, adumbratedin its bass alone, and like the
opening theme of the firstmovement initiallya tonic arpeggiation at the foreground.In the end, its dynamicimplicationsnotwithstanding,the passage'sharmoniccontent, rhythmicpunctuation, and extreme brevity denote an unmistakably
subordinaterole in relation to the manifestlypredominant,if
initiallytenuous, materialwhich follows and is to prevailvirtually throughoutthe movement. Thus, while introductoryprocess characteristicallyinvolves certain conditions of tentativeness, any ambiguities of formal significanceare clarified, as
here, when the materialin questionis supersededby clearlyexpositoryentry. The provocativeBeethoven example is, in fact,
conformantnot only in the earlyemergenceof unequivocalthematicexposition but also in vital essentials, as suggestedabove,
typically receding toward an interim cadential dissonance
which, in turn, leans towardthe primarytonic and 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 typicalin its ultimatetonal focus, rhythmiccaesura, melodic descent, and preparatoryfunctionintensifiedby
fermata.Like other introductions,it is well characterizedas an
amplified, "pointing"upbeat, the concept of metric anacrusis
unmistakablyapplicableto the eleven-measurespan, as indeed
it can be to much largerspans. Introductoryprocessis thus embodied here in both characteristicand exceptionalelements. So
general a characterizationof tonal introductoryprocess as that
of fundamentalharmonicmotion to a cadentialdominantis, in
fact, ultimately applicable even in exceptional instances in
which, in contrastto the common tendency of relativelydirect

and uncomplicatedmotivic, textural,and rhythmiccontent, we

find elaborate, spaciousdevelopment-as, for example, in the
opening of Beethoven's next symphony.That largerspecimen
is reducible to a fundamental, protractedmotion toward the
primarydominant, temporallyextended.
It is inconceivable,to applythe useful test of imaginedcompositional 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
prevailin the finale-variance in this case coincidentwith precipitate, swift tempo and other elements of dramaticvigor preceding entry of the unpretentiousvariationtheme and following the scherzo's dynamic development and powerful coda.
Indeed, the variationtheme which is the finale'sconstantsubject is to be introducedgradually,sparsely, unobtrusively;the
natureof its appearance,a basisfor Beethoven's stagedexpository unfolding, thus demands introduction, and Beethoven's
solutionis, to put it mildly, at once imaginativeandideal in content. Its active rhythmic surface is in direct contrast to both
scherzo and upcoming theme; moreover, it moves quickly,
powerfully, and inevitably beyond its superficialdeviance to
El,:V in preparationfor the primarytheme.
Example4 exposes the tonal content of the openingsegment
as far less errantthan it at firstappears:it is comprised,indeed,
of an inexorableplunge of tonally compellingfifthsincorporating six of the seven diatonicpitch classesof El major, as represented in a digest of actual pitches of relevant instrumental
partsgiven below the mainbody of Example4. In this sense the
apparently circuitous tonicization of G minor functions in a
very conventionalharmonicsuccessiontowardEb: V/III-IIIVI-II-V-I. The sweep is thus powerfullydirectedin a context
of irrepressiblelogic and unity, while sufficientlyvariantto offset surroundingmaterials.
The above-noted factors are evident in Example 4, as are
other aspectsof extreme mobility. Among the latter are a rapid
fall and rise in pitch, and with the turn of directiona functional

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FormalProcess and Performance 11

Example 4

7
^

8
I

11

10

fI

ffH

, f

V
Allegro molto

mm.

:-FR

ff

-p

5l
f:

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of

if

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if

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f7

lbof

k~~~~IZ
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if

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'III

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vl _n.vc.

klv

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via.

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Y
v

12

MusicTheorySpectrum

change in texture as strict doublingsgive way to diversitiesof

content involving modest imitations (see brackets) as the ascent takes place; these are scored for sharplycontrastingtimbres culminatingin sforzato, accelerated exchanges between
stringsand winds.
At the same time, the structureof these eleven barsinvolves
vitallyimportantfactors of retardationin its second phase: the
abandonment of sixteenth notes (the rhythms of m. 6 are a
transitionalstage in this process); the now uninterruptedV;
longer intervals of attack rhythmwithin each orchestralbody
(against motivating antiphonal responses between orchestral
choirs, in counteractive quarter-note values); the abandonment of staccato articulationsat m. 10 in favor, presumably,of
slightlylonger values; and of course the fermata.
Interpretiveapproachand detail in thefinale's introduction.
The example demandsa bold entry, in keeping with its character of breathtakingsummons involving ultimatelyvery direct
texturaland tonal process. Yet, despite its dramaticsweep, fortissimo, and rapid articulations,the sense of the problematic
passage is to be conveyed as introductoryin its relation to the
expository statement which follows. How can a realizationbe
effected which acknowledges, and avoids denial of, the passage's tentative introductoryrole?
Apart from relevantdetails of execution, a general, attitudinal perspective can be suggested in analogyto the physicalact
of inhalation, an easily appreciablereference implying, in the
requisite characterof upbeat, some essentials of fitting interpretationin such a context. Or to imaginethe (of courseunrealizable, yet conceivable) physical act of conductingthe entire
passageup can be persuasivelysuggestive:the kinetic, internalized consciousnessof upbeat, and thus of the concretelyimagined sensation of preparatoryfunction, can be engendered in
the mental imageryof an inflatedup-gesture.Thus, the present
example, with its inexorable drive, rapidarticulations,and dynamic intensity, is appropriately conceived, in general approach and attitude, as nevertheless tentative, anticipative,
and preparatory,in relation to the thematic exposition which
follows in ironicallybare, subduedstringpizzicati.

And what of interpretivedetails suitable to such a general

concept? The implicationof ambivalencerequiresthat the fortissimonot be exaggeratedin too ponderousan initialattack;it
demands too, and corroborates, the swift tempo-allegro
molto, facilitatedby the simplicityof texture. Furtherelements
of control, and of clarity, are realizedin incisivelybowed articulationsof the risingsixteenths, and restrainedarticulativeemphasis on the tonally vital, V-arpeggiatingattacks of mm. 611-in effect a slight holding of tempo at the immediate
approachto the fermata. (See Ex. 5 and its explanatorynotes.)
All of the above transpiresin a context of, at the same time,
apparentlyspontaneous, uninhibitedabandon, albeit impeccably measured. Probablythis qualityof abandon, and of seemingly deviant intrusion, requires that the break between third
and fourth movements be relativelybrief.
The firstpitch class to point stronglytowardEb is the Al, of
m. 4, where II will yield to V7;Beethoven gives this note agogic
emphasis, but it yet requires a strong, steadying bass attack,
and subsequent underscoringof components of the emergent
V7, as representedin Example 6, where the symbol [-] denotes
subsidiarystress in relation to the more pronounced[A].
A deliberate-not exaggerated-exposure of essentialharmonic factors, as indicated in Example 6, contributesto the
sense of preparatory"up," vital to anticipatoryfunction, as do
the controlled "stretching"of time at the approachto the fermata (Ex. 5) and of course the fermataitself. Further,truestaccato articulationsin mm. 8-9 yieldingto articulationsof almost
full length in m. 10 (Ex. 5), contributeto the graduatedprocess
of anticipativeretardation. The punctuationindicated in Example 5 is criticalfollowing the introductoryeleven measures,
lest the unpretentiousthematicentrybe overwhelmedby sheer
sonority, and to establisha "frame"for that entry.
How long is the fermata?It can be instructivedeliberatelyto
imagine one that is too long or too short-one that is of an absurd extreme or that is slightly overdone or underdone. An
overdrawnfermatawould contributedangerouslyto the possibility of overwhelmingthe thematicelement at m. 12, and to a
severanceof relationbetween mm. 11 and 12. And an underes-

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FormalProcess and Performance 13

Example 5
]

[I f-Vf
m.8

-t

)LA I

-I
ff\****

JJIj

.f of
I

pizz.
pizz.-->v),

I 1n^
l'fi
[ I

]
[}

rf

J A

of

sf
df
* [pochiss. rit. -----------------]

* The
pochissimoritardandoas a 'phasing'of the fermata.
** Down:
a decisive, yet piano attackinitiatingclearforward
and following a brief but pronouncedbreak.
thrust,
*** The 'antiphonal'sforzandi,a factorin holdingtempo.
**** Bring out as a motivating imitation and local Varpeggiation.

Example 6
m. 4

[n n]
[movendol

-4-K

Fea

i-r"rtf;iI
(ff)

H-3

[-]

[-]

W
I
09kI r- w I - - O'P' OP
w- I I r-

punctuationof a furtherrest and slight break, all in the context

of a scarcely appreciable tempo pochissimo ritardando,in a
condition of suspended activitynever symmetricallymeasured
in relationto establishedpulsation. It must be emphasizedthat
such a specificationarises as a preliminaryconceptualization,
and is assuredlynot a formulaicsolutionnecessarilyto be replicated with each experience.
A knowing treatment of the thematic entry, by distinction,
contributesreflexivelyto the impressionof introductoryfunction in the opening passage. Thus, its slightlydelayed attackis
one of insistent clarity, if delicacy, of deliberate articulation.
The theme's exposure and importance are, ironically, underscored by utter contrast of dramatic, radical change, in "inverse" accent;indeed, the listener'sattentionis capturedby the
sheer effort of hearing the theme's "negative"emergence and
decisive but modestly colored resolution of the potent dissonance on which the introduction has, typically, ended. The
briefvoid between mm. 11 and 12 servesto expose the thematic
inception, and to underscore, as does the fermata, the dissonance and expectancy of the emphatic, iterated V. The thematic entry is conceived affirmatively"down," in response to
the preceding "up"-pointingpreparation.
Thefirst movement. In the opening of the first movement
(Ex. 7) there are, quite obviously,very strikingcontraststo that
of the finale, although both segments can reasonablybe conceived as in disparateways introductory:each preparessubsequent thematic exposition.5 The first movement example is

[A]

timated durationcan have analogouseffect in a differentway,

while awkwardlyimpairingthe sense of secure balance essential to a poised subsequententry. The illustrationsuggeststhat
a conceivableinterpretationwould 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 EdwardCone, whose originalanalysisof the two chordsas
"a completely integrated introduction" is qualified in a subsequent publication. See Musical Form and MusicalPerformance(New York: W. W. Norton,
1968), 23; and "Musical Form and MusicalPerformanceReconsidered," Music Theory Spectrum7 (1985):156-57. In his distinction, the beginning of the
Eroica finale would, presumably,be a true anacrusticintroduction;that of the
firstmovement he deems "neither upbeat nor downbeat"--a "metricalintroduction," which "establishesa metricalbackgroundfor what is to follow."

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!!

14 MusicTheorySpectrum

Example 7. Beethoven, SymphonyNo. 3 in Eb, I, mm. 1-7

Allegrocon brio (J. = 60)

,I

Flutes

x:

Oboes

fa

Clarinetsin Bb

f.
Bassoons

/L~
HornsI and II
in Eb

i ?t
V

(I-

Timpani in Eb,BbI0

Trumpetsin Ebb

>

-~~
~Ir

-'

I-

i ,

f
= :

r
i'

>

-N

Horn III in Eb

4i R

I
W

--

I
iI

Violin I

I0 :--:

1
(

1:

,=2?-

Violin II

i'}~'$~~~~~~~~~~~~~~
4~f

~.|~

ccresc.

,~crsP

Viola
P~.,:y.
t)f/b

Cello and Bass

f
9:1,\
ali
J
f

ir

~'
>

|cresc.

'

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t.
cresc.

cresc.

FormalProcess and Performance 15

atypicalin a number of ways, notably in its rhythmicand harmonic content.6Measures1-2 of the firstmovementare simply
a reiteration of the tonic chord, anticipatingthe forthcoming
theme's tonic arpeggiation.The more typicalintroductoryprogressionto V, "expecting"I, is thus absentin the Eroicabeginning.
The chords, in additionto adumbratingthe theme to come,
thus unequivocallyestablishthe tonic, a factornot irrelevantto
the theme's earlytonal wavering.The absence of characteristic
dissonance notwithstanding, the chords are a theme-setting,
tonic-setting pronouncement, terse but insistent. In their intense, tutti articulationand full texture they establish a perspective of characterand expressiveattitude,in two barsimplying and boldly announcing the symphony'scontext of power
and magnitude. And as often in the considerationof structure
and effect in music, it is instructiveto think of the piece otherwise (i.e., without these chords) to appreciatehow imperative
is their functionin the preparationof Beethoven's sparselytextured thematic exposition.
As in the finale, the relation between introductionand expository statement, while manifestly "up-down"(see Ex. 8),
with decisive melodic and rhythmicthrustat m. 3, is again one
of provocative irony, of an "inversion"of usual attributesin
that the thematic "down" is in a setting of greatlyreduced dynamic intensity, texture, and orchestral sonority, if of latent
vigor and restless mobility. Yet a criticalsense of anticipative
"up" in the firsttwo chords (which again one can usefully conceive in the physicalanalogyof inhalation,or in that of the conductor's upbeat gesture), a sense of preparatoryfunction, of
leading to the main event, is to be conveyed in performance.
Realizationof theopeningchords.Again the preliminaryunderstanding of formal place and function leads to vital

6Comparethe harmonicprogression which constitutes a similarlybrief introductionto the firstmovement of Beethoven's StringQuartet, op. 59, no. 2,
or the analogous opening of Brahms'sSymphonyNo. 3.

questions-general and immediate-of realization; indeed,

with respect to the Eroica chords, the mannerof rendition, in
concept and detail, finallysuggests the interpreter'sanswerto
(or confusion about) the controversialissue of functional,formal significance.With respect to the element of dynamicintensity, the sense of introductoryfunctionrequiresas in the opening of the finale, a degree of restraint, an avoidance of
exaggeratedarticulation,the forte dynamiclevel notwithstanding.7Beethoven's dense sonorities initiate the movement, and
the symphony, with commandingpower; yet, their overstateExamole 8

er- -b

Allegro con brio

La

-d.

/
f0i. .
.2
'9bik
i

-f

>
A>

A>
A f^r?-\
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.)

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16

MusicTheorySpectrum

ment, in violation of introductory subordinacy, can easily

overwhelm-"reverberate" into-the approaching theme.
The precarious balance between introductionand exposition
can be compromisedby even so slighta factorof overstatement
as too pronounced, too deliberate arpeggiationsof the string
chords.
In such a constructof relation between mm. 1-2 and m. 3,
the immediate, deliberate surfaceactivityof the theme's entry
is a vital, compensatingfactor, an aspect of its "down"significance, where the piano dynamic level and reduced texture are
again conceivable as a kind of inverse accent with which one
can meaningfullyassociatethe psychological"effort"of assimilation. The thematic entry, so viewed, necessitates(again as in
the finale'scorrespondingevent) a mannerof suppressedvigor
and insistent clarity, not merely in spite of the restricteddynamic condition (piano), but usingthat element as an aspect of
intense control of latent, potentiallyvital content. The contrast
of forte-pianocan thus drawattentionto the expositoryentryat
m. 3, in a conservativeintroductoryforte (the tuttiitself affording sonorousemphasis)followed by an incisive, yet piano, cello
attack at m. 3 against driven, cleanly articulated,accompanimental activity in the second violin and viola. The reverse of
such an approachseverely attenuatesthe inferredhierarchical
relations of formal function. Relevant, althoughsubsequently
qualified,is Cone's originalview of these bars as an "expanded
upbeat," suggestingavoidanceof the "heavy accentswe so often get."8Clearly, to exaggeratethe articulationsof the chords
is to negate their anticipative,tentative role.
The chordsare short (as Beethoven directs),yet not so short
as to compromise the decisive solidity imperativeto the symphony's majesty of import. Tempo of course is steady in these
bars: it is far too early for any modulationsof pace, although
the possibilityof a contextuallyfitting,all but unnoticeable,adjustmentin m. 2 is conjecturedbelow.

8Ibid.

Example 9
[pochiss. tenuto ****
***
Allegro con brio *
[staccato
Piustol **

MieWr

\I

x x \I
>

[a non
troppo]
non troppo]
f f [ma

r
r

*
Steady, unmodulatedtempo.
* The
staccato chordsin balancethroughoutthe orchestra.
*** Down: assertive, if piano, theme entry; an incisive cello
Eb, clearly ongoing.
**** Very slight, virtuallyunnoticeable, hesitation enhancing
the accent which follows?

Example 9 is a summaryof interpretiveconceptualization

and intervention deemed to serve the necessary relational
balance- adjustmentsof pace, articulation,and timingso subtle as to defy the listener's awareness, yet sufficientto underscore the sense of expectancy in mm. 1-2, and of important,
focal expository statement at m. 3. These are interpretivecontrols of timing and articulationwhich clarify, almost subliminally, the requisite effect of interdependencebetween mm. 2
and 3, of mm. 1-2 as preparingm. 3, and of m. 3 as arisingfrom
mm. 1-2, the controversialtonic chordsa preparatoryupbeat,
a "gathering"inhalation, a "lift"in relationto the "down"impulse which follows, to which-and which-it yields. The validityof the modest interventionsrepresentedin Example9 can
again be corroboratedand understoodwhen one imagines, in
performance,their opposites-for example, the damagingeffect of rushinginto m. 3.
The speculativenotion of articulationun pochissimotenuto
associated with m. 2, a matter of very slight hesitation, is posited in Example 9 as contributingin a subtle way to the "down"
implicationof the subsequentcello entry; such an intervention

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FormalProcess and Performance 17

is complemented in performanceby deliberateapproachto the

cello's thematic entry, as urged above. The latter is conceived
as an incisive attack, albeit quiet and pliant, as at the entry of
the finale's theme: something circumspectlymore than casual
indifference, and with a determinedforwardimpulse.
The recurrenceof introductorymaterialsin anotherformal
context.In the coda to the Eroica'sfourthmovement, there is a
momentary, discursive reference to G minor. Following the
characteristiccadential IV (m. 404), Beethoven's bass moves
up chromatically,tentatively throughscale-degree5, to the Gminor dominant.
Thus is set a tonal basis for reappearanceat m. 431 of the
introductorymaterial, in a transformedformalrole and tempo
(presto).9There is no context of anticipativeexpectancyhere:
the course of conclusive process and direction are not unmistakablyestablished, and the faster tempo is itself a sign of perfunctoryreference, a framingreminiscencein the context of inexorable final resolution. Moreover, the tonal element is
appropriatelyaltered in the new context: as the movement's
firstpitch class, D, is to BI, the introduction'sdestination, the
coda's chromaticallyderived G is to ES, the ultimate goal. In
the environmentof 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 primary motive in bassoons and horns (m. 435).
Such a rounding(and resounding)recurrenceof heretofore
introductorymaterialsmakes its point: its rapidityof relentless
drive, its imposing sonorities, and especially its inexorable
tonal direction-initiated from a delaying yet motivating Greference, so deliberatelyprepared,the bass G itself reiterated
without digression for 12 bars up to, and into, the presto. The

9See also the ongoing accompanimentto fugato entries in mm. 277ff., another instance of modified contextual implication of redirected, originallyintroductorymaterial.

chromaticascent from Al to D requiresa circumspectmarking

of each degree in the ascent, with studied attention to
Beethoven's phased crescendo (piano - gradually to forte sempre piu forte - fortissimo), and with awarenessof its functional rhythmicpartitioning(fromm. 408:2 bars- 2 - 2 - 1 - 1 - 1 3, a process of acceleration and subsequent retardation), in
which slight, judiciously supportive modulations of metronomic tempo may well be indicated.
Over the extended G-pedal, there is critically an explicit
down-scalingof dynamic intensity which sets a characteristic
perspective of dramatic,radicalcontrastfor the abruptfortissimo and presto. A correspondingmodulationof tempo at the
approach to m. 431, pochissimo ritardando, is probably
irresistible-and prudentlyrestricted, appropriatelyin accord
with other elements of process as well as effective in modestly
enhancingthe momentaryimpressionof illusorydigression.Finally, the coda's stunning,transposedrestatementof the movement's firstmeasures, texturallyuncomplicatedas before, carries out the decisive, headlong fifth-cycletoward the tonic, its
reversedprocessive role, as noted above, now functionallyopposed to that of its origin. This finalplunge clearlywants an unqualifiedtempo, as swift as clarityof articulationwill allow.
SummaryComments
Interpretiveconsiderationsderivingfrom the evaluation of
formal function and process in the two introductionsare of a
number of kinds, involving general approachesas well as details of tempo and articulation.
The examples point up the criticalnecessity for analysisof
the nature of formal context, suggestinga guidinginterpretive
conduct-here, a sense of amplifiedupbeat, a conception of
introductoryand expository functions in a calculated, appropriatelybalancedrelation. Followingfrom such a sense is a conception of thematic entry characterized by decisive (if texturally and dynamically subdued) thrust and expository
assertion distinguishedfrom the preceding, tentative anticipative process so artfully disguised in both movements-in em-

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18

MusicTheorySpectrum

phatic sonorities and, at the finale's opening, in a deceptive

tempo of driving(but fleeting) momentum.
Among details of execution suggested as fittingthe stated,
general appreciationof functionand relationhave been certain
thoroughlycalibrateddifferencesof articulation,tightly regulated sonorous qualities and balances, and controlled durational values deliberately estimated in the light of contextual
function (the latter includingthat of the problematicfermata,
an expression of momentary indefinite hiatus yet of intense,
palpable connection through the subsequent punctuation).
Fundamentallycriticalis the problem of avoidinginterpretive
intrusionswhich overwhelmsubsequentthematicstatementin
the anomalouscircumstancesof "inverted"dynamicvalues, or
whichresultin a too common, diffidentunderstatementof thematic entry, in both movements reduced in sonorous and textural conditionsof ironicallystark, and easily eclipsed, exposition. I have suggested that an all but unnoticeable "delay"of
the first movement's thematic entry-more in feeling than in
measurabletime-can be an arrestingdevice of subtle nuance
contributingto its affirmativeimport.
The Eroicapassagesemphaticallydemonstratethat the analytical evaluation of formal context is one necessary basis for
conclusions respecting interpretive details of metronomic
tempo, surface modulations of tempo, precisely calculated
qualities of articulation, and assessed, deliberate continuities
within all cofunctioningelements. The considerationof interpretive questions as to a discernedprocessiverole in the formal
narrativecan, with a commensurateanalyticalcomprehension
of other factorsof structure,help to resolve problemsof indecision about details of performance,establishinga rationalperspective for bringingout elements and processesconsideredintegralto the meaningsof structuralevents in relationto formal
position and direction. Of course, an evaluation of formal
significancein the Eroica excerpts contraryto that developed

here would, presumably, lead to other conclusions about

fittinglycontributiveapproachesto performances,yet demonstratingno less the vital links between analysisand interpretive
decision.
The sense of whatis happening, and to what formal, structural, expressive end-an awareness grounded firmly in the
performer'slearned conceptualization-becomes a basis for
intelligent and intelligible interpretation,leading toward purposeful, clarifyinginterventionsand tending to precludeinappropriate intrusions. The Eroica excerpts are patently challenging specimens for analytical evaluation of the ultimate,
conditioningparticularsof temporalpacingand compatiblearticulationsin performancewhich understandsand illuminates
the imperativeinterrelationsof cofunctioningmusicalevents.
Does it matterwhetherthe performeris awareof the (often
subtle and at times tenuous) interrelationsand materialsof musical form and structure?My answeris 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 systematic analytical
discovery which yields a reasoned, justifiable determination
among conceivable possibilities of portrayalin the illusion of
spontaneousrebirtheach time a piece is heard.
The intuitiveimpulse, fed by experienceyet too often unverified and adventitious as to the elements of a particularcontext, may indeed "hit it right";but the thoughtfulinterpreter,
stirredby intellectualcuriosityno less thanby untemperedfeeling, will seek the reassurancesof corroborativerationale,in the
analytical exploration of putative, alternative conceptions.
And the analysiswhichinformsinterpretationaffordsa basisthe only basis-for resolving the hard questions both of general interpretivedemeanor and of those elusive refinementsof
detail which make for performancewhich is both moving and
illuminating.

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