Topics and Harmonic Schemata: A Case from Beethoven. In *The Oxford Handbook of Topic Theory.* Ed. Danuta Mirka (2014), pp. 381–414.

CHAPTER 14 TO P IC S A N D HA R M O N IC S C H E M ATA A Case from Beethoven VASILI BYROS Example 14.1 displays three diferent realizations of the harmonic and scale-degree schema that Leonard Meyer (1973; 1980; 1989) termed the 1–7, 2–1. he pattern is one among several types of “changing-note schemata,” which are united by a shared, underlying harmonic statement–response parallelism of I–V, V–I, and a rhyming scale-degree progression in the top-voice: 1–7, 2–1; 1–7, 4–3; 3–2, 4–3, and so forth. Frequently used as the presentation phrase of a “sentence” (Caplin 1998), the 1–7, 2–1 is treated identically in these three excerpts from Meyer’s Style and Music (1989), with respect to syntax, structure, and formal function. And yet, their expression could not be more disparate. he Haydn symphony example is a siciliano with an overall pastoral sentiment; the Mozart quartet a bourrée, with march and fantasia characteristics, and Sturm und Drang in afect; and the Beethoven trio a sarabande in the Romanza style. In none of these cases is the afective reference necessary for an understanding of the 1–7, 2–1 syntax on its own terms: as grammar. Nor, the other way round, is the stylistic and generic expression or afect of each theme contingent on the underlying harmonic syntax in any way. Much like the relations between topics and formal functions (Caplin 2005; this volume), topics and harmonic schemata do not signiicantly correlate in absolute terms, insofar as a given schema does not require a particular topical realization and vice versa. Examples of this topical variability of schemata (and the schematic variability of topics) are readily available in music of the later eighteenth century. he relative autonomy of the two domains is relective of a broader conceptual independence of musical syntax from musical semantics. Koi Agawu (1991) articulated this distinction between music’s intrareferential and extrareferential stylistic symbols—following the linguistic and literary theorist Roman Jakobson (1971)—in terms of “introversive” versus “extroversive semiosis.”1 his relative autonomy notwithstanding, neither schemata nor topics remain ends unto themselves, insofar as both domains equally igure in the late eighteenth-century communicative channel (Mirka 2008). Topics and harmonic schemata are assemblies of musical style symbols that interact in Mirka190214OUS.indb 381 7/17/2014 9:07:06 AM 382 Vasili Byros EXAMPLE 14.1 hree topically diferentiated versions of the 1–7, 2–1 schema from Meyer, Style and Music (1989), 3 (ex. 1.1a), 4 (ex. 1.1b), and 53 (ex. 2.2f): (a) Haydn, Symphony No. 46 in B major, ii, mm. 1–4; (b) Mozart, Piano Quartet in G minor, K. 478/i, mm. 1–8; (c) Beethoven, Trio for Clarinet, Cello, and Piano in B lat major, Op. 11/ii, mm. 1–8. (a) (b) (c) both syntactic (sequentially structured) and semantic (referentially structured) dimensions to some communicative and expressive end.2 here exist no sharp boundaries between them, either in categorial or pragmatic terms. hat is, in respect to both categorization and language use, syntax and semantics interface in what cognitive linguists call a syntax-lexicon continuum—“a continuum of symbolic structures” (Langacker 1987: 1991; see also Zbikowksi 2001: 138). My contribution in this chapter illustrates that, in the case of Beethoven, the musical equivalent of this continuum enables the communication of a powerful philosophical message in the “Eroica” Symphony, Op. 55 (1803–4), one that involves the spiritual consequences of sufering, self-sacriice, and death. “Dies ist Symphonik als Drama,” says Roger Norrington, in a Konzerteinführung for a series of performances with the Radio-Symphonieorchester Stuttgart (2002). A speciic interfacing of topics and harmonic schemata provides the structural and expressive basis for communicating a cultural unit of “abnegation,” with its connotations of “religious drama” (Hatten 1994). he nature of this interfacing involves, on the one hand, the musical equivalent of form–meaning pairs: in cognitive linguistics all grammatical constructions are conceived as amalgams of form and content that vary in terms of their lexical Mirka190214OUS.indb 382 7/17/2014 9:07:08 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 383 speciicity (Stefanowitsch and Gries 2003; Langacker 1998). he musical equivalents of form–meaning pairs are schema–topic amalgams: as instances of music-grammatical constructions, harmonic schemata also contain lexical signiicance in both “symbolic” and “indexical” capacities (Monelle 2000: 14–19; ater Peirce 1931–58). he expressive genre (Hatten 1994) of the “Eroica” emerges from Beethoven’s use of a particular schema–topic amalgam, which pivots on the le–sol–i–sol schema (Byros 2012, 2009). he le–sol–i–sol is an instance of harmonic grammar that intersects the semantic world of the ombra topic (Ratner 1980; McClelland 2012), with its mortal, funereal, and sacriicial connotations. Its extramusical references are not inherent, however, but rather emerge under speciic contextual and deictic conditions. he compositional strategies that produce these conditions involve musical realizations of the principle of “markedness” irst outlined in Michael Shapiro’s he Sense of Grammar (1983) and adapted in Robert Hatten’s Musical Meaning in Beethoven (1994). he extroversive semiosis of musical grammar is afordant, emerging from its marked use in compositional context. In this way, the syntactic and semantic characteristics of schemata and topics not only interface within hybrid structures that shade into both categories (categorial), but through their relative independence they also powerfully interact in the communicative channel (pragmatic) to produce numerous “correlations,” both positive and negative, between structure/form and expression/content (Hatten 1994; adapted from Eco 1976). In the “Eroica,” the correlations produced by the schema–topic interface are the basis for communicating what Hatten (1994) calls a “tragic-to-transcendent” expressive genre characteristic of music-spiritual drama. he drama begins with a modulation to G minor that transpires in mm. 6–9 of the opening theme. his modulation was the centerpiece of an earlier case study on the historical perception of tonality, which drew on certain aspects of the symphony’s abstract structure and their reception history (Byros 2012; 2009). he le–sol–i–sol is the cause of the modulation. his pattern features a distinctive chromatic turn of phrase in the bass oriented around the dominant, ♭6–5–♯4–5, with reiterations of scale degrees 1 and 3 in the upper voices. Example 14.2 shows an abstract representation of its most common form: as seen, the irst three stages result in a chromatic expansion of predominant harmony, with a composing-out of an augmented sixth as a diminished third in the bass, ♭6–5–♯4, which resolves inwardly onto the dominant. he diminished third in the bass renders the schema a chromaticized variant of what Italian musicians in the eighteenth century called a cadenza lunga (“long cadence”), whose bass oten traverses a 6–4–5 scale-degree progression as part a perfect authentic or half cadence (Sanguinetti 2012: 107–10). As a closing device, the le–sol–i–sol igures among what Heinrich Christoph Koch described as “punctuation formulas” (interpunctischen Formeln), “punctuation igures” (interpunctische Figuren), or “punctuation marks” (interpunctische Zeichen) for realizing one of several “principal resting points of the mind” (Hauptruhepuncte des Geistes).3 In a sonata- or concerto-form context this oten Mirka190214OUS.indb 383 7/17/2014 9:07:08 AM 384 Vasili Byros EXAMPLE 14.2 Le–sol–i–sol schema: abstract representation. involves what Koch detailed as the Halbcadenz and Cadenz.4 hese are structurally weighted caesuras that respectively correspond to what James Hepokoski and Warren Darcy (2006) call the “medial caesura” half cadence of a transition, and the perfect authentic cadence that closes the second theme: the cadence of “essential expositional closure” (EEC) in the exposition, and the cadence of “essential structural closure” (ESC) in the recapitulation. Example 14.3a represents a typical Halbcadenz usage of the le–sol–i–sol in the irst movement of Haydn’s “Clock” Symphony (1793–94), speciically at the medial caesura of its recapitulation. Example 14.3b illustrates its Cadenz usage in Haydn’s String Quartet in D major, Op. 50 No. 6 (1787). his quartet passage also exempliies a central harmonic and tonal feature of the schema, namely its frequent use to efect a modulation up a major third. Haydn’s Cadenz in D major is preceded by a brief episode in B lat at mm. 140–44, which issues from an earlier deceptive cadence onto ♭VI at m. 139. Following several exchanges with its own dominant, B lat is reinterpreted from a tonic to a submediant where the le–sol–i–sol begins its semitonal descent. Because of its ability to eiciently produce such a modulation, the schema oten appears in structurally and expressively signiicant modulating contexts, both in sonata- and concerto-form environments (see Byros 2012: 301–5; Byros 2009: 166–69, 292–96). Analysis of the le–sol–i–sol in a musical corpus of roughly three thousand musical works composed between 1720–1840 revealed a population of 550 instances that Mirka190214OUS.indb 384 7/17/2014 9:07:08 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 385 EXAMPLE 14.3 Usage of the le–sol–i–sol schema: (a) Halbcadenz usage in Haydn, Symphony No. 101 in D major, “Clock,” i, mm. 240–46; (b) Cadenz and modulating usage in Haydn, String Quartet in D major, Op. 50 No. 6, “he Frog,” mm. 138–49. (a) (b) historically peaks in the 1790s, the decade immediately preceding Beethoven’s composition of the “Eroica” Symphony (Byros 2012: 311–13).5 hese details suggest that a contemporary listener would be prompted to hear a G-minor modulation in mm. 6–9 of the opening theme on account of perceiving these bars as yet another instance of the harmonic schema (Example 14.4a). he le–sol–i–sol is evidently the generic stylistic context and grammatical symbol in the communicative channel that caused Friedrich Rochlitz, the editor of the Leipzig Allgemeine musikalische Zeitung, to momentarily hear the “Eroica” as a G-minor symphony that begins in medias res. In a review of the symphony from Mirka190214OUS.indb 385 7/17/2014 9:07:09 AM 386 Vasili Byros 1807, Rochlitz casually describes mm. 7–9 of its opening theme as having “formally” modulated to G minor. he symphony begins with an Allegro con brio in three-quarter time in E♭ major . . . Already in m. 7, where the diminished seventh appears over C♯ in the bass, and in m. 9, where the 46 chord appears over D, the composer prepares the listener to be oten agreeably deceived in the succession of harmonies. And even this preludizing deviation, where one expects to be led formally to G minor but, in place of the resolution of the 64, inds the fourth led upward to a ith, and so, by means of the 65 chord, inds oneself unexpectedly back at home in E♭ major—even this is interesting and pleasing. Der Anfang dieser Symphonie macht ein Allegro con brio im Dreyvierteltakt aus Es-Dur. . . . Schon im 7ten Takte, wo über cis im Basse der verminderte 7men, und im 9ten Takte, wo über D der 64ten-Accord vorkommt, bereitet der Verf.[asser] den Zuhörer vor, ot in der Harmonieenfolge angenehm getäuscht zu werden; und schon diese, gleichsam präludirende Abweichung—wo man förmlich nach g moll glaubt geleitet zu werden, aber statt der Aulösung des 64-ten Accords, die Quarte aufwärts in die Quinte geführt bekommt, und so sich, vermittelst des 65-ten Accords unvermuthet wieder zu Hause in Es Dur beindet—schon diese ist interessant und angenehm. (Rochlitz 1807: col. 321)6 Rochlitz’s expectation from m. 9 is realized in Example 14.4b, which gives a hypothetical continuation of the symphony’s opening theme that completes the le–sol–i–sol in G minor. he 46 chord resolves normatively to a dominant seventh in G minor at m. 10, which continues to a full close with a PAC at m. 13. his cadence is suggested by Rochlitz’s use of the qualifying adverb förmlich, likely an implicit or explicit reference to Koch’s förmliche Ausweichung, or “formal modulation,” which speciies a modulation by way of a cadence and formal phrase ending (Koch 1787: 188). A digital sampling of the recomposition for four-hand piano is realized in Web Example 14.1 . In the context of the symphony’s opening theme, G minor of course never fully materializes by way of a formal cadential close. But the key returns in several dramatic and strategically located G-minor episodes throughout the symphony (Byros 2012: 305– 7; 2009: 18–22). Among them is a grand perfect authentic cadence in G minor as the goal of the fugal episode (mm. 114–54) in the Funeral March (Example 14.5). An augmented-sixth variant of the le–sol–i–sol returns in this episode to realize the implications it irst laid down in the symphony’s opening theme with a PAC in G minor at m. 154. his cadence is preceded by a lengthy dominant expansion, what Robert Gjerdingen would call a “Stabat Mater Prinner” (2007: 442–48): a dominant pedal with braided 2–3 suspensions beginning on scale degrees 5 and 6 in the upper voices, and a 1–2, 7–1, 6–7, 1 countermelody. his schema occupies a unique place in Gjerdingen’s typology, as it is the only phrase-level type whose name implicates a distinct genre, named ater Giovanni Pergolesi’s Stabat Mater (1736), which features the schema prominently in its closing fugal Amen (Example 14.6). On the whole, Gjerdingen’s galant schemata are abstract forms of scale degree syntax and voice leading with no generic ailiations—“a particular repertory of stock musical phrases” that transcends semantic Mirka190214OUS.indb 386 7/17/2014 9:07:09 AM EXAMPLE 14.4 Beethoven, Symphony No. 3 in E lat major, Op. 55, “Eroica,” i: (a) mm. 1–11 with the le–sol–i–sol schema; (b) hypothetical recomposition in G minor from mm. 6–9. (a) (b) Mirka190214OUS.indb 387 7/17/2014 9:07:10 AM EXAMPLE 14.5 Beethoven, Symphony No. 3 in E lat major, Op. 55, “Eroica,” ii, Marcia funebre, mm. 143–52. EXAMPLE 14.6 “Stabat Mater Prinner,” Pergolesi, Stabat Mater, Presto assai, mm. 45–51, from Gjerdingen, Music in the Galant Style (2007), 442, ex. 30.5. Mirka190214OUS.indb 388 7/17/2014 9:07:11 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 389 distinctions such as “light/heavy, comic/serious, sensitive/bravura” (2007: 6). And still, both Gjerdingen (2007: 439) and Roman Ivanovitch (2011: 20), who traced Mozart’s usage of the schema as a retransitional device, hear associations of “high church music” in this grammatical structure. To that end, Ivanovitch cites another prominent sacred-music example in the Credo of Mozart’s Great Mass in C minor, K. 427, speciically the “Et incarnatus est” (Ivanovitch 2011: 22–24). he implication is that the Stabat Mater Prinner is a cross between schema and topic, or that its grammar is imbued with residues of church music, and therefore afords lexical and/or indexical signiicance. Indeed Pergolesi’s example is a token of a more general sacred music style type: what Gjerdingen calls a Stabat Mater Prinner is a voice-leading detail of a larger harmonic schema and syntactic process discussed in eighteenth-century Satzlehre, treatises, and dictionaries as an Orgelpunkt or point d’orgue, used to suspend the inal close of a fugue or fugato in the church style. In his Handwörterbuch of 1807, Koch describes the Orgelpunkt as a “sustained cadence,” which “is really a delaying of the inal Cadenz in fugues or fugal compositions.”7 Johann Georg Sulzer’s earlier entry in the Allgemeine heorie der schönen Künste similarly describes it “as a delaying of the conclusion” of “polyphonic churchmusic,” which in general involves the “inal cadence” of fugues, “but it can be used for other church matters.”8 And Friedrich Wilhelm Marpurg, in the Abhandlung von der Fugue of 1753, also deines the Orgelpunkt as the “fourth and last part of the fugue” (vierte und letzte heil der Fugue; 1753: 152). In terms of its structure, the pedal point is deined as a sustained bass, normally the dominant (but can also be the tonic) scale degree, with various contrapuntal processes in the upper voices. In Der General-Bass in der Composition of 1728, Johann David Heinichen discusses these contrapuntal procedures in terms of numerous “variations and foreign syncopations” (Variationes und frembde Syncopationes) in the organ manuals (1728: 948), such as the upper-voice 2–3 suspensions of the Stabat Mater Prinner. he entire process is aptly summarized in Daniel Gottlob Türk’s Anweisung zum Generalbaßspielen from 1800: the “bass . . . holds the dominant while many sorts of contrapuntal arts begin in the upper voices” (1800: 321). he harmonic schema is illustrated via several examples from Eberlin, Emanuel Bach, and of Türk’s own composition, numbered 1 to 3 in Example 14.7, respectively. he last of these, his own contribution, features the same voice leading of the Stabat Mater Prinner (the last two stages of the schema are implied by the igures in Türk’s example, and have been realized here in Web Example 14.2) . Türk’s grouping of the Stabat Mater Prinner’s voice leading within the larger category of Orgelpunkte explicitly identiies the pattern as a token of this more general church-style type. Descending 2–3 (or 7–6) suspensions over a dominant pedal are in fact distinctive features of the Orgelpunkt style. Koch’s own example in the Handwörterbuch pairs only the 2–3 suspensions with a more complex imitative texture, where imitated 7–1–2 trichords take the place of the Stabat Mater Prinner’s inner-voice countermelody (Example 14.8a; Web Example 14.3) . In the “Coronation” Mass in C major, K. 317 (1779), Mozart uses this Orgelpunkt on three occasions, once again in the Credo, and in each case the suspensions seen in the Stabat Mater Prinner, now realized as 7–6, are but part of a larger fauxbourdon process over a dominant pedal (mm. 18–22, Mirka190214OUS.indb 389 7/17/2014 9:07:12 AM EXAMPLE Mirka190214OUS.indb 390 14.7 Orgelpunkt from Türk, Anweisung zum Generalbaßspielen (1800), 322–23. 7/17/2014 9:07:12 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 391 “Et in unum Dominum”; mm. 85–89, “cum gloria judicare”; mm. 122–28, “Et exspecto resurrectionem mortuorum”). he fauxbourdon voice leading in the third of these, shown in Example 14.8b, traverses a complete octave descent in the upper voices (F–F♯, A♮–A♮), creating a nested predominant expansion (within the dominant prolongation) that concludes with a le–sol–i–sol in the upper voice. he same Orgelpunkt variant, without the countermelody, appears in the Stabat Mater of Girolamo Abos (1750) and that of Giovanni Gualberto Brunetti (1764). he concluding Orgelpunkt in Antonio Caldara’s Stabat Mater (c. 1725) makes imitative use of the 2–3 suspensions themselves. And the same fugal usage of the pattern seen in Pergolesi, Abos, Brunetti, and Caldara, inally, is replicated in the closing Amen of Haydn’s own Stabat Mater from 1767 (Example 14.9). Here again, the voice-leading and scale-degree content of the Stabat Mater Prinner are part of a larger Orgelpunkt and a complete octave descent in the top voice. he Stabat Mater Prinner is thus not a harmonic schema as such, but a topical voice-leading characteristic of the church style within a broader network or chain of indexical signiications, hence the “high church music” designations in Gjerdingen and Ivanovitch. As both Monelle and Hatten have maintained, “certain topics represent whole genres” (Monelle 2006: 23; Hatten 1994). he representation here involves a chain of signiications: 2–3 (or 7–6) suspensions over a dominant pedal are a signiier of the Orgelpunkt, which signiies a fugue/fugato, which signiies a Stabat Mater (or even a “Credo”), which itself is a signiier of the church/sacred style. Beethoven would certainly have been familiar with the Orgelpunkt style type and its various contexts. he treatises of Johann Georg Albrechtsberger, Beethoven’s teacher in Vienna, display copious examples of sacred music from Allegri, Bach, Caldara, Carissimi, Fux, Handel, Kirnberger, Lassus, Palestrina, and Peri (Wyn Jones 1998: 36). he second page of the Kurzgefasste Methode den Generalbass zu erlernen from 1791 even contains an example of the same Orgelpunkt harmonic schema that Beethoven uses in the Funeral March of the “Eroica” Symphony (1791: 2). Perhaps more importantly, Beethoven’s own Materialen zum Generalbass (Nottebohm 1872) include paraphrased and copied passages from the treatises of C. P. E. Bach, Albrechtsberger, and Türk, including a citation of Bach’s discussion of the Orgelpunkt, speciically paragraphs 1, 3, 4, and 6 from Chapter 24 of Part Two of the Versuch über die wahre Art das Clavier zu spielen (1762), which also describes the pattern as “appear[ing] generally in learned things, especially fugues, near the end over the dominant” (Bach 1949: 319). Among the examples Bach provides is the Orgelpunkt in Example 14.10, which once again shows the 2–3 suspensions of the Stabat Mater Prinner as part of a larger dominant pedal, and here also with a chromatic version of uppermost line: ♭6–5–♯4–4–♯3–3–2. And so, Beethoven’s use of this church-style type in the context of a symphonic slow movement (Example 14.5), one designated Funeral March at that, becomes a question of “topic” in the deeper sense of the term: as Hatten (this volume, page 514) puts it, “a familiar style type only becomes topical when it is imported” into a larger or foreign context or, as Mirka has it in the introduction (page 2), topics are “musical styles and genres taken out of their proper context and used in another one.” he funereal and mortal signiications of the Orgelpunkt in the Funeral March are thus not inherent, but emergent, arising from the pattern’s migration Mirka190214OUS.indb 391 7/17/2014 9:07:13 AM EXAMPLE 14.8 Orgelpunkte from: (a) Koch, Kurzgefaßtes Handwörterbuch der Musik (1807), xiii–xiv, ig. 93 and (b) Mozart, “Coronation” Mass in C major, K. 317, “Credo,” mm. 122–28. (a) (b) Mirka190214OUS.indb 392 7/17/2014 9:07:15 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN EXAMPLE 393 14.9 Orgelpunkt from Haydn, Stabat Mater, “Paradisi Gloria,” mm. 143–51. from the sacred style into a symphonic context. he intended meaning of the importation is to semantically charge the key of G minor with connotations of the mortal and funereal speciically in a sacred context. By staging the Orgelpunkt as the conclusion of a fugato (double fugue) in a Funeral March, this pedal point, as a form–meaning pair or schema–topic amalgam, functions as a signiier that brings the mortal, the funereal, the sacred/spiritual, and the key of G minor into a constellated semantic orbit. his signiication is further highlighted by a merging or “troping of topics” in Hatten’s terms (1994, 2004, and this volume). he Orgelpunkt combines a motive-form derived from the fugue (eighth-and-two-sixteenths pattern), as is common practice, with triplet sixteenths and tremolandi in the irst violins that derive from the movement’s opening funeral march material (Example 14.5). In a minor-mode and lat-key context, tremolandi and triplet rhythms are common characteristics of the ombra style, which Clive McClelland (2012), following the work of Leonard Ratner (1980) and Wye J. Allanbrook (1983), has recently surveyed in a large-scale study dedicated to the subject and further discusses in this volume. Both in theatrical- and sacred-style genres, ombra music is used to depict mortal and funereal scenes, or more generally involves death, burial, the aterlife, the supernatural, ghosts, spirits, furies, and so forth. Indeed the texture of Beethoven’s passage (Example 14.5) resembles Gluck’s setting of Alceste’s arrival to the Underworld, cited in McClelland (2012: 125), which features tremolandi sextuplet sixteenths, and in the same key of G minor. Beethoven’s example also introduces the more plaintive, lowered form of the supertonic scale degree at mm. 144 (A♭), Neapolitan harmony (here over a dominant pedal) being another characteristic of the ombra style. As the tonal and harmonic goal of the fugato, the Orgelpunkt and its ombra features render G minor a representation of the mortal and funereal in a spiritual context. But these connotations do not begin here. he sacred-music and funereal resonances of G minor are already intimated by the symphony’s opening theme: in the Funeral March, the actual G minor cadence is articulated not by the Orgelpunkt but by the le–sol–i–sol. his harmonic schema is not only a grammatical structure and punctuation formula but also a characteristic of the ombra style. he le–sol–i–sol articulates the very irst cadence in the opening tenor solo of Haydn’s Stabat Mater: a half cadence in D minor on “lacrymosa,” shown in Example 14.11. In the Funeral March, the schema continues the ombra texture of the preceding Mirka190214OUS.indb 393 7/17/2014 9:07:15 AM 394 Vasili Byros EXAMPLE 14.10 Orgelpunkt from C. P. E. Bach, Versuch über die wahre Art das Clavier zu spielen, vol. 2 (1762), 184. EXAMPLE 14.11 Le–sol–i–sol in Haydn, Stabat Mater, “Stabat Mater dolorosa,” mm. 20–23. Orgelpunkt, with its diminished seventh harmony and angular chromaticism in the bass. In the symphony’s opening, it serves to introduce mortal and funereal themes in a G minor context with the very irst harmonic motion of the movement (Byros 2012: 305). In texted compositions, the le–sol–i–sol is consistently used to represent mortal, funereal, and supernatural qualities and scenes, both in theatrical and sacred music environments. Mozart employs the schema in such a way as early as 1767, in the Grabmusik, K. 42 to depict “roaring thunder, lightning, and lames” (“Brüllt, ihr Donner, Blitz und Flammen,” mm. 141–51; Byros 2009: 464, ex. 3.51). And the pattern’s ombra characteristics are treated thematically later in Don Giovanni (1787). For example, the le–sol–i–sol stages the very moment that the Commendatore is fatally wounded by Don Giovanni (“Il commendatore mortalmente ferito,” Act 1, No. 1, mm. 174–76), and again later in the “O statua gentilissima” Duet of Act 2, where the Commendatore returns to life in ghost form, Mozart uses several variants of the schema (mm. 30–32, 44–46; see also the Finale, mm. 502–3).9 In the later Requiem, K. 626 (1791), the le–sol–i–sol is used to represent eternal life: “Et lux perpetua luceat eis” (And let eternal light shine upon them, mm. 43–46; Byros 2012: 292, ex. 4a). hese powerful examples from early and late Mozart are representative of the schema’s general ombra usage in the theatrical and sacred-style examples outlined in my corpus study of the pattern (Byros 2009, Mirka190214OUS.indb 394 7/17/2014 9:07:16 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 395 Appendix B). But the le–sol–i–sol also appears to have had a more speciic and circumscribed use in church music. Namely, it is regularly encountered in the Credo of a Mass, notably in the “Et incarnatus est.” he schema is frequently set to the text “et homo factus est” (and he became man), “Cruciixus etiam pro nobis” (cruciied for us), and “passus et sepultus est” (sufered and was buried). Example 14.12 shows the “passus et sepultus est” from Mozart’s Missa solemnis in C minor, K. 139 (1769). McClelland’s own illustrations of ombra in a sacred-music context show the same usage of the le–sol–i–sol in the “Et incarnatus est” of (the younger) Georg Reutter’s Missa Sancti Caroli from 1734 (McClelland 2012: 176, ex. 7.7, mm. 17–19). And Jasmin Cameron’s analytic study of the Cruciixion in Music (2006: 90–91, ig. 5.7, mm. 6–7) cites a “Cruciixus” setting of the schema in a Mass for four voices by Caldara (c. 1720). he le–sol–i–sol was something of a trope of the Credo of a Mass that expresses the theme of sacriicial death. Table 14.1 proiles a selection of examples from the long eighteenth century (c. 1720–1823): the list includes several variants of the le–sol–i–sol in the Credo of a Mass, and other related sacred music contexts expressing sacriicial death. As a recurrent theme or motive in the “Et incarnatus est,” the le–sol–i–sol is a musical equivalent of what cognitive linguists term a “collostruction.” As seen above, all grammar is said to consist of form–meaning pairs, but the pairing varies by speciicity and level of abstraction. A “collostruction” refers to a frequent co-occurrence of certain lexical and syntactic symbols, or to a consistent and speciic form–meaning pair (e.g. Stefanowitsch and Gries 2003). his is one means by which grammatical structure acquires semantic meaning, and an aspect of the syntax–lexicon continuum that EXAMPLE 14.12 Mozart, Mass in C minor, K. 139, “Credo,” mm. 126–27: le–sol–i–sol as ombra topic. Mirka190214OUS.indb 395 7/17/2014 9:07:17 AM 396 Vasili Byros Table 14.1 Ombra Usage of the le–sol–i–sol Schema in Sacred Music, c. 1700–1823. 1749 1749 Bach, Johann Sebastian (1685–1750) Mass in B minor, BWV 232, “Credo” Mass in B minor, BWV 232, “Agnus Dei,” m. 39 1807 1819–23 Beethoven, Ludwig van (1770–1827) Mass in C major, Op. 86, “Agnus Dei” “peccata mundi” Missa solemnis, “Credo,” Adagio espressivo, mm. 166–68 “sub Pontio Pilato passus” c. 1720 c. 1720 1816 n.d. Caldara, Antonio (1670–1736) Mass for Four Voices (London, Royal College of Music, Gb–Lcm Ms. 105; Cameron 2006), “Credo” Mass in F (London, Royal College of Music, Gb–Lcm Ms. 789; Cameron 2006), “Credo” Cherubini, Luigi (1760–1842) Mass in C major, “Credo” Gassmann, Florian Leopold (1729–1774) Requiem in C minor, “Requiem aeternam” (McClelland 2012) “descendit de coelis” “peccata,” “miserere” “Cruciixus etiam pro nobis” “et homo factus est” “Cruciixus” “et lux perpetua luceat eis” 1751 Hasse, Johann Adolph (1699–1783) Mass in D minor, “Credo” (MacIntyre 1986) “etiam pro nobis” 1802 Haydn, Joseph (1732–1809) “Harmony” Mass in B lat major, Hob. XXII: 14, “Credo” “Deo vero” 1724 Heinichen, Johann David (1683–1729) Mass in D major, “Credo” “homo factus est” Lotti, Antonio (1667–1740) c. 1700–40 Crucifixus a 10 (Münster, Santini Sammlung der “Cruciixus etiam pro nobis” Bischölichen Bibliothek D-MÜs SANT Hs 2342; Cameron 2006) c. 1700–40 Missa I (Cameron 2006, No. 61), “Credo” “mortuos” 1769 1769 1774 1779 1791 Mozart, Wolfgang Amadeus (1756–1791) Mass in C minor, K. 139, “Credo” Mass in C minor, K. 139, “Credo” Missa brevis in F major, K. 192, “Gloria” “Coronation” Mass in C, K. 317, “Credo” Requiem in D minor, K. 626, “Requiem aeternam” “et sepultus est” “remissionem peccatorum” “peccata mundi” “et sepultus est” “et lux perpetua luceat eis” 1734 Reutter, Georg (1708–1772) Missa Sancta Caroli, “Credo” (McClelland 2012) “passus et sepultus est” is perhaps all the more consequential for musical symbols: a grammatical construction may retain the signiicance of its collostructural lexical pairs even in their absence. he le–sol–i–sol, speciically, afords the connotations of sacriicial death expressed by the text of the “Et incarnatus est” in its absence. A second means by which grammar inherits meaning is via image schemata: syntax relies on “prelinguistic” structures such as “source–path–goal,” “center–periphery,” “attraction,” and many others (Johnson 1987; Mirka190214OUS.indb 396 7/17/2014 9:07:17 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 397 EXAMPLE 14.13 Axial melodies as symbolic representations of the cross in the “Cruciixus” of the Mass, from Cameron, he Cruciixion in Music (2006), 57 (a), compared with le–sol–i–sol as symbolic representation of the cross (b). (a) (b) see also Lakof 1987). hese image schemas relate to embodied experiences that inform the structure of language and consequently charge grammar with signiication. “Axis balance” is one such image schema, and it underlies the radial structure of the le–sol– i–sol. Cameron discusses several representations of the cross in terms of musical symbolism: among these symbols is a “zig-zag arrangement of notes” (2006: 57) shown in Example 14.13a. hey display melodic proiles very similar in concept to what Leonard Meyer called “axial” melodies (Meyer 1973; 1989). he le–sol–i–sol is precisely such a pattern, with its axial symmetry around scale degree 5 (Example 14.13b). he “image schema” of “axis balance,” as a characteristic feature of the schema–topic amalgam, further afords semantic meaning in the absence of a speciic lexical designation through its musical symbolism—the cross as symbol of sacriicial death. hese sacred-music contexts would likewise have been quite familiar to Beethoven—a Roman Catholic who not only studied a good deal of sacred music with Albrechtsberger (Wyn Jones 1998: 36), but at Bonn was also appointed deputy organist by the elector Maximilian Franz in 1784, and illed in for his teacher and court organist Christian Gottlob Neefe. Beethoven’s importation of the schema into a symphonic context, and speciically one that prompts a modulation in its opening theme, once more becomes a question of topic in the deeper sense of the term. But the topical use of the le–sol–i– sol difers from that of the Orgelpunkt in terms of the immediacy of its lexical speciication—that is, whereas the Orgelpunkt is irmly associated with fugal composition and, by extension, with the church style, the le–sol–i–sol is a much more transgeneric instance of musical grammar. Its lexical speciications are consequently even less inherent, and therefore require deictic cues to be realized. To that end, the schema is multiply marked in the symphony’s opening through a number of oppositions involving formal function, syntax, tonality, and style types. Hatten (1994: 121) cites the opening of the “Eroica” as an example of a “‘developmental’ unstable theme” type of “strategic markedness” that results from “cross-matching material and locational functions.” his results from Beethoven’s having “fronted” a process-orientated, modulatory and cadential schema—that is, positioned it as the opening gesture of a symphony. Meyer called this compositional strategy “positional migration,” deined as the (re)positioning of process- and closure-oriented Mirka190214OUS.indb 397 7/17/2014 9:07:18 AM 398 Vasili Byros schemata—“punctuation formulas” in Koch’s terms—at the beginning of a work (1989: 124). As seen above, the le–sol–i–sol was both a common way of producing a modulation up a third and a structurally important cadence—oten a Cadenz or Halbcadenz. he markedness produced by this fronting strategy is augmented by the le–sol–i– sol’s syntactic disruption at m. 10: ater being formally displaced to the opening of a symphony that prompts a modulation to G minor, the dominant of E lat major disrupts the schema’s completion with, as Rochlitz put it, an “unexpected” return to E lat major (compare Examples 14.4a and 14.4b). hese oppositions in the formal, tonal, and syntactic domains are combined with another level of asymmetry in the form of topical diferentiation. he le–sol–i–sol introduces textural characteristics of the ombra style: tempestuous syncopations in the irst violins (mm. 7–8), along with the tremolandi strings (McClelland 2012: 123–30). Indeed the irst violins appear to be lited straight from Mozart’s irst G-minor symphony, perhaps as an intertextual referencing of this tonality. hese textural characteristics and the angular chromaticism and diminished-seventh harmony of the le–sol–i–sol grammar blend into a larger ombra-style topical unit that contrasts with the E-lat major fanfare style of the opening triads and hammer blows in mm. 1–2, and the horn call in the triadic arpeggiations of the cellos in mm. 3–6, which becomes a literal horn call in later restatements and reworkings of the theme. More importantly, the G-minor ombra music of mm. 6–9 occurs against the larger stylistic context of the Ländler: a rural dance widespread in Austria and Germany in the later eighteenth and nineteenth century (see McKee, this volume). Daniel Heartz (2009: 517, 643) has identiied this topic and its close relative, the “German dance” (deutsche Tanz or Deutscher), for example, in several works of Haydn and Mozart, including the inale of the Piano Trio in E lat major, Hob. XV: 29, “In the German Style,” the Trio from Mozart’s Symphony No. 39 in E lat major, and the “Drinking Chorus” that ends the “Fall” of Haydn’s Seasons (see also McKee 2012). he opening theme of the “Eroica” is also broadly cast in the Ländler style, with its characteristic oom-pah | oom-pah | oom-pah-pah | pah rhythmic pattern in mm. 3–6 and 10–15. his is a common feature of the Ländler and German dances of Mozart and Beethoven, and oten in combination with tonic pedals and arpeggiation.10 he Trio of Beethoven’s “German Dance,” WoO 8 No. 3, similarly features a Ländler with a literal horn call. But the most famous use of this Deutscher/Ländler style may be the Intrada to Mozart’s early pastoral Singspiel, Bastien und Bastienne (1768), whose main theme is commonly identiied as an anticipation of Beethoven’s opening in the “Eroica” (Example 14.14). In his Late Beethoven of 2003, Maynard Solomon attributed the afective dissonance of the opening theme to the disruption of a pastoral sentiment caused by the chromatic descent in mm. 6–7. He further highlighted the pastoral tone as a relatively unique instance of this topic in middle-period Beethoven: On one conspicuous occasion [Beethoven] unveiled a pastoral moment at the very instant of its fracture by disruptive forces. he two crashing chords that open the Eroica Symphony introduce a lowing pastoral negotiation of the common chord [presumably the tonic triad], a shepherd’s yodel or an alphorn call that lasts less than Mirka190214OUS.indb 398 7/17/2014 9:07:18 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN EXAMPLE 399 14.14 Mozart, Bastien und Bastienne, K. 50, Intrada, mm. 38–45: Deutscher pastoral topic. two measures (it may be no accident that it echoes the yodeling igure at the opening of Mozart’s Bastien und Bastienne . . .), until it is tipped into disequilibrium by a decisive descent through D to C-sharp at measures 6–7. In a half step, Arcadia has been lost, thus launching a prolonged heroic narrative that will revert to the pastoral mode only in its contredanse inale (Solomon 2003: 75). he vague “disruptive forces” of which Solomon speaks are the ombra style communicated by the le–sol–i–sol, which is synactically, tonally, formally, and topically marked, and “marked entities have a greater (relative) speciicity of meaning than do unmarked entities” (Hatten 1994: 291). he le–sol–i–sol and G minor thus only acquire mortal and funereal connotations by virtue of their opposition to the preceding E-lat major fanfare, triadic arpeggiation, and the underlying pastoral landscape of the Ländler dance. heir lexical signiicance arises precisely in their being “disruptive forces.” As in the Funeral March, Beethoven’s topical use of le–sol–i–sol is speciically to charge the key of G minor with mortal and funereal connotations in a sacred context, which becomes the symphony’s irst lexical reference communicated in strictly musical terms. his strategic positioning of the G-minor ombra music in the opening theme is the means of a larger expressive end. hrough their expressive correlates, G minor and the le–sol–i–sol are structural necessities for communicating a powerful philosophical message that involves the spiritual consequences of death, sufering, and self-sacriice that is only alluded to in the heroic and memorial themes of the symphony’s quasi programmatic title Sinfonia eroica . . . composta per festeggiare il sovvenire di un grand Uomo (“Heroic symphony, composed to celebrate the memory of a great man”), but is more explicit in the intertextual contexts that surround the symphony’s composition. he same themes of sacriicial death coded in the le–sol–i–sol and implied in the symphony’s heroic and memorial epithets are found in Beethoven’s contemporary musical and literary texts. he “Eroica” was composed during a period when Beethoven was “forced to become a philosopher,” as confessed in what Solomon has called the symphony’s “literary prototype”: the Heiligenstadt Testament of 6 and 10 October 1802. he theme of sacriicial death metaphorically runs throughout the testament, particularly in Beethoven’s overt submission to and acceptance of his aliction and fate, which were prompted by the beneits of virtue, and oriented toward the achievement of a higher state of existence, in which music would play an integral part: I would have ended my life—it was only my art that held me back. Ah, it seemed to me impossible to leave the world until I had brought forth all that I felt was Mirka190214OUS.indb 399 7/17/2014 9:07:18 AM 400 Vasili Byros within me. So I endured this wretched existence—truly wretched for so susceptible a body which can be thrown by a sudden change from the best condition to the very worst.—Patience, they say, is what I must now choose for my guide, and I have done so—I hope my determination will remain irm to endure until it pleases the inexorable Parcae to break the thread. . . . I am ready.—Forced to become a philosopher. . . . Divine One, thou seest into my inmost soul, thou knowest that therein dwells the love of mankind and the desire to do good. . . . [V]irtue . . . upheld me in time of misery. hanks to it and to my art I did not end my life by suicide. . . . With joy I hasten to meet death—If it comes before I have had the chance to develop all my artistic capacities, it will still be coming too soon despite my harsh fate and I should probably wish it later—yet even so I should be happy. . . . Come when thou wilt, I shall meet thee bravely. (Forbes 1967, 1: 305) Solomon has interpreted the Heiligenstadt Testament as a “funeral work” in which Beethoven “metaphorically enacted his own death in order that he might live again” (1998: 157). As a “literary prototype of the Eroica Symphony,” the Testament is a profound statement of “heroism, death, and rebirth” (1998: 157–58). John W. N. Sullivan, a literary journalist who wrote a spiritual biography of Beethoven in the early twentieth century, similarly described Beethoven’s concept of “hero” as a “synthesis” of “assertion and submission” (1927: 95). Both the “Eroica” and the Heiligenstadt Testament are but part of a larger “death of the hero” repertoire from Beethoven’s output in the irst decade of the nineteenth century, which explored death, sufering, and self-sacriice as correlates of life, joy, and jubilation. his includes, among others, the slow movement marked “Marcia funebre sulla morte d’un Eroe” (Funeral March on the Death of a Hero) in the Piano Sonata in A lat major, Op. 26; the oratorio Christus am Ölberge (Christ on the Mount of Olives), Op. 85; the opera Fidelio; and the Incidental Music to Goethe’s Egmont, Op. 84 (see also Solomon 1998: 68–73). he most important among these for understanding the expressive signiicance of Beethoven’s use of the le–sol–i–sol schema-topic in the “Eroica” is the oratorio, which, despite the later opus number, precedes the symphony, written in March of 1803, and performed on 5 April of the same year.11 Christus am Ölberge is the irst large-scale work Beethoven composed since writing the Heiligenstadt Testament, and was done by his own volition—it was not commissioned. he oratorio’s libretto, penned by Franz Xaver Huber, portrays Christ’s prayer in the Garden of Gesthemane. Unlike the Passions of the elder Bach, it focuses primarily on Christ’s agony, submission to and acceptance of his fate, and an understanding of his sacriice as purposive, for the salvation of humanity. he details of the oratorio’s compositional history and subject matter indicate that Beethoven saw in Christ a model, as he was struggling with the pragmatic, moral, and philosophical implications of his own sufering and deafness. He said as much in a later conversation book from January 1820: “Socrates and Jesus were exemplars for me.”12 From his Nachlassverzeichnis, we also know that Beethoven owned and studied several theological and Christian-philosophical works. Among the volumes in his library are, in addition to French and Latin copies of the Bible, the iteenth-century monastic treatise he Imitation of Christ (c. 1427) by homas à Kempis, and Christoph Christian Sturm’s Mirka190214OUS.indb 400 7/17/2014 9:07:18 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 401 Relections on the Works of God in the Realm of Nature (1772), which Beethoven allegedly advised clergy to read from the pulpit.13 he themes of self-sacriice, death, and rebirth that run through the Heiligenstadt Testament, though likely not derived from the pages of these philosophical and theological works, strongly identify with their dominant messages. In Chapter 23 of à Kempis’ treatise, titled “houghts on Death,” we read the following: “Be wary and mindful of death. Try to live now in such a manner that at the moment of death you may be glad, rather than fearful. Learn to die to the world now, that then you may begin to live with Christ” (Kempis 2004: 27). hat such passages and messages were meaningful to Beethoven is evident not only from the similar themes expressed in the Heiligenstadt Testament (“With joy I hasten to meet death”), but also from the many annotations and underscorings that survive in his copy of Sturm’s Betrachtungen. Beethoven’s biographer Ludwig Nohl produced a (partially inaccurate) transcription of marked passages in several volumes from Beethoven’s library (Nohl 1870), which also includes works by Shakespeare, Homer, Goethe, Herder, Schiller, and others. Critical English translations of the marked passages in Beethoven’s copy of the Betrachtungen have been produced by Charles Witcombe and collaborators (Witcombe 1998, 2003; Witcombe and Portillo 2003; Witcombe et al. 2003). Many of Beethoven’s markings display a man struggling to ind meaning and purpose in his aliction. Some of these marked passages relect the themes of sufering and rebirth directly: “To live eternally one day, to be eternally blessed, to be eternally joyful . . . [N]ow I have this hope! How insigniicant are all the suferings that I have to endure here. As rough and as long as the winter of my life may be, conidently I wait for spring and the renewal and improvement of my situation in that world” (Witcombe and Portillo 2003: 22). Others reveal Beethoven’s attempts to reconcile his sufering as a means of attaining a higher state of being, or as a necessary resource or path to a higher state of existence and joy: “In order to bring people closer to the feeling of their inal purpose, the abhorrence of sin, and the practice of goodness, God turns sometimes to violent and sometimes to gentle means. Occasionally he inds it best to arouse the sinner out of his slumber through powerful jolts, through severe punishments, and through continuous judgment. . . . Illness and other accidents you imposed on me in order to bring me to contemplate my digressions. . . . I only ask one thing of you, my God: do not stop working on my improvement” (Witcombe et al. 2003: 93, Beethoven’s emphasis). he title of the following passage in Beethoven’s copy was “marked with three emphatic consecutive lines in [the] margin” (Witcombe et al. 2003: 94), and may well be the most illustrative example of Beethoven’s attempts to reconcile and submit to his aliction and fate, by understanding his sufering as part of a larger plan overseen by Divine Providence: “If I know that I remain connected with God and my Savior, then I can also be certain that all future destinies, be they sad or pleasant, will serve me for the best. Is it not my reconciling God who orders all events and reigns over the future? . . . What God has chosen for me, hat shall and must take place; . . . I have surrendered myself unto him. To die and to live” (Witcombe et al. 2003: 94, my italics). It is precisely at the moment that depicts this surrender in the Mount of Olives oratorio that Beethoven employs a dramatic use of the le–sol–i–sol—that is, precisely at the Mirka190214OUS.indb 401 7/17/2014 9:07:18 AM 402 Vasili Byros EXAMPLE 14.15 Beethoven, Christus am Ölberge Op. 85, No. 5, Recitativo, mm. 18–30: le–sol– i~ti–do variant as representation of Christ’s agony. moment that Christ submits to his own fate (Example 14.15), and sacriices himself to die and to live by God’s will. Measures 18–24 present the same ombra textural features as the “Eroica,” syncopated and tremolandi strings, with a variant of the le–sol–i–sol in mm. 20–24 that modulates up a ith, here from E minor to B minor, via a reinterpretation of ♯4 in the bass to a leading tone in B minor (Example 14.15), which I have described as a le–sol–i~ti–do variant: ♯4 (i) becomes 7 (ti) by resolving the chord it carries to a minor (and therefore tonic) triad, as opposed to a major (and therefore dominant) triad (Byros, 2009: 305, ex. 5.19, Appendix B). he theme of sacriicial death coded in the le–sol–i–sol is thus identiied with Christ’s own submission. he schema represents the emotional turmoil involved in the very act of surrender, as it is only at its completion in m. 26 that Christ sings to his Father: “Doch nicht mein Wille, nein, dein Wille nur geschehe” (But let not my will, no, hy will only be done). he le–sol–i–sol is thus coextensive with Christ’s agony, his submission to God, and acceptance of his fate, for the purpose of a greater good—in this case, for the salvation of humanity itself. his powerful example from the Mount of Olives suggests that Beethoven conceived of the le–sol–i–sol as a syntactic and semantic musical symbol capable of communicating the submissive and mortal dimensions of his developing hero philosophy or, in Sullivan’s terms, of his “spiritual development.” he oratorio was one of several such philosophical-spiritual exercises that he revisited persistently throughout his Mirka190214OUS.indb 402 7/17/2014 9:07:19 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 403 compositional output. he “Eroica” is yet another, early and untexted chapter in what became a life-long narrative, a “long journey” and a “via dolorosa” (Solomon 2003: 164). As a philosophical testament, or treatise, similar in ethos to those of à Kempis and Sturm, the symphony portrays a heroism not of a revolutionary (public) order but, written on the heels of the Heiligenstadt Testament and the Mount of Olives oratorio, of a spiritual (private) order.14 Sullivan heard the “Eroica” as the “irst piece of music [Beethoven] composed that has a really profound and spiritual content.” He continues: Indeed, the diference from the earlier [presumably instrumental] music is so startling that it points to an almost catastrophic change, or extremely rapid acceleration, in his spiritual development. We have found that such a change is witnessed to by the Heiligenstadt Testament, and we shall see that the Eroica symphony is an amazingly realized and co-ordinated expression of the spiritual experience that underlay that document. he ostensible occasion of the symphony appears to have been the career of Napoleon Bonaparte, but no amount of brooding over Napoleon’s career could have given Beethoven his realization of what we may call the life-history of heroic achievement as exempliied in the Eroica. his is obviously a transcription of personal experience . . . Heroism, for him, was not merely a name descriptive of a quality of certain acts, but a sort of principle manifesting itself in life. (Sullivan 1927: 90, 95) Much of Beethoven’s so-called “heroic period” has been characterized by a “tragic-totriumphant schema” of expression exempliied in the Fith Symphony (Hatten 1994: 79), in which Beethoven externalized and defeated his menace: Fate, personiied in C minor, and overcome by C major (Sullivan 1927: 95). And much of the music of the period certainly falls into this generic expressive category. But the “Eroica” is more characteristic of what Hatten identiied as the “cultural unit” of “abnegation[, which] is related to Christian notions of sacriice and spiritual surrender” (Hatten 1994: 281): the “willed resignation and spiritual acceptance of a (tragic) situation that leads to a positive inner state” (1994: 298). he hero philosophy that persists throughout Beethoven’s lifetime is not overcoming sufering, but its endurance. In the very opening entry of his Tagebuch (1812), Beethoven inscribes the following article of faith: “Submission, deepest submission to your fate, only this can give you the sacriices. . . . You must not be a human being, not for yourself, but only for others: for you there is no longer any happiness except within yourself, in your art. O God! give me strength to conquer myself, nothing at all must fetter me to life” (Solomon 2003: 164). And again, in a sketchbook from 1816: “Submission—submission! hus may we win something even in the deepest misery, and make ourselves worthy to have God forgive our shortcomings. Fate, show your force! We are not lords over ourselves. What is determined must be, and so let it be!” (Schauler 1929: 358). Submission was the basis for the Christian-philosophical tenet that, in Beethoven’s words, one achieves joy through sufering: in a letter to the Countess Anna Marie Erdödy from Vienna, dated 19 October 1815, he writes: “We inite beings, who are the embodiment of an ininite spirit, are born to sufer both pain and joy; and one might almost say that the best of us obtain joy through sufering” (Anderson 1961: 527, Letter No. 563). Mirka190214OUS.indb 403 7/17/2014 9:07:19 AM 404 Vasili Byros Not only joy, but endurance through sufering leads to a higher state of being; again to the Countess, in a letter dated 15 May 1816, Beethoven writes: “Man cannot avoid sufering; and in this respect his strength must stand the test, that is to say, he must endure without complaining and feel his worthlessness and then again achieve his perfection, that perfection which the Almighty will then bestow upon him” (Anderson 1961: 578, Letter No. 633). he irst explicit documentation of this spiritual conversion is the literary prototype of the “Eroica,” the Heiligenstadt Testament: what Beethoven realized, in Sullivan’s words, was that a “rigid strained deiance was no longer necessary. What he came to see as his most urgent task, for his future spiritual development, was submission. He had to accept his sufering as in some mysterious way necessary” (Sullivan 1927: 78). he le–sol–i–sol is a schema–topic amalgam that semantically charges G minor in the “Eroica” as the musical representation of this necessity. he communicative signiicance of G minor lies in its structural and expressive opposition to E lat major, as a musical representation of the spiritual transcendence enabled by sufering and sacriice. G minor and the le–sol–i–sol are a means of musically realizing this philosophical concept of abnegation through what Hatten termed a “tragic-to-transcendent” expressive genre (1994: 28, 281–86), which is akin to religious drama: “tragedy that is transcended through sacriice at a spiritual level. he pathos of the tragic may be understood as stemming from a kind of Passion music, depicting a personal, spiritual struggle; and the ‘triumph’ is no longer a publicly heroic ‘victory’ but a transcendence or acceptance” (79). he le–sol–i–sol is the musical impetus for realizing this expressive genre, as it initiates a number of “correlations of oppositions” (Hatten 1994: 292) in the structural and expressive domains that semantically charge E lat major and G minor as respective representations of life, joy, and perfection, on the one hand, and death, sufering, and self-sacriice on the other. he major and minor modes are of course among the most readily available oppositions in the classical style, which Hatten aligns with the generic cultural oppositions of “non-tragic” and “tragic.” In sacred music the speciic relationship between G minor and E lat major in the “Eroica”—down a major third—is explicitly associated with death and resurrection. In his monumental study of the concerted Viennese Mass, Bruce MacIntyre illustrates that the “tonic of the Mass opens the Credo and almost always returns for the ‘Et resurrexit’” (MacIntyre 1986: 322). he contrasting tonality for the intervening “Et incarnatus est” section, which proiles Christ’s incarnation, cruciixion, sufering, and death, is oten the minor-mode mediant, resulting in precisely the key relationship in the opening theme of the “Eroica.” he progression iii–I is among the three most common tonal transitions between the “Et incarnatus est” and the “Et resurrexit” (MacIntyre 1986: 325). For example, Caldara’s Mass in G minor pursues the following tonal scheme: “Credo” (G major), “Et incarnatus est”–“Cruciixus” (B major–B minor), “Et resurrexit” (G major).15 In the context of a Mass, the life-death duality expressed by the tonal relationship is of course explicitly communicated by the text. Sacriice (“homo factus est. Cruciixus etiam pro nobis”), sufering (“passus”), death (“sepultus”), and resurrection (“resurrexit”) are literally inscribed into the musical work. In addition to the speciicity of natural language, the correlation between Mirka190214OUS.indb 404 7/17/2014 9:07:19 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 405 structure and expression is supplied by the Church as a social and pragmatic context for the expression. In the “Eroica,” the correlation rests on the afordant meaning of the le–sol–i–sol grammar, as it is responsible for introducing the symphony’s irst lexical reference. As a form–meaning pair in the communicative channel, the harmonic schema achieves a syntactic and semantic function in one gesture: it produces a modulation to G minor while introducing a sacred-music reference of sacriicial death, thereby marking the mortal, funereal, sacriicial, and submissive connotations of G minor. he speciicity of the schema’s meaning enabled by its markedness provides a context for a reciprocal semantic charging of E lat major with its fanfare, horn call, and Ländler topics. hrough their opposition to the G-minor ombra music of mm. 6–9, the pastoral and ceremonial lexical signiications of these topics become metaphoric representations of life, joy, and jubilation. Dance becomes a metaphor for life. he same correlation between structure and expression returns in a magniied and powerful restatement of the G-minor–E-lat-major opposition at the very end of the symphony’s inale, where it is once more highlighted by a discrete shit in topical discourse (Example 14.16). he inale’s theme and variations efectively ends at m. 398, which immediately leads to a “discursive coda” (Hepokoski and Darcy 2006: 284–88) and developmental episode. his episode closes with an imposing perfect authentic cadence in G minor at m. 422, extended via its own codetta in mm. 422–33, before it gives way to a second, fanfare-based coda in E lat major at m. 437. his G-minor episode literally brings back the music of the Funeral March: mm. 419–22 revisit the same shimmering triplet sixteenths and tremolo violins from the Orgelpunkt and G-minor cadence in the Funeral March, before giving way to its march-like, processional rhythms in mm. 422–32 (compare Examples 14.5 and 14.16). his intermovement revisitation “topicalizes” the Funeral March itself: imported into the coda of a theme and variations, it becomes marked by its relocation along with the key of G minor. Its ombra connotations are further communicated by an ascending chromatic line in the bass that precedes the cadence, which results from sequential repetitions of a le–sol– i–sol variant: its inverse, i–sol–le (♯4–5–♭6). In the “Cruciixus” of a Mass, ascending chromatic bass lines are typically used to represent Christ’s via dolorosa, as in the “Cruciixus” of Mozart’s “Coronation” Mass and of Haydn’s “Harmony” Mass in B lat major. hese ascending chromatic basses oten include inverted le–sol–i progressions, as in Haydn’s “heresa” Mass from 1799 (Example 14.17). he instrumentation following the G-minor cadence at m. 422—lutes, bassoons, and strings—is also a typical characteristic of ombra music (McClelland 2012: 134–36). he E-lat-major music that follows the G-minor codetta of this episode is an elaborate fanfare in the military genre, which, through its “connect[ions] with literature, relect[s] the classical image of the hero” (Monelle 2006: 5–6). he end-result is a bifocal G-minor–E-lat-major ending that mirrors the symphony’s similarly bifocal tonal and topical opening: E-lat Ländler and fanfare (mm. 1–6) followed by G-minor ombra (mm. 6–9). he symphony’s conclusion thus presents a magniied mirror image of the tonal and topical confrontation between E lat major and G minor from its very opening gestures. Mirka190214OUS.indb 405 7/17/2014 9:07:19 AM EXAMPLE 14.16 Beethoven, Symphony No. 3 in E lat major, Op. 55, “Eroica,” iv, mm. 410– 42: G-minor ombra versus E-lat-major fanfare. Mirka190214OUS.indb 406 7/17/2014 9:07:21 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 407 EXAMPLE 14.17 Haydn, “heresa” Mass in B lat major, “Cruciixus,” mm. 79–82: i–sol–le grammar as topical representation of Christ’s via dolorosa. And, as in the opening theme, the competing tonalities are never reconciled to one another. he conclusiveness of the G-minor ombra episode creates an impression of two independent tonal endings for the symphony. G minor is not resolved into the following E-lat-major music so much as merged with or confronted by it: the abrupt changes in tempo (to Presto) and dynamics (to f) enforce a nearly direct modulation in mm. 434–36 that transforms the G octaves of m. 433 from scale degree 1 to scale degree 3 (Example 14.16). here is no progression to E lat major as a resolution, but a rupture. he militaristic E-lat-major fanfare from m. 437 to the symphony’s conclusion is thus not a representation of a public victory, but, bursting, as it does, from the preceding G-minor ombra music, it becomes a metaphor for rebirth, joy, spiritual perfection, and personal victory. he two tonalities are kept in abeyance, or held in suspension. As is characteristic of “religious drama” in general, there is no musical resolution. G minor and E lat major represent inner states only reconciled within the self: the “conlicting elements [of assertion and submission] are . . . both located within the soul itself ” (Sullivan 1927: 96). Joy (E lat major) is achieved through sufering (G minor). his synthesis of assertion and submission, or abnegation, results in a higher state of existence, which, “for Beethoven, [generally] . . . meant the serene transcendence of a spiritual victory, won not only through heroic striving . . . but through profound abnegation in the face of a tragic reality that cannot be cancelled” (Hatten 1994: 286). Nor is G minor cancelled or overcome. Its “transcendence or acceptance goes beyond the conlicts of the work (ater having fully faced them)” (Hatten 1994: 79). he earliest sketches for the “Eroica” in the Wielhorsky sketchbook of 1802–3 suggest that an opposition between E lat major and G minor was in Beethoven’s thinking from the symphony’s inception (Byros 2012: 305; 2009: 43–47). Among these sketches are drats for a third-movement Menuetto serioso in E lat major with a G-minor Trio.16 In the inal version the opposition is not only the central tonal subject of its opening theme, but, as seen, it frames the entire symphony: E lat major (i, mm. 1–6)–G minor (i, mm. 6–9)–G minor (iv, mm. 419–33)–E lat major (iv, mm. 433–end). Web Example 14.4 provides a summary of this bifocal tonal frame. hrough the expressive correlates of these tonalities, brought on by the several correlations of marked oppositions in the syntactic and topical domains, the bifocal tonal frame becomes a means Mirka190214OUS.indb 407 7/17/2014 9:07:21 AM 408 Vasili Byros of communicating a “tragic-to-transcendent” expressive genre for the entire symphony, and thus expressing a philosophical topic or cultural unit of abnegation. As Nicholas Cook paraphrases Hatten’s concept, “expressive genres function rather like the key of a sonata”—not as a continuous expression of the same tonality “in any literal sense, but the overall key coordinates the diverse tonal contents for the music and so provides a means for interpreting them” (Cook 1996: 108). In other words, the expressive genre casts an expressive afect, mood, or theme over the entire drama and its subplots: “once a genre is recognized or provisionally invoked, it guides the listener in the interpretation of particular features . . . that can help lesh out a dramatic or expressive scenario” (Hatten 1994: 89). he tonal opposition thus becomes the basis for what Hatten termed a “high-level trope”: “he opposition may also initiate an ongoing dramatic conlict of characters or agents, perhaps suggesting a dramatic program. In addition, the contrast may lead to tropological interpretation that goes beyond the opposed correlations” (Hatten 1994: 169). he complexity of the communicative utterances, drawing, as they do, on the syntactic and semantic properties of the le–sol–i–sol as their basis, is conceivably among the characteristics of the “Eroica” Symphony that elicited its contemporary aesthetic judgments as a “serious” and “sublime” composition. In his review of the symphony from 1807, Rochlitz makes clear that he intends to write primarily on technical and less on aesthetic matters. But at the same time, he cautions the readers of the Leipzig Allgemeine musikalische Zeitung that, on account of its “elevated, abstract subject matter,” the “Eroica” requires a “thoughtful listener,” “an audience that at least pays serious attention and can maintain its serious attentiveness” (Senner, Wallace, and Meredith 2001: 30, 24). Beethoven’s complex manipulations of both syntactic and semantic symbols in the schema–topic continuum undoubtedly igured among those aspects of the symphony requiring serious attention. An earlier review from 1805 in Der Freymüthige attributed its “true originality” to marked oppositions in both syntactic and semantic domains: “strange modulations and violent transitions, . . . placing together the most heterogeneous things, as when for example a pastorale is played through in the grandest style” (Senner, Wallace, and Meredith 2001: 15). Because of its complexity, audiences had to be prepared in advance. For a performance in Leipzig, reported in the Allgemeine musikalische Zeitung on 29 April 1807, “the audience had been made attentive and, as far as possible, prepared to expect exactly what was ofered, not only by means of a special announcement on the customary concert program, but also by a short characterization of each movement, particularly in regard to the composer’s intended efect upon the feelings. In both regards, the purpose was achieved completely . . . a truly solemn attentiveness and deathlike silence reigned and was sustained not only throughout the whole . . . irst performance, but also during the second and third, which . . . followed within a few weeks” (Senner, Wallace, and Meredith 2001: 33). hroughout several reviews by Beethoven’s German contemporaries is replicated both the theme of technical and aesthetic diiculty, as well as the requirement of an audience “who listened with heightened attention” (Senner, Wallace, and Meredith 2001: 38). A reviewer of the Zeitung für die elegante Welt counted the “Eroica” “among those few symphonies that, Mirka190214OUS.indb 408 7/17/2014 9:07:21 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 409 with their spirited energy, set the listener’s imagination into a sublime light and sweep his heart away to powerful emotions. But the connoisseur will only enjoy it as a complete work (and a repeated hearing doubles his spiritual enjoyment) the deeper he penetrates into the technical and aesthetic content of the original work” (Senner, Wallace, and Meredith 2001: 35). Like any philosophical treatise, the symphony requires meditation, study, and time for its message to congeal—presumably owing to the complexity of Beethoven’s interactive use of introversive (schemata) and extroversive (topics) musical symbols. For those Kenner who devoted their serious attention, the symphony’s intended spiritual message was evidently not lost: its overarching theme of death and rebirth is explicitly documented in a later review for the Allgemeine musikalische Zeitung from 1814, by one “K. B.,” who begins by citing a funereal poem Das Grab by Johann Gaudenz von Salis-Seewis (Senner, Wallace, and Meredith 2001: 38–39, my italics): 5. he grave is deep and still and horrible its brink! Who has not felt the truth of these words of the poet already in their life? Does not the departure of every citizen from this earth from the “friendly familiarity of being and doing” have in itself something that deeply afects the serious observer? How much more moving is it, then, when an elevated, magniicent spirit departs forever from our midst? In a situation such as this, one should listen to the funeral march from Beethoven’s Eroica Symphony and sense its efect!—Certainly, a magniicent person is here being led to the gave; these tones tell us so in the clearest possible way. All the pain and all the joys of earthly life resound once again in our breast, deep and sweet, but only as the gentle voice of an echo, for already they are gone by, and have now led irretrievably! Assuredly, the departed one now walks in the kingdom of clarity and light—refreshingly soothing melodies tell us this in the language of heaven perceptibly enough—but we remain abandoned at the grave and look up toward that kingdom’s nocturnal womb. . . . [O]nly through resignation can we at last tear ourselves from this place in order to plunge into life’s rushing stream and at least to drink forgetfulness from this Lethe! Notes 1. he relative independence of the two domains can be further seen in the competing syntactocentric and semantocentric viewpoints that inform several strains of topic theory. he former position is summarized by Caplin’s (2005) exploration of the syntax problem in topical analysis, which shows that many eforts to legitimize the enterprise oten went hand in hand with attempts to syntacticize topics—to examine what grammatical and structural features they themselves might possess, or how they might otherwise contribute to expressing syntactic, formal, and structural elements. he consequence, as Nicholas McKay (2007) has argued in a broader, disciplinary study, is a serious undervaluing of the expressive signiicance of topics. hough Caplin numbers them among music’s Mirka190214OUS.indb 409 7/17/2014 9:07:21 AM 410 2. 3. 4. 5. 6. 7. 8. 9. 10. Mirka190214OUS.indb 410 Vasili Byros “signiicant forces for musical expression,” citing recent advances in the topic studies of Raymond Monelle as evidence, their signiications operate “quite independently of formal considerations” (Caplin 2005: 124)—so syntax, in a sense, still has the upper hand, whereas topic theory requires a “dialogue” or “balance” between syntax and semantics (McKay 2007; Rumph 2012: 94–95). Monelle (2000) presents a similar cautionary tale from the other, semantocentric side of the platform: we learn from his ictional musicologist, Dr. Strabismus, that attempts to “embrace semantics and syntactics” are destined to fail. “No comprehensive theory was possible for him. Only an overmastering stress on the sense of music, rather than its form or its syntax, united his random thoughts” (Monelle 2000: 4). Among the reasons for “Strabismus’s failure” is, evidently, the semantic autonomy of the topic. Expressive meaning is self-contained in the topic itself, as the signiication of a particular “cultural unit” (Monelle 2000: 13; ater Eco 1976: 67, citing Schneider 1968: 2; see also Monelle 2006: 10, 29). For Monelle, topical “meanings are inherent signiications, not dependent on the listener; they are lexical, or in common language they are ‘literal’ meanings.” he “primary concern of the topic theorist is to give an account of each topic in global terms, showing how it relects culture and society” (2006: 10). For an earlier analytic investigation of this interaction, speciically as it applies to the communication of wit and humor in Mozart, see Byros (2013). For punctuation formulas, igures, and marks, see the second and third volumes of Koch’s Versuch einer Anleitung zur Composition (1787: 347–48, 390; 1793: 7, 395) or corresponding passages of its English translation (1983: 2–3, 22, 64, 234). he Hauptruhepuncte des Geistes are discussed in the third volume (1793: 342–43; 1983: 213). On the Cadenz, see the Versuch (1787: 419–20; 1793: 342–43) or the English translation (1983: 38–39, 213). In the Versuch, structurally signiicant half cadences were designated Quintabsätze (V-phrases). But later, in the entry “Quintabsatz” from his Musikalisches Lexikon (1802: cols. 1211–12), Koch would explicitly ix the structural weight of the medial half cadence (Quintabsatz) of the transition relative to the Cadenz of the Schlußsatz (second theme), by designating it a Halbcadenz. Appendix B of my dissertation (Byros 2009) outlines each of these instances, along with several hundred other variants. he review is actually anonymous. he Rochlitz attribution is from Geck and Schleuning (1989). he English translation is based on Senner, Wallace, and Meredith (2001: 21). “Orgelpunkt (franz. Point d’orgue), oder anhaltende Cadenz ist eigentlich eine Auhaltung der Finalcadenz in Fugen oder fugenartigen Sätzen” (Koch 1807: 263). “Eine solche Stelle wird ein Orgelpunkt gennent, weil die Orgel, welche dabey im Basse blos den Ton aushält einigermaaßen einen Ruhepunkt hat, da die andern Stimmen fortfahren. Er kommt entweder auf der Tonica oder auf der Dominante vor und ist als eine Verzögerung des Schlusses anzusehen. . . . Insgemein bringt man in Fugen bey dem Haptschluß einen Orgelpunkt so an, daß die verschiedenen Säze und Gegensäze, die in der Fuge vorgekommen auf einen liegendem Basse so weit es angehet, vereiniget werden. Doch wird er auch bey andern Kirchensachen, die nicht als Fugen behandelt werden, angebracht” (Sulzer 1774: 860–61). All of the examples are referenced in Appendix B of my dissertation (Byros 2009). See, for example, K. 536/i, Trio; K. 571/i, iii; K. 600/vi; K. 602/ii, iii; K. 605/i; WoO 8, 11, 15, and WoO 13/i. 7/17/2014 9:07:21 AM TOPICS AND HARMONIC SCHEMATA: A CASE FROM BEETHOVEN 411 11. he sketches for the oratorio are contained in the Wielhorsky sketchbook of 1802–3 (see Johnson 1985). For more on the circumstances of the oratorio’s composition, see also Forbes (1967, 1: 295–96). 12. “Socrates u. Jesus waren mir Muster” (Köhler, Herre, Beck et al. 1968–2001, 1: 211). 13. According to Anton Schindler’s testimony (Schindler 1996: 248). 14. he Gellert Lieder Op. 48 (1802), which set six religious and spiritual poems of Christian Fürchtegott Gellert (1715–69), also date from this period. 15. “Mass H” in Walter (1973). 16. See Lockwood (1981) and Byros (2009: 20–24). 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