Symphony No. 9 (Beethoven)

The Ninth Symphony's finale and it's perceived structure

The Ninth's finale begins with a full tutti orchestra, of which Wagner refers to as the fanfare of terror. Immediately after the fanfare is the recitation of cellos and contrabasses. The fanfare gives a dramatic contrast to the flow from the previous slow movement. The way Beethoven organises his musical thoughts in this finale (i.e. the fanfare, the recitative, the reminiscing of themes from previous movements between recitations in a dramatic way before introducing the joy theme) and the fact that the movement's structure does not match any standard representation format. These factors stir diverse opinions about the Ninth symphony. We present some of the views below:

Schenker (in 1910s) suggests a ternary form for the finale. Baensch (in 1930s) suggests a different three section (Stollen, Stollen and double Abgesang). Sanders (in 1960s) and Winter (in 1990s ) see the finale as still being governed by the sonata principle. Rosen (in 1980s) suggests that the finale is a four-movement work in miniature [see Levey (1995)]. The diagram below summarises the structure viewed from these different view points. The bar number are based on choralsym score version.

Bar 1 92 208-37 330 431 543-95 655 763 851 940 | | | | | | | | | | | | |--Part 1a --><--------Part 1b----------|Part 2|-----Part 3---------| |---Stollen--| Stollen|-----Abgesang----><---Abgesang---------------| |-Ritornello-|---Exposition--|--Dev--|--Recap--|-------Coda---------| |-Instrument-|-----------------Vocals-------------------------------| |-----Movement 1------|---Movement 2----|--M3--|-----Movement 4-----|

All of them are plausible interpretations. As a matter of fact, it is apparent that the different interpretations emerge from different structural groupings; the major landmarks are the same. However, so far, there is still no one best complete interpretation of the work. Burrows (1988) points out in the course materials that the structure of the finale has many similarities to his early Choral fantasia. The idea of seeing similarities between the Choral fantasia and the finale is well grounded since Beethoven himself sees the similarities in them. The other idea that we find very interesting is the fractal idea. The fractal idea sees a bigger whole as forming from smaller similar units. Tovey, Rosen and Levy share the view that there are similarities between the structure of the finale and the structure of the whole symphony. Tovey remarks [see `The Beethoven Companion' by Arnold and Fortune(1971)][p:310-311] : `There is no part of Beethoven's Choral symphony which does not, become clearer to us when we assume that the choral finale is right'. According to Tovey, when one accepts the structure of the finale in its own right, all the obscurities in the movements become clear. Levy also explains the construction of the finale based on the fractal idea which seeing a four-movement plan of the whole work in the finale.

All in all, we are convinced that the finale, the choral fantasia and the preceding three movements (of the Ninth symphony) share some common composition thoughts. We argue that the common features can be seen both with and without extra musical associations.

A logical connection

There is evidence from Beethoven's sketches that the general concepts of the Ninth symphony (i.e. movement planning, musical materials in each movement) are conceived from an early stage of the composition process. This suggests that the logical connections of the whole work are natural and they are very likely to be from Beethoven's conscious intentions. We discuss the music without resorting to extra-musical associations by arguing that Beethoven creates the homogeneity from the similarities of various musical concepts (e.g. tonalities, metrical structures, themes). The discussion is based on the similarities between:

• • The Choral fantasia and the Ninth symphony.

  • The structure of the finale and the structure of the whole symphony.

However, we do not dismiss the extra-musical association view. The close connection between texts and emotional qualities are apparent (e.g. the Turkish music in the finale and the set texts). We discuss this aspect and review some of the narrations given under this view.

Structure of the Ninth symphony

To point out the similarities in them we briefly summarise the structure of the four movements here. The first movement is in the sonata form, it is opened with an incomplete dominant chord (no third). This movement is distinct for a number of features. Apart from the opening with an incomplete dominant chord, the second key area is in Bb major which is not a common practice in those days. The music in this movement is distinct for its flow of energy (not a flow of melody but rather a flow of sound mass). Burrows (1988) point out the tuneless and the colourless of orchestration quality of the movement. Cook (1993)[p:28] suggests that Beethoven create a continual motion in this movement by repeated avoiding strong cadence and resolving the harmonic resolution on the weak beats. We will argue in later section that these characteristics and deviations are intentionally devised to create a unity in the overall picture.

The Scherzo--Trio is the second movement of the Ninth symphony. This is not a common practice though it is not very unusual. However, this arrangement is crucial for the fractal view since it provides a mapping between the Scherzo-Trio to the section from bar 330-595 in the finale and subsequently sees the similarities in the section from bar 595-655 in the finale with the third movement. It is interesting to see that there is not much tonal contrast between the first and the second movement. There are two other interesting harmonic plans in this movement. Firstly, the second key area is in an unusual flattened seventh (C major) away from the home key (D minor). Secondly, the development section employs progression by third to various tonalities along the course from tonic to dominant.

The third movement is in a sonata rondo form. The exposition presents four variations based on two themes (A,B,A',B'). The development and the recapitulation sections are based on theme A. The main tonality of this movement is in Bb major which is the second key area in the first movement. For the first time, the music expresses beauty in contrast to the forceful energy in the previous two movements. Beethoven connects each tonality region with sharp contrasts. The overall tonality progresses mostly in third relationship: M3 up -- M3 down -- m3 down -- M3 down -- m3 down -- M2 down -- P5 down -- P5 up -- m3 up -- m3 down.

The last movement is the most problematic one in term of its structure. We adapt the diagram from unit 11-12 in the course materials. We map the structure of the finale to two ideas (i.e. the double variations and the fractal idea). In this diagram V1 means Verse 1 and C1 means Chorus 1 with respect to the Schiller's Ode to Joy.

In Beethoven's late works, music materials seem to grow out of the motive seed; musical structure tends to be fused from many structural techniques. Beethoven employs this tactics to create homogeneity out of heterogeneity. In the Ninth symphony, the joy theme provides links in all movements; each movement is thoughtfully constructed (i.e. the arrangement of themes, tonality, metrical structure, tempo, mood) to allow a balance and continuity as a whole. We believe that Beethoven makes deviations in each movement from the norm (e.g. Bb major as the second key area in the first movement; Scherzo as the second movement) in aiming for the continuity in the bigger scope.

Connections without extra musical associations

In 1801, Beethoven expressed his unsatisfactory with the works he had so far accomplished; he announced ``from this day on, I shall take a new path''. He continuously seeks new ways to express his musical thoughts for all his life.Hopkins (1981)[p:245] points out that in Beethoven late piano sonatas (i.e. Bb major--op 106; E major--op 109; Ab major--op 110), Beethoven exploits the idiom by, for example, fluctuating the tempo, beginning the movement with a recitative, etc. These features are also observed in the Ninth's finale. We argue that in the Ninth symphony, Beethoven has successfully developed a satisfactory form to handle his extensive expressions.

One possible structure that Beethoven has in mind when composing the Ninth's finale could be the double variation form which combines both instruments and vocals together. There are striking similarities between the finale and the choral fantasia. Both works incorporate instruments and voices and aiming to highlight the vocal section. We see the following similarities in the top level form:

• • The instrument and the vocal sections are presented in double variation forms.

  • The tonality moves from tonic minor to tonic major.

  • Themes are being offered and rejected many times before the final vocal theme is accepted.

Rosen (1971) [p:439-440] suggests that Beethoven uses a variation form to create a unifying equivalent for the several movements of a symphony in the finale. It is very interesting to see that there are similarities between the several sections in finale and the preceding movements. The mood (e.g. metrical structure, tempo) of the music in the finale falls nicely into four sections and the first three sections matches well to the three preceding movements. This leads to the second opinion about the structure of the finale: the fractal idea. The fractal idea sees the whole structure as constructing from a small similar unit. This type of structure provides a very satisfying coherent for the overall structure.

Creating a coherent whole by employing similar structure in the construction is an effective strategy. From the thematic material point of view, we see the existent of the joy theme in all movements. This gives a coherent in terms of the melodic idea. Beethoven extends the same concept to other musical building blocks. In the Ninth symphony, each movement is skillfully constructed to allow the balance and continuity as a whole in various perspectives.

It is convincing to see the finale as constructed from mini four-movements which match very well with the previous three movements. We can see that the Bb major area in the finale (Turkish music section) shares a close association to the second movement in terms of metrical structure, tempo and mood. The section between bar 595-655 in the finale bears a close relationship to the slow third movement. The above is not the only similarity seen in the fractal view. We can also see similarities in the harmonic plan of the first movement and the finale.

Connections with extra musical associations

The start of the finale reminds us of scenes from the past. The scenes are revealed one by one, just like the flash back technique used in movies. At the surface level, we can see the agreement between Schiller's verse and the mood of music.

The verse and chorus in the Ode to Joy are rearranged by Beethoven. There are nine verse---chorus pairs in the poem; only verse 1, verse 2, verse 3, chorus 1, chorus 3 and chorus 4 are set with the music. It seems that verse 1 and chorus 1 are the main ideas he wants to convey. The associations between music, texts and emotional contents are culturally apparent. Levy suggests the close associations among the Turkish music, the Heroic ideaand the text `Froh, wie seine Sonen fliegen...'. It is also apparent that chorus 1 and chorus 3 are set with a solemn music. kinderman points out the use of Eb chord as the representation for the presence of deity in the Credo of the Missa solemnis and in the Ninth finale (bar 643-646). The associations at this level are very convincing. However, if Beethoven intends to arrange the music in a narrative way is not easy to illustrate.

There are collective agreements (for the western ears) that the first movement possesses a triumphant quality. The second and third movement are generally perceived as two different types of joy. Cook (1993) [p:66] makes clear that our interpretations are conditioned by our experience; Grove hears the first movement as an accomplished triumph while Tovey hears it as a threatening triumph. This alarms us that this type of interpretation could be very personal.

The fact that the finale starts with the fanfare, the recitative and the reminiscing of themes from the three preceding movements. The finale favours the hermeneutic view in many points, by attaching meaning to the first three movements (according to the emotional expressions); it is not hard to come to the conclusion that Beethoven composed the work with extra hidden narration. Hopkins (1981)[p:272] pictures `Beethoven talking to himself on paper' in searching for the right tune for the finale. We believe his narration owes a lot to the opening text (i.e. O Freunde, nicht diese Töne...).

Perhaps, the first narrative given to the Ninth symphony is by Marx. In 1826, Marx put a narrative over the whole symphony, he says `we must recognise that it is something other than a vocal composition' [quote from Cook (1993)][p:67-80]. Marx's narrative is about `man's triumph over nature'. There are also other narrative versions. Fröhlich's version is about `The power of joy to overcome sorrow'. Wagner's version is also about `the quest for joy'. It is not a surprise to see that the Ninth symphony also fit a revolutionary narration, or even Buddhism's `four noble truths'. The interpretation merely acts as a surface representation of the music.

Conclusion

Beethoven's organic style becomes very distinct during his last period. We can see the existence of the joy theme in all movements. He also exploits the structural idiom extensively. The expansion of the traditional symphonic form is observed as early as the 1810s (e.g. in the Eroica symphony). The second movement in the Eroica is expanded with an inserted fugal episode between the funeral March. We also see fugal sections in the first, the second and the last movements in the Ninth symphony. Various late works also employ devices like tempo fluctuation, theme reminiscing. Basil Deane also points out the similarities in the tonality plan between the Fifth symphony and the Ninth symphony [see Arnold and Fortune(1971)] [p:307-308]. This favours the argument that the deviation from the norm is purely for musical purposes. There is a complete scene in music without resorting to an extra-musical interpretation.

However, extra-musical association approach could provide a useful contribution to the understanding of the work, but at the same time it could be extremely harmful as it may lead to an absolute misleading concept (if it is abused).