Taylor & Francis, Ltd.

Royal Musical Association

Mahler and Beethoven's Ninth Symphony
Author(s): Denis McCaldin
Source: Proceedings of the Royal Musical Association, Vol. 107 (1980 - 1981), pp. 101-110
Published by: Taylor & Francis, Ltd. on behalf of the Royal Musical Association
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NinthSymphony
Mahlerand Beethoven's
DENIS

McCALDIN

his life,Mahler was profoundlyinfluencedby Beethoven's music.

THROUGHOUT

and as a conare modelledon thoseofhispredecessor,

Manyofhissymphonies
ductormuchof his reputationoutsidetheopera house arose fromhis interpretations of Beethoven. Mahler considered performance of the Ninth

Symphonyto be particularlychallengingand, like othersbeforehim, he

preparedhisown versionsof thescorein an attemptto overcomesome of the
It is the purpose of thisarticleto examine these
difficulties.
interpretative
to Mahler'sownworkingscores.'
revisionswithparticularreference
the work
'Traditionis laziness',Mahler once said, 'In everyperformance
must be born anew'.2 This attitudestimulatedand shocked many of the

audiences that heard his interpretationsof the standard repertoire. Not only
were tempi, dynamics and phrasing often unexpectedly different,but on
occasion Mahler also retouched the orchestration.Some of his re-workings,

such as the arrangementof Beethoven'sStringQuartetop. 95 for string

orchestra,seem very eccentrictoday, but the adjustmentsto the Ninth
manyof whichare derivedfromWagner,deservedeeperscrutiny.
Symphony,

NinthSymphony3
is stilla landmark in
ofBeethoven's
Wagner's essay TheRendering

of thissymphony.
Thoughattackedby Gounod
respectto theinterpretation
in
article
the
whenitfirst
1873,
analysedthemaindifficulties
skilfully
appeared
of thiswork.Wagnerpointedout two general
associatedwithperformances
orchestralplayersto meet
problems:thefailureof most nineteenth-century
Beethoven'stechnicaldemands,and the composer'sdeafness.Lacking the
a numberof textual
of our ownage, he suggested
historicalself-consciousness

alterationsto Beethoven's score aimed at achievinggreaterclarity.These can be

summarized in the categories shown below.4

and hornparts,
RESTITUTION OF PARTS. This applied mostoftento thetrumpet

where improvementsin the instrumentaldesign since Beethoven's time made

new notes available. The opening of the finalecan thenbe re-writtenin a more
complete form following the contours of the firstflutepart at the appropriate
pitch. Extension to the working range of the firstviolins and flutealso allowed
the awkward octave displacement in thescherzo to be re-writtenstartingon the
high B flat,II/276-7.5
ADDITIVE
ORCHESTRATION
(including modification of dynamics and
articulation). Wagner rightly observed that the string group often over-

and suggestedadditionalnotesand a good deal

poweredthewindinstruments

of doubling. Quoting the C major themeof thescherzo(ex. 1) he suggested that

the upper line should be emphasizedby entrusting

it to most of the wind

section, i.e. flutes,oboes, clarinets, bassoons and four horns (II/93 et seq.).

Onlyin thiswaydid itseempossibleto balancethethemeagainstthefortissimo

octavefigurein thestrings.
CHANGES IN THE STRUCTURE OF THE ORCHESTRATION. Wagner feltthat where

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102

DENIS McCALDIN

Ex. 1: 11193etc.
Oboesand
Cltnets

Horns in D

PF

Horns in Bb

modestchangessuchas thoselistedabove wouldnotsuffice,

itmightbe defenscertainsectionsof thescore.In thisrespecthe showedgreater
ible to re-write
cautionthanmanyof thosewho followedhim.A particulardifficulty
arisesin
at theeight-barpassageforwoodwindmarked'espressivo',
thefirst
movement
forflute
I/138-45,and at itsrecapitulation,
writing
I/407-14.HereBeethoven's
and oboe is veryidiosyncratic
and althoughclarity
can be achievedwitha little
in theexposition,thelaterpassagerequiressomesubstantial
re-arrangement

Beethoven
Ex. 2: 114o9

Wagner

Wagnerf~~Fl.
A
changes to the flutepart (ex. 2), as well as other smalleradjustmentsto the subsidiary lines. Though few musicians today would take such bold steps, it is
worth noting that both Weingartner and Mahler embraced Wagner's
suggestions for thispassage.
a simpleminim-crotchet-crotchet
RECOMPOSITION. Wagner suggested
pattern
(C?-A-C#) in the solo tenor part to replace Beethoven's difficultimitative
writingin sixthswith the alto in the lastAdagio of thefinale,IV/837. While this
suggestion is both elegant and logical, it has never been adopted: such an

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MAHLER

AND BEETHOVEN'S

NINTH

SYMPHONY

103

extreme alteration, which amounts essentially to recomposition, apparently

remains unacceptable.
Two other importantcommentatorswho knewWagner's work subsequently
published theirown views on the Ninth Symphony.Sir George Grove's book
Beethovenand His Nine Symphonies
appeared in 1896 and Felix Weingartner's
ten years later.6In the
ofBeethoven's
Symphonies
monograph On thePerformance
course of an interesting analysis of the score, Grove discusses Wagner's
suggestions in these terms:
themelodyin thisplace [seeex. i ] byaddinghorns
Wagnerseriouslyproposesto strengthen
withothermodifications.
and modernvalve-trumpets,
The wonderis thatso greata composer
should nothavefeltthatanyalterationofa completedwork,byanybuttheauthorhimself,
is
is of no availhere.Make thesamepropositionin regardto a
impossible.Mozart'sauthority
is at once obviousto everyone.7
pictureor a poem and itsinadmissibility

Weingartner,being a conductor, is more technical. His book was published in

90o6and is thereforecontemporarywithmany of Mahler's own performances
(most of which were given between 1886 and 1909). The preface makes it
apparent that the writer,while respectfulof the musicologist'sviewconcerning
the sanctityof the original, still wished to present the Ninth Symphony in a
German musical taste.8Since thiswas
manner thatwould appeal tofin-de-siecle
essentiallythe same audience thatheard Mahler's performances,it is useful to
be able to examine Weingartner's book and Mahler's scores together as
evidence of performance practice at thattime. Weingartnertook considerable
care to define what alterations he considered were artisticallyjustified. Like
Mahler, he modelled his observations on Wagner's principles and his own
experience. He recommended the utmost prudence in making changes to
Beethoven's text in case the composer's 'own peculiar style' suffered.
Weingartner commented on the horn writingin the symphonies, which he
found unimaginative compared to Weber. In general his recommendations
concerning the Ninth Symphonywere less extremethanWagner's. He accepted
that notation could be altered to advantage (i.e. phrasing,dynamics,etc.) and
thattherewas the need forsome 'instrumentalinterference'.Achievinga better
balance with the stringsby doubling the woodwind was by this time almost
standard practice and where the limited compass of an instrumentcaused
Beethoven to omit certain notes, Weingartnerwas amenable to fillingout the
texture. But he was opposed to Wagner's obliteration of the original part
writingthroughroutine octave doubling. Like Grove he also drew attentionto
the problems of Beethoven's metronome markings.9Some of the principal
changes suggested by Weingartnerare categorized as follows:
OF PARTS.1/19, 2nd horn takes lower octave. 1/69,2nd bassoon
RESTITUTION
This note was formerlyso imperfectas ro be unacceptable.
lower
C?.
plays
ADDITIVEORCHESTRATION.1/16, wind note values shortened and
demisemiquaver restsinsertedbeforefortissimo
upbeat into bar 17. This kind of
adjustment to notation is of course invaluable in securingprecise ensemble.

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DENIS McCALDIN

104

INORCHESTRATION.1/232,oboes are added to strengthenthe second

CHANGES
violin line in thissection of powerfulthree-partcounterpoint.
IV/1-7, WeingartnerfeltWagner's arrangementof theopening fanfarein the
finale was inconsistent. In order to achieve maximum effect,the conductor
suggested the following changes: oboe and clarinetB-flatsto be raised to the
octave above, repeated D's on the firstflute,horns and trumpetsto be altered to
follow the melodic line (bars 5-7)IV/187, since the modulation does not allow the horns and trumpetsto
continue with the melodic material beyond thispoint and Beethoven requires
the sameff dynamic,Weingartnerassigned threeplayers to the upper line and
one to the lower in each of the woodwind parts. (Mahler chose to continue the
doubling on horns and trumpets.)
It is characteristicof Weingartner'swhole approach to the
RECOMPOSITION.
symphonythat,unlike Wagner and Mahler, there is no attemptto recompose
Beethoven's original score.

Mahler, like most conductors of his generation, made alterations to many

scores in his repertoire,and two documents provide the main details concerning the Ninth Symphony. They are the composer's working score, with
detailed changes in his own hand (BMA) and anotherversionwiththementered
by a copyist (BMC),'0 both owned at one time by Peters. The flyleafof BMC
bears a second (hire?) publisher's stamp, 'Universal Edition-Wien-New York',
togetherwith the statement'mit Instrumentalretouschenvon Gustav Mahler'.
The two scores are not consistent; BMC appears to be a faircopy while BMA
contains a number of unusual and experimentalentries such as the extensive
use of piccolo and E-flat clarinet." Since it is well-known that Mahler constantlyrevised his own works, it appears likelythatBMA is a workingscore in
which the composer sketchednew ideas forthe instrumentationin his quest for
the ideal arrangement. The instrumentationfor Mahler's orchestra shows a
substantialexpansion over thatenvisaged by Beethoven (see ex. 3):
Beethoven
Mahler

3*.2.2.3

4" 4-4-4.

4.2.3.0
8.4-3.1.

T.3P.
2T.3P.

Strings
Strings

Like Wagner and Weingartner,most of the alterations to Beethoven's score

were made in an attempt to obtain greater texturalclarity.Characteristically,
however, Mahler goes furthestin allowing the importance of musical line to
take preferenceover harmonic detail. A summaryof the main featuresappears
below, categorized as before:
OF PARTS.Mahler oftenacknowledged
thatBeethovenandWagner
RESTITUTION
were the two composers he most admired. Evidence of this can be found in
BMA and BMC which both incorporate essentiallyall Wagner's proposals in
thiscategory.

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MAHLER AND BEETHOVEN'S NINTH SYMPHONY

Ex. 3: 1/329-331

BEETHOVEN

I' F I

oI.

Ob.

MAHLER

t'

SIF
Db.

Db.

V
a.

rcb

V22

L.'-0D.bL

....

Ti.

-x

in(D

V I
Tr.

V2

Schallkrichter
auf!

I
I
mar-

Hn
Timp.

-mv.3

-A-

ain

'/ I I ,I.'F

Ob.

aa22
1.
.'

in
BD

105

L in F)M

in D

.
8i..p.

'
-IA

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10o6

DENIS McCALDIN

Flutes: Mahler made considerable use of* the

ADDITIVE
ORCHESTRATION.
extended range of*the instrument.Early on in the work the firstflutepart is
altered to match the firstviolin line (I/23-7). Moreover thesecond flutepart is
frequentlydeleted to allow the player to double that of the firstflute,e.g.
I/187-8, etc.
Oboes and Clarinets:Mahler repeatedlyaltered the oboe and clarinetparts to
favour a higher tessituraor less harmonically oriented line. Ex. 3 shows this
clearly. The second instrumentdoubles the firstand both are given the
characteristicMahler direction 'Schalltrichterauf (bells up).
Bassoons:Mahler freedthebassoons of theirfunctionas bass of thewoodwind
choir, using them instead to reinforceother lines, particularlythe cellos. A
good example of thisre-workingoccurs in thefirstmovement(I/318-20) (ex. 4):
Ex. 4: 11318
Bn.

BETHOVN

MAHLR

BETHOVYEN

MAHLER

and
Horns:The hornparts,so essentialto thecharacterof botheighteenth
or
altered
were
orchestral
nineteenth
rearranged.
writing,
frequently
century
Not onlywerechangesmade to the existingfourparts,but Mahleralso introducedadditionalmaterialof hisown. In ex. 3 theD pedal notesof Horns 1
and 2 are deleted,beingreplacedby theprincipaldescendingtheme(further
reinforced
by Horns5 and 6) whileHorns 7 and 8 double thecello line.
The availabilityof chromaticnotes on the trumpetencouraged
Trumpets:
to re-write
severalpassagesincludingthat
Wagnerand subsequentauthorities
at theopeningof thefinale.In his own musicMahleroftenfavouredtheinand perhapsforthisreasonthereareadditionalnotes
lowerregister
strument's
forthesecondplayerin hisversionof thiswork(see ex. 3).
Not only did Beethovenpioneer the use of trombonesin the
Trombones:
but theirdispositionin all his worksis characteristically
classicalsymphony,
restrained.One of Mahler's more dubious changes is the deletionof the
ofall
originaltrombonepartsin thefinale(IV/887-94)and hisre-assignment
to thechoralbass line(IV/895et seq.).
threeinstruments
Tuba: The introductionof a tuba into the score is scarcelyacceptableto
thecello/basslineatclimacticpoints
modernears.Mahleruses itto strengthen
The first
in theoutermovements.
appearanceisindicatedas '3Pos/Tuba',1-315.
As no trombonesare requiredby Beethovenat thispoint,theimplicationin
the
Mahler'sscoreis thatall threetrombonesand tubaarerequiredtoreinforce
and
in
the
IV/1
nature
a
similar
occur
of
Other
finale,
e.g.
passages
harmony.
IV/2o8.
Some of Mahler'smostsubstantialchangesto Beethoven'sscore
Percussion:
concernthe timpaniand percussionparts.In thefirstmovementthereare a

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MAHLER AND BEETHOVEN'S NINTH SYMPHONY

107

numberofdeletions.The cancellationofthetimpanibeginsat bar12o and later

both timpaniand trumpetsare affected(1/131-42and 1/401-13).Elsewhere
in thesamemovementMahlerrequirestwosetsoftimpani,as atbar315,where
thesecondplayeris assigneda quaverD on thefirstbeat(see also ex. 3). In the
slow movementthetimpanipartis deletedfrombar 99 to bar 114 and at the
is changedfromsemiquavers
opening of the finaleBeethoven'spart-writing
(i.e. a roll) to quaversat bars 4-6. Evenmore extremealterationsoccurlater
whichamountto recomposition
(see below).
Mahler'streatment
of thestringorchestraalso reflects
attitudespreStrings:
vailingamong musiciansat the end of the nineteenth
century.Concernfor
brillianceand clarityfrequently
of
promptedhimto raisethegeneraltessitura
thestringparts.In ex. 3 thesecondviolinpartis transposed
one
octave
upwards
and similarchangeshavebeenmadein theviolas.Sometimesthisconcernwith
orchestraleffectsproduces the most elaborate alterations.In the first
movementforexamplethereis one passagewhereMahlergraduallyreducesthe
numberof playersin all sectionsfora steepdiminuendo.
The indicationin the
first
violinpartoverbar 117is5 desks,overbar 118,4 desks,bar119,3 desksfor
thefirst
twobeatsand 2 desksfortheremainder.
The lowerstrings
aretreatedin
a similarmanner.
CHANGESIN ORCHESTRATION. As has alreadybeen indicated,Mahler'sattempts
to improvetheclarityofthepart-writing
thanthoseofhisprego muchfurther
decessors.This is particularly
truein termsofdeletions
to Beethoven'soriginal
score. Manyof thesechangesmustbe viewedas recomposition,
a procedure
whichWeingartner
criticized:
'on
no
are
account
we
roundly
justifiedin a reof his [Beethoven's]worksaccordingto theprinciplesof the
instrumentation
modern orchestra.'"2Yet the number of these deletions is substantial,
suggestingperhaps that for Mahler at least, withoutthem,unacceptable
problems of balance and projection still remained. Several changes in
have alreadybeen discussed;some further
orchestration
examplesare listed
below:
1/467-8,deletionofpartsforHorns 1 and 2 in preparationforcoda entryat
bar 469. The deviceof restinga partinadvanceofan important
entryis used a
numberof timesbyMahler.
and timpani.
1/469,removalof firstbeatquaverin all woodwind,trumpets
1/513-19,bassoon and trumpet
partsdeleted.
hornpartsremoved.
11/17-29,
III/99-114,timpanipartdeleted.
IV/655-75,clarinetsdouble oboes.
IV/655-63,firsttrombonepartdeleted.
IV/679-85,firsttrombonepartdeleted.
IV/683-7,secondtrumpetpartdeleted.
of thesebars is a clear illustration
IV/813-14,Mahler'sre-arrangements
of
hisconcernforsmoothtransition
fromone phraseto another.As a conductor,
he would have experiencedall too oftenthewindplayers'tendencyto overstresstheirlastchordin bar 813 in theiranxietyto makea smootherprogres-

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108

DENIS McCALDIN

Ex. 5: IVI8I3 [Adagio]

Tempo19

Mi

W.W.

R
.

/.

sion to the new tempo in the nextbar (ex. 5). Beethoven'swind chord on thelast
beat of bar 813 is thereforere-scored forthe stringsand theirchord at bar 814
deleted.
RECOMPOSITION. Whereas today the Adagio is generallyregarded as the finest
movement in thissymphony,to nineteenth-century
tasteitwas thefinalewhich
attractedthe greatestadmiration. It is thismovement,moreover,thatholds the
greatest challenges for a conductor, and it is not surprisingthereforeto find
Mahler's most substantialchanges, amounting sometimes to recomposition, in
this last section. Wagner's and Weingartner's suggestions regarding the instrumentationof the Schreckenfanfaren
at the opening have already been discussed. Mahler's versions embrace these ideas but add others, including four
horns, three trombones and tuba. He also raises the pitch of a number of the
woodwinds by an octave, e.g. second flute, second oboe, firstand second
clarinet and firstbassoon.
Mahler's views concerning the alla marcia(IV/331 et seq.) section are important.At a performancein Hamburg on 11 March 187513 he directedsome of the
wind band to be placed off-stage,rather in the manner of the trumpet in
Beethoven's thirdLeonoreoverture.This was exceptional, but at manyotherperformanceshe made alterations in the orchestrationwith the idea of beginning
thissection in thequietest and most mysteriousmannerpossible. Not only is the
second bassoon deleted at the opening (bar 331 et seq.) but the thirdand fourth
horns enter con sordini(bar 339). Seven measures later the oboe parts are redistributedto the flutesso thatBeethoven's textis not restoredintactuntil the
tenor soloist's entryat bar 374.
One of the climaxes of the finaleis thepassage of long, highA's forthechoral
sopranos at bars 718-729. Here Mahler clearly felt the need to adjust the
scoring, since he reinforcesthe oboes with the clarinets,doubles the trumpet
parts (from bar 716) and strengthensthe firsttrombone line withthe fifthand
sixth horns. The most substantial re-arrangementin this passage, however,

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MAHLER AND BEETHOVEN'S NINTH SYMPHONY

10g

concernsthe upper strings.Frombar 720 onwards,theoriginalviola partis

deletedand replacedbythatofthesecondviolins;all violinsintheorchestraare
thenassignedto thefirstviolinpart.
At the Prestissimo(IV/851),theMahlerianre-touchings
again amount to
recomposition.Apartfromthemissingnotesin the trumpetand horn parts
whichare filledinfollowing
thebassoonpartsare doubled
Wagner'sprinciples,
by the two extrapairs of horns.If Mahler'spurpose is to bringclarityto
Beethoven'sscore, thisseems a somewhathazardousdeviceconsideringthe
tempoindication!Moreover,thepercussionpartsare muchaltered.The first
entryofthetimpani,cymbalsand bassdrumisdeleted,leavingonlythetriangle
at bar 851. Additionaltimpaninotesare thenadded at bars856-857,whilethe
cymbals,but not the bass drum,are restoredat bar 859. Similardetailed
alterationscontinueup to thefinalcadence.
Mahler's firstperformanceof Beethoven'sNinthSymphonywas as Karl
Muck's deputyat a concertin Pragueon 21 February1886. Eightyearslater,
afterstudying
Wagner'sviewsin detail"4he stunnedHamburgaudiencesbyinhis
troducing own versioncontainingmanyof thealterationsdiscussedhere.
Therewas considerablecriticism
of theperforming
editionand in 1900a subHeuberger,a distinguished
sequentconcertin Viennaalso provokedhostility.
critic,referredto. Mahler's 'objectionablepracticeof re-paintingclassical
works' as 'sheer aberrationand barbarism',while Hirschfeldused the
notorious'artsversusscience' issue. 'This NinthSymphonyis a triumphof'
hewrote,'withitMahlerhasassertedhimself
as a modernist,
at leastas
lucidity',
faras thismodernage impelstheship of art towardsthereefsof science'.'5
Mahler's responseon thisoccasion was to publishan apologia whichwas
handed to all who attendedthe second Vienneseperformance.'6In it he
emphasizedhis respectboth forBeethoven'sscoreand Wagner'srecommendations.He also statedthathisperforming
version'does notdiffer
inessentials
fromthe limitsdrawn by Wagner. No one could possiblycall this a reor stillworse,an improvement
orchestration
on Beethoven'.Butsuchchanges
cannotbe justifiedin thesetermsalone and Mahlerwas deceivinghimselfifhe
thoughtotherwise.
ofmusicfromthepastare inQuestionsconcernedwiththereinterpretation
his own, in his
variablycomplex. Mahler alteredmanyscores,particularly
versionsand his motiveswerealwayssincere.His
attemptto find'definitive'
particularregard for Beethovenand for the NinthSymphonyled him to
reassesshis interpretation
of thisworkseveraltimesin hiscareer.The perforofinterest
fora numberofreasons;
mingscoreshe has leftbehindare therefore
notonlyare theyimportant
as historical
us about tastein
documents,
informing
buttheyalso offerunusualevidenceof the
Germanyand Austriaaround 1goo900,
interaction
of one greatcomposer'smindupon another's.

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DENIS McCALDIN

1 10

NOTES
toreproduce
forpermission
1 The authoris indebtedtotheLibrarianofSouthamptonUniversity

extractsfrommaterialin the Anna Mahler Collection,whichcontainsMahler'sannotated

scoresofa numberofotherworksbyBeethoven,Schubert,Schumann,etc.
toContemporary
Music(London, 1963),75.
2 J. Machlis,Introduction
ProseWorks,
trans.H. A. Ellis,v (London, 1896),231.
3 RichardWagner's
4 These categoriesare listedin thisformbytheauthorforconvenience.
5 This abbreviationindicatesthesecondmovement(II) bars 276-277.
6 Trans.J. Crossland(NewYork,n.d.).
of
7 Grove, op. cit., 357. The Mozart referencepresumablyalludes to the re-orchestration
Alexander's
Feast,etc.
Messiah,
editionsfortheBerliozGesamtausgabe.
8 See also Weingartner's

9 Grove, op. cit., 337; Weingartner,op. cit., 157, 165.

Unlessotherwise
to BothscoresarepartoftheAnnaMahlercollectionatSouthamptonUniversity.

in thisdiscussionis confinedto BMC.

indicated,reference
used at Hamburgon 11
colourfulMahlerversionof thesymphony
of
a
Details
particularly
11
March 1895 (whichhas not survived)are given by Emil Krause. See K. Blaukopf,Mahler

(London, 1976), 199.

12 Weingartner,
op. cit.,vi.
13 H.-L. de La Grange, Mahler(New York, 1973), 323; see also Blaukopf, op. cit., 199.
14 de La Grange, op. cit., 538.

15 de La Grange,op. cit.,556.

16 M. Kennedy, Mahler(London, 1974), 190.

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