On the structural Integrity of Beethoven*s ninth Symphony

BY

PHILIP FRIEDHEIM

The choral finale itself is perfect in form. We must insist on this, because vast masses of
idle criticism are still nowadays directed against the Ninth Symphony and others of
Beethoven’s later works in point of form; and these criticisms rest upon uncultured and
unclassical text-book criteria as to musical form; mere statements of the average procedure
warranted to produce tolerable effect if carefully carried out. We shall never make head or tail
of the Ninth Symphony until we treat it as a law unto itself.—Donald Francis Tovey

Beethoven’s ninth Symphony has with justification received a considerable amount

of critical atttention since its first performance in 1823.1 Its ground-breaking
position in the history of Western music has never been questioned. Many aspects of
this remarkable score have been examined, even as certain perplexing problems
continue to evade facile explanation. Despite all that has been written on its internal
integration, however, some fascinating details seem to have escaped general notice.
These concern the relationships between the formal structures of the individual
movements and their effect on each other.
Of course, each movement has its own architectural pattern. And even if, in the
last two movements, the exact nature of this pattern from first bar to last is open to
question, for the most part it turns out to be essentially clear—and even highly
articulated along familiar lines. The unusual thing with regard to the ninth
Symphony is that the form of each movement becomes absorbed into the next, even
as each establishes its own structural design.
In brief, this change in direction as it manifests itself throughout the Symphony
takes shape as follows. The first movement, for all its originality, is in a familiar
sonata-allegro form. The second movement is a scherzo and trio. However, the first
part of the scherzo, comprising the music up to the trio, is a complete sonata-allegro
structure in itself. This is followed by the trio, which, as a clearly intended contrast,
is thematically independent of the scherzo section. The movement then concludes
with a return of the scherzo and a short coda that touches on the theme from the trio.
The third movement in turn elaborates on the idea of an alternation between two
independent thematic passages. The basic design of the second movement, ABA

In preparing this article forpublication, I have decided not to follow the pattern most often adhered
m this type of scholarly activity. I have not included a detailed bibliography of other writings on the
subject. For one thing, a bibliography of Beethoven’s ninth Symphony would be enormous. For another
1 must assume my ideal reader already knows this material. Thus when, within this article, I refer to some
"tical disagreement over one point or another, I assume my reader knows these points and has perhaps
eady given them some thought. Finally, I felt it was important for me to take a position as a scholar
alKing to other scholars rather than to suggest the role of a graduate student proving to his teachers that
has done his homework. I humbly ask the reader to accept the fact that I have indeed done just this, as
accept the fact that he has as well. I am not advocating the omission of a bibliography as a procedure
hers should follow in all future articles. That would be foolhardy. It is also understood that a certain
mount of repetition of familiar observations already noted must be included here, if only in order to
ake the argument more-logical and easier to follow.
94 THE MUSI C REVI EW

with a fragment of B returning at the end, expands to become ABABA in the third
movement, with variations on A appearing at each of its repetitions. This movement
also includes an interlude before the final variation on A and a coda after it. The idea
of a theme and variations as introduced here then supplies a formal pattern for the
last movement. However, the variations function only through the first part of this
movement.
An examination of the ways in which the form of each movement shapes that of
the next will reveal a gradual breakdown of traditional structural patterns and the
arrival at a state of rhapsodic compositional freedom at the end of the fourth
movement (already suggested at the end of the third). Thus it can be argued that the
form of each movement grows in some way out of the preceding one, even as the
entire Symphony moves to the point where it will finally free itself from all formal
restrictions. The details of this general scheme will be explored in the essay below.^

I
Almost without exception, the first movements of Beethoven’s multi-movement
instrumental compositions are in sonata form. And even though he reshaped various
aspects of this form throughout his life, he never radically departed from it. No
matter how daring he became—and one must include the first movement of the
ninth Symphony among his most daring compositions—Beethoven never allowed
this structure to get as cloudy as it would become in the first movement of Berlioz’s
Symphonic fantastique (which appeared only seven years after Beethoven’s Ninth).
Thus, the academic questions that perplex scholars here, fascinating as they are, do
not alter the thesis of this essay. Are the first i6 bars an introduction or part of the
exposition? Does the recapitulation begin at bar 301, where the material from the
first 16 bars returns, or at bar 315, where the principal theme returns? (The answers
to these questions actually presuppose the existence of further questions.)
However we view the first 16 bars of the movement, the exposition ends at bar
159. It has modulated from D minor to B flat for its secondary themes (avoiding the
relative major altogether) and closed on a B flat triad that persists for ten bars.
Whether one chooses to place the beginning of the development at bar 160 or shortly
after that (perhaps at bar 170, when the harmony begins to move), it does eventually
start, to be followed by a recapitulation (perhaps at bar 301, perhaps at 315) and an
impressive coda beginning at bar 427.
This coda, like some from earlier works of Beethoven, functions as a second
development. It also makes use of the tonic chord with the lowered 7^^
scale-degree—a familiar V/IV characteristically appearing in codas of this historical
period. (The V/IV can be found in bars 531-2 and 535-6.) In neither case, as it turns
out, does it ever get to IV; it moves instead to an altered V/V. The passage
eventually climaxes, like other first-movement codas of Beethoven, with another

2 The analysis that follows is conceived for a reader with a full score in hand and with the bats
numbered. In addition, some musical examples have been included in the body of the article. These often
serve to clarify certain harmonic points. It seemed best to present many of them in reduced or pian®
score. As a result, Exx. 1-5, 8, to, 13, 14 and 19 are taken from Liszt’s piano transcriptions
Beethoven’s symphonies.
 B E E T H O V E N ’ S N I N T H S YMP HONY 95

return of the principal theme in the tonic (bar 539), as if a second recapitulation were
about to begin.3 The movement ends nine bars after the return of the principal
theme.
This method of concluding the coda with one more statement of the principal
theme actually contains structural as well as ideological implications. Not only does
it affect the form but it also relates to the underlying humanistic ideals embedded in
this composition. This structural gesture will affect later passages in the ninth
Symphony, even as it parallels procedures aised by Beethoven in earlier composi­
tions. The closed three-part form of exposition, development and recapitulation
rounds itself out in that the third part parallels the first, absorbing all of its thematic
material into the tonic. But by turning the coda into another development,
Beethoven expands his form. We now move from an exposition to a development, a
restatement of the exposition, then a redevelopment and the beginning of ahother
restatement.
The idea of a second development suggests that there are so many motivic
possibilities buried in the thematic material that one development is not sufficient.
But a second recapitulation implies that after this there could appear yet another
development, moving on this way ad infinitum. In other words, the thematic
material is ultimately inexhaustible and always capable of further development. The
point here is not whether any musical material can be developed endlessly (that
question must in all likelihood be answered affirmatively) but whether Beethoven’s
treatment of his structurei here suggests such an interpretation. The reader who
questions this is asked to reserve final judgment until the analysis of the second
movement is completed.

II
Two aspects of this second movement are particularly relevant for this study. The
first concerns the way in which the scherzo section is turned into a miniature
sonata-allegro form, and the second with the way in which the three-part
scherzo-trio-scherzo structure is treated to imply that further repetitions of these
two sections could easily follow. The first area for investigation, the incorporation of
the sonata form into the scherzo, relates this movement to the preceding one. The
second, the extension of the structure, relates it to the following one. Interestingly,
both aspects of this movement have a history in earlier scherzos by Beethoven.
Certain structural peculiarities here become more clear to the extent that they are
seen as the culmination of earlier explorations of these possibilities. I will limit this
brief examination of Beethoven’s scherzos to the symphonies; equally relevant
movements from other compositions come to mind, but it is hardly necessary to
examine them all.
The opening scherzo structure (a ternary form growing out of a binary pattern) is
Iderived from the Classical minuet and follows an eighteenth-century dance form.
The second part of the binary structure is lengthened, so that, at the point where the
Itonic returns, the melodic material from the first part returns as well. Thus, what

3 Another example of this can be found at the end of the first movement of the fifth Symphony.
96 THE MUSI C REVI EW

appears in a Bach suite as two sections more or less equally balanced (even there the
second part tends to be a bit longer than the first) by the time of Beethoven’s first
Symphony has altered to include a conspicuously elongated second section
containing a short development, a return to the tonic with the original theme from
the first section, and cadential material, with I-V-I chords alternating bar-for-bar in
root position up to the repeat mark. In Beethoven’s first Symphony, the first section
covers eight bars, while the second covers over 70-
In the fourth Symphony, the scherzo structure becomes even more elaborate. At
the beginning of the second section, we find a real development covering 32 bars,
almost half the length of the 70 bars that comprise this part of the binary pattern.
But in addition to including a real development, Beethoven also lengthens the
movement as a whole. He writes out the return of the scherzo in full rather than
using the familiar da capo direction at the end of the trio; he then runs through the
trio again for the second time. He closes with what begins as a return of the scherzo
for a third time, at which point the movement ends. Thus, what was originally a
three-part scherzo-trio-scherzo form turns into a scherzo-trio-scherzo-trio, followed
by a short scherzo fragment. This is most important, not only as a method ot
extending this type of movement without changing it into something radically
different, but also as a way of suggesting an idea implied earlier m this article in
another context: that the music could continue furAer, in this case simply y
juxtaposing the scherzo with the trio. A reader who thinks such an idea irnpro a e
should examine the scherzo from the seventh Symphony. There, this point of view
becomes the basis for the extended structure.
. In the seventh Symphony, certain principles found in the earlier scherzos ar
carried about as far as they can go. The first section of the scherzo contains 24 bars
This is followed, as before, by a second section that breaks down into sma e
subdivisions: first a 64-bar development, in itself almost three times as long as
first section, then a return to the tonic and the original scherzo material, cone umng
with its own characteristic cadence. This adds 48 more bars, twice the original eng
of the first section, to reach a total of 112 bars. Twelve bars of transition lead eitn
back to the development or on to the trio.
The over-all structure of the movement contains not three but five seen >
including a repetition of the trio a second time (as in the fourth Symphony),
by a full return of the scherzo for the third time—and, beyond this, a coda m
actually begins to run through the trio again for the third time. At this pom ,
abrupt cadential gesture (not related thematically to previous material) conci
the movement in the middle of the phrase (see Ex. i).

Ex.l Presto
8 ......
Presto meno assai
 B E E T H O V E N ’ S N I N T H SYMPHONY 97

Thus, as clearly as he can express it without words, Beethoven suggests the idea
of swinging back and forth between scherzo and trio. In exploring the extra-musical
implications of this gesture, one suspects that a somewhat different concept is being
considered here from the one implied in the second development of a sonata-allegro
form. There, the extended form suggested the limitless possibilities for the
manipulation of thematic material. Here, it seems to have more to do with the
high-energy level of the Beethoven scherzo. When this is combined with a formal
pattern that repeats complete sections over and over again, it seems to establish an
impetus that is without limits. (Perhaps on some sort of spiritual level this is meant to
suggest that the source of this energy, or life-force, is ultimately indestructible.)
Now as music exists in time, an individual musical composition ^annot go on forever
repeating itself. So the composer chooses instead to set up an architectural symbol
that represents this ideal; once he has communicated it, he then stops. And he stops
with a deliberately abrupt gesture to make it clear that the final bars are no more
than a convenience, that the cadence does not grow out of the music itself but is
merely a necessary appendage pasted onto it.
The second movement from the ninth Symphony becomes Beethoven’s first
scherzo where the sonata-allegro implications of the binary dance form are fully
realized. In previous scherzo movements, we found a principal theme (changing key
before the cadence), a development, a return and, usually, a codetta. Thus the first
section needs merely to be expanded to include a full contrasting theme after the
modulation rather than a cadence. The exposition in this first section now covers 135
bars (the music begins with an 8-bar introduction, after which the initial repeat mark
appears). A 6-bar transition follows that leads into the repetition of the entire
passage. This miniature sonata-allegro exposition breaks down as follows:

Introduction (D minor): bar i;

Principal theme (D minor): bar 9;
Transition-modulation: bar 77;
Secondary theme (C major): bar 93;
Closing cadence (C major): bars 127-144.

The development begins in E minor at bar 177; the D minor tonic returns at bar
260; the recapitulation starts at bar 272. The pattern for the exposition is then
repeated, except for the necessary alteration of the transition to maintain the tonic
through the restatement of the secondary theme. In the exposition, the modulation
covered 16 bars (bar^yy—92); in the recapitulation, the parallel passage expands to
34 bars (bars 296-330). The secondary theme starts in D major but soon reverts to
minor. The closing cadence starts at bar 372 but does not follow its original shape for
long. It turns into a codetta that moves in a different direction, preparing for the
change to the tempo {Presto) and metre (2/2) of the trio that follows.
In his earlier sonata movements, Beethoven often eliminated the repeat of the
exposition; he almost always eliminated the repeat of the second part of the
movement. This scherzo, however, is still a binary dance structure, and thus the
mandatory repeat marks at the end of each section call for a full repeat of the
98 THE MUSI C REVI EW

development and recapitulation as well as of the exposition. Not too surprisingly,

this second repeat is not always honoured in performance and on recordings.^
To understand the ways in which each of the later movements of this Symphony
aborbs the form from the preceding one, even as it establishes its own design for
absorption into the next, one must remember that the two sections of the
scherzo-trio design are completely independent. No theme from the scherzo returns
during the trio, and no final coda combines themes from scherzo as well as trio
together. The trio has its own binary form, with its own repeat marks. In point of
fact, Beethoven’s transition, with its abrupt change from 3/4 (Molto vivace) to 2/2
{Presto) actually magnifies the differences between the sections even more than the
change from D minor to D major.
Tlje trio runs its course, both its sections are repeated, and the scherzo returns
without repeats. We can almost predict, given our experience of previous scherzos
by Beethoven, that the final coda will quote the beginning of the trio, as if it were
about to run through it again. As in the third movement of the seventh .Symphony,
however, it will suddenly shift into a unison close and an almost “slapdash final
cadence (see Ex. 2). If this movement existed by itself, without the seventh
Symphony behind it, we might see these final bars as no more than a passing
reference back to the trio. But in view of the elongated form of the third movement
of the seventh Symphony, and the notable similarity between the final bars
(compare Ex. 2 with Ex. i), one can draw certain conclusions. These closing bars,
like those from the Seventh, suggest that the form is open-ended and could move
back and forth between scherzo and trio endlessly. Beethoven chooses not to do
here what he did in the seventh Symphony; to repeat the trio as well as the scherzo*

* When dealing with commercial recordings, one must always be aware of the fact that practica
matters like finanaal economy may play their part in decisions to eliminate the repetitions of sections. W
addition, the separate movements of all multi-movement compositions must be made to fit into tne
half-hour time-limit per side. As a result, it is somewhat difficult to find recordings of Beethoven’s nintn
Symphony that include all the repetitions. One recording that does this is London CSP-8, with Georg
Solti conducting the Chicago Symphony Orchestra and Chorus.
 B E E T H O V E N ’ S N I N T H S YMPHONY 99

for a second and even a third time, most probably because he has already lengthened
the scherzo section itself into a full-length sonata form. As it now stands, this scherzo
covers over 400 bars before the trio even begins; this is more than twice the length of
the parallel section of the seventh Symphony.

Ill
Before moving on to the third movement, we must focus attention on a few small
points that reveal further connective links between the first and second movements.
Four instances will show how, beyond overtly utilizing the sonata form, the scherzo
derives subtle details of its shape from the first movement. One of these involves the
character of the introduction; another the approach to the recapitulation; a third the
use of the augmented 6th chord at the same place in both movements; and a fourth
the treatment of the secondary theme in the recapitulation.
As already observed, some uncertainty exists among critics as to whether the first
16 bars of the first movement are to be considered an introduction or a part of the
exposition proper. Some of the reasons for this uncertainty are: first, these bars are
in the same tempo as the movement instead of being in a more traditional Adagio
tempo leading to an Allegro\ second, they utilize fragments of the principal theme to
follow; and third, they return later in the exposition (bars 36-48), in the
development (bars 160-180) and then at the beginning of the recapitulation (bars
30i - 3i 2).s
The approach pursued in this essay will not be to take a stand in favour of one
interpretation or another but, rather, to point out that the first eight bars of the
scherzo follow a similar pattern to the opening of the first movement. They are
clearly introductory, although they 'could also be considered a part of the scherzo
itself. The first repeat mark indicating the beginning of the binary structure does not
appear until bar 9. Now the opening eight bars do not return in the second part of
this binary form. However, like the opening bars of the first movement, they are in
the proper tempo and use motifs from the principal theme to follow as well. After
the trio is completed, they will be heard again leading into the return of the scherzo.
Thus the parallel functions shared by these two passages seem evident.
Now let us compare the sections from both movements that approach the D
minor tonic at the recapitulation. In a sonata movement from his earlier
compositions, Beethoven would accomplish this through a few bars of dominant
harmony in root position. But in some of his second-period works he will lead into
this important tonic through the tonic chord itself, usually in second inversion,
avoiding the use of the dominant. A conspicuous example can be found in the first
movement of the fourth Symphony. There, the recapitulation of the principal
theme, built as usual on a tonic chord, follows no less than 26 bars of tonic 4 and then
four more bars of tonic in root position. No dominant appears.

5 It might be useful to make a distinction between a term like “introductory passage” and a more
formal “introduction”. The latter term would then imply a distinct separation, at least in Classical-period
practice, from the main body of the movement that follows.
100 THE MUSI C REVI EW

Now a tonic ®chord, with the all-important dominant note in the bass, stands in
its own way for a dominant chord. In these passages, Beethoven seems to be
exploiting the relationship between these two chords by mixing tonic and dominant
elements—^which is to say substituting a tonic 4, traditionally an approach to the
dominant, for the dominant itself. The reader considering this point with regard to
the fourth Symphony should remember that in his third Symphony as well
Beethoven approaches the recapitulation through a different, although parallel,
method of combining tonic and dominant harmonies.
In the first as well as the second movement of the ninth Symphony, the
recapitulations use the tonic chord in inversion but in different ways. The parallel
passages from these movements are seen in Exx. 3(0) and 3(b). The problem in the
first movement stems from the fact that the opening 16 bars are built on dominant
harmony, which resolves to the tonic in bar 17 coincidental with the appearance of

Ex. 3(0)
 Be e t h o v e n ’ s ninth symphony lOI

Ex. 3 (6)

the principal theme. If the beginning of an exposition is signalled by a clear tonic

expression, then it begins at bar 17 and not at bar i.
If, in these opening pages, the problem can be considered academic, it becomes
more pressing in the recapitulation. For now the material from bars 1-16 returns as
the tonic rather than as the dominant. Thus there is no question but that the tonic
returns at bar 301, even though the principal theme does not appear until 14 bars
later (Ex. 3(a) is preceded by four bars of dominant harmony)^
But this tonic chord, in addition to appearing in major, is also in inversion, with F
sharps in the string basses dramatically jumping octaves from bar to bar. The chord
reverts to minor when the principal theme appears (bar 315), but it maintains its
inverted position. Beethoven has clearly gone to some lengths to avoid a tonic chord
in root position here, increasing the tension of this passage. If a recapitulation must
begin with the return of tonic harmony, then it begins in bar 301; however, if it must
coincide with the return of the thematic material, then it begins in bar 315. If it
 102 THE MUSI C REVI EW

begins in 315, then it is preceded by a tonic chord in inversion. Precedents for both
these interpretations can be found in earlier works of Beethoven.
As stated previously, the goal of this examination is not to solve these questions
but only to point out how a similar approach is used in parallel positions in both
movements. In the scherzo, bars 264-267 utilize tonic ®chords in the orchesta; these
lead to four bars of tonic in root position (exactly as in the fourth Symphony) and
then, at bar 271, to the return of the theme. As always, one must understand these
tonic ^ chords to be substitutes for the dominant chord through the position of this
dominant pitch in the bass. Even so, in this passage frcm the scherzo movement, a
traditional dominant never appears at all, and the recapitulation is approached
through the tonic. ^
In examining these two passages, one should also observe the augmented 6th
chord that appears in both movements at this same place in the structure. In Ex.
3(a), the function of this chord is genuinely perplexing; however, in Ex. 3(6) it
functions in a more rational context. In the key of D, this chord will be spelt B
flat-D-F (or E sharp, depending on the resolution)-G sharp (or A flat, as in Ex. 3(0).
In the first movement, it appears arbitrarily sandwiched between twelve bars of a D
major chord in first inversion and eight more bars of a D minor chord, also in
inversion. The sudden emergence of the A flat is unexpected, particularly when it
does not move down to G as one might expect but back up again to A natural two
bars later.
When this same chord returns in the second movement, however (see Ex. 2(b)),
it is more integrated into the context. It functions in both of its traditional capacities,
first as a dominant 7th of E flat (spelt B flat-D-F-A flat) and then as an augmented
6th chord in D minor (spelt B flat-D-F-G sharp), resolving to a dominant octave that
forms part of a tonic ®chord. In the scherzo, the miniature development that began
in E minor had ended somehow in E flat. At its initial appearance here, this
long-held chord (bars 248-251) functions in an E flat context. When it reappears a
few bars later (bars 256-259), its new role as an augmented 6th chord allows for a
smooth transition back to D minor.
Thus this same chord appears in both movements as a part of the passage leading
to the return of the tonic. Its function in the first movement is enigmatic. Perhaps it
is meant to remain ambiguous until it returns in the following movement; there it
will take on a clearer function. We will meet an augmented 6th again in the third'
movement; it will play an even more remarkable role there, once again in a dual
capacity—as a dominant 7th in one key and as an augmented 6th in another—and
once again lead to the return of the principal theme."^ Thus we begin to see how many
elements, both large and small, return from one movement to the next in this
Symphony.

®One might observe that in both these passages the timpani play an unusual role; they never coincide
with the pitch of the strin^asses. In Ex. 3(a), they maintain a tremolo on D, while in Ex. 3(b) they repeal
their ostinato motif on F. This is not to suggest that in either passage should the timpani be considered the
bass for the chord but only that Beethoven has taken a similar approach in both places, providing one
more link between the movements.
’ Ido not mean to suggest that this interchange between a dominant 7th chord and an augmented 6th is
in any way peculiar to Beethoven or to this Symphony. We are dealing here with standard chromatic
procedure to be found throughout the nineteenth century and with roots in eighteenth-century practice-
 B E E T H O V E N ’ S N I N T H SYMP HONY 103

One last point must be observed here that offers a parallel in construction for
both of these movements. This regards the choice of tonality for the secondary
theme in the recapitulation. Traditionally, if a sonata-allegro movement is in minor,
the secondary theme will first appear in the relative major. But if this major tonality
is maintained in the recapitulation, then either the movement will end in major or
some adjustment must be made after the theme returns to ensure that the movement
will end as it has begun, in minor. Therefore, composers always had choices open to
them with regard to the recapitulation of the secondary material. And in his ninth
Symphony Beethoven solved these problems in the first two movements in similar
ways. In both cases, the secondary theme returns in the recapitulation in major and
is then immediately repeated in minor. Even though both these movements are in D
minor, in the opening movement the secondary theme first appears in B flat major.
But in the recapitulation it returns in D major and is then repeated in D minor. In
the second movement, the secondary theme first appears in C major but returns in
the recapitulation in D major and then reverts to minor, following the same pattern
as was noted in the first movement. Once again, structural procedures initially
appearing in one movement produce similar shapes in the next.

IV
The scherzo-trio-scherzo structure of the second movement, with each section
separate from the next and with both sections returning in an alternating pattern,
becomes the basic form of the third movement. The B flat tonality here has been
heard earlier in the secondary thematic material from the first movement and will
return again with the seventh and eighth variations in the last movement.
Traditionally, the slow movement does not maintain the tonality of the outer
movements. In a more orthodox structure, we would expect the secondary theme of
the first movement of a D minor symphony to be in F major; the slow movement
may be in this key as well. However, it is not unusual for Beethoven to construct the
slow movements of his compositions in minor in the submediant. The fifth
Symphony as well as the Appassionata Sonata supply familiar examples.
Like the first two movements, this one opens with a brief introduction in the
proper tempo of the movement. The principal melodic material then starts in bar 3.
The basic structure is outlined below:
Introduction (F^ chord): bar i;
Principal theme (B flat): bar 3;
Secondary theme (D ): bar 25;
Principal theme, var. 1 (B flat): bar 43;
Secondary theme (G): bar 65;
Interlude (E flat, C flat): bar 83;
Principal theme, var. 2 (B flat): bar 99;
Coda (B flat): bars 121-157.
The three-part structure that appeared in the second movement as scherzo-trio-
scherzo (with a hint of the trio at the end) becomes expanded in the third movement
to a five-part structure: principal-secondary-principal-secondary-principal theme.
As before, the materials of each section are never combined. This separation is
 104 THE MUSI C REVI EW

accentuated through the distant key-relationships and the fact that the music moves
from each section to the next without modulating at all; it simply stops on the
dominant and then proceeds with no predictable harmonic connection to the new
key. Only when approaching the final statement of the principal theme does the
augmented 6th chord, already observed, return to effect a striking transition. This
will be examined later.
The idea of a slow movement based on two contrasting themes, where the first
returns with variations while the second does not, can be found in the fifth
Symphony. A similar technique can also be found in the Allegretto of the seventh
Symphony, but other structural elements operating there reduce the extent of its
similarity to these movements.
A short two-bar introduction is based on a dominant yth chord. The most
unusual thing here is the G flat chromatic neighbour that appears in the bass in the
second bar. This will bear watching, as it will return later. The G flat in the bass calls
attention to the lowered 6th scale-degree that will function in this movement (see
Ex. 4). The relationship between tonic and bVI appeared earlier in the first mbve-
ment (with the principal theme in D minor and the secondary theme in B flat).
But the augmented 6th chord also uses this same scale-degree in the bass and indeed
will function later in this movement over the G flat that appears in these opening
bars.
Ex. A
Adagio molto e cantabile (J:6o)

f“ f c x f I

In the second movement, the, harmonic relationship between scherzo and trio
was very close, as the scherzo was in D minor and the trio in D major. Here,
however, in direct contrast, the principal section ends on a dominant 7th (F^), which
without warning moves to a D major chord in first inversion. This secondary section
in its turn ends the same way, with a deceptive resolution of its dominant chord. In
D> the will move to B flat. But, even as we note that this is not a diatonic
progression, we realize it is a familiar deceptive cadence. Thus, within the confines
of this composition, the movement from D to B flat cannot be considered as unusual
as the reverse direction from B flat to D.
As the movement continues and the leap from the principal to the secondary
theme returns for the second time, the harmonic pattern shifts ever so slightly. 1^
egins as before, with the F, chord at the end of the principal section proceeding to
D6. But this time the D chord does not act as a tonic; instead, it becomes a
dominant, and the secondary section returns in G. When we come to the end of this
 B E E T H O V E N ’ S N I N T H SYMPHONY 105

passage, and to the deceptive cadence that should bring us back to B flat for the
principal theme once again, the harmony does not quite make the step. As before, a
dominant 7th chord proceeds to bVI. But since we are now in G, a D7 goes to E
flat, and, as a result, when the principal theme starts again for the third time, it is not
in B flat as before. ‘
The new key of E flat engenders a short transition or interlude rather than
another statement of the principal theme. Through 16 bars, it moves from E flat
major through E flat minor to C flat. The dominant 7th chord of C flat then becomes
an augmented 6th, and we return to B flat for the final’statement of the principal
theme. Thus this harmonic progression parallels the approach to the recapitulation
fgund in the scherzo (see Ex. 3(h)). There, it moved from E flat to D, while here the
music returns to B flat from C flat (see Ex. 5).

Ex. 5

This 16-bar interlude will produce repercussions in the fourth movement. For it
marks the beginning of the breakdown of formal structure that will become more
apparent as the Symphony draws to its conclusion.
Considering for the moment formal elements in this movement that will return in
the next, we must examine the idea of a theme-and-variations. Many of Beethoven’s
slow movements are variations, and in his late period he seems particularly
fascinated by this procedure. Beethoven often increases the melodic motion from
each variation to the next, moving from crotchets to quavers to triplets to
semiquavers. This gives the illusion of direction or long-range motion to a formal
pattern that is essentially monothematic and non-modulatory. The principal theme,
beginning with minims, moves into crotchets and quavers. The first variation moves
in quavers and semiquavers (after a while almost exclusively in semiquavers) (see
Ex. 6). ^ . . . .
In one sense the sonata form contains its end in its beginning: it is built on the
idea of departure and return. But a theme-and-variations never really departs. The
form does not determine any specific order for the individual variations, nor does it
determine how the movement will end. A sonata form, with or without a coda, ends
io6 THE MUSI C REVI EW

Ex. 6

with the closing theme from the exposition returning in the tonic at the end of the
recapitulation. A set of variations will often end with a return of the opening theme,
but this is not essential. It may as easily dissolve into a fugue or into some sort of free
fantasy. The principal theme may return in a glorified form (as in the Eroica
Variations) or transformed into something quite different (as in the Diabelli
Variations). The question then to be asked in the case of the ninth Symphony is how
Beethoven will end his variations in the third movement. As it turns out, the second
variation (starting in bar 99) functions as a return to the theme as well as a proper
variation. This unexp_ected approach, like much else in this composition, will set up
consequences to be felt in the next movement.
To my knowledge, Beethoven treats his thematic material in a unique manner
here. He plays a melodically decorated variation contrapuntally against a return of
the theme. As the first variation moved in quavers and semiquavers, this one (with
the metre changed from 4/4 to 12/8 to facilitate the notation) moves from six notes to
the beat to nine near the end. But, even as the violins play their highly ornamented
variation, the flutes and bassoons play the original melody. The academic question
as to whether this passage should be viewed as a second variation or a return of the
theme remains moot. In Ex. 7 ^^e the principal melodic voices as they appear
together in this passage. This type of heterophonic texture is not only rare m
Beethoven but tends to be rare in Western music in general. It is most often

Ex. 7
 B E E T H O V E N ’ S N I N T H SYMPHONY 107

associated with folk-music or with art-music where a composer attempts to evoke

folk-like techniques (e.g., Mahler or Bartdk). The fact that this entire passage is
approached through an augmented 6th chord, and that this same type of chord
appeared in previous movements at the approach to the recapitulation, supports the
interpretation of this passage as a return to the theme rather than another variation.
This final statement of the theme ends with a movement to the subdominant,
signalling the beginning of the coda. The theme concludes, as in its previous
appearances, with the penultimate dominant not resolving to the tonic. This time the
F7 chord moves to V/IV (Bb?). This resolves properly to E flat, and a new theme
appears (see Ex. 8).

This passage is important for a number of reasons. It functions harmonically as a

conventional signpost for a coda. To be sure, it does not set up any lengthy excursion
into E flat; it merely emphasizes the subdominant in a manner one might expect in a
coda by Beethoven. Thus the use of subdominant harmony and V/IV chords is
traditional, even as the appearance of a new theme is not.
The idea of a new theme appearing at this point will also return in the final
movement. And the rest of this 36-bar coda, through its very length, suggests the
increasing breakdown of the formal structure. When considered in relation to the
16-bar interlude that preceded the return of the main theme, this coda implies that
the music is moving into a different sphere, one less rigid, more rhapsodic and free.
Despite the heroic character of this fanfare, and its repetition eight bars later, the
music seems reluctant to abandon its atmosphere of calm repose. A few bars into the
coda, a lyric phrase appears that could easily turn into another variation on the
principal theme; it is in effect a melodic embellishment of its opening notes. But it
does not fulfil this suggestion (see Ex. 9).

Ex. 9

Later in the coda, an isolated phrase from the theme will return for a moment (at
bars I4if), but once again this will not continue as expected. We get the impression
of a music that attempts to maintain its initial atmosphere through a restoration of
the principal theme but does not s^mceed in doing so. A call to arousal and to action
io8 THE MUSI C REVI EW

(Ex. 8) has been sounded; this hauntingly beautiful Adagio must be abandoned, and
the final movement, the “Ode to Joy”, begun. The few attempts to initiate either
one more variation, or a repetition of the principal theme, turn into a lingering
farewell to a beatific vision.
Throughout these final pages, when dominant harmony sounds, it includes as
part of its make-up the intrusive G flat. This G flat was firsf observed as a chromatic
neighbour in the opening bars of this movement (see Ex. 4), but it functions here in a
more integrated way as a lowered 9th of the chord. The dominant finally resolves,
almost reluctantly, into the tonic, and the movement concludes.

V
The last movement, which covers almost 1,000 bars of music, is extremely
complex and architecturally enigmatic. To remain within the limits of this article, it
is necessary to identify formal elements that derive from the previous movement. As
this is the conclusion, however, the movement cannot point forward like the others.
Its structure must be different. In effect, this movement does not end where it
begins. It picks up the idea of a theme-and-variations from the previous A Jagio, but
in actuality the variation technique accounts for only a portion of its structure. Not
only is there a long introduction, but there are also interludes and extensions
between the variations and a concluding section of no less than 35®
conspicuously in no set form. Thus, whep this Symphony is viewed as a whole, it can
be seen to conclude, and at great length, with an abandonment of traditional forms
and a burst of structural freedom. This musical freedom ultimately derives from the
humanitarian ideas in Schiller’s text and refers to human freedom.
But the unusual thing here is that we are dealing with a work by a composer who
was uniquely preoccupied with formal structure. Despite the dramatic intensity of
many of his scores, Beethoven’s musical ideas were never divorced from structural
matters; indeed, most of his compositional techniques are designed to render those
underlying structures more articulate. To be sure, within the body of his works, a
few special situations present unique formal problems to the analyst. One thinks of
the final movement of the Eroica Symphony or the second movement of the first
Razumovsky Quartet, where critics differ in their interpretations of the form. And
the last movement of the ninth Symphony must certainly be placed with these.
The finale of the third Symphony establishes a precedent for an instrumental
movement that combines a theme-and-variations with other elements, including
interludes, developmental passages, variations that begin but are never completed,
and so forth. Particularly unusual in the ninth Symphony is the idea of a set 0
variations in which the theme is not melodically embellished but in which the
accompaniment is altered. A similar approach can be found in the second movement
of the seventh Symphony, where the two contrapuntal lines tend to be kept intact
but where the accompanying material moves from crotchet beats to quavers to
triplets to semiquavers in successive variations.
In the ninth Symphony, the premise is somewhat different. Drawing on ideas
suggested in Schiller’s text, Beethoven preserves his melody for the most part intact,
but the material surrounding it grows richer and thicker, not only from one variation
 Be e t h o v e n ’ s n in t h symphony 109

wnrM ? H ^ variation; Schiller’s poetic image of the entire

world united in freedom and brotherhood to praise God takes on a number of
engenders an extremely simple musical idea
( deologically a melody everyone can sing) and then variations in which this melody
S n rT ° H “ becomes surrounded by an increasing richness of
S th . ^ If the members of the world at large were joining in one after
ther. Frequently the melody will be sung by one voice and then repeated by
many voices, or sung by the soloists and then repeated by the chorus.®
Despite Its length and striking character, the introduction lies outside the
province of this study. We will proceed instead to isolate the theme-and-variations.
introduction, whether quite short, as in the
h fhe final movement (almost 100 bars
pass before the Ode to Joy” theme appears). Here then, separated from everything
else, IS the full set of variations: ^ ^
Theme: (D) bars 92-115, cellos and contrabasses;
Var. i: bars 116-139, bssn and vlas added to above; •
Var. 2: bars 140-163, ist and 2nd vlns added to above;
Var’. 3: bars 164-187, winds, horns, trpts and timpani added to above­
extension or codetta: bars i88ff;
Var. 4: bars 241-264, solo B., later chorus A.T.B.;
extension: bars 265-268;
Var. 5: bars 269-292, soloists A.T.B., then S., then chorus-
extension: bars 293-296;
Var. 6: bars 297-320, soloists T.B., then A., then S., then chorus-
extension: bars 320-330; ’
Introduction to next variation: (B flat) bars 331-342;
^omitted)^-"^^ 343- 374, full orchestra with percussion (last part of variation

Var. 8: bars 375-422, continuation of preceding variation, solo T. added then

male chorus; ’
extension: bars 422-431
Fugal interlude and transition back to theme: bars 432-542-
Var. 9 (D): bars 543- 590, restatement of theme, chorus;
extension: bars 590-594.
Examining the outline above, one can draw a number of conclusions. First
extensions and interludes, we end up with a theme and the first six
ations that cover 24 bars each. Variation 7 is 32 bars long, while variations 8 and
\

no THE MUSI C REVI EW

9 contain 48 bars each. This adds up to a total of 296 bars, within a movement that
covers 940 bars, that are actually constructed as a set o^ variations. The complete set
thus covers less than a third of this movement, leaving about 650 bars not
contributing primarily to the expression of this design. Thus, viewing the music from
the standpoint of this essay, we can see the idea of variations preserved from the
Adagio movement and then abandoned in favour of freedom and fantasy.
Throughout this music, Beethoven prepares for his eventual move toward
freedom from the formal pattern. The theme and the first three variations are
performed without pause, as we might expect. But variations 4, 5, 6 and 7 are
separated from each other by short interludes or codettas. Between variations 3 and
4, a lengthy passage begins as a simple extension growing out of the previous
variations (bars 188-202). Then, in what is surely one of the most perplexing
moments in this entire score, the music modulates to the dominant, and a new theme
appears that will not function anywhere else. Although it begins in A, it escapes into
a totally unexpected E flat minor a moment later, only to shift once again when the
dramatic passage-work that opened this movement returns (see Ex. 10). The effect
is as clear as it is puzzling. The music has simply taken a “wrong turn”. It suggests
nothing more strongly than an improviser who has not paid attention and suddenly
finds himself some distance from his place of departure. Daring as this gesture
becomes when written out and composed into the score itself, in its radical way it
suggests the fantasy-like freedom with which this movement will conclude.
Interestingly, the analytical approach offered in this study may provide an
interpretation of this passage. For if indeed Beethoven’s ninth Symphony is a
'Composition in which the structure of each movement informs that of the next, then
we might view these puzzling bars as an attempt to suggest a different form from that
of a theme-and-variations—an attempt that is rejected even as it comes into being.
What we now have, when the matter is viewed from this angle, is first a statement of
a principal theme in D (bars 92ff), an elaboration of this theme (the first three
variations), a modulation to the dominant (the bars just preceding Ex. 10), and then
Ex. 10
 B E E T H O V E N ’ S N I N T H SYMPHONY III

a contrasting theme in this new key (the opening bars of Ex. lo). Thus “reading” the
music in terms of its structural clues, we can see it attempting to move away from
variations, back to a sonata-allegro structure as originally set up in the first
movement. The theme from Ex. lo would then function as an aborted secondary
theme from a traditional exposition. A reader considering this interpretation should
remember that the last movement of this Symphony opens with a passage in which
the themes from earlier movements are all rejected. In Ex. lo, however, it is the
formal structure of the first movement that is rejected, not the theme. Beethoven
seems somehow to be saying that at this point one cannot go back to original
premises or to earlier ways of looking at things.
Following the entrance of the voices, variations 4 and 5 both conclude with
codetta-like extensions. Up to this point, the melodic line in each variation has
remained the same. When we get to variation 6, we find for the first time a more
traditional variation, in which the melody is embellished (see Ex. ii). Variation 6
concludes with a somewhat longer extension and with the memorable F major chord
on the word “Gott”. (Once again the relationship between a tonic (here A) and the

Ex. 11
297

bvi (F) functions in this Symphony.) The key changes to B flat, and the next two
variations express the theme in a new rhythmic version that adheres closely to the
melodic line (see Ex. 12).
Ex. 12
313 8

The eighth variation flows out of the seventh, just as the first three variations
grew out of each other. At the end of the eighth variation, we suddenly find
ourselves thrown into a lengthy fugal interlude of particularly energetic character.
This interlude maintains the same tempo and metre as the preceding variations
{Allegro assai vivace, g) and begins even as the last note of variation 8 ends (bar 431).
The clearest way to understand this interlude structurally is to view it as a parallel
to the conventional fugal conclusion for a set of variations. It leads into the last and
most grandiose version of the theme. If one understands the interlude as a type of
free fantasy that often concludes variation sets, then one can more easily view this
last statement of the theme that follows, variation 9, not merely as the next variation
but rather as a return of the theme. Support for this interpretation can also be
derived from the fact that the “Ode to Joy” is sung here to the original words.
II2 THE MUSI C REVI EW

All the interludes or extensions up to this point accomplish two things. First, they
free the music from the rigidity of the variation form, suggesting the freer structures
that will.follow bar 594. In addition, the long interlude at the end of variation 8 that '
leads into-what at first may appear to be another variation (but what should more
probably be understood as a return of the theme) parallels a procedure found in the .
third movement. There, a free interlude also led into a section that functioned as
another variation as well as a return of the theme (see Ex. 7)- If structural
parallel between these two movements observed here is part of a planned pattern,
then Beethoven seems to have been fully aware of the elusive function of this ninth
variation in the last movement. As a return to the theme, it will conclude the
variation portion of this movement but, as one more variation, it will provide
continuity and suggest that the music is not yet over but will continue further.
A subtle device appears here that supports the interpretation offered above. This
involves the use of specific harmonies to indicate a coda. As observed earlier, a coda ||
is frequently identified through a momentary leaning toward the subdominant, II
signalled by the appearance of the lowered 7th scale degree and a V/IV chord. In the y
first movements of the first, second and sixth Symphonies, the beginning of the coda
is identified through this characteristic manipulation of the tonic chord, turning it
into a V/IV following the closing bars of the recapitulation.
A conspicuous use of the V/IV chord appears earlier in this movement in each of
the extensions that follow variations 3,4 ,5 , 6 and 8. In other words, these interludes
all identify themselves as codetta-like material through a swing to the subdominant
(see Ex. 13). This is particularly interesting in comparison with the way in which this
harmonic gesture functioned in earlier movements in this Symphony. The first

Ex. 13

movement is unusual in that, while it does pass through G minor near the beginni j
of the development, it does not use any subdominant chords in the coda. We do n j
a dramatic D major chord with the C natural at a climactic moment (bars 53^"53 .
but it never resolves to IV. One would guess that this flirtation with the subdomina
 B E E T H O V E N ’ S N I N T H SYMPHONY II 3

in the first movement without actually arriving at a IV chord, along with the merest
touch of this harmony in the coda from the second movement (see Ex. 2), point in
their own ways to the last two movements. The lack of subdominant presence earlier
makes its overt presence in the later movements all the more striking. In the third
movement, a proper use of V/IV can be found at the beginning of the coda
introducing a new theme (see Ex. 8). This chord then returns in the last movement
not only in the short codettas sandwiched between the variations but, even more
strikingly, when the theme returns for the last time in variation 9. There, V/IV
harmony, resolving properly to G, now functions as a part of the theme itse lf.T h is
emphasis on the subdominant suggests even more strongly the “concluding” nature
of this passage and increases the listener’s expectation that a proper coda will follow
(see Ex. 14). What finally happens, as the ninth variation ends, like much else in this
fascinating structural scheme, parallels the preceding movement. We hear a new
theme at the very beginning of the coda.
Ex.U

'■ f ^

m m

One might question whether this writer’s casual reference to the remaining 350
bars (from “Seid umschlungen” to the end) as coda is not simply a way of avoiding
the problem altogether. But the word is used here, first in reference to the variations
themselves (everything following the last variation being part of the coda), and also
to call attention to the parallels between this movement and the third. In the third
movement, the coda began with a new theme using subdominant harmony. Here the
new theme, more independent and striking, sets off more consequences than before;
not only does it refer to the subdominant: it is in that key itself (see Ex. 15).
Ex. 15

Seid um-schlungen, Mil- - -11- -o -n e n ! D ie-sen Kuss der gan-zen Welt!

In the third movement, nothing actually evolved from the new theme. It
interrupted the placid mood of the music and then vanished. Ex. 15, however,
generates much of what follows. As a result, it appears as a full-fledged melody and
not merely as a momentary ear-catching fanfare. The effect is unexpected, but in an
elusive way that is hard to define. To some extent, the surprise comes from all the
misleading V/IV chords we have been hearing up to this point in the movement.

The lowered 7th scale-degree does appear in the harmonization of the theme in some of the earlier
variations but not nearly as conspicuously as in this last one.
1 14
THE MUSI C REVI EW

They must suggest to the listener almost subliminally that the music will end soon
after bar 590. Then, instead of a V/IV going to IV and then back to VT, as in a more
traditional coda, we arrive in the key of G and with all the appearances of settling
there for a while. The startling nature of this new theme, which is not at all a
characteristic theme for a coda, must come from the fact that we suddenly realize
that our expectations have been frustrated. We thought we were about to conclude,
but at the appearance of Ex. 15 the final goal suddenly recedes at a dizzying speed.
For this new theme is too impressive to be stated and then cast off. We are forced to
re-adjust our expectations with no forewarning. Beethoven has deliberately misled
the listener in regard to the point of conclusion for the movement in order to
emphasize the new area of freedom into which we are about to enter.

There is no way in which one can convincingly fit the music from bar 595 to the
end into any preconceived pattern. What one can do, however, is to identify
traditional harmonic and structural clues and to observe how they influence the
listener’s expectations. For even as we respond to these clues and guess where we
might be going, the music plays along with us, encouraging us at one point and then
thwarting our expectations at the next.
Following a pattern noted earlier in this movement, the G major Seid
umschlungen” theme starts out with the male chorus in unison, to be repeated by the
full chorus in harmony. But the next phrase for unison male chorus is harmonically
vague and suggests F rather than G (see Ex. 16). This suggestion of F (a key we
might have expected earlier in the Symphony, but which never materialized) is

Ex. 16
611

Brii - der! u - berm Sternen - zelt muss ein lie - ber V a-ter wohnen.

clarified when the phrase is repeated with harmony. This then vanishes, and a ne''^
idea (“Ihr sturzt nieder”) appears in a chromatic G minor tonality. Once again our
expectations as to how we might place these disparate fragments into a pattetn at®
frustrated. The question is not whether the music is attractive or powerfully shaped
to bring out the meaning of the text. The question is only one of formal clarity and 0
the devices Beethoven uses to aid us in interpreting these loosely connecte
episodes.il

" In deaUng with the fact that this music is a setting of a poetic text, one should never forget thaj
Beethoven chose only those few stanzas from Schiller’s longer poem that suited his convenience ano
these stanzas are not even consecutive in the original. There can be no justification for assumii^ .‘Odc
music changes its shape merely to accommodate itself to the succession of ideas in the poetiy. 1tiis
to Joy” is not a setting of a poem to music. The composer has isolated those portions of this poem ,
serve his own purposes; those purposes must be considered purely musical as well as humanitari
philosophical.
 B E E T H O V E N ’ S N I N T H SYMPHONY II5
A diminished 7th chord sustained for eight bars (bars 647-654) ushers in a
lengthy section in T), Allegro energico, 75 bars long, that mometarily seems to clarify
Beethoven’s direction. By combining the “Seid umschlungen” motif with a new
version of the “Ode to Joy”, the music suggests that it may yet work itself out into
some coherent pattern. This, none the less, will not happen (see Ex. 17). Note in the
passage in Ex. 17 a return of a heterophonic texture. The running quaver figure in
the violins turns out to be a melodic decoration of the “Ode to Joy” line sung by the
Ex. 17

657

660

sopranos. This, then, reminds us of the use of the same technique in the third
movement (see Ex. 7).
Near the end of this lengthy section, another C natural (bar 723) once again
implies a coda, and once again the music does not proceed as this harmony suggests.
Il6 THE MUS I C REVI EW

Instead, another setting of the “Ihr sturzt nieder” lines, even more chromatic than
before, and introducing a new motivic idea that will not function later, puzzles us
(see Ex. 18). Will this turn into a transition? Is it a new theme? In actuality, it will not

go anywhere but eventually (at bar 762) will wind its way back to D and land on a
comfortable G major chord and a fermata.
The tempo increases to Allegro non tanto and to a new version of the “Ode to
Joy” theme. Once again we are led to believe that this may be the final section of the
movement. This is suggested by longer passages built exclusively of V-I chords (see
Ex. 19). Thus'we are continually encouraged to pick up clues that imply a closure for
this music. But to the very end we are misled. An unexpected Poco adagio appears
Ex. 19

at bar 810, which does not develop into anything substantially new, even though it
sounds for a moment as if it might. Then the Allegro non tanto music resumes in D.
But the harmony suddenly shifts to an E major chord, and the four soloists enter for
a stunning passage, as beautiful as it is unmotivated structurally. We find ourselves
in an even longer Poco adagio section than before (here eleven bars, there only four)
and in the unexpected key of B major.
Following the ascent of the solo soprano to the high B, we return once more, as
we have done over and over again, to the key of D. This time the tempo increases to
Prestissimo, and more cadential progressions appear. We assume this will certainly
be the ending, and for the last time our assumption will turn out to be wrong. One
more interrupting episode filling up four bars at a Maestoso tempo appears. It
 Be e t h o v e n ’s ninth symphony 117

suggests, as always, that this music, no matter how late in the movement, could
suddenly move in any direction at all. It does not, however, but returns to the
Prestissimo tempo. The music finally concludes like a propejr Beethoven coda, with
V-I progressions and much tonic harmony in root position.
To characterize the last part of this movement as a free fantasy is to supply the
analyst with a specific perspective on certain musical events that appear earlier in the
movement. Conversely, these earlier events can, from this same point of view, be
seen as suggesting to the original audience for this composition the fantasy-like
ending. In the latter part of the eighteenth century, and into the nineteenth, an
improvised fantasy (often for keyboard) frequently made use of instrumental
recitative, as it characteristically built itself around variations on well-known
melodies. The codified treatise on improvisation closest to Beethoven, that written
by Carl Czerny, lists these possibilities as component parts of a free fantasy. 12 Of
course, variations as well as instrumental recitatives play a striking part in the last
movement of Beethoven’s ninth Symphony. The free fantasy at the end, then, may
be seen as a natural outgrowth of those patterns suggested earlier, just as it must be
understood in terms of the Symphony as a whole.
^ Thus to categorize the last 350 bars of this movement as a coda is not to avoid the
issue. To consider its various subdivisions as forming some sort of “free cantata”
with linked episodes will not work, since some of these episodes turn out to be only a
few bars long. The music is conceived in such a way as to prevent our finding in it any
predictable sense of form. Feeling and freedom have triumphed. We have been led
through four movements from one structure to another, each in some way
generating the next. In the third movement, however, free passages begin to appear,
taking over in the last part of the fourth movement. Even at the end, however, the
listener s ability to arrange the subsections into some sort of order decreases as the
music continues. Ideas introduced earlier in the final coda tend to act, at least
initially, as if they might ultimately fit into some pattern; but ideas introduced later
do not. They simply result from the rhapsodic freedom of the music itself. Like a god
newly creating the universe, Beethoven throws out gratuitous imaginative impulses
that need not be justified or bound into any larger shape.

5 ^ Czerny, Anleitung zum Fantasieren aufdem Pianoforte (1836), translated and

edited by Alice Mitchell as A Systematic Introduction to Improvisation on the Pianoforte (New York:
^ ' ’8®an, 1983). Czerny’s reference to an unmeasured style of improvising, “almost like a recitative”
can be found on p. 26 of Mitchell’s translation. An entire chapter (7) is devoted to the art of improvising
u variations. A direct reference by Czerny to the final movement of Beethoven’s ninth Symphony
IMitchell, p. 5z) specifically refers to it as composed in the style of a fantasy-like improvisation on a single
theme. I wish to thank Alice Mitchell, a colleague and a close friend, for her invaluable suggestions and
constructive criticism. She helpled considerably to improve the final shape of this article.