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The 'Compositional Process' in Music Theory 1713-1850

Author(s): Ian Bent


Source: Music Analysis, Vol. 3, No. 1 (Mar., 1984), pp. 29-55
Published by: Blackwell Publishing
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IAN BENT

THE 'COMPOSITIONAL
PROCESS'IN MUSIC
THEORY1713-1850

Whatcan havearisenearlierin [the processof composing]a pieceof music


than simple harmony?And how can I regardthe reductionof a piece of
musicas complete,if I havenot gone rightbackto simpleharmony?l

ThuswroteHeinrichChristoph
Koch(1749-1816)in 1782,in theIntroduction
to Volume1 of his composition
manual,VersucheinerAnleitungzur Composition.2 Kochqualifies
thisremarkverycarefullyat thispoint.Nonetheless,by
thetimethathecametowriteVolume2, publishedin 1787,hisremarkseemsto
havebeenthoroughly
misunderstood:
At the verybeginningofthe Introductionto PartI, I promisedto drawa line
of distinctionbetweenharmonyand melody, and to answerin such a way
thatpeoplecanabideby the verdictthe age-oldcontroversyas to whethera
pieceof musiccanbe reducedultimatelyto melodyor to harmony.I do not
know how some of my readers. . . can have got it into theirheads that I
intendedto give it as my opiniontherethatit must be harmonywhichfirst
arisesin the formationof a pieceof musicin the mindof the composer.3

The problemas he explainsit is terminological.


The word 'harmony'in
commonparlanceis too broad.For the conceptof harmonicprogressions
in
three,fouror morevoices,he prefersSaz or Contrapunct
(Vol. 2, p. 50). If
'harmony'has to be used for it, then he distinguishesit as 'accompanying
harmony'(begleitende
Hannonie).He is at painsto makeclearthat neither
melodynorharmony
in thissenseis primalto thecompositional
process:
. . . neithermelodynor harmonycan constitutethe initial substanceof a
piece of music. Each carriescharacteristicfeaturesof somethingwhich
must be presupposedto precedebothof them . . .4

For this 'something',he saysthathe wouldhavepreferredto use the term


MUSIC ANALYSIS

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29

IAN BENT

'elementalsubstance'(Urstoff);but he felt constrainedto use the term


'harmony',
andso distinguished
it as 'simpleharmony'
(einfache
Harmonie).
ForKoch,then,theprimalsubstance
outof whichthecomposer's
ideastake
shapeis a kindof tonal'plasma' anelementalsubstance,whichis markedby
thelawsof tonalityastheyderivefromthesoundingbody(inRameau's
terms,
the corpssonore;
the klingender
Korperin his own)withits overtonestructure
dictatingthe treatmentof perfectandimperfectconsonances
anddissonances
all of this filteringthroughto him fromRameau'stheoriesby wayof the
variouswritingsof Marpurg.
Implicitin this discussionof the compositional
processis not only the
psychology
of thecreativeactbutalsoits reverse,theanalytical,
reductiveact.
He concludesthisstageof hisdiscussionby saying:
. . . this issue can be pursuedno furtherfrom the materialpoint of view.
For neithermelodynor harmonycan constitutethe finallevel of reduction
of a piece of music. The two derive precisely from one and the same
substance.5

Thushavingpushedtheargument
asfarashecanfromthe'material'
pointof
view,he turnsto whathe callsthe 'formal'aspectof the issue thatis, the
compositional
processviewedastheevolutionofanunfoldingstructure
in time.
Forthe phasesof thisevolution,Kochturnsto the well-established
eighteenth-century
terminological
trinity:Anlage Ausfahrung Ausarbeitung.
Koch adoptedthese threetermsfrom the eminentSwissaestheticianand
lexicographer
JohantGeorgSulzer(172(}79),whousedtheminVolume1ofhis
Allgemeine
TheorzederschonenKunste
. . . (Leipzig:M. G.Weidmann,17714,
2/177K9),in 1771,to designatethe threephasesof artisticcreation.Koch's
discussion
quotesdirectlyfromSulzeratseveralpoints;andthelaterdefinitions
of these termsthat Koch suppliesin his Musikalisches
Lexikon,welchesdie
theoretische
undpraktische
Tonhunst
. . . enthalt(Frankfurt
amMain:A. Hermann, 1802)are modelleddirectlyupon the definitionsof Sulzer.In the
followingdiscussion
I willtranslate
thesetermssoastoleavethemalittleoftheir
eighteenth-century
flavour,ratherthanattemptingto find theirmost exact
counterparts
inmodernEnglish:AnlageasGroundplan,
Ausfahrung
asArticulation,Ausarbeitung
asElaboration.
InKoch's'formal'
conception
ofthecompositional
process,thephaseswhich
thesethreetermsrepresentaresuccessiveandcontiguous.Thecomposerfirst
constructshis Groundplan;
only whenthatis completelyfinishedmayone
proceedto theArticulation;
andonlywhenthatis wholeandcompletemayone
proceedto theElaboration.
Anypremature
advancement
to thenextphasewill
haveadverseconsequences;
on this,KochquotesSulzer:
A work will have difficulty in achieving more than mediocrityin its
completeness, if the Groundplanhas not been completed before the
Articulation.Incompletenessin the Groundplanrobs the composerof the
fire and even the heartto carryout the Articulation.Isolatedbeautiesare
30

MUSIC

ANALYSIS

3:1, 1984

<

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1713-1850

THEORY

IN MUSIC

PROCESS

COMPOSITIONAL

THE

It is betterto
of theGroundplan.
to coverup theshortcomings
insufficient
altogether,thanby meansof
discarda workof incompleteGroundplan
incomplete.6
to producesomething
andElaboration
Articulation
laborious

betweenthefirst
therelationship
Thereis nobetterwayin whichto illustrate
inwhichhe
twoof thesestagesof evolutionthantociteKoch'sownillustration,
analysesanariafromthePassionsettingDer Tod3resu,writtenin 1755by Carl
in
despairingly
HeinrichGraun(1703/F59),of whichA. B. Marxcommented
1847thatJ. S. Bach'sStMatthewPassionhadtakena centurytobeappreciated
Theariaunderanalysisis 'Ein
in popularity.7
andwouldneversurpassGraun's
Gebethum neue Starke',and Ex. 1 showswhat Koch deducesto be the
Ex. 1

Xllegrctto.
>

,C
ee s btti

fjw

i '

et&tft,

wLtl<H*>3
I U
I

llt

ZoWtn

* Dun

Qt U e

IF

waH-?-j-P

rE-tr
I ' '

lU

eD

'
s

Itr

----

|11--t t6tilt ie-P-tBolftw rit

t- *

<,,

ort

ts

terr

btr

""&
tafrtll

t 15

rF,

|-

[r;&tJ 21,5l-le
.

bus

I t

ef

lerfl-

*r

;) 9
^ bOrt

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1a's
1

->--11
gt-

t
MUSIC

ANALYSIS

3:1, 1984

ber

tberr ri;e

eZ

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hloll
31

1_4

,,,,,,,,,,,,,,i

-4I

-4

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IAN BENT

Groundplan
forthefirstsectionof thisaria,layingit outon twostaves.Koch
presentsthisin the fullexpectation
thathis readerwillknowthe finishedaria
intimately,andwill thereforebe ableby comparison
of the Groundplan
with
whathe knowsto understand
whatis involvedin theArticulation.
Forthemodernreader,to whomtheariais notsofamiliar,Fig. 1graphsout
thecomparison.
TheGroundplan
is represented
atthetopascomprising
three
main musicalideas (here black, void and shadedrespectively),and as
containing
alreadyits thematiclinkages.Beneaththatis theentireariasection,
comprising
anintroductory
ritornello,
thefirstsolopassage,themid-ritornello,
thesecondsolopassageandtheclosingritornello,
withpresenceof thethematic
ideasshownbyshading.Inparticular,
theGroundplan
is shownprojected
onto
Fig. 1
G r o u n d p l a n:

1-Y//////X/Y////

Articz I ation:

=;

aXE/XE/XXEEEXES
t

l
so1

Ritorn.

lla

19

Solo I

Ritorn.

INZ-ZZ-I

AT

Az

___

+2

+2
_

Solo
-I

Y.,/////./,'S,/X/S,S,/SS',v,x,,'x,, W/f,/XE,,/XAXEXEEXEXS

2
x

__

R it o r n .

1E-7-I
s__

AZ
__

-ZZ-I
I

32

MUSIC ANALYSIS

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THE

COMPOSI

I IONAL

PROCESS

IN MUSIC

THEORY

1713-1850

the firstsolo passage.It occurstherewithits materialin the originalorder,


withthe thematiclinkagesandtonalschemeintact.However,two barshave
beeninterpolated
intothe secondidea,andfourteenbarsintothe thirdidea.
Kochpointsto thesegroupsof bars,andmakesclearthattheybelongnot to
the Groundplan
but to the Articulation,
as does alsoall the materialin the
secondsolopassageandallthreeritornelli.
Fromthis it can be seen whata Groundplan
reallyis a repositoryof
thematicmaterialsin a specificorder,completewith linkages,with a tonal
scheme,indeedwiththe styleof accompaniment
alreadypredicted.It is not
reallya 'groundplan'
at all. To describeit adequatelyrequirestwentiethcenturyEnglishterminology.
It is a primary
layer:a layerwhichis subsequently mapped
outin theArticulation
to fillthetotalspaceof thepiece,afterwhich
the surfacedetailsandthe smaller-scale
linkagesaredetermined
in the third
phase,the Elaboration.
Koch'sextrapolation
of the compositional
processis
thusa hierarchical
one.
If the termsGroundplan,
Articulation
andElaboration
aretheproducts
of
the threephasesof evolutionof a piece,thenthereis a parallelset of terms
denotingtheprocesses
themselves,namelyInvention(Erfindung),
Articulation
andElaboration
(seeFig. 2a). The two schemashavetwotermsin common.
Indeed,examination
of Sulzer'sand Koch'sdiscussionsshowsthatthe two
lattertermsalwaysdesignatethe process;but that in the absenceof correspondingtermsfor theproducts
theymaybe takento implythesein a weak
sense.Thus the doubleschemacan perhapsbe represented
moreappropriatelyasin Fig. 2b.
Fig. 2a
PROCESS

Fig. 2b
PRODUCT

Er f i n d u n g

PROCESS

PRODUCT

E r f in d u n g
Anlage

Ausf u hrung

Anlage
Ausf uhrung

Ausf uhrung

Au sarbe itung

( Ausf uhrung )

Ausarbeitung

Ausarbeitung

( Ausarbe i tung )

Twoothertermsneedto be takenintoaccount.Attheverybeginningof his


discussionof theformalaspectof thecompositonalprocess,Kochsays:
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33

IAN BENT

Generally,when one discoursesupon the manner of formationof the


products of the fine arts, one speaks of Invention, of a Draft, of a
Groundplanand Disposition, and likewise of Articulation,Elaboration,
and so forth.8

Disposition(Anordnung)
fitsinto the schemeeasilyenough.In his discussionof
Invention, Koch makes clear that to all but the loftiest composers,who can
invent a Groundplanstraightinto finalform, this processis itself dividedinto
two stages: first, the invention of the units themselves, to which the tellll
Invention applies in its strong sense; second, their disposition within the
Groundplanand the inventionof the linkages,to which the term Disposition
applies.
The term Draft (Enewurf)presentsa more complexsituation.In his article
'Anlage', Sulzer never once uses this term; and Koch quotes virtuallyevery
word of Sulzer'sarticlein definitionof Anlage. However, Sulzerprovidesa
quite separatearticle, 'Entwurfr,in which the termAnlageis similarlynever
used. The two conceptsareclearlycoincidentwithinthe compositionalprocess.
Koch drawsmaterialfrom both of Sulzer'sarticles,fashioninga relationship
betweenthem. Oncethe composerhasenteredinto the full floodof imaginaiion
and has invented the main musicalideas of the composition,and these ideas
have revealedthemselvesin their true relaiionships,he says, not a moment
shouldbe lost in gettingthis unifiedmusicalimagedownon paper:
This Groundplan,now madevisible, or set downin notation,is calledthe
Draftof the piece. It is necessaryin the firstplace,as hasalreadybeensaid,
so thatnothingof the unitywhichwasconstructedunderinspirationshould
be lost, especiallyas one begins to think over how it can be articulatedto
fullest advantage;but also in the secondplace, so that one can durlngthe
Articulationsee the main ideas at a glancein their closestproximity,and
thereby avoid being led by one's imagination into remotely-related
subsidiaryideas.
After completionof the Groundplanand of the Draft of this, the next
stageln the evolutionof piecesis theirArticulation.. . .9

From this it is plain that Inventionis seen as a mentalprocess,and that its


product, the Groundplan,is a mental image. Thus the Draft performstwo
functions:it is the visible age of the Groundplanon paper;and it is the
starting-pointand aide-memoireof the Articulation.The schemagiven in Fig.
2b can now be revised,omittingthe weakterms,as shownin Fig. 3.
Afterhisextendeddiscussionof Invention(Vol. 2, pp. 53-97) Kochreviews
in turnthe processesof Articulaton(pp. 97-124) andElaboration(pp. 12F7).
The businessof Articulationis to take the mainmusicalideasenshrinedin the
Draft, and renderthem in a varietyof guises and fragmentedforms, and to
distributethese so as to makeup the principalperiodsof the piece (p. 97); and
to interpolate subsidiary ideas as links between the principal periods
(pp. 1062). These together give the piece its full extent. Over-riding
34

MUSIC ANALYSIS

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Entwurf

THE

COMPOSITIONAL

PROCESS

IN MUSIC THEORY 171>1850

Fig. 3
PRODUCT

PROCESS
[Erfindung
Erfindung

_^

i,

tordnung

l
,)

An Ia g e

Ausfu hrung

Ausarbeitung

considerationsare:(1) cheintendedprevailingemotionalstatesofthe piece;(2)


the modulatoryscheme;(3) the form. The deploymentof main ideas, and of
their constituentmotifs, must work to illuminatethe emotionalstates. There
mustbe adequatediversityof material,butkinshipof ideas:betterto havevery
few ideas, to allow their motifs to be interrelated,better to let the subsidiary
ideasbe in closekinshipto the mainideas(p. 132);in this way, the ideasof the
Groundplanwill be viewed and reviewed from constantlydifferent angles
(pp. 100and 133).In a delightfulillustration(pp. 10916), Kochconfrontsthe
courtmusician'stypicalproblemof havingto set an ode for the birthdayof a
hereditaryprincess on the very day when the hereditaryprince has fallen
gravelyill. Using musicalexamples,he discussesthe handlingof modulatory
schemesto conveyboth rejoicingand invocation.
The end-productof this process of Ariiculationis a fully set-out melody,
spanningthe entireextentof the piece, togetherwith a completebasspartand
indicationsof particularlycrucialharmonicprogressions,possibly also with
some draftingof the inner voices) all committedto paper or put into score
(p. 124). At this stageof composition,the Elaborationtakesover. Its taskis to
work out the remaininginner voices, to settle the unspecified harmoIiic
progressionsin accordancewith the bass and melody, and to ensure the
the details of the
faithful portrayalof the pieces emotional states-for
effect of the
emotional
ultimate
the
in
factors
vital
are
parts
accompanying
on the
depends
go
need
Elaboration
the
which
to
detail
of
degree
The
work.
acoustical
the
on
belongs,
piece
the
which
to
genre
the
of
conventions
condiiions envisaged for performance,and on the size of the perforniing
forcesinvolved.
Whatof the composer'sstateof niind duringthese threeprocesses?On this,
Kocn 1S qulte specific.He speaksfrequentlyof the 'specialmentalstatewhich
.

MUSIC ANALYSIS

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35

IAN BENT

the composermust seek to attainwhen inventinga piece' (e.g. Vol. 2,


p. 70). By this he means'inspiration'
(Begeisterung)
in the Sulzeriansense;
thatis, a specialpsychicintensityin whichimagesarisewithgreateaseand
ideasflowin profusion,the resultof sustainedcontemplation
of an objectat
the end of whichthingsappearin the mind with an unusualclarityand
brilliance.Relatedto this is the conceptof 'genius'(Genius).The geniusis
one who combinesgreat imaginativepowers (Einbildungstrafte)
with a
peculiarsensitivityto certainkinds of images. A sensitivityto musical
images,whencombinedwith a latentinnerimaginative
power,promotesa
stateof mentalluciditywhichmakesthe generationof musicalideaseffortless. Suchgenius,it shouldbe said, still guarantees
nothingmorethanthe
workof a 'talentedtechnician';and thereis a higherorderof geniusabout
which Sulzertalks: a genius who possessesalso a great mind, a great
intellect,and in whose mind the 'clearfull light of day shines . . . and
illuminatesevery objectas a brilliantlylit close-upimage.... this light
illuminates
the entiresoul'.l
Kochuses theseSulzeriantermsin describingthe composerin the phase
of Invention:thus 'the composerworkingin the fire of his imaginative
powers'(Vol. 2, p. 54), 'thesedifferentlevelsof skillin thinkingof melody
harmonically
can combinein the composer'smind, and his genius,or the
feelingwhichhe is experiencing,causeshim in the fire of his imaginative
powersto seize now one type, now another,withouthis being awareof
whichtypeis in his mind'(p. 91).
However,themomentInventionfinishesthe timeforinspiration
is over:
Justas theGroundplan
waschieflythepreserveof theinspiredgenius,so
nowthe Articulation
is morethe objectof taste,thoughat the sametime
the highermental.faculties,namelyintellectand powerof judgment,
mustmanifesttheirefficacy.
1l

Fromthis pointonwards,the composermustkeepa cool head.Thereis a


clearopposition,in Sulzerianterms,betweenintellectand the operationof
the mind underinspiraiion:'in such a state [of inspiration,the mind]is
capableneitherof precise calculationnor of correctjudgment,but its
inclinationsexpressthemselveswith greaterfreedomandvigourandall the
springsof its powersof desireare allowedproportionately
freer play'.l2
Hence,thesesupercharged
feelings,this capacityfor heightenedexperience,
mustbe consciouslyswitchedoff afterInvention,so thatthe headcan rule
the heartthroughout
the remainder
of the compositional
process.Fromnow
on, it mustbe taste(Geschmack)
andartisticsensibility(Kunstgefahl)
which
determinewhetherthe rightemotionhas beenstruck,andnot merelythat,
but whetherpreciselythe rightshadingof thatemotionhasbeenfound,and
to just the appropriate
degreeof intensity;andthe intellect,the judgment,
mustdeterminewhethereverythingin the surfacedetailmeetsthe requirementsof thepiece.
36

MUSIC ANALYSIS

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Erfindung

THE

Erfindung

PROCESS

COMPOSITIONAL

IN MUSIC

THEORY

1713-1850

II
Koch's Versuchis nowadaysbest knownfor its treatiseon melodicconstruction, which occupiesthe latterhalf of the secondvolumeand the whole of the
third, and has recentlybeen publishedin Englishtranslation.13However,his
study of the compositionalprocess, comprisingthe first half of the second
volume, 120pagesin all, andentitledVonderAbsicht,vonderinnernBeschaffenis well worthstudy.
derTonstucke,
heitundvorzaglichvonderEntstehungsart
in theducalorchestraatRudolstadt,somefifteen
Kochwasaninstrumentalist
milessouthof Weimar.Fiftyyearslater,JohannChristianLobe( 1797-1881)was
an instrumentalistin the ducal orchestraat Weimar.Both men had studied
initiallyin Weimar,Kochas a violinist,Lobe as a flautistandviolaplayer.Both
were composersin a small way, and both are rememberednow only for their
writingson music. (Lest the latterpoint shouldbe underestimated,note that
derMusik,first publishedin 1851, has been more or less
Lobe's Katechismus
continuouslyin printsincethattime, andstillappearsin GermanBooksinPrznt
1981182,in the eightheditionof its fourthseries,dated 1973.)
dermusikalischen
Lobeissuedthefirstvolumeof his majorwork,theLehrbuch
in 1850.14In viewofthe similarityof upbringingandenvironment
Komposition,
of LobeandKoch,it is perhapsnotsurprisingthatLobe,althoughwritingnearly
eighty years later, and in the middle of the nineteenthcentury, was greatly
interestedin the compositionalprocess, and assigned to it a terminological
schemaofthreephases.Nor is it surprisingthattwoof Koch'sthreetermsforthe
processesareadoptedwithinLobe'sschema,as Fig. 4 shows.
Fig. 4
LOBE

KOCH

2 Umwandling

Ausfuhrung

Skizzirung

Ausarbeitung

MUSIC ANALYSIS

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Ausfu hru ng

37

IAN BENT

However,Lobe'sschemareallyhas fourphases,thoughhe refrainsfrom


numbering
thefourth.Lobe'sthirdtermis particularly
striking:Sketching-out
(Skizzirung).
Thisis a wordwithassociations
quitedifferentfromthoseof the
termsencountered
sofarin thisstudy.ThewordSkizzewastakenoverfromthe
Italianschizzo.Fromas earlyas about1630,the Italiantermwasoccasionally
adoptedunchangedin writingaboutthe visualarts;and was definedin L.
Hulsius'Dictionarzum
teutsch-franzosisch-italienisch
in 1616as 'Entwerffung,
Abrisz,oderUmbzugdeszMahlers,so nochnichtrechtauszgemacht'.
The
Germancognate,asSkize,appearsin the 1790s;andtheverbskizzieren
in the
firstdecadeof thenineteenthcentury.l5ThustheGermantermhasno partin
GermanBaroquemusicaltheory.
Formostmusicians,thetermis probablysuggestiveof theworkingmethod
of Beethoven.Andindeed,thefirstvolumeof Lobe'sLehrbuch
centresaround
the musicof Beethoven.It containsseveralsubstantial
analysesof Beethoven
movements,andits discussions
of musicalformreflectthestateof evolutionof
thoseformsin the early-andmiddle-period
worksof Beethoven.Evenmore
importantis the fact thatthe procedureswhichLobeteachesaremodelled
directlyon whatLobeknewof Beethoven's
compositional
processes.
But how did Lobeknowas muchas he did aboutBeethoven'smethods,
writingas he was fifteen years beforethe first of Nottebohm'sfamous
publications?
ThatBeethovenusedsketchingprocessesof varioussortswasof
coursewell-knownduringhis lifetime.Thesematerialswerenot themselves
well-understood,
however,forBeethoven
wasobsessively
protective
of themin
a waythathewasnotof hisautograph
scorematerials soobsessiveastopoint
to somedeeppsychological
necessity(asKermanandothershavesuggested).
Mostof hissketch-materials
wereeventually
soldatthenotoriousauctionof his
belongingson 5 November1827;and thereaftermany sketchbookswere
dismembered
and eithergivenawayas memorabilia
or sold as autographs,
therebycirculating
fragmentsof themwidely.But moreto the point,Anton
Schindler
acquiredforhimselfa sizeablecollectionof large-format
andpocketsize sketchbooksand loose leaves,allegedlyat the gift of the composer,a
collectionwhichhe eventuallysold to the KoniglicheBibliothek,Berlin,in
1846.Schindlerreproducedfourpagesof musicalsketcheslithographically
amongtheBeilagento thefirsteditionofhisbiography
ofBeethoven,published
in 1840.16
Evenbeforethat,a sketchof thesongAdelaide,
Op.48 (composed
in
179F5 and publishedin 1797)had been reproducedby IgnazRittervon
Seyfriedin thefirsteditionof hisvolumeofBeethoven's
studiesin figuredbass,
counterpoint
and composition.This publicationdatesfrom 1832,and Seyfried'sentitlingof theBeilagis in itselfofinterest:'Sketch(Skizze)ofAdelaide.
Thisroughcopy(Brouillon)
is mostprobablythe veryfirstdraft(Entwurf)'.
17
SchindleralsoallowedHermannHirschbach
to publishin thefirstissueof his
newjournal,Musikalisch-krztisches
Repertorzum,
in 1844,transcriptions
of the
supposedsketchesforaTenthSymphony
andanOverture
onB.A.C.H.,which
werein Beethoven's
mindprobablylatein 1825,andsevensketchesallegedly
fromthe finaleof the C#minorQuartet,Op. 131.18Schindler,longafterthe
38

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THE

PROCESS

COMPOSITIONAL

IN MUSIC

THEORY

171F1850

addedtheselatterto thethirdeditionof
successfulsaleof hissketch-materials,
hisbiography
(1860).19
Komposition,
dermusikalischen
Returningnowto 1850,andLobe'sLehrbuch
SeptetOp.20;
asearlyasp. 10he presentsmotifsextractedfromBeethoven's
and on pp. 11-12motifsfromthe openingmovementof Op. 18 No. 2 and
otherworks.Near the end of the firstvolume,Lobe makesthe following
remark:
At the beginningof this workI havealreadygivena few examples,
gropingforisolated
sketchbooks,
of Beethoven's
drawnfromBeethoven's
ideas, modifyingthem and improvingthem. Here are some further
examplesof firstdraftsandsketchesfromhispen,whichshowthatforthe
most parthe threwup verydisjointed,incompleteideas,doingso for
entirelydifferentworksat the sametime workswhichhe articulated
only much later. [He then presentsthe very sketchesfor the Tenth
SymphonyandOvertureon B.A.C.H.exactlyas in Musikalisch-kritisches
Repertorium
in 1844,andgivenagainin A. B. Marx'sstudyof Beethoven
in 1859.]2

Lobe'sallusionto the beginningof his volumedoesnot referto the passages


fromthe Septetand otherworksjust meniioned,but to pp. 23f, wherehe
quotesSchindler's
Nos 2, 4 and7 of supposedsketchesfor Op. 131 again
even retainingthe
Repertorzum,
quotedexactlyfrom Musikalisch-krztisches
numbering,
thougheachsketchis abbreviated.
Fig.5
1 PROZ E D U R
Erfindung

>

der Hauptgedanken

Grundskizze

1 Skizze

1 Entwurf

PR OZ E DU R
themetische
Fortfuhrung
thema tische

Umwand lung

Arbeit

2 Skizze

>

3 PROZEDUR
vollstandige

Skizzirung

>

Skizze

vollstendige

Hauptmelodiefeden

[4 PROZ E DU R ]
Ausfuhrung

MUSIC ANALYSIS

in der

3:1, 1984

Partitur

>

Partitur

39

720.

724.
!

.+;;tt
*-b^-Xt >_

g3t

4_t

IAN BENT

ButapartfromtheseOp. 131sketches,Lobe'sfirstvolumeis studdedwith


fragmentary
materialstakenfromBeethoven'sworks(particularly
the string
quartets),fragmentscalled'figure'(Figur),'motifn(Motiv),'motivicelement'
(Motisglied)
or 'model'(ModelE).
Thesefragmentsarenot themselvesdrawn
from the sketchbooks.Rather,they are the result of analysis.Lobe has
reconstructed
the sketchingstagesof severalof Beethoven'sworksas he
envisaged
them.Hence,whatwehavehereis amanualof composition
whichis
modelleddirectlyon Lobe'sperception
of Beethoven's
compositional
process.
Lobe'sschemaof fourphases,termed'stagesof creation'(Schaffensmomente)
is, as has alreadybeenremarked,a three-phase
schemawitha fourthphase
appended(Fig. 5). The firstphase,or Procedure(Prozedur),
comprisesthe
Inventionof the Main Ideas, and results in all of the majorthematic
components.A typicalresult,calledBasicSketch,or FirstSketch,or First
Draft, is that for the first movementof Op. 18 No. 2 (Ex. 2).21Note,
Ex. 2
'rhemagruppe.

sc9to.

ti# 3

#bi 2 *) ,; I J 11

--

6'ebe lXangsgru ppe .


75!1.#"

J J4]->-<(,esanggruppe.

722.

b^28>t:$l'*-4<
Schlussgruppe .

. Zurersin Periodedarln.
721|.

+gre
i*. Zur zweitell Periode.

OK[
c. Zur dritba Periode.
*_ . .
...

ILF4Dt
oderanstattc. die darunterliegendeFigur,welchedurchdie ganse
Periodegeht:

significantly,
thatthereareno linksbetweenthe elements,as therewerein
Koch'sGroundplan.
The secondphasecomprisesThematicTransformation,
or Continuation,
or ThematicWorkingof that material.Inventionis now over, and a proliferationof fragmentary
variantsof the inventedmaterialnowensues(such
40

MUSIC ANALYSIS

3:1, 1984

784.

THE

1&

COMPOSITIONAL

*-;JS;0

1l

PROCESS

IN MUSIC

1713-1850

THEORY

asthoseshownin Ex. 3).22 Thesevariantswillthenformthestartingpoints,or


Models,for all the interveningand followingpassagesof the work to be
hastakenplace.
constructed forso far,no actualconstruction
x.
Xllcgro.

Ex.3

24?_

t--

;i jJiS-';
| *$

s. I_R_j g;

1-

--1l-3-

81 :

tJ l l :

tt,9 -

i_J_"Xt
h

It is themappingof thetotal
Thethirdphraseis preciselythatconstruction.
to phase2 of
structurefromthe resourcescreatedthus far. It corresponds
Koch'sschema.Whenthisprocedureis complete,everybarof the piecewill
thematicandtonal,
havebeenmappedinto place,withall the relationships,
workedout,asin Ex.4 (below,pp. 42-6).23
At this point, the confluenceof synthesisand analysisis reached.This
example,earlierin the volume,servedas Lobe'sanalysisof the movement.
Nowit is recalledastheThirdSketch,orFinishedSketch,of thecompositional
process.It constitutesthe PrincipalMelodicStrand.It is not the firstlinear
analysisto be producedby a theorist,but it is the firstone in whichthe
continuous
melodiclineis derivedfromallthevoicesof thetextureequallyand
rules.
withestablished
consistently,
andderivedin accordance
betweenKoch'susageand
Thedifference
inmeaningofthewordAusfahrung
Lobe'snow becomesclear.In Kochit wasa 'leadingoutwards'in time:the
expandingof a brief stock of coherentmaterialinto a fully- articulated
in space:theexpansionof a fullystructure.In Lobeit is a 'leadingoutwards'
definedstructure,expressedinitiallyas a singlehorizontalline, upwardsand
in scorelines,laidoutphysically
downwards
intofour(ormore)simultaneous
form:theAusfahrung
inderPartitur.
of whatJoshuaRifkin
Lobe's'Principal
MelodicStrand'is thecounterpart
Indeed,in
has calledth.e'continuitydraft'in Beethoven'ssketch-materials.
Lobe'ssecondandthirdsketchescanbe seenpreciselywhatLewisLockwood
categorizes,
followingNottebohm,as:
1) variantversionsof discretemotifs, phrases,or themes,consecutivelyor
nonconsecutivelyordered;2) continuitydraftsfor entire sections, movements, or evenentirecompositions....24
MUSIC ANALYSIS

3:1, 1984

41

nLs4

_e

IAN BENT

Quaritt 11von Be e t b o se n.

Ex. 4
ju@ro.

4. Ahemagruppe.
^

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t-q0

vv

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49 - c-

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9. Ueberggngwruppe.

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11-G.

'

t.

t1

crenc.

d.

| 1 *+

oF

_n

j.Z=
r

J. Gesanggruppe.

igL

A ,

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4. ScblusSmppo.

mr
=2+,.,
e.

h.

!-w
D.

42

c.

40-h.

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MUSIC ANALYSIS

3:1, 1984

<

THE COMPOSITIONAL

J-*

IN MUSIC THEORY 171>1850

PROCESS

-of-S
4

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t-iJ

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MUSIC

ANALYSIS

3:1, 1984
43

1.
'

IAN BENT

7-Gt.

Z$.

Jt.

4 0-B.

t:RfF,
*f

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6. Repetition.Themagruppe.

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MUSIC ANALYSIS

3:1, 1984

,I X 1 1wE
, yrx
!

THE

COMPOSITIONAL

PROCESS

IN MUSIC THEORY 171>1850

ER-:r
9-G.

tw

t.

7. Uobergenbgruppo.
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e 4-o

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MUSICANALYSIS

3:1, 1984

45

IAN BENT

40-G.

mit ileinen eingeschalteten Ausseichungen.

S;4go
P$s-G

40. Anhang.

-Le:w
EndeRepetition.

4 C.I

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46

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>r

l|

MUSIC ANALYSIS

3:1, 1984

Ausarbeitung___;.
Erfindung--

THE

vErfindung
Ausarbeitun9

COMPOSITIONAL

Erfindung
Ausarbeitung

PROCESS

E nt w u r f

IN MUSIC THEORY 1713-1850

III
As I noted earlier, Koch derived his terminologyfor the phases of the
compositionalprocessfrom those of Sulzerfor the creativeprocessin general.
These terms were not coined by Sulzer, althoughSulzerattachedparticular
valuesto them. They can all be tracedbackinto Baroquearthistory;and some
of them surfacein worksof music theory. To take but one exampleof many,
Walther'sLexicon(1732) gives as the definitionof the Latin term Elaboratio:
'die Ausarbeitungeiner Composition'.25The very fact that Waltheroffers no
itself suggests that the term was commonlyunderentry underAusarbeitung
stood.
had, in Baroque theory, its Latin
Each of the three principalprocesses
designationas well as its vernacular.Thus JohannMattheson(1681-1764), in
Orchestre
(1713),presentsall six terms
his firstbookon music,Dasneu-eroffnete
when(in a verybriefdiscussionin Part2, Ch. 1, 'Concerningthe GeneralRules
of ConsonanceandDissonance')he remarksthata compositioncomprisesthree
things: 'Inventio,(Die Erfindung)Elaboratio,(Die Ausarbeitung)Excecutio,
(die Ausfuhrungoder Auffuhrung). . .X.26 Indeed, he presentsseven terms.
By ignoring the significanceof the seventh term, it is possible to set up a
parallelismwith Koch'sschema(Fig. 6), a parallelismin whichthe secondand
thirdtermsaretransposed:
Fig. 6

SULZER / KOCH

MAT T H E SO N
17 13

(Inventio)

17 3 9

(Inventio)
|
Ei nrichtung
( Dis pos it io )

177 1/ 1787

Riss7 Entwurf
>Ausfiihrung
/

//

I
(Elaboratio)

( Elaboretio )

I
/

Schmuckung
(Decora t i o )

I
f
t
t

Ausfuhrung u-tAusfuhrung)
i Auffuhrung;
Auffuhrung }
J
t(Excecutio)
(Excecutio) J

Anlege

//

//
X

However,this wouldbe erroneous,as will be apparent.Twenty-sixyearslater,


Matthesonoffered a more extended set of
Capellmeister,
in Dervollkommene
terms:Inventio(Erfindung)Disposiiio(Einrzchtung)Elaboratio(AusarbeitMUSIC ANALYSIS

3:1, 1984

47

IAN BENT

ung) - Decoratio (Schmuckung


or Zierde) Executio (Ausfahrung
or
Auffahrung).27
Again there are dangersin seeing the parallelismwith Koch's
schema. It is Mattheson's Einnichtung
which accomplishes what Koch's
Ausfahrung
achieves:the mappingof the inventedmaterialout into temporal
form:
it is a tidy orderingof the melody,or of an entiremelodiccomposition,into
all its sectionsand detailedfeatures,almostin the mannerin which one
arrangesand marksout a building, makes a design (Entwurtf)or a plan
(Riss),in orderto showwherea hallshouldbe located,wherea room,where
an ante-room,and so forth.28

Andjustas Matthesondrawsuponthe locitopici,whichin the theoryof rhetoric


form the sourcesof invention,as 'ancillaryaids' to musicalinvention(Ch. 4,
20), so too he draws upon the structuralcategoriesof rhetoricaltheory to
provide the conceptual frameworkfor this temporal mapping: Exordium
(Eingang)-Narratio (Bericht) Propositio(Antrag) Confirmatio(Bekrafftigung) Confutatio (Wiederlegung) Peroratio (Schluss)(Ch. 14, 4).
Moreover,since Matthesonand Koch both take the constructionof an ariaas
the basisof theirdiscussions,it is possibleto see that Mattheson'sEinrzchtung
maps the entire aria from a single process of Invention, whereas Koch's
Ausfahrung
mapsonlyone sectionof anaria,andthe ariaas a wholerequirestwo
separateprocessesof Invention(relatedin a way to which Koch devotessome
very interestingdiscussion:Vol. 2, pp. 6F7). Mattheson'sAusarbeitung
then
fills out local detail; and then his Schmuckung
drawson Baroquefiguresand
ornaments, bringing the process of composition up to the threshhold of
performance.
The apparenttranspositionof the terms Ausfahrung
and Ausarbeitung
between the schemas of Matthesonand Koch can now be understood. The
verb ausfahren
in the eighteenth century literally meant 'to lead out', 'to
export',whetherof axiimalsto the fields, or of goods in commerce.However,
in the fine arts it had two specialmeanings:(1) to executea plan, or bring an
idea to fruition; (2) to perform, of a piece of music (in which sense it was
synonymouswith auffahren).
Matthesonuses Ausfahrung
to designateperformance, whereas Koch uses it to designate execution of a plan, leaving
Auffahrung
still availableto designateperformance.Thus, as between the
schemas, Ausarbeitung
occupies the same position, whereas Ausfahrung
rotates from a position beneath it in Matthesonto a position above it in
Koch. The full correspondenceof Mattheson's,Sulzer'sand Koch's schemas
is shownin Fig. 7.
The words Entwurtfand Riss appearonly by analogywith architecture.
However, their verbs have status within the compositionalprocess, and
clearlyprovidea precedentfor Sulzer'suse of the termEntwurf:
Thus whoever, regardlessof his skill in composing,wishes to employ
the above-mentionedmethod in an assuredly unconstrainedmanner
48

MUSIC ANALYSIS

3:1, 1984

(Elaboratio
Erfindung

THE

COMPOSITIONAL

) Erfindung
/

PROCESS

IN MUSIC THEORY 171>1850

his wholeschemeon a sheetof paper,to rough


oughtto draftout (entwertfe)
it out (reisse. . . ab)in generaloutline,anddisposeit in an orderlyfashion,
beforeeverhe proceedsto the Elaboration.29
Fig.7
KOC H

MATT HE SON ( 1713 )

(Inventio)

Ausarbeitung

>r

Ausfuhrung

/
'

Ausfuhrung
)
(Excecutio

<

Ausarbeitung

of
to theArticulation
beforefullcompletion
Sulzer'sadviceagainstproceeding
as
hereandin severalotherpassagesin Mattheson
theGroundplan
is mirrored
Dispositiontakestime;if it is hurried
betweenDispositionandElaboration.
37).Sulzer's
(Ch.14, %533,
thentheElaboration
willbe themoretroublesome
and Koch'sdescriptionsof the artist'sstateof mind are also mirroredby
Mattheson:
Inventionrequiresfire and spirit;Dispositionrequiresorder,measure;
Elaborationrequirescold bloodandcircumspection.30

description
of theproductof Invention
Ofparticular
interestis Mattheson's
heador jotteddownon
asa stockof musicalideas(whetherin thecomposer's
paper),
. . . in the same way that we lay up a stock of words and expressionsin
language, . . . so that thereafterby means of these we can bring our
thoughts,whetherin speechorin writing,mostreadilyto utterancewithout
havingalwaysto consulta dictionaryfor whatwe need.
To be sure, anyonewho finds it convenient,or who is driven to it by
necessity, can always preparefor himself a written collectionin which
everythingthatpleaseshim or thatoccursto him fromtime to time by way
of fineprogressionsorturnsof phrasemaybe foundorganizedundercertain
headingsand labels,fromwhichhe can as need arisesderiveguidanceand
comfort.However,it wouldprobablybe a lameandpatchycreationwhich
MUSIC ANALYSIS

3:1, 1984
49

IAN BENT

wouldresult,if onewereto tryto cobblea concoctiontogetherin sucha


deliberate
andlaboriouswayout of suchrags,evenif theywereof silver
andgoldmaterial.3l
This cautiousdisapprovaltowardsthe writing down and storing of musical
ideas for future use
which, Mattheson says, at its worst in some
pedagogicalcircles takes the form of an 'inventionsbox' (Erfindungs-Kasten)
can be seen graduallyto turn to approvalover the following century as
the concept of inspiration changes. It must be no coincidence that two
writers who contributedto this granting of approvalwithin music theory
were both in personalcontactwith Beethoven.Antoine Reicha, who played
alongsideBeethoven in the court orchestraat Bonn in the late 1780s, and
was reacquaintedwith him in Vienna, offers a section 'On the Creationof
MusicalIdeas' in his Traitede hautecomposition
musicale
of 18244 in which
he recommendswritingideas down, thoughnot for long-termuse:
. . . Whenthe facultyof creationis in full spate, ideas aboundwith
unthinkableeffortlessness,
but not alwaysin convenientorder.Under
thesecircumstances
it is a goodidea(so as not to loseanypartof them)
to notethemdownbriefly,or justto outlinethem,on one staveor two,
leavingit untillaterto choosewhichsuitsbestandto put themintothe
necessaryorder.The ideas that occurto one in this way are usually
roughdiamondsthatneedto be polishedlater.Whenthe mindis in this
state,anelectriccurrentcirculates
in theveins. . .32
CarlCzerny,who was a pupil of Beethoven,workedfor him as a copyist and
arranger,and was respected by Beethoven as an interpreterof his works,
wrote in his Schoolof PracticalComposition
in the 1840s(or, if we can accept
Newman'sproposeddating, the late 1830s):
The young composer... must also accustomhimselflo notedown
immediately
any ideawhichmaystrikehim at a propitioustime, frequ-

ently even whilst extemporising;


indeed,in such moments,he must
actuallyhuntaftergoodsubjects,andat oncepreservethemin writing:
for how manyhappyideashave alreadybeen lost throughneglecting
this!
To eachideaso noteddown,maylikewisebe remarked,at the same
time, for whatuse it appearsmostsuitable;andif to this be addedthe
degreeof movementaccording
to Maelzel'sMetronome,
we shallremember, even yearshence, the expressionwhichwe assignedto it at the
periodof its firstinvention.
Such an extensivecollectionof ideas, createdduringthe vigourof
youth, is a valuabletreasureto the composerin after-life:and from
manuscripts
left by Beethovenwe haveobservedthatmanyof the most
beautifulideasemployedin his latergreatworks,wereby himconceived
and noteddownlong before,(perhapsin his youthfuldays,)and that
thereforehe was certainlyindebtedto this methodfor much of his
fertilityof invention.33
so

MUSIC ANALYSIS

3:1, 1984

THE

COMPOSITIONAL

PROCESS

IN MUSIC THEORY 171>1850

IV
The aboveenquiryhas tracedthe presenceof certainmusicaltermsin five
theoreticalsourcesrangedover some 140years.It has beenpossibleto observe
how some of these terms retainedtheir place in the scheme of things, how
othersdecayed,and how yet othersenteredthat scheme.Whathas emergedis
informativeonly up to a point. Thereafter,it iS only suggestive.It does not
projectbeforeour eyes a historicalcontinuumover those 140 years. It leaves
us speculatingabout the changing conceptualizationof the compositional
processoverthatlong period.
We can see a three-phaseschema, holding good right to the end of the
period,althoughcovertlyacquiringa fourthphasein Lobe. Two of the terms
and Ausfuhrung,
remain constant. The third,
for these phases, Erfindung
Ausarbeitung,
loses its place in Lobe (yet Arbeitis used there in the sense of
thematic elaboration).Invading this schema is the awakeningconcept of
'sketching':the notion of collectingfragmentary,germinalmaterialsdirectly
on paperand workingthem in an impassionedway. The transcendentalstate
of inspiration,viewed by the eighteenthcenturyas if it were some unstable
material,some fissionableelement, and containedwithin the Inventionso as
not to contaminatethe later stages of compositionand thereby produce an
incoherent and ill-proportionedwork of art, is in the nineteenth century
progressivelyfreedfromSitscontainmentand allowedto spreadacrossthe face
of the compositionalprocess. Perhapswe can see in this a reflectionof the
changefromthe eighteenth-centuryview of the artistas doer and producerin
a worldof art regulatedby taste, tO the Romanticview of the artistas creator,
exaltedfor his originality.Perhapswe can see, too, the metamorphosisof the
concept of genius from that of an inner luminosityto that of a compulsive
striving for self-expression.And in Lobe's identificationof the startingmatter of compositionas cell-like figures we can perhaps see the practical
acknowledgmentin music theory of the manifestationof organicgrowth in
music.

However,to make these speculationsis not only vastlyto oversimplifythe


complex currentsof artistic thinking between 1713 and 1850, but also to
overlookthe conservativeelementsin Lobe's own treatmentof composition
(and indeed in those of Reicha and Czerny).A full historicalaccountof the
changingconceptllalizatonof the compositonalprocesswill be reachedonly
afterexaminationof many otherworks of music theory, and worksof theory
in other arts and in aesthetics;will requirestudies in the publishirg history
and distributionof compositionmanuals,and in the adoptionof instruction
books by conservatoriesand schoolsin all the majorcountriesof Europe;and
will need to be correlatedwith the survivingsketch and draft materialsof
manycomposers.Sucha schemeof workwill be richlyrewarding.

MUSIC ANALYSIS

3:1, 1984

51

IAN BENT

NOTES
1. H. C. Koch: VersucheinerAnleitungzur Composition
(Leipzig and Rudolstadt:
AdamFriedrichBohme, 1782-93),Vol. 1 (1782),p. 9:
Dennwaskanin einemTonstuckeeherentstehenalsdie einfacheHarmonie?Und
wie kanich die AuflosungeinesTonstucksfurvollendethalten,wennich nichtbis
aufdie einfacheHarmoniezuruckgegangenbin?

2. This paper was first read, in shorterform, at the 49th annualmeeting of the
AmericanMusicologicalSocietyin Louisville,Kentucky,on 29 October1983.
3. Ibid., Vol. 2 (1787),p. 47:
Gleichzu Anfangeder Einleitungdes erstenTheils versprachich, zwischender
Harmonieund Melodieeine Liniezu ziehen,und die bekannteStreitfrage,ob die
Harmonieoder die Melodieeher sey, ob sich ein Tonstuckin Melodieoder in
Harmonieauflosenlasse, so zu beantworten,dassmansichbey derEntscheidung
beruhigenkonne.Ich weissnichtwie einigemeinerLeser. . . auf den Gedanken
haben kommenkonnen, als hatte ich dadurchzu erkennengeben wollen, die
Harmoniemusse bey der Entstehungeines Tonstucksin der Seele des Componistenzuerstentstehen.

4. Ibid., pp. 48f:


. . . denn weder die Melodie, noch die Harmoniekann den ersten Stoff eines
Tonstucksausmachen.Beydetragencharakteristische
Kennzeichendessen,was
vorbeydevorausgesetztwerdenmuss . . .

5. Ibid.,p.50:
Die Sacheso betrachtetdeuchtmich, dassdie Fragematerielbetrachtet,garnicht
mehr stattfindenkann;denn wederdie Melodie,noch die Harmoniekannden
leztenGradder Auflosungeines Tonstucksausmachen.Sie entstehenbeydeaus
einemund ebendemselbenStoffe . . .
6. quoted ibid,p. 57, fromSulzer's'Anlage':
Schwerlichwirdein Werkzu eineruberdas MittelmassigesteigendenVollkommenheit kommen, wenn die Anlage nicht vor der Ausfuhrungvollkommen
gewesen.Die Unvollkommenheitder Anlagebenimmtdem Kunstlerdas Feuer
und sogar den Muth zur Ausfuhrung.Einzelne Schonheitensind nicht vermogenddie Fehlerder Anlagezu bedecken.Besserist es allemalein Werkvon
unvollkommener
Anlageganzzu verwerfen,alsdurchmuhsameAusfuhrungund
AusarbeitungetwasUnvollkommeneszu machen.

7. Der Tod3fesu(Leipzig:Breitkopf,1760),Collegiummusicum,2nd series,Vol. 5,


ed. H. Serwer(Madison,WI:A. R. Editions,1975);Koch'sanalysis,Versuch,Vol.
2, pp. 59-64; A. B. Marx:'Uberdie FormderSymphonie-Kantate:
aufAnlassvon
BeethovensneunterSymphonie',Allgemeine
musikalischeZeitung
[Leipzig],No.49
(1847),col.491: 'Bach'smathaischePassionhatein Jahrhundert
gebraucht,ehe sie
Zugangfindenkonnte,undwirdnie die Popularitatdergraun'schenerlangen.. .'.
8. Koch:Versuch,Vol. 2, pp. 51f:
Manspricht,wennmanvonderEntstehungsart
derProductederschonenKunste
uberhauptredet, von Erfindung,von einem Entwurfe,von Anlageund Anordnung, desgleichenauchvon Ausfuhrungund Ausarbeitung,u.s.w.

9. Ibid., pp. 96f:


Diese nun sichtbardargestellte,oderin Noten gesezteAnlagewirdder Entwurf
des Tonstucksgenennet,undist deswegennothig,damittheils,wie schongesagt,
52

MUSIC ANALYSIS

3:1, 1984

THE

COMPOSITIONAL

PROCESS

IN MUSIC THEORY 171>1850

nichtsvon demin derBegeisterunggebildetenGanzenverlohrengehe, besonders


wenn man anfangtzu uberdenken,wie es auf das vortheilhaftesteausgefuhrt
werdenkonne, theilsaberauch, damitmanbey der Ausfuhrungdie Haupttheile
mit einem Blickeubersehenkonne, um zu
in ihremnachstenZusarnmenhange
vermeiden,dassmannicht durchdie Fantasieauf zu weit entfernteNebenideen
geleitetwerde.
Nach Vollendungder Anlage und des Entwurfs derselben folgt bey der
BearbeitungderTonstuckedie Ausfuhrung....

almostcompletein P.
'Genie',whicharetranslated
10. Sulzer,articles'Begeisterung',
andEarly-Nineteenth
in theEighteenth
le HurayandJ. Day:MusicandAesthetics
127-33.
Centuries(Cambridge:CUP,1981),pp.
Vol.2, p. 98:
11. Koch:Versuch,
So wie die Anlagehauptsachlichdie Sachedes begeistertenGenieswar, so ist
nun die Ausfuhrungmehr der Gegenstanddes Geschmacks,wobey aber auch
ihre
zugleich die hohern Seelenkrafte,z.B. Verstandund Beurtheilungskraft
Wurksamkeitaussernmussen....

trans.le HurayandDay,p. 131.


12. Sulzer,article'Begeisterung',
RulesofMelody,
TheMechanical
Essay onComposition:
13. H. C. Koch:Introductory
Press,
Sections3-4,trans.anded. NancyC. Baker(NewHaven:YaleUniversity
1984).
des
Komposition
anbiszurvollstandigen
derHarmonielehre
Elementen
14. Vondenersten
undHartel,l/
(Leipzig:Breitkopf
vonKlavierwerken
undallerArten
Streichquartetts
6/?1900,Fr. trans.by
1850,2/1858,3/?1866,4/?, 5, ed. H. Kretzschmar/1884,
GustaveSandre,of 5, LeipzigandBrussels:BreitkopfundHartel,1889).The
volumesof thefirsteditionwerepublishedin 1855,1860and1867.
remaining
Vol. 10,
Worterbuch,
15. ThesecitationsaretakenfromJ. andW. Grimm:Deutsches
No. 1(Leipzig:S. Hirzel,1910),col. 1309.
(Munster:Aschendorff,
vonLudwigvanBeethoven
Biographie
16. AntonSchindler:
1840),Beilag2 (followingp. 296, andextendingoverbothsidesof twoleaves).
appearalsoin
Thesearesketchesfor the NinthSymphony.The reproductions
(London:Henry
of the biography,TheLifeof Beethoven
Moscheles'translation
onthefateof
Colburn,1841),followingVol.2, p. 356.Fortheaboveinformation
EarlySketches',The
the sketches,see, amongothers,J. Kerman:'Beethoven's
Vol. 56, No. 4, 1970,pp. 515-38;A. Tyson:'Sketchesand
MusicalQuarterly,
ed. D. Arnold(London:Faber,1971),
Companion,
TheBeethoven
Autographs',
Beethoven'sSketpp. 44>58; D. Johnsonand A. Tyson: 'Reconstructing
Society,Vol. 25, No. 2, 1972,
Musicological
of theAmerican
chbooks',3rournal
on Schindler,see R. Winter:'Nocheinmal:Wo sind
pp. 137-56.In particular,
2nd series,
Beethoven-3rahrbuch,
BeethovensSkizzenzur zehntenSymphonie?',
Vol.9 (1973/77),pp. 531-52.
Studienim Generalbasse,
17. Ignaz Rittervon Seyfried:Ludwigvan Beethoven's
(Vienna:TobiasHaslinger,[Foreword
undinderCompositions-Lehre
Contrapuncte
dated:26 March1832]), followingp. 352. I amindebtedto Dr AlanTysonfor
in Tab. 1 of
drawingmyattentionto this,andto theminutefragmentfacsimiled
Schnft(Vienna:J. P. Sollinger,1830),
Sprache,
UeberTonhunst,
AntonGraffer's
followingp. 70.
A
18. Vol. 1, No. 1,January1844,pp. 1-5: 'Aus Beethoven'sSkizzenbuchern'.
alwayscarriedtinybookswithhim,in
footnotestates:'Itis knownthatBeethoven
whichhenoteddownideasassoonastheyoccuredtohim'.
MUSIC ANALYSIS

3:1, 1984

53

IAN BENT

19. (Munster:Aschendorff,3/1860),Vol. 2, Facs 1 (followingp. 374, and extending


overbothsidesof two leaves);A . Schindler:
BeethovenasI knewHim, trans.D. W.
MacArdle(London:Faber,1966),pp. 265,267,268 and266respectively.Seealso
R. Winter: Compositional
Originsof Beethoven'sOpus 131 (Ann Arbor: UMI
ResearchPress, 1982),pp. 46, 60f, 128, 13841, 145f, 154ff, 166f,373, n. 13.
20. p. 337:
Aus Beethoven'sSkizzenbuchernhabe ich schon am Anfangedieses Werkes
einigeBeispielevon Beethoven'sSuchen,Aendern,Verbessernseinereinzelnen
Gedankengezeigt. Hier sind noch einige BeispieleersterEntwurfeund Skizzen
von ihm, die beweisen,dasser sehrabgerissene,unvollstandigeGedankenmeist
hingeworfen,zu mehrerenganz verschiedenenWerkenzugleich,die er oft erst
viel spaterweiterausgefuhrthat.

21.
22.
23.
24.
25.
26.
27.

28.

A. B. Marx:Lud7AngsanBeethoven:
LebenundSchaffen(Berlin:OttoJanke,1859),
Vol. 2, pp 289f.
Ibid., pp.334f.
Ibid., pp. 339f.
Ibid., pp. 316f. Havingappearedthereas analysis,it is recalledas Ausfahrung
der
Skizzeon p. 344.
L. Lockwood:'Problemesde creationmusicaleau XIXe siecle: 1. On Beethoven's
SketchesandAutographs:SomeProblemsof DefinitionandInterpretation',
Acta
musicologica,
Vol. 43, No. l , 1970,pp. 3247, see p. 42; forRifkin,see ibid.,n. 16.
J. G. Walther:Musicalisches
LexiconOderMusicalische
Bibliothec. . . (Leipzig:
WolffgangDeer, 1732,reprinted1953),p. 223.
J. Mattheson:Das neu-eroffnete
Orchestre,
OderUniverselle
undgrundlicheAnleitung
(Hamburg:printedprivately,1713),p. 104.
J. Mattheson:Der volfkommene
Capellmeister
(Hamburg:Herold, 1739, reprinted
1954),Part2, Chs 4 and 14, especiallypp. 121f, 235. For a discussionof how the
termsof contemporaryrhetoricaltheorywere absorbedinto this extendedset of
terms,see W. Arlt:'ZurHandhabungder"inveniio"in derdeutschenMusiklehre
des fruhenachtzehntenJahrhunderts',in New MatthesonStudies,ed. G. Buelow
and H.-J. Marx (Cambridge:CUP, 1984). An English translaiion of Der
vollkommene
Capellmeister
by E. C. Harrissis available(AnnArbor:UMIResearch
Press, 1981).
Ibid., Ch. 14, 4:
. . . so ist sie eine nette AnordnungallerTheile und Umstandein der Melodie,
oderin einemgantzenmelodischenWercke,fastaufdieArt,wiemanein Gebaude
einrichtetund abzeichnet,einenEntwurffoderRiss machet,um anzuzeigen,wo
ein Saal,eine Stube,eine Kammeru.s.w. angelegetwerdensollen.

29. Ibid.,30:
Wersichalso,seinerFeriigkeitim Setzenungeachtet,deroberwehntenMethode,
aufgewisseungezwungeneArtbedienenwill, derentwerffeetwaaufeinemBogen
sein volligesVorhaben,reissees auf das grobsteab, und richtees ordentlichein,
ehe und bevorer zurAusarbeitungschreitet.
30. Ibid., 37:
Die Erfindungwill FeuerundGeisthaben;die EinrichtungOrdnungundMaasse;
die AusarbeitungkaltBlut undBedachtsamkeit.
31.Ibid.,Ch.4,17-18:
. aufdieselbeArt, wie wiruns einenVorrathan WorternundAusdruckungen
bey dem Reden, . . . mittelstdessenhernachunsreGedancken,es sey mundlich
MUSIC ANALYSIS

54

3:1, 1984

THE

COMPOSITIONAL

PROCESS

IN MUSIC THEORY 17131850

oder schrifftlich, am bequemstenzu Tage gebracht werden konnen, ohne


deswegenallemahlein Lexiconum Rathzu fragen.
Zwarwem es anstehet,und den die Noth dazutreibet,dermagsich immerhin
eine solcheschrifftlicheSammlunganschaffen,worinalles, was ihm etwahie un
da an feinen Gangenund Modulirungenaufstosstoder gefallt,ordentlichunter
gewisseHaupt-StuckeundTitelzu findensey, damiter, erforderndenFalls,Rath
und Trost darausholen konne. Allein es wird vermuthlichein lahmes und
geflicktesWesenherauskommen,wenneinervorsetzlicherund muhsamerWeise
aus solchen Lappen, waren sie auch von silbern und guldnen Stucken, sein
wollte.
Machwerckzusammenstoppeln
Zetter, [182F6] ),Vol. 2,
32. A. Reicha: Traitedehautecompositionmusicale(Paris:

p. 235.
33. C. Czerny: School of Practical Composition.. ., Op. 600, trans. J. Bishop
Tonset(London:RobertCocks,n.d.; Germanoriginal Die Schulederpraktischen
zung, Berlin:Simrock,n.d.), Vol. 1, p. 20. See W. S. Newman:'AboutCarl
of "SonataForm" ', 7Ournalof the
Czerny'sOp.600 andthe "First"Description
AmericanMusicologicalSociety,Vol.20,No.3,1967,pp.513-5.

MUSIC ANALYSIS

3:1, 1984

ss