Surprising Returns: The VII ♯ in Beethoven's Op. 18 No.

3, and Its Antecedents in Haydn

Author(s): L. Poundie Burstein
Source: Music Analysis, Vol. 17, No. 3 (Oct., 1998), pp. 295-312
Published by: Blackwell Publishing
Stable URL: http://www.jstor.org/stable/854418 .
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 I

L. POUNDIE BURSTEIN

S URPRISINGRETURNS:THEVIIX IN BEETHOVENS
OP. 18 NO. 3, ANDITSANTECEDENTS IN HAYDN

Beethoven's quartet
Harmonicimplications
The most breathtaking passage in the first movement of Beethoven's Op. 18
No. 3 comes at the end of its development section (Ex. 1). Here, the develop-
ment climaxes with a strong cadence on aV of the distant key of Ft minor. The
threatened resolution to Ft does not follow, however. Instead, Ct (the root of
Ft's dominant) turns into a leading-note of D major, thus bringing us back to
the composition's main key. The sudden reinterpretation of the Ct creates a
type of tonal crisis which has deep structural ramificationsfor the entire move-
ment. Beethoven's brilliant manner of dealing with the implications of this
unusual strategy indicates a debt to his teacher, Haydn, and also reveals much
about Beethoven's own craft and artistic vision.
As Ex. lb shows, the tonal shift at the end of the development section creates
a VII,tSV-I progression in D major.This progression is an odd one, especially

Ex. 1 (a) Beethoven, String QuartetOp. 18 No. 3, first mvt., bars 156-62
: J ":. ;- - recapitulation

lifF #F: F: #F¢

l ' #Yf S f f S of Fl= ofD J

Ft:V D:Vt I

(b) Sketch of bars 151-62

end of development tt recapitulation

iPe 7S hhf j

tipst# t_>J J C
D: VIIt Vt I
(=V of III)

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296 L. POUNDIE BURSTEIN

consideringits position at such an importantjuncturewithin the form. Nor-

mally,the harmoniesat the end of a developmentsection lead towardsthe
main tonic.The VIIt chord, on the other hand, contradictsthis tendencyby
pointing away from the tonic and towards the distant, 'sharp' key of the
mediant.
The high degree of chromaticisminvolvedin the VIIt chord furthersthe
sense of disruptionat the point of recapitulation.Note, for instance (in Ex.
lb), the Et, scale-degreet2, which conflicts with the Eh of the followingV
chord.Also note the Bt, the unusualscale-degreet6, which helps lead to the
VIIt chord.As we shall see, these chromaticpitches (and their enharmonic
equivalents,Fh and C) play importantmotivic roles throughoutthe move-
ment. Coming as they do at the end of the developmentsection, these chro-
maticnotes ironicallytend to obscurethe backgroundkey at the verymoment
one most expectsthe keyto be confirmed.
In spite of its local, disruptiverole as aV of III, theVIIt chordat the end of
the developmentfunctionson the deeperlevels as a type of dominantsubsti-
tute. In additionto being connectedto theV chordwhichfollowsit, theVIIt is
also connected (by means of voice-leading)to an earlierVchordthat appears
at the end of the exposition.As the graphsin Ex. 2 show,a large-scalechro-
matic ascentin the bass linkstheV chordin bar 104 to its upperthird,C,fl,in
bar 152.The firststep in this ascentarriveswith a cadenceto BSin bar 124. A
transposedvariationof the bridgesectionthen leadsto G minor,partof a large
5-6 motion (see Ex. 2a).The expandedascentcontinuesin the next phrase,as
a sequence leads to a cadence in B minor (bar 144), followedby a motion
(transferredto an uppervoice) throughBt to Ct (bars 151-2ff.) to complete
the thirdascent.
Significantly,a gradualincreasein tension accompaniesthe rising motion
that spans the developmentsection. Note, for instance,that the large-scale
ascent acceleratesas it proceeds.At the same time, the surfacerhythmsalso
graduallyaccelerate,the texture graduallybecomes more complex, and the
dynamicsgraduallyincrease.This unrelentingdrivethroughoutthe develop-
ment leads to a tremendousclimaxin bar 152, wherewe find the tensest har-
monies,quickestrhythms,widestrange,thickesttextureand loudest dynamic
level of the movement.
Within moments after reachingthe Ct chord,however,the tensions dissi-
pate.The transformationof the Ct in bar 160 froma 5 of Ft to a 7 of D creates
a suddendecreasein tonal tension,for here the harmoniesrapidlymove from
the most distantkey of the movementbackto the maintonic. Beethovensup-
ports this harmonic shift by simultaneouslylighteningthe range, texture,
rhythmicmomentumand dynamics.lAs a result,the bass C,"of bars 152-61
embracesboth the most violentandyet also the most peacefulmomentsof the
composition.This producesan unusualeffect:whereasthe onset of the proto-

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SURPRISING 297

Ex. 2 Graphsof development,bars 10s62

(a) Backgroundvoice-leadingsketch

(b) Middlegroundgraph
Bar 104 112 l44 152 162
136

A B; Bh Ch CX
A BW (B") Ct

(c) Detailed middlegroundgraph

Bar 104 112 125 136 144 152 162
DEVELOPMENT: PHRASE I PHRASE 2 PHRASE 3 PHRASE 4 PHRASE S
parapnrase of opening then. paraphraseOf bridge section. fragments of the opening stretto based on cadential passage pnlong-
End Of the
Ihent in irnitation. opening theme. ing V of F#. folbwed by a
exposation moving from D mknor moving from B flat nujor
to B flat alapr to G tninor sequencing frornG rninor moving frorn B tninor nton to a V6 of D tbal
to B rninor to V of F# mknor begins the recapitulation.

BW (B$) Ct
forfissimo pillnissimo
thick texlure thin texlure
distant key holre key
tnpkts senubreves

typical recapitulation often sounds like a victorioushomecoming,the rapid

change from turbulence to tranquillityhere createsthe effect of awakening
from a nightmare.
M* * * . - t

OtzVzC zmplzcatzons

The strikingnatureof the VIIt chordat the end of the developmentmakesit

ideal for motivic interactionwith other passagesthroughoutthe movement.

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298 L. POUNDIE BURSTEIN

Ex. 3 Graphof exposiiion,bars1-90

Bar 1 45 56 61 68 76 90
E#to F#? no!
(E# Fh E)

X#§ 1l</ j -., #s["1111 2< (j) 2 >J // >

6 (Fl Fh E) Ch (C4l) \ B

Chief among these is a foreground chromatic ascent which occurs at the end of
the exposition (see Ex. 2b, bars 104-8). This local ascent anticipates and thus
helps point the way for the ensuing, highly modulatory progression which gov-
erns the entire development section.2
Another important motive connected with the VIIt involves the note Et and
its enharmonic, Ft. As noted earlier in reference to Ex. lb, the Et of the VII,"
chord at the end of the development conflicts with the Eh of the following V
chord. In the progression from VIIt to V, the Et must contradict its natural
ascending tendency by moving downward, in the manner of an Ft. Thus the
harmonic progression fromVIIt toV helps create a large-scale, upper-voice F,tS
E,$E motion, starting in bar 144 (see Ex. 2). This is counterbalanced in bars
104-44 by a large upper-voice E-FeF,} motion.
The E,"/Ftconflict plays an important role in almost all the other sections of
the movement as well. In fact, the very first chromatic pitch of the piece is an
Et, in bar 9. The most startling use of Et, however, occurs in the phrase that
starts in bar 57 (see Ex. 3). Following a tentative cadence to A major, an Et
suddenly appears in bar 62, replacing an expected Et. One initially expects the
EXto resolve upwards as a leading-note to F". This expectation is thwarted,
however, as the Et instead transforms into an Fh.The Et thus does not resolve
up to F";rather, it resolves (as an Ft) down to E (as part of a modulation to C
major).
The manner in which the Et of bars 61ff. ultimately moves down parallels
the situation found at the end of the development section. This may be seen by
comparing Ex. 3 with Ex. 2b. In the passage shown in Ex. 3, an expected mo-
tion to F,}is averted as an Et changes into an Ft. Likewise, in the passage in Ex.
2b, an expected motion to F,"also is averted as an E,"resolves in the manner of
an Ft.Yet while these passages have similar motivic structures, their harmonic
meanings are quite different: whereas the avoidance of a Ft in the exposition
leads to the unstable key of C major, the avoidance of Ft at the end of the

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Ex. 4 (a) Comparisonof bass line in bars 7-10 and 166-70

exposition (perfect
cadence)

pt t ° | | o tt
recapinllation (interTupted
> cadence)

9s$# < t. | ts. Io 1h. 1

\_ crcse.

A B Ch!

(b) Graphof bars 162-84

Bar: 166 170 174 177 181 184

16 ni_, As *- * j. g

gA 15 C / mer W
A B Ch C$D DX E A

development leads to the stable tonic key of D major. As a result, these two
passages are in a sense poetic reversals of one another.
The modulation to C major in the passage of bars 68ff. has further motivic
implications. The pitch Ch appears prominently earlier in the exposition (in
bars 27ff.), where - as part of aV7 of IV - the C resolves downwards.3 In the
passage in Ex. 3, the tonicised Ct also ultimately moves down (though it first
feints up to Ct). At the end of the development section, contrastingly, the en-
harmonic pitch Bt reverses this direction by pushing up to Ct.
The tensions between the pitches Ct and Bt are directly confronted within
the recapitulation.The opening of the recapitulation is altered slightly so as to
emphasise the pitch Ct (see Ex. 4a). It is not difficult to hear the connection
between this emphasised Ct and the Bt of a few bars earlierwithin the develop-
ment. But unlike the Bt, the Ct of bar 170 does not continue to ascend. In-
stead, as is shown in Ex. 4b, the ascending line stops upon reaching this Ct.
After a brief detour, however, the bass reverses itself once again to return to Ch,
this time moving up through CXand past D to lead to the dominant, A.
The conflicting tendencies of the Ch and Bt in this work present a kind of
drama, which I outline in the sketch of Ex. 4c (overleaf).Whereas in the exposi-
tion the Cts descend to lead to stable keys, in the development (bars 104-62)
the enharmonic Bt ascends to lead to the most unstable key of the movement.
And in the opening of the recapitulation (166ff.), the Ct first resolves down-
wards (in the manner of the exposition), but then contradicts its natural de-
scending tendency by moving upwards, as though inspired by the example of

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300 L. POUNDIE BURSTEIN

Ex.4 (c) Voice-leading

sketchescomparingtreatmentof ChandB,"
throughoutthe movement
bars16-17,28ff. 68-80 104-62
cq B C (C$) B A BS Bh BX CX D

i## 4' h 1lu-'#'' ' 11v##

^ ; . (#., ^ <

bars166-80ff.
A A} B Cq B C4 C,} D D,} E (etc.)
p:## # , q, , . #. h #'

the Bt of the development.Note thatthis representsanotherpoetic reversalof

sorts:whereasthe ascendingBt of the developmentbroughtus to a distantkey,
the analogous,ascendingChof bar 176 leads to a confirmationof the main
tonic.
The motivicimplicationsof theVIIgchordalso affectthe thirdmovementof
this quartet,which seems to presenta wry commentaryon the tonal conflicts
involvingthis chord.In the firstmovementthe unfulfilledmotiontowardsthe
key of Ft is a source of much tension. In the third movement,on the other
hand,a modulationto Ft takesplace swiftlyandwithoutfanfare(in bars7-8),
as thoughparodyingthe formersense of anxietyregardingthis key.FXcontin-
ues to play a crucialrole in the followingsection of the thirdmovement(bars
20ff.), wherethe tense climaxof the openingmovementis recalledin a rather
playfulmanner.In this passage,aV6 chordinterchangeswith aVII,}withinthe
local key of G (Ex. 5), thus presentinga transposedreminiscenceof the pro-
gressionfound at the end of the firstmovement'sdevelopmentsection.
In sum, theVIIt chordat the end of the developmentin the firstmovement
of Op. 18 No. 3 has profoundharmonicand motivicimplicationsfor the piece.
The VIIt coloursthe point of recapitulation,thus creatinga sense of surprise,
ambiguityand disorientationat the point of the compositionwhereone most
expects confirmationand stability.It also influencesthe backgroundvoice-
leadingstructureof the developmentsection,for it is the goal of an ascending
bass which in turn becomes the vehiclefor an unceasingincreasein tension
thatspansthe development. TheVIIt chordalso interactsmotivicallywith other
sectionsthroughoutthe composition,givingrise to severalthrillingpoetic re-
versals.Thusthe tonal crisissparkedby theVII,"chordhelpsshapenot only the
formalstructureof the work,but its emotionaland dramaticstructureas well.
OtherworksbyBeethovenandhissuccessors
There are a numberof other pieces in which the developmentsection con-
cludeson a chordotherthan aV of the mainkey.In sonata-formdevelopment

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Ex.5 Beethoven,StringQuartetOp.18 No.3, thirdmvt.,bars2>30

[j"##ff=9 #r $r re #U r t#t f rF rr ¢C
l cIrse r 9 61J $ >

D: IV II6 V 6

G: v6 (I) VII (-v of 111)

sectionsfromthe earlyClassicalera,it wasnot uncommonfor a cadenceonVI

or some othernon-dominantchordto immediatelyprecedea recapitulation.4
Developmentsections which end on a III,"chord (functioningas a localV of
VI) continuedto be popularin the maturemusicof Haydn,Mozartand Beet-
hoven.5The use of VII,"at the end of the development,however,is far more
radicalthan these other alternatives,for it is more chromatic,more distant
fromthe maintonality,and has fewerclearhistoricalprecedents.
The D majorquartetis not the only workby Beethovento use aVII,"in this
manner.For example,Beethovenuses aVII,"at the end of the developmentin
both the first and last movementsof his SymphonyNo. 2 in D major(1803)
with great effect. Similarstrategiesare found in the fourth movementof his
SymphonyNo.8 (1812) andin Wellingtons Sieg(1813).6
AVII,"chord can be found also at the end of the developmentsectionsin a
numberof sonataform and sonata-rondoformworksby latercomposers.Ex-
amplesof such worksinclude Schubert'sStringTrioin B; majorD. 581, first
movement(1817); Mendelssohn'sStringQuartetin ESmajor,Op. 12 No. 1,
first movement (1829); Schumann'sPianoTrio in D minor Op. 63, fourth
movement(1847); and Brahms'sHornTrioOp.40, fourthmovement(1865).
The highly chromaticand modulatorynatureof these works,with their fre-
quenttonal shifts,makesthem particularlyamenableto such a use ofVII,".

Works by Haydn
Harmonicimplications
This special applicationof VII,"was not a discoveryof Beethoven's:he was
anticipatedin this regarda numberof times by Haydn.As I show in Table 1,
Haydn used a VII,"chord or a VII,tFVprogressionimmediatelyprecedinga
returnto the tonic key in severalcompositions.In some of these pieces, the
VII,"is followedby a motionto a prolongedVthatis stronglystated.Such is the
case, for example,in SymphonyNo. 87 (wherethe V that follows the VII#is
prolongedin bars 125-30), SymphonyNo.73 (wherea sequencein bars 150-
60 linkstheVII,"to theV), andin the D majorPianoTrio,No.16 (see Ex. l l, p.
307). In others of these works,however,the returnto the tonic followingthe

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302 POUNDIE BURSTEIN
L.

in which a
1 Sonata form and sonata-rondoform movementsby Haydn
Table of the
VII,}chord orVIIV progressionimmediatelyprecedes a return
main theme in the tonic key
movement date
work
ivB 1778/9
SymphonyNo. 53 in D major i 1774
SymphonyNo. 55 in E; major ('The Schoolmaster') iv before 1781
SymphonyNo. 62 in D major i before 1779
SymphonyNo.66 in B; major iv before 1779
SymphonyNo. 73 in D major ('La chasse') i 1785
SymphonyNo.87 in A major iv 1791
SymphonyNo.93 in D major iv 1795
SymphonyNo. 104 in D major
i before 1784
Concertofor Piano in D major Hob. XVIII: 11
i 1784
Triofor Piano and Strings Hob. XV:6 in F major ii 1788-89
Triofor Piano and Strings Hob. XV: 12 in B minor i 1790
in D major
Triofor Piano, Flute (orViolin) and Strings Hob. XV: 16
No.4 i 1772
Quartetfor Strings in D major Op. 20 iii 1781
Quartetfor Strings in B minor Op.33 No. lt iv 1793
Quartetfor Strings in G major Op.54 No. 1
i 1773
Sonatafor Piano in E; major Hob. XVI:25 iii 1795
Sonatafor Piano in C major Hob. XVI:50
1775-78
DieFeuersbrunst: 'Der Mann der ist ein Hexenmeister'tt
tNB: this movementis in D major
tt attributedto Haydn

instances. In each of
cadence onVII,"is startlingly abrupt. Ex. 6 cites a few such
chord that is either barely
these examples, theVII,"chord quickly moves to aV
sense of disorientation
stated or aV chord that is (at best) merely implied.The
analogous passage of
in these passages is reminiscent of the effect found in the
the Beethoven quartet.
Piano Sonata and
In the most radical of these instances, such as the EDmajor
motion simulates
Symphony No. 104 (Exs. 6d and 6e, respectively), theVII,tFI
III, thus strongly undermining the sense
an interrupted cadence in the key of
of development
Ex. 6 (a) Haydn, SymphonyNo. 66 in B; major,first mvt., end
end of development

V7
VIIX

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-t# ilW> p 7 ¢
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- - i - CC JD
$

SURPRISING
RETURNS 303

Ex. 6 (b) Haydn, StringQuartetOp. 54 No. 1, fourth mvt., end of development

end of development recapitulation

...n
I4#"t,>7#b2J¢##"#37¢tr¢7t tD 2

G: VIIX (V8) I

(c) Haydn, String QuartetOp. 33 No. 1, third mvt., end of development

end of development recapitulation

|i^ttllD 1 7 t t 3 tUre sJ j > J-5 D 7 7

D: VIIX - . - . Q
I
(Ve?)
(d) Haydn, Piano Sonata No. 26 in ESmajor,first mvt., end of development
end of development recapitulation
rit.

l'wEl$ $ i j-ihA
j
EW:VIIX(=vof III) (implied V?) I

(e) Haydn, SymphonyNo. 104 in D major,fourth mvt., end of development

end of development recapitulation
Dt} 5z} s} ° ° ;9J J J22

'#" ° . 8=8 o i
D: VIIX (noV!) I

of tonic return.7The relation between an interrupted cadence in the mediant

and a perfect cadence in the tonic key can readily be seen in the first movement
of the Piano Trio No. 6 in F major.As the excerpt in Ex. 7 shows, in this work
an interrupted cadence in the local key of A transforms into aV8-I progression
in F to lead to the recapitulation.

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304 L. POUNDIE BURSTEIN

Ex. 7 Haydn,Trio for piano and stringsNo. 6 in F Major,first mvt., bars 104-11
(cf. bar 149) recapitulation

PP fI
F: VII} I > v!
(=A V VI)

In a number of these works, a large-scale bass ascent leads to the VII", as it

does in Beethoven's Op. 18 No. 3. Such an ascent is most transparent in the
first movement of Haydn's Op. 20 No. 4 (Ex. 8). In bars 1 12-33, a foreground
bass ascent leads to aVII,"chord, which in turn ushers in a 'false reprise' of the
main theme in D major.8Note that the foreground voice-leading of the bass in
bars 112-33 is similar to the background voice-leading of the development in
the Beethoven quartet. The unsettling motion from the Ct chord to the D
chord in this passage relates to two subsequent passages involving a bass C$
(see the asterisks in Ex. 8). In the first of these passages (bars 158ff.), a C,:
major chord resolves in the expected manner as aV of F,".And in bars 214-16,
a C>D motion in the bass echoes the earlier C,$D motion of bars 121ff.,
though here the bass C" supports a Vt of D. By involving a dominant chord
over a bass C" that resolves normally, it is as though each of these passages
'corrects' the earlier, disruptiveVII,$I motion.
In other pieces by Haydn, an ascent leading toVII" takes place on the deeper
Ex. 8 Haydn, String QuartetOp. 20 No. 4, firstmovement:graphof bars 122-216
113 121 134 148 158 160 214 216
development (false reprise) recapitulation
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

j # s - $J j j./ "w * 'J J G

' -'I
1
1''--
1
I "1
-v

D: V
D: Vr VI VIIX I VI VIIt 11 VI Vt I
F":V I
B:V

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2> 0#$#
## (#-) t Jo :rrXr1 ' J 9A J 'J
Ht: -r .Xi - t. .........
,,.lC '«, ;6 6 6 @e. 4 . "6 |

RETURNS
SURPRISING 305

Ex. 9 (a) Haydn, SymphonyNo. 93, fourth movement:graphof bars 118-72

Bar: 118 136 138 148 152 154 lecapitulation

X$# Jg P -v^. .- s: . .- gs . ". sg; j##ihqSL

j 1,_ I I 1 t1

A (A$) B B C

(b) Haydn,Trio for piano and stringsNo. 12 in E minor:graphof second mvt.

exposition developmenl recapitulation

Bar: 13 30 36 44 46 52 66
I

l9####5 : ?- -- C f
E: I V VI VIIt I

levels of the structure and spans the entire development section. In the finale of
Symphony No. 93, for instance, the VI is prolonged for eleven bars (13848)
before the bass continues to rise to lead to theVII# chord (Ex. 9a). Similarly,in
the second movement of the PianoTrio No. 12, theVI is preceded by an elabo-
rate progression of nine bars (36-43, Ex. 9b). In a sense, these large-scale ris-
ing progressions could be regarded as by-products of the cadence onVI which
often forms the central goal of development sections.9 In a typical develop-
ment section, when the cadence onVI is followed by a retransitionto aV chord,
a largeV-VI-V neighbour-note motion results. Having aVII# chord follow the
cadence to VI, on the other hand, helps to create an expansive V-VI-VII# as-
cent which cuts across the development.l°
Motzvzczmplzcatzons
. . . . .

A number of the works by Haydn cited in Table 1 exploit motives relating to

theVII# chord, as does the Beethoven D major quartet. For instance, the main
theme of the finale from Symphony No. 93 prominently features E#, #l of D
(Ex. lOa). This allows for an exciting poetic reversal at the climax over theVII#
chord in bars 155ff.: the originally light-hearted main theme returns at its
original pitch level, though now presented in a volatile tonal context and creat-
ing a terrifying effect. Note that the contrapuntal meanings of the F# and E#

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306 L. POUNDIE BURSTEIN

Ex. 10 (a) Haydn,SymphonyNo. 93, fourthmvt.,bars14

_ N N

( T > X#;t4#;;;
ps#t <ffi>;8ybz; ,> J j J J J
(b) bars158-64

ti)tlt; n t n t n t n t n t n t t
(c) Haydn,Trio for piano and stringsNo. 12 in E minor, secondmvt.,bars 29-33

(d) bars 47-52

recapitulation

/§ b J3 l l tnf:1 P :1 P g @
9 t"rpJ P) 7 St t t Plnfr
: r : Ir pr

l ####J =J -S v:$: Hr: tm

l
D: VIIt

reversewithin these different tonal contexts (see the(V)analytical

I
slurs and neigh-
bour-notedesignations in Exs. 1Oaand 1Ob).
The E minor Piano Trio likewise involves fascinating motivic manoeuvrings
thatinteract with theVII,"which appears near the end of its development. Note

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barrier by moving past B," (the enharmonic of Cq) up to Ct. Thus, as in

Beethoven's Op. 18 No. 3, this work exploits the conflict between Chand B,t, a
conflict that relates directly to the use of theVIIt that precedes theV at the end
of the development.
The Haydn D major Trio shares other structural similarities with the
Beethoven quartet. For instance, like the quartet, the trio foreshadows the
large-scale motion of the development with an ascending chromatic motion on
the surface of the music (see bars 19ff.). Furthermore, the codas of both works
modulate suddenly to Ebmajor. In both of these works, this motion to a highly
flat key in the coda serves to counterbalance the motion to the highly sharp key
area towards the end of the development.
The most striking motivic resemblance between these two compositions,
however, occurs in the second group of their expositions. As I show in Ex. 12,
the phrase starting in bar 39 of the Haydn contains a tonicisation of Fh,the SVI
of A major.The modulation here results in a voice-leading structure much like
that found in the analogous spot of the Beethoven (compare Ex. 12 with Ex. 3,
p. 298). In both works, these modulations of the second group highlight con-
flicts relating to scale degrees t and 02, and their enharmonic equivalents. In
other words, by emphasising the motivically important pitches Chand Fh,these
passages relate enharmonically to the crucial Bt and Et which are allied with
the VIIt chord goal of the development.
In summary, a number of vital structural features found in the first move-
ment of Beethoven's Op. 18 No. 3 have precedents in various works of Haydn's
which are listed inTable 1:
(1) All these works by Haydn anticipate the Beethoven quartet by having a
VII,"chord or aVII$V progression appear towards the end of the develop-
ment section. In several of these, the motion from the VII# back to the
tonic creates a shockingly disruptive effect, much as is the case in the Beet-
hoven quartet.

Ex. 12 Haydn,Trio for piano and stringsNo. 16 in D major,first movement:

graphof bars 1-55 (cf. Ex. 3)
Bar: 1 19 27 31 39 46 55
Theme: la lb bndge 2a 2b 2c codetta

## y t S- S hr t) |

CQ (C$) B

'Zt# @ L 1 qrf : r

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 SURPRISING
RETURNS 309

(2) Many of these compositions further anticipate the Beethoven work by ap-
proaching this VII,"chord through a large-scale bass ascent leading from
the V at the end of the exposition. This large-scale ascent helps establish
the VII,"chord at the end of the development as a type of harmonic climax.
(3) Furthermore, some of these pieces, like the Beethoven quartet, exploit
various chromatic motives associated with the emphasisedVII,"chord, par-
ticularly motives involving ,"2and ,"8,and their enharmonic equivalents. In
the works by both Haydn and Beethoven cited here, these motives are
powerful devices for connecting passages which contrast starkly from an
emotional standpoint.

A case
forinfluence
It seems likely that the gesture at the end of the development in Beethoven's
Op. 18 No. 3 was inspired by Haydn. After all, the use of aVII,"at the end of a
development seems too unusual to be accidental. This odd harmonic twist can
hardly be considered a standard part of the musical language of the time. After
a long search, I have only been able to find three pieces by other eighteenth-
century composers that use this strategy, including only two by Mozart (the
finales of his Piano Concertos K. 450 in ESmajor and K. 451 in D major, both
written in March 1784) and one by the obscure composer FriedrichWitt (the
last movement of his Symphony No. 2 in D major).l2
There is no documentary evidence confirming whether or not Beethoven
knew any of the pieces cited in Table 1. Nevertheless, it would be hard to
believe that he was unfamiliar with all of them.l3 Each of these works was
composed before Beethoven started working on his Op. 18 string quartets.
Furthermore, many of them were successful with the public and were re-
printed a number of times within a few years of their initial publication. Of
course, it is within the realm of possibility that yet another obscure composer
of whom I am unaware influenced both Haydn and Beethoven in this regard.It
is also possible that Beethoven coincidentally just happened to use the same
unusual strategy found in many of his teacher's pieces, coincidentally favour-
ing the same key (D major) that Haydn himself preferred for this self-same
strategy.Yetbarring any new evidence to the contrary, it would be reasonable
to assume that Beethoven's audacious use of the majorVII,"chord at the end of
the development in the D major quartet bears the influence of Haydn.
Of course, many people have noted Haydn's influence on Beethoven and on
his Op. 18 quartets. Most of these discussions centre on issues of form, the-
matic development, or general character of the pieces.l4 Among the features
often cited in discussions of Haydn's influence on Beethoven, the predilection
of both composers for masked recapitulations and surprising harmonic shifts
bears the strongest relevance to the present discussion of Op. 18 No. 3.15 But

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310 L. POUNDIE BURSTEIN

most such discussions are of a general nature; the use of VII,"discussed here,
on the other hand, provides a clear example of Haydn's influence on a specific
aspect of Beethoven's harmonic and formal thinking.
That Beethoven should be attracted to this device of Haydn's tells much
about his musical personality. Beethoven evidently understood the dramatic
possibilities of this ungainly harmonic manoeuvre involving theVII,"chord; he
realised that its very awkwardnesscould infuse his music with a human quality.
In Op. 18 No. 3, Beethoven shows that he, like Haydn, was willing to grapple
with a seemingly intractable tonal scheme and struggle to work it into the logi-
cal foundations of a composition. In this sense, one might say that in this quar-
tet Beethoven has indeed received the spirit of Haydn, through the hands of
Haydn - and mixed it in with a dose of his own indomitable spirit as well.

NOTES
1. Curiously, whereas the dynamics of the exposition started at piano, the recapitula-
tion starts pianissimo. Of course, many of Beethoven's recapitulations begin at a
louder dynamic level than the exposition. In this work, we see a rare example of a
Beethoven recapitulation that starts at a softer level than the exposition! This
softer dynamic level underlines the sudden decrease in tension at the point of the
recapitulation.
2. This motivic foreshadowing is mentioned Roger Kamien, 'Subtle Enharmonic
Connections, Modal Mixture, and Tonal Plan in Beethoven's Piano Sonata in C
Major, Op.53', in BeethovenForum,1 (Lincoln, NE: University of Nebraska Press,
1992) pp. 94-6; see also Joseph Kerman, The Beethoven Quartets (New York:
Knopf,1971), pp.18-19.
3. See bars 28 and 32; see also the emphasised Cqs of bars 16ff. and 43ff. Roger
Kamien notes the motivic connection of these Chs with the B# at the end of the
development in 'Subtle Enharmonic Connections', pp.93-6.
4. See Beth Shamgar, 'On Locating the Retransition in Classic Sonata Form', Music
Review, 41 /i ( 198 1), pp. 13043; and James Webster, Haydn's FarewellSymphony
and the Idea of the ClassicalStyle (Cambridge: Cambridge University Press,1991),
pp.138-46.
5. Regarding developments which end on III#, see David Beach, 'A Recurring Pat-
tern in Mozart's Music', ffiournalof Music Theory,271i (Spring 1983), pp. 1-30;
Charles Rosen, Sonata Forms (NewYork: Norton, 1980), pp. 255-63; and Jan
LaRue, 'Bifocal Tonality in Haydn Symphonies', in Wye J. Allenbrook, Janet
M. Levy and William P. Mahrt (eds.), Conventionin Eighteenth-and Nineteenth-
CenturyMusic: Essays in Honor of LeonardG. Ratner (Stuyvesant, NY: Pendragon
Press, 1992), pp. 59-75.
6. Yet another analogous structure can be found in the finale of Beethoven's C major
Piano Concerto, where a modulation first to B major and then to B minor pre-
cedes the large V chord that ushers in the return to the tonic key. See also the

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 SURPRISING
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daring use of VII# in Beethoven's Piano Sonata in ES Op. 7, first movement; the
role ofVII# in this sonata is discussed in Carl Schachter, 'Analysis by Key: Another
Look at Modulation', MusicAnalysis, 61iii (1987), pp.289-318.
7. See the discussion regarding Symphony No.104 in Leonard Ratner, ClassicMusic:
Expression,Form,and Style (NewYork:Schirmer,1980), p.227; see also the discus-
sion regarding the ESmajor Piano Sonata in Beth Shamgar, 'The Retransition in
the Piano Sonatas of Haydn, Mozart, and Beethoven' (PhD diss., NewYork Uni-
versity, 1978), pp.90-98.
8. The term 'false reprise' is most unfortunate, for it wrongly implies a deliberate
ruse on the part of the composer. In actuality, a thematic return in the tonic key
towards the beginning or in the middle of the development section was a standard
feature of sonata forms, and thus the motion to D major here would surely have
been recognised as kind of tonic return; see Peter A. Hoyt, 'The False Recapitula-
tion and the Conventions of Sonata Form' (PhD diss., University of Pennsylvania,
1996) . --
9. See Harold Andrews, 'The Submediant in Haydn's Development Sections', in
Jens Peter Larsen, Howard Sewer and JamesWebster (eds.), Haydn Studies:Pro-
ceedingsof the InternationalHaydn Conference,Washington,D. C., 1975 (NewYork:
Norton, 1981), pp. 465-71; Charles Rosen, Sonata Forms, p. 263; and Laszlo
Somfai, The KeyboardSonatas of XosephHaydn, trans. in collaboration with Char-
lotte Greenspan (Chicago: University of Chicago Press, 1995), p.284.
10. Though the development sections of most of the pieces cited in Table 1 are struc-
tured by an expanded rising motion in the bass, a few of these development sec-
tions approach theVII# through different routes. For instance, in Op.33 No.1 and
Op. 54 No. 1, the VII# is approached by a motion from III, and in the D major
Piano Concerto, the VII# is approached via a descent from II.
For other discussions of a development section which approaches a VII# by
means of a large-scale ascent, see the analyses of Haydn's Symphony No. 104 in
Heinrich Schenker, Free Composition,ed. and trans. Ernst Oster (New York:
Longman, 1979), Fig. 114, and Channan Willner, 'Chromaticism and the Medi-
ant in Four Late HaydnWorks', Theoryand Practice,18 (1988), pp.79-114.
11. Unlike the other works discussed here, the VII# chord in this piece does resolve on
the middleground level as aV of III. Nevertheless, the rocking bass motion in bars
114-19 ofthe piano part suggests a F#2chord on the deep level and thus facilitates
the connection of the bass C# of the VII# (in bars 106ff.) with the bass C# of the
dominant chord (in bars 120). As a result, this development section, like the oth-
ers, is to be understood as concluding with aVII>V motion.
12. The Witt symphony may be found in Barry S. Brook (ed.), The Symphony,1720-
1840 (NewYork: Garland Press, 1983). Incidentally, the development section in
the Mozart D major Concerto includes a strong modulation to C major, which
relates enharmonically to the B# that leads to theVII# chord.
13. See Walter Kirkendale, Fugue and Fugato in Rococoand ClassicalChamberMusic,
trans. in collaboration with MargaretBent, (Durham, NC: Duke University Press,
1979), pp.21 lff. for a list of works familiarto Beethoven for which we have certain

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 L. POUNDIE BURSTEIN
312

confirmation.Though Kirkendalelists only two specific works by

that Beethoven was familiar with many more of Haydn, it is clear
Haydn's works. Incidentally, one
of the works listed by Kirkendale is Haydn's String
Quartet Op.20 No.1 (parts of
which Beethoven copied out), so it would surely not
be unreasonable to assume
that Beethoven probably also knew Op. 20 No.4.
14. Examples of discussions regarding Haydn's
influence on Beethoven include Boris
Schwartz, 'Beethoven Op. 18 und Haydns
Streichquartette', in Bericht uber den
internationalenMusikwissenschaftlichen KongressBonn 1970 (Kassel: Barenreiter-
Verlag, 1971), pp. 75-9; Charles Rosen, The Classical
Style (NewYork: Norton,
1972), pp. 394ff.; Jan LaRue, 'Multistage
Variance: Haydn's Legacy to
Beethoven', The ffiournalof Musicology, 1 (1982), pp.
'Haydn and the Symphony in Miniature', Music 265-74; Roger Hickrnan,
Review, 431i (1982), pp. 15-23;
and Ethan Haimo, Haydn's SymphonicForms
(Oxford: Clarendon Press, 1995),
pp. 272-3. Georg Feder provides an excellent
survey of the scholarly literature
concerning Haydn's influence on Beethoven in 'Stilemente
Haydns in Beethovens
Werken', in Bericht uberden internationalen
1970, pp. 65-70. Musikwissenschaftlichen KongressBonn
15. Regarding the frequent mentioning of masked
recapitulations and harmonic sur-
prises in discussions of Haydn's influence, see Feder,
'Stilemente Haydns'.

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