Background
Perhaps it began with the “differentiae” of the psalm tones in the tenth century. Music historian Craig Cummings stated,
The idea of variation is perhaps the longest-enduring concept in all of music history.
From the earliest glimmers of the most fundamental of variation technique, the virtues of the oldest musical form historically have been well documented. During the nineteenth century, pedagogues included discussions of variation in their treatises. Czerny, d’Indy, and Marx all wrote of the principle construction techniques of variations of their time. Marx even wrote of the differences between the formal and the character variation styles.
The parameter of this paper is to trace and discuss Beethoven’s early variations and their influence on variation movements used in the sonatas. Perhaps known as one of the greatest improvisers, Beethoven possessed a natural fluency at the keyboard. Fortunately, history has left us with a clear path of his development as a composer of variations from the early age of eleven. The Dressler Variations of 1782 were written by Beethoven at the age of eleven. Throughout his earliest years, Beethoven wrote many sets based on popular tunes to enhance his livelihood. In both the independent sets of variations, as well as those included in the sonata genre, we can trace a clear and organized path from the early variations on borrowed tunes to the Choral Fantasy of Op. 80, a set of variations that included piano, orchestra and chorus. His artistry of the variation form reached its pinnacle in the final variations of the Opus 109 and Opus 111 sonatas, ending with his final variation work, the Thirty-three Variations on a Theme of Diabelli, Op. 120.
Beethoven’s Early Influences
One of the most important compositional influences in Beethoven’s early training was the sonatas of Muzio Clementi[1] The Viennese classical style became part of his early musical fiber. In fact, these sonatas gave Beethoven his first glimpse of the possibilities of combining virtuosity and expression successfully[2]. Another strong influence was Mozart. It was through his string quartets that Beethoven could study the details of key, tempo, thematic material and harmonic planning. Moreover, Mozart wrote more than fifteen sets of variations. Beethoven admired Mozart both as a teacher and a musician. He surely learned many of his variations in depth and fueled his own talent for innovation from this extensive background. It is notable that Mozart’s early variation sets were built on borrowed tunes. Beethoven began his foray into variation writing the same way. There are contradictory reports concerning Beethoven’s working relationship and success with Franz Haydn. Beethoven studied with him for a substantial time. Research done by Gillespie indicates that Haydn was not that interested in Beethoven and did not particularly show much encouragement. Solomon’s research, however, indicates that Beethoven worshipped Handel, Gluck, Mozart, and Haydn.
Regardless of Beethoven’s personal relationship with Haydn, certainly Beethoven would not have failed to assimilate the stylistic differences of both Haydn and Mozart’s variation sets. For example, Haydn tended to use deeper, more weighty variations in slow movements, using both through composed and strophic forms. Mozart’s style, however, was different. In the more than forty sets of piano variations, Mozart relied almost entirely on strophic forms.
Much has been written concerning Beethoven’s influence on the next generation of composers. One often reads that the late Beethoven sonatas are at the doorstep of the romantic era. Solomon reports a quote from Paul Henry Lang, written in 1940:
To count him among the Romanticists amounts to a fundamental misreading of styles, for Beethoven grew out of the eighteenth century….What he did was to make a new synthesis of classicism and then hand it down to the new century.[3]
The First Variations
During his first or early period, Beethoven was quite the prolific writer, composing more than twenty-four variation sets. Based on themes of operas and popular songs of the day, these early sets were inspired by the need for additional income. Beethoven’s brother, Carl, negotiated purchases of Beethoven’s many variation sets with the publishing house of Breitkopf and Hartel. One of the challenges to publishing larger works was the pirate reprinting of his larger works, along with those of Mozart and Handel. In the early 1800’s serious composers benefited financially from writing multiple small sets.
Beethoven experimented in changes of key, character and tempo, eventually a set named the Righini Variations. This set was considered progressive in comparison with his early borrowed melody sets. In 1802, Beethoven wrote what is considered his first major set of variations. The Op. 34 in F Major and Op. 35, called the “Prometheus” Variations, were composed as a pair. These compositions were to become the turning point in his decision to break out of what he considered a “static classical variation technique”. The Opus 34 variations are notable because each variation was written in a different key, instead of maintaining the tonic key throughout the set. Committed to developing a new style of variation for the public, Beethoven composed the “Prometheus” Variations. In this set, Beethoven introduced several musical elements early in the set, and sequentially built the material into fifteen variations, culminating in a fugue. Musicologists consider these variations a significant development toward the orchestral writing style of his middle period.[4]
In fact, in a letter from Carl van Beethoven to publishers Breitkopf and Hartel, he stated:
I have the honor to report to you that we presently have two sets of variations, which are especially valuable because it is a totally new procedure to create variations in this style, certainly since none like them have appeared until now.[5]
The Op. 34 and 35 Variations are considered two of the four major variation sets written by Beethoven. It is notable that the next set, the Thirty-two Variations in C Minor, were written five years later, in 1807. These three middle period sets were written at a time when Beethoven was steeped in deep experimentation and the development of innovative compositional techniques of the sonatas. Op. 34, character variations were written on a basso ostinato. The Op. 35 followed with a Haydnesque bass theme.[6] The thirty-two variations were built on a descending chromatic bass line which was considered a standard baroque style passacaglia theme. These structures were clearly influenced by the foundations Beethoven learned from studying the works of Haydn and Mozart. It was at this point that he began experimenting with the variation as a topic within the genre of the sonatas. There are significant differences between these independent variation sets and the variations nestled within the movements of the sonatas. Beethoven’s final set of variations would not come until after he had completed the Op. 111 sonata.
Variations in the Sonatas
Research outlined by Stewart Gordon indicates the beauty of sophistication of Beethoven’s approach to the thirty-two sonatas. The sonatas were Beethoven’s testing ground. Influenced by the four movement pattern established in the quartets and symphonies, Beethoven experimented with compositional techniques that he would later use in his later period quartets and symphonic works. One needs only to listen to Beethoven’s sonatas chronologically to hear the changes in his compositional sophistication. Techniques overlap as Beethoven discards of one topic and introduces another. One example is his use of a minuet and trio movement-clearly an influence from his predecessors. During the first period sonatas, through op. 28, Beethoven gradually discarded the minuet and scherzo movements. By Op. 31 No. 3, the gallant style found in the earlier minuet movements is almost gone.
In the early sonatas, the slow movement gradually became the vehicle for change and innovation, notably for the variation genre.[7] The placement and limited scope of the early slow movements within the four movement form were fertile ground for the development of the variation within the sonata. The first example can be found in Op. 14 No. 2. The andante movement presents an eight measure theme in C major followed by three variations. These variations are uncomplicated in their simplicity and beauty. Variation one introduces the theme with a repetitive rhythmic motive that provides a strong structure for the variation. In the final four coda bars, the syncopation expands to the melody, which is now stated in the top voice. Expanding on the syncopation topic, the second variation showcases the theme in syncopated chords. The final third variation shows influences of the French air et doubles.[8]
Op. 26 in A-flat Major
The Op. 26 sonata was written at the close of Beethoven’s first period. Composed before the independent style variations of Op. 34 and Op. 35, it is perhaps one of the most innovative of the early period sonatas. Op. 26 is the only sonata of Beethoven that does not have a movement in sonata-allegro form. The first movement is an andante con variazioni. Both art Mozart and Haydn used the variation form in the first movement. Mozart’s sonata in A, K. 331 and Haydn’s sonata Hob. 42 both open with the theme and variation form. By moving the traditional slow middle movement
to the opening of the sonata, Beethoven was successful in greatly expanding the weight of the work by the use of the variations. The 3/4 meter poses interesting possibilities. By the end of Beethoven’s first period, he omitted the minuet and trio form in his sonatas. Even in the Op, 31, which contains a minuet and trio form, the gallant style is almost gone. It is notable that Beethoven used the meter of the minuet, 3/4, but in the topic of an andante movement. It is another sign of his genius that even as he was moving away from the use of the minuet and trio, he still used the meter of the form and transformed it both in style and in combination with a first movement andante.
The variations are set to a sixteen bar theme, in five variations and a coda. Each variation presents a new character. Beethoven uses many of the techniques used by both Haydn and Mozart. The theme can be analyzed as either a ternary, ABA form or as a rounded binary form.[9] Variation one uses an arpeggio figure that descants close to the framework of the theme. In variation two, the theme is heard in the left hand. Variation three treats the listener to an expansion of the harmony by the use of the tonic minor. Variation four thickens the texture as the theme is heard again in major tonality, as the bass gradually rises in register.
Diminution is included by use of a triplet figure in an eight measure motif of the theme in the fifth variation. The florid figuration develops into a slow, written out trill (example 6), which foreshadows the extended trills in Op. 109 and Op. 111.[10] The Coda showcases Beethoven’s variation within a variation. A new short melody or motif is presented in four bars, which is then repeated with a variation. These variations provide a new sense of character with each change, and each variation is clearly closed with a cadence. The Op. 26 variations were built on solidly classical figuration and textual changes. Beethoven did not draw on any specific topic for these dances–another interesting note considering the use of the 3/4 meter.
Op. 57 Appassionata Sonata, Movement II
By the time Beethoven used the variation form in a sonata again, he would be firmly into his second, or middle period of compositional style. It was in his middle
maturity that he experimented with the greatest innovation and freedom. The Op. 57 sonata contains the variation form within the flexibility of the second movement, titled Andante con moto. The theme, stated in the key of D-flat major, presents in the context of a chorale, or hymn-like setting. As in the Op. 26, the variations become increasingly florid, and make use of the traditional classical variation styles of diminution and florid figuration and progressive rhythmic subdivisions.
The theme is stated in two eight measure statements, making use of the double variation. This hymn like setting is first stated with simple chords above a more rhythmic bass with dotted rhythms at the half cadence and cadence. With each variation, Beethoven gradually rises to the upper register of the keyboard. This is immediately seen in variation one. By the second half of the phrase, the theme has already ascended to the next octave. Beethoven makes use of the syncopated rhythms first introduced in the bass, which he now expands to the upper voices. The second variation opens into a florid sixteenth note pattern, with the melody intrinsic in the florid fabric of the right hand. The left hand continues with the same ground bass style counter-melody as stated in the opening theme.
The final variation contains syncopated rhythms and full tonality chords as the left hand moves into a florid background for the first time. The process of writing a florid bass underneath an ever rising melody foreshadows a compositional element that Beethoven would use in his later variations, both in Op. 109 and Op. 111. The rise in register, combined with the flowing notes below it, create a contemplative mood. The movement ends with a restatement of the theme which reminds the listener of the rhythmic opening, but includes some additional left hand sixteenth note rhythms as a compositional tool to gradually bring the piece and the listener to a quiet repose.
Op. 109 Sonata in E Major
Beethoven’s third period brought a culmination of the styles that influenced him with new innovations. The early influences of Haydn and Mozart were now combined with a revival of the forms of J.S. Bach. Working on the last three sonatas at the same time he was working on the Missa Solemnis, Beethoven created a unique design to each of the last sonatas. The fugue form combined with a further expansion of variation techniques that were only foreshadowed in his earlier works. Historian Maynard Solomon wrote:
…late Beethoven such implied circuitous narratives tend to convey weighty spiritual implications, for they appear to be imbued with a purposeful and moral character in the service of an exalted principle-an aura of holy surrounds the time-stopping moments in many of the late works….seemingly outside space and time, beyond the frontiers of ordinary experience.[11]
Much has been written about the late Beethoven sonatas. More dissertations, books and articles have been written about Beethoven’s late writing style than perhaps any other composer’s work in history. In the Op. 109 Sonata in E Major, we find a catharsis of a unique blend of influences from Haydn, Mozart, and Bach, sculpted to fit Beethoven’s innovative style. The placement of the variations in
the third movement is notable in that it replaced the earlier rondo movements of the early and middle periods. Not only are the variations written with the weight of the last movement in mind, they also stand as the slow movement of the work. In Op. 26, Beethoven wrote an andante as the first movement. The challenges of placing the slow movement within a variation topic as the last movement are immense. In Op. 109, Beethoven brings the variation and the slow movement into the weight and finality necessary in closing movements.
The tempo marking for the movement is Andante molto cantabile ed espressivo, with instructions,Gesangvoll, mit innigster Empfindung. The theme is a double variation, with repeats. The key of E major is retained throughout the movement and is a unifying factor. Each variation has a unique topic.
The theme is stated in two equally balanced eight measure themes in binary form. In this opening theme, we see the influences of the baroque sarabande dance, with consistently longer note values between the second and third beats. Beethoven used the sarabande idea previously in the Archduke Trio Op. 97. The walking bass line carries the theme forward into a half cadence and gently settles back to tonic at the end of the second eight measure statement. The descending bass of the earlier movements is now reversed. The six variations that follow are unique for the sonatas in that each one has a topic. The first variation maintains the same tempo, and is marked molto espressivo. Set as a gentle waltz, the later part of the second strain shadows the initial theme more closely. The left hand provides the familiar jump bass accompaniment. Syncopation and embellished melody notes bring this dance movement to a close.
The second variation begins with the melody quietly alternating between registers. This double variation contains two contrasting ideas, with all repeats written out. One can see the ascent of the line clearly when looking at the score. The depth of this late work is evident in the melody transformation in each variation. The melody is embedded into the fabric of the sixteenth notes, and is not as obvious as in the earlier variations.
The first tempo change of the movement occurs in variation three. Marked allegro vivace, this movement shows Beethoven’s renewed interest in J.S. Bach. Set as an invention with inverted counterpoint, this variation also changes to duple meter.[12] Also a double variation, the repetitive phrases are actually variations of the variation. The theme can be traced in the first four bars, as the right hand inverts the intervals and moves upward. The imitative counterpoint gives way to a very different character and tempo in variation four.
The fourth variation provides the respite from the active counterpoint of the previous variation with a quieter pastorale. Once again, Beethoven uses genres from the baroque as a springboard for innovation. Scored as a single variation with repeats, the two voices create a balance of imitative counterpoint that gently passes back and forth. Beethoven effectively uses the augmented sixth chord in measure eight just before the repeat of the section.
Beethoven’s use of baroque genres is completed in variation five.
This variation is set in a canzonetta style. It’s imitative and almost fugue-like voice entrances provide the backdrop for a double variation by development. The voices imitate by a one bar overlap, making tracing a true fugal statement impossible. The counterpoint culminates in the last four bars, where a reminiscence of the opening theme is heard as a transition to variation six.
Variation six shows the effective use of diminution that enables Beethoven to carry the listener to subliminal heights. Returning to triple meter, the theme is stated in the alto voice, within the context of a very brief chorale opening.
The eighth notes rapidly give way to 9/8 meter, which allows only one bar of triplets before moving systematically to six, then eight subdivisions per beat. The increase of repetitive trill like passage-work gives way to double trills- one for each hand. Above this dominant drone the melody of the variation is embedded into the triplet and thirty-second note passages. The climax to this movement comes when the piece reaches three textures. The bass begins a florid melody; the inner voice continues the trill; and the upper voice plays the melody in syncopation. Solomon sums up the ending:
Traditional endings are not abandoned, but are postponed, and ends only when order is achieved once again.” [13]
The glimmers of the trills used in Op. 26, now expands to a new definition in Op. 109. As the trill diminishes to a pp, a da capo statement ends this work, creating a wistful reminiscence of the opening, as if the listener has traveled in time and now must be brought back to reality as the piece finally comes to a close.
Sonata in C Minor, Op. 111
Beethoven’s use of the thirty-two sonatas as opportunities to try innovative compositional techniques is well documented. Before discussing the Op. 111 sonata, however, it is helpful to look at the interplay between the developments he used in the sonatas in conjunction with his other works. The early period four movement sonatas through Opus 28, paved the way for the developments in the Op. 18 string quartets and the first two symphonies. The middle period sonatas brought fresh innovative ideas to the string quartets of Opus 59 and Opus 74. The final sonatas, beginning with Opus 101, carry the listener to the Ninth Symphony and the late string quartets. The Opus 109 variations, brilliantly conceived in themselves, open possibilities for the final movement of Opus 111. While both sonatas begin with a slow chorale style, the Arietta of Opus 111 portrays a slow finale-not just a slow movement. In Opus 111, Beethoven created an expansive sonata in just two movements. The final sonata represents a striking departure from the ordinary in the order of movements. A slow finale now represents the weight of a slow movement into the ultimate expansion of a final movement of a sonata.
There are many similarities between the variations in Opus 109 and Opus 111. Both have extended trill sections, are built on a slow, andante tempo, and climax to a subliminal final. In Opus 111, Beethoven travels through episodes in foreign related keys. The Arietta is divided into a theme with four variations, a modulating coda, a da capo of the theme, and an epilogue.[14] The intrinsic design of the movement, particularly the addition of the modulating coda, and the epilogue, provided the opportunity to carry the movement into greater depth of development and modulation not seen in any of the previous sonatas. The four variations move in systematic diminution, first with divided beats, and continue through the second and third variations, until the diminution reaches thirty-second notes by the final variation. Remarkably, the four variations are completely in C major. It is in the extended coda that multiple modulations into foreign keys culminate in an ascent through the registers of the piano, and carry the listener on a journey through the heavens. It is the use of extended trills over moving passagework, exciting modulations, and a gradual rising ascent of registers that allow for a true transcendental experience.
Beyond the Sonatas-the Diabelli Variations, Op. 120
Beethoven’s final tribute to the variation form was a set of thirty-three variations set to a waltz by Anton Diabelli. Although Beethoven was invited to contribute only one variation to a set with contributions to the composers of the day, he chose to write a final farewell to the variation by writing thirty-three variations-one more than
the large thirty-two variations in C Minor. As with the sonata variations previously covered, Beethoven used nuggets of previously tried innovations to create a truly unique capstone. It seems that nothing in these variations was written by chance. Considered one of his most intellectually demanding works for piano, Beethoven began with a modest waltz, born of the earlier minuet. Laid within such simplicity, he incorporated his most mature compositional style devises. Heralding back to his childhood background, Beethoven used a German dance to represent his beginnings. In Beethoven’s correspondence, he referred to the work as a “Grosse Veranderungen uber einen bekannten Deutschen”. The German word “veranderungen”, is most closely translated as “changes, or metamorphoses”, rather than simply the word “variation”.[15]
Beethoven’s final variation set, born of the innovations found in the sets within the sonatas, as well as the independent sets, is best summed up by Kindermann:[16]
Beethoven’s only major work to have found its origin in the commonplace, a static, repetitious, and thoroughly banal theme, underscoring “the apparent absurdity of building a monumental edifice upon such slight foundations.
Conclusion
I believe that Beethoven’s journey of compositional techniques throughout all of his variations, both independent sets as well as those assimilated in the sonatas was done with a purposeful, systematic approach. His prolific output afforded him the luxury of
trying one process at a time. Truly a genius ahead of his time, his process is not unlike that used by medical researchers. The most complete medical studies change only one variable at a time. Additionally, strict guidelines exist concerning the length of time necessary and data collected before another change can be initiated.
Beethoven used many of the same exacting standards in his variation sets. His early sets used only borrowed tunes. Considered entertainment pieces, he used many of the variation techniques he learned from his mentors, Haydn and Mozart.
Beethoven’s commitment to a new and serious approach to the variations began with the independent sets of Op. 34 and Op. 35. As he began with his own material, he built a clear, concise, classic structure. One of the striking differences between the four major independent sets and the sonata variations can be found in Beethoven’s approach to the melody and character changes. The independent sets used more character changes that allowed the melody to become less distinguishable. Harmony moved with freedom. Beginning with the Opus 26 Andante con variazioni, however, Beethoven kept the melody clearly outlined. One reason for this could be the necessity of maintaining the variation within the overall structure of the overall sonata form. Within the sonata, key structures of the variations were tighter, because the movements needed to relate harmonically and maintain a unity and compositional integrity within the sonata form.
Tracing the innovations in the variation movements in the sonatas, beginning with Op. 14 #2, we find a simple, almost straightforward approach to the variations found in the slow movement. The andante movement follows an almost predictable pattern of additional rhythmic syncopation, and a harmonic embellishment of the melody. The influence of the baroque air and doubles is evident. The variation within the slow movement had already been introduced by his predecessor, Mozart. The opening movement of Op. 26 shows Beethoven’s first significant compositional development in moving the variation to the more expansive first movement. This one step gave us not only an expanded, more developed variation, but his only sonata written without a sonata form in any movement.
The middle period, Appassionata Sonata, Op. 57, begins with the chorale, hymn-like style found in the opening movement of the Op. 26 Andante con variazioni. Beethoven shows us variation techniques with the most freedom, using more intricate progressive rhythmic diminutions and new changes of register. The key structure, however, remained nestled within D-flat major. Op. 109 brings yet another significant structural innovation–the movement of the variation form to the third movement of the piece. Moreover, the sarabande based character variations also show Beethoven’s ability to build a final movement on a slow movement tempo. Each variation has a topic-not a new innovation overall, but new to the structure within the sonata. The extended trill ending combined with the use of dominant and tonic pedaltones provides a fresh magnificence not yet seen in the sonatas. The contemplative
mood created by the coda section is only a foreshadowing of what will come in the expanded form of the Op. 111 variations. The finale found in the Op. 111 treats the listener to extended foreign key modulations, all built upon the trill technique employed in Op. 109.
Always forward-looking, the innovations found in variation movements of the Beethoven sonatas are deliberate. There is no backtracking–the movements use an overlapping, scaffolding compositional technique, consciously building and expanding previous techniques used in a fresh and original way. Perhaps more than any other composer in history, Beethoven’s systematic exploration of compositional devices, forms and styles can be traced logically through all genres of his compositions.
The oldest form of composition, the variation, is perhaps the most intriguing developmental style of his musical life. From the humble beginnings of his early variations written on borrowed tunes, to the final movements of Opus 109 and Opus 111, countless generations of music scholars can turn to his work for inspiration and guidance possible by few other composers.