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PERFORMANCE PRACTICES IN CHOPIN'S PLAN0 SONATAS,

OP. 35 AND 58:

A CRITICAL STUDY OF NINETEENTH-CENTURY

MANCTSCRIPT AND PRINTED SOURCES

by Annabeiie Paetsch

Graduate Program in Music

Submitted in partial fulfiiiment of the requirements for the degree of

Doctor of Philosophy

Faculty of Gradnate Studies University of Western Ontario

London, Ontario, Canada January 2001

O Annabelle Paetsch 2001

Chopin's piano sonatas, Op. 35 in B-flat minor (1840) and Op. 58 in B minor

(1 84S), were composed during the period in which Chopin is thought to have drafted

preliminary material for a piano rnethod. In cornparison to methods published during the

first haLfof the nineteenth century, Chopin's sketches present a completely different

conception of piano playing, one that is Iargely modelled on the hurnan voice. Chopin's

sketches for a method do not specifically address issues of performance practice, but they

do suggest that an awareness of vocal practices of the period would be pertinent to an

understanding of how to approach and perform his music.

This study seeks to establish the range of practices that would have been

associated with Chopin's sonatas c. 1840-1 880 by examining notationai variants in a

broad selection of primary sources and by considering the practices suggested in these

sources in the histoncal context provided by treatises on both keyboard playing and

singing. The dimensions of performance practice considered include: trills and other

types of ornamentation, articulation, rubuto. tempo and tempo modification, and

pedalling. Practices associated with keyboard music of earlier periods, as well as

customs related to the Italian vocal style of the eighteenth and nineteenth centuries, are

found to be relevant to Chopin's sonatas, particularly as presented in the first French

editions. in addition, sorne traditional beliefs about Chopin's practices (for example, the

idea that ail trills begin fiom the upper auxiliary) need to be challenged in light of the

evidence of the sources and in view of the range of practices described in both

instrumental and vocal treatises of the 1840s.

Thanks are due to Dr. Robert T o 4 my principal advisor, and Dr. James Grier, my

second reader, for their work on this thesis. I am especially grateful to Dr. Sandra

Mangsen, Associate Dean of Graduate Studies of the Faculty of Music, for her support

and encouragerneuf and to Shelly Koster, Graduate Secretary of the Faculty of Music.

Last but certainly not least, 1 am indebted to Dr. Richard Semmens for graciously

providing much-needed input, despite his being on sabbatical.

T gratefdly acknowledge the support of a Doctoral Fellowship fiom the Social

Sciences and Humanities Research Council of Canada, and 1 extend a special word of

thanks to Hanna Wroblewska-Straus, curator of the Chopin Society museum and archives,

for her prompt and courteous assistance- My gratitutde extends also to Kasia Sienickï,

whose generosity facilitated my research in Warsaw; to Jean-Paul Sevilla, who provided

me with accomodations in Park; to Edmund Michael Frederick of Ashburnharn,

Massachusetts, who graciously allowed me to visit and glean information fiom his

collection of historic pianos; and to Darcy Kuronen, curator of musicai instruments at the

Boston Museum of Fine Arts, who kindly granted me access to that collection of

keyboard instruments-

In addition, 1 am indebted to Ron Warner for his personal and moral support

throughout the process of writing this thesis, to al1 my friends at Redeemer Lutheran

Church in London, Ontario for their encouragement and appreciation, and to Dr. Barbara

Reul in Victoria, British Columbia for her supportive advice.

Certificate of Examination

Abstract

Acknowledgrnents

Table o f Contents

Introduction

TABLE OF CONTENTS

Chapter 1: Chopin's Unfinished Piano Method in Light of Contemporaneous Treatises

Chapter 2: Ornarnentation - Trills

Chapter 3: Omamentation - Appoggiaturas, Mordents and Gruppetti

Chapter 4: Articulation

Chapter 5: Rubato

Chapter 6: Tempo and Tempo Modification

Chapter 7: Pedaliing

Chapter 8: Summary and Conclusions

Bïbliography

Curriculum Vita

INTRODUCTION

The range of performance possibilities surrounduig the piano sonatas of Frederic

Chopin includes practices often associated with keyboard music of earlier penods. As weu,

vocal practices fiom the period c. 1760-2 840 wodd have exerted an influence on the

performance of these works and on their compositional style. In this study, I have

examined manuscript and printed sources for Chopin's two piano sonatas, Op. 35 in B-flat

minor (1 840) and Op. 58 in B minor ( l84S), against the historical backdrop provided by

keyboard methods and treatises on singing in order to ascertain how these sonatas might

have been perforrned in the period c. 1840-1880. This thesis addresses the need for a

systematic scholarly study of performance-practice issues in Chopin, placed in the proper

context, by examining a wider variety of primary sources than has previously been the case,

by establishing a contextual fiamework on the basis of treatises as well as documented

accounts of Chopin's students and colleagues, and by considering several interrelated

aspects of performance while focusing on a single genre, the piano sonata.

Past decades have witnessed a resurgence of interest in performing and recording

piano music of the late eighteenth and early nineteenth centuries on period instruments, yet

scholarly studies dealing with the performance practices associated with this music remain

sporadic. The idea that we, as performers at the beginning of the twenty-first century,

possess a historically accurate conception of music of the nineteenth century appears to be

based on the assumption that twentieth-century practices grew directly out of

nineteenth-century traditions. While musical notation in nineteenth-century sources may

appear to be more directly accessible than that of the fourteenth century, it must be

remembered that nineteenth-century musical notation would have portrayed different

messages to the musicians for whom it was written than it does to perforrners of the present

day. In order for us to gain insights into how Chopin might have expected his musical

notation to be realized in performance, it is necessary to look beyond the notation itself

The methodology of th-s study centres on an examination of selected manuscript and

printed sources of Chopin's sonatas c. l84O-l882, which are described below, while seeking

to place the notation in these sources within a prûper historical perspective. Pedagogical

treatises published during the late eighteenth and the first half of the nineteenth century

have provided valuable contemporary documentation with respect to tempo, omaments,

touch and articulation, dynamics, expression marks, and pedalling. The information found

in these treatises has helped to establish the range of practices in vogue during the period.

Testimony of Chopin's students and colleagues (as docwnented in diaries, letters, and other

CVntten accounts) supplies additional information not onLy about current practices in generai

but also about those that were unique to Chop& that is, those that deviated fiom established

pianistic noms. Chopin's own unfuiished piano treatise, although it does not directly

confront issues related to keyboard performance practices, demonstrates a conceptual

approach to the piano that is very different fiom that of contemporaries such as Kalkbremer

and Czerny-an approach that suggests an aesthetic more closely aligned with vocal

practices. As is well known, Chopin urged his students to Ieam from the greatest Italian

singers, such as Pasta, Rubini, and Grisi, and this, together with his well-documented

admiration for Jenny Lind and H e ~ e t t e Somtag, confums that vocal practices ofthe time,

as welI as pianistic practices, are himy relevant to my study. Finally, additional context

has been provided by references found in historical periodicals such as Le pimiste and the

Revue ga7ette et rnusicaIee

The treatises used in this study to esiablish historical context are cited in the

bibliography and are, fdr the most part, well-known to scholan. Keyboard methods such as

those of Clementi, Cramer, Czerny, Kalkbremer, and Hummel receive frequent mention. In

addition, a lesser-known treatise provides some fascinating insights into the continuity of

the historical relationship between singing and keyboard playing in nineteenth-century

Paris. Felix Godeftoid's École chantante du piano (Paris: Heugel, 186 1) illustrates the

extent to which concepts borrowed kom singing and the imitation of the voice continued to

pervade pianistic thought, at least in some circles. Not much is known about Godefroid

(1 8 18-1 897), except that he was an accomplished Belgian harpist, pianist, and composer

who had studied briefly at the Paris Conservatoi~e.~ A copy of his piano method was found

in the former collection of the Paris Conservatoire currently contained in the Bibliothèque

nationale, and it is possible that this method might have been known and even used at the

Conservatoire.

In addition to the general information garnered fiom periodicals, treatises, and the

documented testimony of observers, manuscript sources of Chopin's works may convey

specific pianistic practices. Thomas Kggins, author of a dissertation on performance

indications in Chopin saurces, notes (dong with Emmanuel Wintemitz) that manuscript

sources-particularly autographs-illuminate Chopin's intentions by revealing aspects of

musical handwriting that cannot always be accurately reproduced in print2 The plethora of

Sadie, Stanley, ed., The New Grove Dicrionary of Music (London and New York: MacMillan Press, 19803, S.V. 'Godefroid, Felix" by Alice Lawson Aber.

Thomas Higgins, ""Chopin Interpretation: A Study of Performance Directions in Selected Autographs and Other Sources," Ph-D. diss (Stanford University, 1966),30-3 1.

pfited editions of Chopin's music that appeared during the rnid- to late nineteenthcentury

not only attests to the appeal of his works in several countnes but also provides a basis for

comparative study. An examination of the discrete manuscript and printed sources of a

single work (especialiy those which stem f?om a penod as brief as a few weeks or months)

can establish the range of a work's conception, while annotations made by Chopin or one of

his students in printed sources may assist in c l a r m g one possible uiterpretation of the

notation- Subsequent editions demonstrate how the practices exhibited in earlier editions

changed d u h g the course of the nineteenth century.

Even the first editions of Opp. 35 and 58 reved considerable variation in notated

performance indications, attributable partly to circumstances s urrounding the transmission

of Chopin's musical texts. From the time he had established bimself in Paris, Chopin's

works were published virtually simultaneously in three countrïes: France, England, and

Germany. Separate manuscript fair copies were prepared for publishers on the continent

during the period 1837-1841, either by Chopin or by tnisted assistants such as Julian

Fontana, and after 184 1 autograph fair copies were provided almost exclusively by Chopin

himselE3 In a description of what he refers to as the "Chopin problem," Jeffrey Kallberg

observes that discrepancies arnong separate autograph fair copies of the same work suggest

a process of continuous cornpo~ition.~ in a sirnilar vein, Leo Treitler notes that fair copies

of the same work ofien differ fiom one another, even for those works copied around the

Jeffkey Kallberg, "Chopin in the Marketplace," in Chopin ut the Boundaries: Sex, Kistoryl and Musical Genre (Cambridge M A and London: Harvard University Press, 1996), 174-2 13. Before 1843, Chopin's publishers in Engiand (the firm of Wessel) apparently based their editions of his works on proofs h m the first French editions as well as manuscript copies; afler 1843, however, the sources were more likely to be autograph manuscripts.

Kallberg, "The Chopin 'Problem'," in Chopin ut the Boundaries, 216.

sarne tirne, and that these variants are independent of the mes that result from subsequent

editions and revisions by publishers or agents working for them5 Treitler interprets the

discrepancies between autographs as indicative of Chopin's fluid conception of a work, a

conception open to new possibilities at each stage of the process between composition and

perf~rmance.~ This interpretation is shared by Kallberg:

Cornposers in the nineteenth centuxy were not autonomous figures, and theu scores did not necessarily represent unique, invariable forms of their music ...If Chopin aiiowed multiple versions of a piece to appear before the public, then this reaects sornething essential to the constitution of a work of art in the 1830s and 40s.'

Ln an article dealing witb Chopin's autograph manuscripts and twentieth-century

recordings, Leo Treitler observes that "...spart fiom a performance tradition, no notation has

a final meaning-"8 Treitler does not attempt to anaIyze specific performance traditions but

simply suggests that in the music of Chopin, work, score, and performance share the sarne

ontological level. Treitler suggests that pianists who are unaware of the "fluidity of the

conception of the work" may be reIuctant to deviate fiom published scores of Chopin's

works? Whïle it is impossible to completely recapture performance traditions of the

nineteenth century fiom our current vantage point, the present scholarly examination of

primary sources of music that was written, published, and performed during Chopin's tirne

rnay resdt in a richer understanding of the Ccfluidity" of a work or genre, as weil as an

awareness of the range of performing practices that were associated with it.

Leo Treitler, "History and the Ontology of the Musical Work," Journal of Aesthetzcs and Art Criticism 5 1 /3 (Summer 1993,493. bid, 495- ' Kallberg, "The Chopin 'Problem'," 228; previously cited in "&Are Variants a Problem? 'Composer's Intentions' in Editing Chopin," Chopin Studies III (Warsaw: Fredenc Chopin Society, 1990), 267.

Treitler, ''Kstory and the Ontology of the Musical Work," 49 1. Ibid-, 496.

Much of the existing discourse with respect to performance practices in Chopin's

works has been based on annotations in scores such as those owned by Chopin's student

Camille Dubois-OMeara, the purpose of which codd arguably be perceived as primarily

pedagogical. A dissertation by Jeanne Holland and, more recently, Jean-Jacques

Eigeldinger's book focus on Chopin's pedagogy, and these sources deal almost in passing

with performance practi~es.~"ie Eigeldinger presents much docurnentary information

on Chopin's pedagogical practices and provides a summary description of the known

motated scores of Chopin's works, his book is of Limited value to the scholar who wishes

to understand performance practices in Chopin's piano music in relation to

contempomeous practices. While annotations in published scores of relatively short pieces

may be instructive about performance practice issues at a local level, such as pedalling

within a measure or the placement of omaments, they tell us Little about the practices

associated with works of relatively large scale: for example, subtle adjustments of tempo

that may have assisted in cornmunicating the form of a sonata movement. Furthemore,

most annotations are found in printed scores of the first French edition and, therefore, other

first editions as well as subsequent printings are neplected An approach to detemining

performance practices in Chopin's music that is based on his pedagogy provides a good

point of departure but may lack an awareness of histoncal context.

Another limitation of the existing research into perfomance practices in Chopin's

music is that studies have tended to focus on a single aspect of performance rather than on a

'O Jeanne Holland, ccChopin's Teaching and His Students" (Ph-D. diss., University of North Carolina at Chape1 Hill, 1972); JeamJacques Eigeldinger, Chopin: Pianisr and Teacher. e d Roy Howat (Cambridge: Cambridge University Press, 1986). English translation by Naomi Shohet, W s i a Osostowicz and Roy Howat of Chopin. vupar ses élèves (Neuchâtel, Switzerland: Éditions de la Baconnière, 1970; reprint, 1979).

range of interrelated topics. David Rowland, for example, in his recent book on the histoiy

of pianoforte pedalling from the eighteenth century to the present, devotes a smaE section to

Chopin's use of the pedals." Similarly, an article by Sandra Rosenblum and a portion of a

dissertation by John Fem address the subject of pedal markuigs in Chopin's Other

studies, like Ferri's, deal with more than one dimension of performance but are restricted to

a relatively small number of sources, often involving small-scale genres. Thomas Hïggins

has focused on autograph manuscripts and one historicd edition (the Amencan facsimile

reprint of the Breitkopf & Hartel edition ofchopin's complete works, 1878-1880) as well as

two modem edition~, '~ but his selection of works is limited mostly to the preludes, selected

ballades, and scherzi. The present study attempts to focus on a single genre, to examine a

wide range of source material, and to establish historical context through a representative

yet broad sampling of treatises and ottier docurnented evidence.

Bibliographie control of the primary sources for Opp. 35 and 58 examined in tbis

study was facilitated by Krystyna Kobylanska's thematic catalogue of Chopin's warks,

which lists manuscript copies (including autographs and fair copies), first editions, and

annotated scores.'" Unfominately, rnanuscnpt sources of Chopin's music are relatively

difficult to locate since many of these were dispersed during the Second World War.

(According to one Polish scholar, Chopin's music was abhorred by the Nazis because of its

' 'David Rowland, A History of Pianoforte Pedizlhg (Cambridge: Cambridge University Press, 1993), 108-109, 120-130, 150.

Sandra Rosenblum, Pedalling," Journal of Musicologicol Researcfi (1 996), 41-61; John Fem, "Performance Indications and the Analysis of Chopin's Music" <Ph.D. diss., Yale University, 1996). Fem's study focuses more on the analysis of Chopin's music than on musicological issues, although the author refers to sorne original source material in his discussion of pedalling, f i n g e ~ g , and tempo markings. l3 Higgins, "Chopin Interpretation," 16-3 1. l " ~ s t y n a Kobylanska, Frederic Chopin: Thematisch-bibiiographisches Werkve~eeichnis. ed E. Herrtnch, trans. from Polish by H. Stolze (Munich: Henle, 1979).

perceived nationdistic associations, and anyone discovered listening to "secret concerts of

his music" faced the death penalty-'5) The manuscript documents examineci in this study

include: the autograph fair copy of Op. 58, which served as the basis for the first Breitkopf

62 Hàrtel of 1 845 [Si@ Mus. 232, Music Department of îhe National Library in Warsaw];

the manuscript fair copy of Op. 35 in a hand other than Chopin's, possibly that of his

student AdolfGumann F. 1299, Frederic Chopin Society, Warsaw]; and a manuscript copy

of the thkd rnovement only p- 19 18, Chopin Society]. A manuscript fragment of Op. 58A

that corresponds to mm. I 18-133 of the development section, in Chopin's hand, is held by

the Chopin Society F1/234], and a photocopy was graciously supplied tu me.

An original manuscript copy of the third movement of Op. 35, the well-known

"'Marche funèbre," is housed in the Osterreichische Nationalbibliothek in Viema [Sign.

Suppl. Mus. No. 46891- The title page of this manuscript identifies the "Marsche [sic]

funèbre" as belonging to the Sonata, Op. 35, and in a different hand underneath the carefid

calligraphy is written in parentheses "aus der B-mol1 Sonateyy [fkom the B-flat minor

sonata]. Assuming that the annotation was contemporaneous with the copying, this

manuscript copy must have been made sometime after the entire sonata was published

While the s c n i is not known, the Germanic rnisspeiluig "Mars~he~~ suggests that he or she

may have been Geman or Ausûian. This manuscript copy of the "Marsche Funèbre" is of

interest primarily for the slight dynamic variants found in the reprise of the March section, a

section that is fùlly written out. By contrast, the manuscript fair copy for the first Breitkopf

& Hiirtel edition of Op. 35 shows numbered measures that represent a "da capo" notation,

and this notation would suggest an identical repeat of the March section!

15K. Jazwinska, "The Frédéric Chopin Society in Warsaw," Polish Music 5 ( 2 WO), 4. I6Kallberg, "Chopin in the Marketplace," in Chopin at the Buundaries. 198. Kallberg

Maurice Brown's index contains a comprehensive list of editions of Chopin's works

published between 1850 and 1960.L7 Using Brown's index, I have been able to locate and

examine the followirog printed sources: the first French edition of Op. 58 (Paris:

Meisonnier, 1845) and the first German and English editions of Op. 58 ( L e i p e Breitkopf

& Hartel, 1845; London: Wessel & Stapleton, 18451, dl obtained îhrough the Chopin

Society in Warsa~q the annotated scores of Op- 58 owned by Camille Dubois-O'Meara and

Jane Stirling housed at the B~Miotheque nationale in Paris r_Res.F.980 (U7); Res-Vma 24 1

(W58)]; l8 and the annotated volume of Op. 35 owned by Marie Scherbatofî-Tcherkassky, a

Russian student of Chopin, which is currently housed at the Houghton Library of Harvard

University [&lus. C4555.B846~.].'~ As well, editions of the sonatas published after

Chopin's death that contnïuted to the docurnentary base of this study include those of

Wessel & Co. (London, 1853); Richault (Paris, 1860); Gebethner and Wolff (Warsaw, 1863;

second and third editions, 1877 and 1882); and Breitkopf & Hartel (Leipzig, 1878-80).20

Although the first French, German, and English editions of both Opp. 35 and 58 fa11

into the category of Chopin's works that were published "simultaneously" (that is, iithin a

observes that, when Chopin wanted an exact repetition, he "usually notated it-..in his manuscripts with numbers marking off the measures to be played over." "Maurice E. Brown, Chopin: An Index of His Works in Chrurtu~ogical Order Gondon: MacMiIlan, l96O), 173- i 87. I8These annotated scores of Chopin's well-known students were initially obtained as photocopies. Subsequently, 1 examined the originals in person on a research trip to Paris in July 1999. IgAnother important source of annotations is the collection of Chopin's music (invariably in the first French editions) which the composer's older sister Ludwika Jedrzejewicz received fiom him. The Fredenc Chopin Society in Warsaw holds copies of Ludwika's original Schlesinger editions containing annotations by Chopin d o r Jane Stirling. Opp. 9, L 5,27, 33,34,47,48 and 5 1 are included in that collection 174- 1761 and were examuied on microfilm. Unforhinately, the sonatas are excluded fiom Ludwika's collection. Zoniese were obtained as photocopies or microforms from the British Library in London, the Chopin Society in Warsaw, and the University of Toronto Music Library.

few months of each other),2I the variants found in these sources suggest not only multiple

possibilitia for perfomiing a work, but dinering conceptions of the work Jeffrey Kailberg

has argued that it is not only difficult but counterproductive to search for a Fc~ssung letier

Hmrd among the simultaneously published 6rst editions of Chopin's works. htead, each

source can be accepted as valid given the implicit social contract between the composer and

his anticipated a u d i e ~ c e . ~ In this thesis, 1 make frequent reference to the fust editions of

Chopin's sonatas, and it may be useful to provide a brief overview of what the performance

indications in these editions suggest about instruments and musical context The following

summav describes the most relevant characteristics of each of these sources. More detailed

descriptions are found in the body of the thesis.

The first French editions of Opp. 35 and 58 (Le., those published by Troupenas and

Meissonier, respectively) seem compatible with Chopin's preferred Pleyel instruments, as

well as the relatively intimate acoustics of the musical "chambers" or salons in private

aristocratie homes- Dynamic markings are less extreme in comparison to the Geman

sources, which feature more instances of bothpp and ff (particularly the former) than are

found in the French editions. Although the Wessel editions published in England show

similar dynamic markings to those in the French editions, a considerable number ofboth f

and p marlangs are lacking in Wessel, particularly in Op. 58. Pedal markùigs in the first

French editions reflect techniques that might be considered conservative for the mid-

nineteenth-century: for example, rhythrnic pedalling to highlight grammatical accents, the

blurring of certain harmonies for colouristic effects or for the sake of rhetorical continuity,

and the use of the darnper pedal to enhance melodic sonority in the upper registers of the

*'Kallberg, "Chopin in the Marketplace," in Chopin at the Bomdaries, 163. "Kallberg, "The Chopin Problem," in Chopin nt the Boundaries. 2 21 5-2 18,227-228.

instrument Articulation markings in the srst French editions include wedges as well as

dots. The Meissonier edition shows the term "legato" in the le&-hand line of Op. 58A in a

context that may correspond to the holding down of certain notes independently of the

pedal, as is characteristic of the music of Türk's generatioa (Thi-s passage is described

more fully in Chapter 4.)

In the e s t French editions of Opp. 35 and 58, markings pertauiing to articulation,

ornamentation and pedalling are less uniform in parallel or andogous structural sections of

a given movement than tends to be the case in the German sources. In both the Troupenas

and Meissonier editions, indicators of articulation and dynamics are sometimes lacking in

htten-out repetitions (for example, in Op. 35/11), and it is possible that this absence of

specific markings rnight provide an opportunity for varying the dynamics or touch on the

second occurrence. Pedalling is sometrmes added at the second appearance (literal or

varied) of thematic material, as the Meissonier edition of Op. 58DV clearly demonstrates.

The first French editions of Chopin's sonatas, more than the other sources, attest to the

influence of earlier principles illustrated, for instance, by Car1 Philipp Emmanuel Bach's

notion of "varied repetiti~n."~ Taken together, these early French sources present the

sonata as a genre consistent with the "chamber style."

By cornparison, îhe first Geman editions portray the sonata genre as a more

dramatic work, one suited to the larger public stage. The gestures are grand and orchestral, - --

=Car1 Philipp Ernanuel Bach, Sech Sonaten mit veründerten Reprisen (Berlin, 1760); edited and trandated by Etienne Darbellay as Six Sonutas wiCh Varied Reprises (Winterthur: Amadeus, 1976), m. The editor notes: "Aside fkom its geat artistic value, this collection

is also important for its specific didactic purpose-the art of varying repeats [die K m t der variierten Wzederholung]." Bach's collection provides notated variations for repeated sections, admittedly a rather odd notion at a tirne when improvised variation wodd have been the nom. Possibly Bach was providing a mode1 for students who were relatively unfarniliar with what may have been a dying practice.

and in some cases the movement titles are more descriptive (e-g., ''Marche funèbre" as

opposed to "Lento - March; or 'Zargo - cantabile" as opposed to "Largo," in the case of Op.

58A). Longer and more harmonically-oriented pedals would contriiute to a m e r , larger

sound Restatements of thematic material are more likely to be ushered in by a crescendo

than a decrescendo, except where the thematic matenal is of a lyrïcal nature. Repeated

sections show Little notational variation, perhaps in cornpliance with Breitkopf & Hartel's

editorial preference.*'

However, the German sources of Chopin's sonatas do not dways exude a more

extroverted character than their French counterparts. The autograph fair copy and the first

Breitkopf & Hartel edition of Op. 58 give dynamic markings that feature the lower end of

the dynamic spectrum to a greater extent than is evident in the French and English sources.

More pp markings, as well as longer and more fiequent decrescendos and shorter

crescendos, are found in the German sources, along with relatively few short expressive

shadings. The absence of detailed dynamic indications in the German sources of Op. 35/N

may have encouraged later editors to include their own ideas for dynamic possiïilities, as

Jan Kleczynski's 1882 edition for Gebethner & Wolff seerns to suggest.

For their part, the English sources of Opp. 35 and 58 Iack some of the fiequent

dynatnic markings found in the continental sources. Pedal markings in the Wessel editions

are longer, in some cases, than those found in the French editions. However, m e n - o u t

ornamentation in the Wessel editions is almost identical to that in the French sources, and

*'Kallberg, "Chopin in the Marketplace," in Chopin at the Bounduries. 198. Kallberg observes that engravers for Breitkopf & Hmel sometimes "revised passages to bring Chopin's notation into accord with what must have been Breitkopf s 'house policy'," and that Iater editions of Chopin's work often contain variants that "typically regularize what was asymmetrical in the early print."

the placement of crescendos and decrescendos is similar. In general, the French and

Gerrnan sources display more Merences with regard to notational indicators of dyoamics,

articulation, and pedalling than are evident between the French and English editions.

The foregoing summary of the significant merences in performance indications

among the sources reveals that the wealth of detailed information about the range of

practices relating to Chopin's sonatas in the mid-nineteenth century requires contextual

perspective. The matenal in this thesis has been organized into chapters on the bais of

issues familiar to those with an interest in historical performance practice research The

opening chapter examines Chopin's unfinished sketches for a piano method, the ody

docurnented evidence in Chopin's own hand of his technicd and aesthetic premises, other

thm incidental gleanings fiom his letters. This chapter seeks to place Chopin's pianism in

the context not only of his Parisian contemporaries but also of other schools of keyboard

playing, and it establishes that Chopin's "novel" approach to the piano may have been

rooted in late eighteenth-century practices that were perpetuated in vocal music of the

mid-nineteenth century. Subsequent chapters focus on specific elements of performance

practice in relation to Opp. 35 and 58: tnk, other types of ornamentation (appoggiaturas,

mordents and gruppetti), articulation, rubato, tempo and tempo modification, and pedalling.

1 have chosen to incorporate obsewations on dpamics into various chapters rather

than devote a separate chapter to this element of performance. One of the primmy reasons

for doing so concerns Chopin's own flexible attitude toward dynamics, which is manifested

in the sources of the sonatas. For example, a crescendo in the Geman sources might be

pardeled by a decrescendo in the French editions, as is the case at m. 226 of Op. 5 8 N

prior to the final restatement of thematic material. Dynarnic changes may be explicit in

some sources but not in others. Furthemore, dynamic markings are likely to Vary fiom

source to source at the repetition of a structural section such as a reprise. These differences

do not necessarily correlate to the acoustical properties of specific instruments, but appear

simply to reflect alternative conceptions. A quotation attnbuted to Chopin alludes to the

diversity of dynamic means availabie to an end:

We are concerned with the end result-.-the goai, the response evoked in the listener, not the means used to evoke it- You can be stmck dumb with astonishment at unexpected news, equaiiy whether it is shouted out Ioud, or bareIy whispered in your ear. ZS

Descriptions of Chopin's playing suggest that he alrnost never piayed his own compositions

the sarne way twice, and that he norrnally introduced variants "according to the mood of the

r n ~ m e n t ~ ' ' ~ ~ Such variants would undoubtedly have included changes in dynamics, and it is

not surprising to find such changes notated in the sources of the sonatas.

Although Chopin's works may not yet have entered the mainstream of "earIy music"

in the recording world, this thesis shows that the Opp. 35 and 58 sonatas wouid have been

characterized by a wide range of practices, including those derived fiom earlier keyboard

music and singing. These practices may, at times, seem anomalous in cornparison to those

associated with Chopin in accounts dating from the latter part of the nineteenth century.

The findings will undoubtedly be of interest to performers and teachers of piano, especially

those interested in historically infonned approaches.

=The statement may be that of Marcelina Czartoryska, and is given in Adam Czartkowski and Zofia Jezewska, Fvderyk Chopin (Warsaw: P M , 1970), 377; cited in Eigeldinger, 57. "Anthony Hipliins; cited in Eigeldinger, 55.

CHAPTER 1: CHOPIN'S UNFLNISHED PIANO MIETHOD IN LIGHT OF CONTEMPORANEOUS TREATISES

The image of Frederic Chopin as a pianistic innovator is widely accepted in the

twentieth century, and the demands made by Chopin's music for the piano stand alongside

those of Franz Liszt as the pillars on which modem piano technique is based- In

cornparison to Liszt, however, Chopin taught only a relatively small nrimber of students

during his lifetime; and of these, only ten or so ever achieved concert careers.' Liszt is said

to have remarked about Chopin's teaching that his colleague was "unfortunate in his

p~pi l s . "~ Whatever the reasons, no school of piano playing comparable to that of Liszt or

Leschetitziq may be traced back to Chopin. This does not mean, however, that Chopin's

activities as a pedagogue are of negligible value. Rather, it is in examining the principles

which Chopin wished to communicate to students that insights may be gained into his

technical and aesthetic conceptions. This chapter wiLl consider Chopin's little-hown

manuscript sketches for an unfinished piano method in relation to published piano treatises

of the first half of the nineteenth century, particulariy the Fétis-Moscheles Méthode des

méthodes (1 840). Although this treatise, CO-authored by Francois Fétis and Ignaz

Moscheles, f ist appeared in prht in the same year that Chopin's Op. 35 sonata was

' Jean-Jacques Eigeldinger, Chopin: Pianisr and ï k d t e ~ as seen by hzs Pupils. English trans. by Naomi Shohet with Krysia Osostowicz and Roy Howat (Cambridge: Cambridge University Press, 1986), 5-9; origùially published as Chopin vupar ses élèves (Neuchatel, SwitzerIand: Editions de la Baconniere, 1970). Eigeldinger asserts that a maximum of 150 students passed through Chopin's hands, and he points out that this figure includes those who had only a few lessons as welI as those who might more legitimately be considered long-tem students.

Ibid., 5.

published in Paris, it reveals pianistic premises very different from those apparent in

Chopin's unpublished me-

As a pianist, Chopin was vîrtually self-taught, His earliest musical studies were at

the Warsaw Conservatory with Adalbert Zwyny, a Bohemian violinist who also tau&

piano. Later Chopin studied theoretical subjects and composition with Joseph Elsner, a

German musician who had studied in Vienna before taking up residence in Warsaw, where

he became director of the Wanaw Conservatory in 1821 .' Shortiy afler Chopin arrived in

Paris in 183 1, he played for one of the most highly-regarded piano virtuoses of the day,

Friedrich Kalkbrenner. Upon hearing Chopin, Kalkbrenner suggested that he engage in a

three-year course of study with him in order to fufly develop his potential. Chopin dectined,

preferring instead to work independentlyYJ This lefl him without a pianistic pedigree in a

culture in which concert audiences were accustomed to pianists with high reputations

derived fiom their teachers' statu. Chopin was able to sustain a modest career as a concert

performer, but nonetheless relied on teaching as his prirnary source of incorne.'

The most comprehensive study of Chopin's pedagogical activities to date is that of

Swiss musicologist Jean-Jacques Eigeldinger. Eigeldinger provides a docurnentary base of

writings by students and colleagues of Chopin with regard to his views on technique, style

and interpretation. The picture of Chopin which emerges is that of a dedicated teacher who,

although he allegedly referred to teaching as a "treadmill," nevertheless regarded it as an

Friedrich Niecks, Frederic Chopin as Man and Musician, Vol. I,3rd ed. (London: Novello, l9O2), 29-3 5. '' James Methuen-Campbell, Chopin Plq ing (London: V. Gollancz, 198 1), 30.

Eigeldlnger, Chopin: Piunist and ieacher, 6 .

important responsibility. He could be very generous with his time, especially with pupils

who were particularly tdented6

While much useful information has k e n gathered and assimilated by Eigeldinger,

the fact remains that much of what it reveals about Chopin's teaching of piano technique is

drawn from indirect sources. Car1 Mikuli, one of Chopin's better-hown students, States

that Chopin "invented a completely new method of piano playing that permitted him to

reduce technicd exercises to a rnini~nurn,"~ but Mikuii does not state wbat these exercises

were or to what extent the details of Chopin's "completely new method" may have been

wrïtten down. More recentiy, Eigeldinger has focused scholarly attention on a valuable

primary source of Chopin's teaching: his unfinished treatise on piano playinp. In his 1993

study, Eigeldinger discusses the sources for Chopin's "Projet de Méthode" ["Sketches for a

Method"] and provides a critical edition and detailed commentay on the text?

During the early to mid-1800s, a profusion of piano methods and tutors was

published in continental Europe as well as in Britain. Those published in EngIand tended to

be short and directed at the growing nurnber of amateur musicians, whereas those published

in France or Gerrnany were generally more comprehensive and may have been intended for

the advanced playere9 Many of the performers whose methods were published in the earlier

part of the nineteenth century were concert pianists or teachers in London, Pans, and

Eigeldinger, Chopin: Piunist and Encher. 6-7. Ibid., 27. Eigeldinger, Frederic Chopin: Esquisses pour une méthode de piano (Paris: Hammarion,

1993). One of the scholars who makes this observation is Sandra Rosenblum in her edition of

Muzio Clementi, introduction to the Art ofPZaying on the Piano Forte (London, 180 1 ) ; facsimile repr. (New York: Da Capo Press, 1974), ix.

Vienna, including Jan Ladislav Dussek, Johann Nepomuk Hummel, Car1 Czerny, Friedrich

Kakbrenner, and Daniel SteibeIt 'O

In 1840, a treatise with the ambitious title Méthode des méthodes was published in

Paris as a collaboration between Francois-Joseph Fétis, director of the Brussels

Conservatory, and lgnaz Moscheles, a leading pianist of the day. In the tradition of

Clementi's Introduction to the Art of Playing the Piano Forte (1 801) and other

nineteenth-century rneîhods, the Fétis-Moschefes treatise includes an appendix of pieces by

well-hown composers. Among these pieces are three etudes by Chopin.

The p n m q author of the Méthode des méthodes is clearly Fétis. Although he

fiequently refers to the celebrated Monsieur Moscheles' opinion on matters of technique,

Fétis also draws comparisons with other pianists in an effort to be systematic and objective.

Among the pianists Fétis cites are Liszt, Thalberg, Kalkbrenner, Hummel, and Henri Herz.

Fétis also refers to the k t i n g s of Clementi, Dussek, and Louis Adam, thereby

demonstrating his familiarity with these earlier treatises-' ' References to the pianistic ideas

of Chopin are conspicuously absent fiom the Fétis-Moscheles method, although on several

occasions short excerpts fkom his compositions are given as musical examples. This,

coupled with the fact that three new études had been solicited as practical material to

supplement the Méthode des méthodes, suggests that Chopin may have achieved p a t e r

recognition in 1840 as a composer than as a pianist and teacher.

''The first hown treatises by the pianists listed are: Dussek, Ins~ruc~ions on the Art of Piaying rhe Pianoforte or ffarpsichord (London, 1796); Hummel, AtLsfîhriiche theoretisch-praktische Anweisung -mm Piano-Forte-Spiel (Vienna, 1828); Czerny, VoIIstÜndige theoretisclz-praktische Pianoforte-Schule (Vienna, Z 839); Kalkbrenner, Méfhode pour upprendre le piunoforre, Op. 108 (Paris, c. 1 835); Ste~ibelt, Méfhode de piuno (Paris, 1.809). ' 'Francois-Joseph Fétis with Ignaz Moscheles, Méthode des méthodes (Paris, L 840); facsimile repr. (Geneva: Minkoff, 1973), 9, 18,4647.

It is no$ lcnown whether Chopin was familiar with the textual content of the

Méthode des méthodes- Eigelduiger points out that Chopin was familiar enough with the

teaching of Hummel to cite him as an alrthority on the unique capabilities of the Werent

Engers.12 Chopin also appears to have known Kakbrennefs method (which had been

published in Leipzig and London, as well as in Paris), for he dudes to Kalkbrennerrs

technical fhne of reference in his own unnnished method, if only to dispute i t t3 In 1840,

Kalkbrenner was one of the most revered virtuoso pianists in Paris, then considered the

pianistic capital of Europe, and it is hardly surprisùig that Kalkbremer's views are cited

fiequently in the Fétis-Moschefes treatise. One can easily imagine Chopin surrounded by

methods such as those of Kalkbrenner and Fétis which were largely Foreign to his own

views, feeling compelled to make his voice heard.

The sources for Chopin's unfinished "Sketches for a Method" are not dated, and it is

not kmown exactly when Chopin first began working on this project. The autograph

manuscript of the method has been in the Pierpont Morgan Library in New York City since

the death of its previous owner, the celebrated pianist Alfred Cortot, in 1962. According to

paper studies by Eigeldinger and JefTrey Kalberg, the majority of the autograph folios match

paper kno~m to have been used by Chopin for compositions dated between 1844 and 1846,

~ L U % I ~ which time he also composed the Sonata in B minor, Op. 58. The outer folios of the

sketches appear to date fiom a slightly earlier period, 1842-1844, and a few leaves

correspond to paper used for earlier works during the period 1837-1 838.''' While it is

possible that Chopin may have begun work on his piano method as early as 1837, it appears

'%igeidinger, Chopin: Pianist and Teacher. 195. I3Ibid.; Friedrich Kalkbremer, Méthode pour apprendre le piano a l'aide de guide-mains (Pans, c. 1835). '"Eigeldinger, Esquisses, 20.

probable that the bulk of ir \vas wrîtten after 1840, perhaps on staff paper which had been

acquired in 1837. Eigeldinger hypothesizes that Chopin rnay have worked on his piano

method during the summer of 1844 while he was staying at Georges Sand's summer home at

Nohanf or possïbly in the autumn of that yead5 Th-s hine period would correspond to that

during which the Op. 58 sonata was composed.

Three other sources of Chopin's proposed method contain additional material not

found in the autograph sketches; however, only one of these sources, the Katsarsis

manuscript, provides information on the dating of the rnetlmV6 But even this Somation

is inconclusive: the dimensions of one of its pages are very similar to those of an

anonymous copy of the Funeral March, Op. Posth- 72/2 (KK1063) which dates from

November 1849. The Katsarsis manuscript is in the hand of Chopin's older sister Ludwika,

who may have made a copy of the autograph sketches sometime in 1849 or 1850, perhaps

after Chopin's death. It is not known what Ludwika ïntended to do with these sketches.I7

Ln a letter to Julian Fontana dated October 18, 184 1, Chopin states that a publisher

has offered him 300 francs for either a collection of twelve etudes or a piano method (He

feels that such a fee is far too low, and that 600 francs is the minimum that he would

accept.)18 No letter from a publisher corroborating Chopin's assertion is known. However,

Chopin's letter supports the idea that work on his pedagogicd treatise would most likely

have been begun in eamest soon after 1840. Eigeldinger notes that the painter Eugene

Delacroix, a fkiend of Chopin, had spoken as early as 1841 of wnting a treatise on design

lSEigeldinger, Esquisses. 14. %id-, 23-28. 17Tbid, 24-25. The printed scores of Chopin's works owned by his sister Ludwika contain annotations in the hand of Jane Stirling, as well as that of Chopin, and it is conceivable that Ludwika had plamed to make a copy of Chopin's sketches for Stirling- ''Ibid-, 12.

and colour and this may have encouraged Chopin to commit his own aesthetic ideas to

paper.19 It is possible that the Opp. 35 and Op. 58 sonatas (published in 1840 and 1845

respectively) may have b s e n from a similar desire to demonstrate his ideas about the

"classicd" sonata genre Eor poste*.

The originality e f Chopin's approach to the piano, as Jim Samson has suggested,

rnay be attrr'buted to his being essentially seIf-taught and not having passed through the

han& of an established virtuoso such as Kakbremer." Nonetheless, documented accounts

of Chopin's playing and teaching suggest that his pianistic style was secureIy founded on

earlier principles, such as those of Clementi. Johann Baptist Cramer, a member of the

so-called "London schooR" and a student of Clementi, commented on the "correctness" of

Chopin's playing," and Chopin's student George Mathias reported to Frederick Niecks

(Chopin's biographer) that his teacher was "absolutely of the old legato school of..Clementi

and Cramer."a Even Chopin's mbafo was described by his students George Mathias, Car1

Mikuli, Camille Dubois-OMeara, and Pauline Garcia-Viardot in terms familiar fiom the

late eighteenth century; &at is, the lef3 hand @ass line) kept a strict metrical pulse while the

rïght hand (melody) was dkee to deviate fiom it-= Nevertheless, Eigeldinger's accounts

'Tigeldinger, Esquisses. 12. Jim Samson, Chopin (Ddord: Oxford University Press, 1 W6), 14.

2'Methuen-Campbell, C h p i n PZaying. 30. Tigeldinger, Chopin: P ianist and Teacher, 32. Clementi's Introduction (first ed., 1 80 1 ) was not the first keyboard tutor to speciS that a finger legato touch should be assumed when no articulation markïngs were specified; nevertheless, Clementi's treatise is often credited with the adoption of the expressive legato style on the keyboard (see Rosenblum, ed., preface to Clementi r~roduction, 27). At least one earlier harpsichord treatise, that of Pasquali (c. 1750), recomends legato as the default touch. Z'Ibid-, 49-50; Methuen-Campbell, Chopin Playing. 3 1,36.

suggest that Mathias and M i i i would have also used the t m rubato to mean the

quickening and slowing of tempo withui a phrase?

Contemporaneous descriptions of Chopin's d a t o and arbculatioa suggest an

affinity with practices of the late eighteenth and early nineteenth centuries. However,

unlike earlier treatises such as Türkls KZuvier~chuZe.~ Chopin's sketches do not explicitly

discuss other ideas common in the eighteenth century, such as artïcdation or emphasis.

This should not necessarily be interpreted to mean that such concepts were absent fiom his

teaching. On the contrary, Chopin often reiterated p ~ c i p l e s of accent, emphasis and the

articulation of phrases and periods to his students. Jan Kleczynski, a Polish piankt who

studied in Paris with Chopin's students Mme Dubois, George Mathias, and Marcelina

Czart~ryska,~~ relays the practical instructions that Chopin imparted to his pupils:

A long note is stronger, as is also a hi& note- A dissonant one is likewise stronger, and equally so a syncopated note. The ending of a phrase, before a comma, o r a stop, is dways weak If the meIody ascends, one pIays crescendo, if it descends, decrescendo. Moreover, notice rnust be taken of natural accents. For instance, in a bar of two, the first note is strong the second w e in a bar of three the first strong and the other two w& To the smaiier parts of the bar the same direction wili apply. Such then are the d e s : the exceptions are always indicated by the authors themsel~es .~

Although Chopin does not refer to them as such, he is clearly invoking concepts of accent

found in rhetorically-based treatises of the Classic era: grammatical accent (correlating to

metrically stressed and unstressed notes); oratorical accent (referring to important notes in a

melody, including the highest ones); and pathetic accent (refemng to dissonant or

24Eigeldïnger, Chopin: Pionist and Teacher, 49-50. Chopin's use and understanding of rub&o will be more fully discussed in Chapter 5. tSDaniel Gottlob Türk, KZmierschuZe (Leipzig, 1789); t ram by Raymond Hagghe as SchooZ o f c h i e r PZqing. or Instructions in playing the clavier for teachers and audents (Lincoln: University of Nebraska Press, 19 82), 324-336.

26Eigeldinger, Esquisses, 109. 27Eigeldinger, Chopin: Pian ist and Teacher, 42.

expressive notes)? Similar concepts are found in treatises on singing that date fiom the

early to mid-nineteenth century, such as those by Domenico Corri and Manuel Garciam

Reports by Chopin's students and their students are filled with cornparisons made by

Chopin between music and language. Car1 Mikuli, for example, relates that Chopin was

adamant that students learn intelligible phrasing which communicated rhetorical ~Iarïty-~O

Kleczynski elaborates on the "theory of style" passed on to him by Chopin's students:

AU the theory of the style which Chopin taught to his pupils rested on this d o g y between music and language, on the necessïty for separating the various phrases, on the necessiq for pointing and for mo-g the power of the voice and its rapidity of articuiation--In a musical phrase composed of sornething üke eight masures, the end of the eighth wïü generally mark the termination of the thought, that which, in language written or spoken, we shouId indicate by a W-point [Le. a period]; here we shodd make a slight pause and lower the voice. The secondary divisions of thîs phrase of eight measwes, ocurrïng after each two or each four rneasures, require shorter pauses-that is to say, they require commas or sd-colons. These pauses are of great importance; without them music becornes a succession of sounds without connection, an incomprehensible chaos, as spoken language wouid be if no regard were paid to punctuation and the inflection of the ~oice.~ '

Eigeldinger maintains that Chopin's numerous cornparisons between musical execution and

the art of oration anchor him to the great "rhetorical tradition" which dominated northem

Gennany in the eighteenth century. He suggests that Chopin may have k e n f d a r with

Türk's Klavierschule (Leipzig, 1789) and its principles of rhetorical punctuation through

Joseph Elsner?* The rhetorical tradition, of course, was also known outside of Germany,

for example, in Vienna and Paris.

18Leonard Ratner, Classic Music: fipression Form and Style (New York: Schirrner Books, 1980), 19 1. The eighteenth-century theorists cited by Ratner include Rousseau, HilLer, Koch and Christrnann. 2Qornenico Corn, The Singer's Precepror (London: Chappell, 1810),2; Manuel Garcia, Traité complet de ['art du chant. Part II (Paris, 184 l), English trans. by Donald Paschke as A Complete Treutise on the Art of Singing, Part One (New York: Da Capo Press, l984), 18-19. ''Car1 Mi kuli; cited in Eigeldinger, Chopin: Pianist and Teacher. 42. 3'Jan Kleczynski; cited in Eigeldinger, Chopin: Pianist and Teacher. 42-43. 3%igeldinger, Esquisses. 1 14; Niecks, Chopin as a Man and Musician, 3 5.

A more informa1 influence on Chopin's musical development, but not a less

important one, was his contact with and admiration for singers trained in the Italian style-

While living in Warsaw and later in Paris, Chopin had the opportunity to hear the greatest

singers of his day, such as Mme Pasta and Mme Maliiran- Chopin's students Wilhelm von

Lenz and Emilie von Gretsch are among those who report that the vocal approach was

paramount in his teaching. Lenz, who studied with both Chopin and Liszt, states that

Chopin's advice with regard to style was to "...follow that of Pasta, of the great ltalian

school of ~inging."~~ Gretsch states: "His playing is entirely based on the vocal style of

Rubini, Malibran and Grisi, etc.; he says so himself? A substantial body of literature has

attempted to document the influence of vocal style on Chopin's piano and scholars

such as Eigeldinger detail the extent to which Chopin had absorbed the expressive style of

singing and modified it for the piano.3G Eigeldinger suggests that it is Chopin's affinity with

the "Curztable [sic] Art" advocated in German îreatises of the latter eighteenth centwy that

sets hirn apart from conternporaries such as Thaiberg, who unsuccessfully attempted to

revive the vocal tradition in keyboard playing in the Romantic em3' Chopin's close

connection to earlier traditions of keyboard playing and his presupposition of practices

based on those traditions will become more evident in subsequent chapters.

')Eigel dinger, Chopin: Piunisr and Teacher, 45. %id., 44. 35See Ludwig Bronarski, Chopin en I'itahe (Lausanne: La Concorde, 1947); Wiaroslaw Sandelewski, "Les elements du 'bel canto' italien dans l'oeuvre de Chopin," in The Book of the First lnternafionai Miirsicul Congress devoted to the Works of Frederick Chopin (Warsaw: PWN, 1963), 230-235; idem., "Influssi rossuiiani nell'opera di Chopin," in BoZZetino del Centro Rossiniano degli Studi V/3-4 (1959), 45-49; cited in Eigeldinger, Chopin: Pianisr and Teacher, 1 1 1. 36Eigeldinger, Chopin: Piunisr and Teocher, 1 13- 1 15. 371bid-, 11 1-1 12.

simply wi-shed to avoid producing yet aother written document, like those of Hummel and

chose to focus on simple, practicd s~ggestÏons based on "whatever goes straight to the point

~t's fike lea-g..to walk on ofle's hands in order to go for a strok Eventualiy one is no Ionger abIe to wdk properly on one's feet, and not very well on one's hands either."

the early nineteenth century tutors (particda.dy those published in England) would often

with fingering, and so on- Although Chopin's "F'rojet" begins in this fahion, the originality

of its approach is evident imniediately- The est item in the tutor consists of a B-major

scale fingered for the right han& with the capîion: "...the elbow level with the white keys,

the hand pointing neither in nor out'"' Chopin notes that, since intonation on the piano is

the task of the tuner rather than the player, there is no need for the student to begùi with the

scale of C rnaj0r.4~ He states that the optimal hand position is that whïch places the long

fingers on the black keys and that the easiest and the most cornfortable is that of B major."

This brief discussion, dong with the positioning of the B major scale as the frrst item in the

method, is the only reference Chopin makes in these autograph sketches to specific scales.

Contemporarîes such as Fétis, on the other hanci, devote entire chapters to scales and their

fingerings. Interestingly, the coda of the finale of Chopin's Op. 58 sonata features rapid

passage-work and arpeggïation in B major, which lies beautifully under the hands.

Like the format of other early nineteenth-century piano Mors by Hummel el al,

Chopin's sketches contain repeated attempts to explain the derivation of the musical staff

and the placement of notes on lines or in ~paces.''~ Four attempts to introduce the concept of

relative pitch and its notation are found at the begïnnïng of the autograph copy, the clearest

explanation being the fiflh and one."6 Chopin's sketches reveal a struggle to convey the

'qigeldinger, Chopin: Pianist and Teacher, 1 93. The original text is given in Eigeldinger, Esquisses (p. 66) as "...le coude au niveau des touches blanches, la main ni dedans ni dehors." "Chopin, "Projet de Méthode"; cited in Eigeldinger, Chopin: Pianist and Teacher, 1 94. Chopin makes severa! references in these sketches to intonation as k i n g the tuner's task, although he does not explicitly express a preference for a particular type of temperament. =Eigeldinger, Chopin: Pianist and Teacher, 194. 45Similanties between Choput's table of relative durational values of notes and that of Hummel are noted in Eigeldinger, Esquisses, 50-53. "The order in which the pages were found by Cortot when he purchased the autograph manuscript in 1936 is assumed.

conceptual ba i s of pitch, not simply to present line-space d e s for reading notation fiom

the musical - Firsf he introduces the concepts of a ladder and the relative pitch of two

notes (lower or higher, deeper or shriller)." In the second version, he relates the note in the

rniddle of the grand stafT(that is, middie C) to the human voice as "the sound which d l

voices are able to sing and al1 instruments modelled on the voice are able to play, being

consequently in a region of sounds neither too high nor too IOW."~* In subsequent versions,

Chopin also attempts to explain pitch in terms of the human voice- The fourth version

reads: "... we have placed in the middle of the Iadder the note that a man, a woman, a child

can sing and that al1 string and wind instruments c m play as the rniddle of ..1149 Here the text

breaks off. Nowhere in these first four versions does Chopin relate middle C to the

keyboard, perhaps because he does not see C major as ttie p r i m q scale. Only in the final

attempt to explain pitch derivation does Chopin Iabel this central pitch as C (or ut or do), a

pitch located "almost in the middle of the keyboad, on a white key, before two black

keys."" It seems to have required considerable effort for Chopin to descnbe the range and

physical location of middle C in terms of keyboard geography rather than in relation to the

vocal fiame of reference which, like the key of B major, was more natural to him.

The next section of Chopin's sketches deals with what he cdls the "mechanics" of

playing the piano. He begins by stressing that the keyboard is extremely well-designed and

adapted to the shape of the hand, and that the piayer should endeavour to work with the

layout of the k e y b o d He then divides the study of piano "rnechanism" (Le., technique)

"Eigeldinger, Esquisses, 44. "Chaque son relativement à un autre est bas ou haut, grave ou aigu. l1

"qigeldinger, Chopin: Pianisi and Teacher. 19 1 - jglbid. 'Olbid, 196,

into three parts: the study of adjacent notes, which includes scales (both chromatic and

diatonic) and trills; the study of disjunct notes, which includes the octave divided into

minor thirds (Le. diminished seventh chords) and the cornmon chord with its inversions; and

the study of double notes, which comprises hannonic thirds, sixths, and octaves. Following

these succinct categonzations of piano technique, Chopin asserts that "there is nothing

more to be invented as far as mechanism [technique] of piano playing is

Chopin's simpbcity and brevïty in expounding the bases for piano technique stand in sharp

contrat to the detailed chapters in other treatises, such as b t of Fétis-Moscheles, which

present page after page of rules of fingering for double thirds and sixths and scales, as well

as advice fiom various pianists on fingering and touch in playing octaves.

As described above, Chopin's "Projet" begins with a condensed version of the

introductory material typicdly found in early nineteenth-century piano treatises: brief

references to the position of the hand and to the first scale (albeit B major rather than C

major), the musical bais For pitch notation, and the essential elements of piano technique.

The next section, however, begins with what appears to be a non sequitur: "We know lines,

piano keys, signs and tones; we have some idea of hammers and darnper~."~ Apparently,

the intervening details of the rudiments of notation, a listing of major and minor scales, and

a description of piano action were either never written or else became separated fiorn the

rest of the sketches. The next portion of the existing sketches briefly addresses playing

position: the player should be seated at the keyboard so as to be able to reach both ends

5LEigeldinger, Chopin: Piunisl und Teucher, 192-193. %id.. 193.

easily. Here, Chopin rerninds students that the optimal position of the hand is formed by

Iettïng the long k g e r s rest on the black keys."

The idea that the shape of the hand should be formed by the thurnb resting on a

white key and the longer fingers on black keys had been noted by earlier writers such as

Clementi, Kdkbrenner, and Fétis. Clementi, in the eleventh edition of his Introduction

(182 1-22), advocates "accomodating uiem [the fingers] to the exigencies of the black and

white k e y ~ . " ~ SUnilarly, Kakbremer states that the best kgering is that which places the

shortest finger on the most elevated note [Le- black key] and the thumb on the lowest note

[i-e-white key].Sï Fétis goes into considerably more detail than Chopin about the ideal

position of the hand: it should be rounded, with the fleshy part of the fingers contacting the

key, with the fingers neither rigidly curved nor flat? Furthemore, Fétis notes that

Kalkbrenner had invented a mechanical devîce which, by keeping the wrists from sagging,

assisted in the formation of a correct hand position. An additional advantage of uiis device,

descnied as a wooden bar on which the forearm would rest, is that it helps the fmgers

acquire independence and agility? Fétis continues his methodical and systematic treatment

of the subject of hand position by citing Hummel's view that the little finger should be

curved so as to f o m a Line with the thumb parallel to the keyboardS8 With regard to the

player's sitting position, Fétis reports in a footnote that most great artists of the day, except

for Liszt, seat themselves at the centre of the piano; unfortunately, Fétis does not elaborate

53Eigeldinger, Chopin: Pianist and Teacher, 193- 194. sRosenblum, ed., preface to Clementi, introduction, W.

55Kalkbrenner, cited in Fétis-MoscheIes, Méthode des méthodes, 22. ï6Fétis-MoscheIes, 2. S71bid., 6-7. Fetis also describes similar mechanical devices such as Logier's chiroplast and Henri Herz's dactylion, but adrnits that the latter is an obstacle rather an aid Tbid- According to Fétis, Mozart and Woeffl were also in agreement with Hummel on this matter.

or tell the reader exactly where Liszt sat in relation to the keyb~ard.'~ Fétis's exhaustive

discussion of sitting and playing position Mpresses the reader by its scientific and histoncal

perspective, whereas Chopin's brief lines have a decidedly practical orientation.

Many piano treatises fiom the first halfof the nineteenth cenhuy, ïncluding those of

Kalkbremer and Fétis, place a high priority on the îndependence, strength, and agdity ofthe

fingers. The training of the fingers could only be attained through long and arduous practice

(preferably of the exercises contained in the author's treatise). The use of the fingers to

attain control of subtle nuances of dynamics and touch was, of course, an accepted prïnciple

in fortepiano playing of the late eighteenth- and early nineteenth centuries, and Clementi

echoes the pnority placed on finger technique in his treatise of 1801 when he states: "Al1

unnecessq motion [of the haad and am] must be av~ ided . "~ By 1840, Clementi's single

sentence had been expanded in the Fétis-Moscheles Méthode des méthodes into an entire

chapter dealing with the manner of stnking the keys.

According to Fétis, the fingers should be independent of any aid from or movernent

in the k s t . AI1 possible varieties of touch should be available by using only the fingers:

for example, stretching and lifting the fingers will produce great intensity of sound, whereas

keeping the fingers close to the keys will elicit lightness- The reader is advised, however,

that the ability to achieve a wide range of touches fkom the fingers takes much work and

results only from long practicea61 Fétis reiterates that dl five hgers must be equal in

aptitude, suppleness, and force and must be perfectly independent of each other. He refers

to Clementi and Dussek, who apparently believed that the best means for achieving fkger

'9Fétis-Moscheles, 6-7. 60Rosenblum, ed, Clementi, Inmducrion. 2 5. 61Fétis-Moscheles, 8.

independence and strength was the practice of long tdls or "cadences" with three kgers

resting on the keys while the other two fmgers alternate." Fétis once again cites

Kakbremer, who suggests a drill for finger independence which consists of an individual

k g e r playing repeated notes while the other four fingers rest on the keys." Fétis agrees

with Kdkbrenner that it is imperative to have control of the fhgers before attempîing to

pass the thumb under the hand or to master the difficulties of fingering posed by scales-" in

order to emphasize that mastery of the fingers is the foundation on which al1 other aspects

of piano technique are built, Fétis invokes the authority of previous generations of pianists

such as I-furnmel, Dussek, Eberhard Müller, and Louis ~darn.6'

In contrast to the Fétis-Moscheles Méthode and the previous writers cited therein,

Chopin's "Projet de Méthode" questions the a priori notion that the equality of sound

produced by independent fingers is the most desirable goal of pianistic tone production:

No one will notice the inequality of sound in a very fast scale, as long as the notes are played in equal t i rnethe goal isn't to l e m to play everything with an equal sound A well-formed technique, it seems to me, is one that can control and Vary a beaulifirl sound q ~ a l i t y - ~

Chopin criticizes those who place undue emphasis on finger strength and independence:

For a long tirne we have been acting against nature by training our fingers to be dl equally powerfùl. A s each fuiger is differentIy forme& it's better not to attempt to destroy the particular charm of each one's touch but on the contrary to develop it-67

He goes on to describe the idiosyncracies of each finger, and ends by quoting Hummel: "As

many sounds as there are fingers-everything is a matter of howing good fingering."68

G2Fétis-Moscheles, 9. 631bid. %id., 13- "Ibid,, 13, 17. 66Eigeldinger, Chopin: Pianist and Teacher, 195. 671bid. '%id-

For his part, Fétis also regards proper fingering as critical, but he seeks to reduce the

d e s offingering put forth by Dussek and Hummel to "rational and universal" principles."

To Fétis, the ovemding principle of fingering is symmetry- Anything that disturbs

symmetrïcal fingering, such as the passing of the thumb or the turning of the hand or elbow,

must be avoided whenever possible?0 Fétis claims that practice of the exercises in his

treatises is the ody way to acquire a certain and facile technique, since the goal of these

exercises is to isolate the action of the hgers fiom the motion of the a m and shoulder.''

In contrast to Fétis' emphasis on the fingers as the preferred means for producing

sound on the piano, Chopin advocates involving the whole a m in tone production:

Jus as we need to use [work witf-~] the conformatr-on of the fingers, we need no less to use the rest of the hand, the wrist, the foreann and the arm. One c m o t try to play everything corn the wrist, as Kaikbrenner c l a i m ~ . ~

The copy of Chopin's sketches made by his sister Ludwika contains the statement that "the

action of the wrist is analogous to taking a breath in singing,"" and accounts by his student

Emilie von Gretsch CO& that suppleness of the wrist is a key element not only in

Chopin's technique but in articulation as well. Gretsch reports:

True to his principle of irnitating great singers in one's playing, Chopin drew 5orn the instrument the secret of how to express breathing. At every point where a singer wouid take a brea* the accomplished pianist--.should take care to raise the wrist so as to let it faii again on the singing note with the greatest suppleness irnagini~ble.'~

In this regard, Eigeldinger notes that markings consining of diagonal pencil strokes are

found in the annotated scores of Chopin's student Camille Dubois-O'Meara and that these

markings seem to imply the wrist movement desnied by Gretsch. The pencil strokes

69Fétis-Moscheies, 22-23. 701bid., 19, 307 31,45. "lbid, 20- '%igeldinger, Chopin: Pianist and Teacher, 195. 731bid., 113.

indicate breaks in the line-sometimes involving a lifting of the hand to set off a new idea,

sometimes corresponding to a iengthened note or resf and o h fitnctioning as breath marks

in vocal music which would create a pause before an important note in the melodic Line.75

Breathhg for articulative purposes is descn%ed in the vocal treatises of Domenico

Com, Gesualdo Lanza, and Manuel Garcia, and was indicated by special symbols in Com

and LanzaT6 The first part of Garcia's treatise was published in Paris in 1 84 1, the same

year that Chopin fïrst met Garcia's sister Pauline Garcia-Viardot through George Sand."

Chopin may have been acquainted with Garcia's treatise (or others like it) which not o d y

emphasized the importance of breathing and punctuation in expressive singing, but also

provided concrete examples of situations in which breath should be taken- Even if he had

never read Garcia's farnous treatise (which was recommended to Pansian pianists by Felix

Godefroid in 186 l"), Chopin must have been aware of the practical applications of its

principles through his contact with Mme Viardot and other Mian-trained singes.

The diagonal p e n d Lines in the annotated scores of Mme Dubois, together with

ErniIie von Gretsch's cornments about the role of the wrist, reinforce the idea that Chopin

equated the action of the wrist with the articulative h c t i o n s of breathing in singing.

Nevertheless, it must be recognized that the use of the wrist and arm was not totally absent

from piano technique before Chopin. Fétis notes that Kalkbremer encourages the use of the

"Eigeldinger, Chopin: Pianisr und Teocher, 1 12. 76Domenico Com, A Select Colleclion of the Mosr Admired Songs, Duerrs, erc. (Edinborough, 1 78 1 ), 6; Gesualdo Lanza, EIements of Singzng &ondon, 1 8 1 3). Corri specifically States (p. 6) that the mark signifjnng a full breath is used in instrumental as well as vocal music, suggesting that the concept of breathing for articulative purposes was not limited to the voice in the early nineteenth century. 77Carolyn Shuster, "Six mazurkas de Frederic Chopin transcrites pour chant et piano par Pauline Viardot," in Revue de mtrsicologie 7512 (I989), 266. 7 % l i ~ Godefroid, École chantante du piano (Paris: Heugel, 186 1 ), W.

wrist in double thirds (as opposed to others, such as Hummel, who prefer a quiet hand) and

that Clementi and Dussek had allowed foream action in double thirds, although the latter

writers do not mention the ~ r i s t . 7 ~ However, when the strict limitations on the use of the

wrïst as prescnbed in the Méthode de méthodes are compared to Chopin's concept of a

supple wrist for tone production and for articulative purposes, it become clearer just how

radical Chopin's ideas about a fiee wrist and arm must have appeared to Fétis.

One of the reasons for the markings in Mme Dubois' scores (which probably suggest

movements of the wrïst analogous to breathing) may have been to assist her in breaking

fiee fiom oid habits she had acquùed during the four years she studied with Kalkrenner

before switching to Chopin in 1843." The attention devoted in the Méthode de méthodes to

finger strength and independence indicates that pianists such as Mme Dubois would

probably not have been taught to use a flexible wis t in clarifjnng the rhetoric of a piece of

music. Although Chopin's technicat means codd be considered novel in relation to

principles evident in the Méthode de méthodes, the aesthetic premises underlying Chopin's

"Projet de Méthode" appear to have been rooted, to a great extent, in the Iate eighteenth

centwy, namely, the imitation of the human voice and the prïnciples of.elocution.

Even if Chopin were familiar with the layout and content of the Méthode de

méthodes, Fétis-Moscheles do not appear to have been acquainted with Chopin's teaching.

Excerpts of compositions by Chopin are included as musical examples in the

Fétis-Moscheles treatise, but usually as examples of passages wfuch are considered difficult

and require much practice. The implication is that Chopin's music is not parîicularly

well-suited to proper principles of piano technique, as these are expounded in Fétis' treatise.

7~etis-Moscheles, 2 8. "Eigeldinger, Chopin: Pimisr and Teacher, 164.

In one instance, a finger-crossing involving the third h g e r passing over the fourth in a

Chopin étude is criticized as not being symmetri~al.~~ Fetis d so cites a passage from

another Chopin étude that involves a wide stretch (of a fifth) between the fourth and fifth

fingers as a place which might entice the player to tum the hand-a ternptation that must be

resisted" In another case, Fétis presents an arpeggiated passage fiom Chopin's second

concerto and points out that such passages discourage symrnetical fingerïng."

The adherence to niles of symmetrical fingering in the Fétis-Moscheles Méthode des

méthodes and the avoidance of any unnecessary motion that rnight disturb symmetry

dernonstrate a relatively conservative technical conception for the mid-nineteenth century.

Chopin's sketches for a piano method present notions that might have been viewed by the

Parisian establishent (including Kalkbrenner and Fétis) as highIy unorthodox, such as the

idea that the action of the wrist in piano playing is equivalent to the function of breathing in

singing. Nevertheless, the principles which governed breathing in vocal treatises of the late

eighteenth- and nineteenth centuries are not at al1 unorthodox and were c e r t d y well

established by Chopin's time (as Garcia's treatise shows). The impact that considerations of

"breathing" might have had on the performance of Chopin's piano sonatas will become more

apparent in subsequent chapters which discuss slurs and pedal markings, especially those

found in the first French editions of Opp. 35 and 58.

The relationship between Chopin's unfinished piano method and the performance

practices that might have been associated with his sonatas is, therefore, broadly conceptual.

81Fetis-Moscheles, 5 1. %id., 65. Fétis is either unaware of or resistant to Chopin's own idea of how to facilitate such a passage: that is, to use the index finger as a pivot in conjunction with a flexible wnst. S3Fétis-Moscheles, 68.

Although Chopin's unfinished piano method does not set out detailed d e s for

ornamentation, pedalling, or other aspects of piano playing the vocal mode1 clearly

pervades its language and provides the point of deparime for two of its basic tenets: that

even the most fundamental keyboard concepts, such as pitch, are regarded in ternis of the

human voice, and that the technical actions of the pianist @articularly with regard to the

w-rist) must reproduce the freedorn and articulative power of good vocal declamation.

Although Chopin's sketches for a piano method were never published, a treatise that

appeared in Paris eleven years after his death elucidates, in considerable detail, the transfer

of principles derived fiom Italianate singing to piano playing. Felix Godefioid's École

chantante du piano (Paris, 1 86 1 ) freely acknowledges Manuel Garcia's writings," and

Godefioid descnbes every aspect of pianistic technique in terrns of its relationship to

singing and oration. While the Fétis-Moscheles method provides much usefil information

on the state of pianism in Paris at the tirne that Chopin's first sonata was published (and the

time that Chopin may have begun to sketch out his own method), Godefroid's method

testifies to the pervasiveness of vocal practices in the pianistic world twenw years later.

Against this contextual backdrop of keyboard playhg in Paris, we now turn to an

examination of specific issues of performance practice in Chopin's sonatas, beginning with

the realization of trills.

CEAPTER 2: ORNAMENTATION - IXULLS

Many of the trills in Chopin's Op. 35 and Op. 58 sonatas appear in either a

passing or a cadential context. Some of these mis are prefaced by small notes on the

same pitch as the main note, suggeshg that the trius wodd begin on the main note;

othea appear to be prepared from below by means of nnall notes. Nevertheless, the

preface to the Schinner edition of Chopin's sonatas, which reproduces the cornmentary of

Chopin's student Carl Mikuli, asserts that Chopin generally began trills on the upper

auxiliary note.' The Schirmer edition is based largely on Mikuli's previous edition of the

complete works of Chopin (Leipzig: Kistner, 1880); and the testimony of Mikuli

appears to have influenced many subsequent editions of Chopin's music in addition to

that of Schir~ner.~ The "fact" that t d l s in Chopin's music invariably begin on the upper

auxiliary unless otherwise indicated has pervaded even relatively recent scholarly

writing including dissertations by Thomas Higgins and Jeanne Holland?

An opposing view was taken by John Petrie Dun& who challenged the

conventional wisdom of beginning trills in Chopin's music from the upper auxiliary. In

Carl Mikuli, ed-, "Frederic Francois C h o p i ~ " preface to Sonatas (New York: Schirmer, 1895). The original Geman preface of Mikuli's edition reads "...Triller, die er meist mit der oberen Hilfsnote anfangen liess ..." [".. .trills, which he most ofien began with the upper awciliary.. ."] .

Maurice Brown, Chopin: An Index ofHis Workr in Chronological Order (London: MacMillan & Co., 1960), 186.

Jean-Jacques Eigeldinger, Chopin: Pianist and Teacher, 5 8-59. Eigeldinger om its the word "upper" fkom his quotation of Mikuli: "Trills, which he mostly began with the auxilisuy note ..." [compare with note 1 above]. " Jeanne Holland, "Chopin's Teaching and His Students," Ph-D. diss. (University of North Carolina, Chapei Hill, 1972), 283; Thomas Higgins, "Chopin Interpretation: A Study of Performance Directions in Selected Autographs and Other Sources," Ph.D. diss. (University of Iowa, l966), 107.

his survey of omamentation in Chopin, based solely on "interna1 evidence," D m (192 1)

conchded that trills in Chopin begin on the p ~ c i p a l note unless otherwise indicatedï

D m ' s influence is apparent in the critical commentary to the Paderewski edition of

Chopin's sonatas (1950), which echoes his assertion that, if no "appoggiatura" p-e., grace

note] precedes a trill, "the tri11 should always begin on the principal note" as if it were

written with a preparatory grace note on the same pitch as the main note. NevertheIess,

the Paderewski edition notes that, according to Diuin, trills not preceded by an

"appoggiatura" rnay "sometimes begin on the upper note where this does not disturb the

rnelodic line. "6

This chapter will examine the historical evidence related to keyboard trills in the

penod c. 1760-1 840 in order to detemine how bills in Chopin's sonatas might have

been performed The pianoforte methods of Hummel, Czerny, and Kalkbrenner, and

Charles Chaulieu's wrïtings in the journal Le pianiste are most closely aligned

chronologically with Chopin, while tum-of-the-century pianoforte methods such as those

of Clementi, Adam, and Dussek-Pleyel reflect slightly earlier practices with which

Chopin may have been farniliar. Many of the trills, as well as other ornaments, in Opp.

35 and 58 occur in Iyrical contexts that are nocturne-like in character and project an

"aria" topos (e-g., the sustenuto theme of Op. 58/ I and the "Largo - cantabile" theme of

Op. 58/tiI). The premise that the Italian vocal style of the 1820s and 1830s (which also

reflected earlier practices) played a significant role in shaping Chopin's aura1 imagery

might have implications for performance practices of works which reflect this style, and

' John Petrie Dunn, Ornumentation in the Worh of Frederic Chopin (London: Novello, 192 1 ), 23; cited in Higgins, "Chopin Interpretation," 104- 106. 1. Paderewski, L. Bronarski, and J. Turczynski, ed., Sonutas (Warsaw: The Fryderyk

Chopin Institute, 1950), 1 16.

an examination of treatises on singing would appear reievant to the issue of the

performance of trills in conte* that sirnulate a vocal idiom. Of course, information

gleaned from both keyboard and vocal treatises must be considered im the context of the

music itself: and an analysis of the selected primary sources will contnbute to a historicd

perspective on the performance practices associated with Chopin's triXs.

Histoncal Context: The Treatises

By c. 1830, keyboard trills beginning on the principal note appear to have been

fairly standard practice. Ln the English version of his treatise, Hummel (1 829) States that

"in general, every shake [the EngIish terni for trill] should begin with the note itself, over

which it stands, and not with the subsidiary note above, unless the contrary be expressly

indicated"' This applies to both perfect and imperfect shakes. (The perfect shake ends

with the lower auxiliary foliowed by the principal note, hereinafier referred to as "turning

notes," whereas the imperfect s h a h simply ends on the principal note after altemating

with the upper auxiliary8) In a sirnilar vein, Czemy (c. 1879) gives the principal note as

the starting note for the shake, which then altemates with the note above. Turning notes

are implied at the end of a shake, except in a descending chah of t r i l l ~ . ~ Hummel and

Czerny acknowledge that the shake may be prepared from below if the composer has

indicated this by means of a small note preceding the shake.IO

' Johann Nepomuk Hummel, A Complete Theoretical and Practical Course of Inshuction in the Art of PZqing the Piunoforte, Part III (London, 1829), 3.

Ibid. Car1 Czerny, Complefe Theorerical and Pracrical Piano Forte School, Vol. II (London:

Cocks & Co., 1830; repint, c. 1839), 163, 171. LOHummel, 3; Czerny, 172.

A French perspective contemporaneous with that of Czerny is provided by

Charles Chaulieu (1 834), one of the editors of the short-lived Parisian penodicd L e

piuniste. Chadieu defines trills as consisting of alternations Patfernenîs] between a

harmonic note and an auxiliary note, and he States that the harrnonic note (Le., the main

note) should always begùi and end the trill.L' Less than a decade earlier in England, J.B.

Cramer (1 825) irnplies that the upper-note beginning is the n o m when he specifies a

type of shake that may begùi on the principal note.12 Czerny also defines the "transient

shake" in this ~ a y . ' ~ Both Cramer and Czemy are referring to short shakes.

Although earlier keyboard treatises mention the short trill begïnning on the

principal note, this type of tri11 is cteariy regarded as an exception to the prevailing

practice of beginning trills on the upper note. Marpurg (1 756) observes that the

"imperfect trill" results when, afier a tied note at the end of a "simple" trill, the

aiternation begins on the main note "contrary to the d e s for tnllsft and is shortened to

only three notes.'" C-P.E. Bach f 1762) also mentions the shortened three-note tri11

beginniog on the main note, calling it the "Pralltrïller-"'5

Clementi's treatise (1801) descnïes three types of shakes that deviate h m the

reguIar upper-note beginning. The "short shake beginning by the note itself' consists of

' 'Charles Chaulieu, "Des Abréviations," Le pianiste. Vol. VI (April 1 834)- 86-87. I2Johann Baptiste Cramer, Imhuctionsfor the Piano Forte, 3rd ed. (London, c. 1825)- 34. "Czerny, 163. Czerny notes that, although the transient shake begins on the beat, the "accent falls on the third or written note." '"Friedrich WiIhelm Marpurg, Anleitung zum CZuvierspielen (Berlin, 1755); English translation by Elizabeth Loretta Hays, Ph.D. diss. (Stanford University, 1 977), IX-6 8. 15Carl Philipp Emmanuel Bach, Versuch aber die wahre Art dus CZmier zu spielen (first ed., Berlin, 1762); English translation by William Mitchell as Essuy on the True Art of Play ing Keyboard Instruments (New York: W . W. Norton, 1 949), 1 1 0; cited in Marpurg/Hayes, IX-70-71. Marpurg observes that such a figure resembles an inverted mordent, but niust never be called a mordent.

the principal note and the note above played quickly before retuming to the principal

note. The "prepared shake" is slightly longer and begins fiom beiow (as indicated by the

small notes preceding it), then altemates between the upper auxiliary and the principal.

Finally, "the shake legato with the preceding note" begins on the p ~ c i p a l note of a

trilled passing note? Clementi acknowledges the importance of the player's discretion

when he States that "composers trust chiefly to the taste and judgment of the performer,

whether it [the shake] s h d be long, short, transient, or t ~ r n e d " ' ~

The Dussek-Pleyel treatise does not discuss exceptions to the practice of

begiming trills from the upper aiixiliary.'s However, another method published in

France at the beginning of the nineteenth century, that of Louis Adam, shows a long tri11

beginning from the main note.I9 Ln addition to trills beginning fiom the upper auxiliary,

Adam includes a type of cadential tri11 (which he refers to as le trilie) that commences

with the principal note and altemates with the upper note. This main-note tri11 follows a

fermata, starting slowly and then accelerating. No turning notes are gi~en.~O Cadential

trills similar to Adam's le trille that begin and end on the main note and accelerate during

the course of the tri11 are identified in Iate eighteenth-century treatises on singing, many

"Sandra Rosenbhrn, ed.; Muzïo Clementi, Introduction to the Art ofPlaying the Piano Forte (London, 1 80 1 ); facsimile repr. (New York: Da Capo Press, 1 974), 1 1. "Ibid. "Jan Ladislav Dusse k and Ignaz Pleyel, Méthode pour le pianoforte (Pans: Pleyel, 1799), facsimiie reprint (Florence: Studio per Edizioni Scelte, 1992), 7. Dussek-Pleyel uses the "tr" symbol, as well as the "mordent" sign (Le., a horizontal waved line), to represent upper-note "cadences." However, the authors apply the term "le tri11 [sic]" to a group of rapid small notes added to the principal note, and their musical examples dernonstrate that this broad category can include turns as well as decorative ornamental notes placed either on the beat or after it, 'Touis Adam, Mérhode de piano forte du conservaloire @tris, 1 80 1 and 1 804); facsimile repr. (Geneva: Minkoff, 1974), 1 57. 201bid., 172-

of which were published in France. Although long trilIs beginning from the main note,

as well as fiom the upper and lower awuliaries, are found in the Mgthode de violon of

Baillot, Rode, and Kreutzer (1803), al1 of the û-ills shown feature turned ending~.~' The

long, untunied cadential trill in Adam's keyboard method that begins on the main note

may have been closely modelled on French vocai practice of the late eighteenth century

rather than on instrumental practicea

A treatise on singing by Jean-Baptise Bérard (1755) identifies îhe cadence double

("double trill") which begins with a pause on the main note, followed by repercussions

that are at first "a Little heavy and dottedWp Bérard does not mention turning notes at the

conclusion of the double trill. A later treatise, that of Raparlier (1 772), descnies a

slightiy different version of the cadence double. found in tender airs and sometimes in

amiettes. According to Raparlier, this type of tri11 is prepared fiom the note below and

then altemates the main note with the upper note. Its beginning and conclusion are

embellished by other o rnarnen t~~~ Bérard's cadence double appears very sùnilar to

Adam's le trilCe, and his cudeptce double. as well as that of Raparlier, begins fiom a note

other than the upper auxiliary. Bérard also describes another type of tri11 that begins on

the main note: the cadence m o k ("soft trill"). The repercussions of the soft tri11 are

"beaten inwardly very slowly and softly, in such a way that the sound even appears to

corne slightly fiom the chest", and the voice dies away gradually at the end.

2L.Méthode du violon (l3welles: Weissenbruch, 1803), 139- The text accompanying half-note trills reads: "Il y a plusieurs manières de la preparer et de le terminer. Voici les plus usitées, c'est au gout qu'il appartient de les employer à propos." =Jean-Baptise Bérard, L 'nrr du chant (Paris, 1755); English translation and commentary by Sidney Murray (Milwaukee WI: Pro Musica Press, 1969), 106. 23M. Raparlier, Principes de musique: Les agréments du chant (lille, 1772); facsimile repr. (Geneva: Minkoff, 1972), 23-

Judging fiom the foregoing examples, trills be-g fiom a note other than the

upper auxiliary wodd have been associated with specific circumstances or expressive

effects in eighteenth-century French vocal practice. Nevertheiess, td l s fiom the upper

note are by no means uncornmon in the earlier part of the century. For example, Bérard

identifies the cadence par$aire ("prepared Hl"), a t d l that begins with the upper note,

which receives one-half to one-third the value of the d e n main note. Its repercussions

should be slow and equal. accelerating slightly." Like the cadence parfaite. the cadence

precipiiée ("sudden trill") is also begin 6om the upper note, although the initial note is

flung onto the main note rather than sustained-z The slightly later treatise of Lecuyer

fiequently mentions trills h m a note other than the upper aiuciliary.26 In French

practice, then, trills fiom a note other than the upper auxiliary may have initially been

related to an expressive context.

In cornparison to French treatises on singing, the Italian treatises of the late

eighteenth century generally advocate tnlIs beginning on the upper note, although not

without exceptions. Giarnbattista Mancini ( 1777) notes that the triU, when preceded by

a rnessa di voce, can constitute a caden~a,~' and such a cadenza-Iike trill wodd be heard

as beginning on the main note (Le., the sustained pitch on which the rnessa di voce

occurs before altemation begins with the upper note). In addition, Mancini specifies an

24Bérard, 106- =fiid, 26M. Lecuyer, Principes de I'arr du chant (Paris, 1799); facsimile repr. (Geneva: Minko ff, 1 W2), 1 1. Lecuyer asserts that the cadence pa$uire ("prepared trill") begins on the main note, and that the lower note rnay be a step or more below the main note. 27Giambattista Mancini, Pensieri e rifessioni pratiche sopra il ca~ofigurato (Viema, 1774 and Milan, 1777); facsimile repr. (E3ologna: Forni, L970); English translation by Edward Foreman as Practical Guide tu Figured Singing (Champaigne IL: Pro Musica Press, 1967), 48.

exceptional type of t d which does not begin fiom the upper note- The raddoppzato

("redoubled trill") is embellished by a gruppetto or other ornament, and is usefuZ at final

cadences.28

Mancini refers to the main note of a tri11 as the "true note" [nota vera], i-e., the

note which is congruent with the harmony. He States that trills should always begin on

the "fdse note" [nota falsa] and conclude on the "true The practice of trilling

fiom the upper a~uiliary or "false note" descnîed by Mancini is reasserted by Richard

Mackenzie Bacon (1824), whose treatise descn'bes 'Italian practices among singers in

England. Unlike Mancini, however, who insists on the upper note always being a whole

step above the "true note" (Le., the main note), Bacon recomends beginning the shake

"either a whole tone or a semitone above the principal note" and terminating it with an

"after-beat or except in the case of a passing shake?' Bacon acknowledges that

trills may be used at different speeds for different affè~ts.~'

The practice of ending a shake with a turn described by Bacon (except in the case

of passing shakes) echoes that outlined in Ignaz Franz Xavier KUninger's earlier ireatise

on singing and violin playing. Kiirzinger, a German writer of the mid-eighteenth century,

frequently refers to Italianate concepts and terminology, and he recommends that

cadential tnlls in particular should end with a tuni,32 Turning notes at the end of a tri11

seem fairly normative in Italian vocal practice of the mid-eighteenth to early nineteenth

28Mancini, 49-50. ''%id. 3%ichard Mackenzie Bacon, Elements of Vocal Science (London: Cossey, 1824); ed. Edward Foreman (Champaign IL: Pro Musica Press, 1966), 1 1 1-1 12. 31Bacon, 113- 321gna~ F m Xavier Küninger, Getreuer Unterricht -um Singen mit Manieren, und die Violin -ru spielen (Augsburg, l763),36.

centuries, even outside of M y , especially when the triU was begun fkom the upper

auxiliary and featured at a cadence. However, turning notes at the end of a tri11 may have

been less common in French vocal practice.

The tri11 fkom the upper a d i a r y is stiU evident in Cramer's keyboard treatise, the

third edition of which was published around the same time as Bacon's treatise on singing.

Cramer identifies the "wntinued shake" that starts fkom the upper note as one of the

primary trill types in keyboard music;13 although he allows for exceptions such as the

brïef "transient shake," which begios fiom the main note? As we have seen, earlier

exceptions to the notion of trills commencing fkom the upper note may be seen in

Clementi's Imoduction (180 1), e.g., the "shake legato with the preceding note."35 The

treatment of trills outlined in the treatises of Clementi and Cramer corresponds to the

Italianate vocal practices described by Bacon in the early nineteenth century- These

practices, which date from almost a century earlier, regard tnlls fiom a note other than

the upper auxiliary as exceptional and limited to specific circumstances.

UnIike Cramer, other writers such as Hummel, Czerny, and Chaulieu consider

trills beginning on the principal note as the rule rather than the exception Hummel's

treatise not only reflects the propensity for main-note trills around 1830, but also

provides a history of the keyboard trill. As Thomas Higgins observes, Hummel was

aware of the earlier practice of beginning tnLls on the auxiliary note.36 However,

Hummel recognized that certain modifications that required the hiIl to begin on the main

note had becorne necessary on the keyboard For example, when the note preceding the

33.Joha.nn Baptiste Cramer, Imtructions for rhe Piano Forte. third ed. (London, 18 12), 25. WIbid., 34. 3SClementi, 1 1, "Higgins, 105-106.

tri11 was the same as the upper auxiliary, the tdl was to begin on the principal note so as

not to r eqùe a lifting of the hand3'

Hummel's assertion that the practice of beginning trills Eom the upper aiuoiiary

in earlier keyboard music was derived fiom vocal practices appears well-founded. As we

have seen, tnlls beginning on the "faise note" (Le., the upper auxiliary) were the nom in

Italian vocal music of the eighteenth century, according to Mancini and Tosi, and this

practice was extended to italy and Germany. French treatises, such as those of Bérard

and Raparlier, i d e n e more exceptions to the upper-note tri11 than do their Italian

counterparts. It is important to remember that trills fiom the main note were often

associated with a specific effect in vocal practice, whereas Hummel treats main-note

trills on the keyboard as simply expedient from a technical standpoint-

By the time the first part of Manuel Garcia's treatise was published (284 l), the

long-standing Italian tradition of beginning most trills on the upper auxiliary was

changing. Garcia States that "the tri11 is always begun and ended by the principal note."38

Although in some circumstances trills fiom the upper awriliary are recommended by

Garcia for technical reasons-such as in a conjunct ascending or descending chain of

trills when there is no time for them to be "prepared" rather than flung-his very mention

of such a situation indicates that trilling fiom the upper note had become the exception

rather than the rule. In the second part of his treatise (1847), Garcia's comments show

how much customs had changed:

- - - - -

37Hummel, Part III, 3. 38ManueI Garcia II, Traité complet de I'arr du chant. Part 1 (Paris, 1841 ); English translation by Donald Paschke as A Cornplete Treatise on ihe Art of Singing (New York: Da Capo Press, 1979, 265.

One prepares or does not prepare the triIl, one stops it suddenly or one adds to it an ending in proportion to the value whkh one can attnbute to ï t Ifit is long, one prepares it and ends it regulariy in all cases- This method is the most elegant,'" .

According to Garcia, trills would normally be "prepared" (i-e., begun fiom the main note

or fiom the note below) and ended "reguiarly" (Le., with tuming notes) at "cadenza-like

passages" aod on "measured notes of sufficient Length.'"

Mathilde Marchesi, a student of Garica, continued his teaching into the latter part

of the nineteenth century- Marchesi's own singing method con& vocalises which

show shakes be-g on the main note, usually a full measure in length, with

concluding tuming notes written out as small notes.'" Marchesi's exarnples are consistent

with Garcia's advice that long bills at cadenza-like passages are best "prepared" and

ended with turning notes.

The influence that Garcia and the "ancient Italian school" of singing exerted on

keyboard music well into the nineteenth century is demonstrated in the piano method of

Felix Godefroid Godefroid laments that students of the piano often l e m to play with

brilliant technique at the expense of being able to make the piano sing Vuire chanter le

piut~oj,-'~ and he seeks to redress this deficiency through explicit instructions in his

rnethod, as well as nurnerous annotated etudes, al1 designed to show the student how to

apply the Italian vocal style to the piano. The musical exarnples in Godefroid's method

'%lanuel Garcia, Traité complet de ['art du chant, Part II (Paris, 1847); EngIish translation by Donald Paschke as A Complete Treatzse on the Art of Singinging (New York: Da Capo Press, 1972), 125. "'Ibid, -"Mathilde Marchesi, Bel canfo: A theoretical undpractical vocal rnethod (Paris, 1886); reprint (New York: Dover Publications, 1 WO), 104- 108. "Felix Godefioid, École chantante du piano (Park: Heugel, 186 l), i.

show td l s beginning fiom the main note.J3 Nonetheless, Godefioid elaborates in the text

that trills may be "prepared":

One rnay begin the triil wîthout preparatîon, but nonnaiiy one prepares it by means of a group of three smaii notes wtiich are executed less quickiy than the trU itself. Every temination ... should also be done with a high degree of eIeganceJJ

The "elegance" required of the trill termination rnay simply refer to the use of turning

notes, or it might also imply a degree of relaxation at the end of the t ~ - i l l . ~ ~

Godefioid's piano method thus echoes the instructions for trills found in Garcia's

treatises on singing published in the 1840s, as were Chopin's sonatas- Both keyboard and

singing treatises of the mid-nineteenth century show that the prevailing practice appears

to have been to begin trills, with or without preparation, fiom the principal note unless

some special circumstance dictated otherwise, or unless the composer had expressly

indicated an exception. Despite the evidence of the treatises, wïters such as Higgins and

Holland seem reluctant to contradict the perceived authority of Mikuli with regard to

Chopin's trills beginning fiom the upper auxiliary. If this were indeed Chopin's practice,

it would deviate fiom the keyboard practices outlined in the contemporaneous treatises

of Hummel, Czerny, and Chaulieu, as well as from the vocal practices described in

Garcia and reasserted in Godefioid Chopin's uniqueness in relation to his

contemporaries was, of course, previously demonstrated in Chapter 1.

43Godefioid, 40-4 1. %id., 42. "On peut attaquer le trille sans preparation, mais le plus ordinairement on le prépare par une groupe de 3 petites notes qui s'exécutent moins rapidement que le trille même, Chaque termination..doit être faite avec beaucoup d'elegance." 4SRelaxation of tempo at the end of a tnll may be more characteristic of late nineteenth-century practice. Moskowski's edition of the Op. 58 sonata (1924), which would probably have reflected late nineteenth-century practice, shows an editorial "nt." at the cadential trills in the second subject of the first movement, in both exposition and recapitulation. This "rit." is followed in the next measure by an editorial "a tempo,"

Higgins' reiteration of Mikuli's authority that, unless otherwise indicated, t d l s in

Chopin's music migbt generally be assumed to begin on the upper auxiliary is perhaps

justifiable in light of what appears to have been the established practice among Ital ian

singers in the early part of the nineteenth centuryturya However, by the time the second

part of Manuel Garcia's treatise was published (1 847), main-note trills appear to have

been acceptable in most cases, especially at cadeiua-Like passages and on long notes, and

Marchesi's method shows that these practices continued well Urto the nineteenth century-

It seems likely, therefore, that Chopin would have employed main-note trills (ofien

prefaced by preparatory notes), especially at cadeoza-like passages on long notes, as

Garcia suggests Italian singers in the 1830s and 1840s would have k e n doing. D m ' s

assertion, cited at the beginning of this chapter, that main-note trills would have been the

ruie rather than the exception could well apply to Chopin's sonatas of the 1840s.

However, it is possible that, in his earlier compositions, main-note t d l s might have been

reserved for special effects (as they were in earlier vocal music).

The role of context in executing trills is given greater weight in Garcia's treatise

on singing than in keyboard treatises such as that of Hummel, which advocates main-note

trills for technical reasons and for the sake of creating a sense of accenP7 The

employment of main-note trilis in Chopin's music may also have been dependent on

circurnstances: for example, whether the triU appears at a cadences, the duration of the

td l , its fimction as a passing tri11, and so on. We now tum to an examination of the

sources of Op. 35 and Op. 58 for a consideration of the specific situations in which tnlls

are found.

"Higgins, 107. "Hummel, Part III, 3.

The Sources: Preliminarv Remarks

The manuscript and printed sources of Chopin's sonatas are quite consistent with

regard to notation and location of trills. (1 refer here to long trills rather than short trills

or "transient shakes," which are discussed in the next chapter as "mordents,") All long

a s are notated using the "tr" symbol, sometimes followed by a horizontal wavy Iine at

Ieft-hand trills in the e s t French and Engiish editions. However, the fair copies for the

first Breitkopf & Hartel editions of both Op. 35 and Op. 58, as welI as the German

editions themselves, consistently show horizontal wavy lines at triUs in both right- and

left-hand lines. Notes of preparation or tennination are clearly indicated by means of

srnall notes in al1 sources. The manuscript sources, as well as some annotated scores,

show some vertical hand-written lines that may act as pianistic "breath marks," and some

of these precede trïlls in the melodic line, particularly in Op. 58m. The role of pianistic

"breath marks" in executing 0311s is discussed below, dong with other information

obtained from the sources about the initial note of a triIl_

The critical commentary to the Paderewski edition of Chopin's sonatas maintains

that trills, like other omaments in Chopin's music, begin on the beaP8 Although not

explicitly stated the implication is that one or more small preparatory notes before the

main note of a tri11 are also placed on the beat in order to create a dissonance with the

corresponding note@) in the other hand. In many cases, the manuscripts and amotated

scores support the placement of preparatory notes on the beat: for example, the first bass

note in a measure may be aligned with the initial note of preparation in the right-hand

melodic line.

"Paderewski et al,, Sonaras, 1 16.

The Sources: T d l s in the Lower Voice

There is no indication in the treatises or sources that preparatory notes in the bass

were to be played any differently than those affectkg t d l s in the melodic h e . Much

attention has been focused on the annotations that apply primarily to the melodic line in

scores owned by Camille Dubois-OMeara, and Eigeldùiger has observed that pencil

markings in the copies of works owned by Mme Dubois "indicate to attack an ornament

or a Face note together with the bass note, showing that Chopin wanted those

embellishments or ornamental notes played on the beat and not before or afier?"' The

annotated scores owned by a lesser-hown student of Chopin, Marie Scherbatoff-

Tcherkaslcy, reinforce Eigeldinger's observation. For example, in the Scherbatoff-

Tcherkasky score of the Nocturne, Op. 55, No. 1, an annotated diagonal line in m. 14

connects the first preparatory note of the ri@-hand i d (A-natural) to the corresponding

third beat in the b a s line (B-flat), showing that the dissonance was intended (Ex. 2-1).

Example 2-1: Nocturne, Op. 55/1, mm. 13-16 (Scherbatoff-Tscherkasky score)

"'Eigeldinger, Chopin: Pianzst and Teacher, 2 12. The quotation is actually Eigeldinger's translation of a note found at the beginning of Vol. 1 of Mme Dubois-ORleara's scores. The note is in the hand of Julien Tiersot, the librarian of the Park Conservatoire at the time that the scores were bequeathed to the Conservatory by Louis Diemer. The original note reads: "...des coups de crayon indiquent la correspondance de L'attaque d'un dessin d'agrément ou d'une petite note avec celle de la basse, témoignant de la volonté de Chopin que ces dessins ou notes d'ornement soient attaqués sur le tempos même et non avant ou après. "

A similar pencilled marking appears in relation to a fl in the bass line in an amutated

score of Op. 35, and this marking might suggest that tdls in the bass iïne would also

begin on the beat. In m. 138 in the score of Op. 35Li owned by the Chopin Society, a

short diagonal marking that slants fkom left to ri& appears to connect the fis

preparatory note of the tri11 in the left-hand line (D-natural) to the stem of the main note

(E-flat), thereby implying that the initial dissonant note might be played on the beat

together with the fist-inversion subdorninant hannony in the ris& hand (Ex- 2-2).S0

Example 2-2: Op. 35m, mm. 132-144 (Troupenas ed., 1840)

The Troupenas edition of Op. 35 shows the trills in the bass Iine in the "Marche

funèbre" movement prefaced by preparatory notes, the first one creating a dissonance

with the chord above (Ex. 2-3a).

''The score appears to have been that of Mme Camille Dubois-OMeara. While it is possible that the purpose of Chopin's annotation might have been to separate the two preparatory notes (Le., to create space between them), the relatively quick tempo of the movement malies this unlikely. Both mm. 138 and 140 show a slur connecting the preparatory notes to the main note.

Example 2-38: Op. 35/III, mm. 19-22 (Troupenas ed, 1840)

In this and most other printed editions, small preparatory notes visually appear to precede

the beat, and the main note of the i d l aligm with the correspondhg notes on the beat in

the right-hand Line. In the manuscript fair copy, however, the main note of the tri11 is

placed slightly after the corresponding notes in the treble clef (Ex. 2-3b). The placement

of noies whose stems point downward (for example, the her-voice notes in the

right-hand line of mm. 19 and 20) may have been a feature of the hand of Chopin's

copyist, or it might suggest that the main note of the trill could have been delayed

Example 2-3b: Op. 35/m, mm. 19-22 (manuscript fair copy, 1840)

The sarne holds for the preparatory notes of the tri11 in the bass line in Op. 35A. While

the small notes are placed ahead of the main note in the Troupenas edition, the fair copy

shows the main note slightly d e r the corresponding right-band notes in m. 140 (Ex 24).

Example 2-4: Op. 35/II, mm- 133-144 (manuscript fair copy, 1840)

The visual placement of preparatory notes in a manuscript copy obviously cannot be

raken as definitive proof of their aura1 aLignment (as the "late" placement of the

der-voice F, E, D, and C in the right-hand line of Example 2-3b seems to demonstrate).

Nevertheless, in cornparison to the engraving restrictions inherent in the printed sources,

the relative fieedom of the scribe to place small notes in relation to how the music might

actually have sounded strengthens the possibility that main notes of trills in the lefi-hand

h e might have been delayed, by the preparatory notes, until after the beat.

Although dissonance has historically been associated with the begbing of a d l ,

twentieth-century pianists may have sought to avoid the dissonance created by placing

the k t preparatory note of a lefi-hand trill together with the right-hand note on the beac

perhaps because of the greater resonance of the bass register on modem iostniments. For

example, in a recording of Op. 3 5 m Sergei Rachmaninoff places the preparatory notes

to the third-movement irills in the bass Line ahead of the beat, thereby aligning the main

note of the tdl with the nght-hand harxnony in order to create a c~nsonance.~' Part of

the reason for Rachmaninoff s interpretation rnay lie with the assurnption that the aura1

realization of printed small notes is a literal "translation" of the visual image. That is, if

The Art of Sergei Rnchrnuninofl Vol. 1 (RCA Camden: CAL396), long-playing record-

s m d preparatory notes appear before the large notes on the beat, then those mal1 notes

should naturally be heard before the beat Perhaps engravers had piaced the small notes

in one voice ahead of the large notes in the corresponding voices in order to avoid having

to align notes of a smaller type-face with those of "nomai" size, both vertically and

horizontally. Manuscript sources, which would not be subject to the same restrictions,

sometimes show preparatory notes aligned directly above the other voices that fall on the

beat, although this is by no means consistent.

The idiosyncratic notation of one of the tnlls in the bass Line in the "Marsche [sic]

funèbre" manuscript copy suggests that, if the second of two small preparatoq notes

consisted of the same pitch as the main note of the trill, the tri11 itself would begin on the

upper auxiliary rather than on the main note.s2 The reason for the upper-note

commencement would probably have been to avoid the break in the tri11 that woutd have

resulted fiom repeating the pitch of the main note. In m. 30, as well as in the parallel

occurrence at m, 75, two preparatory notes (E-naturai and F) precede the main note of

the triIl which, although given in the manuscript fair copy and the Troupenas edition as

F, appears in the "Marsche fiuièbre" copy as G-flat (Ex. 2-5).53

j2This notation has been reproduced in the 1865, 1873, and 1882 Gebethner & Wolff editions, as well as in both the 1845 and 1878 Breitkopf & Hartel editiona 53The Troupenas edition also shows F in mm. 20 and 75, but with a flat sign in front of it- The fiat sign has been crossed out in the Dubois and Scherbatoff scores, and the principal note appears as F-natural in the 1860 Richault edition. The G-flat, however, persists in the 1865 and 1873 Gebethner & Wolff editions, and is not arnended until the 1882 edition.

Example 2-5: Op. 35/III, mm. 19-22 ("Marsche funèbre" copy)

In rri. 19, the main note of the nill is the same as the second of the two preparatory notes,

as is also the case in the other sources. The large-note G-flat in m. 20 may represent the

scribe's recoliection that the sounded "triil" (following the preparatory notes) actually

began on G-flat, the upper a u x i l i q to the main note, F." While the "erroneous" G-flat

appears somewhat confushg at first, its presence supports the idea that small notes of

preparation fiom below would Iead directly into the upper audiary.

Trills in the bass line are found at three places in Op. 58/I , ali involving the last

ha-note of the measure (in 414 metre). In mm. 90 and 92 (Ex- 2-6), the development

section begins with a bass trill on A#, passing between A (the dominant of D major, the

key of the second subject group in the exposition) and B (the tonic of B minor, the

primary key of the movement).

"Moskowslo"~ edition of Op. 58 (1924) adds upper-note grace notes to the beginning of the lefi-hand trills in mm. 19-20 of the "Marche funèbre," perhaps in an attempt to transmit this convention to pianists of his d q .

Example 2-6: Op. SSR, mm. 8û-95 (Wessel ed., 1845)

In m. 10 1, the tri11 on E also serves a passing function, propelling rnomenhun through a

passage marked with a crescendo h e i n in the French and EngIish editions (Ex. 2-7).

Example 2-7: Op, 58A, mm. 101-104 (Wessel ed., 1845)

Except for their appearance in the bass voice, these passing bass trills in Op. 58A fit

Clementi's description of the "shake legato with the preceding note," since they occur on

a note that passes stepwise between two neighbouring notes, Clementi advocates

beginning such trills on the principal note (Ex. 2-8).

Example 2-8: Clementi's cadenz~ legata con la nota precedentiP5

Jeanne HoLland maintains that, if tnlls in Chopin's music are preceded by one or

more srnall notes, the first note of the trill should not be the same as the Iast note of its

prefuiS6 This principal might be seen as applicable not only to the preparatory notes in

the "Marsche funèbre" manuscript copy at mm. 20 and 75, but also to the small-note D#

and E precedùig a tnll in the bass line of the French edition of Op. 58/ I (Ex. 2-9)

Example 2-9: Op. 58/I, mm. 99-102 (Meissonier ed., 1845)

After the preparatory notes, the £ïrst of which would be placed on the beat, this tri11

would commence with Fff, the upper auxiliary, rather than reiterating E, the main note.

The p ~ c i p l e of begb ïng a passing shake on the main note would thus be ovemdden by

the presence of the preparatory notes, and it is possible that these small notes may have

been included for the purpose of indicating a deviation fkom the usual custom.

The remaining left-hand trili in Op. 58A is found near the end of the movement in

m. 197 (Ex 2-10), where it serves a cadentid fùnction and concludes with written-out

turning notes,

ExampLe 2-10: Op. 5 8 4 mm. 197-199 (Meissonier ed., 1845)

Like the other left-band td ls in tb is movement, this tri11 occurs on a metricaiiy accented

long note, Le., on the thkd beat in 4/4 metre. The main note of the trill, F#, represents

the dominant of B major (the home key of the recapitulation) and moves to the tonic, B,

delineating the h a l authentic cadence of the movement. It would be reasonable to

assume that a cadential trill in the bass line wodd be associated with a sense of finality,

as would cadential trills in the melody.

Cadential trills in the melodic line are fiequently descn'bed in the treatises as

beginning on the main note, although they rnay also begin with an appoggïatura or some

other type of ornament The 1inea.r conte- of the tdl at m. 197 of Op. 58/I supports a

main-note interpretation: the note immediately preceding the trilled F# (the last

sixteenth-note of the second beat) is the same as the upper auxiliary, G#. Hence, if the

trill were to begin on the upper awllliary, the G# would have to be reiterated It WU be

recalled that one of Hummel's reasons for be-mnning a triII on the main note was to avoid

having to repeat the upper a d a r y (if this happened to be on the same pitch as the note

preceding the trill), since this would involve a lifting of the hard Also, Hummel notes

that trills beginning on the principal note usually fa11 on accented beats." Both of these

criteria apply to the aill at m. 197?

No annotations are found in the scores owned by Chopin's students at the t d in

m. 197 of Op. 58/I. However, Mme Dubois' score of the Prelude, Op. 28, No. 18 shows

fmgering indications that may clarify the execution of a tdl in the bass h e (Ex 2-1 1).

Example 2-11: Prelude, Op. 28, No. 18, ending (Dubois score)

't;r

- -

57Hummel, Part III, 3. '8Ekier's edition of Op. 58 also contains editonal fingering (5 12) which indicates a main-note beginning to this cadential tri11 in the left hand

This trill, of a half-note's duration, falls on a metncally accented portion of m. 18 near

the end of the piece. The tnlled note is the £kt member of the cadence and is doubled in

the right hand In fact, it is the right-hand lingering that is of interest. This fingenng

consists of the handwntten numerds " 132" above the main note of the tri& F, in the

right-hand line. Although this fingering is obviously not identical to that which would be

used for the corresponding left-hand triIl, it does argue for a main-note beginning to the

trill. As pianists can appreciate, it would be difficult to commence a right-hand triIl fiom

the upper auxiliary (G) with the thurnb, then continue to alternate between the main note

(F) and the upper note (G), using the third and second fingers respectively. It wodd be

far more natural to begin with the thumb on the main note (F), then alternate between the

upper auxiliary (G) and the main note (F), using the strong third and second fingers.

Despite the physical implications of the annotated fingering in the Dubois score

of this Prelude, Jeanne Holland interprets this fingering to rnean that the tri11 would begin

on the upper au~iliary.~~ Holland attempts to justi@ the commencement by suggesting

that, if the tri11 (following the upper-note preparation) consisted of the main note and the

note below (Le., F and E), the fingering indicated would be logical, However, even if

tnlling with the main note and the note below were normative in keyboard music of this

period, the last note of the tri11 (E) would then be the sarne as the note on the third beat

following the trill. This wodd have to involve either reiterating the E, thereby

diminishing its linear impact, or suppressing its metrical impact by blending it into the

trill. Chopin's annotated hgering in the Dubois score of this Prelude strengthens the

case for a main-note tri11 rather than one beginning on the upper auxiliary, as Holland - - --

SPHolland 284. Holland appears to attempt to reconcile th ïs instance with Mikuli's statement that Chopin's trilis rnost often began on the upper note.

seems detennined to believe. The musical circumstances of the lefi-hand triIl near the

end of the Prelude, Op. 28, No- 18 are very similar to khat in m- 197 of Op- 5 8 4 and the

fingering in Mme Dubois's copy of the Prelude that shows this triII beginning on the main

note supports Hummel's advice on this issue.

In summaxy, left-hand td l s in the sources of Op. 35 and Op. 58 do not appear to

begin on the upper awliary, at least not directly. In some cases, the trills in the bass line

are preceded by preparatory notes, wrïtten as small notes pnor to the main note of the

triil. The preparatory notes would most likely have been placed on the beat, and the tri11

wodd then continue h m the upper auxiIiary (as demonstrated by the "erroneous" G-flat

in the Geman sources of Op. 3 5 m f at mm- 20 and 75). If no preparatory notes are

given, the tri11 wodd most likely begin on the main note.

The Sources: T d l s in the U ~ p e r Voice

Preparatory notes, h t t e n out as small notes, are also found in the melodic line of

the Opp. 35 and 58 sonatas. Dissonance against the corresponding bass note would be

created by the first of these preparatory notes if that note were placed on the beat. In

mm. 37 and 53 of Op. 35/m, the prepared trills anticipate the cadence at the end of each

binary section of the Trio. In the manuscript fair copy, the preparatory notes are clearly

aligned with the first bass note, and the implication would be that the f is t of the

preparatory notes and not the main note is placed on the beat together with the left-hand

note. In the Troupenas edition, the first preparatory note is aligned with the bass note in

m. 37, but af3er it in m. 53 (Ex. 2-12). Although it is possible that the tri11 could have

been performed differently on its second occurence, the ciifferences in alignment rnight

have &sen simply Eom the technicaiities of the engraving process.

Example 2-12: Op. 35/III, mm. 32-54 (Troupenas ed., 1840)

In Op. 58A, preparatory notes precede a cadential tri11 in the melodic line at mm.

55 and 165. Placing the fist of these preparatory notes on the beat wodd result in

momentary dissonance against the fkst bass note, the local dominant. The preparatory

notes function as the beginning of a gruppetto, which embellishes the omet of the trill,

and the written-out tuniing notes at the end of the trill mi@ be seen as part of a

concluding gruppetto. Both of these tnlls occur in the sostenuto second-subject area in

the exposition and recapitdation, respectively (Ex. 2- 1 3 a and 2- 1 3 b)."

Example 2-13a: Op. 58/I, mm. 50-59 (autograph fair copy, c. 1845)

Op. 58/1, mm. 163-166 (Breitkopf & Hartel ed., 1845)

n

60Although the main note of the melodic tri11 in m. 55 is placed d e r the corresponding bass note on the third beat in Chopin's autograph, the preparatory notes appear to have been added aftewards and therefore do not align directly with the bass note-

The lyrical context, the ornamental preparation and resolution, and the expressive

dissonance created by preparation fiom below are all reminiscent of cadential trilIs

descnied in late eighteenth-century treatises on singing. In particular, trilis in Op. 58A

resemble RaparIieis cadence double (found in tender airs) or Mancini's raddoppiato-

The sarne "Allegro maestoso" movement of Op. 58 features tri l ls in the sustenuto

second-subject area (mm. 52 and 162) that are not preceded by preparatory notes,

although they conclude with tuming notes. These trïlls appear in a passing context rather

than a cadential one and may intensfi movement to a goal note. Beginning on the third

beat of m. 52, the melodic line ascends diatonically fÏom A to Cg, and a trill on B (on the

fourth beat) is indicated just before the C# is reached A crescendo underLies this

stepwise ascent, underscoring not only the melodic climb but also the harmonic

progression leading away fiom the local tonic, D major. In the score owned by Mme

Dubois, a small note on the third line of the trebIe clef-that is, on the same pitch as the

principal note of the WL-has been penciLled in front of the fourth-beat B (Ex 2-14a).

Perhaps Mme Dubois would have assumed that t d s generdy began on the upper

auxiliarv, particularly if she was unaware of their function

Example 2-14a: Op. 58/I, mm. 51-53 (Dubois score)

While a decision to begïn the trill on the main note in this case might be deerned

desirable in accordance with modem analytical standards, hîstoncal reasons such as

Clementi's "shake legato with the preceding notet1 might also be cited6'

In the parallel passage in the recapitulation (m. 162), the Dubois score contains a

hand-drawn sma.ll note on the same pitch as the main note, G# (Ex 2-14b). Jeanne

HoUand reads the smaU note in m. 162 as an A rather than a W, thereby interpreting the

small note as an indication that this trill would begin on the upper a d a r y . However,

the original copy of Mme Dubois' score in the Bibliotheque nationale ~es.VmaF.980]

clearly shows this small note on the second line, although the notehead overlaps slightly

into the second space. E, as Holland asserts, Chopin's td l s generally began on the upper

auxiIiary, it seems alI the more puzzling that he should have felt it necessary to include a

small note to show this (assuming the annotation was that of Chopin)

Example 2-14b: Op. 58/I, mm. 161-164 (Dubois score)

/7

This small note is also present in the autograph fair copy (Ex- 2-15).

6118 ... cadenza Zegata con la notaprecedente," Rosenblum, ed-, Clementi, Introduction, 11.

Exampie 2-15: Op. 5 8 4 mm. 159-166 (autograph fair copy, c. 1845)

The s m d notes which suggest main-note trills in Mme Dubois's scores of Op.

580 may have served to clarify that t a s in a passing stepwise context wodd be-& fiom

the main note, an idea that might have been obvious to Chopin but not necessarily to

Mme Dubois. In the German sources, a small note preceding a triLl is present at m. 162

(in the recapitulation), but is lacking at m. 52 (in the exposition). Since the early

German sources generally show "consistent" ornamentation in structurally analogous

situations, the lack of consistency in this instance may have resulted fiom an oversight on

the part of Chopin or the Breitkopf & Hgrtel edit~rs.~'

The Paderewski edition asserts that, even in the absence of grace notes on the

same pitch as the main note, the left-hand trills in mm. 90 and 92 would begh on the

main note, and that the same would apply to the right-hand a s in mm. 23-24 of Op.

5 8 A ? In al1 of these instances, the notes embellished by trills function as passing

62KaUberg, "Chopin in the Marketplace," in Chopin a& the Bodaries. 198. Kaiiberg observes that Breitkopf & Hartel editors or engravers wodd fiequently touch up Chopin's manuscripts as a matter of "home policy." 63Paderen~slii et d., Sonatas, 13 1, 134.

notes. Paderewski and his colleagues do no* mention historicd rasons for the trills in

these rneasures to begin on the principal note, such as that identified in Clementi's

treatise. Whether or not Chopin expected bis students to be farniliar with Clementi's

"shake legato with the preceding note," he would certainly expect them to be attuned to

Italian vocal idioms of the time, As we have seen, Garcia aclcnowledges that trïlls c m

begin and end on the principal note, and the use of main-note trills in melodically

conjunct passages is echoed in Marchesi's method-

Trills in stepwise melodic conte- a re also found in the cantabile outer sections

of Op. 5 8 5 . Like those in the first movemenf each of these trills occurs on the fourth

beat of the rneasure in the ri@-hand line, irn an ascending passage. These îrills are

found at two parallel points in the structure. The first is in the "At1 section (mm. 23-24),

where the melody prüceeds first fiom G# through A# (marked by a tnll) to B. then ftom

E through F double-sharp (marked by a trill> to G#. The sarne passage is found in the

reprise (mm. 109-1 IO), involving identical pitches. Although no annotations are Found in

Mme Dubois' score in either of these places, some vertical lines are discemible in the

vicinity of the trilled notes. These vertical Iines appear to hc t ion as phrasing

indicators or "breath mark" (as discussed in Chapter 1), although their placement varies

in the reprise.

In the opening "A" section of Op. 58Jm, the vertical lines appear in mm. 19-20

and 22 and do not directly affect mm. 23-24 which contain the trilled notes, although

these lines mark registral separation? Like the tri11 at m. 52 of Op. 58/5 those in mm.

%ne Stirling's copy of Op. 58/III contains a breath mark in front of the tri11 in m. 22 (Henle edition), which corresponds to that i n m- 23 of Meissonier.

23-24 ofthe third movement each bepin with a new dur, which might imply a new

"breath" (Ex 2-16).

Example 2-16: Op. 58/III, mm, 17-26 (Dubois score)

An annotated vertical line also appears in the reprise, but this time it is placed directly

fiont of the tnlled note in mm. 109 (Ex 2- 17). This tdl and the one

each begin with a new dur, and the vertical "breath mark" appears to

in the next measure

CO& what was

implicit in the fïrst occurrence: that the trills in both- the "A" section and its reprise

begin after a slight articulative "breath-"

Example 2-17: Op. 58/III, mm. 90-114 (Dubois score)

It was noted in the previous chapter that Chopin's unnnished treatise equates the

action of the wrist in piano playing with the breath in singing. While a pianistic "breath"

created by a raising of the wrist at mm- 23-24 and in mm. 109-1 10 would facilitate the

technical production of the tri11 by virtue of relaxing the han& the role of these fiequent

"breaths" rnight also be partly one of emphasis. Like the breath marks descnbed in

eighteenth-century vocal treatises such as those of Domenico Com and Gesualdo

whose purpose was to draw attention to the word after the breath through an

expressive pause, the "breath" marks in Op. 58/IiI could focus attention on the "word"

(Le., pitch) following the beginning of the new slur or vertical line?

An expressive pause created in this way might also be effective before trilled

notes in the lyrical contexts of other movements. Like the trills in mm. 23-24 of Op.

58 /m described above, that in m. 52 of Op. 58/ I begins with a new slur; in both

movements, the notes marked with a tri11 fd l on the last quater-note beat of a 4/4

measure (i-e., an maccented part of the beat) and involve conjunct ascending melodic

motion These trïlls, therefore, are " passing" in the sense of metrical placemenf as weU

as pitch. In m. 52 of Op. 58A, the annotated small note (on the same pitch as the main

note) in Mme Dubois' score indicates that the tri11 would begin on the main note. The

same might apply to the trills at mm. 23-24 of Op. 58/m, and to those at the parallel

place in the reprise, Le., mm. 109-1 10. The character of these t d l s is reminiscent of

Bérard's cadence molle ("sofi trill"), which begins on the main note. This type of tri11 is

not cadential and features relatively slow and soft alternation of pitches, with a

dirninishing of tone at the end.

To recapitulate: melodic trills in Opp. 35 and 58 (when not prepared from below)

probably wodd begin on the main note, judging from srnall notes in the autograph fair

copy of Op. 58 and fkom annotations in the Dubois score. The stepwise, lyrical content

65Domenico Corri, The Singer's Preceptor (London, 18 1 O), 68-72; Gesualdo Lanza, EZernents of Singing (London, 1 8 1 3), Part III, 44. 66The trills at the end of the "B" section of this movement (mm. 95-96) are not preceded by a new dur, but are comected to the preceding octave leaps within a longer dur- This phrasing is also used in the Wessel edition for the trïlls in the reprise (mm. 109- 1 1 0).

in which many of these trills are found is sïmilar to that which Clementi associates with

the "shake legato with the preceding note," and this type of shake appears to begin most

often on the main note. Turning notes wodd probably be included at cadential trills,

especidy where small notes are given, but would not necessarily be assumed at passing

trills where no such small notes are indicated.

Summarv

There are few indications that trills in the Opp. 35 and 58 sonatas would have

begun fiom the upper auxiliary in either the melody or the bass line, although this may

have been the case in earlier works of Chopin. Beginning trills on the principal note,

unless rnarked otherwise, appears to have been fairly standard keyboard practice by the

l83Os, as suggested by the wTitings of Hummel, Czerny, and Chaulieu. Even if Chopin

had been influenced by earlier Italian vocal practices (as Mikuli's assertion that his trills

ofien began from the upper awciliary might suggest), such custorns appear to have been

changing by the tirne the sonatas were composed. Traditional Italian vocal practice since

Tosi had been to begin tnlls from the "false note" (Le., the upper auxiliary). Garcia,

however, asserts in 1841 that main-note trills are the nom and, by the mid- nineteenîh

century, he appears to have been training students such as Mathilde Marchesi to begin

trills fiom the main note or fiom the lower auxiliary, except when circumstances do not

allow such preparation. The testimony of Mïkuli, as cited in the preface to the Schirmer

edition of Chopin's sonatas, has no doubt influenced writers such as Thomas Higgins and

Jeanne Holland to propagate the generalization that ûills in Chopin's music invariably

begin on the upper auxiliary. In some cases, this generalization is applied even when the

evidence suggests otherwi-se.

Trills in the melodic line of Opp. 35 and 58 ofien occw in lyrical rnovements or

sections of a movement, Sometimes their fiinction is cadentid, and at other times, the

trill prolongs a long note or anticipates an accented "goal" note. The autograph fair copy

of Op. 58 and annotations in the Dubois score suggest that main-note tnlls were

preferred in linear rnelodic contexts. The tnlls in Op. 58 /m might have been preceded

by a slight raising of the wrist or pianistic "breath," as signified by annotated vertical

lines and by a new slur. The resulting pause might resdt in a very slight agogic delay on

or before the initial main note of the trill,

Trills in the b a s line are also fomd in the context of linear passages, and these

trills are most fiequently prepared from below. Left-hand trills ofien occur on relatively

long notes and might help to project their durational value of the long note, a

consideration that could be particularly relevant to instruments with limited resonance in

the b a s register. According to the annotation in Mme Dubois's score of Op. 3 SLL, the

beginning of the tri11 in the bass line in m. 138 would have been placed directly on the

beat; and, if one can extrapolate fiom the handwrïtten fingerings in the Dubois score of

the Prelude, Op. 28, No. 18, cadential trïlls would likely also have commenced on the

main note and on the beat.

Although preparatory notes in the printed sources are usually placed ahead of the

beat visually, alignment of preparatory notes in the manuscript sources allows for the

possibility that the first preparatory note may have been played on the kat. Dissonance

created by placing preparatory notes on the beat appears to have been a desirable feature

of Tefi-hand trills in the mid-nineteenth century- Nonetheless, the increased resonance of

modem instruments rnight account for twentieth-centtrry interpretations (such as that of

RachmaninofT) which place the preparatory notes ahead of the beat.

Clearly, keyboard practices of the füst Mf of the nineteenth century with regard

to trills were changing in relation to earlier vocal practices, as Hummel acknowledges. It

is likely that even the Italian singers revered by Chopin were beginning bills fiom the

main note more fiequently than the singers of an earlier generation. The next chapter

focuses on other types of omarnentation in Chopin's sonatas in light of

nineteenth-century vocal and keyboard practices.

CHAPTER 3: ORNAMENTATION - APPOGGIATURAS, MORlDENTS AND GRUPPETTI

A writer in the Rewe et gazette musicale ( 1 842) remarks on Chopin's astonishing

facility for discoverhg new forms of omarnentation.' Aithough this reviewer does not

describe these forms, one source of inspiration for Chopin's novel approach may bave

been the practices of singers trained in the Itaiian style. in his letters of 1830, Chopin

had expressed admiration for the way in which two such singers, Henriette Sonntag and

Constance Gladkowska, executed omaments? Chopin seems to be refemng, in this

letter, to the performance of notated ornaments rather than the improvised embellishment

of a melodic tine.

As noted in the preceding chapter, Felix Godefroid's École chantante dupiano

(1 86 1) eçtablishes a vocal fiame of reference, based largely on Manuel Garcia's treatise

on singing, for pianists of the time. Godefioid discusses the realization of notated

ornaments, but he also encourages pianists to become skilled at the improvised

omarnentation [broderies, fioritures, variantes, variations, points d 'orgue] characteristic

of the earlier Italian style of singing, observing that pianist-composen are always looking

for innovative passage-work and previously unknown figurations to add interest to their

composition^.^ Godefioid considers the extemporaneous embellishment of a melodic

' Maurice Bourges, Revue el gazette musicale de Paris, Vol. IX, No. 27 (February 1842), 82. "...étonnante facilité à trouver des formes d'omarnentation neuves-.."; 'E.L. Voynich, trans. Chopin 's Letters (New York: Viema House, 1971), 92, 100. Chopin's letter to Tytus Wojciechowski of June 5, 1830 praises Henriette Somtag, while that of October 5, 1830 admires Constance GIadkowska's tapering of a gruppetto with a diminuendo, to the effect that ..." it is not a quick gruppetto, but eight clearly Sung notes." "elix Godefioid, École chantante du piano (Paris: Heugel, 186 11, W.

phrase as a fonn of omamentatiod and recommends that the pianist study the musical

examples in his method that illustrate various possibilities for embellishing, on the piano,

melodies such as one by Manuel Garcia (Ex j-l)?

Example 3-1: Feiix Godefroid, École chantante du piano

Lento:

4Godefioid, W. ' l a broderie, en musique, est de la famille des notes d'agrément...'' SIbicL, 44.

Godefroid also provide examples of similarly embellished melodies by pianists, such as

Camille Pleyel's broderies on the Andante fiom Hummel's Fantasie, Op. 18 (Ex 3-2):

Example 3-2: Feüm Godefroid, Ècole chantante du piano

Godefjroid's method reafflrms that, for rnid-nineteenth-century Parisian pianists such as

Mme Pleyel, even notated omarnents could have been subject to firrther embellishment

Having said this, it is beyond the scope of this chapter to speculate on how

Chopin or his students might have imprûvised on a given musicd text by adding

fioritures or other embellishments.' Instead 1 will focus primarily on the realization of

appoggiaturas, mordents and gruppetti as these are notated in manuscnpt and p ~ t e d

sources of the Op. 35 and Op. 58 sonatas.' The performance practices relevant to these

omaments will be examined in IIght of early- to mid-nineteenth-century treatises on

singing as well as piano playing.

The Appogniatura

Like many of Chopin's works, the Op. 35 and 58 sonatas contain examples of

small notes which precede melodic notes, chords, or trills. In most of the continental

sources, these small notes are written as eighth-notes and have a diagonal line through

therr~;~ in the English editions of Op. 58, they are written as sixteenth notes without the

sIash line. In modem terminology, such small notes (with or without the diagonal line)

are often referred to as "grace notes." However, the Paderewski edition sometimes labels

'The quotations of Lenz and Mikuli given in Eigeldinger (p. 52) provide somewhat conflicting accounts about the extent to which Chopin would improvise afioriturn. 'Eigeldinger (p. 133) observes rhat, in the Nocturnes, most of Chopin's gruppetti are written out in full, especially when they are combined withfiorituras or passing notes, and the same principle appears to apply to the sonatas. 'An exception would be the grace notes at the beginning of the second theme in the fint movement of Op. 35 (mm. 40 and 170), which are notated as quarter notes without a diagonal line and are c o ~ e c t e d by a vertical dur to the upper notes of the chord.

them as "appogiaturas," regardless of whether or not the small note creates an accented

dissonance.

The teminology used for ornamental small notes in Chopin's music reflects the

remnants of a historical understanding of their function. Even witho~rt a fidl awareness

of historical context, however, modern scholars may reach conclusions that are vdid

given their frame of reference. For example, Jeanne Holland maintains that al1

ornamental notes in Chopin's music begin on the beat. Holland bases this assertion on

the well-known annotations in Mme Dubois's scores which indicate that, when a group

of chord tones written as small notes appears as a prefÏx to a main melodic note in the

rïght hana the first of these chord tones begins on the beat and serves to displace the

melodic note.'' Similarly, when a single small note precedes a t d l , it also is placed on

the beat. Holland's observations Iead her to extrapolate that Chopin's "appoggiaturas"

always begin on the beat. Additional support for this notion rnight be garnered fiom the

wrïtings of Manuel Garcia II, which descriïe vocal practices of the rnid-nineteenth

century that would have been familiar to Chopin through his contact with singers such as

Garcia's sister PauIine Viardot.

The term "appoggiatura7' in eârly nineteenth-century treatises on singing was stilI

açsociated with expressive dissonance that deliberately delayed a melodic note. For

example, Richard Mackenzie Bacon (1 824) defines appoggiaturas as 'csuspensions,

retardations, anticipations, and passing notes."" He describes the duration of

'O1.J. Paderewski, L. Bronarskï, J. Turczynski, ed., Fi-yderyk Chopin: Complete W o k Vol. VI, Sonutas. 6th ed. (Warsaw: The Fryderyk Chopin Institute, 1 !XO), 1 15-1 16.

Jeanne Holland, "Chopin's Teaching and His Students," Ph.D. diss. (University of North Carolina at Chape1 Hill, 1972), 277-279. 12Richard Mackenzie Bacon, EIements of Vocal Science (London, 1824); intro. by Edware Foreman (Champaign, 111. : Pro Musica Press, l966), 105.

appoggiatwas as 'kery l o n e m o r e than half the time of the note to which they are

appended"13 In the keyboard îreatises of the early nineteenth century, however,

appoggiaturas are descnbed more in terms of their rhythmic impact and duration than as

melodic decoration (e-g., dissonances or suspensions). Czerny (c. 1839) distinguishes

between "long" and cbshorty' appoggiaturas, and acknowledges the long appoggiatura is

"often employed in the older class of compositions ... even now many writers occasionaily

make use of it."'' However, he clearly sees it as old fashioned:

The long appoggiatura (borrowed fiom ancient vocal mmic) ought in justice to be banned fiom Piano-forte music altogether. The short appoggiatura wllI always remain ~settl.'~

Some treatises published in France do not differentiate between the appoggiatura

in which the small note receives half or more of the value of the main note and that

which requires only a quick execution of the small note and does not detract noticeably

from the length of the main note. Dussek-Pleyel (c. 1799) shows small notes with and

without slashes, but simply labels them al1 agrémens.16 Sirnilarly, the musical examples

in Kalkbrenner's treatise (c. 1835) show appoggiaturas both with and without slashes,

and no distinctions on the basis of either notation or context are readily evident17

Clementi, Adam, and Czerny al1 make use of the mark of emphasis [>] to denote

an appoggiatura that would receive at least half the value of the main note, i-e., the

"long" appoggiatumL8 This might suggest that, in keyboard practices in the first half of

13Bacon, 105. 14Carl Czerny, CornHete Theoretlcal and Practzcal Piano Forte School, Vol. 1 (London: Cocks & Co., 1830; reprint, l839), 162. 'slbid, 162. 16Clementi, 10; Dussek-Pleyel, 6 . I7Kalkbremer, 6. I8Clementi, 10; Adam, 158; Czemy, 161.

the nineteenth century, appoggiaturas were assumed to be "short" unless otherwise

indicated However, Godefioid's piano method (2861) shows appoggiaturas wrïtten as

large notes and labeled "app: longue harmonique." Godefroid marks such notes sf:

foIlowed by a long wedge (Ex 3-3).19

Example 3-3: Felix Godefroid, École chantante du piano

The "long" appoggiatura appears to have prevailed in Italian vocal practice into

the middie of the nineteenth century and later, and Marchesi's treatise on sin-~g (1 886)

- -

lgGodefkooid, 30. Examples of die "short" appoggiatura (or "app: harmoniquey7) are written out first as large notes (sixteenth-notes followed by a dotted eighth), followed by examples notated as slashed smail notes with the instruction "attaquez I'app: comme précédemment avec la basse formant accord" [attack the appoggiatura as before, with the bas , to form the chord]. Godefioid applies what Czerny wodd cal1 the "mark of emphasis" (Le., >) to al1 instances of the appoggiatura, whether short or long, written out or expressed as srnail notes. It is clear that Godefkoid's appoggiaturas commence on the beat,

still shows the mark of emphasis M in vocalises." Marchesi's teacher Manuel Garcia

(1847) defines the appoggiatura as "a note on which the voice marks a stress ...[ which

is] ... almost always non-harmonic and should be resolved to a h m o n i c note."21 Garcia

includes disjunct intervals in his definition of the appoggiatura, and this definition

extends to hclude double or triple appoggiaturas, i-e., "two, three and four appoggiaturas

which are added to the real note or even to the simple appoggiatura." Al1 of these

appoggiatura types are govemed by the same d e s as the simple appoggiatura.

Apparently, the only requirements for the appoggiatura class of omaments are that they

begin on the beat and that they receive a stress or "leaning," for Garcia summarizes:

"The appoggiatura can be placed at every interval and receive a long or short value."^

The collective term "Iittle notes7' refers also to ornamental notes, including single,

double and triple appoggiaturas, as well as acciaccaturas, mordents and

Keyboard treatises fiom the first half of the nineteenth century suggest that,

although its length may have varied, the appoggiatura would have been placed most often

on the beat. Clementi does not discuss the matter, perhaps because it is considered

obvious. However, Czerny clarifies that even the "shorty7 appoggiatura is also to be

"struck with the accompaniment," Le., on the beat.,." and Godefroid confinns that

appoggiaturas would customarily have been placed on the beat.26 In his musical

examples, Godefioid includes arpeggiated chord tones notated either as written-out small

2%larchesi, 98. 21Garcia, Part II, 1 17. "IlbidJS1. 231bid., 1 17. 241bid., 124- %zerny, 161. 26Godefkoid, 30.

notes or with a Iine preceding a vertical chord Like Manuel Garcia II, whose w-ritings he

recommends to pianists> Godefroid considers multiple mal1 notes a species of

appoggiatura which would begin on the beat.

Godefkoid's method of 1861 suggests that the influence of Italian vocal practices

was still being felt and tau@ in Paris at that tirne. The broad conception of the

""app~ggiatura'~ found in Garcia's writings and reiterated by Godefkoid may thus bear

some relevance to Chopin's use of ""little notes" in the Op. 35 and Op. 58 sonatas. While

the musical examples in the second part of Garcia's treatise show symbols used

interchangeably with small-note notation, ornamental notes in the manuscript and prïnted

sources of Opp. 35 and 58 invariably appear as small notes. By 1840, when Op. 35 was

published, Chopin may have implernented Chaulieu's recommendation that composers

adopt the 'cexcellent practiceY7 of replacing signs for omaments with their actual values in

order to avoid confusion.28

An exmple of srnail-note "appoggiaturas" that fiinction as a wrïtten-out

arpeggiation is found in the opening "Grave" introduction of Op. 35A. Al1 sources show

four written-out smdl notes placed, one after the other, in fiont of the right-hand chord in

m. 3 (Ex 3-4). The pitches of these grace notes are the same as those of the following

whole-note chord, to which they are tied, and the grace notes are notated as quarter

notes. A crescendo wedge is placed undemeath the small notes in the first French

edition as well as in the manuscript fair copy, and this crescendo is also found in many of

the later sources (with the exception of the Gebethner & Wolff editions).

-

"Godefioid, W. 28Charles Chaulieu, Le pianiste, Vol. VI (April l834), 86.

Example 3-4: Op. 35A, mm. 1-7 (Troopenas ed., 1840)

Notationai features that convey clear directions to the performer are the order of the

chord tones ( h m the bottom up) and their duration (sustained for the remainder of the

measure). Chopin's choice of quarter-note values for these ornamental notes is somewhat

musual, since most grace notes in the sonatas are notated as eighth- or sixteenth-note

values. The relatively long durational values of the small notes impIy that the chord

tones would be spread slowly and dramatically, rather than briskly rolled

Examples of "single appoggiaturas" precede right-hand chords in both Opp. 35

and 58. In the manuscript fair copy of Op. 35/I, vertical slurs connect the small note

precedïng the lowest note of the rïght-hand chord in m. 41 (at the begimkg of the

sosfenuto theme) to the uppermost chord tone. Like the manuscript fair copy, the 1878

Breitkopf & Hmel edition of Op. 35A shows the s d notes and vertical slurs in both

the exposition (Ex. 3-5a) and the recapitulation (Ex 3-6a). In the Troupenas edition,

however, the srnaJi note appears only in the recapitulation (Ex 3 4 3 ) without the vertical

slur. The parâllel place in the exposition shows a simple solid whole-note chord (Ex

3-Sb).

Example 3-5a: Op. 3511, mm. 3666 (manuscript fair copy, c 1840)

Example 3-5b: Op. 35D, mm. 39-56 (Troupenas ed., 1840)

Example 3-6a: Op. 35& mm. 168-173 (manuscript fair copy, c. 1840)

Example 3-6b: Op. 354 mm. 167-180 Vroupenas ed., 1840)

The vertical slu. appears fiequently in the manuscript fair copy of Op. 35 and in

the printed German and Polish sources but is less fiequent in the French and English

editions. This type of d u r may represent an arpeggiation marking similar in function to

the line, and is sometimes found together with a small note placed in fiont of either the

bottom or the top note of a right-hand chord Chopin's notation rnay attempt to cla* a

circumstance descnibed by Charles Chaulieu in 1834. Chaulieu observes that if an

appoggiatura precedes a chord, it is necessary to make a "sort of arpeggio" in which the

appoggiatura enters immediately before the "actuaI" (Le., chord) note?

Godefioid's treatise (186 1) alludes to a similar relationship between smaii notes

and arpeggiation: both sewe to displace the uppermost chord tone (Le., the melodic

note). Godefioid shows an app. avec arpège spelled out using small notes, followed by

another chord marked with a wavy line which, according to Godefioid, signines the sarne

execution as the previous notation The appoggiatura in Godefioid's examples enters

just before the melodic note i-e., after the lower two notes in sequence (see E x 3-3):'

Judging fiom Godefioid's fust exarnple, the small ornamental notes (representing the

arpeggiation) begin on the beac and this same effect is understood by the wavy-line

notation. In light of Godefioids examples, as well as Chaulieu's description, the vertical

sIurs found in the sustenuto theme of Op. 35/I might h c t i o n as an alternative rneans of

notating an arpeggiation that bepins on the beat in order to deIay the rnelodic note of the

chord for expressive purpases.

Unlike the Troupenas edition, the German and Polish sources of Op. 3% show

vertical durs at the onset of the sostenufo theme in both the exposition and the

recapitulation of Op. 35R. The function of the small note preceding the chord in the

German and Polish sources is unclear, since the vertical slur alone would convey the

breaking of the chord Perhaps the small note simply indicates the starting note for the

arpeggiation (Le. the lowest note of the chord), or its quater-note value might serve as a

cue for a more deliberate beginning to the arpeggiation?

'gCharles Chaulieu, Le pianisle, Vol. 6 (April 1 834), 86. 30Godef?oid, 30. 31 Ekier's edition gives the grace note at m. 41 as an ossia, and indicates that the chord at the beginning of the sostenuio section, as well as its subsequent recurrences, is to be

In the early sources, vertical slurs rnay cod5.m tbat small-note appoggïaturas

were placed on the beat For example, both the manuscript fair copy and the Troupenas

edition of Op. 35iI show a slashed mail note preceding the lowest note of the right-hand

chord in m. 6 1. This small note is connected by a vertical slur to the top note of the

chord The manuscript fair copy shows the small note aligned with the first bass note in

the measure, suggesting it would be played simultaneously with the bass note (see Ex.

3-5a). In another case, the autograph fair copy of Op. 58/1 shows vertical slurs at mm.

138 and 179 that align smaii notes in the right hand with the accompanying bass note

(Ex 3-7a and 343). The Dubois score shows an additional annotated vertical slur at m.

137 (Ex 3-7c). Even though the placement of these vertical slws is not always

consistent among the sources, theîr presence in relation to small notes may cab that

chords to which the small notes are prefaced are begun on the beat, not before it.

Example 3-7a: Op. 58/I, mm. 137-139 (autograph fair copy, c 1845)

Example 3-7b: Op. 58/I, mm. 174-182 (autograph fair copy, c. 1845)

Example 3-7c: Op. SS/I, mm. 137-140 (Dubois score)

Srnall notes in lyrical contexts may fünction as accented dissonances, particdarly

when they represent a melodic suspension In mm. 137-138 of Op. 58/I (see E x 3-7c

above), the small note creates a suspension above the new b a s note, thereby displacing a

melodic note whose durational value is relatively long. The "appoggiatura" might be

short by cornparison but would almost certaidy be placed on the beat. The vertical dur

found together with the appoggiatura in m. 138 in the German sources, as well as in m.

137 in Mme Dubois's copy, might indicate that the right-hand chord be arpeggiated (fkom

the bottom up), begïnnïng together with the bass note on the beat, in order to m e r

delay the main melodic note.

Other instances in which ornamental notes repeat the pitch of the previous

melodic note and resohe by stepwise descent are found in mm. 1 8,6 1, and 171. At m.

61, Mme Dubois's score contains an annotated diagonal pencil marking (eom left to

right) that appears to align the small notes, in octaves, in the right hand with the first

eighth-note of the fourth beat (Ex. 3-8).

Example 3-8: Op. S M , mm. 59-62 (Dubois score)

Like al1 the small notes in this movement, those in m. 61 belong to the iyrîcal

second-subject group. When placed on the beat, these notes wodd create an expressive

dissonance above the b a s that resolves on the next part of the beat, simulaiing the

rhythrnic effect of the large-note triplet octaves in the next measure.

The reason for the differences in the s m d notes found in m. 61 and the large

notes of m. 62 might be rooted in the eighteenth-century harmonic theory that Chopin

wouid have studied in Warsaw with Josef El~ner. '~ The appoggiatura in m. 6 1 allows a

32Jim Samson, Chopin, 52-55. Samson, citing Alina Nowak-Romanowicz's research on Josef Elsner, States that two "indispensable" texts known to have been used by Elsner at the Warsaw Hochschule are Albrechtsberger's Arrweisung ZUT Composition (1790) and Kimberger's Die Kunst des reinen Satzes (1771-1779). Samson concludes that "theory

dissonmt note to be heard together with the bass whereas, at m. 62, the &st of the

large-note triplet octaves is already consonant with the b a s . In Chopin's minci, as in that

of eighteenth-century musicians, the small-note appoggïatura may have been understood

as a "dissonance" Le., a suspension between a melodic note and the bass voice.

The association between a prepared "dissonance" and the apoggiatura notation is

strongest in areas of Chopin's sonatas where a singing style predominates, and the "long"

appoggiatura would be appropriate in such cases. In other cases, small-note

"appggiaturas" are found in non-lyrical conte- such as the Scherzo of Op. 35. Smail

notes which precede right-hand octaves or chords spanning an octave are present in ail

sources at mm. 50,52 and 54 (Ex 3-9), as well as at the pardel places in the reprise of

the section, i-e., in mm- 239,241 and 243. In each of these cases, the srnail notes

serve to separate the repeated notes on the second beat fiom those preceding them.

Example 3-9: Op. 35/3[3[, mm. 48-54 (Troupenas ed., 1840)

One interpretation of short smail notes might be to place them ahead of the beat

as "crushed notes" or "acciaccaturas~' (or even to omit them entirely, as Rachrnaninoff

teaching at Warsaw ... would have embraced thoroughbass, modified species counterpoint, and chordal succession by Grundbass. "

does)?' The matter is seldom mentioned in nineteenth-century keyboard treatises. The

absence of clear instructions regarding the performance of "acciaccaturas" mi@ be due

to more and more Long appoggiaturas beïng Wntten as large notes as the nineteenth

century proceeded, while more srnail notes were played before the beat Cramer

(c. 1825), one of the few writers who uses the tenn "acciaccatura," considers the slash

through a smdl note as the sign for the "acciacatura, or short beat," in which the srnail

note "...is passed very quick, [and] the force is given to the principal note? This

description is almost identical to that of Czerny's "short" appoggiatura, which Czerny

states is "stmck together with the accompanirnentn Le., on the beat3' Marchesi's singing

method (1 886) defines the acciaccatura or "crushed note" as "a rapid litîle note which

precedes by a tone or a semitone the second note which is lower," although Marchesi

does not speci@ that the rapid note be placed on the beat?

Marchesi's teacher Garcia (1 847) considered the acciaccatura a specific type of

"appoggiaturaY7 or "Little note" that was placed on the beat and used only in descending

passages, and previously he had stated that both the acciaccatura and the large note

following it were to be performed q~ickly."~ The "liveIyy' movement through the

acciaccatura and the note irnrnediately following wodd be conhnued to the third note.

The "lively and resolute character" of the acciaccatura was meant to deliberately

331n a recording of Chopin's Op. 35 sonata c. 1935 (re-released on compact disc RCABMG LC-03 16), Rachmaninoff omits the grace notes in the Scherzo, perhaps due to the rapidity of tempo- Y J o h a ~ Baptiste Cramer, Imtrzictions for the Piano Forte. 3rd ed. (London, c. 1 82S), 32. Cramer does not mention the Long appoggiatura. 3ïCzemy7 16 1. 36Mathilde Marchesi, Bel canto: A theoretical and practical vocal methoci (Paris, 1886; reprint, New York: Dover Publications, l97O), 35. 37Garcia, Part II, 12 1, 123.

disîinguish it from the even rhythm of Û i p l e t ~ . ~ ~ In Hinrs on Singing (1 894), Garcia

associates the acciaccatura with not one but two quick upper auxiliary notes which

embellish a main note.3g In vocal conte-, beginning an acciaccatura on beat could

serve to accentuate the second k a t by delaying it slighdyY

In keyboard works in quick tempi, the Merence in effect between a shoa

descending appoggiatura placed on the beat and an ornamental note placed ahead of the

beat would likely be negligible, and both could serve to accentuate a repeated note or

group of notes. indeed, Sandra Rosenblum has suggested in informal conversation that a

strong tradition of placing certain small notes-including those between repeated

notes-before the beat had become estaHished by the end of the eighteenth century,

although such a tradition remains largely unmentioned in nineteenth-century tuton. The

section of Chopin's Op. 35A beginning at m. 50 features a very rhythmic mazurka topos

with small notes preceding the repeated open fifths on the second beat (see E x 3-9).

Playing the octave small notes before the beat, in a context that is dance-like rather than

vocal, could add to the desired accentuation of the second b e d O

As noted earlier, Chopin's notational choices with regard to "appoggiaturas" in

Opp. 35 and 58 may have been influenced largely by his formal training based on

eighteenth-century models. Although appoggiaturas in the melody are aligned with the

bass note on the beat in Dubois's aanotated score of Op. 58, Chopin appears reluctant to

wrïte such appoggiaturas as large notes. An awareness of historical practices surrounding

38Garcia, Part 1, 15 1. 39Manuel Garcia ii, Hinfs on Sing»tg (London, 1894); facsimile repr. with an introduction by Byron Cantrell (Caloga Park CA: Summit Publishing Co., 1 970)' 4 1. 'O Rachmaninoffs interpetaiion that omits the srnaIl notes entirely, perhaps due to the rapidity of the tempo.

small-note "appoggiaturas," including acciaccaturas, is essentid in comprehenduig the

performance of small notes in Chopin's music.

Occasionally, Chopin notates rnelodic dissonances in Op. 35 and Op. 58 using

large notes when such "dissonanceff codd be perceived as momentiiry and fleeting In

such cases, a small note may embdish the large-note dissonance. For example, in Op.

58/I in m. 63 (Ex. 3-10) and again in m. 176 (see Ex 3-76), the s m d note in the

right-hand line repeats the previous pitches, but creates a consonance with the foIlowing

bass note rather than a diss0nance.4~ The passage in the recapitulation is marked

Zeggiero, and the texture at the beginnïng of m. 176 suggests a lightness of attack that

would cause the large-note dissonance above the bass to be perceived as very short. The

e&t of placing the small note in m. 176 on the beat wodd be to displace the ninth

above the bass, thereby enhancing this highly expressive dissonance.

Example 3-10: Op. 58A, mm. 60-63 (autograph fair copy, c. 1845)

41 In the 1865 and 1873 Gebethner & Wolff editions, this grace note is given as a step above the principal note (Le. E instead of D), although the autograph and the 1878 Breitkopf & Hiktel show a repeated D. This has been emended in the 1882 Gebethner & Wolff edition.

A similar effect is suggested by the right-hand small note preceding the third beat

in m. 53 of Op. 35/m. This small note, which occurs near the end of the lyrical "Trio"

section, is found in the Troupenas edition (Ex. 3-1 1), as well as the 1860 Richault and

the 1882 Gebethner & Wolff editions. However, it is absent fiom the earlier German

sources. The single small-note C at the end of the prepared trill repeats the pitch of the

fïrst preparatory note before Ieaping a seventh to B-flac which again represents a ninth

above the bas. As in m. 176 of Op. 5 8 4 delaying the dissonant rnember of the

dominant harmony by placing the small note on the k a t wodd enhance the expressive

impact of the dissonance,

Example 3-11: Op. 3 S m mm. 50-54 (Troupenas ed., 1840)

A consonant mal1 note that anticipates the following pitch (or pitch-class) occurs

at m. 63 of Op. 58A (see Ex 3-10) and at mm. 254 and 258 of Op. 58/IV (Ex. 3-12).

96

Example 3- 12: Op. 58/IV, mm. 248263 (autograph fair copy, c. 1845)

At m. 63, the autograph fair copy shows the smail note aligned wîth the bass on the

downbeat. None of the sources of Op. 58LV explicitly indicate @y means of annotated

lines or slurs) that the "appoggiaturas" in mm. 254 and 258 would be aliped with the

following bass note on the beat. However, there is no reason to suppose that their

execution would be significantly different than that of any other "single appoggiatura," " and these consonsant small notes codd have been placed on the beat as well.

42 Cramer (1 825) shows a grace note, complete with diagonal line, ahead of a main note an octave above it. Aside fkom the fact that this figure occurs in the bass in Cramer's treatise, it is othenvise surprisingly similar to the grace notes that leap an octave to the main note, found in the finale (mm. 254 and 258) of Chopin's Op. 58 sonata. Cramer calls this figure portamento and states that it is played "quick, dwelhg on the second note, which is sustained-" He gives an alternative title as the "short Appoggiatura." (p. 38) The implication is that, while it is the second note (i.e. the main note) which is sustained and thereby receives the "accent," the first note (Le. the small note) is the one which is actually placed on the beat. The termportamento is rare in other keyboard treatises of this time, suggesting that Cramer might have borrowed ce- terms such as portumento and acciacatura nom vocal usage.

The opening section of Op. 35/III, the 'Marche funèbre," contains many

ornamental notes in the rnelodic h e . These smali notes are pitched a diatonic step

above the following main note, and ail are notated as eighth-notes (Ex 3-1 3).

Example 3- 13: Op. 3 5 m , mm. 1-15 (Troupeuas ed, 1840)

Some, such as those which precede the downbeats of mm. 4,6, and 10, embellish notes

that are already dissonant. These "appoggiaturas" may serve to draw attention to a

metrically accented note in a weak position in the phra~e.4~ Other small notes precede a

weaker beat in the measure and repeat the previous pitch, as in mm. 7-8, thereby creating

431n the manuscript fair copy, what may have been a grace note in the nght-hand lïne at the downbeat of m. 4 has been crossed out Since m. 4 is part ofthe fint occurrence of the famous opening statement of the Funerai March, it would be logical to have omitted the decorative grace-note here and to reserve the embeilishment for successive iterations. Later sources based on the first German edition (i-e. the editions of Gebethner & Wolff and the 1878 Breitkopf & Hartel edition) also omit the grace note in m. 4.

previous sonority and may function as as a "Yriple appoggiatura" by displacing the

following melodic note.

Although most of the ''app~ggiaturas'~ in Chopin's sonatas repeat the pitch of

either the preceding or the folIowing main melodic note (or both). unprepared smalI

notes and those which are approached by means of a disjunct interval are found in Op.

5 8 A 7 the only movement which is marked "cantabile." The ropos of the outer sections

of the movement is that of an Italianate "soprano" aria, and Chopin's use of

"appoggiaturas" in this movement parallels that described by Garcia with regard to

Italian vocal practices. The influence of Garcia's singing method is apparent in

Godefioid's piano method (1 86 l), although the notation differs slightly. Godefioid

shows both small-note and large-note unprepared appoggiaturas coinciding with the beat

in a '"Lento" movement (see Ex. 3-3)?

In the "Largo - cantabile" third movement of Chopin's Op. 58, a srnail-note F# in

m. 9 (and in the parallel place in the reprise, m. 103) embellishes the last sixteenth-note

of the measure, E, having been approached by leap fiom the preceding rnelodic note, D#.

These unprepared appoggiaturas or "'escape tones" embellish the melodic line in the

second four-bar phrase of the opening section, and they add to the perception of varied

repetition that wouid be created by a singer embellishing this rnelodic line on its second

occurrence. The relationship of ornamental notes to the singer's art is strongest in the

Meissonier edition, where the four-bar phrase containing the unprepared appoggiaturas is

given a separate slur that might correspond to a singer's " k e a t h (Ex 3-14). By

contrast, the first Gemian and Engiïsh editions show a longer, continuous slur that seems

to negate analogies wÎth "breathing."

Example 3-14: Op. 58/IïI, mm. 1-12 (Meissonier ed., 1845)

In the German and Polish sources, a smaii note found in the initial statement of a

melodic or thematic idea is usuaily also found in subsequent statements of this idea. By

contrast, in the French editions, the "appoggiatural' rnay be reserved for the subsequent

recurrence of the theme. The dserentiated use of ornamental notes in the French

sources rnay represent a notated attempt to indicate varied repetition, a practice still

common among singers of the rnid-nineteenth century. The effective use of varied

repetition is eloquently descnbed by Garcia:

One should Vary a thought each tirne it is repeated, whether in its entirety, or in part; that is indispensable both to give a new c h m to the thought, and to sustain the attention of the lïstener, The pieces which are based upon the retum of a motive, the rondos, variations, polkas, the aias and the cavatinas with a second part, are particdarly intended to receive omaments, These alteratious, in their disposition, shoufd foUow an increasing progression One fint saves his means of effect, and preseats the motive in au its simplic3y at its exposition; then one mixes into the fiist repetition some omaments or accents ciifferent firom the nrSt,- hally, one increases and varies more and more, at each repetition, the omaments and accents. "'

As will become apparent in successive chapters, the principle of "varïed repetition" is

demonstrated in the French sources by means of pedalling and dynarnic markings, as

well as through the use of ornamentation.

The writings of modem scholars sometimes demonstrate a lacking awareness of

the function of small notes in Chopin's music, not only with respect to their role in

embellishing a melodic or thematic idea but also in relation to the historic conception of

small notes as "appoggiaturas." While Thomas Higgïns observes that Chopin's use of

small notes departed from generally accepted procedures of the early nineteenth century,

Higgins restricts his observations to notation alone. Wiggins maintains that conventional

pianistic practice of the time was to indicate the duration of an appoggiatura by the value

of the small note that preceded the main note, and for "short" appoggiaturas to be

marked by a slashJ6 Such unifomity would certainly have been desirable in the eyes of

Charles Chaulieu, but dortunately it is not always evident in contempraneous

keyboard treatises. The lack of discrimination in Kalkbrenner's treatise between slashed

and non-slashed appoggiaturas suggests that, if there were any unifomity at all, it would

be in the consistent realization of appoggiaturas as "short," and Czerny's opinion that the

"short" appoggiatura was more useful than the "long" one seems to affirm this. If Chopin

"Garciflaschke, Part II, 1 1 1. J6Higgins, 108-

departed from the "general pedagogical dicta" of his time, it appears to have been in his

understanding of the "long" appoggiatura as an expressive dissonance, as well as in his

extension of the "appoggiatura" fiinction to an ornamental note or group of notes falling

on the beat which displaces a melodic note. As in the latter part of the eighteenth

century, context rnay have been a more critical factor in determining the length and

delivery of an "appoggiatura" in Chopin's music than an adherence to the alleged

notational conventions of the nineteenth century.

Higgins does appear to be aware of Chopin's non-conforrnity in notating

ccappoggiaturas," for he identifies a case in which the durational values of Chopin's srnall

notes, if taken literally, wodd be rather ambiguous. In the second measure of the

Prelude, Op. 28, No. 21 (1839), the written time value of the srnail note would leave no

room in the rneasure for the principal note.'" Clearly, the written durational value of a

small-note "appoggiatura" does not necessarily correlate to realization in performance.

By the 1840s, when the sonatas were published, Chopin's choice of notation rnay reflect

his struggle to comrnunicate specific information to the nineteenth-century perfonner,

even as his own fiame of reference induded Iate eighteenth-century conventions such as

the notation of "dissonance" and the role of good taste and context in the realization of

ornarnents.

The Mordent

According to Higgins' "general pedagogical dictatr of the nineteenth century, the

mordent begins on the principal note and employs the upper (rather than the lower)

auxiliary? Although Higgins does not define his understanding of u mord en^" it appears

to be consistent with a modem conception: that is, two short notes preceding a main note

which consist of the pitch of the principal note and its upper adliary. The tenn

ccmordent'3 is seldom found in keyboard treatises £kom the first half of the nineteenth

century, yet symbols correçponding to ccmordents'~ in the modem sense are present

(although infrequently) in the sources of Chopin's sonatas. In order to understand what

such symbols might have represented to Chopin, it is necessary to consider the

associations of the "mordent" in eighteenth- and nineteenth-century usage.

Several writers of keyboard treatises in the late eighteenth- and early nineteenth

centuries identie a figure that consists of a rapid movernent, beginning on the beat, fiom

a principal note to the note a diatoaic step above and back, but few cal1 it a mordent-

According to Maipurg (1755), three quick notes beginning on the beat with the main note

moving to the upper auxiliary, and back again, origuiated as a particular type of tri11

termination, and he applies C.P.E. Bach's term-the "SchneLler"-to this figure. Marpurg

notes the resemblance between the "Schnellerl' and an inverted mordent, but prefers to

avoid such terminological associations since they only lead to confusion." Clementi

(1 80 1) refers to the same three-note figure as a "short shake beghïng with the note

itself? AS previously noted, Cramer (1825) and Czerny (c. 1839) also consider the

principal-upper auxiliary-principal figure a type of shake that is executed rapidly and

without tuming notes. These wrïters refer to such a figure as the "transient ~ h a k e . " ~ ~

In France, Chaulieu's C m s analytique (1 834) defines the bris& or mordant as consisting

of two or three small notes which are short, brilliant, and hammered, and this oniament

is considered to belong to the staccato "genre." In general, says Chaulieu, the mordant

should be played lively and detacheci, and the main note should be played in time with

the bas s2

A different conception of the mordant than that advocated by Chaulieu is found

in an earlier treatise on singing and violin playing, that of Ignaz Franx Xavier Kuninger

(1763). Küninger suggests a lighter and more gentle style of execution, and his treatise

includes both ascending and descending figures (chromatic as well as diatonic) under the

desimation mordant." In his chapter on 'Manieren" [i-e. omaments], Kürzinger

discusses tremolo [dm Beben der Stimme] together with the mordant, but draws a

distinction between these two ornarnents and the trzllo. Whereas the friZZo consists of a

sharp and clear attack involving two neighbouring sounds, the tremolo consists of the

eentlest vibration [allerlindeste Schwebung] of a single tone." The mordant resembles Y

the tremolo in that it is executed gently, although it consists of two discrete sounds or

pitches, like the rrillo. Kürzhger reinforces the equivalence of the tremolo and the

mordant by using a horizontal line to symbolize both orna ment^.^^ Throughout his

"Cramer, 34; Czemy, 163. Czerny adds that, although the transient shake begins on the beat, the accent falls on the '?hird or written note." S2Chaulieu, 86. s31gnaz Franz Xavier Kihinger, Getreuer Uhterricht -am singen mit Manieren, und die Violine zu spielen (Augsburg: Lotter, 1763), 40-4 1. YKllrzinger, 35. %id.

treaîïse, Kiiranger generally empïoys Italian terms, amd it is interesting that he uses the

French term mordant to describe the three-note figure beginning and ending with the

principal note. The tenn is not found in French vocal. treatises of the penod, such as

those of Bérard or Raparlier.

The Italian cognate rnordente also appean to have communicated a different style

of execution than did Chaulieu's mordant. Mancini's singing treatise (1 774) identifies

the rnordenre (derived fkom the trill) as consisting of a "fdse note" [nota faka] a

half-step below the main note, which is beaten more slowly and "with less strength and

less value than the real note [nota vera]. r66 Mancini's description of the execution of the

mordente, therefore, is consistent with C.P.E. Bach's "'slow mordent" [Zangsamer

Mordent].s7 Half a century after Mancini, Richard Becon (1824) Lists the trillo-mordente

("shake with a beat") as one ofthe eight types of trîlls descnïed by Tosi, noîing it is

often used after an appoggiatura The term rnordente still refers to the lower auxiliary at

the end of the turn (Le., the tuming notes).58

In a similar fashioq Garcia (1841) uses the term mordente to descnbe the turning

notes at the end of a while he employs mordant - to refer to the "double

appoggiaturasy' (i-e., two small notes) which may p r e f a e a large note? Garcia's musical

examples show the mordant figure beginning on the pilincipal note and moving to either

the upper or lower auxiliary before returning to the prËncipal note. These figures, Garcia

- ~ -- - p - p p - - - - p p -

56Mancini, 5 1. 57Carl Phillip Emmanuel Bach, Versuch über die w u h ~ e Art das Clavier zu spielen (BerIin, 1762); trans. William Mitchell as Essay on t h e Tme Art of Playing Keybourd Instruments (New York: Norton, 1949), 132, '%acon, 1 13. 59Garcia, Part 1, 167-168. 601bid., 151.

notes, are called rnezzi gruppetti by some wTiters6' Garcia's description of the mordant

thus appears very similar to that of Kiirpnger (1763). Just as Krrrzinger compares the

execution of the mordant to the gentle vibration of the trernolo, Garcia Iikewise

recommends an "extreme lightness" produced by modifications of the pdsating or the

trembiing of the throat."

Garcia observes that if "triple appoggïaturas" (Le., three mal1 notes), either

ascending or descending, are found in fiont of a large note, such figures may be caHed

gruppetti. He uses a sideways "S' sign or small notes to indicate a gruppetto." In the

second part of his treatise (1 847), Garcia equates the "mordent" [mordente] with the tum,

which may be symbolized either by the "tum" sign or by means of three small notes?

The purpose of the "mordent," according to Garcia, is "to cal1 attention to a note or

detail," and it rnay be placed afier the note to which attention is to be drawn as well as

before it? Execution of the "mordent" depends on context, as its character may be

"lively for sentiments which require verve and energy," but "slow in the tender and

melanchoIy ~entirnents.''~

Reflecting another chronoIogica1 stage in the shifting meaning of "mordent",

Garcia's student Marchesi (1 886) applies the term mordente to a group of two or three

smali notes that are written out before a main note and take their time from thk main

note.67 Perhaps unaware of Garcia's differentiation between mordente and mordant,

%-arcia, Part 1, 15 1, 62Garcia, Part II, 129. 63Garcia, Part 1, 15 1 - 64Garcia, Part II, 124, 229. 6SIbid., 224. 661bid. 67Marchesi, 40.

Marchesi appean to substitute the term mordenie for mordant, using mordenle to mean

a prefk rather than a suffuc Marchesi does not specify whether the upper or lower

auxiliary is to be used; presumably, the written-out notes would make this clear.

It would appear, then, that Higgins' usage of the term "mordenty7 corresponds

more closely to the rnordmt, as described in the singing treatises of Kiirzinger and

Garcia and echoed in Chaulieu's piano rnethod, than it does to either the

eighteenth-centuiy (which involved movement to the lower auxiliary) or to

the term mordente (which originally indicated a su£& at the end of a triII). There are no

indications that the mordant would not have begun on the kat . In fact, Godefioid (1 861 )

states that the murdente or brisé is a type of double or triple appoggiatura which

cborrows77 f?om the value of the following main melodic note?*

The horizontal line that modem musicians often associate with the "mordent" is

found in Kiirnnger's treatise on singing and violin playing, where it is given as the

symbol for both the tremolo and the rnordan~" Like Kürzinger, Garcia equates the

horizontal line with the mordant in the text of the first part of his treatise (1 841 ), but

does not use it in his musical e~arnples .~~ Instead, Garcia uses ma11 notes to indicate the

mordant and places the small notes ahead of the main note. Godefroid's piano method

(1 86 1) uses both small notes and the sign of abbreviation, and the sign may designate

either a single or double altemation with either the note above or be10w.~'

68 Godefioid, VI. ' l e mordente ou brisé est en quelque sorte une appogiature double ou triple, qui se place également devant une note principale du chant, et lui emprunte une partie de sa valeur." 6PKUmnger, 35. "Garcia, Part 1, 167-168. 7L Godefroid, VI. "...il indique un brise ou battement simple ou double de la note sur laquelle il est posé, avec la note supérieure ou inférieure."]

Both types of notation, the "mordenty' s i s and the d e n - o u t small notes, are

found in Chopin's Op. 35. In general, the Engtish, German and Polîsh editions employ

the "mordenty' si@ (i-e., the horizontal h e ) , whereas the French editions favour small

notes preceding the main note. In addition, the use of mordents (Le., two iterations of

the main note separated by an upper aioùliary) in structural repetitions is more varied in

the French editions. An example £tom Op. 35 will serve to Wustrate these differences.

The manuscript copy of the third movement of Op. 35 entitled 'Warsche [sic]

funèbre," as well as the manuscript fair copy for the Breitkopf & Hartel edition mers

fiom the first French edition of the "Marche funèbre" in several respects, including the

presence of a "mordent" in the Trio. In the manuscript sources of Geman provenance,

as well as in subsequent German and Polish printed sources, the "mordent" (notated by

means of the horizontal line) is found in the initial statement as well as the restatement

of a lyrical melodic idea in mn 36 and 52 (Ex. 3-15a). However, in the Troupenas

edition, the omament appears only at the second occurrence P x 34%).

Example 3-15a: Op. 3 5 m mm. 34-39 ("Marsche funèbre" copy)

Example 3-15b: Op. 3 5 m mm. 32-54 (Troupenas ed., 1840)

The small notes in the Troupenas edition c l a m that tlie upper auxÏlÏary, F, would

decorate the main note, E-flat. This notation suggests that the function of the omament

would have been equated with that of the "double appoggiaîurq" and that the first of

these notes would have been placed on the beat in order to create a sense of heightened

expression, as well as variety, on the second appearance of the rnelodic idea.

In m. 1 12 of Op. 3 5 a a "mordent" is writîen out in smaU notes in al1 sources. In

the printed sources, the smail notes are placed ahead of the corresponduig bass note.

However, the manuscript fair copy clearly shows the fust of the two small notes aligned

with the bass note on the downbeat of m. 112 (Ex 3-16), suggesting that the "mordent"

would have been begun on the beat The pitches involved are those of the principal note

and the upper auxïliary.

Example 3-16: Op. 3 5 m mm. llC117 (manuscript fair copy, r 1840)

The realization of "mordents" in the second sonata,

involved the upper auxiliary, although this is not confirmed

Op. 5 8, may also have

by srnall notes. Even the

French sources of this sonata show the line. This symbol is present at m. 14 1 of the first

movement in the autograph as well as in the French and English editions, but is omitted

in both Breitkopf & Hàrtel editions as well as in the 1865 and 1873 Gebethner & Wolff

editions. The ccmordent" s p b o l has, however, been restored in the 1882 Gebethner &

Wolff (EX. 3-17).

Example 3-17: Op. 5 8 4 mm. 139-141 (Gebethner & Wolffed., 1882)

Contextual evidence that the mordent might sometimes be associated with a

slight retardaion of tempo is found in the autograph fair copy of Op. 5 8 5 at m. 32 (Ex

3-1 8) and again at the p d l e l point in the reprise at m. 188, These measures contain the

markingpoco ritenuto, followed in the next measure by a tempo.

Example 3-18: Op. 58/11, mm. 25-34 (autograph fair copy, c. 1845)

The tempo of the Scherzo is marked 'Molto vivace," and this section is characterïzed by

an almost continuous flow of eighth-notes in the right hand. Thepoco ritenMo signais

the retum to the main theme of the section in the next measure, and the function of the

mordent, therefore, might be to assist in stretching the tempo at this structural point. The

Meissonier edition does not show the poco ritenuto or a tempo markings, nor does it give

the "mordent" symbol found in the German, English, and Polish sources,

The editors of the 1878 Breitkopf & -el edition of Op. 58m clarifi that the

upper auxifiary would be used for this mordent. In mm. 32 and 188, the note marked by

the "mordent" sign (A-flat) is followed by the semitone below it (G), which then returns

to the main note. Executing the ornament with the Iower auxiliary wodd cause the

following large note, G, to sound redundant. By contrast, a mordent consisting of

principal-upper auxiliary-principal, followed by the lower auxiliary and main note

written out as large notes, would effectively create an elegant turn or gruppetto beginning

on the main note- The 1878 Breitkopf & Hartel edition adds a flat sign above the

"mordent" -bol (Ex 3-19), confimiing that the omament would involve the diatonic

upper aiuciliary @-Bat) rather than the raïsed version of the upper auxiliary (B-natural)

found earlier in the rneasure.

Example 3-19: Op. 58/II, mm. 25-32 (Breitkopf & Bartel ed., 1878)

In the examples cited fkom Op. 58, c4mordents" in the German sources may

coincide with an upcoming structural juncture and appear in conjunction with

note-values that are of short duration in the given metre and tempo. In the second

movement, a tempo change associated with the "mordent" is specifically indicated; in

the first movement, it is implied. The turn figure created by the addition of the

"mordent" in m. 141 of Op. 58/I codd contribute to a slight relaxation of tempo as the

retransition to the tonic major of the recapitulation is prepared If this were the case, it

would be logical to execute the "mordent" somewhat languidly (as suggested in treatises

on sin,~g) rather than as a short, brilliant snap (as suggested by Chaulieu and Czerny).

Nevertheless, bot . styles may have been possible, depending on context. GodefÎoid's

method (1 86 1) states that the execution of the mordenre may be inhitely varied on the

piano: it may consist of two, three, or four notes, and may be close to or far fkom the

main note that it embellishes (Le., executed quickly or slowly), according to the player's

discretion 72

The Gnip~etto

According to Thomas Higgins' sumrnary of early nineteenîh-centq "pedagogicd

dicta," the gruppetto may begin on either the upper or lower auxiliary, "depending on

whether it moves d o m or up fiom its beginaing point"" Like the term "rnordenf" the

word "gnippetto" is rarely found in keyboard treatises from the first half of the

nineteenth century, althougti writers such as Clementi (1 80 1) and Czerny (c. 1839)

identiQ various types of "tunis" that correspond to an ascending or descending

gruppetto." Cramer (1 825) uses the horizontal "S" sign to si@& a turn (ascending

only), while Kakbremer (1 835) prefers written-out shakes and t~rns.~ ' Adam (1 805)

notes that the redouble or brisé is called C'gnippetto" by the italians, and empIoys the

horizontal "S7' sign to symbolize this ~ r n a r n e n t ~ ~

Godefioid (1 86 1) identifies the gnippetto as either three or four notes of the

c'appoggiaturayy family which may either be wrïtten out as small notes or symbolized by

the horizontal "S" s i s . It is more precise, according to Godefroid, to refer to three small

notes placed before a main note as a mordente, in which case the execution rnight be

-

72Godefroid, Vi- "Le mordente se varie a l'infîni, au piano surtout; il se rapproche ou s'éloigne a volonté de la note principale, et se compose de 2-3 et 4 notes." 73Higgins, 1 0 8. 74Clernenti, 10- 1 1; Czerny, 163- 165. 75Cramer, 3 1; Kalkbrenner, 6. 76Adarn, 159.

relatively quick and the stress would fall on the first ofthe tliree notes." By contraçt, the

gruppetto properly consists of four complete notes, oFa more or less expressive

character, which derive their value fkom the prolongation of the first note. It should be

executed without haste, givïng more weight and tength to the first two notes and

successively lightenùig the latter ones."

By 1 840, Chopin appears to have adopted the ccexcellent pmctice" of writing out

ornamentai pitches as maIl notes. There are no examples of the 'Yum" sign in the Opp.

35 or 58 sonatas. The present discussion focuses on gnrppem &en out as small notes

in Op. 58 (since there are no such small-note gruppetti in Op. 35), although incidences of

large-note gruppetto figures are also discussed briefly.

The vaitten-out gruppetti in Op. 58 always begin on the upper auxiliaxy. Like

most of the other ornaments in this sonata, small-note gruppetti are found in Iyrical

contexts, such as the sostenufo theme of Op. 58/I and the reprise of the cantabile section

of Op. 58/m. The gruppetti in this sonata may be categorized as one of two types. One

type begins with repeated iterations of the main note, while another type features a more

ornamental ending-

Examples of the first type of gruppetto are found in mm. 104 and 115 of Op.

58m. In m. 1 15, the last note of the gruppetto figure (i-e., the principal note) contains a

77 Godefroid, VI. "...son exécution est brève et prend sa force sur la première des trois notes qui le composent- II se fait en dessus et en dessous." 781bid "Quant au véritable gruppetto, celui qui comprend quatre notes pleines, il se place entre deux notes principales et prend leur caractère plus ou moins expressif, en emprutant toute sa valeur à la prolongation de la première note. Nous l'appellerons le gruppetto chantant, parce qu'il doit chanter sans précipitation, en portant la force sur les deux premières notes, qui s'exécutent plus lentement que les deux dernières, dont le mouvement plus rapide et plus léger ajoute une grâce infinie à l'accentuation d'attaque de gruppetto. Par extension, par développement, le gruppetto peut être porté à cinq ou six notes, plus même ..."

slash, suggesting it be treated as an c'appoggiatura'' to the next meIodic note, a fifth

higher. The gruppetto in m. 1 15 is marked with a crescendo wedge in the French

editions, indicating a gentle increase in volume going into the Ieap (Ex 3-20a).

Example 3-2Oa: Op. 5 8 a mm. 103-120 (Meissonier ed., 1845)

The i 882 Gebethner & Wolff, edited by Jan Kleczynski, shows a change of fingering on

the repeated notes (Ex 3-20b), perhaps implying a relatively quick delivery. Chopin

himself did not approve of changing fingers on repeated notes, according to

Francho~nme.~~

7g~uguste Franchomme, cited in Eigeldeinger, 48. "Chopin could not tolerate the alternation of fingers for repeated notes in moderate tempo. He preferred the repeated note to be played with the fingertip, very carefully and without changing kgers."

Example 3-20b: Op, 58/IlI, mm, 111-120 (Gebethner & Wolff, 1882)

In most sources, the b a s notes underneath the gruppetto figure in m, 115 are visually

spread out, and thîs might suggest that the accompaniment be drawn out so as not to rush

the execution of the lyrical ornament.

In m. 104, the ornamental notes on the fourth beat begin with a repetition of the

main melodic note, followed by the gruppetto itself, and end on the principal note. This

gruppetto does not involve an upward melodic leap but simpiy decorates a melodic note

near the end of a phrase. The autograpb fair copy (Ex. 3-21) and the German, Polish and

English editions show the marking "dim-" ïmmediately below the gruppetto figure,

perhaps indicating the type of diminuendo that Chopin associated with the expressive

gruppetti of singers such as Gladkowska"

'O Chopin notes in his letter to Tytus Wojciechowskï dated October 5, 1 830 that Constance Gladkowska tapers groups of four sixteenth-notes with a diminuendo rather than cutting them off short, producing an effect that is "not a quick gruppetto, but eight clearly Sung notes." This comment aiso hplies that "diminuendo" may have involved a

Example 3-21: Op. 58AQ mm. 100-110 (autograph fair copy, c 1845)

The second type of gruppetto ends with the addition of an escape tone above the

upper auxiliary, and the escape tone then descends. Examples are found in m. 81 of the

first movement of Op. 58 and in m. 102 of the third movement, Both of these gruppetti

occur during the second repetition of a phrase or subphrase, and both embellish

previously-heard rnelodic material. En m. 81, the autograph fair copy shows a vertical

slur between the lower and the upper voices in the right hand immediately prior to the

gruppetto, suggesting an agogic displacement of the melodic note at this point (Ex. 3-22).

In m- 103, a sweeping diatonic scale that spam a tenth is interpolated after the initial

gnippetto and before the embellished escape-tone resolution The autograph fair copy

shows the Iast bass note aligned with the escape tone (A#), the point at which the scale

culminates and the descent begins (see Ex 3-2 1), and this aligment might suggest that

the last three notes (A#, G, E) of the ornamental figure be played as a triplet.

slight relaxation of tempo.

Interestingly, the French edition gives a separate dur to the gruppetto figure in m. 102,

implying that the figure might also warrant a separate "breath" Le., a single movement of

the Wrist,

In addition to small-note gruppetti, Op. 58LE contains four incidences of

gruppetto-like figures expressed as large notes. The pitches are identicd in d l four

cases: at mm. 6 , 10, and 2 8 (Ex. 3-23), and again at m. 100 in the reprise. These

gruppetti are notated as triplets begïmhg on the upper auxiliary and are preceded and

followed by the main note. The large-note notation codd perhaps be interpreted as

indicating a broader and more deliberate execution than is implied by the small-note

figures, and the notation of the farge-note gruppetti in the autograph fair copy might

suggest a fieedom of placement and execution relative to the steady left-hand

acccornpauiment, The fkeedom of the melody to deviate fiom an established metrical

fiamework provideci by the accompmhent is characteristic of Chopin's d a î o (as will

be discussed in Chapter S), and it is interesting that small notes may a c W y suggest a

more metricaily "strict" execution in some circumstances than large notes.

Example 3-23: Op. 58/m, mm. 6-21 (aotograph fair copy, c 1845)

In Hints on Singing. Manuel Garcia II (1 894) defines the gruppetto as "the

combination of the descending and ascending appoggiatura with the principal note.""

However, Garcia's musical examples show gruppetti begining ody with the upper

auxiliaxy (Le. the "descending appoggiatura"), even when the melody moves upwardg3

Like the examples given by Garcia, Chopin's gruppetti in Op. 58 aU begin with the upper

awïliary and are foliowed by the principal note.

Althou& Garcia does not discuss repeated notes in the context of the gruppetto,

he States elsewhere that the purpose of repeated Dotes is to sunain a pitch. He advises

singen to create repetitions of a pitch by "articulations of the glottis," and to perform

82Garcia, Hints on Singing 4 1. 831bid. 41-42. Garcia's examples are taken Eorn HayQ Rossini, Zingarelli, and Cimarosa.

them 'clegato."w Chopin's repeated notes prior to the gruppetto at the end of Op. 58/m

(m- 104) may also reflect a c7egatoy7 quality, and the expanded spacïng between notes in

the bass fine in the EngZish and French editions at this point seems to confirm îhat the

accompaniment would accomodate the flexiiility of the vocal Zine. The change of

fingers on these repeated notes given in the 1882 Gebethner & Wolff edition rnight

suggest a faster, more virtuosic (and "pianistic") interpretation tban the vocal rendering

implied in the early sources. Such an interpretation would be more consistent with the

brilliant execution of mordent5 and gruppem descnied by Chaulieu and Czerny than

with the vocal idioms in Opp. 35 and 58 in which most of these ornarnents appear.

SuInman,

Ornamental notes in Chopin's Opp. 35 and 58 sonatas are most often w-ritten out

as small notes. These small notes, which modern musicians might cal1 "grace notes," are

treated as "appoggiaturas" in the sense evident in Garcia's vocal treatises (1 84 1 and

1847) and in Godefroid's École chantante du piano (186 1). That is, "appoggîaturas"

consist of essentially any ornamentai notes-single, double, triple, or even larger

groups-that are placed on the beat and serve to displace a melodic note. Instances in

the early sources of these sonatas support Jeanne HoUand's contention (based on

annotations in the Dubois scores of small-scale works) that the first of a group of

ornamental notes in the melodic line aligns with the bass note on the beat, thereby

creating a delay of the main melodic note.

Although most c'appoggiaiuras" are found in Iyrical contexts, they are

occasionally present in M e r movements such as the Scherzo of Op. 35. Cramer (1825)

refers to the "acciaccatura" as a "cnished note," similar to the "shorty7 appoggiatura,

irnplying that it would also begin on the beat. By the Iatter part of the eighteenth century,

however, there appears to have been a fairly strong tradition of small notes in keyboard

music being placed before the beat in certain contexts, such as to separate repeated notes.

In light of the repeated notes and open W s in the mazurka topos in Op. 35/II (mm.

50ff-), the sIashed notes could be interpreted as being played slightly ahead of the beat in

order to add the required accentuation to the otherwise unstressed second beat.

In the f ist French editions of Op. 35 and Op. 58 omamentation, uicluding

arpeggiation, is fiequently found in the repeated or subsequent occurrence of a motive, 4

phrase, or period in analogous structural sections, and may represent one means by which

"varied repetition" was notated By contrast, the other sources ( p ~ c u l a r l y those of

German provenance) present a more standardized and "consistent" approach to

ornamentation, and this is also reflected in modem editions such as that of Ekier.

Chopin's use of small notes ui the Opp. 35 and 58 sonatas conveys specific

information about the pitches to be employed in redizing the ornament- In this respect,

Chopin confonns to the preference expressed by Chaulieu that composers should write

out exactly what they want Nonetheless, the timing of ornamental notes and their

duration would still appear to have been governed, to a large degree, by context and by

an awareness of Italian vocal practices.

Chopin's recollections of singers trained in the Italian style, such as Sonntag and

Gladkowska, suggest that the broderies of singers may have been created, at least in part,

by executing traditional omaments in new ways. His description of Mlle SonrïEig's

approach to ornamentation is revealing

She [Somtagl uses a few embroideries ofa quite new type, which produce an immense effect, though less than that of Paganini, perhaps because the iype is slighter- I t seems as Îfshe breathed some perfüme of the tkshest flowers into the hall; she caresses, she strokes, she emaptures, but she seldom moves to tears."

The style associated with such "embroideries" appearç to have been one of lightness and

clarity, sometimes languid and deliberaie, but seldom characterïzed by rapidity or

brilliance. While the writings of pianists such as Chaulieu and Czerny advocate the

short, sharp execution of many small notes, the piano method of Felix Godefioid (1 86 1)

reco-ends the "ancient Italian schooi" of singing as one means of inspiring a new

approach to aspects of piano playing such as omamentation. The implications of such an

approach for keyboard articulation in the mid-nineteenth century is the subject of the

next chapter.

'*E. - L Voynich, tram. Chopin 's Letfers (New York: Vienna House, 197 1 ), 92.

Felix Godefkoid's piano method, which was mentioned in previous chapters,

draws parallels between keyboard articulation and the idection of the voice in singinggl

Chopin's own sketches for a piano method, which are less explicit than Godefkoid's

published method, do not draw such specific parallels, but a vocal h e of reference

underlies these preliminary writings (as noted in Chapter 1). Chopin states that the goal

of technique on the piano is to "control and Vary a beautifhl sound q~ality,'~ and this

goal would seem to presuppose the ability to regdate and Vary the articulative "attack"

responsible for tone on the piano. For generations of pianists, however, the focus of the

relationship beîween articulation and tone production in Chopin's music has been the

cultivation o f a "Iegato" touch, an approach commonly assumed to involve delaying the

release of a key until &er the next one has been stnick, thus resulting in a slight

overlapping of sounds. This type of touch is fkequently considered synonymous with the

sustained tone of singers and is often given elevated statu in the repertory of pianistic

touCh where Chopin's music is c~ncemed.~

This chapter will seek to establish a contextual framework for an historically

informed understanding of "legato" in Chopin's sonatas, as well as for other types of

touch such as sosrenuto, tenuto, portuto. leggiero. and ccstaccato-" Various kinds of touch

represented in the sources of Opp. 35 and 58 (especially the fair copies and the first

Felix Godefioid, École chantante du piano (Paris: Heugel, 1 86 1). Eigeldinger, Chopin: Piunist and Tencher, 3 1-32. Eigeldinger's assertion (p. 104) is typical: "While the art of bel canto is constantly

proposed as a mode1 for pianistic l egate the basis of Chopin's playing and the cornerstone of his teaching ... Chopin considered stuccaro (rare, at least in its pure state, in his compositions) secondary to legato, the real basic type of articulation."

erlitions) will be considered in light of practices of articulation discussed in keyboard

treatises c. 1760-1 860- The conceptual relationship between tems such as "legato" and

"3taccato" and the notational symbols commonly associated wïth them (Le., slur and dot)

will also be examined in order to arrive at a M e r understanding of these symbols in

Chopin's sonatas.

in addition to examining the range of performance possibilities inherent in the

articulation rnarkings in Opp. 35 and 58,I shdl consider the structurai implications of

such rnarkings. As noted in the foregoing chapter, Chopin's formal training in Warsaw

would have exposed him to eighteenth-century ideas on composition, harmony,

cornterpoint, and aesthetics, and his own ideas about conveying periodic structure in a

"Classical" genre such as the sonata rnay have been shaped by his training as well as by

current cornpositional practi~es.~ The idea of juxtaposing diverse affects within a work

or movement by means of conû-asting periods is central to the compositional aesthetic of

the Iate eighteenth and earfy nineteenth centuries, and Chopin's use of the words

"legato," sosrenuro and Ieggiero in the early sources of Opp. 35 and 58 suggests that

compositional distinctions arnong contrasting "periods" may have been heightened, in

performauce, by means of artïculahve contrasts5

' Jim Samson, Chopin (Oxford: Oxford University Press, 1996), 53-55. Samson observes that Chopin had been steeped in eighteenth-century treatises, including those of Albrechtsberger, Kirnberger, and Forkel, during his studies at the Warsaw High School under Josef Elsner. * The term "period" is used here in the eighteenth-century sense, as discwed by Leonard Ratner, Clussic Music: Expression, Form. and Style Vew York: Schirmer Books, 1 %O), 33-34. Rainer observes that the musical equivalent of a rhetorical period (which he defines as "the completion of a line of discourse at a final point of punctuation") involves flexibility of length and intemal organization.

Before tuming to the primary sources, 1 must point out tfiat documented accounts

of Chopin's students on the subject of touch and articuiation sometimes appear to present

contradictory views. A statement attnlbuted to Princess Marcelha Czartoryska6 may

have contrïïuted to the widespread beIief that "legato" in Chopin's music always refers

to a sustained sound that emulates the spun-out tone of Italian singers, and that

"staccato" invariably refers to a high degree of detachment. In an 1882 source,

Czartoryska is quoted as descriiing a reIaxed band that allows the fingers to "sink" into

the keys, thereby creating a "sustained, melancholy sound which..is able to bring out

fiom even the least melodious instrument a singing quality close to that of the Italian

singers whom Chopin recommended as rnodels."' According to Czartoryska, Chopin's

teaching of "legato7' and "staccato" included concepts borrowed fiom violin playing as

well as fiom singing:

in legato playing you should not merety joui the notes, but bind them together, clinging to the keys..-As for staccato, it should be just like ... a violin pizzicato, You can make this marvelious wiration of the string not so much by snatching your hand away fiom the key, as by using a short, dry touch-almost graPng it like a fly brushing againsr its wing.*

However, the "legato" described by Czartoryska, which involves "clinging to the keys"

and binding notes together, is not comptetely in accord with the "legato" discussed in

most keyboard treatises c. 1840 and eartier. Similady, the meaning of in

The Polish princess, one of Chopin's shidents, was regarded by some as the heiress of the Chopin tradition and was aliegedy present at his death-bed (see Eigeldinger, 163). 7 Cecylia DziaIynska (Poznan, 1 8 82); tram Adam Czartkowski and Zofia Jezews ka, Fryderyk Chopin (Warsaw: P W , 1970); cited in Eigeldinger, 32. According to Eigeldinger, Dzialynska "fiequented the salon of Marcelina Czartoryska, who gave her much information on Chopin's teaching," atthough she never studied formally with the Princess. Regrettably, there is no indication of what exactly the Princess rneant by a "singing qua1ity.l'

Czartoryska, cited in Eigeldinger, 3 1.

treatises of this period is not restrïcted to a "short, dry touch" and may instead refer to

various degrees of detachment

A different conception ftom that of Czartoryska is presented by George Mathias,

who studied with Chopin c. 1838-1 845. Mathias regards Chopin's touch as "absoiutely

of the old legato school, of the school of Clementi and Cramer.'" By equating Chopin

with Clementi and Cramer, Mathias places him alongside the early nineteenth-century

Engiish school of pianoforte playing who associated "legato" with a relativeiy connected

delivesr (although by no means a legatissimo one), and this connected style would have

been enabled by the tonal properties of the English instruments. Mathias adds that

Chopin had enriched the basic foundation inherited from Clementi and Cramer "...with a

great variety of t o ~ c h . " ~ ~ In an attempt to reconcile Mathias' view with that of

Czartoryska, the following section traces the development of ideas about "legato"

articulation from the mid-eighteenth- into the nineteenth century.

Legato - and the Slur: A Historical Perspective

Judging fkom the treatises, "legato" had superceded a quasi-detached touch as

normative by 1840, the year in which Chopin's Op. 35 was first published. The nature

of this "legato," however, was that of a comected rather than a sustained touch. In fact,

earIy nineteenth-century treatises explicitly or implicitIy differentiate between the normal

"legato" and a more exceptional sustained sound, and both Adam (1805) and Hummel

(1 829) seem to associate a more sustained touch with the imitation of the human voice.' ' -

Mathias, cited in Eigeldinger, 32. 1°lbid. 'Adam, 150-15 1; Hummel, Part IIi, 142. Hummel notes that the "singing style" (or

Adagio) requires that notes "...be much more sustained, more closely connected, and' as

Keyboard treatises fi-om the h r s t halfof the nineteenth century, fiom Clementi

(180 2 ) and Adam (1 805) to Czerny (c. Z 839), consider "legato" as a connected touch

that resulted from releasing the first key as soon as the next one was ~ t n i c k . ~ ~ In treatises

from early in the century, such as that of Clementi, the slur is used to signie this type of

"legato" touch. However, even in the absence of slurs, Clementi notes that "legato" is

generally assumed when the composer has not indicated o t h e r ~ i s e . ~ ~ In the eariy

nineteenth century, "legato" (in the sense of a connected touch) might function similarly

to the "ordinary progression" descrhed by Marpurg in the mid-eighteenth century, that

is, as the touch to be used when no articulation markings are present.I4

Marpurg (1755) does not use the term "legato," unlike his contemporary Carl

Philipp Emmanuel Bach (1 762)- Nevertheless, Marpurg portrays both slurred and

detached articulation as novel effects that deviate from "'ordinary progression,"

According to Marpurg, "ordinary progression" involves a slight separation between

notes, which is effected by "very swiftly raising the finger fiom the preceding key just

shortly before touching the following note? Marpurg observes that this "ordinary

method of progressing is never indicated [by means of notation] since it is always

a~surned."~~ Slurred and detached articulations, then, would ideally have required some

it were, rendered vocal, by a well-directed pressure" than would normally be the case. 12Sandra Rosenblum, ed., Muzio Clementi, Introduction to the Art ofPZaying the Piano Forte, 1 st e d (London, L 80 1); facsimile r e p ~ t (New York: Da Capo Press, 1974), 8-9; Adam, 15 1 ; Czerny, Vol. 1, 186. 13Clementi, 8-9. ''The difference between Clementi's c'legato'y and Marpurg's ccordinary progression," of course, is that the key is released as soon as the next key is struck rather than just before the next key is stmck. Neither Clementi nor later writers such as Czerny indicate thai, in "legato" playing, a key is to be released after the next key is struck. '5Marpurg-Hayes, W- 1 O. '%id.

type of notational indication. In reality, however, the absence of articulative markings in

eighteentbcentury manuscnpts of keyboard works may sirnply have meant that the

composer had lefi the choice of articuiation to the performer.17

Clementi's Introducrion (180 1) is one of the first keyboard treatises to advocate a

"legato" touch if other indications are absent:

When the composer leaves the legato and staccato to the performer's taste, the best rule is to adhere chiefly to the legato, resewing the staccato to give spirit occasionally to certain passages, and to set off the higher beauties of the Legato. Is

Clementi defines legato as notes marked by a slur. Such notes "must be pIayed in a

smooth and close marner, which is done by keeping down the first key, 'till the next is

struck; by which rneans the strings vibrate sweetly into one an~ther."'~

Like Clementi, Louis Adam (1805) recomrnends that the prevailing touch be a

Iegato one in order to set off the unique quality of the staccato, and that the legato touch

be assuned unless indicated othenivise:

... when he [the composer] leaves the choice of Iegato or staccato to the taste of the interpreter, it would be better to commit oneselfto the legato and to reserve the staccato for certain passages and be able to feeI, by an artfùi contrast, the advantages of legato.20

Adam cautions that the player must be careful not ta prolong the vibration beyond the

value of the note in order to avoid confusion of sound~.~' On the other hand, gaps in the

sound must also be avoided, particuIarly when playing a melody: ~ -- -- -- - --

17Bernard Harrison, Haydn S Keybourd Music: Studies in Pe$ormance Practice (Qdord: CIarendon Press, 1997), 42. '8CIementi, 8-9- 'gIbid, "Adam, 15 1. "Quelquefois l'auteur indique la phrase musicale qui doit être liée, mais lorsquYiI abandonne te choix du leguto ou de sruccuto au gout de 13exécutanf il faut mieux s'attacher au legato et réserver le staccato pour faire ressortir certains passages, et faire sentir, par un contraste amené avec art, les avantages du legato. " "Sec also C.P.E. Bach, Versuch, trans. Mitchell, 149- Bach remarks ''There are many

Lf one terminates a note before its value has expireci, one intemrpts the song/melody--. Sounds shouid unite and b l e d themselves to one another, ifone wishes to appear to imitate the çustaining of the voice?

Adam's technical hrne of reference in "legato" playing involves not only the fïngers,

but the hand as well. When playing notes separated by a leap, "it is necessary then to

bring the hand very promptly fiom one key to the other, without allowing the slightest

interruption to be perceivedh connected notes the hand shodd never leave the

Adam's observation that "sounds should unite and blend themselves to one

another, if one wishes to appear to imitate the sustaining of the voice" implies a more

sustained touch in rnelodic or lyrïcd passages than the "ordinary7' Iegato. Another

keyboard treatise of this period, that of Dussek-PIeyel(2799), hints at the difference

between the normal connected touch and a more sustained touch that may be used for

particular effect:

When a finger has stnick a key, it rnust be Iifted/released at the same t h e as another finger strikes the foiiowing note, unless this note sfiould be susaineci, to sound connected [conjointement] with that which preceded it-'5

In the English version of this treatise, Dussek employs the term "legato," which he

defines as "smooth and c o ~ e c t e d to~ches . "~ Like the first edition of Clementi's

who play stickiIy, as if they had glue between their fingers. Their touch is lethargic; ihey hold notes too long." "A- 150-15 1. "Si l'on quittoit la note avant que sa valeur fut expirée, on interromproit le chant ... Les sons doivent s'unir et se fondre les uns dans les autres, si l'on veut parvenir à imiter la tenue de Ia voix" %id., 15 1. "Dans les notes liées, la main ne doit jamais se déranger sur le clavier." ''Jan Ladislav Dussek and Ignaz Pleyel, Méthode pour le Pianoforle (Paris, c. 1 799); facsimile reprint (Florence: Studio per Editione Scelte, 1992), 14. "Quand un doigt a frappé une touche, il faut qu'il se relève et la quitte en même terns qu'un autre doigt frappe la note suivante, a moins que celle note doive être soutenue, pour résonner conjointement avec celle qui i'a précédée." 25D~ssek, lnshwctions on the Art of PIaying the Piano Forte or Hurpsichord (London,

treatise, which was also published in England, Dussek's English treatise does not

distinguish between degrees of "legato."Z6

Unlike Clementi and Dussek, however, the English version of Hummel's treatise

(1829) differentiates the term "legato" £kom the slur. In this source, "legato" is seen to

denote "the smoothest and most connected manner" md is applied to "the whole musical

pet-iod in which it [the "legato" indication] stands."27 The association of the "legato"

marking with a single structural unit virtually precludes the use of the L'smoothest and

most connected manner" of touch where the terni is not expressly indicated, since this

touch would have been specified for and characteristic of the period in question. By

cornparison, the slur indicates that only the notes directly underneath it are to be

ccconnected together closely and smoothly, withaut lifting up the handm= Thus the slur

may represent a more local effect than does the "legato" indication, which wodd have

structural co~otations." Hummel may have expected the dur might to fiuiction either

as a phrasing indicator or as an incise slur.

1796); microform. 26The mechanism of English pianos (relative to the "Viennese" action of many continental instruments) as well as their capacity for sonority appears to have contributed to a more sustained style of playing in England, and this, in tum, might have minimized the need for distinctions such as those found in continental treatises between a "sustained" sound and a ' co~ec ted" sound, 27Hummel, Part II, 65. "The word legato (tied) indicates also that the whole musical period in which it stands, even when no slur appears, must be played in the smoothest and most connected manner." Interestingly, the specification of "the smoothest and most connected rnanner" for redizing legato is not found in the original German version (Vienna: Haslinger, 1828), where Hummel writes: "Das Wort legaro (gebunden) zeigt ebenfalk an, dass die ganze musikalische Periode, bei der es steht, auch wenn kein Bogen daniber, geschliffen werden soll." (Part 1, p. 64) The unlatown English translater May have made the addition, *%ummel (London, 1829), Part II, 65. 2%ummel's definition of the terni "legato" as being applicable to an "entire period" must be understood in terms of the broad dimensions which "period" conveys in the compositional treatises of this period, such as those of Koch and Momigny-

Few -ters of keyboard treatises before 1 840, other than Hummel, distinguish

between the "legato" indication and the slur. Clementi, Cramer, Kalkbremer and Czerny

are among those who regard the dur and "legato" as synonymouç, and the fist three

writers are silent about the existence of a more sustained type of articulation than the

"ordinary" legato? However, Czerny differentiates between the simple "connected

legato and a more "prolonged" touch. While the "connected" style of delivery requires

the player to "...hoId d o m a key till the very instant in which the following one is

struck," the more "prolonged touch involves delïberately sustaining certain keys while

others are addecL3' Czerny's musical examples show the "'prolonged touch" applied

exclusively to chord tones, much like the prolonging of tones of a broken-chord

accompaniment previously described by Daniel Gottlob Türk (1789).32 Czerny's

"prolonged" articulation appears appropriate to arpeggios and other accompanimental

figurations, but not necessarily to passages intended to imitate a vocal line. In contrast to

Hummel's "legato" which applies to an entire period, the "prolonged touch" described by

Czerny appears to function as a local effect.

The separation of "[egato" and the sustained type of articulation on the keyboard

historically associated with the imitation of the kuman voice is reinforced in Felix

Godefroid's École chantante du piano ( 1 86 l).33 Godefroid asserts that porfamento is as

necessaq on the piano as it is to the singer, and identifies notesporteés (which he gives

as another name for pianistic por~amento) as the most sustained touch available on the

30Clementi3 8-9; Cramer, 20; Kalkbrenner, 6; Czemy, 186. 31Czemy, 186. 39aniel Gottlob TLirk, KIavierschuZe (Leipzig, 1789); English tram. by Raymond Haggh as SchooZ of Clavier PZqing (Lincoln: University of Nebraska Press, l982), 343. 33Godefioid, &m.

keyboard- The extremely smooth and overlapping comection between notes on the

piano, which Godefkoid never refers to as "legato," is achieved by the action of the wrist

or foream, sornetimes with the help of the pedal, as well as by lifting the finger only

after the second note has been struck" While Chopin may have employed such a

portcmenro touch in his own playing, his understanding of "legato" or his use of that term

in the scores of his compositions would not necessady have been restricted to the highfy

swtained porkzmenfo touch,

Legato in the Sources of Chopin's Sonatas

Although Czartoryska refers to a very sustained articulation in Chopin's playing

as "legato," there is no direct evidence that Chopin himself considered "legato"

exclusively in tems of an overlapping release of keys. In fact, according to the Russian

pianist and teacher HeiKich Neuhaus (who studied at the Warsaw Institute with

Alexander Michalowski, a student of Car1 MikuIi), Chopin had differentiated between

"legato" and portamento touches in his teaching, cIaiming that the latter resulted in Iess

"tenseness or stiffhess" in the beguuiing piano student? However, by the latter part of

- --- - - -

WGodef?oid., m. "Sur le piano, le portamento [ou notes portée4 large et expressif s'obtient par une certaine action du poignet et de l'avant-bras, permetant d'attaquer avec précision et fermeté la premiere note pour la porter sans brusquerie, et comme par LUI

glissé de violon, sur la note suivante, qui doit être attaquée moelleusement, de manière bien produire 1 'effet du coulé portant un son sur l'autre. De plus, on doit lever le doigt après l'attaque de h seconde note pour en atténuer la sonorité et faire ressortir I'accentuation du premier son venant se perdre ou se fondre dans le second. Le portamento trouve dans la pédale un important auxiliare en ce qui touche la prolongation du son, mais a la condition expresse de quitter cette pédale en attaquant la seconde note, c'est-à-dire celle sur laquelle se porte la première." 3SHeinrich Neuhaus, cited in Eigeldinger, 104.

the century when Czartoryska's recollections were compiled, the term "legato" in

keyboard parlance may have acquired meanings previously associated with portamento.

The early sources of Opp. 35 and 58 contain only three explicit "legato"

indications, and these correlate with textures that are not directly imitative of vocal

idiorns. The t e m may have been considered necessary to cue the performer who might

not inhùtively have applied "the smoothest and most connected manner" of delivery to

passages other than those in a sùiging style. In the first two instances, the "legato"

marking appears either between the staves or below the lefi-hand line. In the third case,

"legato" below the left-hand line seems directly applicable to the accornpaniment. The

precise locations of these "legato" markings are the beginning of the last movement of

Op. 35; at the onset of the contrasting Trio section of Op. 58m; and, in the Meissonier

edition only, the development section of Op. 58/I (mm. 117ff.)

In al1 three occurrences of "legato7' in the early sources, the term might apply to a

structurai unit corresponding to Hummel's 'whole musical period." In the eighteenth

century, a "periodgl in music was understood in terms of rhetorical completeness and did

not necessarily corifom to a predetermined length, and it is entirely possible that

Hummel would have understood the terni in this sense? Ln the case of Chopin's

sonatas, the "2egat-o" marking affects a contrasting ''B" section of a ternary-fom

movernent or a p h o n of a development section that recalls secondary (i.e., contrasting)

thematic material. In Op. 35/N, the "whole musical period may encompass a comp!ete,

relatively brief movement which avoids closure untïl the very end

'(jLeonard Rainer, CZasszc MUTZC: Expression, Fom. und Sryle (New York: Schirmer Books, 1980), 33-34. Ratner notes that a cadenza in Bach's Brandenburg Concerto No. 5 constitutes an "enormous penod of 49 measures.

The finale of Op. 35 is designstted SOHO voce e legato in al1 the sources. This

combination of terms is frequently found in Chopin's works between Op- 24 and Op.

40," and it is possible that its presence here rnight serve to establish the opening

character, sirnilar to metronome markings at the beginnùig of a piece or movement that

establish the opening tempo. However, since this movement is unified in character and

avoids harmonic or melodic closure until the final measures, it might broadly be

considered a "period," and the "legato" marking could be understood to apply to the

entire movernent No changes of articulation are marked in this finale, although short

slurs appear in the final measures.

Like earlier works of Chopin containing "legato" (or cclegatissimo") indications

but few s l~rs :~ the finale of Op. 35 contains no slurs d l the final nine measures (Ex-

4-1). A clear repetition of pitch groupings appears for the first time since the fienzïed

"chattering" of the movement b e g a . ~ ~ . ~ ~ The Paderewski edition notes that, although these

slurs were "provided by Chopin hirnself," they were 'csuppressed" in later editions.JO

37A7Alfred Cortot, Chopin: Sonate. Op. 3.5 (Paris: Salabert, 1930), 30. In addressing the "legato" indication at the begînning of this movement, Cortot recornmends a touch that may seek to reproduce the effect of the connected touch descnbed in early nineteenth-century treatises as "legato." Perhaps in order to compensate for the high degree of resonance on a modem piano (relative to that of an 1830s Pleyel), as well as for colouristic effect, Cortot advises the use of the una corda pedal and a "staccato" touch in practicing this movement. On a modem instrument, a relatively detached touch wodd prevent the continuous eighth-notes in this movement from smearing or cblee&;ng'7 into each other, and the use of the una corda pedal would reduce the amount of residual resonance of each individual note. Cortot's advice on pedalling and touch in Chopin's music seems consistent with a historical understanding of the connected touch that Mathias associated with "the old legato school" of Clementi and Cramer. ''This tendency is observable as early as the Op. 10 Etudes (1 833). 39Cortot descnbes this rnovement as a somewhat frenzied response to the preceding "Marche hebre," and cites Chopin's own characterization of this movement as ''two han& chattering in unison" (p. 30). 40Paderewski et al., Sonatas, 127.

Even though Chopin's own slurs create coherence and aîd in outlining the "melodic

topography,"*' these short slurs may have been perceived by later editors as redufldant in

light of the "legato" indication at the beginning of the movement.

Example 4-1: Op. 3 5 W , mm. 66-75 (Troupenas ed, 1840)

Another "legato" rnarking, found only in the Meissonier edition of Op. 58/5 may

apply to a "period" of s m d e r scale. The word "legato" appears below the bass line of

mm. 1 17-1 18 together with a long pedal marking, just prior to the recurrence of materid

fiom the sostenuto secondary theme in the development section (Ex. 4-2a). One

interpretation of the "legato" expression mark in Chopin's music has been suggested by

Jan m e r . Ekier postdates that "legato" signifies the sustaining of the lowest bass note

of a passage, as in "earlier keyboard rn~sic.'"~ Ekier calls this effect "hmonic legato,"

observing that it was used independently of the damper pedal." - -

"Higgins, 53. 42Jan Ekier, "'Frederick Chopin: How Did He Play?", Chopin Sudies N (Warwsaw: Fredenck Chopin Society, 1994), 19. "Ibid This practice is descnibed, for example, in Tiirk's treatise (p. 344), where the effect is signified by a slur: "When there is a curved line over harmonies which are to be slowly arpeggiated [i-e., played one &er another] . ..it is customary, especially in

Example 4-Sa: Op. 58A, mm. 115-120 (Meissonier ed., 1845)

If the lowest bass notes of mm- 1 1% 1 19 were prolonged by a type of "figer

legato," as Ekier's interpretation would suggesf the damper pedal would have been

available for other purposes such as colouristic or "open peW effects. The long pedal

marking in these measures in the Meissonier edition supports the possibility of a

colouristic use of the pedal at this point. In anticipation of the recurrence of second

subject-material, the resultant change of tond colour would have been particularly

effective on a Pleyel instrument f?om the 1830s or 1 840s." It is not inconceivable,

compositions of agreeable character, and the me, to let the fingers remain on the keys until the appearance of the next harmony." TUrk7s musical examples show all successive notes (in the bass clef) prolonged, not just the lowest bass note. "Chopin may have witten this sonata for the Pleyel instrument that he had had shipped to George Sand's siimmer home in Nohant, where he spent the summer of 1844 prior to the publication of Op- 58. The Pleyel piano (c. 1835) owned by Michael Frederick of Ashburnham, Massachusetts contains a thin Iayer of wood, placed horizontally over the strings, which may act as a type of "mute," and Mr. Frederick observes that other Pleyels in his collection contain evidence of having had such a board rernoved Other conternporaneous instruments, such as the Erard, did not appear to have been built with a

therefore, that the cclegato7' designation in the Grst French edition of Op. 58 may have

been specifically intended for the petformer working with a Pleyel piano.

The combination of the term cclegato7y and the "open pedal" in mm. B 17-1 18 is

unique to the Meissonier edition. The autograph fair copy of Op. 58/I c o n W s no

"legato" indication at this point, and only a short pedal marking is present in m 1 17 (Ex.

4-2b). Conversely, the English edition contains the "legato7' indication, but no pedal

marking (Ex 4-2c). "Legato" may have been understood Merently by a penfonner in

Paris playing on a Pleyel instrument than an English pianist working with a Broadwood

Althougti the later 1860 Richault edition reproduces the "legato" indication rfound in

Meissonier, the mark is absent f?om the 1851 and 1878 Brandus editions piubiished in

Paris, perhaps due to shifting understandings of the term.

Example 4-2b: Op. 58/I, mm. 114-117 (autograph fair copy, c. 1845)

board across the strings, which may have been simply intended for visual purposes i-e., to shield the strings fiom public view when the lid of the piano was open.

Example 4-2c: Op. 58/I, mm. 115-120 (Wessel ed, 1845)

Later editions also give markings in mm. 117-1 18 of Op. 58A that imply the

continuation of a generally sustained touch involving both han& rather than the highly

specinc "legato" implied in Meissonier: for example, "sempre legatissimo" (Klindworth,

l878), a two-mesure slur followed by "sempre legato" (Debussy, 19 15) and "sempre

legato" (Moskowski, 1924). The possibility of interpreting the "legato" m a r h g in the

first French edition in the sense of Czerny's "prolonged touch," limited to the duration of

the "period in which this effect is required, does not appear to have been comprehended

fully by later generations of pianists, even if they had access to the original sources.

The second "legato" marking in the primary sources is found in the "Trio"

section of Op. 58m. This "legato," which appears in the autograph fair copy as well as

the first French and German editions, designates a con- to the "leggiero" touch

marked at the beginning of the Scherzo, as well as a more subdued character (Ex. 4-3a).

Example 4-3a: Op. 58/II, mm. 5868 (Meissonier ed., 1845)

The Wessel edition published in England, however, does not contain this "legato7'

marking (Ex. 4-3b). Contrast between the "Scherzo" proper and the 'cTrio7' thus appears

to be minimized in the English edition in te= of touch as weli as character?

Example 4-3b: Op. 58/II, mm. 5663 (Wessel ed., 1845)

45The fint Enplish edition lacks several ties over the barline in the bass line that seem to affect the perception of the character of the Trio. The musical effect of the missing ties would be to create greater impetus on the downbeat which, in tum, would impart a stronger and more rhythmic character to this middle section of the "Scherzo" movement. The more rhythmic character of the Trio section in the English sources, created by the omission of ties across the barline and the earlier change to tonic harmony, is reinforced by pedal markîngs that are occasionally delayed by a beat (relative to the other sources), thereby falling on the downbeat (e-g., mm. 6,24, and 180). The character of the Trio, in the Engiish edition, appears more similar to that of the Scherzo by virtue of the missing ties and more rhythmic pedal markings, and the absence of "legato" rnight reflect the minkiation of contras& between the Scherzo and the Trio.

The third and fourth movements of Op, 58 contain no "legato" indications in any

of the sources, although slurs are present in both movements. The positioning and length

of slurs in the first printed editions of Opp. 35 and 58 suggests various possibilities for

phrasing and articulation. GeneralIy speaking, longer durs are found in the Geman

sources than in the French or English editions. Even within the same source, however,

the placement of sIurs may Vary in structurally parallel sections, and it is possible that

indications for varied phrasing, accentuation, and "breathing" would contribute to a

perception of varied repetition Subsuming these slurs under a predominantly sustained

touch would thus have defeated their purpose.

In the primary sources of Opp. 35 and 58, the very susbined touch that

Czartoryska associates with the ernulation of the sustained tone of Italian singers rnay be

communicated by sostenuto rather than by "legato-" Both the "legato" and sostenufo

indications suggest an effect of limited duration with periodic associations, used for a

particular effect. The next section focuses on the terrns sosrenuto and tenuto and the

range of possible meanings of these tems in Chopin's sonatas.

Sostenuto and Tenuto in Chopin and earlier

In the early sources of Opp. 35 and 58, the terni sostenuto appears in conjunction

with lyrkal matenal which may be seen to create a "penod" of contrasting character and

mood- Such "periods" might involve a slightly more relaxed tempo in addition to a more

sustained to~ch . '~ Associations between sosmuto, tempo or character, and touch are

Tortot, ed-, Chopin: Sonate. Op. 35. 5. Cortot contends that Chopin's use of sostenuto (like that of Brahms) involves a more expansive tempo as well as a softer, gentler touch.

found as early as Tiirk's method (1 789), where the tenn is defined as "grave" as well as

c 6 ~ e d y q 7 According to Türk, sostenuto belongs to the same category as "grave,

pomposo, patetico, maestoso ... and the likey"8 and compositions that convey such an

"exalted, serious, solemn, pathetic, and s i d a r " character require "a heavy execution

with firllness and force,'Mg

Cramer's treatise (c- 1825) defines sostenuto as '30 support the so~nds, ' '~~ a

conception that may derive f?om the imitation of the human voice whose sustained tone

would be supported by a steady supply of breath. The term sostenuto is included in a

section of Cramer's glossary that features other terms relating to articu1atiorQ1 and the

categorization in this glossary reflects that of earlier treatises. For example, Ignaz Franz

Xavier Kiimnger (1 763) defines sostenuto as "very sustaines' [wohl ausgeha[tenIn and

includes it in a g l o s s q of terms along with other articdative and expressive devices:

for example, "staccato," one of the ornaments [Manieren] that results in notes being

executed in a detached fashion [abgestossen]; the suspir, a short rest for articulative

purposes; and tenuto.53 In an earlier chapter, KUmnger mentions that slurs [ligaturen]

have some significance for instruments and are equivalent to "legato."** The qualitative

difference between "legato" and sostenufo is apparent in both KUrzinger's and Cramer's

treatises. While "legato" is virtually dismissed from consideration, sostenuto indicates

"7Türk/Haggh, 1 12. %id-, 348. -191bid.

53. " fiid, 52Kùningery 89. Kürzinger's definition might imply a "well held-out" tempo as well as touch (i.e., a broadening of tempo). S31bid, 541bid., 84.

an exceptional effect of the same order as the other 1Manieren. It may be inferred frorn

the treatises of Cramer, Türk, and Kürzinger that, in the late eighteenth- and early

nineteenth centuries, sostenuto was associated more with gravity, weight, breadth, and

expressive pathos than was "legato." Chopui's sustenuto secondary themes in Op. 35

and Op. 58 fuse the weightiness and pathos irnplied by sostenuto in Turk's treatise with

the "supporteci" touch that Cramer appears to associate with the vocal idiom-

In cornparison to sostenuto, Cramer's definition of tenuto, "to hold the note its

full length," applies to a single note ody. Czerny adds that notes marked tenuto "must

be struck with emphasis, and then be M l y held do~n , " '~ thus implying a dynamic stress

as well as a holding of the note for at least its written duration. Unlike a "legato" touch,

which is assumed d e s s marked othenvise, Czerny considers tenafo a special effect.

En the German sources of Opp. 35 and 58, tenuto (or itç abbreviation, "ten.")

appears in musical contexts which would support a slight agogïc Iengthening of the

note(s) so marked- The first Breitkopf & Hartel edition of Op- 58/I gives "ten." above

the half notes in the right-hand line at the beginning of mm. 13 and 14 (Ex. 4-4a), in

contrast to the dots above the corresponding eighth-note chords in mm. 15 and 16 that

are shown in the autograph fair copy? Tenuto could thus be understood to mean that the

notes so marked be held down for their full written duration in contrast to the notes

marked by dots, thereby contravening any unwritten assumptions (such as those that

might have existed in the world of singing) that the notated value of long notes mi& be

shortened in performance. The Meissonier edition shows accent signs in mm. 13 and 14

Tzerny, 1 89. 56The first German edition reproduces "ten.," but not the dots.

instead of "tenn (Ex. 4-4b), as does Wessel, and this interchangeability of "ten" and

accent signs strengthens the notion of ~enuto as an ccaccent77 created through duration

Example M a : Op. 58/I, mm. 13-15 preitkopf & Hiirtel ed., 1845)

Example 4-4b: Op. 5 8 4 mm. 11-14 (Meissonier ed., 1845)

In mm. 69 and 179 of Op. 58/I, where the texture changes to hornophonîc chords

after a brief sixteenth-note passage rnarked "leggiero," tenuto may reinforce the

sustained touch required to give the notes of the chords their full durational value, a

touch that would contrast with the rapid release of keys in the "leggiero" passage. The

prolonging of more than one note or chord in succession could result in a brief

expressive stretching of the tempo at the ends of these phrases. In the early sources of

Chopin's sonatas, the difference between tenuto and sostenuto might appear to be one of

scaie. While tenuto corresponds to a single note or chorci, sostenuto suggests a slightly

broader tempo and a more sustained touch for entire periods.

Although Gobefroid's treatise (186 1) does not use the terrn sostenuto, the

relationship between the very sustained touch on the keyboard and the imitation of the

lyrical quality of the human voice is apparent. Godefkoid presents an informative

description of several types of 'slurred" articulation. The most sustained type of touch

on the piano, theportamento, is achieved by overlapping the attack of each successive

key with the release of the previous one. The technical means of producing the

portamento touch on the piano, according to Godefroid, involve the wrist and forearm

with the occasional assistance of the damper pedal. Although Godefroid does not use the

term "legatissimo," the associations of this term for modem pianists resonate with the

description ofportamento in Godefioid's treatise. A second type of "slurred articulation

in Godefroid's method is identified by the term notes liées- chantantes. Such notes are

he1d long enough to fonn a linear melodic comection but are not necessarily overlapped.

As an example, Godehid suggests several rnelodic notes played in succession by the

nght thumb while the rest of the hand is occupied wïth simultaneous broderies

[ornamental note^].^ Godefioid's treatise shows that the terminology for the "slurred"

articulation was continuing to evoIve in the mid-nineteenth century.

57Godefioid, III-N.

Staccato: The Dot

Keyboard treatises fiom the mid-eighteenth century7 such as those of C-PE. Bach

and Môrpurg, consider detached articulation an expressive device that may be

symbolized by dots or wedges- The section of CEE. Bach's treatise (1762) that

descnbes the detached touch immediately follows a paragraph detailing the importance

of conveying the 'appropriate affects" of a cornp~sition.~~ In treatises on singing of the

rnid- to late eighteenth-century, detached articuiation is also regarded as a special eEect.

For example, Kürzinger (1 763) views ccstaccato77 as an expressive device whose

realization, like that of trills and appoggiaturas, depends on ~ontext.'~

Daniel Gottlob Tiirk (2789) considers the desired affect of a passage more

important in detemining the durational value of detached notes than the type of

notational sy-mbol employedW Tiirk considers both the dot and the wedge (or "stroke")

to mean a "detachhg or separating of tones" produced by lifting the finger "when half

the value of the notes is past." Nevertheless, Türk acknowledges that "some wodd like

to indicate by the stroke that a shorter staccato be played than that indicated by the

-

58C.P.E. Bach, tram Mitchell, Versuch (Berlin, 1762); 154. Bach prefen to use the dot rather than the wedge in his method to avoid poss~%le confusion between markings that designate fingerings and those that indicate articulation. While Bach employs the term "Iegato," he does not mention "staccato." S%iuanger7 89. 60Türk/Haggh, 343. ccMistakes are often made with respect to detaching tones, for a nurnber of people are accustomed to striking keys as quickIy as possible without regard for the values of the given notes.--one must particularly observe the prevailing character of the composition, the tempo, the required loudness or sohess, etc. If the character of a composition is serious, tender, sa& etc., then the detached tones must not be as short as they would be in pieces of a lively, hurnorous, and the like, nature. Occasional detached tones in a son@ Adagio are not to be as short as they would be in an Allegro. For forte one can pfay detached notes a little shorter than for piano. The tones of skips in general have a more pronounced staccato than the tones in intervals progressing by step-"

Judging from Türk's musical example, a dot above a note may also show an

increased dynamic "emphasis,'" since notes marked by dots are marked f while those

without dots are marked m$ In another section, Türk associates dots wiîh additional

pressure fiom the Ggers that may result in increased dynamic stress.63

In the first half of the nineteenth century, the "staccato" dot seems to have been

Less specificdy associated with shortness of sound than was the wedge. Most piano

treatises before about 1830 (including those of Clementi, Dussek, Adam, and Cramer)

equate the wedge notation with a greater degree of detachment than the dot. Clementi

(1 801) observes pragmatically that dots may cornmunicate a lesser degree of "staccato,"

but oniy if cornposers are "exact in their writing? In the seventh edition of Clementi's

Inhoducrion (c. 18 12-1 8 14), the relationship between context and notation is explicitly

acknowlcdged: "The nice degrees of more and less [staccato] ... depend on the character

and passion of the piece, the style of which mut be weil observed by the perf~tmer.~

Dussek's treatise published in England portrays a more restrictive version of "staccato,"

defining it as the "reverse of Legato" and associating it with the wedge notation ~ n l y . ~ ~

Adam (1805) specifies that notes marked by wedges should receive one-quarter their

Wtitten durationai value, whereas notes marked by dots should receive half?j7 The

durational distinction between wedges and dots is echoed by later writers such as Cramer

6'TürkRIaggh, 342. 621bid., 88. The positioning of the dots coincides with notes that fall on metrical accents in TUrk's example. 631bid., 343. aClementi7 8-9. 651bid7 m. 66Duselq Imhwctiom on the Arr of PIaying the Pionoforte or Harpsichord (London, 1796); rnicrofom, 6 7 A d ~ , 154-155.

(c. 1825) and Kalkbrenner (1 83S), the latter a student of Adam. However, Kalkbremer

states only that wedges (or "comas") signal a faster release than do dots, and he does

aot specify proportions relative to the wïitten value of the note?

By around 1830, some writers of keyboard methods minimize or elhinate earLier

distinctions between the dot and the wedge. Hummel (1 829) considers both dots and

wedges as equivalent markings for staccato which indicate that "the keys are to be struck

smartly by the kgers and quitted immediately, without lifting up the hand too fa^''^^

Charles Chaulieu (1 834) identifies only the dot as a symbol for the staccato "genre" [le

detachéJ70 Both Czerny (c. 1839) and Fétis (1 840) regard the dot and the wedge as

equivalent-TI The earlier distinctions among degrees of detached articulation mentioned

by Türk and Adam appear to have been disappearing during the decade or so preceding

the publication of Chopin's first sonata.

Judgïng fiom the w-ritings of Hummel, Chadieu, Czerny, and Fétis, the dot was

well on the way to superceding the wedge as an indicator of the detached touch by the

mid-nineteenth century. While the general recognition of the dot as the symbol for a

"staccato" touch may have sirnplified the notation of "staccato," the ornamental and

expressive fùnction previously associated with the dot (in relation to the wedge) would

have been lost to a certain extent. In particular, Charles Chaulieu's writings in the

journal Le pianiste suggest a diminished sensitivity on the part of performers to the

expressive potential of detached articulation. Chaulieu reduces detached articulation to a

-

6%alkbrenner, 6 . 6%ummel, Part IT, 65. 70Chaulieu, 'Cours analytique de théorie musicale," in Le Pianiste,Vol. VI (April 1834), 87. 71Fétis-Moscheles, M o d e des Méthodes, vii.

single category [le detach&], which is represented by a dot or by the t e m "staccato."

Chaulieu vaguely acknowledges varying degrees of separation among soimds, but he

does not elaborate on cnteria for determining the optimal duration of a note."

Chaulieu's simplified categorktion, Like that of Czerny and Hummel, conceptuaiizes

ccstaccato" only in terms of abbreviated note-length without discussing expressive

Felix Godefroid's rnethod, published almost thirty years after Chaulieu's writings

in Le pianiste, seeks to redress the perceived lack of discrimination among Parisian

pianists with regard to touch and articulation. Godefioid alerts keyboard players to the

role of articulation in achieving an expressive delivery and the importance of producing a

variety of inflections, and he compares the demands made by pianists and singers of their

instruments in order to project the appropriate affect:

A sure way of giving grace, character, and expression to one's playing is to study serïousiy the diierent ways of attacking a note ...In order to Vary, colour, and animate his playing, the pianist must dernand fiom the piano-as the singer does of the voice-thousands of different inflexions designed to interpet, or assist in conveying, the sentiments [affections] that he wishes to express7'

Godefroid notes the ultimate purpose of mastering a refined sense of articulation is not

only to imitate the human voice and its powers of expressiveness, but also to utilize the

72Charles Chaulieu, Le pianiste (April 1 834), 87. 73Dussek's description of ccstaccato" as "the reverse of Legato" does not necessarily suggest a dichotomy between the trvo touchesy but arises fiom a recognition of "legato" as the normative touch, in relation to which "staccato" is defined, 7JGodefroict, V- "Une manière certaine d'arriver à donner de la grâce, du caractère et de i'expression à son jeu, c'est de faire une sérieuse étude des différent attaques de la note ... Pour varier, colorer et animer son jeu, le pianiste doit demander au clavier-comme le chanteur a la voix-milles inf?elaons diverses de nature à traduire, ou tout au moins à seconder les sentiments qu'il veut exprimer."

full technicd resources of the piano (includiag repeated notes, ârpeggios, and tremolos)

in the service of melody and line [cilmi4?

a o n g the six types of aaiculative c'attacV' identified by Godefroid are notes

piquées (indicated by dots), which are released without haste so that there is never any

ccconfllsion" of s~unds,'~ and ilotes detachées (indïcated by wedges), which lose much of

their m - t t e value since they are relessed alaiost immediately after the attack."

Godef7ooid's differentiation between degrees of detached articulation demonstrates that

the distinctions between the types of staccato and their musical effects were still

circulating in Paris in the mid-nineteenth c e n h ~ ~ . His desire for precision in notation

seems to a f h that composers shoutd no longer rely on the performer's discretion in

determining the appropriate degree of "staccato-"

Althou* some perfomers of odef froids time may have required notational

clarification to discriminate between degrees of staccato, other performers might still

have been taught that the realization of c'~taccato" dots could be affected by the

perception of the character and mood of a passage. A former student of Clara Schumann

recalls that, in 1877, he was cautioned againçt "harnmeringy' the right-band double notes

in the fast movernent of Beethoven's hloonlight Sonata. Frau Schumann apparently

considered the "staccato" in the bass at the beghing of the movement as being of a

cornpletely different character than that of the nght-band passage in question.

Consequently, she advised that the rig&-hand notes marked with dots be played more

gently, and that these notes be given some tieedom of tempo."

7SGodefroid, W. '"fiid, V, 16. "Ibid., VI 20. 7Rnieodore Müller-Reuter, Clara Schmann und ihre Zezt (Leipzig: Hartung, 19 l9), 3 1.

This anecdote illustrates that, even toward the end of the nineteenth century, the

realization of "staccato" dots in performance was affected by musical context and the

perceived affect of a passage. Dots in keyboard music would not necessarily have been

equated with the "short, dry touch" that Marcelina Czartoryska associates with Chopin's

staccato. Although the affective role of detached articulation is less discussed in treatises

c. 1825-2840 than in previous methods, it wodd appear that players who had been

trained according to the earlier aesthetic remained sensitive to the expressive potential

of c'staccato,"79

Staccato in Chopin's Sonatas

Chopin may have been a-ed to the Merent degrees of "staccato"

comrnunicated by wedges and dots, and both symboIs are found in the first French

edition of Op. 35. Nevertheless, other sources, inchding the manuscript copies, show

onfy dots. The use of wedges in the Troupenas edition of Op. 35 may have been due in

part to the lastïng influence of Adam's treatise, which was used by the Paris

Conservatoire until well into the nineteenth ~ e n t u r y . ~ ~ The method of Adam's student

Kalkbremer (c. 1835) also differentiates between the wedge (Le., cbcomma'') and the dot,

even though Chaulieu and Fétis do not discuss such differe~ces.~' However, Godefroid's - - - -- -

Miiller-Reuter quotes Frau Schumann's remarks as follows: "Wie k m man das nur so abhihuneni? Das ist doch ein ganz anderes staccato wie das am Anfange in den Bassen! Das kann man doch auch nicht so streng im Takte spielen." "Clara Schumann's father, Friedrich Wieck, had a high regard for Chopin, while being openly critical of the cult of "pianomaniay7 as practiced by virtuosi such as Thalberg. 'Opeter Le Huray, "Beethoven's Moonlight Sonata," in Authenficity in Pe$ormaan (Cambridge: Cambridge University Press, 1 WO), 1 66. ''Treatises published in London during the f k t quarter of the century (including those of Clementi, Dussek, and Cramer) regard the wedge as a syrnbol of greater detachment than the dot. After about 1825, the use of the wedge appear to diminish in treatises published

method (1 86 1) reasserts the distinction between the wedge and the dot, as discussed

above. Distinctions between the wedge and the dot may been more recognized in Paris

than elsewhere, even if not all Parisian pianists regarded this distinction as relevant.

The gradua1 disappearance of the wedge notation outside of Paris may have led to

the dot becoming equated wÏth the short, sharp effect formerly symbolized by the wedge,

thus effectively eliminating the distinction between the two symbols. The decreasing

importance of the wedge as a distinctive type of "staccato" rnarlàng might account for the

almost exclusive use of dots in the non-French sources of Chopin's sonatas. These dots

do not necessarily denote a rapid release but appear to be associated with distinctness,

pressure, and emphasis. These characteristics are reminiscent of the dot as portrayed in

the keyboard methods of C-P-E. Bach, Tiirk, and Clementi.

In the early sources of Chopin's Opp. 35 and 58 sonatas, dots in one source are

frequentiy paralleled in another by markings that might suggest briefdynarnic stress,

such asfi or$ In the "Allegro maestoso" first movement of Op. 58, dots in the French

and German sources that signi@ a distinctness created by physical pressure (and perhaps

articulative separation) are almost always found in thematic areas consisting of

first-subject material, while the English editions suggest that dynamic stress on these

notes could have been created by other means. For exarnple, at m. 148, the French and

German editions show a single F# in the the bass line with a dot below it; in the English

edition, the F# is doubled in octaves without a dot (Ex- 4-5).

in London and Viema,

Exampie 4-5: Op. 58/I, mm, 145-148 (Wessel ed., 1845)

In some instances, the early German sources of Op- 58 show dots that are lacking

in the French or English editions, and the dots may suggest additional weight resulting in

momentary dynamic stress. For example, the autograph fair copy and the first Breitkopf

& Hartel edition show dots in addition to ffabove the right-hand octaves in m. 58, at the

end of the section of Op. 58hI (Ex. 4-6). However, at the parailel point at the end of

the reprise (mm. 214-216), both the dots and the ffare lacking (Ex 4-7)- No dots appear

at either point in the French and English editions. Ln the autograph fair copy and

subsequent Gennan sources, the contrasting functions of the end of the f i s t section and

the end of the reprise appear to be heightened as a result of the change in articulation and

dynamic markings, and the transition to the cantabile theme of the following movement

is suitably prepared as a result.

Example 4-6: Op. 58m, mm, 55-60 (autograph fair copy, c. 1845)

Example Op. 58/II, mm. 214-216 (autograph fair copy, c 1845)

Afthough the early German sources of Op. 58m show differing d p m i c s and

articulation markings at the ends of structurally parallel sections, these differences are

"corrected" in later editions. The 1878 Breitkopf & Hmel and the 1882 Gebethner and

Wolff editions exhibit a desire for uniformity rather than variety at the ends of the "A"

section and the reprise. While the 1865 Gebethner & Wolff edition retains the varied

rnarkings found in the earlier sources, Iater sources synchronize the indicators of

articulation in different ways. Whereas Klec-ynski adds the "missing" dots at the end of

the movernent in his 1882 edition for Gebethner & Wolff, the editors of the 1878

Breitkopf & B e 1 edition have omitted the dots in both instances, thus effectively

reproducing the text of the first French and English editions." The eIimination of

articdative differences at the ends of structurally paraiïel sections, by whatever means,

would also serve to downpiay their speciaked functions-

The eady sources of Op. 58/IV reveal some differences in placement of dots, as

weil as a more fiequent appearance of dots in the Gennan sources. Dots found on

octaves and chords in the 1845 Breitkopf & Wartel edition (e-g., in mm. 54, 155, 159, and

165) are absent f?om Meissonier, although some are present in WesseL In mni_ 187 and

19 1, where both dots andfi are found in the autograph fair copy and in the fkst Breitlcopf

& Hmel and Wessel editions, Meissonier gives only the dots (Ex 4-8).

Example 4-8: Op. SS/IV, mm. 187-195 (Meissonier ed., 1845)

--

8ZNeither the French nor the English original editions give dots at the ends of either the "A" section or the reprise, but both give fat the end of the "A" section, thereby suggesting greater dynamic stress at the h t occurrence,

In the context of an increased incidence of dots relative to the nrst French edition, the

additionalfi in the German and English sources might suggest greater dynamic stress at

these points. However, in the context of a sparing use of the dot in the Meissonier

edition, greater dynamic stress by means of increased pressure could be shown by means

of the dot alone. Only Meissonier shows dots accompanying the b a s octaves that

ou the both dominant and tonic harmonies in the coda of this movement (e-g., mm. 256,

260,274, and 282)."

In the Meissonier edition of Op. 5 8 m , the ascenduig right-hand chords in mm

270-272 are marked with short durs (Ex 4-9a). A common understanding of two-note

slurs, even in the 1 820s and 1 83 Os, is that of a "strong-weak" feel (strong on the first

note, weaker on the l a ~ t ) , ~ ~ and this feeling may be implicit in the French source.

Example 4-9a: Op 58/IV, mm. 26û-272 (Meissonier d, 1845)

83The fïrst IWO octaves (representing the dominant) are marked with dots in the German edtüon; the last two (representing the tonic) are not. 81 cramer, 35; Czernyz 1 87.

In cornparison, the Breitkopf & Hartel edition and dsequent Geman sources show dots

above these chords (Ex 4-9b)? The appearance of dots instead of slurs suggests a

different interpretation fkom that suggested in Meissonier, one that could involve equal

weight and a sense of deliberateness on the second chord of each group, as welI as the

posslbili~ of more separation between the chords. Such an effect could contn'iute to the

sense of a more dramatic conclusion than is uzdicated in the Meissonier edition

Example 4-9b: Op. 58/IV, mm. 270-274 (Breitkopf & Hiirtel ed., 1845)

n

As discussed above, dots in the sources of Op. 58 are found primarily in " AUegro"

movements where they may reinforce moments of brief dynarnic stress and, possibly,

agogic separation or distinctness. On the other hand, the distinctness impLied by the dots

in the "Largo - cantabile" opening of the third movement appears more a h to the

pi;licatu effect descnied by Czartoryska In all sources, dots accompanied by brief

pedai markings are found undemeath the piano bass notes at the beginning of the

cantabile "aria," and these dots reappear at the correspondhg point in the reprise. As the

*'The autograph fair copy dso shows dots, while the Enghsh edition omits articulation markings on these chords entirely.

testimony of Clara Schumann's student might suggest, the "staccato" dots in the bass line

of Op. 58/m would signÏ& a completely different character than would the dots found in

other movernents.

in the earIy printed sources of Opp. 35 and 58, particularly in the first French

editions, Chopin's use of dots reflects p ~ c i p i e s of expressiveness similar to those found

in treatises descriptive of late eighteenth-century practices. Udike his contemporaries

such as Czerny, Hummel, and Fétis, Chopin does not always use the dot to communicate

an immediate release and durational brevity. Instead, Chopin (Like Tiîrk) may associate

the dot with added physicd pressure, an effect that would resuIt in momentary dynamic

stress. This brief reinforcement of sound wouid be congruent with Clementi's

understanding of "staccato" as distinctness Le., as distinctness relative to the prevailing

dynarnic Level. "Distuictness" might also imply temporal separation such as a slight

agogic pause before or afier the note marked by the dot.

Like Clementi, Chopin may have expected performers to distinguish between the

''nice degrees of more or less [staccatoy on the basis of the affect being projected. The

first English and German editions of the sonatas feature dots alrnost exclusively, perhaps

reflecting the diminished understanding of the wedge notation in those corntries. By

employïng the wedge in the Troupenas edition of Op. 35, however, Chopin may have

attempted to help knowledgeable performers in Paris distinguish between such degrees

of staccato by means of notation.

Porrato and Sciolto: Dots and Slurs

The early nineteenth-century undestanding of dots as conveying a range of

possible articulations is paralleled by the multiplicity of associations created by dots

under a slur. By the beginnuig of the nineteenth century, dots under a slur had become

synonymous with a relatively detached touch. In a chapter entitled "De trois manières de

détacher les notes," Louis Adam (1 805) discusses dots under a slur and compares their

duration to that of wedges and dots. Adam refers to notes marked by dots under a slur as

notes portées and specifies that these notes are the least detached of the three types of

"sttaccato," since diey receive threequarters of their wrïtten length? Later, Czerny (c.

1839) describes the touch represented by dots and slurs as " a medium between the legato

and the staccato," and he echoes Cramer's use of the term mezo stuccufo for this type of

articulati~n-~~

The nineteenth-century notion that dots and slurs si@@ a primarily detached

touch reflects the changing nature of the ''ordinasr" touch, as Bernard Harrison

observes.g8 In contrat to the keyboard methods of the early nineteenth-century London

school, those published earlier on the continent (such as Marpurg, C.P.E. Bach, and

Tiirk) regard the touch represented by the dots-and-slur notation as more connected than

"detached." The differences between these two schools with regard to the realization of

dots-and-slur notation might be attributed not only to the changing nature of the

normative touch, but also to the instruments representative of each school. AIthough the

dots-and-slur notation is seIdom used by Chopin in the sonatas, the following brief

86Adarn, 155- 87Cra~er, 53; Czerny, 186. 88Bemard Harrison, H q d n 's Keyboard Mwic: Sudies in Pe$ormance Practice (Oxford: Clarendon Press, 1997), 46.

survey of treatises may assist in comprehending the Uiterrelatedness of practices derived

from keyboard playing and singing in the late eighteenth- and early nineteenth centuries.

In the mid-eighteenth century? Marpurg (1755) associates dots under a slur with

additional weight or pressure: "...the notes so marked @y dots under a slur] should be

disiinguished through a somewhat sironger pressure of the fingers and should be as

connected as in ordinary progression."" Car1 Philipp Emmanuel Bach (1762) relates the

dots-and-slur notation to the highly expressive portato touch on the clavichord, which he

describes as "legato ... but noticeably accented? Tùrk's treatise (1789) reùiforces

Marpurg's and Bach's understanding of the comected and weighted touch symbolized by

dots under a slur "The dot indicates the pressure which every key must receive, and by

the curved line the player is reminded to hold the tone out d l the duration of the given

note has been completed'"' Türk refers to portale as '<the carrying of the notes" [dos

T'gen der ToneJ a term that parallels the terminology found in eighteenth-century

treatises on singing; for example, Agricola's Trogen der Stimme and Tosi's poriar Ia

v ~ c e . ~ ' Besides making reference to clavichord traditions, Türkys terminology

demonstrates the analogous nature of the dots-and-slur notation in keyboard music of the

late eighteenth century and "the canying of the voice" in singing.

89Marpurg/Hays, VII- 1 1 - 1 5. 90C-P.E. Bach, trans. Mitchell, 156. ' TilrkfHaggh, 343; cited in Richard Troeger, Technique and Interpretation on the

Harpsichord and CZuvichord (Bloomington: Indiana University Press, 1987), 16 1 - 162. ''Ibid; Johann Friedrich Agricola, Anleitung m Singkunst (Berlin, 1757); translation of Pier Franceso Tosi, Opinioni de ' cantori antichi e moderni (Bologna, 1723); English tram. by Julianne Baird as ccIntroduction to the Art of Singing " by Johann Friedrich Agricola (Cambridge: Cambridge University Press, 1 999,223.

By the mid-nineteenth century, the term portato had largely disappeared from

keyboard treatises.p3 The influence of vocal practices, however, continues to be seen in

keyboard treatises that feature terminology borrowed from the world of singing? One

such term is sczolto, which is found in Mancini's treatise (1777) as well as in the

keyboard tuton of Türk, Clementi, Cramer, and Czerny. Although Mancini and Türk do

not mention the use of dots under a dur to indicate sciolto, the members of the London

school of the early nineteenth century consider this notation synonymous with ~ c i o l r o . ~ ~

Mancini equates sciolto with a fiee, easy, loose style of delivery, the "tossing off'

of passages without exertion% The term may also involve a certain fkeedom of tempo.

for Mancini descnies this style as "...now lm& now hastened, now serious and

sustained, according to the diverse emotions it e~presses . '~~ Mancini classifies sciolto as

an "accent" dong with trattenuto, another tenn associated with a brief holding-back of

tempo for ernpha~is.~'

Ln the keyboard treatises, S C ~ O ~ ~ O appears more directly associated with freedom

of touch than with freedom of tempo. Türk regards sciolto as "fiee, separated

931t is possible thaf in the second half of the nineteenth century, the tenn portamenfo may have been substituted forportato in keyboard treatises such as those of Sigismond Thalberg (1 853) and Felix Godefioid (186 1). Karasowki (1 879, cited in Eigeldinger, p. 1 14) claims that Chopin loved to emulate, on the piano, examples of "'portamento" in singing. 'UCramer7s keyboard method (c. 1 825) also includes the terni portamento. but appears to consider it as a type ofappoggiatura in the bass line involving an upward leap of an octave. "The dots-and-slur notation a p p a s to have been somewhat idiosyncratic to iostnrmental music in the eighteenth century, although the termportaro is associated with it in the keyboard treatises of C.P.E. Bach and Ttkk as well as the violin treatise of Leopold Mozart (Bernard Harrison, pp. 43-45). g6Man~ini, 187. 971bih 981bid.

(consequently the opposite of while Clementi defines the term as "fiee,

neither legato nor staccato."'00 Cramer defines sciolto as "in a distinct mamer," and uses

the term mezzo staccato in conjunction with this notation to cl- that "...the notes are

not to be so short and pointed [as those marked by dots al~ne]."~O' Czerny echoes

Cramer's understanding of scio[toLm and applies the term "lingering staccato" to this

type of touch. He notes that it comprises a "medium between the legato and staccato"

that is effected by a "gentle withdrawal of the tips of the fingers, while the hand rernains

tranquil as in the legato."lo3 By tbe time Czerny's treatise was published, then, sciolto

was equated with a mezzo staccato touch that was "fieee of legato. This conception

diEers slightly from Clementi's earlier view of S C Z O Z ~ O as "fiee, neither legato nor

staccato. "

Despite the late date of his treatise, Hummel (1829) conceives of the

dots-and-slur notation as akin to the relatively comected touch that is associated with

portato in eighteenth-century keyboard methods. Although Hummel does not use the

terms portuto or sciolto, he understands passages marked by dots under a slur to be of "a

singing character. .. [requinng]. ..an increasing degree of ernpha~is ."~~~ Hummel's

"TÜrk/Haggh, 1 12. 'ooClementi, xxv- 'O' Cramer, 53. L02Czemy, 186. Czerny also substitutes dashes for dots under a slur in the "lingering staccato." '03fiid. lWBemard Harrison (p. 47) observes that nineteenth-centxry accounts reflect "...the considerable change in practices of articulation and, within the context of an increasing emphasis on a legato manner of performance, the Trogen der Tme indication [i-e., dots under a slur] was categorized as a type of staccato touch, rather than, as previously, a touch requiring the sustaining or holding out of notes." Harrison indudes Czerny's account in this category . l o S H ~ e I , Part III, 65.

musical example shows the dots under a slur accompanied by a cxescendo, suggesting

that the "increasing degree of emphasis" might correspond to a dynamic increase.

At this point in his treatise, Hummel specifies only that notes marked by dots

under a slur are to be "gently detached by the fkgers."'" However, he notes elsewhere

that the singing style (in contrast to the ''strkt style") requires thzt '=the notes [in the

Adagio J. ..be much more sustained, more closely connecteci, ;as it were, rendered

vocal, by a well-directed pressure."'07 Hummel thereby implies nhat the "gently

detached" touch required of notes marked by dots and slurs would have been compatïïle

with the touch of the "singing style," a touch which wodd have required a certain degree

of " well-directed pressure. "

Ln 1 845, six years after the French version of Hummel's -atise was published in

Paris, Chopin may have associated the dots-and-slur notation in Op. 58/III with a "gently

detached yet singing touch sirnifar to that described by Hummel. Dots are placed above

each of the chromatically descending right-hand notes in m, 78 that initiate the transition

back to the tonic key of this section, and the notes marked by dots are encompassed by a

long dur (Ex. 4- 10).

106Thomas Higgins (p. 57) cites an English translation of the French version of Hummel's treatise, in which dots under a slur are described as conveying an "accented and detached" touch. L07Hummel, Part III, 42. Earlier, Hummel had noted (p. 297, Part XI) that, in the "strict style," the player "must not s a e r the fingers to dwell on the keys, either longer or shorter than the exact time of the notes," so as not to confuse the hartnony.

Example 4-10: Op. 58AI, mm. 77-78 (autogrnph fair copy, c 1845)

The dots under the long slw are evocative of the highly expressive portatu descriid by

C.P.E. Bach and Türk and the notation may dso call to mind Mancini's sciolto and a

ce- fieedom of tempo that could accomodate the "increasing degree of emphasis"

that Hummel associates with dots under a slur. The "'gently detached" touch of a passage

such as this one couid be produced by a gentle weight of the arm or forearm on each of

the notes so marked. If such a slightly heavier but c o ~ e c t e d touch were applied to the

notes marked by dots under a slur, the result could be a crescendo, as weU as a slight

expansiveness of tempo, and both effects could enhance the transitional character of this

measure.

Other transitional passages in the same movement, such as mm. 92-93, might call

for a similar broadening of tempo and dynamics. In fact, the copy of the f is t Wessel

edition owned by the Chopin Society in Warsaw contains what appear to be annotated

dots above the repeated upper notes of the right-hand chords in these measures. The

chords are accompanied by a "cresc." marking (Ex 4-1 1 ), log and the dots might serve to

reinforce the "increasing degree of emphasis" communicated by the crescendo.

logThe l l~res~ . l f indication in m. 92 is absent fiom the Meissonier edition of Op. 58/III, although the fist chord in m. 93 is marked f.

Example 4-11: Op. 58/III, mm. 92-96 -sel ed., 1845)

This discussion of the dots under a slur cannot be concluded without considering

one m e r dimension of a late-eiateenh-century understanding of this notation. In

Adam's treatise (1805)' the expressive implications of dots under a slur are clarified by

the written-out displacement of certain notes in a passage. Adam @es a musical

example of a passage mar'ked by dots under a slur that shows certain rnelodic notes

delayed by a sixteenth-rest. He observes that ‘Ibis manner of detaching [i-e., that

indicated by dots mder a slurf adds much expression to the melody, and may be done

with a little slowing of the note that one wishes to emphasize."lW Melodic fieedom in

relation to the prevailing metrical puise may have been implicit in the "singing

character" that Hummel ascribes to dots and slurs, and other writers seem to have

associated melodic fkeedom with sciolro and the expressive fieedom of tempo discussed

in Mancini's treatise on singirig.

Regardless of whether Chopin was influenced most by Tiirk, Adam, or Hummel,

his use of the dots-and-slur notation in Op. 58/I I I suggests a continuation of the

IwAdam, 156. "...cette manière de détacher ajoute beaucoup a l'expression du chant, et se fait quelquefois avec un petit retard de la note qu'on veut exprimer ainsi."

eighteenth-centuryportato articulation, which in hun may have derived £Îom the

imitation of the voice. This expressivey weighted touch would have been considered

primarily comected rather than detached, and it might have been achieved in Chopin's

sonatas by using the weight of the foreann to achieve a "carrying" of the tone fiom one

key to the next.

Chopin's sonatas do not contain the ternis cclegato" or "staccato" in conjunction

with leggiero, as do some earlier works such as the Op. 2 variations (1 827).'1° Al1 of the

leggiero markings in Chopin's sonatas occur in quick ccmovements" (Le., tempi) with

rapidly-rnoving notes. Czerny's treatise (c. 1839) clarifies that a "staccato" context is

assumed with regard to leggiero (defined as "free, Light, agile7'), although the term may

also occur in conjunction with "legato."l"

All three first editions of Op. 58 give Ieggiero at the beginning of the second

movement. The contrasting Trio section of this rnovement is marked "'legato," and this

would suggest that the "A" section (marked leggiero) be executed with a touch other

than a "legato7' one. In this context, Ieggiero could reasonably be interpreted as a

"quickness of release" relative to "legato."

The term leggiero appears more ofien in the Geman sources of Op. 58 than in

any of the other early sources of th-s work. Ji the exposition of the first movement, the

L1OHigginsy 107. Higgins suggests that Chopin, unlike Beethoven, employed the term leggiero to denote a "lightness of atfack, not a quickness of release." As evidence, Higgins cites the "legato" and "staccato" designations that appear dong with leggiero in Chopin's Op. 2 variations. lHCzerny, 1 89.

autopph fair copy and the Geman editions show leggiero at m. 66, following a

decrescendo (Ex 4- 12), where the Engiish and French editions simply give p. At m. 176,

the pardel place in the recapitulation, the Zeggiero theme is ushered in by a crescendo in

the first Breitkopf & Hàrtel edition (Ex 4-13).

Exampie 4-12: Op. 58/I, mm. 64-71 Wreitkopf & Hiirtel ed., 1845)

Example 4-13: Op. 58/I, mm. 174-180 (Breitkopf & Hârtel d, 1845)

Leggiero might, in this context, indicate a "lightness of attack" that wodd be equivalent

to a subito piano,

Ln the German sources, leagiero serves to delineate an inner voice by means of a

more detached articulation- The Zeggiero indication in the autograph fair copy and the

first Breitkopf & Hartel edition of Op- 58/1 coincides with the emergence of art imer

voice, in sixteenth-notes, in the right-hand line of m. 66 (see Ex. 4-12) and m. 176 (see

E x 4- 13). The outer voices feature their own separate articulation markings: two-note

slurs in the melody and dots undemeath the bass line.

In addition to delineating local contrasts in texture and enhancing the perception

of distinct contrapuntal voices, a Zeggiero touch may heighten the perception of contrasts

of a more structural nature, The sections of Op- 58A that are marked leggzero in the

German sources represent related thematic areas within the second subject-group of this

rnovement. In cornparison to the sostenuto marking at the omet of the second subject in

both the exposition (m. 4 1 ) and the recapitulation (m. 15 l), the leggzero touch that

corresponds to the related theme wodd create a change in articulation, thereby

highlighting the thematic shift. ' l2

Leggiero is associated with contrasting thematic areas in the £inale of Op. 58, as

well as in the first movement, and the term designates the secondary theme of the

extended rondo form. In the Gennan sources, Ieggiero is found at both appearances of

this episodic material while, in the French and English editions, Zeggiero is present ody

at its first occurrence.

"*The second subject of Op. 35A is also accompanied by a sostenuto indication, which may serve as a foi1 to the agitato at the beginning of the movement (following the - - --Grave" introduction in the first four measmes),

At a local level, leggiero in the fair copies and first editions of Opp. 35 and 58

suggests both a ccquickness of releasey' and a "lightness of attack" that would be

consistent with Czerny's and Beethoven's understanding of the term. At a structural

level, Ieggiero sets off secondary thematic areas of varying Iengths. As in the case of

"legato" and even sustenutu, Chopin seems to associate leggiero with an entire musical

"period," the scope of which is determined by the scale and structure of the movement.

Summarv

Although much has been wrïtten about Chopin's "legato," the early sources of

Chopin's sonatas show the term used in idiosyncratic ways. Above all, "legato" is found

in contexts that are not directly imitative of the human voice. In the 1 845 Meissonier

edition of Op. 58/1, "legato" suggests a prolonged touch in the lefi-hand accornpaniment

in the development section, and this prolonged touch rnay be similar tu that described in

Czerny's treatise (although Czerny never refers to it as "legato"). In this instance,

Chopin's use of the term "legato" may indicate a sustaining of the bass note in the sense

of Ekier's "harmonie legato."

in sources other than the first English edition, "2egato7" is placed between the

staves at the contrasting "Trio" of Op. 58/II and may create an articulative contraçt to the

outer cWolto vivace - ieggiero" sections. "Legato" is also indicated at the beginning of

Op. 35/IV, and is apparently not considered incompatible with the short articdative slurs

that appear toward the end of the movement in the early sources. Chopin, like Hummel,

seems to apply the "smoothest and most comected mannef' to an entire "musical

period" in the latter two instances. There is no indication that the "legato" touch would

override shorter incise slurs in Op. 35/TV, which serve to ciai@ the rheaoric of tbe

movernent

Atthough "legato" was understood as the prevailing keyboard to;~uch by the eariy

nineteenth century, the term was associated with a simple c o ~ e c t e d touch rather than

with a sustained or prolonged touch, even as Iate as Czerny's treatise (c- 1839). By the

mid-nineteenth century, a more sustained touch than the "ordinaIf' legato rnay have

been conveyed using terms such as sosremrto orportarnento, which reinrforce the historic

comection between sustained sound on the keyboard and the imitation clof the human

voice. Akhough Chopin may have distinguished between the "legato" amndportumento

touches in his teaching, he seems to have preferred the term sostenuto tva cornmunicate a

sustained, singing touch in the lyrical second-subject areas of the first miovements of both

Opp. 35 and 58. Sostenuto may have been chosen for its associations wïith a slight

rehxation of tempo.

In the sonatas, Chopin appears to use Ieggero to designate a detached

articulation that involves both a "lightness of attack" and a "quickness omf release" (to

borrow Higginsy teminology, if not his conclusion). Such use wodd be= consistent with

the description of Zeggiero found in Czemy's treatise. By contrast, dots . in the early

sources of Opp- 35 and 58 are often applied to single notes and may be cassociated with a

more expressive function than is suggested in some treatises c. 1830. Pauticularly in the

first French editions of the sonatas, dots signifjr a distinctness that resultos Erom additional

pressure or slight dynamic stress as opposed to the rapid release that worrild result fkom a

"short, dry touch." The use of dots to convey pressure, distinctness, and expressivity is

characteristic of treatises that d e s d e late eighteenth-century keyboard practices, such

as those of Türk, Clementi, and Adam.

It is againsi th& historical backdrop that Mathias' contention that Chopin's touch

was ccabsolutely of the old legato schml of Clementi and Cramer" rnay be revisited That

Mathias, who studied with Chopin during the period in which the sonatas were

pubtished, should use the term "legato" in such a conservative sense implies that Chopin

might have retained an understanding of the "legato" touch as a connected one at this

tirne- Notwithstanding thk comrnon understanding of "legato," Chopin's idiusyncratic

use of the wrîtten "legato" indication in the prùnary sources of Opp. 35 and 58 appears to

signal a more sustained touch in non-melodic contexts, as well as a relatively subdued

character, both of which are lirnited to a particular musical "period."

The "great variety of touch" with which Chopin had enriched the basic

foundation provided by Clementi and Cramer may thus have included specific effects,

such as a binding together of sounds in non-melodic contexts, as well as a return to

articulative eflects previously associated with earlier keyboard music, particularly with

regard to detached articulation. Such effects, as later described in Godefioid's treatise of

186 1, may have been considered novel by many pianists who had lost contact with the

histoncal b c t i o n of detached articulation on the keyboard as an expressive device- In

like fashion, the highly sustained touch in Chopin's pallet of tonal and articulative

colours may have served a sirnilar expressive h c t i o n to that of the former "slurred

articulation": that is, as a novel effect, originaiïy associated with the melodic idiom, and

orre which was not to be diminished by continuous use.

Like issues of articulation, the consideration of tempo &uto and tempo

adjustment in Chopin's music necessitates a re-examination of the historical milieu in

which these ideas existed Although ideas about tempo ru6ufo and tempo adjustment are

intenvoven in nineteenth-century music, the present chapter and those which foUow

attempt to treat flexibility of tempo and nrbato as separate concepts. The main reason

for doing so is that the term tempo rzcbuto (literally, "stolen time") appears to have been

associated with at least two different practices that coexïsted during the first half of the

nineteenth century, although only one of these practices involved a Zocalized acceleration

and retardation of the overall tempo. Both Hummel (1 829) and Czerny (c. 1839) use the

term in this sense.

The other practice of rubato, one that might have been less familiar to pianists of

HumrneI1s and Czerny's era, involves an alteration of rhythm in the melodic line while

the accompaniment maintains a steady pulse. This type of rubato is described in

keyboard treatises ofthe late eighteenth century, &ou& the practice appears to have

continued into the nineteenth century. Daniel Gottlob Türk (1789) distinguishes tempo

rubato, which he defines as an adjustment of melodic note values in relation to a

metrically steady accompaniment, from other "extraordinq" effects such as "playing

without keeping steady time" (Le., suspending the menical pulse) and "quickening and

hesitating" (Le., accelerating at the beginning of a phrase, then compensating by means

of a ritardando).' Similariy, the second edition of Carl Philipp Emmanuel Bach's

Daniel Gottlob Tùrk, Kirnierschule (Leipzig, 1789), trans. Haggh, 359,363-365. Tiirk notes that tempo rubato can also refer to a displaced accent or a notated syncopation.

Versuch (1787) refers to tempo rubato as involving a steady beat in one hand while the

other hand appears to "play against the barn2

Although Turk's tempo rubaro mimics the "steding of time" that had been

descnied in eighteenth-century treatises on singing since Tosi, it would be an

oversimplification to suggest that this type of "vocal rubato" was an earlier development

than the acceleration and retardation of tempo, at le& among keyb~ardists.~

Furthemore, the practice of adjustïng notated rhythmic vatues in the melody in

performance (uidependently of any such adjustrnents in the accompaniment) was

understood well into the nineteenth century by singers trained in Italian practices, even

though many pianists appear to have lost touch with this "earlier" practice of rubaro. Ln

order to avoid m e r confusion surrounding an attempted chronology of rubato. 1 prefer

the term "vocal rubato" to refer to the improvised modification of melodic note values in

relation to a steady metrical pulse in the accompaniment, whether used by pianists or

singers in the eighteenth or nineteenth centuries.

This cbapter will examine the musical and historical context for rubato in the

mid-nineteenth century as a backdrop for Chopin's use of the term- Although no explicit

rubato indications are present in the sources of Opp. 35 and 58, an awareness of the

simiiarities between Chopin's use of rubato in other circumstances and the "vocal

* Car1 Philipp Emmanuel Bach, Versuch iiber die wahre Art dus Clavier zu spielen, 2d e d (Berlin, 1 787); translated by William Mitchell as Essay on the T'e Art of Playing Keyboard Insfrzrments (New York: W. W. Norton, 1949), 1 6 1. ' Richard Hudson, Stolen The: The History of Tempo Rubato (Cambridge: Cambridge University Press, 1 996), 140-143. Hudson observes that, by the beginning of the nineteenth century, tempo rubato appears to have been understood as an acceleration and retardation of tempo as well as in the sense of a melodic adjustment only, and that the tenu may have been used to apply to tempo flexibility in both han& as early as Christian Kalkbrenner's Theorze der Tonkunsr ( 1 789).

rubato " still practiced by Italian singers of his day provides a fiame of reference for

undestanding d a t o in the sonatas, especially Op. 58. The focal point of this

discussion of m b t o in Chopin's sonatas witl be the relationship between the notation of

a particuiariy significantfioritura in the prïmary sources of Op. 58/m and the notion of

rubaro. To begin with, however, it is necessary to consider some modem views of

rubato in Chopints music.

Although JeEey Kallberg does not offer specific ideas about how Chopin's

rubato may have been achieved, he cites early-nineteenth century writings on the subject.

Kallberg notes that a reviewer, wrïtiog in Le piunisle in 1834, compares Chopin's use of

rubafo to that of Dussek. The same reviewer criticizes Chopin for not giving others an

opportunity to learn to imitate his rubufo by perfonning more in public-' Chopin's

newly-published Nocturne in G rninor (Op. 15, No. 3) is said to be "in rubato fiom one

end to the other," requiring "a great deal of dexterity" in order to bring off suc~essfully.~

Kallberg's discussion of Chopin's mbato is somewhat limited due to the incidental nature

of the subject in the context of his chapter; nonetheless, his observations suggest that the

rubato associated with Chopin in the mid-1830s was related to that of earlier pianists,

such as Dussek, and that such a rubato may have required a certain technical facility or

coordination to execute.

Richard Hudson posits that the appearance of the term in Chopin's earlier works

(until about 1835) is congruent with a type of rubalo that derives its effect fiom the

anticipation or delay of significant notes within the framework of an established pulses6

' JefEey Kallberg, "The Rhetoric of Genre," in Chopin ut the Bodaries: Sex. HHisry, and Musical Genre (Cambridge MA and London: Harvard University Press, 1996), 11.

Ibid., 12. Hudson, 41-112.

This type of d a t o is descnibed in both vocal and instrumental treatises of the Iate

eighteenth century, including keyboard treatises, as well as in singing treatises of the

early nineteenth century and later. However, Hudson observes that the term rubato in

nineteenth-century usage could refer to any fluctuation fiom ccsû-ictyy tempo, including the

speeding up and slowing down withùi a phrase as weU as the improvisatory freedom

associated with caderua-like passages written out as small notes.' Franz Liszt and Louis

Morreau Gottschalk are cited as examples of mid-nineteenth-century keyboard virtuosi to

whom the tenu d a f o was synonymous with a generalized fieedom fiom an established

pulse.8 During the latter part of the nineteeth century, the assumption that Chopin

understood rubato in the same sense as other pianists of his day (such as Gottschalk and

Liszt) appears to have been accepted almost without question. However, the recent

work of Jean-Jacques Eigeldinger has enabled pianists and scholars to reevaiuate the

influence of a "vocal rubato " in Chopin's music.

Rubato in Nineteenth-Centwy Keyboard Music

The rneaning of rubuto may have been shifting, in keyboard parlance, as early as

the beginning of the nineteenth century. Writers of keyboard treatises in the tate

eighteenth century, such as C.P.E. Bach and Tiirk, describe rubuto in terms of an

adjustrnent of the notated durationa1 values of the melodic line only. Such adjustments

for purposes of heightened expressiveness are also described in Adam's keyboard treatise

' Hudson, l,4-12,207. See also Sandra Rosenblum, Performance Practices in C h s i c Piano Music (Bloomington, Indiana: Indiana University Press, 1 9 8 8), 3 73 -3 92. Rosenblum refers to "agogic rubato" as characteristic of nineteenth-century style and uses the terms "contrametric rubaro" or tempo rilbaîo to refer to eighteenth-century practices, although there may have been considerable overlap between these styles-

Hudson, 213-214.

(1805), but without explicit reference to the term rubato. However, Adam clearly

stipulates that the bass line, which controls the underlying tempo, should not participate

in any rhythmic alteration of notes in the melodic line:

Undoubtedly the expression demands that one sIow d o m or press (speed up) certain notes of the meIody, but these retards should not be continuai throughout the piece, but oniy in those places where the expression of a Iangorous melody or the passion of an iigitated melody demand a retard or a more anirnated tempo- In this case the melody should be altered, and the bass should keep smct tempo?

Adam's avoidance of the term rubato to descnibe the alteration of rhythmic values

in the melodic line suggests that rubato might have been understood to convey some

other musical effect. Hummel (2829) impIies that earlier practices surrounding rubato

were poorly understood by pianists of his day, and he offers another rneaning of the

term. To Hummel, tempo rubato signifies a "capricious dragging and slackening of the

time."ll Hummel sees the slowing down of "tirne" as problematic, since it could be

"introduced at every instant and to satiety" as a poor substitute for the absence of

"natural inward feeling."12 Hummel does not veto al1 modifications of "hme," but only

those that are done without moderation, in the wrong places, and in too short a space of

t h e (e-g., in a single m e a ~ u r e ) - ~ ~

- - - - --

Louis Adam, Méthode de piano (Paris, 1805); facsimile reprint (Geneva: Minkoff, 1974), 160. "Sans doute l'expression exige qu'on ralentisse ou qu'on presse certaines notes de chant, mais ces ritards ne doivent pas être continuels pendant tout un morceau, mais seulement dans quelques endroits où l'expression d'un chant langoureux ou Ia passion d'un chant agité exigent un retard ou un mouvement plus animé. Dans ce cas c'est le chant qu'il faut altérer, et la basse doit marquer strictement la mesure. " "Hudson, 87-8 8. Hudson discusses the difference between instrumental and vocal perceptions of rubato in the eighteenth century, noting that instnimentalists tended to think of nrbuto as a ciisplacement of the melody fiom the accompaniment, while singers descnie it more in terrns of rnelodic dterations. "Hummel, Part III, 40. %id. '31bid., 41-42.

In contrast to Hummel, Czerny maintains that localized fluctuations of tempo

affecting both melody and accompaniment sirnultaneously are not only desirable, but are

reqyired to produce an "intended effect."'" Czerny states that 'the established degree of

movement may for a short space, and in particular passages, be changed for one that is

slower or q~icker , "~~ and he clarifies that this happens gradually rather than suddenly:

M a y passages will not produce their intended effect unless they are played with a certain graduai slackening, holding back or retarding o f the time: just as others require that the degree of movement shall be graduaiiy accelerated, quickened, or hurried ~nwards - '~

Apparently, Czerny considers tempo adjustments that involve the accompanirnent as well

as the melody as an integral part of the interpretive process.

Richard Hudson asserts that Czerny used the word rubato to refer to the "later

type," (i-e., tempo adjustments involving both han& sirnultaneously), although Czerny's

influence on Chopin would have been minimal." The idea that Chopin's d a l o was of

the "accelerando-rallentando type" may have arisen fiom the assumption that d u t 0

meant the same thing to him as it did to other pianists of his generation. Thomas

fiiggins, wnting before Eigeldinger's research was published, alludes to Liszt's authority

in asserting that Chopin's rubato was "of the accelerando-rallentando type?' Although

accounts of Chopin's playing leave Little question that some degree of tempo fluctuation

was characteristic of his style, accounts of his teaching, as well as written indications in

his scores prior to 1835, suggest that Chopin viewed rubato primarily as a short-term - - -- - -

'JCzemyy Vol. 1, 189. lSTbid, 184. i6rtiid., 189. 17H~ds0n, 2 1 1 - L8Higgïns, 145-146. Nevertheless, Kggins acknowledges that Chopin's nrbaro also included the "rhythmic fieedom of a melody against a precisely played accompaniment," which suggests an awareness of earlier keyboard practices such as those described by C.P.E. Bach and Türk.

adjustrnent of the melody independent of the prevailing metrical pulse. Although it is

possible îhat some pianists of Chopin's time would have also understood the term in this

sense, the "vocal rubato" appears to have been more frequently and consistently

documented by wnters of singing treaises mtiL well into the nineteenth century than by

contemporaneous writers of keyboard treatises.

Some pianists of Chopin's generation appear to have lost contact with the "vocal

rubutu" and its effective execution. For example, Sigismond Thalberg (1 853) decries a

current practice in which notes of the melody deviate from exact metrical a l i m e n t with

the bass,lg but he seems unaware that the delaying of melodic notes that create the eflect

of "constant syncopation" in relation to the bass might, at one time, have served as a

means for expressive declamation. Thdberg suggests that one good place for such a

delay is at the beginning of a measure or phrase, an idea which overlooks the "pathetic"

fiuiction of melodic notes within the phrase or measure:

It is indispensable to avoid the ridiculous styIe and bad taste, of extravagantly retarding the notes of the Song [melody] a long whi1e after those o f the bas, thus producuig, throughout the piece, the &ect of a constant syncopation. In a slow rnelody, wïtten in long notes, it has a good effect, particularly in the commencement of each measure, or of each musical phrase, to strike the notes of the song [melody] after those o f the bas , but only with an aimost imperceptible delay-"

ThaIbergls description seems to suggest that, by the middle of the nineteenth

century, the application of the "vocal nrbato" descnied in keyboard treatises of the late

eighteenth century, such as that of Tiirk, may have become mannered and distorted in the

hands of pianists who did not understand the tradition or who had lost touch with its

original fimction of enhancing expressiveness. lhere are few indications in the few

19Sigismond Thalberg, The Art of Song appized to the Pianoforte (Boston: Oliver Ditson, l859), preface. Translation of L 'art du chant appliqu& au piano (Vienna, 18%). 201bi&

"retenez The points where the accompaniment wodd deviate from strict time to

follow the voice are indicated by the tenn "suivez," although the steady pulse of the

accompaniment appears to have been unaffected at points where the vocal line was

marked nrbato."

Pauline Garcia-Viardot was not oniy adrnired by Chopin for her frequent

performances at the italian theatre in Paris, but was also a fiend of George Sand and had

attained a position in Chopin's i ~ e r circle. Mme Viardot played the piano in Chopin's

presence and perfonned numerous voice and piano recitals with him. Her transcriptions

of his mazurkas reflect an intimate howledge of Chopin's practices, and such

transcriptions may provide a more detailed guide to the subtle nuances of rubato (as both

she and Chopin understood it) than Chopin's own occasional rubut0 indications in the

mazurkas. Viardot's conception of the tenn, like that of Manuel Garcia, is still evident in

later vocal treatises such as that of Jean-Baptiste Fauré (I886), 25 and this suggests that

the continuity of earlier practices associated with rubaro wodd have been maintained

among singers well into the nineteenth century.

Chopin had been steeped in the world of Italian singing since his early days in

Poland, and the vocal practices of the early- to mid-nineteenth century would have

impacted on his understanding of concepts such as rubato. Hudson notes that Chopin

uses the tenn rubato in his compositions from c.1828 to 1835 to indicate a momentary

effect usually limited to the mesure in which the indication appears, an effect consistent

with the rhythrnic adjustment of melodic notes within a short space of time that was still

"Hudson, 243. 2JIbid., 244. 25Jean-Baptiste Fauré, Lu voix et la chant (Paris, 1886); cited in Hudson, 82.

practiced by singersF6 Similady, JeBey Kallberg observes that Chopin's rubato

indications which do not occur at the beginning of a piece (as part of a heading that

suggests a character designation) appear to indicate a local effect, limited perhaps to a

single measure? By specifjhg the exact location ofrubato in his earlier works, Chopin

may have attempted to communicate to pianists of his time those points at which an

experienced singer familiar with the practice of rubaio might have applied it, even

though singers would have considered such notation redundant,

Chopin's Use of the Term Rubato

The absence of the term mbato from Chopin's works composed after 1835 might

suggest that Chopin, like Hummel and Adam, had conchded that nrbafo could be

understood by pianists as fluctuations from the prevailing tempo in both melody and

accompaniment, rather than as an expressive adjustment of the melody against a steady

accompanirnent. For this reason, the t e m rnight be betîer avoided2' Possibly, Chopin

felt that, if a perforrner needed rubato to be notated, he or she would not have laiown

how to employ it satisfactorily. Chopin's avoidance of written rubato markings in his

later works, including the sonatas, might suggest that he had decided to allow the

howledgeable perfonner to apply nrbato in the rnanner of an experienced Italian singer,

26H~dson, 175. "Jefiey Kallberg, Chopin at the Boundaries: Sey History, and Mmxcal Genre (Cambridge, M A and London: Harvard University Press, 1996), 12. Kallberg notes that threequarters of Chopin's rzibato indications (up d l 1835, when he ceased to inchde the term in his scores) are found in the context of the mazurkas. Elsewhere (p. 140), Kallberg observes that the mazurka genre in the early nineteenth c e n w was perceived as an expressive vehicle "...suitable as much to love songs as to war songs." "The absence of mbato indications after about 1835 musc of course, be seen as part of the larger trend in Chopin's scores of this penod toward less detailed performance indications in general, with the exception of slurs and pedal markings.

who would have understood it as a means of singing expressively even when not

explicitly indicated In fact, the rubafo effect is rarely notated in vocal scores prior to

1850, as Richard Hudson notesY2' and this would suggest that rrrbato was already

understood as an integraI component of performance.

Even though Chopin no longer included nrbato indications in his scores by the

time the sonatas were first published, his own playing apparently continueci to reflect a

type of d a t o that would have been considered a normative feature of Italian vocal

practices. Accordhg to accounts by his students from this time, Chopin also continued

to use the term in this sense in his teaching. Although John Fem maintains that the

accounts of Chopin's own students should not be given undue weight relative to other

considerations where an understanding of Chopin's rubato is conce~ned,~~ the testimony

of close observers can provide a valuable historical framework against which other

evidence can be evaluated. The most relevant accounts of Chopin's use of rubato are

recapitulated below.

Friederike Streicher-Müller, wife of the Viennese piano builder J.B. Streicher,

had studied with Chopin in Paris Crorn 1839-4 11' Frau Streicher alludes to Chopin's

aversion to the poorly-executed rubuto that was apparently practiced by some pianists of

the time:

[Chopin] required adherence to the strictest rhythm, hated al1 Lingering and dragging, misplaced rubatos, as well as exaggerated rifardandos. "Je vous prie de vous asseoir" pray do take a se&] he said on such an occasion with gentle rn~ckery-~'!

2%udson, 88. ''John Ferri, "Performance Indications and the Analysis of Chopin's Music," Ph.D. diss. (Yale University, 1996), 200. 31Eigeldinger, 18 1-1 82. 3fFriederike Streicher-Müller, cited in Eigeldinger, 49.

Another of Chopin's students, Wilhelm von Lenz, clarifies that the "strictest rhythm"

mentioned by Frau Streicher applies primarily to the le&-hand accompaniment:

\mat characterized Chopin's playing was his mbato, in which the totality ofthe rhythm was constantiy respected. The IeFt han&" 1 often heard h h say, "is the choir rnaster [Kuppe&zeister]l: it mustn't relent or bend. It's a clock Do with the nght hand what you want and

In the preface to bis edition of Chopin's complete works, Car1 Mikuli echoes von Lenz's

assertion regarding Chopin's rubaro:

Even in his much maligneci tempo mbato, the hand responsible for the accornpanimeut wodd keep strict thne, while the other hand, singing the melody, would fiee the essence of the musical thought fiom al1 rhythmic fetters, either by lingering hesitantly or by eagerly anticipating the rnovement with a certain vehemence akin to passionate speech."

These accounts by students who had worked with Chopin during the penod in which the

sonatas were composed indicate that Chopin would have understood d u t o as affecting

the melody independently of the accompaniment

The importance of a constant overall tempo in establishing the metical

framework for an expressive and coherent rubato is suggested by Car1 Mikuli: "In

keeping time Chopin was inexorable, and sorne readers will be surprised to l e m that the

metronome never left his piano.''35 Taken on its own, this remark might be interpreted to

mean that Chopin was painstakingly precise about the initial tempo of a work or section

of a work; however, the wide range of tempo terms found in sources of the Op. 10, No. 3

Etude and the Song "Wiosna" (1844-48) wodd seem to refüte such an interpretati~n.~~

33Wilhelm von Lenz, cited in Eigeldinger, 50. YCarl MiMi, preface to complete works of Chopin (leipzig: Kistner, 1880), 3; cited in Eigeldinger, 49. In addition to Mikuli's testimony, Eigeidinger includes similar statements by Georg Mathias, Wilhelm von Lenz, Pauline Viardot, and Friederike von Streicher. 3SMikuli, cited in Eigeldinger, 49. 36Mieczyslaw Tornaszewski, "Verbale Bezeichnungen von Charakter, Ausdmck und Tempo eines Musikwerkes: Deren Aendeningen im SchafEensprozess Chopins," Chopin

182

Contemporaneous accounts such as those of Frïedenke Streicher-Müller and Wilhelm

von Lenz support the idea that Chopin's insistence on the metronome could be

understood in terms of its relationship to achieving an effective rubato. The use of the

metronome to adhere to a steady pace in the accompaniment is not inconsistent with

fieedom and flexïbility of the melodic line in Chopin's works, especially those that

project an "ana" topos.

Chopin's f'Rubuto ": The Next Generations

Although Mikuli's remarks were published in the late nineteenth century, they are

consistent with earlier accounts of Chopin's ru6uto. Divergent interpretations may have

arisen, however, in the transmission of Mkdi's account. A source fiom the early

twentieth century appealing to MikuIi's authorïty, that of Michalowski, offers a slightly

different view of rubaro in Chopin's playing than that cited above:

Chopin was far fiom being a partisan to metric ngour and frequently used rubato in his playing, accelerating or shwing d m this or thuî theme [italics mine] -- .37

By a pianist familiar with late nineteenth-century understandings of rubato, this

statement could be taken to mean that the acceleration or the slowhg down of " W s or

that theme" involved both melody and accompaniment, although this is not explicitly

stateti While Chopin undoubtedly modified the tempo of both melody and

Studies IV (1 994), 162-3. Tornaszweski notes that the autograph sketch of Op. 10, No. 3 gives the tempo term "Vivace," while the autograph fair copy gives "Vivace ma non troppo" and the first edition shows "Lento ma non troppo." Likewise, out of eight sources of the Song "Wiosna" [Spring], two are designated "Lento," two "Andantino," two "Allegretto," and two contain no tempo indication. "Mikuli, quoted in Aleksander Michaiowski, "Jak gral Fryderyk Szopen?" mow did Chopin play?], Musyka W7-9 (1932), 74-75; cited in Eigeldinger, 50.

accompaniment simultaneouçly in his own playing, the idea that he would have equated

such practices with rubato rnay be atû-iiuted to MichalowskÏ and not MiMi.

Another early twentieth-century source, a translation of Jan Kleczynski, 38 codd

suggest that the specific nature of Chopin's rubato was becoming confused with an

overali fluidity of tempo. Furthemore, Kleczynski's translation shows the vague notion

of "musical intuition77 replacing earlier principles of expressive melodic decIaination as

the underlying justification for rubato:

Precise des for it [Chopin's rubato] cannot be given, because a good execution of the rubato requires a certain musical intuition ... Every rubato has for its foundation the foiiowing idea: each musical thought contaius moments in which the voice shouid be raised or lowered, moments in which the tendency is to retmhiion or acceleration Ftalics mine]. The rubato is onIy the exaggeration or bringing into prominence [ofJ these different parts of the thought: the shadings of the voice make themselves more marked, the differences in the vaiue of notes more apparent..39

Even though the intuitive basis for mbato appears rather vague in this account, it will be

noted that Kleczynski describes nrbato primarily in terms of the voice.

By the early part of the twentieth century, accounts of Chopin's rubuto were

being filtered through late-nineteenth c e n t q sources. The generations of pianist-editors

after Michalowski and Kleczynski may have assumed rubato meant the same thing to

Chopin as it did to many other pianists of their own time: that is, a series of fluctuations

in a given tempo that involved both melody and accornpaniment simultaneously." Such

'qigeldinger, 102- 103. Kleczynski had apparently studied with a number of Chopin's students, as well as with Julian Fontana, during the 1860s in Paris, but never with Chopin himself Eigeldinger remarks that, with regard to Kleczynski's writings, "... it is difficult at times to distinguish between what came fiom Chopin's own pupils and other ideas attn'butable to other sources.. .". 39 Jan Kleczynski, trans. Alfred Whittingharn, How toplcry Chopin: The works of Frederzc Chopin, rheir proper inrerpretation, 6th ed. (London: William Reeves, 19 13). 4%igeldinger (p. 122) quotes an excerpt from the diary of Lachund., one of Liszt's students: "On this occasion piszt gave us] an important insight into the Lisztian rubato, consisting of subtle variations of tempo and expression within a free declamation, entirely different fiom Chopin's give-and-take systern. Liszt's rubato is more a sudden,

assumptions, of course, contradict accoimts by those who studied with Chopin around the

time the sonatas were composed, such as Streicher-Muller, von Lenz, and Mikuli. The

testimony of these students suggests that Chopin used the term rubato to refer primarily

to expressive alterations of the melody above a steady underlying pulse in the

accornpaniment. As Garcia's treatises on sinping demonstrate, rubato was still being

used in this sense by Italian singers in the mid-nineteenth century.

One feature of the "vocal rubutu " that contnbutes to its expressive effect is the

impression of improvisatory fieedom in the melodic line whiIe the accornpaniment

remains metrically steady- While this effect may have been exploited by keyboard

players as well as singers in the nineteenth century, it is more commonly described in the

keyboard treatises of the latter part of the eighteenth century than in those of the early

part of the nineteenth. As previously noted, Türk (1789) associates the anticipation or

delay of melodic notes for expressive purposes with tempo nrbafo, and he implies that

this practice is improvised in the manner of singers rather than notated. The second

edition of Car1 Philipp Emmanuel Bach's Versuch (1 7871, however, identifies a notated

type of tempo rubuto for keyboardists, consisting of "unusual" groupings of small notes

in the right hand that, when distriiuted more or Iess evenly above a steady metrical pulse

in the accompaniment, create the impression of being "played agaiast the bar."" Bach's

compositions show such groups of indeterminate nurnbers of small notes often found in

"varied reprises" or in final restatements.'"

Iight suspension of the rhythm on this or that significant note..? 'lC.P.E. Bach, trans. Mitchell, Essay on the Tme Art of Playing KeyboardInshzm?enis, 161-162. 42 C.P.E. Bach, Sechs Sonaten mit verunderten Reprisen fur Clavier, (Berlin, 1760); ed.

Étienne Darbellay (Winterthur: Amadeus Verlag, 1 W6), 3 7-3 8.

185

Although Chopin does not appear to have used the term rubato to descnie

irreguiar groupings of notes, Richard Hudson likens the small-note groupings in Chopin's

music to the small-note tempo rubaro groupings descriied by C.P.E. Bach." Ofteq

thesefiorzture occur on a structural repetition and fiindon as a means of heightening the

expressive content when a theme recurs. The remainder of this chapter will focus on the

relationship between such a fioritura in the lyrical third rnovement of Op. 58 and the

notion of rubato, both fiom a keyboard and a vocal perspective.

Im~rovisatorv Freedom, Rubato. and the OD. 58mf Fioritura

As is the case in many of Chopin's works, the smaltnote embellishments of the

melodic line in Op- 58mT appear in the final restatement of the main theme. Interpreting

suchfioriture in tems of a suspension of the metrical pulse might find some justification

in Czerny's treatise. However, writers such as C.P.E. Bach and Hummel, who generally

reflect more conservative practices, maintain that smdl notes are to be played in relation

to the existing metricd pulse. Although C.P.E Bach expIicitly refers to the practice of

p!aying small notes against a fairly strict accompaniment as tempo rubato, Hummel does

not. It is conceivable that Chopin's model for the performance, as well as the structural

Function, of thesefioriture may have been the one advocated by C.P.E. Bach with regard

to irregular groupings of smaU notes. Chopin may have envisioned such small-note

groups in relation to the established metre, as both C.P.E. Bach and Hummel appear to

have done?

J3H~dson, 133-134. UFem (p. 200) maintains that an effective performance of Chopin'sfioriture requires "the total emancipation of melody fiom accompaniment and represents Chopin's complete mastery of the tempo rubaro and his extraordinary use of a vocal technique as a

CPE. Bach's definition of tempo nrbato invoIves one hand maintaining a strict

pulse while the other appears to deviate from the rnetre, in a quasi-improvisatory fashiom,

by playîng "uiusual" numbers of notes:

Tempo rubato is.-.simply the presence of more or fewer notes than are mntained in the ~iormal division of a bar...When the execution is such that one hand seems to play against the bar and the other strictly with it, it rnay be said that the performer is doing everything that can be expected of him.'*

Although Hummel's treatise (1829) does not use the t e m mbato in referrïng to

small-note groupings, the idea that the bass line remains steady might suggest a

continuation of Bach's practice. As an exarnple of how to execute ïrregular groupings OF

small notes, Hummel cites the Adagio of his own Sonata, Op. 106:

.-.The Ieft hand must keep the tirne strictiy, for it is here the fkm basis on whkh are founded the notes of embellishrnent, grouped in various numbers, and without any regulari distribution as to rneasure.--a

Hummel's description suggests an expressive melodic freedorn created by a seerningly

random distribution of the small notes played against the steady pulse of the

accompanying left h a r d

In the treatises of both C.P.E. Bach and Hummel, small notes may be visually

necessary to reflect the division of the rneasure into shorter note-values than would be

allowed by means of customary notation. Suspension of the prevailing metrical pulse is

not necessarily implied by small-note notation under these circumstances. For his part,

however, Czerny (c. 1839) regards small-note "embellishments" as cadenza-like passager

that denote fieedom fiom the established metre:

compositional resource." Fem does not go so far, however, as to assert that the accompaniment would have kept strict t h e . ''C.P.E. Bach, tram. Mitchell, Essay on the Tme Art of Playing Keyboard Instmments, 161. J6Hummel, Part III, 53.

Pauses and embeEshments (which-..are very long, and are then calleci cadem) are the only cases in which we are aiiowed to abandon the exact movement and where consequentiy a sort of caprice rnay find a p l a ~ e . ~

Czerny differentiates between irreguiar numbers of mal1 notes, which he considers

independent of the prevding "movement," and large notes, which are to be played in

relation to the rnetre- Even in the case of large notes, however, the idea of rnaintaining a

steady metrical pulse in the accompanying band is minimized. In large-note contexts,

Czerny suggests simply that the total duration of the irregular grouping take up the same

amount of time as a measure played in sûi-ct tempo?8 Such an execution would, of

course, allow the left hand to participate in any fluctuations.

It is apparent that pianistic opinions of Chopin's time differed as to how passages

such as the small-notefiorirura in m. 102 of Op. 5 8 m (Ex 5-1) might be played.

While Czerny contends that small notes are to be interpreted as a "sort of caprice"

involving fieedom corn "exact movement," Hummel frowos upon a "caprïcious dragging

of the t h e " and views small-note embellishments in relation to the metrical framework

of the accompaniment. Whereas Czerny might allow for a suspension of the metrical

"Czerny, 122. 481bid., 14 1-142. As an example, Czerny shows a large-note excerpt fiom the melodic fine of an Allegro, in which a triplet is followed by two groups of four sixteenth-notes h hi ch, in turn, are followed by a sextuplet. The increasingly shorter note-values represent the subdivision of quarter-note pulses into increasingly shorter units, and tfiis may be seen as an attempt to notate an ucderation of "tirne" towards the end of the measure. In the text corresponding to this musical example, Czemy confïrms that the '%elocity of the run m u t be augrnented by degrees so that the space of the bar may be properly mled up," but cautions that irregular groupings of notes in the right hand should not be played too mathematically: "When a quick nrn of several odd numbers of notes occurs, the diversity between the different species of them must not be made too sensible to the ear, by separating them into distinct groups but they must run on with the greatest possible equality."

188

pulse in instances such as thisfiorihrra, Hummel would likely advocate that it be realized

within its alloted metrical space (Le., as the last quarter-note ofthe measme).

Example 5-1: Op. 58/IIi, mm. 99-104 (Breitkopf & Hiirtel ed., 1845)

While Czerny might expect the value of the individual notes of thefioritura to fluctuate

accordhg to the whim of the performer, Hummel suggests a gradua1 acceleration by

means of progressively shortening the value of successive notes." While Czerny's

treatise may reflect current practices of perfonning small notes (e-g-, the "cadenza-like"

passages in Beethoven's sonatas), Hummel's method suggests a continuity with earlier

keyboard practices such as those of C.P.E. Bach?

49 Hummel, Part III, 53. "The player must play the first notes of the bar rather slower than those which succed them." ''The musical example Hummel employs to illusirate the execution of small notes is taken fiom an Adagio movement In instrumental treatises of the late eighteenth- and early nineteenth centuries (including Hummel's), "Adagio" refers to a singing touch as well as an expressive character.

The written-out srnall-note embeIIishments of a melodic line desmied by Bach

as tempo mbato may serve both expressive and structural ends, and these fùnctions of

rubato are also idenbfied by Manuel Garcia Garcia states that rubato may "aid the

musical colouring, especiaily when repeatuig a phrase,7y5' and that it can serve to "break

the monotony of regular movements and give greater coherence to bursts of passion."52

Richard Hudson observes that Chopin's written nrbato indications in early works, such

as the Mazurkas, may parallei the structural and expressive functions identified by Garcia

by articulating the repetition of a unit of music and intemimg an expressive high point

or appoggiat~ra.~~

In light of the "aria" topos of Op. 58/1117 one rnight expect to find structural and

expressive elements of rubato, as outlined in Garcia's treatise, in this movement.

Aittiough the small-notefiorirura in m. 102 is not designated as rubato, its function is

both structural and expressive. Thisfiorifuru not only draws attention to the reprise and

to the main melodic idea of the movement but also embellishes the expressive upward

leap of a sixth that characterizes tbis idea. Like the "vocal nrbuto, "the effective

execution of irreguIar groupings of notes in keyboard music would depend oo s steady

metre being maintained by the accompaniment.

SmaIl Notes in Cho~in's Music

The parallels between Chopin's use of srna11 notes to s_vmbolize omaments and

that of Garcia has been discussed in Chapter m. Both Garcia and Chopin employ

groups of small notes to designate "appoggiaturas" (simple, double, or triple), gruppetti,

and mordents, and these small notes are understood in relation to an established metre.

Garcia makes it clear that srnail-note omaments consisting of single or multiple notes are

invariably begun on the beat, thereby fulfiIling their expressive fùnction by displacing an

important melodic note in relation to a steady accornpaniment Garcia does not

specificdly mention irregular groups of small notes, perhaps because such groupings

would have been more characteristic of the notated keyboard rubuto mentioned by

C.P.E. Bach than of the unnotated vocal rubato. In general, small ornamental notes in

vocal music of the rnid-nineteenth cenhrry would not appear to have ~mplied freedom

fiom an established metre to the extend that a pianist such as Czerny might assume.

Without taking into account the influence of vocal practices as well as earlier

keyboard practices on the music of Chopin, scholars such as Thomas Higgins have

struggled with whether small notes in Chopin's music are to be played in relatively "free"

time or in relatively "strict" time. hstead of considering the historical context provided

by nineteenth-century treatises such as those of Hummel and Garcia, Higgins focuses on

small-note precedents in the keyboard works of Mozart and Beethoven. Higgins

apparentiy expects that small notes in a "vocal" context (e.g-, a Mozart Adagio) wodd be

realized in relation to a metrical pulse, whereas those in a purely "instrumental" idiom

(e-g., a Beethoven sonata) might be played more fieely. It might be added that groups of

small notes in Mozart's melodic line could reflect the type of rubuto mentioned by C.P.E.

Bach, which requires relatively strict time in the accompaniment, and that Hummel's

Adagio features an irregular grouping of small notes in the tneIodic line that also requires

the left hand to "keep the time ~trict ly."~ Higgins concludes diplomatically that "each

case [of small notes in Chopin] must be decided individually."

Richard Hudson takes a stronger position than Higpins and asserts thatfioriture in

Chopin's music, which involve unmual groupings of notes (large or srnail), are to be

played while the accompaniment keeps relatively strict time? One of his reasons for

this assertion has to do with the instruments on which such ornamental passages would

have been played. Hudson believes that, in addition to functioning as a structural

embellishment, thefioriruras of Chopin would have enhanced and sustained the "long

singing line" on a Pleyel instrument, and this long line might be lost if thefioritura were

to be played with total metricd freedom." Both Hudson and Wggins recognize that

groupings of small notes in Chopin's music might be played in relatively strict time, and

these modem perspectives can be broadened through an awareness of the historical

context provided by treatises such as those of C.P.E. Bach, Hummel, and Garcia, and

Czerny. Czerny's treatise allows for a relatively free treatment of small notes functioning

as "cadenzas"; on the other hand, Bach, Hummel, and Garcia point to an execution of

small notes that relates to an established metre whose continuity may be maintained by

the accompaniment.

SIHummel, Part III, 53. 55Higgins, 1 10- 1 12. S6H~dson, 197. S71bid, 198-199.

Notation of Fioriture in the Prirnarv Sources of On 58m

SIight variants among the sources in the notation of the fiorztura

suggest this embefishent may have been reaLized eÏther in relation to the metre or more

eeely. While the notes are identical in dl the primary sources, subtleties of phrasing

offer clues into the range of possibilities for interpreting this written-out ornament In

particdar, ciifferences in slur markings point to Chopin's conception of thisfioritwa

In the autograph fair copy, as well as in the £ira German edition (see Ex. 5-l), the

fioritwa in m 102 is encompassed by a long slur that begins wîth the anacrusis to the

reprise in m. 99 (Ex 5-2). No change in dynamic marking is indicated at thefioritura.

Example 5-2: Op. 58/III, mm. 99-104 (autograph fair copy, 1845)

193

By cornparison, the hrst French and English editions give short slurs, as welI as app

dynamic Endication, at the beginning of the$oritwaa The Meissonier edition shows a

four-measure slur fiom the b e g h k g of the reprise to the third beat of m. 102, foLiowed

by a very short dur at the end of the measure encompassing the embellishment figure,

then a new dur at the be-g of m. 1 O3 (Ex 5-3). The Wessel edition also gïves

separate slurs at the beghnïng of the first two four-bar phrases in the reprise (mm 98

and 1031, but differs fiom the Meissonier edition in that no slur is found above the

embellishment figure (Ex. 5-4). Both the fïrst French and English editions imply an

articulative and dynamic separation of îhefioritura fiom the surrounding texture. On the

other hand, the German sources suggest that thefioritura might be integrated into the

prevailing melodic Line with little or no separation.

Example 5-3: Op. 58/ItI, mm, 99-104 (Meissonier ed., 1845)

Example 54: Op. 58/II I , mm. 99-104 (Wessel ed., 1845)

The multiple slurring possibilities found in the primary sources of Op. 58/m

might suggest different degrees of tempo flexz-bility at the point where the main theme of

the movement makes its nnal appearance. The long dur in Breitkopf & Hartel impLies

conhuity of direction, and this would involve either a steady underlying tempo or

perhaps even a slight increase of the "tirne. By contrast, the separate dur given tû-the

fiorirura in the Meissonier edition might indicate a separate "breath" (i-e., movernent of

the wrïst) and thus a rnomentary interruption of the Line before and &er thefioritura. In

the Enghsh edition, the embellishment is completely separated fÏom the preceding and

following durs, thereby suggesting metrical fieedom in the marner of a brïef cade=

This variety of durring possibilites with regard to the &al section of Op. 58/171

may cast some Light on the fluidity of the relationship between deviations fkom "strict

time" and rubato, as understood by Chopin. The Meissonier edition suggests a delay of

195

the important melodic note following thefioritura, which would correspond to the style

of rubato known to have been practiced by singers in the nineteenth cenhiry- The long

slur in the German sources may convey that the embellishment figure should not detract

frorn the metrical flow, but rather merge seamlessly into it while the accompaniment

continues to "keep the time." Realizing this irregular grouping of small notes in relation

to the metrical pufse wodd represent a continuation of the tempo rubato described by

C.P.E. Bach and the equivalent practice uidicated in Hummel's treatise. However, the

absence of slurs in the English edition may si- a more "cadenza-Iike" fkeedorn from

the estabtished "movement," as advocated in Czerny's treaîise. The slight notational

variants among the sources of Op. 58/IIZ suggest that smalf-notefiorituras in Chopin's

music could be performed in varying degrees of correspondence to an established rnetre.

Even if Chopin wouid have associated small-note passages with the type of tempo rubato

descnied by C-P.E. Bach, which wodd require adherence to a metrical pulse in the

accompanying hand, the variant of the Op. 58/mfioritura found in the Wessel edition

raises the possibility that the term might also encornpas other types of "stolen time."

S u m m m

Based on the small nurnber of keyboard treatises of the first half of the nineteenth

century that make reference to tempo rubato, pianists of the period appeared more

inclined to understand the concept as an adjustment of the metrical flow involving both

han& simultaneously (that is, as a speeding up and slowing down within a phrase) than

as an adjustment of rhythm in the melody independent of a steady accompaniment.

Nevertheless, the latter practice of tempo rubato m c m g keyboardists appears to have

196

coexisted with the "vocal rubato " described in earlier treatises such as that of Daniel

Gottlob Türk. Hummel's treatise (1829) suggests that rernnants of that practice still exist:

for exarnple, when realizing an irregdar grouping of small notes in the right hand, the

left hand is urged to "keep the time strictly." AIthough Hummel does not use the term

tempo rubato to refer to this practice, he appears to understand and advocate it. Hummel

also understands tempo nrbato to refer to tempo fluctuation, particularly of the negative

variety Le., a "capricious" speeding up or slowing down that displays a lack of "natural,

inward feeling-" Regardess of the terminology used, it seems indisputable that both

practices of rubato continued to CO-exist into the nineteenth century among both pianists

and singers, as welI as other instnunentalists.

There is little historical evidence, other than the retrospective accounts of late

nineteenth-centuy editors and the Rornanticized imagery of Liszt, that Chopin wouid

have understood the tenn rubato to mean an adjusûnent of the metrical flow involving

both hands sirnultaneously, as many other pianists of his time would have. On the

contrary, accounts of Chopin's teaching in the 1840s and indications in his published

scores prior to 1835 suggest that Chopin used the term rubato to refer to a short-tem,

expressive adjustrnent of the melodic Iine in relation to a steady puise in the

accompaniment. Chopin may have abstained from using the term nrbato in his later

works, including the sonatas, to avoid miscommunlcating an "accelerando-ntardando"

treatment when the intended effect was a more subtle "stealing" of time in the melody

only. This is not to assea that tempo deviations in both han& were not a feature of the

performance of Chopin's music in the first half of the nineteenth century. Rather, it

197

appears that Chopin, 15ke singes of his day, rnay have understood rubato (whether

explicitly indicated or not) as independent of the manipulation of overall tempo.

Of the three ways of realizing a small-notefioritm that are suggested ir- the

primary sources of Op. 58m, two of these three possïbilities are consistent with

practiceç surroundhg -the term rubato descrïbed in the late eighteenth-century keyboard

treatises of Daniel GottIob Tiirk and Car1 Philipp Emmanuel Bach, as well as the

fiinctions of rubato o d i n e d in Manuel Garcia's mid-nineteenth cenhrry treatise on

singing- These practices have in common the idea that rubaro is prharily a melodic

effect that derives its i-nipact fiom being juxfaposed against a rnetrïcally steady

accompaniment The structural location and expressive £unction of the small-note

embellishment in m. 1 02 support the notion that small-notefioriturm in Chopin's music

rnight function as a "vocal rubato1' Le., to anticipate or delay important melodic notes or

to create variety when repeating a phrase. Although the first German and French editions

of Op. 58/m suggest t h t thefioritura in m. 102 might have been realized in relation to

an ongoing metrical pulse in the lei? hand, the notation in the first English edition

implies that the prevaijing "movement" might be suspended momentarily.

Although it m a y be dangerous to infer too much fiom the variants in siur patterns

over small notes in the various first editions of Op. 58/m, these sources suggest that the

relationship between n b a t o and tempo flexibility in Chopin's music is not as clear-cut as

some scholars have suggested. Chopin may have understood small-notefiorituras as a

species of "vocal rubailo. " while he also recognized that figures associated with d m

could be pdormed independently of the metre. The following chapter will approach the

subject fiom the broader perspective of tempo and tempo modification.

CHABTER 6: TEMPO Ah?) TEMPO MODIFICATION

While written mbato indications are absent fkom Chopin's works composed after

1835, including the sonatas, notated indicators of tempo and tempo modification in the

fair copies and first editions of Chopin's sonatas are numerous and surprisingly consistent

among the so~rces.~ The tempo at the beginning of a movernent is communicated by an

Italian term suggesting the desired character or t o p s of the movement, and some

flexibility in the choice of tempo appears to be anticipated. Indications of stnicturally

reiated tempo modification are also relatively similar among the primary sources of Opp.

35 and 58. Althou& localized expressive fluctuations are seldom indicated in these

early sources, some later nineteenth-century editions contain markings as frequently as

every measure, and these markings probably refiect the degree to which tempo would

have been accelerated or relaxed within a given structural section, at least in the latter

part of the nineteenth century.

This chapter will consider both nineteenth- and twentieth-century sources of

Chopin's sonatas with a view to established practices of tempo and tempo modification,

juxtaposed against the historical context afforded by treatises c. 1760-1 840. In

particular, I shall focus on the relationship between indicators of tempo modification and

contrasting thematic ideas, moods, or affects. Nineteenth-century performers appear to

have rnodified the tempo as required by the affective and structural dimensions of the

work, as evidenced by the fiequency of tempo changes indicated in editions such as that

of Klindworth (1878). The first section of this chapter will focus on the choice of tempo

At the begiming of Op. 58/N, the Meissonier and Breitkopf & Hmel editions give "Presto non tanto." The Wessel edition, however, simply gives "Presto."

at the beginning of a movernent, and this will be folowed by a discussion of expressive

fluctuations in tempo. The remahder of this chapter will discuss the modification of

tempo in relation to the perception of structural change.

T e m ~ i in Chopin's Works: Multiple Possïbilities

Leo Treitler has demonstrated that Chopin's conception of his works was fluid,

even after the work was commited to paper, and JefEey Kallberg notes that Chopin was

not averse to revising a work for a parhcular student or patron? The versatility of

Chopin's ideas about the tempo of a work is evident in the case of the well-known Etude,

Op. 20, No. 3, whose tempo marking ranges fiom "Vivace" in the autograph sketch to

"Lento ma non troppo" in the first edition.' In this Etude, the composer's choice of initial

tempo appears fluid indeed, despite the presence of sometimes conflicting tempo tenns

and metronome markings."

By 1840, when the Op. 35 sonata was pubiished, Chopin appears to have

dispensed with his earlier practice of including metronome markings and numerous

Leo Treitler, "History and the Ontology of the Musical Work" J o m a I of Aesthetics and Art Criticism 5 1 :3 (Summer 1993), 483-497; Jeffrey Kallberg, "Are Variants a Problem? 'Composer's Intentions' in Editing Chopin," C?zopin Studies III (1990), 257-267.

Mieczy slaw Tomaszewski, "Verbale Bezeichnungen von Charakter, Ausdruc k und Tempo eines Musikwerkes: Deren hderungen im Scha.Eensprozess Chopins," Chopin Studies IV (1994), 162. Chopin's "Vivace" may have presupposed a tempo of about 100 to the quarter note, rendering the difference between "Vivace" and 'lento" less drastic than it might appear on fist glance.

As noted in the preceding chapter, MiMi's assertion that Chopin was "inexorable" in keeping time and that the metronome never lefi his piano can be understood in the context of a "vocal rubaro." That is, Chopin may have recognized the value of the metronome in teaching a student to keep a steady pulse in the accompanirnent against which rubuto effects in the melodic line might be introduced.

wrinen performance directions in the scores of his works? Neither rnetronome markings

nor rubato indications appear in fair copies or manuscript sketches of the sonatas, and

such directives are not present in early printed editions.

The Italian ternis that head each of the movements in Opp- 35 and 58 are similar

in the primary sources, and this simllarity suggests a relatively uniform conception of the

character of each movement. One exception might be Op. 3 5 m , a movement which

lacks an Italian tempo term in the German sources. The quasi-progrmatic title

"Marche funèbre" appears in the ~anuscript fair copy for the Breitkopf & Hmel edition,

as well as in subsequent manuscript and printed sources based on the first German

edition. By cornparison, the first French and English editions of Op. 3Sm mark the

movement "Lento" and designate it simply as "Mar~he."~ The "Lento" marking in the

French and English sources might serve to caution the performer not to assume a

sprightly, militaristic ropos. and the "Marche funèbre" designation in the German sources

may serve a similar (if somewhat more drarnatic) function.' Both the term "Lento" and

the "Marche funèbre" labels communicate certain expectations about the character of the

* Jan Ekier, "Frederick Chopin: How Did He Play?", Chopin SrudÏes N (1994), 14. Ekier notes that Chopin provided metronome markings for most of his works, including both sets of Etudes, until 1836.

More recent editions, including those of Mikuli, Cortot, and Paderewski, retain the 'lento" markhg in addition to the "Marche funèbre" title. ' The manuscript fair copy for the k t Breitkopf & Hartel edition of Op. 35, on which subsequent German, Polish and Russian editions (such as those of Gebethner & Wolff and Stellowslq) appear to have been based, is in the hand of Julian Fontana rather than that of Chopin. It may therefore have been Fontana who added the "Marche funèbre" designation, especiaily since the term does not appear in the first French and English editions whose fair copies may have been prepared by Chopin himself. Possibly, the "Marche funèbre" represented a homage to the "Marcia funébre" (also the slow third movement) of Beethoven's Op. 26 sonata.

movement and, in this case (unlike that of the Etude, 9p. 10, No. 3) , the variant readings

among sources present a relatively consistent picture with regard to tempo.

Chopin's abstinence fiom providing a metronome marking for Op. 35/m or for

the other movements of the sonatas (in fact, for any of his works f i e r about 1835) may

reflect a fluid conception of tempo that would encourage the performer to take into

account the perceived character of the movement as well as tangible performance

variables such as the acoustic of the room, the nature of the piano, and the performer's

technical abilities.' The absence of metronome markings might also suggest that the

performer was fiee to create "pockets of ternpoflg for each of the identifiable thematic

groups that characterîze the nineteenth-century sonata In addition, the avoidance of

metronome markings in the sonatas might encourage the performer to deviate from an

established metrical pulse within a phrase. The historical context for local fluctuations

of tempo in keyboard music in the first half of the nineteenth century is outlined below.

Expressive Fluctuations of Tempo: Historical Context

At least sûme p i a~s t s of Hummel's time, as well as those of successi'ie

generations, interpreted tempo rubrrto to mean deviations fiom "strict time" that involved

both melody and accompanirnent simdtaneously. Hummel (1 829) regarded the term

tempo rubutu with disdain, and he cornplains that pianists often inddge in tempo

fluctuations at the expense of "brilliance, neatness and unity." Moreover, their apparent

* Tomaszewski, 164. Tomaszewski cites Kurt Reinhardt's investigation of the connection between the verbal indications of Chopin's tempos and his metronome rnarkings, and he concludes that, for Chopin, the verbal indications are to be understood as descriptive of character rather than associated with a metronomical measurement of time.

Robin Sto well, "Strings Nneteenth-Century] ," Pe~ormarzce Pract ices qfter 1600, Vol. 2, ed. Howard Mayer Brown and Stanley Sadie (New York: W.W, Norton, 1990), 406.

lack of "nahmi, inward feeling" results in a "capricious dragging or slackening of the

tirne."" Tempo deviations for expressive purposes were certainly not new in HummePs

era, and Tiirk (1789) had previoudy descnibed "quickening and hesitating" for local

effect, as well as the wholesale modification of tempo required by a change of affect "

Kowever, Turk distinguished such fluctuations fiom rubato, as discussed in the

preceduig chapter. It is possible that Hummel was reacting to the lack of discernent,

among pianists of his &y, between a "vocal d a t o " (as expressed by Tiirk) and tempo

manipulation- Hummel appears to have acknowledged that rubato could refer to an

"accelerando-ritardando" treatment, although he regarded its use by pianists who lacked

finesse as llcapricio~s."

Contemporaneous accounts leave little doubt that flexibility of tempo was a

feature of Chopin's playing. For example, Felix Mendelssohn observes in a letter to his

mother, dated 23 May 1 834, that Chopin, as well as his cokleague Ferdinand aller,

sornetirnes revels in excessive fluctuations of "time":

Both Chopin and HiUer toi1 ui the Parisian spasmodic and impassioned style, often losing sight of time and sobriety and of the tme music.. -12

Mendelssohn's cornments imply that Chopin's distortions of '%me" [Tact, meaning

metrical propriety], like those of other pianists based in Paris, involved both hands.

hterestingly, neither Chopin nor Mendelssohn refer to a generalized stretching of "time"

in both melody and accompaniment simultaneously as rubaro.

l ~ u m m e l , Part DI, 40-4 1. "Daniel Gottlob Tiirk, Ktavierschule (Leipzig, 1789); tram. Haggh, 360-363. I2G. Selden-Goth, ed., FelLx Mendelssohn: Letters (New York: Pantheon, 1945); Paul Mendelssohn and Dr. Car1 Mendelssohn Bartholdy, ed., Briefe a m den Jahren 1830 bis 1847 von Felix Mendelssohn Bartholdy (Leipzig: Hermann Mendelssohn, l889), 26. [..."haben Tact und Ruhe und recht Musikalisch oft gar ni sehr aus den Augen gelassen. "1

The terminology employed by writers of keyboard treatises in the early nineteenth

centuries reveals a tension between earlier and more recent ideas regarding the character

of a musical work and the nature of acceptable fluctuations in the base tempo. In the

English treatises of Dussek, Hummel, and Czerny, the terni ccmovement" denotes the

overall Pace and character of a work (or of a relatively large section of a work). This

concept of "movement" appears to have been largely determined by such considerations

as metre and topos (e-g., various dance types). The term "tirne," on the other hanci, refers

more to moment-to-moment rhythmic flow than to the overall tempo or "movement"

associated with a particular character.

In the eighteenth centuryI fluctuations of "time" would probably have been most

discernible in genres such as the fantasia. Nevertheless, one keyboard treatise fiom

around the turn of the nineteenth century implies that the concept of increased Rexibility

in "time" in relation to "movement" might have been a relatively recent development.

The English version of the Dussek-Pleyel treatise defines ccmovement" as follows:

The character of the, formerly every different t h e had its particular character fixed and proportior)_ed by the pendulum, or pulsation of a pulse, The modems introduced names, as Allegro, Largo, etc. which are marked at the begZnning of the air.13

The writer (presumably Dussek) suggests that the "modems" no longer automatically

associate "time" with a particular movement or character, and that "time" is less

govemed by a regular pulse than it had been in the past

Hummel (1829) uses the terms c'rnovement" and "tirne" in much the same way as

Dussek, but he asserts that variabiIity in "%me" shouid not affect the ccrnovement" of a

L3Dussek-Pleyel, I ~ c t i o n s on the Art of Playing the Piano Forte or Harpsichord Gondon, 1 796), micro fo m.

piece.'" In passages in which the melodic line is allowed to sound fiee and unhampered

by an underlying pulse, such as those in the Adagio of his Op. 106 Sonata, Hummel

stresses that the lefl hand's responsibility is to "'keep the t h e stri~tly."~~ Hummel

chastises performers who introduce a "capncious dragging or slackening of the time"

(which he associates with tempo rubato) at every opportunity, presumably because the

predominating "movement" would b e obscured as a resultL6 According to Hummel's

conception, the left hand (or accompaniment) would be responsible for maintaining the

"movement," while the fight hand (or melody) could indulge in some fluctuations of

"time." Hummel, therefore, appears to have understood the "vocal rubato" involving

independence of han&. However, h e aiso recognized that the term tempo rubato could

be used to mean an accelerando-ritardando treatrnent, and he condernned this type of

tempo flexibility when used capriciously. ''

Czerny (c. 1839), like earlier writers, associates "rnovement" with a prevailing

tempo and character, but he also uses the terni c~movementy7 alrnost interchangeably with

"time." This suggests that "rnovement" may have been losing some of its earlier

associations with the notion of tempo being determined by character or topic:

Many passages will not produce thek intended e E i unless they are played with a certain graduai slackening, holding back or retarding of the time: just as others require that the degree of movernent shail be gradually accelerated, quickened or hurried onward~ .~~

Although these comments by Czerny do not appear to differ greatly from T ~ k ' s earlier

views about fiexibility of tempo for expressive effect, Czerny's choice of terminology

''Hummel, Part Et, 4 1. 15113id., 53. "%id., 40-4 1. L7According to Eigledinger (pp. 49-50), both Mathias and Mikuli aiso were conversant with both usages of rubuto. 18Czerny, 189.

hints at an erosion of the conceptual Werence between allowïng slight fluctuations in

the moment-to- moment flow of "time" (often involving oniy the melodic line) and

adjusting the base tempo that had been previously been considered synonymous with the

"movement" of a work, Whereas Hummel regards "time" as subservient to "movement,"

Czerny apparently considers "movement" as equivalent to "tirne" and, therefore, subject

to the same discretïonary adjustments on the part of the performer. Put another way,

Czerny sees both "time" and "movement" as equally malleable, and local expressive

fluctuations in "time" are not dependent on a prevailing "rnovement" (in Hummel's sense

of the Nowhere does Czerny state, as Hummel does, that the accompanhent is

responsible for keeping the "time" stnctly. Once the accompaniment was fiee to

participate in fluctuations of "time," the concept of "movement" would have lost its

earlier connotation of a steady underlying tempo.

The notion that melody and accompaniment participate equally in fluctuations of

"time" (Le., tempo) has traditionally been considered to apply to Chopin's music, and

accounts such as that of Mendelssohn ven@ that Chopin himself would have allowed

both han& to participate in tempo fluctuations. During the firçt half of the twentieth

century, principles of interpretation such as those circulated by Tobias Matthay asserted

that tempo fluctuation for expressive purposes (sometimes labelled rubu@ involves a

balance between acceleration and retardation. That is to Say, when tempo was

compressed at one point, it should be correspondingly relaxed else~here.*~ Such

IgWhiIe Hummel does allow for some changes in "time" within a "movement," such as the relaxation of singing passages in an "Allegro" movement (see h. 35), he makes it clear that changes in "time" must not compromise the unity of the rnovement. 20See, for example, Tobias Matthay, Musical Interpetarion, 2d. ed. (Westport CT: Greenwood Press, 1970), 60-104. Matthay, somewhat humorously, observes that he knows of a number of instances where "quite well-known professors" have told their

practices, which also were applied to Chopin's music, appear to have been predicated on

the formalist assumption that a single tempo conîrols an entire movement; therefore, the

accelerated and retarded sections should presumably take up the same amount of time as

if no adjustment had been made.*' The next section examines notions of tempo

fluctuation within the phrase, as well as among sections, in Chopin's sonatas.

lndicators of Tern~o fluctuations in Op- 35 and On 58: Expressive or Structural?

With regard to performances of Chopin's sonatas in the early part of the twentieth

c e n t q , the degree to which "time" would be manipulated may reflect cisering personal

preferences. To give but one example, Cortot and Rachmaninoff disagree on the amount

of "ralientando" that should be introduced at the end of the Op. 35 finale. In his 1930

edition, Cortot expresses the opinion that, owing to the singdarly fienzied character of

the finale, a concluding "rallentando" cannot be tolerated* On the other hand,

Rachmaninofh 1935 recording features a very broad "rallentando" at precisely this point.

Clearly, Cortot and Rachmaninoff differ on this passage,= and each pianist rnay espouse

separate performing traditions that rnay have shaped their interpretive ideas.

The degree to which fluctuations of "tirne" or "movernent" (Le., tempo) were

notated in works such as the sonatas appears to have increased throughout the late

-dents: "You must not play Chopin in time!" @. 6 1) 21Matthay, 60. Matthay begins Section DI, entitled "The Element of Rubato," with the statement that "...there must dways be confinuity in the tempo [italics his] if the course of the piece is to remain unbroken." As the chapter progresses, Matthayrs musical examples, as well as his tex& make it clear that his conception of "rubato" involves acceleration and ritardando in both han& simultaneously- "Cortot, Sonate. Op. 35 (Paris: Salabert, 1930), 35. =Despite their differences of interpretation with regard to the end of the Op. 35 finale, Cortot and Rachmaninoff both agree on an unwritten "rallentando" at the end of the previous slow movement

nineteenth- and early twentieth centuries. Although later editions of Opp. 35 and 58

contain more editorial indications of tempo fluctuations than the first editions, this

circumstance cannot necessarily be taken to mean that expressive fluctuations within a

phrase were absent from mid-~neteenth-century performances of these works. The

presence of a greater number of editorial markings in the later sources might simply

suggest that performers would have desired (or would have been thought to desire) more

d e n guidelines with regard to short-terrn modification of tempo.

Markings that show slight changes in tempo are more numerous, as well as more

detailed, in the editions of Debussy (1 9 1 5) and Moszkowski (1 924) than they are in

Klindworth's edition (1 878). Such editorial markings appear a s fiequently as every one

to seven measures in the Debussy and Moszkowski e d i t i ~ n s . ~ ~ These markings may

represent an effort to notate the sort of tempo fluctuations that were comrnon during the

period. Moreover, markings such as "poco rit. " and "accel." in early twentieth-century

sources may attest to the increasing desire, on the part of performers, for wntten

indications of where and for how long tempo fluctuations were to take place.

At least some nineteenth-century pianists may have shared Czerny's view that the

adjustment of "tirne" was part of the interpretive process. However, in contrast to late

nineteenth-century editions, the first French, English, and German editions of Chopin's

sonatas reveal a high degree of consistency with regard to the placement of indicators

24The Debussy edition of Op. 35/I gives "piu nt." in the first rneasure of the development, followed in the next mesure by "a tempo" and "rit." and, seven measures later, "poco a poco tempo Io". The Moszkowski edition of the same movement shows "un pochiss. allarg." in m. 70, "tomando al tempo" in m. 73, and "piu animato" in m. 8 1. In Moszkowskï~s edition of Op. 35/TI, the 'Tiu lento" section is marked "con anima" in m. 106, followed by "un pochino rit." in m. 1 18; and a gradua1 transition to the final coda section (also marked "piu lento") is explicitly dictated by 'poco ritard." in m. 264, followed by Chopin's own "rallentando" in rn- 268.

such as "rallentando," "accelerando," "ritenuto," and "strette-" Richard Hudson pusits

that, in Chopia's music, "raUentando" and c'accelerando" are associated with structurai

change and are of a different order of expressivity than "ritenuto" and " s t r e t t~ . "~

Hudson's hypothesis may weH be valid with regard to the Preludes, Etudes, Nocturnes,

and other small-scale works of Chopin which he cites. Nevertheless, in the p r i rnq

sources of the Opp. 35 and 58 sonatas, "ritenuto" and "strette," as well as "rallentando"

and "accelerando," correlate with structural change. It would appear that structurally

related indicators of tempo fluctuation in the sonatas were sigmificant enough to warrant

being consistently notated in the first editions, using commonly understood tenninology,

while expressive fluctuations might have been uanotated but assumed In later sources

such as the Debussy and Moszkowski editions, attempts were made to notate additional

expressive fluctuations at the local level.

One short-term expressive fluctuation that appears in a fiagrnentary autograph

sketch of Op. 58/i was apparently not included in any of the first printed editions. Udike

most of the "rallentandi" in the printed sources of Op. 58, which are spread over several

measures, a very brïef "rall." is found in a fiagmentaq sketch of Op. 58/I- According to

Hanna Wroblewska- Straus, the entire sketch, including the "rail-If indication, is in

Chopin's own hand? This "rall." is placed at the end of what corresponds to m. 132 in

the printed editions, and the entire sketch shows an area of "motivic playyy2' in the

development section (Ex. 6-1). Chopin's sketch breaks off as a point of arriva1 in m. 133

2 5 H ~ d ~ ~ ~ 180- 182. 26Hanna Wroblewska-Straus, A Commentary on the Facshile Ediiion of the Autograph: Fryderyk Chopin S Works (Japan: Green Peace Publishers, 1990), 86. This sketch fragment, once owned by August Franchomme (cellist and fiend of Chopin), is now the property of the Chopin Society in Warsaw. "William Newman, The Sonatu Since Beethoven (London: W. W. Norton, 1983), 157.

is reached, a moment marked by expansiveness of range and a change of thematic focus.

In the pinted sources, a crescendo wedge replaces the "rall."

Example 6-1: Op. SWI, mm. 118-133 (autograph sketch, F.l477/M234)

The "rd." shown in this sketch does not appear in the printed sources of Op. 58&,

perhaps due to the fear that it might have been exaggerated by pianists. 'Rallentando" is

not typically described as a short-term efEect in nineteenth-century keyboard treatises,

and the term may not have been applied to such a bnef span of time as a portion of a

single measure. Few treatises of this period specify a relationship between tempo

flexïbility and localized shifts of thematic focus and tonal cenee such as those found in

development sections. Kalkbrenner7s treatise (1835) states that the cct.me" must not be

ïncreased ''when there is a fiequent change of harmony, or when modulations rapidly

succeed each o t h e P 8 However, Kalkbremer does not specie that "tirne" might be

decreased or broadened at the appearance of a new temporary tonal centre or thematic

shift- The modified reappearance of the first theme in C major just after the "rall." in

Chopin's partial sketch of the development section of Op. 58/I would constitue such a

Unlike Hummel, Clementi, Cramer, Chaulieu and Czemy al1 regard "ritardando"

and "rallentando" as uidicators of tempo change only. Other terms such as calando and

ufierando are used to signiQ tempo adjustment accompanied by a decay in dynamic

level? Whereas Hummel associates both "ritardando" and "rallentando" with a

diminishing intensity of so~nd ;~ Chopin rnay have found the definition of "rall. " too

restrictive. The crescendo wedge (m. 132) in the first editions of Op. 58/I, which

replaces the "rall." indication found in the partial sketch might suggest that the term

codd imply an increase in dynamic level, at least in this instance, The omission of the

"rall." found in the sketch fragment of Op. 58A in any ofthe printed editions might

suggest that the vocabulaq of tempo fluctuation known to pianists of Chopin's time

would have been adequately suited to novel harmonic effects such as those found in the

development sections of his sonatas. Chopin may have chosen to leave locdized

expressive fluctuations of "time" to the performer's discretion instead of risking

misunderstandings by those who would aîtach other meanings to terms such as "rail.""

2gKalkbrenner, 9. 29Clementi, 14; Cramer, 52; Chaulieu, 87; Czerny, 190. Czerny also associates morendo and srnorzando with a diminishing of both tempo and dynamics. 30Hummel, Part 1, 71, 80. "'ln the case of mm. 118-133 of Op. 58/5 the decision must have been that of Chopin rather than that of his publishers, since the autograph fair copy as well as the printed German edition omits the "rall."

Structural Modifications of Tempo

Tempo modification may have functioned as a means of enhancing the identity of

contrasting thematic areas in the eighteenth century, as well as in sonatas of later periods.

Leonard Ratner observes that mid-nineteenth century theories of "sonata form" describe

contrasts of character between first and second themes as essential in articulating the

Ratner contends thaf in the nineteenth-century sonata, "individuai sections of a

form take on stronger, more sbarp1y profiled personalities than they wodd have in the

ongoing harmonic argument of the classic ...p tan."" Although Ratner does not discuss

how thematic differentiation might have been projected in performance, Robin Stowell

asserts that adjustment of tempo would have played a role in establishing the "autonomy"

of structural sections separated by distinctive thematic ideas."

Even before the theories of A-B. Marx on the role of thematic identity and

thematic contrast in "sonata form" were publishe~i,~' Hummel's treatise observes that the

"singing passages" in an Allegro movement ment a degree of tempo relaxation:

Singing passages which occw in it [the AUegro] ... may be played with some little relaxation as to time, in order to give them the necessary efféct; but we must not deviate too stnkingly fiom the predominating movement, because, by so doing, the unity of the whoIe will s d e r , and the piece degenerate into a mere r h a p s o d ~ . ~

32Leonard Ratner, Romanric Music: Sound and Syntax (New York: Schirmer Books, 1992), 273. Sources of Ratner's assertions include A.B. Marx's Die Lehre von der musikalischen Korvtposition (1 837-1 847), as weIl as Arrey von Dommer's revision of Koch's Musikalisches Lexicon (1 865). 33Ratner, Romant ic Music, 273. WRobin Stowell, "Strings," in Perfomance Practices aflr 1600, Vol. II, 406. "A.B. Marx, Die Lehre von der musikalischen Komposition, Vol. II Perlin, 1838); cited in Leonard Ratner, Clmsic Music: Expression, Form, and Styie (New York: Schirmer Books, 1 $%O), 220-22 1. 36Hummel, Part m., 4 1.

Hummel is obvously concerned with the distortion of a work's overall "unity" by

excessive and ill-planned fluctuations of tempo, 37 although a slight slowîng of tempo to

accomodate the contrasting affect of the "singing passage" would not sacrifice

"briiliance, neatness and unity. "38

Mendelssohn's remark that Chopin had lost sight of "time and sobriety" in his

playing implies that Chopin's fluctuations in tempo would have gone beyond the

boundaries of the perception of "neatness and unity" that were valued so highly by

Hummel. hstead of not deviating "too stnkingly from the predominating movement" in

articulating new thematic areas, Chopin may have employed more noticeable changes of

tempo in order to heIp clariQ the increasingly complex array of harmonic and thematic

ideas in his sonatas. MendeIssohn's opinion notwithstanding, Chopin's fluctuations of

"tirne" do not appear to have completely obscured the formal structure of his own

compositions, at least to Parisian audiences, for Fétis wrote in the Revue musicale that

"form is renewed in the inspiration of M. Ch~pin.''~'

Chopin's concern Mth communicating the structure of a work to the Iistener is

apparent in the foIlowing description of his teaching of Beethoven's Sonata, Op. 26:

He calied my attention to its structure, to the intentions of the composer throughout; showing me the great variety of touch and treatment demanded ... From the Sonata he passed to his own compositions..-letting me hear the Çamework ( i f1 may so express it) around which these beautifid and strange harmonies were g r ~ u p e d . ~

The anonymous Scottish woman who penned this description may not have studied

Chopin's own sonatas with him. However: her observations about her teacher's

37Hummei, Part iiI, 40. 381bid '?Francois Fétis, Revue Musicale (March 3 , 1832); cited in Alfred Cortot, In Search of ChopiP2 (Westport, CT: Greenwood Press, 1 W2), 1 13. "qigeldinger, 59.

awareness of Beethoven's sonata structure suggest that Chopin could have employed

some degree of tempo flexibility in order to reveal the "fiamework" (Le-, the musical

form) on which the "beautifid and strange" harmonies of his own sonatas were

constructed

The nineteenth-century sources of Chopin's Opp. 35 and 58 sonatas suggest that

mer ing tempi would have been employed in the various structural sections within a

movement, and that such changes of tempo would correlate to thematic contrasts as well

as con- of affect. One obvious point at which tempo modification would serve such

ends is identified by Hummel: the "singing passages" in ail Allegro movement. Using

the terminology of his day, Hummel seems to be refemng to what modem musicians

would label as the second subject in a "sonata form" movement. In the opening

movements of Chopin's Opp. 35 and 58 sonatas, the second subject is clearly marked

sostenuto in both the exposition and the recapitulation. These second subjects are of a

lyrical character and would correspond to the "singing passages" descnbed by Hummel.

Although Hummel does not apply the term sostenuto to such contrasting thematic areas,

cornposers such as Chopin and Brahms appear to have understood sostenuto to indicate a

slower tempo as well as a more sustained touch (as noted in Chapter 4)?'

Some editions published early in the twentieth century minimize the association

between sostenuto and a slightly held-back tempo, perhaps in efforts to restrict the

meaning of sostemto to a sustained touch. For example, Moszkowski (1924) gives the

editorial indication "a tempo" at al1 entries of the sostenuto second subject, suggesting

that the relaxation of tempo which had anticipated the lyrical character of the next

"'Alfred Cortot, ed., Chopin: Sonate, Op. 35, 5 . Cortot bas suggested that Chopin's use of sostenuto was similar to that of Brahms, both implying a slower tempo.

thematic area should be "corrected" with the onset of the new theme. Moszkowski's

editorial markings may indicate a reaction to earlier practices of tempo adjutment for

purposes of heightening thematic contrast. Whether this assumption would have been

shared by a composer or perfonner in the mid-nineteenth century is a crucial issue in any

attempt to understand the performance practices related to Chopin's sonatas. The

consistent use of the term sostenuto at every entry of the second subject in both the

exposition and recapitulation of the sonata-form first movements of both Opp. 35 and 58

indicates that a high degree of importance was attached to this texm. In order to

determine its significance, the next section will examine the historical context of

sostenuto as a tempo indication in the late eighteenth- and early nineteenth cent~ries?~

In order to appreciate more fully the significance of the sostenuto indication in Opp. 35

and 58, the musical contea of Chopin's use of the terni in works other than the sonatas

will also be considered.

Sostenuto: Background and Contextual Use

The tempo implications of the term sostenuto are fim made explicit in the

seventh edition of Clementi's Introduction (c. 18 14). in this version of his popular

method, Clementi defines sostenuto as "in steady time [italics mine], sustaining or

holding on the notes their full length.'" Sandra Rosenblum notes that Clementi's

addition of the phrase "in steady time" might have been intended to distinguish

sostenuto f?om tems that implied more fieedorn of tempo within a section, such as con

espresszone or con anima- Clementi defïnes the latter tems as "with expression; that is,

4 2 S ~ ~ t e n ~ t o as an articulative indication has already been discussed in Chapter 4. 43Sandra Rosenblum, preface to Clementi's Introduction. xxv; Clementi, 14.

with passionate feeling; where every note has its pecutiar force and energy; and where

even the severity of t h e may be relaxed for extraordinaiy effectda

Like Clementi, Cramer (c. 1825) descnibes sostenuto as involving both a

sustained touch and a steady tempoJS A steady tempo, of course, wodd not preclude one

that was more drawn-out (or "'sustained") than the tempo of the section b e d i a t e l y

preceding or following. The connection between sustemrio and a slightly slower tempo

becomes explicit in Czerny's treatise (c- 1839), where the term is defined as "holding on,

keeping back " a [italics mine]

In Chopin's works of a relatively small scale, as weli as in the sonatas, the

musical context in which sostenuto appears supports the notion that the term would

indicate a slightly slower but steady tempo in relation to the preceding structural section.

For example, the middle section of the Impromptu in A-flat, Op. 29 (1 837) consists of

half-note chords and is marked sostenuto. The contrasting character of this section is

prepared by a smorzurzdo at the end of the previous section, and concludes with an

eighth-note rest marked by a fermata. After the dissolution of the initial tempo at the end

of th is section, the sostenuto marking may indicate that a steady tempo would once again

be established in the new section The longer note-values and the homophonic texture

of the middle section are consistent with a tempo that would be "'kept back" relative to

the prevailing tempo of the preceding section.J7

WCIementi, 14. Wrarner, 53. "Czerny, 156. 47Chopin's use of sostenuto here might also indicate a touch which contrasts with that of the preceding section, which is marked legato.

A slight tempo relaxation associated with sostenuto is also suggested by the

Polonaise-Fantasie, Op. 6 1 (1 846), where the tenn is applied to the left-hand line of the

middle section (mm. 1 5 2 ff.). In this context, sostemto might serve as an instruction for

the lefi-hand accompanïment to maintain a steady tempo throughout this section despite

the moving eighth-notes. In the Prelude, Op. 28, No. 13 (1 839), the term sostenuto

appears in conjunction with "piu lento-" The melodic voice carries "piu lento" at the

beginning of the nzw structural section which commences in m. 2 1, while the Ümer

voices are rnarked so~tenuto."~ In other Op. 28 Preludes, sostenuto draws attention to

impending harmonic closure at the end of a phrase or section by setting up a slightly

slower, yet steady tempo, perhaps in the rnanner of a "ntenuto-" For example, in the

Prelude, Op. 28, No. 2, sostenuto anticipates the final cadence in m. 21 and, in Op. 28,

No. 6 , sostemto precedes the deceptive cadence in mm. 17-18.

As in the small-scale works cited above, Chopin's placement of the word

soslenuto at the beginning of the middle section of Op. 58/m is consistent with a

modification of tempo for purposes of structural and affective contrast- At the onset of

this "Trio" section, the texture changes from a primarily melodic to a primarily harmonic

one, and the tonal centre s h i h to the subdominant. In addition to indicating a slightly

slower tempo;'g sostenuto may convey adherence to a steady tempo in this "Trio." The

sustaining of a constant tempo could contrast with the anticipations and delays of certain

melodic notes (characteristic of a "vocal rubafo") that would be inherent in the aria-like

J81n these works from the late 1 8 3 0 ~ ~ "piu lento" would appear to apply to the main melody, while sostenuto is reserved for less melodic textures. JgAlthough Chopin did not indicate a metre change at the onset of the middle section marked sostenuto, the implicit hdf-note pulse in this section would almost certainly be slower than the quarter-note pulse in the preceding "Largo."

idiom of the outer sections of the movement. It is worth noting that, in the "Trio" section

of Op. 5 8 a as well as in the smdler-scale works, sostemfo corresponds to passages

whose texture is primady chordal rather than melodic.

In the "sonata fom" first movements of both Opp. 35 and 58, however, the term

sostenuio is placed above each entry of the second subject. In both sonatas, the character

of the secondary thernatic areas in these "Allegro" movements is 1yrica.l. In this context,

Chopin's use of sostenuto rnight represent an attempt to convey the precise location at

which the tempo of a "singing passage" in an "Allegro" would be adjusted, particularly

to perforrners who rnight have lost the "natural inward feeling" that Hummel views as

necessary for effective alterations of tempo. Sustenuto rnight also be understood as a

caution against indulging in excessive fluctuations of "time" during the new section,

despite the lyrical nature of second-subject thematic material.

Other Tempo Indicators

The relatively consistent indicators of tempo modification in the primary sources

of Opp. 35 and 58 suggest that tempo change might assist in projecting structural and

affective contrasts. Just as the onset of a secondary thernatic idea in a "sonata fonn"

movement might warrant a sornewhat more relaxed tempo (as signalled by sosten~o),

the r e t m to the primary affect or theme in such an "Allegro" movement may be heralded

by an acceleration of the tempo. The early sources of Op. 35/I show "strette" or

"accelerando" prior to a recapitulation or reprise of primary thematic material, and the

presence of "rit." (possibly meaning "ritenuto") coincides with the beginning of the

development section. In addition, an acceleration at the concluding coda sections of a

movement is suggested in some later nineteenth-century editions. For example,

KiÏndworth (1 878) gives an additionai "accel." at the end of Op. 58A, as well as "con

bravura" (followïng an earlier "agitato") at the end of Op. 58tTV-

In contrast to early twentieth-century editions, those of the mid- to late nineteenth

century show that a quickening of tempo, as well as a relaxation of the tempo, plays an

active rote in defining thematic areas. Whereas Klïndworth shows an editonal "accel."

at the onset of the final eight-measure coda section of Op. 58Ay Moszkowski (1924)

indicates a pulling back of tempo pnor to the coda, followed by a resurnption of the

original tempo."M Similarly, in the finale of Op. 58, Klindworth calls for a slight

pushing ahead of the tempo four measures before the coda (in m. 250) by means of the

indication sempre piufed agitato, and the beeoinnrng of the coda (in m. 254) itself is

rnarked "con bravura," the latter implying a continuation of the faster tempo. By

contrat, Moszkowski simply gives "a tempo" at the beginning of the coda, preceding it

by "poco rit-" in the previous rneasure. Taken in total, the markings in Klindworth's

edition point to a fluid, continually evolving tempo that is linked to the afféctive

character and syntactical function of a new thematic idea or stnicturaI section. Those in

Moszkowski's edition, on the other hand, suggest a more static conception of tempo.

Editonal "a tempo" markings that foUow a brief transitional "nt.", irrespective of the

character or function of the new thernatic area (whether a lyrical "singing passage" or an

energetic coda), strongly imply a single overall tempo with fluctuations being restricted

to transitional rather than thernatic areas?' - - - -

'Qebussy shows no tempo changes here, but indicates a long pedal marking h m the beginning of the coda to the end of Op. 58A. Such an "open" pedal rnight imply a forward momentum sirnilar to that created by the "accelerando" in EUindworth's edition. "In the spirit of Moszkowski's edition, that of Paderewski e t al. gives an editorial "rit-"

The notion that dl thematic ideas in a "sonata fonn" movement are govemed by

one tempo appears more characteristic of the twentieth century than the nineteenth, and

the treatment of "rit." in modem editions of Chopin's sonatas exemplifies this belief The

abbreviation "rit" seldom appears in the primary sources ofthe sonatas, although the

full word "ritenuto" does occur in several places. In some twentieth-century editions,

such as that of Moszkowski, the placement of "rit" deviates fiom the placement of the

corresponding "ritenuto" in earlier sources. Furthemore, as Richard Hudson observes,

the general tendency for modem editions of Chopin's works is to interpret the

abbreviation "nt." as "ritardando" rather than "ritenuto," thus implying a gradua1 slowing

down rather than a more imrnediate holding back of tempo.'* The net effect of editonal

alterations in sources such as that of Moszkowski or even Paderewski (c. 1950), if they

were followed by performers, would be to create a gradua1 relaxation of tempo in

anticipation of a new thematic area, followed by a r e m to the initial tempo (as

signalled by "a tempo") at the entrance of the theme? By cornparison,

nineteenth-century sources seem to indicate a perceptible change of tempo associated

with a new thematic area, structural section, or affective contrast- The following

example Corn Op. 35 will serve to illustrate the different musical effects created by a

modemization of Chopin's "ritenuto" markings.

In the early sources of Op. 354 the fully written-out term "ritenuto" is found at

the beginning of the development section (m. 206). At the point where the "ritenuto"

prior to the recurrence of the sostenuto second therne of Op. 3 5/I (m. 168)- 52Hudson, 1 82. "A recent unpublished study by Dr. Sandra Mangsen of historical recordings of Beethoven's Op. 27/2 suggests that a slower second theme was the nom before about 1950.

the tonally distant key of F-shaq minor. The immedïate change in tempo si-nified by

"ritenuto" serves to arrest the forward momentum achkved near the end of the preceding

section (by means of a "strette"), and this "ritenuto" enhances the contrashg tonaliîy and

texture at the b e w g of this development section (Ex 6-2).

Example 6-2: Op. 3 5 4 mm. 91-112 (Troupenas ed., 1840)

In Paderewski's edition, however, the effect of the simultaneous contrast of tempo,

tonality, and texture is diminished by the placement of "rit." (implying "ritardando") in

the last measure of the exposition, one measure earlier than in the primary sources."

- - - -

YHudson, 1 82. Hudson notes that the Paderewski edition fiequently abbreviates "ritenuto" as "rit." and that this could conceivably blur the distinction between "ritardando" and "ritenuto."

Unlike "ritardando," the term "ritenuto" is seldom found in keyboard treatises of

the early nineteenth centuy, although it is present in Beethoven's works as well as those

of Chopin One of the few writers of Chopin's time to define "ritenuto" is Charles

Chaulieu (1 8M), who @es its rneaning as "to hold back the [note] values while

lengthening a little their d~~ation."~' Chaulieu's definition suggests an effect of

expressive broadening created by the combination of a slight Lengthening of each note

and a more sustained touch. Refemng to Charles Rosen7s view of Beethoven's

"ritenuto," Hudson suggests that Chopin (like Beethoven) employed "ritenuto" to

indicate an immediate broadening of touch (Le., a more weighted attack that likely

resulted in a slight slowing down). in cornparison to "ritenuto," "ritardando" may have

been associated with a more graduai diminishing of tempo spread over several measures.

As previously noted, Hummel considers "ritardando" to indicate a decrease in dynamic

level along with the decrease in tempo, and he believes such a decay is best spread over

several rneasures.

While "ritenuto" may signai an immediate slowing of the tempo at the beginning

of the development section in Op. 35/I, the opposing term "stretto" suggests a relativeiy

irnmediate animation that coincides with the end of a structural section, notably the end

of the exposition (mm. 93ff.) and the development (mm. 162ff-) The terni also appears

during the recapitulation (m. 204)56 and in the second rneasure of the coda (m. 23 l),

"Chaulieu, "Cour analytique de theorie musicale," Le Pianiste (1 834); cited in Hudson, 179. ''Another "stretto" marking in the recapitulation (m. 204) is found in the manuscript fair copy of Op. 35 (Ex. 6-3), as well as in the 1865, 1873 and 1882 Gebethner & Wolff and the 1878 Breitkopf & Hàrtel editions, but is absent fcorn the French editions. The bars immediately following m. 204 comprise a cadential extension that ends at m. 2 10, where a perfect authentic cadence is reached in the dominant key (B-flat major). In this case, "~ t re t to~~ again marks the end of a structural section of a smaller scale, namely the end of

where it corresponds to the end of the recapîtulatiod' The acceleration of tempo at the

ends of the three large sections of Op. 35/I (Le., exposition, developmenf recapitulation),

as indicated by cCstretto," might assist in creating a sense of parallelism among these

formai sections, or it might simply serve to create additional forward rnomenturn and

excitement at the end of each individual section,58

Like the "sonata form" first movements of Opp. 35 and 58, the "Scherzo7'

movements of both sonatas contain indicators of tempo change that correlate with

affective and structural contras&. The gentle character of the "Trio" section of Op. 35LI

is enhanced by the slight relaxation of tempo through the instruction T i u lento"

(m. 81),59 while the retum to the original tempo of the Schem is prepared by an

"accelerando" beginning six measures before the reprise (m. 1 84). In similar fashion, the

recurrence of the lyrical "Trio" theme in the coda section of Op. 35A is signalled by

indications of a gradual reduction of tempo and a gradual dùriinishing of dynamic level.

in m. 267, a three-rneasure diminuendo leads to "rail." in m- 270, followed by at

m, 273, A smo~~czndo follows in m. 277 which, in the French editions, is extended to the

end of the movement by means of a dotted Iine (Ex. 6-3)?

the main theme of the second subject-group. "In Cortot's edition, these stretti are omitied entirely. Only the first stretto (in the exposition) is retained Cortot (p. 7) suggests that more animation is also implied at the transition after the second theme, preceding and anticipating the h t t e n stretto, and that this animation is infiuenced by the general crescendo throughout this section. "Although the tem "stretto" does not appear in Op. 58, it is possible that an acceleration of the final sections of the "Allegro" movements was irnplicît Klindworth's edition of 1878 contains explicit indications to thîs effect. S9Cortot (p. 20) notes that the 'Th lento" marlang signifes a nuance rather than an antithesis, and his suggested metronome markings reflect this: quarter-note = 144 in the Scherzo proper as opposed to 132 for the 'Tiu lento" section. In the '73" section of the 'Tiu lento" itself, Cortot (p. 22) suggests the left hand may display a flexibility and suppleness of tempo while the right hand remains constant 60Curîously, none of the three Gebethner & Wolffeditions (1 865, 1873, or 1882) show

As was the case in the outer movements of the somtas, the explicit and fiequent

indicators of tempo in the sources of Op. 3 5/ I I show that tempo was subject to continual

fluctuation in relation to changes of structure and affect In cornparison to the Scherzo

movement of Op. 35, the sources of the Op. 58 Scherzo show only slight changes of

tempo at ûansitional points. The comparatively constant tempo of Op. 58/II may reflect

the d o r m i t y of texture and thematic material throughout this movement, compared to

either the "rail." or 'lento" indications present in the earlier sources, including the manuscript fair copy on which the &st German edition was based However, both "rali." and "lento" have been included in other sources that drew on the first French edition, such as the 1860 Richault and the 1878 Breitkopf & m e 1 editions. The Gebethner & Wolff editions give "dim." in m. 267 and ccsmorz" in m. 278 (as in the manuscript fair copy), but no dotted-iine extension is given for either of these ternis. Although indications for a decay in dynamic level are retained In these later sources (which were based on the nrst Breitkopf & Hartel edition), the effect of a gradually receding tempo at the end of the Op. 35 Scherzo, which is present in the other sources, is lacking.

the more sharply defined changes of affect in Op. 35m. AI1 sources of Op. 58/II set off

the reprise of the Scherzo by means ofUpoco ritenuto" (at the end of the Trio) and "in

tempo" (at the begïnning of the reprise of the Scherzo)!l In addition, the Gennan

sources of Op. 58m show parallel fluctuations of tempo withui the Scherzo section* The

autograph fair copy, as well as the Breitkopf & Hartel editions, gives the paired

instructions "poco ritenutoh tempo" at mm. 3 1-33 and in the corresponding place in the

reprise at mm. 1 87- 1 89, both of which represent a retum to primary thematic material.

Thus, written indicators of tempo flexibility in the ternary-form Scherzo movernents

correspond to the varying degrees of thematic and affective contrast inherent in these

movements.

S u m m q

The tempo terms found at the beginning of a movement are quite consistent

among the primary sources for al1 the movements of Opp. 35 and 58. In accordance with

Chopin's usual practice after 1835, rnetronome markings are absent fiom these sonata

movernents. The performer may have been allowed some flexibility in choosing an

opening tempo that was congruent with the indicated character, and he or she would have

been expected to deviate from that tempo where appropriate.

Rather than entnisting al1 departures fiom the given c'movement" to the

performer's "natural, inward feeling," Chopin appears to have notated those

modifications of tempo that he felt were essentid to the projection of thematic and

6LThe presence of "in tempo" (as opposed to "a tempo") in the German sources of Op. 58/U is curious indeed, yet the apparently English marking appears in both the autograph fair copy and the first Breitkopf & Kartel edition-

affective contrasts in the sonatas. Indicators of tempo fluctuation are quite consistent in

the primary sources of both Opp. 35 and 58, and these rnarkings often undencore the

structure of the movemcnt The changes mi@ be irnrnediate, as in the case of "ritenuto"

or "'strette," or more gradual, as in the case ~ f ~ ~ a c c e l e r a n d o ~ ~ (which correlates with an

increasing dynamic level in the early sources). Indications such as sostenvto may suggest

the alteration of tempo for an entire "penod? controlled by a new thematic idea

Twentieth-century editon add (and sometimes misplace) 'rit." rnarkings in cornparison

to those that appear in the first editions of the sonatas.

Richard Hudson has suggested that, in the small-scale works of Chopin,

"ritenuto" and "stretto" are more locafized in nature than are "rallentando" and

"accelerando" and that the latter terms most ofien appear in conjunction with structural

modification. In Chopin's sonatas, however, "ritenuto" and "stretto," as well as

"rallentando" and "accelerando," appear to be related to structure. The early sources of

Opp. 35 and 58 suggest notated tempo fluctuations would serve to heighten contrasts of

mood or character, contrasts that often coincide with the thematic identity.

Modifications of tempo might be either sudden or graduai, depending on the desired

affect. In a sketch fiagrnent of Op. 58/I, the marking "rall." accompanies a sudden shift

of colour, tonality, and mood; however, this "rail-" was omitted in the printed editions,

perhaps because such expressive fluctuations proved too subtle to notate accurately.

In the prïma-y sources examined of Opp. 35 and 58, the pattern in the first and

last "Allegro" movements seems to be one of accelerating toward the end of a large

section (i-e., the exposition or recapitulation), followed by a relaxation of tempo at the

beginning of the following section (Le., the development or the beginning of the coda).

Although structural acceleration is less explicitly indicated in the early sources of Op. 58

than in those of Op- 35, Klindworth's edition of Op. 58 (1878) gives editorial markings

that suggest an increase in tempo at the coda sections of the outer movements. Changes

in tempo, either speeding up or slowing down, that might have been associated with a

new thematic idea or "period are eliminated in the early twentieth-cenhiry editions of

both Op- 35 and Op. 58 prepared by Debussy (19 15) and Moszkowski (1924)- In

particular, the more drawn-out tempo implied by sostenutu in the rnid-nineteenth century

is cancelled by "a tempo" (foflowing a brief "rit") in Moskowski's edition, although the

sostenuto marking is retained-

The primary sources of Chopin's sonatas contain explicit and consistent

indications of tempo change reIated to affective content and syntactical function. These

indications support Robin Stowell's assertion that " pockets of tempo l1 would have

characterized mid-nineteenth-century performance practice, and that such practices of

tempo aiteration would apply even to so-called "Classical" genres such as the sonata

Furthemore, indicators of tempo modification in Chopin's sonatas suggest that changes

in tempo would have played a role in projecting the structure of a rnovement. If'

Mendelssohn had ever had the opportuniS. to hear Chopin play either of the sonatas, he

might have reconsidered his opinion of Chopin's seemingly arbitrary changes in tempo in

light of Fétist observation that "form was renewed in the inspiration of M. Chopin."

CHAPTER 7: PEDALLING

Cho~in and the 'Tully Pedalled" Sonoritv

In cornparison to indications of tempo, pedal markings differ widely among the

first French, Gennan and English editions of Chopin's sonatas. Nevertheless, among

later sources based on the first Breitkopf& Hartel editions, pedal markings are

practically unchangect In contrast to the multitude of editorial tempo markings that

reveal additional "layers" of information, especially about Iocal fluctuations of tempo,

relatively few editonal additions with regard to pedalling are evident in the Iate

nineteenth-century sources, despite the more resonant instruments of the period.

One of the central issues conceming the use ofthe damper pedal in Chopin's

works is the extent to which pedal markings in the various sources reflect actuaI

pedalling practices. Deterrnining where the pedal would be depressed and released in

music fiom the first half of the nineteenth century in general can be difficult, owing to

the casual attitudes of composers and engravers toward pedalling indications as well as

the imprecision of the notation.' Moreover, as will be seen in the case of the Opp. 35

and 58 sonatas, first editions of the sarne work (pubIished in the same year) may show

multiple pedalling possibilities, It is hardly surprising, then, that the subject of pedalling

in the music of Chopin has led to differing perspectives arnong scholars and pianists.

The conscious or unconscious desire to place Chopin's music chronologically on

a continuum of systematic historical developments in pedalling may underlie the

' David Rowland, A History of Pianoforte Pedalling (Cambridge: Cambridge University Press, 1996), 109.

thinking of those who wish to see the "fully pedalled sonority"' as normative and

characteristic of the Romantic school, As Sandra Rosenblum notes, the lack of

consistent pedal indications in Chopin's works is interpreted by the editors of the

Fryderyk Chopin Complefe Works to mean that "the pedalling required is so very simple,

and is therefore self-evident; or, on the contr ary... it is so subtle as to be too complicated,

if not impossible, to indicate."' Charles Rosen alludes to a dichotomy between the

"Classical system" of pedalling and the "revolution" created by the "generation of

Chopin, Schumann, and Liszt," and he includes the music of Chopin in his generalization

that "..-in the piano wnting of the Romantic generation of the 1830s ... a fully pedalled

sono* becomes the normal one?

John Fem, however, suggests that the actual sources of Chopin's music contradict

Rosen's notion of a "fully pedalled sonority." With regard to the Op. 47 Ballade, Fem

notes that pedal markings in the manuscript copy indicate unpedalled as well as

irreguiarly pedalled sononties;i and he concludes that an analysis of the early sources of

this Ballade ccdiscourages the idea of normative pedaling in Ch~pin.''~ Ln a similar vein,

Charles Rosen, The Romantic Generation (Cambridge: Harvard University Press, 1995)- 24.

1.J. Paderewski, L. Bronarski, J. Turczynski, eds., Fryderyk Chopin Complefe Works: Sonatas (Warsaw: Fryderyk Chopin Institute, 1950), epilogue; cited in Sandra Rosenblum, "Some Enigmas of Chopin's Pedal indications: What Do the Sources Tell Us?", Journal of Musicological Research 1 6 (1 W6), 4 1. ' Charles Rosen, The Romantic Generation, 24; cited in John Fem, "Performance Indications and the Analysis of Chopin's Music," Ph.D. diss. (Yale University, 1996), 254-255.

Ferri, 262. Fem observes that Chopin's pedal rnarkings "fiequently endone an interpretation that is 'drier' than some later editions recommend."

Ibid, 366. Fem notes that "modern performers should be cautioaed about routine applications of the damper pedal, which Chopin evidently used in an additive capacity to create nuanced hamonic effects, and also in an alutost reckless manner to summon obsessive and intense emotions."

Sandra Rosenblum calls into question the assumption tbat "Chopin generally intended

continuous use of the damper pedd," and she demonstrates tbat the careful pIacement of

pedal markings in the Mazurka, Op. 59, No. 2 facilitates specific effects such as the

reinforcement of the "most climactic statement" of the work, the accentuation of certain

beats, the clarification of part-writing, and the creation of colouristic variety.'

Rosenblum also notes that attempts to "complete" or normalize pedal markings in some

of Chopin's works were already being made by editors in the late nineteenth and early

twentieth centuries (e-g-, Karl Klindworth, Arthur Friedheirn, James Huneker, and Rafael

Jose*): and she observes that later editors (e-g., Paderewski) fomd it dinicult to accept

the perceived irregularity or absence of pedal markings in early sources of Chopin's

music at face value.g In light of late nineteenth- and twentieth- centwy editorid

traditions, it is understandable that pianists would extrapolate the notion of a more

generalized use of the pedal to Chopin's works. Undoubtedly, ideas about pedalling are

influenced not only by editions well removed fiom the origind manuscript and prïnted

sources of a work but also by the pervasiveness of pianistic practices such as continuous

"legato" pedalling for maximum harmonic s~nority.'~

Judging from the first French editions of Opp. 35 and 58, which were published

in 1840 and 1845 respectively, an intermittent and seleciive use of the damper pedal

would seem more in accordance with Chopin's notated practices than the 'cfdly pedalled

Sandra Rosenblum, "Some Enigmas of Chopin's Pedal hdications," 50-53. Ibid, 61. Ibid., 40.

''In addition, the tonal conception of modem pianists i s based on the sound of instruments several generations removed from the Pleyel instruments of the 1830s and 1840s.

sonority" that Charles Rosen associates with piano music of the 1830s." The Troupenas

and Meissonier editions suggest that the damper pedal would have been employed for

specific effects in these sonatas: among them the projection ofvaried repetition and

structural contrasts, the creation of contrasts in texture between rhetorically "opent1

passages and those requiring punctuation (e-g., cadences), the e~ancement of sonority in

the upper register, the reinforcement of certain melodic events, and the facilitation of

brief bursts of "sonic v01ume"'~ at important metrical (grammatical) or expressive

(pathetic) accents. By cornpanson, pedal markings in the G e m and English editions

are more often placed to enhance the sonority of a single harmony or to reinforce a

crescendo, and these markings transcend regisû-ai distinctions.

Although one might assume that the differing pedal indications in the fïrst

editions of Opp. 35 and 58 would reflect the idiosyncratic characteristics of pianos in

France, Germany, and England during the 184Os, this chapter wiU show that the varying

uses of the damper pedal in the early sources of the sonatas are more related to shifting

views on pedalling from the period than to the characteristics of the instruments for

which they might bave been "intended"" Some ofthe pedalling trends in the first

French editions could correlate with features of the Pleyel; or, in the English editions, to

those of the Broadwood (i-e., to Chopin's preferred instruments in France and England

pp ~~

'' Rosen, The Romantic Generation, 24. 'Tem, 25 1. Ferri notes, as does Eigeldinger, that the intensification of sono- through the use of the pedal consthtes "a central issue in Chopin's performance aesthetic and one eequently transgressed with an indiscriminate use of the pedal." 13The extent to which the "fully pedalled sonority" would have been considered normative in the latter part of the nineteenth century is difficult to ascertain, since later Gennan sources of Opp. 35 and 58 (such as the 1882 Gebethner & Wolff edition) reveal very few changes in pedal markings from those found in the 1845 Breitkopf & Halte1 edition.

respectively); however, the French sources sometimes give pedalling patterns that are

quite similar to those in the English editions. This similarity would cast doubt on the

notion that the main critenon for pedal markings would be the tonal and acoustic

properties of two very different instruments.'"n addition, there is no way of knowing

which type of instrument might have been "intended" for the consumers of the German

editions, since these editions were circulated in Poland and Russia, as well as in

Gemany. For these reasons, 1 have chosen to focus on pedalling indications in the

sources in cornparison to other known pedalling practices of the nineteenth century.

Chopin the "Conservative": Friedrich Wieck and the German School

One mid-nineteenhentury source whîch suggests that Chopin's use of the

damper pedal was unique is the somewhat polemical treatise by Friedrich Wieck (1 853).

Wieck, father of Clara Schumann, was known throughout Europe as a teacher of singing

as well as piano, and his treatise chastises performers who apply the damper pedal

excessively and indiscriminately, failing to listen to the effects they create. Significantly,

Wieck cites Chopin's "meticulous and precise" pedal markings as a mode1 for the

"proper and beautifid use of the pedal."15

Wieck describes the sort of playing he is likely to hear from the typical Parisian

pianist: --

'"For a description of the differences between nineteenth-century pianos, see Robert Winter, "Keyboards," Performance Pructices After 1600. (New York: Norton, 1 WO), 358-363, "Friedrich Wieck, Klavier und Gesang= Didaktisches und Polemisches (Leipzig, 1853); English trans. by Henry Pleasants as Piano and Song: Diductical and Polemical (Stuysevant, New York: Pendragon Press, 1998), 55. It is not known whether Wieck ever actually heard Chopin play or whether he was basing his judgment solely on the markings in Chopin's compositions.

--.mostiy nothhg but a continuous jumbie of the most diverse chords, without cadences, without points of rat-ludicrous passages covered by the sustaining pedal, uninteiiigiïIe thunder in the bass with the pedal down, or again, by way of a change, a meager, thin touch supported by the pedal.'6

Wieck associates improper use of the damper pedal with a lack of awareness of musical

punctuation (Le., cadences, pauses), as well as with attempts to disguise faulty tone

production. Moreover, he recognizes that an awareness of the damper pedal in relation

to the distinctive timbra1 qualities of the piano is essentiai to communicating the musical

syntax of a piece:

What discriminatuig and solicitous use this pedai requires with rapid harmonic progressions, especidy in the rnidde and lower areas of the keyboard, ait is not to compromise clarity and a cleanly phrased performance!L7

Earlier, Wieck had discussed the role of the pedal in producing a pianistic tone

that continues to "sound and sing, at the same time relievïng the tone of that dryness,

rneagemess and brevity that has always been held against the piano-..the nearer the piano

cornes to the singing voice, the better."18 Throughout his treatise, Wieck aligns himself

with pnnciples of the late eighteenth century that presuppose the imitation of the voice

by instruments. Wieck recognizes that his comments regarding pedalling might be

considered to represent antiquated views, and he seems to fa11 into the category of those

German and Austrian pianists who, according to David Rowland, remained conservative

in their pedalling practices, even well into the nineteenth century. l9

16Wieck, Piano and Song. 55. 171bid. 181bid., 54- %owland, A History of Pianoforte PedaIIing, 1 16. Rowland includes Hummel, Czerny, Moscheles, Adolph Henselt, and Clara Schumann (Wieck's daughter) in his Iist of conservative pianists.

In order to have won Friedrich Wieck's approvat, Chopin must have satisfied the

German pedagogue's standards of rhetorical c1arïty. The fact that Wieck considered

Chopin's playing a mode1 of "proper" pedalling &nns Chopin's high degree of

sensitivity to the control of pedalling required to achieve nuances of touch and

articulation." John Ferri asserts that Chopin did not rely on or encourage the use of the

damper pedal to convey a "sense of legato," and Fem ventures that Chopin's disparaging

comments about playing which resembled "a pigeon hunt" may have been directed at

"this type of pedaled legato.7n1 Other Parisian piani- may have used the damper pedal

as a substitute for the cultivation of a refined sense of articulation and tone production,

but Chopin did not appear to desire continuous pedalling any more than he desired

continuous "legato."

The U ~ p e r Register, "Sonic Volume," and Colou.ristic Effects

According to Friedrich Wieck, the damper pedal served as a means of ùicreasing

sonority in the relatively "dry" upper register of the piano:

... the use of the pedal was especidiy effective in the higher treble, ifthere were not too great a profusion of hamonic changes, and if the pedal were carefùiiy and repeatedly re~eased.~'

Wieck is refemng to Gennan-built instruments with a "thin., sharp tone,"= and it is not

known whether he was familiar with the tonal qualities of instruments built by Ignace

"The famous statement attributed to Chopin that "The correct employment of it [the damper pedal] remains a study for life" is attnbuted by Eigeldinger to Niecks (p. 57). "Ferri, 168. Fem appears to use the term "legato" to mean a continuous, sustained sound. =Wieck, Piano und Song, 54. Wieck refers, in the previous sentence, to grand pianos by Stein, Brodrnann, and Gr& [sic] which are "weakly leathered" and produce a "thin, s harp tone." 231bid.

Pleyel in ParÏs in the 1830s and 1840s. Pleyel's instruments featured a single-escapement

action (like that of the Viemese fortepianos), a lîght f i weight, precise damping

mechanism, and relatively light hammers, especiaily in the treble.14 The tone of a Pleyel

piano in the upper register wodd not necessarily have k e n as "sharp" as that of the

German instruments. Nevertheless, the pedal indications in the first French edîtïons of

Opp. 35 and 58 show the damper pedal used fiequently in conjunction with the upper

registers, particularIy in fast tempi. In other early sources of the sonatas, the relationship

between the pedal and the tessitura of a soprano singer is less evident.

Relatively long pedals that connect registers are s h o w in the German sources of

the finale of Op. 58. The autograph fair copy gives a crossed-out pedal release at the end

of m. 195 ( E x 7-la), then no pedal release for the duration of the passage.

Example 7-la: Op. 58/W, mm. 192-198 (autograph fair copy, c 1845)

=*Robert Winter, 'Keyboards," Perjiormance Procrices Afier 1600. 3 5 8-259. According to Winter, the hammers on a Pleyel of the 1830s or 1840s were likely to be made primarily of felf possibly with a leather covering. The strikïng-point ratios in the upper register of the Pleyel escalated in the treble fiom a ninth to a thirteenth, which wodd have resulted in atone slightly ncher in upper partiais in cornparison to the Viennese instruments, whose sûiking points in a comparable registers were between a seventh and a twelfth.

The r e d t of sustainhg the pedal throughout this transitional sixteenth-note passage

(which leads back to the rondo theme at m 206) would be an "open" pedal that inchdes

octaves in the bass register dong with the upper-register figurations, and this pedalling

has been reproduced in the Breitkopf & Hartel editions. Aithough ail sources show a

crescendo in this passage, the long pedal indication in the Geman sources would best

serve to reinforce the accumulation of "sonic volume" suggested by the crescendo.

By cornparison, the Meissonier edition shows a pedal reIease in m- 198, which

foLlows three measures of continuous descendhg sixteenth notes in the right hand (Ex

7- lb). This pedal release occurs just before chromatically ascending bass notes are

added to the texture, and the placement of this release separates the pedalled

upper-register figurations fiom the notes in the bass register. In this source, it would

appear that registral distinctiveness is of greater concern than overall sonority.

Example 7-lb: Op. 5 8 m , mm. 191-199 (Meissonier ed., 1845)

The contrast between short rhythmic pedals in the Meissonier edition that

correspond to the upper register and longer pedds in the German sources that transcend

registers is once again apparent in the coda of this finale (mm. 254ff-). The passage

features a texture similar to that of mm. 195-206. The right-hand line contains

continuous sixteenth notes, many of them dissonant embellishments of the underlying

harmony in the minimal lefi-hand accornpaniment In mm- 257 and 261, the Meissonier

edition gives two short pedals (Ex. 7-2a), whereas the 1845 Breiùcopf & Hartel edition

shows pedal markings o f a full measure's duration (Ex. 7-2b)? Similarly, the French

edition shows a two-mesure pedal in mm. 275-277 (Ex. 7-3a), while the autograph fsur

copy for the first German edition (as well as the English edition) gives a much longer

pedal that begins on the second beat of m. 275 and extends to the second beat of m. 280,

encompassing the descending sixteenth-notes as they move into the Lower register (Ex

7-3b). In cornparison to the short pedals in the Meissonier edition, which are applied

only to figurations in the upper register, the long pedd markings in the Geman and

English sources involve al1 registers of the instrument.

- -

%terestingly, the 1878 Breitkopf & Haitel edition omits pedal markings entirely in these measures.

Example 7-2a: Op. 58/LV, mm. 256-272 (Meissonier ed., 1845)

Example 7-3a: Op. SS/W, mm. 273-286 (Meissonier ed., 12445)

Example 7-3b: Op. 58/IV, mm. 270-286 (autograph fair copy, c. 1845)

Not only do the long pedals in the German and Enghsh editions conneci registers,

but they dso serve to intensifjr sononty, particularly in the bass register. At the end of

the Op. 58 finale in both the first Breitkopf & Hartel and Wessel editions, the tonîc and

dominant octaves at mm. 278-280 are connected within the single pedal marking that

originates in m. 275. The blurring of tonic and dominant harmonies that might result

fiom this long pedal appears secondary to the strengthening of "sonic volume" as the

dramatic conclusion of the movement (and of the work) is approached. By cornparison,

Meissonier shows no pedalling in these measures, and the tonic and dominant octaves

are simply marked with dots above the notes?

The function of long pedais in the early German and English sources rnay be

related to connecting registers or heightening harmonic sonority Nevertheless, long

pedal markings are found in al1 the sources, including the first French editions, at points

where the musical context would support the use o f the damper pedal in association with

colouristic effects. For example, both the manuscript fair copy (Ex 7-4a) and the

Troupenas edition of Op- 35AI (Ex 7-4b) show a pedal marking at the beginning of m.

54, where a diminished-seventh harmony begins. This harmony is extended to the first

beat of m- 55 by means of an enharmonie respelling of D# as E-flat-

26Pedal markings in editions fiom the latter half of the nineteenth centtq, such as those of Gebethner & Wolff, suggest that the added sonody created by raisiag the dampers may have substituted for articulative weight (simiified in previous sources by dots underneath notes) as a means of emphasis. For example, the manuscript fair copy and the Troupenas edition of the Op. 35 Scherzo show no pedal marking in the final measures (mm. 284-288), and the octaves in the bass line that represent dominant and tonic are underscored by dots. By contrast, al1 the Gebethner & Wolff editions show a pedal marking in these measures, and the dots are lacking.

Example 7-4a: Op. 35/II, mm. 49-79 (manuscript fair copy, c. !Wl

Example 7-4b: Op. 35m, mm. 54-79 (Troupenas ed., 12M0)

Neither the manuscript fair copy nor the Troupenas edition shows a pedal release in the

next sixteen measures. The entire passage encompassîng mm. 55-71 could, therefore, be

played in a single pedal, the effect of which would be much less blurred on a Pleyel

piano of the 1830s or 1840s than on a modern instrument The final measures are

marked with a decrescendo wedge that tapers to pp, and the dynamic rnarkings seem to

c0nfb-m that the purpose of this long pedal marking would be for colouristic effect rather

The result of sustainhg the damper pedal throughout the passage descnid

above, on a Pleyel of Chopin's time, would be an irridescent texture without excessive

residual resonance, The effect would be not dissimilar to that descnied by Czerny

(c. 1839), who nonetheless refers to Viemese instruments:

In passages which are to be played with extreme softness and deiïcacy, the pedal may occasionaliy be held down during several dissonant chords, It produces in this case the sofi undulating effect of the Eoiian Harp, or of very distant r n u ~ i c . ~

The pedalling shown in Iater editions of Op. 35DI shows that clanty of hamony and

heightened resonance seem to take priority over colouristic use of the pedal in mm.

55-71. Unlike earlier sources, the 1878 Breitkopf & Hartel edition shows a pedal release

at the begïnning of m. 56;' and this release separates the diminished-seventh hannony

from the remainder of the transitional passage (Ex. 742).

27Czemy, Theoretical and Pracfical School of P[ay»tg the Piunoforte, Op. 500. Vol. III, 6 2 ; cited in Rowland, 45. 28This release is retained in the modern Paderewski edition,

Example 742: Op. 35/II, mm. 54-79 (Breitkopf & Hiirtel ed., 1878)

Another instance of the damper pedal enhancing the unique colour of the

dùninished-seventh harmony is found in the "Piu lento" section of Op. 58/m. AU

sources show a three-measure pedal marking (mm. 87-90) that coincides with an

ascending and descendhg diminished-seventh arpeggio. The passage is markedpp in

both the Geman and English sources and is preceded by "dim.," as wel1 as by a

decrescendo wedge in the Troupenas edition. These subdued dynamic markings

reinforce the idea that, in the early sources, long pedal markings could be associated with

colour (e.g., the ethereal quality of the -shed-seventh hamiony) rather than with an

increase in sonority and volume.

While arpeggiations of the diminished seventh and other tonally unstable

hannonies are fiequently accompanied by long pedal markings in al1 the early sources,

broken-chord figurations composed of more tonally stable harmonies may be marked by

shorter pedds, especially in the French and English editions. For example, in m. 268 at

the end of the coda section of Op. 58/IV, al1 three first editions show a pedal markïng

where an arpeggiation of supertonic h o n y creates a descending swirl of sixteenth

notes. In the Meissonier and Wessel editions, these figurations of predominant harmony

begiming in the upper register are set off: by means of a pedal reiease in ni- 270, fkom

the change of texture less than two measures Iater, and the following hornophonic chords

in the register below niidcile C are unpedalled (see E x 7-35}. However, the pedal release

marzcing in m. 270 is absent fiom the autograph fair copy as well as the first German

edition (see E x 7-3b), and this sustaining of the damper pedal would serve to blend

registers and maxirnize sono* as the end of the movernent is approached.

Judging fiom the first editions of Opp. 35 and 58, arpeggiations of tonally stable

harmonies in quick tempi would not normally be fùlly pedalled unless they contributed

to a sense of forward momentum as the work's conciusion was approached?' However,

figurations consisting of chrornatically-altered notes seem to be subject to relatively long

pedals in quick tempi. In particular, the first French editions point to the use of the

darnper pedal, in fast tempi, to connect "dissonant" rather than ttconsonant" notes, and

this usage appears reIated to colour rather than the maximization of hamonic s~nor i ty .~~

291 refer here to arpeggios based on diatonic harmonies as opposed to those based on diminished- seventh h m o n y , which are discussed above in relation to colouristic use of the darnper pedal- Arpeggiated passages based on diatonic harmonies in slow tempi might be pedalled if such passages appear in the upper register, as is the case in the middle section of Op. 58/m (for example, in mm. 36 and 52). "As in the case of arpeggiated figures, the pedalling of trills might depend on register

The early sources of Chopin's sonatas show that the damper pedal was still being

exploited in the mid-nineteenth century to amp1if;j resonance in the upper register, to

intemifi colouristic effects (especially those associated with "dissonance"), and to

reinforce "sonic volume." Another pedalling technique apparent in the Troupenas and

Meissonier editions which is sometimes associated with earlier practices is rhythmic

pedalling, that is, depressing the pedal on the beat and releasing it before the next beat.

Such a technique of pedalling c m result in a "more articulated sîyle" than syncopated

pedalling)' partïcularly if the pedal is depressed sirnultaneously with the beginning of a

new harmony and raised well before a harmonic change on the next beat or accented part

of a measure. The next section witl focus on rhythmic pechlling in the early nineteenth

century and in Chopin's sonatas.

Rhvthmic versus Harmonic Pedalling;

According to David Rowland, the practice of rhythmic pedalling was still

employed by "conservative" pianists such as Moscheles into the mid-1 82Os, even though

this practice was becoming outdated in some quarters. In cornparison to rhythmic

pedalling, "syncopated" or overlapping pedalling (that is, pedalling immediately after the

beginning of the new harmony) appears to have been considered a more modern

development, even by pianists in the first quarter of the twentieth century, and this

practice is suggested in the methods of Czerny (c. 1839) and Kalkbremer (c. 1 835)-32

and tempo. Trills in lower registers and slower tempi are ofien associated with pedal, while those in upper registers and in "allegro" contexts are generally devoid of pedal markings. However, pedalled trills are more fiequent in the German sources than in the first French or English editions. 3LRowland, 119. 32ZIbid, 1 15. Rowland cites Edith Hipkins' recollection (in 19 13) of Kleczynski's

Nevertheless, RowIand notes that both the "apparent conservatism" of rhythrmc

pedalling and the more progressive syncopated pedaIIing probably CO-existed until well

into the twentieth century." Although late-nineteenth centuty observers such as

Kleczynski assume syncopated pedalling in Chopin's musicYY the pedd marlongs that

appear in the first French editions of Opp. 35 and 58 suggest that Chopin wouId have

continued to consider rhythmic pedalling as a viable option-

One of the functions of the rhythmic pedalling practices suggested in the

Troupenas and Meissonier editions (an4 to a Iesser extent, in Wessel) would be to

reinforce metrical accentuation, particularly when this coincides with harmonic rhythm-

Pedal indications in these sources are often shorter and more frequent than those in the

Geman sources, and only rarely do they extend across a barlir~e.~' Ln Op. 580, for

example, short pedal markings (of one measure or less) in mm. 29,30, 125, 147, 15 1,

174, 175, and 196 in Meissonier are unique arnong the first editi~ns.'~ Both Meissonier

and Wessel show short pedal rnarkings in mm. 47, 142, and 144 that are not present in

the autograph fair copy for the first Breitkopf & Hartel edition.

account, 33Rowland, 1 19- 120- UIbid, 120. 3 S T ~ o exceptions may be noted Firstly, in mm. 138-139 of the f i s t movement of Op. 35/I, the Troupenas and Richault editions show a single two-measure pedal marking, as opposed to the one-rneasure pedals given in the manuscript fair copy. The short pedals are reproduced in the 1878 Breitkopf & Hêrtel as well as in al1 the Gebethner & Wolff editions. PossibIy, thefindicated only in the French editions would account for the longer pedal. Secondly, a pedal marking at m. 178 in the Meissonier edition of Op. 58/I suspends the first-inversion supertonic hannony (with added seventh) across tire badine. The Gerrnan edition gives tenuto in the following measure. ''The English edition shows no pedal marking in m. 29, whereas the French edition shows two short ones.

In cornparison t o the French editions, the German sources of Opp. 35 and 58

display pedal markings that would serve to heighten sympathetic vitrations and

harmonic resonance, regardless of metrical accent. In fact, the placement of pedal

marhgs in the German sources may contravene metrical accents. Pedd markings in the

German sources extend across barlines more fiequenly than is the case in either the

French or the EngIish editions, and these non-rhythmic pedal rnarkings wodd negate the

agogïc impact of articulative space prior to the downbeat

The diGerences between the first French and Gennan editions with regard to the

placement and duration of pedal markings are illustmted in the second part of the "Piu

lento" section of Op. 3 5m. The 1840 Troupenas edition shows pedal marbgs on the

downbeats of mm. 158 and 159 (Ex 7-Sa), whereas the manuscript fair copy for the first

Breitkopf & Hartel edition shows pedals beginning on the lowest bass note on the second

beat of each of these rneasures (Ex 7-5b)-

Example 7-Sa: Op. 35m, mm. 15û-161 (Troupenas ed., 1840)

Example 7-Sb: Op. 35m, mm. 151-160 (manascript fair copy, c 1840)

While the pedalling in the French edition draws attention to the metrîcally accented

downbeats, that shown in the German source creates a feeling of syncopation based on

the harmonic rhythm, thereby elevating the perception of harmony above rhythm.

Despite some similarities in pedal placement between the f& French and

English editions, rhythmic pedalling is more pronounced in the Meissonier edition of Op.

58A than in Wessel. For example, Meissonier shows a short pedal at m- 147, whereas

Wessel omits this pedal entireiy. At the begimhg of the recapitulation in m 151,

Meissonier gives two short pedals rather than the single long one found in the English

(and German) editions. Similarly, in m. 174, Meissonier gives two short pedal

markingsY3' while Wessel &es only the fmt of these. At m. 189, a shorter pedal is again

indicated in the Meissonier edition than in either of the other two fFrst editions. The

positioning of pedal markings is most similar between the English and French editions in

the development section, where the texture becomes more contrapuntal. This might

suggest that rhythmic pedalling would have been considered most effective in thematic

rather tfian transitional areas.

"The 1 878 Breitkopf & Hartel edition shows two short pedal markings in m. 1 74, where the first German edition shows only one. The autograph also shows two pedaIs in this measure.

Expressive Accents and the Use of the Dam~er Pedal

In addition to marking metrical or iCgrammatical" accents, the brief pedals

indicated in the first French or English editîons may strengthen an expressive or

"patheticn accent in the melody where the German sources might show a longer pedal

whose function appears related to the enhancernent of sono* in the melodic line. For

example, a pedal release in the Wessel edition of Op. 58/I contributes to the rapid decay

of the upper note of a syncopated octave leap in the melodic line of m. 166 (Ex. 7-6a),

causing it to be perceived as almost a sforzando effect. By contrast, the longer pedal in

the autograph fair copy and the first Breitkopf & Hartel edition reinforces sonority by

connecting the upper and lower notes of the octave, thereby causing the decrescendo

following the uppermost note to be heard as a more gradua1 balancing of the preceding

crescendo (Ex. 7-6b).38

Exampie 7-da: Op. 584 mm. 163-166 (Wessel ed., 1845)

38The 1845 Meissonier edition gives a slightly longer pedal thao dors Wessel, but one which is nevertheless shorter than in Breitkopf & Hartel. At a previous occurence of this rnelodic idea in the exposition (m. 56), Breitkopf & HarteI shows a long pedal; by cornparison, Wessel gives a slightiy longer pedal than in rn, 156, while Meissonier omits pedal entirely.

ExampIe 74b: Op. 58/I, mm. 163-166 (Breitkopf & Hârtel ed., 1845)

In general, the damper pedal appears to play a lesser role in highlighting expressive

accents in the melodic line in the German editions of Opp. 35 and 58 than in the French

or English sources.

Even in cases where short pedd markings coincide nith an expressive or

"pathetic" accent in the early German sources, such markings may be absent fhm later

German and Polish editions. For example, the manuscript fair copy for the first

Breitkopf & Hartel edition of Op. 35mT (the "Marche fûnébre") contains single-measure

pedd rnarkings at mm 11 and 12 that appear related to the expressive content of these

measures, as well as to the sudden shift to the upper regi~âer.'~ Both measures contain

melodic gestures similar to a "si&" (represented by the stepwise descent through the

interval of a fourth), and a decrescendo follows the beginning of each "sigh" (Ex. 7-7).

39Troupenas also gives a short pedal indication in m 13, where the principal melodic motive is reiterated in a higher register than that of its initial presentation.

Example 7-7: Op. 35/III, mm. 1-12 (manoscript fair copy, c 1840)

The pedal m a r e s in mm. 11 and 12, which reinforce the.6, also appear in the 1840

Troupenas edition, and they are reproduced in some later editions (e.g., the 1860

Richault and the 1878 Breitkopf & Hartel so~rces)!~ However. these brief pedals are

absent fiom the manuscript copy of the "'Manche funèbre" that may have been made

soon after Op. 35 was fist publisheci," as weU as fiom the subsequent Gebethner &

Wolffeditions of 1865,1873, and 1882.

Not only are the single-measure pedal markings in mm. 1 1 and 12 absent from

the 1882 Gebethner & Wolff edition, but an annotation by the editor. Jan Kleczynski,

Y > M d ~ ~ u g l ~ tlie 1 578 Breitkopf & H e l editiori may- have drawn on the first German edition as irs "best source," it fkequently incorporates markings found in other printed sources such as the Troupenas editiom 4'As previously mentioned, this manuscript copy of the third movement of Op. 35, in an unbnow hanci, is housed in the ~sterreichische Nationalbibliothek in Vienna. The paper appears to have been purchased in Prague, and the misspelling of 'Marche" in the copying of the work7s title (i-e., as "Marsche [sic] funèbre") suggests a scribe of German or Austnan background. In many respects the 'Marsche fuaèbre" resernbles the manuscript fair copy for the first Gemian edition of Breitkopf & Kartel. However, with regard to pedal markings, the 'Marsche funèbre" copy differ in significant respects fiom those found in either the fair copy or the first French edîtion.

suggests that the more generalized application of syncopated penalling might have

replaced the bnef bursts of pedal that reinforce the expressive accents in these measures.

In the fkst measure of Kleczynski's edition of Op. 35/4 syncopated eighth notes

(separated by eighth-rests) are placed underneath the bas luie (Ex 7-81, and this

notation implies that pedalling after the change of harmony on each quarter-note chord

would have continued throughout the opening section

Example 7-8: Op. 35/I I I , mm. 1-4 (Gebethner & WdfTed., 1882)

A . Marche funèbre. . a n ,

Although Kleczynski's edition of 1882 implies the "fully pedalled sonority" at the

beginning of the "Marche funèbre," there is little evidence to suggest that the more

specialized functions of the damper pedal demonstrated in the earlier sources (Le., to

strengthen metrical and expressive accents, to enhance changes of colour, to warm the

tone of the upper register, or to bolster sonority at crescendos) would necessarily have

been eliminated by mid-century.

Cadences, Rhetorical Flow. and Continuitv

The short pedals marked in the early sources of Chopin's sonatas may have

assisted not only in drawing attention to important metricd accents but also in

highlighting cadentid events. In Op. 35m for example, brief pedals that reinforce the

dominant harmony of reiterated ahen t i c cadences in mm. 32-34 serve to create

additional emphasis on this nIst member of the cadence. However, sources M e r in the

duration of these short pedal markings. The manuscript fair copy shows a uniforrn pedal

iengtb the release sign being placed just slightly before the final tonic chord in each case

(Ex. 7-9a).

Example 7-9a: O p 35m, mm. 32-36 (manuscript fair copy, c 1840)

N.B. pedai reIease

By cornparison, the placement of the release sign is more varied in the Troupenas edition

(Ex 7-9b). At the f i s t occurrence of the cadence (m. 32), the release s i s is omitted

altogether; at its second occurence (m. 33), the release sign is placed just after the tonic

chord; and at the final occurence of the perfect cadence (m. 34), the release sign appears

before the tonic chord, as in the manuscript fair copy.

Example 7-Bb: Op. 35A, mm. 33-36 (Troupenas ed., 1840)

It is possible thai the discrepancies in placement in the Troupenas edition migbt have

arisen fiom di.cultîes on the part of the engraver in alignuig the release s igd2 or îhat

the variations in placement rnight suggest diEerent degrees of emphasis. Nevertheless,

the pedalling of the final cadence is the same as that given in the manuscript fair copy at

al1 three repeated cadences. By means of a brief burst of pedal, the final dominant chord

wodd receive greater emphasis than the tonic foLlowing it, and the dominant would b e

cleatly separated from the tonic.

In con- to brief pedals that reinforce musical punctuaîion, however, the ea ly

French sources sometimes show cadentid harmonies overlapped into a single pedal

where the rhetorical flow might require a sense of "opemess." For example, a single

pedal is found at m. 32 of the Troupenas edition of Op. 3 5 4 where the harmony changes

f?om dominant to fïrst-inversion tonic on the second beat of the measure (a relatively-

weak metrical location). This inconclusive cadential gesture occurs at the end of the frrst

phrase of the varied restatement of the theme, which began at m. 25 (Ex- 7-10).

4'A pedal release is signified in the fist French editions of Chopin's sonatas by an asterisk.

Example 7-10: Op. 3S& mm. 25-32 (Troapenas ed., 1840)

Owing to the first-inversion tonic harmony and the continuous rhythmic activity

throughout this passage, the cadence at m_ 32 lacks a sense of hality. On a Pleyel

instrument, the single pedal comecting tonic and dominant harmonies might aiiow the

material which follows to be heard as a continuation of the "period" containhg the

varied re~taternent.~~

In the k t French editions of both Opp. 35 and 58, such relatively long single

pedals that transcend changes of b o n y seem to coincide with rhetorically "open"

sections. Although the simdtaneous sounding of different harmonies in a single peM

codd result in "blurring" or "smudging7' on a modem piano, the effect would have been

far less pronounced on a Pleyel of the 1 830s or 1 840s- As was also the case with

Viennese instruments such as the Graf (which Chopin is thought to have played in 1829

43The single pedal marking in m 32 is also found in later editions such as the 1878 Breitkopf & Hartel (and even the modem Paderewski edition), despite the increased resonance aaForded by later instruments. The presence of a pedal m a r b g that connects cadential dominant and tonic harmonies, even in later editions, might suggest that projection of the periodic structure wodd have taken priority over the projection of harmonic clarity in these sources. However, editions after 1878 fiequently show revised pedal markings that privilege harmonic cl-, especially in cases where the accumulation of sononties involves chromatic rather than diatonic harmonies.

during his stay in Viema),& the damping action of the Pleyel is swift and precise, and its

residual resonance is minimal, On the Pleyel, one of the most noticeable effects of

removing the dampers ficm the strings during the course of successive harmonic

sonorities would be a reduction in the speed of decay, and this would have resulted in a

perceptible srnoothing of the edges between notes and chords which, in turn, would

contriiute to a sense of flow and opemess,

The inclusion of several harmonies within a single relatively long pedaI marking,

whether for purposes of rhetorical flow or colouristic effect, could contribute to an

intensification of "sonic volume" unless this were carefuily controlled by d e r means,

such as touch and dynamic level. Nevertheless, in cases such as the transitional areas of

Op. 35/i, the intensification of "sonic volume" may have been an integral component in

the creation of a sense of forward movement, and the extended pedal that appears in the

Troupensts edition in mm. 93-97 would contribute to such an effect. The harmonic

momentum created at the end of the exposition by several chromatic shifts is reinforced

by the combination of crescendo, sfretto, and the extended pedal (Ex. 7-1 I)."

SJWinter, "Keyboards," 358. ''The Paderewski edition has modemized this reading, giving pedal changes with each successive harmonic sonority of the strefto. While fiequent changes of pedal would certaidy dari@ the hannonic progressions in this passage on a modem piano, such changes on an early nineteenth-century Pleyel might set the transitory shifts of harmony off from each other with a distïnctness not suggested by the pedalling in the original sources. By drawing attention to the new harmony at each pedal change rather than allowing it to be subsumed into the flow of sonorities, each new chord might be perceived as receiving cadential weight. This, of course, would interrupt the sense of rhetorical flow.

Example 7-11: Op. 35/I, mm. 91-97 (Troupenas ed., 1840)

In the manuscript fair copy, no pedal release is gîven before the new pedal in m 99,

suggesting the possîbility of an even greater accumulation of sonorïty. In addition to

fuelling the forward mornentum and rhetorical opemess of this passage, the use of the

dariiper pedal heightens the contrast between pedalled and unpedalled textures that seem

to correspond to stable and unstable (or transitional) passages respectively.

PedaUing as a Means of Melodic Enhancement

The carehl and selective application of the damper pedal in the nrst French

editions can contribute to the clarity of the rhetoric in the melodic line. In the Troupenas

and Meissonier sources, pedalling the melody often appears to outweigh harmonic

considerations. We have already seen, for example, that the pedal may be released and

depressed within a single harmony to bring out expressive accents in the melody or other

sienificant melodic events. In cornparison to the first French editions, the Gennan

sources are more likely to show pedalling that enhances a single harmonie sonority.

Pedalling the melody, as opposed to the hannony, suggests a concepîual approach bascd

on a vocal mode1 rather than an orchestral one.

One example of pedalluig that privileges the melodic line is apparent in the

Troupenas edition of Op. 35/K The "Piu lento" section of this movement featmes

four-measure melodic ideas that are extended by several measures of accompaniment

before the next melodic unit begins. While the manuscript fair copy shows a pedal

marking that continues fiom the last note of the melodic phrase in m. 88 through the

entire accompanimental extension to the end of m. 9 1 (Ex 7-12a), the Troupenas edition

gives a pedal release in mm- 90 that separates the accompanimentaL extension fiom the

onset of the next melodic idea (Ex 7-12b).*

Example 7-12a: Op. 35/II, mm. 80-99 (manuscript fair copy, c 1840)

*Al1 sources give a single pedal marking fiom mm. 1 16- 12 1, where the main theme retums. At the extension of the theme in m. 125, the 1878 Breitkopf & Hmel edition introduces several additional pedal changes that are not found in eitber the manuscript fair copy or the original French edition More fiequent pedal changes in mm. 125-128 are also found in the modem Paderewski edition, and may reflect the increased sonority of later instruments relative to the Pleyels of the 1830s or '40s.

Example 7-12b: Op- 35/11, mm. 8û-96 (Troupenas ed., 1840)

Whereas f5e extended pedai markings in the manuscript fair copy for the German edition

serve hannonic ends by prolonghg the harmony at the end of the phrase, those in the

French edition c l a m melodic constnictio~i in the register corresponding to the tessitura

of a soprano singer.

In the Meissonier edition of Op. 58LQ pedal markings reflect the symmetrical

periodic structure of the opening measures, and their placement coincides with

"breathingtl places in the melodic line as indicated by siurs. The regularity of the

two-pedal-per-measure pattern estabfished in the opening phrase is mainîained by the

second pedal release in m 8. This release marks the end of the melodic phrase?'

-

47The placement of slurs in the opening "period" of Op. 58 /m is different in all three original editions. The French edition foliows the periodic structure of the melody most closely by means of durs that begin with the anacruses to m. 5 and m 9, and on the downbeat of m. 13. The German edition gives new slurs at the begirining of m. 5, W a y through m 6, and at the beginning of m. 13, for a more assymetrïcal aligmnent The English edition incorporates features of both of the others. New slurs are found at the beginning of m. 5, haLfway through m. 6, at the pickup to m. 9, halfway through m. 10, and then not until the second 'cperiod" (Le., varied restatement) begins at m. 17. In both the German and English editions, pedalling appears to be independent of the slurs (i-e., two pedals per measure) throughout this opening section.

Example 7-13a: Op. 5S/III, mm. 1-12 (Meissonier ed., 1845)

The pedal markings in the French edition of Op. 58/m reflect the phrasing that would be

delivered by a singer sensitive to the structure of the melodic line.

In cornparison, the autograph fair copy and the fïrst Breitkopf & m e 1 edition

give an extra pedal rnarbg on the fourth beat of m- 8. This additional pedd rnarking

eiiminates the articulative separation between phrases that is found in the French edition,

and the absence of this separation is reinforced by a longer dur marking that subsumes

mm. 8 and 9 into one long "period" extending to m 12 (Ex 7-13b). The perception of

an assymetrical line unhindered by a space for "breath" is created in the German edition

by means of penalling, as well as slur placement

Example 7-13b: Op. 58/III, mm. 1-12 (Breitkopf & Hiirtel ed., 1845)

In both the first French and English editions of Op. 58/III, the normative

pedalling pattern of two pedals per measure reinforces the regulaxity of the syrnmetncal

melodic construction. However, this pattern is disrupted by the use of a MI-measure

pedal marking at certain points that may be seen to have structural significance. These

include the beginning of the "aria7' theme in m 5; the beginning of the varied restatement

of the in mm. 17-1 8; and the be30inning of the reprise of the "ariayy in m. 99. The

longer pedals in the French and En&sh editions that coïncide with the beginaings of

these rnelodically-dehed sections draw attention to the entry or re-entry of the main

theme. These pedal markings, as weil as those in the lyrical "Piu lento" section of Op.

35m (described above), accentuate events in the melodic line while enhancing tone in

the upper register of the piano, particularly that which emulates the register of the

soprano voice.

Pedalling; - and Varied Remtition

In previous chapters, it has been observed that the first French editions of Opp. 35

and 58 display more opportunity for the embellishment or modification of the return of

thematic material (e-g-, by means of ornamentation or articulation) than do the German

sources, and this tendency is also evident with regard to peddling. The Troupenas and

Meissonier editions frequently show modified pedalling in resbtements of thematic

material or in structurally analogous sections, such as recapitulations or reprises, while

the German and English sources tend to feature more uniform pedalling markings at

subsequent recurrences of thematic material. A common pattern in al1 sources, however,

is an unpedalled initiai statement of a theme, followed by a pedalled version, in some

cases, pedal markings in the recurring statements of a theme may be varied in

cornparison to the initial pedalled occurrence, and more variance among sources is often

found in structural repetitions than in initial statements- The finale of Op. 58 provides an

example of some of the possible pedalling variants.

For the most part, Op. 5 8 N features h o pedal changes per measure that

reinforce the metrical accents in the 6/8 metre of the movement. Although al1 sources

show the opening statement of the rondo theme (mm. 9-18) as unpedalled, differences in

pedalling indications among the first editions become more pronounced as the movement

progresses. A sirnilar pattern is apparent at the secondq theme of this rnovement In

the French and Geman sources of Op. 58/XV, the first appearance of the second theme

(mm. 76ff.) is unpedalled? However, the parallet passage (mm. 1 67ff.) is given a

variety of pedal markings. Wfiile the autograph fair copy and the 1845 Breitkopf &

Hartel edition show two pedals per measure throughout the second leggiero section,"

the 1 845 Meissonier and the 1 860 Richault editions give two pedals per measure only in

the first four bars of this section (mm, 167-171), then no pedal for the next four bars

(until m. 1 75), and this sequence is essentially repeated for the next eight measure~ .~

The appearance of pedalling variants in recurring thematic material suggests that the

damper pedal would have played some role in projecting varïed repetition in the loose

"sonata-rondo" fonn of this movement, although the actual pIacement of pedal markings

differs among the sources.

Similarly, in the case of the "Marche funèbre" movement of Op. 35, more

variants in pedalling are found in the recurrence of thematic material than in its initial

statement. For example, the Troupenas edition gives a short pedal marking at m. 13

whereas, in the reprise, pedal markings are present not only in the analagous measure (m.

67) but also in the measure following (m. 68). In the "Marsche fûnèbre" manuscript

copy, the pedal marking in m- 13 is lacking; however, a single-measure pedal appears at

m. 67, the corresponding point in the reprise. In the 2878 Breitkopf & Hartel edition, as -- -

JSThe English edition contains no pedal markings at either the first statement or the subsequent recursence of the Zeggiero theme. Wessel also omits pedal markings entirely during some non-thematic sections of this loose sonata-rondo structure: for example, during the introduction (mm, 1-8) and for a portion of the coda (mm, 262-267). 49CUrio~sly, the 1878 Breitkopf & Hmel edition omits the second pedal marking in m. 171, although this pedal marking is found in both the autograph fair copy and the original Gennan edition. '("The French and English editions do not specifiy Ieggiero at the return of the '73" theme; however, 1 have chosen to refer to these sections using the term that appears in the Gerrnan sources.

in Troupenas, a short pedal appears in both mm. 67 and 68. The corresponding measures

in the initial presentatioti of the March (Le., mm. 13-14) are unpedalled, as is also the

case in the 'Marsche funèbre" copy. Both the Troupenas and the 1878 Breitkopf &

Hartel editions show a short, half-mure pedal in m. 81, whereas the manuscript fair

copy shows a longer pedal, and the "'Marsche funèbre" copy shows none whatsoever. In

al1 sources, the minimal use of pedal in the initial statement of the "Marche" contrasts

with a wide array of pedalling possibilities in the reprise.

Along with notated vanants in pedalling in the reprise of Op. 351III. changes in

dynarnic level may assist in projecting the perception of "varied repetition. For instance,

the "Marsche funèbre" copy ornits the pp found at the retum of the main therne of the

"Trio" (m. 46) in both the first French edition and the manuscript fair copy, and the

absence of any dynarnic indication at the second appearance of this theme might allow

for the possibility of restatement at a stronger dynamic level than the initial pp.

Another dynamic variant in the Troupenas edition of Op. 35/m is the c'cresc." indication

beginning in the second measure of the reprise (m. 57) and extended by means of a

dotted Line throughout the next four meas~res.~'

Alfred Cortot mentions a performance tradition that appears to incorporate the

"cresc." indication found in the first French edition of the "Marche funèbre" rnovement,

According to Cortot, the reprise of the solemn march would begin with a gradual

crescendo which represented the approach of the fimeral procession. A corresponding

decrease in the second half of the reprise depicted the cortège receding into the

-

SIThe 1860 Richauit edition also gives "cresc." in m. 57, but omits the dotted line showing its extension.

distance.s2 Even welI into the nineteenth century, "varïed repetition" (whether

irnprovised or notated) by means of dynamics would have been a current practice-

Unforîunately, Cortot does not state whether a performance tradition such as the one he

descn%es would have embodied variants in pedalling in reprises or other structural

repetitions.

The crescendo notated in the early Frcnch editions, at the beginning of the reprise

of the "Marche funébre," is not found in the German sources. The absence of this or other

notated dynamic variants might stem f?om the abbreviated "da capo" notation for the

reprise in the manuscript fair copy. One might expect that this notation, which consists

of a series of numbered memes , would have resulted in an exact replication of the

"Marche" in the printed Breitkopf & Hârtel sources and their derivatives. Even so,

additional pedal rnarkings had found their way into the reprise in the 1878 Breitkopf &

Hartel edition of Op. 35, as well as into the earlier "Marsche funèbre" manuscript copy.

It is conceivable that performers and editors might have introduced variants in pedallïng

into the reprise, particularly if they were familiar with other sources, and such variants

could then have been notated at a Iater time. In the meantirne, the absence of explicitly

notated dynamic variation in the reprise of the "Marche funèbre" movement of Op. 35

might have been interpreted as carte blanche for a performeh own ideas or for the

introduction of dynarnics that represented shared conventions or oral traditions.

"Cortot, Chopin: Sonate, Op. 35 (Paris: Sdabert, 19301, 27. Cortot attributes this tradition to Rubinstein.

Surnmary

The manuscript fair copies and the Grst printed editions of Chopin's Opp. 35 and

58 sonatas reveal differing conceptions of pedalling, and none of these early sources

suggests that continuous syncopated pedalling would have been normative in Chopin's

music at this time. The geatest degree of simila& in placement of pedal markings

appean to be between the French and English editions, although the English sources

sometimes omit or lengthen pedal indications found in the French sources. Of all the

early sources, the use of the damper pedal as means of enhancing the sonority of a single

hami-ony is most observable in the Breitkopf & Hartel editions.

The first French editions show pedal rnarkings that are often shorter, more

fiequent, and more effect-oriented than those found in the Gerrnan sources. The

markings in the early Troupenas and Meissonier sources accord with relatively

consemative views on pedalling, such as those expressed by Friedrich Wieck as late as

1853: for exampk, that the damper pedal be used to bolster the sono@ of the "thin"

tone of the upper register of the instrument. In addition, the use of relatively long pedals

to enfiance the unique colour of unstabie harmonies (e.g., the diminished seventh) and to

contribute to a sense of rhetorical flow is most pronounced in the French sources, as i s

the conveying of the clarity of melodic and thematic ideas with the assistance of the

pedal- In many instances, the placement of shoa pedal markings in the French editions

coincides with metrical or expressive accents and the release may occur before the

badine, suggesting the practice of rhythmic pedalling.

Particularly in the first French editions, damper pedal indications appear to be

associated with clarification of the musical syntax Pedalling may be used to sustain a

sense of forward mornentum throughout înconclusive cadences and in transitional areas

or to reinforce cadentiai punctuation, as well as to enhance the perception of varied

repetition. Among the early sources, considerable variation is found in the placement of

pedal markings in the reprise or restatement of thematic material, while initial

occurrences of a theme may be unpedalled or more consistently pedalled.

The pedd markings in the first German editions are often longer than those in the

French sources and show relatively little correlation with the upper register, except

perhaps in slow tempi. Their placement contributes to the reinforcement of the sonority

of a single harmony and "sonic volume" to a greater extent than is evident in the French

sources. Pedal markings tend to go across the badine more fiequently in the German

sources than in the others, and the correlation of pedal markings to melodic or thematic

events is less evident,

The most significant differences in pedatling indications appear to be found

among the early sources of Chopin's sonatas rather than between early and later sources.

Except for the notation representing syncopated pedalling in the "Marche funèbre"

movement of Op. 35 in Kleczynski's 1882 edition, printed pedaiiing indications in later

editions of the sonatas reveal only minor deviations frorn those in the first Breitkopf &

Hartel editions. Perhaps the simdanties in pedalling indications between the est

German edition and those of forty years later attest to the publishers' desire for

convenience and regularity, and it is possible that publishers fùlly expected pianists

perfomiing these sonatas on instruments of their day to disregard the printed pedal

markings or modi@ them to suit the tastes of piarrists and audiences of their own

generation.

CHAPTIER 8: SUMMARY AND CONCLUSIONS

It is tempting to assume that twentieth-century pianistic practices are a direct

outgrowth of nineteenth-ceotury traditions, and that the performance implications of

tems such as "legato," rubato. and "pedalling" in Chopin's music wodd be obvious.

Owing to the authoritative weight given to late-nineteenth-century accounts, such as

those of Kleczynski and Michalowski, these concepts are presumed to have rneant the

same thing to Chopin as they did to Liszt, Got~chalk, and other distinguished pianists of

the nineteenth century. Furthemore, the image of Chopin as a pianistic and technical

innovator would seem to presuppose modem concepts of touch, pedalling, and tempo

manipulation This commonly transmitted perception of Chopin the "Romantic,"

however, does not preclude a reassessment of the relationship between notational

syrnbols (or lack thereof) and actual practices during the period c. 1840- 1880.

The present study has focused on manuscript and printed sources of Chopin's

Opp. 35 and 58 sonatas in light of the broader historical context provided by treatises,

periodicals, and accounts by students and colleagues of Chopin's. One of the central

findings has been that a wide range of practices would have been associated with

Chopin's sonatas. Tenns and symbols in the sources of these works may have been

understood in many different ways, including those characteristic of late eighteenih- and

early nineteenth-centmy keyboard practice. In addition, treatises on singing of the

mid-nineteenth century, such as those of Manuel Garcia, provide insight ùito the

realizatîon of trills and other omaments in Chopin's sonatas. Felk Godefroids

mid-nineteenth-century piano meihod demonstrates that, in Paris, even aspects of

keyboard playing such as articulation and pedalling were considered in terms of vocal

Chopin's unpublished sketches for a piano method suggest that his aesthetic and

technical premises align more clmsely with the Italian school of singïng of his time,

which had maintained close continuity w-ith eighteenth-century traditions, than with the

pianistic practices outlïned in the FetiscMoscheles Méthode des méthodes (Paris, 1840)-

However, Chopin appears to havre been familiar with Hummel's treatises (1 828-291, and

the sources of Chopin's sonatas, particularly the first French editions, suggest conceptions

similar to those of Hummel: for example, the independent use of the "legato" indication

and the slur. The French editions of Opp. 35 and 58 contain indications of practices such

as rhythrnic pedalling and the so-called "finger Legato" that appear more representative of

the era of Türk, Adam, and Clementi than of the mid-nineteenth century.

If the degree of control Clhopin had over his rnanuscripts, once they were in a

publisher's hands, can be regarded as refiective of the "composer's intentions," then the

most authoritative sources of Opp. 35 and 58 might appear to be the editions of

Troupenas and Meissonier.' In a sense, these French editions are also the most private

of the "simultaneously" publisheai first editions of the sonatas, and their circulation was

relativeIy limited in cornparison tto the editions of Breitkopf & Hartel published in

Leipzig_ Kallberg observes that - the proceeds fiom Chopin's sales to his German

Kallberg, "Chopin in the Marketplace," in Chupin ut rhe Buunduries (Cambridge MA and London: Harvard University - Press, 1 W6), 175- 197. Kallberg concludes that Chopin's degree of "authorial corntrol" over the musical text was greatest in France, where he was able to make last-minute changes if necessary. However, once a manuscript was sent off to a Gemnan publishing centre, such as Leipzig or Viema, Chopin "ceased to oversee the maisical text."

publishers exceeded those fiom sales to France or E~~gland,~ and Chopin may thus have

been compelled to package his sonatas for co~lsumption in the corntries served by his

Leipzig publishers. The practices suggested in the Breitkopf & Hartel editions wouId

also have had considerable idluence on future recipients of Chopin's works since most

performances of Chopui's works during his lifetime, outside of France or England, were

based on a German edition3 From a social and economic perspective, then, the differing

practices suggested in the "simultaneously" published first editions of Opp. 35 and 58

may have been shaped by conditions specific to the demands of the publishing

marketpla~e.~ It would appear that Chopin succeeded in anticipating Breitkopf &

Hadel's preferences for uniformity, even though these preferences are at odds with the

variants in the first French editions that suggest the purposeful notation of "varied

repetition" The extent to which these any of the first editions retlect the "composer's

intentions" with respect to ornamentation, articulation, or pedalling must be evaluated in

light of the implicit social agreement between Chopin and the recipients of his works.'

Jan Ekier maintains that the English and French editions of the Ballade, Op. 38

are remarkably similar, yet both of these editions differ from the German sources?

Sïmilarly, Kallberg notes that the French and English editions of Opp. 44-49 "show

Kallberg, "Chopin in the Marketplace," 196. ' Ibid., 199. ' Kaltberg, "The Chopin 'Problem'," in Chopin at the Buundaries, 163,215-228- Kallberg observes that "...none of his [Chopin's] publications can definitely be shown to have been released on the same day."

Ibid., 220. Speaking of the Nocturne in B major, Op. 62, No. 1, Kallberg writes: "Ifwe assume that the production of musical texts in the nineteenth century was a collaborative process and that textual authority arises fkom the nature of the agreements between the composer and the institutions that printed his music, then both the German and French versions emerge as full y 'authoritative' versions. " Jan Ekier, ed., Chopin: Ballady (Krakow: PMW, 1 Wî), 27,30-3 1 ; cited in Kallberg,

206-207.

telltale signs of deriving fiom a common printed source."' In a similar vein, I have

found the French and English editions of both Op. 35 to be almost identical in many

respects, yet ciifferent £iom the manuscript fair copy for the first Breitkopf & Hàrtel

edition. The reason for the sirnilarities between the French and English editions of Op.

35 may be directly related to the practical circumstances of publishing in those countries.

In his dealings with his French publishers, includhg Troupenas, Chopin's normal

procedure around 1840 would have been to send an autograph manuscript for engravùig.

The proofs may thereafter have been forwarded to Wessel, as irnplied in Chopin's letter

to Fontana. In this letter, Chopin States that Troupenas had purchased seven works (Op.

35-4 1) from him, and that the French firm was to "conduct business directly with

Wes~el."~ If the English edition of Op. 35 were based directly on the Troupenas edition

rather than on a separate fair copy, the nurnber of revisions and emendations would

conceivably have been more Iimited than if the work were copied afkesh by the

composer.

Op. 58, however, was composed during the period in which Chopin preferred to

send separate autograph manuscripts to each publisher in France, Germany, and

England9 Perhaps a result, the French and English editions of Op. 58 exhibit more

differences than are evident in Op. 35. Particularly noteworthy are changes in pedalling

and slur markings and some pitch variants found in the first movement The notated

variants may be less reflective of differîng practices in France and England than they are

of Chopin's creativity. In the process of recopying Op. 58 three times, Chopin would

' Kallberg, "Chopin in the Marketplace," 2 1 1. Chopin's letter of Apnl23, 1840; cited in Kallberg, 206. Kallberg, "Chopin in the Marketplace," 174, 199,2 13.

have been able to express a wider range of fkeshly-conceived ideas about performance

possibiLities than if he were revising an existing printed version of a work

Judging fiom the fint editions of Chopin's sonatas that became public documents

during his lifetime, one might surmise that Be rences in mid-nineteenth-century

performances would have resulted fiom variants in notation. Convenely, it is also

possible that differences in performance could have influenced subsequent notated

versions of the work. More research would be required to bring to light previously

uxiknown documentary information about early performances of Opp. 35 and 58. Also

uncertain is the extent to which performers of the 1840s would have been aware of the

presence of editions of Opp. 35 or 58 other than those in their îmmediate possession.

The public or private performances of Chopin's sonatas and the sources used for such

performances must remain areas for further investigation.

One of the most striking implications of this study relates to the role of the

performer in the mid-nineteenth century as the "narrator" of a musical work. The

variants unearthed in this survey of manuscript and printed sources of Chopin's Opp. 35

and 58 sonatas suggest that the present-day model of the solo performer, who is expected

to adhere closely to the definitive version of a composer's carefully scripted musical

work, is somewhat anachronistic. An alternative, more historicaliy informed model of

the perfonner of Chopin's sonatas might be that of the stoq-teller in an oral tradition. In

such a tradition, attempts might be made to write d o m versions of a work, but any given

version couid be supplernented by a new variant almost before the ink had dried on the

previous score. The composer's voice had dready varied the script of Opp. 35 and 58, as

evidenced by the multiplicity of notated scores of these works, and the performer may

have felt justified in adding to the ef5ec-t; indeed, the performer may have been expected

to do so- To use Leo Treitler's hime of reference, the modern paradigm of a hierarchical

relationship among work, score, and performance is replaced by that of a "shared

ontological level" in Chopin's sonatas. l0

Nevertheless, a certain tension is evident in the primary sources of Opp. 35 and

58 between the performefs time-honoured freedorn to manipulate certain dimensions of

the delivery and the composer's desire to stipulate (insofar as possible, given the

limitations of notation) at least some of the practices nom which his own generation of

pianists may have become distanced. For example, Chopin's placement of sostenuto at

each appearance of a 1ynca.l "second subject" provides certain information to the

performer on how to present this contrasting material. Slight contrasts of tempo and

touch at "singing passages" might have been axiomatic to seasoned musicians of

Hummel's time, and Chopin's notation clarifies, for the benefit of a pianist of the 1840s,

that an adjustment of touch and tempo would be required in such places. Since the

notated indication of tempo modification related to structurai change is so consistent

among the early sources (in inner movements in temary fom as weil as the "sonata

fom" first movements), one is left with the impression that slight changes of tempo in

order to heighten contrast arnong thematic areas (or "periods") would have been

considered integral to an effective presentation of a sonata movement in the 1840s.

Klindworth's editorial additions suggest that certain tendencies for tempo modification,

such as speeding up at codas, would have been iricorporated by the latter part of the

nineteenth century. By contrast, rnarkings in Moszkowslri's edition seem t o suggest that,

1°Leo Treitier, "History and the Ontology of the Musical Work," Journal of Aesthefics and Art Criricisrn 5113 (Summer 1993), 495.

by the early part of the twentieth cenhq, the idea of tempo "pockets" had been replaced

by the formalkt notion of a single, ovemding tempo that govems an entire rnovement.

Even so, the evidence of historica1 recordings suggests that some degree of tempo

flexïïility related to structure would have continued in practice, Le-, in recorded

performances and probably in live ones as well.

By the 1 8 4 0 ~ ~ Chopin may have concluded that some practices were less capable

of being adequately represented by means of notation than were others. Such practices

may have been left to the knowledgeable performerrs discretion, In particular,

descriptions of Chopin's playing and teaching fiom the 1830s and 1840s leave little doubt

that a "vocal rubaio" would have been a hallmark of Chopin's style at this tirne.

Jefiey KalZberg has coined the term "rhetoric of genre" to communicate the way

Ln which a composer such as Chopin might shape the response of listeners by either

fùlfilling or thwarting their expectations of a particular genre. l' Kallberg notes that the

"meanings" associated with a given genre may be either literal or figurative, and that "a

composer can choose to write in a certain genre in order to challenge its attributes

instead of to demonstrate an allegiance to them."12 In the case of Opp. 35 and 58, the

differing performance practices represented in the primary sources may attest to the

ambiguity in Chopin's "authorid voice" about the sonata genre- WhiIe the French

editions allude to the privacy of the "chamber style," the German sources depict the

sonata in the more public "theatre style." Amid changing conceptions of the sonata

llKallberg, "The Rhetoric of Genre: Chopin's Nocturne in G Minor," in Chopin al the Boundaries, 5. Kallberg uses the thenn "rhetoric" in a broad sense to refer "...to the whoIe complex network of relationships that may connect a writer (composer) with an audience. " I2Ibid., 7, 1 1.

genre in the mid-nineteenth century, Chopin may have presented his sonatas to

aristocratie audiences in Paris in homage to the ordered world of the late eighteenth

century. On the other hanci, when addressing Germanic audiences of the mid-nineteenth

century, Chopin might have sought to convey the sonata genre in such a way as to

conjure up the dramatic and revolutionary image of Beethoven and the new world order.

The study of performance practices with regard to Chopin's sonatas yields uiformation

not only about the range of CO-existing practices associated with perfoming these works,

but a1so about the range of sometimes contradictory "meanings" and archetypes attached

to the genre.

Kallberg's observations on the relationship between genre and form provide a

fitting conclusion to this examination of the multiplicity of practices in Chopin's sonatas:

Genre as a category looks backward and forward at the same tirne. The "form" embodies tradition and experience-..The "invitation" involves creating the form ail over again..-The way in which the invitation is accepted can reveal much about a composer's attitude toward the past, whether respectifül and conservative or contrary and ref~mat ive . '~

From a performance practices perspective, it might be added that the way in which the

genre (in this case, the sonata) is recreated in performance can potentially reveal as much

about the performer's attitude to the genre as that of the composer. If Liszt, for example,

wished to see Chopin's Op. 58 sonata as a "Romantic" work, he would naturally be

inclined to interpret rubato in Chopin's music in terms of his own practice. In a similar

vein, Kleczynski's generation might interpret "legato" as the seamless overlapping of

sounds. In the true Romantic spirit, friture generations of pianists would continue to

perceive Chopin's sonatas on their own terms, thus recounting the "tales" of the past in

L3Kallberg, "The Rhetoric of Genre," 6.

BIBLIOGRAPEW

Musical Sources

Chopin, F. "Marsche [sic] fimébre pour le piano par Fred Chopin, Oeuv. 35" [manuscript copy of the third rnovement of Op. 35 by an unknowm scribe. Original, Vienna: Osterreichische Nationalbibliothek, Sign Suppd Mus. No. 4689. Copy, Warsaw: Frederic Chopin Society, F. 19 181

- "Sonate pour le piano-forte" [fair copy of Op. 35, possibly in AdoLf Gutmarui's hand, Warsaw: Frederic Chopin Society, F. 1299.1

- "Sonate pour le piano-forte, dediée à Madame fa Comtesse E,. de Perthuis" [autograph fair copy of Op. 58 sent to Breitkopf & Hartel for origiinal German edition (1845). Warsaw: Music Deparhnent, National Library, Si- Mus-2321

. "Sonate, Opus 58, esquisses [1845]" [mm. 1 18-1 33. Warsaw: Frederic Chopin Society, MD34.1

II. Printed Editions 1. During Chopin's Lrfèîime:

Chopin, F. Sonate pour le Pianoforte, Op. 35. Pans: Troupenas, 1840;' Leipzig: Breitkopf & Hartel, 1840; London: Wessel, 1840.

. Sonate pour le Pianoforte, Op. 58. Paris: Meisonnier, 1845;" Leipzig: Breitkopf & Kartel, 2 845; London: Wessel & Stapleton, 1845.

ICopies of the f i s t French edition of Op. 35 that are of interest for their annotations by C thopin include the scores owned by C a d e Dubois-O'Meara (Warsaw: Chopin Society, F. 657) and Marie ScherbatoE- Tcherkassky (Cambridge, Mk: Harvard University, the Houghton Library, fMus.C4555.IB 846c.). 'Copies of the first French edition of Op. 58 that are of interest for their annotations by Cniopin inctude the scores owned by Camille Dubois-O'Meara [Paris: Bibliothèque nationale. Rer-F. 980 ( U T ) ] and Jane

Stirling's paris: Bibliothèque nationale, Res-Vma 24 1 (VI/58)]. The latter is also available in facsirnile as Frédéric Chopin: Oezrvres pour piano. Facsimile de I'exemplaire de Jane W. StirIing avec mztroiaiiot~s et corrections de I'mfercr, ed. Jean-Jacques Eigeldinger and Jean-Michel Nectoux (Paris: Biibiiothèque nationale, 1982).

2. From Chopin 's death to 1900:

Bargiel, Woldemar and Johannes Brahms, Auguste Franchomme, Franz Liszt, Carl Reinecke, and Ernst Rudo rff, editors. First criticall_v revised complete edition. Leipzig Breitkopf & Hartel, 2 878-1 880.

Diernar, Lous, ed. Chopin: oeuvres pow le piano. Pans: Lemoine, 1859-1 894.

Kleczynski, Jan. Frédéric Chopin: oeuvres pour le piuno. Third edition, Warsaw: Gebethner & Wolff, 1882. (First edition, 1 863; second edition, 1 877.)

Klindworth, Karl, e d Cornplere Worh of Chopin, critically revised afier the original French, G e m n and Polish editions. Moscow: P. Jlugenson, 1873- 1 876.

Kdlak, Theodore, e d Frédéric Chopins Klavierwerke. Berlin: SchIesinger, 18804885-

Marmontel, Antoine, ed. F. Chopin.. oeuvres pour le piano. Paris: Heugel, 1860- 1863.

Mikuli, Cari, ed. Frédéric Chopin's Works. Leipzig: F. Kisbier, 1 879 and New York: G. Schirmer, 1895 (the latter with commentary by James Huneker).

. Frédéric Chopin's Works- St. Petersburg (Moscow): Bessel, 1889-

Scholtz, Hermann, ed Frédéric Chopin's Colllected W o r k Leipzig: C.F. Peters, 1 879.

Stellowsky, nieodore, publishen. Frédéric Chopin: Works for Piano. St. Petersburg (Moscow): Stellowslq, 186 1.

Tellefsen, Thomas. The Works of Frédéric Chopin. Paris: Simon Richault, 1860.

Wessel & Co., pubiishers. Wessel & Co. complete Collrcrion of the Composi&ions of Frédéric Chopin for the Piano-Forte. London: Wessel & Co., 1853.

Cortot, Alfred, ed. Chopin: Sonate, Op. 35- Paris: Editions Salabee 1930.

Debussy, Claude, ed. Chopin: oeuvres completes pour piano. Sonates. Paris: Durand, 1915,

Ekier, Jan, ed Fryderyk Chopin: Sonatas, Op. 3358 (Urtext). Krakow: PWM, 1995.

Friedman, Ignaz, e d F. Chopin Piamforte- Wmke. Leipzig: Breitkopf & Hartel, 19 1 3.

Moskowski, Moritz, ed. Chopin: Sonates, Op. 35 et 58. Paris: Heugel, 1924.

Paderewski, Ignaz Jan with Ludwig Bronarski and Jozef Turczynski. Fvderyk Chopin: Complete Work Book VI, Sonutus- Sixth edition. Cracow: National Printing Works, 1972- (First edition, Warsaw The Fryderyk Chopin Institute, Polish Music Publications, 1950.)

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Adam, Louis. Méthode de Piano Forte du [Paris] Conservatoire. Paris, 1 805. Facsimile reproduction, Geneva: Minkoff, 1 974.

Agricola, JO h m Friedrich, Anleitung zur Singkunsi- Berlin, 1 757- Based on Pier Francesca Tosi, Opinioni del cantorz antichi e rnoderni (Bologna, 1723).

Bacon, Richard Mackenzie, Elernents of Vocal Science. London: Cossey, 1824, Edited by Edward Foreman. Champaign, Illinois: Pro Musica Press, 1966.

Bérard, Jean-Baptiste. L 'art du chant- Paris, 1 755. English translation and commentary by Sidney Murray. Milwaukee, Wisconsin: Pro Musica Press, 1969-

Clementi, Muzio. Introduction to the Art of PZaying on the Piano Forte. First edition. London, 180 1. Facsimile reproduction with preface by Sandra Rosenblurn, New York: Da Capo Press, 1974. [TwelRh edition: London, 1830. Also published in the United States (eighth edition, New York, 1820-2 1); in France ( k t edition, Paris, 1802; sixth edition, Paris, 1828); in Germany (first edition, Vienna and Leipzig, 1802; subsequent editions, 1 806- 1 844); and in Italy (Bologna, 1830).]

Corri, Domenico. A Complete Musical Grammar. London, c. 1 8 10.

Cramer, Johann Baptiste. insîmctions for the Piano Forte. First ediîion. London, 18 12. m d edition: London, 1825; sUah edition: L o n d o ~ 1867. Nso published in Germany as Praktzsche Piano-Forte Schule (Leipzig, 18 17 and 1832) and Ameisung das Pianoforte ,-u spielen ( M e 1 825).]

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. Traité complet de Z ' a r t du chant. Paris, 1 84 1 and 1847. English translation by Donald Paschke as A Complete Treatise on the Art of Sfnging, Parîs 1 and II. New York: Da Capo Press, 1972 and 1975.

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Piano-Forte-spiel. Viema, 1 828. [Also published as A Complete Theorerical and Practicul Course of lmtruction on the Art of PIaying the Piano Forte (London, 1829) and Méthode Cornpiele Théoretique et Pratique pour le Piano (Paris, l829).]

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Lecuyer, M- Principes de l'art du chant- Paris, 1799. Facsimile reproduction, Geneva: Minkoff, 2972.

Lemoine, Henri. Méthode pour le piano. Paris: Lemoine, 1 896.

Mancini, Giambattista Pensieri e rzjTessioni pratiche sopra il canto figurato. Vienna, 1774; Milan, 1777- English translation by Edward Foreman as Practical RefTections on Frgured Singing- Champaign, nlinois: Pro Musica Press, 1 967.

Marchesi, Mathilde. Bel Canto: A Theoretical and Practical Vocal Method Translation from orïginaI French (Paris, 1886). New York: Dover Publications, 1970. Introduction by Philip L. Miller-

Marpurg, Friedrich Wilhelm- Anleitung -am Clmierspielen Berlin, 1755. French translation as Principes du cZavecin (Berlin, 1756). English translation by Elizabeth Loretta Hays, Ph-D. Diss., Stanford University, 1977.

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Reco rdinps

Casadeus, Robert. Chopin: Sonatu No. 2 in B-flat Minor. Op. 35- London, Canada: Columbia Masterworks ML2025 LP record,

Grainger, Percy. Percy Grainger: Voime 11- Wadhurst, E Sussex: Pavilion Records Ltd., 1993. Pearl Germn CD 9013. Compact disc.

Hof ian , JoseE Josef Nofiann Plqys Chopin. Everest Archives X-904- LP record

Koczalski, Raod. Raoul Koczalski Plays Chopin. Wadhurst, E. Sussex: Pavilion Records Ltd- Pearl Gemm CD 9472. Compact disc.

. Raoui von Koczalski: Chopin Ballades. Vanves Cedex, France: Historical Piano Collection- Dante HPC042. Compact disc.

Raoul Koczalski: The Great Polish Tradition. Warsaw: Selene Records, 1999. CD 990 1 -46. Compact &SC.

Perlemuter, Vlado. Frederic Chopin: Piano Sonatas No. 2 and No- 3: Barcarolle. Nimbus NI5038, 1986. Compact disc.

Rachrnaninoff, Sergei- The Art of Sergei Rachminofl Volume 1. RCA Camden: CAL 396, c. 1935. LP record,

Tanyel, Seta. Chopin. England: Collins Classics, 1 99 1. CD 1 2 1 92. Compact disc.

Van Oort, Bart. Chopin: Nocturnes, Op. 9, 15, 32. 62, Op- posth. Stemm BriHiant CIassica 99 155 (Utrecht, 1998). Compact disc.