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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
(18 4 S ) , 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 Sienick, 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 instrumentsIn 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.

TABLE OF CONTENTS

Certificate of Examination
Abstract

Acknowledgrnents Table o f Contents Introduction 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 Bbliography 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 (1840) 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 i n 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 prper 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 Somtag, e 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 cole chantante du piano (Paris: Heugel, 1861) 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 (18 18-1897), except that he was an accomplished Belgian harpist, pianist, and composer
A copy of his piano method was found who had studied briefly at the Paris Conservatoi~e.~

in the former collection of the Paris Conservatoire currently contained in the Bibliothque 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, ""ChopinInterpretation: A Study of Performance Directions in Selected Autographs and Other Sources," Ph-D. diss (Stanford University, 1966),30-31.

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 surrounding 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 countres: 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 1841 autograph fair copies were provided almost exclusively by Chopin himselE3 I na 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. . . I f 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 i n the 1830s and 40s.'

L n 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? Whle 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.
f Aesthetzcs and Leo Treitler, "History and the Ontology of the Musical Work," Journal o 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 I I I (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 m o t a t e d 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
Jeanne Holland, ccChopin'sTeaching 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 lves (Neuchtel, Switzerland: ditions de la Baconnire, 1970; reprint, 1979).
'O

range of interrelated topics. David Rowland, for example, in his recent book on t h e 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 Hggins

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 ~ gand , tempo markings. l 3 Higgins, "Chopin Interpretation," 16-3 1. l " ~ s t y n Kobylanska, a Frederic Chopin: Thematisch-bibiiographischesWerkve~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 i n this study
include: the autograph fair copy of Op. 58, which served as the basis for the first Breitkopf

62 Hrtel of 1845 [Si@ Mus. 232, Music Department of he 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-1918, 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 funbre," is housed in the OsterreichischeNationalbibliothek in Viema [Sign.

Suppl. Mus. No. 46891- The title page of this manuscript identifies the "Marsche [sic]
funbre" as belonging to the Sonata, Op. 35, and i n a different hand underneath the carefid

[fkom the B-flat minor calligraphy is written in parentheses "aus der B-mol1 Sonateyy 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 " M a r s ~ h e suggests ~~ that he or she
may have been Geman or Ausian. This manuscript copy of the "Marsche Funbre" is of interest primarily for the slight dynamic variants found in the reprise of the March section, a section that is flly written out. By contrast, the manuscript fair copy f o r 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 Frdric Chopin Society in Warsaw," Polish Music 5 ( 2 W O ) , 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.L7Using 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, d l obtained hrough the Chopin

Society in Warsa~qthe 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 Scherbatof-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 contnuted 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 o f His Works i n 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 i n July 1999. IgAnotherimportant 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, 174-1761 and were examuied on 33,34,47,48 and 51 are included in that collection 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. h t e a d , 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 f u s t 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 andff (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 markigs in the first
French editions reflect techniques that might be considered conservative for the midnineteenth-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 Trk'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, he 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, S e c h Sonaten m i t vernderten Reprisen (Berlin, 1760); edited and trandated by Etienne Darbellay as Six Sonutas wiCh Varied Reprises (Winterthur: Amadeus, 1 9 7 6 ) ,m.The editor notes: "Aside fkom its g e a t 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 funbre" as
opposed to "Lento - March; or 'Zargo - cantabile" as opposed to "Largo," i n 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 lyrcal 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 possiilities, 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 b a i s 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 o d y 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.
1have 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-.-thegoai, 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 "earIymusic" 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 i n 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 I N 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 ~ p i 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 i n 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 Ftis-Moscheles Mthode des
mthodes (1840). Although this treatise, CO-authored by Francois Ftis and Ignaz

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

Jean-Jacques Eigeldinger, Chopin: Pianisr and 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; origially published as Chopin vupar ses lves (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 meAs a pianist, Chopin was vrtually 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

P a r i s in 1831, 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), 29-35. ' ' James Methuen-Campbell, Chopin P l q i n g (London: V. Gollancz, 1981), 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 wrtten 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 Mthode" ["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 mthode de piano (Paris: Hammarion,
1993).

One of the scholars who makes this observation is Sandra Rosenblum i n 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), i x .

Vienna, including Jan Ladislav Dussek, Johann Nepomuk Hummel, Car1 Czerny, Friedrich Kakbrenner, and Daniel SteibeIt 'O

In 1840, a treatise with the ambitious title Mthode des mthodes was published in

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


Conservatory, and lgnaz Moscheles, a leading pianist of the day. In the tradition o f Clementi's Introduction to the Art of Playing the Piano Forte (1 801) and other nineteenth-century rnehods, the Ftis-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 Mthode des mthodes is clearly Ftis. Although he fiequently refers to the celebrated Monsieur Moscheles' opinion on matters of technique, Ftis also draws comparisons with other pianists in an effort to be systematic and objective. Among the pianists Ftis cites are Liszt, Thalberg, Kalkbrenner, Hummel, and Henri Herz. Ftis 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 Ftis-Moscheles method, although on several occasions short excerpts fkom his compositions are given as musical examples. This, coupled with the fact that three new tudes had been solicited as practical material to supplement the Mthode des mthodes, 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 h o w n treatises by the pianists listed are: Dussek, Ins~ruc~ions on the Art of Piaying rhe Pianoforte or ffarpsichord (London, 1796); Hummel, AtLsfhriiche theoretisch-praktische Anweisung -mm Piano-Forte-Spiel (Vienna, 1828); Czerny, VoIIstndige theoretisclz-praktische Pianoforte-Schule (Vienna, Z 839); Kalkbrenner, Mfhodepour upprendre le piunoforre, Op. 108 (Paris, c. 1 835); Ste~ibelt, Mfhode de piuno (Paris, 1.809). ' 'Francois-Joseph Ftis with Ignaz Moscheles, Mthode des mthodes (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
Mthode des mthodes- 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 itt3 In 1840, Kalkbrenner was one of the most revered virtuoso pianists in Paris,then considered the pianistic capital of Europe, and it is hardly surprisig that Kalkbremer's views are cited fiequently in the Ftis-Moschefes treatise. One can easily imagine Chopin surrounded by methods such as those of Kalkbrenner and Ftis 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 % which I~

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 1837-1838.''' 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, Mthode pour apprendre le piano a l'aide de guide-mains (Pans, c. 1835). '"Eigeldinger, Esquisses, 20.

probable that the bulk of ir \vas wrtten 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 possbly 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 ntended to do with these sketches.I7

L n a letter to Julian Fontana dated October 18, 1841, 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
Esquisses. 14. lSEigeldinger, %id-, 23-28. 24-25. The printed scores of Chopin's works owned by his sister Ludwika contain 17Tbid, n the hand of Jane Stirling, as well as that of Chopin, and it is conceivable that annotations i 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 a s 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) t h a t 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
rght hand (melody) was dkee to deviate fiom it-= Nevertheless, Eigeldinger's accounts

'Tigeldinger, Esquisses. 12. Jim Samson, Chopin (Ddord: Oxford University Press, 1W6), 14. 2'Methuen-Campbell, C h p i n PZaying. 30. Tigeldinger, Chopin: P ianist and Teacher, 32. Clementi's Introduction (first ed., 180 1) was not the first keyboard tutor to speciS that a finger legato touch should be assumed when no articulation markngs 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 7 5 0 ) , r e c o m e n d s legato as the default touch. Pasquali (c. 1 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,

Chopin's sketches do not explicitly unlike earlier treatises such as Trkls KZuvier~chuZe.~ discuss other ideas common in the eighteenth century, such as artcdation 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 of s 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 o f natural accents. For instance, in a bar o f two, the first note is strong the second w e in a bar of three the first strong and the other two w& T o 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 t h e m s e l ~ e s . ~

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

24Eigeldnger,Chopin: Pionist and Teacher, 49-50. Chopin's use and understanding of rub&o will be more fully discussed in Chapter 5. tSDaniel Gottlob Trk, KZmierschuZe (Leipzig, 1789); t r a m by Raymond Hagghe as SchooZ o f c h i e r PZqing. or Instructions i n playing the clavierfor teachers and audents (Lincoln: University of Nebraska Press, 1982), 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 ~Iarty-~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 necessty for separating the various

phrases, on the necessiq for pointing and for m o g the power of the voice and its rapidity of articuiation--In a musical phrase composed of sornething ke eight masures, the end of the eighth w generally mark the termination ofthe thought, that which, in language written o r 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 thsphrase of eight measwes, ocurrng after each two s to say, they require commas or each four rneasures, require shorter pauses-that i 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 ~ o i c e . ~ '

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 Trk'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. 18LeonardRatner, Classic Music: fipression Form and Style (New York: Schirrner Books, 1980), 191. 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, Trait complet de ['art du chant. Part II (Paris, 184l), English trans. by Donald Paschke as A Complete Treutise on the Art o f Singing, Part One (New York: Da Capo Press, l984), 18-19. ''Car1 Mikuli; cited in Eigeldinger, Chopin: Pianist and Teacher. 42. 3'Jan Kleczynski; cited in Eigeldinger, Chopin: Pianist and Teacher. 42-43. 3%igeldinger, Esquisses. 114; 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 styleWhile 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 i n 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 ~ i n g i n g . " 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.3GEigeldinger suggests that it is Chopin's affinity with
the "Curztable [sic] Art" advocated in German reatises 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. 35SeeLudwig 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 o f the First lnternafionai Miirsicul Congress devoted to the Works o f 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, 111. 36Eigeldinger,Chopin: Piunisr and Teocher, 113- 1 15. 371bid-,111-1 12.

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

chose to focus on simple, practicd s~ggestonsbased on "whatevergoes straight to the point

~t'sfike lea-g..to walk on ofle's hands i n order to go for a strok Eventualiy s no Ionger abIe to wdk properly on one's feet, and not very well on one's one i 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
s t item in the tutor consists of a B-major of its approach is evident imniediately- The e

scale fingered for the right han& with the capion: "...the elbow level with the white keys, the hand pointing neither in nor out'"' Chopin notes t h a t ,since intonation on the piano is the task of the tuner rather than the player, there is no need for the student to begi with the scale of C rnaj0r.4~He states that the optimal hand position is that whch 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. Contemporares such as Ftis, 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 arpeggation 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 begnnng 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, 193. 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 Mthode"; cited in Eigeldinger, Chopin: Pianist and Teacher,194. 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. 45Similantiesbetween 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 b a i s of pitch, not simply to present line-space d e s for reading notation fiom the musical

notes (lower or higher, deeper or shriller)."

Firsf he introduces the concepts of a ladder and the relative pitch of two
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 i n 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

f f . Nowhere in these first four versions does Chopin relate middle C to the breaks o
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 un autre est bas ou haut, grave ou aigu. "qigeldinger, Chopin: Pianisi and Teacher. 19 1 jglbid. 'Olbid, 196,
l1

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 brevty in expounding the bases for piano technique stand in sharp contrat to the detailed chapters in other treatises, such as b t of Ftis-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, Apparently, piano keys, signs and tones; we have some idea of hammers and darnper~."~ 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 Iettng 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 Ftis. 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-whitekey].S Ftis 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, Ftis notes that Kalkbrenner had invented a mechanical devce 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? Ftis 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 w i t h the thumb parallel to the keyboardS8With regard to the player's sitting position, Ftis reports in a footnote that most great artists of the day, except for Liszt, seat themselves at the centre of the piano; unfortunately, Ftis does not elaborate 53Eigeldinger,Chopin: Pianist and Teacher, 193-194. sRosenblum, ed., preface to Clementi, introduction, W . 55Kalkbrenner,cited in Ftis-MoscheIes, Mthode des mthodes, 22. 6Ftis-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 Ftis, 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.'~ Ftis'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, ncluding those of

Kalkbremer and Ftis, place a high priority on the ndependence, 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 prnciple 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 a m ] must be a v ~ i d e d . " By ~ 1840, Clementi's single sentence had been expanded in the Ftis-Moscheles Mthode des mthodes into an entire chapter dealing with the manner of stnking the keys. According to Ftis, 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 Ftis reiterates that d l five h g e r s 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 '9Ftis-Moscheles, 6-7. 60Rosenblum,ed, Clementi, Inmducrion. 2 5. 61Ftis-Moscheles,8.

independence and strength was the practice of long t d l s or "cadences" with three k g e r s resting on the keys while the other two fmgers alternate." Ftis 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." Ftis agrees

with Kdkbrenner that it is imperative to have control of the fhgers before attemping 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, Ftis invokes the authority of previous generations of pianists such as I-furnmel, Dussek, Eberhard Mller, and Louis ~darn.6'

In contrast to the Ftis-Moscheles Mthode and the previous writers cited therein,
Chopin's "Projet de Mthode" 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 r n e t h e 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 powerfl. 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
9. G2Ftis-Moscheles, 631bid. %id., 13"Ibid,, 13, 17. Chopin: Pianist and Teacher, 195. 66Eigeldinger, 671bid. '%id-

For his part, Ftis also regards proper fingering as critical, but he seeks to reduce the d e s offingering put forth by Dussek and Hummel to "rationaland universal" principles." To Ftis, the ovemding principle of fingering is symmetry- Anything that disturbs symmetrcal fingering, such as the passing of the thumb or the turning of the hand or elbow,
must be avoided whenever possible?0 Ftis claims that practice of the exercises i n 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 Ftis' emphasis on the fingers as the preferred means for producing
sound on the piano, Chopin advocates involving the whole a m in tone production:
J u s 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 f a i i 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 69Ftis-Moscheies,22-23. 701bid.,19, 30731,45. "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, h fitnctioning as breath marks

sometimes corresponding to a iengthened note or resf and o

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 184 1, the same
year that Chopin frst 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 186l"), 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. Ftis notes that Kalkbremer encourages the use of the "Eigeldinger, Chopin: Pianisr und Teocher, 112. 76Domenico Com, A Select Colleclion o f the Mosr Admired Songs, Duerrs, erc. (Edinborough, 1 78 1), 6; Gesualdo Lanza, EIements of Singzng &ondon, 18 13). 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. 77CarolynShuster, "Six mazurkas de Frederic Chopin transcrites pour chant et piano par Pauline Viardot," in Revue de mtrsicologie 7512 (I989), 266. 7%li~ Godefroid, cole chantante du piano ( P a r i s :Heugel, 1861), 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

wrst as prescnbed in the Mthode de mthodes 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 Ftis. One of the reasons for the markings in Mme Dubois' scores (which probably suggest movements of the wrst analogous to breathing) may have been to assist her in breaking fiee fiom oid habits she had acqued during the four years she studied with Kalkrenner before switching to Chopin in 1843." The attention devoted in the Mthode de mthodes to finger strength and independence indicates that pianists such as Mme Dubois would probably not have been taught to use a flexible w i s 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 Mthode de mthodes, the aesthetic premises underlying Chopin's "Projet de Mthode" appear to have been rooted, to a great extent, in the Iate eighteenth centwy, namely, the imitation of the human voice and the prnciples of.elocution.

Even if Chopin were familiar with the layout and content of the Mthode de
mthodes, Ftis-Moscheles do not appear to have been acquainted with Chopin's teaching.

Excerpts of compositions by Chopin are included as musical examples i n the Ftis-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 paricularly

well-suited to proper principles of piano technique, as these are expounded in Ftis' treatise.
2 8. 7~etis-Moscheles, "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 tude is criticized as not being symmetri~al.~~ Fetis d s o cites a passage from another Chopin tude 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, Ftis presents an arpeggiated passage fiom Chopin's second concerto and points out that such passages discourage symrnetical fingerng." The adherence to niles of symmetrical fingering in the Ftis-Moscheles Mthode des
mthodes 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 Ftis) 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. Ftis 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. S3Ftis-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 cole
chantante du piano (Paris, 186 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 Ftis-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 P a r i s ,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 .trills, which he most ofien began with the der oberen Hilfsnote anfangen liess..."[".. upper awciliary.. ."]. Maurice Brown, Chopin: An Index ofHis Workr in Chronological Order (London: MacMillan & Co., 1960), 186. Jean-Jacques Eigeldinger, Chopin: Pianist and Teacher, 58-59. Eigeldinger omits 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 i n Selected Autographs and Other Sources," Ph.D. diss. (University of Iowa, l966), 107.

his survey of omamentation in Chopin, based solely on "interna1evidence," D m (192 1) conchded that trills in Chopin begin on the p ~ c i p anote l unless otherwise indicated 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. 1760-1840 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 wrtings 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 Novello, 0 4 -106. 1921), 23; cited in Higgins, "Chopin Interpretation," 1 1 . Paderewski, L. Bronarski, and J. Turczynski, ed., Sonutas (Warsaw: The Fryderyk Chopin Institute, 1950), 1 16.

' John Petrie Dunn, Ornumentation in the Worh of Frederic Chopin (London:

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. L n the English version of his treatise, Hummel (1829) 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 t h e 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 o f 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 (1834), one of the editors of the short-lived Parisian penodicd L e
piuniste. Chadieu defines trills as consisting of alternations Patfernens] between a

harmonic note and an auxiliary note, and he States that the harrnonic note (Le., the main note) should always begi and end the trill.L' Less than a decade earlier in England, J.B. Cramer (1825) irnplies that the upper-note beginning is the n o m when he specifies a type of shake that may begi 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 begnning 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 (1756) 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 tnllsftand 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 "Pralltrller-"'5 Clementi's treatise (1801) descnes three types of shakes that deviate h m the reguIar upper-note beginning. The "short shake beginning by the note itself' consists of Vol. VI (April 1834)- 86-87. I2JohannBaptiste 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, 1977), 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 o f Play ing Keyboard Instruments (New York: W .W. Norton, 1949), 110; cited in Marpurg/Hayes, IX-70-71. Marpurg observes that such a figure resembles an inverted mordent, but niust never be called a mordent.

''Charles Chaulieu, "Des Abrviations," Le pianiste.

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.
l of a Finally, "the shake legato with the preceding note" begins on the p ~ c i p anote 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.; MuzoClementi, Introduction to the Art ofPlaying the Piano Forte (London, 180 1); facsimile repr. (New York: Da Capo Press, 1974), 11. "Ibid. "Jan Ladislav Dussek and Ignaz Pleyel, Mthode 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, Mrhode de piano forte du conservaloire @tris, 180 1 and 1804); facsimile repr. (Geneva: Minkoff, 1974), 157. 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 The Baillot, Rode, and Kreutzer (1803), al1 of the -ills shown feature turned ending~.~' 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 Brard (1755) identifies he 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 Brard does not mention turning notes at the

r i l l . A later treatise, that of Raparlier (1772), descnies a conclusion of the double t


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
cadence double appears very snilar to embellished by other o r n a r n e n t ~Brard's ~~

Adam's le trilCe, and his cudeptce double. as well as that of Raparlier, begins fiom a note other than the upper auxiliary. Brard 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.Mthode du violon (l3welles: Weissenbruch, 1803), 139- The text accompanying half-note trills reads: "Il y a plusieurs manires de la preparer et de le terminer. Voici les plus usites, c'est au gout qu'il appartient de les employer propos." =Jean-Baptise Brard, 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 agrments du chant (lille, 1772);facsimile repr. (Geneva: Minkoff, 1972), 23-

Judging fiom the foregoing examples, trills b e 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, t d l s fiom the upper

note are by no means uncornmon in the earlier part of the century. For example, Brard 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

precipiie ("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 24Brard,106=fiid, 26M. Lecuyer, Principes de I'arr du chant (Paris, 1799); facsimile repr. (Geneva: Minkoff, 1W 2 ) , 11. 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. 27GiambattistaMancini, Pensieri e rifessioni pratiche sopra il ca~ofigurato (Viema, 1774 and Milan, 1777); facsimile repr. (E3ologna: Forni, L 9 7 0 ) ; 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" [notafalsa] and conclude on the "true

The practice of trilling

fiom the upper a~uiliary or "false note" descned 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 aff~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 o f Vocal Science (London: Cossey, 1824); ed. Edward Foreman (Champaign I L :Pro Musica Press, 1966), 11 1-112. 31Bacon,113321gna~ F m Xavier Kninger, Getreuer Unterricht -umSingen m i t 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 bref "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 (1801), 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, Imtructionsfor rhe Piano Forte. third ed. (London, 1812), 25. WIbid.,34. 3SClementi,11, "Higgins, 105-106.

tri11 was the same as the upper auxiliary, the t d lwas to begin on the principal note so as not to r e q e 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 Brard
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 I I I ,3. 38ManueI Garcia II, Trait 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 t Ifit i s long, one prepares it and ends it regulariy i n 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 "measurednotes 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& show shakes be-g vocalises which

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" o f 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, Trait 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, 1WO), 104-108. "Felix Godefioid, cole chantante du piano (Park: Heugel, 186 l), i.

show t d l s beginning fiom the main note.J3 Nonetheless, Godefioid elaborates in the text that trills may be "prepared":
One rnay begin the triil wthout preparaton, 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, wters 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 prpare par une groupe de 3 petites notes qui s'excutent moins rapidement que le trille mme, Chaque termination..doit tre 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 Italian singers in the early part of the nineteenth centuryturya However, by the time the second part of Manuel Garcia's treatise was published (1847), 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 centuryIt 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
t d 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, P a r tI I I ,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 i n 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, a s well as some annotated scores, show some vertical hand-written lines that may act as pianistic "breath marks," and some of these precede trlls in the melodic line, particularly in Op. 5 8 m . 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 o r 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, 116.

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 Eigeldiger 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?"' annotated scores owned by a lesser-hown student of Chopin, Marie ScherbatoffTcherkaslcy, reinforce Eigeldinger's observation. For example, in the ScherbatoffTcherkasky 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).

The

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. 1of 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'agrment ou d'une petite note avec celle de la basse, tmoignant de la volont de Chopin que ces dessins ou notes d'ornement soient attaqus sur le tempos mme et non avant ou aprs."

A similar pencilled marking appears in relation to a f lin the bass line in an amutated

score of Op. 35, and this marking might suggest that tdls in the bass ine would also begin on the beat. In m. 138 in the score of Op. 3 5 L i 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 i n the bass Iine in the "Marche
funbre" 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. 3 5 / m , mm. 19-22 (manuscript fair copy, 1840)

The sarne holds for the preparatory notes of the tri11 in the bass line in Op. 3 5 A .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 i n 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 b e g b i n g 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 t d l with the nght-hand harxnony in order to create a c~nsonance.~' Part of the reason for Rachmaninoffs 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 o f 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]

funbre" 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 fiuibre" copy as G-flat (Ex. 2-5).53

j2Thisnotation 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 itThe 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 funbre" copy)

In rri. 19, the main note of the n i l lis 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 funbre," perhaps in an attempt to transmit this convention to pianists of his d q .

Example 2-6: Op. SSR, mm. 8-95 (Wessel e d . , 1845)

In m. 101, 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 e d . , 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 funbre" manuscript copy at mm. 20 and 75, but also to the small-note D# and E precedig 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 rst 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 of e b e g b n g 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 fnction 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 t d l s in tbis 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 t h e 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 m a i n note, although they rnay also begin with an appoggatura or some

d lat m. 197 of Op. 58/I supports a other type of ornament The 1inea.r conte- of the t
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 h a r d 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

h a t may clarify the execution of a t d lin the bass h e (Ex 2-1 1). fmgering indications t

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 k t 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 w o d d 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
-

SPHolland284. Holland appears to attempt to reconcile ths 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 t d 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, wrtten 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 fist 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- 13a and 2- 13b ) . "

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 trills in the sustenuto
second-subject area (mm. 52 and 162) that are not preceded by preparatory notes, although they conclude with tuming notes. These trlls appear i n 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 fom A to Cg, and a trill on B (on the fourth beat) is indicatedjust 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 principal note of the WL-has is, on the same pitch as the

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 begn the trill on the main note in this case might be deerned desirable in accordance with modem analytical standards, hstoncal 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 t d 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.
5 8 0 may have served to clarify that t a s in a passing stepwise context wodd b e &

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 58A?

s in mm. 23-24 of Op.

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, 131 , 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 trlls 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 methodTrills in stepwise melodic contea r e 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 rills are

found at two parallel points in the structure. The first is in the "At1 section (mm. 23-24), where the melody prceeds 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. 109-1IO), 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 h c t i o n 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 i n 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

7 ) . This t d land the one in the next measure fiont of the tnlled note in mm. 109 (Ex 2- 1
each begin with a new dur, and the vertical "breathmark" appears to CO& what was

implicit in the frst 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. 109-110 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.
5 8 / 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 f d 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 trlls, 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. 109-110. The character of these t d l s is reminiscent of Brard'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

) , 68-72; Gesualdo Lanza, 65DomenicoCorri, The Singer's Preceptor (London, 181O EZernents o f Singing (London, 181 3), Part I I I ,44. 66Thetrills 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 trlls in the reprise (mm. 109-110 ) .

in which many of these trills are found is smilar 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 "falsenote" (Le., the upper auxiliary). Garcia, however, asserts in 1841 that main-note trills are the n o m and, by the mid- nineteenh
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 Mkuli, as cited i n 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 ills 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. 5 8 / 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 i n 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 o f 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. 3SLL, 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 handwrtten fingerings in the Dubois score of the Prelude, Op. 28, No. 18, cadential trlls 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 k a t . 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 fst 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 cole chantante dupiano

(1 86 1) etablishes 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

o f 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 e l gazette musicale de Paris, Vol. I X , No. 27 (February 1842), 82. "...tonnantefacilit 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, cole chantante du piano (Paris: Heugel, 18611, 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, cole chantante du piano

Lento:

4Godefioid,W. ' l a broderie, en musique, est de la famille des notes d'agrment...'' 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 (Ex3-2):
Example 3-2: Fem Godefroid, cole 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 imprvised on a given musicd text by adding
fioritures or other embellishments.' Instead 1will 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 i n 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. ' A n exception would be the grace notes at the beginning of the second theme in the fint 7 0 ) , which are notated as quarter notes without a movement of Op. 35 (mm. 40 and 1 diagonal line and are c o ~ e c t e by d 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 prefx to a main melodic note in the rght 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
wrtings of Manuel Garcia I I ,which descrie 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 erly nineteenth-century treatises on singing was stilI


asociated 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. Bronarsk, J. Turczynski, ed., Fi-yderykChopin: Complete W o k Vol. VI, Sonutas. 6th ed. (Warsaw: The Fryderyk Chopin Institute, 1!XO), 115-116. Jeanne Holland, "Chopin's Teaching and His Students," Ph.D. diss. (University of North Carolina at Chape1 Hill, 1972), 277-279. 12RichardMackenzie Bacon, EIements o f 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 reatises 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 (borrowedfiom ancient vocal mmic) ought in justice to be banned fiom Piano-fortemusic altogether. The short appoggiatura wllI always remain ~settl.'~

Some treatises published i n 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 agrmens.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" appoggiatumL8This might suggest that, in keyboard practices in the first half of
13Bacon, 105. 14CarlCzerny, 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 wrtten 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, cole 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 (1886)

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 prcdemment avec la basse formant accord" [attack the appoggiatura as before, with the b a s , 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, 117. "IlbidJS1. 231bid.,117. 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 ""littlenotes" 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 prnted 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 wrtten-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
m u s u a l , 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
precedng the lowest note of the rght-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 parllel 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. 3 5 4 mm. 167-180Vroupenas e d . , 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* 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 arpge 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 fustexarnple, 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/Imight 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 sostenufotheme 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 1834), 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 appoggaturas
were placed on the beat For example, both the manuscript fair copy and the Troupenas edition of Op. 35iI show a slashed m a i l 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, ther 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. 5 8 / 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 fnction 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 i n 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), begnnng together with the bass note on the beat, in order to m e r

delay the m a i n 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. 18,61, 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 iyrcal

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

32JimSamson, 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, a t 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 appoggatura 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 i n non-lyrical contesuch as the Scherzo of Op. 35. Smail

notes which precede right-hand octaves or chords spanning an octave are present in a i l 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 beng 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 (1886) defines the acciaccatura or "crushed note" as "a rapid litle 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 (1847) 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 tempoY J o h a Baptiste ~ Cramer, Imtrzictionsfor the Piano Forte. 3rd ed. (London, c.182S), 32. Cramer does not mention the Long appoggiatura. 3Czemy7 161. 36Mathilde Marchesi, Bel canto: A theoretical and practical vocal methoci (Paris, 1886; reprint, New York: Dover Publications, l97O), 35. 37Garcia,Part II, 121, 123.

disinguish it from the even rhythm of i p l e t ~ .In ~~ Hinrs on Singing (1894), Garcia associates the acciaccatura with not one but two quick upper auxiliary notes which embellish a m a i n note.3g In vocal conte-, beginning an acciaccatura on beat could

serve to accentuate the second k a t by delaying it slighdyY

I n 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 wrte such appoggiaturas as large notes. An awareness of historical practices surrounding
38Garcia,Part 1 , 151. 39ManuelGarcia i i , Hinfs on Singtg (London, 1894); facsimile repr. with an introduction by Byron Cantrell (Caloga Park CA: Summit Publishing Co., 1970)' 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 "dissonanceffcodd be perceived as momentiiry and fleeting In

such cases, a small note may embdish the large-note dissonance. For example, in Op. 58/Iin m. 63 (Ex. 3-10)and again i n m. 176 (see E x 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 beginnng 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)

I nthe 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.
41

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 frst 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 e d . , 1840)

A consonant mal1 note that anticipates the following pitch (or pitch-class) occurs

at m. 63 of Op. 58A (see E x 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 f a i r copy shows the smail note aligned wth the bass on the downbeat. None of the sources of Op. 5 8 L V 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.

"

Cramer (1825)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 ceterms such as portumento and acciacatura nom vocal usage.
42

The opening section of Op. 35/III, the 'Marche funbre," contains many ornamental notes in the rnelodic h e . These smali notes are pitched a diatonic step above the following main note, and a i l are notated as eighth-notes (Ex 3-13).

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 lne 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 "Yripleappoggiatura" 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 7the 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 (186l), 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)?
I n 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 Engish editions show a longer, continuous slur that seems to negate analogies wth "breathing."

Example 3-14: Op. 58/II, 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 lstener, The pieces which are based upon the retum of a motive, the rondos, variations, polkas, the a i a s and the cavatinas w i t h 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 "vared repetition" is

demonstrated in the French sources by means of pedalling and dynarnic markings, as

well as through the use ofornamentation.


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 Higgns 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, 111. 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 o n 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" i n 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 of the nineteenth century, the According to Higgins' "general pedagogical dictatr 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 correpondingto 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 mordentAccording 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 b e g h n g 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 wrters refer to such a figure as the "transient ~ h a k e . " ~ ~ In France, Chaulieu's C m s analytique (1834) 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 m a i n note should be played in time with the b a s s 2
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). Kninger 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], Krzinger 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 o f the
Y

eentlest vibration [allerlindeste Schwebung] of a single tone." The mordant resembles

the tremolo in that it is executed gently, although it consists of two discrete sounds or pitches, like the rrillo. Krzhger 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." 86. S2Chaulieu, s31gnazFranz Xavier Kihinger, Getreuer Uhterricht -am singen mit Manieren, und die Violine zu spielen (Augsburg: Lotter, 1763), 40-4 1. YKllrzinger, 35. %id.

trease, Kiiranger generally empoys 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 Brard 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 (1774) identifies
faka] a the rnordenre (derived fkom the trill) as consisting of a "fdse note" [nota

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 trlls descned by Tosi, noing 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 prncipal note. These figures, Garcia
~

--

56Mancini, 5 1. 57CarlPhillip Emmanuel Bach, Versuch ber die w u h ~ Art e 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 a n "extreme lightness" produced by modifications of the pdsating or the trembiing of the throat." Garcia observes that if "triple appoggaturas" (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 , 151, 62Garcia,Part II, 129. 63Garcia,Part 1, 15 164Garcia, 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. corresponds It would appear, then, that Higgins' usage of the term "mordenty7 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 at the end of a triII). There are no

the term mordente (which originally indicated a s u &

indications that the mordant would not have begun on the k a t . In fact, Godefioid (1861) states that the murdente or bris 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 Krzinger, Garcia equates the horizontal line with the mordant in the text of the first part of his treatise (1841 ), but does not use it in his musical e ~ a r n p l e s .Instead, ~~ Garcia uses ma11 notes to indicate the
mordant and places the small notes ahead of the main note. Godefroid's piano method

(186 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.~' Godefioid, VI. ' l e mordente ou bris est en quelque sorte une appogiature double ou triple, qui se place galement 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 pos, avec la note suprieure ou infrieure."]
68

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 Polsh 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 aioliary) 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] funbre," as well as the manuscript fair copy for the Breitkopf & Hartel edition m e r s fiom the first French edition of the "Marche funbre" 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 funbre" 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 auxlary, F, would
decorate the m a i n note, E-flat. This notation suggests that the function of the omament would have been equated with that of the "double appoggiaurq"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 t h e rnelodic idea.

I n m. 112 of Op. 3 5 a a "mordent" is writen 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 auxliary.

Example 3-16: Op. 3 5 m mm. llC117 (manuscript fair copy, r 1840)

The realization of "mordents" in the second sonata, Op. 5 8, may also have

involved the upper auxiliary, although this is not confirmed by srnall notes. Even the
French sources of this sonata show the line. This symbol is present at m. 141 of the first

movement in the autograph as well as in the French and English editions, but is omitted
in both Breitkopf & Hrtel 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 characterzed 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 rased version of the upper auxiliary (B-natural) found earlier in the rneasure.

Example 3-19: Op. 58/II, mm. 25-32 (Breitkopf & Bartel e d . , 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/Icodd 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, b o t . styles may have been possible, depending on context. Godefoid's method (186 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 nineteenh-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 (180 1) and Czerny (c. 1839) identiQ various types of "tunis" that correspond to an ascending or descending gruppetto." Cramer (1825) uses the horizontal "S" sign to si@& a turn (ascending

only), while Kakbremer (1835) prefers written-out shakes and t ~ r n s . ~ Adam ' (1805) notes that the redouble or bris 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 wrtten 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'infni, au piano surtout; il se rapproche ou s'loigne a volont de la note principale, et se compose de 2-3 et 4 notes." 73Higgins,1 08. 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 contrat, 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, givng more weight and tength to the first two notes and successively lightenig the latter ones." By 1840, 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/Iand 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 endingExamples of the first type of gruppetto are found in mm. 104 and 115 of Op. 5 8 m . In m. 115, the last note of the gruppetto figure (i-e., the principal note) contains a Godefroid, VI. "...son excution est brve et prend sa force sur la premire des trois notes qui le composent- II se fait en dessus et en dessous." 781bid "Quant au vritable gruppetto, celui qui comprend quatre notes pleines, il se place entre deux notes principales et prend leur caractre plus ou moins expressif, en emprutant toute sa valeur la prolongation de la premire note. Nous l'appellerons le gruppetto chantant, parce qu'il doit chanter sans prcipitation, en portant la force sur les deux premires notes, qui s'excutent plus lentement que les deux dernires, dont le mouvement plus rapide et plus lger ajoute une grce infinie l'accentuation d'attaque de gruppetto. Par extension, par dveloppement, le gruppetto peut tre port cinq ou six notes, plus mme..."
77

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 ths 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-" mmediately 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 Wojciechowsk dated October 5, 1830 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 E x 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 begmhg 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 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 (1894) defines the gruppetto as "the


combination of the descending and ascending appoggiatura with the principal note."" However, Garcia's musical examples show gruppetti begining o d y with the upper auxiliaxy (Le. the "descendingappoggiatura"), even when the melody moves upwardg3 Like the examples given by Garcia, Chopin's gruppetti in Op. 58 aU begin with the upper awliary 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 41. 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 spacng between notes in
the bass fine in the EngZish and French editions at this point seems to confirm hat 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 (184 1 and
1847) and in Godefroid's cole chantante du piano (186 1). That is, "appoggaturas"

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 i n 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 a s the Scherzo of Op. 35. Cramer (1825) refers to the "acciaccatura" as a "cnished note," similar to the "shorty7appoggiatura, 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 i n Op. 35/II (mm.

5 0 f f ) , 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 fist 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 those y 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 SonrEig'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 fshe breathed some perfme 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" appear to have been one of lightness and clarity, sometimes languid and deliberaie, but seldom characterzed 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 (1861) 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, 1971), 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 o n 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 beween 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, cole chantante du piano (Paris: Heugel, 186 1). Eigeldinger, Chopin: Piunist and Tencher, 3 1-32. Eigeldinger's assertion (p. 104) is typical: "Whilethe art of bel canto is constantly proposed as a mode1 for pianistic l e g a t e t h e 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. 1760-1860- The conceptual relationship between t e m s such as "legato" and "3taccato" and the notational symbols commonly associated wth 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 The idea of juxtaposing diverse affects within a work current cornpositional practi~es.~

or movement by means of con-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 artculahve contrasts5

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 V e w 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.

'Jim Samson, Chopin (Oxford:

Before tuming to the primary sources, 1must 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 contruted 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..-Asfor staccato, i t 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 l i k e 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, 1 882); tram Adam Czartkowski and Zofia Jezewska, 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 restrcted 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 w i t h that of Czartoryska, the following section traces the development of ideas about "legato" articulation from the mid-eighteenth- into the nineteenth century.

and the Slur: A Historical Perspective Legato

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
(1829) seem to associate a more sustained touch with the imitation of the human voice.'
-

'

Mathias, cited in Eigeldinger, 32. 1lbid. 'Adam, 150-151; Hummel, Part I I i , 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 (1805) 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 . I n ~ 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. 12SandraRosenblum, ed., Muzio Clementi, Introduction to the Art ofPZaying the Piano Forte, 1st e d (London, L 80 1);facsimile r e p ~(New t York: Da Capo Press, 1974), 8-9; Adam, 15 1;Czerny, Vol. 1 , 186. 13Clementi, 8-9. ''The difference between Clementi's c'legato'yand 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-1O. '%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 h e [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 artfi contrast, the advantages of legato.20

Adam cautions that the player must be careful not ta prolong the vibration beyond the

On the other hand, gaps in the value of the note in order to avoid confusion of sound~.~'

sound must also be avoided, particuIarly when playing a melody:


~

--

17BernardHarrison, Haydn S Keybourd Music: Studies in Pe$ormance Practice (Qdord: CIarendon Press, 1997), 42. '8CIementi, 8-9'gIbid, "Adam, 151. "Quelquefois l'auteur indique la phrase musicale qui doit tre lie, mais lorsquYiI abandonne te choix du leguto ou de sruccuto au gout de 13excutanf il faut mieux s'attacher au legato et rserver le staccato pour faire ressortir certains passages, et faire sentir, par un contraste amen avec art, les avantages du legato. " "Sec also C.P.E. Bach, Versuch, trans. Mitchell, 149- Bach remarks ''There are many

L f one terminates a note before its value has expireci, one intemrpts the song/melody--.
Sounds shouid unite and b l e d themselves t o one another, ifone wishes t o appear to imitate the ustaining ofthe voice?

Adam's technical hrne of reference in "legato" playing involves not only the fngers, 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 p e r c e i v e d h 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 lyrcd 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 t do ~ c h e s . " ~ 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 150-151. "Si l'on quittoit la note avant que sa valeur fut expire, on interromproit le chant...Les sons doivent s'unir et se fondre les uns dans les autres, si l'on veut parvenir imiter la tenue de I a voix" %id., 151. "Dans les notes lies, la main ne doit jamais se dranger sur le clavier." ''Jan Ladislav Dussek and Ignaz Pleyel, Mthode pour le Pianoforle (Paris, c. 1 799); facsimile reprint (Florence: Studio per Editione Scelte, 1992), 14. "Quand un doigt a frapp une touche, il faut qu'il se relve et la quitte en mme terns qu'un autre doigt frappe la note suivante, a moins que celle note doive tre soutenue, pour rsonner conjointement avec celle qui i'a prcde." 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'smoothestand 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 ' c o ~ e c t e d " sound, 27Hummel,Part II, 65. "The word legato (tied) indicates also that the whole musical period i n 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 1840, 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 synonymou, 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 delberately 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 Trk (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 cole chantante du piano (186l).33 Godefroid asserts that porfamento is as necessaq on the piano as it is to the singer, and identifies notesportes (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 o f 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 porte4 large et expressif s'obtient par une certaine action du poignet et de l'avant-bras, permetant d'attaquer avec prcision et fermet la premiere note pour la porter sans brusquerie, et comme par LUI gliss de violon,sur la note suivante, qui doit tre attaque moelleusement, de manire bien produire 1'effet du coul portant un son sur l'autre. De plus, on doit lever le doigt aprs l'attaque de h seconde note pour en attnuer la sonorit et faire ressortir I'accentuation du premier son venant se perdre ou se fondre dans le second. Le portamento trouve dans la pdale un important auxiliare en ce qui touche la prolongation du son, mais a la condition expresse de quitter cette pdale en attaquant la seconde note, c'est--dire celle sur laquelle se porte la premire." 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 inhtively have applied "the smoothest and most connected manner" of delivery to passages other than those in a siging 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 "periodglin 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

' B "section of a ternary-fom sonatas, the "2egat-o" marking affects a contrasting '
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 untl 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 beginnig of a piece or movement that

n character and establish the opening tempo. However, since this movement is unified i
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 ~ r s : 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 fienzed "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 37A7AlfredCortot, Chopin: Sonate. Op. 3 . 5 (Paris: Salabert, 1930), 30. In addressing the "legato" indication at the begnning 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'7into 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 (1833). 39Cortotdescnbes 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). 40Paderewskiet al., Sonatas, 127.

Even though Chopin's own slurs create coherence and ad 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

ofa 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, 1 9 9 4 ) , 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- 11 %119 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 p e W 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 1840s." 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." TUrk7smusical 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 17-118 is

unique to the Meissonier edition. The autograph fair copy of Op. 58/I c o n W s no
"legato" indication a t 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 e d , 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, 1915) 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

n te= to be minimized in the English edition i

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 markngs 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 t o ~ c h . ' ~ Associations between s o s m u t o , 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 (1789), where the tenn is defined as "grave" as well as
c 6 ~ e d y q 7

According to Trk, sostenuto belongs t o 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 (1763) 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.53In 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
"7Trk/Haggh,112. %id-, 348. -191bid. 53. "fiid, 52Kningery 89. Krzinger'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, Trk, and Krzinger 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 thus implying a dynamic stress be struck with emphasis, and then be M l y held d o ~ n , " ' ~ 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 it abbreviation, "ten.")
appears in musical contexts which would support a slight agogc 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 t h e
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, 189. 56Thefirst 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 hornophonc 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 lies- 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 wth 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 century7such as those of C-PE. Bach and Mrpurg, 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.

as an expressive device whose For example, Krzinger (1763)views ccstaccato77


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 employedWTiirk 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, Trk 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 confusion between markings that rather than the wedge in his method to avoid poss~%le designate fingerings and those that indicate articulation. While Bach employs the term "Iegato," he does not mention "staccato." S%iuanger789. 60Trk/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.--onemust 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 Trk's musical example, a dot above a note may also show an increased dynamic "emphasis,'" since notes marked by dots are markedf while those without dots are marked m $

In another section, Trk associates dots wih additional

pressure fiom the Ggers that may result i n 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 (1801) 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 p e r f ~ t m e r . ~ 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'TrkRIaggh, 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. 66DuselqImhwctiom on the Arr of PIaying the Pionoforte or Harpsichord (London, 1796); rnicrofom, 154-155. 67Ad~ ,

(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 witten value of the note? By around 1830, some writers of keyboard methods minimize or elhinate earLier distinctions between the dot and the wedge. Hummel (1829) 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 (1834) identifies only the dot as a symbol for the staccato "genre" [le
detachJ70 Both Czerny (c. 1839) and Ftis (1 840) regard the dot and the wedge as

equivalent-TI The earlier distinctions among degrees of detached articulation mentioned

by Trk and Adam appear to have been disappearing during the decade or so preceding
the publication of Chopin's first sonata. Judgng fiom the w-ritings of Hummel, Chadieu, Czerny, and Ftis, 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 fnction 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 thorie musicale," in Le Pianiste,Vol. VI (April 1834), 87. 71Ftis-Moscheles,M o d e des Mthodes, 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."

i k e that of Czerny and Hummel, conceptuaiizes Chaulieu's simplified categorktion, L


ccstaccato"only in terms of abbreviated note-length without discussing expressive

Felix Godefroid's rnethod, published almost thirty years after Chaulieu's writings i n 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 serousiy the diierent ways of attacking a note. . . I n 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 1834), 87. 73Dussek'sdescription of ccstaccato"as "thereverse of Legato" does not necessarily suggest a dichotomy between the trvo touchesybut arises fiom a recognition of "legato" as the normative touch, in relation to which "staccato" is defined, 7JGodefroict,V- "Une manire certaine d'arriver donner de la grce, du caractre et de i'expression son jeu, c'est de faire une srieuse tude des diffrent 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 traduire, ou tout au moins seconder les sentiments qu'il veut exprimer."

full technicd resources of the piano (includiag repeated notes, rpeggios, 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

piques (indicated by dots), which are released without haste so that there is never any
ccconfllsion"of s~unds,'~ and ilotes detaches (indcated 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 i n 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 againt "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 Mller-Reuter, Clara Schmann und ihre Zezt (Leipzig: Hartung, 19l9), 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 i n 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 lastng influence of Adam's treatise, which was used by the Paris . ~ ~ method of Adam's student Conservatoire until well into the nineteenth ~ e n t u r y The Kalkbremer (c. 1835) also differentiates between the wedge (Le., cbcomma'')and the dot, even though Chaulieu and Ftis 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, 1WO), 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 (186 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 wth 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" rnarlng 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.

I n 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 theffare lacking (Ex 4-7)- No dots appear at either point in the French and English editions. L n 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 & H m e l 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 structurallyparaiel 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 i n 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 f a i r 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 givefat 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

o u t h e 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 i n the 1820s and 1 83Os, 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. 26-272 (Meissonier d, 1845)

83Thefrst IWO octaves (representing the dominant) are marked with dots in the German edton; the last two (representing the tonic) are not. 81cramer, 35;Czernyz 187.

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)

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 a l l 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 i n 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 i n the bass line of Op. 58/m would sign& a completely different character than would the dots found in other movernents.

in the earIy printed sources of Opp. 35 and 58, particularly i n the first French
editions, Chopin's use of dots reflects p ~ c i p i e of s expressiveness similar to those found
in treatises descriptive of late eighteenth-century practices. Udike his contemporaries

such as Czerny, Hummel, and Ftis, Chopin does not always use the dot to communicate

an immediate release and durational brevity. Instead, Chopin (Like Tirk) 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 employng 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 manires de dtacher les notes," Louis Adam (1805) 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 portes and specifies that these notes are the least detached of the three types of

"sttaccato," since diey receive threequarters of their wrtten 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,15587Cra~er, 53; Czerny, 186. 88BemardHarrison, H q d n ' sKeyboard 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.

I n 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? Trk's treatise (1789) reiforces

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 note has been completed'"' l the duration of the given

Trk refers to portale as '<thecarrying 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
making reference to clavichord traditions, Trkysterminology v ~ c e . ~ Besides '

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- 11- 15. 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), 161- 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, 1999,223.
"

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 Trk, Clementi, Cramer, and Czerny. Although Mancini and Trk 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 ~ p r e s s e s . '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 ~appears ~O more directly associated with freedom


of touch than with freedom of tempo. Trk regards sciolto as "fiee, separated 931tis 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 (1853) and Felix Godefioid (186 1). Karasowki (1879, cited in Eigeldinger, p. 114) claims that Chopin loved to emulate, on the piano, examples of "'portamento" in singing. 'UCramer7s keyboard method (c. 1825) 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 clthat "...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 SCZOZ~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 e r n p h a ~ i s . " ~ Hummel's ~~ "Trk/Haggh, 112. 'ooClementi,xxv'O' Cramer, 53. L02Czemy, 186. Czerny also substitutes dashes for dots under a slur in the "lingering staccato." '03fiid. lWBemardHarrison (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 Part I , 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 '=thenotes [in the AdagioJ. ..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 compatle
with the touch of the "singing style," a touch which wodd have required a certain degree
of "well-directed pressure. "

Ln 1845, 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, P a r t III, 42. Earlier, Hummel had noted (p. 297, P a r t 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. 5 8 A I , mm. 77-78 (autogrnph fair copy, c 1845)

The dots under the long slw are evocative of the highly expressiveportatu descriid by

C.P.E. Bach and Trk and the notation may dso call to mind Mancini's sciolto and a
cefieedom 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 touch d 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 i s 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 (Ex4-1 1),log and the dots might serve to reinforce the "increasing degree of emphasis" communicated by the crescendo.

logThel l ~ r e s ~ indication .lf 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/III suggests a continuation of the
IwAdam, 156. "...cette manire de dtacher ajoute beaucoup a l'expression du chant, et se fait quelquefois avec un petit retard de la note qu'on veut exprimer ainsi."

eighteenth-centuryportatoarticulation, which in hun may have derived om the

imitation of the voice. This expressiveyweighted touch would have been considered primarily comected rather than detached, and it might have been achieved in Chopin's

of the tone fiom one sonatas by using the weight of the foreann to achieve a "carrying"
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 (1827).'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-swork. J i 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 i n Chopin's Op. 2 variations. lHCzerny, 189.

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. A t m. 176,

the pardel place in the recapitulation, the Zeggiero theme is ushered in by a crescendo in
the first Breitkopf & Hrtel edition (Ex 4-13).

Exampie 4-12: Op. 58/I,mm. 64-71Wreitkopf & Hiirtel ed., 1845)

Example 4-13: Op. 58/I,mm. 174-180(Breitkopf & Hrtel d, 1845)

Leggiero might, in this context, indicate a "lightness of attack" that wodd be equivalent
to a subito piano,

L n 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 a r t 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. 15l), 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 wrtten 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 contrat to the outer cWoltovivace - 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 t v acornmunicate 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 with 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 o m f release" (to borrow Higginsyteminology, 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 Trk, 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

n such a conservative sense implies that Chopin pubtished, should use the term "legato" i
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 wrtten "legato" indication in the prnary 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 1861, 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, originaiy 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 coexsted 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 (1829) 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 HumrneI1sand 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 Trk (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 "quickeningand 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 Trk, 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 adjustng 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, 1787); translated by William Mitchell as Essay on the T'e Art o f Playing Keyboard Insfrzrments (New York: W .W. Norton, 1949), 16 1. Richard Hudson, Stolen The: The History of Tempo Rubato (Cambridge: Cambridge University Press, 1996), 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 ( 1789).

'

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 prmary 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 Chopintsmusic.

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, wrtiog 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 rubufoby 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 tempo, including the nineteenth-century usage could refer to any fluctuation fiom ccs-ictyy speeding up and slowing down withi 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, 1988), 3 73-392. Rosenblum refers to "agogic rubato" as characteristic of nineteenth-century style and uses the terms "contrametric rubaro" or tempo rilbao to refer to eighteenth-century practices, although there may have been considerable overlap between these stylesHudson, 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, Mthode 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 tre continuels pendant tout un morceau, mais seulement dans quelques endroits o l'expression d'un chant langoureux ou Ia ' u n chant agit exigent un retard ou un mouvement plus anim. Dans ce cas passion d c'est le chant qu'il faut altrer, et la basse doit marquer strictement la mesure. " "Hudson, 87-88. 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 I I I ,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 ~ ~ he clarifies that this happens gradually rather than suddenly: slower or q ~ i c k e r , "and
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 ~ n w a r d s - ' ~

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-rallentandotype" 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
-

'JCzemyyVol. 1 , 189. lSTbid,184. i6rtiid., 189. 17H~ds0n, 2 1 1L8Higgns, 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 Trk.

adjustrnent of the melody independent of the prevailing metrical pulse. Although it is possible hat 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 m t i L 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 i s 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, wtten 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 b a s , but only with an aimost imperceptible delay-"

ThaIberglsdescription 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 19SigismondThalberg, 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 ~ ecircle. r 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 Faur (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 Faur, 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 i n 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 beter 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 i n 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,
175. 26H~dson, "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-Mller, wife of the Viennese piano builder J.B. Streicher, had studied with Chopin in Paris Crorn 1839-411' 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 1-182. 3fFriederike Streicher-Mller, 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:
\ m a t characterized Chopin's playing was his mbato, i n which the totality ofthe rhythm was constantiy respected. The IeFt han&" 1often 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 w o d d 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 establishingthe 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 refte such an interpretati~n.~~ 33Wilhelmvon 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 Fredenke Streicher-Mller 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 flexbility of the melodic line i n 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 authorty, 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 thu 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 I V (1994), 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, "Jakgral Fryderyk Szopen?" mow did Chopin play?], Musyka W7-9 (1932), 74-75; cited in Eigeldinger, 50.

accompaniment simultaneouly in his own playing, the idea that he would have equated such practices with rubato rnay be at-iiuted to Michalowsk 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 d e s 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 i s to retmhiion or acceleration Ftalics mine]. The rubato is onIy the exaggeration or bringing into prominence [ofJthese different parts o f 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, 1913). 4%igeldinger (p. 122) quotes a n 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, Trk (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 (17871, 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. 42C.P.E. Bach, Sechs Sonaten mit verunderten Reprisen fur Clavier, (Berlin, 1760); ed. tienne Darbellay (Winterthur: Amadeus Verlag, 1W6), 37-3 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 t e m s 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?
133-134. J3H~dson, 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 o f tempo nrbato invoIves one hand maintaining a strict
pulse while the other appears to deviate from the rnetre, in a quasi-improvisatory fashiom, by playng "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 referrng 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 rregular groupings OF small notes, Hummel cites the Adagio of his own Sonata, Op. 106:
.-.TheIeft 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 c a d e m ) are
the only cases i n 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 si-cttempo?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 "caprcious 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., 141-142. 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 confrms 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 fnctions 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. 58/1117one 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 fnction 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 ~trictly."~ 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,110-112. S6H~dson, 197. S71bid,198-199.

Notation of Fioriture in the Prirnarv Sources of On 5 8 m SIight variants among the sources in the notation of the fiorztura suggest this embefishent may have been reaLized ether in relation to the metre or more eeely. While the notes are identical in d lthe 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 i n the ira German edition (see Ex. 5-l), the
fioritwa in m 102 is encompassed by a long slur that begins wth the anacrusis to the

reprise in m. 99 (Ex 5-2). No change i n 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 a p p
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 b e g of m. 1O3 (Ex 5-3). The Wessel edition also gves

separate slurs at the beghnng 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 frst French and English editions imply an
articulative and dynamic separation of hefioritura fiom the surrounding texture. On the

other hand, the German sources suggest that thefioritura might be integrated into the
prevailing melodic L i n e with little or no separation.

Example 5-3: Op. 58/ItI, mm, 99-104 (Meissonier ed., 1845)

Example 54: Op. 58/III, 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 t-the fiorirura in the Meissonier edition might indicate a separate "breath" (i-e., movernent of

the wrst) and thus a rnomentary interruption of the Line before and &er thefioritura.
the Enghsh edition, the embellishment is completely separated fom the preceding and following durs, thereby suggesting metrical fieedom in the marner of a bref cade= This variety of durring possibilites with regard to the &al section of Op. 58/171

In

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 sia more "cadenza-Iike" fkeedorn from

the estabtished "movement," as advocated in Czerny's treaise. 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."

Summm

Based on the small nurnber of keyboard treatises of the first half of the nineteenth

h a t make reference to tempo rubato, pianists of the period appeared more century t
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 Trk. 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 into the nineteenth century among both pianists practices of rubato continued to CO-exist 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 adjusnent 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. 5 8 m ,two of these three possbilities are consistent with practice surroundhg -the term rubato descrbed 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 rnetrcally 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,
840. In juxtaposed against the historical context afforded by treatises c. 1760-1

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 ~in i Chopin's Works: Multiple Possbilities 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

n this Etude, the composer's choice of initial "Lento m a non troppo" in the first edition.' I
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

f Aesthetics Leo Treitler, "History and the Ontology of the Musical Work" J o m a I o and Art Criticism 5 1:3 (Summer 1993), 483-497; Jeffrey Kallberg, "Are Variants a Problem? 'Composer's Intentions' in Editing Chopin," C?zopinStudies III (1990), 257-267. Mieczyslaw Tomaszewski, "Verbale Bezeichnungen von Charakter, Ausdruck und m Scha.Eensprozess Chopins," Chopin Tempo eines Musikwerkes: Deren hderungen i 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 funbre" 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. 3 S m 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 funbre" designation in the German sources may serve a similar (if somewhat more drarnatic) function.' Both the term "Lento" and

the "Marche funbre" labels communicate certain expectations about the character of the

How Did He Play?", Chopin Srudes 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 funbre" 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 funbre" 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 funbre" represented a homage to the "Marcia funbre" (also the slow third movement) of Beethoven's Op. 26 sonata.

* Jan Ekier, "Frederick Chopin:

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 characterze 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 sme p i a ~ s t of s 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 (1829) 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 Stowell, "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 1834, 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 s t y l e , often losing sight of time and sobriety and ofthe 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 lP , a r t 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 o f t h e , formerly every different t h e had its particular character fixed and proportior)_edby the pendulum, or pulsation of a pulse, The modems introduced names, as Allegro, Largo, etc. which are marked at the begZnning of the a i r . 1 3

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 on s the Art o f Playing the Piano Forte or Harpsichord Gondon, 1 796), microfom.

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 "'keepthe 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 resultL6According 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

alrnost interchangeably with tempo and character, but he also uses the terni c~movementy7 "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 o n w a r d ~ . ~ ~

Although these comments by Czerny do not appear to differ greatly from T ~ k ' earlier s views about fiexibility of tempo for expressive effect, Czerny's choice of terminology ''Hummel, Part E t ,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 allowng 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 " t i m e " as subservient to "movement," Czerny apparently considers "movement" as equivalent to "tirne" and, therefore, subject to the same discretonary 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 firt 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 IgWhiIeHummel does allow for some changes in "time" within a "movement," such as the relaxation of singing passages in a n "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 conrols 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 T e r n ~ 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, Matthayrsmusical 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 ( P a r i s :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-centuryperformances 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 (19 15) and Moszkowski (1924) than they are in Klindworth's edition (1878). 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

24TheDebussy edition of Op. 35/Igives "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. 81. In Moszkowsk~s edition of Op. 35/TI, the 'Tiu lento" section is marked "con anima" in m. 106, followed by "un pochino rit." in m. 118; 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 r n q 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 bref "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 ~ 180d ~ 182. ~ ~ 26HannaWroblewska-Straus, A Commentary on the Facshile Ediiion o f 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
flexbility and localized shifts of thematic focus and tonal cenee such as those found in

development sections. Kalkbrenner7streatise (1835) states that the cct.me" must not be ncreased ''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/Iwould 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 s o ~ n d ;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 atach 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 effct; 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. WRobinStowell, "Strings," in Perfomance Practices a f l r 1600, Vol. II, 406. "A.B. Marx, D i e 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 slowng 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 "timeand 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 Ftis wrote in the Revue musicale that "form is renewed i n 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 m y 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..-lettingme hear the amework (if1 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

i I ,40. 37Hummei,Part i 381bid '?Francois Ftis, Revue Musicale (March 3 , 1832); cited in Alfred Cortot, In Search o f ChopiP2 (Westport, CT: Greenwood Press, 1W2), 113. "qigeldinger, 59.

awareness of Beethoven's sonata structure suggest that Chopin could have employed some degree of tempo flexibility i n 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 m e r i n g 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 i n 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 i n 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

n this version of his popular seventh edition of Clementi's Introduction (c. 18 14). i
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 defnes the latter tems as "with expression; that is, 42S~~ten as~ an to 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 t h i s 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 (1846), where the tenn is applied to the left-hand line of the middle section (mm. 15 2 ff.). In this context, sostemto might serve as an instruction for the lefi-hand accompanment to maintain a steady tempo throughout this section despite
the moving eighth-notes. In the Prelude, Op. 28, No. 13 (1839), 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 mer In other Op. 28 Preludes, sostenuto draws attention to voices are rnarked so~tenuto."~

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
J81nthese 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. JgAlthoughChopin 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 s o s t e n ~ 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/Ishow "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, Kindworth (1878) gives an additionai "accel." at the end of Op. 58A, as well as "con bravura" (followng 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 Klndworth 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 affctive 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 i n 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. 3 5 4 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. 35/I (m. 168)52Hudson,182. "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 n o m before about 1950.

the tonally distant key of F-shaq minor. The immedate 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 tonaliy and
texture at the b e w g of this development section (Ex 6-2).

d . , 1840) Example 6-2: Op. 3 5 4 mm. 91-112(Troupenas e

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, 182. 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 Rosen7sview 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 i n the second rneasure of the coda (m. 23 l),

n Hudson, "Chaulieu, "Cour analytique de theorie musicale," Le Pianiste (1834); cited i 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 & Hrtel 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, "~tretto again ~ ~ marks the end of a structural section of a smaller scale, namely the end of

where it corresponds to the end of the recaptulatiod'

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 S c h e m is prepared by an
"accelerando" beginning six measures before the reprise (m. 184). 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 driinishing of dynamic level.
i n 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 irnplict Klindworth's edition of 1878 contains explicit indications to ths 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 n the '73" section of the Scherzo proper as opposed to 132 for the 'Tiu lento" section. I 'Tiu lento" itself, Cortot (p. 22) suggests the left hand may display a flexibility and suppleness of tempo while the right hand remains constant 60Curously,none of the three Gebethner & Wolffeditions (1865, 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. 35 / 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 ansitional 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. 2 7 8 (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 I nthese 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 ofUpocoritenuto" (at the end of the Trio) and "in tempo" (at the begnning 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. 31-33 and in the corresponding place in the reprise at mm. 187- 189, 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.

Summq

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" n d o ~ ~correlates with an or "'strette," or more gradual, as in the case ~ f ~ ~ a c c e l e r a (which 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. I n 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 prma-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") i n 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 would have
l1

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 o f Ftist 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
n contrast to the multitude of editorial tempo markings that practically unchangect I

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:


Press, 1996), 109.

Cambridge University

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 "thepedalling required is so very simple,

and is therefore self-evident; or, on the contrary... 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 "generationof 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.''~ L n 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 16 ( 1W6), 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 i n 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 prnted 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 ~ a n c e m e nof t 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 regis-aidistinctions. Although one might assume that the differing pedal indications in the frst 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 i n France and England
p p

~~

''Rosen, The Romantic Generation, 24. 'Tem, 251. 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." 13Theextent 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
n editions, since these editions were circulated in Poland and Russia, as well as i

Gemany. For these reasons, 1have 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 whch suggests that Chopin's use of the


damper pedal was unique is the somewhat polemical treatise by Friedrich Wieck (1853). 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, 1WO), 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 continuousjumbie o f the most diverse chords, without cadences, without points of rat-ludicrous passages covered by the sustaining pedal, uninteiiigiIe 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 relievng 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 o f 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 c1arty. 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 Register, r "Sonic Volume," and Colou.ristic Effects According to Friedrich Wieck, the damper pedal served as a means of icreasing 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 carefiiy 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. 5 7 ) . "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, sharp tone." 231bid.

Pleyel in Pars in the 1830s and 1840s. Pleyel's instruments featured a single-escapement
action (like that of the Viemese fortepianos), a lght 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 edtons 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, m m . 192-198(autograph fair copy, c 1845)

=*Robert Winter, 'Keyboards," Perjiormance Procrices Afier 1600.358-259. 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 strikng-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 siking 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 i n 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. 2 5 4 f f ) .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 Breicopf & 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 e d . , 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 d s o 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 tonc 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-

26Pedalmarkings 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 n o 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 . ! W l

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 encompassng 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 d e s c n i d 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 deicacy, 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 begnning 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 o f P[aytg 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
dninished-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 increase in sonority and volume.
hamiony) rather than with an

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 markng

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 flly 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 ~ n o r i t y . ~ ~
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. 5 8 / m (for example, in mm. 36 and 52). "As i n 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 syle" than syncopated pedalling)' partcularly 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. 1835)-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. 3 2 Z I b i d 1 , 15. Rowland cites Edith Hipkins' recollection (in 1 9 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 optionOne 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 rhythmPedal indications in these sources are often shorter and more frequent than those i n 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, 151, 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,119-120UIbid, 120. 3 S T ~exceptions o 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 & Hrtel 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

m a r h g s 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 agogc 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 ( E x 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. 15-161 (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 metrcally 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.

n m. 174, where "The 1878 Breitkopf & Hartel edition shows two short pedal markings i 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 editons 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/Icontributes 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. 5 8 4 mm. 163-166 (Wessel ed., 1845)

38The1845 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 7 4 b : Op. 58/I, mm. 163-166(Breitkopf & Hrtel 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 fnbre") 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~er.'~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 funbre" 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. 11 and 12 absent from
the 1882 Gebethner & Wolff edition, but an annotation by the editor. Jan Kleczynski,
Y>Md~~u tlie g l1 ~ 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 u n b n o w 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 work7stitle (i-e., as "Marsche [sic] funbre") suggests a scribe of German or Austnan background. In many respects the 'Marsche fuabre" resernbles the manuscript fair copy for the first Gemian edition of Breitkopf & Kartel. However, with regard to pedal markings, the 'Marsche funbre" copy differ in significant respects fiom those found in either the fair copy or the first French edtion.

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. 3 5 / 4 syncopated eighth notes


(separated by eighth-rests) are placed underneath the b a s 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/III, mm. 1-4 (Gebethner & WdfTed., 1882)
A .

Marche funbre.

Although Kleczynski's edition of 1882 implies the "fullypedalled sonority" at the


beginning of the "Marche funbre," 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. 3 5 m for example, brief pedals that reinforce the
dominant harmony of reiterated a h e n 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 i t s 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. 3 5 A , mm. 33-36(Troupenas ed., 1840)

It is possible thai the discrepancies in placement in the Troupenas edition migbt have
arisen fiom di.cultes on the part of the engraver in alignuig the release s i g d 2 or hat

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 punctuaion, however, the e a l y

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 frst-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 1830s or 1840s- As was also the case with
Viennese instruments such as the Graf (which Chopin is thought to have played in 1829 43Thesingle 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 c l , 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 i n
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 distnctness 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 1 1 : Op. 35/I,mm. 91-97(Troupenas ed., 1840)

In the manuscript fair copy, no pedal release is gven before the new pedal in m 99,
suggesting the possbility of an even greater accumulation of sonorty. 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

n the Troupenas editions can contribute to the clarity of the rhetoric in the melodic line. I
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 concepual 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 f a i r 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. 116-121, 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. 8-96 (Troupenas e d . , 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 "breathingtlplaces in the melodic line as indicated by siurs. The regularity of the two-pedal-per-measure pattern estabfished in the opening phrase is mainained by the second pedal release in m 8. This release marks the end of the melodic phrase?'
-

47Theplacement of slurs in the opening "period" of Op. 5 8 / m is different in a l l 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 assymetrcal 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. 5 8 / 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 frst 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)

I n 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 t h a t 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

i n mm. 17-18; and the be30inning of the reprise of the "ariayy in m. 99. The

longer pedals in the French and En&sh editions that concide 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 a s 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 s e c o n d q theme of this rnovement In

the French and Geman sources of Op. 58/XV, the first appearance of the second theme
(mm. 7 6 f f . )is unpedalled?

However, the parallet passage (mm. 167ff.) 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 1860 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. 175), and this sequence is essentially repeated for the next eight m e a s u r e ~ . ~

The appearance of pedalling variants in recurring thematic material suggests that the
damper pedal would have played some role i n projecting vared 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 funbre" 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 fnbre" 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
- -

JSTheEnglish 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, 1have 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 funbre" 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 funbre" 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 funbre" 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 funbre" 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 cortge receding into the
-

SIThe1860 Richauit edition also gives "cresc." in m. 57, but omits the dotted line showing its extension.

distance.s2 Even welI into the nineteenth century, "varedrepetition" (whether irnprovised or notated) by means of dynamics would have been a current practiceUnforunately, 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 funbre," 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 m e m e s , would have resulted in an exact replication of the "Marche" in the printed Breitkopf & Hrtel 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 funbre" manuscript copy.
It is conceivable that performers and editors might have introduced variants in pedallng

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 funbre" 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 t o 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 i s 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- I n 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 nconclusive 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.
n the The pedd markings in the first German editions are often longer than those i

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,

n pedatling indications appear to be found The most significant differences i


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 funbre" 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 e s t German edition and those of forty years later attest to the publishers' desire for convenience and regularity, and it is possible that publishers flly 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 and other distinguished pianists of same thing to Chopin as they did to Liszt, Got~chalk,

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 ito the realizaton 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 w i t h the Italian school of singng of his time, which had maintained close continuity w-itheighteenth-century traditions, than with the pianistic practices outlned in t h e FetiscMoscheles Mthode des mthodes (Paris, 1840)However, Chopin appears to havre been familiar with Hummel's treatises (1828-291, 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 Trk, 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, 1W6), 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 ~ ~ g l a n d 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?
Smilarly, 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, 163,215-228Kallberg 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 fully 'authoritative' versions." Jan Ekier, ed., Chopin: Ballady (Krakow: PMW, 1W),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 & Hrtel 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 engravig.

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.

35-41) 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 i n 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 differng practices in France and England than they are of Chopin's creativity. I n the process of recopying Op. 58 three times, Chopin would

' Kallberg, "Chopin in the Marketplace," 2 11.


Chopin's letter of Apnl23, 1840; cited in Kallberg, 206. Kallberg, "Chopin in the Marketplace," 174, 199,213.

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 B e r e n c e s 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 mmediate 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 h i m e of reference, the modern paradigm of a hierarchical

relationship among work, score, and performance is replaced by that of a "shared ontological level" i n 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 f o m 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,
f Aesthefics 1Leo Treitier, "History and the Ontology of the Musical Work," Journal o and Art Criricisrn 5113 (Summer 1993), 495.

by the early part of the twentieth c e n h q , 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
flexility 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 performerrsdiscretion, 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
L n which a composer such as Chopin might shape the response of listeners by either

flfilling 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, 11.

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 i l over again..-The tradition and experience-..The "invitation" involves creating the form a way in which the invitation is accepted can reveal much about a composer's attitude toward the past, whether respectifl and conservative or contrary and r e f ~ m a t i v e . ' ~

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] fimbre 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. 19181

- "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, dedie 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, SiMus-2321 . "Sonate, Opus 58, esquisses [1845]" [mm. 118-133. Warsaw: Frederic Chopin Society, MD34.1

II. Printed Editions 1. During Chopin's Lrfime: Chopin, F. Sonate pour l e 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 ScherbatoETcherkassky (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: Bibliothque nationale. Rer-F. 980 ( U T ) ] and Jane Stirling's paris: Bibliothque nationale, Res-Vma24 1 (VI/58)]. The latter is also available in facsirnile as Frdric Chopin: Oezrvrespour 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: Biibiiothque nationale, 1982).

2 . From Chopin 's death to 1900:


Bargiel, Woldemar and Johannes Brahms, Auguste Franchomme, Franz Liszt, Carl Reinecke, and Ernst Rudorff, editors. First criticall_vrevised complete edition. Leipzig Breitkopf & Hartel, 2 878-1 880. Diernar, Lous, ed. Chopin: oeuvres p o w le piano. Pans: Lemoine, 1859-1894. Kleczynski, Jan. Frdric Chopin: oeuvres pour le piuno. Third edition, Warsaw: Gebethner & Wolff, 1882. (First edition, 1863; second edition, 1877.) Klindworth, Karl, e d Cornplere Worh of Chopin, critically revised afier the original French, G e m n and Polish editions. Moscow: P. Jlugenson, 1873-1876. Kdlak, Theodore, e d Frdric Chopins Klavierwerke. Berlin: SchIesinger, 18804885Marmontel, Antoine, ed. F. Chopin.. oeuvres pour le piano. Paris: Heugel, 1860-1863.

Mikuli, Cari, ed. Frdric Chopin's Works. Leipzig: F. Kisbier, 1879 and New York: G. Schirmer, 1895 (the latter with commentary by James Huneker).
. Frdric Chopin's Works- St. Petersburg (Moscow): Bessel, 1889-

Scholtz, Hermann, e d Frdric Chopin's Colllected W o r k Leipzig: C.F. Peters, 1879. Stellowsky, nieodore, publishen. Frdric Chopin: Worksfor Piano. St. Petersburg (Moscow): Stellowslq, 1861. Tellefsen, Thomas. The Works o f Frdric Chopin. Paris: Simon Richault, 1860.

of Wessel & Co., pubiishers. Wessel & Co. complete Collrcrion of the Composi&ions Frdric Chopinfor 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, 1913.
Moskowski, Moritz, ed. Chopin: Sonates, Op. 35 et 58. Paris: Heugel, 1924. Paderewski, Ignaz Jan with Ludwig Bronarski and Jozef Turczynski. Fvderyk Chopin: Complete W o r k Book VI, Sonutus- Sixth edition. Cracow: National Printing Works, 1972- (First edition, Warsaw The Fryderyk Chopin Institute, Polish Music Publications, 1950.)

Written Sources

I. Wnfings before 1900


Adam, Louis. Mthode de Piano Forte du [Paris] Conservatoire. Paris, 1805. Facsimile reproduction, Geneva: Minkoff, 1974.

Agricola, JO h m Friedrich, Anleitung zur Singkunsi- Berlin, 1757- 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.

Brard, Jean-Baptiste. L 'art du chant- Paris, 1755. English translation and commentary by Sidney Murray. Milwaukee, Wisconsin: Pro Musica Press, 1969Clementi, Muzio. Introduction to the Art of PZaying on the Piano Forte. First edition. London, 1801. 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, 1820-21); in France ( k t edition, Paris, 1802; sixth edition, Paris, 1828); in Germany (first edition, Vienna and Leipzig, 1802; subsequent editions, 1806- 1844); and in Italy (Bologna, 1830).] Corri, Domenico. A Complete Musical Grammar. London, c. 1810.

Cramer, Johann Baptiste. insmctionsfor the Piano Forte. First ediion. London, 1812. m d edition: London, 1825; sUah edition: L o n d o ~ 1867. Nso published in Germany as Praktzsche Piano-Forte Schule (Leipzig, 1817 and 1832) and Ameisung das Pianoforte ,-uspielen ( M e 1825).]
Czerny, Carl. Complefe Theoretical and Practical Piano Forte School, Op. 500. Three volumes- London: Cocks & Co., c. 1830; reprint, 1839- [Ako published as Vollstandige theoretisch-praktische Pianoforte-Schule, Op. 500 (Vienna, 1850).]
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Recordinps Casadeus, Robert. Chopin: Sonatu No. 2 in B-flat Minor. Op. 35- London, Canada: Columbia Masterworks ML2025 LP record,

Grainger, Percy. Percy Grainger: Voime 1 1 - Wadhurst, E Sussex: Pavilion Records Ltd., 1993. Pearl Germn CD 9013. Compact disc.
H o f i a n , 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.
f Sergei Rachminofl Volume 1. RCA Camden: CAL Rachrnaninoff, Sergei- The Art o 396, c. 1935. LP record,

Tanyel, Seta. Chopin. England: Collins Classics, 199 1. CD 12 192. Compact disc.

Van Oort, Bart. Chopin: Nocturnes, Op. 9, 15, 32. 62, Op-posth. Stemm BriHiant
CIassica 99 155 (Utrecht, 1998). Compact disc.