! ! ! ! ! Christopher Tarrant! Royal Holloway, University! of London! ! ! Schubert, Sonata Theory, Psychoanalysis: ! Traversing the Fantasy in Schubert’s Sonata Forms! ! ! Submission for the Degree of Ph.D! March! 2015! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! "1 ! Declaration of! Authorship ! ! I, Christopher Tarrant, hereby declare that this thesis and the work presented in it is entirely my own. Where I have consulted the work of others, this is always clearly stat- !ed. ! ! ! Signed: ______________________ ! Date: March 3, 2015# "2 ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! For Mum and Dad "3 Acknowledgements! ! This project grew out of a fascination with Schubert’s music and the varied ways of analysing it that I developed as an undergraduate at Lady Margaret Hall, University of Oxford. It was there that two Schubert scholars, Suzannah Clark and Susan Wollen- berg, gave me my first taste of the beauties, the peculiarities, and the challenges that Schubert’s music can offer. Having realised by the end of the course that there was a depth of study that this music repays, and that I had only made the most modest of scratches into its surface, I decided that the only way to satisfy the curiosity they had aroused in me was to continue studying the subject as a postgraduate.! ! It was at Royal Holloway that I began working with my supervisor, Paul Harper-Scott, to whom I owe a great deal. Under his supervision I was not only introduced to Hep- okoskian analysis and Sonata Theory, which forms the basis of this thesis, but also a bewildering array of literary theory that sparked my imagination in ways that I could never have foreseen. It is largely owing to Paul that my research has followed more humanistic lines of enquiry, rather than the more narrowly analytical project that I origi- nally had in mind, and for this, I thank him. It has been a great pleasure to work with him, and it is on his account that my thinking, both analytically and politically, has un- dergone such a revolution. Ideas that I once took for granted, that seemed to stand on the strongest possible foundations, have been cast into doubt. The instances when our opinions differed were sometimes unsettling, but all the more so were the times I found us to be in perfect agreement.! ! For their support, I must thank several academics and colleagues, past and present, in the Department of Music at Royal Holloway. Julian Johnson, Geoffrey Chew, Anne Hy- land, Henry Stobart, Stephen Rose, and Jim Samson have each in their various ways provided valuable advice and guidance, and have brought my attention to avenues that "4 I would otherwise have been unconscious of. I must also thank those who it has been my pleasure to teach courses for. Rachel Beckles-Wilson, Erik Levi, Helen Deeming, and Brian Lock, as well as those mentioned above, have each offered me valuable teaching experience during my time as a PhD student, and have been a pleasure to work with. Special thanks go to Geoff, who has been consistently supportive and whose course in analysis of tonal music it was my pleasure to assist in for three years.! ! I must also thank my fellow supervisees for their support and their patience during our regular research seminars. John Ling, Annika Forkert, Jess Williams, Michael Graham, and Sarah Moynihan have all endured my lengthy presentations and have offered their thoughts and criticisms at seminars in Egham, London, and Oxford. These meetings, which were painstakingly arranged by Paul Harper-Scott, have provided aIl of us the regular opportunity to present substantial pieces of work in a friendly environment. This is an enviable position to be in as a research student. I can only hope that my input on their work was as valuable as theirs has been on mine.! ! My family have been especially supportive in the final year of my PhD. My sister Catherine, who has also been studying at Royal Holloway, has been an excellent lis- tener as I have tried to form my ideas aloud, and has provided me with some insightful feedback. Extra special thanks go to my parents, without whom I would have been probably homeless and certainly destitute. Having lived away for 8 years, they offered me a roof over my head and the means to complete my research without ever (sincere- ly) raising the question of whether moving back home was an inconvenience or an im- position. Without their help my research would have come to a juddering halt. I owe them a debt I can never repay.! ! There are a great number of friends, housemates, and colleagues that have assisted me in more nebulous ways. Members of Royal Holloway Philharmonic Orchestra, "5 whom it has been my honour to conduct, have been like a family in the past four years. There is also the great number of postgraduates at Royal Holloway who have offered feedback on my research at colloquia and study days, the undergraduates that I have taught in analytical courses, and the good people of the Beehive pub on Middle Hill, whose conversation has been both fascinating and inexhaustible. ! ! Special thanks go to my closest friends. In London, John Brunton, Rosie Perry-Gosling, Lindsay McCormick, Rebecca Mitchell, John McClean, Jonathan Downing, Emily Hutchison, Mai Perry-Gosling, and especially Katie Vernon, who kept me sane, and Natalie Wild, who kept me going in the final stages and whose support I could not have done without. In Southampton, where I worked on the final stages of the thesis, I must thank Gregory Felton, Craig Lawton, Kaz Huxley, Fiona Jeppsson, Martin Jeppsson, Michael Sims, and Stephen Belding.! ! At Royal Holloway I was lucky to have a varied social life which seemed to blur uncon- trollably with my work and extra-curricular engagements. Peter Mankarious, Olly Saps- ford, Gylfi Heimisson, Laura Beardsmore, Rachel Topham, Rebecca Day, Lissie Paul, Lydia Ross, Vicky Head, and a great many others made sure that the necessary breaks from work for a game of chess or a glass of lemonade were never difficult to arrange.! ! All the people who have played a positive part in my life, and therefore my work, in these four years are too numerous to credit without omission. That said, I will attempt this anyway in the form of an alphabetical list, which I can only hope will cause the least possible offense among those included and those I have forgotten. Listed or not, you are all amazing. You are: Naomi Bath, Cecily Beer, Robbie Bowering, Aphra Bruce- Jones, Nick Cary, Alicia Chaffey, Oliver Chandler, Helena Clarke, Martin Danagher- Smith, Penny Davis, Nic Fisher, Will Finch, Jo Furnell, Matt Gallagher, Lewis Gaston, "6 Alex Gatton, Sue Geddes, Caspar Green, Andrea Harding-Smith, Hannah Hayes, Rachel Hedger, Lizzi Hewitt, James Hill, Patrick Tapio Johnson, Alex Joyce, Maarit Kangron, Kit Kimbell, Jonny Lane, Charlotte Marino, Ruth McConkey, Johanna Meindl, Aliide Naylor, Rupert Mellor, Alice Norman, Robin Palmer, Jessica Pitt, David Pitwood, Chris Preddy, Tom Robson, Livia Roschdi, Montgomery Sadler, James Savage-Han- ford, Jonathan Scott, Emily Sheath, Keith Smith, Ewan Stockwell, Matthew Stanley, Joanna Stoneham, Mark R. Taylor, Kate Telfer, Tom Theakston, Matthew Thornley, JT Tindall, Charlotte Tulloch, Harriet van der Vilet, Sofie Vilcins, Claire Waterhouse, Julia Weatherley, Lynette Wild, Mick Wild, Charlie Wild, Kaitlin Wild, Simon Wilkins, Cat Williams, and Michael and Bele Zemlin. ! ! "7 Abstract! Franz Schubert has been the subject of much debate in recent decades, from analytic- al, biographical, and hermeneutic perspectives. In the context of the emergence and ongoing engagement with James Hepokoski’s and Warren Darcy’s Elements of Sonata Theory, it is especially timely now to attempt a reassessment of Schubert’s instrument- al music. The present critical consensus among Schubert scholars is that his treatment of sonata form presents a strong critique of Beethoven’s practice - a practice which has formed the basis of music analysis from the mid-nineteenth century to the present, in- cluding Sonata Theory. The thesis investigates how Schubert’s sonata forms interact with Hepokoski’s and Darcy’s Sonata Theory, and attempts a critical reappraisal of Schubert’s construction as the ‘anti-Beethovenian’. Hepokoski’s and Darcy’s theory provides a framework for analytical engagement with a wide range of musics from the mid-eighteenth to the late-nineteenth centuries, and also sets the foundations for a more interpretative approach which goes far beyond merely structural taxonomy. In the course of the thesis, an extensive investigation into the vast array of forms that Schubert composed will lay the foundations for a more developed reappraisal of Schubert’s music along more humanistic lines.! ! The thesis opens with an analysis of Schubert’s String Quartet in G, D. 887, which pos- its that there are a number of observable inconsistencies and ambiguities which provide a foothold for further interpretation. After an appraisal of Schubert’s current standing in the literature in Chapter 2, and in light of a complete analysis of Schubert’s sonata output in Chapter 3, Chapter 4 aims to supplement and critique the theoretical underpinning already established in Elements of Sonata Theory. The interpretative as- pect of the thesis is grounded in theories of intertextuality and psychoanalysis which are developed in Chapter 5, drawing principally on theories from Lacan and $i%ek. The "8 practical application of this research is demonstrated in Chapters 6 and 7, which demonstrate the benefits of this newly theorised approach.# "9 Contents! List of Figures! 12! List of Tables! 13! 1. Introduction: Schubert’s Quartet in G, D. 887.! 14! 1.1 The G Major Quartet, D. 887! 16! 1.2 Formal Ambiguity! 28! 1.3 Tonal Ambiguity! 33! 1.4 The Work as a Whole! 37! 2.