Classical form: a theory of formal functions for the instrumental music of Haydn, Mozart, and Beethoven 9780195104806, 9780199881758, 9780195143997

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CLASSICAL FORM

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Classical Form A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven

WILLIAM E. CAPLIN

OXFORD UNIVERSITY PRESS

Oxford University Press Oxford New York

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Copyright © 1998 by Oxford University Press First published in 1998 by Oxford University Press, Inc. 198 Madison Avenue, New York, New York 10016 First issued as an Oxford University Press paperback, 2001 Oxford is a registered trademark of Oxford University Press All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior permission of Oxford University Press.

Library of Congress Cataloging-in-Publication Data Caplin, William Earl, 1948Classical form : a theory of formal functions for the instrumental music of Haydn, Mozart, and Beethoven / William E. Caplin.

p. cm. Includes bibliographical references and index. ISBN 978-0-19-510480-6; 978-0-19-514399-7 (pbk.) 1. Musical form. 2. Instrumental music—18th century—Analysis, appreciation. 3. Instrumental music—1gth century—Analysis, appreciation. 4. Musical analysis.

s. Classicism in music. 6. Music—Theory—zoth century. 7. Haydn, Joseph, 1732—1809— Criticism and interpretation. 8. Mozart, Wolfgang Amadeus, 1756 -1791— Criticism and interpretation.

9. Beethoven, Ludwig van, 1770-182 7—Criticism and interpretation. I. Title. MT58.C37_—-1997--97-25561

Printed in the United States of America on acid-free paper

‘To my parents, ARTHUR AND NATALIE CAPLIN

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PREFACE

This project owes its origins to a specific curricular require- teaching stimulated many new ideas and helped keep me

ment of all music students at McGill University. Shortly honest. I particularly want to acknowledge the efforts after my arrival here in 1978, I was asked to teach asemes- _— of Patrick McCreless, William Rothstein, and M. Evan ter course on form that was restricted to music in the classi- | Bonds, who read substantial portions of the book and ofcal style. I soon discovered that the standard textbooks, fered numerous suggestions for its improvement. All rewhich surveyed a much broader stylistic field, did not ad- —s maining errors and misinterpretations are, of course, endress many issues particularly associated with the music of __ tirely my responsibility.

Haydn, Mozart, and Beethoven. I thus turned back to ma- The musical examples were prepared with the help of terial that I had first encountered several years earlier ina Peter von Holtzendorff, Cathrine McKinley, Suzanne Davies, seminar on musical form given by Carl Dahlhaus at the William Brock, Frangois de Médicis, and James Wright; I Berlin Technical University, in which the principal refer- | thank Keith Hamel for allowing me to use early versions of ence work was Erwin Ratz’s Einftibrung in die musikalische his music notation program NoteWriter II. I also thank Formenlebre. 1 began incorporating into my course at McGill | Maribeth Payne and her colleagues Soo Mee Kwon and some ideas from this treatise, as well as similar material | Cynthia Garver at Oxford University Press for their interfrom Fundamentals of Musical Composition by Arnold Schoen- _ est in my work and for their many suggestions on how to

berg, with whom Ratz had studied. make it a viable publication. Finally, my wife, Marsha, has My own expansion of these concepts of form reached a _ sustained me throughout my endeavors to bring this work sufficient stage of development to begin writing this book —_ to completion; for her patience and encouragement I am during a sabbatical leave in 1984-85. In subsequent years, _ especially grateful. earlier drafts of this book were used as a reference text in a Research for this project was generously supported by variety of classes at McGill, as well as at Yale University, the grants from the Social Sciences and Humanities Research University of Ottawa, and the Université de Sherbrooke. | Council of Canada and from the Faculty of Graduate StudAlthough I have written this book as a comprehensive theo- _ies and Research, McGill University.

retical treatise, the reader will quickly discern a distinct Portions of this book have appeared earlier in article pedagogical tone, betraying its origins in the interactive ex- form. I want to thank the publishers for permission to in-

perience of classroom instruction. corporate material from the following articles: AMONG THE MANY PEOPLE who helped me realize this “The ‘Expanded Cadential Progression’: A Category for project, I must first mention the considerable stimulus and the Analysis of Classical Form.” Journal of Musicological

encoufagement offered dialogue by Janes Schmalieldt with whom ave had a continuing on almost every topic I Research 7 (1987): 215-57.

treated in this book. "Tes nant with me at noes P p- “Hybrid Themes: Toward a Refinement in the Classifiproached a collaborative effort, and her teaching of this cation of Classical ‘Theme ‘Types,’ Beethoven Forum 3 material helped me shape the diverse collection of ideas (1994): 151-65. and concerns into a systematic theoretical —analytical ap- “Funktionale Komponenten im achttaktigen Satz,’ proach. At various stages of the project I also received Musiktheorie 1 (1986): 239-60. significant help and support from Brian Alegant, Bo Al- “Structural Expansion in Beethoven’s Symphonic phonce, Elliot Asarnow, Wallace Berry, Richard Braley, Forms,” in Beethoven’s Compositional Process, ed. William

William Drabkin, Michelle Fillion, Ingeborg Pfingsten Kinderman, 27-54. Lincoln: University of Nebraska Giirsching, Steven Huebner, Patricia Kerridge, Cynthia Press, 1991. Leive, Donald McLean, Leonard B. Meyer, Christopher Reynolds, Lewis Rowell, Norma Sherman, Peter Schu-

bert, and Elaine Sisman. In addition, I owe much gratitude Montreal W. E. C.

to the many students at McGill whose response to my March 1997

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NOTE ON THE MUSICAL EXAMPLES

I have used as many musical examples as feasible to illustrate the various voices into different octaves and inverting the the theoretical issues presented in this book. In order to draw _ inner parts. In addition, I sometimes rewrote orchestral acmaximum efficiency from the examples, I have often used | companimental figurations in order to make them easier to single examples to illustrate multiple theoretical issues. Asa _ play at the piano. I tried to keep the melody and bass line as result, the book contains numerous cross references toexam- _close to the original as possible. The added harmonic ana-

ples within and between chapters. Thus I ask the reader to _—lyses are based on the complete texture of the original refer to earlier appearing examples and even, though much _ sources and thus may sometimes not correspond exactly to less often, to look ahead to examples that appear later than _ the transcriptions (e.g., a IIS label may be used where the their mention in the text. In a number of cases, [have broken _ transcription merely shows a II® chord). up a relatively long musical passage into individual examples, Works by Beethoven are labeled by opus numbers. Works so that the music may be located near its discussion. Starting | by Mozart are identified by their original K6chel numbers as with part II, the example discussions, which illustrate the im- _ well as by a revised number, where necessary, from the sixth mediately preceding points of theory, are printed in reduced _ edition of the Kéchel catalogue (e.g., K. 250/248b). Haydn's type so that they may be distinguished from the flow of the — symphonies are numbered according to Hoboken group I;

general theoretical presentation. his string quartets are labeled by their traditional opus numTo save space, I have reset all the examples as “reduction _ ber; and his other works are given complete Hoboken numtranscriptions,” in which the texture is compressed into a __ bers. The reference to “piano” in any work citation or capsingle staff. This procedure often resulted in my shifting tion is generic for the appropriate keyboard instrument.

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Introduction

PartI Preliminaries , 1 Some Basic Formal Functions: An Overview 9

Sentence 9 Period 12 Small Ternary 13 ~~ Framing Functions 15 Interthematic Functions: A Sonata Exposition 17

2 Fundamental Progressions of Harmony = 23 Harmonic Functions 23 Harmonic Progressions 24

Part II Tight-Knit Themes

3 Sentence 35 Presentation Phrase 35 Continuation Phrase 40

4 Period 49 Antecedent Phrase 49 Consequent Phrase 53 — Deviations fromthe Norm 55 5 Hybrid Themes and Compound Themes — 59

Hybrid Themes 59 Compound Themes 63 6 Small Ternary = 71 Exposition 73 Contrasting Middle 75 Recapitulation 81 Tight-Knit Versus Loose Organization 84

7 Small Binary 87 First Part 87 Second Part 89 Part I11_ Looser Formal Regions

8 Subordinate Theme 97 Looser Sentential Functions 99 . Additional Loosening Techniques 111 : Multiple Subordinate Themes 121 Closing Section 122 Dynamic Curve of Subordinate Theme 123

g Transition = 125 Modulating Versus Nonmodulating Transitions 127 — Beginning the Transition 127

Ending the Transition 131 Two-Part Transition 135

xii CONTENTS

10 Development _—_139 Tonal Organization 139 — Pre-Core/Core Technique 141 Development Sections

Without a Core 155 — Retransition 157

11 Recapitulation 161 Main Theme 163 Transition 163 Fusion of Main Theme and Transition 165 Subordinate Theme (Group) 167 Additional Features 171 Deviations from the Norm — 173 12 Coda =s-1179

Start of the Coda 181 — Phrase-Structural Organization 183 | Compensatory Functions 186

PartIV Full-Movement Forms 13 SonataForm = 195 Overall Tonal Organization 195 Cadential Goals in the Exposition 196 | Main Theme 197 Obscured Boundary Between Transition and Subordinate Theme 201 — Slow Introduction 203

14 Slow-Movement Forms —209 Sonata Form in Slow Movements 209 Large Ternary 211 ~~ Sonata Without Development 216 Theme and Variations 216

15 Minuet/Trio Form , 219 Minuet Form 220 ~=8 Trio 229

16 Rondo Forms 231 Five-Part Rondo 231 Sonata—Rondo 235

17 Concerto Form 243 Opening Ritornello 244 Solo Exposition 245 — Subordinate-Key Ritornello 248 : Solo Development 249 Solo Recapitulation 249 Closing Ritornello 250 Glossary of Terms = 253

Notes 259 Bibliography 289 Index of Classical Compositions 293

General Index 298

CLASSICAL FORM

Watch the harmony; | watch the root progressions; watch the bass line. Schoenberg, Fundamentals of Musical Composition

INTRODUCTION

The time is ripe for a new theory of classical form. Despite Like most theories of form, the various procedures and many recent, distinguished studies devoted to the instru- _ techniques are investigated in increasing order of complexmental works of Haydn, Mozart, and Beethoven,' most _ ity, thus following somewhat the hierarchy of an individual writers continue to describe the formal organization of this | movement from the local to the global. To give the reader music using ill-defined concepts and ambiguous terminol- _a general orientation to the theory before plunging into ogy derived from theories that have long fallen into disre- | more detailed examinations of specific formal types, the pute. Once a venerable subdiscipline of music theory, the | opening chapter of part I (“Preliminaries”) surveys the traditional Formenlehre (“teaching of form,” often by means _ basic precepts of the theory; the second chapter then deof comprehensive treatises) has largely been abandoned by _ fines the fundamental harmonic progressions that play theorists and historians, for many reasons. These include such crucial roles in establishing formal functions. Part the influence of Heinrich Schenker’s critique of form as __ II (“Tight-Knit Themes”) describes the principal forms a foreground manifestation of more fundamental contra- _ characteristic of main themes—sentence, period, hybrids, puntal—harmonic processes; the acceptance of a historicist small ternary, and small binary. Part III (“Looser Formal attitude that eighteenth-century music is best analyzed by Regions”) discusses the formal organization of broader exeighteenth-century theories; and the mistrust by the “new _ panses within a movement—subordinate theme, transimusicology” of systematic, classificatory models of musical _ tion, development, recapitulation, and coda. Part IV (“Full-

organization. . Movement Forms”) examines the large-scale formal designs

This book is intended to revive the Formenlebre tradition of entire movements—sonata, sonata without developby establishing it on more secure and sophisticated founda- = ment, large ternary, theme and variations, minuet/trio, tions. The theory here formulates coherent principles and _ rondo, and concerto. proposes clear terminology to serve as theoretical tools for The following points highlight features of the theory analyzing form at all hierarchical levels in a single move- _ that distinguish it from earlier theories of musical form in ment.” An extensive set of annotated musical examplesdrawn _ general and classical form in particular.

from the standard instrumental genres illustrates the theo- The theory is based on music of a single style. My investigaretical concepts and provides models of formal analysis.’ tion is limited to the instrumental music of Haydn, Mozart, The immediate sources of inspiration for this study are and Beethoven as representing the core repertory of the the principles of form introduced by Arnold Schoenberg __ high Viennese classical style (ca. 1780—1810).’ This restricearly in this century and eventually published in his Funda- _ tion is due as much to theoretical as to practical consideramentals of Musical Composition. Schoenberg’s ideas were tions. Though extraordinarily individualistic in melody, then developed by his student Erwin Ratz in Einfiihrung in rhythm, and dramatic expression, works in this style are die musikalische Formenlebre. Central to the concern of these — grounded in a highly sophisticated set of compositional theorists is the notion that the formal units of a work play —_ conventions, what are identified here as formal functions. specific roles in articulating its overall structure. Ratz, in | Indeed, a good deal of the aesthetic pleasure that we gain particular, proposed a fundamental model (Urform) of five from listening to this music involves the interaction of our “formal functions.”> Whereas his model generally operates = (often unconscious) understanding of functional norms at a single, relatively background level of a given composi- _ with their particular manifestations in a given work. Altion, the theory developed here identifies a multitude of though tonal music from earlier and later periods (baroque, functions discernible at all levels in a classical movement. early classical, romantic, and late romantic) also exhibits Thus this study strives to realize ideals implicit in the writ- _ formal functionality in a variety of ways, form in these periings of Schoenberg and Ratz by formulating a comprehen- _ ods is considerably less conventional, thus frustrating the

sive theory of formal functions.® establishment of general principles. In classical music, how3

4 INTRODUCTION ever, formal functions can be defined and illustrated with _—_ dissimilarities of melodic—motivic material. But contrary

much greater clarity. to common opinion, the formal function of an individual The theory emphasizes the role of local harmonic progression _ group does not depend on its motivic content. The appearas a determinant of form. Theorists and historians widely rec- _ ance of a particular melodic motive—leaving aside its imognize that the form of a classical work is determined in _ plied harmony—rarely determines its formal expression. In

large part by its pitch organization. Most current discus- _fact, a single motive can saturate a musical composition sions, however, have centered on how the succession of var-_ _—- without obscuring the form, precisely because motives carry

ious tonal regions or keys within the home tonality is re- _ little in the way of functional implications.'! Given that this sponsible for creating relatively high level formal designs.’ _ theory minimizes motivic relationships as a criterion of forLess attention has been paid to how formal functionality at_ —_— mal functionality, it largely sets aside, ironically, Schoena movement's lower levels is defined by specific progres- _ berg’s own preoccupation with Grundgestalt and “developsions of harmonies in a given tonal center, be it the home _ing variation.”!? key (tonic) or related keys (dominant, mediant, etc.). In my The theory establishes strict formal categories but applies them theory, local harmonic progression is held to be the most _ flexibly in analyses. One reason that the traditional Formenimportant factor in expressing formal functions in themes _/ehre has fallen out of favor with many historians and theo(or themelike units). This detailed study of the ways in _rists is their belief that the use of rigid, abstract categories which surface harmonies and their progressions relate to —_ of form results too often in procrustean analyses that obform distinguishes my approach from virtually all previous _scure diversities in style and distort the individuality of the

theories. musical work. Yet forsaking categories would make it alThe theory clearly distinguishes formal function from group- _ most impossible to generalize about formal organization, ing structure. To the extent that traditional theories of form —_and such a situation runs counter to most musicians’ intu-

employ labels indicating formal functionality (like ante- _itions that classical form features regularly recurring patcedent, consequent, main theme, transition, exposition, and _ terns of conventionalized procedures. Alternatively, broad-

coda), such identifications usually correspond directly toa ening the categories to accommodate virtually all formal work’s “grouping structure”—that is, to the variety of dis- instances would seriously undermine the general theoretical crete time spans organized hierarchically in a work.’ In _ framework, throw into doubt the meaning of the categories, other words, a given musical group (unit, part, section) is and obscure the line between what is, or is not, an exempliassigned a single functional label, and, conversely, a given _ fication of a given formal procedure. function is understood to take place within the confines of a In this book, categories of form are defined in as precise single group. In the theory presented here, on the contrary, _ and restricted a manner as possible. These categories are formal functionality arises from harmonic, melodic, and comparable to what Carl Dahlhaus, following Max Weber, rhythmic processes that are not necessarily the same as calls “ideal types” (Idealtypen) and thus represent abstracthose that create the work’s grouping structure. Function _ tions based on generalized compositional tendencies in the and group are often congruent, but this need not always be _ classical repertory. A category is not necessarily meant to the case. In some situations, a group may express more than ___ reflect frequency of occurrence in a statistical sense: it is one function simultaneously; for example, continuation and _ often the case that relatively few instances in the repertory cadential functions may fuse together in a single four- _ correspond identically to the complete definition of a given measure phrase (see chap. 3). At other times, several con- _—_ category. Nor are categories meant to represent standards secutive groups may express the same formal function, such _ of aesthetic judgment, such that passages deviating from the as when a number of distinct phrases with highly contrast- —_—snorm are devalued in any respect.

ing melodic—motivic material are supported by one ex- By strictly defining categories of form, it is possible to panded cadential progression (see chap. 8). Finally, a given | apply them in analysis with considerable flexibility. Algroup can at first be understood as expressing a particular § though many situations can easily be seen as exemplars of a function but then be reinterpreted as another function (e.g., given category or procedure, many others defy simple clascodettas of postcadential function are frequently under- _ sification. In such cases, one can present the range of opstood retrospectively as an initiating function).'!° Thus in _ tions and identify which individual characteristics of the this theory, grouping structure and formal function are con- —_— musical passage conform to, and depart from, the definiceived as different, yet interactive, dimensions of musical _ tions of established formal conventions.

form. It is important from the outset that certain limitations of

The theory minimizes motivic content as a criterion of formal the theory be clearly spelled out. function. Most theories of form rely heavily on the identifi- The theory is not a comprehensive account of “form” in music. cation of melodic and motivic relationships for determining § Many of the phenomena and issues broadly associated with

a work’s formal organization. To be sure, the grouping “musical form” are not treated here. For example, the role structure of a given piece is often based on similarities and —_—of motivic development in delineating form is, as already

INTRODUCTION 5

discussed, largely downplayed in this study. The notion of _ taking advantage of the full history of music-theoretical form as “durational proportions” is not explored except to — thought (which certainly includes the work of theorists the extent that relatively symmetrical phrase groupings _postdating the classical period). As fascinating and sugges(4 + 4, 8 + 8) are contrasted with asymmetrical ones as _ tive as contemporary writings may be, their ideas on musimore or less appropriate to certain formal situations.'3 The _cal form are limited by a rudimentary theory of harmony ways in which the “dynamic curve” of a work helps define (which understands little about harmonic progression at its form are discussed in a number of contexts but are not —_—smultiple levels) and a lack of familiarity with the huge classtudied exhaustively.'* The relationship of formal function __ sical repertory that we have at our fingertips today. An into Schenker’s conception of form and to other approaches _ vestigation of the extent to which late-eighteenth- and early-

influenced by him are barely touched on.!5 Finally, many _nineteenth-century theory incorporates form-functional traditional Formenlebren include considerable material on _ observations would be highly revealing, but it must be postthe various genres of musical composition. Matters pertain- _ poned for a later study. ing to genre arise now and then in this book, but much in- The theory is empirical and descriptive, not deductive and preformation has been omitted because of its ready accessibil- _scriptive. The account of classical form given here is a “theity in the standard sources (New Harvard Dictionary, New ory” only in an informal sense (though no less rigorous in

Grove). intent). Principles are derived from empirical observation The theory does not include late-eighteenth- and early- and are largely descriptive. No attempt is made to ground nineteenth-century accounts of form. Much of the recent work __ the concepts in some broader system of mathematics, logic, on classical form has been inspired by a renewed interest in _ cognition, or the like, and no proof is offered for the many

the authority of theorists contemporary to classical com- _ assertions made. For some scholars, what is presented here posers.'© Some music historians are thus likely to be disap- | would indeed not even count as a legitimate theory. I reject pointed that the theory presented here makes little refer- _ the notion that a humanistic theory must resemble a scienence to earlier writings on form. This omission is largely _ tific, axiomatic system, but I welcome any future attempt to motivated by the goal of developing a modern theory, one _ formalize the observations and principles proposed in what

that permits an unfettered rethinking of formal issues while _ follows. |

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I

PRELIMINARIES

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I

e td

Some Basic Formal Functions: An Overview Most musicians have a general notion of what constitutes _ ory defines a set of formal processes (e.g., repetition, fragmusical form. If asked, they would probably respond that —‘ mentation, extension, expansion)-and a set of formal types form concerns itself with how the various parts of acompo- __(e.g., sentence, periad, small ternary, sonata, rondo). Along sition are arranged and ordered; how standard patterns of _ the way, a host of concepts associated with harmony, tonalrepeated material appear in works; how different sections of _ ity, and cadence are introduced and examined. The purpose a work are organized into themes; and how the themes _ of this chapter is to present some fundamental principles of themselves break down into smaller phrases and motives.! _ the theory by way of selected excerpts from the Viennese Indeed, this general understanding of form isa fairly accu- _ classical repertory. Since what follows in this chapter is rate one and can be used as the basis of a more detailed in- —_ merely introductory, many of the ideas are only partially exvestigation into how the parts of a musical work are defined _ plained. The reader thus may wish at times to look ahead to

and distinguished from one another. later chapters, in which all the concepts are fully developed More technically, the form of a musical work can be de- _and illustrated and more complete references to the scholscribed minimally as a hierarchical arrangement of discrete, _ arly literature are cited.

perceptually significant time spans, what has been termed I begin by illustrating the concept of formal function in the grouping structure of the work. Each group—a self- _ connection with the three most important theme-types of contained “chunk” of music (as psychologists would say) at _ classical instrumental music—the sentence, the period, and one level of the hierarchy—can be identified most neutrally the small ternary. Each contains a conventional set of for-

in terms of its measure length. Thus we speak of a two- __ mal functions that operate in the structural boundaries of measure idea grouping with another two-measure idea to __ the theme. Next I examine some additional functions that form a four-measure phrase, which in turn may group __ frame the boundaries of these themes. Finally, I consider with another phrase of the same length to form an eight- how themes themselves can acquire unique formal funcmeasure theme, and so on. (Grouping structures are not al- _ tions at a higher level of structure, namely, the exposition

ways so symmetrical, of course.) section of sonata form. Such identifications by measure length have limited value,

since they say nothing about the content of the groups or how they relate to one another (except in regard to duration. SENTENCE Thus, most of the traditional theories of form identify some groups with labels, such as letters of the alphabet, which indi- Example 1.1, the main theme from the first movement of cate whether the musical content of a group is the same as, | Beethoven’s Piano Sonata in F Minor, Op. 2/1, presents similar to, or different from, another group (e.g., A-A’, _ perhaps the most archetypal manifestation of the sentence A-B-A’). Even more precise are labels that specify the for- form in the entire classical repertory. Indeed, this passage mal function of the group—that is, the more definite role that | was used by Arnold Schoenberg (the virtual discoverer of the group plays in the formal organization of the work. For _ the sentence as a distinct theme-type) for his initial example example, a given four-measure group may stand as an “an- _ of the form, and his student Erwin Ratz followed suit in the tecedent” phrase in relation to a following “consequent”; an _—introductory chapter of his treatise.’ | eight-measure group may serve as the “main theme” of a The sentence is normatively an eight-measure structure.‘ minuet; or a seventy-three-measure group may function as _It begins with a two-measure basic idea, which brings in

the “development section” in a sonata. the fundamental melodic material of the theme. The basic The theory presented here develops a comprehensive set idea frequently contains several distinct motives, which of such functions with the goal of analyzing classical form often are developed in the course of the theme (or later in more precisely than it has been before. In addition, the the- — the movement). 9

?,

6b i a 10 PRELIMINARIES

EXAMPLE 1.1 Beethoven, Piano Sonata in F Minor, Op. 2/1, i, 1-8

presentation continuation a rer ‘ — 1 i = —— ———? a tT ——— ° 3 . ° “, ° ‘\ Allegro . : 5 ~~ . , w | ~~ of J~-_-~ a - D si

TO EE ee ae ee Ey sv st v4 16 8 v basic idea (tonic version) repetition of b. I. (dominant version) fragmentation cadential idea

f . 2 6° ig] ane : » 5_.¢ Pe 6 = le 12% sty oN

EXAMPLE 1.2 Beethoven, String Quartet in F, Op. 135, ili, 3-10

(frag.) .

presentation continuation b.i. (exact) model . sequence ideairs rreenneneeenenann ae TNsequence re FOcad. men

OE ee, ee a

cantante ¢ , BY Lento aS eo J d A tranquillo 3 *assai, T 4 4 P) OJ . inp 6d 5» Th. e 8 7.ip — eee ee 9—,\——— 10 —_ a >: 1_G—_ 2: ZEEE OE CO - CO Oe - | ee ee ee Oe ee Lee. ee ee eee ee eee | 27° 20 RE 0 EE 1 2 EE [PE OE SS SES SE A SSE ED SERA SNES 7 SENS SOR JE 2 ee

Pp sotto voce —=p — p ———_—— p

pb:t (V4) I (V$ oT, V v7 svi ol vé § & wg 7) 1 \Av6\A roots; F Bb Eb Ab Dp

We can readily identify two motives (“a” and “b”) in this When the V$ of measures 3-4 resolves to I on the basic idea. But because Beethoven gives them to usin the | downbeat of measure 5, we can characterize the resulting form of a single gesture, we should thus regard the basic harmonic progression as tonic prolongational. As a general idea, not the individual motive, as the fundamental building _rule, all presentation phrases have tonic harmony at their block of the theme. Beethoven uses specific compositional __ basis. This tonic may be extended literally for four meadevices later in the theme to highlight more clearly the mo- _ sures or, more frequently, be expressed by a prolongational

tivic duality of the basic idea. progression featuring neighboring or passing chords. A preThe basic idea is repeated in measures 3-4. This repe- _ sentation is thus defined not only by its melodic—motivic tition has a number of significant effects, two of which can __ content but also by its harmonic organization.

be mentioned at this point. First, repeating the basic idea At this point we can observe a third significant effect of helps the listener learn and remember the principal melodic- —_ repeating a basic idea. Immediate repetition within a premotivic material of the theme. Second, repetition plays an _ sentation has the result of separating the individual ideas important role in demarcating the actual boundaries of the _ from each other. At the end of the phrase, we do not have idea: although the quarter-note rest at the end of measure 2. _—s the impression that thematic closure (or “cadence”) has suggests that the basic idea has ended, the sense of ending is _ been achieved. On the contrary, the strongly ongoing qualconfirmed when we perceive the idea starting over againin _ity created by a presentation generates demand for a continmeasure 3. As a result of repetition, the basic idea has been —_—wation phrase, one that will directly follow, and draw conse-

unequivocally “presented” to the listener, and so we can _— quences from, the presentation. speak of this music fulfilling presentation function and label The formal function of continuation has two outstanding

the first four measures a presentation phrase. characteristics: fragmentation, a reduction in the size of the Let us now consider the harmonic context in which the units; and harmonic acceleration, an increase in the rate of basic idea and its repetition are presented, for the underly- harmonic change. Both characteristics are manifest in this ing harmony of a passage is an essential criterion of its for- sonata theme.°

mal function. The basic idea expresses the root-position In the presentation phrase, the size of the constituent ‘tonic of F minor (the home key), and the repetition ex- _ units (i.e., the basic idea) is two measures. At the beginning presses the dominant. The basic idea is thus given originally _ of the continuation phrase, the units are reduced by a half. in a tonic version, also termed a statement, and the repetition _As in the presentation, the immediate repetition of the units in a dominant version or response; such an arrangement re- _helps clarify their size. When we hear the material of measults in a statement—response repetition of the idea. sure 5 starting over again in measure 6, we realize that the

SOME BASIC FORMAL FUNCTIONS 11

unit is only one measure long. In this example, the frag- | abandoning material from the basic idea and writing a caments derive motivically from the preceding ideas. But such _—_ dential melody that is not directly derived from the earlier

a motivic connection need not occur, for the concept of _ idea. fragmentation exclusively concerns the /ength of the musical Although continuation and cadential are separate func-

units, not necessarily their motivic content. tions, we can observe that the cadential idea of measures In the presentation phrase, the harmony changes every 7-8 grows naturally out of the preceding measures. The two measures. In the continuation, there is a steady acceler- _ processes of fragmentation, harmonic acceleration, and liqui-

ation in the harmonic rhythm. It is a particular feature of | dation begun in measure 5 extend all the way to measure 8, this theme that each of the component units through mea- _and thus the cadential material here seems to be genuinely a sure 6 contains a single harmony, and therefore fragmenta- _ part of the continuation process as well. Indeed, the two tion and harmonic acceleration go hand in hand. In many _ functions of continuation and cadential normally fuse into a cases, however, these processes are not congruent. We will _ single “continuation phrase” in the eight-measure sentence. encounter examples in which the units decrease in size | (We will see later in this chapter, in connection with a suborwithin a uniform harmonic rhythm or, conversely, in which — dinate theme, that the two functions can occupy individual an increase in the rate of harmonic change occurs without _ phrases of entirely different melodic—motivic content.)

any corresponding fragmentation of the units. A second example illustrates again the main features of Let us now briefly examine the motivic organization of _ the eight-measure sentence and also reveals some additional

the continuation phrase. We have already seen that the characteristics of the basic functions already introduced. fragmented units derive from the basic idea. To create the | Example 1.2 forms the opening theme of the slow movefragmentation, Beethoven simply detaches motive “b” from = ment from Beethoven's final published work, the String the basic idea, thus giving that motive special attention. An- Quartet in F, Op. 135. (The theme proper begins in meaother way of understanding this process is to say that mo- _sure 3; it is preceded by a two-measure introduction, to be tive “a” has been largely eliminated, that all that remains is discussed in connection with ex. 1.5.) Measures 3-4 bring a the leaping grace note of measures 5-6 and the arpeggiated _ basic idea whose repetition in the following two measures chord in measure 7. In that same measure, the sixteenth- _creates a presentation phrase. ‘The subsequent continuation note triplet, the most prominent rhythmic idea of motive _ features fragmentation of the two-measure idea into one“b.’ is abandoned, and the melodic descent occurs via _—s measure units and concludes with a perfect authentic cadence eighth notes instead. This systematic elimination of charac- | (PAC) in measure 10.8

teristic motives is termed /iguidation. Fragmentation and Let us now examine some details that distinguish this liquidation frequently work together, as in this example. In sentence from the preceding one. As before, the presentaprinciple, however, they are different compositional proc- _ tion phrase prolongs tonic harmony in root position.’ But esses: fragmentation concerns the lengths of units, and liq- | whereas example 1.1 contains a statement—response repetiuidation concerns the melodic— motivic content of units. tion of tonic and dominant versions, the repetition in this The continuation phrase of this sentence ends with a half example brings no fundamental change of harmony. Such a cadence (HC), which effects closure for the entire theme. Ca- _ repetition is termed exact, even when there are ornamental dential function is the third formal function—beside pre- _ differences in melody or harmony. sentation and continuation—in the sentence theme-type.’ Another difference between the examples concerns the A cadential idea contains not only a conventionalized har- _— content of the fragmented units. In the piano sonata, the monic progression but also a conventionalized melodic for- _‘ fragments retain a motive from the basic idea. In the quarmula, usually of falling contour. The melody is conventional tet, they bring entirely different melodic material. Yet because it lacks motivic features that would specifically as- _ structural fragmentation can still be identified there despite sociate it with a particular theme. In this sense, the caden- _ the lack of motivic connection between the basic idea and tial idea stands opposed to the basic idea, whose characteris- the shorter units of the continuation phrase. The fragtic motives are used precisely to define the uniqueness of | mented units of this example also display a new, third type the theme. When we hear measures 1-2, we immediately __ of repetition, in which the entire fragment in measure 7 is identify them as belonging to a specific piano sonata by _ transposed to different scale-degrees in measures 8-9. This Beethoven, but when we hear measures 7-8 alone, we _ sequential repetition is particularly characteristic of continuacould well imagine them closing any number of themes _ tion function. By convention, we refer to the initial unit

from different works. as a model and each unit of repetition as its seguence. Thus We can now understand that the purpose of motivic — sequential repetition can also be termed model-sequence

liquidation is to strip the basic idea of its characteristic fea-_ _— technique.

tures, thus leaving the merely conventional ones for the At the harmonic basis of sequential repetition is a sequencadence. Not all themes feature liquidation, and when __ tial progression of the harmonies—that is, chords whose they do not, the composer achieves the same end by simply __ roots are organized according to a systematic intervallic

12 PRELIMINARIES EXAMPLE 1.3 Mozart, Eine kleine Nachtmusik, K. 525, ii, 1-8

bi. ci. bi. c.i. (new) So oe ~ Spi .~ = ~ ~ LS aN re loaaan —~

antecedent consequent

pee gf]a Se s fg StSearss hb) 2 OB (a ae bp) a as ae a oe ee eePe) ae ee ee iP A eR ESS

ee ry FFT? ft ia

C: l gg-——— (V7) I (IV) I[re]vg ot vig 3) Ugg V7) I 6 116 (8 7) I ; pattern. In the example here, the roots progress by a series _ organization based largely on such cadential differentiation. of descending fifths (F, Bb, E+, Ab, Db). Harmonic sequence _If an initial unit ending with a weak cadence is repeated and is an important characteristic of a continuation. The ongo- _ brought to a fuller cadential close, then we can say, follow-

ing quality of such a progression—its projection of har- _ing traditional usage, that the first unit is an antecedent to monic mobility—coordinates perfectly with the forward _ the following consequent. Together, the two functions of animpetus to a goal associated with this formal function. tecedent and consequent combine to create the theme-type At this point we may inquire whether the continuation —_ normally termed period.

phrase of this excerpt brings about an acceleration of har- Like the sentence, the period is normatively an eightmonic rhythm, another trait of continuation function. The —_ measure structure divided into two four-measure phrases."! foreground harmonies progress at a fairly consistent rate of | Example 1.3, the opening of the slow movement of Mozart’s

two chords per measure, hence, no acceleration. But this Eine kleine Nachtmustk, K. 525, illustrates the model period level of harmonic activity does not necessarily conform to __ form. Like the presentation of a sentence, the antecedent our listening experience. The dominant seventh chords __ phrase of a period begins with a two-measure basic idea. that prolong the tonic in the basic idea and its repetition | The same features of a basic idea discussed in connection seem not to represent genuine harmonies in their own __ with the sentence apply to the period as well. Instead of imright; thus we perceive a kind of harmonic stasis through- —_— mediately repeating the basic idea, however, measures 3-4 out the presentation phrase.'° In comparison, the sequen- _ of the antecedent phrase bring a contrasting idea that leads to tial progression of the continuation phrase brings a palpa- _—a weak cadence of some kind.

ble sense of harmonic motion and increased activity. We The notion of a “contrasting” idea must be understood see, therefore, that an analysis of harmonic acceleration __ in the sense of its being “not-a-repetition.” The extent to can be problematic and requires careful judgment about —_ which a contrasting idea differs from a basic idea may be the relative structural importance of the constituent chords __ striking, as in the example here. At other times, however,

in the progressions. the contrast may be minimal. Nevertheless, the idea in As in the sonata example, the fragmented units of the = measures 3-4 of an antecedent phrase must be sufficiently quartet lead directly into a cadential figure to close the _ distinct from the basic idea that we do not perceive it to be theme. Here, however, the perfect authentic cadence cre- _a repetition, for if it were, we might very well believe that a ates a greater sense of closure than does the half cadence of _ presentation was in the making.

the previous example. It is difficult to generalize about the nature of a contrasting idea, but we can say that it often features characteristics

of continuation function such as fragmentation, an in-

PERIOD creased rate of harmonic change, harmonic sequence, and a

conventionalized melodic formula for the cadence. In The two themes from Beethoven just examined exemplify | Mozart’s theme, measures 3-4 (including the upbeat) re-

the principal features of the sentence, although they express _—_ veal obvious fragmentation and a degree of harmonic acthe main functions of the form in diverse ways. Most funda- _celeration.

mentally, the themes differ with respect to their cadential The consequent phrase of the period repeats the anteclosure. Whereas the sonata theme remains structurally in- cedent but concludes with a stronger cadence. More specifcomplete because of its ending with a half cadence, the _ ically, the basic idea returns in measures 5-6 and then leads quartet theme fully completes its essential harmonic and _to a contrasting idea, which may or may not be based on melodic processes by means of a perfect authentic cadence. _— that of the antecedent.'* In example 1.3, measures 7-8 That formal units can express varying degrees of caden- _ bring a distinctly different melody for the contrasting idea tial closure allows for the possibility of creating thematic of the consequent. Most important, of course, the contrast-

SOME BASIC FORMAL FUNCTIONS _ 13

ing idea must end with a cadence stronger than the one _ exposition, the contrasting middle is less often composed as closing the antecedent, usually a perfect authentic cadence. a conventional theme-type (indeed, the period form is never found). Rather, the B section has a /oose organization in relation to the more tight-knit A section. Although the

SMALL TERNARY distinction between tight-knit and loose organization has an

important role in this book, these expressions are first inA third fundamental theme-type, the small ternary, em- _ troduced as vague metaphors whose meaning in relation to braces a new set of formal functions. Two basic notions lie _ strictly musical phenomena must eventually be clarified. at the heart of this three-part design: (1) a relatively closed _ For the present, I will not attempt to define these notions; thematic unit is juxtaposed with a structurally open unit of __ rather, I will gradually demonstrate their significance in contrasting content and formal organization, and (2) the —_ connection with specific examples and the formal issues original unit is brought back, but ina manner that ensures _ they generate.!®

complete closure of the theme. The recapitulation (A’) of the small ternary has two main This formal scheme is traditionally indicated in letter functions: to complete the harmonic—melodic processes left notation as A~B-A’, and for convenience we can continue —_ open at the end of the B section (and by a modulating A sec-

to use this nomenclature for the small ternary form. Such _ tion) and to create a semblance of formal symmetry by proletter designations, however, are preferably supplemented _ viding a return of the exposition. In order to realize these by descriptive labels that specify more precisely the formal __ two functions, the A’ section is required, at the very least, to function of the three sections. Thus, the initial section is begin with the basic idea of the A section and to close with a termed an exposition; the later return of that section, a reca-__—perfect authentic cadence in the home key. On occasion, the pitulation; and the section that stands between these two,a _ recapitulation brings back the entire exposition unchanged.

contrasting middle." More frequently, however, the A’ section eliminates unnecThe exposition (A) of the small ternary form is frequently _ essary repetitions or further develops motives from the A

built as one of the conventional theme-types already dis- section. If the exposition has modulated to a subordinate cussed— namely, a sentence or a period. Less conventional __ key, the recapitulation must be adjusted to remain in the thematic designs are occasionally found there as well.'4 As home key so as to provide tonal unity to the theme. for its tonal plan, the section may remain throughout in its Example 1.4 shows the main theme of the second moveinitial tonality, the home key, or else the section may modu- _ ment of Beethoven’s Piano Concerto No. 1 in C, Op. 15. late to a closely related subordinate key (usually the dominant ‘The A section (mm. 1-8) is a fully conventional period: a region if the home key is major, or the mediant ifthe home —_ two-measure basic idea is followed by a two-measure conkey is minor). In either case, the exposition confirms that _trasting idea, leading to a weak, half cadence in measure 4; a key with a perfect authentic cadence, thus creating sufficient | consequent phrase then repeats the material of the anclosure to render the exposition a structurally independent —_tecedent and closes with a stronger, perfect authentic casection. We could say, indeed, that the A section emphasizes _—_ dence in measure 8.

tonic, since its closing chord and (almost always) its opening The B section (mm. 9-14) achieves its contrasting char-

one express this harmony.!> acter most obviously by new motivic content. More signifiThe contrasting middle (B) of the small ternary achieves _ cantly, however, it contrasts with the exposition by emphaits contrast foremost through harmonic means—namely, _ sizing dominant harmony. The section not only opens with by an emphasis on dominant. The final harmony of the sec- _ this harmony but also concludes with a half cadence in meation is almost always the dominant of the home key, and _ sure 12. The cadential dominant is further intensified by its frequently the section opens with this harmony as well. In |= own dominant (V3/V), both preceding and following the the simplest case, the B section consists entirely of a stand- _— cadence. From the upbeat to measure g through the begining on the dominant, a passage supported exclusively by a _ ning of measure 10, the dominant scale-degree also is em-

dominant prolongation. phasized when the bass line leaps down to the low Ebs on

This harmonic contrast is usually associated with new __ the second half of each beat.'’ All this dominant emphasis melodic and rhythmic material. In addition, the section generates considerable harmonic tension, which is eventumay feature changes in texture, instrumentation, and ac- _ally resolved in the recapitulation. companimental patterns. Contrary to popular belief, how- Let us now examine in detail the formal organization of ever, contrasts of this sort are of secondary importance and _ this contrasting middle. The section begins with a new two-

are not required of the form. The contrasting middle of | measure idea. Like the basic idea of a sentence or period many a small ternary is based entirely on the motivic and _ form, this idea is essentially grounded in tonic harmony de-

textural content of the exposition. spite its literal beginning with a dominant. The idea begins Finally, a word must be said about the general phrase- _—to sound again, in the form of an exact repetition, which, if structural organization of the B section. Compared with the _ realized, would create a normal presentation phrase. But in

14 PRELIMINARIES

bi.#7 c.i. _— -1 : mT ab.i.=ci.— EXAMPLE 1.4 Beethoven, Piano Concerto No. 1 in C, Op. 15, ii, 1-18

antecedent consequent Largo atPig5oM/ oa At 2 Gee a ee2 2.8b). Various chromatic alterations can convert the initial

,|

a) b) c) d) ¢) f) Jee ee| See eeE ee ee- SSa My ESSee ST * T S -ee L| S |S A EXAMPLE 2.9 Deceptive cadential progressions

Se PP ddisfdday! 2 a a a a a Sa aes es oe ee oe Se ee ee oe eee OoO——™E—E—~E—EF-' The smaller segments are frag- _ more difficult to decide whether every one of these chords

mented units or, more simply, fragments. belongs to the level of the idea unit—that is, whether they Just as the presentation uses repetition to define un- _—_all participate in the primary harmonic rhythm of the equivocally the size of the constituent units, so, too, isthe | theme. Sometimes, individual chords are merely ornamenshortening of the units usually confirmed by a repetition of __ tal and thus play no role in creating a sense of harmonic the fragments. Consequently, a continuation phrase most — change. At other times, the subordinate chords in an idea often begins with a one-measure idea, which is immediately unit have sufficient importance to be included in the analyrepeated in the following measure (as in ex. 3.5; see also exs. _—sis of the harmonic rhythm. 3-1, 3.2, and 3.7). Sometimes fragmentation does not occur until after the = "XAMPLE 3-10: The new melodic- motivic material at the begin-

continuation phrase has already begun (see ex. 3.4). Often #8 Of the continuation phrase is organized into a two-measure in such cases, the continuation starts as though it were Ut (mm. 5~6), thus maintaining the unit size already given by the going to restate the entire basic idea for a third time, but presentation. To compensate for the absence of fragmentation, before reaching its conclusion, the idea leads into new ma- Mozart accelerates the harmonic rhythm in these measures. To be sure, the IV chord introduced on the third beat of measure 5 (and

terial that effects the fragmentation (see ex. 3.8). preceded by its own dominant) is a neighboring chord in a rootThe process of fragmentation exclusively concerns the _position tonic prolongation. Nevertheless, compared with the lack length of the musical units, regardless of how the melodic _ of any ornamental chords at the level of the idea unit in the presen-

content of the fragments relates to the preceding mater- _tation, this embellishing of the tonic in the continuation creates a

42. TIGHT-KNIT THEMES EXAMPLE 3.11 Mozart, Piano Sonata in D, K. 311/28 4¢, iii, 1-8

b.i. x. frag. ete A = DAT = Tass we gd Daa |) dbaii pal A ad 2 Fes Ae TTT) presentation continuation

fp . . . yz J = s 5

D: | ————_——_ (ViI&)__ Vv —~----_-____ 6 $$ Sv (vif 8 Iv Vv sense of greater harmonic activity. Simply to ignore the subdomi- _ missing root of the tonic harmony (Bb) does not actually sound in

nant harmony of measures 5-6 in an analysis of the harmonic the bass part, as it did analogously after the downbeats in measures rhythm is to miss an important way in which the composer ex- 1 and 3. Instead, the lower line of measure 5 expresses a V3/II, presses the continuation function despite the lack of fragmentation. —_ which initiates a short descending fifth sequential progression, one

that continues in the following measure. The subsequent halfIncrease in surface rhythmic activity. The two principal cadential progression in measures 7—8 brings the theme to a close.}3

characteristics (fragmentation and harmonic acceleration) .

of continuation function involve rhythmic activity at a rela- To be sure, the sequential progression of the preceding tively high structural level in a theme. But rhythmic accel- example hardly represents a r adical overthrow of the preeration can also be projected by events lying at the very sur- _-Vailing tonic. Indeed, the descending fifth pattern is the face of the musical texture. The durational patterns formed = ™ost har monically functional of all the sequential pr ogresby the attack points of every note in a passage create vary- SIONS, and her eit leads quickly back to the tonic. It IS ening rates of activity. In comparison to the presentation, the OF ely appropriate in this case that the use of sequential harcontinuation function frequently features shorter note val- = Monies does not overly threaten the tonic’s stability. After ues, hence an increased animation in the surface rhythm, ll, this sentence serves as a ‘sonata-form main theme, Increasing surface rhythmic activity is particularly effective which, in principle, should retain a strong, tight-knit orga-

in the absence of harmonic acceleration. nization. For this reason, main themes do not normally exhibit significant sequential activity.

EXAMPLE 3.11: [he root-position tonic from the end of the presen- In fact, the use of sequence is rare in sentences that contation (m. 4) is maintained throughout the first two measures of the form to the eight-measure model, no matter where they continuation, thus slowing down the harmonic rhythm. To coun- ‘May occur within a movement. Because of the restricted terbalance this deceleration, Mozart introduces a flurry of sixteenth time span between the end of the presentation’s tonic pronotes, which increases toward the approach to the half cadence.?? longation and the beginning of the requisite cadential pro-

gression at the close of the theme, there is little room for Harmonic sequence. In most of the preceding examples, _ including enough harmonies to make palpable the sense of the continuation function is initially supported by a tonic | sequence. For this reason, sequential progressions occur prolongational progression. If the tonic remains in root po- —_—s Most often in a continuation when that function is extended

sition throughout the prolongation, then the harmonic sta- beyond its conventional four-measure limits, as in example bility established in the presentation is maintained in the 3.9, which is discussed later in this chapter in connection continuation, as in example 3.10 (see also exs. 3.2, 3.5, and —_ with deviations from the norm. 3-7). But if the tonic is allowed to change from root position

to first inversion, then the harmonic texture of the continu- Cadential Function ation is made less weighty and more mobile (see ex. 1.1).

Sequential progressions create even greater harmonic = Music in the classical style is often characterized as highly mobility within a continuation. Their inherent instability goal directed, and many of the principal goals in a composimake them especially suited for continuation function, one —_‘ ton are the cadences marking the ends of themes and theme-

of whose primary goals is to destabilize the harmonic con- _ like units. Identifying the cadences is thus a critical objec-

text established by the presentation. tive of any formal analysis. Unfortunately, traditional ideas of cadence are riddled with misconceptions that stand in EXAMPLE 3.6: The presentation features a standard tonic prolonga- the way of a truer understanding of this important compotion created by neighboring dominant chords. On the downbeat of sitional phenomenon.** The following discussion attempts measure 5, the two notes in the upper voices (D and F) represent to clear the air of some erroneous notions and to begin laythe expected tonic, which would complete the prolongation. The _ ing the foundations for a more complete and accurate con-

SENTENCE 43

cept of cadence than that found in most theories of musical when the composer systematically eliminates characteristic form. Additional issues of cadence will be raised in later melodic and rhythmic motives introduced in the basic idea, chapters as they pertain to formal situations other than the —_—a technique termed motivic /iquidation. Strictly speaking,

sentence. any elimination of a characteristic motive represents liqui-

dation, and thus in cases in which the continuation phrase Fundamental concepts of cadence. ‘To begin, let us differ- begins with material that contrasts with the presentation, entiate three usages of the term cadence (and its adjectival | complete liquidation takes place immediately. But liquidaform, cadential). The first refers to the cadential arrival, the _ tion is more palpable as a process when the elimination is specific moment in time that marks the structural end ofa _ gradual, reaching its completion in the cadential function.>” thematic region. More simply, this is “the cadence,’ the point at which a symbol such as PAC (perfect authentic ca- Classification of cadences. Cadences are classified into

dence) would be placed in the analysis. two main types based on the final harmony of the underlyThe second usage refers to the time span leading up to ing cadential progression. If the goal of the progression is this point of arrival, that is, the idea or phrase in the theme _ tonic, an authentic cadence is created; if the harmonic goal is

that communicates to the listener that “the cadence” is dominant, a half cadence (HC) is created. forthcoming. This passage of music can be said to have a ca- Authentic cadences are further subdivided according to dential function because it creates the requisite conditions for _the extent of melodic closure achieved at the cadential arthematic closure by means of specific harmonic, melodic, _riya].38 In a perfect authentic cadence (PAC), the melody

and phrase-structural devices. reaches the tonic scale-degree in conjunction with the onset The third sense of cadence refers to the particular type _of the final tonic harmony. In an imperfect authentic cadence of harmonic progression used to confirm a tonality. This ca- (14), the melody is left open on the third scale-degree (or, dential progression (which was extensively treated in the pre-__very rarely, the fifth degree). The half cadence is not subject vious chapter) is most often associated with cadential func- _ to further subdivision based on any such melodic criterion. tion. But it can also provide harmonic support for other These three cadences— perfect authentic, imperfect au-

formal functions, especially codettas. thentic, and half—are the only genuine cadences in music With these distinctions in mind, we can now define the _ jn the classical style. I must offer additional cadential labels, concept of cadential function in greater detail. Asa general —_ however, to cover situations in which an expected authentic

rule, the boundaries of the function are limited by its un- _ cadence fails to materialize. For example, if the final tonic derlying cadential progression. Thus, the initial harmony of _ of the cadential progression is replaced by a different harthe progression marks the beginning of cadential material mony (or occasionally by a tonic in first inversion), we rec(be it a short idea or a full phrase), and the onset of the final ognize that a deceptive cadence has appeared in lieu of the au- :

harmony articulates the point of cadential arrival. thentic cadence.’ Following the deceptive cadence, the Whereas the presence of a cadential progression is a composer normally repeats the material leading up to the necessary condition for cadential function, it is not a suffi- unrealized cadence and closes it with the authentic cadence cient one. The general formal context in which the passage originally promised. is located plays a significant role as well. A cadence essentially represents the structural end of broader harmonic, EXAMPLE 3.12: The theme heads toward closure with an authentic melodic, and phrase-structural processes. Thus cadential —_ cadence at the downbeat of measure 8, but, instead, the dominant function implies the presence of prior material—for exam- scale-degree in the bass is chromatically raised, and the subsequent ple, presentational or continuational—on which the caden- resolution to VI in the second half of the measure creates a deceptial function follows in order to effect thematic closure. We _ tive cadence. Haydn then repeats the entire continuation phrase, must be careful not to identify a passage as cadential unless finally allowing it to reach a true authentic-cadential closure in

we can demonstrate that it logically ensues from previous — Measure 12. initiating or medial functions.»

In addition to its requisite harmonic component, a ca- So far, I have not mentioned any cadence featuring the dential function often contains a distinctive melodic profile, | progression from subdominant to tonic, the “plagal caa highly conventionalized formula that occurs frequently in dence” described by virtually every theory text. An examiworks in the classical style. This cadential melody normally _ nation of the classical repertory reveals that such a cadence has a falling contour, which conveys the sense of “closing __ rarely exists—if it indeed can be said to exist at all.*! Inasdown” a melodic process. The cadential idea thus contrasts | much as the progression IV—I cannot confirm a tonality (it with the basic idea at the beginning of the theme, which, as__lacks any leading-tone resolution), it cannot articulate for‘pointed out, features a characteristic melody, one that mal closure in the sense developed in this book. Rather, this

“opens up” the melodic line.*¢ progression is normally part of a tonic prolongation serving Put somewhat differently, cadential material often arises a variety of formal functions—not, however, a cadential

b.i.fen. ~efrag. ten. ° ten. EXAMPLE 3.12 Haydn, Piano Trio in C, Hob. XV:27, i, 1-12

|presentation enn rn rea acca,continuation coer rr EE OO FTO ; SR —_ ~ 1m ate, _ ar = Allegro . / é oa 4 , “se ; wo Ad fe SINR ILA a) 2 pal pad. tne Oe Phy tt> Feeett>}eeelg eee ee Fe f.. P a>" Gn seen" ee =eee eee ee eee=o eee eee Seema =. eee. 3‘Om AED bell 8. 7eee" ee.eee" oo ‘ee0 eee = Sn A |eeaeee a ae >ee 1S 4SeeeST

Ah” t ob ? rt 5 4 P5ore 5 nnael eens OE Se ae &N a «fy «fy fN J of — \ J fi — a tS3= ;-—+-_*— 4+ $+ry — VP). e ts + @:Qy _ fig——— N wg {) yy 12iY 7A6 -. ».sr 2. is ee 6|0"| 9 ees| SE GE«es SC CY gt Bn ea... _._ an | mir @ afb||| GF

—_— os f " Je P ~ — fs if = f (V§) I (vi—i?) Vi Wé v(§ 7) (VEE7) VI (V8) oT... 116 vig 7) I

VA A

ad

A tea .iny All . : ——w-. a —“&> ?-e s— rbd r— ro Ww e tf bd— P EW deceptive cadence

EXAMPLE 3.13 Beethoven, Piano Sonata in C, Op. 2/3, i, 1-13

presentation continuation ° > ati *. mee e , PTT | 2gt ,OS i Tidl@ 3= o—4—— #5 o~ 4— 81g =ee8eee ee eee eee eo ee oe| act © 7yg 8 3ont £2J45S ERO Gep+AeUs GeSEE + ees~“e eeeGEE, ee, OS eeeEE eee=ee Pp € 8 a. Lt —4 yf EE t+ oe aT C7 OO Oh — eee eee OO OE SE BOS OO ESE Cerna Cc: I V 7 | —————_ V$ 7 I v4 7 16 II V I

me RD jd 4 ML) PED sd

f of ZA

continuation (repeated)

AS _— 10 —_—_ i 12 13 F Je

5 $ Ca 4

I ve I vé | Vit? v6 Ls) I

44

SENTENCE 45

one. Most examples of plagal cadences given in textbooks however, a presentation contains a prolongation that ends actually represent a postcadential codetta function: that is, with a root-position dominant resolving to a root-position the IV-I progression follows an authentic cadence but does _- tonic, as in example 3.13, measures 3-4. Here, the possi-

not in itself create genuine cadential closure.* bility of a cadence is at least suggested. But Beethoven leaves the melodic line open at the end of the phrase, thus Cadence in the sentence form. As defined here, cadential —_ helping to counteract the cadential implications given by function begins with the onset of the cadential progression, the harmony.

which, in the case of the sentence form, usually occurs But there is no cadence at the end of this phrase, or any around the middle of the continuation phrase, either atthe other presentation, for a more fundamental reason. Inasdownbeat of measure 7 or at the preceding upbeat. If the — much as the basic idea itself functions to begin a theme, a ultimate dominant of a half-cadential progression is pre- _ repetition of that idea must also express a similar function ceded by a single chord (thus resulting in an incomplete —_ of beginning. Indeed, repeating an opening idea actually reprogression), the cadential function may begin as late asthe _inforces the sense of formal initiation. Conversely, to effect upbeat to measure 8 (see ex. 3.1, m. 4, beats 2 and 3, where _ thematic closure, a basic idea must be followed by different

R = AN; see also ahead ex. 5.9, mm. 7-8). ‘material, a “contrasting idea,” that has the appropriate harSometimes the cadential progression supports a dis- | monic content to express cadential function. tinctly new melodic idea of marked cadential character, a An analogy to natural language may help clarify the difmelody that is clearly different from the preceding mater- _— ference between a basic idea and a cadence in music. A ial associated with an exclusive continuation function, as —_ grammatically complete sentence (in language) must norin examples 3.6 and 3.12 (see also exs. 3.5 and 3.7,in which _ mally contain a subject followed by a predicate. Similarly, a the cadential idea derives from the basic idea). Frequently, _ basic idea is a kind of “subject” for a musical sentence; though, the cadential idea grows directly out of the melodic-__ hence, a presentation phrase is analogous to a compound motivic content of the continuation, as in examples 3.2 and _ subject. For example, the subject phrase “the man and his

3.11. dog” does not form a complete sentence but, rather, sets up

Any one of the three main cadence types may be used to _— expectations for an ensuing predicate, such as “ran together close a sentence. The form frequently ends with a half ca- _across the street.” Similarly, a presentation phrase by itself dence, even though that cadence does not create full clo- does not bring about thematic closure but, instead, sets up sure of the melodic—harmonic processes that arise in the _ strong expectations for further material that will ultimately theme.*? If a sentence ends with an imperfect authentic ca- _close the theme. Thus, to continue the analogy, the “predidence, the continuation phrase, or a portion thereof, is _ cate” of a musical sentence is fulfilled by the continuation often repeated in order to provide greater melodic closure _and cadential functions that follow the presentation. by means of a perfect authentic cadence.

Additional Features EXAMPLE 3.13: The initial sentence closes with an imperfect au-

thentic cadence at measure 8. The weaker cadence motivates a Comtinuation=cadential. As defined at the opening of repetition of the continuation phrase, which, after a degree of ca- this chapter, the second half of the eight-measure sentence dential expansion, closes with a perfect authentic cadence on the = combines continuation and cadential functions into one downbeat of measure 13. Rhythmic continuity between the two _four-measure phrase. The presence of two different funccontinuation phrases is achieved by means of the triplet /ead-in at_ —s tions in a single group can more technically be termed

measure 8.*° form-functional fusion. Fusion poses a problem of terminol-

ogy because formal units are preferably labeled according Now that the concept of cadence has been somewhat _to their primary functional expression. The decision to call clarified, it is possible to confront an issue pertaining to the __ the second half of a sentence a continuation phrase reflects presentation phrase of a sentence that could not be ade- _ the fact that in the majority of cases, continuation function quately raised in the earlier discussion of that function. is more prominently displayed than cadential function is. Since many traditional theories teach that every “phrase” —_ Not only does the phrase begin with continuation function, must end with a cadence, we may be tempted to identify ca-__ but also the processes of fragmentation, harmonic accelesadential closure at the end of some presentation phrases. _ tion, and increased surface rhythm often carry on into the This analytical mistake can be circumvented when we un- _cadential material. derstand more clearly why a presentation, in principle, In some cases, however, the cadential component vies

never closes with a cadence. for equal expression with the continuation function, or even The absence of a supporting cadential progression in _ surpasses it. Cadential function acquires this greater status most presentation phrases automatically prohibits us from —_ when the phrase begins directly with the cadential progres-

identifying cadential closure in those cases. Occasionally, sion, which is then expanded to support the entire phrase.

EXAMPLE 3.14 Haydn, String Quartet in D Minor, Op. 42, i, 1-8

;Ss ; rf ae , = 5p 7

b.i. n. frag. Andante ed>|fstad}. ~mae fs— a, =~ai)£47 Ts YoSh Innocentemente _Wi} | | aey oes ,4 mee PRE 5 h }3 ——_ a a "9 8 te ee 1 8 tr ee Se HF ee ° \S°p=S == S Pa P St.P= presentation continuation = cadential ya &

a ————— Vv? ———____—____—- Iv cp 116 vi$ $) I EXAMPLE 3.15 Mozart, String Quartet in A, K. 464, ii, 1-8

b.i. ~, inew idea xn. ke | nan | ee neers: | Menuetto —_ . -_ 8 8 -_ ™ o 8 6 oN aud 2 3 4 5 6 | 8 7 8 ss presentation continuation = cadential

OSE, TC "Ee Ly 2 TS ye rf , aWE, Sf RP

yw op | | | @# oy |, Jj ga..| ~. @# » | fF. #£. | fas tT LULULULdDLlUmUwg OU oe lg HW] ULSD

A: [1 Vv ——_—__—_——-__ 1] 16 n6 v? I E.C.P.

eee | ee | (PAC?)

EXAMPLE 3.16 (a) Beethoven, Piano Trio in G, Op. 1/2, ii, 1-9; (b) rewritten version of mm. 7-9

bi. vw. frag. oO con ot, — —s oo a a —_ —— presentation continuation

eepeesione —™ ; . )onseated = Prepsend ———_——— =— ee —Taste —— ¥ Tag etlree sa\ TD dtd J) PTTIT sats aed],

pL} | 4 mgs — _ —— —

far sur £3! Ame, ke eee © eee ena +f Feo aan SE Cee EE EE. '( Ls —»--}-——_ 2 —_2—# 2, eee

Sy _ ff _ @oewr it | tft rt ‘Bit YF). fs fo yT_k Ud) OUTRUN) e ee

E:aeI~ vo(I) Vo 4 16 (vis) I v4 116 v4 16

oo ne

Xa

desc. fifth seq.

cad.

—_—— A on ~ ~ yt, Hd) Med). | | Fieds |, FP eh? baa (ee eee ——_te:—_______-4 et {Se eee ee Fi -—+—-¢: |

ve | He wg 7) I ) E:v6 1 M6 wg?) 1

46

SENTENCE 47 In more loosely organized phrase-structural contexts (such _is authentic, for a half cadence is too weak to confirm a new as a subordinate theme), a phrase built on such an expanded _ tonality, especially one that lacks its own tonic prolongation cadential progression (E.C.P) usually has an exclusive caden- _ associated with the presentation function.

tial function. This cadential phrase would normally follow a A modulating sentence rarely stands alone as an indecontinuation phrase devoted entirely to that function. The —_ pendent formal unit. Rather, it tends to link up with other two functions would thus receive individual phrases of their —_units.to form a larger-scale theme, one that ultimately re-

own. turns to the original key and closes there with a perfect auIn an eight-measure sentence, a phrase supported by an _thentic cadence. Modulating sentences thus are found most expanded cadential progression normally features both con- _ often in the first part of small ternary or small binary forms tinuation and cadential functions, just like a standard con- _—_ (see ahead ex. 7.3).*” tinuation phrase. Once again, though, the form-functional

fusion in the phrase poses a problem of terminology. To call Deviations fcom the Norm the unit a continuation phrase fails to give sufficient weight to

its underlying cadential progression. But to call it a cadential | The continuation phrase of the sentence frequently deviates phrase slights the obvious continuational features so charac- _— from its four-measure norm, and almost always so if the

teristic of the sentence form. , presentation deviates as well. Indeed, the continuation is Thus for this particular case, it seems reasonable (albeit _likely to be altered more often than the presentation is, somewhat cumbersome) to indicate both functions by label- whose four-measure length sets the standard against which

ing the phrase in the following way: continuation=cadential. subsequent phrase irregularities can make their effect.*° , The symbol = stands for “becomes” and denotes a retro- The following examples are typical of the ways in which a spective reinterpretation of formal function.“ In other continuation phrase departs from the norm. words, what we expect to be a continuation phrase (follow-

ing, as it does, a presentation) is understood retrospectively § Extension of continuation function. Additional units of to be a cadential phrase based on an expanded cadential _— fragmentation and a thorough sequential progression are progression, a phrase that nevertheless contains continua- _ typical means of extending continuation function.*! tional characteristics. EXAMPLE 3.9: The expanded presentation (discussed earlier) moti-

EXAMPLE 3.14: The theme begins with a regular four-measure __- Vates an even more extended continuation. Mozart first states the

presentation featuring a statement—response repetition of the basic idea a third time (mm. 7-9). Ordinarily, such an additional basic idea. We now expect a continuation phrase that will likely tepetition would be a part of an extended presentation, but since fragment the unit size and increase the rate of harmonic change. _ the supporting harmony no longer prolongs the initial tonic (inThese continuational traits are clearly manifest in measures 5 and _—«troducing instead a modulation to the dominant region), the re6 of the theme. Indeed, fragmentation carries on into measure 7 as peated idea is better seen as belonging to the continuation. The well. The motion from I¢ to II® in measures 5 and 6 suggests the upbeat to measure 10 brings fragmentation of the second motive of presence of a cadential progression. But since this interpretation is the basic idea in a descending third sequence, which further exnot fully confirmed until the arrival of the root-position dominant tends the function. The theme closes with a conventional perfect in measure 7, it is only then that we can understand retrospectively authentic cadence to confirm the new key. that the cadential function was actually initiated at the very start of

the phrase.*” Expansion of cadential function.

EXAMPLE 3.15: [he continuation function is not nearly so well ex- EXAMPLE 3.16: The extra measure of this nine-measure theme is pressed in this continuation =>cadential phrase, owing to the lack —_ created by a small expansion of the cadential progression. (Schoenof fragmentation. Instead of reducing the size of the units, mea- _ berg speaks of similar situations as a “written-out ritardando.”)? A

sures 5-6 bring a new two-measure idea, which is repeated in reconstructed normative ending to this theme is shown in example measures 7-8. A sense of continuation function is nonetheless 3-16b, in which the cadential progression represents the final stage projected by the slight increase in harmonic and surface-rhythm in the harmonic acceleration. (See also ex. 3.13, mm. 11-13.)*4

activity.8 | EXAMPLE 3.3: The second phrase of the theme stretches to six

Modulating sentence. A\l the themes referred to thus far se eat and the two “extra” measures are created by an exten(with the exception of ex. 3.9) close in the key in which they sion of the continuation (m. 7) and an expansion of the cadence

; ; | ; ; (mm. 8-9, representing a single measure). Measures 5 and 6 of the

begin. Occasionally, though, the continuation phrase mod- continuation, featuring fragmentation into one-measure units, are ulates to a new, closely related key. Most often the new key regular enough. According to the model form, measure 7 would

is the dominant region of the opening key, although the _then bring a cadential progression ending on the downbeat of mediant (“relative major”) is frequently used if the opening —_ measure 8; indeed, Mozart could easily have written a “galant” cakey is minor. In all modulating sentences, the final cadence —_ dence formula, as shown in example 3.3b. Instead, the composer

48 TIGHT-KNIT THEMES

bi. x. frag. cad. a ae a ae fe a Ne mee > ° , ° lento dolce J de — o ¢ ~ EXAMPLE 3.17 Haydn, String Quartet in B-flat, Op. 50/1, ii, 1-6

presentation continuation

Adagio a os_ —A ' . pote, non a | | ~3)== ot —~\ asl). .=~~ sf =~ ei ly) ont°eo a

a stact. * — “WY » if

Eb: 1 v4 § I 6 (VS) 18(V8) 1 Wwe ve[He] v allows the melody to hold itself insistently on the fifth scale-degree Compression of the continuation phrase. (ex. 3.3a, m. 7), giving the impression of even more fragmentation

(into one-beat units). At the same time, the cadential function is = gxampLe 3.17: The continuation phrase is reduced in scope to just delayed by means of further tonic prolongation (m. 7 to the down- —_—_ two measures. Yet we can still recognize the basic functional com-

beat of m. 8). The pent-up energy created by frustrating expecta- —_ ponents of the phrase: measure 5 brings both the fragmentation tions of melodic and harmonic closure is finally released ina flurry —_ (into half-measure units) and the harmonic acceleration typical of of sixteenth notes (mm. 8-10). This three-measure cadential unit continuation function, and measure 6 contains the half-cadence brings a melodic descent (somewhat disguised by register transfer —_ formula to close the theme.°5 and passing notes; see circled notes) over a cadential progression expanded by means of rhythmic augmentation.

4

Period

The most common tight-knit theme-type in instrumental _ but in a period, the basic idea is juxtaposed with a contrastmusic of the classical style is the eight-measure period. The _ing idea, one that brings a weak cadence. period is divided into two, four-measure phrases fulfilling antecedent and consequent functions, respectively. The an- Contrasting idea. ‘The contrasting idea of an antecedent tecedent phrase begins with a two-measure basic idea, which _ achieves its “contrast” with the basic idea most obviously by is followed by a two-measure contrasting idea leading toa — means of melodic—motivic content. In the clearest cases, weak cadence. The consequent phrase repeats the antecedent _ the contrasting idea introduces motives distinctly different but alters the contrasting idea in order to create a stronger _— from those of the basic idea.

cadence to close the theme.! A contrast between the two ideas of an antecedent

Essential to the concept of the period is the idea that a phrase may also be achieved, or at least supported, by secmusical unit of partial cadential closure is repeated so as to ondary features such as texture, dynamics, and articulation. produce a stronger cadential closure. As a result, the two units group tightly together to form a higher-level whole,a ey ampre 4.1: The arpeggiated ascent projected by the basic idea is relatively complete structure in itself. The formal and aes- complemented by the scalar descent of the contrasting idea. (The thetic effect of antecedent—consequent repetition thus dif- final upward leap of a third at the end of each idea, however, profers significantly from the repetition found within the _jectsa slight sense of repetition rather than contrast.) presentation phrase of a sentence. There, a repeated openended unit (a basic idea) yields an unclosed structure that — ExaMPLe 4.2: The motivic content of the contrasting idea is engenerates powerful tendencies for continuation. tirely different with respect to durational values, harmonic pacing, The general principle of periodic formation just de- and overall melodic countour compared with that of the basic idea. scribed can operate at a variety of levels within a musical Unlike the preceding example, the antecedent phrase here ends work. For example, the two parts of the small binary form _ With the less common imperfect authentic cadence.

can sometimes result in a kind of antecedent—consequent ae

lationship. A similar situation between the EXAMPLE 4.3:the The basic idea is a soft.and legato. The very start of relationship arcanSiobtain otwetween .nthecan contrasting idea at measure 3 two brings a sudden change to a forte

parts of the full-movement sonata without development dynamic and staccato articulation. form. In this book, however, I limit the concept of period to

two tight-knit theme-types— the eight-measure period More significantly, however, the basic idea and contrast(treated here) and the sixteen-measure period (treated in ing idea differ with respect to their fundamental harmonic

chap. 5). organization. The basic idea is usually supported by a tonic prolongational progression, and the contrasting idea must close with a cadential progression. In cases in which the

ANTECEDENT PHRASE contrasting idea seems to resemble the basic idea because of shared motives, the different underlying harmonies distinThe antecedent phrase of an eight-measure period begins guish one idea from the other. with a two-measure basic idea. All the characteristics of a basic idea discussed in connection with the presentation of a EXAMPLE 4.4: The basic idea opens with a one-measure rhythmic sentence also apply to the antecedent of a period. By itself, motive, one that Mozart used to start a number of his piano cona given basic idea does not indicate whether it will open a —_certos.3 ‘The beginning of the next idea at measure 3 brings back

sentence or a period.’ Which form results from a given this same motive, which might lead the listener to suspect that the basic idea depends largely on the following two bars of _ basic idea is being repeated in the manner of a presentation phrase. music. In a sentence, the basic idea is immediately repeated, But the motive is supported by a completely different harmonic 49

EXAMPLE 4.1 Haydn, Piano Trio in C, Hob. XV:27, iii, 1-8 ,

antecedent consequent basic idea contrasting idea b. i.| c. i. ee SF OOS — ee nee | . OO ° —™~ . ~~ ° —— Presto Jz))a FRR —— ° om Ia }) a— ‘\ °Ooe , Fh fi Js. 4), Oo°Ask fi Jz° di, FERS

\ 2 eee eee th Sg oe EEE eee eee oot "ae Hi a 2

c: 1 v5 Iv6 16 6~ (Vg) v 1. 7 116 Vv I

(new) ee Oe ee Re 33>aa ue le ee EXAMPLE 4.2 Mozart, Piano Sonata in B-flat, K. 281/18of, i, 1-8

antecedent consequent b.i. ci, b.i. c.l.

Allegro Whe eee occ =OePapp . eee eee eebee=PTI 6S NES ,in p—F —e fri: FRA te ==2= hI | sR Pettis ls JA * Ame) A) Ce Oe Oe ee ee eee ee Te Oe eee A 2 0." eee ee See! ee Ne 2—o— ee: 9 +I ae" on -é-3 — + a4 Lo—_5-+-+- 6 4 BE ee jf —_} gs i -__1 4 (oj , ll Lot Ht ae =e. Pe ae oy}

[we [FAC]

Bb: 1 ( VINS) 16 IVI v7 I 1. f6 vig) 1

but. cl. bi. c.l.

, EXAMPLE 4.3 Mozart, Piano Sonata in D, K. 311/284¢, ii, 1-8

antecedent consequent Andante con Tt — ==Lee espressione —ee — aI *—_—o 6(Nia — a =eee oe —e Atan Neo FESS Y Sa > EEPees OP ee 3 "eeeS) ee ee Ve 0 en ee ee eeSs en Oe Re eeCAR ee ee eeeS ee eee@eist ee 2 ee ee Oe Od (9 ee ee ee SUUIRnT ” SAREE EO ” Soames we.2eneee en es eee pe P eT rr »rLl FF cr LP? ° .Doh r) ——— f . csLP bd ° .pePCG

ar

G: I vg ——_———— I Iv6 $ 16 vg Tov 1... IV & W($3) I

f b.i. a .cl.°b.l.a ch. y’ EXAMPLE 4.4 Mozart, Piano Concerto in F, K. 459, i, 1-8

antecedent consequent Allegro J —»a41§ 5ooo oe- eee J6— — , >OSI 22-aacewvw-—-——— ¢Tt&J Jad), = leeee7 ee8th SD oe ea

Oy et et et er Fh 9 er eet oo 8 et Pit Cho ft Poo po Pe TT) A LED Lb fe ri) Pie , F: I v§ I VIE(V$) V 7 I... 116 Vv I csv) “7

P —me rsequential : 5, ;

antecedent consequent b.i. cl. b.i. cl. |Presto sree | Rr RN ey mod. . Ea cad. se coe i =: aN —~ 6 eae ae ee ee ee ae ee a ee ee a ee Se a, EXAMPLE 4.5 Haydn, Symphony No. too in G (“Military”), iv, 1-8

Ay Khe” iti? tT ES ae cons cee DO oe oe ‘ 5 jt TS ae Be

4 : . 4 > z9 . —= if ¥ ee” ra —— — iY G: I v7 €¢ 3 vgil 6 vg 3) I v? §$ i winé vst 50

PERIOD 51

progression, one that brings a half cadence to end the contrasting “Stop” versus “end.” The notion of cadence has often idea of an antecedent phrase. The return of the motive again at been associated with the “cessation of musical activity.” For measure 5, now supported by its original harmonization, signals = many musicians, cadence refers to a stop in the rhythmical the true restatement of the basic idea, which functions to initiate motion of the phrase. To be sure, cadences in the classical

the consequent phrase. literature often occur at points where the surface rhythm

‘ne idea oft was ch ‘stics of comes to a temporary halt. But this is not invariably so: A on Boneee Hdea 0 , ae characterisucs ' need many cadences see the rhythmic motion continuing harmonin sete th . ee thy ont an eh Fate ¢ through to the next formal unit, and sometimes a melodic armonic or surface rhythm (or both), and even a hint o lead-in also helps maintain rhythmic continuity.

sequential harmonies.

Th ‘ag id di EXAMPLE 4.7: The end of the antecedent phrase is characterized by vee ue h . . o-measure nee full fe idea (mm. 3-4) IS~ a sudden increase in activity, such that the flurry of eighth-note prays fe ° f € characterisucs O h ie oursmeasure annnine ¥ runs carries this momentum on through the half cadence (downhen P vn accel Fagmentation (into a dine ceau units), ise ° beat of m. 7) to the beginning of the consequent at measure 9. The lading k Ife heaticl a stepwise ascending sequence, and’ a con- phrase thus “ends” with a half cadence, but the rhythmic motion

cluding hali-cadentia! progression. does not “stop” with that cadence.’

The notion of the as stop continuational be;; J - egcontrasting age Although aidea rhythmic may be associated with; a; given

comes even more apparent when the basic idea itself is com- . nes ;

; Leg. cadence, a cessation of activity is repeated, not essential to posed a one-measure that isrhythmic imediately . the con; « . yyofcept of cadence.motive Moreover, motion can. come to a

in the manner of a “small presentation.” The entire an- ; ; halt at places that are clearly noncadential. tecedent then resembles the sentence theme-type. It is more | useful a comprehensive theory ofwhere form,the however, we , ,comsoe ,; ;for EXAMPLE 4.3: The(oronly place musical if motion distinguish between a sentence-like sentential) structure -_ . or , pletely stops is inthe thelatter middlebeing of measure 3, a moment that does and a .genuine sentence, a specific tight-knit ; oe ,not th th the ch ‘stics described in th project any sense of cadence. On the contrary, this point is the eme wi e characteristics escribe in the previous post unstable moment in the phrase.

chapter. In many cases throughout this book, we recognize

the thar the , of Sententia characteristics without wanting to If cadence does not necessarily entail a stopping of say Chat the resulung structure Is a sentence proper. rhythmic activity, it nonetheless does embody the notion of

é: The ent dent phrase h , structural closure, the marking of a formal end. A rhythmic

EXAMPLE 4.00 1 ne entire antecendent parase has a miniature sén- stop and a formal end are entirely different musical phe-

~ . ; nomena: although they often operate together, they are

tential design. The basic idea itself contains a one-measure state-

ment that is immediately repeated as a response, thus suggesting , d lv) distinct 8 presentation function. The contrasting idea (mm. 3-4) features conceptually (and perceptually) distinct.

fragmentation, harmonic acceleration, and cadential closure, like a . ;

continuation. It would be inappropriate, however, to consider this Nonelision of antecedent with consequent. When meafour-measure unit a genuine sentence, since it does not contain sure 4 of the antecedent phrase maintains rhythmic conti-. sufficient musical content to make up a full eight-measure theme.* —_—nuity all the way until measure 5, we might be tempted to

say that rather than ending with a half cadence, the anWeak cadential closure. A basic idea followed by a con- __tecedent closes with an authentic cadence, one that elides trasting idea does not in itself constitute an antecedent. Es- — with the beginning of the consequent; that is, measure 5 sential to this function is the presence of a weak cadence that = would be seen to function as both the last measure of the effects partial closure of the phrase. When defining an- _—_ antecedent and the first measure of the consequent.” Such tecedent function, both the half cadence and the imperfect —_an interpretation, however, usually proves to be faulty. In authentic cadence can be considered weak because each most cases, there are specific harmonic reasons that the beleaves unclosed some harmonic or melodic process. Of the —_ ginning of measure 5 cannot be considered a cadence. More two, the half cadence, with its combination of harmonic and _ important, however, the sense of a formal “goal” in an an-

melodic incompleteness, is decidedly weaker than the im- _ tecedent almost always precedes the sense of a new beginperfect authentic cadence, which results in melodic incom- _ ning for the consequent. It seems that the perception of repleteness alone.’ The vast majority of antecedent phrases _— peating a unit of weak closure with one of stronger closure end with a half cadence, no doubt to magnify the sense of is obscured if the boundaries between the units are not cadential differentiation. The perfect authentic cadence can- __ clear. An examination of the classical repertory reveals that not be used to close an antecedent phrase, since this strong an antecedent phrase rarely, if ever, elides with a consecadence achieves complete harmonic and melodic closure. —_ quent phrase.!°

I Ry

b.i. c.i. b.i. ci. a eS Lr oo Se so oot eae EXAMPLE 4.6 Mozart, Piano Sonata in A, K. 331/300i, i, 1-8

antecedent consequent

Andante af .a— frag. grazioso ’ ‘—_} —,—_}) pat =wae—_—— ‘m tj —} |} J] ot} —} 2 r a a =e ys | s vm ® WS r

errr dD FE Irth} ei P wf A: 1 vg (m7) vé 1 W® wg 3) 7... nePp wg 7) 1

fs = 208

bi. cl. eee eebl.ee : [Hc }

antecedent consequent EXAMPLE 4.7 Haydn, Piano Trio in E-flat, Hob. XV:30, iii, 1-16

Pret WY 4,50) 4 bed, —— 7 | 4, J f2 34 De® 5 bY ‘ _-—=— 7 EPPER A A SB u nsee A et re tt eet oe te te eS Sr he ee et te eee See at 8 +--+ __ Ha nS Oe ee S _———— eee eee” r Nee”: 7 “eee ia f f i: “ee F eee” 7 “eee 7 eb. pe 'ay )V $ | —————$ $$$ = [He | (no (AC)

EE ci.

—_ ~

ee 2a Ee ee ee eee ee: NV ee ,28): WR 3GN:eez2 : =15AGeeee zeeee:3ee. : esJ ee

0... ae AE A GE GE ee A. |. Ey, SE GE Ge We Se | ~\___—p—_@——__t + _+__{ 1 ff BEES WEG Ga |

”Bb Lis ; v7 I

I ice {vi

EXAMPLE 4.8 Beethoven, Serenade for Violin, Viola, and Cello in D, Op. 8, iv, 23-30

antecedent consequent b.i. (ton. ver.) cl, b.i. (dom. ver.) c.i.

OO 4 ft et tH rt 9 0 , > srr PL TF ia py CLL UL CF: + oJ JJ) fT) sad oP PPP peer ieerr

Allegro e e e e ° s e e . e e °

molto

re = * —aa - {v ° S D: P sempre staccato ra D: I " Jug (VV) Vv? I m Vv I ASU OV 1 [Pac |

7 ~ > C4 (=>D: HC )

EXAMPLE 4.9 Mozart, Piano Sonata in D, K. 576, i, 1-8

antecedent consequent bi. cA. b.l. (seq.) c.l. nnn nn nn nn nn ——s* eee ES ¢ a = ~—~ _—— — Allegro , 2 a3) Ts—— 4 ) s 6arPpPP \ had lee py h8N lc. OM ee ee” ee eS = ees eesAS 2 SS 2" ee 2SE 0 en... Ee eee 2) A © -ABET i a aSRE a eeeee a ans | ae ee LSASS f SS SO068 SA0s Sl0CRRA SL — TSSeee OOeetAeee ee “een”

(He) ~ [FAC]

D: | ————_—___________ (V$) 16 (v%) 1 ne weg $) tf ——————__——_____(vI§)_ 16 a |

52

PERIOD 53 EXAMPLE 4.7: Because of the continuous rhythmic motion into the = EXAMPLE 4.9: The consequent phrase begins by sequencing the downbeat of measure 9, we might be tempted to hear an imperfect _initial basic idea one step higher supported by II. This sequential authentic cadence closing the antecedent at that point. But the restatement of the main theme's basic idea proves to have interestbass note Bs in measure 7 is filled in with stepwise motion leading —_ing consequences later in the movement for the subordinate theme

up to the E} in measure 9, and the resulting change to the $ posi- — of the exposition and that of the recapitulation, as discussed in tion on the third beat of measure 8 undermines the potential for connection with examples 8.1 and 11.12, respectively. the dominant to function as the penultimate harmony of an au-

thentic cadential progression. Instead, the dominant (in root po- The cadential progression of the consequent often besition) on the downbeat of measure 7 must be construed as an gins earlier in the phrase than in the antecedent, especially ultimate.dominant ending a half-cadential progression. Thus ante- —_ if the latter ends with a half cadence (which is usually the cedent and consequent do not elide, despite the rhythmic continu- case). Since the final harmonies of both phrases normally occupy analogous positions (e.g., downbeats of mm. 4 and

ity into the latter phrase. oe

8), the penultimate dominant of the consequent must be shifted backward in relation to the ultimate dominant of the

CONSEQUENT PHRASE antecedent. In addition, the initial tonic or pre-dominant (or both) appears earlier in the consequent than in the ante-

The consequent repeats and alters the antecedent so asto cedent. The contrasting idea of the consequent may even achieve greater closure by means of a stronger cadence. With be supported entirely by the cadential progression and thus few exceptions, a consequent ends with a perfect authentic resemble the cadential idea closing a sentence.!* As a result cadence, thus fully completing the harmonic and melodic of these various alterations, the consequent phrase acquires

processes of the theme. If the antecedent has closed with a. 4 more powerful cadential expression r elative to the anhalf cadence, the consequent may end with an imperfect au- _ tecedent, owing to not only the type of cadence but also thentic cadence, although this weaker form of closure rarely the gr eater temporal weight accorded to the cadential

occurs.!! progression. To create the impression of repeating the antecedent

phrase, the consequent must begin with a restatement of EXAMPLE 4.4: The cadential progression of the antecedent begins the initial basic idea. The consequent then closes with a _ With the VI chord (functioning as a pre-dominant II/V) in the seccontrasting idea leading to the cadence. The contrasting ond half of measure 3. In the consequent, the pre-dominant II” is

shifted back to the beginning of measure 7 to accommodate the idea of the consequent usually resembles of the an- ; half : , . ; penultimate dominantthat in the second of that measure. The

teceden t, although it can also be built out of entirely new contrasting idea of the consequent is thus supported entirely by an

melodic—motivic material (see ex. 4.2). authentic cadential progression. (See also exs. 4.6 and 4.9.) Harmonic organization. In most periods, the basic idea qyy dulating consequent, cadential strength. Most periods of the consequent is supported by the same harmony asin conclude in the key in which they begin. Often, however, the antecedent— that is, most often by a firm root-position = —_ the consequent phrase modulates, and the theme closes tonic prolongation. On occasion, the basic idea of the con- —_ with a perfect authentic cadence in a related tonality. Like

sequent is a dominant version, in relation to atonic version the modulating sentence, the modulating period rarely of the antecedent. The overall harmonic design of the pe- stands alone as an independent theme but, rather, constiriod thus takes on a statement—response character (ant: sates the first part of a larger thematic unit, such as a small

I-V, cons.: V-I). ternary or small binary (see ahead ex. 6.11). In such cases, it

might be asked how a subordinate-key cadence closing the EXAMPLE 4.8: The basic idea of measures 1-2 clearly returns to _ consequent phrase can be considered stronger than a home-

begin the consequent phrase at measure 5. But the idea’s new key cadence closing the antecedent phrase.

harmonic support creates a dominant version, compared with w th ‘on bv distinguishing b

the tonic version at the beginning of the antecedent. Indeed, it © can answer © question y istingu isning etween

would be possible to place measures 5-6 directly after measures two types of pitch closure in a composition: one type inI~2 to make a standard presentation phrase featuring a state- volves the degree of barmonic—melodic closure achieved ment-—response repetition of the basic idea. (The unusual ca- within a key (or several keys), and the other type, operating dential close of the antecedent phrase is explained toward the _—_at a higher structural level, involves the degree of tonal clo-

end of this chapter.)!? sure exhibited by a succession of keys in relation to the home key. The relative strength of cadences is established A looser harmonic expression is created when the basic __ on the basis of the first type of closure. When the anteidea of the antecedent is restated sequentially in the conse- _—_—cedent phrase ends with a weak cadence, we perceive that a quent, usually by being transposed up a step into the super- _—sharmonic or melodic process in the home key remains some-

tonic region. what open. But when the consequent phrase modulates and

vo : f—

EXAMPLE 4.10 (a) Haydn, String Quartet in G, Op. 54/1, ili, 1-10; (b) rewritten version of mm. I-10

antecedent consequent b.i. c.i. (ext.) bi. c.i. (exp.) aa ee I | Orr e_—_SO L— ol Allegretto —_ —— d p P p Ia 4 > ——_ ~~

ms " ——_, ° ° —-_

|TL3egCCS 4— —-— = EEE 5 rr ‘— 6ee 7Seee {|reetether 1)ee 28ee| eeT= 90 es“= 10° yAt aofa ffaor2 en o_o __)] 1 1m th_L es = UGE Se eee ee ee ee es ee eee Et ee | a)3" —_¥ —} +++ oa te he EE ie t+ *“s5 2%ssttre wv eo ee eee raf i - ri G: | (v7) I ¥ SOs (V7/ VI) I 6 ne ¢ Vv? I

antecedent consequent bi. ci. b.i. c.i. teen ae | rr SC ne | a a. | . S-— >sf —— ~ d: £4|—_ ‘ ° - ™~

wv = 2 a] [os Er, = se 6 No | [ts cy —4 SE St 22 0.4 ee: 7 oe ee nT re a Eg __ | --_ _f_] _ eH . a. | ft 4 Lt _1 8 gf 9+ — 1 ee 2 ee es en ee se ee ee:

G: I (Vv?) I Vv l ped. (V7 VI) 1 ome v7 I ped

EXAMPLE 4.11 (a) Mozart, Piano Concerto in F, K. 459, ii, 1-10; (b) rewritten version of mm. 1-10

antecedent consequent b.i. interp. Cui. nn | sone: | ree ny(lead-in) | eterna |b.i. ree.interp. S—SCi. a aaa |

Andante — a —™ ~ ee

[He] ~

ye —4 Re 4 i — Gi —1 — 9 t__-——8 peta | wT ge 8... 4} -—__ |] 4 | gt ——_1 avi fl I L$ —g@ | Ht} te — ot a bpd — ahem ——-} —_f | df S' 4° 20 A ae Ee a anf aer TS SD, SS aA Jam py 1» —___4 ” 0.4 Wee eee eee

pl Pr p Sf rf” | hi fp eres p Sf iT rrr C:1(V) | ——______ v8 (vs) Vv 1. IV® (V8)V? I antecedent consequentb.i. b.i. ci. (lead-in)

C.i.

i dad, A dd “LS SSE ~ Ee] ~

f) | J] 2S Oe oneill WE aT ie | SPPes ) ARE | J ee 6 oN am 7 ee J a- Pn 8ee \ b) {9-8fap — ~ wieS 3. ie a oi 2Oe AS, SS OS AS ASe nh WE OYee ..ft.40 eee a ee eee:

C:1(V) | —_____________ 1V® _ (v$) v I. IVé (V8)V? I

54

PERIOD 55 establishes a subordinate key by means of a perfect authen- _— norm, then the consequent will be changed to restore the

tic cadence, we perceive that full harmonic—melodic clo- _ sense of symmetry." ,

sure in that new key has been achieved. In relation to the ,

openness of the antecedent, the fuller closure of the conse- = ExAMPLE 4.10: The ten measures of this period exhibit a symmet-

quent is achieved by a stronger cadence. rical 5 + 5 grouping structure. A reconstructed normative version As regards the tonal organization of a modulating period, _—(€x. 4-10b) reveals that the theme has undergone two alterations.

the consequent phrase is more open than the antecedent, First, the half cadence ending the antecedent is extended by an since the latter resides in a subordinate key. This tonal insta- ©**@ measure of dominant harmony. Second, the contrasting idea bility has important consequences for the rest of the com- of the consequent is expanded by an additional measure, thus es-

. . tablishing a symmetrical grouping structure by matching the

; ; ge allows the

position, for the music must eventually return to the home length of the antecedent. Moreover, this second change allows th key (either shortly thereafter or later in the movement) to descending eighth-note motive of the contrasting idea to maintain achieve tonal closure. Such considerations of tonality, how- i. original tonic support (mm. 3 and 8) and also permits the new ever, have no direct bearing on the strength of cadences, cadential melody (mm. 9-10) to correspond rhythmically to that whose degrees of closure relate to harmonic—melodic pro- _ of the half-cadential extension (mm. 4-5). Despite the apparent

cesses within the various keys of the composition. symmetry in grouping structure (5 + 5), a certain asymmetrical Unlike the consequent, which is free to modulate to a _—_ quality is projected by the 4 + 6 pattern as defined by the cadence

related tonal region, an antecedent phrase always closes in _—points.'° the same key in which it begins. (One major exception to

this rule will be discussed shortly.) If the antecedent phrase The preceding example illustrates well the difference were to modulate (and the consequent to remain entirely in between extension and expansion. On the one hand, the the subordinate key), then the home key, expressed only by _ structural end of the antecedent’s contrasting idea, as articthe tonic prolongation supporting the initial basic idea, | ulated by the half cadence, occurs in its normative place— could not compete in prominence with the subordinate key. the downbeat of measure 4. Thus the formal functions of Thus for the period to attain sufficient tonal stability, it antecedent, contrasting idea, and cadence are fully estabmust first confirm its opening key with a cadence (albeit a _ lished by that point. Measure 5 merely stretches out these weak one) before modulating and confirming a new key _ functions in time. On the other hand, the consequent’s

(with a stronger cadence). contrasting idea is not fully expressed until the cadence fi-

nally arrives at measure 10. The phrase is thus lengthened as a result of an internal expansion of its component mem-

DEVIATIONS FROM THE NORM bers, which occurs in the course of establishing the formal functions.

Deviations from the model period form occur frequently The next example features a new type of phrase alterthroughout the classical repertory. Many of these periods ation— interpolation.'’ An interpolation can be defined as employ the same techniques of extension, expansion, and musical material that is inserted between two logically succompression discussed earlier in regard to the sentence ceeding formal functions, yet seeming not to belong to eiform. In the case of the period, however, it is useful to dis- | ther function. An interpolation is distinguished from an extinguish further whether a deviation yields a symmetrical or _ tension largely through the absence of a motivic connection an asymmetrical grouping structure, for quite different aes- between the interpolated material and its preceding functhetic effects obtain thereby. In addition to these phrase- Won, so that this function does not appear to be stretched structural alterations, deviant periodic forms can arise be- out in time. (An extension, on the contrary, usually has an

cause of irregular cadential formations. intimate motivic connection with the material that it is ex-

, tending.) An interpolation can easily be eliminated in order

Symmetrical Deviations to restore a more normative grouping structure. Like the sentence, the period is divided into two, four- EXAMPLE 4.11: The antecedent phrase is expanded to five meameasure phrases. But even more than the sentence, the 4 + sures by an interpolated rising eighth-note idea entering in the 4 grouping structure of the period suggests a symmetrical second half of measure 2. (The consequent phrase is similarly ex: organization, since the consequent phrase repeats the an- panded.) This brief figure seems entirely unrelated to its preceding

. . basic idea, yet it also does not belong to the contrasting idea (detecedent rather .than bringing something essentially new . by; _. ; M the j _

(as does the continuation phrase of the sentence). For this ae some opvious motivic connections). Moreover, the interpo

ated figure does not give the impression of extending the basic

reason, alterations to the normative phrase lengths of the idea, which is clearly over by the beginning of measure z. Finally, period frequently take place in a way that maintains this _ both interpolations can easily be excised in order to create a nor-

sense of equilibrium between the phrases. As a general mative eight-measure period (ex. 4.11b). rule, if the antecedent is altered from its four-measure Closer examination reveals that the interpolated lines play a

et ere iN=. a | EXAMPLE 4.12 Beethoven, String Quartet in G, Op. 18/2, ii, 1-6

antecedent consequent b.i. (ton. ver.) ci. b.i. (dom. ver.) c.l.

o =. : : f

Adagio Ww — . —_ | =| J3 ,sa| |CS cantabile . — SN ~~ :tyfe"4-8 am 2 |== ee ) 4 = 6~ N 9 8 ft a 8 ee i or eet “O! diy= GEE CS CA Se ey , fe Fe a> a =f . 1!ee *=A. CeeOd:6«Oe{. 2of “—— Pp QooS $v? I C1 fo—~ v4 vgcrese. 3) v7? (vE7)vE

cl. b.i. interpolation { b.i.senna | eyee ee Allegro —— —— —_cl._et EXAMPLE 4.13 Mozart, Piano Sonata in C, K. 279/189d, iii, 1-10

antecedent consequent

, 2, PPR R eS e 6, 1 de dulditet ldtaplance > (wll Patio

(.. AED” CREEP CSS ENS Ge > CA || »—_,, SS i En SS ES ne: Cee Cis ONE ‘I’ OF Ay Win a: a14 DEP OE A CERERCEEEEEE SS mS SE Jee. Le oTSEE “p> —— ——__—__|___ ————"___-—~—f 26 ere gdts eee I,> ipa. 6 -#— ._y | gs gg [24 st *.. 2a. 34... |. 4... ff”eee >. vel +ee —--—_—}_-—+4+-_+ Antecedent

aude Cre ervrpy WW Crhtrf Celtey ter Fp QA NA

Bb. ——————_—________v ° ‘74+ (Iv) 16 (IV) 16 (Vg) MH (V8) T(VD VII? V

b.i. x, NN a|

° e -~ Sam ee. Uftrree Wb woe LeU 1... (V8) I (V$)I vig 7) I| \A [Pac

presentation continuation fs gf's —™ .»fs -Aof m~ a— a _| ew; — .| |~~ a:hk . h— nf)\ ee ~ ft 13 }. Se" JoePp J an jwLe *A_j 2 0 2of) ee 2s ee ey. OR «| >PP 2 Ce Se }2 es es eee Te ee a| et UO Consequent

K } 52.4 2 |? |.A og EE, kt. §. |A 2 fa 2 lr.ES a hgCE” s a aeaeSe At worms fF ee yo PPS ee te JiR. Fee i nen Ape eeeI — ge = ii gS ee, a,RS»

Sa — oe or fea eee ee an Us 22+ —§ raw camee ME... 2 es SS So. tf

Ab: 1 (vg) vé (1cresc. v r 6IpW—6 ver ws §) lL

2aa aa aS 2 a a ee Se r sf

p~ atte cPeeesia fo, ee ee ee \ (4 Se ppwy ttfseh eet ee ES es ee wm mr = 7 — creso — vig P 7) I I cp of 6 m6 continuation => cadential

64

HYBRID THEMES AND COMPOUND THEMES _ 65

shortened or lengthened by standard alteration techniques _ the full-fledged development of the simple period whose (extension, expansion, compression, and interpolation). | four-measure antecedent has a miniature sentential design More complex versions of these two forms appear regularly _— (see ex. 4.6). in the classical repertory. Such compound themes are defined as structures containing sixteen real measures.'? The com- —‘ EXAMPLE 5.9: Both the antecedent and consequent units display pound sixteen-measure period consists of an eight-measure the main characteristics of the sentence: a presentation with stateantecedent followed by an eight-measure consequent; the |§_'™ent—response r epetition; a continuation with fragmentation, compound sixteen-measure sentence consists of an eight- harmonic acceler ation, model —sequence technique; and a conmeasure presentation followed by an eight-measure contin- cluding cadence (slightly expanded in the consequent to permit the uation (fusing continuation and cadential functions).!3 Like final tonic to appear on a metrically strong beat).

simple eight-measure themes, the length of a compound , , ; theme may be altered by extension, compression, and so Like the simple sentence, the phrase followin g the preforth. sentation may be based on an expanded cadential progression and thus acquire continuation=cadential function.

Sixteen-Measure Period EXAMPLE 5.10: The antecedent unit contains regular presentation

, toa and continuation phrases. The consequent restates the original

The sixteen-measure period is constructed out of two presentation but alters the expected continuation so as to be supeight-measure themes. The first theme (built as either a ported by a single expanded cadential progression; hence the simple sentence or a hybrid) acquires an antecedent func- _ phrase is appropriately labeled continuation=>cadential. Such cation by closing with a weak cadence, normally a half ca- dential expansion, lasting an entire phrase in the context of a comdence but also possibly an imperfect authentic cadence.'* —_ pound period, is analogous to a cadential progression that supThe second theme (also a sentence or a hybrid) becomes a ports the complete two-measure contrasting idea in a simple consequent by repeating the first theme but concluding _ period. with the stronger perfect authentic cadence. Thus the es- This example illustrates another aspect of periodic structure, sential features of repetition and cadence that define an- which was examined earlier in connection with the simple petecedent and consequent functions for the eight-measure riod —namely, the tendency for the cadential progression of the

: : , consequent to be more expanded than that of the antecedent.

period apply thethe sixteen-measure as well.'° th dent cl ‘th a brief half-cadential . . . to ere, antecedentperiod closes with aHere. Drier nalf-cadentia progression

The major difference between simple and compound pe- from the very end of measure 7 to measure 8; the consequent exriods lies in the internal organization of the antecedent and pands the progression to four measures (mm. 13-16). (In retroconsequent units. In the eight-measure period, the four- _snect, we can observe that the continuation of the large-scale measure antecedent (and consequent) phrase is built out of antecedent also begins with a potential expanded cadential proa two-measure basic idea and a two-measure contrasting —_ gression in measures 5-6, one that is abandoned with the move to

idea. In the sixteen-measure period, the corresponding _ V3 in the middle of measure 7.)' “ideas” of the large antecedent (and consequent) are fourmeasure phrases, some of which are themselves composed of | Amtecedent = compound basic idea + continuation. In simple basic or contrasting ideas. The phrase functions _ this category, the large antecedent (and consequent) is conmaking up the large antecedent and consequent units are _‘ structed as a hybrid theme of type 3 (compound basic idea drawn from those associated with simple themes. The first | + continuation). The term compound basic idea gains in half of each unit can be built as a presentation, antecedent, | @Ppropriateness more in the context of compound themes or compound basic idea, and the second half is most always _ than in the simple hybrids, where it was first introduced. a continuation (or else a continuation=>cadential). A four- | A four-measure compound basic idea occupies the same himeasure consequent is not normally found within a sixteen- __ erarchical position in a sixteen-measure period as a two-

measure period.!® measure basic idea does in an eight-measure period. Most sixteen-measure periods can be assigned to one of

three categories on the basis of these phrase combinations. | EXAMPLE 5.11: Traditional theory would perhaps identify a “plaSince the eight-measure antecedent is repeated in the sub- _8#!’” cadence at the end of the first phrase. But the subdominant in sequent consequent, the following categories are labeled ™&as¥re 4 simply embellishes the tonic prolongation that supports

with reference to the organization of the antecedent alone. the compound basic idea. Just as the two contrasting ideas in a

simple period need not contain the same material, so may the two

. ; . continuation phrases in a sixteen-measure period also exhibit di-

Antecedent = presentation + continuation. Acompound _,.... melodj c-motivic content, as in this example.!? period from this category is made up of two eight-measure

sentences: the first sentence ends with a weak cadence, and — gx ampLe 5.12: The second phrase of the antecedent (mm. 7-10) the second, a repetition of the first, ends with a perfect au- _has continuation =>cadential function: the expanded cadential prothentic cadence. This type of compound period represents _ gression brings a manifest harmonic acceleration in relation to the

gro -? Sepa aan . ec rrr Fee f ye be fro NF N= NSS A Pp EXAMPLE 5.11 Mozart, Piano Concerto in A, K. 488, i, 1-16

compound basiccl. idea continuation b.i. frag. EE seen S| a ee De eee (renee: Antecedent

im 2)aane - Scanso.oo _ ptt oe 4 : ao - | 6oe-mSoe ein ee 4 7° *ee " ne tT) |Tt : oto oe sa es ee S| aa—_—_ ayed2aaseAaa— a a fa ce Pt} St Hh Lr of by 7 + —— : g = $e D ; -_. FT oe deoe

ped! Ca ) (Vv) of... Vv

A: I v? IV v7 | ——_—__—_—_—___ (IV

bi. c.i, frag.

Consequent compound basic idea continuation

J i a ra oN lc did ) teAfrt ££ err et ore EE ee et Pell I SP SP I viFR ué A v1 corr { eeceeeneemennennes | | pemennneeeemeemeee | me

_—a=2£ catSw' | 713 £ - 2d 2 i TT +4 < CET Se co a ———— EXAMPLE 5.12 Haydn, String Quartet in C, Op. 74/1, i, 3-18

bi. c.l. moderato a . 1 Jf S =. fs ér |A eS-4— A AS ol9AS | SS Sl BOON = oe ee Gua ef p+" ey | ee 7 a }— 6 — 4-4 4 ses a ee fT ee tN Antecedent

compound basic idea continuation => cadential

CA @2 ' g . -—_ Pped. | cresc. E.CP. VA

Akg eT FF OO™DeeaaaaPaaaLLES eo ——

\)' 2”, ST - SS OT / SS. A oy - ED | C DE AEE, EE, A SE SEALE AT 26 P" Ge CE OE eee ee ee eee

Cie COCs CIty fy & Berl ip) So UF Alig

pr]NA a et tt el ECP. nd b.i. *o.i." ee nearer ~ ae —_ed . an { JB il 2 BS Aas as: , i a s[ Lf CL ‘TT FOF Pr rp 8 5

Cc} ———_—____ —_______—___——_- (Il Vv’) i 16 né (Vg) v?—___________ Consequent

compound basic idea continuation => cadential

Ail 12 13 14 f+ NS » Te TSS 2 6€ — —174 2 38

' EE CE EEE EE CE _ A Pe A dt Ae mena ~~ “ye ee See ee! ee )- CO ee ¢ es |) eee Se ee

P cresc. S

a Fed —___ af __,_Fet__1 nage 65 yy eh ac Due Oh OS ee es © ee ee 0 ee,

1 ———__________-—- V} Iv 6 (As vu"), v3) ——— [rv vine] vg 7) I

66

HYBRID THEMES AND COMPOUND THEMES 67 EXAMPLE 5.13 Beethoven, Piano Sonata in A-flat, Op. 26, i, 1-16

antecedent continuation bi. ci. frag. aaa Te et eee oa! | ee 2aSsa| ie Andante con ~— Variazioni ~~ ~~ —_eee) Antecedent

(ae ee eee eee eee ee ee ee ;: & aa ={f = 5s 7 P cresc, sf — p cresc. tot P ab: v4 6 ve 4 Vv V6 ($) Vg vg 16 Vivv7E Vv

Pp [He ]

bl cl ee2SS& _SSSae |sess=»eS\B ‘aS eef]) er Se == ee EES SSS C|p= antecedent continuation Consequent

a f=, P cresc. 1 So

tonic pedal of the compound basic idea (mm. 3-6). The sudden Antecedent = antecedent + continuation. ‘This category flurry of sixteenth notes at measure 7 also adds continuational features hybrid type 1 as the basis of both antecedent and

character to the phrase. consequent units. The consequent is significantly altered in relation to the an-

tecedent, especially with respect to harmonic organization. The — gyamPLe 5-13: This passage illustrates well the model form. The last beat of measure 12 initiates a move away from the tonic pedal _ initial four-measure antecedent is followed by a continuation feaof the basic idea. The new contrasting idea is then supported by a turing fragmentation into two-beat units (which develop the upvariety of pre-dominant harmonies. The dominant finally arr ives _ ward fourth leap at the beginning of the basic idea), a marked acat measure 15 and is prolonged (with the help of neighboring —_—_celeration of the harmony, and a second half cadence to close the chords in m. 16) until the final tonic of the perfect authentic ca- eight-measure antecedent. The return of the basic idea is saved for dence. A large expanded cadential progression is thus created, be- — measures g—10 to signal the large-scale consequent.2! ginning with V2/IV (as the initial tonic) and continuing for the re-

cons ust in a Ls .; ,

maining six measures of the theme. . The use of a four-measure antecedent as the first part of Because of the underiying har mony, cadential function "6 the an eight-measure antecedent implies the idea of a “period equent must be seen to begin in measure 13, Duta dennite within a period” or a “double period” (see n. 15). However,

continuational quality is expressed of at this point as well, since com- of . . a consequent . . . : a the appearance a continuation instead pared with the static tonic pedal of the basic idea, the bass line in dermi ‘odi ; the | level measures 13-14 projects a significant increase in rhythmic activity. undermines genuine periodic expression at ule ower evel. The consequent phrase thus consists of a two-measure basic idea Indeed, the classical composers rarely use a simple period to followed by a six-measure continuation=scadential phrase. This build the antecedent and consequent-units of a compound formal arrangement is markedly different, of course, from that of period.”* Their avoidance of such a double period has a logthe antecedent. Nevertheless, from the point of view of melodic _ical aesthetic explanation: the return of the basic idea in organization, we still recognize formal remnants of the earlier sec- | measures g-10 of the theme (required for marking the

tion: measures 11-14 clearly suggest a compound basic idea, and higher-level consequent) would be preempted, and hence | the sixteenth-note flurry in measure 15 corresponds to the analo- _— spoiled in its effect, if the basic idea were to reappear in Or bis chan in the antecedent (m. 7). he technique of measures 5—6 in order to project a lower-level consequent. © presents teresting variant on the techniq For the same reason, hybrid type 4 (compound basic idea +

is theme presents an interesting variant on the technique o ; .

expanding function inused the consequent relative to period the ; . ; because . . .the oy cadential ; consequent) is not in a sixteen-measure

antecedent (as discussed in connection with ex. 5.10). Since the an- h € the basic id onal the | level tecedent already featured an expanded cadential progression of the appearance of the basic idea to signa ‘ © tower=leve

four measures, the cadential progression of the consequent iseven COMSEquent would poor ly anticipate the higher-level confurther expanded to six measures. To accommodate this greater ex- Sequent. This problem is circumvented if the large antepansion within the eight-measure norm, Haydn uses the contrast- cedent is built as a sentence or as hybrid types 1 or 3. In the ing idea of what would have been a compound basic idea as the _case of the sentence, the basic idea is immediately repeated,

starting point of the continuation=cadential phrase.2° but it does not return until the beginning of the higher-

EXAMPLE 5.14 Haydn, Symphony No. 93 in D, iv, 1-16

Antecedent Consequent Presto ma bi. cl. b.i. (7) —_ non .. mF]bl. L_ S319 p — a Rime.troppo } EnEee Ee STR es en 7 a» wl —~ compound basic idea continuation compound basic idea

Pp ae 2 f f f P

ye er ot eo th tt re Se oe ET EE HE et

‘a @& e——~! as or ii)}> at __fGY QS)Bay @uySee SS ee A OS Pe Pe ES A 2 ca ' ieikUV Gy# =| ge) A ee rf mmenst 2 2 as -O-y | a tha oYGG Lgesyd| pp Oe1ee OeGam :>

DD. 1 —___—_—_—_—_— Vv VI Vv .————_—__________.

a OE 2 - P .tg— |) 6 eec.. egfrag. rer ee ny ~——~ continuation

rt tt we St ttty ae “i's—* OT adaa oe tee 458 tta

.iae2 us Ld: , .ov| |

‘gat ): Gn Gn es Be ee 02 ee eee ee ee ee eee a eee PY eee eee

——______———-_ 14 v 4 16 v7 I

bi. cil. frag. . i :-Lig | , jp AY = = =;Cy. De=THOU °? BOG rPpRo ar ri me LA j.i2 r Sf + JF 4 tt r).~~ 1~fae m 3 r-2. 1. - |g ~~ pf_ )[4 ao f EXAMPLE 5.15 Beethoven, Piano Concerto No. 3 in C Minor, Op. 37, i, 1-16

Presentation Continuation oT SC“—SSNSCSCtst‘(NCSCW ' Alle bd ° e . . ry . e e ° e PrP 4} 5 tt Se rea ig 8 os he * 88 he a eo eS compound basic idea c.b.i. (rep.)

| 0 a 7 SS Oe a SS a a Se OP. | ae a a oe A Saree" SaeR Set Sa" Sa CO SS A ‘2S G7 OES SO GENTE SR

Ai) 2 SO A: Oe GT LE EE AS ES ng SES CAEN ne SS A SS A OF 7. 0 2 2 ee ae ( Oe 6a | SEE i) AS ns > Cy a a

TO cl. bl.| cl. | bil. a ne re ec. | ———————_——_—————_— V -—-— - )sCOsd 6 (VI)

descending thirds

cad.

ee = eee sree eaene arene manana mnnemenenemmmamannamman |

’ 2m UWE A GE EE..ae... HE OE SEP” GEE CREE UNE EP - EE” CS ON rw” ee ee |

\) | EERE Oi CX wih, A OF A A A a A A We ee lee

v6 cbt) v6 ; 4 imaugwg7 1

EXAMPLE 5.16 Haydn, String Quartet in G, Op.77/1, i, 1-14

compound basic idea c.b.i. (rep.) Presentation

moderato -_—~ Pm — — SS nda bh Ph af mm, BR z ‘Jhb sR fos af} ee eee a tt Be ESh aa

Sp nS . Sp

’ a EE Cs ee ee ee ee. ee eee 2 Pe ee Oe eee =e ae eh... Bee bn Se ee en es ee en 0" eee 2 Se" eee ee

G: 1 ————____________- (IV) 04 v§ ——_____________-—_

Continuation model sequence .

— ~Nee —~ ; ; ; a, oT TT ee Aidt ~ Opis -\ .— 9 °ee;1eeCe:ee ee»CAeefae ine t eee anw _ a E> Ee... eee /ee eeeob OeCY a ee«6G ee" 0 eee ee 2... "eeqa“LE Cl.eeeeSeeee ET GeeeGees ae

4} |_| —_§} —_}-_ _»>—. —_, 8 —__+ 3. _»—_| 2 > ———oooo 1 6 ore tS

“eee

$1 vs VIXA vgXAsv (116) vg) I E.CP.

HYBRID THEMES AND COMPOUND THEMES 69

level consequent. With either of the hybrids, the basic idea | Compressed continuation. Whereas it is in the nature of appears in the larger antecedent just once and returns only __ the period to maintain a balance between its antecedent

in measures g—10 of the compound theme.” and consequent functions, the sentence, with its forwardAt first glance, some themes in the repertory seem to vi- _ striving character, has less need to preserve a symmetrical olate the general principle just enunciated, inasmuch as _ phrase structure. In particular, the formal functions of conmeasures 5—6 bring melodic—motivic material resembling _ tinuation and cadence can often be fully expressed in fewer the basic idea, thus suggesting a lower-level consequent. _ than the eight measures offered by the model form. Thus, But a closer look at this “basic idea” reveals that it is sup- | many compound sentences compress their continuation ported by different harmonies and that it returns with its and cadential functions into a single four-measure continuoriginal harmonic support only in measure g, which marks _ation or continuation=>cadential phrase, like that of a sim-

the beginning of the higher-level consequent. ple sentence. Even when the continuation is compressed, however, the composer may restore a semblance of symEXAMPLE 5.14: The theme opens with a compound basic idea built. | ™etrical organization by repeating the continuation phrase

over a tonic pedal. The next phrase appears to bring back the basic or by adding a postcadential extension, thus stretching the idea in the manner of a consequent, but the supporting harmonies, theme back to its normative sixteen-measure length. which are entirely different from those of the opening basic idea, accelerate the harmonic rhythm and thus suggest a continuation | EXAMPLE 5.16: In the model form, the continuation usually fragfunction. A more exact restatement of the basic idea in measures | ments the preceding four-measure compound basic ideas into two9-10, with its initial harmonization, signals the real consequent of | ™easure segments (see the preceding example). ‘This procedure re-

this theme. The last phrase (mm. 13-16) brings an unambiguous sults in a 2:1 ratio between the original unit and the fragment.?’

continuation expressed foremost by fragmentation.24 Further fragmentation may then produce one-measure segments, | which again yields a 2:1 ratio. In this example, the beginning of the continuation suddenly reduces the unit size from four measures (in

the presentation) to a single measure, which results in a com-

Sixteen-Measure Sentence pressed continuation of six measures. Underlying the fragmenta-

; ; tion is a descending third sequential progression, whose last link,

Model form. The model sixteen-measure sentence consists ¢1y_TV, also m ae the beginning i an expan ded cadential pro-

of an eight-measure presentation followed by an eight- gression.28 measure continuation. The presentation contains a compound basic idea and its immediate repetition, both sup- EXAMPLE 5.17: The presentation is followed by a four-measure ported by a tonic prolongational progression.25 The con- continuation=>cadential phrase ending with a deceptive cadence in

tinuation is characterized by fragmentation, harmonic measure 12. The failure to realize a genuine cadence motivates a acceleration, sequential harmonies, or increased surface "SPetuon of the phrase, which brings the expected perfect authen-

rhythm. The cadential progression is usually expanded to tic cadence. The repetition also reestablishes phrase-structural

,; symmetry when eight measures of continuation and cadential support the final four-measure phrase. The sixteen-measure fanct;presentation. ae og nction now match the preceding eight-measure sentence most often closes with a perfect authentic cadence;

a concluding half cadence is rare (but see ex. 5.18, discussed EXAMPLE 5.18: A compressed continuation leads to a half cadence

shortly in the next section). in measure 12. Although the theme has technically ended at this point, a subsequent four-measure standing on the dominant ex-

we _ mae ance with the presentation.

EXAMPLE 5.15: The presentation features statement-response tends the passage to sixteen measures, thus restoring a sense of balrepetition of a compound basic idea. The continuation develops

the second motive (“x”) from the initial two-measure basic idea in The preceding discussion has focused on the comthe context of phrase-structural fragmentation and harmonic ac- . . se . .

celeration. (The opening motive from the basic idea is also pre- pressed continuation because this deviation technique is sent in the bass voice.) Although the underlying harmony of the ™0St characteristic of the sixteen-measure sentence. Other continuation is quite functional, I-IV-V—I°, the use of substitute methods of altering the model form are also employed by chords (VI and bIT) and the choice of bass notes on the downbeats the classical composers, including the use of extension, exof each measure strongly suggest a descending third sequential pansion, and interpolation, devices sufficiently exemplified

progression.”6 in previous discussion to not warrant further attention here.

70 TIGHT-KNIT THEMES EXAMPLE 5.17 Mozart, Clarinet Trio in E-flat, K. 498, i, 1-16

b.i. cl. ( rs —— ae | ae a Andante ae —_——— fCtreLSwa Paus |) 7 et Toe ES A eS a ae eSSet ae So Presentation

compound basic idea c. b. i. (rep.)

@ a 77 44 | 5 74 74

p p p p et SS US.

Eb: | —— vg SSSSSSsSSSSSSSSSSSSSSSSSSSSSSSSssSSSsSSSsSSSsSMMsSsS I

a) SR = —— a ee ‘=-ee oe ee ot tate —— os a eg — Cadential ) . Cont. > Cad. (rep.)

E.C.P. dec. cad. E.C.P.

Gel Getea 5 545 San a ytdip=

p!

Presentation . b.i. cl. Allegro 2 oe. wey) vi “ sli i in, vx vw of fe I Ny gfJSGai A, EXAMPLE 5.18 Haydn, Symphony No. 83 in-G Minor (“The Hen”), i, 1-16

compound basic idea c. b. i. (rep.) a ES, OE————_, SOR ic icc cracls,} . . e

* 6 TN , : . ’ :

Qh —_ 8 8 o (EPP EEEP EPPPEERP REFERER 1 | OESP REF PREP EREF OFF ERE

g: I $$ V8 (I) — __- ______ [~dVI I... Continuation Standing on the dominant

ier44 Dl A0)19gO a ofee |_4 34t-te >: !ses .— bir 2s eee rr84oetryleeHI |

6

Small Ternary

The small ternary is one of the most important forms in all Many small ternaries are built unequivocally out of three of classical instrumental music.! As a theme-type in its own __ discrete sections, fully distinguished from one another by right, the small ternary can constitute the main theme of | marked changes in musical content and formal organizaany full-movement form (sonata, rondo, concerto, etc.). tion. The form appears more often, however, in a way that The theme of most theme and variations movements is | somewhat obscures its tripartite organization. In these built as a small ternary. And the form, at times highly mod- _ cases, the A section is immediately repeated before the ified, can make up all three sections of the slow-movement __ onset of the B section, and then, following the end of the A’ large ternary form, as well as an interior theme of arondo ___ section, B and A’ together are repeated. The composer usuform.” In addition to functioning as an individual thematic _ally indicates this structure by repeat signs, although the reunit, the small ternary can replicate the basic formal and _ peated sections are occasionally written out in order to tonal plan found in the full-movement minuet and sonata _introduce ornamental changes. Since these repetitions proforms. Thus, more than any other theme-type, the small —_duce a distinctly two-part design, many theorists and histoternary raises issues of musical form that transcend the __ rians have labeled this a “binary” form. More specifically,

scope of simple thematic organization. the term “rounded binary” has been employed in recogniThe small ternary consists of three main sections, which _ tion of the return of material from the opening of the first express the formal functions of exposition (A), contrasting _ part later in the second part. middle (B), and recapitulation (A’). The exposition is con- One of the most vigorous debates in the history of thestructed as a tight-knit theme,’ most often a period, but also — ory concerns whether the simple form under consideration

possibly a sentence, hybrid, or even a nonconventional de- _here (as well as its more expanded manifestation, the sosign. This theme ends with a perfect authentic cadence in _nata) consists essentially of two or three parts. Advocates of either the home key or, in the case of a modulating Asec- _ the binary view argue from a number of positions. They tion, a closely related, subordinate key.* The exposition oc- _—_ observe, for example, that the two sections are often similar casionally ends with a brief closing section that consists of | in length and thus display a kind of symmetrical balance.

one or more codettas. Some theorists point to the repetition scheme, noting that

The contrasting middle section achieves its sense of con- __ the so-called middle section (of the ternary view) is structrast primarily by harmonic and phrase-structural means _turally dependent on the subsequent A’ section and, hence, and only secondarily by melodic—motivic means. Whereas _ cannot be repeated in its own right. Finally, supporters of the exposition emphasizes tonic harmony (by beginning _ the binary view stress that when the first part modulates, and ending with this harmonic function), the contrasting __ the overall tonal process—the movement away from, and middle emphasizes dominant harmony. The harmonic goal __ ultimate return to, the home key—expresses a fundamenof the section is, with rare exceptions, the dominant of the _ tally bipartite shape, to which the more tripartite melodic home key, and this harmony is frequently found at the very —_ organization is merely secondary.

beginning of the section as well. The phrase structure of Supporters of the ternary position argue that the binary the B section is looser and usually less conventional in its | view minimizes two significant aspects of formal expresthematic design than the preceding A section is. sion—the notion of a truly contrasting middle, and the idea The recapitulation represents a return, either complete _ of recapitulating the opening material. These are, of course, or partial, of the exposition. The section must begin with __ two of the functional components of the form emphasized the basic idea from the exposition and close in the home _in our discussion up to now.

key with a perfect authentic cadence. If the A section has When the arguments of both sides are sorted out, the modulated, the A’ section must be adjusted to remain en- _ theoretical conflict would seem to disappear, since the op-

tirely in the home key. posing positions are incompatible neither with each other 71

EXAMPLE 6.1 Mozart, String Quartet in D Minor, K. 421/417b, ii, 1-26

presentation (7) continuation (7) bil. b.i. interpolation ree I Krre—se_es | srr 1 aeecad. ene rs | . —_—~ ——_ ~ we ee Ee ae Om Oe aan! NA, baw Ga oe eriner nr) 2a cSiee eer: 5 me be Semis ee meeps ree eerie reer Sete

; 1=5P = oF =Pp ef a)=5 =>S oy pees Pp f:fhanf cresc. cD cresc. oy P~~

{

F: I 6 Vv | —_—_—___—_—_—________——___ | IV V 7 | —_——_—___—________—_______ J

c: Uv v$ ss F8IVE VCg 7) I

new idea frag. bi. Oy 6a te ee ot OE he te ee . A p -_ = S19 1 Ja of P Pre Pop ref af cy P v c: I v7 I F: v6 1. (V) g: vg }' 1 We 9 yD (il)LIV [He (inter.) bi. frag. . —— e| 2ue2 erte —~ —: / ~~ la. ‘qs ; = = a3~i1 A 1 aii | ) d ry 9 == 20 0 ! d eee 3 HH ai a i er et ee at he oe cresc. S a eo ee en . egg gh oa ey it er p p = ae — _~ ~ P I \ \ a IV vu? Vg E.C.P. i 1) nnKey Cee nnn re' arerOv—X—_———y a——~ _— oo 5 9 wa aD u maf SSA Jil Salt ) " 1S — OM ea {2 Oe Os 7 4 BE OE A OO OS es en ee EE A Es Es EE es "he ee 0s ee 0 en ee ee ee standing on the dominant (retrans.) presentation (7)

‘ACE WET eee i eee Oe eee) oe ee ee eee ee ae (ae .c8 So bene... a ee” "ee Gs Se” Se, RS eb WE bs 2 0 ee Se ... — wwe”. Ca

continuation => cadential

FN A) — | —— ps ——_} — el 7 — es + —- St 1 — at ———_} 4} ht | le pS am! & tt —@l_-__pag yan 4 jt hyd — It — dt —— th

i) ge a i 4 AE LS sae at ey! ___-}-4 aM AD mm! pee 2 OE 2 Le ae eT Fl ——f+—,}+—_}—_ +f yf +f oe a ene wee

cod. x. frag. lo —_— ,u ‘Fd gs Qe A TS A A A a oe Oe a oT SY me 2 2 dL gs - yaoeeme el ;P ityak, p FF, h ° f I Vv vw“ v 1 Closing section

‘(LAI S.@ EE EOS OO Pe eee Ae 2 ee eee!

(dec. res.)

e

72

SMALL TERNARY 73

nor with the empirical facts presented by the music. Both —_ exposition may contain, for example, multiple thematic views say something important about formal organization _units,!° or it may consist of a single phrase, thus resulting in in this theme-type, and there is no reason to completely re- an incomplete theme.'! At other times, the exposition in-

ject one or the other. cludes material that only remotely relates to one of the conIt should be clear that this book emphasizes the ternary _ ventional theme-types. |

approach because of its greater compatibility with issues of

Pp ry § ; ;

formal functionality. Nevertheless, notions of a more speci- = EXAMPLE 6.1: The constituent elements of this exposition are diffically binary theme prove useful in two differing contexts. _ ficult to interpret functionally. The opening two-measure idea can First, another theme-type—the small binary—is defined as _ be viewed as a basic idea, although its supporting harmonies and

functionally distinct from the small ternary (chap. 7). Sec- melodic contour (save the final upward turn) are entirely cadential ond, the term rounded binary can be used in cases in which =". N4tUFE. A contrasting idea ‘ns 0 start in measure 3» only ‘0 the two-part character of the small ternarv form is given be cut short by a return of the “basic idea” in measures 4-5.'? As a

; os . result, measure 3 can be understood instead as an interpolation,

prominence through the repetition ofchange the sections. Theand h ked dlackprogression of h ; . ; whose marked in texture lackchance; of harmonic

small ternary and rounded binary must be understood, give it the impression of not entirely belonging to the prevailnonetheless, as essentially the same form; that is, they both ing functional unfolding.'’ Two functional interpretations have contain the three functions of exposition, contrasting mid- emerged thus far in the theme: first, the passage can be understood

dle, and recapitulation. as beginning with an antecedent, whose contrasting idea has been interrupted by a return of the basic idea (to mark a consequent); or, second, the passage can be regarded as a presentation, whose re-

EXPOSITION statement of the basic idea is interrupted by an interpolation. In light of what happens in the rest of the theme, the second interpre-

The exposition section of a small ternary (rounded binary) _ tation of a sentential scheme is perhaps preferable to the first inter-

is built as a relatively tight knit, self-contained theme, one _ pretation of a periodic one. whose internal harmonic and melodic processes are brought The material of measure 3 returns at measure 6. But since this to a close by means of a perfect authentic cadence, in either Music is now extended to bring about a modulation to the subordi-

the home key or a subordinate key.’ All the conventional 4t€ key (V), it seems to have a greater functional significance theme-types discussed in the previous chapters (sentence, “4” before, when it simply prolonged the tonic harmony from the iod, hybrid) can be used to construct an exposition. end of the basic idea. Moreover, following as it does on a presenta-

period, hy p

tion of sorts (assuming the second interpretation), the material now forms itself into a definite continuation, which ultimatel

Model forms. Most often the A section consists of an ends with a one-measure cadential idea that confirms the new key. eight-measure period or an eight-measure hybrid with peri- —-{, summarize, the theme is probably best interpreted in terms of

odic characteristics (antecedent + continuation or com- the sentential functions, yet it also distributes its material in a depound basic idea + consequent). If the period remains in _cidedly periodic fashion (alternating basic and contrasting ideas). the home key, it has the potential of functioning alone asa _Since the theme cannot be classified as one of the regular hybrids, complete main theme, followed by some other thematic _ it must ultimately be seen as nonconventional in form.

unit (such as a transition, subordinate theme, or interior Despite its lack of conventional organization, this exposition theme). When a contrasting middle and recapitulation embodies some distinctly tight-knit characteristics. Until the point ensue instead, the listener understands in retrospect that °f modulation, the home-key tonic is emphasized by means of two the initial period functions as the exposition of a small cadential progressions and further tonic prolongation in measures

6 . ws Conversely, 3 and 6. And although the internalmodulates grouping structure is obviously ternary.° if the exposition to a new . vs . . asymmetrical, the exposition as a whole fills a conventional eightkey, the change of key will set up powerful expectations for measure mold. Finally, the A section proves to be more tightly knit

a following B section, because a modulating theme cannot than either of the following B and A’ sections, whose decidedly function by itself as a main theme, a formal function that —_{oose organization is discussed later.

must always close in the home key.’ The eight-measure sentence and the sentential hybrid (compound basic idea Closing section. The exposition of a small ternary occa+ continuation) are used less frequently as the basis of an _ sionally concludes with a postcadential closing section conexposition,’ and compound themes are even more rarely _ sisting of one or more codettas. As discussed in chapter 1, a

encountered.’ codetta prolongs the tonic at the end of an authentic cadence, often within the context of a recessive dynamic that

: Nonconventional forms. ‘The exposition can also be con- helps dispel the energy built up in achieving the cadence. structed in a nonconventional manner, although a sense of tight-knit organization (symmetrical grouping structure, — exampLe 6.2: Following a modulating eight-measure period, the emphases on tonic harmony, unity of melodic— motivic ma- exposition ends with a brief closing section, which consists of a oneterial) is usually expressed nonetheless. A nonconventional —_ measure codetta that is immediately repeated. The final fortissimo

x fs ' ~ a EXAMPLE 6.2 Haydn, Piano Sonata in G, Hob. XVI:40, ii, 1-24 ,

antecedent consequent b.i. c.i. (lead-in) N ~7 —_— Prestoew ma= og _— , >-— a =—~~&

, ProtFaa SO ot Ft | AS Ss: Ahm "a eee | ot tet mn tt tt—EF tt AO 8 Sheaeee Oe ea14s tt ~i oe

Cf1...tf. v3 Pop | Cf en =44 G: He (vg) OVOf 1. vi6 vaIvé CAUL D: (16 ——_—_____. wi 7) closing section continuation —, +, frag. model sequence cad.| es | nny cod. x | ennenseneereeseeemenemememans | [ tenner (Vv)

. . hd ——

Ais asp i FT TS Fre ta Bal TT! 10oe| bg. 13 eesfhe: bY yw Fo as [+ — ooo a 2otpee ee ; —+. 0) thy — 64ey —tota _—-*¢@) — a — — Ot 9 erOTe a— 9 he eS,oIee ee ee oeo*—o_t>a | ee

Seda ede eee =é 4viié pf Ff 1. is Gc: bin eee vis bis 16W~8 no VUP

~ [He ] | aa, a i a —s — = ~ Anas . SRR b.i. model sequence x continuation

Apise[bs Piteee alge 19 Tr et teAnme T 5 fil aaiineePE8) et | a| 20a ess Go| LittrteH

"1.PF 5 leet 1 Ive | P sen & v v§ F ll vg t $$$ ss VI* Wwe S

NA

I Fe. closing section SIS

yr et Se ee at f 2 eee) ae a. ae ~ poten Paar, 24

—e ._._.- &a_iasa.. 4 Oy jinn Peet A Lo -+--# —__-___-_-_—‘*f

EXAMPLE 6.3 Mozart, Eine kleine Nachtmusik, K. 525, ii, 9-16

new idea ~ ‘b.l. ~~ [a OO —_™ €..¥ a i a a a Lf SEE Dee eee

standing on the dominant consequent Andante a “~~ S —1)=dees ———_, Wit onearsr TS |)thed Fa Hes Jeter,. |)—_> ) 1 Tis 2 £ Re a ree Me er rere eee pre renee eres astnemerunetsen__t te L [lis #2 i - “St. £. 1 2. WP WV

Pped. idigied FET tf ee an cresc. JP P NA YA al Sf

iy wht ia- seas ~ {| > .. -Mtat(l a oa... tla s&s 2. SU UUUUUUULUUULLL Ue. LLULULLULWLUW..LULWLUmS.DLUmMUhUGL UG LC eehDmDhCDmCmhC CUCmDUrUCUEAB aw a. eo ngt [&. —¢ 7

A3°8 LD SERRA SEP - I , ‘ RT CR OE 2 EE A GE -.0 Ee ee. 6 LA Cc; v7_—___________._ (1) v——____—_____—___——__ (I vil) v I v? uo ovo? 1 6 (V4)

=—

c.l. ere enneeneennne | >

OEE eeyt.ee ee .‘SEE @ WV fb)| aititi Uae) Te ie -. ltl @ ft. tf Zl és

: Z|. 24 E -| seo Be#!gd xy. 1 Hg wg 7) I

74

SMALL TERNARY 75

Ds in measure 10 should also be regarded as a codetta, thus bring- — (analogous to a ternary A section) elided structurally with ing about fragmentation in relation to the preceding codettas. Al- the beginning of the second section (analogous to a B sec-

though the flurry of running sixteenth notes in measures 8-9 _ tion). Theoretically, the sense of a distinctly contrasting might appear to counter a sense of recessive dynamic, their place- “middle” would presumably be weakened if that middle ment immediately following the cadential figure in measure 7 has a were to be directly attached to the end of the exposition or

definite recessive effect nonetheless. It is as though a spring was to the beginni F th ‘tulatio wound up in measure 7 and finally released in the closing section, egunnng OF ie Feeaph me thus dissipating the accumulated energy of the theme.'* Unlike the exposition, the contrasting middle never closes with an authentic cadence in the home key. Rather, the B sec-

tion most often ends with a simple home-key half cadence.

CONTRASTING MIDDLE The section may occasionally conclude with an authentic ca-

, dence in the dominant region. In such cases, the tonic of the

The contrasting middle of the small ternary is more loosely subordinate key is often converted into the dominant of the organized than the preceding exposition. This looser orga- home key through the addition of a dissonant seventh. At nization is achieved by a variety of means, foremost among [5 however, cadential closure may hot occur at all. If the them being harmonic. Whereas the exposition expresses section consists exclusively of a standing on the dominant, the stability of tonic harmony (the section normally begins then the lack of a cadential progression will exclude the p reswith tonic and closes with an authentic cadential progres- ‘© ofa formal cadence. Mor cover, even though the section sion), the contrasting middle expresses the instability of contains a definite harmonic progression that concludes with dominant harmony. The B section often starts on the home- dominant h armony, we someumes may be reluctant to speak key dominant and, with few exceptions, concludes with that of a genuine cadence at that point, because the dominant harmony. (In some cases, the section consists entirely of a takes the form of a seventh chord or because the onset of the standing on the dominant.) Prominent sequential progres- dominant seems not to mark the actual end of the melodic, sions can reinforce this harmonic instability all the more.'5 7 hythmic, and phrase-structural Processes. I thus term such a The contrasting middle also achieves a looser organiza- SUaHon a dominant arrival in order to distinguish it from a tion through phrase-structural means. The B section is usu- B® WNE half cadence.

ally less symmetrical than the A section and frequently un-

dergoes expansions, compressions, interpolations, and the Standing on the dominant. In the simplest cases, the B like. Although intrathematic functions associated with tight- S©©40M 1S suppor ted exclusively by dominant harmony (ei-

knit forms are often found in the contrasting middle, they ther liter ally or prolonged). Typically a new two-measure do not usually organize themselves into a conventional the- idea is introduced and r epeated; fragmentation and liquidamatic design. Occasionally, the B section contains an eight- 407 ™ay then ensue. (Since the opening two-measure idea measure sentence ending with a half cadence, but the pe- essentially expr esses dominant harmony, It should not be

riod form is rarely (if ever) used.'6 considered a basic idea,” which, in principle, is initially Whereas the B section contrasts with the A section pri- supported by tonic harmony.) The formal function of this

marily by means of harmony and phrase structure, the ap- _—P#5S@B& Can more technically be ter med a standing on the

pearance of new melodic— motivic material can create con- dominant a Unlike those cases in which a standing on the trast as well. The B section may also feature prominent dominant directly follows a half cadence and thereby exchanges in dynamics, articulation, texture, and accompani- — PF©SS¢S 4 postcadential function (see ex. 1.4, mim. I2—14, mental figuration. The use of polyphonic devices, especially and ex. 5.18, mm. 12 ~16), a standing on the dominant that motivic imitation among the voices, often distinguishes the follows on an authentic cadence ending an exposition excontrasting middle from the exposition, which is usually PI©SS°S the general sense of functional initiation—namely,

more homophonic in texture.!7 initiating the new contrasting middle. I later examine B secAn examination of the classical repertory reveals that the “0S that contain a (rue postcadential standing on the domcontrasting middle never elides with the exposition. That is, 49¢ (following a half cadence). the final measure of the A section cannot at the same time be construed as the first measure of the B section. Rather, "*4MPLE 6.3: The A section of this small ternary, a nonmoduthe contrasting middle always begins in the measure follow- lating period, was described in connection with example 143. ing the end of the exposition. Likewise, the B and A’ sec- The B section, shown here, begins with a new two-measure idea tions do not normally elide. This lack of elision has both following two moscuree 2, and ine nthe ue . 's repeated in the historical and theoretical explanations. Historically, the are supported by a dominant prolongational progression, the enclassical small ternary derives from various baroque binary tire contrasting middle can be said to consist of a standing on forms whose two parts were invariably repeated. Such a _the dominant. repetition could not take place if the end of the first section For the purposes of the formal analysis, measures 11~12 are

EXAMPLE 6.4 Beethoven, Piano Sonata in E-flat, Op. 7, ii, 1-24

b.i. x. frag. new idea x,

4VA' :AraVa" .:

presentation continuation standing on the dominant | |gran { nnn— De nee: | ll 7screennames —~ —_—con —~ f~ ———~ Largo, . ~Cenenneen _ fen. ‘De™

espressione .75 a. | ¢|.fs —— —2 ae 3 Ee F-¢ ;.TS ot 9rk aa —,, Ee + Oe rae FT a ete

— 8 ee et == PN 4to i]eed abe f \aeFR ,— — a4== rinf. —

c: | vg———_— 1 ———— v® —___- v$ 1&v$)r 6 v? I (V4) Vv (V4)

a continuation eee lea -in) ——— Pe ee oN — Oo aan ——— ye ; 7 4 =—— ‘

17Ga ‘dideee Pri S Nis t)Oe FBeehitCees aayST _15 Deee:-—— aeeeamet ‘A>is "7ot Loeee foo —~ PPaERO eee / 2s ee Oe ee HH es D, (i$ ee St Fe SE oe i et et et a he SS ae ru 2S A see 0s ee Oe. ee nen: os ee ah —— AEeeae

ig rinf. 5 fr Otof —=_ fp pp~ VEY Vv (v4/V 4) -v? I vg—_—__—__ I ve ul vg YA IV v§ V VII? VI NA Ne Ne continuation

«~NX °N°N1 4, ' e e ee XN 4 yn ° e N pg 5) —F —vnge fe 21 L te 22) 1 A SSO PS —F — tT >): —_ 41" teneeeeoe oh Pe 2 -et 5 et eS eM)! Se ee ee) 68eee eeeaeee eee: PP ' yySIS: iy ip 3s yoa 4, 4, 4, 4, 4/ ° ° If “8 p?p=—=—_ = pp [ screenees | | rene | | parce | .

nn eee es eee ee See |) ee 2 ee ee Oe eee ee eee eee eee eee ees ee:

vg wg 7) vuge v7? Wm vg——— il v?—————IVW(I$) vf wg 7)

VA dec. cad. VA VA WA p> ‘NA

b.i. ci. new idea a . —_——— Allegro ant mn? ge . a, a 8 a et inP “8-H eo oe eS a ° 8 . ? ° sf ns . ‘i ._e-°

EXAMPLE 6.5 Beethoven, Piano Sonata in G Minor, Op. 49/1, ii, 1-16 !

a ae

antecedent consequent a4 wee Re SS OD AS ees, RR, ees ne SS OD AS ee A. 1, fas SSTUCP Se >RB re TTP a eetee eCELeHTUE 5 22 ot vee 0S BE GlsTey BSTES F ee... BTU 1b} ‘a Ya. als 2 0 Oe oe ee ee ee” ee 2 2 ee ee es 2. 2 2s ee. “eee nd oe 2 ee eT ee = Ae 2 ee a es 0 ee .... © ee ee 2 ee” 2 ee 0" ee ee

G: I... ° v [Hc I... °| [Pac I (V8) | I frag. frag.

consequent

e -N\ e ° ma . . e hd e

oN e Ld °». d) IF 7>~ ° | Agoao | 1|}1to | Sy PSe| were fgitte i PRE (So 1 oe po | * * 8 ee ar tt te I Ce a a a oe ee se ee cr SS

TESTI yi 1S IcV§) 15} ~ fF 7 eeVg I... I (Vg) (V8) dominant arrival

76

SMALL TERNARY 77

considered an exact repetition of measures g—10. However, we EXAMPLE 6.2: The melody of the B section immediately suggests should not overlook the important melodic and harmonic variants | model-—sequence technique, although the organization of the sein the repeated form of the idea. First, the melodic line reaches up _—_ quential repetition is rather subtle. The material might appear to to a climactic C in the middle of measure 11. Second, a greater — group into one-measure units as defined by the bar lines, yet the sense of finality is created when the melody ends on the dominant _ actual model does not begin until the middle of measure 11. The scale-degree, preceded by its own leading-tone and harmonized by sequence then appears a third lower in measures 12-13. Hence,

its own dominant (VII®/V).!9 the first half of measure 11, which brings the opening motive (“x”) from the original basic idea, does not actually participate in the se-

EXAMPLE 6.4: The standing on the dominant (mm. 9-14) com- —quential plan.

prises three varied statements of a new two-measure idea.?° The The model would seem to be sequenced again in measures dominant prolongation is achieved by neighboring V/V chords, 13-14, but Haydn breaks the descending third pattern and starts which temporarily convert the dominant into a local tonic.(There the idea a fourth lower instead. Moreover, whereas the harmony is no modulation, however, since the dominant region is not con- on the third quarter of measure 13 would have been a VII°/V (in firmed cadentially.) The addition of the dissonant seventh in order to maintain the sequence a fourth lower), the bass note has measure 14 reestablishes the G harmony unambiguously as dom- _—been chromatically lowered to Eb so that it can descend to D inant of the home key, in preparation for the initial tonic of the Tather than ascend to F¥ (again, according to the sequence). All

recapitulation. ] these alterations to the original model ultimately convert it into a

conventional half-cadence idea, which brings the B section to a

A contrasting middle section may begin and end with a close. The resulting four-measure unit has all the characteristics of dominant without necessarily being supported by a prolon-

; ; ; . a continuation phrase and may be so labeled in the analysis.”

gation of that harmony. The initial d ominant may function Looser sentential form. Because the contrasting middle of instead asa subordinate chord within a tonic prolongation. the small ternary is more loosely organized than the pre-

In series ceding of alternating dominant conventional and tonic harmonies, it di ss ‘onalinfrequently theme- ‘afr I . , a—— exposition, theme-types

is sometimes difficult which Indeed, is the primary, ; ; most ; aan appeartoindecide the B section. the periodproand its

longed;harmony and which is the subordinate harmony. yey related a , y related hybrid (compound basic ideahybrid + consequent)

The particular melodic— rhythmic context alone helps de- ae never found there. Occasionally, however, the contrast-

termine the correct harmonic analysis. ing middle is distinctly sentential in design. In such cases,

. the supporting harmonies are made less stable or the group-

EXAMPLE 6.5: The B section appears at first glance to be a simple ing structure less symmetrical than in the regular tight-knit standing on the dominant. Yet the Vs chords on the downbeats of form. The resulting looser organization is particularly suit-

og: able for a contrasting middle.

each measure have a strong tendency to resolve to the following . ; tonics. Since the dominants are thus subordinate to the tonic, and

not vice versa, we can conclude that the B section is actually sup- Oo ported by a tonic prolongation until the very final chord (m. 12). EXAMPLE 6.6: The B section is built as an eight-measure sentence. We must therefore reject our initial interpretation of a standing on Note how the under lying har monies significantly loosen the form. the dominant. Nevertheless, dominant harmony receives consider- Fit st, the presentation pr olongs tonic in first inversion (rather than able emphasis in the section. Not only are the initial and final har- =" the more stable root position); mor cover, the opening harmony monies dominant in function, but also this harmony falls on metri- 5 dominant seventh. Second, the continuation phrase features an cally strong positions in the measures. Melodic stasis on the fifth extensive stepwise-descending sequential progression, which conscale-degree further emphasizes the sense of dominant. As noted tinues to prolong the I° of the presentation, leading ultimately to a

later in this chapter, the section ends with a dominant arrival half cadence. Compared with the hybrid theme of the A section,

rather than a half cadence.2! with its six-measure tonic pedal and perfect authentic cadence, the

sentence of the B section has a distinctly looser formal expression.

; ; ; (The second phrase of the exposition might be labeled “continua-

Model~sequence techni que. The contrasting middle of a tion->cadential” if the harmony of measure 5 is already thought to small ternary frequently brings (especially at its beginning) represent a pre-dominant—IV with a raised fifth—in the new key, prominent sequential repetitions or, to use an alternative in which case an expanded cadential progression could be seen to expression, 7odel—sequence technique. With this procedure, begin at that measure.)?3 an idea (the model) is repeated (as a sequence) on differing

scale-degrees. The sequential harmonic progression sup- — Postcadential standing on the dominant. We have already porting model—sequence technique expresses a definite | examined cases in which a contrasting middle consists ensense of harmonic instability, which is especially appropri- _ tirely of a standing on the dominant. Frequently, however, ate for creating a more loosely organized section. Ifa short that phrase function appears toward the end of a B section, sequential passage is followed by a half cadence, then the directly following the half cadence that marks its strucentire B section may resemble a continuation phrase, such _ tural close. This postcadential standing on the dominant

as might be found in a sentence. builds up powerful expectations for harmonic resolution to

EXAMPLE 6.6 Haydn, Piano Sonata in E-flat, Hob. XVI:49, iii, 1-24

wt Sl s

bi. ci. ee—~ nn nn neem nnn nn nee CN ; ZN Tempo di f~ e i ™. e oN eJT) e le ATs hh Tf) an rw BEI Nb bh fs3 ees compound basic idea continuation [ => cadential (7) |

Senate ese ene Sidnae auana Eb: Tea {vis —_—— Bb: Lue vs 4) I

presentation new b.i. continuation xn. cSOld dd] | 22h) som oe Pe ee , meres FI ue

nnn en nnn enn n nnn eee een neem nee nn ne nnn nnn een tnnne nnn enn eee ee —i—— _ .

Ry prpy fe 5 a | f FF 2 2 Eb: 16 v7 4 16 (vs v6 vs IVvé mé IS) 16 46

a, {3 a AS \ . ?VvTO era7)aI I, v4oo Iv6cae né ws compound basic idea _ continuation

A116-—™~ NBS]See nem N ee Pp6 Fi ent } je | eee NDTBee Tha ._ . eee «. 2a. — |... ie UU dL ep oS, 1 —-*— 2 ___,,, fe —)--g 4 EEE GE os 6 GE Ee SE ee) ee ee eee ees |

i’ Ay rs | sn a. > — io ff Cel f Jal ie SN ED >_f6@ "tf PT toto an —_ o—f _ sf #2: at a.» - a.» ji

V Vi... 6 v7 ] 88

SMALL BINARY 8g

conventional theme-types, only the sentence and the senten- _ between the first and second parts is not required of the tial hybrid (compound basic idea + continuation) tend to _ form. end with a half cadence. The period and the periodic hy-

brids normally conclude with authentic cadence.’Middle The . , y Presence of an a Contrasting

first part of a small binary can nevertheless express a sense of |

periodic organization yet still end with a half cadence. In Contrasting middle + continuation. ‘The second part of a

this case, the resultant form is nonconventional. small binary often consists of a four-measure contrasting middle followed by a four-measure unit displaying continuEXAMPLE 7.1: This small binary begins with a regular antecedent _—_ ational traits. This continuation phrase may refer back to a

phrase. The second phrase restates the basic idea in the manner of _ similar continuation from the first part, or it may be cona consequent and quickly modulates to the submediant region. But structed out of entirely different material. rather than closing with an authentic cadence, as would be expected, the phrase ends instead with another half cadence, thus =. y aupre 7.3: Following the modulation, the second part returns denying the implied period form. Although we might be temp ted to the home key with a two-measure idea, one relating to the basic to label this phrase an antecedent because of its weak cadential clo- idea but emphasizing dominant harmony instead. A subsequent sure, we must F ecall that a true antecedent is nonmodulatory. The contrasting idea leads to a half cadence. These four measures are

second phrase is thus better seen as a failed consequent. typical of a contrasting middle, and if a recapitulation were to appear next, an overall rounded binary would be realized. Instead, EXAMPLE 7.2: This small binary opens with a compound basic the subsequent four-measure phrase is a version of the continuaidea. The following phrase begins with a variant of the opening tion from the first part but now is tonally adjusted to remain in the basic idea, thus implying a consequent phrase to make hybrid type = 4... key,!2 4. But a half-cadential closure in measure 8 disallows this interpre-

tation, and the theme acquires a nonconventional form, albeit one ;

; ; a, we If Haydn had wanted toqualities. compose a th small ternary inidconwith prominent periodic th dj leh h The melodic close of the two phrases suggests a kind of “re- hecuon wi © preceding example, he wou not ave versed” or “inverted” period—a consequent followed by an an- found it easy to retain its symmetrical 8 + 8 grouping structecedent. This functional implication is offset, however, by the | ture. When an exposition section is built as a sentence (or melodic beginning of the phrases, in which the second phrase opens __ sentential hybrid), it is difficult to construct a four-measure up the melodic space farther than the first phrase. From this per- _—_—s recapitulation that includes the essential materials of the

spective, the two phrases are appropriately placed in relation to _— original sentence. Unlike the period, in which composers

each other. can choose to recapitulate the four-measure antecedent or

SECOND PART 5 nee y

consequent (or some combination of the two), the eightmeasure sentence cannot be compressed so easily into four measures.'} When the exposition of a small ternary takes

, og i the formbinary of a sentence, theinA’the section usually.;brings back The second part of the small begins, majority ‘ y BS . a rraerre oe the A section unchanged (see ex. 6.6, a sentential hybrid), or of cases, with a four-measure unit identical in organization , ; . . io _ else the basic appears onlysmall once, ternary. followed ,by. a full conto a contrasting middle (B idea section) of the f , tinuation of some kind (see ex. 6.4). case,awe the recaThe ;material that follows theexceeds B section can expressInthus aeither variety ; awe pitulation usually four measures, stretching of functions (though not a recapitulation): some are entirely . , the

; ot small ternary beyond sixteen measures. Should composers conventional, such ;as continuation, cadential, orbeginning conse. . an ar wish to write a symmetrical 8 + 8 theme with quent, whereas others cannot be described with simple la- ; .;

eight-measure sentence, bels. Less frequently, the second part.; of a small binary con- ;they . will most likely choose the

; , ; ; . small binary form, as in example 7.3.

tains no contrasting middle and is constructed instead as a

single themelike unit, often having sentential or periodic , . ; ;

5 we ‘ 6 P Contrasting middle +second cadential. ‘The following characteristics. No matter how the may con-phrase ; ; ,expanded ; , ; the contrasting middle bepart builtisover an ca-

; dental progression. The melodic material opening the second part usuall ;

structed, it always concludes with a perfect authentic ca- ; ; dence in the home key.

, os poefrom P Y EXAMPLE 7.4: The second part of The this binary begins with a.conderives the basic idea of the first part. reasons for Seer .; «hi | fold. First. th Nb trasting middle consisting entirely of a standing on the dominant. ns mouvic connection are two ond. hit st, the overall bipar- The following phrase (mm. 78-81) brings back material that retite design of the form Is pr ojected in a more cogent way, —_sembles the basic idea, but with its new harmonic support, the and second, there is less motivation for a recapitulation of phrase acquires a cadential rather than a recapitulation function.

the basic idea, which would transform the binary into a The grouping structure of this second part resembles a senternary. The second part of some binaries, however, begins _ tence (2 x 2) + 4. But the first four-measure phrase is not a real with contrasting material.!! Thus a motivic correspondence presentation, for it is supported by a dominant prolongation (as

EXAMPLE 7.4 Beethoven, Fifteen Variations for Piano in E-flat, Op. 35, 66-81

vivace 5 . }) ie a rn etewe its ets b.i. x.

presentation continuation Allegretto aN —————_ iN ———__, . . —_— Te 77

° f . . ~~ decresc. PP Eb: 1... vig)

a —c=» ee_»_|__-..._» pf ts ed }-——___@# 92ie2a| eaten OO || Pd A 14a py |2etemen 1t ee @ee): pete 2htBe.“ __@___@ —_1 0el Sh de le) ee ee ee 02ees Pe© ee}7)

aes Se Mae es ae _e rn ees eee ee — —@ — — —_ — — _

contrasting middie (mm. 74-77)

standing on the dominant new idea 4. cadential

—— TOK — ) eS

v7 aIf1646 v6 E.CP. a) 5‘ I

, = 1Pe FET be2 BAe a ldSS=De FET psp 11:4: 732° A ||eea,81 (S01 enweEee Ee ees| tazas. fee ee ‘freee 2 Oe eeft. See eee eee Rhee ow |tawags6o yo - Pee - fo | foe | be |eeee | 2ee’.Pt= ULL

C..U 48| Gee \Cid| AS _4~The >, RE 2,WR... ee ee 0 eee.TNS . ee =e SNE ee CARY ee eee eeeGNSS eeeREED 1 eee ee” SS eee) N32) ARS ¥en CN SN ee SS PY TS SURED MENS TN ee SHURA SAUD... CA

P CPP decresc. f 6 dolce p a\>

a or EXAMPLE 7.5 Mozart, String Quartet in D Minor, K. 421/417b, iv, 1-24

1 ecadont cadential b.i. cl.

Allegretto, oa er I~ SZfp} By pap) nen ope Jb, fs ~ A aT ae 4 ma ) sAd, { ide dis hy ee;JN_ ‘1. @- . ' } . * a al rT ' a '}

1. oe5Dla” wail itDEES «279i\i Js RE . .. 1 | Ww 7 RE aA?CsTTY 2 TTL ge LOO 2eT ee —~7—Tv_ eee Se eed 't ZBL. EEE YF [|™I\OE Th.c EE CURATED NA hg )| (0A ee AEE 2 eee seCERN 29,—-—_ «a ti... eeOOD ee cme. "LO*@FE a-—_»2—_2-+.—_—__e—_ | 1—_____} —_—__________} 3" EL et © J VR Oe SD tans eee se +o2—5++ —+ spe 43-7 tO RE Gere ee45-4 | eee

?d:TOLL PTPEL mes j re RFE: 1, Vv ( VII4 ) 16 Iv V 1

a FO ey QC ee ae a Od Bd) Bl \y a ye “= —)), Id i ee 2 ee et OH eee Ee tree to 8 BCP

. “antecedent® (transition) continuation = cadential retransition contrasting middle (mm. 9-20)

I JSP JP P aie P ECP. nat frag.

1 bade DT) MTL sf, ee, ee ‘ bed lt TL. neatly UEP TOPE rrpVIL? pr pl F:aa (VI vs I (VI) V (°7) vigpeh Ty ICor I

TORS | RN__.._ BAD Asi "OU MANNS Soe NE EG8GEES ROCTNY GATED A OO *P ~ RS Uae Ch SETTaney CaaS Ca mew TS YC esree RNAS RD .¥ > _ eo —_CLT 7 eee gd pSAAT agrerereesgd ff SN aea eu

eo Oe ) SR * __ b§). >a A 18 2.aeLAT \oee«uP _h eS ee an es ee 2eeigi eS ae’a3,1 ST ue ae cadential

vig) VI * p| a p (1) E.C.P. | P

SEGRE Fe te Eites oe eo ele ole OER FESS fee ‘ att Ive (AS) V SF bus ———_ (07) vig 7) I go

SMALL BINARY g1

befits a B section), and thus a true sentence does not emerge. function of the final phrase? Although there is no correNonetheless, since both parts have a similar grouping structure —_ snonding antecedent from the first part, the phrase can still and since the first ends with a weaker cadence than the second _ be labeled a consequent, since its internal characteristics are does, the idea of an overall sixteen-measure period is suggested. identical to that formal function. But this interpretation, too, cannot be sustained, because the sec-

ond part does not open with a return of the basic idea and thus 4s .

| b idered a consequent. "4 EXAMPLE 7.2: The second part of this binary begins in measure 17

cannot be cons q with a four-measure contrasting middle featuring a standing on the

EXAMPLE 7.5: The first part of this binary can be viewed has hy- dominant The nome phrase unm. at24) m Tele i °" brid type 2 (antecedent + cadential), although this analysis is not with a oy “ “a” het ye oe The ate nu wien Hse onl entirely straightforward. The cadential character of measures 5-8 h 2 pettect au 4 anki ad ot hove as no conansa hae is weakly expressed because the appearance of I°, which usually sig- © eee do nae an ke me a C8 i iv locisl Supporang in nals the onset of cadential function, is delayed until measure 6, be- monies Co not make up an hed. ee cadenta’ P tee he, 7 a cause of the embellishing VII} in the preceding measure. stead, the phrase is best descri oc’ a8 @ consequent, even hee it The second part features an elaborate contrasting middle, has no immediately P receding antecedent. Nonetheless, © Ewowhich modulates to the III region as confirmed by the perfect au- measure idea beginning tis aoe on 4 eal derived from ane

thentic cadence in measure 16. The first phrase of the B section is ov hin the eccond or me sta : he a ne eine b an the antecedent-like but, because of its modulating structure, is better lala ah . ie a period=lke reragon ‘ "ik _ ‘hie nn . understood as a transition leading to the dominant of the relative B section and the fo eae consequent, lo - a d ° hehe major. The following continuation =cadential phrase (mm. 13-16) quenk comp letes the melodic descent fo ° pa sca e. epree le reinforces F major and fully confirms it as a genuine subordinate incomplete at the end of the second phrase of part 1.)

key through authentic cadential closure. Measures 17-20 function ; ; ; ;

as a retransition, which brings the music back to the dominant of Contrasting middle + further dominant prolongation. the home key, thus marking the end of the contrasting middle. Another common procedure for constructing the second Had the following phrase brought a return of the initial basic idea, part is to prolong the goal dominant of the B section well a small ternary would have resulted. Instead, Mozart introduces into the subsequent phrase. Frequently, the dominant reentirely new material built over an expanded cadential progression _ solves deceptively to VI, after which a perfect authentic ca-

to conclude the second part of the small binary. dence closes the theme. In such cases, the resulting phrase It is interesting to observe how Mozart increasingly intensifies cannot be easily described using any of the labels for the the cadential quality of the phrases following the various halfca-— Cgnventional formal functions. dences in this theme (mm. 4, 12, 20). The relatively weak cadential

expression of measures 5-8 (due to the delayed cadential I°) has al- , weedy been discussed. In the continuation-scadential phrase (mm. eal , 7.6: The oP vddle P nase of the second P nh makes “the

13-16), the bass line projects a standard authentic cadence for- nek The fe ie ™ k on ebke, ; f th cee on d “

mula, but the harmony in measure 13 is a diminished seventh ome Key, Ne TOOWING parase, Unlike Most OF those examined up chord, which substitutes for a more regular pre-dominant built ro now, does not begin with the tonic to resolve the dominant endover the fourth scale-degree.!5 Moreover, continuation function "© the previous B section. Instead, the dominant continues to be vies for expression in this phrase through the fragmentation into prolonged, only to resolve dec eptively on the last beat of measure one-measure units, It is not until measures 21-24 that Mozart 14. The last two measures bring the concluding perfect authentic brings a decisive and exclusively cadential phrase, one that empha- cadence. Inasmuch as the fin al phrase features a new idea (mm.

sizes the Neapolitan as pre-dominant. 13-14) followed by a cadential idea, we might be tempted to conAnother noteworthy feature of this example is the relatively sider it a consequent phrase. But the lack of tonic support for the symmetrical grouping structure arising from the regular alterna- new idea at the beginning of the phrase weakens the sense of con-

tion of half and authentic cadences at the end of each four-measure “44 function. phrase. The resulting 3 x 8 structure is noncongruent with the

ne oad) arising from the form-functional analysis: 8 (A) Absence of a Contrasting Middle The second part of a small binary is sometimes built with-

Contrasting middle + consequent. ‘The final phrase ofa _ out a clearly discernible contrasting middle. Instead, the small binary can sometimes be built out of a new two- _ second part may be organized along the lines of a convenmeasure idea followed by a contrasting idea that leads toa _—tional theme-type (most often a sentence, rarely a period).'8 perfect authentic cadence. If this two-measure idea were _— At other times, a distinctly looser structure may result, one identical to the basic idea opening the first part (instead of _ that brings continuation or cadential functions exclusively. being new), the phrase would function as a consequent, and —- Even though the second part may not contain a complete _ an overall small ternary form would result (such as with exs. contrasting middle (with its ending on the home-key domi-

6.3 and 6.5). But when this final phrase brings a different _ nant), the beginning of the part may strongly suggest that two-measure idea, there is no sense of recapitulation, and _— function, such as emphasizing dominant harmony or immethe theme acquires a small binary form. What, then, isthe diately bringing model—sequence technique.

P rif EXAMPLE 7.6 Haydn, Piano Sonata in E, Hob. XVI:22, iii, 1-16

b.i. ch. b.i. ci. T di M —— naw empo di Menuet _™ dr —s ~ ip P LO Lx —. _

compound basic idea consequent contrasting middle (mm. 9-12)

nnn nnn nnnne enna ee ea ee) eee ene een ener nee nO Torr

(oef=za eee ee eeree=eec— ee ns — E: I. v3 | B: E: 16 (Vv) Vit?a (no Icadence) new idea cad. ey _-eo ree ~ ie: FR _& " A» g, 10 ee _ | 12 13 >. on 6 rt4St tr fp ~~” ht —_ 0 —PJ gf} -- « Oe 5y Ht ees es I hr tt : 4 -a VFVIf—t¥ Se:vgi 7)IfoIr Wé 4

e a> ——_

* A 0 C SS COS CUR ome ER SON... 0 OE Re SE 2” CS Wa Ge ee Oe a ON We SD Ge ee =e

ee _ FST LD ee eet Pee a ee * eee, ee 2 Ze ee ees eee ee .. ee |

:

EXAMPLE 7.7 Beethoven, String Quartet in C-sharp Minor, Op. 131, iv, 1-32

‘Oe oc oTJ =~a fr™ —= —[ ——l. aw| — ——_~ presentation continuation

Andante ma non ee

A: I... Vv rn LL

Aw f = mmf | tah mE: hd, | y |) z Ny | Nfs = . Serene ose ensemennl a ‘SnPrumensnmpceppeneesenaner vy ¥ y ‘ 4 wr . . . ee ang ge WCEP ht rrr "err More than just a new A subordinate theme is normally thought of as a formal melody, this theme is an integral unit of form containing a _—unit in a sonata exposition (or recapitulation). In line with syntactical succession of formal functions and a concluding the fundamental precepts of this book, however, a subordi-

authentic cadence. nate theme refers not only to a thematic unit but also to a

Just as the subordinate key contrasts with the home key, _ definite formal function. And like most other functions, so too does the subordinate theme contrast with the main — subordinate-theme function need not be tied to a specific theme. The contrasting nature of these themes has long __ grouping structure or to any one formal type. To be sure, been discussed by theorists and historians. Today, of course, _ the function is especially associated with sonata form, but it we generally reject the typical nineteenth-century position, _ is also expressed in many other classical forms, such as rondo, which, by focusing on melodic—motivic design, held thata concerto, minuet, and various slow-movement forms.® dynamic, “masculine” main theme stands in opposition to a Subordinate themes are usually constructed out of the lyrical, “feminine” subordinate theme.‘ In fact, the frequent = intrathematic functions associated with tight-knit main absence of such contrasting melodies in works of the classi- themes, albeit in a significantly looser manner. Thus the cal composers, especially those of Haydn, has led most the- _ constituent phrases of a subordinate theme frequently exorists to abandon melodic dualism as an essential element of press an initiating function of some kind (antecedent, pre-

classical form. sentation, or compound basic idea), a medial function (con-

In recent years, scholars have tended to locate the source tinuation), and a concluding function (cadential or, more , of contrast principally in the realm of harmony and tonality —_ rarely, consequent). Framing functions, such as introduc-

(while still acknowledging that other musical factors can _ tion, codetta, and standing on the dominant are frequently also create thematic contrast).’ In this view, the subordinate —_ associated with the theme as well. A major exception pertheme (usually identified as the “second key area”) distin- _ tains to the small ternary form, as the three functions of exguishes itself from the main theme (“first key area”) primar- _ position, contrasting middle, and recapitulation, rarely apily by residing in a contrasting tonal region, one that engen- _ pear in a subordinate theme.’ ders large-scale dissonance with the home key. Although Unlike a main theme, which may close with any one of this view is valid enough, it does not address the fundamen- _ the three standard cadence types, a subordinate theme ends tal differences in phrase-structural organization routinely with a perfect authentic cadence in the subordinate key. Ex-

evidenced by these themes. ceptions to this principle are rare.'® This stricter cadential

A more comprehensive approach is offered by Schoen- —_ requirement is dependent on one of the theme's principal berg and Ratz, who view the subordinate theme as loosely _ functions: confirming the subordinate key. For that key to organized in relation to a relatively tight-knit main theme.’ _— acquire sufficient weight to vie for prominence with the As discussed earlier in connection with the small ternary, —_ home key (and thus to create the dramatic conflict of tonalthe metaphors tight knit and loose summarize a wide vari- _ ities so central to the classical aesthetic), the subordinate ety of musical forces responsible for varying formal expres- _ key must be fully confirmed by a perfect authentic cadence. sions (see the last section of chap. 6). Thus the position of | The home key must also be so confirmed, if not at the Schoenberg and Ratz is advantageous because itembraces _—_ end of the main theme (because of its closing with a half 97

A bi. + vr. EXAMPLE 8.1 Mozart, Piano Sonata in D, K. 576, i, 28-58

Subordinate Theme 1 presentation (extended)

Allegro @ tee. ~~ —— f GA |) 28 _eee.ree =ee|AaGee ES | | -S 01Mza. 32 ane oom ft| Fe reneGee ne ree a new offi}. gl. | |g— || {| | onetla_( __.t1 |_| | one | @f |_| | a[ppteeteumteeete! 2) Se le 8 2hon oe eee ee eh... EetSee ae[ee raLiis Li_l t.s.!| | ||l@~@SM@C@aitttiti

A: I (V4) 1) peg LO

— Chee ee tr? sete, (Lop per Tre fe Ai = ‘a & ,rir ————— =>terere

(Vv) NA

continuation continuation = frag. cadential vad aaa | eee e—v—Kree ny a : cal ~~ —_ ee 38 | | ' TS anil 2a fet — Tt tt tat tt tt ee tt ttt te tt te ent — at tg a— ot

Ue aeIeT16 pe ee aa 1aii aie vgNiteIAbi.vg c.l. Genes a cs enna a aOil~~ — —— S fF vs cadential 7) I. ~closing V... section

‘a TR 1 aeeeennenen ——— SEaREEEQES —| —— fanaa | a —| —-—— peneemenmnemenman Papen ——}————__-—— QC EEG Aaa i..4t L-g— 4} —}— 1+ Da att _

Si) se 1 OO a _ a.._a | @ 4 ae a ee ae ae ee red Pun aan « eo _teis oid see ioe tt le Se? 7 Po E.C.P.

antecedent consequent (mm. 46-53) : Ai) eae 40Seac20Pa! | = ~—™N | )tt4K \_ht46 isan ‘a eee 2N42 0 O.. “eee ee eee = eee ger of ff rrr OH ee et PO. De’Re en Subordinate Theme 2

nt | ne ° ceeee” [FAC]

Ce a Ot OT EC A SS Se es [ner EE mE Ae” Ge ee ee Eee e—{— "EEE GE... Ae

w ir $e F dolce — 7 4 CF =. =

eeecece a snaueneeepeenmnsnagsoes ee _er—= =| A FFT1-9 S| dhe "C7} te? TS press ’ngs? f+ ——}——_}_}_}_} -! la lot wl 2. __ we aSIi) en Ulotdhe T rs ___ A 2die een nee —-}| ee HH tHe ha hea t+ codetta

===: Ne”ene . } an.X)

{gr ¢—_ -¢g-__ §" —-} -gt—1 o_o —__}-2 -¢ > oy fee tt Ee re tt ra —___—______l_y»

16 6 vig 7) £8 116 vg 7) ev. cad.

closing section

. °tt°Te imFT ; °US . ——_ po gle ds—_ od od UP] . e ° Id

I... I... } ——____

nr gn erg ce a pe re nN Eee TC T—pmno—r->-20"”"72"9494-""W""..-.

1095

106 LOOSER FORMAL REGIONS

icra ¥

EXAMPLE 8.8 Mozart, Violin Concerto in A, K. 219, i, 98-112

bi. cadential —__ we ae es MEE Ls ee Fs anit ii $*Ssgtne!ishee pet oe FR TSPeeod ey eee Ya | © |PT) 2 2 2 oe Fe eT Ue re io a =e s ae meee DAE,JAS Subordinate Theme 2

9 iSS, Fe rrr rrr pear pe = ES c SELLE LL pLb BL... 4 — ) oT ped, (v7 IV) elided

cadential ("one more time") cadential ("one more time’) 2 Ne, e 3 ‘EEE 104oePam oP GEES DP =DEE 10 ie 18LL beCY I the: 108 = ———— 'Au a })she: AE. Ah, 2. GEE. Rene a — ;SS eee PPP | —. —_—_+} f= —f yd

S Atos oon da) fod BRAT eee rT Heeeey ft fit to th eee? SSC

I owes yf, yp ev. cad.wg ev. cad.

~, vif 7) I

ma S~ LX\_ oS JARS Lee

. ,=- =f Taree yy eennneneeneneeeeeeeeneweesees A a 1A7 —~—gd fiTEES CN. Ann: EY SNS :

. I . Forth. .eee? . :Mie : cresc, ‘3 PT eief PT riteie?S

A situation that is related to, but is essentially different perceiving a structural end when the I chord appears. In from, the “one more time” technique arises when the mate- _ such cases, the “one more time” technique can sometimes rial following a genuine authentic cadence or a deceptive __ be helpful in projecting the sense of cadential evasion. As cadence repeats the previous idea or phrase. In example 8.4, soon as we hear previous cadential material starting over for instance, the music following the imperfect authentic _again, we realize that cadential arrival has not yet occurred. cadence at measure I10 restates once again the prior continuation phrase. Likewise, in example 8.5, each deceptive EXAMPLE 8.8: At first glance, measure 104 might seem to be an cadence (mm. 44 and 46) immediately brings back the same imperfect authentic cadence, with the following measure reprecadential idea. Neither of these cases, however, should be _—_ 8¢Ming 4 repetition of the cadential phrase to bring the expected

. « oo” perfect authentic cadence. when we technique, hear that measure 104 considered examples of to the “one But more time” . . . . corresponds exactly measure 100, we sense instead that the ca-

since they do not involve any cadential evasion. In other eye ds. th hetic eff F the “ ne” tech dence has actually been evaded and that the cadential idea is being

words, Me aesthetic erect Or the “one more ume tec - restated one more time. An additional cadential evasion then nique depends on our hearing that a structural goal is ap- ——gccurs at measure 108, and another repetition of the cadential proached but not achieved, after which the attempt toward _ phrase, now with a somewhat expanded dominant harmony, finally the goal is made once again using the same musical mate- _ brings cadential closure at measure 112.3!

rial. In the case of an imperfect authentic cadence or a deceptive cadence, a definite goal has been reached, even if 4. Abandoned cadence. For both deceptive and evaded ca-

that goal is not the final one. dences, the failure to realize the implied cadential arrival inMost cadential evasions employ a I to thwart the ex- _ volves either altering harmonically or omitting entirely the pected resolution of the cadential dominant. But an evaded _formal event associated with the final tonic of the authentic cadence can also result if that dominant is followed by cadential progression. With a deceptive cadence, the final other harmonies, including some built on the sixth degree _cadential tonic is replaced by another harmony (usually VI). of the scale (VI, IV‘, and even VII*/ V). A cadential evasion § With an evaded cadence, the tonic is effectively eliminated can occur even if the cadential dominant moves to aroot- _— (the harmony following the dominant, say, I°, does not reposition tonic, as long as there is a sufficient disruption of _ ally belong to the prevailing cadential progression but inmelody, texture, dynamic, register, and so onto counterour stead introduces a new progression). In both cases, how-

| SUBORDINATE THEME 107 ever, the cadential dominant in root position remains intact resent an appendage of sorts, one not belonging to the to provide an anchor for the subsequent failure to realize a © theme proper. If the second cadence is taken as genuine,

true cadential arrival.3* then the first cadence must be downgraded in structural imAnother way of averting a genuine cadence is altering, or _ portance; it may even be reinterpreted as an evaded cadence.

even eliminating, the cadential dominant itself. In other Because the use of two cadential units, each ending with a words, the composer initiates what seems to be a cadential _ perfect authentic cadence, tends to obscure the formal articprogression but then “abandons” the progression by either _ ulation, this situation seldom occurs in the repertory.

inverting the cadential dominant or allowing the progres- |

sion to bypass that dominant entirely. The resulting caden- _—xampte 8.10: The second part of the first subordinate theme, tial situation can thus be termed an abandoned cadence.** Ca- _ beginning in measure 81 (shown ahead in ex. 8.17), is constructed

dential function can be abandoned in a number of ways. as a sixteen-measure sentence, whose continuation brings a perfect Sometimes the dominant may be placed in root position authentic cadence in measure 94. The final four measures of the but then may become inverted (usually to the § position) continuation are then repeated exactly, thus again producing the before resolving to I. Another possibility is for the domi- same cadence in measure 98. Since the cadences in measures 94

se ; ; and 08 are identical, we might ask which one closes the theme. On

nant to appear first hand, in inversion. Finally, dominant har- hy hand b dered end, th d ; ; at e one measure 94 could be considered theidgenuine mony may be omitted. an abandoned th the sub as hrase function; odetta. oth : , with the Following subsequent phrasecadence, functioning a codetta. On On thetheother

the music typically expresses a continuation function. At hand, the rising tonic arpeggio in measure 94 can be seen to keep some point, however, a new cadential progression appears, the melody somewhat open, thus helping motivate a repetition of which eventually leads to a perfect authentic cadence. the phrase, whose cadence at measure 98 would represent the true close of the theme. This second interpretation is probably preferEXAMPLE 8.6; Following the evaded cadence on the downbeat of _able, since a codetta following a subordinate theme is not normally measure 26, an expanded cadential progression begins with I¢ and made up of the same material used for the preceding continuation

leads to a pre-dominant Neapolitan sixth. The radical reduction and cadential functions. of texture at measure 28 makes a precise harmonic analysis diffi-

cult, but this measure can likely be construed as VII’/ V (the no- 6. Aesthetic effect of cadential extension. Now that the varitated Ab is heard enharmonically as Gf), thus continuing to pro- yg techniques of cadential extension have been defined and

long pre-dominant harmony. The following anes (likely illustrated, we can compare and contrast the differing aesinterpreted as VIIS/IV) breaks away from the cadential progres- thetic effects th It from thei The situation just sion, and by the time harmonic clarity is restored at measure 31, reuc etects that resuit trom their use. ¢ sl a on jus the dominant seventh appears in first inversion and thus cannot discussed of a rep eated perfect authentic cadence is probafunction as a cadential harmony. Thus the cadential function initi- bly the least effective (and hence least used) means of exated with I° at measure 26 is abandoned and is restored only with tending cadential function, for not only does it result in a the appearance of the pre-dominant II® at measure 32. Then a certain degree of cadential redundancy but it also poses the new expanded cadential progression finally reaches closure on the | question of which cadence truly effects thematic closure.

downbeat of measure 34. The use of an imperfect authentic cadence, followed by a perfect authentic cadence, is also somewhat redundant. But EXAMPLE 8.9: Toward the end of an immense modulating subordi- _— the open-ended quality of the former cadence effectively

nate theme (analyzed in greater detail later in this chapter), the ex- motivates the latter one. Even greater motivation arises panded Neapolitan sixth at measure 92 implies the beginning ofa fay deceptive cadence, for the lack of harmonic closure

cadential progression to close the theme. But the sense of impend- ; - | f th ing cadence is abandoned at measure 96 when the pre-dominant is more Pp alpable than the melodic incompleteness of the moves to dominant in the form of a diminished seventh in second =P erfect authentic cadence. inversion (VII3). The subsequent harmonic sequence yields a new Of the various techniques used to extend cadential funccontinuation, and the abandoned cadential function is not recov- tion, the evaded cadence is unquestionably the most draered until measure 99, when the pre-dominant IV° initiates a brief | matic: the imminent closure of the theme is thwarted at the

cadential progression to close the theme at measure 102.34 last second and then quickly reattempted. The lack of any

event representing formal closure, combined with the 5. Perfect authentic cadence. In the situations discussed up _ breaking off of a highly goal-directed process just before its

to now, cadential extension has been achieved by delaying | completion, arouses a powerful expectation for further cathe perfect authentic cadence that marks the true end of the _—_ dential action. This effect is particularly well suited to subtheme. Sometimes, however, this cadence, including the ordinate themes, since dramatizing the subordinate key is a phrase leading up to it, is repeated, which extends the caden- _ principal aesthetic objective of the classical style. The goal tial (and possibly the continuation) function. Such a situa- _ of establishing that key as a foil to the home key is made all tion creates a formal dilemma: which of the two cadences __ the more effective if the struggle to gain its cadential confirmarks the end of the subordinate theme? If the first cadence —s mation is hard won. But the need for dramatic articulation is seen as decisive, then the second cadential unit would rep-_ _—_—of the home key early in a movement is not pressing, and

EXAMPLE 8.9 Beethoven, Overture to Cortolanus, Op. 62, 46-102

[Transition] Subordinate Theme 1 (modulating) Model

Allegro compound basic ideaOO c.b.i.> (rep.) vw | ; | ; | | — rN, (aaa a ee ee ee ee ee ee ee ee ee 8-m. presentation

RP ee v a 1 rn a cr

a af L a -———__p Pryop f b sr, ,orf L f i f L NQ ~~” r/ crese. - -~

Ep: v6 ———___—________________________________________________ 1 (HD) dom. arr. (premature)

— - ~ oN

continuation c.b.i. continuation Sequence

, pam add do) Not we dd) oh 1d) AE Tw ae 5 = Pitsg F > of r > — == rad Sequence Standing on the Dominant bi. continuation

TN — 2 J, Py TN, | 444d, (4 eee ee ae a a SS Se Se cS se or ; pot jo} __—"F abe 9 _j-—__}___}_|__j__|_4 | _, 78 ems __j______§a}h4 + —}|________

PP i » ae pv ff f # 7725 E22 %Y225 E

pm dy dl en ee ee 3eetae 2 , crese. VA g: Liv... Vv... (V)

(internal)

Pod . . ——,new, ;bi.—N 2 == YS = == =Ss = = ee SS ee Se SS SS eS eee YES => = Y=S= == YS = P* * PF Pe TPP FP presentation => model

sequence cadential (abandoned) continuation

2 dd. dftg body. deee deyFe dy fe dR)ee de pb Fg 9g rip power FoFbis. For vid FoF 16 fF fF FF vigPie IVS bir6 vi viis

Sa E.C.P. (7) a NA ; Subordinate Theme 2

dy | Ay 2 7 Ay hy a cadential

pp? pe rer rer re VIS. Ivé Vv S— [vi Iv |

elided

108

SUBORDINATE THEME _ tog

Allegro d ey oe . aperto — VPTe PS=) 3== we 1 diel, NUNN I: 49) Dp Oy te eet et ee eo ee inp eed P SfUe P Sf PpPoP fs Pa

, EXAMPLE 8.10 Mozart, Violin Concerto in A, K. 219, i, 88-98 Continuation

° 2S 1h) EE EE ON A AY ee CY La Ay mn. MW Bhd bab 1 Ee mt) See pf a yt yt

E: Iv6 (1§) ngXA (V4) Vv I v? (Vv) p Continuation (repeated) bi

SE eS ee a Fo I Ng... 1... | Subordinate Theme 2

ANV f~ “—~ .3" . —— an, «; apemeysanl eeOe ames A 94 = ie — én" : : . ces oe OD ad SS a ee ee ee ee rr a a ee ee ee eee es Cee Se me oeEL ee

aesae EPP PPE By att elided

thus evaded cadences seldom appear in main themes, as the —_ harmonic support for several phrases, each having its own techniques of partial closure (use of an imperfect authentic _ distinct melodic— motivic content.*6

cadence or a deceptive cadence) are more typical modes of 1. Expansion of the dominant. The most easily recogniz-

cadential extension. able case of prominent cadential expansion occurs when the The aesthetic impression imparted by the abandoned ca-_ _— dominant is considerably lengthened, thereby delaying as dence is entirely different, for a partial cadential goal is nei- _—_ long as possible its resolution to the tonic. In most cases,

ther achieved (as with the deceptive cadence) norevenim- _ the dominant is first sounded with its six—four embellishmediately promised (as with the evaded cadence). If the — ment, and this “dissonant” sonority usually receives the abandoned cadence is less dramatic, it nonetheless pro- _ greatest expansion in the phrase, thus raising powerful exmotes a significant formal loosening, since the cadential _pectations for resolution to the five—three sonority.}” The progression loses its sense of direction and the music tends —_ heightened dramatic expression inherent in this gesture to wander off somewhere else before returning on track to- —_—s makes it ideal for use in operatic and concerto genres, but it

ward another cadence. Cadential abandonment is thus par- _is often found in the symphonic, chamber, and solo-sonata ticularly appropriate to the formal conventions of asubor- _repertories as well. dinate theme. EXAMPLE 8.11: The second subordinate theme concludes with an

Cadential expansion. Cadential function in a subordinate unusual expanded cadential progression beginning at measure 58. theme can be enlarged by means of an expanded cadential (The details of this progression are examined later in this chapter.) progression, which supports one or more complete phrases in When the dominant arrives at measure 61, it initially takes the

we _marked form of a cadential six—four. The harmony is and stretched the theme, phrases by distinct ideas ac-out; ;for.in ; three measures before leading to themelodic dominant seventh proper

companimental textures. Such phrases are most often exclu- ; . ; vely cadential. s ‘on function ; ily measure 64 and resolving to the tonic in the following measure.

sively cadential, since reeves neuon 1s usually tea- In this four-measure dominant expansion, the music acquires a

tured in the preceding phr ase. The majority of expanded marked acceleration in rhythmic activity and displays virtuosic cadential progressions contain all four harmonic functions passage-work for the clarinet and upper strings. The culminating (initial tonic, pre-dominant, dominant, and final tonic). Oc- trill confirms the concerto-like style that Mozart adopted for a casionally the preceding continuation concludes with tonic —_ chamber work featuring a solo woodwind part.38

harmony and the cadential phrase thus begins with a pre-

dominant (see ex. 8.3, m. 22). 2. Expansion of the pre-dominant. The pre-dominant may, In many simple expanded progressions, no one harmony _ on occasion, achieve prominence in an expanded cadential is given special emphasis over the others (see ex. 8.1, mm. —_ progression. In such cases, the composer typically employs

38-41, and ex. 8.3, mm. 22-26). Often, however, one of a variety of pre-dominant harmonies in a single progresthe harmonies leading to the final tonic is prominently ex-_ sion. But this harmonic function does not normally sustain panded in relation to the others. If the cadential expansion _ the kinds of enormous expansions frequently found with is sufficiently large, the entire progression may provide the —_ the dominant or initial tonic.°9

intro. bi. x bi. Ren rere oy > | een a) yt ee eg ee EXAMPLE 8.11 (a) Mozart, Clarinet Quintet in A, K. 581, i, 42-79; (b) rearrangement of harmonies in mm. 58-61

Subordinatecontinuation Theme 1 Subordinate Theme presentation compound basic idea2

Allegro a mS, fo“ms —— _ ae . or nn on ee

a re or ae rep PE: ° ° . ° e ° PP ° (Vv) (modal shift)

DENN a vs vl‘ , nE.C.P. v by) E: | ——___________.______ if v4 I m6 v7 I I ch continuation —=— —— cadential

a os = Ra . Pum zm an a8 ° : Bp 4 f XZ) dhe 7, aT : e——_ maa

* Mtoh }\\ GRRE EN Oe Se 2tf ee 2cnn es ee ee | +g —t}GE }.__—__} Jame wateres. GE |. a. ee ee ee ee Lt Paa: Se Re - as ATS se qt Oe SORE aartiCEDT te2 4OP9ee ot 2..4ee eee-#Senn nee! See |. ee: BNL

f ° " if f f ° if ° " if . i ° cresc.

LS r e —n — —_~ a a = — P | orioot) eee) eee | es eer ft ees dad ’ ees rr ee f é Loe bvi

ng tog d— oT etd at td TS SS eS ees FP Ss BEE Di

(°7) p Xa vus vg —— eel

b.i. c.l. b.i. ¢.i. (ost —— a — _ fee ee re ee, ee nn a no ee ne 2. al a oe Closing Section

codetta 1 codetta 1 (repeated with extension)

| ttt a n> a 69 7 “\ ae >PTon Aw tos.ett AAtd 6s 6dolce hI TE PT. TJ TI 70 wae TS TI.

preérf ’) ?1... ad 1,rrr5 ff

‘al }\\ Gh, Ae a GR A qe Gees ees es ee ” dr tad —t-f—} +--+} i et © HH rs het & SEG) ee es eee Gee Oe eee re + tt +4} —_} + 4+4—__} re Ct ita a a 2

(PAC)

1... |

(extension) codetta were te teen eee cere ee eter e 2 rete ee eee erey Dl cl.

rate (eei lg Sige os TIPO fChdglt nldld TT |Jda me fF 4 pf Eh am 6 o-S +Ting -a 1 -f mE |} Sy oO of fo ___

NS (PAC) S (PAC)

fr P re’ oP Pe PREP ALL) Eek

eg 0s hes Ly Sis CT 2 Ge KS “We Ge ~ S.C 2 Se |. ee ee | TI ett 2m Gnw Gea

» =e . P NA

4 1 \ Pa : & Py i} 2 ; 3 i E: 16 (97) VEN? v(§)

IIo

SUBORDINATE THEME 111

3. Expansion of the initial tonic. The initial tonic of an ex- pitches and rhythm are identical, the new tonal context changes panded cadential progression is usually placed in first inver- the scale-degree functions and thus obscures our hearing a direct sion. Indeed, the classical composers often use the promi- Connection between these ideas.” nent arrival on I° as a cue or “conventionalized sign” for the

onset of an expanded cadential progression.” When ex- = Qmission of an Initiating Function

panded, this initial tonic is frequently embellished by a .

neighboring dominant seventh in third inversion. This use A subor dinate theme can acquire formal loosening by givof V: works especially well because of the voice-leading rule ing the impression of starting in medias res. In other wor ds,

demanding its resolution to I°, the theme begins with a continuation or cadential function instead of a standard initiating function (such as a basic idea EXAMPLE 8.7: The first subordinate theme begins with a large ex- OF PF esentation). Another possibility is for the initiating pansion of the first-inversion tonic. I° is initially prolonged by con- _ function to be replaced with a standing on the dominant ventional V? chords (mm. 36-39) and then is further expanded by built over that harmony from the end of the transition.

a more complex succession of neighboring harmonies in measures The notion of a theme “beginning” with a medial or 39-40. The fundamental progression continues with the appear- concluding function poses a theoretical conundrum. How ance of the pre-dominant II* in measures 42-43 and concludes _can a passage be a continuation if it is not preceded by some with root-position dominant resolving to tonic at measure 45. The — other material that it “continues”? How can a phrase apoverall harmonic support for the theme is therefore cadential. Of pearing at the beginning of a theme be cadential if there is

. Loa ; no other earlier phrase that is being “closed”? Since forma

the component harmonies making up this large cadential progres- th lier ph that is being “closed”? Since f | sion, the initial tonic receives the greatest expansion. (The notion functional; ‘ally involves th in which «aw

that this subordinate theme begins directly with a cadential pro- cuonallty essentially Involves the way in which music “x gression, thus expressing cadential function at the very start of the Presses tts logical location in a temporal spectrum consisttheme, is discussed later in the section on “beginning with caden- '!"8 fundamentally of beginnings, middles, and ends, the

tial function.”)*! idea that a middle (continuation) or an end (cadential) can

serve to articulate a structural beginning seems, on the surIf the initial tonic of an expanded cadential progression _ face, absurd. is prolonged for four measures and supports at the same Yet one of the special properties of classical instrumental time a new two-measure basic idea and its repetition, a phrase | _™usic is the capacity for a passage to express the sense of with presentation function will be created. A continuation —_ beginning, middle, or end independent of the passage’s accould then bring the remaining harmonies of the cadence, tual temporal location. Because formal functions are so

thereby forming an eight-measure sentence.” conventionalized, because they are so well defined by specific characteristics, we can sometimes identify a given function without necessarily taking into account its position in a

ADDITIONAL LOOSENING theme.** Thus the appearance of model—sequence tech-

TECHNIQUES nique alone can signal the sense of continuation function, or the presence of a cadential progression may in itself be

Expanded Periodic Design sufficient to project a cadential function. To be sure, if a

Antecedent and consequent functions occur less frequently 8'V°" function is actually placed differently from its exin subordinate-theme construction than do the sentential ressed temp oral position —if a medial function appears as functions of presentation, continuation, and cadential just a begi nning, for example—a kind of formal “dissonance” considered. When periodic functions do appear, the an- will result. If that dissonance is carefully controlled, it may tecedent usually retains its conventional size of four or eight be suitable for expressing a loose organizanon. Too Breat a measures, but the consequent is often expanded in order to formal dissonance, however, can produce an illogical suc-

create a looser organization. cession of formal functions.

A period is rarely found if the exposition contains just a -o. ; ; . ;

single subordinate theme. But in cases of multiple subordi- Begi nning with continuation fu nction. The most effecnate themes, one of the themes (usually the first but occa- ave way of expressing continuation function at the start of a

sionally the last) may assume this tight-knit form. theme is by means of sequential harmonic progressions, usually in connection with model-—sequence technique.

EXAMPLE 8.1: A second subordinate theme begins at the upbeat to since the other continuational characteristics (fragm entameasure 42 with a four-measure antecedent phrase. The following Hon, harmonic acceleration, increased surface rhythm) cre-

consequent is expanded by means of the expanded cadential pro- te their most palpable effect in relation to an immediately gression in measures 48-53. Note that the opening motive of the preceding initiating function, they are rarely used by themnew basic idea beginning this theme is derived from the contrast- selves to begin a theme. They may, however, accompany ing idea of the main theme (see ex. 4.9, mm. 3-4). Although the _ the presence of sequential harmony.

EXAMPLE 8.12 Beethoven, Piano Sonata in A, Op. 2/2,1, 58-92

Se ed G Bb

intro. model sequence ma = —~_ fo wae espressivo | — v ee Cyn | of Ay lad td pd SLL ——) eepeasy ee een ee, Dee eee RSE En ee eee See LY ee eee eee nae ana ee ena aeeRene pasha ee ee E | ——_—_{ wilg Vii? —__-_—___________—_ v§ Subordinate Theme 1

continuation

an mecn ema aaa aia amreaanamacaaaaaaasataaaaiaaaasasaaacasaaamaasasaasaasassasaanaamaasasaaaaccacamammmmmcaaaiaias | reo SS ee

oA | 5 e—— Anema ste Cee. | > Lees ee eee © ee a (ee See oe Ss GR. AS i e. .. Aan

(V ) (minor) Vii? ——_-___ eS SSSESFFeeeeesé«CSé'' } SCs

(Hl) CIU/TIT)

sequence

° A 2) | EE CE ).ES ca CERES REE, SSoe SRSaOG Ee SS RR ‘2eo ns COE a ee a a ae owe oe ae " a6 A 45 d a AG F| de d a a es A ee a = Poe TELE Eke

Y (7)— pvg (major) eI vs I vs=

x... bo Le fF Fl, tf FP FP Fi be~atTe als. 2f-o/ mam vec 2-91 _ e141 A. ee 2 smn m'c aw Aww AGW aAwE« }).4a8 Gan Can dae ) ca peg = 1 LF D

(bvity

sr em n ac a e | | nn | ae wa SS. cee i Sra |

Ht VIN | $$ ea a eea — eSee re St i ly i continuation (ext.) mod. seq. a, ee PAN. A . a > (premature)

pte PEt | dt: due: y Fd edt a as FY a Idd le A

;el~— LLLe|}6. UW s e eLs 7 °Ere ei SL 4PL i SSS VS. iH vs 1 Ivg Vil

avg.}; ——Bs | Se are TT, =| TS P| ~~. p rp ff VI yey v7—— I. Subordinate Theme 2

cadential false closing section => presentation codetta => b.i.

Bssoaoes mnera) | le = —— riod .FT) Ot |ha ge .EH bd) Ah \\ ae —— Hii Jie

fl >Pya pf} __s_f__sat_ eaDr ee Pt ae atitit eet eeeata... —_}-#he! C=2. oy) te a HS tr et essesftitt'*2 fit | #7. ££. fg+f|

5 = oe oe eo ig = a’ NE CEE U4 SY t be, =~

A E.C.P. NA

elided

When considering subordinate themes that begin witha — on the dominant. Although we recognize a certain sense dominant pedal, it is necessary to distinguish cases ofa gen- _ of ending to the theme, we also know that a more concluuine standing on the dominant, as seen in the three previous _ sive authentic cadence must eventually follow. Since more examples, from those in which the dominant is used to un- _—_— subordinate-theme material will invariably be heard, we dermine what is otherwise a prolongation of tonicharmony. can speak of an internal half cadence (or internal dominant

This latter situation was considered in connection with arrival) in a single subordinate theme.» weakening the tonic prolongation of a presentation phrase The appearance of an internal half cadence is most often (see ex. 1.8, mm. 21-24). The essential difference between = motivated by how the transition ends. Most transitions the two situations lies in the nature of the prolongation im- modulate to the subordinate key and conclude there with a plied by the melodic-motivic material. If the material im- _ half cadence followed by a standing on the dominant, which

plies a tonic prolongation, we can speak of a presentation __ builds up strong expectations for tonic resolution at the that becomes looser as a result of the dominant pedal, if the start of the subordinate theme. Sometimes, however, the material implies a dominant prolongation, we can speak ofa _ transition does not modulate and closes instead on the domtheme that begins with a standing on the dominant (in place _—inant of the home key; the subordinate theme then begins

of a presentation or other initiating function). directly in the subordinate key. In such cases, the absence of

Internal Cadence is . y ; ; withinHalf the subordinate theme. (Dominant Arrival)

an emphasized subordinate-key dominant at the end of the

;,

transition is often rectified by an internal half cadence

There are two main strategies for how the subordinate As stated at the opening of this chapter, a subordinate — theme proceeds following an internal half cadence: (1) a theme ends with an authentic cadence in order to fulfillone | resumption of continuation or cadential function, which of its primary functions—to confirm the subordinate key. eventually leads to a perfect authentic cadence to close the Sometimes, a subordinate theme seems instead to end with — theme, or (2) the introduction of a new basic idea in the either a half cadence or a dominant arrival.°* The goal dom- —_— context of an initiating function (usually a presentation inant may be further prolonged by a postcadential standing _ phrase) to begin a second part of the subordinate theme.

a ee eee re rs e ° ree wt» Rr AA ood Geo oS ea .SO ai rity *. ag EXAMPLE 8.15 Haydn, String Quartet in B Minor, Op. 64/2, i, 13-22

[Transition] Subordinate Theme 1

standing on the dominant

new idea x.

py 39 | HAI fia ||) fee 6 ye ~ 9 4 jis | _[he + tata J Joi) | | pe FS Je pstd td yl, }——}}...

a a aa a ao 2 ae ae LG ad 9 ep i — 0 _——/-: on an inne.) a

(I) [HC] Va seq. . ; ; ; Meee” e . NK’ .

D: I v4 16 116 vig 3) 1 66 (VI7?)Vv ¢—_________ 1_ 116 (16 Subordinate Theme 2

continuation false closing section

LP —————— IFT O—— Ce nn nee nee nee ty b.i.

(codetta)

eee~. aw py — e Pr eEe IOI ‘ 18realoe - QR eeeee ayaa 20SY 1¢ ‘mm yta. ood ee19 SE eee A ba stOD tS TH pS Or EeGE SS pp? — fF frfere # S(O CLOT strc =TT

6 VIé 6 y6 7 6Viol ed. VII Vv 6) Iv) viii

EXAMPLE 8.16 Mozart, Piano Sonata in D, K. 576, iti, 22-50

b.i. Y. g . — nae Allegretto GZJ". — J+4 = te | ny | ee 2 FT|—Je— (Trans, (non mod.)} Subordinate Theme 1 standing on the dominant presentation

m= weiET eee aa _. 7ate ft Of oer 2 Se... ARE..A” EE EE A, CEE | EE. QS CESE ES | EY ee7,nt.ey _Ee fe2-.-...S-"Fl AG OE 2SE0EEE RS (7 fs (Fo Te | nf JT EE Ee Gee O' Cy SY Se eeIe Wi et OP OS3S FD eee eee Ee aeUEse ee

Cre pre Sy tbe ar” corey Pp , — D: I vee AT. ; ° —Z °

ee e e8ae ° —~ . 5.) .APO fe fp) fan Jn erly hi = ee ;— Sgt: Ceo pe AS vy eS ca iy

continuation standing on the dominant

a 0oe , yaos } Jy = J jyeej— —— OTaes eee ee (a | aes eeASs a a| ody eS PJ) ee wd saan TS am ~ ° ‘———— ° Se e

(internal)

3 ~~, RS. —~ 4 SS 4 TRA se ml PSD, AD 'a } Ca | ee mwa’) Am we i 2 eee s Ce -te e t yf ft -{ Bm” Ee 7 Eee continuation (new)

eemod.| v3 16 v4 seq. cad.

ny ott) PR oe fe ~ee) BS oe [le Aek See aj td ld DF PR wh Steg Je | Eke Se Fe dy ja | =

nl nh, = es ed ee tq = , - — —_—_— | ene | ceo SCO. ae

sa Fe TTts7) EDa ield a— Oe hee Pot Se ee || =

7 ) lt 1 Ae | On Sa rl Wert fF la, aft AL 2 Ut Uke gH Ls cesterntese_amanneedll

16 vg ~ ow vg l.. me ne wg 7 I 116

SUBORDINATE THEME 117

Resumption of continuation or cadential function. The part to this subordinate theme. This part is organized as a sixteenidea of a half cadence “internal” to a single subordinate measure sentence, whose compressed continuation phrase ends theme is well expressed when the dominant is followed by with a perfect authentic cadence in measure 94 (see ex. 8.10). The further continuation. In the absence of any new initiating cadential component is then repeated to bring the theme to a close

. _ oe in measure 98.

idea, there is little senseinthat another theme is beginning. oa, ; two ; parts relate oe . . “6 B The way which the cadential endings of the The continuation eventually leads to a cadential unit of some wg i kind to close the th I uation is b to each other clearly creates a certain “antecedent—consequent nd to close € Meme, Jn SOME Cases, a continuation Is Dy- expression (i.e., half cadence in m. 80, perfect authentic cadence in

passed, and the internal half cadence may be followed di- iam. 94 and 98). Yet to regard the overall structure of the subordirectly by a cadential function (see ahead ex. 10.7b, m. 68).°° nate theme asa period of any kind would do violence to the fundamental definition of this theme-type: too many other characterisEXAMPLE 8.16: A nonmodulating transition ends with a half ca- _ tics of periodic organization are lacking, especially the notion that

dence (m. 23) of the home key, D major, and a three-measure _ the consequent “repeats” the antecedent (by beginning with the standing on the dominant ensues. The subordinate theme then be- _ same basic idea). gins directly in the subordinate key of A major with the basic idea Following traditional notions of form, some analysts might see from the main theme sounding in the left-hand part. The repeti- _ the true “second subject” as beginning in measure 81 because of tion of the idea in the following two measures creates a presenta- _ the catchier tune and because that idea was also found in the open-

tion phrase, whose subsequent continuation leads to an internal _ing ritornello (m. 20).5? But this view ignores the fact that meahalf cadence at measure 34 and ten measures of standing on the sures 74-80 reside entirely in the new key. Thus for tonal reasons,

dominant. as well as phrase-structural ones, this passage is consistent with the When the dominant finally resolves to tonic at measure 44, the definition of a subordinate theme (first part) and should not be rematerial that follows has more the character of acontinuation than _ garded as belonging to the transition. (See also the discussion of of a new beginning. The ideas are brought in one-measure units; this example in chap. 17). the prolonged tonic is placed in the less stable first-inversion posi-

tion alternating with V3; and the triplets maintain the same rhyth- Not every passage involving an expansion of dominant mic figures introduced in the second part of the standing on the ~—_ harmony in a subordinate theme can be considered an indominant. Sequential activity beginning in measure 46 further ex- ternal half cadence and standing on the dominant. For ex-

idea of measures 49-50.° .; . ae , , harmony of the progression, not the ultimate harmony, as is presses continuation function, which culminates in the progression cadential ; ; : 7 ample, the dominant of an expanded cadential (such as ex. 8.11, mm. 61-64) functions as the penulumate

New initiating function, two-part-4subordinate theme. y One beoer . Ye the case with a half cadence. Other dominant expansions,

When a subordinate leads a halfprogression, cadence, which is without , fo, ee , ; nottheme belonging to a to cadential may arise

then followed by a new initiating function (presentation, ; half. cadence and stand-

. ; necessarily representing an internal compound basic idea), the listener may well believe that an ;

. ; . ing on the dominant.

entirely different subordinate theme has begun (and that

the first subordinate theme has ended with a half cadence). 312: The h nth dhatf of Such a view is not unreasonable. But if we want to maintain P*AMPLE 9-12: She harmony in the second hall of measure 74 is

. .idea . . the Thiswith harmony is then the thatdominant-functioning a subordinate theme VIIS. must end a perfect wo expanded hi 6 of ; thentic cadence—-and there are many good reasons for for nine additional measures, after which the I° of measure 84 sig-

40 en ys © ° nals the onset of the cadential progression. Does the diminished oing so—then the interpretation of two different subor di- seventh chord of measure 74 mark a dominant arrival, and is the

nate themes for the situation just described must be modi- subsequent prolongation of that harmony a standing on the domified.** In its place, the notion of a two-part subordinate theme nant? No, because measure 74 does not represent the harmonic may be introduced and defined as follows: in a two-part _ goal of the previous progression. In a broad stepwise-ascending subordinate theme, the first part ends with a half cadence, _ pattern in the bass (which starts at the very beginning of the which may be followed by a standing on the dominant; the subordinate theme), the VII$ functions as a passing chord between

second part begins with a new basic idea, which is usually _! (m. 72) and I° (m. 84). . oo .

the entire theme. | ; . ,

incorporated into a presentation or a compound basic idea me jen sramane gesture associated ean expanded diand which eventually leads to perfect authentic closure for 9 T/MS2&C Seventh chord cannot go unnoticed, © he harmonic stasis

. on a dissonant sonority, combined with violent disruptions of dynamics and register, sets up powerful expectations for resolution,

. . which is provided by the sixteenth-note flurry of the expanded ca-

EXAMPLE 8.17: After a nonmodulating transition ending with a dential progression (mm. 84~85). half cadence in the home key, the subordinate-theme group begins

on the second beat of measure 74 in the subordinate key of E major. A normal presentation phrase leads to a compressed contin- _—[ntroduction to a Subordinate Theme

uation ending with a half cadence in measure 80. (Here, the internal half cadence is, exceptionally, not followed by a standing on the | AS we saw in chapter 1, a main theme is sometimes pre-

dominant.) A completely new basic idea then initiates a second ceded by a brief introduction. The principal characteristics

nn bai. A: IIS (V§) Vv 2 . eea cl. ; EXAMPLE 8.17 Mozart, Violin Concerto in A, K. 219, i, 71-89

[Transition (non.standing mod.)}onSubordinate Theme 1 (part 1) the dominant presentation

we JT) FO) STE nye ====*==* dong PTR 3 PERN ST < =| eee i Htfe) teaan ee INne aeAen68 tH eeAme] EO eS ~ PLE CR TCE a A+abree ee fz ee7 rGTP falda ° ° °PLe “)

Subordinate Theme 1 (part 2) Presentation

continuation compound basic idea

an a aoecca arr=ccc — | [renner Re.a oe OAS > f Scasas, Taft. ATR. i) ADR bi.

pgdee JT FT [oe gy eoee s) Finest 24) £4) f )) npsddasede the Ih an eee Da Py =" ed Se eS ee2 | oe a eeseee -ae eSeeeee a eeSeeaSeeLe ar oe '(a Se a, ee eee ee eee eee eee es 6. ee es ee a =. eee ees ee. ee oeoe @. CGH... 6 eeeoo 2a

is i rrr Ce ep ee Cr+) CL ¥! ~~ . — el _ Pp-———s—— vg oan ang nnennann a een td neon! I IV (Ir) V | (internal)

eneneneneneeeneeenes | ree e o bd bd ° ° ‘ i — ——_ , A — e e e e N ~~ ° ° ° . Ai — e e e e BD compound basic idea (rep.)

pater Dy Wy dete Pott ag | or « £ef| Pt ta 9des } oj9-9 oe ee ee | je} pt a A Cy — Pee ee POP 9 9p» ee rir} Cle! LLP CLP! "CL el CLP OL ele Ll ele! Cle) Le] Cle) fle) Cll ell Le ele

— ™“ — eee eee ee OO I...

Continuation

Oy te — ee fle) Ele ELE ELE LL

P Sf

Iv6

118

SUBORDINATE THEME 119

of this function are a prolongation of tonic harmony, an ab- = Tonicization of Remote Regions sence of melodic pr ofile (so as not fo imply a basic idea), A shift to minor mode in the subordinate theme brings into and a progressive dynamic. The beginning of a subordinate play tonal regions, such as bIII, }VI, }VII, and sII, that theme can also be preceded by a short mn troduction. Typi- would otherwise be considered remote in a strictly majorcally, however, the underlying harmony 1S dominant, which mode context. The prominent tonicization of these regions 'S pF olonged from the end of the tr ansition and resolved to i, another loosening device typical of subordinate themes the tonic at the beginning of the subordinate theme. The (but not of main themes). opening measure of example 8.3 illustrates well the use of dominant prolongation at the basis of a thematic introduc- —gyampre 8.11: The second subordinate theme begins at the uption. In such cases, the composer usually separates the end _ beat to measure 50 with a shift to the minor mode. An initiating of the transition from the introduction to the subordinate _ phrase, which could be analyzed as either a compound basic idea theme through such means as rests or marked dynamic and _ or a presentation (see the circled notes), is followed by a continuatextural changes. Sometimes the dominant at the end of the _ tion, whose descending fifth sequential progression leads the music transition resolves to tonic, which forms the basis of anin- _into the bVI region. The following passage, beginning at measure

troduction to the subordinate theme.®! 58, consists of an ingenious variation to an expanded cadential proOne type of introduction typical of subordinate themes gression, in which the typical bass-line ascent is actually found in

, : created . the tenor voicetonic (see harmony the circledand notes). rewritten version of. ;this is when newAaccompanimental ; . progression (ex. 8.11b) inverts the chords to make the bass line patterns start on the downbeat of the measure following the more conventional. In this form, the augmented triad in measure end of the transition; the basic idea then begins later in that 58 can be understood as a chromatic variant of the initial cadential measure, so that the downbeat of the next measure must be tonic. The following diminished seventh sonority substitutes for

seen as the actual “first” measure of the theme. The open- the pre-dominant built over the fourth degree in the bass. In ings of examples 8.7, 8.11, and 8.12 illustrate this technique. Mozart's actual placement of these chords (ex. 8.114), we perceive It is interesting to observe that this type of thematic intro- _ that the sustained C4 in the bass voice implies a prolongation of duction is rarely encountered with main themes, although — +VI throughout measures 58-59, thus reinforcing the tonicization the opening of Mozart’s Symphony No. 40 in G Minor, K. _ of that region. The diminished seventh VII5/ V of measure 60 ob-

550, is a notable exception.® scures any further sense of C major, but it is not until the arrival of

the cadential six—four in the following measure that the music regains its tonal bearings firmly in the subordinate key of E major.

Modal Shift (See also ex. 8.9, mm. 92-95, and ex. 8.12, mm. 60-70.) Almost all subordinate themes reside in the major mode; Modulating Subordinate Theme,

even in minor-mode movements, the subordinate theme « ee

usually lies in the relative major. Nonetheless, a change Three-Key Exposition from major to minor is frequently encountered within a The most radical loosening of a subordinate theme by subordinate theme (or theme group).© Such a modal shift | means of harmonic—tonal devices occurs when the theme introduces a broader spectrum of pitches and pitch rela- _— begins in a key other than that in which it ends. Examples tionships and, similar to the use of chromaticism, createsa of such a modulating subordinate theme® are seen most often looser formal expression. That this modal shift can be con- _ in Beethoven and reflect this composer's greater use of sidered a loosening device is confirmed by the general ab- —_—s more far-reaching tonal relationships than those employed

sence of this technique in tight-knit main themes.™ by Haydn and Mozart. Except at the final cadence of the theme (or theme In all cases of modulating subordinate themes, the goal group), a modal shift can take place anywhere in a subordi- _ subordinate key, that in which the theme closes with a pernate theme; however, the technique tends to occur in con- fect authentic cadence, is the dominant region of the home nection with continuation function. Among the examples __ key. The key in which the theme begins can vary, but the discussed in this chapter, modal shifts can be found at the — submediant region in major-mode movements and the meinitial tonic of an expanded cadential progression (see ex. diant (relative major) in minor-mode ones are usually fa8.6, m. 26) and at the beginning of a second subordinate _ vored. This initial key is already established by its dominant theme (see ex. 8.11, m. 50).© A modal shift is particularly _at the end of the transition. dramatic when it occurs at the beginning of the subor- Some writers have recently adopted the expression threedinate theme (or theme group) (see ex. 8.12).°° No matter key exposition to characterize such procedures.”” But this where the modal shift takes place, the major modality is ul- | term is somewhat of a misnomer. In the classical style, the timately restored, at least by the final cadence of the theme “second” key, the one beginning the subordinate theme, is (or in the case of a theme group, by the cadence of the last —_—srarely confirmed as such by cadential closure.’! Rather, this

theme).°’ initial key functions more as an emphasized tonal region in

te e

nN OO

EXAMPLE 8.18 Beethoven, Piano Sonata in E-flat, Op. 31/3, ii, 31-63

[Transition] ; Subordinate Theme (modulating) continuation

Allegretto .©poco .oeee— re—_——— oe. eS we Ot ee vivace eeeA # @ ritard. . co 8 ®arene? ue 31ee3 eei Gr N RA Rawk i:—aeeea— Orne, model

10 > es ds | 0 Sb 6 ED 9 A, es FW ee > 6S ED F E.R s ) eee Ae 28.4 eee) Eee ee ee

FVw— J IV (VI) Eb:| | ue) vy ——_____

el Otr creer emcee oe ee Ye ° ° prae J ° °$4 — es ° ; i” OT g -* IS Pp’ oo 8¢ @ . oe @e ° Poe

a tt 1 eT as Sc Ar _i iw i tta° ta. ww "koa |e bn 2’ rotor wr 7 ot = ns a as (Vv)

frag. ee see | sequence rrr eee«* ee ee ee er as es° |_— a OEaa we e Y ee anreer = mS cadential

*saaepanersans “snunpuemmps — ier = = £ #£ d iP | £ £ ¢ < ha = d iP = saad 6 ~—,°

f) Ca roman ay het cs SN SSO—SSba + |— be 14 —F— — 3 - ee e - _eee -—_— = ee = } ee C—O Ot tat 6 So iO Oe a ee a eee fn Py Oy | ms Set 2 BRA ee eee eee eee 2S eee See ee eee 2. eee We Se ‘eee 62 Oe eee ee eee eee 626. ee eee i tn an EE es ane ese Se 2 RE AS OS OE ———_e C S D C SS PO DE CY ES © A "EE 2 Oe SS EW Sones 8 Ge Cee Se 9 OS Ce ee PE ce es

RiP GP UY ye Y on ap HPOm wy coerCis eeCL eeeee—————— eae (VI) ——————_———————._ ( vIl4)E.C.P. —_____________- I6 ( V3 ) ———_——__Y__ 6

. o . e e e e fn ee

( codetta ) ee x, et es | rr ae eee SSF=F et ee Sa > a. ~~ . pane . ° a ° ° a! WL, ° ° a * ~ ° S a fe 7 11> — "9-8 8 ee SS oe a i oT 4 4 7 — -" Py rn ~— — ~~ ae. °yap yyarstipceor SPU PCecy SPF ° ° 6° oo @ @GELP e* © @LELP @ anare *© « © * ECP @ @ LELP @ eS . oo @ EL @ closing section

ee a a SS Lt.) —4 ___@_»-5-@-D-@-1 wu wt own FF se |...UlUe Ra bos! Bwsabws Fae aL... aps tan 2!

* — decresc. _° ‘pp. * ~ ° } 1 aD.

gs: I v? I Iv 16 v§ 1 We vg % l.,

continuation bi.

{Subordinate Theme]

“_~a , hb Tet) AN aS ua Be > 6 —

‘Mi See (eee eee D8: Ee) Ee 2 es Ol 2 Pe 6 2 Oe es Se n.. Qe] Ae Ge Gees Gee 2 Gee 2...

{¥ crese. Pp ee — Bb: ln sve ns vg v vg I CHI) NA [He] hn 3 -}— o—__1—________ 4 __ ref po —}—3oo og +--+ —}-}_ +--+ 4} ff ff gf

veri. ft een bn. CR). Ce ee y ft ——n a= ida FT ida =m.

cad. , ee cee Allegro — a ~~. Ss x ~~ aad . SE Se EES pT eS EXAMPLE 9.4 Haydn, Piano Trio in E-flat, Hob. XV:30, i, 15-44

(Main Theme] Transition (part 1)

moderato 8 8| pe. 5 a A} is | [faeSe2 vi. : R"Ae ee S22 false closing section => presentation (extended)

peameneg—"~-—_______—------»eus aes | cod. => bi. . nee nena nena | ~

fF IV roVv7 ISs ED: ned.:3

3 frrerer ot Sclreri? $Cerecer

elided

vi. f v7 a

continuation standing on the dominant -~ ~~ ~ _ ——————— — a -_- A fiids

eee? . oN é ett) | ees OT) eee abe J _ Dn rT I =——— )

Sm oe ee” ° .

‘ay om 2 > Ss Oe 0 ee ...... 0 ee S.C Se ee ee Os ee L—t}+ ot De ee ee eS ”™~—~—CCCOCi‘C“‘(#SSCSA@ +?»

Ga Amn... ED Saal OP OE A" Oh | CR TT RR A wT Ca nl Ne) ee CS (‘(asiaCC“‘“SQSSCCCC(‘C(NNNNNNS$S WN yd

. Add 2 J O AS — uo M eP' Pe NO? . ——_ eo °BR fe NDF elided

new idea ~

Transition (part 2)

Standing on the dominant

py 3a) a CF Sate nd.ee fo)pt 2 Hhd pol-___} ATR eet ota Sad ‘et J ene —4pert py}, OY POda.rhdhe) oo PP —Gea #6 | 6 eo et tthe _o€.-.2AwVv---v—__ LP ND T_T ae fe FOO DBNHNOTITo.

—_— vi vig crese. Bb:(Vv) Uns v7NA Vit? [He y ——_____ ]

“Ae ———? 3 SF SS Sh 4G Ge Eee eee ee Vp se Ng tte J fT 7 fe

a = me ~ =—f7ser uoff Ten 0 uoTt at — elided

[Subordinate Theme]

fas3 DSSS Doo doBr fin Daas , is ° 34 —— Via Ja dhe. r _—— ake) Sin : " = —= ° pan f+ 4 seWO

Oo —— 128

TRANSITION 129

such cases, we have the initial impression that the main section consisting of codettas. When this occurs, the end theme is not yet over. Since the half cadence can be heard _ of the closing section and the subsequent beginning of to close an antecedent unit, the return of the opening basic _ the transition usually are separated by a distinct break in idea implies the start of a consequent. When the musicno __ rhythmic motion.?5 On occasion, however, such codettas longer corresponds to the antecedent and modulates to the —_—s merge directly into material that no longer seems part of a new key, we understand in retrospect that the return of the —_—_ closing section but, rather, is more typical of a transition.

basic idea marked the beginning of the transition and that _In these cases, the codettas appear at first to have a post-

the half cadence truly closed the main theme.”° cadential function in relation to the main theme, but they are then understood retrospectively to initiate (usually as EXAMPLE 9.3: The half cadence in measure 8 closes a simple sen- 4 PF esentation) the transition proper. We can thus speak tence. The sentence begins to be repeated, thus suggesting the for- of the codettas forming a false closing section, as defined mation of a sixteen-measure period. But the modulation at mea- _— in the previous chapter in connection with subordinate sure 12 and the ending with another half cadence at measure 15 themes. prompt the listener to reinterpret the first sentence as a main

theme and the second sentence as a transition. EXAMPLE 9.4: The main theme closes with a perfect authentic caAnalysts might be tempted to locate the beginning of the tran- dence on the downbeat of measure 16. At this same moment, the sition at measure 12, the moment when the “consequent” of the —_ violin sounds a new two-measure idea of obvious codetta character

main theme departs from its course and the modulation takes = gg repeats it in measures 18-19. The piano then takes over the place. To be sure, this moment marks the end of main-theme ma- same music in a somewhat embellished manner at measure 20. Just terial, but from a more strictly formal point of view, this moment before reaching completion, however, the music moves off to VI represents neither an end (of the main theme) nor a beginning (of == (qm, 4), which signals that the preceding passage, which seemed the transition). Rather, measure 12 stands very much in the middle ie a closing section to the main theme, functions instead as the

of a formal process, one that clearly begins at measure 9.?! beginning of the transition.?6

The strategy of beginning the transition like a repetition It sometimes is difficult to determine whether codetta of the main theme can also be used when the latter has _— material forms a genuine closing section to the main theme closed with an authentic cadence. Frequently in such cases, _ or a false closing section to begin the transition. In such the beginning of the transition elides with the end of the _ cases, an analysis of the grouping structure can be helpful. main theme.”? If the transition is nonmodulatory, the com- _—As a general rule, the structural beginning of a thematic bined main theme and transition can sometimes give the _unit brings a moderate-size unit (two to four measures in impression of being a kind of “reversed period” (i.e.,a con- _ length). However, the presence of small, fragmented units

sequent followed by an antecedent).”? normally represents a thematic continuation, rarely a new beginning. Therefore, if the codettas in question are folEXAMPLE 9.1: As discussed, the opening four measures are con- _ lowed by a larger unit, they probably belong to a separate structed as a sentence (R = 4N) ending with a perfect authenticca- _—_ closing section independent of the transition, whose begin-

dence. The sentence is repeated in the following four measures but ing is articulated by the new, larger group. But if the ends this time with a half cadence in measure 8. The overall struc- —_codettas are followed by a smaller unit, they probably form

ture suggests a sixteen-measure period whose constituent fune- a false closing section to begin the transition.

tions have been reversed. This use of phrase functional labels is fine

as far as it goes, but it leaves open the question of how logical it can be for the composer simply to reverse syntactical units. When EXAMPLE 9:5: The end of the main theme on the downbeat of we recognize that the two units have specific thematic functions, measure 8 leads directly into material that has the standard characnamely that of a main theme followed by a nonmodulating transi- terisucs of a codetta, including a typical P edal-point p rolongation tion, then the formal syntax becomes more convincing. Some de- of the tonic that emp hasizes the subdominant (cf. the paradigm in tails of pitch structure in this example suggest that “re-reversing” cx. 2.1b). The resulting four-measure closing section can, however,

the units into a normative antecedent—consequent succession be reinterpreted as a presentation phrase to begin the transition would not be entirely satisfactory. Note that the second unit intro- when, at measure 12, the fragmentation into one-measure units duces a number of chromatic embellishments (the Ab at the end of and the sudden acceleration of surface rhythm clearly express con-

m. 6; the Ff and Bb in m. 7). This chromatically inflected ante- “Uation function. cedent would unlikely be followed by a purely diatonic consequent

of a regular period. Thematically, however, the chromaticism con- Nontonic region. Most transitions begin with tonic of the tributes to destabilizing the home key, thus helping to fulfillone of | home key to provide a firm footing for the later destabiliza-

the central functions of a transition.?* tion of tonality. In some compositional contexts, however, harmonic stability at the opening of the transition might be

False closing section. A main theme that ends with a unnecessary or even redundant. If the main-theme area perfect authentic cadence can be followed by a closing _ strongly emphasizes tonic harmony—through the use of a

‘ Ee eee EXAMPLE 9.5 Beethoven, Piano Sonata in C Minor, Op. 10/1, iii, 8-18

cod. =p bil. x, frag,

[M.T.] Transition (non-modulating)

false closing section = presentation continuation

Prestissimo J *¢ J - ry2243), =~ &JER ¢ Din or (lee 2 =f een £2 e " =eg= pr == y=F= =f =} orl r lf

Ly #f cir tf eririr rf r , / F: 16 y? I voaivt VOCc: Vi eT VA VA ye{vi —— S “Nee”

(V)

EXAMPLE 9.7 Haydn, String Quartet in B-flat, Op. 50/1, iv, 13-34

b.iEE cad. SRL idea new idea (fr. cad.) x.et v, x. a a aes | CN ree a a ee @ e ° e . re Vivace ° ° ———~ OS ED a, ms WD mdtetDla eege dtOe A, ee OeepnT) te eet ay et ot eerIttfdSieloo i pr) eretrrr NY e «6(celr 6° e e “eeCor 8 o eeFt °° [Main Theme] Transition consequent

_ ™—~ Uvs _ v4_I vg I vIréYe Vv

Bb: | ——___- Vi v7 1 v4F: {'

C—O oe ete (IV ®) Vv... I ” evesc. standing on the dominant (Sub. Th.]

, “Ng a ii fe 2 IS Cpe TOR ee. SS Og ee 7 Pt EE Ee Bt =. 5 = } ———— fe rene neneeeeneeemenenes | eG eet

~~ PF eee ane #5 nee5 ~, e “~leeige J. > A | 23% = —=thee Si— = —= ledeat TM a

Vis « ” Dis * = Us) == 5 2 . e Ie . . : = - =< 130

TRANSITION = 131

closing section or multiple main themes (or both)—the 3. Beginning like an A’ section.

transition may begin directly in a nontonic region of the '

home key in order to advance the process of tonal destabi- 9 "*AMPE 9-9: Measures 1-8 and 9-18 make wP the exp osmnon

ome CY P and contrasting middle of a small ternary. (The internal organizalization. ; a tion of the exposition is most unconventional, especially since it is

The nontonic region used in the majority of cases isthe 6+ even clear that it closes with a perfect authentic cadence; in submediant. This harmony is particularly effective because light of what follows, however, the opening eight measures must it creates an immediate modal contrast and can easily func- be interpreted as an A section.) The return to the basic idea at tion as a pivot to the new key. Yet at the same time, VI con- _ measure 19 signals an obvious recapitulation, one that would nortinues to function as a tonic substitute, thus making it an _ mally bring an authentic cadence to close the main theme. But the appropriate harmony to project a sense of formal initiation melodic D# in measure 22 steers the music toward the subordinate

for the transition. key, and the section closes instead with a half cadence in measure

29. The recapitulation of the ternary is thus left incomplete, and

EXAMPLE 9.6: The main-theme group consists of two themes, we understand retrospectively that the functional beginning of a each ending with a perfect authentic cadence. Moreover, the ca- modulating transition occurs at measure 19. dence of the second main theme (mm. 19-20) is followed by two codettas of one measure each. As a result of this emphasis on the

home-key tonic, it is not surprising that the transition starts ENDING THE TRANSITION with VI at measure 23. That this moment represents a new beginning is made clear by the change from one-measure codettas The close of the transition is often marked by a liquidation

(mm. 21~22) to a four-measure compound basic idea (mm. of melodic—motivic material, a reduction in texture, and 23-26) and by the abrupt shift to forte dynamic and Sturm und —_ sometimes (but not always) a break in rhythmic activity to

Drang style.” set off the entrance of the subordinate theme. The final — —_ . harmony is a dominant—of either the subordinate key or

Unusual Beginnings. Wher eas the majority of transitions the home key. Most often this dominant arises in a halfbegin in the ways just described, some different procedures adential progression, and the appearance of that harmony are employed now and then. Three, in particular, occur fre- creates a genuine half cadence. Sometimes the dominant

quently enough to warrant illustration. cannot be considered cadential because it is inverted, con-

, o. tains a dissonant seventh, or does not correspond to the

1. Beginning with the cadential idea of the maintheme. —«.,4” of the prevailing phrase-structural processes. At EXAMPLE 9.7: [he main theme closes with a perfect authentic ca- other times, the final dominant does not even belong to a dence in measure 16; the true melodic line lies in the second vio- recognizable cadential progression but comes instead as the lin (the alto voice in mm. 15-16). (The first violin plays a newly _last link of a sequential chain. In very few cases, the domiadded subsidiary idea.) The transition begins by repeating the ca- _ nant, by resolving quickly and without interruption to the dential gesture in measures 17-18 and develops this idea all the tonic at the beginning of the subordinate theme, is not perway until the half cadence at measure 24q. The accompanying ceived as an “arrival” of any kind.

voices sound the head motive “a” from the basic idea of the main The final dominant of the transition is usually given

theme. temporal emphasis in order to arouse the listener’s expectaoe tion for a tonic resolution. A number of techniques can be 2. Beginning like a previous B section. used to stretch out the dominant in time. Most often a EXAMPLE 9.8: The main theme is constructed as a small ternary standing on the dominant bringing new melodic—motivic (see ex. 6.10). The upbeat to measure 29 brings back music from material either follows, or elides with, the half cadence. A the beginning of the contrasting middle (one octave higher) and somewhat different way of creating a standing on the domithus suggests that the B and A’ sections might be repeated, as_ — nant consists of repeating the half-cadence idea several sometimes happens in the rounded binary version of the small times in succession. In those instances when the final domiternary form. But the supporting V’/ VI harmony, which gave the nant is not created out of a half-cadential progression, the impression of being the “wrong” dominant back at measures 10-15, dominant is often elongated (sometimes with a fermata) rel-

now serves as the “real” (and only!) harmony of the transition. . .; . os . ; .

és ”

The use of a single harmony in a transition is most unusual. ative to the p Tor harmonies in order to give an impression

Beethoven compensates for the lack of harmonic progression by of being an ending harmony nonetheless. writing a subordinate theme that, as discussed in the previous The following discussion of transition endings is orgachapter, creates a more definite sense of modulation (see ex. 8.18). nized along a continuum of possibilities from the clearest In this respect, the modulating subordinate theme also possesses __ half-cadential articulation at one extreme to the complete

a degree of transition function.”° absence of a concluding function at the other extreme.

EXAMPLE 9.8 Beethoven, Piano Sonata in E-flat, Op. 31/3, ii, 28-35

(M.T.] Transition (Sub. Th.]

cod. new idea < a tempo rs 5 ee ro” Allegretto ‘ B iD oz:3-aoe tr NA 7, poco ritard.isN At 28 — 2»#" NA Ny ___A Oe Standing on the dominant

CO, eat TECity SefTTT A A Ts Ofe ORD e e ér e SIS y Ab: 16 v Jj vuVv —_— ——— F 1

vivace

— —— pp

(V1)

EXAMPLE 9.9 Beethoven, Piano Sonata in C, Op. 2/3, iv, 1-29

b.i. C.i. b.i. cl. Allegro . -_. eget e eF .... bd .ts. teeOTT, ° e| °“Tre ° e=.e ine —(aes eee wr es Td gd oe pf triiid a+ wy ET —G— a a Sa ge re oe oo ee ee go ee re te at pcb 7 -—— 4 , 4=”°(PAC g- f ?)/VI J ‘Ui "~ —_ Main Theme

compound basic idea consequent (7) standing on the dominant

ee —__ 1 i

” Vv (v7) Vv———— (v7) Vv... vi—_—— NA WA

A LE Ts— oe ee eS os Et Vr se Sa rr gee — EXAMPLE g.11 (a) Beethoven, Symphony No. 2 in D, Op. 36, i, 57-63; (b) mm. 34-41 Transition

a) pet 6 eee hh

Allegro A J v2 tees con brio 4 Ql OOS 4 a ame62" ° .,oo — 9 60 — 61— = === = he Ee —E EF ————————————— ooo a el! DT erect Cele Cote Le D: I rvA: [pli vg 3 model sequence

standing on the dominant

hd e e °

a «oda - TTB pre PT OP Bissesrs psrsTsls Pers |: a. helt -——

(Vv) dominant arrival

Main Theme

we Itaidve ee ss 36 | tI pay TS => 40 al 3 rE te tt to eer oo ot Eee b) Se ne en a ee ee ee ae eee

p = POFos Bom ier° Bee 8 0 Pr . PF~~ °

134

TRANSITION = 135

Absence of a cadential progression. ‘The final dominant ofa | composer provides some means of expressing a beginning, transition is not always achieved by a genuine half-cadential _—_ such as the appearance of a new basic idea in the context of

progression. Sometimes the progression is in the making _a presentation phrase.* but fails to be fully realized because the final dominant includes a dissonant seventh.*> At other times, a cadential = ExAMPLE 9.13: Most of the transition consists of brilliant passage-

progression is not even implied when the final dominant work prolonging the tonic of the home key. (Note the unusual use appears. In both cases, the dominant can appear to be an — Of three different presentation phrases to project this lengthy proending harmony nonetheless, because (among other possi- _ !ongation.) At measure 28, the move to VI provides a pivot for bilities) it may mark what sounds like the beginning of a modulating to the subordinate key, whose dominant appears one

, : , sagon measure later. Thisitdominant does not seem to mark any kind of standing the whatsoever dominant, may feature liquidation anda , _followar ; ; ending” as it moves directly to the tonic in the reduction in texture,Atorthat it may be especially __. , 7theme ; , . . ing measure. point, the basic elongated idea fromrelathe main retive to its preceding harmonies. turns in the lower voice, supported by a solid tonic prolongation in

the new key. Listeners familiar with Haydn’s practice of beginning EXAMPLE 9.11: The goal dominant of the transition arrives at mea- — sybordinate-theme groups with a transposed version of the main sure 61 in a noncadential manner by appearing in first inversion. theme’s basic idea could likely believe this to be the case here, even

Immediately thereafter, the bass takes up the root of the harmony, though the transition lacks a specific concluding function. And inwhich is prolonged for eleven measures (only three of which are deed this interpretation would be correct, since at no later point in shown in the example). The complete change of musical material the exposition can a stronger sense of structural beginning for the

following the dominant arrival gives the impression of being a — subordinate theme be found. , typical standing on the dominant, despite the lack of cadential

articulation. . The lack of a concluding function for a transition may Note that the dominant initially appears in first inversion, for F bordinate theme containing an internal half caspecific motivic reasons. The main theme (ex. 9.11b) features a procuce a sudo ,; 5 . ; sae a .descending dence andthird a subsequent standing36-37 on the prominent motive in measures (seedominant. circled ft , The . notes), which is repeated in measures 4o- 41. The latter version is dominant emp hasis Missing from the end of the transition then chromatically altered in measures 60-61 of the transition (ex. 5 thus regained in the subordinate theme itself. 9.114). Moreover, this same motivic pattern is also played out at a

higher level, shown by the circled downbeats of measures 57,59, | EXAMPLE 9.14: The transition begins in measure 19 with a two-

and 61. measure idea from the opening of the main theme. The idea is then repeated in the bass voice, now supported by the dominant of

EXAMPLE 9.12: The downbeat of measure 89 is initially heard as I, the subordinate key. By the end of measure 22, the listener does which completes the tonic prolongation of the presentation begun not expect this dominant to be the goal harmony of the transition: at measure 81. (The transition of this movement starts earlier at_ there is no cadential articulation, no standing on the dominant, m. 65 and consists largely of new material supported by extensive and no temporal extension. Moreover, a r epetition of a two-measure tonic prolongations.) The rest of measure 89 is interpreted as idea (mm. 21—22) tends to reinforce formal initiation, not create 114/11 (in the new key of F major), and this harmony initiates a de- formal closure. Nevertheless, the following material clearly exscending fifth progression, which supports model sequence tech- presses the sense of a new beginning by bringing a presentation nique (somewhat modified) in measures 89-92. The last harmonic Phrase supported by a root-position tonic in the subordinate key. link in the sequential progression is the dominant of the subordi- ‘There is no reason, therefore, not to consider measure 23 the start nate key at measure 92, which then emerges as the final, nonca- of the subordinate theme, even though the transition lacks a funcdential harmony of the transition. The ongoing melodic activity, tional end. Since the transition accords no emphasis to the domihowever, is not concluded until measure 95, after which new mate- nant of the subordinate key, we are not surprised to find the conrial appears for the standing on the dominant. Since the harmonic tinuation of the subordinate theme leading to an internal half goal precedes the melodic goal, we can speak of a premature dom- cadence at measure 30. The second part of the subordinate theme

inant arrival at measure 92.24 then begins at measure 36 with a new idea, now supported by the less stable 16,37

Omission of Concluding Function TWO-PART TRANSITION Now and then, the final dominant of a transition gives no sense of being an ending harmony whatsoever. The domi- —_—‘ The process of tonal destabilization sometimes takes place

nant does not appear to be the goal of the progression; it in two distinct stages, thus yielding a two-part transition. receives no emphasis; and it resolves directly to tonic atthe —_ Following a main theme ending with a perfect authentic cabeginning of the subordinate theme with little or no rhyth-_ _ dence, the first part of the transition leads to a half cadence

mic break. With a minimal sense of functional end for the — (or dominant arrival) in the home key, just as in a single transition, it can be difficult sometimes to determine just | nonmodulating transition; the second part then modulates where the subordinate theme begins. Usually, however, the _to the subordinate key.

EXAMPLE 9.12 Beethoven, Symphony No. 4 in B-flat, Op. 60, i, 81-108

presentation continuation c.b.i. ‘ c.b.i, (rep.) re, re-eereoe

me LB Lis edi CSU CTifTevf , i Se A) ae ee ae ——s iv v vo f Transition

bi. ci. model sequence

OE eee eS nceNjqR Sot ST oe 2 CE 0 0... a SD Sa GN { Cg ST LULL. Oa OT ee .tCSCCSOS

OE MET ¢ ORS “CEE "Ue SEE CEE EE ee ee Ob ee ee eee = ee ee Eee r+ —g —__—1__—__} $i CL OO—C“‘#${TENN

IS r > rr r f o~wLTEOD = > Ld eo of

-__ eT — y 7 of ° of dim.

Bb: | ——_——________—__ Iv vs 1 1 ag ‘ y v? F: Mm lv vil

(Vv) NA

roots: Bb E A D G Hl

standing on the dominant

2 dh v 4a 5+0tg-~¢ bee5eo ‘mat Sn9| Samael Ph er RSs a So StS7be—s i 4 ‘5 —__ -)

fp —___1—_________{1—_ 9 —}-+ bay —t- +--+ + _4—_ 8 Hot |} —q4# +} —- £4} 4 soe! bys ——8 sa Sn / 2 Be SB’ ee Waa fd ao 1 a 27 lm | gs |

rrrrrrr rit tte SF goby #=6 — Tet

dominant arrival (premature) Cc

J fp , eo ~ jt d 106 107 Ba , bP oe ee ft I /.. LAR Cee ee rts | fF |. TUL rile Pr , {Subordinate Theme]

ne Oe

Ai SEE —=5 SS = = GS A ns a ee NN SSS

EXAMPLE 9.13, Haydn, Symphony No. go in C, iv, 16-35

presentation (1) presentation (2) presentation (3) b.i. x varied new idea x. new idea

[ene | ee ee ee ee OO assai — aeheneee ees a a "ee, ar e| - =: Atego | meme? Jad] BPE Transition

° 16 == ——— a ')ttBED PPR ¢— eePPP eePRR He=ee ot te ht da he= ttRaSt he_

RPC c: | a aeres CE eee bee ee Subordinate Theme

. continuation presentationb.i. (fr. M.T.) +

| {72 JT) £9 TG £573 £IT) ET aS fi JAI, pe, (AeoD JoaSo ft)oe Si fit) ft) TE J BS (7 4 8 Oe FY oo I eo oo ee omfor porpr Pp re sstr?, Tri? t tt eee Soir oo tree tft crtyh Ce SS! SS LF | —_— {vi G: Ui 6 V § I (Vv) I (Vv) (Vv)

136

Alle Pcp Sg a .ig TRANSITION = 137

EXAMPLE 9.14 Mozart, Piano Sonata in C Minor, K. 457, i, 17-37

[Main Theme] Transition Subordinate Theme (part 1)

cad. b.i. (fr. M.T.) x bi. — ‘ : J & 3 A Be 5 did — presentation

lp poof ; pot I Pp re ell 4 rites: eeFP.ph cl nsolevig) mam

— p INA 4 P an elided

continuation standing on the dominant

4 es TT ss eeeeJTSPS of, = aeeee 2S a 2S aeeee ee4}ee oeCSee ee LG — iO f+ if , es 7d SS SS Ss SS aes

eleh cl theless altel rire UU O_O” crese VE =) or

dt

(internal)

[Subordinate Theme (part 2)]

—— peta d yard Janda f 5 ‘Mm Quan Eee. eee Cee. Pee seen: |; Se. eee PT Ldn LL — ee”Pt ee

EXAMPLE 9.4: [he first part of the transition begins with a false closing section and leads to a half cadence in the home key (m. closing section to the main theme and leads to a half cadence in 24) and a long standing on the dominant. Measure 32 brings the home key at measure 26. A second part then begins at measure back the basic idea of the main theme (see ex. 9.15b), but rather 33 with V’/VI, whose resolution pivots to tonicize II of the subor- than following it with a contrasting idea, the basic idea is redinate key. The transition then ends at measure 37 with a half ca- peated twice (ex. 9.15a, mm. 32-35). (Two additional statements

dence, which elides with a standing on the dominant.?8 of the idea appear through imitation, shown in the lower set of brackets.) New material at measure 37 effects the modulation,

a and the transition closes at measure 42 with a half cadence in the

Frequently, the second part of a two-part transition be- ; ; ‘th the basic id f th ‘ath db subordinate key, followed by a five-measure standing on the

gins wi € basic idea of the main theme supported by = gominant.

the home-key tonic. The resulting structure then.resembles The return of the basic idea at measure 32 might lead us to the case in which what seems to be a small-ternary recapitu- _ consider this moment as the beginning of an A’ section (which lation is retrospectively understood as the beginning of the —_ would then be reinterpreted retrospectively as the start of the transition (see the discussion of ex. 9.9). The fundamen- __ transition). But to view the main theme as an incomplete small tal difference between these two situations depends on ternary form would be incorrect, as the material following the whether the passage leading to the dominant of the home perfect authentic cadence at measure 16 sounds like a closing seckey is understood as a contrasting middle or as the first part tion, not the beginning of a contrasting middle, which usually of a transition. In many cases, the former interpretation °™Pphasizes dominant harmony. Moreover, measure 16 both _ closes the sixteen-measure period and begins the next unit lead-

must outtobecause of the half fundamental . As a result of Piebe . 4.ruled oa ; ing the home-key cadence inprinciple measure 24.

prohibiting a B section from eliding with its preceding A - , . this structural elision, we may not speak of a contrasting middle

section. here, and the notion of a recapitulatory function at measure 32 must also be abandoned. We therefore understand the main EXAMPLE 9.15: Measure 16 brings a perfect authentic cadence to —_—‘ theme to end at measure 16, at which point begins a two-part

close the main theme. The following unit begins with a false transition.*?

een ne | rer “7, legato a J NT Ome eee a) Trier feta et eeeTPE eee to te ee aa EXAMPLE 9.15 (a) Mozart, Piano Trio in D Minor, K. 442, iii, 15-48; (b) mm. 1-4

{M.T.] Transition (part 1) false closing section => presentation continuation

cod. => D.i. ~ frag.

Ad 15 pan = 16 ** of] — 2 a Ty. |) 0 ap —~ le |e, aD —_— PuPR

yb ——__—_ ia | | | | a o>. Oo L)TTTTTTCOSdSS el YD oe a + ——_—__—-4 2 eS o.. 4" *_ eee. eee

Ly oS FTer.-F—2.r0°-°.-.- 9-6 EB ST , ee —_—_ —_i-f 7a. "ee "eee" eee . 118 7 I ped... D: 13 Vv elided

f — —— standing on the dominant

sya df SST) >) GAS BPRS Ji ojssiTQ 4 JJ is417, 'an + —__—_6 Sean Eaee... _ a, Se — — — _ — ' a _ a — a — ma Aa .| ~~. bk opi ££... 2... geeee 8) ee san Ll — SsfF.a 28g -._ tam-mi 4 Ca: |} fe) 1+s£4.f. HH_ ...1S 8 ee> Wf pf Lo nn8 Gg

j’ wk —_" yt rig

; t+ °, eee See | — a} —}-——} + —}- +} +}! oe ee yt oe —t a) ta nt Ane eee a 7 — i —}—_+--§ oe} 4 —i—_+_+e—+4

[RECAPITULATION]

479 I) x | a [Main Theme]

b..

5 —— a ont eeeeasee th (.,—__ WV) BEER Se U6 li“ eetei eeenone eee aeoe 2 OP A — eth a Lind ~— S$PR 38a CarTS ena . Peep Efer SESE 6 6OTTT I...

143

.

144 LOOSER FORMAL REGIONS

EXAMPLE 10.4 Haydn, Piano Sonata in E-flat, Hob. XVI:49, i, 84-107

model sequence b.l. =. (exact?) | . = vy. TT eee = | oo peg) Tite ent he JT) FT Ades St Tee yh Tete tp ts 9 os 6ee ot pg aa pp o_onaa lp 9 pp artery pt pe ny pp et eS i! (V$ $) I Vso Vi... Core

nn ne ee

—~ ~~ A_| 90 FT = d Jie a be:ee a eee a a a ee ae a eeaes ee93ee| eeaeTdee ae V3. Vv... Vie He S5 ) 2) 2m sequence

TO ed (Ir) NA NA P

ald $$$ $$ —$__—_____——, —_——_——— ee ii: n== afragmentation bef = nae t tte eT TT 1 mn fle Ty

f: {* (V8) VI (V%) VI (19) standing on the dominant .

ft To» Post 485) STS STR ps) eI FTI pe

(VE), me) $e Ei Ch Ce ff | CLO aa

itself, the composer must make sure that the larger-scale se- | Fragmentation. Most cores produce an extensive process quencing of the full model remains distinctly perceptible. of fragmentation, which breaks down the grouping strucThe melodic—motivic content of a model may be drawn __ ture defined by the model (and its sequences) and eventufrom any previous material of the movement, or it may be _ally motivates a formal close to the core. The passage of new. If the model is quite long, it may contain a variety of | fragmentation may continue to employ ideas from the ideas taking up a number of distinct phrases of differing | model or may bring about a change in musical content. The

formal function. fragmentation itself may even establish a new model for se-

quential repetition. Now and then, however, the sequential Sequence. Following its initial statement, the model is se- _—_ process becomes exhausted at the onset of fragmentation

quenced one or more times. Although a single sequential (or sometime after that point), and the rest of the core is pattern may be used throughout (such as a descending fifth supported instead by prolongational progressions of the or an ascending second), the pattern often changes in the __ kind found in a regular continuation phrase. course of the core. The supporting sequential progressions either create a true modulation or introduce a variety of | Concluding function, standing on the dominant. ‘The

tonicized regions. great majority of cores have as their harmonic goal a domi-

The structure of the model is normally retained in itsse- _ nant of either the home key or a development key. A core quenced version (see ex. 10.3, m. 62). Sometimes, however, thus tends to end along the lines of a transition. Most often, the sequence alters the model, especially if it consists of sev- the fragmentation leads to a half cadence. Frequently, eral phrases. In such cases, the first phrase usually conforms —_ though, a genuine cadence fails to materialize, and a domito the original model, but subsequent phrases may be __ nant arrival, sometimes a premature one, results instead.

changed or even eliminated. On rare occasions, the core leads to a distinctly new section

'f p’f p— fP

1 i mm a DEVELOPMENT 145

model sequence wre 2 OD SOS : & 4 43 EXAMPLE 10.5 Mozart, String Quartet in G, K. 387, i, 72-87

Core

"response" “statement®

ppt = __ == bess adh) IT) FPR = Sled tT ET eg S SEES Sele = Se ae eS Se Se SS =

C: WV ————_______ Pe P= Ty

=—oe =ae Se ee >) ——) * ° eee Ae V § (IV)

Ra aa, i a oT cer a arr aaa accra acca ee a: i as: i frag.

(VI)

— eeeeeon Srost | (Tone more time") closing section

P5e°|Y

wrt }— | aisPP J %. asiatS J) ee PRDee) hy gtdeetx tr I bus =v?dec.vicad. Woev.ove 4 \ cad. bne v7 Vi IV wg 0 oP cad. dec.

(another core or a retransition) without being closed by any _ broad process of fragmentation then begins with a reduction of the

concluding function.?! previous four-measure model into a new two-measure unit (mm. Sometimes a core ends with an authentic cadential pro- _: 9798) and a further reduction to one-measure segments starting

gression in a development key. An actual authentic cadence * aod tor. The beginnng one fragmentation ve ends the may arise, or it may be evaded or abandoned, in which case “©dUENN4! activity, and’ the rest of the core Is supported by prolon-

; . , minor) at measure 103.

. . gational progressions eventually leading 3to a half cadence (in F cadential closure may never be achieved. The half cadence (or dominant arrival) closing a core is usually followed by a standing on the dominant.” This . postcadential unit is often highly extended by means of sev- when :, 70.5: hoe a peeins at measure 72 me a anata

eral distinct sections, each with its own melodic-motivic '©S4» W20S€ Melody and harmonic support are then transposed a

; the ; third lower. On on hearing this descendingoccurs third sequence, we might content. If standing the dominant at the end ;; f the devel th - ves derived fr assume that the model is two measures long. But the sequential

or the development, then anticipatory motves derived trom pattern is broken when the next appearance of the idea (m. 76) is the basic idea of the expositions main theme often appear transposed a fourth higher, followed again by a descending third. A to help prepare for the beginning of the r ecapitulation. more consistent pattern of repetition emerges when we recognize The following examples illustrate the points just discussed. the ascending stepwise sequence of a four-measure model. (Ex. 2.16c shows the harmonic paradigm of this sequence.) Note that EXAMPLE 10.4: The core starts with a four-measure model begin- when the melody of the two-measure idea descends a third at meaning on the second beat of measure 84; the model is sequenced _sures 74 and 78, the bass line ascends by a half step, thus blurring twice by descending thirds. The model itself consists of a repeated © somewhat the sense of sequence at this level of structure. As a retwo-measure idea that is first supported by a simple tonic prolon- _ sult, the broader ascending-stepwise sequence of the true model gation (mm. 84-86). In the manner of an exact repetition, the idea emerges with greater clarity.2* starts again on the local tonic, but measure 87 replaces an implied Following the augmented sixth chord in measure 80, the domi-

V3 with V3/VI in order to effect the descending third sequence. nant of E minor (HK: VI) has the potential of being the goal harThe final sequence of the model concludes at measure 96 on bIJ_ —s mony of the core. But the music presses on, and the tonic at meaof the original development key (C minor), which pivots to be- _ sure 82 marks the beginning of a compressed cadential progression.

come VI in the new development key of F minor (HK: II). A | The deceptive resolution of the dominant in measure 83 leads to

b.i x, er > > er b > >

P1 (SEfHn.| vn : EXAMPLE 10.6 Mozart, String Quintet in E-flat, K. 614, i, 87-109

Pre-Core Core transitional introduction presentation Model

Allegro iee van r :nee.°DBa= i)=J~-~=— a on—~ dij molto ~~ee ——~ L=—_— b =aJ | “> A | ___87 Fe es = a [Ss 7— | = -_

i eeot _—______ ___f| pg} | a |8fi I rr 8A GB tePTee 8 8 8 te ee tt 88 ey Tay TF SERERP UEP YS Sen petty FES Cc: v7ab. rn Ut VI 6 v4 7 I 6 vs 7 (VI) (IV of VI/VI)

continuation tra presentation wf wr »— => Sequence

f) oubi =|...) =vy = ee, the nm 96 |le| |de | 98gg ’ 100 ') ee _ yin. | sf... |. ss.JML |_| > |SL #8 »ffee ig97CULO). lm Fc ee al ee rere

ip ii i 22007, JS AEE . e e e I V4/IV Va gs: v§ SO 1. — °To ee ~ . — — —~ ° oy TE 1 [aos IE : AI 7 ee eS Or? Oro?) ee OE, | "eg EE ee I OS 1. A EE CT Va ann « T EE SE OT SA CY ST RD AOS MN NRE i} mae 4 | yt #« Jj] l-e 2 2s 24.2. .2~! S CHI os minV/VI)

continuation

" 101 — they! ~~ a“ = = Shey | E72 104 a“ —_ bg — _- —5 | 106

4-4 aml pee ss | ie PEE PPP i at mee pees |e Eg — te a et , yt 3° wp

or . -~ ;adr or

c: UV} 4 § ee { V3/IV

(VI)

) || 199 , ,0A—_ Ik.1079 «| «a « 2 TF. Le) 9» —_ 99-9 ta — ot rd ftp 4i PDEPP ° o e CY ° Nee” 5—

146

. DEVELOPMENT 147 another try at the cadence, which is then evaded when measure 84 EXAMPLE 10.9: The core begins in measure 81 with a five-measure

brings back (“one more time”) the same material as measures model that is sequenced down a step at measure 86. Fragmentation 82-83. The cadence is finally achieved on the downbeat of measure _— occurs at measure gt when the final idea of the model is itself re86.25 A brief closing section made up of codettas follows. All this ca- peated sequentially. A further sequence begins at measure 93 supdential and postcadential activity is typical of a subordinate theme, —_ ported by the dominant of Eb major (HK: bVI). This harmony is except, of course, that it takes place in a minor-mode development —__ then extended all the way to the fermata at measure 98, which

key rather than the subordinate key of the movement. marks the end of the core. In retrospect, we understand that the V at measure 93 is the harmonic goal of the core and thus marks a EXAMPLE 10.6: The model begins in measure go with an entirely premature dominant arrival.}! new two-measure basic idea in the initiating region of Ab major (HK: IV).?6 The idea is then repeated exactly to create a presenta- EXAMPLE 10.10: The core approaches its end by completely liquition phrase. A second repetition (m. 94) begins, but the idea is sud- dating the orchestral texture, leaving the solo piano alone. An au-

denly liquidated as the harmony departs from the tonic prolonga- thentic cadence in the development key of G minor (HK: V) ts tion (of Ab). As a result, continuation function is clearly expressed. promised for measure 329. But the cadence is dramatically evaded This function is further reinforced at the upbeat to measure 97 by —_- when the orchestral tutti reenters with V5/IV (in that key). This fragmentation involving motives from the opening of the move- |= moment then marks the beginning of a second core, whose new ment. The newly supporting V$ eventually resolves at measure 100 —_—«four-measure model is sequenced a fourth higher at measure 333.

to bring a stepwise-descending sequence of the entire ten-measure The first core, therefore, never receives the authentic cadential model, one that has a decidedly sentential organization.?”? The pre- _ closure anticipated by the progression in measure 328.

sentation phrase of the model is sequenced a step lower at mea- : sures 100-3. The harmonic plan is then altered in measures 104-6

sO that the continuation (mm. 107-9) is transposed down a fifth in Pre-Core relation to the original model.?8

A development section does not normally start with a EXAMPLE 10.7: The pre-core ends at measure 128 with a perfect _—core,} as the dramatic character projected by a core usually

authentic cadence in the development key of A minor (HK: VI). _ requires it to be set up by material of lesser emotional inThe model of the core (based on the retransition at the end of the tensity. Ratz refers to this opening passage as an “introducexposition, mm. 119-22) then begins with an extended upbeat that tion” (Einleitung), but his usage is problematic.}3 Introduc-

_ y restricted form-functional cizes IV in that key (mm. 130-33). In the repetition, the bulk of . .,meaning

maintains tonic harmony (of A minor). The rest of the model toni- tion has a relativel ‘cted form-functional oe

quenc step e

in

the model is sequenced down a step to tonicize III (in A minor) my theory, and thus its use is not applicable to the many (mm. 135-38). The extended upbeat (mm. 133-34), however, different formal procedures that can precede a core. Since does not follow the sequential pattern. An exact sequence of this 70 single functional label adequately covers the initial part upbeat would have taken place in a G-minor harmony, a step lower of a development, I use the neutral term pre-core instead.

than the A minor of the model. But the appearance of G minor at The pre-core typically begins with tonic of the subordithis point would be awkward following directly on the D minor of _ nate key, thus retaining the harmony from the end of the the model. (The awkwardness would result because the D-minor exposition. The pre-core may then remain entirely in that harmony would sound like a “minor dominant” in relation to the key or, more frequently, modulate to a development key (or following G-minor harmony.) Instead, Mozart r etains the D- to some initiating region in a development key) for the beminor harmony from the end of the model into the beginning of ginning of the core.

the repetition and brings an implied G harmony (VII/IID) first at Someti h _ begins i diately in a differmeasure 135. (Ex. 10.7b is discussed later in this chapter.) omenmes ; © Preceor’ epins nme rare yma “

ent key (or region). In such cases, the opening harmony is EXAMPLE 10.8: The eight-measure model is based on material Often dominant, and the music takes on the character of an from the opening of the subordinate theme (see ex. 1.8). With the upbeat unit to the resolving tonic of the new key. This tonic upbeat to measure 64, the model begins to be sequenced upa step. then supports a new initiating function of some kind (e.g., But the sequence remains incomplete when the continuation phrase __ basic idea, presentation). The formal function of this upof the model is eliminated, and in its place, a new two-measure beat gesture is rather complex and thus presents a terminomodel is established at measure 68.7? Fragmentation then occurs logical dilemma. On the one hand, it gives the impression when this model is sequenced down a step in measures 70-71. The of appearing “before-the-beginning” and therefore seems model begins to be sequenced again when it unexpectedly leads 4. ginction as an introduction. On the other han d, its un-

into yet two-measure model (mm. 73-74).?° Further fragdomi hfrom k ‘tion £the h ‘ .another . eriying a derlvine transition mentation occurs at measuredominant 79, at which point harmony one-measure seg- makes ; ments prepare for the half cadence. subordinate key to the new development key. The rather The half cadence in measure 81 is followed by a standing on clumsy expression transitional introduction perhaps best dethe dominant made up of two different parts (mm. 82-94 and scribes what happens.” 95-100). The second part signals the imminent return of the main Unlike the core’s character of ongoing restlessness, the theme by reintroducing the sixteenth-note triplet figure (motive _ pre-core is generally more relaxed yet also somewhat hesi-

“b”) from the opening basic idea. tant and anticipatory. The dynamic level tends to be soft,

EXAMPLE 10.7 (a) Mozart, Symphony No. 36 in C (“Linz”), K. 425, i, 119-38; (b) mm. 62-71

[EXPOSITION] DEVELOPMENT

spintto ~~ 22Td— _; 1——_ —~ 119 men Ean le, ! m—~ai RE 123 124 ; retransition transitional introduction cadential Pre-Core

. —— afi NE ‘ 5 NW, P5 P e eee we @ P (Vv) (I) (VI) E.C.P.

a) O)-4--—_—_ 7 ME ee eee eer9-4 ee 2eeee..4~n L__g@—)--—_}—, |} —_}—, + 4 | ———}-—4 -}- 3} 4 Gpf7___ + 4 $f al aapAe wsGee. Ly ae ee -———}—-4 ot —— i—}— Be ama y | _f4______ fe neenmeunseenene

f kek roous: A D a

G; 1) ———____________ © v7 ——SSSSFSSSSSSSSSFSSSSSSSSSSSSSSSSSSSSSSSSSSSSS—i/&£ Js EES ay 16 (IV) 16

|model nn “a | i ,,sequence Core

upbeat upbeat =————_—————————___—_——_——. —————et_ CO

7 Sa Sasi TTS eb wbe edn TTI) pri ae mu PTT 1 I | Dh SF aera ). es eeb—— OO eePsoe Ce eS ed ice 2Oe —gud

é, ee On.4P 6 ee Se ee ee 2 ee 2. EE WORE ED CE EE A SE EE GE ES Se Sees 16 v7 1 —_—_——_—_—___—_—_—_——___—__—— 3) Ive ————_____—_

J . ai — SE a A a. — if if (VS) $$ 1 G7 ——$ Cc6 Ce f PD mma bp ae oe aPEE . Ea ——___—_F —

stew | \ a . F RS Phe Berk CF Lo pf Subordinate Theme

cadential standing on the dominant cadential (new)

ver - ae gg ee_|—__++mn peli—_ Ces , LS = SNe + [ [NON $$$} —}—___, | _, fj of ie, eh etf ttSy oo = ‘Bb: we ~ ian 1 oa o y > z ‘6 ) ‘> ) G: ng aa(vg 4 ) Vv (TV) 16 (TV) 16 né v? | (Vv) [HC ] E.C.P. (internal)

, 148

EXAMPLE 10.8 Beethoven, Piano Sonata in F Minor, Op. 2/1, i, §5—-102 Core

presentation continuation Model

ree be 7} fT)See fy} ee er i a arasa f— a a 14 a aFh a aes Sas bi.

pb: ped. vi Pt (IV) ce:(vs £ VII7Af

TY DE ee Ce ey 1 Ss ee ey ee ee ee ee 1 ee) ee eee ee eee ee ee 1 Bees!) eee eee eee eee et ee ee

5 5 5| 5 | =I s| 3 , , EB 5] 5] s| ’ , 5 o| 3 aaa did id fd | Pl (Vv)

presentation fragmentation moot

sequence Lud toe LN te A AD) ED) AT) STD), STD STD Sequence

Vped. f: {1 v7

alti tle tl tl rr cl rep ~——— ps4

)—* ——_ »-*_ 9 £99} 99919 | §__¢-_} »— 9 | 919+ §—o- --_t-__} |_| _¥-—_4o—_}-p ef Ht he

(1) \A

mod. seq. 4,

crib... | SEE “URE GRE, =A OO = SE -e GE CE Me eS SR A _

gi iP. “Nl | f v—__ ft—f foVIo¢ll Vv RPf ———IV v7? eee m 16¢ f \A

aN of a Ma Welsdle . Gi, Jai, ,2 J: 5 of, f.05,] SS en_—eS —_ en B YUee { a

| (ees De eas | a LT TTT I ANT Cee acca To TS | | nee standing on the dominant (part 1)

frag.

—————_

pet tg} oe to} fl iF Fp —p ——_} __ 2 | _» _» f§ __ B34. }—)--—_—)- 4 4 + ___ .—? OT eS 34,

r P rir Lire rir irir uber [ririr Gdidid id (VEY), V... [HC ]

oa ™~ Ja , roy ——‘ co —“ ‘me : Ca p— + _sanya ae ‘> ee a he ——— a Sa aeeunrwamea SS SS SS SS SS= ne’ SS SS

b bl. . 2s © =e i decresc, ------- 20-22 see e eee eee eee eee eee eee pp . ° [ [

. (RECAPITULATION] standing on the dominant (part 2) Main Theme

, nd ——>= — — bad d===. oo 00===f=s , rT a | vw). ts = s=.S==.=————-=! === ==. 2S Ai | ED SO Anal TT PR FR TT ie od ee ddcae “se FF FFD Se Gnr “GG GE Va T

149

3 ' ot RR Rt EXAMPLE 10.9 Beethoven, Piano Sonata in G, Op. 14/2, i, 80-100

Core

model

Allego SAS SS AS OR A AQ AR, Qo YA AR RB Re B® B® A BS AR AS

"A—2S] Cee fe Cg eg eg ee fF re ee ee —— - > ee = P|>—~ & o> wt° xh PY be — | | yw ——— _—— ~ ~Eb:=ty_UE ES NN ° ° e °see ° —————_____—__

PP 3S €.-A.2~0AEERZnz20X”0-—n”onn™”~~NOee ea LE

P eb: (av

($) { bvin? Se bviy

and the rhythmic motion is frequently discontinuous (or at _ the parallel minor of the home key. As the pre-core continues, least less active than the subsequent core). If the core often however, we can better understand the G-minor region as VI in bursts out with Sturm und Drang, the pre-core can be _ the development key of Bb (HK: bIIl). likened to the calm before the storm. 2. Closing section material. Beginning the pre-core with Beginning the pre-core. Whereas the core may draw on __material from the closing section of the exposition promotes any ideas from the prior exposition, the opening of the pre- _ the continuity of motive, rhythm, and texture from the end core is usually restricted to material derived from the basic _of that section into the beginning of the development. idea of the main theme or from the closing section of the

; _ ep 36

exposition. Rarely does it refer directly to the transition or EXAMPLE 10.12: The pre-core develops the treble motive (“x”) in subordinate-theme group (ex. 10.7 is an exception explained measure 62 of the closing section, thus creating an effective link later in this chapter). Like the core, the pre-core may also _—between the exposition and the development. Yet the motive

introduce entirely new material. sounds quite different because it is metrically displaced to enter 1. Main theme’s basic idea. In a sonata-form movement, 2° beat earlier. the repetition of the exposition before the onset of the development forges a link between the end of the exposition 3. New material. The beginning of the pre-core may feaand the beginning of the main theme. An effective variation | ture material that is not obviously related to anything apon this original link can be created when the pre-core refers pearing earlier in the movement. Mozart particularly favors again to the main theme’s basic idea, this time, of course, in this approach, one rarely used by Haydn and Beethoven.*?

a different tonal (and often textural) context. Although the pre-core may give the initial appearance of being new, its motivic material may often be understood to EXAMPLE 10.11: The return of the main theme’s basic idea (see ex. derive from earlier ideas thr ough motivic transformation.

3-4) at the beginning of the pre-core is marked by a change of Unlike the two options previously discussed, a direct mode. Our first impression is that the music has been shifted into continuity between the exposition and the development is

EXAMPLE 10.12 Haydn, Piano Sonata in E-flat, Hob. XVI:49, i, 60-86

closing section continuation codetta bi. mod. seq. at a ee | cee eo oes x . ——= Allegro ——_ eee S— ; ——_O~--22.... dn. "-._?0nw —»’>r>”20n’/72_--"”"”=—”0.n”:_”DU/—"vvn-_ \\c--_. __ 6 -—{V”:=”—27~-”— 2>=0W:”:.wnvrnrn’__wnW@2L ~~ Jn...” => =e eee)

eT Se —— (rt—teOF) *,sf ee Ss ‘ — -—_ — RG EG OF ; | I (we iv) As (VI)

standing on the dominant

rdo_o is .~—-N’-"-"”"”"”—_ T= =F #= POPEpan pg) jhttefht=pe jf)eyeet yr ee Fe ee rPPp oa og oe! te eeRS eS Er et tei 4]

M (A%) V...

154

DEVELOPMENT 155

material is brought back at the beginning of the pre-core (ex. _ terial is not organized by model—sequence technique. At 10.7a) and transposed into the development key, A minor (HK: other times, the development consists of themelike units V1). The prolonged dominant of measures 123-24 now functions —_— formed along the lines of a transition or a subordinate

as a transitional introduction, not to an initiating unit buttoaca- theme. Frequently enough, of course, the development is dential phrase. The lack of functional beginning thus renders this, ganized in unique ways that do not permit ready classification. Even in these cases, however, it is often possible to

pre-core thematically incomplete. . a .

4. Multiple thematic units. A small number of relatively nine hints © fp re-core/core technique or the kinds of themeoo, e units just mentioned. large pre-cores are constructed out of two thematic units.

One of these units is usually incomplete. Pseudo-core. As described earlier, the core of a developEXAMPLE 10.11: The pre-core consists of two parts: the first is ment \ypical'y vias b restlessness, insta and Sturm complete, and the second is incomplete. The first part opens like un 2N§) as wel! as Dringing 4 Fe ative y tong eynams, the main theme (see ex. 3.4) but, rather than closing with a ca- thicker textures, and continuous rhythmic activity. The apdence, ends with a premature dominant arrival (m. 68) anda sub- — Pearance of these traits strongly suggests a core, even when sequent standing on the dominant of Bb (HK: sIII). The second _ the musical material is not organized by processes of model, part begins at measure 74 by bringing back the compound basic | sequence, and fragmentation. Such a pseudo-core, as this unit idea from the first subordinate theme of the exposition. The idea can be termed, sometimes features a prominent sequential

begins to be repeated (m. 78), but the chromatically rising bass line organization of the harmonies, but they are not used to already creates a continuation that leads to the sudden outburst at support the extensive model—sequence technique typical of measure 81, marking the beginning of the core. The second partof —_ core. At other times, the pseudo-core appears to lack har-

the pre-core is thus left without structural closure.” monic definition and takes on the improvisatory style of a

, ,What eon “fantasia” or “toccata.” In such a prominent os linear EXAMPLE.10.12: was described earlier as acases, transition-like .. progression in the bass may help achieve coherence amid pre-core (mm. 65-80) is actually the first part of the complete pre- . .

core. The resolution to the tonic (of C minor) at the upbeat to the seeming harmonic rambling. A pseudo-core is usually measure 81 brings a second part, which consists of only a presenta- preceded by a unit that functions as a pre-core and genertion phrase based on the beginning of the first subordinate theme. ally closes with a half cadence (or dominant arrival) folThe core (shown in ex. 10.4) then begins at the extended upbeat to lowed by a standing on the dominant. measure 85.

Although the presentation in measures 81-84 belongs by defi- EXAMPLE 10.16: At the final cadence of the tight-knit pre-core, the nition to the pre-core (in that it still precedes the beginning of the music suddenly shifts into the minor mode and introduces a concore), this phrase undoubtedly groups more intimately with the tinuous Alberti-bass accompaniment supporting a restless melody core than with the first part of the pre-core. Indeed, the opening —_ of running sixteenth notes and syncopated quarter notes. The two measures of the model (mm. 85-86) appeared earlier in the character of the music leading up to the half cadence in G minor first subordinate theme as the beginning of a continuation phrase (HK: VI) at measure 81 is highly suggestive of a core. Yet at no following this same presentation. Here in the development, the point can we identify a model that is sequentially repeated. Even core is a kind of magnified continuation (with its extensive sequen- _ the harmonic progressions suggest little in the way of sequential tial activity), which logically succeeds an initiating presentation. organization.*’ Instead, they seem more tightly controlled by the bass line, which oscillates chromatically between F and G (until

DEVELOPMENT SECTIONS

the descent to D at m. 81).*8

WITHOUT A CORE Transition-like unit. In place of a core, the central section of the development may be occupied by a thematic unit Many classical development sections are not organized in _ whose tonal and phrase-structural organization resembles a the ways just described. Such developments may indeed transition. This transition-like core substitute (not to be conbegin with a unit structured like a pre-core, and they usu- _ fused with a transition-like pre-core) usually begins in one ally end with an extensive standing on the dominant of the _ key with a standard initiating function (presentation, comhome key. But missing is a genuine core, a well-articulated —_ pound basic idea), modulates to some other key (developprocess of model, sequence, and fragmentation. Haydn, in _ ment or home), and closes with a half cadence or dominant general, constructs his development sections without acore, _ arrival. Model—sequence technique of limited scope may whereas Mozart and Beethoven omit the core only now and _appear somewhere in this unit (usually in connection with a

then. continuation function), but not in a way that gives rise to a In place of a core, a variety of phrase-structural options _ genuine core. may be employed. Sometimes there appears a pseudo-core, a unit whose dynamics, rhythm, texture, and emotional EXAMPLE 10.17: A new themelike unit begins at measure 36 immecharacter strongly resemble those of a core but whose ma- _ diately after the pre-core closes in Ab (HK: bIII). A basic idea and

a

; b.i. C.i. b.i. EXAMPLE 10.17 Haydn, Symphony No. 102 in B-flat, ii, 33-46

Pre-Core Transition-like Unit

comp. basic idea continuation => cadential “presentation”

— =>—— aben —z —o~ _— Vi at aeerae’ Adagio —_ a = Ts oo —_—— = an an oJSS |,gt=lt). a» ora 0S ded | ft) Sl. Aa A Sle 7g. |e | t#@ee +, °C Z2ipa:272 #ba ||. [| Pes | Vhae lt. | [CTp@ [email protected] ai if [fap 3" ills at ef EE CY YE ST EE’ Gey > hee tS PS PO ae PP

: : tre ellee 5 S Bret rriat Tee Ab: I vil VS 16 v«g ”) I (bith)

a o. 0 es ° . = continuation

oN © we oy we ——— ae om™ mm ee ™~ 6, woe,2 —~SS Se — Id | | == rT SS === = RRBs ee : SF ythaA| sie fre im’ eee... os

Tee rp Se rer erst afl atl otal! a e(let) _—- et eelect — eflerl ee —ef—ler

v4 {(1) vf F:vis Uvils/vi v7 VIS 2 PA 4 43v7 418

roots: A D G V c | 7" 6

GSS “Meeerene -5 as ARen at Tt | eeet — ee0 |943 os os— oeSet ee tt eee te ee PEE oe Se | an tt rTinlerivitrriery rrivrl piety TLL tL! § bee ) 1 CE OPP Epos PS

VIE §, oy. NN dominant arrival

(., f0.0.c, ed)td|pgo eeéa 666-6 Ss et Oe ere. es Ge a ee p— ee eeom. oe >a Gl ee 2 ee4 0aaesa es ee eee ee 2 0teeeheeeeeeea Freee ee ee ae CaO. $a —— ne -¢ 0-6-¢—ii a. —F pg 2mmm. a am. > —— 5 to hae te

—— OOS f- P PRP ——_—_—_—= >

(premature)

[RECAPITULATION]

{Main Theme) — >

45 a by I 8 #224, FS—$—— AeeCR ° — oF,roo

PI velas P ~s"i

156

DEVELOPMENT 157 its varied repetition create presentation function.*? The subse- tion.) The themelike unit thus resembles a loosely organized subquent continuation (upbeat to m. 39) contains a sequential pro- ordinate theme because of the obscuring of functional boundaries gression (but no model-sequence technique) as the music modu- (in m. 80), the expanded cadential progression, and the abandoned lates back to the home key. The move to VII$ at measure 41 brings —_ cadence.

a premature dominant arrival to mark the end of harmonic activity In a number of respects, the first three parts of this developfor this transition-like unit. The rest of the development plays it- ment model the organization of an exposition: the pre-core is tight

self out over a prolonged dominant of the home key. knit like a main theme; the second part resembles a transition; and the third part is suggestive of a subordinate theme. In fact, this re-

EXAMPLE 10.18: This development section consists of four parts. lationship of development to exposition is also supported by the The first part (mm. 56-67) begins with a four-measure transi- | melodic—motivic material. The pre-core is based on ideas from tional introduction to a relatively tight knit theme, based on mate- the exposition’s main theme; the second part draws on the continu-

rial from the main theme (see mm. 97-98) but now set inthe de- ation phrase of the first part of the subordinate theme (mm. velopment key, Eb (HK: IV). This part is thus comparable to a 25-34); and the third part is based on the second part of the subpre-core, despite the absence of a genuine core in what follows. ordinate theme (mm. 35 -42).*? The second part (mm. 68-76) begins with a compound basic idea, whose initial harmony is heard as tonic in E} but which, by the end of the idea in measure 71, is easily reinterpreted as IV in the home

key. A brief cadential idea leads to a half cadence at measure 73. RETRANSITION Because of its modulating structure (from E} to Bb) and its ending

on dominant harmony, the formal organization of this second part _—_ In this book, I have used the term retransition for those pas-

resembles a transition. sages that modulate back to the home key in preparation for At this point in the form, we might be led to consider this re- the return of some previous opening material. I identified turn to the home-key dominant as marking the end of the develop- _retransitions with reference to the end of the contrasting ment, except that the section would be rather short and it would be middle of a small ternary and the end of a closing section unusual for there to have been no exploration of a minor-mode re- following a subordinate theme. Traditional theories of form

gion. So it is. not entirely surprising whenathe home-key dominant os normally recognize retransition at the .end

moves to the dominant of G minor (HK: VI), the primary devel-of. .most . , devel-

opment key, which is fully confirmed in the third part of the devel- opment sections, especially in connection with what T have 54

opment, to be discussed shortly. (The earlier key of Eb [HK: IV] termed here a standing on the dominant.’ There isa probthus becomes a secondary development key within the movement.) lem with this traditional usage, however. By the time the standing on the dominant begins, the home key has already

Subordinate themelike unit. A unit in a development can been achieved, as confirmed by the half cadence (or domiresemble a subordinate theme if its harmonic goal is an au- ‘ant arrival). If the term retransition is to be used with most thentic cadence of a development key and if it features loos- development sections, it should be applied before the standening devices such as an extended continuation, an ex- _ ing on the dominant, presumably at that moment when the panded cadential progression, and evaded, deceptive, or Modulation to the home key takes place. abandoned cadences. Unlike a genuine subordinate theme, . Although most developments express a general retransiwhich must always close with a perfect authentic cadence, a ton function, in that they all eventually return from a subthemelike unit of the development can promise authentic _ °rdinate or development key to the home key, only some cadential closure but never achieve a true cadential arrival. developments include a specific passage whose primary Frequently, the unit begins in one tonal region or key and _‘function is retransitional. It would seem preferable, theremodulates to another key where it receives authentic caden- _fore, to restrict the term to those passages in particular.*

tial closure (or the promise of such closure).°! Most typically, a retransition is a complete phrase, or even a full themelike unit, that follows the cadential articulation of EXAMPLE 10.18: The third part (mm. 77-85) of this development 4 development key. At times, the retransition may consist of begins with a two-measure basic idea in the development key, G the home-key dominant exclusively, but only when that minor (HK: VI). The following two measures can be seen asavar- harmony directly follows the dominant of the preceding deied repeat, thus creating a presentation phrase. At the same time, —_ velopment key. however, measure 80 also initiates a continuation, as expressed by fragmentation and increased rhythmic activity. An expanded cadential progression begins at measure 82 but is momentarily aban- EXAMPLE 10.18: The fourth part of the development section (mm. doned on the downbeat of measure 84.52 A subsequent compressed 85-96) begins with what at first sounds like codettas to the third cadential progression in the same measure finally confirms the de- part but that are retrospectively understood as a false closing secvelopment key. The concluding perfect authentic cadence is fol- tion to initiate this retransition. The modulation back to the home lowed by a brief closing section (mm. 85-86). (This closing sec- key occurs at measure 87, and the subsequent half cadence at mea-

tion eventually is understood as false, since, as I explain shortly, it sure gi confirms the tonal return. The retransition ends with a functions to open the fourth part of the development, the retransi- postcadential standing on the dominant (mm. 91-96).*

3 fs

fr. cod. bi. n aa a | eT a, err ae HT) Te.PJpity Allegro fs e B a ae a ee, — f Pr oF Of Pp Sf F: bvp— Eb: 5 a I... (Vv) (IV) ' Transition-like Unit EXAMPLE 10.18 Haydn, Piano Sonata in B-flat, Hob. XVI:41, i, 56-99

Pre-Core

i I.

transitional introduction presentation

h_| 5 eadpatmatead —~+, be"Ue geSee #: *oS 5 G7 eee _ ee eee Te he 1 Teaot— lige ig= tl UL ee ef 22} .4/-n eeea} ee Oe

“Ale pay mG BEG A 266 GE ene ae nnn ne ee EE, EE LS SY NS CO CER TS CANTER “CR RUSSO OS

frag. cad. bi. ApJ it.‘hd ~-..,1 |.),8,.8. | |. .t |4.on4.1 a ee gOTd ee1eeWT oe |

~ continuation compound basic idea ——— Cy ee | serene eeeeeneneen nen nna | nes

‘ 6AAG) = y SD” : +)p FY he 06 p1 ef|=. 67-—_py Rn 05 be— ee:Ae] > PEHSa OT aa ee aan AP” ES PR +_ SS (G)}—_—_} es pfAPht io +} | ES 2} —_9 9 a TS ae aeES

FF ro SfTt fov7ee Iara1Bb:rarIVaro sfa rrp fsP ft16 16 “—

(I)

ci. cad. V———— Oe ae F A Vem eee Os i a Te le ote wtiethim rT \——_ 2 1S oe eT I standing on the dominant

af a

7 iy -..._ 34 2... 2Z¢ | 2... sa... “aw Pai. :#@#aiiar-..~- Soe itil [ition !:g2a~- Sao} tl TrfT, itt 2a. sf a) lIt.khUdlhUdTlhLdilcg Te gg |lCLUe A >) -—__—_,——_ 2-1 OO FH La a. - ~~ #£oe!l [et os - © - VA gi If gg - & ~~ FY

v4 I n° (Vg) Vv 4 g: VW? ———________ mp

b.i. ~ frag. Lae) oS BOD CESS BJ] i+ ras petet 20FT] *hee ITE) ds fis 4D 4 es JSR 3ssp ot de ie os 7Mm iy...seag~ [._ COS... rr re Ne ner see presentation continuation | sreeeeeneeneneeneeinee enna nes | a [ :rneeeenene | Subordinate Themelike Unit

ep —F Annet! Ane wee ee "De > = oe oe ee oe oe oo eee oo oe oe es eee Ey Ima

— cod. a“ ’ —™~ oN —\ re PvE 7 r Trt rte

———_————_——__———_ l...

cadential ; false closing section Retransition

DBVBS. Kare eetet2ee 8eeen ce >aa fND)iy2SEov. mr Bp | aa’ a e Cis _____—____—__—__}_f____ fF} a Traitti ff { # { # Tt ] avausr =a -....LULULULUMUM...LULUmWLUlCUwhlL eee = .ULULULUL,U!WU UD

QU ae 16 IV v6 16 ng v7 I (V7) I (V7) E.C.P. (7) abandoned cadence NL Nw”

e

on La : cD *" [ae] a ne ee | Ree eee

continuation standing on theIeee dominantree _—_—_—_— oaaune arae fal4J. in BT Phadbeysede=2) fle oan yore oo aH at og eT a teMom oe

I— Y~ ob {th /n~ Vv I 6 IV (6 VS ov ooo {[RECAPITULATION]

[Main Theme]

I M447 ee sini ' Fy FY Se calando BS — : 2

EE I.

bb

, 9: pa ser tT) i i, —£— S=~-—— —= 960 he 97 { ° Iy Fa ai 5

7 iy "wa | tt Ulitao | @ lo wr re een ie earl ppnneneneenn an, yh tl DTT eee eg Od gg i gt L428 Lee

DEVELOPMENT 159 EXAMPLE 10.19 Mozart, Piano Sonata in B-flat, K. 333/315¢, i, 86-97

a = fp) 28 2h Emmy a ee ee ee ee Se === Se Retransition

standing on the dominant a——\ a aT OT ‘Le TTT a Am Jal] Ss ysestted J [stadLy | [senses ry [11 = on ’ 4gJ ee Geysettee ET1)ES es AY Fe

sd dd

oe —~ = S — = we) OR OP fap Fup ee lO Ad A} 8h | { , ih 103— el Rp... presentation continuation Retransition (with false recapitulation)

? fev?FI... “& Eb: -“ ~ S — =e Ba ia === pF P| 5V.., i Pe - /G: al SU|wf

ee ee

i S = 4 pabe, ~ryaw gr ae a, Trt) o- usiP nw,

‘E23 ‘ee i C= |) 7 po} _}—__—_} Po —_f_—_ ff} —_ 1. iS Ce aay a {on on soe an (bVI)

standing on the dominant = s/s whl) Fit wn — cee PR IT ole oH e led Jad,

L_@ fl yt YS he ee ET EO OOSTSDBFEFE eS OOOE...—EeaanooT (1)

EXAMPLE 10.19: Immediately following the standing on the dom- Eventually, the music returns to the home key for the true inant of VI, which ends the pseudo-core (see ex. 10.16), Mozart recapitulation.

reintroduces the dominant of the home-key at measure 87 and As di di ch , th

writes a standing on the dominant of this key for the remainder EXAMPLE hice seuss in connection as t example 10.9, the

of the development. Although this passage contains just a single leon concludes on 3 ominant “be ( lik ° ela . harmony, it can nonetheless be considered a distinct retransition, ermata \ "cal in A »a nee a d 8! ie Just 11 k ‘Alto, h the for it seems not to belong to the preceding pseudo-core, whose (ex. 3-4) ut sal in the prevailing evelopment cy: oug € formal processes have played themselves out by the end of mea- gesture is recapitulatory, the tonal requirements of a genuine reca-

sure 86.57 | pitulation are not met. Therefore, following the opening presentation, the music modulates back to the home key, as confirmed by _ the half cadence in measure 107 and a substantial standing on the A retransition sometimes starts with reference to the dominant (most of which is not shown). The real recapitulation

opening material from the main theme, usually in the de- begins at measure 125 (not shown). The music from the beginning velopment key just confirmed by a prior half cadence. _ of the false recapitulation to the real recapitulation thus functions This effect can be characterized as a false recapitulation.*® —_as.a retransition.*?

BLANK PAGE

11

Recapitulation

The full-movement sonata form and its allied forms (con- _ practice may be—and for the sake of tradition, it is main-

certo, sonata—rondo, and sonata without development) tained here—this labeling scheme obscures the significontain a recapitulation, a large section that brings back, usu- _— cantly different formal functions that these units serve in

ally in modified form, an earlier exposition.! The recapitu- _ the recapitulation. lation functions to resolve the principal tonal and melodic processes left incomplete in earlier sections and to provide Main theme. The main theme of the exposition has three symmetry and balance to the overall form by restating the — major functions: to introduce and fix in the mind of the lis-

melodic~motivic material of the exposition. tener the principal melodic—motivic ideas of the moveThese formal functions are analogous to those of the re- —s ment; to establish and confirm the home key by means of a capitulation of the small ternary. Like an A’ section, alarge- —_ cadence (usually authentic but possibly half); and to define

scale recapitulation minimally realizes its functions by be- _ the degree of tight-knit organization with which the more ginning in the home key with the basic idea of the main _ loosely organized units in the movement can be compared.

theme, by adjusting the following material so that it re- At the beginning of the recapitulation, these functions mains in the home key, and by confirming that key with a _are no longer required or even necessarily appropriate. The concluding perfect authentic cadence.* Also like an A’ sec- = melodic—motivic material is well known by this point in the tion, the recapitulation frequently modifies the formal or- | movement. The home key was reestablished toward the end ganization of the exposition by eliminating functional re- _ of the development and will definitely receive ultimate con-

dundancies and developing earlier motivic material. firmation later in the recapitulation (in the subordinateWhen comparing a given recapitulation with its corre- _ theme area), and a defining tight-knit organization need not sponding exposition, we can distinguish between two gen- __ be expressed yet again. Instead, the main theme of the reca-

eral kinds of changes. One kind involves dynamics, instru- _ pitulation functions primarily to signal the sense of “rementation, register, texture, accompanimental figuration, turn.” In addition, the theme’s beginning on a home-key melodic embellishments, and the like.} These ornamental tonic harmonically resolves (at a local level) the dominant changes are motivated by general aesthetic concerns for vari- _ expressed at the end of the development.°

ety and by the particular expressive values that the composer wishes to convey in the movement. A second kind of = Transition. In the exposition, the transition functions to change involves harmonic—tonal organization, melodic- _—_ destabilize the home key in order to establish a contrasting motivic material, grouping structure, and formal functions. _ subordinate key and to loosen the form (as defined by the These structural changes are motivated primarily by funda- —_—smain theme). In the recapitulation, the transition continues

| mental differences in the function of the recapitulation, as _to fulfill these general functions, but the home key is destacompared with the exposition. In addition, structural bilized for completely different reasons—to permit the changes can be prompted by the content and organization —_ subordinate theme to sound fresh when transposed into the of the development section (e.g., the elimination of a cer- —_ home key and to prevent the recapitulation from becoming tain idea from the recapitulation because of its extensive use _ tonally monotonous. in the development).

Inasmuch as the recapitulation restates the material of | Subordinate theme. The subordinate theme of the expothe exposition in roughly the same order as it earlier ap- _ sition provides the formal means of confirming the suborpeared, it is conventional practice to label the constituent dinate key as the tonal antagonist of the home key. The parts of the recapitulation with the same terms employed subordinate theme also functions to loosen the formal orgafor the exposition: main theme, transition, and subordinate _ nization, primarily by means of extensions and expansions, theme (including the closing section).* As convenient as this _so that the rival key acquires sufficient temporal weight to 161

vivace aa. 4A—ee SSee SHee Seifert a coe . EXAMPLE 11.1 Beethoven, Piano Sonata in A, Op. 2/2, i, 242-52

[Main Theme] seq. seq. Transition Allegro —_—— ee EO ca 244 —_ —— nn us eT | OT | OT ss

we ; ;

Pent ast Ot. eT ee TTT ™—™—™—=—d“=—*—BE=_=_=_=_ 228OE GEE WES LA: NY“ DAE SOS ee EE T-ASE CE OS FS SR SE TOO Se SE eeesAeees ee ES «A| |

AD VW v4 IV v4 1 (v4) oT (v4)

EXAMPLE 11.2 Mozart, Piano Sonata in G, K. 283/18gh, i, 72-85

b.i. . 7 TA — Allego colrdy cele erirth peep? = elec. at “SfH.. Se —Ivé e f v6 G: eee I...—V§ oeitiftl eri ft rferty -risrrrierrr Iv 18. 7 Le presentation =model sequence continuation Main Theme

YA ~~

Yr xSP sls ae Pere —-a Paras ent =rlrrrr es a ne So Si

IV

(Transition] as — 7 ™—~. ——~ —_—-—__

Aa —— LS SE CER pe —_ yt gs La _i.é ae Y gf E 4}

EXAMPLE 11.3 Beethoven, Symphony No. 7 in A, Op. 92, i, 297-308

hd Vivace . S J3: e - Ge - ae

Ni AGE A :! OE a EE A es ae ee Se | ee ee ean yg Te a ee oe

EXAMPLE 11.5 Mozart, Violin Sonata in C, K. 403/385¢, 1, 39-46

an Transition mod. seq. egro fo ee — reo nO keeeeee————Y moderato eo 3 a en _—— aaa ~ A_39 am rid g: a sO a OO a: Dunr Ltt ==— 1.1.4 VR I iff BD” 10 SE ') 2 ee 2 SE ee 4d! 2 CE, en 6 A a ana’! Ce, bat )~" a rirt_?ly Celrt_rir’ Bee) pare i ' em frE —— hn

" ” Ped. da La da

A Ce CR Cee ae a naa nm Ee EE ON S.A SV Ee... eee eee Le -} | ——-_-_-- 9 -—_L_ 8-6-1 ——_ 5 ———— — — ——

aw —_ —— ~ NL %

C1 cb) vs 7 Wn vs 7 WV vi? (modal shift)

[Subordinate Theme] bi.

nol adhe J |1Ts ees ES ’ A ETO. A | 1 CD en PeFERS oe ... SE EE —__Ns Se 2A, 0 0 ees Se .

f= were } fs ry rie = 5 7 bu v¢.7 bv V6 ASV —————_—__ ee

a ——ale hy — ag mene a BA OECe SS DS ES AS EY om OS EOee y_ 1... t+ —_}—_1+--—_-+ ‘OY onag @. 0e C.> { iOE 2 Oe ee“9 0 GEA 0—— es FP~ 2 0RS eee 0. eee. «(| ee AG 24/8038 2G@6! Ay&eae ee eee eee SEIN 8 ee CRE 6k CE SENNA. AAS ODee BAeee AE M—__eee

\aA dom. arr.

(premature)

EXAMPLE 11.6 Mozart, Piano Sonata in C Minor, K. 457, i, 117-32

cad. ° new idea x. nt e e ny | rane | Allegro aad \ J 5 , 1 Pa Darr = = m 121 é. ? | : s FTL IIT

ot OP oP i (Main Theme} Transition

continuation cadential

bt ee to eee or ae 0 EEE Od ,

pi pi rf [te Ff! ele et do dvd cl ev

ce WG 1) | —_—____—- vl vob vi, bus Vio bus Vilg clided

standing on the dominant Ss —_——

{Subordinate Theme]

A126 les a oe ter Fe (5 >) —)| |}| |>)=—mdtdad. a a oe a oeedd i Tg ——

y f Hy f y f f i Sera demise

RECAPITULATION 165

of material used in the exposition. (In the most extreme | EXAMPLE 11.5: The sudden appearance of the home-key parallel case, the entire transition may be eliminated.)!? The deleted minor at the very beginning of the transition marks a shift to the passages are usually taken from the beginning of the transi- “flat” side of the tonal spectrum (cf. eX. 9-1, Mm. 5)- The music tion, where they generally function to prolong home-key then moves even further in that direction by tonicizing Ab major,

. . . . :Extensive : the loweredtonic submediant. Measure is 42 needed sees the beginning of a new; tonic. prolongation in the to exposi. ; . model—sequence passage, which does not correspond anything

tion in order to reinforce the home key before modulating. in the exposition. The transition ends with a premature domiConversely, such a prolongation can easily be omitted in nant arrival of the home key on the downbeat of measure 44. the recapitulation because the upcoming subordinate theme —_ oth tonal and modal balance is finally restored at the beginning

provides abundant tonic emphasis. of the subordinate theme, when the music shifts in the “sharp” If the exposition contains a two-part transition, the com- _— direction to project a more palpable sense of C major as the poser usually deletes some material from each part (espe- _home key. cially the modulating passages from the second part) so that the transition in the recapitulation is compressed into a = EXAMPLE I 1.6: The transition begins at measure II 8 with a

one-part, nonmodulating structure.3 canonic variation of the exposition’s basic idea (ex. 9-14, mm.

19-20) and then moves quickly to introduce new material in a

Additional model-sequence technique. ‘The transition in tonicized HI region (mm. 121-24). This Neapolitan then func-

. . . tions as an expanded pre-dominant (which also embraces the fol-

the recapitulation passages that dothe not home-key corre- lowinehalf VIL4/V) ; . ; ;in . _. ; owingoften s/V)includes in order to achieve cadence

spond directly to the exposition. These passages, which measure 126. (The remainder of the transition is examined in conusually extend an existing continuation (or create a new _pection with the subordinate theme.) one) normally employ model—sequence technique in the sense of Rosen’s secondary development.'* Indeed, motives —_ exampte 11.7: The opening seven measures of the transition are

not prominently featured in the development section the same as those of the exposition (cf. ex. 9.4, mm. 16-22). The proper are frequently given special treatment here. change of mode at measure 158 initiates a new passage, one not found in the earlier section. The music leads eventually to a half

Emphasis on “flat” regions. Since both the main and the _—_ cadence and a standing on the dominant of the home key (m. 164), subordinate themes of the recapitulation generally stress di- _ C°FTesponding to the end of the transition in the exposition (ex.

atonic harmonies in the home key, the transition offers the a mm. 37-41). Haydn h as ths compressed what was ° - -

; . . . oes so by eliminating material from the exposition that would be

best opportunity for composers to create a significant har- i. y a two-part transition in fhe exposition info @ single un ne monic- tonal contrast in the r ecapitulation. To that end, either redundant or functionally inappropriate in the recapitulathey typically tonicize the “flat” side of the tonal spectrum, tion—namely, most of the first part (containing additional tonic particularly if they leave the main theme relatively unal- prolongations and another home-key standing on the dominant) tered (and thus focused on the home-key tonic). This move _ and the beginning of the second part (containing main-theme main the flat direction is especially appropriate to the transi- _ terial and the modulation to the new key).!5 tion because the subsequent return to diatonic progressions of the home key at the beginning of the subordinate theme

shifts the music back to the “sharp” side, a tonal change that FUSION OF MAIN corresponds to the move from the home key to the subordi- THEME AND TRANSITION nate key in the exposition. In the recapitulation, the return from flat regions to the diatonicism of the home key helps — The main theme and transition usually remain discrete units make the tonal context of the subordinate theme sound _ jn the recapitulation, just as they were in the exposition.

fresh and revitalized. Now and then, however, they fuse into a single thematic The following examples illustrate these techniques. structure.'© This formal compression is usually brought about by eliminating the end of the main theme and the beEXAMPLE 11.4: The transition in the recapitulation opens with a ginning of the transition and by attaching the close of the compound basic idea (mm. 351~54) taken from the middle of the —_ fatter to what remains of the former. In some cases, the en-

transition in the exposition (see ex. 9.12, mm. 81-84). Thus, an tire transition from the exposition is eliminated, and the enormous passage built over a tonic pedal (mm. 65-80, not shown ath hich closed with an authentic cadence in the in ex. 9.12) is deleted in the recapitulation. Also deleted is the rep- man mee, wm . etition of the compound basic idea (mm. 85-88), so that measure exposition, ends instead with a half cadence. ; 355 brings a new, highly extended continuation featuring motivic This form-functional fusion is often accompanied by the play and an ascending-stepwise sequence in the sense of a sec- Same alteration techniques used for both main themes and ondary development. At measure 369, the transition conforms _ transitions, such as deleting unnecessary repetitions, adding again to that of the exposition by concluding with the same stand- new model—sequence technique, and emphasizing the

ing on the dominant (ex. 9.12, mm. 95-106). “flat” tonal regions.

EXAMPLE 11.7 Haydn, Piano Trio in E-flat, Hob. XV:30, i, 152-70

presentation continuation Allegro ws OS At } TS — id er 158eoes . Abt i rE ee |ee Transition

Eb: 1...ee I av4 OO ee ee

moderato ca ™~

ie i Oe 2 eo aLN 5 &eT APid st o?& [ererer |

(modal shift) A

RtStaaa ha a OH ee et ta SSag eh PS te et ee EO oe 2 ee i 2 f ——————— standing on the dominant

r) 160 — ~ =. panes een oe eee ty 164 ne | s TS TT ee Sos See ss be J.

bvu® bvitWA v4 16 vs 116 (VET) Yess NAvgNA

a NS

PN TT Be ce 0Sed ac ‘dd| Lh a PFT! StF oF slle [Subordinate Theme]

EXAMPLE 11.8 Beethoven, Piano Concerto No. 3 in C Minor, Op. 37, i, 317-30

mod. seq. seq. frag. Allegro :- a‘JTS Cy] ;= rN .: :, con ; ee Fees °en °a.33|a-.;=== “fe p 317 a y Ibrio = oee ? » JJ PN ye ee aIS 319.1 a .a,.. a-—=—-— eS A*| --—ne PP * . e Pp .viv ee e"°v7 vg I ce:eVIVIV ‘qummnanepeusuten a we — a eo + JI II ARS CAS on: 50 111 S| 6-6 Ta = =2=> fSarzpE rt lifté1+ gs sf 1oh ¢* £48 , £= £ (1 * 6-6 $35 tr or pt risriybe rl Poop Pe we Jt ; Main Theme/Transition continuation

standing on the dominant (fr. transition of exposition)

—

a

1... 0) ce SEK CEeoVE 1... eeefen "eee See eee foie es Ge eefrank. Gee eee eee Gee eeea eee “ee| Pf ee@l! eeePf ee| ee OT ea ee ee anh0 reenen mnneeseee ofre ._._eee | __.-}-._ fit eee |... ..._ 1.. i ee ol re fT]|

116 vil? Vv... NA

166

ee RECAPITULATION 167

bi. . c.l, cad. Adagio oe — So a es et ty, tee eee) SPUR ee, OS EXAMPLE 11.9 Haydn, Piano Sonata in C, Hob. XVI:21, ii, go—50

rAEE Yd = pO cad. b.i. Main Theme/Transition compound basic idea

. dec.cad.

Fp | ————___________sssesSsSsSssesSsesesesesesesessseseFeeeee us vv [Subordinate Theme]

a16 rs aIv2)(irs , —— fer2—Sea SS TT , ee
Teen Peet £6 ow we

“it. ~-Saw. MET AEE CCNA Lee) A)’ A-A. me fAa=a Ceree mw Je 2 eee ee eee eeCe eee:0see Gees eeei| ¢eae SPEPES A | MheOE SE. |es A |

TEDvig effet[vursv eit eee i ani] $ ™_~7 ) I m6

Allegro ~d Ppp Ay 107 r -_| ian. DE

yf)

‘ae LS, A_ A Aaa A {gten -——_ o_o ff -ft | b)LY et STO St eet iA eee eee eee eso._, 2 WE eT DL ae OOP __. li ee" _[

pleco, Frey = 170

(ee

ee ee ie ! ! = amm - RECAPITULATION 17!

EXAMPLE 11.13 Beethoven, Piano Sonata in E-flat, Op. 31/3, ti, 136-49

[Transition] Subordinate Theme continuation

mod.

OP hp EE ee ha bp th a “Or 9p pp eR coe! cote 5 ec ee

es 3 ma. poco ritard. maa . woe = pe oreheJupp || Dibagy! ob, ya|+-—_—R—h Sh Sh|_e} _ A es WO ne| |fete

SPV Pp °

Ab: vivt ————_____________ byiy —————_______________

po eg Sa cadential

seq.

A hp 4 a ee ae _ ere PEEPS was PEP) ae PEP) p95 J4 wm | et tler torr coer F = Pp’ see” A IGS BOSE BOSE BO e

of @ Chef che chef pce Ee : V (V7) ( VII$) 16 ECP.

tonic” in the bVII region and eventually “modulates” back to the — gion for the beginning of the coda. This “retransition,” tonic of Ab by the end of measure 149. (To make a smooth pro- —_ however, no longer fulfills its nominal function, since it gression from V/VI at the end of the transition to }VII at the be- qos not return to the home key. Because this passage mod-

oe Dt of fhe subor inate heme, Beethoven introduces me the ulates to some other region (the subdominant), it functions fave Ky wile sounds at frst like a deceptive resolution of the more as a “transition” to the coda (see in the following chap-

secondary dominant but which functions the12.2, dominant d 6. = = = 2d 25 102 vsbir CEFF trrr CtLircter (VII7) vgCie7 I cadential

A) ——_—— +¢ = ames “_ naa fF réF a: mee and

176

EXAMPLE 11.18 (continued)

b.l. c.l. GC NT e . spiritoso —— :) sos, —B.. P = => £p = =f 25 P: #¢. f° Beatie adé S Neer ng Pp b: 1... We vig 3) 1 We wig 3) (i114 (HC? ) bi. mod. eens Sayseq. TN —— EXPOSITION

Main Theme

antecedent consequent (7) (antecedent, rep.?)

Allegro -—~ ~~ * .4on “-~an oe Bn oo r™~ p i ae an an°I~BEN 5 ~~ N] ~Td. nee

yee gt... 2g gl a) dd -—_ —___, -) —ro )) ) )| h > D —"rfgs ee SS ed eg “gd “gd 8S, 2. i —_ a —|__,_ 2-1 —__] > —_),—_1 See OO: aa§c—=7z-.Q0.nn”>=>~NNn-- OO Eee ee —_ ee ee ee ee ee ee ee eee oa. Wt) « #f¢ 3m. [Iss PF 2 2 Ss Ll Ue.

ee” r

a (]

Transition oe 1 5[| FR TT a PRIN ee15 ) Ag 9 ~~ \ ‘ines | SSFR ST REN a. ) PT ore ga ——] ¢.. Wa Ss 0 2 ee ee eee. (| Le “ee ee *~-O C A . ee eeeeeeeeeeee eee e ee ee ee continuation

pee rr. ”.— er ee fof) (ttf mf : bd XS . f r . — 1 V3rer IV—_ ———— ge. vp: Ul v4 16 v3 116 Vv

wf og DO tt TT emo SS 77 mi. aie All E’'G] ).4t Ee OE EE 68 A a OY Aap ae

spiritoso war Fd ld J IRS=| AdSS. JSS 53td = DEVELOPMENT

'M ) GED. ( 2A a a «2d Fe ee i, ~~ “SS DE Se GP Ae a gD

\ TPE ey ee pee a I ——L a — te — em Ee Bw st Ye

177

BLANK PAGE

12

Coda

By the end of the recapitulation, the fundamental melodic, _ tion allows the composer to say things that could not have harmonic, and tonal processes of a movement have gener- _— been appropriately said in earlier sections. In this respect, ally achieved closure. Indeed, many movements literally fin- _ the coda includes a variety of compensatory functions, for here

ish at this point. Frequently, however, the composer addsa_ —_ the composer can make up for events or procedures that coda, an optional section that follows, and is fully distinct were not fully treated in the main body of the movement.

from, the recapitulation.! As Schoenberg notes: More specifically, the coda often gives the composer an opportunity to impart a circular design to the overall form by Since many movements have no codas, it is evident that the recalling main-theme ideas; to restore expositional material coda must be considered as an extrinsic addition. The assumption deleted from the recapitulation; to recapitulate ideas from that it serves to establish the tonality is hardly justified; it could the development section; to shape a concluding dynamic scarcely compensate for failure to establish the tonality in the pre- | curve that differs from (or surpasses) that of the recapitulavious sections. In fact, it would be difficult to give any other reason tion; and to realize the implications generated by various for the addition of a coda than that the composer wants to say = compositional processes that have been left unrealized in

something more.’ earlier sections.

To complement the foregoing list of what composers Because a movement's structural close is fulfilled by the re- — may strive to achieve in a coda, I should mention what capitulation, the primary function of a coda is to express the they will avoid, namely, introducing new material that temporal quality of “after-the-end.” A coda is thus analo- _calls for further development and initiating new processes gous to a closing section— made up of codettas—that fol- —_ that cannot be completed.® Both these situations could

lows a perfect authentic cadence ending a theme. raise expectations of further continuation and counter the Inasmuch as “coda” and “codetta” are similar both ter- _classical aesthetic ideal that once the music finally stops, minologically and functionally, theorists have often had the listener should have no desire to hear anything more trouble distinguishing one from the other. Despite its in the movement. diminutive suffix, a codetta is not a “little coda’ nor is a Insofar as the coda wraps up loose ends left hanging coda a large codetta. Rather, the two structures are essen- _ from earlier sections, it functions as the movement's gentially different in regard to both hierarchical location and _uine conclusion. This characterization would seem to clash formal organization.’ A codetta follows a perfect authentic = with our earlier understanding of a coda expressing an cadence and resides on a hierarchical level comparable to _after-the-end. These conflicting functional interpretations that of basic, contrasting, and cadential ideas.* A relatively can be reconciled by acknowledging that the highly comsmall unit—rarely more than four measures in length—a __ plex organization of a classical instrumental movement codetta prolongs root-position tonic and circles melodically __ gives rise to many compositional processes beyond the fun-

around the first scale-degree. By contrast, a coda follows a | damental tonal, melodic, and phrase-structural ones initirecapitulation and resides on a hierarchical level compara- _ated by the exposition and ultimately completed by the reble to that of an exposition, development, and recapitula- _—capitulation. Whereas the coda does not normally involve tion. A coda is a relatively large unit: it contains one or __ these primary processes—and thus appears after-the-end— more complete coda themes, each ending with a perfect au- _ those other, secondary processes often attain closure only in thentic cadence.* The coda itself ends with a closing section _ the coda, thus finally allowing the movement to conclude.

, 179

comprising a series of codettas. Since the recapitulation brings a fundamental tonal cloAlthough Schoenberg speaks rather flippantly about the —_ sure to the movement, the coda rarely initiates any changes coda’s appearing merely because “the composer wants to say _ of tonality that might undermine its primary expression of something more,” it is nonetheless true that this final sec- after-the-end. Instead, the coda tends to remain in the home

EXAMPLE 12.1 Mozart, String Quintet in G Minor, K. 516, i, 230-35

retransition M.T.) — oN xb.i.d(fr. oN | RECAPITULATION CODA

Coda Theme

, eS eee phip... ey aset jp») @ ee .__eT Keee @\Pro ws Prey | | | i, fa OS Oa}———.~—_4¢—— [ahah Jenn fil pe._£A _meos oe)hgaeNiON

indide T Th Le rif Sth eT? an S —~ g: I vs Ivé vg IV. 1 p YA NA

EXAMPLE 12.2 Mozart, Symphony No. 36 in C (“Linz”), K. 425, i, 264-87

Allegro |=——|—— f\__264 @ 26 tt Pig | 26 268 p iam 269) FT won on ee BPR | [RECAPITULATION] (rotvansition) _~ CODA

[fe s. STS CET a

(..\ CURE 2 BO SE Oe" 6... AE EE Ee Ee . 2 ee ee eee Oe 28d 2 ee ees Ce

col $$$ _ v$/Iv -—___—-Y vil$ | et

presentation continuation nae tt -— — a — — nn , ? rofl) fleas art fT) ee TT nee TT) dt) Tob TT STs j = ee i — Ow tt OS te et te eS thet ta te tag i tS Coda Theme

$ ;I|——— " | f merit) | f— & —— closing section

(.,. QED ee "Ce ee ee eee Ge S|

~ | bee se

EXAMPLE 12.3 Haydn, Symphony No. 97 in C, i, 236-64

[RECAPITULATION] [Subordinate Theme] cadential =>CODA sequence wn Ll| ~~ di ode ad dd 40° 70 244 AG *f ,236] t fBAB O')i7' Cees ---__ -—_1—aJ EE Geaeonsnnn 7 i ee a) 2 ee 0 eee oS Pe ee

S e e 6 e e if

Se a ee ee ee pee oe Se a ee ee a ee ee ee ala eee eee Se ere

NL ¥

7 OO Ons: i ca ' frag. eS SS bgs y= 6— .s 4_. Y crese. Nr MY’ Cc: vi7———_—_—_—_. vu 7) 1 ~

standing on the dominant

7 ——4 eseee Weeee8:aeffSee SCeSCayeea abaSear al ee fe ee re See - eee* GHaaT tT 2s oesSO oe ee SeaTe eww SacerJ

ye. r T Te ‘a ar NL f y i fs —~ UF ps _ UT 180

CODA 181 key, although various tonal regions may be briefly explored. development and recapitulation (as indicated by the double bar Indeed, prominent tonicizations and sequential progressions and repeat signs). The coda starts in the following measure by confrequently occur early in a coda to provide harmonic con- tinuing the retransition material, now adjusted so that the music trast between the end of the recapitulation and the end of = Te™!nS firmly in the home key. A functional beginning, however, the coda, both of which emphasize the home-key tonic.” is not sensed until measure 235 with the return of the main theme’s

, area basic idea.aThe start of the codasection, is thus indicated notationally Even; ,more than development it is diffi; ; ;asat measure 232,with even though this moment is not aurally perceived

cult to predict how a given coda will be formally organized, og at be ginning." although certain procedures do occur with some degree of

regularity. The constituent coda themes are usually builtin — exampre 12.2: The recapitulation ends with a reference to the reways that resemble the loose organization of a subordinate _ transition of the exposition (see ex. 10.7, mm. 119—22). This “retheme, especially because of a highly expanded cadential _ transition” begins to move to the subdominant at measure 267 but area. Occasionally, however, a coda theme is structured as a _—rbecomess redirected toward the supertonic in the following mea-

simple tight-knit type (sentence, period, or hybrid). At sure. Measure 269 then marks the start of the coda, since this is times, the initial unit of a coda is comparable toa transition, | Where the music departs from the path of the exposition."

in that its principal harmonic goal is the dominant. Such a a : , e coda then starts by sequencing up a third (literally down a is nonmodulatory and the harmonies remain closely bound sixth) the cadential idea, which is fragmented in the following mea-

ae EXAMPLE 12.3: The recapitulation ends at measure with the unit may also includecadence model—sequence organization sug- 244 , .theme. , perfect authentic closing the second subordinate gesting the core of a development, although the sequencing The coda th b ; third (1

to the home key. sures. By starting the coda in a broader model-—sequence process

(already begun at the end of the recapitulation), a functional continuation, not an initiation, is expressed. Indeed, a true sense of

START OF THE CODA structural beginning does not appear until very late in the coda (see ahead ex. 12.9, m. 279), when main-theme material is brought

Unlike an exposition, development, or recapitulation, whose back a final time."

is usually clear initiating function . ; ; at mea: ; . (or, ;beginning EXAMPLE 12.4:articulated Followingbya aseries of deceptive cadences at the very least, by some manifest change in the musi- d 120.13 the final subordinate th f th ‘ral sures 137 and 139,!3 the final subordinate theme of the recapitula-

cal material), the onset of the coda Is often not readily per- tion does not close with an expected perfect authentic cadence (as ceived. In many cases, the coda is obviously under way be- _t did in the exposition, m. 48) but leads instead to a half cadence in fore it expresses any sense of formal initiation. For this measure 141 to prepare for the final return of the rondo refrain at reason, the “start” of the coda is best located at that mo- measure 143. Thus according to the rule, the coda starts in the secment when the music of the recapitulation no longer corre- _ ond half of measure 140, that point at which the music of the recasponds to that of the exposition, even if that moment is not pitulation stops corresponding to the exposition. It is almost im-

perceived as a structural beginning. possible, of course, to perceive this moment as a “beginning,” since On a few occasions, the start of the coda is unambigu- it brings neither an initiating function (the music is cadential at ous: the recapitulation is clearly over, rhythmic continuity is “is point) nor any change in texture and rhythmic activity. Rather, broken, the texture changes, and a new initiating unit (such the return to the main-theme material at measure 143 would seem as a basic idea or presentation) begins the coda. Sometimes

. . ; . to be the more functional beginning of the coda.

the notation indicates that the coda starts after the double- EXAMPLE 12.§: The closing section of the recapitulation begins at bar lines that instruct the performer to repeat the develop- measure 132, just as it did at the corresponding place in the exposi-

ment and recapitulation together.’ Often, however, the tion (cf. ex. 8.19, m. 60). Instead of leading into a retransition, as in coda begins with a medial, or even a concluding, function, the exposition, the music at measure 137 brings a new one-measure and a true structural beginning is not expressed until later —_ model, which is repeated sequentially. There follows a brief cadenin the coda, if at all. Frequently the coda starts directly with —_ tial figure, which locally modulates into the dominant region. The a new model-—sequence passage or repeats sequentially the perfect authentic cadence in E} at measure 140 and the subsequent last idea of the recapitulation. If the exposition closes with a Codettas now permit the appearance of a real retransition (mm. retransition leading back to the home key, the recapitula- 142-43), which prepares for the return of the main-theme material tion may conclude with a similar “retransition” leading to ** ™©@SUFE 144- (In retrospect, of course, we can understand the au-

y Pp ;

the subdominant (or occasionally the supertonic); the coda thentic cadence and closing section in Es [mm. 140-42] to be a

cally starts somewhere in thi 29 reinterpreted half cadence and a standing on the dominant.) | typically sta ; ; © S passag Like the previous example, the recapitulation leads without in-

The following discussion treats examples in which the _terruption into the coda, whose literal starting point must be locoda's start cannot easily be identified by the listener. cated at measure 137, where the music of the recapitulation departs from the path taken by the exposition. As regards its formal EXAMPLE 12.1: The recapitulation ends at measure 231 with a “re- function, however, this moment is a clear continuation following transition” leading to the subdominant region for a repeat of the on the codettas of measures 132-35. Consequently, these codettas

br a

continuation cad. ey , N iw = ~ he* 5 a: es a = sy Sy EXAMPLE 12.4 Beethoven, Piano Sonata in E-flat, Op. 7, iv, 134-44

[RECAPITULATION]

Subordinate Theme

Allegretto —_——— vr _—w— —= nw— ww ¢Poco grazioso : . om ° = fF TT fre° ~= “-N ~

Ate t? Cty t L¥ f Le

i nae ES ES OF_eEefTOoeS Sl EE2zx=-VOIT oe TF gg Eb. 16 vo 4 16

dec. cad.

| f f pp CODA

ris Ee ld abe = qe wbGene, d To SSS OE Se teMtl, ehera ha| MRT seef= =CER == /..U4i A! 22. ( = A AY bE os £t.OoSS

neI Vile Vv. oe y6 v6 dec. cad. WA

as ane Perry end “—S@ umd fobJou pimta=a SS =ES vets 1.14 ene Ae se pee eee pee: Refrain 4

ne nnn ee eee Coda Theme (fr. M.T.) bi.

i Ee ee ee ee A EXAMPLE 12.5 Mozart, Symphony No. 39 in E-flat, K. 543, ii, 132-44

{RECAPITULATION] CODA false closing section = presentation continuation

cod.en,=>b.i. mod. seg. am eae e e ° e — —F _———— —_ Andante ae e bd | 4 E | — Ls £4. con moto aa, ———— a | ; ;—= = £}) A 132_ peepee Pt0-2 | | | | | | —a ——Ee >} = : 2. -_-— =2 -—-42-— — RE 9S eS Fd OS 2fCs. we Dd Sa ___f[___#= fF= eh So a ee Cc pf

Ab: I. , cod. cod, b.i. ¢ ’ er sees

( coaeneenenaeneineaemneeeeneemnenmiinememeeesiemmemmemmmnmemmmamenmmnenssn TH Sninnensttaitnntn eae i aT ee ny

* gD) G7 > OE Oe ne REN Oe "ee On eee eee ee a ee eee ee ee 6 ees 2 2 8 ee eee, eee eee ee

i ——— r—mene | Coda Theme (fr. M.T.)

closing section => standing on the dominant retransition antecedent

cad. cee ee EE» ———O————————————_O rn

A 11139 Pa 40 | Ty 4: { ful etd oe fd ee a

° mnt). CE .4 21. a ee eee ee =e o_O i" ..2ef Bee 2) Oe eee) el oe eee ee ok ee ee eee On A PE eee ee ee Gee:

Eb: v7 I——

(Vv) Ab: Vv — - — —eeicernnnnw—€@™”— —- roo, se" (> HC)

182

CODA 183 are themselves reinterpreted as basic ideas, and the whole passage = (mm. 280-87) is supported by an expanded cadential progression, is understood to be a false closing section, which initiates anew — whose pre-dominant is embellished by neighboring chords. The

thematic unit (ending with the perfect authentic cadence in m. _ concluding perfect authentic cadence at measure 287 elides with 140). That Mozart converts the closing section of the recapitulation —_a second coda theme, one that brings a modal shift to minor and into a false closing section is a further consequence of his already _ that omits an initiating function by beginning directly with modelhaving used these same codettas for an earlier false closing sectionin _ sequence technique. The music leads quickly to an internal domithe subordinate-theme group (see ex. 8.19, mm. 54~57). Thus hav- _—nant arrival at measure 293; the subsequent standing on the domiing written a single false closing section in the exposition, Mozart _ nant is followed at measure 301 by a new expanded cadential progres-

now writes two—one residing fully in the recapitulation and the _sion, whose initial I6 is prolonged by the conventional V?. The other straddling the boundaries of the recapitulation and coda. theme achieves powerful closure with the perfect authentic cadence at measure 309.!5

PHRASE-STRUCTURAL Although coda themes are normally loose in structure,

ORGANIZATION a conventional tight-knit organization appears now and

then, particularly in sonata~rondo form. Most often such The themes making up a coda are, in the majority of cases, themes are based on the main theme of the exposition, and organized along the lines of a subordinate theme. (The ma- Sometimes they even duplicate its form.’° A tight-knit coda terial is occasionally derived from the actual subordinate- _ theme can also be derived from other material in the move-

theme area but more often than not is taken from other — ment.!” . .

places in the movement.) Any of the loosening devices dis- Most coda themes close with a perfect authentic cadence cussed in connection with subordinate themes can appear in _in the home key. Therefore, depending on whether they are coda themes. The cadential function is especially prone to constructed in a tight-knit or loose manner, their formal orloosening through extension and expansion. As a result, ganization will resemble either a main or a subordinate considerable emphasis can be accorded to the final cadence _—_ theme. Some units of a coda, however, conclude with a half

of the movement. (In the following discussion, specific Cadence (or dominant arrival). In such cases, the passage reloosening devices typical of a subordinate theme are high- _ sembles the kinds of structures found in a transition or de-

lighted in italics.) velopment. A half cadence usually appears early in a coda,

especially when that section starts without any obvious

EXAMPLE 12.6: Following a brief introduction, the coda begins at SeMse of functional beginning.'* measure 244 in the major mode with a compound basic idea, taken

in this case from the subordinate theme as found in the recapitula- EXAMPLE 12.3: As mentioned, the initial unit of the coda begins tion (cf. ex. 11.14, m. 178). The idea is repeated with a modal shift with a sequential repetition of the cadential idea from the end of to make an eight-measure presentation. (This shift to minor, of | the second subordinate theme. The coda continues at measure 250 course, restores the primary modality of the work.) Measure 252 with further model-—sequence technique based on this model and initiates an extended continuation featuring an ascending-stepwise eventually arrives on a half cadence at measure 261, followed by a sequence. The harmonic acceleration in measures 260-63 can be _ standing on the dominant. The extensive sequential activity in this seen to express the continuation even further, but the harmonies opening unit is comparable to a transitional or even developmental there also serve to prolong a first-inversion tonic, thus suggesting _ passage. (The entire unit from m. 246 to m. 267 could also be anaan expanded cadential progression. The appearance in measure 264 of _lyzed as closing with an internal half cadence, thus forming the pre-dominant harmony prolonged through measure 268 reinforces first part of a two-part coda theme, analogous to a two-part suborthe idea that a cadential function is under way. The expected ca- dinate theme.)

dence is abandoned, however, when the dominant appears in first

inversion in the following measure 269. An actual cadence to close EXAMPLE 12.8: The coda begins at measure 202 by eliding with this theme never does materialize, for what we would want to re- the final cadence of the recapitulation’s second subordinate theme. gard as a second coda theme begins at measure 276 (discussed later | The music at this point appears as though it were functioning as

in this chapter). a closing section, but after a fairly extensive tonic prolongation,

the dramatic appearance of the F# seventh chord in measure 214 EXAMPLE 12.7: The coda starts at measure 265 when the final ca- throws into doubt the prevailing harmonic—tonal context. When dence of the recapitulation’s subordinate-theme group is evaded by __ this sonority eventually leads to a dominant arrival of the home VITI/V, which then leads to a half cadence at measure 267 and key at measure 222 (by means of an intervening B-minor six— four, eight measures of standing on the dominant. The reduced orches- = mm. 218-21), we understand that the F# seventh chord functions tration and change to piano at the upbeat to measure 276 signal _—as an unusual chromatic pre-dominant (built on the raised fourth the beginning of the first coda theme. A new presentation (built —_ scale-degree).!? The resulting dominant arrival at measure 222 is

with material similar to the preceding standing on the dominant)is premature, since nothing here suggests the end of any phrasesupported by a weak tonic prolongation owing to the metrical place- structural process. A subsequent standing on the dominant stretches ment of the harmonies (dominant on strong measures, tonic on —_— from measure 226 to measure 237, after which main-theme mater-

weak measures).!* The following continuation=>cadential phrase _ial returns.

EXAMPLE 12.6 (a) Beethoven, Overture to Coriolanus, Op. 62, 238-314; (b) mm. 1-16

(RECAPITULATION] CODA

a) A a ey cna 5 irr [Subordinate Theme 2) Coda Theme 1 (fr. Sub. Th. 1)

Allegro (intro.) c.b.i. > eee c.b.i. (rep.) con brio d . r |opoMN r |opom™ A | __238 fy _| L240) 24 44 4. 8 4d. 248 Cer er are rane pene © Ohne hee eee Dee 8-m. presentation

A} Ean eee ee en e+! sis -~~cs See i CARD CARRS OA CAS CREO UE NORD OY RPGR 26 UU Ss eS eee Ce eee oe Pee 2

¢: bir ——_—_——. i... (modal shift) (modalvshift)

continuation (abandoned) oo mod.cadential seq. seq. pyed J) ) nf 2 £4) stds ff dd dd gdulss_, aa pg = or me eee

2 a ee ee p/ eewe ee ee ee See ee ee ee @ ee ‘ene 5S we FT F r 1 ve be vs 1s v4 16 IV) po 2 vo Qacivé [ 4 ECP. continuation

CS "ep “pp eg et = = = y = ) =, y by. Pf | ff _— rie Tle Pow TwV fF #rf vddCtr wettceteeceee Sf sempre ° ) 72 Whe “r : BY e BY e : or!ars . + : ; @San) -_ : +o ° bhe

be Mead dda NH) DER NA dod Dd ab by ay 2

A_| 263 264 — =|) = =~Oa f) ee =A Jen IN 1) 268 269 d 210@. if x.Eee . . Ce a= "ERE saVE... ode Peg BOK: SOE S..28 OE2 Cee Ce, P 70 ET: Ve” SE wit GE OE Aj)yi a=abee 401 "Eh|agSA GE 2— "es:(~~eee oe ee eee

$$ 1g ——_——__—_____ (I$) -—_____ 1V° Vg 1...

I ant

P

presentation continuation

Coda Theme 2 (fr. M.T.) b.i.

* am) K) O“EE Ww”. 1Ae __-.._ ff _a eg gt |2 a,A_ 0... ltSERS _>). |. |GS lg CES T_T eg $$$ Sewane SE Ee__|\_f_---__ xCRE 8AS«2 0... 0 GEES ell 6GY 2 QE se 8tT2GUNES eee 42)| SERGE SET, EE ESi. SS2RT SONS MT CRE SRS REN SU CORY GEee. CED... —- —- go +,

! e_e_e. Ss . bd I€ ee

185

186 LOOSER FORMAL REGIONS

The organization of the standing on the dominant is unusual: toward its end—thus lending a kind of circularity to the overwith the change of material at measure 226, Haydn reduces the _ al] form— gained a certain currency in the classical period.?5 texture to a single voice, thus suggesting the imminent return ofa Ty fact, some full-movement forms (large ternary, five-part new beginning supported by tonic. When the texture becomes sondo, and sonata—rondo) require a return of the main theme

fuller at measure 230, he surprisingly retains the dominant pedal. ae ; :

; (or at least a significant of it) toward the close of the He eventually reduces the texture againportion at measure which , ; ; . movement. Other formal types (such as 236, the sonata andfiminnally leads to the return of main-theme material at measure 238. h th € th ath ty at th

The passage of fuller texture (mm. 230-36) is needed, perhaps, to uet), Owever, see the return of the main theme only at the restore more conventional pre-dominant harmonies (II, V/V), al- beginning of the r ecapitulation. In these for ms, if the combeit within the dominant pedal. (Exs. 12.8b and 12.8c are discussed Posers wish to bring back main-theme material late in the

later in this chapter.) movement, they normally have to place it in a coda. Indeed,

this is perhaps the coda’s principal compensatory function, for Most codas end with a closing section (made up of codet- —_ Most codas refer at some point to main-theme ideas.

tas) that follows the final perfect authentic cadence of the Except in the case of the sonata—rondo, main-theme home key. The melodic—motivic content of this closing sec- material in a coda is not usually shaped into the same tighttion may be new,” or it may be based on material appearing —_—knit form that it took in the exposition. Rather, the material

earlier in the movement. Sometimes the closing section is __ tends to be structured more loosely, along the lines of a

extremely short, or it may be omitted altogether.! subordinate theme. At times, main-theme ideas do not even If the closing section from the recapitulation has been receive cadential closure and end up instead forming part of eliminated (because the coda starts immediately after the _ the closing section to the coda. subordinate-theme group), the coda will likely restore that deleted material as its own closing section (see the discus- | EXAMPLE 12.8: The return at measure 238 of main-theme material sion of ex. 12.8 in the section on “restoration of deleted ma- imparts a distinctly rondo character to this sonata-form finale. The terial”). When that is the case, the coda can sometimes give series of deceptive cadences (mm. 245 and 247) loosens the struc-

the impression of being interpolated in, rather than follow- Fe (in the sense of a subordinate theme) and thus creates a

. ; . greater sense cadential arrival than originally ing theofitself recapitulation. ; % found in the main | on, theme (cf. ex. 4.1). COMPENSATORY FUNCTIONS EXAMPLE 12.9: Main-theme material appears for a final time at measure 279 of the coda. In its original version (see ex. 13.4 in the

, ; . ; following chapter), the fanfare opening, with its exclusively tonic In addition to its primary function of expressing an after- g chapter) tly followed ie . -al oh y

th q das also treat tional matt : support, is eventually followed by a cadential phrase (mm. 22-25)

le-en » Most codas also trea compost Ona! Matters no to close the theme. In the coda, the root-position tonic is retained directly implicated an the movement’s more fundamental obsessively to the end, thus prohibiting any cadential activity. As a tonal and formal processes (these are generally completed _ result, material that had functioned as a main theme at the beginin the recapitulation). Recent studies by Charles Rosen, _ ning of the exposition (and recapitulation) now functions as a closJoseph Kerman, and Robert P. Morgan have devoted con- _ing section at the end of the coda.’ siderable attention to how the coda, respectively, disposes

of “unfinished business,”?? effects “thematic completion,*? —= Restoration of deleted material from the recapitulation. and achieves the true “culmination” of the movement.”4 To fulfill its own particular formal functions, the recapitulaA major reason that the coda takes on these roles is that _—_ tion frequently deletes passages from the exposition. The the preceding recapitulation is relatively constrained in how _ possibility of “recapitulating” this deleted material is ofit can deal with ideas arising earlier in the movement. Since _ fered by the coda. the recapitulation is normally required to bring back material from the exposition in essentially the same order, there is = ExaMPLE 12.8: The dramatic tonicization of B minor occurring at little opportunity, say, for recalling the main theme late in —_—s measures 214—21 was already described as an unusual prolongathe movement, for referring to ideas arising in the develop- _‘ tion of pre-dominant harmony (built on the raised fourth degree ment, or for shaping a new dynamic curve to end the move- in the bass). Beyond the passage’s cadential function of leading to

ment. As a result, the coda can be seen to compensate for? dominant arrival, its appearance here is surely motivated by a

. ; . ,; similarly dramatic tonicization minor (SK: IIT)a following an the,; inappropriateness of earlier sectionsoftoBsubordinate achieve these . ; evaded cadence in the exposition’s theme 12.8b). If and other compositional goals. The following five compen- ; (ex. ce, varie

Funct} facod larly ob din the cl Haydn had used this same continuation in the recapitulation, he

satory netions Of a coda are regularly Observed in the clas~ —_would have had to transpose it down a fifth into E minor for the

sical repertoire. purpose of tonal adjustment. So in order to “recapitulate” a comparable event at its original tonal level, he deleted that continua-

Recollection of main-theme ideas. ‘The notion that the mu- tion from the recapitulation and instead introduced a new B-minor sical material at the beginning of a movement should return _tonicization into the coda.

CODA 187 Another deleted passage from the recapitulation reappears at _ the closing section of the exposition. For example, if the exthe end of the coda’s closing section (mm. 255-61). This series of _position’s closing section features a recessive dynamic leadreversed “oomp-chink” ideas would ordinarily have been placed at ing to piano and then concludes suddenly with several forte measure 202 to serve as the closing section of the recapitulation, codetta chords, this same dynamic curve will normally reapalong the lines of the exposition (ex. 12.8c). Instead, Haydn writes pear at the close of the recapitulation to provide an end for

a different closing section at m. 202 (ex. 12.8a) that consists of run- th In some cases. however. the wav in which

ning sixteenth notes (probably to create a greater sense of rhyth- ° movement. nso Sans a y

mic momentum leading up to the dramatic F¥ seventh outburst). the exposition ends dynamically is not suitable for ending At the final cadence of the coda (m. 249), Haydn brings back a new the complete movement, and thus the composer may very series of running sixteenth notes but eventually restores the closing well use a coda to shape a new dynamic curve. Some of the section deleted from the recapitulation in order to conclude the most striking examples are in works by Beethoven, in which

coda as he had concluded the exposition.?8 an extensive passage of progressive dynamic leads to the most powerful climax in the movement.*} Some of his codas,

Reference to the development section. Whereas the reca- _ however, close with a marked recessive dynamic, sometimes pitulation requires the composer to rework the exposition, _ leading to a complete dissolution of the texture.*4

an opportunity to bring back material from the development section is not necessarily afforded by any of the stan- —- EXAMPLE 12.6: The closing section of the exposition retains the dard full-movement forms. If the composer wishes to refer _ forte dynamic achieved at the end of the subordinate-theme group

to ideas from the development, the logical place to do so is _(see ex. 8.4, mm. 110-18). The end of the recapitulation (mm. in the coda, especially at its start. Indeed, the opening of 238-40) projects this same dynamic. But for obvious Programthat section lends itself well to recalling the opening of © Te Teasons associated with the tragedy of Coriolanus, Beethe development, because both follow on similar material, thoven is not satisfied with this p owerful dynamic to close the

. . oe ; overture. He thus cuts off the recapitulation even before the ap-

namely, the closing of the exposition and and recapitula€ the clos; d suddenlythe reduces the d a pearance ofsection the closing section suddenly reduces dynamic tion.”” Moreover, the early part of the coda is an appropri- to piano (m. 242). Following another buildup to fortissimo at meaate place to destabilize the prevailing emphasis on the home- gure 264, the return of main-theme material at measure 276 suskey tonic, especially through the use of model—sequence tains this dynamic until measure 290, at which point there begins a

technique that may resemble a development. gradual decrescendo, leading down to pianissimo string pizzicati at The analogous formal positions of development and __ the very end of the movement. The systematic deceleration of the coda—both following on similar sections (exposition and eighth-note motive from measure 297 to measure 310 is especially recapitulation)— have led some theorists to view the coda as _ effective in helping project the recessive dynamic.”

a “terminal” development, particularly in the hands of Beethoven.?° Following Kerman’s powerful critique, the Realization of unrealized implications. Many of the notion of the coda as a kind of development has fallen into | Compositional processes initiated in a work imply particular disrepute.}! In fact, we have seen in this book that these two Modes of continuation. Some of these implications are realsections are fundamentally different in tonal and formal or- _ized immediately; others are realized only much later in the

ganization. So to say that the coda refers to material from | Movement; and still others may never be realized at all.’ the development, as stated in the previous paragraph, isnot | The coda gives the composer the last opportunity of realizto claim that the former functions, or structures itself, like ing an earlier implication, often one that would not have

the latter. found an appropriate realization earlier in the movement. These implications usually arise in relation to the main

EXAMPLE 12.2: The opening of the coda clearly derives from the theme, particularly a “problem” or “disturbance” that is not core of the development (cf. ex. 10.7a, mm. 128ff.). Indeed, the rest resolved until the coda.’ of the coda (except the last seven measures) “develops” this material, though entirely in the stable context of the home key. Although EXAMPLE 12.6: The reappearance of main-theme material in the the original source for the ascending “jagged” line and its subse- coda (mm. 276ff.) realizes several implications arising earlier in the quent linear descent is the retransition at the end of the exposition movement. First, the recapitulation of the main theme in the sub(see ex. 10.7a, mm. 119-21), the extensive treatment of this idea in dominant (discussed in connection with ex. 11.17, m. 152) implies the core gives the impression of its being “new” material, largely _ that the theme will receive tonal adjustment at some later point.

unrelated to what happens in the exposition. For this reason, itis This implication is realized when measure 276 brings the first appropriate for the material to appear again, this time adjusted home-key restatement of the main theme since the very beginning back into the home key. The coda provides the logical place for of the work. this “recapitulation” of material “exposed” in the development.” Second, a cadential ambiguity at the close of the main theme in the exposition (ex. 12.6b)—is it a half cadence at measure 13 or an

Shaping a new dynamic curve. Ifa movement ends with elided perfect authentic cadence at measure 15?—implies the later the closing section of the recapitulation, the final dynamic _ realization of a clearer cadential goal.?8 In the coda, the theme uncurve of the movement will conform to that established by —_equivocally closes at measure 296 with a perfect authentic cadence,

EXAMPLE 12.8 (a) Haydn, Piano Trio in C, Hob. XV:27, iii, 199-261; (b) mm. 66-75; (c) mm. 88-93

nr —— ~~ mio eeseeffoe 5Pdee rine *fd 4 b-——_ ee Pefe JdFS FF—_ ee? {[RECAPITULATION] CODA

(Subordinate Theme 2)

false closing section

4 |---| 4 $f te AE, a)x*————————_————E TE AS ae es oe Lf} acer \nsoscsecoesose ie NT Domne AosTT EN ei——_f pL4} ee Cc: f..

iis PEPa Se ee continuation |

Rn * —=7>=*—TE—E \) suey yo S i a i a iES Aeaaai iSSS ee 207% = Ae —— —i a—-—-— =~ g--—= leceeJeBSFETS 20——— fe le5peeMS14 ,A SEES ERS Th A” TA” A Se OG Sal CERES cenee oes —— —— CS SEN CS

SF OF Lt} cle

G: V7 _

f ae isisee Ae Se le Je) ad se ld Jala, Lo oO EoD St eee SS Oe SV 9 eeBiee—_ tev= Gee 2 ees ani4Bi6gi—_ Y iam) ==>ewe) => FAwe =F StFAe =>eee PF Tt =z =eee, eee

fe —_—— JIS “ dom. arr.

(.. CRE CEES EE. WEEE SE Pe ee OS a ems Se RA OS) A RD Os RE A OS _. ES Seen

We] B) 6) 8) a) F) BLP) WE) 8) BB rrp erry ep pp Eee —_———_—__—_——. (I$ ) v7 dH§ ) ——_ $$ _____________________________ © vy ____—__ (premature)

standing on the dominant

~—bd . . ~. -~ e a e ee eee ee em _— — ja Jala, == [Tles222 ==oP Aro SR reefs ee Ree , CS OE we oe EE Ey he ES CE Cans Ch AnD Aas Sn” taf AP” with GA © | GD GS © “WO Ge Ga SD SE (SE Ee 8

7 eS 5 VIIS/V )

Oe ee ty ——— og | gs a 4 fh rr ap” age —— +e of of ot He

46151616 6 BIE IG IE 1, 151 P Ap

— . = poe” a._¥ a. - 8 EF 1I... Sz 2 Vv... Coda Theme (fr. M.T.) antecedent

° —_ e : kk, “~ va _— e on™ . _—— a a: —— a a -_ —™ . 2 . . Om . .oo——— Rn if Jd

SEARS CREE TES UNS MNES HE MANN LE SPC MARNE CERES GENRE GREEN GNUN EE ORR SANE exec SE CE GN SO ES ee Ss Os es ee ee ee Se 0. ee. ee 1 0 ens eee eee

CR aE 6 GES BUTE CORRES BO ae SO EE RR SUR MS SERRATE PES OER ERNE SOUT RNRES CREE NERS CeeeES Des CENA Genes NE Rees Genes ceees Wee eee ee 6°! iD’ oA OD. ee =e Ee "ee

TAT LL TT DN LL EL A LL LLL LL I, ° e

i. ae a0 Spm 2 Oe 2 SE eS a Ss 8 D, SRD « , —_—__, —___l_-_»consequent (exp.)

PRS = £3PERE == *CE| ws * |ES dthp4 AS wtCinna == |p24 Pe eeYT) DG CE Gy” oo GD al. CURED CE).== A TO,

[He ] dec. cad. dec. cad. 188

ia are rr tor ee ne 0a I. ee— _ede EXAMPLE 12.8 (continued)

Closing section

A us— ld “o— le = s = DP fil) JTS ——_—_-_———

ie £ pe ae0eeer ee ai )it_-Hh }—_—_* 4 SEED 7 eg—|— BS eS EY:

ce ee ee =734 -5>y =~ ~—— p 7 5F¥7 ify5=5 =5

ee Ge ee ee eee Ain 0 Hale SRE RS SEER A ES 7 SR EP" Se AS JES SE EP” SEE SE CS

[EXPOSITION]

(Subordinate Theme 1)

»)) —— Aaener 9_”,#te ee ee oe | ee ee ee ee 4 ‘ Wyle bh 5 FE —— we ~e —™ = le ae 1S s/s" BS oO ee anne eee ll

Presto — ae, ie Pete, a —— _~— — ~—— —— ——PR —— ns Hie) |) ste) Nh(ie2)~~ie) he SOS Oe~— Se—— ee SS PRS PS~— CRS FRR ‘EE DE mn ey Re | Meee ) Mee MRSS Le RET MES SES BSW!) WAS MASS s , SO A ee 2 ee ee ee 2 ee ee ea eee

“io GH GUE | ¢ ——_— YH Anne Dave @ ( Ae ee se fio Fn ere fl EL. ne Lt, _—--— ne een

G: Vig”) vinéyy ——_____________(I1§ ) V7 VITS/VI=>VI—L7 vg I (Vv) ev. cad. [EXPOSITION]

{Subordinate Theme 2]

°?) sz -9o et sO id bk PR be BF OS {cad.]} closing section Presto . ae ae ee ee s—_—_, -§ —_4e—__, -*——_} of) a -___

2" Aer TR A: ( SS AD ( A WE A ES Le: Cees

”G: veg 7) I,

Vivace J i A279 - a — iJ. a SS = =: sort? wh r EXAMPLE 12.9 Haydn, Symphony No. 97 in C, i, 279-93

closing section (fr. M.T.)

.—-3 tS Ha €_ 2 Ea a Ht Hai...ae429041 re EE oe (eo fe Te7gaat |. 9 £._¢g¢:4.i. 2.3 i.el 4 ga @g|Het @4 ¢.et_g_|. eaeale.aUO

“2Pps "AL.foot ____|___@ 1 _} NT ep gp eel ep Cetetr (rfrtp ordre ro; es or tr

rf fF

I

elided

a ens ED Oe ee tee a oh eel

nN Bee ee eee ee ee ee ee ee eee ee ae “ee 2 a a

189

EXAMPLE 12.10 (a) Mozart, Symphony No. 39 in E-flat, K. 543, ii, 144-61; (b) mm. 20-27; (c) mm. 91-96

Oe Ses S|. rags S| eS a) Ap ee ae i eS aAb: tS cn Vi... aan JL if 9 Pp’te Egy Goes £L Se ~~ [vcs | ae aS a — aa TT aN antecedent (ext.) Andante ee a consequent . —_———_ aN oo ° —_ ‘“ a Coda Theme (fr. M.T.)

A 11151 N P| dss Fe OS ise N assy | Of te | ol 6-2 rf a }— 4 — 6 —f —§ —— tts i 1 tt fh o——*> —_______¢— |) 6-6 — 4 =} 4-6 —__}-__} "| _ © 4}. ——_} 9. — 6) ——@§ gh sp 2 gf

wee r)—Ctsi‘éELEYS?

VISIV ——— VIES/V. ev. cad. ev. cad. closing section

>>.

, Ss ss Ss } de 43 . ada ds eS Ff Tereihl. ‘ 7" ———— - ee : _— Sn p——4—f an ae eh | eee?)eeI RY A a Senta tlie e ° S ° . vig

, AB 0 SS 2 OE eeL___—--|}_—_f____} ee 6S eee A Eee Tees Cee bi 9 — 0) Lg —} +4GE | Ee ee ee eeee ee ee ef y heSee _i__& «I

elided

antecedent consequent Andante . .™ con moto oob.i. ——>™. a>— [Main Theme}

20 ————— oo | 7. 4.a0| ee ie,Se lneesPe ”, 0.9 Aripemarpseenasen > RR eee ee cee Ws SE ee eee eee er Soe ees eee oe eee ee

>Tr ST

8 MT _— — — Tr/ST

Abbreviations: A = small ternary exposition; A‘ = small ternary recapitulation; ant = antecedent; B = small ternary contrasting middle; cons = consequent; HC = half cadence; HK = home key; mod = modulating; MT = main theme; non-mod = nonmodulating; PAC = perfect authentic cadence; pt = part; SK = subordinate key; ST = subordinate theme; 7r = transition; 7+/ST = fusion of transition and subordinate theme; => = “becomes”

a. A dash indicates that the cadence is omitted from the pattern. b. A half cadence at the end of an optional antecedent phrase of the main theme.

to prolong a more fundamental dominant achieved inthe CADENTIAL GOALS exposition. IN THE EXPOSITION To complement our understanding of sonata form’s tonal organization, a second view should be recognized, one _—‘In a sonata exposition, the establishment of two primary that is derived from earlier baroque practice. This tour-of- _ keys is articulated by a succession of cadential goals. In its keys model sees the subordinate key in the exposition as the complete form, this series of cadences projects a tonal curve first of various keys to be explored throughout the entire _ that (1) partially confirms the home key by means of a half

movement.’ Compositions written in the first half of the cadence, (2) fully confirms that key by a perfect authentic eighteenth century typically present one fundamental me- _ cadence, (3) destabilizes the home key by a half cadence or lodic idea (i.e., a fugue subject or ritornello theme) in the | dominant arrival, (4) partially confirms the subordinate key home key and then proceed to explore systematically the by a half cadence or dominant arrival, and (5) fully confirms expressive and developmental possibilities of that idea by the new key by a perfect authentic cadence. setting it in a variety of related keys. In the second half of These cadential goals can relate to the exposition’s conthe century, the tonal-polarity model gained ground and ___ stituent interthematic functions in a variety of ways. Eight eventually came to dominate tonal organization in the __ such patterns are shown in table 13.1. (Other patterns seen sonata (and other full-movement forms). But the tour-of- —_ now and then can usually be understood as variants of those keys model continued to have an effect. Its influence can be _ presented.) Note that any one of the first four cadences can seen most clearly when the movement confirms one or __ be omitted, as indicated by the dashes; however, the perfect

more development keys by an authentic cadence.° The authentic cadence of the subordinate key must always apmodel is particularly evident when extensive material from _pear.® The exposition must also contain at least one cadence the exposition reappears (transposed) in the development, _ confirming the home key. as occurs frequently with Haydn (see the discussion of ex.

10.18). A vestige of the model can also be found when the 1. In this common pattern, the main theme, usually recapitulation emphasizes the subdominant, notably when built as a sentence (or sentential hybrid), closes with a material from the main or subordinate themes is set into perfect authentic cadence. The home key is thus fully

this region.” _~ confirmed early in the form. A transition then modu-

Taken together, these two models provide a fairly com- lates to the subordinate key, which is confirmed when plete picture of the large-scale tonal design of the classical the subordinate theme concludes with a perfect au-

sonata form. The tonal-polarity model emphasizes the op- thentic cadence. positional nature of two primary keys, and the tour-of-keys 2. This pattern is like the preceding one, except that model emphasizes the diversity of tonal expression arising the main theme (again, sentential) ends with a half

throughout the movement. cadence. The home key is only partially confirmed,

SONATA FORM 197

full confirmation being postponed until much later _ there has not been an internal modulation. Such partial in the movement (most likely toward the end of the _ confirmation is acceptable in the exposition because ample

recapitulation). opportunity will be afforded later in the recapitulation to

3. This pattern combines features of the two previous __ reconfirm the home key with authentic cadential closure. ones. Here, the main theme is more or less periodic: | Main themes in a minor mode often close with a half an antecedent first brings partial confirmation of the cadence, since the resulting degree of tonal instability home key, and a following consequent (or continua- _ matches the unsettled emotional quality typically expressed

tion) achieves full confirmation of the key. by movements in this mode. Unlike subordinate themes, 4. The main theme fully confirms the home key, which —_ which frequently shift from major to minor (or vice versa), is then destabilized by a nonmodulating transition. | main themes normally remain in a single mode throughout.

The subordinate key is fully confirmed without any The few exceptions in the literature create a striking effect

prior partial confirmation.’ (see chap. 8, n. 64).

5. In this pattern, the home key is destabilized in two Many main themes exhibit a certain hesitancy or uncerstages. First, a nonmodulating transition brings a half _ tainty in the course of their unfolding, often bringing sudcadence in that key, and then the subordinate theme __ den, striking changes in texture and marked discontinuities brings an internal half cadence in the new key. Full _ in rhythmic momentum. In fact, it often is not until the be-

confirmation occurs at the end of the subordinate __ ginning of the transition that the movement seems finally theme.!° A variant arises if the main theme is peri- _ to “get under way.”!® As a result, the main theme itself may odic, in which an antecedent brings a half cadence be- — seer to possess an “introductory” character. Such a main fore the perfect authentic cadence ending the theme.'!_ _ theme, however, must not be confused with an actual introIn this form, all five of the primary cadential goals duction. Despite the theme's textural, dynamic, and rhyth-

occur in the exposition.!? mic instabilities, it still contains sufficient tonal, cadential, 6. Here, the two stages of home-key destabilization take and phrase-structural solidity to function as the true formal

place in a two-part transition.) beginning of the exposition. 7. In this pattern, the main theme is constructed as an If the main theme ends with a perfect authentic cadence, incomplete small ternary. The close of the A section _a closing section made up of codettas may be appended. brings a perfect authentic cadence in the home key, Main themes closing with a half cadence may be followed and the B section brings a half cadence (or dominant __ by a postcadential standing on the dominant.'’? A main arrival). An expected A’ section begins to sound but _ theme ending with a perfect authentic cadence may also eventually fails to reach completion as the music be immediately followed by a second main theme to cremodulates to the new key. As a result, we retrospec- _—_ ate a main-theme group (analogous to a subordinate-theme

tively understand this section as a transition.!* group).'8 It is important to note that both themes in the 8. Following a half-cadential articulation of the home _ group end with a perfect authentic cadence in the home key at the end of the main theme, the functions of __ key. If a presumed second main theme were to end with a transition and subordinate theme are fused intoasin- _ half cadence, it would destabilize the home key and thus exgle unit, a situation discussed and illustrated later in _ press transition function (as either a single nonmodulating

this chapter.!> transition or the first part of a two-part transition).

General Issues _ , .

MAIN THEME Nonconventional Forms

The main themes of some sonatas have a nonconventional formal organization; that is, they cannot be easily accommoThe main theme of a sonata exposition is most often con- _ dated by such standard categories as sentence, period, and structed as one of the conventional theme-types described —_ hybrids. A nonconventional theme should, in principle, be

in part II of this study—sentence, period, hybrid, small distinguished from a conventional one that “deviates from ternary, or small binary. A significant minority of main the norm.” The distinction is not always so facile, however, themes are nonconventional in their organization, as dis- | and even some of the examples here may be understood as

cussed in the next section. extreme deviants of a particular conventional type. To fulfill its principal tonal function, the main theme Although thematic nonconventionality is a criterion of must reside primarily in the home key. The theme may _loose formal organization, a nonconventional main theme is bring a transient modulation, but the home key eventually —_ usually more tightly knit than the subsequent thematic returns at the close. Most main themes end with a perfect _ units of the movement. Indeed, many nonconventional main authentic cadence, rarely with an imperfect one. A sonatas _ themes are eight measures in length. Sometimes, however, main theme may also end with a half cadence as long as — a main theme may be sufficiently loose in organization to

Allegro continuation con brio b.i. = en Ee ,ee~—_. es 3 — ors FS ee a—— ee “4 oeteteee a Aoee 7 aaa aa aee ae aa aael aeT aaa EXAMPLE 13.1 Haydn, String Quartet in G Minor (“Rider”), Op. 74/3, iv, 1-8

7

g: 1...

TRY RT SY By eT ey BPPPERER CTT PEP ES LEP LEE

f Pp f pep" * F

if aaa KK” el ° Vv Ci ials0. continuation codetta Allegro W.W., , Ad 37_~*Vi. 38 4 a ~ att ry ate > ” a eee eee ei se el i ae ee p: [1] 16 u v? | ae vi rh 6} . . : - 8 on cadential

pe Ps L_¢—__} —___{L4.—}}-_ }-—_} __}| ___f} | _} -¢—§ 4s, —|

Clee renee seamaster re Sect ace gee eet

EXAMPLE 13.2 Mozart, Symphony No. 38 in D (“Prague”), K. 504, i, 37-45

A cp a tp ten apn peepee rn re een ee Nee lg gs Pe PT

(OS OT TT Se deTD se TToo a oeeT a ee TFET a |v a Se ee a onEE a on or A on a coahe eH om ie one TTSSTT DT OT Te eoa" oo eoa S-a Sod OSoo-oc | TTa Caos A ——

f

|

elided

PPPP pen

Per Per fF

ef v6 I y EXAMPLE 13.3 Haydn, Piano Sonata in E Minor, Hob. XVI:34, i, 1-8

continuation standing on the dominant

Presto a.OOSti‘Pf pe — — £- Y= Y= = teh

,

Vivace . . 1 |. ) ' . EXAMPLE 13.4 Haydn, Symphony No. 97 in C, i, 14-25

C8 Iv v7 I cadential

pl tg a ee cee et es een sO ee Sse ne ee |g wat | id 6, ————,-+_ | | 8 ||

h Pes fe Che Cf oe oleh .poo i ree . 198

SONATA FORM _ 199

resemble a subordinate theme. In such cases, comparison —_ (Measure 6 could also be seen to group with its following two mea-

with the actual subordinate theme of the movement reveals _sures, thus yielding a 3 + 2 + 3 structur e.)

the former theme to be more tightly knit. 7 From a form-functional point of view, measures I~ 3 are clearly If we cannot generalize about typical characteristics of initiating, yet interpreting these measures as either an expanded nonconventional themes (if we could, they would no longer basic idea or a compressed presentation seems somewhat I fone. be nonconventional!), it usually is possible to situate many vincing. Measures 4~6 bring continuation and cadential func-

; tions, and measures 7-8 are postcadential. The theme is clearly

of them in one (or more) of the following groups. related to the sentence, but that theme-type remains insufficiently expressed.?0

Eight-measure themes. Some main themes are organized

gnt- atio , ; or . ;

in a nonconventional manner but still occupy eight mea- "Tonic pedal, fanfare gestures. Some main themes begin sures, just like the simple sentence, period, or hybrid. Asa with a long tonic pedal, over which may be found gestures

results the aoe ven deste ite focmal invewulavitiee, that evoke a heraldic, fanfare style. Such powerful passages Most often, the grouping structure of the eight measures is are ideal for projecting a a OP» but they often ob

; , scure a clear sense of basic idea and its repetition, or its jux-

asymmetrical, yet the internal units express definite intra- taposition with a contrasting idea. The lack of a conven-

thematic functions. tional initiating function thus makes it difficult to classify

. , such a theme as one of the standard types.

EXAMPLE 13.1: The grouping structure of this eight-measure

theme is 2 + 3 + 3. The opening two measures contain a standard os , basic idea (itself subdivided 1 + 1). The following three measures EXAMPLE 13.4: All the orchestral forces combine in unisons and

are continuational in expression, as the bass line rises from the first a to sound out ‘ 6 mes of fanfare-like ened we texture to the third scale-degree and the surface rhythmic activity of the Sin the fall re chordal Deginning at dentist o, anene “heed ‘0 melodic line increases significantly. The final three measures bring Pin the following measure initiates a cadentia’ Progression teaaing cadential function to close the theme with a half cadence. Although to closure at measure 25: The internal grouping structure of the this main theme is clearly more sentential than periodic, the lack of opening eight measures is ambiguous enough to make it almo st a presentation and the presence of separate continuation and ca- impossible to demarcate a conventionat basic idea and contrasting dential units discourage us from classifying it as a genuine sen- idea. To be omnes the theme has a general sentential quality about

tence, even a highly deviant one. it the cadential function is obvious, and there is a general acceleration of rhythmic activity in the course of the opening eight mea-

EXAMPLE 13.2: The lack of melodic profile in measure 37 implies sures. But it is difficult to distinguish clearly between presentation __

introductory function. In the following measures, harmonic in- and continuation: functions. The theme is thus best regarded as stability, fragmentation, and increased surface rhythm project a nonconventional in organization. strong continuational quality, which is maintained up to the im-

perfect authentic cadence at measure 43. (The authentic cadence Omission of initiating function. Some main themes are is imperfect, because the violin line in measure 43 ends on Ft,the | nonconventional because they lack a clear sense of functhird scale-degree. The tonic scale-degree sounding above onthe _ tional initiation. In such cases, the theme seems to start “in downbeat of that measure belongs to the winds and brass.) Elid- the middle” or “toward the end” that is, with continuation ing with the cadence is a two-measure codetta containing fanfare —or_ cadential functions.22 This formal anomaly has already

motives.” . . oo been seen in connection with example 13.2, in which after a The direct move from an introduction to a continuation, . . duction, the instability of the material thereby circumventing any clearly defined initiating unit, makes one-measure introcucnon, ; a ,

this theme highly nonconventional. Yet despite its irregularities, it immediately CXPTESSeS conanuation function. A main theme

occupies the standard eight measures. Note that the codetta, which that begins even more obviously toward the end has alfills out the eight-measure span, emphasizes root-position tonic ready been seen in example 8.13b, in which an initiating and thus compensates for the minimal expression of this harmony tonic harmony is entirely absent. at the opening of the theme. EXAMPLE 13.5: Lhe slow introduction ends, unusually, on a pre-

EXAMPLE 13.3: The opening three measures are supported by dominant VII‘/V,?3 whose resolution to V° (along with the change root-position tonic, and the move to VI in measure 4 can be seen of tempo) marks the beginning of the main theme. The first fourto prolong this harmony. But the change in surface harmony com- __— measure unit is characteristic of a continuation phrase, ending bined with a marked change in articulation (from staccato to —_~with a perfect authentic cadence in measure 20. The following legato) permits measure 4 to group with the following measure, material, with metrical emphasis on the subdominant (albeit in a supported by V°. A half cadence on the second beat of measure 6 _ tonic prolongation), suggests either a series of codettas or the bemarks the structural end of the theme, and the dominant is further —_—ginning of a contrasting middle.?4 As the music continues, these

prolonged by the twofold repetition of the half-cadence idea in measures (21-24) are understood as a false closing section, and measures 7 and 8. The resulting grouping structure (3 + 3 + 2) _ further continuational material leads to measure 29, where the creates an asymmetrical subdivision of the eight-measure theme. initial continuation phrase returns to create a second cadence (m.

EXAMPLE 13.5 Haydn, Symphony No. go in C, i, 14-33

ae | EA, PrPrr Ooi ddd Sad ddd Od ec

: continuation false closing section . cod. =>b.i. ; ~uJ——* .| ~~ . liddadd r e FF e e ).LE ,» f in °= JfN_17 ». -— NSF BS OO | | 2 21 . ,-f 2°ieeee? Oe {Introduction} Main Theme —S=2= 225:inn. Pry @=====,=== Jaz * 20 1). “QR. reine: icin a Citi is i A RY Sey bo to,\_@ —__ |o> —__ o_o,sets 9, 9 —___ 0 re eS eS oa A a ee ee fe ST——__ ae an i we: 3 sete ttt ttt 8 SESE Ar] CLE CLE ELE reste fet ePereret op Ye =

mre, EL ,

new idea ae ad conn | ITT] JIJ1 JT Jud ioe ESS OE EE SS Nn n..48 ee) eee eee eee }-o = — $5 A @ EG @ GEER BS Dew DB ® EE

‘ae rae # KY rae

E.C.P.

cadeniial [Su h ] e « °anny . e ° |°| 76 — Ss : Au oo} | Shun az 5 : \ | 74 pene

of ° , e bordinate Theme 2

a ee2pee@ae ee. esGEAES2CeES 02 ed2 Se esSE2 yee ESESesEEeeEE0Seeeteses es 2ee 0ee -2 ee 2Oe enEEE ee rea eee ee. C284 b> ss eae 2 Bbee SRee ET eee SS ON eeeee CESee = CR ET ¢TE SSNE - Ewe s~ A, 4 ee >21 ee ¥2 |ee|... eet...1.... ee eee |_|. Peeee6. eee S) EE aEE>, UiEE 3» MG! —_|-2—_. —"_}»— ......_s_$ >? 2ij—_g—_ I o——

‘ ee ° f P t i . 7 e ° bd J) (116) V3 16 IV vig 7) TL,

204

SONATA FORM 205 EXAMPLE 13.9 Mozart, Violin Sonata in B-flat, K. 454, i, 14-31

b.i. dr ~~ . 2eci. 8— fume,’ ¢.e = ..— TN Allegro > — a ce a ce cc cadential

—_—e Bo: T.. :: eddies S Lt aR ShVv45.4 7 I. eresIealOS DS Bua by ee eee ee ee 6 AP > ig V ’ eee

a a ee eee Transitionw/Subordinate Theme 1 Consequent compound basic idea

; |F205 aan jy men a ———p a ©. -® pore FT~e | yyon oad| |#2 ees Ee ee | | —__F) gy oper)

| Sf | continuation —— — TCO.

(lead-in) JSSee ee [Subordinate Theme 2]

; ; ft ial

) 2s —___ Fp le jag¢eten= Sel) eer Fh Wd SEED” EERE Tiana a SE SE A | ee

F. ] 8 . I...

parable to that of an exposition, development, recapitula- _be sure, some slow introductions play down, or even lack, a tion, and coda. Whereas some slow introductions are rela- _ stately character, but they almost always contain something tively short, others, such as those opening Beethoven’s Sec- _ of the uncertain and hesitant.33 ond and Seventh Symphonies, are so extensive as to occupy Slow introductions typically begin with tonic harmony a significant proportion of the movement as a whole. Slow _ of the home key and generally remain in that key throughintroductions usually contain their own prominent melodic- —_ out. Prominent tonicizations and an emphasis on minor motivic material, supported by a wide variety of harmonic —_—s modality (in movements that are otherwise in a major key) progressions. Finally, a slow introduction itself can even are common. In the majority of cases, the harmonic goal is

open with a thematic introduction.}? the dominant of the home key, articulated by a half cadence A notable characteristic of slow introductions in the clas- (or dominant arrival) and followed by a standing on the sical style is the special way in which they unite the expres- | dominant. This harmonic emphasis is most appropriate, of sion of two seemingly incompatible affective worlds: the course, for building up a powerful expectation for a homerealm of the stately, heraldic, and solemn is combined with __ key tonic at the start of the exposition. Frequently, however, the realm of the anticipatory, uncertain, and unstable. The —_introductions close with an authentic cadence that elides sense of solemnity is expressed by the slow tempo, fanfare with the beginning of the exposition.>4 As befits their exgestures, tutti textures, dotted rhythms, and an initial forte _ pression of uncertainty and instability, slow introductions dynamic. The sense of anticipation is created by marked _ are usually loose in formal organization, although tight-knit discontinuities in such dimensions as melody, rhythm, tex- _ theme-types do appear now and then. Many introductions ture, and dynamics, instabilities of harmonic progression, _ are bipartite or tripartite in form (as articulated by cadences), minor modality, and chromaticism (at times extreme). To —_ and some larger ones contain four or more distinct parts.>5

t(Af ee 206 FULL-MOVEMENT FORMS

EXAMPLE 13.10 Mozart, Violin Sonata in B-flat, K. 454, i, 1-15

R=1/2N bil cul (intro,) Onn ae | — ; i — — Largo A, \ r\ A | ag ) as;} ai [-tsow aN e mee’ |S > rz | on 5P presentation compound basic idea c. b. i. (rep.)

:Bb: ;y : =IP . — 7 ° Ff ef — P P 1 v7 I... ;

fj —____¢_|_—__———_ a ff SS Se eeST Gh A ne Be} -O 4 ie | |_|} -8 —, -} 9-0-6 7... U4 0 E.. GE * , r*CE, a Te Chio} Sian Py ey”0-0-0 Uy” Tansoo}(..

erfay ms Nj tt=a55 AT) : ee te ase continuation =cadentlal cont. = cad. (rep.)

iJ | ASE GS WS EE ay ane SESE a

Cttt _ * Get ptt

i oP

f

aa | eas SASS SS reat leans | Pe TT Pr eS RS dij dd diet g it === NESE ye A! ag lla Ue ee gg Lf} | +1] __—_¢ —__§ —___—_____ 4 fehl eg et JERE | Or rr np rn en penn A a rrp np re need standing on the dominan Se M/S ding on the dominant

I Vie“ Vv... uP

———~ [EXPOSITION] a —= = — Allegro ——y, areaser! Friese fe oe eeejes ee| oe 8 eHJT) 7?llee= Ss

— fF S

Se eee 2 ee se . 9 —_ 2: oe Pe Le eee OTT

fPp .yell eemf r mf | ee = Oe Oe f I... PP mf . a

S39 SD SE . ASE ents an GE NESTS AS CA AUT RENTON AEN, AO A CE SA ED ES | COUN CES EY RNS GRE GE CA SEE ND CEE GE:

Many slow introductions by Haydn and Mozart present _ brings greater rhythmic continuity than does the presentation, in melodic—motivic material having no immediately obvious which each of the constituent ideas is followed by a rest. The imrelation to the rest of the movement. But in some of their perfect authentic cadence at measure 7 motivates a repetition of

;motivic , . anticipations ; e at measure 9. have been the primary topic of some . . ; .; on late works, and in many by Beethoven, the slow introduc- mre parase which eventually closes with a perfect authentic ca-

tiona hints ideas remaining that are moremusic fully realized on. Such encebrings ar measure ge , , , , ae . at. The of thelater introduction a standing

fall] h studies of slow i ducti d thus the i the dominant. Since this passage directly follows full cadential clo-

“length studies OF slow intro anda and thus the issue sure, it resembles a typical contrasting middle. But the implied

need not be pursued further here. small ternary becomes truncated when the resolution to tonic at

measure 14 initiates the exposition of the movement, rather than EXAMPLE 13.10: The introduction opens with a majestic fanfare- _ bringing a recapitulation of the opening fanfares.?’ like basic idea. (Each real measure would seem to last one-half a notated measure (R = N], although this interpretation is some- = EXAMPLE 13.11: The opening basic idea (R = '4N), a fortissimo what uncertain, since the introduction does not contain sufficient fanfare motive sounded by the full orchestra, immediately creates material for verifying the status of the notation.) A contrasting idea _an air of dignified solemnity. Note, however, that a degree of uncerin measure 2, lyrical yet somewhat limping and hesitant, ends on a tainty is already projected by this idea and its immediate repetition dominant seventh, thus ruling out a potential half cadence at that in measure 2: the fermatas prohibit the establishment of rhythmic point. The resulting compound basic idea is repeated (mm. 3-4) continuity and metrical definition, and the lack of a harmonic third

to create a large presentation. The following continuation=> raises doubt about the mode. The following continuation clarifies cadential phrase (itself preceded unusually by an introduction) the modality and establishes a regular pulse, yet the character of the

SONATA FORM 207

-oe |eedit) a 8 te EXAMPLE 13.11 Haydn, Symphony No. 104 in D (“London”), i, 1-20

LT ation continuation (2 sntaton b.i. . x

Di ih I ht ttt — d: Y~ Pp — — F: I

Adagio = d — oN ; ™. oo oo a 4 elided

model sequence ae ans, a “NO, a ae ————_ “—\B \ rn od Lo] 9 mee td da edd WiJd - i§—_——1.—) ae ae a ee | ee ae ee ee SS ee ee a eS a a Eras SU er Sb oT US } ARPES? far FE co SO continuation

P“_ — id —n ee

closing section (?) [EXPOSITION}

A \4 4 15 EE 164 dg. J Amn oN rp TI. ded d 4 ere ee(Clr ee ee&? EES Sees Se rT’ ——F =Fee

Sf Pp r Pp —— elided (elided)

d. I Vv (bIIs Vg i) I

(IAC)

ideas is hesitant and unsure (especially with the leading tone dan- The overall form emerges as a highly deviated small binary gling at the end of mm. 3-4). At the same time, the continued use (part 1 = mm. 1-7, part 2 = mm. 7-14), followed by a closing of the fanfare rhythms maintains an impression of the heraldic. section (mm. 14-17). Several unusual features of this interpretaThe continuation modulates to the relative major and closes tion, however, must be mentioned. First, the two parts of a real there with a perfect authentic cadence on the downbeat of measure small binary are never elided, as is the case here. Second, the “clos7. Because of the marked discontinuity of dynamics, texture, and ing section” brings a stronger sense of closure (due to a more exmelodic line from the end of measure 6 to the downbeat of mea-__—panded cadential progression) than does the second part. Such sure 7, it is possible to consider the perfect authentic cadence to be irregularities, of course, are not surprising in light of the nonconevaded. Although such an interpretation is feasible, it is probably _ ventional form normally taken by a slow introduction. not preferred, since a cadential evasion usually motivates a repetition (in the sense of “one more time”) and subsequent true authen- EXAMPLE 13.12: The introduction begins with a compound basic tic cadential closure, neither of which occurs here. (Similar poten- idea sounded by the violin alone. The lack of piano accompani-

tial evasions arise at mm. 14 and 17.) ment immediately creates a textural gap, which adds a degree of The cadence at measure 7 elides with a new thematic unit, one —_—uncertainty to what is otherwise a stately sarabande-like gesture. that brings back the opening fanfare motive. This passage clearly | The next phrase brings back the basic idea, now played exclusively parallels the first one but acquires a looser expression because of _ by the piano, and the immediate shift to minor, typical of an in-

the model—sequence technique at the beginning of the continua- troduction, permits a smooth modulation to the mediant (C tion (mm. 9-10). A modulation back to the home key is confirmed major). Subsequent fragmentation, beginning with the upbeat to by the perfect authentic cadence at measure 14. Asecond return of —_ measure 9, leads to a half cadence in that key (m. 13), followed by

the fanfare idea brings several surprises: measure 15 appears unex- a brief standing on the dominant (lasting to the middle of m. 14). pectedly pianissimo, and the descending leap is enlarged bya step, | The formal situation thus far resembles a sixteen-measure senthus reaching down to the subdominant, which initiates a final ca- tence in which the opening compound basic idea and its modified dential progression. Note that despite the fermata, the dominant _ repetition creates a presentation, followed by a continuation leadseventh harmony of measure 16 is penultimate and that the resolu- ing to the cadence at measure 13. Problematic in this interpretation to tonic at the beginning of the exposition creates an elided tion, of course, is the lack of tonic prolongation at the end of the cadence to mark the end of the introduction. (This final.cadence presentation.

could also be heard as evaded.) At the downbeat of measure 15, the expected dominant of C

208 FULL-MOVEMENT FORMS

Adagio a4 g—~ wr aN . ; — | IN ‘ .a 9e sh J J - d. N EXAMPLE 13.12 Beethoven, Violin Sonata in A Minor (“Kreutzer”), Op. 47, i, 1-27

presentation (7) continuation bi. ci. \ \ ————— ~ sostenuto compound basic idea c.b.i. rep. (varied)

6) a SSS ee a eS ee SS ee ee ee See eee ee Ce ee ee St 7 Oe rT ie SS an ta a oat ae on noe ore See oe on a et oe se he ta ———— rerepl ort) |Stell eaean ais FP PP _° Ge =e "eee eee eee Oe Ieee es eee ¢

eI... Vv Fr-JTe Ans (Ill)

i ionTheme/Transition (? Main (?) standing on the dominant RECAPITULATION

a 33 :eT 70 Ja 2 he 39 ee J. . G ls (LE Oed id ee2ae oeQea ae. A | i EE 7 i, 7 ee |") OT SS a A: La ee oan aes vee Ds en rm 2.46" 2.4. Cees Tee

— ll

pn~e43 ff ES ais© ape eT0 2tTee 0"72 es, ee, *My Sf MER ST UNS eee | Oe fae Sk win =. ee 22 | taolt va: fat eee eeet eae eeasSapien eea eee —— ee a et enter —_— —__ Sa=p°p Q——————___ clided

Oo ' 20 2 ). AEP” 2 ME ES EE GE ED < 2 OE RO ES eee)! 6D LL | Ss CR 2 es Oe ee” a

215

216 FULL-MOVEMENT FORMS

theme-and-variations movement). For these reasons, it is a return following some intervening, contrasting unit, the perhaps more appropriate to speak merely of a “return” of _use of this label in connection with a sonata without develthe main theme rather than a genuine “recapitulation.” opment is problematic. If a development is eliminated, then Sometimes when the main theme returns, its structure is _ the section following the exposition will seem to function changed, and in some cases, a portion of the theme is elimi-_ = more as a repetition than a return.* Indeed, the listener nated.** But more commonly, material is added, function- _ hearing the movement for the “first time” would not necesing as an interpolation, extension, or expansion, especially _ sarily know that the appearance of the main theme follow-

in an A’ section.*? ing the exposition marks the beginning of a recapitulation

Some movements in large ternary form conclude witha = (of a sonata without development) and could just as likely coda, often of great scope (especially in Beethoven). The _ believe that the exposition is simply being repeated accordcoda of a large ternary frequently refers to material from _ing to the norms of sonata form.*’ Despite this theoretical the interior theme, just as the coda of a sonata often “reca- _ difficulty, it seems pragmatic to continue using the term re-

pitulates” ideas from the development.*! capitulation in connection with the sonata without development. In virtually all respects, the construction of this section is identical to that of a regular sonata. Moreover,

SONATA WITHOUT since the concept of recapitulation also includes the notion DEVELOPMENT of “resolution of tonal conflict,” its use here is additionally justified. As its name so baldly indicates, sonata without development is

a two-part form consisting of a sonata exposition followed | Truncated recapitulation. The principal deviation in immediately by a recapitulation, to which a coda may (op- _sonata-without-development form involves a truncated reca-

tionally) be appended.*? Although the sonata-without- _pitulation. In a number of works by Mozart and Haydn, the development form is used most often in slow movements, it _ exposition is followed only by the main theme, whose strucis occasionally found in fast movements of an instrumental _ ture is the same as that in the exposition.** The rest of the cycle, and it sometimes serves as the basis of a single- _ recapitulation (transition, subordinate theme, closing secmovement overture.“ The form is employed most often by _ tion) is eliminated, but a coda may very well be added. Mozart, but significant examples appear in the works of It is interesting to note that with such a truncated reca-

Haydn and Beethoven as well. pitulation, the composer creates a form that resembles a In its general layout, the exposition of a sonata without _large ternary, one whose interior theme has been replaced development is the same as that of the regular sonata form. — by a transition and subordinate theme. When the main Unlike the latter, however, the exposition is never repeated, theme of the sonata without development is built as a small for at least two reasons. First, such a repetition would likely _ ternary (or small binary), the resemblance to a large ternary arouse expectations for a contrasting development section _is even greater.*? Despite their similarities, it seems prefer(which is one reason that in a regular sonata, the exposition —_ able to regard these forms as distinct, especially in light of is usually repeated). Second, the immediate appearance of | how we would experience the form. Until the transition and the recapitulation following a repeated exposition would —_ subordinate theme are perceived to be eliminated from the bring a redundant third run-through of the same basic mu- _ recapitulation, the listener has every reason to believe that

sical content. the movement is a regular sonata (without development). In the regular sonata form, the closing section of the ex- The possibility of reinterpreting the movement as a deviaposition is occasionally followed by a retransition, which _ tional large ternary can emerge only after the fact. helps smooth the connection to the repeated exposition (and thereafter to the development). In a sonata without de- _—_List of works. It has not been necessary to illustrate movevelopment, a retransition regularly appears in order to lead —_—s ments in sonata-without-development form, since the ways the music, without a break, into the recapitulation (see ex. of organizing the component exposition and recapitulation

8.19, mm. 65-67). are essentially the same as in the regular sonata. But for ref-

The recapitulation of a sonata without development is _ erence, table 14.1 lists selected slow movements written in constructed in essentially the same manner as that ofareg- _ that form. ular sonata. The main theme and transition are often altered to prepare for the transposition of the entire subordi-

nate-theme area into the home key. And a secondary "THEME AND VARIATIONS development frequently appears, in this case to provide harmonic—tonal contrast and motivic manipulation in the ab- —_— Like so many terms associated with musical form, theme and

sence of a genuine development section.** Inasmuch as a _—-variations can refer to an instrumental genre, a composifundamental characteristic of any recapitulation is to bring _ tional procedure, or a formal category. Theme and varia-

SLOW-MOVEMENT FORMS 217 TABLE 14.1 Selected list of movements in sonata-without-development form

Composer Movement

Standard Form

Haydn String Quartet in B-flat, Op. 33/4, iii String Quartet in C, Op. 50/2, ii String Quartet in B-flat (“Sunrise”), Op. 76/4, ii

Mozart Symphony No. 39 in E-flat, K. 543, if String Quintet in C, K. 515, iii String Quintet in G Minor, K. 516, iii String Quartet in G, K. 387, ii String Quartet in B-flat (“Hunt”), K. 458, iii String Quartet in C (“Dissonance”), K. 465, ii String Quartet in B-flat, K. 589, ii Piano Quartet in G Minor, K. 478, ii Piano Sonata in D, K 311/284¢, ii Piano Sonata in F, K. 332/300k, ii

Beethoven Piano Trio in G, Op. 1/2, ii

Piano Sonata in F Minor, Op. 2/1, ii Piano Sonata in C Minor, Op. 10/1, ii Piano Sonata in D Minor, Op. 31/2, it Truncated Recapitulation

Haydn String Quartet in G, Op. 33/5, ii String Quartet in D, Op. 33/6, ii Piano Trio in E-flat, Hob. XV:30, ii

Mozart Clarinet Quintet in A, K. 581, ii

String Quartet in D, K. 575, ii Violin Sonata in F, K. 376/374d, ii

Violin Sonata in B-flat, K. 378/317d, ii )

tions is well represented in the works of Haydn, Mozart, The main theme of a variations movement is invariably and Beethoven, as either independent compositions or indi- _ constructed as a small ternary or small binary, the former vidual movements in an instrumental cycle (such as a = appearing only somewhat more frequently than the latter. sonata, quartet, or symphony).°? Moreover, nearly every That the small binary achieves such prominence in themes movement of a classical work employs variation technique — for variation—in most other formal contexts it is used in some way. In slow movements especially, the restatement — much less often than the small ternary—is due, no doubt, of a thematic unit is usually subjected to ornamental varia- _to the absence of recapitulation within its boundaries. Since tions. Thus as both a genre and a compositional procedure, —_ theme-and-variations form brings multiple restatements of theme and variations provides ample material for study.*! the initial basic idea, the composer can avoid overexposing As a category of classical form, however, theme and _ it by using the small binary, in which the return of the basic variations requires considerably less treatment. Compared _ idea then functions exclusively to mark the beginning of with all other full-movement forms, it is the least complex _each variation.** and presents the fewest problems of formal analysis. The The variations that follow the main theme normally adbasic plan is simple: a main theme, constructed as either a _ here not only to its overall form (as ternary or binary) but small ternary or a small binary, is followed by an indefinite _also to its specific arrangement of intrathematic functions. number of varied repetitions. A related formal type uses ‘The formal aspect of a theme, however, can occasionally be two different themes as the basis for variation. Haydn reg- _ varied; three standard procedures are typically used. First, ularly employs this “double variations” form, or, as Sisman _ the formal structure of the theme may change in one of the terms it, an “alternating variations” form,** and several ex- _— variations, usually as a result of changes in the harmonic— amples appear in the works of Beethoven.*? In Haydn’s _ tonal scheme of a minore variation. Second, passages of expractice, the second theme is a inore (or maggiore) whose __ tension or interpolation are sometimes added, most often opening idea is often, but not necessarily, derived from that —_‘ immediately before the final variation. Third, the final variof the first theme. Throughout the movement, the themes _ ation may have appended to it a brief closing section or may alternate with each other and become varied on each re- __ be followed by a full-fledged coda. appearance.

218 FULL-MOVEMENT FORMS

Minore. A classical variations movement normally in- _alter the general formal plan by adding passages that funccludes one variation written in a modality opposite from the _ tion as extensions, interpolations, or links from one variaothers. This minore variation (or maggiore, in the rarer case _ tion to the next. Such an addition typically occurs just beof a minor-mode theme) often changes the original har- _fore the final variation, thus breaking the regular succession monic—tonal organization of the theme. In some cases, _ of variations and drawing attention to the final one by presimply shifting the harmonies into the minor mode can re- _ ceding it with something entirely new. The added material sult in nonsyntactical progressions, and thus new ones must _is often short,*? but it can be a more lengthy, developmental

be written. In other cases, the modal shift provides an op- _ passage. portunity for exploring different tonal realms as part of the

variation technique per se. As a result of these changes in Coda. ‘To provide greater tonal stability for the end of the harmony and tonality, the internal phrase functions are = movement, the final variation is often followed by a closing sometimes altered even while the overall form is retained.** _ section or a coda. Besides serving its usual formal functions, At other times, the small ternary at the basis of the theme is _ the coda in a variations set has the particular function of

restructured to become a small binary for the minore, or breaking the pattern of formal symmetry created by the vice versa.>° In more extreme cases, the minore cantakeona regular succession of more or less equal-size units (i.e., the distinctly looser organization, resembling at times the inte- _ theme and its variations). Thus the coda provides the only rior theme of a large ternary (also often labeled minore).°’ —_ real opportunity for creating the kinds of structural expanFinally, the minore can be altered to such an extent that it _sion typically found toward the ends of classical movements gives the impression of being a variation of an entirely dif- (such as the enormous cadential expansions in the final sub-

ferent theme.*® ordinate theme of a recapitulation). The coda also permits the composer to create a circular effect for the overall form,

Extensions and interpolations. In addition to creating by bringing back the theme (or parts of it) in its original, structural changes in a given variation, the composer can _ unvaried version at the very end of the movement.®!

15

Minuet/TIrio Form

The minuet is the premier dance type of the classical pe- —zos “differ from smaller ternary forms and the minuet in riod. Whereas many instrumental works of the baroque _ that the middle section is more modulatory and more thecontain a wide variety of dance movements—allemande, — matic. In some cases, there is a special type of modulatory courante, sarabande, gigue, bourrée, gavotte, to name the —_— contrasting middle section which approaches the elaboration

most popular—only the minuet survived the major style (Durchftibrung) of the Sonata Allegro.”? Ratz follows shift of the mid-eighteenth century to become incorporated § Schoenberg’s lead by identifying a specific Scherzoform, one

into classical instrumental cycles. characterized by the use of a model—sequence technique in Like baroque practice, the classical minuet movement __ the sense of a core.? , pairs together two different minuets. The second is tradi- But we encounter a number of problems when trying to tionally termed trio, although the labels “Minuet II” or __ differentiate the minuet from the scherzo. First, it is diffi“alternativo” are found now and then. The trio contrasts _cult to determine exactly which pieces from the repertoire with the first minuet in a variety of ways, such as melodic-__are to be regarded as one type or the other. The use of lamotivic content, rhythmic configurations, and texture. __ bels in the scores is no help at all, for many works desigMost trios reside in the same key as the first minuet but fre- _ nated as scherzo seem no different from minuets as regards quently shift into the opposite mode or change toa related __ style and character. Moreover, a number of movements spe-

tonality. cifically entitled “Menuetto” are clearly in a scherzo style.‘ The use of two minuets in one movement creates a = Most problematic, of course, are the many movements that

thorny problem of terminology, for sinuet can be used in at _—_are not labeled either way and that may or may not be conleast three different ways: as a generic term applicable to ei- _ sidered scherzos.

ther of the two minuets of the movement (“all minuets are A second problem with respect to Schoenberg’s proposal in triple meter”); as a more specific term for the first minuet _is that a “modulatory contrasting middle section” featuring

(“the minuet is in major; the trio, in minor”); or as aterm = model—sequence technique is often found in pieces that for the movement as a whole (“this serenade contains two — would normally be considered minuets, not scherzos. Inminuet movements”). In most situations, the context of the deed, Schoenberg himself seems to recognize that fact discussion makes it clear how the word is being used, but at_ _—_ when shortly after the passage just quoted, he completely times it is useful to speak of the minuet proper when refer- _ reverses his position: “It is generally held that the B-section

ring to the first minuet, as opposed to the trio. of a scherzo should be an elaboration (Durchftibrung). But The problem of terminology becomes somewhat more _in fact it often resembles the B-section of the minuet, while

acute with respect to form, because “minuet form” can refer | many minuets possess a modulatory contrast.” , to that of the individual minuets (minuet proper and trio) Given the problems of distinguishing a minuet from a or to that of the whole movement. In this book, I restrict scherzo, I treat in this book the two styles as a single movethe term minuet form to the former definition and.use the —_ ment type. In regard to formal organization, it is impossible

expression minuet/trio form for the latter.! to differentiate them. I refer to the scherzo only in those situations in which a given movement is undoubtedly in that style, and speaking of it as a minuet would be awkward.

Scherzo The scherzo is a variant style of the minuet and features a Minuet/'Trio Form faster tempo and a livelier character. The question of | Although a minuet movement contains two different minwhether or not the scherzo is a unique form, different from _uets (i.e., minuet proper and trio), the full-movement minuet/ the minuet, is raised by Schoenberg, who argues that scher- _trio form is tripartite, because continuing the baroque prac219

220 FULL-MOVEMENT FORMS

tice, the minuet is performed again after the trio. This re- _ plete independence—lies a spectrum of possibilities, in statement of the minuet is not usually written out (unless —_ which the trio stands in a more or less dependent relation the composer wishes to introduce ornamental variations). _ to the minuet. For this reason, it is not possible to identify Instead, the expression “Menuet da capo” (or some variant —_ consistent functional relations among the three parts of thereof) is indicated in the score. We can thus refer to this —_— minuet/trio form, and thus they remain labeled by the relarestatement as the da capo of the minuet. In a few cases, the __ tively neutral terms minuet, trio, and da capo. da capo is followed by a coda to conclude the movement as a whole.®

The individual minuets in minuet/trio form conform to MINUET FORM one of two different formal schemes. Most are structured in

ways that resemble the small ternary (more specifically, the © The vast majority of component minuets in minuet/trio rounded binary); a small number (about ro percent) resem- —s form are organized along lines that closely resemble the ble the small binary. The minuet proper begins inthe home small ternary (rounded binary version). Minuet form thus key and modulates to a subordinate key at some pointin the —_ contains the three fundamental functions of exposition (A), form (just where that modulation occurs is an important —_ contrasting middle (B), and recapitulation (A’). Most of the topic for discussion in the later section on “minuet form”). formal procedures discussed in connection with the small The minuet always closes in the home key with a perfect _ ternary apply without further comment to minuet form. In-

authentic cadence. deed, many minuets are virtually identical to that theme-

Most trios follow this same tonal plan, although they _ type. Yet whereas some aspects of the small ternary appear more often stay entirely in one key. On occasion, the trio _ regularly in minuet form, others are less often found there. remains open on dominant harmony, which resolves to the = Moreover, some procedures of the minuet are rarely, if ever, tonic on a restatement of the minuet. In approximately one- _— associated with the small ternary.

half of minuet movements, the trio continues in the same Since a small ternary functions primarily as a main key and mode as the preceding minuet. In about one-quarter theme in some larger-scale form, its component functions of cases, the trio shifts to the opposite mode, and inthe re- _—_— (exposition, contrasting middle, and recapitulation) are esmaining quarter, it resides in a different key, usually the sentially intrathematic (thus somewhat comparable to, say,

subdominant or lowered submediant. presentation, antecedent, continuation, and consequent). The tripartite scheme of minuet, trio, and da capo is | Conversely, minuet form itself functions as a high-level sechighly suggestive of an overall ternary structure, in which __ tion in the full-movement minuet/trio form.® Thus attenthe trio is a “contrasting” element standing in the “middle” —_ tion must be directed to the interthematic functions of main of the form, and the da capo represents a “return” of the — theme, transition, subordinate theme, development, recaminuet proper. To employ the functional labels of exposi- _pitulation, and coda, which may be expressed.’ Of particution, contrasting middle, and recapitulation, however, proves _lar importance is whether or not a subordinate key is conunsatisfactory, since the structure of the trio bears no rela- firmed, and if so, where and how that confirmation takes tion to a B section or a development and since the da capo __ place. neither tonally adjusts nor structurally alters the original

minuet. It would be misleading, therefore, to relate this Exposition (A

full-movement form to either the small ternary or the sonata. xposition (A) Minuet/trio form would seem to have a stronger rela- _—_ Like the exposition of a small ternary, the A section of the tionship to the large ternary, especially since the compo- —_—sminuet is usually constructed as a relatively tight knit, connent parts of each are largely modeled on the small ternary _ ventional form (i.e., sentence, period, or hybrid) (see exs. (or small binary). Indeed, if the trio resides in a contrasting _—3.7, 3.9, 3.15, 4.10, 5.4, 5.6, and 5.8). At times, the A section mode or tonality, and especially if it remains openondomi- _ is highly expanded and embraces more than one thematic nant harmony, this middle part will function much like an _ unit, each ending with a perfect authentic cadence.’° In the interior theme standing between the statements of amain —_ most extreme cases, the A section is complex enough to retheme (the minuet proper). We must be cautious, however, semble an entire sonata-form exposition.!!

not to equate the two full-movement forms, despite their The A section of the minuet, like that of the small obvious similarities. For often the trio is not at all like an _ ternary, may either remain entirely in the home key or modinterior theme, especially when it resides in the same key _ ulate to a closely related subordinate key. Whether or not and mode as the minuet and is fully closed both formally _ the exposition of a small ternary modulates is of relatively and tonally. In such cases, the complete “movement” seems — minor concern. Because that form normally serves as a main more like a stringing together of parts rather than atruein- —_ theme within a movement, the issue of subordinate-key es-

tegration of those parts into a single form.’ Between these _tablishment arises primarily in connection with later formal two extremes—the trio’s total subordination versus its com- —_ units (such as a transition and a subordinate theme). In the

MINVET/ TRIO FORM 221

case of the minuet, however, the appearance of a subordinate The expression of transition and subordinate theme is key in the A section may well represent the principal tonal = more palpable when the change of key is accompanied by conflict of the movement, and thus the presence or absence _ loosening devices typical of these functions. Frequently, the of a new key is of particular importance. If the modulation — modulation and the cadential confirmation occur in the does occur there, it is interesting to observe the extent to _— same phrase, thus creating transition/subordinate-theme fuwhich subordinate-theme function is expressed. If the Asec- sion. At other times, these functions may occupy their own tion does not modulate, strong expectations will be aroused _ distinct groups. Occasionally, a perfect authentic cadence in for the B section to bring some semblance of that function.'?__ the subordinate key is followed by a second thematic unit When the A section of the minuet remains entirely in _ residing in the same key and confirmed by another cadence, the home key, its interthematic expression is exclusively one _a situation that produces multiple subordinate themes. of main theme. In such cases, the section is relatively short The final cadence of a minuet exposition is sometimes and compact (formal expansion in that section tends to be _ followed by a closing section. In most cases, its content is associated with a modulation). In almost all cases, the sec- entirely new; however, sometimes the closing section con-

tion closes with a perfect authentic cadence.!? sists of prior cadence ideas, thus somewhat obscuring the When the A section modulates to a subordinate key, in- _ distinction between cadential and postcadential functions. terthematic functionality is more complex. Not only willa | This happens especially in a scherzo, in which a sudden main-theme function appear (at least in a rudimentary way), _ change of material for the closing section could disrupt the but a subordinate-theme function also will come to the _ intensity of the prevailing rhythmic drive. fore. The sense of transition may be present as well. The The following examples illustrate some of the ways in extent to which these functions are expressed—the — which interthematic functionality can be expressed by a strength of their articulation— depends on a number of fac-_ —s modulating A section.

tors: the nature of the harmonic progressions in the various keys, the cadences, and the relative degree of tight-knit or EXAMPLE 3.9 (see p. 40): In this sentence form, it is possible to rec-

loose or ganization. ognize the functional elements of main theme, transition, and subA main-theme function in a modulating A section always ordinate theme. Main-theme function is expressed solely by means arises by virtue of initial tonic-stabilizing progressions of _ of the presentation phrase, supported by a firm tonic prolongation the home key. If the music modulates before any home-key _in the home key. The lack of any cadential articulation for the key cadence, main-theme expression will be minimal, and the _ makes the function weak indeed. The extension of the continuaform of the section is likely to be sentential, with its first tion by means of a harmonic sequence is understandable in light of (and usually final) cadence being an authentic one in the _ the phrase serving both transition and subordinate-theme funcsubordinate key. Main-theme function will be expressed tons. Here, the two functions are fused into a single unit. more strongly if the opening music leads to a home-key half cadence, in which case the form of the section is likely to be = EXAMPLE 15.1: The opening eight measures form a hybrid (c.b.i. + periodic, with a matching authentic cadence in the subordi- cont.) closing with a half cadence in the home key.'* The unit thus

nate key. functions as an antecedent in the A section yet can also be seen to The sense of main-theme function is strongest when the express main-theme function in the minuet as a whole. The consemusic residing in the home key closes with a perfect au- quent begins in the home key at measure 9, but the end of the thentic cadence before the end of the section. This early au- OPS0INB compound basic idea resolves deceptively to VI (m. 12),

; ; J which pivots for the modulation into the subordinate key. The rest

thentic cadence, as it can be called, is followed by another of the A section is devoted to reinforcing and confirming this key. thematic unit, one that begins again in the home key and __ The functions of transition and subordinate theme are clearly exthen modulates or one that begins directly in the subordi- _ pressed in this passage, although they are fused together, since it is nate key.'* An early authentic cadence usually closes either a difficult to find a decisive ending for the former and a beginning single phrase of exclusively cadential function or a phrase _ for the latter. that has the formal characteristics of a consequent. Some- The A section closes with a cadential idea beginning on the uptimes the A section is sufficiently complex to yield a com- beat to measure 19 and closing on the downbeat of measure 21. plete “main theme” consisting of several phrases, the last ‘The rhythmic momentum generated by the running eighth notes

: , ; ; pretation is

one of which closes with an early authentic cadence. is maintained when this idea is immediately repeated and exSubordinate-theme function in a modulating A section is tended.'* Where, then, is the cadence? If it is understood to be on

. ; the downbeat of measure 23, the downbeat of measure 21 would

always expressed, at least minimally, by a cadential confir- |. 4, be heard as an evaded cadence. But this inter i

mation of the subordinate key. ‘Transition function also rather unlikely, since the first beat of that measure is easily heard as emerges if the modulation occurs by means of a harmonic the goal of the phrase. Thus it is better to recognize measure 21 as pivot within a phrase. (If a new phrase begins immediately the moment of cadential closure and to view the repeated idea as a in the subordinate key, the resulting direct modulation will —_codetta, in line with the idea that the closing section of a scherzo

not bring any sense of transition). often employs the immediately preceding cadential material.

EXAMPLE 15.1 Beethoven, Piano Sonata in E-flat, Op. 7, iii, 1-24

Antecedent Consequent Allegro ON aN =~ ———; = > ,Sy| |7?4TT g sao | — ff % b9 my 13 a hop — gto ee ere a ee ee ee TS EE O_O ee ee Ee oe eo eo dolce ® f r id f \ ° t ri f f PP —— Main Theme Transition/Subordinate Theme

° rs

compound basic idea continuation compound basic idea continuation

eter tie f art pe fT an mo ~ UST ( [FC] Bb: Lu. SAS FA82, Ammo - (Vv)

cad. cod. (cad?) closing section

At2)i == Se ey J) Tg” 42777) ET yi > ts.=+»... ~The ~~ 8 oPrary a |. iT fT21 gt Siaan TT TL |en edt23 DTan> 'aT

| Porte Fle wr of ———" — NU! —, Coe 1. — FoF r

Ai se he a la OT Bi i Si eT 17 a or. C-rNYYYN? WT eQ.10EfQ€’0”ENaF=»ét>-."”—_—s—_ O_O _ ba ae > eI

(ev. cad.?) (PAC?)

EXAMPLE 15.2 Beethoven, Violin Sonata in F (“Spring”), Op. 24, ili, 1-8

b.i. ¢.i. Alege molto f* e e e jt) e 5gy . aa etN e:)ee 7:eee: °eee e f\y fo > __}-_N ty fe > ~~ Hf F T Main Theme Transition/Subordinate Theme

consequent consequent

r bo ltawsilatt@¢@sesnmaanm | «ane © 2? | gg. | I & fT Ite ih ws «fg tl eke ee ULTUUULULdLL Lda LULL mda ULZULUdLLULUm™ Ue he ey LL Ulla fee

> fF oF P Pb FR E FS FEF OD |

an on voi 1 Cc voi voi (early)

EXAMPLE 15.3, Haydn, Symphony No. 98 in B-flat, iii, 1-20

cadential echo') / a [~ ry f Allegro a g , f; Z TS 4 $ Ts 6 \ 7 d , 9—=| , fi se ee ee ee ee ee F rtrr Main Theme Transition/Subordinate Theme 1 x. ("echo"

ALL Bi =e8 AS =. wd =e ; 7 e: LIV 4 vg {| ———__—__——_ vi v6 —— yp — v4 ———

bee =| P= 7 = =

—_ oN standing onae theTT dominant an {_ AIA, oT Oe ess TS os a =” a ia aa (A UREN aaa | RS GN Wes “SNA “|. a tae + >, 1 Se ir pF Tp. oe SFT BOW. TS —=Eiay__HM”_)])]'.— —-—™V’--—_ 2 a —_——EEO——T—E—EE Eee ee le alo le Le a el ge Vi i ge Ug ane P__f

Bb: {Wv... ¥ ———— ———————ee—

—_—___— Ll

EXAMPLE 15.7 Mozart, Piano Sonata in A, K. 331/3001, 11, 19— 32

model sequence Menuet os" as ————— A ue 19 ‘ y, 22 \ 23 PTT tad 24 26 \ ’Ant ae at) rey et ee eee em ooo yg aN a ee ee ee —¥— RK St t o — — e O F eeeooooooot yg e—____¥-o_+—__ SE OE a ee eo _ ee * 2. Ql I S..°*°$1334-. 21... 2 _1_._ i... sf “”e COD Ls Cera 2.2405 GEE“ Vee ee eee eee S pr | |ponent | cresc. ®eeaa pt f r Pp ? fh crese. B h rod E: Jl eee { I —__ ———_—_—" 7

lenuetto _ —— — rw, Core

6Aeti ee

b: luv vs Vv... Aus] | J 28 ; Rn 30 TR [3 iN Ru > =_— lf — foaa =+fad .i—F—rfp (Il)

QO NW Aé ———_ = A: 1) ————_____—

224

MINUET/TRIO FORM 225 ing devices typical of that function. A presentation in measures cadence at measure 36. A standing on the dominant concludes 13-16 is followed by an extended continuation, which leads to a de- the contrasting middle and prepares the way for the recapitulaceptive cadence at measure 24. A new cadential unit (based on the tion at measure 4o. second half of the main theme but also alluding to the continuation of the subordinate theme) brings complete closure at measure 28. EXAMPLE 15.7: Like the previous example, the B section begins by tonicizing II. But here, Mozart establishes a four-measure model

(mm. 19-22), which is then repeated sequentially down a step

Contrasting Middle (B) (mm. 23-26). A subsequent move to the augmented sixth in measure 28 prepares for the concluding half cadence. The overall for-

The B section of the minuet brings many of the same har- ya] organization resembles the core of a development, although monic, tonal, and formal characteristics of a contrasting _ the section is relatively short, displays little sense of fragmentation, middle in small ternary form—loose nonconventional or- _and lacks the emotional restlessness typical of a core. ganization, emphasis on the home-key dominant, sequen-

tial harmonies, closure in the home key with a half cadence Following a nonmodulating A section. If the A section or dominant arrival. But whereas the B section of the small —_ does not modulate, the B section can assume the role of in-

ternary is relatively simple and short, that of a minuet is _troducing transition and subordinate-theme functions into usually more complex and often lasts considerably longer _ the minuet. Shifting these expositional functions into the than the preceding A section. Thus certain techniques ap- contrasting middle is not, however, required of the form: a pear there that rarely find a place in the smaller scope of the = number of minuets in the literature remain effectively in small ternary. For example, the contrasting middle of a the home key throughout, although there may be a promiminuet might bring an interpolated episode of new materialin _ nent tonicization of the subordinate-key region.'? In cases a relatively remote tonal region. Or a false recapitulation _in which the entire minuet is nonmodulatory, the companmay appear toward the end of the B section. In some cases, ion minuet (either the minuet proper or the trio) usually exthe section may even feature model—sequence technique in _ presses subordinate-theme function.”° Rarely is a subordi-

a manner reminiscent of a developmental core. nate key not established somewhere in the complete minuet/

An important consideration for the B section’s organiza- _tyio form.2! |

tion and functional expression is whether or not its preced- Following a nonmodulating exposition, the contrasting ing exposition modulates. If the A section has presented _— middle most often moves to the subordinate key by emmain-theme, transition, and subordinate-theme functions, ploying phrase-structural processes typical of transition and the B section has the opportunity of expressing arudimen- _subordinate-theme functions. In some cases, the B section tary sense of development by exploring additional tonal re- begins immediately in the subordinate key, thereby omitgions. If the earlier A section is exclusively a main theme, ting a transition. The section may include both an interpothe B section usually provides the fundamental tonal con- _Jated episode and significant model—sequence technique in flict of the minuet by modulating to, and confirming, asub- _ the manner of a core. ordinate key.'® EXAMPLE 15.8: The nonmodulating exposition was discussed in

Following a modulating A section. In cases in which the connection with period form (see ex. 4.10a). The B section begins exposition of a minuet is modulatory, the B section is free ei- with new material organized into a compound basic idea supported ther to touch on other tonal regions or, as is often the case, by submediant harmony. This sudden shift to VI, a standard signal to return to the home key and conclude there with domi- for transition function, is found at the start of many contrasting nant harmony. The phrase-structural organization tends to —_—‘ ™iddles.’* A brief model-sequence pattern (mm. 15-16) brings a be loose and nonconventional, with an emphasis on continu- modulation to the dominant, which is confirmed as a subordinate

. . .; : key by (fragmentation, an expanded cadential progression in measures 17-20. ational traits model—sequence, ; —pedalA : . ar ; , short closing section turns into a retransition harmonic when the tonic acceleration). Brief tonicizations of variouskey regions occur f dominant the subordinate kev home b domi key f the at home k; _ of the subordinate becomes of the mea frequently, although it is uncommon for the sectiontocon- _,,. , 3. firm a development key. In the simplest cases, the B section

consists entirely of a standing on the dominant. EXAMPLE 15.9: Following the home-key cadence closing the A section (shown in ex. 5.8), the B section begins with a four-measure EXAMPLE 15.6: The B section quickly tonicizes the supertonic re- phrase that quickly modulates to the subordinate key as initially gion using motivic material from the beginning of the minuet —_ confirmed by the dominant in measures 11-12. This phrase thus (see ex. 15.3). Measure 25 brings an interpolated episode, marked _serves as the transition, after which a genuine subordinate theme by a new melodic idea, an abrupt shift from forte to piano, and an begins in measure 13 with a new presentation, followed by a conimmediate move into the remote region of Ab major (VI of the tinuation=>cadential phrase in measures 17-20. A brief retransisupertonic, C minor). Measure 31 restores the forte dynamic and _ tion brings back the home key and prepares for the recapitulation initiates a return back to the home key, as confirmed by the half —_—at measure 25.

EXAMPLE 15.8 Haydn, String Quartet in G, Op. 54/1, ili, 11-26

bi. ci. mod. seq. . . . dr Allegretto 1e| > °© Ge4-O J._ \ . °|} ft.ate;EEEa| j!6e___|_ Eee Anus Gee }—_#e— .¢ _}e compound basic idea continuation cadential

i(VI) — 4 eee a gg ttt ee CF° Si eD:(VY) *IVSet .ene ’ECP. °PTsfi) e:“TO 1...CL (AS) =erWC Transition/Subordinate Theme

Ky Tr 4 9 — 9 9 Pe a aay by See oe. Ge eee Sars ee oe | _ ft ej Doe eee

— — aa —~ ,Se,a1-1 ar! antsat , . ay ‘.. 5 ' D WP : Ge “>oe Ts eS Ae a ee ae | LST - a cans e PnneSee SO » eSEeSO° NO bd NS e aeSaA¥CSean a| closing section =>retransition -a as

{ f vriiv s f f if if f f

EI AE A AS SEE AR A A EE A AE AS OLE A A A E,W GR SE OE”. CE Sf SS | —_

G: (v7 ——________—-_ I! ... “8 4 . ‘

(Vv)

a > = | oa Oh ee ep 9

; EXAMPLE 15.9 Haydn, Symphony No. 87 in A, iii, g—26

Transition Subordinate Theme oo=> presentation continuation Menuet 4 fs | Fi0= J SEE ; ,M J = 12 \EE man3 =:aae i. Aut .“|”ZeT ee ee 9eee Ee

reilf = rrr, Pitt LE LL LL A: I... E: V-——_————————__ ll...

——_ o_ r> >

cadential retransition

rr frre eB Fp eit ff VU PN f Sf ~T AY?., Vv I, fz

ay ee Ed — 20 21 a : omnes a a a? }—}—_4—,_ | 24 peep 25 (ipmns= G6 06 Oe We

S32) YT TE Ci Aen: | CS Ts Se ae SESS en A GN EE A AS EPC I CRS WE OS

. EXAMPLE 15.10 Haydn, String Quartet in G, Op. §4/1, ill, 33-44

continuation mod. ? seq. ?

Allegretto ro 7 — > f~ EPs ~ & bby t | i | fa dt pdt TT» Fo) fe | tee OS — 4B ete ot 9 9 9 tS oeenee

. °dec.Pp f 1 . . | . ; cad. A A”

Sf is- ,G: id °VI bd bd e ° °116 ° - ° eving ° e ° Sv§ ° eve ° ° .P If iv6° °vid

226

MINUET/ TRIO FORM (227

Recapitulation (A’ ) music suddenly shifts to minor, and the deceptive resolution at measure 54 brings bVI. A subsequent development of this harmony

The A’ section of minuet form recapitulates the material into a tonicized region, using the gesture of measures 13-14 (ex. initially presented in the A section. In many minuets, this 15.1), eventually leads into an interpolated episode whose impersection retains the basic phrase-structural design of the ex- fect authentic cadence at measure 62 actually confirms }VI as a deposition. Unlike the small ternary, which frequently con- —_— velopment key (in the recapitulation!) A retransitional passage tains a compressed recapitulation, that of a minuet is sel- _ (still part of the episode) returns the music to the home key, as ardom shorter than the earlier section.?3 In fact, the minuet’s _ ticulated by the half cadence at measure 70. The sense of this half recapitulation is much more likely to be significantly ex- cadence as a rhythmic goal is undermined, however, by the pause

panded. In addition, it frequently includes a new closing immediately preceding it: it is as though the music has withered

te 24 found away, and thus dominant sounds more like a new section, not intheofthe exposition. ; aabeginning , . , one ., than an end. (The gesture the dramatic pause is itself hallmark The substantial expansion in, of thethis recapitulation this scherzo: scherzo; is seecreated m. 54€ and ex. 15.1,4 mm. 4, 5, 12.)

by loosening devices typically associated with a subordinate A new presentation, beginning with the upbeat to measure 72,

theme. New material may also appear in an interpolated given a modified repetition at measure 76. A continuation=> episode. The deceptive cadence is a particularly favorite de- —_cadential phrase follows (m. 80), which is extended by a series of

vice for extending the form; indeed, this technique is per- deceptive cadences. The concluding cadence at measure 86 (no haps found more often in a minuet than in a sonata, in _ longer ambiguous as in the exposition, ex. 15.1, m. 21) is reinforced which evaded cadences are more commonly used to extend _ by an entirely new closing section. From the point of view of in-

cadential function. terthematic functionality, the recapitulation is expanded in such a

The tendency to expand the recapitulation can be ex- WY that transition and subordinate-theme functions are no longer plained on a number of grounds. If the A section is shorter fused (as they were in the A section) but, rather, are given their than the B section, as is often the case, then bringing an own distinct thematic units (transition, mm. 51-71; subordinate

, , . . theme, mm. 72 -86).76

equally short A’ section might not give the home key enough

space to win the battle of conflicting tonalities. And so an expanded recapitulation, one that features the cadential rein- = Coda forcements typical of a subordinate theme, might be necessary to restore tonal stability to the form. The addition of a _As part of its expansionist tendencies, the recapitulation can new closing section (and even a coda, as pointed out in the _ include a new closing section, as just illustrated in the previnext section) also helps in this struggle for home-key pre- ous example. The expansion is even greater if the material

dominance. following the final cadence is organized in a manner suffiAnother, somewhat related, explanation sees the expan- ciently complex to require cadential closure. We then can

sion of the A’ section as providing a kind of “recapitulation of speak of a coda to the minuet itself. Codas are most likely to

the subordinate theme” to match the expression of that func- | appear when the recapitulation is modeled closely on the tion in an earlier B section. In other words, if a nonmodulat- exposition. The coda then can take over the role of expanding exposition represents main-theme function and the con- ing the for m, for the same purposes discussed in connection trasting middle brings a subordinate theme, then simply _ with an enlarged A’ section.

bringing back the main theme once again in the A’ section For the most part, codas in minuet form display the will leave the latter theme unrecapitulated. An expansion in same basic features and functions as those described in the A’ section does not literally recapitulate the earlier subor- chapter 12. But unlike most other forms, in which the coda dinate theme, for the section must model itself on the exposi- ‘iS entirely separate from the recapitulation, the coda in tion, not on the B section. But the looser phrase-structural minuet form is more intimately linked to the latter, since it techniques can suggest such a recapitulation nonetheless. is included in the repetition of the B and A’ sections together (i.e., the coda precedes the double-bar and repeat EXAMPLE 15.10: The A’ section follows a course identical to thatof Signs). the A section (see ex. 4.10a) until the deceptive cadence at measure 34.75 What comes next is a newly inserted development of exposi- EXAMPLE 15.12: The A’ section is structurally identical to the A tion motives with a hint of sequential organization; the section _ section (see ex. 5.8). As pointed out with respect to example 15.9,

closes with the expected perfect authentic cadence at measure 44. the contrasting middle brings transition and subordinate-theme Had the recapitulation finished with an authentic cadence at mea- functions, the latter closed by an expanded cadential progression. sure 34, home-key expression would not have been sufficient to Thus the cadence confirming the subordinate key (ex. 15.9, mm. overcome the more powerful subordinate-key confirmation in the 17~—20) is considerably stronger than that confirming the home

B section (see ex. 15.8). key in the recapitulation (ex. 15.12, mm. 31-32). Consequently,

Haydn follows the end of the A’ section with a coda made up of a EXAMPLE 15.11: The recapitulation opens with the eight-measure _ new six-measure unit, which is repeated identically (mm. 39-44). antecedent of the exposition (see ex. 15.1). At measure 51, the = The principal compensatory function of this coda is to give greater

EXAMPLE 15.11 Beethoven, Piano Sonata in E-flat, Op. 7, iii, 51-95

Transition interpolated episode - ----------------------+----- +--+ eee ee eee.

ra |ot | aEF oh Ee set oh | st 3) | be9 _———— a, he | byoom™ A)51 8 ee 9 EE 8 fF te EB OO

4 = r-_ if _ = °r4 F 4 4 pe Ty é= be " tt. e — DP P (modal shift) : (bvI) (retransition) i. — —» — A 630 ————— ee) 70 TI |)a,72 )) HE. Pee. Ree ne ee , decresc. PP erese. Ee SS Os SS . »rVI.ff6 VI. |— Oe ° 7 3: fr fi- of of Eb: | ——_____-_—__—_———- V VI cb: I Subordinate Theme presentation

CI a a a a aa a a a ee ede eo ee ie | a ces EL Sao ——— ces

© 2)— CRASS OE er + RE TS Pe(A Pe aoe SS en, SE SR EE CE——} Ss Oe GE— SE Os es eee ee ee .. 2$f} ee ., -fr pb a} CA, pe)EDefEntat SE” OnSEaEDa ee{aESySE———} |}O..—} ——}

Eb: Aé ——________ Vi

presentation (rep.) continuation => cadential (extended)

dec. cad. dec. cad.

closing section

6 Lueee A . eee =f . st| ad he PO BoE see “)"’ |, ———5 2 as EtBERPa eee eee ¥ wa... "ee | 2np... eeeee:eee = |__}._ _ Ee

—————] 5. : : s.

Be

EXAMPLE 15.12 Haydn, Symphony No. 87 in A, iii, 31~44

ay —~ —~ Menuet ~Coda 2 ~ob Jz_ a— nee PTT 32 3h etn) NOT TD | KO se =atl Ra P|rw de 3

rl 3I Vv f fI...[ |16ope f rrr A: 1g vg 7) I.i

ad SS Ee ae Oe OT Se On a Oe GO SO OO A A A OA OO AA A CA ae Ae a Lk Sa? SS c= sr oa Sa So Soe

Ss rr = _ SS = ~~ ON = = | I> a im 6al eee? ht =eg f4,ee “9 Ud a SS rrr 16 Hg vig 7) I E.C.P.

28 22 ae a aT fh a on ee on pes—)—} —__-_} | 4 _} ____, Ww

E.C.P.

228

MINUET/ TRIO FORM 229 cadential weight to the home key by means of an expanded caden- _laxation.2? In most of its musical parameters, a trio is usually

tial progression. simpler than its preceding minuet: the harmonic vocabulary is more diatonic; the rhythmic patterns are more uniform

Binary Minuet Form | and continuous; and the texture is less dense.

With respect to formal organization, the trio generally Whereas most minuets (and trios) are constructed accord- _folJows the norms of minuet form but differs from the min-

ing to minuet form just described, a few are built along yet proper in a number of ways. The trio tends to be lines that resemble the small binary form. This binary min- _ shorter and more symmetrically formed; expansions are uet form contains two parts, each of which is repeated. In —_— more likely to be kept under control; and codas occur less most respects, part 1 resembles the A section of regular —_— often. Many trios, in fact, assume the highly symmetrical

minuet form, except that it more frequently closes with a _ proportions of the basic small ternary and small binary half cadence. The second part often contains material that —_forms, for instance, 8 (A) + 4 (B) + 4 (A’).

functions like a contrasting middle, but this part does not The most important formal distinction occurs when the include a recapitulatory articulation (a return of the open- —_ composer attempts to forge a stronger sense of overall mining basic idea in the home key). Although the opening does _yet/trio form by making the trio more dependent on the not come back in the normal boundaries of the form, this _minuet proper. The methods used to achieve this structural material may well appear again in a closing section to the —_ dependence include changing the trio’s mode or tonality, second part or even in a coda, thereby fulfilling an obvious —_adding a retransition, and leaving the trio formally incom-

compensatory function. plete. By varying the modality or tonality (or both), the trio becomes somewhat dependent on its surrounding minuets, EXAMPLE 15.13: The minuet opens with a four-measure phrase —_—_for the change motivates a restoration of the original mode

supported by an expanded cadential progression. The “early” au- or key somewhere later in the overall form (namely, in the thentic cadence at measure 4 marks the end of main-theme func- gq, capo). If the tonality changes, and especially if the tonal tion. The next phrase continues in the home key, and a strongly on is relatively remote. the composer mav add a passage

continuational passage at measure g directs the music to the domi- i Bron is retauvely F - P my passag

nant, which is confirmed as the subordinate key by the cadence at linking the end of the tr10 with the beginning of the da measure 12.27 The first part of this binary minuet ends with a brief ©#P® This r etransition, which often anticip ates motives of closing section, whose melody reopens by rising strangely up to the minuet, aids considerably in integrating the form.”

the fifth scale-degree. The trio can become even more dependent by remaining The second part starts out with a contrasting middle made up _ structurally incomplete. This situation is very similar to

exclusively of a standing on the dominant (which lasts until the end — what typically happens at the end of an interior theme in of m. 24), after which the music of measures 5~8 returns in mea- large ternary form. And like that theme, a variety of techsures 25-28. The subsequent continuation (m. 29) is adjusted tore- niques can be employed to inhibit closure of the trio. For main in the home key, and the second part concludes with the per- example, the A’ section may initially cadence but, when

fect authentic cadence at measure 32. The earlier closing section repeated, remain open on dominant harmony (sometimes then brings its strange rise to the fifth degree at measure 36. But following a deceptive cadence).3! Or the recapitulation can

en st part, a springbo cap - 2

rather than letting this degree “hang in the air,” as Mozart did at the beg; 5 P P" . d of the first part, he uses it as a springboard to recapture the egin normally but then get stuck on a dominant, which

minuet’s opening phrase. The relocation of this phrase to a final eventually marks the trio’s har monic end. Sometimes the position is particularly fitting here, not only because it makes up for _ T!0 is truncated (thus consisting of the A and B sections its not having been recapitulated, but also because it now finds its only), with the dominant of the B section leading back to the

more natural location as a cadential unit that closes the preceding da capo.*? If the trio is set in a key different from that of the , material (rather than being the opening phrase of the minuet).”8 minuet, then the harmony ending the structurally incomplete trio normally is dominant of the minuet’s home key.**

TRIO EXAMPLE 15.14: After a minuet in C major, the trio shifts to the minor mode. The music leading up to the double bar ends with a

Most of what we have observed about minuet form holds for ‘lf. cadence in the home key. (This half cadence suggests that the the trio as well. This part of the movement, however, can ex- section could be interpreted as the first part of a binary minuet hibit some stylistic and formal characteristics that distinguish form.) A contrasting middle begins with model ~sequence tech-

. . from : : nique and closesproper. with a premature dominant arrival at measure it the Firstonand a trio . ; . 77 ; _ 1. oa andminuet a subsequent standing the foremost, dominant. But rathermust than bring-

provide a distinct element of contrast while still maintaining ing a recapitulation of some kind (or some other continuation) and the same meter and tempo. But whereas the concept of “con- eventual closure in C minor, the marking “Menuetto D.C” intrast” in classical form usually entails greater structural com- _ structs the performers to return to the minuet proper. The trunplexity and emotional intensification, the trio of a minuet cated trio thus remains structurally subordinate to its surrounding movement generally brings a quality of simplification and re- _s minuets.

EXAMPLE 15.13 Mozart, Serenade in D (“Haffner”), K. 250/248b, iii, 1-40

Main Theme Transition/Subordinate Theme

cadential (presentation 7?) (continuation ?) continuation

Menuetto ,Ga”5 f°Jnee5te ee___| , Os ence, 5 Gee. 0) A> —te—_d—F_ 5 [=Oe ee [—~ ,a, -—+—+a 1 : ae iy «4SEO” ee) :Sas EdSEA 5 la—° as ee ae: . os

f rn eneee” rfF ee ane °°°4

g: I Ig Vv? I 6 E.C.P.

(carly)

DQ Jd seth fj dd,

a—™ rN av Ajit 12 . 13 , | 6 17, °4 ye AS — (reat eeP ee eee Pt ST oT Sy a ee °..ee«S closing section ‘ Standing on the dominant

do... — — 8

oD ie et ge) — _—-_|_ Ga eg ae ee f————} —_—~-_)y---—--_ fs — a —b hd [o-_o4-—_4_—_ CT PF Oe eee dL eg rr? _ I ee

rep i ee i tt f i i ee ee ref (presentation 7?) (continuation 7?) continuation

ny 12302 + ou 25 28 whe 4p us bg bg 2g

Sg ci. oa — y 4 Lo ty —_}--—o fo ——— tr pf Lo ft ot a ot + — of he —t 4 of Ge 7B w.48n ewes

ee 16. “@—_L_L___a_ee “@_LL_llLLULES” I Coda

—~t ifid JJ23Gf iran > 36 37 iJi¢ Jo, los — eg SS ee closing section =compound basic idea cadential (fr. mm. 1-4) r~

* 2B 0) SE EE SC Wee Eee Es Eee CP” SE” 2, Ee . i JE Ge |

5—_a ° e e e I

Pre Trp rere fee

[7] [2] (incomplete) Allegretto Fii re re bha Ak ae a ; . 7ite . om model s7-£ BD a yg’ oe a hA: OG 69es =i aa oar ===. = = SS SS SS ee eee = eS ee See EXAMPLE 15.14 Haydn, String Quartet in C, Op. 20/2, iii, 57-86

eT, "ov Oey * a eg et re rr re ey ontrasting Middle

> ONE > Wit Gs | Ge es 0 L.A Le Ae AOE 4 ee Ae Gee we! ee = Se ; es 2 es 0 Se ee eee ee ee ee eee eee xawam: 2 ee ee

> a te DS a, T ‘os ——— ——— -———— cadential] compound basic idea

Ee ae i eee a, ee ee SS eo a Se Se Re aN ae Se ee ee ie eS ae Se Bb: I eb: |

EXAMPLE 16.4 Beethoven, Symphony No. 3 in E-flat (“Eroica”), Op. 55, ii, 105-15

) ogPope ES ee = ad — ES 0s ‘he + , 17) od br +f £2 = ¢ 7

Adagio Sotto voce ——

==5 > ==3 3° ==> sis 4 —) IC o bli *h ‘+ toa

in. FV H™_#+~0A@Nn’™"”"“*.—.-NN EEE eee ooo ee ee ao .(/2A2-znr--’0N--7>O—~”—=2-—=2——__KT LS" i Seo]

[Couplet 2]

be: —— a re Et I ae es YS 5f% gp bemrpige = p ; *f ™ 1 A_| 112 aa aii an |. ae =

y:

elided

dence, after which couplet 2 starts immediately. In the case _is a subordinate-theme complex. If couplet 1 is an interior of an incomplete refrain, the couplet may start after anin- —_ theme, the second couplet may also have that form (in a difternal cadence, or the refrain may be extended to become a _ ferent tonal region). For the sake of contrast, however, it transitional passage leading to the new key of the following — may instead resemble a development.

couplet. An interior theme for couplet 2 can reside in any of the EXAMPLE 16.3: The second refrain is incomplete because it con- standard tonal carb M minore (favored PY faye), sub sists only of its modulating A section (the complete refrain, a small omunant (favored by Mozart), and submediant. ous ternary, was seen in ex. 6.6). Although the final cadence (m. 60) of = 4% Interior theme for couplet 2 can be formed as a complete

the incomplete refrain 2 is initially understood as authentic in the small ternary (or small binary), frequently—indeed more new key of Bs, it can be heard as a reinterpreted half cadence inthe | often than with couplet 1—the theme remains incomplete home key of Eb when the second couplet, a minore, begins at mea- — in some way. In addition, it may be based on one of the

sure 61. other tight-knit forms.!> Like the first couplet, the end of i, . theRefrain second oneremains brings a incomplete retransitionalwhen passage, either EXAMPLE; 16.4: the which music , ; follows the 2close of the interior theme or makes up its. .last moves toward the subdominant region at measure 111 and cadences h

there at measure 114. The beginning of couplet 2, a development- parase. oo like fugal passage, elides with the end of the second refrain. Couplet 2 Is sometimes organized in a manner that cannot be easily assimilated to the category of interior theme.

, Such a wide variety of formalor procedures can be found at Couplet 2, Interior Theme rar y preee) ; ; ave this point in the form that generalizations are difficult to Development-like Organization ; ,

make. Most such cases have a certain development-like The second couplet of the five-part rondo is usually orga- quality about them. Indeed, a few are organized along the nized as an interior theme, especially when the first couplet _lines of a true development section.'®

RONDO FORMS 235

Refrain 3, Final Return couplet 3: interior theme, IV, small ternary of Main Theme; Coda Mozart, Clarinet Trio in E-flat, K. 498, iu: The final return of the rondo refrain usually brings back the couplet 1: subordinate-theme group (no transition)

original structure of the main theme, although an abridged , -aterior th VI lt

.; « ds gy . interesting to note, however, that except for the general 7

or incomplete version occasionally appears instead.!”? We couptet 2: interior theme, ¥'!, smal temary might be tempted to consider the final return of the main couplet 3: interior theme, IV, small ternary theme as a functional “recapitulation” of some sorts. It is Beethoven, Violin Sonata in A Minor, Op. 23, iii:

sense of return (defined as a restatement following an inter- couplet 1: transition/subordinate-theme fusion vening contrast), few other recapitulatory aspects—such as couplet 2: interior theme, maggtore, incomplete form

tonal adjustment,;or, secondary normally or ; couplet 3:development—are interior theme, VI, small found when the rondo refrain comes back for the last time. pe 3bina oo Y

Here, therefore, as in the case of the third part of the large ternary, it is perhaps best to characterize the reappearance

of the main theme as a functional return rather than asa SONATA-RONDO full-fledged recapitulation.

&pqyy

Following the close of refrain 3, the rondo may end with The majority of rondos in the classical repertoire are writa new closing section or even a full coda. (If the refrain is ten in sonata-rondo form. Most of these are by Mozart and incomplete, the coda usually follows without a break in tex- | Beethoven, with only a small number by Haydn.?! Because ture or rhythm.)!® The coda, which may be quite exten- _ of their complex organization, sonata~rondos are used alsive,'? often has strong developmental qualities, introduces most exclusively for fast finale movements, rarely for slow new material, makes reference to earlier couplets, or even | movements.”? As its label suggests, the sonata—rondo com-

brings additional statements of the refrain. bines features of the five-part rondo (with its regular alternation of refrains and couplets) and the sonata (with its

Seven-Part Rondo tripartite organization of exposition, development, and re. enlarged ; capitulation). The resulting structure, summarized in table The five-part rondo can be by adding a third coupe ) 1 . ; .; 16.2, is perhaps the most complex of the classical forms.

plet and a fourth refrain. Only a few works in the classical ; ;

. . ; Thethis rondo aspects of sonata—rondo form are fairly obvirepertory follow procedure, which creates what is tradi; 7com.; . ous. The sonata aspects, however, require additional tionally termedFirst, a seven-part rondorefrain (ABACADA). The addi; aw : ; a . . eercouplet ment. theconstructed initial and couplet constitute tional is usually as an interior theme, oe .tonal . sonata exposition, except that this exposition isre, never reone whose region and formal organization contrasts ar . ; and ; Saree ; peated, as it is in regular sonata form; the third refrain with those of earlier interior themes. The following works ; me ; ; pee: couplet constitute a complete recapitulation of. the prior demonstrate various possibilities for the three couplets of a so 20 exposition. Second, when couplet 2 is organized as a devel-

seven-part rondo: i .

opment rather than an interior theme, the overall form is

; - wee considerably a sonata than a rondo. unHaydn, Piano Trio more in D,likeHob. XV:16, iii: , Finally, y ; . Ys

let 1: interior th . ; like a regular sonata, the coda is a required element of

couplet 1: interior theme, minore, small ternary sonata—rondo, because that section includes the final return

couplet 2: interior theme, VI, small binary of the main theme.

| | TABLE 16.2 Sonata—rondo form

Rondo Term Formal Function Tonal Region refrain 1 (A) exposition of main theme I refrain 2 (A) first return of main theme I

couplet | (B) exposition of subordinate-theme complex Vv

couplet 2 (C) development or interior theme various or IV, VI, minore

refrain 3 (A) recapitulation of main theme I

couplet 3 (B) recapitulation of subordinate-theme complex I refrain 4 (A) coda (including final return of main theme) I

> as a ee aS | (ee A ee Ck fSeJSP 7a a TScresc. | FCTaOC ee, EXAMPLE 16.5 Beethoven, Piano Sonata in D, Op. 10/3, iv, 15-26

[Transition] Subordinate Theme compound basic idea bi Couplet 2

end 4 6 P 4 6 cresc. AR

Allegro —— —— nn ' 4—_— Tdi sg PPPEPSP dd—_ duisteee TTGSeS ees I| rnST a pel ‘ag ) Gn? Ge eee hdd ) GE ee Sie ee Wee Ge 2, Ge a yp SY | oye CURR AS

SS a CT a io _—_ =o * ————— oe ea ae ee a | — all ed

A: Vv? 4 16 oSO of “CS ee ee ayo| QE —e EE ts £7 | leff| he =o| ees ‘A Ch2Pa tt retSFT te thnor otetd2 ate ut | abe SE Ae (V) dominant arrival

compound basic idea (rep.)

c.l.

Ieee TRB TO ne a V3 TPP I V3Ty1§ ———_ [Refrain 2] {Main Theme]

bi.

DSS (retrans.) f asea_ ’ Ayu — - —#} he | | uh %

eo. _o . — —

A * QIN OS _: A” AN NE OER UNSAID EDR D: (v6 § ——___—__———_ |...

(1)

EXAMPLE 16.6 Beethoven, Violin Sonata in D, Op. 12/1, iti, 58~71

[Refrain 2] Couplet 2

m=$8 oN antecedent . :5;——~ — Allegro . a ° ° J ° ° . . Ay || 60 ) fy | ot | ol bh , a ?ee a To cea ww ca ee | D: d — IPydt. te Cc Citi Gdid Vv... DEVELOPMENT

[Main Theme] Pre-Core (transition-like) if

continuation (std. on the dom.} of _ tf ——_~_ pil °lA 7 °: Oe bs " 2——~ =oonllsEee _ A coe°ee Oe Lp oHott OThe lh N= =hr epeos b ae += ae: Ag ee ee he st ee (Se a ea ee ee ee ee ae ee eee ed ee

— —(bitty F. V crese.

PILL SCL prrrrt iaaaeaddd Cor LO LL} LL CLL pee

236

RONDO FORMS 237

Refrain 1, Exposition of Main Theme out in the exposition that the listener can confirm an interMuch of what we observed in connection with the main ? retation of rondo form. In the maj ority of cases, the re frain returns intact, but abridged and incomplete versions

; . ; are common also.

theme of the five-part rondo holds for the sonata—rondo as 6

well, especially the requirement that the theme close with a perfect authentic cadence. Sonata—rondo forms, however, generally employ a wider variety of main-theme types, al-

though the small ternary and the sixteen-measure period Couplet 2, Development tend to be favored. Frequently, the refrain proper is fol- © Interior Theme lowed by additional themes, all ending in home-key au- — The second couplet of a sonata-rondo normally takes the thentic cadences, thus making up a main-theme group.” form of a development section or an interior theme. In addition, it is possible to identify a deviation that is employed

Couplet 1, Exposition of , exclusively by Mozart and that I term a double-region couplet Subordinate-Theme Complex (because of its being set in both the subdominant and sub-

a. . mediant tonal regions).

In many sonata—rondos, the initial refrain and couplet 1 to-

gether form a regular sonata exposition. ‘The main theme is Development. When the second couplet is organized as a followed by a transition, usually modulating (but sometimes development, it normally contains a transition-like pre-core nonmodulating), and one or more subordinate themes. followed by one or more cores. In place of a core, the comThe closing section of the subordinate theme is always fol- poser may substitute a pseudo-core or some other loosely lowed by a retransition leading back to the home key for organized thematic unit. In some couplets, the pre-core is the first return of the rondo refrain. In many Cases, this re- omitted, and the development begins directly with a core transition is relatively long and anticipates the basic idea of (or core substitute). The development usually ends with a

the main theme. standing on the dominant of the home key in preparation As in the five-part rondo, the establishment and confir- for the recapitulation of the rondo refrain. maton of the subordinate key in a sonata—rondo exposition The development can follow on refrain 2 in a number of are sometimes significantly weaker than the sharp dramati- ways. If the refrain is complete, the development will begin zation that this tonal event usually achieves inaregular yy a unit that functions asa pre-core, one whose organisonata. Thus the transition is frequently eliminated orelse sation resembles a transition. That is, the unit opens in the fused together with the subordinate theme. In addition, the home key and modulates to a new tonal region for the start subordinate theme may be relatively short or incomplete in or the core (or substitute thereof ). This transition-like prevarious ways. In a number of rondos by Beethoven, the sub- core is usually based on prior ideas, but also possibly on ordinate theme lacks cadential closure (a strict requirement new material. One logical strategy brings back the original of sonata form) while the music moves without interruption transition (from the beginning of couplet 1), which eventu-

into the retransition.” ally moves to a new tonal region.?” Another common pro-

. cedure is for the refrain (or some part of it) to start over nant arrival in the new key of A major. The subordinate theme : . , . : . EXAMPLE 16.5: The transition ends at measure 16 with a domi- again but then lead into new material. In both these techbegins in the following measure and consists of a compound basic maeques, a shift to minor typically signals that the previous

idea supported by the progression Vi-IS. The phrase begins to °XPOsition will not be repeated and that a new couplet is be repeated at measure 21, but following the melodic high point under way. at measure 23, I° of the subordinate key is converted into a V$ of the home key, which, following the fermata, leads toa return of | EXAMPLE 16.6: The rondo’s main theme (see ex. 5.3) reappears in-

the rondo refrain. This extremely incomplete subordinate theme tact as refrain 2. The theme begins to be repeated at measure 60, consists essentially of a weak initiating function (weak because although the immediate shift to minor reveals that we are not the prolonged tonic is inverted) followed by a brief retransition. hearing the repeat of a sonata exposition but, rather, the second reContinuation and cadential functions are eliminated from the __frain and couplet of a rondo. At measure 66, the music departs

form. from the plan of the refrain and modulates to bIII, the key in which a core begins (at m. 77, not shown). The unit in measures 60-76

Refrain 2, First Return of Main Theme thus functions as a transition-like pre-coré. The return of the refrain after couplet 1 is a conventional If the second rondo refrain is incomplete, the developsignal for rondo form, although at first this return can be —_— ment typically begins in one of two ways. First, refrain 2 heard to mark the repetition of a sonata exposition. Thus it consists of an antecedent unit; a presumed consequent beis only when the music begins to depart from the plan laid _ gins to sound but then departs from the course laid out by

238 FULL-MOVEMENT FORMS

e.. EXAMPLE 16.7 Mozart, Piano Trio in B-flat, K. 502, iii, 86-103

[Refrain 2] Couplet 2 [Main Theme] DEVELOPMENT

——_TOAD compound basic idea ;=°continuation °ad eATeOS | es wm tod To A | 6 — — BPR 87 | ) aes: N > ie p es (oy eee? te th Oe ET eT Oe 4 td8 [Antecedent] Consequent => Pre-Core

et rnBb:ae ee t —— r YF {¥ f I, F: v¢é 1) Mu

model sequence x. _—— —————— > es . oT as . a . > . > ls JTz eelsaGon oo on Ss ¢lletd aS a aom eaooend esoSaeo) a ee a ER ae (>HC )

per ye p PCP — g:eee 1S, ttt

NS) ne ” LS. Ss oe —eoEoooTeTTTE—E—E—loooo eT 5 ——} 5 ______

ae f r

(VI)

6 ;.SS wha 4as Wwe T ee | a ee e Nhe |Os J 7 ap)Sa sc Sg a a a == nS Ss or = —] jl = [Core]

Pty gl Tg ao —_i1t-2 yf Lf} +i te er 2 __| Ng Oe ed De en 7 hee ee ee —, ——i_ | ___f# __1___ I

the antecedent in order to become a transition-like pre- _ pears frequently in the submediant or as a minore. The forcore. Second, the refrain fails to achieve any cadential clo- _— mal organization of the interior theme is the same as that sure and merges instead with transitional material.28 Some- _— described for the five-part rondo, especially the more times it is difficult to discern a clear dividing line between —_ loosely constructed themes that appear in couplet 2 of that the end of the refrain and the beginning of the couplet. form. Like most couplets containing interior themes, a retransition either follows its closing cadence or emerges out EXAMPLE 16.7: The antecedent unit of the refrain closes at mea- of an incomplete theme. In the sonata—rondo, this retransi-

sure 87 with a reinterpreted half cadence. The consequent fol- _ tion can be highly developmental, even to the extent of relows the plan of the antecedent until the second half of measure sembling a core.3

- - t it thout a sense : : : :

93, at which point the music develops sequentially the motive of Like the five-part rondo, an interior theme in sonata the continuation phrase. The consequent thus Becomes a transi- rondo form typically begins immediately after the close of uon-lke pre-core ending at measure 99, alben wl sen refrain 2. Sometimes, however, greater continuity between

e of dominant refrain closure.and A core begins with the to athe next , transi, os , measure.?? couplet is created by upbeat means of distinct

, tion, analogous to a pre-core, to prepare for the beginning f the interior theme proper.**

A number of sonata—rondo developments by Beethoven ° cme Prope contain near their end a false recapitulation, in which mate-

rial from the rondo refrain reappears first in some other Double-region couplet. Ina number of Mozart’s sonata— tonal region.*° Indeed, false recapitulations are more com- _rondos, couplet 2 emphasizes two tonal regions —submedimon in rondo movements than in sonata movements. Since _—_ ant and subdominant. The phrase-structural organization

a rondo places its dramatic emphasis on the return of the _ of the material, however, does not result in two interior refrain, an initial appearance in the “wrong” key, corrected _ themes, as might be suggested by the use of these particular shortly thereafter in the right key, is a particularly effective _ regions. It is difficult to generalize about the organization

device.?! of such a double-region couplet because Mozart employs a wide variety of formal possibilities. Typically, however, each

Interior theme. The second couplet of sonata—rondo of the two regions is associated with a distinct thematic form is often organized as an interior theme.?? This theme unit, only one of which may be an interior theme. In some is most likely to reside in the subdominant region but ap- _cases, both the units are constructed as simpler main-theme

| RONDO FORMS 239 types (sentence, period, or hybrid), which may be more or __ subordinate-theme complex is not recapitulated in the less tight knit and may even be left incomplete. Most often, home key but, instead, in some other tonal region, usually the submediant region precedes the subdominant, but the _IV.*! Such a situation is clearly related to the tendency of a reverse order occurs now and then. The two regions are _ sonata recapitulation to emphasize the flat side of the tonal sometimes linked by a transition, which may range froma _ spectrum, and it recalls the type of deviation in which the short phrase to a lengthy developmental passage.** subordinate theme first begins in the subdominant but then

is adjusted into the home key.* In the context of the EXAMPLE 16.8: Refrain 2 closes at measure 56, after which appears | sonata~rondo, a subdominant recapitulation also relates to

material from the transition that opens couplet 1. At measure 61 the notion that a “pure” rondo couplet would reside in a the music departs from the path taken by the exposition and con- tonal region contrasting with that of the refrain.

tinues on to the dominant of VI. The first thematic unit of this double-region couplet (beginning at m. 65) is an eight-measure sentence ending with a half cadence at measure 72 in the submedi- Refrain 4, Coda and

ant. A brief transitional passage leads to the subdominant region, Final Return of Main Theme

where a second sentential unit, much more loosely constructed

than the first, begins at measure 76. A promised cadence is evaded Following the norms of rondo forms in general, the last at measure 88 and then again two measures later. Indeed, the couplet of a sonata—rondo leads to a final restatement of theme never achieves cadential closure, since measure go initiatesa ‘the refrain. In addition, sonata—rondos include a coda that

retransition leading back to the home-key dominant at measure appears after the recapitulation of the subordinate-theme

10236 complex.*} The relation of the final refrain to the coda is somewhat problematic, with most theorists tending to see

Refrai ae the as a separate section; following efrain 3,coda Recapitulation aoe bletheinfinalthrefrain.¥ of Main Theme To be sure, this position is reasonable in those many cases in which refrain 4 appears directly after the closing section

The return of the rondo’s main theme following couplet 2. of the recapitulation. But sometimes the recapitulation corresponds to the beginning of the recapitulation in sonata _ leads into music that is already best understood as belongform.>’ At this point, the complete structure of the rondo _ing to a coda, and the rondo refrain returns only somewhat refrain is usually brought back, sometimes including the en- later.#> It would seem, then, that there is no consistent relatire main-theme group from the exposition. But like any re- _ tion between the beginning of the coda and the beginning turn, an abridged or incomplete version may appear instead.*8 _of the final refrain. For that reason, it is perhaps best to say

One standard deviation, adopted frequently by Mozart, that the former embraces the latter. In other words, the eliminates refrain 3 from the form. Since a full sonata- _— coda of a sonata—rondo can be said to start at the same rondo brings four statements of the refrain, omitting one of __ place as it does in a regular sonata, namely, at that point them does not significantly impair the rondo effect. When — where the music of the recapitulation stops corresponding refrain 3 is left out, couplet 3 usually begins directly with to the exposition. In this view, the rondo refrain always apthe subordinate-theme group. In such cases, the end of cou-. _—s pears somewhere in the coda, often at its very beginning, plet 2 usually brings material from the transition of couplet —_ but sometimes only after the coda is under way.

1 to prepare for the recapitulation of the subordinate theme Like all subsequent appearances of the rondo refrain, the

in couplet 3.39 final restatement may be complete but may also be abridged

or remain incomplete. In a number of cases, the basic struc-

Couplet 3, Recapitulation of ture of the refrain fails to appear at all, and only its initial Subordinate-Theme Complex motives are used.* This procedure represents a deviation

P from th ble to the elimination of refrain om the norm comparable to 3

Couplet 3 recapitulates the subordinate-theme complex, already discussed. In fact, if Mozart retains refrain 3 in his which in most cases simply follows the norms established sonata—rondo forms, then he usually eliminates refrain 4, for the recapitulation of a regular sonata. Unlike a sonata, — although its opening motives may pervade the texture of however, the subordinate theme (or the final theme of a __ the coda.*’ subordinate-theme group) may not receive authentic cadential closure. In cases in which such closure was lacking Nj in the exposition, the recapitulation usually follows the same course and omits the cadence. But in some cases, a — Just as the five-part rondo can be expanded into a sevensubordinate theme that was closed in the exposition is left part rondo through an additional refrain and couplet, so open in the recapitulation and then merges into the begin- too can the sonata—rondo be expanded into a mine-part

.; saree ine-Part Sonata—Rondo

ning of the coda.” sonata—rondo in the same way. At least three examples in the

One interesting deviation in Beethoven occurs when the _ classical repertoire, all by Mozart, feature this elaborate for-

ory

EXAMPLE 16.8 Mozart, Piano Sonata in B-flat, K. 333/315¢, iii, 55-102

[Refrain 2] Couplet 2 (“Double Region“)

cad presentation continuation avy” ed ' 3 3 . . . oo . . . .eeenrse Skpf e eeettf e ry as A2S| Ge55Ge SEa eeET s7 wT ee eeess eee ee| ee eG ee eee eee62 2 2.4.2 [Main Theme] Transition

Pig }-——_o 5 eH=SS CE BESO SO OO 2. eeeAS ee Ae ee Se 6 2NaS eee ——_________—______— LS 2 TDA EY CECSd~S‘S(C;COSY?StCéC;SS*CSTS””””””””~™t~t™TTCOCiC‘( A—CE AABGD.486b CR F SD.UhAS GR” SSE ET SEY = SD AE AS SS} Fe rene ee ee Ln ee A he!Ea or TT NNN SLD

Bb: I oe NL oe —

Theme 1 a presentation 7 ~~ —— —_~ 4 ~ — ~ ; ence, as { d. 3 rion, CT) [|_| sa rn . Oe hp —_—__4—_*& —ees —__,_ a 0 SE . VE eee eee —— — Nee’

S

continuation ~ (transition) ~ a eee ee Ne eR OCLC 68 Grr sine | he = wo IN dd : Ji ple hf 23 FAoH: peg gh _M es 6 EEE Eee — of} a thy —o—_o—_o_}-45 (VD TiC]

yP

eee ee

=

p|

presentation ~ ~ continuation ~~ ~~ 75 of Pe TL be a5——— ae ra J. oe Theme 2

ee

2 ___— OeSaas Oe Ee oe eH er 9yae a("0ee_______} a ae ee as a 8ha see a ea reoeeaoe——

r re re a eS ee fvg p fI.PSS . r : —_ | 4 Eb: Vv? I,

; >ee e ~ee~~ -— hd pe “™, “o~, A|> 82° —~ JI = .vVvco_ ttOe BN fmm Sh nelan tl (IV)

cad.

8 sa cresc.

‘Al Ae GU be je ~, || | gp @ T, Tr tf tT TT TU UA SUSY UU LTD. UT gg Oe wo, ~- . fy) YT LTTT!,”t—COM”CSST OE ee

retransition

("one more time”)

in —, aooTD. -~,Se “sSe naee~~meaaaepm o™see — et —dell oS d7 punted) ee _—~ ee ee aap

ev. cad. ev. cad. .

SSR ADA) Aa. PDB DD Lome mee eee eee bp hee st hd de)OR heey pl dy Se

prt trrt,t® te Fe rr

| 240

Bb: v

RONDO FORMS 24!

mal design.* In all three cases, the extra refrain and couplet —_ added couplet before the recapitulation is a minore. Thus all

are inserted between couplet 2 and the recapitulation. And _ three of the standard tonal regions used for interior themes in each of these nine-part rondos, both couplet 2 and the _—_are explored in this nine-part sonata—rondo. The last cou-

added couplet are organized as interior themes. plet recapitulates the subordinate theme, and, as a coup de Mozart’s Rondo for Piano in F, K. 494 (which was even- _— grace, Mozart interpolates an elaborate, written-out catually published as the last movement of the Piano Sonata _—_ denza before the close of that couplet.4? With the exception in F, K. 533), is a particularly impressive example. Couplet 1 of a true development, this movement features all the stanis a subordinate theme (without a transition); couplet 2 con- _—dard options for couplets in the classical rondo. tains a double-region couplet (VI followed by IV); and the

BLANK PAGE

17

Concerto Form

Throughout the eighteenth century, the concerto stood _ primary melodic-motivic content of the movement, and alongside opera (and, later in the century, the symphony) as _— subsequent ritornellos typically transpose parts of this one of the principal “public” genres of musical composi- —_ opening into related tonal regions. A “closing ritornello” tion. Whereas the high baroque cultivated various kinds of _ brings back the content and structure of the opening ritorconcertos, including the concerto grosso, ripieno concerto, _ nello to create a frame for the movement as a whole.

double concerto, and solo concerto, the high classical pe- Later in the century, ritornello form was transformed riod saw the solo concerto—for single instrument and or- _ into concerto form through the incorporation of classical chestra—emerge as the preeminent concerto type. Adefin- formal functions, especially those associated with the ing feature of this classical concerto is its employment of a _ sonata. Indeed, concerto form has often been seen as derivformal scheme derived from the baroque “ritornello form” _ ative of the latter and has thus been described as containing and strongly infused with elements of the sonata. This con- _ three parts—exposition, development, recapitulation—in certo form is used in the first movement of all classical con- _— which the first part is preceded by an orchestral introduccertos.! The form is sometimes found in slow movements, tion (not to be confused with a slow introduction). The or-

but rarely in finales.’ chestral introduction itself resembles the exposition of a

Unlike the private instrumental genres (such as the solo _ sonata in that it contains a distinct main theme, transition, sonata and the quartet) and the public symphony, whose —_ and subordinate-theme group. Unlike a sonata exposition, participating forces are roughly equal, the classical concerto —_ however, the introduction largely resides in the home key. pits a single instrumentalist against a full orchestra. Because = When the orchestral introduction is followed by a genuine of this inherent inequality, ways must be found to make cer-_— exposition, a kind of “double exposition” is created, one tain that the soloist can compete effectively against the _ that corresponds to the repeated exposition of sonata form. larger forces of the orchestra while not allowing the latter This view of the concerto cum sonata has its attractions to be so subordinate that it becomes a mere accompani- __ but is misleading in a number of respects. In particular, it ment. Throughout the eighteenth century, various compo-._ ignores the historical development of the classical concerto sitional devices were developed for realizing these aesthetic _ out of sources distinct from those of the sonata. Moreover, goals. Some of the techniques used to highlight the solo in- _it fails to take into account a number of compositional pro-

clude the following: assigning it musical ideas not previ- cedures that clearly are vestiges of the older ritornello ously sounded by the orchestra, permitting the solo part to — form.* Thus an alternative view of concerto form sees it as have the principal modulatory action in the movement, and —_ composed of six principal sections: (1) an opening ritornello throwing special light on the solo by means of an unaccom- for orchestra alone, (2) a solo section (with orchestral ac-

panied cadenza interpolated into the form. To ensure that |= companiment) that functions like a sonata exposition by the orchestra is not reduced to an exclusively accompani- §_ modulating from the home to the subordinate key, (3) a mental role, the orchestra alone provides a textural “frame” —_ subordinate-key ritornello for orchestra that reinforces the for the opening and closing of the movement. In addition, —_ modulation, (4) a solo section functioning as a sonata devel-

the orchestra is permitted to appear by itself at least one | opment, (5) a solo section functioning as a sonata recapituother time in order to assert its own identity in relation to _ lation, and (6) a closing ritornello for orchestra (usually in-

the solo part.’ terrupted by a solo cadenza) that completes the structural Early in the eighteenth century, these compositional de- _—frame.* From this perspective, concerto is viewed as an invices were embraced in ritornello form, in which passages | dependent form, one that is a variant of neither the baroque performed by the full orchestra, each termed a “ritornello” —_ritornello form nor the classical sonata form but one that (little return), alternate with passages played by the solo in- — incorporates form-functional elements associated with

strument. A relatively long “opening ritornello” brings the _ both. | 243

244 FULL-MOVEMENT FORMS EXAMPLE 17.1 Mozart, Piano Concerto in E-flat, K. 482, i, 50-76 OPENING RITORNELLO

presentation continuation => cadential a(do a a (\ 4 mY) LJ Se SA COA ga 2aad] PS A Fe 8 8 Ls Ae LT ed) Sa Se ae Se See ae ee aa eae {Transition} Subordinate Theme 1

Eb: v 18 —__

P eri Peri Perl Perivrriperir er rerirs r tre PLP) CLP

= = 6-1, a me 5 dd, b Ass presentation (ext.) continuation => cadential

Subordinate Theme 2

aia SaaS aie sees StS SSS SSS S22 SSS Se SS

, frrrirp oprrirp oprrirer FF

clided

rr ,1.bp 16 16.

: (‘one more time") closing section

pi

eA run | sod BRS x CA AB % = ran nud 2 ev. cad. ev. cad.

OPENING RITORNELLO ing in relation to the main theme. Additional subordinate themes may follow, and the ritornello eventually ends with The opening ritornello, played by the orchestra alone,® initi- _a closing section made up of codettas.

ates the textural frame for the concerto and brings much, If the opening ritornello strongly resembles a sonatabut rarely all, the fundamental melodic—motivic material of | form exposition, it lacks one of its principal characteristhe movement. For the orchestra to assume an independent _tics—a genuine tonal conflict between home and subordiidentity in relation to the solo and at the same time to build nate keys. In most cases, the ritornello remains entirely in up expectations for the solo’s entrance, the opening ritor- _ the home key. In this way, the solo part can be given the opnello is often relatively long and filled with a variety of mu- _ portunity to produce one of the major tonal events of the sical ideas. In fact, the ritornello distributes these ideas as | work, namely, the establishment of the subordinate key. If discrete thematic units in a way that strongly suggests the the orchestra alone does not depart from the home key,

interthematic functions of a sonata exposition. then strong expectations are generated for the solo to acThe opening ritornello begins with a tight-knit main —_complish this task. Occasionally the unit following the ritheme closing with a perfect authentic cadence.’ The six- _ tornello’s transition begins in the subordinate key but then teen-measure sentence is particularly favored for aconcerto __ returns, usually rather quickly, to the home key without camain theme (see chap. 5, n. 26), but other conventional = dencing in the new key.’ Only seldom does a modulating

types (and the occasional nonconventional theme) are transition lead to a theme that confirms the subordinate found there as well. The main theme is followed bya more __key.!° loosely organized thematic region ending with a home-key The opening ritornello differs from a regular sonata exhalf cadence, in other words, a unit that resembles a non- _ position not only in tonality but also in phrase structure. modulating transition. Unlike sonata expositions, in which = More specifically, the “subordinate theme” (or themes) is the transition can begin like the main theme, the transition _ generally more tight knit than would ordinarily be expected of a concerto ritornello almost always begins with new ma- _in a sonata exposition of a comparable orchestral moveterial. The next thematic unit continues to reside in the —_ ment, such as a symphony or overture. Formal loosening is home key but, because of its placement following a transi- kept to a minimum for a number of reasons. First, the tion, gives the impression of being a subordinate theme. In- _— home key, in which the subordinate theme resides, does not deed, this theme effects a modest degree of formal loosen- —_— require any particular emphasis, especially of the cadential

| CONCERTO FORM 245 kind typically used to consolidate a subordinate key. Sec- The solo exposition rarely represents a repetition of the ond, long extensions of continuation function usually call opening ritornello, as the “double-exposition” model of confor sequential treatment, whose developmental potential _certo form suggests. Rather, this section almost always conmight undermine the solo part as the bearer of prominent —_ tains new material for the solo part to present on its own.!? harmonic activity in the movement. Third, major cadential _Yet the solo exposition brings back a considerable amount of expansions normally bring in material of a virtuosic charac- _—s music presented earlier, thus allowing the composer to vary

ter, best reserved for the solo part. the ideas or the formal context in which they are situated. Consequently, the solo exposition can already represent a EXAMPLE 17.1: The transition of this opening ritornello endson | “development” of material previously heard. Indeed, a solo dominant of the home key, after which a new thematic unit, the exposition often contains greater sequential activity than that first of two subordinate themes, begins at measure 51. A simple _ ordinarily found in a regular sonata exposition. !3

presentation leads to a continuation=cadential phrase to close this After the relatively long buildup created by the opening tight-knit theme. A second subordinate theme (mm. 58-72) is sitornello, the entrance of the soloist is a dramatic event. more extensive, due to the evaded cadences in measures 68 and 70. Most often, the musical motion comes to a complete stop at

Yet even this theme, together with the first, would unlikely be the end of th ‘ag ritornello. th tti f£ the sol

found as the complete subordinate-theme group in a symphonic © ENE OR NTE OPENING THOMMENOs bus serang om te solo

sonata-form exposition, especially with the lack of any substantial entrance by a moment of silence. But in some concertos,

cadential expansion. the solo appears to be overanxious and enters while the orchestra is still in the process of closing the ritornello.'*

Up to this point, we have considered the opening ritor-

nello largely in terms of its allowing the orchestra to ex- = Main Theme press its own material while building strong expectations for the entrance of the solo. An additional role is the ritor- The first unit of the solo exposition usually functions as a nello’s forging of an initial association between the various 9 ™4/n theme. Frequently, this solo main theme brings back musical ideas and their form-functional expression. Since material of the ritornello main theme in the same formal the subsequent sections of the concerto rarely bring back _—Plan.'” Sometimes, though, the phrase structure ts altered, the content of the opening ritornello in the same order, itis USUally by means of loosening devices (such as a cadential always of analytical interest to observe how ritornello ideas extension) or the addition of new material.'° The ritornello are linked to varying formal units throughout the rest of the = 4! theme may also be subjected to any number of variamovement. For example, the main-theme material of the ri- 90" PF ocedures, which, by imbuing ut with greater VIrtuOsiC tornello frequently functions in the solo exposition to begin character, allows the solo to appropriate the theme for itself. the transition. Likewise, an idea first presented as a subordi- On occasion, the solo exposiaion begins with an entirely

nate theme may return only in the development. To be "¢W theme. This alternative main theme tends to appear sure, the creation of multiple associations of a given idea when the ritornello main theme is highly orchestral in charwith differing formal contexts is a compositional technique — 9¢€F and not likely to be rendered idiomatically by the found throughout all classical forms. But it is especially Soloist. For example, the use of loud, fanfare-like figures for prominent in concerto form, in which each of the five sub- the full orchestra usually ar € not effective on the piano."” In sequent sections has the possibility of granting anew formal __ @ddition, orchestral beginnings that feature a polyphonic interpretation to material originally presented in the open- _‘‘exture highlighting different sonorities are not likely to

ing ritornello. create a similar impression by the homogeneous sound of the solo instrument.!8 EXAMPLE 17.2: The intensely brooding orchestral opening is

SOLO EXPOSITION shown in measures 1-4. (The same rexture continues for another oo. eleven measures, creating a large crescendo.) An alternative main The entrance of the solo initiates the second major section _theme, introduced at the beginning of the solo exposition (m. 77), of concerto form. This section functions in essentially the _ ig considerably more pianistic and lyrical in character. Indeed, same way as a sonata exposition does and contains the stan- Mozart never attempts to imitate the texture of the orchestral dard interthematic functions of main theme, transition, and _ opening in the piano part at any later point in the movement.

os ; ; ; ransition

subordinate-theme group (a single subordinate theme is uncommon).!! Unlike a sonata exposition, however, the Transit;

solo exposition does not conclude with a closing section but ends instead with the final perfect authentic cadence of the = The choice of material to begin the solo transition seems to subordinate-theme group. An orchestral ritornello then fol- _ be guided, in most cases, by two general principles: (1) the

lows as the formal analogue of a closing section. solo section should not reproduce the same succession of

EXAMPLE 17.2 Mozart, Piano Concerto in D Minor, K. 466, i, 1-4, 77-85

ft a oe

legro Se i he OPENING RITORNELLO Main Theme

All d

Le, CSE ELEER nO, TS Ul |a| WP" € SE| ah a _:SUS PP AY Bad EE Y= | A SE 2 dkAS| | GR I EeMUTANS Ge Ges i|

aC —_>; (IN an, TP 5 ft | eee ees eye ee eae eee eye SOLO EXPOSITION

Alternative Main Theme

er — —

fe __t |, }—)) |) —_»-—_ | ——__—__, a a__,_}_@ © @ ¢_, po} | tt le JES SR. AE NS : ‘3! SGD EE Oy Se Rene. SE SS SE CEES SS OE ES A ST a a ee 5 a ee a me ees. Cau! 2

EXAMPLE 17.3 Mozart, Piano Concerto in E-flat, K. 482, i, 170-85 SOLO EXPOSITION

[Subordinate Theme 1] Subordinate Theme 2

wee SERS pee pee. ee SSPE as ,Fin 1 mo [AS abs TT) FE, Ry ee le JAe ate) | ey [ [a jf ente ||| C34 7. SERRE, A, A. AS Lt» -—_¢ ee i gt rr a ns i nsBb: (10060. 71-1 — 7 5 ar I... Lees presentation

4-9 —-_______—_-—— ,_ ig oe oe = Oe os et SR A * RE EE A” EE OS ¢ D CERNE 9" ON A” GEN, a, A SS Wh

clided

continuation = cadential

A | 174 ns pepe J fe )A ease | een | | ol = Jad | 5 £2) = CO TT EEE SS i Sh a aT

rE y Subordinate Theme 2 (rep. and exp.)

— =—— ij

presentation 08 a, eee ; — =71 a So a StEtt Bmes dbdee =#ael id ‘, ~=fF 6 = —— bdays SyF J), ~| | VE "Cas GRE Ce

I eee —— ee

clided

modei sequence on Se —_— ~~ —_— _— ae —_ance —_—— _ A eee ee eee te re ee eee a—— ttt tet ot PO

ee

continuation

181 =————~£} BaD The be 182 #5 = yi is me be te mp oa) ES FT

246

CONCERTO FORM 247

ideas found in the ritornello from the main theme to the __ is that in the majority of concertos, the first subordinate transition, and (2) the use of an alternative main theme __ theme is entirely new, most likely in order to aid the solo prompts the immediate reappearance of material fromthe _ part in projecting its own melodic—motivic profile.”> In ritornello main theme. A variety of scenarios can be ex- __ those cases, the first ritornello subordinate theme usually

plained by one or both of these principles: reappears in the solo exposition, as either the second subordinate theme or the second part of a two-part subordinate 1. If the solo main theme is based on the ritornello main _ theme. This latter option is particularly effective, since both theme, the solo transition will begin with new mater- _— the new material and the earlier ritornello theme can be ial. This scheme, following principle 1, appearsin ap- _ preceded by a standing on the dominant—the one ending

proximately one-half of Mozart’s mature concertos. the solo transition and the one following the internal half 2. If an alternative main theme is used in the solo sec- _ cadence. tion, an immediately following transition will be based on the ritornello main theme, as proposed in —_— EXAMPLE 8.17 (see p. 118): Part 1 of the first subordinate theme

principle 2.!9 (mm. 74-80) consists of ideas not previously heard. Part 2, begin3. If, following an alternative main theme, the ritornello ning at measure 81, brings back material from the subordinate main theme is used as a “second” theme making up a theme of the opening ritornello. Thus the solo part has the oppormain-theme group (according to principle 2), the solo tunity not only to sound its own subordinate theme but also to transition will be based on new material (according to bring into the new key the subordinate theme originally sounded principle 1).°

ae by the orchestra in the home key.”°

eme, the solo transition can be based on the ritor- Lo, ,

+ i" the solo exposition brings an alternative oan As already discussed, the subordinate-theme group of nello transition, since the succession of ideas in the the opening ritornello fails ‘0 confirm the subordinate key solo exposition will be different from that in the and also tends to remain relatively tight knit. The solo sub-

opening ritornello (principle 1).2! ordinate-theme group, on the contrary, is largely responsi-

ble for substantially loosening the form. Most often, one of

Although most concerto-form movements follow these the themes prominently extends continuation function by principles, a significant few bring a solo main theme and means of harmonic sequence, and the cadential areas, espetransition that largely restate those of the opening ritor- cially in the final theme, are greatly expanded. In fact, enornello (with the possibility of structural changes and orna- mous expanded cadential progressions are a hallmark of the

mental variations).22 concerto and an element of its style that permeated other

genres of the period.?” The rhythmic and dynamic climax of the exposition is normally reached during the expansion

Subordinate-Theme Group of the final cadential dominant, in which the shortest durational values culminate in the “cadential trill)’ the convenAs in a regular sonata exposition, the subordinate-theme tional sign for the close of the solo exposition.’8 In addition group of the solo exposition is responsible for expr essing tq their normal roles in loosening the structure, the use of and confirming the subor dinate key. The group contains at extended sequences and expanded cadential progressions least two themes (each ending with a perfect authentic ca- opens up considerable structural space for the soloist to disdence), but a group of three is extremely common.”* One or play his or her virtuosic abilities. These places in the form more of the themes is generally based on ideas from the, usually filled with figurational passage-work that exopening ritornello, but new material is almost always plores the extreme ranges of the instrument and shows off added. In fact, the entire subordinate-theme group canbe 44, performer’s technique.

unrelated to the ritornello.” The final subordinate theme is often written in a “braWhen the solo subordinate theme dr aws on material yyrpg” style featuring continuous sixteenth notes. Typically, from the opening ritornello, that material typically comes hig be guura theme is first presented in a relatively comfrom the ritornello’s subordinate-theme group. But it may pressed form. The effect of cutting short such hustle and also derive from the ritornello main theme or, especially, — purctle raises expectations that more of the theme will have the transition. After all, the latter is often replaced byanew ,,, appear. And indeed, the theme is then repeated and sigsolo transition, and thus ideas from the ritornello transition nificantly expanded in accord with the nature of its material. are free to reappear in the context of the solo subordinate-

theme group. EXAMPLE 17.3: The second subordinate theme begins at measure Because each concerto finds its own logical and appro- 171 with sixteenth-note arpeggiations (which continue the sixpriate way of distributing its material, it is difficult to for- _teenth-note runs found at the end of the previous subordinate mulate principles for how various ideas will appear in the _ theme). This bravura theme takes the form of a simple eightsubordinate-theme group. One general tendency, however, —_— measure sentence, which, in light of the energy accumulated by

248 FULL-MOVEMENT FORMS

Re ee Be Apt ee sy se P Bb: t 16 seq. (vi vié (Vv) EXAMPLE 17.4 Haydn, Trumpet Concerto in E-flat, Hob. VIle:1, i, 81-94

[SOLO EXPOSITION} SUBORDINATE-KEY RITORNELLO

Alle + —_____—. — — — —_ (Subordinate Theme]

clided

sft _ [SOLO DEV,] pehe die)——— FF A ee Sd et ig gS kp |ei ef Ab a a ,v6j Iv6 a ype site ppp? iszs’tiitrrrf ttf mé n6 { fs Aas b if , aa —_— c: Uvn® vi®& v5) I Vid.

(VI)

the rhythmic motion, seems all too short. Therefore the theme is _ tions. First, it gives the orchestra another opportunity for repeated (m. 178) and expanded by means of model-sequence _ sounding its “own” music, now in the context of the subortechnique and a cadential progression, whose dominant is stretched —_ dinate key. As a result, the orchestra is allowed to partici-

to ten measures (not shown in the example).”” pate in the tonal conflict lying at the heart of the form, if not as an equal partner, then at least as more than a mere accompaniment. Second, the subordinate-key ritornello

SUBORDINATE-KEY frequently brings back ideas from the opening ritornello RITORNELLO that were eliminated from the solo exposition. For example, the “second subordinate theme” (including the closing secIn a sonata-form exposition, the final perfect authentic ca- _ tion) from the opening ritornello of example 17.1, measures dence is followed by a closing section, in which a recessive 58-76, is eliminated from the solo exposition (and replaced dynamic frequently helps dissipate the energy accumulated _ by the bravura theme shown in example 17.3). This materin reaching the cadential goal. At the corresponding place _ial then reappears to make up the entire subordinate-key riin concerto form, the final cadence is invariably followed by _ tornello, transposed, of course, into the new key. a section for orchestra alone, with the solo remaining silent A third function of this ritornello is to sustain, and often until the beginning of the development. This orchestral _ to intensify, the dynamic level attained by the solo. After all, passage is clearly the formal analogue of a closing section, a climax created by a single instrument, no matter how but in the majority of cases it is not organized as aseriesof forceful, can always be superseded by the full orchestral codettas. Moreover, the dynamic intensity reached by the _ mass.*! Finally, the subordinate-key ritornello offers the solo’s climax is seldom, if ever, lessened during this section. solo a chance to rest following the virtuosic workout of the Thus even though this passage is located where a closing _ exposition and to reappear as a fresh sonority at the beginsection might be expected, it displays few characteristics of ning of the development section.

that formal function. To fulfill its dynamic function of sustaining, if not sur-

In a baroque concerto, a similarly placed orchestral pas- _— passing, the solo’s climax, the subordinate-key ritornello sage serves as an internal ritornello, which would reside ina _ usually contains forte material of powerful rhythmic vitality new key and bring back many of the ideas of the opening ri- _—_ and forward drive; soft, lyrical, and tentative gestures are tornello, especially those from the beginning of the work. _not found in this ritornello, at least not at its beginning.” A Invoking the notion of an orchestral ritornello following _ favorite passage to reappear at the start of the subordinatethe solo exposition seems to be appropriate for the classical key ritornello is the one beginning the transition in the concerto as well. This subordinate-key ritornello, as itcan be . opening ritornello, which typically projects a vigorous, briltermed, always begins in the new key and consists of mater- _liant style. As already pointed out, this material is often ial taken from the opening ritornello, although unlike the _ eliminated in the solo exposition for a variety of reasons.* baroque concerto, the ideas are rarely drawn from the main The subordinate-key ritornello is usually structured as a

theme.?° complete thematic unit ending with a perfect authentic caThe subordinate-key ritornello fulfills a variety of func- dence in the subordinate key. Its form is often nonconven-

CONCERTO FORM 249

tional, yet it stays rather tight knit and compressed in rela- | redundancies, adding a secondary development, etc.). And tion to the final subordinate theme of the solo exposition. A__ to be sure, a number of concerto movements follow this brief closing section may follow the final cadence of the ri- _—_course.?”

tornello. In some cases, this closing section veers off and But to the extent that a concerto brings two different modulates to a new tonal region for the beginning of the “expositions”—here, the double-exposition model of condevelopment.** At other times, the ritornello itself fails to | certo form comes more into its own—the recapitulation close cadentially before heading off to the development. has an additional function: elements of both the opening ritornello and the solo exposition must somehow be “recapitEXAMPLE 17.4: The subordinate-key ritornello elides with the end —_ ulated” in a single section of the movement. Sometimes this

of the cadential trill closing the solo exposition (m. 83). The con- makes the solo recapitulation, especially at its start, resemtent of this ritornello is taken from the subordinate theme of the ble more the opening ritornello than the solo exposition.38 opening ritornello, material that is deleted in the solo exposition in More often, however, the recapitulation is organized differorder to give the trumpet part its own subordinate theme (based ently from either of the earlier “expositions.” In particular, on the main theme, as is typical with Haydn). Following the de- the recapitulation is likely to reintroduce ideas from the

scending-stepwise sequence in measures 85 — 86, the arrival on I¢ in . ; we

measure 87 might very well signal the beginning of a cadential opening ritornello that were not used in the solo “*P ostuon progression to close the ritornello in the subordinate key. The ca- and that find no place in the subsequent subordinate-key ridence does not materialize, however, because the sequence is con- tornello or development section. As a result, the formal tinued further in order to modulate to the development key of C _ placement of various passages as defined by each of the exminor (HK: VI). Consequently, the subordinate-key ritornello positions is significantly altered. does not receive cadential closure.*5

Main Theme

SOLO DEVELOPMENT In most cases, the recapitulation begins with main-theme material from the opening ritornello, since the sense of The formal organization of a concerto development is, for all _ large-scale return is most effectively projected when music intents and purposes, the same as that of sonata form. Only _ from the very beginning of the movement is reintroduced.°? two stylistic and textural features typical of the concerto need _—As in a sonata recapitulation, the form of the theme may be be mentioned here. First, since the solo development of con- _— altered and even left unclosed, in which case the maincerto form corresponds to the “second solo” of ritornello theme and transition functions may fuse (see ex. 11.8).

form, this section usually begins with a reappearance of the If the solo exposition has introduced an alternative main solo part, which was silent during the subordinate-key ritor- theme, this new theme will seldom be used to begin the renello. Second, the development of a concerto tends to be less __—capitulation.*° More often, the theme is used elsewhere in a working-out of prominent motivic material from the expo- —_— the movement, such as at the start of the development sec-

sition than a rhapsodic improvisation, often employing con- _ tion (thus making it easier for the composer to dispense ventional passage-work (scales, arpeggiations, and the like).2° with it at the beginning of the recapitulation)*! or following Indeed, the motivische Arbeit typical of asymphony by Haydn _ the original main theme in the recapitulation to make a or Beethoven would likely employ polyphonic instrumental —_ theme group.* In some cases, the alternative main theme textures that might direct attention more to the orchestra _ never appears again.# than to the solo. Conversely, the use of figurational patterns fosters a greater display of virtuosity from the soloist while Transit;

. ransition

the orchestra remains largely in the background.

Since the transition of the solo exposition often differs from

that of the opening ritornello, usually one or the other is

SOLO RECAPITULATION chosen for the recapitulation, although in at least one case both are used. Sometimes a completely new transition is The recapitulation of concerto form fulfills some of the — written instead.*5 same basic functions as that of a sonata recapitulation,

namely, to project a large-scale return and to resolve the Subordinate-Theme Group dramatic conflict of tonalities created by the exposition (and prolonged by the development). Thus, from the per- | The subordinate-theme group usually offers several opporspective of sonata form, one would expect that the organi- _ tunities for altering the structure of the recapitulation in rezation of a concerto recapitulation would be modeled _lation to the earlier expositions. In most concertos, the solo largely on that of the solo exposition, except, of course, for exposition introduces one, if not two, new subordinate the necessary adjustments of tonality (as well as eliminating themes and thus does not use one or more of those from

250 FULL-MOVEMENT FORMS

EXAMPLE 17.5 Mozart, Piano Concerto in E-flat, K. 482, i, 128-31, 152-54, 312-15, 328-30

Allegro d a d. Lats , be _ SOLO EXPOSITION

Subordinate Theme 1 (part 1) _—_ a Subordinate Theme 1 (part 2)

ral T YS sigdhida an Kee —_ ee ~ bb: 1 Bb: 1 (V) (Vv)

Oe ea eee J be. Jit = «bed J= —S#e € = 2 er }—_, -o 2

Subordinate Theme 1 Subordinate Theme 2

SOLO RECAPITULATION

‘a Je, 42s Ge SE. a Oe }-—— #- —_| _, —_—_§____ 338 pug pf -_ ——, Ee a :

ctiret ebleet ce

Eb: 18 Eb: 1...

EXAMPLE 17.6 Mozart, Piano Concerto in E-flat, K. 482, i, 357-67

CLOSING (PART pw 1) (PART 2) presentationRITORNELLO continuation cadenza cadential om & C

ry rrr pr op rrr pe op ere irre pr OF F Eb: 1... vy weg 7)rere L... ” the opening ritornello. Consequently, the recapitulation = ExaMPLE 17.5: The first subordinate theme in the opening ritorfrequently incorporates into its subordinate-theme group _nello (see ex. 17.1) begins at measure 51 with a quiet and peaceful some material from the opening ritornello that is not found melody. This theme is then eliminated in the solo exposition,

in the solo exposition. whose subordinate-theme group begins at measure 128 with a

The first subordinate theme from the opening ritor- bold, dramatic shift to the minor mode. Following an internal half

standingespecially on the dominant, new lyrical melody for nello. © is,Ope for acadence numberand of reasons, likely toabe wae . ht back for the first time in th ulation. Thi the solo initiates the second part of this theme (m. 153).

broug iC back for the Ar st time in the recapitulation. 2 fis In the recapitulation, the ritornello’s first subordinate theme retheme is often eliminated from the solo exposition sO as tO turns to begin the subordinate-theme group and is played at first allow the solo to have its own, new subordinate theme. _ by the solo piano (m. 312). The lyrical theme from the solo exposiMoreover, the ritornello’s first subordinate theme tends to _tion (m. 153) then returns at measure 328 to initiate a second subbe soft and lyrical in character and thus is generally not ap- _ ordinate theme. propriate for use in the subordinate-key ritornello. Consequently, this theme cries out to reappear and be performed

by the solo at some point in the recapitulation. And so it CLOSING RITORNELLO may come back in the recapitulation (1) in its original position at the beginning of the subordinate-theme group,* (2) | The end of the solo recapitulation is normally marked by a immediately after the opening of the first solo subordinate “cadential trill” in the solo part and a subsequent perfect theme,*’ or (3) at the start of a second subordinate theme. —_ authentic cadence. The closing ritornello, performed by the It does not normally return later than this, because a lyrical _ orchestra alone (except for the interrupting cadenza) elides theme is unlikely to help build the climax needed for the —_ with this cadence to complete the textural frame initiated

end of the recapitulation. by the opening ritornello.

CONCERTO FORM 251 Like the subordinate-key ritornello, the closing ritornello _ subordinate-key ritornello. Here, however, the opening presentais the formal analogue of a closing section in a sonata reca- _—‘tion (mm. 357-62) is followed by a new continuation leading to

pitulation. In addition, the closing ritornello fulfills some of the cadential six—four. Following the cadenza, the rest of the the same functions as that of the earlier subordinate-key ri- °Pening ritornello’s subordinate theme returns. The movement tornello: it gives the orchestra a final opportunity for sound- concludes with the same closing section used to end the earlier ing its own music, now, of course, fully rooted in the home

oe , : ritornellos.

key; it sustains or intensifies the dynamic climax attained by oo the solo at the end of the recapitulation; and it provides one Inasmuch as the closing ritornello follows the end of the last chance to bring back ideas from the opening ritornello * ecapitulation, we might think that it functions as the coda that found no place in the other sections of the movement. of the movement. For a number of r easons, however, this In most of Mozart’s concertos, and all of Beethoven’s, ritornello should not be confused with a genuine coda. the closing ritornello brings a cadenza for the solo.” (Haydn First, the ritornello generally brings back material in much follows the mid-eighteenth-century convention of having the same way that it appeared earlier in the work, whereas a the cadenza mark the end of the recapitulation, after which coda almost always sets earlier ideas in a fresh formal concomes the closing ritornello.) Thus the closing ritornello "** Moreover, a closing ritornello does not normally feadivides itself into a first part before the cadenza and a second ‘UFe loosening devices typical ofa coda, such as sequential part after the cadenza. The first part closes with acaden- _©Xtensions and cadential expansions. And whereas most tial progression leading to a six— four embellishment of the codas refer to main-theme ideas for purposes of formal cir dominant. The cadenza brings a large-scale prolongation of cularity, a closing ritornello rarely contains material from this dominant and eventually completes the cadential pro- the main theme, preferring instead to create its sense of forgression.5! The second part always ends with a closing sec- __™2! frame through matching closing sections, in the sense tion, usually the same one as that of the opening ritornello. of a rhyme. Finally, the notion that a closing ritornello is not a coda is confirmed when we encounter a genuine coda EXAMPLE 17.6: The closing ritornello beginning at measure 357 at the end of the first movement of Beethoven's Emperor is drawn directly from the second subordinate theme of the Concerto and thus observe how unlike it is from a regular opening ritornello (see ex. 17.1, mm. 58-76), just like the earlier closing ritornello.

BLANK PAGE

GLOSSARY OF TERMS

abandoned cadence The failure to realize an implied authentic cadential progression. It does not usually exhibit continuacadence by eliminating the cadential dominant in root posi- tional characteristics. tion or by inverting that harmony before its resolution. cadential progression A progression that confirms a tonality by abridged refrain In rondo form, a restatement of the refrain bringing its fundamental harmonic functions. that consists of the A or A’ section of an original small ternary characteristic material Melodic and rhythmic configurations used

(compare incomplete refrain). to define a theme as unique (compare conventional material). accompanimental overlap The simultaneous appearance of the —_— closing ritornello The final section of concerto form. It fulfills a

cadential arrival of one thematic unit with a change in the ac- similar function as the subordinate-key ritornello, except that companimental pattern of the next unit, whose structural be- it resides entirely in the home key and is usually interrupted ginning, as defined by its initial downbeat, occurs in the fol- by a solo cadenza.

lowing measure (compare elision). closing section A postcadential intrathematic function following adjustment Ina recapitulation, altering material that originally a perfect authentic cadence. It consists of a group of codettas, appeared in a subordinate key in such a way as to remain en- often featuring fragmentation and a recessive dynamic.

tirely in the home key. coda _ A large-scale framing function that follows on a recapitulaalternative main theme _ In concerto form, a new main theme tion. It contains one or more coda themes to reinforce further

appearing at the start of the solo exposition. the home key and to serve various compensatory functions. antecedent An initiating intrathematic function consisting ofa | codatheme Ina coda, a theme that closes with a home-key perunit that closes with a weak cadence, thus implying a repeti- fect authentic cadence. It usually features loosening devices

tion (a consequent) to bring stronger cadential closure. typical of a subordinate theme. antecedent phrase The first phrase of an eight-measure period, codetta A postcadential function following a perfect authentic cacontaining a basic idea followed by a contrasting idea, which dence and ranging in length from a single chord to a four-

leads to a weak cadence. measure phrase. It is supported by a tonic prolongational (oc-

authentic cadence A cadential arrival articulated by the final casionally a cadential) progression (compare closing section).

tonic of an authentic cadential progression. compensatory function In a coda, the function acquired by a authentic cadential progression A cadential progression whose compositional procedure or event that compensates for procecomplete form brings, in order, the harmonic functions of dures or events not occurring in earlier sections. It may serve tonic (usually in first inversion), pre-dominant, dominant (in to recall main theme ideas, restore material deleted from the

root position), and tonic (in root position). recapitulation, reference material from the development, shape basic idea An initiating function consisting of a two-measure a new dynamic curve, or realize unrealized implications. idea that usually contains several melodic or rhythmic mo- complete cadential progression A cadential progression that

tives constituting the primary material of a theme. contains all the constituent harmonic functions (compare inbinary minuet A large-scale bipartite form modeled largely on complete cadential progression).

the small binary theme-type. complete pre-core A pre-core that contains a full complement

bravura theme _ In concerto form, a solo subordinate theme fea- of initiating, medial, and concluding intrathematic functions

turing continuous rhythmic activity in sixteenth notes. (compare incomplete pre-core). cadential A concluding intrathematic function that produces the = compound basic idea An initiating intrathematic function. It is requisite conditions for thematic closure. It is supported ex- a four-measure phrase consisting of a basic idea followed by a

clusively by one or more cadential progressions. contrasting idea, which does not lead to cadential closure. It cadential arrival A moment in time marking the structural end usually is supported by a tonic prolongational progression.

of a theme or themelike unit. compound theme A more complex version of the simple eightcadential idea A concluding function consisting of a two-mea- measure period or sentence (rarely, a hybrid). It is normasure (or shorter) unit, supported exclusively by a cadential tively sixteen measures in length.

progression, that effects (or implies) a cadence. compression An internal shortening of the constituent members cadential phrase A phrase supported exclusively by an expanded of a formal function. 253

254 GLOSSARY

concerto A full-movement form containing six sections: opening § dominant arrival A noncadential articulation of formal closure

ritornello, solo exposition, subordinate-key ritornello, solo marked by the appearance of a dominant harmony near the development, solo recapitulation, and closing ritornello. end of a themelike unit (especially a contrasting middle, tranconcluding function Any number of functions at various hierar- sition, retransition, or development) (compare premature chical levels that express the temporal quality of “ending” dominant arrival; half cadence).

(compare initiating function; medial function). dominant function Various harmonies whose primary role is to consequent A concluding intrathematic function that repeats a progress to tonic. All dominant functioning harmonies con-

prior antecedent but ends with stronger cadential closure. tain the leading-tone. consequent phrase The second phrase of the eight-measure pe- dominant version A unit (typically a basic idea) whose initial riod. It restates the basic idea from the antecedent, followed harmonic support is dominant (compare tonic version). by a contrasting (or cadential) idea, leading to strong caden- = double-region couplet In Mozart's rondo forms, a couplet that

tial closure (usually a perfect authentic cadence). contains thematic units residing in both the subdominant and continuation A medial intrathematic function that destabilizes submediant regions. the prevailing formal context by means of fragmentation, har- dynamic curve A particular pattern of progressive and recessive

monic acceleration, faster surface rhythm, and harmonic dynamics.

sequence. early authentic cadence In minuet form, the appearance of a continuation phrase The second phrase of the sentence. It fuses home-key authentic cadence before the end of the exposition

continuation and cadential functions. (A section).

continuation=cadential phrase A phrase supported exclusively elided cadence A cadential arrival that simultaneously marks the

by an expanded cadential progression. It fuses continuation beginning of the next unit.

and cadential functions. elision A moment of time that simultaneously marks the end of contrasting idea A concluding function consisting of a two- one unit and the beginning of the next (compare accompanimeasure unit that follows and contrasts with (i.e., is not a rep- mental overlap).

etition of) a basic idea. , end_ An articulation of formal closure (compare stop).

contrasting middle (B section) A medial intrathematic func- evaded cadence ‘The failure of an implied authentic cadence to tion that loosens the prevailing formal organization, empha- reach its goal harmony. The event appearing in place of the sizes the home-key dominant, and closes with a half cadence final tonic groups with the subsequent unit and (usually) rep(or dominant arrival). The second unit of the small ternary resents the beginning of a new cadential progression.

form. exact repetition A unit (usually a basic idea) immediately re-

_ conventional material Melodic and rhythmic configurations stated in the same harmonic context (although the melody widely used in the style and thus potentially interchangeable may be altered or transposed to different scale-degrees).

from piece to piece (compare characteristic material). expanded cadential progression An expansion of the cadential core A themelike unit of a development consisting of a relatively progression to the extent of supporting a complete phrase (of large model (4-8 mm.), one or more sequential repetitions, at least four measures) or group of phrases. fragmentation, a concluding half cadence (or dominant ar- expansion An internal lengthening of the constituent members

rival), and a postcadential standing on the dominant. of a formal function (compare extension). core substitute A themelike unit standing in place of a regular exposition (A section) An initiating intrathematic function concore in a development. It may be a pseudo-core or be orga- sisting of a complete thematic unit ending with an authentic nized like a transition or (modulating) subordinate theme. cadence. The first unit of the small ternary form. couplet In rondo form, a large-scale section situated between, exposition (full movement) A large-scale initiating function

and contrasting with, statements of the refrain. consisting of a main theme (group), transition, and subordida capo The third part of the minuet/trio form, bringing a re- nate theme (group).

turn of the minuet proper. extension The addition of extra units of similar material in order

deceptive cadence The failure to realize an implied authentic to stretch out a formal function in time (compare expansion). cadence by replacing the final tonic with another harmony _failed consequent A unit that follows an antecedent in the sense (usually VI, but possibly 1°), which nonetheless represents the of a consequent but does not close with the expected stronger

end of the prevailing cadential progression. cadence.

deceptive cadential progression - A variant of the authentic ca-_ _ false closing section A closing section that is reinterpreted retdential progression in which the final tonic is replaced by a rospectively as an initiation (usually a presentation) of a sub-

related harmony (usually VI). sequent thematic unit.

development A large-scale medial function standing between an _false recapitulation Near the end of a development or a rondo exposition and a recapitulation. It creates the loosest formal couplet, the appearance of main-theme material in a tonal re-

expression in the movement, and it may contain a pre-core, gion other than tonic of the home key. one or more cores (or core substitutes), and a retransition. five-part rondo A full-movement form in which a refrain alterdevelopment key A tonal region (beside the home or subordi- nates with two couplets. Couplet 1 is a subordinate-theme nate keys) that is confirmed, usually in a development section, complex or an interior theme, and couplet 2 is an interior by some cadential function, though not necessarily by an ac- theme or development-like unit. tual cadence: in major-mode movements, VI, III, and II; in formal function The specific role played by a particular musical

minor-mode ones, IV and V. passage in the formal organization of a work. It generally ex-

GLOSSARY 255

presses a temporal sense of beginning, middle, end, before- the small ternary or small binary forms. It resides in the conthe-beginning, or after-the-end. More specifically, it can ex- trasting modality of the main theme (s#inore or maggiore) or in press a wide variety of formal characteristics and relationships. the subdominant or submediant regions. fragmentation A reduction in the length of units in relation to — internal half cadence A half cadence appearing within the the prevailing grouping structure. Fragmented units do not boundaries of a subordinate theme. It can be followed by a necessarily contain melodic—motivic material derived from new continuation (or cadential) passage or can mark the end

the preceding units. of the first part of a two-part subordinate theme.

framing function Any number of functions at various hierarchi- _—_ interpolated episode A passage of strikingly new, unrelated ma-

cal levels that precede the beginning or follow the end of a terial lying in a relatively remote tonal region and standing

formal unit. apart from the regular succession of formal functions.

fusion The merging of two formal functions within a single unit. interpolation Unrelated material inserted between two logically

group A general term for any self-contained “chunk” of music, succeeding functions. embracing its complete melodic, harmonic, rhythmic, and interthematic functions The constituent formal functions of a textural content. More specifically, it refers to multiple full-movement form (or the principal sections of such a form)

themes (e.g., subordinate-theme group). operating above the level of the theme. grouping structure ‘The organization of discrete, perceptually | intrathematic functions The constituent formal functions of a significant time spans ( group, unit, part, section, etc.) at any theme (or themelike unit).

or all hierarchical levels in a movement. introduction See thematic introduction or slow introduction.

half cadence A cadential arrival articulated by the final domi- large ternary A tripartite full-movement form consisting of a

nant of a half-cadential progression (compare dominant main theme, an interior theme, and a return of the main

arrival). theme (compare small ternary).

half-cadential progression A cadential progression whose com- lead-in A melodic link, usually following a cadential articulation, plete form brings, in order, the harmonic functions of tonic that helps provide rhythmic continuity between two adjacent (usually in first inversion), pre-dominant, and dominant (triad formal units.

in root position). level of the idea unit The level of harmonic activity most di-

change. fragmented units.

harmonic acceleration An increase in the rate of harmonic rectly associated with the basic idea, its repetition, and its harmonic functions The three fundamental harmonies—tonic, liquidation The systematic elimination of characteristic motives. dominant, and pre-dominant—that embrace all other har- = loose A formal organization characterized by the use of non-

monic formations in a key. conventional thematic structures, harmonic- tonal instabil-

home key The principal tonality of a movement. The key in ity (modulation, chromaticism), an asymmetrical grouping which a movement begins and ends and to which all other structure, phrase-structural extension and expansion, form-

keys or tonal regions ultimately relate. functional redundancy, and a diversity of melodic—motivic hybrid theme A simple eight-measure theme combining func- material (compare tight knit). tions associated with both the sentence and the period. The =maintheme An initiating interthematic function that brings the four basic patterns are antecedent + continuation, antecedent main melodic—motivic ideas of the movement, establishes + cadential, compound basic idea + continuation, and com- and confirms the home key, and defines the standard of tight-

pound basic idea + consequent. knit organization.

idea Minimally, a two-measure unit. main-theme group ‘Two successive main themes, each ending imperfect authentic cadence An authentic cadence in which with a perfect authentic cadence. the soprano voice ends on the third (or, rarely, the fifth) scale- medial function Any number of functions at various hierarchical

degree (compare perfect authentic cadence). levels that express the temporal quality of “being-in-theincomplete cadential progression A cadential progression that middle” (compare initiating function; concluding function). omits one or more constituent harmonic functions (compare minuet A large-scale tripartite form modeled on the small

complete cadential progression). ternary theme-type. It consists of an exposition (A), contrastincomplete pre-core A pre-core composed of one or two in- ing middle (B), and recapitulation (A’‘). trathematic functions. It usually lacks a concluding function minuet proper ‘The first part of minuet/trio form. It is con-

(compare complete pre-core). structed in minuet or binary minuet form.

incomplete refrain In rondo form, a restatement of a refrain minuet/trio A tripartite full-movement form consisting of a that lacks a home-key authentic cadence (compare abridged minuet proper, trio, and da capo (of the minuet proper).

refrain). modal mixture The use of harmonies containing notes from the

initiating function Any number of functions at various hierar- opposite modality of the prevailing mode. chical levels that express the temporal quality of “beginning” |= modal shift A change of mode within the same tonality.

(compare medial function; concluding function). model A unit established for the purpose of sequential repetition. initiating region A tonicized region (in some key) associated |= model-sequence technique A unit (the model) that is immediwith an initiating intrathematic function (such as a presenta- ately followed by a restatement transposed to a different scaletion). It does not receive subsequent cadential confirmation. degree (the sequence); the same as sequential repetition. interior theme A medial interthematic function, standing be- |= modulating subordinate theme A subordinate theme that between statements of a main theme, that is modeled largely on gins in a nontonic region (of either the home key or a subor-

256 GLOSSARY

dinate key), thus giving the impression of modulating to the — premature dominant arrival A dominant arrival that appears

subordinate key. before the end of the prevailing melodic— motivic and phrasemodulating transition A transition that modulates to the subor- structural processes. dinate key, ending on dominant harmony of that key (com- _— presentation An initiating intrathematic function consisting of a

pare nonmodulating transition). unit (usually a basic idea) and its repetition, supported by a modulation The process of changing tonal focus so that a new prolongation of tonic harmony. tonic, confirmed as such by cadential function, is perceived to = presentation phrase The first phrase of the eight-measure

displace the previous tonic (compare tonicization). sentence. motive A collection of several notes constituting the smallest primary development key In the case of multiple development

meaningful melodic or rhythmic configuration. keys, the one that receives the greatest (cadental, textural, duneighboring chord In a prolongational progression, a subordi- rational) emphasis. It usually appears near the end of the denate harmony situated between a prolonged harmony that re- velopment section (compare secondary development key). tains its same position (e.g., I-V°-I) (compare passing chord). progressive dynamic A systematic buildup of tension and ex-

nine-part sonata-rondo A sonata—rondo form extended by an citement by various musical means (including intensity, texadditional refrain and couplet, the latter built as an interior ture, rhythmic activity) (compare recessive dynamic).

theme. prolongational progression A progression that sustains the

nonmodulating transition A transition that remains in the perception of an individual harmony through time despite

home key, ending on dominant harmony of that key (compare the presence of an intervening chord of different harmonic

modulating transition). meaning.

notated measure A unit of musical time demarcated by bar lines prolonged harmony The harmony that is prolonged by a pro-

in the score (compare real measure). longational progression.

“one more time” technique Following an evaded cadence, the pseudo-core A themelike unit in a development section that re-

repetition of the previous cadential idea or phrase. sembles a core as regards dynamics, texture, rhythm, and opening ritornello The first section of concerto form. It is or- emotional character but that lacks genuine model-sequence

ganized like an exposition but remains in the home key technique.

throughout. real measure A unit of musical time corresponding to a lisomamental changes In a restatement of any kind, alterations of tener’s perception of a “full measure” of music (compare nothe melody, durational values, texture, dynamics, and the like of tated measure). the original unit while retaining its basic tonal, harmonic, and recapitulation (A’ section) A concluding intrathematic funcphrase-structural organization (compare structural changes). tion that represents a return (often adjusted and altered) of an part A general term for grouping structure, often used in con- earlier exposition. The third unit of the small ternary form. nection with some multipart thematic units (e.g., the first part -—s recapitulation (full movement) A large-scale concluding func-

of a small binary or the second part of a closing ritornello). tion that brings back, usually modified, an earlier exposition. passing chord In a prolongational progression, a subordinate It resolves tonal conflicts by adjusting all material into the harmony situated between a prolonged harmony that changes home key. position (e.g., I-V3—I°) (compare neighboring chord). recessive dynamic A systematic release of tension and excitepedal point In a prolongational progression, the replacement of ment by various musical means (including intensity, texture, the bass voice of the subordinate harmonies by the root of the rhythmic activity) (compare progressive dynamic).

prolonged harmony. refrain ‘The initial section of any rondo form. It functions as a

penultimate dominant The root-position dominant harmony main theme and is usually built as a small ternary or small bi-

of an authentic cadential progression (compare ultimate nary.

dominant). reinterpreted half cadence A local authentic cadence in the perfect authentic cadence An authentic cadence in which. the dominant region that is reinterpreted retrospectively as a half

soprano voice ends on the tonic scale-degree (compare im- cadence.

perfect authentic cadence). repetition The immediate restatement of a unit (compare return). period (eight-measure) A simple theme consisting of an an- response See dominant version (compare statement).

tecedent phrase and a consequent phrase. restatement The reappearance of any formal unit as either a period (sixteen-measure) A compound theme consisting of an repetition or a return, with or without ornamental or struceight-measure antecedent (built as either a simple sentence or tural changes.

a hybrid) and an eight-measure consequent. retransition An intrathematic function that effects a modulation phrase Minimally, a four-measure unit, often, but not necessar- from a subordinate key or development key to the home key,

ily, containing two ideas. thus preparing for the return of a main theme (or A’ section).

postcadential One of several framing functions that express the It may range in length from a single chord to a multiphrase sense of “after-the-end.” It follows a cadence and prolongs its unit, and it frequently anticipates motives of the main theme's

final harmony, usually with a recessive dynamic. basic idea. pre-core The initial unit of a development section, preceding a return A restatement of a unit following an intervening, con-

core or core substitute. trasting unit (compare repetition).

pre-dominant function Various harmonies whose primary role ritornello In concerto form, a section written for the orchestra

is to progress to a dominant. alone.

GLOSSARY 257

rondo Any one of a number of full-movement forms in which a statement See tonic version (compare response).

single refrain alternates with two or more couplets. statement-response repetition A tonic version of a unit (usurounded binary A version of the small ternary form that first re- ally a basic idea) immediately restated by a dominant version. ' peats the exposition and then repeats together the contrasting stop A cessation of musical activity at any point in a formal unit,

middle and recapitulation (compare small binary). | not necessarily at a moment of cadential arrival (compare end). secondary development In a recapitulation, a newly added pas- _— structural changes In a restatement of any kind, alterations in sage featuring model—sequence technique and the toniciza- the basic tonal, harmonic, and phrase-structural organization

tion of “flat” tonal regions. of the original unit (compare ornamental changes).

secondary development key In the case of multiple develop- | subordinate harmony In a prolongational progression, a harment keys, one that receives lesser (cadential, textural, dura- mony with a meaning different from that of the prolonged tional) emphasis than does the primary development key. It harmony. usually appears early in the development section (compare — subordinate key A closely related tonal region confirmed by a

primary development key). perfect authentic cadence as the principal contrasting key to

section A general term for grouping structure (e.g., the closing the home key: in major-mode movements, the dominant resection of a subordinate theme, the development section of a gion of the home key, and in minor-mode ones, the mediant

sonata). (“relative major”).

sentence (eight-measure) A simple theme consisting of a pre- subordinate-key ritornello The third section of concerto form. sentation phrase and a continuation (or continuation=>>caden- It reinforces the confirmation of the subordinate key, is struc-

tial) phrase. tured as a thematic unit ending with a perfect authentic casentence (sixteen-measure) A compound theme consisting of dence, and draws on material from the opening ritornello. an eight-measure presentation (repeated compound basic — subordinate theme An interthematic function that confirms a

idea) and an eight-measure continuation. subordinate key by closing with a perfect authentic cadence. sequence A sequentially repeated version of a model. It loosens the formal organization in order to solidify the new sequential progression A progression that projects a consistent key in relation to the home key. intervallic pattern among the individual voices of the har- subordinate-theme complex In rondo form, a single couplet monies. It is classified in terms of the intervallic motion of its consisting of a transition, subordinate theme (group), closing

constituent roots (e.g., descending fifth sequence, ascending section, and retransition.

second sequence). subordinate-theme group Two or more successive subordinate sequential repetition A unit that is followed by a restatement themes, each ending with a perfect authentic cadence. transposed to a different scale-degree; the same as model- _— thematic introduction A framing function that expresses the

sequence technique. sense of “before-the-beginning.” It consists of a brief passage seven-part rondo A five-part rondo form extended by an addi- prolonging tonic (sometimes dominant) with a progressive tional refrain and couplet, the latter built as an interior theme. dynamic. It contains minimal melodic activity (so as not to slow introduction A large-scale framing function that expresses suggest a basic idea) (compare slow introduction). the sense of “before-the-beginning.’ It precedes an exposition | thematic unit A theme or themelike unit.

(compare thematic introduction). theme A unit consisting of a conventional set of initiating, mesmall binary A bipartite theme whose parts are normally re- dial, and ending intrathematic functions. It must close with a peated. It resembles the rounded binary except that the sec- cadence (compare themelike unit). ond part contains no recapitulatory function and the first part theme and variations A multipart, full-movement form consist-

may end with a half cadence (compare rounded binary). ing of a main theme followed by an indefinite number of varsmall ternary A tripartite theme consisting of an exposition (A), ied repetitions of that theme. contrasting middle (B), and recapitulation (A’) (compare themelike unit A unit that resembles a theme in formal organi-

large ternary). zation but is usually looser and is not required to close with a

sonata A tripartite full-movement form containing an exposi- cadence. tion, development, and recapitulation; a slow introduction three-key exposition An exposition that contains a modulating

and a coda may also be added. subordinate theme, thus suggesting (but rarely confirming) sonata-rondo A full-movement form consisting of four state- three different keys. ments of a refrain alternating with three couplets. The first tight knit A formal organization characterized by the use of conrefrain and couplet constitute a sonata exposition; the second ventional theme-types, harmonic—tonal stability, a symmetricouplet is either a development section or an interior theme; cal grouping structure, form-functional efficiency, and a unity the third refrain and couplet form a recapitulation; and an of melodic—motivic material (compare loose).

obligatory coda brings the final refrain. tonal-polarity model A model of overall tonal organization for sonata without development A bipartite full-movement form a movement based on a fundamental opposition of home consisting of an exposition followed by a recapitulation. (tonic) and subordinate (dominant or relative major) keys standing on the dominant A postcadential intrathematic func- (compare tour-of-keys model). tion following a half cadence. It may also follow a perfect au- tonic function The central harmony of a key, the one to which thentic cadence at the end of a small ternary exposition to ini- all others ultimately relate and derive their meaning. tiate a contrasting middle. It consists of one or more ideas —s tonic version A unit (usually a basic idea) whose initial harmonic

supported exclusively by a dominant prolongation. support is tonic (compare dominant version).

258 GLOSSARY

tonicization The process of emphasizing a scale-degree (be- truncated recapitulation In sonata-without-development form, sides the tonic) so that it is perceived as a local tonic. A toni- a recapitulation consisting of only the main theme (thus omit-

cized region does not receive cadential confirmation (com- ting the transition and subordinate theme).

pare modulation). truncated small ternary An incomplete theme consisting of an tour-of-keys model A model of overall tonal organization for a exposition (A) and a contrasting middle (B). The expected removement based on the home key progressing to a multiplic- capitulation (A’) is eliminated. ity of related tonal regions (including the subordinate key and two-part subordinate theme A subordinate theme whose first multiple development keys) (compare tonal-polarity model). part ends with an internal half cadence and whose second part transition An interthematic function that destabilizes the home starts with new, initiating material. key and loosens the formal organization in order for a subor- two-part transition A transition whose first part is nonmodula-

dinate key to be established and eventually confirmed. tory and closes with the home-key dominant and whose sectransition-like pre-core A modulatory thematic unit, usually ond part, often beginning with reference to main-theme sentential in form, that leads to dominant harmony of a de- ideas, modulates to the subordinate key and closes there with

velopment key (to begin a core). ‘dominant harmony.

transitional introduction A passage built over dominant har- _— ultimate dominant The root-position dominant triad of a halfmony of a new tonal region. It typically appears at the begin- cadential progression (compare penultimate dominant).

ning of a pre-core. unit A general term for any self-contained “chunk” of music,

trio The second part of minuet/trio form. It is constructed in embracing its complete melodic, harmonic, rhythmic, and

minuet or binary minuet form. textural content.

NOTES

Introduction ton, 1969), and Schoenberg’s The Musical Idea and the Logic, Technique, and Art of Its Presentation, ed. and trans. Patricia Carpenter

1. Some of the most notable books include V. Kofi Agawu, and Severine Neff (New York: Columbia University Press, 1995). Playing with Signs: A Semiotic Interpretation of Classic Music (Prince- 5. Erwin Ratz, Einftibrung in die mustkalische Formenlebre: ton, NJ: Princeton University Press, 1991); Michael Broyles, Uber Formprizipien in den Inventionen und Fugen J. S. Bachs und ibre Beethoven: The Emergence and Evolution of Beethoven's Heroic Style . Bedeutung fiir die Kompositionstechnik Beethovens, 3rd ed., enl. (Vi(New York: Excelsior, 1987); Carl Dahlhaus, Ludwig van Beethoven: enna: Universal, 1973), 56.

Approaches to His Music, trans. Mary Whittall (Oxford: Clarendon 6. Among the recent studies of late-eighteenth-century Press, 1993); Philip G. Downs, Classical Music: The Era of Haydn, music cited in n. 1, only the work of Agawu treats issues of formal

Mozart, and Beethoven (New York: Norton, 1992); Robert O. function in any detailed manner. With his notion of “introversive Gjerdingen, A Classic Turn of Phrase: Music and the Psychology of | semiosis,” he advances a “beginning—middle—end paradigm” tied Convention (Philadelphia: University of Pennsylvania Press, 1988); intimately to harmonic organization (Playing with Signs, chap. 3).

Ethan Haimo, Haydn’s Symphonic Forms: Essays in Compositional 7. To be sure, the concept of “classical style” is currently reLogic (Oxford: Clarendon Press, 1995); Robert S. Hatten, Musical garded with suspicion, especially in light of Webster’s recent criMeaning in Beethoven: Markedness, Correlation, and Interpretation tique (Haydn's “Farewell” Symphony, 347-57). Moreover, defining

(Bloomington: Indiana University Press, 1994); Daniel Heartz, this style on the works of only three composers obviously distorts Haydn, Mozart, and the Viennese School, 17g0-1780 (New York: the complete music-historical record. These methodological con-

Norton, 1995); Lewis Lockwood, Beethoven: Studies in the Creative cerns notwithstanding, this book continues the long tradition of Process (Cambridge, MA: Harvard University Press, 1992); Elaine establishing general principles of form on the basis of music held R. Sisman, Haydn and the Classical Variation (Cambridge, MA: Har- _ in the highest esteem and regularly performed by communities of

vard University Press, 1993); James Webster, Haydn’s “Farewell” | musicians. Determining the extent to which the theory offered Symphony and the Idea of Classical Style: Through-Composition and here applies to works by the many Kleimmeister of the late eighCyclic Integration in His Instrumental Music (Cambridge: Cambridge —_ teenth century must await the results of future research.

University Press, 1991); and Gretchen Wheelock, Haydn's Inge- 8. See especially the seminal works by Leonard G. Ratner, nious Jesting with Art: Contexts of Musical Wit and Humor (New Classic Music: Expression, Form, and Style (New York: Schirmer,

York: Schirmer, 1992). 1980); and Charles Rosen, The Classical Style: Haydn, Mozart, 2. The “form” of a complete multimovement instrumental Beethoven (New York: Norton, 1972), and Sonata Forms, rev. ed. cycle lies outside the scope of this book, but see Webster, Haydn’s = (New York: Norton, 1988).

“Farewell” Symphony, for an important inquiry into formal 9. Fred Lerdahl and Ray Jackendoff, A Generative Theory of

processes spanning the movements of a cycle. Tonal Music (Cambridge, MA: MIT Press, 1983), 13-16. 3. The analyses accompanying the text are intended in the 10. This aspect of formal functionality is to be thoroughly infirst instance to illustrate technical points of theory; the analytical vestigated by Janet Schmalfeldt, In the Process of Becoming: Philocommentary is thus partial and highly selective. I regret that limi- sophical and Analytical Perspectives on Form in Early Nineteenthtations of space prohibit more complete analyses, especially of en- Century Music (New York: Oxford University Press, forthcoming).

tire movements. For more extensive analytical applications of the 11. For example, Mozart's Rondo for Piano in D, K. 485 (the theory, see William E. Caplin, “Structural Expansion in Beethoven's work is actually in sonata form), uses the same motive, in various , Symphonic Forms,’ in Beethoven’s Compositional Process, ed. William transformations, for the beginning of each of its major sections. Kinderman (Lincoln: University of Nebraska Press, 1991),27-54, Yet the functions of main theme, transition, subordinate theme, and “The ‘Expanded Cadential Progression’: A Category for the development, and the like are fully articulated by various harmonic Analysis of Classical Form,’ Journal of Musicological Research 7 and phrase-structural processes that operate independent of mo-

(1987): 215-57. tivic content.

4. Arnold Schoenberg, Fundamentals of Musical Composition, 12. Throughout his writings, Schoenberg intermingles prined. Gerald Strang and Leonard Stein (London: Faber & Faber, ciples of formal procedure with concerns of motivic derivation. He 1967). Issues of form are also treated in Schoenberg’s Structural surely regarded the two domains as inextricably linked, but in fact Functions of Harmony, rev. ed., ed. Leonard Stein (New York: Nor- his actual Formenlebre (especially as developed by Ratz) has little 259

260 NOTES TO PAGES 5-13 connection to melody and motive. Moreover, the extensive investi- specific shape taken by an individual composition in all its particugations of these latter ideas by most present-day Schoenbergians _larity (so that changing even a single detail would mean altering its have largely bypassed issues of formal functionality. See, for exam- form) or (2) abstractions or generalizations based on structural ple, Patricia Carpenter, “A Problem in Organic Form: Schoen- uniformities displayed by a multiplicity of works (New Harvard Dicberg’s Tonal Body,’ Theory and Practice 13 (1988): 31-63; David tionary, 320). For a recent discussion of this “paradox of musical Epstein, Beyond Orpheus: Studies in Musical Structure (Cambridge, form,” see Bonds, Wordless Rhetoric, 13.

MA: MIT Press, 1979); Walter Frisch, Brahms and the Principle of 2. Lerdahl and Jackendoff, Generative Theory, 13-16. Developing Variation (Berkeley and Los Angeles: University of Cal- 3. Schoenberg, Musical Composition, 23; Ratz, Musikalische ifornia Press, 1984); and Severine Neff, “Schoenberg and Goethe: Formenlebre, 23. - Organicism and Analysis,” in Music Theory and the Exploration of the 4. Chap. 3 treats sentences lasting four or sixteen notated Past, ed. Christopher Hatch and David W. Bernstein (Chicago: Uni- —_—s measures and irregular-length sentences arising from extensions or

versity of Chicago Press, 1993), 409-33. | compressions. A distinct sixteen-measure sentence is discussed in 13. On the relation of classical form to durational propor- chap. 5. tions, see David Smyth, “ ‘Balanced Interruption’ and the Formal 5. Some readers may object that this presentation is considRepeat,’ Music Theory Spectrum 15 (1993): 76-88, and “Large- _ered a phrase, since it neither closes with a cadence nor completes a

Scale Rhythm and Classical Form,” Music Theory Spectrum 12 full linear or tonal progression. Although most theories of form (1990): 236-46. Also see Jane Perry-Camp, “Time and Temporal define phrase in relation to varying degrees of melodic and harProportion: The Golden Section Metaphor in Mozart, Music,and — monic closure, the notion of phrase in this book does not entail History,” Journal of Musicological Research 3 (1979): 149~53; and any special pitch requirements. Indeed, many of the problematic Jonathan D. Kramer, The Time of Music: New Meanings, New Tem- issues traditionally associated with the definition of phrase are poralities, New Listening Strategies (New York: Schirmer, 1988), more comfortably assimilated to the concept of formal function.

355-65. Thus phrase is used here as a functionally neutral term of grouping

14. See Miriam Sheer, “Patterns of Dynamic Organization in _ structure and refers, in general, to a discrete group approximately Beethoven's Eroica Symphony,’ Journal of Musicology 10 (1992): four measures in length.

483-504. 6. Athird main feature of continuation function— harmonic 15. For an initial step in this direction, see Janet Schmalfeldt, sequence—is discussed in connection with the following example.

“Towards a Reconciliation of Schenkerian Concepts with Tradi- 7. I acknowledge an inconsistency in terminology when the tional and Recent Theories of Form,” Music Analysis 10 (1991): adjectival cadential is used along with the nominative presentation 233-87. Recent studies of form from a predominantly Schenker- — and continuation. The problem arises because in many situations, ian perspective include those by Allen Cadwallader, “Form and the nominative form cadence is preferably restricted to the “moTonal Process,” in Trends in Schenkerian Research, ed. Allen Cadwal- ment” of cadential arrival. When we want to identify “the calader (New York: Schirmer, 1990), 1-21; David Beach, “Phrase dence” of a theme, we traditionally refer to that arrival point, not Expansion: Three Analytical Studies,” Music Analysis 14 (1995): necessarily to the complete time span that functions to achieve that 27-47; Joel Galand, “Form, Genre, and Style in the Eighteenth- _ arrival. See chap. 3 for further discussion of the varying usages of Century Rondo,’ Music Theory Spectrum 17 (1995): 27-52; John L. the terms cadence and cadential. Snyder, “Schenker and the First Movement of Mozart’s Sonata, K. 8. An authentic cadence is perfect when the melodic line ends 545: An Uninterrupted Sonata-Form Movement?” Theory and __ on the first scale-degree. An imperfect authentic cadence is defined Practice 16 (1991): 51-78; and Norman L. Wick, “Transformations later in chap. 3.

of Middleground Hypermeasures in Selected Mozart Keyboard 9. Unlike the earlier example, however, the progression does

Sonatas,’ Theory and Practice 16 (1991): 79-102. not end with root-position tonic. Instead, the dominant in m. 6 16. See, for example, Mark Evan Bonds, Wordless Rhetoric: leads through a passing chord (on the last eighth-note beat of the Musical Form and the Metaphor of the Oration (Cambridge, MA: measure) to a secondary dominant of VI. Nonetheless, it is still Harvard University Press, 1991); Wolfgang Budday, Grundlagen __ possible to recognize a true tonic prolongation even if the progresmusikalischer Formen der Wiener Klassik: An Hand der zeitgendsstschen sion does not literally conclude with that harmony.

Theorie von Foseph Riepel und Heinrich Christoph Koch dargestellt an 10. Since these dominant chords are subordinate to the framMenuetten und Sonatensitzen (1750-1790) (Kassel: Barenreiter, ing tonic harmony, they are placed in parentheses. Ellipses (. . .) in1983); Hermann Danuser, “Vers- oder Prosaprinzip?: Mozarts dicate a gap in the harmonic analysis; they are used in the examples Streichquartett in d-Moll (KV 421) in der Deutung Jéréme-Joseph to avoid needless repetitions, as here, or if a complete harmonic de Momignys und Arnold Schénbergs,” Musiktheorie 7 (1992): _ analysis is not necessary for the discussion.

245-63; Siegfried Schmalzreidt, “Charakter und Drama: Zur his- 11. A specific sixteen-measure period (traditionally termed torischen Analyse von Haydnschen und Beethovenschen Sonaten- = “double period”) is defined in chap. 5.

sitzen,” Archiv fiir Musikwissenschaft 42 (1985): 37-66; Elaine R. 12. We speak of a return of the basic idea, not a repetition, beSisman, “Small and Expanded Forms: Koch’s Model and Haydn’s _cause intervening material stands between the two statements of

Music,” Musical Quarterly 68 (1982): 444-75. the idea. Conversely, the consequent can properly be said to repeat the antecedent because no material stands between the phrases.

Chapter 1 This useful distinction between repetition and return is made by Leonard B. Meyer, Explaining Music: Essays and Explorations (Berke1. More philosophically minded musicians might also specu- ley and Los Angeles: University of California Press, 1973), 49.

late on the seemingly incompatible meanings of form as (1) the 13. The first two labels obviously derive from terminology

NOTES TO PAGES 13-23 261

traditionally associated with sonata form. The middle section of 26. The sequential progression actually begins with the C-

the sonata, however, is termed development. minor harmony of mm. 9-10. Since the prevailing tonality is not 14. Expositions also typically feature a hybrid theme which, as __ entirely clear, a harmonic analysis of this sequential progression is

defined in chap. 5, combines the functional characteristics of both given both for C minor (the initial tonality of the transition) and

the sentence and period. for Ab major (the goal tonality).

15. Even when the A section modulates, the final harmony of 27. The notion of phrase extension is defined and discussed the perfect authentic cadence is the “tonic” of the subordinate key. later in connection with the subordinate theme.

16. See the end of chap. 6 for a fuller discussion of this issue. 28. This tonic prolongation is shown in brackets in the harThe distinction between tight-knit and loose formal organization —_ monic analysis.

originates with Schoenberg and is developed extensively by Ratz. 29. To say that a given phrase prolongs two opposing harThe terms translate these theorists’ use of the German adjectives | monic functions (tonic and dominant) “at the same time” may fest and locker, respectively. The translation of fest as “stable” by | seem contradictory. But such disparities can be resolved when we Carpenter and Neff (Schoenberg, Musical Idea, 445, n. 191), fol- —_- understand that the prolongations actually occur at different “phelowing the lead of Schoenberg (Musical Composition, 178,201), has | nomenological space-times” and thus do not truly conflict with

not been adopted here, since the metaphor of stability is more tra- each other. See David Lewin, “Theory, Phenomenology, and ditionally associated with matters of harmony and tonality than = Modes of Perception,” Music Perception 3 (1986): 357-61.

with form. 30. Other theorists have proposed somewhat differing dis17. These low Ebs are merely ornamental and do not repre- _—stinctions between extension and expansion. See William Rothsent the genuine bass part, which is found on the first half of each stein, Phrase Rhythm in Tonal Music (New York: Schirmer, 1989),

beat (as indicated by the harmonic analysis). 311, n. 27; and Wick, “Middleground Hypermeasures,” 84, 89. 18. For this reason, the “half cadence” in m. 12 is perhaps 31. A case of phrase extension was also discussed earlier in better understood as a dominant arrival, a concept that I define connection with the continuation of the transition (ex. 1.7, mm.

(and distinguish from half cadence) in chap. 6. 13-14). 19. A thematic introduction should not be confused with an- 32. Presentation function can also be expanded by lengthenother type of introduction, namely, the slow introduction that pre- ing the basic idea, as discussed in chap. 3. Conversely, continuation cedes a sonata-form exposition, which is of considerably larger _— function, with its characteristic processes of fragmentation and

scope; see chap. 13. harmonic acceleration, is inherently unsuitable to withstand ex20. Wallace Berry, Structural Functions in Music (Englewood pansion techniques.

Cliffs, NJ: Prentice-Hall, 1976), 7. Berry also speaks of a recessive 33. Indeed, the dominant pedal first sounds in m. 20 (see ex. dynamic, which brings about a diminution and dissolution of ten- 1.7) as an extension of the standing on the dominant at the end of sion and excitement. Recessive dynamic is generally associated the transition.

with postcadential formal function, to be discussed shortly. 34. The development section of Beethoven's piano sonata 21. There is an unfortunate lack of terminological parallelism movement is discussed in chap. ro (see exs. 10.8 and 10.15). between standing on the dominant and closing section, which itself

can be considered a kind of “standing on the tonic.” But I maintain Chapter 2 the distinction in this book in order to conform to the traditional

usage of these expressions, especially by Schoenberg and Ratz. 1. Most of the paradigms can also appear in minor (with the 22. Berry, Structural Functions, 7. Recessive dynamic is partic- usual alterations); paradigms associated especially with minor are ularly associated with a closing section. In the case of a postcaden- set in that mode. tial standing on the dominant, the situation is more complex: the 2. Hugo Riemann, Vereinfachte Harmonielebre, oder die Lebre emphasis given to an inherently unstable harmonic function (one _vom den tonalen Funktionen der Akkorde (London: Augener, 1893).

having such a powerful need to resolve to the tonic) often gener- 3. The first comprehensive formulation of the Stufentheorie ates a degree of progressive dynamic that counters the recessive | appears in the writings of Simon Sechter, Die Grundsétze der character introduced by other musical forces, such as a systematic musikalischen Komposition, 3 vols. (Leipzig, 1853), who built his sys-

reduction in texture. tem on principles developed in the eighteenth century by Jean-

23. Subdominant emphasis in a codetta functions as a dy- Philippe Rameau and Johann Philipp Kirnberger. Sechter’s work namic counterweight to the dominant harmony preceding the final established a distinctly Austrian tradition of harmonic theory that tonic of the cadence. Whereas the cadential dominant creates ten- led directly to the ideas of Bruckner, Schenker, and Schoenberg at sion for its resolution to the tonic, the subdominant acts as an the end of the nineteenth century. See Robert W. Wason, Viennese agent of resolution and relaxation and thus helps create the reces- | Harmonic Theory from Albrechtsberger to Schenker and Schoenberg

sive dynamic so characteristic of codettas. (Ann Arbor, MI: UMI Research Press, 1985). 24. As mentioned, however, a codetta is not usually formed out 4. For modern formulations of a functional theory of harof immediately preceding ideas. A closing section containing “new” —s mony, see Eytan Agmon, “Functional Harmony Revisited: A Pro-

codettas is discussed in connection with ex. 1.8 (mm. 42-48). totype-Theoretic Approach,” Music Theory Spectrum 17 (1995): 25. To be sure, some individual themes of complete subordi- 196-214; Marion Guck, “The Functional Relations of Chords: A nate-theme groups are extremely tight knit (the first subordinate | Theory of Musical Intuitions,” In Theory Only 4 (1978): 29-42; and theme of Beethoven's Waldstein Sonata comes quickly to mind). In — Daniel Harrison, Harmonic Function in Chromatic Music: A Renewed those cases, the entire group of themes can be seen as looser in re- Dualist Theory and an Account of Its Precedents (Chicago: University

lation to the main theme (or theme group). of Chicago Press, 1994). )

262 NOTES TO PAGES 23-29 5. In Riemann’s Funktionstheorte, subdominant function is order to create a stable harmonic—tonal beginning. The appearprimarily conceived (following Rameau) as one of two tonal poles _—_ance of a prominent cadential I® later in the theme helps lighten the

to the tonic (the other pole being dominant function). He eventu- harmonic texture, provide greater dynamic momentum, and motially proposes that the subdominant leads logically to the dominant _ vate a return to the stability of the final cadential tonic.

but this notion remains secondary to his original polar conception 15. The use of IV in cadential progressions increases with of two dominants (“overdominant” and “underdominant”) center- | Beethoven and becomes even more favored throughout the nineing on the tonic. The North American adaptation of the functional teenth century. Just why the classical composers prefer II‘ for the theory, which emphasizes a group of pre-dominant harmonies __cadential pre-dominant is likely to be explained more by melodic leading to the dominant, has most likely been influenced in this re- and contrapuntal reasons than by specifically harmonic ones. (This spect by Schenkerian notions (despite Schenker’s own adherence issue is raised again shortly in the discussion of embellishments to

to the Stufentheorie tradition). the cadential dominant.)

6. In this chapter, chord is regularly used in the sense of har- 16. The final tonic of the authentic cadential progression, mony. In theory, the terms should be clearly distinguished, so that | though never harmonically altered, is often melodically ornathe former would refer to a specific vertical sonority and the latter, | mented with suspensions or appoggiaturas.

to a broader range of tonal relations. In practice, however, it is 17. Although the cadential six—four is consistently analyzed helpful to have chord available as a rough synonym for harmony, as dominant harmony throughout this book, a certain “tonic” _ especially when the texture is four-voice homophonic and the dis- quality nonetheless remains attached to the chord. In many cadencussion emphasizes details of chordal formation (such as inversion, _ tial situations, it is precisely the six— four chord that can bear enor-

doubling, and voice-leading). mous expansion, no doubt due to the degree of harmonic stability 7. These three categories are not as mutually exclusive as the chord retains by virtue of its also being a second-inversion just presented. For example, prolongational progressions can tonic. occur within a broad cadential progression, and some sequential 18. To be sure, the presence of the leading-tone (substitutprogressions may acquire an overall prolongational function. ing for the seventh of the ITS) lends a certain dominant character Moreover, a given progression may sometimes be classified in to this diminished seventh harmony, but not enough to overturn

more than one way. its more obvious pre-dominant function.

8. Allen Forte and Steven Gilbert, An Introduction to Schenker- 19. As is discussed in later chapters, this progression is partician Analysis (New York: Norton, 1982), 142. The concept of pro- ularly associated with the deceptive cadence, a specific formal device

longation derives, of course, from the theories of Heinrich used to extend a thematic structure. But the progression is occaSchenker. This book adopts a considerably more restricted notion sionally used in other formal contexts as well. of prolongation than that found in traditional Schenkerian analysis. 20. These last two forms of the deceptive cadential progres9. The paradigms used to illustrate the various harmonic _ sion (ex. 2.9d—e) resemble the harmonic situation typically associprogressions are written (with some exceptions) in four voices and _ated with the evaded cadence. The central difference between decep-

feature an unembellished melody typical of the progression. tive and evaded cadences concerns whether the event following the 10. All the subordinate harmonies in the following paradigms ——_ cadential dominant is the goal of the ongoing phrase (as in the de-

are placed in parentheses in order to highlight the prolonged har- ceptive cadence) or whether this event signals the beginning of a mony. In the analysis of actual musical passages, a greater flexibil- | new phrase (as in the evaded cadence). In the latter, the I¢ that typity in the use of parentheses helps differentiate levels of harmonic ically follows the dominant does not genuinely belong to the caorganization; thus, the harmonic rhythm of a given passage may be dential progression per se but, rather, initiates a new progression more clearly indicated if the subordinate chords are shown without (usually another authentic cadential one). Therefore, it is not quite parentheses. With a pedal point, however, the lack of a true bass accurate to speak of a deceptive cadential progression when a genfor the subordinate harmonies prompts us to place these chords in _uine cadential evasion occurs.

parentheses at all times. 21. Sometimes V’/IV seems to mark a genuine authentic ca11. The substitute chords in ex. 2.4d—e lie outside parenthe- dential progression, such as at the end of Bach’s Prelude in C from ses to indicate that the passing chords are even more subordinate the Well-Tempered Clavier, bk. 1. In such cases, it is as if a “passing

in the overall prolongation. seventh,” which would normally follow the tonic triad (as in ex. 12. The following discussion exclusively involves a particular —_2.1b), appeared simultaneously with that triad.

type of harmonic progression, one associated most often with ca- 22. The following discussion is highly indebted to the exceldence as a category of musical form. The issue of cadential formal —_ lent treatment of harmonic sequences given by Edward Aldwell function, however, is not raised here but, rather, in subsequent and Carl Schachter, Harmony and Voice Leading, 2d ed. (New York:

chapters. Harcourt Brace Jovanovich, 1989), chap. 17.

13. It is difficult to provide a completely satisfying explana- 23. In the analytical annotation of sequential progressions, the

tion for the special prominence given to the fourth scale-degree as__ initial, functional chord has appended to it the label seq. to signal the bearer of pre-dominant harmony. That this degree serves as a the nature of the subsequent progression. The following chords are passing tone between the third and fifth scale-degrees, which sup- placed in parentheses because of their relatively nonfunctional staport the initial tonic and dominant harmonies, is undoubtedly one tus, and the final chord of the progression stands outside the parenof a number of reasons that the fourth degree is used so frequently _ theses to indicate the regaining of functional meaning.

in the bass line of a cadential progression. 24. Ascending and descending fourths, sixths, and sevenths 14. There is a second, related reason that the initial tonic is are logically accommodated through inversion into one of the six

often inverted. Most themes open with root-position tonic in categories.

NOTES TO PAGES 29-37 263 25. The chromatic version in example 2.11f makes the incip- Jens Peter Larsen, Howard Serwer, and James Webster (New ient functionality more palpable. Note, too, the functional pro- York: Norton, 1981), 477-78; William E. Benjamin, “A Theory of

gression bIJ-V—I in E embedded in the sequence. Musical Meter,” Music Perception 1 (1984): 363; Frisch, Developing 26. It is somewhat anomalous, though, that the tonic goal of Variation, 12-18; Rothstein, Phrase Rhythm, 26-27; Janet Schmal-

the sequence itself can be understood as a “dominant” (of IV). feldt, “Cadential Processes: The Evaded Cadence and the ‘One 27. The ascending third sequential progression becomes = More Time’ Technique,” Journal of Musicological Research 12 (1992):

more prominent in nineteenth-century repertories. 1-51, and her “Reconciliation.” 28. The term stepwise can also be used for sequential progres- 2. In the arithmetical formula for a grouping structure, x

sions by ascending (and descending) seconds. stands for “times” and indicates the number of statements of a 29. It might be possible, though, to see an incipient func- _ given idea lasting a given number of measures. Thus, the formula tional relationship among the chords of example 2.15b when com- (2 x 2) + 4 means “a two-measure unit is stated two times and is pared with a descending fifth progression using diatonic seventh then followed by a four-measure unit.” In the sentence form, the chords (ex. 2.15c). Here, some of the roots would be “implied” be- four-measure continuation phrase itself is sometimes grouped (2 x

cause they are not actually present in the chords. 1) + 2. 30. The choice of nonsequential upper voices in ex. 2.16e 3. The notion that the sentence form contains three formal supports the cadential implications of the progression. functions is a central innovation of my book. None of the tradi31. Just this situation arises in the first movement of tional writings on the sentence form makes any such explicit forBeethoven’s Eroica Symphony, mm. 123-34. See Caplin, “Struc- mulation. Fischer’s Fortspinnungstypus (see n. 1) involves three func-

tural Expansion,’ 42-43. tional elements, but they differ significantly from those of the

sentence, as explained in William E. Caplin, “Funktionale Kompon-

Chapter 3 enten im achttaktigen Satz,’ Musiktheorie 1 (1986): 255-58. 4. An alternative expression for this second phrase, “continu1. Asa distinct theme-type, the sentence (Ger. Satz) seems to ation=>cadential,” is introduced later. Recall again that the term have been defined with precision and consistency first by Arnold —_—_phrase is functionally neutral and merely refers to a musical unit of

Schoenberg early in this century. His most complete formulation approximately four measures (see chap. 1, n. 5). appears in Fundamentals of Musical Composition (chaps. 5 and 8), 5. The situation R = 2N may seem to resemble the notion of written later in his life. In developing the concept, Schoenberg was = “hypermeter,’ as developed by Edward T. Cone, Musical Form; likely influenced by Wilhelm Fischer’s notion of Fortspinnungsty- William Rothstein, Phrase Rhythm; and Carl Schachter, “Rhythm pus, “Zur Entwicklungsgeschichte des Wiener klassischen Stils.” | and Linear Analysis: Durational Reduction,” in Music Forum, ed. Studien zur Musikwissenschaft 3 (1915): 24-84. The sentence is also Felix Salzer, vol. 5 (New York: Columbia University Press, 1980), discussed by a number of Schoenberg’s students, especially Ratz 197-232, and “Rhythm and Linear Analysis: Aspects of Meter,’ in (Musikalische Formenlebre, 21-24), but also Anton Webern, The Music Forum, ed. Felix Salzer, vol. 6, pt. 1 (New York: Columbia Path to the New Music, ed. Willi Reich (Bryn Mawr, PA: Theodore University Press, 1987), 1-59. These theorists do not, however, Presser, 1963), 27, 30-31; Erwin Stein, Form and Performance postulate a distinction between real and notated measures; instead, (London: Faber & Faber, 1962), 93-95; and Josef Rufer, Cosposi- they understand hypermeter to be any metrical organization lying tion with Twelve Notes, trans. Humphrey Searle (London: Barrie — above the level of the notated measure, whether or not that meaand Rockliff, 1954), 32-33. Carl Dahlhaus’s important study of the sure is real (in the sense formulated here).

sentence in relation to the period continues this tradition: “Satz 6. For example, the slow introduction to a sonata form’s first und Periode: Zur Theorie der musikalischen Syntax,” Zeitschrift fir | movement may feature R = '4N, which then becomes R = N (or

Musiktheorie 9 (1978): 16-26. Seemingly independent of the even R = 2N) at the onset of the exposition. See chap. 13, exs. Schoenberg school, the Hungarian musicologist Dénes Bartha de- 13.10 and 13.11.

scribed many sentence types according to his concept of “quater- 7. This example is the actual main theme of the movement; nary stanza structure”: “On Beethoven's Thematic Structure,” in the “fate” motives of mm. 1-5 make up a thematic introduction. The Creative World of Beethoven, ed. Paul Henry Lang (New York: 8. A genuine sixteen-measure sentence is defined in chap. 5.

Norton, 1971), 260-66. Later, Bartha termed this form the “qua- 9. The term presentation is new: neither Schoenberg nor his train,” “Das Quatrain-Modell in Mozarts Perioden- und Lied- followers introduce a specific label to distinguish the first phrase form-Strukturen,” Mozart-Jabrbuch 1978/79, 30-44. In the late of the sentence from that of other theme-types. Thus whereas eighteenth century, Heinrich Christoph Koch considered some ex- Schoenberg speaks of an “antecedent” of the period, he refers amples of the sentence in connection with his notion of “com- merely to the “beginning” of the sentence (Musical Composition, 21). pound phrase,” in Introductory Essay on Composition: The Mechanical Ratz, who describes the sentence as consisting of three units— Rules of Melody, Sections 3 and 4, trans. Nancy Kovaleff Baker (New Zweitakter (“two-measure unit”), Wiederholung (“repetition”), and

Haven, CT: Yale University Press, 1983), 57, but the concept re- = Entwicklung (“development”)—provides no term for the first

mains somewhat peripheral to his thought. phrase containing the basic idea and its repetition (Mustkalische ForNorth American theory has only lately come to recognize the —_ menlebre, 21). Dahlhaus uses Vordersatz (“antecedent”) to label the sentence form as a distinct theme-type. A brief but influential ref- first phrase of both the sentence and period (“Satz und Periode”).

erence is made by Edward T. Cone in Musical Form and Musical 10. Hugo Leichtentritt, Musical Form (Cambridge, MA: HarPerformance (New York: Norton, 1968), 75-76. More recent dis- vard University Press, 1951), 5; Ellis B. Kohs, Musical Form cussions include those by Michelle Fillion, “Sonata-Exposition (Boston: Houghton Mifflin, 1976), 7; Wallace Berry, Form in Procedures in Haydn’s Keyboard Sonatas,” in Haydn Studies, ed. Music, 2d ed. (Englewood Cliffs, NJ: Prentice-Hall, 1986), 2.

264 NOTES TO PAGES 37-40

11. Traditional formal theory lacks a satisfactory English 18. See also ahead ex. 3.9 for a case of an exact repetition of term for the initial two measures of a classical theme. Schoen- _ the basic idea with a changed melodic component. berg’s use of “phrase” for this unit (Musical Composition, 3-7) runs 19. See also ahead exs. 3.10 and 3.14.

counter to the usual English practice of regarding the phrase as, 20. See also ahead exs. 3.13, 3.15, and 3.16. The “1-7... minimally, four measures in length. The terms “subphrase” and = 4-3” melodic schema, which is embedded in the first four mea“half phrase” are occasionally encountered, but they misleadingly _ sures of ex. 3.3a, is examined in detail by Gjerdingen (Classic Turn imply that the unit is merely a subordinate component of amore —_of Phrase). This schema arises in the vast majority of cases within a fundamental, higher-level structure, namely, the phrase. Finally, presentation phrase containing a statement—response repetition of

German theory does not provide much help in finding an English a basic idea.

term. Ratz, for example, refers to the opening unit of a sentence 21. See also ahead ex. 3.12. simply as a Zweitakter (“two-measure unit”) (Musikalische Formen- 22. See Mozart, Piano Sonata in C, K. 309/284b, iii, 1-4;

lebre, 21). Beethoven, String Quartet in C Minor, Op. 18/4, i, 1-4; BeethoI chose the term basic idea here in deliberate reference to ven, Violin Sonata in A Minor, Op. 23, i, 1-4. Schoenberg’s famous Grundgestalt. Although Schoenberg never 23. If the melody is transposed by an ascending fifth (or de-

achieved a definitive and unambiguous formulation of this prob- —_—scending fourth), the repetition is more like a sequence than a lematical concept, his student Josef Rufer reports one meaning _ response.

that is compatible with my notion of basic idea: “In my very full 24. Other examples: Mozart, String Quartet in F, K. $90, ii, notes of his [Schoenberg’s] teaching between 1919 and 1922 I find 1-4; Beethoven, Violin Sonata in A, Op. 30/1, ii, 1-8; Beethoven, these definitions: a motif is the smallest musical form, consisting of | Piano Sonata in C (“Waldstein”), Op. 53, i, 1-8. Throughout at least one interval and one rhythm. The next sized form is the this book, additional] illustrations of formal situations and proceGrundgestalt or phrase, ‘as a rule 2 to 3 bars long’. . . and consist- dures are cited in order to supplement those discussed in the muing of the ‘firm connection of one or more motifs and their more sical examples.

or less varied repetitions’” (Composition with Twelve Notes, viii). 25. Deviations from the norms of formal organization are Note that Schoenberg here regards the motive as the “small- = mentioned regularly throughout this book. Needless to say, the est musical form.” In his Musical Composition, he revised his view _ notion of formal deviation must be understood to carry no pejoraand refers to the two-measure “phrase” as the “smallest structural _ tive connotations. On the contrary, many deviations are of special

unit” (3). aesthetic and compositional interest.

12. Metrical reasons may also account for the two-measure 26. A case of an extended presentation in the loose organiza-

size of the basic idea. To perceive a measure as a complete metrical tion of a subordinate theme is examined in connection with ex. 8.1,

unit, it is necessary to hear two downbeats: the second downbeat mm. 28-33. both marks the end of the first measure and initiates the second Identifying techniques of phrase alterations (extension, exmeasure. Thus a basic idea not only provides the principal pansion, compression) as deviations from the norms of a symmetmelodic—motivic content in a stable harmonic context but also rical grouping structure (2 + 2, 4 + 4, etc.) has a long and distin-

helps define the metrical organization of the theme. guished history in the theory of musical form (and rhythm). 13. See also ahead exs. 3.4 and 3.10 for basic ideas supported Riepel, Kirnberger, and Koch initiated the practice in the eigh-

exclusively by tonic harmony. teenth century, and it found even greater expression in the metrical 14. Despite the foregoing generality, a significant minority of theories of Hugo Riemann and the formal theories of Schoenberg classical themes begin with conventional, cadence-like gestures. (Musical Composition frequently refers to various techniques of (The opening of the trio in Mozart’s Symphony No. 41 in C phrase alteration). Rothstein’s excellent study (Phrase Rhythm, esp. (“Jupiter”], K. 551, is a well-known example, although the initial chaps. 2 and 3) discusses many of the same issues, particularly in idea is probably better heard as a codetta rather than asa cadence.) _ relation to a Schenkerian viewpoint (but also a Riemannian one).

In such cases, the composer uses a variety of strategies to make The treatment of the topic here, though similar to others of its sure that the theme properly expresses a sense of beginning and kind, emphasizes the form-functional contexts in which the stan-

leads appropriately to a true cadence at its end. dard techniques of phrase alteration arise. 15. See ahead ex. 4.12, m. 2, in which the slur in the first vi- 27. The label Main Theme (and the subsequent italicized laolin embraces all three quarter notes. However, the basic idea _bels) refer to interthematic functions discussed in chap. 15.

most likely ends with the note B, and the following C initiates 28. Other examples: Mozart, Piano Concerto in F, K. the brief contrasting idea. Whereas slurring marks and other —413/387a, ii, 1-6 (R = 2N); Beethoven, Symphony No. 1 in C, signs of articulation are of obvious importance to the performer, Op. 21, i, 13-24; Beethoven, String Quartet in C, Op. 59/3, 1, they must not be taken as analytical imperatives. Neither is the 30-40; Beethoven, Piano Sonata in C (“Waldstein”), Op. 53, i, 1-8. performer obliged to realize in performance any particular ana- References to “other examples” that appear following the discussion lytical interpretation. In certain situations, indeed, a performer —_ of a musical example pertain to the general formal technique or may very well want to create continuities of “phrasing” (in the _ principle illustrated by the example as a whole, not necessarily to a performative sense) that cross over the boundaries of the work’s _specific technique mentioned toward the end of the discussion.

grouping structure. 29. In addition to speaking of this phrase as a “continuation,” 16. Ex. 4.6, considered in the next chapter, also contains a Schoenberg also calls it a “development” (Musical Composition, 58),

basic idea that consists of a repeated one-measure unit. as does Ratz, when he exclusively refers to this phrase as an Ent17. I describe sequential repetition in greater detail when dis- — wicklung (Musikalische Formenlebre, 21, 24). Since “development”

cussing continuation function. has more specific meanings in traditional formal theory (develop-

| NOTES TO PAGES 41-49 265 ment of a motive, development section of sonata form), the expres- | dence motivates a repetition of the continuation phrase (not

sion is not used here in connection with the sentence. shown). Other examples: Haydn, Piano Sonata in D, Hob. XVI:33, 30. An important exception to the prominence of continua- i, 1-12; Mozart, Horn Quintet in E-flat, K. 407/386c, i, 1-12. tion function over cadential function is discussed later in connec- 45. Refer again to the discussion in chap. 1 of the subordinate

tion with a “continuation=cadential” phrase. theme of Beethoven's Piano Sonata in F Minor, Op. 2/1, i (ex. 1.8). 31. Schoenberg refers to this procedure as “reduction” (Musi- 46. In other contexts, the same symbol indicates retrospeccal Composition, 59), but I have avoided that expression here be- tive reinterpretations of harmony, tonality, and cadence. I thank cause of its different meaning in connection with a Schenkerian =‘ Janet Schmalfeldt for recommending the use of this symbol for

representation of harmonic—contrapuntal phenomena. these many purposes. 32. For an insightful discussion of Mozart’s tendency to in- 47. Other examples: Haydn, Symphony No. 83 in G Minor crease surface rhythmic activity toward the end of themes, see Ed- (“The Hen”), ii, 1-8; Haydn, Piano Sonata in D, Hob. XVI:33, i, ward E. Lowinsky, “On Mozart’s Rhythm,” in The Creative World of | 1-8; Mozart, Violin Sonata in C, K. 403/385c, ii, 1-12; Mozart, Mozart, ed. Paul Henry Lang (New York: Norton, 1963), 31-55. Piano Sonata in B-flat, K. 333/315¢, ii, 14-21; Beethoven, Violin

33. See also ahead ex. 3.16. Sonata in D, Op. 12/1, 1, 5-13.

34. See Ann Blombach, “Phrase and Cadence: A Study of 48. The final cadence of this theme is somewhat ambiguous. Terminology and Definition,’ Journal of Music Theory Pedagogy 1 Hearing a perfect authentic cadence here is not out of the ques(1987): 225-51, for a summary of widely divergent definitions of _ tion, but it is probably best interpreted as an imperfect authentic

cadence (and phrase) given in standard theory texts. cadence, since the principal melodic tone in measure 8 is C} (re35. This last point requires further elaboration and some solving the repeated Ds of the previous measure). The motion major modifications when we consider situations in which a the- down to A would thus be a melodic embellishment, like that dematic unit appears to begin, paradoxically, with cadential function; scribed by Koch as an “overhang” (Uberbang), Essay on Composition,

see chap. 8, p. 113. 24. See also the discussion in chap. 4 of ex. 4.16.

36. The foregoing generalization must be qualified by those 49. Other examples: Haydn, Piano Trio in E Minor, Hob. many cases in which the cadential material directly relates toear- | _XV:12, iii, 1-8 (exposition of small ternary); Beethoven, Thirty-

lier ideas, even the basic idea itself. Three Variations for Piano (“Diabelli”), Op. 120, 1-8 (first part of 37. Thus Schoenberg’s definition: “Liquidation consists in small binary). gradually eliminating characteristic features, until only uncharac- 50. Frequently, the alterations take place in a repetition of an teristic ones remain, which no longer demand a continuation. original four-measure continuation. Often only residues remain, which have little in common with the 51. For the definition of extension and a discussion of how this basic motive. In conjunction with a cadence or half cadence, this process differs from expansion, see chap. 1.

process can be used to provide adequate delimitation for a sen- 52. Other examples: Mozart, Piano Sonata in A Minor, K.

tence” (Musical Composition, 58). 310/300d, i, 1-9; Mozart, Piano Sonata in B-flat, K. 333/315¢, i, 38. Melodic closure need not occur precisely at the same 1-10; Beethoven, Piano Sonata in F, Op. 10/2, i, 1-12; Beethoven, time as harmonic closure. Indeed, the melodic line is often embel- Piano Sonata in B-flat (““Hammerklavier”), Op. 106, i, 1-17.

lished (e.g., by suspensions) so that it concludes later than the 53- Musical Composition, 30, and ex. 45(I), p. 38.

onset of the final cadential harmony. 54. Other example: Haydn, String Quartet in G Minor 39. Additional cadential variants include the evaded cadence (“The Rider”), Op. 74/3, ii, 1-10.

and the abandoned cadence. Since these types rarely occur in tight- 55. Other examples: Haydn, String Quartet in F Minor knit main themes, I reserve a detailed discussion of them for (“The Razor”), Op. 55/2, iv, 1-6; Haydn, Piano Trio in F, Hob.

chap. 8. XV:2, i, 1-7. 40. In light of the rest of the movement, this example may

be interpreted as R = '4N, in which case it would be a sixteen- Chapter 4

measure sentence, as defined in chap. 5.

Other examples: Haydn, String Quartet in B-flat, Op. 50/1, i, 1. Period has long been used as a term for formal organiza3-12; Beethoven, String Quartet in C Minor, Op. 18/4, i, 8 (a I® tion. In the eighteenth century, the term broadly described various

substitutes for the final tonic). phrase-structural patterns ending with a relatively strong cadence. 41. Plagal cadences perhaps arise in works from the nine- Nineteenth-century theorists began to characterize the period as a teenth century. But even in some of those cases, the progression | symmetrical, two-phrase structure with differentiated cadential from IV to I seems to omit an implied penultimate dominant of an weight, a notion that has remained largely intact to the present.

authentic cadence. See Carl Dahlhaus, “Periode,” Riemann Musiklexikon, 12th ed., vol. 42. Thus the concept of plagal cadence is one of many mani- 3, Sachteil (Mainz: B. Schott, 1967), 721-22.

festations of a chronic confusion between cadential and postcaden- Schoenberg and his followers restrict the concept of period to

tial functions. what is frequently called the “parallel period” (i.e., where the be-

43. The complete sentence is sometimes then repeated to ginning of the consequent is the same as the beginning of the anclose with a perfect authentic cadence, thus creating a sixteen- tecedent), and this tradition is continued here. The so-called conmeasure period, as discussed in chap. 5 (see exs. 5.9 and §.10). trasting period is better understood as a hybrid theme (see chap. 5).

44. The useful term /ead-in is introduced by Rothstein, 2. In a small ternary to be discussed in chap. 6, we will ob-

Phrase Rhythm, 51-52. serve the same basic idea used to begin a period and, later in the See also ex. 3.5, where the closing imperfect authentic ca- form, a sentence (see ex. 6.11).

266 NOTES TO PAGES 49-59 3. See Piano Concertos in C, K. 415/387b, in D, K. 451, in the forms of the graphic arts and architecture. But the only really

G, K. 453, and in B-flat, K. 456. symmetrical forms in music are the mirror forms, derived from 4. See also ahead ex. 6.5, mm. 1-8. Other examples: Haydn, contrapuntal music. Real symmetry is not a principle of musical conPiano Sonata in D, Hob. XVI:37, i, 1-4; Mozart, Piano Concerto _ struction. Even if the consequent in a period repeats the antecedent

in B-flat, K. 456, ii, 1-q. strictly, the structure can only be called ‘quasi-symmetrical’” (Musical 5. Some theorists introduce a wide range of factors for defin- Composition, 25).

ing various degrees of cadential weight. See Kohs, Musical Form, Ratz also admits that “the concept of symmetry in music is 26-27; and Douglass M. Green, Form in Tonal Music, 2d ed. (New not applicable in the strictest sense because of its [music’s] tempoYork: Holt, Rinehart and Winston, 1979), 8-9. To be sure, many ral dimension,” but he nevertheless prefers “this idea to all others individual cadences of the same type (either half, imperfect au- because of its direct vividness and usefulness” (Musikalische Forthentic, or perfect authentic) can give the impression of having dif- menlebre, 24, n.; this and all subsequent translations of Ratz are fering amounts of perceptual salience. But for the definition of | mine). This book follows Ratz in using the term “symmetrical” in form, all cadences of the same type are considered to have the reference to grouping structures involving equal-length units.

same structural weight. 16. The D# in the melody of m. 7 suggests a local toniciza-

6. An exception to the principle that an antecedent cannot tion of the submediant degree, but the subsequent E ends up funcclose with a perfect authentic cadence is raised toward the end of _ tioning as an appoggiatura to D within tonic harmony. The VI this chapter in connection with the reinterpreted half cadence. harmony implied here, however, is eventually realized in interest7. Other examples: Mozart, Violin Sonata in A, K. 526, iii, ing ways later in the minuet (see chap. 15, nn. 22, 25). 4-5; Mozart, Piano Sonata in G, K. 283/189h, ii, 2-3 (R = ‘4N). Other examples: Haydn, Piano Sonata in C, Hob. XVI1:48, ii,

. 8. Likewise, “start” and “beginning” are similarly distinct. 1-12; Haydn, Piano Trio in D, Hob. XV:24, i, 2-13; Mozart, See the discussion on “start of the coda” in chap 12. For more on Piano Sonata in F, K. 533, iii, r-12; Beethoven, Piano Sonata in A-

this topic, see Kramer, Time of Music, 202 -3. flat, Op. 26, iv, 1-12. 9. The terms elision and elided cadence are widely found in 17. Interpolations rarely occur within a sentence; thus they modern formal theory (Berry, Form in Music, 9; Green, Form in were not treated in chap. 3. For an example, see Mozart, Violin Tonal Music, 15; Kohs, Musical Form, 22). For this reason, their use Sonata in C, K. 403/385¢, ii, 3 and 6.

is retained here. Koch, writing late in the eighteenth century, 18. Other examples: Haydn, Piano Trio in E, Hob. XV:28, evokes the more colorful image of a “suffocation” or “choking” of __ iii, 1-12 (4 + 8); Haydn, Variations for Piano in F Minor, Hob. a measure (Tacterstickung) (Essay on Composition, 54-56). More re- XVII:6, 30-39 (4 + 6); Mozart, Piano Concerto in D Minor, K. cently, the term “overlap” has been employed in connection with 466, iii, 1-13 (4 + 9); Mozart, Piano Sonata in C, K. 279/189d, iii, this phenomenon (Rothstein, Phrase Rhythm, 44; Lerdahl and Jack- I-10 (4 + 6).

endoff, Generative Theory, 55-62). 19. Other examples: Haydn, String Quartet in D (“The It may be objected that “elision” is incorrectly used in this Frog”), Op. 50/6, iv, 1-8; Haydn, String Quartet in D Minor context, since neither the end of one phrase nor the beginning of (“Fifths”), Op. 76/2, ii, 1-4 (R = '4N); Beethoven, Piano Sonata the next is suppressed or omitted. Both these structural events are in A-flat, Op. 26, ii, 1-8. present but are sounding simultaneously. Yet the literal sense of 20. See ex. 3.15 for a similar ambiguity of cadence type. elision can still be maintained when we recognize that the proce-

dure is not one of omitting a structural event but, rather, a unit of Chapter 5

time. In other words, the end of a phrase and the beginning of a new phrase normally occupy two distinct measures. In the case of 1. Mustkalische Formenlehre, 24. phrase elision, however, one of these measures is omitted. For fur- 2. Indeed, Ratz admits that “in practice, of course, we will ther discussion of these issues, see Schmalfeldt, “Cadential frequently meet themes that cannot be attributed clearly to one or

Processes,” 46-47, n. 11, and 48—49, n. 14. the other type.” He then states his fundamental attitude toward the to. An elided antecedent and consequent would also result in establishment and employment of formal categories, an attitude an asymmetrical rhythmic structure—a five-measure antecedent that also underlies this book: “But only when we have correctly

overlapping with a four-measure consequent. comprehended the contrasting nature of these two kinds of con11. See Mozart, Piano Concerto in D Minor, K. 466, ii, 1-8. struction [the sentence and period} (both of which, however, rep12. See also ahead ex. 4.12. Other examples: Haydn, String __ resent tight-knit organization) can we find our way about in the Quartet in C, Op. 50/2, iii, 1-8; Beethoven, Piano Sonata in E-flat_ _great variety of their appearances. We first have to establish clearly

(“Lebewohl”), Op. 81a, ii, 1~8. a type that exists as a norm and can be considered as such accord13. Other examples: Haydn, Piano Trio in D, Hob. XV:24, i, ing to its nature, in order to be able to recognize eventual devia2-13; Beethoven, String Quartet in B-flat, Op. 18/6, tii, 1-8; tions. And it cannot be disputed that what we have described as the Beethoven, Piano Sonata in D (“Pastoral”), Op. 28, fi, 1-8. period and the sentence in the sense of opposing, extreme cases is 14. Occasionally, the contrasting idea of the antecedent is present in the works of the masters, indeed, not only in Beethoven, also harmonized exclusively by a cadential progression (see ex. but in Bach, Haydn, and Mozart as well. Although we understand

4.1, mm. 3-4). the concepts of period and sentence as more narrow (and conse-

15. Schoenberg correctly observes that the term “symmetry” quently more definite) than has otherwise been the case in the theis not entirely applicable to musical form: “Former theorists and ory of form, we believe that we have helped to clarify these conaestheticians called such forms as the period symmetrical. The cepts and to emerge from the vague circumstance where different term symmetry has probably been applied to music by analogy to phenomena are designated by the same term” (pp. 24-25).

NOTES TO PAGES 59-71 267 . 3. Such nonconventional theme-types are discussed and il- _a period. Since that situation rarely occurs in classical themes (for lustrated in chap. 13 in connection with main themes of sonata _an exception, see n. 22), the term is not used in this book.

form. 16. As will be discussed later, the “return of the basic idea” 4. See also ahead ex. 5.13, mm. 1-8, and ex. 15.4, mm. 1—10. associated with a four-measure consequent would obscure the ar-

Other examples: Haydn, String Quartet in F, Op. 74/2, ii, 1-8; _ ticulation of a higher-level consequent.

Haydn, Piano Trio in G, Hob. XV:25, i, 1-10; Mozart, Piano 17. Other examples: Haydn, String Quartet in E, Op. 54/3, Concerto in B-flat, K. 456, ii, 1-8; Mozart, Piano Trio in B-flat, iv, 1-16; Mozart, Piano Trio in E, K. 542, iii, 1-16; Beethoven, K. 502, ii, 1-8; Beethoven, String Quartet in F, Op. 59/1, iii, 1-8; Violin Sonata in A Minor, Op. 23, iii, 1-20.

Beethoven, Piano Sonata in A, Op. 2/2, ii, 1-8. 18. The notion of abandoning a cadence is explained and il5. See also ahead ex. 7.5, mm. 1-8, and ex. 7.8, mm. 1-8. _ lustrated in chap. 8. Other examples: Mozart, Symphony No. 35 in D (“Haffner”), K. Other example: Haydn, Symphony No. 83 in G Minor (“The 385, iii, 1-8; Beethoven, Violin Sonata in E-flat, Op. 12/3, ii, 1-8, Hen”), ii, 1-16. iii, 1~8; Beethoven, Piano Sonata in C Minor, Op. 111, ii, 1-8. 19. Other examples: Haydn, Symphony No. 104 in D (“Lon6. The choice of this term will become clearer when we ex- don”), i, 1-16; Mozart, Piano Sonata in B-flat, K. 333/315¢, i, } amine the sixteen-measure sentence and observe that a four-mea- 23-38; Beethoven, Bagatelle in E-flat, Op. 126/3, 1-16.

sure compound basic idea is repeated to make an eight-measure 20. Other example (of a significantly altered consequent):

presentation. Haydn, String Quartet in F, Op. 77/2, i, 1-16.

7. See also ahead ex. 5.11, mm. 1-8, ex. 5.14, mm. 1-8, ex. 21. Other examples: Mozart, String Quartet in C (“Disso6.7, mm. 27-34, and ex. 15.1, mm. 1~8. Other examples: Haydn, nance”), K. 465, iv, 1-16; Mozart, Piano Sonata in F, K. 332/300k,

String Quartet in F, Op. 77/2, i, 1-8; Mozart, Horn Quintet in E- i, 41-56. flat, K. 407/386c, ii, 1-8; Mozart, String Quartet in D, K. 499, ii, 22. For one such exception, see Mozart, Violin Sonata in E1-8; Beethoven, Violin Sonata in D, Op. 12/1, ii, 1-8; Beethoven, flat, K. 481, i, 69-84.

Bagatelle in E-flat, Op. 126/3, 1~8. 23. It is not immediately clear why hybrid type 2 (antecedent 8. See also ahead ex. 5.12, mm. 1~8, ex. 6.6, mm. 1-8, ex. + cadential) rarely appears as a constituent of the sixteen-measure

6.8, mm. 9-16, and ex. 13.9, mm. 14-21. Other examples: period (except occasionally in the consequent unit). Perhaps the Beethoven, String Quartet in A, Op. 18/5, ii, 82-89; Beethoven, reason lies in the tendency for the cadential phrase of this hybrid

Bagatelle in E-flat, Op. 126/3, 9-16. to close with an authentic cadence (with its four principal har9. See also ahead ex. 6.7, mm. 1-8, ex. 6.9, mm. 67-74, and monies), rather than with a half cadence, which is typically used for ex. 7.6, mm. 1-8. Other examples: Haydn, Symphony No. 103 in _ projecting a large-scale antecedent function.

E-flat (“Drumroll”), ii, 27~34; Haydn, String Quartet in C (“The 24. Other example: Mozart, Symphony No. 36 in C (“Linz”),

Bird”), Op. 33/3, ii, 1-10; Mozart, String Quartet in B-flat, K. K. 425, i, 20-42. 589, iti, 1-8; Beethoven, Piano Sonata in G, Op. 49/2, ii, 1-8. 25. With the sixteen-measure sentence, the term compound 10, Of the hybrids illustrated in this chapter, exs. 5.3, 5.4, 5-5, basic idea comes entirely into its own. The function of a repeated and 5.8 function independently as the main theme of amovement. —_ compound basic idea within that form is identical to the repeated Exs. 5.1 and 5.2 form the first part of a small binary; ex. 5.7, the A’ —_ simple idea of an eight-measure sentence.

section of a small ternary; and ex. 5.6, the antecedent of a sixteen- 26. Other examples: Mozart, Symphony No. 41 in C

measure period. (“Jupiter”), K. 551, iii, 1-16; Mozart, String Quartet in A, K. 464, 11. The small ternary form and the strophic song form are i, 1-16; Mozart, Piano Quartet in G Minor, K. 478, i, 1-16. The

additional contexts suitable for the use of a hybrid whose basic idea _ sixteen-measure sentence seems to be a favorite theme-type for be-

appears only once. See William E. Caplin, “Hybrid Themes: To- _ ginning a classical concerto. Mozart uses the form at the start of ward a Refinement in the Classification of Classical Theme _ four of his mature piano concertos (in B-flat, K. 450, in G, K. 453,

Types,” Beethoven Forum 3 (1994): 163-64. in D Minor, K. 466, and in C, K. 503). Beethoven uses the com12. Thus a sixteen-measure compound theme must be distin- pound sentence to open his first three piano concertos and also his guished from a simple eight-measure theme consisting of sixteen violin concerto.

notated measures (R = 2N), such as exs. 3.2 and 4.7. 27. The same ratio is also seen frequently in the simple 13. Compound hybrid themes appear seldom in the literature eight-measure sentence, in which the two-measure basic idea is and thus require no special treatment here. See Beethoven, Piano fragmented into one-measure units at the beginning of the continSonata in G, Op. 79, i, 1-12, for a compound sentential hybrid (8- uation phrase.

m. compound basic idea + 4-m. continuation). 28. Other examples: Haydn, String Quartet -in C (“Em14. A reinterpreted half cadence (see chap. 4) is frequently —_—peror”), Op. 76/3, iv, 1-12; Haydn, Piano Sonata in E-flat, Hob.

used to end the large-scale antecedent, which often gives the § XVI:49, i, 1-12. strong impression of having modulated to the dominant region. 29. Other example: Beethoven, Piano Concerto No. 2 in BSee Mozart, Piano Trio in B-flat, K. 502, i, 1-20; Mozart, Violin flat, Op. 19, i, 1-16.

‘ - an: apter 6

Sonata in B-flat, K. 454, ii, 1-16.

15. What is defined here as a sixteen-measure period is fre- Chap quently termed a “double period” in a number of standard text-

books (see Berry, Form in Music, 22-23; Green, Form in Tonal 1. The small ternary form as defined in this study has been Music, 63-65; Kohs, Musical Form, 66-67). Unfortunately, double described by theorists and historians in a wide variety of ways. period implies a form made up of two periods or of a period within Some understand the form to be essentially tripartite and use such

268 NOTES TO PAGES 71-79 terms as “small ternary” (Schoenberg, Musical Composition, 119-25) mm. 1-2, it is interpreted here as a repetition of the basic idea, or “three-part song form” (dreiteiliges Lied) (Ratz, Mustkalische For- _— but because of its differing contour, it could also be heard as a menlebre, 25-28). Others see the form as essentially bipartite, such contrasting idea. as Leonard Ratner’s concept of the “small two-reprise form” (Classic 13. Note how the accumulating melodic ascents in m. 3 comMusic, 209-16). Many theorists employ both binary and ternary la- _ pensate for the cadential nature of the basic idea. Thus, although bels, such as Berry (Form in Music, 41, 48) and Kohs (Musical Form, an interpolation may not relate functionally to its surrounding ma-

111-19), who view the “rounded binary” and the “incipient terial, it still can contribute important elements of functionality to ternary” as roughly the same form (see also Green, Form in Tonal —_a theme (cf. ex. 4.11, upbeats to mm. 3 and 8). This interpolation Music, 87). Dénes Bartha, “Liedform-Probleme,” in Festskrift Fens _—_ also has a certain “introductory” quality about it, as if the repeated Peter Larsen, ed. Nils Schiorring, Henrik Glahn, and Carsten E. basic idea were having trouble getting started again.

Hatting (Copenhagen: Wilhelm Hansen, 1972), 317-37, summa- 14. See ahead ex. 6.10, m. 9, for another case of a closing secrized in “Song Form and the Concept of ‘Quatrain,” in Haydn tion (consisting of a single codetta) at the end of a small-ternary Studies, ed. Jens Peter Larsen, Howard Serwer, and James Webster, exposition.

- 3§3-55 (New York: Norton, 1981), sees the form as a four-part 15. In some highly exceptional cases in Beethoven, the constructure and describes it using his concept of “quatrain,’” which he —_trasting middle emphasizes tonic and even ends with that har-

also uses for the sentence form (see chap. 3, n. 1). mony. See String Quartet in A, Op. 18/5, ii, 9-12; Rondo for 2. Interior theme is first defined in connection with the large — Piano in C, Op. 51/1, i, 9-13.

ternary form (chap. 14) and further discussed in connection with 16. That the B section of a small ternary can sometimes be

the various rondo forms (chap. 16). built as an eight-measure sentence, but not as an eight-measure 3. As briefly discussed in chap. 1, tight-knit organization _ period, suggests that the former is, in principle, looser than the arises from harmonic-—tonal stability, clear-cut cadences, motivic latter. unity, functional efficiency, and symmetrical groupings. The com- 17. Ratz, Musikalische Formenlehre, 25.

panion concept of loose organization arises from harmonic- tonal 18. This rather colloquial term is a direct translation of instability, lack of cadence, motivic diversity, functional ineffi- Ratz’s Stehen auf der Dominante (Musikalische Formenlebre, 25). It is

ciency or ambiguity, and asymmetrical groupings. I develop these important in this connection to distinguish dominant prolonga-

general criteria more fully toward the close of this chapter. tion, which is a type of harmonic progression, from standing on 4. Some theorists identify fundamentally different forms the dominant, which is a label of formal function.

based on whether the first section modulates or else remains in the 19. Other examples: Haydn, Piano Trio in E-flat, Hob. home key (e.g., Green’s distinction between “continuous” and XV:30, ii, 11-14; Mozart, String Quintet in E-flat, K. 614, ii, g—12 “sectional” forms [Form in Tonal Music, 74}). To be sure, the tonal (very similar to the Eine kleine Nachtmusik theme just discussed);

organization of the A section—be it modulating or not—has Beethoven, Piano Sonata in G, Op. 14/2, iii, 9-16; Beethoven, major consequences (both tonal and phrase structural) for the re- Piano Sonata in D (“Pastoral”), Op. 28, ii, g-16 (features fragmenmainder of the theme. Nevertheless, I recognize the small ternary _ tation and liquidation following the repeated new idea).

as a single formal type because of the many other functional fea- 20. Ratz sees the third statement of the idea as a departure

tures that do not depend on this tonal distinction. from the norm (namely, that the B section usually features a single 5- The only exception to this rule is found ina small number _ repetition of a new idea), and he claims that this extra repetition of ternaries by Haydn, in which the A section ends with a half ca- motivates further deviations in the recapitulation. The discussion

dence. See Symphony No. g2 in G (“Oxford”), ii, 7-8; String of ex. 6.4 here owes much to Ratz’s insightful analysis of this Quartet in E-flat, Op. 76/6, i, 7-8. As discussed in chap. 7, an ap- theme (Musikalische Formenlehre, 26-28).

parent A section ending with a half cadence is more typical of a 21. Other examples: Haydn, Symphony No. ror in D (“The

small binary than a small ternary. Clock”), ii, 11-23; Mozart, Clarinet Quintet in A, K. 581, iv, 9-12; 6. See ahead exs. 6.5 and 6.8 for A sections built as a non- Beethoven, Violin Sonata in C Minor, Op. 30/2, 1i, 17-20. modulating period. The exposition of ex. 6.9 is best analyzed as a 22. Other examples: Haydn, Symphony No. 76 in E-flat, iv, periodic hybrid (compound basic idea + consequent) because the g-12; Haydn, Symphony No. 104 in D (“London”), ii, 9-16; implied half cadence in m. 70 is undermined by the tonic pedal, | Mozart, Piano Sonata in D, K. 284/205b, iii, 9-12; Beethoven,

which continues until just before the final cadence. Cello Sonata in G Minor, Op. 5/2, ii, 9-12. 7. See ahead exs. 6.2 and 6.11 for cases of modulating A 23. Other examples: Haydn, String Quartet in E-flat (“The

sections. Joke”), Op. 33/2, iv, 9-16; Haydn, Piano Sonata in C, Hob. 8. See ahead ex. 6.4 for an A section constructed as a regular XVI:48, ii, 13-20; Mozart, Piano Concerto in C, K. 467, iii, g—20.

eight-measure sentence. The exposition of ex. 6.6 is a sentential hy- 24. Other examples: Haydn, String Quartet in E-flat (“The brid made up of a compound basic idea followed by a continuation. Joke”), Op. 33/2, iv, 17-28; Haydn, String Quartet in C, Op. 9. The sixteen-measure period of ex. 5.14, for instance, 50/2, i, 13-20; Beethoven, Piano Concerto No. 3 in C Minor, Op. serves as the A section of a small ternary. See also Haydn, String —37, ill, 22-26.

Quartet in D (“The Lark”), Op. 64/5, ii, 1-16. 25. Thus the modulation to the dominant in the B section of 10. See ex. 6.7, examined later in the section on “compressed ex. 6.11 (appearing later in the chapter) is somewhat unusual,

recapitulation.” since the A section has already confirmed that region as a subordi11. For an exposition of a small ternary built as an incom- _nate key. plete theme, see Haydn, Symphony No. 76 in E-flat, iv, 1~ 4. 26. Asimilar procedure occurs at m. 14 in ex. 6.4, where the

12. Since this idea has the same harmony and rhythm of — dominant region is only tonicized. The seventh introduced at the

NOTES TO PAGES 79-91 269 end of the section prohibits us from hearing the final harmony asa__— don”), ii, 17-37; Haydn, Piano Trio in E-flat Minor, Hob. XV:31,

temporary tonic but, rather, reinforces its exclusively dominant _i, 17-32; Haydn, Piano Sonata in E-flat, Hob. XVI:49, ii, 27-36.

function. 41. This generalization is perhaps open to debate. Since the re-

27. Other examples: Haydn, Symphony No. 74 in E-flat, ii, _ capitulation minimally demands a return of the basic idea and a clos9-12; Haydn, String Quartet in E-flat, Op. 50/3, 11, 9-16; Mozart, ing perfect authentic cadence, one may argue that anything else is Rondo for Piano in A Minor, K. 511, 9-22; Beethoven, Piano Trio _ functionally redundant. Thus, paradoxically, a recapitulation orga-

in E-flat, Op. 1/1, ii, 9-12. nized exactly like its preceding exposition might be considered 28. Other examples: Haydn, String Quartet in F, Op. 74/2, _ looser than that exposition, and a compressed version of the recapit-

ii, 9-16; Beethoven, String Quartet in G, Op. 18/2, iv, 9-20. ulation might be understood as equally tight knit as the exposition. 29. As I discuss in later chapters, a dominant arrival also occurs at the end of other loosely organized units, such as a transition Ch apter 7 (chap. 9) or a core of a development (chap. 10).

30. Other examples: Haydn, Piano Trio in E Minor, Hob. 1. Moreover, many theorists resist drawing a categorical disXV:12, iii, 21-22; Beethoven, Bagatelle in D, Op. 33/6, 12. tinction between binary and ternary. Indeed, some find it possible 31. Other example: Beethoven, String Quartet in E-flat to analyze a given theme as both a “rounded binary” and an “incip-

(“Harp”), Op. 74, iv, 13-16. ient ternary” (see chap. 6, n. 1).

32. The dominant of the submediant is strongly related to 2. The notion of a specific small binary (zweiteiliges Lied) dethe dominant of the home key because both harmonies contain the _rives largely from Ratz (Musikalische Formenlebre, 30), who, even

leading-tone (in this instance, G). Thus just as the sixth scale- more than Schoenberg, establishes this theme-type as conceptudegree functions as a tonic substitute, so can the dominant of this ally distinct from, but strongly related to, the small ternary. (Schoen-

degree be understood as a substitute for the home-key dominant. berg likely recognized and taught the small binary, but he does 33. In the transition that immediately follows this main not discuss the form in either Musical Composition or Structural theme (see ex. 9.8), the opening material of the B section appears Functions.) again. This time, however, the implied resolution to the submedi- 3. For exceptions to this rule, see chap. 6, n. 5. ant is realized, and a sudden fortissimo F-major chord initiates the 4. Ratz, Musikalische Formenlehre, 30.

subordinate theme. 5. Letter labels cannot satisfactorily represent the form. The 34. Additional cases of tonal adjustment can be seen in the A’ combination A-B would suggest, in regard to their meaning in the

sections of exs. 6.1, 6.2, 6.7, and (ahead) 6.11. small ternary, a structure consisting of an exposition and a con35. Other examples: Haydn, String Quartet in D (“The _ trasting middle. Likewise, A~A’ would suggest an exposition folLark”), Op. 64/5, ii, 23-34; Beethoven, Piano Sonata in A, Op. lowed by a recapitulation. 2/2, ii, 13-19; Beethoven, Piano Sonata in D (“Pastoral”), Op. 28, 6. Of the examples discussed in this chapter, only ex. 7.5 de-

ii, 17-22. viates from the norm.

36. Other examples: Haydn, Symphony No. 8q in E-flat, ii, 7. Exs. 7.3, 7-5, 7-6, and 7.8 begin with conventional theme13-16; Beethoven, Cello Sonata in G Minor, Op. §/2, ti, 13-16. types.

37. Other example: Mozart, Piano Sonata in D, K. 284/ 8. See ahead exs. 7.4 and 7.7 for first parts that end with a 205), iii, 14-17. half cadence. 38. Ratz, Musikalische Formenlehre, 27. Further in connection g. Hybrid type 1 (antecedent + continuation) usually closes

with this example, Ratz notes that writing a simple four-measure —_—-with an authentic cadence but may sometimes close with a half ca-

consequent-like phrase for the recapitulation is not easy when the dence, especially when serving as the antecedent of a compound exposition is constructed as a sentence: “The structure of the third period. part [of a small ternary] is significantly more complicated when the 10. In this respect I disagree with Ratz, who holds that “the first is built as an eight-measure sentence. Here, the fundamental small binary (8 + 8) is differentiated from the small ternary above

difference between the two types of structure [period and sen- all by the absence of a functionally contrasting middle section” tence] is especially clear. Since the consequent phrase of the period (Musikalische Formenlebre, 30). Rather, these forms differ on the represents a varied repetition of the antecedent phrase, the third _ presence or absence of a recapitulation function.

part of the small ternary can be confined to the stating of the an- 11. See ahead exs. 7.2, 7.4, and 7.8 for second parts that tecedent or consequent or some analogous combination of the two begin with contrasting material.

that suits the harmonic requirements. On the contrary, the two 12. Other examples: Haydn, Symphony No. 84 in E-flat, parts of the eight-measure sentence (2 x 2) + 4 are not similar: the iv, 1-16; Mozart, Piano Sonata in B-flat, K. 570, ii, 32-39 two-measure basic idea and its repetition give the premises to (R= 4%N). which conclusions are drawn in the continuation phrase. There- 13. See the remarks by Ratz, chap. 6, n. 38. fore, it is not possible simply to use only one of the two halves; 14. Other examples: Mozart, Piano Sonata in D, K. 284/205), rather, another course must be followed” (p. 26). iii, var. 7 (minore), 14-17; Beethoven, Seven Variations for Piano on 39. By developing one motive of the basic idea in the A sec- “God Save the King” WoO 78, var. 5 (sminore), 12-14. tion and another in the A’ section, Beethoven realizes one of Ratz’s 15. See chap. 2, ex. 2.7h, for a discussion of the unusual func“laws of artistic economy”: “if one of two possibilities is employed _ tion of this diminished seventh chord. at a given place, then one endeavors to employ the other possibil- 16. Other examples: Haydn, Piano Sonata in E Minor, Hob.

ity at an analogous place” (Musikalische Formenlebre, 28). XVI: 34, iii, 1-18; Beethoven, Violin Sonata in D, Op. 12/1, ii, 40. Other examples: Haydn, Symphony No. 104 in D (“Lon- 17-24; Beethoven, Piano Sonata in C Minor, Op. 111, ii, 13-16.

270 NOTES TO PAGES 91-100 17. Other examples: Haydn, Piano Trio in G, Hob. XV:15, ii, ternary form, as in Haydn, Piano Sonata in F, Hob. XVI:23, iii,

1-16; Mozart, Piano Trio in 'G, K. 564, ii, 1-16; Mozart, Piano 17-40. See also the discussion of Beethoven’s First, Third, and

Sonata in C, K. 330/300h, if, 1-20. Ninth Symphonies in Caplin, “Structural Expansion.” The second part of ex. 7.2 might also be seen to belong to 10. The subordinate theme of Haydn’s String Quartet in G this category, since the phrase following the contrasting middle be- = Minor (“The Rider”), Op. 74/3, i, ends with an imperfect authengins with dominant harmony (m. 21). But this dominant resolves tic cadence (m. 54). A series of codettas continues to prolong the

directly to the tonic in the following measure, thereby giving the third scale-degree in the soprano, with melodic closure to the impression that the entire two-measure idea is supported essen- tonic achieved only with the final codetta of the exposition (m. 78). tially by tonic harmony. As a result, the sense of a “consequent” for = The immense first subordinate theme in the opening movement of the phrase as a whole seems more compelling for this example Beethoven's Piano Sonata in B-flat (“Hammerklavier”), Op. 106, than for ex. 7.6, whose dominant is salient throughout the first —_ also ends exceptionally with an imperfect authentic cadence (see

two-measure idea of the final phrase (mm. 13-14). Caplin, “Expanded Cadential Progression,” 237-42, ex. 6a). As ex18. For an example of a periodic second part, see Haydn, plained in chap. 16, a number of subordinate themes in

Piano Sonata in D, Hob. XVI:33, iii, g—16. Beethoven's rondo forms fail to close with any cadence. 19. Other examples: Beethoven, Violin Sonata in G, Op. 96, 11, For most instrumental genres, the upper limit for the iii, 1-32; Beethoven, Thirty-Three Variations for Piano (“Dia- _ group is three subordinate themes. With the concerto, however,

belli”), Op. 120, theme. . the appearance of four or five themes is not out of the question. See the first movement of Beethoven’s Piano Concerto No. 1 in C,

Chapter 8 Op. 15, for a group containing five different subordinate themes (the third of which is even repeated and highly expanded). The 1. In major-mode works, the subordinate key is normally the presence of large subordinate-theme groups in concertos is due dominant region; in minor-mode works, it is the relative major, oc- most likely to the need for providing sufficiently contrasting mate-

casionally the minor dominant. From his middle period on, rial to set up a variety of oppositions between the solo part and the Beethoven sometimes used mediant relations, such as II or }VI, to —_— orchestral accompaniment.

produce the subordinate key in major-mode works. 12. A similar extension of presentation within a I-II-V pro-

2. Rosen, The Classical Style, 70. gression appears at the beginning of the subordinate theme in the 3. The term subordinate theme is taken from Schoenberg (Musi- _ first movement of Mozart’s String Quartet in D, K. 575, 32-44, cal Composition, 183) and is a translation of the standard German ex- and in his Overture to Don Giovanni, K. 527, 56-61, both of which pression Seitensatz. English writing on sonata form more frequently _are in the same key as the sonata. In addition, the extended presenspeaks of a “second theme” or “second subject”? This terminology, tation in all three works is preceded by a nonmodulating transition

however, suggests a numbering scheme starting from the “first (see chap. 9) and is followed by a continuation phrase that delays theme” (i.e., main theme) that often cannot be sustained in analysis. fragmentation (see the later discussion of this issue in connection A given subordinate theme is not necessarily the literal “second” with the sonata). Further similarities between the quartet, K. 575, theme of a movement. The notion of a “subordinate” theme— and the sonata, K. 576, are cited in n. 57. which, needless to say, does not imply a theme of inferior aesthetic 13. Beethoven particularly favors this loosening device in his value—has the advantage of relating directly to the expression “sub- _— piano sonatas. See Sonata in C Minor, Op. 10/1, i, 56~71, and ii,

ordinate” key, the tonal region confirmed by this theme. 24-31; Sonata in E, Op. 14/1, i, 23-38; Sonata in B-flat (“Ham4. Carl Czerny, School of Practical Composition, trans. John merklavier”), Op. 106, i, 47-62 (the last is examined in Caplin, Bishop, 3 vols. (ca. 1848; reprint, New York: Da Capo, 1979), 1:35; “Expanded Cadential Progression,” 237-42).

Adolph Bernhard Marx, Die Lehre von der musikalischen Komposi- 14. Other examples: Mozart, Piano Sonata in B-flat, K. tion, 5th ed., 3 vols. (Leipzig: Breitkopf und Hartel, 1879), 3:282. 333/315¢, iii, 25-28; Beethoven, Piano Sonata in C Minor, Op. 5. Ratner, Classic Music, 217-21; James Webster, “Sonata 10/1, ii, 24-27. Form,’ The New Grove Dictionary of Music and Musictans, 17:497-98. 15. Other examples: Beethoven, Symphony No. 9 in D 6. The notion that the subordinate key creates a large-scale dis- Minor, Op. 125, i, 120-27 (Caplin, “Structural Expansion,” 50sonance is noted prominently by Rosen, but the idea largely derives 51); Beethoven, Piano Sonata in D Minor, Op. 31/2, i, 42-55; from Schenker’s understanding of fundamental tonal organization. Beethoven, Piano Sonata in B-flat (““Hammerklavier”), Op. 106, i, 7. Schoenberg, Musical Composition, 184; Ratz, Musikalische 47-62 (Caplin, “Expanded Cadential Progression,” 237-42).

Formenlebre, 30-32. 16. See ex. 8.15, mm. 18-20, discussed later in the section on 8. Subordinate theme function in a minuet is not discussed § “beginning with standing on the dominant.”

here but is treated in detail in chap. 15. 17. Some nonconventional main themes also have individual g. The rare use of ternary functions in subordinate themes _ phrases devoted to continuation and cadential function; see ahead cannot be easily explained. It would seem to be almost a general _—ex. 13.1. See also Beethoven, Piano Sonata in C Minor, Op. 10/1,

principle for the classical composers that once melodic material is i, 1-22.

abandoned in the subordinate-theme area, that material is not 18. Theoretically, a sequential progression can continue inbrought back (as could happen with a ternary recapitulation). On definitely. In practice, however, most sequences lead toward a conthe contrary, romantic composers frequently reintroduce subordi- ventional harmonic goal, one that varies according to the particunate-theme ideas in this part of the form, and thus their subordi- lar sequential pattern and the formal context in which it occurs. nate themes often have a ternary design. On occasion, subordinate 19. See also ahead ex. 8.6, mm. 22-26, ex. 8.14, mm. 46-49, themes display a tripartite structure recalling elements of the small and ex. 8.16, mm. 44-48.

NOTES TO PAGES ro1-113 271 20. Other example: Haydn, Piano Sonata in A, Hob. XVI:26, _i, 127-44 (see Caplin, “Structural Expansion,’ 42-43); Beethoven, ,

i, 11-17. Piano Sonata in C, Op. 2/3, i, 61-69.

21. Rarely, if ever, does an initiating function (presentation 35. Asubordinate theme may, however, include an expanded

or compound basic idea) follow directly on an unrealized perfect _ cadential progression supporting a continuation=>cadential phrase.

authentic cadence. 36. A number of the most interesting and impressive exam22. This same procedure was already discussed in chap. 3. asa _ ples of cadential expansion are discussed in Caplin, “Expanded Cadeviation technique in connection with tight-knit main themes; see dential Progression,” and “Structural Expansion.” To avoid redun-

ex. 3.13, m. 8. dancy and save space, these passages are not reproduced again in 23. Other examples: Mozart, Piano Sonata in B-flat, K. 333/ —_‘ this book but are cited where appropriate.

315C, iii, 32; Beethoven, Piano Sonata in C Minor, Op. 10/1, ii, 76. 37. The cadential six—four has the same intervallic structure 24. If the final chord of the progression groups with the sub- _—_ and scale-degree content as the more consonant “tonic six~ four.”

sequent material and thus represents not a goal but, rather,a new Thus, despite its broader dissonant function (in a prolongation of beginning, then the potential authentic cadence is evaded, asitua- | _V), the cadential six—four possesses a moderate degree of har-

tion to be discussed shortly. monic stability to sustain prominent expansion. |

25. For a deceptive cadence that substitutes for an imperfect 38. Other examples: Mozart, Piano Concerto in C, K. 467, 1, authentic cadence, see Haydn, Piano Sonata in A, Hob. XVI:26, i, 18. 188-93; Beethoven, Symphony No. 3 in E-flat (“Eroica”), Op. 55,

26. A number of theorists describe the phenomenon of i, 77-82 (see Caplin, “Structural Expansion,” 41); Beethoven, evaded cadence: some use the identical term (Kohs, Musical Form, Piano Sonata in C Minor, Op. 10/1, i, 82-93.

49-50), and others speak of an “avoided cadence” (Berry, Form in 39. See ahead ex. 8.14, mm. 50-54, fora case of pre-dominant Music, 9). Schmalfeldt, “Cadential Processes,” provides extensive expansion (II°, further embellished by VII’/V) within a cadential

treatment of the phenomenon. phrase. Other examples: Haydn, Piano Sonata in A, Hob. XVI: 27. Ifa melodic closure truly brings the end of the prevailing 26, i, 19-22 (see Caplin, “Expanded Cadential Progression,” 228);

phrase-structural processes, then the effect is one of deceptive ca- Mozart, Violin Sonata in E Minor, K. 304/300c, i, 53-56; dence (assuming a substitute for the final tonic), not evaded cadence. Beethoven, String Quartet in F, Op. 18/1, i, 78-81.

28. Sometimes, however, a I° replacing a final cadential tonic 40. Even when the cadential progression begins with tonic in groups with the ongoing cadential progression, thus creating a _— root position, there is often a prominent move to first inversion genuine deceptive cadence, not an evaded cadence; see ahead ex. shortly thereafter. For a discussion of “conventionalized signs,’ see 12.4, mm. 137 and 139, as discussed in chap. 12, n. 13. Schmalfeldt, | Janet M. Levy, “Texture as Sign in Classic and Early Romantic on the contrary, characterizes this situation as an evaded cadence, §_ Music,” Fournal of the American Musicological Society 35 (1982):

albeit of the “deceptive type” (“Cadential Processes,” 13-14). 482-531. 29. For example, see Beethoven, Symphony No. 1 in C, Op. 41. See also ahead ex. 8.18, mm. 43-50, in which the I° is 21, i, 68-69 (discussed in Caplin, “Expanded Cadential Progres- _ prolonged by neighboring VII‘ chords substituting for the more

sion,” 234-36). conventional V?. Other examples: Haydn, String Quartet in F, Op. 30. Schmalfeldt, “Cadential Processes.” 77/2, i, 48-51; Mozart, Violin Sonata in B-flat, K. 454, i, 44-45. 31. See ahead ex. 8.12, m. 88, for an additional case of caden- 42. See Beethoven, Symphony No. 1 in C, Op. 21, i, tial evasion involving a root-position tonic and the “one more time” 69-77; Beethoven, Piano Sonata in B-flat (“Hammerklavier”), technique. In such situations, the performer can be decisive inhelp- | Op. 106, i, 75-100 (see Caplin, “Expanded Cadential Progresing project the cadential evasion by making sure not to allow the sion,” 237-42). event following the cadential dominant to sound like the goal of the 43. Other examples: Mozart, Violin Sonata in E-flat, K. 481, prevailing phrase. Instead, a slight breath (Luftpause) before this i, 37-68; Beethoven, Symphony No. 1 in C, Op. 21, i, 53-77, and

event can help make the event sound like a new beginning. Piano Sonata in B-flat (“Hammerklavier”), Op. 106, i, 63-74. 32. One exception involves the occasional use of a V? imme- 44. When conflicting musical characteristics make for funcdiately preceding the I° of either a deceptive or an evaded cadence tional ambiguity, we must, of course, consider the actual temporal (see ex. 2.9e). But even here, the chordal seventh in the bass voice location as a cue for formal interpretation.

of the inverted dominant can be explained as a passing tone, and 45. The issue of how a particular passage can express a forthe V? can be understood as an embellishment of a root-position mal function independent of its actual temporal location is compli-

dominant. cated and worthy of considerably greater study than that at33. The phenomenon of abandoned cadence seems not to be tempted here. Jonathan Kramer's discussion (“Beginnings, Ending, discussed in the theoretical literature. In my “Expanded Cadential and ‘Temporal Multiplicity,’ chap. 6 in Time of Music) is particularly Progression,” 243, I call this cadential situation a “foiled” cadence. _—- valuable. See also Agawu, Playing with Signs, 103; and Janet M.

The idea of foiling, however, suggests the interposition of some Levy, “Gesture, Form, and Syntax in Haydn’s Music,’ in Haydn outside force standing in the way of the cadence. But the cadential Studies, ed. Jens Peter Larsen, Howard Serwer, and James Webster weakening brought about by inverting (or omitting) the dominant = (New York: Norton, 1981), 355-62.

suggests more the notion of that harmony’s “giving up” its 46. Other example: Haydn, String Quartet.in G, Op. 54/1, promised cadential function. For this reason, I now prefer the term il, 35-52. The unusual ascending minor third sequence featured at abandoned cadence as a more apt characterization of this loosen- _—the beginning of this theme is an interesting precedent for the

ing procedure. Beethoven example (8.12) just discussed.

34. Other examples: Mozart, Piano Concerto in F, K. 4509, iii, 47. Other example: Mozart, Piano Sonata in B-flat, K. 179-83; Beethoven, Symphony No. 3 in E-flat (“Eroica”), Op. 55, 333/315¢, iii, 24-29.

272, NOTES TO PAGES 113-119

48. Other example: Beethoven, Cello Sonata in A, Op. 69, iii, sure for a subordinate theme have already been brought forward,

46-61. including the notion that the theme needs to confirm fully the sub49. An excellent study by Bathia Churgin, “Harmonic and ordinate key. In addition, it can be observed in the repertory that a Tonal Instability in the Second Key Area of Classic Sonata Form,’ —= movement containing a single subordinate theme never ends with in Convention in Eighteenth- and Nineteenth-Century Music: Essays in a half cadence. Perhaps the best reason, though, is a pragmatic Honor of Leonard G. Ratner, ed. Wye J. Allanbrook, Janet M. Levy, one: by holding on to the idea that a subordinate theme must end

and William P. Mahrt (Stuyvesant, NY: Pendragon, 1992), 23-57, with a perfect authentic cadence, it is possible to delineate pretreats subordinate themes beginning on dominant harmony along _ cisely and consistently a wide range of form-functional situations with some of the other issues of harmonic—tonal loosening dis- that can arise in an exposition. Allowing a subordinate theme to cussed here (such as modal shift, tonicization of remote regions, end with a half cadence raises considerable difficulties, particularly

and modulating subordinate theme). in trying to clarify the relation of a subordinate theme to its prior 50. In some particularly ambiguous cases, it is difficult to tell transition. whether the standing on the dominant belongs to the transition or 59. The idea that the boundaries of a subordinate theme can to the subordinate theme. This issue is raised again in chap. 13. be defined in reference to a “catchy tune” or a “lyrical melody” 51. That this formal reading yields a very short transition is runs counter to the basic premises of this study. To be sure, not problematic. Rondo forms typically de-emphasize transition melodic salience is an important aesthetic category, and the locafunction, sometimes even omitting it from the exposition entirely _—tion of such a melody in relation to its formal context has been,

(see chap. 16). and continues to be, significant for the history of style. But basing 52. Perhaps because he is resistant to the idea that a subordi- _—_—_a category of musical form on such melodic criteria creates a host

nate theme could begin with a standing on the dominant, Leo _ of problems, both theoretical and analytical.

Treitler reads this entire passage as a “kind of transition” and the 60. See also ex. 9.14. Other examples: Haydn, Symphony new material at m. 54 as a “second subject.” See his “Mozart andthe — No. 85 in B-flat (“La reine”), i, 62-96; Mozart, Violin Sonata in Idea of Absolute Music,’ chap. 7 in Music and the Historical Imagina- F, K. 547, il, 32-64; Beethoven, String Quartet in C Minor, Op. tion (Cambridge, MA: Harvard University Press, 1989), 208. Don- 18/4, i, 34-70. ald Francis Tovey suggests a similar view in Essays in Musical Analy- 61. See Haydn, Piano Trio in E-flat, Hob. XV:29, iii, 55-58.

sis, 7 vols. (London: Oxford University Press, 1935~39), 1:190. 62. An extensive literature has grown around the rhythmical 53. An additional difficulty arises from the question of problems that ensue from Mozart’s preceding the actual start of whether each real measure equals a notated measure or one-half a the theme (a sixteen-measure sentence) with an introductory meanotated measure. From a purely formal perspective, the former sure (see Lerdahl and Jackendoff, Generative Theory, 22-25).

_ seems to be the preferred interpretation. Rothstein, however, gives 63. In those relatively few cases in the classical literature in a convincing analysis of hypermeter in this movement within the __ which both the main and subordinate themes reside in the minor

measure, thus effectively understanding that R = “N (Phrase mode, a modal shift to major in the subordinate theme is not norRhythm, 170-73). Moreover, at one point, the music shifts by half —_—s mally encountered.

a notated measure (cf. second half of m. 15 with first half of m. 17), 64. One case of modal shift in a main theme is discussed

as so often happens when R = “AN. ahead in connection with ex. 12.10b. Other examples of modal 54. As defined in chap. 6, a dominant arrival can be said to shift in main themes can be found in Mozart’s Piano Concerto in occur when the final dominant harmony of a passage is inverted, C, K. 503, i, 17, and his String Quintet in C, K. 515, i, 21. Both contains a dissonant seventh, or precedes the moment in time rep- these works, especially the latter, feature long and loosely orgaresenting the end of the prevailing melodic, rhythmic, and group- nized main themes. A startling example appears in the opening of ing processes (the last case being a “premature” dominant arrival). the slow movement of Mozart’s Violin Sonata in A, K. 526, where

55- Jo simplify the rest of the discussion, all further refer- _ the main theme not only shifts from major to minor but also caences to internal half cadences assume the possibility of that ca- dences in that mode at the end of the theme. The main theme

dence’s being replaced by a dominant arrival. from the opening movement of Beethoven’s Waldstein sonata also 56. Other example: Mozart, Piano Sonata in C Minor, K. begins in major and closes in minor, signaling from the start a con-

457, ili, 69. flict between major and minor that pervades the movement, only 57. Other examples: Haydn, Trumpet Concerto in E-flat, to be resolved toward the end of the coda (esp. mm. 291-94).

Hob. VIle:1, i, 60-83; Haydn, Piano Trio in E-flat, Hob. XV:29, 65. Unfortunately, the examples chosen for this chapter do iii, 91-121; Beethoven, Piano Sonata in F, Op. 10/2, i, 19-55; not illustrate the wide variety of formal situations in which a modal Beethoven, Piano Sonata in C Minor (“Pathétique”), Op. 13, iii, shift can appear. Other contexts can include a repetition of a basic 37-43. A subordinate theme organized along lines almost identi- _idea in a presentation (Haydn, Piano Sonata in F, Hob. XV1:23, iii, cal to ex. 8.16 can be found in the last movement of the same com- _ 19), the beginning of a continuation (Beethoven, Symphony No. 3 poser’s String Quartet in D, K. 575, 32-58. The identity of key, in E-flat [“Eroica”], Op. 55, i, 91), and an internal dominant arrival

the close dates of composition, and the similarities of form, har- and subsequent continuation (Mozart, Piano Concerto in B-flat,

monic progression, and rhythmic configurations (the new continu- K. 456, i, 117). , ation features triplet arpeggiations in an alternation of I and V2) 66. Other examples: Haydn, Symphony No. 85 in B-flat (“La suggest overwhelmingly that one of these works served as the reine”), i, 62; Haydn, Symphony No. 102 in B-flat, ii, 9; Mozart, model for the other. (Other similarities between the two works Piano Concerto in D Minor, K. 466, ili, 92; Mozart, Piano Sonata

were mentioned in n. 12.) in F, K. 332/300k, iti, 50; Beethoven, Piano Sonata in C Minor 58. Some reasons for the rule requiring perfect authentic clo- (“Pathétique”), Op. 13, i, 41. Rosen considers the use of the minor

NOTES TO PAGES 119-122 273

dominant at the opening of the second key as a stereotype of the _ position in a group, see Mozart, Piano Concerto in F, K. 4509, iii, mid-eighteenth century that quickly died out in the high classical 203-18. style (Sonata Forms, 153-54 and 246, n. 3). Yet some prominent ex- 80. Other examples: Mozart, Piano Sonata in F, K. 332/300k, amples in Haydn, Mozart, and Beethoven suggest that the tech- i, 41-56; Beethoven, Piano Sonata in C (“Waldstein”), Op. 53, 1, nique continued to be an important way of introducing a modal 35-50. shift in a subordinate theme throughout the classical period. See 81. Other example: Haydn, Piano Trio in C, Hob. XV:27, i,

also Churgin, “Harmonic and Tonal Instability,’ 35-37. 82-89. 67. In Mozart’s Piano Concerto in F, K. 459, ii, the second of 82. Rothstein is one of the few theorists to propose a consistwo subordinate themes resides entirely in minor until the final _ tent concept of closing theme, namely, all the material of an expo-

tonic of the cadence (m. 74) shifts the music back to major. sition “following the first strongly articulated perfect cadence in 68. The expression is coined by Ratz, who considers the _ the goal key” (Phrase Rhythm, 116). Using this definition, however, modulierender Seitensatz to be one of two principal categories, the _he frequently identifies as closing themes units that are defined in other being subordinate themes that reside in the dominant but _ this study as genuine subordinate themes.

that feature a different construction from the main theme 83. The analytical application of “closing theme” has often (Musikalische Formenlebre, 30-31). With such a fundamental dis- created confusion between cadential function (which closes a tinction, Ratz surely exaggerates the importance and frequency of theme) and postcadential function (which follows that structural appearance of modulating subordinate themes. Moreover, the two _ close). Consider, for example, one part of Rosen’s “textbook” defiexamples that he discusses (the slow movements of Beethoven’s _ nition of sonata form: “At the end of the second group, there is a Piano Sonatas in A, Op. 2/2, and in E-flat, Op. 7) should not even closing theme (or several closing themes) with a cadential function. be considered subordinate themes, since they function more as ___The final cadence of the exposition, on the dominant, may be fol-

development sections. lowed by an immediate repetition of the exposition, or by a short 69. But see the modulating subordinate themes in Haydn, transition leading back to the tonic” (Sonata Forms, 2). What Symphony No. 45 in F-sharp Minor (“Farewell”), i, and Mozart, | Rosen describes as a “cadential function” is usually postcadential,

Piano Sonata in A Minor, K. 310/300, iii. and his “final cadence” is most likely a codetta. Another instance of 70. James Webster, “Schubert’s Sonata Form and Brahms’ this confusion can be found in the labeling system devised by Jan First Maturity,’ Nineteenth-Century Music 2 (1978): 18~35, and 3 LaRue, Guidelines for Style Analysis, 2d ed. (Warren, MI: Harmonie (1979): 52-71; Rosen, Sonata Forms, 246-61; Rey M. Longyear Park Press, 1992), chap. 7, and followed by many subsequent hisand Kate R. Covington, “Sources of the Three-Key Exposition,” torians (e.g., Eugene Wolf, Bathia Churgin, A. Peter Brown, Beth Journal of Musicology 6 (1988): 448-70; Churgin, “Harmonic and — Shamgar) when the functions of “cadential” and “closing” are typi-

Tonal Instability” 24-25, 49-53. cally combined without differentiation into a single K region at the 71. For an exception, see ahead ex. 14.1, in which the first of —_ end of an exposition.

two subordinate keys is confirmed cadentially at m. 17. } 84. One thematic situation previously described, however, 72. Rosen gives an excellent account of how the “second key” —_— resembles somewhat the traditional notion of a closing “theme,” often represents an “inner expansion” of some tonal region on the —_— namely, the case in which the final subordinate theme of a group

road toward the dominant (Sonata Forms, 246-61). acquires a relatively tight knit organization, so that its sense of 73. By contrast, there is little need for an internal half ca- being a subordinate theme, with a markedly loose organization, is dence in the modulating theme of ex. 8.18, because the dominant —_ minimally expressed (see exs. 8.2 and 8.4).

harmony is emphasized sufficiently as both the second link in the 85. The closing section following the subordinate theme is sequential chain (mm. 39-42) and the accented neighbor to the _ often referred to as a “cadence theme” or a “cadence phrase,” espe-

cadential I°. cially by writers following in the tradition of Donald Francis

74. Other examples: Beethoven, Symphony No. 8 in F Op. — Tovey, who uses these terms to translate the traditional German 93, 1; Beethoven, Piano Concerto No. 5 in E-flat (“Emperor”), Schlussgruppe; see Tovey, The Forms of Music (New York: Meridian,

Op. 73, i; Beethoven, Piano Sonata in D, Op. 10/3, i. 1956), 210. See also his analysis of the first movement of Bee75. As discussed on several occasions already, a half cadence thoven’s Eroica Symphony, ibid., 223, mm. 144-47). To be sure, does not bring sufficient confirmation of the subordinate key to —- Sch/uss has among its technical meanings that of “cadence,” but it

create closure for a subordinate theme (see n. 58). also is a common word meaning “end” or “conclusion.” As with 76. A detailed investigation of how loosening devices can be “closing theme,” this usage of “cadence theme” confuses cadential distributed in a group of subordinate themes and the nature of the with postcadential function.

ensuing overall form exceeds the bounds of this study. 86. For an exception, see Beethoven, Piano Sonata in C 77. An extreme case is seen ahead in ex. 8.19, where the bas- Minor, Op. 10/1, ii, 44 (ex. 12.11, m. gt, shows the corresponding

soon in m. 53 provides an upbeat figure to the elided m. 54. end of the recapitulation). In rondo forms, a closing section is 78. Here, the term overlap is preferable to elision, since nei- | sometimes replaced by a retransition (see ex. 8.5, m. 48). In conther a formal event nor a measure of time is being omitted; see _ certo form, the final subordinate theme is followed not by a closchap. 4, n. 9. Hypermetrical conflicts that can arise from accompa- _ing section but by an orchestral ritornello (see chap. 17).

nimental overlaps are studied by Roger Kamien in “Conflicting 87. As an exception, it may contain a single codetta or one Metrical Patterns in Accompaniment and Melody in Works by _ that is repeated (often with some variation).

Mozart and Beethoven: A Preliminary Study,’ Journal of Music 88. The closing section of ex. 8.11, mm. 66—79, is thus ex-

Theory 37 (1993): 311-48. ceptional in that upon repetition, the first four-measure codetta is 79. For an example of a tight-knit theme occupying a medial expanded to six measures.

274 NOTES TO PAGES 123-135

89. As discussed in chap. 1 in connection with thematic in- 15. Ex. 9.5, mm. 16-17, discussed later in the chapter, shows troduction, the notion of “dynamic” refers to more than just the _—_a rare instance of the technique in a minor-mode movement.

intensity (loudness and softness) of the musical content. 16. Other examples: Haydn, Piano Sonata in E-flat, Hob. go. Surprising, too, is the fact that this moment (m. 35) is in- XVI:38, 1, 8-12; Mozart, String Quartet in E-flat, K. 428/42 1b, i, deed the beginning of the theme; see the earlier discussion of its 12-24; Beethoven, Symphony No. 1 in C, Op. 21, i, 33-52. Win-

modulating structure. ter (“Bifocal Close”) cites many more examples.

g1. One of Beethoven's favorite tricks, however, is to pull 17. Exceptions, however, are found in some slow movements, away from the climax just at the moment of cadential arrival; see such as Haydn, Piano Trio in E, Hob. XV:28, ii, 7-14; Mozart, ex. 8.2, m. 104, and his Piano Sonata in B-flat (“Hammerklavier”), String Quartet in E-flat, K. 428/42 1b, ii, 6-10.

Op. 106, i, 100. 18. The possibility of an exposition’s including a main-theme group embracing more than one main theme is discussed in chap. 13.

Chapter 9 19. See also ahead ex. 9.10. The transition of the first movement of Beethoven’s Symphony No. q in B-flat, Op. 60, is thus 1. This formal unit is often termed “bridge” in the theoreti- somewhat unusual because the basic idea of the main theme recal literature. The image of a bridge spanning two shores of a river turns in the lower voice at m. 81 (shown ahead in ex. 9.12) after

(the main and subordinate themes) has its attractions yet is also the transition has already begun with new material (m. 65, not somewhat flawed. The term suggests a structural symmetry—two shown). ends of a bridge being anchored in the same firm soil—not en- 20. This well-known procedure is described at least as early tirely compatible with musical reality, in which the main theme is _—_as Marx’s notion of “dissolved consequent” (aufgeléster Nachsatz) considerably more tightly knit than the loosely organized subordi- (Lehre von der musikalischen Komposition, 3:259).

nate theme. The expression “transition” emphasizes instead the 21. Other examples: Haydn, Piano Trio in F-sharp Minor, process of moving from one function to the next, without any im- Hob. XV:26, i, 5; Mozart, Symphony No. 40 in G Minor, K. 550, plications about the relative stability of the surrounding functions. i, 22; Beethoven, Piano Sonata in C (“Waldstein”), Op. 53, i, 14. 2. Indeed, in an exposition, the transition can be seen as a kind 22. See ahead ex. 9.14, m. 19. Other examples: Haydn, String of “contrasting middle” between the main and subordinate themes. Quartet in G, Op. 77/1, i, 15-26; Beethoven, Piano Sonata in D, 3. See Beethoven, Piano Sonata in D (“Pastoral”), Op. 28, iv, Op. 10/3, i, 17~22.

17-20. 23. The terms “inverted period” and “antiperiod” (Webster,

4. Robert Batt, “Function and Structure of Transitions in Haydn's “Farewell” Symphony, 44) are also sometimes encountered. Sonata-Form Music of Mozart,’ Canadian University Music Review 24. Other examples: Haydn, String Quartet in F, Op. 50/5, 9 (1988): 157-201, also speaks of loosening techniques in the __ iv, 13-24; Mozart, Violin Sonata in A, K. 526, ii, 9~16.

transition. 25. See ahead ex. 9.6, mm. 21-23, for such a rhythmic break

5- Ex. 9.8, examined later in the chapter, is exceptional in between the closing section of the main theme and the beginning this respect because its beginning with dominant harmony is a of the transition. reference back to the B section of the main theme (see ex. 6.10, 26. Other examples: Mozart, Clarinet Trio in E-flat, K. 498, mm. 1off.). See also Mozart, String Quartet in D Minor, K. 421/ i, 16~19; Beethoven, Piano Sonata in E-flat, Op. 7, i, 17.

417), i, off. 27. Other examples: Haydn, String Quartet in G, Op. 76/1, 6. See ex. 8.5, mm. 28-32. Other examples: Haydn, String 1, 33; Mozart, Piano Concerto in D (“Coronation”), K. 537, iii, 65; Quartet in F, Op. 50/5, i, 25-28; Mozart, Violin Sonata in G, K. Beethoven, Piano Sonata in C Minor, Op. 10/1, i, 32.

13-18. 31-51.

379/3734, li, 25-28; Beethoven, Piano Sonata in F, Op. 10/2, i, 28. Other example: Mozart, String Quartet in G, K. 387, iv, ; 7. Main themes themselves, of course, do not necessarily 29. Other examples: Haydn, String Quartet in C, Op. 50/2, i,

have tuneful melodies. 30-42; Beethoven, Symphony No. 7 in A, Op. 92, i, 97-112. 8. Ratner, Classic Music, 19-20; see ahead ex. 9.13. 30. In this particular formal situation, it is not possible, even g. Ratner, Classic Music, 223-24, and Rosen, Sonata Forms, in retrospect, to identify a convincing end point for the main 229-38, extensively treat such modulation techniques. On differ- theme. ences between Haydn’s and Mozart’s modulatory practices, see Other examples: Haydn, String Quartet in C, Op. 50/2, iv, John Harutunian, “Haydn and Mozart: Tonic-Dominant Polarity | 23-32; Haydn, Piano Sonata in A, Hob. XVI:30, i, 17-21. in Mature Sonata-Style Works,” fournal of Musicological Research 9 31. Other examples: Haydn, Symphony No. 98 in B-flat, iv,

(1990): 273-98. 32; Beethoven, Piano Trio in E-flat, Op. 1/1, i, 26.

10. See ahead ex. 9.7, m. 18, and ex. 9.10, m. 18, for instances 32. Other examples: Mozart, String Quartet in A, K. 464, iv,

of this type of modulation. 33; Beethoven, Cello Sonata in A, Op. 69, i, 29.

11. See ahead ex. 9.2, m. 9, ex. 9.11, mM. 59, and ex. 9.15, m. 38. 33. See Mozart, Symphony No. 31 in D, K. 297/300Acadential) in concerto, 248, 250, 251 65, 203, 221, 268n.8

beginning with, 113, 199, 223, 229 in subordinate theme, 19, 123, 211 compound period. See period, sixteen-

vs. cadential arrival, 260n.7 closing down, 37, 43, 57, 191 measure

vs. Closing section, 221 closing ritornello, 243, 250-51 compound sentence. See sentence, in continuation phrase, 42~45 closing section (see also codetta; false sixteen-measure

vs. continuation=>cadential, 61 closing section) compound themes, 59, 63-70 as entire main theme, 113 altered, in recapitulation, 171 compression as entire second part, small binary, 93 in A section, minuet, 221 of A’ section, 14, 83-84

as entire subordinate theme, 111, 113 in A section, small ternary, 73-75, in B section, 75

expanded, 20, 47, 109-11, 123, 245, 268n.14 in compound theme, 65

247 in A’ section, minuet, 227 of continuation, 48, 69, 117, 121

expanded, in consequent, 53, 65, 67 in A’ section, small ternary, 81, 83, via fusion, 165

expanded, in recapitulated subordi- 84 in period, 57

nate theme, 167, 169 based on cadential idea, 221 in slow movement, 209 extended, 20, 101-9, 107, 123 vs. cadential, 221 concerto form, 243, 273n.86, 286nn.4, 5 after internal half cadence, 115, 203 in closing ritornello, 251 and cadential expansion, 167

loose, in subordinate theme, 101-11 in coda, 186 climax in, 123

300 GENERAL INDEX

concerto form (continued ) creating cadence, 45 in slow movement, 139

and expanded dominant, 109 nature of, 49-50 as standing on the dominant, 281n.15

subordinate theme in, 97 supported by cadential progression, starting in home key, 276n.35

concluding function (see a/so cadential §3, 266n.14 without core, 155-57

function) contrasting middle, minuet. See B sec- deviations, 40, 47, 55-57, 173-75

beginning with, r11, 181 tion, minuet diminished seventh, 27, 91, 93, 119

in core, 144-45 contrasting middle, small ternary. SeeB —_—_ dissolved consequent, 274n.20

lack of, 135, 145, 153, 201-3 section, small ternary dominant (see also penultimate

in subordinate theme, 97 contrasting period, 265n.1 dominant)

consequent, 12, 49, 53-55, III, 125, conventional form, 85 in abandoned cadence, 107 281n.22 (see also compound basic conventional material, 11, 37, 43 by analogy, 31

idea + consequent) core, 141, 142-47 (see also pseudo-core) beginning pre-core, 147

beginning with, 223 in B section, minuet, 225 in cadenza, 251 vs. continuation, 83, 84 in couplet, 284n.16 confirmed, in B section, 79

with continuational expression, 63 emotional quality of, 142, 225 embellished, 27

failed, 89 vs. interior theme, 213 ending slow movement, 209

in second part, small binary, 91 preceded by presentation, 155 expanded, 109, 248

continuation=>cadential resembles transition, 275n.20 further prolongation, in small binary, in A’ section, minuet, 227 in retransition, sonata—rondo, 238 gI in B section, 77, 91 core substitute, 155-57, 237, 284n.16 in half-cadential progression, 29 in B section, minuet, 225 couplet, 231-33, 234-35, 237-39, as harmonic function, 23

vs. cadential, 61 285n.26 loosening presentation, 20, 99 in coda theme, 183 double-region, 237, 238-39, 241, “stuck on”, 209, 213, 229 in compound basic idea + continua- 285n.35 substituted by V/VI, 141

tion, 61 Czerny, Carl, 270n.4 in thematic introduction, 119 in consequent, sixteen-measure ultimate, 29, 45, 53, 117, 133

period, 65-67 da capo, 220, 229 dominant arrival, 79-81, 121, 133, 135,

in main theme, 203 Dahlhaus, Carl, 4, 259n.1, 263nn.1, 9 144, 183, 261n.18 (see also: premain opening ritornello, 245 deceptive cadence, 43, 57, 84, 167, 186, ture dominant arrival)

in sentence, 45-47 209, 213, 225 vs. half cadence, 75, 77, 79, 133

in sentence, sixteen-measure, 70 aesthetic effect of, 107 dominant prolongation in slow introduction, 206 in A’ section, minuet, 227, 229, beginning subordinate theme, 19, 20,

in subordinate theme, 101, 271n.35 283n.25 99, 115

continuation function, 10-11, 40-42, vs. evaded cadence, 106, 227, 262n.20, and development section, 139

45, 61, 69, 119, 261n.32 (see also 271nn.27, 28 in second part, small binary, 91 compound basic idea + continua- in subordinate theme, 101, 114, 181 and standing on the dominant, 13, 75,

: tion) substituting for imperfect authentic 77

after abandoned cadence, 107 cadence, 271n.25 supporting B section, 79, 85, 89 beginning with, 111-13, 121, 199, 223 | deceptive cadential progression, 27, 29, and thematic introduction, 119

compressed, 48, 69, 117, 121 31, IOI and tight knit vs. loose, 85

vs. consequent, 83, 84 deceptive resolution, 23 vs. tonic prolongation, 133

and contrasting idea, 51 developing variation, 4 dominant version, 10, 39, 53, 61, 93, 153 in core, 144 development, melodic-motivic, 264n.29, (see also response)

embracing two phrases, 101 275n.2 double exposition, 243, 245, 249 as entire second part, small binary,93 | development key, 140-41, 157, 196,225 double period, 67, 267n.15

extended, 20, 47, 83, 100, 183, 247 development-like organization, 234 double-region couplet, 237, 238-39,

after internal half cadence, 115, 121 development section, 139-41 241, 285n.35 loose, in subordinate theme, 99-101 as expository, 279N.32 double return, 174 in model of core, 147 influence on recapitulation, 161, 163, durational proportions, 5

origin of term, 264n.29 165, 169, 171-73 dynamic curve, 5, 123, 125, 187

in second part, small binary, 89 loose organization of, 21 dynamics (intensity), 15, 49, 161, 248

at start of coda, 181 157, 196 after standing on the dominant, 113 models organization of exposition, marking new beginning, 103, 119

100 211 elided cadence. See elision

continuation phrase, 10, 40-48, 77, 81, reduced, in slow-movement sonata, early authentic cadence, 221, 223, 229

contrasting idea, 12, 53, 83 referenced, in coda, 187 elision

vs. basic idea, 49, 79, 268n.12 resembles contrasting middle, 211 vs, accompanimental overlap, 121 continuational characteristics in, 12, 51 in rondo, 234, 237-38 A and B sections, 75, 137, 213

GENERAL INDEX 301

antecedent and consequent, 51-53 of dominant, 109, 248 Fischer, Wilhelm, 263nn.1, 3

A’ section and retransition, 213 vs. extension, 20, 55 five-part rondo, 231-35

cadence and codetta, 199 of initial tonic, 111 “flat” tonal regions, 163, 165 half cadence and standing on the of period, 111 formal function dominant, 131, 137 of pre-dominant, 109, 165 changed, in A’ section, 83

with imperfect authentic cadence, to1 of presentation, 40 and formal context, 111

lack of, 51, 75, 137 rare, in closing section, 122 general notions of, 9 main theme and transition, 125, 129, exposition and grouping structure, 4

201 cadential goals in, 196-97 and melodic—motivic content, 4, in period, 101 five-part rondo, 233 vs. motive, 259Nn.11 parts one and two, small binary, 207 closing section omitted in, 122 272n.§9, 277N.4

presentation and continuation, 99 main-theme/transition fusion in, Ratz’s Urform of, 3

slow introduction and main theme, 277n.16 and rondo terminology, 231 207 monothematic, 169, 211, 249 Fortspinnungstypus, 263nN.1, 3 solo recapitulation and closing not repeated, 216, 235 fragmentation, 41, 51, 81, 144

ritornello, 250 vs. opening ritornello, 244 2:1 ratio, 69

in subordinate-theme group, 121 sonata, 17-21 absence of, 41, 47, 100

terminology, problem of, 266n.g sonata without development, 216 of basic idea, 37

end. See cadential function; concluding sonata—rondo, 113-14, 235, 237 brings new model, 144, 147

function “three-part”, 280n.27 in closing section, 16, 75, 122

end vs. after-the-end, 179-81 exposition, minuet. See A section, as criterion of continuation, 10

end vs. stop, 51 minuet delayed, 100

evaded cadence, 84, 125, 147, 207, 221, exposition, small ternary. See A section, and harmonic acceleration, 11

239, 245 (see also “one more time” small ternary and higher-level rhythm, 41

technique) extension lack of, in continuation, 59 aesthetic effect of, 107 of antecedent, 55 and liquidation, 11

as cadential variant, 265n.39 of A’ section, 216 in model of core, 147 271nn.27, 28 of cadential, 20, 101-9, 123 in standing on the dominant, 75

vs. deceptive cadence, 227, 262n.20, of basic idea, 81 origin of term, 265n.31

in main theme, 109, 279n.38 of closing section, in recapitulation, and thematic continuation, 129

performance of, 271n.31 171 fragmented units, 41

with root-position tonic, 106 in compound theme, 65 fragments, 41 seldom used, 109, 125 of consequent, 281n.22 frame, textural, 243, 244, 250 in subordinate theme, 19-20, 101-6, of continuation, 20, 47, 83, 100, 183, framing functions, 15-16, 97

107, 113, 123, 201, 278n.13 247 functional efficiency, 85

exact repetition, I1, 39 by delaying fragmentation, 100 functional theory (Funktionstheorie), 23

expanded cadential progression, 61, vs. expansion, 20, 55 fusion 67,77, 79, 84, 113, 183, 225, vs. interpolation, 55 continuation and cadential, 4, 11, 20,

247 (see also cadential function; in model, 113 45,99 beginning a theme, 113, 223 of refrain, 234 211, 249, 281n.14

continuation=>cadential) of presentation, 47, 99 main theme and transition, 165-67,

as climax, subordinate theme area, theme and variations, 217-18 transition and subordinate theme,

123 in transition, 19 197, 201, 203, 209-11, 221, 223, harmonic content of, 109 227, 233, 235, 283n.27 initial tonic, embellished, 93 failed consequent, 89 , in subordinate theme, 19, 109 false closing section, 129, 137, 157, 199 galant cadence, 47 supporting entire sentence, 111 in subordinate theme, 123, 175, 183 Gjerdingen, Robert O., 259n.1, 264n.20

variation to, 119 false recapitulation, 159, 225, 238, Goetschius, Percy, 281nn.18, 19 expansion 277n.58 Green, Douglass M. of A’ section, minuet, 227 fanfare, 199, 205, 206 cadential weight, 266n.5

of A’ section, small ternary, 84, 216 fantasia, 155 coda vs. codetta, 278n.3

in B section, 75 | Fillion, Michelle, 263n.1, 280n.27 coda vs. final rondo refrain, 285n.44

of basic idea, 40 final tonic, 27, 106 coda, as terminal development, of cadential, 20, 47, 109~11, 123, 245, _ first key area. See main theme 279N.30

247 first part. See small binary concerto, 285n.1, 286n.2

in compound theme, 65 first-time hearing, 216, 233-34, 237, continuous vs. sectional forms, 268n.4

in consequent, §5, 111 282n.47 (see also retrospective double period, 267n.15

of continuation, 261n.32 reinterpretation) elision, 266n.9

302 GENERAL INDEX

Green, Douglass M. (continued) vs. subordinate key, 125, 195, 227, in false recapitulation, 285n.30

false recapitulation, 277n.58 233, 244 in five-part rondo, 231-33, 234

large ternary, 281n.18 Hopkins, Robert G., 279nn.24, 31 in large ternary, 212-14, 229 reversed recapitulation, 278n.34 hybrid themes, 59-63 large ternary vs. rondo, 233, 281n.29 small ternary, 267n.1 antecedent + cadential, 61, 91, 93, in seven-part rondo, 235

sonata without development, 282n.42 267N.23 in sonata—rondo, 238

“variation rondo”, 284n.10 antecedent + continuation, 59-61, 67, internal half cadence, 115-17, 169, 183,

grouping structure, 4, 9, 35, 37, 85, 129, 223, 269 197, 203, 247, 273N.73, 280n.27

— 264n.15 and cadence types, 89 in subordinate theme, 121, 250

Grundgestalt, 4, 26q4n.11 compound basic idea + consequent, and transition, 127, 135, 211 61~63, 67, 77, 84, 268n.6 interpolated episode, 225, 227

Haimo, Ethan, 259n.1, 277nn.21, 23 compound basic idea + continuation, _interpolation, 55-57, 65, 73, 75;

half cadence, 11, 43, §1, 75, 79, 133, 61, 65, 203, 221, 268n.8 217-18, 266n.17, 282n.40 144, 183 (see also internal half as compound theme, 267n.13 in A’ section, 84, 216 cadence; reinterpreted half cadence) vs. “contrasting period”, 265n.1 vs. extension, 55

vs. dominant arrival, 75, 77, 79, 133 in pre-core, 153 interthematic functions, 17, 140, 203 ending first part, small binary, 87, 89 “presentation + consequent”, 63 in A section, minuet, 221 ending large antecedent, 65 hypermeter, 263n.5, 272n.53, 273n.78, vs. intrathematic, 223

ending main theme, 197 278n.14, 279n.38 in minuet, 220 vs. perfect authentic cadence, 187 intrathematic functions, 17, 139

half-cadential progression, 27, 29 ideal types, 4 independent of theme-types, 59 harmonic acceleration, 10, 41-42, 51, idea unit, 41 vs. interthematic, 223 63, 65 imperfect authentic cadence, 43, 51, 65, logical succession of, 201

absence of, 42 IOI, 211 in minuet, 220 difficulty determining, 12 continuation, motivates repetition of, in theme and variations, 217

vs. fragmentation, 11, 59, 100 45, 206 introduction. See slow introduction;

harmonic functions, 23-24 ending antecedent, 49, 51, 53 thematic introduction; transitional

harmonic—melodic closure, 53-55 ending consequent, 53 introduction harmonic progressions, 4, 17, 24-31 ending hybrid (compound basic idea +

harmonic rhythm, 41, 262n.10 (see also continuation), 61 Jackendoff, Ray, 259n.9, 260n.2, 266n.9,

harmonic acceleration) ending main theme, 197 272n.62 Haydn, Joseph vs. evaded cadence, 106 Kelterborn, Rudolf, 276n.37, 277n.10 harmony vs. melody, 203 ending subordinate theme, 270n.10

268n.5 265n.48 31, 34, 37

A section, ending with half cadence, vs. perfect authentic cadence, 57-58, | Kerman, Joseph, 186, 187, 279nn.23, 27, contrasting melodies, absence of, 97 implication—realization model, 279n.36 | Kirnberger, Johann Philipp, 261n.3,

couplet, as interior theme, 284n.6 implications, 187-91, 283n.22 264n.26 development without core, 155 incipient ternary, 267n.1 Koch, Heinrich Christoph, 263n.1,

139, 157, 196 239 Kohs, Ellis B. ,

development, expositional material in, incomplete refrain, 233-35, 237, 238, 264n.26, 265n.48, 266n.9, 284n.10

development, models exposition, incomplete theme, 73, 237, 239 cadential weight, 266n.5

276N.53 initial tonic, 27, 111, 262n.14 concerto, 285n.1 movement sonata, 209 absence of, 121 | elision, 266n.9

development, reduced in slow- initiating function double period, 267n.15 double variations, 217 vs. cadential function, 43 evaded cadence, 271n.26 interior theme, in rondo, 233 new, after internal half cadence, 121 false recapitulation, 277n.58

large ternary, use of, 211 nonconventional, 199-201 motive, 263n.10

monothematic exposition, 135, 169, omitted, 111-15, 153, 183, 199, 203 retransition, 276n.54

211, 249 reinforced by repetition, 45 small ternary, 267n.1

pre-core/core technique, 141 replaced by standing on the dominant, sonata without development, 282n.42

slow movements, ending with III sonata—rondo, 285n.32

dominant, 209 starting coda, 181 Kramer, Jonathan, 260n.1320p, 2710.45

sonata—rondo, 235, 284n.21 in subordinate theme, 97 subordinate theme, altered in recapit- after unrealized cadence, 271n.21 large ternary, 211-16

ulation, 167 initiating region, 140, 141, 147, 283n.19 in fast movement, 281n.17

home key, 13, 140, 231 interior theme vs. five-part rondo, 233

confirmation of, 97-99, 163, 167, contrast in, 212-13 vs. minuet/trio form, 220

196 vs. COre, 213 origin of term, 281n.18

GENERAL INDEX = 303

as rondo type, 281nn.18, 19 in sonata—rondo, 237 model, 11, 77, 142-44, 147

vs. small ternary, 211 vs. subordinate theme, 97, 122 model—sequence technique, 11, 77, vs. sonata without development, 216 theme-types used in, 197 79, 100, 153, 155, 163, 225 Larsen, Jens Peter, 280n.27 main-theme group, 131, 197, 237 absent, in development, 171 lead-in, 45, 51, 81 Marston, Nicholas, 277n.14, 282n.51 beginning theme, 111-13, 121 Leichtentritt, Hugo, 263n.10, 275n.4 Marx, Adolph Bernhard, 270n.4, early, in coda, 181, 187

Lerdahl, Fred, 259n.9, 260n.2, 266n.9, 274N.20 modulating subordinate theme,

272n.62 medial function, 43, 97, 111, 181 119-21, 131, 169-71, 272.49

letters, as formal labels, 9, 13, 231, mediant, 141 modulation, 127, 144, 220, 221,

269Nn.5 melodic ambiguity, 57-58 268n.25

Levy, Janet M., 271nn.qo, 45 melodic closure, 45, to1, 265n.38 and cadential confirmation, 77

liquidation, 11, 43, 75, 131 melodic—motivic material vs. tonicization, 140

loose organization, 13, 75, 183, 221, articulating subordinate theme, 113 monothematic exposition, 169, 211,

227, 239, 247 (see also tight knit of A' section, developed, 84 249

vs. loose) of B section, 71, 75 Morgan, Robert P., 186, 279nn.24, 32 criteria of, 17 of basic idea, 37 motives, 9, 37, 43 (see also melodic—

in main theme, 163, 201, 272n.64 of cadential idea, 45 motivic material) via modal shift, 119 of closing section, 122, 186 anticipated, 122-23, 206, 208

and remote regions, 119 of codetta, 16 developed, in A’ section, 81

in subordinate theme, 17, 20, 111-21 of continuation, sixteen-measure vs. formal function, 259n.11

in transition, 19, 125 period, 65 functional implications of, 4

transition vs. subordinate theme, 20 of contrasting idea, 49, 53 and tight-knit/loose continuum, 85

vs. weak, 101 as criterion of formal function, 4, Mozart, Wolfgang Amadeus Lowinsky, Edward E., 265n.32, 272N.§9, 277N.4 double-region couplet, 237, 238-39

286n.28 of development section, 139, 157 monothematic exposition, 169

and fragmentation, 11, 41 new material, 139, 151 ss maggiore, 213, 217, 218, 233-35, 235, of main theme, 163 nine-part sonata—rondo, 239-41

284n.7 of model, in core, 144 pre-core, tight-knit, 153 main theme of opening ritornello, 244 refrain, eliminated, 239 |

as “problem,” in coda, 187 of pre-core, 151 rhythmic motive, in piano concertos, alternative, 245, 247, 249 prolongation implied by, 115 49 as antecedent, 35, 127-29 of retransition, 122 sonata without development, 216,

in A section, minuet, 221 of slow introduction, 205 281n.8

basic functions of, 17, 161 of small binary, 87, 89 subordinate-theme complex, 233,

beginning in subdominant, 174 and tight-knit/loose continuum, 85 284n.6

cadence deleted, 163 of transition, 125 transition, eliminated in slowcadential requirement of, 231, 286n.7 and transition/subordinate-theme movement sonata, 209

as eight real measures, 35 boundary, 201 multimovement cycle, 259n.2

end point of, 274n.30 melodic sequence, 39

in exposition vs. in recapitulation, Meyer, Leonard B., 260n.12, 279n.36 neighboring chords, 25, 39

161 minore nine-part sonata—rondo, 239-41

in five-part rondo, 231 interior theme, large ternary, 213,214 —nineteenth-century practice, 262n.15,

functions of, 125 interior theme, rondo, 233-35, 238, 263n.27, 265N.41, 279NN.25, 35

and home-key cadence, 73 241, 284n.7 (see also romantic style) ideas, in closing section, 122 theme and variations, 217, 218 nonconventional form, 73, 89, 199, 231, ideas, in pre-core, 151, 153 minuet, 97, 219 233, 248-49 ideas, recalled in coda, 186 minuet form, 219, 220-29, 283n.14 (see vs. deviation from norms, 197

vs. introduction, 197 also binary minuet form) in main theme, 197-201, 212,

in large ternary, 212 minuet proper, 219 281n.13

_ modal shift in, 119, 191 minuet/trio form, 219-20, 229, 283n.7 rare, in rondo refrain, 233

motives of, anticipated, 145 modal borrowing, 141 nonmodulating transition, 127, 129, 163,

nonconventional form, 197-201, modal mixture, 24 197, 270N.12 281n.13 modal shift, 183, 207, 212-13, 220 motivating internal half cadence,

in recapitulation, 163, 173 absence of, 119 115-17, 169

ritornello, 245, 247 in main theme, 119, 191, 197, 272n.64 in opening ritornello, 244, 286n.g

rondo vs. sonata, 231 signaling rondo couplet, 237 in two-part transition, 137, 203 second, 127, 231 in subordinate theme, 113, 119, 250, non-tonic region, 129

sequential progressions in, 42 272n.49 notated measure, 35, 276n.49

304 GENERAL INDEX

obscured boundary, 113, 114, 201-3 plagal cadence, 43, 45, 65, 265n.q1 continuation, 264n.29

“one more time” technique, 103-6, polyphony. See texture core, 141

113, 133, 147, 207 (see also evaded postcadential function, 16, 265n.42, development, 275n.18

cadence) 273nn.83, 85 (see also closing sec- formal categories, 266n.2

opening ritornello, 117, 244-45 tion; standing on the dominant) formal functions, 3 in baroque concerto, 243 pre-core, 147-55, 237, 275n.20, “introduction” to core, 147

beginning with solo, 286n.6 276n.38 large ternary, 211-12, 214, 281n.18

material from, in recapitulation, 250 transition-like, 153, 237-38 “laws of artistic economy”, 269n.39 modulates to subordinate key, 286n.9 _ pre-core/core technique, 141-55 minuet, 283n.3 vs. subordinate-key ritornello, 248, pre-dominant, 23, 27, 109, 165, 262n.13 modulating subordinate theme,

249 diminished seventh substitute, 27, 91, 273n.69

opening up, 37, 43, 57, I91, 201 93, 119 postcadenual terminology, 261n.21 ornamental changes, 71, 81, 87, 161-63, ending slow introduction, 208 presentation, 263n.9 211, 220 in statement-—response, 39 Scherzoform, 219, 283n.1 overhang (Uberbang), 61, 265n.48 premature dominant arrival, 147, 155, sentence, 9, 263n.1 overlap, 266n.9, 273n.78 (see also elision) 157, 183, 213, 229, 27§n.22 sentence vs. period, 59, 269n.38

overture, 216 ending transition, 81, 133, 135, 165, small binary, 269nn.2, 4, 10

175 small ternary, 267n.1, 268n.17

parallel period, 265n.1 presentation function, 10, 35-40, 47, 99 sonata without development, passage-work, 125, 135, 247, 249 vs. compound basic idea, 119, 153 282n.42 passing chords, 25, 31, 39 loose, in subordinate theme, 20, 99 standing on the dominant, 268n.18

pedal point, 25, 129 miniature, 51 subordinate theme, 97 penultimate dominant, 29, 53, 117, 133, in model of core, 147 symmetry, 266n. 15 207, 265n.41 multiple, 135 tight knit vs. loose, 261n.16

perfect authentic cadence, 11, 43, 47, 53; no cadence in, 45 real measure, 35, 65

73, 147, 260n.8 origin of term, 263n.9 recapitulation

ending core, 145, 147 progressive dynamic, 15, 83, 123, 187, vs. A’ section, 161

ending slow introduction, 205 261N.22 deleted material, restored in coda, failure to realize, 101 prolongational progression, 24, 25-26, 186

vs. half cadence, 187 261n.29 (see also dominant prolon- emphasizes subdominant, 196 vs. imperfect authentic cadence, gation; tonic prolongation) false, 159, 225, 238, 277n.58

57-58, 265n.48 prolonged harmony, 25, 77, 133 minimal correspondence to exposi-

reinterpreted as evaded cadence, 107 pseudo-core, 155, 159, 237, 284n.16 tion, 174-75

as reinterpreted half cadence, 57 vs. return, 216, 235, 285n.37 repeated, in subordinate theme, 107 quatrain, 263n.1, 267n.1 reversed, 173-74 period, eight-measure, 57, 73, III, 153, truncated, 216

197 R= 1/2N, 35, 45, 127, 129, 206, 263n.6, recapitulation, minuet. See A’ section,

in B section, 75, 77 265n.40, 266n.7, 269n.12, 272n.53, minuet

basic functions of, 12-13 276n.49 recapitulation, small ternary. See A’ harmonic organization of, 53 R = 2N, 35, 263n.6, 267n.12, 283n.15 section, small ternary

vs. hybrid, 63 Rameau, Jean-Philippe, 261n.3 recessive dynamic, 16, 73~75, 123, 187,

modulating, 53-55, 223 Ratner, Leonard G. 261n.20

nonmodulating, 268n.6 binary vs. ternary, 279n.3 reduction, 265n.31 (see also fragmenta-

origin of term, 265n.1 “brilliance” style, 274n.8 tion)

vs. period, sixteen-measure, 65 modulation techniques, 274n.9 redundancy, 85, 99, 107, 216 vs. repeated cadential phrase, ror, 117 small ternary, 267n.1 avoided, 83-84, 165, 169, 278n.41

reversed, 89, 129 sonata form, tonal organization of, refrain, rondo

vs. sentence, 49, 269n.38 279N.5 abridged, 233, 235, 237, 239 in subordinate theme, 111 “strict” style, 153 vs. couplet, 231

period, sixteen-measure, 49, 63, 65-69, subordinate theme, 270n.5 extended, 234

129, 137, 203, 265.43 tonality and form, 259n.8 incomplete, 233-35, 237, 238, 239

vs. small binary, 87, 91, 93 Ratz, Erwin, 259nn.5, 12, 260n.3, reinterpretation. See retrospective rein-

periodic functions. See antecedent- 270N.7, 2760.37 terpretation

consequent functionality A’ section, 269nn.13, 38 reinterpreted half cadence, 57, 181, 234

phrase, 45, 260n.5, 263n.4 basic idea, 264n.11 in period, sixteen-measure, 201, 238, phrase functions, 65, 129, 203 (see also Beethoven's Op. 7, ii, 268n.20 267Nn.14 intrathematic functions) Beethoven’s Op. 7, iii, 283n.26 repetition (see a/so sequential repetition;

pivot chord, 127 concerto, 285n.1 statement—response repetition)

GENERAL INDEX = 305

aesthetic effect of, 49 Riemann, Hugo, 23, 261n.2, 262n.5, formal functions, 5

of basic idea, 10, 37-39, 45 264n.26 form, critique of, 3

of cadential, 101 Riepel, Joseph, 264n.26 modulation, 140

of coda, with development and reca- ritornello, 287n.39 (see also opening phrase alteration, 264n.26

pitulation, 278n.8 ritornello) pre-dominant, 262n.5

of codetta, 122 ritornello, closing, 243, 250-51 prolongation, 262n.8

after deceptive cadence, 43 ritornello, subordinate-key, 248-49, 251 reduction, 265n.31 of development and recapitulation, 81 _ritornello form, 243, 248, 249 scale-degree theory, 261n.3

exact, II, 39 ritornello main theme, 245, 247 sonata form, 277N.5 of fragments, 41 nineteenth-century practice) scherzo, 35, 219, 221

of exposition, 122, 151, 235 romantic style, 37, 113, 270n.9 (see also tonality, 270n.6

after imperfect authentic cadence, 45 rondo, five-part, 209, 231-35 Schikele, Peter (P. D. Q. Bach), 280n.16

of perfect authentic cadence, 107 rondo, seven-part, 235 Schmalfeldt, Janet, 260n.15, 263n.1,

in period, 49 rondo form, 71, 87, 97, 211, 273n.86, 266n.9

of presentation, 99 284n.1 (see also sonata—rondo) evaded cadence, 271nn.26, 28

reinforcing formal initiation, 135 rondo-variation, 284n.10 “one more time” technique, 103,

vs. return, 216, 260n.12 Rosen, Charles, 278n.32, 279n.22, 271N.30

in rounded binary, 71-73 280n.19, 286n.27 retrospective reinterpretation,

in small binary, 87 closing theme, 273n.83 25§9n.10, 265n.46

in sonata form, 195 coda, 186 Schoenberg, Arnold, 259n.4, 260n.3, version) development, 275n.2, 279n.32, coda, 179

response, 10, 39 (see also dominant concerto, 285n.1, 286n.3 270N.7

retransition, 79, 91, 122, 157, I71, 213, 287n.36 concerto, 285n.1 216, 233, 237 false recapitulation, 277n.58 continuation phrase, 4o, 264n.29 vs. B section, 213 minuet form, 283nn.1, 9 developing variation, 4 after closing section, 97 modal shift, beginning of subordinate development section, 275n.18

developmental, 238 theme, 272n.66 formal functions, 3

vs. standing on the dominant, 157 modulation techniques, 274n.9 fragmentation, 265n.31

at start of coda, 181 | Mozart's K. 457, i, 169 Grundgestalt, 4

as transitional, 278n.9 nonmodulating A section, minuet, large ternary, as rondo type, 281n.19

after trio, 229 283nn.12, 18 liquidation, 265n.37

retrospective reinterpretation (see also retransition, 276n.54 minuet form, 283n.1

reinterpreted half cadence) reversed recapitulation, 278nn.33, 34 motive vs. formal function, 259n.12

continuation=>cadental, 47 secondary development, 163, 165, period, 265n.1

false closing section, 123, 181-83 282n.45 phrase, 264n.11

of formal functions, 4 sonata without development, 282n.42 phrase alteration, 264n.26 of harmony, 81 subdominant recapitulation, 278n.37 postcadential terminology, 261n.21

in small ternary, 73 submediant, as development key, presentation, 263n.9

subordinate theme, beginning of, 113, 275n.8 scherzo vs. minuet, 219 203 subordinate key, 270nn.2, 6, 273n.72 sentence, 9, 263n.1 of tonality, 151 three-key exposition, 273n.70 sentence vs. period, 59 transition, beginning of, 129, 131, 197, tonality and form, 259n.8 small binary, 269n.2 203 Rosen, David, 285n.1, 286n.5, 287n.32 small ternary, 267n.1 return Rothstein, William, 261n.30, 263n.1, sonata without development, 282n.q2 of basic idea, 12, 67, 267n.16 264n.26, 265n.44, 266n.9, 273n.82 sonata—rondo, 285n.32 of main theme, 161, 214-16 hypermeter, 263n.5, 272n.53, 278n.14 subordinate theme, 97, 261n.3, 270N.3

and recapitulation, 249 rounded binary, 131, 195, 213, 220, 231 symmetry, 266n.15 vs. recapitulation, 216, 235, 285n.37 (see also small binary; small ternary) tight knit vs. loose, 261n.16

of refrain, 233, 235, 237, 239 vs. small binary, 87, 89 written-out ritardando, 47

vs. repetition, 216, 260n.12 vs. small ternary, 71-73, 267n.1 Schumann, Robert, 113 and sonata without development, 216 —_—-Rufer, Josef, 263n.1, 264n.11 Sechter, Simon, 261n.3

reversed period, 89, 129 secondary development, 163, 165, 216 reversed recapitulation, 173-74 scale-degree theory (Stufentheorie), 23 second key area. See subordinate theme

rhythmic acceleration, 41 Schachter, Carl, 262n.22, 263n.5, second part. See small binary

rhythmic activity, 129, 142 275n.7 second subject, 117, 122, 270n.3,

rhythmic continuity, 45, §1, 121, 173, Schenker, Heinrich 272n.52 (see also subordinate theme)

197, 206 Anstieg, 39 second theme, 270n.3 (see also subordi-

broken, 129, 131, 181, 201, 235 development section, 139, 195, 275N.5 nate theme)

306 GENERAL INDEX

sentence, eight-measure, 9-12, 42, 45, small ternary (see a/so rounded binary) Stevens, Jane R., 285n.1, 286n.5,

153, 196 basic functions of, 13-15 287n.39

as antecedent, sixteen-measure period, bipartite vs. tripartite, 267n.1 stop, 51, 83

65 in couplet, 235 strophic song form, 267n.11

vs. hybrid, 63 as entire slow movement, 281n.3 structural changes, 161-63 loose, in B section, 77 hybrid in, 63, 267n.11 Sturm und Drang, 131, 142, 151, 155,

modulating, 47, 53 incomplete, 137, 197, 212 213, 280n.17

vs. period, 49, 269n.38 as interior theme, 212~—13 subdominant

as second part, small binary, 93 vs. large ternary, 211 in baroque compositions, 280n.7 tight-knit, in subordinate-theme as main theme, large ternary, 212 beginning with, 174, 199, 280n.24

group, 121 and minuet, 220 as development key, 141

sentence, sixteen-measure, 69—70, 107, modulating period in, 53 in double-region couplet, 237,

117, 207, 244, 267n.26 modulating sentence in, 47 238-39

sentential origin of term, 267n.1 emphasized, in codetta, 129, 261n.23 functions, in transition, 125 as refrain, five-part rondo, 231 as initiating region, 141 functions, loose, 99-111 vs. small binary, 87, 173, 217 for interior theme, rondo, 233-35,

loose, in B section, 77, 81 vs. sonata form, 195 238 : in model, 147 in subordinate theme, 97 in postcadential, 25 in A section, minuet, 221 in theme for variations, 217-18 as pre-dominant, 23 vs. sentence, 51 in transition, 125 in recapitulation, 163, 174 sequence, II, 77, 144, 147 truncated, 206, 212, 213, 233 in response, 39

sequential progression, II, 24, 29-31, solo development, 249 for slow movement, 281n.2

278n.7 286n.12 for trio, 220

42, 51, 75, 113, 144, 155, 181, 245, solo exposition, 245-48, 249, 250, as tonic substitute, 169

beginning a theme, 111-13 solo main theme, 245, 247 submediant harmonic functionality in, 29 solo recapitulation, 249 as development key, 141 and harmonic goal, 270n.18bottom solo subordinate theme, 247 dominant of, as dominant substitute,

as loosening device, 77 solo transition, 245-47 141, 269n.32

145, 264n.23 281n.3 238-39

sequential repetition, 11, 39, 142-44, sonata form, 71, 186, 195, 209~11, in double-region couplet, 237,

seven-part rondo, 235 sonata—rondo, 173, 186, 231, 235-41, _ for interior theme, rondo, 233-35,

Shamgar, Beth, 273n.83, 277n.55 285n.32 238

Sisman, Elaine R., 217, 259n.1, 260n.16, | sonata—rondo, nine-part, 239-41 as tonic substitute, 23, 131, 199

282nn.51, 52, $3, 284n.10 sonata without development, 49, 216, in transition, 129, 131, 225

slow introduction, 203-5, 203-8, 281n.11, 282n.42 subordinate harmony, 25, 41, 99, 133 263n.6, 280n.34, 281n.4 standing on the dominant, 16, 25, 75, subordinate key, 13, 73, 79, 140

slow movement, 97, 281n.4 77, 144-45, 197, 206 beginning pre-core, 147 small binary as B section, minuet, 225, 229 confirmation of, 97, 220-21, 225, as antecedent~consequent, 49 as B section, small ternary, 13, 75-77, 244, 272n.58 contrasting middle, absence of, 91-93 81, 89 established by solo, in concerto, 244

in couplet, 235 beginning with, 113-15 vs. home key, 125, 195, 244

as entire slow movement, 281n.3 and cadential idea, 16, 133 rondo vs. sonata, 233, 237

first part, 87-89 as development section, 281n.15 and tight-knit/loose continuum, 84

as interior theme, 212-13 vs. dominant prolongation, 268n.18 subordinate-key ritornello, 248-49, 251 as main theme, large ternary, 212 dynamic curve of, 261n.22 subordinate theme (see also subordinate-

in minuet, 220 vs. expanded dominant, 117 theme complex; subordinate-theme

modulating hybrid in, 63 as functional initiation, 75 group)

modulating period in, 53 multiple phrases in, 133, 147 beginning in subdominant, 174, 239 modulating sentence in, 47 omitted, in slow movements, 133 beginning of, difficulty determining,

motivic correspondences, 89 after premature dominant arrival, 135

vs. period, sixteen-measure, 87, 91, 275N.22 cadential requirement of, 97, 117,

93 vs. retransition, 157 203, 272n.58

as refrain, five-part rondo, 231 vs. tonic prolongation, 77, 115 in coda theme, 183 vs. rounded binary, 87 statement, 10, 39 (see also tonic version) continuation and cadential, separate

second part, 89-93 statement—response repetition, 10, 39, phrases, 100

in slow introduction, 207 53, 69, 93 in development, 147, 157

vs. small ternary, 73, 87, 173, 217 vs. sequential repetition, 39, 93, in exposition vs. in recapitulation,

in theme for variations, 217-18 264N.23 161-63

GENERAL INDEX 307

formal functions of, 19, 125, 161-63 three-key exposition, 119-21 concluding function, lack of, 135,

half cadence, ending with, 181 tight-knit organization 201-3

imperfect authentic cadence, ending and conventional form, 85 destabilizing home key, 125, 127, 129,

with, 270n.10 criteria of, 17 197

as interthematic function, 17 and interthematic functions, 17 in double-region couplet, 239 lacking cadential closure, 237 in main theme, 17, 42, 99, 197 eliminated, 165, 173, 211, 233, 235;

and large ternary, 211 and nonconventional form, 73, 197 237, 272N.51, 281n.12

loose organization of, 97 in pre-core, 153, 157 ending with perfect authentic

vs. main theme, 97, 122 in small ternary, 13 cadence, 203

major alterations of, 167-71 in subordinate-key ritornello, 249 in exposition vs. in recapitulation, 161

in minuet, 221, 225, 227 in subordinate-theme group, 97, 121 extended, 19 modulating, 119-21, 131, 169-71, tight knit vs. loose, 17 in five-part rondo, 233

272n.49 general criteria, 84-85, 269n.3 obscured boundary with subordinate obscured boundary with transition, 197-99, 201 in recapitulation, 163-65 multiple, 221, 277n.22 main vs. subordinate theme, 97, theme, 113, 114, 201-3

113, I14, 201-3 opening ritornello, 244-45 in rondo, 211, 233, 235, 237) 272N.51

in recapitulation, 167-71, 169 A section, minuet, 221 single harmony in, 131

rondo vs. sonata, 233,237. sentence vs. period, 268n. 16 in sonata—rondo, 113, 237

second, 223 small ternary, 85-86 texture of, 275n.20

in slow movement, 97, 209 subordinate-theme group, 121 two-part, 165, 197, 203

terminology for, 270n.3 toccata, 155 transitional introduction, 147, 153, 155,

tight-knit, 209, 261n.25 tonal closure, 53-55 157

two-part, 117, 169, 183, 247, 286n.11 tonal conflict, 125, 227, 233, 244, 249 Treitler, Leo, 272n.52

subordinate-theme complex, 214, tonal hierarchy, 139-40 trill, cadential, 109, 123, 167, 247, 249,

231-33, 237, 239 tonality, 17, 84-85, 196 250

_ subordinate-theme group, 97, 121,247, _ tonal-polarity model, 195-96 tri0, 219, 220, 229, 284n.34

270n.11, 280n.18 tonic. See final tonic; initial tonic truncated recapitulation, 216 substitute chords, 25 tonic emphasis, 13, 15, 37, 75, 129, truncated small ternary, 206, 212, 213,

subtonic (+ VII), 281n.10, 285n.41 268n.15 233

supertonic, 24, 141 tonic function, 23, 262n.17 two-part subordinate theme, 117, 169, surface rhythmic activity, 129, 142 tonicization, 119, 140, 181, 225 183, 247, 286n.11

symmetrical grouping structure, 9, 20, tonicized region, 140, 141, 144, 227 two-part transition, 165, 197, 203

55, 69, 85, 87 tonic prolongation, 16, 61, 165, 260n.9 two-reprise form, small, 267n.1 vs. asymmetrical, 5, 91 ending in continuation, 40, 61-63

symmetry, 13, 266n.15 (see also symmet- in presentation, 10, 19, 39, 49 ultimate dominant, 29, 45, 53, 117, 133

rical grouping structure) vs. sequential, 169

syntax, formal, 17, 59-61, 97, 129 vs. standing on the dominant, 77 variation rondo, 284n.10

undermined by dominant pedal, ternary weak, 99, 183, 237 Webster, James, 259n.1, 284n.30

ternary form. See large ternary; small 19-20, 99 Weber, Max, 4

texture, 49, 75, 161, 197, 201, 275n.20 tonic version, 10, 39, 53, 93 classical style, critique of, 259n.7

marking new beginning, 103, 119 tour-of-keys model, 196 ending of development, 275n.14

polyphonic, 75, 142, 153, 245, 249 Tovey, Donald Francis, 272n.52, false recapitulation, 277n.58 reduction of, 79, 114, 131, 141, 186 273n.85, 282n.42, 285n.44, 286n.3, minuet form vs. sonata form, 283n.9

thematic functions, 129, 203 (see also 287n.31 multimovement cycle, 259n.2 interthematic functions) transition (see also nonmodulating transi- reversed period, 274n.23 thematic introduction, 15, 117-19, 125, tion; transitional introduction) subordinate theme, 270n.5

183, 203-5, 206 in A section, minuet, 221 three-key exposition, 273n.70

to main theme, 15, 83, 199, 272n.62 in B section, small ternary, 91 Winter, Robert, 274nn.14, 16,277n.11 theme and variations, 71, 87, 216-18 basic functions of, 17-19, 125, 161 Wolf, Eugene K., 273n.83, 277nn.13,

themelike unit, 125, 139 beginning of, 131, 137, 274n.5 21, 286n.5

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