Musical Form and Analysis

musical form and analysis time pattern proportion

Glenn Spring Jere Hutcheson

musical form and analysis time pattern proportion

Glenn Spring Walla Walla University

Jere Hutcheson Michigan State University

For information about this book, contact: Waveland Press, Inc. 4180 IL Route 83, Suite 101 Long Grove, IL 60047-9580 (847) 634-0081 [email protected] www.waveland.com

Title page photo: van Gogh, Vincent. The Starry Night. (1889). Oil on canvas, 29 x 36 ¼”. The Museum of Modern Art, New York. Acquired through the Lillie P. Bliss Bequest.

Copyright © 1995 by Glenn Spring and Jere Hutcheson 2013 reissued with changes by Waveland Press, Inc. 10-digit ISBN 1-4786-0722-X 13-digit ISBN 978-1-4786-0722-9 All rights reserved. No part of this book may be reproduced, stored in a retrieval system, or transmitted in any form or by any means without permission in writing from the publisher. Printed in the United States of America 7

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CONTENTS

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PREFACE

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PRELUDE: Why Analysis?

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TIME: The Motivating Forces Perceiving Musical Form

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CHAPTER ONE: Basic Factors in Form I. Rhythm; II. Melody: contour, range, interval content, harmonic implications, interaction of tension and relaxation in melody; III. Harmony and Tonality; IV. Tension and Relaxation; V. Articulation of Structural Units. Summary; Assignments

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CHAPTER TWO: The Phrase I. General Characteristics; II. The Additive Process; III. Phrase Length; IV. The Semiphrase; V. The Rhythmic Structure of the Phrase; VI. The Harmonic Cadence; VII. The Harmonic Structure of the Phrase; VIII. Phrase Extension; IX. Motivic Structure of the Phrase. Summary; Assignments

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CHAPTER THREE: Phrase Groupings The Period Relationship; I. The Two-Phrase Period: antecedent and consequent phrases; cadential relationship; melodic relationship; tonal relationship; II. Symmetrical and Asymmetrical Periods; III. Three- and Four-Phrase Periods; IV. The Repeated Period; V. The Independent Phrase; VI. The Repeated Phrase; VII. The Phrase Group; VIII. The Connection of Phrases; IX. Disguised Phrase Endings; X. Duple Measure Groupings; XI. Description of the Period. Summary; Assignments

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PATTERN: The Shaping Factors The Emergence of Pattern in Musical Perception

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CHAPTER FOUR: The Simple Part Forms General Characteristics; I. One-Part Form; II. Two-Part Form; III. Macrorhythm and Macrotonal Plan; IV. Three-Part Form; V. Four- and Five-Part Forms; VI. Simple Part Forms as Internal Units; VII. Simple Part Forms in Vocal Music; VIII. The Connection of Parts. Summary; Assignments

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INTERLUDE: Auxiliary Members Compared to "Negative Space" in Visual Art; I. Beginnings; II. Connections; III. Conclusions. Assignments

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CHAPTER FIVE: Composite Part Forms I. Composite Three-Part Form; II. Composite Five-Part Form: the minuet/ scherzo with two trios; III. Composite Part Forms in Vocal Music; IV. Other Composite Part Forms: the waltz; arch form. Summary; Assignments

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CHAPTER SIX: The Rondo I. Historical Background; II. The Classical Rondo: General Characteristics; III. Treatment of the Principal Theme; IV. The Episodes; V. The Transition; VI. The Coda; VII. The Five-Part Rondo; VIII. The Seven-Part Rondo; IX. Rondo and Part Forms: Similarities and Differences. Summary; Assignments

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CHAPTER SEVEN: Variation Forms The Enduring Prevalence of Variations: I. Theme and Variations: general characteristics; special types of variations; overall organization of the theme and variations; II. Ostinato Variations: general characteristics; the ground bass; the passacaglia and chaconne. Summary; Assignments

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CHAPTER EIGHT: Fugue The Prototypical Fugue; I. The Exposition: the subject; the answer; II. The Episode; III. The Middle Entries; IV. The Conclusion; V. The "Form" of the Fugue; VI. Fugues with Multiple Subjects; VII. Related Types: fugato; fughetta; canon; invention; organ chorale. Summary: An Analytical Approach; Assignments

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CHAPTER NINE: Sonata Form Meanings of the Term; I. General Characteristics; Historical Background; II. The Introduction; III. The Exposition; IV. The Development; V. The Recapitulation; VI. The Coda; VII. Sonata Form in the Concerto; VIII. Related Forms: sonatina form; sonata-rondo form. Summary: An Analytical Approach; Assignments

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PROPORTION: The Distinguishing Features Formal Interrelationships; the uniqueness of the work of art

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CHAPTER TEN: Multimovement Form Aesthetic Concept; I. Classical Models; II. The Concerto: Special Considerations; III. Cyclical Design; IV. Away from the Classical Model. Summary; Assignments

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CHAPTER ELEVEN: Broader Horizons Expansion of Formal Analysis Beyond the Common Practice Period; I. Rhythmic Delineation; II. Parametric Change and Expansion of the Phrase Concept. Summary; Assignments

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POSTLUDE: METAFORM: Beyond Formal Analysis The Search for Musical Meaning; I. The Musical Idea; II. Musical Character; III. Proportional Aspects; IV. Under the Magnifying Glass: The Copyist. Commencement Assignment

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ANTHOLOGY: MUSIC FOR ANALYSIS

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SELECTED BIBLIOGRAPHY

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CREDITS

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INDEX

PREFACE

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The study of musical form is an arena in which varying opinions abound. Yet it is a most fruitful area of study for the musician: understanding the way music unfolds to the listener is a major key for unlocking the secrets of the composer's art. We present the standard topics expected in a textbook on musical form, noting the varieties of opinion and terminology that exist. We have adopted those viewpoints and terms that seem most beneficial. Our emphasis is on conceptual matters rather than mere analytical "facts." Finding such musical facts is only a part-albeit an important one-of the larger search for the underlying meaning of music. From our viewpoint the search for musical understanding is more important than agreement about details and terminology. In keeping with this conceptual approach, we have organized the subject matter into three general sections: TIME, PATTERN, and PROPORTION. The thoughtful reader may note at the outset that these three elements are at work at all levels of music. TIME, PATTERN, and PROPORTION are used here not as definitive terms, but as a means of focusing our analytical attention: TIME is the medium in which all music takes place. We are keenly aware of time's passing in the smaller units of structure such as the motive and phrase as well as in the moment-by-moment flow of rhythm, melody, and harmony. Musical structure at this level is the focus of Part I. PATTERN, an important element at even the lowest levels of musical organization, becomes a primary shaping force with the larger units of structure. Pattern analysis-which enables us to differentiate rondo from sonata form, for instance-is the focus of Part II. In Part III, PROPORTION, we strive to discover clues to musical character by examining and comparing details of the inner relationships of musical works. Finally, we seek to summarize principles which emerge in the early chapters of the study and make broad applications for the musician's use.

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PREFACE

In keeping with the conceptual thrust of our approach, we have sought to be evocative rather than encyclopedic. By combining Musical Form and Analysis with Anthology: Music for Analysis, we have provided sufficient material for an entire course, but left room for a broader search from music literature as a whole. The assignments at the ends of chapters are designed to fulfill a variety of needs and interests. It is expected that teachers will select assignments and tailor them as they see fit. The main focus of this text is the homophonic forms of the common practice period, especially the classical and romatic periods. However, we have included musical examples from earlier and later style periods where appropriate. In Chapter 11 we make suggestions for broader applications of formal principles to the analysis of music outside the common practice period; the Postlude proposes still broader aesthetic applications. We hope that this book will not only lead the reader to a thorough understanding of the formal process in music, but will also stimulate a lifelong adventure in the realm of the communicative art of music. Thanks to the following reviewers of the manuscript: Claire Boge (Miami University); Harriet Chase (Westminster Choir College); Mack Crooks (Solano College, City College of San Francisco); Lisa Derry (Western Michigan University); Antony Garlick (Wayne State College); Theldon Myers (Towson State University); Donald Para (California State University, Long Beach); and William Schirmer (Jacksonville University).

PRELUDE

WHY ANALYSIS? •

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I don't think you should analyze music. Like the oldtimer told me, he say, "Don't worry about that black cow giving white milk. Just drink the milk." Louis Armstrong, Life, April 15, 1966

Inspiration and intellect are not incompatible; they must complement each other if a composition is to be a masterpiece. We can feel awe at the unfathomable and at the same time recognize the importance of conscious thought and effort. Erich Leinsdorf, The Composer's

Advocate

Anyone who has been moved by a deeply felt rendition of a song or experienced the spine tingling effect of an orchestral crescendo can relate to Louis Armstrong's reluctance to analyze music. Music arises from the human spirit. Something about it defies description, much less analysis, and we may feel that in attempting to analyze music we are doing an injustice to something we love. Yet many of us as musicians are equally reluctant to accept the idea that music cannot be analyzed to our benefit. For us, Leinsdorf's statement may be helpful. Even though the expressive element in music-the "inspiration" -may remain "unfathomable," there is much to be gained through understanding music's structure. In the process of discovering the form of a musical work we gain an understanding of the composer's craft and intentions. Such an understanding may enable us to "think the composer's thoughts after him," and thence to communicate those musical ideas more effectively to our listeners. It is in this spirit that we approach a study of musical form.

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PRELUDE

The first step in our study will be to examine the way we perceive music; how does music "make sense" to us as it unfolds in time? Second, we will examine the musical patterns that present themselves to us, especially in the music of the eighteenth and nineteenth centuries. Third, we will seek to understand something about the nature and meaning of works of musical art relative to their forms and to consider the implications for the performer. In summary, we will attempt to crystallize broadly based principles of formal analysis for use in a wide spectrum of music. In the process of our study we hope to come closer to the essence of music. But we must admit our limitations at the outset. We may analyze, chart, describe, compare and otherwise express ourselves about the nature and structure of music, but in the end a kernel of verbally inexplicable mystery will remain. Would we really want it any other way?

PART

TIME the motivating forces

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The purpose of all musical labor, in thought or in physical activity, is to create and develope the illusion of flowing time in its passage. Suzanne K. Langer, Feeling and Form

Thomas Eakins, Pole Vaulter, 1884. Photography collection, The Metropolitan Museum of Art, New York.

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Mona Lisa hangs in the Louvre. Look at her for as little or as long as you like; muse on her smile for a month or a minute. The Minute Waltz will take up a specific amount of your time (albeit more than a minute). Music simply won't be either rushed or delayed.

Leonardo da Vinci, Mona Lisa (detail) The Louvre, Paris.

Time is an essential ingredient of music. We can compare lines, colors, and shading in the Mona Lisa or Starry Night, "making sense" out of them in the process. But to make sense of music we must compare events that take place in time. We do this by remembering what has gone by earlier, and then asking ourselves (usually subconsciously), "Have I heard this before? When? Was it just like this last time? Is it brand new?" These questions enable us to recognize an interplay of repetition and contrast, the two phenomena most responsible for generating musical form. The study of musical form involves discovering how various musical events-phrases, themes, sections, etc.-follow one another, and how they compare and contrast with each other as they unfold in time. Part I of this book concentrates on the temporal unfolding of music by means of rhythm, melody, and harmony, and through the succession of music's smaller building blocks, such as figures, motives, phrases, and periods.

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Basic Factors in Form •

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Anyone who breathes is in the rhythm business. William Stafford, Writing the Australian Crawl

Before we begin the study of the actual building blocks of musical formphrases, periods, themes, etc.-it would be well to consider the generative forces in music. What aspects of rhythm, melody, and harmony enable music to "create and develope the illusion of flowing time in its passage"l and to generate comprehensible musical form in the process? Chapter 1 is devoted to exploring this subject.

I.

RHYTHM Since time is "the medium in which music unfolds itself,"2 rhythm must necessarily be the most basic musical element. We can have music without melody, or without harmony, but not without rhythm. Rhythm is the organization of sound in time to create music. Rhythm operates on several levels to "move" music through time and to generate musical form. At the simplest level we have pulse, or beat. The physical nature of this basic phenomenon is evidenced in our choice of the terms pulse and beat. Just above this elemental level of the repetitive beat comes the idea of contrast: some beats may be strong (accented) while others are weak (unaccented). When strong and weak beats alternate in some kind of pattern, the result is meter (Ex. 1-1).

1. Susanne K. Langer, Feeling and Form, p. 120. 2. Ernst Toch, The Shaping Forces in Music, p. 154.

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CHAPTER 1

EXAMPLE 1-1

r r r r Ir r r r

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Meter embodies an interplay of repetition and contrast: repetition of the metric pattern; contrast between accented and unaccented beats. Thus, meter is capable of generating the formal elements of unity and variety, essentials in any art form. If we hear (see, feel) only one idea over and over, we soon lose interest. But if we are constantly subjected to new ideas, we become distracted and want to hear something familiar. Repetition creates unity; contrast promotes variety. Composers are constantly searching for ways to create an interesting balance between unity and variety in their music. The interaction of repetition and contrast at the level of meter does not offer much to hold our interest for very long. Ex. 1-2 shows a simple rhythm in common time. Already, we find a richer mixture of unity and variety.

EXAMPLE 1-2

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Here the surface rhythm begins to attract us. The beat and meter are still there, holding things together (unity), but the mixture of long notes, short notes, and rests catches our attention, providing a contrast (variety) to the repetitive metric background. Pulse and meter engage us at a low level of consciousness, giving us the illusion that music moves through time; surface rhythm attracts our attention more consciously, contributing to the flow of that illusional movement and providing a second level for the interplay of unity and variety. Pulse, meter, surface rhythm: we are almost always aware of these when we listen to music. But the formal unfolding of music is also rhythmic in a much broader sense. As the various musical events of a composition (phrases, themes, sections, pauses, etc.) pass by us in time, their passing creates a broad rhythm of its own. This ordering in time of the successive events of a piece-which might be referred to as macrorhythm-is at the heart of musical organization as we perceive it; it figures prominently in our study of musical form.

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BASIC FACTORS IN FORM

II.

MELODY Rhythm may be the most essential of music's elements, but melody often captures a greater share of our attention. When we turn off the radio or leave the concert hall, it's usually the tunes we can't get out of our heads. Listen to another version of Ex. 1-2.

Tchaikovsky, The Nutcracker, "March"

EXAMPLE 1-3

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Now that the rhythm is clothed with a pitch shape, we recognize it as a melody. It has all the characteristics of rhythmic movement that we noticed earlier plus a contour and a sense of pitch direction. The pitch and rhythmic characteristics, taken together, give a melody its identity. Much of what we love in music has to do with melody: its expressive ups and downs, its senses of climax and relaxation, its ebb and flow. Even though the essence of a beautiful melody may in the end defy analysis, it is worthwhile to examine several aspects of melodic structure.

A. Contour Much of melody's expressive power comes from the upward and downward flow of pitch. Consider the melodic excerpts in Ex. 1-4.

EXAMPLE 1-4

A.

Glazunoff, Concerto for Violin and Orchestra, Op. 82, III, mm. 1-4 ARCH

Animato ~#

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J. I

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C.

Schubert, Winterreise: "Irrlicht," Op. 89 INVERTED ARCH

Langsam

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3

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These melodies illustrate three common melodic contours: arch, wave, and inverted arch. The possibilities for melodic construction within these three basic contours are virtually infinite. Ex. 1-5 shows yet another type of contour, one that we may call pivotal since it pivots around a central pitch.

EXAMPLE 1-5

Dvorak, Symphony No.9, Op. 95, IV, mm. 10-17

PIVOTAL 3

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In general, ascending melodic motion creates tension, while descending motion produces relaxation. The expansion generated by upward melodic movement is analogous to the stretching of a coiled spring. Physical tension is produced as the spring is stretched, and likewise, musical tension is produced by the ascending melodic line. The descending motion that must ultimately follow a rise satisfies a basic psychological need of the listener, that of relaxation following tension. Sing or play the melody shown in Ex. 1-6, noting the gradual increase of tension created by the initial ascent and the gentle relaxation that follows.

EXAMPLE 1-6

Allegro

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Beethoven, Symphony No.6, Op. 68, III, mm. 9-16

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descent relaxes tension

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Melodies usually strike some kind of balance between upward and downward motion-between tension and release. A sort of musical gravity is created in this balancing process, with the upward sweeps of melody striving against the gravitational pull, and the downward passages giving in to it. The melody in Ex. 1-7 climbs slowly, accumulating tension by small steps as it strives for the summit. The high point reached in measure 6 represents the climax of the line.

EXAMPLE 1-7

Beethoven, Sonata, Op. 10, No.1, I, mm. 1-8

By contrast, Rachmaninoff reaches the climax quickly in Ex. 1-8, then allows a deliberate unwinding of the tension as the line works its way gradually downward.

EXAMPLE 1-8

Rachmaninoff, Piano Concerto No.2, Op. 18, I, mm. 83-93

Moderato

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All melodies move toward pitch goals of some sort. For instance, every melodic phrase reaches an ending, a cadence. Many melodies also focus on a climax; others on a low pitch goal. Regardless of the nature of these goals, melodies are easily weakened if important points of arrival are reached too often-a malady often described as "note fatigue." In keeping with this principle, the climactic pitch of a melody is usually reached only once.

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But, as always, there are exceptions to the general rule. In the melody of Ex. 1-9 the immediate repetition of the highest pitch serves to emphasize the climax.

EXAMPLE 1-9

Smetena, My CountrYt "The Moldau," Section I, mm. 40-47

In Ex. 1-10 Mozart repeats the entire figure that contains the highest pitch. When this kind of repetition occurs immediately, the focus of the climax is not blurred.

EXAMPLE 1-10

Mozart, Sonata, K. 333, I, mm. 23-26

In the opening phrase of Traumerei, Schumann soars quickly to a high point and allows the climactic F three iterations (Ex. 1-11). The half note in measure 2 imparts a strong agogic stress to the climax; the F that precedes it is merely an anticipation; the F in measure 3 occurs after the gently undulating descent has begun; due to its brevity and weak metrical placement, it does not disturb the sense of climax in measure 2.

EXAMPLE 1-11

Schumann, Kinderszenen, "Traumerei"


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B. Range The range of a melody is determined by the interval between the highest and lowest pitches. The ebb and flow of the tension in a melody is often proportional to its range: melodies with narrow ranges usually create a modest amount of tension, while melodies with a wide range are more likely to encompass a comparably wide expressive range. The following three melodies exhibit narrow, medium, and wide ranges, respectively. Compare their pitch and expressive ranges.

EXAMPLE 1-12

A.

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Verdi, Aida L'istesso movimente

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Richard Strauss, Don juan, Op. 20

The performance medium of course influences a composer's choices regarding a melody's compass. The limited range of Aura Lee (Ex. 1-12[A])

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CHAPTER 1

reflects its folk song roots. The wider range and greater complexity of the melody from Aida demand a trained singing voice. Finally, the Strauss melody can obviously belong only to instruments with a large pitch compass-in this instance, the strings and woodwinds of the orchestra. As the range of each successive melody becomes wider, the potential for a greater tension level is increased. This is not to say that melodies of limited range can generate only limited amounts of tension; rather, such melodies are more prone to use rhythm to generate the interplay of tension and relaxation. Tchaikovsky's energetic rhythmic patterns and punctuating rests give the following theme a restlessness that belies its narrow range (Ex. 1-13).

EXAMPLE 1-13 Tchaikovsky, Symphony No.4, Allegro con fuoco ~

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Op. 36, IV, mm. 60-67

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The opening bars of The Rite afSpring (Ex. 1-14) are pregnant with intensity, yet the melody encompasses a range of only a seventh. It is the bassoon's high tessitura that breeds this tension.

EXAMPLE 1-14

Stravinsky, The Rite of Spring mm. 1-3 3

Tessitura is the portion of a specific voice's or instrument's range that is exploited by a melody. Generally speaking, the higher the tessitura, the higher the perceived tension level. For example, the C above middle C sounds very comfortable and natural for a soprano, but the same pitch sung by a tenor can pack a highly dramatic punch.

3. © Copyright 1921 by Edition Russe de Musique; Copyright Renewed. Copyright assigned to Boosey & Hawkes, Inc. for all countries of the world. Reprinted by permission.


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C. Interval Content Within the broad context of melodic contour, specific pitch details contribute in various ways to a melody's effect. Generally speaking, melodic leaps generate more tension than stepwise motion. Further, dissonant intervals tend to generate more intensity than do consonant ones. The melody in Ex. 1-15 exhibits a varied mix of steps and leaps. Note the climactic power of the upward leaps.

EXAMPLE 1-15

Bach, Well-Tempered Clavier, Vol. I, Fugue No.7, mm. 1-3

The leaps that exhibit the most force are the dissonant minor seventh and minor ninth (bracketed). Bach places these potent leaps in strategic metric positions and relegates the milder leaps of fifth and sixth to weaker portions of the measure. Sevenths, ninths, and tritones have high tension values. The perfect intervals (unisons, fourths, fifths, octaves) tend to sound stable by comparison. The imperfect consonances (thirds and sixths) fall somewhere between the perfect and dissonant intervals in tension values. The foregoing scale for evaluating interval tension is admittedly subjective and open to opinion. The perceived tension value of intervals depends to a great degree on the musical context. In sixteenth-century liturgical music, which consists for the most part of conjunct (stepwise) motion, even small leaps increase the tension, as we can hear in Ex. 1-16. The upward leap of a fourth in measure 7 is climactic in this context, but it would have had no such effect in the fugue subject by Bach (Ex. 1-15).

EXAMPLE 1-16

Palestri na, Mass: Repleatur as meum laude

In contrast to the Palestrina example, the melody shown in Ex. 1-17 is charged with leaping motion. Although most of the leaps are perfect

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intervals, the angularity of the line produces a very restless melody. Surrounded by smaller jumps, the perfect octave exhibits a dramatic flair as it skips to the climactic high note.

EXAMPLE 1-17

~

Wagner, Siegfried, Act I, Scene 1

Sehr schnell

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a I tl'ct I oJ) iJ I ~ r I r J I,J £J I r k~1 fJ I I 1

2

3

5

7

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Melodic angularity has been carried much further by many twentiethcentury composers. The melody in Ex. 1-18 not only moves in a wide range, but it also consists entirely of leaps, the majority of which are dissonant.

EXAMPLE 1-18

Stockhausen, Nr. 5 Zeitmasse4

The previous three musical examples should convince us rather quickly that the tension values of intervals cannot be "pigeonholed"; they are dependent on style and context. It is nonetheless useful to keep in mind their inherent characteristics: tension-producing dissonant tritones, sevenths, and ninths; less intense perfect intervals; and in between, the imperfect consonance of thirds and sixths. The second is a special case: it is intense as a harmonic interval, but has a smooth effect when used melodically.

4. Stockhausen ZEITMASSE, NR. 5 Copyright © 1956 by Universal Edition AG, Vienna. Copyright © renewed. All Rights Reserved. Used by permission of European American Music Distributors Company, U.S. and Canadian agent for Universal Edition AG, Vienna.

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D. Harmonic Implications Section III of this chapter deals with harmony as one of music's basic form-building elements. Here we want to consider harmony's role in the unfolding of melody. Some melodies consist of little more than arpeggiation of the underlying harmonies. Example 1-19 is a good instance of this.

EXAMPLE 1-19

Haydn, Symphony No. 98, III, mm. 1-4

Allegro

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2@I r 1

f

t rI r t I FEft! I (W I 2~.

3

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4

One can quickly see and hear the progression outlined: I-IV- V7-1. This harmonic framework both generates tension into the dominant seventh chord and provides for its release. The resolution of the active tones in the dominant seventh chord creates a sense of relaxation and at the same time defines the cadential goal of the melody. Harmonic tension in the music of the common practice period (as well as the twentieth- and twenty-first-centuries) is created in three additional ways: 1. By acceleration of the harmonic rhythm 2. By the introduction of chromaticism 3. By the introduction of dissonance, through nonharmonic tones or chords built of superimposed thirds beyond the triad Regardless of which of these factors is involved, harmonic tension and relaxation are expressed in a melody to whatever extent the harmonic background is implied in the melody. In conjunct melodies with slow rhythm, the underlying harmony may not be implied so unequivocally. In fact, a variety of harmonizations of such a melody may be possible. The phrase from the chorale shown in Ex. 1-20 could be harmonized in a number of ways, cadencing in either B minor or D major. A half cadence is implied in either case.

EXAMPLE 1-20

i~

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1

Bach Chorale: Herzliebster jesu, was hast du verbrochen

2

3

~

r I r rlid J I r F r r I r r F I

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CHAPTER 1

In homophonic music, melody often springs from the harmony. In contrapuntal music, the opposite is more often true: harmony is dictated by the linear flow of the melodic lines. In a contrapuntal texture, the harmony implied in a given melody is less likely to agree with the actual underlying harmony than it is in a homophonic composition. Ex. 1-21 from The Art of Fugue illustrates the situation clearly.

EXAMPLE 1-21

Bach, The Art of Fugue, Fugue No.2

2

J I

v

S

PI

1:------J. I

J. j J. I

d:

r

J

c..:-=

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iv

The top line in Ex. 1-21 outlines a tonic triad, and yet the tonic triad is actually present only 50 percent of the time. Harmony's role in generating tension is clearly more complex when melodies are involved in contrapuntal textures than when they exist in a homophonic context.

E. Interaction of Tension and Relaxation in Melody So far we have examined several elements of melodic construction: contour, range, interval content, and harmonic implications. These elements combine with melody's rhythm to produce interest and a sense of direction and purpose. Schumann's "Wid mung" (Ex. 1-22) gives us a chance to examine this interplay.

EXAMPLE 1-22

Schumann, Myrthen, "Widmung"


17

This melody is one of those frequent types that undulates upward to an eventual primary climax. The details are most interesting. Schumann breaks the melody into four segments by punctuating it with rests. Each of the four segments has its own individual length and climactic high point. The climaxes come early in the shorter segments (first, second, and fourth); but in the third segment, Schumann protracts the line and fashions a dramatic ascent to the overall climax of the melody. We can graph this overall shape, ignoring the small up and down details of the melody.

EXAMPLE 1-23

1 - - - - - ' 1 2 ---------'1 3 - - - - - - - - - - - - ' 1 4---------'

Such a curve might be called a macro curve, since it takes a broad perspective of several smaller units. Its value lies in pointing out the relationships of the various melodic peaks and hence the structural force of tension and relaxation as expressed in the rising and falling of the line. What roles do rhythm and harmony play in the expression of tension and relaxation within this pitch framework? There is no real increase in rhythmic activity accompanying the rise to the pitch climax; but there is, nevertheless, a sense of accumulation as we approach the summit. Why? Those two early rests led us to expect interruptions in the melody; but the third segment extends into a rhythmic continuum that supports the rising pitch movement. Rhythmic patterns give shape to the segments themselves, with dotted quarter and eighth-note patterns playing leading roles. All four of the segmental climaxes are agogically stressed, with the longest duration reserved for the primary climax (G-flat). A number of lesser focal points receive agogic stress as welL Following the climax, Schumann replaces the active dotted quarter- and eighth-note patterns with simpler patterns, allowing for the emergence of a more peaceful mood. Even a cursory look at the harmonic implications of this melody reveals that it moves away from, and eventually back to, the tonic. Segments 2 and 3 emphasize scale degrees outside the tonic triad, and the climax itself consists of an intense chromatic tone, the lowered seventh scale degree. Examining these characteristics gives valuable insights into Schumann's lovely melody-insights that should help us appreciate it more fully and perform it with greater understanding and expression. Yet something of

18

CHAPTER 1

the melody's essence remains tantalizingly out of reach; its uniqueness is part of its musical soul, ultimately inexpressible except through itself. Something as beguiling as melody resists definitive analysis. Analysis can provide rich rewards by deepening our musical understanding; but in the end, it impels us back to the experience of the music itself.

III. HARMONY AND TONALITY Early in this chapter we examined a melodic fragment from The Nutcracker (Exs. 1-2 and 1-3). Let's return to it once again.

EXAMPLE 1-24

Tchaikovsky, The Nutcracker, "March"

Tempo di marcia viva

,

~ II ,

G: I

•

mtit i 3

vi

:11 iii

vi

Voila, the emperor has new clothes! The addition of chords supports and complements the melody ("clothes" it, if you will), and heightens its sense of direction. It is in this matter of a heightened sense of direction that harmony plays

its biggest form-building role. More specifically, when chords follow one another, they often create a sense of urgency, of "needing" to move to the next chord and eventually to some specific harmonic goal, or resting place. We say the chords "progress" toward a goal and call the phenomenon tonality. This phenomenon of tonality-one tone predominating over the rest, and serving as a tonal center (key)-is one of the most powerful forces in determining musical form. The process of leaving well-established key centers, then returning later, gives music a sense of balance; it provides the composer with a basis for thematic presentation, contrast, development, and return. Returning to a home key in tonal music is perhaps as potent, structurally, as the return to the theme itself. The tonal system prevailed during the common practice period (ca. 1650-1900), which is the main focus of our study. It is still the norm in most Western "popular" music and is present in some modified form in much twentieth- and twenty-first-century art music. When tonality is obliterated or down-played, the other elements that give shape to music must carry a heavier share of the structural load.


19

IV. TENSION AND RELAXATION So far we have considered how rhythm, melody, and harmony play their parts in making music flow and make sense in time. Now let us consider some of the processes that give music a sense of purpose. Music involves movement to and from points of high and low tension. As we approach a point of high tension, we usually feel a sensation of activity, whereas when we depart from such a point, there is a feeling of "letting down," or relaxing of tension. We have already examined a number of factors that cause tension and relaxation, especially in melody. Here is a more general list of the ways in which musical tension may be expressed: 1. Increased rhythmic activity 2. Increased harmonic activity 3. Increased dynamic intensity 4. Increased melodic pitch activity (interval tension) 5. Melodic movement toward a high point 6. Use of high tessitura 7. Increased textural density

It is only natural that the tensions expressed in several aspects of music

(for example, melodic pitch activity, harmonic activity, and dynamics) often interact to create a complex of focal points and goals and thus cause the listener's attention to shift constantly from one element to another. The careful balancing of tension points in all the elements of music lends a sense of logical forward movement to a composition.

V.

ARTICULATION OF STRUCTURAL UNITS The study of musical form involves identifying the successive musical events of a composition. To recognize these musical events, or structural units, we need to understand how they are articulated in time. In other words, how can we hear their beginnings and endings? Pauses and cadences are the stock in trade of structural articulation. They are a lot like pauses in speech, our oral "punctuation." Music and speech share many parallelisms in punctuation, since they both involve the organization of sound into meaningful expressions. The most obvious type of pause is, quite simply, silence. Less obvious, perhaps, is the pause that occurs when we sustain a long note. Both kinds of pause punctuate the musical excerpt in Ex. 1-25. The first melodic pause (bracketed) is in the form of a long note; the second is in the form of a rest. Note how these two types of pauses recur throughout the remainder of the excerpt.

CHAPTER 1

20

Beethoven, Sonata, Op. 2, No. 1

EXAMPLE 1-25

The word cadence comes from the Latin root word cadere, meaning to fall. We might say it means to fall away from activity toward a point of repose. Look once again at this excerpt from Beethoven, this time shown in full score (Ex. 1-26).

Beethoven, Sonata, Op. 2, No. 1

EXAMPLE 1-26

Allegro

1\

I

1

I

.

2 ~.

..- .

~

...

p

t

3

•

: ~.

......

I. .

.

•

•

4 -fL'

~

..

... ....

6

sf

v

After rising to its high point in measure 7, this eight-measure phrase falls away quickly: the melody descends, the dynamics fade, and the rhythm slows, then stops. These outward trappings of "falling" join the underlying chord progression to create an effective half cadence. Note that the chord progression alone was not enough to create a feeling of cadence: after the movement through the phrase raised our expectations, factors such as melodic contour, dynamics, and rhythm coalesced with the chords themselves to give us a cadential effect.

21


Borrowing a word from mathematics, we could say that the harmonic cadence was heightened by musical features in other parametersS of the music (in this case, melodic contour, dynamics, and rhythm). The idea of parametric change gives composers a third tool (along with pause and cadence) for articulating musical structures. When the texture or dynamics change suddenly, or we hear a new tempo or a new color, we often hear a new phrase begin as welL In traditional music these changes usually coincide with a harmonic cadence, but the cadence is at times almost overwhelmed by the changes in other parameters. In Ex. 1-27 Schumann jolts us out of our reverie with a loud tutti chord and a fast new tempo.

EXAMPLE 1-27

1\

I

Andante espressivo

pp

I

• •

I

r_~

~

: I

Schumann, Piano Concerto, Op. 54, I, mm. 166-175

-r.-!...

P

.

•

-r.

.. J1 ~1 J" .." J1 ~1 J J. I jl~'1 I

I

.

I

I

r:

~lj I

_

: I

n l Jl~ ~~J

:j I

r--t

I

J

:

I

I

I

5. The term parameter in its broad application is "any defining or characteristic factor." Of limited usefulness in the study of traditional music, the term finds wide usage in post-tonal music.

22

CHAPTER 1

To be sure, Schumann had prepared carefully for the arrival of this chord, but our attention is all but swept away by the sudden changes in other spheres: the loud entry of the full orchestra, the new, fast tempo, etc. When the bonds of tonality were loosened in the twentieth century, parametric change became, of necessity, one of the primary ways in which composers could articulate structural units in time. Since the main body of this study deals with music of the common practice period, we will be interested in hearing how changes in dynamics, texture, tempo, range, etc., coordinate with tonality and cadence in the clear expression of musical ideas. We deal more specifically w ith the idea of parametric change in Chapter 11.

Summary Music is an art form that takes place in time. The study of musical form is largely the study of how musical events relate to one another in time. Rhythm is involved at all levels of the temporal unfolding of musical form-from the underlying rhythmic beat to the macro-rhythm of the successive events of a piece of music. Melody, with its combination of pitch and rhythmic characteristics, is a primary vehicle of musical expression. Harmony and tonality provide senses of cohesion and direction as well as a framework for the unfolding of musical form. As the basic musical elements of rhythm, melody, and harmony combine and interact, an illusion of forward motion through time is created. Specific characteristics of various musical elements (such as melodic contour, rhythmic and harmonic activity, dynamics, timbre, register, and texture) create the effects of tension and relaxation. Further, these elements give shape to the various formal units of a musical composition (phrases, themes, sections). Formal units themselves are articulated primarily by pauses and cadences. Changes in other parameters (dynamics, texture, timbre, tempo, etc.) contribute to the articulation of pauses and cadences. In some postRomantic music parametric change becomes the primary means of articulating structural units of form.

ASSIGNMENTS 1. Examine the three melodies below, then answer the questions that follow. A. Debussy, Iberia

IE (H F I (FFFr-JI

-~

!

23


B. Brahms, Sonata No. 1 for Clarinet and Piano, Op. 120 Allegro appassionato

,

~j,' 2 r='.J I la- I Bt fi' I f

/"l

F

I~rr I J<@ I j £91 J I 3

C. Haydn, Symphony No. 88 Allegro

, ~!

D 1294 4I J ti I fr r r I J ti I (C tj Ir

p

a I tl14]j1 if)' I ~

(1) Which of these melodies contains the most stepwise motion?

The most leaps? The most repetitions of single pitches? (2) Draw a curve representing the general contour of each of the melodies. Where does the climax occur in each? What factors contribute to the building of the climax in each case? (3) Examine the rhythmic structure of each of the melodies; describe how the rhythmic characteristics (a) contribute to the sense of forward motion, (b) affect the sense of climax, (c) provide unity and contrast. 2. Examine the first 10 measures of Anthology, No.5 (Mendelssohn, Songs Without Words, Op. 67, No. 4), then answer the following questions. A. What factors create a sense of forward motion? B. What type of contour does the melody exhibit? Does the melody

have a narrow, moderate, or wide range? Is most of the melodic motion by step or by leap? What part does articulation play in establishing the character of this excerpt? C. After the two-measure introduction, this excerpt consists of two similar phrases. Which of the two do you think generates more tension? Explain why you think so, and how the effects of tension and relaxation are accomplished in this passage.

3. Examine Anthology, No. 10 (Haydn, "Surprise" Symphony, Finale, mm.75-87). A. Answer the questions posed under No.2, A and B, above.

B. What part does the accompaniment play in creating the overall effect of this passage? Pay special attention to the interaction of the melody and the accompaniment. 4. The following excerpt exhibits a marked fluctuation of tension and relaxation. Examine how aspects of rhythm, melody, and harmony interact to create this ebb and flow. Note also how the structure is shaped in other parameters: texture, dynamics, and the like. Then write a paragraph detailing your conclusions.

24

CHAPTER 1

Tchaikovsky, Symphony No.6, first movement (simplified texture)

fI

~

Andante Teneramente, molto cantabile, con espressione ,....., -~

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5. Following the instructions for Assignment 4, analyze a short passage of music supplied by your teacher, or from a musical work you are currently studying or practicing.

CHAPTER

2

The Phrase •

•

• • • • • •

•

• •

•

•

•

•

•

•

•

•

•

•

•

•

•

It seems to me clear indeed that the basic rhythmic fact is ... of a specific type of alternation with which we are familiar from the first movement of our existence as separate beings. We celebrate that event by drawing a breath .... The drawing of the breath is an act of cumulation, of tension which is then released by the alternative act of exhalation .... What, for instance, is a so-called "musical phrase" if not the portion of music that must be performed, so to speak, without letting go, or figuratively, in a single breath? .. . I am tempted to call this the most important musical fact.

Roger Sessions, The Musical Experience of Composer, Performer, Listener

Few musical phenomena are more difficult to define precisely than the phrase, yet we all recognize its importance, almost intuitively. Few musicians would disagree that it is one of the most basic of all musical realities. As Roger Sessions has mused, it is tempting to call the underlying phenomenon of the phrase "the most important musical fact." If a performer expresses the phrases clearly, we usually enjoy the music; if not, no other aspect of the performance is likely to save it from the effects of this fatal flaw.1 As a working definition we will call the phrase the

smallest structural unit normally concluded by a cadence.

1. It is essential that a distinction be made between the phrase, a structural unit, and phrasing, a performance term. Phrasing refers to the "breathing points" that affect the articulation of musical ideas. Phrasing practices differ somewhat from performer to performer, but breathing points are generally indicated by rest, slurs, prolonged notes, or cadential progressions. There may be several "breath" punctuations within the structural unit called a phrase.

25

26

CHAPTER 2

I.

GENERAL CHARACTERISTICS The term phrase obviously comes from the realm of language. The language arts-poetry, the novel, drama, even our conversation-share something very important with music: they take place in time. The articulation of musical units in time is analogous in many ways to the punctuation we use in speech, literature, and drama. A playwright builds a drama by accumulating phrases into sentences, sentences into paragraphs, paragraphs into scenes, then acts, and finally the complete drama itself. The same principle of construction applies to music. The musical phrase, then, is a unit of structure comparable to a phrase in speech. Verbal phrases are set off from one another by various forms of punctuation; likewise musical phrases embody punctuation in the form of pauses and cadences. Pauses let " air" into the musical texture; cadences provide points of harmonic repose and mark the ends of various structural units. As is the case with a verbal phrase, the musical phrase expresses some thought or idea but usually lacks sufficient weight to stand by itself. Listen to the effect of Ex. 2-1.

EXAMPLE 2-1

Vivace 1\ II

I tJ

1

-

2

......... P

-

---r ---

: I

3

ii i

Haydn, Symphony No. 101

i

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4 I

I

5 ",.---

6,J-'ltt-i 7 I

.

~

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v

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I

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. 8.

I

t .....

;t-

r

We sense immediately that the first half of this excerpt "needs" the second. A closer look shows us that an incomplete cadence ends the first four-measure phrase, creating a need for more music to round out the composer's musical idea. Haydn fulfills this need by providing a second phrase of four measures which ends affirmatively with a complete cadence. Together these phrases build a larger structural unit, a period.

II.

THE ADDITIVE PROCESS The additive process entails the joining of units such as the phrase to form larger units. For example, a second phrase may be added to a first to create a period. One or more periods may be added to the first to form a part. A second part may be added to the first part to create a complete composition in two-part or binary form.

THE PHRASE

27

.---------Two-part form (Binary)---------, ,--------------------------., " --------------------------, Part One Part Two " - - - - - - - - - - - - " " - - - - - - - - - - - - , ,------------. Period Period Period Period .-----------~,

'Phrase' 'Phrase' 'Phrase' 'Phrase' 'Phrase' 'Phrase' 'Phrase' 'Phrase'

The additive process is a procedure common to homophonic music. Polyphonic music, due to its linear design, is not generally typified by the joining of clear-cut units such as the phrase. Rather, polyphonic forms usually involve the constant development of melodic motives in all parts, a self-generative process of composition. Cadences usually occur less frequently and at more irregular time intervals than in homophonic music.

III. PHRASE LENGTH The phrase is a temporal unit; that is, it is an organization of the time element of music. Important factors influencing phrase length in the music of the eighteenth and nineteenth centuries were vocal music and the singer's breath capacity. Phrase length in vocal music was governed to a large extent by the amount of time a singer could comfortably sustain his or her breath. The majority of phrases from the vocal music of this period last the duration of approximately four measures of a three-beat or four-beat meter in a moderate tempo. Instrumental melodies of this period usually reflect the influence of vocal melodic expression; thus, the four-measure phrase may be said to be the norm. But if we can say that there are norms in art, we must immediately consider the many exceptions to the rule. In a slow tempo, two-measure phrases are common. Ex. 2-2 illustrates a two-measure phrase.

EXAMPLE 2-2

Beethoven, String Quartet, Op. 59, No.1

Adagio moHo e mesto II

I

I

I

.

t,

~

.

1 I

-

.

r

2 .---

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--r p

I

I ~

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.

t

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~

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Conversely, in a rapid tempo, eight-measure phrases are quite common (Ex. 2-3).

CHAPTER 2

28

EXAMPLE 2-3

Schubert, Sonata in B-flat

Allegro vivace con delicatezza

At this point we should say a few words about defining and labeling phrases in terms of the number of measures included. The general rule is to determine the number of downbeats in the phrase. The first complete measure of a phrase, then, is measure 1. In Ex. 2-4, the cadence chord that ends the phrase comes on the downbeat of measure 4. The sixteenth notes that follow form an anacrusis to the next phrase.

EXAMPLE 2-4

II

t

..,

t

:

Schubert, Symphony No. 6

Andante ~

. .,n

r

1

k 1*'

"1

~

1--...

2

Y'

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I

~

..,,-....

3

V "1

• Y'

Y'

..

.., "1

~

4

P

.

"1

-

~

r

Even though the anacrusis to the ensuing phrase takes part of the fourth measure, the phrase is said to be four measures in length. The anacrusis is not included in the measure count of the next phrase, since it does not include a downbeat. The two-, four-, and eight-measure phrases that tended to predominate in eighteenth- and nineteenth-century music are often called regular phrases. Phrases of other lengths, then, are deemed irregular (but not inferior!). Some theorists describe phrases consisting of an even number of measures as symmetrical, and phrases consisting of an odd number of measures as asymmetrical. Ex. 2-5 illustrates a five-measure phrase.

THE PHRASE

EXAMPLE 2-5

Allegro vivace

,.....,

1\

I

~

p

I

.

1

I

,.....,

2

'-- f.-'

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---

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29

Schubert, Sonata, Op. 42

,.....,

3

I

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4 I

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.

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--- ".

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.

.

ff

-

r--i 'I p

:J

i~

;t -4

Many phrases are made up of smaller components, such as the semiphrase and motive. But the phrase is normally the smallest structural unit embodying all the elements of a miniature composition. It clearly possesses a beginning, a middle, and an end; it is shaped by its melodic characteristics, its harmonic structure, and its rhythmic structure and duration.

IV. THE SEMIPHRASE Phrases are often designed in such a manner that they constitute two more or less equal halves-semiphrases. The division into semiphrases is marked by punctuation in the form of a rest or prolonged note. In the simplest type of semiphrase construction the second semi phrase consists of a repetition-with or without embellishment-of the first. Ex. 2-6 illustrates this type.

EXAMPLE 2-6

Mozart, Sonata, K. 31 0

Allegro maestoso

-:9:.

1~

~ e B~r

err Cfl ).J 2

J

In Ex. 2-7 the second semiphrase is a transposition of the first, with the exception of one interval (bracketed).

CHAPTER 2

30

EXAMPLE 2-7

Haydn, Sonata, Hob. XVI!34

$±:: 1-=2~~, : :St

j

,-~~" 3=-, .fL f ~ I t r ±::

~

t

~

4~

Il!t

j

I

Semiphrase construction in which the two parts are similar in natureeither by way of repetition or by transposition-is readily recognizable. A subtler constructional effect results from semiphrases that are dissimilar in contour. Ex. 2-8 exhibits two semiphrases whose rhythms are almost identicat yet their contours are very different.

EXAMPLE 2-8

Grieg, Wedding Day at Troldhaugen,

Op. 65, No.6

Tempo di Marcia un poco vivace I

3

&ill!lm(aUEJdi'r u# p

m(vJI~vHti

mJ ill

A case can be made for describing Ex. 2-8 as two separate phrases. What one person may hear as a unified phrase clearly divided into two parts, another may perceive just as plainly as two short phrases. Legitimate differences of opinion, intelligently derived and held, enliven our musical experience; we would not want it any other way. Our objective as musical analysts is to gain deeper musical insights and sensitivities.

v.

THE RHYTHMIC STRUCTURE OF THE PHRASE If we strip a melodic phrase of its pitch element, we can observe the essential structural role played by rhythm. Perform the following rhythmic patterns:

THE PHRASE

31

EXAMPLE 2-9

A. March tempo agogic stress

,-------,

e~

0/

Eff~

0/

~

"1 I ~ "1 ~ "1 F

3

B. Animato closing rhythmic figure

II g ~ I Ell tu I Ell (£(1 Ell (£(1 F· F· C. Allegro closing rhythmic figure

r

r

IV

IV

I

Ir

I

r

D. Allegro cadential rhythmic gesture I

IIg~IF ~tuiF ~tuiF ~F ~ltu~"111 E. Allegro cadential rhythmic gesture

II

! r IF

rr

IF

rr

IF

rrt

r IF F I

Each of these patterns attains a sense of completeness without pitch having played a part. The rhythm alone shapes and articulates discernible phrases. In each of the five examples above the rhythmic patterns tend to display subtle changes in the concluding one or two measures. These changes serve as rhythmic cadences.

CHAPTER 2

32

Let's examine the five phrases of Ex. 2-9 again. Note that Ex. 2-9(A) ends abruptly when a long note arrives. In other words, the rhythmic cadence is created by simple agogic stress. Exs. 2-9(B) and(C) end instead with a pair of notes which give a feeling of completion. In Ex. 2-9(B) the two notes are relatively long, giving an effect somewhat similar to agogic stress. By contrast, Ex. 2-9(C) concludes with a pair of quick notes which give a cadential effect. In both instances we can refer to the final notes as closing rhythmic figures. Exs. 2-9(D) and (E) are slightly more complex. Perform them again. In both instances the cadential rhythmic gestures which end the phrases display two distinctive features: (1) they constitute a departure from the established rhythmic pattern(s); and (2) they conclude with a final note or rhythmic figure . The energetic rhythm of Ex. 2-9(D) relaxes slightly in the third measure. This subtle deviation from the previous rhythmic patterns prepares us for the four eighth-note figure which ends the phrase. Ex. 2-9(E), on the other hand, speeds up momentarily, then slows back down to end the phrase. The four eighth-note departure from the established quarter-note continuum acts as the preparation, and the final quarter-note pair acts as the execution. Often rhythm alone is sufficient to make phrase structures discernible-a fact that deserves special attention from performers. But in other instances rhythm serves a primarily cohesive function, leaving phrase articulation to the realm of melody and harmony. Clap the rhythm of Ex. 2-10.

Beethoven, Symphony No.1, Op. 92

EXAMPLE 2-10

Allegretto 1 ten

,I

Viola

•

p

ten.

Violoncello I

: p

Violoncello II e Contrabasso

:

3

2

'I!" 'I!"

,.....,

4

•

"':' "':' '"--"

"':'

"':'

5 "':' "':' '"--"

7

6

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.

.

.'"--"

.

.

., . .

.

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ten.

. p

IT •

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.... ......

5

10

The simple agogic stress at the end of the passage creates a feeling of cadence, and we sense an eight-measure phrase. Now play the passage at the keyboard. The harmony reveals a four-bar first phrase that lies unrevealed by the rhythm alone. Rhythm functions primarily to provide coherence in this passage.

THE PHRASE

33

It is difficult-probably impossible-to find an instance of a musical phrase in which rhythm plays no cohesive role. Although rhythm doesn't always articulate phrases, it is more often than not involved in the process. Our study of this topic has barely scratched the surface. The specific details of the rhythmic process are perhaps as diverse as music itself. The ongoing study of this dynamic phenomenon promises lifelong rewards for the inquisitive musician.

VI. THE HARMONIC CADENCE Cadences are harmonic-melodic-rhythmic formulas that create a sense of repose. They are the composer's tools for terminating structural units (phrase, period, part, etc.). We have already spoken of melodic and rhythmic cadences. The importance of harmonic cadences in tonal music cannot be overstated. Harmonic cadences serve as structural goals, anchors in the framework, as a composition unfolds in time. Harmonic cadences are of two main types: complete and incomplete. Complete cadences (authentic and plagal) come to rest on the tonic chord and are strong enough to bring a musical thought to a complete close. The relative strength of a complete cadence depends on whether it is perfect or imperfect and on the metrical placement of the final chord. Incomplete cadences (half and deceptive) come to rest on some chord other than the tonic. Their effect is to create a need for one or more phrases to bring the musical thought to its ultimate conclusion.

VII. THE HARMONIC STRUCTURE OF THE PHRASE The rhythmic placement of the various chords of a phrase determines its harmonic structure. Most phrases involve harmonic movement either spread over the duration of the phrase, or concentrated at the cadence. Music of the common practice period exhibits three basic harmonic organizational plans for the phrase: 1. Single chord followed by a cadence 2. Harmonic embellishment of a single chord followed by a cadence 3. Structural harmonic progression (often a cadential formula) spread over the entire phrase The phrase in Ex. 2-11 exhibits the first harmonic plan. Except for the dominant seventh chord, which lasts for only one eighth note at the end of measure 3, the phrase consists entirely of tonic harmony.

CHAPTER 2

34

Haydn, Sonata, Hob. XVI/29

EXAMPLE 2-11

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1

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r

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ff f ff :

NT

2 :>...-:::

.

cadence r~

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./.

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r'

F: I

Harmony does little here to provide a sense of motion; rather, the surface rhythmic activity and the melodic shape provide most of the forward motion and musical interest. This type of phrase occurs most often in music that uses a relatively simple harmonic vocabulary. Chords that are absolutely essential to the harmonic framework of the phrase may be called structural chords. They are generally diatonic and are frequently primary triads (I, IV, V). The structural chords may be embellished by chords that momentarily tonicize 2 them, or by chords that do not contribute to the progressive harmonic movement of the phrase. The second harmonic plan-harmonic embellishment of a single chord followed by a cadence-is illustrated in Ex. 2-12. It is the most common phrase type in eighteenth- and nineteenth-century music. It is not typical, however, of the extremely chromatic music of the late nineteenth century.

EXAMPLE 2-12

Schubert, Winterreise, "Gute Nacht," Op. 89

1

1\

2

.

tJ

Fremd bin ich ein-ge

-

'--"""

zo

-

tJ

pp

.

~

~

I J

~

.

3 _

gen, fremd zieh

h

1\

t

~

-----.

.. .. .. .. ~

4

--'

..

ich wie - der _ aus. 1

Der

j

. .

. .

~ ~

r d:

2. Tonicization denotes the process whereby some tone other than the tonic is treated as a momentary key center. This is most often done through the use of secondary dominants.

THE PHRASE

35

In this example, the supertonic chord (m. 2) merely embellishes the tonic harmony, which predominates until the cadence. It lacks the strength of a structural chord for two reasons: first, the bass remains on the tonic throughout the second measure, creating the effect of a tonic pedal tone; and second, it returns directly to the tonic rather than taking part in a progressive harmonic movement, such as i-ii o 7-V7-i. The simplicity of the second harmonic plan does not preclude the interplay of tension and relaxation. In Ex. 2-12 the nonharmonic tones and seventh chords create harmonic tension. The rhythm also generates tension, as it animates the harmonic background and moves the melody toward the climactic closing gesture. The melodic tension is increased by rises in the contour, especially the upward leap of a seventh in measure 2. Phrases of the third type, in which a structural harmonic progression is spread over the entire phrase, may occur in music of relatively simple means. They create the feeling of progressive harmonic motion throughout. Ex. 2-13 illustrates this type.

Haydn, String Quartet, Op. 74, No.3

EXAMPLE 2-13

1\

Allegro

l~.

I

--.

.

4!.J

p"--'"

1\

,.--....

.

.

.

~

3

,r-.

.

.

.

4 ...-

-........

~

r--...

L

TJ TJTJ

~

2

P

~

~

~

-*J

-*J-*J

TJ

.

---

"-.-.

I

p. pIZZ.

: P

• IV

I

We have examined three basic types of harmonic phrase organization. Though other types exist, a thorough understanding of the three basic types presented here provides a useful point of reference for examining and describing other types.

VIII. PHRASE EXTENSION In Section III of this chapter (Phrase Length), we observed that the majority of phrases are two, four, or eight measures in length, and are referred to as regular phrases. One of these phrase lengths is usually established as the norm in a given composition. But an incessant use of

36

CHAPTER 2

the same phrase length can result in monotony. To avoid such predictable regularity, composers often introduce irregular phrases. A favored method for creating irregular phrases is simply to extend phrases heard earlier. Phrases may be extended at any point, but the most frequent location is at the phrase ending, after the cadence is reached. This may be accomplished by (1) prolongation of the cadence chord, (2) repetition of the cadence, or (3) the addition of a final cadence after a deceptive cadence. The phrase in Ex. 2-14 occurs in a composition in which five-measure phrases predominate.

Brahms, Variations on a Theme by Haydn, Op. 56b

EXAMPLE 2-14

Andante 1\

I

.

1

.

~

I,..::j

. .

2 ~

----,

-

l..:::l

3

r

I-J..

f

. . I,..::j

.

4 ~

~

.

l..:::l

5

~

-

r

1-1..

~

I

I

7J:

7J:

I

7 I

"-

dim. smorzando----

p

I

:

7J:

I

6

~ ~

7J:

~ ~

7J:

Taking the five-measure phrase as a basis, Brahms simply prolongs the cadence chord to create a phrase of seven measures. In Ex. 2-15 the cadence progression itself is repeated.

EXAMPLE 2-15

Bellini, Norma, Sinfonia

Allegro maestoso e deciso

B: 1\

I

5 I~

--

It ..

~

:

~.

~

.

I

"I 11.

--

It .._______

~~

,

-

6 1 ~~

It ..

1+.1

-

--

V9

~~

~.

.

I

"I 11.

--

It .._

--

,

lit ..

1+

Ih.

-

'r'

THE PHRASE

37

This phrase is harmonically complete on the downbeat of the fifth measure. By repeating the cadence chords (V9-I) twice, the composer stretches the phrase to seven measures. Ex. 2-16 illustrates Alessandro Scarlatti's use of the third method. The deceptive cadence in the fourth bar leaves the musical thought incomplete; the extension (mm. 5-6) closes the thought with a perfect authentic cadence. Notice that the melody in the extension repeats the melody of the previous two measures.

Alessandro Scarlatti, 0 Cessate di Piagarni

EXAMPLE 2-16

Andante con moto 1\

~

~

1

2

r

I

1\

I

~

~

..

r

I

ces-sa - te

0

r""'o.

r""'o.

-.t

-.t

.

3

.

pia-gar - mi,

#

.

r-

.

It ....

.

.

6

.

r It ..

la-sci a - te - mi

0

r-

r-,

extension

r It ..

r

di

5

4

rno-rir,

0

la-sci a - te - mi

"""

r

mo-rir.

""" n~

r

9---

~#~~

tttr if

.

. ..

I

.

#'

Although extension at the end of the phrase is the most frequent type, extensions can also be found at other points. Extension by interpolation within the phrase is usually achieved by (1) repetition or sequence of some fragment or (2) prolongation of a tone or chord. The phrase in Ex. 2-17 is taken from a movement in which the normal phrase length is four measures. Repetition of a two-measure fragment stretches the phrase to six measures.

EXAMPLE 2-17

Andante

, ~ II Jl( r ,br

Mozart, Sonata, K. 279

original fragment

mF yt~ )tmifJJjJit~ .Jl(mifJJjJiJ i

i

II

38

CHAPTER 2

Extension at the beginning of the phrase is much less common than interpolation and cadential extension. Haydn had a predilection for tantalizing the listener with the opening motive of a familiar phrase before actually plunging into the phrase as it was formerly stated (Ex. 2-18).

EXAMPLE 2-18

Haydn, Symphony No. 104, I, mm. 231-237

r------------------------------------ , , --------------------, Oboes Flutes & 1st Violin 237 ~ ~ 236 231 ~ 233~ 234 235 _ • .- 232 ~ • -
••

!

.

@)

2nd Violin & Viola

Violins I

jL

:

'"'

I

•

~

I

I

~

~

~

m

The "false start" effect of this anticipatory device often has a humorous quality, a characteristic that must have made it attractive to Haydn. Whether or not an extension at the beginning of a phrase involves anticipation, this type is most readily recognizable when the phrase is already familiar to the listener. In Ex. 2-19, Haydn manages to begin a new phrase convincingly with an extension.

EXAMPLE 2-19


Trio r

lstVioC"& bl;oe- - -- -, 53

1\

!

~~

I

54

55

~.

~

56

.-#".f'-#".-

:

~

:

p

--

57

-

:;: :;: :;:

Strings pizzo

. '"'

... ... ...

:

58

...

:1=

:I:

The opening bars here anticipate the ascending minor third, but not the rhythm, of the beginning of the phrase itself. The melody lingers a moment on the unexpected F-natural (the preceding minuet ended in D major), teasing us with the possibility of the tonic minor (d) before revealing the surprise key of B-flat major.

THE PHRASE

39

IX. MOTIVIC STRUCTURE OF THE PHRASE The motive is a small fragment (usually shorter than a semiphrase) which, when repeated and varied, acts as a constructional element. A motive must comprise at least two notes; few comprise more than eight. In instrumental music, the absence of text increases the formal need for the development of purely musical ideas; motivic construction is one of the most effective means of achieving this end. The melodic phrase in Ex. 2-20 is built entirely from a single five-note motive (bracketed). The first four notes of the motive constitute an energetic anacrusis. The motive sequences upward, overlapping with itself toward the end. These overlappings create a 12-note anacrusis which propels the melody into the final tone of the phrase.

EXAMPLE 2-20

Allegretto ,

1i

!

1 '


2

3,-.. #-t!. #- ,-.. #- •

#-

~

P

:

,r-. :J:

•

,r-• •

•

1=

.1=

4~

.

_

A motive is characterized by its pitch and rhythmic features. As long as the original rhythmic pattern is preserved, a motive can undergo a great deal of pitch alteration without losing its identity. Often the rhythmic pattern alone suffices to establish a melodic fragment as a motive. Perform the melodic phrase in Ex. 2-21 to determine the rhythmic shape of its motive. Then note how effectively the motive retains its identity despite the numerous variations in pitch contour.

EXAMPLE 2-21

Allegro assai

'~I'~ 1£ J ~(J. (tJ4

Beethoven, Sonata, Op. 57

pn I J. J. LlJ I J. LilJ. Ln I J. J 2

3

4

I

CHAPTER 2

40

Repetition denotes the immediate and unaltered reiteration of a motive in the same part and at the same pitch level. It is the simplest means of achieving unity in the melodic phrase. The first semiphrase of Ex. 2-22 illustrates motive repetition.

EXAMPLE 2-22

Mozart, Symphony No. 41, "Jupiter"

Allegro vivace i

i

1

~ eJ f

I

JQOJ ~

3

2

3

"1

JQOIJ ~

~

~

"1

~

I e-=-

~

p

r

=-

4~~

ff I

i

r

~

I

Motivic construction of the melodic phrase guarantees some measure of coherence, but through motivic variation contrast may also be attained. In other words, motivic variation allows for contrast within unity.

Transposition denotes the reiteration of a motive in the same part but at a different pitch level. The second semiphrase in Ex. 2-22 illustrates transposition. Study the analysis indicated by the brackets. In this interpretation, the motive is identified as a two-note element; the anacrusis note at the end of measure 2 is simply not considered. Perhaps a more satisfying analysis is one that accounts for the anacrusis element. In Ex. 2-23 below the motive is identified as a three-note element; the successive transpositions actually overlap. Overlapping of this sort, when the last note of one motive coincides with the first note of the next, is termed elision.

EXAMPLE 2-23

i

3

~ ~ I(

I

p

A transposition may be either real or tonal. In real transposition the exact quality of each interval in the original motive is retained. Tonal transposition results if there is any variance in interval quality. In Ex. 2-24 the transposition is tonal because the diminished fourth of the original is expanded to a perfect fourth in the transposition.

THE PHRASE

41

Franck, Symphony in 0 Minor

EXAMPLE 2-24

Lento original motive r

9: & e rnJr

transposition

I

¥

r:;......"

I L~

-'r

II

¥

P

In Ex. 2-25 the original motive is followed by a repetition and a real transposition.

Beethoven, Sonata, Op.

EXAMPLE 2-25

31,

No.2

Allegro

~

, I

1\

I

-.J

t

Adagio

"""

1

--

""" '-'

2

>:

--

~

'-

~.

.

. . . .

I

I

I

. . .

. 1L

# I:::!i1':\

.

~

cresco

P

:

4

3

sf=--p

1L-!- ......

.a. a~

I

When two or more transpositions occur in succession, the process is described as a sequence. Each stage of the sequential process (original statement and transpositions) may be described as a sequence; another method is to identify each statement of the motive successively as stage one, stage two, stage three, etc. (see Ex. 2-26).

EXAMPLE 2-26

Wagner, Tannhauser, Overture

II P

-==

P

42

CHAPTER 2

A uniformity of transposition interval is generally common to the sequence. Each sequence in Ex. 2-26 is a third higher than the preceding. Sequences, like transpositions, may be either real or tonaL A real sequence such as the one in Ex. 2-26 usually introduces chromaticism and can be useful for creating modulation. In the music of the common practice period, however, tonal sequences are the norm. An excessive use of real sequences creates constant modulation and can result in the loss of tonal center. In later music, where tonality is often deemphasized or irrelevant, real sequences and transpositions are common occurrences.

Imitation refers to the immediate reiteration of a motive in a different part, with or without transposition. If a motive in a different voice begins several beats after the original statement is completed, the reiteration will more likely be heard as a new statement of the motive rather than an imitation. If the opposite is true, if imitation commences before the original statement is completed, the term stretto is often used. Although imitation is one of the most important contrapuntal devices, it is often used to good purpose in a passage that is basically homophonic. Ex. 2-27 is a well-known instance.

Beethoven, Symphony No.5, Op. 67, I, mm. 6-10

EXAMPLE 2-27

Allegro con brio I

Ifl

6

J =108 8

7

9

10

Violino I ~

P

fI

I

Violino II ~

P

,. ,. ,.

,--

Viola

P

:

Violoncello \

~

~

,--

.,--- v

---

1"--,

~ 1"---6-

p

Changing the size of one or more intervals is one of the most common methods of creating motivic variation. Intervallic expansion and contraction alter the pitch shape of the motive, but the basic contour and rhythmic pattern of the original version are usually retained. Intervallic contraction is illustrated in Ex. 2-27. Note that the descending third of the original motive is replaced by a descending second in the first imitation. Much of the expressive quality in the melody of Ex. 2-28 comes from the expansion of the ascending third in the original motive to an ascending seventh in the second statement.

THE PHRASE

43

Brahms, Intermezzo, Op. 118, No.2

EXAMPLE 2-28

Andante teneramente original I

I

$~II# ! E] I r p

Melodic inversion denotes the reversal in upward and downward motion of a motive's intervals. Ascending intervals invert to descending intervals, and vice versa. Other terms used to describe melodic inversion are mirror, contrary motion, and simply inversion. As the term inversion is sometimes interpreted to mean invertible counterpoint, we shall use the more specific terminology melodic inversion to avoid confusion. In Ex. 2-29 the original motive and one repetition are followed by a melodic inversion.

Chopin, Sonata, Op. 35

EXAMPLE 2-29

__

Doppio movimento original ,--~~:'--

~I

1~

~&!'h(~ j~

-==~

repetition (1st note deleted)

-,

3

f ~ Ir

melodic inversion

I

4

r Ir

5

f ~ Ir

r I r r· ~ (i7J:?lbJ. 6

I

Study the motive and its melodic inversion in Ex. 2-30. The inverted motive is further altered through interval contraction-the descending fourth is changed to an ascending second.

EXAMPLE 2-30

Bizet, Carmen

Allegro giocoso . . I ~~M

melodic inversion • • • ;,..~~ 3·

I

$~II# i r UEt tJ Ir UttELI r Uttrrl 1

I.

ff

•••

I

2·

••

~

jL . . . 4.p. ...........

F

I

44

CHAPTER 2

Tones may be added to or deleted from a motive. Addition and deletion alter a motive's rhythmic character, but the original rhythmic outline is usually recognizable. In Ex. 2-31 the added notes occur in the fourth statement of the motive. Despite the more active surface rhythm provided by the added notes, the original notes of the motive retain their solid rhythmic footing on beats one and three.

EXAMPLE 2-31

Beethoven, Sonata, Op. 14, No.1

&~DDI

transposition

r2E 1f31 2

Il'

---...,

added tones

intervallic

Allegro original

'~.

4t, =--frf

1-

II

p

In Ex. 2-32 the added notes actually increase the length of the motive with each recurrence.

EXAMPLE 2-32

Smetana, The Bartered Bride, Overture

Vivacissimo

Since the unfolding of musical form usually involves the expansion and development of ideas, it is only natural that addition of tones to melodic motives is much more common than deletion of tones. The latter is a simplification process and is most often associated with the dissolution or decay of a motive as the end of a section or movement approaches. A comparison of the bracketed motives in (A) and (B) of Ex. 2-33 reveal the deletion of a tone in motive (B). Ex. 2-33(A) shows a phrase from the theme, and Ex. 2-33(B) shows the treatment of this phrase in Variation 1. In Variation I, Brahms all but eliminates the melody as such, but allows the closing gesture of the original melody to recur in simplified form, as if to remind us that the theme is still there.

THE PHRASE

EXAMPLE 2-33

45

Brahms, Variations on a Theme by Haydn, Op. 56b

A. Mm. 6-10

B. Mm. 35-39

:11

Ob.

=

Retrograde refers to the occurrence of a motive's notes in reverse order. Other terms used to describe the device are cancrizans and crab motion.

EXAMPLE 2-34

Strict retrograde alters the rhythmic character of the motive considerably. For this reason, rhythmic adjustments are often necessary to make retrograde work successfully. In Ex. 2-35 the pitches are arranged in retrograde order, but the rhythmic pattern of the original is preserved.

EXAMPLE 2-35

46

CHAPTER 2

Retrograde inversion refers to the application of both retrograde and melodic inversion to a motive. Again, retrograded rhythm may create an awkward result. Ex. 2-36 shows our previous motive treated to retrograde inversion, first strict, and then rhythmically adjusted to conform to the rhythm of the original motive.

EXAMPLE 2-36

original

~ 2 ro ~ &

strict retrograde inversion

j

I

~~ I~

r

I

r ;i

I

rhythmically adjusted retrograde inversion

original

I

Because it is difficult for the listener to hear the relationship between retrograde or retrograde inversion and the original motive, these devices are seldom used in music of the common practice period. The second semiphrase in Ex. 2-37 contains an example. The original motive and varied version which follows are bracketed. The alterations in the second appearance of the motive are a result of retrograde (transposed) and the deletion of tones.

EXAMPLE 2-37


Andante teneramente

~*~IO(r

original

retrograde

I

j

Oi't

p

Thus far we have studied those devices of motivic variation that deal primarily with matters of pitch. Augmentation and diminution are devices that vary a motive's rhythmic structure. Augmentation denotes the lengthening of note values; diminution, the shortening of note values. Strict augmentation and diminution involve lengthening or shortening all notes by the same factor. The length of each note is doubled exactly in the second appearance of the motive in Ex. 2-38.

THE PHRASE

47

EXAMPLE 2-38

Dvorak, Symphony No.9, Op. 95, II, mm. 19-21

augmentation 20' __

21 '

o

II

pp

Often only selected notes of a motive are treated to augmentation or diminution. The melody shown in Ex. 2-39 is based on a five-note motive; diminution of the last three notes (beginning in the third measure) energizes the melody.

EXAMPLE 2-39

Dvorak, Symphony No.9, Op. 95

Although the motive usually functions as the smallest constructional element in music, one or more submotives are sometimes drawn from a motive and used in the same fashion as a motive. The excerpt shown in Ex. 2-40 begins with the initial statement and one transposition of the motive. A two-note submotive drawn from the motive serves as the basis for the remainder of the phrase.

EXAMPLE 2-40


CHAPTER 2

48

One may argue that the sub motive in the preceding example is actually the motive. But, as the initial five-note motive is subjected to motivic variation in the third and fourth measures (transposition), it seems more logical to think of this larger unit as the motive and the two-note unit as an extraction from the motive. Perhaps we should mention here that not all small groups of notes deserve the appellation "motive." For example, the tones making up an Alberti bass constitute a definite organizational grouping, yet they lack thematic significance. The term figure is useful in referring to such groups of notes.

Summary We have seen that musical phrases are analogous in many ways to the phrases of speech, especially in matters of articulation and punctuation. Musical phrases are shaped by various interactions among rhythmic, melodic, and harmonic elements. The phrase is associated for the most part with music of a homophonic texture in which small units are combined through an additive process to form larger structures. Four-measure phrases predominate in the music of the common practice period, but phrases of other lengths are also frequently encountered. Phrases of four measures' duration and those that are either half or twice as long as this "normal" length are termed regular. Phrases of other lengths are termed irregular. In many phrases the rhythmic motion alone creates a feeling of phrase. The arrival at the rhythmic cadence is generally signaled by one or two of the following: (1) agogic stress, (2) a closing rhythmic figure, (3) a cadential rhythmic gesture. The harmonic movement throughout the phrase has one primary goalarriving at the cadence. The arrival of the cadence brings much information about the nature of the phrase and its position, even status, among the surrounding phrases. Complete cadences (authentic and plagal) have sufficient strength to conclude a musical thought; however, phrases terminated by complete cadences may still require additional phrases to fulfill the expression of a relatively large idea. Further, the strength of complete cadences varies according to whether or not the cadential pattern is perfect or imperfect. Incomplete cadences (half and deceptive) tend to leave the musical thought open and in most instances look forward to succeeding units that serve to round out the musical expression. The distribution of chords within a phrase is generally based on one of the following plans: (1) single chord followed by a cadence, (2) harmonic embellishment of a single chord followed by a cadence, or (3) structural harmonic progression spread over the phrase. The use of motivic construction in the phrase, as well as in larger units, serves to maintain unity. One of the most remarkable features of the motive is its tenacious quality. Even when treated to a number of variation devices, the motive still retains its identity while asserting a strong unifying force. Alteration of a motive's pitch characteristics through devices such as transposition, intervallic expansion and contraction, and

49

THE PHRASE

melodic inversion rarely causes a motive to lose its identity. When the motive's original rhythmic structure is altered, however, the resultant version may be difficult to relate to the original form. Rhythmic alteration of the motive is generally limited to augmentation and diminution of note values or to the addition and deletion of tones. Motivic construction has proven especially useful in absolute music-music that is not unified by textual or programmatic content (for example, vocal music). It is not uncommon to encounter an instrumental composition based entirely on one or two motives.

The phrase is one of the most basic and important structures in music, a point of communicative contact among composer, performer, and listener, a musical "living organism," as it were. The study, creation, performance, and perception of the musical phrases can and should be an enriching, lifelong experience for the musician.

ASSIGNMENTS 1. A. Perform the following rhythms. In each instance, decide whether the rhythm establishes a phrase. B. Determine which method establishes the end of each phrase:

(1) simple agogic stress; (2) closing rhythmic figure; (3) cadential rhythmic gesture; or (4) a combination of the foregoing three choices. C. Discuss your conclusions in items A and B with your fellow class members. (You may not always agree!)

Allegro

e

F F

F F IF

F F IFF F ~ I

Allegro moderato

e

F Ir

F F I F'

~

r r r F I Ed 0- r r r F I r' I

Allegro

g ~ I ~ r r r Fir r Fir r F I F I

"

CHAPTER 2

50

Allegretto

I ~ U I r-

~

u I r- ~ u I r r r r r r I r

~ I

Allegro con brio

(Jlr- (Jlrrrrrrrrir r r r

II

I.

I

rI

Vivace

2. Below is a list of musical excerpts; analyze phrases in each excerpt as follows: Identify the harmonic cadences; would you classify each as final or nonfinal? rhythmically strong or rhythmically weak? How many phrases does the excerpt contain? How long is each phrase in terms of the number of measures? Are the phrases regular or irregular? Do any of the phrases include extensions? Are there any semiphrase constructions? How do factors other than the chord progression contribute to (a) the sense of cadence; (b) the musical coherence of the excerpt? A. Anthology, No.9 (Mozart, Rondo), mm. 1-8

B. Anthology, No.2 (Schubert, German Dance), complete

C. Anthology, No.4 (Chopin, Mazurka), mm. 1-12 D. Anthology, No.3 (Tchaikovsky, Mazurka), mm. 1-8 3. Reexamine some of your phrase analyses from No.2 above, as selected by your teacher, to determine which of the basic harmonic plans are used: A. Built on a single chord followed by a cadence

B. Harmonic embellishment of a single chord followed by a cadence

C. A structural harmonic progression spread over the entire phrase D. A combination of the above

THE PHRASE

51

4. The Brahms Rhapsody, Op. 119, No.4 (Anthology, No. 8) is characterized by themes built economically from a small amount of motivic material. Ex. 5-2 shows the basic motives as they appear at the beginning of the work. Study Ex. 5-2, then refer to Anthology, No.8 and do the following analysis. A. Ex. 5-2 identifies five motives of four notes or more, several of

them overlapping with one another. Identify shorter submotives within these basic motives. B. Locate a sequence in the first phrase.

C. What melodic device is used in mm. 16-18? D. From which motive is the material in mm. 21-23 derived? Mm. 26-28 are derived from the same motive; how is the original motive altered in this derivation? E. From which motive are mm. 56-58 derived? F.

Locate motivic derivations in mm. 93-100. (Note that the melody is sometimes in an inner voice.)

5. Do a complete phrase analysis of a short, common practice period work from your performance repertoire or current study.

CHAPTER

3

Phrase Groupings •

•

• • • • • •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

The musical train of thought ... may first of all sharpen or clarify the musical idea. It may then extend it, and carry its impulse forward into a large pattern. It can do this either by letting the idea grow into phrases and periods, that is, into rhythmic patterns of large scale; or a similar development may take place partly through the accretion of other ideas which associate themselves with it in the composer's mind and thus become integrated into his whole train of thought. Roger Sessions, The Musical Experience of Composer, Performer, Listener

The basic unit of structure in the homophonic forms is the phrase. But, for all its beauty and importance, the musical phrase is usually-alasincomplete. As part of an unfolding musical idea, it is just a beginning. It generally depends on yet more phrases to flesh out the composer's idea and make it complete. When verbal phrases join in a coherent manner to express a complete thought, the result is a sentence. Music behaves similarly. Two or more phrases often join to form the musical equivalent of a sentence, commonly known as a period. The period is normally the smallest unit of structure in which a musical thought is stated and brought to its conclusion. The period is more presentational than developmental. It often serves as a theme in a larger form (part form, rondo, sonata, theme and variations, etc.) and may constitute an entire section of a relatively small composition. Many a brief character piece is nothing more than a single period.

52

53

PHRASE GROUPINGS

I.

THE TWO-PHRASE PERIOD A. Antecedent and Consequent Phrases The most prevalent type of period is composed of two phrases. The phrases within a two-phrase period usually stand in a question and answer relationship, a fact we recognize by calling them the antecedent and consequent phrases. Perform the two-phrase period in Ex. 3-1.

EXAMPLE 3-1

Poco mento e grazioso

Dvorak, Humoreske, Op. 101, No.7

2

&i 11 fiB §! r fj}IP(<
P==--

G: 5

&1 JiB q! r @tdfif Wf iCj((j[ !fO dzm .

8

IJ.

j

I

pp

Stopping at the end of the antecedent phrase (m. 4) brings us up short; we need the consequent second phrase to create a sense of completion. When we look closer, we recognize that the antecedent phrase ends with an incomplete cadence (implied half cadence), whereas the consequent phrase cadences conclusively on the tonic (implied authentic cadence).

B. Cadential Relationship The location and relative strength of the cadences create a sense of purposeful direction in the period. In the cadential relationship incomplete> complete, the first phrase clearly expresses its harmonic dependence on the next phrase; we sense a need for one or more phrases to complete the musical idea. Often the matter of relative strength between cadences is more subtle than that illustrated by Ex. 3-1. Consider the cadences in Ex. 3-2.

54

CHAPTER 3

EXAMPLE 3-2

Schubert, Sonata, Op. 120

3

4

A:

Both phrases in this excerpt end with authentic cadences, but the second cadence is stronger. The first cadence is imperfect, and the second is perfect: the second phrase closes with a greater sense of finality than the first. It is largely this feeling of greater relative finality in the last cadence that confirms the period structure. In Ex. 3-3 the cadences are harmonically of equal strength, yet we sense a period relationship immediately.

EXAMPLE 3-3

Vivo

Chopin, Grande Valse Brillante, Op. 18

2

1

Ek 9

15~.

10

:>

:>

PHRASE GROUPINGS

55

Even though both phrases end with perfect authentic cadences, the rhythmic details weaken the first cadence, relative to the second. In the first instance (m. 8), nonchord tones delay the arrival of the full tonic chord until the third beat, whereas the tonic in the second cadence arrives on beat one (m. 16). The result is a stronger feeling of completion at the end of the second phrase. This movement from a comparatively weak cadence to a strong one creates the period relationship.

C. Melodic Relationship A frequent source of unity in the period is the use of similar melodic

contours in the two phrases. This is termed parallel construction. The simplest form of parallel construction involves phrases that are identical except for the cadences. Ex. 3-4 illustrates this type of construction.

EXAMPLE 3-4

Schumann, The Wild Rider, Op. 68, No.8

In another type of parallel period the consequent phrase is a transposition of the antecedent (Ex. 3-5).

EXAMPLE 3-5

Rossini, II Barbiere di Siviglia, Overture

CHAPTER 3

56

In Ex. 3-6 the second phrase begins as a transposition of the first, but follows a different course in mm. 7 and 8. The parallelism is, nevertheless, obvious.

Schumann, Papillons, Op. 2, No.1

EXAMPLE 3-6

When the melodies of the phrases of a period are noticeably different from each other, we say that the phrases are in contrasting construction and refer to the unit as a contrasting period. The excerpt shown in Ex. 3-22 exemplifies a contrasting two-phrase period. The first phrase is 8 measures long and the second is extended to 13 measures.

D. Tonal Relationship So far we have examined periods that begin and end in the same keynonmodulating periods. The period shown in Ex. 3-7 begins in E-flat major and modulates in the second phrase to G minor. It exemplifies the modulating period.

Tchaikovsky, Waltz, Op. 39, NO.8

EXAMPLE 3-7

Assai vivo

1\

.., :

I

9

>

10

~

.

::::::

3

2

1

>

>

11

.

>...------~

4

.

> -12

r

.

'k~~

6

>

::::::

7

14

13

">----.Y

....

kk . . . . I

16

.

T'

a....

8

>

15

. >

I

::::::

5

I

T'

'--""

••

PHRASE GROUPINGS

II.

57

SYMMETRICAL AND ASYMMETRICAL PERIODS Since music is experienced in time, the rhythmic "weight" of a structural unit depends to a large degree on its relative duration. Two or more units (phrases, periods, etc.) of approximately equal length express rhythmic symmetry. Symmetrical periods consist of phrases with an equal number of measures (3 + 3, 4 + 4, 5 + 5, 4 + 4 + 4, etc.). Asymmetrical periods contain phrases of different lengths. For instance, a two-phrase period with phrases of four and five measures is asymmetrical. The asymmetry in the period of Ex. 3-8 is immediately apparent.

EXAMPLE 3-8

Schubert, Symphony No.4

The first phrase of four measures, with its clear semiphrase structure, quickly sets up our expectations for more of the same. Schubert begins the second phrase as we might expect but surprises us by extending the phrase to six measures. Extension of the second phrase, especially through interpolation or cadential protraction, accounts for a large percentage of asymmetrical periods. Many a composition owes its special charm to the timely placement of asymmetrical units within its overall structure. The overuse of symmetrical periods can quickly result in monotony. Phrases that are inherently of different lengths or are extended beyond the expected length serve an important psychological function-they make the listener uncertain as to when the period will end. This uncertainty sustains interest.

III. THREE- AND FOUR-PHRASE PERIODS Not all periods are expressed through the joining of just two phrases. Remember, it is the relationship of the phrases, not the number of phrases, which determines whether or not several consecutive phrases constitute a period. Regardless of the number of phrases involved, the cadences generally progress from relatively weak to relatively strong. Listen to the period shown in Ex. 3-9.

CHAPTER 3

58

Rossini, II Barbiere di Siviglia, Overture

EXAMPLE 3-9

Allegro

I I

2 :>

1

1\ J.I ~

~

p

. .

I

•

can tab:

:

3

•

.

.

.

.

.

:>----

•

•

~

~

r

G: 5

7

6 :>

1\ J.I

~

.. ..

I

~

:

4

~

.

.

.

:>

~

~

.

.

8

~

~

I

•

•

~

r

9 1\ J.I • ~

~

10

3 ,;.......,

•••

:>

11

.----

-.......r

3

~res{'

...

: r

r

I

I

I

12

.

----

I

..

'-

. •

I

Ex. 3-9 consists of three four-measure phrases; the first two are in parallel construction, and the third is contrasting. The cadences become more conclusive as the period progresses. Note that the first cadence is a half cadence with rhythmic delay created by the prolonged apoggiatura (g-sharp); the second is an imperfect authentic cadence with a similar rhythmic delay; and the third is a perfect authentic cadence landing firmly on the downbeat. Study Ex. 3-10, noting the nature of the parallel construction. Phrases one and three are parallel, as are phrases two and four.

EXAMPLE 3-10

Andante 1\

I

I/,"::::::_

I

~

p

I

r·r-:::::: r

:

I

.

J

Beethoven, Sonata, Op.

26

~

2~~3

. . . c~s;J.J -J 1~~ I i . .., . .. I i ~

L...-J

l

4

r=s-' .

W sf~ "'-----#

-

5~

I p

r'

c~

PHRASE GROUPINGS

A~ :

1\

I

7r

6~

'1

l

8

59

.

11

~

q~~

:

r~ n

cresco____ - - - ----- - --p

p

/-

.

I

C::::::3 111

1\

I

l

12

':: y;- sfrW

~

creJc.

I

,

:

~

-

f=:::ri .

13~

10

...--....

~

. . . .

11~

~

~

..

14

~!: ~

Ji I

~

15

q~.~

..

r--"'1

~

I

cresco

p

. . . . ~

9 ,....--.....

~

P

-- .

.

.

. .., . --16

+

i""oo..

~

"-+

~

The parallelism between the first and third phrases emphasizes the division of this four-phrase period into halves. But because of its incomplete cadence, the first half is not a separate period; finality comes only with the perfect authentic cadence at the end of the fourth phrase. The duple symmetry expressed in this type of four-phrase period corresponds to the usual relationship of phrases in the parallel twophrase period.1 Four-phrase periods with the first and third phrases in parallel construction are the most frequent type, though other patterns of parallel and contrasting phrases are not uncommon.

IV. THE REPEATED PERIOD Structural units such as the period are often repeated immediately. If the repeat is exact in all parameters, repeat signs are generally employed. If the repetition involves variation in the secondary details of ornamentation, accompaniment figuration, dynamics, or scoring, the repeated unit ascends in significance. Ex. 3-11 illustrates a repeated period with variation.

EXAMPLE 3-11

Allegro 1\

............,

1

~

~

p

-------.

: 1........1

.

2~

-

Haydn, Sonata, Hob. XVI!37

3

.

.. .. ... ...

*-

4.

=-= =-=

~

5~•

..

1= 1=

1. Four-phrase periods of this sort are often referred to as double periods. This terminology is generally used by those who consider the period exclusively as a two-phrase unit.

CHAPTER 3

60

9

10

f

12~.

11~.

A repeated period, especially one including some variation as in the preceding example, possesses the same rhythmic weight as a four-phrase period. The strong cadence at the end of the second phrase in the repeated period, however, renders a more sectional structure than that of the four-phrase period.

v.

THE INDEPENDENT PHRASE Occasionally a single phrase is presented in such a way that it does not unite with other phrases, but "stands alone," as it were. Such a phrase is called an independent phrase. 2 Sometimes the second part of a short threepart form (A B A) is an independent phrase. Study Ex. 3-12.

EXAMPLE 3-12


Part One 1

5

2. The independent phrase is sometimes referred to as a one-phrase period.

PHRASE GROUPINGS

61

Part Three 13

14

f

p

The first eight measures obviously constitute a two-phrase period. But the third phrase (part two) contrasts melodically and tonally with its surroundings. The third phrase ends inconclusively with a half cadence, and one is tempted to see if the phrase that follows will join it to form another two-phrase period. But, no; the fourth phrase is a return of the material from part one of the three-part form. Its character, that of a beginning-an antecedent-has already been asserted. It simply does not assume the role of a consequent phrase here. Phrases three and four, then, are both independent, serving the quite separate functions of digression and return.

VI. THE REPEATED PHRASE It is not uncommon for a single phrase to be repeated immediately. As with period repetition, a phrase may be repeated verbatim or with variation in such details as ornamentation, accompaniment figuration, dynamics, and scoring. The repeated phrase with variation carries the rhythmic weight of a period and may thus occupy a temporal role comparable to that of the two-phrase period. In what way is the repeated two-measure phrase in Ex. 3-13 treated to variation?

62

CHAPTER 3

EXAMPLE 3-13

Chopin, Nocturne, Op. 9, No.1

2

1 •

!~p~espre~ss.~~~~~~ 1\

)

3_~

~b#~#h"l, ... . )2; .

..

. .

~

4>-

~

I

:

~

•

~

~!:

I-

~

~~

•

h

The answer, of course, is melodic ornamentation. The elements of harmony, cadence, duration, and accompaniment are repeated exactly. The melodic variation in the second phrase clearly exhibits Chopin's flair for poignant chromatic embellishment.

VII. THE PHRASE GROUP So far we have considered several ways phrases are used to build larger musical structures: periods of two, three, and four phrases, repeated periods, repeated phrases, and independent phrases. But there is an abundance of situations in which phrases combine in patterns other than those we have encountered. Such combinations of phrases may be referred to as phrase groups. The phrase group is, quite simply, two or more consecutive phrases that-though they function together to make up a larger unit-do not stand in a period relationship. Brahms begins his first sonata for violin and piano with a series of phrase groups. The two-phrase group that opens the sonata is shown in Ex. 3-14.

PHRASE GROUPINGS

63

Brahms, Sonata in G Major, Op. 78

EXAMPLE 3-14

Vivace rna non troppo II

1

II

~

2

P

1\ Ii ~

~

,,

J,

,

,

~,

~,

,

,

II

II

6 ~TH"

tI

1\ Ii

! ~

:

,

,

¥,

.~.

j,

,

,

,

,

~,

f'

19=,

~,

7

-==

==-

aJ:

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r:

r:

,

~,

,

TT:f '

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.

-6'

,

r:

r: .h.lf. 9 ~ .. h.

8

~

,

.

~

~.

--

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.~

.G'

.G '

.~

-4:

~~

'--...-/

mezza voce

mezza voce dolce p

5

4

~.

tI

I

3

~

~

JJ :: ,

,

r: r: -

-=----

--.. ,~

-4:

,

aJ:

,

,

¥,

,

¥,

bJ: ,

r'

--.'

Note that the opening four-measure phrase ends with an imperfect pia gal cadence. The second phrase, five measures in length, ends with a half cadence that provides a very open-ended effect.

VIII. THE CONNECTION OF PHRASES The cadence is inherently imbued with a degree of pause. When a pause in the form of a long note or rest coincides with the arrival of the cadence, the structure is articulated more strongly. The frequent use of such strong punctuations would, in many instances, create an undesirable segmented effect. Many methods can be brought into play to allow the music to flow through the cadences and mask the "seams" in the structure. One of the simplest means of keeping the rhythmic motion alive across a cadence is to continue the accompaniment pattern or figuration. This procedure may be observed in Exs. 3-7 and 3-9. Note in these examples that the sense of cadence is still strong-harmonically, melodically, and rhythmically. The active surface rhythm provides movement and continuity, but does not undermine the sense of cadential punctuation. The use of anacruses to connect phrases is also a common procedure. In Ex. 3-15, the accompaniment pattern halts abruptly at the cadence (m. 5), but the melody pauses only briefly before moving on in an anacrustic fashion toward the second phrase.

CHAPTER 3

64

EXAMPLE 3-15

Haydn, Symphony No. 101, "The Clock"

Fagotti

Violino I

Violino II

Violoncello e Contrabasso

:

. ...

6 ....

....

(P) 7 ....

II.

...

8

... 9:J

10

. :::;::::e . ..

•

r

I'J

~ ~ @)

..---. ..

~

;. ;.

(~~~

}I,~ ~~

-

---= -,t ..

-,t ..

-,t ..

-,t ..

•

•

•

•

:

C-J.

~

. . . .

........

-....;;;;

~

~

~

-...

. ...

b::j" l J

. .

-

O!!.~

-,t

: r

.-i--"

Sometimes material of a linking nature is inserted between phrases. Such link passages provide contrast as well as temporal variety in the presentation of the musical material. Listen to the following two-phrase period.

EXAMPLE 3-16

-

Tchaikovsky, Symphony No.5, Op. 64

Allegro moderato 1\ 1I ~

!

1

.

@)

p

---1---dolce con grazia :1= :1= I

: A:

3

2

......

4

.

"'--"'

b~~ ~

5

.

II"·

I

===

===

6

... r'

----../ ~

I

7

....

I

.... ... _

II"~

.. .. r'

I

PHRASE GROUPINGS

8

10

.___9

1\ ~ It

65

11

12

f:.'

.f'-~. 13

, @)

... ...

Ll

:

14 1\ 1I I!

,

l!Til >fir >

.-~

~JJ

>~.

16

IS.p.'

:

#.f'-~ +q~

.,

:

>,..- r-----.

~_----......

~ 17

@)

,.

dolce

I

:

fJ'J

p

1#1 ;

•

~

,

.

.fL~

==.f'- ...

~

~

It ........

-

19

18

/"

,

...

p

~

J~

.- " .;;;;;;;;-

1/

J JIt,J -J#J ~

I

The three-measure link in Ex. 3-16 provides both textual and rhythmic variety. The hemiola within the link itself produces a lively and unexpected hiatus in the melodic and rhythmic flow of the waltz. When the phrases of a period are connected by a link, the increased time lapse between the phrases expands the period. The opposite effect, a compression of the material, results when the last chord of one phrase is also the first chord of the next. This method of joining phrases is called elision; it is comparable to the elision of motives we examined in Chapter 2. In Ex. 3-17 elision occurs on the downbeat of the fifth measure.

EXAMPLE 3-17


Allegro 1

! !

2

3

4

f

C: 5

6

9

sf

66

CHAPTER 3

Elision creates an effect that might be described as a telescoping of phrases.

first phrase

second phrase

The harmonic movement in the first phrase is completed by the cadence, but the listener is denied the time interval that normally separates the cadence of one phrase from the first downbeat of the next. Phrases connected by elision are usually irregular in length. But because of the dovetailing effect of the elision, elided phrases usually seem to be one measure shorter than their actual length. For example, let us consider a period comprising four five-measure phrases joined by elision. Even though each phrase is identified as a five-measure unit, a new phrase actually begins every four measures.

1 1

1 12 13 14 15 12 13 14 15

2

3

4

1 5

6

7

8

9

3

4

1 5

2

3

4

5

2

10 11 12 13 14 15 16 17

In Ex. 3-17, the phrases are each five measures long; yet the beginning of the second phrase captures our attention at the fifth bar, making it seem as if the first phrase lasted only four measures. The sharing of a measure can also cause confusion in describing the larger unit: in the above instance, two five-measure phrases add up to a period only nine measures in length! When a phrase begins before the preceding phrase completes its cadence, the phrases are connected by overlapping. Overlapping is similar to elision in that the time span between the phrases is compressed. But whereas elision occurs frequently in homophonic music, overlapping is encountered primarily in polyphonic music. In Ex. 3-18, the second and third phrases are overlapped in measures 7 and 8.

PHRASE GROUPINGS


EXAMPLE 3-18

Prestissimo 1\

I I

"l(-4f"':

~

~

.h 1= #:

.it .;...jL 3-n- -

4n

...,

I

I

-r!~~

I

v

I

:;:

:6J!:7

I

-6-

~b~

-6-

=d

end of Phrase 2 I

5

6

f

... .

I

I 9

fn ..-.

~

.•

I

.

"':

.

'--

ffp

i -

.

~,

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fn

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,

8

7

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-9-

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:

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m.

.

~

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1\

2

f

p

:

1\

.

1

I

67

U-r .' f r r . . . U

i --

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11 _____beginning of Phrase 3 10

-.f

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....

-

•

.

L. 1

r i

I

-

U f

r r

-

~ '1!

~

12

"':

I

IX. DISGUISED PHRASE ENDINGS During the nineteenth century, there was a growing tendency to emphasize continuity. One method for attaining a broader sweep within the conventional structural plans was to disguise the ends of phrases. The practice of obscuring the "joints" or "seams" in the musical fabric was in keeping with the idea of the "long line" which predominated in much music of the century. Ex. 3-19 illustrates a simple disguised phrase ending. The excerpt is comprised of two quick eight-measure phrases.

68

CHAPTER 3

EXAMPLE 3-19

Chopin, Valse, Op. 64, No.1

MoHo vivace 1\

-

1

I

3

2

-

@)

leggiero cresc.

!

:

,h .. 54'-.

4

!

!

!

!

I

-

dim.

f:

!

-#- ..

f:

t

t

f:

f:

I

Dk disguised phrase ending 1\

I

6

~

7..,....

~.

8

@)

i

:

i

i

i

'"'

9

10

,,

f:

f:

I

11~ cresc.

14~

12

16

dim,

Even though the descending melodic motion in mm. 7 and 8 creates a degree of relaxation, the nonharmonic tones and constant eighth-note motion drive headlong through the cadence, obscuring the phrase ending. Unlike phrase connection by elision, the melody fails to cadence at the point where the succeeding phrase commences. So, we have a situation in which the beginning of the parallel second phrase is quite clear, but the ending of the first phrase is melodically disguised. Thus, punctuation is created more by the beginning of the new unit than by the end of the old one. A somewhat different method of disguising the phrase ending is illustrated in the 12-measure phrase shown in Ex. 3-20. (The melody is in an inner part: the lowest voice in the upper staff.)

69

PHRASE GROUPINGS

EXAMPLE 3-20

Grazioso e giocoso


4

2

5

disguised phrase ending

second phrase

b'

I

11

10

12

I

The cadence in measures 11 and 12 is cleverly masked by dissonance and the continuous melodic movement. The simplified version in Ex. 3-21 shows the harmonic movement more clearly and includes a Roman numeral analysis.

EXAMPLE 3-21

1

1\

I

-

3

2

@J

4

5 I , r

...--

f~ ~:

I

I

,

1

iii

~

.fL'

,

I C:

r-:;,

,

:

Brahms, Intermezzo, simplified version

...:

i

7

6

I'

.,.'

~ i ,

~J~

:

,

I

..

I"

I

, 1

70

CHAPTER 3

8

II

I

I

~

:

.......,

9

.

-fL.

.

#~f::

Jr.

o

1

--"'I

~ ~ k--Ja~

.

11

~

~

.:

12

7,, :r .." .-/r

13

"r

~~t q

.

,r&-:" '

I

I

viio6 a: iiO 6 viio ~ /Y

C: I

y 7

3

Unlike the disguised ending of the Chopin example (Ex. 3-19), the cadence in the Brahms example is actually stressed through prolongation; but the nonharmonic tones, syncopation (upper parts, mm. 11-12 of the original version), and constant motivic development divert the listener's attention from the point of cadential repose. It is interesting to note that the cadence chord is unencumbered by dissonance for only a fraction of its duration, whereas the first bar of the new phrase that follows is almost entirely consonant! Brahms has disguised the cadence by maintaining the harmonic tension almost throughout, only relaxing it after the cadence has passed.

x.

DUPLE MEASURE GROUPINGS We have seen that phrases of two, four, and eight measures' duration (regular phrases) predominate in the music of the common practice period and that many phrases divide into semiphrases. Another manifestation of duple rhythmic structure, one that is often not immediately apparent, involves the grouping of two measures into a larger metrical pattern. When the first beat of every other measure receives the stronger downbeat feeling, the aural effect is that just one metrical pattern occurs in the time of every two notated measures. We will refer to this as duple measure grouping. Duple measure grouping occurs most often when the tempo is fast and when the actual meter is duple or triple. (The strong-to-weak metrical relationship that characterizes duple measure grouping is already an intrinsic characteristic of quadruple meters.) It is essential that the performer recognize the presence of duple measure groupings. Once the larger metrical plan is understood, the likelihood of a choppy performance resulting from the accentuation of every downbeat is avoided. The opening melody of Mendelssohn's "Italian" symphony is a lively example of duple measure grouping (see Ex. 3-22). The composer begins and ends the melody with written accents on consecutive bars, but in between, the measures group themselves naturally into pairs, with the downbeat of the first measure of most of the pairs receiving the primary stress.

PHRASE GROUPINGS

EXAMPLE 3-22

71

Mendelssohn, Symphony NO.4 ("Italian")

Both triple and quadruple measure groupings are encountered in the scherzo movement of Beethoven's Ninth Symphony. The marking Ritmo di tre battute (rhythm in three beats) at m. 177 indicates that each group of three measures is conducted in a three-beat pattern with each measure receiving one beat. The marking Ritmo di quattro battute at m. 234 indicates that each group of four measures is conducted in a four-beat pattern with each measure again receiving only one beat. The subject of multiple measure groupings is presented here in connection with the period because it is at this level that they can most readily be detected. The presence of duple measure grouping does not necessarily imply that the performer should place an accent on the "stronger" downbeats. Rather, understanding the underlying metrical pattern should enhance the fluency and expressive quality of performance.

XI. DESCRIPTION OF THE PERIOD A concise description of the period should include at least a statement of the most obvious rhythmic, melodic, and harmonic aspects of the unit. A sample description of a period might read as follows: the structural unit is an eight-measure, nonmodulating period comprising two phrases (4 + 4) in parallel construction; the cadences are H-PA. This description indicates the length of the period, number of phrases, and lengths of the phrases (rhythmic elements); similar contour relationship (melodic element); and cadence and tonal relationships (harmonic elements). Points of climax and the subphrase structure are other important formal elements that should always be considered in the study of period forms.

72

CHAPTER 3

Summary The union of two or more phrases into a period is created largely through the relationship of the cadences; the final cadence of a period is usually the most conclusive. In addition, the phrases must be joined in a coherent manner so that they seem to "belong" together. This coherent manner is generally achieved through at least one of the following: 1. Balance of harmonic goals 2. Similarity of melodic contours 3. General nature of the material

When the phrases of a period are similar, the period is said to have parallel construction; if the phrases are not similar, the term contrasting construction is used. In periods comprising three or four phrases, at least two of the periods are normally in parallel construction. The parallelism that frequently occurs between the first and third phrases of the four-phrase period points up the underlying duple construction of this larger period unit. A period that ends in a different tonality from that in which it begins is called a modulating period. When the phrases of a period are of the same length, the period is symmetrical. In asymmetrical periods, the second phrase is usually longer than the first, and the greater length is often due to cadential extension or interpolation. Phrases within the period structure are often connected by some form of rhythmic motion which provides continuity through the cadence points: 1. Continuation of an accompaniment pattern or figuration 2. Anacrustic connection to the next phrase 3. Link

4. Elision 5. Overlapping These methods rarely weaken the harmonic strength of the cadential function. When a phrase ending is intentionally disguised, however, the cadential punctuation may be weakened; continuity is emphasized instead. Phrase combinations do not always result in period structures. Some phrases are simply repeated to build larger structures; some phrases are independent; and at other times phrases accumulate into phrase groups which lack the cadential relationships and close affinity of the period relationship. The period is normally the smallest structural unit capable of expressing a complete musical thought. Periods are sufficiently self-contained that they may, and often do, stand alone as small independent compositions. Periods are encountered most frequently in the thematic (as opposed to developmental) sections of larger forms.

PHRASE GROUPINGS

73

ASSIGNMENTS 1. Listed below are passages from the Anthology that constitute periods

of two, three, or four phrases. Analyze as follows: Locate and identify the cadences. Note any factors that contribute to the weak> strong relationships of the cadences. Indicate parallel and / or contrasting construction. Note any means by which a sense of continuity between successive phrases is achieved: elision, rhythmic motion in accompaniment, anacrusis, etc. Are any of the periods asymmetrical? What factors besides the cadence relationships contribute to the cohesion of the phrases as periods? A. Anthology, No.2 (Schubert, German Dance), complete B. Anthology, No.9 (Mozart, Sonata), mm. 21-28

C. Anthology, No. 12 (Haydn, Octet), mm. 1-12,23-38

2. The following excerpts are more diverse in phrase / period structure than those in No. 1. Proceed as before, but label all phrase combinations according to their relationships to each other and with their surroundings: independent phrase, period, phrase group, repeated phrase, repeated period. A. Anthology, No. 15 (Mozart, Eine kleine Nachtmusik), movement II, "Romanze," mm. 1-30 B. Anthology, No.3 (Tchaikovsky, Mazurka), mm. 1-19

C. Anthology, No. 11 (Brahms, Haydn Variations), Theme, mm. 1-29

D. Anthology, No.8 (Brahms, Rhapsody), mm. 1-20 3. Do an analysis of the periods and other phrase combinations in a short, common practice period work from your performance repertoire or current study. Alternatively, you may analyze one or two sections of a longer movement.

PART

II

PATTERN the shaping factors

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Schopenhauer calls architecture "frozen music" .... By the same token one could call music "sounding architecture." Ernst Toch, The Shaping Forces in

Music

Georges Seurat, French, 1859-1891, A Sunday on La Grande Jatte-1884, oil on canvas, 1884-86, 207.6 x 308 cm, Helen Birch Bartlett Memorial Collection, 1926.224. Photograph © 1994, The Art Institute of Chicago. All Rights Reserved.

74

PATTERN: THE SHAPING FACTORS

Leonardo da Vinci, Mona Lisa (detail) The Louvre, Paris.

75

If you stand eyeball to pigment with a painting by Vincent van Gogh or Georges Seurat, what you see makes little sense: seemingly meaningless blobs of color, not quite random, but apparently disorganized. If we back away a foot or two from Seurat's A Sunday on La Grande latte, for example, forms of light and dark begin to emerge. A little more distance, and we begin to see fuzzy but recognizable objects: a person or an animal, a tree or a boat. Finally we move across the room, turn, and look back on the lightflooded scene of an afternoon at the park. We are at a similar juncture in our study of musical form. First we examined, rather minutely, the building blocks of form, those elements that we can perceive in a short span of time as temporal units of organization. As we began to examine larger units, and how units are connected, our ability to perceive musical elements in time began to stretch, and patterns began to emerge. Sometimes those emerging patterns have even taken the shape of small, complete forms; formal patterns predominated to some degree over the smaller elements. Looking once again at Seurat's canvas A Sunday on La Grande latte, we are taken in by the whole scene. We are still intrigued by details-like the sense of sunlight sparkling on the water and the grass-but the sweep of the whole design captures our primary attention. A comparable thing happens now as we focus on the larger musical forms. The details-the "blobs of color" -will never cease to interest us, but the form of the whole captures our primary attention. Pattern has, in reality, been present from the beginning. Meter, figures, motives, phrases, periods-all these are, in a sense, patterns. But as we examine the larger forms of music now, our focus becomes pattern in a larger sense: that "ordering in time of the successive events of a piece" which is the form of a piece of music. Sounding architecture.

CHAPTER

4

The Simple Part Forms •

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• • • • •

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... a most important principle is revealed: the principle of tripartition. To it most of the forms can be traced, regardless of their substructures, proportions, standards, terms. Ernst Toch, The Shaping Forces in Music

Many compositions divide into major sections, or parts. Two or more parts in succession create a skeleton on which thematic ideas and tonalities can conflict and resolve. The following folk melodies are examples of small-scale simple part forms. Perform them.

EXAMPLE 4-1

A.

Two-part form. France, traditional

Alla marcia

r--PartOne---------------------------------------------------------, r--------------Part Two

,

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i

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f5 J I r r I rrFJdl rrr:i57F:h:ll"I

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-----------------------------------------------------------------------------------,

76

THE SIMPLE PART FORMS

B.

77

Three-part form. Scotland, traditional

The articulation of music into parts is largely determined by the arrival of major harmonic focal points, usually marked by a final cadence, and often by a pause. In Ex. 4-1(A), the repeated phrase that constitutes Part One ends on the tonic, G, and is separated by a pause from the beginning of Part Two. The two-phrase period that makes up Part Two also ends strongly on the tonic. Together these two parts constitute what is known as simple two-part form. The adjective simple is used to distinguish this type of part form from the composite type, a more complex structure which includes at least one simple part form as one of its major parts. The subject of composite part forms is presented in Chapter 5. Part forms comprising more than two parts are based on the principle of delayed repetition (recurrence). In Ex. 4-1(B) the third part is an exact restatement of the first part. Together the three parts constitute a simple three-part form. Three-part forms are sometimes referred to as ternary, and two-part forms, as binary. 1 You may have noticed in Ex. 4-1(A) that a few beats of the material from Part One come back briefly at the end of the piece. This recurrence adds unity to the melody, but because we don't hear the very beginning, or "head," of Part One, we don't hear a true return, or a third part.

I.

ONE-PART FORM A composition consisting of only one part is necessarily brief and to the point. The following example of one-part form consists of a single four-phrase period (see Ex. 4-2).

1. Other, less often used terms for one-, two-, and three-part form are unipartite, bipartite, and tripartite. A structural design consisting of a series of contrasting parts (A BCD, etc.) is referred to as through-composed and will be dealt with later in the chapter.

78

CHAPTER 4

Chopin, Prelude, Op. 28, No.7

EXAMPLE 4-2

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This entire composition is based on a single melodic motive. The parallel construction of phrases one and three, and of two and four, creates further unity. Despite the composition's limited scope, the composer builds an effective climax in the third phrase by stretching the melodic contour upward, thickening the texture, and introducing chromatic tension. Music need not be long and complex to be satisfying, as this little piece clearly demonstrates.

II.

TWO-PART FORM Two-part, or binary, structure characterizes many instrumental compositions of the baroque period. The dance suites, solo sonatas, and chamber sonatas (both the sonate da camera and sonate da chiesa, especially the former) abound with movements cast in a two-part framework. Two-part form also appears frequently in the music of the classical period, but the tendency during this era was to employ the two-part plan more as an internal unit of a larger composition than as a complete and independent movement. The following composition illustrates a number of characteristics of two-part form (Ex. 4-3).


79

J. S. Bach, French Overture, Boum§e I

EXAMPLE 4-3

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Although none of the material from Part One is duplicated exactly in Part Two, there is a great deal of similarity between the two parts. For example, the upper voices at the beginnings of Parts One and Two are identical in rhythm and articulation for two measures. We observed in our study of the motive that the retention of a motive's rhythmic shape is one of the strongest unifying elements in music. The same principle holds true for the bonding of various sections throughout an entire composition. Note also the consistent mixture of staccato and legato articulations throughout Ex. 4-3. Likewise, consider the driving harmonic rhythm, the contrapuntal interplay of eighth- and quarter-note motion, the distribution of conjunct and disjunct motion, and the potent syncopations. All of these factors contribute to the forming of a clear-cut and easily identifiable musical entity, one that is not dependent on melodic or thematic repetition.

80

CHAPTER 4

Two-part baroque compositions rarely contain what we would refer to as thematic material. Rather, their structure tends to be more motivic in nature: motives combine and develop in a more or less linear fashion, creating a well-defined texture which unifies the whole. Frequently, the beginning of the second part makes direct reference to the beginning of the first part, and sometimes a portion of the second part is merely a transposition of a portion of the first part. Occasionally a literal quotation (untransposed) of material from the first part is found in the second. The double bars and repeat signs in many two-part compositions make it easy to locate the beginnings and endings of parts quickly. For purposes of analysis we use the letters A and B to represent the two parts of binary form. We will use only one set of measure numbers for immediately repeated parts, even when first and second endings are involved. During the eighteenth century it became increasingly common to return a portion of the material of the first part toward the end of the second part. The extent of the return was initially limited to the cadence of the second part. Gradually more and more of the first part was quoted. In the waltz in Ex. 4-4, the second phrase of Part A returns as the second phrase of B, verbatim. We refer to this pattern as rounded two-part form or rounded

binary form.

Schubert, Waltz

EXAMPLE 4-4

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Notice that it is the latter portion of Part One that returns. When the beginning of A is restated after some sort of contrast, the listener is immediately conscious of the return, and psychologically this return represents a third part (A B A). When the beginning of A is missing, the

:


81

listener, not being immediately aware of the return, does not sense a division into three parts. 2 Rounded two-part form is diagrammed in Ex. 4-5. The lowercase letter b represents the contrasting material in the second part, and the lowercase a denotes the material that returns from the latter portion of the first part.

EXAMPLE 4-5

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Part One

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The beginnings of Parts One and Two in Ex. 4-4 are melodically parallel, but the tonicization of other pitches (the submediant and then the dominant) after the double bar creates enough tonal contrast to establish Part Two in the listener's ear.

III. MACRORHYTHM AND MACROTONAL PLAN Music, like drama, is an art that is experienced in a continuum of time. Now that we are studying the larger units of structure, the formal function of a composition's rhythm becomes clearer. As the listener perceives a musical composition, he or she consciously or subconsciously breaks the piece into a variety of time units that relate to one another at different levels. On a basic level, rhythm concerns such elements as metrical pulse and relative note values. In a much broader sense, rhythm involves the temporal relationships of larger units of structure: phrases, periods, parts, and the movements of multimovement compositions. We shall refer to rhythm on the more basic level as microrhythm and in the larger sense as

2. Some theorists use the term rounded binary even when the head of A returns, and still others use a term like incipient three-part form. The conflict in terminology arises from the fact that the thematic element and the macrorhythm are in disagreement: the listener hears the return of the "theme," but also senses the duple symmetry expressed rhythmically by the balance of the first part with the sum of the second and third parts. This situation is most obvious in small, symmetrical forms in which the first part is a twophrase period, the second part is a single contrasting phrase, and the third part is a single phrase based on the first. Example 3-12 is an instance of this form. As always, an understanding of the music is more important than the terminology one uses.

82

CHAPTER 4

macrorhythm. The terms have relative values and may be applied to units of varying sizes so long as the term macrorhythm denotes the larger units. It may help us grasp the concept of macrorhythm to visualize a large unit of structure, say a part, moving along a horizontal time line, the length of which is proportional to the duration of the part.

time line r------------~---------~--------)--------l

I

PART

As the music passes along the time line, attention is drawn toward the articulation of relatively small units such as phrases, points of tension and repose, motivic treatment, etc. At the end of the line the part reaches its ultimate goal. It is the succession and relationship of musical events on this imaginary time line that shape the material into an intelligible form. During the period of major-minor tonality (ca. 1650-1900), the formal elements of unity and variety and tension and relaxation were consciously expressed through the relationship and balance of key centers within a composition. A departure from the original key center creates tonal contrast, but recurrence of the original key creates unity and stability in the overall tonal framework. The simple tonal plan outlined below provides a tonal skeleton over which one or several thematic ideas can be presented, contrasted, developed, and returned. ORIGINAL KEY

CONTRASTING KEY(S)

ORIGINAL KEY

A composition's macrotonal plan should not be confused with the number of parts it contains. The three-part macrotonal plan illustrated above underlies the structure of many compositions of varying sizes and macrorhythmic plans. With the exception of one-part form,3 it often provides the tonal basis for the simple part forms, many composite part forms, and even sonata form. Also, fugues and inventions, which are rarely characterized by division into clear-cut parts, frequently follow a three-part macrotonal plan. A composition's macrorhythmic structure and macrotonal plan constitute the framework for the musical ideas and their treatment. On the most fundamental level, the macrorhythm delineates the major structural units-in the case of the part forms, the parts themselves. The macrotonal plan-as determined by the major harmonic focal points-provides the overall scheme for tonal contrast and unity.

3. One-part compositions are occasionally characterized by a three-part macro tonal plan. For an example, see Chopin's Prelude, Op. 28, No. 9.


83

The diagram in Ex. 4-6 represents a typical two-part composition; think of it as moving from left to right along a "time line."

EXAMPLE 4-6

MACRORHYTHM: division into parts I IB IA

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Consider Ex. 4-3 once again in light of this chart. Notice that the threepart macrotonal plan is delineated by the major harmonic focal points that mark the sections of the two-part form (tonic moving to dominant in Part One and dominant moving quickly back to the tonic in Part Two). Composers in the tonal era had two main concerns with the macrotonal structure of a two-part composition: the relationship of the key centers at the beginning and end of the composition, and the manner in which tonal contrast was brought about in the middle of the composition. Each example below involves an area of tonal contrast and therefore follows a three-part macrotonal plan.

EXAMPLE 4-7

1.

Part One

Part Two

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84

CHAPTER 4

2.

Part One

Part Two

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When a part ends in the composition's home key with a complete cadence, the part is said to be harmonically closed. The last part of a part form is almost invariably closed. A part is harmonically open if it terminates in the home key with an incomplete cadence, or in some other key with either a complete or incomplete cadence. The first part in twopart form is usually harmonically open, in which case the ultimate harmonic goal is not reached until the end of the second part. The overall harmonic movement through the part form, then, is described as continuous. The harmonically open part expresses a complete idea but is, nevertheless, dependent on the second part to complete the harmonic movement by returning to the tonic.4 When a two-part composition is in major, the usual goal of the first part is the dominant; when it is in minor, the first part usually ends in either the dominant or the relative major. Each part in Ex. 4-3 is 12 measures long; hence, the parts form a

symmetrical rhythmic structure. Asymmetrical rhythmic structure is actually more common in two-part forms, with the second part usually being the longer of the two. Ex. 4-8 exemplifies this asymmetrical characteristic.

EXAMPLE 4-8

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Although Part One does not modulate, it is terminated by an incomplete cadences and is therefore harmonically open. The harmonic movement toward the dominant chord at the end of the first part serves the same basic function as a modulation to the dominant key. Naturally, the half cadence does not carry as much tonal weight as a modulation would. Regardless of the manner in which the first part ends, the second part generally creates tonal activity through modulation before settling into the home key.

IV. THREE-PART FORM The increased use of rounded binary form during the first half of the eighteenth century reflects the composer's growing awareness of the dramatic potential and unifying force of delayed repetition. Rounded twopart form represents a major step in the direction of a genuine three-part structure. The terms three-part and ternary literally mean "having three parts" and could logically apply to three completely contrasting parts (A B C). Such a pattern, however, is usually referred to as a through-composed form and occurs most frequently in vocal music where the text is the chief unifying factor. In our usage, the terms three-part and ternary denote three-part forms in which the third part is a restatement of the first: A B A. Two-part compositions are generally unified through the use of similar textural and motivic material in both parts. As the idea of returning some or all of the material from the first part evolved, greater contrast was often introduced in the second part. The use of contrasting thematic

5. The cadence that terminates Part One in Ex. 4-8 is a Phrygian cadence. Generally considered a type of half cadence, it is occasionally treated as a complete cadence.

CHAPTER 4

86

materiaZ 6 in the second part creates a digression of musical thought between the statement and restatement of A. It should be noted, however, that in many three-part compositions, the second part is related motivically to the first, the contrast being created through tonal digression, motivic variation, etc. Example 4-9 is a three-part minuet by Haydn. The symphonic score has been reduced so that it can be played at the keyboard. Familiarize yourself with it, and locate the beginnings and endings of the three main parts.


EXAMPLE 4-9

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EXAMPLE 4-10

Parts:

Part One

Part Two

Part Three

No. of Meas.:

10

21

17

Material:

A (Period) B(New

(Developmental independent phrase becoming transitional) phrase)

A (Period) (Coda)

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Keys, relative I to E-flat: Cadences:

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Note that the three parts are 10, 21, and 17 measures long, respectively. Asymmetry such as this is common. As Ernst Toch observes,

88

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"mathematical symmetry is rather apt to render form stiff and dead."7 Much of the asymmetry in the Haydn Minuet (Ex. 4-9) is created by the extension of material at the end of each part. In the first two instances, the extensions function as transitions: mm. 9 and 10 are simply repetitions of the melodic cadence, leading us from Part One to Part Two; in Part Two a melodic sequence descends out of the repeated cadence (mm. 28-31), preparing a listener for the return of A. At the end of the reprise, the composer surprises us with a deceptive cadence rendered subito fortissimo. The material that follows reinforces the tonic key and adds rhythmic weight to the final cadence. Cadential extension of this sort occurring at the end of a movement is commonly referred to as a coda. The Haydn Minuet is harmonically continuous, that is, both the first and second parts are open. Many minuets and scherzos exhibit this characteristic. But in many other instances-particularly the slow movements of sonata-related compositions (sonatas, quartets, symphonies, etc.) and nineteenth-century character pieces-the first part is often closed by a complete cadence in the tonic key. When the repeat bars are retained in three-part form, as they often are, an interesting analytical problem arises: is the piece still three-part, or is it now in six parts? When the composer writes a three-part form, the primary concern is to arrange the parts in such a way that they connect logically: A > B > A. But when the traditional repeat signs are added, the basic ABA structure is rendered as follows: A > A II B > A > B > A II . The listener hears A, then A again. Since there has been no contrasting part, only Part One is discerned. Next occur the digression (B) and restatement (A)-Parts Two and Three. The repetition of Parts Two and Three that follows does not alter the essential structure, but serves to add unity through repetition. Thus, in performance, the macrorhythm comprises six structural units, but since three of these are repetitions, the form is in essence a three-part structure. Often the return of Part One is not exact. In the Haydn Minuet (Ex. 4-9) the return of A was extended into a coda. Here are some of the alterations that may occur in Part Three: 1. A may be enlarged in the third part by the addition of a coda. 2. A may be shortened in the third part. The shortening of A in no way disrupts the effect of recurrence as long as the head of A initiates Part Three. 3. If the first part is harmonically open, the return of A is altered so that it will end harmonically closed. 4. The return of A itself may be varied (dynamics, texture, scoring, or the like), but if the beginning is recognizable, we perceive it as a recurrence.

7. Ernst Toch, The Shaping Forces in Music, p. 168.


89

Thus far in our study of three-part form we have examined the minuet. The three-part principle of construction can also be seen in compositional types of quite a different nature: sonata form; the slow movements of sonatas, symphonies, quartets, etc.; and the character piece.8 Once the strength of the ternary principle was fully realized, the unifying force of delayed repetition (recurrence), as expressed in such patterns as A B A, A B A C A, and ABC A, became the basis for practically all compositional genres of the latter half of the eighteenth century and the nineteenth century, while the idea of binary construction was more or less relegated to certain internal units of structure.

V.

FOUR- AND FIVE-PART FORMS Four-part form (A B C A), like three-part form, is unified by delayed repetition. In four-part form, the three-part principle is expanded by the inclusion of an additional contrasting part between the original statement of A and its recurrence. Although there are four distinct parts, the underlying principle is the same as in three-part form. statement A

digression BC

restatement A

Since four-part form is relatively uncommon and poses no special analytical problems, it is unnecessary to illustrate the pattern with a musical example here. The ABC A pattern can be studied in the following compositions: Schubert, Moment Musical, Op. 94, No.3 Chopin, Nocturne, Op. 15, No.2 Chopin, Mazurka, Op. 67, No.2 Chopin, Waltz, Op. 34, No.3 Schumann, "Kind im Einschlummern" from Kinderszenen, Op. 15 Brahms, Intermezzo, Op. 116, No.2 The beauty of the three-part principle of construction lies in the dramatic potential and unifying force of recurrence. This method of unifying the whole can easily be expanded to include a second area of contrast with a second recurrence of A: statement A

digression B

restatement A

digression C

restatement A

8. The term character piece is often used to denote any of a large group of compositions such as impromptus, nocturnes, etudes, preludes, rhapsodies, etc. Usually for piano, this type of piece provided the vehicle for many nineteenth-century romantic composers to express a variety of poetic moods and sentiments. Among the notable composers of character pieces are Schubert, Schumann, Mendelssohn, Chopin, Liszt, Grieg, Brahms, and Tchaikovsky. Most character pieces are three-, four-, or five-part forms.

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CHAPTER 4

One of Chopin's best-known mazurkas, Op. 7, No. I, exemplifies this type of five-part form. Familiarize yourself with this composition, No.4 in the Anthology, and compare your discoveries with the chart shown in Ex. 4-11.

EXAMPLE 4-11

12

Material:

A

Keys in relation to B-flat:

1

Cadences:

,: Part Two

Part One

Parts: No. of Measures:

,

'8 (Independent phrase or period)

B

(Independent: phrase : or period)

A

,, ,,

V

lA

,: Part Three

, ,:12

(IP)

PA

,: 1 ,, ,

(Independent phrase or period)

Part Four

Part Five

8

12

C (Period)

A

i lA

H

H

(Independent phrase or period)

,:1 ,,,

lA

One of the first things that may have caught your attention is that the chart above describes Part One as a l2-measure, rather than 24-measure, unit. The written-out repeat of the theme does not alter the structure of Part One. Likewise, the repeats of Parts Two and Three collectively and Parts Four and Five collectively may be disregarded since our intent is to examine the essential structural plan of the composition. The three themes of the composition, A, B, and C, contrast with one another but are related by the mazurka rhythm they share. Each part in the five-part scheme is sharply defined and easy to distinguish from the parts on either side. As the composition is devoid of auxiliary members (introduction, transitions, coda, etc.) and four of the five parts are harmonically closed, the overall structure is very sectionalized. The rhythmic balance of the five parts results in a symmetrical structure. The phrase structure of Part A is especially interesting. The melody is punctuated by several prolonged notes. Some musicians may feel a phrase ending in m. 4, but that hardly seems sensible, since m. 5 continues a freely sequential pattern begun in m. 4. The renewed rhythmic activity in m. 7 sounds like a new phrase, helping us hear m. 6 as cadential, despite the dissonant E-natural that keeps the tension level elevated. This view leads to the perception of A as a period made up of two six-measure phrases. But it is also possible that Chopin conceived this unit (A) originally as an 8-measure phrase and extended it by interpolation, mm. 7-10 being the added material. Try playing the melody again, connecting m. 6 directly to m.ll.


91

Parts Two and Four (B and C) are also subject to more than one interpretation regarding phrase structure. Melodically, Part Two divides clearly into two parallel segments of four measures each, and there is a very slight melodic pause in the fourth measure (m. 28), giving some sense of phrase division. But there is little or no sense of harmonic cadence at m. 28, which is simply one sub dominant chord in a series of alternating tonic and subdominant measures. The strong cadence at m . 32 solidifies the section and gives credence to the notion that Part Two is a single, independent phrase. Part Four (C) displays a haunting use of the so-called gypsy minor scale, played satta voce. The same factors that rendered Part Two's phrases ambiguous are at work here: parallel melodic four-measure phrases marked by a slight pause (m. 48), but no sense of harmonic cadence. Ironically, a phrase division is heard more strongly this time, despite the fact that there is no chord change at all! The reason lies in the complete halt in the melody on the half note (m. 48); by way of contrast, the eighthnote pickup in m . 28 helps keep the music flowing. Nonetheless, musicians who perceive phrases only when there is harmonic motion will hear this as a single eight-measure phrase. Let us consider yet another approach. Each part of this composition poses several somewhat blurred options for describing the phrase and period structure. This is due in large part to the exotic qualities of the music. Chopin has spiced his mazurka with piquant scales, static harmonic movement, and biting nonharmonic tones. Often when we perceive a melodic phrase, the harmony fails to cooperate. Perhaps this divergence is the key: there are instances in this composition in which melody and harmony are moving on separate planes. In post-Romantic music, where such situations arise frequently, we would, more often than not, depend on the melodic phrasing to guide us in analysis and in performance. Should this not also be the case with this beguilingly colorful piece? We have discovered in the Chopin Mazurka a five-part form with two dissimilar areas of contrast. Sometimes the second contrasting part is a varied form of the first contrasting part. The Chopin Prelude, Op. 28, No. 17 exemplifies this pattern and can be diagramed with the letters A B A B' A. The letter B' ("B prime") indicates that the second I! is varied. For further analysis of five-part forms see the following works: Chopin, Mazurka, Op. 7, No.4 Debussy, "Serenade for the Doll," from The Children's Corner Schumann, Nachtstiick, Op. 23, No.4 Extension of the three-part principle does not often go beyond the fivepart design. The seven-part design A B A CAB A does occur frequently in the classical period as a rondo, but there are factors that distinguish the rondo from the simple part forms, as we shall see in the following sections and in Chapter 6.

CHAPTER 4

92

VI. SIMPLE PART FORMS AS INTERNAL UNITS So far we have concentrated on complete compositions consisting of from one to five parts. Larger structural designs such as the composite part forms, variation forms, and rondo frequently contain simple part forms as internal units which, if extracted, are capable of standing alone. To provide a perspective of this important role played by the simple part forms, we will take a quick look at the structural principle for each of these larger designs.

In the composite part forms, at least one, and often all, of the parts are in themselves simple part forms. The minuet and trio movement of the classical symphony exemplifies one frequently encountered composite form. Both the minuet and the trio are normally complete and self-contained simple part forms, but the entire movement consists of the minuet, the trio, and a return of the minuet. The theme and variations is based on the immediate repetition of a structural unit, normally a simple part form, with variation applied to each "repetition." Ex. 3-12 illustrates a theme in simple three-part form which serves as the basis for a set of variations. The rondo is based on the delayed repetition of a "principal theme" following areas of digression throughout the form. The principal theme is generally cast in a simple part form. The use of the simple part forms in these larger structures is amply illustrated in subsequent chapters. We have already seen that a period frequently constitutes a part in a part form. The opposite may also be true: it is possible for a miniature part form to exist within a period. A three-part form is clearly discernible in the three-phrase period shown in Ex. 4-12: Phrase 3 is an almost exact repetition of Phrase 1, and Phrase 2 provides a brief digression.

Haydn, Capriccio

EXAMPLE 4-12

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Analogies may also be drawn between one-part and two-part form and the phrase relationships within some periods, but perceptually they are less obvious than those having three-part relationships.

VII. SIMPLE PART FORMS IN VOCAL MUSIC In Chapter 1, the first part of a three-part song, Widmung by Schumann (Ex. 1-22), was used to illustrate the cumulative effect of several melodic peaks in creating a melodic climax. An examination of the entire song reveals a three-part structure. The composer's choice of this form was only natural, since the poem itself is in this form: three stanzas, with the third being a repetition of the first. A 1st stanza

B 2nd stanza

C 3rd stanza

The Schumann songs Schone Wiege, Op. 24, No.5 and Die Kartenlegerin, Op. 31, No.2 exemplify the extension of the ternary principle to include two areas of contrast. The diagram below shows how the seven stanzas of Schone Wiege are set in the musical framework. A 1st and 2nd stanzas

B

3rd stanz~

A 4th stanza'

C , 5th and 6th stanzas '

A

7th stanz~

The six stanzas of Die Kartenlegerin are set in the following manner: A 1st and 2nd stanzas

B 3rd stanz~

A 4th stanza'

C , 5th stanz~

A 6th stanz~

One can see from the above examples that the number of stanzas in a poem does not necessarily indicate the number of parts in the composition. Another method of setting a text involves repeating the same music for each stanza. This kind of treatment is referred to as strophic. The following example illustrates a two-part musical form which is repeated for each stanza:

94

CHAPTER 4

A

B

:11

1st stanza ----------------2nd stanza - - - - - - - - - - - - - - - -3rd stanza ----------------4th stanza -----------------

Practically all folk songs and hymns as well as numerous popular songs and art songs are strophic. Often, the music of a strophic song is notated on the page just once with the stanzas written either directly beneath the music or on an adjacent page. In art songs the repeats are sometimes written out for each stanza in order to accommodate minor changes or embellishments. Sometimes strophic treatment is applied only to certain stanzas of a song. Schubert's Die Forelle, Op. 32 is a rounded two-part form in which the first two stanzas are set strophic ally to the music of Part One, while the third stanza is set to the music of Part Two. :11 B

A

:11

(b

1st stanza ---------2nd stanza ----------

a)

3rd stanza --------

In strophic art songs, the repeated unit of music is often a two-part form; occasionally a one-part form, and only rarely a three-part form. There is usually no need for recurrence within the musical structure, since the whole is unified through constant repetition. For example, of the 20 songs in the cycle Die Schone Miillerin by Schubert, nine are strophic. Of these, one uses a one-part form for the stanza, four use two-part forms, and three use rounded two-part forms. The text of one of the songs, Triinenregen, comprises three four-line stanzas and a couplet (two lines). The three stanzas are sung strophically to a two-part musical form (A B), but the couplet that closes the poem is set to a written-out variation of A. Thus, the overall design is ternary, with the first two musical parts repeated strophically: ,--------------------., ,.--------------------., A

B

:11

1st stanza ----------2nd stanza ----------3rd stanza -----------

A' (varied)

II

couplet-- ----- -----

Strophic songs sometimes include a refrain 9-one or two verses of text that recur at the end of each stanza. The music of the refrain usually contrasts to some degree with the music for the stanzas. The

9. The refrain is sometimes referred to as a chorus, as it is often the practice in choral music for a soloist to sing the stanzas, and the chorus, the refrain.


95

accompanying diagram illustrates a strophic song based on one-part form with refrain. :11

A

1st stanza - - - - - - - - - - 2nd stanza ----------3rd stanza -----------

refrain--- - - - -refrain- - - - - - -refrain---- -- --

Strophic treatment of musical material is found almost exclusively in vocal music. It is the progress of the text that lends a sense of forward momentum and direction to the whole; in purely instrumental music, constant repetition in the strophic manner is pointless. The instrumental variation forms, which bear a strong macrorhythmic similarity to strophic treatment, depend for their success on the musical growth that takes place over the course of the whole set of variations. If such a musical growth is weak or lacking, the strophelike repetition can become monotonous. Another common approach in vocal music is to compose new music for each stanza of verse. The resulting music is called a through-composed song. lO From a formal point of view, the strophic and through-composed approaches are diametrically opposed. Strophic: Through-composed:

B

A

A

B

:11

c

D

etc.

Strophic treatment is often suitable for texts of a lighter nature. The through-composed approach-in which many art songs, recitatives, and arias are cast-is effective for more dramatic texts in which the mood or situation changes frequently. The Erlkonig by Schubert is a good example. Goethe's eight-stanza poem depicts a father and his child, riding against death. Schubert achieves a sense of forward motion and unifies the piece in a single stroke by adopting an unrelenting triplet accompaniment pattern. Over this energetic accompaniment he lets the drama unfold in a musically through-composed fashion. As the chart in Ex. 4-13 demonstrates, the only music that recurs is Part D (in the fourth, sixth, and seventh stanzas). The D material is both transposed and modified in the latter two stanzas.

10. The through-composed procedure is sometimes used in instrumental music, but the term through-composed is generally limited to vocal music. Although the music for a single stanza in a through-composed song may be a small part form, the song as a whole is not identified as a part form, but simply as a through-composed song.

96

CHAPTER 4

EXAMPLE 4-13

Schubert, Erlkonig analysis chart

Stanzas:

: 1st I

I I I I I

i

Cadences which conclude stanzas:

3rd

I I

I I

5th

:I 6th

: 7th

I

I

: 8th

I I

I~m

I I I I I I

I

I

I

I

I I

I I

I I

I I

I I

I I

I I

PA:

IA:

PA:

PA:

PA:

PA:

PA:

I I I

C

I I I I I

4th

I I I I I I

I I I I I I I I I I

I I

B

I

Tonalities in relation to Cminor:

2nd

I I I I I

Intro. :I A

Material:

I I

D

I I I I I I I I

~

E

: D'

I

:F

:c

I I I

I I I

: (varied): (f d') : I I I

I-IV ~ ii -+-v"'---" i ...---.. I I I I

PA

The bottom line in the diagram in Ex. 4-13 shows a strong cadential punctuation for each stanza. But the momentum never lets up, thanks to the incessant motion of the accompaniment and to the links and transitions that connect stanzas. An ominous-sounding bass motive appears in the introduction and first two stanzas. By bringing this motive back in the last two stanzas, Schubert enhances the effects of unity and completion.

EXAMPLE 4-14

3

!>:&Ize

Schubert, Erlkonig, mm. 2-3,4-5, etc.

3

~r ~ I J

VIII. THE CONNECTION OF PARTS We have seen that the form of a piece is delineated largely by the harmonic and rhythmic punctuation separating successive units, whether they be phrases, periods, or parts. The articulation between the two parts of the baroque dance movements is generally marked both by strong cadential punctuation and by rhythmic pause in all voice parts. This decisive punctuation, plus the immediate repetition of each part, results in a highly sectionalized structure. In three-part form, where the traditional two-part repeat scheme is often retained, an equally strong punctuation usually separates the first and second parts. But between the second and third parts (where the forward motion is not interrupted by a repeat sign), a less conclusive cadence as well as some sort of continuous rhythmic motion is frequently used.


97

Sometimes a composer wants to increase the sense of continuity between the first and second parts of a three-part composition. In his Intermezzo, Op. 76, No.7, Brahms provides two endings for the first part: one to lead us smoothly back to the head of Part One, the other to lead us on to the beginning of Part Two. Ex. 4-1S(A) shows the beginning of Part One, and Ex. 4-1S(B), the two endings for Part One.

EXAMPLE 4-15


A. Part One ~

p

B. Part One

Part Two

The continuous eighth-note motion-first in the accompaniment and then in the melodic motive-helps to create a smooth connection between each ending and the ensuing part. The nonharmonic tones heighten this sense of continuity; notice that the dissonances resolve at the precise moments when Part One returns (first ending) and when Part Two begins (second ending). Hence, the connection is by elision. Any of the methods used for connecting the phrases of a period may be used to connect parts in the part forms. The first two methods shown below are more common than the last three. (If necessary, review this topic in Chapter 3.) 1. Continuation of an accompaniment pattern or figuration 2. Continuous movement of one or more voice parts with an anacrustic function to the next part

98

CHAPTER 4

3. Link 4. Elision 5. Overlapping The skill with which composers create and vary the "seams" in their music plays a large role in making the music effective. Artful connection of formal units in a musical work heightens the illusion of forward motion, regulates the ebb and flow of that motion, and enhances the impression of unity. Thoughtful study of the art of connection offers many rewards for the musician.

Summary We have paid special attention in our study of the simple part forms to the formal functions of macrorhythm, the macro tonal plan, the relationship of motivic and thematic material among the parts, and the effects of immediate and delayed repetition. From a historical point of view, the emergence of three-part form from two-part form is a development which reflects the composer's desire to digress from an initial musical idea to an area of contrast and ultimately to unify the whole through delayed repetition. The following chart reviews the essential features of simple one-, two-, and three-part forms.

MACRORHYTHM

THEMATIC/MOTIVIC

MACROTONAL PLAN

DESIGN

One-part form:

The structure lacks sufficient punctuation or thematic constrast to divide into multiple parts.

A single theme or idea and a single texture usually predominate throughout.

Although modulation is possible, the tonal goals are usually expressed through the relationship of cadences within a single key.

Two-part form:

The harmonic and rhythmic punctuation divides the structure into two parts of either symmetrical or asymmetrical proportion.

The motivic material and texture are usually related throughout. The beginning of the second part often makes direct reference to (but is rarely identical with) the beginning of the first part.

The first part is most often open; the result is a continuous harmonic movement through the composition. Whether or not the first part is harmonically open, a three-part macrotonal plan usually underlies the two-part macrorhythmic structure.

Three-part form:

The harmonic and rhythmic punctuation divides the structure into three parts. Symmetry is expressed if the first and third parts are approximately the same length.

The musical material is ordered in the design of statement-digressionrestatement. The texture and motivic material mayor may not be similar throughout.

The second part is nearly always open. If the first and second parts are open, the harmonic movement throughout the composition is continuous. The three-part tonal plan is most common.


99

The unifying principle of recurrence can be expanded beyond the scope of three-part form. In four-part form, an additional part is included in the area of digression (A B C A); and in five-part form, a second area of digression plus an additional recurrence of A follows the initial three parts (A B A C A or A B A B' A). Repeats in the simple part forms, while valuable as unifying elements, are usually included as a matter of tradition, especially in music of dance origin such as the minuet. In determining the essential structural relationship of the parts of a composition, it is unnecessary to consider the repeats. Simple part forms occurring as internal units possess all the rhythmic, melodic, and harmonic characteristics of complete compositions based on part structure. Simple part forms occur frequently within the composite part forms, variation forms, and rondo forms. The period is normally the smallest unit capable of expressing the features of part construction. Part forms occur frequently in vocal music. The strophic and throughcomposed approaches to composition, although quite different from each other, are most often associated with vocal music The separation of consecutive parts by a complete cadence and pause results in a harmonically and rhythmically sectionalized structure. When a greater sense of continuity is desirable, some sort of rhythmic motion is generally maintained between the parts. Parts may be connected in the same fashion as the phrases of a period.

ASSIGNMENTS 1. No.1 in the Anthology, Chopin, Prelude, Op. 28, No. 20 is a one-part form. Analyze it, indicating cadences, phrases, and periods or other phrase groupings. Make note of parallel/ contrasting construction and of factors that contribute to unity and variety within this small form. Other examples of one-part form you may wish to examine include: Bach, Well-Tempered Clavier, Vol. 1, Preludes 1, 2, 5, 10, 11, 12, 15, 18,20 Chopin, Preludes, Op. 28, Nos. 1-6,9, 10, 18; Etude, Op. 25, No.9 2. The following questions refer to Examples 4-3, 4-4, and 4-5. A. Which of these three musical examples are rhythmically

symmetrical? Which are asymmetrical? B. In what key (relative to the tonic) does Part One of each example end? C. Which are based on a three-part macro tonal plan?

D. In which is Part One harmonically closed? Which are harmonically continuous?

100

CHAPTER 4

E. In your own words, discuss other factors which create unity, variety, and a sense of forward motion in each of these examples. 3. Analyze the "menuetto" section of the third movement of Mozart's Eine kleine Nachtmusik (Anthology, No. 15). Indicate all cadences, phrases, periods, and parts. What is the form of this section? 4. Analyze the following example of two-part form, indicating parts, phrases, and cadences. Then answer the questions following the example.

Mozart, Symphony, K. 1 7

Menuetto

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A. This menuetto begins and ends in B-flat major. In what key does

Part One end? Is this work harmonically continuous? B. Examine the phrase lengths and the lengths of the two parts. Is this two-part form symmetrical or asymmetrical?

:


101

C. Does this minuet exemplify rounded two-part form? Explain your answer. 5. Analyze Anthology, No. 3, Tchaikovsky, Mazurka, Op. 39, No. 10. Indicate cadences, phrases, periods, and parts, plus any transitional materials or codas. Use capital letters to refer to the parts of the composition. (Lowercase letters may be used at the phrase level if you wish.) 6. Analyze Anthology, No. 5, Mendelssohn, Songs Without Words, Op. 67, No.4. Follow instructions for No.5 above. 7. You may have analyzed phrases, periods, etc., in Anthology, Nos. 2 and/ or 11 ("theme" only) as part of an earlier assignment. If so, reexamine them now and determine the form. Then analyze the Scherzo portion of Anthology, No.6, the third movement of Beethoven's Quartet, Op. 18, No. 1.

INTERLUDE

AUXILIARY MEMBERS •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

I do not know which to prefer, The beauty of inflections Or the beauty of innuendoes, The blackbird whistling Or just after. Wallace Stevens, "Thirteen Ways of

Looking at a Blackbird"

Henry Moore, Reclining Figure, 1939, Wood, elm, carved, 37 in. x 6 ft. 7 in. x 30 in. © The Detroit Institute of Arts, Gift of the Dexter M . Ferry, Jr. Trustee Corporation .

102

AUXILIARY MEMBERS

103

"Carl, where are you?" "Up here, Mom, in the tree." In the tree? We would all say it that way, even though we know that Carl is not physically in the tree-in its trunk, or a leaf, or a stem. He is not really in any physical part of the tree. He is sitting on a limb, munching an apple. But we all agree Carl is "in the tree." In what sense is this true? He is within the little world created by the tree's limbs and leaves, enjoying some of its space. The space "enclosed" by the tree becomes part of our concept-our experience-of the tree. Visual artists would say Carl is in the tree's negative space. When we walk around a Henry Moore sculpture, we are intrigued almost as much by the spaces bounded by and enclosed in its form as we are by the masses of the sculpture itself. The negative spaces are an integral part of the work of art. First of all, they are a necessary part of the shaping process itself, the spatial "leftovers," as it were, from the formation of the positive elements of the work. Second, these "leftover spaces" take on positive visual aspects on their own. As an example, an opening in a Henry Moore sculpture becomes in itself an interesting shape that attracts our attention on its own merits. Musical form also involves what might be called "negative space." Composers generally can't be involved with the thematic process one hundred percent of the time. The thematic elements need to be surrounded in time by supporting "spaces": introductions that prepare the musical atmosphere, transitions that shape the relationships of the music's internal landscape, and codas that create a sense of completion. Often these elements-usually referred to as auxiliary members-play an important role in creating uniqueness and charm in a musical work, much like the open space does in the Henry Moore sculpture. Consider, for example, this jewel from Mozart's 40th symphony (see Ex. 1-1):

INTERLUDE

104

EXAMPLE 1-1

Mozart, Symphony No. 40, I, mm. 160-166

Molto allegro

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The delightfully unpretentious counterpoint of the upper winds, over a dominant pedal in the bassoons, sets up one of the most important events of the whole movement: the arrival of the recapitulation. The return of the beginning theme itself is a source of genuine satisfaction for the listener, but how that sense of satisfaction is increased by the tantalizingly beautiful transition that prepares us for it! The types of musical activity that make up the "negative space" of music fall easily into three categories: those that occur at the beginning, in the middle, and at the end of musical movements or sections. We shall briefly examine each in its turn.

I.

BEGINNINGS Introductory musical material can be divided into three categories: 1. Simple introduction

2. Independent introduction 3. Introductory movement

Simple introductions set music in motion before the thematic material begins. Often the accompaniment pattern simply begins "early," preparing the listener for the tempo and mood of the ensuing theme. Here is an example:

AUXILIARY MEMBERS

EXAMPLE 1-2

105

Schumann, Helft mir, ihr Schwestern

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L..J r ~ -== r J

r

Simple introductions of this sort abound in compositions of all sizes, a fact that can be readily verified by citing several well-known examples. Widmung by Schumann is 45 measures in length and begins with a onemeasure simple introduction. By contrast, the first movement of the Mendelssohn violin concerto runs to 528 measures; yet it, too, begins with a simple introduction consisting of the accompaniment pattern, a mere one and one-half measures in length. An even more startling instance of a miniscule simple introduction is found at the outset of Mozart's Symphony No. 40. The one and a half beats of accompaniment that precede the entry of the melody in the violins is so tiny that it can hardly be called even a "simple introduction." But the effect would be totally different if the violins commenced without those one and a half beats of preparation: their introductory function is inescapable.

Independent introductions go to greater lengths to set the stage for thematic presentation. Compared to simple introductions, they are generally longer and harmonically more diverse. They may include thematic material of their own. Following is an excellent example.

INTERLUDE

106

EXAMPLE 1-3

Andante sostenuto

Mendelssohn, Songs Without Words, Op. 19, No.6, "Venetian Boat Song"

-===

sf ====~

__

p

"1

r

"1

r

"1

r

r Besides being a complete harmonic phrase, this seven-bar introduction includes a significant melodic fragment, and even has its own "simple introduction" in the first two measures. It establishes both the accompaniment pattern and the tempo. Independent introductions attached to large works are often in a slower tempo than that of the main body of the piece. In addition, they may themselves consist of phrases, periods, and sections. In music of the eighteenth and nineteenth centuries, such introductions almost invariably end on the dominant, preparing the way.for the arrival of the tonic and the movement proper. Introductions of this type playa large part in setting the dramatic stage of the listener's consciousness. Often they raise expectations that something significant is about to take place, inviting the listener to become a part of the composer's aesthetic sound world. Among the multitude of such instances, we will mention just four masterfully composed examples (in each case, the first movement): Mozart, Symphony No. 39 Haydn, Symphony No . 104 Beethoven, Symphonies Nos . 1 and 9 Brahms, Symphony No . 1 Large-scale, multisectional works such as cantatas, oratorios, operas, and some suites generally begin with a complete, independent movement which serves an introductory function. Terminology varies, but in general

AUXILIARY MEMBERS

107

cantatas begin with sinjonias, operas and oratorios with overtures, and suites with preludes. 1

II.

CONNECTIONS The function of transitions is obvious from the name itself. Transitions may be short or long, simple or complex, modulatory or nonmodulatory according to the situation posed by the musical materials to be connected. In general, the frequency of use and the size of transitions is proportional to the overall size of the musical form involved. In other words, there is a greater need for transitional connections in the larger forms, such as rondo and sonata, than in the simple part forms. We have already encountered a number of transitions. In Chapter 4 we examined a minuet by Haydn (Ex. 4-9) that used short transitions to connect the successive parts in the ternary form. Both transitions (mm. 9-10 and 28-31) "grew out" of the preceding material as transitional extensions. This is a very common procedure. In Ex. I-I, Mozart's transition grows out of the preceding material also. But the material from which it grows is itself derived from the main theme, and its use in the transition whets the listener's appetite for the return of that theme. In the passage below, the second phrase begins like the first, but then breaks into an unexpected harmonic sequence.

Beethoven, Sonata, Op. 2, No.2, III, mm. 20-34

EXAMPLE 1-4

1\

I I

jj

Allegretto I First Phrase ,...-...

II 20

:

~

'l

:

II

~

:

22

21

-

23

24

---,..

- I

I #.JJ~ I.J jj #~#~#~

.~jj.#

•

"

I

Second Phrase ,...-... 25

. .

/'

• jj

#~.~ ~ jj .~#~.~

L

jj

II

26

fi

.. I

.

tJ.Ja:

28 ..

27 I

.

t-

~:

----.

1 1 '--"'

I

.

:g:: .

i i

30

29 I

.

t-

£

'1 1 '--"'

. I

----.

.

~:

.

i i

----.

31

P""

.

i i

r--

32

33

Part Three

#~#

t

n.

: I

1. There is great variety in the application of names to introductory movements, especially in the baroque period. Our list is intended only to provide a general perspective; a more complete study of the subject would constitute an extensive project. It should be mentioned that after the first act of an opera, subsequent acts are often preceded by introductory music variously called prelude, entr'acte, or, occasionally, intermezzo. For more on the prelude, see under "postlude" in Section III of the current chapter.

108

INTERLUDE

The extension of the second phrase functions as a modulatory transition, preparing the listener for the return of the home key of A major. The effect of the pause after the dominant seventh and before the tonic chord that begins the next part is often referred to as a broken cadence. When parts are connected by transition, the first part often reaches no perceptible ending, but simply "becomes" transitional-a situation similar to the disguised ending studied earlier. In such instances, the ensuing part is delineated largely by its contrasting nature. In rare instances, both the ending of one section and the beginning of the next are disguised. In compositions based on a single figuration patternnotably the perpetual motion type-this disguising of beginnings and endings sometimes blurs the move to B in a three-part form. It is not until the harmonic preparation and return of the very beginning of A are heard that the listener-in retrospect-realizes that there has been a contrasting part. Some such works have found their way into the repertoire as brilliant concert pieces. Some examples are listed below. Bach, Well-Tempered Clavier, Vol. I, Prelude No.3 Chopin, Etudes, Op. 10, Nos. I, 2, 4, 5; Op. 25, Nos. I, 8, 11, 12 Chopin, Preludes, Op. 28, Nos. 8, 16, 19

III. CONCLUSIONS The coda (Italian for "tail") is an auxiliary member that underscores the effect of conclusion at the end of a composition. As one might expect, the size of a coda is often proportional to the size of the work of which it is a part. In the large forms, especially sonata form, the coda may include developmental or even new material and become quite lengthy. The example below shows the coda that concludes the minuet studied earlier (Ex. 4-10). This coda, which lengthens the last phrase through cadential extension, startles us first by delaying the expected tonic, then increases the weight of the final cadence by dwelling on the cadential six-four chord for four measures (mm. 43-46).

EXAMPLE 1-5

Coda -------------

Menuetto 38 r.

!


r.

39

M

42

40

ff

m:

16

jj6

vjjd~ 2

I:

AUXILIARY MEMBERS

45

109

46

-------------,

v

Codas may also occur at the ends of sections within compositions. When an internal coda is small, it is sometimes called a codetta (literally "little tail"). The term is also useful for referring to the final section of a long coda, when that final section itself seems to function as a "coda to the coda." The term postlude is sometimes applied to a rather special type of appendage at the end of a composition. It differs from the coda in that it does not function as an essential unit of a composition; rather, it is more in the nature of an epilogue which occurs after the composition has reached a logical conclusion. Sometimes a passage that serves as a postlude also occurs at the beginning of a composition as an introduction. When this is the case, the terms prelude and postlude are sometimes used. 2 Among the compositions containing a prelude and postlude are Till Eulenspiegel by Richard Strauss and the Intermezzo, Op. 76, No. 7 by Brahms.

ASSIGNMENTS 1. Examine movements or short works you are studying (or are familiar with from the past) with an eye to identifying the auxiliary members. Then answer the following questions: A. Are the introductions simple or independent? Are there any

"internal introductions" at the beginnings of parts or sections? (You are more likely to find these in the larger forms, which we will study in future chapters.) B. Which of the transitions are (1) modulatory, (2) nonmodulatory?

Which are extensions of the previous material? Which follow cadences (deceptive or otherwise)? C. Does the work or movement end with a coda? How can you tell when the coda begins? Are there any codettas at the ends of sections or parts?

2. After completing Assignment 1, choose one of the pieces that you find most interesting and make an outline showing which measures make up the "negative space" (introductions, transitions, codettas, and/ or codas). What proportion of the total work is involved in these auxiliary members?

2. The use of the terms prelude and postlude in this context should not be confused with complete compositions bearing these titles.

110

INTERLUDE

3. Based on Assignment 2, state how you think the auxiliary members contribute to the effectiveness and uniqueness of the work. Do the auxiliary members A. Clarify the form, or make it more obscure?

B. Draw attention to themselves?

C. Heighten the effectiveness of the thematic material? D. Increase the senses of climax, recurrence, and the like? 4. If time permits, prepare a performance of the work that takes into account your conclusions as expressed in Assignment 3. Your teacher and fellow students may comment on the clarity and effectiveness of the form as revealed by your performance.

CHAPTER

5

Composite Part Forms • • •

•

•

•

•

•

•

• •

•

•

•

•

•

•

•

•

•

•

•

•

•

Let us inspect the lyre, and weigh the stress Of every chord, and see what may be gained By ear industrious, and attention meet. John Keats, liOn the Sonnet"

In Chapter 4 we examined a variety of simple part forms made up of from one to five parts. In the process we discovered the versatility of part construction. The composite part forms utilize simple part forms as building blocks for larger structures. At least one of the sections in a composite part form is in itself a simple part form.

I.

COMPOSITE THREE-PART FORM The most common composite design consists of three parts in the familiar ternary pattern of statement-digression-return. The composite three-part form is found consistently in both the minuet and the scherzo. For the present, let it suffice to say that the scherzo follows essentially the same structural plan as the minuet. By 1750 the minuet had become a regular movement in the symphony and certain other multimovement forms, such as the sonata, trio, and quartet. The minuet movement is usually located just before the finale. The complete minuet movement consists of a minuet, a trio, and a da capo repeat of the minuet. Both the minuet and the trio in this scheme are simple part forms (two-part, rounded two-part, or three-part) and are normally capable of standing alone as complete compositions. Most often this form is straightforward and clearly sectionat being relatively free of transitional material. The third movement of Mozart's Eine kleine Nachtmusik (Anthology, No. 15) exemplifies these characteristics on a small scale.

111

112

CHAPTER 5

When referring to the minuet movement of a classical symphonic or chamber work, the term minuet is generally understood to denote the complete movement consisting of minuet, trio, and da capo repeat of the minuet. But when the reference is specifically to the structure of the minuet as a composite three-part form, the term minuet and trio form is often used. The composite three-part design of a typical minuet is illustrated in the diagram below. The minuet's return following the trio is sometimes written out in order that minor alterations may be made. Note that the internal repeats are omitted in the restatement of the minuet. MINUET ~-----------.,

A

:111:

B

A :11

TRIO ,,------------, C :111: D C :11

MINUET (da capo) A

liB

All

(usually in a related Key)

The composite structure of the minuet originated in the baroque dance suites when it became customary to perform two different minuets in succession with the second minuet followed by a da capo repeat of the first. MINUET I

MINUET II

MINUET I (da capo)

The designation of trio for the middle minuet comes from the eighteenthcentury practice in orchestral and chamber works of writing the second minuet for a trio of instruments, often two oboes and a bassoon. The trio portions of minuets written for keyboard instruments during this same period are usually characterized by a similar thinning of texture. Mozart and Haydn increased the speed of the minuet and allowed the movement to take on a lighter character than that of the earlier minuet. In Beethoven's hands the minuet underwent more extreme changes. Beethoven often increased the speed to the point that we feel only one pulse per measure rather than the three that typify the slower minuets of earlier composers. The result is a more energetic kind of music characterized by duple measure grouping. Beethoven retained the formal plan of the minuet but called the movement scherzo (Italian for "joke"). Beethoven's scherzos often exhibit robust humor, a sense of surprise, and vigorous rhythmic patterns involving syncopation. The scherzo, like the minuet, contains a trio that normally contrasts thematically with the scherzo. The trio may also be in a different key and/ or mode. Again, the main sections-scherzo and trio in this caseare themselves simple part forms. Thus the minuet and scherzo forms are essentially identical. SCHERZO A

:111:

B

SCHERZO (da capo)

TRIO A :11

C

:111:

D

C :11

(related key)

A

liB

All

COMPOSITE PART FORMS

113

The scherzo of Beethoven's String Quartet, Op. 18, No.1 (Anthology, No.6) demonstrates the pattern diagrammed, but the actual details of the form are much more involved than the simple diagram implies. Familiarize yourself with the score; then study the diagram and discussion that follow (Ex. 5-1).

EXAMPLE 5-1

TRIO fminor

SCHERZO FMajor A 1-10

:111: B

A

11-29 37-50 29-36

Coda I :111; C

51- 85 64-78

86-101

transition surprise appearance of "A"

:II D

SCHERZO

D.C.

r--------.

C

transitional II extension

102-114 118-130 130-145 114-117 end of extension link

elides with return

Beethoven toys with our temporal anticipations by including sizable transitions and codas, altering in the process the expected proportions of the form. He surprises us further by returning the head of A in the coda of the scherzo. This return has the immediate effect of a second restatement, but since the preceding passage (beginning in m. 51) is clearly in the nature of a coda and since the A material proceeds in a new direction, the coda effect wins out in the end. Interestingly, the climax of the scherzo comes in this passage. The scherzo examined above is an admirable example of variety within unity. Numerous motives appear in various places in the form, serving different functions at different times. For instance, the material with which the trio begins appears earlier as a cadential extension in the scherzo (mm. 25-29). This anticipatory use of material destined for a more important role later on in the form illustrates a typically Beethovenesque method of introducing contrast while contributing on a larger plane to an integration of the scherzo and the trio. Just as the simple part forms are often lengthened through the repetition of parts (a :11 b a; a II: b a :I~ or a :11: b a :11), the composite three-part form may be expanded in a similar fashion. In the scherzi of his fourth and seventh symphonies, Beethoven extends the movements by repeating the trio and scherzo1:

1. The last occurrence of the scherzo in the fourth symphony is abbreviated. Another example of the repeated trio occurs in Beethoven's Bagatelle, Op. 33, No. 7.

114

CHAPTER 5

SCHERZO

II:

TRIO

SCHERZO :11

Although repetition such as this lengthens a movement, it does not alter the essential three-part structure. The composite three-part form as exemplified in the minuet and trio movement of classical symphonic and chamber works was frequently adapted to compositions that are neither minuets nor scherzos. Stylized dances such as the waltz, mazurka, and polonaise are frequently based on a thematic design comparable to that of the minuet and trio. Many examples of minuet and trio form can also be found in compositions that are not dancelike in character. One such example is the Impromptu, Op. 142, No.2 by Schubert. Schubert's labeling of the middle part as "trio" indicates that he was consciously employing the scheme of the minuet and trio. The trio of this composition, however, bears no resemblance to the trio in its earlier connotation. The following compositions are based on the composite three-part design. 1. Schubert, Impromptu, Op. 142, No. 2 2. Chopin, Mazurka, Op. 7, No.2 3. Chopin, Polonaise, Op. 40, No.1 4. Brahms, Hungarian Dance, No.5 5. Grieg, Albumblatt, Op. 28, No.3 6. Beethoven, Bagatelles: Op. 33, Nos. 1-7; Op. 119, Nos. 1 and 3 7. Beethoven, Sonata, Op. 2, No. 2 (second mvt.) 8. Beethoven, Sonata, Op. 27, No.1 (first mvt.)

II.

COMPOSITE FIVE-PART FORM A. The Minuet/Scherzo with Two Trios We normally think of the minuet and trio form as a composite three-part form. But a minuet or scherzo is occasionally extended to include a second trio. The resultant composite five-part structure can be diagrammed as follows: MINUET

TRIO 1

MINUET

TRIO 2

MINUET

(Tonic)

(Contrasting key)

(Tonic)

(Second contrasting key)

(Tonic)

Examples of this form can be found in Mozart's Clarinet Quintet and in the Octet for Winds by Haydn. Schumann, having chosen scherzos with two trios for his first and second symphonies and his piano quintet, appears to have had a predilection for this form. Other nineteenthcentury examples include the "Wedding March" from Midsummer Night's Dream by Mendelssohn and the third movement of the Brahms Symphony No. 2.


115

Bach stretched the minuet movement of his Brandenburg Concerto No.1 to a composite seven-part structure by adding a second trio as well as a section entitled polacca. 2 Minuet

Trio 1

Minuet

Polacca

Minuet

Trio 2

Minuet

(A)

(B)

(A)

(C)

(A)

(D)

(A)

III. COMPOSITE PART FORMS IN VOCAL MUSIC It was pointed out earlier that part forms occur frequently in art songs.

The music of a strophic song most often follows a two-part or rounded two-part formal pattern; the pattern is then repeated for each stanza of text. Non-strophic art songs often follow a plan in which recurrence creates unity (A-B-A, A-B-A-C-A, A-B-C-A, etc.). The song literature also includes examples of composite part forms. Schubert's Der Muller und der Bach (The Miller and the Brook), Op. 25, No. 19 is a composite three-part form. The text of the song is especially well suited for a three-part formal design. In the first stanza the miller sings sorrowfully of the sad experiences of love. In the second stanza the brook responds to the miller and sings optimistically of the happiness love can impart once the sad experiences are forgotten. The miller then replies affectionately in the third stanza that the brook cannot know how love feels. The composite three-part pattern of the song is diagrammed below. SECTION 1 three-part form A

B

A

SECTION 2 three-part form

C

D

C

SECTION 3 one-part form A'

The aria is one of the most important vocal forms of the opera from the baroque period until the latter half of the nineteenth century.3 The baroque opera consists largely of arias and recitatives. For example, the opera Xerxes by Handel contains 49 recitatives, and 41 arias (including ariosos and ariettas). The remainder of the opera consists of an overture, a sinfonia, six choruses, and three duets. Most of the dialogue and action take place in the recitatives, which are more speechlike and less flowing than the arias.4 The arias represent lyric episodes which relax the tension of the drama. And whereas the recitatives are often fragmentary and are not intended to stand as complete movements, each aria is usually a

2. Polacca is the Italian word for polonaise, a festive Polish dance. 3. The aria also plays an important role in the baroque oratorio and cantata. 4. The text of the recitative is often set syllabically (one note to a syllable), and the rhythmic patterns and phrases are usually treated freely. In most recitatives the characters sing their declamatory lines above a rather sketchy continuo accompaniment.

116

CHAPTER 5

complete musical entity. The aria is usually accompanied by the continuoS (or thorough-bass) and several orchestral instruments. Many baroque arias are simple two-part forms based on a continuous harmonic plan (first part harmonically open, second part closed). From a purely rhythmic standpoint, the parts are not so clearly defined as they are in the dance movements of the baroque suites. In the first place, the parts are not repeated as in the dances; and in the second place, the cadence that terminates the first part is rarely accompanied by rhythmic pause in all parts. The division into two parts is created primarily by the strong sense of direction into the major harmonic goals. Unity is maintained through the consistency of texture and motivic design. During the latter half of the baroque period, the da capo aria reached its prime. This form consists of two somewhat contrasting sections. The da capo repeat of the first section following the second constitutes the third section. In many of the shorter da capo arias, each section consists of a single part, and the overall structure is a simple three-part form. In the larger examples, however, the first section usually comprises two parts and the second section, either one or two parts. The first section is usually a continuous two-part structure and a complete entity in itself. The second section, which is usually shorter than the first, often ends harmonically open and is frequently performed at a different tempo. The overall structure of this latter type of da capo aria has similarities with minuet and trio form, as the following diagram shows. SECTION 1 AB

SECTION 2 SECTION 3 C (Da capo repeat of first section) or AB CD

Most da capo arias contain several instrumental passages that punctuate the structure at various points. These instrumental passages are called ritornelli (singular, ritornello). As a purely instrumental passage, the ritornello introduces an element of contrast in the aria. But because the various ritornello passages are usually based on similar motivic material, they also serve to unify the aria. The first ritornello normally occurs at the very beginning of the aria and is usually based on the first few notes of the vocal part. The internal ritornelli usually occur at important structural points within the aria. Most da capo arias also close with a ritornello. Though the ritornelli throughout an aria usually bear some relationship to the opening ritornello, they often vary in length. "Se l'idol mio" from Handel's opera Xerxes (Anthology, No.7) typifies the form of the da capo aria. You will note that the accompaniment in this

5. The continuo or thorough-bass is a method that was universally accepted in the baroque period for indicating the accompanying parts with the bass line only. It consists primarily of numbers and accidentals beneath the bass line which indicate the harmonies to be filled in by the harpsichord player. The bass line is usually given added support by a cello or a viola da gamba.


117

aria is supplied by the continuo and two violins. The continuo of this example is unusual in that the composer supplied figures beneath only one bass note (m. 7). In such situations, it was the harpsichordist's responsibility to deduce the proper harmonic background from the upper parts. Today the continuo is usually realized and notated in advance of performance. The continuo is left unrealized in this example so that we can examine the essential features of the aria more easily. The eight-measure ritornello at the beginning of liSe l'idol mio" is based largely on the opening notes of the voice part. The location of the ritornello passages throughout the aria helps shape the material into clear structural units. We might be tempted to think of the internal ritornelli as connectors, but they do not usually function as tonal or thematic transitions. The parts and sections of the present example could follow one another just as well without the ritornelli; the presence of the ritornelli is not essential to the tonal and thematic framework. Their real purpose is to introduce an element of contrast at key points in the aria, punctuating the structure and clearly marking the larger units involving the voice. From a purely practical standpoint, the ritornelli give the singer brief moments to rest the voice. The manner in which the ritornelli return is somewhat analogous to the recurring refrains of a strophic song. The da capo aria represents one of the earliest forms in which the ternary principle of construction was established and consistently maintained. The overall three-part structure may be either simple or composite. The composite type is similar in its macrorhythmic structure to the minuet (or scherzo). Several basic distinctions between the form of the minuet and that of the da capo aria should be made clear, however. 1. The aria lacks the internal repeats that typify the minuet. An instrumental form, the minuet retains the traditional repeats of the dance, while the aria, a vocal form, derives from the recitative and follows the progress of the text. 2. The middle section of the aria differs from the trio in that it is

generally incomplete, unable for tonal reasons to stand alone. 3. Whereas each section of the minuet (minuet, trio, minuet) is frequently an internal three-part form, each section of the baroque da capo aria is usually a one-part or two-part form. 4. The use of recurring ritornelli in the arias of the late baroque period serves a unifying function. 6 While recurrence is a logical and necessary unifying element in instrumental music, the return to the mood and text of the first section in the da capo aria tends to retard the progress of the drama. In postbaroque opera, most composers rejected the idea of returning to the first section after the second. The two sections that remained underwent various changes but soon settled on a plan in which the first section was usually in a relatively slow tempo and the second, a faster tempo. 6. Ritornelli also characterize other compositional genres of the baroque period, notably, the concerto grosso. As new formal patterns evolved and the idea of the theme emerged early in the classical period, the ritornello rapidly became obsolete.

118

CHAPTER 5

Recurrence of internal parts in the aria "Non piu di fiori" from Mozart's La Clemenza di Tito accounts for a simple three-part form in the first section and a simple four-part form in the second section (Ex. 5-2).

EXAMPLE 5-2

SECTION I Larghetto

SECTION II Allegro

,------------,1

Material:

Intro.

A

B

,,---------------------,

A

Intro.

v

Keys:

CDC' IV

C

Coda

~III

A genuine through-composed procedure is used in Rossini's aria "Non piu mesta" from La Cenerentola. The first section consists of a single part (A), and the second section, three different parts (B, C, D). Each of the internal parts is unified by the immediate repetition of phrases and periods, and each possesses the characteristics of a one-part form (Ex. 5-3).

EXAMPLE 5-3

Andante Material: Keys:

Intro.

A

Allegro B

(Allegro) I

C (Meno allegro) I

D (Piu mosso) I

Though the second section of the aria diagrammed above consists of three parts (B, C, D), it lacks the sense of formal unity that characterizes true ternary form (A, B, A). It is more accurate to describe the second section as a through-composed unit consisting of three independent one-part forms.

IV. OTHER COMPOSITE PART FORMS The use of recurrence is a vital unifying element in all of the larger homophonic forms. Many composite part forms are based on plans other than the three-part types presented thus far, but practically all are founded on some manifestation of the ternary principle of construction: statement-digression-restatement. From the diverse possibilities in this category, we shall examine two: the waltz and the arch form.


119

A. The Waltz The waltz originated in the latter half of the eighteenth century and became one of the most beloved forms of concert and dance music in the nineteenth century. The precursor of the waltz is the Landler, an Austrian peasant dance in slow triple meter. The Lindler is usually based on a simple two-part or three-part form and is characterized by three rather heavy beats to the measure. Carl Maria von Weber, in his Invitation to the Dance, is credited with introducing into concert music the faster tempo, buoyant rhythm, and lilting melody that came to be associated with the waltz as it flourished in the nineteenth century. Most early waltzes were composed for the piano and written as pure dance music. Early in the nineteenth century, however, concert waltzes for either piano or orchestra became popular. Concert waltzes for piano were composed by Weber, Chopin, Liszt, Dvorak, and Brahms as well as by many other romanticists. Concert waltzes for orchestra are usually contained within larger works such as multi movement symphonic compositions (Berlioz, Symphonie fantastique), ballets (Tchaikovsky, The Nutcracker, The Sleeping Beauty), and in opera (Gounod, Faust and Wagner, Die Meistersinger and Parsifal.) The romantic tone poems Danse Macabre by Saint-Saens and the two Mephisto Waltzes of Liszt are examples of singlemovement concert waltzes for orchestra. La Valse, a dynamic singlemovement work by Ravel, is an extravagant manifestation of the waltz idea, almost a caricature. In the early part of the nineteenth century it was customary to compose a series of waltzes to be performed one after the other with no attempt at achieving unity in the overall structure. Weber introduced the unifying element of recurrence through the use of a rondo pattern in Invitation to the Dance. The work is further unified by the inclusion of a slow introduction and brief coda which are related motivically. Although no single formal plan was ever permanently established in the concert waltz, the principle of recurrence is usually present. Waltz themes are usually cast in well-defined phrase and period structures and are clearly contrasted with one another; identification of a waltz's thematic pattern should pose no special problems for the analyst. The formal plan invariably involves some arrangement of parts. For example, the "Waltz of the Flowers" from The Nutcracker by Tchaikovsky is a composite three-part form which corresponds basically with the usual minuet and trio pattern (Ex. 5-4):

EXAMPLE 5-4

Section 2

Section 1 Introduction

A

B

:11

C D C II

Section 3 A

B

Coda

120

CHAPTER 5

Other patterns are illustrated by the three waltzes of Chopin's Opus 34 (Ex. 5-5):

EXAMPLE 5-5

Section 1 No. 1:

A

B

Section 2

II

CDC B' II

Section 1 No.2:

No.3:

Section 3 A

Section 2

II: B C

A

A

B

D E

C

B

Coda

Section 3

:11

A

F

A

A

No.1 above is a composite three-part form comprising a waltz in A-flat major, a waltz in D-flat major, and a return of the first waltz. (B' is a transposition of B.) No.2 is also a composite three-part form, and No.3, a simple four-part form. As varied as these patterns may appear, the ternary principle of statement-digression-restatement is common to all three. Nineteenth-century Vienna was taken with a craze for the waltz. Joseph Lanner and the two Johann Strausses developed the so-called Viennese waltz, which-unlike the concert waltz-was intended for dancing. Viennese waltzes generally follow a singular formal design: a slow introduction in the nature of an orchestral prelude, a series of usually five different waltzes, and a lengthy coda. In addition, the individual waltzes are sometimes preceded by an introductory passage called an Eingang. Each of the waltzes is a simple part form; the entire composition is a composite part form. The chain of five waltzes illustrates the type of additive composition that creates movement and direction by the constant introduction of something new; there is rarely motivic expansion from within. Each waltz in the chain is simple, catchy, and easy to remember. Were it not for the coda which restates some of the waltz themes, the overall form would certainly suffer from diffusion. The straightforward, sectionalized structure of the Viennese waltz makes analysis a relatively simple matter. The Blue Danube Waltz (An der schonen blauen Donau) by Johann Strauss, Jr. is perhaps the most famous example of the genre.

B.ArchForm The diagram in Ex. 5-6 illustrates the general pattern and symmetry of an arch form. Note that the second half of the arch is a reflection of the first half and that both sections one and two (A and B) recur.


121

EXAMPLE 5-6

A

B

B

A

(Section 1

Sec. 2

Sec. 4

Sec. 5)

Familiarize yourself with the score of the Brahms Rhapsody in E-flat (Anthology, No.8), then study the diagram and discussion that follow (Ex. 5-7).

EXAMPLE 5-7

~

~

Sec. 1 (A) 60

Sec. 2 (B) 20

Sec. 3

A B A 20 20 20 E-flat major

40

Sec. 4 (B') 20

Sec. 5 (A') 85

C 20

0 E D' 16 8 16

C' 20

A' B' A 34 30 21

c minor

A-flat major

c minor

C major E~

(C)

.-----

Coda 25

E~ '---

Although the Brahms Rhapsody in E-flat consists structurally of five parts in an arch pattern, it is the three-part principle of construction (statementdigression-restatement) that permeates the entire form. Note the number of units that are ternary in form. Notice also the rhythmic symmetry within Sections One and Three and among Parts Two, Three, and Four. (The numbers in the diagram indicate the number of measures in each section or part.) The expansion of Section Five and the addition of a coda furnish the rhythmic and tonal weight needed to bring a work of this size and scope to a close. The tonal movement in this work is by thirds. The movement away from the tonic is down through the submediant to the sub dominant; the movement back to the tonic simply reverses this pattern. Thus the symmetry of the tonal design mirrors the symmetry of the thematic design (Ex. 5-8).

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CHAPTER 5

EXAMPLE 5-8

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------

Sec. 2

Sec.l~

Sec.3 ______

~

(C)

Sec. 4

(B)

(B')

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(A)

(A') I

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vi~VI/

One of the most remarkable features of this composition is its motivic construction. Each theme is based on its own characteristic motive, but all the themes are motivically interrelated. First let's look at the rhythmic shape of each theme's motive (Ex. 5-9).

EXAMPLE 5-9

Brahms RhapsodYt Op. 119, No.4, rhythmic motives

Section 1, first phrase of A, mm. 1-5

II

i

r

(J I

r

(J I

r

(J I (J

r Ir r

I

r

II

Section 2, first phrase of B, mm. 65-68

II

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r

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r

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Section 3, first phrase of C, mm. 93-95

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r r r r Ir r r r IF

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Coda, first phrase of first coda theme, mm. 237-242

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3

Ex. 5-9 shows only the rhythmic elements of the composition's motives. A motive can normally undergo extensive variation in its pitch element and still retain its identity if its rhythmic shape remains intact. Brahms has cleverly created a number of new motives by reshaping the rhythmic and melodic patterns of several short segments from the first theme, A. From each of these motives, he molds a different theme. The first and fourth phrases from A are shown below. The bracketed portions constitute the motivic sources of all other themes and transitions in the composition.

EXAMPLE 5-10

Brahms Rhapsody, Op. 119, No. 4, mm. 1-6 and 16-20

first phrase 0.J f1\ ~

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124

CHAPTER 5

fourth phrase

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A comparison of the Brahms Rhapsody in E-flat with the five-part Chopin Mazurka, Op. 7, No.1 (Anthology, No.4) which we analyzed in Chapter 4, will serve to point up some of the most striking formal features of the Brahms example. The Chopin example is a simple part form which includes two recurrences of A (A B A C A); whereas the Brahms example is a composite part form which includes recurrences of both A and B within an arch design (A B C B A). The mazurka is devoid of auxiliary members such as the introduction, transition, or coda. Four of the five parts are clearly punctuated by final cadences, and the three themes (A, B, and C) are essentially unrelated motivically. The resulting highly sectionalized form is dependent on the introduction of new themes for forward motion and growth, and on recurrences of the first theme for unity. Such music requires little mental participation from the listener. We might picture the sectionalized structure of the Chopin mazurka as a series of separate and unrelated units (Ex. 5-11).

EXAMPLE 5-11

~A~I~I_B~I~I_A~I~I_c~I~1_A~ In contrast to the Chopin example, the Brahms rhapsody is continuous in nature. Each theme expands from within through motivic development; all of the themes as well as the auxiliary members are related through motivic transformation; each section except the last is harmonically open; and several parts are connected by transitions. The continuous structure of the rhapsody is illustrated in Ex. 5-12. The wavy lines represent connective material (Ex. 5-12).


125

EXAMPLE 5-12

In the Chopin mazurka the five-part macrotonal structure creates a high degree of tonal unity. In the rhapsody, however, where the interrelationship of motivic material accounts for a high degree of unity, the composer is more venturesome about exploiting the effects of tonal digression. The rhapsody is based on a three-part macro tonal plan, but its single area of tonal digression ranges over some 150 measures and encompasses the submediant (both minor and major) and the subdominant tonal regions. Successive tonal relationships are at the interval of the third. As we conclude the study of simple and composite part forms, it is important to note the compositional types in which part forms are frequently encountered. Practically all folk music (vocal and instrumental) in Western cultures is based on simple part structure. The following outline includes compositional types of occidental art music which generally constitute simple or composite part forms: I. Individual movements of multimovement works A. Stylized dances from suites (both baroque and nineteenth century)

B. Minuet

C. Scherzo D. Slow movements of symphonic and chamber works E. Individual pieces from ballets F.

Pot-pourri overture

G. Individual pieces from sets of pieces with titles ("Carnaval," "Papillons," etc.)

II. Vocal A. Art song

B. Aria III. Single-movement works A. Character pieces

1. Bagatelle 2. Prelude 3. Etude

CHAPTER 5

126

4. Impromptu 5. Nocturne 6. Ballade 7. Fantasy 8. Rhapsody 9. Intermezzo 10. Capriccio 11. "Songs without words" 12. Pieces with titles ("Uebestraum") B. Dances (often considered character pieces)

1. Landler

2. Waltz 3. Mazurka 4. Polonaise 5. Polka C. March

Much twentieth- and twenty-first-century music is cast in the part-form mold. Within the domain of free tonality, tonal centers still serve an important formal function. With or without an underlying tonal plan, the parts in post-nineteenth-century music are usually delineated by their characteristic textural and motivic configurations, and often by thematic content as welL Numerous examples of part forms exist in the short piano works of Debussy, Prokofieff, Shostakovich, Bartok, Hindemith, Ginastera, Villa-Lobos, Chavez, and Schoenberg, to mention just a few. (Also, see the first two movements of Webern's Variations, Op. 27.)

Summary Composite part forms encompass a wide variety of formal plans in which at least one part is in itself a simple part form. The composite structure consisting of three main parts (A B A) is perhaps the most common type. The minuet movement of multimovement forms such as the sonata, quartet, and symphony is based on the composite three-part design minuet trio minuet (da capo repeat). The scherzo which replaced the minuet early in the nineteenth century follows the same formal pattern. The minuet (or scherzo) is occasionally lengthened by a repetition of the trio and minuet after the three main parts are stated (minuet II: trio minuet :11). In such cases, the essential three-part structure is retained. Sometimes, however, a second trio is provided, resulting in a five-part form (minuet, trio 1, minuet, trio 2, minuet). The composite three-part form as exemplified in the minuet and scherzo occurs frequently in nineteenth-century character pieces under titles such as intermezzo, impromptu, polonaise, and mazurka.


127

The composite three-part formal plan may also be seen in the da capo arias which played an important part in the operas, oratorios, and cantatas of the baroque period. The da capo aria comprises two major sections with a da capo repeat of the first after the second. In the composite type, the first section is usually a harmonically continuous two-part form. The second section is generally shorter than the first, often comprising just one part. The second section may also contrast tonally and in tempo with the first. The major sections as well as the internal parts are often punctuated by instrumental interludes called ritornelli. The use of the da capo aria declined rapidly after the baroque period. Many of the arias of the classical and romantic periods retain the two sections, the first being relatively slow and the second, faster. The internal structure, however, is often treated with much greater freedom than in the earlier da capo aria. The Viennese waltz illustrates still another manifestation of composite part structure. The slow introduction is followed by a chain of waltzes. Each waltz is usually in simple two-part or three-part form, and each is usually terminated by a complete cadence and separated from the ensuing waltz by a brief pause. The result is a highly sectionalized structure. The lengthy coda that terminates the Viennese waltz provides the necessary unifying force of recurrence by recalling material from the waltzes.

Arch form with its mirror design (A B C B A) allows for the recurrence of two sections (B and A). Our analysis of the Brahms Rhapsody in E-fLat revealed an expansive work in which virtually all of the parts, transitions, and coda are intrinsically bound to each other through their close motivic relationships. One of the chief purposes of this text is to present methods of gaining insight into the formal elements of a variety of frequently encountered compositional types. Many of the composite part forms are clearly sectional and relatively easy to analyze. But knowing just one minuet or character piece or aria gives only very general information about these genres. The musician must probe beneath the surface of each work he or she studies with a keen eye for discovering its unique formal properties. Meaningful musical interpretation depends to a great degree on insights gained from such study.

ASSIGNMENTS 1. Analyze the form of the third movement (Menuet and Trio) of Mozart's Eine kleine Nachtmusik, (Anthology, No. 15). Use capital letters to indicate the parts of the part forms. Show keys and cadences. What form is exhibited by the minuet? by the trio?

2. The form of the scherzo from the Beethoven Quartet, Op. 18, No. 1 (Anthology, No.6) is analyzed in the text. Analyze other factors in the movement as indicated by the following questions. A. Is Part One (A) of the scherzo harmonically open or closed? Part Two (B)? Part Three (A)? Answer the same questions for the three

parts of the trio.

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CHAPTER 5

B. The cadence chord of Part Two of the scherzo elides with a transition that is based on a four-note motive. What is the original source of this motive? (Indicate the measure numbers in which the motive first appears and also the instrument which plays the motive.) C. The climax of the scherzo is reached in the coda. Discuss the elements that contribute to the buildup of tension in the coda. 3. The general characteristics of "Se l'idol mio" from Xerxes by Handel (Anthology, No.7) are discussed in the text. Play the aria (melody only, if necessary), then proceed as follows. A. Bracket and label the beginnings of the various sections, parts,

ritornelli, etc. What are the forms of Sections One and Two? B. Indicate the keys in which the sections and parts begin and end. Tell which sections and which parts are harmonically open and which are harmonically closed. C. Using measure numbers, describe how each of the internal ritornelli and the closing ritornello relate to the opening eightmeasure ritornello. 4. Choose a composite three-part form from the list below for analysis. In these works the composite parts are not named as they are in a menuet or scherzo with trio; you may identify them as Section 1, Section 2, etc. As before, mark the beginnings of parts with capital letters; indicate the forms of the main sections; indicate the keys of parts and sections, and note which endings are harmonically open/ closed; identify transitions, codas, etc. Schubert, Impromptu, Op. 42, No.2 Chopin, Mazurka, Op. 7, No.2, or Polonaise, Op. 40, No.1 Brahms, Hungarian Dance, No.5 Grieg, Albumblatt, Op. 28, No.3 Beethoven, Bagatelles: Op. 33, Nos. 1-7; Op. 119, Nos. 1 and 3 Beethoven, Sonatas, Op. 2, No.2, 2nd mvt. and Op. 27, No. 1, 1st mvt. 5. Analyze one of these minuets or scherzos with tWo trios: Mozart, Clarinet Quintet, Minuet Haydn, Octet for Winds, Minuet Schumann, Symphony No.1, Symphony No.2, or Piano Quintet, scherzi Mendelssohn, Midsummer Night's Dream, "Wedding March" Brahms, Symphony No.2, Allegretto grazioso (Quasi andantino) 6. The general characteristics of Rhapsody, Op. 119, No.4 by Brahms (Anthology, No.8) are diagrammed and discussed in the text. The material below is intended to assist further examination of the motivic structure of this work. Do those items indicated by your teacher.


129

A. Ex. 5-2 in the text identifies the basic motives of the work as they appear in the first and fourth phrases of Section 1. Below is the first motive, notated isorhythmically. Notate Motives 2-5 in the same manner.

"

~I,,, ••• • II

B. (1) Section One of the rhapsody is a simple three-part form of

which Part B is based on a descending scale line in quarter notes. Circle the notes of the motive on the score, beginning in measure 21. From which of the five basic motives does this motive derive? (2) In the second and fourth phrases of B, most of the descending seconds within the motive are expanded to thirds. Circle the notes involved in this expansion of the motive. (3) This latter form of the motive (descending thirds) is also prominent in the broken chord figuration which rounds off the ends of the phrases in B: it appears as the first note of each descending sixteenth-note group, starting in measure 24. Locate and circle the notes of this motive, as well as the two which follow. C. Section Two of the composition is based on the first four notes of Section One (Motive 1). Compare Motive 1 with the first motive of Section Two, found in the uppermost voice of measure 65. The melodic contours of these two motives are similar, but their distinctive rhythms obscure this somewhat from the listener. To clarify the relationship: (1) Notate the two motives isorhythmically. (2) Notate the motive in measure 65 in the rhythm of Motive 1. (3) Notate Motive 1 in the rhythm of m. 65. The similarity between Section One (Part A) and Section Two goes even further. Compare the melodic contour of the first phrases of Sections One and Two (mm. 1-5 and 65-68; you may wish to notate the two isorhythmically and/or notate the first phrase in the rhythm of mm. 65-68 to facilitate the comparison). In what ways do various segments of the first phrase of Section Two derive from the first phrase of Section One? D. Section Three is a simple three-part form (D ED'). Part D lacks the distinctive rhythmic motives found in Sections One and Two. In seeking motivic derivation in this part, consider the four eighthnote groups in most measures as motives. (1) First determine the derivation of the motive found in m. 94; (2) Then compare m. 93 with m. 94; (3) Then search for the derivation of each measure in Part D; (4) Next compare mm. 98-100 with mm. 96-97; (5) and finally, search for the roots of mm. 99-100 in Section Two.

130

CHAPTER 5

The middle part of Section Three (Part E) bears several motivic relationships with motives found elsewhere in the work. Search out and discuss these relationships. E. Using and expanding on your discoveries, examine Section Five. and the coda (including transitions) for motivic derivation and development.

CHAPTER

6

The Rondo •

•

•

•

•

•

•

•

•

•

• • • • • •

• • • • •

• •

•

The principle of tripartition, as manifest in art, is rooted in nature, in our souls, in our very existence. Ernst Toch, The Shaping Forces in Music

Our study of simple and composite part forms has already shown us the value of delayed repetition as a unifying device in the larger forms. The rondo capitalizes on this valuable principle of construction by using a clear-cut theme that recurs at two or more points in a structure, each time following an area of digression. The rondo became one of the most important forms of the classical period.

I.

HISTORICAL BACKGROUND The classical rondo is a direct descendant of the French rondeau, a popular form in the late seventeenth and early eighteenth centuries. The early history of the rondeau can be traced to the monophonic songs of the trouveres (thirteenth century) and to the polyphonic music of the fourteenth and fifteenth centuries. The term rondeau originally denoted a poetic, not a musical form. The rondeau is frequently encountered in the music of the French keyboard composers, the so-called clavicinists, as well as in the French orchestral and operatic music of the time. 1 The early rondeaux reveal traits of the French baroque, while the later rondeaux are typically in the style of the French rococo. The ronde au consists of a recurring refrain separated by two or more digressions called couplets. A rondeau with two couplets may be described as a five-part rondeau.

1. Couperin and Rameau were the foremost composers of rondeaux for the keyboard. Lully often employed the rondeau design in his orchestral and operatic works.

131

132

CHAPTER 6

A

Refrain

B

Couplet 1

A

Refrain

C Couplet 2

A

Refrain

The rondeau normally includes at least two couplets. Rondeaux with four or more couplets are numerous. In rare instances, a ronde au may contain only one couplet. The refrain and couplets are usually clear-cut units, eight or sixteen measures in length. The material throughout the rondeau is usually related in general spirit, if not in actual content. The recurring refrain is always in the tonic. The couplets may be in the tonic but are more often in closely related keys. The French ronde au is a highly sectionalized form. The refrain is normally harmonically closed in each appearance; the couplets, however, may be open. Each refrain and couplet is characterized by clear cadential punctuation, and each is usually separated from the units on either side by complete pause. Connective material, when used, rarely involves more than a link. The sectionalized structure of the French rondeau is illustrated below.

The rondeau pattern was sometimes used in the stylized dances. We frequently encounter titles such as minuet en rondeau (literally, minuet in the form of a rondo) or gigue en rondeau in the suites of the baroque and rococo composers. The question that is bound to arise at this point is: are we not talking about part form here? In a sense, yes. But there are subtle differences between the rondo and the part forms. The issue will be addressed after the salient features of the rondo have been presented.

II.

THE CLASSICAL RONDO: GENERAL CHARACTERISTICS The rondo of the early classical period differs little in formal design from the earlier French rondeau. The parts are still well defined, and the overall structure is usually harmonically and rhythmically sectionalized. The primary difference lies in the nature of the melodic material. The rondo is typified by more tuneful melodies-melodies that are definitely conceived as themes. The music of the rondo is often lighthearted and spritely. This goodnatured spirit so frequently associated with the rondo has occasionally resulted in the labeling of movements as rondos which are structurally of some other type (often sonata form or a composite part form). Thus, we sometimes refer to a "rondo style," but there are, indeed, rondos that are sombre or dramatic rather than cheery. Our major concern is with the formal design of the true rondo.

THE RONDO

133

Because of the basic stylistic differences between the rococo and classical periods, terms other than refrain and couplet have more meaning for a study of the classical rondo. Rather than refrain we will use the term principal theme; instead of couplet we will refer to the episode. 2 The principal theme is usually based on an easily recognizable melodic or rhythmic feature. The phrase structure is clear and regular (most often, four-measure phrases), and the theme as a whole is usually a simple part form or a period. The principal theme normally appears in the tonic key with each statement. In its first statement, at least, it is usually harmonically closed. The episodes provide areas of contrast in the overall form of the rondo. An episode may be either thematic or developmental in nature. It may be based on the principal theme or on new material. Episodes occasionally embrace two or more distinct themes or sections. The five-part and seven-part rondo designs became the most prevalent types in the classical period.3 These patterns are diagrammed in Exs. 6-1 and 6-2, respectively.

EXAMPLE 6-1

Principal Theme (A) Tonic

FIVE-PART RONDO FORM PT. Ep.2 Episode 1 (A) (B' or C) (B) Dom. or reI. maj.

Tonic

other related key

P.T.

(Coda)

(A) Tonic

(Tonic)

(Coda)

EXAMPLE 6-2

SEVEN-PART RONDO FORM Ep.2 P.T. PT.

Principal Theme

Episode 1

(A)

(B)

(A)

Tonic

Dom. or reI. maj.

Tonic

(C)

(A)

other related key Tonic

Ep.3

P.T.

(B' [or D))

(A)

Tonic

Tonic

(Tonic)

Recurrence of the principal theme is the chief unifying feature of the rondo. In this respect the rondo is formally related to three-part form where recurrence is also the primary unifying feature.

2. The principal theme of the rondo may also be referred to as the rondo theme; the episodes may be called digressions or subordinate themes. 3. Rondos comprising more than seven parts are somewhat rare. For an example of a nine-part rondo, see the last movement of Mozart's Sonata, K. 281, and for an example of an ll-part rondo, the last movement of Schubert's Sonata, Op. 42.

134

CHAPTER 6

During the classical period the size of the rondo expanded and the form evolved into a more continuous structure. The connection of successive units by transitions, which create both rhythmic and harmonic continuity, became an important element. In addition, a greater number of parts are left harmonically open in most of the later examples by Haydn and Mozart and in practically all of the examples by Beethoven and Schubert. Although rondos have been composed as independent movements, the most familiar use of the form is in the finales of multimovement works based on the three- or four-movement sonata plan (sonatas, quartets, concertos, symphonies, etc.). Because the classical composers typically retained the lively and tuneful spirit of earlier rondos and avoided the temptation to introduce complex ideas requiring extended "working out" processes, the form is ideally designed to bring a multimovement work to a solid and satisfying conclusion. The returns of the sprightly principal theme and the outward clarity of the form provide a structure that is easily assimilated by the listener. 4 In the early classical period the five-part rondo was used more frequently than the seven-part. Haydn still showed a preference for the five-part scheme in his last 12 symphonies (the "London" symphonies) of 1790-1795. The finale of the Mozart Sonata, K. 545, is a brief, clear example of five-part rondo form (see Anthology, No.9). Familiarize yourself with the score and locate the main sections, taking note of their keys. Then compare your observations with the chart in Ex. 6-3 and the comments that follow.

EXAMPLE 6-3

Mozart, Sonata, K. 545, Rondo, formal outline

Major structural units

Principal: Theme , First Episode

Auxiliary members

,,,

,'Tr.

/

/

,

/

No. of measures 8 Material

/

/8

/

/ /

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/

,

:B

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Keys in relation I to C major Cadences that conclude major units

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4. Rondos are occasionally encountered in movements other than the finale. For examples, see the following works: (1) Haydn, Sonata in G, Hob. XVI/39 (first movement); (2) Haydn, Sonata in G, Hob. XVII 40 (first movement); (3) Mozart, Sonata, K. 284 (second movement); (4) Beethoven, Sonata, Op. 54 (first movement).

THE RONDO

135

Despite the brevity of this sonata movement, a number of the characteristics of the typical classical rondo are present: One of the sections is a simple part form. The principal theme is tuneful and easily recognizable. The principal theme is harmonically closed. All appearances of the principal theme are in the tonic key. The episodes are in closely related keys. Transitions connect some sections. A coda ends the movement. The movement lacks an introduction. 5

III. TREATMENT OF THE PRINCIPAL THEME The inherent structural strength of the rondo is, of course, the recurrence of the principal theme. But this strength can become a weakness if the rondo theme is heard so often that the form and content become overly predictable. Composers often alter the restatements of the theme by adding variation treatments. Variation for this purpose often amounts to little more than minor ornamentations or embellishments of the theme melody. The excerpts in Ex. 6-4 show the first phrase of a principal theme in each of its four appearances in a seven-part rondo. Notice that the ornamentations in the recurrences do not obscure our perception of the theme since they do not alter its basic pitch or rhythmic contours.

EXAMPLE 6-4


A.

5. As the usual position of a rondo in a multimovement composition is last, the principal theme is commonly not preceded by an introduction, the previous movements having already served that purpose. Sometimes a concert rondo is paired with an introductory movement in works such as Introduction and Rondo Capriccioso for violin and orchestra by Saint-Saens.

136

CHAPTER 6

B.

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When varied beyond the point of an occasional melodic ornamentation, the principal theme and its recurrences may begin to resemble the theme and variations form. 6 Example 6-5(A) is the first phrase of the principal theme in a five-part rondo. Examples 6-5(B) and (C) are the corresponding phrases in the two recurrences of the principal theme. Notice the consistency with which the melodic variation is applied in each.

6. Rondos in which the principal theme is treated to extensive variation in each recurrence are sometimes referred to as variation rondos. The theme and variations are presented in Chapter 8.

THE RONDO

137

Haydn, Sonata in 0, Hob. XVI/19

EXAMPLE 6-5

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Frequently the restatements of the principal theme are shortened. The returns of an easily recognizable rondo theme serve their purpose even if only the first phrase or two recur. If the principal theme is relatively short (as in the Mozart example) shortening is usually unnecessary, but if the theme is longer, shortening can be useful. Consider this: A seven-part rondo with complete restatements of a five-part principal theme would not only subject the listener to 12 statements of the head of the theme, but the movement's duration could easily become excessive. The diagram in Ex. 6-6 shows the treatment of the principal theme in Haydn's Symphony No. 97. In its first statement the principal theme is a three-part form with repeats. Note that in the first restatement, Haydn gives us only the A part of the theme; in the second restatement, he gives us the complete three-part form, but without the repeats. The recurrences of the rondo theme unify and give character to the movement, while the varied lengths of the recurrences provide a healthy sense of unpredictability.

138

CHAPTER 6

EXAMPLE 6-6

Haydn, Symphony No. 97, IV, Presto assai

Principal theme

Episode 1

P. T.

P. T.

Ep.2

A :11: B A :11

A

A B' A

mm.I-50

mm. 114-I2I

mm. 196-245

Coda

IV. THE EPISODES The episodes are the prime source of variety in the macrorhythmic structure of the rondo. Since there are many ways to create variety in music, the characteristics of the episode cannot be summarized as neatly as can those of the principal theme. Whereas the principal theme is by definition thematic in nature, episodes may be either thematic or developmental. A thematic episode, like the principal theme, is often a small part form or a period. Since the chief functions of a developmental area are to transform and expand musical ideas, developmental episodes generally necessitate freer treatment in the matter of phrase, period, or part construction. Some episodes contain both thematic and developmental material. The episodes are frequently cast in tonalities closely related to the tonic. Some episodes remain in a single key, while others modulate to one or more keys. Many episodes begin in the tonic and modulate to a closely related key. Occasionally episodes remain in the tonic, in which case a change of mode may create contrast. The tonal plans of several five-part rondos are illustrated below. Note that while the principal theme is in the tonic in every case, the episodes show a variety of tonal possibilities.

Mozart, Symphony, K. 444, III Beethoven, Sonata, Op. 79, III Schubert, Sonata, Op. 53, IV

PI. I I I

Ep.I V VI

I-V-III-VI-V

P.T. I I I

Ep.2 i-I IV IV-iv-IV

PI. I I I

A sampling of seven-part rondos would reveal a similar diversity regarding the tonal levels for episodes, but with one exception: the last episode of the seven-part rondo is almost invariably in the tonic. Episodes are often related motivically to the principal theme. The threenote motive from the head of the principal theme of the Mozart Rondo examined earlier (Anthology, No.9) plays a significant role in both episodes. The episodes in many of Haydn's rondos are based partially or entirely on the principal theme, with contrast dependent on variation, change of mode, and/or change of key. The examples in Ex. 6-7 show the first phrase of the principal theme and both episodes in a rondo by Haydn. Both episodes are in the parallel major key and are varied versions of the principal theme. Play and compare the three examples.

1~

lliEOONDO

EXAMPLE 6-7

A.

Haydn, Sonata in E minor, Hob. XVI/34

Principal theme 3

e:

p

B.

First episode

C.

Second episode

E:

¢GJ (t

~

r If r t

mf

The contour of the first semiphrase of each of the episodes, Exs. 6-7(B) and 6-7(C), is different from the original. Yet, with the exception of Gsharp, the note names are the same; transposition of the last three-note figure down an octave changes the melodic contour. The second semi phrase is more varied in the episodes, yet the derivation from the original is unmistakable. An episode that is developmental in nature may involve any of the usual techniques of development (motivic variation, ornamentation, transient modulation, counterpoint, etc.).7 Developmental episodes may be based on material previously presented or new material, and the phrase structure may be consistent or varied. Although any episode in a rondo may be developmental, the second episode in both the five-part and seven-part rondos is most often chosen for such treatment.

7. Developmental procedures are discussed in more detail in Chapters 7-9.

II

140

CHAPTER 6

V.

THE TRANSITION The transition is so often encountered in the rondo that it may be considered a characteristic feature, particularly in the more continuous type of rondo. We are already familiar with the general nature of the transition as a structural procedure, but it would be well at this point to recall certain characteristics. Transitions prepare the listener for the ensuing part or theme; they often involve modulation; and they may begin as extensions of phrases or sections. A special type of transition, the anticipatory transition, is encountered frequently in the rondo. The anticipatory transition capitalizes on the familiarity of the principal theme by giving hints of its impending arrival. Study Ex. 6-8, noting the similarities between the transition and the principal theme. The use of the motive from the head of A clearly anticipates the coming of the principal theme.

EXAMPLE 6-8

Schubert, Sonata in B-flat IV, mm. 213-233

8- - - - - - - - - - - - - - - - - - - - - - - -- - - - - - - -,

I

~

anticipatory transition

. b ------..

.

8---

•

b

!~~~dim.~ ~--~--------~-~

1\

1

b'1*-------..•

..,

!

• • • 1*-~

h• .f'-

:

.

h• .f'-

1*-~

h• .f'-

I

,~

. 1*-~

h• .f'-

'1*-

1*-~

•

h• .f'-

• • 1*-~

principal theme

p

fp 1\

..,

!

:

1

........

.

.

~ 11$ r-

-

.

. r

b~r-

~ .f'- ~

q~

1*-

~

.f'-

~

b~

~

...

~,-.....

:: fp

THE RONDO

141

VI. THE CODA The rondo can usually be expected to close with a coda. Since the rondo usually comes last in a multimovement form, the coda is especially valuable, for it concludes not only the movement but the entire work. The treatment of the coda depends largely on the nature of the material that precedes it and the scope of the multimovement work as a whole. In some instances, the coda is merely an extension of the last cadence; in others, it may assume the role of a development section. In the latter type, themes and motives from the main body of the movement may come together for a major climax, consummating all that has gone before. Often the last statement of the principal theme is replaced by a coda. In such cases, elements of the principal theme generally appear prominently. Having this last section do double duty can be an especially effective way of compensating for the redundancy inherent in the rondo form. The finale of Schubert's Sonata in B-flat, a seven-part rondo, exemplifies this procedure. The five-part principal theme (A B A B' A) is a good candidate for shortening. The first recurrence is limited to a statement of A and B; the second presents a reduced version, A B' A; and the third which apparently begins as a statement of A turns out to be a brief coda that treats the first semiphrase of A developmentally. Ex. 6-9(A) shows the principal theme as it appears at the beginning of the movement, and Ex. 6-9(B) shows the beginning of the coda.

Schubert, Sonata in B-flat, IV

EXAMPLE 6-9

A. 1\

! !

mm.1-10

, Allegro rna non troppo

.

~

:

1\

~

:

-:~

~ r-

gajo

p

::

• t:

!:

-

:J

• t:

~

t:

poco stacc.

fp I

~

-

.

,........,

. .

,........,

.

,..-.,.

.

. r

~

t:

,:J

~t:

~

-fL

~

q~

~

~

-fL

~

~~

~

~

CHAPTER 6

142

B. 1\

!

=r f=

:

1\

.

I

@)

.

p

r-.~

-

I

I""\~

f=

. decresc.

p

I

---

b~ =l.:t

-

~

II

~~I.:t

t

II

~~ 1= l.:t

b~--1-

.

-

.

.......

.......

t

---t . t

t;l:t

~.t

~;l:t

::

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:

mm.491-502

t

I

~~ k:t

t

=

pp

~ I~ :

A comparison of these two excerpts shows that the coda begins as a real restatement of the principal theme. But by going in an unexpected direction after this seemingly normal reappearance of the rondo theme, Haydn achieves both a unifying effect and a surprise in one stroke.

VII. THE FIVE-PART RONDO The five-part rondo may take one of two forms, alike in general shape, but differing as to the nature of the second episode. Here, once again, is the basic outline of the form (Ex. 6-10).

EXAMPLE 6-10

Principal Theme (A) Tonic

FIVE-PART RONDO FORM p.T. Ep.2 Episode 1 (B) (A) (C or B') Dom. or reI. maj.

Tonic other related key

p.T.

(Coda)

(A) Tonic

(Tonic)

In the five-part rondo with similar episodes (A B A B' A), both episodes use similar thematic material, the second being a transposition or variation of the first. The design with contrasting episodes (A B A C A) is encountered more often. The episodes in this scheme either consist of contrasting thematic material or differ in the manner of treatment (thematic as opposed to developmental). The two episodes are contrasting in character, though they may share common motivic material. In fact, all parts of a rondo may contain common motivic material, as the Mozart example we examined earlier (Anthology, No.9) demonstrates.

THE RONDO

143

The basic design of the five-part rondo is quite simple, but the variety of formal treatments possible within the two basic patterns seems almost inexhaustible. A diagram of the last movement of the Symphony No. 94 (the "Surprise") illustrates this point (Ex. 6-11).

EXAMPLE 6-11

P. T.

Haydn, Symphony No. 94, IV

P. T.

Ep. I

Ep. II

Coda

,-----,

A

A

B

C*

A

D trans.

(brief)

(dominant)

A

C*

A

(extended and developed)

B

A

D

(brief)

(tonic)

A, 1st motive

*Section C is developmental, based on a rhythmic motive from Section A.

Haydn is anything but stingy about letting us hear the head of the main theme in this finale. In fact, on paper it looks as though the novelty of the principal theme might wear off before the movement is over, but this is far from the case. To begin with, A is a catchy, good-spirited tune (Ex. 6-12).

EXAMPLE 6-12

Haydn, Symphony No. 94, IV, mm. 1-8

Allegro di molto

,~ i [gl f1Jr In IlfF$t] ~ 10- f]J1 FlJ I D tltT~ EJ {[l'~ Ilil p

It is Haydn's adroit handling of this attractive principal theme that keeps

us interested. Besides the expected developmental devices (modulation, brief changes of mode, etc.), we find an unusual rearrangement of the parts in the return of the five-part principal theme: A C' A B A instead of A B A C A. The new interrelationships created by this reordering of parts whet our appetite for each new event in the unfolding scheme of the movement. After the episode makes its second appearance, Haydn combines the coda with one last, brief fling at the principal theme's first motive before bringing the movement to a spirited conclusion.

VIII. THE SEVEN-PART RONDO Look once again at the broad outlines of the seven-part rondo form (Ex. 6-13).

CHAPTER 6

144

EXAMPLE 6-13

Principal theme

Episode 1

P.T.

Ep.2

P.T.

Ep.3

P.T.

(A)

(B)

(A)

(C)

(A)

(B' [or D])

(A)

Tonic

Dom. or reI. maj.

Tonic

Tonic

Tonic Other related key Tonic

(Coda) (Tonic)

In this design, the first episode normally returns as episode three, a relationship reminiscent of the five-part rondo with similar episodes (A B A B' A). Here the main distinction is one of key: the first episode is usually in a key closely related to the tonic (often dominant or relative major), whereas the third is ordinarily in the tonic. Hence, the third episode is usually a transposition of the first. These two episodes are more often thematic than developmental in nature. The second episode falls in the middle of the seven-part rondo design and is often the longest section of the rondo. If a change of tempo occurs in the rondo, it will likely be in the second episode. While the first and third episodes are usually thematic in content, the second episode frequently treats its material developmentally. When this is the case, there is a similarity between the seven-part rondo form and sonata form. A sevenpart rondo of this sort is often referred to as a sonata-rondo. More will be devoted to this subject in Chapter 9. The seven-part rondo comprising three contrasting episodes (A B A C A D A) is relatively rare. The Mozart Rondo, K. 494 and the last movements of Weber's Sonatas, Op. 24 and 49 exemplify this form. The basic design of the seven-part rondo is straightforward and uncomplicated, but in the details of individual examples of the form we find an almost infinite variety of designs.

IX. RONDO AND PART FORMS: SIMILARITIES AND DIFFERENCES The rondo is, in a very definite sense, a type of part form. But due to their differences in historical derivation, rondos and part forms are usually classified as separate compositional genres. Owing to its derivation from the French rondeau, the classical rondo was founded from the beginning on the idea of recurrence-the delayed repetition of the principal theme. Part forms, on the other hand, originated with the binary structure commonly found in the individual movements of the baroque dance suites and sonatas. The idea of recurrence in the part forms emerged slowly over a period of some hundred or more years as two-part form gradually expanded to rounded two-part form and, finally, to three-part form. The rondo principle of construction was clear from the start, and the structural design remained basically unaltered. The changes affecting the rondo in the latter half of the eighteenth century concern the nature of the principal theme and episodes, the increased use of continuous structure,

THE RONDO

145

and the expansion in overall size. The evolutionary process which took place in the part forms is, by comparison, more dramatic. The three-part macrorhythmic and macrotonal scheme that emerged from binary form laid the foundation for one of the most important formal designs in the history of music-sonata form .8 Another distinction between the rondos and part forms is the greater use of transitions in the rondo. The manner in which the transitions are treated is a special, if not integral, feature of the continuous rondo form. Part forms from the same historical period tend to be more sectional in structure. The character pieces of the nineteenth century reveal a definite historical kinship to the part forms. The majority of early Lindler, waltzes, and bagatelles are constructed along the lines of the minuet, often differing in name only. In the hands of nineteenth-century keyboard composers, these early character pieces are also expanded to include extra parts. The Chopin Mazurka, Op. 7, No.1 (Anthology, No. 4) is based on an extension of the ternary principle to include a second area of contrast (A B A C A) and thus follows a design which on paper is comparable to that of the five-part rondo. The mazurka example, however, consists of five simple parts and does not exhibit the stylistic characteristics that had long been established in the rondo (continuous structure, transitions, developmental episodes, etc.). The rondo is generally associated with the multimovement instrumental music of the classical period. Use of the rondo in the romantic period was limited primarily to a few brilliant concert pieces for piano or piano and orchestra. The clear-cut nature of the rondo was hardly suitable for the large-scale symphonic works of the nineteenth-century romanticists whose expression frequently involved subjective, if not programmatic, content. Rondos crop up occasionally in the works of the neoclassicists of the twentieth century.

Summary The rondo occurs most frequently as the finale of a multimovement work of the classical period. Like its precursor, the French rondeau, the early rondo is usually of small dimension and structurally sectionalized. As the size of the rondo expanded, the idea of a harmonically and rhythmically continuous structure became more prevalent. The basic units of structure in the rondo are the principal theme and the episodes. The principal theme is a well-defined unit, easily identifiable and tonally stable. The principal theme is normally harmonically closed in its initial appearance but may be open in later appearances. Alterations such as variation and shortening frequently characterize the recurrences of the principal theme. The episodes introduce areas of digression and may be either thematic or developmental. Episodes frequently comprise more than a single section of contrasting material.

8. Sonata form, the subject of Chapter 9, refers to a single movement plan, not the sonata as a whole.

146

CHAPTER 6

The continuous nature which typifies many rondos is created largely by the transitions that frequently connect the successive parts. In fact, one of the most charming features of the rondo is the manner in which the recurrences of the principal theme are often approached through anticipatory transitions. Most rondos are concluded by a coda. In the seven-part rondo the coda often replaces the final statement of the principal theme, incorporating portions of its material either literally or in some new guise. With its typically spirited principal theme leading the way, the rondo exhibits a mixture of unity and variety readily accessible to the listener. No wonder composers have chosen it so often for the final movement of an extended work.

ASSIGNMENTS 1. The formal characteristics of the finale of the Mozart Sonata, K. 545 (Anthology, No.9) are charted in Ex. 6-3. Examine this work again to discover other features as directed below. A. The principal theme is identical in each of its appearances. Is the first episode motivically related to the principal theme? Is the second? Explain your answers.

B. The second episode is a simple three-part form. Analyze the cadences and determine the structural relationships of the phrases (periods, phrase groups, parallel or contrasting construction, etc.). Describe the relationship of the first phrase of Part Three (mm. 41--44) to the first phrase of Part One (mm. 29-32).

C. Examine the material in the coda. Do you think it is more closely related to the principal theme, or to one or both of the episodes? D. What proportion of this movement is spent in statements of the principal theme? in each of the episodes, and the two episodes together? in auxiliary members (transition, coda)? How do these proportions affect our perception of the form, and what role does the phenomenon of recurrence play in this regard? 2. The following instructions are based on the outline of Haydn's Symphony No. 94, last movement, found in the text as Ex. 6-11. Consult the score of this movement (Anthology, No. 10), then analyze as follows. A. Locate the beginnings of the sections and parts indicated in the outline. Indicate the key(s) in which each appears.

B. Locate other features not shown in the outline (extensions, transitions, etc.).

C. Bracket the motives that make up A of the principal theme. Examine the various parts and sections of the rest of the movement (including the episodes) for possible relationships to or derivations from these original motives. (This examination of other material may affect your original view of the motivic structure of A.)

THE RONDO

147

D. Investigate the proportions of this movement following the instructions under No.1, D. E. Compare the proportions of this movement with those of the Mozart finale examined in Assignment No.1 (Anthology, No.9). 3. In the following assignments, work from the general to the specific, using this procedure: A. Locate the beginnings of the main sections and indicate the key in which each begins. B. Analyze the form of each section.

C. Based on your findings to this point, identify the formal type. D. Locate transitions, introductions, codas, etc., noting their characteristics (anticipatory transitions, developmental codas, and the like). E. Look for motivic relationships among the various sections of the movement. F. Discuss other features that contribute to the overall characteristics of the movement: the nature of the themes themselves; points of climax; changes in parameters such as texture, range, dynamics, tempo, rhythmic activity level; the effect of tonal relationships; etc.

G. Formulate and state an opinion about the qualities and relative merits of the work, based on your personal reactions as well as your analytical findings. 4. Analyze the second movement of Mozart's Eine kleine Nachtmusik, Anthology, No. 15. 5. Analyze the final movement of Beethoven's Sonata, Op. 2, No.3, Anthology, No. 16. 6. Analyze the final movement of a sonata for piano or a solo instrument with piano known to be in rondo form. Suggested works: Mozart, Sonata, K. 576 Schubert, Sonata in C Minor, D. 95B; Sonata in B-flat, Op. posth. Brahms, Sonata No.1 for violin and piano, Op. 7B; Sonata No.3 for violin and piano, Op. lOB 7. Analyze the final movement of a symphony, concerto, or chamber work known to be in rondo form. Some suggestions: Haydn, Symphonies Nos. 93,97,102 Mozart, Symphony No. 35 ("Haffner") and Clarinet Concerto Beethoven, Violin Concerto, Piano Concerto No.5 B. The use of rondo form is in no way limited to the closing movements

of multimovement compositions, nor is it destined always to exemplify the aesthetic qualities so often associated with it. Analyze such a movement or work; a few examples follow.

148

CHAPTER 6

Mozart, Rondos, for piano: in D, K 485; in F, K 494; in A minor, K 511; Rondo in B-flat, for violin and orchestra, K 269 Beethoven, Sonata, Op. 10, No. I, second movement, Adagio Beethoven, Sonata, Op. 13, second movement, Andante Cantabile Beethoven, Rondos, for piano, Op. 51, Nos. 1 and 2 Schubert, Rondo in A for violin and string orchestra, D. 438 Weber, Rondo Brilliant (liLa gaite") for piano Chopin, Polonaise in A-flat, Op. 53; Rondo it la Mazurka, Op. 5; Introduction and Rondo, Op. 16 Mendelssohn, Rondo Capriccios a for piano; Rondo Brilliant for piano and orchestra

CHAPTER

7

Variation Forms •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

I sometimes ponder on variation form and it seems to me it ought to be more restrained, purer. Composers in the old days used to keep strictly to the base of the theme, as their real subject. ... But it seems to me that a great many moderns (including both of us) are more inclined - I don't know how to put it-to fuss about with the theme. We cling nervously to the melody, but we don't handle it freely, we don't really make anything new out of it, we merely overload it. And so the melody becomes quite unrecognizable. Brahms, letter to Joseph Joachim, 1856

Brahms' comments on variation form are interesting on several counts. As a young composer (he was 23 years old at the time), he had already written in the theme and variation form, but most of his great works in that genre were still to come. The comments quoted above evidence both a frustration and a fascination on Brahms' part. The frustration arose from the difficulties of writing effective variations, but the fascination was enduring and he wrote variations at various times throughout his career. Brahms' persistence in writing in the theme and variations form mirrors the longevity of the form itself: it is the oldest formalized musical plan to remain in constant use from its origin until the present day. The idea of varying a musical theme is probably as old as music itself. But our knowledge of its development originates with the rise of lute and keyboard music in the early sixteenth century. One of the chief ways early composers of instrumental music could extend a composition in time was through repetition of a structural unit. To avoid the monotony of constant literal repetition, variation was introduced through such practices as altering the melody, adding new polyphonic lines about the repeated melody, or placing the melody in a different voice. Variational procedures such as these provided the necessary element of contrast without sacrificing the unity inherent in

149

150

CHAPTER 7

the repetitions. Today, nearly 500 years after its origin, the theme and variations is still a viable form, for it is represented in the output of practically every major twentieth-century composer. Variation forms fall into two main classes: the theme and variations and the ostinato variations. The latter, though still in use today, is largely associated in our minds with the high point of its usage in the baroque period. We will discuss it in more detail later.

I.

THEME AND VARIATIONS A. General Characteristics The theme and variations form is normally encountered either as a movement within a multimovement work such as the sonata or symphony or as an independent composition. In the former instance the theme is usually an original one written by the composer expressly for inclusion in a particular multi movement work. Themes for independent sets of variations are frequently "borrowed" by the composer from sources such as folk or popular music or from a work by another composer. Brahms, for instance, composed sets of variations on themes by Handel, Haydn, Schumann, and Paganini; and Beethoven was fond of composing variations on familiar opera arias of his contemporaries. The theme itself is rarely less than 8 or more than 32 measures in length. Its macrorhythmic structure is usually a simple one-, two-, or three-part form. The two- and three-part examples frequently include the traditional repeats (A :II:B =II; or A :11: B A :11). As a small part form, the theme is normally a complete entity in itself. It comes to a full close and can stand alone as a small independent composition. Since each variation is usually based on the structure of the theme, the overall form of a theme and variations is high sectionalized. Variational processes may be applied to any of the following musical elements:

9.

1.

Harmony

2.

Melody

10.

Key

3.

Structure (macrorhythmic)

11.

Mode

4.

Accompaniment pattern

12.

Tempo

5.

Rhythmic pattern

13.

Meter

6.

Figuration

14.

Dynamics

7.

Texture

15.

Register

8.

Articulation

Instrumentation

Several of these elements may, of course, undergo variation simultaneously, but for a variation to maintain its identity with the theme, some elements of the theme must be retained. In this respect, the first

VARIATION FORMS

151

three elements listed above, harmony, melody, and structure, are of fundamental importance. When one of these basic elements is retained in a variation, it is said to be fixed. For example, if the harmony and melody of a theme are kept intact in a variation, that variation is described as harmonically and melodically fixed . The fixation of any or all of the basic elements (harmony, melody, structure) in a variation strengthens the relationship between the variation and the theme. Any number or combination of these elements may be fixed, but certain combinations occur more commonly than others. A variation is described as harmonically fixed so long as the basic harmonic framework of the theme is retained. Small alterations in the chord progressions may be expected. A variation is described as melodically fixed if the original theme melody is recognizable. Ornamentation of the fixed melody is one of the most common variational devices. During the common practice period, the structure-that is, the phrase, period, and part structure-is practically always fixed. In fact, the structure is fixed with such regularity that it is normally unnecessary to mention that a variation is structurally fixed. If neither the harmony nor the melody is fixed, however, the designation structurally fixed is used to indicate that a variation is related to the theme only in this one basic element. On the basis of their fixed elements, variations can generally be classified as one of the following: 1. Harmonically and melodically fixed variation (fixed structure understood) 2. Harmonically fixed variation (fixed structure understood)

3. Melodically fixed variation (fixed structure understood) 4. Structurally fixed variation (neither harmony nor melody fixed) An individual dance in a baroque dance suite is sometimes followed by one or more variations called doubles. The beginning of one such dance and its double are shown in Ex. 7-1. As is usual in the music of this era, the structure remains fixed throughout the variation. Play the two phrases and compare the melodic and harmonic structures.

CHAPTER 7

152

EXAMPLE 7-1

.

I

1\ ~

.J

J

'IIJ.

.0.

laJ

J

b~

~

I':}

I

I

I

:

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Bach, English Suite No.6, Sarabande

I

J

I

I

I

;

.

1

.J

I

Double

Despite the new features added through ornamentation, the essential rhythm and pitch shapes of the original melodic line are retained in the variation. Similarly, in spite of added ornamentation in the inner voices, the original harmonic structure remains. The variation, then, is harmonically and melodically fixed; its texture falls somewhere between the purely homophonic and purely polyphonic. In Ex. 7-2 the texture is homophonic in both phrases. Note the difference in accompaniment patterns.

EXAMPLE 7-2

Theme

Allegretto

Haydn, Arietta con Variazioni

VARIATION FORMS

153

The harmonic progression of the variation in Ex. 7-2 is the same as that of the theme, but the melodies have little in common. This exemplifies the harmonically fixed type of variation. Now carefully compare the harmonic progressions in Ex. 7-3.

EXAMPLE 7-3

Poco adagio cantabile Therne 1\ a 1

.-----

-"t.

~

p

1

..

I

.fII-

· V ar. 4 1\ ~

a

.-----

(P)

r ~t J

·· G:

--

1

1

r I J

I

-t r r-::J

.fII-

-----

G:

Haydn, String Quartet Op. 76, No.3

I

1

I

Ilfr

I

l 1

--

J

1

C'-:>_

1

---- 1

1

v

I !:

.-

1

I

1 "---.

1---

. .;

l.-=

I I

1 ---'

----

1

1

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.~

.

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1

Cd

J

..--- 1

1

I

-- I

1

I

.;. ~~

1

)

~ 1

1

This variation, with its emphasis on the submediant chord, is harmonized differently from the theme. About half the beats in the variation are reharmonized, as the chart in Ex. 7-4 shows.

EXAMPLE 7-4

Theme G: I:

Y

I :y6: Y~

M.3

M. 2

M. 1

I

I

I

I

M.4

I

I

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Now, compare the melodies in Ex. 7-3. Is the melody fixed? Yes. In fact, the variation melody is not even ornamented. The variation shown in Ex. 7-3, then, is a melodically fixed variation.

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CHAPTER 7

Compare the melody and harmony in the theme and variation in Ex. 7-5.

EXAMPLE 7-5

Brahms, Variations on a Theme of Handel, Op. 24

The melody is very different here, enough so that we cannot say that the melody is fixed. Yet, the two melodies are not unrelated. Ex. 7-6 demonstrates that most of the structural tones are retained in the variation.

VARIATION FORMS

EXAMPLE 7-6

~ I Theme

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Brahms, Variations on a Theme of Handel, Op. 24

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Likewise, the harmony is significantly modified in the variation shown in Ex. 7-7.

EXAMPLE 7-7

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m.4 , , , : V2 16 :1 :V , , , ' . ,,V VI( : III ,I

Neither the melody nor the harmony is fixed in the Brahms example, but the phrase structure and four-measure length are the same. Hence, the variation is described as a structurally fixed variation. As structural units are defined largely by an underlying harmonic plan, the harmony at the beginning and end of the theme's phrases is usually retained even in the structurally fixed variation. Such is the case in the Brahms example (Ex. 7-6). Variations in which none of the three basic elements (harmony, melody, structure) are fixed occur with considerable frequency in music of the late nineteenth century and the twentieth century. Variations of this sort are called free variations. Such sets of variations often consist of several short pieces or sections, each of which is based to some extent on one or more motives from the theme or from a previous variation. The relationship of a variation to the other material is often difficult to determine. In contrast to the sectional nature of most fixed variations, free variations are often connected to one another in a continuous fashion. [star by Vincent d'Indy and Don Quixote by Richard Strauss are noteworthy examples of late nineteenth-century free variations.

CHAPTER 7

156

Composers of the common practice period rarely exploited tonal variety in the overall structure of the theme and variations. Tonal digression and return are associated with forms unified by delayed repetition. In the theme and variations, where immediate repetition is the basic unifying element, tonal digression is unnecessary.

B. Special Types of Variations Besides the alterations that may occur in the basic elements of harmony, melody, and structure, variational treatments are commonly applied to elements such as rhythmic pattern, accompaniment pattern, figuration, articulation, dynamics, register, instrumentation, texture, mode, and tempo. It would be impractical to attempt to catalogue every type of variation, especially since several devices of variation are usually involved simultaneously. There are four types, however, whose distinguishing qualities are readily apparent. These are traditionally classed under the following headings: 1. Ornamenting variation 2. Figural variation 3. Contrapuntal variation 4. Character variation The ornamenting variation is one in which the original theme melody, although fixed, is embellished by the addition of melodic tones in the form of scales, trills, nonharmonic tones, etc. The variation in Ex. 7-1 is an example of this type. The figural variation uses a particular figuration consistently. More than a mere accompaniment pattern, the figuration is in itself the major device of variation. Compare the theme and variation in Ex. 7-8. In the variation a broken-chord figuration in the right hand is supported by a less conspicuous accompaniment pattern in the left hand. The variation hardly contains a melody as such, but the higher notes of the figuration outline a type of pseudomelody, some of whose notes coincide with the theme's melodic tones.

EXAMPLE 7-8

Theme 1'1 J

Beethoven, Variations on a March by Dressler

Maestoso

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157

VARIATION FORMS

Contrapuntal variations are frequently encountered in variation sets of the Renaissance and baroque periods. In primarily homophonic variations, such as those from the classical and romantic periods, the contrapuntal variation furnishes a change in texture and increases the linear activity. The contrapuntal variation may incorporate any of a number of contrapuntal procedures ranging from nonimitative counterpoint to canon or even fugue. The excerpt in Ex. 7-9 uses first one contrapuntal device and then another. The first four measures might be described as "free counterpoint," but rhythmic imitation appears almost immediately (measure 1, beat two, upper voice). A canon follows in mm. 4-6 with the lower voice taking the lead on the downbeat and the upper voice responding on beat three. Note that the first six notes of the canon are identical to the first six notes of the previous phrase. (The original theme appeared in Ex. 3-12. It would be informative to compare the two examples.)


EXAMPLE 7-9

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The character variation is composed in the style of a familiar musical genre such as a dance form or march. During the baroque period, many variations were composed in the character of one of the popular dance

158

CHAPTER 7

types (allemande, courante, sarabande, siciliano, gigue, etc.). The theme of Beethoven's Diabelli Variations is itself a waltz, and the first variation is in the style of a march. The beginnings of both are shown in Ex. 7-10. EXAMPLE 7-10

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C. Overall Organization of the Theme and Variations The theme and variations procedure by its very nature assures unity in a composition. Again, the very repetition and sectional structure that make the form attractive pose the risk of creating monotony. How, then, can a composer fashion a logical design and create a sense of direction in the theme and variations? Even a composer proficient in variation techniques is in danger of stringing together disparate variations in some haphazard pattern-the form itself gives no clue as to what direction one should go at any given point in the composition. One solution to this problem is to allot similar features to two or more successive variations so that they are perceived as a group. Variations may be grouped on the basis of similar rhythmic patterns, figurations, mode, or any other feature which may be grasped as a common element. Grouping decreases the number of details the listener must absorb with each successive variation, thereby making the whole more readily comprehensible. In the hands of a skillful composer, grouping can lend a quality of expansiveness and continuity to the form. The gradual acceleration of motion through increases in such elements as rhythmic activity, contrapuntal activity, and tempo during the course of several variations constitutes another useful means of achieving a logical sense of direction. Likewise, a gradual increase in such shaping elements as textural density and dynamic intensity can produce a sense of growth and purposeful progression. If an extended passage incorporating these techniques is followed by a variation that is markedly similar to the

VARIATION FORMS

159

original statement of the theme, a sense of recurrence can actually be accomplished. Yet another method of deemphasizing the sectional elements in the theme and variations form entails replacing established repeats (II: :11) with written-out repeats, thus varying the variation elements themselves. Successive variations may stray ever farther from the theme before returning to a more recognizable form. In the course of his Variations on a Theme of Haydn, Brahms becomes gradually more venturesome with his variation procedures, but harks back to more closely recognizable versions in Variations III and VI, and again in the Finale. These reminders of the original theme-not unlike the recurrent rondo theme in their effect-shape the overall form in a satisfying way. Brahms has achieved an enviable balance of unity and variety in this work. Stravinsky carried the idea of recurrence in a set of variations even further in his Tema con Variazioni, the middle movement in his threemovement Octet for Wind Instruments. The first variation (Variation A) features a boisterous tempo and rhythmic treatment which set it apart from the theme and the other variations. Stravinsky capitalizes on the rowdy recognizability of this variation by bringing it back twice, verbatim except for a few transitional figures at the end of each statement. The result is a formal pattern that etches itself quickly into the listener's mind: Andantino (Theme) Var. A

Var. B Var. A Var. C Var. D Var. A Var. E

The pattern is unique, but is reminiscent of a rondo or a baroque movement with ritornelle. Earlier we referred to a "Finale" in connection with Brahms' Variations on a Theme of Haydn. An appendage of some sort is usually added at the end of a set of variations to bring the overall structure to a close. The last variation often expands into a coda-sometimes brief, sometimes expansive. In large sets of variations, a separate movement, a finale in the form of a free fantasia, rondo, or fugue, may follow the last variation. The fugue has proven effective, for its light-textured beginning and gradual increase in contrapuntal complexity and density parallel the type of expansion that often takes place in the theme and variations proper. The finale of Brahms' Variations on a Theme of Haydn is somewhat unusual since it is in itself a set of continuous, or ostinato, variations. Sometimes the theme is restated after the last variation, or even after a coda or finale, reminding the listener of the original point of departure. Although it is beyond the scope and purpose of this presentation to outline the detailed history of the theme and variations, the authors would be remiss not to recommend such a study. A survey of variation procedures and the many applications of variation forms that have transpired over the course of the past five centuries can only prove to be most enlightening. From the variations of the sixteenth-century lute and keyboard composers, to the baroque couples, doubles, variation suites, chorale partitas, to Bach's Goldberg Variations, Beethoven's Diabelli Variations, Brahms' Variations on a Theme of Haydn, and the many fine examples from the twentieth century, the literature is vast and rich.

160

II.

CHAPTER 7

OSTINATO VARIATIONS A. General Characteristics Ostinato (Italian for "obstinate") in the broad sense refers to the repetition of a rhythmic or melodic pattern throughout a musical work or section. With regard to variations, ostinato refers to a persistently recurring unit which acts as the principal unifying device. The unit is relatively short, normally four to eight measures in length, and usually comprises a single phrase, occasionally a period. Unlike the homophonic theme and variations where the theme and each variation are normally brought to a complete close, the variations in an ostinato form follow one another in a continuous fashion. Hence, all forms related to the theme and variations are often referred to generically as sectional variations and all forms related to the ostinato variations, continuous variations. Although the theme and variations form has remained in fairly constant use until today, the ostinato forms, which thrive on contrapuntal treatment, fell for the most part into disuse during the classical and romantic periods. The classical and romantic composers, more concerned with the newer homophonic forms, tended to use contrapuntal procedures primarily for textural contrast and development. The twentieth century brought renewed interest in contrapuntal methods, and composers turned once again to the ostinato variation technique. Ostinato variations reached their zenith in the baroque period. The larger single movement forms based on tonal and thematic conflicts (e.g., sonata form) were still in an evolutionary stage during this era, but the variation principle of construction provided an accessible method of extending a work to whatever length the composer desired. Ostinato variations occur in both instrumental and vocal music. Three instrumental forms are the ground, passacaglia, and chaconne. In vocal music ostinato variations may be encountered in a song (Purcell, "Music for a While"), aria (Purcell, "Dido's Lament" from Dido and Aeneas), or chorus ("Crucifixus" from Bach's Mass in B Minor).

B. The Ground Bass Ostinato variations fall into two main categories: (1) those with a fixed melody which is usually found in the bass; and (2) those in which only the structure and sometimes the harmony of the structural unit are fixed. The first type is the more prevalent. The recurring melody is normally constructed to function as a strong bass line and is known as a ground bass, basso ostinato, or ground. Ex. 7-11 illustrates the ground bass principle. The four-measure bass melody (bracketed) occurs 25 times in succession over the course of the composition. Note the continuity of rhythmic motion from variation to variation, and also the freedom with which the material above the ground bass is handled.

VARIATION FORMS

161

Tomkins, Groundl

EXAMPLE 7-11

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EXAMPLE 7-12

A.

Biber, Passacaglia for Unaccompanied Violin 1

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1. Copyright 1955 by The Royal Musical Association. Revised 1964. Used by permission of Galaxy Music Corporation, Boston.

162

CHAPTER 7

Ex. 7-12(A) and (B) illustrate two patterns often used during the baroque period. Both are characterized by descending stepwise movement from the tonic to the dominant, one by diatonic movement and the other by chromatic movement. When a pattern ends on the dominant, as in Example A, there are several possibilities for creating structural continuity. First, the upper voices may form a half cadence, leaving the phrase harmonically open. Second, the upper voices may cause the cadence to fall on the tonic at the beginning of the next pattern, creating continuity through elision. And third, a cadence may be avoided completely. In Ex. 7-12(B) and (C) the dominant pitch seems to move inevitably into the tonic which follows, and it would be illogical not to consider the tonic as the last note of the pattern. The leap that follows in both examples articulates the beginning of the next statement. A continuous structure is one of the distinctive features of ostinato variations. In addition to the three methods of connection mentioned above, there are other ways of binding the successive statements of the ground bass together: nonharmonic tones may be used to create dissonance and tension at the cadence; rhythmic motion may continue through the cadence; and the phrase structure of the upper voices may be out of phase with the ground bass. Ex. 7-11 uses rhythmic motion in cadence measures to keep the music alive during the connection process. In Ex. 7-13 the successive statements of the ground bass are connected by elision. Elision assures a continuous musical flow. The vocal line also contributes to the sense of continuity. At measure 99, the voice cadences with the bass on beat one (imperfect authentic), but by the time the "Hallelujah" is completed on beat two, the ground bass is into its next phrase. At measure 104, the vocal melisma continues right through the cadence. The voice finally cadences convincingly with the bass at measure 109 (perfect authentic); the bass, however, marches on, for its next phrase has already begun.

EXAMPLE 7-13

Purcell, An Evening Hymn

cadence

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VARIATION FORMS

163

The ground bass is usually uncomplicated, as it must provide a firm footing for the variational treatments that take place above it. But occasionally even the ground bass itself is treated to minor variation. The most common types of alteration are listed below. 1. Once it is well established, the ground bass may be ornamented-usually simply, so that the ground bass remains recognizable. 2. The ground bass is occasionally moved to an upper voice. 3. The ground bass is sometimes transposed to one or more closely related tonalities. Such transpositions, of course, affect the tonality of all the voices. In some sets of ostinato variations, there is no fixed melody such as a ground bass. The strongest element of unity in ostinato variations of this sort is the repetition of the relatively short unit and the retention of the harmony at the beginning and end of the unit. The repeated unit in Ex. 7-14 is a phrase; the successive phrases are joined by elision.

Pasquini, Passagagli 2

EXAMPLE 7-14

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164

CHAPTER 7

terms passacaglia and chaconne were used indiscriminately by baroque composers for sets of ostinato variations with or without a ground bass. Scholars have attempted-unsuccessfully-to relate one term to the type with a ground bass and the other to the type without a ground bass. A present-day distinction between the two forms has been made somewhat arbitrarily on the basis of Bach's use of the terms in two of his works bearing these titles, the Passacaglia in C Minor for organ and the Chaconne for unaccompanied violin. The former uses a ground bass while the latter does not, and it has become common today to refer to either of these forms as a passacaglia if it has a ground bass, and as a chaconne if it does not. Bach's monumental Passacaglia in C Minor opens with a statement of the ground bass alone. Then follow 20 variations and a gigantic fugue finale. Three major sections, each based on a different treatment, are discernible within this work. The division into sections is not marked by rhythmic punctuation, as all of the variations are connected by continuous motion (see Ex. 7-15).

EXAMPLE 7-1 5

gradual increase in complexity

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decrease in

increase in textural density

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raises tension level, leads directly into fugue

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The ground bass is an eight-measure, two-phrase period marked by simplicity and straightforward rhythmic motion (see Ex. 7-16). It provides a sturdy foundation for the imaginative treatments that follow.

EXAMPLE 7-16

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VARIATION FORMS

165

(bracketed). Its syncopated agogic accents and downbeat suspensions build tension and generate rhythmic momentum.

Bach, Passacaglia in C Minor, Variations 1 and 2

EXAMPLE 7-17

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Variations 3-5

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166

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Variations 6-8

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Variations 6-8 form a group based on similar rhythmic motion and motivic material. An ascending scalewise motive is bracketed in Variation 6. This motive is melodically inverted in Variation 7; Variation 8 exploits both forms of the motive. In Variation 9, a new motive is tossed back and forth among the voices. This new motive appears in the ground bass in the third beat of each measure. In Variation 10, the soprano introduces a winding scalelike line in sixteenth-note motion. Then in Variation 11, invertible counterpoint places this scalelike line in the bass voice and the ground bass in the soprano. The ground bass melody remains in the soprano for Variation 12. Variations 10-12 might be considered as overlapping pairs: 10 and 11 are associated through their invertible counterpoint; 11 and 12 share the soprano placement of the ground melody (Ex. 7-20).

Variations 9-12

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168

CHAPTER 7

Variations 13-15 (see Ex. 7-21) make up the second section of the passacaglia. The treatment becomes gradually simpler, and the pedal is omitted altogether. These variations contrast with those of the first and third sections in that the ground bass is incorporated into the figuration patterns and is not necessarily in the lowest voice. This obscures the original melodic character somewhat, but the relief from the persistent ground bass is welcome at this point. The melody is still present-though in an intriguingly fragmented form-and serves to shape the harmonic progressions.

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VARIATION FORMS

EXAMPLE 7-22

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Even this cursory glance at Bach's Passacaglia in C Minor reveals how important the grouping of variations is in shaping the work as a whole. Another look at our chart shows how the grouped variations relate to the three larger sections (see Ex. 7-24). (The upper brackets indicate the three main sections, and the lower brackets show smaller groupings.)

EXAMPLE 7-24

I

Theme 1 2 3 4 5 6 7 8 9 10 11 12

13 14 15

16 17 18 19 20 Fugue

The most obvious unifying element in a passacaglia is, of course, the continually repeated ground bass melody. As a climax to the first section, Bach moves the ground bass theme to the soprano voice (Variations 11 and 12). The seeming disappearance of the ground bass melody in the second section paves the way for a sense of recurrence at the beginning of the third section (Variation 16). Reappearing in the bass voice, the melody asserts its authority once again as the ruler of the form. Throughout the composition, changes in textural density, achieved contrapuntally, give a sense of forward motion and direction. The Bach Chaco nne for unaccompanied violin is perhaps the most famous of works with that title. It is certainly one of the finest examples in all music literature of the ostinato variation technique. There is no ground bass in this chaconne; rather, the structural unit is a single phrase, stated

VARIATION FORMS

171

a total of 64 times. The tonality is D throughout, and the harmony remains fixed at the beginning and end of each phrase. More specifically, all phrases open with tonic harmony, and most of the phrases close with an authentic cadence which elides with the beginning of the ensuing phrase, giving continuity to the work as a whole. 4 In addition to these common elements-consistent phrase length, common tonality throughout, and fixed harmony at phrase beginnings and endings-every variation is characterized by a four-note descent from the tonic to the dominant. Each of the four notes is usually allotted to a separate measure as shown in Ex. 7-25. (The C-sharp is sometimes altered to C-natural, the B-flat to B-natural.)

EXAMPLE 7-25

II

In the phrases consisting of more than a single melodic line, the four notes are often found in the lowest part. But the treatment is unlike that which characterizes the ground bass. In the ground bass forms the repeated melodic pattern constitutes the entire bass line in at least the majority of the variations. However, in the Bach Chaconne the four notes furnish only a portion of the bass line. The placement of the four notes in Variations 1 and 26 is shown in Ex. 7-26. In Variation 1, the descending four notes occur in the bass voice; in Variation 26, they occur in an inner voice (Ex. 7-26).

EXAMPLE 7-26

Bach, Chaconne, Variations 1 and 26

A.

.r

I~ I

4. A few phrases in the D major section conclude in the fourth measure with a half cadence.

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CHAPTER 7

The four notes of the pattern usually occur in the same metrical position in each measure. In Ex. 7-26(A), each note falls on the second beat of its respective measure, and in Ex. 7-26(B) each note occurs on the first beat. In Phrase 14 (Ex. 7-27) the pattern is incorporated into the sixteenth-note figuration. Each note of the pattern occurs three times in its measure, and the metric location of these three occurrences is the same in each measure.

EXAMPLE 7-27

Variation 14

The Chaconne as a whole is divided into three large sections. The first section comprises 33 phrases and is in the minor mode; the middle section, 19 phrases in major; and the last, 12 phrases in minor. Within these three sections, many variations are paired or grouped on the basis of factors such as texture, rhythmic and motivic construction, melodic contour, and harmonic progression. Harmonic progression plays an especially significant role in unifying groups of variations. Pairs or groups unified by other factors often overlap with these harmonic groupings, creating a satisfying mix of unity and variety. The diagram in Ex. 7-28 illustrates this complex of variation grouping within the first section of the Chaconne. The brackets above the phrase numbers represent groupings determined by consistency in elements such as rhythmic motion, sequential treatment, figuration, etc. The brackets below the numbers represent the harmonic groupings. Phrases 22 and 31 do not belong to any group but act instead as transitions. Phrase 22 serves as a transition leading into the arpeggiated group of variations, and Phrase 31 provides a transition away from this group.

EXAMPLE 7-28

Grouping on the basis of rhythmic motion, sequence, or figuration, etc.

,---,,'- - - - - - - - - , r - - l r---1 r--1r--1

r--,

r---l r---1 r---1 r-----I r - - l

r----l

r---l

Phrase nos.: 1 234567 8 9101112131415161718192021222324252627282930313233 ' - - . . J L-...JL-...J ' ' - - _ - - ' '

L '_ _ _- - - ' ,

L-.....J

Grouping on the basis of structural harmonic progressions

L----Jl _ _ _ _ J

VARIATION FORMS

173

The 64 phrases of the Bach Chaco nne unfold with an astonishing amount of rhythmic, melodic, and harmonic invention. The degree of variety seems all the more amazing when one considers the number of unifying features shared by the phrases: each phrase is tonally situated in D; all phrases open with tonic harmony, and most of them close with an authentic cadence and elision with the next phrase; each phrase is characterized by the four-note descending line; and most share rhythmic and textural similarities with other phrases. Yet, despite all these manifestations of unity, Bach not only sustains our interest through 64 variations; he moves us with his expressively dramatic music-a truly monumental achievement. The baroque period was the high point in the history of the ostinato variations. The neglect of these forms during the classical and romantic eras is evidently due in part to interest in the newer homophonic forms. Nonetheless, several isolated but significant examples did emerge from these periods. Beethoven's 32 Variations in C Minor is constructed along the lines of an ostinato form without ground bass. The harmony is fixed at the beginning and end of each variation, and many of the variations are connected by continuous rhythmic motion. At several points in the structure, however, the nature of the successive variations requires the punctuation of a short pause. The finale to the Brahms' Variations on a Theme of Haydn is a set of ostinato variations built over a ground bass. Another outstanding example by Brahms is found in the last movement of his Symphony No.4. This movement reveals certain traits of both types of ostinato forms, as some of the variations retain a ground bass while others do not. With the demise of traditional tonality and the forms associated with tonal functions in the last years of the nineteenth century, the twentieth century witnessed a marked return to the use of ostinato variations, particularly those with a ground bass. s The following list includes representative examples by twentieth-century composers. All of these examples except the DelIo Joio work include a ground bass. The treatment of the ground bass in these examples is handled with much more freedom than in the baroque period. Berg, Wozzeck, Act 1, Scene 4 DelIo Joio, Variations, Chaconne, and Finale (orchestra) Hindemith, Nobilissima Visione (orchestra), third movement; String Quartet No. 4, Op. 32, fourth movement Honegger, Symphony No. 2, second movement Ravel, Trio in A Minor, third movement Riegger, Symphony No.3, fourth movement Schoenberg, Nacht from Pierrot Lunaire, Op. 21 Stravinsky, Septet (1953), second movement Webern, Passacaglia (orchestra), Op. 1 5. Besides using the ostinato principle for the construction of complete movements, twentieth-century composers frequently used short ostinato patterns or motives as a stabilizing element in forms of any genre. An ostinato motive or combination of several ostinato motives may even at times take on the character of a theme.

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174

Summary The variation forms have endured well over the centuries. The principle of extension through the immediate repetition of a structural unit, though a rather primitive notion, enables the composer to exploit the technique of variation to a degree not possible in forms based on delayed repetition. Variation forms fall into two main categories: theme and variations and ostinato variations. The theme and variations has remained a favored form of composers for 500 years. The theme is usually a self-contained one-, two-, or three-part form. The inherent sectional design of the theme and variations guarantees clarity in the macrorhythmic structure. Of the many elements that may be varied, harmony, melody, and structure are the most fundamental, as they embody the essence of the original theme. When the harmony, melody, and structure are all retained in a variation, the affinity between the variation and the theme is strong and, of course, easily detected. When the theme harmony is altered but the melody is retained, the correspondence between the variation and theme is still strong. The connection between the variation and theme becomes markedly more difficult to detect when the theme melody is abandoned in the variation. Normally, if either the harmony or melody is fixed, the structure of necessity must also remain fixed. Variations in which none of the three basic elements are fixed are designated free variations. Free variations may retain any of a number of harmonic and melodic features from the theme, but the treatment is not governed by the original setting or structure. The procedures encountered most often in free variations might better be described as development than variation. Because many musical elements are normally modified simultaneously in the theme and variations, categorization according to specific types is ordinarily unrealistic. Four commonly encountered types, however, may be identified. These are the ornamenting, figural, contrapuntal, and character variations. The most conspicuous variational treatment in the ornamenting variation is the embellishment of a fixed melody. In the figural variation the use of one or two figural patterns is the most obvious method of variation. The contrapuntal variation is particularly useful for creating contrast in sets that are predominantly homophonic. The character variation is set in the" character" of a familiar musical genre such as a minuet, waltz, or march. The successive variations in the ostinato forms follow one another in a continuous fashion. The repeated unit is generally a single phrase or twophrase period. Continuous rhythmic motion and cadential elision are two of the most common methods of creating continuity between the successive variations in the ostinato forms. The names associated most often with the ostinato variations today are the passacaglia and chaconne. Both are usually in a slow triple meter and in a minor key, and both mayor may not have a ground bass. It has become an accepted practice to regard the type with a ground bass as the passacaglia and the type without a ground bass as the chaconne.

VARIATION FORMS

175

Although unity is built into the variation forms on a basic level through immediate repetition, formal order on a larger scale is needed to keep the chain of variations from becoming diffuse and meaningless. Grouping two or more successive variations together on the basis of shared elements such as rhythmic motion, figural pattern, or harmonic background organizes a stream of variations into a meaningful plan. The addition of a concluding unit such as a coda, finale, or fugue gives a stamp of finality to a set of variations.

ASSIGNMENTS 1. Brahms' Variations on a Theme of Haydn (Anthology, No. 11) consists of a theme, a set of eight variations, and a finale. In Chapter 3, Assignment No. 2, we analyzed the phrase structure of the theme. Examine it once again and determine the theme's overall form. Then analyze as follows: A. Compare each variation with the original theme; determine what element(s) are fixed in each, and describe the variation technique(s) used. Are any of the variations grouped, and if so, how?

B. The Finale is a set of ostinato variations. Identify the bass theme, and determine how many variations there are. Note any variations in or departures from the ostinato theme itself. Make note also of elements of the "Haydn" theme that are utilized. C. Review the work as a whole and determine which variations are closest to the original presentation of the theme and which are most distantly related. Based on this information, make a descriptive chart of the work as a whole.

2. Analyze the second movement of Haydn's Quartet, Op. 76, No. 3, the "Emperor Variations. First, analyze the phrase structure and overall form of the theme and do a Roman numeral analysis. Next, compare the variations with the theme and determine which elements are fixed . Finally, determine what techniques are used in each variation. II

3. Analyze a set of variations by Beethoven, chosen from the following list. Proceed as in Assignment 2. If some variations are grouped, determine the means by which the grouping effect is accomplished. Note any unique characteristics such as interlude or finale. If such a section departs from the form of the theme and variations, identify the form.

Sonatas, Op. 57 (" Appassionata"), second movement; Op. 109, third movement Diabelli Variations, Op. 120 Quartets, Op. 127, second movement; Op. 131, fourth movement; Op. 135, third movement Symphony No.9, Op. 125, third movement (The variations in the late quartets and the Ninth Symphony represent an expressive departure from most earlier examples of variation form. As an alternative to analyzing a single movement, you may acquaint yourself with all or most of these late variations with the purpose of discovering what they have in common and comparing that with earlier variation forms.)

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4. Bach wrote three violin concerti: solo concertos in A minor and E major, and a concerto for two violins in D minor. The second movements of all three use a ground bass. Analyze one or more of these movements, with special attention to the following: (1) Is the ground bass used continuously? (2) Is the ground bass melody always in the bass? in the home key? (3) Enumerate as many ways as you can that the material above the ground bass relates to the ground bass. 5. Following the score as you go, listen to a recording of the Bach Chaconne. (The Chaconne is the last movement of the Sonata for Solo Violin, No.4.) The following diagram, reproduced from Section 2-B of the text, outlines the grouping of variations in the first section of the Chaconne. The brackets above the phrase numbers indicate groupings determined by consistency in elements such as rhythmic motion, sequential treatment, figuration, etc. Study this first section of music before completing the assignments listed below the diagram.

,---, ,---, ,---,,---, ,---, . - - - , r - - - l r - - - l I

I r---l

Phrase: 1 2 3 4 5 6 7 8 9 10 111213 14 15 16 17 18 19 2021 '--_------" L-.....JL-.....J LI_ _-',,'--_ _ _ _ _-'1 L - . J

,.--, 2223 24 25 26 27 28 29 30 31 32 33 ' - - _ - ' I '___________ ,

* A. Identify the factors which create each group indicated by a bracket above the phrase numbers. You may write abbreviations (rhy., seq., etc.) directly above the brackets, or you may list each group by phrase numbers and explain the grouping processes in more detail.

B. The brackets below the numbers indicate phrases that are grouped together by a common (or similar) harmonic progression. Do a Roman numeral analysis of the first phrase in each of these groups, then compare it with the other phrase(s) in the group. Phrases 27-30 (marked * on the diagram) do not share a common progression, yet the harmonic treatment does cause these phrases to cohere as a group. Examine this group, compare it with its surroundings, then explain the role of harmony in the grouping process. C. Where do you think the climax of this section of the Chaconne occurs? (Look for an area, rather than a specific point in time.) Explain your choice. 6. With the techniques used in the previous assignment, analyze the second and third sections of the Bach Chaconne. Make your own grouping diagrams for the two sections.

CHAPTER

8

Fugue •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

... no all-inclusive definition of fugal practice is possible .... Yet there is a prototype of the fugue, an image which may be somewhat disembodied, it is true, but which is recognizable as the norm from which every great fugue derives. The unique features of a fugue, which give it life and meaning, are superimposed upon this prototype, but it is still recognizably present. John Verrall, Fugue and Invention

The fugue may be regarded as the pinnacle of contrapuntal achievement. Evolving from the liturgical masses and motets, from the madrigal, and from instrumental forms such as the ricercar, the essence of the fugue was distilled over centuries of development. Just what is a fugue? It is easier to describe than to define. Verrall's concept of a fugue prototype is a useful one, even though admittedly such" an image .. . may be somewhat disembodied." The fugal process involves the contrapuntal working out of, usually, a single theme over the course of a movement. The process yields a product whose character and design depend on variables such as the nature of the theme, the number of voices, and most especially the contrapuntal facility and creative vision of the composer. We will examine the fugue both as process and form. The strict fugue consists of a given number of contrapuntal voices, or parts-occasionally as few as two, rarely more than five. All voices state the fugue's theme, the subject, one after the other, at the outset. This opening set of entries is designated the exposition. The main body of the fugue concerns itself with the timely, sometimes dramatic, restatements of the subject following episodes. The treatment throughout is contrapuntal. Large sectional divisions are generally marked by major cadences, and the macro tonal plan usually involves a departure from and return to the tonal center established in the exposition.

177

CHAPTER 8

178

I.

THE EXPOSITION The exposition follows strict guidelines. The first voice states the subject, giving a clear sense of the tonic key. The first voice continues with new material as a second voice enters with the subject in the dominant. This second statement is called the answer. The designation answer defines its role as a responding voice, much in the same sense that a consequent phrase responds to the antecedent phrase. This procedure is followed as each new voice enters with its statement. In a four-voice fugue, the order is subject> answer> subject> answer,l normally alternating tonic and dominant. When all voices have stated the subject, the exposition is complete. There are 24 possibilities for ordering the soprano, alto, tenor, and bass entries in a four-voice fugue: SATB, SABT, STAB, STBA, SBAT, SBTA, ASTB, ASBT, etc. The order in the diagram below is alto, soprano, tenor, bass. EXPOSITION

Answer - - - - - - ---------------------------------. (dominant) Subject - - - - - - -------------------- ----------------------------- --. (tonic) Subject - - - - - - ----------- -----(tonic) Answer - - - - - (dominant) Ex. 8-1 shows the exposition of a three-voice fugue. The two-and-a-half measure subject iS,stated first in the alto; the answer is in the soprano, and the third entry is in the bass.

EXAMPLE 8-1

1\

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Bach, Well-Tempered Clavier, Vol. 1, Fugue 8

I

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answer

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subject

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. I

1. Exceptions do occur. In the Well-Tempered Clavier, Vol. I, Fugue 1, Bach modified the usual sequence of entries in the exposition to subject> answer> answer> subject. Some twentiethcentury composers chose intervals other than the perfect fifth for successive entries in the opening exposition. Hindemith used answers in the mediant in some of his fugues. In Music for Strings, Percussion, and Celesta, first movement, Bartok alternated entries at successive ascending fifths with entries at successive descending fifths, thus taking two routes simultaneously around the circle of fifths.

FUGUE

1\

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cod.:tta- - - -- - - -- - - - ~ - --

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.

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Note that there are two measures of "extra" material between the end of the soprano entry and the beginning of the bass entry. This connective material between successive entries of a fugue subject is referred to as a codetta or link. Its purpose is to modulate back to the tonic for the third statement of the subject. Since the passage has a connective function, the term codetta seems illogical if we think only of the codetta as a closing section. Since codetta actually means "little tail," the designation makes sense, for the answer has been provided with an extension, a little tail, which enables it to connect properly with the next entry. When the second voice enters, the new material with which the first voice continues may be of two types. The simpler of these is free counterpoint in which motives from the subject mayor may not be present. The counterpoint in Ex. 8-1 is of this type. Often, however, the melodic line which appears against the second entry of the subject has a special significance in that it is used consistently against the subject throughout the fugue. Such a line is called a countersubject. The three-voice exposition in Ex. 8-2 includes a countersubject. The first appearance begins in the soprano (m. 3), and the next appearance begins in the alto (m. 5).

EXAMPLE 8-2

i

1\ II II

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subject ~

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countersubject -- -- - -- --- -- -- - --

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180

CHAPTER 8

-----------------------------, 4

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subject

Some fugues include a second countersubject which appears simultaneously with the subject and first countersubject. Fugue 21 from Vol. 1 of the Well-Tempered Clavier uses two countersubjects (Ex. 8-3). The subject is first stated in the soprano (mm. 1-4); when the answer commences in the alto, the soprano continues with countersubject 1 (CS 1). When the bass enters with the subject in measure 9, the alto takes CS 1 and the soprano introduces countersubject 2 (CS 2).

EXAMPLE 8-3

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FUGUE

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181

____ ___ ___ _____ __ __ __ ___ ____ _____ ______________________________________________ _

Ex. 8-3 demonstrates one of the most useful of all contrapuntal devices, invertible counterpoint. If a subject and one or more countersubjects are to be joined together throughout a fugue, it must be possible for these lines to reverse their vertical positions so a voice that formerly served as a soprano may serve as an inner voice or the bass voice; and likewise, a voice that initially functions as a bass voice must work effectively as an upper voice. Compare the relative positions of the subject and two countersubjects in measures 13-16 with those in measures 9-12. The subject that formed the bass voice in measures 9-12 is moved to the soprano in measures 13-16; it is now above both countersubjects. The invertible counterpoint is at the octave, since the lower voice is raised a compound fifth and the upper voices are lowered a compound fourth.2 CS 2 is still above CS I, but later in the fugue, invertible counterpoint occurs between these lines as well. Ex. 8-3 also demonstrates a variation on the usual exposition which is worthy of note. After the three voices have made their entrances, the soprano finishes the exposition with an "extra" answer.3 Occasionally the exposition is followed immediately by a second set of entries in the home tonality (tonic alternating with dominant)-a second exposition, as it were. Such an occurrence is termed a counterexposition.

A. The Subject Fugue subjects vary considerably in length, range, intervallic content, rhythmic shape, and general character. An effective fugue subject displays some combination of pitch and rhythmic elements that makes it stand out from its surroundings. In other words, the fugue subject must have the quality of "recognizability." Ex. 8-4 displays five diverse fugue subjects.

2. Minor adjustments occur in CS 1 in m . 13. It is easier to discern the inversion at the octave in mm. 14-16. 3. An extra entry in the exposition is often termed a redundant entry.

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CHAPTER 8

EXAMPLE 8-4

A.


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Fugue subjects

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Mozart, String Quartet in G Major, K. 387, fourth movement I.

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Each of these subjects is memorable as a beginning musical idea which will be readily recognizable at subsequent appearances. Each also embodies a clear harmonic structure and sense of direction. Ex. 8-4(A) is diatonic and begins and ends on tonic harmony. Ex. 8-4(B) and (C) are modulatory subjects, moving from the tonic to the dominant key. Ex. 8-4(D) does not modulate, despite the chromatic g-sharp in the second measure. Ex. 8-4(E) moves in a nontraditional direction harmonically, but still allows for the entry of the answer at the dominant." 1/

Now let us summarize the rhythmic characteristics of these subjects (Ex. 8-4). The Bach subject moves mainly in eighth-notes, but the agogic stresses and short notes help propel the subject forward. The Mozart subject (Ex. 8-4(B)) moves in steady long values; variety is achieved with the energetic counterpoint which is placed against the whole notes. Beethoven's unusually long subject (Ex. 8-4(C)) gets much of its energy from the syncopations on the second beats of the first three measures

183

FUGUE

(first the tie, then the eighth rests). Schumann uses rests in a similar fashion (Ex. 8-4(D». The dotted rhythms of Example 8-4(E) figure prominently in the fugue's development.

B. The Answer After the first voice of a fugue has stated the subject, the second voice enters with the answer, traditionally at the interval of a perfect fifth above (or fourth below) the first statement. The answer is a form of the subject, and it is intended to be heard as the subject. If the intervals throughout the answer are exactly the same as in the subject, the answer is termed real. Ex. 8-5 exhibits a real answer.

EXAMPLE 8-5


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When one or more intervals of the answer are altered, the answer is termed a tonal answer, as the modifications are clearly made for tonal reasons. The intervallic adjustments enable the answer to stay in the tonic key, at least at the outset. Ex. 8-6 shows an especially clear instance. Note that the subject's descending perfect fourth (m. 1) is answered by a descending perfect fifth (m. 3). B-flat minor remains firmly intact. In measure 4, the answer gets back on track by leaping a minor tenth as opposed to the subject's minor ninth, and the E-natural and G-natural of the first voice clearly move the tonal center to the dominant (f minor).

EXAMPLE 8-6

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184

II.

CHAPTER 8

THE EPISODE Following the exposition, episodes separate further entries or sets of entries of the subject during the remainder of the fugue. Episodes permit additional contrapuntal treatments and are useful for creating modulation, one of the strongest energy forces in the fugue. 4 Although episodes are devoid of complete statements of the subject, fragments of the subject may be expected to appear. In fact, motives and submotives may be derived from the subject, countersubject, or their accompanying lines. New material is occasionally introduced, but this practice is rare before the nineteenth century.

Sequence is an especially useful device in the episodes, as it allows for the unified extension of material and facilitates modulation. The successive stages in the sequence shown in Ex. 8-7 descend by step.

EXAMPLE 8-7

Bach, We 11-Tempered Clavier, Vol. 2, Fugue 19

Voices may be treated to invertible counterpoint within a single episode or between two different episodes. Ex. 8-8 demonstrates the use of invertible counterpoint, sequence, canon, and modulation within an episode. Each of the two voices consists of a two-measure melodic pattern that is sequenced downward in the third and fourth measures. Each measure is also an invertible counterpoint of the previous measure; and due to the close proximity of the contrapuntal inversion, either voice can be heard as a canonic imitation of the other. The sequence drops by fifths, creating transient modulations from A to D, G, and C.

4. For an example of a fugue which is devoid of episodes see Bach's Well-Tempered Clavier, Vol. 1, Fugue 1. The imaginative use of stretto in this fugue maintains the listener's attention despite the lack of episodic passages.

FUGUE

185

EXAMPLE 8-8

Bach, We 11-Tempered Clavier, Vol. 1, Fugue 10

III. THE MIDDLE ENTRIES After the exposition is complete and an episode has diverted the listener's attention, the subject inevitably reappears. Restatements of the subject may consist of as little as a single entry or as much as a complete set of entries in all voices. Keys other than the tonic may be expected, and a succession of middle entries is much more likely to vary from the strict pattern of subject> answer> subject, etc., as laid down in the exposition. Change of mode and devices such as stretto, invertible counterpoint, melodic inversion, retrograde, augmentation, and diminution are commonly employed. The set of middle entries shown in Ex. 8-9 is characterized by melodic inversion and stretto. The bass enters in measure 44 with the subject in melodic inversion; the soprano, also in melodic inversion, enters in stretto at the distance of a half note in measure 45. As soon as these entries are completed, the alto enters in melodic inversion (m. 47), and the soprano follows suit only a quarter note later. It is typical in complex contrapuntal relationships that small alterations in pitch and rhythm are occasionally necessary. It would be well to compare this set of middle entries with the initial presentation in the exposition (Ex. 8-1).

EXAMPLE 8-9

Bach, Well-Tempered Clavier, Vol. 1, Fugue 8, mm. 44-50

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CHAPTER 8

186

47

Although devices such as those shown in Ex. 8-9 are encountered with some frequency, many a fine fugue relies entirely on the charm of its linear material, its contrapuntal interplay, and movement to several tonal centers for sustaining interest in the middle entries.

IV. THE CONCLUSION Most fugues feature a statement of the subject at or near the end. This closing statement may be in one or several voices. The final statement shown in Ex. 8-10 takes on the character of a coda. A complete cadence is reached in measure 29, and the final statement of the subject is rendered above a tonic pedal point. Extra voices are added to strengthen the closing effect.

EXAMPLE 8-10

Bach, Well-Tempered Clavier" Vol. 1, Fugue 2, mm. 28-31

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In the foregoing example (Ex. 8-10), the final statement takes place after the final cadence has arrived. In Ex. 8-11 the final subject statement is finished before the arrival of the cadence.

FUGUE

187

EXAMPLE 8-11

Bach, We 11-Tempered Ciavie,", Vol. 1, Fugue 6, mm. 39-42

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In the closing measures of Fugue 22 from VoL 1 of the Well-Tempered Clavier (Ex. 8-12), Bach seems to be pulling out all of the stops from his technical arsenaL Five subject entries in close stretto are followed by four cadential measures which are permeated with motives from the subject. You may wish to refer to the initial appearance of the subject and answer in the exposition (Ex. 8-6).

EXAMPLE 8-12

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v.

CHAPTER 8

THE "FORM" OF THE FUGUE It should be apparent by now that the fugue is more dependent on

contrapuntal processes than formal structural patterns. This is not to imply that a fugue has no form. When in the fugal process a musical work is created, a definite form results. But it is not a form which can be codified and identified as "fugal form." Rather, as each individual fugue unfolds, it generates its own form.

In the fugue, cadences take on special significance, as they provide momentary relief from the ongoing counterpoint. They also define tonal regions and provide springboards for the launching of new sets of contrapuntal devices. Bach was unsurpassed in his ability to create effective cadences while maintaining the forward motion so necessary in a fugue. Ex. 8-13 gives an example. Note that subject entries commence immediately and in stretto following the strong cadence in A minor.

EXAMPLE 8-13

Bach, Well- Tempered Clavie~ Vol. 1, Fugue 1, mm. 12-14

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The cadence shown in Ex. 8-13 occurs precisely midway through the fugue; it divides the fugue into two main sections. A weaker cadence subdivides the second section further (Ex. 8-14). All the trappings of a strong cadence are present here (a perfect authentic cadence in D major), but Bach manages to flow two subjects in stretto right across the cadence point!

FUGUE

189

EXAMPLE 8-14

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Cadences often give a needed sense of completion at various points, thus giving shape to a fugue as it unfolds in time. But this sectional shaping is of less significance here than in most homophonic forms; the fugal process remains the primary driving force and usually captures the bulk of the listener's attention.

VI. FUGUES WITH MULTIPLE SUBJECTS Fugues with two, three, or (rarely) four subjects are called double, triple, and quadruple fugues, respectively. In one type of multiple subject fugue, the subjects are combined from the very start and continue to occur together throughout the fugue. Ex. 8-15 shows the beginning of the Kyrie fugue from the Mozart Requiem. Note that its two subjects are presented together by a pair of voices. The exposition is complete when all four voices have stated both subjects. Thereafter, the fugue proceeds normally, but with the two subjects always paired.

EXAMPLE 8-15

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CHAPTER 8

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In a second, more expansive form of the multiple fugue, each subject is presented first in its own fugue. After the resulting succession of fugues, the subjects are combined in a final, multiple fugue. As one might imagine, hybrids of the two types of multiple subject fugue can be found. Fugue 4 of the Well-Tempered Clavier, Vol. 1 begins as a normal fugue on a single subject, but becomes a triple fugue as it progresses. The beginning of the exposition is shown in Ex. 8-16(A). After the initial exposition, episodes, and middle entries, a second subject joins in, Ex. 8-16(B). Still later a third subject is added, Ex.8-16(C). In this case the new subjects are combined immediately with the first subject, rather than having separate expositions of their own.

EXAMPLE 8-16

Bach, Well- Tempered Clavier, Vol. 1, Fugue 4

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The possibilities for introducing and combining subjects are numerous. The following works are recommended for study. Bach, The Art of Fugue, Nos. 8-11 Bach, The Well-Tempered Clavier, Vol. 2, Fugues 4 and 18 Bach, Organ Compositions, Vol. 4, Nos. 8 and 10 Beethoven, Der Grosse Fuge for string quartet, Op. 133 Handel, The Messiah, chorus And with His Stripes Are We Healed"5 /I

Haydn, String Quartet, Op. 20, No.6, finale Hindemith, Third Piano Sonata, finale

VII. RELATED TYPES A. Fugato The fugato is a fugal passage in a work or movement that is not otherwise fugal. Fugatos figure prominently as developmental devices, often in sonata form movements of sonatas, symphonies, quartets, etc. Example 8-17(A) shows the first theme of a Mozart finale and Ex. 8-17(B) shows the fuga to that occurs later, built on the first four notes of the first theme.

5. The procedure in this fugue is exactly that of the simple fugue, but because the countersubject functions as an equal with the subject, some theorists describe the countersubject as subject 2.

192

CHAPTER 8

EXAMPLE 8-17

A.

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Ex. 8-17(B) is a straightforward fugal exposition, but a true fugue does not continue in the following passage immediately. Examples of such fugatos within larger movements are abundant.

B.Fughetta The term fughetta should not be confused with fugato. Fughetta means literally a small fugue, and might refer to any work that fits that description. In practice a fughetta is usually less elaborate than a fugue, and may consist of as little as an exposition, an episode, and a closing statement or group of statements. Bach sometimes paired fughettas with preludes or fantasies.

C. Canon Canon is the strictest form of imitative counterpoint. An initial statement of a melody (referred to as dux) is followed shortly by one or more following voices (comes) which state the melody in its entirety, exactly as stated by the first voice. All canons are distinguished by the time interval between entries (often one measure) and the pitch interval between entries (canon at the octave, at the fifth, etc.). Ex. 8-18 shows the beginning of a canon in unison.

EXAMPLE 8-18

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Canons may be further distinguished by the contrapuntal devices used: canon by inversion, by augmentation or diminution, retrograde canon, and the like. Canons can either stand alone or be accompanied by additional free lines or chords. Canonic treatment is often found within larger compositions and figures prominently in some fugues, especially in sequential episodes (see Ex. 8-8). The strictness of the canon usually breaks down at the very end, either for the purpose of a cadence or for integration of the canon into the surrounding texture. However, in the circular canon, or round, each voice returns to the beginning, and the canon may continue for an indefinite number of repetitions.

D. Invention The term invention usually brings to mind the 15 Inventiones in two parts (voices) and 15 Sinfoniae in three parts by J. S. Bach. These works are far too diverse to be summed up simply, but they are all built on relatively brief thematic material-usually called motives-and feature intense contrapuntal development. Example 8-19 exemplifies these characteristics.

EXAMPLE 8-19

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In this invention we can see fuguelike characteristics: the first two measures constitute an "exposition" (though the imitation is at the octave, rather than at the fifth); mm. 3-6 can be considered a sequential episode which makes extensive use of the inverted form of the motive; and m . 7 is like the beginning of another exposition. The rest of the invention makes considerable use of the inverted motive. It is typical of the invention to exploit a small number of contrapuntal devices extensively. In addition to the two- and three-part inventions, Bach wrote numerous other works which fit into this category, though they are not so titled. Among them are many of the preludes in the Well-Tempered Clavier and some of the preludes contained in his partitas. Bartok's Mikrokosmos No. 145 is an invention, as is the trio of the Minuet in Schoenberg's Suite, Op. 25, for piano.

In a broad sense invention can be defined as a process in which any fragment or subject is explored contrapuntally. Under this definition, many developmental sections in sonata form, as well as other pieces of diverse styles and forms, make use of the invention process.

E. Organ Chorale The organ chorale, a polyphonic work based on a chorale tune, is perhaps even more diverse than is the invention. We mention it here primarily because, in some of its manifestations it utilizes fugal procedures extensively. These include the chorale fugue, in which the first phrase of the chorale tune is used as the basis for a fugue; and the chorale motet, in which each phrase of the chorale in succession is treated fugally, or at least imitatively.

Summary: An Analytical Approach Though fugues vary greatly in their details, they are based on the same underlying conception. The fugue lends itself to graphic and verbal description perhaps more readily than any other form. Analysis may be done directly on the score, or a chart may be drawn using horizontal lines to represent voices, vertical lines for bar lines, and symbols of your choice to represent subject, countersubject, derivative material, and free counterpoint. The spaces of a musical staff and colored markers can be used to make an effective graphic representation of a fugue. Using your choice of the above methods, follow these steps. 1. Locate all entries of the subject, mark their beginnings and endings, and label them as statement (S) or answer (A). Make note of whether the answers are real or tonal. (Keep in mind that when real answers are used, there will usually be no distinction between statements and answers once the initial exposition is complete.) 2. Determine whether a countersubject is used; if so, mark all appearances (CS; or, if necessary, CS I, CS 2). 3. Locate and mark the broad features of the fugue: exposition, middle entries, episodes, and coda.

196

CHAPTER 8

4. Locate the sectional cadences, and indicate the main tonal areas. 5. Mark or footnote any interesting or unusual details: stretto, augmentation, diminution, melodic inversion, sequence, alterations of the subject, pedal points, etc.

ASSIGNMENTS 1. Study the exposition in selected fugues from the Well-Tempered Clavier, Vol. 1. Compare the statements and answers, then determine A. The end of each subject

B. Which fugues use real answers and which use tonal answers Suggested fugues from the Well-Tempered Clavier, Vol. 1: 1, 2, 3, 6, 8, 10,21,22 2. Examine the same fugues you considered in No. 1 to determine which use countersubjects. 3. Using the procedure described in the preceding section Summary: An Analytical Approach, do a complete analysis of Fugue 6 from the WellTempered Klavier (Anthology, No. 14). Alternatively, you may analyze a different fugue as assigned by your teacher.

CHAPTER

9

Sonata Form •

•

• • • • •

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Of all musical forms, the one considered the richest from the point of view of development is the symphony. We usually designate by that name a composition in several movements, of which one confers upon the whole work its symphonic quality-namely, the symphonic allegro, generally placed at the opening of the work and intended to justify its name by fulfilling the requirements of a certain musical dialectic. The essential part of this dialectic resides in the central portion, the development. ... But I do not wish to bother you further with a course in morphology ... and I only mention the subject in passing to remind you that there exists in music, just as in all the other arts, a sort of hierarchy of forms. Igor Stravinsky, Poetics of Music

Sonata form-which Stravinsky referred to as the "symphonic allegro"-is the pinnacle of evolution of the homophonic forms. But before that statement can make any sense, we must elaborate on the meanings of the term sonata. The sonata and a large variety of sonata-related compositions (symphony, concerto, quartet, etc.) are the most significant and widely used multi movement forms of the common practice period. Within the multimovement design of sonata-related compositions, one or more movements are normally based on the formal plan known as sonata form) The gradual growth of sonata form from simple two-part form to a highly sophisticated ternary design is one of the major developments in music history. During the sixteenth century, instrumental compositions were frequently called sonatas to distinguish them from vocal compositions (cantatas) or 1. Sonata form is also referred to as first-movement form and sonata-allegro form, but both terms are somewhat misleading. Sonata form may characterize any movement of a sonatarelated composition regardless of tempo, but the term first-movement form implies that the formal plan is encountered only in the first movement, and the term sonata-allegro form implies that the tempo must be fast.

197

198

CHAPTER 9

keyboard works (toccatas).2 The term sonata was applied to instrumental music in general with no specific structural type in mind. Over a period of some 200 years (ca. 1550-1750), a compositional type gradually evolved which assumed sole possession of the designation sonata. By 1700, the term sonata generally implied a multimovement composition,3 but there was little standardization as to the nature of the various movements. Many sonatas dating from the early eighteenth century are actually dance suites (sonata da camera) with movements typically in two-part form; but others (sonata da chiesa, trio sonatas) include idealized movements which succeed one another in alternating slow and fast tempi. Since about 1750, the term sonata has denoted a multimovement composition (usually three or four movements) either for keyboard (most often piano) or for a one-line instrument with keyboard (violin sonata, clarinet sonata, etc.). When more than two players are involved, the term sonata is replaced by a term which designates: (1) an exact number of players (trio, quartet); (2) an orchestra (symphony); or (3) an orchestra with soloist (concerto). Thus, a string quartet follows the same basic structural plan as a piano sonata and is essentially a "sonata for four players." Likewise, a symphony is essentially a "sonata for orchestra."

I.

GENERAL CHARACTERISTICS; HISTORICAL BACKGROUND The general term sonata usually refers to a multimovement work of a more or less serious nature. But our subject in this chapter is the more specific designation sonata form, which refers to a specific formal plan suitable for a single movement. Briefly stated, sonata form involves 1. The presentation of thematic material on two tonal levels 2. The "working out" of several or all of these thematic elements 3. The return of the thematic material in more or less its original form, but on a single tonal level.

A ternary plan, obviously, but more complex than any of the three-part schemes we have seen until now. The three large sections are called exposition, development, and recapitulation. The exposition states the thematic material. This material is divided into two main groups, the first in the tonic key, the second usually in the dominant or relative major. Sometimes the second group is followed by a group of "closing" ideas. In the development section the composer elaborates on thematic elements from the exposition. This can be done 2. The word sonata, literally "sounded" (implying "sound piece"), is the past participle feminine of the Italian word sonare, "to sound." In much of today's music, which often shows a preoccupation with textures, densities, timbre, etc., the term sonata suggests the original meaning of the word, sound piece. 3. Some composers of the late baroque period, notably Domenico Scarlatti, composed onemovement sonatas. More recent examples of sonatas in one movement are those by Liszt, Scriabin, and Berg.

199

SONATA FORM

quite freely, as there are no strict formal or tonal constraints. The recapitulation 4 rounds out the three-part structure of sonata form. Most, if not all, of the material from the exposition is restated in the recapitulation, this time in the tonic throughout. Graphically presented, the basic ternary design of sonata form looks like this (Ex. 9-1):

EXAMPLE 9-1

DEVELOPMENT

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RECAPITULATION

any thematic 1st theme 2nd theme (Closing theme) material anykeys-- I •

Sonata form often begins with an introduction and almost always ends with a coda. Sonata form evolved over a long period of time as composers gradually expanded the bounds of the binary structure common to the dance suites and sonatas of the baroque era. We have already observed the expansion of two-part form into three-part form (Chapter 4). Sonata form carries this evolutionary process several steps further. The broad outlines of this evolution are shown in Ex. 9-2.

EXAMPLE 9-2

FIVE STAGES IN THE EVOLUTION OF SONATA FORM 1. TWO-PART FORM

Part One A

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2. ROUNDED TWO-PART FORM

Material from-but not head of-A returns, unprepared, as an essential feature of Part 2.

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4. The recapitulation is sometimes referred to as the restatement, reprise, or return.

200

CHAPTER 9

3. HARMONICALLY CONTINUOUS THREE-PART FORM Part One A I

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with contrasting material presented on different tonal levels in Pt. 1 Part One

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THE INTRODUCTION The sonata form proper is often preceded by an independent introduction. Movements in a fast tempo are especially likely to need the stage-setting effect of a slow introduction. The introduction is not considered a part of the exposition and is usually played only before the first statement of the exposition.

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Introduction

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The introduction rarely exhibits a complete form in itself; it is usually through-composed and often consists of several periods or phrase groups of contrasting material. Since the introduction is intended to put the listener in the mood for the main body of the movement, its musical thought is usually left open, often ending in a half cadence and followed by a pause. When there is no pause, the end of the introduction may elide with the beginning of the exposition. Beethoven's Sonata, Op. 13 ("Pathetique"), first movement, exemplifies this type of elision. Sometimes the introduction does not cadence at all, but moves directly

SONATA FORM

201

into the first theme of the exposition, somewhat in the manner that a transition might. The first movement of Beethoven's Sonata, Op. 81a is of this type. The introduction mayor may not be related to the material in the remainder of the movement. In music from the nineteenth century there is frequently a close relationship, either motivic or thematic, between the material of the exposition and that of the introduction. In instances such as this (for example, the first and last movements of Brahms' Symphony No.1) the introduction forms an integral and inseparable part of the movement. Before Beethoven, the introduction usually reveals no direct motivic or thematic similarity with the main body of the movement.

III. THE EXPOSITION As the name implies, the exposition presents the movement's primary thematic material. The first theme or first groupS is in the tonic and may consist of several parts. The second theme or second group, which may also include more than one part, is in a related key, almost always the dominant when the home key is major, the relative major or dominant when the home key is minor. If there is a closing theme, it will be in the same key as the second theme, distinguished from the latter only by its nature, as we shall see later. The second theme generally contrasts with the first in mood and character. In fast movements the material of the first theme is often more active than that of the second, which tends to be more lyrical. Sometimes the material of the two themes reveals strong motivic similarity. Compare the opening phrases of the two themes in Ex. 9-3.

EXAMPLE 9-3

Beethoven, Sonata, Op. 57

Theme I

5. The first theme may also properly be called first group, principal theme, main theme, or first tonal group, among other terms. Similarly, what we have called the second theme may be referred to as second group, subordinate theme, second tonal group, etc., and the closing theme may be called closing group or closing section. Our choice of first theme or group, second theme or group, and closing theme or group is admittedly arbitrary, as some of the other terminology often has advantages. We will not hesitate to incorporate other nomenclature when it seems more effective and can be used without causing confusion.

202

CHAPTER 9

Theme II

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The two themes illustrated in Ex. 9-3 are contrasting in character, and yet both are based largely on the same motive. While the pitch shape of the motive is constantly varied, the rhythmic shape remains intact. The melodic contours of the two themes contrast with each other, but the rhythm binds them together. In many examples from the classical period the opening idea of the first theme also occurs at the beginning of the second.6 In such cases it is solely the different key that creates the contrast between the themes, a contrast often lost to the jaded ears of the modern listener. In most instances, the themes remain identical only briefly before other contrasting ideas take over. The beginnings of the first and second themes in the first movement of Haydn'S Symphony No. 99 demonstrate this beautifully (Ex. 9-4).

EXAMPLE 9-4

Haydn, Symphony No. 99, I, mm. 1-8 and 48-54

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6. A movement with first and second themes in this relationship is often referred to as a mono thematic movement. In most instances, however, the term monothematic is somewhat of a misnomer, for although the two groups may share the same motivic material, the thematic material occurring at the heads of the two groups is usually identical for only a short time.

203

SONATA FORM

The idea of transition is part and parcel of the sonata form. A transition almost always connects the first and second thematic areas in the exposition. This allows the composer to expand the time interval between the two themes, to vary the texture, and to exploit the sense of motion away from the tonic. Most first themes are predominantly diatonic; transitions normally introduce harmonic variety through altered chords, transient modulations, etc. The transition frequently grows motivically out of the first thematic group, often in the form of a transitional extension. Anticipatory transitions, however, are rare at this point in the form, since the second theme has not yet been heard. Although the transition is often based on motivic material from the first theme, the treatment of the material ordinarily contrasts with that of a thematic statement. Occasionally a transition has some thematic quality of its own. Such a thematic transition is illustrated in Ex. 9-5.

EXAMPLE 9-5


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The transition above contrasts rhythmically, melodically, and tonally with the themes it connects. It introduces considerable harmonic activity, modulating through 0 minor to C minor where it ends with a half cadence, thus preparing the way for the change of mode to the C major of the second thematic group. This type of minor> major tonal preparation is quite common.

204

CHAPTER 9

The joint between the transition and the second theme is often a major point of articulation in the exposition. The division between the two thematic groups is especially emphatic when the last chord of the transition arrives on a strong beat and is followed by a pause. Example 9-5 (mm. 40-41) is a clear example of this characteristic. Because the first and second thematic groups are normally in closely related keys, a transition is not essential from a purely tonal standpoint and is occasionally omitted. More often a transition is desirable, and the tonal goal and the approach to that goal become significant. When the second theme is in the dominant, the transition may simply end on a half cadence in the home key, or on an authentic cadence in the new key. Ex. 9-6 illustrates the former type.

EXAMPLE 9-6

Haydn, Octet for Winds, I, mm. 19-30

end of transition

I

A greater sense of expectancy arises when a transition ends with a half cadence in the key of the second theme, or even with an authentic cadence on the dominant of the approaching key. Ex. 9-7 has elements of both: the half cadence in the dominant key of D major (mm. 26-27) is approached through the V IV (mm. 25), whetting our appetites for what is to follow.

SONATA FORM

205

Mozart, fine kleine Nachtmusik, I, mm. 18-29

EXAMPLE 9-7

Allegro

~~"--,,,=ii p ,

• ~ ~:ff: f:-' .. ff:~f:~ f:-' ...If:~f:~

i"FB r"'1-

./

~f

p

-

cresco

f

~~

tr

fI / f

~

tr

tr

) fI II

77"--"'........~~ sf ,Isf p

p "----"

• lI"

cresco

Ill"

sf

p

sf

p

sf

p

sf

p

n

f

••

n

~ cresco

n

n

--

cresco

f

25

) fI II

~t

t t t' 'f:- f:- f:A

~

f:-If:~f:-~f:~f:-~ff:

f:-

-

fI II ~

•

..

~

• . • ~.11

..

:

............ D: I

~

~

••••••••

n

f

: "\

n

~~

-

P,

--

p

•

............ •

w..u v

~

..

.

3

.

3

~.

r ~

r

p

r

p

r

The transition that occurs between the two thematic areas can be one of the most interesting areas within sonata form, both in the exposition and in the comparable place in the recapitulation. At times these transitions may actually be longer than the themes they connect and take on a life of their own. The compositional possibilities inherent in this transition appear to be almost unlimited. Composers often feel the need to round off the exposition with a closing idea after the second thematic group. For the listener and analyst the identification of closing themes or groups is a somewhat subjective matter; what one listener perceives as the last part of the second thematic group/ another will hear as independent and of a "closingf/ nature. Nonetheless, themes with a decidedly terminal effect occur at this point in the form too often to be ignored, even if we can't always agree on when to apply the term closing. Often a closing theme gives the feeling of subsiding, as in Ex. 9-8.

206

CHAPTER 9

EXAMPLE 9-8

Allegro 1\

I I I

.-#-.

,-------:

jj


.. ..

~

f

11~ ~

1\

..

.

----

1\

~br_ ~ #, ~

J~=

.... P

-=

:

1\

I ~

.. ':it .. ':it P

'-"

"

'-.

===-' ..

r

~br~#'~ J~

=

~r

===-' ..

-=

---

" ......

sf

.

: I

r

J

1

r

::-

~

r

J r

J

si'--~.. J r 1

/'

I, "'-

sf

J

J r

-----------

---

~~~'ft

~#-

...Y

l

jj

-

__

If

----------________~-~r~-----------r tr ...

~

L L d" ~t. =r= r

~r

~r ~#- ~~~'ft

If

':it

1 - - t',.

I

...Y _ _

':it If

dolce

jj

~

---

~

------L L d'- ./=t =r= r ll. .....

:

---

I

-----------------

~r

...

J

:

jj----

~

~

sf

closing theme

111-",>-

---" --"-

I

On the other hand, a vigorous final section may stand out as a closing theme. Consider this well-known example (see Ex. 9-9).

---

·· ··

SONATA FORM

207


EXAMPLE 9-9

Allegro 1\

t

~

t

. ---~~=it~T"'''~ v~

...

I

I

I

-

~

:

~'

sf

"

...

~

sf

b...

~.

I

~

. -----

...

I

.

-e"'IT

ff

...

I

I

~.-

b...

~.

I

t:

••

?

. r

~'

con espreSSlOne

.

""~. -

. r

.

:

1\

-

closing theme

r--

I

----.;..

.

p

I '

~

~':"

.

:::p-

..

:t

Whether or not an exposition contains a closing group, it usually concludes with a codetta. The codetta is normally based on a repeated cadential progression and is often a mere extension of the preceding unit. Look again at Ex. 9-8; the last six measures make up a codetta which grows out of the closing theme. In both Exs. 9-8 and 9-9, the exposition closes with a strong cadential punctuation followed by a pause. This is a common method for ending an exposition. Sometimes, however, the end of the exposition is connected to the development by a transition. If the exposition is to be repeated, the transition is written so that it can lead either back to the beginning of the exposition or to the development. For this reason, two endings are often necessary. In present-day performance practice the repeat of the exposition is often ignored, especially if the exposition is of large proportions. The custom of repeating the exposition carries on the tradition of repeating the first part in binary and ternary forms. During the nineteenth century the indication to repeat the exposition gradually disappeared. The repeat sign can be expected to occur in all sonata-related compositions of the classical period except the concerto, in which the repeat is usually written out, with the orchestra taking the first statement and the soloist entering on the second statement. This topic is explored more extensively in Section VII of this chapter.

208

CHAPTER 9

IV. THE DEVELOPMENT In the development section ideas from the exposition are treated to rhythmic, melodic, and harmonic variation. 7 The development normally constitutes an area of dramatic contrast between the exposition and the recapitulation. The development is sometimes referred to as a fantasia section, since it is not governed by predetermined macrorhythmic or macrotonal schemes. Though whole phrases may be extracted from the exposition for use in development, smaller motives are often used. Any devices of motivic variation may be applied; sequence and imitation are especially useful. Ex. 9-10 shows the beginning motives from the first and second themes of Beethoven's Sonata, Op. 81a (Exs. 9-10(A) and 9-10(B)), along with a portion of the development (Ex. 9-10(C)). Playing the three excerpts reveals their close interrelationships: not only are motives extracted from the original units, but the musical thought of the first theme is wedded to the second by the close proximity of their respective motives in the development.

EXAMPLE 9-10

Beethoven, Sonata, Op. 81 a, first movement, allegro

Measures 17-21, first theme

A.

I f

sf==-p

B.

Measures 50-54, second theme

,.----------.-1 - - - - - - - - - - - ....,

&&"1,

..0.

r~

If p

C.

,from Theme II, II

I

!

o

I

Measures 73-80, from development

-

..-

..,

:

Ir-- r f??F

-

.

---I

1-

r1

,...... from Theme I

-,

,

,~, -b.f:t::::=.

1

:

-

,

.=:::e-

. ...., : • .J

tJ

I 1_

.-J

~.J

,

~

~

11:1.

.....

1""'1

-.J-) ,

7. New ideas are occasionally introduced in the development. The subject of the fugato in Ex. 9-12 is an example.

209

SONATA FORM

In many examples from the early classical period the development comprises phrases which join into well-defined periods. But as composers increasingly explored developmental techniques, the inner structure of the development came to be handled with much greater freedom. The development is frequently articulated into several sections, each of which is based on one or more fragments from the exposition and a consistency in developmental treatment. The development often passes through a variety of tonalities and is usually much less stable tonally than either the exposition or the recapitulation. The excerpt in Ex. 9-11 is a tonally active portion of the development from the first movement of Beethoven's Sonata, Op. 2, No.1. The modulations are brief and may be referred to as transient modulations. Three key centers are touched upon sequentially in the short span of eight measures. This passage can be referred to as a modulatory sequence.

EXAMPLE 9-11

Allegro

Ii

69

68

L

!

~

~

.

Beethoven, Sonata, Op. 2, No.1, I, measures 68-74

. . .. .

.. I

I

~r

I

.

I

r I

-r-

I

70

-r-

I

-r- r -r- r -r- r -r~

1--

: cmm. 71

.

sf~

I

72

A~Maj :

. b ~ mm .

74

73

sf

The increased tonal movement common in most developments usually necessitates a generous use of active chords, namely, those with a tonicizing function: major-minor seventh, diminished seventh, and augmented sixth chords, to mention some of the most useful. The active harmony in Ex. 9-11 consists of dominant harmony (V7 and viid7 ) in relation to each key.

Counterpoint is also frequently used as a developmental device. The introduction of a contrapuntal texture draws the listener's attention to the horizontal aspect of music, creating contrast in a primarily homophonic form. Imitation is often used as a method of maintaining unity within a contrapuntal passage. When imitative counterpoint is used in a fuguelike way within a basically homophonic composition, the passage is called a fuga to. The term may be applied somewhat freely since fugal procedures

210

CHAPTER 9

are not usually applied as strictly in the fugato as in the independent fugue. (See Chapter 8, Section VII.) Early in the development section of the first movement of his Symphony No.4 ("Italian"), Mendelssohn introduces the jaunty fugato shown in Ex. 9-12. The subject, which is new to the movement, returns in a homophonic context later in the development and again in the coda. The order of fugal entries follows the normal tonal pattern of alternating tonic and dominant statements of the subject.

EXAMPLE 9-12

Allegro vivace \"·.~h.

1\ ~ Ii

I ~

\.,.

. ..

. h.\.,·

. .•

\.,

·.~h.·

.

answer

r---------------------fr o

.

~

P

subject

r-------- ...........-

1\ ~ II

~

. .

Mendelssohn, Symphony No.4, Op. 90, I, mm. 225-236

d.

. .

--------

. .

.

. .

.

. . . . ~

---

subject

r-------------answer

L __________________ _

Transitions often take on special interest of their own; this is especially true at the recapitulation's point of arrival. The return of the tonic and the themes from the exposition may be prepared by a simple dominant harmony, be it brief or protracted. But more often the composer takes great pains to prepare for this watershed moment in the form, sometimes deliberately surprising the listener and at other times approaching the reprise stealthily so that the listener scarcely realizes when it begins. Brahms takes the latter approach in the first movement of his Symphony No. 1. The home key of the movement is C minor. Tonalities of Band F (both major and minor) predominate in the first half of the development section. The next 83 measures of the development remain close to the tonal region of C, but the focus is on G, the dominant. Beginning in measure 261, a series of half cadences move the tonality into the orbit of C, ending a developmental section that began in measure 225. The first two of these cadences are shown in Ex. 9-13.

SONATA FORM

211

EXAMPLE 9-13

Brahms, Symphony No. 1, I, mm. 261-265

.

263 261

f\

t

.

I

. .

~

ff

t

~.

:

..---:=:--- :

.

.

. :

I

I

iI-_ ~Ji:.

q.J

262

.

264

j ~~Y:-~:

b-J

q~

.

r

I

.

.

. vii d 7 IV

c:

265

b:f::

.

. Vii d7

V

IV

V

The next section (mm. 273-293) consists of a series of chord progressions over a G pedal point. The first few measures are shown in Ex. 9-14.

EXAMPLE 9-14

f\

I

!

J.-

273

274

~J.

1

p

275 '~

J.

:

:

~

1I

Brahms, Symphony No. I, I, mm. 273-279

:

:

I

1

.

276

I-

I

I

I

I

, I ..

I

dolce

:

. .

.

277 I

.

. .

.

·

.

I

279 I

· ·· · r' r' ..,-

I ·.

r

I"

278 I

I

·

· ·

.

In the next section (mm. 294-320) Brahms abandons the pedal point in favor of a slowly rising bass line that leads eventually to D, the dominant of the dominant. The first few measures of this bass line are shown in Ex. 9-15.

EXAMPLE 9-15

Brahms, Symphony No. I, I, mm. 294-303

IJ

"f

pp

300

i

297

296

295

J??:1]~d.

Ir

#Jc£L1? J. 301

Ir

302

i

298

"f

J. I J. ~

J;z<=- f17 ~J.

------

poco a poco cresco

V

;03

J. i

-I

212

CHAPTER 9

The pedal point G returns at the beginning of the last section of the development (mm. 321-343), the first few bars of which are shown in Ex. 9-16.

EXAMPLE 9-16

Brahms, Symphony No.1, I, mm. 320-324

321

1\ ~

•

I

-h••

:

323

322

. ~~O:l j

.......,310

+:

•

I

.-11 t:

~~"j J.

.

"""-

ff

-...::::-

.

.

.

324

r

"""-

.

etc.

.

.

At this point in the form the prolonged emphasis on the dominant has already built considerable suspense, but Brahms heightens it even more by resolving V7 deceptively as a German sixth in B minor (Ex. 9-17, mm. 334-335). He then sequences upward through D minor and F minor before returning to the home key of C minor through the V IV (mm. 341-342). When the development and recapitulation finally come together (m. 343) it seems perfectly timed and inevitable. The last section of the development is so thoroughly developmental that it can hardly be thought of as a transition, yet it has served that purpose.

EXAMPLE 9-17

1\

,

f34

~

335

:

~

I

ff

.

~,

337

:>

10

sf

Brahms, Symphony No.1, I, mm. 334-344

f....

J--...:

-E6J.

:

l "CLH:r" [~"t!rr#

~

~

..J.

:

,

--;1

r' r-r i :>

I

:>

~ J;::- ~8J . :

. .

i L U.1r ~

.

~~ .

l "CLH:r"r~

~:>

!t~

VI

SONATA FORM

213

'--- 2 -1

g: It6 [ V c: VjV

The general nature of the development-the "working out" of musical ideas-contrasts with the exposition which is more concerned with thematic presentation. The development often divides into sections based on a consistency of material and treatment. We have examined some of the common developmental procedures including fragmentation of material from the exposition, increased tonal movement, and counterpoint. In addition, contrast is usually created through a variety of new treatments of register, dynamics, instrumentation, etc. There are no fixed rules governing developmental procedures or the choice and order of ideas introduced from the exposition. Material from the first thematic group often begins a development section, simply because considerable time has elapsed since the first theme was heard. Rarely are all the thematic ideas of the exposition developed; often, two or three melodic fragments suffice.

V.

THE RECAPITULATION The primary function of the recapitulation is to express the sensation of return . The return of the thematic material in more or less its original form completes the ternary design and unifies the structure. By comparison with the exposition, the material of the recapitulation is often compressed. In our study of the rondo, we discovered that recurrences of the principal theme are often shortened. Likewise, in sonata form one or more of the themes may be shortened in the recapitulation. Because sonata form involves two or three groups of thematic ideas that recur in the recapitulation, the sense of return may not be affected if a theme is omitted altogether. Also, it is not exceptional to find new material introduced in the recapitulation. In the first movement of Beethoven's Sonata, Op. 31, No. 2, the second part of the first themewhich figures prominently in the development-is missing entirely in the recapitulation; what's more, the first part of the first theme is interspersed with new material. Other alterations to be found in the recapitulation include variations of themes and changes in register, texture, voice doubling, instrumentation, etc. When the home key of a movement in sonata form is minor, the second theme or group is often presented in the relative major in the exposition. The return of the second theme in the recapitulation may occur in either

214

CHAPTER 9

the tonic major or the tonic minor. When the mode is changed to minor, the musical character of the theme may be very different.

EXAMPLE 9-18

EXPOSITION

DEVELOPMENT

1st Theme or Group 2nd Theme

,

, '1Jill

RECAPITULATION 1st Theme

'

2nd Theme

'I lor i I

The return of the tonic at the beginning of the recapitulation satisfies the macro tonal plan of sonata form. The presentation of the second and closing themes or groups in the tonic key solidifies the tonal stability toward the end of the form still further. Occasionally the second or closing theme appears on some level other than the tonic. One such example is the first movement of Dvorak's Symphony No.9 ("New World") where the two themes of the second group are centered a major third higher than the home key. The coda reestablishes and emphasizes the tonic. In rare instances the first thematic group is returned in some key other than the tonic. Usually this is the sub dominant, with the second and closing themes returning in the tonic. In such a case the first and second groups stand in the same tonal relationship to each other in both exposition and recapitulation, but the whole structure is a perfect fifth lower in the recapitulation. Mozart used this tonal plan in the first movement of his Sonata, K. 545, as did Schubert in the first movement of Symphony No.5 and the last movement of Sonata, Op. 120 (Ex. 9-19).

EXAMPLE 9-19

EXPOSITION

DEVELOPMENT

1st Theme or Group 2nd Theme

'ITJ

' 'V

'

RECAPITULATION 1st Theme

'~

2nd Theme I

Schubert modified this unusual pattern still further in his Symphony No.2 in B-flat major, first movement. Here the tonal pattern gives still stronger emphasis to the key of the subdominant (Ex. 9-20).

SONATA FORM

215

EXAMPLE 9-20

DEVELOPMENT EXPOSITION RECAPITULATION Theme I Th. II Th. I>Cl. Th. Theme I Th. II Th. bCl. Th. i r----l I I r----ll (various keys) I IV V IV I I (B b) (E b) (F) (E b) (B b) (B b)

Note that the closing theme begins as if it is going to be the first theme before proceeding in a new direction and asserting itself as a true closing theme. The lengthy transitions in this movement serve thematic and developmental functions and are an interesting study in themselves. Schubert's fascination with symmetrical tonal relationships shows itself in another interesting way in the first movement of his Symphony No. 4 in C minor. Mediant relationships predominate here, and Schubert waits virtually until the end before returning to the home key center of C (Ex. 9-21).

EXAMPLE 9-21

EXPOSITION Theme I Th. II Cl. Th. I r----1 I VI VI (c)

(A b)

(Ab)

DEVELOPMENT (B bminor predominates)

RECAPITULATION Theme I Th. II Cl. Th. , r----l V III I i

(g)

(E b)

(C)

After all these unusual key relationships, perhaps we should remind ourselves of the usual tonal patterns (Ex. 9-22).

EXAMPLE 9-22

DEVELOPMENT

EXPOSITION

RECAPITULATION

1st theme 2nd theme (Closing theme) any thematic 1st theme 2nd theme (Closing theme) material ~ V anykeys---- I I

..

or: i - I I I (or v)

•

~

any keys--- i

.. I (or i )

•

216

CHAPTER 9

Since the normal tonal pattern in the recapitulation changes the relationship between the first and second thematic groups, the transition between these two themes is often an area of special interest. The transition at this point usually begins in a similar or even identical fashion to the corresponding transition in the exposition. But at some point changes are necessary in order not to end up in the wrong key. Ex. 9-5 showed the transition in the exposition of the first movement of Mozart's Sonata, K. 332. The home key of the movement is F major, and the transition modulates to the dominant in the exposition. In the recapitulation Mozart uses the same material, but extends and modifies it so as to end on a half cadence in the tonic key (F) rather than in the key of the dominant (C) as before. Compare the example in Ex. 9-23 with Ex. 9-5.

EXAMPLE 9-23

Mozart, Sonata, K. 332, I, mm. 153-178

d:

F:

162

wc;;It" c:

F/f: 2nd group

---------------,

F:

p

~I

SONATA FORM

217

VI. THE CODA The purpose of the coda is to underscore the effect of conclusion at the end of a movement. In short movements, cadential repetition or a brief flourish on the cadence chords may be sufficient. The coda often uses the cod etta from the exposition as its source, and is sometimes nothing more than a transposition of the codetta. But more often the coda expands on the cod etta material. Although the coda's substance is often derived from the motivic material of the movement, codas based partially or entirely on new material are common. Beginning with Beethoven, the coda is often expanded to large proportions and in many instances becomes a second development section. The developmental coda adds a new dimension to the form as it represents a fourth major division in the macrorhythmic structure. Any of the procedures discussed in connection with the development section may be encountered in the developmental coda; however, the tonal movement rarely strays far from the tonic. As in the development, the coda may divide into sections rather than clear-cut periods. In large works where the coda is apt to be extensive, it is often difficult to determine precisely where the coda begins. The delineation is often unclear, and the analyst must defer to his or her perception that "everything essential has been said" and that the end is imminent. As we have noted so often, understanding the phenomenon is more important than agreeing precisely on the details.

VII. SONATA FORM IN THE CONCERTO During the classical period the first movements of concerti were normally in sonata form, but with two important modifications: 1. The exposition was stated twice, first by the orchestra, then by the orchestra with soloist. 2. A cadenza was interpolated near the end of the movement, often just before the coda. At first glance the double exposition does not seem far removed from the normal exposition with repeats (see Ex. 9-24).

EXAMPLE 9-24

A.

EXPOSITION with repeats (first movement of sonata, symphony, etc.) r------------------------I

Th. I Th. II (Cl. Th.)

;11

[Verbatim repeat not written out]

218

CHAPTER 9

B. DOUBLE EXPOSITION (first movement of concerto) orchestra only with solo instrument(s) .---------~-----., I



But in actual practice there is usually more variety than this chart would suggest; the composers of the period often chose to alter various details of the opening orchestral exposition, compared to the ensuing exposition with the soloist. The most common deviations in the opening exposition include: 1. Stating all thematic groups in the tonic (this results in a tonal pattern comparable to the recapitulation, rather than to the exposition proper) 2. Abbreviating the orchestral exposition 3. Including the soloist in some introductory way before the second exposition begins A comparison of the two expositions that open Mozart's Violin Concerto in A Major, K. V. 219, demonstrates the three characteristics listed above. In their first presentation, Themes I and II are abbreviated (in Theme II, only the second part appears) and the closing theme is omitted altogether. After this sprightly opening exposition is finished, there is a "time out" for a pensive adagio by the solo violin before the exposition proper begins. Note the key relationships as shown in the following chart (Ex. 9-25).

EXAMPLE 9-25

OPENING EXPOSITION

Introductory Adagio

MAIN EXPOSITION

(39mm.) Th.1 Th. 1I Codetta I I I

(6 mm.)

(72mm.) Th. 1 Th.1I Cl. Th. Codetta I V V V

I

A straightforward and complete double exposition is found in the first movement of Beethoven's third piano concerto. Here the themes are presented on the two expected tonal levels (in this instance, tonic minor and relative major), much as they are heard in the following exposition with the soloist. In his violin concerto, on the other hand, Beethoven begins with what must be considered a complete double exposition; the details, however, show a greater diversity. Here are some highlights. 1. As with the Mozart example, the themes are all presented in the tonic.

SONATA FORM

219

2. Though the themes are" complete" in the orchestral exposition,

Beethoven treats them more expansively after the solo violin enters; as a result, the second exposition is about 40 percent longer than the first. 3. The entry of the soloist-after the first exposition is complete-is in the nature of an introduction leading to the start of the second exposition proper. 4. The strongly thematic transition that connects the first and

second themes in the first exposition is missing from the second; Beethoven chooses to save it instead for the purpose of introducing the development section and, later, the cadenza. These cursory views of the so-called double exposition give some indication of the varied manner in which it was treated. Even in the classical period concerti occasionally included the soloist from the beginning of the movement; this gradually became the prevalent approach during the nineteenth century. As stated earlier, the cadenza constitutes a second modification of sonata form as it is used for the first movement of a concerto. Cadenza is the Italian word for cadence; the term was broadened to signify a fanciful elaboration of a simple cadential formula by a soloist. The cadenza is normally located between the recapitulation and the coda. Traditionally the orchestra announces the cadenza by coming to a pause on a tonic : chord. The cadenza which follows eventually closes with the next stage of the cadence, a dominant chord. The dominant harmony, which is often embellished with a trill, clearly signals the return of the orchestra, the completion of the cadence with tonic harmony, and the beginning of the coda. Cadenzas are of an improvisatory, often virtuosic, nature and may either be written out by the composer or improvised by the soloist. S They may appear in any or all of the movements of a concerto, but are often featured most prominently in the first. During the nineteenth century, cadenza-like displays became more common and were sometimes interspersed throughout a movement. In the nineteenth century there was a tendency toward a more integrated, less sectional approach to composition, even when traditional forms were still clearly present. We can see this development in two works by Mendelssohn: the Piano Concerto in G Minor and the Violin Concerto in E Minor. In both works the solo parts are integrated into the form from the outset; the classical procedure of alternating tutti with solo passages is for the most part conspicuously absent. In the Violin Concerto, the extensive, written-out cadenza is woven into the texture of the first movement and serves as the bridge between the development section and the recapitulation.

8. It was not uncommon for the soloist to compose cadenzas for concerti he or she was performing. Those composed by Beethoven for a number of piano concerti by Mozart are still played today.

220

CHAPTER 9

VIII. RELATED FORMS A. Sonatina Form The word sonatina is the diminutive form of sonata, meaning "small sonata." Sonatinas have often been composed for instructional purposes. The degree of difficulty is usually somewhat less than that of the sonata, and the scope decidedly less pretentious. Most sonatinas consist of either two or three movements. A number of early sonatas by Haydn and Mozart as well as the two sonatas of Beethoven's Op. 49 are often referred to as sonatinas even though the composers did not designate them as such.

Sonatina form denotes a specific structural plan appropriate for a single movement. The most obvious difference between sonatina form and sonata form concerns the overall size of the movement. In the exposition of sonatina form: (1) each group usually comprises only one thematic idea (often as brief as a two-phrase period); (2) the transition between the first and second groups is frequently omitted; and (3) the closing material is usually brief or omitted. In most examples the development is considerably smaller than the exposition or the recapitulation and is often more in the nature of a transition than a true development. Occasionally, the development is omitted altogether with only a chord or a pause separating the end of the exposition from the beginning of the recapitulation. A brief coda is often included. The macrorhythmic structure and macrotonal plan of sonatina form are diagramed in Ex. 9-26.

EXAMPLE 9-26

EXPOSITION

DEVELOPMENT

RECAPITULATION

1st theme : 2nd theme I • IV I •

Brief development or transition

1st theme : 2nd theme I I II •

-----~

~

Sonatina form is normally found in the first movement of sonatinas. Following is a list of representative examples: Clementi, Sonatinas, Op. 36, Nos. 1-3; Op. 37, Nos. 1-3; Op. 38, Nos. 1-3 Dussek, Sonatinas, Op. 20, Nos. 1-6; Op. 47, Nos. 1 and 2 Kuhlau, Sonatinas, Op. 20; Op. 55 Schubert, Sonatinas for Violin and Piano, Op. 138, Nos. 1-3 Sonatina form may also be encountered elsewhere. Besides its occasional use in the operatic and concert overture (for example, Mozart's The Marriage of Figaro and Beethoven's Prometheus Overture), sonatina form is

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often found in the slow movement of a larger sonata-related form such as the sonata, quartet, or symphony. In the context of these larger multimovement works the character of a movement in sonatina form is more weighty and expansive than in the fast movements of the sonatina. The distinction between sonata form and sonatina form in these larger works is determined by the relative size and scope of the development. The slow movement in each of the following works is in sonatina form: Haydn, Sonata, Hob. XVII 35 Mozart, Sonatas, K. 280, 281, 283, and 332 Mozart, Quartet, K. 465 Beethoven, Sonatas, Op. 2, No. 1; Op. 10, No.1; and Op. 31, No.2 Beethoven, Quartet, Op. 18, No.3 Beethoven, Symphony No.8 Schubert, Symphony No.8 ("Unfinished") Brahms, Sonata for Violin and Piano, Op. 108

B. Sonata-Rondo Form The sonata-rondo is a type of seven-part rondo in which the second episode is a development section rather than an independent theme. Comparison of the structures of sonata-rondo and sonata forms in Ex. 9-27 illustrates the similarities and differences between the two forms.

EXAMPLE 9-27

SONATA-RONDO FORM I

I

Prin. Th.: Ep. I : P. T. I

I

I

I V

I

I

I

I

Exposition Th. I I

I I

Th. II

I I

(Cl. Th.)

I

I

I I V

IV I

I

I

Ep. I1 (Development) several keys

I

I

P. T. : Ep. I' : P. T. I

I

SONATA FORM Development

I

I

I I

I I

I

Recapitulation

any themes

Th. I

several keys

I

I

I I I I I

Th. II

I I I

I

:I

(Cl. Th.)

I

The most obvious difference between the two concerns the return of the principal theme in sonata-rondo form, first before the developmental episode and again at the end. Further, the return of the tonic key just prior to the developmental episode is contrary to the practice in sonata form

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where the exposition usually closes on the second tonal level. Another distinction between the forms concerns the developmental section. Although this section in the sonata-rondo may at times be quite extensive, it is usually of smaller dimension than the development section of sonata form which, after all, is one of only three main divisions in the structure. In many cases the differences between sonata-rondo form and sonata form are not as pronounced as they might seem. Because the closing theme in sonata form frequently recalls elements from the first theme, the closing theme may at times resemble the first restatement of the principal theme in the sonata-rondo. But remember that the closing material in sonata form remains on the second tonal level and is not intended as a "restatement," but rather as a concluding unit. Moreover, the coda of sonata form frequently makes direct reference to the material of the first theme, and such references may have an effect analogous to the last statement of the principal theme in the sonatarondo. We should also remember that the coda of a rondo often replaces the last statement of the principal theme and incorporates elements of the principal theme in much the same manner as a coda in sonata form. Because of the ambiguities mentioned above, musicians disagree as to exactly what constitutes sonata-rondo form. In addition, there is disagreement regarding the nature of the second episode. Some analysts use the term sonata-rondo to denote rondos in which the second episode is developmental, but without the qualification that previously stated material must be included. Others reserve the term for rondos in which at least a portion of the second episode involves development of material from the principal theme or first episode, an interpretation more closely allied with the usual practice in sonata form. The last movements of the works listed below are in sonata-rondo form. Mozart, Eine kleine Nachtmusik, last movement (Anthology, No. 15), Sonata, K. 333; Trio, K. 502 Beethoven, Sonatas, Op. 22; 26; 27; 28; 31, No.1; 90 Schubert, Sonatas in A Major and B-flat Major

Summary: An Analytical Approach The basic pattern of sonata form is simple and clear, at least in theory. In actual practice it is often intriguingly complex. It is most important to let the musical pattern unfold to us rather than try to squeeze it into a preconceived mold. This approach keeps us open to recognizing both the predictable characteristics and the unique properties of any given movement, be it a sonata form or a simple minuet. It should also help us avoid side trips down blind analytical alleys. With this openness to what comes ever in mind, follow this procedure in analyzing examples of sonata form:

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I. Preliminary steps A. Supply measure numbers if necessary.

B. Familiarize yourself with the movement through playing and listening. C. Indicate the key of the movement.

D. Locate the major divisions of the movement and write the appropriate term over the first measure of each: introduction (if any), exposition, development, recapitulation, coda (the coda may not be obvious at this stage of the analysis).

II. The exposition A. Determine the two tonal levels and locate the beginning of each

thematic group. (Though two tonal levels in the exposition and one in the recapitulation are found in the vast majority of cases, be alert to the possibility that even this characteristic may vary, as we have already noted [Section V: The Recapitulation].) B. Identify the auxiliary members (introductions, transitions, codettas), labeling each in the score. C. Determine the internal structure of each group and label the various themes with appropriate symbols (lA, IB, etc.).

D. Bracket and label any important motivic material.

III. The development A. Note the division into sections, periods, or phrase groups.

B. Determine the origin of the material and its treatment (motivic variation; increased tonal movement; counterpoint; changes in density, texture, dynamics, etc.). C. Summarize the overall tonal movement of the development, noting the transient modulations and significant tonal centers.

IV. The recapitulation A. Determine the tonal level, noting any departures from the usual

tonal plan for the recapitulation. B. Compare the treatment of the themes in the recapitulation with that in the exposition to determine other alterations (compression of material, variation, omission, addition). C. Compare the transition between the first and second theme groups in the recapitulation with that of the exposition, noting any adjustments in the recapitulation.

V. The coda A. Note any division into sections, periods, or phrase groups along

with any attendant changes in tonal level. B. If developmental in nature, note the derivation and treatment of the material. Keep in mind that comparison is one of the most useful analytical tools in the study of musical form. This is especially true when we study sonata

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form; our understanding of the exposition often becomes clearer in retrospect when we examine the recapitulation; the development often sheds light on both the exposition and recapitulation. We can even turn this into a useful rule of thumb: When in doubt, compare. Sonata form, a major achievement in the history of western art, is a diverse and complex structure. Its details and proportions vary from composer to composer, from work to work, and from one style period to another. Whole books have been written about it; a chapter such as this can only give broad outlines and illustrate norms. But perhaps that is best. For the sonata form is not a mold into which the analyst attempts to squeeze the music he or she encounters; rather, it is a "living organism" which unfolds to the listener in ever-changing ways. Let the music reveal itself to you.

ASSIGNMENTS Following the procedure detailed in the preceding Summary: An Analytical Approach, analyze one or more of the following works. 1. Mozart, Eine kleine Nachtmusik, Anthology, No. 15

First movement (sonata form) Last movement (sonata-rondo form) 2. Haydn, Octet for Winds, first movement, Anthology, No. 12 3. Mozart, Symphony No. 40, fourth movement, Anthology, No. 13 4. Beethoven, first movement of any of the symphonies 5. First movement of a concerto from the classical period. Some suggestions: Haydn, Trumpet Concerto, Cello Concerto in D Major Mozart, any concerto, Sinfonia Concertante for Violin, Viola, and Orchestra Beethoven, Violin Concerto, any of the piano concertos 6. First movement of a romantic sonata, symphony, concerto, or chamber work. Alternatively, you could analyze another movement known to be in sonata form; for example, the fourth movement of Symphony No.1 by Brahms.

PART

THREE

PROPORTION the distinguishing features

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But we have seen many times how in musical composition the whole is by no means the sum of its constituent parts, but is a new, indivisible, and unchangeable unit. Paul Hindemith, A Composer's World

Chirico, Giorgio de (1888-1978) © ARS, NY. The Nostalgia of the Infinite. (1913-14?; dated on painting 1911). Oil on canvas, 53 bY4x 25 Y2/1. Purchase. The Museum of Modern Art, New York, NY, U.s.A. Digital Image © The Museum of Modern Art/Licensed by SCALA/Art Resource, NY.

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PART III

Back in our imaginary art gallery, we gaze across the room once more at A Sunday on La Grande Jatte. In our sophistication we can describe it as a "luminescent landscape in pointillistic style by the French painter Georges Seurat." Accurate enough, but does it really describe this painting? We could also demonstrate our great erudition by stating Leonardo da VinCI, that the finale of Haydn's "Surprise Symphony" is "a five-part rondo form Mona Lisa, ca. 1503. (detail) h'b' . h V' I ' I I" True enough . But agam, . h ave we ' ·, , 301/' 21' ex 1 Itmg t e lenneSe c aSSlCa stye. 0 I on pane, 4 In. X In. The Louvre, Paris. really said anything significant about this particular musical work? . .

In both the painting and the Haydn "Finale" we must go beyond mere pattern recognition-formal analysis, if you will-to make observations about the unique features. We must consider the specific relations of the parts to one another, and to the work as a whole, to give us a sense of PROPORTION. The last time we took stock of our progress (at the beginning of Part II), we discovered that while we had concentrated on the TIME aspect of musical form, the phenomenon of PATTERN had emerged, right under our noses. Hasn't the same thing happened again? It was impossible to analyze the finale from Haydn's "Surprise Symphony" without noticing how different it was from the Mozart Rondo, K. 545, even though both are five-part rondo forms. Matters of PROPORTION had emerged while we were focusing primarily on matters of PATTERN. Recognizing the uniqueness of a piece of music, and understanding how the specific features of that uniqueness relate to one another, is very important; insightful performance depends on it to a considerable degree. Further, such an understanding of proportion assists us in broadening our understanding of larger issues: the relationships among the works of a given composer, for instance, or among various composers of a given style period-even relationships between style periods themselves. Because all these matters are so important, we will give them our special attention in the remaining chapters. Chapter 10 deals specifically with multi movement form. Chapter 11 explores the ways to apply formal principles we have learned to a broader range of music. The Postlude delves briefly into the aesthetics of musical form and seeks to make useful applications for the performer.

CHAPTER

10

Multimovement Form •

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Large pieces, such as symphonies, operas, oratorios, and quartets, are built, as all structures must be, on principles of proportion. No work of broad scope, whether created by an architect, a playwright, or a musician, can exist without such an underlying plan. No artistic edifice can last unless the basic laws of art have been made its foundation. Erich Leinsdorf, The Composer's

Advocate

When a composer conceives the idea of a large musical work, the possibility of writing several distinct movements is attractive for a number of reasons. Multiple movements provide temporal space for presenting and developing a variety of musical ideas. Use of multiple movements expands the composer's opportunities for contrast. In addition, the character, scope, and relationships of successive movements provide a framework for establishing a sense of balanced proportions. Perhaps most important of all, division into movements gives the listener opportunities to reflect on completed portions of a work before being carried forward again by the ensuing movements. This momentary assessment helps the listener comprehend the proportions of the overall form in progress" more clearly. 1/

I.

CLASSICAL MODELS Most sonata-related compositions of the common practice period fall into either a three-movement or four-movement plan. Although you may occasionally encounter examples in fewer than three or more than four movements, these two plans represent the norm. Throughout the classical and romantic periods, the concerto adhered to the three-movement design. The symphony and the various forms of chamber works (trios, quartets, quintets, etc.) generally consisted of four movements.

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Most classical sonatas (keyboard sonatas and those for one-line instruments with piano) prior to Beethoven are in three movements) Beethoven expanded the sonata to four movements but also continued to write three-movement sonatas as well as an occasional two-movement sonata. Nineteenth-century sonatas exhibit both three- and fourmovement designs. There is no standard plan regarding the formal structure of the individual movements within sonata-related compositions, but some combinations occur more often than others. In the case of the three-movement scheme, the outer movements are usually relatively fast and the middle movement, relatively slow.2 The choice of structural designs for the individual movements depends largely on the need for tension and relaxation in the overall structure. The first movement is usually an imposing structure based on abundant thematic material and developmental treatment. The use of sonata form to meet this end is so common in the classical and romantic eras as to be considered standard. The second movement serves to release the tension built up in the first and creates contrast in the overall structure through the use of a slower tempo and new thematic material. Part forms (simple and composite), sonata form, sonatina form, and theme and variations are frequently encountered here. The last movement is usually energetic and often of a somewhat lighter mood than the first movement. Rondo, sonata-rondo, and sonata form occur often; theme and variations and fugue are occasionally found. The four-movement plan expands the three-movement by adding a minuet or scherzo between the slow movement and the finale: fast-slowminuet-fast. The order of the inner movements is occasionally reversed: fast-minuet-slow-fast. Beethoven is responsible for replacing the minuet with the livelier scherzo, and most composers of the nineteenth century followed his example. In the latter half of the nineteenth century, however, the scherzo is sometimes replaced by a movement that is similar in design to the scherzo, but of a different character. None of the four symphonies of Brahms contain a scherzo, but the third movement of each is somewhat lighter in mood than the other movements and is based on a composite part form. It is only in the fourth symphony that the third movement approaches the character of a scherzo. Tchaikovsky replaced the scherzo movements of his fifth and sixth symphonies with a

1. The prec1assical composer Domenico Scarlatti composed hundreds of one-movement sonatas in binary form. Some of the early sonatas of Haydn and Mozart comprise only two movements. It is also worth noting that many instrumental sonatas of the baroque period comprised four movements in the pattern of slow-fast-slow-fast. 2. Although rather uncommon, slow opening movements can be very effective. See, for example, the first movements of Mozart's Sonata, K. 331, Beethoven's Sonatas, Op. 26 and Op. 27, No. 2, and Shostakovich's Symphony No.5. When the first movement is slow, it is likely to be in theme and variations or part form. In order to contrast with a slow first movement, the second movement is often in a moderate-to-fast tempo and is frequently a minuet.

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waltz and march, respectively. The scherzo or a comparable movement is often omitted altogether in the symphonies of Mahler. The succession of movements in either the three-movement or fourmovement design is usually based on a three-part macro tonal plan. The first and last movements are almost without exception in the tonic. The middle movement in the three-movement design is usually in a tonality that is related to the tonic by the interval of a fifth (dominant or subdominant) or third (mediant or submediant). Occasionally, all the movements within the three-movement scheme occur in the tonic. When such is the case, the middle movement is often in the opposite mode. Some of the possibilities within the three-movement design are listed below. 1.

I

V

I

5.

I

vi

I

2.

I

IV

I

6.

I

VI

I

3.

I

iii

I

7.

1

VI

8.

I

I

9.

I

4.

III

I

I

In the four-movement design, the slow movement is ordinarily the only movement that digresses tonally during the classical period; the minuet or scherzo is usually in the tonic (often the opposite mode). After Beethoven, however, the area of tonal digression is often expanded in the four-movement scheme to include both internal movements. The tonal plans of the Brahms symphonies are compared below. Although the specific details of these tonal plans vary, all are based on a three-part macrotonal plan.

Symphony No.1 Symphony No.2 Symphony No. 3

First movement Second movement i (C minor) q III (E major) I (D major) VI (B major) V (C major) I (F major)

Third movement VI (A-flat major) IV (G major) v (C minor)

Symphony No.4

i (E minor)

VI (C major)

I (E major)

Fourth movement i (C minor) I (D major) i-I ~F minor; coda in maj.) i (E minor)

Multimovement structure gives the composer abundant possibilities for variety. Contrasts can take place in matters of thematic material, tempo, formal design, and tonality. These elements of contrast are reflected to some degree in the chart in Ex. 10-1. (The formal designs of the individual movements are listed according to their general frequency of occurrence, reading from the top down in each case.)

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EXAMPLE 10-1

FOUR-MOVEMENT PLAN 1st movement

2nd movement

3rd movement

4th movement

Tempo:

Fast

Slow-Moderate

Moderate-Fast

Fast

Formal type:

Sonata form Theme and var. Part form

Part form (simple or composite): usually three-part; sometimes five-part Sonata form Sonatina form Theme and var. Rondo

Composite part form (minuet or scherzo): usually three-part; sometimes five-part

Rondo, Sonata-rondo Sonata Theme and var. Fugue

Variable: usually 3rd or 5th relationship

I during classical period; variable during romantic period (usually 3rd or 5th relationship)

I

Tonality: I

In the three-part design the dance (third) movement would ordinarily be missing, although other patterns can be found.

II.

THE CONCERTO: SPECIAL CONSIDERATIONS Early in Section I of this chapter we summarized the most common designs of multimovement works in the classical and romantic periods: Sonatas: three or four movements Symphonies and chamber works (trios, quartets, etc.): four movements Concertos: three movements How these norms came about is a fascinating study; unfortunately, it far exceeds the limitations of a textbook such as this.3 But the concerto deserves special attention, as the term concerto has been used over a long span of time to indicate a great diversity of compositions. In Chapter 9, Section VII, we discussed the use of the double exposition and cadenza in the classical and romantic concerto. But the abundance of baroque works-early and late-bearing the title concerto" can be daunting, II

3. Excellent studies of the developmental history of the various genre of composition are abundant. As a useful survey and/or point of departure we recommend the articles under symphony, concerto, etc. in the New Grove's Dictionary, together with the bibliographic information associated with the individual articles.

MULTIMOVEMENT FORM

231

even confusing. A thumbnail historical sketch (necessarily an oversimplification) may help put things in perspective. The concerto appellation appears even before the baroque period to indicate a diversity of compositions, among them vocal ensemble pieces. By the early eighteenth century concerto had come to mean, more or less exclusively, an instrumental ensemble piece in one of three main categories: undivided orchestra (ripieno concerto), soloist with orchestra (solo concerto), and two or more soloists with orchestra (concerto grosso). The idea of contrast was prominent in all, but in varying degrees. The number of movements in baroque concertos was not fixed, but two models were of particular significance: the Corellian, four-movement design (slow-fast-slow-fast), and the Venetian three-movement design (fast-slow-fast) associated with Vivaldi. The former was especially influential in England, where Handel worked in this style. The Vivaldi model was more influential in north Germany and provided the foundation for J. S. Bach, who brought the form to a higher level of sophistication and complexity than had his predecessors. Those expecting to find sonata form in full flower here will, of course, be disappointed: the idea of the ritornelle alternating with solo passages is perhaps the most prominent single feature. The fast-slow-fast threemovement design and the prominence of the soloist are the most noticeable points of contact with the later classical concerto. Portents of the sonata design-notably the presentation of thematic material on two tonal levels-appear at times, along with the emerging idea of the theme per se. These elements can be seen in some of the concertos of Bach's sons, which led to the classical concertos of Mozart and Beethoven and thus to the concerto as we have already studied it. To round out this simplified historical sketch we might mention a few tendencies among diverse approaches taken by concerto composers of the twentieth century and beyond. Numerous twentieth-century concertos are extensions of the integrative, virtuosic, and expressive procedures of the romantic period; Rachmaninov and Sibelius come readily to mind. Even the concertos of Schoenberg and Berg can be seen as culminations of romantic ideas and procedures. A somewhat opposite direction is taken in neoclassic works by composers such as Stravinsky, Bartok, and Hindemith. Here the excesses of virtuosity are eschewed in favor of a more egalitarian relationship between soloist and orchestra. At times even the idea of a soloist per se is scrapped and instruments or sections within the orchestra by turns play the leading role instead. Bartok's Concerto for Orchestra is the best-known example of this genre. The decades surrounding the Millennial turn witnessed a burgeoning number of instrumental virtuosi, many of whom had new concertos commissioned by or for them. Often this resulted in close collaboration between soloist and composer. Not surprisingly, the resulting musical works take many forms, often with programmatic or other extra-musical connections. Only time will tell how long this phenomenon will last, or what directions it may take. Today, one should enter the concert hall excited to hear a new concerto, but not necessarily expecting a traditional three-movement work.

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III. CYCLICAL DESIGN Rarely in the music of the classical period is thematic material from one movement used in another. The listener's attention is constantly directed forward through the presentation of new material by each successive movement. Each movement is usually treated as a complete entity and comes to a complete close. 4 The composer chooses material for each movement on the basis of the expressive needs that arise as the multimovement structure unfolds. The chief unifying force in the overall multimovement structure is the underlying macrotonal plan. Beyond this fundamental underpinning, many masterworks of the classical period often display a sense of aesthetic cohesion. 5 During the nineteenth century, the concept of cyclical design became a major compositional principle. Cyclical design involves the use of the same thematic material in two or more movements. The concept of cyclical treatment dates back to the masses of the fifteenth and sixteenth centuries, but little significant use of this idea was made in instrumental music until the nineteenth century. Although cyclical design never became the predominant unifying device in his music, Beethoven may be credited with reviving the practice. The opening four-note motive that occurs throughout the first movement of his fifth symphony occurs again in the third and fourth movements. In his ninth symphony, traces of the famous "Ode to Joy" theme of the finale are heard in the first and second movements; further, the introduction to the finale restates fragments of themes from each of the preceding movements. After Beethoven, Schumann was one of the first truly "romantic" composers to use the cyclic idea. 6 The exact manner in which cyclical design presents itself takes on a great diversity of forms. Perhaps a brief look at a single composition will suffice to point the way. The three movements of Brahms' Sonata, Op. 78 for violin and piano bear intriguing motivic interrelationships, but an even more specific relationship develops between the second and third movements. Brahms uses the first theme of the second movement (a part form) as the second episode in the third movement (a five-part rondo), and displays it yet again in the coda. The diagram in Ex. 10-2 demonstrates the relationships.

4. Successive movements are occasionally connected by continuous motion. See, for example, the transition that connects the second and third movements of Beethoven's Sonata, Op. 57. 5. For a convincing study of this topic, see Rudolf Reti, The Thematic Process in Music. 6. See the Piano Quintet, Op. 44 and the Symphonies Nos. 1 and 4.

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EXAMPLE 10-2

1st movement: sonata form G major

2nd movement: part form A

B

Keys: E~

e~, B, etc.

Coda - - - - - - " B (abbreviated) A Codetta

A E~

E~

-------+-

L I_ . . . . . - - - - - "

1 ______ ,

3rd movement: rondo 1

P.T.

Ep.l

P.T.

1

Ep.2

P.T.

L -["A" from]2nd mvt.

Keys: g

d

g

E~

g

L-.

Coda 3rd mvt. themes plus "A" from 2nd mvt. G

While the cyclical design in this work imparts a high sense of unity, it also contributes to an especially satisfying sense of completion, of "wholeness." This effect is heightened still further by the return to the key and mode of the first movement (G major) and by reference to the first movement's opening motive near the end of the coda. The idea of cyclical treatment developed simultaneously with the coming of romanticism. As romantic composers moved toward a more subjective approach to composition, they gradually loosened the traditional structural principles associated with sonata-related forms. The changing attitudes in the latter half of the nineteenth century are reflected in the following ways: a preoccupation with large orchestral resources; frequent changes of tempo within movements; decreasing uniformity regarding the number of movements; and the gradual undermining of the traditional formal function of tonality. As it became increasingly difficult to maintain a sense of order in the multimovement structure, many composers turned to cyclical treatments to assure unity in their works. A recurring theme in a cyclical composition is often referred to as a motto theme. The introduction to the first movement of Tchaikovsky's fifth symphony announces a motto theme which recurs in each of the four movements. In Franck's Symphony in D minor, three themes, two from the first movement and one from the second, recur in the finale. Berlioz's idee fixe, Wagner's use of the Leitmotiv (leading motive), and Liszt's thematic transformation are other manifestations of the cyclic idea.

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IV. AWAY FROM THE CLASSICAL MODEL We have noted that many nineteenth-century works show greater freedom in the use of sonata-related structure. Less conformity concerning the number of movements is especially evident in the latter half of the century. On the one hand, there is the tendency to expand works to include more than the traditional three or four movements, and on the other hand, the attempt to bridge the various movements so that the multimovement structure is transformed into one large continuous movement. Beethoven was the first major nineteenth-century composer to allow subjective content to determine the number of movements. He expanded his sixth symphony ("Pastoral") by including an additional movement ("Tempest and Storm") just before the finale. Five-movement works that followed include Schumann's Symphony No.3, Berlioz's Symphonie fantastique, Brahms' Sonata in F Minor, Op. 5, Dvorak's Piano Trio, Op. 90, Tchaikovsky's Symphony No.3, Mahler's Symphonies Nos. 2 and 5, Sibelius's String Quartet, Op. 56, and Bartok's Concerto for Orchestra. 7 The opposite tendency, that of joining several movements into a single continuous composition, is illustrated in the two piano concertos of Liszt. Of the four movements in the Concerto in E-Flat, only the first and last come to a complete close. The second, third, and fourth movements are connected by transitional extensions. Each movement is marked by a distinct character, and the overall structure corresponds to that of the four-movement plan, fast-slow-scherzo-fast. In Liszt's Concerto in A, all the movements are connected. Both concertos also exemplify cyclical design, as a number of motto themes recur in the various divisions (or movements) of each. Works in which all movements are connected may be described as continuous compositions, but with large internal divisions which correspond to the movements of a multimovement structure. Apart from the "single-movement work" described above is the genuine one-movement sonata-related composition. This type of work is a product of a postromantic tendency toward the expression of musical thoughts in compressed and often highly chromatic forms. Examples of genuine one-movement works include Scriabin's Sonatas Nos. 5 through 10, Berg's Sonata, Op. I, and Sibelius's Symphony No.7.

Summary A composer's vision often exceeds the aesthetic capacity of a single movement; multimovement form provides a larger framework for the manifestation of that vision. The three- and four-movement plans favored during the classical era gradually gave way to freer treatments during the nineteenth century. Many of the grandiose conceptions of the "romantics" rely less on tonal relationships and more on cyclical designs for achieving their sense of formal unity. 7. Sonata-related compositions in more than five movements are rare. Mahler's third symphony is in six movements. Beethoven's String Quartet, Op. 130 is in six movements, and his Quartet, Op. 131 is in seven.

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235

The musician's task is to search for the proportions and relationships within a composition which reveal the composer's intent, then to share that understanding with the listener. Such a search is the musician's highest calling; it may even provide his or her greatest joy.

ASSIGNMENTS 1. Develop an overview of the structure, proportions, and relationships within multimovement works as directed in the numbered items below. Follow these steps: A. Determine the proportions within each movement by comparing the number of measures in each section. For example: exposition = 64 measures, development = 46 measures, etc.

B. Compare the "sizes" of the movements, first by numbers of measures, then by their approximate times of performance.

C. Comment on how the movements balance each other in terms of musical character and aesthetic effect. In your discussion consider such matters as tempo, tonality, dynamics, texture, dramatic "weight," motivic relationships (if any), etc. D. Based on your analysis, together with your personal responses to the music, form and express opinions as to the work's overall character and effectiveness and your response to it. (Your opinions may often be mixtures of positive and negative!) 1. Mozart, Eine kleine Nachtmusik (Anthology, No. 15; if there are movements you have not analyzed in previous assignments, you will need to do so before proceeding.) This work lacks analyzable motivic relationships among its movements. Do you think it exhibits an overall cohesiveness, despite that lack? Explain your answer.

2. A larger four-movement classical work. Some suggestions: Mozart, symphonies Nos. 35, 39, 40, 41; string quartets, K. 387, 421,428,458,464,465,499,575,589 Haydn, any of the "London" symphonies (Nos. 93-104); Quartets from Op. 20, 33, 50, 54, 64, 74, 76, 77 Beethoven, symphonies Nos. 1-5,7-8; four-movement sonatas; Quartets Op. 18,59, 74 3. A classical or three-movement romantic concerto. Suggestions: Any three-movement concerto by Haydn, Mozart, or Beethoven Mendelssohn, Violin Concerto Schumann, Piano Concerto 4. A multimovement chamber work from the classical or romantic period.

236

CHAPTER 10

II. Examine the use of cyclic form in any of the works in the list below. Determine how the reappearances of themes in subsequent movements relate to the formal design of the movement in progress: A. As part of an established form (Brahms' Sonata, Op. 78, as

discussed in this chapter, for example) B. As an addition to or insertion in an established form C. In combination with other themes

D. Hybrids/other treatments Beethoven, Sonata, Op. 101 Beethoven, Symphonies Nos. 5 and 9 Schumann, Quintet, Op. 44, Symphonies Nos. 1 and 4 Tchaikovsky, Symphony No.5 Franck, Symphony in D minor Debussy, String Quartet Ravel, String Quartet Bloch, Concerto Grosso No.2

CHAPTER

11

Broader Horizons •

•

•

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•

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But to discover the composer's grand design for each work is both the conductor's mission and his reward. Erich Leinsdorf, The Composer's

Advocate

Our study has focused primarily on the music of the classical and romantic periods, the locus classicus of the homophonic forms. We operate, of course, in a much larger musical world. How do our findings apply to earlier and later style periods? Reaching back to the baroque period poses few problems, requiring only that we enrich our knowledge of contrapuntal practices. Going back further, to the music of the Renaissance and beyond, poses some special problems. But many of the principles we have learned are applicable, and much the same can be said of the music of our own century. Before attempting to apply general principles of formal analysis to music outside the common practice period, it would be well to reconsider what we said earlier about the perception of musical form. At the outset we stressed that music takes place in time, and as a result the act of perceiving form is a comparative experience. By remembering what has already been heard in a composition we are able to compare the musical event of the moment with all that has gone before. In the process, we recognize an interplay of repetition and contrast and perceive musical form. Formal analysis, then, is the systematic recognition of patterns in music, perceived comparatively in time. Since this pattern recognition is rooted in music's temporal nature, it is in principle applicable to all music, regardless of style. But as the basic styles of music change with time, the patterns that make up musical form-those elements that render the interplay of repetition and contrast discernible-may become harder to recognize. To facilitate matters, we must expand our knowledge of the musical language used in the music of a given style. 237

238

CHAPTER 11

The difficulty we have in trying to perceive form in music composed before and after the common practice period is rooted in tonality-or perhaps we should say the lack of it. From the baroque era through the romantic period the major / minor tonal system was the single most powerful unifying force in musical form. In the Renaissance and earlier, the modal system (out of which the major / minor system grew) was the norm. Some knowledge of the modal system is needed before we can apply what we know of the principles of form to an understanding of earlier music. Greater difficulties arise in dealing with music of the twentieth century, which has ranged from strongly tonal to overtly atonal. But even in the newer music that is tonal, tonality is usually much more broadly based than it is in music which is clearly in the major / minor system. As a result, tonality has lost much (often all) of its earlier form-building importance. In the homophonic forms, tonality was at once the unifying platform and the basis for contrast. Tonality played a leading role both in unifying and in delineating most musical structures: harmonic cadences concluded phrases, key changes signaled the arrival of new sections, etc. Above this tonal basis other elements assisted in defining musical structure: phrases had rhythmic, as well as harmonic, shapes; pauses added emphasis to cadences; dynamic changes accompanied new themes. In much music of the twentieth century where tonality is minimized or absent, these other features inherited the responsibility of delineating formal structures. Let's examine some of the ways in which this occurs.

I.

RHYTHMIC DELINEATION Rhythm plays an especially significant role in shaping phrases in posttonal music. Webern distills the technique of cadential rhythmic gesture 1 down to its essence in the first variation of his Variations for Orchestra. The phrases in this section consist of sustained melodies supported by intermittent chords. To end the phrases, Webern arranges the rhythmic pattern of the reiterated chords so as to give a sense of closure. The phrase in Ex. 11-1 is an especially clear example of this procedure.

1. For a review of the cadential rhythmic gesture and related devices, see Chapter 2, Section V.

239

BROADER HORIZONS

EXAMPLE 11-1

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EXAMPLE 11-2

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240

CHAPTER 11

v un poco allargando

_____________________________________________ _

The lilt of a waltz comes through largely because of the rhythmic treatment of the phrases and in spite of the highly chromatic nature of the materia1. 4 Note the procedure in both phrases: (1) repeated rhythmic pattern in the first two bars, (2) departure from the pattern through increased activity in the third bar, (3) a closing pattern of decreased activity in the fourth bar. Again we experience the two-part procedure of preparation and execution that creates a cadential rhythmic gesture. The phrase structure is clear whether or not the pitch element is present. Rhythmic cadence and pitch shape are time-honored devices that have been elevated to a new level of importance in post-tonal music. Another such element is silence. Pauses (silences) between phrases were often used in music before the twentieth century to emphasize the punctuation created by traditional cadences. In contemporary music, pause is an especially effective device for terminating phrases characterized by a constant or increased tension level throughout. Bartok's fourth string quartet begins with a series of phrases separated by pauses. The phrase shown in Ex. 11-3 is the culmination in this series.

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BROADER HORIZONS

II.

241

PARAMETRIC CHANGE AND EXPANSION OF THE PHRASE CONCEPT In Chapter 1 we examined an excerpt by Robert Schumann (Ex. 1-27) in which sudden changes in parameters such as tempo, dynamics, and color (orchestration) contributed to our hearing both a new phrase and the beginning of a new section. The harmonic underpinnings of phrase delineation were there, but the changes in other parameters played a prominent role in announcing the new phrase. This type of parametric change becomes very significant in delineating phrases in twentieth- and twenty-first-century music, and deserves our special attention. Ex. 11-4 shows an extended excerpt from Bartok's fourth string quartet, beginning with the phrase we examined in Ex. 11-3. After familiarizing yourself with Ex. 11-4, consider the following. After the pause in measure 13, a series of ostinati, entering imitatively, builds a new musical texture; a change of texture heralds the end of this passage, creating a closing rhythmic punctuation in the process (mm. 25-26). The next phrase (after the pause in m. 26) introduces a new rhythmic texture, new articulation, and new range, and intensifies the dynamics. Again at measure 30, new rhythmic ideas and textures, articulation, and intensified dynamics mark the beginning of a new phrase. Emphatic eighth notes terminate this phrase. A modified repeat of measure 30 is largely responsible for announcing the arrival of the next phrase (m. 33); the fortissimo helps assure that we will hear this as a new beginning. EXAMPLE 11-4

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1. Parametric change plays a primary role in shaping and delineating the horizontal structures. In this excerpt (Ex. 11-4), texture is the most prominent parameter both in unifying each successive phrase and in separating the phrases from each other. 2. The concept of phrase needs to be broadened. Few of us would be completely comfortable calling the passage from measures 14 to 26 a phrase in the usual sense; it is a coherent unit that figures in the additive process of form building, but it is fairly far removed from the phrase which is "performed in a single breath." Using the two observations above as points of departure, we can propose two general principles. 1. The musical phrase, while still viable, has been to some degree supplanted by a unit which may be both broader in concept and more diverse in nature than the phrase of former times. Once tied strongly to melody, this unit may be primarily rhythmic, harmonic, or textural in nature. In places where the term phrase seems inappropriate, the terms sound event or simply structural unit may be more descriptive. 2. Such units, as well as entire sections of a composition, are

articulated through the expanded techniques described briefly in this chapter: rhythmic shape, pitch shape, pause, and parametric change. Two additional ideas for approaching contemporary music may be helpful. One has to do with the persistence of tonality. Even though tonality in the traditional sense has ceased to provide a broad foundation for musical form, it still functions significantly in many compositions. When a pitch is given special emphasis through prolongation, frequent repetition, a relatively loud dynamic level, or placement in an extreme register, it asserts its relative importance and thus may be perceived as a sort of tonal center. This notion of pitch centricity characterizes much music of the so-called post-tonal era.

BROADER HORIZONS

245

Second, it is well to keep in mind that the return of musical ideas may not be as readily recognizable as in earlier times. In an era in which musical ideas are likely to be expressed in other than melodic terms, reprises may border on the obscure. We need to grasp the nature of musical ideas in their initial presentation as fully as possible so that we can recognize them when they return in modified form. An instructive exercise in this regard is to compare the "Recapitulazione della prima parte" in Bartok's String Quartet No.3 with the "Prima parte" from which he derived it. Bartok's subtitle makes it obvious that he considered the third section a reprise of the first, but it is far from a verbatim repeat. Understanding the relationships of the two sections requires careful comparative study.

Summary With the introduction of the concept of the sound event-a phrase-level building block that is broader in scope and more diverse in nature than the traditional phrase-we open the door to analyzing a great diversity of musical materials. Parametric change joins forces with more traditional methods of phrase delineation in making such structures perceptible. Armed with these two principles, and keeping in mind that we must always let the form of a musical work reveal itself to us, we may approach the analysis of twentieth-century music with confidence.

ASSIGNMENTS 1. With the assistance of your instructor, choose a short twentiethcentury work or movement for analysis; a keyboard or chamber work with a fairly simple texture would be preferable. Proceed from the general to the specific in analyzing as follows. A. Determine the role of tonality in the work: is it strongly tonal,

less so, or atonal? What factors contribute to the degree of tonal organization that you discover? If the piece is tonal, does it begin and end in the same tonality? B. Locate any obvious major events: relatively loud or soft passages, climaxes, radical changes of texture or tempo, etc.

C. Divide the work as far as possible into successive sound events. In some instances these may be straightforward phrases with recognizable cadences; at other times, the structures may not seem very phraselike. In any case, search out those factors that make successive structural units apparent to the listener: rhythmic patterns and pauses, pitch and dynamic shapes, and changes in various parameters such as texture, tempo, dynamics, timbre, etc. D. Now look again over the work as a whole with an eye to formal patterns. Are there places where a sense of recurrence is apparent? Diagram or describe the overall form of the work. You may wish to analyze more than one short work before proceeding to Assignment 2. 2. Following the procedures outlined in Assignment I, analyze a larger twentieth-century work or movement, perhaps a work for orchestra.

POSTLUDE

METAFORM: Beyond Formal Analysis •

•

•

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You alone, alone, imaginary song, Are unable to sayan existence is wrong, And pour out your forgiveness like a wine. W. H. Auden, The Composer

When we discover the form of a musical work, we have as yet done little to recognize and understand its individuality. By identifying a movement as rondo, sonata, or fugue, or a work as quartet, concerto, or symphony we recognize its category of existence. But this information in itself tells us little about what makes the composition unique and memorable. In the search for a work's musical essence we must go beyond mere pattern analysis. We have tried all along to look beyond mere patterns, of course. We have sought meaningful relationships in terms of motivic derivation, developmental procedure, etc. To attempt an approach to musical meaning by analytical means is admittedly to put ourselves on uncertain ground; if we could describe adequately that which is unique in a musical work there would be no need for the music itself. But searching for evidences of music's uniqueness can lead, nonetheless, to heightened understanding, and thence to meaningful insights. To paraphrase Shakespeare, liThe search is the thing wherein we'll catch the essence of the thing." Let's give it a try. There are no absolutes in this territory, but there are some fruitful approaches. We will consider four.

246

METAFORM: BEYOND FORMAL ANALYSIS

I.

247

THE MUSICAL IDEA When we speak of a "musical idea," melody is probably the first thing that comes to mind. But the musical idea as a phenomenon is more than that. Consider, for example, Ex. P-l:

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comprehensive utterance. More often the conceptual idea reveals itself in musical bits and pieces. Now contemplate the opening of Eine kleine Nachtmusik (Ex. P-2):

248

POSTLUDE

Mozart, fine kleine Nachtmusik, I, mm. 1-4

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MET AFORM: BEYOND FORMAL ANALYSIS

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250

POSTLUDE

This excerpt, with its muscular polychords, jarring accents, and total lack of melody, epitomizes the charged dynamism we associate with The Rite of Spring. Yet it is not the all-encompassing seminal musical thought that we encounter with the Beethoven "Fifth" motive. Rather, it is one of many elements (a musical idea) that plays its part in revealing Stravinsky's underlying conception (the musical idea). The opening bassoon melody, the textural complexity of the introduction, the rhythmic energy of the "Danse Sacrale"-all these and many others combine in creating our mental conception of the work. But the whole is greater than the sum of its parts, and our conception of a work is formed by more than the cumulative effect of its elements. To get closer to the underlying conception we must consider the nature of musical ideas themselves.

II.

MUSICAL CHARACTER We have recognized the comprehensive significance of the opening motive of Beethoven's Symphony No.5, but we have said relatively little about its character. By character we mean the traits that distinguish an individual movement or work, that stamp it as unique. Here we must inevitably begin to use qualitative, subjective description; purely analytical tools are inadequate. Our scientific age makes us suspicious of this move toward subjectivity, but it is an essential move if we hope to make formal analysis musically meaningful. Attempts to describe this terse motive by Beethoven often include words such as heroic or fateful. Such words may indeed help us come closer to the Beethovenian conception, though this particular piece of music is so much a part of our collective consciousness that it is difficult to discuss it without becoming trite in the process. Perhaps we might best consider other examples. The name of the second movement of Bartok's Concerto for Orchestra, "Game of Pairs," tells us quite a bit about the underlying musical idea: pairs of like instruments playing melodies at fixed intervals (bassoons a minor sixth apart, oboes at the minor third, etc.). But we must look first of all to other elements (scale material, harmony, rhythm) and secondly to our response to the overall effect of this movement to determine its character: jocular, but with a poignant touch of melancholy. The idea of musical character often comes into play when we make comparisons. In distinguishing among the movements of Eine kleine Nachtmusik, for example, we might speak in terms of a first movement that is playfully dramatic (in a lighthearted way), a second that is elegantly calm, etc. In comparing the first and second symphonies of Brahms we would deal with the pensive, dramatic, deeply thoughtfuleven spiritual-character of the first, as compared with the open serenity of the second. We talk about, rather than define, musical character, but it is no less real for its lack of definition.


251

III. PROPORTIONAL ASPECTS In earlier chapters we dealt with matters of proportion in a rudimentary way, comparing, for example, the lengths of the development and the coda in a sonata or the relative lengths of movements within a work. Here we wish to examine broader issues such as tempo relationships, the relationships of various musical events within a work, and the relative "weight" of diverse portions of a work (themes, sections, movements). Convincing performances of multimovement works are characterized by tempos that seem to fit with one another. In most instances the composer has given important instructions in this regard: allegro for a first movement, adagio for a second, and so on. But such general instructions can do little more than point the way. The intriguing search for "right" tempi calls the musician's entire arsenal of musical and analytical tools into play. Let's look at the tempi Bartok specified in his five-movement Concerto for Orchestra (Ex. P-4).

EXAMPLE P-4

Mvt.

Title

Meter and Tempo

I

Introduzione

Intro: Andante non troppo Allegro vivace

3/4, J = ca. 73-64 3/8,J =83

II

Giuoco Delle Coppie

Allegretto scherzando

2/4, J = 74

III

Elegia

Andante, non troppo

3/4, J = 73-64

IV

Intermezzo Interrotto

Allegretto

2/4, J = ca. 114

Related details tranquillo sections at J = 70

3-meas. intro at J = 110

-_._--_._- 1-- - - - -V

Finale

Presto

2/ 4, J =ca.134- 146

slower sections at J = 114, 122, 120; final Piu presto ad= 184

A closer look at details of tempo in the first movement reveals some interesting clues to the underlying tempo relationships. Bartok specifies the quarter-note beat at the beginning as "ca. 73-64," reversing the usual procedure of placing the smaller number first. This seems to indicate a sense of "holding back," an effect that sets the stage for the dramatic accelerando that leads to the Allegro vivace, the main body of the movement. During the 13-measure accelerando, the opening quarter note beat in 2 time increases more than threefold in speed. The quarter equals 73 at the outset, and by the thirteenth measure the entire 2measure has become the pulse (dotted half note equals 76). The new section in ~that follows in the next measure is clearly the goal of the accelerando. The dotted half note

252

POSTLUDE

pulse of the final ~ measure jumps up one more notch at the Allegro vivace where the measure whizzes by at dotted quarter equals 83. Despite the great differences of surface rhythm, Bartok creates a sense that the underlying pulse in both the slow introduction and the energetic allegro are one and the same. His careful markings are charted in Ex. P-S.

EXAMPLE P-5

Andante non troppo

Allegro vivace

.I = ca. 73-64 Poco a poco accel. -

-

- - - - J = 76 .I. = 83

I I I~

3

4

The allegro vivace section alternately pulls the basic beat forward (MM = 83) and relaxes it (tranquillo sections, MM = 70). The second and third movements mirror this situation: the "Game of Pairs" (second movement) moves forward jauntily at Allegro scherzando, MM = 74, whereas the "Elegia" pulls back to the original MM = 73-64. If we average and round off the metronome markings slightly, we get a clear picture of the temporal proportions of the work as a whole: a single (but slightly flexible) underlying beat in the first three movements, then a systematic increase of speed through the last two (Ex. P-6).

EXAMPLE P-6

tr--I----------1-3j-4-X- 21j2 X - - - - - - - - - - - - , of

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t

11j2 x

ca. 74

II: 74

III: 73-64

IV: 114

V: 134

184

Of course, such clear proportions of tempo among movements are not always so apparent, especially when a composer has been less specific than Bartok was in this work. But careful comparison of movements in terms of character, thematic material, etc. will often lead to an understanding of tempo relationships. It is also helpful to compare a variety of works by a single composer. For example, a knowledge of all


253

the scherzos in the Beethoven symphonies enhances our understanding of each individual scherzo. If we become familiar with the scherzos from his quartets as well, our comprehension is enriched still further. In pursuing matters of proportion among the movements and various musical events of a work, we could scarcely do better than to consider Brahms's Symphony No.1. Even the briefest of outlines reveals interesting proportional relationships: Movement Length

I. 511 measures

II.

III.

128 measures

164 measures

IV. 457 measures

Approx. duration

18 minutes

11 minutes

6 minutes

18 minutes 2

This chart gives the immediate impression that the dramatic weight of the work must reside mainly in its outer movements. Even a cursory look at the score-or a first hearing-readily corroborates this impression. Fleshing out our chart with more information reveals these proportional relationships in more detail (see Ex. P-7).

EXAMPLE P-7

IV 4/4

Movement/meter Tempo:

I 6/8 Un poco sostenuto; Allegro

II 3/4 Andante sostenuto

Length (in mm.): 2

511

128

164

457

Approx. duration:

18 minutes

11 minutes

6 minutes

18 minutes

Key:

C minor

E major

A-flat major

C minor; C major

General character: 3

Emotionally intense; dramatic

Introspective

Unassuming

Lofty, profoundly secure

III 2/4 Un poco Allegretto e grazioso

Adagio; Allegro non troppo, rna con brio

The first movement exhibits almost constant fluctuations in intensity. Fortissimo is Brahms' loudest dynamic instruction, and it occurs in many areas of the movement. Intro.

IExposition

I Development

I Recap.

I Codal Codetta

All the major sections of the form begin climactically, and there are numerous other climactic areas as well. But a look at the dynamics alone 2. The exact duration of each movement will vary from one performance to another, of course. The figures given here are averages for performances which include the repeats in the first and third movements. 3. Opinions about the character of each movement will vary, of course.

254

POSTLUDE

gives us a false impression of uniformity. Some climactic areas are more important than others, and there are many clues as to their relative importance and intensity. When we consider the duration of each climactic area, its placement in the form, the texture of each, and especially how each is approached, the peak that carries the development into the recapitulation emerges as the supreme climactic event of the movement. The final climax in the coda rivals this one in intensity, but it lacks the same curilUlative force and serves rather as a final grand flourish. The second and third movements are not only more brief than the surrounding ones, they are also much less weighty; they offer a welcome exploration of less intense emotions between the gathering intensity of the first movement and the loftiness of the last. The fourth movement is a perfect balance to the first in terms of length and importance. The brooding character of the first movement, having given way to introspection and then to diversion in the middle movements, proceeds to themes of self-assured grandeur in this sonataform finale. The rich introduction is proportionally longer than in the first movement and includes the important alphorn melody, as well as premonitions of the hymnlike first theme. Fortissimos are brief and relatively scarce here; indeed, they seem less needed than in the first movement. The manner now is one of unselfconscious richness. But in a larger sense Brahms is saving his major fortissimo for the huge, triumphant coda which brings not only this movement, but also the entire work to a close. Who can doubt that this closing celebration is the principal climax of the whole symphony? The overriding proportional characteristics are different for each work we encounter. Searching for them is one of music's great joys.

IV. UNDER THE MAGNIFYING GLASS: THE COPYIST The computer and the copy machine have spoiled us. Not long ago all music had to be copied by hand, at least in all its prepublication forms. A side effect was that the copyist learned a great deal. The Viennese composer Ernst Toch claimed Mozart as his composition teacher, even though he was born almost a hundred years after Mozart's death. Largely selftaught, Toch copied entire Mozart string quartets by hand as a youth, discovering in the process the wonders of sonata form, etc. Few of us today can afford the time to copy string quartets by hand, but the benefits of the copying process need not be lost to us. As a tool for analysis, copying out the important thematic elements of a movement or work can be priceless. In the process of choosing what to extract, we must make decisions about which musical factors are important. Thus, hierarchies begin to emerge, revealing-in time-the form itself. This approach to analysis has a number of additional benefits. First, it is a safeguard against the temptation to force the music into a preconceived

255


formal mold: we start with the music itself and let the pattern emerge on its own. Second, having the written-out themes in front of us facilitates comparison as the form unfolds. Third, the process of actually writing the themes enriches our comprehension of them and often leads to recognition of relationships we might otherwise only discover more slowly, if at alL Copying out the themes of a work is one of the most fruitful ways to initiate the process of in-depth analysis. For this reason, we end this book with a final project, which we shall call commencement assignment.

COMMENCEMENT ASSIGNMENT Choose a multimovement work for analysis, preferably one you know well. If the work is new to you, familiarize yourself with it through listening to it or playing it. 1. A. One movement at a time, write out the thematic elements on

staff paper. Identify each item by citing measure numbers, but don't label them at first. When themes recur, you may simply add another set of measure numbers to the existing theme copy. B. After the formal pattern emerges, make a diagram or outline of the form. Label your copied themes as to their function in the form. 2. Once you have completed step 1 for all movements, search out the proportional aspects of the work that contribute to its overall shape and meaning. 3. Summarize the character of the individual movements and of the work as a whole. 4. Attempt to identify and comment on the basic "musical idea." 5. Write a short essay about how your findings can contribute to effective performance of the work. 6. Enjoy.

For the unity of the work has a resonance all its own. Its echo, caught by our soul, sounds nearer and nearer. Thus the consummated work spreads abroad to be communicated and finally flows back toward its source. The cycle, then, is closed. And that is how music comes to reveal itself as a form of communion with our fellow man-and with the Supreme Being. Igor Stravinsky, Poetics of Music

ANTHOLOGY: MUSIC FOR ANALYSIS musical form and analysis

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ANTHOLOGY Music for Analysis

1

2

3

4

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Five-part

Prelude, Op. 28, No. 20

German Dance

Mazurka, Op.39, No. 10

Mazurka, Op.7,No.1

Tchaikovsky page 259

Chopin page 261

8

Chopin page 258

Schubert page 258

5

6

7

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Scherzo and trio

Da capo aria

Songs Without Words, Op.67, No.4

Arch form

Quartet,Op.18, No. I, third mvt.

"Se l'idol mio" from Xerxes

Rhapsody, Op. 119, No.4

Mendelssohn page 263

Beethoven page 268

Handel page 274

Brahms page 278

9

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12

Rondo

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Sonata

Sonata, K. 545, last mvt.

Symphony No. 94, "Finale"

Variations on a Theme of Haydn

Octet for Winds, first mvt.

Mozart page 286

Haydn page 288

Brahms page 310

Haydn page 347

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14

15

16

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Rondo

Symphony No. 40, last mvt.

WeLl-Tempered Klavier, Vol. I, No.6

Eine kleine Nachtmusik, (complete)

Sonata, Op. 2, No.3, last mvt.

Mozart page 356

Bach page 378

Mozart page 380

Beethoven page 391

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272

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MUSIC FOR ANALYSIS

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ANTHOLOGY

274

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275

MUSIC FOR ANALYSIS

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ANTHOLOGY

34

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MUSIC FOR ANALYSIS

52 II II

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ANTHOLOGY

No.8. Brahms, Rhapsody, Op. 119, No.4 Allegro risoluto

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288

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ANTHOLOGY

356

No. 13 . Mozart, Symphony No. 40, last mvt. Finale Allegro assai

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ANTHOLOGY

358

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4A

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MUSIC FOR ANALYSIS

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ANTHOLOGY

87 ' il

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1~2

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1~4

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}~1

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MUSIC FOR ANALYSIS

1~8

369

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i'

-

.;,..

ANTHOLOGY

370

t~4

~

~

jt.

...

~ #~

#~

~.

~

it

f::

...

~

~~

Fl. ~

1\

L~

I ~...

L~

I

I

I

Ob. ~

Cl. (m)

1\ ~

I

.. ...

Bn.

..

I

a2

:I:

p

f

1\

(m)

Hn. (G)

l l

.,

f

1\

,., 1\

1\

~

Va. Vc. &Cb.

-

...

p.-~

:-___ V

--

~

Vn.

f

,......,.......

L

,

.. ~

"f..

~

f

~

~

f::

~

f::

~

f::

.. ut

..

t

~

I

I

I

I

.jL

~

I

I

I

I

~

.p.

~

.p.

~

:d=

~

:d=

~

f::'

~

f::'

~

lit

Ob. ~

Cl. (m) Bn.

~')

Hn. (G)

'" .jL

1\

~

.jL

~

~

:

l l

p

f

1\

., 1\

,., 1\

"

I~

Vn

n

~

Fl. 1\

.

n

f

p

211

r-.

~~ 1'--.

p

~

/11".

r-

.

~

b~

r-.

p

f p

/11"•

1\

I~

~

.

~

it

~

~

~

u

.

f

P

r

~

.:-~ ~u

.:-~ ~

n

tr---., p

p II

p

f

~

f

p

f

p -fL . -fL

f

p

Va. p

Vc.

:

Cb.

:

p

p

f

p -fL -fL -fL

f

p

I

I

p

p.-'

.~.

MUSIC FOR ANALYSIS

218 -1.'

371

~

~

~

~

~

~

~

...

~

...

~

~

~

"f9-

~

~~

~

.

b~

.

~

Fl. ~

1\

Ob.

~

~

~

1\

CI. (m)

~

~

~

~

I

I

a2 :

Bn.

(m)

Hn.

l

p

f

1\

.

t!

1\

(G) ,t!

l

1\

tt~

~

~ ~ ~

~

Vn

~

Vc.

:

,:-~ ~

~ ~.~

~~.

r

~

Ii

,:-~ ~ ~

f

1\

Va.

.

~

t:

.;,. t.

~

~.

•

f

fL' I

p

f

I

I

:

Cb.

p 2A4

f

~ ~F ~

~

F

~

~

~

~

b~-o;p.

~ ...

b:J

~

~

... :J

I~~

~

F ~ F ~

FI. ~

1\

Ob.

b~~

"

~ ~

~

CI. (m)

.

.

:J ..

:J ..

1\ I~

I

I

I

I

I

I

I

I

:

Bn.

ff1\

(m)

Hn. (G)

l

I~

1\

f~

l

It!

Vn.

...............

1\

~

~

,~

...., r--.--

r--

1\

...............

.--.-.

--

- .... I~"'-..o'- .... q:# ...-..o'- .... :# I~'" .........,~

• Iq"'-..o' .q:#"'-..o' .:# Iq'" /"'

Va. ....

Ve. &Cb.

-G-

: ~

.

....

.

/"'

-G-

;~~h.;~~.

ANTHOLOGY

372

2~O

PI.

F

F F F F

Cl. (m)

~

F

~

F

f:

f:.

f:.

f:.

f:.

~

f:.

f:.

f:.

f:.

~

I

I

I

I

.., I

1\

Db.

F

I

I

I

1

.., _h

..., :

Bn.

.. 1

a2

:$

..

1

1

-fl.

1

1

-fl.

_Ft_

•

u.

1\

(m)

Hn.

l l

.., 1\

(G)

,.., 1\

•

u

0

..,

Vn.

1\

.

..,

Va. Ve. &Cb.

:

~ 235

-,,-

PI.

.. f:.

~

F ~ f:. ~

~

-fl. .. b.

~

r-.. . . .

-

f:

r-. . . . .

..f:.-fl. ...

-fl.

-fl.

-fl.

-fl.

.p.

~

-fl.

~

-fl.

~

.

L v

-

~

r-.

r-.

..,

"

Ob.

..,

Cl. (m)

J'L

a2

a2

,'" -fl.

:

Bn.

h

i9-

1\

(m)

Hn.

l l

...

...

I'" 1\

(G)

.. .. --....

f'"

"

Vn.

I'"

"

I'"

............... ...............

-----

:-

-

.

.. -fl. ..

,.........,....

.

:

-fl.

f:.

-fl.

f:.

-fl.

~

h.

.6J. ~

..... ... ..... ..... ... ~

...

Va. Vc. &Cb.

;-~ .. ~;-~ .. ~ -fl.~f:~-fl. .. ,~

...

i9-

~

~~

MUSIC FOR ANA LYSIS

2~1

Fl.

Cl. (m)

..0.

-

--

~

# Rt:

#~

(:.

(:.

., fI

Ob.

#~

-&

373

~

~-ft-

"

...

~

., fI

He.

~.

H.

-&

d-

., .1

:

Bn.

.fI-

.fI-

.fI-

.fI-

.fI-

.fI-

.fI-

.fI-

.fI-

J

..".

..".

..".

..".

..".

..".

..".

..".

=it

=it

=it

=it

=it

=it

=it

=it

(:.

~

-d

fI

(m)

Hn.

'"' 1\

(G)

,.,

:d

fI

Vn .

~

.,...,...,...,..

~

. ~

'"'

.

.,

.,...,...,...,..

.,..#~ ~ ~ ~

...-

'. ~

,...,......,.;: .,.. .,.. .,.. .,..

1\

~

,

....

~

.

.,...,...,...,..

r .,.. #~~~~

---

" ~

Va.

.fI-

:

.fI-

.fI-

.fI-

.fI-

r ~

.fI-

.fI-

.fI-

.fI-

.fI-

.fI-

.fI-

.L

.fI-

.fI-

.fI-

.fII

l

-

..

247 -;.:

I'"'

-

---

mfp

1\

I"

-d~"'"

~

P

mf p

p

mfp

... ..........

Va.

l

254 7\

---

.,

Vn

p

~

(:.

,

Vc. &Cb.

Vn

....

:d

~

•

-.-.....

•

,.....,

~

------

I

fI

'"'

4

..".

-d~'"

..".

1,1

Va.

...

,

-&

374

ANTHOLOGY

261

.n.---

--;.:

.

~r:

F

FL ~

CL

(m)

P-

~.....

-----

p~

~

~

~

~I

1

I~ I

1---

-

1

P

~~I

:

---

!I,..,

b

h,..,

I~

I

,I

---

I

~

/"":""' :

~

1----

~

P Hn. (G)

;C1 . ~.... ~ ~ ~

P

1\

Bn.

~--------¢

L J ~J 1

~

2.

1\

:

'* '* '* -.:- .................... .....

, ~

~

P

.~

~~~~

l

1\

~

Vn

1\

' ~

Va.

T

I

Vc. &Cb.

.J

:

p }~9

-

",.#~.o.

~

---

----

#~~

-----

--

--

~~

--iif~

r:

~

q~-Q-IL

~~-IL

~~ ,..,~-

...::

FL ~

CL

(m)

1. I ~ "-

I

1\ ~

1

----

.---

..

'l:--J HJ~~1..n

cO

b,

b,

I IJr~p-

Jr~P-'

- --.,.l.....

-IL .....

b..... h.

:;-,;-.

c:-

I

~~

~ I

Bn. 1

Hn. (G)

2.

1\ \~

-e-

"IT

l

1\

~

i~

Vn

-e-

,II.

,br ~

P

1\

~

P I

~

Va. p Ve.

&Cb.

/

:--

-

-

1

I

'I

375

MUSIC FOR ANALYSIS

Fl.

Ob. CI. (m)

Bn.

(m)

Hn . (G)

Vn.

f Va.

f Vc. &Cb. ~

FI.

Ob. CI. (m)

Bn.

(m)

Hn. (G)

Vn.

Ve. &Cb.

p

ANTHOLOGY

376

289 -.,.,"

.L

.;".

-fL

.

.;"

.

.fL.

.;"

fL

.;"

-fL

-fL.

.#

#

0

Fl. ~

f

II

".

it

I

Ob. ~

Cl. (Sh)

f

...

II ~

f

...

L

I

II."

...

II."

...

I

"

I

...

II:

...

...

II:

... ..

Bn.

I

I

...

II:

...

...

II.

...

I I~

-&

:

f II

(Sh)

l l

I~

Hn. (G)

f

II

f~

--.

. •..a:!:. ....

I~

Vn.

~

j

II

~

~

~ ~~

~

~

....

~~

... ~~~~~~~~ ;~~~~~~~ ~

f

~~

II

I'"

'-'

...

~~

...

f

,b ...

Va.

-

f Ve. &Cb.

:

h.

f }~4

~:f:~t:

n

~

d

t'

"19-

~:f:~t:

~

Fl. I'" II

--===

IT 1 .J

ITql. .i-;

luJ

..-::::::::::.: ..... rrl.l~i-

U

Ob. I~

Cl. (Sh)

I

ott

~

I~

~

Bn.

..

I

I

~.

I

I

-&

.-----::-h. .. h. $:

n:

;2-

.....--

~

II (B~)

l l

..:;.

,~

Hn. (G)

II

\~

II

:;j ~ ~ ~ ~ :f: :f: :f::f:

..,

Vn.

:f::f::f::f: ~ ~ ~ ~

....

II

..:;.

~~~~~~~~

.............

~~~~:f::f::f::f:

II.

~

..0.

Va. Ve. &Cb.

-&

-

.-

.b ...

..0.

h.

-&

MUSIC FOR ANALYSIS

}~9

Fl.

JL

-t9-

#t:

~

~

.....

1

... jjj

fI

Ob. Cl.

...

I

fI

J

J

."..

I

...

(m)

d

377

I

~

.p..

.

IIJ

J

J

I

~~

~

J.

~

.~

o.

I

I

.~

I I

f.f.

0

I

I

I

I

I

I ~.

.

Bn. 1\

(m) t!

-t9-

-6-

Hn. (G)

1

,t!

f:. f:. f:. f:. ~ ~ ~ ~

fI

...

Vn.

-6-

..

1\

.. . .. ..

fI

1 ...

f:. f:. f:. f:. ~ ~ ~ ~

.

~~~~II

.

,.,

I

.. II":-~

I

Va. Vc. &Cb.

~

~

3~4

f.

!

f.

. .

f.

t!

1\

oj

J

J

J

oj

Ob.

.

,.,

~

n

.fII-

.p.

:

:

I

It!

1\

Cl.

~

-.t'

.

.p..

f.

Fl.

(m)

f:.

........ ........ ..... ..

.

v

f:.

H.J

J.

.J

.J

H.J

~

: It!

:

Bn.

.fII-

.fII-

I

.

n.

I

.fll-

.fII-

I :

r fI

(m)

Hn. (G)

-

.6J-

i'"

..

fI

1f'"

1\

or-... f:. ... f:. ...

...

.

n

r-... f:. ...

~

...

...

It!

Vn.

1

1\

--. . . . . . . . .

It!

Va. Ve. &Cb.

:

y '

. . . . . . . . -

.. .. ..

: .6J-

: .6J-

.fII-

: I

.

7J

r

7J

:

:

:

y '

378

ANTHOLOGY

No. 14. J.5. Bach, Well-Tempered Klavier, Vol. 1, No.6

J = 72)

(Moderato

a3

,/1

,

I 1

~

---•

-

tr

,

-...... )

.--,

•

~.

r

I

•

tr

~

I

Jh.J .J .J j

:

~

L 1]

\

9

)

1\

~

~

L..J'

I

:

\

13

I

I

I

T "1

r

I

I

===

I

T

r

J

)

i

6::::6d

r

N

r

.r'.

.

J

L

I

,

•

............

............ ............

............

l "1r

tr

I

MUSIC FOR ANALYSIS

21

,'"

-

'"'

\~ t

J

:

---

.

r

1

I

1

,

----

t,.

-

I

JJ

j

.d

j

~

1

t .

,.

r

t

J

1

I~

~

J

1

-1

~

1\

- - -

..-

@)

j ~u.hJ

:

1

J

1

- ,

J

1

,.fL .fL -#- •

t

J i~. h-J~J

.J

~

t

J ),

\

I

1~~ .)

I tlJ~

1I

'l :

I.

I.

I.

1

~

1

J

1

1

J

----

~

ir

I -

r r

~

tr

;

1 J

1

.:.

tr

~ 1":\

......,

1 ,

~

~~

I

'----1

) )

J

--

-----

~

l'

•

. -#- •

[

, 4~

I

-

37

t

----

tr

~,

I~

I

1 J1J)

-~

33

~

~J

~

I

t

~

-

. J

1\

I

•

-#-.

~

\~ , [

I

tr

1'1

~

:

1

1

J

1

2~

t

~

-

t

I...l. :1

379

L

,

.

I

r

I

I

1 J

r ~

1 : "1

1

J..

1

.

I

'"'

b

..

..

:

.,

..

~

..

P

-:-1"- r.

.~.

-

~

-4-"-

Ii'

;.4"

16

11

:

., ""

f\ "

:'"

f\ "

6

Violoncello and Contrabass

Viola

Violin II

Violin I

..

u

-

~

.'

f

....

~

1'-.'

..

~

Allegro

,

.

-:-1"- r.

""

.~.

tr

if

if

1.<1"

p

p

P '-------"'

77________'" "',. -.; . . .

sf

:i""--'"

if

if

if

if

• -

••

?J________~P '-------"'

-

~

tr

p

p

..

~

1'- . -

.

cresco

cresco

.~ ~

cresco

1....1-'-' cresco

p~I"

Ptr

~~

tr

-....::=

• • L' .... . . .

No. 15. Mozart, fine kleine Nachtmusik, (complete)

>I

"

-

I'-"~

"

i!~

f

f

f

f

"

-~

'-..---'

~

"

.......

.'-'".

~

["if

f\

["if

tr

............

•• 3

~

3

"

P

P

II-

"~.~.

P~'

P

A

"

. ..

#d,.

-.

,

-

tr

..

-

!~ .. ::..

"

~.

3

#

h'

#

tr

-= . . . . .

~

f

f

..--:;. ......... it-:'"

-

. . . . . . . . . . . . . . . . . . . . . . . . 1"-,.

u....u

"

,,""~.-

~

....... .

•

. 2LJL-& ........ -..

:

j'"

f\ "

I'"

31 eA

:

I'"

f\ "

I"

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26

:

I'"

f\ "

I'"

f\ "

;..~

f

.....

3

~

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o

"~I'-

•

-

-=-

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;;;;;;;;;;;;

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3

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f .:::::==::::"

3

... •

~

•

. .

b

'-

(X)

-<

I

oroCl

»

z ....,

o

IN

MUSIC FOR ANALYSIS

:, ,

I

(~

~, : , ,

I

{.

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"

"

I

•.

('

.. ~

~ (:'.

<

~

~

((

~

.

" /

(

., .,r

(1 ~~

~

"

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<

(:

~

"

•

-

· '.

(~

(,

(

,

•

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(

j

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,

'<-,

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<

•

•

,

•

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~

~

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•

~

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~

~

1

(~ ~

,

1,

1

r'

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u

..

I

)<

,

'<-, .. ~ <

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..

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• • • •

:

1 ~

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)

~

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1

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1

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,

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)

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II

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I

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I

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(

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381

• • • •

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fI II

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91

86

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fI II

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n

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sf

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Ir

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cresco

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cresco

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.. _1'- . 1'- .. t- ._I'-. t- #I'-#

p

p

sf

p '------' sf

Ir

>7~~Y*J

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-0-

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sf

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b

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115

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106

I

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3

P "j=

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BIBLIOGRAPHY

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Armstrong, Louis. "An Interview with Louis Armstrong" by Richard Meryman, Life, April 15, 1966, p. 104. Auden, W. H . "The Composer," from Collected Poems, ed. by Edward Mendelson, p. 148. (New York: Random House, 1976) Brahms, Johannes, in The Musician's World: Letters of the Great Composers, pp. 303-304. (New York: Thames and Hudson, 1965) Hindemith, Paul. A Composer's World, p . 130. (Garden City, New York: Anchor Books, Doubleday and Company, Inc., 1961) Keats, John. Complete Poems and Selected Letters, ed. by Clarence DeWitt Thorpe, p. 346. (New York: The Odyssey Press, Inc., 1935) Langer, Susanne K. Feeling and Form, p. 120. (New York: Charles Scribner's Sons, 1953) Leinsdorf, Erich. The Composer's Advocate, pp. 23, 62, and 63. (New Haven and London: Yale University Press, 1981) Reti, Rudolph. The Thematic Process in Music. (New York: The Macmillan Co., 1951) Sessions, Roger. The Musical Experience of Composer, Performer, Listener, pp. 12-13 and 61. (Princeton, N.J.: Princeton University Press, 1950) Stafford, William. Writing the Australian Crawl, p. 3. (Ann Arbor, Michigan: University of Michigan Press, 1978) Stevens, Wallace. The Collected Poems of Wallace Stevens, p. 93. (New York: Alfred A. Knopf, 1972) Stravinsky, Igor. Poetics of Music, pp. 44-45 and 46. (New YorJ.<: Random House, 1947)

The New Grove Dictionary of Music and Musicians, 20 vols., ed. Stanley Sadie. (London: Macmillan, 1980-81) Toch, Ernst. The Shaping Forces in Music, pp. 154, 163, and 164. (New York: Alfred A. Knopf, 1948) Verrall, John. Fugue and Invention in Theory and Practice, p. ix. (Palo Alto, California: Pacific Books, Publishers, 1966) 400

CREDITS

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These credit lines are for the quotes which appear in the text. Prelude

From Louis Armstrong in An Interview with Louis Armstrong" by Richard Meryman in Life, April 15, 1966, p. 104. Reprinted by permission of Time Inc. Magazines, New York, NY. JJ

From Erich Leinsdorf, The Composer's Advocate: A Radical Orthodoxy for Musicians, copyright © 1981 Yale University. Reprinted by permission of Yale University Press, New Haven, CT. Part I

From Susanne K. Langer, Feeling and Form, 1953. Copyright 1953 Charles Scribner's Sons; Copyright renewed © 1981 Susanne K. Langer. Reprinted by permission of Macmillan Publishing Company, New York, NY.

Chapter 1

Source: From William Stafford, Writing the Australian Crawl, 1978, University of Michigan Press, Ann Arbor, MI.

Chapter 2

From Roger Sessions, The Musical Experience of Composer, Performer, Listener. Copyright 1950, © renewed 1978 by PUP. Excerpts used with permission of PUP.

Chapter 3

From Roger Sessions, The Musical Experience of Composer, Performer, Listener. Copyright 1950, © renewed 1978 by PUP. Excerpts used with permission of PUP.

Part II

Source: From Ernst Toch, The Shaping Forces in Music, 1948, Random House, Inc., New York, NY.

Chapter 4


Interlude

From Collected Poems by Wallace Stevens. Copyright 1923, © renewed 1951 by Wallace Stevens. Reprinted by permission of Alfred A. Knopf, Inc.

401

402

CREDITS

Chapter 6


Chapter 7

From The Musician's World: Letters of the Great Composers, by Hans Gal. Copyright © 1965 Thames and Hudson Ltd. Reprinted by permission of the publisher.

Chapter 8

From John W. Verrall, Fugue and Invention in Theory and Practice, 1966. Reprinted by permission of Pacific Books, Publishers, Palo Alto, CA.

Chapter 9

Source: From Igor Stravinsky, Poetics of Music in the Form of Six Lessons, 1947, Harvard University Press, Cambridge, MA.

Part III

Source: From Paul Hindemith, A Composer's World: Horizons and Limitations, p. 130, 1952 by the President and Fellows of Harvard College. Reprinted 1969 by Harvard University Press.

Chapter 10 From Erich Leinsdorf, The Composer's Advocate: A Radical Orthodoxy for Musicians, copyright © 1981 Yale University. Reprinted by permission of Yale University Press, New Haven, CT. Chapter 11 From Erich Leinsdorf, The Composer's Advocate: A Radical Orthodoxy for Musicians, copyright © 1981 Yale University. Reprinted by permission of Yale University Press, New Haven, CT. Postlude

From W. H. Auden: Collected Poems by W. H. Auden, ed. by Edward Mendelson. Copyright © 1976 by Edward Mendelson, William Meredith, and Monroe K. Spears. Executors of the Estate of W. H. Auden. Reprinted by permission of Random House, Inc.

Page 255

Source: From Igor Stravinsky, Poetics of Music in the Form of Six Lessons, 1947, Harvard University Press, Cambridge, MA.

IN D E X

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Accompaniment patterns or figurations connecting parts with continuing, 97 connecting phrases with continuing, 63 Active chords, 209 Addition, motivic, 44-45 Additive process, phrases and, 26-27 Agogic stress, simple, 32 Aida (Verdi), 11-12 Alberti bass, 48 Albumblatt, Op. 28 (Grieg), 114 Anacruses connecting parts with, 97 connecting phrases with, 63-64 Answers, fugue, 178, 183 Antecedent phrases, 53 Anticipatory transitions, 140 Arch contour, 8 Arch form, 120-26 Arias, 115-18 Arietta con Variazioni (Haydn), 152-53 Armstrong, Louis, 1 Articulation. See Cadences; Parametric change; Pauses Art of Fugue, The (Bach), 16, 191 Art songs. See Vocal music Asymmetrical periods, 57 Asymmetrical phrases, 28 Asymmetrical rhythmic structure, 84 Auden, W. H., 246 Augmentation, 46-47 Aura Lee (folk song), 11-12 Authentic cadences, 33 Auxiliary members, 103 codas, 108-9 introductions, 104-7 transitions, 107-8

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Bach, Johann Sebastian The Art of Fugue, 16, 191

Brandenburg Concerto No. 1, 115 Chaconne, 171-73 English Suite No.6, Sarabande, 151-52

French Overture, Bourree I, 78-79 Goldberg Variations, 159 Herzliebster Jesu, was hast du verbrochen, 15 Invention No.1, 194-95 Mass in B Minor, 160, 161-62 Organ Compositions, 191 Passacaglia in C Minor, 164-70 Well-Tempered Clavier, Vol. I, 13, 108,178-91,378-79

Bagatelle, Op. 33 (Beethoven), 113 n .1,114

Bagatelle, Op. 119 (Beethoven), 114 Barbiere di Siviglia, Il (Rossini), 55, 57-58,63

Bartered Bride, The (Smetana), 44 Bartok, Bela

Concerto for Orchestra, 231, 234, 250,251-52

Mikrokosmos, 195 Music for Strings, Percussion, and Celesta, 178 n .1 String Quartet No. 3, 245 String Quartet No.4, 240, 241-44 Bass, ground, 160-63 Beat, 3 Beethoven, Ludwig van Bagatelle, Op. 33,113 n.1 cyclical design and, 232 Diabelli Variations, Op. 120, 158, 159 five-movement works, 234

Der Grosse Fuge, 191 Prometheus Overture, 220 Quartet, Op. 18, 221, 268-73 rondos, 134 scherzos, 112,228

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Sonata, Op. 2,19-20,107-8,114, 135-36, 206-7, 209, 221, 391-99 Sonata, Op. 10, 9, 66-67, 221 Sonata, Op. 13, 200 Sonata, Op. 14,44,205-6,207 Sonata, Op. 26, 58-59, 228 n.2 Sonata, Op. 27,114,228 n.2 Sonata, Op. 31, 41, 47-48, 213, 221 Sonata, Op. 54, 134 n.4 Sonata, Op. 57, 39, 201-2, 232 n.4 Sonata, Op. 79, 138 Sonata, Op. 81a, 201, 208 sonata-rondo forms, 222 sonatina forms, 221 String Quartet, Op. 18, 113-14 String Quartet, Op. 59, 27, 182-83

Symphony No.1, 106 Symphony No.5, Op. 67,42, 247, 250

Symphony No.6, Op. 68, 8 Symphony No.7, Op. 92, 32 Symphony No.8, 221 Symphony No.9, 71, 106 Variations in C Minor, 173 Variations on a March by Dressler, 156-57 Beginnings. See Introductions Bellini, Vincenzo, Norma, Sinfonia by,36-37 Berg, Alban

Concerto for Violin and Orchestra, 239-40

Sonata, Op. 1, 234 Wozzeck, 173 Berlioz, Louis Hector idee fixe, 233

Symphonie fantastique, 119, 234 Biber, Passacaglia for Unaccompanied Violi by, 161-62 Binary form, 26, 77. See also Twopart form

403

404

INDEX

Bipartite form, 77 n.1. See also Twopart form Bizet, Georges, Carmen by, 43 Blue Danube Waltz (Strauss), 120 Brahms, Johannes Concerto for Violin and Orchestra, Op. 77, 7 Hungarian Dance, 114' Intermezzo, Op. 76, 97, 109 Intermezzo, Op. 116, 89 Intermezzo, Op. 118, 42-43, 46, 68-70 Rhapsody,Op. 119, 121-24,278-85 Sonata for Violin and Piano, 221 Sonata in F Minor, Op. 5, 234 Sonata in G Major, Op. 78, 62-63, 232-33 symphonies, 228, 229 Symphony No.1, 106, 201, 210-13, 229,253-54 Symphony No.2, 114, 229 Symphony No.3, 229 Symphony No. 4, 173, 229 theme and variations form, 149, 150 Variations on a Theme of Handel, Op. 24, 154-55 Variations on a Theme of Haydn, Op. 56,36,44-45,159,173, 310-46 Brandenburg Concerto No. 1 (Bach), 115 Broken cadences, 108 Buxtehude, Dietrich, Prelude, Fugue, and Chaconne by, 161-62

Cadences, 19-22. See also Codas broken, 108 connection of phrases across, 63-67 of fugues, 188-89 harmonic, 33 phrase extension and, 36-37 phrases and, 26 Phrygian, 85 n.5 rhythmic, 31-32 in sonata form concertos, 217-19 two-phrase periods and, 53-55 Cadential rhythmic gestures, 32, 238 Cadenza, 217, 219 Cancrizans, 45 Canonic Sonata No.2 (Telemann), 193-94 Canons, 193-94 Cantatas, 106-7, 115 n.3, 197 Capriccio (Haydn), 92-93 Carmen (Bizet), 43 Cenerentola, La (Rossini), 118 Chaconne (Bach), 171-73 Chaconne form, 163-64, 170-73

Chamber works, multi movement form of, 227-30. See also Quartet sonatas; Trios Character, musical, 250 Character pieces, 89 n.8, 145 Character variations, 157-58 Children's Corner, The (Debussy), 91 Chopin, Frederic Fran<;ois Etudes, Op. 10, 108 Etudes, Op. 25, 108 Grande Valse Brillante, Op. 18, 54-55 Mazurka, Op. 7,90-91, 114, 124-25, 145,261-62 Mazurka, Op. 67, 89 Nocturne, Op. 9, 61-62 Nocturne, Op. 15, 89 Polonaise, Op. 40, 114 Prelude, Op. 28, 77-78, 82 n.3, 91, 108,258 Sonata, Op. 35, 43 Valse, Op. 64, 67-68 Waltz, Op. 34, 89, 120 Chorale fugues, 195 Chorale motets, 195 Chorales, organ, 195 Chords. See also Tonality active, 209 structural, 34 Chorus vs. refrain, 94 n.9 Circular canons, 194 Clarinet Quintet (Mozart), 114 Classical multi movement form, 227-30 nineteenth-century movement away from, 234 Clavicinists, 131 Clementi, Muzio, Sonatinas, Op. 36, Op. 37, and Op. 38 by, 220 Clemenza di Tito, La (Mozart), 118 Climatic pitch, 9-10 Closing rhythmic figures, 32 Closing themes in sonata form, 201, 205-7 Codas, 88, 103, 108-9 of rondos, 141-42 in sonata form, 217 Codettas, 109, 179,207 Comes, canon, 193 Complete cadences, 26, 33 Composite five-part form, 114-15 Composite part forms, 77, 111-30 arch form, 120-26 composite five-part form, 114-15 composite three-part form, 111-14 compositional types using, 125-26 simple part forms as internal units of, 92-93 (see also Simple part forms) in vocal music, 115-18 waltz form, 118-20 Composite three-part form, 111-14

Concerto for Orchestra (Bartok), 231, 234,250,251-52 Concerto for Violin and Orchestra (Berg), 239-40 Concerto for Violin and Orchestra, Op. 77 (Brahms), 7 Concerto for Violin and Orchestra, Op. 82, (Glazunoff), 7 Concerto grosso, 117 n.6, 231 Concerto in A (Liszt), 234 Concerto in E-Flat (Liszt), 234 Concertos, 198,207 multimovement form and, 227, 230-31 sonata form in, 217-19 Conclusions, fugue, 186-87. See also Codas; Postludes Connection of parts, 96-98 of phrases, 63-67 transitions, 107-8 Consequent phrases, 53 Continuo, 116 Continuous compositions, 234 Continuous variations, 160. See also Ostinato variations form Contours, pitch, 7-10 Contrapuntal variations, 157. See also Counterpoint Contrary motion inversion, 43 Contrasting construction, 56 Contrasting periods, 56 Copying process, 254-55 Counterexposition, 181 Counterpoint in fugues, 177, 179-81 (see also Fugues) invertible, 43, 181, 184-85 in ostinato variations, 160 in sonata form, 209 in variations, 157 Countersubjects, 179-80 Couperin, Fran<;ois, 131 n.1 Couplets, 131, 133 Crab motion, 45 Cyclical design concept, 231-33

Da capo arias, 116-18 Dances. See Minuet movements; Passacaglia form; Chaconne form; Rondeaus, French; Rondos Danse Macabre (Saint-Saens), 119 da Vinci, Leonardo, 4, 75, 226 Debussy, Claude, The Children's Corner by, 91 Deceptive cadences, 33 Deletion, motivic, 44-45 Delio Joio, Norman, Variations, Chaconne, and Finale by, 173

405

INDEX

Development sections of sonata form, 198-99, 208-13 Diabelli Variations, Op. 120 (Beethoven), 158, 159 Dido and Aeneas (Purcell), 160 Digressions, rondo, 133 n.2 Diminution, 46-47 d'Indy, Vincent, Istar by, 155 Disguised phrase endings, 67-70 Dissonant intervals, 13 Don Juan, Op. 20 (Strauss), 11-12 Don Quixote (Strauss), 155 Double fugues, 189-90 Double periods, 59 n.1 Doubles variations, 151- 52 Duple measure groupings, 70-71 Dussek, Johann, Sonatinas, Op. 20, and Op. 40 by, 220 Dux, canon, 193 Dvorak, Anton Humoreske, Op. 101, 53 Piano Trio, Op. 90, 234 Symphony No.9, Op. 95, 8, 46-47, 214

Eakins, Thomas, 3

Eine kleine Nachtmusik (Mozart), 111-12,205,222,247-48, 380-90 Eingang introductions, 120 Elision of motives, 40 of parts, 98 of phrases, 65-66 Endings of phrases, disguised, 67-70 English Suite No.6, Sarabande (Bach),151-52 Entr'acte, 107 n .1 Episodes of fugues, 184- 85 of rondos, 133, 138-39 Erlkonig (Schubert), 95-96 Etudes, Op. 10 (Chopin), 108 Etudes, Op. 25 (Chopin), 108 Evening Hymn, An (Purcell), 162 Expositions offugues, 177, 178-83 of sonata form, 198, 201-7 Extension of phrases, 35-38

Fantasia sections of sonata form, 208-13 Faust (Gounod), 119 Figural variations, 156-57 Figures vs. motives, 48 First-movement form, 197 n.1. See also Sonata form First movements, 228-30 First theme or group of sonata form, 201

Five-movement works, 234 Five-part form, 89-91 composite, 114-15 Five-part rondeaus, 131-32 Five-part rondos, 142-43 Forelle, Die, Op. 32 (Schubert), 94 Form . See Musical form Formal analysis. See also Musical form copying process and, 254- 55 musical character and, 250 musical ideas and, 247-50 parametric change and phrase concept, 241-45 problems of, 237-38 proportional aspects of, 225-26, 251-54 reasons for, 1-2 rhythmic delineation, 238-40 time as factor, 3-4 Four-movement plans, 227, 228-30 Four-part form, 89-91 Four-phrase periods, 57-59 Fourth movements, 229-30 Franck, Cesar, Symphony in D Minor by, 40-41,233 Free counterpoint, 179 Free variations, 155 French Overture, Bourree I (Bach), 78- 79 Fugatos, 191-93,209 Fughettas, 193 Fugue, Op. 72 (Schumann), 182-83 Fugues, 177-96 answers of, 183 canons, 193-94 conclusions of, 186-87 episodes of, 184-85 expositions of, 178-83 form of, 188-89 fugatos, 191-93 fughettas, 193 inventions, 194-95 middle entries of, 185-86 with multiple subjects, 189-91 organ chorales, 195 subjects of, 181-83 types related to, 191-95

Grosse Fuge, Der (Beethoven), 191 Ground (Tomkins), 160-62 Ground bass, 160-63 Groupings duple measure, 70-71 of phrases, 26-27, 52, 62-63 of variations, 158

Half cadences, 33 Handel, George Frederic

The Messiah, 191 Suite No. 15, Sarabande, 84-85 Xerxes, 115, 116-17,274-77 Harmonically closed and open parts, 84 Harmonically fixed variations, 151-53 Harmonic cadences, 33 Harmony cadences and, 33 melody and, 15-16 phrases and, 33-35 tonality and, 18 (see also Tonality) Haydn, Franz Joseph

Arietta can Variazioni, 152-53 Capriccio, 92-93 minuets, 112

Octet for Winds, 114,204,347-55 rondos, 134

Sonata, Hob. XVI/29, 33-34 Sonata, Hob. XVI/34, 29-30 Sonata, Hob. XVI! 35, 221 Sonata, Hob. XVI/37, 59-60 Sonata in D, Hob. XVI/19, 137 Sonata in E mi1lor, Hob. XVI/34, 139 Sonata in G, Hob. XVI/39, 134 n.4 Sonata in G, Hob. XVI! 40, 134 n.4 String Quartet, Op. 20, 191 String Quartet, Op. 74, 35 String Quartet, Op. 76, 153 Symphony No. 94, 143, 288-309 Symphony No. 97, 137-38 Symphony No. 98, 15 Symphony No. 99, 202 Symphony No. 101, 26, 63-64 Symphony No. 103, 86-88, 107, 108-9

Symphony No. 104, 38, 106 Helft mir, ihr Schwestern German Dallce (Schubert), 258-59 Glazunoff, Alexander, Concerto for Violin and Orchestra, Op. 82 by,7 Goldberg Variations (Bach), 159 Gounoud, Charles, Faust by, 119 Grande Valse Brillante, Op. 18 (Chopin),54-55 Grieg, Edvard Alhumblatt, Op. 28, 114 Wedding Day at Troldhaugen, Op. 65,30

(Schumann),105

Herzliehster Jesu, was hast du verbrochen (Bach), 15 Hindemith, Paul, 225 fugues, 178 n.l

Nohilissima Visione, 173 String Quartet No.4, Op. 32, 173 Third Piano Sonata, 191 Honegger, Arthur, Symphony No.2 by, 173

Humoreske, Op. 101 (Dvorak), 53 Hungarian Dance (Brahms), 114

406

INDEX

Ideas, musical, 247-50 Imitation, motivic, 42, 208, 209 Imperfect consonances, 13 Impromptu, Op. 142 (Schubert), 114 Incipient three-part form, 81 n.2 Incomplete cadences, 26, 33 Independent introductions, 105-6, 200-201 Independent phrases, 60-61 Intermezzo, Op. 76 (Brahms), 97,109 Intermezzo, Op. 116 (Brahms), 89 Intermezzo, Op. 118 (Brahms), 42-43, 46,68-70 Intermezzos, 107 n.1 Interpolation, phrase extension and, 37-38 Intervallic expansion and contraction, 42-43 Intervals, pitch melodyand,13-14 motivic variation and, 39-46 range and, 11-12 Introduction and Rondo Capriccioso (Saint-Saens), 135 n.5 Introductions, 103, 104-7 of sonata form, 200-201 Introductory movements, 106-7 Invention No. 1 (Bach), 194-95 Inventions, 194-95 Inversion, melodic, 43, 46 Inversion, retrograde, 46 Inverted arch contour, 8 Invertible counterpoint, 43, 181, 184-85 Invitation to the Dance (Weber), 119 Irregular phrases, 28, 36 Istar (d'Indy), 155

Kartenlegerin, Die, Op. 31 (Schumann), 93 Keats, John, 111 Keys. See Tonality Kinderszenen, Op. 15 (Schumann), 10,89 Kuhlau, Sonatinas, Op. 20, and Op. 55 by, 220

Uindler (dance), 119 Langer, Suzanne K, 3 Lanner, Joseph, 120 Leinsdorf, Erich, 1, 227, 237 Leitmotiv, 233 Length of phrases, 27-29 Linking of fugue subjects, 179 of parts, 98 of phrases, 64-65 Liszt, Franz five-movement works, 234

Mephisto Waltzes, 119 thematic transformation, 233 Lully, Jean Baptiste, 131 n.l

Macrocurves, 17 Macrorhythm, 6, 81-85 Macrotonal plans, 81-85 Mahler, Gustav, symphonies of, 229,234 Marriage of Figaro, The (Mozart), 220 Mass in B Minor (Bach), 160, 161-62 Mazurka, Op. 7 (Chopin), 90-91, 114,124-25,145,261-62 Mazurka, Op. 39 (Tchaikovsky), 259-60 Mazurka, Op. 67 (Chopin), 89 Meaning. See Musical meaning Meistersinger, Die (Wagner), 119 Melodically fixed variations, 151-53 Melodic inversion, 43, 46 Melodic ornamentation, 62 Melody, 7-18. See also Motives harmony and, 15-16 (see also Harmony) pitch contours and, 7-10 pitch intervals and, 13-14 range of pitches and, 11-12 tension and relaxation in, 16-18 two-phrase periods and, 55- 56 Mendelssohn, Felix Midsummer Night's Dream, 114 Piano Concerto in G Minor, 219 Songs Without Words, Op. 67, 263-67 Song Without Words, Op. 19, 106 Symphony No. 4, 56, 70-71, 210 Violin Concerto in E Minor, 105,219 Mephisto Waltzes (Liszt), 119 Messiah, The (Handel), 191 Meter, 5-6 Microrhythm, 81. See also Rhythm Middle entries, fugue, 185-86 Midsummer Night's Dream (Mendelssohn),114 Mikrokosmos (Bartok), 195 Minuet movements, 92 composite five-part form of, 114-15 composite three-part form of, 111-12 da capo arias vs., 117 three-part form of, 86-89 Minute Waltz, 4 Mirror inversion, 43 Modal system, 238. See also Tonality Modulating periods, 56 Modulatory sequences, 209 Modulatory transitions, 108 Moment Musical, Op. 94 (Schubert), 89

Mona Lisa (da Vinci), 4,75,226 Monothematic movements, 202 n.6 Moore, Henry, 102, 103 Motets, chorale, 195 Motives figures vs., 48 inventions and, 194-95 ostinato, 173 n.5 phrases, variation, and, 39-48 Motto themes, 233 Movements. See also Minuet movements; Multimovement form; Scherzo movements classical multimovement form and,227-30 introductory, 106-7 monothematic, 202 n.6 Mozart, Wolfgang Amadeus Clarinet Quintet, 114 La Clemenza di Tito, 118 Eine kleine Nachtmusik, 111-12, 205, 222,247-48,380-90 The Marriage of Figaro, 220 minuets, 112 Quartet, K. 465, 221 Requiem, K 626, 189-90 Rondo, K 494,144 rondos, 134 Sonata, K 279, 37 Sonata, K 280, 221 Sonata, K 281, 133 n.3, 221 Sonata, K 283, 221 Sonata, K 284, 60-61, 81 n.2, 134 n.4,157 Sonata, K 310, 29 Sonata, K. 331, 39, 228 n.2 Sonata, K. 332, 203-4, 216, 221 Sonata, K 333, 10, 222 Sonata, K. 545, 134-35,214,286-87 Sonata, K 547, 65-66 String Quartet, K 387, 182-83 Symphony, K 444, 138 Symphony No. 39, 106 Symphony No. 40, 103-4, 105, 356-77 Symphony No. 41, 40,191-93 Violin Concerto in A Major, K V. 219,218 Muller und der Bach, Der, Op. 25 (Schubert), 115 Multimovement form, 227-36 classical models of, 227-30 concertos, 230-31 cyclical design concept, 231-33 nineteenth-century movement away from, 234 Musical analysis. See Formal analysis Musical form. See Auxiliary members; Composite part

INDEX

forms; Fugues; Multimovement form; Rondos; Simple part forms; Sonata form; Variation forms articulation of structural units, 19- 22 (see also Cadences; Pauses) harmony and tonality, 18 (see also Harmony; Tonality) melody, 7-18 (see also Melody) rhythm, 5-6 (see also Rhythm) tension and relaxation, 19 (see also Tension and relaxation) Musical meaning, 246-55 copying process and, 254-55 musical character and, 250 musical ideas and, 247-50 proportional aspects of, 251-54 Music for Strings, Percussion, and Celesta (Bartok), 178 n.1 My Country (Smetana), 10 Myrthen (Schumann), 16-18,93,105

Nachtstiick, Op. 23 (Schumann), 91 Negative space, 103 Nineteenth-century music, movement by, away from classical models, 234 Nobilissima Visione (Hindemith), 173 Nocturne, Op. 9 (Chopin), 61-62 Nocturne, Op. 15 (Chopin), 89 Nonmodulating periods, 56 Norma, Sinfonia (Bellini), 36-37 Nostalgia of the Infinite, The (de Chirico),225 Nr. 5 Zeitmasse (Stockhausen), 14 Nutcracker, The (Tchaikovsky), 6-7, 18,119

o Cessate di Piagarni (Scarlatti), 37 Octet for Wind Instruments (Stravinsky), 159 Octet for Winds (Haydn), 114, 204, 347-55 One-part form, 77-78 One-phrase periods, 60 n.2. See also Independent phrases Operas, 106-7, 115-18 Oratorios, 106-7, 115 n.3 Organ chorales, 195 Organ Compositions (Bach), 191 Ornamentation, melodic, 62 Ornamenting variations, 156 Ostinato variations form, 160-73 general characteristics of, 160 ground bass form of, 160-63 passacaglia and chaconne forms of,163-73

407

Overlapping motives, 39 parts, 98 phrases, 66-67 Overtures, 107

Palestrina, Giovanni, Repleatur os meum laude by, 13 Papillons, Op. 2 (Schumann), 56 Parallel construction, 55 Parameters, 21 Parametric changes cadences, pauses, and, 21-22 in twentieth-century works, 241-45 Parsifal (Wagner), 119 Part forms. See also Composite part forms; Simple part forms additive process and, 26-27 rondos vs., 144- 45 Pasquini, Bernardo, Passagagli by, 163 Passacaglia, Op. 1 (Webern), 173 Passacaglia form, 163-70 Passacaglia for Unaccompanied Violi (Biber),161-62 Passacaglia in C Minor (Bach), 164-70 Passagagli (Pasquini), 163 Pauses, 19-22. See also Cadences phrases and, 26 Perfect intervals, 13 Periods, 52, 71 additive process and, 26-27 double, 59 n.l one-phrase, 60 n.2 repeated, 59-60 symmetrical and asymmetrical, 57 three-phrase and four-phrase, 57-59 two-phrase, 53-56 Phrase groups, 62-63 Phrases, 25-51 additive process and grouping of, 26-27,52 (see also Periods) connection of, 63-67 disguised endings, 67-70 duple measure groupings, 70-71 extension of, 35-38 general characteristics of, 26 harmonic cadences and, 33 harmonic structure of, 33-35 independent, 60-61 lengths of, 27-29 motivic structure of, 39-48 phrase groups, 62-63 repeated,61-62 rhythmic structure of, 30-33 semiphrases, 29-30 twentieth-century works and concept of, 244-45

Phrasing, 25 n.1 Phrygian cadences, 85 n.5 Piano Concerto, Op. 54 (Schumann), 21-22,241 Piano Concerto in G Minor (Mendelssohn),219 Piano Concerto No.2, Op. 18 (Rachmaninoff), 9 Piano Quintet (Schumann), 114, 232 n.6 Piano Trio, Op. 90 (Dvorak), 234 Pierrot Lunaire, Op. 21 (Schoenberg), 173 Pitch. See also Melody contours, 7-10 intervals, 13-14 motivic variation and, 39-46 range, 11-12 Plagal cadences, 33 Polacca, 115 n.2 Polonaise, 115 n.2 Polonaise, Op. 40 (Chopin), 114 Postludes, 109 Prelude, Fugue, and Allegro (Spring), 182-83 Prelude, Fugue, and Chaconne (Buxtehude),161-62 Prelude, Op. 28 (Chopin), 77-78, 82 n.3, 91, 108, 258 Preludes, 107, 109 Principal themes of rondos, 133, 135-38 Prometheus Overture (Beethoven), 220 Proportion, 225-26, 251-54 Pulse, 3 Punctuation. See Cadences; Pauses Purcell, Henry Dido and Aeneas, 160 An Evening Hymn, 162

Quadruple fugues, 189 Quartet, K. 465 (Mozart), 221 Quartet, Op. 18 (Beethoven), 221, 268-73 Quartet sonatas, 198

Rachmaninoff, Sergei, Piano Concerto No.2, Op. 18 by, 9 Rameau, Jean-Philippe, 131 n.1 Range, pitch, 11-12 Ravel, Maurice Trio in A Minor, 173 La Valse, 119 Real sequences, 42 Real transposition, 40-41 Recapitulation in sonata form, 199, 213-16 Recitatives, 115

408

INDEX

Reclining Figure (Moore), 102 Redundant entries, 181 n.3 Refrains, 93-94, 131, 133 Regular phrases, 28, 35-36 Relaxation. See Tension and relaxation Repeated periods, 59-60 Repeated phrases, 61-62 Repetition of motives, 40 of periods, 59-60 of phrases, 61-62 Repleatur os meum laude (Palestrina), 13 Requiem, K. 626 (Mozart), 189-90 Rests. See Pauses Retrograde inversion, 46 Retrograde motives, 45 Rhapsody, Op. 119 (Brahms), 121-24, 278-85 Rhythm, 5-6 macrorhythm and micro rhythm, 81-85 motivic variation and, 46-48 phrases and, 30-33 in twentieth-century works, 238-40 Rhythmic delineation, 238-40 Riegger, Wallingford, Symphony No. 3 by, 173 Ripieno concertos, 231 Rite of Spring, The (Stravinsky), 12, 248-50 Ritornelli, 116, 117 n.6 Rondeaus, French, 131-32 Rondo, K. 494 (Mozart), 144 Rondos, 131-48 codas of, 141-42 episodes of, 138-39 five-part, 142-43 general characteristics of classical, 132-35 history of, 131-32 part forms vs., 144-45 seven-part, 143-44 simple part forms as internal units of, 92-93 sonata-rondo form, 221-22 transitions in, 140 treatment of principal themes in, 135-38 Rossini, Gioacchino Antonio II Barbiere di Siviglia, 55, 57-58, 63 La Cenerentola, 118 Rounded binary form, 80-81 Rounded two-part form, 80-81 Rounds, 194

Saint-Saens, Camille Danse Macabre, 119 Introduction and Rondo Capriccioso, 135 n.5

Scarlatti, Alessandro, 0 Cessate di Piagarni by, 37 Scarlatti, Domenico, one-movement sonatas by, 198 n.3, 228 n.1 Scherzo movements composite five-part form of, 114-15 composite three-part form of, 111, 112-14 Schoenberg, Arnold Pierrot Lunaire, Op. 21, 173 Suite, Op. 25, 195 Schone Muilerin, Die (Schubert), 94 Schone Wiege, Op. 24 (Schumann), 93 Schubert, Franz Erlkonig, 95-96 Die Foreile, Op. 32, 94 German Dance, 258-59 Impromptu, Op. 142, 114 Moment Musical, Op. 94, 89 Der Muiler und der Bach, Op. 25, 115 rondos, 134 Die Schone Mul/erin, 94 Sonata, Op. 42, 28-29, 133 n.3 Sonata, Op. 53, 138 Sonata, Op. 120,53-54,214 Sonata in B-flat, 27-28, 140-42 sonata-rondo forms, 222 Sonatinas for Violin and Piano, Op. B, 220 Symphony No. 2, 214-15 Symphony No. 4, 57, 215 Symphony No.5, 214 Symphony No.6, 28 Symphony No.8, 221 Triinenregen, 94 Waltz, 80-81, 84 n.4 . Winterreise, Op. 89, 8, 34-35 Schumann, Robert cyclical design and, 232 Fugue,Op. 72, 182-83 Helft mir, ihr Schwestern, 105 Die Kartcnlegerin, Op. 31, 93 Kinderszenen, Op. 15, 10, 89 Myrthen, 16-18,93,105 Nacht.;tuck, Op. 23, 91 Papiilons, Op. 2, 56 Piano Concerto, Op. 54, 21-22, 241 Piano Quintet, 114,232 n.6 Schone Wiege, Op. 24, 93 Symphony No.1, 114, 232 n.6 Symphony No. 2, 114 Symphony No.3, 234 Symphony No.4, 232 n.6 The Wild Rider, Op. 68, 55 Scriabin, Alexander, sonatas by, 234 Second movements, 228-30 Second theme or group of sonata form, 201 Sectional variations, 160. See also

Theme and variations form Semi phrases, 29-30 Septet (Stravinsky), 173 Sequences, motivic, 41-42,184,208 Sessions, Roger, 25, 52 Seurat, Georges, 74, 75, 226 Seven-part form, 91. See also Rondos Seven-part rondos, 143-44 Shostakovich, Dmitri, Symphony No. 5by, 228 n.2 Sibelius, Jan String Quartet, Op. 56, 234 Symphony No.7, 234 Siegfried (Wagner), 13-14 Simple agogic stress, 32 Simple introductions, 104-5 Simple part forms, 76-101 connection of parts, 96-98 four-part and five-part forms, 89-91 as internal units of larger structures, 92-93 (see also Composite part forms) macrorhythm and macrotonal plans, 81-85 one-part form, 77-78 three-part form, 85-89 two-part form, 78-81 in vocal music, 93-96 Sinfonias, 107 Single-movement form. See Sonata form Sleeping Beauty, The (Tchaikovsky), 119 Smetana, Bedrich The Bartered Bride, 44 My Country, 10 Solo concertos, 231 Sonata, Hob. XVI/29 (Haydn), 33-34 Sonata, Hob. XVI! 34 (Haydn), 29-30 Sonata, Hob. XVI! 35 (Haydn), 221 Sonata, Hob. XVI! 37 (Haydn), 59-60 Sonata, K. 279 (Mozart), 37 Sonata, K. 280 (Mozart), 221 Sonata, K. 281 (Mozart), 133 n.3, 221 Sonata, K. 283 (Mozart), 221 Sonata, K. 284 (Mozart), 60-61, 81 n.2, 134 n.4, 157 Sonata, K. 310 (Mozart), 29 Sonata, K. 331 (Mozart), 39, 228 n.2 Sonata, K. 332 (Mozart), 203-4, 216, 221 Sonata, K. 333 (Mozart), 10,222 Sonata, K. 545 (Mozart), 134-35,214, 286-87 Sonata, K. 547 (Mozart), 65-66 Sonata, Op. 1 (Berg), 234 Sonata, Op. 2 (Beethoven), 19-20,

409

INDEX

107-8,114,135-36,206-7, 209,221,391-99 Sonata, Op. 10 (Beethoven), 9, 66-67, 221 Sonata, Op. 13 (Beethoven), 200 Sonata, Op. 14 (Beethoven), 44, 205-6,207 Sonata, Op. 24 (Weber), 144 Sonata, Op. 26 (Beethoven), 58-59, 228 n.2 Sonata, Op. 27 (Beethoven), 114,228 n.2 Sonata, Op. 31 (Beethoven), 41, 47-48,213,221 Sonata, Op. 35 (Chopin), 43 Sonata, Op. 42 (Schubert), 28-29,133 n.3 Sonata, Op. 49 (Weber), 144 Sonata, Op. 53 (Schubert), 138 Sonata, Op. 54 (Beethoven), 134 n.4 Sonata, Op. 57 (Beethoven), 39, 201-2, 232 n.4 Sonata, Op. 79 (Beethoven), 138 Sonata, Op. 81a (Beethoven), 201, 208 Sonata, Op. 120 (Schubert), 53-54, 214 Sonata-allegro form, 197 n.l. See also Sonata form Sonata da camera, 198 Sonata da chiesa, 198 Sonata form, 145, 197-224 codas in, 217 in concertos, 217-19 development in, 208-13 expositions in, 201-7 forms related to, 220-22 historyof,198-200 introductions in, 200-201 multi movement form in, 227-30 recapitulations in, 213-16 sonata-rondo form, 221-22 sonatas and, 197-98 sonatina form, 220-21 as three-part form, 89 Sonata for Violin and Piano (Brahms), 221 Sonata in B-flat (Schubert), 27-28, 140-42 Sonata in D, Hob. XVII 19 (Haydn), 137 Sonata in E minor, Hob. XVII 34 (Haydn), 139 Sonata in F Minor, Op. 5 (Brahms), 234 Sonata in G, Hob. XVI/39 (Haydn), 134 n.4 Sonata in G, Hob. XVII 40 (Haydn), 134 n.4 Sonata in G Major, Op. 78 (Brahms), 62-63,232-33 Sonata-rondo form, 144, 221-22 Sonatas, 197-98. See also Sonata form

Sonatina form, 220- 21 Sonatinas, Op. 20, and Op. 40 (Dussek),220 Sonatinas, Op. 20, and Op. 55 (Kuhlau),220 Sonatinas, Op. 36, Op. 37, and Op. 38 (Clementi), 220 Sonatinas for Violin and Piano, Op. 138 (Schubert), 220 Songs. See Vocal music Songs Without Words, Op. 67 (Mendelssohn),263-67 Song Without Words, Op. 19 (Mendelssohn), 106 Sound events, 244 Space, negative, 103 Spring, Prelude, Fugue, alld Allegro by, 182- 83 Stafford, William,S Starry Night (Van Gogh), 4 Stevens, Wallace, 102 Stockhausen, Karlheinz, Nr. 5 Zeitmasse by, 14 Strauss, Johann, 120 Strauss, Johann, Jr., Blue Danube Waltz by, 120 Strauss, Richard Don Juan, Op. 20, 11-12 Don Quixote, 155 Till Eulellspiegei, 109 Stravinsky, Igor Octet for Wind Instruments, 159 The Rite of Spring, 12,248- 50 Septet, 173 on sonata form, 197 Stretto, 42, 184 n.4 String Quartet, K. 387 (Mozart), 182-83 String Quartet, Op. 18 (Beethoven), 113-14 Stri1lg Quartet, Op. 20 (Haydn), 191 String Quartet, Op. 56 (Sibelius), 234 String Quartet, Op. 59 (Beethoven), 27, 182-83 String Quartet, Op. 74 (Haydn), 35 String Quartet, Op. 76 (Haydn), 153 String Quartet No. 3 (Bartok), 245 String Quartet No.4 (Bartok), 240, 241-44 String Quartet No.4, Op. 32 (Hindemith), 173 Strophic treatment of vocal music, 93-95 Structural chords, 34 Structurally fixed variations, 151, 155 Structural units, 19-22, 244. See also Auxiliary members; Cadences; Part forms; Pauses; Phrases Subjects, fugue, 177, 181-83 fugues with multiple, 189-91

Submotives, 47- 48 Subordinate themes, rondo, 133 n.2 Suite, Op. 25 (Schoenberg), 195 Suite No. 15, Sarabande (Handel), 84-85 Suites, 106- 7 SUI/day 01/ La Grande Jafte, A (Seurat), 74, 75, 226 Symmetrical periods, 57 Symmetrical phrases, 28 Symmetrical rhythmic structure, 84 SY1111JiIonie fantastique (Berlioz), 119, 234 Symphonies minuet and trio movements, 92 muitimovement form of, 227-30 sonatas, 198 Symphony, K. 444 (Mozart), 138 Symphony ill D MilloI' (Franck), 40-41,233 Symphony No.1 (Beethoven), 106 Symphony No.1 (Brahms), 106, 201, 210-13,229,253-54 Symphony No.1 (Schumann), 114, 232 n.6 Symphony No.2 (Brahms), 114,229 Symphony No.2 (Honegger), 173 Symphony No.2 (Mahler), 234 Symphony No.2 (Schubert), 214-15 Symphony No.2 (Schumann), 114 Sylllphony No.3 (Brahms), 229 Symphony No.3 (Riegger), 173 Symphony No.3 (Schumann), 234 SYlllphony No.3 (Tchaikovsky), 234 Symphony No.4 (Brahms), 173, 229 SYl1lphony No.4 (Mendelssohn), 56, 70-71,210 Symphony No.4 (Schubert), 57, 215 Symphony No.4 (Schumann), 232 n.6 Sympho11y No.4, Op. 36 (Tchaikovsky), 12 Symphony No.5 (Mahler), 234 Symphony No.5 (Schubert), 214 Symphony No.5 (Shostakovich), 228 n.2 Sympholly No.5, Op. 64 (Tchaikovsky), 64-65, 233 Symphony No.5, Op. 67 (Beethoven), 42, 247, 250 Symphony No.6 (Schubert), 28 Symphony No.6, Op. 68 (Beethoven),8 Symphony No.7 (Sibelius), 234 SY11lphony No.7, Op. 92 (Beethoven), 32 Symphony No. 8 (Beethoven), 221 Symphony No.8 (Schubert), 221 Symphony No.9 (Beethoven'), 71, 106 Symphony No.9, Op. 95 (Dvorak), 8, 46-47,214 Symphony No. 39 (Mozart), 106

410

INDEX

Symphony No. 40 (Mozart), 103-4, 105,356-77 Symphony No. 41 (Mozart),40, 191-93 Symphony No. 94 (Haydn), 143, 288-309 Symphony No. 97 (Haydn), 137-38 Symphony No. 98 (Haydn), 15 Symphony No. 99 (Haydn), 15, 202 Symphony No. 101 (Haydn), 26, 63-64 Symphony No. 103 (Haydn), 86-88, 107, 108-9 Symphony No. 104 (Haydn), 38, 106

Tannhiiuser (Wagner), 41-42 Tchaikovsky, Peter A1azurka,Op. 39,259-60 The Nutcracker, 6-7, 18, 119 The Sleeping Beauty, 119 symphonies, 228-29

Symphony No.3, 234 Symphony No.4, Op. 36, 12 Symphony No. 5, Op. 64, 64-65, 233 Waltz, Op. 39, 56, 63 Telemann, Georg Philipp, Canonic Sonata No.2 by, 193-94 Tension and relaxation, 19 harmonic,15-16 in melody, 16-18 in pitch contours, 8-9 Ternary form, 77, 85. See also Threepart form Tessitura, 12 Thematic transformation, 233 Thematic transition, 203 Theme and variations form, 150-59 general characteristics of, 150-56 organization of, 158-59 simple part forms as internal units of,92-93 special types of variations, 156-58 Themes, 86 n.6, 117 n.6. See also Motives cyclical design and, 233 of rondos, 132-33, 135-38 in sonata form, 201-7 three-part form and, 85-86 Third movements, 228-30 Third Piano Sonata (Hindemith), 191 Thorough-bass, 116 Three-movement plans, 227-28 Three-part form, 85-89. See also Character pieces; Minuet movements; Sonata form composite, 111-14 incipient, 81 n.2 Three-phrase periods, 57-59 Through-composed form, 77 n.1, 85 vocal music, 95-96 Till Eulenspiegel (Strauss), 109

Toccatas, 198 Toch, Ernst, 74, 76, 87-88, 131, 254 Tomkins, Ground by, 160-62 Tonal answers, 183 Tonality of common practice period, 238 harmony and, 18 (sec also Harmony) macrotonal plans, 81-85 rondo episodes, 138-39 two-period phrases and, 56 Tonal sequences, 42 Tonal transposition, 40-41 Tonicization,34 Triinenregen (Schubert), 94 Transient modulations, 209 Transitional extensions, 107 Transitions, 103, 107-8 of rondos, 134, 140 in sonata form, 203-5 Transposition of motives, 40-41 of phrases, 55-56 Trio in A A1inor (Ravel), 173 Trios composite five-part form and, 114-15 composite three-part form and, 111-14 sonatas, 198 Tripartite form, 77 n.1. See also Three-part form Triple fugues, 189, 190-91 Twentieth-century music formal analysis of, 237-38 ostinato variations, 173 parametric change and phrases, 241-45 rhythmic delineation, 238-40 Two-part form, 78-81 additive process and, 26-27 Two-phrase periods, 53-56 antecedent and consequent phrases, 53 cadential relationships, 53-55 melodic relationships, 55-56 tonal relationships, 56

Unipartite form, 77 n.1. See also One-part form

Valse, La (Ravel), 119 Valse, Op. 64 (Chopin), 67-68 Variation forms, 149-76 os tina to variations form, 160-73 theme and variations form, 150-59 Variation rondos, 136 n.6 Variations. See also Variation forms motivic, 39-48 musical elements and, 150-51

repeated periods with, 59- 60 repeated phrases with, 61-62 sonata form and, 208-13 types of, 156-58

Variations, Chaco/111e, and Finale (Dello Joio), 173

Variations, Op. 27 (Webern), 126 Variations for Orchestra, Op. 30 (Webern),238-39

Variations ill C A1inor (Beethoven), 173

Variations on a A1arch by Dressler (Beethoven),156-57

Variations on a Theme of Handel, Op. 24 (Brahms), 154-55

Variatiolls all a Theme of Haydn, Op. 56b (Brahms), 36, 44-45, 159,173,310-46 Verdi, Guiseppe, Aida by, 11-12 Verrall, John, 177 Viennese waltzes, 120 Violin Concerto ill A A1ajor, K. V. 219 (Mozart),218

Violin Concerto in E A1inor (Mendelssohn), 105, 219 Vocal music composite part forms of, 115-18 simple part forms of, 93-96

Wagner, Richard Leitmotiv, 233

Die A1eislersinger, 119 Parsifal,119 Siegfried,13-14 Tannhiillser, 41-42 Waltz (Schubert), 80-81, 84 n.4 Waltz, Op. 34 (Chopin), 89, 120 Waltz, Op. 39 (Tchaikovsky), 56, 63 Waltz form, 118-20 Wave contour, 8 Weber, Carl Maria von

Invitation to the Dallee by, 119 Sonatas, Op. 24 and 49, 144 Webern, Anton von cadential rhythmic gestures of, 238 Passacaglia, Op. 1, 173 Variations, Op. 27,126 Variations for Orchestra, Op. 30, 238-39 Wedding Day at Troldhaugell, Op. 65 (Grieg),30 Well- Tempered Clavier, Vol. I (Bach), 13,108,178-91,378-79 Wild Rider, The, Op. 68 (Schumann), 55 Winterreise, Op. 89 (Schubert), 8, 34-35 Wozzeck (Berg), 173

Xerxes (Handel), 115, 116-17,274-77

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musical form and analysis Understanding the way music unfolds to the listener is a major key for unlocking the secrets of the composer’s art. Musical Form & Analysis, highly regarded and widely used for two decades, provides a balanced theoretical and philosophical approach that helps upper-level undergraduate music majors understand the structures and constructions of major musical forms. Spring and Hutcheson present all of the standard topics expected in such a text, but their approach offers a unique conceptual thrust that takes readers beyond mere analytical terminology and facts. Evocative rather than encyclopedic, the text is organized around three elements at work at all levels of music: time, pattern, and proportion. Well-chosen examples and direct, well-crafted assignments reinforce techniques. A 140-page anthology of music for in-depth analysis provides a wide range of carefully selected works.

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