Arnold Schoenberg - Fundamentals of Music Composition (Ocr)

FUNDAMENTALS OF

MUSICAL

COMPOSITION

Also by Arnold Schocnberg

*STRUCTURAL FUNCTIONS Of' "AIlMOSY

STYLI! "SO 101l,l.

TllOOII;Y OF ""IUIONY

*edited by Erwin Stein

A"NOLD SCItOIlNllllItG: LIiTTI!RS

ARNOLD SCHOENBERG

FUNDAMENTALS OFMUSICAL

COMPOSITION

EDITED BY

GERALD STRANG

WITH THE COLLABORATION OF

LEONARD STEIN

11folxrandfolxrI.O!'~()ON· IOSTON

First published in 1967by Fabcr and Fabcr Limiled

) Queen Square London WCIN JAUFim published in this edition 1970

Printed in England by Oays Ltd, St IvC$ plcAll rights reserved

© Estate of Gertrude Schoenberg, 1967

Thu book. is sold subfrc//o the cOrldiliorl /hm i/ shall rIO/,

by way of Irad.! or Qtherwise, tw lem, rl'sold, hired ou/ar o/hl'rlVisl' circulaud lVi/haUl IM puhlisher's prior cQl1sem

In any form of binding or cove, a/hl'r thim Ilwl in ,,;hiehi/ is pu.hlisJred and ",ilhou.1 a similar condilion including this

cOrlditiorl beirlg imposed <)'1 the $IIbseqUf'rll purchaser

A CIP record for this book isavailable from the British Library

ISBN 0 571 01)276 4

14 16 18 20 19 17 IS I)

CONTENTS

INTRODUCTION

EDITOR'S PREFACE

EXPLANATORY NOTE

GLOSSARYPART I

CONSTRUCTION OF THEMES

I. THE CONCEPT OF FORM

1I. THE PHRASEComment on Examples 1-11Examples 1-11

Ill. THE MOTIVEWhat Constitutes a MotiveTreatment and Utilization of the MotiveComment on Examples 17-29Examples 12-29

IV. CONNECTING MOTIVE-FORMSBuilding PhrasesExamples 30--34

V. CONSTRUCTION OF SIMPLE THEMES (1)

I. BEGINNING Till! SENTENCe

The Period and the SentenceThe Beginning of the Sentence

lIIustrations from the literatureThe Dominant Form: The Complementary Repetition

Illustrations from the literatureComment on Examples 40-41Examples 35-41

xiii

X\li

34,8

999

11

16

16IS

20

20

20212121222223

CONTENTSCONTENTS

PDC~ 119

.19

""12012212J

12J\24126

VI. CONSTRUCTION OF SIMPLE TIIEMES (2)2. ANTECEDENT Of TItE PEIUOD

Anal)'$is of Periods from Bccthown'S Piano SonatasAnalysis of Other lUustrations from the LiteratureConstruction of the Antecedent

VII. CONSTRUCTION OF SIMPLE THEMES (3)

3. CONSEQUENT OF TItE PEIlIOD

Mclodie Considerations: Cadence ContourRhythmic Con1iderutiorl5Comment on Periods by Romantic ComposersExamples 42-:51

VIII. CONSTRUCTION OF SIMPLE TliEMES (4)4. COMPLnlON Of Tiff SENT£NC£

Comment on Examples S4-S6Illustrations from the literature

Examples S2-61

IX. THE ACCOMPANIMENTOmissibility of the AccompanimentT1Je Motive of the AccompanimentTypes of AocompanimentVoice LeadingTreatment of the Bass LineTreatment of the Motive of the AccompanimentRequirements of InstrumentsExamples 61-67

X. CHARACTER AND MOODExample 68

XI. MELODY AND THEMEVocal Melody

Illustrations from the literatureInstrumental MelodyMelody versus"_Examples 69-100

XII. ADVICE FOR SELF-CRITICISMlIlustratiollll of Self·Criticism

"..."""2621

29

29

29JOJO32

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10110.

10'

"'117

PART 11

SMALL FORMS

XIII. THE SMALL TERNARY FORMT1Je Small Ternary FonnThe Cootrastill& Middle Section

llIustratioos from the literatureComment 00 Examples 105-7The Upbeat ChordThe Recapitulation

Illustrations from the literatureExamples 101-7

XIV. UNEVEN, IRREGULAR AND ASYMMETRICAL CONSTRUCTION

Examples 108-12

XV. TI-IE MINUETn..F~

lIll1$lCations from the literatureThe: TrioExamples 113-19

XVI. THE SCHERZO1be A-SectionThe: Modulatory Contrasting Middle Section1bc: Practice Fonn

Illustrations from the literatureThe: RecapitulationExtensions, Episodes and Cod-euas

Further illustrations from the literaturen.. Co<bThe TrioExamples 120-3

XVII. THEME AND VARIATIONSSUuctural Constitution of the: 1bemeRelation between 11w:me and VariationsThe Motive of VariationProduction or the Motive or Variation

Illustrations rrom the literatureApplication aDd Elaboration or the Motive or Variation

Illustrations from the literatureCounterpoint in Variations

Illustrations rrom the literature

III119

14\

14\

142\4J.44

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'"'"'".61161\68

.69

.69

.69'111.111172\72

viii CONTENTS CONTENTS i,

Sketching the VariationsComment on Examples 126Organi:l:iltion of the SetExamples 124---7

PART III

LARGE FORMS

XVIII. THE PARTS OF LARGER FORMS (SUBSIDIARYFORMULATIONS)

The TransitionThe Transition with an Independent Theme

Illustrations from the literatureTransitions Evolving from the Previous Theme

Illustrations from the literatureThe Retransition

Illustrations from the literatureThe Group of Subordinate Themes

Illustrations from the literatureThe 'Lyric Theme'The Colla

Illustrations from the literature

XIX. THE RONDO FORMSThe Andante Forms (ABA and ABAB)Other Simple RondosVariations and Changes in the Recapitulation (Principal Theme)

Illustrations from the literatureChanges and Adaptations in the Recapitulation (Subordinate Group)

Illustrations from the literatureThe Large Rondo Forms (ABA-C-ABA)

Illustrations from the literatureThe Sonata-Rondo


XX. THE SONATA-ALLEGRO(fIRST MOVEMENT fORM)

The Sonata-AllegroThe ExpositionThe Principal Theme (or Group)

Illustrations from the literatureThe TransitionThe Subordinate Group

illustrations from the literatureThe Elaboration (Durch/Uhrung)


pag~ 173l73

17'

'"

178

17811911918018018118118318318418'186

190190192193193194194

19'196197197

199

200201202202203204204206207

The RetransitionThe Recapitulation

Illustrations from the literatureThe Coda

Illustrations from the literatureConclusion

APPENDIXFundamentals of Musical Composition (Author's Statement)

INDEX

pag~ 2092092102122122ll

214214

216

INTRODUCTION

THIS present book rcprc~nts the last of the three large textbooks on music theoryand practice planned by Arnald Schoenberg lar~ly as the result of his teachings inthe United States. Like the two other books, Structurtll FUllctions of Harmony(Williams & Norgate, 1954) and Preliminary Exercises in Counterpoint (Faber &.Faber, 1963), Ihis one was intended for "the average student of the universities' 35 wellas for the talented student who might become a composer (see Schocnbcrg's statementin the Appendix). As the author states, it was planned as a book of 'technic:l.1matters discussed in a very fundamental way',

Fundamentals 0/ Musical Composition combines two methods of approach: (I) theanalysis ofmasterworks, with special emphasis on the Beelho~n piano sonatas; and(2) practice in the writing of musical forms, both small and large. As a book ofanalysis it amplifies much in the laler chapters of Structural Functions oj Harmony.particularly Chapter XI, 'Progressions for Various Composilional Purposes', As amethod for preliminary I'xercisf'S in composition itenlarges the mat~rialof the syllabus.Mode/sjor &ginners in Composition (G. Schirm~r. Inc.• 1942).

In Fundamenlals of Musical Composition, as in all of his manuals of musicalpractice dating back to his Harmonif'lehre{Unh-ersal Edilion, 1911; abridged Englishtranslation, Theory of Harmony, Philosophical Library, 1948), Schoenberg's main~dagogical approach is not just one of theoretical speculation-although onc willalways find a basic theor~tical foundation underlying his practical advice-but ofexposing fundamentallechnical problems in composition and of showing how theymight be solved in a number of ways. Through such an approach the student isencouraged to develop his own critical judgement based on the evaluation of manypossibilities.

LEONARD STEIN, 1965

EDITOR'S PREFACE

TilE Fundamentals of Musical Composition grew out of Schoenbcrg's work with sludents of analysis and composition at the University of Southern California and theUniversity of California (Los Angeles). Work on it continued intermittently from1937 until 1948. At the lime of his death most nfthe text had undergone fOUT more orless complete revisions. During these years hundreds of special examples were writtento illustrate the text. In the final version a great many of them were replaced byanalyses of illustrations from musical literature, and many others were transferred10 Structural Functions of Harmony.l

Since I had worked with Schoenberg on the book throughout the entire period.Mrs. Schoenberg asked me to assume the task of reconciling the various versions andpreparing it for publication. The text was substantially complete up to and includingthe chapter on 'Rondo Forms'; only revision of the English and elimination ofsome duplications were necessary. The final chapter was incomplete and required reorganization because much of its content had been anticipated in the earlier chapteron 'The Parts of Luger Forms',

From the very beginning the book was conceived in English, rather than in Schoenberg's native German. This created many problems of terminology and languagestructure. He rejected much of the tradilional terminology in both languages, choosing, instead, to borrow or invent new terms. For example, a whole hierarchy of termswas developed lo differenliate the subdivisions of a piece. Part is used non-restrictivelyas a general term. Other terms, in approximate order of size or complexity, include:motil'e, unit, element, phrase, fore-sentence, after-sentence, segment, section anddivision. These terms are used consistently and their meanings are self-evident. Otherspecial terms are explained in the text. I have chosen to keep some of the flavour ofSchoenberg's English construction, when it is expressively effective, even thoughit may be at variance with the idiomatic.

The aim of this book is to provide a basic text for undergraduate work in composition. Thus the first half is devoted to detailed treatment of the technical problemswhich face the beginner.1t is intended to be thoroughly practical, though each recommendation and each process described has been carefully verified by analysis of thepractice of master composers. From this poinl on, the basic concepts, structures and

, Arnold Schexnbcrl, $I,,,el"rol F"nel;ofUo!Ha,molly. New York: WiHiall1$& NOrf!:3Ie, L:mdon, 1954.

EDITOR'S PREFACE

techniques are integrated by applying them to the traditional instrumental forms, inapproximate order of complexity.

Schoenberg was convinced that the student of composition must master thoroughlythe traditional techniques and organizational methods, and possess a wide and intimate knowledge of musical literature if he wishes to solve the more difficult problemsof contemporary music. In this basic text there is little reference to music since 1900,though the student is encouraged to make full use of the resources available up tothat time. Nevertheless, the principles stated here can be readily applied to a varietyof styles and to contemporary musical materials. Certain aesthetic essentials, such asclarity of statement, contrast, repetition, balance, variation. elaboration, proportion.connexion, transition-these and many others are applicable regardless of style oridiom.

While primarily a textbook on composition, it will be evident that this volume canbe used equally well as a text in musical analysis. As such, it emphasizes the composer'sinsight into musical organization; it is not a mere vocabulary of formal types. Thcexamples are deliberately chosen to illustrate a wide variety of departures from thefictitious 'norm'. Only acquaintance with a wide range of possibilities gives the studentenough freedom to meet the unique problems which each individual compositionposes.

To simplify the student's analytical problems and rcduce the number of lengthymusical examples, most of the rcferences to musical literature are confined to theBeethoven piano sonatas. The first volume of the sonatas, at least, must be considereda required supplement. In latcr chapters references are broadened to include worksof other composers which are readily available in miniature scores!

It was a privilege and a deeply rewarding educational experience to have workedwith Schoenberg over these many years on the preparation of this book. I have tried,in preparing this final version, to secure the clear and faithful presentation of the ideaswhich grcw and matured during his experience with American composition students,ideas which were verified by a broad and intensive study of musical literature. All hislife Schoenberg laboured to share with his students his knowledge of music. I hopethat through this. his last theoretical work on composition. another generation ofstudents may share his inspiration.

GERALD STRANG. 1965

EXPLANATORY NOTE

ALL citations of musical literature which do not specify the composer refer to works byBeethoven. If the title is not specified the reference is fO his piano sonatas. Opus number andmovement are specified thus: Op. 2/2-111 means B«thoven, Piano Sonata, Opus 2, No. 2,third movement.

Measure numbers arc specified from the first accented beat of the passage. even though apreceding upbeat is a part of the phrase.

In numbering measures the firstJuJ/ measure is numbered one. Where there are alternativeendings thc second ending starts with the same measure number as the first ending, with anadded subscript, e.g. Op. 2/2-1, in which the first ending contains m. 114-17. The Sfi:ondending accordingly begins with m. 114a. 1150, 1160 and 117a. M.118-21 complete thesecond ending. Thedouble bar lies within m. 121 ; hence, the first full measure after the doublebaris m. 122.

Keys or tonalities arc represented by capital or small letters to indicate major or minor:a means a minor key on A; F# means a major kcy on f,,#. Keys reached by modulation arcoften paired with the Roman numeral indicating the relation of the tonic chord to that of theprincipal key: from C, modulation might lead to G(V), e(iii), A~ (~VI)J(iv), etc.

The Roman numerals representing chords also reflect chord quality; I is major; vi isminor, etc. Substitute, or chromatic, harmonies, are often distinguished from the diatonicequivalent by a bar tbrough the middle: h'i means a major chord on the third degree substituted for the diatonic minor chord. This same chord in a different context might be referred to as V of vi, i.e. the dominant normally resolving to vi, as in the key of tbe relativeminor.

The distinction between a transient modulation and chromatic harmony is alwaystenuous. In general, only finnly established modulations lead to analysis in terms of adifferent key. However, when a chromatic passage remains temporarily among chordsassociated with another key, the term region is used. Thus a reference to the tonic minorregion, or subdominant minor region, indicates temporary use of chords derived from thecorresponding key, but without fully establishing the new key by a cadencc.1

The following abbreviations are used throughout the book:

Var(s). = variation(s)Ex(s). = ellample(s)

• For further explanation of rqloll and modM/Qlum, _ S<:hocllbel'&. $lruclllTo/ FIl/I,rUms of HQrmtHly.Qlapter Ill.

GLOSSARY

OrigiNJI wage

whole notehalf notequancr note:ei&hth Dote

'on<tonalitydegree (u V or vii)measure (m.)voic&-leading (or part-leading)authentic cadencedeceptive cadence (or progression)

Equimknl U1glish usage

semibreveminimcrotchetq~~

no"koychord built on a degree or the scalebupart.writingperfect cadeoocinterrupted cadence

PART I


I

THE CONCEPT OF FORM

TH Eterm/orm is used in sc~ral different senses. When used in c:ooncxion with binary,Il',nary or ,andoform. it refers chiefly 10 the number of parts, I The phrase sonola/armsuggests, instead, the size of the parts and the complexity of their interrelationships.In speaking of minuet, scher:o and olher doJrce forms. one has in mind the metre,tempo and rhythmic characteristics which identify the dance.

Used in the aesthetic sense, form means that a pica: is organizt!d: i.e. that it consistsof elements functioning like those of a living organism.

Without organi7.3lion music would be an amorphous mass, as unintelligible as anessay without punctuation, or as disconnected as a conversation which leaps purposelessly from onc subject to another.

The chief requirements for the creation of a comprehensible form are logic and(·ohcrellu. The presentation, development and interconnexion of ideas must be basedon relationship. Idcas must be dilfcrentialed according 10 Iheir importance andfunction.

Moreover, one can com~rchend only what onc can kttp in mind. Man's mentallimitations prevent him from grasping anything which is too extended. Thus appropriate subdivision facilitates understanding and determines the form.

The size and number of parts does not always depend on the size of a piece.Gcnerally, the larger the piece, the greater the number of parts. But sometimes a shortpiece may have the same number of parts as a longer one, just as a midget has the!>:tmc number of limbs, the same form, as a giant.

A composer does not. of course, add bit by bit, as a child does in building withwooden blocks. He conceives an entire composition as a spontaneous vision. Then he

, 'Parl' i. ll.'lCd in lhe m(>$t general ",nse 10 indicale undifferentiated elcmcnlJ, !ICClions or .ubdivi.ion,"f a pieo:. Other temtS will be used laler 10 dislingui.h parts of variOl8 sizes and with different runctio~.

2 CONSTRUCTION OF THEMES

proceeds, like Michclangclo who chiselled his Moses out of the marble withoutskelchc.-s, complttc in every detail, thus directly jorming his material.

No beginner is capable of envisaging a composition in ilS entirety; hence he mustproceed gradually, from the simpler to the more complex. Simplified practice forms,which do not always correspond 10 art forms, help a student 10 acquire Ihe sense ofform and a knowledge of the essentials of construction. It will be useful 10 SlaTt bybuilding musical blocks and connecting them intelligently.

These musical blocks (phrases, mOlhes, elc.) will provide the material for buildinglarger units of various kinds, according to the requirements of the structure. Thus thedemands of logic, coherence and comprehensibility can be fulfilled, in relation to theneed for contrast, variety and fluency of presentation.

1I

THE PHRASE

THE smallest structural unit is the phrase, a kind of musical molecule consisting of anumber of integrated musical events, possessing a certain completeness, and welladapted to combination with other similar units.

The term phrase means, structurally, a unit approximating to what one could singin a single breath (Ex. 1).1 Its ending suggests a form of punctuation such as a comma.Oflen some features appear more than once within the phrase. Such 'motivic'characteristics will be discussed in the following chapler.

In homophonic-harmonic music. the essential content is concentrated in one voice,the principal voice. which implies an inherent harmony. The mutual accommodationof melody and harmony is diffICUlt at first. But the composer should never invent amelody without being conscious of its harmony.

When the melodic idea consists entirely or largely of notes outlining a single harmony. or a simple succession of harmonies. then: is little difficuhy in determining andexpressing the harmonic implications. With such a dear harmonic skeleton. evenrather elaborate melodic ideas can be readily related to their inherent harmony.Exs. 2 and 3 illustrate such cases at several levels. Almost any simple harmonic progression can be used, but for opening phrases I and V arc especially useful, since Iheyexpress the key most dearly.

The addition of non-chordal notes contributes to the fluency and interest of thephrase, provided they do not obscure or contradict the harmony. The various 'conventional formulas' for using non-chordal notes (passing nOles, auxiliary notes.changing notes. suspensions, appoggiaturas, etc.) provide for harmonic claritythrough the resolution of non-chordal into chordal notes.

Rhythm is particularly important in moulding the phrase. It contributes to interestand variety; it establishes character; and it is often the determining factor in establishing the unity of the phrase. The end of the phrase is usually differentiated rhythmicallyto (H"ovide punctuation.

Phrase endings may be marked by a combination of distinguishing features. suchas rhythmic reduction, melodic relaxation through a drop in pitch. the use of smallerinterval' and fewer notes; or by any other suitable differentiation.

The length of a phrase may vary within wide limits (Ex. 4). Metre and tempo have11 great deal to do with phrase-length. In compound metres a length of two measures

I Exs.I-11 at end Qr<;haptcr, pp. S-7•

•

• CONSTRUCTION OF THEMESTHE PHRASE ,

may be considered the average; in simple metres a length orrouc measures is normal.But in very slow tempos the phrase may be reduced 10 half a measure; and in veryrapid tempos eight measures or more may constitute a single phrase.

The phrase is seldom an exact multiple of the measure length; it usually varies bya beat or more. And nearly always the phrase crosses the melrical subdivisions, ratherthan filling the measures completely.

There is no intrinsic reason for a phrase 10 be restricted to an even number. But theconsequences of irregularity are 50 far reaching that discussion of such cases will bereserved for Chapter XIV.

COMMENT ON EXAMPLES1

(0 the early stages a composer's invention seldom Rows freely. The control ofmelodic, rhythmic and harmonic factors impedes the spontaneous cooc:eplion ormusical ideas. It is possible to stimulate the inventive raculties and acquire technicalracility by making a great many sketches or phrases based on a predetermined harmony. At first, such attempts may be stiff and awkward, but, with patience, theco-ordination or the various elements will rapidly become smoother, until realfluency and even upressi~ness is attained.

En. 5-11 may be taken as an outline ror practise. Here a single harmony, the tonicor Frnajor, is taken as a basis. Ell:. 5shows a rew or the contours which can be createdby various arrangements or the notes or the chord. In Ex. 6 smaller note-values produce different U5UItS. Ell. 7, still confined to notes or the chord, illustrates the varietythat can be achieved by combining different note-values (study also us. 2tI,~, h).

Exs. 8 and 9, based on En. 5 and 7, show how the simplest melodic and rhythmicadditions can contribute fluency and vitality (study also Exs. 2 and 3).

The more elaborate embellishments or Exs. 10 and 1I contribute flexibility andrichness or detail, but tend to overburden the melody with small notes and obscurethe harmony.

• The U:llnplcs will come:1I the ends or chapters rollowinl the 'Convncnt on Eumplcs'.

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1

• CONSTRUCTION OF T1iEMES THE PHRASE 7

EI.9Varying Ell'.7 by adding pasling notes and nole repetitions

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EI.5Ndodic anit. deri"ed from broken chords

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£ll'.6Smaller note v.tun

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Er."Varying ES,7 by usitIK .pp~.taras &.Dd changillg notes

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THE MOTIVE 9

III

THE MOTIVE

EVEN the writing of simple phrases involves the invention and use of motives,thoughperhaps unconsciously. Consciously used, the motive should produOl: unity, relationship, coherence, logic, comprehensibility and fluency.

The motive generally appears in a characteristic and impressive manner at thebeginning ofa piece. The features of a motive are intervals and rhythms, combined toproduce a memorable shape or contour which usually implies an inherent harmony.Inasmuch as almost every figure within a piece reveals some relationship to it, thebasic motive is often considered the 'germ' of the idea. Since it includes elements, atleast of every subsequent musical figure, onc could con5ider it the 'smallest commonmultiple'. And since: it is included in e~ry subsequent figure, it could be consideredthe 'greatest common factor'.

However, everything depends on its use. Wheth~r a motive be simple or complex,wh~th~r it consists of few or many features, th~ final impression of the pieee is notd~termined by its primary fonn. Ev~rything depends on its treatm~nt and developm~nt.

A motive appears constantly throughout a piece: it is r~pt'Dted. R~pctition aloneoft~n gives rise tomonotollY. Monotony can only be ov~rcom~ by mriotjon.

Use of the molil'e requires l'Or;o';on

Variation means change. But changing every feature produces something foreign,incoherent, illogical. It destroys the basic shape of the motive.

Accordingly, variation requires changing some of the I~ss-important features andpreserving some of the mor~-important ones. Preservation of rhythmic f~atur~s

effectively produces coherence (though monotony cannot be avoided without slightchanges). For the rest, det~rmining which features are more important depends on thecompositional obje<:tive. Through substantial changes, a variety of mOfil'e-!orms,adapted to every formal function, can be produced.

Homophonic music can be called the style of'developingvariation'. This means thatin the succession of motive-forms produced through variation of the basic motive,there is somcthing which can be compared to development, to growth. But changesof subordinate meaning, which have no special consequences, have only the IOC<'l1effect of an embellishment. Such changes are better termed mrjonls.

WHAT CONSTITUTES A MOTIVE

Any rhythmicized succession of notes can be used as a basic motive, but there shouldnot be too many different features.

Rhythmic features may be very simple, even for the main theme of a sonata (Ex.120). A symphony can be built on scarcely more complex rhythmic features (Exs. 12b,c, 13). The examples from Beethoven's Fifth symphony consist primarily of note~

repetitions. which sometimes contribute distinctive characteristics.A motive need not contain a great many interval features. The main theme of

Brahms's Fourth symphony (Ex. 13), though also containing sixths and octaves, is,as the analysis shows, constructed on a suttesSion of thirds.

Often a contour or shape is significant, although the rhythmic treatment and inler~

vals change. The upward leap in Ex. 120; the movement up by step in Ex. 16; theupward sweep followed by a return wilhin it which pervades Beethoven's Op. 2/J-IV,'illustrate such cases.

Every element or feature of a mOlive or phrase must be considered to be a motiveif it is treated as such, i.e. if it is r~pcated with or without variation.

TREATMENT Aro;o UTILIZATION Of TIlE MOTIVE

A motive is used by repetition. The repetition may be exact, modified or developed.Exact repet;t;onsprcserve all features and relationships. Transpositions to a different

degree, inversions, retrogr3des, diminutions and augm~ntationsare exact repetitionsif th~y preserve strictly the features and note relations (Ex. 14).

ModiJi~d r~pelilionsare created through variation. They provide variety and produceoew material (motive-forms) for subsequent use.

Some variations, however, are merely local 'variants' and have lillle or no influ~nce

on the continuation.Variation, it must be remembered, is repetition in which some fealures are chan~d

and the rest preserved.All the features of rhythm, interval, harmony and contour arc subject to various

alterations. Frequently, several methods of variation are applied to several featuressimultaneously; but such changes must not produce a motive-form loo foreign to thebasic motive. In the course ofa piece, a motive-form may bedeveloped furtherthroughsubsequent variation. Exs. 15 and 16 arc illustrations.

COMMENT ON EXAMPLES

In Exs. 17-29, based solely on a brokcn chord, some of the methods which can beapplied arc shown as systematically as is practicable.

1 Refen:n.ces to the literature idenlirocd only by opu~ number apply 10 Ilcctho""n piano ~onatas. lkcauscof Iheir general accessibility. n ereal m"oy refereo<:o 10 Ihern appear in the latcr chapters.

•, ...;;a, _


The rhythm is changed:

I. By modifying the length of the notes (Ex. 17).2. By note repetitions (£Xs. 1711, i, k, I, n).3. By repetition of certain rhythms (Exs. 17/, m. 1&).4. By shining rhythms to different beats (Ex. 23; in particular. compare 23J with

2k,f. g).5. By addition of upbeats (Ex. 22).6. By changing the metre-a device seldom usable within a piece (Ex. 24).

The i1/(errols are changed:

1. By changing the original order or direction of the notes (Ex. 19).2. By addition or omission of intervals (Ex. 21).3. By filling up intervals with ancillaryl notes (Exs. 18,20 fT.).4. By reduction through omission or condensation (Ex. 21).5. By repetition of features (Exs. 20h, 22a, b. d).6. By shifting features to other beals (Ex. 23).

El.13

=:~··~:·t=:r I :e:r::J1The harmony is changed:

1. By the use of inversions (Exs. 25a, b).2. By additions at the end (Exs. 25 c-i).3. By insertions in the middle (Ell.. 26).4. By substituting a different chord (Exs. 27a, b. c) or succession (Exs. 27d-i).

The me/od}' is adapted to these changes:

I. By transposition (Ex. 28).2. By addition of passing harmonies (Ex. 29).3. By 'semi-contrapuntal' treatment of the accompaniment (Ex. 29).

Such exploration of the resources of variation can be of great assistance in theacquisition of technical skill and the development of a rich inventive faculty.

• In onkr 10 avoid _hdically miskadina and f;()flUpted tetms, _illar, will be preknat in rd"errina10 the S(toCllled ·embdlish;...• 0<" 'ornamental' notes of c:onvcnlion:ol melodic formulas.

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Et.21Rdllction, omission, condtnution

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THE MOTIVE "

EK.22Addition of upbeats, repetition of rn.turu~I" _blC>~"rQj_ _

~rr_~r~r r j:J

~r~'.~tr err~

~~r E!fJ:ill±ir IDJ~E:..18Addition of ancill&r}' Dotu

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CONSTRUCTION OF THEMES THE MOTIVE

Ex.29.)

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CONNECTING MOTIVE-FORMS 17

IV

CONNECTING MOTIVE-FORMS

ARTISTICALLY. the connexion of motive-fonns depends on factors which can onlybe discussed at a later stage. However, the mechanics of combination can be describedand demonstrated, while temporarily disregarding the stiffness of some of theresulting phrases.

Common content, rhythmic similarities and coherent harmony contribute to logic.Common content is provided by using motive-forms derived from lhe same basicmotive. Rhythmic similarities act 3S unifying elements. Coherent harmony' reinforcesrelationship.

In a general way every piece of musK: resembles a cadence, of which each phrase willbe a more or less elaborate part. In simple cases a mere interchange of I-V-I. if notcontradicted by controversial harmonies,can express a tonality. As used in traditionalmusic. such an interchange is generally concluded with a more elaborate cadence_-

Ordinarily the harmony moves more slowly than the melody; in other words, anumber of melodic notes usually refers to a single harmony (En. 43,44, 45, 58, ete.).SThe contrary occasionally occurs when the harmony moves quasi-oontrapuntallyagainst a melody in long notes ('Eu. 51c, m. 17. 58g). Naturnlly, the accompanyingharmony should reveal a certain regularity. As motive of the harmony and molil't!! ofthe Qccomp(lIIiment. through motive-like repetitions. this regularity contributes tounity and comprehensibility (Chapter IX).

A well-balanced mclody progresses in waves. i.e, each elevation is countered bya depression. It approaches a high point or climax through a series of intermediatelesser high points, interrupted by recessions. Upward movements are balanced bydownward movements; large intervals 3rc compcnS3ted for by conjunct movement inthe opposite direction. A good melody generally remains within a reasonable compass, nol straying too far from a central range.

BUILDING PIIRASES

Exs. 30--34 show various methods of producing a large number of different phrasesout of one basic motive. Some of them might be used to begin a theme, olhers 10

I The: cOoc<:pt of coherenl humon)' ~d here i. deduced from lhe: practice of the period From 8;J.ch 10Wasncr•

• For evalualion and e~planalionof the 'rool progn:lolions', lIOC Amold Schoeobc:rs, 17,rory 01 ffam_y,pp. 70 If.. and StruCluru{l'utrefl'olU 01 HamtOny, Chapltr 11.

I Eu. 4Z-S I al eno of Chapltr VII; E.u. SZ~1 at cnd of Chapler VIII.

continue it; and some, especially those which do not begi.n wit~ I, as matcria~ tomeet other structural requirements, e.g. contrasts, subordinate Ideas and the Itke.Motivic features are indicated by brackcls and IcUers. A detailed analysis will revealIllany additional relationships to lhe basic motive.

In Ex. 3\ the original form is varied by adding ancillary notes. though ~II notcs ofthc basic motive arc retained. In Ex. 32 the rhythm is preserved, prodUCing closelyrelated motive-forms in spite of changes in interval and direction. Combined withtranspositions to othcr degrees, this procedure is often used in traditional music toproduce entire themes (sce. for cxample, Ex. 52). In such cases each note of the melodyIS either a harmony note or a non-chordal note that corresponds to onc of the cstablished conventional formulas.

In Ex. 33 more far-reaching variations are produced by combining rhythmic.cha~ges

with the addition of ancillary notes., as well as with changes of interval and dl~,on.

Even though some of the examples arc rathcr stiff and overa:o~dcd, the praclu% ofmaking such sketches. which attempt various methods of vanatton. should never be

abandoned,Other far-reaching variations are shown in Ex. 34. Through such rhythmic shifting

and rearrangement of features, material is produced for the continuation of extendedthcmes. and for contrasts, But the use of such remotely related motive-forms may

endanger comprehensibility.In working out derivatives of a motive, it is important that the results have the

character of true phrnses-<tf complete musicalllnits.

CONSTRUCTION OF THEMES CONNECTING MOTIVE-FORMS

"

------ ri<

CONSTRUCTION OF SIMPLE THEMES (I) 2\

vCONSTRUCTION OF SIMPLE THEMES

I. BEGINNING THE SENTENCE

I N the first chapter. 'The Concept of Form" il was slated that a piece of music consists of a number of pans. They differ more or less in content, character and mood:in tonality, size and structure. These differences permit present31ion of an idea fromvarious viewpoints, producing those contrasts on which variety is based.

Variety must never endanger comprehensibility or logic. Comprehensibility requireslimitation of variety, especially if notes, harmonies, motive-forms or contrasts followeach other in rapid succession. Rapidity obstructs onc's grasp of an idea. Thus piecesin rapid tempo cllhibit a lesser degree of variety. . .

There are means by which the tendency toward loo rapid development, whIch ISortCIl the consequence of disproportionate variety, can be controlled. Delimitation,subdivision and simple repetition arc the most useful.

Intelligibility in music seems to be impossible without repetition. While repetitionwithout variation can easily produce monotony, juxtaposition of distantly relatedelements can easily degenerate into nonsense, especially if unifying elements areomitted. Only so much variation as character, length and tempo required should beadmitted: the roherence of motive-forms should be emphasized.

DiKretion is especially necessary when the goal is an immediate intelligibility. as inpopul:u music. However, such discretion is not restricted to popular music alone. Onthe contrary. it is most characteristic of the manner in which the classical mastersconstructed their forms. They sought a 'popular touch' in their themes, this being theslogan under which the 'ars nova' of the eighteenth etntury detached itself from theshackles of the rontrnpuntal style. (Thus. Romain Rolland, in his Musical Journq.quotes the German theorist, Mattheson, in his Vollkommt'nt."r Kapre,lmi'isler (173.9)as saying that in the 'new style' romposers hide the fact that they wnte great musIc.'A theme should have a certain something which the whole world already knows:)

THE PERIOD AND THE SENTENCE

A complete musical idea or theme is customarily articulated as a period or a sentence. These structures usually appear in classical music as parts of larger forms (e.g.as 11 in the IIMI form), but occasionally are independent (e.g. in strophic songs).There arc many different types which are similar in two respects: they centre arounda tonic, and they have a definite ending.

1n the simplest cases these structures ronsist ofan even number of measures, usuallyeight or a multiple of eight (i.e. 16 Of, in very rapid tempos, even 32, where two orfour measures are. in effect, equal to the content of one).

The distinction between the sentence and the period lies in the treatment of thesecond phrase, and in the continuation after it.

TIlE BEGINNING OF THE SENTENCE

The construction of the beginning determines the construction ofthc continuation.In its opening segment a theme must clearly present (in addition to tonality, tempo~nd metre) its basic motive. Thc continu:nion must meet the requirements of corn·prehensibility. An immediate repetition is the simplest solution, and is characteristicof the sentence structure.

If the beginning is a two·me-15ure phrnse, the continuation (m. 3 and 4) may beeither an unvaried or a transposed repetition. Slight changes in the melody or harmonym:!y be made without obseuring the repetition.

lfIuslratiol/s frolll ,hc liter{/fure)

In E1l.s. 58d, 59/and 6Oc, simple repetition arrears with little or no change whatsoever. In Exs. 58e and g, although the harmony remains the same, lhe accompaniment is slightly varied and the melody transposed. In Ex. 58i the lower octa\'C is used.In Exs. 59d and g the melody only is slightly varied. In E1l.. 61c the second measurcof the SttOnd phrase ascends in conformity with the progress of the harmony towardsIll. Ex. 530 presents an otherwise unvaried transposition to III (the relative major).I.e. a sequence. Ex. 570 is sequential in the melody and partially sequential in the;Icoompaniment.

TilE DOMINANT FORM: TIlE COMPLEMENTIIR\' REP(TlTlON1

In many classical examples onc finds a relationship between first and second phrasesimilar to that of dux (tonic form) and comes (dominant form) in the fugue. This kindof repetition, through its slightly contrasting fonnulation, provides variety in unity.

In the repetition, the rhythm and contouf of the melody are preserved. An elementof contrast enters through the changed hannony and the necessary adaptation of themelody.

In practising this type ofrontinuation the tonic form may be based on: I, I-V,I-V-I, I-IV or possibly 1-11. In these simple cases the dominant form will conlrastwith the tonic form in the following manner:

, Exs. 52-61 at (nd of Chapl(r VIII, pp. 63-81.• This is one or many ( ....mplcs of)l\( difflCUllies 3sso;;:ial(d with 1()OSoC I(rminology. Tu//ic ;·u,';tnr ~nd

d//m'''''''f ~rsion would be dcarc:r and morc: pro:"i"", but Schoen!xr8 prer(rrOO to u-e Ih( morc: ramili'lrlerms (Ed.).

• • ••••'••••~ .,••~~~cr'

CONSTRUCTION OF SIMPLE TlIEMES (I)

£1".37

~PV; if,P

iT' V I

El". 88

le!I v v I

10t::1::::;M:j. - . .

Dominonl form

VV-IV-I-VV-IV-I


Tonic form

II-VI-V-II-IV1-11

JIIU$lrotiolls from the Iil('rtltl"~

In Ells. 350. band 53b. the first phrase employs only 1 and the second phraseonly V.

The scheme I-V (tonic form), V-I (dominant form) can be observed in Exs. 52band c. Compare also, among Beethoven's works, the Piano Sonata, Op. 31/2-11I (four.measure phrases); and the String Quartets. Op. 59/2-111 and Op. IJI-IV. The melodyis modified only enough 10 conform with the harmony.

The tonic form ofEK. 36 is based on I-V-I; the dominant form on V-i-V. In Ex. 37the dominant form includes some passing harmonies. In contrast, the passing harmonies in the tonic form of EK. 38 are not mechanically preserved in the dominantform. But in EK. 39, where tbe tonic form consists of I-IV, the dominant form consistsh:lsically of V-I, though more elaborate part-writing disguises il.

COMMENT ON EXAMPLES

The tonic form (m. 1-2) of Ell.. 40a is followed (m. 3-4) by a dominant form inwhich the melody follows the contour of the first phrase uactJy. In EllS. 40b and cother dominant forms are shown in which, while the rhythm is preseryed, the contouris treated more freely.

In Ell. 41 the dominant forms are varied more than the harmonic change requires.In Ells. 41b and c the tonic form is based on four harmonies, which makes a trueanswer difficult. To answer literally a tonic form wilh too many harmonies is impracticable. Here, only the main harmonies, I-V, could be answered, wilh V-I.

It should be observed that even in these short passages, a definite and regularaccompaniment is employed to animate the harmony and to express a specific character. Consistency in the application of accompanimental characteristics is a powerfulunifying factor.

22

In the last two cases, simple rc\'crsal of the harmonies is not impossible; but theV-I progression is preferable: bttause it expresses the tonality more clearly. Thecndingon J preceded by V is so u~fullhat it is oftcn applied when, for example. Ionic form is1-11, I-VI orcvcn I-Ill.


CONSTRUCTION OF SIMPLE THEMES

2. ANTECEDENT OF THE PERIOD

ONL ya small percentage of all classical themcs can be classified as periods. Romanticcomposers make still less use of them. However, the practise of writing periods is aconvenient way to become acquainted with many technical problems.

The construction ofthc beginning determines the construction of the continuation.The period differs from the sentence in postponement of the repetition. The firstphrase is not repeated immediately, but united with more remote (contrasting)motive-forms, to constitute the first half of the period, the amecedenl. After this conlrast repetition cannot be longer postponed without endangering comprehensibility.!Thus the second half, the cOl/sequefl/, is constructed as a kind of repetition of thcantccedent.

In composing periods a practice form will be useful. It should consist of eight mea'ures, divided into an antecedent and consequent of four measures each by a caesurain the fourth measure. This caesura, a type of musical punctuation comparable to acomma or semicolon, is carried out in both melody and harmony.

In a great majority of cases the antecedent ends on V, usuaJly approached through~I half or full cadence, but sometimes through mere interchange of I and V. Antecedents which end on I also exist.

The consequent usually ends on J, V or III (major or minor) wilh a full cadence.Although the consequcnt should be in part a repetition of the antecedent, the cadence,al least, will have 10 be different, even if it leads 10 the same degree. Generally, one ortwo measures of the beginning will be retained, sometimes with more or less variation.

VI

1 The real purpose of musical construction is not beauty, but intelligibility. Former tlleorisls and aesl!leti.uans called such forms.n tile period symrmlrical. The term symmelI')' has probably been applied 10 musichy analogy 10 the forms of Ihe graphic arts and architccture. Rut lhe only really symrru.:lrical forms in musk:me the milTor forms. dcrived from rontrapuntal music. Real symmctry is not a principk or musical construclIon. Evcn if thc consequent in a period repeats the antecedent strictly, the struclurecan only be called 'Quasi_~)mlnetrical'. Though Quasi·symmetrical construction is used c~lensivcly in popular music, Ihal beauty canniSI wilhoul symmelry is proved by a areal many <,;.]i'lC$ of asymmelrical construclion.

ANALYSIS OF PERIODS FROM BEETHOVEN"S PtANO SONATAS

Op, 2/1-11, Adagio. The antecedent ends on V (rn. 4); the consequent on I (rn. 8).The harmony of the antecedent is a mere interchange of J and V; the consequent ends

vv

Ex.41(From E~ 10)

.~)~~~~~~~~

I An ending on a strong beat is called 'masculine', and on a weak beat. 'feminine'. Too frequent use ofthe same kind of ending is often monotonous.

• Exs. 42-S1 appear at end of Chapter VII, pp. 32-57.

ANALYSIS Of OTHER ILLUSTRATIONS fROM THE LITERATURE

In Ex. 43 Bach's contrapuntal movement often conceals the caesura. But the periodlike repetition of motive-forms is evident. While one of the examples (Ex. 43b) endson III (the relative major), three others are treated similarly 10 the Dorian mode;i.e. Exs. 43c and e reach the dominant through a quasi-Phrygian cadence, and Ex. 43dmust be classified as having a plagal cadence, though the upper voices, astonishingly,express the authcntic cadence. Such a procedure is only justified by the motion of

independent parts.In the Haydn examples, Ex. 44, the caesura (always on V) is somctimes approached

lhrough mere interchange,sometimes through half cadences, and occasionally throughfull cadences. Exs. 44a, e and I are irregular, i.c. they consist of 10, 9 and 9 measures,respectively. The structural meaning of the extensions is indicated. In all the examplesm. 3--4 differ significantly from m. 1~2. Even in Ex. 44!, using continuous sixteenthnOles, the figuration and the harmony of m. 3--4 arc elearly differentiated. Observeespecially the relations and variations marked with brackets.

In some of the Mozart examples, Ex. 45, the repetition at the beginning of tile

with a full cadence. The upbeat, which is twice varied, and the feminine cnding' In

m. 2, 4 and 8 are unifying characteristics of this melody. It is significant that the melodicapproach 10 a climax in m. 6 is supported by more frequent changes of the harmonyand the increasing use of small notes. The downward movement after the climax is

also significant.Op. 2/2-IV. The caesura on V is reinforced by a half cadence in m. 4. Observe the

contrast between the first and second phrases. The consequent deviates harmonicallyin m. 6, ending with a full cadence on V (m. 8), as ifin the key of the dominant. M. 7and 8, through remote variation and richer movement, produce the necessary intensi

fication of the cadence.Op. 10/3, Mcnuclto. The antecedent and consequent consist of eight measures

each. In the firSl four measures of the consequent, the melody and harmony of theantecedent are transposed a note higher, without any olher variation.

Op. 10/3, Rondo. This period consists of nine measures, the irregularity resultingfrom the five measure consequent. The contrast in ffi. 3--4 makes use of a specialdevice, a chain-like construction. Ex. 42at shows that the end of each motive-form isthe beginning of the next; they overlap like the links of a chain. The consequentintroduces (m. 5--6) two ~equences of the motive, in place of the single repetition inlTI. 1-2 (Ex. 42b). A premature ending in the seventh measure is evaded througha deceptive cadence, and completed with a varied repetition ending in m. 9.

CONSTRUCTION Of TilE ANTECEDENT

In the opening section of lhe sentence, m. 3--4 are constructed us a modifiedrepetition of the first phrase. The antecedent of the period introduces a new problem.Since the consequent is a kind of repetition, the antecedent should be completed withmore remote mOlive-forms in m. 3--4.

As a consequence of the 'tendency of the smallest notes',t one mayexpcct an increaseIn smallllotes in the continuation of the antecedent. This can be observed in tbe third(~ometime~also in the fourth) measures of Exs. Ma. b, c, d, g, k. 45a, b, c, d,i and 46<'.

But the Illcrease of small notes is only onc way of constructing m. 3--4 as a contrastII1g, yet coherent,eontinuation ofm. 1~2. In Exs. 44!, 11, i,i, I, 45f, 460, dJand 47b, c,rI. c. the coherence is more evident than the contrast, which consists merely ofa changeof register, direction or contour.~ coherent contrast can also be produced through a decrease of smaller notes, in

which case the motive-form appears to be a reduction (Exs. 43a, 45i, 46g).Such a decrease is often used to mark melodically the ending of the antecedent, the

caesura. Exs. 44a, d, g, h, i, 45b, 46e,f,g and 47a, d show this usage. Generally,thc caesura is supported by a contrast in the contour, which often descends below~he register of the beginning (Exs. 44c, d,!, k, 45g,i, 46e. 47a). Frequently the caesuraIS approached by receding from an earlier climactic point, as in Exs. 44a, i, i, k, 45n,h, (',fand 46<"1, b, e.

I 1llc smallest notes in any ~gmenl of a pi~. e,'en in " motive or motive-form h"ve an influenee onthe continuation which c"n be compared 10 thc momentum of acceleration in a f"lh~g b<xIy: thelonger themo,emenl lasts. the f;lS~er it becomes. Thus. if in the beginning only One sixtocnth'l1ote is "lied, very soon.In mcreasong number WIll appear, growing often into whole passage$ of sixteenths. To restrict this tendency"r the smaltest notes reqoires ~pccial care.

CONSTRUCTION OF SIMPLE THEMES (2) 27

consequent is slightly varied. In Exs. 45e and!, the inversion of I is used; in Ex.45aIh.c whole consequent is shifted to the lower octave; in Ex. 45c the simple doubling,)1 the bass produces an effective variation.

The Beethoven examples, Ex. 46, are chosen principally from the viewpoint ofcharacter. In .Exs. 46b, d and!, the consequent is built on the dominant. How manyl:lflatlOns a slllgle rhythm can undergo is evident in Ex. 46d. Note that in both ffi. 6;lI1d m. 7. two harmonies arc used (intensification of the cadence through concentralIOn). In Ex. 46e both the antecedent (five measures) and the consequent (seven mea~

\ures) show remarkable irregularities.Among the Schubert examples, Ex. 47, two (Exs. 47b. c) show how beautiful a

I~lc!odY can be built .from variations of a single rhythmic figure. Since rhythmictcatu~cs are more eaSily remembered than intervallic features, they contribute moreeffectively to. comprehensibility. Constant repetition of a rhytbmic figure, as inpopular mUSIC, lends a popular toucb to many Schubcrtian melodies. But their realnobility manifests itself in their rich melodic contour.

CONSTRUCTION OF THEMES26

" CONSTR UCTlQN OF TIt EM ES

When the coherence ~tween the basic motive-forms and the more remote derivatives in m. J-4 is not quite obvious, a connectil'/' may bridge the gap. One of thefeatures, oflcn the upbeat or a preceding moti\'e-form, is used to join them. (Exs.44d, I, 4Sc, J. g. 46t', 47(/). But abrupt juxtaposition of contrasting forms need notnecessarily produce imbalance (Ex. 450).

As harmonic basis for an 3nlece<!.cnt, one can use progressions like those ofExs. 43to 51. Movement of the harmony in equal noles (i.e. regular change of the harmony)supports unity because it is a primitive kind of 'motive of the accompaniment'.

It should not be forgotten that onc purpose of constructing motive-forms frolll abroken chord (Exs. 5-11, 17-29) was to assure a sound relationship between melodyand harmony. To mllke many sketches of motive-forms, built from broken chords byvariation, remains a valuable method of deriving well co-ordinated materials.

Onc may acquiesce to the 'tendency of the smallest notes'. But too many small notcsmay produce a crowded effect. On the other hand. in masterpieces one mectscases likelhe extreme rhythmical contrast bet ......een first and second phrases in Exs. 450 and J.In other Mozan examples (Exs. 45b. g). the co-ordination of the small notes ......ith thehannony. as ancillary notes. is of a perfection which no beginner dare hope for.

Continuous and thorough study of examples from musical literature is essential.There are many melodies whose compass is very small (sec Exs. 45;. 5Oa. b). Some

limes when the antettdent remains within a fifth (Ex. 47e) or a sixth (Ex. 46d) theconsequent ascends to a climax. But melodies whose compass at the beginning is verybroad (Exs. 44a. c. d, 450) arc likely to achieve balance by returning to a middleregister. All these examples show that much varielycan be achieved within a relativelysmall compass. though the extension of the compass is often a defence againstmonotony.

Envisioning a delinite character helps to stimulate inventiveness. The accompalliment makes important contributions to the expression of character. Such features asdilferentialion between detached and legato notes (Exs. 44J, 47c. 480. 500, e); restswhere harmonization is not required (Exs. 35. 38. 44h. 4611); unharmonized upbeats(Exs. 440. g. 45[. 4611. J. etc.); semicontrapuntal treatment of middle voices (Exs.41b. Mg. 450, 48b. 51/); afterbeat harmony (Exs. 44r. d, 45d. 46d• .5Ot'); and specialrhythmic figures (EJls. 46), 47b, 490. 500, 51f) should be employed from the verybeginning.

It is difficult 10 reconcile a complex accompaniment with good piano style. Writingfor the piano should ignore. as much as possible. the existence of lhe pedal, Le. every·thing should be within easy reach of the fingers.

One must beware of (I) imbalance through overcrowding. (2) destruction of thecharacter and (3) obscuration of the harmonic progression. Fluent part-writing inthe accompaniment does not endanger the clarity of the harmony. But control ofthe root progressions is essential.

VII


J. CONSEQUENT OF THE PERtOD

rlt E consequent is a modified repetition of the antecedent, made necessary by the~cmote motive-forms i.n m. 3-4. If the period is a complete piece (e.g. children's songs)It must cnd (usually WIth a perfect authentic cadence) on I. If it is part ofa larger formIt may end on L V or III (major or minor).1~n unchanged and complete repetition is very rare. Even in the very simple cases

of Exs. SOb. (. and e. at least the last measure is modified. Usually. the introduction of;1 full cadence requires earlier changes. In Exs. 45;, k. 400. g and 500 lhe dcvi:l1ion ofthe harmony occurs in the seventh measure; and in Exs. 44; and 47(". t:. in the SiXlhmea~ure.

V:lriation of the harmony can slart as early as the first measure of the consequent.In Ex. 45fthe variation consists in the use of inv(:fsions of the same harmonies. Theconsequent may even begin on a different degree. For instance. in the Menuetto ofI.lcctho\cn's Op. 10/3. m. 9. it starts on 11, as a sequence of the antecedent. In Exs.44b and 46<1, it begins on V. The harmonic variation in m. 5 of Ex. 47t1 is the beginning. of an enrichcd cadence.

Ml:LODIC CONSIDERATIONS: ('Al>£:"CE CONTOUR

V<lricty needs no justification. It is a merit in itself. But some variations in thcmelody are involuntary results of the changed harmonic construction. particularly ofthe cadcnce.

111 order to exercise the function of a cadence. lhe melody must assume certaincharacteristics. producing a special radt'/Ire COflfoll'. which usually contr<lsts withwhat precedes it. The melody parallels the changes in the harmony. obeying the ten\lcne) of the smallest notes (like an aculerando). or, on the contrary. contradictinglhe tendency by employing longer notes (like a ritardando).

Increase of smaller note values is more frequent in cadences than decrt:ase. Asl'\.:Imples of rhythmie incre3se. $tt. in the Ikethoven Sonatas: Op. 2fl. Adagio. m.

, Somcl'mc~ major lit 0«:""" in" m"jor hy. In 8n:lhuV<:fl'~ Slrin!: Q":I'h:l. 01'. lJI-V. a IPhrni~n)1",1r,.,oJcn<:' lC:ld~ 10 a lm"jo,) Ill. tn h" Sl,mll Qu;orl". Op. ISI~. Var~,hon 4, 3 run .:alk'>«, wads 10:l,,,,,~~r).11I In m. B. Endinll on minor v. in a minor ~(y. i~ illu.,ratcd in E~. 46.4-. In two (xlraordi""ty Ca~'Ihe :>lflng QuarlelS. Op. ~9i2-1I1 anoJ Op. 132_V). &-clhovcn even makes use or VII \dom;na~t of rclai've''','J"q in mino,.

I Thc rJllid <levdopmcnl of h;lrnlony liocc lhc IKginninll of lhe nir\C:l~nlh ccnlUry h~s bee" the grC:'1"I"'aclc lu IM :icccptJocc of cn:ry ne.... con'po~r r.om Schubert 0". Frcqucnt <levialion from lhe IOlllC'C1;'"'' "'10 more Or k:$s fore'IJI rcgions ~mcd 10 ol:»lrucl unity ~n<l inlel"l,b,lity. Howcver. thc fnO!Ot.,d"'Jnced mind is still ~ub:jo;t IQ hum.,n limil~I'Ons. Thus compo!i<:fS Qf th's ~Iy"'. "'SI",cI,"e1y fechnl: lhe,1..nl!C" of incohc.c~. counter.lClc<! the tension in 0"" pl~ne (Ihe complcJl hJ'mony) by simplifoclllion on..nntt:e. p~nc (Ihe fllO('V'JI aoo rhychnl,C constnJl;1ion). ThIS pe.haps all.o cxplluns ,he; unv:..icd fCpelil>(ln~

.",.1 frequcnt 5eqUCfll.'eS 0( WaJllC', 8rucl;ncr. Oeb~y. ~. Fr.lnc.. , T..hJi"o's1-y, S'belius and many",he",.

To the conlemJlOt'3~or Gusta" 1>1Jhlc., M:u Rcgcr. Richa.d Smu,ss. MJunce Ravd. CIC.• far.rod\",gh..,mony no klnl!C" "",riO'USly enl,lJnF'eoJ comprehensibll,ly. and tod.<y-~"~n popuLi. eomposers m:I"c ah"nr: rrom it!

the immediate continuation. The deviation in m. 3 toward Ep is surprising. While £,mighl be the dominant of the mediant region (relalive major), il is actually treatedlike a tonic on VII. But in m. 7-8 13rahms finally identifies m. 1-2 and 5-6 as pertainmg 10 ("-minor, or, more accurately. 10 the "-region off-minor. I

In Ex. 51(" a repetition (m. 11-32). unchanged in melody and harmony, is varied by\upplying a quasi-contrapuntal treatment of lhe accompanying lower voices.

The construction of Exs. Sld and (' will be clarified l:lIcr (Chapter XV). Obsen;elhe use ofapedalpoim in Ex. Sld, at the beginning {rn. 1-2)and at the end (m. 10-14).

Though the pt'dal point is often used in maslerpil'CCS for expressive or pictorialpurposes. ils real meaning should be a constructive one. In lhis sense onc finds it atthe end ofa Irnllsition or an elaboration, emphasizing the cnd of a previous modula·lion and preparing for the reintroduction of the tonic. In such cases the effect of,1 pedal point should be one of retardation: il holds back the forwll.Td progress of theharmony. Another constructive use of such retardation of the harmonic movement1\ 10 balancc remote motival variation (a method paralleled by the balancingofcenlrifug;!l harmony with simpler rnolival variation). If no such purpose is involved, a pedalpoint should be avoided. A moving, melodic bass line is always a greater merit.

In Ex. SI/Ihe tendency of the smallest notes accounlS for a variant in m. S. Therhythmic figure '/I' is shifted from the second beat 10 the first bea\. In consequence,an almost cOlltinuous flow of eighth-notes prevails.

JO CONSTRUCTION OF THEMES

6-1; Qp. 2/2-IV, m. 1; Qp. 22, Menuetto. m. 7; Ex. 46g. m. 7-8. Sec also Exs. 44b.m. 1; 44i, m. 1; 47c, m. 6-7: 490, m. 1.

An unusual example of rhythmic decrease is shown in Ex. 46h, m. 7. Other examplesinclude Exs. 44j and 46; (very conspicuous). Thc two cases in Ells. 441 and 470 areremarkable because, instead ofa rhythmic decrease, a 'written-out ritardando' appearsas an extension.

The melody in the cadence commonly reduces characteristic features (which demand continuation) to uncharncteristie ones. Illustrations of this can be found in agreat many examples. Compare, for instance, m. 1 ofbs. 4Sc and/with their res~tive m. 1-2. In both cases the characteristic intervals are abandoned, or combmedin a different order, and in Ex. 45c the eighth-note mo\'ement stops entirely with thethird and founh beats.

Ifthereis a climax the melody is likely to recede from it, balancing the compass byreturning to the middle register. This decline in the cadence contour, combined withconcentration of the harmony and the liquidation of motival obligations, can bedepended upon to provide effective delimitation of the structure. Sce, for example,Exs. 4Sf. g.

It H YTH Mle CONSl DEltA TlONS

Since the consequent is a varied repetition of the antecedent, and since variationdoes not ch::mge all the features but preserves some of them, distantly related moliveforms might sound incoherent.

TIlE PRESERVATION OF THE ItIlYTIIM ALLOWS EXn"NSlVE CllANGES IN TilE MElOIJIC

CONTOUR.Thus in Ex. 47b the consequent preserves only onc rhythm, abandoning for the

sake of unity even the slight variations in m. 2 and 4. This rhythmic unification permits far-reaching changes of the melodic contour in slow tempo, and promotescomprehensibility in rapid tempo. Sce also Ells. 45a,f, 4&1,j.

COM~IENT ON P[RIODS RV ROMANTIC COMPOSERS

Some of the classical examples of Exs. 44-47 deviate from the eight-measure con·struetion. Such deviations can also be found among the examples from Mendelssohn(Ex. 48) and Brahms (Ex. 51). To control such divergencies requires special techniques of extension, reduction, etc., whose discussion must be postponed.

These examples show the various manners in which Romantic composers approachthematic construction. The examples from Brahms arc especially interesting becauseof their harmony. They differ from lhe classic examples in a more prolific exploitationof the multiple meaning of harmonics. Ex. Sla is an illustration. In m. 1-6 thereappear only a few harmonies belonging diatonically to [minor; bUl most of them(lll .) could be understood as Neapolitan 6'h of c-millor, 3n explanation supported by

CONSTRUCTION OF SIMPLE THEMES (J) 1I

32 CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE T1IEMES (3) 33

'J. ft,lJT1' . J i

Phrlll:la.. Codnce,0V

'",

PERIODS

Ex.42Op.lll/a_rV • ~rJ?if

~ll'~

34 CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE THEMES (3) 3S

v

., Shin!; QUHt~t.op.6!1'·1l

Adagio f ,...---:::"

OJ

v

,•.'.~

:~ .••

Ex.44a) HaJ"", String Quartet, Op.S4}1

Mu~d'o .'~ :I' r::: ,j,'

'~~'~

{~~~~Wd~-~_~,~~~''''''~....~..~~~~

CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE THEMES (3) 31

•

elh"UI" 'ba",••r41•••U....~ . .1

rn

J) Striq Qgartd,O,.",rt·rv. r

~hU.r culuc. V

.' i,."""l tr'

•

•" ..I_III••,..-.tallot.,."...... er ..... ,

~•

le::r:c:r::r="'!' IT V 1

C) 'binl!: Qu.IoI,Op.14/J-mNuutt. •, ,

38 CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE THEMES (J) 39

r) Pi ...o Soa.l. I.V.2I3-nf A,,,lu{e 11 m...... 2)

I II V

<pi.od!. lnaerllo.

Ex.45.) .I1o:~rl. ri,M Son. to K .V. 219-111

AllegrQ •.............. ,. ".__ ...~.....~." 11

\, • •................. ..............• f( " _.,.

~ IIV_

~.It cadenc.

I

b) fiano Sonal. ICV.2!l-1

':.g:..,. ~,---~

1~~1,

40 CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE THEMES (3) 41

x··········w .-. 4 ".~...... "...... .. S

..,

h) Piuo S.nab K:V. 311-I!

~::e:r~

~) Pl&"o Sout. X.V. 310-UAlldut" eallfabilt! """ e.preniou:

~, ~ It, r I I

~> Ii half

4J

v,,

CONSTRUCTION OF SIMPLE THEMES (3)

'1 SlrinJ! Trio Op.SAt,,!;,·

d) Std"lI" Trio Op.3-U('"'Kk rhythmic rllf~r" In ..onifoM variation')

A~J",,1f: 1 .2 ~~~i"~!,!~~~'ili~!:if,~§~

,.~

~. .


E:x.46.) H££THOI'~:fIi S.pteIOp.20-IVT~e,". CO~ ud.. ion"

VIol I. f J

42

"CONSTRUCTION OF SIMPLE THEMES (J)

Il Shl,,&" Qur'" Op.~'/HlI

~O

-- ry;¥fgI

J) String Quartot Op.18II-UT, Seh...o

I. . . . .

I.. ~

•

•

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v


8) Slri"$" Trio Op.1AllrGrd/Q o/la. l',,("CCQ

fl SI.l~1: Trio 0,.'SCIII':1I10Aflr&ro -r"II/1, . .

44

47

.,,rf! ~

=-•..


d Plano Sonata Op_~J'IV

ROI'DQAlI'C,D m"d.rat", ,

.l Pi••• Souu Op.lft·l

A/l.~r•••" •••1"-,

1 '

i..... ""er> ritortl.

,

, ! .-Fine" ut .h........

~ n,l=",J~J~~~ - ==" I I


.J Pi t. op,n-IIr f.

I~~,.

E.1.47a) <I>'(:HU8ERr, ]';ano Sout. op.n-I

MrxI~r.lt/ ,

46

"

•,,

~ (J)


c) S~I"J.·., op.~1IJ

~/''Kro ossa;

d) l'ut.I'ui.clt..~ (;",..1./1•••, op.75I~

Allet:ret{o -0" Iropp" (2 II'lU•. ' \)

p

p

48 CONSTRUCTION OF THEMESEx.48.l JltElt'DELSSOHN FM Hn-!~I, op.gfS

A"tIn,""

"

, ,

f, r I pr------- p~

>

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Ex.49.) CHOPIN Nocturne Op.32!l

L~"fo

b) ~octuru op.37flA"da"te Itltteuto

jI.. "VII ====--

, ,


, r,---r ' f'--'f ' f'---f '

.,

"CONSTRUCTION OF SIMPLE THEMES (3)

l~. v»

•,CONSTRUCTION OF THEMES

,~l SotluTO. Op.U}\L~.,o ..,.

EI.50_) SCHlfJ/A'OI' J.llro .. ,iO. dj. J'r~". S.'ff"'R.~Ie4

I• •

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v,v1"•

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,

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AllFf:Y' ••fto .",J.rat• • u ....fl.'-,--_.- 'e-~-~~~

CONSTRUCTiON OF THEMES CONSTRUCTION OF SIMPLE THEMES (3)

f) VloUn Sonat. Op.IOO·Jl

Vill/'u

,--~: r'~ •p,. • , . ---=. ..P "'0/10 I<GKi.~o

r r r /==--• ", " Vm '"

,

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P.rlo. of 6 mUSuc" «p..\od

,

.) Piano Trio Op_lOtA"dut~ crOZiiuo,

hs. 520 and b. the two-measure phr:lses are reduced or condensed l (in rn, 5-6) toonc measure; and in Ex. 52c, four measures .are condensed to two measures (m. 9-10and 11-12). This procedure sometimes results in still smaller units: in Ex. 52h ahalf-measure; in Ex. 52c on~ measure.

The end of a sentence calls for the same treatment as the consequent of a period.A sentence may close on I, V or Ill, with a suitable cadence: full. hair. Phrygian,plagal; perfect or imperfect; according to its function,

COMMENT ON EXAMPLES

Exs, 54, 55and 56 arc based on the broken-chord form, Ex. 7b. By progressive variation (Exs. 54a, b. c) a motive-furm is reached which can be used to build sentences of~harply contrasted character. The endings lead 10 V and III in major; to v and V inminor, To indicale how easy it is to change the cadence region. even at the very end,alternatives are added for Exs. 560 and b, ending in the region of the relative major(study also the Trio of Beethoven's Op. 28-111).

Sequcnce-like proceduresl are very useful in the continuation of a sentence. Thepattcrn for such sequence: treatment is usually a transformation or condensation ofpreceding motive-forms. Assuming a correct harmonic connexion, the pattern maybegin on any degree.

The quasi-sequential repetitions in Exs. 54. 55 and 56 are morc or less frec transf/O<;itions of the pattern a wltole- or half-tone up or down, except in Ex. 56b wherethe interval is a fourth down.

, Rcduction Jllay be aa:OJllpli~ht:d by merely omllling a part of the lTlO<k:l. Condensation impJic~ com_prC!lSUlllthc contcnt of Ihc 1I1o<Jcl. whercby evcn the order of lhe fcatu",.. may be :wmewhat chanllt'd.

, A J'rqu~nct:, ill its strict"'t lne"ning. is a repeti/ion of a ,;cgmcnt or unil in its entirety, induding thehurmony am! lhe a('(;(lmpanying voices, rransp<J.ed 10 a""tlre' <kg.'ce.

A loCquenoe Can be executed WIthout using other than diatooK: tones: In such e.tSC$. the harmony remains'~"nltiJICtal', i.e. «ntred aboul (he Ionic rcgion. Diatonic sequences expl'CSS Ihe IOI1;lJity clearly and do nOtc<>d~n~r ""'ance in the oonhnuatlOfl.

When SlIwilUICS nlletul' or 'chromatic' cootds) ~re usrd, Ihc tcndency of the turmony may bocotl'le·c.."'ltlfu~r---m:lY produa: moduLmons. 10 ""Iann whoch becomes ~ prob"'m. SOI)!,hlulcs should be usNI'flIn:mly 10 reinforce the 10&1(" or I~ prQCl"CUlO", carefully observing lhe quaSI-melodic rUnc1ion of lhe....bslllull: Iones.. For CJl:Impl.:. a WWilUlcd major thord tench 10 lead up"'':lrd, while a substiluled mn....rIhmllea<h dQwn_

The p;ll!cr" for:t sequenn mu" b.: so bulh. ha.rmOrlle::iIly >InJ. mclotliclty, that It tnlrotlucn lhe <!ecru 00..hl\:h the sequence,s 10 be"n, and provodcs a )tTIOQjh mdodte conncxion.~uenccs III minor arc even more apt to prod~modUlatIOn than in m3.jor, bocau~ or the '""fling rornli

of lhc minor ..:ale. In octual pr.>etKe, K'QUC'!"tCCS ,n mlllor are most oftcn buill around lhe natural or tJc:5ocl:nd.,n! form; but the .\It3.tcgie teintrOOUC:lion or Ihc lead,ng_tone is uloCd 10 pre>'Cnt premature mOOulation.

SC'lucntial treatmelll 's oot allll:lYs compltlc. tt may b.: applied 10 cither m.:lody or h:lmlOny alon.., theremalni"g c1",.ncnl bdnll more or Icss freely varied. Such e<lses may be calkdlll<Xlijied or partialloCquc""CJ.I" Ulh<:r cases thc general charactcr of a lranspo'lCd repetition may be present. though without ltleral Hanspu.il,on of any clement. These instances, and Olhers in~ol"inll ~ariation of somc features, may be lkSl;ribl:.Ja. QUD,i-U'Qut>miDI.

"CONSTRUCTION OF SIMPLE THEMES (4)

VIII

4. COMPLETION OF THE SENTENCE


A PIECE of music resembles in some respects a photograph album, displaying underchanging circumstances the life of its basic idea-its basic motive.

The circumstances which produce these v3rious aspects of the basic motive-itsvariations and dcvclopmcnls-derive from considerations of variety, structure, expressiveness, clC.

fn contrast 10 the chronological succession in a photograph album, the order ofmotive-forms is conditioned by the requirements of comprehensibility and musicallogic. Thus, repetition, conlrol of variation, delimitation and subdivision regulatethe organization of a piece in its entirety. as well as in its smaller units.

The sentence: is a higher form of construction than the period. It not only makesa statement of an idea. but at once starts a kind of development. Since developmentis the driving force of musical construction. to begin it at once indicates forethought.The sentence form is much used in leading themes of sonatas, symphollies. etc; butit is applicable also to smaller forms.

Thc beginning of the sentence (Chapler V) already ineludes repetition; hencc, thecontinuation demands more remotely varied motive-forms. In masterpieces this hasgiven rise to a greal variety of structures, some of which will be discussed later. Hutthere are also a great many examples similar to the scheme that will serve as a practiceform.

The practice form will consist, in the simpler cases, of eight measures. of which thefir:.t four comprise a I>hrase and its repetition. The technique to be applied in thecontinuation is a kind of development. comparable in some respects to tlte condensing technique of 'liquidation'. Development implies not only growth.augmentation, extension and expansion, but also reduction. condensation andintensification. The purpose of liquidation is to counteract the tendency towardunlimited extension.

Liquidation consists in gradually eliminating characteristic features. until only uncharacteristic ones remain, which 110 longer demand a continuation. Onen only residues remain. which have little in common with the basic motive, In conjunction witha cadence or half cadence. this process can be used to provide adequate delimitationfor a sentence.

The liquidation is generally supported by a shortening of the phrase. Thus in

60 CONSTRUCTION OF THEMES CONSTRUCTION OF StMPLE THEMES (4) 61

Th~ pattcrnneveal various ways of combining and transforming preceding motiveforms. Only in Ells. 54d and 55b is the order the same as in the first phrase. In Exs.S4t!,f.lhe order is reversed ('b'-'a'). In Ex. 56. only ob' and 'c' arc used. Note Ihat thepattern in Ex. 550 begins with. a transposition of that feature which ended the preceding phmse ('cl". m. 8) and associaies it with 'b' in the form used in m. 3 and 7.Obsen'c also the lrealmenl of the motive of the accompaniment. 'c', which (as shownby the analysis in terms of 6/4 metre) is shifted from the weak 10 the Slran!! measurein m. 9-10.

Illustrations from Ihi' IiferalU'~

Among Exs. 5J.--6I, from Bach, Haydn. Mozart. $chubcrl and Brahms. there arccases in which the scheme, tonic form-dominant form, is replaced by a differentkind of repetition (KC Chapter V).

In almost all of these the continuation arter the repetition of the first phrase iscarried out with condensed phrases giving way to a cadence contour, described in thepreceding ehapler. Generally these closing measures employ only residues of the basicmotivc.

As a practice form is only an abstraction from art forms, sentences from masterworks orten differ considerably from the scheme. Among the illustralions the mostobvious deviation lies in the number of measures-there may be either more or lessthan eight (or multiples ofeight). The beginningofMozart'sOverture to Thi'Marringi'of Figoro (Ex. 59i) is only seven measures.

A length exceeding eight measures is often caused by the use of remote motiveforms, whose establishment demands more than a single repetition: or by the con·nexion of units of unequal size (e.g. one measure plus two measures); or by insertions.

Ex 53b is such a case. The motive-form in m. 5, though based on the interval of athird, derives indirectly from the figure marked 'b', which could be understood as anembellished syncopation. This is a very remote variation, whose repetitions accountfor the length of twelve measures.

It is characteristic ofMozart's Rococo technique to produce irregularity within thephrasing through interpolation of incidental repetitions of small segments, residues ofa preceding phrase.

In Ex. 590, after the two one·measure phrases in m. 5 and 6, a segment of threemeasures (repeated with a slight variation) appears. The example could be reduced toten measures if m. 10-12 were omitted. Testing which measures could be omitted isthe best method to discover what causes the extension. Omitting m. 7-11 would rcducethe example to the eight measures of the practice form, indicating that these measuresshould be considered an insertion, from which the extension results.

In Ex. 59b, m. 5-6 could be omitted. l

, The lUC'ttSSion of IWO 6/4 chorlls in m. 7 anll 9 is mosl unu~ual. 0"" mil;hl suspect a mi~prinl for wch a

In Ex. 59c the omission of m. 7-8 reduces the ten measures to eight.Ex. 59d is more complicated. The end of this sentence coincides with (overlaps) the

beginning of a repetition. Nevertheless, it cannot be considered less than nine mea·sures. The extension is produced by a sequence in m. 6-7.

In Ex. 59". m. 5--6 are made up of remotely varied motive-forms, because of which:1 modified repetition follows in m. 7-1:1. Such extra repetitions are certainly consequences of the requirements of comprehensibility.

The ending (on VI) of Ex. 60a is unusual. Still more unusual is the anticipation ofVI (through a deceptive cadence) in m. 10. Were this not the work of a master onewould be inclined to call it a weakness. Certainly either of the two 3Iternati\'e versions.....ould be safer for a student. These last four measures make the impression ofcodellas; if Ihey are, the preceding eight measures might be considered a period. Butanalysis as a sentence is supported by the similarity of the two segmenls, m. 1-4 andm. 5 S. to tonic form and dominant form. This hypothesis would le3d one to expecta continu::llion of eight measures.

In Ex. 60c the beginning, on Ift-II, is remarkable. The Finale of Beethoven's StringQuamt. 01'. 130, begins similarly.

In Ex. 60e the (quasi·sequentilll) repetition ofa short segment (m. 7-12) and Ihecondensation in the cadence show a certain similarity to the practice form. Otherwise,the preceding six measures hllve merely an introductory character.

The first six measures of Ex. rofconsist of two units of three measures each, organi,...d similarly to the lonic- and dominant-form. These three·measure segments arc notproduced by reduction or extension,·but by quasi-sequential insertions, repetitions oflll.land .... 1

Omilling m. 7-11 and m. 13 would reduce Ex. roll to the eight measures of thepmcticc form. Howc\'er, m. 7-14 could also be considered as an independent additionof four measures with a varied repetition. Though 'as' is an augmentation of 'a', thl:phrase in m. 7-8 must be considered a remotl: variation. justifying the repctition.

The 3nal)'sis of Ex. 61a shows that the theme is less complicated than it appears atfirst i!lanc.:. (The theme or melody need not. of COUIU, always be in the highest voice.l\ccompanimC'nt and melody may exchange places in various ways. Naturally, the

""'''-~ "'~ lhal ,ndic:.IlW lxlowm. 6-7. Such a 1<caIO"l(1l1 ofa 6/40;hord would K:ln:cly be found d_~ inM"",rl- DUI ~incehe UKSlhe same 6/4 for:l c:ldef\CC 10 1{m. 25. 271.one must abandon the: idea 0( a misprint.M'~"n' or molo; or llIeniu,. il is hardly a nt<>del ror Ihe student to imitale.

, SChulxrl W"~s disl'nclly onc of Ihe: pionten in the field or ""m>ony. The: s,nlCuwrily or hi~ harmonic(..,110' o;~n I:..: ob1;erved in lhc: entlinlC or Ex. 6Ob. A. a varied repetilion or m. 1-8. m. 9-16 should end onI: bUl ,n'lr"d ItN: repelllion o;nll. on lhe: subdOOlinan" Thallhi, i, no "'caknc:s~ is evident rrom the ll:C:Ipilula.l'on. whi<;h ~13fl~ on lhe: subdomin;lnl (1Il'SIO;;lll or lhc: lonk) bUl o;nds on lhe Ionic, though a s1ri<;t tl1lnsrvsilion would havo; endell 00 A~. Thu~ the harmonicschenlf; is I-IV: IV-I. !rhe had U-Sf'<! the procedure orlhe rco;apl!ulaltOI1 in m. 15-16, the: c:,<!e:n<,.--c woulll have lell io m. 16101/.

Such d,_",ussion i. nol ime:nllc:d a, 'rilicism of Ihe rna~lc:~. but r~(h",r as a w<!flling 10 the student againstI, .. , mL)'"'' I'roco;durcs which an: beyond his oonlrol.

62 CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE T1-lEMES (4) 6J

•

cl 0,.10/1-1I 'Gole f ........

\l 0,.2/)'1tn;" fG,. • do",lud fo.", • et

~:i=." e....d.II.....d .osldo"

pi ". i f" f·6"'---:> ';:--::::: . .'7~

meaning of the harmony must not be obscured, as it might be by misplaced 6/4chords.)

Ex. 6tb has liltle in common with the practice form except for the repetitions ofsmaller segmcnts(m. 5.6) and the cadential process, in which the one-measure phrasesof ffi. 3 and 4 arc reduced to half-measure residues in m. 7-8, as confirmed by thephrasing in the accompanimeoL It has been stated that homophonic music can becalled the style of 'developing variation'. Ex. 61b is a very clear illustr:lIion. The analysis shows that all the motive-forms and phrases of this melody ceve!op gradu:lllyQuI of the first three noles, or perhaps e..en out of the first two notes.

Ex. 61dwQutd be eight measures wefe it not for the insertion orlhe motive-form 'b'and its repetition 'b.' (m. J). The refrain-like recurrence of the opening phrase inm. 8-9 is remarkable.

All thesemorecomplicaled struclurcscan be related to the practice form by generalizing Ihe concept on which the practice form was based. The tonic· and dominant-forms(or any comparable twofold statement. even if incomplete) may be considered as theestablishment of an idea and of a tonality; thus, the foundation is laid for dr:lwinginferences. In higher art forms. after such an adequate establishment, remotelyvaried moti\'c-forms may appear at once, without endangering wmprehensibilily.The appropriate treatment of the remole motive-forms, through varied or sequentialrepetitions. then justifies irregularity in length. and unusual harmonization.

Applying this generalization to Ex. 57a, it becomes apparent that after a twofoldstatement of a basic phrase, sueh remote derivatives can be used 35 appear in m. 5-6.On the other hand. the analysis shows the motival connexion. The exlensiQn is produced by the sequence in m. 6.

CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE THEMES (4) "Ex.53

I ,'0." '0.. , ,.'_.M"••'.,,",_"'_'-' _

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aUcnllh'e No.l.'

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67

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CONSTRUCTION OF SIMPLE THEMES (4)CONSTRUCTION OF THEMES66


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bl I'lono Sonata No.27-m ....

1

70 CONSTRUCTION OF THEMES CONSTRUCTION OF SIMPLE TIIEMES (4) 71

..-=

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cl Pl""e> Sooat. liLT. 213·1

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74 CONSTRUCTION OF TI1EMES CONSTRUCTION OF SIMPLE THEMES (4) "

,E.~.60al SCHUIlER1' Piano Sout. op•• n-m)lUllatl.. __""",, _

Al1er;r:(f~


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II

81(4)CONSTRUCTION OF SIMPLE THEMES~l CeUo So,,"la op.u-(l ...

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be confined 10 self-explanatory segments. Accompaniment ofharmonically ambiguouspassages is mandatory.

TilE MOTIVE OF THE ACCOMPANIMENT

Asa unify ingdcvicc the accompaniment must beorganizedina manner similar to theorganization ofa theme: by utili7..ation of a motive, the molil'(: oflhe accompanimelll.

The motive of the accompaniment can seldom be worked out with as much varietyand development as that of a melody, or theme. Its treatment consists, rather, ofsimple rhythmic repetition, and adaptation to the hannony. Its special form must beso constituted that it can be modified, liquidated or abandoned, as the nature of thetheme demands.

TYPES OF ACCOMPANIMENT

Chorale-like. This kind of accompaniment is rather seldom used in instrumentalmusic. Onc finds it more often in homophonic choral music, in which all the voicessing the same rhythm according to the text, as in the Pilgrim's Chorus from Wagner'sTOf/lfhiiuser, Ex. 62a. Some examples from instrumental music are shown in Exs.62b, c and d. See also Beethoven, Op. 14/2-11; Op. 31/3-lll, Trio; Op. 53-I, m. 35 If.;Op. 78-11; Op. 27/2-11; Ex. 47b.

Figuralion. The requirements of piano style are better fulfilled through the use ofbroken chords, although the voice leading remains essentially chorale~like. CompareEx. 63a with Ex. 63b, from which it is an extract. As in this case, a broken-ehordaccompaniment will use one or more special figures systematically-the motive ofthe accompaniment.

In general the accompaniment makes use of shorter notes than the melody (Exs.4&, 48d, 49a, SOb, 5td, 6Ob). However, the contrary also occurs (Ex. 47c). There arealso innumerable cases like Ex. 45/

The manner in which a figure can be maintained and adapted to the hannony canbe seen in Op. 2/1-1, m. 20-2t and 26 If. ; Op. 2/1-11, m. 9 If. and 37 If.; Op. 2/2-1,m. 58 fT.; Or. 10{3-11, m. 65 If.'; Op. 10;:l-lll, Trio, etc. This type of accompanimentis usually not much more than figurated chorale hannony, and may lie in lower,middle or upper voices.

The motive of the accompaniment often includes auxiliaries, appoggiaturas.changing notes, etc. (Op. 2{3-1I, m. 11 If.; Op. 7~IV, m. 64 If.; Op. 10/2-1, m. 19 If.).Sometimes it includes a semi-contrapuntal movement of one of the voices (Op.10/1-1, m. 56 fT.).

The broken chords may of course be distributed in open position (Exs. 49a,640, b, c). The Romantic style of transcription for piano is illustrated in Ex. 64d. Thefigure in the left hand does not appear in the orchestral score. This techniQue ofmaking the piano 'roar' was much abused during the nineteenth century.

8JTHE ACCOMPANIMENT

IX

THE accompaniment should not be a mere addition. It should be as fUllctional aspossible, and at best should act as a complement to the essentials of its subject: thetonality, rhythm, phrasing, contour, character and mood. It should reveal the inherentharmony of the theme, and establishes a unifying motus. It should satisfy the necessi~

ties and exploits the resources of the instrument (or group of instruments).Accompaniment becomes imperative if the harmony or rhythm is complicated.

In descriptive music, the accompaniment contributes much to the expressive sonority.

OMISSIBILITY OF THE ACCOMPANIMENT

Of course, unaccompanied music exists, in folk music, ancient church music.solo sonatas for various instruments, etc. Unaccompanied segments often appear inotherwise accompanied music. But even in simple folk music, where the melodyrequires no harmonic support, an accompaniment (not structurally required) isoften added.

Any harmonically self-sufficient melodic segment may remain unaccompanied,supplying contrast and transparency which may contribute to the character of thepiece. Transparency is a merit in itself. Moreover, pauses never sound bad!

Upbeats often remain unaccompanied, if there is no question about the harmonicmeaning. See, for example, Beethoven, Op. 2/l-11 and Ill; Op. 2/2-111; Op. 7-IV,etc.

Frequently, the beginning segment of a theme is unaccompanied (or in unison).Op.2/1-1; Op. 10/1-111; Op. 10/2-11; Op. 10/3-1 (m. 1--4 and rn. 17-22); Op. 26-IV;Op. 28-111;1 Op. 57-I.

An unaccompanied beginning where the treatment is contrapuntal or semicontrapuntal is self-explanatory. Op. 2/3-111; Op. 10{2-1I1.

Unaccompanied figures within a theme also occur. Op. 2{1-1; Op. 10/2-1; Op.10/3-1, ffi. 56 fr. and rn. 105 fr.

The end of an elaboration is often unaccompanied. Op. 2/2, Rondo, ffi. 95 fr.;Op. 2/3, Scherzo, n1. 37 ff.; Op. 13-1, n1. 187 If. Op. 53, Rondo presents a specialcase (m. 98 fr.), where the rernodulation from the relative minor to tonic is carried outin simple unison.

Though the omission of accompaniment may contribute to transparency, it should

1 A piquant ambiguilY. Tile!; could suggest the keys of Ft Or B (nuVo' or minor). Thai il implies D isonly unmasked in m. 5-8.

THE ACCOMPANIMENT

CONSTRUCTION OF THEMES TIlE ACCOMPANIMENT ssThe method of repeating full chords (01'. 53-I; Exs. 59a. d) is relaled 10 the repeti

tion of harmonics in broken·chord style. It derives from the S3me circumstance: thcdesire to revive the short·lived lone of the piano.

Sometimes more than one motive of the accompaniment appears. e.g. when thebass, separated from the system of the middle voices. carries out a system of its own(Exs. 64t>.f). This procedure is frequently used in combination with rhythmicizedchord repetitions (Ex. 65). Occasionally. the hau is systematically placed on a weakbeat (Exs. 65q-r).

IlItermirtelll. The harmony may appear only (lncc in a measure. or once in .severalmeasures. It may be sustained (01'. 2/3-1. m. 97-108; Ex. 5811): or a short chord maybe stated at the beginning ofa measure (01'. 10/1-1. m. 1~3; 01'. 10/2-1. m. 1-4: Exs.58c,f); or a short chord may occur during:l rest or a sustained note of the melody(01'. 2!2-11I. m. 1-2, 5-6; Ex. 46tJ).

Aflerbeat harmony, including syneopations. appears in many forms, e.g. 01'. 2/1-1.m. 2-8, 41-46; 01'. 2/2, Scherzo: 01'. 14/1-1. m, 1~3.

Complementary. Complcmentary rhythm is that relation between voices or groupsof voices in which one voice fills out Ihe g3pS in the movement of the others, thusmaintaining the motus, i.e. the regular subdivision of the measure. The accompaniment is often added as a complement to the basic rhythm of the principal part (01'.14/2-1. m. 1-4,26-27, etc.; 01'. 109-1. m. 1-8; Exs. 67a. b; 01'. 2/2. Scherzo). Thereexist many hybrid cases like 01'. 10/3-IV. m. 17-22; 01'. 31/2-111. espedallym. 17~21;

01'. 54-1. m. 1-2-5--6. Olher oses derive from scmi-eonlrapuntal devices (En. 45d.660, 67c).

VOICE LEAVING

Piano style does not require !adct preservation of the number of voices. as in fourpart (chorale) harmony. If a pitte starts in three or four parts, this number of partswill be used rather consistently. But sometimes fewer voices are used (as ifone or morerested) and sometimes more arc used (as in the orchestra, when for a crescendo,accentuation. climax or other special efrCCl. additional instruments enter).

If the basic voice-leading is free from parallel octaves, each individual voice can bedoubled in octaves, especially iflhe doubling is consislently maintained. as in Ex. 63.Doubling of the bass on produce variety or contrast through change of register.In Ex. 45g, compare m. 1-2 and 5-6 with 3-4 and 7-8; and in Ex. 460. compare 5---8with 1-4. The melody, of course, is often doubled. Sce, for instance. Exs. 46e and6Oe; and BecthO'·cn. Op. 10/1-1, m. IOSIT.; Op. 10/2-1. m. 19 IT.; 01'. 14/1-1. m.61; 01'. 26-1, Variation Ill. Sometimes. even the inner voices arc doubled (Exs. 66b.e). Such doubling may appear incidentally for some special effect.

('OIl//'{/pul1/a{ Irealmem. A real contrapuntal style appears occasionally, whenfugues or fugatos are incorporated in otherwise homophonic music. Sometimes a

movement begins with a fugato (Op. IO/Z-IIl; Mozart's String Quartet in G, Finale;Beethoven's String Quartet, Op. 59/3, Finale, etc.). Though such sections are oftenrepeated in a more developed form, the remainder should generally be classified ashomophonic.

In the elaboration division (development) of larger forms, there are frequentlyfugato episodes (Beethoven'S String Quartet, 01'. 59/1-1; first and fourth movementsof his Eroica Symphony; third movement of Brahms's Piano Quintet; Beethoven,01'.101, Finale; etc.).

Bcethoven (Gp. 120, Op. 35) and Brahms (Op. 24) conclude sets of variations withreal fugues; and the finales of Beethoven's Sonatas, 01'. 106 and Op. 110, are alsofugues.

Contrapuntal episodes, generally using imitations or invertible counterpoint, arcfrequently to be found in elaborations. Sec Op. 2/3-1, m. 115 fr.; Op. 22, Rondo.m. 81 fr.; 01'. 8Ia-l, Coda. The canonic passage beginning the EtJ.seetion ofOp. 106--1is unusually long.

Semi- and quasi-comrapllntaltreatment. While semi-counterpoint has motival andeven thematic implications, quasi-counterpoint is often little more than a way ofembellishing, melodizing and vitalizing otherwise unimportant voices in the harmony.

Scmi-counterpoint is not based on combinations such as multiple counterpoint,canonic imitations, eIC., but only on a frcc melodic movement of one or more voices.as in Op. 2/2-1, m. 11-16 and the imitations in m. 32 fr.; also 01'. 2/3---1 V, m. 57 IT.

In real homophonic music there is always one main voice; the addition of imitations, canonic or free, is principally a method of accompanying this main voice.Ostinatos sueh as, for e:xample, those in Brahms's First Symphony-IV, eight measures after 'E', and in the Finale of the VoriOliOllson a Theme ofHoydn, may tx: understood similarly. Considering the bass as the main voice, this technique resembles theadding of voices to a 'cantus firm us', constantly varying the texture, as in a passacaglia.

The addition of a countermelody could also be considered a semi-contrapuntaldevice. See Op. 26-11, m. 45 fr.; Op. 28-1, m. 183 fr. (this passage, like Op. 10/3-1.m. 93-105, is in double counterpoint; but the part in eighth-notes has an emtx:lIishingrather than a thematic significance); Op. 31/1-111, m. 17 fr.

Countennelodic phrases or fragments are often used to embellish a repetition (Op.10/3-11: compare m. 17-19 with 21-23) or as bridge-like fillers (Op. 13-11, m. 37 fr.)between phrases of the principal voice.

Many illustrations of semi-conlrapuntal treatment can be found in Exs. 54, 55 and56. Special attention should be paid to those cases where the harmony becomes richerthrough the movement of the voices; and where the motive of the accompanimentinvolves a characteristic rhythmic figure, often the result of a more or less freeimitation.

86 CONSTRUCTION OF THEMES THE ACCOMPANIMENT 87

Both semi- and quasi-countcrpoint are illustrated in Op. 10/1-1. In m. 48~S5 bothupper voices are so well organized that il is difficult to say which is main voice andwhich is countermelody. In the continuation (rn. 56-85), the bass moves moremelodically than the presentation of the harmony would require. without, however,becoming a countermclody.

The lowest voice in Op. 14i2-1. m. 49 ff.. imitates quasi-conlrapunlally only thephrasing of the melody. Similarly. the auxiliaries in Op. 31/1-11. m. 16 fT., though disguised as imitations. embellish sustained tones of the harmony. The imitations ofOp. 28-IV, m. 28-31 and 3J-.-3S, arc definitely not contrapuntal. since they presentonly one harmony.

TREATMENT 01' TIll; llASS Ur-oE

Except in the case of:l pedal point, the bass should participate in every change oflhe harmony. One mllst nOI forget that the bass should be trealc."d like a secondarymelody, which means that it should remain (excepl for special purposes) within asingle register and possess a certain degree of continuity (Exs. 44g, ;, j, k, 45;, 46.',5Ib). The ear is trained to pay much attention to the bass. Even a short note is understood as a continuing bass until another bass note can be heard as a (melodic)continuation.

For the sake of fluency a bass which is not countermelodic should make free useof inyersions, even where lhey are nol harmonically necessary (Exs. 45g, 4&, g, 51[5&1, 598).

TREATM!:NT Of TH!: MOTIVE 01' THE ACCOMPANIMENT

In many cases a single motive of accompaniment is used consistently throughouta whole !;Cction, except for cadences. This is possible only in the most primitive cases,in which the harmony does not change much, and the motive is readily adaptable(e.g. the obsolete Alberli bass).

Changes ofcharaclcr or construction, or increase in the number of harmonies, mayjustify or e\'en require modification of the accompaniment. A clear change in alllheserespects is found in 01'. 1412-1; compare m. 1-4 with m. 5 fr. In 01'.31/1-11, where theclimactic ascension in the melody requires richer harmony, the motive of accompaniment is modified accordingly (m. 5). In Op. 31/3-111, the special form of the brokenchord figure is reduced (m. 3 fT.) to no more than is necessary to keep up the motus.

The motive of the accompaniment, as a unifying device, should be maintained foratleaSI several measures or phrases. Even if varied, it should notdisappearcompletely.But cases exist in which more than onc figure is used, especially in Mozart's Rococostyle, as many of the excerpts in Exs. 45 and 59 prove.

Harmonic requirements in the vicinity of cadences or half cadences often forcemodification or liquidation of the motive of accompanimenl. This process may take

a variely of forms. See, for insLantt, Exs. 45f, 46j, 48c, 51a. 55a. b, 56b, 5&, 59g,h.6Id.

REQUlkEMENTS OF INSTRUMENTS

In piano \l>Titing the ne~ity of keeping the accompaniment within reach of thefingers sometimes requires co-operation of bolh hands (Op. 2/3-1, m. 141 ff.; Op.13-11, m. 41-42lT.) or a shift from hand to hand-with or without a change ofregister (01'. 27/2-1, m. 15-16,23-24; Op. 31/2-1, m. 28 fT.). Changes of register alsotake place for reasons of expressiveness or sonority.

In writing for other than keyboard instruments, the individual parts should beelaborated more independently, in order to sustain the interest of the players. ButIhere is danger of imbalance produced by too rich an accompaniment. Economy andtransparency are indispensable.

The variety of chamber-music combinations precludes detailed discussion of theaccompaniment. But, intelligently applied, the principles are the same as for keyboardinstruments.

" CONSTRUCTION OF THEMESTHE ACCOMPANIMENT 89

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" CONSTRUCTION OF THEMES

CHARACTER AND MOOD

Ttl Econcept that music expresses something is generally accept~.

However, chess does not tell stories. Mathematics does not evoke emotions.Similarly, from the viewpoint of pure aesthetics, music does nol express the extra·musical.

But from the viewpoint of psychology, our capacity for mental and emotionalassociations is as unlimited as our capacity for repudiating them is limited. Thusevery ordinary object can provoke musical associations, and, conversely, music canevoke associations with cxlramus;cal objects.

Many composers have composed under the urge 10 express emotional associations.Moreover, programme music goes so far as to narrate entire stories with musicalsymbols. There also exist a great variety of 'characteristic pieces' expressing everyconceivable mood.

There are Nocturnes. &lIades, Funeral Marches, Ramanct's, Scenes from Childhood. Flower Pieces, No~cletles, etc., by Chopin and Schumann. There are Beethoven's£roica and Pastorale Symphonies; Berlioz's Roman Carnival; Tchaikovsky's Romeound lllliet; Strauss's Thus Spoke Zuralhuslra; Dcbussy's LA Mer; Sibelius's SM'on ofTuonda; and a mullitude of others. Finally, there are songs, choir music, oratorios,operas. melodramas, ballets and motion-picture music.

All these categories are intended to produce not only musical impressions, but alsoto provoke secondary effects: associations of a definite character.

The term character, applied to music, refers not only to the emotion which thepiece should produce and the mood in which it was composed, but also the manner inwhich it must be played. It is fallacious to think that the tempo indications determinecharacter. In classical music, at least, this is not true. There is not one adagio character. but hundreds; not one scherzo character, but thousands. An adagio is slow; anallegro is fast. This contribuies something, but not everything, to the expression of acharacter.

The type ofaccompaniment plays an important role in the establishment of character. No player could ell:press the character ofa march if the accompaniment were thatof a chorale; no one could play a restful adagio melody if the accompaniment werelike a torrent.

Old dance forms were characterized by certain rhythms in the accompaniment,which were also reflected in the melody. 'These rhythmic characteristics are the

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94 CONSTRUCTION OF THEMES CHARACTER AND MOOD "principal means of distinguishing a mazurka, for example, from a gavotte or a polka.But, in general, rhythmic features help to establish the mood and special characterof an individual piece, as well as to provide the structurally necessary internalcontrasts.

The concept of difference in character can be clarified by comparison of threemovements from Beethoven sonatas which are similar in that they express something'stormy' or 'passionate' (Op. 27/2-111; Op. 31/2-1; Op. 57-I). The differences incharacter manifest themselves not only in the thematic material of the openings, butalso in the nature of the continuations. Compare the respective subordinate themes:Op. 27/2-111, m. 21 ff.; Op. 31/2-1, m. 41 fr.; Op. 57-I, rn. 35 ff.

How little the tempo alone contributes to character will be realized if one comparesthese three with three others in rapid tempo: the Presto Agitato of Op. 27/2-111 withthe Allegro Vivace of Op. 31/1-1; or the Allegro of Op. 31/2-1 with the Allegro ofOp. 31/3-1; orthe Assai Allegro ofOp. 57-1 with the Presto alla Tedesca ofOp. 79-1.

But the changes of character within a single movement---even within its smallersections-are even more important. Apart from the strong contrast between principaland subordinate themes in Op. 57-I, there are many other contrasts. Note the suddenchange of texture in m. 24, its intensification in m. 28 IT., and its gradualliquidatioll,rn. 31 ff. How dramatic is the change of expression when 'dolce legato', m. 35,replaces the previous hard staccato of the left hand; and when the movement suddenly stops in m. 41. A new and even stronger contrast in texture (rn. 51) changes theentire aspect of the rest of this section.

This is not a singular case. All good music consists of many contrasting ideas. Anidea achieves distinctness and validity in contrast with others. Heraditus called contrast 'the principle of development'. Musical thinking is subject to the same dialecticas all other thinking.

Diffcrences of character may have an influence on the structure, but no particularcharacter can be said to demand a particular form. Though onc would scarcely writea waltz in the form of a symphony, Beethoven wrote the first movement of a sonata(Op. 54) 'In tempo d'un Menuetto'; and his Seventh Symphony, because of its charac·ter, is commonly called the 'Dance Symphony'. But, in general, light, graceful, simplemoods will not require complicated forms nor adventurous elaboration. On the otherhand, profound ideas, deeply moving emotions, heroic attitudes, require the boldcontrasts and thorough elaboration of more complex forms.

Descriptive music-such as programme music; stage, ballet and moving picturemusic; melodramas; and even songs-under pressure of strong and sudden contrasts,develops its forms in harmony with those emotions, events and actions which it issupposed to illustrate. III such cases the basic motive itself possesses a descriptivecharacter or mood as illustrated in Ex. 68.

In the second movement of Beethoven's Pastorale Symphony (Ex. 68a), the sound

of the murmuring brook is illustrated by the flowing movement of the accompani.ment. Ex. 68b, the Magic Fire Music from Wagner's Die Wa/kiire, expresses musicallythe flickering flames. With an equally rich movement, Smetana describes the sourceof the River Moldau (Ex. 68c). Bach's St. Malthew Passion is rich in illustrative passages. Among them, particularly striking because it appears in a recitative, is thedescription of the rending of the curtain (Ex. 68d). The swing of the weathervanc isdepicted in Schubert's The Weathervane, and characteristically enough, the trills inm. 4 and 5 represent its creaking (Ex. 68e).

In composing even the smallest exercises, the student should never fail to keep inmind a special character. A poem, a story, a play or a moving picture may provide thestimulus to express definite moods. The pieces which he composes should differ widely.Especially fruitful are differences in tempo, rhythm and metre. Such practice will helphim to acquire the capacity to produce the manifold types of contrast necessary forlarger forms.

96 CONSTRUCTION OF THEMES CHARACTER AND MOOD 97

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1I1usrrations from the literature

Each of the quotations from the vocal literature (Exs. 73-91) contradicts in somerespect the older limitations imposed on melody.

Among the examples from Schuberfs lVinterreire, Op. 89, the modulation in thefifth measure of Ex. 73a is unusually sudden and remOle. In Ex. 73b a leap of a tenthappears; and in Ex. 73c the 'Stormy Morning' is pictured so realistically and in suchrapid lempo that it becomes difficult to sing.

In Ex. 74a (Brahms) the range spans an eleventh within two mcasures; in Ex. 74ba syncopated rhythm almost obscures the phrasing; in Ex. 74c, 'The Forge', lhe illustration of the upswinging hammer precludes a natural legato and forces upon thevoice a staccato accentuation. But in Ex. 74d Brahms contradicts his own rule; 'Themelody of a song should be such that one could whistle it' (i.e. without accompaniment, without the support of an explanatory harmony). Try to whistle this melody!

Difficulties of intonation are also involved in Ex. 75 (Grieg), Ex. 76 (Wolf) andEx. 77 (Mahler). In the lattcr example not only the intervals and the rapid tempo,

minimal time to develop a full sound. Accordingly, rapid nOles, especially staccatos,and such notes as ask for a strong accentuation (sfOrz.:lli, etc.), are difficult, thoughthey are not beyond the ability of a virtuoso.

Support of intonation, through harmony, is almost indispensable, especially at thebeginning. Chromaticism, augmented intervals (or successiolls of them), and tones (ortone successions) which cannot be related to the harmony, especially if outside thetonality, offer difficulties.

Of course, not all the augmented or diminished intervals in Ex. 69, when accompanied by comprehensible harmony, are excessively difficult. But some, like e.f, m,If. 0, p, q, rand r are not easy. Sua::essjve leaps like those in Ex. 70, having a compassof a scvenlh or ninth, should be avoided.

Chromaticism is difficult partly because the natural scmi·tones differ in size fromIhe tempered (a fact which causes choirs to get off pitch '); but sparingly used it neednot be avoided. The dissonanccs in Exs. 7Ia-d, as circumscribing or embellishingnotes, can easily be understood. Such cases as those in Exs. 71e-g require highl)' developed technical skill, while those of Ex. 72 are difficult to justify.

Prior to the great changes which began in the first quarter of the nineteenth century.aestheticians could define melody in terms of beauly, expressiveness, simplicity,naturalness, tunefulness, singableness, unily, proportion and balance. But taking intoaccount the development of harmony and its influence on every concept of musicalaesthetics, it is obvious that earlier definitions of 'theme' and 'melody', 'melodious'and 'unmelodious', are no longer adequate.

99MELODY AND THEME

VOCAL MELODY

A melody could hardly indude un melodious elements; the concept of the melodiousis intimately related to the concept of singableness. The nature and technique of theprimordial musical instrument, the voice, determines what is singable. The concept ofthe melodious in instrumental melody has developed as a free adaptation from thevocal model.

Singabk'ness, in a more popularscnse, implies relatively long notes; smooth linkageof the registers; movement in waves, more stepwise than by leaps; avoidance of augmented and diminished intervals; adherence to the tonality and its most closelyrelated regions; employment of the natural intervals of a key; gradual modulalion;and a cautious use of dissonance.

Additional restrictions dcri\'e from the registers of the voice, and from Ihe difllculties of intonation (unless he po~sses a memory for absolute pilCh, the singer hasno yardstick whatever for inlonalion).

The highest register ofa voice is 'vulnerable'; its use is always a slrain on Ihe singer.To rcmain too long in it tires the voice. But used carefully, it really produces a climax,for which it should be reserved (a struclural consideration). The lowcst registcr isstronger than the middle register, but should not be overburdened with too muchdramatic expression. The middle register is nOI capable of extrcmc expression andoffers no great dynamic compass, but within thcsc limits it is the most convenientregister of every voice. And the registcrs differ nOl only in volumc, but also in colour(timbre). Sudden changes of register endanger the unity of tone quality, a difficultywhich, however, well-trained artists know how to overcomc. The voice needs a certa'n

XI

MELODY AND THEME

THE concenlmtion of the main idea in a single melodic line requires a speciall.indof balance and organization. only partlyexplicablc in lermsoftechniquc.lnslinclively,e~'cry music lover knows whal a melody is. hlSlinctively. also, one who has talent maybe able 10 write a melody withoul Il"Chnical advice. But such melodies seldom possessthe perfection of higher arl. Therefore some guidance. based on musicallilcralure. aswell as on historical, :u~Slhelic and tcchnical considerations, will be provided.

Instrumental melodies admit much more freedom in every respect than vocal. Butfreedom prospers best when under control. Accordingly, the restrictions of vocalmelody offer a sounder st::ming·poinl.

100 CONSTRUCTION OF THEMES MELODY AND THEME '0'but especially the passionate expression, makes the impression of an instrumental.rather than a vocal, melody.

Such trealment of lhe voice is largely attributable 10 Richard Wagncr who. fordramatic purposes, orten went beyond the limits orlhe voice. Observe, in the wonderful melody of Ex. 7!1u, how oftcn he uses lhe highest register in this explosive outburstof emotion; how suddenly hejumps to the lowest register: what difficult and dissonantinlcTV'.Ils are included within short phrases: how many syllables have 10~ pronouncedin this rapid tempo (x); and observe especially the cnding of this section (xx) witha leap of a ninth. Exs. 78b. c and d are historically interesting. since Wagner's greatcritical opponent, Eduard Hanslick. maliciously quoted them to ridicule Wagner's'melodious' voice writing.

No wonder that Dcbussy (Ex. 79) and Richard Strauss (Ex. SO). as followers of mostof Wagner's musico-dramatic principles. took advantage of this progress in writingfor the voice, progress in writing which did not turn out to enhance singability.

The Ilalian composers. renowned for their great understanding and respect for the.. oice. could not escape Wagner's influencc. The Italian singer's facility in rapidenunciation (even superior to that of the French and Spanish). and in pronouncingmany successive syllables. has always allowed Italian composers to write such rapidsmall notes as in Ex. 81. from Rossini's &rbero!&I·ille. By comparison. the examplesfrom German music, Mozart's Magic Flu/t' (Ex. 82). Beethoven's Fide/io (Ex. 83)and SchuberCs UnXl.'duld(Ex. 84). seem slow; and so does the French example fromAuber"s Fro DiOl'Olo (Ex. 85). But Verdi. in 0/1'1/0 (Ex. 86). surpasses these: latter invelocity. and surpasses Rossini in difficulty. by using a chromatic scale (x). and byintroducing a surprising change of metre (xx).

Melodic progressions. like those of Moussorgsky (Ex. 87). undoubtedly influencedby Oriental folk-music. in IUrn influenced Western melodic writing. Thcexample fromI)uccini (Ex. 88) is also folkloristic(pseudo-Chincse). Though Puceini was always progressive in his harmony. the extreme modernism or this example is exceptional.

On the other hand. in Ex. 89. the music of Tehaikovsky. a contemporary ofMoussorgsky. shows no relation to folklore. but rather to the average harmonicfecling of the epoch; it resembles music of the Norwegian. Gricg (EK. 75), more thanthat of his Russi:1n compatriots.

The examples from Bizet's Carmen (Ex. 90) and from songs by Schocnberg(EK. 91)arc based on extended tonality. The ear of the modern musician h3S grndu31ly acquircd the capacity to comprehend the most remote harmonies as coherent elementsof a tonality. To composers of the Wagnerian and post-Wagnerian epoch. the use ofsuch intervals ::l11d progressions as in Ex. 91. even in melodies. was as natural as theuse of scalewise movement or broken chords to their predecessors.

The preceding discussion has perhaps only clarified the limits of the melodious,but has 1I0t determined what is un melodious.

Imbalance. incoherence, inadequate integration with Ihe harmony or accompaniment, incongruity of phrasing and rhythm, arc criteria of the unmclodious. A musician of the nineties might have objected 10 Ex. SOb from Srrauss's Sa/ome, on thegrounds that the multitude of ino.:oherent rhythmic fealures produces imbalance, andmakes Ihe phrasing-which should contribute to underslanding-incomprehensible.Moreover. il would be dilJieulI to imagine with what harmony the melody of EK. 80acould be integrated.

But in works of the post-Wagnerian composers. the voice does not always ha\'e themain melody (an excuse-but only an excuse-for imbalance). Where so many features contradict the melodious. Ihe mlm of the ninelies would not be entirely wrongto callthcsc cases unmelodious. However. with the J)'lssage of time the concepts ha\'echanged considerably.

INSTttl,;MENTAL MELOllY

The freedom of instrumental melodies is also restricted by the technical limitationsof the vanous instruments. These limitations differ ill nature and degree, particularlywilh respect to the compass, from those of vocal music. Nevertheless, an instrumentalmelody should still be such that, ideally, it could be sung, if only by a voice of incredible capacity.

To the contemporary car the dirrerence betwetn inslrumental alld vocal melodiesin classical music does not seem "'ery greaL With slight changes the difference can becliminated. For instance. the leading subject of Beethoven's Rondo. Op. 2/2-IV. isdis~inctly pianistic. In Ell'.. 92 the brillianl arpeggio of Ihe first measure is simplified,which automaticallycliminates the large leap ofm. 2. The resuh is a perfectly singablemelody. Such adaptation to the requirements of the voice was often used in elassicaloperas. Sometimes, when the voice repc.1ted an instrumental melody from the prelude, the melody was simplified, as in Ex. 93; or embellished as in Ex. 94.

But even in the Beethoven piano sonatas there are many melodies which could besung by any singer. Sce. for example, the leading subjects ofOp. 2/2-11; Op. 7-IV;Op. 10/1-11; Op. 10/3-111; Op. 13-11, etc.

Many sections, in instrumental music. canllot be called melodies, though they maycontain nothing unmelod;ous. Some MC etude·like. e.g. Op. 7-IV. m. 64; Or. 10/2-1.m. 95 ff.; Op. 12-IV. the sem;-<:ontrapuntal section, m. 72-79. But others must beclassified as themes,l which, precisely defined. differ markedly from melodies in structure and tendency.

MELOllY VEKSUS THEME

The term theme is here used to ch3r3cterizc specific types of stru(;tures, of whichmany eKamples can be found in sonatas. symphonies. etc. Perhaps the mosl c1carcut

I This lem, is onc of the most mi ....Kd lern)s in the rnllSiCil! v....... b ... lary. 11 is applieJ w;tho...t Jiscri",i"ali"nto rmt,,>, JiffCTeR! slrucrul'CS.

102 CONSTRUCTION OF THEMES MELODY AND THEME 10)

among the Bt:cthoven piano sonatas aTC the leading subjects of Op. 53-I, Op. 57-I,Op. 27/2-111 and Op. Ill-I.

The clarification of both concepts will best be accomplished by a comparison ofmelody and theme.

Every succession of tones produces unrest, conflict, problems. Onc single tonc isnot problematic because the ear defines it as a tonic, a point of reposc. Every addedtone makes this determination questionable. Every musical form can be consideredas an attempt to treat this unrest either by halting or limiting it, or by solving theproblem. A melody re-establishes repose through balance. A theme solves the problem by carrying out its consequences. The unrest in a melody need not reach belowthe surface, while the problem of a theme may penetrate to the profoundest depths.

Since rhythmic characteristics arc less decisive in a melody, it could be called two~

dimensional, comprising chicAy interval and latcnt harmony. On the othcr hand, theimportance of rhythmic development makes the problem of the theme three-dimensional. (See, for example, Beethoven, Op. \0/1-1, Or. 27{2-III, Op. 14/2-1, Exs.95a, b.)

Thus a melody can be comrared to an 'apen;u', an 'aphorism', in its rapid advancefrom problem to solution. But a theme resembles rather a scientific hypothesis whichdoes not convince without a number of tests, without presentation of proof.

The melody also tends to achieve balance in the most direct way. It avoids intensifying the unrest; it supports comprehensibility by limitation, and facilitates luciditythrough subdivision; it extends itself rather by continuation than by elaboration ordevelopment. It uses slightly varied motive-forms, which achieve variety by presentingthe basic features in different situations. It remains within the closer harmonicrelationships.

All these restrictions and limitations produce that independence and se!f-determjnalion because of which a melody requires no addition, continuation or elaboration.

In contrast, a state of repose will scarcely be reached or attempted early in a theme;it will generally sharpen its problem (bringing it to a point) or deepen it. (Beethoven,Or. 53-I, Op. 57-I, Op. 31/1-1, Op. 31/2-1.)

Subdivision, often similar to that of a melody, may occur in a theme (Op. 90--1,Op.2/2-1). In a melody the separation is seldom definite, so as to offer an opening for,or a bridge to, a continuation. In themes remotely coherent segments are oftenjuxtaposed in a co-ordinate meaning, without connectives (Op. lX)-.I, Op. 14/2-1).Seldom is a theme extended by spinning a continuation for mere formal balance;rather, it leaps directly to remote developments of the basic motive (Op. 10/1-1, m.9, 17; Op. 7-1; Op. 31/2-1; Ex. 95c).

The formulation ofa theme assumes that there will follow 'adventures', 'predicaments', which ask for solution, for elaboration, for development, for contrast (theimplications arediseussed more fully in Chapter XX). The harmonyofa theme isorten

active, 'roving', unstable. Nevertheless, and in spite of remote harmonies, one willfind that even complex themes still move around a tonic, or a definite contrastingregion (Brahms, First Symphony-I; Piano Quartet, Op. 60-1: Beethoven, Op. 53-I).The organi7.3tion cannot be so loose that one might feel a lack of structure.

A rhe/lle is not at all independent and self-determined. On the contrary, it is strictlyhound to consequcnccs which have to be drawn, and without which it may appearinsignificant.

A /IIe/ody, classic or contemporary, tcnds toward regularity, simple repetitions andeven symmetry. Hcncc, it generally reveals distinct phrasing. Of course, the lengthof a singer's breath is no measure for the length of a phrase in an instrumentalmelody, but the number of measures in moderatc tempo is likely to be about the sameas in a vocal melody.

Theory must be stricter than reality. It is forced to generalize, and that means reduction on the one hand, exaggeration on tile other. This description necessarilyexaggerates the difference between mclody and theme. Hybrid forms exist. Sometimesa melody elaboratcs its rhythmical problems, or implies remote harmonies, or isstructurally complicated, or draws consequences, or is followed by development. Onthe other hand, many a theme contains melodic segments, or is based on the simpleconstruction of the period, or is treated as ifit were independent.

All the previous statements are of limited or relative validity. Time has not onlyproduced a development of the technical means, and widened the concept of themeand melody in creative minds; it has also changed our comprehension of music writtenin preceding epochs. In consequence of this development, nobody today wouldhesitate to consider the two themes from Beethoven's string quartets in Exs. 960 and bas melodies, although they are structurally instrumental themes. This impression isperhaps supported by the phrasing, which is that of a melody. But Ex. 96ccould neverhave failed to make the impression of a melody, although there is only a single symptom-singableness. All the other symptoms are missing-no section or phrase isrepeated; there is no distinct mOlive or motive-form; and the segments, m. 17-22,25-27 and 29-30 develop a figure (Which previously appeared in the viola, ffi. 13) ina manner which is usual in a theme rather Ihan a melody.

Exs. 97, 98, 99 and 100 show the tonal contour of a number of melodies. It wasmentioned previously that melodies proceed in waves, a fact which can readily beobserved here. The amplitude of these waves varies. A melody seldom moves long inolle direction. Though the student was advised to avoid repeating the culminationpoint, the climax, the graphs show that many a good melody does so. The student hadbeller not attempt it.

In the music of our predecessors, somewhat modified instrumental melodies(especially in operas and oratorios) were often used also for the singers. In those daysthe difference between vocal and instrumental melodies was not very great. It is

,.. CONSTRUCTION OF THEMESMELODY AND THEME ID'

greater today, partly because the ability of the singers has nOI developed as much asthe technique of instrumentalisls. Worse, the menIal capacity of singers to deal witha more modern kind of meJodie line is utterly inadequate 10 the requirements. Perhapsal no time has the gap between creation and penorm3oC'e been more discouraging.the difference between those who call1hcmscl~s 'artists' and those others who haveproved to be: crealOrs.

The melody is certainly a simpler formulation than the theme. Condensation doesnot admit 3 too detailed elaboration; concentration of the conlcnt in a single lineexcludes presentation of remole consequences. Nevertheless.lhis formulation permitsmuch more than the expression of popular ideas and commonplace feelings in a superficial manner. Aesthetically. as well as for sound re3sons of economy. there is nonobler contrast than 10 speak lightly of a greal grier.

Aus m~jn~n gross~n SchmerzenMach jch die kleinen tieder. ...

(Heine, Such d~r tieder)

So heroes belittle their wounds and their achievements-this is the modesty ofgreat men.

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106 CONSTRUCTION OF THEMES MELODY AND T1-lEME 101

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ADVICE FOR SELF·CRITICISM 117

XII

ADVICE FOR SELF-CRITICISM

THE preceding discussion of melody and theme is chiefly aesthetic, rather than technical. Technical advice: can be formulated more easily in the negative than in thepositive. The sense of melody enables one who has it to do the right thing at oncewithout the intervention of self.crilieism, but even a master may stray on 10 the WTongtrack. When such a deviation occurs, one has to discover where and why one erred.and which is the righllrack. And therefore, scJf·criticism is necessary to a composer,gifted or not.

The best tool of a musician is his ear. Therefore;

I. LISTEN'

Play or read harmony and melody separately several times. This sometimes prevents self.deception. Perhaps only onc orthese factors is poor, its shortcomings hiddenbehind the virtues of the other. If the harmonic progression is satisfactory thebeginner may easily overtook shortcomings in his melody. 1\ good melody should besmooth, fluent and balanced when it is played without accompaniment.

2. ANAL.YSE

Be conscious of the significant features of the basic motive. and determine whetherthey, or the less characteristic., are developed. There may be empty segments with noreal content......ithout significant melodic or rhythmic movement. even without harmonic change.

J. ELIMINATE NON-ESSENTlAL.S

Too much variation, loo much embellishment and figuration, excessively remotemotive-variations, loo abrupt a change of register, may contribute to imbalance.

4. AVOID MONOTONY

Too many repetitions of tones or melodic figures are annoying, if they do nOIexploit the advantage of a repetition--cmphasis. Watch especially the highest toneof the melody. The elimax normally appears toward the end, and can be repealed or

1 hery IQOd nlU5ici:Ul musl possess llle 'innc:r car', 3udilOry inlUgcry, tile e;,pacity of hc.lri"l mu* in;m3gin3tiun.

ucecded only with caution. Beware of too restrictro a compass, and avoid movingtoo long in one direction. Evaluate sensitively the endings of the phrases.

5. WATCII THE HASS LINE

The bass was previously described as a 'second melody'. This means that it is subject to somewhat the same requirements as the principal melody. Il should be rhythmically balanced, should avoid the monotony ofunneeessary repetitions, should havesome variety ofcontour. and should makc full use of invcrsions (especially ofscventhchords). Chromatic progression can be as melodically advantageous in the bass as inthe principal melody. Semi- and quasi-counterpoinl, such as can be secn in Exs. 44g,i.j. 48a and 58g. help to make the bass interesting.

ILLUSTRATIONS 01' SELF-CRITICISM

Ex. 105.1 a small tcrnary form with a number of allernative contrasting middlesections. can be used to show the application of some of these precepts.

In Ex. 1050 the break in continuity at the end oflhe second phrase (m. 4) seems toopronounced. The discontinuity is intensifiro by Ihe stepwise progression across thebar line. The addition of a conocctive chord (small notes) maintains the melodic andrhythmic flow and enhances the harmonic logic. Similarly. the half·notc in thc firsthalf of m. 8 is somewhat weak and empty. The small notes keep Ihe melody alivc 10Ihe end of the phrase.

More generally, one might point out Ihat the repeated notcs in the first eight measures are somewhat overdone, as are the parallel thirds in the last half. Of course.these features are intended to demonstrate in easily recognizable form the use of

motival characteristics.In Ex. lOSe the chromatic return to V at thc last moment is too crowded with rapid

harmonic change to balance: the preceding sparse harmonizatIon. Moreover. it wouldnot connect well with m. 13 of Ex. 1050.

The active movement in Ex. 105/ is hardly adequate 10 disguise the rather slatic

harmony.Ex. 105g. on Ihe other hand, is so filled witt remote and rapidly changing har

monies that it fails 10 balance: the preceding and following sections of Ex. 1050.

6. MAKE MANY SKETCHES

Change the method of variation frequently. Try each method sevcral times. Jointhe best sketches to produce others and improve them until the result is satisfact~ry.

To make sketches is a humble and unpretentious approach toward perfectIon.A beginner who is not too self·assured, who does not believe too firmly in his

, Ext. 101-1 afler Ch:Ipler Xltl, p. 126.


'infallibility', and who knows that he has not yet reached technical maturity, willconsider everything he writes as tentative. Later he will be able to base his compos·ing exclusively on his sense of form.

The student should frequently review the methods of motive variation. Methodicalvariation is no substitute for invention, but it may be stimulating, like the athlete's'warm-up',

7. WATCH THE HARMONY; WATCH THE ROOT PROGRESSIONS; WATCH THE

BASS LINE

PART II

SMALL FORMS

XIII

THE SMALL TERNARY FORM

(A_B-A')

A N overwhelming proportion of musical forms is structurally composed of threeparts. The third part is sometimes a true repetition (recapitulation) of the first, butoftener it is a more or less modified repetition. The second part is organized as acontrast.

This form may derive from the early 'Rondeau', in which interludes were insertedbetween repetitions of a refrain. Repetition satisfies the desire to hear again what waspleasing at first hearing, and simultaneously aids comprehension. A contrast, however, is useful to avoid the possibility of monotony.

Sections producing contrasts of various types and degrees are to be found in a greatmany forms: c.g. Small Ternary Form (formerly called Three-Part Song Form);larger ternary forms, such as Minuet or Scherzo; and Sonata or Symphony.

Contrast presupposes coherence. Incoherent contrast, though tolerated in 'descriptive' music, is intolerable in a well organized form. Contrasting sections, therefore,must utilize the same processeS by which motive-forms are connected in simplerformulations.

THE SMALL TERNARY FORM

The A·section of lhe A-D-A 1 form may be a sentence or a period, ending on r, V orHI (iii) in major; on i, Ill, V, or v in minor. The beginning, at least, should clearlyexpress the tonality, because of the contrast to follow.

The AI-section, the recapitulation, ends on the tonic if it completes an independentpiece. It is seldom an unchanged repetition. The final cadence generally differs fromthat of the first section. even if both lead to the same degree.

120 SMALL FORMS TilE SMALL TERNARY FORM 121

TIlE CONTRASTII'lG MIDDLE SECTION

Th(: most effective factor in a contrasting section is the h:lfmony. The A-sectionestablishes a Ionic; the 8-section contraposcs another region (one of the more dosdyrelated). This provides both contrast and coherence.

Further coherence is furnished by the metre, and by using forms orlhe basic motivewhich aTC not 100 remote from those orlhe A-section.

Further contrast CHn be achieved through the use of new variations of the basicmotive, or change in the order of previous motive-fonns.

Illustrations from 1111' li/c'f(11uft': Be('{!lOl'ell, piano sQnvfOs

The opening of the Adagio of Beethoven's Op. 2fL m. 1-16, reveals a structurefrom which a practice form can be abstracted. Its A-section, a period with a caesuraon V in m. 4. compriscscighl measures. The AI-section is conden~d to four measures(m. 13-16). The B-~tion is the simplest possible model of an effective eontr.lSI. 11comprises four measures. built from a two-measure phrase and a varied repetition ofit. This construction, two units, the second a more or less v3ried repetition of thefirst, possesses 3n obvious natural logic. The mere interchange of V and I in the IJ-seclion is a coherent contrasl to the inlerchange of I and V at the beginning. The pedalpoint on V, stationary in contrast to the moving bass of the A-section, suggests thecontra position of the dominant region to the ton;e region. Additional connectingelements are the dotted rhythm of the upbeat, the frequent use of the suspension andthe increasing sixteenth notes.

Op. 2/2-IV (m. 1-16) is another illustration of the practice form. The contnlstingmiddle section is again on a pedal. The repetition of the two-measure unit is a slightvariation.

In Op. 212-11 (m. 1-19), the two-measure unit of the B-scction (m. 9-12) is onlyslightly concealed by the imitation in the left hand. Otherwise, this case differs fromthe others only in the length ofthc recapitulation.

In all three, and in many of the following, the B-section ends on V, as an 'upbeatchord', and a small figure serves as a oonnective to the recapitulation.

In Op. 7-11 the B-section and the AI-section are longer than in the practice form.The length of the contrasting middle section is six measures (m. 9-14)_ This prolongation arises from a double repetition of its opening phrase, m. 9-10. Theomissionof onc of the three units would reduce it to the four measures of the practice form.Curiously enough, anyone of the three could equally well be omitled.

In the Rondo, Op. 2/2-IV, there is a second ternary form, the sections of whichagain deviate in length from the practice form. The A-section is ten measures, from therepeat mark in m. 57 to m. 66; the middle section is eight measures, m. 67-74. With

the exception of the cadence, the B-section C<)nsists of a series of imitations of a twomeasure unit. progressing along a circle of fourths.

The Rondo, Op. 7-IV. begins with the dominant harmony: the a-section, m. 9, canaccordingly begin with the tonic. The contour oflhe A-Stttion is essenlially a descending scale line, which provokes ascending scale lines in the continuation.

The contrasting middle section of Op. 14/2-11 consists again of a two-measure unitfollowed by a varied repetition. The relation to the A-section lies in the phrasing, whilethe contrast is emphasized by the legato style.

In Op. 26--1 each section is double the usual length, and the middle section is evenfurther extended. It consists of a sequcntilllly repeated two-measure unit (m. 17-18),followed by a cadence. !I. deceptivc progression (m. 24) produces the prolongation.

Op. 27fl-1I1. The 'con espressionc' of the Adagio movcment of this 'Sonata Quasiuna Fanlasia' is justified evcn by its construction. One might be inclined to questionthe coherentt of the syncopations in m. 13-16. The syncopations in m. 9 are obviouslya development of those in m. 6 and 7. But those in m. 13--16 presenl a special pianostylc, a variant of the morc usual form in which the harmony, not the melody, issyncopaled. This melodic outburst is not solely the result of exuberance. A greatcomposer's imagination is not exhausted when he reaches the vicinity of a cadence.On the contrary, it often slarts 10 bloom here, where lC5SCr composers are happy tohave arrived at a point where they can end. Ex. 101 illustrates that thcre was no formalnecessity for the prolongation; a slight change in measure 12 would have made itpossible to eliminate rn. 13-16 entirely.

Op. 28-11. The contrasting middle section comprises eight measures. dwelling 011

Ihe domil/OJl1. It oonsists of a pedal point on V, above which each reappearance ofV is introduced by H. The section is prolongcd by thc progressively condensed repetition of measure 12, and an unaccompanied connective.

Op. 31/1-111. The middle section (m. 9-16) consists of the four measure-segment,m. 9-12, which is strictly repeated. Here the contrasting section starts with a pedalpoint on the tonic, and ends also on the tonic. This somewhat unusual procedurederives from the fact that the A-section (m. 1-8) and the recapitulation (m. 17-24)stand upon dominanl pedal points. Thus the tonic offers sufficient contrast. Theusuall-V relation betwccn these two sections is reversed.

1/Iustralion:r!rom the literature: Hayd", Mo:art, Schuber,l

Haydn, Piano Sonata No. 35, Ex. 1020. The construction of the nine-measuremiddle section (m. 9-17) is interesting in that it consists of 2+4+2+ I. The openingtwo-measure phrase (m. 9-10) is repeated (m. I I), sequenccd (m. 12), varied (m. 13)and concluded with element 'b' (m. 14). The overlapping treatment prodoces a four-

, Most or thes.e examples were s.elected bec.1Us.e lhey differ, in all three sections, from lhe scheme: of thepraetice form, thus indic.atina the a~at variety which is J'l'OUiblc, even "'ithin I/J simpk a b.·"ic .tr..eture.

SMALL fORMS THE SMALL TERNARY FORM '"measure unit of cha;n·/ik(' cOllstruction. The repetition of the last two measures ofit (m. 15-16) emphasizes its cnd. M. 17 is an added connective.

Elt, 10M. The middle section begins (m, (1) with a stronger contrast than thedominant, thc flat mt:diant (pili). Aceordlllg to the principle of multiple meaning itis reinterpreted in m. 12 as III of the tonic minor. which then leads in m. 14to thecommon dominant of the tonic major and minor. The extcnsion of the .... -section andthe .... I·section by the addition of ffi. 8 9 and rn. 22-23 constitutes another differencefrom the practice form.

Ex. \Olc. The antecedent of the opening period (m. 1-12). becomes silt measureslong through repetitions of the motive-form 'b'. The alternative analysis, 'c', demonstrates the overlapping, chain.like, construction. The rccapituhllion (m. 17-22) isreduced to six measures. It uses chiefly the motive·form 'b', avoiding monotony byreorganization and by omitting the motive-form 'a', which was the exclusive materialof the middle section. I

Ex. !OM. The motival derivation of the rich ornamentation. which might seemarbitrary at first glance, is analysed and traced back to a few basic forms.

E,. I02e. The deceptive cadence in m. 8 of the ,,·section requires an added cadence:to the dominant, which extends the section to ten measures. The recapitulation, partly(m. 23-24) a free reconstruction, becomes nine measures through the developingrcpetition in m. 22. The contrasting middle section (m. 11-17) dwells on the dominantof the tonic minor. partly as a pedal point, A merc interchange of harmonies (I-V:tt-V) leads repeatedly to the dominant. In m. 13-17 the bass is omitted, on the supposition that the mind rctainsthe pedal point-pcrhapsbecause the upper three voicesexprcss the harmony definitely cnough. The extension to seven measures is the resultof the inserted measure 13 and the additions, m. 16 and 17.

Ex. 103, by Mozart, possesses the simplicity and imprcssiveness so necessary in atheme for variations. It demonstrates that suflicient variety can be produced by meansas simple as shining to other harmonies, changing the inten'als and extending thephrases to two mcasures. The elaboration through imitations. in the middle section,crcates an exa:llent contrast to the homophonic style of the rest.

Elt. 104, Schubert. The contrasting middlc section is noteworthy because it turnsin m. I1 to the submediant region (vi) and ends on itsV(tH of the tonic region), This.in turn. influcnces the curious hamlOny at the beginning of the recapitulation. m. 13(see cltplanation in Elts. 1Mb. cl.

COMMENT ON EX .... MPLES

Ex. 105 shows how ten different continuations can be derived from a single..tl-section, Though these a-sections begin on various degrees (V, i, v, H, iii, m, IV, iv,

, This example can ~lso be analysed as a baroque binary slruclure, in which lhe harmony moves from 110V in the fint halfand from V 10 1in the second; (he mOlivc·rorms are simibrly distributed in the two SC\:lion$.

vi). all but onc can be joined to thc original ....-section. ending on I. The basic phraseis a derivative of Ex. 21d,

Observe the various types of piano style :md the treatment of the motive of theaccompaniment (indicated by rn, n, 0, p). The features of the basic motive appearingin the .... -section (marked a, b, e. d) arc used subsequently, and combined with thoseof the motive of the accompaniment us logical connectives.

The upbeat chord at the end ofall these n-sections is V, sometimes postponed to thelast eighth or sixteenth.

In middle sections 1,3,7,8 and 9 the minor tonic and minor subdominant areeffectively contrasted with the ensuing return of the major in thc recapitulation.

The harmonic procedure is sufficiently analysed in the examples themselves. Thestudent should exploit, in like manner, all degrees, in order to expand his harmonicknowledge, evcn at the risk of overburdcning so small a form. 6y this means, he candevelop his harmonic resources and skill to meet the demands of larger and moreoomplelt forms.

THE UPBE .... T CHORD

The B-Stttion ends on a harmony whieh leads to the recapitulation. In classicalmusic this harmony is the dominant, because it reintroduces the tonic in its tonalitydefining sense. lis cffect in such cases is comparable to that of an upbeat to the subsequently accentuated downbeat. Because of this function. such chords will be called'upbeat chords', reg.udlcss of their rhythmic placement.

Other harmonies, and transformations of them, can also function as connectives.Ex. 106 shows examplcs of ii and iii (and their derivatives) used as upbeat harmonicsto I. In Exs, 107a, band l', the recapitulation does not begin on I. In such cases theupbeat chord must be chosen accordingly, In Elt. 107b the upbeat harmony is ~llI,

introducing the recnpitulation which begins on V. In Ex. 1070 the recapitulntionbegins on H, introduced by !JVI. Of course, if the first (WO harmonies of the re.capitulation wcre reversed. the ~VI could as logically introduce I (Ex. I07c).

THE REC .... PITU .. ATlON ( .... ')

The recapitulation may be an unchanged repetition. More frequently it is changed,modified or varied. Changes may be necessary to establish a definite ending, especiallyif the .... -Stttion ends on a degree other than I. Shortening (by elimination. reductionor condensation) may help to avoid monotony. Lengthening (by insertion, inter.polated rcpetitions. extension or addition) may create emphasis.

Modification of both melody and harmony may be necessary to accommodate suchchanges.

The principles of variation can be applied to all the elcmcnts of the .... -section, butwith moderation, so as not to conceal the presence of a repetition. Thus, the contour

'24 SMALL FORMS THE SMALL TERNARY FORM I2S

of the melody should not be entirc:iy changed. except at points where essential slrucIUral changes occur. Ornamental variation-breaking down longer notes through theuse of passing notes, circumscribing notes. tone repetitions, ctc.-ncc:d not change thecontour essentially. Excessive rhythmic changes or shifts of accent arc likely to preventrecognition.

Variation of the harmony will consisl 13rgcly of insertions :md substitutions. Theaccomp.1niment may be varied by making changes in the figuration, though suchchanges should be less (ilT-reaching than in the melody. Further variation can beproduced by contrapuntal or semi-colltrapuntlll methods: imitation. addition of acounter melody or the melodic elaboration of subordinate voices.

A changed cadcm..'C may require considemblc reformulation, or even completereconstruction.

In a small form, alterations should ~ u~d with discretion, maintaining a balancewilh preceding sections.

JlluSlratiOllS from ,I/f? literoture

Beethoven, Op. 2/1-11. The recapitulation of the initial ternary form is reduttdto four measurts. Only the first measure (m. Il) is preserved, an octa\·e higher. M. 14turns at once: 10 IV, in preparation for the cadence. Connected by the rhythm of theupbeat to m. I, which was omitted in approaching m. 13, m. 15 is a figuration of:1descending contour resembling m. 3 and 1.

Op. 2/2-11. The seven-measure recapitulation (m. 13-19) combints reduction(omitting m. 3-5) and elttension (by adding sequentially m. 15-16). M. 17 is anascending reformulation ofm. 6, through which the repetition ofm. 7-8 (in m. 18-19)occurs climactically an octave higher. The sequences and the ascending contour ofthis reconstruction lend emphasis to the upper voice, which was previously somewhat obscured by the competing bass voice:.

Op. 2/2-IV. The recapitulation of the first ternary fonn (m. 1-16) is reduced tofour measures (m. 13-16) by melodic and harmonic condensations. In the secondternary form (rn. 57-79), the recapitulation is reduced 10 live measures (m. 75-79).with a slight melodic variation.

Op. 7-11. The recapitulation (m. 15-24) is extended to ten measurts. This isachieved by sequences and other repetitions, condensations and the deceptive cadencein m. 20, which requires a second, enriched cadence.

Op. 7-IV. The recapitulation (m. 13-16) repeats only the second half of the period,slightly varying the piano style by the addition of octaves.

Op. 14/2-11. The recapitulation is reduced to four measures (m. 13---16), followed'"by a codetla-like addition in the form of an enriched cadencc.

Op. 26-1. The recapitulation (m. 27-34) repeats only the second half(m. 9-16) ofthe sixteen-measure period.

Op. 27/1, Adagio. The recapitulation (m. 17-24) rcpeats the entire A-section, withminor e1aborations of the piano style, and a cadence changed to lead to the tonic.

Op. 28-11. The recapitulation (m. 17-22) omits m. 3-5, and condenses m. 6-8 intotwo measures (m. 21-22), converting the cadence to lead 10 the tonic. This reductionis balanced by the insertion of two semi-sequential repetitions of m. 18.

Op. 31/1-111. The recapitulation (m. 17-24) is noteworthy because the main melodyis transferred to the tenor voice, while a quasi-melodically elaborated accompanimentis added in the right hand. I

E;<;. 102b. The recapitulation (m. 15-24) omits the first four measures of the A-St(;tion. This reduction is again balanced by extending the content of the second half ofthis period to ten measures. Thisextension is produced byrepetition ofm. 17,followedby a dramatic pause, thus adding two measures. After this interruption the cadentialmeasures follow, introduced by derivatives of the preceding figure. The last threemeasures are a mere tr::msposition of m. 8-10 to the tonic.

Ex. I02e. Discussion of the recapitulation appears on p. 122.Ex. IOU. In m. 13-17 of the recapitulalion only the em~Jlishmentsare varied.

The cadence, m. 18-20, replacing the half-cadence to V with a full cadence to I,naturally requires more change.

Ex. 100e. The recapitulation was discussed on p. 122.Ex. 104. The ~ginningof the recapitulation (m. 13) surprisingly makes use of the

augmcnted 615 chord (on tt) of the submediant region. Here it is treated as if it werea dominant seventh chord on IV, resolving to a diminished seventh chord derivedfrom V. In view of the preceding cadence to the dominanl of vi, it should probablyhe understood as in Exs. l04b and c.

The possibility that the recapitulation might begin on a different degree than thebeginning was mentioned on p. 123, and is illustrated in Exs. 1070. band c, inwhich the recapitulations begin, respectively, on H, V, and 16/4. Such cases are comparatively rare in the smalllernary form.

• Such a ~oK:c: is often miscalted a 'counterpoint'. Real counterpoinl is based on in..eraibk: combinations:but ,n homophonic music: one Il'll)K onen find$ lhe: semi-wnlrapunlal lochnique of providinl countermclodicl. repdition of imitati.-e fiauns. etc:., whid! Y'")1 the: accomJMnimcnt 10 lhe ......in voice. A Yef)I

enlilhtCflinl insancc is 8CIct~·s Stri"l QuJ.nct. Op. 1116, Adagio.

126 SMALL FORMS THE SMALL TERNARY FORM 127

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12. SMALL FORMS THE SMALL TERNARY FORM 129

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XIV

UNEVEN, IRREGULAR AND

ASYMMETRICAL CONSTRUCTIONv,",H',

SMALL FORMS

."

13'Ex. 107"l S.h6crl, Waltlu, 0,.1, No.n

J

l• M ANY of the previous illustrations from the literature demonstrate that a sentence

or period may consist of an uneven number of measures. Their construction. accordingly. may be asymmetrical or irregular. The uneven number of measures may becaused by the length of basic units (motives or phrases), the number of such units.or the combination of units of differing lengths.

There arc asymmetrical periods whkh arc divided in unequal parts, for instance4+6 (Exs. 450. 47a, 59b, c, I,). There are also s)'mmetrical pt:riods whose smallersegments are not di\'jsible by four. e.g. 3+3 (Ex. 51('): 5+5 (Ex. 44a; 114); or 6+6(Ex. I02c). Ex. 46t" (5+ 7) is an asymmetrical ~riod made up of uneven segments. butlike all the preceding illustrations comprises an even number of measures.

Sentences are more frequently composed of elements of differing lengths thanperiods. even if the 10lal number of measures is even. Ex. 57 is 4+5; Ex. 61c is also-I (2+2)+5 (I + I + I+2). Ex. 61d is 5+4. Ex. 59; is made up of fhe units lotallingseven measures (I +2+ I+ I+2).

In many cases the conslruction is complicated by the inclusion of internal repetilions, sequential or varied (Exs. 57, 59d. h. fIJIl, 61c); by stretching as in Exs. 44/ and4?t1, where a cadence that normally would occupy two measures is extended 10 three;or by additions after the cadence (Exs. 59c, 6Ol1). In Ex. 590. from Ihe standpoint ofmelodic construction, there could bea cadence ending in m. 8, or, following the cadential harmonics of m. 9, a close in Ill. 10 or 11. But all these earlier opporlunities areingeniously evadt:d, thus ell.tending the sentence to thirteen measures. Ex. fi)f isconstructed by internal repeltlions of dcments of differing lengths: 3(2+ 1)+3(2+ I)-1-4(2+2)+2+2.

The extraordinary Br;!hms example. Ex. 511'. is a period of si.'( measures. The antecedent and consequent (three measures long) each combine olle 3,14 and two 2/4measures. Nevertheless it is sY1l1melrieal and regular.

There exist forms which are built exclusively from phrases of an uneven length.For instance, the opening theme of the last movement of Brahms's Piano Quartet ing-minor is an A_H_A 1 form and consists of tell three-measure phr;lses. A phrase like(hese, consisting of six quarter-notcs, may be understood as resem bling onc mca~i\lrc

of 3/2, which demonstrates its n<lturalncss (Ex. IOSh). The same explanation applies

.....~.,~~._-_._--'

to Ex. 10Ka, from Beethoven's Harp Quartet, Op. 74 (si I",s';maginu( la OOllllla di 6 '8).and 10 Ex. 109 from the Scherzo of his Ninth Symphony (rilmo di Ir,. halTlIle). Therillllo di fr{' bot/ult', instead of connecting 1"0 units (2+ I or 1+2). reduces the fourmeasures of the ri/mo di qU(J(ro OOltutl.' to three (Ex. 110).

Irregular construction bcr:omes more frequent in the second half of the nineteenthcentury. Brahms and Mahler. under the innucnce of folk music. dC~'e1oped a feelingthat onco led 10 free rhythmic organization which does nOI correspond to the barlines (Ex. 1110, b). In extreme cases frequent changes of metre have been used to bringabout II degree of correspondence between phrase structure and bar lines (Ex. 112),

Thus it becomes evident Itlllt master composers freely inlroduce irregular or nonsymmetrical procedures as demanded by the musical idea or the struclure. Often suchprocedures conlribute nueney and sponlaneity. Uut lhey arc neither arbitrary norcasual. On the contrary, a high degree of skill and sensitivily arc necessary 10 achievethe necessary balance and proportion.

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UI\!EVEN. IRREGULAR ANO ASY:'H1FTRICAL CONSTRUCTION 139

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xv

THE MINUET

M INUET, scherzo, theme and variation, etc., appear as independent pieces. or asmiddle movements in cyclic forms such as the suite, symphony or sonata.

The only specific rhythmic feature of a minuet is the metre, 3j4 (or, rarely. 3/8).Striking rhythms. like those in scherzos or more modem dances, are seldom found.Bt:ethovcn marl.:s the Minuet orlhe First Symphony, d. = 108. and Ihat orlhe EighthSymphony, J = 126. Both tcmpi are extreme, even for Beethoven. Most of his otherminuets, and those of Mozart and Haydn. average about d. = 60-70, though somearc as slow as d. = 40-50. Accordingly, more small note values (eighths and sixteenths) appear in the minuet. and the harmony changes more frequently than in thescherzo. In other dance forms. the harmony often remains unchanged for a number ofmeasures; in the minuet the harmony seldom lasts longer than one or two measures,and often there are two or more harmonics within a measure,

The character of a minuet may range from the un pretentiously singable (e.g.Beethoven, Op. 31/3-111) to the stubbornly insistent (Molart. Symphony No. 40 ing~minor); but in general the character, like the tempo, is moderate.

As the minuet was the favoured dance of the COUTlS in the eighteenth century, itdid not call for so much accentuation of the rhythm as did the more popular dances.Accordingly, the conventional accompaniments (cr. Ex. 65) were probably nevermuch used. If some vestiges of them appear. they are generally stylized.

TilE fORM

The minuet is an A_B_A I form, quite similar to the small ternary form. A practiceform derived from it need not deviate from this A-B-A1• However, the fact that thelI·section must, because of the customary repetition marks (I : A: 'j: BAI: \0, follow firstthe A-section and then the AI-section, has to be taken into consideration. Ex. 113. byRach, is an illustration of the simple minuet, and corresponds quite closely to thepractice form.

Many minucts in the literature differ from the practice form, There are structuraldeviations in all the three parts: unequal length of phrascs; sequential or otherinternal repetitions; extensions (often provoked by deceptive progressions); orcodetlas added to the A-section and its recapitulation, Mozart and Haydn, especially,often insert episodes; and even co-ordinate ideas appear, sometimes only rudimen~

tary, but occasionally quite independent and firmly established,

The recapitulation is :.cldom shortened, and seldom reveals far-reaching changesof the melodic contour. It is usually linked with the D-scction by an upbeat chord.This upbeat chord (dominant, artificial dominant, etc.) is frequently reinforced bydwelling upon it, often over a pedal point. Sometimes a small connecti\!,' I:. 'lddcJ.

Jllwlratj(ms frQII/ ,h" lift'mfllrf!

Haydn and Mozarl built many themes ofminuctsofan uneven numbcrofmcasurcs.In Ex. 114 the A-section is a period of len measures (5+5). In the recapitulation it isrepeated without change, and a len-measure added section (oodclla) is bUIlt froma onc-measure rest and nine measures of conlent.

Haydn. String Quartet. Op. 76/2-111 (Ex. 115). The A-section of the Minucl consists of 5+6 me:lsures. but it might also be analysed as 4 I 4 ! J. This ambiguity is dueto the canonic imitation, which shifts the ending of the first segment to the fifthmeasure.

Although many movements in the classic literature combine the homophonic andthe contrapuntal technique, there is a fundamental difference between them. Thehomophonic-melodic treatment depends basically on development of a motive byvari:\tion. In contrast, the contrapuntal treatment does not vary the motive. but displays the possibilities of combination inherent in the basic theme or themes.

The Minuet in Mozart's String Quartet in A. K.V. 464 (Ex. 116), is a rare exampleof the real fusion of the two techniques. The three motives. A, Band C, can all be considered circumscriptions ofa fourth (see Ex. 117). The two principal subjects, Aand R,admit canonic imitations and inversions; they even appear simultaneously with theirinversions. Their combination appears in prime, octave and lower sixth. In measure59-60 the combination is inverted in the upper seventh, and Baccompanies Ain canonicimitation. In the contrasting middle section a sequence of B is accompanied by theinterval of a fourth, which (Ex. 117) can be derived from both Aand 0 by reduction.

Beside the display of contrapuntal values. onc finds also the usual varialion of basicmotives (m. 22-24); and there is even a codetta (m. 25--28).

Beethoven. Op. 2/1-111. The rather distantly related motive form in m. 11-12, andits repetition (m. 13-14) may be considered the consequence of many repctilions withinthe A-section. The sequential modulation in the contrasting middle section leads tothe subdominant with the previously mentioned motive-form (m. 20). In m. 2J :md24 it is reduced (liquidated) to three notes. which are then reassembled in a chain ofeighth notes moving to the dominant. The AI-section is a reformulation, omittingentirely the content of m. 3-4.

Op. 10/3-111. The contrasting middle section is built from a two-measure phrase(m. 17-18) which is a remote derivation from the A-section (sec Ex. 118). It makesfour appearances, moving in a circle of fifths (iii-vi-H-V). The structural reformulation of the AI-section does not involve the antecedent, which is merely a 'reinstru-

••

14JTHE MINUET

mentation' (m. 25-32). The consequent is lengthened by the insertion of a elimacticsequence introducing the cadenlial subdominant; its ending (m. 43) is approachedlhrough a number of passing harmonics. Several codettas conclude the Minuet.

Op. 22-HI. The trill-like segment (m. 9. 13) of the contrasling middle section canhe derived from the first three eighth-notes in the left h:lIld of m. 2, under the influenceofthesixtcenth-notes throughout the ,,-section. The phrase, m. 11-12, derives from thebeginning phrase, from which all of the A-section is derived (Ex. 119). The recapitulation, substantially unvaried, is concluded by several codeltas.

The contrasting middle sections of these three, and many other. minucts resemblethe elaboration (development, Durclifii/mmg) 10 be discul>scd under the Schen:o. Inthese. and in some movements not specifically called Minuets (Op. 7 Ill. Op. 27{2~

11), the chief charactcristic is lhe sequentml modulation. The cnd of the section isoften marked by dwelling on the dominant over a pcd:J1 point. The pedal point is arctarding device. It should be employed where the harmony must be prevenlt:d fromtoo rapid or too distant development. Usually the sustained note is in the bass. andthe upper voices carry out II progression from V tn V.

For the recapitulation (A 1-Sl.'Ction). the S.:lme principles discussed in the chapter onthe Small Ternary Form apply. Since Mozart, it has become almost a poillt d'/wlll/curnot to use an unvaried repetition, but io reformulate and reconstruct. Such a caseis the ro.·1inuet from Mozarfs String Quartet in A. K.V. 464, quoted in Ex. 116.

The preservation of the rhythmic features is so strong a motive relation that 11

allows far-reaching variations of lhe intervals and the contour without producingincohercnce. In Ex. 116 the reeapilulalion is quite obvious (m. 55) in spite of suchmelodic reconstruction.

TilE TRIO

Most of thc dance forms arc followcd by a trio. and il is usual afler the trio 10repeat thc original dance. As a maller of fact, the trio is nothing clse than a secondminuet (march, waltz., scher.£O; or-lIS in the suites of Bach-a second eourante.bouree or gavolle).

It is evident that this trio has to constitute a contrast. Onc assumes that there shouldalso be some thematic connexion. In former times lhe trio was either in the sametonality, or in the relation maggiore-minore (Ionic major-tonic minor), or vice versa.L'lter the contrast between relative major and minor was also used, as well as betweenother pairs of related keys.

The contrast in character might be. e.g. lyrical-rhythmical; melodious-contrapuntal; melodious------etude-like; grazioso-energieo; dolce-vivace; melancholygay; et cetera and vice versa.

Concerning the form, thcre m"y appear as many deviations in the trio as in theminuet itself: reductions, extensions, additional ideas, codettas, etc.

SMALL FORMS142

144 SMALL FORMS THE MINUET 145

MINUETS

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that lhe middle sectiou is more modulatory and mort: themalic. In ~ome cases, therej~ :1 ...pecial type of mm/It/Glory N/IItl"a.ltillg mitll/It- .I"(!cti/JII which <lpproaches theebb(lr:11 ion (f)ltrc"fli"f/III~)I of the Sonata Allegro.

TU E PRACTICE !'ORM

The modulalion must be organized 10 promote intelligibility. Therefore, it shouldproceed. not in one great leap, but gradually, according to a plan which provides ror

I The tern,.; 'elaboration' aoo Ourclifiilm,,'1: are uSl:d imen.:hangeably throughout this book to refer 10 rhetl'Chnique ooinMily called 'oJcvdopn",nl', and IQ the se<:lion~ of brger forms whi<:h rn"kc extensive use ofrhi~ leehnillltC. Schocnbcq~ rejecled the mnre usuallerm on lhe grounds thal lirlk dnelopmenl (in lhe sellSl:or b'.-owlh, maturation, evolurion) takes pklce in lhe malerial used. Mor;,'e·forms are adapted, varied, cxpanded, condensed. recombined anoJ carrie\! lhrn"sh variOlls kcys or rcgiom; bul they ",Idom grow orcvol,·c into a 'more malore Or aoJvanccd slale' (Ed.).

1~1THE SCll~K70

THE MODULATORY CONTRASTING MIIJDI.E SECTION

The main function of the B-section is to provide contrast. 1I is generally held thatthe B-scction ofa scherzo should be an cbboration (DllrchjUhrrmg). But in fact it oftenresembles the B-section or the minuet. while many minuets possess a modulaloryconlrast.

The A-section, over relatively stable harmony, exposes its moti"e·forms in variousa"pccts. In the modulatory middle section, changes of shape and even ofconstitutionoccur as this same matcrial passes through fluctualing. unstable harmonic situations.This freedom of structure and motive treatment does not imply that regularity, logicand balance can be ignored.

Again. it is advisable to become acquainted with this new type of contrast througha practice form, which, like all abstractions, dillers from reality, and replaces freedomwith guiding restrictions.

1'11£ A-sr.CTlnN

In principle. the A-section does not dilTer from the A-stttions which were previouslydiscus'iCd. Oftcn the theme is double Ihe usual number of me,1.sures on account of therapid lempo. For example. Ihc Scherzos of Op, '!ofl. Op. 2/3. Op. 28, and the SecondSymphony (Ex. 120e) begin with periods. The Scherzos of the Violin Sonata. Op. 30/2(Ex. 12(0), the String Quartet, Op. IRII (Ex. 12Ob), and thc Em;ra Symphony (Ex.I1lu) begin with sentences.

The character or the last of these has had great influence as Ihe model ror manysubsequent scherzos. Structurally (:IS the analysis in Ex. 121d shows) it is a cireum!>cription of the ascending tonic and the descending dominant (Exs. 1:!lb, c), Thisskelcton is clothed with auxiliaries and p.1.ssing notes. The relation between this themeand those or the first and fourth movemenls (Exs. 121<1, e) is strongevidellce in favourofthc concept of ,monothemalicism' in a cyclic work.

XVI

THE SCHERZO

The ;.cherzo is distinctly an instrumental piece. characterized by rhythmicalaccentu:Hions, and rapid tempo. The tempo prevents frequent change of the harmonics and remole variation of motive·forms.

With regard to structure, scherzos of the masters have only one thing in common:they arc lernary forms, They differ from smaller ternary forms and the minuet in

SCHERZO. according 10 Wcbsler. rnc:ms:I ·playful. humorous movcmCnI. commonlyin 3:4 measure. which. since Ikclnovcn. usually 1;.ll..e5 the place of the old minuet IIIa sonata or s}mphony', This is only partly correct. For IIlslance. Beethoven's $(:ptel.Op. 20. symphonic in its first and lasl movements. contains both a Minuet and a&herLo.

Any allempl to tldine the structure of the scherzo strictly will meet similar prob.lems. Bttthoven seldom us~ the title. Scherzo. if the movement. like that of theString Trio, Op. 913. is in minor. To this degree it is true that his scherzos may becalled playful. humorous, gay. DUI among eight scherzos from Brahms's chambermusK-. five arc in minor. lk.-etho\'cn calls 'Scherw' only two of the rapid middlemo\'cmcnts of his symphonies, Many such movcments in his sonatas and string quartets are only labelled Allegro, Vi\att, Presto, elC., probably bec;IUSC of de\'iations incharacter, form, mode, rhythm, tempo or metre. from the strict concept that he hadin mind. Among these movements can be found some in minor and some in metresother than 3/4. e,g. 318. 6/8, 6:4. 2/"1, 4/4. 214, etc. The structure of the R-section alsovaries considerably. Schubert's scherzos arc mostly in triple metre, but often in minor.In Brahms, Sehumann and Mendclssohn one finds many different metres.

With regard to character and mood. the restriction to the playful and humorous isnot factual. E\'en the tempo is not decisi\'c. lkcthoven's own metronome indic-.lIionsfor rapid middle movements range around d. = 100. which is his average scherzotempo. However, these middle movements. with only the rapid tempo in common.differ very widely in expressive qualities.

A survey of scherl.OS and other rapid middle movements of Beethoven, Schubert,Mendelssohn. Schumann. Chopin, l)mhm~.Tchaikovsky. Berlioz. Bruckner, Mahler,Reger, Debussy. Ravel, etc" reveals such characters as: vivacious, sparkling. brilliant,witty, enthusiastic, ecstatic, ardent, fiery, energetic, vchement, impassioned, dramatic,tragic, heroic, giganlcsquc, diabolical, grotesque.

152 SMALL FORMS THE SCHERZO III

returning to the tonic. It is alsoadvis.1blcto provide for repetitions ofc1earlydclimitedsegments. reasonable in length.

Harmonically. these segments should be built as patterns for sequences. Thematically, they should possess a certain degree of independence: the combination ofmotive-forms may resemble that in the antecedent of the period. or the middle sectionof the ternary form. But motive-forms from the A-SC("tion will have to be modified orlldapted to the modul:ltory procedure. The order may be changed, and some of theforms may be repeatcd within the segmcnt (c.g. "bIlC, ab.Co ahhc, (J(llIh. etc.). BeC:IUSC

of the modulation. rcmotely varied motive-form~ are dangerous,In the practice form the pattern is followed by a sequencc, It should begin on a

degrce related to thc cnding of the A-section. In Ex, 122 there arc twenty-fivc illustrations of pattern~ with ~eqllcnees. all derived from the "-section shown, They beginon various degrees. such as V. v, Ht, I. iii. bill. ii. iv, \11. etc. The patterns of Exs.12lb. (. and d l>cgin alike but continue differently. In a numl>cr of cases differentsequences are given for the same pallern. Variation of the sequence is illuslr:Hed inExs. 122£, s.I, 11. I', X and I'. Particularly notcworthy arc those in which the principalvoice shifts to a different "oil'C, sometimes using thc opport unities of double l"Ounterpoint.

In order to control the modulation. the IXlttern must be built so that the cnd of thelast sequence offers an opening for the return to an appropriate upbeat harmony.preparing for the recapitulation. For instance, the sixteenth measure of [KS. 1221 andIII are too remote to be neutralized through simple procedures.

The emphasis contributed by a sequence (a form of repetition) creates obligations,It is necessary to lleutralize these obligations in order to introduce the recapitulationin a manner at once 'surprising and expected'. as Becthoven expressed it.

This is accomplished by the technique of filll/ida/ioll, i.e. by gradually dcprivingthe motive-form!'> of their characteristic features and dissolving them into Ullcharactcristic forms. such as scales, broken chords, etc. A striking example is theScherl.O of Beethoven's Op. 26. After the sequcnce, the four-measure pallern is reduced to two (m. 25 26); after a varied repetition. it is further reduced to five notes(m. 28): to four notes (m. 29-30); to two notcs (m. 33 fr.): and to one note (rn. 41 If.).Observe that the upbe:1I harmony is reached at the l>cginning of the first reduction(m, 25) and continued through m. 44.

If, in the pr.tctice form. the end of the sequcnce does not connect readily with theupbeat harmony, further modulation is necess.1r)'. This can be accomplished throughadditional sequences. but in order to star! the liquidation. the plltlern should bereduced, ordinarily to half of the previous length.

In Ex. 122 various techniques of continuation after the first sequence arc illustrated.In Ex. l22a the reduced patlern is made simply by omitting the third and fourth measures of the origina I pallern. The contour of the pattern (m. 9-12) has been depreciated

into the inconspicuous form of a descending scale line. Such unpretentious forms asscale lines, broken chords, and thc like, are neutral enough to cancel the emphasis ofthe sequential process. M, 25-29 dwell on the dominant, with an ostinato-like treat~nt of residues.

The brackets in m. 21 ff. of Exs. 12lb, c and If indicate the reduction of the pre·ceding two-measure pallern to two notes.

The end of the liquidation is gcnerally marked by :1 combination of repose and~uspense: repose through cessation of the modulatory movement; suspense in anticipation of the re-cntrance of the theme. At this point, the retarding effect of a pedalpoint is appropriate; it keeps at least the b:tsS from progressing, As an inverted pedal,it can also be a sustained or repeated note ill anothcr voice, The pedal can be developed into a pedal figure (in Ex. 122[, m. 20-22. all three upper voices participate in~uch an ostinato-like formulation). In Ex. 122(/, m. 17-21, p:lrt of the modulation iscarried out similarly,

IIlus"m;o"s from ,11(' !iura/ufe

Most of the scherzos and schcrzo-like movements in classic music have in commononly onc feature,that the modulation is canied out at least in part by sequential treatment. The following are particularly worth study: Beethol't'n: Piano sonatas, Op.2/2,Op. 2/3, Op. 26. Op. 28: Septet, Op. 20; Symphonies I. 2,4.7,9: String Quartets.Op. 18/1, Op, 18/2, Op, 18/6; Bra/mlS: Sextets. Op. 18, Op. 36.

In some cases, the modulation is intenupted by an episode which seltles down fora time, often at a point harmonically remote (e.g, Op. 2,/2, Symphony 11), A rcmodu·lation follows, using residues or other derivatives.

As soon as the upbeat harmony is reached, further modulation or remodulatiollnecomes unnecessary, as in Op, 26, where the shortencd Segmenl already stands onthe upbeat harmony.

Op. 28, Scherzo. The contrasting middle section does not contain a real modulation, but merely passes through a numl>cr of harmonies with the aid of artificialdominants. E"en the upbeat chord is introduced in an unusual manner and in theImperfect form ofa 6jS chord. The adequacy of this contrast is based on the harmonicpeculiarities of the other sections and the trio, The ambiguity of the openingf~ (most,trongly felt after the b minor of the trio) requires a clear definition of the tonic, D.After several morc or less contradictory deviations, the tonality becomes firmlycstablished only at the end of the recapitulation. with the :Iid of several codettas.

Motivally, the construction of this middle section dcpends on the sustained D, E.1-";, G in the upper voice, each four measures long, like the initial F':.: and the octaveleaps in the bass. Below the!>C sustained notes, the bass, accompanied by upper thirds,proceeds chromatically from F'Jr 10 C'$;. The regularity of this procedure makes amotive-like impression.

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

154 SMALL FORMS THE SCHERZO 155

Symphony No. 1-111. Mcnucllo. Although this movement i~ called a minuet, thecontrasting middle section, in its scquclltialion and gradual Jiquid:lIion. resembles thepractice form of the s<;herzo middle section. In contrast. the ScherLO of SymphonyNo. 2 has little elaboration of this type.

Symphony No. 3, Scherzo. The fi~l Icn measures of the Durchjiihrtlll1!. ulili/.e themOlive-forms of m. 1-4 in a chromatic ascension to reach the SUI'lCTlonic. I-I<::r<:: thesecond element of the theme (rn. 7-141 is quoted. The last four measures (rn. 95 98)arc split off 3nd sequcnced, modulating 10 V of the mediant. which, curiously. isdwell upon for sixteen measures. as if it were the upbeat chord. Four measures of 0,.representing the dominant. substitute for an upbeat chord.

Symphony 0.4 Ill. The modulation is carried out by means of many sequencesof a four-measure p3l1ern. which is liquidatcd by reduction to two measures. onemeasure and finally to two-thirds of a measure.

Symphony 0.7-111. This movement is scherzo-like in character, tempo and DurchflihrunK. The modulation follows the circle of fifths from mediant major to subdomin:l.nL At this point one of those 'rccapitulations in the wrong key' occurs whichappe:l.r OCC:l.Sionally in Beethoven's later works.

String Quartet, Op. 18/1, Scherzo. A three-mC:l.Sure p:l.t1ern (in flat medi3nt) issequenced in tonic minor. A two-measure pattern (m. 17) followed by three sequencesleads to the dominant.

String Quartet, Op. 18/2. Schen;o. Thecontrast is chiefly harmonic. without elaboration of the b:l.sic motive.

String Quartet. Op. 18/6, Scherzo. The contrasting section remains substantiallyin the tonic region, but somewhat elaborates the basic motive.

Brahms, Sc,;tet, Op. 18, Scherzo. Hcre the contrast is not produced by sequences,but by fluently passing through tonic minor and flat submediant major regions. Thee1abomtiOtl is carried out exclusively with imitations of the leading motive.

Brahms, Sextet. Op. 36, Scherzo. The elaboration is organized in imitative scquences, distributed as a dialogue between upper and lower voices.

These illustrations show the inexhaustible diversity of construction. They also showthat there is such a wide latitude for the fantasy of the composer that only a trainedmind can control it. Hence, composition in the practice form must be supplementedwith analysis of master works.

Tilt: RECAPITULATION

Disregarding literal repetition, the recapitulation may be changed, modified, variedor reconstructed as described on p. 123.

Op. 2/3, Scherzo. The recapitulation is modified so that hoth antecedent and consequent end on the tonic.

Op. 26, Scherzo. The recapitulation is enriched by the addition ora counter melody

ill the right hand; the principal melody is lowered an octave, appearing in the lefthand. The written-out repetition, which was vllried in the A-section. by the additionof passing notes, is varied in Ihe r<X'apitulation by interchange of the voices (m. 5360), as in double counterpoint.

The AI·section of many scherzos differs from the A-section in including extensionsof the recapitulation, episodcs and addcd Codetl3S.

U.TF.NSIOr-:S. [1'ISODIoS AND c-ODETTAS

Extension is usually produced by repetition (often sequential) of an element. Insimple cases it is associated with a turn to.....ard the subdominant (e.g. Beethoven.Symphony No. I-Ill): in others a real modulation occurs. Motivally. ir it is not thesimple repetition of a segment (as in the Septet, Op. 20). it usually consists of adeveloping elaboration of preceding motive·forms.

Episodes interrupt the normal flow of a section. They dwell upon such progressiotlsas neither modulate nor produ~ a cadence. They often settle down in a more or lessremote contrasting region. especially if within a modulatory section. They often introduce small phrases. strangely foreign to the previously used moti\'c-forms (e.g. Op.2/2~1l1. m. 19 fT.. discussed below).

Codettas are primarily cadences. They serve as reaffirmations of the ending of asection. Harmonically. they may consist of the most rudimcntary C'"ddencc, V-I: orthey may be highly complex. MotivaUy, they may range rrom simple repetitions ofsmall e1emcnts to rather independent formulations. I

FUrlher i/luSlratiol/s from IIIe (itl:'rmure

Op. 2/2. Scherzo. An episode which is both motivally and harmonically remotebegins in m. 19. It is connected with the basic material merely by its upbeat. which isrelated to thc tone repetitions ofm. 3. The remoteness of the region makes a relativelylong and rapid remodulation ncccss;uy. A simple codelta at the end provides the fullcadence which was missing in the recapitulation proper.

Op. 2{3, Scherzo. The codeuas (m. 56-64) hint at the subdominant minor, andbecome plagal in the liquidated form, m. 61.

Op. 26, Scherzo. The recapitulation is extended with two slightly varied repetitionsof the last [wo-measure phrase (m. 59-60), and brought to a close with liquidatingreductions.

String Quartet, Op. 18/1, Scherzo. The AI-section consists of an extenjed re·capitulation (the extension is in m. 43-46), followed by an episode (rn. 51-63) builtfrom the clement which appears in m. 49-50. The first five measures of the recapitula-

, Usually, if more (han one eodelta appears. the 1~lcr ones are .hortene<l, often in the m~nner of aliquidation.

156 SMALL FORMS

tion arc again repeated (m. 64-68) and then liquidated into !tea1c lines (m. 70-78).A codetta, repeated and liquidated, concludes the movement.

String Quartet, Op_ 18/2, Scherzo. The AI-section contains an extended recapItulation. An enriched cadence starts in m. 21, within which. paradoxically, the cnd (m.27-30), looks like a transposition of the beginning. There follows a codelta of fourmeasures. motivally remote, which is repeated. inlerchanging the position of the partsas in multiple counterpoint. A smaller codeua (m. 38-39). repeated and liquidated,bring... the movement 10 all cnd.

String Quartet, Or. 1816. Scherzo. A codeHa begins in m. 30, featuring dO'iClyrelated motive-forms. After frequent repetitions, the rhythm is condensed to equaleighth-notes in m. 39. which are finally liquidated into scale line~ and brokenchords.

String Quartet, Op. 59/2, Allegretto. In m. 17 the harmony settles down in a waythat suggests the beginning ofan episode, allhough it Cdn also be interpreted as a kindof sequence of the preceding four measures. The !iCgment, m. 21-28, repeated in m.29-36 (where it overlaps the beginning of lhe r;,:capitul:llion. m. 36) 1>O~sesses theindependence of un episode, but functions here as a remodulation (Neapolitan triad,followed by V and I). The A-seclion ends on VII (the subtonic of e minor). Hence. therecapitulation is changed considerably and its ending rcaRirmed with added codClla...The last of these (m. 48--49), an augmentation ofm. 47, can be considered as a wriltenout ritard:mdo, such as performers conventionally supply to ma\..c th..: ending of apiece distinct.

String Quartet, Op. 74 (lIarp Quartet). Presto. In m. 17 a long episode in the Neapolitan region begins. Its partial repetition remodulate~. The recilpitulation (m. 37)quotes only three me:J.sures of the beginning. and continues with a liquidating formor m. 3 to another episode on a pedal G (m. 43). This is partly rCpe:lted on a pedal C(m. 51). A series of codettas follows, but the usual form of the cadence is avoided.One may venture lhe hypothesis that this is intentional to provide an opening. for thetransition (m. 423) which connects this movcmcnt with the last movement.

Symphonies Nos. 1.2 and 4 also exhibit extensions in the recapitulation. and eodct·us. The last codcua in the Scherzo of the Sccond Symphony is augmentcd. like aritardando.

Symphony No. 3, Scherzo. The recapitulation, besides an extension. has a verylong coda section (beginning in m. 115) comprising fifty-two meilsures, whichelaborates and liquidates two codetta-like segments.

Bra hms, Sextet, Op. 18. Sche17.o. In the recapitulation, the twelve measures or theA-section are e:dended to eightccn by stubbornly repeating a circumscribing figurewhile the harmony changes below it.

Brahms, Sextet, Op. 36, Scherzo. The subdominant navour of the A-section perhapsaccounts ror the deceptive use or a long ostinato around the G (I), and the false

••• ii ••••••••••••••• eaw

TltE SCHERZO 151

recapitulation beginning in m. 56 or 57. The real recapitulation (m. 69) is introducedby the very remote minor triad on F':-. It is concluded by three groups of codettas.

TUE COO A

In larger rorms even a considerable number of codCllas may not be sunkient tocounterbalance all the preceding harmonic movement. Though this is seldom the ca!iCin the scherzo nevertheless short coda sections arc onen found in classical scherzos.They consist ~f a number or codetlas or codetla-like segments, occasionally m~ulatory. but always returning to the tonic. Generally. the later ones are progresSivelyshortened. in a liquidating manner. even to the smallest rcsidues.

A more det3iled discussion will be found in Chapter XVIII.

TILE TRIO

The rdation between scherzo and trio is the sa.me as that between minuet and trio.In many cases, the repetilion of the schcr1.O follows a complete ending of the trio.

In other cases the recapitulation or the trio is liquidated into a transition, introducingall upbeat chord ror the repetition orthe scherzo (Op. 2/3; String Quartet, Op: 18/1;Fifth Symphony, m. 224-35). Often a little segment may be inse~ted between tno an~scherLO. In Op. 26 and the String Quartet, Op. 18/2. the motive or the scherzo tSreintroduced on modulatory harmony. A similar segment in Beetho\'en's SeventhSymphony (rn. 221-234) sounds like a lillle reminiscence of the trio. In the last twomeasures (m. 235-6) a transposition or lhe motive reintroduces F. .

The little segment in tonic minor in the String Quartet. Op. 18/6 (m. 65-68~ IS apeculiar way of producing a slight contrast between the trio and scherzo. both I~.8lJmajor. It is qucstionable whether this contrast or tonality is 3dequate. but recogllltlonof Ihe need for such contrast is important.

The Scherzo of Brahms's Second Sextet, Op. 36, presenlS an extraordinary exampleof medial ion between two apparently heterogeneous themes. In m. 227, twenty-fourmeasures before the repetition of the schcr'.lo in 2/4, it segment of eight measuresappears (Ex. 1230), whose foresentencc: is a reduction of the precedi~g measures,which conclude the recapitulation of the trio (Ex. 123b). The analYSIS shows thederivation of m. 5-8 from the trio melody; while m. 1-4 distinctly prepare for thefirst phrase orthe scherzo. Moreover, the construction of m. 1...-4, in twos and fours.may be considered a preparation for the return or 2/4. The pass.a~e ends in a writtenout rit3rdando, using the first notes of the ensuing scherzo.

Sl:herzo movements arc often enlarged to the dimensions of a rondo. In the StringQuartets. Op. 74 and Op. 95, and Symphonies 4 and 7, Beethoven interpolales thetrio twice. alternating with three appearances of Ihe scherzo. Schumann. in extensionof this idea. introduces two different trios (Piano Quintet. Op. 44).

'58 SMALL FORMS THE SCHERZO

EI.122

~ ~ n ~ " " " " " -

l~· 10',' ,i,

I.~~

tonic ",;no~'---'

, , , ,Liquidation;t<.duc<d S<quencc

Soh..". ~, b ' ~

l Zt:JI , '-.' ! , I !

.r /' f' I'

"~=I'=

'60 SMALL FORMS THE SCHERZO '61cl Rhboratlon 1. "

r Ilcdoccd to 1...0 not..

I, Rcdu""d paller. , Sequence

l!:pi.od.

\~ - ,- -

bl r;:laboratioft 2 f

leL...-:.----.J ~ d . I Scqu."co. ,

I~ht~~,nricd rep. or rn, 1~-16 I r .. ld...

162 SMALL FORMSTilE SCHERZO 163

~, I '---' '---' '--' ...-.e , ' ,P~lIu.. 8.'1......

11. 1#

Ir••lmul.'··...

'''''H:';'==''.~'$''~":"!l~l~· . ~~::~m .

P,non s.~..."".

• r;-i---, :14 --..n "...-;"18--.....

II)S.'1...... ? " ,,~ ?:t;I ~-=, m S.qu.....

PUle••

164 SMALL FORMS THE SCHERZO 16j

0) B&qu~~e~ 15 . If 1.1

l11 • .

11 Seque".e 20,~

_--m~~~~~

"

..

ele. • not l\(,tulllly ""'lueTIc.; part!< ;1""~r1,,,1

in~t..R<l

=.

..) Sequence 22 •,~

" ~"~..

melody .blfled 10 1~II.r Yolee

r) Sequence 18,

lI.

XVII

M lJSteAL terminology is oncn ambiguous. This is due primarily to the origin ofmoslof the terms: they are borrowed from other fields, such as poetry. architecture, painting and aesthetics. Terms like metre, symmetry, colour and balance are typical. Buteven worse is the use of single terms, like 'inversion', for several ditTcTCll! things.Onc speaks of the first or second 'inversion' ora triad; the 'inversion' or an interval;mirror-like 'inversion', vertical and horizontal; contrapuntal 'inversion', as in multiple counterpoint.

Similarly, the term 'variation' has a number of meanings, Variation creates themotive-forms for the construction of themes. It produces contrast in middle sections,and variety in repetitions. But in 'Theme and Variations' it is the structural principlefor a whole piece,

Production of an entire piece merely through the application of variation is annpproach to the logic of larger compositions,

As the name indicates, the piece consists ofa TfIEME and several VARIATIONS upon it.The number of variations is determined by whether it is a movement in a cyclic work,like Op. 26---1, Op, 14/2~1I. Op, 111-J1; or an independent piece like the 31 Variationsin c minor, orthe 33 Diabelli Variations, Op. 120, A middle movement in a cyclic workincludes a lesser number of variations. Often the piece is concluded by a coda, finaleor fugue. In other cases Ihe last variation is extended; and sometimes there is no~pccial ending after the last variation.

STRUCTURAL CONSTITUTION OF THE THEME

There are themes whieh facilitate, and others which impede, the production ofvariations. Variations are primarily repetitions, which would become intolerablewithout constant restimulation of the listener's interest. If the theme contains toomany and too interesting features, there remains little scope for the additions whicha simple theme readily permits,

Many classical variations are based on popular or folk melodies of the time. Butsuch variations as Bach's Goldberg Variations; Beethoven's Op. 35, and the 32 Variations; Brahms's String Quartet, Op, 67-IV and many others are based on the composer's own theme,

A simple theme will consist of closcly related motive-forms, in preference 10 distantones (Op. 14/2-11). Structurally. the theme should show definite subdivision and clear

THEME AND VARIATIONS

Ex.123ll~d:••, Sute! Op.J6·n

Scherzo, P".slo giocoS9

al ",,227 r-, ------~~~"''''~~~~~iI~Litr-=,~ ~ po , " r' ~~~-'='I=J=f".i'f=fPqFFqF!:"CD]) J • IJ J ~~:)m~.225_ ,,-.., ~ ) .

¥~~~tl~End or Trio Trio Themefm.221 f.)

166 SMALL FORMS

ll) ~equ<nc. 24 "'O~ 1:]~ ~,:~

~.

l -,~0

" ",t

-lil • ~

16' SMALL FORMS TfIEME AND VARIATIONS 169

by IwO or three. 8UI, in general. the proportions and structural relations of the parts,and the main features, are preserved. Of course. lhe viewpoint as to which constitulethe main features is subject toehange. Every variation should possess the same qualityof formal self-suffieiency and coherence as the lheme itselr.

lIIustrations/rom the liferatufl'

Beethoven, Diabclli Variations. A considerable number of the variations (2, 9, 11,12,14.18,28, for example) derive the motive of variation rrom more or less elaboratecircumscription of the princip:ll tones. Examples I24b. c flnd d show some of these

TIlE MOTIVE Of VARIATlOl"

In classical music every \'arialion shows a unity which surpasses that of the theme.It results from the systematic application of a moti"e of I'ar/alion, In higher formsthe moti,'e derives from the theme itselr,thus connecting all the variations intimale!ywith the theme.

In the practice form the motive should consist ora predetermined figure, modifiedno more than accommodation to the harmony and strueture requires(sec, for exam plc,the llrst eleven of the Varimions in c minor),

......,.,...-,.,.~-~--,•..~~-,.------..... .

PIlOOUCTlON Of TilE MOTIVE OF VAlUATION

In order to arrive al a suitable mOlive of variation. it is necessary to recognize theessentials of the theme. Simplification by omission of evcrything which can be considered subordinate (e.g. embellishments, grace notes, passing noles. suspensions,appoggiaturas. trills, runs, etc,) unveils the basic construction. In making this reduction the relation to the harmony must be taken into consideration (see Exs, 12411,1260). Thc simultaneous rhythmic simplification sometimes requires regularization.as in the last four measures of Ex. 124ft. where some reatures have to be shined toothcr beats. Since the viewpoint determining what fcatures :Ire essential is not necessarily uniform for all variations, there may be mon: than one usable ·skeleton'.

Since the motive or variation must be adaptable to the chosen 'skeleton', its natureand length will be limited by the number and distribution of the principal tones andharmonies. It will scara:ly be longer than two measures; in many cases it is a halfmeasure or even less,

Variafion around tile principal tones. In the motives for al least the first fewvariations, it is common practice to circumscribe the principal tones with neighbouring lanes. Often tones of the theme are included in parts of scale lines or brokenchords, Of course, such elements must fit the expressed harmony. The rhythmicorganization of the motive of variation has a great deal to do with its character. It isnormally maintained consistently throughout the variation .

• This tyIX of theme strucTure is charuCl~riled by two bala"Cl:d ~gm<nls. built from closely related butdifferentiated motive·forms. so that the sccon.J sectIon is in some re~pt'Cts a .0ntraS!, Generally the fir.tStgment ~nd$ on the dominant; the second ~lIins in the dominant (or other c1~ly rcl;'led) region, andcloses with a c:lde~ to l.

The diffcrence bel~n this structure and the small ternary form may con~i"l in the ab:ltnce of a realmotival contrast (11 Variatioll.' ill A); or in th~ absence of an ld~ntifiable rcpttition (14 V,,,,,,,iQIIS i" Dl.

phrasing. One usually finds binary or ternary forms. The Jl Variations in A. the 14Variations in D. and Op. 111-11, for example, are binary.1 Op. 14/2-11 and Op. 26-1are ternary. An exceptional ca~ is the p3ssacaglia-like theme, a sentence of eightmeasufCS, of the 32 Variations in c.

The harmony should be simple. and should not change too frequently or loo irregularly. See, for example, Beethoven's J5 Variations in Eb. Op. 35; Dia!Jelli Variations,Op. 120; /2 Variations in.A; 14 Variations in D; 6 Variations in G; 6 Easy Variationsin G. Except for the cadential segment, nonc of these themes contains more Ihan twoharmonies to a measure. In Op. 35 there is one harmony per measure; in the A Variations there 3fC two; and in the D and G Varialions there are three harmonies to twomeasures. But in the first eight measures of the Diabe/li Waltz. the harmony changesonly once. The use of mere interchange of I and V contributes to the simplicity ofmany of these themes,

The harmony of the 6 Variations in G, though simple, is characteristic, especiallybecause of the sequence in the middle section. The same procedure, among others,contributes to the memorability of the theme of Op. 26--1.

Even a master like Beethoven did not make many "ariations whcn the theme waslong or complicated as, for instance. in the 6 Variations in F. Op. 34; and perhaps alsoin Op. 14/2-11.

A unifying accompaniment facilitates variation, while one which changes too muchcan be a handicap. For this reason Beethoven. in the 9 Variations on a March 0/Dressier, makes no other change in the first variation than the substitution of aunifying accompaniment.

It is not easy to write a good original theme for variation. It may, therefore, beuseful to select a theme whose suitability has already been proved. in sets of variationsby such masters as Haydn, Mozart and Beethoven,

Rt:LATlON BETWEEN TIlEME Al"D VARIATIOl"S

The form originated. perhaps, in the custom of repeating a pleasant theme severaltimes. avoiding a decline of interest by inlroducing embellishments and other additions. This may be why the classic masters made it a point thal the theme should berecogni7.able in the variation.

Thus the course of events should not be changed, even if the character is changed;the number and order of the segments remains the same. Sometimes the metre ischanged, the tempo is changed or the number of measures is systematically multiplied

AI'I'UCATION AND ELABORATION OF TilE MOTtVr; OF VARIATION

The motive of variation must accommodate itself to every movement of the harmony (which itself is subject to variation), and must contain allthc principal tones ofthe theme. Variety within the variation requires appropriate elaboration of themotive. Additional elaborations are the consequences of such structural features ascadences, contrasts and subdivisions. This will rtSult in variation within the variation.

cases in relation to the skeleton of Ex. 124a. Observe the rhythmic displacement ofthe principal tones.

Beethoven. 32 Variations i" c millor, The figure in si.>:leenth-noles of the first threevariations is a combination ofa broken chord wilh lone repetitions. the latlcr derivedfrom the repe.1ted G of the first three measures of the theme. The rhythmieiution ofthe harmony in the first two variations also contributes to the motive of variation.Exs. 1250 and b show the derivation of the mOli\'cs of variation for Variations 4 and5. In Variation 5. note the exchanged positionsorC and £~. an exchange which occurselsewhere as well (sce Variations 7 and 9).

Brahms. /londel Variations. Brahms derives substantially all the mOlives for histwenty.five variations from the f(:aturtS of the theme. For instance, the motive of thefirst variation derives from the bass of the first measure, doubly diminished rhythmically. Its rhythmical complement furnishes th.e accompanimcnt figurc. The samethree notes in triplets form the motive for the second variation. The curious derivationof the motive in Variation 16 is shown in Exs. 127a andb.

IlIlIstmrionsfrom the literature

8ee:thoven, Dialwlli Variations. The contrast between th(: static harmony of m. 1~8

and 17-24 and the sequences of m. 9-12 and 25-28 requires great flexibility in th.emotives of,·ariation. As a consequent(:, many are very short. Elsewhere the motive isadapted. or further varied, where the more rapid harmonic change occurs (e.g.Variations 3, 7, 8,12,18,19 and 23). The sequences are varied in almost all the variations by substituting different progressions, often very far~reaching, as for instance: inVariation 5. Variation 20 is harmonically fantastic; even in the post-Wagnerian epochit would have Ixcn called 'modernistic'.

8ee:thoven, /5 Variations in Ep., Op, 35. The three variations preceding the entranceof the theme are built merely as contrapuntal additions to the bass. In Variation I(following the theme) the motive is modified greatly (m. S) in adaptation to the richermovement of the harmony. The motive of Variation 3 is compounded of two elements,lhe shifting of whieh deranges the phrasing. In m. 13 cven thc change of harmonyoccurs as an anticipation, on the weak beat. In many of these variations, which arewrittcn in a brilliant piano style, the specific formulation of thc motive is less obligatory. The preservation of the molUs admits rathcr remote changes. In Variation 4

11. SMALL FORMS THEME AND VARtATIONS 171

the ~!X1ecnth notes begin as scale lines; but in m. 9 Ihey arc changed to broken chords,and III m. 13 the system of arpcggi;lIion is again changed. Variation 7. a canon in theoctave_ is an illustr.Jtion of l3cethoven's Olympic wit.

There arc tw.o vari3tions in minor. Variation 14 in l'"~, de\iates from the originalharmony only III the use of somc transformations (espeCIally the Neapolitan sixlh).But the. othc~, Variatio~ 6. is extremely interesting. The theme. with insignificantadaptatIons. IS harmonl/.ed almost enurely in Co Only the 13st two ffil:3SUres rel.'Stabli:.h £;.

Beethoven, 11 VurillfiOIlS in c mil/or. Variation 5 of the 11llarimiolls is an exampleof development within a variation. The sixteenth· notes of the moti\'C of variation arean 'ccho' of the sixtccnth-notes of Variations 1-3. This rhythmic figure determines thecharacter of the variation. But the main feature, dJ in Ex. 125b, derives from thelheme's m. 7-11. as demonstrated in Ex. 125e. The dinmctic dcvelopment of m. 5-6 inlhe theme is carried oul here by a concentration, three forms of the motive squeezedlogether. Evcn more compressed are the imitative repetitions in m. 7-8.T~e el~boration of some motives admits various treatments. The method of using

olle Idea In several variations, in qu:tsi-contrapulltal inversion, occurs in Variations I,2 and 3. The relation is simil:tr between Variations 10 and 11: 20 and 21. This lalterpair is extended to a group of three by Variation 22, in which a'simplification of the~ripk~ figure is treated in canonic imitation. Variation~ IS and 16 are practicallyIdentIcal. except for a slight rhythmic change.. The interchange of major and minor is a striking source of harmonic variety. But itIS never carried OUI mechanically, by merely changing the key signature. For instance.in Variations 12. 13. 15 and 16, the t-W of m. 3-4 is replaC't'd by ¥-~-II. and theilpproach to the cadent(: is also modified.

In the third measure of Variations 3 and 29 Ihe I is replaced b)' a harmony whoseappearance in c is difficult to understand; it is best interpreted as a passing harmonyproduced by thc parallel movement of bass and soprano.

Brahms. Ham/cl Vtl,imiol/s, Op. 24. Brahms frequently produces new skeletons bychanging the viewpoint as to which are the main features and which are subordinate.This enables him, for instance. to consider m. 7 of Variation 3 as an upbeat to thecadential subdominant of m. 8. converting the I chord into the dominant of the subdominant. He similarly simplifies m. 5 and 6 by omission of passing harmonies. Thisreduction to principal content, howcver.admits the contrary treatment in Variation 1_the addition of passing harmonies (m. 6) required by the imitations in the main voice.

In Variation 2 Brahms ventures a rar-reaching structural change, which is thenapplied in Variations 5, II and 20, as welt. Half of m. I is rcpeated in m. 2 (Ex. 127c),which reduces the significance of m. 2 to that of a merc interpolation between m. Iand 3. Thus the sccond measure has been subordinated to the first to produce a twomeasure phrase.

SMALL FORMS THEME AND VARIATIONS 173

BUT NO MATTER HOW fAR-Rt:ACHING THE MODIFICATIONS WITHIN A VARIATION, TilE

PIANO STYLE REMAINS CONSISTENT.

Much of the harmonic variation in the Hamld Variations derives from the melodicprogression from the Bb of the first measure to the 0 in the third. Brahms convensthis into a harmonic progression by transplanting it to the bass as a root progression:tonic-mediant. Thus the mediant in the third measure in Variations 7, 9,11, 14and 19is utilized to lead to cadences on the dominant, or on the mediant (major or minor).In the minor variations (5, 6 and 13) the third measures stand on mediant major(Db), and the cadences lead to V, 111 and V. Among other intcresting harmonic v<lTiations, in Variation 4 the third measure is VI, and in Variation 17 it is IV (instead of Ior /11).

The twentieth variation is characterized by chromatic move men I in melody andbass. In lhc ninth "ariation, the B-sel:tion begins on the dominant (F); but the writtenout repetition begins on F~ (in the meaning of Gb), establishing the closely relatedregion of flat submediant major.

COUNTERI'OINT IN VARIATIONS

1n some respects all variations have a certain relation to counterpoint. if only tothe preliminary excrciscs: the five species-adding onc or more voices to a 'cantusfirmus·. In variations, the theme acts as eantus firmus; perhaps also the accelerationof the motus derives from this source.

But every sort of contrapuntal treatment may be found, and sometimes the entireorganization of a variation is based upon contrapuntal procedures. Structural changesmay be very far-reaching when. for instance, a fugue is built upon :.l derivative of thetheme.

J/{ustralionsfrom {he literature

Bcethovcn, 32 Variations in c millor. Most of lhe variations consist in adding one ormore voices to the basic scheme. The procedure, with respect to the bass, is similar tothe passacaglias of Bach and Brahms, and the ostinato finale of Brahms's Hay-dllVariations.

Of a higher order arc those variations which display combinative counterpoint.Free imitations appear in Variation 17; a canon in Variation 22. Variations 10 and11.20 and 21 are in double counterpoint at the octave.

Beethoven, Variations ill Eb, Op. 35. Variation 7 is canonic, and the set is concludedwith a FilialI' alia Fuga.

Beethoven, Diabefli Vllriations. Contrapuntal devices include: a fugue (V3riation32) and a fughclla (Variation 24), canonic imitation in Vari3tions 19 and 20, and freeimitation in many others, e.g. 4, 11, 14, 20and 30.

Brahms, lIandd Variations. The Finale is again a fugue. Variation 6 is 3 canon;

Variation 8 is based on double counterpoint at the octave. Quasi-contrapuntal pi31listicimitations contribute to thc cohcrenee within Variations 16, 18, 23 and 24.

From the viewpoint of contrapuntal artistry, Variations 4 and 8 of Brahms's Varialions on (/ Theme of Haydll, Op. 56n, arc of particular interest. Variation 4 consists ofdouble, or mther triple, counterpoint, invertible at the octave and twelfth. Variation 8contains a complex of mirror forms in multiple counterpoint.

SKETCIlI~G TilE VARIATIONS

III preparation for the composition of a set of variations, the theme should bethoroughly explored and the best openings for variations determined. After the themehas been reduced 10 its essentials, a large number of sketches, which explore a varietyof motives of variation, should be made. Even if many of them prove stitl' and awkward, or if an otherwise promising motive turns out to be unworkable, neverthelessthe composer acquires an intimate acquaintance with the theme, its possibilities, andlhe limitations it imposes. Often elements of differcnt sketches may be combined toprovide a striking and effective motive of variation.

From the many partial sketches the more promising m3Y then be selected f~r completion and polishing.

COMMENT ON EXAMI'LES 126

In Ex. 126(1 a skeleton is derived from Beethoven's Piano Sonala. Op. 79-111. IIIthis particular case little more than the simplified melody and the bass proves necessary. The following examples illustrate the application of a number of simple motivesof variation.

In Ex. 126b the melody notes arc circumscribed with appoggiaturasand interveningsixteenth-notes, which provide continuous movement. The bass is subjected only toa slight rhythmic change. In this somewhat primitive treatment the main notes alwaysappear at the same point in the figure.

Ex. 126c achieves more l1uency and variety by avoiding such mechanical reiteration; the main notes arc somewhat freely distributed, though they remain in the samehalf-measure. A simple figuration is applicd to the accompaniment. The variety inEx. I 26d, in which notes of various lengths are used, is evcn gre3ter.

In Ex. 126e the bass is treated as the melodic voice and thc upper elemellts becomethe accompaniment.

The accompaniment in Ex. I26d, I and g, is the object of considerable variationthrough rhythmic changes, use of inversions and harmonic enrichment.

Ex. 126g is carried out completely. The motive-forms are shifted and further variedin the region of the cadence. The rhythmic figure l1!..! evolves to maintain the motus,and the suspensions of the motive of variation arc split into separate eighths inm.6-7.

ORGANIZA,'ION 01' THE SET

A distinction is often made between formal variations and character variations.BUI there is no reason 10 suppose that a variation can he so formal as nOI 10 posses.....character. On the contrary, it is precisely the character which contributes variety.Every composer, in sketching motives for variation, will consider the necessity ofproviding sufficient contrast of character.

Such contrasts arc especially necessary if the piece. in traditional fashion. offers nogreater key contrast between variations than Ionic major-tonic minor (flllIggiorcm;flare). The Six Varim;OIIs. Op. 34. ofBeelhoven present a unique deviation from thisprinciple. While the theme is in F. the variations are in D, BiJ. G, tb. c, ,... There liTe

also great differences of tempo and character. The theme and first variation :Ireadagio; the second, 'allegro ma non troppo'; the third, allegretto; Ihe fourth, 'tempodi Menuello'; the firth, 'March: allegretto'; the sixth, allegretlo; followed by a codasection which returns to the adagio of the beginning. The contrast of character IS

further enhanced by altering Ihe metre: 2(4, 2/4. 6/8, 4(4. 3/4, 214, 6/8, 214.From the standpoint of aesthetics, there is no reason why the whole set should be

restricted to one tonic. The symphony and the sonata longagooutgrewthis restriction.Brahms increases variety by intermingling lyric variations with the more rhythmic

ones. In the lIandc1 Variations onc might tentatively characterize some of the variations as: lyric orcanlubile (5, 6 and 11); impassioned (9 and 20); rhythmic(7 and 8);Hungllrian (13); muselte-like (22). Nole the suggestive interpretive indications: legalo,staccato, risoluto, dolce, energico, grazioso, leggicro.

The most important principle of organization is variety. This does not predudegrouping two or three variations, without considerable change ofcharacter, especiallyifan ide'd is ciaborated in ~vcral steps. Since Beethoven, the genemltcndcncy has beenla build up toward a climax (in very long ~ts, a ~ries of climaxes). which may beemotional, rhythmic, dynamic, vdocitative or any combination of these.

Occasionally a short bridge or transition is inserted between v3riations (e.g. SixVarioliOllS, Op. 34, Variations 5-6). Generally, also, a coda or finale is added, which issometimes an outgrowth of. the last variation. Detailed discussion of techniques forsuch passages will be reserved for Chapter XVIII.

"5THEME AND VARIATIONS

VARIATIONS

•

Ex. t24a) 6«lh"e.., Di~".11i V.rtaUua,O, no

SMALL FORMS'7<

176 SMALL FORMS THEME AND VARIATIONS 177

~EI.I21

~I

THE PARTS OF tARGER FORMS 179

PART III

LARGE FORMS

XVIII

THE PARTS OF LARGER FORMS

(SUBSIDIARY FORMULATIONS)

LARGER forms may consist of larger paTls, or more parts, or both.Smaller parts may be expanded by means of internal repetitions, sequences, exten

sions, liquidations and broadening of connectives. The number of parts may beincreased by supplying codettas, episodes, etc. In such situations, derivatives of thebasic motive are formulated into new thematic units. Their structural function. however, is co-ordinate rather than contHlsting.

Large forms develop through the generating power of contrasts. There are innu·merable kinds of contrast; the larger the piece, the more types of contrast should bepresent to illuminate the main idea.

In the simpler forms the chief contrast is furnished by the harmony, organized toexpress appropriate related regions. In the scherzo the modulatory is presented inopposition to the stable. In larger forms a modulatory passage may be organized intoan independent section, the TRANSITION, which connects the main theme with anotherstable contrasting idea. the secondary or subordinate theme.

THE TRANSITION

The purpose ofa transition is not only to introduce a contrast; it is, itself, a contrast.It may begin, after the end of the main theme, with new thematic formulations; or theend of the main themc may be modified thematically and harmonically into a connecting segment.

A transition, especially if it is an independent section, belongs to the group of subsidiary ideas. Transitions appear at various places in larger forms; between principaland subordinate themes (modulating to a different region); as retransitions (returnin:;

10 the tonic); or, in the recapitulation, reformulated as a roundabout way from tonicto tonic.

The structure of a transition ordinarily includes four elements: establishment of thetransitional idea (through repetition, oftcn sequential); modulation (often in severalstages); liquidation of motival characteristics; and establishment of a suitable upbeatchord. These aspects may overlap in varying degrees.

THE TRANSITION WITH AN INDEPENDENT TlIEME

When a special transitional theme follows the main theme, it IS customarily different in structure from the preceding and following themes. The theme consists of ashort segment within which the constituent motive-forms arc only slightly varied.Shorl rhythmic figures lend themselves readily and nexibly to the processes ofmodulation and liquidation. After the initial statement, at least a partial repetitionestablishes the idea, after which modulation begins. Fluid change of region and promptelimination of characteristic features distinguish the transition from the stable themeswhich normally precede and follow it.

IlIustratiolls from Ihe literature

01'.2/2-1. The transition starts in m. 32, with a segment of four measures, builtfrom an inversion of m. 9-10 of the main theme. A partial repetition (a third higher)modulates 10 V of the dominant (m. 42). Over a pedal point the scale line is liquidatedby interrupting the desccnl twice. M. 42-57 dwell on the dominant. a fact whichfacilitates the conversion of E major (m. 39) into e minor (m. 58).

Or. 2/2-IV. The initial segment of the transition is built on a cadence (m. 17-20).above which a figure in sixteenths provides the motival content. In the continuationonly two measures are repeated (with a slight variation). followed by a turn towardthe dominant region, E (m. 24), the tonic of the following section.

Ol'. 2/3-1. The initial segment of the transition consists of four measures (m. 1316). Its repetition is modified to end on V (m. 21), around which the harmony dwellsfor six measures, still without any real modulation (the F# remains merely OTll:l

mental). The relation to the following subordinate theme is peculiar (sce p. 183).Op. 10/3-IV. This very short Rondo contains all the normal constituent parts in

miniature. The transition (m. 9), in spite of an internal repetition, consists of onlyseven measures, and leads merely to a V, without any real modulation.

01'. 7-IV. The transition starts (m. 17) with a motive, in the left hand, whidl previously appeared (m. 9) as the motive of the contrasting middle section of the maintheme. It settles down (m. 24) to an interchange of I and V of the dominant region.associated with the usual liquidation. Surprisingly, it ends (m. 36) with an enrichedcadence (starting in m. 30) to I of the dominant region. The cnding 011 I of thedominant region cannot here be convincingly explained as an overlap. It is beller

ISO LARGE FORMS THE PARTS OF LARGER FORMS 181

explained by the fact that an cnding on V would not have been a good introductionfor the following ¥f, an artificial dominant.

Op. 13-111. The initial segment of the transition (rn. 18-21) consists of little morethan a modulatory progression. A sequence-like repetition ends on I of the median!region, ovcrl3pping the beginning of the subordinate theme.

Op. 31/2··11. The initial segment of the transition consists of two phrases above aped:ll point on B~ (m. 18-21). In m. 22, the first phrase is repeated in such a variationthat its second measure can be understood as deriving rhythmically from the secondphrase. From this variant a litlle episode evolves, over a pedal point on V of thedominant region, which is liquidated in m. 27-30.

For additional examples of independent transitions, see also: Op. 10/1-[, m. 32;Op. 22-11, m. 13-18; Op. 90-1, m. 25.

TRANSITIONS EVOLVING FROM THE PREVIOUS THEME

Technically, it makes no essential difference whether the process of modulationand liquidation is applied to a special theme, or to elements of the main theme. Sometimes the modulation starts promptly and the transitional character is pronounced.[n other cases almost the entire main theme is repeated and transitional features arepostponed to the last measures. These instances make the impression of varied repetitions, the transitional techniques at the end growing out of the variation.


Op. 2/1-1. A transposition orthe beginning of the main theme (m. 9) initiates themodulation. Liquidation begins immediately. while the harmony moves sequentiallyto V of the mediant region (relative major), which, at the third approach, becomesa pedal point below the subordinate theme.

Op. 2/3-IV. A direct quotation of the first four measures of the main theme isdiverted harmonically by the introduction of DU: in its final chord. The last two measures arc sequenced and then liquidated by the chain-like linkage of residues in adescending scale line, leading to V of the dominant region.

Op. 14/1-1. A quotation of the beginning (m. 13) is diverted through chromaticprogrcssiol1s to V of the dominant (m. 17), which is firmly established over a pedalpoint.

The previous three examples grew out of the beginning of the main theme. The nexttwo m,.ke use of its ending.

Op. 13-1. After an introduction, the principal theme appears in m. 11. It ends onthe dominant in m. 35, with a quarter-note figure related to the initial figure. Thisfigure-the 'tail' of the themc-is picked up and used quasi-sequclltiatly (m. 39) tolead to Vofthe relative major. (Oddly, the subordinate theme lies in eO, instead of theexpected Eb.)

Op. 31/1-111. [n each of its mnny repetitions the main theme ends with a twicerepeated figure (cr. m. 15--16,31-32). This figure (m. 33) supplies all the material forthe transition. Observe the reduction to its upbeat (m. 36), which, in chain linkage,provides the liquidation.

Op. 7-1. Here the opening motive is joined (m. 25--28) with a rhythmically newmotive-form (m. 27) to move rather abruptly to V of the dominant region (m. 35).

In some instances, instead of fragments of the main theme reorganized to producea distant formulation. the principal theme is repeated substantially in its entirety, butadapted to modulatory harmony.

Op. 53-I. A slightly varied repetition of the beginning appears in m. 14. The continuation in m. 18 is transposed up a third, as compared to the original statement inm. 5. An inserted measure (22) on the augmented sixth ehord leads to V of E. Theensuing passage work is considerably extended by way of liquidation. Thus everyelement of the main theme appears in the transitional section.

Op. 57-1. In m. 17 a varied repetition of the beginning occurs. The long notes of theoriginal formulation arc subdivided into an alternating chord pattern, the insertionof which stretches the content of the first four measures to six. A varied repetition ofthe last phrase (m. 23) is diverted to the dominant of a~ minor. The ensuing measuresof liquidation permit the ear to accept it as the dominant of A~ major at the entryof the subordinate theme (m. 36).

The modification, reduction or omission of the transition in the recapitulationsection are discussed on pp. 193-5.

THE RETRANSITION

In rondos, the return from the subordinate theme to the principal theme. and insonatas, the return to the beginning after the exposition, arc generally so simple thatno special segment is necessary. Nevertheless, there are occasionally small connectingsegments, which act as both 'bridges' and 'spacers'. Sce. for e:.;:ample, Op. 2/2-IV,m. 39-41. or m. 95-100; Op. 7-IV, m. 48-49, and m. 89-93.

Functionally and psychologically more important are the retransitions after modulatory contrasts and Durchfiihrungen. Since the actual remodulation usually takes placeas a part of the preceding modulatory section, the retransition proper starts on theupbeat harmony, and generally consists of little more than liquidation of the motivalresidues. The motive material often derives from subsidiary themes; sometimes refer.ellces to features of the principal theme forecast its return.

lllustrations/rom the literature

Op. Z/2-1, m. 210-24, and Op. lOll-I, ffi. 158-67, exhibit little more thanliquidating devices around the dominant harmony.

In Op. 28-1, m. 257-68 the retransition carries out a real modulation, using motive

182 LARGE FORMS THE PARTS OF LARGER FORMS 183

material from the closing theme. The DlIrdifUhrung proper comes to a close on a Vof the submediant which is affirmed over a pedal point for thirty-eight measures.By contrast the rcal dominant is maintained for only two measures (m. 267-8).

Op. 7-1 is even more extraordinary (if not unique). Remodulation plus retransitionherc takes place in two measures (m. 187-8), and, moreover. after dwelling for a timein the cxceedingly remote regions of Q minor and d minor.

Op. 2/1-1. The retransition (m. 93) differs from the first two cxamples only withrespect to the motive material which clearly anticipates the second measure of theprincipal theme.

Op. 31/1-l.ln m. 170 the syncop.1led rhythm in the right hand is a hint at one orlhechief features of the theme.

Op. 90-1. A sixteenth-note figure appears on the second beat of m. 130 which, inm. 133, is augmented to longer note values. After se\'cral additional rhythmic metamor·phoses, it turns out to be a preparation for the first three notes of the theme (m. 144).

Op. 53-I, m. 146. The sixteenth-note figure from m. J, over an ostinato, serves asa preparation for the corresponding measure of the recapitulation.

Eroica Symphony-I. The retransition is a very dramatic case. It starts in m. 366,on the submediant of the tonic minor (tJVI), with the motive-form of m. 5, which issoon liquidated and reduced to a single repeated tone. It is concluded with the famousentrance of the horn, which presents the tonic form of the main theme accompaniedby the suslained dominant harmony. Wagner, who was probably right, considered ita misprint, and had the horn play in B') instead of E).

Op. 13-1. The dominant is reached in m. 167 and remains as a pedal in the left handupto m. 187. The frequent dynamicchangc:s and.fjorzQlihelp to make this retransitionthe dramatic climax of the whole movement. The phrases in m. 171-4 and 179-81are easily recognizable anticipations of the main theme, to which the eighth-notefigure beginning in m. 187 is also related. The eight-measure passage, m. 187-94,functions bolh as a liquidation of the stormy climax and as a connective 10 thebeginning of the recapitulation.

Op. 10/J-IV. The entire retransition derives from the principal theme, beginningwith a quotation of the opening (m. 46). which. were it not in 'the wrong key', couldbe mistaken for the recapitulation. It leads to the dominant region, using harmonyfrom the tonic minor. and is followed by a liquidating passage (m. 50), derived fromm. 3 of the theme.

Op. 22-IV. The C-section of this rondo ends in the tonic minor (m. 103). Furthermodulation would not harmonically be necessary. But perhaps a contrast was necessary because much of the preceding section was in or around bp minor. This is provided by a turn to a rather remote region (m. 105) and a subsequent remodulation.The thematic material of these measures is practically a transposition of the mainmotive, which is neutralized in the continuation.

THE GROUP OF SUBORDINATI, TIlo.1ES

Subordinate themes may have originated as condensations and stabiJizations withina contrasting modulatory movement. At first liule more than episodes. they laterdeveloped into definite subsidiary se<:tions, establishing and cnding in a related key,e.g. dominant or relative major.

Ideally, subordinate themes are derh'atives of lhe basic motive, even though theconnexion may not be readily visible. Contrast in mood, character, dynamics,rhythm, harmony, motive-forms and construction should distinguish main themesfrom subordinate, and subordinate themes from each other.

Aesthetically, the most important type of contrast is that of construction, since itis evidence ofsubordination. Repetitions within the main themeenhallC% memorabilityand, through variation. PREPARE FOR development and elaboration. In subordinatethemes mere repetition and juxtaposition often REPLACE development and elaboration.

Thus there are frequently a number of distinct formulations, each established andthen abandoned to make way for the next-the GROUP of subordinate themes.

JIIustratwns from the literature

Op. 2/1-1. In m. 21-25, a phrase appears three times. It is followed by a little segment jUJI.taposed in m. 26 and partially repeated in m. 31-32. In m. 33, a new concluding segment is again juxtaposed and, in turn, repeated. Codettas begin in m. 41.

Cp. 212-1. Here the group of subordinate themes is similarly organized. The littlesegment in m. 59-62 is twice sequentialJy repeated. In m. 70 a two-measure segmentderived from the end of the previous pattern is stated and also sequenced twice. Inm. 76 derivatives of the principal theme are juxtaposed without any connective.A cadential segment (m. 84) and ils repetition bring the subordinate section to a dosein m. 92. Codeltas follow.

Op. 2/2-rv. A two-measure phrase (m. 27-28) is repeated and, after a partialsecond repetition, liquidated by means of sequential and other repetitions of a differing segm~nt (m_ 32-39).

Op. 2/3-1. The first subordinate theme (m. 27) slarts in the region of minor v, introduced by substilution for the preceding dominant of C. This relation to the transitionis a peculiar case. paralleled by the first movement of the String Quartet, Op. 1815(m. 25), but scarcely to be found in Beethoven's later works.

A six-measure segment (m. 27-32) is repeated quasi.scquentially (m. 33-38).A different two-measure segment (m. 39-40) is juxtaposed, repeated and reduced totwo one-measure variants (m. 43-44). A two-measure connective introduces another,more lyrical theme (m. 47-61), which makes interesting use of imitations and exchangebetween voices in the manner of double counterpoint. Other distinct formulationsappear in m. 61, 69, 73. Codettas follow.

1S4 LARGE FORMS THE PARTS OF LARGER FORMS IS'01'. IOj3-IV. The insignificance of the content (it is liule more than a chromatic

scale line up and down) emphasizes the subordinateness of this theme. The twomeasure phrase (rn. 17-18), a rhythmicized chromatic ~le. is followed by a dCSl:end·ing variation which is distinguished by deviations and deflections. A second repetitionof the origin:ll phrase leads directly to the upbeat harmony.

Op. 13-11I. A four-measure phrase (rn. 25-28) is followed by a varied repetition(rn. 29-33). A triplet figure in m. :n leads 10 a cadence in m. 37. An imitative episodeon the same figure is liquidated and again brought to a cadence in m. 43, Anothersharply contrasted segment (rn. 44) with a varied repetition gives way to a recur·rence (rn. 51) of the triplet figure, which in turn gives way to a remodulation.

Op. 14/1-111. The entire subordinate theme comprises eight measures (m. 22-29),a four-measure segment and its repetition.

It is evident that great diversity as to length and complexity may occur, even withinthe style of a single composer. The evidence suggests, if generalization can be made,a 'looser' construction, depending on immediate repetition of relatively short segments, joined to others by mere juxtaposition; and a lesser degree of internal development.

TIlE 'LYRIC THEME'

Under the influence of Schubert, theorists began to call the subordinate themeGesangsthema, or 'lyric theme'. This was a mistake, for there exist many subordinatethemes which are not lyric at all. But this nomenclature had a curious influence onthe minds of composers, suggesting the creation of longer and longer lyric melodies.The lyric, or singable, character is the result of a loose construction intimately related10 that of popular music. The 'looseness' consists in disregarding almost all featuresexcc:pt the rhythmic ones, thus neglecting the profounder implications, and providingrichness of content through the multiplication of themes.

Ofcourse, lyric subordinate themes appear in the worksof predecessorsofSchubert,because they form one of the potential contrasts. See, for instance, Mozart, Symphonyin g, K.V. 550-1, m. 44; String Quartet in F, K.V. 5lX)..I, m. 31; Beethoven, PianoSonatas,Op. 10fl-I, m. 56; Op. 13-1, m. 51 If.; Op. 31/1-1, m. 66 fT.; Op. 53-I, m.35; Op. 57-I, m. 36; Siring Quartet, Op. 18f4-l, m. 34.

Typical examples from Schubert include: Piano Sonata, Op. 143-1, m. 60 fT.;Sonata in e, op. posth.-J, m.40; String Quartet in d-I, m. 61; String Quartet, Op. 163I, m. 60 and IV, m. 46; Piano Trio in Bp, Op. 99-1; Piano Trio in EI1, Op. 100-1.

Typical examples from Brahms: String Quartel, Op. 5112-1, m. 46; String Quintet,Op. 111-1, m. 26; Second Symphony-I, at 'C'; Third Symphony-I, fourteen measuresafter 'B',

Among lhese examples the popular touch can readily be observed. Unified by :l

persistent rhylhm, the inlervals change freely. In Beethoven's Fifth Symphony-I, m.

63-93, lhere is continuous movement in quarler-notes which persists for thirty-onemeasures. The firsl phrase (four measures) is repeated twice wilhout structural change,and followed by two more four-measure phrases plus liquidation. The simple construction is self-evident.

The piano does not lend ilselfreadily to the song-like. Accordingly the lyric qualityis not so obvious in a piano theme as, for instance, in :l theme for strings. In the previously mentioned illustrations from the Beethoven sonatas, one finds that the contrast is produced by multiple repetition, unvaried or slightly varied, of relatil,-ely longphrases. In Op. 13-1, an eight-measure theme (m. 51) appears three times. Op. 31/1-1presents a four-measure phrase (in mediant major, m. 66) in which a syncopatedrhythm appears three times. This phrase is repeated twice with slight variations, thesc<:ond time in mediant minor.

In Op. 53-I, the lyric character ('dolce e mollo legato', m. 35) is clear in spite of thepiano style. Substantially the same rhythmic pattern appears seven times. In Op. 57-I,m. 36 If., within each of the three rhythmically identical appearances of the twomeasure phrase, the rhythmic motive itself appears three times. The lyric characterof this theme becomes particularly evident if one compares it with the 'agitato' sectionfollowing (m. 51 ff.).

THE CODA

Since many movements have no oodas, it is evident that the coda must be con·sidered as an extrinsic addition. The assumption that it setv6 to establish the tonalityis hardly justified; it could scarcc:ly compensate for failure to establish the tonalityin the previous sections. In fact, it would be difficult to give any other reason for theaddition of a coda than that the composer wants to say something more.

This may also account for the observed di\o-ersity of size and shape. In Op. 2/1-1there is only a short extension, hardly worth calling a coda. A short coda of 12measures ends the first movement of Beethoven's String Quartet, Op. 18/6. In Op.2/2-IV, the coda (m. 148-87) is 40 measures long; in Op. 2/3-1 (m. 218-57) it is also40 measures; in Op. 2/3-IV (m. 259-312) it is 54 measures. But in the first movementof the Eroica Symphony, the coda is 135 measures long-almost a fifth of the entiremovement.

While an inclusive generalization is impossible, many codas conform more or lessto the following deseription.

Usually they start with richly elaborated cadences, containing deviations leadingeven into rather remote regions. As the length of the segments decreases, so also thecomplexity of the cadences decreases. The last codettas may omit even the cadentialsubdominant. Interchange of V and 1 often gives way to mere repetitions of thetonic. The mOlive malerial is, for the most part, derived from previous themes,reformulated to conform to cadential harmony and effectively liquidated. Many

...,....~.

186 LARGE FORMS THE PARTS OF LARGER FORMS '"cadas grow out of a final repetition of the main theme, which becomes, in effect, apari of the coda.

I!/uslrationsjrom the literature

Beethoven, String Quartet, Op. 18/4-1. The cOOa consists of four small segments.The first (m. 208) is six measures long; it quotes and liquidates cadentially the motiveof the transition (m. 26). The next segment (m. 214-15) quoles and liquidates theopening phrase. The third segment (m. 216--17), a further reduction, uses only residuesof the preceding phrase. The last segment carries the reduction to its logical conclusion, the repetition of the tonic chord.

Note the progressive reduction of length and content. Of course, this reduction doesnot occur invariably, and never with mechanical regularity.

Op. 2/2-IV. The last repetition of the main theme prepares for the coda to comewith a modulatory deviation in m. 140. But the real coda section begins in m. 148with a segment of eight measures. In m. 156 a part of this is repeated, and, throughan enhannonic conversion (d# = e~), leads to an episode in the Neapolitan region(m. 159). In m. 161 the motive of the trio recurs over an interchange of I and V ofthe Neapolitan region. The same motive provides the material for dwelling on thedominant (m. 165) and the retransition (m. 169). The next segment is a slightly omamented repetition of the main theme, followed by four short codettas.

Op. 7-IV. Here, too, the last repetition of the rondo theme deviates strikingly, itsA1·section appearing in the Ne:tpolitan region. The rcmodulation (m. 161-6) makesalmost the impression of being the first part of the coda. The next segment, on acadential harmony, is four measures long. The repetition (m. 171) is extended to sixmeasures. Codettas follow.

Op. 13-11. The cOOa consists ofa two-measure phrase on V-I (m. 67) and its repetition. Three one-measure phrases precede the final tonic chords. This coda section isextremely simple hannonically.

Op. 28-1. This movement is one of the longest among Beethoven's piano sonatas461 measures. BUl its cOOa (twenty-four measures) is proportionately very short, andstructurally simple. After a partial quotation of the main theme (m. 439), the lastmotive-form (m. 446--7) is followed by four repetitions, unvaried except as to theupbeats, which ascend climactically in broken-chord form from a l to J3. The ascensionis dramatically reinforced by a crescendo, and followed by liquidation reinforced bya descrescendo.

Mozart, String Quartet in D, K.Y. 575--1Y. This coda (m. 200) offers an opportunityto discuss a technique characteristic of Mozart, the technique of overlapping jointswhich resembles dovetailing. It is often a result of extending, for instance. a segmentof four measures to five. or even six. It is evident that the six measures of Ex. 1280(see below) could easily be brought to a definite end in the fourth measure (Ex. 128b)

and, instead of overlapping, the repetition could begin a measure later. ButMozart's economical mind compensates for the extension by entering one measureearly with the repetition.

In this coda all the six segments overlap. The second segmcnt starts in m. 205, inwhich the first scgmcnt ends. It is a repetition, extended to eight measures, or rathernine, structurally and functionally, though the complction of the cadcnce is omittedin viola and 'cello. Similarly the next segment (m. 213-19) is structurally seven measur.:s, as its varied repetition (m. 219-25) proves. The last two segments (m. 225-7,227-9) arc three measures each.

Ex.I28

c:T;e f"e'('5W'i!J30!-_ ""1 ""- '"e~?-:3"

'c.Uo

JJr=!l~

Op. 57-I. The coda starts in m. 239 with a partial quotation of the subordinatetheme, with an expressive deviation in m. 243 to the g~. The segment, m. 243-5, isrepeated in m. 246-8. Its end in m. 249 overlaps the beginning ofthe next segment ofthree measures, itself repeated in m. 252-4. There follow in m. 255-6 two repetitionsof the ending of the previous phrase. Thus the length of the elements decreases (6, 4,3.3, I, 1) throughout a dramatic crescendo. Six measures of tonic harmony follow(m. 257--62), diminishing to ppp, dying away upon a reminiscence of the principalrhythm.

Mozart, String Quartet in C, K.Y. 465--1. The first eight measures after the doublebar (m. 227) are the result of the retransition beginning in m. 220, which leads to thesubdominant region, in preparation for the repetition of the elaboration (m. 107). This

188 LARGE FORMS THE PARTS OF LARGER FORMS 189

opening segment of lhe ooda re-establishes the tonic ,region and liquidates its ownmotival obligations before giving way to the juxtaposition of the next segment (rn.235). Two three-measure and two two-measure segments follow, and the customaryrepetitions of the tonic.

The coda of a set of variations need not differ from the coda of any other type ofmovement. But since classical variations seldom contain greater harmonic contrastthan maggiore-minore, the cOOa usually contains more striking harmonic contrastsand modulatory deviations.

Beethoven, String Quartet, Op. 18/5-111. The cOOa section starts (rn. 98), after adeceptive progression, on the flat submedian! (B~). It consists of a number of segments which elaborate in combination the first two phrases of the theme. In otherrespects it does not differ from the cases previously described.

Mount, String Quartet in d, K.V. 421-IV. Thc coda begins (m. 1l3) with a substantially unvaried quotation of the first eight measures of the theme. To describeall the miraculous subtleties of this coda would take pages. The numerous small segments which follow are, for the most part, contrapunlal additions to the prevailingrhythmic figure. Occasional insertions and shifts cause the length of the segments tovary, producing typical Mozartean irregularity.

Mozart, String Quartct in A, K. V. 464-JlI, Andante. ' The coda of these variationsstarts with a pedal using the rhythm whieh gave this movement the nickname 'DrumVariations'. It consists of a number of segments, one of which is a condensed quota~

tion of the theme (compare m. 164 with m. I; m. 169 with m. 6 and 14). The segmentbeginning in m. 174 is derived, not from the theme itself. but from the fifth variation(rn. 115 IT.).

Among Beethoven's three largest sets of piano variations, the Ep has a fugal finale.The coda of the c Variations is attached to the end of the thirty-second variation. Itcontains no modulation; but it incorporates an additional variation, extended to tenmeasures (m. 19-28), and is concluded with a few codettas. The coda of the DiabelliVariations, which is also attached to the last varialion, does not differ from the codaspreviously described.

Beethoven, Twelve Varia/ions in A. The coda comprises about a third of the wholework, and is very rich in the number and remoteness of the modulations. At one pointit even reaches a region which must be described as the 'mediant major of the dominant', on Ap.

Beethoven, Twelve Variations 'Uher die (!) Mcnuell (in 4/4) a la Vigano'. This codaalso modulates to a remote point, the supcrtonic major (D).

Beethoven, Ten Variations in Bp. The coda (beginning in m. 47 of Variation 10)contains much passage work. There are two partial variations in the tonic region (rn.

1 The Philharmonia score prints this mo_nt as the third; but this is questionable. for in 'he PetersEdition, it appears a' the fourth. Probably it should be the secolld.

103, 119). two episodes in submedian I (m. 47) and Neapolitan (m. 146) regions.Cudetlas (Tempo /) complete the reduction and liquidation.

The preceding analyses have shown the great diversity of formal possibilities.A number of features arc common to most of them. Seldom is a theme establishedwith the self-sufficiency and independence of a main theme. Varied quotations ofprevIous themes are often condensed into small segments. and connected by modulatory passages, which themselves may consist of previous material. When. after amodulatory contrast, the tonic region is rc-established, a longer segment usuallyfollows. Finally, a number of codettas appear. becoming shorter and shorter, thecontent progressively reduced to a mere V-I, or cven to a repetition of I.

THE RONDO FORMS

XIX

TilE ANDANTE. FORMS (ABA AND ABAB)

Op. 2/1-11. (.... BA8.) The A-section is a ternary form (m. 1-16). A transition (m. 1722) leads to the first subordinate theme in the dominant (m. 23). followed by a secondsmall idea (m. 28 with upbeat). The latter part of m. 31 acts as a bridge to the rctumof the .... -seetion (m. 32). The omission of the transition permits the Il-seetion to follow

'"THE RONDO FO'~MS

immediately (m. 48), transposed lO the tonic rcgiun. Threc codeua-Iike measuresbring the movement to a close.

Op. 7-11. (ABAIl.) The A-section is a ternary form (m. 1-24)." small bridging phraseconnects to the B-section (m. 25), which starts in thc flat submediant (Ap) region andmodulates through subdominant minor (f):lnd Ncapolitan (D~) regions. In m. 37 thcdominant is reached. But instead of the recapitulation. a dramatic episode intcrvcnes.in whieh there is a quotation of the m:lin th~rne (in lhe remotc tonality of BiJ. dominant of the Rat mediant. m. 42). The real rccapitul:llion appears in m. 51: the recapitulation of B. m. 74 is reduced considerably ,\Od transposed_ l>uppressing thcmodulatory tendency, 10 the tonic. A coda starts in m. 79.

Op. 28-11. (ABA.) Both Aand Bare ternary forms. The repetitions in the recapitulation are wrillen out, with typically pianistic elaboration. A ~hort coda quotes theleading motives of both A and B.

Op. 31/1-11. (AAA.) Although made up of only thrce sections. this movem::nt is 119measures long. The A-section is a ternary form (m. 1-16. 17-26,27-34). The o-section(m. 36) begins in flat submediant, and reaches the dominant in m. 53. dwelling on it tointroduce the recapilUlation in m. 65. A coda begins in m. 99.

Op. 31/2-11. (ABAB.) A curious feature in this movement is thc consistent use ofasingle rhythmic fealUre in all the transitions and retr.l.n~itions (see m. 17-30. 38-42.59-72,81 IT.). A short coda derived from the principal theme (m. 90) follo~~ the finalretransition, which. surprisingly. is twice as long as the first.

Mozart, String QU:lrtet in C. K.V. 465-11. ( .... BAB.) The theme of this Andantc haslittle resemblance (0 the previollsly described practice forms. There is an elaboratetransition, m. 13. As in thc previous instance. the !>:lme moti\'e recurs in all thetransitional passages (m. 39, 58) and in the coda (m. 101).

Brahms, String Quartet. Op. 51/2-11. (Ao..... )The main theme isa ralher long ternaryform with eodellas, but no transition. Curiously. thc recapitulalion begins in Ihc Ratsubmediant region (f) and returns to the tonic only when the A'-section of the smallternary form is reached. Such AIlA forms can also be found among Brahms's pianopieces, e.g. the Intermezzo, Op. 117/1. The eITeet is morc that ofa large ternary formIhan of a truc rondo; only thc fact that the main theme is itself a small ternary, andthat the A-section of it does in fact recur four limcs with intervening contrasts permitstcntative inclusion among the roodos.

Haydn, String Quartet in d, Op. 76{2-11. (ABA.) The a-section is merely a modulatorycontrast and does not include a subordinate theme. Among the predecessors of theclassical school this embryonic form is frequently found.

The formal schemes under discussion can be found throughout thc litcrature in allkinds of cyclic works: sonatas. trios, quartets and cven in symphonies. They are confined to movements of slow or moderatc tempo. in which more complex structureswould become excessively long.

• Woo inlroollccd lhis usclullC.,1I7, T... ealllhcloe ·,... ndos·;s pe,haps an e..aagJ:ration.

Tit E rendo forms are characterized by the repetition ofonc or more themes, separatedby intervening contrasts.

The ternary form, minuet-trio-minuet, and scherzo-trio-scherLO are prototypes ofIhis kind of organization. These arc .... OA forms. in which the paris themselves may beaba forms. A similarity to the larger roodos can be seen in Bttthoven's Fourth andSeventh Symphonies, where a double repetition of the scherzo produces an A8A8Aform. Schumann, by adding a second trio (in, for instance, the Schcf"ZOS of the Firstand Second Symphonies, the String Quartet in a. and the Piano Quintet), producesthe form ABACA.

Illustrations of the rolJawing types of organization can be found in the literature:

The Andante forms (ABA and AIlAB).'

The smaller Rondo forms (ABABA and ABACA).

The large Rondo form ( .... B....--C- B....), which includes a Trio (C).Thc Sonata Rondo' (ABA--Cl-AB ). with Durchfiihrung (Cl).Thc Great Sonata Rondo (ABA-eel-ABA), containing both Trio and Durclrfiihrtmg.

The structural elements of these forms can be simple and short, or compound andlong. There arc transitions, codettas, episodes, etc.• as described in the precedingchapter. Each of the larger parts may consist of several segments. The dassifiC-dtionof the fonn is based on the number and position of the pariS. not on the actual lengthof the piece.

Repetitions of the A-section are almost exclusivcly in the tonic region; they may beconsiderably varied (see p. 193). The B-section, which initially appears in a contrastingregion, is transposed, if it recurs in the recapitulation, to the tonic region. withappropriate modification of the transition (see p. 194).

Beethoven, Seventh Symphony-II. ("IIAB.) This movement is extremely long, evenIhough the basic structure is simple, bc<:ause of the many repetitions of the maintheme. The full theme, including its internal repetitions. appears at the beginning noless than four times. The »-section appears both times in tonic major. In the recapitula.lion (m. 150) the theme appears complete only once. A (ugato elaboration (m. 183)00the main motive replaces the repetitions.

OTHER SIMPLE RONIJOS

The paUerns A8AOA and ...B....CA are rather infrequently used as independent forms(though they appear by analogy in the minuet with conventional repetitions-ll: 10.:11: ".... : 11. which is., in fact, A-A-B-A-B-A-and in scherzos with more than onc Irio).

Op. 2/3-1 J. (ABABA.) In consequence of the numerous appearances of slightly variedforms of the basiG motive. tile leading theme consists of only ten measures. But theB-.section is surpri~jngly long-thirty-two measures. It is a striking instance of 'looseformulation'. Although there are three distinct motive-forms, each repeated a numberof times, the treatment is very irregular. The phrases differ in length; the motive-formschange in interval and direction; some parts start like sequences, but are nOl, etc.The syncopated figure in m. 19, although each half-measure is melodious, does notreveal any real continuity if played alone. Its meaning is scarcely more than embellishment of tones of the harmony, an etude-like procedure which is charactcristic ofloosely formulated contrasting sections. In effect. the harmony is the melody.

The recapitulation OfB (m. 55), transposed as usual to the tonic, is reduced to onlytwelvt: measures, omitting entirely the si.xtcenth-note figure ofm. 13, 16 and 11. Thesyncopated figure is repeated in a very frcc manner, indicating that the special melodiccontour of the previous statement was non-obligatory. The leading theme recurs forthe third time in m. 67, varied only slightly. and a short codetta follows.

Op. 13-11. (ABACA.) The leading theme consists of eight mcasures, repeated, withminor changes in the accompaniment, an octave higher. The subordinate theme (m.11) is rudimentary, consisting of lillle more than a motive-form stated and liquidatedwhile the harmony moves from the subml;.diant region to the dominant. In m. 29A returns without change, and the repetition is omitted. The second subordinatetheme resembles the first in character and treatment, but is carried out morc elaborately. going into tile flat submediant region by enharmonic change (E = fb). Thefinal recapitulation of A, complete with repetition, presents only a minor rhythmicvariation in the accompaniment. The usual codettas follow.

Ravel, Pavane pour une Infante Defunte. (ABACA.) The main structure is self-evident.Each of the subordinate themes is immediately repeated with slight variations. Theirregular dimensions of the sections (11 is 6~ measures; C is 9!) enhance the interest ofan otherwise exceedingly simple construction.

VARIATIONS AND CHANGES IN TUB RECAPtTULATlON (PRINCIPAL THEMB)

From a structural standpoint, changes in the principal theme when it recurs are notnecessary. But variation for its own sake is one of the distinguishing features ofhigher art. In the larger forms an unchanged repetition seldom occurs.

The melodic outline and the thematic structure are usually preserved. The simplesttype of variation is a change of sonority brought about by a different setting. as inOp. Il-II, m. 9-16. In Beethoven's String Quartet, Op. 1816--l.1, there are six differentsettings of the basic segment (m. 1-4), including transposition, figuration, ornamentaladditions and addition of semi-conlrapuntal voices.

In piano style such freedom ofvoice-treatrncnt is not always possible. Accordingly,embellishments in the melody, changes of octave. subdivision of the aocompanimentand enrichment of the figuration are the usual variants.

!9'THE RONDO FORMS

lllwtrations from tht! literature

Op. 212-IV. Variations of the upbeat can be observed in m 41 53 100 104 112and 135. Embellishments of the melody occur in m. 43, lOO, lOs, i37 'and ~lsew'here.

Op. 7-IV. The founh appearance of the main themc (rn. 143), an octave higher thanthe original, is varied in m. 147 by the use of unifying synCOpatiODS and insertedchromatic tones. The omission, in the first repetition of the ternary main theme (m.51), of the AI4scction is unusual. The une.xpected 811. at the end of the s-scction leadsprematurely to the trio. A similar surprise appcamnce of the 811. in m. 155 producesan abrupt modulation to the Neapolitan region, introducing the coda. Was the first8~ introduced as a preparation for the second. or did the second merely take advantage of the accidental appearance of the first? Which came first. the hen or the egg?

Op. 7-11. The beginning of the recapitulation is unchanged. In tbe continuation(m. 60) there are minor variations of the ornamental connectives, and interpolatedfigures (m. 65 ff.).

Op. lOll-IV. The theme is varied by interpolation of imitations (m. 570'".) andfigurations (rn. 85 If.).

Op. 22-IV. The third appearance of the theme presents a quasi-contrapuntal interchange of voices (m. 112), though the right hand is not elaborated. However, theoctave figure suggests the octave trcmolando in the continuation (m. 122). In the lastrepetition (m. 165) the melodic line is elaborated with triplets, against the dupleaocompaniment. Other changes are confined to ornamental variations in the approaches to cadences.

Op. 28-lV. The repetitions are varied merely through the addition of mellifluousphrases in the fifth and si.xth measures.

Op. 31/2-11. The repetition (m. 43) seems at first glance to be more remotely variedthan in the previous cases. However, beyond the interpolation of additional statements

l.ARGE FORMS192

''>4 LARGE FORMS THE RONDO FORMS ..,of the motive from m. 2, and the substitution of passage work. for sustained chordsin the last half, there is linle change.

Brahms, Second Symphony-Ill. Earlier composers sometimes introduce. in the preceding retransition. anticipatory quotations of the material of a relurn theme(Mozart, Symphony in g minor, K.V. 550-1, m. 139-64; Beethoven String Quartet, Op.J8/6-IV. m. 105-15). These may give the impression ora recapitulation "in the wrongkey', broken off to make way for the real recapitulation.

Brahms goes further. In this movement, the principallheme is an A-B-A1 form. Inthe recapitulation (rn. 194), the beginning reappears in the key of F$f, a halfstcp lowerthan the original G. The continuation is subtly modified to return through a chromaticthird relation from the dominant of the relative minor to the original level in m. 207.In compensation for this remarkable change of region, the recapitulation remainsclose to the original version in other respects.

CHANGES AND ADAPTATIONS IN THE RECAPITULATION

(SUBORDINATE GROUP)

Since the subordinale group is repeated only once, after a number of interveningcontrasts. variation is not strictly necessary. In fact, too much variation, especially atthe beginning of the subordinate theme, could easily prevent recognition. But in orderto repeat the subordinate material in the tonic region the transition requires changes.

At an appropriate point the transition turns toward a different region, often thesubdominant (major or minor), and continues indirectly to the upbeat chord, usuallyby means of sectional transpositions of the original material. In the simpler casesthere are no further changes and the ensuing material is merely transposed 10 thetonic region, perhaps with minor ornamental variations.

In more complcx examples there may be omissions, additions or complete reconstruction, though the more elaborate changes are not common in rondos.


Op. 2/2-IV. The transition, which originally led to I of E. is repeated unchangedexcept for a two-measure reduction in length and minor modification of the lastmeasure. But the significance of the E chord becomes that of V in A (m. 123). Therhythm of the subordinate theme is modified so that the group of four deSttndingeighth-notes comes at the end of the measure instead ofat the beginning. This theme,also, is shortened slightly.

Op. 7-IV. The entire subordinate group is recapitulated without major changes,except for the necessary redirection of the transition in m. 113. The syncopatedliquidating variation in m. 147 is interesting.

Op. 22-IV. The only significant change is in the transition, which starts exactly as

in its first appearance. In the fifth and sixth measures (m. 134-5) an added sequence~

like repetition of the two preceding measures changes the course of the modulation.Op. lOll-IV. The transition is modified in m. 67---68 and somewhat extended. But

the theme which originally appeared in m. 17 is omiued entirely. In its place appearsa modulatory section built on the basic motive.

Beethoven. String Quartet. Op. 18/6-IV. Here the transition (m. 61-76) undergoesmodification from the very beginning of its reappearance in the recapitulation. Theaddition of accidentals in the first four measu~s (m. 132) preparcs for transpositionof the continuation up a third (instead of up the expected fourth). Only in m. 145,where two measures lire added, is the shift made to lead to the dominant. The manyother interesting features of this rondo (especially the treatment of the rctransition,which anticipates the main theme over a pedal point) cannot be discussed at thispoin!.

Op. 13~1I1. Treatment of the subordinate group in minor is more complicated,especially when the subordinate theme is in major. To repeat it in minor would changeits character and diminish the contrast. 1be~fore, it usually recurs in tonic majorand at some later point turns to the minor. But far-reaching changes often accompanysuch treatment.

Here the original transition (m. 18--24) completely disappears. Instead, the secondhalf of the theme provides motive-fonns for a new transitional segment (m. 129-34).The ensuing material. while retaining the original motive-forms intact, is reconstructedquite freely. Only a hint of c minor is heard (m. 159) in the much extended closingsection (m. 154-70), which displaces entirely the original retransitional segment(m. 51-61).

Beethoven, String Quartet, Op. 18/4-IV. The originalll-section (m. 17-40) is a smallternary form with internal repetitions. In the recapitulation an added bridgc (m. 11116) introduces a reconstructed B-seetion in the parallel major. The ternary organization disappears; after a statement and repetition of its opening the thematic materialis liquidatcd and a long rctransition using motive-fonns of the principal themeappears (m. 137-62). The exposition contained sufficient contrast of tonality withouttransitions. But in the recapitulation these modulatory passages become essential torelieve the uninterrupted emphasis of the tonic (minor and major).

THE LARGE RONDO FORMS (ABA-c-ABA)

The large rondo forms generally express the character of the dance-song. The ratcof movement is moderate or rapid, and the mood cheerful, playful or brilliant. Theclassical composers frequently used these fonns as final movements in cyclic works(sonata, string quartet or symphony).

Occasionally the middle section (c) is comparable in size and structure to thea-section. providing an undifferentiated ABACABA (Beethoven, String Quartet, Op.

196 LARGE FORMS THE RONDO FORMS 197

A-B-A---C---A-B-A

The trio section is often itself ternary, and it expresses a definite:: contrasting key.usually somewhat morc remote than that of the a-section. For example:

18f4-IV). Usually, however, the c-section is longer and more elaborate, resemblingthe trio of a scherzo or the elaboration of a sonata-allegro. Thus the whole form becomes a complex ternary structure:

A~~I>---A

submediant region. The retransition (m. 46-55) suggests the principal theme, butgives way to octave eighth.notes which are related to the octave sixteenths near theend of the trio. The embryonic subordinate idea of m. 17 disappears entirely inthe recapitulation and is replaced by a modulatory passage (m. 74-83) built fromthe basic motive.

Op. 13-IH. The trio consists (m. 79) of six versions of the first phrase, separatedby a four-measure interpolation (m. 95-98) to form a small A-B-Al. The contrapuntalinterplay of the two voices is evident. In m. 99-106 the principal notes of each partsuccessively are filled in with eighth.notes to producc a descending scale line. Thecnd is modified to lead to the dominanl of C t upon which an extended but simpleretransition is built. Other structural features of this rondo were discussed on p. 195.

Op. 28-IV. The exposition and recapitulation exhibit no unusual features. Thepseudo-contrapuntal a-theme is preceded by a transition and followed by a retransition. There is no connective to introduce the trio. Instead. the first segment ofthe trio (m. 68-78) takes over the transition function. the previous tonic, D, becomingthe dominant of the subdominant region (G). The chief content of the trio lies in thecontrapuntal section (m. 79-101). The upper voice of the first four measures appearssuccessively in upper, middle and lower voices; in the tonic, dominant and tonicminor regions (relative to G). The other voices arc varied in m. 87~95 and m. 95--100.Otherwise. the treatment is similar to double counterpoint. The remainder (m. 10113) is simply an emphasis of the dominant of d, preparatory to the rcturn of the maintheme in D (m. 114). Thc final repelition of the A-section is varied and extended tointroduce the coda.

c

c

A

,

G

,

c

A

c (minor)

K'Y

Section

[~ (m;,m)

A,E,E

"(~P

The character orthe c-section contrasts with both the A- and a-sections. Quite oftenit is 'etude-like'; not infrequently il is 'contrapuntal' in the sense that the motive ortheme undergoes little internal variation, but instead is placed in various combinationswith itself and other material.

l/lustrationsfrom the /iLerature

Op. 2j2-IV. The A·section is a small ternary form (m. 1-16). A transition (m. 1726) leads to the B-section in the dominant region. This typical, loosely constructedsubordinate idea is connected to the repetition of A by a two-measure bridge (m. 3940). The trio (m. 57-99) is an etude-like ternary structure lying in the tonic minorregion, with internal repetitions like those to be found in the minuet. The finalrepetition of the beginning of the trio (m. 88) changes into a retransition. The modifications in the recapitulation are largely omamental. The final repetition of the A-section (m. 135) serves as the beginning of an extensive coda. Note the recurrence of thetrio theme in the coda (m. 161), after a deviation into the Neapolitan region.

Op. 7-rv. This Tondo is structurally similar to the previous example. The trio isetude-like, with a striking rhythmic figure offsetling the passage work. The finalrepetition of A is modified to introduce the coda, this time through an unexpectedshift to the flat submediant region (B = CP).

Op. IOj3-1V. All parts of this rondo are relatively short and compact. Both bandsparticipate in the etude-like character in the trio (m. 35-45), which lies in the flat

THE SONATA-RONDO

The sonata-rondo, with a modulatory c-scction elaborating previous thematic ele·ments, and the great sonata-rondo, which combines trio structure with the development or Dun:hfiihrung, call for treatment like the middle section of the sonata-allegroform. This section resembles the modulatory middle section of the scherzo, but isusually more elaborately organized. l The exposition and recapitulation need notdiffer from those already discussed. though greater complexity and more far-reachingmodifications may arise.

I//ustrations from the literature

Op. 3Ifl-III. The exposition is normal. The first A-section is immediately repeatedin a variation placing the main theme in the left hand (m. 17-32). The transition (m.33-42) uses the figure from the end of the theme. The c-section begins (m. 82) withthe main theme in the left hand (like m. 17-32) but in tonic minor. The continuationmakes clear that this is tbe beginning of a modulatory process carried out with

I A full discussion of this technique is reserved for Chapter XX.

'" LARGE FORMS

motive-fonns from the main theme. It closes with a pedal point on V (m. 129) whichprepares for the recapitulation. The modulatory scheme is:

Tonic minor g m. 8JSubdominant minor , m. 91Flat submedian! E, m. "Subdominant minor , m.l06Unstable m.1I4Tonic minor g m.121

The recapitulation (rn. 132) presents slight variations of the setting. The Ir:llIsitionand relransilion arc somewhat lengthened. The final repetition of A, which wouldordinarily occur in the vicinity of m. 205. is displaced by the insertion of a P.1SsagCbased on the middle section of the principallheme (er. m. 9-10). A recurs finally inm. 224, much expanded by means arrests and tempo changes.

Il is difficult to determine whether all of the material between m. 205 and the cndshould be classified as coda. Fortunately. the musical resull is nOl determined byconformity to analytical expectations. Ambiguity is sometimes a quality 10 be,.('cogni:ed, not nettssarily to be explained away.

Op. 22-IV. The A·section in its various appearances is subjected to a variety ofornamental intensifications and changes of setting. The group of subordinate themes(m. 19-49) presents a number of distinct molive~forms in loose jUl:taposilion. Themodifications in the rCC".lpitulation :ue worth study. particularly the treatment of thebridge (m. 41-49), which anticipates the melodic figure at the beginning of thereturning principal theme. In the recapitulation this pas.'i03ge is enriched and intensifiedby the quotation of the entire first four measures, transposed to the subdominantregion (m. 153). The C-scction (rn. 72-111) begins like a trio of the etude·like ty~,

in the unusual region off(minor v!). It gi\'cs way (m. 81) to a modulatory-contrapuntal group. derived from the tmnsitional segment used to introduce both 8 (m.19-22) and c (rn. 68-71). This incipient Durchfiihrung is followed by a return of theetude·like segment, suggesting the ordinary ternary trio structure; but the key is bP(tonic minor), thus continuing the modulatory process instead of returning to theregion of the first statement, as the normal ternary procedure would demand. Thisc·section thus combines trio character with the procedures of the modulatory middlesection, or DurchjUhrtmg.

xx

THE SONATA-ALLEGRO

(FIRST MOVEMENT FORM)

THE concept of the SONATA implies a cycle of two or more movements ofdiffering character. The great majority of sonatas, string quartets, symphoniesand concertos since the tjme of Haydn utilize this structural principle. Contrastof key, tempo, metre. form and expressive character distinguish the various movements. Unity is provided by key relationships (Ihe first and lasl movements usethe same tonic, and intervening movements are related to this tonic) and throughmotival relationships. which may be clearly evident or disguised with the utmostsubtlety.

Before Haydn all the movements were normally in a single tonality, sometimesalternating between major and parallel minor. The Viennese classic masters introduced more variety by using other related keys for the middle movements.

While three or four movements are nonnal, examples ranging from two to sevenmovements exist. The table on p. 2(() indicates the wide variety 10 be foundamong the works of Beethoven.

In general, the first and last movements are in rapid temIXl, though Op. 54 starts'In tempo d'un Menuetto', Op. 26 begins with an 'Andante con Variazioni' and Op.27/2 with an 'Adagiosostenuto'. A short introduction in slow tempo, followed by thecustomary allegro, is not uncommon. The slow last movement, 'Adagio molto' ofOp. Ill, is a rare exception.

Intervening movements fall generally into two types, slow and moderately fast.The slow movements vary from Allegretto or Andantino to Adagio, Largo orGrave. The moderately fast movements arc ordinarily stylized dance forms, e.g.minuets or scherzos. The latter, of course, sometimes move at an exceedinglyrapid pace.

Occasionally, one of the movements is a Theme with Variations: Cp. 26--1; Op.14/2-TI; String Quartet, Op. 74-IV. Absence ora slow movement permits the appearance of both a minuet and a scherzo in Op. 31/3.

The last movement is frequently written in one of the rondo forms. (Variations,like Op. 109, or a Fugue, as in Op. 110, are exceptionaL) But quite often the last movement, and usually the first movement, is written in the great form which is variouslycalled 'Sonata Form', 'Sonata-Allegro', or First Movement Form.

200 LARGE FORMS THE SONATA-ALLEGRO 201

THE SONATA-ALLEGRO

This form, like the earlier ones, is essentially a ternary structure. Its main divisionsare the EX!'OSITlON, ELABORATIONl and RECAPITULATION. It differs from other complexternary forms in that the contrasting middle section (Elaboration) is devoted almost

Relation of Mot'emenrs-Beethovcn Sonatas and String Quartets

exclusively to the working out of the rich variety of thematic material 'cxposed' inthe first division. Its greatest merit, which enabled it to hold a commanding positionover a period of 150 years, is its extraordinary Ilcxibility in accommodating the widestvariety of musical ideas, long or short, many or few, active or passive, in almost anycombination. The internal details may be subjected to almost any mutation withoutdisturbing the aesthetic validity of the structure as a whole.

Adagio Menuelto PrestissimoF-314 [-3/4 1-2/2Adagio Scherzo Allegro assai£-2/4 C-3/4 C-6/8Adagio maho PrestissimoA~-2/4 c-2/2Andante Schcl'">:oC-2/2 G-3/8AriettaC-9/l6

Allcgn:llo Adagio AllegroB~-3/g /-2/4 F_2/4Allegro ma Molto adagio Alia marcia, Allegro appas-

non tanto (Lydian Mode) as.sai ~ivace sionatoA-3j4 ". A-4j4 a-314Presto Allegro as.sai Adagio molto Finale_Allegro

espressivo~2/2 G----3f8 £1>-3j4 ~2f4

(0) Cod;B'A'£lab.

,a, b, ele.

A

and 300 or morc; only the imagination of the composer detennines whether the piecewill be short or long. There may be the most complete diversity in the relative lengthsof the elements of the form.

While the Durchfiihrung is usually considered the most characteristic feature, inmany important works it is short and sketehlike. While one ellpects this section to bedevoted to development only of the most important themes from the first division,sometimes the elaboration deals with themes which were unimportant or subordinateat their first appearance; and occasionally an idea appears which, though derivingfrom the basic material, never appeared before as formulated. Varied as the specificcases may be, the formal purpose of this section is, as with other contrasting middlesections, to provide a RELATED CONTRAST.

The elaboration is fSSENTlALLY MODUUTORY, and for very good reasons. As theform developed the first division became longer, composed of a greater number ofparts; more means of contrasting and joining them were used; more ways of buildingand limiting themes became necessary; a unifying restriction of the harmony becameadvisable to preserve the stability of the themes in spite of the internal harmonicvariety. Thus in the exposition, though some parts modulate and others express a(related) contrasting tonality, apart from transitions, everything stands solidly withinthe region of a definite tonality. In other words, the harmony is essentially stable.

This requires a different kind of contrast in the elaboration.Economy dictates the use of previously 'exposed' thematic material (a wealth of

differing ideas is presented in the first division). Variety requires roving, modulatingharmony as a contrast to the generally stable nature of the exposition.

c#-2/2

AllegroAdagio

g#--3/4

Andante con motoma non troppo

D~-414

Alkgro molto Allegro Prestovivace modernto

D--6/8 Trans.- £--2/2."AndanteA-2/4

Op.131 Adagio

SONATASOp. 2{1 Allegm

f~212

Op. 2/3 Allegro con brioC-4/4

Op. IOn Allegro maltoc-3j4

Op. 14/2 A!kgroG-214

Op. LII Mae:slos~Allegro

1:-'1/4STRING QUARTETS

Cp. j!J/l AllegroF-4/4

Op. 132 Assai sostcnuloAllegro0-2/2

Op. 130 Adagio, ma nonIroppo-A1legro

.8tI--314

, The customary term. 'development', for this _tion, is a misnomer. It suggests germination and growthwhich rarely oo;:ur. The thematic elaboration and modulatory 'working out' (DllrehfUhrmrg) produce somevariation, and place the musical elemenu in different COll(e~ts, but sddom lead to the 'development' ofanything JlCW.

THE EXPOSITION

The exposition resembles the first division of the larger rondos in several respects.The statements of the principal and subordinate themes are in contrasting but related

20' LARGE FORMS THE SONATA-ALLEGRO 20)

tonalities. A transition connects them in all but the simplest cases. A distinct contrastofcharacler helps 10 distinguish the various themes, though analysis will demonstratetheir inter-connexion th.rough common use of basic motive-features.

It differs from tbe Tcndos in that tbe principal theme is not repeated prior to theelaboration, .:and there is no return 10 the principal key. Instead, a closing section, stillin a contrasting region, completes the exposition. Often this is a mere group ofcodeltas. Occasionally, a formulation derived from the principallheme provides thematerial (Siring Quartet, Gp. 18/1-1, m. 72; Gp. 18/6--1, m. 80; Mozart, Symphonyin g. K.V. 550-1, m. 66). BUlgenerallya speciallheme, adapted to cadential harmonies,is introduced. which may be reminiscent of any of the preading themes, or quitedistinct.

THE PRINCIPAL THEME (OR GROUP)

The structure may vary widely-from a straightforward period or sentence, throughsomething resembling a ternary form, to a group of distinct themes joined in the mostsubtle fashion. Often a return to the A-theme merges into a transition.

The ideas of the principal group arc nearly always more thematic than melodic(see Chapter XI) and the internal organi7..ation tends to be Aexible and irregular, forecasting the metamorphoses to which the ideas will later be subjected. If the structureis too symmetrical, subsequent freedom of articulation may be impeded. A striking.mOllo-like beginning is a useful feature (Op. 2/2-1, Op. 7-1, Op. IO/I-J, Op. 10/2-1,Op. 22-1, String Quartet, Op. 95-1).

I/lwtrotio"s from the literature

Op. 2/1-1. The theme, a simple sentence, is eight measures long. A transposition ofit provides material for a short transition which is quickly liquidated, and the subordinate theme follows in m. 21.

Op. 2{2-1. There are two distinct ideas here: the motto-like beginning built fromdescending broken chords, and the more lyrical continuation (m. 9). Both elementsare repeated in shortened-form (rn. 21) and brought to a definite cadence in m. 32.The free articulation of phrases of varying lengths within the thirty-two measuresplaces the chief internal cadence (10 the dominant) in m. 20.

Op. 7-1. AftCT the motto-like beginning (rn. 1-4), a series of two-measure phrasesextend to m. 13, where an overlapping varied repetition further extends the passageto m. 17. But here, still further extension takes place through a partially liquidatedcontinuation of the eighth-note passage work, which suggests a e10se in m. 25.However, a varied repetition of the opening motto inaugurates Ihe transition.

Op. 10/1-1. The initial segment (m. 1-4) contains two sharply contrasted character.istics. The tonic form is immediately followed by a dominant form. The linkage inm. 4-5 and 8-9 is so intimate that the phrase endings almost disappear. The twomeasure phrase which is repeated and liquidated in the ensuing eight measures is

agai.n a distinct. though related, motive-form. Several cadential additions lead to aderivative of the first two measures, which appears three times, leading to a cadencein m. .30.

Op. 10/2-1. The twelve-measure theme consists of three segments very rich inmotive-forms. The repetition of the beginning in m. 13 leads at once to the dominantof iii, in lieu of a transition.

Op. lOll-I. The ten-measure sentencc contains two elements: m. 1--4 and ffi. 5-10.These are repeated in reverse order. with slight variations. at the end of the themeleading to V of vi, in lieu of a transition_

Op. 14/1-1. Though short (twelve measures). this theme may be considered aprototype of the 'group' of themes. Four distinct motive formulations appear insuccession.

Op. 28-1. This thirty-nine·measure theme (above a tonic pedal point momentarilyinterrupted in m. 26 and 34) begins wilh a Icn-measure theme, which is immediatelyrepealed an octave higher. The continuation, m. 11-18, resembles lhe consequent ofa period in its relationship 10 the opening. It, too. 'is repeated, and extended by a variedrepelition of the C<1dencc. The variations and their articulation arc subtle but not farreaching.

Even these few examples suggest the great variety of themes: lhe free arliculation,the irregularity in the length of segments, the number of distinct motive formulations.the presence or absence of internal repetitions, the range of connective possibilitieswith what follows (sometimes definite isolation by means of strong cadences followedby codetlas. sometimes complete merger without any break).

A feeling for the full Aexibility of the form can only be gained by thorough studyof a great many examples from m:my composers.

TilE TRANSITION

No special discussion of this feature is necessary. A considerable number ofeharaeteristic examples have bttn discussed in Chapter XVIII.

Occasionally there is no independent transition (Op. 10/2 and Op. 10/3). But a welldeveloped modulatory passage between the principal and subordinate themes becomes a valuable source of contrast in the recapitulation.

Both the transformation of the main theme into a transition. and the transition withan independent theme arc equally useful, the choice depending in part on the amountof internal repetition incorporated in the principal theme.

Obviously, in very extended works (symphonies, concertos), the transition mayrequire more Ihan one theme.

The more extended transitions normally close, of course, with liquidation andemphasis of a suitable upbeat chord or region.

,,,,..,''''''~~.......,......

LARGE FORMS

THE SUBORDINATE GROUP

The construction of tbis group was discussed in considerable detail in ChapterXVIII. The most important single factor is a>tmlAST with the principal group: adifferent k.ey or region, contraSling motive-forms, distinct rhythmic characteristicsand different types of thematic construction and articulation. There are nearly alwaysenough differentiated ideas here 10 justify the term 'group'.

Some, at least, of the following features can be expected:1..OOSE STRUCWRB: direct and immediate repetition of segments, juxtaposition of

contrasting segments, often with an overlap; little or no recurrence ofearlier featureswithin the section.

SPINNING OUT: derivation ofsuccccdingmotive-forms from preceding ones, leadingto 5aIuences, condensation and liquidation. Chain-lik.e interconnexion.

EVASION Of' DEfINITE CADENCI;S until the end of the whole exposition. This devicecontributes to the hannonic momentum, and hclps to join remotely related motivematerial. Incidental modulation may derive from this technique, without disturbingthe essential stability.

CODEITAS, or even a definite CLOSING THEME, at the end of the group, marking theend of the exposition.

KEY RELATlONSlIlPS are substanlially the same as in contrasting middle sections forthe simpler forms. When the principal theme is MAJOR, the subordinate group nearlyalways Itcs in the key of V. Sometimes the interchangeability of parallel major andminor permits the appearance of part or all of the subordinate group in the key ofv (minor), with the exception of codettas (e.g. Op. 2/2~I, Op. 2/3-1).

In MINOR, the preferred keys are III (relative major) and v (minor). Since a themewhich first appears in a major key does not always work satisfactorily in minor, andsince the minor-major contrast between principal and subordinate themes may beessential, considerable modification of the subordinate group may appear in the recapitulation (e.g. Op. IOfl-l. OPt 13-1).

Of course, departures from these relationships can be found, particularly in composers after Beethoven. A striking example is to be found in Brahms's Piano Quintet,Op. 34, in f The chief subordinate theme is in q;: and recurs in the recapitulation inft. But such relationships are infrequent; and they always require masterly adaptations of the fonn and the material.


OPt 7-1. This extensive subordinate group contains six distinct sections. The first.emphasizing the dominant of Bb (V), consists of nine measures (m. 41-49). After atwo-measure (overlapping) connective, a varied repetition follows (rn. 50--59). A contrasting more lyrical theme of eight measures (m. 60-67) is repeated with an orna-

THE SONATA-ALLEGRO

mental variation (m. 68) and extended to fourteen measures. A sudden harmonicdiversion after the dominant pedal point introduces a surprising major 6/4 chord ofC. A third idea evolves over a pedal point on G; a momentary cadence to C in theeighth measure is extended to return to Bp in m. 93. Here an overlapping fourth themeappears in octaves; it is rcpeatc:d in m. 101, the incidental sixteenth-notes of m. 97now overrunning the entire statement. A long tonic pedal point underlies thc fifthsection (m. 111-27). A striking syncopation cOlltrasts with the liquid sixteenths tointroduce the codetta (m. 127-36). From m. 82 to the cnd each cadence overlaps thebeginning of the ensuing section, thus intimately linking the contrasting formulationsand maintaining momentum.

Op. 10/1-1. The subordinate group begins (m. 56) with a lyrical phrase of fourmeasures which is immediately repeated, the relation being similar to the tonic fonndominant form of the sentence. Two more four-measure phrases follow, forming avaried repetition, in which the broken chords of m. 56-57 and 60-61 are replaced withlong seale lines (m. 64--65 and 68-69). A cadential extension is also repeated withvariation, reaching the 6/4 in m. 86. An addc:d segment (derived from m. I) againreacheS the 6/4 in m. 90, and finally cadences to £p in m. 94. The entire section fromm. 72 to m. 94 is a series of approaches to the cadence. The codettas (m. 95-105) arederived from the cnd of the transition.

OPt 10/3-1. The subordinate group, after a principal theme which is short (twentytwo measures) and simply constructed, comprises 102 measures! The role of the section from m. 23 to m. S3 is somewhat ambiguous. It begins with a c1earl)' formulatedperiod of eight measures in the key of the relative minor (b). The next segment (m. 31)makes the impression of the middle section ofa small ternary fonn. But a sequentialmodulation leads to A and an extended cadential process using liquidating devicesdefinitcly establishes that key in m. 53. Is this section merely a transition? Or is it thefirst subordinate theme, stated somewhat exceptionally in the key of vi?

Another themc appears in m. 54, whose structure resembles that of a codetta.Could this be the principal subordinate theme? After a repetition referred to theparallel minor (m. 61-66), another distinct formulation carried out an extensivemodulation (much more elaborate than the alleged transition of m. 23-53), returningto A in m. 93. Three contrasted codettas follow (m. 94-105, 106-13 and 114-24),the last of which is transformed into a retransition.

OPt 28-1 presents similar problems. The principal theme comprises thirty-ninemeasures, the subordinate group 124.

It is evident that the cbaracter, construction, complexity and Iengtb of the subordinate group are determined only by the demands of tbe individual composition.Contrasting but related k.ey, character and thematic material are essential. Sufficientclosing or codetta material to mark the end of the exposition clearly is the usualpractice, though a kind of retransition sometimes masks the definite formal sub-

206 LARGE FORMS THE SONATA-ALLEGRO W7

division normally found. Beyond these recommendations only the composer'simagination and inventiveness can determine the events of the subordinate group.

TilE ELABORATION (Durchjuhrung)

It has been pointed out (pp. 200 fr.) that the elaboration is essentially a contrastingmiddle section. Because the exposition is basically stable, Ihe elaboration tends to bemodulatory. Because the exposition uses closely related keys, the elaboration usuallyincludes more remote regions. Because the exposition 'develops' a wealth of differingthemes from a basic motive, the elaboration normally makes use of variants of pTe·viously "exposed' themes, seldom evolving new musical ideas.

The relative length of the elaboration varies widely. Examples can be found whereit is approximately half as long as the exposition (e.g. first mm'cments: Op.2/3;Op. 10/3; Schubc:rt, String Quartet in d). In some cases it is substantially equal to theexposition (first movements: Op. 2/2; Symphonies Nos. 3and 5). The length can onlybe determined by the nature of the material and the imagination of the composer.

The importance and signifICance of this division was much overrated during thelast half of the nineteenth ~ntury.

Technically, the elaboration resembles the DurchFuhrung of the scherzo (ChapterXVI). It consists of a number of segments, passing systematically through a numberof contrasting keys or regions. It ends with the establishment of an appropriateupbeat chord or retransition, preparing for the recapitulation.

The thematic material may be drawn from the themes of the exposition in anyorder. Often a small number orreatures, formerly inconspicuous, dominate the entiredivision. Some of the segments remain for a time in a single region. Some are repeated in a sequential or quasi-sequential relationship. The various sections may bestrongly contrasted in rhythmic features, thematic material, structure, length andtonality. In many e1aborations the earlier segments are the longer and more stableones. In approaching the retransition, shorter and shorter segments, often accompanied by more rapid change of region, provide both a climactic condensation and apartial liquidation.

Occasional 'roving' passages, which pertain to no definite region, are interspersedamong more stable passages, somewhat resembling transitions. Segments overlapfreely, the end of one coinciding with the beginning of the next. As a method ofmaintaining musical momentum, approach chords, especially dominants, are commonly emphasized more than the tonics to which they refer. Deceptive progressionsare also useful.

Movement from region to region is usually effected through the closer key relationships, though the most remote regions may be reached in the process. I There is a

, For delailed harmonic analys.is of typicat C3s.es, sec Schoenlxrg, Arnold, Structu,al Fu"CIIO'TJ of Ha,.ml)1IY. pp. 145 fT.

tendency to favour regions employing more flats or fewer sbarps than the principalkey of the movement, perhaps because the group of subordinate themes almostalways lies on the dominant side-more sharps or fewer flats. This tendency is particularly evident in the approach to the upbeat chord or retransition.

The beginning of the elaboration may be related to the cnd of the exposition in thesame manner as any other contrasting middle section. It may begin in the same region,even with the same harmony. Or another degree or region may be juxtaposed, with orwithout modulation. Tonic minor or major is quite common. Sometimes a kind oftransition is interposed, or an introductory segment.

If/usrrariotlsjrom the /it(!rature

Op. 13-1. The structure of this elaboration is not very different from that recommended for the scherzo. After a four-measure quotation from the introduction, asix-measure segment (m. 137-42) reformulated from elements of the principal themeand the introduction is stated in (! (relative minor of the dominant). A sequentialrepetition a step lower follows in m. 143. A reduced and simplified version of fourmeasures (m. 149--52) now appears three times. Though the dominant of c is reachedin m. 157, an extended cadential progression, liquidating most of the features of thetheme, intervenes before the dominant is finally confirmed in m. 167, A long passageensues over a pedal point on the dominant (m. 167-87), which includes two morcreferences to the theme-form used earlier. An eighth-note descending figure (m. 18794) acts as retransilion.

Op. 28-1. Here again the structure is essentially monothematic, and based on theprinciple of the sequence plus progressive reduction. The retransition al the end ofthe exposition is diverted to the key of the subdominant (G). in which the principaltheme is restated (m. 167-76). A slightly modified restatement in the parallel minor(g) gives way to a sequentt of its last four measures, a fourth lower. These eightmeasures (m. 183-90) are repealed with the voices interchanged as in double counterpoint. A reduclion to four measures (m. 199-202) appears in d; it is scquenttd in a.Further reduction to two measures (m. 207-8) with a freer (liquidating) treatment ofthe eighths, and to one measurc (m. 211 fT.) kads to a pedal point on HI (dominantof the relative minor in m. 219). Residlles of the motive arc reduced to a mere rhythmic reminiscence without even harmonic change (m. 240-56).

At this point the recapitulation could follow. Instead an cpisodic quotation of theclosing theme (m. 136) in Band b leads to Vof Din m. 266.

Op. 2/1-1. References to the principal theme appear only in the introductory measures (rn. 49-54), and in the retransition (rn. 95-100). The main body of the elaboration utilizes the subordinate theme and its residues in the familiar sequential manner,reaching a pedal point on V in m. 81.

Op. 2/2-1. An introductory quotation of the principal theme (m. 122) leads de-

20' LARGE FORMS THE SONATA-ALLEGRO 209

ccptively to the surprisingly remote region of Ap. An etude-like passage leads to a firmclose (rn. 160) in C (l,III). A sharply contrasted, rather lyrical section, derived fromm. 9-12, now follows. Residues, rather freely articulated (rn. 181-201), lead to V inm. 202, after which liquidation gradually clears the way for the recapitulation(rn. 225).

Op. 2/3-1. After an introductory modulation using the closing theme (rn. 91), anetude·like passage on unstable harmony gives way to a sudden quotation of theprincipal theme in D (rn. 109). A pattern (rn. 113-16), consisting of two sharply con·trasted elements, is sequcnced, following the circle of fifths, and extended to reachthe usual pedal point on V (rn. 129). Residues of the principal theme appearing overthe pedal point anticipate its reappearance in the recapitulation (m. 139)_

Op. 10/1-1. After a short introductory reference to the principal theme (m. 10617), the remainder of the elaboration is built upon a theme which, at least in this form,is not found in the exposition, though it is certainly related to the transition theme(m. 32) and to the subordinate theme (m. 56). A masterly imagination and intuitionare at work here.

Op. 10/2-1. The chief motive material of this elaboration derives from the incidental octaves at the end of the exposition (m. 65-66) and the ornamental tripletsixteenths of the principal theme. Again the composer's imagination produces a 'freefantasia' having only the most tenuous relation to the main themes. The end of theelaboration does not reach the usual dominant because of the curious recapitulation(see p. 210) which begins in D (submediant major).

Mozart, String Quartet, C, K.V. 465--1. Built entirely from the initial motive-formof the exposition (m. 23-24), this claboration is particularly instructive with regardto the use of motival transformation. Beginning (m. 107) with an imitative dialoguebetween violin and viola, the first segment presents a gradual expansion of the compass of the motive, reaching a climax in m. 116. In the process the upbeat becomesa broken chord, which takes over completely in m. 117. Note the transformation ofthe dominant seventh on F into an augmented 6/5 which leads to the dominant of a.The next segment starts again with the motive (m. 121), and the transformation iscarried further. Observe the figure ofm. 122-3, in which the motive is reduced to continuous eighths with a compass of only a third. In the continuation the motive isshortened to a single measure (m. 126 ff.), the upbeat again becoming a broken chord,which is liquidated in m. 128-9. The next two segments (m. 130-6, 137-46) use onlythe shortened form. The dominant is reached in m. 145, and the original form of themotive recurs briefly in the fonnulation which appeared in m. 121, but quicklyevaporates into interwoven broken chords (m. 151-4).

Mozart, String Quartet in A, K.V.464-1. The motival treatment here is equallynoteworthy, particularly with regard to the gradual reduction and liquidation whichbegins in m. 123. Mozart's harmonic subtlety is fully evident in this elaboration. The

end of the retransition (m. 162) overlaps the beginning of the recapitulation. A stillmore striking overlap occurs in his Symphony in g, m. 165--6.

TH E RETRANSITION

The close of the elaboration must be handled in such a manner as to neutralizemodulatory momentum and liquidate motival obligations created within the section.and at the same time to prepare the listener for the return to the recapitulation. Thereduction of motive-forms to minimum content, and the presence of relatively longsections stressing the dominant or some other suitable upbeat chord, have been mentioned in the foregoing analyses.

Often a bridging upbeat-like passage is inserted (e.g. Op. 2/3-1, m. 135; Op. 13-1,m. 187; Op. 14/2-1, rn. 121). Since this point is the junction between two maindivisions, a contrast of rhythm or dynamics, or both, and of register generallyreinforces the desired contrast.

In more complex compositions the liquidating passage over a dominant pedal pointis replaced with a series of segments resembling codettas, except that they repeatedlyapproach the upbeat chord instead of the tonic. They may include internal modulationor 'roving' harmony which, however, returns in various ways to the upbeat chord. Inthe Ero1ca Symphony-I, the dominant is reached in m. 338, some sixty measuresbefore the recapitulation (m. 398). It recurs briefly in m. 354, and is finally establishedin m. 378 ff. A similar treatment can be found in the Fifth Symphony between m. 190and 248.

When the recapitulation does not begin with the tonic, a different upbeat chord maybe necessary, and the customary emphasis may be curtailed or omitted (e.g. Op. 10/2I, Dp. 31/3-1).

THE RECAPITULATION

As in the larger rondos, the minimum change in the recapitulation is the transposition of the subordinate group to the tonic region.

Since no modulation is necessary, one might expect the transition 10 disappearhere. On the contrary, its effect is usually heigbtened, and it is often lengthened.Unless the subordinate group contains modulatory elements, the transition now pro-vides the only contrast to the tonic region which governs the entire recapitulation andcoda. Thus its value as a contrast becomes more significant.

A composer's artistry usually demands more than the minimum necessary changes_Variation, after all, is a merit in itself. Reductions, omissions, extensions and additions, harmonic changes and modulations, changes of registcr and setting, contra·puntal treatment; even reconstruction may be applied as the composer's imaginationdictates. Of course, the repetition must be recognizable as such, especially where thethemes enter. But th~ 'adventures' of the themes during the elaboration, and the


functional changes due 10 !.heir placement in the form, nearly always require modi·fication.

IIlustratiOIlS from the litera/Ure

Qp. 2/2-1. The firSI nineteen measures are repeated without change (rn. 225--43).The continuation, IU. 20-31, is omitted, and replaced by a seven-measure segment(rn. 244-50) which uses motive-forms from the preceding cadence. The transitionbegins to change in ffi. 255; from m. 2S8 on, it is repealed with minor changes, partlya fifth lower and partly a fourth higher. The remainder of the recapitulation is a meretransposition to the tonic key, with slight changes and adaptations of the register.There is no coda.

Qp. 2f3-1. Certain odd features of the exposition contribute to the changes in the:recapitulation. The transition segment, m. 13--21, provides motive-forms used also inthe subordinate group. m. 61-69. The transition ends. curiously, on J of the dominantregion instead of the usual upbeat chord. The contrast factor is preserved because thefirst section ofthc subordinate group lies in g (minor v).

In the recapitulation the leading theme is repeated exactly (m. 139-46), but thecodettas of m. 9-12 are omitted. A new transitional segment, built from the motiveform of the preceding cadence, replaces the segment, ffi. 13--20, but arrives at exactlythe same point (rn. 21 and ffi. 155). The remainder of the transition is re~ated withoutchange and untransposcd, arriving at V in m. lOO. But the subordinate theme followsnow in c, instead of g.

The subordinate group is repeated without any significant change up to m. 218.Here a sudden shift, through a deceptive progression, to the region of A" (flat submediant) inaugurates the coda. The closing segment of the exposition (m. 85-90) ispostponed to the very end of the coda.

Op. 1-1. The leading theme (rn. 189) is diverted in its fifteenth measure toward thesubdominant region, merging into a quite different transitional passage which is eightmeasures shoner than the equivalent passagc in the exposition. The subordinategroup recurs in the principal key (rn. 221), with only superficial changes. The finalclosing segment is interrupted (m. 313) to make way for the coda.

Op. 10}2-1. Ambiguous relationships in the exposition may account for the curiousstructure of the recapitulation. The principal theme ends in m. HI, on V of iiL Theensuing section (which would ordinarily be a transition) begins stably in the key ofC (V). Only its closing segment (m. 30--37) emphasizes the dominant of C. Thecharacter of this passage is that of a subordinate theme.

The recapitulation (m. 118 fr.) begins, strangely, in D (¥f) with a quotation of thefirst twelve measures of the principal theme. The following six measures are modifiedto approach the dominant of F(I), like a transition built from the principal th~me. Butin m. 137 the second element of the principal theme (already presented in D, m. 122-9)

recurs in the principal key, F. Theambiguoussegment referred to above (m. 19-37) nowappears, transposed, like any subordinate theme, to F. But in lieu of m. 27-29, a quitedifferent modulatory segment of ten measures(m. 153-62) is inserted leading to C (V).whicb is now emphasized like the end of a transition. citing the remainder (rn. 30--37)of the interrupted passage. The rest of the recapitulation is a repetition transposedto the tonic key without change except for two added measures (m. 187-8). There isno coda. but merely an additional repetition of the two-measure cadence at the cod.

Op. 10/3-1. A similar ambiguity in the exposition produces only minor changes inthis recapitulation, perhaps because of the length and large number of themes.

The beginning is repeated literally (rn. 184) up to m. 197, where a new connectivesegment built from the end of the theme (and one measure shorter) replaces the repetition of the opening segment. The theme of rn. 23. which originally appeared in b (vi).now recurs in e (ii). intact except for the omission of two measures between ffi. 221and ffi. 225. The rest presents only minor changes up to ffi. 296. where an extensionof the half-note theme and a reconstruction of the retransition introduce a coda containing internal modulation.

The recapitulation in minor presents special problems, particularly when thesubordinate group is in major. The interchange of mode upon repetition in the principal key is not always practical; and remaining too long without relief in the minorbecomes tiresome. The adaptations made to solve these problems vary widely. A fewrepresentative examples should be supplemented by further exploration.

Op. 2/1-1. The transition (m. 109) is reconstructed, using the same motive-forms,above a different harmonic skeleton. The entire subordinate group recurs in theprincipal key (f) without significant change. A short codetta is added.

Gp. 1011-1. The leading theme is repeated (rn. 168-90), omitting rn. 23-31, whichwere based on the opening motive-form. The transition (m. 191-214), substantiallyintact, now leads to V off (iv), and the subordinate theme follows (rn. 215) in F(IV)! Fourteen rnea:;ures are repeated literally, providing contrast in major; then aftera short connective, the entire passage is repeated again in c. The remainder presentsno significant change.

Op. 13-1. The original transition is discarded in the recapitulation (rn. 195 fT.).In m. 207 the end of the theme is divene<1 and extended leading to V offOv). Thechief subordinate theme now recurs in/. but is soon (m. 231) diverted toward c. Theremainder stays in the vicinity of the principal key, with, however, pervasive modifications of detail. A short coda is appended.

String Quartet, 01'. 18/4-1. A quite different solution appears here. The entiresubordinate group, originally in £1;1 (Ill). appears in the recapitulation in tonic major(C). The return to c occurs only at the second codetta (m. 199).

Mozart, Slring Quartet, d, K.V. 421-1. The entire subordinate group is recapitulated in tonic minor. Straightforward as this might appear, from the beginning of the

•••••••


transition (rn. 84) hardly a phrase reappears in its original form. Changes of melodicline, harmony, rhythm and even structure occur everywhere. Particularly striking is theshirt of phrase aftcr phrase by a half-measure, interchanging primary and secondaryaccents. Yel far-reaching as the changes are, the psychological effect is only that ofa variant; the recognizability of the repetition is not in the least endangered. Mozariex.celled in such subtle reconstruction.

TilE COD A

The function of the coda. and techniques employed in it, were discussed in ChaplerXVIIl. lis application to the sonata-allegro form does not differ from its use in thecases described there.

The presence or absence of a coda, its length aDd complexity, its character andthematic material, are subject to endless variety. Common features are; repeatedcadences to the tonic; citation of previous themes; reduction in length and conlentof segments in approaching the end. In the more elaborate codas modulatory seg·ments often appear as transient contrasts, returning to the tonic.

llllLJtrations from the literature

Op. 2/1-1. A short codetl.a is added (m. 148-52).Op. 212-1. No additions.Op. 2/3-1. The closing theme is interrupted (m. 218) by a deceptive progression to

Rat VI. Through modulatory broken chords and a cadenza, the tonic is reintroducedin m. 233, with a quotation of the leading motive. A passage reminiscent of theimitative syncopations in m. 123 If. leads again through a rather extended cadence tothe tonic in m. 252, where the broken octaves that closed the exposition recur to closethe movemo;nl.

Op. 7-1. The closing codeltas of the recapitulation are enriched and extended (m.313 If.), with a reference to the leading motive. Another segment, stressing movementfrom I to V, is built from the second subordinate theme(m. 324-39). A pedal point onV is reached in rn. 339, over which the codetta figure recurs, treated like the end ofa retransition. The tonic is reached in m. 351 and prevails to the cnd.

Op. 10/3-1. The exposition closes with a retransition (m. 114 fr.) which, in therecapitulation, introduces the coda (m. 299). After emphasis of the subdominantregion, the dominant of flat I1 appears in m. 317, using the theme ofm. 75. Throughambiguous and modulatory harmony. the tonic is reapproached in m. 327. Referencesto the beginning of the leading theme and neutral passage work. associated with anostinato repetition of the tonic. bring the movement to a close.

Mozart, Symphony, g, K.V 550-1. The coda includes a modulatory passage (m.28Q-4) and imitative, liquidated quotations of the leading motive (m. 286-92) betweenthe two codetta figures.

CONCLUSION

The meaning of form as the organization of intelligible musical ideas, logicallyarticulated, is particularly evident in the music cited here. It is also evident (as sta~ed

in the first chapter) that the more developed forms cannot be constructed by layingmusical bricks together, or pouring musical concrete into preconceived moulds.

Only the sensitive formal feeling of the artist can determine the evolution of amotive into the fully elaborated masterpiece, stripped of excess, but fully realizingthe composer's vision.

Clearly this book lays only a foundation, drawing from the practice of composersbasic principles, processes and methods, which can be imaginatively applied far beyond

its limits.The continued, intimate and thorough study of musical literature is the best meaos

of extending and clarifying these concepts.

APPENDIX 2Il

APPENDIX

(Editor's nail!. The following description of Fundamentals of All/siru! Composition representsSchoenberg's first fonnulation of the aims.. contents and methods of this book. It was includedin a letter Ihat be sent to Professor Douglas Moorc of Columbia Unin'rsity on 16 April1938.)

FUNDAMENTALS OP MUSICAL COMPOSITIOS

The principal aim of this lc;o;tbook is:

(1) in first order. to provide for the average student of the universities, who has no specialtalent for composing or for music at all;

(2) to widen the horizon of the le3chen; (of this and other conllnent:»:(3) to offer, at the same time. everything to the talented musician. and even to him who

later might become a composer.

This will be made possible by lhe circumstance that c\'cry technical malleT is discussed ina vcry fundamental W3Y, so that. althe same time, it is bolh simple and thorough.

I have not decided definitely whether this will be done by printing the advice and theexamples in much smaller size or by adding a 'second part' which gives 'further advice' toboth the average student and Ihe lalented one. This will soon be done when I go over thewhole for the first lime. I incline more 10 the idea of this second part, because it would betterrestrict the part for the a\"erage student to the necessary minimum and one .... ould not beafraid to extend the additions so that they really become of value to a future composer.

Then:: .....ilI be discussed the usual musical forms: sentences, periods, three-part song fornl,menuello, scherzo, thenle with variations, the \'arious mndo-forms and sonata.

There will be explained, and advice given (among others) for such technical details as:how to build motives, phrases, half-sentences, sentences, periods: the use of harmony as b3sisand backbone of all formal purposes: stable, solid forms and loo.'iC: construction; transition,modulation, subsidiary themes, codettlls and codas, and, cspeci311y, the c:laboration. One ofthe most imponanl mallers: harmonic variation.

For the construction of themes and melodies advice is given by discussing how to varymotives and phrases; ways arc shown how to join the various motives 10 build units. Forvariations. advia: is 8i\'en by showing, in a very rich manner, numerous ways of circum·scribing, of figuration, of development of the rhythm and of lhe harmony (systematically).

There arc special articles on: Manners of Accompaniment, Use of Counterpoint in theHomophony, Character and Mood, Monotony and Contrast, Coherence, Even and UnevenStructures, Climall, Melody and Theme,

A special feature of this book will be the clIamples and the assignments for the stud.:nt.

To illustrate how this will be carried out 1 .....iII mention, in plaoc: of further details., only one

of lhese cases: . .When the scherzo is discussed Ihe studenl is asked either to compose by hlmself(accordmg

to adviee) a theme, or to use a motive from a eo~posilion by a m~sler. The example 1~0~brings a ~cherzo theme built with the use ofa mOlLve fro~ an adagiO by Beethoven. T~IS ISone point. And now, to build the second part-the elaboration-Ihere follow examples of howto draw from one's theme', There arc given t.....eOly different patterns (four measures each)to show: how the basic motives can be transformed; on .....hich degree oneean start and end;how the pattern can JWovide for the following sequence; how the harmon~can. behave (thesequenot is added in different ways). And now follow twelve examples showmg dlffer~nt wa~of continuation aner the sequellCe, induding Ihe liquidation of the elaborated motives and

the relransition 10 the recapitulation. .I think this method is..perhaps the most outstanding feature of the whole book, peda~ogl

cally. In my three years' contact with university studen~ (I had to cha~ge many of my Ideaswhich I developed within almost forty years of teachmg) I have .realized .tha~ the. greatestdifTlCulty for the students is 10 find out how they could compose Without.bemg msplred., Theanswer is: it is impossible, BUI as they have to do it, nevertheless, adVIce has to.~,~lVen.And it seems to me the only way to help is if one shows that there are many poSSibilities ofsolving problems, nOI only one. This method of sho~ng a.lways ~ great number of methodsof solving problems and explaining them syslemalJcully IS carr)ed out through the whole

book on every poinl where it is necessary. ,Considering the great number of subjects and, especially. of uamples. one m.lght ellpoct

that the book will become too voluminous. But it seems that it could be kept WithIn a normalsize if onc uses such types which are used in new music editions and ifonc use~ a form of p~r<:rwhich corresponds better to a tutbook on music than used hitherto, But In no casc will ItsurpaSS by vcry much the customary exlent or books on this subject.

ARNOLO SCHOENBERG

•

INDEX 217

INDEX

...- ....... ' form, ~TcmafY fomu

......., ......M. A8ACA., A8ACAIA forms. 1ft' Rondor~.

A-section:ofminud,'41 If.0( roodo. 190 fr.of 5I:lw::mJ. ISIof smalllenlary (ann, 119 rr.of $Oflata-alkc.ro, 200 If.; SN 0/50 Exposition

A'-5eelion, ut Reo;:apitulationA.ooom~niment:

"gur;lIion in. 83.114,113; Ex. 126molivcof,16,28.60,83f..S6r., 12l; 10>:5. SS,64, IOSomiuibililyof, 82 f.~r1.wrilinll in, 28scmi<onl",pUTllallreal~nt of, 10, 8S f.; Ell.. 29types of, 83 IT.

Ancillary nOle~, su EmbellishinG m,le~

Andante forms, Sn Rondo ronnsAnl<:CI:dcnt. IN' PeriodAPfIOllll:iulUras, Ut Embellishing noll:SAsymmelrio::al construction, 131 IT.Auber, D., Fro Dia.ala, lOO; Ex. 8SAu~nlalion, 9, 61; EM. 14, 60hAUlI.iliary Iloln, IN Embdlishinll nolO

1~5eICt;on.su CoolIbtinC middle sectionBach. J. S.:

contrapun131 mo,"antnt in, 26: Ex. 43&,IQ1I Sin/n. 26,103; £>.s. 4J, 91F,t~" S..l,,,, Ex. IIIGoIJbn, V....iar......., 161MiirWl.&.11lpusxa,lia.l72period5, 26; Ex. 43SI. MlJ"ltn.> Pa.aimf. 60. 9~; W. ~7. 68dsentences. 60, 62; F.J<. ~7

Ibrt6l::,IJ., S"i~ Quorln No. J, &. 112Ibss:

1$ 'canlUS lirmus', 85doublinc. 27, 84; F.J<. 4~Imc. 31. 86.117mo:lodic, 31, 86Syslems. 84; F.J<s. 64--f>~

lJc,elho~cn. L van:CQI1Ct"W, Pia"", Op. 37, E~. 46k1"14t"''''. 100: Ex. 83l.1r&er forms. 179 If.minuets. 141 If.; Ex. 118periods. 2j If., 29 C.; EJU. 42. 46Quartets. St,,,,,~, 22. 27. 29".• 61. 8S, 103, 115 n.,

138,01, Ij2, IS.!. IS4, I~S, 156. 1~7.184.18~,

186, 188,19J. I~, 19~, 200, 202, 211; Eu.. 46i,j,62d, 66<", 67, 96, 10000, I20b

relatloa of mo'"CmCats In $OllltU Ind strill&qwu1et.s, 199.200

roodo II'lO\'t:lTll:Dts. 190 If.Khenos, ISO If.; &s.I20, 121Knl~ 21 C., ~9 If.; En lS-J7, S2-SJ~ptrl, Op.lO, 27, I», IjJ, HS; Eu.46or-csmalllrmary forms, 121H., 124 f.; Ex. 101sonata·allegro movemenls. 202 fr.Soroata, Violin and Piano, Op. JQ!l. I~I; Ex.I2O<:rSDI"'t"s, Pum". 9, 22.!S. 26, 29, 30, ~9, 82, 82 n.,

8l-87, 94, 98,101.102, IQJ, lW, 121, 124, 125,142, 14J, m, IB, 1S4.IS~, 151, 161, 168, I1J,179, 180-ti, 190-9, 200-12; Exs. ~2D_l", Slo, b,6l. 92, 100, 101, 118, 1260

Synlphonin, 9. 21, 8S, 93, 94.138,141, 1S1, l5J,154. I~~, 156, 1~7. 182, 18~, 190. 192,206,209;Exs. 12b, e, 46h. 680, lOO, 110, 120<-, l21

Trio, Piano, Op. 97. EXI. 62b, 66bTrios, St,inK, 27.150; I;xs. 4&1.,variation.'l, 167 If.. 188; Eu. 124. 12S

Brginning:of consequent, 29eon$.truction of, 2~COnlT3puntal. B:2of senten<:r. 20u~panied.82

8crliol, H.• R<JmtJJt C",,,i,,,1 O.w/u,t'. 938inary form.. 168, 168 n.8.i~. G .. Ca'_f<, lOO; F.J<. 90Jlr:1hms, J.:l"tm_~~o. Op. 117'1. 191Iargc'r forms. 184pcnods. 30 f.; F.J<. SIQuartns. pu.-, 103, 137; W. ~Id, 108bQ_nt'u, St,ilW, 138, 161, 184; EAs. ~I .., b. Ill ..Quin/tu, 15. 102. 1ll4, 204; Ex. 9Serondo ,....,'"C"f1>rnIS. 191. 194scher~os. ISO, l5J C., 1S6; Ex. 12Jsrnlrncn. 60 If.; G.. 61~~'/'"/s. I~J. 1~4. 156.151; W. S.... 123Sonata, 'C,11o 011<1 Pia"", Op. J8, Exs. 61 ........SotrotQJ. VtDlin ..,rd I'ia>l(}, EM. SI fo, 61<1S<>"Ks. 99; h. 74SJ·"'plro"it~. 8'1, lOJ. 184. 194; Ex. 13Trios. 102. 1}7; E.s. ~lt'. fJ4j. 9'1". b, 101,'arialions, 167, 170 If.; Eos. 6&1'. 127

llrokcll chord:aocornpauimem, 83 r.derivalions for rnoti,'~s ami "luases, 4, Q, 28, ~9;

Exs. S-II. 17_29, J()"34, 54- 'i6

Brancr, A .. 31 n.ICherzos, ISOSymp/ttNly No. 7, Ex. 2h

Billow. H. van. piano tl"llJUCriplion of Wa&DC"r'1Tristan, Ex.. 64d

Cadence (cadmec:l):approac:h 10. 205in CXlda, 18S. 2.12roodcnsalion in, 61; Ell. 60r~tour,!S,6010 dominant, 112, 179~vasion of. 204in.rnsificalion of, 27; Ex. 46to medianl, 12melody in, 29 f.

Cadena:s. lypes or:authenlic, 26, 29~nri<:flcd. 29. 124, 156, 179extended. lOS, 207. 212final,1I9full, 2S, 26. 29, S9, 125, 202. 2OJ. lOS, 211. 212;

Exs_ 44--4~, 10ldhalf, 2~, 26. 29n., S8, ~9. 125; Exs. 44. 102;imperfect. ~9p'rfcet. 29, ~9

Phrygi;lll. 26. 29 n.• ~9; Exs. 4le, ~

plagal, 26, ~9; Ex. 4J<1Cnanginl notes, st't' EmbeTlishinl notesCharacter:

in accompanimaIt, 28or minuet. 141, 143and mood, 9J If.and rh)·lh.m, 3oflCheno. 150of varialions. 168

Chopin, F.:&Jladr No. 4. Op. jl. EL 64c'~rristic picca', 93Et... Gp. JD/IO. Ell. 64b1"OIltaisir--lmpromptOl, Gp. 66, Ex. 6WNoc/..-'OU, Exs. 49a--<:"",,-'SO

C1uxds:aJICrrd. S9 n.augmented sixlh and six·five, 125. 181, 208chromaric, ~9 n.diminished sevenlh. 125dominant se\ICnlh, 125, 208Neapolilan sixth (and triad). 30, 156six-four. 60 n., 62, !OS

Chromatic:chords, ~9 n.progression, 117$C31e. 100, 184; Ex. 86

Chromaticism, 99Circumscribinlllotes, ue Embellishinl nntesCI05inll section, 19~; stt! a/sa Codn. Coderrn

Oosin. lhane, 201, 208. 212""",of larcrr ronns, 13$ If.; Ex. 128ofrondo.I96I1'.of IChcno, 1S1oflOOala~lqro, 201. 210 If.of tbemc and vui."lIions, 167, 114

Codrtr.a:of larerr fonns. 178.186ofminUC"l,14111'.of rondo, 190,192oflCheno, 153, 1S5Tf.ofsmalllC"TfW)' fonn,l24of SOllala~I"'cro,202, 204 f., 209. 211 f.

ConxqUC"1lI, I« PrriodConslrut:1ion:

of lhe belinninl, 21, 25dWn·lik~. 26, 122; Ex. 102cessc:nlials of. 2of hannony, 29of motive·forms, 28of simple Ihernes, ue 'Tab'" of Contents'of th<:mes, ue 'Tabl~ of Contellts'uneven. irr.:.ular, and Isymmetrical, 137 If.

COlltour (COnlQurs):of th<: A-section. 121<If cadrnce. 29, 60ofrompositiolll. IOJ; Exs. 91-100of melody, sa Melodyof motive. ue Motive

Conlrapuntal:ace:omp&nimenl. 84 r.addilions.188bc&inninJ:, 82rpisode$. SSlllO'o"mJmt in Bach, 26; Ex.. 4Jpseudo-conlnpunllll, 191q~lnIpuntal (q.v.)imli<'Olll~punlal(q.v.)"yIe,20trntmc:nt. 84, 142lrio KlClion (of Rondo), 196 If.

Conlrut (contrasts):in~29f.

in elaboralion (1CIction), 201of forms, 21. 118harmonic. 21. 118of keys: or relionS. 206in Ial"lCr forms. 178in periods, 26, 21. 29 f.in phrases. 11in rccapitulalion, 209in retransilion, 209rhythmic, 94. 209inSl:nt~.21

ill ~implcr fonn', 118of themes, 94.102. 183, 204of tonality, 19'

'" INDEX INDEX '"ConlfUC (contrasts) (.-I.):in transiti..... 178of trio ud minuet, '4)in variations, 167. 170

Contrastma middk section (a«<;tionj (1ft' aJroElabon.tiooj:

of minuet, 142 f; E.u. 1ll-14, 116of'rondo, 1901f., 195.,.., 197r.ofscherzo, 151 If.; Ell. 1220( small ternary form, 111, 119, 120 r.> 124 r.;

EM. 101-1or 5Qnata-a1IeUO. 200 fr.

COI\vCnllon.a1 formulas, u~ Embcllishina notesCountermelody, 85, 86; SeC also CounterpointCounterpoint:

c:vmbinalive,l72f.double, 85, 152. lH. 112 f.. 183. 197,201; Ex. 122invertible.8Smultiple, 85, 156, 1721.temi- and quasi-.M, 117, 125 n.in YUUolions. 172 r.

!>ana: ronns. 93 r., .4., 14): s« QlsQ Minuet, Suitel.)rebuuy. C..A.:

LA "'",93P,11bu n MiliMRttk, 100; e... 79

Dca:pti¥c. In Cadcnocs. ProanssionsOacriptive music, 82, 94[)ev.elopmcnl:

of moli~. 8, 9. sa. 102, USof rhythm, 102orl~ lIB

[)evclopmmt SC:Clion. SK ElaborationDiminidlCd,~ Chords, IntervalsDiminution. 9, 11; Ex. 14DilllOllances, .•u Embclli.lhinll notesDilllOllanl intervals, 100: Ell. 7l1DDominant:

artificial, 142, IS3, ISObe&innina on, 29auknoe.ln,INcommon dominanl. 122; Ell. 1026dwdlins on, 121. 142. 14), IS), 179, 186cndinl on,ll. 26. 29, 17"J. 180, Ill; Ex. 6Mkey, Vpedal point, l20lf., 142.180.198.201,208.212rqion (q.T.)_tll., SH Chords

DunJU..... I~I n.. 2OOn.; I« tIl.w EWlonIlion

Elaboration (section), 1S1 n., 200 n.libwnt~nsmiddle $CC:lion. I.). 1$10( rondo (c-«lt1iof1). 196. 197 f.oI'tehcrro, ISI. 1S4; Ell. 122of .anala-allqlll, 200 f., 206 fr.

Embellishins notes::lrleillllry nOles, 10. 10 n., 17, 28; Us. 28. 31-J)appouiatul'U, 83; Ex. 11aUlliliary noles, 8l, 86

clwl&illl note:s, 7,13; Ell. IIOl'tllmsc:ribina nIDIcs, 124oonvmtional formulu, ), 17dissonanas. 99; Eu. 71o-dne;,.hbourins tora, 169oon-doonW nIDIes, ). 17PUS;f\I: 00(cs, ); Ells. 8-9suspcmions. )

Embellishment (embcllisll.mmu):of hannony, 192of mc:lody, 19)of molive. 12: Ell. 16onliMion of, 169of phrase, 4; Ex. 10of repetilion, 8Sof voices, 8S

End (ending) (s« QIJlJ Cadcnoc=, CIosinI seclion,Cods, Codcl1a):

of A'-$ection, 119of anlcoedent. IIon dominanl.ll. S9; &. 60bof elabor.olion (section). )1. 12in~ and minor. ~tma.sculinc and feminine. 26. 26 11.

of period. 29. 1ltof phrase, 3. 117pl"flllatu",.26in n:o;:apitulation, IIIof Kntena:. 119of simple forms. 20ofl~nsition. )1

Episode (epis<>de.j, ISS f.CO<1Ir.tpunlal,8Simitative, 184inserted, Ex. 4Soill larser fonns, 178in rondo, 190, 191in scherzo, ISS f.in lransilion. lllO

Etude·like !leCtions. 101. 196. 198. 208Eumplcs, SH 'Table oI'Conlents'Exposilion (SCCIion);

of rondo, 197 f.0( IOnIla-a1Iqm, 200. 201 11".

ExtenPon (C'Xltmionsl. lS~

in Ial"l« fonns, 171.117. 19Sin minuet, 1.1. 10in period, 26, 30; Eu 4#,., 4k, din JclRrro, I SS f.in scnteno:, 60; Ex. Ss.:in smaJltemary form, 120. III 11".; Ells. 1mb, ~in lon:ua-a1Iesro, 202

Firsl movement form, Ut Sonatl-allqro formFonn:

and char.lCler, 94concept of, I f.meaning of, 213

teMe of, 118Forms, _ Binary. Danoe. urcc follllS, Minuet,

Rondo fOl'Tl1S, Sc~rm, Sonata-alklllll, Ternaryforms, Theme and vlNotions,

Franc:k. C.lI n.FUpIO, 84, 8S. 192FU81le, 21, 84, IS. 167. 169. 172

Griq. E., Aut"",,, 77to.,1iTf, 99; Ex. 7S

'brmony (harmonia):in ac;companimc:nt, 82 f.in anlcc.:dcnl, 2S. 26, 28; Exs. 4J...-Stin cadenu. 2S, 29 f., 59, 86: U~ also Cadcncecentripetal and centrifugal, 61 n.changes of, 10, 86; Exs. 2S-29coherent, 16, 16 n.comlllc~,)1 n.in oonSCljllent, 29; Ex!. 4)-SIin tontraslilll middle section, 120, 123inscnions of, 10; Ex. 26mtennillcnl. 84in...,~ions (q.v.)in minuet, 141motive of. 16mull.ipk munin& 01'. 30nilldccnth-.o:ntury devclQpmcnl of, 31 n.passilll. 10,22, 14), 171; EM. 29, 38in pedal point,~« Pedal polntphrase. built on sinllle han........y, 4; Exs. ~_IIrelalion to mck>dy,). 102. 10l, IS~femOle. 10}, ISSroving. 206in scher,{). 15<1 If.Schubcrt's, 61 n,in sentence. 21 f.; Exs. S2~1static. 117; Ex. lOSesubslitutions, 10. S9. 124; Eo.. 27ofa theme:, 102, 10};n theme and .....ria.tions. 168 fr.varialion of, 29. 124, 172

lIa)"<In. J.:minuets, 142; Us. 114. II~

periods, 26 fr_. 30: Ex. 44Q_rt~ts. Sui"¥, 26, 10), 142, 191; Ells. 44, 98.

114, liSrondo ~IS, 191SCQtcnca, 60; &. SIsonala, moVUOC'nts of, 199.so-'<IS. Pi_,6O, 121 f., 125; EM. SI, 102v;IIrialions, 161

Hdroc, H., Bucll (k, Unk', 104Homophonic, 8, 62, 83, 84, IS, 122, 12S n.; Eo.. 103

1l111Stralions from the lilerature.~ Table of Con.tents'

Imilation (imitations), 8S,86, 1.2. 183, 184, 193;Ex. 116

Instruments (instrumenlll), 17, 98,101. 10); Exs.92-96

Intercltange:of harmonics, 122; U. 10"....of major Ind minor. IIIsem;<ontrapuntal, Ex:. 44,.of tonic and domiMnt, 16, 15, 120, 168,179,186;

E". 4Si>. cInlel'';)l"

augmented, 99; Ex. 69changed in mOlives and phrases, 9. 10, 17; F..lll. 18-

2}, ) 1_}4diminishcd, 99; Ex. 69dissonant. 100; Ell. 78rlof melody, 16, JOof ntotive, 8, 11tempered, 99vMiatilJns of, 14J

Inversion (inYcrsions). 167hannonic. 10,29,86, 117; Exs. 25<1, h, 4Sf. t,

46c, It, SI!. S8d. S9,.melodic:, 9; Ex. 14ofvoia::s(mvc:rtiblccounterpoint), 142; Ell. 116

lrrellular COflSlructlon, 117 If.

Key (keys) (~alw RqJOCI Tonality):0( lhe dominant, 27.,...prc:ssion of, 3related and COnlta$led, 14J. 204. 206

Large forms,.J« Table of Contents'La'¥"r fom.... parts of, 178 If.liquidation. S8 f.; F..lls. ~241, h

of aocompanift1(:nt, 83, 116in larger foml', 17~, 179 If.• 181 f., 1113, IllS f., 189of motive_forms, JO, 151 If., 179. 209in rondn, 192, 194, 19Sin scherlO, 152 If, IS' n., 156, I S7in sonata_allegro, 202 If., 206 If., 209, 212

Mahkr, G.:/)Qs I~ 1/011 tk, Er,". 99; Ex. 77Qharmony, 31 n.irregular constroction in. 138lkd dt:s Vnfol,-'t" ilff r",,,,... Ell. 77h

"'"'-".Mltlhc:5on, J., rollklMllnC.-r K~/_istt" 20Mdody (melodIC):

balan<:cd, 16, 28in bass line, 11, 86.117from broken chonl, 4, 28; Us. 5----11in cadc:ncc, 29 f.; Ell. 4~<:Jlmax of. lO, 86, 116; Ex. S20compass, 2llcontour, 21 f., 27, 30. IOJ,I2J f., 142; EItS. 97_100inslrumc:ntal, lOt: Ex,. 92-94modem melodic line. 104in period, 26 f., 29 f,quasi-melodic, S9 n.

••••• ,.~.n.n.n.,",.cww__~",",~

INDEX221

....a •••••_~of..., ,., .

INDEX

Retion (R"gions);of adencc, S9; £xl. S6a, bdwI&e of. 179closely related,I20,I72, 206oonrnstina. ISS, 190in oontrutina middle section, 120d"",inanl, 120, 112, 179. ISO, 181, 181, 196. 197.

207,210; Exs. SI", b, (;lain elaboration (sco;lion), 206 f.in episodes. ISSin exposition, 20ISforeign. 31 n.in rccapillllation, [94,204R"motl.', 155, 182, 18S, 188, 206, 208in rondo, 190tonic. 31 n., 188, 189, 190, 192, 194. 195, 197, 21 Iin transition, 194,203various other reaions. 31, 120, 122, I2S, 154, 156.

172,180,182,183.186.189.191,192.193,194,196,197,198.203.206,207, lOll, 210, 211, 212;F..xs. Slo, 1000, 104

Repetition (repetitions):in aa:ompaniment. 83f; Exs. S9a, dcml:cllished, ISinternal, 60,61, 123,137, 141, 118, 179,192,195,

1%of int~rvals, 10; EQ. 2O.lP, 22a, b, din melody. 103and monolOl\Y. 116f.of motive, 8, 16ofnot~ 9,10,124; Ex. 17rhythmic, 10,27,83; E:o:s. 17/, m, Is.-5Cqucntial, 62, 180. 19S, 206 f.: tU "/JO Sequencevaried, 26, 30, 31, 61, 61 n., 62, 121

Repetition or various forms:in period, 2S f.in 5Cntencc, 20. 21. 58 If.; Exs. 58-60of other forms, IN Recapitulstion

Retransition:in lafiC'r forms. 181 f.in rondo. I9S If.in sonala·aJlccro, lOS, '207. 209. 211, 212

Rhythm (rhythmic);in lhe accompaniment. 28, 81, 83, 84, 8S; Ex. 65additiom 10 phruca. 4: E.u. 8. 9d\anals. 9,10, 17; £xl. 17, 18, 21~24, JJ-J4complementary. 84oootralitS, 28; Exs. 4Sb"in cIance forms, 93 r.i~ and dccru.se. 29, 30irrc&lIlar conslNdion of. 137 f.in melody and Ihtmc, 102 f.in minuct, 141. 143of motive, 8, 9; EllS. 12, 13, U,I6preservation of, 17, 22, 30; ExlI. 32,40repetition of, 27; E:o:s. 46<1, 47b, cin xhcrzo, ISOof theme and var;"\ions, 169 fT_, 173 r.

;n principal theme, 202 If.by RonwlOC CO/"IlPC*/'S, lO r.; &s. 4&-.-51in schcTzo, UIand Imtene:e, 20 r., 25, 58in small tcmary fann. 119lf.; Ex. IQ2QY:lricd n:prtitions or, Ex.. SI e

t'hnose (phrases), 3 f.; Ex&. 1-11buildiOfl phraics, 16 f.; Exs. 30-34cndins. 3, 117lenath.),4irrelular,4,141in period, 25in senlence, 21 f., 58lf.writing of, 8, 11; Exs. 15-29

Phrasing, 60, 62in melody, 103of theme, 168

Phrygian, su CadcnocPiano;

style, 28. 83, 84, 120, 123, 124, 12S, 172, 193; Ex.'OS

lranscription, 83; Ex. 64d"Tiling, 87, 18S

Plapl. :we CadencePopular music, 20, 27, 167Pral;ti;c farms, 2

of oonIra5tin, middle teetion, 120. In: £.1. 10Sof minuet. 141of period, 2SofsclJcrw, 1S1 If.; Ex. 122of senlence, SI; Exs. S4-S6

Principal theme (Iroup);of rondo, 193of sona!; ..lkgro, 202 If.

Programme music, 93, 94f'rolressions;

do;lcptive, 121, 141, 206, 210, 212harmony, 3, 28root, 16n., 28, 118

Pucxini, G., TlUtwIoI, 100: Ex. 88

Ravel, M.:harmony, 31 D.P_ potn' ...... 11l[1JJt'~ di-flUl1~, 192-".RenpitulatioD (.......section):in minucl,1411f.; Exs. 113, 114in rondo, 190 If., 192 I., 19S If.in Khcrw, 1St If.in small ternary form, 119, 123 If.in sonata.alkgro, 200 r., 209 fT.of subordinate theme (group), 204, 206, 209, 211of theme in minor, 195, 204, 211in 'wrong key', 1St, 194

RellCr, M., 31 n., ISO

Part.wr;tilll, 22, 28; :we aUo Voice leadin,Pans of Iaf'llCr forms, 118 If.Passin, Ilarmonics, I« HarmonyP~ill& notc:s, s« Embellishi", notC$~I point, 31, 143; Ex. 51d

in coda, 212in conlnStina 'middle xetion, 120 If., 142 f., IS3on dominant, 1201f.• 142, 180.198, 'lU1, 2Oll, 212in e~bontioo (section), 31, 'lU1, 20llinverted, In: Ex.. 1211in rccapilubl;on, 1S6in n:tl'llllSilion, 182, 19S, 198, 2O'Jin subordinate tbcmc, 20Sin transition. 31, 180on upbeat chord, 142

Period (periods), 2S W., 29 If.: Eu. 43--51antecedent of, 2S If.consequent of, 291f.irrelular, 26, 27, 30,137

Nciahbouring tones, tu Embcllishin8 /IOtaNO/l-ehordal notes, see Embcllishina notes

<>Stinato (oslinatos), 8S, 153, 156, 172, 182, 212;E1s.12Id-f

of Ihemc:, 21, 102treatment of, 9o(variatKln, 169 If., 113; E:o:. 126a

MOIive·fonns, 8 r., 17; En. 5-11, 17-29, JOccnntttm,:, 16r.; E.u. 31-J4in lar",r forms., 181 f., 1116in minuet, 142in period, 25, 27 f., 29 f.~n IChcrzo, ISO If., US'n senlC'Ott, 60 fT.in small ternary form, 119in sonata.alleyo, 203, 204, 209

MolUs, 82, 84, 86, 172; Ex. 67aMoussorS"lky. M .. XI",vaflllr"hifla, 100; Ex. 87Mourt, W. A.;

lalller fomu, [84, 186 f.. 188: Ex. 128Magi, Flul~, lOO, 101; Eu. 82, 93Mrmu,ge of rlga,a, 60, 103; Exs. S9i,99cminuets, 141 If.; W. 116. 117periods, 30; E:o:s. 38,45Q",,"'t, Slri"" 85, 103, 142, 143, 184, 186, 187,

188.191.208.211; Exs. 990, 116. 111, 128nxooo IedInique, 60, 86rondo IDl»'emcnlS, 191. 1945Crtt"""" 60 f.: E.J:. S9small ternary forms., 122: Ex. 10)IOfIata llcgru ~ntl., 20ll r., 211 r., 212s_, voo/... ....a Pk>1OO, K. V. In, 121: EL 103Sotta, Piano, 16 K.• 60 f.,IOJ; Eo. 4S, 59, 99<1', eS)....phonks. 103, 141, 184, 194, 202. 209. 212;... ""varialions, 168

Melody (mdodic) (a>td.);relation 10 bannoIly, 3, 10, 16, 28; En. 2, 3, 28. 2')Scbubut'... 21; EL 47in tmtax:c. 21 r.aDd theme, 981[., 116~.82'lOCal, 98lf.; En. 73--91

Meodebsohn, F.;C_,~, V"'fi.., E:o:. 'lJperiods, 28, 30: E:o:."Qua"~', Strilll/. e ",Ufo" E:o:. 'lexbcrws, ISOStNl8t, 30; Eo. 48

Metre, 3, 4,10,21,100, 120, 139, 141, ISO,I68; Ex. 86Michel:tll&e1o, 2Middle sco;tion. tU Corur.~linlmiddle: sco;tionMinor;

endina, 29kadina lone of. 59 n.PIlrallel,IO,I99reo:apilul.ation, 195, 211 f.xq~59n.

auboo:linate tberne, 204variationl, 17I

Minud, 14Ilf.; E:o:s.. 113-19form, 141movanmt of 1OfIata, 199and ICh«zo, 1SO r.Ibcmt:s of, 142Itio (5«liool, 10

Modulatioo;in G-lCC1ion (Rondo), 197 I.in coda, 157, 189,212in contrastinl middlt: MIction, 143, 151 If.in elaboration (sco;tionl, 201in extension, 155 f.harmony of, 157, 180, 181in recapitulation, 209 If.remodulation, 82, 15S, 182, 184, 186, 211remote, 99; E:o:. 730in relr:onsilion, 181 r., 209by lCQucnt:es, 59 n., 143, IBin subordinate l!lcnle (IJTOUP)' 1831[., 204in lransition, 1781[., ItS, 20310 varlow rqions., 1St, 179, lU,193

Mocive (motives), 8 If.; En. U-2')of.ecompanimcnl,~ Acalmpaniml:nlconstNdion of, 31 n.contour of. 9forms of, .J« Moln.e.fonnsin homophonic and conlnopunlallcd'miquc, 142inlerval Ie<>tura of, 8 If.liquMiation of,.J« Liquidationof melody, 102motivic phruc cbanot;teristics, 3remote motivic variation, 27, 29, 30, 31, 60, 61, 62,

I"rhYlhmic featura of, 8 If., 143

llJ

Ulablishmt:nt of,62C.\pressed by I-V procreaion, Hi, 22Clltt:r>ded, 100; F.xs. 90-91in themes, 21. 201 f.in IriO sections, 143, JS7

Tonic:centre around, 20deviation from, 31 n.eooinl on, 1111establishment in ..'-St:Clion, 119, noupre:ssion of kt:y. 3rorm, sn Sentencepodal point on, 121pltrast::S bullt on, 4; En. S-Il

Transition:ewlvin. rrom tbt: P'C'o'Ious theme, 180 f.with an indcpc;ndcnllhcme. 119in brier forms, 178 If.in recapitulation, 194 If., 1111 f., 209 If.in rondo. 190 If.in sonala-.llc:gro. 202, 203 f., 20S If.SIrUClute or, 179

T ransposilioD:of melody, 10,21: EllS. IS, 16,23of motivt:, 11in period. 26in $Crttena:, 21: &so SJo, Ss.-, Ior ."bardinate lheme (in r«:apilulation), 194 If.,

1118,20911'.Trio:

in minuet, 143in rondo (c-St:Ction), 196 If.in scherzo, IS7

Variation ( .....ialiom)•• f., 167of broken chord, 9, 21, S9: En. S-II,17-2'.I, 30,

"->6COJ\trapunlall, 114, 142in wntrastlna middle 5OtIion, 120harmonic, 29, 124in m.ain themes, 1113melodic,29or motive. 8 f" 17, 20, 21. S8, 120. 142, 161; EM.

IS-16, 17-29, 31-l4

UrJCV't:fl OOftIlruction. 1l7ft'.Upbeat (upbeats):

lddec110 motive. 10; En. 1. 22, 34.. (;OrlMCtive, 23; EllS. 44d, I, 4Se, d, I. 46c, 47dW\llClCOmplDicd, 23, 12,varialion. or. 193; Ex. 47b

Upbeat thord (harmony). 123before recapitulation. 120, 123, 142, IS2, IS3, ISo1,

IS7, 181. 206 If., 20')

on dominant, 123, 142. 154at t:nd of transition, 179, 181, 194,203

INDEX

TthaikO'ouy, P.:~_ Ol'lqilf. 100; Ex. 89lW/IOM Md JIJ~I o,,"tuu, 113scherzos. ISO

Tempo:I,nd character. III f.of minuets, 141&lid phraxs. J f.and rlt)1:tun. 30or scherms. ISOor lhemt:, 21in varialions, 161and variely. 20

TmdCOCJ ofthe _lIest nolC$, 21, 27 11., 28, 2'.1. 31;Ea. SII

Ternary rorms (...- ........ ):complex mndo fonns, 1% If.minuet, 141, 143rondo rorml. 190 If.Khen.o,ISOf.smaJllemal)l form, 1111 If.IOnata"'legro, 200 f.in theme: fot' variations. 168

lbt:mt: (Ihemes), 101binary s.Iruct....:: of, 161 n.c:onstruction or, In 'Tl,bIe of Conlents'.nd melody, 118 If.of minuets, 142period IIl'1.1C1Urc: or, tu PeriodphrlSCS for. 16 r.oflChen:o.lSIaentencc Structure of. sn SenlenceIt:rnary sll'I.ICI"re of, In Ternary forrm

lbt:mt: and ...n.tions. 161 If.; Ells. 124-7QOrIlraSlS in. 174counterpoinl in. 172elabontion of motiYe of variation, 170 r.forrna.land c1'Iarxtt:. varialions. 174motive of variation, 169 f.relalion belwc:m Ihtmt: and variations" 161 f.sl<etdlinl variations, 173Ilruclureofthemt,167f.

Three-part (sonll form, In Ternary rormsTORillily (sn (JUo Key, Region):

in "'-IIOCtions, 119, 19S

S"bordinate tbemc (a:roup):in Iaracr fo~ UJ If.'Lyric theme·, 184in minor. 19S, 211in rocapilull,tion, 194 f., 2O\l1f.in rondo. 190 If.in aonata-aJJt:lllo, 204 If.

Su~idiary formulations, 118 tr.; Ut: (J/$O Sub-ordinate theme

Suile, 141, 143: Ex. 43Synvn«ry, 2S n.• 103, 117Symphony. 9,~. 101, 119, 141

INDEX

Smlc:nc:c, 20 If., ~ If.; W. 35--41, S2~1bqinnina of, 21romP'dion of, ~ If.form of, 27, 60, 61and period, 20, S8in principaltherne, 202 f.in scherzo, 151in lOn8ta-allqro, 20$loni/; and dominanl forms of, 21 f., 60 If., 202;

En. S2-S4SeQ- (scq-):

in accompanimmt, 21; Ex. S7in OOI1trutinJ middle toeetion, 121, 142. 1S2tf.;

&.122diallmic, S9 n.in etaboralion (JcClion), 206 ff.upansion of pariS tltrough, 178C.\tcnsion tltroulllt, 61in minor, S9 n.modulatory. S9 n.. 142, 143, IS3, 20Smodulalory palleml for, 153; Ell. 122of molive. 26; Ex.42bin periods.. 29in KIlcno, lS2tf.; En. 121, 122in ICntrn;cs. 21. 61in subardinale 11lcme, 183, 204in lrasmlion, IHO

Sibdius, J •• StWJ" 01 T-,<>, 93Smctana, F., VIoIO .... 9S; Ell. 68cSonata, movements of, 200 f.Sonata-allegro fonn, 200 ff.

coda.212elaboration (oa:tion), 200 f., 206 ff.uposilion, 200. 201 11'.form of. 200 f.prind.pal theme (a:roup). 202 f.rccapltulat>on, 200 f., 209 If.ml"&nlilion, 209IINC1unl ",lalions in, 201wboroinale &roUP, 204 If.lransilion, 203

Sonata-rondo form. 197 r.Sonatina. 201Solti form. sce Ternary formsSottp. ut Vocal literatureStnuss, R.:~rmonY. 31 n.~.loo,IOI; Eu.ll&,bTIll" SflGkt: ZIIrOI1rttSlrfJ. 93

Slrunu", (_ • C(ln$Iruc:tioa):dwlaa or. 124and Wracki'. 94dclimilali... of. 30deviation of, 141of melody. 103requirements of, 2. S8llructural meani/1&. 26ofthanc, 101, 178,204

Sc:heno.ISOff.; Exs.I20-1..-section, 151eoda, 1S7codetlU, cpi5Odcs. CXIC'llsWns. !SS r.modulatory contrast;n, middle section, ISI If.p..,;;tice form. ISI If.; Ex, 122recapitulation. l~ If.as ,...,....ta movemtnl, 199llio (section), U7

Sdlombc:I'J., A.:H~"'1tn(n.r.:.r,.of HIU_y). >1,16 n.Models p bqU-rt '" (Ampt;uititHr."f'ulilftiltaTy £n,risa ill C_t,'poU,l, It

SI.... Q..",ts. 100, Ill; Eu. 91b, IIlbSfnoaWfll FllftCt/olu 4 HlUntO#q, ....iii, 16 n.Traumk/NII, Op. 6, lOO; EIr.. 91"

Schuben. F.;harmony. 3\ n., 61 n.'Lyric theme', 184melody, 27; U. 41periods, 17 r.. 30; Ell. 47Q..,Uts. Sui,.,. 61, 122, Ill. 184, 206; En.

""'~QWI/rl. SftUv. Op. IV, 184_I'"IClltmocs. 60 r.; Ex. 60IINID temary form, 122. In; EK. 104IOnal.a....1lelro movement, 206fWrtaftu. PillftO. 27, 61, 184; Eu. 47, (i()Q-c~s, 99, 100: Exs. 7k, 62<", 6ok, 68<-, 73a-c, 84nw, Piano, 184Waltzes, 123; Ex. 107

Schwnann, R.:Albfun fiir Jk JqttJ. El. 50'Charaelerisli/; picas', 93periods, 28 f.: Ex. SOQWlTfd, StrUw, 11 ""-. 190Qwilun, PiatoD, Op. -H, 157. 190roDdo form, 190x:hc:nos,I50.IS7symphonies, 190

Self~tiei&m, 1161f.; Ex. 10$Scmi-conlrapuntal:

ac:companimen!, 10, 8S f.; Exs. 29. S4-S6middle voiea, 28

212

RolluKl. R.. MMJial J_J'. 20Roodo forms. 190 If.

andmtefolTnll( ).I90f.large modo forms (.UA-C-AM), 19S f.modulatory C-sa:tioll, 197 f.ottlc. simple rondos ("....R.... ABAO.). 192recapitulation, changes in, 193, 194 r.fOO,3.t<I-ronOO. 197 r.trio section (O-SCClion). 196 r.

Root provo:aic:Jnl. SH ProvessionsROISini. G., /kJrt- of ~~if~, 100, 101; EM. 11. 94

____-..,..,....,.".=-- .,..,..~._••_ ~ I ... ......,.... • • •• •• ••__._••_. ••••'d~

INDEX224

Variation (....riations) (COIIt.):in periods. 26 f.. 29 f.; Eu. 42. 44, 46d, 41in l'l:(:JIpill,llation, 123 r., 143. 1S4 f.. 190. 1113 r.,

t9&, 20911".rhythmio;, 27; En. 46d, 41in 1CIltmDes. sa r.of RqlJtl'JlZ$, 1S2; Ex. 122in tramitions, 180 f.

Vari&tions fOfTll, 8ft TlIcme and varial>onsVen!i, G., Oftflo, lOO; Ex. 86Vocal;

dimu,98leap&, 99. 100; En. 1'0, nb. 18#litc:~t\lrc. 9911".; En. B--91melody. 98, 103ran,e.99rtplcr. 98

Voice (voO.::es):loddition of, UIDO'O'emr:nI of, 8~lrealmmlof,IOO

Voice-Ieadin&. 83, 14: Us, 6J<l', 11; SR also Part·writinl:

Waaoer. R.:011 BocthoYm'I &*", 112f);e Mastmi¥n. 100: Ea, 78CM Wa/Jci;u. 95; EM. 2J, 68bIwmony, Jl n.TlIIIIIiIiilLrn. al: Ex. 624Tristdlf tmd IItJkk. EA. 64dvoice, ll'Qtmmt 01. 100 r.

Wolf. H., PCftpilttJ I, 99; D. 76

.,,,.~n ." ........,.,••,~.~ •.,......~

Arnold Schoenberg - Fundamentals of Music Composition (Ocr)

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