Th e principal boundaries of a theme are marked by the beginning of the basic idea and the moment of cadential closure. Two additional formal functions can frame these boundaries. A thematic introduction can precede the theme’s begin-ning, and postcadential material can follow its end.
Postcadential function takes two forms depending upon the cadence:
either as a closing section , following an authentic cadence, or as a standing on the dominant , following a half cadence.
Th ematic Introduction
A thematic introduction is a short unit, rarely more than two measures, but sometimes just one or two chords. Its motivic content is minimal so as not to project any sense of being a basic idea. It oft en consists exclusively of
EXAMPLE 5.6 Continued
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EXAMPLE 5.7 Beethoven, Piano Sonata in B♭, Op. 22, ii, 1–12
Example 5.7: the accompanimental “vamp” fi gure in the left -hand part of m. 1 constitutes a thematic introduction. Note that the theme (a hybrid: compound basic idea + continuation ⇒ cadential) does not literally begin until the upbeat to the following measure; we thus count m. 2 as the “fi rst” bar of the theme, which is preceded by a 1-m. introduction.
Closing Section
Any theme that closes with a perfect authentic cadence may be followed by a closing section . Th is unit prolongs both the tonic harmony and the tonic melodic scale degree achieved by the cadence. A closing section may begin in the measure following the cadence or else elide with the moment of cadential arrival.
A closing section comprises a series of codettas . An individual codetta can be as short as a single chord or as long as a 4-m. phrase. Its motivic content accompanimental fi gurations that continue aft er the beginning of the theme.
Most thematic introductions prolong tonic harmony in root position. (A the-matic introduction is not to be confused with a “slow introduction,” which pre-cedes the exposition section of sonata form, as discussed later in Chap. 16.)
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oft en diff ers from the music used to end the theme, but sometimes immediately preceding cadential material will continue to be used within the codetta.
Th e melody of a codetta tends to revolve around the tonic scale degree ( ±1 ) or else has that scale degree as its melodic goal. In either case, the codetta avoids reopening melodic space in a manner that might suggest a new basic idea. Th e harmony of a codetta is most oft en tonic prolongational, though cadential pro-gressions may appear as well.
If the closing section consists of diff erent codettas, then we usually observe a process of fragmentation of the grouping structure, whereby each new codetta is shorter than the preceding one.
Standing on the Dominant
A postcadential standing on the dominant has many of the same features as a closing section except that it is supported entirely by a prolongation of dominant harmony. A standing on the dominant can be used after most half cadences, with one significant exception: the antecedent of a period (when ending with an HC) is rarely followed by a standing on the dominant .
Like a closing section, an extensive standing on the dominant may bring a variety of ideas, usually in a way that brings about fragmentation of the group-ing structure.
Since simple themes seldom use this framing function, the standing on the dominant is not discussed any further here but will be brought up again and illustrated in later chapters where appropriate.
Example 5.7: the theme cadences on the downbeat of m. 9, at which point a 1-m.
codetta appears, whose melodic line descends from ˆ5 down to ˆ1, while supported by a V – I harmonic progression. Th e “content” of this codetta thus resembles a cadence, though its function is decidedly postcadential . Th e codetta is repeated down an octave in the following bar, aft er which fragmentation brings a series of one-beat codettas to round out the closing section as a whole.
Temporal Framing. The framing formal functions are expressions of the general temporal functions before-the-beginning and after-the-end .
Although there is something a bit paradoxical about saying that the fi rst material we hear occurs “before the beginning” and that the last thing we hear takes place “after the end,” such framing temporalities occur in many familiar, real-life contexts.
On any given day, for example, your theory class on musical form techni-cally begins when your instructor starts to present the topic for that day. The class ends when your instructor says that time is up. But there also exists the before-the-beginning time when you and your friends enter the class, take your seats, get out your textbook and scores, and share recent gossip. And when the bell rings (or the instructor calls it quits for the hour), then you enter into an
FOCUS ON FUNCTION
(continued)
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EXAMPLE 5.9 Beethoven, Symphony No. 7 in A, iii, 1–24 (R = 2N) EXAMPLE 5.8 Beethoven, Piano Sonata in D, Op. 10, No. 3, iv, 1–9
Example 5.8: answer these questions.
1. What is the label for the fi rst 4-m. phrase?
2. Does the second phrase bring back the full 2-m. basic idea?
3. What cadential deviation is found in this theme?
4. Does the theme bring any phrase deviations?
5. What is the overall theme type that best applies to this theme?
Let’s Practice
(continued)
L ’ P i
after-the-end phase of putting back your materials, shuffl ing out the door, or perhaps hanging around to ask your instructor some additional questions.
These periods of time that frame the actual class are surely part of its full experience, even if they do not belong within the literal boundaries of the class time. Likewise, the functions of introduction and closing section (or standing on the dominant) “belong” to the theme that they frame.
Focus on Function continued:
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EXAMPLE 5.9 Continued
More Details
Phrase Deviations
Common Extensions
Here are some common situations in which extension is used in simple themes:
• Extending an idea by repeating some of its material, either literally or in some varied form (sometimes highly ornamented). Repeating the mate-rial with a change to a soft er dynamic can even give the eff ect of an
“echo.”
Example 5.10: the 2-m. basic idea is extended by an additional measure when the second half of the idea is repeated. Th ough not specifi cally indicated by the com-poser, the performer may wish to impart a subtle change in dynamics in mm. 3 and 9 in order to create a slight echo eff ect.
Example 5.9: answer these questions.
1. What formal function is exhibited by mm. 3–10?
2. Th e various grouping, harmonic, and rhythmic processes of mm.
11–16 express which formal function?
3. In which measure does the theme fi nd thematic closure? What kind of cadence closes the theme?
4. Are there any framing functions at work in connection with this theme?
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• Extending a continuation with additional fragments, oft en supported by sequential harmonic progressions.
EXAMPLE 5.10 Mozart, Rondo in F, K. 494, 1–12
Example 5.2: the expanded presentation (discussed above) motivates an even more extended continuation. Th e upbeat to m. 10 brings four fragments—two more than are ordinarily needed to express the function—within the context of a descending-third sequential progression.
Th is fragmentation follows on a third statement of the basic idea (mm. 7–9).
Such an additional repetition might be considered part of an extended presenta-tion, but since the supporting harmony no longer prolongs the initial tonic (intro-ducing instead a modulation to the dominant region), the repeated idea is better seen as initiating the continuation.
• Extending continuation or cadential functions (or both) by repeating earlier material following a cadential deviation. Cases of such extension have already been seen in Examples 5.1, 5.5, 5.6, and 5.8.
• Extending continuation or cadential functions (or both) by repeating earlier material following an imperfect authentic cadence (IAC). In prin-ciple, this cadential type is suffi cient to close a theme, but oft en the com-poser wishes to bring even stronger cadential closure and does so by repeating some or all of the prior phrase. On occasion, the fi nal phrase of a theme ending with a PAC will be repeated in order to extend the theme.
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Extensions often result from adding on units of the same, or similar, melodic-motivic content.
But the process of extension can also arise with the use of different, contrasting material, such as the extension of continuation function seen in Example 5.1, m. 7.
As a result, it is easy to confuse extension with interpolation , which always inserts completely unrelated material into the theme. The differ-ence between these two deviation techniques lies not only in the nature of the added material but also in the relation of that material to the form-functional context.
EXTENSION VS. INTERPOLATION
EXAMPLE 5.11 Beethoven, Piano Sonata in C, Op. 2, No. 3, i, 1–13
Example 5.11: the continuation phrase concludes at fi rst with an IAC (on a weak met-rical position). A brief lead-in introduces a repeat of the continuation, and the slight cadential expansion pushes the stronger PAC over on to the downbeat of m. 13.
(continued)
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In the case of extension, we have the impression that the newly added material continues to express the ongoing function. With interpolation, the newly added material does not seem to belong to either of its immedi-ately preceding and following functions.
In the classical repertory, extension is a much more frequently occur-ring deviation than interpolation. When in doubt, opt for the former interpretation, unless you are completely sure that the newly inserted material does not belong functionally to its surrounding material.
Example 5.12a: the 10 measures of this period exhibit a symmetrical 5 + 5 grouping structure. A reconstructed normative version, Example 5.12b, reveals that the theme has undergone two alterations. First, the HC ending the antecedent (m. 4) is extended by an extra measure of dominant harmony. Second, the contrasting idea of the consequent (mm. 8–10) is expanded by an additional measure.
Th is second change allows the descending eighth-note motive of the conse-quent’s contrasting idea to maintain its original tonic support (compare Ex. 5.12a, m. 3 to m. 8) and also permits the new cadential melody (mm. 9–10) to corre-spond rhythmically with that of the half-cadential extension (mm. 4–5).
Despite the apparent symmetry in grouping structure (5 + 5), a certain asymmetrical quality is nonetheless projected by how the cadence points defi ne a 4 + 6 pattern.
Symmetrical vs. Asymmetrical Deviations
Deviations may result in grouping structures that are symmetrical (5 + 5, 6 + 6) or asymmetrical (4 + 6). In the case of an asymmetrical deviation, the fi rst phrase is almost always the normative length (4 measures), while the second phrase is longer or shorter. It is rare for the fi rst phrase to be altered and the second phrase to exhibit the regular length.
In the period (and the periodic hybrid compound basic idea + conse-quent), the distinction between symmetrical and asymmetrical deviations is particularly signifi cant. Even more than with the sentence (or the sentential hybrids), the 4 + 4 grouping structure of the period suggests a symmetrical organization, since the consequent repeats the antecedent rather than bringing something essentially new (as does the continuation of the sentence).
For this reason, phrase deviations in the period frequently take place in a way that maintains the sense of equilibrium between the phrases: if the antecedent is lengthened or shortened, the consequent is likely to be altered in the same way (though diff erent phrase deviations may be used in the two phrases).
Extension vs. Interpolation continued:
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Cadential Deviations
Grouping Context vs. Harmonic Context
Traditional views on the kinds of cadential deviations presented in this chapter tend to focus on how the harmony of the standard authentic cadence becomes altered in some way, thus giving rise to the deviation. Many defi nitions of the deceptive cadence, for example, mention only that the fi nal tonic must be replaced by some other harmony than tonic in order for the sense of deception to be created.
In this text, the question of harmonic changes associated with cadential deviations is surely important. But equally important—indeed, even more so in distinguishing between deceptive and evaded cadences—is the grouping structure associated with the deviation.
EXAMPLE.12
EXAMPLE 5.12 (a) Haydn, String Quartet in G, Op. 54, No. 1, iii, 1–10; (b) reconstructed version
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In the case of the deceptive cadence, the musical event supported by the harmony that replaces the fi nal tonic belongs entirely to the ongoing cadential process; it thus functions as the fi nal event, the goal, of the phrase. Like an authen-tic cadence, a deceptive cadence has a distinct moment of arrival, aft er which the subsequent phrase begins. Th e event that follows the cadential dominant groups backwards with that dominant (and with the rest of the cadential progression).
On the contrary, the evaded cadence arises when everything is pre-pared for the final event to arrive (at some clearly predestined moment in time), yet the sense of a goal event fails to materialize. Instead, the event that appears where the goal was expected to occur is not heard as belonging to the ongoing cadential process; rather, it belongs already to the subse-quent phrase. In other words, the event that follows the cadential dominant groups forward with the next phrase, thus creating a salient disruption in the grouping structure, because the cadential group fails to finish before a new group begins .
Th is sense of grouping disruption is what allows an evaded cadence to arise even if the cadential dominant literally resolves to a root-position tonic.
Th at tonic is heard not as an ending tonic but rather exclusively as a beginning tonic. (If it were heard as both a beginning and an ending simultaneously, then an elided authentic cadence would be created.)
Example 5.13: the theme promises to close with a PAC on the downbeat of m. 16, and indeed the cadential dominant does resolve to a root-position tonic at that moment.
But the melodic-motivic material being supported by that tonic clearly references the downbeat of m. 13 (at the beginning of the example). We thus hear the music backing up in order to run through the continuation phrase “one more time.” Th e tonic of m. 16 groups forward with the repeated continuation, not backward with the cadential progression, and so the sense of evaded cadence is well projected.
EXAMPLE 5.13 Mozart, Piano Sonata in C, K. 309, iii, 13–19
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Abandoning the Cadential Progression
In some cases of cadential abandonment, we can locate an ending point for the phrase and speak of this moment as the “abandoned cadence” proper. Such a situation occurs in Example 5.6 on the downbeat of m. 8, where we sense that the arrival on a promised authentic cadence has been denied.
In other cases, however, we recognize that a cadential progression is aban-doned without being able to specify a precise moment of denied arrival. In such situations, the cadential abandonment does not occur at the very end of the ongoing thematic process. Rather, the abandoned cadential progression is fol-lowed immediately by a new cadential one (bringing thematic closure), or else the abandonment is followed by further tonic prolongation, which eventually yields to a fi nal cadential progression.
It may even be the case that the phrase closes with an HC, even if an authentic cadential progression had been promised but then abandoned.
Example 5.14: following a standard presentation phrase, the continuation begins at m. 5 with tonic harmony that quickly shift s to fi rst inversion, thus signaling the potential for the onset of an expanded cadential progression. Th e move to IV on the downbeat of the following measure seems to confi rm that possibility, and even the shift to IV6 could still be understood as prolonging a cadential pre-dominant.
But when the bass line continues upward to support V6 resolving to I , we recognize that the cadential progression has been abandoned (by inverting the
“One More Time” Technique. Janet Schmalfeldt coined the expression
“one more time” technique specifi cally in connection with evaded cadences, such as the one just discussed in Example 5.13 (and also in Ex. 5.1), where following the evaded cadence the music backs up and tries for the cadence “one more time.” 3
But returning to prior material after the failure to achieve an expected PAC can also occur after an IAC (as in Ex. 5.11), a deceptive cadence (Ex. 5.5), or an abandoned cadence (Ex. 5.6).
Whether the one more time technique should be applied beyond the evaded cadence or not (and theorists ultimately have no control over how their terms are used by other theorists, instructors, and students), it is important to recognize that, unlike the other cadential situations, an evaded cadence results in a marked disruption to the grouping structure in such a way as to make the sense of “let’s try that one more time and see if we can fi nally reach the goal” a more palpable and dramatic effect.
TAMING THE TERMS
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dominant). Th e progression IV6 – V6 – I is thus understood as prolongational, which leads to a quick half-cadential progression, with I as a linking harmony. Th e sen-tence thus ends with an HC in m. 8.
Th ough we can speak of a cadential progression that is abandoned, there is no particular moment within the continuation phrase that represents a denied arrival and where we could place the label “abandoned cadence” (as we could do in Ex. 5.6, m. 8).
Finally, when the sentence is repeated in mm. 9–16, we see that Beethoven now realizes the potential for an expanded cadential progression in order to make a genuine continuation ⇒ cadential phrase in mm. 13–16. (Th e overall form of the theme is a compound period, as is discussed in the following chapter.)
EXAMPLE 5.14 EXAMPLE 5.14 Beethoven, Piano Sonata in C minor, Op. 10, No. 1, ii, 1–16
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Example 5.16: a rather agitated, forte continuation phrase concludes with a PAC at m. 32. Th ere follows a closing section characterized by smoothly fl owing eighth notes, a stabilizing tonic pedal, and a calando (“diminuendo”) leading down to pianissimo , all of which create a clear sense of recessive dynamic.
EXAMPLE 5.15 Beethoven, String Quartet in F, Op. 135, iii, 1–4
Example 5.15: a progressive dynamic is clearly manifested in the thematic intro-duction (mm. 1–2) not only by the actual crescendo but by the accumulating texture. Moreover, the lack of melodic material creates an anticipation for the appearance of a distinctive melody at the beginning of the theme (shown earlier in Chap. 2, Ex. 2.21).
Framing Functions
Dynamics of Framing Functions
Th e two basic framing functions—introductory and postcadential (closing sec-tion, standing on the dominant)—frequently exhibit a distinct dynamic process.
Th e term dynamic is used here in a broader sense than merely “intensity of sound” (loud-soft , crescendo-decrescendo). Rather, dynamic activity involves the systematic growing or diminishing of tension and excitement created by a variety of musical means, such as changes in texture, rhythmical activity, tim-bre, and (of course) intensity.
A thematic introduction typically features what Wallace Berry 4 has termed a progressive dynamic, that is, one in which there is an increasing buildup of energy and anticipation. Berry also speaks of a recessive dynamic, which brings about a diminution and dissolution of tension and excitement. Th is type of dynamic is oft en associated with a closing section.
A thematic introduction typically features what Wallace Berry 4 has termed a progressive dynamic, that is, one in which there is an increasing buildup of energy and anticipation. Berry also speaks of a recessive dynamic, which brings about a diminution and dissolution of tension and excitement. Th is type of dynamic is oft en associated with a closing section.