Cadential Deviations, and Framing
Functions
Th is chapter brings together three main topics to complete our study of simple theme types: phrase deviations, cadential deviations, and framing functions.
Th ough the compositional techniques associated with these topics are quite diverse, their use results in simple themes that last more or less than eight real measures.
Th e Basics
Phrase Deviations
Phrases of themes may deviate from their “theoretically defi ned” lengths.
Th e ideas within the phrases may also be altered. To be more precise, it is best to describe these deviations in reference to the formal functions that are aff ected by the various techniques. Th e four standard techniques are exten-sion, expanexten-sion, compresexten-sion, and interpolation.
It is important to stress from the outset that the concept of deviation refers to situations that depart from the theoretical models for a variety of appropriate compositional goals. Th e notion of formal deviation is not meant in any pejora-tive or negapejora-tive sense. On the contrary, many deviations are of special aesthetic interest and beauty.
05_WilliamECaplin_C05.indd 123 8/27/2013 2:41:58 PM
ANALYZING CLASSICAL FORM
124
Extension
A formal function is extended when extra material is added in order to stretch out the function in time. Th e technique of extension brings more material than is necessary in order to express the function. So it is oft en pos-sible (though not always) to reconstruct a more normative version by elimi-nating the extension.
The term deformation has gained currency in reference to a theory of musical form proposed by James Hepokoski and Warren Darcy. 1 Though deformation and deviation might seem synonymous in that both refer to the transgression of some theoretical norm, these theorists use the former term “to mean the stretching of a normative procedure to its maximally expected limits or even beyond them.”
The concept of deviation employed in this study refers to more modest compositional techniques, ones that are employed routinely throughout the classical repertory and that are far less extreme in their aesthetic effect than the cases of deformation described by Hepokoski and Darcy.
DEVIATION VS. “DEFORMATION”
EXAMPLE 5.1 (a) Mozart, Piano Sonata in F, K. 280, i, 1–13; (b) reconstructed version
(continued)
05_WilliamECaplin_C05.indd 124 8/27/2013 2:42:04 PM
5 PHRASE DEVIATIONS, CADENTIAL DEVIATIONS, AND FRAMING FUNCTIONS
125
EXAMPLE 5.1 Continued
Example 5.1a: the opening 4-m. phrase brings a compound basic idea. Measures 5 and 6 see clear fragmentation into 1-m. units, thus signaling continuation func-tion. (Note that the tonic prolongation initially supporting the compound basic idea is only completed at m. 6.)
Th ough the fragmentation is evident here, these two bars (5 and 6) do not bring any other continuational traits, such as acceleration of the harmony or the surface rhythm. So it is not surprising that Mozart extends the continuation with additional material that has precisely these characteristics: a sudden fl urry of sixteenth notes in the melody of m. 7 and a marked increase in harmonic drive in m. 8.
Measure 9 brings the cadential function that promises to conclude the theme in the following bar. In actuality, the cadence is evaded —a cadential devia-tion to be discussed below—and the music “backs up” to the passage of extension for another try at the cadence, which concludes regularly with a PAC at m. 13.
A reconstructed version, Example 5.1b (eliminating both the extension and the evaded cadence), shows how the theme could have been expressed as a norma-tive 8-m. structure, though Mozart’s version is clearly preferable.
Expansion
A formal function is expanded when its constituent members are internally lengthened. We have already seen the idea of expansion in connection with an
05_WilliamECaplin_C05.indd 125 8/27/2013 2:42:04 PM
ANALYZING CLASSICAL FORM
126
“expanded cadential progression,” and indeed, of all the standard phrase func-tions, the cadential one is most typically subjected to expansion techniques.
Initiating functions can also be expanded, but continuation function, with its characteristic processes of fragmentation and harmonic acceleration, is inher-ently less suited to this phrase deviation.
EXAMPLE 5.2 (a) Mozart, Symphony No. 40 in G minor, K. 550, iii, 1–14;
(b) reconstructed version of the presentation phrase
Example 5.2a: the basic idea is internally enlarged to three measures by means of a rhythmic hemiola , in which the melody projects a slower-paced 3/2 meter, rather than the 3/4 meter projected by the lower voices. Th e repetition of the basic idea results in a 6-m. presentation phrase.
Example 5.2b reconstructs a normative version of the presentation, in which the hemiolas have been eliminated. Th e essential motivic content of the basic idea is now easily accommodated to two bars of a standard 3/4 meter.
Th e expanded basic ideas motivate an even more extended continuation, to be discussed below. (Th e annotations “main theme” and “transition/sub. theme” refer to analytical matters that are taken up in Chap. 18, where this theme is discussed in relation to minuet form.)
05_WilliamECaplin_C05.indd 126 8/27/2013 2:42:05 PM
5 PHRASE DEVIATIONS, CADENTIAL DEVIATIONS, AND FRAMING FUNCTIONS
127
Interpolation
If entirely new, unrelated material is inserted between two logically succeeding formal functions, we can say that this material has been interpolated into the theme. Th e impression we have is that the interpolated material does not par-take of either of its surrounding functions and can easily be eliminated without disturbing the formal syntax.
EXAMPLE 5.3 (a) Mozart, Piano Concerto in F, K. 459, ii, 1–10; (b) reconstructed version
Extension vs. Expansion. Distinguishing between processes of extension and expansion is useful and important, but also confusing at times.
Extension typically results from “adding on” or “stringing together” extra units of some material. Expansion arises from taking a component unit and “swelling it out” from the inside, so to speak.
You can get an idea of the difference between these two processes by thinking of the party clown who makes funny shapes out of balloons.
Extension is akin to the clown taking a number of little balloons and tying them together to make a bigger object. Expansion is akin to taking a single balloon and blowing it up to make a large, single shape.
TAMING THE TERMS
(continued)
05_WilliamECaplin_C05.indd 127 8/27/2013 2:42:06 PM
ANALYZING CLASSICAL FORM
128
Example 5.3a: Following a tutti statement of the basic idea, the violins alone play an ascending chromatic eighth-note fi gure at the upbeat to m. 3. Th e tutti texture resumes with the contrasting idea in the following two measures. Seeing as the rising chromatic fi gure belongs neither to the basic idea (which is clearly over on the downbeat of m. 2) nor to the contrasting idea, we can say that the fi gure has been interpolated into the antecedent phrase. (A similar tion occurs in the consequent phrase with the upbeat to m. 8.) Both interpola-tions can easily be deleted to yield a structurally sound 8-m. period, as shown in Example 5.3b.
Example 5.4: the continuation phrase is reduced in scope to just two measures. Yet we can still recognize the basic functional components of the phrase: m. 5 brings both the fragmentation (into half-measure units) and the harmonic acceleration typical of continuation function, and m. 6 contains the half-cadence formula to close the theme.
A formal function is compressed when its constituent members are shortened in relation to the norms. Unlike the other types of deviation, it is less easy to reconstruct a normative version.
05_WilliamECaplin_C05.indd 128 8/27/2013 2:42:07 PM
5 PHRASE DEVIATIONS, CADENTIAL DEVIATIONS, AND FRAMING FUNCTIONS