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Classical Form (CAPLIN 1998)

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Classical Form (CAPLIN 1998) 14 Slow-Movement Forms Most instrumental cycles in the classical period contain at may undermine the slow movement's independence.4 A va- least one movement to be performed in a slow tempo (Ada- riety of formal contexts and procedures can produce an gio, Largo, Andante).1 This movement normally occupies ending on the dominant. Sometimes the movement closes an interior position in the cycle and contrasts in tonality (or regularly with a perfect authentic cadence, but then an ap- at least in modality) with its surrounding movements.2 Slow pended passage leads to a final dominant.5 At other times, movements commonly employ one of the following formal the music finds itself "stuck" rather unexpectedly on the types: sonata, sonata without development, large ternary, dominant, which becomes de facto the ending harmony.6 theme and variations, or five-part rondo.3 The first four of More frequently, an expected closing authentic cadence these forms are treated in this chapter; the five-part rondo fails to materialize, and a half cadence or dominant arrival will be discussed together with the other rondo forms in appears instead (usually after a deceptive cadence).7 chapter 16. If all the movements of an instrumental cycle were con- structed with the same degree of formal complexity, the SONATA FORM IN slow movement would last considerably longer than the SLOW MOVEMENTS other movements, because of the slower pacing of its events. Thus to maintain a relatively consistent length among Many slow movements are constructed in conventional movements, composers often select a formal type for the sonata form. A number of modifications are frequently em- slow movement that is inherently simpler than those used ployed, however, to effect the kinds of formal compressions for fast movements. Compared with the highly elaborate typically found in slow movements of any form. Most no- schemes of the sonata, sonata -rondo, and concerto (the tably, a slow-movement sonata often fuses the transition most common fast-movement forms), the large ternary, and subordinate-theme functions, eliminates the entire sonata without development, and theme and variations are transition (a technique favored by Mozart), or reduces the considerably less complex. The five-part rondo is somewhat size of the development section (favored by Haydn).8 more complicated, but less so than other rondo forms. If composers choose to write a slow movement in sonata Transition/subordinate-theme fusion. The idea of fusing form, they normally do not exploit all its resources, so as to the transition and subordinate theme into a single grouping prevent the movement from becoming excessively long. unit was explained in the previous chapter with respect to In addition to adopting a simpler formal type, a slow fast-movement sonatas (see exs. 13.8 and 13.9). In fact, the movement typically employs phrase-structural procedures technique occurs with greater frequency in slow move- that either produce compressions or inhibit expansions. ments.9 Such fusion permits these interthematic functions For example, an exposition of a slow movement usually to be traversed more rapidly than when they occupy their contains a single subordinate theme, often one that is rela- own distinct groups. The process of fusion compresses the tively tight knit (though still looser than the main theme). form by eliminating a number of phrase-functional ele- Standings on the dominant are generally held in check, and ments—the half cadence (and the subsequent standing on form-functional fusion (especially of a transition and sub- the dominant) for the transition and an initiating unit for ordinate theme) is regularly employed. the subordinate theme. As a remnant of standard high-baroque practice, a num- ber of slow movements, particularly by Haydn, end with EXAMPLE 14.1: The transition begins after the close of the main dominant harmony. The resolution to tonic occurs only at theme in measure 9. Model-sequence technique starting in the the beginning of the following movement. Such weaker second half of measure 11 brings a modulation to C major, the first closure forges a stronger bond between the movements yet of two subordinate keys.10 The new key is partially c o n f i r m e d by 209 EXAMPLE 14.1 Beethoven, Piano Sonata in D, Op. 10/3, ii, 9-17 EXAMPLE 14.2 Haydn, Piano Sonata in E, Hob. XVI:31, ii, 1-8, 33-49 210 SLOW-MOVEMENT FORMS 211 the imperfect authentic cadence at measure 15 and then is fully development may be so simple as to resemble a contrasting confirmed by the perfect authentic cadence two measures later. (A middle of the small ternary form.15 second subordinate theme in the dominant minor follows immedi- ately thereafter.) EXAMPLE 14.3: Whereas the development section in a fast-move- In this single thematic unit, it is feasible to identify the opening ment sonata form by Haydn tends to be roughly the same length basic idea as well as the model-sequence activity with transition as the surrounding exposition and recapitulation, the development function and the cadential units with subordinate-theme function. from this slow-movement sonata form is less than one-third as The middle of measure 13 thus stands as a formal boundary. Yet long as the exposition. In these eight measures, Haydn briefly this moment is recognizable as such only after the fact, for it touches on three tonal regions (VI, IV, and II) by means of a de- clearly lies very much "in the middle" and fails to be associated scending third sequential pattern. The final dominant in measure with a sense of either "ending" (of the transition) or "beginning" 11 34 is so weakly articulated that it is unlikely to be perceived as an (of the subordinate theme). "ending" harmony.16 Elimination of the transition. In some sonata exposi- LARGE TERNARY tions, the form becomes compressed when the final cadence of the main theme is immediately followed by the subordi- The full-movement large ternary form is used almost exclu- nate theme. The lack of transition often results in the em- sively in slow movements.17 This form is employed most phasis on dominant of the new key becoming shifted into often by Haydn, but a number of large ternaries are found the subordinate theme proper (usually through an internal in the works of Mozart and Beethoven as well. The name of half cadence and standing on the dominant). Although the the form makes explicit its tripartite structure and suggests transition is eliminated from the exposition most often in that it is formally analogous to the small ternary.18 As I shall slow movements, it may also be omitted in fast-movement 12 show, however, small and large ternaries are fundamentally rondo forms. different forms, whose corresponding parts are comparable to one another in only the most superficial w a y s . EXAMPLE 14.2: The main theme closes with a half cadence in mea- Like the small ternary, the first part of the large ternary is sure 6.13 The next unit begins directly in the subordinate key of G a relatively stable unit that achieves closure by means of a major with main-theme material, thus bypassing any semblance of transition function. Because Haydn's "monothematicism" brings perfect authentic cadence; the second part is contrasting in the subordinate theme so close to the main theme, we can a l r e a d y nature; and the third part essentially restates the first. In predict that the recapitulation will be significantly rewritten in light of these similarities, we might be tempted to apply the order to avoid a redundant, twofold succession of main-theme functional labels of the small ternary and recognize the pres- ideas in the home key. ence in a large ternary of an exposition, contrasting middle, The recapitulation begins at measure 33 with a recomposed and recapitulation. But further investigation into the har- version of the main theme, which, like the exposition, closes with a monic, tonal, and phrase-structural organization of its three half cadence (m. 39). There follows, however, a long standing on parts dissuades u s from extending this set of functional labels the dominant, suggestive of the main-theme/transition fusion often to the larger form. Whereas the A. section of a small ternary found in recapitulations. Our expectation for a recapitulation of may modulate and close in a subordinate key, the first part of the subordinate theme is then thwarted when the standing on the a large ternary always b e g i n s and ends in the home key, even dominant emerges as the actual end of the movement. In light of the close proximity of the main and subordinate themes in the if there has been an internal modulation. Consequently, the exposition, it would not be surprising if the first part of the sub- third part has no need to make any tonal adjustments. In- ordinate theme were eliminated (or at least modified), but that stead, it usually follows the basic tonal and formal plan of the entire subordinate theme is discarded is astonishing, indeed. the first part (with the likelihood of ornamental changes, of (And perhaps somewhat disappointing as well, for the subordinate course). Unlike the B section of a small ternary, which, with theme in the exposition contains a glorious passage featuring a few exceptions, ends with dominant of the home key, the long stepwise descent in the bass, above which a series of motives second part of a large ternary frequently closes with tonic reach over one another to create a striking climax [mm. 15—18, not 14 harmony (though not usually of the home key).
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