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 (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 (or regularly with a perfect authentic , 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 finds itself "stuck" rather unexpectedly on the types: , sonata without development, large ternary, dominant, which becomes de facto the ending harmony.6 theme and variations, or five-part .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 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, 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 (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, 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). Moreover, a shown].) B section often highlights dominant harmony throughout, whereas the middle part of a large ternary may bring no Reduction of the development. One way of limiting the such dominant emphasis, except at its very end. length of a slow-movement sonata is to reduce the scope of An alternative view of formal functionality in the large the development. In such cases, the forgoes a ternary is suggested by Ratz, who identifies the first and full-fledged core (although there may be some brief third parts as a main theme and considers the second part to model-sequence activity) and normally does not allow a be a subordinate theme.19 This view has considerable merit, development key to be cadentially confirmed. At times, the for the outer parts of the large ternary are indeed normally 212 FULL-MOVEMENT FORMS

EXAMPLE 14.3 Haydn, Piano Trio in A, Hob. XV:9, i, 26-36

EXAMPLE 14.4 Haydn, Piano Trio in A-flat, Hob. XV: 14, ii, 31-35

structured as one of the standard main theme forms (usually First Part, Main Theme a small ternary or small binary). But Ratz's notion that the As mentioned, the main theme of a large ternary begins in middle part is a subordinate theme is not convincing, since the home key and always ends there with a perfect authen- in the majority of cases, this part is not organized in that tic cadence. Most often the theme is constructed as a small manner (i.e., as described in chap. 8). ternary, occasionally as a small binary. The exposition of Ratz's position can be somewhat modified by recogniz- this small ternary (or the first part of the binary) usually ing that the second part of the large ternary is constructed modulates to a subordinate key and closes there with a per- as a different kind of theme, which I term an interior theme. fect authentic cadence. But sometimes the A section does As its name suggests, an interior theme occupies a central not modulate, and a subordinate key is confirmed in the position in the overall form, always standing between state- subsequent contrasting middle.20 In a few cases, the small ments of a main theme. (An interior theme appears in a ternary (or binary) remains exclusively in the home key.21 A similar location in a number of rondo forms, to be discussed minority of main themes have other conventional, or even in chap. 16.) The harmonic, tonal, and formal plans of an nonconventional, designs.22 There is no need to illustrate interior theme can vary considerably, but a number of stan- main themes of a large ternary, since their formal organiza- dard procedures are frequently found. As a general rule, an tion so rarely deviates from the norms established in part II interior theme resides in the home key, but in its opposite of this book.23 modality. That it does not reside in the conventional subor- dinate key of the movement distinguishes an interior theme from a subordinate theme. The form of an interior theme is Second Part, Interior Theme usually related in some way to the small ternary (or small binary), one that is often altered, truncated, or left incom- The interior theme contrasts with the preceding main theme plete in some way. in a variety of ways. Most obviously, it usually changes the SLOW-MOVEMENT FORMS 213 melodic-motivic material, texture, and accompanimental simply follow the norms for the small ternary or small bi- figurations, although the opening basic idea is sometimes nary.31 Instead, the following examples illustrate progres- derived from that of the main theme. A striking source of sively distorted versions organized according to a number contrast comes from an immediate change in modality, for of regularly recurring techniques. in the great majority of cases, an interior theme is initially set in the minor mode (often labeled minore in the score).24 A' section (second part of small binary) initially closed, In the relatively few movements whose main theme is then reopened. minor, the interior theme shifts to major (maggiore).2S Although an interior theme usually shifts mode, its EXAMPLE 14.4: The interior theme (mm. 17-34) is built as a small tonality generally remains the same as that of the main binary, whose first part modulates to III. (The main theme of this theme. On occasion, however, the theme resides in a related large ternary is also a small binary, shown in ex. 7.3.) The second tonal region, such as the submediant,26 the lowered sub- part returns to the home key and achieves structural completion mediant,27 and the subdominant.28 The use of 1.VI or IV re- with a perfect authentic cadence in the first ending of measure 32. sults in those few instances when the mode does not change After repeating the second part, however, Haydn reopens the form by bringing a deceptive cadence in the second ending for measure to minor.29 It is especially worth emphasizing that an inte- 32. Additional music leads to a return of the main theme at mea- rior theme is never set primarily in the standard subordi- sure 35 without any further cadential activity.32 nate key of the movement, and in this respect, an interior theme is fundamentally different from a subordinate theme. A' section (second part) lacks cadential closure. The formal organization of an interior theme can usu- ally be related more or less to the basic plan of the small EXAMPLE 14.5: The A' section of this interior theme begins at ternary (or occasionally the small binary), more specifically, measure 29 and leads through a chromatic descent to the domi- one whose A section modulates to a subordinate key of the nant on the third beat of measure 31. The music then seems to get minore (usually the relative major but sometimes the [minor] "stuck" on this harmony. When the main theme returns at mea- dominant or the submediant).30 In some cases, the small sure 33, we understand that the interior theme "ended" with a pre- ternary (or binary) follows the norm and ends with a perfect mature dominant arrival. 33 authentic cadence in the home key. This procedure is likely to occur when the theme is set in a nontonic region (VI, A' section eliminated, truncated small ternary. VI, IV). The closing authentic cadence is then followed by a brief retransition leading to the home-key dominant in EXAMPLE 14.6: The interior theme begins with the usual shift to preparation for the return of the main theme. the minor mode of the home key and modulates to the relative More frequently, however, the small ternary at the basis major, closing there with a perfect authentic cadence in measure of the interior theme is left structurally incomplete, often in 40 (not shown). The resulting structure thus forms a unit that ways that significantly distort the form. Sometimes the lack could easily function as the exposition of a small ternary (or the first part of a small binary), especially when the entire passage is of authentic cadence leaves the theme open-ended. At other then repeated (in the sense of a rounded binary) to close again with times, the entire A' section is deleted, and the form be- a perfect authentic cadence in measure 48 (shown at the beginning comes truncated by ending with dominant harmony of the of the example). T h e subsequent section (mm. 49-56) has the typ- contrasting middle. And even more extreme, though by no ical characteristics of a contrasting middle, namely, a modulation means rare, the contrasting middle of the small ternary may back to the home dominant and a standing on that dominant. But be eliminated, and the modulating A section is followed di- instead of leading to a recapitulation, the B section is followed by rectly by a retransition, often substantial in scope. As a re- the main theme of the large ternary. The interior theme thus takes sult of these distortions, the final harmony of the interior the form of a truncated small ternary, consisting of an exposition 34 theme is usually the dominant of the home key, to motivate and a contrasting middle only. the main theme's return. The prominence of minor modality in an interior theme B and A' sections eliminated. can be likened to the same modal emphasis in the develop- ment section of sonata form. Indeed, an interior theme EXAMPLE 14.7: The interior theme begins at measure 25 in the often brings a Sturm und Drang affect within highly active minor mode of the home key and modulates to the relative major, and rhythmically continuous accompanimental patterns. where it closes with a perfect authentic cadence at measure 32. The repetition of this unit reinforces the impression of its being Although these secondary characteristics recall a develop- the A section of a small ternary (rounded binary version). The ex- mental core, the primary characteristics of harmony, tonal- position is not followed by a contrasting middle, however: the ca- ity, and phrase structure make the interior theme an en- dence in the second ending of measure 3 2 elides with the begin- tirely different formal entity. ning of a retransition, which leads to a home-key half cadence in It is not necessary here to illustrate interior themes that measure 38 to end the interior theme. The main theme returns in end with authentic , since the resulting structures the following m e a s u r e . 214 FULL-MOVEMENT FORMS

EXAMPLE 14.5 Haydn, Piano Sonata in E-flat, Hob. X V I : 5 2 , ii, 28-33

EXAMPLE 14.6 Haydn, in B-flat, Op. 64/3, ii, 47-58

It might be asked why the music in measures 32 (second e n d - may not elide with the cadence) leads back to the dominant ing) through 38 could not be considered a contrasting middle of the home key. I t is indeed occasionally possible to iden- rather than a retransition. To be sure, the distinction between tify distinct units that fulfill the functions of transition, sub- these functions can at times be subtle, but it is nonetheless experi- ordinate theme, and retransition.37 Although such instances entially significant. Much of the difference rests on the fact that a might seem to legitimize Ratz's notion that the second part contrasting middle does not, in principle, elide with the end of an of a large ternary is a "subordinate theme," his view can still exposition. A retransition, however, often begins with such an eli- sion and thus seems more directly attached to the exposition, be challenged because the new key confirmed by this theme rather than forming an independent section (as would a contrast- is not the standard subordinate key of the movement as a ing middle).35 whole (which would be the regular dominant) but, rather, that of the minore. Moreover, such an interior theme in- In the two previous examples (as well as the additional cludes transition and retransition functions as well as s e m - works cited in nn. 34 and 35), the structure of the interior blance of subordinate-theme function. theme is by no means as obviously related to the small ternary model as are the earlier examples (exs. 14.4 and Third Part, Return 14.5, and those cited in nn. 31, 32, and 33). In fact, an inte- of Main Theme; Coda rior theme can sometimes give the impression of being a subordinate-theme complex (consisting of a transition, subor- Because the main theme of a large ternary essentially re- dinate theme, and retransition) within the tonal framework sides in the home key, the return of that theme does not re- of the minore?6 In other words, the theme opens in the quire any tonal adjustment. Indeed, the third part of the minor mode of the home key but then quickly m o d u i a t es to form is, in the majority of cases, structured the same as the the relative major or minor dominant, as confirmed by a first part, though often with considerable ornamental changes perfect authentic cadence. A later passage (which may or (especially melodic, embellishments of the kind found in a EXAMPLE 14.7 Haydn, String Quartet in E, Op. 54/3, ii, 25-40

215 216 FULL-MOVEMENT FORMS theme-and-variations movement). For these reasons, it is a return following some intervening, contrasting unit, the perhaps more appropriate to speak merely of a "return" of use of this label in connection with a sonata without devel- the main theme rather than a genuine "recapitulation." opment is problematic. If a development is eliminated, then Sometimes when the main theme returns, its structure is the section following the exposition will seem to function changed, and in some cases, a portion of the theme is elimi- more as a repetition than a return.46 Indeed, the listener nated.38 But more commonly, material is added, function- hearing the movement for the "first time" would not neces- ing as an interpolation, extension, or expansion, especially sarily know that the appearance of the main theme follow- in an A' section.39 ing the exposition marks the beginning of a recapitulation Some movements in large ternary form conclude with a (of a sonata without development) and could just as likely coda, often of great scope (especially in Beethoven).40 The believe that the exposition is simply being repeated accord- coda of a large ternary frequently refers to material from ing to the norms of sonata form.47 Despite this theoretical the interior theme, just as the coda of a sonata often "reca- difficulty, it seems pragmatic to continue using the term re- pitulates" ideas from the development.41 capitulation in connection with the sonata without devel- opment. In virtually all respects, the construction of this section is identical to that of a regular sonata. Moreover, SONATA WITHOUT since the concept of recapitulation also includes the notion DEVELOPMENT of "resolution of tonal conflict," its use here is additionally justified. As its name so baldly indicates, sonata without development is a two-part form consisting of a sonata exposition followed Truncated recapitulation. The principal deviation in immediately by a recapitulation, to which a coda may ( o p - sonata-without-development form involves a truncated reca- tionally) be appended.42 Although the sonata-without- pitulation. In a number of works by Mozart and Haydn, the development form is used most often in slow movements, it exposition is followed only by the main theme, whose struc- is occasionally found in fast movements of an instrumental ture is the same as that in the exposition.48 The rest of the cycle,43 and it sometimes serves as the basis of a single- recapitulation (transition, subordinate theme, closing s e c - movement .44 The form is employed most often by tion) is eliminated, but a coda may very well be added. Mozart, but significant examples appear in the works of It is interesting to note that with such a truncated reca- Haydn and Beethoven as well. pitulation, the composer creates a form that resembles a In its general layout, the exposition of a sonata without large ternary, one whose interior theme has been replaced development is the same as that of the regular sonata form. by a transition and subordinate theme. When the main Unlike the latter, however, the exposition is never repeated, theme of the sonata without development is built as a small for at least two reasons. First, such a repetition would likely ternary (or small binary), the resemblance to a large ternary arouse expectations for a contrasting development section is even greater.49 Despite their similarities, it seems prefer- (which is one reason that in a regular sonata, the exposition able to regard these forms as distinct, especially in light of is usually repeated). Second, the immediate appearance of how we would experience the form. Until the transition and the recapitulation following a repeated exposition would subordinate theme are perceived to be eliminated from the bring a redundant third run-through of the same basic mu- recapitulation, the listener has every reason to believe that sical content. the movement is a regular sonata (without development). In the regular sonata form, the closing section of the ex- The possibility of reinterpreting the movement as a devia- position is occasionally followed by a retransition, which tional large ternary can emerge only after the fact. helps smooth the connection to the repeated exposition (and thereafter to the development). In a sonata without de- List of works. It has not been necessary to illustrate move- velopment, a retransition regularly appears in order to lead ments in sonata-without-development form, since the ways the music, without a break, into the recapitulation (see ex. of organizing the component exposition and recapitulation 8.19, mm. 65-67). are essentially the same as in the regular sonata. But for ref- The recapitulation of a sonata without development is erence, table 14.1 lists selected slow movements written in constructed in essentially the same manner as that of a reg- that form. ular sonata. The main theme and transition are often al- tered to prepare for the transposition of the entire subordi- nate-theme area into the home key. And a secondaiy THEME AND VARIATIONS development frequently appears, in this case to provide har- monic–tonal contrast and motivic manipulation in the ab- Like so many terms associated with , theme and sence of a genuine development section.45 Inasmuch as a variations can refer to an instrumental genre, a composi- fundamental characteristic of any recapitulation is to bring tional procedure, or a formal category. Theme and varia-