Grouping structure and gesture: a sentence classification

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1 CONSERVATORIUM VAN AMSTERDAM Master s thesis Grouing structure and gesture: a sentence classification y RKP Pisters Suervisor: Paul Scheeers Amsterdam, une 2012

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3 Preface The work resented in this thesis is the result of a master s research roect in the field of music theory, which has een conducted at the Conservatorium van Amsterdam The goal of the roect has een to develo a classification of sentences ased on grouing structure and gesture The thesis is organized as follows Chater 1 serves as an introduction to and motivation for this research Chater 2 gives an overview of the literature in the field of sentence theory, after which Chater contains an evaluation of the literature discussed in Chater 2 Chater 4 then resents our sentence classification in detail Chater 5, finally, comments on the accomlishments achieved, and gives directions for future work It is advised to read the chaters and sections in the order in which they aear in this thesis The intended reader has a solid ackground in music theory

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5 Acknowledgements First and foremost, I thank my suervisor Paul Scheeers for igniting my interest in hrase structure in general and sentence theory in articular, for countless hours of discussion on this toic and many other toics as well, and for the incredile meticulousness with which you reviewed my thesis Every single discussion we had was oth informative and leasurale I would also like to thank my teachers Martin Hooning and Michiel Schuier for your interest in my research, and for the occasional yet always fruitful discussion to sharen my thoughts Additionally, my gratitude goes to ohn Koslovsky and Matthew BaileyShea for utting me on the right track for my literature study I also thank Victor Oskam for heling me develo my understanding of rhythmical sentence structures Finally, I thank my arents Paul and Inge Pisters, and my girlfriend ulia Westendor, whose never-ending love, suort, and atience have een as imortant as anything else 5

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7 Contents 1 Introduction 9 2 An overview of the literature 1 21 Schoenerg Basic rinciles Examles Ratz 16 2 Calin Presentation hrase Continuation hrase Continuation function Cadential function Fusion 20 2 Loose organization and deviations from the norm Presentation hrase Continuation hrase 24 2 Loosening limits Hyrid themes BaileyShea Sentences with a dissolving third statement Sentences with a sentential continuation Sentences with an AABA design Sentences as Fortsinnungstyus Concluding remarks 0 An evaluation of the literature 1 Calin 2 BaileyShea 42 Concluding remarks 46 7

8 8 CONTENTS 4 Sentence classification Introduction First sentence tye: increased grou size 49 4 Second sentence tye: unchanged grou size Third sentence tye: decreased grou size 5 45 What makes a grou The role of melodic-motivic content The role of harmonic content The cadence Sentence versus eriod Sentence versus small inary Loosening techniques Two initial reetitions Additional units of fragmentation A searate closing grou Cominations of different sentence tyes 69 5 Conclusions 7 51 Main accomlishments 7 52 Future work 74

9 Chater 1 Introduction It is a well-acknowledged fact that the sentence lays a crucial role in classical hrase structure Having een introduced y Arnold Schoenerg among his students in the first half of the twentieth century, the form has found its way into the writings on hrase structure of most theorists of later generations, often resented as one of two standard eight-measure theme aradigms, the other eing the eriod This aroach can e traced from Schoenerg s Fundamentals of Musical Comosition, 1 via his uil Erwin Ratz (Einführung in die musikalische Formenlehre), 2 to William Calin s monumental theory of Classical Form But also in the German music-theoretical literature has this aroach found its way, for instance in the writings of Carl Dahlhaus 4 and Clemens Kühn 5 Although, as we will argue later in this thesis, at times considerale differences exist etween some of these writings, ractically all theorists mention the oening theme from Beethoven s iano sonata in f minor, ous 2 no 1 (see Figure 1), as one of the most characteristic sentence-themes in the classical style Indeed, this theme has come to reresent the sentence in its ideal form more so than any other classical theme, featuring all the characteristics that have come to e tyical of the form: a reeated asic idea, units of fragmentation and an increase in harmonic activity in the second half, an enormous sense of forward roulsion and motivic cohesion, and a half-cadence at the end roviding an oen-endedness that is very much in line with its forward drive As such, it is often understood to e the counterart of the much more alanced and self-contained eriod Matthew BaileyShea however has argued that focusing on this Beethoven theme as the ideal tye for the sentence oscures the fact that the sentence can in fact e found in all sorts of different guises, forcing the analyst to all too often resort to the lael sentential when discussing a theme that resemles the Beethoven theme, ut which also lacks one or more of its characteristics BaileyShea: [T]he sentence is so loose y its very nature that it ractically demands a single, clear locus classicus to ground what is, in ractice, an extraordinarily elusive concet () [H]owever, () such a strategy ultimately masks significant comlications in defining the form It also limits the range with which the form can e effectively utilized as an analytical tool By defining the sentence in terms of a single, tightly knit model, and associating it with an exlicit forward-striving Beethoven rhetoric, esecially in contrast to the eriod, theorists have oversimlified some crucial asects of sentence structure 6 BaileyShea therefore argues that multile sentence models are needed to come to understand the full diversity of the form, roviding four such models that we discuss in detail in Chater 2 1 Schoenerg Ratz 197 Calin Dahlhaus Kühn BaileyShea 2004,

10 10 CHAPTER 1 INTRODUCTION asic idea (tonic) reetition (dominant) Allegro C C n n n Ó n f: I V n S fragmentation S n g ƒ cadence n n U I V 4 I 6 II 6 V half-cadence U In this thesis, we argue that, even taking BaileyShea s writings into account, some asects of the sentence have remained underdeveloed, and that this situation sometimes revents us from accurately descriing sentential rocesses in the music of all sorts of styles and genres There are essentially three issues that we argue have not received enough attention yet in existing theories issues that we attemt to deal with in the current thesis Firstly, we intend to not focus on a single style or genre Most theories do contain such a focus, 7 as a result of which a more or less style-indeendent sentence theory has as yet not een develoed Secondly, when it comes to the classical style, we intend to not focus secifically on themes Many transitions and develoment sections of classical sonata forms, for instance, exhiit clear sentential designs, ie grouing structure atterns that very much resemle those of sentence-themes There has een little to no attention to such atterns in the literature Our concetualizations can artly e seen as an attemt to start to fill that ga Thirdly, we elieve that sentential atterns can e encountered on multile scales, and not exclusively on the scale of eight measures Not only do we argue for the existence of miniature sentences on the scale of four measures, we also distinguish large-scale sentences which occasionally even cover more than thirty measures There are, of course, limits to what can still e regarded as a sentence on very large scales, and we will seak of these limits also, ut our aroach is essentially scale-neutral In the remainder of this thesis, we therefore argue that it is crucial to our understanding of the sentence to aroach it in a style-indeendent manner, focusing not only on the classical theme and not only on the standard eight-measure scale Using these asic rinciles, we advance a classification of different sentence tyes ased on grouing structure We claim the sentence to e ale to exress a numer of different gestures which are determined y the grouing structure of what is normally called the continuation Using our grouing structure models, we also demon- 7 For examle, Schoenerg discusses mostly the classical style in Schoenerg 1967, as does Calin in Calin 1998 and other writings BaileyShea has develoed a theoretical framework for sentences outside the classical style in BaileyShea 200, focusing on the style of Wagner s ost-lohengrin oeras Per Broman has written aout sentential structures in the music of Bartók in Broman 2007, with an aroach ased mainly on Calin and BaileyShea

11 11 strate how different sentence models can interact, not only with each other, ut also with other conventional forms such as the eriod In order to clarify our aroach further, we start with a more detailed overview of the literature in Chater 2 Chater then evaluates the literature in the context of the current study, after which Chater 4 resents our sentence classification Chater 5 ends the thesis with some concluding remarks A note on citations We have added no italics to citations All italics in citations were added y the original author(s)

12 12 CHAPTER 1 INTRODUCTION

13 Chater 2 An overview of the literature In this chater, we give an overview of the literature in the field of sentence theory We focus on the state of the art in this field, which means that we rovide an extensive summary of William Calin s theory of classical form It is the most comrehensive theory in the area of classical hrase structure to date, and thus of the sentence Since Calin ases his theory exlicitly on the writings of Arnold Schoenerg (the first theorist to descrie the sentence) and Erwin Ratz, we discuss these authors as well Finally, we discuss a sentence classification develoed y Matthew BaileyShea, who ases his sentence theory largely on the work of Calin This classification can therefore e seen more or less as an extension of Calinian theory, although, as we will argue in Chater, there are several imortant differences etween oth authors We end this chater with some concluding remarks in Section 25 Of course, esides the authors covered in this chater, many more theorists have written aout the sentence in one way or another Although we will mention some such theorists along the way, we do not include them in the current chater, the goal of which is not to give an extensive historic survey of sentence theory, ut to attemt to cover the most recent and most comrehensive writings in the field, to which the classification rought forth in Chater 4 then forms a reaction Note that this chater only rovides summaries of the theories at hand Evaluations thereof in light of the current study are given in Chater 21 Schoenerg The concet of a sentence, as used in this thesis, was introduced y Arnold Schoenerg, initially only among his students He gives an elaorate descrition of the henomenon in Fundamentals of musical comosition, 1 which was ulished osthumously in 1967, and can e seen as the result of his activities as a teacher in Los Angeles The most imortant urose of this textook was to rovide for the average student of the universities, who has no secial talent for comosing or for music at all 2 This urose led Schoenerg to emloy a set of musical ractice forms, which would guide the student towards musically aroriate results in a controlled, academic fashion Regarding the construction of simle themes, Schoenerg distinguished two such ractice forms: eriod and sentence 1 Schoenerg Schoenerg 1967, 214 In Schoenerg s theory, eriod and sentence are theme tyes No non-thematic fragments are discussed in terms of eriod or sentence Regarding length, Schoenerg writes: In the simlest case these structures consist of an even numer of measures, usually eight or a multile of eight (ie 16 or, in very raid temos, even 2, where two or four measures are, in effect, equal to the content of one) His sixteen-measure examles 55a-c (comosed 1

14 14 CHAPTER 2 AN OVERVIEW OF THE LITERATURE Schoenerg first sets out several asic rinciles with resect to the sentence, and roceeds to give numerous examles of themes from the literature We follow this rocedure in the next two sections 211 Basic rinciles The key characteristic of simle themes (eriod and sentence) lies in the concet of reetition A sentence reeats its rimary hrase or asic motive 4 instantly, whereas a eriod continues with contrasting material, only to ostone the required reetition until the eginning of the consequent Central to this distinction is the concet of comrehensiility : a rimary oective of music is to e comrehensile, and for this a certain degree of reetition is essential The eriod ostones this reetition until the last ossile moment in a simle theme The concet of variation can e alied in case a literal reetition is undesirale, ut the recognizaility of the material as such must not e eoardized A common technique for realizing variation in the first half of the sentence consists of first resenting the tonic form of the asic motive, directly followed y the dominant form Schoenerg gives a tale of harmonies that can e used in the dominant form, given the harmonic rogression resent in the tonic form, eg a tonic form of I V can e answered y V I in the dominant form, and a tonic form that uses only I is answered y a dominant form that uses only V The second half of the sentence demands more remotely varied motive-forms, which is realized, at least in the ractice forms, y the henomenon of liquidation: Liquidation consists in gradually eliminating characteristic features, until only uncharacteristic features remain, which no longer demand a continuation The sentence is finally comleted y a cadence, and does in this resect not differ from the eriod: The end of a sentence calls for the same treatment as the consequent of a eriod A sentence may close on I, V or III, with a suitale cadence: full, half, Phrygian, lagal; erfect or imerfect; according to its function Examles The ook eing a textook as well as a theoretical treatise, the author roceeds to give numerous examles from the literature (mostly y Beethoven, Mozart and Haydn), so that his students can learn directly from the masters Although he does not go into susequent detail regarding recise terminology and definition with regard to musical henomena that can and cannot occur in the sentence theme tye, the examles nevertheless give a rough idea of his notion of sentence theory and the flexiility with which he alies it In that resect, the following examles are the most remarkale Having already stated that the sentence can close with any kind of cadence, Schoenerg s citation of the first theme of Beethoven s iano sonata in c minor, ous 10 no 1, first movement (not reroduced here), ends at measure 16, ie with dominant harmony in first inversion In this case, Schoenerg seems to refer thematic cohesion over cadential closure as a criterion for localizing the end of the sentence, as the erfect authentic cadence that follows directly afterwards is not included in the sentence Measures 5 and 6 need not necessarily develo thematic material resented in the first four measures Schoenerg shows several examles, such as the eginning of Mozart s iano sonata in C maor, KV 0 (see Figure 411 on age 57), in which measure 5 resents more or less new y himself as examles, not reroduced here) seem to require a relatively slow temo due to the harmonic rhythm, and therefore aear to e genuine sixteen-measure sentences 4 In Schoenerg s terminology, a hrase is a single musical gesture that usually occuies two measures The asic motive is the hrase with which oth eriod and sentence start 5 Schoenerg 1967, 58-59

15 21 SCHOENBERG n > > 7 Í π n > F Figure 21: Schuert, iano sonata in E flat maor, D 568, third movement material Nevertheless, in such cases, material derived from the asic motive tends to reaear towards the end of the sentence A sentence can e consideraly lengthened, ut also, more remarkaly, shortened Even structures that can e descried as ternary, with three units of equal length (eg 4+4+4), can, according to Schoenerg, e interreted as a sentence Of the first twelve measures of the Menuet from Schuert s iano sonata in E flat maor, D 568 (see Figure 21), Schoenerg remarks: [A]nalysis as a sentence is suorted y the similarity of the two segments, m 1-4 and m 5-8, to tonic form and dominant form This hyothesis would lead one to exect a continuation of eight measures 6 Again, we see that the reetition of the first hrase is used as rimary criterion for the identification of the whole theme as a sentence Desite its ovious ternary organisation, this examle from Schuert does emloy what Schoenerg calls condensing techniques (ie grous of four measures are followed y grous of two measures), and this is indeed a rimary characteristic of most sentences Schoenerg discusses However, he also identifies sentences that do not exhiit this henomenon, such as the first eight measures of Brahms cello sonata ous 8 (see Figure 22) Schoenerg interrets measures and 4 as a varied reetition of measures 1 and 2 (ecause of similarities in the rhythm), and again this initial reetition is crucial (even though the same material remains resent, without any liquidation or condensing techniques, in the measures that follow) This concet of reetition is given such strong imortance that even musical fragments that do not contain a reeated unit of two measures at the eginning can e identified as a sentence, as long as the eginning dislays some sort of reetitional attern Of measures 58 to 65 of Brahms cello sonata ous 8 (see Figure 2), for instance, Schoenerg remarks: [this fragment] has little in common with the ractice form excet for the reetitions of smaller segments (m 5, 6) and the cadential rocess, in which the one-measure hrases of m and 4 are reduced to half-measure residues in m 7-8, as confirmed y the hrasing in the accomaniment 7 This would therefore e a sentence without a roer asic motive If such a asic motive does exist, a full reetition thereof is not required either: it is also ossile that the reetition of this motive e interruted half-way, as can e seen in the first eight measures of Haydn s iano sonata in B flat maor, Ho XVI:41, of which the fourth measure 6 Schoenerg 1967, 61 7 Schoenerg 1967, 62

16 16 CHAPTER 2 AN OVERVIEW OF THE LITERATURE Allegro non troo c c c esr legato 5 Ó 5 Figure 22: Brahms, cello sonata in e minor, ous 8, first movement already resents condensing techniques (see Figure 24) Schoenerg nevertheless characterizes the theme as a sentence 22 Ratz In 1951, efore the ulication of Fundamentals of musical comosition, Erwin Ratz, a uil of Schoenerg, descries the sentence archetye in his ook Einführung in die musikalische Formenlehre 8 As Ratz states in the reface, the ook is very much indeted to Schoenerg s legacy as a teacher It is therefore quite remarkale that in Ratz s view, it is not the moment of reetition that is the crucial criterion for identifying a sentence, ut the resence of the develomental rocess: The eight-measure sentence (2 x 2) + 4, consists of a two-measure grou, which is reeated and followed y a four-measure develoment, the essence of which is that art of the motives advanced in the two-measure grou is droed, resulting in a comression and acceleration of the musical rocess In general, the develoment section also rings an increase in harmonic activity 9 Ratz s use of the term develoment section ( Entwicklungsteil ) to lael the fifth and sixth measure of the tyical eight-measure sentence is noteworthy, as such a lael is asent in Schoenerg s terminology Ratz s sentence necessarily ossesses a forward-driving character and it is therefore y default closed with a half-cadence, which is more in accordance with the forward-going tendencies of the sentence than an authentic cadence, although such an ending is ossile as well; Ratz mentions the oening theme of Beethoven s iano sonata in C maor, ous 2 no (not reroduced 8 Ratz Der achttaktige Satz (2 x 2) + 4, esteht aus einem Zweitakter, seiner Wiederhohlung und einer viertaktigen Entwicklung, deren Wesen darin esteht, das ein Teil der im Zweitakter exonierten Motive fallen gelassen und so eine Verdichtung und Beschleunigung der musikalischen Darstellung erzielt wird In der Regel findet im Entwicklungsteil auch eine Beschleuniging in der harmonische Disosition statt (Ratz 197, 21-22)

17 22 RATZ B c c c f f B T n n 62 n n Figure 2: Brahms, cello sonata in e minor, ous 8, first movement Allegro c c f Ó Z 5 Z f w w Figure 24: Haydn, iano sonata in B flat maor, Ho XVI:41, first movement

18 18 CHAPTER 2 AN OVERVIEW OF THE LITERATURE here), as an examle of a sentence that ends with an authentic cadence As an examle of the archetyal eight-measure sentence, Ratz cites the oening theme of Beethoven s iano sonata in f minor, ous 2 no 1 (see Figure 1 on age 10), in which the seeding-u of the harmonic rhythm is considered exemlary, and analyzed as follows: /2 + 1/2 + 1/4 + 1/4 f: I V I V I II 6 I 6 4 V The fact that Ratz divides the first half of the last measure in two quarter measures is esecially remarkale, and illustrates nicely ust how imortant this driving nature of the sentence is in his theoretical concetion Ratz roceeds to mention that the sentence as a construction rincile ( als Konstruktionsrinzi ) can e found within other musical structures, like the eriod (in which antecedent and/or consequent can e constructed as a sentence) or the small ternary He concludes with an analysis of the main theme of the second movement of Beethoven s iano sonata in E flat maor, ous 7 (not reroduced here), which he descries as a small ternary ( dreiteiliges Lied ) containing an eight-measure sentence at the eginning 2 Calin In his 1998 ook Classical Form, 10 William Calin rooses y far the most comrehensive sentence theory to date Not only that: the ook rooses a comlete theory of musical form for the instrumental music of Haydn, Mozart, and Beethoven The ivotal concet of this theory is that of formal functions, which should enale the analyst to go further than simly unveiling the grouing structure of a work, and descrie the more definite role that [a certain grou] lays in the formal organization of the work For examle, a given four-measure grou may stand as an antecedent hrase in relation to a following consequent ; an eight-measure grou may serve as the main theme of a minuet; or a seventy-three-measure grou may function as the develoment section in a sonata 11 The ook, as Calin acknowledges, is insired directly y the writings of Schoenerg and Ratz, and can e seen as a working out into full detail of several concets introduced more informally in Schoenerg s Fundamentals or Ratz s Einführung The concet of formal functionality itself, for instance, originates from Ratz, and it is also ecause of this legacy that Calin laces the sentence, the eriod, and the small ternary at the center of his theory of classical thematic design Calin defines the classical sentence as an eight-measure theme in which three formal functions are resented in direct succession: resentation function, continuation function, and cadential function functions that deend heavily on local harmonic content The first of these functions is resented in the resentation hrase, 12 which usually occuies the first four measures, the second and third functions are realized in the continuation hrase, usually found in measures five u till eight We discuss the resentation and continuation hrases in the next two sections We then discuss the concet of loosely organized sentences and deviations from the norm, and conclude with an overview of so-called hyrid themes 10 Calin Calin 1998, 9 It must e noted that Calin does not rovide dictionary definitions for the various formal functions he utilizes, a shortcoming he acknowledges and discusses in Calin The term hrase is used y Calin for a grou of aroximately four measures in length By itself, it conveys no secific formal function

19 2 CAPLIN Presentation hrase The resentation hrase rolongs tonic harmony and consists of a two-measure asic idea with its direct reetition, and thus resents the theme s characteristic material to the listener The reetition falls into one of three categories: exact reetition, statement-resonse reetition, which corresonds directly to Schoenerg s tonic and dominant form (see age 14), and sequential reetition The last category alies only in case oth the melody and the harmony are transosed to a different scale-degree (a melodic sequence is not considered a genuine sequence y Calin and is therefore considered of little imortance in form-functional analysis) According to Calin, reetitions of this category are rare, since sequential harmony tyically does not rolong the tonic, 1 which is a necessary criterion for the sentence theme-tye Continuation hrase The continuation hrase that closes the sentence tyically rings material conveying continuation function, followed y material conveying cadential function We discuss these functions searately in the next two sections Some continuation hrases contain a fusion of these two functions we discuss this henomenon in Section Continuation function Continuation function, which can e found at the eginning of the second half of the sentence, is characterized y at least one of the following henomena: 1 fragmentation, 2 acceleration of harmonic rhythm, increase in surface rhythmic activity, 4 harmonic sequences Of these, fragmentation is encountered most frequently y far This concet is taken directly from Schoenerg, who calls it reduction or condensation, 15 which is often found in comination with liquidation (which we discussed on age 14) it means that the two grous of two measures from the resentation hrase are followed y grous of smaller size in the continuation hrase This smaller grouing size is usually caused y reetition: the resentation hrase reeats its material after two measures, the continuation hrase contains a reeated one-measure idea There need not e any motivic corresondence etween resentation and continuation The other three henomena are most often encountered in comination with fragmentation, ut not always Calin cites the first eight measures of Mozart s violin sonata in A maor, KV 402, as an examle of a sentence of which the continuation hrase exhiits only an acceleration of the harmonic rhythm, and no fragmentation (see ahead, Figure 46 on age 52) 1 Calin mentions the first eight measures of Beethoven s iano sonata in G maor, ous 14 no 2 (not reroduced here), as a case of sequential harmony that does rolong the tonic In his analysis, the harmony in measures and 4 is laeled II 2, measure 5 rings V 6, and the tonic rolongation ends at the downeat of measure 6, well into continuational material 14 There seems to e some amiguity regarding this criterion, as Calin initially, in a footnote, gives a numer of examles of works that do start directly with sequential harmonies, such as the oening of Beethoven s Waldstein sonata, ous 5 no 1 These examles, however, seem to e mere examles of sequential reetition, not of sentences starting with such a reetition The examles discussed throughout the ook indicate that sequential reetitions that do not rolong the tonic cannot e considered the resentation hrase of a sentence; for instance, on age 9, Calin writes: [T]he resulting lack of tonic rolongation rohiits us from seaking of a true resentation hrase 15 Schoenerg 1967, 58-59

20 20 CHAPTER 2 AN OVERVIEW OF THE LITERATURE 222 Cadential function With resect to cadential function, which closes the sentence, Calin remarks: As a general rule, the oundaries of [cadential] function are limited y its underlying cadential rogression Thus, the initial harmony of the rogression marks the eginning of cadential material () and the onset of the final harmony articulates the oint of cadential arrival 16 Indeed Calin s theory also offers comlete definitions, in terms of harmonic rogressions, of the various classical cadences The resence of a cadential rogression is however y itself not enough to realize cadential function Another criterion must e met as well, which is central to Calin s understanding of the concet of cadence: A cadence essentially reresents the structural end of roader harmonic, melodic and hrase-structural rocesses Thus cadential function imlies the resence of rior material for examle, resentational or continuational on which the cadential function follows in order to effect thematic closure 17 This follows directly from the fact that Calin s formal functions are in fact an elaoration of Kofi Agawu s eginning-middle-end aradigm, 18 as Calin himself discusses in more detail in the article What Are Formal Functions 19 In terms of this aradigm, cadential function corresonds to the end, and without initiating and medial functions ( eginning and middle, resectively), there can e no such end Cadential function has a distinct melodic comonent as well This idea again originates with Schoenerg: whereas in material conveying resentation function the melody is highly characteristic for the work in question, cadential material often offers melodic material of more or less uncharacteristic nature Indeed, the continuational material found in etween tyically stris the asic idea of some of its characteristics, leaving only fairly uncharacteristic material for the cadence The term liquidation to characterize this rocess has also een taken directly from Schoenerg (see age 14) A sentence must end with either a erfect authentic cadence, an imerfect authentic cadence, or a half cadence, which must e considered the only genuine cadences in the classical style 20 It is ossile for a sentence to modulate to and close in another key 21 A cadence can only e found at the end of the sentence; a resentation never closes with a cadence 22 Fusion In some sentences, the cadential rogression that concludes the theme is started immediately after the resentation hrase, ie at the eginning of measure 5 of the standard eight-measure sentence The term continuation hrase is then relaced y the indication continuation cadential ( continuation ecomes cadential ) In such cases, Calin says, the cadential comonent vies for equal exression with the continuation function, or even surasses it () [W]hat we exect to e a continuation hrase () is understood retrosectively to e a cadential hrase ased on an exanded cadential rogression, a hrase that nevertheless contains continuational characteristics 22 This henomenon of two functions lended together in a single hrase is called form-functional fusion As an examle of such a continuation cadential hrase, Calin cites the first eight measures of Haydn s string quartet in D minor, ous 42 (see Figure 25) Here, the cadential rogression starts with the tonic in first inversion in measure 5, and covers the entire second half of the sentence, which is therefore laeled continuation cadential The fact that the tonic chord of measure 5 is included in the cadential rogression results from Calin s definition of the authentic cadence: [a] comlete cadential rogression is made u of the fundamental harmonic functions 16 Calin 1998, 4 17 Calin 1998, 4 18 Agawu Calin Calin 1998, 4 21 Calin notes that modulating sentences are most often found as a art of a larger structural organization, such as a small inary or a small ternary 22 Calin 1998, 45-47

21 2 CAPLIN 21 B Andante ed Innocentemente Z f f f d: I V 7 Z f f f 5 Z f B f f f f f f I 6 II5 6 I 6 4 V I Figure 25: Haydn, string quartet in D minor, ous 42, first movement in the following temoral sequence tonic, redominant, dominant, and tonic 2 The asic form of the authentic cadential rogression in the classical style, according to Calin s theory, is reroduced here in Figure Since in the Haydn examle measure 5 already rings the tonic in first inversion, the cadential rogression must e understood as starting at exactly that oint, and the last four ars all ossess cadential function 2 Loose organization and deviations from the norm An imortant asect of Calin s theory is the fact that a sentence, in its most tyical form, is a tight-knit theme consisting of eight or sixteen measures The distinction etween tight-knit and loose organization stems from Ratz (the German equivalents are fest gefügt and locker gefügt ) Without going into too much detail, one could think of tight-knit organizations as exhiiting symmetrical grouing structures, harmonic and tonal staility and cohesion in melodic-motivic 2 Calin 1998, Calin 1998, 26, examle 25a

22 22 CHAPTER 2 AN OVERVIEW OF THE LITERATURE I 6 II 6 V 7 I Figure 26: Basic authentic cadential rogression in Calin s theory of classical form material, whereas loosely organized structures undermine one or more of these factors 25 The main theme of a classical sonata movement is considered to e tight-knit y default; suordinate themes are almost always more loosely organized The characteristics of the sentence theme-tye discussed thus far all concern tight-knit themes With regard to loosely organized (suordinate) themes, Calin remarks: Most suordinate themes are constructed out of the three sentential functions resentation, continuation, and cadential One or more of these functions usually acquires a loose organization y means of various comositional techniques () 26 He then roceeds to give an overview of numerous such techniques It must e made clear at this oint that such loosely organized themes emloying sentential functions are not considered genuine sentences, as Calin remarks at an earlier stage in the ook: [W]e distinguish etween a sentence-like (or sentential) structure and a genuine sentence, the latter eing a secific tight-knit theme () In many cases (), we recognize the resence of sentential characteristics without wanting to say that the resulting structure is a sentence roer 27 A sustantially comlicating factor now comes into lay when we consider so-called deviations from the norm within tight-knit sentences Calin descries a limited amount of such deviations for the sentence theme-tye: the resentation hrase, although hardly ever deviating from the norm, sometimes contains a asic idea longer than two measures; 28 the continuation hrase can deviate from the norm in three ways: extension of continuation function, exansion of cadential function, 29 and comression of the continuation hrase Remarkaly enough, the use of these four comositional devices is aarently not enough to render the whole theme loosely organized Although this is not stated exlicitly, one could susect that the deviations from the norm receive this status aarte from the suosition that they can e found relatively frequently in main themes, whereas the other loosening techniques tyically occur in suordinate themes The list of actual sentential loosening techniques is very long and contains a host of examles We only give a short summary here, treating resentation hrase and continuation hrase searately in the next two sections Susequently, we discuss the limits to which a sentential structure can e loosened efore it loses its key characteristics 25 Calin s distinction etween these two concets is much more detailed, cf Calin 1998, Calin 1998, Calin 1998, Calin cites the oening measures of the third movement of Mozart s G minor symhony, KV 550, as an examle of a asic idea consisting of three measures (Calin 1998, 41) 29 Calin seaks of extension when material of a certain function is eing added when that function has in fact already een fully realized; exansion occurs when the material realizing a certain function surasses the normative size The latter technique is usually associated with cadential function

23 2 CAPLIN esressivo n n n S n n n n n n n n n S n n n n n 67 n n S n n n n T È n n T [ È S n T I I S T [ I S n n n 76 ƒ n n n n ƒ n n n n π n n n ƒ 85 S S n S S n Figure 27: Beethoven, iano sonata in A maor, ous 2 no 2, first movement

24 24 CHAPTER 2 AN OVERVIEW OF THE LITERATURE 21 Presentation hrase The resentation hrase can acquire a loose organization y an additional reetition of the asic idea, a reetition of the entire hrase, or weakening of the tonic rolongation The latter can e realized y a numer of techniques, viz y inverting the rolonged harmony, y lacing the suordinate harmonies on metrically accented ositions, or y undermining the rolongation with a dominant edal 0 22 Continuation hrase One imortant loosening technique concerning the continuation hrase consists of searating the material with continuation function from the material with cadential function and assigning oth their own distinct grous, which haens for instance in the suordinate theme of the first movement of Mozart s iano sonata in C maor, KV 545 (not reroduced here) Another very common technique extends continuation function y adding more fragmented units than the normative amount, therey lengthening the continuation hrase This also haens in the same Mozart theme from KV 545 A third technique delay[s] fragmentation y creating units of reetition that are initially the same size as those found in the resentation In the asence of fragmentation, the sense of continuation must e exressed y other characteristics, such as an acceleration of harmonic change, quicker surface rhythms, or a harmonic sequence 1 Finally, cadential material can e loosened y extension (in which case a erfect authentic cadence fails to materialize directly) and exansion (when the cadential harmonies themselves are stretched out in time) Both loosening techniques have various sucategories, which we shall not discuss here 2 Loosening limits As discussed aove, classical comosers can emloy a wide variety of comositional techniques to render their themes loosely organized In some cases, however, a theme is loosened u to such a degree that it cannot e considered to e of a standard theme tye Below we discuss such situations with resect to the sentence A Calinian resentation hrase must rolong tonic harmony The reason this criterion alies also to loosely organized resentation hrases, is that sequential harmony necessarily entails continuation function A sentential construction must rovide resentation, continuation, and cadential functions (in that order), and therefore a theme starting with sequential harmonies can e considered neither a sentence nor sentential Such a theme elongs to a searate category that is laeled Omission of an Initiating Function, or, more secifically, to a sucategory thereof called Beginning with continuation function As an examle of such a theme, Calin cites what he calls the first suordinate theme from the first movement of Beethoven s iano sonata in A maor, ous 2 no 2, reroduced here in Figure 27 Calin analyzes the theme as follows: measure 58 functions as an introduction, measures 59-8 exhiit continuation function (measures make use of model-sequence techniques and measures show fragmentation), and measures (downeat) are cadential, with an evaded cadence at the downeat of measure 88 and a erfect authentic cadence at the downeat of measure 92 Due to the lack of tonic rolongational harmony at the eginning of the theme, Calin makes no reference to the sentence or to a sentential structure in his analysis A second interesting class of themes are those that are suorted in its entirety y an exanded cadential rogression Calin states that such themes indeed start with cadential function, and 0 Calin 1998, 99 1 Calin 1998, 100

25 2 CAPLIN 25 6 C T I Ó T I T T T C 40 T T ƒ π Ó w Figure 28: Haydn, iano sonata in C maor, Ho XVI:5, first movement tyically does not refer to the sentence or to sentential characteristics, even when the reetitional atterns usually associated with the sentence can easily e seen to e resent in the theme Again, such themes cannot e considered sentential ecause they do not ass through all three required functions (resentation, continuation, and cadential) Indeed, this theme-tye also elongs to the category Omission of an Initiating Function, more secifically to the sucategory Beginning with cadential function An examle of such a theme comes from the first movement of Haydn s iano sonata in C maor, Ho XVI:5, reroduced here in Figure 28 Here we must recall that the cadential rogression I 6 II 6 V 7 I is considered the asic authentic rogression y Calin (see Figure 26 on age 22) In this Haydn theme, the first six measures all rolong tonic harmony in first inversion, after which the cadence is finally fully realized For this reason, cadential function is already resent at the eginning, and although the theme starts with an immediate reetition of (one-measure) material, followed y fragmentation of this material, finally closing with a erfect authentic cadence, it cannot e considered a sentence Moreover, Calin remarks that the oening of the theme does not resemle a asic idea (which is almost always two measures in length), and therefore the case for laeling the eginning as resentational is further weakened 2 24 Hyrid themes The last feature of Calin s sentence theory that must e mentioned here, is the notion of so-called hyrid themes A hyrid theme comines characteristics of oth the sentence and the eriod, and is, like sentence and eriod, eight measures in length in its standard form Calin distinguishes four categories of hyrid themes; here, we discuss only two, which are laeled antecedent + continuation and comound asic idea + continuation A hyrid theme of the first category, antecedent + continuation, starts like a eriod and ends like a sentence: the first four measures form a so-called antecedent hrase, 4 the remainder is constructed as a continuation hrase An examle of such a theme can e found at the eginning 2 Calin discusses a third sucategory of themes omitting initiating function, called Beginning with standing on the dominant We do not discuss this sucategory here The other two categories of hyrid theme tyes are called antecedent + cadential and comound asic idea + consequent 4 Antecedent hrase is the name of the oening hrase of a eriod It consists of a two-measure asic idea (ust like a sentence) followed y a two-measure contrasting idea The antecendent hrase ends with a weak cadence

26 26 CHAPTER 2 AN OVERVIEW OF THE LITERATURE Andante cantaile n 4 4 dolce ÿ f n f 5 n n r n r n n n Figure 29: Mozart, iano sonata in C maor, KV 0, second movement of the second movement of Mozart s iano sonata in C maor, KV 0 (see Figure 29) Calin: The first hrase is a standard antecedent a two-measure asic idea followed y a contrasting idea ending with a half cadence The second hrase egins with new material and modulates to the dominant region Since the asic idea does not return, the hrase cannot e considered a consequent Rather, the hrase roects the most tyical feature of continuation function namely, fragmentation of the receeding two-measure ideas into one-measure units 5 The other class of hyrid themes, comound asic idea + continuation, resemles the first, ut is different in the organization of the first four measures A comound asic idea is similar to an antecedent, ut does not realize a (weak) cadence at its end Calin defines the term as follows: An initiating intrathematic function It is a four-measure hrase consisting of a asic idea followed y a constrasting idea, which does not lead to cadential closure It usually is suorted y a tonic rolongational rogression 6 It is in itself already considered a hyrid construction due to the fact that it resemles an antecedent hrase in its melodic-motivic content and a resentation hrase in its use of tonic-rolongational harmony The oening measures of Haydn s iano sonata in C maor Ho XVI:5 (see Figure 210) are an examle of such a theme The first four measures resemle an antecedent, ut since the contrasting idea, in its entirety, stands on the dominant, one cannot identify a half cadence at the eginning of measure 4 Therefore, the first four measures are laeled comound asic idea The continuation hrase is laeled as such due to fragmentation and an acceleration of the harmonic rhythm 24 BaileyShea In the article Beyond the Beethoven Model: Sentence Tyes and Limits, 7 Matthew BaileyShea develos a classification of sentences ased on Calin s theory of formal functions As BaileyShea argues, trying to understand the sentence y means of only a single archetye (the oening theme from Beethoven s ous 2 no 1 iano sonata, used y ractically all theorists writing on this toic) greatly oscures the fact that the sentence is a highly adatale form which can e encountered 5 Calin 1998, 59 6 Calin 1998, 25 7 BaileyShea 2004

27 24 BAILEYSHEA 27 C C Allegro con rio Ó r f Ó Ó 5 Figure 210: Haydn, iano sonata in C maor, Ho XVI:5, first movement in multile guises in various musical styles throughout history therefore needed to understand the sentence in all its otential 8 Multile sentence models are BaileyShea understands the sentence essentially to e a form with a hyermetric gestural quality, ut he comines this idea with Calin s formal functions: From a hyer-rhythmic oint of view, the sentence is est reresented as a three-art gesture: short/short/long Yet when considered from the ersective of Calin s formal functions, it makes more sense to define it in two distinct arts: a resentation hrase and continuation hrase 9 As a result, he largely adots Calin s sentence theory, emloying such terms as resentation and continuation hrase, asic idea, tight-knit versus loosely-knit, etc, and reducing the imortance of melodic-motivic material in analytical considerations There are however two imortant differences etween Calin s and BaileyShea s sentence theories, one concerning the resentation hrase, the other concerning the continuation Firstly, BaileyShea reects Calin s view on the resentation hrase in that it must rolong tonic harmony BaileyShea argues that if we wish to distinguish sentential gestures in music from other styles and genres than the instrumental music of Mozart, Haydn, and Beethoven, this criterion is simly too strict: () tonality is not a necessary asect of the form Indeed, it is not hard to imagine a short/short/long roortion in which an idea is resented, reeated, and dissolved into continuation without any trace of common ractice tonality 40 That eing said, BaileyShea adots all other Calinian criteria for the resentation hrase, meaning it consists of a asic idea of one to four measures that is reeated in one of three ways: exact (ossily with slight variations), statement-resonse, or sequential Secondly, BaileyShea emhasizes the imortance of giving consideration to the internal grouing structure of the continuation hrase Calin s theory of classical form reduces the imortance of grouing structure drastically, as Calin exlains in the introduction to Classical Form: () formal functionality arises from harmonic, melodic, and rhythmic rocesses that are not necessarily the same as those that create the work s grouing structure Function and grou are often congruent, ut this need not always e the case 41 BaileyShea, on the other hand, writes: Internal grouing structure is esecially significant in the context of the continuation hrase Even within 8 A recursory classification is given in BailyShea s PhD dissertation (BaileyShea 200), which differs on a numer of accounts from the later classification found in the article We restrict this discussion to the later classification 9 BaileyShea 2004, BaileyShea 2004, Calin 1998, 4

28 28 CHAPTER 2 AN OVERVIEW OF THE LITERATURE asic idea reetition Andante c c n n n n continuation (dissolving third statement) PAC 5 n Figure 211: Choin, Nocturne in f minor, ous 55 no 1, with BaileyShea s analytical annotations the Classical and early Romantic eriods we can identify a variety of distinct sentence designs ased largely, though not entirely, on the grouing structures of the continuation 42 This focus on grouing structure enales BaileyShea to discuss sentences in a wide variety of musical styles, stating that, to a certain degree, sentence exression does not deend uon common ractice tonality, 4 which is a significant deviation from Calinian theory According to BaileyShea it is indeed the continuation hrase that is the most rolematic when defining the form, and therefore the sentence had etter not e understood as requiring a single, normative continuation It is on the shae of the continuation hrase that BaileyShea ases four sentence models All four, however, are seen as manifestations of the short/short/long gesture that is taken as the essence of the sentence We discuss each model elow 241 Sentences with a dissolving third statement A sentence with a dissolving third statement does not tyically involve motivic fragmentation at the eginning of the continuation hrase, 44 ut rather seems to state the asic idea a third time efore entering an undifferentiated rocess of dissolution, 45 ultimately arriving at a cadence An examle of such a sentence can e found at the eginning of Choin s Nocturne in f minor, ous 55 no 1, see Figure Sentences with a sentential continuation In the second sentence model, the continuation hrase of the sentence is shaed like a miniature sentence in itself This is the case when the eginning of the continuation features fragmentation techniques, which then results in a short/short/long gesture (regarded as one of the essential characteristics of the sentence y BaileyShea) on a smaller scale The theme oening Beethoven s f minor iano sonata ous 2 no 1 (Figure 1) elongs to this category, as do a host of other 42 BaileyShea 2004, 1 4 BaileyShea 2004, Although BaileyShea notes that fragmentation can e found in this sentence model, it is a more tyical feature of the second model: sentences with a sentential continuation 45 BaileyShea 2004, 1

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