A typical sonata form includes three sections, they are exposition, development and
recapitulation. In terms of the tonal structure, a sonata form has a dramatic conflict of tonality
between the home key and the subordinate key. The exposition sets up in the home key, and
then it will modulate to the subordinate key which is confirmed by a cadence, usually in perfect
cadence. The development will modulate to different key. Generally, if the development keys
were in major-mode movements, then the keys would be in the minor-mode regions of II, III
and VI. In contrast, the keys would be the major-mode region of IV and V if they were in the
minor-mode movements. The recapitulation would return to the home key and stay throughout
the section. It would confirm with a perfect cadence toward the ending. On the other hand,
the formal structure of the sonata form resembles the “round binary” version of the small
ternary.1 Because the exposition is always repeated, but the development and the recapitulation
are often repeated. In the following essay, it will be analysed the first movement of Mozart’s
Sonata K.311. Exploring the melody, harmony, structure, function etc. in different sections.
As regards to the exposition section, it consists of three major components within the section,
that is the main theme, transition and the subordinate theme. The two different themes present
in the home key and the dominant key respectively via the modulation of the transition. The
two themes present in two different characters as they are in a contrasting dynamics. The main
theme is usually in a masculine character with a forte dynamic marking, whereas the
subordinate theme is feminine, in piano dynamic. In addition, for the melodic style, the main
theme carries the strong and lively melody; in contrast, the subordinate theme is a lyrical and
gentle melody.
The main theme starts from the beginning to bar 10. It opens with a masculine character to
begin the exposition, in forte dynamic. In terms of the phrase structure, this theme is a
nonconventional theme because it lacks of sense of functional initiation. To be more specific,
the phrases overlap in the first beat of bar 4 and bar 7. So, the motif of the first theme can be
said that is 4+4. After all, the sentence structure cannot be separated clearly into two phrases
because the first beat of bar 4 and 7 have two functions: ending the first phrase and starting the
second phrase simultaneously. Moreover, bar 7 to 10 develop another new melodic material.
These four bars seem a continuation of the first theme, as well as a small ‘bridge’ connecting
to the first theme and the transition. In addition, these four bars are separated into two sentences
1 William E. Caplin, 2013: Analyzing classical form: an approach for the classroom, chapter 9, p. 262
The Trial Version
with using sequence. On the other hand, the opening harmony of the exposition is always
established in the home key. Therefore, the main theme settles in the tonic key, D major.
The chords are based on the tonic, supertonic and dominant within ten bars. Furthermore,
each phrase finishes on the perfect cadence, in order to tell the audience that phrase has
already completed. The main theme finally ends on the perfect cadence before the transition.
The functions of transition are “destabilize the home key…, to loosen the formal
organization…, to liquidate characteristic motivic material…”2 In general, the aims of the
transition is to depart the home key to the dominant key. In this sonata, the transition starts
from bar 11 to 16.
It opens with a false closing section technique because the main theme ends
on a perfect cadence in bar 10. Also, such technique will begin after the rest, the transition is
“separated by a distinct break in rhythmic motion.”3
So, it can be ensured that the transition is
from bar 11 because the fact showsin bar 10. On the other hand, the style of transition becomes
liquidly comparing to the first theme. Due to it features a “passage work”, which means using
various of scale patterns and arpeggiations in order to project a “brilliant style”.4 The righthand plays some scale patterns with semiquavers, accompanied by some conventional
accompanimental patterns in the left-hand. For example, there are used of drum bass and drum
variant patterns in bars 11, 12, 15 and 16. In terms of phrase-structural organization, this
transition seems using of omission of initiating function organization. Because there is
displaying a model forsequential repetition between bars 11 to 14. Also, there are two different
melodic ideas, so it can be separated into two small groups: bars 11-12 and bars 13-14. Bars
11 and 13 are the model of bars 12 and 14 respectively. The sequence is used in bar 11 and
12; the imitation is in bar 13 and 14. Besides, this transition is a nonmodulating transition due
to it usually remainsin the tonic and the dominant chords. Finally, it ends on imperfect cadence
(V-I) and lands on the dominant harmony- A major in bars 15 to 16.
The subordinate theme presents a diverse melodic, harmonic and dynamic ideas with the main
theme. It has a tuneful and lyrical melody, mostly setting in a piano dynamics as well as
starting with the dominant major key. This second theme begins and stays in A major key, it
is more stable comparing with the first theme. The chords are usually stay in tonic, supertonic
and dominant. In terms of the phrase-structural organization, the second theme is sentential
and contracting outs of three sentential functions which are presentation, continuation and
cadential. The presentation function occurs in bars 17 to 23. It uses of an additional repetition
of the basic idea because bars 21-22 repeat the same basic idea from bars 17-18 by adding
some ornaments. Afterwards, the continuation function begins from bars 24 to 27. It is used
of model-sequence technique within these four bars, as there are four times repetition of the
same melodic idea, interchanging the voices between in the treble and the bass. The
subordinate theme 2 appears in bars 28 to 35, it is a four-bar two phrases. Bars 28 to 31 are
the model phrase, the later phrase repeats the same idea. At the same time, the two phrases are
2 William E. Caplin, 2013, chapter 11, p.309
3 William E. Caplin, 2013, chapter 11, p.320
4 William E. Caplin, 2013, chapter 11, p.314
The Trial Version
using the same chord progression. The codetta begins in bar 36, and finishing the whole
exposition section with a full perfect cadence(ii6-V7-I) in bars 38-39. It concludes with a
new melodic idea by descending order in slur, instead of using the material from the first
theme.
With regards to the development section, it is a central section between the exposition and the
recapitulation which operates to create instability of the phrase-structured and the harmony
structure. In general, this section will modulate to different keys and becoming more unstable.
Also, it will appears some melodic-motivic content from the exposition section as well as using
with the model-sequence technique.
To be more specific, in terms of the phrase-structured organization, the development section
processes with the pre-core and core technique. The pre-core arises in the beginning of the
development section, it will take from the codetta from the closing section of the exposition or
the basic idea of the main theme or new material that cannot be found in the exposition. The
core is the middle of the section. It is “comparable to other thematic units within the form,
such as…a subordinate theme…and most especially by virtue how it ends, a transition.”5 The
structure order of the core will be: model, sequence, fragmentation, concluding function and
standing on the dominant. The pre-core of this sonata appears at the beginning of the
development section in bar 40. Because it begins with the material from the closing section of
the exposition (see in Figure1), building up a continuity of rhythm, texture and motive.
Afterwards, the first core begins in bars 44 to 47. These four bars are the model because they
include the repeated material from the pre-core’s melodic-motivic content. Soon after, the
sequence happens in bars 48 to 55. The model is sequenced four times within eight bars. In
addition, the pattern slightly changes from the course of the core. Sometimes the melodic idea
interchanges the voices between two hands. The accompaniment part uses of the conventional
accompanimental patterns such as murky bass in bars 48 to 51 in the right-hand; alberti bass in
bars 52 and 53 in the left-hand. Subsequently, the fragmentation occurs in bars 56 and 57. Due
to these two bars break down the grouping structure that defines by the model and carry out
about a change in musical content. The fragmentation does not lead to the concluding function.
Instead, it leads to another core which recalls the second section of the subordinate theme. The
second core uses the same melodic idea of the second section, heading to the transition. In
fact, there is a hint in the pre-core. It is an incomplete thematic unit, due to this type of precores usually lacks of a concluding function.
In the tonal organization, the development section mostly spends time to explore the “minormode” tonal regions of the home key, and then ultimately go back to the home key.
6
The
development of this sonata starts in the supertonic of the home key – E minor. Soon after, the
key returns back to D major in the core model phrase in bars 44 to 47. The sequence is in a
relative minor of the previous key which is in B minor. Moreover, there is a German sixth in
the third beat of bar 52 (the chord is G B D E#) because there is a perfect fifth (D) above the
5 William E. Caplin, 2013, chapter 13, p.429
6 William E. Caplin, 2013, chapter 13, p. 421
The Trial Version
bass note (see in Figure 2).
It closes on a perfect cadence between bars 54 to 55 before the
fragmentation. The fragmentation modulates to G major from bars 56 to 66, as well as it is a
subdominant of the home key. When the second core is happening, the melodic material is
modulated to a major second lower from the second subordinate theme in the exposition,
remaining the same chord progressions. It is ended in the imperfect cadence(ii6-V) in bar 65,
closing the core section before the retransition.
The retransition is used a long passage to modulate back to the home key for returning the
material in the exposition. It starts in bars 66 to 77. It brings back to D major from G major in
bar 67. The rhythmic patterns of the left-hand accompaniment in bars 66, 68 to 70 can be
recognized in bar 36. In addition, the transition of in the exposition appears again in bars 75
to 77, leading to an half cadence of the home key and ready for the recapitulation.
With regards to the recapitulation section, it brings back the three thematic units of the
exposition section which are the main theme, transition and subordinate theme, as well as settle
down to the home key. Normally, the entry order of the three thematic units will be same as
the exposition. However, the recapitulation can deviate from the norm. There are different
types of deviations such as deletion of the main theme, main theme or subordinate theme
beginning in the subdominant etc.
The recapitulation of this sonata begins in bar 78. It can be seen that deviates from the norm,
and uses one of the deviation type – deletion of the main theme. Due to it starts directly with
the subordinate theme, the opening material of the main theme is deleted. But the main theme
idea will return later in the section, so this procedure is referred as a “reversed” recapitulation.
Although the order of this kind of procedure is deviant in the high classical style, it could be
usually found in mid-century works as well as in baroque period, the binary dance form.
7
In
addition, Rosen suggested such new order marks a significant alter in sonata style between the
1750s and the 1780s. He explained that this order is a “direct correlation between the thematic
and tonal structures is…made…by the new conception of the theme as the bearer of highly
individualized and immediately identifiable interlocking motifs.”8
Therefore, this order
provides a new style of sonata form, not only the main theme beginning first that can be called
a sonata form.
Despite the recapitulation begins with the subordinate theme first, it opens with the tonic of the
home key instead of the dominant key. The melodic-motif material and the accompaniment
climb up to a perfect fourth higher, confirming that isin D major not A major anymore. Staying
five bars later, the home key suddenly modulates to tonic minor – D minor in bars 83 to 86.
There is an Italian sixth on the third beat in bar 85 (see in Figure 3), as well as the first section
of the subordinate theme finishes on half cadence in minor via this chord. Afterwards, the key
7 William E. Caplin, 2001: Classical form: a theory of formal functions for the instrumental music of Haydn,
Mozart and Beethoven, chapter 11,p 173
8 Charles Rosen, 1988: Sonata Forms, chapter 11, p. 275
The Trial Version
backs to the home key again in bar 87, which is the continuation part leading to the second
part of the subordinate theme. The second part starts from bar 91 to 98. The melodicmotivic content also transposes up to a perfect fourth. Furthermore, bars 95 to 98 present
slightly different with the exposition, as the melody is played in an octave lower and the
octave interval, during in bars 95 to 96 and bar 97 respectively (see in Figure 4 and 5).
The
section part of subordinate theme ends on the imperfect cadence in bar 98. Eventually, the
main theme returns in the next bar within the home key, using the same chord progression as
the exposition. However, the melody materials from bar 7 to bar 10 are not be recalled in the
recapitulation(see in Figure 6).
Therefore, these four bars seem a continuation passage of the
main theme but not one of the part of it. On the other hand, the transition cannot be found in
this section. Caplin indicated the transition generally functioning to prolong the tonic of the
home key.9 Implying
to this case, the reason maybe because the main theme and the subordinate order is rotated, so
there is no other ‘suitable’ place for it to return. Due to the home key has already come back
in the subordinate theme directly, then the transition becomes unnecessary.
Finally, the coda begins in bar 105 and it is a short coda, only eight bars long. In connections
with the melodic-motivic material, this coda is used of one type of compensatory function –
shaping a new dynamic curve. The feature of this type function is “the final dynamic curve of
the movement will conform to that established by the closing section of the exposition.”10 The
first four bars (bar 105 to 108) remain in forte dynamic, using a long passage with semiquavers
and adding some new melodic materials. The last four bars (bar 109 to 112) of the coda
reappear the closing section of the exposition. The exposition’s codetta closes in piano
dynamic in bar 38 and 39, but the first two bars (bar 36 and 37) stay in forte. Therefore, the
coda needs to remain in forte before the ending in the last two bars, in order to maintain the
same passage and dynamic as the exposition’s codetta. In addition, the melody of last four
bars transpose to tonic key, ending on a perfect cadence in the home key.
In conclusion, this sonata is a typical sonata form. It contains three sections, which are
exposition, development and recapitulation. The exposition has three components, they are the
main theme, the transition and the subordinate theme. There is a contrasting characteristic
between the main and subordinate theme, such as the dynamics, the tonality. Besides, the
transition modulates the home key (D major) the dominant key (A major) in the subordinate
theme, maintaining A major key until the end of the exposition. Afterwards, the development
opens in E minor with the codetta melodic-motif material, and then back to the home key
immediately. Soon after, the key modulates to a relative minor of D major, that is B minor,
ending on the perfect cadence to complete the first core part. Then, the key turns into G major
in the next core, which is a subdominant key of D major. The second core reappears the
melodic idea of the subordinate theme, however it transposes to G major. Subsequently, there
is a transition brings back to the home key and prepares for the recapitulation section. The
9 William E. Caplin, 2013, chapter 14, p.489
10 William E. Caplin, 2013, chapter 15, p.541
The Trial Version
structure of this sonata’s recapitulation is different from normal sonatas, due to it swaps the
order of the main and subordinate themes, not following the order from the exposition
directly. Nevertheless, the subordinate theme begins in the tonic instead of the dominant.
The key modulates to a tonic minor, D minor for a short while, but then it goes back the
home key. After that, the first theme returns after the end of the subordinate theme. The
coda brings to the ending with a perfect cadence. Overall, this sonata contains a traditional
sonata form as there is including all materials inside the movement.
Score excerpts:
Figure 1
Figure 2
Figure 3
Figure 4
The Trial Version
(bar 95) (bar 96) Figure 5
Figure 6
The Trial Version
Bibliography
Caplin, Willam E., 2013: Analyzing classical form: an approach for the classroom (New
York: Oxford University Press).
Caplin, Willam E., 2001: Classical Form: A theory of formal functions for the instrumental
music of Haydn, Mozart, and Beethoven (New York; Oxford: Oxford University Press).
Rosen, Charles, 1988: Sonata Forms (New York; London: Norton).
Ratner, Leonard G., 1980: Classic music: expression, form and style (New York: Schirmer)
Downs, Philip, 1992: Classical Music: the era of Haydn, Mozart and Beethoven (New York:
W.W. Norton).
The Trial Version
Sample Solution
