/kI

KEY SCHEMES AND MODULATION TECHNIQUES IN THE

DEVELOPMENT SECTIONS OF FIRST MOVEMENTS

IN SONATA-ALLEGRO FORM OF PIANO

SONATAS BY HAYDN

THESIS

Presented to the Graduate Council of the

North Texas State University in Partial

Fulfillment of the Requirements

For the Degree of

MASTER OF MUSIC

By

Kathryn Elaine Phillips, B. M.

Denton, Texas

August, 1974
 Phillips, Kathryn Elaine, Key Schemes and Modulation Tech-

niques in the Development Sections of First Movements in Sonata-

Allegro Form of Piano Sonatas by Haydn. Master of Music (Theory),

August, 1974, 134 pp. , 19 tables, 46 figures, bibliography, 11 titles.

Sections of Haydn's piano sonatas chosen for study have been

analyzed to determine the composer's technique in modulation and the

key schemes resulting from these modulations, and to discover the

consistent patterns and exceptional patterns in these sonata movements

as a group.

As revealed in this analysis, Haydn is consistent in that the key

scheme patterns of several development sections are identical. Also

modulations, as categorized according to key relationships, are often

accomplished by the same or similar procedures. However, there are

important and interesting exceptions to these consistent practices

which add variety and seem to contribute to Haydn's growth as a com-

poser.
 TABLE OF CONTENTS

Page
LIST OF TABLES. .. .. . ... .. . . . . . . . . . . . . . iv

LIST OF ILLUSTRATIONS,.............. . vi

Chapter

I. INTRODUCTION................... .1

II. DESCRIPTIVE ANALYSES OF MODULATION . . . 14

III. KEY SCHEME.............................. . 88

IV. MODULATION TECHNIQUE . . . . . .*a,*. . . . 112

V. CONCLUSIONS. . 0...................... 128

BIBLIOGRAPHY.................... .. ........... 134

 LIST OF TABLES

Table Page

I. Piano Sonatas by Haydn Containing First Movements

in Sonata-allegro Form Numbered According to
Date of Publication with Reference to the Location
of Each Sonata in the Peters Edition............. 12

II. Intervals and Directions of Modulations.. . V. a...... . . 92

III. Relationships between Keys in Modulation.............. 95

IV. Relation of Keys to the First Key of the Development

and to the Tonic of the Sonata ................. 97

V. Predominating Keys*. . . . ..... . & . ...-.-.-- 103

VI. Average Number of Measures Per Key................ 109

VII. Relationship between the Average Number of Measures

Per Key and the Number of :Keys in Each Develop-
ment Section.......*... . . . . ....-.-.-.. 111

VIII. Modulations in Which the Relationship between the

Original and New Keys is That of I to ii. . . . . . . 113

IX. Modulations in Which the Relationship between the

Original and New Keys is That of I to iii..........115

X. Modulations in Which the Relationship between the

Original and New Keys is That of I to IV . . . . . . 116

XI. Modulations in Which the Relationship between the

Original and New Keys is That of I to V...........117

XII. Modulations in Which the Relationship between the

Original and New Keys is that ofI to vi. . . . . . . 118

XIII. Modulations from Major Keys to Foreign Keys .... . . 119

iv
 Table Page

XIV. Modulation in Which the Relationship between the

Original and New Keys is That of i to III . . . . . . 121

XV. Modulation in Which the Relationship between the

Original and New Keys is That of i to iv........122

XVI. Modulation in Which the Relationship between the

Original and New Keys is That of i to v . ..... 123

XVII. Modulation in Which the Relationship between the

Original and New Keys is That of i to VI . . . . , . 124

XVIII. Modulations in Which the Relationship between the

Original and New Keys is That of i to VII ....... 125

XIX. Modulations from Minor Keys to Foreign Keys ........ 126

V
 LIST OF ILLUSTRATIONS

Figure Page

1. Haydn, Sonata One, Measures 10-15 . ...... 15

Haydn, Sonata One, Measures 16-23 . . . . . . . 16

2.

. . . . . . - 17
3. Haydn, Sonata One, Measures 30-34

.
Haydn, Sonata Two, Measures 4-5. 18
4.

5. Haydn, Sonata Five, Measures 8-13 . . . . . . . 21

6. Haydn, Sonata Five, Measures 29-35. 2

.

. . . . . . 25
7. Haydn, Sonata Six, Measures 4-7
.

8. Haydn, Sonata Six, Measures 34-R... . 26 .

Haydon, Sonata Seven, Measures 5-7. . . . . . . . 27

9.

10. Haydn, Sonata Eight, Measures 7-10.. . . . . . . . 29

11. Haydn, Sonata Eight, Measures 15-16 30

12. Haydn, Sonata Eight, Measures 29-R. . . . . . . 31

. . . . . 34
13. Haydn, Sonata Ten, Measures 9-12
.

14. Haydn, Sonata Twelve, Measures 9-12 36

15. Haydn, Sonata Twelve, Measures 17-22 . . . . . . . 37

16. Haydn, Sonata Fourteen, Measures 4-9. S. . . . . 40

17. Pattern Formed by Chord Roots and Keys Modulated

to in Measures 3-8 . . . . . . . . . . . 42
.

18. Haydn, Sonata Fourteen, Measures 16-20. . . . 42

.

vi
Figure
Page

19. Haydn, Sonata Seventeen, Measures 1-7 . a . . . . 45

.
20. Haydn, Sonata Seventeen, Measures 13-16 .
47

.
48
21. Haydn, Sonata Seventeen, Measures 26-30 .

.
. . . .
22. Haydn, Sonata Eighteen, Measures 2-5 . . . 49

.
23. Haydn, Sonata Twenty, Measures 1-3 . . . 51

.
. . . . 51
24. Haydn, Sonata Twenty, Measures 15-16 . .

.
. . . . 54
25. Haydn, Sonata Twenty-two, Measures 12-16

26. Haydn, Sonata Twenty-two, Measures 26-33 55

. . . .
27. Haydn, Sonata Twenty-three, Measures 30-R 57

.
. . . . 58
28. Haydn, Sonata Twenty-four, Measures 7-11.

. 60
29. Haydn, Sonata Twenty-four, Measures 18-27
.

. . . . 62
30. Haydn, Sonata Twenty-six, Measures 20-R
.

31. Haydn, Sonata Twenty-seven, Measures 1-5 . . . . 63

32. Haydn, Sonata Twenty-seven, Measures 31-34 . . . . 64

33. Haydn, Sonata Twenty-nine, Measures 19-21 . . . 67

34. Haydn, Sonata Thirty, Measures 14-17. . . . . . 69

.

35. Haydn, Sonata Thirty, Measures 21-24. . . . . . . 70

.

36. Haydn, Sonata Thirty-two, Measures 1-9 . # . , . . 73

.

37. Haydn, Sonata Thirty-two, Measures 52-62. . . . . 76

38. Haydn, Sonata Thirty-three, Measures 24-28 . 79

39. Haydn, Sonata Thirty-three, Measures 40-43 . . . . 80

40. Haydn, Sonata Thirty-four, Measures 1-2 . . . . 81

.

vii
Figure Page

41. Haydn, Sonata Thirty-four, Measures 5-8 .. *. . . . 83

42. Haydn, Sonata Thirty-four, Measures 15-18 *. . . . 84

43. Haydn, Sonata Thirty-four, Measures 20-21 ., . . . 85

44. Haydn, Sonata Thirty-four, Measures 24-26 .. . . . 86

&
45. Haydn, Sonata Thirty-four, Measures 32-24 .*0 . . . 87

46. Overall View of Key Scheme in the Development

Section .0....... ........ . . . 89

viii
 CHAPTER I

INTRODUCTION

The purpose of this study is twofold: to analyze the key scheme

and modulation technique in the development sections of first move-

ments in sonata-allegro form of the piano sonatas by Franz Joseph

Haydn, and to explore and establish any consistencies in Haydn's method

and also the types and frequency of any deviations from these consisten-

cies. According to the Harvard Dictionary of Music, "the two most im-

portant means of development technique are melodic segmentation and

rapid harmonic modulation. ,"l Many writers uphold that frequent modu-

lation and the resultant tonal outline or key scheme is of more impor-

tance than thematic treatment. William Newman, in The Sonata in the

Classic Era states that the fundamental organizing factor of the develop-

ment section lies in the tonal outline.2 Henry Charles Banister, in his

Lectures on Musical Analysis, is of the same opinion according to his

statement ". . . . modulation, in conjunction with and as part of the

1 Willi Apel, "Sonata-form, " Harvard Dictionary of Music

(Cambridge, 1960), p. 696.
2 William
S. Newman, The Sonata in the Classic Era (Chapel Hill,
1963), p. 156.

I
 2

development of the subjects, is of the very nature of a so-called Free-

Fantas ia. "3 In an article entitled "Form and Style, " H. Raynor sug-

gests that Haydn emphasizes the importance of key scheme by stating

that, "to Haydn, dramatic interest in sonata form depends upon the

opposed tonalities and not upon the material stated in them. . .11

This importance granted to modulation and key scheme in the

development section is validated by some possible theories concerning

the evolution of sonata-allegro form. According to Edward Bairstow

in The Evolution of Musical Form, the form of many ancient melodies

contains the essence of sonata form. For instance, a melody might

begin with a statement of a phrase ending in tonic, followed by another

phrase ending in dominant, followed by an excursion to a key further

removed, and ending with a phrase bringing the music back to tonic. 5

The excursion in the third phrase to a different key suggests the germ

of the development section. The phrase is set apart from the rest of

the melody for tonal reasons rather than thematic reasons. Bairstow

goes on to say that C. P. E. Bach hints at development with modulation

3
Henry Charles Banister, Lectures on Musical Analysis
(London, 1887), p. 137.

4
H. Raynor, "Form and Style, " Chesterian, XXVIII (October,
1953), pp. 42-47.

5
Edward Bairstow, The Evolution of Musical Form -(London,
1943), p. 78.
 3

at the beginning of the second part of a binary-form sonata. 6 Again,

it is the presence of modulation that defines this section of the Bach

sonata as being development-like in nature.

Since modulation and key scheme are so obviously an important

factor in the development section of a movement in sonata-allegro

form, an attempt will be made to discover the different methods used

by Haydn in modulation and to make observations of the key scheme

outlined in the development section. One of the questions which arises

concerns Haydn's consistency or lack of it in his choice of method in

the process of modulation. For instance, does he repeatedly accom-

plish modulation by use of the same techniques, or does he use differ-

ent or unique methods in a majority of modulations? Also, can any

comparisons be made concerning the key scheme patterns formed by

the modulations in the development sections? Other problems to be

considered concern the rate of modulation, the relationship of the keys

within a development section to each other and to the tonic of the sonata,

and the predominating key in each development section.

As prelude to a discussion of this type, it is necessary to define

certain terms which are used throughout the study. The first impor-

tant consideration is the acknowledgment that music of the period under

study is said to be in a "key, " the sound of which is represented by a

6 Ibid., p. 81
 4

pitch called "tonic. " Rather than retain one pitch as the tonic sound

throughout a composition, composers prefer to make frequent changes

in the location of the tonic pitch. The act of changing from one key to

another is called modulation. Because of the wide range of approaches

to the aural effect of a change of the tonic sound and to the stability or

lack of stability of a new tonic, once established, it is extremely diffi-

specific
cult to define the process of modulation and to identify the

location of the modulation, or even to justify the existence of the modu-

lation. For instance, a new key may be firmly established by constant

extreme,
repetition of strong cadences in that new key; or at the other

for ex-
the new tonic sound may only be hinted at by a progression of,

a fifth
ample, a secondary dominant chord to a chord whose root lies

below. Between these two extremes exist countless musical situations

which can possibly be analyzed as real modulations to a new key or only

as progressions, probably highly chromatic, remaining in the original

key.

Objective evaluation of these situations has never been possible

because of the lack of agreement by listeners as to the function of the

process taking place. Consequently, in a discussion such as this, it is

necessary to state categorically, whether or not in agreement with any

or all authorities, under what conditions a modulation may be said to

have taken place.

 5

To begin with, it is necessary to define the terminology used in

this study with reference to the two keys involved in a modulation. The

key from which the modulation occurs is referred to as the "original

key, " and the key which is arrived at as result of the modulation is

referred to as the "new key.

"
The justification for a particular modulation and the subsequent

establishment of a new key may depend on one or more of several fac-

tors. In many instances, a new key to which modulation has occurred

is established beyond a doubt because of the length of the musical

material in that key. Often a majority of a development section can be

logically analyzed in one key, there being perhaps numerous strong

cadences in that key combined with the element of length to fully estab-

lish the key. The length of a musical portion is also a valid consider-

ation in the establishment of a new key from the aural standpoint. If

the musical material following a modulation remains in the new key long

enough, the sound of the tonic pitches of any previous keys are likely to

be forgotten by the listener.

The difficulty in justifying any modulation to a new key lies in the

possibility of the material which can be analyzed in a new key being

very short, perhaps only a few measures or less. In these cases a

strong authentic cadence or authentic half cadence in the new key is

usually sufficient to justify its existence. A cadence of this kind can be

considered strong if the final chord of the cadence is emphasized by

 6

length, perhaps with a fermata or by a pause or rest immediately fol-

lowing the cadence. The continuous repetition of a cadential progres

-
sion will also give proper emphasis. The cadence receives additional

strength if the musical material which follows the cadence remains in

that particular key, even for a very short time. Also, if the cadence

is followed by another modulation to a new key entirely different from

the key preceding that in which the cadence occurs, the possibility of

the cadence being of a secondary dominant nature is much smaller and

its identity as part of a new established key is more plausible.

The presence of the tonic chord in second inversion in a short

portion of musical material aurally strengthens key feeling, even if the

tonic chord in root position never appears. Because of this tonal

strength, the tonic chord in second inversion often provides justification

for the existence of a new key and the modulation to it, even if another

modulation occurs soon afterwards. For example, a musical passage

following a possible modulation may consist only of an alternation be-

tween the tonic chord in second inversion and the dominant chord. In

most cases, if the music were to stop abruptly at this point, the tonic

pitch a listener would most likely identify would be that of the new key

and not of the original key or preceding key, thus justifying the exis-

tence of the modulation. Extra strength is often given to the tonic chord

in second inversion if it is preceded by an augmented sixth chord.

 7

Modulation to a key in which the musical material remains for a

key is in a
very short time is often justified if the passage in the new

section in which several modulations occur at a rapid pace and if, in

addition, the keys modulated to perhaps are in some way sequential in

relation to each other. A musical passage of only a few measures in

length might progress through several keys rather rapidly. These keys

in order of their appearance might also form a repeated pattern or

sequence. If a very short musical passage suggesting a new key occurs

within a section in which modulations are occurring at a rapid pace, it

is easier to justify its analysis in a new key than if it is surrounded by

long musical sections clearly identifiable in one key. From the other

standpoint, a progression consisting of a major triad or a major-minor

seventh chord other than V or V to the chord whose root lies a fifth
7

below, such as 1117 -vi, does not indicate a modulation if it lies in a

musical passage in which the material before and after the said progres-

sion is clearly definable in one key. Instead, this type of progression

is analyzed as that of a secondary dominant chord to its resolution.

A problem in addition to the justification of modulation to and the

establishment of a new key is that of defining the exact location of the

modulation, that is, the precise point when one key ends and the other

begins. Actually, it is virtually impossible in most cases to define a

specific point in the music as being the only possible correct location

for a particular modulation to take place. Some passages are so

 8

ambiguous as to be possibly analyzed as being between two keys rather

than definitely in one or the other. However, in the belief that some

analyses may be more reasonable than others, an attempt will be made

in this study to locate some feasible place for the change of key.

Many modulations involve the use of a pivot chord, a chord which

may be analyzed reasonably in both the original and new keys. The

chord assigned the function of pivot chord could conceivably be one of

several chords, and all of them be reasonable choices. As to what

determines a reasonable choice for a pivot chord, several factors

should be considered. Usually, and whenever possible, the pivot chord

should come at a place which would allow the chord progressions in

each key to be normal progressions. Normal chord progressions are

those listed in Table 3. 1 of Advanced Harmony: Theory and Practice

by Robert W. Ottman. 7 Chord progressions not listed in Table 3. 1 are

considered to be less common progressions.8 Naturally, certain

chords function very well as pivot chord while others are poor choices.

The diminished seventh chord, because its function is so easily changed

by inverting it or respelling it, is an excellent choice for a pivot chord

whenever possible. A notably poor choice is the dominant chord,

7
Robert W. Ottman, Advanced Harmony: Theory and Practice
(Englewood Cliffs, 1961), p. 25.
8
Ibid p. 26.
 9

because it ordinarily has such a strong feeling in one key and does not

function well in two keys at once. There are cases, of course, in which

the use of the dominant chord as a pivot chord is unavoidable, but these

are rare. In most situations, the pivot chord is soon, if not immedi-

ately, followed by an authentic progression of some form in the new key.

A modulation which has no pivot chord is said to be a "direct

modulation. " The exact location of a direct modulation is perhaps

easier to define. Often the music will cadence in one key and then,

sometimes following a pause or rest of some kind, begin anew in a

different key. If there is no clean break between the two keys, there

is usually a chromatic adjustment of a pitch in any one voice part in the

process of moving from the final chord in the original key to the first

chord in the new key.

The presence of a harmonic sequence in the modulatory process

presents a special problem. According to Robert W. Ottman in

Advanced Harmony: Theory and Practice, a harmonic sequence consists

of a progression in which the movement of the chord roots form a regu-

lar recurring pattern. 9 Since such a harmonic sequence begins while

the key feeling is still that of the original key and ends in the new key,

the actual point of modulation lies conceivably anywhere within the

sequential passage. For the sake of consistency, rather than selecting

9 Ibid., p. 27
 10

at random any chord within the sequence to act as pivot chord, the

chord closest to the beginning of the sequence, preferably the first

chord of the sequence, excluding a dominant chord in either key, is

analyzed as the pivot chord. Consequently, any harmonic sequence

which ends in a key other than that in which it begins is analyzed as

completely as possible in the new key.

Other terms must be defined which are involved in the discus-

sions concerning key relationships. The key in which the exposition of

sonata.
any sonata begins is always referred to as the "tonic key of the

"
Any key may be closely related or foreign in relation to any other key.

A closely related key is one which has a signature the same as, or one

accidental more or less than that of the key to which it is being com-

pared. Foreign keys include all those which cannot be analyzed as

closely related. Hence, in this study, a change of mode from a major

key to a minor key having the same pitch as tonic or vice -versa, is

analyzed as a modulation to a foreign key.

All measures in each development section are numbered, the

first full measure of the development section being "measure one.

"

Unless otherwise indicated, the final key to which modulation occurs in

a development section is the key in which the recapitulation begins.

The first measure of the recapitulation, rather than being numbered,

is referred to as measure "R".

Now, - awma
 11

All chords are symbolized in the manner prescribed by Robert

W. Ottman in Elementary Harmony: Theory and Practice'o and

Advanced Harmony: Theory and Practice. Pivot chords are illus

-
trated by a symbol which indicates the analysis of the chord in both the

original and the new keys, the chord symbol in the original key listed

first, followed by an "equal" sign, followed by the chord symbol in the

new key. For example, a pivot chord illustrated as i=vi indicates a

chord analyzed as i in the original key, and, at the same time, as vi

in the new key.

In the Peters edition of the piano sonatas by Haydn, there are a

total of thirty-four sonatas which have first movements in sonata-

allegro form. These are numbered in Table I according to the date of

publication. Table I includes the sonata number for use in this study,

the dates of publication, and the location of each sonata in the Peters

edition.

A brief word concerning procedure should be included here.

Chapter II contains a general discussion of the key schemes and modu-

lation techniques employed by Haydn in the development sections of

1 0
Robert W. Ottman, Elementary Harmony: Theory and Practice
(Englewood Cliffs, 1961).

' 1 Robert W. Ottman, Advanced Harmony: Theory and Practice

(Englewood Cliffs, 1961).
 12

TABLE I

PIANO SONATAS BY HAYDN CONTAINING FIRST MOVEMENTS

IN SONATA-ALLEGRO FORM NUMBERED ACCORDING TO
DATE OF PUBLICATION WITH REFERENCE TO
THE LOCATION OF EACH SONATA IN THE
PETERS EDITION

Sonata Sonata
Location Location
Sonata in Sonata in
Number Date Peters Number Date Peters
in this of Edition in this of Edition
Study Publication Vol. No. Study Publication Vol. No.

1 1765 II 22 18 1776 IV 36
2 1766 III 26 19 1776 III 30
3 1767 IV 43 20 1776 IV 39
4 1767 II 18 21 1778 II 20
5 1767 II 15 22 1778 I 2
6 1767 (?) II 19 23 1780 1 5

7 1767 I 9 24 1780 1 6
8 1771 III 25 25 1780 I 7
9 1773 II 16 26 1780 IV 35
10 1773 IV 40 27 1784 III 27
11 1773 11 21 28 1786 (?) IV 41
12 1773 III 31 29 1786 I 4

13 1773 III 32 30 1786 I 8

14 1773 III 33 31 1788 IV 34
15 1776 II 12 32 1789/90 I 3
16 1776 II 13 33 1791 IV 42
17 1776 II 14 34 1798 1 1
 13

the first movements of the sonatas listed in Table 1. Since only first

movements are discussed, any referral to a particular sonata auto-

matically signifies the first movement of that sonata. Chapter III con-

tains a detailed discussion of conclusions drawn from an overall view

of the key schemes of all the development sections under study and

presents these conclusions in tabular form. The different modulation

techniques are discussed categorically in Chapter IV. Chapter V con-

tains a brief summary of conclusions discussed in Chapters III and IV

and also includes some final overall conclusions resulting from the

entire study.

- ---------
 CHAPTER II

DESCRIPTIVE ANALYSES OF MODULATION

Sonata One

Sonata one in Bb major, although the third sonata in order of pub-

lication, is the first of Haydn's piano sonatas to contain a first move-

ment in sonata-allegro form. For a first sonata of this type, the

development section is unexpectedly interesting, containing five modu-

lations, three of which are accomplished by use of a harmonic sequence.

The development section begins in the key of the dominant, F major, the

key in which the exposition closes. The first modulation, from F major

7
to Bb major, occurs in measure seven at a pivot chord of 1~7 = V

.
After remaining in Bb major for only three measures, the second modu-

lation (Figure 1 on page 15) occurs at the beginning of a harmonic

sequence which cadences at the end of measure fifteen in the new key

of G minor. The sequence begins on a pivot chord of I= III and consists

of secondary dominant seventh chords and their resolutions with chord

root moving up a fourth, down a third.

In Figure 2 (page 16), measure sixteen, which follows the cadence

in G minor, appears at first to indicate a G minor triad, because the

measure begins on the root and third of that triad. However, at the

end of the measure, the presence of the pitch E4j causes the spelling of

14

aROOMMOM, i-10OW-W
 15

h a I* UI 1%0

Pat,

Bb:
9 n w

2I1 st I

Fig. 1--Haydn, sonata one, measures 10-15

the chord to EGBb. The third modulation occur s on this chord in

first inversion, vi = #iv, beginning a new harmonic sequence, with

chord roots moving up a fourth, down a fifth and which cadences once

again in Bb major. The fact that every other chord in this sequence is

in first inversion, coinciding with the melodic aspect of the sequence,

supports the above analysis of measure sixteen.

In measure twenty-three, with the I chord of the Bb major cadence

still sounding, a fourth modulation occurs, and for the third time, on a

I = III pivot chord, a new harmonic sequence begins with chord roots
 16

-- .-l.k7

- A ..-n

;60 =

Aw ." " 0 =: " -

,
J V PP PV

W4.

Fig. 2--Haydn, sonata one, measures 16-23

moving up a fourth, down a third and cadences back in G minor. It

remains in G minor through the first half of measure thirty, and, in the

second half of that measure, direct modulation back to Bb major (Figure

3 on page 17) occurs with a secondary dominant to temporary tonic pro-

gress ion of VI - ii in the new key. This fifth modulation is the final one

in this development section, Bb major being the tonic key of the sonata

and the key in which the recapitulation begins.

The development section of sonata one is mainly composed of a

fluctuation between Bb major and G minor, the beginning key of F major

 17

30u U

I dAI

iJI

33 3 _

Or~
XA7

Fig. 3--Haydn, sonata one, measures 30-34

being the only exception. It should be mentioned here that, according

to Form in Music by Stewart MacPherson, the tonic key of a sonata

should be avoided in the course of a development section, except for a

possible transient modulation, until the last modulation before the

recapitulation. 1 In the development section of sonata one, the tonic

key of Bb major appears twice in the middle of the section in addition

to its normal appearance at the end of the section.

Stewart MacPherson, Form in Music (London, 1930), p. 149.

 18

Sonata Two

The development section of sonata two in Eb major, the sixth

piano sonata in order of publication, has a simpler harmonic structure

than that of sonata one. It contains mostly progressions between the

tonic and dominant chords of each key to which modulation occurs and

has no harmonic sequences. The method which Haydn uses to begin

the development section is unusual and worthy of comment. The expo-

sition ends on I in the key of the dominant, Bb major. The develop-

ment section begins in the key of F minor on a Bb minor triad which

is iv that key. The F minor sound is established when iv progresses

on to iiO-V7 -.i.

In measure four, a modulation from F minor to C minor occurs

on a pivot chord of i = iv, as illustrated in Figure 4. The new key of

C minor is definitely established by a progression, from the iv of the

~4if

Fig. 4--Haydn, sonata two, measures 4-5

 19

pivot chord to a German sixth chord, #iv7G, to i4 - V7- i, after which

7 Here
it alternates between V and i until the middle of measure eight.

V 7 moves to VIwhich becomes the pivot chord, VI=IV, in modulation

to the new key of Eb major. Once again, as in sonata one, the tonic

key appears before the last modulation of the development section.

7
After alternating again between V and I, as in the C minor portion, a

1- 7 chord moves to IV which becomes the pivot chord, IV = I, in modu-

lation to Ab major. The three measures in Ab major follow a harmonic

progression very similar to that of the preceding measures in Eb major.

In measure fourteen, it returns to Eb major on a pivot chord of I = IV

and remains in the new tonality through the end of the development.

Sonata Three

The key scheme of the development section of sonata three in

C major, the eleventh sonata in order of publication, is quite simple

in comparison with the key schemes of the development sections of

sonatas one and two. The development section of sonata three begins

in the key of the dominant, G major. The portion G major ends in

measure four with an authentic cadence. Then the melody simply be-

gins again in the new key of A minor, constituting a direct modulation

with no pivot chord. In measure eleven the final modulation occurs

from A minor to the tonic key of C major on a pivot chord of i=vi.

This simple key scheme, having the tonal relationships of dominant to

 20

submediant to tonic and the intervalic relationships of up a major sec-

ond, up a minor third, is a very basic pattern, the use of which seems

to be characteristic of Haydn, as shall be seen in the discussions of

several other sonatas.

Sonata Four

The development section of sonata four, fourteenth in order of

publication, actually begins in the tonic key of the sonata, E major, and

remains in that key for most of the section. Modulation to C# minor

does occur finally in measure fourteen with a pivot chord of vi = i, but

it remains in that key for only four measures, and the key is estab-

lished only by fairly strong progressions between vii and i and between

V and i. In measure eighteen, modulation occurs back to E major on a

pivot chord of iv = ii, remaining in E major to the end of the develop-

ment section. The portion of this development section in C# minor

could very possibly be analyzed in E major as secondary leading tone

and secondary dominant to temporary tonic progressions, but this would

put the entire development section in the tonic key of the sonata, E

major, leaving it totally lacking in any normal characteristics of a

development section from the tonal aspect.

Sonata Five

Of the four development sections discussed above, the largest

is found in the
number of different keys to which modulation occurs

-WAWft--%MUWWM
 21

development section of sonata two, in which three of the four modu-

lations are to different keys. This number of different keys is doubled

in the development section of sonata five in D major, fifteenth in order

of publication. This development section, which contains seven modu-

lations, six of which are to different keys, begins in the key of the

dominant, A major. Following an authentic half cadence in measure

eight (Figure 5), a modulation to B minor takes place on a diminished

10

A: b:

Fig. 5--Haydn, sonata five, measures 8-13

seventh chord pivot of #id7 = vii d7. This diminished seventh chord

begins in measure nine and sounds for four measures, resolving to i in

gww , malOmlwl.
 22

the new key of B minor in measure thirteen. Up to this point, the key

scheme is similar to that of the development section of sonata three.

In measure twenty-nine, after having remained in the key of

B minor for twenty measures, a formal sequence, illustrated in Figure

6, begins which lasts for six measures and contains five modulations.

The sequence begins in B minor and, on a Neopolitan sixth chord pivot,

b 1 1 6 =V 6 , modulates down a third to G major. Immediately following

aBP

7
7 YV A- 1[ !.!

cw: 'I
V:

34

pI r ~ 7

Gr i

Fig. 6--Haydn, sonata five, measures 29-35

I"wu 4MA Mk-'* 0- ow

 23

the cadence in G major, the melodic pattern begins again, this time in

the new key of E minor. The modulation from G major to E minor is

direct with no pivot chord and no interruption in the rhythmic pattern.

Again using the Neopolitan sixth chord pivot of b 1 1 6 = 1V 6 , it modulates

down a third from E minor to C major. Following the cadence in C

major, instead of beginning the entire melodic pattern again, only the

second half of it appears, modulating in the process down another

third to A minor. The pivot chord for this modulation could be one of

two chords. The C major chord could act as a pivot of 16 = 1116, or the

following D major chord could also function as

a pivot of 116 = 1V 6

'
The latter choice seems the more logical of the two, because the man-

ner in which it is used has a resemblance to the use of the Neopolitan

sixth chord pivots in the previous modulations down a third.

The sequence pattern of modulations down a third is broken

with the next modulation from A minor down a second to G major.

This modulation occurs at the beginning of measure thirty-four on a

pivot chord of i = ii. The remainder of measure thirty-four contains

pitches found in the V 7 chord of G major with a passing tone E being

the only foreign pitch. The resolution of the V7 chord, at the begin-

ning of measure thirty-five, appears at first to be to the root and third

of the I chord. However, the immediate appearance of the pitch E

changes the spelling of the chord to EGB which is the vi chord in G

 24

major. This chord is also the pivot chord, vi = ii in modulation to the

tonic key of the sonata and final key of the development, D major.

Measures thirty-three and thirty-four can possibly be analyzed

as a second sequence separate from the sequence beginning in measure

twenty-nine. In this analysis the new sequence begins on the pivot

chord I6 = 1116 in modulation to A minor and progresses to IV 6 V 6 i in the

new key. The A minor tonic chord is the pivot chord, i = ii, in modu-

lation to G major and is followed by another progression of 111 6IV 6 V 6 1

in the new key. The chord analyzed as 1116 in the G major portion con-

tains only the third of the chord and hence only implies the 1116 as part

of the sequence.

Before leaving this development section, it should be pointed out

that were the sequential portion left out, the key scheme pattern would

be the same as that of the development section of sonata three, the

dominant to submediant to tonic pattern.

Sonata Six

The key scheme pattern of dominant to submediant to tonic is

found again in the development section of the very next sonata, sonata

six in Bb major, sixteenth in order of publication. The development

begins in the key of the dominant, F major. After only five measures,

modulation occurs from F major to G minor on a diminished seventh

chord pivot, #ivd 7 _ #igd7. Two kinds of harmonic sequences are used
 25

in establishing the key of G minor, In the first sequence (Figure 7),

which begins at the pivot chord in G minor, the chord roots move up by

half steps: #iii 7 resolves to iv, iv progresses to #ivd 7 , and #ivd 7

i~,'w W
4~z4~z~~z~/or

AI-

r top

N a f

mF
aw I -

121
-

7~S
IIV

Fig. 7--Haydn, sonata six, measures 4-7

resolves to V. Following a rest, not quite a measure in length, V 7 is

sounded for two measures and becomes the first chord of a new har-

monic sequence with chord roots moving up a fourth, down a fifth. The

sequence finally leads to i in G minor, and the phrase then progresses

to an authentic half cadence. The development section remains in

 26

G minor until only one-half measure before the recapitulation. There,

as shown in Figure 8, after an authentic cadence in G minor, it modu-

lates directly to the tonic key of Bb major on a descending Bb major

scale leading to I at the beginning of the recapitulation.

v5 10

1% ___

Fig. 8--Haydn, sonata six, measures 34-R

Sonata Seven

In each modulation, from the six development sections discussed

above, the new key is closely related to the original key. For the first

time, in the development section of sonata seven in D major, seven-

teenth in order of publication, a modulation occurs in which the new

key is foreign in relation to the original key. The development section

begins in the key of the dominant, A major, then, as illustrated in

Figure 9, modulates to the foreign key of E minor. The process for

 27

14__ __

(0 A:

Fig. 9--Haydn, sonata s even, measures 5-7

this modulation begins following an authentic cadence in measure five,

when the pitch A, root of the tonic chord, continues to sound alone until

the middle of measure six where a C4 joins the A to suggest the A minor

triad sound borrowed from the parallel minor mode. This A minor

chord appears in first inversion with the fifth of the chord missing and

is the pivot chord, i6 = iv 6 , in modulation to E minor. The pivot chord

is also the first chord in a series of chords in first inversion leading to

V in the new key. E minor is further established by alternation between

6 and V for four and one-half measures. In measure twelve, another

4
modulation occurs from E minor to B minor on a pivot chord of i= iv.

Once again the strong emphasis on i6 in B minor secures its establish-

4
ment as a new key. In measure eighteen, the modulation from B minor

to the tonic key of D major, final key of the development, occurs on a

pivot chord of i = iv.

 28

Sonata Eight

Sonata eight in C minor, eighteenth in order of publication, is the

first piano sonata by Haydn written in a minor key. The development

section of sonata eight, in comparison with the development sections of

sonatas previously discussed, contains the largest number of modula-

tions. The modulations also occur fairly frequently, the longest portion

in one key being six and one-half measures in the key of Eb minor,

which is foreign in relation to the tonic key of the sonata, C minor, but

closely related to the original key of Db major from which it modulates.

The development section begins in the key of Eb major, the key of the

mediant or relative major to C minor. After only one measure in

Eb major, direct modulation occurs to F minor with a progression of

V 9 -i in the new key. The portion in F minor is only two measures in

9
length, and the new key is justified by the fairly strong V -i progres-

sion and the fact that key change occurs at frequent intervals through-

out this development section. Repetition of the melodic idea with which

the section begins adds extra reinforcement.

The next modulation, from F minor to Ab major, occurs in meas-

ure four on a pivot chord of i6 =vi6 . A series of chords in first inver-

sion leads to V which resolves to I in Ab major in measure six.

7 The

Ab major section is also very short, only four measures long, and

establishment of the new key is accomplished in a manner very similar

to that used in the previous F minor portion. Immediately the I chord

 29

of measure six changes to the I~ 7 chord in measure seven (Figure 10),

and then direct modulation Bb minor occurs in measure eight. There

are two possible analyses for measures eight and nine. Since measure

7S

La 1At

Fig. 10- -Haydn, sonata eight, measures 7-10

nine ends with V 7 chord and since both measures eight and nine are

comprised predominately by tones of this chord with the addition of the

7 9
ninth, one possibility is to analyze the two measures as V or V with

non -harmonic tone s. The second pos sible analy sis tr eats the lowe r

9
pitch F as a pedal tone while V and i sound alternately in measure

eight and another series of chords in first inversion occurs in measure

nine. Measure ten begins on i of Bb minor which is well established by

strong emphasis on i and V 7 in the new key. Again, however, the

Bb minor portion is short, and, in measure thirteen, on a pivot chord

 30

of i=vi, modulation occurs to the key of Db major, established when vi

progresses to V 7 and then to I.

An unusual method for direct modulation occurs in measure six-

teen in modulating from Db major to Eb minor. As shown in Figure 11,

the modulation is accomplished by altering the melodic line, which con-

sists of a descending Db major scale. After the scale arrives at the

tonic pitch Db it continues down to a Cb, which is diatonic in the key of

Eb minor, and then progresses immediately to the V chord in the new

irsIC

i h*SOW

Fig. li--Haydn, sonata eight, measures 15-16

 31

key of Eb minor. The V chord of Eb minor is clearly outlined, from

the middle of measure sixteen to the middle of measure seventeen

where it resolves to i. At the beginning of measure twenty-three, the

mode changes from Eb minor to Eb major. Modulation from Eb major

to G minor occurs in measure twenty-five on a pivot chord of vi = iv.

A formal sequence begins in measure twenty-nine (Figure 12) on a

G minor chord which is the pivot chord, i = iv, in modulation to the new

key of D minor. Measure twenty-nine continues with a melodic passage

which roughly suggests the iv chord in D minor. In measure thirty, the

..30 c
2

P _F

c,: 7

Fig. 12--Haydn, sonata eight, measures 29-R

 32

the iv chord progresses on to V - i - V - i, the presence of i6 giving it

7 7

strength to the new key feeling. Measure thirty-one contains another

but
melodic passage which is similar to that of measure twenty-nine

which suggests io
7
in D minor and also acts as pivot chord, o7 =

,
in a modulation to C minor. Once again the iio7 progresses to

V7_ i V 7 -i, and the recapitulation begins following measure thirty-two

in the tonic key of C minor.

eight forms
The key scheme of the development section of sonata

an interesting and amazingly consistent pattern. This pattern, formed

to Ab major, is identical,
by the first three keys, Eb major to F minor

of major and minor

in the intervalic relationships and the arrangement

of sonatas three
keys, to the key scheme pattern of the developments

and six. However, since the development section of sonata eight begins

to tonic relation-
in the key of the mediant, the dominant to submediant

sense. The same pattern is

ship is not present except in the intervalic

in the total key scheme of

repeated beginning with the key of Ab major

this development section, progressing from Ab major to Bb minor to

as
Db major. Db major then progresses up a whole step to Eb minor

if to begin the same pattern again, but here the pattern is interrupted.

section form a
Consequently, the first six keys of this development

keys
kind of sequence pattern consisting of alternate major and minor
and a minor
and also alternating between intervals of a major second

third between keys.

 33

Sonata Nine

The basic dominant to submediant to tonic key scheme pattern of

the development section of sonatas three and six appears again in the

development section of sonata nine in C major, nineteenth in order of

publication. After beginning in G major, the key of the dominant, it

modulates to A minor on a pivot chord of iA7 = viid 7 in measure

eleven. The majority of the development section sounds in the key of

A minor, so it is well established by its length of twenty-three and one-

half measures. The modulation to the tonic key of C major occurs in

measure thirty-five, the pivot chord of i beingg the beginning of a

short sequence with chord roots moving up a fourth, down a fifth. The

development ends on an authentic half cadence in C major in measure

thirty-eight.

Sonata Ten

The development section of sonata ten in E major, twentieth in

order of publication, begins in C# minor, te relative minor to E major.

On beat three of measure five, modulation to A major occurs on a pivot

7
chord of i= iii. The iii chord immediately progresses on to V -ITin the

new key and remains in that key until the last of measure nine. Modu-

lation to G# minor, which is foreign in relation to the original key of

A major, occurs at the last of measure nine on a diminished seventh

chord pivot of #id7 -id7. As illustrated in Figure 13, this pivot chord
 34

I
N dha At 9 1 /4. -jo, Z". ho-10*.

-
I

Co.. C

I
4t f I

A I
44 4Oii
$ I~I

A__

i -VW-
0 r

#IV

Fig. 13--Haydn, sonata ten, measures 9-12

also serves as the beginning of a harmonic sequence in the new key con-

sisting of diminished seventh chords and their resolutions with chord

roots moving up by half-steps. The sequence is broken in measure

twelve by altering the fivo chord to #ivi6t before the cadence on V in

G# minor. The modulation from G# minor, which is well established

by several strong authentic progressions, to the tonic key of E major

 35

occurs in measure sixteen on a pivot chord of I= iii, progressing on to

V7-I in the new key to begin the recapitulation in measure eighteen.

The pivot chord of i = iii is used for two of the three modulations in this

7
development section. In both cases the iii chord progresses to V , a

less common chord progression.

Sonata Eleven

The first modulation in the development section of sonata eleven

in F major, twenty-first in order of publication, is one in which the

new key is foreign in relation to the original key. The development

section begins in the key of the dominant, C major. The second modu-

lation, to the foreign key of Bb major, occurs in measure five on a

pivot chord of I~7 = I7,, which has a secondary dominant function and

progresses to V 7 -I in the new key. In measure nine, on a pivot chord

of I= VI, the third modulation to D minor occurs, beginning a harmonic

sequence with chord roots moving up a fourth, down a fifth. The portion

in D minor consists of twenty-four measures, a majority of the develop-

ment section. In measure thirty-three, the final modulation to the tonic

key of F major occurs on a pivot chord of iv = ii. The recapitulation

begins in measure thirty-nine.

Sonata Twelve

The key scheme of the development section of sonata twelve in

D major, twenty-second in order of publication, begins in a very unusual

': - -1-4
12,'--WM
"
41 - - wm
 36

manner. After the exposition closes in the dominant key of A major,

the development section begins in D major which is the tonic key. It

remains in D major for four measures which contain mostly dominant

harmony with short references to I over the pedal tone A. Direct mod-

ulation occurs in measure five to G major. The four and one-half

measures in the new key are very similar to the four previous meas-

ures in D major and also are based primarily on dominant harmony. At

the end of measure nine (Figure 14) a vii d7 chord, misspelled in the

/z00ze S ~-It ai-_________

--- ANN*

ID
b

Fig. 14--Haydn, sonata twelve, measures 9-12

original key, becomes the pivot chord viid 7 #iiid7 in modulation to the

new key of B minor. In measure seventeen, it modulates back to G major

on a pivot chord of i = iii (Figure 15) and stays in the new key for only five

measures before returning to B minor in measure twenty-two. This

 37

u iii

b~ii.

AL

_bm7n7TFEmIzE

r U, S ' W00"

Fig. 15--Haydn, sonata twelve, measures 17-22

particular modulation to G major is understandably questionable since

it returns so soon to the previous key of B minor. It is quite possible

to analyze the five measures in the key of B minor, although this analy-

sis involves a less than common procedure in chord progression. For

instance, were these five measures analyzed in B minor, the VI chord

in measure eighteen would progress to V117 in the next measure. The

VII chord would then progress to III1-VI in what could be called a short

sequence of secondary dominant chords. Another reason for the analysis

of this part in B minor rather than in G major is the fact that there is
 38

no interruption in the rhythmic flow. There are two supporting factors

for the strength of the G major analysis: first, the chord progressions

appear to be completely normal; and second, there is a strong V-I

progression in measures twenty and twenty-one which receives further

emphasis by the II chord which precedes it. The pivot chord in modu-

lation back to B minor is vi = iv and it remains in that key for twenty-

two measures. The modulation to the tonic key D major, in preparation

for the recapitulation, occurs in measure forty-four on a pivot chord of

7
iv = ii which progresses on to V in the new key, this being the chord on

which the development section closes.

Sonata Thirteen

In the sonatas previously discussed, the development sections

always modulate to the tonic key before the actual beginning of the re-

capitulation. The number of measures between the modulation to tonic

and the beginning of the recapitulation varies from one-half measure in

sonata six to ten and one-half measures in sonata one. In sonata twenty-

one, not yet discussed, there are twenty-five measures in the tonic key

before the recapitulation. The modulation to tonic at the end of the

development section of sonata thirteen, in Eb major, twenty-third in

order of publication, occurs at the very beginning of the recapitulation

after the development has actually cadenced in another key.

 39

The development section of this sonata begins in C minor after

the exposition closes in Bb major. On the fourth beat of measure two,

modulation occurs to F minor on a pivot chord of iv= i. The i chord in

the new key is followed by a series of major-minor seventh chords,

IV 7 -VII7 -V 7 , which progress to i, firmly establishing F minor, which

sounds for a total of fifteen and one-half measures. In measure eight-

een, on a pivot chord of #iiid7 -=ii d7, modulation occurs to G minor.

The iid7 progresses to III which begins a harmonic sequence consist-

ing of major-minor seventh chords with roots moving up a fourth, down

a third. The development closes on an authentic half cadence in G minor.

Direct modulation to the tonic key of Eb major occurs at the beginning

of the recapitulation which begins on the tonic chord of the new key.

Sonata Fourteen

The development section of sonata fourteen in A major, twenty-

fourth in order of publication, begins in the tonic key of A major after

the exposition closes in the dominant key of E major. This is the third

example of a development section beginning in the tonic key of the sonata,

the first and second instances occurring in the development sections of

sonatas four and twelve.

In measure three, on a pivot chord of I= V, modulation occurs to

D major. At this point in the development, a passage begins which con-

tains modulations to several keys (Figure 16), staying no longer than

 40

'V
W"%% 1~

A -2-, -- 9"- L-m D

4* . Aiti11\

fts

AP4

44r.-..***1-f 0001-o.

#4

AAIN
it

or

T wr 7V

Fig. 16--Haydn, sonata fourteen, measures 4-9

 41

one and one-half measures in any one of them until the key of F# minor

is finally reached. It remains in F# minor for seven and one-half

measures. Following the modulation in measure three to D major,

where it remains for only one and one-half measures, direct modula-

tion occurs to B major in measure 5. The new key of B major is barely

established if it is established at all, by a V7 -I-7 progression. The

root of the I-7 chord moves up a half step, in measure six, altering the

chord to #id7 which is the pivot chord #id7 =viid7 in modulation to

CO minor. It remains in C# minor for only one-half measure because

in measure seven the i chord, to which the viid7 of the pivot chord

re solve s, become s anothe r pivot chord, i = iii, in modulation to

A major. After one and one-half measures in A major, direct modu-

lation occurs to F# minor.

It is difficult to justify the analysis of the short segment of

development in measures three through eight as containing so many

modulations. Perhaps it is possible to reduce the number of modula-

tions by analyzing more chords as secondary dominant or secondary

leading tone chords. However, the portion analyzed in each key con-

sists of a dominant seventh or leading tone chord and its resolution to

tonic in that key, forming a consistent pattern. Also, as illustrated in

Figure 17, the roots of the chords in this passage form a definite pat-

tern of up a third, down a fifth with a connecting chromatic tone.

 42

Chord roots D F# B E A
_... ...

Keys D major B major C# minor A major

Fig. 17--Pattern formed by chord roots and keys modulated to in

measures 3-8.

Following the seven and one-half measures in F# minor, direct

modulation occurs to B minor in measure sixteen. In Figure 18, the

key of B minor is established by repeating the chord progressions of

17
JS W,.11t 1 t I F-

71
iv v

-sop
It

Fig. 18- -Haydn, sonata fourteen, measures 16-20

 43

V -i and fivd7-V. In the middle of measure seventeen on a pivot chord

of #yd7 = #ivd7, modulation occurs to C# minor which begins with the

repetition of the #ivd7-V chord progression similar to the progressions

in the previous key, then continues with a solid V-i progression. In

the middle of measure eighteen, modulation occurs to A major on a

pivot chord of iv=vi. The new key of A major sounds for the remainder

of the development section, and the beginning of the recapitulation fol-

lows measure thirty.

Sonata Fifteen

The development section of sonata fifteen in G major, twenty-fifth

in order of publication, begins in a manner similar to the beginning of

the development section of sonata two. The exposition of sonata fifteen

closes on I in D major, the key of the dominant. The development sec-

tion begins in the key of A minor on a D minor chord which is the iv

chord. The iv chord progresses on to V7 -i in A minor. In measure

five, modulation occurs to E minor on a pivot chord of i = iv. After

remaining in E minor for twelve measures, it modulates to G major on

a pivot chord of I =V17. The pivot chord, being altered in both keys,

is the first chord of a short harmonic sequence of major-minor seventh

chords with roots moving up a fourth, down a fifth. The sequence arrives

at I in G major in measure twenty, remaining in that key for the rest of

the development section.

 44

Sonata Sixteen

The key scheme of the development section of sonata sixteen in

Eb major, twenty-sixth in order of publication, follows the dominant to

submediant to tonic pattern found in the developments of sonatas three,

six, and nine. The development section begins in the key of the domi-

nant, Bb major. In measure five, modulation to C minor occurs on a

diminished seventh chord pivot of #d7 =vii d7 which is approached by

17 in the original key ornamented by non-chord tones. The root of the

I chord is simply raised a half-step to form the #id7 chord which,

being viid7 in the new key, resolves in the normal manner to the i chord

in C minor. After remaining in C minor for thirty measures, modula-

tion to the tonic key of Eb major occurs in measure thirty-six on a pivot

chord of iv= ii. The ii chord progresses to V 7 , which is sounded for

three and one-half measures, when it resolves to I at the beginning of

the recapitulation.

Sonata Seventeen

In the sixteen sonatas previously discussed, each development

section begins in a key closely related to the tonic key of the sonata.

The development section of sonata seventeen in F major, twenty-seventh

in order of publication, begins in C minor which is foreign in relation to

the tonic key of the sonata. C minor is, however, the parallel minor

key to C major in which key the exposition closes. The procedure of

 45

beginning the development on the minor form of the chord which closes

the exposition is used in sonatas two and fifteen, but in those instances

the first chord in the development section is analyzed as iv in the begin-

ning key of the development. In sonata seventeen, the first chord in the

development is analyzed as i in the key of C minor. In Figure 19, the

i chord progresses to VI which, by simply moving the root up a half-

step and by adding the seventh, progresses to a diminished seventh

spelled as #ijvd7. This chord, which occurs in measure three, is the

~, I
I
I vr
I E5rE_____ rrA
lab

,
ISI *IV =

~.-* li i

'I __ ____ __A__ __/000__ gI

(~~~zzI4~zz~z~zmzz ~EF~%~F4I

W4L

Fig. 19--Haydn, sonata seventeen, measures 1-7

 46

pivot chord fivd 7

_id7 in modulation to D minor. The #iiid7 chord

in the new key progresses normally to iv which sounds for two meas-

ures, momentarily suggesting a possible modulation to G minor. How-

ever, the G minor chord, iv in D minor, progresses on to V7- i in

measures six and seven respectively.

Following two measures based on the i chord in D minor, a major-

minor seventh chord built on the pitch D in measure nine becomes V 7 in

the new key of G minor by process of direct modulation. The V7 re-

solves in measure ten to the i chord in G minor which is sounded for

two measures. In measure twelve, a direct modulation to C minor

occurs by a process similar to that used in the direct modulation from

D minor to G minor. Following the i chord in G minor of measure

eleven, a major-minor seventh chord built on the pitch G appears in

measure twelve and is the V 7 chord in the new key of C minor. Since

the same general procedure is used in accomplishing these two modula-

tions, from D minor to G minor and from G minor to C minor, and

since the relationship of the original key to the new key in each modula-

tion is that of tonic to subdominant, the passage which includes these

modulations is in a sense sequential. The V 7 chord in the new key of

C minor resolves to i in measure thirteen. In measure fourteen, as if

to continue the harmonic patterns observed in the two previous modula-

tions, a major-minor seventh chord built on the pitch C appears. How-

ever, as shown in Figure 20, instead of this chord being the V 7 in a new
 47

h I At aPa 14 . 4 & Alf As

.
A

Age

~I ~~ ~~~~ ~ ~ ~ ~ ~ ~ ~ ~ m2_______________________________________________-______________________q________________

3:7
AF 4"A

ft---- _a--

-ALL

J#
it -XOj i

Fig. ZO--Haydn, sonata seventeen, measures 13-16

key, it progresses to another major-minor seventh chord built on the

pitch A. This A 7 chord, rather than the preceding C 7 chord, becomes

the V7 in the new key of D minor, constituting another direct modula-

tion. The final modulation to the tonic key of F major occurs in

measures twenty-seven and twenty-eight on a pivot chord of #iiid7 =#d7

The method of sounding this diminished-seventh chord, illustrated in

Figure 21 is unusual. In measure twenty-seven, only the fifth and

seventh of the chord are sounded against an inverted pedal tone D. In

the second half of measure twenty-eight, the fifth and seventh of the
 48

Vi aL

______I___.5L

)'.-JUI

' ~t#*D,

h Z4 30

f /V%~

Fig. 21--Haydn, sonata seventeen, measures 26-30

chord are replaced by the root and third, still sounded with the D pedal.

This #id7 chord, in the new key, then progresses normally to ii in

measure twenty-nine, continuing on to V in the latter half of that same

measure, and resolving to I in the next measure, the first measure of

the recapitulation.

Sonata Eighteen

Sonata eighteen in A major, twenty-eighth in order of publication,

is the fifth sonata to contain a development section having the dominant

 49

to submediant to tonic key scheme pattern. This development section

begins in E major. In progressing from measure three to measure

four (Figure 22), the chromatic alteration of E to E# in the bass line

and the simultaneous chromatic progression from D to C4 in an upper

voice brings about a direct modulation to F# minor with the progression

______AA

47ZZZA

04

Fig. 22--Haydn, sonata eighteen, measures 2-5

V-i in the new key. After remaining in F# minor for thirty-four meas-

ures, modulation to the tonic key of A major occurs on a pivot chord of

i =vi in measure thirty-eight.

Sonata Nineteen

The key scheme of the development section of sonata nineteen in

E major, twenty-ninth in order of publication, follows the dominant to

submediant to tonic pattern with one small exception. There is a modu-

lation to the tonic key, where it remains for only one measure, between
 50

the portion in the key of the dominant and that in the key of the sub-

mediant. After the beginning in B major, the direct modulation to the

tonic key, E major, occurs in measure three when the melodic mate-

rial stated in measure one is restated in the new key. Rather than

continue in E major, modulation to CO minor occurs in measure four

on a pivot chord of I 7= III7, which is part of a short harmonic sequence

with chord roots moving up a fourth, down a fifth. The modulation back

to the tonic key occurs eight and one-half measures later in measure

twelve on a pivot chord of i 6 =vi6 . The pivot chord begins a sequence

with chord roots moving up a fourth, down a sixth, changing to up a

fourth, down a fifth at the end of the sequence to arrive at V7 -I in

E major.

Sonata Twenty

The development section of sonata twenty in B minor, thirtieth in

order of publication, has an unusual beginning. After the exposition

closes on a D major chord, the development section begins on a I-7

chord in D major (Figure 23), progressing to #id7 which is the pivot

chord, #id7-viid7 in modulation to E minor. Although the tonality is

still D major at the beginning of the development, the very first chord

starts the process of modulation to the next tonality. A similar pro-

cess is used for the next modulation from E minor to F# minor, which

occurs in measure seven. In measure six, the i chord in E minor

 51

NIL.
IC'w

*
I

I ALIEJtZwo

L.-i-i
LU;J
I

Fig. 23--Haydn, sonata twenty, measures 1-3

progresses to I7, then to #id7 which is the pivot chord, #jd7 =vii d7 in

modulation to F# minor. In measure fourteen, modulation occurs to

C4 minor on a pivot chord of i = iv.

In measure fifteen (Figure 24), a descending chromatic line

leads to V 7 in B minor in a direct modulation. The remaining four

____ ________ ____ ____ _ I

/000

'Of

Fig. 24--Haydn, sonata twenty, measures 15-16

 52

measures of the development section have V7 harmony which resolves

to i at the beginning of the recapitulation.

Sonata Twenty-one

Of all the development sections described in this study, that of

sonata twenty-one in D major, thirty-first in order of publication, con-

tains the least number of keys. Containing only two keys, this develop-

ment section begins in B minor, the key of the submediant, after the

exposition closes in the key of the dominant, A major. In measure

twenty-three, modulation occurs to the tonic key of D major on a pivot

chord of iv = ii. The remainder of the development, a total of twenty-

five measures, is in D major. If the modulation from A major at the

end of the exposition to B minor at the beginning of the development

section were to be momentarily considered as part of the key scheme

of this development section, the key scheme pattern would match the

dominant to submediant to tonic pattern found in the development sec-

tions of sonatas three, six, nine, sixteen, and eighteen. The differ-

ence, then, between the key scheme of the development section of sonata

twenty-one and that of the development sections of the five other sonatas

mentioned above is caused by an inconsistency in Haydn's usual practice

of remaining in the key in which the exposition ends for the first few

measures of the development section before modulating to a new key.

 53

Sonata Twenty-two

Sonata twenty-two in E minor, thirty-second in order of publi-

cation, is the third sonata of those under study written in a minor key.

In sonatas eight and twenty, both of which are written in minor keys,

the exposition ends in the key of the mediant and the development sec-

tion begins in that same key then modulates up a major second to the

key of the subdominant. The exposition of sonata twenty-two ends in

the key of the mediant, but the development section, rather than begin-

ning in that key, begins in the key of the subdominant. It remains in

that key, A minor, for five measures, alternat ing between V 7 and '6
4
and ending on a half cadence. After a fermata at the end of measure

five, measure six begins on I in C major, a direct modulation from

A minor. In measures six through nine, the harmony alternates be-

tween I and V 7 and changes in measure ten with the appearance of

#id7 which resolves normally to ii then returns to #id7 in measure

twelve. In Figure 25, instead of resolving to ii again in measure thir-

teen, the #id7 progresses to another diminished seventh chord which is

the pivot chord, #ivd7

4 = #iiid7 in modulation to the key of B minor. The
2
new tonic chord is reached in measure sixteen by the normal progres
-

sion #iiid7_-iv-V 7 -i, and the key is further established by continuing to

viid7 and back to i in measure eighteen. It remains in B minor until

measure twenty-seven when modulation occurs to the tonic key of

 54

'5
h I IL
h4.0-Abb
I LAOh hMi4m
4.
do

A# A

C: s' ivt

Ix A&
A.0

N-v ,I 16
J

Fig. 25--Haydn, sonata twenty-two, measures 12-16

E minor on a pivot chord of i = v. The unusual pivot chord is explained

by the fact that it is the beginning of a harmonic sequence (Figure 26)

in which chord roots move down by thirds until it arrives at the ii 0

chord. The iio chord progresses to V 6 , with the bass pitch moving down

another third to continue the melodic aspect of the sequence. The reso-

lution to i following measure thirty-three begins the recapitulation.

 55

i
h*l ~ b

'50 31

IV 00

14

Fig. 26--Haydn, sonata twenty-two, measures 26-33

Sonata Twenty-three

Sonata twenty-three in C major, thirty-third in order of publica-

tion, is the fourth sonata of those discussed in this study in which the

development section begins in the tonic key of the sonata. In this

sonata, as in the other three, which are sonatas four, twelve, and

fourteen, the exposition closes in the key of the dominant and the devel-

opment section begins on the dominant seventh chord in the tonic key.

The development section of sonata twenty-three remains in the tonic

 56

key, C major for only one and one-half measures. In the second half

of measure two, on a pivot chord of I= III, modulation occurs to

A minor. In measure four the portion in A minor ends with an authen-

tic half cadence, then, in a direct modulation, measure five begins on

I in the new key of F major. After remaining in F major for eight

measures, modulation occurs to A minor on a pivot chord of I= VI.

Measure thirteen, in which the modulation to A minor takes place, still

has a very solid F major feeling because of the V 7 -I progression. In

fact, the V 7 -I progression is repeated in the approach to measure four-

teen. The repetition of this progression is analyzed here as III 7 -VI in

the new key of A minor instead of V 7 -I in F major because it begins a

harmonic sequence with chord roots moving up a fourth, down a third.

The sequence ends in the key of A minor which is further established

by two measures of alternating between V and i. The modulation pro-

cedure in the return to C major in preparation for the recapitulation,

illustrated in Figure 27, is unusual. The V7 chord in A minor pro-

gresses to I which is emphasized by the outlining of the chord in the

bass while a triplet broken chord pattern accompanies in the treble.

This I7 chord receives final emphasis by a fermata and by the addition

of the ninth to the chord in measure thirty-three. The chord then re-

solves normally to iv in measure thirty-four, this chord becoming the

pivot chord, iv = ii into C major. The ii chord in the new key progresses

to V 7 on which the development cadences.

 57

k30 r t% 31

It,

3r 7

tEl v;
V

Fig. 27--Haydn, sonata twenty-three, measures 30-R

Sonata Twenty-four

The development section of sonata twenty-four in C# minor,

thirty-fourth in order of publication, begins in E major, the key of the

mediant. In the middle of measure three, direct modulation occurs to

FO minor with the progression V 9 -i. In measure seven, following three

measures based entirely on i and V 7 , the i chord progresses to III7

which is repeated for approximately two measures. (See Figure 28.)

An enharmonic pitch change, from Gj to F.. in measure nine causes

 58

h .0a '7
4w
m II
qlp 1# 1U
1 IE
rJii
I

113:1
vtc
IA. V do' d

_ _ _ _ _ _ _ _ _ _ _ _Z &I& O

4w. r Jr

X I-,'

Fig. 28--Haydn, sonata twenty-four, measures 7-11

the spelling of the chord to be that of a German sixth chord in the new

key of C# minor. The resolution of that chord, now #iv 7 G, to V in

C# minor in measure ten establishes the key even though the C# minor

tonic chord never appears. Measure eleven, also in Figure 28, begins

in the completely new key of G# minor, in direct modulation from

C# minor.

The next modulation, which occurs in measure sixteen, is a re-

turn to E major, the key in which this development section begins. The
 59

pivot chord, I7= III, is the beginning of a harmonic sequence of major-

minor seventh chords with chord roots moving up a fourth, down a fifth

until I in E major is reached in measure eighteen. A very chromatic

section follows (Figure 29 on page 60) containing diminished seventh

chords and their resolutions causing the bass line to ascend chromat-

ically. In measure twenty-three, a #vd7 chord in E major, spelled

B# D#F#A, is altered by the lowering of the F# to F% causing a major

-
minor seventh chord sound. The function of that chord, in its resolu-

tion to I in the new key of A major, is that of a misspelled German

sixth chord. A major is left immediately with no establishment other

than the strength obtained from its tonic chord being in second inver-

sion and following a German sixth chord sound. The next measure,

twenty-six, contains a #ivd7 chord which is the pivot chord, #ivd 7 =viid7

in modulation to the tonic key of C# minor. The viid 7 chord resolves

to i in measure twenty-seven which is followed by four more measures

of alternating dominant and tonic harmony leading to the beginning of

the recapitulation.

Sonata Twenty-five

The key scheme pattern of dominant to submediant to tonic, found

in the development sections of five sonatas previously discussed,

appears again in the development section of sonata twenty-five in

D major, thirty-fifth in order of publication. The development section

 60

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Fig. 29--Haydn, sonata twenty-four, measures 18-27

 61

begins in A major, the key of the dominant, and remains in that key

for only two measures. At the end of measure two, on a pivot chord of

#id7 = vivid , modulation occurs to B minor, where it remains for six-

teen measures. Two measures before the recapitulation, modulation

7 The
to the tonic key, D major, occurs on a pivot chord of I =VI .

VI7 chord resolves to ii in the manner of a secondary dominant, and

the progression continues to V and to I at the beginning of the re-

capitulation.

Sonata Twenty - six

The development section of sonata twenty-six in Eb major, thirty-

sixth in order of publication, begins in C minor, following the cadence

in Bb major at the close of the exposition. This procedure of beginning

the development in the key of the submediant after the exposition closes

in the key of the dominant instead of continuing in the key of the domi-

nant for several measures of the development before modulating also

occurs in sonata twenty-one, discussed previously in this study. In

measure three, following a G major scale passage at the end of meas

-

ure two, the pitch G is sounded by itself several times. Then, instead

of returning to the C minor tonic, the G moves up a half-step to the

pitch Ab in direct modulation from C minor to Ab major.

After remaining in the new key of Ab major for seven and one-

half measures, a vi chord, which is approached by the secondary

- a '". m P- m
 62

dominant chord III , becomes the pivot chord, vi = iv, in the modula-

tion back to the key of C minor. Measure twenty, the final measure of

the development section, contains an authentic cadence with a suspen-

sion which resolves to the third of the C minor chord. As illustrated

in Figure 30, the pitch Eb, when sounded has a dual function of being

the third of the C minor chord and also of being the first pitch of an

Eb major scale leading to the beginning of the recapitulation in measure

irzzz~~zzzm2 i ~ I

Fig. 30- -Haydn, sonata twenty-six, measures 20-R

Eb
twenty-one. The modulation from C minor to E major is direct and

occurs at the beginning of the recapitulation rather than several meas-

ures before. Another example of this procedure occurs in the develop-

ment section of sonata thirteen.

ON, wo
 63

Sonata Twenty-seven

The development section of sonata twenty-seven in Bb major,

thirty-ninth in order of publication, has a very unusual beginning. Fol-

lowing a cadence in F major at the close of the exposition, the develop-

ment section begins on the tonic chord of the new key of Db major

(Figure 31), a key which is foreign not only in relation to the tonic of

the sonata but also in relation to the ending key of the exposition. The

D b major triad sounds in the first two measures, then, following a rest

at the end of measure two, the third measure begins on V7 of the new

Fig. 31--Haydn, sonata twenty-seven, measures 1-5

key of Ebmajor, constituting a direct modulation. In progressing from

the F major chord, which closes the exposition, to the Db major chord

to the Bb major -minor seventh chord, the chord roots, which appear in

the lowest voice each time, move down by thirds, this pattern being

broken by the resolution of V 7 to I in the key of Eb major.

 64

In measure thirteen, modulation occurs to Bb major on a pivot

chord of I= IV. The V 7 chord in Bb major is outlined in measures

eighteen and nineteen, then, in direct modulation, progresses to the

V 7 chord in G minor in measure twenty. The V 7 chord in Bb major in

measure nineteen is in third inversion resulting in chromaticism as it

progresses to the V 7 chord of G minor which is in root position. The

pitch F ascends chromatically to F# while the pitch Eb descends chro-

matically to D

The pivot chord, iv = ii, in modulation back to the tonic key of

Bb major occurs in measure thirty-two (Figure 32) as part of a series

31L
31 r 1
'

W400 low- I

S.3

I
~~z4W

Fig. 32--Haydn, sonata twenty-seven, measures 31-34

 65

of chromatic and semi-chromatic ascending lines composed rhythmi-

cally of triplets. Each set of two triplets suggests, by its accented

pitches, a particular chord. The set of two triplets that suggest the

seems to
pivot chord is the only set which has no chromaticism and

suggest a C Eb G chord which is the ii chord in Bb major. In the next

measure the V 7 chord is implied, returning to the chromaticism and

progressing on to I in measure thirty-four. The recapitulation begins

following six measures of V7 harmony, measures thirty-six through

forty-one.

Sonata Twenty-eight

Sonata twenty-eight in Ab major, forty-first in order of publica-

a
tion, is the seventh and last of the sonatas under study to contain

development section having the key scheme pattern of dominant to sub-

mediant to tonic. After beginning in Eb major, the key of the dominant,

direct modulation to F minor, the key of the submediant, occurs in

measure eight when I in Eb major progresses to V7 in F minor. The

majority of the development section is in F minor, and modulation to

the tonic key of Ab major finally occurs in measure thirty-three on a

diminished seventh chord pivot of #iiid7 - #id7. The #id7 chord resolves,

in a slightly unusual manner, to II which functions as the secondary

dominant to V 7 , progressing to I in measure thirty-six. It remains in

the tonic key for another nine measures before the recapitulation begins.
 66

Sonata Twenty-nine

The development section of sonata twenty-nine in G minor,

forty-

second in order of publication, is characterized by a very rapid rate of

modulation in the first half. In the first eleven measures, there are

five modulations to four different keys. The development section be-

gins in C minor, the key of the subdominant. Modulation occurs to

G minor, the tonic key, in measure three on a diminished seventh

chord pivot of #ivd 7 =viid7. In measure five, again on a diminished

seventh chord pivot of # iv =viid7,modulation occurs to F minor. The

procedures for modulation from C minor to G minor and from G minor

to F minor are very similar, including use of the same type of melodic

material, the only difference being that the pivot chord in the second

modulation must be misspelled in the original key in order to be spelled

correctly in the new key. This difference from the first modulation is

necessary because the interval of modulation is a major second in the

second modulation while that of the first modulation is a perfect fourth.

Direct modulation from F minor back to G minor occurs in meas

-

ure eight when a I7 chord in F minor progresses directly to V9 in

G minor. In measure nine, the V9 chord in the new key resolves to i

which is the pivot chord, i= iii, in modulation to Eb major, established

7 7
when iii progresses on to V -I 6 -V . Then, however, instead of going
4
on to I in root position in Eb major, the V7 progresses, in measure

eleven, to V in C minor, the pitch Bb moving chromatically to B4i,

 67

constituting a direct modulation. The next four measures are in

C minor, the longest stay in one key up to this point in this develop-

ment section.

In measure fifteen, modulation back to Eb major occurs on a

pivot chord of iv 6 6 , and it remains in Eb major for six measures.

The modulation back to the tonic key of G minor, occurring one meas

-
ure before the recapitulation, involves an unusual pivot chord. The

Eb major tonic chord in measure twenty progresses to a I~7 chord,

EbG Bb C# (D 1b), which is spelled correctly as a German sixth chord, the

pivot,~7 = #-iv 7 G, in modulation to G minor. (See Figure 33.) The

chord properly spelled, C# Eb G Bb, is in the normal first inversion and

resolves normally to i6 , progressing on to V and then to i at the begin-

4
ning of the recapitulation.

r- r r

at
_ _ _ _ _ ___ _ _ __ _ _ _ _ __ _ _
3VIa 7

Fig. 33--Haydn, sonata twenty-nine, measures 19-21

 68

Sonata Thirty

The development section of sonata thirty in Ab major, forty-third

in order of publication, begins in the key of the dominant, Eb major,

where it remains for the first three measures. In measure four, each

beat consists of two triplets of sixteenth notes, the first of which

ascends and the second of which descends, all of them moving stepwise

with one exception in the fourth beat. The first pitch for each beat and

the uppermost pitch for each group of two triplets combine to spell a

9 The
C E 4 G Bb Db chord which analyzes as V in a new key of F minor.

modulation, then, from Eb major to F minor is direct with no pivot

chord.

The next modulation, from F minor to Eb minor, the new key be-

ing foreign in relation to the original key, occurs in measure fifteen on

an unusual pivot chord (see Figure 34 on page 69). In measure fourteen,

the viid7 chord is outlined and resolves to I9 rather than to a normal

tonic chord. The I9 chord is the pivot chord, I9 = II9, in modulation to

7
Eb minor which is established when II9 progresses to V in measure

sixteen and on to i in measure seventeen.

The i chord in Eb minor continues to be outlined until the second

half of measure nineteen when the chord is altered to II which progres-

7
ses to iv. The iv chord in measure twenty is then altered to #ivd

which is the pivot chord, #ivd7 -viid7, in modulation to Bb minor. Al-

though the viid 7 chord resolves promptly to i, the new key of Bb minor
 69

. .t .t ~.t ~ ~ .~# *-06# a&L i

r 16#

IFt

I' ft

-r 'I

Fig. 34--Haydn, sonata thirty, measures 14-17

is barely established, because the rhythmic flow of the melodic mate-

rial never stops for a cadence and because only two measures can be

analyzed in Bb minor before it becomes necessary to acknowledge

another modulation. Perhaps the strongest contributor to the key feel-

ing and establishment is the presence of a #iv7G-V progression which

follows the viid 7 -i progression mentioned above. Immediately, how-

ever, in measure twenty-two the V chord progresses to viid7 when the

upper pitch F moves up to Gb and the lower pitch F moves down to Eb.

(See Figure 35. ) This viid7 chord is the pivot chord, viid 7 #iiid7 in
 70

Ala F

N Vf

ofV
IV .3C....

Fig. 35--Haydn, sonata thirty, measures 21-24

modulation to F minor, the second appearance of this key in this devel-

opment section. The method of establishing F minor as a key is simi-

lar to that of establishing the previous key of Bb minor. The #iiid7

chord resolves normally to iv which progresses to #iv7G and on to V.

This time the V chord resolves to i and the portion in F minor is lengthy

enough to allow definite key establishment. It should be noted, how-

ever, that the use of the #iv 7 G-V progression in the F minor portion

helps to strengthen the use of the same progression in the establish-

ment of the previous key.

 71

The development section remains in F minor for sixteen and one-

half measures until measure thirty-nine begins. Modulation from

F minor to the tonic key of Ab major occurs in measure thirty-nine on

a pivot chord of iv = ii. The ii chord progresses to V7 and on to I in the

next measure to begin the recapitulation.

Sonata Thirty-one

Considering all thirty-four development sections under study, the

average number of modulations per development section is approxi-

mately 4. 75. The development sections of the last six sonatas, with

the exception of sonata thirty-one in F major, forty-fourth in order of

publication, contain from five to thirteen modulations. The develop-

ment section of sonata thirty-one, in the midst of those development

sections containing more than the average number of modulations, has

only two modulations and also has a simple key scheme in comparison

with the more complex key schemes of the development sections in the

surrounding sonatas.

This development section begins in C major, the key of the domi-

nant. In measure eight, the borrowed minor i chord is the pivot chord,

i = iv, in modulation to G minor, a key which is foreign in relation to

the original key, C major, but is closely related to the tonic key of the

sonata, F major. After remaining in G minor for only three measures,

modulation to the tonic key of F major occurs on a pivot chord of i = ii

 72

in measure eleven. In the latter half of that measure a harmonic

sequence begins with chord roots moving up a fourth, down a fifth. In

measure fourteen the sequence continues with the root movement pat-

tern changing to up a fourth, down a third. The sequence ends on a vi

chord in measure sixteen, and immediately, in measure seventeen, a

new sequence, again with roots moving up a fourth, down a fifth, begins

and continues to measure twenty where it arrives at a IV chord. The

IV chord sounds for two measures, progresses to V 7 through a #ivd 7

chord, and finally arrives at I in the first measure of the recapitulation.

The I chord appears several times in the course of the sequences, but

not in a cadential situation. It is interesting to note that the majority of

this development section is in F major and that all but two of the thir

-
teen measures in that key are involved in some form of harmonic

sequence.

Sonata Thirty-two

The development section of sonata thirty-two in Eb major, forty-

sixth in order of publication, begins in Bb major, the key of the domi-

nant. It remains solidly in Bb major until measure three which contains

a I~ 7 -ii progression. The I-7 chord is analyzed here as a pivot chord,

7
I-7 =V 7 in modulation to Eb major, the tonic key, causing the I- -ii pro-

gression mentioned above to be reanalyzed as a deceptive cadence,

V 7 -vi, in the new key. This analysis, as illustrated in Figure 36, is

 73

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IL

zL1 7 m1 t7 L v T

Fig. 36--Haydn, sonata thirty-two measures 1-9

very difficult to justify because it is necessary to analyze another mod-

ulation to F minor, one measure later, the I chord of Eb major having

never been sounded. There are two reasons, however, that make this

analysis plausible. First, the portion following measure three does

not return to Bb major. If it did, the modulation to Eb major would be

totally unnecessary. Second, although modulation to F minor occurs

immediately in measure four on a pivot chord of ii 7 = i7 , the pivot

chord is the beginning of a harmonic sequence, with roots moving up a

fourth, down a fifth.

 74

A harmonic sequence which begins on a pivot chord as such

technically ends in a key different from that in which it begins, and, in

actuality, any chord within the sequence could conceivably be the pivot

chord. Consequently it is difficult to analyze the exact point where the

original key ends and the new key begins. In the case of this particu-

lar modulation, the key of Eb major could possibly continue another

measure or two in analysis before it would become necessary to change

to F minor chord symbols. However, as a matter of consistency and

as discussed in the introductory chapter in this study, all sequences

which are involved in modulation are analyzed completely in the new

key, thus explaining the need for such an immediate modulation to

F minor. One more possibility presents itself, that being the analysis

of the first modulation as Bb major to F minor instead of to Eb major,

the pivot chord being ii=v in measure three. This analysis, although

quite possible, ignores the presence of the deceptive cadence in the

previous analysis, especially in the aural sense.

The harmonic sequence, which begins in measure four where the

modulation to F minor occurs, ends in measure seven with a deceptive

progression'V 7 -VI. The progression continues to io7-V-i, and the

tonic chord, when finally reached, becomes the pivot chord, i = iv, in

another modulation, this time to C minor. The new key of C minor is

established immediately with a iv-V 7 -i progression, and the tonic

 75

chord is sounded for several measures. In measure twenty-two, the

i chord becomes a pivot chord, i = iii, in modulation to Ab major. The

iii chord progresses on to V7 -I. The progression iii-V7 , though a less

common chord procedure, is used in the next two modulations. In

measure twenty-six, modulation from Ab major to F minor occurs on

a pivot chord of I= III progressing on to V7 -i. And again, when modu-

lation occurs from F minor to Db major in measure thirty, the pivot

chord is i= iii and progresses to V7 -I in the new key. It should be

noticed that the interval of modulation in these three modulations is

down a third. Also the melodic patterns are very similar, almost

sequential.

In measure thirty-six, modulation occurs from Db major to

F minor on a pivot chord I= VI, the VI chord progressing to ' 6 in the

4
next measure. It remains solidly in F minor until measure forty-eight

when, on a pivot chord of #iiid7 -vid7, modulation occurs to Bb minor.

The viid 7 of the pivot chord resolves to i in measure fifty, and the

i chord progresses to VI, spelled Gb BbDb, in measure fifty-two. The

Gb of the VI chord moves downward a half-step, causing a i sound.

Immediately following this chord there is a very chromatic progression

of chords lasting for approximately four measures (Figure 37), and in

that small period of time modulation occurs four times. The first

modulation in this small portion is a direct modulation on the chord

. .........I-
 76

.~-7-~3 1 5 * I Io.rI i4

. 1 j
-___I_

AZ e
mWo n- 6

vi -d7
ity WI

Fig. 37--Haydn, sonata thirty-two, measures 52-62

immediately following the 16 chord in measure fifty-three. The key to

4
which it modulates can easily be analyzed as one of two keys, Ab minor

or Eb major. There are two reasons that support the analysis of the

new key as Ab minor. First, the beginning chord in this new key is a

German sixth chord spelled correctly and resolving normally to i 6 -V

b4
in A minor. Second, the aural effect caused by the German sixth

chord and its resolution seems to indicate an Ab minor tonality. If

 77

the music were to stop at that point, it would seem easy to imagine a

continuing portion in Ab minor.

The possibility that this new key is Eb major rather than Ab minor

is supported by the keys which follow in the next three modulations,

those keys being Bb minor, F minor and C minor respectively. The

Eb major analysis would create a sequence of keys in which the roots of

the tonic chords all lie a perfect fifth apart. Also, the chord progres-

sions in each of the latter three keys contain a iv chord resolving to i.

By analyzing the portion in question as being in Eb major, the pattern

is maintained. Although both analyses seem possible, the use and

spelling of the German sixth chord seems to make the Ab minor analy-

sis a stronger choice. The second modulation in this four-measure

portion is also a direct modulation to Bb minor on a V chord which re-

solves immediately to i. The i chord then becomes the pivot chord,

i = iv, in the third modulation which is to the key of F minor. In the

same manner, the i chord in F minor becomes the pivot chord, i = iv, in

modulation to C minor, the fourth modulation in this portion. It re-

7
mains in C minor until measure sixty-one when the root of the viid

7
chord moves down a half-step to form a V chord in the new key of

Eb major, constituting a direct modulation, The V 7 chord in the new

key is sounded for approximately six measures until the beginning of

the recapitulation when it resolves to I.

 78

Sonata Thirty-three

The beginning key of the development section of sonata thirty-

three in C major, forty-seventh in order of publication, is G minor,

the key of the minor dominant, the exposition having ended in G major.

The development section remains in G minor until the middle of meas-

ure six, when modulation occurs to F major on a pivot chord of i= ii.

7
F major is established well by several repetitions of the V -I progres-

sion, sometimes preceded by ii. In measure thirteen, the resolution

of V 7 is to the borrowed minor tonic chord, and this is the pivot chord,

i=vi, in modulation to the key of Ab major.

A diminished seventh chord in measure twenty-four, spelled

B4D4 F Ab which is the #ivd7 chord in Ab major, is the pivot chord

#ivd 7 =viid7 in modulation to C minor. (See Figure 38. ) Since the

portion analyzed in C minor is only one measure in length, it is neces-

sary to justify its existence as a new key. The C minor portion con-

sists of only two progressions, each from viid7 to i. It is the chromatic

movement of the treble line which not only justifies modulation from

Ab major to a new key, but also necessitates another modulation to

D minor at the end of measure twenty-five. This modulation is direct,

0 Again
with chromatic movement from i in C minor to vii in D minor.

the D minor portion is only one measure in length with two viid 7 _i

progressions as in the C minor portion. The similarity of the

 79

I
--
A
I

47 ~ woo~
C4OA7

* "7 IlLo

Fig. 38--Haydn, sonata thirty-three, measures 24-28

melodic material in the two keys, C minor and D minor, also strength-

ens their existence as separate tonalities. At the end of measure

twenty-six, also in Figure 38, the treble line again ascends chromati-

cally causing direct modulation through an Italian sixth chord to A min-

or. The #ivIt chord progresses normally to V 7 and then on to i.

The portion in A minor is approximately fourteen and one-half

measures, being based almost entirely on V 7 harmony with brief refer-

ences to i. In measure forty-one (Figure 39), following two and

 80

I LA *1*.

'% NaJw r2
Ao .0 't 1 44 A

6?T7NAlt
-4 A Ab
v
43
r
trAo
AO

Ad
J #4 f F.

Fig. 39--Haydn, sonata thirty-three, measures 40-43

one-half measures of melodic alternation between the pitches E and D#,

the melodic pattern begins to gradually ascend and is harmonized by a

diminished seventh chord, this being the pivot chord, #iiid7 =viid 7 in

modulation to D minor.

The modulation to the tonic key of C major occurs in a similar

manner on a diminished seventh chord pivot of #ivd 7 =viid 7 , the #ivd 7

chord being misspelled in the original key to allow for correct spelling

in the new key. Resolution of this chord is accomplished by moving

 81

the pitch Ab down a half-step to G, indicating a V 7 chord. The V 7

chord sounds for three measures then resolves to I at the beginning of

the recapitulation.

Sonata Thirty-four

Sonata thirty-four in Eb major, forty-ninth in order of publica-

tion, is the final sonata to be discussed in this study. Its development

section is perhaps the most unusual of all the development sections

dis cussed previously, containing several modulations to unexpected

keys accomplished in unexpected and often startling ways. The expo-

sition of this sonata ends in Bb major, and the first chord of the devel-

opment section is a Bb major chord. However, direct modulation

occurs immediately on the very next chord to the new key of C major.

This modulation, illustrated in Figure 40, is accomplished by the pro-

gression of the Bb major chord to an Italian sixth chord, #ivIt, in the

V-0-

Fig. 40--Haydn, sonata thirty-four, measures 1-2

 82

new key. This chord progresses normally in measure two to V which

is prolonged by a fermata. Measure three begins on I in the new key.

Another modulation occurs in the middle of measure four, from

C major to F major, on a pivot chord of I= IV. The F major portion,

like the C major part, is very short, a new modulation occurring in

the middle of measure five. This new modulation, illustrated in Figure

41 on page 83, from F major to G minor occurs on a pivot chord of

vi=v, which is not only an unusual pivot chord but is also the beginning

of a very unusual harmonic sequence with chord roots moving up a sec-

ond, down a fourth. The sequence ends on a German sixth chord which

resolves to V and on to i.

The modulation from G minor to C minor, which occurs at the

end of measure ten, has another unusual pivot chord, i = v, which is

also the beginning of another harmonic sequence. This sequence, how-

ever, is unique not because of its chord root movement, which is sim-

ply up a fourth, down a fifth, but because of the rapidity of chord change.

The sequence contains nine chords and lasts for approximately one

measure. In the middle of measure fourteen, modulation occurs from

C minor to F minor on a pivot chord of iv 6 i6

"

Following the i chord in F minor in the middle of measure fifteen,

a highly chromatic passage begins. (See Figure 42, page 84.) Because

of the chromaticism in the bass line, part of the harmony in this pro-

gression can be called non-functional. At some point in this progression,

 83

FOX

G10

r ko l
7.61

I,
I

z7
47
_e

Fi.41- -Haydn, sonata thirty-four, measures 5-8

however, modulation occurs to Ab major, probably at the chord spelled

Bb DbF at theend of measure sixteen, which is ii in A b major. This

 84

oAl
I bi-' 4$6
Ak

ILt

It 'I

.. / Ab
VII'
-

I,

Fig. 42--Haydn, sonata thirty-four, measures 15-18

chord progresses to I-viio-I in the new key in measures seventeen and

eighteen at the end of this chromatic passage.

In measure twenty, the Ab major I chord is altered to 17, spelled

Ab C Eb Gb. The Gb then takes its enharmonic name of F# in measure

twenty-one and the pitch Ab is dropped from the chord changing its

function from I~ 7 in Ab major to #ivd7 in the new key of C minor, a

direct modulation. (See Figure 43.) The #ivd7 chord resolves normally

to V and for the next two and one-half measures V alternates with i
 85

0 & AsOIr l0

P
AVr.

I rI

'F

Fig. 43--Haydn, sonata thirty-four, measures 20-21

ending with a half cadence in measure twenty-four. As illustrated in

Figure 44 on page 86, measure twenty-five begins on I in the completely

new key of E major. Not only is this a direct modulation, but the new

key is foreign in relation to the original key of C minor.

The next modulation, from E major to A major, in measure

twenty-six is accomplished in the exact same manner as the second

modulation of this development section which is from C major to

F major. The melodic material and the interval of modulation is

 86

m 7
A. Aw
.1AL-
- *i~j I]I2'0

1-

Fig. 44--Haydn, sonata thirty-four, measures 24-26

identical for these two portions, only different keys are involved. As

in the modulation from C major to F major, the pivot chord for this

modulation, from E major to A major, is IV=I. In measure twenty-

eight, the I chord in A major is altered to I-7 which progresses in

direct modulation to V in B minor. In measure thirty-three (Figure 45

on page 87), all the pitches in the V 7 chord in B minor, spelled

F#A# C#E1, move down a half-step to the II7 chord in the tonic key of

Eb major, spelled Fk A4 C4Eb. This modulation is direct and the inter-

val of modulation is a diminished fourth. The II chord progresses to

V7 which is sounded for two measures and then resolves to I at the

beginning of the recapitulation.

It should be noted that modulation occurs very often in this devel-

opment section. The portion in G minor, five and one-half measures in

 87

-,0

I
ot__I Azzz

C-bi.

Fig. 45--Haydn, sonata thirty-four, measures 32-34

length, is the longest portion between modulations. Although seven and

one-half measures are spent in the key of C minor, the key occurs at

two different times within the section with other keys coming between

them. Also, six of the eleven modulations are direct rather than pivot

chord modulations. This sonata was published seven years after sonata

thirty-three, possibly explaining the bold differences in harmony, key

s cheme, and modulation techniques.

 CHAPTER III

KEY SCHEME

In summarization of the observations made in Chapter II concern-

ing the key schemes of the development sections in the sonatas dis

-
cussed in this study, it is necessary to first take an overall view of the

key schemes in all the thirty-four development sections. Figure 46

provides such a view, allowing for comparative observations concern-

ing the tonic pitches of the keys, mode of the keys, and number of

measures sounding in each key in each development section. The sona-

tas in Figure 46 are numbered according to Table I. The tonic key of

the sonata is indicated beside each sonata number, capital letters for

major tonic keys and lower-case letters for minor tonic keys. On the

staff are the tonic pitches for the keys sounded in each development

section in order of their appearance. White noteheads represent major

keys, and black noteheads represent minor keys. The number beneath

each notehead represents the approximate number of measures for

which the portion of the development section is sounded in that particu-

lar key. The measures for any key are counted beginning with the pivot

chord into that key or, if the modulation is direct with no pivot chord,

beginning with the first chord analyzed in that key.

88
 89

3% I33.-57
3, ftI

I.9'AL <. Y,3,,,

,
14Izj *1"1 Y p1ysj
GEb Ct)5F ?dag 113 2. 5,.2.5
A get t ma 5 11 '..
(aob I aD
tb..7 I

qk qL f i 5'/. 7/ Vy aaq IY,i 5 Y', 3 K

a 0W ' , 7 & 4 4I3' *4 47. al3.

30iL43 &5rL'2).4 4"4

Fig. 46--Overall view of key scheme in the development section

 90

Several general observations can be made of the material in

Figure 46. The number of keys in each development section ranges

from two to fourteen. It is interesting to note that there is no gradual

increase in the number of keys. Although the last few sonatas have the

largest number of keys in their development sections, several of the

early sonatas also have many and sonata thirty-one, one of the last

sonatas discussed here, contains a very small number.

A second general observation is that the final keys to which mod-

ulation occurs in every development section is the tonic key of that

sonata. In sonatas thirteen and twenty-six the modulation to the tonic

key occurs at the beginning of the recapitulation rather than in the last

measures of the development section. Sometimes, as in sonatas fif-

teen, twenty-one, and thirty-one, the final modulation to the tonic key

occurs early in the development section causing a majority of that par-

ticular development section to be in the tonic key.

A third observation is that the only key scheme pattern which

occurs more than once is the dominant to submediant to tonic pattern.

This pattern occurs without alteration in the development sections of

sonatas three, six, nine, sixteen, eighteen, twenty-five, and twenty-

eight, a total of seven times which is approximately twenty percent of

the total thirty-four development sections. The development section of

sonata nineteen has this same key scheme pattern except for a premature

modulation to the tonic key for one measure before progressing to the
 91

submediant. The development section of sonata twenty-one contains

the last two keys of this pattern and, if the final key of the exposition

were considered, the pattern would be complete. As discussed in

Chapter II, the development section of sonata eight, although it begins

in the key of the mediant rather than the dominant, has the same inter-

valic pattern, the same direction of key progression, and the same

order of major and minor key relationships. Also, the pattern is re-

peated several times within that development section.

More detailed observations in Figure 46 are charted in Tables II,

III, IV, V, VI, and VII. Table II indicates the interval and direction of

each modulation in a development section. A key may modulate up or

down a perfect fifth, major third, minor third, major second, minor

second, tritone, to a parallel key, or the enharmonic equivalent of any

of these. The interval of modulation which occurs most often is that of

a minor third up, which occurs twenty-nine times. Modulation up a

major second occurs twenty-eight times. An interesting observation is

that these two intervals of modulation which occur most often in these

development sections are the two intervals of modulation which com-

prise the dominant to submediant to tonic key scheme pattern discussed

above. The interval of a third, major or minor, occurs as an interval

of modulation a total of sixty-eight times. The second, major or minor,

is found forty times and the perfect fifth is found thirty-seven times.
92

TALE II

INTERVALS AND DIRECTIONS OF MODULATION

Inter - Sonatas - -6-1-1

val 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 1617

5 1 1 -11 1 2 2

5 _ 2 1 2 1
M340 2 2 1 1 2

M3 t 1 1 2

m3 2 1 2 2

m3 2111 1121 1 1 1 1 1

M2 1 1 1
M2 1 1 1 31 - 1 2 1 2

m2 T

Tri-
tone

Par.
Keys I
 93

TABLE II -- Continued

Sonatas
18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 Total

1 1 1 2 1 4 18

1 2 1 1 2 1 3 1 19

1 1 1 1 2 14

1 1 1 1 1 1 3 13

1 1
1_ 1 1 1 1 12

1 1 1 1 1 1 1 1 1 1 1 __ 1 1 1 29

1 1 1 1 2 2 10

2 1 1 1 1 1 1 1 1 3 28

1 2

I
 94

Modulation to a parallel key occurs only once. There are no modula-

tions of up a minor second or of a tritone.

Table III is a further analysis of the results in Table II. For

each interval and direction of modulation, the total number of modula-

tions is divided according to the relationship between the two keys in-

volved in each modulation. The original key in each modulation may be

major or minor. The new key in each modulation may be closely re-

lated or foreign in relation to the original key from which it modulates.

Spaces which are blocked out in Table III are instances for which no

possibilities exist. For example, it is impossible to modulate down a

major third from a major key to a closely related key. In a large ma-

jority of modulations, the new key is closely related to the original key.

However, there are some important exceptions. Modulation from a

minor key up a major second to a foreign key, in each case a minor key

also, occurs eight times. By calling the original key a temporary tonic,

the two keys in this modulation would have the relationship of i to ii or

from minor tonic to minor supertonic. The supertonic chord in a minor

key is normally diminished, therefore a key based on any chord, major

or minor, built on the supertonic pitch must be considered as foreign

in relation to the tonic key.

There are five examples of a modulation from a minor key down

a major second to another minor key, another foreign relationship. The

keys in this modulation would have the relation of i to vii. Normally in

 95

TABLE III

RELATIONSHIPS BETWEEN KEYS IN MODULATION

From Major Key From Minor Key

Inter- To Closely To Foreign To Closely To Foreign
val Related Key Key Related Key Key Total

54 9 none 9 none 18

51 3 2 14 none 19

M31 none 14 none 14

M3t 11 none 2 13

m3l 11 1 none 12

m3 1 28 none 29

M2 1 4 5 10

M2 18 2 8 28

m2 2 none 2

m2 t none none 0

Total 52 9 69 15

a minor key, the subtonic chord is major. Other modulations to foreign

keys number no more than two for any particular interval and direction

of modulation. In eleven possible instances for modulation to foreign

keys, there are no examples found in the development sections dis-

cussed in this study.

 96

Table IV is a detailed survey of the relationships between the

tonic of each sonata and each different key modulated to in the develop-

ment section and also between the first key of the development section

and each different key modulated to. The first column in Table IV indi-

cates the relation of the opening key of each development section to the

tonic key of that sonata. In eighteen of the sonatas, the first key of the

development section is the dominant key in relation to the tonic key of

the sonata, which happens to be a major key in these particular instances.

In two of the sonatas, seventeen and thirty-three, the first key of the

development is the key of the minor dominant. In four sonatas, the

development section begins in the tonic key itself. In four of the sonatas

with major tonic keys, the development sections begin in the key of the

submediant, also called the key of the relative minor. Of the five

sonatas which have minor tonic keys, three contain development sec-

tions which begin in the key of the relative major or the mediant, and

two contain development sections which begin in the key of the subdomi-

nant. In both sonatas in which the development begins in the key of the

subdominant, the exposition ends in the key of the mediant or in a tran-

sition passage from the mediant to the subdominant.

In only two sonatas, two and fifteen, the development section be-

gins in the key of the supertonic. Sonata twenty-seven is the only sonata

in which the first key of the development is foreign in relation to the

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97
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 99

tonic key of the sonata. The tonic key of sonata twenty-seven is

Bb major and the development section begins in Db major which is bIII

in relation to the tonic.

The second column of Table IV lists the number of modulations

in the development section of each sonata. The number of modulations

in the development sections ranges from one in that of sonata twenty-

one to thirteen in that of sonata thirty-two. Twenty-six of the thirty-

four development sections, eighty-one percent, contain more than five

modulations. Ten of those twenty-six contain two modulations and

seven have three modulations. Since a key often occurs at two and

sometimes three different times in the course of a development section,

it is necessary to follow column two with a third column containing the

number of different keys to which modulation occurs in each develop-

ment section. In a majority of the development sections which have

only two or three modulations, all of those modulations are to different

keys. In the development sections with five or more modulations, at

least one key is modulated to for a second time. In the development

section of sonata thirty-two, six modulations are to keys to which mod-

ulation has already occurred once. For instance, the key of F minor

is modulated to three times following its first appearance.

The fourth column of Table IV concerns the intervalic relation of

each of the different keys to which modulation occurs in a development

section to the first key of that development section. Each different

 100

minor
key may be at an interval of a major or minor second, major or

third, perfect fifth, or tritone from the first key of the development

section, or it may also be parallel in relation to that key. In forty-two

instances, a key is at an interval of a perfect fifth in relation to the

first key of its development section. The relationship of a major sec-

ond away from the first key of the development section occurs in thirty-

four instances. The relationship of a minor third occurs eighteen

times. All other intervalic relationships occur six or less times in

total. Only two development sections contain keys which are at an

interval of a tritone in relation to the first key. It is interesting to note

that no particular intervalic relationship between a key which is modu-

lated to and the first key in a development section is found more than

three times. In fact, in a majority of development sections a particular

intervalic relationship of this kind occurs only once.

In columns five through eight of Table IV, the keys of column

three are evaluated in their tonal relationship to the first key of the de-

velopment section and also to the tonic key of the sonata. Column five

contains the number of different keys in each development section which

are closely related to the first key of the development section. Column

six contains the number of keys which are closely related to the tonic

key of the sonata. The number of keys which are foreign in relation to

the first key of the development section is contained in column seven,

 101

and column eight contains the number of keys foreign in relation to the

tonic key of the sonata.

At first glance it is apparent that a large majority of the total

number of keys are closely related to the first key of their development

sections and to the tonic of their sonatas. Naturally, the keys which

are closely related to the first key of the development section are not

necessarily the same keys as those closely related to the tonic of the

sonata. Sixty-eight percent of the total number of different keys to

which modulation occurs are closely related to the first key of the de-

velopment section. Seventy-nine percent of the total number of differ-

ent keys to which modulation occurs are closely related to the tonic key

of the sonata. There are nineteen development sections in which there

are no keys foreign in relation to either the first key of the development

section or to the tonic key of the sonata. In only a few development sec-

tions does the number of keys foreign in relation to the first key of the

development match or exceed the number of keys which are closely re-

lated. In sonatas eight, thirty, thirty-one and thirty-three, the number

of keys is the same in each relationship. In sonatas five, seventeen,

thirty-two, and thirty-four, the keys which have a foreign relationship

to the first key of the development section exceed in number the keys

which are closely related, although never by more than three keys.

With one exception, those development sections which contain a majority

 102

of foreign relationships are those which contain modulations to at least

seven different keys. The one exception is the development section of

sonata seventeen which contains five modulations, only three of them to

different keys, and two of those are foreign in relation to the first key

of the development section.

There are no development sections in which the number of keys

foreign in relation to the tonic of the sonata exceed the number of those

which are closely related. There are, however, three development

sections, those of sonatas eight, thirty-three, and thirty-four, in which

the number of keys foreign in relation to the tonic key of the sonata is

equal to the number of keys which are closely related.

Table V is concerned with the key other than the tonic key of the

sonata in which the development section remains for the largest number

of measures. The table also contains this predominating key's rela-

tionship to the tonic key of the sonata, the number of measures that are

analyzed as being in that key, and the percentage of the total develop-

ment section which is in that key. In twenty-five out of the thirty-four

sonatas, the majority of the development section is in the key of the sub-

mediant in relation to the tonic key of the sonata. Twenty-four of these

twenty-five sonatas have a major tonic key, sonata twenty-nine in

G minor being the exception. Of the nine remaining sonatas, five have

major tonic keys. In three of these, the predominating key in the

 103

TABLE V

PREDOMINATING KEYS

Key Other
than Tonic Relation Number Percentage
0 Tonic with Most to of of
Ke y _Measures Tonic Measures Development

1 BbM g minor submediant 7+7.5 36. 25%

2 EbM c minor submediant 4.5 26.5

3 CM a minor submediant 6 35.3

4 EM c#minor submediant 4 17.4

5 DM b minor submediant 21.5 56.5

6 BbM a minor submediant 29. 5 84. 3

7 DM e minor supertonic 6 23

8 cm eb minor minor mediant 6.5 20.3

9 CM amnor submediant 23.5 61.8

10 EM minor mediant 6. 5 38.2

11 FM d minor submediant 24 61.5

12 DM b minor submediant 7+22 61. 7

13 EbM f minor supertonic 15.5 67.4

14 AM f# minor submediant 7.5 25.8

15 GM e minor submediant 12 41.4

16 EbM c minor submediant 30 76.9

17 FM d minor submediant 6+12 62.1

 104

TABLE V--Continued

Key Other
than Tonic Relation Number Percentage
0 Tonic with Most to of of
U)__ Key Measures Tonic Measures Development

18 AM f#minor submediant 34 70. 8%

19 EM c minor submediant 8.5 50

20 bm f minor dominant 6.5 34.2

21 DM b minor submediant 23 48

22 em b minor dominant 14 42.4

23 CM a minor submediant 2+21 63.8

24 c#m E Major mediant 8+2.5 33.8

25 DM b minor submediant 16 80

26 EbM c minor submediant 3+9.5 62.5

27 BbM g minor submediant 12.5 30.5

28 AbM f minor submediant 24.5 54.4

29 gm Eb Major submediant 2+6 38

30 AbM f minor submediant 11+16.5 70.5

31 F M C Major dominant 6 27.2

32 EbM f minor supertonic 5+3+12. 5+1 31.9

33 CM a minor submediant 14.5 30.2

34 EbM c minor submediant 3.5+4 21.4

 105

development section is that of the supertonic. In the development sec-

tion of sonata ten, the predominating key is the key of the mediant.

According to The Sonata in the Classic Era by William Newman, there

was a tendency in the late classic era to guide modulations into minor

keys soon after the development sections begin in sonatas in major

key. I The fact that twenty-eight of the twenty-nine sonatas with major

tonic keys have large portions of the development sections in the minor

keys of submediant, supertonic, or mediant seems to support this

theory.

The predominating key other than tonic in the development section

of sonata thirty-one is the key of the dominant. Since, according to

J. H. Cornell in The Theory and Practice of Musical Form on the Basis

of Ludwig Bussler's "Musikalische Formenlehre, " the dominant sound

should be avoided before the end of the section when it is normally

stressed for emphasis in its resolution at the beginning of the recapitu-

lation to the tonic sound, 2 it seems unusual for the dominant key to be

the predominating key in a development section. But when this particu-

lar development section is examined, it appears that the majority of the

'William S. Newman, The Sonata in the Classic Era (Chapel Hill,

1963), p. 148.

J. H. Cornell, The Theory and Practice of Musical Form on the

Basis of Ludwig Bussle r's "Musikalische Formenlehref" (New York,
1883), p. 216.
 106

section is actually in the tonic key. The key of the dominant is the key

other than tonic to occupy the largest number of measures, but it also

appears at the very beginning of the development section as a continu-

ation of the dominant tonality in which the exposition closes, a normal

procedure in the Haydn sonatas under study.

The four sonatas which remain to be discussed have minor tonic

keys. In the development sections of two of these, the key other than

tonic occupying the most measres is that of the dominant in its natural

minor spelling. The key of the mediant is the predominating key in the

development section of sonata 1wenty-four, and the key of the minor

mediant is the predominating key in the development section of sonata

eight. Sonata eight is the only one in which the predominating key in the

development section is foreign in relation to the tonic of the sonata.

The number of measures occupied by a predominating key in the

development sections ranges from four measures in the development

section of sonata four to thirty -four in that of sonata eighteen. In sev-

eral instances, this predominating key occurs more than once in the

course of a development section, in which case the number of measures

would be the total of the measures in each occurrence of the key. The

supertonic key of F minor occurs at four different times in the develop-

ment section of sonata thirty-two with one or more keys coming between

the F minor portions. Thus, i Table V, the number of measures in

each portion is indicated.

# - N.J-
 107

Since every development section has a different total number of

measures, ranging from seventeen to forty-eight, the percentage of

the development sections in the predominating key is more important

than the actual number of measures in that key. The smallest percent-

age occurs in the development section of sonata four, in which the pre-

dominating key occupies only four measures. In this sonata, 17.4 per-

cent of the development section is in the key of the submediant. This

sonata is one of the earlier sonatas, and the majority of the develop-

ment section, in fact all but those four measures in the submediant, are

in the tonic key. The percentage just larger than that found in sonata

four occurs in sonata eight, an early sonata, but one which contains nine

modulations to eight different keys. In this sonata, 20. 3 percent, only

six and one-half measures, of the development section is in the pre-

dominating key, the minor form of the key of the mediant, Eb minor.

In sonata thirty-four, the last sonata, only 21.4 percent of the develop-

ment sections lies in the predominating key of the submediant. In fact,

most of the sonatas in which the development sections contain a fairly

large number of modulations, the percentage of the development section

in the predominating key is small, in the area of 30 percent or lower.

For instance, the development section of sonata fourteen, still a fairly

early sonata according to its date of publication, contains nine keys and

remains in the key of the submediant for seven and one-half measures,
 108

25. 8% of the entire development section. The tonic key in this devel-

opment section still occupies more measures.

The largest percentage of a development section in a predominat-

ing key other than tonic occurs in sonata six. In this sonata, 84. 3 per-

cent of the development section is in the key of the submediant. It

should be noticed that this development section contains only three keys.

In those development sections containing a fairly large number of keys,

the predominating key usually occupies only a small percentage of the

entire section. The predominating key normally occupies a large per-

centage of sections which have only three or four different keys. This

observation does not always hold true. For instance, referring to

Figure 46, the development section of sonata five contains seven modu-

lations to six different keys. In this sonata, 56. 5 percent of the devel-

opment section is in the predominating key of the submediant. This is

not an extremely high percentage, but is considerably greater than that

in other development sections containing modulations to as many differ-

ent keys. A good comparison is the development section of sonata

thirty-three which has seven modulations, six to different keys. The

predominating key occupies only 30. 2 percent of the entire development

section.

Table VI charts the rate of modulation in each development sec-

tion. This table indicates the number of measures and the number of
 109

TABLE VI

AVERAGE NUMBER OF MEASURES PER KEY

Number Number -> Number Number

of of10 of of
0 0
w Measures Keys Average U) Measures Keys Average

1 40 6 6.6 18 48 3 16

2 17 5 3.4 19 17 4 4.2

3 17 3 5. 6 20 19 5 3. 8

4 23 3 7.6 21 48 2 24

5 38 8 4.75 22 33 4 8.2

6 35 3 11.6 23 36 5 7.2

7 26 4 6.5 24 31 7 4.4

8 32 10 3.2 25 20 3 6.6

9 38 3 12.6 26 20 4 5

10 17 4 4.2 27 41 5 8.2

11 39 4 9.75 28 45 3 15

12 47 6 7.8 29 21 8 2.6

13 23 4 5.7 30 39 6 6.5

14 29 9 3.2 31 22 3 7.3

15 29 3 9.6 32 67 14 4.7

16 39 3 13 33 48 8 6

17 29 6 4.8 34 35 12 2. 9
 110

keys in each development section and then gives the average number of

measures in each key. Thus, the larger the larger the average number

of measures, the longer the portion of the development in each key and

the slower the rate of modulation. For instance, the development sec-

tion of sonata twenty-one contains forty-eight measures and two keys.

The rate of modulation then is an average of every twenty-four meas-

ures. This development section has the slowest rate of modulation.

On the other hand, the development section of sonata twenty-nine has

twenty-one measures and eight keys, making the rate of modulation an

average of every two and six-tenths measures, the fastest rate in these

sonatas.

Table VII lists the average number of measures per key for each

development section from the highest to the lowest, and beside each

average is the number of keys in that development section. From obser-

vations made of this table, 82 percent of the development sections in

which modulation occurs at a rate of at least every five measures con-

tain five keys or less. In development sections in which modulation

occurs at a rate of less than every five measures, 66 percent contain

six or more keys. With few exceptions, in the development sections

which contain a large number of keys, modulation occurs more often

than in development sections with only a few keys.

 111

TABLE VII

RELATIONSHIP BETWEEN THE AVERAGE NUMBER OF

MEASURES PER KEY AND THE NUMBER OF KEYS
IN EACH DEVELOPMENT SECTION

Average Average
Number of Number Numbe rof Number
Measures of Measures of
Per Key Keys Sonata Per Key Keys Sonata

24 2 21 6. 5 6 30

16 3 18 6 8 33

15 3 28 5.7 4 13

13 3 16 5.6 3 3

12.6 3 9 5 4 26

11.6 3 6 4.8 6 17

9.75 4 11 4.75 8 5

9.6 3 15 4.7 14 32

8.2 4 22 4.4 7 24

8.2 5 27 4.2 4 10

7.8 6 12 4. 2 4 19

7.6 3 4 3.8 5 20

7*3 3 31 3.4 5 2

7.2 5 23 3.2 9 14

6.6 3 25 3.2 10 8

6.6 6 1 2.9 12 34
6.5 4 7 2.6 8 29
 CHAPTER IV

MODULATION TECHNIQUE

In this summary of the methods of modulation, the modulations

are organized according to the relationship which lies between the origi-

nal key and the new key. For instance, all modulations in which the

original key and the new key have the relationship of major tonic to

supertonic are discussed as a group. Within each group the modula-

tions are again divided into those which use pivot chords and direct

modulations. Pivot chord modulations are also divided and discussed

according to the type of pivot chord used.

In Tables VIII through XIX, in which the modulations are catego-

rized according to key relationships, the pivot chord modulations are

listed under the particular type of pivot chord in each instance. All

modulations listed in these tables are coded according to the sonata

number and the particular modulation, designated by a letter of the

alphabet. A code of 6-A, then, refers to the first modulation in the

development section of sonata six.

112
 113

Modulations from Major Keys to Closely Related Keys

Modulations from a Major Key to its Supertonic

Modulations in which the original key is major and the new key is

closely related to it are discussed first, beginning with modulations in

which the relationship between the two keys is that of I to ii. These

eighteen modulations are listed in Table VIII. Nine of these make use

of a pivot chord. The progression of chords involving the pivot chord

is the same in four modulations, 14-C, 20-A, 16-A, and 25-A. In

these four modulations, the tonic chord in the original key is altered to

I~-, then the root of the chord is raised a half-step changing it to a

diminished seventh chord, #id7, which is the pivot chord. In modula-

tion 9-A, this procedure is also used but with the deletion of the

TABLE VIII

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF I TO ii

Pivot Chord Modulations Direct Modulations

5-A 16 -A 3-A
#id7 = Viid7 9-A 20 -A 8-A
14-C 25-A 8-C
8-E
#vd7 #id7 6-A 18-A
24-A
V =i7 32-B 28-A
30-A
vi=v 34-C 34-J

-- somolow P,
 114

I-7 chord. The pivot chords of modulations 32-B and 34-C are both the

beginning chords in harmonic sequences.

In each of the nine direct modulations in Table VIII, the last

chord to sound in the original key before modulation occurs is I or 1-7.

The new key in modulation 3-A begins on i, but in the remaining eight

modulations the first chord in the new key is some form of the domi-

nant chord. This particular progression results in the progression of

the root of the I chord in the original key up a half-step to the third of

the V chord in the new key. This chromaticism is a characteristic of

many direct modulations.

Modulations from a Major Key to its Mediant

There are eleven modulations in which the relation of the original

key to the new key is that of I to iii. These are listed in Table XIX.

Ten of these eleven modulations are accomplished by use of a pivot

chord. A variety of pivot chords are used, the most unusual being

I~ 7 -#iv
7
G. This pivot chord is approached by the I chord in the origi-

nal key and is spelled as #iv7 G in the new key, resolving normally to i
.

In the only direct modulation in Table IX, 34-G, the final chord in

the original key is I which progresses to #ivd 7 in the new key. Both

chords are spelled correctly in their respective keys, resulting in the

enharmonic progression from Gb to F#. The third is deleted from the

#ivd 7 chord, but the fact that the chord is in root position and the
 115

TABLE IX

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF I TO iii

Pivot Chord Modulations Direct Modulations

8 -G
vi=iv 12-D 34-G
26-B
vii = #iid7 12-B

11-B
I=VI 23-C
32-G

-- *.7
d7 24-F
33-C

I~7 = #iv7G29-G

manner in which it resolves rules out the possibility of its being ana-
lyzed as iv7G.

Modulations from a Major Key to its Subdominant

The nine modulations in which the relationship between the origi-

nal and new keys as that of I to IV are listed in Table X. This particu-

lar key relationship of major tonic to subdominant presents a unique

problem in modulation, because the intervalic relationship is the same

as V to I. Consequently it is often necessary to use a pivot chord of

I=V or I~ 7 =V 7 . The V or V 7 chord in either the original or the new

key is normally avoided as a pivot chord possibility, but in this instance

it is sometimes the only reasonable choice. Five modulations in

 116

TABLE X

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF I to IV

Pivot Chord Modulations Direct Modulations

IV=I 2-C
IV 6 =1 6 34-B 24-E
4 4 34-1
I=V 12-A
14-A
I ~7= V7 19-A
32-A
1-A

Table X employ the diatonic or seventh chord form of this pivot chord.

The method used in modulation 14-A is interesting. The chord progres-

sion V-#ivt_V7-I in the original key of A major is repeated exactly in

the new key of D major, the final chord in the progression in A major

being the pivot chord, I = V. The remaining pivot chord modulations in

Table X use pivot chords of either IV = I or IV 6 = 16. The procedure for

44
the two modulations using the IV = I pivot chords is identical, because

the modulations occur in the same sonata and have the same melodic

material in different keys.

The one direct modulation in Table X is fairly complicated. Fol-

lowing a very chromatic progression of diminished seventh chords and

their resolutions, the iii chord in the original key of E major progresses

to #vd 7 with chromatic movement again. The F# of the #v 7

chord
3 3
 117

progresses chromatically downward to F: to form a misspelled

#iv7Gchord in the new key of A major.

Modulation From a Major Key to its Dominant

The relationship of I to V exists between the original and new

keys in only three modulations as indicated in Table XI. All three use

pivot chords, and all involve normal chord progressions.

TABLE XI

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF I TO V

Pivot Chord Modulations Direct Modulations

I= IV 2-D
27-B none

vi = ii 5-G

Modulations from a Major Key to its Submediant

Listed in Table XII are the eleven modulations in which the rela-

tionship between the keys is that of I to vi. Eight of these use a pivot

chord, the most frequently used being I = III or I~7 = III7. In modulations

1-B, 1-D, and 19-B, this pivot chord begins a harmonic sequence. The

pivot chord in modulation 5-E, which is II= IV, deserves some comment

in that the appearance of a major supertonic chord normally suggests a

secondary dominant situation. However, in this instance, the II chord

becomes IV in the new key and progresses to the V chord.

 118

TABLE XII

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF I TO vi

Pivot Chord Modulations Direct Modulations

1-B
1-D 5-C
14-E 27-C
32-E 29-E
17=III7 19-B
4-A
vi1=_I 23-A

II=IV 5-E

Two of the direct modulations in Table XII use similar procedures.

7
In modulations 27-C and 29-E, the final chord in the original key is V

7
and the beginning chord in the new key is V or V . The characteristic

7
chromatic movement occurs between the root of the V in the original

key and the third of the V or V 7 in the new key.

Modulations from Major Keys to Foreign Keys

The following modulations, all listed in Table XIII, are those in

which the original key is major and the new key is foreign in relation to

it. There are six different foreign relationships with no more than two

modulations per relationship. The two modulations having the I to v rela-

tionship and the one modulation having the I to bIII relationship have in

common the use of a pivot chord in which the tonic chord in the original

key is in its minor form, e. g. i = iv.

 119

TABLE XIII

MODULATIONS FROM MAJOR KEYS TO FOREIGN KEYS

Relationship Pivot Chord Modulations Direct Modulations

iv 6 7
6
I to v --------------------- none
i =iv 31-A

I to VI none 14-B

I to bIIi=vi 33-B none

I to by 1 7I-7I117 11-A none

27 -A
I to II none 34-A

#id7 iid7 10-B

I to vii- --------- ~--------~---~----none
#iv d7 #iiid7 22-B
4

The pivot chord used in modulation 11-A, in which a relationship

of I to bVII exists, is I-7 = II7. The IT7 in the new key functions as a

secondary dominant in progressing to V . The two modulations in which

the relationship is I to vii both use diminished seventh chord pivots.

Modulations in which the relationships are I to VI and I to II are

direct. Modulation 34-A is the most unusual of these. The I chord in

the original key of Bb major progresses to #iv t in the new key of

C major with normal resolution of the Italian sixth chord. Chromati-

cism occurs between the fifth of the I chord and the root of the

#iv t chord.

i
 120

Modulations from Minor Keys to Closely Related Keys

Modulations from a Minor Key to its Mediant

The modulations in which the original key is minor and the new

key is closely related to it are discussed next, beginning with modula-

tions in which the two keys have the relationship of i to III. Of these

twenty-eight modulations, listed in Table XIV, twenty-two are accom-

plished by use of a pivot chord. Two of the five different types of pivot

chords are used almost exclusively. The pivot chord iv= ii is used in

ten modulations, once with the seventh added. In nine of these modula-

tions the pivot chord is preceded by some form of the tonic chord in the

original key and progresses to some form of the dominant chord in the

new key. The pivot chord i =vi is used in six modulations and the

major-minor seventh chord form, I -VPI, appears in two modulations.

In a majority of these modulations the pivot chord is preceded by some

form of the dominant chord. There is no consistent method for depar-

ture from the pivot chord. Of the three remaining pivot chords in

Table XIV, the most unusual is vio = #iv? which begins a harmonic

sequence.

Of the six direct modulations in Table XIV, only two, 6-B and

26-C, use the same procedures. In both of these modulations, the final

chord in the original key is i and the beginning chord in the new key is I.

Modulation 34-F is accomplished by a most unusual method. The

 121

TABLE XIV

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF i TO III

Pivot Chord Modulations Direct Modulations

3-B 9-B 1-E

i=vi 7-C 18-B 6-B
8-D 19-C 22-A

17 =V17 15-B 26-C

25-B 32-M
4-B 23-D 34-F
11-C 27-D
iv =i 12-E 29-F
16-B 30-E
21-A

iv 7 =ii7 8-B

#iiid7#i17 28-B
17-E

VI=IV 2-B

vi0
.0 g.
iv 06)I-C
v16 61-C

modulation occurs within a musical passage which is so highly chro-

matic, in the upper voices as well as in the bass line, that a few chords

must be analyzed as non-functional harmony before a chord is reached

which can be analyzed in the new key.

Modulations from a Minor Key to its Subdominant

The relationship of i to iv exists in nine modulations, listed in

Table XV. Six of these modulations are divided equally among three
 122

TABLE XV

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF i TO iv

Pivot Chord Modulations Direct Modulations

13-A 14-F
34-E 17-B
17-C
22-C
1=v 34-D

#...d 7 V.d7 32-H

33-F

different pivot chords. The two modulations usinv the pivot chord i=v

both involve harmonic sequences which begin on the pivot chord. The

only unusual procedure occurs in modulation 33-F which uses a pivot

7
chord of iiid7 =viid . The pivot chord is preceded by a melodic pass

-
7
chord in
age consisting of an alternation between the root E of the V

the original key of A major and its lower neighbor, D#. The pivot chord

itself is stretched out over an entire measure, chord members being

added gradually until the entire chord spelling is accomplished.

In the three direct modulations in Table XV, the original keys all

7
end on i and the new keys all begin on V or V . This progression

merely involves the chromatic alteration of the third of the i chord up

a half-step and perhaps the addition of the minor seventh to the altered

form of the chord.

 123

Modulations from a Minor Ky to its Dominant

In fourteen modulations, listed in Table XVI, the relationship be-

tween the keys is that of i to v. Of the twelve pivot chord modulations,

eight use a i = iv pivot chord. With one exception, this pivot chord is

7 7 In modula-
preceded by V, V 7 or viid and is followed by V or viid .
7

7 The pivot chord

tion 2-A, the pivot chord progresses to #iv G*

TABLE XVI

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF i TO v

Pivot Chord Modulations Direct Modulations

2-A 20-C 24-C

. .v7-B 32-C 33-E
8-H 32-K
15-A 32-L

#.lv d7 =-d7 29-A

=VI'L 30-C

viid7 _#id7 30-D

III =#ivG7 I24-B

III = #iv 7 G looks unusual but in this instance is simply preceded by a

i chord and resolves to V in the new key.

The two direct modulations in Table XVI involve completely dif

-

ferent procedures. Modulation 24-C, in progressing from V in the

original key to i in the new key, entails a simple alteration of a chord

 124

from major to minor. In modulation 33-E, the chromatic alteration of

the root of the i6 chord in the original key up a half-step changes the

spelling to that of a #iv t chord in the new key.

Modulations from a Minor Key to its Submediant

The relationship of i to VI exists in fourteen modulations listed

in Table XVII. Of the eleven pivot chord modulations, seven use a

pivot chord of i = iii. In most of these modulations the pivot chord is

preceded by V, V 7 , or viid 7 and is followed by V 7 in the new key. In

TABLE XVII

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF i TO VI

Pivot Chord Modulations Direct Modulations

10-A 29-D 13-C
. ... 10-C 32-F 23-B
12-C 32-D 26 -A
14-D

I17=1III Z4 -D

bII - IV5-B
5-D

iv=vi 14-H

the two modulations using the iv=vi and I =III pivot chords, that chord

begins a harmonic sequence. The unusual bII=IV pivot chord occurs in

MINImaqvi all IN11111

 125

two modulations in sonata five, which are part of a short but highly

sequential progression of keys.

In the three direct modulations in Table XVII the same procedure

is used. The original keys end on V or V 7 in a half cadence and the

new keys begin on I.

Modulations from a Minor to its Subtonic

The four modulations in which the relationship between the keys

is that of i to VII are displayed in Table XVIII and are all accomplished

by use of a pivot chord. The three modulations us ing the i = ii pivot

TABLE XVIII

MODULATIONS IN WHICH THE RELATIONSHIP BETWEEN

THE ORIGINAL AND NEW KEYS IS THAT OF i TO VII

Pivot Chord Modulations Direct Modulations

5-F
i=ii 31-B none
33-A

# ivd7 = viid7 33-G

chord involve very similar progressions. Modulation 34-G uses a

diminished seventh chord pivot of #ivd7 =viid 7 . In progressing from

the pivot chord, the seventh of that chord descends a half-step, chang-

ing the chord spelling to that of V6 in the new key.

5
 126

Modulations from Minor Keys to Foreign Keys

The following modulations are those in which the original key is

minor and the new key is foreign in relation to it. These are all listed

in Table XIX. The two modulations in which the relationship is i to

#III are both direct and both occur within the development section of

sonata thirty-four. One of these, modulation 34-K, is actually a modu-

lation up a diminished fourth rather than a major third. The procedure

for this modulation involves the progression of all the members of the

TABLE XIX

MODULATIONS FROM MAJOR KEYS TO FOREIGN KEYS

Relationship Pivot Chord Modulations Direct Modulations

34 -H
i to #III none 34-K

io7 - 507 8-1 20-D

i to bvii I9= II9 30-B 32-I

=
Siv6 d 29-B
5

#1 =17- 13-B 17-D

29-C
vd7 14-G 33-D

i to ii ivd7 #d7 17-A

#id7 d7 20-B

V = IV 32-J
 127

V 7 chord in B minor down a half-step to spell the II chord in Ebmajor.

The II chord progresses on to V 7 -I.

The relationship of i to bvii exists in five modulations, three of

7 7
which use a pivot chord. Two of the pivot chords, io = iio and I 9=f19,

both entail an alteration of the tonic chord, and in both instances the

pivot chord progresses to some form of the V chord in the new key.

The third pivot chord is a diminished seventh chord, #ivd 7 = viid7

65
spelled correctly in the new key. One of the two direct modulations in

this group, 32-I, involves a highly chromatic progression. All three

chord members of a 6 chord in the original key progress chromatically

4
to a #iv 7 G chord in the new key.

Of the eight modulations in which the relationship of the two keys

is that of i to ii, five are pivot chord modulations. Four of these use a

diminished seventh chord as pivot and in each instance a different one.

The procedure used in modulation 20-B, in which the pivot chord is

#ivd 7 viid 7 , is very similar to that used in four modulations containing

the key relationship of I to ii. The tonic chord is altered to its major-

minor seventh chord form. The root of the chord is then raised a half-

step to spell #id7 which is the pivot chord, #id7 =viid7.

Modulation 32-J uses a pivot chord of V = IV which is unusual be-

cause of the weakness of the V chord as pivot, especially when its

function changes, in pivoting to a new key, to that of a chord which pro-

gresses to V. The three direct modulations in this group are all accom-

7 9
plished by a progression from some form of the tonic chord to a V , V
,

or viio chord.

Ipill" lop
 CHAPTER V

CONCLUSIONS

In Chapter I of this study, several questions are posed, the

answers to which are discovered in the course of the survey and de-

tailed discussion of the key schemes and modulation techniques in these

thirty-four development sections. One of these questions concerns the

existence of any consistent patterns among the key schemes of these

development sections. It is discovered that there is a basic consistency

throughout these sections in the repeated use of the key scheme pattern

of dominant to submediant to tonic. In fact, this is the only pattern

which represents the key scheme of more than one development section.

It occurs unaltered in seven development sections. Certain intervalic

relationships between keys, such as those of the major second, minor

third, and perfect fifth, are used over and over while others, such as

the minor second and the tritone are rarely used. Also a majority of

modulations are to keys closely related to the tonic of the sonata, to the

first key of the development, and to the original key in a particular

modulation.

There are foreign relationships present in these development sec-

tions although they are in the minority. These relationships appear

even in some of the earlier development sections, but modulations to

128
 129

foreign keys in those sections are usually accomplished by some subtle

technique so that the listener might not even realize that a foreign key

has been reached. For instance, a descending series of chords in first

inversion in modulation 7-A or a highly chromatic sequence used in

modulation 10-B is enough to perhaps capture the listener's attention

away from the key to which modulation is occurring. Also, the foreign

key is sometimes disguised by appearing in a section in which modula-

tion occurs so rapidly that the listener has no time to make a judgment

as to the relationship of that key to the keys around it. An example of

this appears in the development section of sonata fourteen when modu-

lation occurs from D major to the foreign key of B major, but then

modulates almost immediately to C4 minor without any real cadence on

the tonic chord of B major. In the development section of sonata thirty-

two, the portion in Ab minor, which is foreign in relation to Bb minor

that precedes and follows it, is so short that were it not involved in a

rapid and sequential series of modulations, it could possibly be con-

sidered an embellishment to the Bb minor portions.

Perhaps the only truly bold modulations to foreign keys are in the

development section of sonata thirty-four, the last sonata in the series

discussed in this study. There are three instances in which one key

modulates to a new key foreign to it, and in each case the modulation is

accomplished in such a manner that the new key seems strikingly

 130

unexpected. The first of these modulations in this development sec-

tion, 34-A, is the least bold. Modulation occurs through chromatic

use of the Italian sixth chord. Modulation 34-H, however, is surpris-

ingly bold. The key of C minor ends on a half cadence, the V chord

held by a fermata, and the new foreign key of E major begins on its

tonic chord. It is interesting to observe that the final modulation of the

development section in the final sonata discussed in this study is per-

haps the most unusual in respect to key relationship. This modulation

from B minor up a diminished fourth to Eb major is accomplished by

the descending chromatic progression of all members present in a

V 7 chord in B minor to II in Eb major. In moving a whole chord down

a half-step, no attempt is made to disguise the approach to a foreign

key. Haydn seems to change from a purposeful disguising of foreign

keys to actually preparing the listener for it or leaping to it in an effort

to totally surprise the listener.

In answer to the question concerning any consistencies in method

of accomplishing modulation in these development sections, an impor-

tant observation is that a large majority, seventy-three percent, of the

total number of modulations employ some form of pivot chord. Also,

among such modulations using the same kind of pivot chord, the approach

and departure from the pivot chord is the same or similar.

In pivot chord modulations, 50 percent of the pivot chords are

diatonic in both keys and, in addition, contain no seventh or ninth.

 131

In the other 50 percent, either the seventh or ninth is added to the

pivot chord, or the chord is in an altered form in at least one of the

keys. The diminished seventh chord is used as a pivot chord in approxi-

mately 25 percent of the pivot chord modulations.

In approximately 19 percent of the pivot chord modulations, a

harmonic sequence begins on or in the immediate area of the pivot

chord and cadences in the new key. The harmonic sequence with chord

root movement of up a fourth, down a fifth occurs the most frequently,

a total of nine times. In four modulations, a harmonic sequence occurs

in which the chord roots move up a fourth, down a third. Other types

of sequences which occur in these modulations include those with chord

roots moving up chromatically; up a second, down a fourth; down by

thirds; and the series of chords in first inversion.

For each key relationship, e. g. I to ii, which is present in more

than one modulation, an average of three different pivot chords is used.

In the group of modulations in which the relationship between the origi-

nal and new keys is that of i to III, six different pivot chords are used,

this being the largest number of different pivot chords used in any one

group of modulations. In modulations in which the two keys have the

relationship of I to v, only one pivot chord is used for the two modula-

tions in this group, although it occurs once in root position and once in

first inversion.
 132

Among the direct modulations, those using no pivot chord, there

are also consistencies in method within key relation groups. In all

groups which contain at least three direct modulations, at least two of

these end the original key and begin the new key in the same manner.

For instance, in the group of modulations in which the relationship be-

tween the two keys is that of I to vi, there are three direct modulations.

In two of them, the original key ends on V 7 and the new key begins on

V or V 7 . The largest number of nine direct modulations occurs in the

group in which the relationship between the two keys is that of I to ii.

Other questions presented in Chapter I include those concerning

rate of modulation and the predominating key. Observations concern-

ing rate of modulation reveal that the fewer keys in a development sec-

tion the slower the rate of modulation and the more keys the faster the

rate. Also, according to observations made in the study of Table VI,

the predominating key other than tonic in a development is nearly always

a minor key if the tonic key of the sonata is major. Minor keys also are

predominant in development sections of minor sonatas. The largest

percentages of a development section in its predominating key seem to

occur in development sections with fewer keys. The smallest percent-

ages seem to occur in development sections with large numbers of keys.

In final conclusion it can be said of the key schemes and methods

of modulation in the development sections of the thirty-four piano sonatas

discussed here, that Haydn is very consistent in his method, enough to

w f,---jr44 - - 2'46V""4"--F*Ooflol ,,
 133

well establish his style as a composer. However, at the same time

the expected patterns and methods are interspersed with progressions

into foreign or unexpected keys or the use of sometimes surprisingly

unusual techniques for modulating from one key to another, adding

variety and interest to the development sections. This odd combination

of the consistent with the deviation to the unique and often very bold

techniques is expressed quite well by Donald F. Tovey in The Forms of

Music, when he states that ". . . in Haydn we are aware of an expan-

sive freedom which proves, on scrutiny, to have an all-pervading sense

of proportion; . . .I It is quite evident that the key scheme patterns

and modulation techniques of these thirty-four development sections,

written over an approximate thirty-three years, are interesting as well

as important in that they exhibit the growth of Haydn as a composer.

1 Donald
Francis Tovey, The Forms of Music (New York, 1956),
p. 217.
 BIBLIOGRAPHY

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Bairstow, Edward, The Evolution of Musical Form, London, Oxford

University Press, 1943.

Banister, Henry Charles, Lectures on Musical Analysis, London,

G. Bell and Sons, 1887.

Cornell, J. H., The Theory and Practice of Musical Form on the Basis
of Ludwig Bus sler's "Musikalische Formenlehre, " New York,
Schirmer, Inc., 1883.

MacPherson, Stewart, Form in Music, London, Joseph Williams, ltd.,

1930.

Newman, William S.,, The Sonata in the Classic Era, Chapel Hill,
University of North Carolina Press, 1963.

Ottman, Robert W., Advanced Harmony: Theory and Practice, 1st. ed.,
Englewood Cliffs, N. J., Prentice-Hall, Inc., 1961.

Ottman, Robert W., Elementary Harmony: Theory and Practice, 1st

ed., Englewood Cliffs, N. J., Prentice-Hall, Inc., 1961.

Tovey, Donald Francis, The Forms of Music, New York, Meridian

Books, 1956.

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Apel, Willi, "Sonata-form, " Harvard Dictionary of Music, 1st ed.,

Cambridge, Harvard University Press, 1960.

Raynor, H., "Form and Style, " Chesterian, XXVIII (October, 1953),
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Musical Score

Haydn, Franz Joseph, Piano Sonatas (4 volumes), New York, C. F.

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134