10 PRELIMINARIES

EXAMPLE 1.1 Beethoven, Piano Sonata in F Minor, Op. 2/1, i, 1-8

EXAMPLE 1.2 Beethoven, String Quartet in F, Op. 135, iii, 3-10

We can readily identify two motives ("a" and "b") in this When the V* of measures 3-4 resolves to I on the
basic idea. But because Beethoven gives them to us in the downbeat of measure 5, we can characterize the resulting
form of a single gesture, we should thus regard the basic harmonic progression as tonic prolongational. As a general
idea, not the individual motive, as the fundamental building rule, all presentation phrases have tonic harmony at their
block of the theme. Beethoven uses specific compositional basis. This tonic may be extended literally for four mea-
devices later in the theme to highlight more clearly the mo- sures or, more frequently, be expressed by a prolongational
tivic duality of the basic idea. progression featuring neighboring or passing chords. A pre-
The basic idea is repeated in measures 3-4. This repe- sentation is thus defined not only by its melodic-motivic
tition has a number of significant effects, two of which can content but also by its harmonic organization.
be mentioned at this point. First, repeating the basic idea At this point we can observe a third significant effect of
helps the listener learn and remember the principal melodic - repeating a basic idea. Immediate repetition within a pre-
motivic material of the theme. Second, repetition plays an sentation has the result of separating the individual ideas
important role in demarcating the actual boundaries of the from each other. At the end of the phrase, we do not have
idea: although the quarter-note rest at the end of measure 2 the impression that thematic closure (or "cadence") has
suggests that the basic idea has ended, the sense of ending is been achieved. On the contrary, the strongly ongoing qual-
confirmed when we perceive the idea starting over again in ity created by a presentation generates demand for a contin-
measure 3. As a result of repetition, the basic idea has been uation phrase, one that will directly follow, and draw conse-
unequivocally "presented" to the listener, and so we can quences from, the presentation.
speak of this music fulfilling presentation function and label The formal function of continuation has two outstanding
the first four measures a presentation phrase.5 characteristics: fragmentation, a reduction in the size of the
Let us now consider the harmonic context in which the units; and harmonic acceleration, an increase in the rate of
basic idea and its repetition are presented, for the underly- harmonic change. Both characteristics are manifest in this
ing harmony of a passage is an essential criterion of its for- sonata theme.6
mal function. The basic idea expresses the root-position In the presentation phrase, the size of the constituent
tonic of F minor (the home key), and the repetition ex- units (i.e., the basic idea) is two measures. At the beginning
presses the dominant. The basic idea is thus given originally of the continuation phrase, the units are reduced by a half.
in a tonic version, also termed a statement, and the repetition As in the presentation, the immediate repetition of the units
in a dominant version or response; such an arrangement re- helps clarify their size. When we hear the material of mea-
sults in a statement-response repetition of the idea. sure 5 starting over again in measure 6, we realize that the
12 PRELIMINARIES

EXAMPLE 1.3 Mozart, Eine kleine Nachtmusik, K. 525, ii, 1-8

pattern. In the example here, the roots progress by a series organization based largely on such cadential differentiation.
of descending fifths (F, Bb, Eb, Ab, Db). Harmonic sequence If an initial unit ending with a weak cadence is repeated and
is an important characteristic of a continuation. The ongo- brought to a fuller cadential close, then we can say, follow-
ing quality of such a progression—its projection of har- ing traditional usage, that the first unit is an antecedent to
monic mobility—coordinates perfectly with the forward the following consequent. Together, the two functions of an-
impetus to a goal associated with this formal function. tecedent and consequent combine to create the theme-type
At this point we may inquire whether the continuation normally termed period.
phrase of this excerpt brings about an acceleration of har- Like the sentence, the period is normatively an eight-
monic rhythm, another trait of continuation function. The measure structure divided into two four-measure phrases.11
foreground harmonies progress at a fairly consistent rate of Example 1.3, the opening of the slow movement of Mozart's
two chords per measure, hence, no acceleration. But this Eine kleine Nachtmusik, K. 525, illustrates the model period
level of harmonic activity does not necessarily conform to form. Like the presentation of a sentence, the antecedent
our listening experience. The dominant seventh chords phrase of a period begins with a two-measure basic idea.
that prolong the tonic in the basic idea and its repetition The same features of a basic idea discussed in connection
seem not to represent genuine harmonies in their own with the sentence apply to the period as well. Instead of im-
right; thus we perceive a kind of harmonic stasis through- mediately repeating the basic idea, however, measures 3-4
out the presentation phrase.10 In comparison, the sequen- of the antecedent phrase bring a contrasting idea that leads to
tial progression of the continuation phrase brings a palpa- a weak cadence of some kind.
ble sense of harmonic motion and increased activity. We The notion of a "contrasting" idea must be understood
see, therefore, that an analysis of harmonic acceleration in the sense of its being "not-a-repetition." The extent to
can be problematic and requires careful judgment about which a contrasting idea differs from a basic idea may be
the relative structural importance of the constituent chords striking, as in the example here. At other times, however,
in the progressions. the contrast may be minimal. Nevertheless, the idea in
As in the sonata example, the fragmented units of the measures 3-4 of an antecedent phrase must be sufficiently
quartet lead directly into a cadential figure to close the distinct from the basic idea that we do not perceive it to be
theme. Here, however, the perfect authentic cadence cre- a repetition, for if it were, we might very well believe that a
ates a greater sense of closure than does the half cadence of presentation was in the making.
the previous example. It is difficult to generalize about the nature of a contrast-
ing idea, but we can say that it often features characteristics
of continuation function such as fragmentation, an in-
PERIOD creased rate of harmonic change, harmonic sequence, and a
conventionalized melodic formula for the cadence. In
The two themes from Beethoven just examined exemplify Mozart's theme, measures 3-4 (including the upbeat) re-
the principal features of the sentence, although they express veal obvious fragmentation and a degree of harmonic ac-
the main functions of the form in diverse ways. Most funda- celeration.
mentally, the themes differ with respect to their cadential The consequent phrase of the period repeats the ante-
closure. Whereas the sonata theme remains structurally in- cedent but concludes with a stronger cadence. More specif-
complete because of its ending with a half cadence, the ically, the basic idea returns in measures 5—6 and then leads
quartet theme fully completes its essential harmonic and to a contrasting idea, which may or may not be based on
melodic processes by means of a perfect authentic cadence. that of the antecedent.12 In example 1.3, measures 7-8
That formal units can express varying degrees of caden- bring a distinctly different melody for the contrasting idea
tial closure allows for the possibility of creating thematic of the consequent. Most important, of course, the contrast-
14 PRELIMINARIES

EXAMPLE 1.4 Beethoven, Piano Concerto No. 1 in C, Op. 15, ii, 1-18

the second half of measure 11, the harmony is substantially the section (as marked by the half cadence in m. 12) does not
altered, and the passage arrives on dominant harmony for coincide with the conclusion of the broader grouping
the half cadence. Following the cadence, measures 12 — 14 process (end of m. 14), which sees the establishment of an
function as a standing on the dominant, within which the idea, its repetition, and its ultimate fragmentation.18
unit size is fragmented in measures 12 and 13. Since the sentence model is not applicable to an analysis
How can we understand the overall phrase structure of of the B section, we might wish to consider whether the pe-
this B section? If we focus exclusively on the disposition of riod model offers any help instead. In particular, the pres-
its melodic-motivic content, we might be tempted to rec- ence of a half cadence at the end of a four-measure phrase
ognize a sentence form (i.e., a two-measure idea that is re- suggests an antecedent function. This interpretation is not
peated and subsequently fragmented). Such a view, how- convincing, however, because measures 11-12 (with upbeat)
ever, ignores the fundamental harmonic and cadential seem to be more a repetition of the basic idea than a con-
organization of the passage and thus misinterprets its form- trasting idea, as expected by an antecedent phrase.
functional behavior. We can thus conclude that the contrasting middle sec-
First, the opening four measures do not prolong tonic tion acquires a nonconventional form as a result of two
harmony, and thus we cannot speak of a genuine presenta- main features: (1) the initial four-measure phrase is neither
tion phrase. Moreover, the presence of a cadence at the end a genuine presentation nor an antecedent (although it has
of this phrase rules out a presentation, since this function, in elements of both), and (2) the half cadence does not come at
principle, does not end with a cadence. The possibility of a the end of the fragmentation but, rather, precedes it. Both
sentence is further weakened when we recognize that mea- these nonconventional aspects yield a significantly looser
sure 12 brings the only cadential moment in the passage. organization in relation to the more tightly knit periodic
Thus unlike a real sentence, the fragmentation of the basic design of the preceding exposition.
idea follows, rather than precedes, the harmonic-melodic Let us now turn to the A' section (mm. 15-18). In com-
goal. As a result, the conclusion of the harmonic process of parison to the exposition, the recapitulation is significantly
EXAMPLE 1.7 Beethoven, Piano Sonata in F Minor, Op. 2/1, i, 9-20

EXAMPLE 1.8 Beethoven, Piano Sonata in F Minor, Op. 2/1, i, 21-48

18
24 PRELIMINARIES

EXAMPLE 2.1 Prolongational progressions—pedal point

EXAMPLE 2.2 Prolongational progressions—neighboring chords

EXAMPLE 2.3 Prolongational progressions—passing chords

Many harmony texts suggest that the subdominant triad The three varieties of augmented sixth chords—the so-
leads most typically to the dominant. An examination of the called Italian, German, and French sixths—are an impor-
classical literature reveals, however, that the supertonic tant subclass of pre-dominant harmonies. They are usually
triad in first inversion (II6) is the more characteristic pre- built over the sixth degree of the natural minor scale. On
dominant, Both II6 and IV can be enriched through the ad- occasion, however, they are also found over the raised
dition of dissonant sevenths, and even greater variety can be fourth degree, thus revealing their kinship to secondary
gained by means of modal mixture (or modal borrowing), in dominants of V
which chords containing notes from the minor scale are
used in major-mode contexts, or vice versa. The "Neapoli-
tan" or "phrygian" harmony in first inversion (bII6) is an- HARMONIC PROGRESSIONS
other important pre-dominant, especially in minor.
One group of pre-dominants features the chromatically Let us now consider how the functions just described can
raised fourth scale-degree, which functions as the leading- be arranged to make progressions of harmonies. Most pro-
tone of the dominant. The significance of the raised fourth gressions can be classified into one of three categories—
degree is highlighted by its normally being placed in the prolongational, cadential, and sequential. Each category
bass voice, so that its motion to the root of the following pertains to specific roles that progressions can play in the
dominant is all the more enhanced. The most typical pre- pitch organization of a particular musical passage: a prolon-
dominant of this type is the diminished seventh VII7/V; gational progression sustains in time an individual harmony
the less dissonant V6/V and V /V are also regularly en- (within an implied tonality); a cadential progression con-
countered. firms a tonal center; and a sequential progression projects a
 EXAMPLE 2.4 Prolongational progressions —substitute chords

EXAMPLE 2.6 Authentic cadential progressions—dominant

EXAMPLE 2,7 Authentic cadential progressions—pre-dominant embellishment

EXAMPLE 2.8 Authentic cadential progressions—initial tonic embellishment

7.6
 EXAMPLE 2.9 Deceptive cadential progressions

EXAMPLE 2.10 Half-cadential progressions

EXAMPLE 2.II Sequential progressions—descending fifth

28
 EXAMPLE 2.12 Sequential progressions—ascending fifth

EXAMPLE 2.13 Sequential progressions—descending third

EXAMPLE 2.14 Sequential progressions—ascending third

EXAMPLE 2.15 Sequential progressions—descending second

EXAMPLE 2.16 Sequential progressions—ascending second

3°
EXAMPLE 3.12 Haydn, Piano Trio in C, Hob. XV:27, i, 1-12

EXAMPLE 3.13 Beethoven, Piano Sonata in C, Op. 2/3, i, 1-13

44