a study of closure in sonata form

A STUDY OF CLOSURE IN SONATA-FORM FIRST MOVEMENTS IN SELECTED WORKS OF W. A. MOZART

By

ROBERT GORDON BATT

B.Mus., Mc G i l l U n i v e r s i t y , 1974 L.Mus., Mc G i l l U n i v e r s i t y , 1976 M.A., M c G i l l U n i v e r s i t y , 1980

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THE UNIVERSITY OF BRITISH COLUMBIA

October 1988

Robert Gordon Batt, 1988

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Department of Music

The University of British Columbia 1956 Main Mall Vancouver, Canada V6T 1Y3

Date Oct. 14, 1988

Abstract

This study of large-scale closure i n Mozart's sonata-form f i r s t movements

focusses on the structure and function of the c l o s i n g section i n these works,

the section that brings the exposition and r e c a p i t u l a t i o n sections to an end.

Also taken into account are c l o s u r a l e f f e c t s of the coda (when present) and the

subordinate theme area. Because sonata form i n the 18th-century involves a

v a r i e t y of d i f f e r e n t l y - f u n c t i o n i n g sections such as themes and t r a n s i t i o n s ,

the a n a l y t i c a l approach adopted centers on matters of formthe ways i n which

a l l the various channels of musical structure (primarily rhythm, melody, and

harmony) i n t e r a c t to shape a p a r t i c u l a r p i e c e a n d i n p a r t i c u l a r on the form

of the c l o s i n g section. The study i s l i m i t e d to one composer's use of one

section i n one formal type, thereby reaching highly s p e c i f i c conclusions about

t h i s facet of sonata form at a p a r t i c u l a r stage i n music h i s t o r y . Since each

section of sonata form has a d i s t i n c t , unique structure and function, the study

aims at i d e n t i f y i n g these i n the c l o s i n g section, and at contrasting them with

the other sections of the form. If closure i s p r i m a r i l y generated i n the c l o s -

ing section, then there must be p a r t i c u l a r structures found mainly i n that sec-

t i o n that are responsible for closure.

The majority of Mozart's c l o s i n g sections are based on a model which can

be s i m p l i f i e d to aabbcc, where each l e t t e r symbolizes one group. The second,

fourth, and s i x t h entries may be e i t h e r exact repeats or variants of the f i r s t ,

t h i r d , and f i f t h entries r e s p e c t i v e l y . The most common lengths i n measures are

(4 + 4) + (2 + 2) + ( 1 + 1 ) . An example i s the Sonata for V i o l i n and Piano i n

B- f l a t Major, K. 454, mm. 50-65.

Chapter 1 i s primarily a survey of previous wr i t i n g on the subject of

closure. Chapter 2 presents a theory that accounts for structure at various

levels of Mozart's sonata form. Chapters 3 through 6 contain discussion and

analysis of different types of closing sections and movements. Chapter 7

includes a summary of the research undertaken.

i v

Contents

Abstract. i i

L i s t of Tables. v i i i

L i s t of Diagrams. i x

Abbreviations. x i i

Preface. x i i i

1. Closure: An Introduction. 1

2. Concepts, Models, and Features. 34

Level (a): Segments. 40

Motives and Motivic Segments. 41

Grouplets. 43

Cadences. 46

Discussion of A l l Segment Types. 47

Level (b): Phrases, Groups, and Timespans. 49

Phrases. 49

Groups and Timespans. 52

Level ( c ) : Small Sections. 57

Themes. 59

Sentence. 60

Period. 62

Small Ternary. 64

Unique Themes. 66

V

Transitions. 67

Retransitions. 69

Three Types of Closing Music. 70

Codettas and Codetta-Complexes. 70

Closing Sections. 74

Codas. 77

Introductions. 80

Level (d): Large Sections. 81

Expositions. 81

Deve1opment s. 90

Recapitulations. 90

Level (e): Complete Movements. 95

3. The Closing Model. 96

Symphony no. 36. 97

Symphony no. 40. 104


Symphony no. 32. I l l



Eine kleine Nachtmusik. 114

Serenade K. 388. 116

Clarinet Quintet. 116

String Quintet K. 515. 117

String Quintet K. 516. - 120


String Quartet K. 387. 124

v i

S t r i n g Quartet K. 421. 125

Strin g Quartet K. 458. 126




Strin g T r i o . 130

V i o l i n Sonatas K. 304, 377, and 454. 131

Piano Sonatas K. 284, 311, 310, 330, 457, and 533. 132

4. The Closing Codetta. 136


Flu t e Quartet K. 285. 141



Symphonies nos. 32 and 34; Eine k l e i n e Nachtmusik. 159

String Quartets K. 428 and 589; String T r i o K. 563. 160

Piano Sonatas K. 284, 309, 311, 333, 545, and 570. 161

5. The Closing Theme Followed by the Closing Codetta. 166


Str i n g Quartet K. 465. 172

V i o l i n Sonata K. 481. 174

Piano Sonata K. 332. 179


6. Closing Sections Not Based on Models. 183



C l a r i n e t Quintet. 193

v i i

Piano Quartet K. 478. 195

V i o l i n Sonata K. 306. 199


7. Conclusion. 210

Notes to Chapter 2. 219






Glossary. 240

Bibliography. 243

Musical Examples.

1. V i o l i n Sonata K. 454. 247

2. Serenade K. 388. 255

3. Piano Sonata K. 333: Exposition. 264

4. Symphony no. 41: Trio. 266

5. String Quartet K. 464: mm. 1-22. 267

6. Piano Sonata K. 331: mm. 1-18. 267

7. String Quartet K. 465: mm. 90-113. 268

8. Piano Sonata K. 309: mm. 32-58 and 145-155. 269

9. Piano Sonata K. 570: mm. 62-85. 270

10. Piano Sonata K. 457: mm. 57-74 and 151-185. 271

v i i i

Tables

1. Mozart's Works Analysed i n Chapters 3, 4, 5, and 6. 4

2. Levels, Formal Contexts, and Normative Lengths. 38

3. Summary of Thematic Structures. 66

4. Piano Sonata K. 570: Theme/Codetta Paradigm at Level (c). 182

i x

Diagrams

1. One Model of Sonata Form (After Schenker). 28

2. Piano Sonata K. 333: Analysis of measures 4(4) to 10(1). 50

3. V i o l i n Sonata K. 454: Event/Timespan Relationships i n the Exposition. 55

4. Sentence Model of Thematic Structure. 61

5. Period Model of 1 Thematic Structure. 63

6. Small Ternary Model of Thematic Structure. 65

7. Serenade K. 388: Closing Section. 75

8. A Model of Exposition Structure. 82

9. Symphony no. 36: Exposition. 97

10. Symphony no. 36: Exposition Closing Section. 99

11. Symphony no. 36: Expansion i n Closing Section. 101

12. Symphony no. 36: Coda. 103


14. Symphony no. 40: P r i n c i p a l Voices i n mm. 91-95 and 279-287. 108




18. Eine k l e i n e Nachtmusik: Exposition Second-Key Area. 115

19. Eine k l e i n e Nachtmusik: Recapitulation F i n a l Section. 115

20. C l a r i n e t Quintet : Closing Section. 117

21. String Quintet K. 515: Exposition Closing Section. 118

22. String Quintet K. 515: Recapitulation Closing Section. 119



25. Stri n g Quartet K. 387: Exposition Closing Section. 124



28. String Quartet K. 464: Exposition Closing Section. 127



31. String T r i o K. 563: Exposition Closing Section. 131

32. Piano Sonata K. 311: Exposition Closing Section. 133

33. Symphony no. 39: Exposition and Recapitulation Closing Sections. 139

34. Flute Quartet K. 285: Exposition and Recapitulation. 142

35. Stri n g Quintet K. 614: Exposition Dominant-Key Area. 147

36. St r i n g Quintet K. 614: Coda. 149

37. String Quintet K. 614: P i t c h Reduction of Closing Section and Coda. 150

38. Strin g Quartet K. 575: P i t c h Reduction (1). 154

39. Strin g Quartet K. 575: P i t c h Reduction (2). 157


41. Symphony no. 41: Orchestration of Exposition Subordinate Theme and

Closing Section. 170

42. Symphony no. 41: Closing Theme i n Exposition and Development. 171


44. V i o l i n Sonata K. 481: Exposition Subordinate Theme. 174

45. V i o l i n Sonata K. 481: Exposition Closing Section. 175

46. V i o l i n Sonata K. 481: Recapitulation Ending. 176

x i

47. Piano Sonata K. 332: Exposition Closing Section. 180

48. Symphony no. 35: Exposition. 185


50. Piano Quartet K. 478: Exposition. 196

51. V i o l i n Sonata K. 306: Exposition. 200

52. V i o l i n Sonata K. 306: Pit c h and Timespan Reduction of Exposition

Measures 26-74. 202

53. V i o l i n Sonata K. 306: Exposition Closing Section. 204

54. V i o l i n Sonata K. 306: Recapitulation Main Theme (Coda). 206

55. Piano Sonata K. 576: Exposition. 208

56. V i o l i n Concerto K. 216, Third Movement, Closing Section. 216

Abbreviations

Cdta. Codetta.

CS Closing section.

CT Closing theme.

D, Dev. Development.

DC Deceptive cadence.

E, Expo. Exposition.

ECP Expanded cadential progression.

HC Half cadence.

LAC Imperfect authentic cadence.

M. 1(1) Measure one, beat one. MT Main theme.

PAC Perfect authentic cadence.

R, Recap. Recapitulation.

Retr. R e t r a n s i t i o n .

ST Subordinate theme.

TR T r a n s i t i o n .

x i i i

Preface

The reader may f i n d the glossary useful not only i n that i t includes d e f i n i t i o n s of terms such as motive and phrase, but also i n that i t serves as an index f o r many of the terms I use, at least to the extent that i t refer s the reader to f u l l e r d e f i n i t i o n s of those terms. Musical examples are included only f o r chapter 2 (Concepts, Models, and Features): they are c o l l e c t e d together as a unit at the end of the d i s s e r t a t i o n . To read the four chapters dealing with analysis of complete movementschapters 3 through 6 t h e reader w i l l have to obtain copies of the scores of these movements (the table of contents serves as a guide f o r the scores needed f o r each chapter). For e d i t o r i a l and s t y l i s t i c matters I have been guided p r i m a r i l y by the Chicago Manual of Style (1982).

I acknowledge the assistance of my supervisory committee i n preparing t h i s d i s s e r t a t i o n , e s p e c i a l l y that of my research supervisor, Dr. William E. Benjamin, whose many valuable suggestions are only r a r e l y documented i n the text. I also thank Dr. Wallace Berry, not only f o r h i s work on my d i s s e r t a t i o n , but also for permitting me to use h i s o f f i c e during the f i n a l stages of pre-paring the d i s s e r t a t i o n . I also extend my gratitude to my wife, Marie C a h i l l , f o r her assistance i n preparing t h i s f i n a l d r a f t .

1

1

Closure: An Introduction

My primary goal i n t h i s d i s s e r t a t i o n i s the study of large-scale closure

i n Mozart's sonata-form f i r s t movements. To t h i s end I w i l l focus my attention

on the structure and function of the c l o s i n g section i n these works, the section

that normally closes the exposition and r e c a p i t u l a t i o n sections of these move-

ments. Aspects of global closure are often found i n the subordinate theme area

and i n the coda, when the l a t t e r i s present, and these sections w i l l also be

discussed. I tend not to view h i g h - l e v e l closure as the r e s u l t of processes be-

gun early i n the movement, as would, f o r example, the analyst f o r whom a l l mus-

i c a l coherence flows from high l e v e l , piece spanning, structures; instead, I

view closure as a r e l a t i v e l y l o c a l i z e d phenomenon, heard i n the exposition i n a

dissonant t o n a l i t y , then, t o n a l l y resolved, i n the r e c a p i t u l a t i o n . From time to

time, however, other approaches, such as the Schenkerian one, w i l l be invoked

for s p e c i f i c analyses. Summaries of and commentaries on a number of views of

closure, including that of Schenker, w i l l be found l a t e r i n t h i s chapter.

I see t h i s d i s s e r t a t i o n as a con t r i b u t i o n to the h i s t o r y and theory of

sonata form. By "form" I mean, from one point of view, the ways i n which a l l

the various channels of musical s t r u c t u r e p r i m a r i l y rhythm, harmony, and mel-

o d y i n t e r a c t to shape a p a r t i c u l a r piece. However, i n t h i s study I am more

concerned with form i n an h i s t o r i c a l sense, as the c o l l e c t i o n of norms of coor-

2

dinated patterning within these channels c h a r a c t e r i s t i c of p a r t i c u l a r s t y l e s .

From t h i s second point of view, studying form entails, the a p p l i c a t i o n of a

series of d i s c r e t e theories, each pertaining to a more or less narrow repertory

of music; f o r , the larger the repertory, the less s t y l e - s p e c i f i c i s the r e s u l -

tant theory. Most textbooks and theories of form have been written neither from

the f i r s t , nor from the second point of view. (Some i l l u s t r a t i o n s w i l l a r i s e

i n the summaries of other approaches l a t e r i n t h i s chapter.) The standard "Forms

of Tonal Music" textbook reveals l i t t l e about the unique character of s p e c i f i c

pieces because i t normally presents one model f o r each type of musical form,

for example, a model of sonata form a l l e g e d l y used from Haydn to Brahms. For

the same reason, though, i t says l i t t l e about the conventions of p a r t i c u l a r

s t y l e s . By l i m i t i n g my study to one composer's use of one section i n one formal

type, I hope to be able to reach highly s p e c i f i c conclusions about t h i s facet

of sonata form at a p a r t i c u l a r stage i n music h i s t o r y .

Closing sections are defined as those parts of sonata forms which conclude

the exposition and r e c a p i t u l a t i o n sections. An obvious f a c t about c l o s i n g sec-

tions i s that they follow some statement, often thematic, i n the subordinate key

area ( i n Mozart's expositions, always the dominant of a major to n i c , and the r e l -

a t i v e major of a minor t o n i c ) , but one has other i n t u i t i o n s about them as w e l l .

My object here i s to explain the nature and function of c l o s i n g sections. Why

do c l o s i n g sections sound "closing"? Are there c h a r a c t e r i s t i c s of Mozart's

c l o s i n g sections which are fundamental to the closure of most larger tonal

forms? Are there archetypal c l o s i n g section patterns, and what are they? Are

there aspects of e a r l i e r parts of movements which determine or condition features

of these movements' c l o s i n g sections? To what extent do Mozart's c l o s i n g sections

r e l y on common practices of the c l a s s i c period and to what extent are they unique

3

to h i s music?

Research f o r t h i s d i s s e r t a t i o n focussed on analysis of Mozart's i n s t r u -

mental works written i n the l a s t f i f t e e n years of h i s l i f e . Concertos were

omitted because they use a modified type of sonata form. Minor works such as

the church sonatas were also omitted. Only f i r s t movements were analysed,

omitting those few f i r s t movements which are not i n sonata form. (Movements

other than the f i r s t generally use other types of sonata forms and other forms

altogether; i n any case, these w i l l not be considered.) This leaves about a

hundred f i r s t movements, of which I analysed h a l f . Works from almost every

genre were considered. The following w o r k - l i s t includes a l l of the works which

were analysed.

Table 1 was compiled using the same genre c l a s s i f i c a t i o n system as found

i n the New Grove Dictionary. I t i s i n f a c t based on the equivalent table i n

the New Grove a r t i c l e on Mozart, and on the revised version i n Sadie, The New

Grove Mozart. "K" r e f e r s to the number i n Chronologisch-thematisches Verzeichnis

sHmtlicher Tonwerke Wolfgang Amade Mozarts, ed. L. von K8chel ( L e i p z i g , 1862).

"K^" r e f e r s to the number i n the s i x t h e d i t i o n of t h i s catalogue, ed. F. G i e g l i n g ,

A. Weinmann, and G. Sievers (1964). Items are arranged i n each category by

order of K numbers. (In subsequent references to works I w i l l not use both

K and numbers; the K number alone w i l l s u f f i c e . Symphonies w i l l be r e f e r r e d

to by t h e i r Breitkopf e d i t i o n number, as they are best known i n t h i s way.) The

dates of composition are not always c e r t a i n or agreed upon by a u t h o r i t i e s .

From my study of t h i s repertory of Mozart I have formulated a theory that

accounts for structure at various l e v e l s of the sonata form: t h i s theory i s the

subject of chapter 2. My research indicates on the one hand that there are

c e r t a i n recurring patterns and features i n many c l o s i n g sections, and on the

4

Table 1

Mozart's Works Analysed i n Chapters 3, 4, 5, and 6

Genre: t i t l e , etc. K K 6 Key Comp. c s b

Symphonies (10)

Breitkopf ed. no. 31, (Paris) 297 300a D 1778 1

32 318 318 G 1779 1,2

33 319 319 Bb 1779 1

34 338 338 C 1780 1,2

35, (Haffner) 385 385 D 1782 4

36, (Linz) 425 425 C 1783 1

38, (Prague) 504 504 D 1786 4

39 543 543 Eb 1788 2

40 550 550 g 1788 1

41, (Jupiter) 551 551 C 1788 3

Serenades and Divertimentos ( s t r i n g s with or without winds) (1)

Eine k l e i n e Nachtmusik (strings) 525 525 G 1787 1,2

Wind Ensemble (1)

Serenade (2 ob, 2 c l , 2 hn, 2 bsn) 388 384a c 1782-3 1

Chamber: Strings and Winds (2)

F l u t e Quartet ( f l , vn, va, vc) 285 285 D 1777 2

C l a r i n e t Quintet ( c l , 2 vn, va, vc) 581 581 A 1789 1,4

5

Genre: t i t l e , etc. K K 6 Key Comp. cs1

515 515 C 1787 1

516 516 8 1787 1

593 593 D 1790 1

614 614 Eb 1791 2

387 387 G 1782 1

421 417b d 1783 1

428 421b Eb 1783 2

458 458 Bb 1784 1

464 464 A 1785 1

465 465 C 1785 3

499 499 D 1786 1

575 575 D 1789 2

589 589 Bb 1790 2

590 590 F 1790 1

563 563 Eb 1788 1,2

478 478 g 1785 4

Chamber: String Quintets (2 vn, 2 va, vc) (4)'

Chamber: Stri n g Quartets (10)

Opus 10, no. 1 ^

no. 2

no. 4 \ (Haydn

no. 3 Quartets)

no. 5

no. 6 J (Hofmeister)

(Prussian, no. 1)

(Prussian, no. 2)

(Prussian, no. 3)

Chamber: Stri n g Sonatas, Duos, Trio s (1)

Divertimento (vn, va, vc)

Chamber: Keyboard and two or more instruments (1)

Quartet (pf, vn, va, vc)

6

Genre: t i t l e , etc. K K 6 Key Comp. CS b

Chamber: Keyboard and V i o l i n (Sonatas) (5)'

Opus 1, no. 4 304 300c e 1778 1

Opus 1, no. 6 306 3001 D 1778 4

Opus 2, no. 3 377 374e F 1781 1

Opus 7, no. 3 454 454 Bb 1784 1

481 481 Eb 1785 3

rd: Sonatas: Solo Piano (12)

Opus 7, no. 2 284 205b D 1775 1,2

Opus 4, no. 1 309 284b C 1777 2

Opus 4, no. 2 311 284c D 1777 1,2

Opus 4, no. 3 310 300d a 1778 1

Opus 6, no. 1 330 300h C 1781-3 1

Opus 6, no. 3 332 300k F 1781-3 3

Opus 7, no. 1 333 315c Bb 1783-4 2

Opus 11 457 457 c 1784 1,3

533 533 F 1788 1

545 545 C 1788 2

570 570 Bb 1789 2,3

576 576 D 1789 4

Notes: Abbreviations: bsnbassoon, c l c l a r i n e t , f l f l u t e , hnhorn, oboboe, p f p i a n o f o r t e , v n v i o l i n , v a v i o l a , v c c e l l o .

The number a f t e r each genre heading ref e r s to the number of works i n that genre which are analysed here. The t o t a l number of works analysed i s 47, of which 8 are i n the minor mode.

k The f i n a l c o lumn"CS"refers to the c l o s i n g section categories i n th i s d i s s e r t a t i o n . Type 1 i s discussed i n chapter 3, type 2 i n chapter 4, type 3 i n chapter 5, and type 4 i n chapter 6. Some works can be seen i n two ways.

7

other hand that some movements seem to be unique i n t h e i r c l o s i n g processes.

Chapters 3, 4, 5, and 6 contain discussion of these types together with analyses

some i n d e p t h o f representative examples.

The general procedure that I w i l l use to study these movements involves

the i d e n t i f i c a t i o n of, and the formulation of r e l a t i o n s among, the various

features of the music that I have observed as c h a r a c t e r i s t i c of c l o s i n g sections,

i n p a r t i c u l a r those features which are found only i n c l o s i n g sections and which

presumably thereby contribute to the c l o s i n g process. The goal of my a n a l y t i c

methods i s the combination of aspects of t r a d i t i o n a l thematic-motivic analysis

with aspects of more recent theories of rhythm.

The most importantbecause i t i s the most frequently usedmodel of

c l o s i n g sections structure may be b r i e f l y discussed here (for comparison with

d i f f e r e n t views of closure l a t e r i n t h i s chapter). See chapters 2 ( l e v e l [c])

and 3 for more d e t a i l e d discussion of t h i s c l o s i n g model, with examples. Some

of the terms used below w i l l be given s p e c i f i c meanings i n chapter 2 (for ex-

ample, codetta, codetta-complex, group, phrase, period, theme): the reader may

wish to reefer to the d e f i n i t i o n s of these terms i n chapter 2 or i n the glossary.

For the moment, however, the important features of the model to keep i n mind are

r e p e t i t i o n , p a i r i n g , and reduction i n length of groups.

The majority of Mozart's c l o s i n g sections are based on a model which can

be s i m p l i f i e d to aabbcc, where each l e t t e r symbolizes one group. The second,

fourth, and s i x t h entries may be e i t h e r exact repeats or variants of the f i r s t ,

t h i r d , and f i f t h e n tries r e s p e c t i v e l y . (That i s , one might f i n d aa^bbcc,

aa^bb^cc, etc.) Normally a_ i s longer than b_, and b_ i s longer than , the most

common r a t i o being 4:2:1 between a., b_, and , as shown i n the representation

of the model below.

8

(4 + 4) + (2 + 2) + (1 + 1)

a a b b c c

Normally, each group ends with an authentic cadence, or at l e a s t with a tonic

chord. The f i r s t eight b a r s a a a r e often l i k e a simple period. The l a t t e r

s i x bars of the modelbbccbalance the f i r s t eight by functioning as a codetta-

l i k e subsection. These s i x bars are often characterised by fragmentation, elim-

i n a t i o n , and l i q u i d a t i o n of motivic material, thereby cont r i b u t i n g to closure.

A 1- or 2-bar extension of the second i s common. A tonic pedal, or prolonga-

t i o n of tonic harmony with a s e r i e s of simple V-I progressions, i s common i n

the l a t t e r s i x bars of the model. Varying the second group of a p a i r by adding

ornamentation or f a s t e r note v a l u e s e s p e c i a l l y changing eighth-notes to s i x -

t e e n t h - n o t e s i s common. The c l o s i n g model i s a type of codetta-complex; how-

ever, i n those cases where the f i r s t two units (comprising the aa pair) are

phrase-like, forming a simple period, the model takes on the aspect of a theme

followed by a codetta. The c l o s i n g section of example 1 follows t h i s version

of the c l o s i n g model f a i r l y exactly. This c l o s i n g section, i n mm. 50-65, w i l l

be discussed i n some d e t a i l i n chapter 2.

Discussion of a number of views of closure i s useful here i n that a l t e r -

nate approaches to mine w i l l be noted, approaches that d i f f e r e i t h e r because

the author has a d i f f e r e n t a n a l y t i c a l strategy and/or because the music being

analysed requires a d i f f e r e n t approach. In addition, the following summaries

w i l l r a i s e various issues r e l a t e d to closure and a n a l y t i c a l approach, issues

that w i l l receive f u l l e r treatment i n subsequent chapters. Some h i s t o r i c a l

background w i l l also be included here (e.g., LaRue). In some of these summaries

9

I w i l l comment on how the author's approach might or might not apply to Mozart's

sonata-form music and/or oh how h i s approach r e l a t e s to mine; i n other cases I

w i l l merely o f f e r a b r i e f summary of the author's work. Arranging the following

series of summaries according to issues would be d i f f i c u l t , i f only because

several writers deal with more than one issue, and would not lead to a s i g n i f i -

cantly c l e a r e r presentation. Organizing i t c h r o n o l o g i c a l l y would likewise not

lead to a better r e s u l t . Therefore, i f only to aid i n r e f e r r i n g to documentation

of sources i n the bibliography, I have arranged the material a l p h a b e t i c a l l y .

(For the remainder of t h i s chapter I w i l l forego the use of endnotes and place

page references i n the text because they are so frequent. I w i l l also use short

reference forms f o r documentation; a l l publications so c i t e d are r e f e r r e d to

i n f u l l i n the bibliography.)

In "Concepts of closure and Chopin's opus 28," Agawu takes a small reper-

tory and investigates i t with respect to d i f f e r e n t kinds of c l o s u r a l processes.

His study d i f f e r s from mine, however, i n that (1) Chopin's preludes are much

shorter, and are i n a d i f f e r e n t form, than Mozart's sonata-form movements;

(2) Agawu does f i n d a basic model that applies to many of the preludes: whereas

his model applies to the whole of a prelude, mine applies only to the c l o s i n g

section (the preludes are so b r i e f that closure often begins immediately,

unlike sonata-form movements); and (3) he believes that understanding of the

structure of nineteenth-century music i s f a c i l i t a t e d by reference to l i t e r a t u r e

of the period; he s p e c i f i c a l l y uses Smith, Poetic Closure (discussed l a t e r i n

t h i s chapter) i n h i s study, e s p e c i a l l y to formulate hi s d e f i n i t i o n of closure.

Agawu defines closure i n three ways, aspects of which are general enough

to apply to Mozart's sonata-form music:

10

1. Closure i s a function of formal p r i n c i p l e s and/or generic signs. . . . various types of signssome conventional, others a r b i t r a r y a r e used to inform the l i s t e n e r of how or when a piece i s going to end. . . .

2. Closure i s not the same thing as an ending. . . . an ending r e f e r s to l o c a l elements i n a musical structure, whereas closure denotes a global mechanism. . . .

3 . Closure i s a function of both syn t a c t i c and semantic p r i n - c i p l e s . . . . [In t h i s study] references to structure [ i . e . , syntax] always denote the harmonic-structural or melodic-struc-t u r a l aspects of a piece, as d i s t i n c t from i t s ornamental aspects. "Semantic" on the other hand emb races the sense of the musical gesture, the meaning that emerges from the p a r t i c u l a r arrangement of notes. (Pp. 4 - 5 )

Agawu's f i r s t category applies to most music; i n Mozart's sonata-form

music i t applies i n that a f i x e d p a t t e r n t h e c l o s i n g m o d e l i s used i n a f i x e d

formal l o c a t i o n t h e c l o s i n g s e c t i o n t o generate closure. Someone who l i s t e n s

perceptively to a number of these works of Mozart may recognize t h i s p a r t i c u l a r

pattern's function. Agawu's second category i s again a p p l i c a b l e to most music;

i n Mozart's sonata-form music the "global mechanism" would be generated by pro-

cesses taking place i n the c l o s i n g section and also, to a c e r t a i n extent, i n the

second theme (although i t may be possible to see c e r t a i n kinds of c l o s u r a l pro-

cesses i n i t i a t e d even e a r l i e r i n the form). The " s y n t a c t i c " portion of h i s

t h i r d category w i l l form the basis of my approach; h i s "semantic" portion does

not apply to Mozart (although i t i s one of the most i n t e r e s t i n g and o r i g i n a l

aspects of Agawu's study).

There are two important issues i n the a p p l i c a t i o n of h i s " s y n t a c t i c

p r i n c i p l e s " : (1) The analyst must be s e n s i t i v e to the v a r i a t i o n s i n prominence

of the various dimensions or channels of structure: harmony, melody, etc., may

be involved i n closure at d i f f e r e n t points i n a piece; and (2) the analyst must

evaluate the s i g n i f i c a n c e of c l o s u r a l events as l o c a l , intermediate, or global

(p. 6).

11

Several w r i t e r s discuss the idea of archetypal lengths f o r phrases,

sections, etc. For example, i n "A theory of musical meter," Benjamin writes:

The group structures of p a r t i c u l a r tonal s t y l e s , and most e s p e c i a l l y of the c l a s s i c a l s t y l e , must be understood not only to "do" things ( i n a melodic-harmonic sense), but to do them i n a s p e c i f i c number of measures. This " s p e c i f i c number" i s , to some degree, a feature of the i n d i v i d u a l piece or movement, but the idea of a normative span i n which to get things done r e l i e s on awareness of the s t y l i s t i c context as a whole. (P. 392)

My c l o s i n g model i s an instance of such an archetype i n terms of both i t s t o t a l

length and the i n t e r n a l grouping of phrases.

Benjamin o f f e r s an i n t e r e s t i n g explanation of why many c l o s i n g sections

d i f f e r i n t h e i r exposition and r e c a p i t u l a t i o n forms i n a given work:

A p a r t i c u l a r problem of d i s s i p a t i n g the momentum of a context overburdened with metric l e v e l s a r i s e s with the necessity of bringing a movement to a convincing end. This i s why, i n c l a s -s i c a l sonata forms, the r e c a p i t u l a t i o n s are often expanded, i n r e l a t i o n to corresponding expositions, j u s t where they are preparing to end: These expansions o b l i t e r a t e enough l e v e l s of meter to allow a p a r t i c u l a r cadential a r r i v a l to stand out i n a way i n which the corresponding event i n the exposition did not. (Pp. 405-406)

However, i t i s my observation that about as often as not Mozart's c l o s i n g sec-

tions are s i m i l a r i n both exposition and r e c a p i t u l a t i o n forms i n a given work.

This issue w i l l a r i s e i n subsequent chapters.

Berry, i n Form i n Music, distinguishes three types of sonata-form c l o s i n g

sections, based on length and constituent material. (1) "The codetta i s often

a mere f l o u r i s h of cadential chords" (p. 159). He c i t e s a 2-bar example from a

piano sonata by J . C. Bach (p. 159), that I would consider a c l o s i n g codetta as

discussed i n my chapter 4. (2) A more sub s t a n t i a l codetta may include "some

motivic material of the f i r s t group, i n casual, perfunctory references, or i t

may derive from other parts of the exposition" (p. 159). He c i t e s Mozart's

12

Symphony no. 38, f i r s t movement, as an example of a c l o s i n g section based on

f i r s t theme material; t h i s w i l l be discussed i n chapter 6 below.

[(3)] In some examples the second tonal group leads into a d i s -t i n c t i v e new theme of r e l a t i v e l y resigned character and r e s t r i c t e d content, or into a codetta containing such a theme. A thematic e n t i t y of t h i s kind, set apart from the main, body of the second group by a t r a n s i t i o n a l passage (Mozart Sonata i n F, K. 332, m. 71), by decisive cadential punctuation, possibly including r e s t s , or appearing as part of the codetta, i s c a l l e d a c l o s i n g theme. (P. 159)

This t h i r d type corresponds to my " c l o s i n g theme followed by the c l o s i n g codetta"

as discussed i n chapter 5 below.

Berry's ideas of metric progression and recession as discussed i n h i s

S t r u c t u r a l Functions i n Music imply that closure i s characterized by "increased

s t a b i l i t y and longer units . . . recessive e f f e c t i s of d e c e l e r a t i o n , " whereas

metric progression i s c h a r a c t e r i s t i c of "(a) shorter unit and (b) increased i n -

s t a b i l i t y , often s i g n i f i c a n t i n a process of mounting i n t e n s i t y ; progressive

e f f e c t i s of a c c e l e r a t i o n " (p. 378). Berry's approach i s i n c o n f l i c t with my

research to the extent that my c l o s i n g model i s characterized by shorter and

shorter units (which to Berry would s i g n i f y i n s t a b i l i t y ) . However, Berry's

approach does explain the end of the subordinate theme area, which often features

increasing unit s i z e (see Caplin, below, f o r discussion of t h i s ) . And i n a more

recent a r t i c l e Berry appears to r e s t r i c t h i s notion of a c c e l e r a t i o n to develop-

ment sections of sonata forms and such a r e s t r i c t i o n would a l l e v i a t e the c o n f l i c t

between Berry's approach and mine. (See "Rhythmic accelerations i n Beethoven,"

Journal of Music Theory, 22 [1978], 177-178.)

13

Caplin's "The 'expanded cadential progression': a category f o r the

analysis of c l a s s i c a l form" (hereafter r e f e r r e d to as Caplin, ECP), i s p a r t i c -

u l a r l y relevant to my topic because (1) i t deals with a repertory that overlaps

with mine, (2) i t deals with closure of the sonata-form subordinate theme area,

the area d i r e c t l y preceding the c l o s i n g section, (3) i t provides a way of d i s -

t inguishing subordinate theme closure from c l o s i n g section closure, and (4) i t

uses a n a l y t i c a l techniques s i m i l a r to some of those i n my t h e s i s . Although the

a r t i c l e was published only l a s t year, I have had the benefit of studying an

e a r l i e r d r a f t of i t , and have incorporated i n my own work the ECP concept as

an a n a l y t i c a l t o o l . As many readers may not have read Caplin's a r t i c l e , i t may

be useful to explain here the e s s e n t i a l features of the ECP i n a d d i t i o n to a

few other r e l a t e d aspects of Caplin's approach to t h i s music.

Following Ratz and Schoenberg, both of whose approaches are discussed

l a t e r i n t h i s chapter, Caplin considers (as do I) that a theme i s to be seen

"not merely as a melody or c o l l e c t i o n of motives within a given tonal region,

but rather as a complete musical complex that includes a soprano and bass count-

erpoint, a d e f i n i t e harmonic plan, a phrase-structural design, and cadential

closure" (p. 216). The types of themes encountered i n the c l a s s i c a l s t y l e w i l l

be discussed i n chapter 2; f o r now i t may be noted that the subordinate theme

i s d i f f e r e n t i a t e d i n part from the main theme by a looser structure that i s

generated i n one respect by an "expansion of the cadential harmonies at the

close of the theme" (p. 216). Caplin's goal i s to formulate "how such an expan-

sion i s achieved and how i t functions within the context of a complete subor-

dinate theme" (p. 217). In discussing the types of cadential a c t i v i t y i n the

second key area, he notes that

14

a fundamental d i s t i n c t i o n must be drawn between the cadential progression that t r u l y closes the subordinate theme and those harmonies that follow the actual cadence and serve to r e i n f o r c e i t s f i n a l t o n i c . These "nonfunctional" cadence formulas provide the harmonic basis f o r the codettas that constitute the c l o s i n g section of the exposition. . . . The cadence formulas of the codettas are often compressed i n r e l a t i o n to the expanded cad-e n t i a l harmonies that are an i n t e g r a l part of the subordinate theme proper.and that e f f e c t i t s closure. (P. 217) Indeed, the varying degree of cadential expansion and compression within an exposition often proves to be a useful guide for d i s -tinguishing between the subordinate area proper and the c l o s i n g section. (P. 227)

In Caplin's view, then, the expanded cadential progression closes the subordin-

ate theme, with the c l o s i n g section functioning "as a s e r i e s of codettas that

prolong the cadential t o n i c " (p. 253). (See chapter 2, note 28, f o r further

discussion of the ECP.) An issue that w i l l be discussed l a t e r here i s the ex-

tent to which the ECP, i n c l o s i n g the subordinate theme, also closes the e n t i r e

exposition (and r e c a p i t u l a t i o n ) , and that to which, as I would often claim, the

c l o s i n g section plays a d i s t i n c t , e s s e n t i a l r o l e i n providing closure f o r these

large sections. I f i n d that i n Mozart's works the c l o s i n g section may not a l -

ways be merely a "series of codettas," at l e a s t not i n the r e s t r i c t e d sense that

Caplin appears to use the term. (I define "codetta" i n chapter 2; examples of

Caplin's codettas include Beethoven, Piano Sonata i n F Minor, op. 2, no. 1,

f i r s t movement, mm. 41[3]-48, Caplin's example l [ c ] ; and Mozart, Piano Sonata

i n D Major, K. 576, f i r s t movement, mm. 53-58, Caplin's example 2[c], discussed

i n my chapter 6.) The few examples of c l o s i n g sections that Caplin c i t e s are

a l l very short and c l e a r l y do not p a r t i c i p a t e i n large scale closure to any s i g -

n i f i c a n t extent. In a personal communication (July 5, 1988), he writes that he

i s i n c l i n e d toward the view that the c l o s i n g section "does function to create

closure f o r the exposition, at the same [time] as i t functions p o s t - c a d e n t i a l l y

f o r the subordinate theme."

15

In discussing the c l o s i n g section i n Beethoven's Piano Sonata op. 2, no. 1,

f i r s t movement, made up of three s i m i l a r 2-bar codettas, he notes that i t

does not have a true cadential r o l e ; i t does not a r t i c u l a t e thematic closure. That purpose has already been f u l f i l l e d by the genuine cadential phrase [the ECP]. Rather, the codettas function here to d i s s i p a t e the energy b u i l t up by the cadential expansion at the close of the theme. They are c l e a r l y necessary f o r dynamic and rhythmic reasons, but they could have been elim-inated without a f f e c t i n g the fundamental thematic and tonal structure of the exposition. (P. 222)

Many of Mozart's c l o s i n g sections are s i m i l a r i n length, structure, and function

to t h i s one of Beethoven (they are of a type I c a l l the c l o s i n g codetta; see

chapter 4 f o r examples). Caplin subsequently discusses K. 576, which has a

c l o s i n g section s i m i l a r to t h i s one.

Longer c l o s i n g sections, ones normally based on the c l o s i n g model, have

a more s i g n i f i c a n t function than merely d i s s i p a t i n g subordinate theme energy,

and could l i k e l y not be eliminated without a f f e c t i n g the exposition structure.

Davis, "Harmonic rhythm i n Mozart's sonata form," a study s i m i l a r to mine

i n i t s choice of repertory, demonstrates that "Mozart appears to d i s t i n g u i s h var-

ious areas as c l e a r l y by harmonic-rhythmic s t r u c t u r i n g as by other compositional

procedures such as melodic d i f f e r e n t i a t i o n and changes of instrumentation or

t e s s i t u r a " (p. 27). A portion of h i s conclusions regarding exposition c l o s i n g

sections may be quoted:

The K section i s the most s t r o n g l y - a r t i c u l a t e d subdivision of the exposition, and to help the cadential d r i v e , i t usually provides one or more marked accelerations preceding a terminal punctuation of slower harmonic rhythm. The r e s u l t i n g j u x t a p o s i t i o n of f a s t and slow produces a c h a r a c t e r i s t i c harmonic-rhythmic contrast. . . . o s c i l l a t i n g harmonies appear more frequently i n the K sec-t i o n than i n any.of the preceding sections. They are used p r i -marily for a r t i c u l a t i o n , occurring at the beginning and less often at or near the close of a theme or section. To end a K section, Mozart favours sustained harmonies over o s c i l l a t i o n progressions.

16

. . . Through the juxtaposing of a c t i v e and stable areas, most K sections emphasize harmonic-rhythmic contrast over other f e a -tures of design. (P. 33)

Davis gives many i l l u s t r a t i o n s of these points, f o r example, the f i r s t movement

of the Piano Sonata i n F Major, K. 533, mm. 89-102.

Regarding r e c a p i t u l a t i o n c l o s i n g sections, he writes, i n part:

When greater s t a b i l i t y i s required to consummate an e n t i r e move-ment, r e c a p i t u l a t i o n s conclude with further s t a b i l i z i n g additions. Internal changes that occur usually heighten contrast. Thus, as K sections tend to lengthen i n r e c a p i t u l a t i o n s , the elements of a r t i c u l a t i o n tend to increase. (P. 41)

He uses the f i r s t movements of the Symphonies nos. 40 and 41 as i l l u s t r a t i o n s .

Hatmaker's "A theory of timbre i n the l a t e C l a s s i c a l symphony" confirms

my observation that many of Mozart's symphonic f i r s t movements end with t u t t i s ,

t h i s being an aspect of closure:

The " a r r i v a l " function of t u t t i and the phenomenon of timbre dominance gives r i s e to a timbral structure i n the C l a s s i c a l symphony,.the "timbre progression." The timbre progression, which may be defined as a succession of timbre events beginning with a p a r t i a l ensemble and ending with t u t t i , t y p i c a l l y shows a gradual "growth" (successive events increasing i n likeness to t u t t i ) i n the C l a s s i c a l symphony. This tendency of growth toward t u t t i , combined with t u t t i ' s function as a sign of closure, allows me to i n f e r a paradigm of timbre progression . . . that of the p a r t i a l ensemble progressing to t u t t i . (Pp. 3-4)

In general, a f a s t rate of timbre change i s associated with t r a n s i t i o n a l , modulating music and a slower rate with s t a b i l i t y . . . . The ends of many symphonies exemplify the l a t t e r . (P. 31)

Hopkins, i n "Secondary parameters and closure i n the symphonies of Gustav

Mahler," understands closure to be operative at various l e v e l s and i n various

parameters, as does Meyer (see below). (Melody and harmony are Hopkins's primary

parameters, the others secondary. Rhythm i s not a parameter.) Most of h i s

chapter 1, "Closure," i s relevant to my t o p i c , as he here summarizes closure i n

l a t e eighteenth- and early nineteenth-century music. For example, he discusses

17

how d i f f e r e n t parameters can create closure. In the following quotation, from

t h i s chapter, he considers an aspect of closure i n eighteenth-century music

re l a t e d to my c l o s i n g model:

The degree of closure i s also p a r t l y a consequence of i t s length. In general, closure i s stronger when i t i s prolonged. For i n -stance, composers of the c l a s s i c a l period commonly strengthened primary parametric closure at the ends of large sections and movements by extending the chord of r e s o l u t i o n . The extension might be produced by repeating scalar or t r i a d i c p i t c h patterns based on the tonic, r e i t e r a t i n g the tonic harmony one or more times, or simply sustaining the tonic chord. (Pp. 14-15)

Kramer, i n "Beginnings and endings i n Western a r t music," discusses

closure of music i n the common p r a c t i c e period, focussing on t o n a l i t y : "Only

once t o n a l i t y became f u l l y developed was i t possible f o r an e n t i r e composition

to be a r e a l i z a t i o n of a s i n g l e tonal process" (p. 1). Although Kramer does

not discuss d e t a i l s of such processes, he i s l i k e l y r e f e r r i n g to, f o r example,

the o v e r a l l view of a movement provided by a Schenkerian Ursatz.

However, he also discusses a somewhat d i f f e r e n t approach to closure, an

approach based not on an o v e r a l l process but on a h i e r a r c h i c a l arrangement of

cadences:

A strong cadence ends not. only i t s phrase but also several pre-ceding phrases. A phrase group i s created i n t h i s manner. The f i n a l cadence of the piece i s of course the strongest, since i t must bring to a close the e n t i r e work. Thus closure, l i k e ton-a l i t y i t s e l f , i s h i e r a r c h i c a l . (P. 2)

Again, Kramer does not elaborate on the hierarchy of closure. The comparison

of cadential hierarchy with tonal hierarchy does not always apply to Mozart's

works. Although a section such as a theuie may be closed by v i r t u e of i t s f i n a l

cadence being the strongest, i n Mozart's sonata-form movements the strongest

cadence occurs at the end of the subordinate theme ( i . e . , the ECP), with the

18

c l o s i n g section prolonging the f i n a l harmony, perhaps with weaker cadences or

cadence-like progressions. Only i n those movements i n which the ECP i s p a r t i c -

u l a r l y lengthy could one say that i t dominated a l l other cadences i n the whole

movement.

Another way Kramer explains endings i s by reference to convention:

Anything i s possible at the beginning but by the end the nature of the piece dic t a t e s the nature of i t s ending procedures. I t i s these strategies of ending more than the conventionalized last-thing-heard that are suggested by the piece's i n t e r n a l pro-cesses, and thus there are many routes to closure. . . . the prolongation of the f i n a l tonic, on the other hand, i s harmonic-a l l y rather standard . . . ; the actual c l o s i n g gesture i s often a stock convention, loosely linked or a c t u a l l y unrelated to the processes or materials of the composition. (P. 3)

Kramer's discussion here i s not s t y l e - s p e c i f i c and i s thus rather general.

If anything, i t applies more to romantic period music, i n which, f o r example,

almost anything can happen at the beginning of a work, unlike i n c l a s s i c music.

Kramer's "many routes to closure" would not apply to Mozart's sonata-form music,

as most of t h i s repertory i s conventionalized at le a s t with respect to o v e r a l l

harmonic motion and form. However, the c l o s i n g section i s perhaps more often

made of "stock conventions" than i s the preceding subordinate theme area, with

the exception of the ECP. Furthermore, the c l o s i n g section i s i n fac t often

comprised of material "loosely linked or a c t u a l l y unrelated" to e a r l i e r sections.

F i n a l l y , Kramer also contrasts two explanations of endings, context and

formula: (1) "An ending can be defined as the place at the close of the piece

where a l l of i t s tensions have been resolved" (p. 6). In terms of my repertory,

the c l o s i n g section i s i n th i s view the lo c a t i o n of tonic s t a b i l i t y , and melodic

and rhythmic l i q u i d a t i o n . (2) "An ending can also be defined by the actual

shape or p r o f i l e of the f i n a l soundsa thing (or product) rather than a pro-

cess" (p. 6). In Mozart, the c l o s i n g section, from t h i s standpoint, i s a con-

19

ventionalized form, usually an instance of the c l o s i n g model, and i t follows

the conventionalized ECP.

LaRue's study of the eighteenth-century symphony (New Grove Dictionary,

"Symphony: I " ) , includes discussion of the development of s p e c i f i c s t y l i s t i c

features that apply to most of c l a s s i c period music. "To understand Classicism

there i s no better exercise than to follow the long evolution of the 18th-century

symphony" (p. 438).

No mere c o l l e c t i o n of t r a i t s . . . can generate the f u l l character of Classicism, which r e s u l t s not from i n d i v i d u a l processes but rather from a higher c o n t r o l , or c o n c i n n i c i t y , a s k i l f u l and elegant arrangement and adjustment of the various elements. Once t h i s c e n t r a l technique became current, composers could perfect various other c h a r a c t e r i s t i c s that d i s t i n g u i s h a C l a s s i c a l sym-phony, notably a hierarchy of punctuation necessary to c l a r i f y more complicated phrase, sentence and paragraph structures; and a d i f f e r e n t i a t i o n and l a t e r s p e c i a l i z a t i o n of sections (primary, t r a n s i t i o n a l , secondary and c l o s i n g ) . . . . The C l a s s i c a l s t y l e signals the contrast between primary and secondary groups not merely from changes i n melody but also from changes i n dynamics, texture, rhythm (both chord and surface) and phrase u n i t . (P. 440)

The "hierarchy of punctuation," the " d i f f e r e n t i a t i o n and s p e c i a l i z a t i o n of sec-

t i o n s , " and the "changes i n phrase u n i t " are a l l c e n t r a l features of the develop-

ment of sonata form (about which LaRue i s e s s e n t i a l l y w r i t i n g ) , and are also cen-

t r a l to my study of closure i n that closure i s centered i n a s p e c i a l i z e d section

having i t s own types of punctuation and phrase u n i t s .

In LaRue's summaries of the s t y l e s of i n d i v i d u a l composers there are a

number of references to c l o s i n g processes. The Viennese J . B. Vanhal (1739-1813)

has "a kinship to Mozart i n the use of gentle, retrospective c l o s i n g themes that

i n t e r p o l a t e a moment of quiet before the f i n a l trumpets" (p. 444). J . W. A.

Stamitz (1717-1757) developed "a w e l l - d i f f e r e n t i a t e d exposition" and an extensive

development section, but did not include the primary material i n the recapitula-:

20

t i o n :

S t r u c t u r a l l y , the secondary and c l o s i n g sections by themselves cannot s t a b i l i z e the tonic s u f f i c i e n t l y to balance the f o r c e f u l Mannheim exposition and development. A r e c a p i t u l a t i o n of only the secondary and c l o s i n g material may produce too abrupt a conclusion. (P. 445)

Stamitz and other Mannheim composers sometimes recognized t h i s and added f u r -

ther material to the r e c a p i t u l a t i o n . A r e c a p i t u l a t i o n based more c l o s e l y on

the exposition of course followed l a t e r i n the century. In the areas of s t r u c -

ture and orchestration "Mozart evidently learnt a good deal from Mannheim"

(p. 446).

One of the best of the second generation of Mannheim composers was Ernst

Eichner (1740-1777):

He attained a p a r t i c u l a r l y advanced thematic d i f f e r e n t i a t i o n that not only contrasted secondary sections but also i n d i v i d u a l i z e d the material of t r a n s i t i o n s and c l o s i n g sections; at the same time he was able to embed these ideas i n sentences and paragraphs with strong d i r e c t i o n a l flow. (P. 446)

One of the best composers i n London was J . C. Bach (1735-1782), a composer

who also had a s i g n i f i c a n t influence on Mozart:

His combination of imagination and t e c h n i c a l mastery made possible a wide v a r i e t y and subtle gradation of thematic ideas, which he then distinguished according to expositional functions: even out of context h i s themes sound l i k e primary, t r a n s i t i o n a l , secondary or c l o s i n g material. (P. 448)

In summarizing Mozart's s t y l e , LaRue comments on the importance of surface

rhythm to structure:

He commanded a remarkable rhythmic vocabulary, which may also be a by-product of a larger colour contrast, as part of Mozart's strong c h a r a c t e r i z a t i o n of s t r u c t u r a l areas by the c r e a t i o n of s p e c i a l thematic types; one can usually recognize the precise e x p o s i t i o n a l function of a Mozart theme even when it- i s taken out of i t s context. (P. 450)

2-1

LaRue discusses a p a r t i c u l a r type of expanded c l o s i n g section charact-

e r i s t i c of Mozart's mature symphonies:

Between the usual cadential themes he introduced a piano penul- timo: a quiet, r e f l e c t i v e theme that enhances the b r i l l i a n c e of the f i n a l cadential trumpeting. This heightened contrast i n the c l o s i n g area lends a s p e c i a l conviction and d e f i n i t e repose to Mozart's conclusions, noticeable i n embryo as early as K134. (P. 452)

In h i s discussion of sonata form i n The Rhythms of Tonal Music, Lester

takes a frequently-seen p o s i t i o n :

Each passage i n a sonata-form movement has i t s own r o l e to play i n the o v e r a l l form and, therefore, i t s own i n t e r n a l structure. The themes that announce each of the key areas i n the exposition, f o r instance, are more often than not presented i n d i s c r e t e phrases, as opposed to t r a n s i t i o n a l , conclusive, or developmental passages that feature more continuous music and e l i d i n g phrases. (P. 229)

The d i s t i n c t i o n between two types of phrase structure i s useful and w i l l form

part of my a n a l y t i c a l approach i n chapter 2 below.

Lester devotes most of h i s consideration of sonata form to the "second

theme group" (by which he means a l l the material i n the second key within the

exposition), because he believes t h i s area has a structure that can be general-

ized more than any other. This section

must e s t a b l i s h the new key area, yet must hold o f f a conclusive a r r i v a l on the tonic of the new key as long as p o s s i b l e . For when the second theme group recurs i n the r e c a p i t u l a t i o n , i t generally follows music i n the tonic key (the f i r s t theme group). Premature closure would make the remainder of the r e c a p i t u l a t i o n sound l i k e a perfunctory tag.

In order to f u l f i l l these r o l e s , second theme groups, whatever t h e i r length or the number of themes, tend to begin with phrases or a period with extensions or e l i s i o n s delaying the cadence of the consequent phrase. Later i n the second theme group i s usually a series of ever-shorter cadential phrases, each e l i d i n g with the next. The opening phrases e s t a b l i s h the new key without neces-s a r i l y cadencing i n i t conclusively; the l a t e r e l i s i o n s and r e i t -erated cadences project the f i n a l i t y of the section but hold o f f the f i n a l r e s o l u t i o n u n t i l the end. (Pp. 229-230)

22

This i s a good general d e s c r i p t i o n that applies i n large measure to Mozart's

sonata forms (a d e s c r i p t i o n p a r t i a l l y amplified i n Caplin's ECP, as noted above).

Lester's "ever-shorter cadential phrases" correspond to my model of c l o s i n g sec-

t i o n structure. He l a t e r r e f e r s to t h i s again i n context of a s p e c i f i c analysis

(Beethoven's Piano Sonata op. 14, no. 2, f i r s t movement), where the c l o s i n g

section i s "cast i n short, r e p e t i t i v e phrasing u n i t s " (p. 232). Note Lester's

c a r e f u l use of the term "phrasing u n i t , " as opposed to "phrase," to d i s t i n g u i s h

the material here. He also uses the f i r s t movements of Mozart's Piano Sonata

K. 545 and S t r i n g Quintet K. 515 to i l l u s t r a t e h i s approach to second theme

groups (pp. 233-235).

In discussing r e c a p i t u l a t i o n s , Lester notes that whereas f i r s t theme

groups are often rewritten, "second theme groups maintain the structure described

e a r l i e r " (p. 240). Further references to Lester's book w i l l a r i s e i n chapter 2

i n discussion of timespans and c l o s i n g sections.

Several writers discuss the view that pieces of music never come to an

absolute conclusion, that they are pieces of something bigger, i . e . , of music.

For example, i n Musical Morphology, Leverie and Levy write: "By nature, musical

flow i s continuous, i n d e f i n i t e . The end of a piece i s never quite free of a

c e r t a i n a r b i t r a r i n e s s " (p. 198). Regarding the ending of tonal music, they

write, for example:

In the terminal cadences of the high period of t r i a d i c t o n a l i t y , the energetic character, the f o r c e f u l dynamics, and the i n s i s t e n t r e i t e r a t i o n s that often form a chain are a l l means aimed at r e -ducing the generative power of the perfect t r i a d , i s o l a t i n g the "piece" from the i n d e f i n i t e , and affirming the end of the move-ment. Metric r e g u l a r i t i e s contribute. (Pp. 140-141)

Their " i n s i s t e n t r e i t e r a t i o n s that often form a chain" and "metric r e g u l a r i t i e s "

23

are supportive of features of my c l o s i n g model.

In "Texture as a sign i n C l a s s i c and early Romantic music," Levy des-

cribes a number of conventionalized t e x t u r a l signs, one of which i s the unison

(including octave doublings). Unisons are frequently used "as a u x i l i a r y signs

of close. . . . The e f f e c t may be one of d i s s o l u t i o n " (p. 519). The unison i s

also often used to " s i g n a l the close of the exposition" (p. 519). Among her

examples are a number by Mozart.

Lorince, i n "A study of musical texture i n r e l a t i o n to sonata-form as

evidenced i n selected keyboard sonatas from C. P. E. Bach through Beethoven,"

finds that Mozart distinguishes sections of sonata-form movements by t e x t u r a l

means ( i n a d d i t i o n to other means such as key). He finds Mozart's c l o s i n g

sections "characterized by simpler t e x t u r a l s e t t i n g s . . . . Sixteenth-note scale

passages with a wide melodic range are t y p i c a l as are short repeated passages

emphasizing contrast" (pp. 283-284). He considers a v a r i e t y of factors i n the

area of texture, such as contour, register,, dynamics, and v e r t i c a l span (or

range). For instance, he finds that the widest v e r t i c a l span i n Mozart's works

occurs i n the c l o s i n g section (pp. 289-290).

In Emotion and Meaning i n Music, Meyer suggests that closure i s p a r t i a l l y

dependent on the l i s t e n e r ' s knowledge of when a melody w i l l close (pp. 78-79,

138). In other words, i f a l i s t e n e r hears a cue f o r the beginning of a standard

c l o s i n g process, then that c l o s i n g process w i l l be more s a t i s f y i n g than one i n

which the l i s t e n e r was unaware that i t was a c l o s i n g process.

24

Most of Meyer's chapter 4, " P r i n c i p l e s of pattern perception: completion

and closure," i s relevant to the topic of t h i s d i s s e r t a t i o n . For example, he

suggests that form ("shape and pattern") i s the cause of both continuity and

closure (p. 130). In discussing s a t u r a t i o n a process r e s u l t i n g from r e p e t i t i o n ,

leading to the expectation of changehe notes that the expectation may be d i f -

ferent according to the formal context:

A repeated pattern at the end of a work need not give r i s e to saturation, since at t h i s point the l i s t e n e r understands . . . the s i g n i f i c a n c e of the r e p e t i t i o n : That i s , because t h i s i s the end of the piece, lack of forward motion, a composed fermata, i s expected and d e s i r a b l e . Thus the law of saturation i s c o n d i t i o n a l : In a s i t u a t i o n where r e p e t i t i o n i s not normal and understandable, the longer a pattern or process p e r s i s t s , the stronger the expec-t a t i o n of change. (P. 136)

This i s p a r t i c u l a r l y relevant to my d i s s e r t a t i o n because the c l o s i n g model i s

composed of a series of repeated u n i t s . (Meyer's "s a t u r a t i o n " applies to the

thematic sections of Mozart's sonata form, i n p a r t i c u l a r to the sentence model

discussed i n chapter 2 below.) Further support for my c l o s i n g model i s found

i n Meyer's discussion of the law of return:

The law of return appears to operate most e f f e c t i v e l y where the given sound term i s l e f t incomplete. Since the sound term i s a Gestalt which sets up forces toward a p a r t i c u l a r kind of closure, the only way i t can be closed i s by repeating i t with a new and more f i n a l ending. (P. 153)

Many examples of the c l o s i n g model incorporate such a process, often i n which

repeated units are paired, the second of which i s more closed than the f i r s t i n

the manner of a simple period. The r e p e t i t i o n i n c l o s i n g sections i s often very

exact; t h i s i s supported by Meyer's statement that "the more closed a sound term

i s , the more i t s recurrence i s l i k e l y to be exact or almost exact" (p. 153).

25

In Explaining Music, Meyer considers closure throughout the music at

various l e v e l s .

C l o s u r e t h e a r r i v a l at r e l a t i v e s t a b i l i t y i s a r e s u l t of the a c t i o n and i n t e r a c t i o n among the several parameters of music. Because melody, rhythm, harmony, texture, timbre, and dynamics are r e l a t i v e l y independent v a r i a b l e s , some may act to create closure at a p a r t i c u l a r point i n a work, while others are mobile and on-going. (P. 81) The structure of a composition i s something which we i n f e r from the hierarchy of closures which i t presents. . . . The end of a movement i s . . . the point at which a l l parameters move con-gruently to create the s t a b i l i t y of closure. (P. 89)

Meyer's general approach to analysis of tonal melodythe i m p l i c a t i o n -

r e a l i z a t i o n model discussed at length i n Explaining Musicwould lead him to

categorize c l o s i n g sections as normally lacking i n melodic imp l i c a t i o n s . In

his analysis of the S t r i n g Quartet i n D Major, K. 575, second movement, f o r ex-

ample, he considers the c l o s i n g section, or coda (mm. 61-73), as an extension

of the repeat of the main theme: "Since the extension i s e s s e n t i a l l y a melodic

prolongation of the t o n i c , A, moving through three octaves, no i m p l i c a t i v e r e l -

ationships are generated" (pp. 233-235). This c l o s i n g section i s s i m i l a r to

my c l o s i n g model.

Ratz, EinfUhrung i n die musikalische Formenlehre, i s p r i m a r i l y a study

of eighteenth-century instrumental music. Ratz bases his approach to c l a s s i c a l

period music, and on Beethoven i n p a r t i c u l a r , on the a n a l y t i c a l p r i n c i p l e , seen

elsewhere, of d i f f e r e n t l y - f u n c t i o n i n g sections. His two p r i n c i p l e s of formal

organization are "(1) t i g h t k n i t organization, which includes the main theme and

to a c e r t a i n extent the codettas, and (2) loose organization, which includes the

subordinate theme, t r a n s i t i o n , r e t r a n s i t i o n , [and] development" (p. 21 i n the

German o r i g i n a l ; a l l t r a n s l a t i o n s are done by Professor William E. Caplin of

M c G i l l U n i v e r s i t y ) . Although Ratz includes the subordinate theme i n h i s cate-

26

gory of loose organization, i t i s not as loose as the other sections included

i n t h i s category. In my study I am categorizing both themes as r e l a t i v e l y

t i g h t k n i t , at l e a s t i n comparison with other sections.

Ratz describes the c l o s i n g section i n t h i s way:

Codettas (Closing Section). The essence of the codettas con-s i s t s i n motivic l i q u i d a t i o n and i n cadential formations that are made incr e a s i n g l y c l o s e r u n t i l f i n a l l y nothing more than the I degree remains: e.g., (2x4) + (2x2) + (2x1) + (2xi) + 1. (P. 30)

The "motivic l i q u i d a t i o n , " the " i n c r e a s i n g l y cl o s e r cadential formations," the

p a i r i n g of s i m i l a r u n i t s , and the reduction i n unit length from four bars to

two to one to one-half are a l l features very c l o s e l y r e l a t e d to my c l o s i n g model.

In The C l a s s i c a l S t y l e , Rosen considers at some length the issue of the

c l a s s i c a l composers' use of t o n a l i t y to generate large-scale dissonance i n son-

ata form (e.g., pp. 68-71). The use of contrasting keys i n the second h a l f of

the exposition, and i n the development, had i t s repercussions elsewhere i n the

form: "The s t a b i l i t y and c l a r i t y of the opening and c l o s i n g pages of a c l a s s i c a l

sonata are e s s e n t i a l to i t s form, and they make the increased tension of the

middle sections p o s s i b l e " (p. 70). One reason, then, f o r the use of a c l o s i n g

section was to assure tonal s t a b i l i t y f o r the form. This feature of c l o s i n g

sections, shared with the f i r s t theme, i s somewhat s i m i l a r to Ratz's requirement

of tonal s t a b i l i t y (at l e a s t i n the sense of not modulating) f o r the t i g h t k n i t

construction of the main theme and the codettas.

Much of Rosen's Sonata Forms i s relevant to t h i s d i s s e r t a t i o n , e s p e c i a l l y

i n that Rosen concentrates on eighteenth-century sonata forms and analyses many

of the same works considered here (e.g., the Symphony i n D Major, no. 38,

pp. 194-217). Rosen considers the usual exposition model, " F i r s t Group, Bridge

27

Passage, Second Group, and Concluding Theme," to be "rare i n the eighteenth

century, as the move to the dominant i s often i n i t i a t e d without a break from

the statement or counterstatement [of the F i r s t Group], and the concluding

theme may be a b r i e f appendage to the second group: i n t h i s case, we have a

two-part exposition" (p. 98). While some of Mozart's shorter expositions may

be analysed as b i p a r t i t e , I f i n d that many others can be seen s u c c e s s f u l l y as

based on the four-section model. (I w i l l not use the same terms as Rosen has;

f o r example, he uses "theme" i n a more general way than I do, and I prefer

" c l o s i n g s e c t i o n " to "Closing Theme".)

Like some other w r i t e r s , such as Ratz and Schoenberg, Rosen discusses

d i f f e r e n t l y - f u n c t i o n i n g elements and how they contribute to the form,, although

he does so i n a d i f f e r e n t way from them:

In the sonata form, the meaning of a phrase depended on i t s place i n the.work as a whole, on i t s p o s i t i o n i n the general movement from p o l a r i z a t i o n [of keys] to r e s o l u t i o n . The forms, therefore, demanded c l e a r l y separable elements whose a l t e r e d functions could be c l e a r l y recognized as they appeared at d i f f e r e n t points of the work. (P. 194)

This i s c e r t a i n l y an approach I agree with, as I hope to demonstrate that what

happens i n a c l o s i n g section i s d i f f e r e n t from what happens elsewhere i n the work.

Rosen's chapter on "Exposition" i s quite u s e f u l , as he summarizes a number

of ways that t h i s section i s organized, many of the ways being used by Mozart.

Although Schenker does not discuss the structure or function of c l o s i n g

sections, or closure i n general, h i s theory as i t applies to these matters can

be surmised from h i s approach to sonata-form analysis as found i n Free Composi-

t i o n (primarily chapter 5, section 3, paragraphs 311-316). The governing p r i n -

c i p l e f o r the analysis of a l l sonata forms i s the i n t e r r u p t i o n . "Only the

prolongation of a d i v i s i o n (interruption) gives r i s e to sonata form" (p. 134).

28

Diagram 1

One Model of Sonata Form (af t e r Schenker)

7 7^=;: r 1 ' ' : ~k>-j H --if*J-^

Exposition Development Recapitulat

" ^ v 1 J ion

- Q r f < J - Q * f V V

The two types of i n t e r r u p t i o n found i n sonata form are those where the fundamen-

t a l l i n e begins with scale degrees 3 and 5. Diagram 1 i s based on fig u r e 23 from

Free Composition, and i l l u s t r a t e s the f i r s t type. (The second type i s s i m i l a r

except that the fundamental l i n e begins on S\ returning there at the s t a r t of

the r e c a p i t u l a t i o n ; i n the minor mode the s i t u a t i o n changes i n that I I I or v i s

used instead of V, and the f i r s t ^ a r r i v e s only at the end of the development;

see figures 24 to 26 i n Free Composition.)

I am not i n a p o s i t i o n to state whether a l l of Mozart's sonata-form move-

ments can be analysed using t h i s and Schenker's other models f o r sonata form,

although c e r t a i n l y many could be. The modulatory scheme at l e a s t f i t s a l l of

Mozart's sonata-form expositions, the prolongation of the dominant harmony begin-

ning e i t h e r during the t r a n s i t i o n or at the s t a r t of the second theme, depending

on the p a r t i c u l a r movement. The development section of most of Mozart's sonata-

form movments can be seen as dominant prolongations, the r e c a p i t u l a t i o n s as a

return to the tonic along with a subsequent tonic prolongation.

The Schenkerian view of the c l o s i n g section, both i n the exposition and

r e c a p i t u l a t i o n , i s that i t has no fundamental l i n e motion; instead, i t prolongs

29

one or more already established tones and harmonies ( i n the major mode, the A . . A . background 2 and V i n the exposition, 1 and I i n the r e c a p i t u l a t i o n ) . In the

exposition, the 2 i s prolonged by means of a f i f t h - p r o g r e s s i o n descending from

i t , descending e i t h e r before or during the c l o s i n g section. (For examples, see

Free Composition, f i g u r e 154, 1: Mozart, Piano Sonata i n C Major, K. 279, f i r s t

movement; and f i g u r e 47,2: Beethoven, Piano Sonata i n G Major, op. 14, no. 2,

f i r s t movement.)

Schoenberg's Fundamentals of Musical Composition contains much that i s

re l a t e d to my a n a l y t i c a l approach. The emphasis on formal a n a l y s i s , the d i s t i n c -

t i o n between primary and secondary sections, the focus on c l a s s i c a l period music,

and the use of the terms period and sentence f o r thematic types are a l l s i m i l a r

to my approach. He categorizes the sonata-form c l o s i n g section as often being

a "group of codettas," sometimes based on the main theme ("adapted to cadential

harmonies") (pp. 202, 204). His use of the term "codetta" i s s i m i l a r to mine

(his "group of codettas" i s what I w i l l c a l l a "codetta-complex").

Codettas are p r i m a r i l y cadences. They serve as reaffirmations of the ending of a sec t i o n . Harmonically, they may consist of the most rudimentary cadence, V-I; or they may be highly complex. M o t i v a l l y , they may range from simple r e p e t i t i o n s of small e l e -ments to rather independent formulations.1 . . .

^-Usually, i f more than one codetta appears, the l a t e r ones are shortened, often i n the manner of a l i q u i d a t i o n . (P. 155)

The technique of l i q u i d a t i o n . . . [involves] gradually depriv-ing the motive-forms of t h e i r c h a r a c t e r i s t i c features and d i s s o l -ving them into u n c h a r a c t e r i s t i c forms, such as scales, broken chords, etc. (P. 152)

As suggested by the above quotations, a common c l o s u r a l technique i s l i q u -

i d a t i o n , the purpose of which i s "to counteract the tendency toward unlimited

extension" (p. 58). Such a technique could be used to end a phrase or a section.

Supporting my view of Mozart's c l o s i n g sections i s Schoenberg's statement that

30

"the l i q u i d a t i o n i s generally supported by a shortening of the phrase" (p. 58).

And c l o s i n g sections often feature "scales, broken chords, e t c . "

Smith's Poetic Closure has been re f e r r e d to by several of the authors

c i t e d i n t h i s chapter; f o r example, Meyer and Agawu have both c i t e d Smith's

book as an influence on t h e i r own work. However, I have not used i t much i n

my d i s s e r t a t i o n : nevertheless, i t may be mentioned here because other writers

on music have found some i n s p i r a t i o n i n i t , because Smith makes various compar-

isons between music and poetic closure, and because, as one of the few thorough

studies of closure i n any a r t form i t may be of some i n t e r e s t to readers study-

ing the subject of closure.

For Smith, "the sense of closure i s a function of the perception of

structure" (p. 4). One of her analogies with music i s concerned with explaining

the dual nature of poetic structure:

The p r i n c i p l e s of poetic and musical structure are comparable i n -sofar as both forms of a r t produce experiences which occur over a period of time and are continuously modified by successive events. Because language, however, has semantic or symbolic as well as physical properties, poetic structure i s considerably more complex. A sonata consists only of an organization of sounds, but a sonnet consists of an organization of symbols as w e l l . (Pp. 4-5)

Musical structure i s thus analogous to formal structure i n poetry, the l a t t e r

defined as "the systematic r e p e t i t i o n or patterning of various elements" (p. 6).

Missing from musical structure i s an analogy to thematic structure i n poetry, a

structure including "everything from reference to syntax to tone" (p. 6). (Many

the o r i s t s would l i k e l y disagree with her r e s t r i c t i v e view of musical meaning.)

One reason I have avoided reference to Smith's study i s that there i s

t h i s basic d i f f e r e n c e i n structure between poetry and music. However, f o r an

attempt to apply her approach to music, see Agawu's a r t i c l e , as discussed above.

31

Smyth's d i s s e r t a t i o n "Codas i n c l a s s i c a l form: aspects of large-scale

rhythm and pattern completion" i s e s p e c i a l l y relevant to my study, as he inves-

tigates a s i m i l a r repertory to mine (including works of Haydn, Mozart, and

Beethoven, and a l l movements of works, but not including works other than

piano sonatas, s t r i n g quartets, and symphonies), and because he studies closure

i n general, not j u s t codas, i n these works. In his chapter 2 he summarizes a

number of previous studies dealing with closure and codas. One of these, which

I have not seen, i s a d i s s e r t a t i o n by Bohdan J . Kuschnir, "Zur Frtlhgeschichte

des Kodaprinzips," (Erlangen, 1947); Smyth comments on one f i n d i n g of t h i s

d i s s e r t a t i o n worth noting here:

With the r i s e of instrumental music during the baroque period, c e r t a i n c l o s u r a l techniques were c a r r i e d over from e a r l i e r p r a c t i c e . One was "echo-technique": r e p e t i t i o n i n v o l v i n g dynamic contrast a r t i c u l a t e s p a i r s of segments which constitute a greater whole, which i s closed by v i r t u e of the r e p e t i t i o n . (Pp. 10-11)

The feature of p a i r s of repeated units i s c l e a r l y r e l a t e d to my c l o s i n g model

fo r Mozart, and may be seen as a h i s t o r i c a l forerunner that may have led i n

part to the development of the c l o s i n g model i n the c l a s s i c a l period. Also

noteworthy here i s the observation that l a r g e r - s c a l e closure r e s u l t s from t h i s

lower-level r e p e t i t i o n .

Smyth uses the term "codetta" f o r the c l o s i n g section, which he notes

i s characterized by

a decrease i n harmonic complexity (many employ pedal point) and i n melodic i n t e r e s t (sometimes to the point of including only cadential c l i c h e s and conventional passage work), and rhythmic and t e x t u r a l s i m p l i f i c a t i o n . Previously heard motives might be gradually l i q u i d a t e d , or, a l t e r n a t i v e l y , a short burst of cad-e n t i a l energy might erupt. In e i t h e r case, the "sense of an ending" w i l l most often be quite c l e a r . (Pp. 18-19)

Smyth's d e s c r i p t i o n of the c l o s i n g section i s very s i m i l a r to mine.

32

Smyth devotes some discussion to d e f i n i t i o n of terms such as cadence,

phrase, and coda. He sees the cadence as e s p e c i a l l y important (even though he

defines most segments by i n i t i a t i o n rather than by ending), and i n f a c t demon-

strates that, " i n a very important sense, the coda and the codetta are p r e c i s e l y

'extensions of the cadence'" (p. 18).

Smyth includes an e n t i r e chapter devoted to sonata forms, a chapter that

incorporates a useful survey of approaches to the analysis of t h i s form type.

In general, he says "formal closure i s achieved when the o v e r a l l pattern of

tension/resolution i s completed" (p. 178). His a n a l y t i c a l technique focusses

on how "grouping structures [e.g.,, the formal categories of themes, t r a n s i t i o n s ,

and c l o s i n g sections] can underlie sonata forms and contribute to a 'symmetrical

r e s o l u t i o n of opposing f o r c e s ' " (p. 180; h i s quotation i s from Rosen).

E s s e n t i a l l y , Smyth i s concerned with demonstrating how formal closure

r e s u l t s from h i g h - l e v e l patterning. To do t h i s he produces graphs of movements

which include lengths of various sections; then- he compares and discusses the

lengths of these sections p r i m a r i l y as to how they balance. "Overall formal

closure i n c l a s s i c a l instrumental music involves pattern completion and d u p l i -

cation of grouping structures on a much larger scale than most previous analysts

have considered" (p. 219).

In The Symphonies of Johann Stamitz: A Study i n the Formation of the

C l a s s i c Style, Wolf includes one of the best theories of phrase and movement

structures applicable to the c l a s s i c period (see e s p e c i a l l y h i s chapters 8 and 9).

He finds that phrase-level r e p e t i t i o n " ( a + a ) " i s e s p e c i a l l y c h a r a c t e r i s t i c

of second themes and c l o s i n g sections. "Most of Stamitz's c l o s i n g (K) themes

make use of r e p e t i t i o n i n order to s t a b i l i z e the end of the exposition or recap-

33

i t u l a t i o n " (p. 108). In view of the s i m i l a r type of r e p e t i t i o n I f i n d i n

Mozart's c l o s i n g sections, Wolf's study i s p a r t i c u l a r l y relevant here.

Wolf discusses some eighteenth-century theories of phrase structure,

including Riepel's Grundregeln zur Tonordnung insgemein. One of the ways

Riepel notes f o r expansion of sections i s " r e p e t i t i o n of the cadential units

(Verdoppelung der Cadenzen, pp. 61-63 [of R i e p e l ] ) " (p. 115 [of Wolf]), a

method corresponding to an aspect of my c l o s i n g model. Wolf bel i e v e s , i n gen-

e r a l , that Riepel's "compositional theory incorporates many of the actual pro-

cedures that contributed to the evolution of C l a s s i c phrase syntax" (p. 115).

Wolf summarizes c l o s i n g material as follows:

Whether area or section, K i n Stamitz often includes l i t e r a l r e p e t i t i o n at the broadest l e v e l present within the exposition as a means of providing cadential s t a b i l i z a t i o n . In addition, Stamitz commonly precedes and/or follows t h i s r e p e t i t i o n with one or more small-scale r e p e t i t i o n s based on cadential harmonic formulas, regular chord rhythm, and perhaps pedal point. (P. 151)

These features are c e r t a i n l y often found i n Mozart's c l o s i n g sections.

Wolf also i d e n t i f i e s a d i f f e r e n t type of exposition structure i n which

the second theme i s followed by a section or sections t r a n s i t i o n a l i n s t y l e

that lead to the c l o s i n g section i t s e l f (p. 151). This too i s seen i n several

of Mozart's movements (e.g., the Piano Sonata i n B - f l a t Major, K. 333, to be

discussed l a t e r ) ,. where such sections resemble t y p i c a l t r a n s i t i o n s i n terms

of melodic material, texture, and rhythmic organization, though generally not

with regard to harmonic function, since they do not modulate.

34

2

Concepts, Models, and Features

In t h i s chapter I w i l l be p r i m a r i l y concerned with explaining my view of

those c h a r a c t e r i s t i c s of Mozart's f i r s t movement sonata forms relevant to my

study of closure i n these works. E s s e n t i a l l y , t h i s w i l l e n t a i l a d e f i n i t i o n and

discussion of those features that d i s t i n g u i s h the d i f f e r e n t sections of the son-

ata forms, the ultimate goal being the i d e n t i f i c a t i o n of features that promote

closure of these works and that are c h a r a c t e r i s t i c of c l o s i n g sections. Discus-

sion of areas of sonata forms other than the c l o s i n g section i s necessary because

comparing the c h a r a c t e r i s t i c s of d i f f e r e n t areas w i l l better reveal those of the

c l o s i n g section, and because the function of the c l o s i n g section within the en-

t i r e work must be examined.

It should already be apparent that I regard the discussion of the formal

function of the t r a d i t i o n a l l y analysed sections of sonata formthemes, t r a n s i -

t i o n s , c l o s i n g sections, developmentsas a c e n t r a l concern i n my study of these

works of Mozart. Having considered other a n a l y t i c a l viewpoints, such as the

Schenkerian one, i n which the long-range harmonic and l i n e a r plan i s the c e n t r a l

issue, I am convinced that the most valuable approach to the study of closure i n

these works i s that of d i v i d i n g the piece into sections, according to the fea-

tures found i n eachfeatures defined on the basis of melody, harmony, rhythm,

texture, e t c . a n d then seeing how the d i f f e r e n t sections combine and r e l a t e on

35

the basis of these same features.

My approach i s not dogmatic i n the sense of applying one formal model to

a l l of these works: many pieces cannot e a s i l y be heard as comprised of sections,

or at l e a s t cannot be divided into the same sorts of sections found i n the usual

typology of sonata form. The formal, thematic, and phraseological models I pro-

pose below must be seen as applying to a greater or l e s s e r extent to these pieces,

with no value judgment implied. That i s , a piece which does not conform to a

p a r t i c u l a r model must not be understo

a study of closure in sonata form

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harmony i n t e r