Professional Documents
Culture Documents
Siavash Sabetrohani
Sample Paper
November 2014
Introduction
Much ink has been spilt on different ways of analyzing formal aspects of music from the Classical
period. Most notably, in the span of less than 10 years, the world of music theory witnessed the
appearance of three influential theories on classical form, namely those by William Caplin (1998), James
Hepokoski and Warren Darcy (2006), and Robert Gjerdingen (2007). 1 Surprisingly though, none of these
authors seem to show any particular interest in tracing the development of the sonata form in the music
of the composer who has often been called the father of sonata form 2, Carl Philipp Emanuel Bach (1714-
1788). Caplin’s theory limits itself to the music of Haydn, Mozart, and Beethoven; Hepokosksi / Darcy
mention a few examples by Bach 3, while they include many more examples by his younger half-brother
Johann Christian Bach; and Gjerdingen’s book, despite its emphasis on the “Galant Style” (and thus
1
William Caplin. Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and
Beethoven. (New York: Oxford University Press, 1998). James Hepokoski and Warren Darcy, Elements of Sonata
Theory: Norms, Types, and Deformations in the Late-Eighteenth-Century Sonata. (New York: Oxford University
Press, 2006). Robert O. Gjerdingen, Music in the Galant Style. (New York: Oxford University Press, 2007).
Gjerdingen’s study is not a theory of formal function per se, but rather a theory of schemata.
2
Dino Sincero in his 1898 article “La ‘Sonata’ di Filippo Emanuele Bach” terms him the father of the sonata; quoted
in Doris Bosworth Powers, C.P.E. Bach: A Guide to Research. (London: Routledge, 2013),172. William Newman
rd
reiterated this idea more than half a century later. William S. Newman. The Sonata in the Classic Period. 3 ed.
(New York: W.W. Norton, 1983), 16.
3
For practical purposes, in my paper all references to Bach mean C.P.E. Bach and references to other Bachs are
either with their initials or their full names.
2
showing an interest in earlier styles of the Classical period), provides just one example of the application
of galant schemata in Bach’s works 4. The reason, as I see it, is that the sudden turns and changes in his
music do not lend themselves easily to analysis. Leonard Ratner, author of the book Classic Music, wrote
that “C.P.E. Bach was the principal representative of this style [Empfindsamkeit]. His keyboard music has
rapid changes in mood, broken figures, interrupted continuity, elaborate ornamentation, pregnant
pauses, shifting, uncertain, often dissonant harmony —all qualities suggesting intense personal
involvement, forerunners of romantic expression, and directly opposed to the statuesque unity of
baroque music.” 5 Charles Rosen even went so far to describe Bach’s music as “violent, expressive,
By way of exploring possible connections between these competing theories and Bach’s music,
this study will take a two-prong approach. It first utilizes Hepokoski and Darcy’s “continuous exposition,”
to examine a select number of sonatas written during Bach’s tenure at the Berlin Hofkapelle. It then
takes one of these sonatas, the Sonata in E Major H.83, Wq.65/29 composed in 1755 7, as a testing
ground for Caplin’s theory of formal functions, Gjerdingen’s galant schemata theory, and what is
believed to have been the method used by composers of that period, namely figured bass.
The reputation of the second surviving son of J.S. Bach by far surpassed that of his father in the
latter part of the eighteenth century. 8 Charles Burney, the famous English historian who visited Bach in
Hamburg in 1772 and heard him play there wrote that “his playing today reaffirmed my thought, that I
had gotten from his works, that he is not only the greatest composer for keyboard instruments who has
4
Strictly speaking, of course, Bach’s work is associated with the Empfindsam style and not so much with the Galant
style. See David Schulenberg, “Carl Philipp Emanuel Bach,” in Eighteenth Century Keyboard Music, ed. Robert
Marshall (New York: Routledge, 2003), 174-176
5
Leonard G. Ratner: Classic Music: Expression, Form, and Style (New York: Schirmer, 1980), 22
6
Charles Rosen: The Classical Style: Haydn, Mozart, Beethoven (New York: Norton, 1997), 44
7
From here on I will use the H. (Helm) numbers as opposed to the Wq. (Worquenne) numbers as the latter is
somewhat outdated and is not always chronological.
8
Most of the historical information is taken from Siegbert Rampe’s book Carl Philipp Emanuel Bach und seine Zeit.
(Laaber, 2014)
3
ever lived, but also, with regard to expression, the best player.” 9 His influence on Haydn, Mozart and
Beethoven has been written about extensively. 10 Mozart, in one of his most quoted sayings, uttered
after his meeting with Bach in Hamburg that “Bach is the father, we are the children.” 11
Despite all this though, Bach’s fame gradually waned, and apart from his treatise on keyboard
playing 12, his music generally fell into oblivion 13. Schenker was one of the first theorists who paid
attention to him and his works and even edited and analyzed several of his works 14. Surprisingly though,
Bach’s works have never really caught on in the world of music theory, despite extensive studies by a
few individuals 15. The lack of a systematic analytical approach to C.P.E. Bach’s music is the main
incentive to undertake this study, perhaps in the hope that this project would lead to a theory of form
Bach wrote perhaps more keyboard sonatas than any other German composer of his time with
over 150 works to his name. One can only compare him perhaps to Domenico Scarlatti and his 555
keyboard sonatas; the difference between these two composers, though, is that Scarlatti’s sonatas are
9
“Sein heutiges Spielen bestärkte meine Meinung, dass er nämlich nicht nur der größte Komponist für
Klavierinstrumente ist, der je gelebt hat, sondern auch im Punkte des Ausdrucks der beste Spieler.”Charles Burney.
Carl Burneys der Musik Doktors Tagesbuch seiner Musikalischen Reisen, Dritter Band. 457.
10
Powers, C.P.E. Bach, 69, 103-124.
11
“Bach ist der Vater, wir sind die Buben.” Here Mozart refers to C.P.E. Bach and not his father, as some earlier
historians erroneously had thought.
12
Beethoven is known to have accepted Czerny as a student on the condition that he study Bach’s rules for playing
ornaments
13
Brahms was among the few exceptions, who appreciated and even edited some of his works. Indeed Doris
Powers, in his summary of Siegfried Mauser’s article Brahms und die vorklassische Instrumentalmusik writes:
“Brahms changed dynamics, articulation, and phrasing in C.P.E. Bach’s works… [The author] postulates that
Brahms’s concept of developing variation may well have been influenced by his study and editing.” Powers, C.P.E.
Bach, 69.
14
Schenker considered C.P.E. Bach as one of the twelve great composers of the eighteenth and nineteenth
centuries ,edited two volumes of his keyboard music, and provides a manual for the performance of ornaments in
his keyboard works in his Ein Beitrag zur Ornamentik, analyzed works by Bach in his Der Tonwille, referred to
Bach’s Versuch throughout his life, and writes extensively about him in the famous chapter Die Kunst der
Improvisation in his book Das Meisterwerk in der Musik. Wayne C. Petty has written extensively on Schenkerian
analyses of Bach’s music.
15
Eugene Helm, Darrel M. Berg, Wayne C. Petty, and David Schulenberg are among the few individuals who have
written a lot on C.P.E. Bach’s music, from different perspectives.
4
single movements, whereas Bach’s sonatas are mostly three movement pieces. Between 1738 and 1767
he served at the court of Frederick the Great in Berlin and during these years alone he wrote more than
106 keyboard sonatas. These sonatas exhibit elements of different styles in vogue at that time. His
position at the court involved writing music which would suit the taste of the courtiers and the king,
therefore they mostly incorporate galant idioms 16. The works he wrote for himself on the other hand
stay true to the empfindsamer Stil which allowed him much more freedom and creativity. 17
In their 2006 book Elements of Sonata Theory, Hepokoski and Darcy devote a chapter to “the
continuous exposition” and postulate that Jens Peter Larsen was the first theorist to identify this format.
For them, the continuous exposition is identified by “its lack of a clearly articulated medial caesura
followed by a successfully launched secondary theme. Instead of providing a TR [Transition] that leads to
a medial caesura and thence to an S [Secondary-theme zone], as with the two-part exposition, the
continuous exposition, especially in Haydn’s works, usually fills up most of the expositional space with
the relentlessly ongoing, expansive spinning-out (Fortspinnung) of an initial idea or its immediate
consequences.” As to where the second theme begins they add: “one should not try to determine where
the secondary theme (S) is located… If there is no medial caesura, there is no secondary theme.” Despite
the fact that they mention the use of this technique in Bach’s music, they do not seem to show
particular interest in its development in his works; relegating their insightful remark to a footnote. “In
C.P.E. Bach one often finds a similar format: an initial P-gesture [Primary theme zone]; a modulatory TR
FS [Fortspinnung modules] (typically sequential—and rarely very long) that proceeds to a PAC (the
EEC); and a (brief) “appendix” theme (C) at the end to solidify the new key. Because C.P.E. Bach’s
16
The presence of galant idioms in some of these pieces render them more apt for analysis using Gjerdingen’s
schemata theory.
17
Newman. The Sonata in the Classic Period, 422-424.
5
textures often feature breaks and discontinuities, the caesura situation is sometimes difficult to
assess.” 18
A prime example of the continuous exposition as described by Hepokoski and Darcy occurs in
Bach’s Sonata in E major, H.83. The sonata starts off with six measures of descending third sequences.
After a brief cadential passage, there is a decisive half cadence at m.10, which could possibly lead to a
repeat of the opening gesture and this time finish off with a stronger cadence. Instead, Bach continues
with a passage of four measures on a dominant pedal, followed by a varied repeat of the same material
in a lower tessitura. One might expect a secondary theme in the dominant key here, but instead Bach
chooses to insert another passage, transitory in character, in E major. This passage leads relentlessly to
what Hepokoski / Darcy have called the EEC (Essential Exposition Closure) at m.36. The only temporary
halt in the momentum is on the downbeat of m.28, where one would expect a medial caesura in the
dominant key, but the music moves on immediately instead with what Hepokoski / Darcy term a CF
(caesura-fill). Hepokoski / Darcy describe this situation vividly: “the structural dominant may be touched
lightly and immediately rejected (as if hot) with a new burst of Fortspinnung that overrides (or writes
over) the normal tendency of the exposition to divide into two parts at this mid-expositional point.” 19
The rest of the exposition is based on a motive from the opening measures and concludes this closing
zone. The recapitulation incorporates similar material to the exposition for the most part, except that it
lacks the standing on the dominant section, and has a longer passage leading to, to use Hepokoski /
Darcy terminology again, the ESC (Essential Structural Closure). The movement thus, can be summarized
18
Hepokoski and Darcy, Elements of Sonata Theory, 54n.
19
Hepokoski and Darcy, Elements of Sonata Theory, 54.
6
• Exposition: P (Primary theme) ending on an HC – V A (an active V chord, which is not a new key) –
TRFS (Transition merges into Fortspinnung 20); modulating to B major; along the way there is a
hint at an MC, followed immediately by a CF leading again to more FS EEC – C (closing zone).
At first glance, then, Hepokoski / Darcy’s continuous exposition seems to be a good point of
departure for examining expositional structures in the music of Bach. Other examples using this scheme
include the Sonata in G major, H.56, the Sonata in g minor, H.118, the Sonata in G major, H.119, and the
Sonata in b minor, H.132. But beyond these examples, Bach’s use of sonata form manipulations is far
more diverse than one would assume. Such manipulations include the use of monothematic two-key
expositions (normally associated with Haydn); three-key expositions (as in Schubert); modulating
transitions (the later piano sonatas of Mozart); and second themes starting on a dominant pedal (like
Beethoven). In fact, Bach seems to have experimented with many formal possibilities well before any of
Given the large corpus of his keyboard sonata oeuvre, I will limit myself to a small selection of
his sonatas, namely the sonatas studied written during his Berlin tenure and to the sonatas found in the
three volume selection by Henle Verlag 21. Considering the limited scope of this paper, I will provide a
20
The term Fortspinnung, which seems to have been coined by Wilhelm Fischer in his 1915 article ‘Zur
Entwicklungsgeschichte des Wiener klassichen Stils’, is very problematic. It seems to be applied by theorists,
somewhat arbitrarily, to any phrase that does not fall into one of the known categories. Since Hepokoski / Darcy
employ it in their book, I have tried to use it in my discussion of the sonata using their theory.
21
Bach, Carl Philip Emanuel. Klaviersonaten Auswahl, Band I, II, III. Edited by Darrell M.Berg. München: G. Henle
Verlag.
7
synopsis of my findings about the different guises under which sonata form appears in the sonatas
studied.
What can be inferred from Table 1 is the fact that although for Bach, the two-key exposition
with different themes was the norm; he never stopped experimenting with different forms throughout
his career. Within the sonatas with two themes, there are several other categories including those in
which there is a clear caesura before the second theme 23, or those in which the second theme does not
start with the tonic of the new key immediately 24. The study of all these tenets in Bach’s music could be
Having looked at the Sonata H.83 using Hepokoski / Darcy’s analysis techniques, it is now worth
taking a closer look at the piece using both Caplin’s theory of formal functions and Gjerdingen’s galant
schemata; both of which deal with smaller segments than Hepokoski / Darcy do. I will also go further
22
It comes close to what Hepokoski / Darcy call a TMB, trimodular block. They define it as “an especially emphatic
type of multimodular structure in an exposition or recapitulation, always associated with the phenomenon of
apparent double medial caesuras.” The main however, is that the TMB occurs in a two-key exposition, whereas in
this sonata we witness the occurrence of three key areas. See Hepokoski and Darcy, Elements of Sonata Theory,
170-177.
23
H.23, H.131
24
H.23, H.53
9
The initial phrase of the exposition is an example of a 10-bar sentence, which employs a two
measure basic idea (repeated twice), followed by a cadential passage leading to a half cadence. The
passage in mm.11 – 18, a typical example of standing on the dominant, involves two instances of a basic
idea followed by a contrasting idea 25, which are repeated, and lead to a long continuation phrase from
m.19. These measures eventually lead to the first PAC of the movement at m.36. However, there is an
intermediary stop at m.28 which could possibly function as a medial caesura but is defied by its brevity
and its immediate follow-up passage. 26 What is interesting in comparing this passage in the exposition
and the analogous one in the recapitulation is the fact that, in the recapitulation, Bach chooses to use
skips in the bass and thereby stays with a literal descending fifth sequence, whereas in the exposition he
continues with the bass line from the previous measure and creates chains of suspensions instead 27. If
one opts for a strict reading of Caplin’s definition of cadence, then m.29 has to be regarded as the
beginning of the cadential passage, as it is the only instance where a first inversion chord occurs in this
passage, but in my opinion the cadential expectation arises only at m.35, just before the cadence. The
rest of the movement is based on the initial motive and is a classic example of a sentence with a basic
idea (36-37), its varied repetition (37-38) and a continuation passage leading to a cadence.
The development section starts with the same motivic material as the exposition, and at first
seems to be an exact repetition in the dominant area, but soon it follows a different path with an
extensive descending fifth passage (52-62), that, if viewed from a Satzlehre point of view, is a sentence
consisting of a basic idea (52-53), its varied repetition (54-55) and a continuation to a half cadence in f#
minor. The next phrase (63-68) is analogous to the one at mm.11-18 (standing on the dominant). It leads
25
one can loosely draw an analogy between the rising figure and a question, and the descending one with an
answer
26
Caplin 2013 adopts Hepokoski / Darcy’s medial caesura but he restricts it to “those cases where there exists a
literal caesura created by a moment of silence, or also a fermata on the final sounding sonority of the transition.”
Caplin, Analyzing Classical Form, 310. Taking this definition into account, the HC at m.28 does not function as a
medial caesura.
27
In which the sevenths of the chords are always prepared in the bass and are resolved by step downward into the
next chord.
10
to an intermediary close at m.70, which acts as a sort of half cadence but is in fact a diminished seventh
chord in second inversion. It is followed by a rather strong cadence at m.74, leading to another cadential
passage, this time ending with a caesura at m.79. The final section in the development section is a long
sentence consisting of a basic idea (80 with upbeat-81), its repetition (82 with upbeat-83), and a
continuation. At first, the continuation acts as another basic idea and its varied repeat, but is soon
turned into fragments that become cumulatively shorter until the cadential passage which ends on a
The recapitulation follows the model of the exposition quite closely. With the dominant pedal
part being absent here, the cadential passage at m.100 leads into the transitional falling fifth sequence
section (which obviously does not modulate to the dominant key here). The only other difference
between the rest of the recapitulation and the exposition is the longer sequential passage before the
PAC at m.122. A summary of the phrase structure of this movement is shown in table 2.
Table 2 – Sonata in E major, H.83 – Summary of phrase structure according to Caplin’s theory
Exposition 1-10, sentence; two measure basic idea, two repeats of the basic idea, ending
on an HC
11-14 standing on the dominant; basic idea, contrasting idea
15-18 standing on the dominant; basic idea, contrasting idea
19-28 sentence; two measure basic idea, repeated, continuation ending on a
weak HC (the last beat of this measure acts as a lead-in to the next phrase)
29-36 sentence; two measure basic idea, repeated (on different bass notes),
cadential passage (strictly speaking not a cadential passage according to
Caplin’s theory) ending with a PAC
36-43 sentence; basic idea, repeated, continuation reaching the end of the
exposition with a PAC
Development 44-62 sentence; similar start as the beginning of the sonata, but the cadential
passage leads to a very long sequential continuation which modulates and
ends on an HC in f# minor
63-74 sentence; standing on the dominant; basic idea of one measure,
repeated and continued; repetition of the same but leads out of the dominant
pedal; continuation and cadential passage ending with a PAC in f# minor.
74-79 sentence?; basic idea and its repeat? PAC in f#minor
79-91 sentence; basic idea, repeated; another basic idea repeated;
fragmentation of the second basic idea till the cadence which is an HC in E
Recapitulation 92-101 sentence; two measure basic idea, two repeats of the basic idea,
11
Gjerdingen uses his schemata theory to analyze a few complete movements in his book. He does
so by annotating the score of the piece, sometimes together with a table and complementary remarks.
Here, I follow the same procedure, by providing the annotated score, preceded by a table and a few
remarks. Additionally, for the sake of space, I have figured the bass in the same score 29.
28
Strictly speaking not a cadence, as there is no real cadential progression.
29
Admittedly, my use of figured bass here is anachronistic; instead of putting figures under each single bass note, I
sometimes put one figure which implies the overall harmony of a certain measure. Moreover, the sometimes thin
texture makes it hard to figure the bass according to the melody. In such cases I have either avoided figuring the
bass at all, or have put the implying voice between brackets.
12
A close look at table 3 and the annotated score in figure 2, reveal that in lines with the dynamic
character of the music, with the exception of Ponte and half cadences, all schemata used are those with
a strong driving power. Even a supposedly stationary schema as Quiescenza has been used in a dynamic
way, by way of using the ascending stage only. The change in the bass pattern from mm.19-22 in the
first half to the analogous spot in the second half at mm.101-104 can be seen as an example of ars
combinatora, as Gjerdingen discusses it in his book, after Riepel’s theory 30. Furthermore, the vigorous
circles of fifths in the work can be seen as a counterexample to Charles Rosen’s pejorative description of
circles of fifths in Bach’s music “…the cherished circle of fifth…is unhappily used by Philipp Emanuel Bach
in many expository passages for an illusion of motion.” 31 This observation is further reinforced by
examining the figured bass. Even though Bach can be very bold and daring in his harmonic language, in
this particular sonata, there is hardly any harmonic passage which is not straightforward and
conventional. Other than this however, the analysis of the figured bass does not reveal much
The abundant use of sentences, as opposed to periods, in Bach’s music which is relentlessly
restless, resonates with Caplin’s remark about the difference between a sentence and a period. “…the
sentence and the period present differing aesthetic qualities. The sentence projects the character of
mobility and forward drive because of the open-ended nature of the presentation and the
destabilizations offered by the continuation. The period, on the contrary, projects the character of
balance and repose owing to the similar construction of the antecedent and consequent, both of which
30
“Mannerist galant”, according to Gjerdingen, might be a useful description of Bach’s flamboyant and willful
manipulations of galant conventions. See Gjerdingen, Music in the Galant Style, 99.
31
Rosen, The Classical Style, 49.
32
Caplin, Analyzing Classical Form, 93.
20
While each of the theories discussed in the paper aims at different repertoire than C.P.E. Bach’s
keyboard sonatas, each of them displays a certain aspect of this music and thereby illuminates
something about how pieces written in this style function. At the same time however, none of them
seem to fully explain all the peculiarities of the music. As David Schulenberg, in his chapter on C.P.E.
Bach in the book Eighteenth Century Music has stated “Emanuel’s keyboard works represent a distinct
style best understood on their own terms, not those of an earlier or a later period.” 33 A comprehensive,
all-embracing analysis method or formal theory for the music of C.P.E. Bach, if there is such a thing at all,
33
Schulenberg, Carl Philipp Emanuel Bach, 173
21
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22
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