INFORMATION ON SONATA FORM

In order to fully appreciate the classical style, i.e., the style that was in vogue in
Europe from about 1770 until circa 1800, it is necessary to understand sonata form.
Sonata form is sometimes called first-movement-sonata -form because it was almost
always the form used for first movements of every type of composition. And the word
sonata preceding the word form is because its first widespread use was in the
sonata. Before I discuss the structure of sonata form I should caution you not to think
that composers of the classical period were writing music in some sort of contrived or
formulaic manner. They certainly were not. Nonetheless, any style can be defined by
certain parameters, if that is the right word. The concept of sonata form was actually
thought up by music theorists after sonata form had become a lost art. It was the
intention of these theorists to create an analysis of the music of the best composers of
the recent past so that new composers would have a model to go by.
Music theorists have a way of taking the most uniquely creative music and
describing it as if it were composed with some sort of formula in mind. This is fine as
long as you dont take it too literally. The descriptions that theorists give us are very
helpful in enhancing our appreciation and enjoyment of great music.
Sonata form consists of three sections, called exposition, development, and
recapitulation. There is sometimes an introduction preceding the exposition. A coda
following the recapitulation is very common. The exposition is usually repeated. In
some works by Mozart and Haydn, the development section and recapitulation are
repeated as one unit.
In the exposition, the main themes of the work are given. Quite commonly there
are only two themes, the first one being in the tonic key (the key of the piece in
question), and the second one being in the dominant key. Sometimes composers will
present a group of themes in the tonic key, followed by a group of themes in the
dominant. There is usually some sort of connecting material between the theme or
themes in the tonic, and those in the dominant. The connecting material may be in the
form of scales, arpeggios, or various combinations thereof. Sometimes there is only
one theme. Haydn was fond of composing a monothematic sonata form movement,
though Mozart rarely did. The first movement of Symphony Number 40 is a rare
example of a monothematic sonata form movement by Mozart. Mozart was fond of
using multiple themes; Haydn was fond of using only two, and sometimes one.
Beethoven sometimes would use only two themes, but make his second theme seem
to grow out of the opening motif of the first theme, such as in the first movement of
the Fifth Symphony.
The question that may arise to the reader is What constitutes a theme? How do
you know when a particular idea is a theme, and not just a connecting passage or
episode? If it is a full blown melody, then it is definitely a theme. If it is striking, or
arresting in its manner, or sounds very important, it is a theme, especially if the
composer makes a lot of use of it. A point I should mention here is that some books
use the term subject rather than theme. The two words are synonymous.
The move to the dominant may take place very abruptly, or may be a slow and
subtle modulation to the dominant. Sometimes a composer will hint at the dominant

key, and then withdraw any suggestion of it, remaining firmly in the tonic for a few
measures, and then hint a bit more strongly at the dominant, until finally firmly
establishing the dominant as a secondary key of the movement. Mozart was the
consummate master of such things. As Charles Rosen points out in his marvelous
book The Classical Style, Mozart was a master at creating various shadings of
hinting at a key, hinting at it a bit more strongly, hinting at that key even more
strongly, touching on that key, touching on it harder, being actually in that key, but not
too firmly, and being firmly in the new key.
In a piece in a minor key, the second theme may be in the key of the relative major
instead of the dominant. Beethoven sometimes used what are called secondary
dominants for the second theme, or second group of themes. A secondary dominant is
a key (or chord) which raises the level of harmonic tension, and therefore implies
resolution, as does the dominant.
In a sonata form with only two themes, usually the first theme is more striking and
aggressive sounding, while the second one is more lyrical. Sometimes the terms
masculine and feminine are used to describe the two themes. But you should keep in
mind that there are always exceptions. In fact, if you study the music of the greatest
composers of the classical style, Mozart, Haydn, and Beethoven, you can find
exceptions to virtually everything that can be said about sonata form. Just as no
human being alive will have every organ in the exact proportions given in medical
textbooks, you would be hard pressed to find a sonata form movement by a great
composer, that conforms in all of its features to the textbook definition of sonata form.
A concerto first movement presents a special problem to the classical composer
because it was common practice for the orchestra to play a long introduction before
the soloist begins. I am not using the word introduction in the way I did earlier. It is
not an introduction to the movement. It is part of the exposition, but serves as an
introduction to the soloist. If the orchestra modulates to another key and presents a
second theme before the soloist enters, then it has stolen some of the thunder from the
soloist. Yes if it stays in the same key too long it can become monotonous. Mozart
solved this problem most ingeniously by having the orchestra touch upon other keys
without firmly going into them, and waiting for the soloist to be the one who
introduces the second theme. Thus, a concerto first movement by Mozart has sort of a
double exposition. A large portion of the exposition is played without the soloist, and
the orchestra will hint at other keys, but remain in the tonic. The entry of the soloist is
conceived as a dramatic moment, and the second theme, or second group of themes is
withheld until the soloist enters.
In the middle section of a sonata form movement, the so-called development
section, the harmony becomes very unstable. What I mean by that is that the music
goes from one key to another without settling for very long on any given key. The
themes are developed in this section. They are torn apart into their individual motifs
and these motifs are recombined in various permutations and in various keys. In this
respect Mozart was a bit different. His development sections seldom develop the
themes. Sometimes Mozart will even present a new theme in a development section.
Mozarts development sections are an intensification of energy, sort of an episode of
instability and conflict. The idea of developing themes in a piece was invented by

Joseph Haydn. Beethoven was to take the idea to great lengths. Beethoven lengthened
the development section and intensified it.
Near the end of a development section there is what Charles Rosen calls the
retransition. This is a turning back towards the tonic key. It is a transition from the
chaos of the development section to the stability of the recapitulation. In the
recapitulation the themes presented earlier will be heard, and any themes that were not
heard yet in the tonic key, will be heard in that key, but not necessarily in the same
order. Mozart usually, but not always, presents them in the same order here. In fact,
Mozarts recapitulations are not as much a reinterpretation of the exposition as those
of Haydn and Beethoven. Mozart can afford a more literal repeat in the recapitulation
because his themes tend to be longer and more complex.
Haydn delighted in what has been called a false recapitulation. He was a master of
such things. In what sounds like the end of the development section, Haydn will set
you up, so to speak. He will make you think for sure that you are about to hear one of
the themes, and in the tonic key. You may hear certain material that led directly to the
main theme in the exposition. You may even hear the opening motif of the theme.
Then suddenly your expectations are thwarted. You are still in the development
section. This is one device that Beethoven learned well from studying Haydns music.
The moment that the recapitulation begins is never more than of the way
through the movement, and is always conceived as a dramatic moment. If the
listeners attention has been waning, then his or her attention will suddenly be drawn
back into the music as the retransition gives way to the recapitulation. In the late
eighteenth century there were certain formulas that were used for the retransition.
Mozart was found of using the most popular harmonic movement (chord progression)
at this point. His perfect sense of form, along with his predictable chord progression at
this point, make the music somewhat predictable here. And Mozart did not take
delight in false recapitulations and other sudden surprises the way Haydn and
Beethoven did. But the sense of inevitability or predictability at this point in Mozarts
music in no way makes it inferior to the two aforementioned composers. Usually, at
the point of retransition, Mozart combines the various parts in such a beautiful way,
the melodic beauty and the intricate intertwining of the parts more than makes up for
the predictability.
It must say here that the three sections of a sonata form movement are not always
perfectly defined in the manner that I have described above. I have already mentioned
that in some movements, a new theme will appear in the development section. Also,
there is sometimes a certain amount of development that takes place in the exposition
or the recapitulation. In fact many sonata form movements by Mozart and Haydn, and
virtually all sonata form movements by Beethoven, have what is called a secondary
development section which occurs after the themes have been heard in the tonic key
in the recapitulation. Not as long or intense as the first development section, the
secondary one, emphasizes keys that do not raise the level or harmonic tension like
most of the keys used in the actual development section. The secondary development
is more of an intensification of the themes, and helps to give a sense of completeness
to the work. Most sonata forms are rounded off by a coda, which may or may not
contain themes from the movement. The coda will almost always stay in the tonic key
throughout, and serves to give the movement a definite sense of finality.

As I mentioned above, classical composers did not compose music with the idea of
sonata form in their minds. That idea was created by theorists after sonata form had
become pass. Of course, many composers did have it in their minds after the
theorists had expounded upon it in their books. Brahms, for one, was very conscious
of sonata form. How could he help it? Brahms was a neoclassical composer, and the
leading one in the second half of the nineteenth century. He was keeping the old forms
alive while most composers were composing in the much looser forms of the romantic
period. One thing that Brahms did was to blur the distinction between the sections of a
sonata form movement. In Haydn, Mozart, and Beethoven, each section stands out in
relief. The beginning of the exposition, as well of the beginning of the recapitulation,
is conceived as a dramatic event. It is set in relief, so to speak. Like a furniture maker
who smoothes over the joints so you cannot tell where two pieces of wood are glued
together, Brahms smoothed over the joints in his sonata form movements.
Mozart, Haydn, and later, Beethoven, were composing with form in mind, but they
did not think of it in terms of any textbook definition. A certain style had evolved in
the latter half of the eighteenth century, and this style emphasized contrasting tonic
and dominant keys, simplicity at the beginning and end of work, with a peak of
complexity in the middle, and so on. Mozart and Haydn simply were the most
ingenious and talented composers of this style, and later Beethoven expanded it and
created many masterpieces in sonata form. Beethovens sonata form movements have
a tremendous amount of variety in them. I cannot stress enough, the tremendous
amount of variety of expression that is possible within the framework of sonata form!
What advice would I give to help someone better appreciate and enjoy a sonata
form movement if that person admits to not having much of an ear for key changes
and such? I would say, first identify the first theme. There may be an introduction.
Introductions to sonata form movements tend to be slow, and the composers usually
make it quite obvious where the introduction ends and the movement-proper begins.
Then listen for the second theme, keeping in mind that is some pieces there are
several themes to keep track of. Let us consider for a moment, a sonata form
movement with two themes. The arrival of the second theme is easily identified, even
by a tone deaf listener, because the composer will almost always set in relief, so to
speak. There may or may not be a pause or a dramatic transition to help set it in relief,
but the second theme will have a different orchestration than the first theme. And it
will have different character about it.
After you have identified the two themes, listen to see if the composer plays
around a bit with them (develops them) for a little while as soon as they are presented,
because development, as noted above, does not only occur in the so-called
development section. Next see if you can identify the point at which the exposition
ends, keeping in mind that the composer usually has put a repeat sign at the end of the
exposition. The problem here is that the conductor (or performers if there is no
conductor) might have decided to ignore the repeat sign. See if you can identify the
point at which the exposition ends, and note if it is repeated or not. Composers, at
least the three main classical composers, Haydn, Mozart, and Beethoven, usually
make it obvious that the exposition is coming to an end.
Listen now to the development section. Are the themes being developed? Or is this
section simply an intensification of activity, less coherent and stable than the

exposition? Next try to identify the point in time when the music seems to be leading
back toward repeating the exposition. The recapitulation is never a literal repeat of the
exposition, thought Mozart comes close to this at times. The two themes are both
heard in the tonic key now, and though there will still be some key changes, the new
keys that are introduced tend to be ones that (because of their relation to the tonic key)
decrease the tension rather than increase it. When you here the second theme in the
recapitulation it will sound a bit different than it did in the recapitulation. Even if you
dont have an ear for key changes you should notice that the second theme now
sounds a bit higher or lower in pitch, and that its orchestration is a bit different as a
consequence of it being in a different key, or perhaps its orchestration is very different
this time.
Now see if you can identify the point at which the movement-proper is over and
the coda is tacked on. Sometimes Beethovens codas can be very intense and
powerful, and they can be quite long, yet they remain in the tonic key. In fact, in his
codas, Beethoven will sometimes hammer away relentlessly on the tonic chord till the
end.
Sonata form was so influential in the last couple of decades of the eighteenth
century that it began to invade every genre of music and can be found in all
movements of many pieces. Composers began to create hybrids by uniting sonata
form with rondo form or variation form. The most tightly knit and carefully
proportioned sonata form movements are always in the first movement, whether the
piece be a symphony, sonata, piece of chamber music, or whatever. When used for
finales, sonata form movement is always a bit more diffuse than in first movements.
Many times a slow movement will be in sonata form, but lacking a development
section.
In the 1780s sonata form began even to invade church music. That is a true
testament to its ubiquity in the late eighteenth century, as church music has always
been resistant to change and leery of accepting secular styles. Of course this did not
come without a struggle. Haydn was roundly criticized (mostly by the church elders)
for bringing secular styles into the church. His masses are, for all intents and
purposes, symphonies with choirs.
Schubert composed many of his early works in the new forms of the emerging
romantic period, but during his last few years, he composed more consistently in the
classical style, but his sonata form movements are a bit different than those of his
predecessors, Haydn and Mozart, or his older contemporary, Beethoven. Schuberts
style is more of a melody-based style, even more so than Mozart. When a composer
uses lyrical melodies for themes, development becomes a more difficult procedure.
Schubert, and I dont mean this as a criticism, is more diffuse, and a bit less classical
in his approach.
Sonata form gradually evolved from simple binary form, and only achieved
greatness when Mozart and Haydn arrived on the scene. Sonata form stands as one of
the greatest artistic achievements of the human race.