Christian Griffiths

THE SONATA PRINCIPLE – I & 2

Introduction

A reflection on the ‘sonata principle’

Sonata-Form Terminology

Part One

Johann Krieger: ‘Corrente’, from Suite in G

D. Scarlatti: Sonata in D (L.482) (K.389)

C. P. E. Bach: Sonata No 4 in B-flat (first movement) from the

Württemberg Sonatas (1744)

Analysis

Part Two

W. A. Mozart Piano Sonata in F, K.332 (1st movement)

Analysis

Works Cited

1
 Introduction

A reflection on the ‘sonata principle’

Much of the contemporary scholarship relating to the subject of Classical sonata-form repeatedly

emphasises that we should avoid considering the form as a ‘pre-existing structure’ into which the

composer has ‘poured the contents’ (Webster 688). Commentaries of this type seem to be

expressing the concern that an overly prescriptive approach to sonata-form may lead to a devaluing

of the creativity employed by certain artists working in the genre. We will note, for example, a

commentary by Kenneth Hamilton, which presents a register of forgotten composers who, in strictly

following the rules laid out by Czerny and Reicha, have produced work that is uninspired or

mechanical, while at the same time arguing that the composers generally regarded as ‘geniuses’,

such as Haydn, Mozart, Beethoven, Schubert or Liszt, were able to make creative structural choices

in the genre, while still remaining in a recognisable relation to sonata-form (Hamilton 8–10). The

apparent anxiety of critics on this subject, however, tends to obscure what should be the central

question relating to the study of sonata-form; namely, what aesthetic function, if any, is sonata-form

intended to serve?

In ‘Beyond the Sonata Principle’, a lengthy essay that attempts a progressive overview of the

phenomenon, James Hepokowski attempts to identify a common thread that links the many sonata-

form works, and for which there seems to be no universal structural norm. The question of aesthetic

purpose is initially taken up when the author cites a number of critical works that have attempted to

utilise the term ‘sonata principle’ to describe the aesthetic impact of the form. However, the author

uses these sources only to seek out a finer understanding of structural issues, and does not engage

the aesthetic question directly. The aesthetic principles that are identified are ‘unity, [avoidance of]

redundancy, variation, and [responses to deviations from] normativity’ (92). These are applied to

sonata-form, where it is argued that their purpose is to ‘create[s] a formal imbalance that needs to

be corrected’ (92).

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The author cites Edward Cone’s seminal lecture on the subject, in which the term ‘sonata principle’

was first heard, to support this view:

[The sonata principle] … requires that important statements made in a key other than the
tonic must either be re-stated in the tonic, or brought into a closer relation with the tonic,
before the movement ends (102).

Again, as much as this seems to be leaning towards aesthetics, it remains a merely formal issue, for

the question of why this should be accomplished is not addressed. Charles Rosen is cited next to

provide an elaboration of this idea, and he seems to propose a satisfactory rationale for its

existence: ‘Material presented outside the tonic must have created, in the eighteenth century, a

feeling of instability which demanded to be resolved’ (120). It is suggested, In other words, that the

dominant-key material of the second subject group created a dissonance in the mind of the

contemporary listener, and that this could only be resolved by the reappearance of the same

material in the tonic. As tempting as this idea may be, we should bear in mind that Rosen is only

engaging in speculation, and that the claim, in the absence of supporting historical evidence, should

be regarded as being far from conclusive. We may conclude that this is a very slim supposition on

which to found an entire theoretical tradition. Hepokowski, however, seems satisfied with the

suggestion and makes no further enquiry into this, or any other possibility, regarding the aesthetic

character of sonata-form, using the remainder of the essay only to examine the various formal

approaches that may bring about this end.

Although we may readily acknowledge that the tension between tonic and non-tonic material

is, as Hepkowski argues, the harmonic basis of the ‘sonata principle’ (100), we must also confront

the question of whether the impact of this tension is real or imaginary. If we tend towards the

conclusion that concert-going audiences of the eighteenth century were not sensitively attuned to

differences between tonic and non-tonic material, we might be forced to conclude that sonata-form

was a purely arbitrary device, a structural formula that was only of creative interest to the

3
composer, other composers and musical specialists (i.e. those who may have access to the score),

but which had no real relevance to the actual listener. This factor should seem to significantly alter

the nature of the debate on sonata-form, as it suggests that the many figures who counsel against

excessive formalising themselves are only addressing the formal aspects of the discussion, and are

neglecting the question of aesthetic value altogether. Perhaps it seems dangerous to question this

aspect of sonata-form, for it may reveal that the cultural heroes of common-practice era were

themselves merely participating in intellectual exercises, and not creating music for the aesthetic

enrichment of the culture. In this light, the very value of the instrumental music of the late

eighteenth and nineteenth centuries can be brought into question.

In order to reach some rational view on the matter, we should bear in mind that

instrumental music does not possess a natural textual structure (as vocal music does) so it becomes

necessary for composers to follow some conventional pattern in order to avoid artistic chaos. I

would argue, therefore, that even though it evolved out of non-abstract instrumental forms, such as

dances or pedagogic works, sonata-form is an exclusively structural genre that the composers of the

Classical and Romantic periods adopted by common assent as their standard approach. Although

some were able to apply themselves to the basic formula with more creative success than others, we

should not regard the use of formula itself as being antithetical to sincere creative expression. If we

are to seek an aesthetic appreciation of sonata-form, then, I think that a formalist or intellectual

approach can be illuminating. Even if we are to understand that the creativity of the artist has not

generally been magnanimous enough to extend to the listener, there is still an undeniable beauty

and truth to be found in the creation and analysis of formal variants on a commonly-accepted

conceptual template.

*****

4
Sonata-Form Terminology

Exposition – The opening section of a ‘sonata-form’ movement, approximating (with a repeat) the

first ‘half’ of the movement. Its function is based on the repeated first half of a binary-form Baroque

dance movement, which over time had evolved into the sonata of the late Baroque. The exposition

consists of a first theme (or theme group) in the tonic, a transition, and a second theme (or group) in

the dominant. This may be preceded by an introduction or followed by a coda (Webster 692).

Development – The middle ‘development’ section of the sonata-form movement usually consists of

a free-treatment of thematic material found in the exposition, or of new material. It is a highly

affective and modulatory section. In its second half, it prepares for the restatement of the first

theme in the tonic (Webster 693). Like the recapitulation, the development evolved out of the

second half of the binary-form movements of the Baroque (691).

Recapitulation – The closing section of a sonata-form movement where the material of the

exposition, which incorporated tonic and dominant tonality, is restated entirely in the tonic. It is

argued that this restatement of material in the tonic is intended to create a ‘dramatic’ or

’psychological’ resolution to the movement (Webster 694). Like the development, precursors to the

recapitulation are found in the Baroque sonata. However, the distinguishing device of a

recapitulation is the restatement of the opening theme in the tonic, also known as the ‘simultaneous

return’, a device that we do not find in the earlier forms (See Part One – Analysis, below).

Bridge Passage – This is a passage occurring between the first and second subject of the exposition,

which serves the dual function of preparing for the new theme, and also of moving the harmony

from the tonic to the dominant. In the recapitulation, this material will need to be altered by

5
modulation or replaced to allow for the restatement of the second subject in the tonic. This device

became more widespread after 1780 (Webster 692).

Coda – While many sonata-form movements simply conclude with the restatement of the exposition

material in the tonic, some commence a new structural section that functions as a coda to the main

exposition–development–recapitulation structure. The coda usually restates first subject material

and functions as a climax to the movement (Webster 694).

Alberti Bass – A compositional technique that breaks accompanying chords into arpeggio figures.

The technique is named for Domenico Alberti, who used it extensively (Burkholder ‘Glossary’ A1).

We find that this device has a structural function in sonata-form works such Piano Sonata in F, by W.

A. Mozart, where it adds variety and colour to the texture. In this sense, it adds to the general

variety of affect that is an important element of Classical sonata-form (see Part Two – Analysis,

below).

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6
 Part One

‘Corrente’, from Suite in G

Johann Kreiger

I) a b
(rpt)

G G D

bars: 1–7 7–9 10–15

II) a’ b’
(rpt)

D Em G

bars: 15–19 20–22 23–30

*****

Sonata in D (L.482) (K.389)

Domenico Scarlatti

I) a a a’ b c c
(rpt)

D D D D/A A A

bars: 1–5 6–10 11–14 15–18 19–27 28–40

II) a a a’ b c c
(rpt)

A/Bm Bm Bm/A A/D D D

7
bars: 41–44 45–48 48–51 52–55 56–64 65–77

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8
 Sonata in B-flat (first movement)

C. P. E. Bach

I) a b c d (inv. of b)
(rpt)

B-flat F F F

bars: 1–12 12–22 22–25 25–36

II) a’ b a’’ b

F/modulation Gm B-flat/modulation B-flat

bars: 37–60 60–70 70–80 81–91

c d
(rpt)

B-flat B-flat

91–95 95–105

*****

9
 Analysis

The three works under analysis are all pre-Classical period instrumental pieces that represent

different stages in the development of the ‘sonata-form’ principles. They are all in ‘binary’ form, a

structure used in dance movements of the Baroque, where each two halves are repeated and where

there is a thematic interchange between the tonic and the dominant. This harmonic aspect of binary

form is argued to be an important formal precursor to sonata-form movements (Webster 690).

*****

‘Corrente’ by Johann Krieger is a short dance movement. In its first half, it begins with an antecedent

melodic phrase in G major (a) that concludes in a full cadence in bar 7. A consequent phrase (b)

begins in G major but transitions in bar 9 to D major. This move to the dominant is affirmed by a full

cadence on D, which immediately precedes the repeat.

The second half of the movement begins with a varied re-statement of the ‘a’ phrase in

the dominant. In bars 20–22, a short passage in Em provides an effective means to make the

transition back to the tonic. A varied form of the second phrase brings us to a full cadence in G,

concluding the movement. Excepting the short passage in Em, the sectional structure follows this

pattern:

Table 1 – Krieger, Corrente

A–B:A–B

I–V:V–I

The thematic interplay we find between the tonic and dominant in this piece is the foundation of the

sonata-form structure (Webster 688), and we will find that the development of this basic idea is

subject to a great deal of elaboration in later works.

*****

10
Sonata in D (L.482, K.389) by Domenico Scarlatti follows the basic framework of the Corrente, but we

will find that the tonic-dominant relationship is further developed by the use of multiple themes.

The first theme (a) opens and closes on the tonic (D major), following the procedure we saw in the

Corrente. The theme is repeated (6–10) and is then followed by a variation that ends on a half–

cadence (11–14). The theme that follows (b) seems to be an auxiliary theme intended to accomplish

the transition to the dominant; it is an example of what Robert Webster identifies as the ‘(poorly

named) “bifocal close”’ (Webster 692). This device is a precursor to the later ‘transition’ theme of

sonata-form, which has the function of bridging the ‘First Subject’ and the ‘Second Subject’, while

also accomplishing the modulation from the tonic to the dominant (Webster 692). Despite Webster’s

apparent disdain for the name ‘bifocal close’, it is an apt description of its function, as the theme can

be viewed from a double perspective. We see in Table 2 that the melody of the theme can

simultaneously exist in relation to both D major and A major. We may illustrate it in the following

way:

Table 2 – Scarlatti, Sonata in D

a b – ‘bifocal’ c
D major I–I I–V
A major VI – I I–I
Bars 1 – 14 15 – 18 19 – 40

The tonal ambiguity of the ‘b’ theme means it can be heard as a logical continuation of the tonic ‘a’

theme, but also as a lead-in to the dominant ‘c’ theme. The ‘c’ theme that follows is fully in the

dominant, which is affirmed by a full cadence at bar 27. Like the ‘a’, the ‘c’ is repeated, and comes to

a close with an extension of its cadence figure (36–40). The overall sequence functions in this way:

Table 3 – Scarlatti, Sonata in D

theme a b c
key I – I, I – V, V–V
bars 1–14 11 14–18 19–40
After the repeat, the opening theme appears in the dominant (a’), but instead of completing the

theme in this key, it moves into B minor. This parallels the move to the relative minor we saw in the

Corrente, which preceded the return to the tonic. The modulated treatment of the opening theme at

this stage of the movement may be regarded as a precursor to the ‘development’ section of sonata-

form (Webster 693). This is then followed by the ‘bifocal’ theme, which appears without any

variation on its first appearance; the reversal of the sequence of tonic and dominant that we saw in

the second half of the Corrente now occurs here, and here the ‘bifocal’ theme has also reversed in its

function:

Table 4 – Scarlatti, Sonata in D

a b – ‘bifocal’ c

A maj I–I IV – I
D maj I–V I–I
Bars 41 – 51 52 – 55 56–77

What follows is a close repeat of the ‘c’ theme, this time in the tonic, which brings the movement to

a close. The use of multiple themes and linking material here is a significant elaboration of what we

found in the Corrente, and brings us closer to the sonata-form. We will see, however, that while

tonally ambiguous material, such as we find in the ‘b’ theme, may be useful for transitions from

tonic to dominant, their use may be regarded as somewhat mechanical or unimaginative, and as

offering less opportunity for affective expression, which became a priority in the late seventeenth

century (Burkholder 540). The modulating ‘transition’ and ‘development’ sections we find in later

compositions will offer a more suitable means to this end.

*****

Sonata in B-flat (1st movement) by C. P. E. Bach is longer and more detailed than the preceding

pieces, which allows for a more ambitious approach to the tonic-dominant interplay. The piece

12
opens with a theme (a) that does not conclude on the tonic triad (B-flat major) but rather ends on

the dominant (F major). This does not constitute a full cadence in the dominant, but a half cadence

in the tonic. This is the same ‘bifocal close’ we found in the Scarlatti, but here it has been placed in

the opening ‘a’ theme. The theme (b) that follows continues in dominant tonality where it concludes

in full cadence in bar 22. The sequence then introduces a new theme (c) in the dominant, which is

followed by an inverted variation on the ‘b’ theme (d), bringing us to the repeat with a full cadence

on F major.

Table 5 – Bach, Sonata No 4 (1st movt)

a b c d
B flat maj I –V
F maj I–I I–I I–I
Bars 1–12 12 – 22 22 – 25 25 – 36

The second section of the piece, (after the repeat) is approximately twice the length of the first

section, which allows for some considerable interest in the handling of the harmonic progression.

We open, as expected, in the dominant, but the material that follows, excepting the first two bars,

does not closely match the melody of the opening ‘a’ theme. The repeated bass quaver figures from

the opening theme are retained, but the upper material is highly modulatory and, again, appears to

function closely to the ‘development’ section in Classical sonata-form (Webster 693). When the

familiar bass note run of the ‘b’ theme recurs (b’), we may be surprised to note that we are in the

key of G minor, relative minor to the tonic. Just as the ‘Corrente’ and Sonata in D preceded their

return to the tonic with a transition through the relative minor, it appears that the Sonata in B-flat

(first movement) uses the same device, but on a larger scale.

A restatement of the ’a’ theme now recurs in the tonic, and it is important to note that this

feature, which we do not find in the earlier pieces, is the distinguishing characteristic of the sonata-

form ‘recapitulation’ (Webster 693). This ‘simultaneous return’ soon gives way to another

modulation section that allows the reappearance of the ‘b’ theme to occur in the tonic. This device

13
is a necessity in recapitulation sections, for if the material were to continue as it did in the

exposition, we would soon find ourselves in the dominant again. Once the modulation is achieved,

the remainder of the first section (c’ and d’) is able to repeat, without significant variation, in the

tonic and bring the movement to its full close.

In terms of the development of sonata-form, the most important feature of this work is the

use of three clearly defined sections which correspond to the sonata form’s ‘exposition’,

‘development’ and ‘recapitulation’. In the section before the repeat, we have a pair of theme groups

where the first (a, b) makes a transition from the tonic to the dominant, and the second (c, d) is fully

in the dominant. The section after the repeat consists of a free harmonic and melodic treatment of

the first theme group; most significantly in its use of minor tonality. This corresponds to the

‘development’ of the sonata-form. The concluding section, where all material has been returned to

the tonic, is a clear form of ‘recapitulation’ (Webster 692–93).

*****

14
Part two

Piano Sonata in F (first movement)1

W. A. Mozart

EXPOSITION

first subject group transition

a b c c’ d e

F major modulating

bars: 1–12 12–22 22–27 27–31 31–37 37–40

second subject group closing themes

f g h j k (rpt)

C major modulating C major

bars: 41–56 56–71 71–85 86–89 90–93

DEVELOPMENT

h’ g’

C modulating

bars: 94–108 109–132

1
This structure was developed with reference to the structure presented in Stainkampf (23).

15
RECAPITULATION

first subject group transition

a b c c’ c’’ d’ e’

F major modulating

bars: 133–144 144–154 154–159 159–163 163–167 167–172 173–176

second subject group closing themes

f g h j k (rpt)

F major modulating F major

bars: 177–192 193–205 206–221 221–224 225–228

*****

16
 Analysis

We will note that the Piano Sonata in B-flat (first movement) by C. P. E. Bach demonstrates that

many of the structural features of sonata-form, including those of thematic and harmonic interplay,

were well in place by the mid-eighteenth century. If we examine Piano Sonata in F (first movement)

by W. A. Mozart, we will see that aside from the harmonic and thematic aspects, there were many

other aspects of musical expression that needed to develop before the ‘baroque’ style could fully

give way to the ‘classical’ style. Most prominently, we will note that changes in dynamics and tempo

were essential to create the contrasting ‘affects’ of the period, but we will also note that these

developments did not work in isolation. Rather, we will find that the full development of musical

expression in mature sonata-from works derives from a unity of musical vision that is the underlying

principle of the Classical style (Heartz 450).

Perhaps the single greatest factor in the advance of the Baroque to the Classical was the

invention of the Pianoforte. We will note that in the late Baroque, a great deal of instrumental music

was written for keyboard instruments, which were the most common platform for instrumental

virtuosity (Mangsen 675). Given that the keyboard instruments at this time, such as the harpsichord

or organ, did not allow for dynamic expression, it should not come as a surprise that the works for

written for these instruments tended towards affective homogeneity (Webster 690). The

introduction of hammer-action keyboard instruments 2 meant that this type of music could be

subject to a new range of affective possibilities. We find that the music of the Classical period is

distinguished by its full embrace of these new possibilities, and also by the willingness of composers

to put them to extreme dramatic effect. We will find this factor at play in Piano Sonata in F.

In the opening measures of the movement (1–12), we see that the dance forms that gave

rise to the ‘baroque’ sonata style are still in evidence. The triple time signature and the Alberti bass

that appears in the opening theme (a) evoke the courtly world of dance movements. The theme that

2
The prototype of the pianoforte was invented around 1700, but would not be put to extensive use until later
in the century (Goodall 150).

17
follows (b) is in imitation of the first and there is a sense of affective unity between the two. When

the first group is complete, however, a new sequence of themes (c–e) enters, striking a contrast by

their changes in dynamic, their fierce rhythm and their frequent modulation. This ‘transitional’

theme group, which brings us to the dominant, is in the ‘Sturm und Drang’ style, which was a late

seventeenth century response to affective developments in German literature (Burkholder 540). Just

as suddenly, this violent transition brings us back to a gentle dance style in the second group themes

(now in the dominant) which are similar in affect to the first group. This second group consists of

four distinct themes (Steinkampf 23), including a simple dance theme in the dominant (f), a

modulating theme (g), another dance theme (h), and a sub-group of closing themes that bring the

exposition to a close (I–k).

We may have cause to wonder about the purpose of including a modulatory theme (g) in the

second group, especially when we note that it appears to link two themes in the same key. This

question is to some extent answered when the same theme appears as the main substance of the

development section, where it has the subsidiary function of bringing the harmony back to the tonic

(Webster 692). Modulating themes can be particularly useful in this way, for they can be directed to

different keys at different times without their general aesthetic integrity being disturbed.

One of the functions of the development section in classical sonata-form is to create a sense

of distance from the main key and themes, which lends more impact to the restatement of the

opening theme in the recapitulation. Frequently, a development section will begin with a varied or

modulating treatment of the first-group themes (Webster 693); we find in this movement, however,

that only themes from the second group appear; the second dance theme (h), here treated in C

major, and then the modulating theme (g), which moves through a number of keys before bringing

us back to the tonic. We may speculate that the use of these rather more obscure themes is

intended to further the sense of distance from the main tonic themes.

When we arrive at the recapitulation, we see that the first theme group (a–b) appears in full,

a convention we did not find in the earlier pieces. We may conclude, then, that in the Classical

18
sonata-form it is important that the first group themes are restated in full, for this constitutes the

completion of the ‘dramatic journey’ of the development. The first group now moves into the

transition theme (c) in the same manner as it did in the exposition, and we will recall that this theme

was modulatory in character; we will find, therefore, that only minor adjustments need to be made

for it now direct the tonality back in the tonic for the second theme group. This use of the transition

is also an innovation when contrasted with the late Baroque instrumental style. We note, for

example, that the Sonata in B-flat lacked just such a transitional theme and instead relied on a

mangling of the first group in the ‘recapitulation’ (bars 73 – 81) to make the proper transition to the

tonic for the subsequent themes. Once the transition has been made to the tonic at the reprise of

the second group, no further modulation is needed, so all the second group themes, including the

modulating ‘g’ theme, appear in same harmonic relation as they did in the exposition. The cadence

themes that closed the exposition serve just as well to close the full movement.

We will note that the affective contrasts of the movement, where we range from the

gentility of the waltz melodies, to the literary ‘sturm und drang’ we find in the modulating sections,

are all enabled by changes in rhythmic textures, by dynamic variations and by harmonic excursions

that go beyond the simple tonic–dominant interplay we find in Baroque movements. When we

consider the length of the movement (228 bars, not counting the repeat), it is difficult to imagine

that it would sustain its interest without recourse to these devices. It is in this expansion of affective

possibilities that allow the works of the classical period to grow to greater and more ambitious

dimensions than we find in the homogeneous Baroque forms. Therefore, we may do well to

conclude that the structural features of Classical sonata-form do not solely consist of the harmonic

and thematic interplay, but rather that the ‘Sonata Principle’ is based on an interaction of harmony,

melody, rhythm and dynamics; in other words, the full range of musical signification.

*****

19
Works Cited

Burkholder, J. Peter, Donald J. Grout, Claude V. Palisca. A History of Western Music, Seventh Edition.
New York, London: W. W. Norton & Co, 2006.

Goodall, Howard. Big Bangs, the Story of Five Discoveries that Changed Musical History. London;
Chatto and Windus, 2000. Print.

Hamilton, Kenneth. Liszt, Sonata in B Minor. Cambridge; Cambridge University Press, 1996. Print.

Heartz, Daniel. ‘Classical’ In The New Grove Dictionary of Music and Musicians. Ed S. Sadie. New
York:
Grove, 1980. 449 – 454. Print.

Hepokowski, James. ‘Beyond the Sonata Principle’ in Journal of the American Musicological Society,
Vol. 55, No. 1 (Spring, 2002), pp. 91-154. Web. Accessed 10/11/2010.
http://www.jstor.org/stable/831780

Irving, John. ‘Sonata, § 2: Classical’ In The New Grove Dictionary of Music and Musicians. Ed S. Sadie,
2nd edn. New York: Grove, 2001. 677 – 681. Print.

Mangsen, Sandra. ‘Sonata, § 1: Baroque’ In The New Grove Dictionary of Music and Musicians. Ed S.
Sadie, 2nd edn. New York: Grove, 2001. 671–677. Print.

Pauly, Reinhard G. Music in the Classic Period. Englewood Cliffs, NJ: Prentice-Hall, 1973. Print.

Rosen, Charles. Sonata Forms, rev edn. New York: Norton, 1988. Print.

Stainkampf, Eileen. The Form and Analyses of Mozart’s Pianoforte Sonatas. Melbourne: Allans Music,
1967. Print.

Webster, James. ‘Sonata form’. In The New Grove Dictionary of Music and Musicians. Ed S. Sadie, 2nd
edn. New York: Grove, 2001. 687–700. Print.

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