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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition
Author(s): James Hepokoski and Warren Darcy
Source: Music Theory Spectrum, Vol. 19, No. 2 (Autumn, 1997), pp. 115-154
Published by: Oxford University Press on behalf of the Society for Music Theory
Stable URL: https://www.jstor.org/stable/745751
Accessed: 23-01-2019 15:14 UTC

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The Medial Caesura and Its Role
in the Eighteenth-Century Sonata Exposition

James Hepokoski and Warren Darcy

I. STRUCTURAL PUNCTUATION AND SONATA THEORY As


As readers
readersof of
Koch
Koch
soonsoon
learn,learn,
he intended
he intended
his term his
"mel-
term "mel-
ody"
ody"totobebe
extended
extended
to encompass
to encompass
even aneven
entirean
movement:
entire movement:
As Heinrich Christoph Koch emphasized inbroader
the Second
broader structural
structural
principles
principles
are smaller
are smaller
ones writones
large.writ large.
Part of his Versuch einer Anleitung zur Composition "Melodic (1787),
"Melodicpunctuation"
punctuation"growsgrows
into what
intowewhat
might wecallmight
"struc-call "struc-
varying degrees of rhetorical articulation-especially tural
turalpunctuation."
punctuation."
hierar-
chically ordered cadences, pauses, and breaks-are central It
It isisour to
ourcontention
contentionthat that
an analysis
an analysis
of majorofpunctuation-
major punctuation-
the mid- and late-eighteenth-century sense of form. breaks
breaks(structural
(structural
He re-caesuras)caesuras)
leads one
leads into
one
theinto
heartthe
of aheart of a
productive,
productive,
ferred to this as the principle of "melodic punctuation" defensible
defensible
(die sonata-form
sonata-form
theory. theory.
Such a claimSuchis a claim is
melodische Interpunction) and noted that it wasnot operative
not new.
new. Musical
Musicalon
scholars,
scholars,
particularly
particularly
those informed
those informed
by the by the
work
workofofLeonard
both local and larger structural levels. This foundational Leonard
Ratner
idea Ratner
and others,
and others,
have been have
familiar
beenwith
familiar with
was introduced in Section 3, "On the Nature of Melodic the
theidea
ideafor for
decades:
decades:
thosethose
scholars
scholars
differ only
differin the
onlydegree
in the degree
Parts" (Von der Beschaffenheit der melodischen Theile): to
to which
which they
theyemphasize
emphasizethis feature
this feature
in constructing
in constructing
an an- an an-
alytical
alyticalmodel.
model.Karol
Karol
Berger
Berger
has recently
has recently
made several
made strong
several strong
By means of these more or less noticeable resting points of the spirit
[Ruhepuncte des Geistes], the products of [the] fine arts can be bro- statements
statements on on
its its
behalf
behalf
in discussions
in discussions
of Koch of
andKoch
the pri-
and the pri-
ken up into smaller and larger sections . . . Just as in speech, the macy
macyofof"punctuation
"punctuation form" form"
in the in
late-eighteenth-century
the late-eighteenth-century
melody of a composition can be broken up into periods by means style;
style;Charles
Charles
Rosen
Rosen
had acknowledged
had acknowledgeda similarapoint
similar
aboutpoint about
of analogous resting points, and these, again, into single phrases "breaks
"breaksinintexture"
texture"
and cadence-placement
and cadence-placement in Sonatain
Forms.2
Sonata Forms.2
[Sdtze] and melodic parts [Theile].1
Interpunction,"
Interpunction," see see
Koch,
Koch,
Versuch,
Versuch,
345 (Section
345 (Section
78), and Koch,
78), Introductory
and Koch, Introductory
We thank William Rothstein, Patrick McCreless, and David Grayson for Essay, 2.
their helpful comments on an earlier draft of this essay. 2 Karol Berger, "Toward a History of Hearing: The Classic Concerto, A
'Heinrich Christoph Koch, Versuch einer Anleitung zur Composition, Part Sample Case," Convention in Eighteenth- and Nineteenth-Century Music: Es-
2 (Leipzig, 1787; facsimile ed., Hildesheim: Georg Olms, 1969), 342-43. The says in Honor of Leonard G. Ratner, ed. Wye J. Allanbrook, Janet M. Levy,
translation above is adapted from that of Nancy Kovaleff Baker in Koch, and William Mahrt (Stuyvesant, N. Y.: Pendragon, 1992), 405-29; "The
Introductory Essay on Composition: The Mechanical Rules of Melody, Sec- First-Movement Punctuation Form in Mozart's Piano Concertos," in Mozart's
tions 3 and 4 (New Haven: Yale University Press, 1983), 1. For "melodische Piano Concertos: Text, Context, Interpretation, ed. Neal Zaslaw (Ann Arbor:

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116 Music Theory Spectrum

Nor has current music theory been


been silent
silent on
on this
this issue.
issue. secondary-theme
secondary-theme zone,
zone,
closing
closing
zone, zone,
and so and
on) within
so on)nor-
within n
In a recent inquiry into late-eighteenth-century
late-eighteenth-century structures
structures mative sonata construction in different times and in different
(including sonata form) from a Schenkerian
Schenkerian perspective,
perspective, places. Our most fundamental conclusion is this: each event-
William Rothstein began with fundamental
fundamental principles:
principles: zone within the sonata-genre is describable as a family of
hierarchically ordered standard options available to the com-
For Koch, form is [closely] identified
identified with
with cadence
cadence structure:
structure: ac-
ac-
cording to his definition, only a section
section of
of music
music ending
ending with
with aa perfect
perfect
poser, analogous to a menu of formatting options within a
authentic cadence may be termed
termed aa "period."
"period." computer program. Moreover, at any point within sonata con-
As Ratner rightly emphasizes, the
the 18th-century
18th-century view
view of
of sonata
sonata struction, a composer may choose either to realize a standard
form stresses cadences-the ends of sections-rather than thematic option in a more or less straightforward manner (thus reaf-
statements, which generally sound like beginnings (partly because firming the norm) or to treat that option more flamboyantly-
they tend to occur just after important cadences) . . . This emphasis
perhaps even submitting it to a deformation (stretching it to
on cadential goals matches perfectly Schenker's conception of sonataor even beyond its limits) or overriding the norm altogether
form.3
for a particular expressive effect. It is precisely in such a
personalized
So much might seem self-evident, common-sense itself. treatment of otherwise conventional features
Nevertheless, once one decides to develop these observationsthat the distinctive style and brilliance of a Haydn, a Mozart,
or a Beethoven lies.
into an expanded sonata theory, complications, individual
realizations, variants, and exceptions multiply rapidly. The In our view, moment-to-moment compositional ch
may be profitably understood as elements of an ongoin
present authors have been developing such a theory, in large
part generated inductively from the analysis of hundreds oflogue with reasonably ascertainable, flexible generic nor
sonatas, symphonies, overtures, quartets, and other chamberTrying to reconstruct this tacit dialogue can reawake
expressive
music from the late eighteenth- and early nineteenth-century power of a piece in ways that we believe
repertory. The works examined include not only those of remarkable.4 Our aim has been twofold: first, to (re
Haydn, Mozart, and Beethoven, but also those of other erate those norms-again, inductively (under the convict
composers preceding and surrounding them, including that the most valuable treatises on late-eighteenth-cent
"sonata form" were written by the great masters, not b
Sammartini, Stamitz, Cannabich, J. C. Bach, C. P. E. Bach,
Dittersdorf, Boccherini, Clementi, Dussek, Cherubini, and early theorists); second, to configure the norms into an
others. dered description of standard practices, deformations,
Our goal has been to seek a deepened understanding of overrides that we call "Sonata Theory" (with capital
the sonata as a historical genre. More specifically, we have
been trying to construct a more adequate description of the 4This is a different proposition from that provided by the usual
formational" theories of the sonata, which have typically erred through
event-zones (primary-theme zone, transition, medial caesura,
statement and overdefinition. An enlightening discussion of the histor
competing scholarly views of the sonata ("generative" versus "conf
University of Michigan, 1996), 239-59. Charles Rosen, Sonata Forms, rev. tional" views, "harmonic" or "linear-contrapuntal" versus "melodic"
ed. (New York: W. W. Norton, 1988), 99. and so on), along with a sensible conclusion for current practice, app
3William Rothstein, Phrase Rhythm in Tonal Music (New York: Schirmer, Mark Evan Bonds, Wordless Rhetoric: Musical Form and the Metaphor
1989), 111-13. Oration (Cambridge: Harvard University Press, 1991), 1-52.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 117

T).
T). Sonata
Sonata
TheoryTheory
seeks to beseeks
compatible
towith
be current
compatible
music- withrated
current
rated in this music-
in this
essay, the
essay,
two-part
theexposition
two-part is characterized
exposition
theoretical
theoretical (for example,
(for Schenkerian)
example,and Schenkerian)
established mu- and by
established
bya strong
a strong mu-
mid-expositional
mid-expositional
punctuation break,
punctuation
the medial br
sicological
sicologicalapproaches
approaches
to the sonata.to
Wethe
present
sonata.
our con- We present ouroften
caesura-most
caesura-most con-articulating
often articulating
a half cadence-followed
a half ca
clusions
clusions thus far
thusas cautious
far as propositions,
cautious notpropositions,
as unalterable not(almost
as unalterable
(almostinvariably)
invariably)
by a rhetorical
by adroprhetorical
to piano marking
drop theto pi
claims. We invite further refinement and/or correction of onset
onsetof aof
gentle,
a gentle,
usually contrasting
usually secondary-theme
contrasting zone second
these conclusions. in
inthe
the
second
second
key-area.
key-area.
This exposition
Thistype
exposition
is preponderant
type
Genre theory is a difficult matter, and we do not wish toin inMozart
Mozartand early
andBeethoven,
early Beethoven,
and it became notandonly
itthe
becam
minimize its complexities. We realize the gravity of the ques-most most significant
significant
format for
format
nineteenth-century
for nineteenth-cen
expositions
tions that any theory of genre involves: the problem of de- (sometimes
(sometimes in transformed
in transformed
or deformational
or deformatio
variants) but
fining the concept itself; vexing issues in the ontology of also
also thethe
modelmodel
passed on
passed
by textbooks-to
on by the textbooks-to
exclusion of
genres, including production and reception genres; the si- the
the continuous-exposition
continuous-exposition
alternative. This
alternative.
was the exposi-
Thi
multaneous existence of multiple, individualized conceptions tion
tion type
type
alluded
alluded
to by Riepel
to byin 1755
Riepel
and Vogler
in 1755
in 1778;and
of the genre (was Haydn's understanding of "sonata form," described
described by Koch
by in
Koch
1793 (in
inwhich
1793 the(in
first
which
theme canthebe fir
say, in 1785, the same as Mozart's?); the fluid nature of"ein
"ein
erweiterter,
erweiterter,
oder mitoder
mehr melodischen
mit mehr Theilen
melodische
ver-
genres, which change and transform throughout historical bundener,
bundener, und etwas
undrauschender
etwas rauschender
Satz" ["a somewhatSatz"
rush-["a s
time; the thorny matter of the horizon of expectations; anding
ingpassage,
passage,
expanded
expanded
or connectedorwith
connected
more melodic with
so on. We intend to address these conceptual matters in parts"]
a
parts"]and and
the second,
the second,
in the dominant,
in the is usually
dominant,
"ein can- is u
separate essay. For now, it has seemed best to provide ex-
tabler
tabler Satz"
Satz"
["a cantabile
["a cantabile
passage"]), by
passage"]),
Galeazzi in 1796
by (inGa
amples of the practical results of our work and to begin withwhich
which the the
second
second
theme is theme
the "passois
caratteristico"
the "passo ["char-
caratt
an examination of one of the linchpins of Sonata Theory: the acteristic
acteristic passage"]),
passage"]),
and by Kollmann
and by in 1799
Kollmann
(in which the
in 179
issue of structural punctuation. second theme is the "second subsection," also identified as
"a first sort of elaboration," occupying the latter half of the
first "section" of a typical "long movement"). It was also the
2. THE TWO EXPOSITION TYPES
exposition type outlined in Reicha's famous 1824-26 diagram
of "la grande coupe binaire" ("the grand binary design,"
Within eighteenth-century sonata form, differing treat-
whose "premiere partie, ou exposition des idees" included a
ment of cadences and caesuras in individual compositions
"premiere idee mere" [literally, "first mother-idea"], a
produced strikingly varied rhetorical shapes. "pont"
In turn, these
["bridge"], and a "seconde id6e mere dans la nouvelle
multiple shapes may be grouped into families, each["second
tonique" sharing mother-idea in the new key"]), and it was
certain crucial features. The differing rhetorical
most patterns pro- after Reicha by Birnbach in his 1827
notably elaborated
duced within the sonata exposition, for example, may
outline of what be the "Hauptform eines grossen Ton-
he called
regarded as falling into two broad families, or exposition
sttickes" (the "principal form of a large composition," in-
types. We refer to them as the two-part exposition
cluding an and
initial the
"Thema" followed by "der zweite Gedanke"
continuous exposition. ["second thought"] or "das zweite Thema"-the first use of
The first type, the two-part exposition, was the
by specific
far the termmost
"second theme"), Gathy in 1835 ("Haupt-
normative model of the late eighteenth century.
gedanke" As elabo-
and "Nebengedanke"), Czerny in c. 1837-49

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118 Music Theory Spectrum

("principal subject" and "middle subject"), Marx in 1837-47 employed


employed it it
throughout
throughouthis career.
his career.
It has been
It hasonly
been
cursorily
only cursoril
("Hauptsatz" and "Seitensatz"), and others. In addition, in treated,
treated,however,
however, in the
in the
scholarly
scholarly
literature.6
literature.6
The foremost
The foremo
some of his sketches from the years around 1800 (the op. 18 characteristic
characteristic of of
thethe
continuous
continuous
exposition
exposition
is the absence
is theofabsence o
quartets, the violin sonatas from op. 30, the piano sonatas the
thedefining
defining feature
feature
of a of
two-part
a two-part
exposition:
exposition:
a medial acaesura
medial caesu
from op. 31), Beethoven seems occasionally to have referred that
thatmakes
makespossible
possible
a subsequent,
a subsequent,
conceptually
conceptually
separableseparab
to this "second theme" with the abbreviation, "m.g." As secondary-theme
secondary-theme zone.
zone.
William Drabkin has speculated, this (foreshadowing the ter- Although
Although anan
adequate
adequate
discussion
discussion
of continuous
of continuous
exposi- expos
minology of Czerny?) may have been an abbreviation for tions
tionsmust
mustawait
await
a separate
a separate
study,
study,
we should
we mention
should mention
that that
"Mittel-Gedanke" ("middle thought").5 several
severalsubtypes
subtypes
maymay
be discerned,
be discerned,
of which
of two
which
are par-
two are pa
The second exposition type, the continuous exposition, is ticularly
ticularlynoteworthy.
noteworthy.In the
In first,
the first,
more common
more common
subtype, asubtype
encountered frequently in works of the second third of the brief
briefprimary-theme
primary-theme zonezone
or initial
or initial
thematic
thematic
module precedes
module preced
eighteenth century and in several of the works of Haydn, who aa relentlessly
relentlessly ongoing,
ongoing,
broadly
broadly
elaborated
elaborated
Fortspinnung--an
Fortspinnung--a
"expansion
"expansion section"
section"
(Entwicklungspartie),
(Entwicklungspartie),
as it hasasbeen
it has bee
5Early descriptions of the sonata are documented in many sources: e.g.,
called-that
called-that occupies
occupies
the the
bulk bulk
of theof
exposition
the exposition
and con- and co
Fred Ritzel, Die Entwicklung der 'Sonatenform' im musiktheoretischen Schrift- comitantly
comitantly avoids
avoids
(or (or
evades)
evades)
structural
structural
caesurascaesuras
(including(including
tum des 18. and 19. Jahrhunderts (Wiesbaden: Breitkopf & Hartel, 1968); decisive
decisiveperfect
perfectauthentic
authentic
cadences)
cadences)
at or around
at or the
around
mid- the m
Birgitte Moyer, "Concepts of Musical Form in the Nineteenth Century with
Special Reference to A. B. Marx and Sonata Form" (Ph.D. diss., Stanford,
1969); William S. Newman, The Sonata in the Classic Era: The Second Volume 6Apparently
6Apparently thethe
first
first
scholar
scholar
to identify
to identify
this "unusual"
this "unusual"
form was Jens
form Peter
was Jens Pete
of A History of the Sonata Idea, 2nd ed. (New York: W. W. Norton, 1972), Larsen,
Larsen,whowho in in
1963
1963
called
called
it a "three-part
it a "three-part
division division
of the exposition"
of the exposition"
(Drei- (D
19-42; Leonard G. Ratner, Classic Music: Expression, Form, and Style teilung
teilung. .. .. der
. der
Exposition)
Exposition)
in "Sonata
in "Sonata
Form Problems,"
Form Problems,"
Handel, Haydn,
Handel,
and Haydn,
(New York: Schirmer, 1980), 217-47; Ian Bent, Analysis (New York: W. W. the
theViennese
Viennese Classical
Classical
Style,
Style,
trans.trans.
Ulrich Ulrich
Kramer Kramer
(Ann Arbor:
(AnnUMI,
Arbor:
1988), UMI, 19
Norton, 1987), 12-32. The above refer to virtually all of these figures. More 269-79;
269-79;orig.
orig.
publ.
publ.
as "Sonatenform-Probleme,"
as "Sonatenform-Probleme," in Festschrift
in Festschrift
Friedrich Friedr
specifically: for Koch, see note 1 above (in this case the quotations are taken Blume
Blumezum zum 70 70
Geburtstag,
Geburtstag,ed. Anna
ed. Anna
Amalie Amalie
Abert andAbert
Wilhelm
andPfannkuch
Wilhelm Pfannk
from Part 3 of the Versuch, 1793, Sections 141 and 147, 364, 385; cf. the (Kassel:
(Kassel:Birenreiter,
Birenreiter,
1963),
1963),
221-30
221-30
("Dreiteilung"
("Dreiteilung"
on 226). In
on1988
226).
Kramer
In 1988 Kram
slightly differing translation-using "phrase" for "Satz" where we prefer translated
translated Larsen's
Larsen's
Entwicklungspartie
Entwicklungspartieas "elaboration
as "elaboration
section." Other
section."
HaydnOther Hayd
"passage"-in Baker, Introductory Essay, 221, 230). Bathia Churgin discusses scholars,
scholars,however-
however- suchsuch
as Michelle
as Michelle
Fillion Fillion
(see below)
(seeand
below)
JamesandWebster
James Webs
Galeazzi in "Francesco Galeazzi's Description (1796) of Sonata Form," Jour- (note
(note7 7below)-prefer
below)-prefer to translate
to translate
it as "expansion
it as "expansion
section." section."
nal of the American Musicological Society 21 (1968): 181-99. For Kollmann, In
In our
ouropinion,
opinion,
Larsen's
Larsen's
termterm
"three-part
"three-part
division"division"
is misleading,
is misleading,
because becau
see An Essay on Practical Musical Composition (facsimile ed., New York: Da it
it refers
referstoto
thethe
surface
surface
features
features
of only
ofone
only
variant
one of
variant
the continuous
of the continuous
exposition expositi
Capo, 1973), 5-6, and Ratner, Classic Music, 219. For Reicha, see Bent, (of
(of which
which wewe
have
have
identified
identified
several
several
subtypes).
subtypes).
Nevertheless,
Nevertheless,
it has become
it has beco
Analysis, 18-20, and especially Peter A. Hoyt, "The Concept of develop- aa common
common point
point
of reference
of reference
of theof
current
the current
Haydn literature,
Haydn literature,
as in Michelle
as in Miche
pement in the Early Nineteenth Century," in Music Theory in the Age of Fillion,
Fillion,"Sonata
"Sonata
Exposition
Exposition
Procedures
Procedures
in Haydn's
in Haydn's
KeyboardKeyboard
Sonatas," Sonatas
Romanticism, ed. Ian Bent (Cambridge: Cambridge University Press, 1996), Haydn
HaydnStudies.
Studies.Proceedings
Proceedings
of the
ofInternational
the International
Haydn Congress,
Haydn Washington,
Congress, Washingto
141-62. For Birnbach and Gathy, see Moyer, "Concepts of Musical Form," D.
D. C.,
C.,1975,
1975,ed.ed.
Jens
Jens
Peter
Peter
Larsen,
Larsen,
HowardHoward
Serwer, Serwer,
and Jamesand
Webster
James
(New
Webster (Ne
56-57, and Bent, Analysis, 25. For Czerny and Marx, see Moyer, "Concepts York:
York:W. W.W.W.Norton,
Norton,1981),
1981),
475-81.
475-81.
CharlesCharles
Rosen also
Rosen
speaks
also
of Haydn's
speaks of Haydn
of Musical Form," 65 and 69-125. For Beethoven's "m.g.," see William occasional
occasional "three-part
"three-partorganization"
organization"
in Sonata
in Forms,
Sonata rev.
Forms,
ed. (New
rev.York:
ed. (New Yor
Drabkin, "Beethoven's Understanding of 'Sonata Form': The Evidence of the W.
W. W.
W.Norton,
Norton,1988),
1988),
100-104,
100-104,
and provides
and provides
an example
an with
example
the Symphony
with the Symph
Sketchbooks," in Beethoven's Compositional Process, ed. William Kinderman No.
No. 44
44("Trauer"),
("Trauer"),
first
first
movement;
movement;
our analysis
our analysis
of the movement
of the movement
differs fromdiffers fr
(Lincoln: University of Nebraska Press, 1991), 14-19. Rosen's. See also the citations in note 7 below.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 119

point
pointofof thethe
expositionai
expositionai
space.7 space.7
A clear example
A clear is provided
example is providedmost (sometimes all) of the remainder of the expositio
by
bythethedogged
doggedFortspinnung
Fortspinnung
in the exposition
in the exposition
of the finale of result
of the finale of is a differing sort of mid-expositional expansion
Haydn's
Haydn's String
String
Quartet
Quartet
in B Minor,
in B op.
Minor,
33 no. 1.
op.
As33 discussed tion, one that keeps re-opening seemingly closed au
no. 1. As discussed
in
inSection
Section 6 below,
6 below,
other other
familiarfamiliar
occurrences
occurrences
of this subtype cadences through varied modular repetitions. This seem
of this subtype
are
arecomplicated
complicated through
through
suggestive
suggestive
mid-expositional
mid-expositional
feints be the procedure at work, for instance, in the first mov
feints
toward
toward normative
normativetwo-part
two-part
expositional
expositional
practices, aspractices,
if the as if of
theMozart's String Quartet in Bb major, K. 458 ("H
continuous
continuous exposition
exposition
that ultimately
that ultimately
results were
results
the product Regardless of the subtype encountered, attempts to an
were the product
of
ofa alast-moment
last-moment overriding
overriding
of the more
of the
normal
more
tendency
normalof tendencycontinuous
of expositions as if they were two-part expos
an
anexposition
expositionto subdivide
to subdivide
into twointo
parts.
twoBecause
parts.
the Because
(bythe
undertaking a fruitless search for a second them
strength
strength of of
these
these
mid-expositional
mid-expositional
feints can feints
vary, introduc- lead only to a misunderstanding of their internal proc
can vary, introduc-
tory
torygeneralizations
generalizations
about about
this subtype
this are
subtype
difficult
are
to make, Both two-part and continuous exposition types shar
difficult to make,
and each case demands individual examination. For the same tonal form. Each modulates to the key of the do
present, we must be content merely to cite a few additional (or, in most minor-mode pieces, to the major mediant
examples of the subtype: the opening movements of Haydn's directs its linear-contrapuntal energy toward a clearly
ulated tonal goal-usually the first satisfactory perf
Symphonies Nos. 44 ("Trauer"), 45 ("Farewell"), 96 ("Mir-
thentic cadence (PAC) in the new key (a root positi
acle"), and 103 ("Drum Roll"), as well as the first movement
of Haydn's Quartet in Eb, op. 33 no. 2 ("Joke"). cadence in which the outer voices arrive simultaneo
In the second continuous-exposition subtype-one also scale
of- degree 1). Once this cadence has been achieve
perhaps restated through a repetition of the S-theme
ten complicated through not-fully-realized gestures toward
two-part practices-an early structural perfect authenticcadential
ca- module), the tonal work of the exposition is
Although more music-perhaps a good deal-may fol
dence (PAC) in the second key-area (typically occurring
around 50 to 70% of the way through the exposition) isorder
fol- to accomplish various expressive or proport
satisfying tasks (Koch's "ein erklarender Periode" [clar
lowed not by a true second theme but by multiple, perhaps
period] or "Anhang" [appendix], Reicha's "idees acc
varied or expanded restatements of the immediately preced-
res" ["accessory ideas"]), the exposition has complet
ing cadential module. These reiterations continue throughout
essential mission, that of providing a clearly articulat
of closure in the new key. We thus refer to this crucia
V:PAC (or, in minor, III:PAC) as the point of essent
7Cf. note 6 above. See also A. Peter Brown, Joseph Haydn's Keyboard
Music (Bloomington: Indiana University Press, 1986), 295 ("a totally
positional
different
closure (EEC); the corresponding moment
exposition structure" for Haydn's Sonata in C minor, Hob. XVI: 20/1, recapitulation
in (I: PAC) is the point of essential sonata c
which "there is now an expansive transition that . . . dominates the (ESC).
entire (Table 1 lists all the abbreviations used in this ar
exposition"); James Webster, Haydn's "Farewell" Symphony and the In Ideaa of
two-part exposition the EEC marks the end of
Classical Style (Cambridge: Cambridge University Press, 1991), 166 ("one of
continuous exposition it marks the end of the cent
Haydn's special features of form: the so-called 'three-part' exposition. This
pansion
centers around a long, unstable Entwicklungspartie or 'expansion section' in section. Restated from a Schenkerian persp
the middle, preceded by a short first group in the tonic and followed ourbyterm
a EEC is generally equivalent-while acknow
short, contrasting, piano theme and codetta in the dominant."). occasional exceptions--to the point of completion of th

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120 Music Theory Spectrum

Table 1. Sonata Theory: Abbreviations


Abbreviations and
and Terms
Terms (with
(with page
page Because they share the same tonal form, these two ex-
references to definitions) position types are distinguished by their rhetorical form (the
caesura-fill (127) manner in which a work or section is articulated in terms of
C closing zone (121) modular arrangement, thematic type and topic, caesura and
complex grand antecedent (139) cadence treatment, dynamic and textural shape, and so on).
continuous exposition (118) This encompasses what Koch referred to as "die Anlage" (as
default (122) in "die Anlage der Sinfonie," "the plan of the symphony"),
deformation (116, 128, 129, 131) or its ordered succession of rhetorical events.9 This rhetorical
deployment sequence (127) form may be disposed according to the norms of different
EEC essential expositional closure (119, 120, 121)
rhetorical plots which had accrued to the tradition of the
ESC essential sonata closure (119)
sonata during the course of its historical development.
FS Fortspinnung modules (118, 133)
HC half cadence (121) Although the continuous exposition is primarily associated
IAC imperfect authentic cadence (122) with the works of Haydn, he also, of course, employed the
MC medial caesura (117, 121, 123) two-part exposition: indeed, in Haydn's hands witty interplay
medial-caesura deformation (123, 124, 131) between the two types became common. (Some examples are
MMS multimodular secondary-theme zone (147) provided in Section 6 below.) Beethoven certainly favored
P primary-theme zone (121)
P as grand antecedent (139)
PAC perfect authentic cadence (119) rebegins on and progresses this time to . In the two-part exposition, $ is
reached at the beginning of our second part, and it is prolonged by motion
point (zone) of conversion (133)
into an inner voice-that is, by the linear fifth-progression (Zug) 23-2-- in
PMC postmedial caesura (146) the key of the dominant. (This fifth-progression thus occurs at the second level
rhetorical form (120, 121) of the middleground.) During the second part of the recapitulation, the trans-
S secondary-theme zone (117, 121) position of this fifth-progression to the tonic effects the ultimate closure of
S-deformation (145) the interruption structure. See Heinrich Schenker, Free Composition, trans.
TMB trimodular block (146) Ernst Oster (New York: Longman, 1979), 133-39.
TMS trimodular secondary-theme zone (147) In large part, our decision to equate the EEC with the point of the com-
tonal form (119) pletion of the first linear fifth-progression in the key of the dominant follows

TR transitional zone (121-22) Rothstein's lead (Phrase Rhythm, 116, and private communication). We re-
alize that this is an enormously complex issue: for example, not all first PACs
two-part exposition (117)
articulate the completion of a fully supported fifth-progression; moreover,
under certain common conditions-thematic or cadential-modular repetition
linear fifth-progression (Zug) 53-4 -1 in the key of the dom-
among them-the EEC-effect of the first PAC can be deferred to the second.
inant.8 We also realize that many standard Schenkerian analyses would identify the
moment of expositional completion at the point of a later, sometimes stron-
8As is well-known, Schenker was convinced that sonata form grew out ger, fifth-progression. Our concern here is not so much one of expositional
of the interruption principle, whereby (for example) an Ursatz of the 3--ft closure (in the broadest or fullest sense of completion) as it is one of essential
variety attains the specific middleground form I- I--1 . In Schenker's view, expositional closure. We plan to address this topic in a separate essay.
the first branch of the interruption structure is completed in the exposition, 9Koch, Versuch, Part 3, 304 (Subsection 101); see also Koch, Introductory
and its concluding , is prolonged by the development; the recapitulation Essay, trans. Baker, 199.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 121

the
thetwo-part
two-part model
modelbut but
did on
didoccasion
on occasion
composecompose
a continuous
a continuous
often
often through
througha achain
chain of of
cadential
cadential
modules
modulesthat that
confirm
confirm
the t
exposition
exposition (as(as
in in
thethe
slowslow
movement
movementof the of
Sixth
theSymphony
Sixth Symphony PAC
PAC with
withvarying
varyingdegrees
degrees of of
strength."
strength." The The
tonaltonal
function
function
and,
and,arguably,
arguably, in the
in the
firstfirst
movement
movement
of the Seventh
of the Sym-
Seventh Sym- of of CC is
is post-cadential:
post-cadential: itsits
purpose
purpose
is to
is solidify
to solidify
further
further
the new
the n
phony,
phony,with
with itsits
quirky
quirky
cadential
cadential
complications),
complications),
a format athat
format thatkey,
key, often
oftenwith
withstronger,
stronger, more
more
vigorous
vigorous rhetoric,
rhetoric,
and toand
se-to
Mozart
Mozartusedused only
onlyrarely
rarely
(as in(as
thein"Hunt"
the "Hunt"
Quartet,Quartet,
men- men-cure
cure the
thetonal
tonalbalance
balance ofofthethe
exposition
expositionas tipped
as tipped
decisively
decisively
tioned
tionedabove).
above). By By
the the
onset
onset
of theofnineteenth
the nineteenth
century thecentury thetoward
towardthe thesecond
second key key area.12
area.12
continuous
continuous exposition
expositionwas was
almost almost
totallytotally
displaceddisplaced
by the by the Before
Before the thenon-tonic
non-tonic S can
S can
unfold
unfold
(initiating
(initiating
part part
2 of the
2 of th
two-part
two-partformat.
format. Although
Althoughoccasionally
occasionally
encountered
encountered
(as in (as in
exposition),
exposition),a amusical
musical space
spaceforfor
it must
it mustbe opened.
be opened.
In Allegro
In Alleg
the
theopening
opening movement
movement of Mahler's
of Mahler's
First Symphony),
First Symphony),
the the
compositions
compositions(rapid
(rapidfirst
firstmovements
movements or finales,
or finales,
overtures,
overtures,
continuous
continuous exposition
exposition
became
became
increasingly
increasingly
unavailable
unavailable
to to
and
and so
so on)
on)this
thisspace
space
cannot
cannot
be be
entered
entered
casually.
casually.
Rather,
Rath
composers
composers as as
a normative
a normative
option.
option.
Particularly
Particularly
because itbecause
was it wasS-space
S-space must
mustbebeforcibly
forciblymanufactured,
manufactured, through
through
a common
a commo
habitually
habitually overlooked
overlooked
by theorists,
by theorists,
it became
it became
lost to historical
lost to historical
device
device of
ofstructural
structuralpunctuation
punctuation
thatthat
we term
we term
the medial
the medial
cae- ca
memory-or
memory-or at at
least
least
to academic
to academic
or analytical
or analytical
memory.memory. sura
sura (MC).
(MC).AAmedial
medial caesura
caesura
is usually
is usually
built
built
around
around
a strong
a strong
half
half cadence
cadence(in
(inthe
themajor
majormode
modeeither
either
V:HC V:HC
or I:HC)
or I:HC)
that th
has
has been
beenrhythmically,
rhythmically,harmonically,
harmonically,
or texturally
or texturally
reinforced.
reinforce
3. THE FOUR ZONES OF THE TWO-PART EXPOSITION
This caesura has two functions: it marks the end of the first
part of the exposition (hence our adjective "medial"), and it
Eighteenth-century sonata expositions begin with an area
is simultaneously the decisive gesture that makes available
of tonal stability, the primary-theme zone (P), which estab-
the second part.
lishes the tonic key as a point of departure. In a two-part
In order to accomplish this, the MC requires energy. This
exposition one also finds a later, specialized musical space in
energy is supplied by the preceding transitional zone (TR).
a contrasting key: this is the secondary-theme zone (S), and
Within allegro movements, TR is an area of rhythmic verve
it persists until the articulation of the EEC. The tonal func-
tion of S is cadential: its purpose is to cadence decisively in
1Rothstein, Phrase Rhythm in Tonal Music, 114-18.
the new key.10 Upon the production of this PAC (again, one
12In our view, the name of a zone most properly signifies its rhetorical
sometimes restated through thematic or cadential-modular
rather than its tonal function. More specifically, "S" refers primarily to a
repetition, possibly varied), the exposition may enter a clos-
thematic function within a two-part exposition, a thematic function, we shall
ing zone (C), whose typical purpose is to reinforce the EEC, argue, occurring by definition after a clearly articulated medial caesura; the
usual tonal function of this zone is linear and contrapuntal (as discussed in
notes 8 and 10 above). A parallel argument might also be made for "C." We
10Cf. note 8 above. The argument in favor of considering the first sat- believe that it is imperative to maintain this distinction between the rhetorical
isfactory PAC as the conclusion of the second theme (or theme group) proper function of a zone and its tonal function. According to this distinction, the
is extraordinarily complex, but it is clearly suggested in Koch, Versuch, Part
linear-descent tonal function of the second portion of an exposition might
3, Section 101 (as translated by Baker in Koch, Introductory Essay, 199:arguably begin before the medial caesura, but the rhetorical "S" proper never
"Following the cadence a clarifying period is often appended"). The samewill. Still, speaking more casually, one might say that the (rhetorical)
position is taken by Rothstein in Phrase Rhythm in Tonal Music, 116. We shall
secondary-theme zone (S) is also normally superimposed over a cadential
deal with the problems of determining the extent of S-zones-along with
tonal function; similarly, one may also speak of the (rhetorical) closing zone
typical exceptions, and so on-in a separate essay. as having a post-cadential tonal function.

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122 Music Theory Spectrum

whose
whosepurpose
purpose is to
is enliven
to enliven
the texture
the texture
and drive and a seriesin a seriesalso possible
in drive possible for
for the
the MC
MC to
to be
be built
built around
around aa perfect
perfectauthen
authen
of
of energy-gaining
energy-gaining rhetorical
rhetorical
modules
modules
toward toward
a clearly aartic-
clearly artic- cadence, V:PAC
V:PAC (a
(a third-level
third-level default),
default), aa problematic
problematiceveev
ulated
ulatedmedial
medialcaesura.
caesura.
ThereThere
are many
are many
ways ofways of invigoratingthat occurs less often than either of the other two.15 We deal
invigorating
the
thetexture:
texture:a more
a more rapid
rapid
surface
surface
rhythm, rhythm,
an accelerated
an accelerated with the third-level default option in Section 9 below. Our
harmonic
harmonic rhythm,
rhythm, a higher
a higher
dynamic
dynamic
level, a level,
more active
a more ac- active ac-main concern in this essay is with half-cadence medial cae-
companiment
companiment pattern,
pattern,chromaticism,
chromaticism,
and so on. on. In addition,suras in major- and minor-mode sonatas.16
andInsoaddition,
TR
TR often
oftenfeatures
features a modulation
a modulationto theto
key theof key
the dominant
of the dominant The rhetoric of the two-part exposition may be schema-
or
or mediant.
mediant. Although
Although somesome
theorists
theorists
have viewed
have modulation
viewed modulation tized as:

as
as the
thehallmark
hallmark of the
of the
transitional
transitional
zone, itzone,
is better
it isregarded
better regarded P TR' S / C

as
as only
onlyoneone
common
common way way
of energizing
of energizing
the texture;
the texture;
many many where the MC is symbolized by the apostrophe and t
transitions do not modulate at all.13 A more accurate hall- (V:PAC or III:PAC) by the slash. The medial caesura an
mark is energy-gain. In general, a modulating TR in a major- secondary-theme zone are the defining rhetorical fe
mode exposition will drive toward a V:HC medial caesura, the two-part exposition. Both are lacking in the cont
while a non-modulating TR will drive toward a I:HC medial exposition. This means that as a compositional or ana
caesura. Because the former type of MC occurs more fre- construct "S" cannot exist unless a medial caesura has
quently than the latter, we refer to these two cadences as the a space for it. This leads to a central axiom of Sonata
first-level default (V:HC) and the second-level default (I:HC) one that determines with which type of expositio
for the medial caesura in major-mode compositions.14 It dealing: is If there is no medial caesura, there is no S. I
words, if there is no medial caesura, we are confr
130ne of the first (erroneously) to insist on modulation as the crucialcontinuous exposition, for which "S" is an inappr
concept.
feature of the TR (Uebergang) was A. B. Marx, as in his discussion of "Die
Sonatenform" (the "Dritter Abschnitt" [Third Subsection] of the "Vierte
Abtheilung" [Fourth Section], itself entitled "Die Sonatenform") in the third
volume of Die Lehre von der musikalischen Komposition (orig. publ. 1845).
We have consulted the 4th ("unveranderte") edition (Leipzig: Breitkopf &
Hartel, 1868), Vol. 3. Marx's comments on the modulatory transition are
found on 223-24. the Evolution of the Viennese Classical Style," Journal of the Amer
According to Marx, a I:HC medial caesura (though he did not use thatsicological Society 42 (1989): 275-337. (The present authors, howev
find the term "bifocal close" for the I:HC MC to be helpful.)
term) was appropriate only to the sonatina form (204-207, the commentary
on his self-composed Example 226). The larger sonata required a more ex- 15An imperfect authentic cadence (V:IAC) may substitute for th
as a weaker third-level MC, as, for instance, in m. 77 of the first m
pansive, modulatory Uebergang, concluding normally, to judge from his self-
composed example (No. 257), with a V:HC. Immediately after providing the of Beethoven's String Quartet in C Major, op. 59 no. 3, although th
example, however, Marx (surprisingly) provided an alternative (No. 258) is complicated by the immediately preceding statement (in m. 76) o
furnishing a V:PAC MC, which he then declared to be "eben so gut" ("just at first taken to be a standard V:HC MC. See note 26 below.

as good") as the more normative V:HC, although it did require a different 16Because minor-mode expositions may modulate to either the m
or (much more rarely in the late eighteenth century) the minor dom
kind of Seitensatz to follow it. Statistically, however, the V:PAC MC occurs
much less frequently in the eighteenth-century repertory. their defaults are somewhat more complex. Either III:HC or v:HC ma
14Robert S. Winter provides statistical evidence of the frequency of the as the first-level default, i:HC as the second-level default, and either II
I:HC medial caesura in Haydn, Mozart, and others in "The Bifocal Close and or v:PAC as the third-level default.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 123

4. THE MEDIAL CAESURA: FIRST PRINCIPLES Before proceeding further, it may be helpful to recall so
unambiguous instances of this structural caesura. Two
The basic notion of a musical caesura (implying a break, equivocal examples are:
gap, or cut; from the Latin caedere, to cut down) is elemen-
1) Haydn, Symphony No. 104 in D ("London") first movement
tary enough: the term may refer to any break or pause, how- ample 1): medial caesura (V:HC) at m. 64, onset of S at m. 65. No
ever mild, in the texture. Our concern here is with the spe- the grand forte set-up, with 4-#4-3 (in the key of the dominant
cially privileged, generically stylized medial caesura: the brief,
the bass at mm. 56-57, and the strong laying-down of the new do
rhetorically reinforced break or gap that serves to divide an inant (V/V, mm. 57-64), ending with the typical three "ham
exposition into two parts, tonic and dominant (or tonic and blows" (mm. 63-64) that one often finds at the caesura-point.
mediant, in most minor-key sonatas). Its effect is usually that Haydnesque first-level default for S ensues immediately after
of an emphatic pause for breath before launching the expo- GP-breath (three-quarters of a measure): a drop to piano an
sition's second part. relaunch through a restatement, or varied restatement, of
Since a medial caesura, by definition, marks the end-point P-theme-incipit transposed to the dominant (m. 65).
of a TR within a two-part exposition, it must be built around 2) Mozart, Symphony No. 40 in G Minor, K. 550, first movem
a cadence: either an HC or a PAC.17 Because TR is construed medial caesura (III:HC) at mm. 42-43, onset of S at m. 44. Ag
as driving toward an arrival-point within a succession of
we find an energetic forte drive, locking onto the prolonged, e
phrases, that caesura-point must articulate the end of phatic
a V/III (mm. 38-42), with reiterative motivic figures. This ti
phrase. In our judgment, the concept of the phrase is most
productively understood, both historically and theoretically,
as admitting only two choices for its end-point: a half cadence
of Beethoven's Symphony No. 9. In each of these pieces the rhetorical, fo
or an authentic cadence. It is true that a general pause (GP) drive to the "normal," phrase-completing MC is prematurely shattere
mid-phrase
gap may be produced after a deceptive cadence (DC) (as in on either a predominant or a cadential 6 chord. This dyna
collapse yields at once to an expanded passage of "caesura-fill" texture w
that brilliant, sudden gasp in Haydn's "Farewell" Symphony,
suddenly reduced dynamics. (Caesura-fill is discussed in Section 5 belo
first movement, m. 55) or that textural breaks might occurMost unusually, the expanded caesura-fill, seemingly suspended in the
on pre-cadential harmonies such as ii or IV. But since these ened caesura-gap, is obliged to complete the cadential, phrase-ending ro
harmonies do not end phrases, they cannot normally be con- the otherwise blocked MC. In each case the cadence thus produced is a
sidered medial caesuras. They cannot open S-space and di-
in the new key. The "Linz" example is discussed at the end of Section 9 be
Such a procedure, exceptional in the decades around 1800, would ha
vide an exposition into two parts.18
enormous repercussions later in the nineteenth century. In confronting a w
from the mid-1800s one should be less surprised to encounter a blocked
17V:IAC may sometimes-though infrequently-substitute for V:PAC, as
even suppressed) MC, followed (or replaced) by a broadly expansive
discussed in note 15 above. energizing transition" with reduced dynamics or even sounded in diminuen
8SThe only exceptions to this principle (apparently rare in the late eigh-
strikingly non-normative by earlier, eighteenth-century standards. In m
teenth and early nineteenth centuries) would seem to be clearly demonstrablecases a de-energizing transition falls inexorably to a PAC in the new key, t
medial caesura deformations: texturally recognizable MC-moments subjected unlocking the secondary-theme zone. Examples may be found in the in
to unusual treatment, such as one finds, for example, in the opening move-
movements of Schumann's Symphony No. 4 and in Brahms's Symphonies
ments of Mozart's Symphony No. 36 in C Major, K. 425 ("Linz") and Haydn's
2 and 3. Their historical antecedents in this practice are doubtless such wo
Symphony No. 83 in G Minor ("Hen"), as well as in the second movement as "Linz," "Hen," and the Ninth Symphony.

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124 Music Theory Spectrum

the
theMC-figure
MC-figurecontains
contains
two hammer
two hammer
blows rather
blows
than rather
three (m.than
42); three (m. 42); that
drive
drive that usually
usually sustains
sustainsor
oreven
evenincreases
increasesthe
theenergy
energy
the
thecaesura
caesura(gap)
(gap)
lasts lasts
for one
for
andone
one-quarter
and one-quarter
measures. The
measures.cumulated
The
cumulated up
up to
to this
this point;
point;4)4)the
thearticulation
articulationofofthe
th
Mozartean
Mozartean first-level
first-level
default
default
for S immediately
for S immediately
follows the MC:
follows
a the proper.
MC: a (Not
proper. (Not all
all Allegro
Allegrocompositions
compositionspresent
presentallallfour
fourofof
t
drop
droptoto
piano
piano
and and
a relaunch
a relaunch
with a new,
withcontrasting
a new, contrasting
theme (m. 44). theme (m. 44).
events:
events: it
it is
is possible,
possible, for
forinstance-especially
instance-especiallyininless
lessrheto
rhe
Such
Suchfamiliar
familiar
examples
examples
could be
could
multiplied
be multiplied at length: ically
at length: un- ically
un- grand
grand works-to
works-to sound
soundthe
theMCMCatatthethemoment
moment of
mistakable
mistakable medial
medial
HC-caesuras
HC-caesuras
immediately
immediately
followed byfollowed arrival
arrival
by of of the
the structural
structuraldominant,
dominant,asasininthe
thefirst
firstmovem
mov
piano
pianoS-themes
S-themes launching
launching
a seconda part
second
abound
part
in the clas- in theof
abound Mozart's
Mozart's Piano
clas- Piano Sonata
Sonatain inCCMajor,
Major,K.
K.309,
309,m.m.32.)
32
sical
sicalrepertory.
repertory. OnceOnce
past these
pastsimpler
these examples,
simpler however,
examples, however, In order
order to
to function
function as asaanormative
normativemedial
medialcaesura,
caesura,
tht
defining
defining thethe
term term
"medial
"medial
caesura"caesura"
turns out turns
to be noout the half
easyto be no easy half cadence
cadence that
that concludes
concludesTR
TRmust
mustbebeadditionally
additionally
matter.
matter. In In
thethe
late-eighteenth-century
late-eighteenth-centurystyle we encounter inforced.
inforced. More
style we encounter More specifically:
specifically:
not
notonly
onlymedial
medial
caesuras
caesuras
in various
in various
strengths,strengths,
positions, and
positions, and
1) The
The structural
structural dominant
dominant(the
(thearrival
arrivalof
ofwhich
whichusually
usually precede
prece
formats but also "medial-caesura deformations" for non-
MC proper,
proper, often
often by
by several
severalmeasures)
measures)isisoften
oftenapproached
approached thrt
normative expressive purposes. a chromatically
chromatically altered
altered predominant
predominantharmony
harmonythatthatcontains
containst4.t4
Within an expansive, Allegro composition a simple half
altered
altered predominant
predominant is is most
mostoften
oftenananapplied
appliedchord
chord (V/V,
(V/V,V7V
cadence (V:HC or I:HC) is generally insufficient to create a or
viio/V,
viio/V, or viio7/V
viio7/V in
in root
rootposition
positionor
orinversion)
inversion)ororanan
augmented
augmente
medial caesura, at least one commensurate in strength tochord.
the The
chord. The chromatic
chromatic line
line4-(4-S
4-(4-Sor
or3-#4-S
3-#4-Soften
oftenappears
appears
in
of the
the outer
length of the preceding material (P + TR).19 In most cases outer voices;
voices; if
if an
anaugmented-sixth
augmented-sixthchord
chordisis
employed
employ
something more is needed by way of local enhancement. typical
typical
For bass
bass line
line is
is b8-S.
b8-S.The
Thetexture
textureatatthis
thismoment
moment is is
chara
char
istically
istically vigorous,
vigorous, highly
highlyactive;
active;the
thedynamics,
dynamics,usually
usually
a strong
a strongf
this reason one typically finds concomitant contrapuntal, har-
will persist
persist or
or even
even gain
gainin
inintensity
intensityininthe
thesubsequent
subsequent drive
drive
t
monic, and rhetorical gestures that call attention to the event
medial caesura.
and identify it generically as a medial caesura. Limiting
ourselves for the moment to the more common situation,
2) an
Once the structural dominant has been sounded, it may b
torically emphasized through energetic reiterations of the ha
MC built around a half cadence, we may say that the medial
dence. The music goes through the cadence several times,
caesura is usually produced as the final moment of articu-
lation following several measures of preparation on a proaching
pro- and rearticulating it, in this way helping to produ
characteristic rhetorical drive toward the MC proper.
longed structural dominant (V or V/V). Thus a common se-
quence of events is: 1) the presentation of the initial stages
3) The structural dominant is frequently prolonged, perha
of TR, by and large consistently gaining in energy; 2)neighbor
the motion, as part of the drive to the MC proper. This
attaining of the structural dominant, which is then locked involves alternating V with a neighboring 6, producing 36-, nei
motion. Sometimes the neighboring 6 is supported by 1 in th
onto as a literal or implied pedal; 3) the prolongation of that
dominant and the rhetorical drive to the medial caesura-a creating an apparent V-I-V alternation. (This technique shou
be confused with a reiteration of the HC, No. 2 above).

19This is not necessarily the case within slow movements in sonata4) (or
The normative, unflagging drive in the space between the
onto the structural dominant and the actual articulation of the MC
sonatina) form, especially in early examples (such as J. C. Bach Sonatas) or
is of cardinal expressive importance. Any attenuation of dyna
other small-scale (binary) movements. There a simple HC, usually followed
by a brief rest, often serves to effect the MC. here should be viewed as counter-generic, or perhaps-especiall

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 125

the
the later
later eighteenth
eighteenthcentury-as
century-as a less
a less
common,
common, second-level
second-level
default
default the next stage of
of the
the sonata-exposition,
sonata-exposition, usually
usually at
at aa lower
lowerdynamic
dynamic
that
that calls
calls attention
attentiontotoitself
itself
andandchallenges
challenges
thetheprevailing
prevailing
norm norm
of of level. (Note, however,
however, that
that when
when SS begins
begins with
with an
an upbeat,
upbeat,asasin
inthe
the
energy-gain.
energy-gain.Depending
Dependingonon the
thecircumstances,
circumstances, a dynamic
a dynamic
emptying
emptying first movement
movement of
of Mozart's
Mozart's Piano
Piano Sonata
Sonata in
in D,
D, K.
K. 311,
311,m.
m.17-
17-
or collapse
collapsein inthis
thisspace
spacecan
can
represent
represent a momentary
a momentary crisis
crisis
of energy
of energy following a I:HC
I:HC MC
MC in
in m.
m. 16-that
16-that upbeat
upbeat might
might occupy
occupythe
theimplied
implied
or confidence,
confidence,a asudden
suddenloss
loss
ofofrhetorical
rhetorical
will,
will,
a seeming
a seeming
hesitation
hesitation GP-gap. Section 55 below
below also
also discusses
discusses the
the common
common procedure
procedureof
of
in one's
one's decision
decisiontotoenter
enterS-space,
S-space, or or
something
somethingsimilar.
similar.
In such
In such caesura-fill.)
instances
instances the
theSSthat
thatfollows
followsthethe
dynamically
dynamicallyweakweak
MC MC
might
might
com-com-
7) Immediately following the MC proper (after the implied or actual
pensate
pensate for
forthis
thisenervation
enervation (as(as
is is
suggested
suggested
alsoalso
at the
at the
end end
of No.
of No.
GP-gap), one expects to find a sudden change of texture, usually
7 below).
combined with a precipitous drop from forte (at the MC point) to
5) At the point of the MC proper one often hears several forte piano and the unfolding of a melody articulating the second expo-
hammer blows (three is the most common number) that ostenta- sitional key. This abrupt dynamic/textural change strongly suggests
tiously reiterate the final dominant chord. The hammer-blow effect the immediate emergence of a normative-rhetorical candidate for
is a common means of bringing the energy-gain of TR to a terminal S-status (the launching of the second part of the exposition), an
peak and, simultaneously, of beginning to discharge the tension for emergence that usually confirms the MC-status of the preceding HC.
the subsequent drop to S. The first of these hammer blows typically Particularly in large-scale compositions, this criterion is of crucial
falls on a strong beat, often (though not invariably) on an accented importance: the change of texture and/or dynamics functions as
measure of hypermeter. Particularly characteristic is the disposition the standard gesture that accepts and ratifies the preceding caesura
of the hammer blows in such a way that the second (or second and as the MC. Pointedly refusing to initiate any of the characteristic
third) is sounded an octave below the first. Within melodic phrase- opening-types of an S-theme at this moment may signal that the
endings, Koch referred to this formulaic octave-drop gesture (on preceding, proposed MC is being declined by subsequent events.
weak beats or measures) both as a type of "Nachschlag" (a striking (This topic is taken up in Section 7 below.)
afterwards) and as a "Casur" that has been provided with an "Ue- But to this general principle of the piano S, far and away the standard
berhang" (an overhanging) or "einen weiblichen Ausgang" (a fem- option, one should add a word of caution. Although it cannot be
inine ending).20 Ascending octave-leaps-far more energetic-are maintained that the beginning of an S-theme can never be articulated
also possible as part of this Nachschlag figure. at a forte dynamic level, in context such suddenly blurted or surging
S themes are almost invariably reactive to some earlier crisis in the
6) At the point of the MC one frequently encounters a general pause
(GP) or rest in all voices. This is one of the main hallmarks of an TR zone (especially to a crisis in the articulation of the MC, one type
unequivocal MC, and it usually signals the precise moment of the of which is suggested in No. 4 above). To be sure, the unusual, forte
medial caesura. The silence of the caesura-gap is a watershed mo-
S may be found to great effect here and there in Mozart and
ment relinquishing the preceding drive and energy-gain. The silence Beethoven, but it seems to have been of special interest to the
articulates and represents energy-loss, thus initiating the subsequent, mature, ever-inventive Haydn, in whose works the S-ness of the forte
normative drop to piano for S. From the vantage-point of TR, how- theme, when it occurs, is usually identifiable through its monothe-
ever, the point is that a higher level of activity and energy has been matic incipit, recalling P. (It is encountered, for example, in several
attained: the gears have shifted, and we are now prepared to enter of the "London" Symphonies, with locally clever implications, as in
the first movement of Symphony No. 99 in El, m. 48.)

20Koch, Versuch, Part 2, 394 (within Subsection 95 and subsequent sub- As an illustration of the above principles, the V:HC medial
sections, which deal at length with the central concept of the caesura); Koch, caesura in the first movement of Haydn's Symphony No. 104
Introductory Essay, transl. Baker, 23-24 (the translation used here). (Example 1) is reinforced by conditions 1 (approach to the

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126 Music Theory Spectrum

Example 1. Haydn, Symphony No. 104 in D Major, first movement: mm. 54-66

[Allegro]
A I 54 1 J - Z -/ __ __ -1 i Ii

t 1 ' - I 1 1 1 l t l

4Ir-

I ::-I Ir i p
7 _.W

dominant
dominant
through V6/V, with 4-#4-3through
in the bass, mm. 56- to qualify as a medial
V6/V, with caesura. By this principle, an HC-
4-#4-3 in
57),
57),
3 (prolongation
3of V(prolongation
by 5-6-5 neighbor motion, mm. caesura
of reinforced
Vonly by by a single condition might sound
5-6-5 neigh
57-62)
57-62)
fortified by a constant energy-gain up to the MC, 5 by arelatively
fortified strong within a small-scaleenergy-gai
constant exposition but relatively
(three
(three
hammer blows, mm. hammer
63-64), 6 (general pause, m. 64),
blows,weak within
mm. a much larger63-64),
exposition. 6 (gen
and
and
7 (change of 7texture(change
and emergence of the new of Another concern
key, m. texture andsurroundingemergence
the identification of a me- o
65).
65).
The III:HC medial
The caesura in III:HC
the first movement of dial caesura caesura
medial is its temporal (proportional)in
appropriateness-
the f
Mozart's
Mozart'sSymphony in G minor isSymphony
bolstered by the same five its preciseG
in placement within an exposition.is
minor This issue is com-
bolster
conditions:
conditions:
here the dominant is approached here
through V7V the dominant is approa
plicated by the fact that an MC (including the possibility of
(mm.
(mm.
34-37), the neighboring
34-37),6 motion is expandedtheto in- the third-level default, V:PAC) could occur
neighboring 6 anywhere
motionfrom
clude
clude
vii7/V over a dominant
vii7/V pedal, and there are
over
only two about 15% to 70% of the way through
a dominant an exposition. To be
pedal, and t
hammer
hammer blows (m. 42, including the
blows
characteristic octave- sure, this isincluding
(m. 42, a broad expanse of expositional space,
the even ch
drop).
drop).
Because these two medial
Becausecaesuras are reinforcedthese
by though
two most cases fall before the halfway point.caesuras
medial Our research
the
the
same conditions,
same they may be heard
conditions,
as roughly equivalent suggests
they that the may
deployment of the be I:HC MC is flexible,
heard as
in strength. occurring typically within the 15-45% range: what is note-
In general, the more conditions involved, the more de- worthy here is the early availability of the I:HC MC. Beyond
cisive the caesura. Moreover, the strength of an MC is rel- the 45% point-and especially in grand-scale works, such as
ative to the overall proportions of the exposition. Thus, symphonies, often earlier than this-the I:HC MC seems to
within Allegro compositions, the larger the scale of the ex- have been considered either eclipsed altogether or increas-
position, the more conditions the HC should meet in order ingly and rapidly left behind as a practical option. Thus the

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 127

second-level-default I:HC is the first temporally available 107-measure


107-measure exposition;
exposition;ininMozart's
Mozart'sSymphony
Symphony No.No.
40,40,
thethe
MC-deployment option within an exposition. (Haydn's ex- III:HC
III:HC MC-the
MC-theminor-mode
minor-modeequivalent
equivalent ofof
the
the
V:HC
V:HCoption
option
positions, for example, sometimes make an early structural- in major-occurs
major-occursatatthe
the42-43%
42-43%point.)
point.) Correspondingly,
Correspondingly, thethe
dominant or even MC-like feint toward this I:HC option only third-level-default
third-level-defaultV:PAC
V:PACMCMCoption
option is is
usually
usually
located
located
in the
in the
to renounce it or pass it by for a later V:HC or V:PAC MC. 50-70%
50-70% (very
(very rarely,
rarely,75%)
75%)range.
range.This
Thisis is
thethe
last
last
available
available
In such cases the witty effect, found in many of the "Paris" deployment
deployment option,
option,and
andititisissometimes
sometimes encountered
encountered as aas a
and "London" Symphonies, can be that of demonstrating the recovery
recovery from
fromaafailed
failedattempt
attemptatatproducing
producing
a V:HC
a V:HC
MC.MC.
AnyAny
compositional options that he is choosing not to deploy.) strong
strong caesura
caesurafalling
fallingoutside
outsidethese
theseboundaries
boundariesis either
is eitheran an
The normally available range for the more common, first- exceptional
exceptional MC
MC(in
(inwhich
whichcase
casea acogent
cogent
argument
argument on on
its its
be-be-
level-default V:HC MC overlaps broadly with that of the half
half would
would have
haveto
tobe
beoffered)
offered)or,or,more
moreoften,
often,
no no
MCMCat all.
at all.
I:HC MC but in general occurs slightly later: when selected, More
More important
importantthan
thanthe
theprecise
precisepercentage
percentage
numbers,
numbers,
the V:HC MC option is typically placed from about 25 to 50% which
which admit
admit of
ofexceptions
exceptionsand
andmay
maybebeadjusted
adjustedthrough
through
sub-
sub-
(more rarely 60%) of the way through the exposition.21 (In sequent
sequent research,
research,isisthe
theoverriding
overriding principle
principle
of of
thethe
normative
normative
Example 1, from Haydn's Symphony No. 104, the V:HC MC deployment
deployment sequence
sequenceofofpotential
potentialstructural
structuraldominants
dominants and/or
and/or
concludes at the 45% point in m. 64, the 48th measure of a MCs:
MCs: the
the initially
initiallyavailable
availableI:HC
I:HCsoon
soon
overlaps
overlaps
with
with
andand
eventually
eventually gives
givesway
waytotothe
theV:HC
V:HCoption;
option;if if
thethe
V:HC
V:HC
option
option
is not
not selected,
selected,the
thelast
lastchance
chancetotoproduce
produce a two-part
a two-partexpo-
expo-
21From time to time Haydn's obsessive drive for unpredictable or non-
sition
sition resides
resides with
withthe
thepossibility
possibilityofof
articulating
articulating an an
appro-
appro-
normative originality produces extraordinary exceptions to this principle.
What appears to be the V:HC MC in the first movement of Symphony No. priately
priately placed
placedV:PAC
V:PACMC.
MC.Any
Anyrelatively
relatively
late
late
V:PAC
V:PAC
MCMC
82 in C Major ("Bear"), for instance, occurs in m. 69, 68% of the way through brings
brings with
with ititcertain
certainstructural
structuralcomplications
complications
andand
potential
potential
the exposition. In part, this occurs as a result of Haydn's earlier dalliance with ambiguities.
ambiguities. We
Wedefer
defera adiscussion
discussionofof
these
these
until
until
Section
Section
9 9
the I:HC option (notice the bassline's lock on V/I, mm. 33-39, gradually below.
loosened in subsequent measures), his slowly-unfolding rejection of that op-
tion, and his witty composing-out (with bearish growls in mm. 51-52?) of the
prolonged difficulty of finding the new V/V structural dominant, which is
finally attained only in m. 59 (as one of the consequences of an unusual, 5. BRIDGING THE GAP: CAESURA-FILL AND CAESURA DEFORMATION

preceding drop to piano [m. 57] and marked also with a thematic module in
the upper voice that anticipates the new-theme-to-come at m. 70). Larsen,
Condition 6 above is the general pause (GP). This
"Sonata Form Problems," 274, takes the following piano theme, m. 70, to
in all voices is usually short, lasting at most a measure o
be an archetypal example of the opening of the third part of a Haydnesque
or, more often, less than a measure. But sometimes that brief
"three-part division of the exposition" (what we call a "continuous exposi-
tion," as discussed in note 6 above). In this case we disagree. Based both on gap-whose very frequency in the eighteenth-century style
the peculiar rhetorical narrative produced in TR and on the acceptably S-like gave rise to the term caesura in the first place--is filled by
rhetoric of the piano theme at m. 70, anticipated in the preceding drive to
bridging material in one or more voices. This bridging ma-
the MC, we believe it preferable to understand that theme as an extraor-
terial might be a sustained dominant pitch or chord in the
dinarily late S. (The first movement of Symphony No. 97 in C, which Larsen
also regards as an archetypal example of expositional Dreiteilung, presents upper parts, the initiation of a new accompaniment pattern,
remarkably similar, though ultimately more problematic issues. There the a short melodic descent leading to the initial tonic of S, and
S-status of the analogous theme is not quite so convincing.) so on. Our term for this material is caesura-fill.

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128 Music Theory Spectrum

An
An elementary
elementary
instance ofinstance
caesura-fill occurs
of caesura-fill
in the first from
from
occurs the
intheharmonic
the harmonic
firstinterruption
interruption
on V (the caesura)
on V (t
movement
movement of Haydn's
of Symphony
Haydn's No. Symphony
100 in G ("Military").
No. 100 inrestart on the new tonic that follows.
G ("Military").
Here
Here the the
MC (V:HC)
MCis (V:HC)
reached at the
is reached
downbeat of m. at73.22
the downbeat
A simple of m.
case may73.22
be found in the finale of Mozart's Piano
Most
Most of the
oforchestra
the orchestra
stops playing atstops
this moment,
playingproducing Sonata in Bb,
at this moment, K. 281. (Labelled a "rondeau," this movemen
producing
the
theusual
usual
caesura-gap.
caesura-gap.
Above, however, Above,
a flute sustains
however,
a a aflute
is sustains
sonata-rondo mixturea with a normal exposition through
two-measure a2 (mm. 73-74, marked with a trill in some the S-point.) Here we find a relatively light V:HC media
editions) bridging the gap, and two oboes enter as harmonic caesura in m. 27; it is complemented with caesura-fill in the
reinforcers of the V7 in m. 74. S itself begins at m. 75, in the left hand, outlining a -6-5-4-3-2-1 linear motion in F ma
same flute and oboes: typically for Haydn, this second launch jor, mm. 27-28; the onset of S occurs at the downbeat of m.
with S features a transposed variant of the P-theme. Mm. 28.23 The -i descent or a relevant portion thereof (S-3, for
73-74 imply silence but in fact are filled with sound. In this example) may also be found in an upper voice, in which case
and similar cases we would not consider caesura-fill to be a it will effect a melodic link between the end of TR and the

deformation (an overriding of a normative option). On the beginning of S.24


contrary, it is a common gesture, part of normal practice- In K. 281 the S-1 linear fill occurs in only one voice; th
merely one way of articulating an implied GP or guiding the other voices shut down until the S-launch. In such cases the

ear through a structural gap. In nearly all instances, the fillGP and the harmonic interruption can be clearly felt; ther
articulates or stands for the energy-loss of the GP as it leadsis no compelling sense that the caesura-dominant has resolve
to a gentler S-theme, explicitly or implicitly marked with ato the new tonic, producing a PAC. Nor is the situation muc
piano dynamic. complicated by such standard occurrences as that in the firs
Other types of caesura-fill can lead to more complex is-
sues. In one characteristic type the caesura-fill leads from the 23We follow the reading in the Neue Mozart-Ausgabe, "Klaviersonaten
ed.
V:HC MC down to the tonic pitch of the newly established Wolfgang Plath and Wolfgang Rehm, vol. 1 (Kassel: Barenreiter, 1986
As Plath and Rehm mention, however (35)-and question as an error-t
V, as though the fill's task were to lay down the tonal platform
autograph score shows the motion a' to b,' instead of a' to g' in the mid
on which S will make its appearance. Because this procedure voice of m. 27. If the autograph reading is accepted, as it is in some oth
often involves an outer-voice melodic descent from 5 to 1 in editions, the passage would be a clear instance of an HC on V7 (V6-7) rath
the new key, we refer to this gesture as a caesura-fill of the than on V. In this case the seventh would enter immediately (cf. note
5-1 descent type. At times it might suggest something ca- above).
24From a Schenkerian perspective, a 5-1 fill in the upper voice differs
dential (the V:HC is being led to an implied authentic ca-
qualitatively from the same event in the bass voice. Because most S-themes
dence in V), but in most instances such an event is better exhibit a 5-i or 3-i descent culminating in the EEC, a theme that begins
considered a secondary, linear move that directs our attention on i is understood as starting on an inner voice and pursuing an initial ascent
(Anstieg) to the primary tone 3 or 3. Thus a 5-i caesura-fill in the melody
22The structural V/V is articulated at the downbeat of m. 62, after whichrepresents motion into an inner voice, while a 3-i fill in the bass generally
it is prolonged. During this prolongation the seventh is added (entering firstleads to the real bass tone (the root of the new tonic). In Section 9 below
in mm. 64-65, though most prominently in mm. 69-73), suggesting a V8-7 we suggest that the less common V:PAC (or III:PAC) medial caesura may
figure. The seventh (4) resolves to an inner-voice 3 at the onset of S (m. 75). often be a highly developed instance of the 5-1 HC caesura-fill. If this is true,
This addition of the seventh during the drive to the MC proper is not un- the interpretation as a motion into an inner voice would help explain why the
common. PAC of this caesura does not effect the EEC.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 129

movement of Beethoven's Piano Trio in Eb, op. 1 no. 1, mm. the


theV:HC
V:HCstill
still
sticks
sticks
as the as
real
the
conceptual
real conceptual
MC, followed
MC,
by followe
31-32. Here the piano and violin shut down after the MC unusually
unusually strong
strong
fill. From
fill. another
From another
perspective,
perspective,
the force th
(V:HC) at the downbeat of m. 31; the cello supplies a two- driving
driving to to
thethe
V:PACV:PAC
demands
demands
consideration
consideration
as a third-level-
as a third
measure A-i descent, although the caesura-fill is texturally default
default MCMCobliterating
obliterating
the effect
thecreated
effecta measure
createdearlier.
a measure e
enriched by the re-entry of the violin in m. 32, preceding the In
Inthis
thissecond
second
interpretation,
interpretation,
Beethoven
Beethoven
would be under-
would be
beginning of S at m. 33. stood
stoodtoto
transplant-as
transplant-as
if by heavy
if bylifting-an
heavy lifting-an
already- al
The situation becomes more arresting, however, when the established
established caesura
caesura
from from
one point
oneto point
anotherto
("Not
another
there ...("Not th
principle of linear (5-1) caesura-fill undergoes a deformation but here!").26 Both the vehemence with which this event is
(a pointedly non-normative treatment for expressive effect). treated and the forceful manner in which characteristic
In the first movement of Beethoven's Piano Trio in G, op. exposition-norms are overridden are typically Beethovenian
1 no. 2 (Example 2), we may easily recognize the operative Sonata Theory helps us to articulate what Beethoven appears
principle at the MC-point. A clear approach is made to what to be doing at this moment.
we expect to be a normative triple hammer-blow V:HC MC Another enhanced MC-situation occurs when the caesura-
at mm. 97-98. At this juncture the violin and cello drop out fill involves all (or most) of the voices. One example may be
for the remainder of the measure, while the right hand of the found in the first movement of Mozart's Symphony No. 39
piano part traces out a melodic fill from g2 down to d1. More in El, K. 543. Here one encounters a clear MC (V:HC) with
important, the usual caesura-fill energy-loss is absent here. octave-drop Nachschlag in m. 90. Mozart suggests in this
On the contrary, the fill, continuing in aggressive triplet- case, however, that the MC-articulation is insufficient to stop
sixteenth-notes, insists on retaining the full measure of gained the juggernaut, triple-time momentum. Directly with the
energy and plunges precipitously to the new D-major tonic, sounding of the MC there ensues an expanded caesura-fill,
now reinforced by the strings (m. 99), before S itself emerges, featuring 3-4-3-2-i linear motion in the strings, presumably
piano, at the upbeat to m. 100. The composer has wrenched still forte (mm. 91-97), that arrives on the new tonic Bb (sfp)
a normal MC, V:HC (first-level default), into a strong V:PAC with the effect both of a pseudo-cadence and, perhaps, of a
(third-level default) by brute force.25 Beethoven's specific finally-exhausted gasp (m. 97). The ensuing S (apparently
technique involves a textural transformation (deformation) of with its metrical head spinning from the effects of what has
the s-i linear caesura-fill principle. From one perspective, preceded it) begins at m. 98, piano, in the key of the dom-
inant.
25The structural tone at the end of TR is a2 (2 in the tonic key of G), gained
This last example illustrates a situation in which the
at m. 89 in the piano. Beethoven then executes a V8-7 motion, during which
a2 moves to g2. This g2 (heard most prominently in the piano part of mm. normally-brief caesura-gap is not only filled but stretched and
97-98) resolves to the violin's f#2 on the second beat of m. 99 (a quarter-note prolonged, delaying the onset of S, in this case doubtless for
delay of its conceptual resolution on the first beat)-that is, at the beginning
of the pickup to S, after the V:PAC has been articulated. The resultant
a2-g2-f#2 line thus represents motion into an inner voice (S-4-3 in the domi- 26Beethoven replicated this effect in the first movement of the String
nant key of D); S begins on this inner voice 3 (f#2) and quickly ascends to Quartet in C Major, op. 59 no. 3, mm. 76-77. In this case, however, the
the Kopfton S (a2) in order to begin its S-i descent. Thus, at a deeper level caesura-fill is produced by the two upper strings in aggressive parallel thirds,
the piano's breathtaking cascade from g2 to d1 may be understood as part of and the cadence produced by force is V:IAC, not V:PAC. A piano S ensues
an elaboration of a melodic 5-4-3 caesura-fill. on beat 2 of m. 77.

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130
130MusicMusic
Theory Spectrum
Theory Spectrum

Example
Example2. Beethoven,
2.Piano
Beethoven,
Trio in G, op. 1 no. 2,
Piano
first movement:
Trio mm.
in 93-103
G, op. 1 no. 2, first movemen

93 [Allegro vivace]

,}~ ,_f .

?Sf f

\ E M!".^ M F* la
I- e T-J 'J -' -' ' " ,_* 'r _ _ c ''c ""- 3

f f

sf sf: '. .J

f f

f f P

^ B I E ? 9 v | y ' f v f .i

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 131

aa super-energized,
super-energized, juggernaut
juggernaut
effect.27
effect.27
For sonatas
For sonatas
in the in thepanded, separately
separately thematized
thematized caesura-fill
caesura-fill giving
givingthe
theeffect
effecto
1780s
1780ssuch
suchanan
expansive
expansive
caesura-fill
caesura-fill
is probably
is probably best consid- a momentary
best consid- momentary suspension
suspension of
of time
time or
or aa quiet,
quiet,guided
guidedpassa
pass
ered
ereda amedial-caesura
medial-caesura
deformation,
deformation,that is,
that
a strikingly
is, a strikingly
un- un- through the
the caesura-void.28
caesura-void.28 Rossini's
Rossini's Overture
Overtureto toLa
Lagaz
ga
usual
usualororstrained
strained
procedure
procedure
relying
relying
on ouron knowledge
our knowledge
of the of theladra (1817)
(1817) in
in EE minor,
minor, shown
shown in in Example
Example 3, 3,may
maybebeconco
typical
typicallimits
limitsof of
thethe
norm.
norm.
It is not
It isthe
notcaesura-fill
the caesura-fill sidered paradigmatic.
principle principle paradigmatic. After
After multiple
multiple stutterings
stutterings(whose
(whoseex-
ex
itself
itselfthat
that
is is
generically
generically
deformational
deformational
here, but
here,
rather rather the travagant
butthe travagant reiterations
reiterations also
also produce
produce aa palpable
palpableloss
lossof
ofdynam
dynam
pulling-apart
pulling-apart of of
thethe
caesura-gap.
caesura-gap.
Caesura-fill-normally
Caesura-fill-normally
a energy),
a aa comically
comically emphatic
emphatic MC
MC (III:HC)
(III:HC) isisproduced
produced
mild
mildbridging
bridging
effect-and
effect-and
caesura
caesura
deformation
deformation are different m. 159. It
are different It is
is followed
followed by
by aa measure
measure ofof silence
silence(m.
(m.160)
160)an
a
things,
things,even
even
though
though
composers
composers
seeking
seeking
the more
thepowerful
more powerful eleven suspended
suspended measures
measures of
of aa hushed,
hushed, operatically
operaticallyexpect-
expect
effect of a caesura deformation often use caesura-fill to ac- ant caesura-fill
caesura-fill of
of the
the 5-i
5-i type
type (mm.
(mm. 161-71).
161-71).For
Forthe
them
m
complish their expressive ends. ment, as isis common
common inin Rossini
Rossini overtures,
overtures, sonata
sonatatime
timeseem
seem
Although in Austria at the time of Mozart's Symphony No. to stop; it
it snaps
snaps back
back into
into action
action only
only with
withthe
theonset
onsetof
o
39 such an expanded caesura-fill may have been deforma-normative
normative SS at
at mm.
mm. 171
171 and
and 172.
172. Within
Within Rossini's
Rossini'sperson
perso
alized customization
tional, this situation was subject to change in the hands of any customization of
of the
the style,
style, this
this was
was no
nocaesura
caesuradefor
defor
later composers who determined to make it a common option mation; it
it was
was the
the norm.
norm.
within their own personalized styles. This is the case with This does not
not mean
mean that
that all
all expanded
expanded caesura-fills
caesura-fillswer
we
Rossini a quarter of a century later. One of the standardnormative
normative by
by the
the 1810s.
1810s. Weber's
Weber's Overture
Overture to toDer
DerFreischiit
Freischii
features of Rossini's schematic, gridlike approach to opera
(1821) presents
presents us
us with
with an
an exceptional
exceptional set set of
ofexpansions
expansion
overtures was the crystal-clear articulation-even the witty
ambiguities,
ambiguities, and
and deformations
deformations at at the
the apparent
apparentMC-poin
MC-poi
overarticulation-of a standard, first-level-default MC (HCToward the end of TR, the C-minor overture modulates
in the key of S-to-come), followed immediately by an ex-abruptly to El major at m. 87 and throws itself impetuously
into a fortissimo PAC in that key at m. 91. This leads to
harmonic stasis and (with the exception of the unsettling
27Not surprisingly, Beethoven was especially fond of juggernaut caesura-
fill-an expressive type that need neither be expanded to multiple voices nor EN chords in the horns, mm. 93-96) an immediate reduction
stretch the caesura-gap. In the first movement of the Second Symphony, forin sonority: piano, tremolo strings sustaining the newly-
example, one finds an aggressive TR leading to a normative initiation of an produced El tonality. On the face of it, m. 91 would appear
MC (V:HC) at m. 71. One might have expected here the stereotypical three to be a masked articulation of an impulsively-gained, struc-
hammer blows on the dominant (three quarter notes followed by quarter rests,
turally premature third-level-default MC (III:PAC).29 Yet a
plus a half rest in m. 72). Instead, impetuously, the ongoing motion and
dynamic level charge directly through the caesura-point (mm. 71-72) with considerable
a stretch of subsequent music, mm. 91-122-
variant of the S-i linear descent. Here Beethoven suggests that the impet- surely not yet the rhetorical S idea, despite its Eb tonality-
precedes the onset of the obvious S-proper, the major-mode
uosity and energy that have been built up will not be easily containable. There
follows a normative drop to piano and change of texture for the march-like
S (m. 73). The energy-level has been built to such a point, however, that this
S virtually erupts out of its piano casing with the ff consequent phrase at m. 28Philip Gossett discusses the Rossini formula (though without mentioning
77. Once one has obtained an awareness of MC norms, one is likely to the caesura-fill procedure) in "The Overtures of Rossini," 19th-Century Music
conclude that the very strangeness of the caesura and S-behavior is just what3 (1979-80): 3-31.
we are supposed to be perceiving at this point. 29See note 16 above.

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132 Music Theory Spectrum

Example 3. Rossini, Overture to La gazza ladra: mm. 149-73

L52a

I^ J : ;J
;J J
J ;J
;J J
J J
J J
) A iA , I IA A A A A ? "

157

J J; J J J J ! P ? ----- --- --- -- -


[pp] sotto 'vo e

167 / .#

p - - - - } ?#vi tI,PI r~
| v~~p # l=,. # = i i tpp\ 'i pp\
......... r

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 133

"Agathe"
"Agathe" theme
theme
(m. (m.
123). 123).
Nor does
Northe
does
music
thefrom
music
m. 91
from m. type-the
91 two-part exposition with MC
MC and
and subsequen
subsequen
to
to m.
m.122122 seem
seemlikelike
a continuation
a continuation
of TR. Above
of TR. all,Above
it is in all, it is in
When we are presented instead with
with aa continuous
continuous exposit
exposit
the
thenewnew keykey throughout
throughout (Eb) and
(Eb)
is largely
and is produced
largely at produced
a at
of athe expansion-section subtype, there
there is
is usually
usually aa mom
mom
reduced
reduced dynamic
dynamic levellevel
(expressing,
(expressing,
perhaps,perhaps,
a prolonged a prolonged
sus- of psychological conversion (provided
sus- (provided that
that we
we are
are awar
awar
pension
pensionofof lostlost
energy
energyor anor
ongoing
an ongoing
energy-loss):
energy-loss):
this is the this is theour interpretive options) -a personal
personal understanding
understanding at at som
so
opposite
opposite ofofthethe
defining
definingfeature
feature
of the TR
of (a
thegenerally
TR (a con-
generally con- mid-expositional point that the more
more standard,
standard, two-part
two-part f f
sistent
sistentsustaining
sustaining or increase
or increase
of energy
of energy
up to theup MC).
to the MC). is not going to be realized. We believe
believe that
that this
this expectati
expectati
As
As such,
such, if if
oneone
is toishear
to hear
mm. 91-122
mm. 91-122
as in dialogue
as inwith
dialogue with may have been shared by the competent
competent listener
listener in
in the
the dd
the
therhetorical
rhetorical norms
normsestablished
established
in a wide
invariety
a wideofvariety
preceding of precedingcades surrounding 1800 and that Haydn,
Haydn, in in particular,
particular, of
of
works
works(the (thecentral
centralpremise
premise
of Sonata
of Sonata
Theory),Theory),
it may be it best
may be best made the process of conversion into
into aa central
central feature
feature of
of
to
to consider
consider
themthem
as a as
monumentally
a monumentally
expandedexpanded
caesura-fillcaesura-fill
pieces with continuous expositions. The
The mechanism
mechanism throu
throu
following
following an an
unusual
unusual
III:PAC
III:PAC
MC at MC
m. 91.
atThis
m. caesura-fill
91. This caesura-fill
which this conversion is suggested cannot
cannot be
be investig
investig
also
alsoaccomplishes
accomplishesthe the
task task
of undoing
of undoing
the rash the
III:PAC
rash
andIII:PAC and
without understanding the norms surrounding
surrounding medial
medial
reactivating
reactivating a III:HC
a III:HC
at m.at122.
m.(This
122.is(This
a gesture
is aof
gesture
recoveryof recovery
suras, for in most cases of the continuous
continuous exposition
exposition poten
poten
but
butnotnota typical
a typicalmedial
medial
caesura
caesura
by any by
established
any established
norm). norm).
MCs are first suggested, then abandoned.
abandoned. Haydn,
Haydn, in
in parti
part
Since
Sincethis
this
is aisprogrammatic
a programmatic overture
overture
with themes
withreferring
themes referring
ular, frequently shows us the process
process of
of psychological
psychological co
co
to
to characters
characters andand
events
events
in theinopera,
the the
opera,
expressive
the expressive
point point
version from one exposition type toto the
the other.
other. Demonstra
Demonstra
at
at hand
handseems
seems evident.
evident.
Here Here
WeberWeber
has just has
had the
justtor-
had the tor-
this process rhetorically is often what
what the
the exposition
exposition see
see
mented
mentedMax
Max(represented
(represented
by theby
C-minor
the C-minor
P-theme and
P-theme and
to be about.

storm
stormwithin
withinTR)TR)
jumpjump
rashlyrashly
at the first
at theEb-major
first Eb-major
MC op- MC op- Thus as we (as listeners) move through most lat
portunity,
portunity, prematurely
prematurely producing
producing
a III:PACa at
III:PAC
m. 91. Now
at m. 91. Now
eighteenth-century continuous expositions, what we at f
Weber
Weberpulls
pulls
thethe
caesura-gap
caesura-gap
wide open
wide -stops
opensonata
-stops
time
sonata
- time -suppose is an ongoing TR (on its way to an MC) conti
and
andfills
fills
most
mostof the
of the
caesura-void
caesura-void
with music
withrepresenting
music representing past the last-possible S-point, or what we might designat
the
thetrembling
trembling MaxMaxpeering
peering
fearfully
fearfully
into the into
blackness
the of
blackness
the of the point of conversion. (This may also be described as a b
Wolf's
Wolf'sGlen
Glen abyss.
abyss.
Similarly,
Similarly,
the eventual
the eventual
undoing of undoing
the of zone
the or process of conversion.) Sensing that TR has cross
potential
potential closure
closureof the
of premature
the premature III:PAC MC
III:PAC
coincides
MC coincidesthrough this conceptual point or zone forces our reassessm
with
withthe
theapproach
approach of Agathe
of Agathe
as S-for
asMax,
S-for
theMax,
principle
theofprinciple of
of what is occurring generically. We come to realize that
unmerited
unmerited salvation.
salvation.
It is It
a magnificently
is a magnificently
poetic moment:
poetic moment:
are dealing instead with an expansion section, probably o
here
herestructural
structural deformation
deformationand expressive
and expressive
(even pictorial)
(even pictorial)
grounded in a succession of Fortspinnung modules (FS) th
purposes
purposes areare
brilliantly
brilliantly
merged.
merged. will occupy the large center-portion of the exposition, n
understood as a continuous, not a two-part, exposition
6. TWO-PART OR CONTINUOUS? THE BAIT-AND-SWITCH TACTIC can schematize our experience of this large, central secti
as TR-FS: what begins (we think) as TR shifts conceptu
When first confronting an eighteenth- or early-nineteenth- to the FS modules characteristic of the continuous exposi
century exposition, our most reasonable expectation would (an FS that will drive, without an S, toward the EEC);
be that we are about to encounter the far more common hyphen represents the process of conversion.

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134 Music Theory Spectrum

At
At the
the basis
basisofofthis
this
notion
notion
is the
is the
assumption
assumption
that that
a listener
a listener 1) FS may
may move
move past
past the
the S-point
S-point without
withoutour
ournoticing
noticingit.
it.
adequate
adequateto
tothe
thebasic
basicdemands
demands
of the
of the
piecepiece
actually
actually
does does In other words,
words, wewe eventually
eventually come
cometotorealize
realizethat
thatwe weare
are
sense
sense such
sucha aprocess
process (or(or
point)
point)
of conversion.
of conversion.
Sensing
Sensing
it de-it de- beyond the
the S-point.
S-point. By
By all
all reasonable
reasonablestandards,
standards,ititisisnow
now
pends
pends both
bothonona asolid
solidexperience
experienceof the
of the
style-having
style-having
a largea large too late for
for an
an S-theme,
S-theme, although
although wewedid
didnot
notregister
registerourour
inventory
inventoryof ofnormative
normative exemplars
exemplars
at hand-and
at hand-and
on grasping
on grasping having passed
passed by
by its
its potential
potential moment:
moment:we
weheard
heardneither
neithera a
the
the proportions
proportionsthat thata composer
a composer seems
seems
to promise
to promise
at or at
nearor near medial caesura
caesura nor
nor any
any compelling
compelling generic
genericsignals
signalsof
ofan
an
a piece's
piece'soutset.
outset.For
For
the
the
listener,
listener,
oneone
important
important
function
function approach
approach to
to one.
one. To
To be
be sure,
sure, such
such pure
pureinstances
instancesof
ofthe
the
of
of the
the opening
openingideas
ideas
ofof
each
each
exposition
exposition
is toishelp
to help
predict
predict continuous
continuous exposition
exposition are
are rare
rare among
amongcelebrated
celebratedworks
worksof of
the
the rhetorical
rhetoricalscale
scale
that
that
will
will
follow:
follow:
some
some
sonatas
sonatas
are brief,
are brief, the later-eighteenth-century
later-eighteenth-century composers-the
composers-thePresto Prestofinale
finaleofof
while
while others
others(with
(withvaster
vaster
P and
P and
TR TR
zones)
zones)
are monumen-
are monumen- Haydn's Quartet
Quartet in
in BB Minor,
Minor, op.
op. 33
33 no.
no.11isisaalocus
locusclassicus-
classicus-
talized. but they
they do
do appear
appear in
in pieces
pieces from
from the
theearlier
earlierpart
partof
ofthe
the
Once we have attained the ability to project the century.
century. Elementary
Elementary examples
examples may
maybe befound
foundin insome
someofofthe
the
proportion-to-come, there does occur a point during the Sammartini
Sammartini symphonies
symphonies from
from around
aroundthetheearly
early1740s
1740sand
andinin
course of the presumed TR where we begin to expect a lock- several of
of the
the first
first movements
movements of of C.
C.P.
P.E.E.Bach's
Bach'skeyboard
keyboard
ing onto a structural dominant and a subsequent drive to a sonatas from
from the
the same
same time,
time, such
such as
asthe
the"Prussian"
"Prussian"(1740-43)
(1740-43)
medial caesura. The TR-FS can pass through the zone of and "Wtirttemberg"
"Wtirttemberg" (1742-44)
(1742-44) Sonatas.30
Sonatas.30
conversion in a number of ways. We may imagine the man- 2) The composer
composer may
may create
create the
the expectation
expectationof
ofan
anim-
im-
ifold possibilities as arranged on a sliding-scale representing minent MC
MC only
only to
to veer
veer away
away from
fromititfor
formore
moreFortspinnung
Fortspinnung
the various degrees to which we sense that a potential MC or other elaboration.
elaboration. How
How close
close we
we get
getto
tothe
theimplied
implied
has been suggested. For heuristic purposes we might identify caesura-point varies from case to case. The MC-point
three situations within this sliding-scale (in which each case proper, of course, results from the laying-down of the struc-
pushes the sense of an MC toward a clearer articulation): 1)
30In the first movement of Sammartini's Symphony "No. 3" in D Major
the TR-FS can move past the last-possible S-point with no
(J-C 15, before ca. 1742) the first half of the binary (proto-sonata) structure
caesura signals whatever; 2) it can reach and perhaps prolong may be construed as: P (mm. 1-8); a short-winded FS (mm. 9-20) that never
the structural dominant- even initiate a clear, generic drive suggests anything caesura-like but does lead to the EEC (V:PAC) at m. 19;
to the MC-but fail to crystallize out a medial caesura; or 3) a brief, cadential close (C, mm. 20-28). The score is available in The Sym-
it can actually articulate a seeming (or potential) MC and phonies of G. B. Sammartini.: Vol. 1: The Early Symphonies, ed. Bathia
Churgin (Cambridge: Harvard University Press, 1968), 76-77.
perhaps even enter a process of caesura-fill but then both In C. P. E. Bach one often finds a format similar to that mentioned above:
decline to furnish an immediate, subsequent S and refuse to an initial P-gesture; a modulatory FS (typically sequential-and rarely very
drive toward a more acceptable MC in the ensuing measures. long) that proceeds to a PAC (the EEC); and a (brief) "appendix" theme (C)
Strictly considered, this last case, which is sometimes difficult at the end to solidify the new key. Because C. P. E. Bach's textures so often
feature breaks and discontinuities, the caesura situation is sometimes difficult
to distinguish from extreme examples of the second, belongs
to assess. For a general discussion of C. P. E. Bach and the frequent inap-
to the category of medial caesura declined (Section 7 below),
propriateness of the concept of the second theme, see David Schulenberg
but the psychology of its production is perhaps best under- The Instrumental Music of Carl Philipp Emanuel Bach (Ann Arbor: UMI
stood in its relation to the first two cases. What is needed at Research Press, 1984), e.g., 100-105; and William S. Newman, The Sonat
this point is a closer look at each possibility. in the Classic Era, 2nd ed., 420-21.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 135

tural
tural dominant,
dominant,the
the
harmony
harmony
that
that
could
could
potentially
potentially
articulate
articulate Fortspinnung
Fortspinnungcontinues
continuesby
bymerging
mergingsmoothly
smoothly
into
into
a cadential
a cadentia
a I:HC, V:HC, or III:HC medial caesura. The structural module
module beginning
beginningon
onthe
thenew
newtonic
tonic
inin
m.m.
21 21
andand
expanding
expanding
dominant may be touched lightly and immediately rejected outward until the EEC is attained on the third beat of m. 28.
(as if hot) with a new burst of Fortspinnung that overrides The exposition itself ends four measures later, in m. 32. (The
(or writes over) the normal tendency of the exposition to weak V:PAC at m. 21 should not be considered the EEC: m.
divide into two parts at this mid-expositional point. In other 21 is a direct and relatively uninterrupted continuation of th
cases one locks onto the structural dominant and approaches figuration of the preceding measures. This PAC is probably
the production of an MC-begins to fall into one-then draws better understood not as concluding anything but as marking
away from it before that MC turns into a reality. the tonic-chord onset of a thematically profiled cadenti
An example of the latter situation is provided in the first module, a common feature of the conclusion of Haydn's ex-
movement of Haydn's Quartet in Elb, op. 33 no. 2 ("Joke"; pansion sections.)
Example 4). Here TR sets out in the tonic in m. 13 and moves As a whole, this passage from op. 33 no. 2 illustrates the
almost immediately to V/V on the third beat of m. 14. This procedure that we call the bait-and-switch tactic: Haydn baits
newly locked structural dominant now underpins a generic us into anticipating an imminent medial caesura, the hallmark
drive to what we presume will be a standard V:HC MC, a of the two-part exposition, then swerves away from th
drive beginning in earnest with the reiterated figures in m. caesura-point and switches to a continuous exposition of the
15. The reiterations and hypermetrical implications clearly expansion-section subtype-all for the sake, one supposes, of
suggest the production of a normative medial caesura in m. high generic play and the splendid exhilaration found in so-
19: it would be easy to imagine a differing m. 19 that consists phisticated musical humor.
(assuming the most generic of choices) of three hammer-blow 3) In extreme cases of the bait-and-switch tactic we find
F-major chords (V of B b), followed by a rest, a drop to piano, the MC fully articulated before the plug is pulled on th
and (since this is Haydn) a monothematic S theme-or per- two-part exposition. Such a situation occurs in the first move
haps a contrasting one-beginning with the upbeat to m. 20. ment of Haydn's Symphony No. 96 in D ("Miracle"; Example
But instead, at the last moment, in m. 19, Haydn slips out 5). Setting aside the delicious complications that bring us to
of the caesura-loop by sustaining the first violin and cello, the V:HC MC point (including a typically Haydnesque at-
unsettling the immediate dominant (thus inaugurating a new tempt to re-open the I:HC MC possibility in mm. 48-51
harmonic progression at the precise moment when we had aborted in m. 52, perhaps because the I:HC option had al
expected everything to stop), and gliding forward into a re- ready been used up earlier in m. 31), we may note that mm.
invigorated melodic figure in the outer voices. This new figure 54-55 drive to the new structural dominant, V/V, which is
(obviously grounded in much that has preceded it) is imme- attained in m. 56. This leads to the manufacture of a nearly
diately imitated in the second violin, and then, in m. 20, in immediate V:HC MC with upward Nachschlag on the firs
the viola. In short, a renewed thematic idea emerges and beat of m. 57, followed at once by an eighth-rest. (As a result
pushes through the MC-moment (writes over it), cancelling of the earlier complications, this is an exceptionally late first
the local MC-implications with a new burst of Fortspinnung. level-default MC, occurring, as we eventually learn, som
Mm. 19-20 represent the point (or zone) of conversion, the 61% of the way through the exposition, if we consider the
point at which a two-part exposition is renounced, and the expositional space as continuing through m. 83.) The upbeat

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136 Music Theory Spectrum

Example 4. Haydn, Quartet in Eb, op. 33 no. 2 ("Joke"): mm. 13-28

cresc.
p
r-' . \~-, - 1---~
v. .
6
- .
6
vv
,

p f

pz iIz: 131 3

26,, q - i- ; ; 1

I-^
IJ...1' 1 ~
1 I-?^I I rL
e A Arr
VIM-0-M-W-Wi Tr LL
r r T
T rr-r
T IA A A A A A A Al
IT

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 137

Example 5. Haydn, Symphony No. 96 in D ("Miracle"), first movement: mm. 54-71

[Allegro]

Q "1
V? m 11
'4] I 1 J1
j I1 _
J y t I. I p
EJ .
I; E <
r57 H ? - Sf ,
w r r' j --T I' I

rtl~~~~ f

^^ ' -' -' 4 n; ~ - i


Y~~~~~~~~~~~~~~~~~m

r f? ~ ~ ~ ~ ~ ~
f

to m. 58 in the strings, with its characteristic energy-loss


82%
82%drop
of
of the
theway
waythrough
throughthe
the
exposition
exposition
andand
eliding
eliding
wi
to piano, begins a recognizable expanded caesura-fillclearly
in oc-codetta-like
clearly codetta-likeC Ctheme,
theme, it it
serves
serves
unambiguously
unambiguously
as
taves. Its upward motion, however, is non-normative, gaining
EEC.
EEC. Here
Here the
thewitty
wittyzone
zone
ofofconversion
conversion
from
from
a two-part
a two-p
rather than losing registral energy. Consequently, the
a continuous
continuous exposition
expositionis is
best
best
heard
heard
as occurring
as occurring
in m
caesura-fill is made to overshoot its tonic-pitch goal in 61-63:
m. 60,what
61-63: whatbegan
beganasascaesura-fill
caesura-fill
is converted
is converted
intointo
a struct
a str
then to draw itself up questioningly on 4 of A major (m. 61),
linear
linear descent.
descent.Notwithstanding
Notwithstanding thethepointed
pointed
MCMC in m.
in 57
m
and finally to abandon the fill function altogether with m. the
m. 63
63 it
it seems
seemsclear
clearthat
thatthe
the
potential
potentialtwo-part
two-part
exposition
exposi
incongruous intercutting of a sforzando G7-C progression
been discarded.
(momentarily calling our attention to III of the anticipated
Such bait-and-switch procedures as we find in op. 33 n
A major) in mm. 62-63. The top voice of this C-major 2 chord
and Symphony No. 96 are typical of Haydn's continu
recaptures the e2 of the MC Nachschlag (m. 57), whereupon
expositions, most of which are grounded in gestures tow
a descending fifth progression (from 5 in m. 63 through 4-
two-part expositions that are abandoned to pursue ot
3-2 in mm. 64-65 to I in m. 71) leads to a V:PAC in structural
m. 71. paths. What differs from case to case are the
The cadential 6 of m. 67 recovers the dominant of A major,
failingly engaging details and the degree toward which t
now understood as having been prolonged from m. jettisoned
56. The two-part proclivities remain perceptible throug
V:PAC of m. 71 is no late medial caesura. Appearingthe somecontinuous musical surface. Haydn's inventiveness alo

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138 Music Theory Spectrum

these
these lines
linesnever
neverceases
ceasestoto
astonish.
astonish.
TheThe
general
general
psychology
psychology a transitional
transitional crisis,
crisis, since
since the
the next-available
next-availableHC
HCMCMCoption,
option,
at work-seeming
work-seemingtotopromise
promiseone
one
thing
thing
butbut
delivering
delivering
an- an- the stronger
stronger V:HC,
V:HC, remains
remains available
availableshortly
shortlydown
downthe
theroad.
road.
other-is
other-is at
atthe
thecore
coreofofhis
his
imagination
imagination
as aasmaster
a master
composer.
composer. Still, one
one cannot
cannot confine
confine the
the category
categoryofofmedial
medialcaesura
caesurade-
de-
clined only
only to
to the
the I:HC:
I:HC: declining
decliningaaV:HC
V:HCMC MCcandidate
candidatecancan
occur, although
although it
it is
is less
less common.
common.To Toreject
rejectananearly
earlyI:HC
I:HC
7. MEDIAL CAESURA DECLINED MC, however,
however, suggests
suggests thatthat had
hadititbeen
beenaccepted
accepted(and
(andhad
had
it proceeded
proceeded directly
directly into
into SS in
in the
thenew
newkey)
key)the
theproportions
proportions
of the remaining
Section 5 considers the possibility of a caesura deforma- remaining exposition-to-follow
exposition-to-follow(part (part2)2)would
wouldhave
have
tion, the situation in which a medial caesura is altered in been
somecorrespondingly
correspondingly brief.
brief. Regardless
Regardlessofofthe
thedefault-level
default-levelofof
non-normative way. In none of the examples provided in the thatproposed
proposed caesura,
caesura, the
the expressive
expressivepurpose
purposeofofmedial
medialcae-
cae-
section was either the MC itself or the resultant two-part sura declined
declined is
is normally
normally to to show
showthe
thecompositional
compositionaldecision
decision
exposition called into question. As we have seen withtothe
spring
spring into
into aa proportionally
proportionally larger
largerframe-the
frame-thedecision
decisiontoto
"Miracle" Symphony at the end of Section 6, however, itmanufacture
manufacture
is aa grander,
grander, perhaps
perhapsmonumentalized
monumentalizedexposition
exposition
possible for a composer to create the impression that(and
thehence
hence movement
movement as as aa whole).
whole).Medial
Medialcaesura
caesuradeclined
declined
music following an apparent MC (or MC candidate) con-suggests
suggests the
the musical
musical equivalent
equivalent of
ofthe
thestatements,
statements,"No!
"No!Let's
Let's
produce
produce something
ceptually undoes that caesura by refusing to accept its implied something larger!"
larger!" or
or (when
(whenaaI:HC
I:HCisisatatstake)
stake)"No!
"No!
consequences. This would be a retrospective cancellation: The aweaker
weaker caesura-option
caesura-option won't
won'tdo!do!We
Weneed
needsomething
something
medial caesura has been proposed but the subsequent music stronger!"
Because the first MC candidate's invitation to enter di-
has declined to accept it-has declined, that is, to initiate the
second part of a two-part exposition, preferring insteadrectlyto into S-space has been rejected, the subsequent music
continue unfolding under the structural categories of the can proceed as if there had been no structural caesura. The
first
part (P + TR). In general, we consider a medial caesura usual strategy is to reinvigorate TR-activity (fairly soon) to
accepted if what follows it is a satisfactory S-theme. When produce a real MC before too long-almost always a stronger
what follows it is not, there arises the situation that weone,call V:HC. It frequently happens that such an MC can
medial caesura declined. readily be found and that the now-expanded exposition will
Before addressing the central question in all instances offollow it with an appropriate S-theme. But such continued TR
medial caesura declined-how may we decide what consti- activity cannot go on at length. Expositional time is runnin
tutes a satisfactory S?-some preliminary remarks might beout, and the music will soon approach the proportional poin
helpful. Most often, the declined MC occurs early in theat which it must renounce the possibility of providing a medi
caesura (and hence a two-part exposition) at all. Thus a me-
exposition and is articulated as a I:HC, the harmonically
dial caesura declined always raises the possibility of conver-
weaker, second-level default. Nor is this surprising: although
the I:HC MC furnishes less harmonically decisive structuralsion from a two-part to a continuous exposition. Each cas
punctuation, it is also the earliest available MC candidate must be considered individually.
within the normative expositional deployment sequence of Given a proposed MC, what kinds of evidence point in th
structural dominants and/or MCs (as outlined in Section 4 direction of medial caesura declined? What would encourage
above) . To decline a I:HC MC candidate need not initiate us not to understand the material that follows it as the obvious

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 139

S?
S? This
This should
should
happen
happen
when when
the relevant
the relevant
passage exemplifies No.
No. 40
passage exemplifies 40ininGGMinor,
Minor, K. K.
550550
andand
No. No.
41 in41
C in
Major,
C Major,
K. 551 K.
at
at least
leastone
one
of the
of the
following
following
three situations:
three situations: ("Jupiter").
("Jupiter").InIn
No.
No.
40 40
thethe
dominant
dominant
is reached
is reached
in m. in
16 m.
and 16 a
Situation
Situation 1: Following
1: Following
a proposed
a proposed
I:HC MC,I:HC
the music
MC, the musicexpanded
expandedwithwithflourishes
flourishesforfor
fourfour
measures;
measures;
in No.in
41No.
the 41
refuses
refuses toto
leave
leave
the the
tonictonic
key (perhaps
key (perhaps
even restating
evenP- restatingdominant
P- is reached in m. 19 and elaborated for four mea-
material).
material). This
Thismaymay
seem seem
a self-evident
a self-evident
point, butpoint,
it conceals sures up to a fermata HC close in m. 23. Both lead direct
but it conceals
latent
latentcomplexities,
complexities,
not all
notof all
which
of will
whichbe elaborated
will be here.
elaborated here.
to a dissolving parallel grand consequent, construed in Sonat
In
In brief,
brief,Situation
Situation
1 can1occur
can occur
in at least
in three
at least
degrees
three
of degrees of
Theory as the onset of TR proper (TR of the dissolvin
architectural
architectural strength,
strength,
each ofeach
whichofharbors
which multiple
harbors im- consequent type). The opening of Haydn's Symphonies N
multiple im-
plications
plications within
within Sonata
Sonata
Theory Theory
for an adequate
for an understand-
adequate understand-82 in C Major ("Bear") and 83 in G Minor ("Hen") presen
ing
ingof ofthe
theinitial
initial
modules
modules
of the of
P +the
TR block.
P + TR Theblock.
weakestThe weakest
similar situations: the I:HC quasi-MC effect occurs in m. 20
instances
instances encompass
encompass I:HC quasi-caesura
I:HC quasi-caesura
gestures that
gestures
may that mayin the former, in m. 16 in the latter; again, each is followe
not
notbebegenuine
genuine MC MCcandidates
candidates
at all, but
at only
all, but
the concluding
only the concluding
by a reiteration of the beginning of P in the tonic. One migh
elements
elements of of
thethe
common
common exposition-launching
exposition-launching
strategy that cite also the first movements of Beethoven's "Waldstein" and
strategy that
we
wecall
callP P
as as
grand
grandantecedent.
antecedent.
In its simplest
In its simplest
manifestations, "Appassionata" Sonatas-examples of grand antecedents are
manifestations,
of
of course,
course, an an
antecedent
antecedentis conceived
is conceived
as a single,
as brief
a single,
phrase. not difficult to find. Probably in none of these cases would
brief phrase.
Yet
Yetititis is
not
not
uncommon
uncommon
for expositions
for expositions
to begin with
to begin
P- withone
P- understand the HC-conclusion of the grand antecedent
themes
themes that
thatfeature
feature
a lengthy,
a lengthy,
typically typically
multimodularmultimodular
ante- as a genuinely proposed I:HC MC inviting one to enter the
ante-
cedent
cedentidea
ideaof of
moremore
than than
12-16 measures
12-16 measures
containingcontaining
several several
secondary-theme zone. If this is so, the category of medial
sub-phrases
sub-phrases or subparts
or subparts
linkedlinked
together, together,
often arranged
ofteninarranged in caesura declined at the onset of the parallel grand consequent
some
somevariant
variant of sentence-form
of sentence-form (aa'b). (It(aa'b).
is also (It
possible
is also
that
possible that
is not applicable. In such cases, the I:HC caesura-gesture is
the
thesentence's
sentence's presentation
presentation
phase, phase,
aa', might aa',
itself
might
unfold
itself
as unfoldproduced
as too quickly, or the TR-quality of what precedes the
aa small-scale
small-scale period.
period.
Such Such
a situation
a situation
produces produces
a hierarchical
a hierarchical
I:HC caesura is not sufficiently developed to lead us to expect
nesting
nesting ofof
different
different
thematic
thematic
shapes within
shapesdiffering
within levels
differing
of a real
levels of MC so soon in the piece.
architecture:
architecture: the the
smallsmall
periodperiod
comes tocomes
be reconceptualized
to be reconceptualized
When the grand-antecedent paradigm is only slightly ex-
as
as the
thepresentation
presentationphase,
phase,
aa', of aa',
a larger
of asentence,
larger which
sentence,
in whichpanded,
in however, the situation becomes more problematic.
turn
turnserves
serves
as the
as the
grandgrand
antecedent
antecedent
of an implied
of angrand
implied
pe- grand pe-
Suppose that the exposition begins in such a way that we are
riod.)
riod.)Such
Such a large,
a large,
multimodular
multimodular
antecedent
antecedent
frequently frequently
led to suspect that a recognizable transition (or generic
drives
drivestoto
itsits
end-point,
end-point,
a I:HC,a with
I:HC,bold,
withenergy-gaining,
bold, energy-gaining,
energy-gaining zone) has in fact been entered before the rhe-
rhetorical flourishes-sometimes even MC-like flourishes.torical I:HC flourish and the subsequent return of P in the
The very breadth of such a P suggests the striving fortonic.
mon-When this occurs, we are confronting a rhetorically
umental proportions. In most cases, the grand antecedent will
stronger, more ambiguous subcategory, which we describe as
lead to the onset of a parallel grand consequent (marked by
the complex grand antecedent. Consider, for example, the
a restatement of the incipit of P in the tonic) that soon dis-
beginning of the Presto exposition in the first movement of
solves into more normative TR rhetoric. Haydn's Symphony No. 101 in D ("Clock"). Here we have
Paradigmatic examples of the P-as-grand-antecedent strat-
what seems to be a brief P-idea beginning in m. 24 (itself a
egy include the first movements of Mozart's Symphonies terse antecedent-consequent pair) followed at once in m. 34

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140 Music Theory Spectrum

by the normatively
normatively Haydnesque
Haydnesque TR-launch
TR-launch through
throughforte
forte in
in m.
m.80).31
80).31More
More
often,
often,
as in as
theinfirst
themovement
first movement
of Symphony
of Sym
affirmation,
affirmation, which,
which, in
in addition,
addition, makes
makes aa modulatory
modulatoryfeint
feint No.
No.94
94inin
GG("Surprise")
("Surprise")
-with-with
its auxiliary-cadence
its auxiliary-cadence
P-theme P-t
in m. 44 with
with the
the introduction
introduction ofof t4,
t4, sforzando,
sforzando,before
beforethe
the idiosyncrasies-Haydn
idiosyncrasies-Haydn follows
follows
the false
theI:HC
false
MCI:HC
withMC
a w
rhetorical flourish at the fermata-sustained I:HC caesura at fuller
fullerrestatement
restatement of Pof
in Pthe
intonic,
the tonic,
as does as
Beethoven,
does Beethoven,
for
m. 48. instance,
instance, inin
thethe
first
first
movement
movementof theofPiano
theSonata
PianoinSonata
G, in
This situation is more complex than that found in the op.
op. 31
31no.
no.1. 1.
Still,
Still,
the the
typical
typical
effecteffect
in all such
in all
cases
suchis that
cases is
"Bear" or "Hen" Symphonies. Could this emphatic I:HC of
of aacomplex
complex grand
grandantecedent
antecedent
with false
withtransition
false transition
leading le
punctuation at m. 48 be taken for an MC candidate? Al- to
to aastrongly
strongly articulated
articulated
I:HC I:HC
caesura
caesura
and a restatement
and a restat
though it does not lead to an S-theme here, launching one of
of at
atleast
least
some
some
of P
ofinPthe
in tonic
the tonic
(or at the
(or original
at the origina
pitch
was apparently an open possibility: in a few other pieces, level,
level,though
thoughperhaps
perhaps
reharmonized.)
reharmonized.)
Although
Although
the caesura-
the cae
Haydn accepts the I:HC as a true MC to produce the early strength
strength ofof
such
such
a situation
a situation
variesvaries
from case
fromto case,
case the
to ca
onset of a monothematic S in V. (In the finale of Symphony general
generalprinciple
principleseems
seems
in dialogue
in dialogue
with the
with
category
the category
of me-
No. 98 in Bb, for instance, the I:HC MC is sounded in m. dial caesura declined.

38 and S, after three hesitant false starts, begins cheerily in Not all cases of Situation 1 begin by restating P mate
F major in m. 43. As it happens, this premature S is im- sometimes the first MC candidate is followed by a new, l
mediately cast aside for more TR or Fortspinnung rhetoric, theme (even with typical S-rhetoric) in the tonic key. In
as if its early emergence had been a compositional mistake.) cases the medial-caesura-declined status of the gestu
More normally, though, Haydn follows a I:HC MC candidate much clearer. The locus classicus occurs in the finale of

with a restatement of (at least) the opening of P at its original Beethoven's Symphony No. 2 in D. (Although this mov
pitch level, thus declining the weak potential MC and even- is a sonata/rondo intermixture, its expositional principl
tually proceeding into a new zone of real TR. The resulting those of unmixed sonata form.) Here the PAC that con
implication is that the first apparent TR (before the I:HC P elides with the onset of a generically normative TR
caesura) had been only a false transition (the final portion of that drives toward an early I:HC caesura at m. 25, one
what we now reconceive as a complex grand antecedent), just ing many of the formulaic features of a typical MC: a
as the I:HC MC effect proves to have been a false medial longed dominant, quadruple hammer blows with Nachs
caesura. In mm. 49-50 of the "Clock" -immediately after the GP, and so on. Certainly a standard S-theme could e
I:HC caesura-pause-the grand-consequent residues of the at this point, although it would be very early within
ensuing music are barely perceptible. Only the first nine notes position to do so. And indeed, the new idea that f
of P are sounded at the original pitch level, and the last two (m. 26, piano and lyrical, emerging in cellos and basses
of the nine are reharmonized (m. 50, vii?6/ii). This imme- hibits normative S-behavior in all respects save one
diately subverts the P-restatement and moves toward a toni- solidly anchored in the tonic key. After several broad
cization of E minor (ii), precipitating the music into more dominant oscillations (perhaps suggesting the tonal pro
overtly transitional rhetoric, evidently in search of a real MC. of a fugal exposition based upon a modulatory subje
(In this instance, it generates a prolonged search that even-
tually pushes through a V/V structural-dominant lock, be- 31This
31This V:PAC
V:PACand
andits
itsproportional
proportionalplacement
placement
areare
alsoalso
discussed
discussed
in Sect
in S
ginning in m. 63, to conclude with an emphatic V:PAC MC 9 below.

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 141

moves toward V/V (m. 44), whereupon a new thematic mod- First,
First, launched
launchedbybyanan
fpfp
dynamic
dynamic shock,
shock,
the the
music
music
lurches
lurches
ule reinvigorates TR-activity and presses toward a V:HC cae- abruptly
abruptlyhere
heretotoAlb
Albmajor
major
(VI).
(VI).
(True,
(True,
one one
might
might
not have
not have
sura finally articulated at m. 50. Two measures of caesura-fill expected
expectedthe thesudden
suddenappearance
appearance of III,
of III,
Eb major,
Eb major,
directly
directly
lead to a new lyrical theme in the key of the dominant (m. after
after aa i:HC
i:HCMC-such
MC-such is is
thethe
problem
problem of the
of the
second-level-
second-level-
52, unmistakably S proper). default
default ininminor-mode
minor-mode expositions-but
expositions-but
it isithardly
is hardly
incon-
incon-
Situation 2: Following a proposed MC (usually I:HC or ceivable.
ceivable.Indeed,
Indeed,m.m. 2626begins
beginswithwith
thatthat
Eb pitch
Eb pitch
sounded
sounded
in in
i:HC) the music shifts suddenly onto/into the wrong key. This octaves;
octaves;by bym.m.2727it it
is is
understood,
understood, of course,
of course,
as the
as unfolded
the unfolded
produces a tonal non sequitur, often suggesting a foreign, upper
upper fifth
fifthofofananAl'-major
Al'-majorchord.)
chord.)Second,
Second,
afterafter
four four
mea- mea-
flat-side key or chord (b III, b VI, and so on). Moreover, the sures,
sures, at
atm.m.30,
30,Beethoven
Beethoven begins
beginsa sequence
a sequence
of this
of this
material
material
subsequent music does not proceed efficiently to a PAC in a third
third lower
lower(on
(onF F minor
minoror or
iv),iv),
leading
leading
ultimately
ultimately
not to
not
a to a
the proper key. (If it does-which would be a rare event in PAC
PAC but
butto
toa anew,
new,less
less
problematic
problematic
MC MC
candidate,
candidate,
a III:HC
a III:HC
the eighteenth-century style-it might be better interpreted (first-level
(first-leveldefault)
default)
atat
m.m. 33.33.This
This
caesura
caesura
is then
is then
accepted
accepted
as as
as an S-deformation, one that begins with an off-tonic dis- the
the true
trueMC,MC,and
anda more
a more normative
normative (unmistakable)
(unmistakable)S begins
S begins
turbance, perhaps as the onset of an auxiliary cadence.) Al- in
in the
the proper
properkeykeyofof
El El
(III)(III)
withwith
thethe
upbeat
upbeat
to m.to34,
m.thus
34, thus
though the passage may begin lyrically (thematically), it usu- finally
finally launching
launchingthethe
second
second part
part
of the
of the
exposition.
exposition.
In ret-
In ret-
ally moves rapidly into transitional or Fortspinnung texture, rospect
rospect thetheonce-potential
once-potential S of S of
mm. mm.
26-33
26-33
can can
be viewed
be viewed
as as
as if to demonstrate its non-S-status and reinforce its impact a return
returnto
tothe
thetonal
tonal
function,
function,
if not
if not
to the
to the
mostmost
typical
typical
rhet- rhet-
as a rejection of the proposed MC. oric,
oric, of
ofaatransitional
transitionalzone.
zone.
TheThe
i:HC
i:HC
at m.
at 25
m.is25
probably
is probably
The tonal unexpectedness of this type of declined medial an
an applied
applieddivider
divider(a (a
backwards-relating
backwards-relating
dominant).
dominant).
In short,
In short,
caesura suggests an impulsive "No!" to the preceding caesura. the
the overall
overalltonal
tonalprogression
progressionin in
thethe
exposition's
exposition's
firstfirst
part is
part is
Its precise effect differs according to its circumstances and a motion
motionfromfromi (m.i (m.
1) 1)
through
through VI (m.
VI (m.
26) to
26)ivto(m.
iv 30)
(m.to30) to
manner of articulation (lyrical/non-lyrical; loud/soft; and so V/III
V/III (m.
(m.33).
33).This
Thisexample
example alsoalso
shows
showsa common
a common (though
(though
on). It might suggest a willful, forte assertion of personality not
not inevitable)
inevitable)occurrence
occurrence within
within medial-caesura-declined
medial-caesura-declined
or eccentricity; a dogged determination not to succumb to a situations:
situations:asasa aIII:HC,
III:HC,the
thesecond
secondMC-candidate
MC-candidate is tonally
is tonally
weak caesura; or, conversely, a momentary failure of nerve stronger
strongerbut
butrhetorically
rhetoricallyweaker
weaker
(less(less
rhetorically
rhetorically
assertive)
assertive)
and tragic slippage onto the wrong key or into a zone of than the first.
shadowy escape. Generally considered, it suggests either a The first movement of Beethoven's Violin Sonata No. 5
decisive rejection of the offer to open S-space or a seeming ("Spring") in F major, op. 24, offers an even clearer illus-
(if temporary) inability to do so. tration, particularly because additional rhetorical factors
The first movement of Beethoven's String Quartet in C complement the unexpected tonal shift. Here the music
minor, op. 18 no. 4, illustrates this general situation (Example drives with classic TR-rhetoric toward a I:HC caesura (with
6). At m. 25 the music reaches what at first sounds like an energetic, upward-leaping Nachschlag) in m. 25. This V of
unambiguous i:HC (second-level default) MC, complete with F, however, is followed abruptly by a fortissimo scalar un-
fortissimo double hammerstroke and GP. Although the pas- folding of V7-I in Ab (b III in the key of F, b VI in the key
sage that follows (m. 26) might strike us as thematic, there of the coming C major) in mm. 26-28. Even apart from
are two reasons that it should not be understood as S proper. its tonal shift, this gesture is manifestly non-thematic (judged

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142 Music Theory Spectrum

Example 6. Beethoven, String Quartet in C Minor, op. 18 no. 4, first movement: mm. 20-35

20 [Allegro ma non tanto]

24 8f
A Sf sf Dp

7 sf
4* ii
r fi
f b
ffi _rff-
^ ,'^ -J. 4. l r f>
:i~ j io'-'J ' n fp J T
01,1 h

; ^ - ! r r ?---r r
?,_i sf ?^^^^^ sfT^ ff fP' ? ? ? ' ? m^

cresc.

by
bythethenorms
normsof standard
of standard
S-rhetoric):
S-rhetoric):
it is non-lyrical;
it its immediate rejection
is non-lyrical; its ("No!") of the proposed I:HC MC can-
assertive
assertive dynamics
dynamics
are the are
polarthe
opposite
polar
of the
opposite
normative didate. What follows is a guided path to a second, more
of the normative
drop
drop to to
piano;
piano;
and, if
and,
anything,
if anything,
it plunges back
it plunges
into rhetori- acceptable
back into caesura at m. 37: a first-level-default V:HC. Mm.
rhetori-
cal
calactivity
activitymoremore
generically
generically
characteristic
characteristic
of TR-passages. of TR-passages.
26-28 initiate a chain of descending fifths (Eb -Ab -D-G-C),
In short, everything about these measures declares an after which an augmented sixth chord on Ab (m. 33) leads

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 143

to the structural dominant in m. 34. The latter is treated to figuration


figuration outlining
outliningthe
thebass
bass
motion
motion
4-_4-S
4-_4-Sin in
thethe
newnew
key,ke
a typical, dynamically reinforced prolongation leading to the A major,
major, in
inmm.
mm.31-32)
31-32)totomanufacture
manufacture a first-level-default
a first-level-defau
MC proper. This includes a hypermetrical reference to the V:HC
V:HC MC
MC at
atthe
thefirst
firstquarter
quarternote
note
ofof
m.m.
34.34.
(One
(One
could
cou
triple-hammer-blow principle (the Nachschlag-like g2_gl_g imagine
imagine the
theremainder
remainderofofm.m.
3434
as as
occupied
occupied
by by
twotwo
quarter
quarte
in mm. 34-36) followed by a more normative reference to rests
rests and
and an
animmediate
immediatecut
cuttoto
the
the
upbeat
upbeat
of of
m. m.
43, 43,
which
which
willw
the same principle (sf octaves in m. 36 leading to the down- serve
serve as
as the
thetrue
trueS.)
S.)But
Butnono
caesura-gap
caesura-gap
appears
appears
here.
here.
In- In
beat of m. 37). Slipping frictionlessly into a standard caesura- stead,
stead, in
in m.
m.34
34one
oneexperiences
experiences a moment
a momentof of
alarm:
alarm:
a refusal
a refu
fill of the S-I linear type (linear motion in all voices that sets to produce
produce aagap
gapor
ortotodrop
droptoto
piano
piano
dynamics;
dynamics;
a continuation
a continuatio
up the new tonic C with pseudo-cadential effect, as discussed of
of the
the agitated
agitatedtremolo
tremoloininthe
the
first
first
violins;
violins;
and,
and,
above
above
all,
in Section 6 above), this second HC functions as the true an
an instant
instant collapse
collapseof
ofthe
thedominant,
dominant, E-major
E-major
MCMC chord
chord
(V
medial caesura, and the theme that follows it is S. (We might of
of A)
A) into
into minor
minor( ("No!"),
"No!"),underscored
underscored with
with
an an
adrenaline-
adrenalin
add that S's agitated accompaniment, sfp interjections, and surge
surge swerve
swerve(led(ledbybythethesecond
second violins)
violins)
into
into
further,
further, circle-
circ
collapse into minor suggest a deformation of generically nor- of-fifths-oriented
of-fifths-orientedFortspinnung.32
Fortspinnung.32 TheThe
expressive
expressive
effect
effect
of all
of
mative S-behavior. As is common in Beethoven's works, the this-surely
this-surely part
partof ofthetheaesthetic
aesthetic plot
plot
devised
devised
by by
thetheyoung
young
built-up energy cannot be easily contained, and S threatens Mozart-is
Mozart-is as asififone
onehadhadbeen
been caught
caught off-guard,
off-guard, notnotfullyful
to burst through its Enlightenment container.) ready
ready to
to sound
sound(or (ortotohear)
hear)S. S.
Hence
Hence the
themusical
musical
impression
impression
Situation 3: The music following the proposed MC accepts of
of suddenly
suddenlyscrambling
scramblingfor forrecovery.
recovery. TheThe
gesture
gesture
is all
is youth
all you
the generically expected new key but decisively reinvigorates and
and audacity,
audacity,doubtless
doubtlessa adazzling
dazzling twisting
twistingof of
thethe
generic
generictail
obvious TR-texture (or pointedly avoids all features of nor- within
within the
the piece's
piece's1772
1772context.
context.
mative S-rhetoric). In the above example from Beethoven's
"Spring" Sonata, forte/fortissimo-underscored TR-activity
had been one of the rhetorical signs reinforcing a tonal-shift 32The
32The surprising
surprisingcollapse
collapseofof
the
the
dominant
dominant
(MC)
(MC)
chord,
chord,
V/V,
V/V,
intointo
minor
min
is not
not to
to be
beconfused
confusedwith
withthe
the
generically
genericallyrecognizable
recognizable
collapse
collapse
of the
of dom-
the d
type of medial caesura declined. Is it possible for emphatic
inant
inant key
key (V)
(V)into
intominor
minoratat
the
theonset
onset
of of
S. Setting
S. Setting
up the
up the
expectation
expectation
of a o
non-S texture alone--occurring within the expected new key major-mode
major-modeSSbut butbeginning
beginning that
that
theme
theme in in
thethe
dominant
dominantminor
minor
was was
not n
-convincingly to decline a proposed MC? This is a difficult uncommon
uncommon in inthe
themiddle
middledecades
decades
ofofthethe
eighteenth
eighteenth
century.
century.
Charles
Charles
RosenRo
question. For the present it seems to us that it sometimes can, discussed
discussed this
thisasasone
oneofofthe
the "three
"three
stereotypes
stereotypesof of
thethe
1750s
1750s
and and
1760s
1760s
that t
although one should be cautious (even skeptical) whenever were
were to
to disappear
disappear[in[inlater
laterdecades]"
decades]"
andand
cited
cited
some
some
examples
examples
in Sonata
in Son
Forms,
Forms, rev.
rev.ed.,
ed.,153-54.
153-54.AAlocus
locus
classicus
classicus
from
fromthethe
early
early
1780s,
1780s,
though
though
not
making such a claim for any individual composition. Each
one
one mentioned
mentionedby byRosen,
Rosen,occurs
occursin in
Mozart's
Mozart's Overture
Overture
to Idomeneo,
to Idomeneo,in D i
instance must be examined individually, within its own set of major.
major. Here
HereTRTRseeks
seeksultimately
ultimately totoproduce
produce a third-level-default
a third-level-default
V:PACV:P
tonal and rhetorical circumstances, and in ambiguous cases MC-one
MC-one obviously
obviouslyalsoalsoengaging
engaging inin
a highly
a highlysophisticated
sophisticated
dialogue
dialogue
withwith
the
one can imagine legitimate interpretations differing. 5-1
5-1 caesura-fill
caesura-fillprinciple
principleafter
after
ananabruptly
abruptly clipped
clipped
cadential
cadential
6 at6m.
at 41-at
m. 41
One instance in which a reasonable case for a Situation 3 the
the downbeat
downbeatof ofm.m.45.
45.At
Atthe
the
moment
moment of of
PAC-resolution,
PAC-resolution, however,
however,
the t
promised
promised AAmajor
majorisissuddenly
suddenly chilled
chilledto to
A minor.
A minor.
S emerges
S emerges
ominously
ominously
in
medial caesura declined may be made occurs in the opening
that
that AA minor
minorwith
withthe
theupbeat
upbeattotom.m.
45;45;
this
this
leads
leads
to further
to furtherrhetorical
rhetorical
and
Allegro of Mozart's Symphony No. 20 in D, K. 133 (Example tonal
tonal adventures
adventuresbefore
beforethe
theEEC
EEC
at at
the
the
downbeat
downbeatof m.
of m.
64. 64.
Another
Another
example
examp
7). Here TR begins in m. 14 and drives through standard of a minor-mode S in Mozart occurs in the finale of the Piano Sonata in F
rhetorical signals (for instance, the ongoing Trommelbass Major, K. 332, m. 50.

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144 Music Theory Spectrum

Example 7. Mozart, Symphony No. 20 in D Major, K. 133, first movement: mm. 30-49

35 OR,f - "t - j< M - 01. 1 I^


| 'L rTrr I: r^- - ? ?rr rIr r
Z^??tc/ I - -- r

This
Thisis also anis
example
also of theanrarer example m.
m. 43
practice of decliningof the 43 should
should
rarerbebeunderstood
understood as the
practice as the
onset
onset
of C:of
of not
C:only
not is
only
decliniits is its
aafirst-level-default
first-level-default
MC, V:HC. One might notice how MC, rhetoric
rhetoricOne
close V:HC. typical
typical ofof
S, S,
butbut
might thethe
exposition
exposition
notice as a whole,
as a how
whole,
whichwhic c
conceptually
conceptually this situation is to the
thislast-possible-moment
situation oc- ends
endsto
is in
inm.
m.the
78,
78,is is
only
only
slightly
slightly
overover
last-possible-momenhalfhalf
completed.
completed.
currences of the bait-and-switch tactic. Such resemblances As one confronts non-normative sonata behavior around

suggest how seamlessly the extreme instances of the bait- a proposed MC point, it is easy to overuse the interpretiv
and-switch tactic can merge into situations perhaps better tool of medial caesura declined. It is a basic proposition o
considered as medial caesura declined. Here in Symphony Sonata Theory that if a strong HC-caesura is heard at th
No. 20, the new Fortspinnung leads to a third-level-default S-point and if the following phrase is harmonically and ton
V:PAC in the structural voices (the last-available MC- ally stable in the expected key and mode, that phrase should
possibility within the standard deployment-sequence options)
and a normative, unmistakable S at m. 43.33 It is unlikely that inner voice: essentially, the first oboe has been doubling the second violin par
an octave higher since the second half of m. 25. Because the first violin's
33At the point of the MC (m. 42), the first oboe plays a c#2 (not shown is the structural top voice of m. 42, this MC should be understood as bui
in Example 7). This pitch should be understood as the octave doubling of an around a perfect rather than an imperfect cadence. (Cf. note 15 above.)

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 145

normally
normallybebe understood
understoodas S. as
This
S. seems
This seems
obvious obvious
enough, and
enough, and posed,
posed, piano-articulated
piano-articulatedMCMCat m.
at 55.
m. Such
55. Such
an interpretation
an interpretatio
problems
problemsarise
arise
only
only
when when
whatwhat
followsfollows
the presumed
the presumed
medial medialis
is especially
especiallyattractive
attractive
because
because
of the
of the
more more
normative
normative
S-like S-lik
caesura
caesuraisis
rhetorically
rhetoricallyunusual-if
unusual-if
it begins
it begins
with sudden
withforte
sudden forte theme
theme(mm.(mm.72-79)
72-79)
that
that
directly
directly
follows
follows
the V:PAC
the V:PAC
of m. of
71.m. 7
bluster,
bluster,for
forinstance,
instance,
instead
instead
of theofstandard
the standard
drop to piano.
drop to piano. In
In this
this interpretation
interpretationthe
the
V:PAC
V:PACin m.
in 71
m.may
71 may
be considered
be considere
But
Butsuch
sucha forte
a forte
surge
surge
alonealone
is notisalways
not always
sufficient
sufficient a third-level-default
to justify to justify third-level-default MC,
MC,thethe
V:HCV:HC
default
default
already
already
having havi
aa claim
claimthat
thatthethe
preceding
preceding
MC candidate
MC candidate
has beenhas
declined. been
been used
been declined. usedup
upininm.m.
55;55;
S proper,
S proper,
of course,
of course,
would
would
begin begin
at
Sometimes
Sometimes what
whatfollows
follows
the MC
theisMC
more
is judiciously
more judiciously
regarded regarded
m.
m. 72.
72. (The
(Therelationship
relationshipof of
thethe
V:PAC
V:PAC
MC to
MCprior
to prior
feintsfeints
at at
as
as an
anS-deformation,
S-deformation,in which
in which
S's normative
S's normative (first-level-articulating
(first-level- articulatinga aV:HC
V:HCMC MCis discussed
is discussed
in Section
in Section
9 below.)
9 below
default)
default)rhetoric
rhetoricis overridden
is overridden
for local
forexpressive
local expressive
purposes. purposes. On
On the
theother
otherhand,
hand,one
onecould
could
alsoalso
argue-perhaps
argue-perhaps equally
equal
When
Whenthe the
evidence
evidence
persuades
persuades
us thatusthis
thatis this
the case,
is the plausibly,
plausibly,given
the case, the giventhe
thepassage's
passage'skey,key,
as well
as well
as itsassentence-
its sentenc
passage
passageshould
should
be be
considered
considered
as something
as something
in dialogue
in dialogue
with with
format
formatandandthe
thepresence
presence
of of
an unfilled
an unfilled
MC-gap
MC-gap
at m.at 55-that
m. 55-th
the
the normative
normative S-principle
S-principle
in theinproper
the proper
S-space.S-space. mm.
mm. 56-71
56-71should
shouldbebe
regarded
regardedas an
as S-deformation
an S-deformationin which
in whic
Such
Suchan anS-deformation
S-deformation (not (not
medial
medial
caesuracaesura
declined)declined)
may may typically
typicallyMozartean,
Mozartean, lyrical
lyrical
S-rhetoric
S-rhetoric
has been
has been
overridden
overridden
occur
occurininthe
theinitial
initial
movement
movementof Mozart's
of Mozart's
Quartet Quartet
in C Major in C Major
by
by Fortspinnung-like
Fortspinnung-like vigor
vigor
(blustery,
(blustery,
momentarily
momentarilyunsettled,
unsettle
("Dissonance"),
("Dissonance"), K. 465,
K. 465,
m. 56.34
m. 56.34
Here the
Heretransitional
the transitional
zone's zone's
suddenly
suddenlyassertive,
assertive,
andandso so
on,on,
surely
surely
in response
in response
to thetoun-the un
articulation
articulation of of
a V:HC
a V:HC
medial
medial
caesura
caesura
(m. 55,(m.
with55,
GP-gap,
with GP-gap, usually
usuallygentle
gentlepreceding
preceding MC).
MC).
In this
In this
interpretation,
interpretation,
m. 71 m.
though
thoughpreceded
preceded by by
a curious,
a curious,
non-normative
non-normative
energy-drop
energy-drop
to to
would
would have
havetotobebe
regarded
regarded as the
as the
pointpoint
of the
of EEC,
the EEC,
and one
and one
piano,
piano,ininm.m. 53)53)
is followed
is followed
by a section
by a section
of brilliant
of brilliant
pas- pas-
could
could also
alsosuggest
suggestthat
thatin in
C1 C1
(m. (m.
72) Mozart
72) Mozart
retrospectively
retrospectively
sagework
sageworkinin thethe
dominant,
dominant,
G major
G major
(mm. 56-71).
(mm. This
56-71).
pas- This pas-(valedictorily?)
(valedictorily?)tries
tries
to to
recapture
recapturethe the
flavor
flavor
of the
oflost
the(orlost (or
sage
sagebegins
beginswith
with
a repeated,
a repeated,
short-lived
short-lived
forte impulse
forte (2impulse
+ (2 previously
previously
+ sacrificed)
sacrificed)S-rhetoric-as
S-rhetoric-as
if S-rhetoric
if S-rhetoric
had been
had be
22 mm.-as
mm.-asif if
trying
tryingto compensate,
to compensate,
albeit with
albeit
hesitating,
with hesitating, displaced
displacedinto
intoC-space.
C-space.
piano
pianopullbacks,
pullbacks,forfor
the the
pre-MC
pre-MC
energy-drop?),
energy-drop?),
continuescontinues
in
in aaFortspinnung
Fortspinnung manner
manner
not typical
not typical
of Mozart's
of Mozart's
S-themes,S-themes,8. THE MID-EXPOSITIONAL TRIMODULAR BLOCK
and
andisissealed
sealedoffoff
at the
at the
end with
end with
a V:PAC
a V:PAC
featuring
featuring
an em- an em-
phatic
phatictrill
trillcadence
cadence(m. (m.
71). What
71). What
followsfollows
this V:PAC
thisisV:PAC
a is a As outlined above, situations 1 and 2 of medial caesura
gavotte-like
gavotte-like theme
theme in ain
more
a more
Mozart-normative
Mozart-normative
S-rhetoric
S-rhetoric declined may begin with a lyrical theme including a drop to
(mm.
(mm.72-79).
72-79). piano: normative S-rhetoric (though delivered in the wrong
However
Howeverwewe interpret
interpret
it, Mozart
it, Mozart
must have
must intended
have intended
us us
key). When such themes exist, they usually dissolve before
to hear mm. 56-71 as unusual. On the level of rhetorical form long into a modulatory passage with TR-rhetoric whose usual
(although not on the level of tonal form, since it does proceed function is to generate another, stronger MC candidate. This
in G major) this vigorous passage might tempt one to consider new caesura is then accepted to open S-space and launch a
it an example of medial caesura declined-a resumption of second, rhetorically normative S (now in the correct key). In
quasi-thematic TR-like activity that rejects the weakly pro- these cases the exposition presents us with apparent double
medial caesuras: two MC-moments are generated because
34Note 35 below discusses a related case, though one following a I:HC the first one is declined. The first proposed MC (usually a
I:HC, as might be expected) comes to be functionally erased
MC and seemingly more in dialogue with the principle of the mid-expositional
trimodular block (Section 8 below). by subsequent events; the second is accepted as the real MC,

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146 Music Theory Spectrum

the
the gesture
gesturethat
that
divides
divides
the the
exposition
exposition
into two
intoparts
twoand
parts and ability
ability or
or unwillingness
unwillingnessofof
S -sometimes
S -sometimes
presented
presented
as weak-
as we
initiates S. ened
ened oror flawed
flawedininsome
some respect-to
respect-to
lead
lead
directly
directly
to ato
PAC
a P
When we confront this thematic subset of medial caesura in
in the
the second
secondkey
key(or
(oratat
least
least
thetheinability
inability
to produce
to produce
a PACa P
declined (as in the finale of Beethoven's Second Symphony), that
that isis convincing
convincingasasthe theEEC);
EEC);4) 4)
thethe
decay
decay
of Sl
oforSl its
or
our perception of the process staged from the production reinvigoration
reinvigoration
of of
ofTR-rhetoric;
TR-rhetoric; 5) 5)
thethesetting
setting
up of
up aof
second
a seco
the first (rejected) MC candidate through the attainment of MC
MC candidate
candidate(usually
(usuallyananHC,
HC,since
sincea third-level-default
a third-level-default
PACP
the EEC can be that of a single multipartite block set apartcould
could bebe interpreted
interpretedasasthe
theEEC);
EEC);6) 6)
thethe
statement
statement
of another
of ano
from the remainder of the exposition and laid out in threetheme
theme with
withS-rhetoric
S-rhetoric(S2),
(S2),
which
which nownowprovides
provides
the the
PACPAC
thatt
distinct rhetorical modules: here, S-like theme (but not S)/attains the EEC.
new TR and real MC/real S. The general three-stage pattern The effect is one of seemingly double S-themes, pun
ated in the middle with a second transition and second MC.
to which this situation belongs crops up fairly often within this
style. We call it the mid-expositional trimodular block. This circumstance merits attention because it is anything
As a subcategory of medial caesura declined, the type ofuncommon in late-eighteenth-century and early-nineteen
trimodular block (TMB) presented above is a secondarycentury practice and because it has apparently not b
widely recognized as such. Since the first MC opens S-spa
product of certain kinds of rejection of the initially proposed
MC. But this is hardly the most frequent type of TMB en-proper (with its new key), we must regard it, not the sec
countered in the late-eighteenth-century style. More common caesura, as the structural MC dividing the exposition into
parts. We understand the second caesura-leading to the s
is a related situation (not falling under the general category
ond apparent S or S2-as a postmedial caesura (PMC).
of medial caesura declined) in which both MC candidates
lead to S-rhetoric themes in the proper key. This TMB con- other words, a postmedial caesura is an emphatic, MC-
caesura planted within the already-launched second part
dition occurs when the following elements, or minor variants
a two-part exposition.) One of the functions of the en
thereof, are found in succession: 1) the presence of a moment
of structural punctuation (usually a GP HC-gap) that seemsstrategy, including medial and postmedial caesura and fir
to be taken (or mistaken) for a proposed MC; 2) the onset and second S-themes, is to broaden S-space to cover a lar
field of proportional time.36 It is a strategy of expansio
of a lyrical theme (S1), usually piano, in the proper second
although it can also produce eloquent local effects.
key (thus suggesting that the prior HC, however weak or
non-normative, has been accepted as an MC);35 3) the in-

35Alternatively, this proper-second-key material could appear forte and 14) and beginning in the proper, though here very insecurely tonicized,
of C major (V). This can strike one as an expressive refusal to open u
blustery. When it does, it generates ambiguities: it could be understood either
as an S-deformation or as a situation of medial caesura declined, notwith- S-space so soon (again, despite the key), and it quickly redissolves into ty
standing the appearance of the second key (as outlined at the end of Section pre-MC rhetoric that shores up and solidifies the modulation to C m
7 above). A locus classicus occurs in the first movement of Mozart's Symphony Following the V:HC MC, a much more normatively acceptable S, pian
"No. 5" in F, K. 43, where one finds a paradigmatic illustration of apparent begins in m. 23. However one understands the passage, it is a crystal-
double medial caesuras, each of which is sounded as a triple hammer blow example of a trimodular block.
followed by a GP-gap (I:HC in m. 13 corrected to V:HC in m. 22). The two 36See, however, the caveats in note 44, par. 2, below regarding the fr
apparent MCs are connected with a continued-forte passage based on P (m. tionless equation of TM modules and labels such as "S1" and "S2."

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 147

To
Tosummarize:
summarize: this this
moremore
common common
type of TMB
typeencom-
of TMB encom- One
One may
mayfind
findthis
this
TMB TMB
situation
situation
as early
as as
early
the 1740s
as the and
1740
passes
passesthe thematerial
material
produced
produced
betweenbetween
the first MC-gesture 1750s-for
the first MC-gesture1750s-forinstance,
instance,in several
in several
of theofsymphonies
the symphonies
of Johann of Joh
(the
(therealrealMC)MC)
and and
the EEC
the(following
EEC (following
S2). The first
S2). module Stamitz.39
Stamitz.39
The first module Whatever
Whatever the the
strategy's
strategy's
genericgeneric
status then,
status it th
(TM1)
(TM1)is islyrical
lyrical
and and
generally
generally
given togiven
S-rhetoric, but it can but it surely
to S-rhetoric, surely
can occurred
occurred often
often
enough
enough
by theby1760s
the and
1760s1770s
and(as1770s
in (a
also
alsogive
givethethe
impression
impression
of arriving
of arriving
prematurely,
prematurely, the
the keyboard
even rashly, even rashly,keyboard sonatas
sonatas
of J.
ofC.J.Bach)
C. Bach)
and ensuing
and ensuing
decades that
decades
as
as ififitit
had
hadaccepted
accepted
a problematic
a problematic
HC and opened
HC and S-space composers-especially Haydn, Mozart, and Beethoven-
opened S-space
too
tooearly
early(thus
(thus
predicting
predicting
a smaller
a smaller
exposition,
exposition,
whose di- whosemust di- have considered it normative, perhaps as a lower-level
minutive
minutive scale
scale
might
might
be outbe
of out
proportion
of proportion
to its grander
to its
rhet-
grander rhet-
oric).
oric).Whether
Whetheror not
or this
notisthis
the case,
is the
TM1case,
soon TM1
provessoon
un- proves un-
of effecting a PAC, S2 either temporizes over the dominant or dissolves into
able
abletoto
produce
produce
the EEC.
the TM1
EEC.may
TM1itself
may redissolve
itself redissolve
into into
ambiguous harmonies, and S3 drives to the cadence. What distinguishes this
transitional
transitional activity
activity
or give
orway
give
to way
a texture-change
to a texture-change
at TM2, at TM2,
type of TMS from the TMB is, of course, the absence of a PMC and the
the
themodule
module concerned
concerned
with preparing
with preparing
and/or articulating general
and/or articulating
an an lack of true TR-activity during S2. In addition, S3 (unlike TM3) is
characteristically assertive and often forte, as though pulling itself together
emphatic
emphatic HCHCin the
in second
the second
key-a postmedial
key-a postmedial
caesura, often
caesura, often
to drive (sometimes in a single cadential phrase) toward the EEC.
more
moreconvincing
convincingor confident
or confident
than thethan
earlier
the
MCearlier
proper.37
MC proper.37Two examples: Mozart, Piano Sonata in D Major, K. 284, first movement
This
Thisisis
followed
followed
by the
byonset
the ofonset
the third
of themodule
third
(TM3),
module
a (TM3),
(TM1, asentence structure = mm. 22-34; TM2 = mm. 34-38 (beat 1): the
new
newS S(S2,
(S2,
usually
usually
begunbegun
in classic,
in classic,
piano S-rhetoric)
piano S-rhetoric)
that that TM3 = mm. 38-50); and Beethoven, Piano Sonata in A Major, op.
decisive
drives
drivestoward
towardthe the
PAC PAC
and finally
and finally
accomplishes
accomplishes 2 no. 2, first movement (the minor mode [flawed] TMI = mm. 58-76:
the EEC.38 the EEC.38
TM2 = c. 77-83 [the GP at m. 83 is not a postmedial caesura but the result
of a texturally evaporated diminished-seventh chord]: the decisive, major-
37Much
37Much more
morerarely
rarely
(and more
(and problematically)
more problematically)
the postmedialthecaesura mode TM3 = mm. 84-92).
postmedial caesura
at
at the
theend
endof of
TM2TM2
may may
be a third-level-default
be a third-level-default
V:PAC or III:PAC.
V:PAC This
oroccurs
III:PAC. This occurs 39A handy example is available in Philip G. Downs, ed., Anthology of
in
in the
thefirst
firstmovement
movement of Mozart's
of Mozart's
Piano Quartet
Piano in Quartet
Eg Major, inK. 493,
Eg Major,
m. K. 493, m.
Classical Music (New York: W. W. Norton, 1992), 39-45: the opening Presto
59
59(with
(withTM1TM1beginning
beginning
at m. 28).
at m.
The 28).
remarks
The onremarks
the PAC caesura
on theinPAC Section movement of Stamitz's Symphony in D Major ("La Melodia Germanica," No.
caesura in Section
99 below
below areare
clearly
clearly
applicable
applicable
here. A here.
similarAsituation
similar exists
situation
in the opening
exists in the opening
1), c. 1754. Here TR begins at m. 17 and drives within eight measures to a
movement
movement of of
Beethoven's
Beethoven'sPiano Sonata
PianoinSonata
D Major,inop.D 10
Major,
no. 3, op.
in which
10 no. 3, in which
clear (but weak) I:HC MC at m. 24. S begins directly, in A major, at m. 25.
aa V:PAC
V:PAC postmedial
postmedial caesura
caesura
occurs in
occurs
m. 53.inHere,
m. however,
53. Here, thehowever,
situation the situation
effecting premature PACs in mm. 28 and 32. Instead of proceeding to a more
is
is further
further complicated
complicatedby a TM1
by that
a TM1opens
that
in Bopens
minor in(vi,Bm.minor
23). The(vi,
closing properly placed PAC (the EEC), Stamitz drives to a second MC-gesture-this
m. 23). The closing
comments
comments in the
in the
present
present
SectionSection
8 concern8 aconcern
wrong-key a wrong-key
TM1. TM1. time a stronger one, V:PAC with triple hammer blows, at m. 37. A new S-like
38The
38TheTMB TMBof the
of the
type type
discussed
discussed
here (in which
here (inthe which
two apparent
the twomedial melody then emerges in mm. 38 (preparatory material) and 39 (theme
apparent medial
caesuras
caesuras may
maybe interpreted
be interpreted
as the MC
as the
proper
MC andproper
the PMC) and
should
thebePMC) should be
proper), leading to the EEC at m. 50: this is followed by reinforcing, post-
distinguished
distinguished fromfrom
another
another
common common
S-strategy,
S-strategy,
the multimodular
the multimodular
S (MMS). cadential C-material, mm. 50-58. Thus, TM1 = mm. 25-32: TM2 = mm.
S (MMS).
An MMS features several distinct thematic modules, the last of which effects 32-37; TM3 (leading to the EEC) = mm. 38-50.
the EEC. Since the most common number of modules is three, we may also The phenomenon of seemingly double second themes (in which the first
speak of the trimodular S (TMS). The various modules of the TMS may be S leads to yet another transition and set-up) is mentioned by Eugene K. Wolf,
designated as S1, S2, and S3, to distinguish them from the components of the The Symphonies of Johann Stamitz: A Study in the Formation of the Classic
TMB. Style (Utrecht: Bohn, Scheltema & Holkema, 1981), e.g., 151, 199, and 272.
Obviously a sentence structure might qualify as a TMS: the presentation,
Cf. 327-28 ("false transition"). Wolf describes the post-Sl TR-texture as a
continuation, and cadential phases would correspond to S1, S2. and S3 re-
"secondary transition." On p. 200 he mentions that "this design [including a
spectively. But composers (Beethoven especially) sometimes write a certain
new, forte transition that leads to a second S theme] also appears with some
type of TMS that in some respects parallels the TMB: S1 proves incapable
frequency in Viennese symphonies (e.g., by Wagenseil and Dittersdorf)."

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148 Music Theory Spectrum

default
defaultoption
optionwithin
within expositions.40
expositions.40In the
In monumentalized,
the monumentalized, sudden
sudden collapse
collapse
into minor
into is aminor
sign thatisthe
a arrival
sign ofthat
the th
highly
highlypersonalized
personalized
style
styleof of
thethe
late-eighteenth-century
late-eighteenth-century
mas- mas- exposition's
exposition's secondsecond
part is stamped
part is withstamped
significantwith
anxieties.
sign
ters,
ters, the
theTMB
TMBinvited
invitedthethe
exploration
explorationof unusual
of unusual
expressive
expressive While
While stillstill
opening
opening
S-space through
S-space its rhetoric,
through thisits
sober
rhet
effects
effectsor orstrong
stronggeneric
genericdeformations,
deformations,particularly
particularly
aroundaround fall
fall into
into
minor
minor
suggestssuggests
that the weaker
thatI:HC
theMCweaker
was in
the
the area
areaofofthe
theMCMC
(sometimes
(sometimes notnot
normatively
normatively
articulated
articulated some
some way
way
unsatisfactory
unsatisfactory
within the narrative
within that
theBeethoven
narrativ
or
or stated
statedtoo
tooearly)
early)
and
and
thethe
subsequent
subsequent
TM1TM1
(sometimes
(sometimes wished
wished to present
to present
in this individual
in thissonata.42
individual
In the musical
sonata.4
presented
presentedasaspremature,
premature,flawed,
flawed,or fragile).
or fragile).
Within
Within
this rep-
this rep- story
story related
related
here, the
here,
priorthe
events
prior
have produced
eventsonly havean pr
ertory
ertorythe
theconcept
conceptofof
thethe
TMBTMB is highly
is highly
complex,
complex,
due both
due both imperfect
imperfect S, as if
S,the
as more
if theproper
more
(major-mode)
proper theme
(major-m
were
to
to the
the many
manyways
waysinin
which
whichit may
it maybe worked
be worked
out and
outtoand
theto the not
not yet
yetprepared
prepared
or readyorforready
launching.
for
Thislaunching.
flaw, it seems,Th
expressive
expressivedeformations
deformationsthat
that
cancan
accompany
accompany
individual
individual
cases. cases. will
will have
have
to betoexpunged
be expunged
through thethrough
TMB-strategy,the which
TMB-
For
For the
thepresent,
present,wewe
only
only
provide
provide
a few
a few
examples.
examples. both
both permits
permits
the generation
the generation
of a second, remedial
of a second
S-like
The first movement of Beethoven's Piano Sonata in C theme
theme (S2) (S2)
and expands
and expands
the overall the
scale of
overall
the exposition.43
scale of
Major, op. 2 no. 3, proposes an unequivocal I:HC medial
caesura with GP gap in m. 26. What follows is an enormous 42Because
42Because of itsof
initial
its tonal
initial
presentation
tonal of
presentation
the dominant, this
of isthe
probably
domi
TMB (with expanded third module) that stretches from
not
not a case
a case
of medial
of medial
caesura declined,
caesura although
declined,
it clearly
although
alludes to that
it c
m. 27 to the EEC in m. 77. This dramatically eventful block
strategy's
strategy's psychology.
psychology.
Tovey's mild
Tovey's
hesitations
mild
regarding
hesitations
this passageregar
are
instructive.
instructive.He considered
He considered
m. 27 as opening
m. 27the as
"second
opening
group (or
the
transition
"second
begins with TM1 at m. 27: a generically lyrical, piano, S-
and
and second
secondgroup)
group)
in [the] dominant,"
in [the] but dominant,"
his subsequentbut
discussion
his subsequ
seems
rhetoric theme, but one that begins in G minor, not in the
to
tosuggest
suggestthat the
thatbestthe
solution
bestis to
solution
consider m.is27
to(with
consider
its "remarkably
m. 27
expected G major (characteristic of the problems often sur-
modulating
modulating theme")
theme")
the beginning
the of beginning
S (A Companion
of toS Beethoven's
(A CompanioPi-
rounding TM1).41 To be sure, minor-mode status alone does
anoforte
anoforte Sonatas
Sonatas
[London:[London:
Royal Schools
Royal
of Music,
Schools
1931], 24-25).
of Music,
not disqualify a theme as an S-candidate; such minor-mode
43A
43A comparison
comparison
may be may
made with
be much
made ofwith
the material
much newly
of added
the by
mate
the
the
onsets for S had been common in the mid-eighteenth century,pianist,
pianist,
beginning
beginning
with the G-minor
with the
themeG-minor
(m. 109) in the
theme
solo exposition
(m. 109)
of
ofMozart's
Mozart'sPiano Piano
ConcertoConcerto
[No. 21] in C,[No.
K. 467,
21]first
inmovement.
C, K. 467,
In effect,
first
although this earlier stereotype had declined sharply in the
the
the pianist
pianist
proposes
proposes
an expansive
an TMB-functioning
expansive TMB-functioning
broadly as S within the br
century's last two decades (as discussed in note 32, above).
solo
solo exposition-none
exposition-none
of whose of
thematic
whosematerials
thematic
had beenmaterials
heard in the h
Within the context of this sonata from 1795, however, the preceding
preceding orchestral
orchestral
ritornello:ritornello:
TM1 in G minorTM1
(mm.in 109-22),
G minor
eliding im-
(mm
pulsively
pulsively withwith
the MCthemoment
MCitself
moment
and merging
itselfintoand
an MCmerging
preparation in
in
inits
its
final
final
measures;
measures;
TM2, the articulation
TM2, the ofarticulation
a deliciously drawn-out
of a delici
V:HC
40See the first movement, e.g., of J. C. Bach, Harpsichord/Piano Sonata, postmedial
postmedial caesura
caesura
with caesura-fill
with caesura-fill
(mm. 122-27); TM3,
(mm.the second,
122-27);
more TM
op. 5 (1766) no. 4 (in El), and the finale of the similar sonata, op. 17 (c. normative
normative S-ideaS-idea
(mm. 128-43),
(mm. here
128-43),
overriding
here
that one
overriding
proposed in the
that
1779) no. 2 (also in El). orchestral
orchestral ritornello
ritornello
and leading
and
on its
leading
own to the
onEEC
itsatown
m. 143.
toThe
the
soloist's
EEC
41An early version of this theme-also in G minor within a larger C-major TMB
TMB S, that
S, that
is, entirely
is, entirely
crowds out crowds
the ritornello's
out proposed
the ritornello's
S, which appears
pro
first movement-appears in one of Beethoven's earliest chamber works from again
again only
only
in thein
recapitulation,
the recapitulation,
where it is relegated
where to the
it status
is relegated
of a separate
to
Bonn, the Piano Quartet in C Major [1785], WoO 36, m. 37. Curiously, in module
module within
within
the closing
thezone
closing
(m. 351).
zone (m. 351).
that work the minor-mode theme is the third module of an S that begins From
From a Schenkerian
a Schenkerian
perspective,
perspective,
the dominant harmony
the dominant
that sets in harmo
at m.
normatively in G major (m. 24) with a theme that resembles that of TM3 in 103
103 (and
(and
turns
turns
to minor
toatminor
m. 109) isat
a leaping
m. 109)passing
is a
tone
leaping
(springender
passi
the later piano sonata. In short (setting aside a few other complicating fac- Durchgang)
Durchgang) that gives
that consonant
gives consonant
support to a passing
support
d2 thatto
moves
a passing
to the
tors), the thematic order of the secondary-theme zone in the early Piano c#2
c#2 of of
mm.mm.
120-21;120-21;
the augmented-sixth
the augmented-sixth
chord that enters here
chord
is thus
that
gen- en
Quartet is the reverse of that found in op. 2 no. 3. erated
erated by aby
chromatic
a chromatic
voice-exchange
voice-exchange
(E-D-C ). Thus all (E-D-C
C-G-E the harmonic
). Thus
events all

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 149

Beginning
Beginningininthe
thekey
keyofof
thethe
dominant
dominantminor,
minor,the the
troubled
troubled Recognizing
Recognizing the
the TMB
TMB pattern
pattern helps
helpsus
usto
todeal
dealwith
withex-
ex-
TM1
TM1 either
eithercannot
cannotororchooses
chooses
notnot
to sustain
to sustain
its Gitsminor,
G minor,
the the positions that
that might
might appear
appear more
more problematic.
problematic.InInthe
thefirst
first
mark
mark ofofitsitsimperfection.
imperfection.It It
begins
begins
to modulate
to modulatesequentially,
sequentially, movement
movement of of Beethoven's
Beethoven's Piano
Piano Sonata
SonataininFFMajor,
Major,op.
op.1010
rising
rising by
byfifths
fifthsfrom
from GGminor
minorto to
a restatement
a restatement on Donminor
D minor no. 2, the C-major
C-major passage
passage from
from m.m.1919to
tom.
m.55
55(the
(theEEC)
EEC)
(m.
(m. 33)
33) to
tonew
newmaterial
materialononA minor
A minor(m.(m.
39). 39).
ThisThis
new new
forteforte displays the
the standard
standard features
features of
of aaTMB:
TMB:aagap
gapor
orpause
pauseonon
module
module atatm.
m.3939reinvigorates
reinvigoratesa more
a more characteristic
characteristic
TR- TR- an HC (m. 18,
18, to
to which
which we we shall
shall return),
return),ushering
usheringinina aTM1
TM1
texture,
texture,aacommon
commonsignsign
ofof
TM2,
TM2,andand
leads
leads
to ato
first-level-
a first-level- with S-rhetoric
S-rhetoric and
and in
in the
the proper
properkeykey(mm.
(mm.19-30);45
19-30);45a atran-
tran-
default
default (improved)
(improved)V:HC
V:HCpostmedial
postmedialcaesura
caesura
at m.
at 45.
m. Two
45. Two sitional TM2
TM2 (mm.
(mm. 30-36),
30-36), preparing
preparingaapostmedial
postmedialcaesura
caesura
measures
measuresof
ofcaesura-fill
caesura-fillintroduce
introduce
TM3,
TM3,
nownow
in a in
sunny,
a sunny,
ex- ex- at m. 36 followed
followed by
by two
two measures
measuresof
ofcaesura-fill
caesura-fill(mm.
(mm.36-
36-
pansive
pansive GGmajor,
major,and
andobviously
obviously heard
heard
as aascorrective
a corrective
coun-coun- 37); an expanded
expanded TM3
TM3 (mm.
(mm. 38-55),
38-55),producing
producingthe
theEEC
EECatat
terbalance
terbalanceofofthe
theearlier
earlier TM1
TM1 at at
m. m.
47. 47.
In typically
In typically
Bee- Bee- the end. So
So much
much is
is clear,
clear, but
but there
thereare
aresurrounding
surroundingprob-
prob-
thovenian
thovenianfashion,
fashion,securing
securing thethe
EECEEC
turnsturns
out out
to betoa be a lems: the HC
HC preceding
preceding the
the C-major
C-majorTM1
TM1isisaanon-normative
non-normative
strenuous
strenuousaffair.
affair.TM3
TM3 (or(or
S2)S2)
is prolonged
is prolonged through
through
cadence
cadence iii:HC (V of
of A
A minor);
minor); and
and that
that HC,
HC,ififititisistotofunction
functionasas
postponement
postponementand
andvigorous
vigorous
textural
textural
andand
thematic
thematic
shifts
shifts
(sub- (sub- an MC, arrives
arrives alarmingly
alarmingly early
early in
inthe
theexposition.
exposition.
modules
moduleswithin
withinthe
themore
more
generically
generically
normative
normative
category
category
of of With op. 10
10 no.
no. 22 we
we are
are dealing
dealing with
withaapurposeful
purposefulde-
de-
TM3).
TM3). The
Theidea
ideaatatm.m.61,61,
ofof
course,
course,
brings
brings
backback
propulsive
propulsive formation
formation of of the
the norm,
norm, notnot with
with standard
standardpractice.
practice.(Again,
(Again,
material
materialfrom
fromm.
m.14,
14,and
and
thethe
EECEEC
is attained
is attained
onlyonly
withwith
the the this is telling:
telling: once
once one
one isis able
able to
to articulate
articulatethe
thegeneric
genericnorm
norm
V:PAC at m. 77.44 and its probable
probable limits,
limits, one
one may
may discern
discernthe
thedegree
degreeofofde-
de-
formational
formational force
force that
that Beethoven
Beethoven applied
appliedto
tothat
thatnorm
normfor
for
through m. 121 (the augmented-sixth chord) are under the control of the tonic
scale-step; the dominant scale-step enters for the first time at m. 128, with
the onset of TM3. (We are indebted to Allen Cadwallader for this tonal not tonal, and
and which,
which, moreover,
moreover, demonstrates
demonstratesthe
thecorrection
correctionofofthe theproblem
problem
reading.) through a generically
generically recognizable
recognizableTMB TMBstrategy.
strategy.
The TMB strategy within solo expositions-either adding a double- In a larger
larger sense,
sense, any
any attempt
attempt to to map
mapsuch
suchaalabel
labelasasS1S1ororS2S2directly
directly
module pair (TM1-TM2, for example, or TM2-TM3) for the solo exposition onto portions
portions of
of aa TMB
TMB isis to
to insist
insiston
oninterpreting
interpretinga amore
morecomplex
complexexpo-expo-
or creating an entirely new TMB S passage altogether, as here-is something sitional phenomenon
phenomenon (the (the TMB)
TMB) by bymeans
meansofofthe
theconceptual
conceptualcategories
categoriesofofa a
that Mozart found particularly attractive within concertos. Quite obviously, simpler one
one (the
(the two-part
two-part exposition
expositionwith
withnon-problematic
non-problematicS).S).AAdeeper
deepercon-
con-
it is an eloquent way of demonstrating the expansive, personally inventive sideration of
of m.
m. 27
27 might
might produce
producethe
theconclusion
conclusionthat
thatwhile
whileTM1
TM1might
mightnot
not
possibilities of the soloist within a still generically recognizable framework. be said literally
literally to
to be
be SS (since
(since S-situations-or
S-situations-orsituations
situationsfor
forwhich
whichthe
the
44For some considering this exposition, the question might remain: was S-concept was
was devised
devised inin the
the first
firstplace-are
place-arenormally
normallysimpler),
simpler),ititisiscertainly
certainly
m. 27, with its G-minor opening, really the onset of S? (Notice, for example, to be considered
considered as
as in
in dialogue
dialogue with
withthe
theS-principle.
S-principle.Only
Onlyininthat
thatlimited
limitedsense
sense
the extreme skewing of the proportions of the exposition: 26 mm. in the first may TM1 be
be said
said (casually)
(casually) to
to be
be S.S.
part, 64 in the second, although that is not uncharacteristic of TMB situa- 4sIn "Organic
"Organic Structure
Structure in
in Sonata
Sonata Form"
Form"(1926),
(1926),Schenker
Schenkerconsidered
consideredthis
this
tions.) Surely there are ambiguities that involve the limits of the procedure to begin the
the "antecedent
"antecedent of of the
the second
secondtheme";
theme";the
themodule
modulewe wedesignate
designateasas
of medial caesura declined. But from the perspective of Sonata Theory, which TM3 he called
called the
the "consequent
"consequent of of the
thesecond
secondtheme."
theme."AAtranslation
translationbybyOrin
Orin
is concerned with uncovering an individual work's dialogue with generic pre- Grossman appears
appears inin Maury
Maury Yeston,
Yeston,Readings
ReadingsininSchenkerian
SchenkerianAnalysis
Analysisand
and
cedent, it would be difficult to maintain that such an emphatically formulaic Other Approaches
Approaches (New
(New Haven:
Haven: Yale
YaleUniversity
UniversityPress,
Press,1977),
1977),45-47.
45-47.Tovey,
Tovey,
I:HC caesura with GP-gap at m. 26 (how else are we to hear it?) could be in A Companion,
Companion, 50,50, also
also considered
consideredthis
thisto
tobe
bethe
theonset
onsetofofthe
the"second
"second
decisively declined by a lyrical, piano theme whose only initial flaw is modal, group."

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150 Music Theory Spectrum

special effects.) Here the mood is one of rough impatience. 9. V:PAC (III:PAC) MEDIAL CAESURAS
A brief, matter-of-fact P leads to what appears to be the onset
of TR at m. 13. ( The generic strategy in play is that of Within two-part expositions most medial caesuras are con-
producing a dissolving restatement of P.) But that TR is structed around the half cadence, V:HC and I:HC in major-
abruptly cast aside before it can expand properly. The result mode expositions and III:HC (or v:HC) and i:HC in minor-
is the sudden iii:HC, whose dominant-chord character and mode expositions. In each case the HC is to be heard as a
triple-hammer-blow effect seem prematurely to trigger the dramatized sign of preparation for what is to follow. Struc-
onset of TM1 (or Si). This is a classic instance of a TM1 that tural caesuras built around third-level defaults, V:PAC and
strikes one as rash, as if it had jumped at the first HC that III:PAC (or, much less commonly, v:PAC), are also readily
might serve as an MC. This impression of self-indulgent ca- available, though less frequent options.
price, linked with the rhetorical muscle and generic disorder The remaining conceptual alternative, a seeming MC ar-
of the passage, is surely part of the young Beethoven's in- ticulated by a I:PAC or i:PAC is probably best considered
tended purpose. either an extremely low-level MC default (within a somewhat
Although the above examples may contain elements of telescoped or abbreviated exposition) or an ad hoc substi-
uncertainty, more serious ambiguities arise when what would tution for the MC principle. In eighteenth-century works a
otherwise be considered TM1 appears in the wrong non-tonic I:PAC or IAC leading directly to an obvious S in the new key
key (for example, in the submediant or subdominant within may occasionally be found in light, small-scale works and in
a major-mode exposition). In these cases-the first move- some slow movements. In virtually all cases the PAC or IAC
ment of Beethoven's Piano Sonata in D Major, op. 10 no. closes off a brief, straightforward P, and the resultant im-
3, provides a particularly challenging example-a TMB pat- pression is one of omitting the TR-zone altogether. In other
tern overlaps with the situation-2 type of medial caesura de- words, because of the effective ellipsis of TR, the I:PAC or
clined (outlined in Section 7 above).46 The resulting situation IAC at the end of P is asked to do double duty as the rhe-
occupies a tense conceptual space in dialogue both with me- torical MC. This occurs, for instance, in the first movement
dial caesura declined (in which the second caesura is the MC) of Mozart's Quartet in A Major, K. 169, m. 11, with S be-
and with the more standard TMB situation (in which the first ginning in V at m. 12. In larger, more ambitious eighteenth-
caesura is the MC). Trying to remove the ambiguity by de- century works featuring manifest TR-rhetoric at the ex-
claring on behalf of one interpretation or the other is doubt- pected place, the I:PAC or i:PAC MC-effect is rare. Did it
less to miss the point. In most cases, the composer was prob- not occur in the first movement of Mozart's String Quintet
ably hoping that we would savor the generic tension of the in G Minor, K. 516, we might be disinclined to imagine it as
circumstances at hand, not resolve it. a reasonable possibility for grand-scale compositions.47

47In this extraordinary exposition, the negative pull of G minor is ap-


parently so strong that TR finds itself unable to pull free of its control. The
result is the bleakest MC in the repertory, the i:PAC at m. 29. The S that
46Among its complications, for instance, is a V:PAC postmedial caesura follows (the rhetorical signals make it clear that this is S) begins in the same,
in m. 53, as discussed in note 37. inescapable G minor (m. 30) and finally manages to pull itself up to the proper

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 151

On
On the
theother
otherhand,
hand,V:PACs
V:PACsdo occur
do occur
oftenoften
enoughenough
to to But this matter is yet more
more complex.
complex. From
From aa rhetorical
rhetorical
warrant
warrantmoremore sustained
sustained
attention.
attention.
Obviously,
Obviously,
PAC MCs
PACare MCs are point of view, another relevant
relevant matter
matter is
is how
how far
far into
into an
an
stronger
strongertonal
tonalgestures
gesturesthan
than
are HCs.
are HCs.
V:PACV:PAC
caesuras
caesuras
are are exposition the new key's
key's first
first PAC
PAC is
is placed.
placed. This
This reopens
reopens the
the
heard
heardasassigns
signsofof
closure,
closure,
not not
of expectancy.
of expectancy.
Because
Because
they they thorny question of the limits
limits of
of the
the appropriate
appropriate range
range for
for
alter
alter the
theexpressive
expressivenorms
norms
of the
of MC,
the MC,
they they
present
present
special special mid-expositional MC-placement,
MC-placement, aa topic
topic introduced
introduced at
at the
the
problems
problemsofofunderstanding.
understanding.The The
tonaltonal
task of
task
theof
exposition
the exposition end of Section 4 above. Because
Because this
this proportional
proportional question
question
is to modulate to the dominant or mediant and to cadence concerning the first PAC
PAC in
in the
the new
new key
key arises
arises with
with unnerving
unnerving
decisively with a satisfactory PAC in this second key. This frequency in Haydn's works,
works, itit requires
requires usus to
to acknowledge
acknowledge
decisive cadence, we recall, signals the completion of essen-the problem at the outset outset and
and to
to proceed
proceed with
with caution.
caution. The
The
tial expositional closure (EEC). In a two-part exposition this problem restated: emphatic
emphatic V:PACs
V:PACs inin the
the 55-75%
55-75% range,
range,
PAC terminates S; tonally, it is S's raison d'etre. But if TR more common in Haydn'sHaydn's expositions
expositions than
than one
one might
might sus-sus-
itself produces a PAC in the second key-before the onset pect, can strike one as structurally
structurally ambiguous.
ambiguous. The The later
later the
the
of S-we have a premature arrival of that which is normallyPAC within this range, the the more
more trenchant
trenchant thethe ambiguity:
ambiguity: are are
reserved to signal the attainment of the EEC. What then is such V:PACs (or III:PACs),
III:PACs), when
when followed
followed byby aa shift
shift toto dif-
dif-
the tonal point of S? Does not this PAC demote S to post- fering thematic material,
material, to
to be
be understood
understood as as MC
MC gestures
gestures
cadential status-to the same status that we normally assign (followed by a secondary-theme
secondary-theme zone)zone) or
or as
as early
early EECs
EECs com-
com-
to C? pleting the central expansion-section
expansion-section ofof aa continuous
continuous expo-
expo-
From a Schenkerian viewpoint, the EEC generally rep- sition?49 Here one must consider both the relative lateness
resents the first satisfactory completion of the linear descent of the PAC and the nature of the preceding and following
(Zug) -usually 3~-3-2- in the second key of the exposition.48 material. Analytical conclusions about individual cases may
(In a major-mode exposition this Zug often, although not legitimately differ.
always, prolongs 2 in the tonic key.) If TR terminates in a The emphatic, first V:PAC in m. 80 of the first movement
PAC, the question arises whether this Zug has not already of Symphony No. 101 in D major ("Clock"), for example,
been completed. The expected Schenkerian response would occurs only 55% of the way through the exposition and is
be negative, and not without reason: it may well be that the followed by a piano theme in V somewhat related to P. Given
linear progression completed at the end of TR is either un- Haydn's penchant for monothematic or near-monothematic
satisfactory in some way or represents motion into an inner S themes, and given the V:PAC at only the 55% point, one
voice, and that the Kopfton (for example, 2 ) is still operative is likely to conclude that the subsequent theme at m. 81
as the pieces moves into the S-zone. Whatever the expla- does in fact open the secondary-theme zone. But when a
nation, any such premature PAC in the new key is no matterV:PAC MC-candidate is sounded later within an exposition,
of relative indifference.

49Yet another option, though a less common one, would be to follow the
mid-expositional V:PAC with multiple (perhaps varied or expanded) reiter-
mediant major in mm. 36-37 (although further damage to S is also apparent
ations of the cadential module, thus delaying the functional EEC through
in subsequent measures). cadential repetition and producing the second subtype of continuous expo-
48Recall, however, the caveat in note 8 above. sition described in Section 2 above.

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152 Music Theory Spectrum

and
and especially
especiallywhen
when it leads
it leads
to essentially
to essentially
new ornew
rhetorically this
this proposition-and
or rhetorically proposition-and wewe
do do
accept
accept
it-requires
it-requires
that one
thatbeone
unusual
unusualmusical
musical material
material largely
largely
unrelated
unrelated
to P, to
we P,
arewe are con-able
con- able to
toidentify
identifyintended
intendedS-zones
S-zones
on the
on basis
the basis
both of
both
char-
of char
fronted with a situation that is more difficult to assess. Such acteristic
acteristicrhetoric
rhetoricand
and
of of
proportional
proportional
placement
placement
withinwithin
the t
a case occurs in the first movement of Symphony No. 102 in exposition. exposition.
B , which renounces its earlier MC-options to produce an Perhaps
Perhapsanother
anotherreason
reasonthat
that
PACPAC
medial
medial
caesuras
caesuras
are ar
almost comically emphatic V:PAC in m. 80 (the 66% point).structurally
structurallyweaker
weaker
than
than
later,
later,
EEC-gestures
EEC-gestures
is that
is they
that of-
they
This is followed at once by a brief passage of seeming surprise ten
ten give
givethe
theimpression
impressionof of
being
being
closely
closely
related
related
to-perhaps
to-perhap
and consternation (mm. 81-92, with V:PAC in m. 92) before even even highly
highlydeveloped
developedinstances
instances
of-the
of-the
procedure
procedure
of (post-
of (post-
producing more obvious closing material (based on a motive HC)
HC) caesura-fill
caesura-fillofof
the
the
5-1-descent
5-1-descent
typetype
(discussed
(discussed
in Section
in Secti
from TR) in mm. 92-110. Here it is difficult to ascertain 5
5 above).
above).InInthis
thiscaesura-fill
caesura-fill
type
type
a V:HC
a V:HC
(or III:HC)
(or III:HC)
MC is MC
whether mm. 81-92 should be understood as an S-deforma- bridged
bridgedwith
witha a
linear
linear
descent
descentthatthat
connects
connects
the dominant
the dominant
of
tion, as an unusual beginning of C (following the early close
the
the MC
MCtotothe
thetonic
tonic
of of
S, as
S, if
as setting
if setting
up the
upnew-tonic
the new-tonic
plat- pla
of an expansion section), or as an ad hoc, non-normative, form
form fromwhich
fromwhich S emerges.
S emerges. WhenWhenthis this
descent
descent
is thickened
is thicken
reactive gesture not adequately described by either of theto
to include
includeallallvoices
voices(as(as
mentioned
mentioned
earlier),
earlier),
it canitgive
canthe
give t
common labels, S or C. For the present, the question must impression of a V:PAC (or III:PAC) at the moment of
be left open, to be addressed later, perhaps, in a separate
S-launch. All that is needed to reinforce this impression-to
produce an unequivocal PAC-is to emphasize this cadential
study of Haydn's engagingly idiosyncratic customizations of
more normative sonata practice. We need only register herequality rhetorically (for example, to produce it aggressively,
the frequency with which Haydn lays down a V:PAC (or forte, or to reinforce it with a trill cadence or another ca-
III:PAC) in the 60-75% range and follows it with contrastingdential formula) and, in most cases, to separate the PAC from
the ensuing S with a GP-gap. In short, many PAC medial
material that could be interpreted as either S or C (in either
case, more than a little uneasily) within the conventional
caesuras are preceded with a feint toward an earlier, more
system of categories. normative V:HC MC, a feint that then-in dialogue with the
Let us return to those situations in which we may be more expanded 5-1 caesura-fill principle-seems to change its
comfortable in assigning S-status to the music followingmind a in order to produce a more decisive PAC instead. (The
V:PAC (or III:PAC) MC. In order for us to be convinced that effect is often: "No! This time let's go directly for the au-
thentic cadence!" On the other hand, it may be that a 5-i
such an S has not lost its cadential status (its tonal birthright,
so to speak), we must agree to understand that the PAC caesura-fill
at expansion carried out too far or pushed beyond
the end of TR is provisional, not binding. It does not stick a certain level of expressive tension demands a stronger res-
as a convincing EEC, and the onset of S should be understood olution by means of a PAC.)
as undoing or re-opening its patent (though secondary) effect The first movement of Mozart's String Quartet in D Mi-
of closure. One way of dealing with this would be to propose nor, K. 421, is paradigmatic. Here S begins in F major, III,
that such an MC, V:PAC (or III:PAC), declares its own pre- at m. 25, but it is prepared by a III:PAC MC in the preceding
maturity by occurring within the TR-zone (albeit as its final measure. Only a few measures earlier, however, TR had
gesture). This would mean that in a two-part exposition thearrived at a strong HC (m. 18, beats 3-4) and reinforced it
EEC, by definition, must occur within the S-zone. Accepting with two repetitions in the following two measures (mm. 19-

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The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition 153

20).
20).ByBy m.m.20 TR
20 has
TRvirtually
has virtually
produced produced
the expectedtheIII:HC
expected III:HCHowever
Howeverwe weinterpret
interpret thesethese
TR-disturbances,
TR-disturbances,they d
MC,
MC,but butthatthat
effecteffect
is overridden
is overridden
with an unexpected
with anforte unexpected provoke
forte
provoke a areaction
reactionfrom
fromS (anS S-deformation),
(an S-deformation), which burst
whi
gesture
gesture in in
the the
cello cello
("No! Let's
("No!do Let's
something
do something
different!") that
different!")
in that
in with
witha anon-normative
non-normative show show
of bluff
of bluff
force: force:
a forte aTurki
fort
initiates
initiates a new
a new
surgesurge
in all voices,
in allleading
voices, to leading
the III:PACto MCthe III:PACmarch
march
MC (m. (m. 72)72)
beginning
beginning off-tonic
off-tonic
in thein keytheofkey
E mino
at
atm. m.2424
(about
(about
60% of60%theofwaythethrough
way thethrough
exposition).
theThe exposition). The This
(vi/V).
(vi/V). This antecedent
antecedent phrase
phrase
is tamed
is tamed
by a piano,
by a buffa-l
piano,
closeness
closeness of mm.
of mm.21-24 21-24
to the S-i
to caesura-fill
the S-i caesura-fill
principle seems principle consequent
consequent
seems that
thatbegins
begins(m. (m.
76) on76)C on
major
C major
(IV/V but
(IV/Val
obvious,
obvious, andand
MozartMozart
underscored
underscored
it by calling
it for
by ancalling
energy-for an energy-
an
an oblique
obliquereference
reference to the
to the
original
original
tonic tonic
key) andkey)
cadence
and
loss
lossinin those
those
measures
measures
(notice (notice
the pianothedynamic
piano in m.
dynamic
23, in in
m.G
in G23,
(V:PAC).
(V:PAC). The
The
harmonic
harmonic strategy
strategy
of S isof
clear:
S isthe
clear:
overt
not
notnormally
normally characteristic
characteristic
of standard
of drives
standardtoward drives
an MC)toward an MC)
vi-IV-V-I
vi-IV-V-I progression
progression represents
represents
an auxiliary
an auxiliary
cadencecaden
in th
and
andby byfollowing
following it withit the
with
chattering
the chattering
accompanimental
accompanimental
pat- key
keypat-
of
ofthe
the dominant,
dominant, a forceful
a forceful
way of way
re-opening
of re-opening
and th
tern
terninin thethe
last last
half of
half
m. 24of(itself
m. 24 caesura-fill)
(itself caesura-fill)
that bridges that bridges
reclosing
reclosingthe theprevious
previous V:PAC.
V:PAC.
The EECTheissue
EEC is issue
re-opene
is r
the
theMCMC to to
S. The
S. The
S thatSfollows
that follows
is brief (mm.
is brief
25-32, (mm.
a re- 25-32, a re-
once
once again
againbybya standard
a standard
repetition
repetition
of theofS-theme
the S-the
(mm
peated
peated sentence
sentencebuilt built
aroundaround
an auxiliary
an cadence):
auxiliaryit dis-
cadence): 80-87),
it dis- reversing
80-87), reversingthethe
dynamic
dynamic
levelslevels
of theof
two
the
phrases.
two ph Th
plays
playsfew,
few,
if any,
if any,
signs of
signs
having
ofbeen
having
disturbed
beenbydisturbed
the pre- EEC
EEC
by the (and
(andthe
pre- theend
end
of of
S) occurs
S) occurs
on the
ondownbeat
the downbeat
of m. 87-th
of m
ceding
ceding PAC.
PAC. only
onlytime
timethat
that
thethe
V:PAC
V:PAC
is delivered
is delivered
forte-at
forte-at
which point
whi
In
Insome
someinstances,
instances,
however,
however,
the subsequent
the subsequent
S does seem S doesthe
seem
the music
musicenters
enters
a closing
a closing
zone.zone.
markedly
markedly unsettled
unsettled
in these
incircumstances.
these circumstances.
In the first move-
In the first move-
ment
mentofof
Mozart's
Mozart's
Symphony
Symphony
No. 36 inNo.
C, K.36
425in
("Linz"),
C, K. 425 ("Linz"),
the
theend
endof of
the the
TR isTR
signalled
is signalled
by a V:PAC
byMC
a V:PAC
in m. 71. MC
This in m. 71.IO.This
EPILOGUE: BRIEF HISTORICAL CONSIDERATIONS

V:PAC-sounded,
V:PAC-sounded, as it turns
as it out,
turnsat the
out,
52%atpoint
thethrough
52% point through
the
theexposition-is
exposition-isprecededpreceded
by very bycurious
very activity:
curious a stan-
activity: a stan-Sonata form was an ordered system of generically
dard
dardTR-forte
TR-forte drivedrive
that breaks
that off
breaks
suddenly
offonsuddenly
a predom- on a predom-
options permitting the spanning of ever larger exp
inant
inantchord
chord
(locally,
(locally,
a ii6) before
a ii6) the
before
production
the production
of the ex- of the ex- A sonata-form composition was a feat of eng
time.
pected
pected MCMC(m. (m.
62, a 62,
blocked-caesura
a blocked-caesura
situation that
situation
presents that presents
like the construction of a bridge thrown out into sp
aa clear
clearexception
exceptionto normative
to normative
medial-caesura
medial-caesura
practice); and practice);eighteenth-century
and style, this temporal span was t
aa piano,
piano,caesura-fill-like
caesura-fill-like texture texture
(energy-loss)
(energy-loss)
that itself be-that itself
frombe- rather simple materials: trim, elementary mu
gins
ginstotosuggest
suggest
V:HC V:HC
caesura-like
caesura-like
signals (approach
signals via(approach
04,. via 04,.
ules whose very brevity and small-scale balances se
neighboring
neighboring motion,
motion,
and so and
on, touching
so on, significantly
touching significantly
on the on the to short-winded compositions. One of the ce
suited
structural
structural dominant
dominant
at m. 66).
at m.
Perhaps
66).Mozart
Perhapssuggests
Mozart
here suggestslenges
here facing the mid- and late-eighteenth century
that
thatV:HC
V:HCMCsMCs
oughtought
not-cannot?-be
not-cannot?-be
produced within
produced
a within
this a
seemingly unassuming, galant language, gr
texture
texture of of
energy-loss
energy-loss
(the premature
(the premature
caesura-fill texture).
caesura-fill texture).
structural punctuation and periodicity, to produce
The
Theresult
result is that
is that
he undercuts
he undercuts
his potential
hisV:HCpotential
medial V:HC medial
spectacular spans for occasions of special dignity, pr
caesura and leads the music into a V:PAC at m. 71.50 social importance. Multimovement conventions, eve
thematically differentiated binary structures (with
repetitions), and slow introductions all had their rol
50Similar situations are mentioned in note 18 within Section 4 above.
in this process of generic enlargement. And ultima

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154 Music Theory Spectrum

led
led to
tothe
thegrandly
grandly monumental,
monumental, personalized
personalized
structures
structures
of ofHaydn
Haydnand, and,later,
later,young
young
MozartMozart
(as well (asaswell
every asother
every comot
Haydn,
Haydn,Mozart,
Mozart, andand
Beethoven.
Beethoven. poser
poserof ofthe
the period)
period)assimilated
assimilatedand customized
and customized
into theii
Within
Withinwhatwhat was
was
eventually
eventuallycalledcalled
the exposition
the exposition
of a so- of a so- own
ownpersonal
personal styles.
styles.
nata
nataform,
form, thethemid-expositional
mid-expositional relaunch
relaunch
into a separately
into a separately By By the
thelater
later eighteenth
eighteenth century,
century,
especially
especially
in the hands
in the of
articulated,
articulated, contrasting
contrasting second
second
part (S-theme),
part (S-theme),
came to came
be to beHaydn,
Haydn,Mozart,
Mozart, andand
Beethoven,
Beethoven,the variety
the variety
of waysof in way
whic
aa crucial
crucialstrategy
strategy of this
of this
spanning-procedure.
spanning-procedure. (The main al- main al- the
(The the crucial
crucial MC MC could
could
be articulated,
be articulated, 'suggested,
'suggested,
evaded,
ternative,
ternative,less
lessoften
often
usedused
withwith
everyevery
decadedecade in the eighteenthmasked,
in the eighteenth masked,declined,
declined, bridged,
bridged,or stretched
or stretched had grown
had enor
gro
century,
century,was was that
that
of an
of ongoing
an ongoing
Fortspinnung.)
Fortspinnung.)
This second-
This second- mously.
mously. What
What had had
arisen
arisen
as a simple,
as a simple,
straightforward
straightforwa
device
launch
launchstrategy
strategy waswas
anticipated
anticipated
in theininitial
the initial of the of the of
sectionssections of galant
galant structural
structural punctuation-a
punctuation-a gap ofgap silence-came
of silenct
da
da capo
capoarias
arias ofofLeonardo
Leonardo VinciVinci
in thein1720s,
the 1720s,
and, within
and, withinbe be among
among thethemostmostcentral,
central,
most most
subtle,subtle,
most expressive
most expre fea-
instrumental
instrumental compositions,
compositions, it emerged
it emerged
clearlyclearly
in the late
in the latetures
turesof ofthe
thelate-eighteenth-
late-eighteenth- and early-nineteenth-century
and early-nineteenth-ce ex
1730s and 1740s with the dramatized first movements of cer- position.
position.Sonata
Sonata Theory,
Theory,concerned
concernedwith recreating
with recreating
the tacit
tain Neapolitan opera overtures by such successors to Vinci dialogue
dialoguebetween
between an individual
an individualwork workand a relevant,
and a relevant
histor-
as Leo and Jommelli.51 It soon became a standard feature of ically
icallyfluid
fluidsetsetof of
generic
generic
norms,norms,
seeks to seeks
provide
to provide
the tools
certain types of expositions within early sonata, chamber, andfor for awakening
awakening thethe
expressive
expressiveimpact impact
of suchof things
such asthing
the
symphonic practice.52 inexhaustibly
inexhaustibly varied
varied
treatments
treatmentsof theof all-important
the all-importan
medial
The compositional device that made this second launchcaesura.
possible was the medial caesura, along with the transitional
energy-gain leading up to it. Thus it is no surprise that a ABSTRACT
conventionalized set of options concerning its treatmentThe authors are developing a genre-based "Sonata Th
emerged and continued to multiply at mid-century. It is thiscording to which moment-to-moment compositional
set of gradually transforming norms or defaults that youngsonata-form works are understood as elements of an on
logue with reasonably ascertainable, flexible norms. One o
51Kurt Sven Markstrom, "Burney's Assessment of Leonardo Vinci," Acta important tonal/rhetorical features of the "two-part expos
musicologica 67 (1995): 142-63 (especially 153-54, which contain referencesan exposition with a secondary theme) c. 1800 is the media
to the anticipation of sonata form).
bringing an emphatic end to Part One and simultaneou
52Eugene K. Wolf discusses the origins of separate S-themes (thematic
available the "secondary-theme zone" that launches Part
differentiation) within more or less expansive binary structures in "Sonata
Form," The New Harvard Dictionary of Music, ed. Don Michael Randel-posers treated the medial caesura in several standard ways
(Cambridge: Harvard University Press, 1986), especially 765-66; and, incould also subject it to generic "deformation" for struct
more detail, Helmut Hell, Die neapolitanische Opernsinfonie in der erstenpressive reasons that become clearer once the norms su
Hilfte des 18. Jahrhunderts (Tutzing: Schneider, 1971). medial-caesura activity are understood.

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