311.4 Sonata Form - HDT

MUST 311
Sonata Form Essentials
Sonata Form emerged out of rounded binary form, and shares with it the two repeated
sections as well as the stand on V before the simultaneous return of the tonic and first
theme. Like ternary form, the development (equivalent of the B section) is long and
significant, and not just a transition to the recapitulation. In addition, the recapitulation
(equivalent of A’) is as long or longer than the exposition (A), in a manner similar to the
relationship of the A’ to the A section in ternary form. Thus it has aspects of both rounded
binary and ternary form.
A work in Sonata Form has three clearly defined sections:
Exposition (p. 2)
Development (p. 3)
Recapitulation (p. 4)
In addition, it may have a concluding Coda (not always labeled as such) and in later sonata
form works sometimes a slow introduction (these are framing sections).
Sonata Form is the most important form in Tonal Western Classical Music before the 20 th-
century. It is the form of choice for first movements of Sonatas, Symphonies, String
Quartets, and other chamber works. In addition to first movement Sonata Form (which the
rest of this handout describes) there is a slow movement Sonata Form and a Sonata Rondo
Form. Many books have been written on the subject, most of them complimenting each
other. The bulk of this handout is taken from William Caplin’s writings, but includes also
the perspectives of Charles Rosen and James Hepakowski with Warren Darcy. Below are
these books, which may be of interest.
Caplin, William E. Analyzing Classical Form: an approach for the classroom (Oxford:
Oxford University Press, 2013).
Caplin, William E. Classical Form: A Theory of Formal Functions for the Instrumental
Music of Haydn, Mozart, and Beethoven (Oxford: Oxford University Press, 1998).
Hepokoski, James A. and Warren Darcy. Elements of Sonata Theory: norms, types, and
deformations in the late-eighteenth-century sonata (Oxford: Oxford University Press,
2006).
Rosen, Charles. Sonata Forms. (rev. edn. New York: W. W. Norton & Company, 1998)
Exposition:
The dramatic goal of the exposition is to modulate and set up a dramatic “opposition” of
the secondary key to the primary key. The exposition first confirms the tonic with a
cadence, then destabilizes the tonic during a transition to a secondary key, which is
then confirmed by a PAC. It ends in the secondary key. The internal parts of the
exposition are:
Primary Theme (group), labeled P (P1 and P2 if more than one)

Primary themes are generally tight knit and
• in the tonic key
• end with a cadence (HC , IAC , or PAC)
Transition, labeled T
• ends with an HC in the secondary key OR the tonic key
Many sonata movements feature a medial caesura just before the secondary theme,
which divides the exposition into two parts. It is characterized by a thinning of the
texture and a slowing of harmonic rhythm, and sometimes a rest or pause.
Secondary or Subordinate Theme (group), labeled S (S1 and S2 if more than one)
Secondary themes are looser knit and:
• in the secondary key area
• end with a PAC . If there is more than one S, both end with a PAC .
Closing, labeled C (sometimes labeled K1, K2, etc. for codetta 1, codetta 2, etc.)
• consists of a series of codettas, 2 or 4-bar passages, which generally
cycle through TPDTs. They are not thematic, but rather serve to
solidify the secondary key.
Development:
The development is highly unstable, usually moves through several different keys
related to the home key, and usually has at least one sequential passage. It generally
develops some or all of the material introduced in the exposition. It may use the P
and/or S themes, but also may use materials from the transition or closing. On occasion
a composer may introduce new material in the development. The function of the
development is to increase the dramatic tension by confirming the more remote keys
and motivate a return to stability with the arrival of the recapitulation. At the end of the
development there is a return to tonic in the form of a dominant pedal or stand on the
dominant, called the retransition. There are no rules for where a retransition begins,
but it is usually safe to consider the initiation of the pedal as the beginning of the
retransition. Other than having a retransition, there are no conventions for a
development section. Most early sonatas use the pre core/core technique1
Pre-Core – less emotional intensity than the following core. There are no rules
about how it is established, and it is recognized only by what follows.
Core – the most highly unstable part of the development

• establishes a relatively large-sized model (4-8 measures) which
is sequenced one or more times
• followed by fragmentation
Retransition (this is considered to be part of the core)
• an HC in the home key or dominant arrival
1
Caplin, William. Analyzing Classical Form and Classical Form. See chapters on Sonata Form
in either book for more details.
Recapitulation:
The dramatic goal of the recapitulation is restate, in the tonic key, any materials that are
presented in the exposition in the secondary key. Most of the time the recapitulation
follows the order of the exposition, but states everything in the tonic. Thus, the
transition will be altered to avoid modulating, and everything after that will be
presented in tonic. Often the themes may be ornamented, and there may also be
structural harmonic changes. Sometimes (rarely) the P theme is not present, or does
not appear first, as it does not need to be “recapped.”
Primary Theme (group), labeled P (P1 and P2 if more than one)

• in the tonic key
• sometimes but does not always ends with a cadence (HC , IAC , or PAC)
since the secondary theme will confirm the key with a PAC.
Transition, labeled T.
• adjusted to remain in the tonic
• sometimes emphasizes the subdominant
If the exposition has a medial caesura, the recapitulation will probably have one as
well.
Secondary or Subordinate Theme (group), labeled S (S1 and S2 if more than one)
• same as in the exposition but in the tonic key
• end with a PAC in the tonic. Sometimes the cadence is more emphatic with
evaded cadences and expanded cadential progressions to
emphasize its victory.
Closing, labeled C (sometimes labeled K1, K2, etc. for codetta 1, codetta 2, etc.)
• same as in the exposition but in the tonic key

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MUST 311

Sonata Form Essentials

A work in Sonata Form has three clearly defined sections:

Primary Theme (group), labeled P (P1 and P2 if more than one)

Core – the most highly unstable part of the development

Retransition (this is considered to be part of the core)

• an HC in the home key or dominant arrival

Primary Theme (group), labeled P (P1 and P2 if more than one)

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