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Sonata Form
The term sonata has many meanings. It originally meant a piece that was played
rather than sung (a cantata). Today a sonata is most likely a multi-movement work for
solo piano, or for a solo instrument with piano accompaniment.
In the 18th century a musical process known as sonata form (or “sonata-allegro
form”—due to the fact it was usually in fast tempo) came to prominence. Sonata form is
considered one of the greatest achievements of the common practice style. Composers of
the 18th, 19th, and even some in the 20th centuries held sonata form in the highest regard,
and used it to explore their most complex musical thoughts. Although primarily used in
classical music, some progressive rock bands (such as Yes and Genesis) have also
experimented with sonata form. Classical composers typically used sonata form for the first
(and sometimes last) movements of symphonies, sonatas, and concertos.
There is not one uniform model for sonata form, but rather a process and set of
parameters that were commonly used. Sonata form is in three main parts: the exposition
(A), development (B), and recapitulation or “recap” (A’). Composers typically placed
repeats after the exposition and around the development and recapitulation (especially
early in the history of the form), clearly making sonata form a hybrid of rounded binary
form. Sonata forms can be relatively short, or considerably long, but they need to be long
enough for the process to be fully expressed. The form can be augmented by adding an
introduction at the beginning and/or a coda at the end.
Figure 1: Basic Sonata Form Structure
(A)
(Introduction) ||: Exposition :||
(B)
||: Development
(A’)
Recapitulation :||
(Coda)
Introduction
Some sonata forms have introductions, some do not. Like the coda, an introduction
is not considered essential to the sonata form model and is sometimes called an auxiliary
section. Introductions can be as short as one measure, or several minutes long. Beethoven
begins his first and fourth symphonies with long, slow introductions while his famous Fifth
Symphony begins directly with the first theme of the exposition. Introductions, when used,
are typically designed to build tension (through slow, longing tempos and/or key changes)
and make the arrival of the exposition even more dramatic.
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Exposition
The exposition is where the primary thematic material of the movement is
introduced. Think of novels, plays, or movies which also have expositions: time and place
must be established and the main characters introduced before they can be taken on an
adventure. One crucial aspect of the exposition is that it must contain a modulation.
Composers typically moved to the dominant (V) in major keys, or to the relative major (III)
in minor keys. The exposition is thus tonally “open” — ending in a different key than it
began, and creating unfinished business that must be resolved.
The exposition will have at least one (or more) clearly identifiable theme(s) in each
key. Themes presented in the tonic key are called “Theme Group 1”; themes in the second
key are called “Theme Group 2”. Each theme can then be labeled with a lower-case letter.
(If there were three themes in the tonic key they would be labeled 1a, 1b, 1c, etc. Themes in
the second key would be labeled 2a, 2b, 2c, etc.) Phrasing is typically different in a sonata
form than in the traditional binary and ternary forms. Although clear antecedentconsequent phrase periods can be found, it is common to hear several antecedent phrases
in a row to keep the music driving forward. The ending of one phrase often overlaps the
beginning of the next (a process called elision), avoiding clear, distinctive cadences until
important structural points.
Composers typically gave the two themes (or theme groups) differing character,
with the first often taking a dramatic or “heroic” tone, and the second being softer or more
lyrical. Occasionally, a sonata may be monothematic using essentially the same theme for
both key areas (a device that Haydn used more than other composers).
There is usually a transition between the first and second theme groups to
accomplish the modulation to the second key. The motivic material for the transition may
be drawn from the first theme, or it may have a-thematic or sequential material in order to
accomplish the modulation. There is usually a clear metrically-accented (“masculine”)
cadence at the end of the transition before the entrance of the 2nd theme(s). The exposition
typically concludes with a closing theme or codetta (mini-coda) in the same key as the
second theme group which may be derived from the motives of the other themes, or based
on new material.
Traditionally, the exposition ended with a repeat sign, indicating it was to be played
again in its entirety. Ironically, when this occurs all of the hard work done to accomplish
the modulation to the second key area is discarded with a quick phrase modulation back to
the opening. Modern performers and conductors often ignore the written repeat as
unnecessary, and later composers abandoned the practice of repeating the exposition
altogether. The repeats around the development and recap were abandoned even earlier.
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Development
Having introduced the themes in the exposition, the development is where
composers “strut their stuff” by twisting, permuting, and reworking their themes to the
limits of their imagination. The melodic material of the development is usually drawn
exclusively from the themes presented in the exposition. Composers may choose to use all,
some, or only one of these themes to develop. Developments can be quite short, or
immensely long, depending on the composer’s whim. Developments are typically tonally
unstable: beginning in the key the exposition ended in, but not staying there for long. They
are like “tonal quicksand” with rapid sequences and modulations to create a feeling of
instability.
Toward the end of the development we find the retransition, or modulation back to
the tonic key. The goal is to arrive on the dominant, often with a pedal point for emphasis,
in order to prepare for the recapitulation of the first theme in the tonic key.
Recapitulation
The recapitulation (or “recap”) is the reprise of the entire exposition with one
crucial difference: the second theme(s) will be transposed to the tonic key. So while
expositions have a clear two-key open structure, the recapitulation is closed with all (or
nearly all) of the music in one key. It is thus familiar, in that the first theme group is heard
again, but different as the second theme(s) are heard in the new key. (This effect can be
particularly striking in minor-key sonatas, where music originally heard in major returns in
minor.) Some authors have compared this transformation to the ending of a novel, where a
main character has been changed by a long journey, or where an adversary (in a foreign
key) is conquered and brought home in the “hero’s” key after a long battle.
Coda
Composers often added a coda to the end of a sonata form. This is similar to the
dénouement of a film or an epilogue at the end of a book. The coda is any music at the end of
the recap that is not directly drawn from the exposition. There are two main reasons to
write a coda: tonal stability and proper proportion. If the composer felt that the recap had
not adequately solidified the sense of the tonic key, the coda could be used to reinforce it.
Likewise, a coda may be necessary to create a feeling of balance between the sections,
particularly after a lengthy development. If the recap feels “too short,” a coda may be the
solution. Codas can be as short as a few bars, or quite lengthy. For example, in the first
movement of Beethoven’s 8th Symphony the coda is longer than the exposition,
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development, and recapitulation all put together, and serves as a second development
section.
Variations on the Formula
As stated above, sonata form is not a strict, fixed formula, but rather a process and a
set of guidelines. Within these parameters there are many variations on what constitutes a
“sonata form”. Some composers have stretched the bounds of sonata form in clever and
surprising ways. A few possibilities are:
1. More than two key areas in the exposition. Schubert often had three key areas in his
expositions, as did Brahms in his second symphony.
2. No development. Some pieces have an exposition with two key areas and a recap
with everything in the tonic key, but no development. A retransition is often used in
place of a full development section. This is sometimes called sonatina form, as it is
typical of keyboard “sonatinas” (or “little sonatas”). However, it can also be found in
larger works, such as the overture to Mozart’s opera Le Nozze di Figaro.
3. Reverse recapitulation. Sometimes the recapitulation brings back the themes in
reverse order from the exposition. Haydn sometimes did this, and it can also be
found in the first movement of Beethoven’s String Quartet Op.9 #3.
4. False recapitulation. Sometimes the first theme of the exposition is brought in as a
“tease” before the development has fully finished, creating a “false recap”.
5. Other keys in the recap. Not every recapitulation begins in the tonic key. In Mozart’s
most famous sonata: K.545 in C major, the exposition moves from C major to G
major as expected. The recap, however, transposes the exposition up a fourth so it
moves from F major to C major – what some call a “subdominant recapitulation”.
6. New material in the recap. Many composers have toyed with the idea of introducing
things in the recap that are not exactly copied (or transposed) from the exposition.
In the recapitulation of the first movement of Mozart’s famous G minor symphony
(K. 550) he launches into a lengthy sequential modulation that does not appear in
the exposition and almost serves as a second development.
Suffice to say that although all sonata forms have elements in common, composers have
shaped their own sonata forms in many ways limited only by their creativity. For a
complete study of the possibilities of sonata form, Charles Rosen’s book Sonata Forms is an
excellent resource.
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