The Evolution of Chopin's Sonata Forms: Excavating the Second Theme Group

Abstract

This study examines the evolving use of sonata form by Chopin, with specific focus on the ways that formal innovations in his early sonatas (opp. 4 and 8) and piano concertos (opp. 11 and 21) anticipate formal patterns in his late piano sonatas (Nos. 2 and 3) and the Cello Sonata; in particular, I excavate Chopin's application of the second theme group (S) as a primary form-defining unit. In doing so, I investigate additional sonata forms by Chopin and Schubert, introduce a new formal function called "resetting of the formal compass" (RFC), and reconsider a recent debate between Hepokoski/Darcy and Wingfield, providing evidence for the resurgence of early Classical conventions in the heart of the Romantic era.

[0.1] This study offers a new perspective for analyzing the sonata forms of Chopin. I show that his sonata-allegro movements are not just "deformations" of the Classical sonata, but instead adhere to principles suggesting a progressive logic. The progression begins with the early sonatas (opp. 4 and 8), which deviate considerably from the Classical template; continues through the compositional fulcrum of the two concertos (opp. 11 and 21); and concludes with the oft-performed and -analyzed late sonatas, opp. 35, 58, and 65. To support my argument, I consider several works by Schubert contemporaneous with Chopin's early sonatas, as well as other works by Chopin, including the First Ballade, op. 23; the Fourth Ballade, op. 52; the Barcarolle, op. 60; and the rarely-performed Allegro de Concert, op. 46. My thesis draws from recent theories of form developed by Hepokoski and Darcy (1997, 2006), Hepokoski (2009), Caplin (1998, 2009, 2011, 2013), Horton (2005, 2011), Schmalfeldt (2011), and Aziz (2013). I will marshal further evidence from Wingfield's provocative review of Hepokoski and Darcy (2008) in favor of categorizing Chopin's late sonatas as Hepokoski and Darcy's "Type 2" (binary) sonatas.

[0.2] Viewing Chopin's works through a deformational lens requires a clear definition of "deformation" in early Romantic music. If deformation is a "stretching or distortion of a norm beyond its understood limits; a pointed overriding of a standard option" (Hepokoski and Darcy 2006, 11), then a purely deformational view requires reference to stylistic patterns unique to the early nineteenth century. But, because no unified theory of early nineteenth-century form exists, according to Vande Moortele, "the only way to account for [novel events] is by understanding them as deformations of Classical norms" (2013, 408). Vande Moortele continues:

What we are dealing with here is the dilemma between a 'positive' and a 'negative' approach to nineteenth-century form: does one strive to establish a series of types and norms based on what happens in this music itself, or does one measure it against something external? (408).

Since Chopin had access to a canon of Classical masterworks,⁽¹⁾ authors often take a negative approach, describing his works in terms of what they are not; Rink, for example, remarks that "Op. 4 and Op. 8 have monotonal expositions, while in Op. 11 the second theme is initially presented in the tonic major rather than the mediant. [The] recapitulation in each work stresses harmonies other than the tonic" (1992, 80). In parallel fashion, Leikin draws comparisons to pre-Classical works, finding allusions to the binary forms of Scarlatti in the partial recapitulations of Chopin's late sonatas: "obviously inspired by the pre-Classical pattern," Leikin observes, these forms "illustrate Chopin's Baroque leanings" (1992, 170). ⁽²⁾ Since the late sonatas do not slavishly follow Classical or pre-Classical forms, these comparisons reduce novel events in Chopin to mere deformations of their supposed forebears. This article, however, digs more deeply to unearth an underlying logic in Chopin's compositional style.

[0.3] Polish scholars, in particular Opieński (1928, 1929) and Chomiński (1960), have taken a more positive approach, searching for Chopin's overarching logic within a purely Romantic context.⁽³⁾ Like Leichtentritt (1921), Chomiński advocates for a principe cyclique, or sense of motivic interconnectivity, that unites the late sonatas (1960, 225); he also limits the significance of Chopin's concertos to their newfound formation of "cantilena themes" (255). While cantilena themes may appear to be a negligible innovation, they will serve as primary evidence in my argument. ⁽⁴⁾ Helman, who provides a comprehensive review of the literature on Chopin's sonata forms,⁽⁵⁾ explicitly describes a "definite continuity in Chopin's interest in the sonata form" (2000, [4]). Her paradigmatic investigation of unifying characteristics, however, omits consideration of the concertos as a fulcrum between the early and late sonatas. Nowik, on the other hand, asserts that Chopin's techniques in the op. 4 sonata "are part of a larger trend deliberately developed later. . . in the two concertos. One cannot judge Chopin's first Warsaw sonata without taking into account these later compositions" (2000, 90).

[0.4] By avoiding a deformational perspective, my goal is to trace a coherent logic of sonata forms that spans Chopin's compositional output. I intend to resolve seeming paradoxes of the early and late sonatas, focusing not on their apparent deficits, but on their formal centerpiece: the second theme group. ⁽⁶⁾ I will show that the presence (or absence) and the function of this group define Chopin's formal blueprint. The early works do not simply fail to achieve a modulation; it is rather that S is musically forecasted but not delivered. Op. 4, in particular, exhibits a neutral function (outside of Caplin's formal functions of beginning, middle, or end) that serves as a formal detour, forcing the music to recalculate its route. I call this new function "resetting of the formal compass," or RFC. In Parts I, II and IV, I apply the concept of RFC to analyze sonata movements by Schubert and Chopin. ⁽⁷⁾ In particular, I illustrate how works by both composers possess formal detours that detain or deny the achievement of the second theme group. As a result, Chopin's expositions resemble the orchestral expositions of concerto forms--perhaps signaling Chopin's interest in these forms, and not in the radical reformation of sonata form (see, for example, the Allegro de Concert case study below). I then conclude by recounting the evolution of S within the complete group of works.

Figure 1a. Type 2 vs. Type 3 Sonatas

[0.5] Echoing the sentiments of Leikin and others, Hepokoski and Darcy identify Chopin's late works as Type 2 sonatas (2006, 364). Figure 1a reviews the construction of a Type 2 sonata, in which the exposition conforms to the normative sonata model, Type 3. In a Type 2 sonata, the development section is followed by an immediate reprise of the second theme group, or S group; this is called a "tonal resolution" rather than a recapitulation (Hepokoski and Darcy 2006, 353). As a result, a Type 2 sonata is "bi-rotational": it contains only two cycles of the thematic order, comprising the four zones P (primary) - TR (transition) - S (second theme) - C (closing). Hepokoski and Darcy typically apply this form to binary sonatas composed from 1740-70. They also suggest that the Type 2 form "never disappeared entirely" (363), living on into the nineteenth century. In contrast, Wingfield, in his review of Elements of Sonata Theory, insists that the Type 2 structure was invalid by the nineteenth century and that many of the Romantic sonata forms classified by Hepokoski and Darcy as Type 2 are in fact altered versions of a Type 3 (2008, 158-59). This paper supports Hepokoski and Darcy's interpretation by identifying the second theme group as a formal centerpiece, ultimately affirming the Type 2 as the ideal formal paradigm for reconsidering these eighteenth-century forms in a nineteenth-century context.

Figure 1b. Summary of Formal Events

[0.6] Each of the four sections in this article serves to "excavate" the second theme group in Chopin's sonata processes. Part I considers several early sonata forms by Chopin that lack the designation "sonata" in their titles (these are called "hidden" sonata forms), as well as contemporaneous sonata excerpts by Schubert that demonstrate similar formal characteristics. Part II investigates the second theme group in the early sonatas of Chopin, and Part III examines the evolution of this formal unit in his two concertos. Part IV considers how the evolving role of the S group links Chopin's early and late sonatas, underscoring the claim of Hepokoski and Darcy that the Type 2 sonata is a viable nineteenth-century form. Figure 1b serves as a summary of Chopin's formal sections and keys.

Part I: The Sonata Concept in Chopin

[1.1] The main works I examine in this article, all with generic titles, provide a coherent narrative that spans the evolution of Chopin's sonata forms. In order to properly contextualize these works, I also consider works lacking generic titles that nevertheless explicitly apply the sonata concept, which I refer to as "hidden" sonata forms. These works shed light on the complete narrative by highlighting novel roles played by the secondary theme group (S) of several important works, including the Fourth Ballade, Barcarolle, and the First Ballade. ⁽⁸⁾

[1.2] Additionally, I offer analyses of two Schubert sonata-form expositions (D. 894 and D. 960) as a supplemental lens through which to view the early works of Chopin. Dahlhaus (1986) points out that Schubert, like Chopin, represents an early post-Beethoven sonata composer; as a case study, he explores the "variation" sonata form in the first movement of Schubert's String Quartet in G major, D. 887. This work notably begins with a set of four variations based on a lament bass pattern (G-F-F-E-E-D) that creates a sense of formal stasis and fails to generate any momentum toward exiting the proverbial thematic "loop." According to Dahlhaus:

The variation principle as such [in this work] is not goal-oriented, but rather resembles a commentary "meandering" about the theme, illuminating it from different sides. (1986, 2)

In describing a formal narrative driven not by a governing schema but by the behavior of an individual theme, Dahlhaus provides a foundation for viewing nineteenth-century sonata forms in their own terms.⁽⁹⁾ In this sense, Schubert is the ideal early Romantic composer to compare with Chopin, who, according to Samson, was also concerned with "blending formal archetypes and with recontextualizing Classical formal functions" via "deformations of sonata form through thematic narratives" (2004, 147). The two Schubert works listed above achieve the very effect that Samson describes; to account for such formal phenomena, I invoke the concept of resetting of the formal compass (RFC).

Hidden Sonata Forms in Chopin

[1.3] Chopin's Fourth Ballade in F minor, op. 52 (1842), composed between the Second and Third Piano Sonatas (1839 and 1844), casts a bright light on Chopin's application of sonata form.⁽¹⁰⁾ The P group in the Fourth Ballade suggests tripartite structures at two different levels, though such structures are packaged within a variation form;⁽¹¹⁾ as a result, P is exercised, almost obsessively, within expository sections of the Ballade. The second theme group is postponed, only to be realized in the distant key of the major subdominant (Bmajor). Although this key recalls Bminor from the earlier primary group, it is staged as a disparate harmonic arrival. Klein and Samson also assign S status to the B-major theme (mm. 80-99), and Klein later views the recapitulatory D-major S as an "apotheosis" (m. 169); a similar recapitulatory apotheosis occurs in the Barcarolle (2004, 32-33). Like the First Ballade, however (and unlike the Barcarolle), the return to tonic F minor in the Fourth Ballade occurs after the apotheosis, projecting a tragic affect (2004, 32-33).

Example 1a. Chopin Ballade No. 4, op. 52, 'Apotheosis' in D, prepared by V/B

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Example 1b. Chopin Ballade No. 4, op. 52, Second Theme in D, prepared by V/B

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[1.4] The apotheosis of the Fourth Ballade, with its direct chromatic-third modulation from V/Bdown to Dmajor, recalls the modulation into the "sublime" progression (Bminor down to the "spiritual" theme of Gmajor in m. 38) that Klein notes in his analysis of the expository section (2004, Ex. 9, 43). ⁽¹²⁾ Ergo, the spiritual theme and apotheosis are linked by their harmonic prefixes. Further, V/Bintroduces both the second theme and the apotheosis, though only the second attempt escapes the subdominant through temporary triumph in the key of VI, Dmajor (as shown in Examples 1a and 1b). Consequently, the S zone is sui generis, giving it greater weight than the second group in works by Classical predecessors. ⁽¹³⁾

[1.5] Chopin's Barcarolle op. 60, in its way, is even more difficult than the Fourth Ballade to explain as an unruly sonata form; in my view, it stretches the form beyond its limits. The opening bars move swiftly from the tonic Fmajor toward the key of V, Cmajor (m. 15), although this section feels like a grand antecedent in mm. 4-15 and consequent in mm. 24-34. ⁽¹⁴⁾ Unlike the Fourth Ballade, the Barcarolle's apotheosis is not clearly the second theme; of the two themes in A major, the first would serve as S1, and the second (the eventual apotheosis when recast in Fmajor) would be S2. For this reason, the two works are not direct analogues, despite both containing the breakthrough paradigm. In the next section, our survey continues with the First Ballade, a work that has received significant commentary. ⁽¹⁵⁾

First Ballade, Op. 23

[1.6] Carl Dahlhaus writes that Op. 23 "distantly recalls sonata form, being based on an underlying contrast of themes. . .it is not the first theme, with its narrative 'ballad tone,' but the cantabile second theme that forms the main idea of the work, an idea emphasized more and more strongly as the piece progresses" (1989, 148). For Samson, "elements of sonata form are already an obvious background to the presentation of the main thematic groups" (1992, 45). This background creates an "arch-like character of the work's formal and tonal organization. . . counterpointed against a strongly directional momentum more in the spirit of the sonata-form archetype" (48). Klein observes that the First and Fourth Ballades "bring back the second theme in the submediant, and the First Ballade reprises the themes in reverse order" (30). Because the points of recapitulation are more "questionable," he states that "if Chopin were making a response to sonata form, it was an individual and original one" (30). Finally, Berger (1996, 49) questions the arch interpretation, opting to classify material following the S theme reprise as a transition to coda, in this way supporting Hepokoski and Darcy's interpretation of the Type 2 form, as well as my own. ⁽¹⁶⁾

Example 2a. Chopin Ballade No. 1, op. 23, TR3 + S

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[1.7] Following an introduction that revels in the Neapolitan harmony, the primary theme group includes antecedent and consequent phrases (mm. 8-16 and 16-36) marked by persistent V⁷ - I gestures in the tonic G minor. Both phrases begin with V⁷, allowing for the possibility that the antecedent actually ends on a half-diminished supertonic seventh chord, blurring the functional line of predominant and dominant (with delaying and delaying ). The transition group may be divided into three main parts: TR1, TR2, and TR3, in mm. 36-44, 44-55, and 56-65; the last of these is shown in Example 2a. Notable in these three transitional modules is their sheer lack of harmonic movement away from tonic--a kind of tonal amnesia--or at least a lack of commitment to the next thematic zone; this is precisely the sensation common to opp. 4 and 8. ⁽¹⁷⁾ A modulation occurs via an enharmonic reinterpretation of F/Gwithin an augmented triad (mm. 59-62), after which the transition stumbles into its medial caesura (V/B). In an analytical vacuum, this appears to be a deformation; however, the harmonic format of the primary theme group provides a sound explanation. With E(VI) on the horizon, V/Bresembles the introduction with its pre-dominant functioning harmony (V ⁶/V, II in the key of Emajor, compared to the introductory II⁶). The genius of the move, of course, is to keep alive the possibility of Bmajor until the last possible moment, when the music opts out of Bin favor of Emajor.⁽¹⁸⁾

Example 2b. Chopin Ballade No. 1, op. 23, Eapotheosis

(click to enlarge and listen)

[1.8] The second theme group slowly conquers the formal narrative, positioning itself as the thematic centerpiece. The developmental rotation that begins at m. 94 in A minor (a key that shadows the tonic G minor) restates P material until m. 105. This rotation is now functionally transformed into a dominant preparation for the very next onset of S in A major (an uncanny tritone away from Emajor). E, however, has not yet exited the stage; when it resumes in the virtuoso "public" waltz from mm. 138-50 (Klein 2004, 31), we enter a zone that seems outside of sonata space, as if Emajor has, in essence, conquered the work. Once S material is reinstated (m. 166), formal consciousness within the sonata narrative resumes. To the extent that this reinstatement is an "apotheosis" (Klein 2004, 31), it is less about the key--Emajor surely controls the structure and expression--than about the resumption of the sonata paradigm with the recommencement of S as a form-defining unit, as shown in Example 2b. Klein eloquently concludes:

In the First and Fourth Ballades, the structural dominant of a minor tonic appears after the apotheosis, turning tragic the putative triumph of these sections. . . . A heightened pathos results from the failure of the apotheosis at the fullness of its promise, and narrative inquiry searches for the logic of expressive states leading to that failure (Klein 2004, 35).

Later in this article, I show how the thematic and formal functions within these two Ballades become hallmarks for Chopin's compositional style within the sonata genre. The final piece of the puzzle is found within several works of Schubert, which display a new concept important in Romantic music: resetting of the formal compass.

Resetting of the Formal Compass in Schubert

[1.9] Resetting of the formal compass, or RFC, is a concept that describes the novel function of a short region of music that serves as a formal detour. An RFC functions neutrally, to temporarily arrest formal progress; this ostensibly inert function stretches beyond functional roles of beginning, middle or end. ⁽¹⁹⁾ In an RFC, the music "resets" precisely as a global positioning system recalculates during a brief stretch when there is no imminent itinerary. In this way, an RFC is a memoryless buffer that wipes the formal slate clean for subsequent events. Often established by a disparate harmonic or thematic move, an RFC allows the listener to reorient formal hearing and implies no precise requirement for the music to follow. It may range from a formal backtracking, for which RFC represents TR[implies]P in Schmalfeldt's sense of becoming (2011), to a thematic non sequitur.

[1.10] Webster, in his monumental work on the sonata forms of Schubert and Brahms, distinguishes several works of Schubert as containing rounded binary (ABA) sections within their first groups, singling out two of the late piano sonatas, D. 894 in G major and D. 960 in Bmajor. ⁽²⁰⁾ In both of these examples, the B section of the rounded binary form reaches a formal detour, causing the music to reverse course, formally backtracking to a reinstatement of A and sidestepping progress towards S. In both cases, RFC stubbornly forces the reinstatement of primary thematic units (Webster's A) following material that possesses TR potential (Webster's B). A TR candidate loses its directed motion away from tonic, leading to a suspension of time and ultimately a formal backtracking to a reinstatement of A.

Example 3. Schubert, Sonata in G, D. 894, 1st mvt., beginning of exposition

(click to enlarge and listen)

Example 4. Schubert, Sonata in B, D. 960, 1st mvt., beginning of exposition

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[1.11] I first analyze this backtracking in Schubert's G-major sonata, D. 894. As shown in Example 3, P (Webster's A) occurs in mm. 1-9, followed by a regional move to an F-major triad (mm. 10-12) creating a feeling of harmonic stasis (Webster's B). This is generated by a prevailing pedal Fthat possesses an ineffable tonic quality despite its functional penchant as V of the mediant key. With another iteration of this three-bar unit (mm. 13-15), the music loses its sense of formal orientation, seemingly "stuck" on F, suggesting that the formal function of these three measures is an RFC. Following this repetition, the music re-establishes its formal trajectory, as tonal and formal consciousness is restored upon the arrival of a V ⁷ chord in G major (m. 16).⁽²¹⁾ Finally, a second attempt at A (mm. 17-22) successfully overcomes the formal amnesia of m. 16, with Fmajor replaced by a new tonic of D major, ultimately driving towards S.

[1.12] The exposition of Schubert's Sonata in B(Example 4) is analyzed thoroughly by Cohn (1999 and 2012).⁽²²⁾ In the context of Bmajor, Webster's B section is a hypnotic "purple patch" in Gmajor, extending from mm. 20-33. The longer this purple patch persists, the further removed we are from formal consciousness. After several prolongations over a Gpedal (mm. 20-30), the music becomes lost and confused, sliding off the proverbial rail, thus suggesting an RFC function. An E(m. 34) forms the German 6th sonority that finally pushes the music over the edge and back toward harmonic directionality. In fact, one can liken mm. 34-35 to the music "stepping on the brakes" and performing a course correction. This allows for the reinstatement of A and the continuation of the sonata process.

[1.13] In Part I, I have reviewed several formal and expressive patterns important for understanding the sonatas and concertos of Chopin. Via discussions of two of Schubert's first themes, I have introduced the concept of resetting of the formal compass as an analytical tool to account for formal recalculation in Romantic music, postponing the arrival of the second theme group. In the First and Fourth Ballades, I have shown how the second theme group is a form-defining centerpiece. Both of these phenomena are central to contextualizing the seven main analyses in this study, starting with Chopin's early sonatas.

Part II: The Early Sonatas

[2.1] To open my discussion of the early sonatas, I will sample the range of historical opinion about their "deficiencies," including the notion that a young Chopin was incapable of applying sonata form. Liszt, for example, finds in these works "more determination than inspiration." ⁽²³⁾ Debussy⁽²⁴⁾ and Finck,⁽²⁵⁾ on the other hand, praise the composer's early efforts. Rink and Samson disagree about Elsner's influence on Chopin's unorthodox sonata forms.⁽²⁶⁾ Nowik declares unambiguously that Elsner "appreciated and praised innovations in the works of his pupils" and "did not impose any conventions" (2000, 93). Helman (2000, [13]) and Nowik (2000, 80) conclude that Elsner steered Chopin away from treatises on sonata form, in particular that of Reicha. ⁽²⁷⁾ Acknowledging the authority and diversity of these views, I will make the reasonable assumption that Chopin understood Classical examples of sonata form. Only on that basis can we can move beyond opinion to objectively analyze Chopin's own evolving sonata forms.

[2.2] A larger question might address the extent to which these early works are successful sonatas, and whether or not Hepokoski and Darcy's Sonata Theory is the best lens through which to analyze them. The lack of tonal dissonance in each exposition may be an argument for disqualifying both op. 4 and op. 8 from sonata status, particularly if the resolution of such tonal dissonance is a prerequisite. For example, according to Cone, "important statements made in a key other than tonic must either be re-stated in the tonic, or brought into a closer relation with the tonic, before the movement ends" (1968, 267-277). ⁽²⁸⁾ One might naturally ask, "If material presented outside the tonic is neither restated in the tonic nor brought closer to the tonic before the movement ends, can this be interpreted as a sonata form?"

[2.3] I endorse the notion that tonal dissonance is essential to sonata form, but under the broader umbrella of "harmonic contrast," which does not explicitly require tonal dissonance in the exposition.⁽²⁹⁾ By the same token, the thematic expectations of P-TR-S-C are neither required nor sufficient for a sonata form; rather, that expectation derives from a stylistic convention of the eighteenth-century models studied by Hepokoski and Darcy. So, while their Sonata Theory may supply a useful narrative lens for analyzing Chopin's early sonatas, not every stylistic convention in Classical sonatas figures into the success or failure of opp. 4 and 8. ⁽³⁰⁾ To judge these works solely through that Classical lens would be a true submission to "deformational" language.

[2.4] Op. 4 and op. 8 contain well-documented monotonal expositions, notably excluding an S group, in Hepokoski and Darcy's terminology, or "subordinate theme" in Caplin's model.⁽³¹⁾ In each case, a hypothetical S is foreshadowed by a driving motion within the TR group, but most notably, S does not follow. Op. 4 lacks a medial caesura, raising the possibility of a continuous exposition; I will consider this possibility at the conclusion of Part III. ⁽³²⁾ While op. 8 does contain a medial caesura, it is followed immediately by a series of closing gestures in the tonic. This lack of a conventional S drives the narrative and creates the imminent "deformations" for the balance of each movement.

Figure 2. Exposition and Recapitulation of op. 4 and op. 8

Example 5a. Chopin Piano Sonata op. 4, 1st mvt., exposition, transition

(click to enlarge and listen)

Example 5b. Chopin Piano Sonata op. 4, 1st mvt., recapitulation, transition

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Example 6a. Chopin Piano Trio, op. 8, 1st mvt., exposition, transition

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Example 6b. Chopin Piano Trio, op. 8, 1st mvt., recapitulation, transition

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[2.5] The opening of Chopin's op. 4, shown in Figure 2, contains a pair of primary themes in C minor, both employing the same motivic devices. The first primary theme (mm. 1-16) is a sentence;⁽³³⁾ the second primary theme is a parallel period formed by a pair of sentences, mm. 17-30 and mm. 31-42.⁽³⁴⁾ Measure 42 elides with the transition,⁽³⁵⁾ which briefly modulates to G minor (m. 47), only to cadence suddenly in the surprising key of E minor (m. 55), creating a formal detour ("the music stopped, but in the wrong place!") as shown in Example 5a. This cadential passage--possibly the substitute for an MC--constitutes an RFC, as the disparate key area instantly generates a formal recalculation. As quickly as E minor arrives, however, it is immediately replaced by C minor, continuing with great determination. In lieu of an S group, the music veers toward a series of tonic expansions resembling those of a closing zone (mm. 63-82), with a final PAC in C minor at bar 82. Though G minor was sampled briefly, the RFC neutralizes an attempt to move into this region by first sidestepping an entrance into S and then harmonically backtracking to C minor.

[2.6] Following an extensive development section that concludes by preparing the remote key of V/Bminor, the recapitulation realizes this key and echoes the primary theme modules of the exposition.⁽³⁶⁾ P1, however, moves to the previously unfulfilled key of G minor, with P2 (mm. 191-202, Example 5b) following suit; phenomenologically, the music is recalling the expositional tonal plan. Once this memory is fully restored in m. 203, the remainder of the recapitulation is a carbon copy of expositional material, mimicking mm. 47-82. In essence, the G-minor primary theme of the recapitulation is interlocked with the lost attempt at G minor in the expositional transition. Yet, this G minor meets the same fate: there is no second theme group, and the MC is replaced by an RFC (m. 212). The movement ends in the tonic C minor.

[2.7] Chopin's Piano Trio in G minor, op. 8, follows a similar formal outline. Because the exposition and the recapitulation present identical primary themes, with mm. 1-28 equivalent to mm. 136-64, I will turn to the transitions of these sections, as shown in Examples 6a and 6b. Both contain a pair of phrases that begin with identical material in G minor (mm. 29-32 and mm. 164-167), and the second phrase of both touches on the key of Bmajor.

[2.8] The transition of the exposition leads to a clear medial caesura in m. 39, but the phrase starting in m. 43 is not a secondary theme. Instead, the immediate return to tonic following this caesura point initiates a series of tonic expansions, characteristic of a closing group (and not S). ⁽³⁷⁾ In this specific instance, a four-bar phrase comprising repetitions of V-I is followed by an immediate PAC. After this four-bar unit is repeated and expanded into a six-bar module (mm. 47-52), additional C-zone modules--as in op. 4--compensate for the lack of S-space. One module (mm. 57-66) hinting at a new harmonic region--Emajor--is quickly extinguished with yet another rapid-fire return to tonic, with the final PAC at m. 71. ⁽³⁸⁾

[2.9] In the recapitulatory transition, we find a second phrase markedly different from its expositional counterpart. As in op. 4, the recapitulatory transition of op. 8 presents a definitive modulation to the minor dominant. Unlike the previous sonata, however, the sojourn into this key extends beyond the transition. It does not "turn back" to tonic, instead refashioning expositional materials in D minor (with mm. 186-205 corresponding to mm. 53-67) to create the temporary illusion that the movement might, in fact, end in an off-tonic key. This does not happen, of course, as G minor is eventually restored via the Neapolitan (m. 206).

Postlude: Continuous Exposition

[2.10] In both of these sonata movements, the secondary theme group has been omitted or sidestepped, resulting in a harmonic reinstatement of the tonic. Of course, S is not required to deliver a new key, as a modulation may also be achieved via a continuous exposition. ⁽³⁹⁾ According to Hepokoski and Darcy, the continuous exposition is "identified by its lack of a clearly articulated medial caesura followed by a successfully launched secondary theme" (51). Op. 8 contains an MC, although no S-zone follows; I have argued that the post-MC modules in this case are more in line with closing rhetoric. The MC situation in op. 4 is more ambiguous, raising the likelihood of a continuous exposition at a moment that Hepokoski and Darcy designate "the point of conversion" (2006, 52). It is possible that the RFC "neutral zone," which temporarily suspends formal function, is a decidedly Romantic version of the TR [implies] FS, as our point of conversion--a cadence in the disparate key of E minor--serves as a formal fissure. ⁽⁴⁰⁾ Nevertheless, one could argue that this exposition fulfills the conditions of Hepokoski and Darcy's second possibility for continuous expositions: "The composer may create the expectation of an imminent MC only to veer away from it for more Fortspinnung or other elaboration" (2006, 54). The conscious movement toward G minor in the TR is indeed suggestive of a preparation toward an MC, though the subversion of this point is staged in a manner not found within Classical repertoire. Once the region of tonal and thematic hypnosis (mm. 55-63) eventually regains formal consciousness, we are transported into a post-S space.

Part III: The Concertos

[3.1] Kelley sees clear evidence of intention in the monotonal expositions of the concertos: "We are justified in assuming that Chopin was capable of studying the standard models, and of adjusting the means to the ends in the concertos, as well as in the smaller forms. . . . Undoubtedly, the adoption of the tonic key for the first announcement of the lyric theme of the E-minor Concerto was the result of due deliberation or strong intuition" (1969, 110). Samson, on the other hand, allows for intent while effectively damning with faint praise:

The most that can be said fairly is that the tendency to curtail or omit a first subject reprise (common enough in the virtuoso concerto) and to transfer the weight of tonal activity to the reprise rather than the exposition are early intimations of Chopin's later inclination to view the final stages of a work less as synthesis than as apotheosis. But this is tentative explanation, not justification. In the end the concertos linger in the memory for the poetry of their detail rather than the strength of their structures (Samson 1985, 55).

In those contrasting lights, the nub of my argument here is that the concertos of Chopin illustrate his evolving conception of sonata form, from his formative years through the mature style of his late sonatas--in particular, the developing role of the second theme group. While a full analysis of each concerto movement is beyond the scope of this study, I analyze relevant passages in these movements, in which the second theme is creatively introduced.

[3.2] First, I offer a few words about Hepokoski and Darcy's treatment of the concerto, or Type 5 sonata (2006, 496-562). Central to their theory is the alternation of ritornello and solo sections, often marking the beginnings and ends of rotations. The first orchestral section, labeled as "Rit. 1," is most often a complete rotation of P-TR-S-C; unlike sonata expositions, however, this section is mostly confined to the tonic key. This first section is designated the orchestral exposition, in contrast with the solo exposition that follows. "Solo 1" recycles the thematic materials of Rit. 1, but its prototypical aim is to establish a different key area (often hinted at, but not fully realized, in the opening ritornello). Of course, Chopin's treatment of this form differs considerably from the Classical model.

[3.3] Essential to my larger argument is an understanding of the state of the piano concerto when these works were conceived (Concerto No. 2 in 1829-30, and Concerto No. 1 in 1830). Horton identifies three practices in John Field's piano concertos, composed in the early nineteenth century: "the modulating first ritornello; thematic relationships between the first ritornello and the solo exposition; and the recapitulatory truncation" (2011, 55). Of central concern to this paper are the first two practices. In Chopin's piano concertos, the S groups, like Field's (and unlike Mozart's), are reprised in the ritornello and solo expositions. ⁽⁴¹⁾ In contrast, the ritornello of Chopin's First Piano Concerto is non-modulatory (as in Mozart's concertos and the early Chopin sonatas), while the ritornello of the Second Concerto is modulatory (as in Field's concertos).

The First Concerto

Figure 3. Chopin Piano Concerto No. 1 in E minor, op. 11, 1st mvt.

[3.4] Consider Chopin's Piano Concerto No. 1 in E minor, op. 11, beginning with the orchestral and solo expositions. Figure 3 provides a form diagram; Examples 7a and 7b provide score excerpts starting at the end of the transition and the beginning of S. The orchestral exposition, Rit. 1, provides a complete rotation of P-TR-S-C, significantly including the second theme group, which was notably absent from Chopin's earlier piano sonatas. The bars immediately following the MC comprise an elongated caesura-fill (mm. 49-61), suggesting that as in the earlier sonatas, S might be sidestepped. Nevertheless, S is fulfilled in the parallel major (m. 61) of the tonic E minor. An emphatic essential expositional closure or EEC declined (m. 99) sets the music back on course to restoring minor, though it is achieved at m. 123 in preparation for the soloist's entrance. It is at this point that the concerto serves as an important fulcrum with the early sonatas: by deflecting attempts to modulate, the opp. 4 and 8 expositions function as orchestral expositions in a concerto. In both early works, S is entirely withheld; in op. 11, it is achieved, but the tonic is nevertheless retained.

Example 7a. Chopin Piano Concerto No. 1, op. 11, 1st mvt., orchestral exposition, end of TR and S

(click to enlarge and listen)

Example 7b. Chopin Piano Concerto No. 1, op. 11, 1st mvt., solo exposition, end of TR and S

(click to enlarge and listen)

[3.5] As expected, the subsequent solo exposition corresponds with the orchestral exposition, most notably P1.1 (m. 1 = m. 139) and P2 (m. 25 = m. 154). The Solo 1 transition, however, does not recycle the orchestral TR, nor does it establish a new key area, employing a dominant lock and I:HC MC (m. 221). ⁽⁴²⁾ Unexpectedly, S also appears in the tonic major key--echoing the orchestral presentation--rather than in the relative major or any other non-tonic key.⁽⁴³⁾ As if we are transported back into an E major "orchestral-exposition past," S never overcomes this key, which vehemently triumphs (in direct contrast to the early sonatas). The solo exposition, with its virtuosic display zone (DZ),⁽⁴⁴⁾ revels in the tonic major all the way to the orchestral decline of the EEC at m. 333, tragically cadencing in E minor at m. 369.

Example 7c. Chopin Piano Concerto No. 1, op. 11, 1st mvt., recapitulation, end of TR and S

(click to enlarge and listen)

Figure 4. Chopin Piano Concerto No. 2 in F minor, op. 21, 1st mvt.

[3.6] These observations point to significant parallels with Chopin's earlier works. Mapping the solo exposition onto the solo recapitulation (designated "Solo 3" on the form chart) reveals an exact repetition until the waning moments of the TR section, generating a modulation and dominant lock in G major (m. 562, as shown in Example 7c), the conventional S key for an exposition in minor. Unlike op. 4, in which the recapitulation begins off-tonic, op. 8 exhibits this "afterthought" quality of a close-key modulation. In the First Concerto, S is given the chance to truly engage this new key, and like op. 8, a backtrack to tonic is inevitable (m. 605). Only after several more attempts at "essential structural closure," or ESC (mm. 621, 671, 689), is E minor finally achieved.

The Second Concerto

[3.7] Chopin's Piano Concerto No. 2 in F minor, op. 21, unfolds differently, though S remains the central form-defining unit. A form diagram is provided in Figure 4. The orchestral exposition first fashions a declined MC (m. 27, through an evaded cadence) followed by a "real" i:HC MC in m. 36. Like the exposition of Concerto No. 1, the exposition of No. 2 presents a clear second theme at m. 36 (as shown in Example 8a), this time in the relative major, A; as a result, S brings about the first full expositional modulation within our set of works, setting the stage for the late sonatas. This modulation, however, is temporary: a cadence in Ais omitted, and upon the entrance of the solo piano, F minor is reinstated. Therefore, S, at this juncture, serves only to foreshadow a more permanent venture into the key of Amajor. In the solo exposition, the primary theme and transition groups unfold over fifty bars (mm. 75-125), with the MC