Phrase Rhythm as Form in ClassicalInstrumental Music

SAMUEL NG

Theories of form in tonal music have largely been predicated on thematic and! or harmonic criteria.
By contrast, this essay supports Edward T. Cone's argument that the essence of tonal form is, by and
large, rhythmic. By integrating concepts derived from James Hepokoski and Warren Darcy's Sonata
Theory on the one hand, and analytical tools developed by William Rothstein and David Temperley
on the other, this article demonstrates that phrase rhythm can construct stylistic norms, establish
sonata types, differentiate between levels of compositional choice, and create deformations through
the expansion or even rejection of normative procedures. Thus the interaction of rhythm, meter, and
hypermeter within phrase structure proves to be a primary factor in understanding tonal form.

Keywords: phrase rhythm, musical form, classical instrumental music, Sonata Theory

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I
N 1968, EDWARD T. CONE wrote:
[M]usical form, as I conceive it, is basically rhythmic. It is not, as
conventional analysis would have it, thematic, nor, pace Schenker,
harmonic. Both of these aspects are important, but rhythm is basic.!
Thus conceiving of form as a rhythmic trajectory, he further
contends that tonal forms and their inherent processes are all
manifestations of a single, temporal paradigm-an extended
upbeat followed by a resolving downbeat. In Cone's words, "[I]n
a normal musical period, the antecedent phrase stands in some
sense as an upbeat to the consequent, so in larger forms one
entire section can stand as an upbeat to the next.... A com-
pletely unified composition could then constitute a single huge
rhythmic impulse, completed at the final cadence.Y
By contrast, contemporary scholars have largely preserved and
expounded on the traditions ofHeinrich Koch,A. B.Marx, Heinrich
Schenker, and Arnold Schoenberg in prioritizing pitch processesin
articulating form. For example, William Caplin's theory of formal
functions and James Hepokoski and Warren Darcy's Sonata Theory
are clearlypredicated on thematic and harmonic concepts.' Crucially;
those scholars who have even mentioned Cone's "upbeat" and
"downbeat"paradigm either dismissit as a purely metaphysicalasser-
tion, lacking logical proof in the empirical domains demanded by a
theory;or contend that Cone's beats are not beats per se,but tempo-
ral spans, the formal trajectories of which are fundamentally gov-
erned by melodic and tonal constructs.'
I Cone (1968, 25). See also later expansions on this statement in Cone
(1985) and (1994, 143).
2 Cone (1968,25-26).
3 Caplin (2008); Hepokoski and Darcy (2006). Recently, Caplin (2009a,
23-30) has argued that his theory of formal functions is constructed upon
an awareness of temporality when discussing form, and is therefore supe-
rior to theories based on formal types (such as Sonata Theory), which are
in essence atemporal. Caplin's definition of temporality, however, involves
only three basic components: beginning, middle, and end. As such, Caplin's
notion of temporality disregards such important elements as meter and
phrase rhythm, and is duly criticized by Hepokoski (2009b) and James
Webster (2009b) as too general and even bordering on the trivial.
4 For critiques of Cone's thesis, see Schachter (1976) and Lerdahl and Jack-
endoff (1983).
51
In general, the study of phrase rhythm, a phenomenon that
Channan Willner aptly describes as "the cumulative durational
design of the piece, comprising the articulation of its paces, its
meter, its hypermeter, and its grouping structure." provides a
novel approach to investigating temporal aspects of form." Here
I propose a theory of phrase rhythm-based on the work of
William Rothstein and David Temperley--specifically intended
to reconcile Cone's comment on the temporal nature of form
with Hepokoski and Darcy's Sonata Theory. As Caplin and
Webster have acknowledged, many of the core concepts of
Sonata Theory-e.g., stylistic norms, compositional options, de-
formation, and dialogic form-provide a conceptual framework
capable of addressing many different parameters of analytic ac-
tivity," As a result, Sonata Theory invites the incorporation of
rhythmic and metrical phenomena into its elucidation of formal
5 Willner (2005).
6 For example, Webster (2009a) discusses the binary opposition between
atemporal understanding of form as shape and temporal understanding of
form as process using Kurt Westphal's concepts of "Form" and "Formung."
Critically, Webster observes that throughout the history of theorizing and
pedagogy, "Form" has been privileged over "Formung" despite the fact that
"true form becomes clear only on close analysis in terms of its effect in
performance" (125, quoting Webster [2001, 688]). Webster proposes and
demonstrates a holistic approach to form analysis in which elements of
phrase rhythm are given equal partnership with themes and harmonies, but
his phrase-rhythmic analysis clearly lacks sophistication, focusing mainly
on counting the number of measures (and beats) within thematic sections
while disregarding the wide array of interactions between phrases and hy-
permeter explored in Rothstein's seminal work (Rothstein [1989]).
7 Caplin (2009b); Webster (2009c). Caplin writes that "[T]he formal catego-
ries that I identify [in Caplin's own theory of formal functions] effectively
embody the 'norms, guidelines, possibilities, expectations, and limits' of a
clearly defined historical background. Any analytical application of my
theory will by necessity carry with it the caveat 'in relation to classical prac-
tice' and thus bring forth elements of the dialogical processes advocated by
Hepokoski" (90). Webster also argues that the concept of"dialogic form" is
not novel, but has always been the basis of sound historical and hermeneu-
tical analyses: "I would argue that well-informed historical analyses (if,
admittedly, not all analyses in the music-theory world) have always evinced
understanding of this kind [i.e., the dialogic perspective]. Even the role of
generic deformation and transgression as an 'invitation' to hermeneutic
 MUSIC THEORY SPECTRUM
concepts.f The ultimate goal of this paper is to re-envision and
resolve certain conceptual dissonances between Cone's views on
temporality and Hepokoski and Darcy's Sonata Theory in order
to define aspects of phrase rhythm and form currently underde-
veloped in the theoretical literature.
BEGINNING-ACCENTED AND END-ACCENTED THEMES:
NORMS AND COMPOSITIONAL CHOICES
As Mark Evan Bonds has proposed, historical studies on
form may be divided into two fundamental categories: confor-
mational and generative. 9 The conformational approach identi-
fies a set of common properties shared by a large number of
works; thus the analysis of a specific piece can include a com-
parison to a norm. The generative view, however, treats each
individual work independently and considers its form to be con-
textual in nature. Many recent studies have made an ostensible
effort to disengage themselves from the conformational text-
book models-what Tovey calls "jelly-mould" theories.l" Yet
the theorizing of musical form (or the theorizing of anything,
for that matter) cannot and should not dispense with all confor-
mational models. As Caplin aptly summarizes, "[F]orsaking
categories [which are products of conformational thinking]
would make it almost impossible to generalize about formal or-
ganization, and such a situation runs counter to most musicians'
intuitions that classical form features regularly recurring pat-
terns of conventionalized procedures."ll
Hepokoski and Darcy fullyembrace the notion ofthe norm as a
construct that converselyhelps us appreciate the uniqueness ofeach
work. At the same time, their Sonata Theory circumvents the rigid-
ity of the jelly-mould approach by creating norms that, while ge-
neric, are flexible enough to accommodate the myriad formal
variablesencountered in the common-practice repertory:A norm, as
conceived by Hepokoski and Darcy, is not a single predetermined
prototype against which pieces are compared in analysis. Rather, it
involvesa complex set ofpreferred compositional options at specific
localeswithin the form, called"zones"or "action spaces,"12 which are
determined by examining piecesfrom particular time periods within
certain geographical and "Social milieus, which serve as regulative
guides for analytical interpretations. Such norms are therefore fluid
interpretation, admittedly front-and-center in 'dialogic form,' scarcely re-
quires the latter concept" (99-100).
8 Although Hepokoski and Darcy (2006) do not explicitly use rhythmic cri-
teria in their formulation of Sonata Theory, they invite the incorporation of
ideas of any domain into its framework: ''At any point, the method outlined
here can be expanded or modified through criticism, correction, or nuance.
Indeed, we invite this" (9).
9 Bonds (1991).
10 See Ibid., Chapter 1, for an illuminating discussion of the conscious (and
often problematic) rejection of the "textbook model" by several contempo-
raneous studies. For Tovey's discussion of the "jelly-mould" approach to
form, see Tovey (1949, 224).
II Caplin (1998,4). Straus (2006, 126-36) also provides an informative sum-
mary of the way in which this conformational perspective lies at the foun-
dation of some of the most important studies of musical form in history.
12 Hepokoski and Darcy (2006,9).
34 (2012)
-- - -- -
I II
a)
I- I
-- - I I- I I- I- I-
-- - --- - -- --
b)
I- I I I I I I- I-
--- - -- ----
I
c)
I I I I I
EXAMPLE 1. Three basicphrase-rhythmic configurations of
tight-knit themes (adaptedfrom Temperley [2003])
summaries of the most preferred options in each zone; any of these
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preferred options may be replaced by choices that are less favored
without undermining the primacy ofother normative elements. For
Hepokoski and Darcy;this conceptual paradigm is analogous to that
of a computer program: compositional choices are comparable to
multiple levels of default-a preordered list of possibilities on a
menu enumerated according to how often each choice is activated.
They refer to the most preferred option as the first-leveldefault, the
next in line the second-level default, and so on.
This notion of a hierarchy of compositional preferences
clearly manifests itself in configurations of so-called beginning-
accented and end-accented phrases. In essence, beginning-
accented phrases articulate their strongest hyperbeat at or near
the beginning of the phrase, whereas end-accented phrases lo-
cate the strongest hyperbeat at or near their close. David
Temperley has recently discussed this topic at length. 13 Using
Fred Lerdahl and Ray Jackendoff's nomenclature for grouping
and metrical analyses.l" he investigates the nature and function
of beginning- and end-accented phrase categories in Classical
and early Romantic music. Example 1 is adapted from
Temperley's illustration of the two categories. Example l(a)
models the phrase-rhythmic structure of beginning-accented
phrases, in which the strongest beat of a four-bar hypermeasure
occurs at the beginning of each phrase. Four-bar hypermeter is
also present in Example l(b); however, the relationship between
hypermeter and phrase structure has been shifted from that in
Example l(a) so that the strongest hyperbeat occurs at the ends
of the phrases to create the end-accented configuration. In
Example l(c), although a strong hyperbeat occurs at both the
beginning and the end of the phrase, the phrase-rhythmic pro-
file is much more akin to the beginning-accented than to the
end-accented model. This interpretation is the result of the ex-
pansion of an underlying basic phrase accented at the begin-
ning. Commonly, such an expansion lengthens the cadential
approach, the purpose of which is to accommodate an overlap
with the ensuing phrase.P
13 Temperley (2003).
14 Lerdahl and Jackendoff (1983).
15 See Rothstein (1989, Chapter 2) for a discussion of this phrase-rhythmic
paradigm.
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC
Top level: four-bar hyperrneasures:
48
y" , '" \\ ,
~
EXAMPLE 2. Mozart, Sonata for Violin and Piano in B] Major, K 454, L end-accented theme in the closing zone (analysisfrom
Temperley [2003], with my interpretation offour-bar hypermeasures added)
Temperley's crucial contribution lies not in developing a tax-
onomy of two-phrase structures, but in observing the affinity
toward one of these two phrase-rhythmic configurations in spe-
cific areas of musical form. He argues that tight-knit opening
themes are usually beginning-accented, whereas a' majority of
closing themes (i.e., not only themes within the closing zone in
sonata form, but also those of an appended nature occurring
after a strong cadential close of a formal section) are end-ac-
cented. Example 2 reproduces Temperley's illustration of the
typical formula for creating an end-accented closing theme.
Prior to the appearance of the theme in m. 50, an emphatic ca-
dential close (that of the previous formal section) articulates a
strong hyperbeat and establishes a hypermetrical context that
continues through the next section.l" The four-measure
16 As Temperley points out, the hypermetrical downbeat at the cadential close
is at times perceived through a metrical reinterpretation. In other words,
although a strict counting of hypermeasures in the passage prior to the
cadence may not lead to a strong hyperbeat at the cadence, the tonal force
of the cadence and the resulting structural accent often promote the
53
p
··
~
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phrases of the closing theme, without overlapping the end of
the previous section, enter almost immediately after this
downbeat. Consequently, as the onsets of the phrases (which
are essentially of the same length as the four-bar hypermea-
sures) lag slightly behind the hypermetrical grid, hypermetri-
cal downbeats have shifted from the beginnings of phrases to
their ends.
In this scenario, it is clear that the perception of the closing
theme as end-accented depends on hypermetrical context; ifwe
detach the theme from the previous cadence and consider it in
isolation, we could easily hear it as beginning-accented by sim-
ply shifting the hypermetrical grid one bar forward. However,
hearing of the cadence as hypermetrically strong. The continuation of the
hypermeter from the cadence should also not be taken for granted, since it
is possible that the new theme restarts the hypermeter, as it does in the
beginnings of many secondary-theme zones. However, Temperley correctly
points out that the textural change at the cadential discharge in Example 2
and its continuation in the closing theme encourage one to hear a consis-
tent hypermeter from the beginning of the closing zone.
 54 MUSIC THEORY SPECTRUM
as Temperley states,"? the schema illustrated in Example 2
(which he calls the "closing-theme schema") occurs frequently
in the closing zone of sonata form to facilitate the perception of
its thematic content as end-accented; conversely, the creation of
end-accented themes, which relies on the hypermetrical context
of the closing-theme schema, is frequently associated with clos-
ing rhetoric. From these observations, Temperley proceeds to
suggest that the closing-theme schema in Example 2 may be
regarded as a norm for end-accented themes in the closing
zone, and that deviations from this schema may be regarded as
fundamental departures from the norrn.l''
Temperley's assertion and its corollaries may easily be trans-
lated into statements from Sonata Theory. At first-level default,
materials in the main body of primary- and secondary-theme
zones are beginning-accented, while the preponderance of end-
accented themes in the closing zone suggests that end-accented
rhythm is a first-level default there. In contrast, the rarity of end-
accented themes in the primary- and secondary-theme zones
implies that they are lower-level defaults in these action spaces.
Building on this broad formulation of phrase-rhythmic pref-
erences in different theme zones, I propose several refinements
and extensions to elucidate further connections between phrase-
rhythmic deployment and a hierarchical view of compositional
choices. As we have seen, end-accented themes are more com-
mon in the closing zone than in any other action space because
of the schema illustrated in Example 2. Significantly, however,
the closing zone is also capable of accommodating beginning-
accented themes via other schemas. In Example 3, I illustrate
four possible phrase-rhythmic scenarios at the juncture between
secondary-theme and closing zones. Schema (a), which creates
end-accented phrases, has already been discussed above.
Schemas (b)-(d), listed in descending order of frequency, main-
tain beginning-accented themes in the closing zone. In (b), a
phrase overlap enables the beginning of the closing theme to
"latch onto" the downbeat at the previous cadence; often, subse-
quent phrases (or subphrases) continue to be elided, resulting in
a concatenation of phrasal units in the concluding measures of
the exposition. This situation is found at least as frequently as,
if not noticeably more often than, Schema (a).l9 In (c), which
occurs less frequently (and is therefore a lower-level default)
than (b) at this particular formal juncture, the closing zone
maintains beginning-accented phrases by readjusting the hyper-
meter.i'' Such a readjustment requires either an obvious cue for
the discontinuation of the previous hypermeter (e.g., a general
pause, a drastic change in texture, etc.) or an unequivocal down-
beat at the beginning of the closing zone, despite the previous
17 Temperley (2003, 135).
18 Ibid. (139).
19 Hepokoski and Darcy (2006) discuss the issue of elision between the sec-
ondary-theme and closing zones in Chapter 8. Their discussion, however,
does not address the hypermetrical implications of such situations. I will
investigate these issues in the present essay.
20 Although a lower-level default here, Schema (c) appears frequently at the
juncture between the transition and secondary-theme zones. I will elabo-
rate on this point.
34 (2012)
downbeat at the cadence. Finally, Schema (d) is conceivable but,
I assume, rare, as sustaining an entire hypermeasure in the ab-
sence of a new melodic phrase creates an awkward rhythmic and
rhetorical gap that would likely obstruct musical flow.21
The description above delineates a three-level hierarchy of
phrase-rhythmic scenarios at the beginning of the closing zone:
Schemas (a) and (b) at the first level, (c) at the second, and (d) at
the lowest. For the analyst, this hierarchy provides not only an
abstract conformational system, but also a meaningful norm con-
ducive to a generative investigation into unusual compositional
choices. As Hepokoski and Darcy explain, "[N]ot to activate a
first-level-default option ... would require a more fully conscious
decision-the striving for an effect different from that provided
by the usual choice."22 In other words, the presence of a low-level
default should prompt the analyst to pay close attention to the
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strains that the composer inflicts on an action space to distinguish
it from other works within the same period and idiom.
The passage from Mozart's Symphony No. 38 in D Major,
K. 504, I, in Example 4 provides a revealing entry point for our
investigation. The last module of the secondary-theme zone in
mm. 121-29 maintains a clear four-bar hypermeter in which
the most strongly accented hyperbeats at mm. 121 and 125 are
articulated by tonic harmonies and the onset of subphrases.23 In
this hypermeter, the conclusion of the secondary-theme zone in
m. 129 is clearly heard as strong. The closing theme, however,
does not comply with the foregoing hypermeter. The impact of
the agogic accent in m. 130 restarts the hypermeter and results
in a case ofwhat Rothstein calls "successive downbeats," thereby
activating Example 3's Schema (c)-a second-level default. 24 As
shown in my hypothetical recompositions in Example 5, various
options available at the first-level default could easily have been
employed. While these hypothetical versions are not merely vi-
able, but even more normative in late-eighteenth-century so-
nata forms, a comparison with Mozart's rendition sheds light
on the function of the latter in the overall formal and aesthetic
strategy. The most important difference between Mozart and
the impostors lies in the heightened attention to the cadence in
m. 129 and the resulting rhetorical separation between the
secondary-theme and closing zones. The need for a marked
resolution at m. 129, as we consider the trajectory of the second
half of the exposition, originates in a series of cadences before
m. 129 that propose but ultimately fail to effect closure of the
secondary-theme zone. Hepokoski and Darcy argue that this
phenomenon has to do with the lingering characteristics of the
secondary-theme materials following each cadence, which in
every case undo any sense of projected formal resolution.
21 I am not aware of any example of Schema (d) in the literature.
22 Hepokoski and Darcy (2006, 10).
23 According to Lerdahl and Jackendoff's metrical preference rules (MPRs)
(1983, 75-96), both the tonic chords (which are structurally important to
the harmonic prolongation of this passage) and the onset of subphrases in
mm. 121 and 125 provide strong incentive to hear (hyper)metrical accents.
See their discussion of MPR 2 (strong beat early) and MPR 9 (time-span
interaction).
24 Rothstein (1989, 58).
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC 55

CADENCE
End-accented
(a) I
Hyperbeats: 2 3 4 1 etc.

Example from the literature e Example 2

Beginning-accented I
I
(b) Hyperbeats: 2 3 4 1 etc.

Example from the literature leethoven, Symphony No.2, movement 1, mm, 112-31

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Beginning-accented
(c) I
Hyperbeats: 1 2 3 4 etc.

Example from the literature ee Example 4

"Beginning-accented

(d) Hyperbeats: 2 3 4 I 1 etc.

EXAMPLE 3. Possible continuations after a hypermetrically strong cadence

Hepokoski and Darcy describe this process as deferring the "es-
sential expositional closure" (henceforth EEC)-the point at
which the exposition is considered structurally closed. Normally,
this point of closure of the exposition is provided by the first
perfect authentic cadence (henceforth PAC) in the secondary-
theme zone. Yet, as in the case of Mozart's Symphony No. 38,
various melodic, harmonic, and rhythmic factors may cause the
EEC to be deferred to a later PAC.25 The accrued anxiety from
repeated failures of the secondary-theme zone to conclude
through an EEC is thus finally alleviated (and recompensed)
when Mozart's unusual rhythmic choice promotes an elevated
sense of conclusion in m. 129.26
In the Mozart example, it is tacitly assumed that the precise
location of EEC-and therefore the exact point at
27 Caplin (2009b) argues, from the viewpoint of formal functions, that one
25 For further details regarding EEC deferrals, see Hepokoski and Darcy's
discussion (2006, Chapter 8).
26 My interpretation of Mozart's second-level default assumes the validity of
hearingm. 129 as a point of structural close, and that the following mea-
sures therefore entail a change in formal-rhetorical space. For those who
are skeptical about this assumption, I offer another argument in a later sec-
tion of this essay-one based on phrase-rhythmic characteristics of the
three cadences in the "post-transitional" materials-to complement Hepo-
koski and Darcy's observations regarding the failed cadences that precede
m.129.
which secondary-theme rhetoric yields to closing rhetoric-is
fundamentally unproblematic, despite the deferrals discussed
above. In many instances, however, the location of this struc-
tural point may be more contentious. What criteria should one
employ to pinpoint the moment of definitive transition from
the secondary-theme zone into the closing zone? Indeed, this
issue has caused much disagreement among scholars.V For
Hepokoski and Darcy, EEC deferrals are invoked in two sig-
nificant situations: either secondary-theme materials refuse to
subside after a PAC, or the cadential effect is attenuated be-
cause the cadence is either temporally premature (i.e., it hap-
pens substantially earlier than expected within the
secondary-theme zone) or phenomenally too weak (e.g., it is
should not automatically assume any emphatic cadence to be the divider
between secondary-theme and closing zones. For him, the harmonic and
rhetorical profiles of thematic materials are the key factors in pinpointing
the divider between the two zones. Generally, he reserves the closing func-
tion for a short passage at the very end of the exposition that is harmoni-
cally static and prolongs the attained secondary key. Rothstein (1989), on
the other hand, follows Heinrich Koch ([1793] 1983) in favoring the first
PAC in the secondary-theme zone as the marker of its conclusion. See also
Hepokoski and Darcy (2006, Chapter 7) for a discussion of historical views
on this issue.
 MUSIC THEORY SPECTRUM 34 (2012)

Antecedent
I
97

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extended continuation function cadential function

n
2 3
~
p
flDl 1 1
p

PAC (phrase overlap)

~1
--J~
I I
Jm- 1 J 1

EXAMPLE 4. Mozart, Symphony No. 38 in D Major, K 504,1, mm. 97-142

 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC
---------1-------+---------+-3
EXAMPLE
articulated with a sudden drop in the dynamic level). But how
should one define the threshold at which melodic materials are
deemed too similar or cadences too early or too weak? Questions
ofwhether the EEC is delayed, and if so, by how much, may be
open to debate; different analysts may determine different loca-
tions of EEC.
The first movement of Beethoven's Piano Sonata in C Major,
Ope 53 ("Waldstein"), part of which is shown in Example 6, il-
lustrates this conundrum. Hepokoski and Darcy reject the first
viable candidate for EEC in m. 42 (not shown in the example)
because of the varied restatement of the secondary theme im-
mediately following. They also reject the next potential choice,
the PAC at the end of the restatement in m. 50, on the grounds
that the passage following this cadence "grows directly out of
[the restatement's] triplet figuration."28 In both instances, post-
cadential gestures are considered too similar to pre-cadential
ones to deliver the closing rhetoric. After the triplet figure at m.
50, Beethoven launches "a long excursus" that builds up tension
through rhythmic acceleration and a Stillstand auf der
Penultima;29 the PAC in m. 74 that resolves all these tensions
28 Ibid. (152). All quotations concerning Example 6 are found on the same
page.
29 See Rothstein (1989, 80-81) for a discussion of this phenomenon.
57
EEC: CLOSING ZONE
PAC (No PO or MR) (beginning-accented)
----,1
~
1
(or 1
H ypermeter restarts
5 6 1
4 1)
n-n 1TI1i'1TI
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~~ ~~
4. [Continued]
would seem the inevitable choice for EEC. Hepokoski and
Darcy grant this interpretation, albeit with a significant quali-
fier: "With its preceding drop to piano in m. 68-which requires
a crescendo recovery-and the evaporation of the literal domi-
nant from the bass, this PAC at m. 74 is still problematic." They
thus conclude that the Waldstein presents "a difficult case to
evaluate in the absence of additional, supporting evidence, such
as a P-based C theme." To call m. 74 the EEC is thus for them
a reluctant compromise at best. 3o
Considerations of phrase rhythm, however, provide strong
evidence for the legitimacy of m. 74 as the EEC. As Example
6 shows, hypermetrical profile and phrase delineation around
m. 74 contain all the ingredients for creating the end-accented
closing schema we have previously discussed. In a manner
similar to mm. 121-29 in Example 4, grouping and harmonic
factors in mm. 50-74 promote a lucid four-bar hypermeter in
which downbeats consistently coincide with the beginning of
subgroups and/or prominent harmonic changes. As the ca-
dence in m. 74 falls on a downbeat of the ongoing hypermeter,
30 Previous commentators on this issue have been more willing to call m. 74
a definitive formal boundary. For example, Tovey (1931, 152) calls the ma-
terials after m. 74 a "[cjadence-group," signifying that m. 74 marks the end
of the secondary materials.
 MUSIC THEORY SPECTRUM 34 (2012) .

Schema (a)

131

-= an
3 4 3 4 1

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lIn
-- ==___ 11.11lill: 1
2

1 n lffi iln 11.11JJJJ

Beginning-accented closing zone

Schema (b)
Phrase overlap
I I
~

4 1

l111JJJJ
EXAMPLE 5. Recompositions ofMozart, Symphony No. 38 in D Major, K 504, L end ofexposition

it provides the first ingredient for the end-accented closing
schema; indeed, without evidence of hypermetrical readjust-
ment in m. 75, the accented cadence establishes the hyper-
metrical context of the following passage. Subsequent melodic
materials, by entering slightly behind the hypermetrical
grid, cause the hypermetrical accents to fall at the end of
phrases. As I proposed in my discussion of Example 3(a), this
phrase-rhythmic schema is a co-first-level default in the clos-
ing zone. The marked shift from the preponderance of begin-
ning-accented (sub)phrases to end-accented subphrases at m.
75 may thus be construed as a marker for the closing zone
through the activation of one of the first-level defaults seen in
Example 3. The choice of the end-accented schema over its
beginning-accented counterpart at the first level further
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC 59

Beginning-accented groups

PAC (not EEe)

47

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62 ----F1

EXAMPLE 6. Beethoven, Piano Sonata in C Major, Op. 53, L mm. 43-85

60 MUSIC THEORY SPECTRUM 34 (2012)

P decresc.
3 4 1

fp

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EEC! End-accented groups
---,

2 3

...- -----.
fp
1 r
J ",....- --........

I
rr--

EXAMPLE 6. [Continued]
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC
distinguishes m. 74 from the cadence in m. 50, which was
elided with the following phrase. All in all, a radical change in
phrase rhythm introduced at m. 74 strongly suggests a defini-
tive progression into the closing function. In this example, we
see that the awareness of phrase-rhythmic norms within the
closing zone helps us make an informed interpretation regard-
ing the functions of cadences and their relationship to impor-
tant points of formal closure.
DEFORMATION: END-ACCENTED THEMES IN ZONES OTHER
THAN CLOSING ZONES
At times, a composer may reject all default choices and opt
for something radically unusual. In Sonata Theory, Hepokoski
and Darcy call such a situation a deformation. As they explain, a
deformation may be conceptualized as "a stretching or distor-
tion of a norm beyond its understood limits; a pointed overrid-
ing of a standard option."31 The term, however, does not
connote negative perception of an unusual procedure as inferior
to more normative counterparts; instead, it highlights such pos-
itive values as originality and creativity in the successful integra-
tion of an idiosyncratic feature into the overall fabric of a piece.
A concept closely related to deformation is the notion of dia-
logicform, the theory whereby compositional choices, especially
unusual ones, are essentially products of a composer's engage-
mentin dialogue with a received norm. This dialogic process
between the composer's task at hand and a set of background
procedures is evident when the composer makes a series of deci-
sions either to oblige or to defy the backdrop of norms, while
the decisions themselves will either consolidate or problematize
the norm when analysts reconstruct the global picture of com-
positional practice.
I will argue that appearances of end-accented themes in zones
other than closing zones may be profitably understood as defor-
mations since end-accented phrases, as we have seen, are deeply
entangled with the closing schema. Lerdahl and Jackendoffhave
also argued that unless contextual evidence unequivocally sug-
gests otherwise, listeners strongly prefer to hear hypermetrical
accents early in phrases and subphrases.V Temperley has further
demonstrated that the impact of the strong-beat-early rule on
our interpretation of metrical structure becomes even stronger at
higher metrical levels.33 These theoretical stipulations imply that
themes in the primary-theme and secondary-theme zones,
which rarely subscribe to the end-accented schema in Example
3(a), are inherently beginning-accented.l" The occurrence of an
end-accented theme in the primary-theme or secondary-theme
zone must therefore be due to an unusual employment of the
31 Hepokosi and Darcy (2006, 11).
32 Lerdahl and Jackendoff (1983, 76).
33 Temperley (2001, 38).
34 In this regard, I disagree with Cone and other theorists who argue that
phrases are inherently end-accented. As Lerdahl and Jackendoff (1983)
have shown, such arguments stem from an erroneous conflation of struc-
tural and metrical accents and a disregard of multifariousness in their inter-
action in tonal music.
6r
end-accented schema, which deforms the expected rhythmic
shape of the formal space in which it occurs.
Such is the case in the first movement of Beethoven's Piano
Sonata in A Major, Ope 2, No.2. As shown in Example 7, the
transition arrives at the dominant of the secondary key in m. 42,
prior to the entrance of the secondary theme. Typically, this har-
monic goal would then be prolonged through a "dominant lock,"
which often concludes with several "hammer strokes" before the
medial caesura. Instead of this common procedure, however,
Beethoven employs what Hepokoski and Darcy call a "caesura-
fill"-here, a connecting passage leading from the end of the
transition zone in m. 46 to the secondary theme zone in m. 58 via
a stepwise descending motion in the bass. 35 This caesura-fill
serves several significant tonal and metrical purposes above and
beyond its fundamental role as a rhetorical link. Tonally, the pas-
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sage presages the eventual slip into the minor dominant in the
secondary-theme zone, which, although not altogether an un-
usual option in late-eighteenth-century sonata movements, nev-
ertheless projects a sense of heightened expressivity through its
unexpected tragic undertone. More important to our discussion,
however, are the hypermetrical repercussions created by the
caesura-:fill. The most prominent accents in the passage-the ar-
rival at VN in m. 42 and the launch of the caesura-:fill motive in
m. 46-help establish a quadruple hypermeter in the caesura-:fill.
This hypermetrical context leads to the onset of the secondary-
theme zone in m. 58 on an emphatic downbeat, which performs
the exact metrical function of the strong-beat cadence in the end-
accented schema in Example 3(a). As the secondary theme enters
slighdy too late to catch the downbeat in m. 58, its four-measure
subphrases are shifted out of sync with the hypermeter to become
end-accented. Consequently, the phrase-rhythmic profile of the
opening of the secondary-theme zone has been deformed from
its normative beginning-accented shape to become one that is
typically associated with the closing zone. 36
Ironically, the end-accented groups in the secondary-theme
zone fail to establish the kind of goal-oriented stability they
usually provide in the closing zone. 37 Rather, tonal volatility
created by the chromatic ascending sequence of the passage
evokes a significant feeling of restlessness. In fact, the whole
35 In general, a caesura-fill may be implemented by any contrapuntal means
that connect the end of the transition to the beginning of the secondary-
theme zone. The stepwise descending bass motion employed here is not the
only option, but it does constitute one of the most typical techniques in
executing such a link. See Hepokoski and Darcy (2006,40-45).
36 It does not mean, however, that the presence of a caesura-fill will invariably
lead to an end-accented secondary-theme zone, although one could say
that a caesura-fill does increase the probability that a secondary-theme
zone will be end-accented. A case of the secondary-theme zone maintain-
ing beginning-accented phrases after a caesura-fill is found in the first
movement of Mozart's Symphony No. 39. After the hypermetrical down-
beat at the end of the caesura -fill, the beginning of the secondary theme
manages to reset the hypermeter through its unusually long separation
from the end of the caesura-fill and its two-measure subphrases, which
clearly establish a strong-weak (as opposed to weak-strong) hypermetrical
pattern.
37 Temperley (2003, 138-39) discusses the goal-oriented nature of end-
phrases in the closing zone.
 MUSIC THEORY SPECTRUM 34 (2012)

Caesura fill

VofE major

Leading to E minor?
47 ra II.
A ~ i ,...--~ ~
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- -. .,.
-- - -
\= ..............
111....1 I"""
...
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~ ~ tt.;P
2 3 4
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. .
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Secondary-theme zone (E minor and end accented)
58

espressivi
1 3

harmonic acceleration via chromatic sequence -----------------------------------------------

E major: 16
PAC
Closing zone (beginning accented)

EXAMPLE 7. Beethoven, Piano Sonata in A Major, Ope 2, No.2, L S-zone

 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC
passage from mm. 58-83 is a struggle for resolution both tonal
and metrical. The end-accented groups, situated within a ner-
vous search for any single controlling key (let alone the expected
one), sound as if they are trapped in a loop hopelessly lagging
behind the hypermeter. As the sequence steps up its effort to
search for its tonal resolution (through harmonic acceleration in
mm. 68f£), the end-accented rhythm of the passage also begins
to break down. The sequential repetition of the two-measure
groups in mm. 68-76 creates the effect of entrapment within
the last two beats of the hypermeasure beginning in m. 66, thus
effectively dissolving the integrity of the end-accented four-
measure groups and four-bar hypermeasures. End-accented
rhythm further disintegrates when the sequence reaches a
standstill on viio~ ofE in mm. 74-83. Is this inherently ambigu-
ous harmony going to restore the expected key of the major
dominant? Further, is this passage, finally regaining characteris-
tics of beginning-accented rhythm, able to deliver us from en-
trapment in the end-accented loop? We soon realize, in m. 84,
that the answer to both questions is affirmative. The last eight
measures of the secondary theme, consisting of beginning-
accented units firmly grounded in E major, finally "correct" the
deformed tonal and rhythmic shapes of the secondary-theme
zone and alleviate the cognitive strain they imposed. The recy-
cling of earlier materials in the closing zone also provides a
much-needed sense of normalcy completely lacking in the en-
tire secondary-theme zone.
In Beethoven's Ope 2, No.2, although end-accented rhythm
works in tandem with intense chromaticism to create a de-
formed and mercurial action space, there is nonetheless no
strong incentive to override the function of m. 58 as the defini-
tive beginning of the secondary-theme zone. In some cases,
however, end-accented phrases could seriously complicate the
proposal and realization of a secondary-theme zone. Such is the
case in the first movement of Beethoven's Eroica Symphony; the
passage in question is shown in Example 8. Following a half
cadence in the dominant key in m. 45, the ensuing theme in
mm. 45-57 may be construed as the first module of the second-
ary theme. This interpretation, however, is complicated by the
underlying dominant prolongation, which may be heard to in-
dicate that mm. 45-57 function as an expanded caesura-fill. In
light of these conflicting signals, Hepokoski and Darcy qualify
their reading of m. 45 as the beginning of the secondary-theme
zone by cataloguing the theme in mm. 45-57 with an index of
"0."38 The resulting label-an So or SLO-captures the sense of
"a preparatory module that sets up or otherwise precedes what
strikes one as the 'real' initial theme of the zone." In fact,
Hepokoski and Darcy acknowledge that "[tjhc distinction be-
tween an expanded caesura-fill and a genuine So or SLO
module can be difficult to make, and perhaps in some cases
we should not make it at all."39 They do, however, make a de-
finitive choice in this case by calling mm. 45-57 a "locus classicus
of a more prolonged So theme"; this decision is probably based
38 Hepokoski and Darcy (2006,142).
39 Ibid. (143).
on the passage's thematic character, which overrides concerns
about the immobility of the dominant (of the new key).
The caesura-:fillhearing ofthe theme becomes much more pal-
pable, however, when one incorporates phrase-rhythmic consider-
ations. To begin with, observe that the medial caesura in m. 45
falls on a downbeat of the ongoing quadruple hypermeter (which
is projected by the grouping structure of the theme in mm. 37-45
and prominent harmonic changes at mm. 41 and 45)-a telltale
sign that an end-accented passage may follow. As Example 8
shows, it turns out that harmonic and textural continuation be-
yond the medial caesura preserves the ongoing hypermeter and
causes the following four-measure groups in mm. 45-57 to con-
form to the end-accented paradigm in Example 3(a). This end-
accented rhythm, which we have seen to be normatively associated
with the closing function, further enhances the post-cadential
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character of the passage that is already emanating from the pro-
longation of the caesura dominant. Further, when the end-
accented groups give way to a beginning-accented theme in m. 57,
the marked change in phrase rhythm highlights the sense of rhe-
torical progression from an extensional unit to an expository one.
Compare this passage to the corresponding formal location in
the first movement of Beethoven's Ninth Symphony, Ope 125,
which is shown in Example 9..In m. 74, a new theme enters after
what Hepokoski and Darcy call a "somewhat deformational MC-
attempt" in m. 73. 40 In a manner similar to mm. 45-57 in the
Eroica, the new theme in Ope 125 is presented over a prolonga-
tion of the caesura-dominant. As with the new theme in the
Eroica, and for precisely the same reasons, Hepokoski and Darcy
call this theme So. Yet, with clear beginning-accented groups,
mm. 74-79 in Ope 125 has a much stronger expository character
than the Eroica passage. Further, there is no change in phrase
rhythm at m. 80 in Ope 125 comparable to that at m. 57 in the
Eroica to signify a transition from one rhetorical space to the next.
In other words, the passage in mm. 74-79 is a true So, whereas
materials in mm. 45-57 in the Eroica show characteristics of a
deformed medial caesura before the definitive beginning of the
secondary-theme zone, as far as phrase-rhythmic characteristics
are concerned. This interpretation, which grants a more promi-
nent role to the new theme in m. 57 in the Eroica, corroborates
evidence from sketch studies that substantiates the significance of
this theme in the earlier stages of the piece's conception.f'
PHRASE RHYTHM AS TRANSITION TYPES
In Sonata Theory, taxonomy is largely mediated through the
idea of types, which classify a small number of underlying
event-schemas in particular action spaces.V Hepokoski and
40 Hepokoski and Darcy (2006, 143). Although they offer no explicit expla-
nation, their labeling of the medial caesura as deformational is probably
due to the absence of any definitive break and the presence of a dominant
seventh (as opposed to a dominant triad).
41 See Lockwood (1992, 118-33).
42 The most important examples of types discussed by Hepokoski and Darcy
are the five sonata ones, which constitute a substantial portion of their
monograph. As they explain, the entire space of sonata is characterized by
"a modulatory, expositional layout consisting of functionally differentiated
 MUSIC THEORY SPECTRUM
,...-----------------------------------,11
2 3 4 2
EXAMPLE 8. Beethoven, Symphony No.3 in EbMajor, Ope 55, L mm. 37-57
Darcy construct a taxonomy of transition types-as listed in
Example 10-based on thematic and rhetorical elements.
Integrating ideas from Caplin's work on formal functions, these
transition types demonstrate diverse thematic relationships with
the primary-theme zone and various degrees of developmental
impulses within the transitional materials. In the following dis-
cussion, I will complement these thematic-rhetorical types with
three other transition categories based on phrase-rhythmic con-
siderations. As we shall see, these rhythmic types interact with
Hepokoski and Darcy's thematic-rhetorical types to form sub-
categories illuminating both normative and unusual procedures
at the beginning of the transition zone.
Example 11 presents three phrase-rhythmic scenarios at the
juncture between the primary-theme and transition zones. In
Example 11(a), the two zones are elided by a phrase overlap. At
the same time, this thematic elision also causes the last beat ofthe
hypermeter in the primary-theme zone to be eclipsed by the first
downbeat of the transition zone, thus resulting in what is usually
called a "metrical reinterpretation.Yl With overlaps in both
phrasal and metrical domains, this situation typically launches the
transition with great momentum. In Example 11(b), in a manner
similar to that seen in Example 11(a), the two zones overlap
phrasally; however, the last phrase of the primary zone is
modules; a structure-determining dialogue with the principle oflarge-scale
rotation; and the need for a quasi-symmetrical tonal resolution in the last
sonata-space rotation" (344). From this nexus, Hepokoski and Darcy pro-
ceed to identify five sets of compositional choices. The criteria used in con-
structing these types are based on the presence (or absence) of thematic or
rhetorical functions. Types 1 and 2 are characterized by the absence of such
major thematic sections as the recapitulation and development; Type 3
contains all thematic units in the so-called "textbook model"; Type 4 has
the thematic scheme of a rondo; and, finally,Type 5 mimics the alternation
between ritornello and solo in concerto movements.
43 See Rothstein (1989, 52-56).
34 (2012)
Me End-accented groups
-1 p dolce
~~
~. l
Beginning-
accented
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extended to accommodate the phrase overlap so that no metrical
reinterpretation is needed at the onset of the transition. With an
elision only in the phrasal, but not the metrical, domain, the im-
pact of the transition is usually less forceful than in Example
11(a). Finally, the transition in Example 11(c) does not overlap
the primary zone phrasally or hypermetrically. The launching of
the transition zone delivers the least impact among the three. In
the following discussion, I will call these three rhythmic situa-
tions PO+MR (phrase overlap and metrical reinterpretation), PO
(phrase overlap only), and DISJUNCT, respectively. By and large,
these three categories exhaust phrase-rhythmic situations be-
tween the primary-theme and transition zones.t"
A substantial number of Hepokoski and Darcy's thematic-
rhetorical types show strong propensities for particular phrase-
rhythmic scenarios outlined above. To begin with, Types 4, 7,
and 8 in Example 10 are intrinsically associated with the
DISJUNCT rhythmic type. These transitions begin as the sec-
ond part of a larger formal unit (e.g., the consequent of a period,
the continuation of a sentence, or a hybrid) which rarely over-
laps with the first part or reinterprets the ongoing hypermeter.
In fact, a phrase overlap is altogether impossible in Types 7 and
8 because these transitions begin in the middle of a phrase.:"
On the other hand, Types 1 and 2 are particularly susceptible to
the PO+MR and PO configurations.t" The explorative and de-
velopmental nature of these two types is often accompanied by
44 It would seem that, aside from the three phrase-rhythmic situations out-
lined here, another (theoretical) possibility is to apply the end-accented
paradigm in Example 3(a) at the beginning of the transition. However, I
have not come across such usage in practice.
45 Hepokoski and Darcy (2006, 95) regard these types as exceptions to the
general rule that transitions should begin a new phrase.
46 As Hepokoski and Darcy (2006, 95, 101) assert, the difference between
Types 1 and 2 is only a matter of degree of development impulse.
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC

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semprep

EXAMPLE 9. Beethoven, Symphony No.9 in D Minor, Ope 125, L mm. 68-83

1. The Independent (Separately Thematized Transition)

2. The Developmental Transition
3. The Dissolving Restatement
4. The Dissolving Consequent . .. ..
5. Period with Dissolving-Consequent Restatement (or Sentence with Dissolving-Continuation Restatement)
6. The Dissolving P-Codetta: Reiterated Cadences (Dissolving Cadential Reinforcement)
7. Sentence with Dissolving Continuation
8. The Dissolving Hybrid
9. Larger, Rounded Structure (ABA', aa'ba") with Dissolving Reprise

EXAMPLE 10. Hepokoski and Darcy's Transition Types

of continuation function" or "expansion of cadential function,"47

strong energy gain and forward momentum. To initiate a sus-
while periods generally strive to maintain equilibrium between
tained drive, composers-often set things in motion at the begin-
the phrases even when phrase expansions are involved. As a re-
ning of these transitions by a phrase overlap with the
sult, sentences often demonstrate a higher degree of elasticity,
primary-theme zone. It would seem that whether a, metrical
which helps to accommodate subsequent phrase overlaps with-
reinterpretation is also summoned to aid the process depends
out disrupting the hypermeter. Example 12(a) is a case in point.
primarily on the degree of force desired at the launch of the
The opening theme of the First Symphony, cast essentially in a
transition. As we shall see, however, the thematic structure of
sentential form, incorporates various types of expansion: the
the primary-theme zone exerts some influence on this decision.
presentation and repetition modules are both expanded from
Let us compare the two independent (i.e., Hepokoski and
their underlying four-measure models via the inserted lead-ins
Darcy's Type 1) transitions in Example 12, taken from the first
in mm. 17-18 and 23.. . .24 (as a means to conceal parallel fifths
movements of Beethoven's Symphonies Nos. 1 and 8. As shown
and octaves), while the continuation unit in mm. 25-33 demon-
in the analyses, the transition in the former involves only a
strates Caplin's extension of continuation function through an
phrase overlap, while that in the latter begins with both a phrase
overlap and a metrical reinterpretation. The rhythmic difference
may be motivated by the different temporal proportions and
47 Caplin (1998, 47). For Caplin, the continuation function ~nds wit? t~e
functional profiles between sentences and periods. In sentences, initial prolongation of the tonic harmony, while the cadential function 1S
the developmental impulse of the continuation unit (i.e., the "b" then characterized by a cadential progression which usually traverses the
of the "aab" format) often leads to what Caplin calls "extension harmonic functions of predominant, dominant, and tonic. (See Chapter 2
 66 MUSIC THEORY SPECTRUM
Last phrase of primary theme
(a)
1 2 3 4/1
(b)
2 3
(c) ~~
1 2 3 4 1 234
EXAMPLE II. Three phrase-rhythmic scenariosbetween the primary-theme and transition zones
additional unit of fragmentation, which forces the cadential
function to "spill over" into the ninth measure.t'' In contrast, the
opening theme of the Eighth Symphony in Example 12(b) is
clearly periodic in its conception. As stated above, periods (es-
pecially as expository units in the primary-theme zone) are
more resistant to the developmental impulses and expansions
seen in Example 12(a); even when expansions do occur, the pre-
mium put on proportional balance between the antecedent and
the consequent limits the extent to which the end of the period
can be altered to accommodate phrase overlaps and to avoid
metrical shifts.i" In the Eighth Symphony, although the conse-
quent phrase is expanded through an inconclusive cadence in m.
8 and the so-called "one more time" technique (to borrow Janet
Schmalfeldt's term'") in mm. 9-12, the length of the four-mea-
sure basic unit is preserved to maintain an overall symmetry.
Without the same flexibility available to the continuation unit
for definitions of prolongational and cadential progressions.) He then states
that an "extension of continuation function" is normally implemented by
"[ajdditional units of fragmentation and a thorough sequential progres-
sion," whereas the cadential function is often expanded by what Schoen-
berg (1976, 30) calls a "written-out ritardando."
48 Other examples of the opening sentential theme "spilling" into an extra
measure can be found in Beethoven's String Qpartetin D Major, Ope 18,
No.3, IV; his Piano Sonata in C Major, Ope 2, No.3, I; and his Piano
Sonata in E~ Major, Ope 7, I.
49 Of course, consequent phrases in periods are sometimes expanded. What I
assert is that, comparatively speaking, sentential forms are more prone to
internal expansions than periodic ones, especially when internal expansions
create (sublphrases of irregular lengths (such as five-, seven-, or nine-mea-
sures), as in the case of Beethoven's First Symphony discussed here. The
difference in the importance of development, and thus also in rhythmic
plasticity (to borrow Frank Samarotto's [1999] term) between sentences
and periods is clearly delineated in Schoenberg's (1967,58) assertion that
sentences are "a higher form of construction than the period" because of
their intrinsic differences regarding the role of developing variation.
50 Schmalfeldt (1992).
34 (2012)
Transition
2 3 4
4 1 2 3 4
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of the sentence, the consequent phrase thus necessitates a met-
rical reinterpretation when its last measure is eclipsed by the
hypermetrical downbeat at the beginning of the transition. 51
To be sure, not all Type 1 and Type 2 transitions belong to the
rhythmic types PO and PO+MR. Their appearance as rhythmi-
cally DISJUNCT, however, is much rarer, often motivated by
51 The occurrence of a Type l/PO+MR transition is especially common in
Haydn's late symphonies when the primary-theme zone is periodic; see the
first movements of Symphonies Nos. 93, 96, 99, 100, 102, 103, and 104. A
related situation in which Type l/PO+ MR transitions often occur exists
when the primary-theme zone is set in a rounded binary form ending with
a period. This situation happens, however, more commonly in last move-
ments than in first movements; see the last movements of Haydn's Sym-
phonies Nos. 93, 94, 96, 97, 99, 101, and 102. On the other hand, certain
conditions of a periodic primary-theme zone seem to facilitateexpansion of the
consequent phrase at the expense of strict proportional balance. One of these
conditions applies when the period is more extended than the common 8+8
construction (such as when the phrases are longer than eight measures, or the
period consists of more than two phrases--e.g., the so-called "double period").
In this scenario, the consequent phrase is more open to expansion because the
sense of balance is less susceptible to distortion by modifications of phrase
lengths. Another condition that facilitates expansion exists when the phrases
within the period are themselves sentences, in which the continuation unit is
often expanded from an underlying prototype when undergoing development.
In examples of this category,an opening periodic structure may lead to a Type
llPO transition if the expansion in the continuation unit of the sentence helps
eliminate the need for metrical reinterpretation.The primary-theme zone of the
first movement of Mozart's Symphony No. 39 in B Major, K. 543, illustrates
both of these conditions. The period, which consists. of twenty-nine measures,
is subdivided into a 14+15 scheme. Substantiallylarger than the traditional 8+8
period, the slight expansion in the consequent phrase minimally disturbs the
balance between the two phrases.At the same time, both phrases are themselves
sentences: the antecedent is cast in a 4+4+6 format, while in the consequent
phrase the six-measurecontinuation unit is expanded by one measure to accom-
modate for the phrase overlapwithout reinterpreting the hypermeter. Interest-
ingly; whileType llPO transitions are relativelyrare in Mozart's oeuvre,they are
featured in both the first and last movements of this symphony; highlighting the
influence of Haydn's practice, on top of the "monothematic" treatment of the
secondary-theme zone in the last movement.
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC

Basic idea (a) (Lead-in) Repetition (a')

I

F~-
I'
13 -e-
1\ ~ ~

tJ
I lCs;; er t I

i
p
" - - - - - - - - - --e- p

; - - r- ... ...
~~
... ...
~:
tJ
U ~~~"~~~,, ~ ~y ~~
4' 4' ":'"

U I CJ' CJ'
p P
I 2 I 2 I 2 I 2
l - :- - -
I
:- - -
I
:- -
I
:- -
I
:- - - - I ~-=?-
...........
r-

I
:- -
I
I
-

(Lead-in) Continuation (b)

21
c

Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015

- ... --If
l
',,",

tJ !!~~!!~~ ! ~
~
...
TJ
-- T
........-I
I"'" ...
~ !' ~ =J:~T
!'
I <tr
-,j-.
VI 0 !' !'

:
I
rs;

I
I rs;

I
I
2
rs;

I
I
-
-.0... -e-
~
n.

P-
...
2
... -
-.----
.-I.
-:::
:
I
--=========================V
(continuation function extended

,,
by "additional unit of fragmentation") Transition
cadential function (PO)
~

~
l:
27
"
tJ r_ .
:
e 1&----------
if
I I I I

, if .If
.. I
11

'''"' - ....
- - - - :-
I
~ :-
} tJ V
CJ'
=J:~T ! ! ~ If ! ! T..:-J' V i r ~ ~:
), I 2
~
I 2
;.
I
: P- :- - :- : P-

I
V -====== .If

EXAMPLE 12(A). Beethoven, Symphony No.1 in C Major, Ope 21, L mm. 13-33

highly specificconditions within the primary-theme zone, particu- Hepokoski and Darcy's Type 3 transition exhibits phrase-
larly when the primary-theme zone is tonally "over-determined." rhythmic tendencies virtually opposite to those ofTypes 1 and
Hepokoski and Darcy use this term to describe primary-theme 2. Most Type 3 transitions begin by restating the opening mea-
zones that "consist of multiple modules, several ofwhich end with sures of a movement after the primary-theme zone's definitive
a I:PAC or IAC."52The later modules of an over-determined pri- close on a PAC. The clarity of this intent usually requires that
mary-theme zone tend to decrease in dynamics, usually coming to no overlap occur between the end of the primary-theme and the
full repose at the delayed conclusion. Since in most circumstances beginning of the transition. We could thus infer from this
the induction of a phrase overlap involves a preceding build-up of observation that the DISJUNCT rhythmic type is a first-level
momentum/tension and anticipation of resolution, the protracted default in Type 3 transitions.t" However, under certain condi-
harmonic stasis and deterioration in energy at the end of a tonally tions of the primary-theme zone, a Type 3 transition may begin
over-determined primary-theme zone render the rhythmic types with the PO, or even the PO+MR, scenario. One such condi-
PO and PO+MR largely unsustainable. In other words, a tonally tion obtains when the primary theme consists of two parts
over-determined primary-theme zone projects a trajectory that is having a loud-soft sequence. Example 13(a), which shows the
simply not conducive to the rhythmic subtypes typically associated opening of Mozart's Haffner Symphony, illustrates this situa-
with the independent transition.f' tion. After the more subdued second half of the opening theme
in mm. 6-13, a Type 3 transition beginning in m. 13 overlaps
52 Hepokoski and Darcy (2006,74).
53 For examples of DISJUNCT independent transitions following over-
determined primary-theme zones, see the first and last movements of 54 Familiar examples of this situation include the first movements of Mozart's
Mozart's Piano Sonata in F Major, K. 332. Piano Sonata in B~ Major, K. 333, and his String Quartet in G Major, K. 387.
 68 MUSIC THEORY SPECTRUM
Antecedent
2
(lAC)
EXAMPLE 12(B). Beethoven, Symphony No.8 in F Major, Ope 93,1, mm. 1-12
the end of the primary-theme zone to regain the energy level of
the opening measure. Although the hypermeter of the opening
forte fanfare in mm. 1-5 is somewhat ambiguous (as indicated
by the two competing interpretations marked "Hearing N.' and
"Hearing B" in the example), the grouping structure of the
piano sentence in mm. 6-13 forcefully positions the hypermetri-
cal strong beats at the even-numbered measures (and the weak
ones at the odd-numbered measures, as shown in Hearing B),
thus necessitating a metrical reinterpretation at the beginning
of the transition in m. 13. 55
Example 13(b), taken from the opening of Mozart's Piano
Sonata in A Minor, K. 310, demonstrates a schema very similar
to Example 13(a). The loud-soft sequence again comprises a
five-measure gesture followed by a sentential construction. The
opening five-measure gesture articulates a more unequivocal
55 Hearing B of the piano sentence in mm. 6-13, which I argue to be the
preferred hypermetrical interpretation of the passage, may seem discordant
with the durational/textural accents in mm. 7 and 9; nevertheless, the
placement of hypermetrical accents at the beginning of the subgroups at
mm. 6, 8, and 10 is again strongly motivated by Lerdahl and ]ackendoff's
strong-beat-early rule (especially because the rule often serves as the dom-
inating factor at hypermetricallevels, as mentioned earlier in this essay). A
comparable situation can be found in Rothstein's analysis of the opening of
Beethoven's Piano Sonata in G Minor, Ope 49, No.1 (1989,59). Although
mm. 2 and 4 are dynamically and durationally accented, Rothstein posi-
tions the strong hyperbeats at mm. 1 and 3 so that the subgroups in mm.
1-2 and 3-4 are beginning-accented.
34 (2012)
Consequent
II
pdolce
pdolce
1 2
Transition
Consequent (repeated) (PO+MR)
I I
Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015
duple hypermeter than in the previous example; m. 6, there-
fore, is projected as hypermetrically weak. Nevertheless, the
beginning of the sentence at m. 6 resets the hypermeter be-
cause of the 1+ 1+2 sentential structure in mm.6-9.
Rothstein has discussed this particular situation using what
he calls the "rule of congruence," which is an adaptation of
Lerdahl and Jackendoff's MPR 9 (time-span interaction). 56
He explains that,
[I]f a four-measure phrase is subdivided, melodically, either as
2+2 or as 1+1+2, a listener should infer a metrical pattern in
which the first downbeat in each two-measure group is also the
downbeat of a two-bar hypermeasure. The first downbeat in the
first two-measure group will be the downbeat of a four-bar
hypermeasure. In plain English, a four-measure phrase is, gener-
ally, also a four-bar hypermeasure, especially if it can be subdi-
vided into two equal parts (as is true, for example, of phrases
subdivided 1+1+2).57
From this perspective, the primary-theme zone concludes at m.
9 on a hypermetrical weak beat, which is then reinterpreted as
the first strong hyperbeat of an overlapping Type 3 transition.I''
56 Lerdahl and]ackendoff(1983, 90).
57 Rothstein (1995, 173).
58 The reading of a phrase overlap between the two zones here is somewhat
more complicated than that in K. 385. The contentious point is that some
may read the primary-theme zone in the sonata as ending on V in m. 8.
This reading would lead to the understanding of the transition as
Hepokoski and Darcy's Type 4. My interpretation of the passage follows
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC

~ subgroup onsets
I I I
Allegro con spirito

2 2 1 2
2 (1 2) 1

Transition
PO (+MR)
I

Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015

~ :d~~ J uJ. ~ .....~I~
... -- I
--
-
I .::---..

\~
~

--
f&4 f&4
110-
:
- ~

:- -
r r
-/-

I-~ e t"'
I. I. e t"'
~
f. ~
-#-
f· f
2 1 2 1 2 1
1 2 1 2 1 2/1

.- 1 1
I .... -0:-,.....-......
~

-
.....
.1-:
.. , - ,
~
r-
-&-
:- :- ~
:- :- -- ~
!

EXAMPLE 13(A). Mozart, SymphonyNo. 35 in DMajor, K 385, L mm.1-13

In both Examples 13(a) and (b), the PO and PO+MR rhythmic
types serve to revitalize momentum and connect seamlessly to
the forceful restatement of the opening idea. In these instances,
the DISJUNCT scenario, which normally appears in Type 3
transitions, would have caused the primary-theme zone to end
on a low dynamic level, resulting in an awkwardly muted con-
clusion of a primary-theme zone which began with zest, and an
incongruous, forced return to the opening fanfare at the begin-
ning of the transition.
PHRASE RHYTHM AS BALANCE BETWEEN INTERTEXT
AND CONTEXT
Ultimately, all components of Sonata Theory-stylistic
norms, levels of defaults, deformation, formal types, etc.-work
together for the purpose of "uncovering and interpreting the
dialogue of an individual piece with the background set of
norrns.P" The dialogic orientation of Sonata Theory thus pro-
vides an intertextual perspective of musical form-one that
links each compositional decision in a given piece to all its
counterparts outside the text, yet recognizes that those compo-
sitional decisions occur within a specific historical and generic
Hepokoski and Darcy's reading of the primary-theme zone as ending with
a PAC in m. 9, thus making the transition an instance ofType 3. Primarily,
I believe that the continuous motion of the dotted-eighth and sixteenth
rhythm in m. 8 makes it difficult to hear a cadential close on V in that
measure. For a slightly different hypermetrical analysis of the passage, see
Wick (1991,88).
59 Hepokoski and Darcy (2006, 11).
milieu. This intertextual orientation provides the mechanism
through which Sonata Theory is able both to embrace the mer-
its of the conformational approach (in its comparison of the
subject piece to a carefully reconstructed norm) and address
generative concerns (in its revelation of the particulars of a piece
as a result of the comparison). Further, given that recent studies
on intertextuality in Western music have provided invaluable
insights into the construction and perception of musical mean-
ings, the profits gained by a dialogic formal theory on issues of
criticism and hermeneutics are unquestionable.P''
A potential problem with the intertextual approach to form,
however, is that it tends to undermine attention to the teleology
of decisions within the composition under consideration.
Whereas the particulars of a piece are evaluated in light of their
relationship with the normative background, their contextual
rationale and consequences are sometimes inadequately ex-
plored. Thus, a highly unusual element is primarily appreciated
as an idiosyncrasy, possibly entailing certain hermeneutical in-
sights, whereas the organic connection. between the eccentric
choice and its local and global contexts within the piece often
seems only a secondary concern.P!
60 For recent representative studies in musical intertextuality, see Korsyn
(2001) and Klein (2005).
61 With their intertextual approach, which often de-emphasizes the functions
of events within their contextual surroundings, Hepokoski and Darcy al-
most invariably resort to hermeneutical routes when explaining the pres-
ence of low-level defaults and deformations. For examples, see Hepokoski's
analyses of Mozart's Overture to Idomeneo and Beethoven's Overture to Die
Ruinen von Athen in Hepokoski (2009a, 75-88).
 MUSIC THEORY SPECTRUM
Allegro maestoso
5
2 2/1
EXAMPLE I3(B). Mozart, Piano Sonata inA Minor, K 310, L mm.1-9
The importance of internal logic and organic coherence is
nevertheless indisputable, especially when interpreting the role of
low-level defaults and deformations.P To illustrate the signifi-
cance of maintaining a sensitive balance between intertextual and
contextual orientations, let us revisit the EEC deferral in Mozart's
K. 504 discussed above. Hepokoski and Darcy's main analytical
insights reside in their interpretation of this passage as an in-
stance of EEC-deferral via retention of secondary-zone charac-
teristics and, subsequently, appreciation of Mozart's masterful
technique for delaying the appearance of an expected structural
point. While this intertextual statement describes and assesses
how Mozart ingeniously distinguishes one particular zone of a
sonata-form movement from its counterparts, it offers no con-
crete explanation for the raison d'itre of the deferral with regard
to musical elements within the movement. In other words, how
do the composer's structural (e.g., thematic, tonal, rhythmic, and
metric) and aesthetic (e.g., affective, proportional, rhetorical, and
expressive) concerns within this particular piece lead to the un-
usual choice? Or, conversely, how does that choice influence the
movement's structure-and aesthetics? These potentially fruitful
grounds for investigation remain uncharted.
It is my contention that phrase-rhythmic analysis helps strike a
needed balance between intertextual and contextual orientations
when incorporated into the dialogic framework of any theory of
form. Although the manner in which I have hitherto addressed
phrase rhythm in formal discussions may be described as paradig-
matic, phrase-rhythmic analysis-with its focus firmly grounded in
the linear trajectory of elements within the temporal domain-
is nevertheless first and foremost a syntagmatic enterprise.v'
62 Numerous studies have shown the importance of examining the musical
connections between a highly marked idiosyncrasy and its surrounding ele-
ments. See Smith (2000) for a representative study.
63 The linguistic categories of paradigmatic and syntagmatic have been made
well known to music theorists by recent works on music semiotics. While
a detailed explanation of these terms is therefore unnecessary here, Byron
Almen's (2005, 46) summary of the two categories as they are applied to
34 (2012)
Transition PO (+ MR)
I I
f
Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015
Investigations of phrase rhythm thus often help illuminate the
contextual logic of marked events vis-it-vis intertextual routes,
the latter of which help to situate the former within the even
broader schemes of stylistic and compositional traits.
Let us now investigate how phrase-rhythmic analysis, cor-
roborated by voice-leading considerations, offers a concrete
explanation of the EEC deferrals in the first movement of
Mozart's K. 504. Example 14 shows a voice-leading reduction
and phrase-rhythmic analysis of the passage in question.
Hepokoski and Darcy have argued that this passage derives its
formal logic primarily through its expansion of an initial pe-
riod (rnm. 97-112) into a large sentence with an appendix.P"
Addressing the formal role of other contextual elements, the
voice-Ieading/phrase-rhythmic analysis in Example 14 adds
another critical dimension to the consideration of the
music will be helpful. As Almen states, "[W]e can analyze musical units
with respect to the features that are present or absent and also with respect
to the chain of bundled features that appear over time. The former
approach is called paradigmatic, and involves a consideration of those
elements that were chosen from among those that might structurally oc-
cupy the same position.... A paradigmatic analysis would focus on the
connotations resulting from the particular choices that were made ....The
latter approach described above was characterized by Saussure as syntag-
matic and involves a consideration of relations between elements in a se-
quence or a combination.... Looked at from this 'horizontal' perspective,
the distinctive features that characterize a signifying unit are grouped into
a 'bundle of features' that are themselves part of a temporal chain of fea-
tures." The dichotomy between paradigmatic and syntagmatic is parallel to
that between intertextual (dialogic) and contextual, as I establish in this
section. The intertextual orientation looks- at the same formal position
across multiple works and considers the "connotations" of particular choices
(which, as I have shown, are often translated into certain hermeneutical
implications). The contextual orientation, on the other hand, examines
"bundles of features" on the horizontal axis within one composition for
syntactical connections.
64 Hepokoski and Darcy (2006, 152).
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC

/\
3 (ill
97
r_ . . -> I ~h<1 .....I I ~
. -. -- =---1l .l ~ I
--;.~
~)~: J .J -
~

. -- ..
'" ,lj,
- -- -
@)
:.
-
•

I6
fl
• III --.. • III

- r,------ III

:~
6 6 6 6 6 6 6 6 6 -----
1 2 3 4 1 2 3 4 1 2 3 4 1

•• //If
---r-.. ,--~

. III
.--7"
. r r-, .:-1--.
. ~
,..
L I "Y-J L
v
PO+MR PO
I I I I
/\ /\ /\ /\
2? I? I?) S
110~ ----J' ~h
'" ,lj, <,

Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015

- .....1
-
/\ /\
I I
/\
I'T
6 6 6 S (4 /\
3 2
/\
1)
2 3 4/1 2 3 4 4

.1.-
DISJUNCT
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - " r---
/\

122 ~ ~TTI -j~-::1~------j--j J

'" ,lj,
=.- - -.-
- . 0~·
~. F-
:
~
. /:
~
- I.
- _ -L -

\~ ,--
~

1-

)
~ •• III
6

'--------
6

i.
I .--'I~
6/

6
:
4
. }

J.. --
.........
2

--i-V
3 4
r-
---
I
1

i
1!

i
ii 6 V

EXAMPLE 14. Mozart, Symphony No. 38 in D Major, K 504, L mm. 97-129, voice-leading reduction

passage's large-scale coherence. To begin with, the analysis Not only does it slip into A
the minor mode (thus transforming
shows that the o~IaIJ trajectory toward m. 129 as the second- the local Kopfton into ~~' ~ut~he end of the consequent also
ary-theme zone's definitive conclusion is orchestrated by the fails to materialize the
A A
3 - A2-1 descent expectedA
toA close
A
the
large-scale registral transfer that prolongs the Kopfton and de- period. Neither the 3-2-1 in m. 110 nor the ~3-2-1 in the
lays the descent of the Urlinie.6s As shown in the voice-lead- first flute in mm. 110-12 succeeds in providing such closure.
ing reduction, a large-scale arpeggiation begins from the On the one hand, A A
theA former is analogous to m. 102, which
Kopfton C~S in m. 101, traversing E s in m. 113, As in m. 123, articulates the 3 - 2 -1 descent as a motion to an inner voice
and reaching C~6 in m. 125. The Kopfton c~s in m. 101 is also lacking proper harmonic support to close the period; on the
prepared by a local linear ascent from A 4 in m. 97. Intriguingly, other hand, the latter is detached from the main melodic
each of these tones in the deep middleground arpeggiation is strand by its higher register and is therefore heard more logi-
elaborated with local descents that define the tonal profiles of cally as a lead -in to the next phrase.
individual phrasesA and
A
thematic materials in the secondary- The following phrase, appearing in the form of a sentence in
theme zone. The 3-2 descent and interruption in the anteced- mm. 112-21, takes the overallarpeg§.iation to E s. From this pitch,
entA phrase
A A
in mm. 97-104 set up the expectation of a the phrase completes with a 5-4-3-~-1 descent to propose a
3 - 2 -1 descent and an authentic cadence in the consequent. definitive close of the secondary-theme zone. Yet the 5-Zug is
Mozart's realization of the consequent, however, is unusual. somewhat concealed by the cover tone As, which originates from
the failed attempt of the first flute to structurally close the sec-
65 By Kopfton and Urlinie I am referring to the head tone and the melodic ondary-theme zone in m. 112. When Mozart reinvigorates tran-
descent of the secondary theme area, not those of the entire movement. sitional materials in mm. 121-29-the last module of the
 72 MUSIC THEORY SPECTRUM
secondary-theme zone-the large-scale arpeggiation swiftly pro-
ceeds from E 5 in m. 121 to A 5 in m. 123, and finally reaches C#6
in m. 125.66 From this Kopfton, the secondary-theme zone finally
makes its definitive descent to the local tonic in m. 129, accom-
panied by an unadulterated PAC to provide unequivocal struc-
tural closure. Considering voice leading alone, we see that the
deferral of EEC to this particular point culminates a large-scale
melodic endeavor that provides the driving force for the entire
secondary-theme zone. The impact of this melodic process is so A
strong that even the closing zone-which normatively prolongs 1
attained at the EEC-momentarily suggests further ascent to E 6
in mm. 131-33. The illusion is short lived, however, since the to~
voice succumbs to the gravity of the tonic in a hasty '5 -4-1- ~-1
descent immediately before the codetta.
More significant for our discussion is the way in which
phrase-rhythmic progression in the entire secondary-theme
zone works in tandem with voice leading to enhance the trajec-
tory toward m. 129. As Example 14 has shown, while quadru-
ple hypermeter and eight-measure phrases are primary
throughout the entire secondary-theme zone, important devia-
tions occur at the three authentic cadences. At the first one, in
m. 112, phrases overlap and the meter is reinterpreted to propel
the passage forward. The momentum further frustrates the first
flute's already feeble attempt to close the secondary zone an
octave away from the main melodic strand. The second cadence
in m. 121 similarly maintains forward motion via a phrase
overlap. Metrical reinterpretation is avoided at this cadence,
however, as a result of the malleability of the sentential struc-
ture in mm. 112-21-a property of the sentence discussed in
association with Example 12(a). Specifically, although m. 118 is
projected as a relatively strong measure (beat three of the ongo-
ing four-bar hypermeter), the beginning of the cadential func-
tion at m. 119 promptly reveals the role of m. 118 as an added
fragmentation (within the extended continuation function) and
usurps the projected strong beat. The resulting shift of hyper-
meter eliminates the need for metrical reinterpretation at
m.121.
Finally;as I have discussed, the last cadence in m. 129 involves
neither phrase ov-erlap nor metrical reinterpretation, and thus is
the most rhythmically stable of the three cadences. A comparison
of the phrase-rhythmic configurations of these three authentic ca-
dences reveals a progression toward a stronger sense of phrase-
rhythmic repose.This progression coordinates with the large-scale
melodic process discussed above to prolong formal trajectory and
delay the essential closure until a later authentic cadence.v/ To put
a new spin on Cone's famous ball-throwing analogy,we may say
66 Notice also that the motion from E s to As is by a descending series of
sixths, which are reminiscent of mm. 101-2 of the secondary theme. In this
sense, the final stage of the overall arpeggiation is achieved by a synthesis
of the secondary-theme and transition materials.
67 One could of course probe even more deeply into why Mozart creates, in
the secondary-theme zone, an extended arpeggiation in themelody and a
progression toward higher phrase-rhythmic stabilities, as revealed in my
analysis. A possible avenue of inquiry would consist of relating unusual
34 (2012)
that the phrase-rhythmic analysisofthe passage captures the pro-
cess by which the ball is finally caught at m. 129. Significantly,
when the ball is caught at the end of a spectacular throw, our fas-
cination comes not merely from judging it against the more com-
monplace instances; rather, the action of the throw, the trajectory
caused by the action, and the posture of the receiver required to
catch the ball all captivate us by their singular connection with one
another within one enthralling play.
A FINAL EXAMPLE
To conclude, I will offer a final example that brings various
ideas explored in this essay into a contextually informed inter-
pretation of a highly unusual event. Example 15 shows the coda
of the first movement of Mozart's Piano Sonata in D Major, K.
Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015
311. The principal peculiarity of the coda is the return in m. 99
of the primary theme-its first occurrence since its initial pre-
sentation inmm. 1-7. The rarity of this occurrence within
Mozart's instrumental output immediately directs the analyst to
regard this last-ditch restatement of the primary materials as a
deformation and to evaluate this movement as formally excep-
tional.P'' Aside from the obvious implication that Mozart inten-
tionally plays with the expectations of the competent listener,
could there also be musical factors within the piece that cause
such a delay to be particularly effective, even inevitable? What
important aesthetic and structural purposes does the unusual
feature achieve within the piece-purposes which would have
been detrimental to the intended effect had it been absent?
We may gain some insights into these inquiries by identifying
the most prominent phrase-rhythmic features of the exposition,
shown in Example 16. To begin with, the primary theme exem-
plifies a specialized phrase type that Hepokoski and Darcy call a
"Mozartian loop." They describe this unique phrase construction
as "a short module (two to six measures)-usually closing with a
cadential progression-which is either elided or flush-juxtaposed
with a repetition ofitself before moving into different material."?
structures to musicological studies of life events surrounding Mozart's
creation of the piece. Elaine Sisman (1997) has offered an interesting
interpretation of the curious plethora of thematic materials in the first
movement based on her investigation into possible connections among the
symphony, The Marriage ofFigaro, and Don Giovanni. It seems to me that
the same explanation can be used to shed light on the extended secondary
zone, which may be thought of as a manifestation of dramatic impulses
through the creation of a prolonged section of heightened tension, which
requires much more radical resolution at the beginning of the closing zone.
68 Hepokoski and Darcy (2006, 377) regard this movement as a difficult in-
stance defying simple classification. Although they do not use the term
"deformation" to describe the delay of the first theme's recapitulation, their
reading of the movement as a Type 3 sonata converting midway into a Type
2 sonata betrays their perception of the movement as fundamentally defor-
mative. Their view of the movement as taxonomically problematic is fur-
ther reflected in their rejection of the twentieth-century notion of a reverse
recapitulation, which simply regards the movement as having the compo-
nents of a regular recapitulation with the primary and secondary themes in
reverse order.
69 Hepokoski and Darcy (2006,80).
 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC
p
EXAMPLE 15. Mozart, Piano Sonata in D Major, K 311,
In K. 311, the short module that generates the loop is a four-
measure idea that ends at the downbeat of m. 4 with an imperfect
authentic cadence; the cadential tonic is then elided with an im-
mediate repetition of the four-measure module in mm. 4-7.
Subsequently, the end of the loop at m. 7 launches into a Type 1
transition via another phrase overlap. (As I have discussed earlier,
Type 1 transitions are typically initiated by phrase overlaps; de-
viation occurs in only a small number of special circumstances.)
Considered individually, the four-measure idea projects a
straightforward quadruple hypermeter. Yet, the phrase overlaps in
the loop construction cause metrical reinterpretations at mm. 4
and 7, thereby separating the strong hyperbeats at mm. 1,4, and
7 by three-measure intervals. As a result, a triple hypermeter-a
rather uncommon event at the beginning of an exposition-is
strongly suggested by the loop construction. This phrase-
rhythmic situation is in dialogue with two related scenarios: a
normative sentence construction (ofwhich the Mozartian loop is
considered by Hepokoski and Darcy as a variant), and a slightly
different Mozartian loop in which the basic module is of a more
unusual length, such as three measures. In the former, the basic
idea and its repetition do not overlap; with no metrical reinter-
pretations caused by phrase overlaps, the hypermetrical profile of
the sentence usually begins with an undisturbed duple or qua-
druple pattern (as we have already seen using Rothstein's rule of
congruencel.I" Example 17, which shows an instance of the latter
70 As I have shown throughout this essay, the continuation unit of the sen-
tence could nonetheless be more complicated hypermetrically when various
types of phrase expansion or surface metrical disturbances occur due to
development/liquidation of the basic ideas. Aside from mm. 112-21 in
Example 4, another familiar example is the opening sentence of the first
movement of Mozart's Piano Sonata in G Major, K. 283.
73
Downloaded from http://mts.oxfordjournals.org/ at University of Manchester on June 2, 2015
L mm. 99-112
situation in Mozart's Piano Sonata in C Major, K. 279, illustrates
how duple/quadruple hypermeter is maintained by a Mozartian
loop. The overall construction is similar to that of K. 311, except
that the basic module ends on the downbeat of m. 3 with a PAC.
As the three-measure length of the module causes phrase over-
laps and metrical reinterpretations to happen at two-measure
intervals, hypermetrical downbeats at mm. 1 and 3 are separated
by only one intervening weak beat, therefore suggesting a duple
pattern. In this comparison, we see how the normative four-
measure length of the basic module in K. 311 in fact leads to an
unusual hypermetrical situation when placed within a
loop construction.
Remarkably, after the opening loop of K. 279 the rest of the
movement by and large reverts to the most typical phrase-
rhythmic choices in each respective action space, as if the
rhythmic peculiarity of the primary theme had never occurred.
The transition beginning at m. 7, as we have seen, "correctly"
matches a rhetorical category (Type 1) with its most commonly
associated rhythmic type (PO+MR). Both the transition and
secondary-theme zones maintain beginning-accented phrases
and subphrases within a largely consistent quadruple hypermeter
unadulterated by elisions. The two metrical reinterpretations in
mm. 13 and 24 are both common occurrences in their respective
contexts; the former punctuates the initiation of the dominant
lock at the end of the transition.i" while the latter highlights the
end of the secondary-theme zone (i.e., the EEC) and sets up the
end-accented materials in the closing zone. The development
(mm. 40-78, not shown in the example), built on materials from
all zones in the exposition but the primary theme, continues to
71 For another example of metrical reinterpretation at the onset of the dominant
lock, see the first movement of Mozart's Piano Sonata in A Minor, K. 310.
74 MUSIC THEORY SPECTRUM 34 (2012)

Allegro con spirito

Primary theme (beginning-accented Mozartian loop)

2 3 4/1 2 3

Transition Type 1/PO+MR

7A .u----f-=l
- ..
--
. ...
-. - -
.. .. ,..
~

tJ
I""

P
,..
r
-..- --, ..-
- --...
- U' .0\.

4/1 2 3 4
~ -#- ; -;,- -;,- -;,- ~ -it-
1 ; ...
A
;. ___ --; .--1*-

.... : ,.. ,..

I""
r_
- - - ==== -
~

~
....I
....I
= .....-.or

~ '! ~ '! ~ -.J-

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Dominant lock (with typical metrical reinterpretation)
11

15 Secondary theme (beginning accented)

~

19

i
.IJ, .-
. -~ ~ _. ... - .. -
etr ~ ~.
- .
etr

J
.... -
,.,
....
.-

~ -- ..,
==
IIII-
....
......I
-- .......
1111"" I""

--=
-
I"" ~ ,..

~~ ~
4
~,: I}:
1
~ r~-,.. ---.....--1*- rt- «-,
2
----.
1 -- -----......
..... l_ r: ,..
-= -
EEC Closing (CO)

C 1 (end accented)

EXAMPLE 16. Mozart, Piano Sonata in D Major, K 311, L mm. 1-39

 PHRASE RHYTHM AS FORM IN CLASSICAL INSTRUMENTAL MUSIC 75

p f
2 3

Codetta (PO restores beginning-accented rhythm)

-------------+~---,

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EXAMPLE 16. [Continued]

Allegro
I

2 2

EXAMPLE 17. Mozart, Piano Sonata in C Major, K 279, L mm. 1-5

steer clear ofloop-like constructions and remains mostly faithful
to quadruple hypermererr? In the recapitulation (beginning at
m. 79), the rather literal transposition of materials from the sec-
ondary-theme and closing zones in the exposition implies that
the distinctive phrase-rhythmic features of the opening loop-
metrical reinterpretations caused by phrase overlaps and the
resulting triple hypermeter-have been banished from the entire
movement between the opening statement and its delayed
return. In this observation, we see that the late recapitulation of
the primary theme is much more than a simple device to play
with listeners' expectations: it realizes a highly distinctive narra-
tive in which a truly "transgressive" element-to use Byron
Almen's term73-is proposed right from the outset, but becomes
curiously suppressed until it is capriciously resuscitated under the
most unexpected circumstances. The resulting narrative-one
that focuses on the fate of the unusual phrase-rhythmic
72 At only two locations is quadruple hypermeter temporarily problematized:
mm. 52-57 and mm. 66-74. In the former, repetition in mm. 56-57 results
in an expansion from four measures into six. In the latter, hypermeter grad-
ually breaks down as the Fortspinnung passage undermines larger metrical
patterns than the notated measure, even shifting the surface meter in mm.
69-73 by a half-measure until a one-and-one-half-measure unit beginning
in m. 73.5 restores the notated meter and quadruple hypermeter at m. 75.
In both cases, deviations from quadruple hypermeter provide no explicit
reference to the opening loop and triple hypermeter.
73 Almen (2008, 7).
characteristics of the loop-thus vividly illustrates Almen's
comic narrative archetype. This interpretation of the movement
as comic in its overall narrative helps direct the analyst's atten-
tion to an abundance of surface compositional details that con-
tribute to the playful character of the movement, such as the
false recapitulation of the secondary theme in m. 58, the play
with different registers in the secondary-theme zone in the reca-
pitulation, and, most wittily, the deceptive move in m. 110,
where the closing material falls glaringly short of a triumphant
conclusion parallel to that in m. 37.
In this and all the previous examples, we have seen that
phrase rhythm provides promising ground for the construction
of stylistic norms, establishment of types, differentiation be-
tween levels of compositional choices, and creation of deforma-
tions through stretching or even rejecting normative procedures.
Analytical decisions on these matters supply a rich source of
inspiration for further interpretations of structure, composi-
tional practice, style, and expression. Phrase-rhythmic analysis
thus complements traditional theories of form-those based on
themes, tonal structures, and formal and rhetorical functions-
to give us an even more informative picture of form in music.
Heeding the implications of Cone's aphorism by rehabilitating
the marginalized elements of rhythm, meter, hypermeter, and
their interaction with phrase structure, I hope that this essay
will help steer the study of musical form in a productive direc-
tion embracing all relevant elements and parameters.
 MUSIC THEORY SPECTRUM
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Music Theory Spectrum, Vol. 34, Issue 1, pp. 51-77, ISSN 0195-6167, elec-
tronic ISSN 1533-8339. © 2012 by The Society for Music Theory. All
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