Chapter 8

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The Small Binary

In this chapter you learn about the last of the basic theme types, the small binary.
Though related to the small ternary in many respects, the small binary differs
from it in some important ways and thus calls for its own treatment here.

The Basics
As its name suggests, the small binary is akin to the small ternary except that it
consists fundamentally of two parts. Indeed, in its external shape, the small binary
resembles the “rounded binary” version of the small ternary in that each of the two
parts normally lasts eight (real) measures, closes with a cadence, and is repeated
(usually with repeat signs, but sometimes written out to introduce variations).
The essential difference between these forms is that the small binary does
not recapitulate its opening materials; the initial basic idea, harmonized by
tonic of the home key, does not return later in the theme.
Unlike the small ternary, whose three sections have unique and well-defined
formal functions, the two parts of the small binary are less distinct in overall func-
tional meaning. Since it is difficult to propose specific terminology for the constitu-
ent parts of the form, they are identified instead by the relatively neutral terms part 1
and part 2. In each part, however, it is usually possible to identify specific functional
components conventionally associated with the sentence, period, or small ternary.

FOCUS ON FUNCTION

Labeling the Parts of the Small Binary. Throughout this text, every
effort is made to interpret formal units in terms of the specific function
that they serve in the temporal unfolding of the musical work.
At times, however, it is not possible to supply a ready-made
form-functional label to a unit, and it becomes necessary to revert to
(continued)
 8 THE SMALL BINARY

Focus on Function continued:

a more neutral term that indicates a generalized sense of temporality.
Speaking of the small binary as consisting of two parts, which are simply
numbered 1 and 2, is an example of where a functional interpretation
says nothing more than that a first part (initiation) is followed by a second 239
part (conclusion).
We might think it feasible to employ the letter names associated
with the small ternary to the small binary, but neither of the two obvious
options is successful, since the letters themselves have functional meanings.
Thus to speak of the two parts of the small binary as A and B would
suggest a structure that consists of an exposition followed by a contrast-
ing middle. Likewise, to label the two parts of that form as A and A´ would
suggest an exposition followed by a recapitulation. Neither of these func-
tional configurations accurately represents what happens in the small
binary theme type.

The small ternary and small binary often differ in how they distribute
their melodic-motivic material. The second part of the small binary usually
begins with ideas that directly relate to the beginning of the first part; such
a motivic connection helps project the sense of bipartite structure as well as
dampen expectations for a subsequent recapitulation of the basic idea. The
rounded binary, on the contrary, usually begins its contrasting middle with
material that differs from the opening idea of the theme.
More than any other theme type, the small binary emphasizes a sense of
structural symmetry by regularly appearing in its normative length of 16 real
measures (8 + 8). Thus the standard phrase deviations of extension, compres-
sion, and the like are infrequently found in the form.
The small binary tends to be used in movements that feature multiple
recurrences of a theme, such as a rondo or a theme and variations. By using
this theme type, the composer can minimize an overexposure of the basic idea,
since that idea will not be recapitulated in the course of the theme itself. The
small binary is especially appropriate for variation forms, where the return of
the basic idea can be reserved to mark the beginning of each new variation.

Part 1
The first part of the small binary is most often built in the same way as the
exposition of the rounded binary, namely, as a simple 8-m. theme. The first
part may remain in the home key or modulate to a subordinate key. Unlike an
A section, the first part may close with a half cadence.

Part 2
The second part of the small binary often begins with a unit, usually four
measures long, that is functionally equivalent to a contrasting middle (B section).
 ANALYZING CLASSICAL FORM

The phrase that follows this B section may express a variety of functions. Four
patterns are typically found:

1. Contrasting middle + continuation. The material within the continua-

tion phrase often relates to some material from the first part.
240
2. Contrasting middle + cadential. The unit is supported by a single
expanded cadential progression.
3. Contrasting middle + new consequent. The unit is constructed like a
consequent phrase (basic idea + contrasting idea) except that the basic
idea is new (i.e., not the one beginning the first part; otherwise, a reca-
pitulation would be created).
4. Contrasting middle + further dominant prolongation. The dominant har-
mony concluding the B section is sustained into the following phrase.
That harmony often resolves deceptively to LK, after which the phrase
concludes with a PAC.

The second part of the small binary sometimes contains no contrasting middle.
In that case, the entire part may only bring continuational or cadential mate-
rial. Occasionally, the second part will take the form of a loosely organized
sentence.
Like the end of the A´ section of the small ternary, the second part of the
small binary always ends with a PAC in the home key.
Figure 8.1 will help you distinguish between the rounded binary (small
ternary) and the small binary.

Rounded Binary Small Binary

Always has a recapitulation Never has a recapitulation

Always has a contrasting middle Sometimes lacks a contrasting middle

A section ends with a PAC Part 1 may end with an HC

May exhibit a variety of grouping patterns Is usually symmetrical (8 + 8)

B section usually begins with new material Part 2 often begins motivically like part 1

FIGURE 8.1 Rounded binary vs. small binary

 8 THE SMALL BINARY

EXAMPLE 8.1 Haydn, Piano Trio in A-flat, H. 14, ii, 1–16

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 ANALYZING CLASSICAL FORM

Example 8.1: the first part consists of a simple 8-m. sentence, whose continuation
phrase modulates to the subordinate key of B major (dominant of the home key).
In all essential respects, then, this first part of the small binary is identical to what
might be found in the A section of a small ternary.
242 Following the repeat of the first part, the second part begins at m. 9 with a
“dominant version” of the opening basic idea. This appearance cannot be taken as
a “recapitulation,” in the sense of a small ternary, because there has been no inter-
vening contrasting middle. Instead, this version of the basic idea leads to an HC
at m. 12, and the 4-m. unit closed by this cadence, with its emphasis on dominant
harmony, projects a clear contrasting middle (B section).
At this point, Haydn could have brought the original basic idea back at mm.
13–14, and we would have recognized that a small ternary form was clearly in
the making. Instead, he forgoes a return of the basic idea (it had just appeared,
after all, in mm. 9–10) and follows the contrasting idea with a 4-m. continuation
phrase, which is modeled on the one from the first part of the form (mm. 5–8) but
adjusted to remain in the home key, as confirmed by the concluding PAC.

SOME HISTORICAL BACKGROUND

Small Binary. The account of the small binary theme type presented here
is inspired by the description of this form given by Erwin Ratz,1 who, more
than any other of Schoenberg’s many renowned students, transmitted and
developed his teacher’s theories of musical form, paying particular atten-
tion to the idea of formal functions. (Schoenberg, himself, does not discuss
the small-binary theme type in his writings, though he probably taught
elements of it to his students.)
Curiously, though, Ratz seems to have misunderstood the fundamental
way in which this form differs from the small ternary. According to him,
“The small binary is differentiated from the small ternary above all by the
absence of a functionally contrasting middle section.”
As we have seen, however, a small binary may very well include a con-
trasting middle. What truly distinguishes the two theme types is the
presence or absence of a recapitulation of the opening basic idea.