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How Sonata Forms-A Bottom-Up Approach to Musical Form Yoel Greenberg full chapter instant download
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How Sonata Forms
OXFORD STUDIES IN MUSIC THEORY
Series Editor Steven Rings
Studies in Music with Text, David Lewin
Metric Manipulations in Haydn and Mozart: Chamber Music for Strings, 1787–1791,
Danuta Mirka
Songs in Motion: Rhythm and Meter in the German Lied, Yonatan Malin
A Geometry of Music: Harmony and Counterpoint in the Extended Common
Practice, Dmitri Tymoczko
In the Process of Becoming: Analytic and Philosophical Perspectives on Form in Early
Nineteenth-Century Music, Janet Schmalfeldt
Tonality and Transformation, Steven Rings
Audacious Euphony: Chromatic Harmony and the Triad’s Second Nature,
Richard Cohn
Music as Discourse: Semiotic Adventures in Romantic Music, Kofi Agawu
Beating Time and Measuring Music in the Early Modern Era, Roger Mathew Grant
Mahler’s Symphonic Sonatas, Seth Monahan
Pieces of Tradition: An Analysis of Contemporary Tonal Music, Daniel Harrison
Music at Hand: Instruments, Bodies, and Cognition, Jonathan De Souza
Foundations of Musical Grammar, Lawrence M. Zbikowski
Organized Time: Rhythm, Tonality, and Form, Jason Yust
Flow: The Rhythmic Voice in Rap Music, Mitchell Ohriner
Performing Knowledge: Twentieth-Century Music in Analysis and Performance,
Daphne Leong
Enacting Musical Time: The Bodily Experience of New Music, Mariusz Kozak
Hearing Homophony: Tonal Expectation at the Turn of the Seventeenth Century,
Megan Kaes Long
Form as Harmony in Rock Music, Drew Nobile
Desire in Chromatic Harmony: A Psychodynamic Exploration of Fin de Siècle
Tonality, Kenneth M. Smith
A Blaze of Light in Every Word: Analyzing the Popular Singing Voice, Victoria
Malewey
Sweet Thing: The History and Musical Structure of a Shared American Vernacular
Form, Nicholas Stoia
Hypermetric Manipulations in Haydn and Mozart: Chamber Music for Strings,
1787–1791, Danuta Mirka
Exploring Musical Spaces, Julian Hook
How Sonata Forms: A Bottom-Up Approach to Musical Form, Yoel Greenberg
How Sonata Forms
Yo el Gre e nb erg
1
1
Oxford University Press is a department of the University of Oxford. It furthers
the University’s objective of excellence in research, scholarship, and education
by publishing worldwide. Oxford is a registered trade mark of Oxford University
Press in the UK and certain other countries.
Published in the United States of America by Oxford University Press
198 Madison Avenue, New York, NY 10016, United States of America.
© Oxford University Press 2022
This book was published with the support of the Israel Science Foundation.
Chapter 7 was written with the collaboration of Omer Maliniak.
All rights reserved. No part of this publication may be reproduced, stored in
a retrieval system, or transmitted, in any form or by any means, without the
prior permission in writing of Oxford University Press, or as expressly permitted
by law, by license, or under terms agreed with the appropriate reproduction
rights organization. Inquiries concerning reproduction outside the scope of the
above should be sent to the Rights Department, Oxford University Press, at the
address above.
You must not circulate this work in any other form
and you must impose this same condition on any acquirer.
CIP data is on file at the Library of Congress
ISBN 978–0–19–752628–6
DOI: 10.1093/oso/9780197526286.001.0001
9 8 7 6 5 4 3 2 1
Printed by Integrated Books International, United States of America
To Shlomit, Uri, Roni, Mattan, and Alon, with all my love and gratitude
... there’s a sense
Derived from things themselves as to what’s happened in the past,
And what is here and now, and what will come about at last.
No one perceives Time in and of itself, you must attest,
As something apart from things at motion and from things at rest.
~ Lucretius (De rerum natura, Book 1, 459–63)
CONTENTS
www.oup.com/us/howsonataforms
Oxford has created a website to accompany How Sonata Forms. Material that
cannot be made available in a book is provided here, namely an online Appendix
listing sampled Binary-Form Works, Concertos, and their composers. We
encourage you to consult this resource in conjunction with the chapters.
Introduction: Musical Form and Movement
of the Multitude
How Sonata Forms. Yoel Greenberg, Oxford University Press. © Oxford University Press 2022.
DOI: 10.1093/oso/9780197526286.003.0001
2 T How Sonata Forms
the arena of action from form to formal elements was analogous to Richard
Dawkins’s shift from the level of the organism to that of the gene in The Selfish
Gene. In my subsequent explorations of Dawkins’s oeuvre I learned to appreciate
the freedom gained by the adoption of a reductionist approach to understanding
evolutionary processes. Under a reductionist approach, elements at a lower level
may be appreciated each in its own right, and not only in light of its contribution
to the whole. Their emergence no longer needs to fit in with a larger, usually
problematically teleological picture, and as a consequence, their relationship with
one another becomes considerably more interesting than those among the parts of
a well-planned machine. Instead of working together in a predetermined fashion
toward a common goal dictated or inspired by a coherent whole, low-level elements
that just happened to come together can contradict or compete with one another,
can change their meaning, or can combine and recombine, creating an unstable,
dynamic whole.
The second thread is an almost-immediate corollary of reductionism,
namely, that evolution of order under such circumstances inevitably occurs
bottom up. If the whole is unable to provide the raison d’être of the parts, then
the parts must, through some invisible hand or some process of self-
organization, generate the whole. My exposure to the field of cultural evolution
during my work with Simon Levin in the Department of Ecology and
Evolutionary Biology at Princeton University allowed me not only to appreciate
biological evolution as but one manifestation of self-organization, but also to
glimpse some of the possible analogies and exchanges of ideas between
different self-organizing systems. Biological evolution, ecology, and population
genetics were all valid sources of influence in accounting for aspects of the
evolution of culture.
In 2013 I chanced upon a newspaper interview with the Harvard literary
historian Stephen Greenblatt in an Israeli newspaper. Greenblatt spoke with
passion of the great poem by the first-century bce Roman philosopher and poet
Titus Lucretius Carus (generally referred to as Lucretius), De rerum natura (On the
Nature of Things). Apart from being dazzled by the lucid logic and exquisite
elegance of the selections from Lucretius’ poetry presented by Greenblatt with
infectious zeal, I was particularly struck by one quote:
I could not help noticing the kinship between my own approach and that of a
thinker born more than two thousand years earlier, and when I subsequently read
both Lucretius’ poem and Greenblatt’s account of its afterlife in his book The
Swerve, I felt as if I was being sworn into an eclectic brotherhood of bottom-up
thinkers.
Introduction: Musical Form and Movement of the Multitude T3
generally indeed neither intends to promote the public interest, nor knows how
much he is promoting it. . . . He intends only his own gain, and he is in this, as in
many other cases, led by an invisible hand to promote an end which was no part of
his intention.7
As in The Theory of Moral Sentiments, local incentive creates global order. And as
Smith astutely points out, the actions leading to an ultimate end can be achieved
through complete ignorance of that end.
Among the best known of Smith’s bottom- up-thinking contemporary
compatriots were David Hume and Adam Ferguson. The latter, in a famous quote
from An Essay on the History of Civil Society (1767), eloquently drives home the
difference between “human action” and “human design”:
Every step and every movement of the multitude, even in what are termed
enlightened ages, are made with equal blindness to the future; and nations stumble
upon establishments, which are indeed the result of human action, but not the
execution of any human design. If Cromwell said, That a man never mounts higher,
than when he knows not whither he is going; it may with more reason be affirmed
of communities, that they admit of the greatest revolutions where no change is
intended, and that the most refined politicians do not always know whither they
are leading the state by their projects.8
wealth, or influence of this imaginary landlord is unimportant, for Smith does not
view the process as being driven by any single individual. The real agent of change
is the sum of the parts, or what Ferguson calls the “movement of the multitude,” in
effect an eighteenth-century vision of crowdsourcing, akin to what we all too often
witness today when watching public opinion emerge through multiple utterances
in social media, or observing how the World Wide Web evolves through self-
motivated actions of its constituent parts. Bottom-up, spontaneously ordered
systems are not driven by the dramatic, grandiose actions of individuals as much
as by the incremental and unintentional steps of communities.
Perhaps this is why those who fell under the spell of Lucretius’ bottom-up
philosophy were invariably opponents of great- man accounts of history.
Montesquieu, whose magnum opus, The Spirit of the Laws (1748), refers frequently,
both directly and indirectly, to Lucretius, believed that history is mainly governed
by general causes in which individual humans are just epiphenomena, or
“accidents.”9 Denis Diderot, whose Philosophical Thoughts (1746) has as its motto
a quote from De rerum natura, includes virtually no entries for named people in
the Encyclopédie that he edited together with Jean d’Alembert. A hundred years
later, Herbert Spencer waged war on Thomas Carlyle’s influential “great man”
theory, arguing instead in favor of “the long series of complex influences which has
produced the race in which he appears, and the social state into which that race
has slowly grown.” For Spencer, great men are not cause but effect. Comparing
great man theory to creationism, he directly links bottom-up historical explanations
with diachronic rather than synchronic questioning, criticizing Carlyle for not
“go[ing] back a step and ask[ing] whence comes the great man.”10
Spencer, of course, was an ardent champion of the most famous bottom-up
theory of them all, Darwinism. It was Spencer who coined the expression “survival
of the fittest,” which he applied not only to biological evolution, but also to
philosophy, psychology, ethics, and the study of society in what he called his
“synthetic philosophy.” Darwinist theories, whatever their scope or form, epitomize
the strengths of bottom-up arguments in explaining complexity without a designer.
Through simple, local principles—mutation and natural selection—and a series of
gradual and cumulative steps, Darwin’s evolutionary theory succeeded in
explaining the rise of the most complex organisms without having to resort to the
existence of a designer. Most of the properties of bottom-up systems that I have
been observing are present in Darwin’s theory of evolution: nothing is fixed;
changes are local and incremental, without any knowledge of an end; and the
essence of the explanation is to understand the synchronic in light of the diachronic.
The kinship between the few bottom-up theories I have mentioned above is no
mere afterthought on my part. As Darwin himself admitted, he owed many of his
insights to Adam Smith’s theories, which he had studied while at Cambridge. As
Stephen Jay Gould observed, “the theory of natural selection is uncannily similar
to the chief doctrine of laissez-faire economics.”11 Darwinism soon inspired
bottom-up evolutionary theories on a huge variety of topics. As early as 1863, the
linguist August Schleicher published a pamphlet entitled Die Darwinsche Theorie
und die Sprachwissenschaft (Darwinian theory and language science), in which he
asserted that languages were “organisms of nature” upon which he had used fifty
6 T How Sonata Forms
years of results in historical linguistics to test Darwin’s theory. Although this might
sound the wrong way around, Schleicher’s rationale makes perfect sense from a
nineteenth- century perspective, invoking the bottom- up imagery of
self-organization:
Languages are organisms of nature; they have never been directed by the will of
man; they rose, and developed themselves according to definite laws; they grew
old, and died out. They, too, are subject to that series of phenomena which we
embrace under the name of “life.” The science of language is consequently a natural
science; its method is generally altogether the same as that of any other natural
science.12
***
In this book, I will present a case for bottom-up emergence of musical forms, and
specifically sonata form. I will frequently dip into other fields involving bottom-up
self-organization such as ecological systems, philosophy of human knowledge,
linguistics, and evolutionary theory, not because there is a one-to-one mapping
from any of these to human creativity in general or music in particular, but rather
because I believe that to an extent far greater than we usually allow, form in music
is a bottom-up phenomenon, and hence part of a broad and diverse class of
bottom-up systems. The systems within this class are not isomorphic, but they are
connected to one another through a kind of family resemblance, each sharing
typical characteristics with many other members in the class. I believe that the
ramifications of thinking about musical form as a bottom-up system have not been
fully taken into account in scholarship, which remains essentially top-down, and
hence I hope that turning to other bottom-up systems will both enrich the way we
think about musical form and help us question some prevailing modes of thought
in Formenlehre.
But is this advisable? Should musical phenomena be explained bottom up, or
is not creationism, as the word suggests, the natural way to tackle products of
creativity? After all, a work of music is an act of painstaking design by its composer,
and a deeply personal one at that. But then, so is a work of literature. True, Nicholas
Nickleby did not emerge, but was carefully created, or designed, by Dickens. He
constructed its plot, shaped its characters, and planned the twists and turns of the
plot. None of these can be said to have “emerged,” except in a very general sense.17
Its language, however—grammar, vocabulary, and syntax—and its genre, the
novel, are all emergent phenomena, implicit assets that were available to Dickens
without having been invented by him, or by anyone else for that matter.
Without venturing into the thorny question of music as a language, for the
present purpose we can safely observe an analogy between a certain class of
musical forms and grammar or a literary genre: neither was invented, and both
were made available to composers and authors through a long process of statistical
learning, based on countless encounters with precedents. In short, both are
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