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

[0.1] This study offers a new perspective for analyzing the sonata forms of Chopin. I show that his sonata-allegro movements are not just "deformations" of the Classical sonata, but instead adhere to principles suggesting a progressive logic. The progression begins with the early sonatas (opp. 4 and 8), which deviate considerably from the Classical template; continues through the compositional fulcrum of the two concertos (opp. 11 and 21); and concludes with the oft-performed and -analyzed late sonatas, opp. 35, 58, and 65. To support my argument, I consider several works by Schubert contemporaneous with Chopin's early sonatas, as well as other works by Chopin, including the First Ballade, op. 23; the Fourth Ballade, op. 52; the Barcarolle, op. 60; and the rarely-performed Allegro de Concert, op. 46. My thesis draws from recent theories of form developed by Hepokoski and Darcy (1997, 2006), Hepokoski (2009), Caplin (1998, 2009, 2011, 2013), Horton (2005, 2011), Schmalfeldt (2011), and Aziz (2013). I will marshal further evidence from Wingfield's provocative review of Hepokoski and Darcy (2008) in favor of categorizing Chopin's late sonatas as Hepokoski and Darcy's "Type 2" (binary) sonatas.[0.2] Viewing Chopin's works through a deformational lens requires a clear definition of "deformation" in early Romantic music. If deformation is a "stretching or distortion of a norm beyond its understood limits; a pointed overriding of a standard option" (Hepokoski and Darcy 2006, 11), then a purely deformational view requires reference to stylistic patterns unique to the early nineteenth century. But, because no unified theory of early nineteenth-century form exists, according to Vande Moortele, "the only way to account for [novel events] is by understanding them as deformations of Classical norms" (2013, 408). Vande Moortele continues:What we are dealing with here is the dilemma between a 'positive' and a 'negative' approach to nineteenth-century form: does one strive to establish a series of types and norms based on what happens in this music itself, or does one measure it against something external? (408).Since Chopin had access to a canon of Classical masterworks,(1) authors often take a negative approach, describing his works in terms of what they are not; Rink, for example, remarks that "Op. 4 and Op. 8 have monotonal expositions, while in Op. 11 the second theme is initially presented in the tonic major rather than the mediant. [The] recapitulation in each work stresses harmonies other than the tonic" (1992, 80). In parallel fashion, Leikin draws comparisons to pre-Classical works, finding allusions to the binary forms of Scarlatti in the partial recapitulations of Chopin's late sonatas: "obviously inspired by the pre-Classical pattern," Leikin observes, these forms "illustrate Chopin's Baroque leanings" (1992, 170).(2) Since the late sonatas do not slavishly follow Classical or pre-Classical forms, these comparisons reduce novel events in Chopin to mere deformations of their supposed forebears. This article, however, digs more deeply to unearth an underlying logic in Chopin's compositional style.[0.3] Polish scholars, in particular Opienski (1928, 1929) and Chominski (1960), have taken a more positive approach, searching for Chopin's overarching logic within a purely Romantic context.(3) Like Leichtentritt (1921), Chominski advocates for a principe cyclique, or sense of motivic interconnectivity, that unites the late sonatas (1960, 225); he also limits the significance of Chopin's concertos to their newfound formation of "cantilena themes" (255). While cantilena themes may appear to be a negligible innovation, they will serve as primary evidence in my argument.(4) Helman, who provides a comprehensive review of the literature on Chopin's sonata forms,(5) explicitly describes a "definite continuity in Chopin's interest in the sonata form" (2000, [4]). …