Beethoven examples for Caplin functions

Beethoven dance examples for Caplin functions

File originally posted fall 2005; last updated 20 February 2007.

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List of Caplin functions for 2, 4, and 8 bar units:

functions list

examples

Caplin functions in table format

The examples below (go to examples) are meant as study and memory aids, to increase facility in using William Caplin's terms for formal functions in phrases and themes (sentence, period, and their hybrids): William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven (New York: Oxford University Press, 1998). I am grateful to Professor Caplin for his detailed comments on the lists and examples presented here (in an email message 10 September 2005).

1-2, 3-4: Two-bar units within the first four bars (of eight) normally function in one of three classes:

basic idea

Note: under "repetition of the basic idea," Caplin distinguishes three types: exact, statement-response, and sequential. I would add "varied" as an alternative to "exact" for cases of minor embellishment.

5-6, 7-8: Two-bar units within the second four bars (of eight) function in a variety of ways, including all those named above plus small model-sequence groups, fragmentation with or without sequence, cadential, and (rarely) new material.

1-4, 5-8: Four-bar units function in one of six classes:

1-8: Eight-bar units function in one of seven classes (I have added an eighth):

Caplin's seven classes make up the list of all the eight-bar functional units commonly found in the music of the Vienna School. Only three from all possible combinations of the four-bar units are missing: 1. presentation + consequent, which I have added because it is occasionally found in social dances: 2. presentation + cadential; and 3. compound basic idea + cadential. For nos. 2 & 3, I prefer to use the "continuation->cadential" option for a continuation phrase.

The examples below are all based on the first eight bars of Beethoven, 12 German Dances, WoO8, no. 2 (composed in 1795, about the same time as the Trios, Op. 1, and the Piano Sonatas, Op. 2). Beethoven's original is under c3 (period with a modulating consequent -- because the perfect authentic cadence is to V, not to I). I have composed a presentation and a compound basic idea, building on Beethoven's basic idea (mm. 1-2), and I have also supplied new consequent, continuation, and cadential phrases. The consequent restates the basic idea literally, after which a cadence follows (c1 below). The continuation starts with a one-bar idea derived from the basic idea, applies sequence to it, then comes to a cadence (c2). The cadential phrase is very close to the continuation except that an unstable I6 already supports bar 5 and thus expands the cadential progression across the entire phrase (c5). All units are labelled to match the lists above.

Note that to make some of these combinations work correctly throughout the eight bars, you will have to delete the pickup note to bar 5.

c1. period