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MUSICAL FORM, FORMS
& FORMENLEHRE
William E. James James
Caplin Hepokoski Webster
FORMS
FORMENLEHRE
&
MUSICAL FORM,
All rights reserved. Except in those cases expressly determined by law, no part
of this publication may be multiplied, saved in an automated datafile or made
public in any way whatsoever without the express prior written consent of the
publishers.
D/2010/1869/28
NUR: 663
5
Contents
Preface
Ludwig Holtmeier 7
Prologue
Considering Musical Form, Forms and Formenlehre
Pieter Bergé 11
Epilogue
The Future of Formenlehre
Pieter Bergé 165
Bibliography 171
7
Ludwig Holtmeier
Preface
T he present volume arose from a symposium on Formenlehre that
took place at the 6th European Music Analysis Conference (Euro-
MAC) in Freiburg, Germany, October 10–14, 2007. The conference—
with ‘interpretation’ serving as its overriding theme—was organized
by the Deutsche Gesellschaft für Musiktheorie (this also being its sev-
enth annual meeting), the Gesellschaft für Musik und Ästhetik, the
Hochschule für Musik Freiburg, and the Freiburger Albert-Ludwigs-
Universität (the conference occupying a central position within the
550th anniversary celebrations of that university). The conference was
also supported by the Société française d’analyse musicale, the Gruppo
analisi e teoria musicale, the Société belge d’analyse musicale, the Soci-
ety for Music Analysis, and the Vereniging voor Muziektheorie (Dutch-
Flemish Society for Music Theory). With 180 speakers and well over 500
participants, the 6th EuroMAC was, one must presume, the most com-
prehensive European conference on music theory ever.
The considerable success of the conference, which even surprised
the organizers, seems to have been based on two main factors. In the
first place, the content of the thematic sessions chosen jointly by the
European societies (‘Analysis and performance practice,’ ‘Text and
music,’ ‘The interpretation of new music,’ ‘The notion of improvisation
in the 18th century,’ and ‘Formenlehre’) seemed generally to have struck
a chord. Moreover, most of the sessions that met with strong approval
at the conference bore witness to some more or less clearly expressed
national ‘tendencies.’ In Germany, the so-called historische Satzlehre (his-
torically informed music theory) currently stands at the center of the
music-theoretical mainstream, while that topic seems only recently to
have gained ground in North American circles. By contrast, the Schen-
kerian sessions were dominated by North American theorists, yet were
also complimented by some European specialists, a group that has been
rapidly developing in the last number of years. In the second place, the
theme of ‘Formenlehre’ stood at the heart of the conference in a manner
that seemed to transcend the ever perceptible departmentalization of
national customs and discourses within European music theory as well
as the rift between North American and European research and peda-
gogical traditions. Music-theoretical discourse on Formenlehre is a truly
international one: it is currently perhaps the only discourse, within the
context of a ‘global’ music theory, that rests on a broad foundation,
anchored by various national traditions.
Our conscious effort to build bridges with North American music
theory was met by some critical concerns in the run-up to the confer-
ence. A few of my European colleagues required an explanation for our
having invited one Canadian and two American scholars to discuss
one of the most ‘German’ of all theory topics at a plenary session right
in the heart of this large European conference. Was it possible that
something was being sold as ‘new’ that was already standard practice
throughout Europe and, especially, Germany? Mild resentments arose
every now and then, but also a rarely admitted feeling of inferiority
in the face of a music-theoretical tradition whose superior productiv-
ity since the end of the Second World War is widely perceived and
recognized, but whose specific form and content remain even today
somewhat foreign to many European music theorists. Nevertheless,
the meeting of cultures at the Freiburg conference was an extraordi-
nary success, because the Formenlehre topic could be discussed on equal
footing, face-to-face. More simply put: beyond all the secret codes and
closed systems, a language was spoken here that was familiar to nearly
all the participants. In the course of this amicable and open meeting in
Freiburg, even isolated, critical reservations gave way to insights. Thus,
Ludwig Holtmeier
the three scholars whose differing ideas are documented in this volume
stood at the center of the Freiburg conference not as representatives of
North American music theory, but as those who, in recent years, have
considerably determined the international discourse on Formenlehre. A
European conference on music theory is first of all a music theory confer-
ence, and only thereafter European.
8
9
I expressly thank William E. Caplin, James Hepokoski and James
Preface
Webster, but also especially Pieter Bergé for his conceiving and orga-
nizing the Freiburg Formenlehre session and for his efforts in bringing
it to publication.
11
Considering Musical Form,
Forms and Formenlehre
Prologue
Pieter Bergé
Prologue
tion on his basic concept of ‘formal function.’ Starting from what he
himself considers to be a lacuna in his well-known treatise Classical Form
from 1998,3 Caplin sets out to elucidate this concept and to adduce argu-
ments for why his ‘theory of form’ is essentially a theory of ‘formal func-
tions’ rather than of ‘formal types,’ or of ‘form’ in general. By focusing
on the theoretical and methodological basis of his analytical system,
Caplin offers an appendix to his theory, albeit one that from now on
should rather be considered its proper preambulum. As such, it surely
will clear up some of the misunderstandings his theory has provoked in
the past decade and make more conscious its essentially rigorous and
highly systematic way of approaching classical form.
James Hepokoski’s essay focuses on the concept of ‘dialogic form.’
This idea had already been introduced in his earlier writings, both in dis-
cussing specific formal phenomena4 and in the general presentation of
his and Warren Darcy’s Sonata Theory.5 In the reception of Sonata The-
ory, however, most discussions have concentrated on the entire network
of compositional options laid out by its authors, especially focusing on
some of its most challenging concepts (such as ‘medial caesura’ and
‘essential expositional closure’). As a result, the fundamental role ‘dia-
logic form’ plays in their theory has largely been underrated, if not fully
neglected. ‘Dialogic form’ is not, however, just another ‘characteristic’
of form. On the contrary, “the deeper sense of form,” as Hepokoski puts
it [>72], is implied in the dialogical status of form itself. His essay in this
volume should therefore be considered a vigorous attempt to reconfirm
the essentially contextual basis of Sonata Theory, and, by extension, of all
theories of form that operate within a normative framework.
James Webster’s position again differs somewhat from that of his
colleagues. The most obvious contrast, of course, is that Webster has
never published a ‘theory’ of musical form and—more importantly—has
never aspired to develop one. He repudiates the constraints that, accord-
ing to him, are inevitably implied in the construction of such a theory.
From his point of view, theories of form tend to include hierarchical
structures that privilege some parameters over others. To overcome
this analytical one-sidedness, Webster advocates a ‘method’ rather than
a ‘theory,’ and parametric ‘multivalence’ rather than parametric ‘con-
straint.’ He urges analysts of musical form to integrate in their formal
interpretations all parameters that, in some way or another, affect the
constitution of a specific work. He invites them not to invent models to
collocate similar compositions, but to concentrate on the uniqueness of
each work by attending to the particularity of how all active parameters
relate to each other in a single piece.
Webster’s approach is not completely new, of course: it belongs to a
long tradition initiated by Donald Francis Tovey and carried on by many
others throughout the twentieth century.6 However, with the emergence
of the comprehensive ‘theories’ by Caplin, on the one hand, and Hepo-
koski and Darcy, on the other, the ‘method’ of multivalent analysis gains
in interest as an alternative approach. As a matter of fact, the concept of
‘multivalent analysis’ is fundamentally irreconcilable with the ambition
to construct any kind of ‘theory’ of musical form. The confrontation of
‘theory’ and ‘method’ thus provokes—here, as well as in a broader theo-
retical perspective—further investigations into the fundamentals of ana-
lyzing musical form. To be sure, varying theories of musical form—those
that start from different assumptions and definitions—inevitably gen-
erate conflict among themselves. And whereas such theories may well
share a belief in the relevance and feasibility of a coherent and systemati-
cally applicable model, this commonality of intent will not prevent them
from disagreeing on fundamental points of methodology and content.
Form, Forms & Formenlehre. The volume is divided into three parts. Each
part begins with an essay in which one of the authors explains and elab-
orates his fundamental concerns about musical form. Part I deals with
Caplin’s concept of ‘formal functions’; part II concentrates on Hepoko-
ski’s idea of ‘dialogic form’; part III is based on James Webster’s plea
for ‘multivalent analysis.’ After each opening essay, the two opposing
authors comment on issues and analyses they consider to be problem-
14
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Language: German
Werner Jansen
1924
Georg Westermann, Braunschweig
Alle Rechte vorbehalten
Copyright 1924 by Georg Westermann,
Braunschweig
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