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«A Dissertation Submitted to the Graduate Faculty of the Louisiana State University and Agricultural and Mechanical College In partial fulfillment of ...»

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sonata and how they might relate to Brower’s plot schemas. For one, the action zones of sonata form can be seen, much like Brower’s schemas, as bounded and unbounded. S and C zones, for example, might be considered examples of bounded spaces for they are tonally closed. TR spaces, on the other hand, might be considered an unbounded space as it is tonally open. P zones can either be bounded or unbounded.

Future studies might consider whether or not certain zones can correspond to certain plot schemas. I have already started to think of the actions zones in these terms, for as you recall, I have designated a kind of TR as “escape-from-container.” It is my feeling that many other kinds of themes might be understood as having embodied plots.

Third, this study indicates something about the TR process as it is manifested in 19th century works. TR dysfunction is prevalent not only in the works of Chopin, but in the works of many other composers in the generations after him as well. It is my premise that as we enter into the repertory of 19th and 20th century sonatas we encounter TRs that become more and more problematic. Certainly, this is true of the works late-romantic composers such as Bruckner and Mahler. In these large works, the TR modules are the focal points of the musical drama. The relative dysfunction of a given TR is often related to its dimensions. The longer a sonata-movement gets the more problematic its TRs spaces become.

Finally, this study shows us something about the things we consider beautiful and our inherent desire to categorize aspects of art. This is related to disability studies. As of late, much has been made about the relationship between disability and the other arts. This discourse has challenged us to reconsider what we consider beautiful. It has asked us to see the beauty in the deformed or misshapen.

Since the Hepokoski/Darcy model is a metaphor for human action, it is natural to view it through the lenses of disability. Already, the language of the sonata theory model is laden with pathological language, intentionally or not. It is tempting to consider, as I have pointed, Chopin’s Ballades as deformed, misshapen sonatas. Certainly, this would be one lens through which to view these pieces. These works contain dysfunctional TRs and action zones that fail to correspond to generic norms. Furthermore, we

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these works often show some difficulty in upholding important arrivals such as ERC and ESC. I, for one, would welcome a study of the Ballades that systematically examined the works as disabled entities.

Certainly, there is more to be work to be done in the realm of sonata theory, particularly in the area of dysfunctional TRs in 18th, 19th, and 20th century sonatas, TR paradigms, and Brower’s embodied plot schemas. I have considered future projects in this regard. The first one of these involves an in-depth study of Brahms’s type 1,2, and 3 sonatas to identify and classify the dysfunctional elements and TR paradigms in his works. There are considerably more works to examine here than in Chopin’s so such a study will get a much more detailed, comprehensive view. It is my view that Brahms’s dysfunctional TRs share many of the same characteristics of Chopin’s, although I believe that his TRs exhibit new, unclassified symptoms of this condition.

Another such project would involve the detailing of the generic obligations and narrative trajectories in the character pieces of Brahms, Schuman, and Rachmaninoff. It is my view that these works can indeed be understood along the same lines as Chopin’s Ballades. For example, they are highly rotational, utilize many of the same narrative procedures— such as rotational synthesis— can be conceptualized in terms of Brower’s embodied musical plots, and often involve the thematic oppositions that are present in the genre of the of sonata. On the other hand, I tend to find that these kinds of works tend to suppress the TR impulse, especially in Brahms’s late character pieces. In these works, the emergence of any kind of MC is a rarity and invites interpretation. I also believe that these works are involved in the trajectory toward ERC and ESC.

Finally, one could use my ecumenical method to understand sonata-forms of the 20th century such as those that are found in output of such composers as Shostakovich and Prokofiev. This kind of study would prove to be especially compelling because those forms depend less on tonal processes. In fact, a

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Agawu, V. Kofi. 1991. Playing with Signs: A Semiotic Interpretation of Classic Music. Princeton University Press.

Brower, Candace. 2000. “A Cognitive Theory of Musical Meaning.” Journal of Music Theory 44/2: 323Cone, Edward T. 1968. Musical Form and Performance. W. W. Norton and Company.

Newman, William S. 1983. The Sonata Since Beethoven. New York: W. W. Norton and Company.

Rosen, Charles. 1998. The Romantic Generation. Cambridge: Harvard University Press.

Schenker, Heinrich. 1977. Free Composition (Der freie Satz). Trans. and ed. by Ernst Oster. New York and London: Longman.

Schmalfeldt, Janet. 2011. In the Process of Becoming: Analytic and Philosophical Perspectives on Form in Early Nineteenth-Century Music. Oxford University Press.

Chopin and Form in Large Works Leiken, Anatole. 1992. “The Sonatas” In The Cambridge Companion to Chopin, ed. Jim Samson, 160Cambridge: Cambridge University Press.

Petty, Wayne C. 1999. “Chopin and the Ghost of Beethoven.” 19th-Century Music 22.3: 281-299.

Rink, John. Chopin: 1997. The Piano Concertos. Cambridge Music Handbooks. Cambridge:

Cambridge University Press.

________. 1988. “The Barcarolle: Auskomponierung and Apotheosis.” In Chopin Studies, ed. Jim Samson, 195-220. Cambridge: Cambridge University Press.

Rosen, Charles. 1990. “The First Movement of Chopin’ Sonata in B minor, op. 35.” 19th-Century Music 14.1: 60-66.

Samson, Jim. 1989. “Chopin and Genre.” Music Analysis 8.3: 213-231.

Schachter, Carl. 1988. “Chopin’s Fantasy, op. 49: The Two-Key Scheme” In Chopin Studies, edited by Jim Samson, pp. 221-253. Cambridge: Cambridge University Press.

Sonata Theory/Rotational Form Darcy, Warren. 2001. “Rotational Form, Telelogical Genesis, and Fantasy-Projection in the Slow Movement of Mahler’s Sixth Symphony.” 19th-Century Music 25.11: 49-74.

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__________. 1994 “The Metaphysics of Annihilation: Wagner, Schopenhauer, and the Ending of the Ring.” Music Theory Spectrum 16.1: 1-40.

Hepokoski James A. and Warren Darcy. 2006. Elements of Sonata Theory: Norms, Types, and Deformations in the late Eighteenth Century Sonata. Oxford: Oxford University Press.

__________. 1997. “The Medial Caesura and Its Role in the Eighteenth-Century Sonata Exposition.” Music Theory Spectrum 19.2: 115-154.

Hepokoski, James A. 2004. “Structure, Implication, and The End of Suor Angelica.” Studi Pucciniani 3: 241-64.

___________. 2002. “Back and Forth from Egmont: Beethoven, Mozart, and the Nonresolving Recapitulation.” 19th -Century Music 25: 127-53.

___________. 2002. “Beethoven Reception: The Symphonic Tradition.” In The Cambridge History of Nineteenth-Century Music, ed. Jim Samson, 424-459. Cambridge: Cambridge University Press.

__________. 2002. “Beyond the Sonata Principle.” Journal of the America Musicological Society 55.1:


__________. 2001. “Rotations, sketches, and the Sixth Symphony.” Sibelius Studies. In Sibelius Studies, ed. Timothy Jackson and Veijo Murtomäki, 322-351. Cambridge: Cambridge University Press.

__________. 1996. “The Essence of Sibelius: Creation Myths and Rotational Cycles in Luonnotar.” In The Sibelius Companion, ed. Glenda Dawn Doss, 121-146. Westport: Greenwood Press.

__________. 1996. “Sibelius’s Seventh Symphony: An Introduction to the Manuscript and Printed Sources.” In The Sibelius Companion, ed. Glenda Dawn Doss, 239-272. Westport: Greenwood Press.

__________ 1993. Sibelius Symphony No. 5. Cambridge Music Handbooks. Cambridge: Cambridge University Press.

Morgan, Robert P. 2000. “Circular Form in the ‘Tristan’ Prelude.” Journal of the American Musicological Society 53.1: 69-103.

On the Ballades in General Abraham, Gerald. 1960. Chopin's Musical Style. London: Oxford University Press.

Cone, Edward T. 1994. “Ambiguity and Reinterpretation in Chopin.” In Chopin Studies 2, ed. Jim Samson and John Rink, 140-160. Cambridge: Cambridge University Press.

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Kallberg, Jeffrey. 1996. Chopin at the Boundaries: Sex, History, and the Musical Genre. Cambridge:

Harvard University Press.

Kinderman, William. 1988. “Directional Tonality in Chopin.” In Chopin Studies, ed Jim Samson, 59Cambridge: Cambridge University Press.

Krebs, Harald. “Alternatives to Monotonality in Early Nineteenth-Century Music.” Journal of Music Theory 25 1 Leichtentritt, H., 1922. Analyse der Chopin'schen Klavierwerke, Vol. 2. Berlin: Max Hesses Verlag.

Morgan, Robert P. 2008. “Chopin’s Modular Forms.” In Variations on the Canon: Essays on Music from Bach to Boulez. In Honor of Charles Rosen on His Eightieth Birthday, ed. Robert Curry, David Gable, and Robert L. Marshall, 185-206. Rochester: University of Rochester Press.

Niecks, Frederick. 1902. Frederick Chopin: As Man and Musician. Vol. 2 of The Life of Chopin. New York: H.W. Gray Company.

Parakilas, James. 1992. Ballads Without Words: Chopin and the Tradition of the Instrumental Ballade.

Portland: Amadeus Press.

Rawsthorne, Alan. 1973. “Ballades, Fantasy, and Scherzos.” In The Chopin Companion, edited by Alan Walker, pp. 42-72. New York: W. W. Norton and Company.

Rink, John. 1994. “Chopin’s Ballades and the Dialectic: Analysis in Historical Perspective.” Music Analysis 13: 99-115.

Rothstein, William. 1994. “Ambiguity in the Themes of Chopin’s First, Second, and Fourth Ballades.” Intégral: The Journal of Applied Musical Thought 8: 1-50.

Samson, Jim. 1994. Review of Ballads Without Words: Chopin and the Tradition of the Instrumental Ballade by James Parakilas, Music and Letters 75.3: 470-471.

__________ 1992. Chopin: The Four Ballades. Cambridge Music Handbooks. Cambridge: Cambridge University Press.

__________ 1992. “Extended Forms: The Ballades, Scherzos, and Fantasies.” In The Cambridge Companion to Chopin, ed. Jim Samson, 101-123. Cambridge: Cambridge University Press.

___________ 1985. The Music of Chopin. London: Routledge and Kegan Paul, 1985.

Schumann, Robert. 1888: Gesammelte Schriften über Musik und Musiker, 3 vols, ed. H. Simon. Leipzig:

Reclam Press.

Temperley, Nicholas. 1994. “Review of Ballads Without Words: Chopin and the Tradition of the Instrumental Ballade by James Parakilas.” Notes, Second Series 50. 3: 964-965.

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Witten, David. 1996. “The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades.” In Nineteenth Century Piano Music: Essays in Performance and Analysis, edited by David Witten, 117-162. London: Routledge.

Witten, Neil. “The Chopin ‘Ballades’: An Analytical Study.” PhD diss., Boston University, 1974.

The First Ballade Berger, Karol. 1994. “Chopin’s Ballade Op. 23 and the revolution of the Intellectuals.” In Chopin Studies 2, edited by Jim Samson and John Rink, pp. 72-83. Cambridge: Cambridge University Press.

__________. 1996. “The Form of Chopin’s ‘Ballade,’ Op. 23.” 19th-Century Music 20.1: 46-71.

The Second Ballade Korsyn, Kevin. 1996. “Directional Tonality and Intertexuality: Brahms’ Quintet op. 88 and Chopin’s Ballade Op. 38.” In The Second Practice of Nineteenth-Century Tonality, ed. William Kinderman and Harald Krebs, 45-83. Lincoln: University of Nebraska Press.

The Fourth Ballade

Klein, Michael. 2004. “Chopin’s Fourth Ballade as Musical Narrative.” Music Theory Spectrum 26.1:


Suurpää, Lauri. 2000. “The Path from Tonic to Dominant in the Second Movement of Schubert’s String Quintet and in Chopin’s Fourth Ballade.” Journal of Music Theory Vol. 44, No. 2: 451-485.

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Jonathan Mitchell is a native of Pounding Mill, VA and currently resides in Baton Rouge, LA. He received the Bachelor of Arts degree with honors from Millsaps College in 2004, the Master of Music degree in piano performance from Louisiana State University in 2006, and the Doctor of Philosophy in music theory from Louisiana State University in 2012, with a minor in piano performance. Along with having taught music appreciation, aural skills, and music theory as a teaching assistant at LSU, he has also given presentations at the regional level on Sonata Theory and text/motive relationships in the Lieder of Richard Strauss.


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