“Joseph Haydn’s Keyboard Music”
THE CONCERTOS:
STRUCTURE AND STYLE
Of all the genres to which Haydn contributed, only two have been deprecated in the past: the operas and the concertos.1 Although the judgments expressed have been based on incomplete knowledge of the works themselves and the inevitable comparisons with Mozart’s contributions, it must be admitted that most of Haydn’s keyboard concertos pre-date his stellar works for solo and accompanied keyboard, string quartet, and orchestra. For the following discussion, the nine authentic concertos are divided into two groups: those created before ca. 1765 (Hob. XVIII: 1, 2, 5, 6, 8, and 10), and those from the mature Esterházy years (Hob. XVIII: 3, 4, and 11).
The cyclic structure of all the keyboard concertos is totally predictable: it always follows the Fast—Slow—Fast plan. As will also be seen in the solo sonatas, the first movements of the early works emphasize marchlike themes and Moderato or Allegro moderato tempos in duple or quadruple meters with either quarter or eighth notes serving as the beat. Of the later works, Hob. XVIII: 3/1 and 11/1 are in the “con brio” style, which begins to appear in the solo sonatas during the 1770s. Concerto form or some modification of it is common to all first movements.
The central movements favor Adagio and Largo tempos and for the most part are in a contrasting triple meter. Formally more diverse than the first movements, their keys strikingly favor the major mode with an equal preference for the dominant and the subdominant. Although all the slow movements are cantilenas, they are of different types: Hob. XVIII: 1 and 6 are in 4/4 with elaborate melodic lines; Hob. XVIII: 2, 5, 8, and 10 are stylistically related movements in triple meter; Hob. XVIII: 3 and 4 are in a more streamlined lyric style than their predecessors; and Hob. XVIII: 11 is an appropriate, synthesized culmination of the above types.
The finales are all in a fast tempo (Presto, Allegro, and Allegro molto) and generally in 3/8 for the early works or 2/4 for the later ones. The 3/8 finale has generally been considered a lightweight movement with little thematic identity, but that is not true of many of these concertos: certainly such a characterization is not appropriate for Hob. XVIII: i and 6, whose finales almost balance their opening movements. All but the two late ones in rondo form (Hob. XVIII: 4 and 11) use some sort of ritornello scheme, at times framed with two sets of repetitions.
It is useful to compare Haydn’s first-movement structures with eighteenth-century concerto forms: the so-called Baroque ritornello, Koch’s now well-known descriptions, and the textbook Classic concerto form (see Table IX-1).2 In the Baroque ritornello form, the contrasts of ritornello (tutti) vs. episode (solo) establish the basic principle. The movement commences with the ritornello stated in its entirety, cadencing in the tonic; each subsequent statement is normally in a different related key and often presents only portions of the ritornello, except for the last, in which the entire section is restated in the tonic. In contrast, the solo episodes are modulatory and feature idiomatic figuration, but may also incorporate ideas from the ritornello. Koch’s 1793 description emphasizes the synthesis of ritornello and what we today would call sonata form.3 His treatise essentially views the concerto as a sonata form with the three solo sections as the exposition, development, and recapitulation and the four tuttis (ritornellos) surrounding them forming an introduction, interludes, or closings. In Koch’s Lexikon of 1802, the tutti between the development and the recapitulation is eliminated,4 and the scheme approximates the so-called Classic concerto form.
All but one of the first movements of the pre-Esterházy concertos conform to one of Koch’s models; Hob. XVIII: 10, uses a binary form molded around a ritornello/tutti-solo structure:
The late concertos Hob. XVIII: 4 and 11 have first movements closer to the late eighteenth-century stereotype; Hob. XVIII: 3/1 bridges the two groups.
OPENING TUTTl/RITORNELLO
In the early concertos the initial ritornello ranges from ten to twenty measures of four quarters and is usually laid out in three to four thematic sections corresponding roughly to the functions of a sonata-form exposition, even though all end on a tonic cadence. Somewhat surprisingly, the ritornellos often begin with ideas in parallel and/or complementary, if not symmetrical, structures. Four of the opening phrases (Example IX-1) use repetitive thematic construction (Hob. XVIII: 1, 5, 8, and 10), even though only one (Hob. XVIII: 10) is also symmetrical. In three of these examples, the stronger punctuation is used, as in some of the sonatas, at the mid-point of the statement rather than its end, which remains harmonically open. Hob. XVIII: 2 and 6 achieve much the same impression through forte and piano dynamic markings, even though they are confined to the half-measure (Example IX-2).
EXAMPLE IX-1. Hob. XVIII: 1/1, mm.1-8; 5/1, mm. 1-5; 8/1, mm. 1-5; and 10/1, mm. 1-8.
EXAMPLE IX-2. Hob. XVIII: 2/1, mm. 1-2, and 6/1, mm. 1-5.
In the continuations, which suggest a T function, greater reliance is placed on Fortspinnung than on repetition. Except for Hob. XVIII: 10, all close in a related key with strong articulations, often ending on full or half cadences and at times followed by a pause.5 Nonetheless, the cadential arrival in the new tonality does not represent a plateau of stability, as Haydn returns decisively to the tonic within a few measures.
The material following the cadence in the related key takes on the S function in Hob. XVIII: 1, 2, and 5, which is enhanced by a lower dynamic level and/or a reduction of the instrumentation. At this point Hob. XVIII: 6 and 8 act more like a retransition, with their allusions to the supertonic just before S or K.
The closing (K), as will be seen in the early solo and accompanied sonatas, is often the most organized shape because of its repetition of harmonically stable thematic ideas. Closure is enhanced by dynamic contrast (Hob. XVIII: 1), by returning to materials from the opening (Hob. XVIII: 6), and by an allusion to the sub-dominant (Hob. XVIII: 5 and 6).
While the details of the structure of the opening tuttis in these early concertos reveal a composer of promise, overall they are disappointing. The main weakness of the larger concertos, Hob. XVIII: 1, 2, and 6, is a structural one due to the stringing together of a series of short ideas. In both the large and the small works the common problem is the combination of moderate tempos and a lack of distinctive thematic material, in contrast to the memorable themes and driving rhythms of their Italian Baroque counterparts.
Hob. XVIII: 3/1, from the 1760s, reveals a greater breadth, coherence, and drive in its opening ritornello; it is Haydn’s first entirely successful synthesis of content, form, and style in these concertos. A comparison of the ritornellos of Hob. XVIII: 1 from 1756(?) and Hob. XVIII: 3 from about a decade later dramatically shows this change. From all external aspects, the earlier concerto should give a feeling of breadth—with its maestoso indication and surface rhythms—in contrast to the faster tempo and high activity of Hob. XVIII:3. Yet, the dynamic changes in Hob. XVIII:1 are chiefly ornamental, and those that might be construed as structural are obscured by the decorative functions; while in Hob. XVIII:3 the dynamics clearly define three of the four structural areas of the ritornello. Regarding the thematic material itself, Hob. XVIII:3 is strongly directionalized in its melodic contour:P is dominated by ascents and descents within the measure, T by descent over several measures followed by single- and half-measure ascents, and S by descents; while K, although beginning with the initial thematic material, synthesizes the melodic contour of the previous functions. The thematic material in Hob. XVIII:1 lacks such patterning and direction. Finally, the harmonic rhythm in Hob. XVIII:3 is more differentiated than in Hob. XVIII:1; in the later concerto each pattern aids in defining a function, while the earlier work’s patterns are less profiled. Thus, in Hob. XVIII:3 Haydn skillfully controls nonmelodic components to provide coherence and contrast. This ritornello reveals a striking stylistic advance, which is also seen in Haydn’s other forms from the 1760s.
The opening ritornello to the next later concerto, Hob. XVIII:4, is less interesting historically. Its overall shape retains the practice of the previous work, with four well-defined functions, some of which approach a form of classic specialization:P is presented in a nine-measure compound phrase structure; T uses one- measure sequences; and K repeatedly outlines the tonic and dominant seventh chords.
EXAMPLE IX-3. Hob. XVIII:11/1.
Another stylistic leap occurs with the famous D-major Concerto Hob. XVIII:11. Its forty-eight-measure opening ritornello is more intricate than and nearly twice as long as its predecessors and thoroughly exemplifies the first tutti/exposition of the late eighteenth-century model. Now the sonata form functions are clearly delineated in the materials presented. The structural articulations are no longer just cadences but closings to each of the functions.6 Since the melodies are so thoroughly conceived in phrase groups, Haydn can extract motives for specialized treatment; i.e., the rhythmic motive in m. 1 is confined to expository functions, but m. 2 is exploited in the development (Example IX-3).
FIRST SOLO/EXPOSITION
The first solo in each of Haydn’s early keyboard concertos begins with the same material that commenced the ritornello. In several instances P is embellished. The new material presented in T often consists of figuration that either continues or builds upon P’s level of rhythmic activity. However, one must admit that in the early concertos, Haydn’s changes are not especially idiomatic, for the figuration is not always of a type tailored for the keyboard, and the alterations are confined to the right hand.
In three examples—one of the least idiomatic (Hob. XVIII:8), the most idiomatic (Hob. XVIII:1), and the Double Concerto for keyboard and violin (Hob. XVIII:6), which has the problem of synthesizing violin and keyboard idioms—one can observe more closely Haydn’s alterations of the opening material for the first solo. In Hob. XVIII:8 the rocket contour of m. 4 from P of the ritornello is altered in m. 20 of the first solo to a broken chord (Example IX-4), a difference more indicative of tutti and solo styles than of string and keyboard;7 throughout the first solo, the left hand contains no idiomatic figuration whatsoever. The alterations in Hob. XVIII:1 (Example IX-5) more effectively distinguish the solo from the tutti:the soloist immediately embellishes P, and stronger idiomatic writing also occurs in T—the right hand arpeggios (mm. 56—59), the broken thirds in the left hand (mm. 61-64), and the arpeggios covering more than three octaves (mm. 71—72). Immediate embellishment of P is also found in the Double Concerto Hob.
EXAMPLE IX-4. Hob. XVIII:8/1, mm. 4-5, 20-21.
EXAMPLE IX-5. Hob. XVIII:1/1, mm. 40-48 (cf. Example IX-1).
XVIII:6 (Example IX-6), but here we can see that Haydn does not distinguish idiomatically between the keyboard and violin soloists; even the figurations are abstract rather than being tailored to the idioms of the individual solo instruments. In all three examples, the alterations to the material of the first solo provide a higher level of rhythmic activity than that of the opening tutti and are therefore structural in conception.
Throughout the concertos of the first group the functions in the first solo are generally more strongly defined than in the first ritornello:P materials are extended; T becomes specialized; and S and/or K at times display structures highly organized through repetition, which enhance the feeling of closure. Despite this overall profile, one can distinguish without regard for chronology two different approaches: Hob. XVIII:2, 5, and 10 have a sonata-like continuity, i.e., the first solo is equivalent to a solo sonata exposition; while the discreet orchestral interjections in Hob. XVIII:1, 6, and 8 bring to mind the solo sections of older Baroque concertos. Yet these categories are not exclusive, for within some works of the first group dialoguing may take place toward the end of the solo, and orchestral interjections do occur.
In the first solo of the earliest mature concerto, Hob. XVIII:3, one again finds a dramatic change—now with regard to the idiomatic treatment of the keyboard instrument (Example IX-7). Although P is altered immediately and in a manner not unlike that of the early works, in T a variety of ideas peculiar to the keyboard—broken chords, rapid parallel thirds, and sextuplet finger swirls—are presented, but still only for the right hand. Perhaps as a result of this partial immersion in idiomatic writing, the solo is conceived in a new manner, becoming less and less like the ritornello. The orchestra plays a secondary role throughout, lacking even the interjections of the earlier works; indeed, it could be silent during the entire first solo, for the players only double the left hand, support the cadences, sustain the broken chords, and harmonically enrich the keyboard part. This strong separation of tutti and solo activity is reminiscent of Baroque practice.
EXAMPLE IX-7. Hob. XVIII:3/1, mm. 27-56.
The first solo of the following G-major Concerto Hob. XVIII:4 takes the same general approach as its predecessor; but in the late D-major Concerto Hob. XVIII:11 these structural tendencies are cast aside. Now the keyboard seems less couched in flashy and figural writing, and the melodic material is immensely well suited to the harpsichord; the overall structure closely follows the opening ritornello, giving the general impression of a second exposition; and the relationship between the keyboard and the orchestra is developed with dramatic results. By using half a dozen different textures and colors, Haydn underlines the structural functions (see Table IX-2). The overall impression given by this solo is, therefore, very close to the late eighteenth-century model. It has been suggested that this work was modeled on Mozart’s concertos, which were being performed in Vienna at the time of its publication by Artaria (1784), but there is evidence that Hob. XVIII:11 may date from the 1770s.8
SECOND TUTTI/RITORNELLO
The tutti that follows the first solo is one of the few remnants of the Baroque concerto that cannot be associated in any way with sonata form. The first solo is always longer than the opening tutti, in part because of its tonal function; and the second tutti is considerably shorter than the first. To some degree these changes in length reflect the function of the second tutti within a given movement as a whole.
In the six early concertos, the second tutti is always between one-third and one-half the length of the opening tutti. The second tuttis of Hob. XVIII:1, 2, 6, and 8 have a strong K function that reinforces the related key, begins with material other than P, and ends with the first tutti’s closing. They are thus orchestral continuations of the previous solo. The two remaining early concertos offer quite different approaches. In Hob. XVIII:10, a movement enclosed by repeats, the second tutti acts like a development (after the double bar), as it begins with the repetition of the opening measures of the first tutti in the dominant. The second tutti of Hob. XVIII:5 is a compressed version of the opening ritornello, presenting material from only P and K.
While in Hob. XVIII:5 it is difficult to make a strong case for Haydn’s balancing the second tutti with the first, for two of the Esterházy Concertos, Hob. XVIII:3 and 4, such a hypothesis cannot be dismissed. They too begin with the initial material, but this time their expanded lengths of 80 and 75 percent respectively of the opening tutti could be perceived as an effective counterpart.
Although the second tutti of Hob. XVIII:11 is slightly more than one-third the size of the opening, this work reveals the most sophistication. Harmonically, this fourteen-measure interlude moves from the dominant to the submediant, the key in which the next section begins, using the motive from P that is to be exploited so fully in the ensuing section. Thus, it serves as an organic extension of K as well as a transition to the second solo.
SECOND SOLO/DEVELOPMENT
During the mid-century period the second solo begins to take on a double role:from the Baroque perspective it is the fourth major unit of ritornello form, while according to Koch and the textbook models it takes on characteristics of a development section, with its tonal activity and motivic play. Even among Haydn’s earliest concertos one can find important distinctions with regard to the differing functions of the first and second solo sections, and in the mature works the second solo is more specialized and segregated.
The second solos of the six early concertos tend to be about one-third longer than the first solos, and all commence with the same material as the opening tutti and first solo but in a related key:five in the dominant and one, in Hob. XVIII:6, in the submediant. After the statement of the initial material—with little if any alteration of the original—a tonal shift takes place for the five in the dominant key:to the tonic in Hob. XVIII:1, 8, and 10; and to the submediant—the ultimate tonal destination of all of these development sections—in Hob. XVIII:2 and 5. The assertion of the tonic immediately after the beginning of the development may seem a self-defeating move, but it was apparently not uncommon during the mid- century; it appears in development sections of a number of Haydn’s early works in different genres as well as in works by other Continental composers.9 After these initial tonal shifts, Haydn continues with a large modulatory section, which appropriately occupies the middle of this central solo.
Haydn’s handling of this modulatory section is always skillful and adumbrates the kind of intellectual approach to structure for which his works are so admired. In contrast to the early solo and ensemble keyboard works, often with miniature proportions, these extended excursions offer a special opportunity for examining another aspect of Haydn’s early style: the descending and ascending patterns of the bass line, which lend direction to the harmonic organization.10 In all but one of the early concertos, the small-dimension harmonic movement revolves around the sub-mediant; Hob. XVIII:2, probably the earliest concerto, wanders somewhat aimlessly but becomes more focused after the establishment of the submediant.
In terms of thematic development, these modulatory sections for the most part contain new material, while previously presented ideas are often used to frame the entire second solo and in some instances enhance tonal stability by occurring at the same time as the main tonal area is established; e.g., in Hob. XVIII:1 and 6, the arrival in the submediant is coordinated with the return of S. In the developments of the smaller concertos Hob. XVIII:5 and 8, a previous idea (a motive from P) is treated sequentially. In the case of Hob. XVIII:5 (Example IX-8), P is divided between the keyboard and the first violin; in the course of its five measures, it is reduced from a half- to a quarter-measure unit. Such dialoguing occurs elsewhere only in Hob. XVIII:10, but without any unit reduction or reference to previous material. Surprisingly, not even in the Double Concerto Hob. XVIII:6 do the two soloists exchange motives from previous material.
The second solo of the first mature concerto, Hob. XVIII:3, has some similarities to the previous six works:it begins with material from the opening of the solo and moves by its seventh measure to the submediant, although here it is not the principal tonality of the section. While one might have expected Haydn to increase the level of solo/orchestral interplay, the solo remains the dominating force, with the orchestra providing only supporting accompaniment. Yet this development section is far in advance of the early works, for here Haydn concentrates on phrase rhythms in different dimensions. As can be seen in Example IX-9, the development is in six sections, with the rhythmic acceleration reaching a plateau in the fourth and longest section, a stable fifth section, and a final section in which the surface rhythmic acceleration is coordinated with a return to the highest pitch (d’”) then available to Haydn on the keyboard.
Hob. XVIII:4 consolidates the accomplishments of the previous concerto:the development carries over characteristics of the earlier work—the rhythmic accelerations, the total dominance by the keyboard, the idiomatic figurations, and the return of material from the solo in the development—but does not work them out as fully or as skillfully as does its predecessor. For example, the return to material from the first solo (m. 119) does not prepare for the final burst of energy that closes the second, but merely defines the two major sections of the development. The rhythmic drive in general is only provided by surface and harmonic rhythms, and is not combined with sophisticated phrase rhythms ordered strategically, as in Hob. XVIII:3.
EXAMPLE IX-8. Hob. XVIII:5/1, mm. 45-53.
The final work in D major, Hob. XVIII:11, is the only one saturated with thematic development. In the discussion (pp. 254-55) the first solo and the second tutti, it was pointed out that Haydn had already introduced the motivic activities of the development section by highlighting the second measure of the opening material. The development itself begins not in the dominant but in the relative minor, previously seen only in the Double Concerto Hob. XVIII:6. As expected, P commences the section, but here the entire opening phrase is stated before the second measure is developed in twelve measures of two- and one-measure groups moving up and down through the string section. The return to the tonic in the seventh measure (m. 133) to commence the actual motivic working-out is an antiquated gesture prominent in the works of the 1750s and early 1760s.
EXAMPLE IX-9. Hob. XVIII:3/1.
The second section presents one of the K themes, while the third combines these elements with another cadential idea used in both the previous tutti and the solo sections. The three sections are also strongly distinguished by their harmonic rhythmic patterns (Example IX-10)11 and articulations. Overall, this development brings to mind the thematic reduction and variation for which Beethoven has been so highly touted.
THIRD TUTTl/RITORNELLO AND SOLO/RECAPITULATION
The third internal tutti is found in only five of the six early first movements; when it occurs, it is often the briefest, but usually only slightly shorter than the preceding tutti. In all but Hob. XVIII:8, where it is recapitulatory, it functions as a further closing to the previous solo or as a retransition from the main tonality of the development to the preparatory dominant for the recapitulation.
EXAMPLE IX-10. Hob. XVIII:11/1, mm. 127-49, 150-55, 156-74.
Of the later group, Hob. XVIII:3 continues the practice found in the earlier works with its closing/retransition function. In contrast, both Hob. XVIII:4 and 11 take as their model Hob. XVIII:8: the orchestra provides the structural downbeat for the recapitulation with P in the tonic, after which the solo reenters as an echo of its material. With this emphasis on the recapitulation of P together with the tonic key, Haydn underlines the relationship of first-movement concerto form to that of the sonata.12
The third solo can be considered from the perspective of three functions:recapitulation, development, and closure. The first implies parallels with the opening ritornello and solo, the second with the activities of the second solo; and the third is characteristic of the end of the opening tutti, first solo, and second tutti.
The third solo functions as a tonal and thematic recapitulation in all the early concertos. While these third solos may have other parallels with the opening ritornello and solo, they are not strong enough to have the effect of a recapitulation in the same sense as in Haydn’s solo and accompanied sonatas:the remainder of the material is either presented in a different order or excluded to a degree not found in the other keyboard genres before the late 1780s.
Of the early concertos, development is emphasized in the third solo of Hob. XVIII:1, 6, and 10. In Hob. XVIII:10 the developmental aspects of the second solo are immediately continued with the reestablishment of the tonic key; the dialoguing of the keyboard and the first violin develops the principal material in sequence for six measures. On the other hand, in Hob. XVIII:1 and 6 traits of the exposition as well as the development are stressed within the recapitulation. In Hob. XVIII:1, T begins with a striking new tutti chord that follows P,13 the closing to T is replaced by further development, and S—similar to the second solo—is stated in the minor mode. Next follows the first recapitulation of the contrasting material from the first tutti (mm. 24—31). Something quite similar also takes place in Hob. XVIII:6, where S is a restatement of the minore presentation in the development. Also of special interest here is the alteration that takes place in T:the violin and keyboard exchange figurations from the exposition.
If the beginning of the third solo emphasizes recapitulation, the central section development, the last—as expected—is concerned with closure. Since a sense of conclusion is present in the opening ritornello—which ends in the tonic—and often some of this material is repeated in the subsequent solos and tuttis, it becomes almost imperative for Haydn to enhance closure in the final solo and tutti. Only Hob. XVIII:6/1 uses a cadenza to underline this function. Other means are more prominent in these early works:the introduction of the subdominant; greater emphasis on cadential formulas; and an increase of textural activity between the solo and tutti. The emphasis on cadential formulas and activities is the most pervasive—nowhere is this function isolated in the final orchestral tutti; rather closure begins some time before the end of the third, recapitulatory solo. It may be effected by repetition of cadential material, such as the threefold one in Hob. XVIII:1 and 6; by preparation for the cadence beginning nine measures before the conclusion of the solo in Hob. XVIII:10; or by expansion of the solo section after the statement of previous materials associated with closure earlier in the movement, as in Hob. XVIII:5 and 8.
The third solo of the first mature concerto, Hob. XVIII:3, continues to use the same structural principles as in the previous ones, with a continued emphasis on idiomatic figuration. Otherwise, it does not demonstrate any significant departures from the earlier group. That, however, does not hold true for Hob. XVIII:4 and 11. In both instances, the recapitulation begins with the previous orchestral tutti, as in Hob. XVIII:8, and is merely emphasized by the keyboard’s repetition of P. In Hob. XVIII:4, after this double statement of P, development is literally resumed, resulting in the recapitulatory statement’s being almost parenthetical (Example IX-11); indeed, the third solo is almost entirely given over to idiomatic figuration, buttressed by P, T—presently played by the keyboard—and K from the opening ritornello, which now leads to a cadenza before the final orchestral close. The brief development in the recapitulation of Hob. XVIII:11 occurs just before the cadenza and again focuses on the continued working-out of the second measure of P, which is again presented in stretto with the keyboard and orchestra overlapping (cf. mm. 104-106) by a single beat (Example IX-12). Nevertheless, the overall effect is one of a recapitulation, as close as Haydn comes to the late eighteenth-century model.
FINAL TUTTl/RITORNELLO
The sole function of the final tutti is to bring the entire movement to a satisfying conclusion. In addition to repeated cadences, there is a return of material that operated as K either within or at the conclusion of the ritornello. It is only in the later works (Hob. XVIII:3, 4, and 11) that Haydn consistently interpolates a solo cadenza as part of the final tutti.
Regardless of the period of their origin, the first movements of these concertos mix ritornello with sonata principles in a manner best described by Koch. The earlier works contain a number of different solutions toward this fusion. One is enclosed by repeats, thereby retaining the basic binary shape of sonata form; the other five works hint at a sonata structure through the embellishment—if only temporarily—of a new key area in the opening ritornello, the expository nature of the first solo, thematic development in the second solo, and a tonic recapitulation in the penultimate tutti or solo. In the later Esterházy Concertos the first movement has a different process of growth. Hob. XVIII:3 is thematically the most homogeneous and idiomatic of them all; its spirit also recalls the old Baroque model. Hob. XVIII:11, made up of the most diverse material, is the most sophisticated and advanced. Hob. XVIII:4, whose chronological placement is between these two works, is a compromise between these two extremes. The first movement of each of these mature concertos informs us of something different regarding Haydn’s artistic development, and all three are thoroughly satisfying.
EXAMPLE IX-11. Hob. XVIII:4/1, mm. 137-50.
EXAMPLE IX-12. Hob. XVIII:11/1, mm. 235-40.
Among the early concertos, the slow movements of Hob. XVIII:1, 2, and 6 employ the ritornello principle. As in many slow movements in other types of compositions, Hob. XVIII:1 and 2 lack a structural downbeat to articulate the recapitulation; although in both concertos the initial material is restated in subsequent solos and tuttis, it never returns in the tonic after the opening ritornello and first solo. The effect is a structure more binary in orientation. Like their first movements, both have a certain diffuseness attributable to the multiplicity of ideas; again, Hob. XVIII:1 seems slightly more cogently organized than Hob. XVIII:2.
The Double Concerto Hob. XVIII:6 is quite another matter, as the tutti and the solo themes are different. The statements in the expected tonic, dominant, and again tonic of the initial material of the first tutti ritornello provide structural pillars for the solos. The solo, however, repeats its initial material only in the development, leaving the third tutti to provide the recapitulatory downbeat. Tutti/solo distinctions are further underlined in the orchestra by the use of arco in the tuttis and pizzicato in the solos. On the other hand, Haydn minimizes the importance of the tutti by choosing melodic material that lacks any of the memorability associated with ritornello themes. Perhaps the unusual approach to this slow movement is a result of an attempt to accommodate the material to two soloists in the context of a slower tempo.14
Hob. XVIII:5/2 and 10/2 have two traits that distinguish them from the above group:they each begin with a solo section; and the primary role of the tutti is to close each part. In fact, the orchestra’s participation is minimal. Hob. XVIII:8/2 is marked by a great deal more tutti/solo dialogue. The orchestra not only articulates the beginning and end of the two sections but also converses with the solo, closes and connects phrases, and begins the recapitulation with the opening material, which is then taken up by the keyboard.
The slow movements of Hob. XVIII:3, 4, and 11 are remarkably different from those of the earlier concertos in that they emphasize simple and memorable lyricism. Indeed, one might be tempted to say that of Haydn’s keyboard works written from ca. 1760 to 1785, these compositions are among the most inspired (Example IX-13). Apart from their lyricism, two other important factors contribute to their success. First, Haydn holds in reserve their highest pitches until late in the movement:d’” in Hob. XVIII:3, c’” in 4, and f’” in 11. In Hob. XVIII:4 the general tessitura is fairly low until the end; and in Hob. XVIII:11 Haydn uses an octave leap to reach f’” (m. 53), the highest pitch on the normal keyboard during the 1780s and one not expected within the context of a movement whose principal key is A major (Example IX-14).15 Second, the phrases and subphrases are expanded upon repetition. In Hob. XVIII:3 the opening six-measure material is restated in lengths of eight (twice) and ten measures; in Hob. XVIII:4 the second and third subphrases add a single measure to each repetition; and in Hob. XVIII:11 the second subphrase is expanded from four- to five- to eight-measure statements. The result is a new structural breadth.
EXAMPLE IX-14. Hob. XVIII :11/2, mm. 53-58.
All three later slow movements have totally different approaches to the growth process. In Hob. XVIII:3 the orchestra begins and closes the movement, framing the binary structure for the solo material, of which only the first half is repeated. Hob. XVIII:4, which begins with a lengthy tutti, is a ritornello/sonata form without development; tuttis occur at the ends of the exposition and the recapitulation, but at no point during the movement is P presented in a key other than the tonic. Hob. XVIII:11 is much like Hob. XVIII:4, except that developmental solo material is introduced before the tutti-initiated recapitulation. The rearrangement of phrases and subphrases and the delay of the restatement of “b,” however, lends to Hob. XVIII:11 a high degree of structural expectation:
As Hob. XVIII:11 demonstrates, the hallmark of these later slow movements is a well-articulated form permitting even its complexities to emerge with simplicity and directness. It was precisely this combination that made Haydn’s style so palatable to both connoisseurs and amateurs, a characteristic that comes to the fore in the finales of these concertos as well as in the solo sonatas beginning ca. 1780.
The finales of the early concertos are of two types:those that approximate the first-movement ritornello form (Hob. XVIII:1, 2, and 6); and those with a binary structure (Hob. XVIII:5, 8, and 10).16
In Hob. XVIII:1, 2, and 6, parallels with the first movements go beyond the similarity of a structural stereotype:all have opening tuttis that recall first-movement dimensions, and each tutti touches on a related key—the dominant in Hob. XVIII:2 and 6 and the subdominant in Hob. XVIII:1.17 The first solos, as expected, all begin with the same material as the tutti, but in Hob. XVIII:1 and 6 they are embellished. In Hob. XVIII:2 the effect of the structural downbeat at the beginning of the solo is lessened in another way:the closing of the opening tutti uses P. Within all three concertos, the first solo has substantial T sections and references to the dominant minor; the second tutti has a closing function; and the second solo/development commences with P. In the last section, Hob. XVIII:1/3, as does its first movement, almost immediately returns to the tonic, with the tutti stating the opening theme in its original form; all three finales continue with extensive modulatory areas using bass patterns not unlike those in their first movements. In Hob. XVIII:1 and 2, the third tutti functions as a transition/closing; in Hob. XVIII:6 it serves as the beginning of a recapitulation, and the solo follows in the minor with the idiomatic variant found at the beginning of the second solo/development, a procedure that recalls the first movement. The third solo of Hob. XVIII:1 also begins in the minor with an idiomatic version—perhaps in this case to offset the unaltered tonic tutti restatement in the ninth measure of the development. Otherwise, the remainder of the third solo may reflect the first solo (Hob. XVIII:1), be a synthesis of the first ritornello and solo (Hob. XVIII:2), or select and scramble thematic materials to enhance closure (Hob. XVIII:6). Only Hob. XVIII:2 alludes to the subdominant to underline its conclusion.
Hob. XVIII:5 and 8 begin with open-ended tuttis that are relatively short and perceived as the antecedent phrase of the solo’s consequent, with the solo subsequently continuing to perform the usual sonata form functions (Example IX-15). Both finales stand apart from their ritornello counterparts and from mid-century sonata-form practice by beginning the development section with something other than P and not moving to the related minor; Hob. XVIII:8 commences with K, while Hob. XVIII:5 recalls T but in the tonic. As expected, all the developments depend rather heavily on sequences and dialoguing.
Despite the relative simplicity of these early finales, Hob. XVIII:10 shows a rather sophisticated use of K with three levels of closure:one for the tutti, one for the exposition (first solo) and development, and one for the recapitulation, which contains references to the subdominant and gathers the previous K material together.
The result is an increase in anticipation of the conclusion to the finale.
Of the three later concertos, the finale of the earliest, Hob. XVIII:3, continues to use the big ritornello form found in three of the earlier works, but again—like its first two movements—it has little in common with its predecessors. Rather, the closest parallel is found in its own first movement:the material of the tuttis and solos, except for the initial idea, is totally different; the solos emphasize idiomatic figuration; and some of the same sophisticated approaches to rhythm are present.
EXAMPLE IX-15. Hob. XVIII:8/3, mm. 1-12.
To some extent, the separation of solo and tutti is further enhanced in the finale, for the solo/development ignores P material.
The ritornello theme of Hob. XVIII:3 is appropriate for a rondo, but it is not until the finales of the last two concertos, Hob. XVIII:4 and 11, that the synthesis of rondo style and form is completely realized. Since the rondo and ritornello forms are to some degree confused and especially problematical in some of Haydn’s works, it may be helpful to define them:The rondo theme is always closed, and in its function as a reprise, it recurs in the tonic, while the episodes are in a contrasting key and/or mode. By contrast, the ritornello, except for its first and final statements, is open and usually in a key other than the tonic, while the episodes often provide modulatory links between the ritornellos/tuttis.
It should be emphasized that in his rondo form, Haydn continues to practice the development of a single idea. Therefore, the “textbook” definition that the episodes of a rondo must contrast melodically with the reprise does not hold true; the rondo is a key-area form, and every reprise and episode may be based on the same material. In the 1780s, the German music historian Johann Forkel confirmed the key-area principle of Classic forms and, in fact, stated that the best rondos are those based on a single theme.18
The finale of Haydn’s G-major Concerto Hob. XVIII:4 entitled “Rondo:Presto,” is such a Classic rondo form, as illustrated in Example IX-16. The rationale for B beginning at m. 84 is that the new key of D major is established after a lengthy T, which closes with material that includes ideas from all the major sections of the form. The first statements of both A and B conclude with a pause in all voices and are closed sections followed by transitions that end with open punctuations. The second transition (m. 106) begins with the A material in E minor and leads with a Haydnesque up-beat to four measures of A (mm. 125—28) in G major (Example IX-17). The central episode, C, is well articulated by a sudden shift to the tonic minor; one may be led to believe, because of the parallel shift to the minor and the succeeding concentration on the second measure of the primary theme (Paxn), that this episode is another transition, but the more extensive thematic development confirms its true function.
Some may be reluctant to identify a second A section of only four measures (mm. 125-28). Malcolm Cole viewed this movement mainly in terms of thematic activity and described a central couplet as “a genuine development” touching on E minor (m. 106), G major (“a false recapitulation,” m. 125) and G minor (m. 129), eventually coming to the “real reprise” (m. 162).19 However, a false recapitulation is usually not in the tonic key, and there are many rondos from the period with equally abbreviated refrains. Furthermore, Haydn’s long preparation for this return in the second transition (m. 106) is perhaps of more articulatory importance than the length of A’s return. If this lengthy preparation is compared with the nonexistent preparation for B, the difference becomes even stronger; Haydn thrusts into the first episode immediately and without pause after the closing to the first T. The third refrain (m. 162) has an even stronger preparation, which underlines its recapitulatory function.
The emphasis on a single theme and its motivic and tonal development casts this movement into the realm of the sonata-rondo. Here, the central development section is not limited to the central episode (m. 129), but actually commences with the second transition (m. 106) and concludes with the recapitulation (m. 162). If the movement is seen as a sonata form, the reprise at m. 125 is another instance of returning to the tonic during the course of a development section. If this movement does date from the mid-1770s, it ranks as one of the earliest and most complex examples of its type in Haydn’s output.
EXAMPLE IX-16. Hob. XVIII :4/3.
The rondo themes of both Hob. XVIII:4/3 and 11/3 have a rhythmic and intervallic simplicity associated with the contradance and allied folk idioms, but their shapes are relatively complex. The first four measures of Hob. XVIII:4/3 are notable for their motivic construction:the rhythm of the accompaniment of m. I becomes the principal material of m. 2 (Example IX-18). That permits a reinterpretation of the theme by changing the placement of the Hauptrhythmus in the musical fabric, beginning in m. 110. On a slightly larger level, Haydn divides the two two-measure groups to be worked out in the various sections:some concentrate on the first two measures (ax) and others on the last two (ay).
EXAMPLE IX-17 - Hob. XVIII:4/3, mm. 106-34.
EXAMPLE IX-18. Hob. XVIII:4/3.
Greater complexity marks the rondo theme of Hob. XVIII:11 (Example IX-19):it contains three elements (xyz) treated in such a way as to produce an acceleration that continues through the conclusion of the transition to the episode. The first statement consists of a six-measure group of three two-measure cells, the third being a repetition of the second. The two-measure cells of the next six measures are perceived as still faster because of the more active intervallic shape of z and the surprise ending with x2. Beginning with T at m. 25, x and z are further worked out in two four-measure groups and then compressed into three two-measure and finally into half-measure units (m. 40); this acceleration is underlined by surface rhythmic intensification and the elimination of z2, which provided moments of repose.
EXAMPLE IX-19. Hob. XVIII:11/3, mm. 1-12, 25-41.
EXAMPLE IX-20. Hob. XVIII:11/3, mm. 60-77.
The same technique is used even more effectively in mm. 51—77, comprising B and a closing section. Beginning with six measures in the dominant that duplicate the material of the reprise, a downward scale of rushing sixteenths leads to a large closing section, which commences with two four-measure groups and concludes with four two-measure segments. In the four measures beginning with m. 60 (Example IX-20), m. 62 is an intensification of m. 60, and mm. 61 and 63 have more movement than do mm. 60 and 62; beginning with m. 69 the previous motivic sequence is reordered, the subphrase is compressed, and the surface rhythm is intensified. This activity is further enhanced by the syncopations in the second violin, the repeated eighth notes in the bass, and the pedal point broken by the harmonic motion in the horns.
The second episode, C (m. 78), consists of two parts:the first, like its counterpart in Hob. XVIII:4/3, is an unusually strong development notable for its increased rhythmic activity on several levels; while the second is an effective minore that derives from the harmony of the reprise. The second reprise (m. 201) is delayed until after the second episode and is limited to a single thirteen-measure statement; as in the rondo of Hob. XVIII:4, its brevity is compensated for by a lengthy preparation. The third episode, like the development of the first movement of XVIII:11, begins in B minor. The rondo closes after a restatement of the reprise and a transition to a lengthy coda. Thus, Hob. XVIII:11/3 is an irregular rondo in six sections:A-B(A)-C-A-D-A-Coda.
This finale is best known for its folklike material of eastern European derivation, as indicated by its title: “Rondo all’Ungarese.”20 The folk elements are strongest in the first transition, with its acciaccaturas (see Example IX-19), the demonic whirling character of the closing to the episode (see Example IX-20), and the minore (m. 150). Such a use of folklike materials is not peculiar to Haydn and was not an uncommon practice for Classic concerto finales. Indeed, Hob. XVIII:11/3 gained its popularity not so much from Haydn’s skillfulness as from its modishness, for it fulfilled the expectations of a wide public.
Thus, Haydn only distinguishes the finales of the early concertos from their first movements with regard to their meter; in terms of dimension, structure, and style, their overall profiles are remarkably similar. In the last three concertos, however, the finale gains a stronger identity; beginning with Hob. XVIII:3, it has the character of a duple-metered contradance. It is not only this new style but also the rondo structure and sense of movement that bring to Hob. XVIII:4/3 and 11/3 a real finale character. Their exuberance is totally appropriate to the public concert rather than to the church or the aristocratic salon, for which the earlier works may have been intended.
The early concertos are valuable in that they reveal something about Haydn’s style during a time when it is extremely difficult to construct a distinctive profile for his artistic development. In some respects they might be the best genre to illuminate an otherwise dark area, for here we have the only very early instrumental works to be dated:Haydn assigned the date 1756 to Hob. XVIII:1 and possibly to the Double Concerto Hob. XVIII:6.21 One can also argue for the musical worth of these early works:along with those of the Monns, Steffan, and Emanuel Bach, they are among the most skillful mid-century keyboard concertos. Although the larger concertos can be criticised for a certain garrulousness, in some movements the organization of the rhythm in the first solo, the shape of the developments, and the sense of closure found in the third solo/recapitulation foreshadow Haydn’s later, more successful, efforts.
The three Esterházy works have special qualities that for the most part have yet to be acknowledged. If Hob. XVIII:3—the first mature keyboard concerto—was written during the early to mid-1760s, it is one of Haydn’s most exciting and skillful works from this period. It also resolved the problem of synthesizing the older concerto form with a more advanced musical and formal syntax. As will be seen in Essay X, Hob. XVIII:3/1 reveals the same evolutionary path found perhaps a decade earlier in the solo sonatas, in that Haydn turns from a big work with a plethora of ideas to one that uses more homogeneous materials. The slow movement of Hob. XVIII:3, a pure cantilena, eschews the elaborately embellished melody for one that is simple and direct, but subtly shaped, thus providing an effective foil for the energetic finale.
Besides its own inherent value, Hob. XVIII:4/1 is an important precursor to Hob. XVIII:11, for it constitutes a return to the integration of solo and orchestra. Hob. XVIII:4/2 and 4/3 build on the model provided in Hob. XVIII:3: the rhythmic flexibility of the slow movement, a Haydn trait beginning in the late 1760s, is more evident, and the rondo-finale idea is now securely in place.
With Hob. XVIII:11 Haydn achieves a mastery of theme, form, and idiom; this work in its own way rivals Mozart’s Viennese concertos. It closes Haydn’s keyboard concerto output; thereafter Haydn composed comparable works only for the cello and trumpet, instruments for which Mozart produced no mature efforts. Perhaps Haydn felt, even though such a self-appraisal seems unjustified for the Esterhazy works, that the tendency to compare him with his younger colleague in the realm of the concerto was too strong for his own psychological comfort.22
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