THE SONATA-FORM AND ITS FOUNDERS, EMMANUEL BACH AND HAYDN
We have now set forth, with representative illustrations, all the
fundamental forms of instrumental music, _i.e._, the Canon, Fugue and
Invention, the Two and Three-part forms, the Rondo and the Varied Air.
Through the perfecting of these means of expression music became a
living language of communication, ready for that development which,
through the genius of the Classic and Romantic masters, it was
destined to show. The essential feature of all the above forms is the
emphasis laid on _one theme_. This is strictly true of the polyphonic
forms, the Canon, Fugue[87] and Invention and of the Two-part form;
and although in the Three-part form we have a second theme, this is
merely for contrast and is often of rather slight import. The same
comment holds true of the Rondo where, notwithstanding the new
contrasting themes of the episodes, the centre of attraction is the
_single main theme_, to which constant recurrence is made. Obviously
the Varied Air is the expansion of a single theme. But the principal
characteristic of the Sonata-Form, now to be studied, is that we find
therein _two themes_ of coequal importance, which may well be compared
to the hero and heroine of a novel or the two leading characters in a
drama. It is true that a composer will often in the creations of his
imagination show a marked preference for one theme over the other;
just as, in the family group to which the child owes its life, either
the man or the woman is likely to be the stronger character. But as
there can be no child without two parents, so the organism of the
Sonata-Form derives its vitality from the presence and interaction of
two living musical personalities, the first and second themes. The
first theme is so called because it is the one first presented and
because it generally furnishes the prevailing rhythmic pulse of the
movement. Yet the second theme,--exactly as important in its own way,
is often of a greater beauty; its title of "second theme" implying
nothing of a secondary nature, but merely its position in order of
appearance. No greater step was ever taken in the growth of musical
structure than this introduction of a second coequal theme; for the
principle of duality, of action and reaction between two forces, runs
throughout nature both human and physical, as is seen from the import
of the terms: man and woman, active and passive, positive and
negative, heat and cold, light and darkness. The first theme, in fact,
often resembles, in its vigor and directness, a masculine personality;
while the second theme, in grace and tenderness, resembles the
feminine. As long as music confined itself to the presentation of but
one main theme it was hampered by the same limitations which beset the
early Greek tragedians, in whose primitive plays[88] we find but one
chief actor. The introduction of a second theme can not be attributed
to _any single man_; indeed it resulted from a tendency of the times,
the demand of which was for more homophonic melodies rather than for
an elaborate polyphonic treatment of a single one. Embryonic traces of
a second theme we find in D. Scarlatti (see Supplement No. 40) and in
Sebastian Bach himself.[89] Scarlatti,[90] in fact, was often hovering
close to the Sonata-Form and in the example just cited actually
achieved it. The systematic employment of the second-theme principle,
however, is commonly attributed to Emmanuel Bach (1714-1788), although
an undue amount of praise, by certain German scholars, has been given
his achievements to the exclusion of musicians from other nations who
were working along the same lines. Any fair historical account of the
development of the Sonata-Form should recognize the Italians,
Sammartini and Galuppi; the gifted Belgian Gossec, who exercised such
a marked influence in Paris, and above all, the Bohemian Johann
Stamitz (1717-1757), the leader of the famous Mannheim Orchestra, of
whom we shall speak further when we come to the orchestra as a medium.
In many of Stamitz's Symphonies we find the essential first-movement
structure (_i.e._, tripartite grouping with a clear second theme) and,
as Riemann says in his _Handbuch der Musikgeschichte_, "Their sincere
phraseology, their boldness of conception and the masterly _thematic
development_ give Stamitz's works lasting value. Haydn and Mozart rest
absolutely upon his shoulders."[91]
[Footnote 87: Except in the comparatively rare cases where we have a
Fugue on two subjects.]
[Footnote 88: Illuminating comments on this point will be found in
_Outlines of Musical Form_ from W.H. Hadow's _Studies in Modern Music_
(2nd Series).]
[Footnote 89: See the prelude in D major of the second book of the
_Well-tempered Clavichord_.]
[Footnote 90: For further information consult the first chapter of
J.S. Shedlock's _The Pianoforte Sonata_.]
[Footnote 91: For an extended account of this development see the
second chapter, Vol. II, of _The Art of Music_ (The National Society
of Music, N.Y.). See also Chapter XIX of Pratt's _History of Music_.]
The other marked characteristic of the Sonata-Form is the _second_
part which is known as the Development Section; for, as we shall soon
explain, the structure as a whole is tripartite. In this portion of
the movement the composer has an opportunity to improvise, as it were,
with his material, using one theme or both as already presented. Dry
and labored development sections may, of course, be found in certain
Sonatas and Symphonies, but in the great works of such masters as
Beethoven, Brahms, Tchaikowsky and d'Indy the development is the most
exciting part of the movement. The hearer is conducted through a
musical excursion; every device of rhythmic variety, of modulatory
change and polyphonic imitation being employed to enhance the beauty
of the themes and to reveal their latent possibilities.
Before going further, it is well to point out a confusion which often
arises between the terms Sonata and Sonata-Form. When we speak of
Sonata-_Form_ we mean invariably the structural treatment as to number
of themes, key-relationship, etc., of _any single_ movement within a
series.[92] By the term Sonata is meant a composition generally in
three or four movements, _e.g._, First Movement, Slow Movement, Minuet
or Scherzo and Finale; of which, in most examples of the classic
school, the First Movement--and often the last--were in Sonata-Form.
An alternative name, indeed, for Sonata-Form is First Movement Form.
Beginning with Beethoven, however, composers began to exhibit great
freedom in the application of the Sonata-Form. We find Sonatas of
Beethoven, notably the set op. 31, in which every movement (even the
Scherzo) is in Sonata Form or a modification thereof; on the other
hand, there are compositions, entitled Sonatas, in which not a single
movement is in pure Sonata-Form, _e.g._, Beethoven's Twelfth Sonata,
op. 26. These comments apply equally to many other large instrumental
works. For a symphony is merely a Sonata for Orchestra, a
String-Quartet a composition--of the same general type--for four solo
instruments[93] and there is, furthermore, a large group of ensemble
compositions: Sonatas for Violin (or any solo-instrument) and
Pianoforte; Trios, often for unusual combinations, _e.g._, Brahms's
_Trio for Violin, Horn and Pianoforte_; Quintets and even Septets--in
all of which the distinction must be made between the terms Sonata and
Sonata-Form. Nor is there any rigid rule in regard to number of
movements or the moods expressed therein. The classic Sonata, Symphony
or Quartet, as we have stated above, generally contained three or four
movements, of which the first would be direct and vigorous in
nature--a summons to attention--cast in sonata-form, with a wealth of
material organically treated, and requiring from the listener
concentrated attention. The second movement was generally much simpler
in form, affording relief after the tension of the preceding
movement--its themes of a lyric nature, often with great depth of
emotion, sometimes even of tragic import. The third movement, Minuet
or Scherzo, would portray the light, humorous side of life; and the
Finale, joyful and optimistic--its themes often bearing strongly the
sense of finality--would close the work with a general feeling of
satisfaction. It was Beethoven who first modified these principles to
suit his own poetic needs. Thus we find some of his Sonatas with only
two movements; some have three, some have four. One of Schumann's
Symphonies contains five movements and Rubinstein's _Ocean Symphony_
seven! When we reach the modern school, we shall see further freedom
as to number, order and type of movements.
[Footnote 92: The form is also sometimes used independently, as in
Brahms's _Rhapsody in G minor_ and often, of course, in the Overture.]
[Footnote 93: _I.e._, 1st Violin, 2d Violin, Viola and Violoncello.]
We are now prepared to sum up the essential characteristics of the
Sonata-Form; for there is no structure in which it is more important
for the music-lover to acquire the art of listening easily, naturally
and with a minimum of friction. The Sonata-Form is the instrumental
form "par excellence"--the Gothic Cathedral[94] of music--and has
retained its place, not because of any slavish regard for form as
such, but because it has been worked out, perfected and utilized by
the greatest of the composers. Any form with a beginning, a middle and
an ending, _i.e._, presenting material worthy of consideration, which
allows this material to grow and realize its inherent possibilities
and then sums the matter up in a convincing, objective close; which,
furthermore, exemplifies the great principle of Duality, _i.e._,
reveals _two_ musical personalities, has as little need for
argumentative sanction as a tree or a human being. The Sonata-Form--often,
to be sure, with free modifications--predominates in all the large
instrumental compositions of the Classic, Romantic and Modern
Composers, notably of such men as Beethoven, Schumann, Brahms, Cesar
Franck, Tchaikowsky, d'Indy and Sibelius. Anyone unable readily to
follow movements in this form, if he thinks he is receiving the
complete message of the music, is his own dupe. It would be as logical
to expect to enjoy the beauties of architecture without perceiving the
difference between a nave and a bowling-alley. The obvious way to
understand the meaning of a language is to know something of the
principles of structure and expression in that language. Music is in
very truth a language; and far too many people get from it nothing
save the appeal which comes from its emotional power. This exciting
experience is important, we may frankly acknowledge, but there are no
reasons, save apathy and indifference, why the hearer should not have
all this and more too. There is no conflict between warm emotions and
an intelligent, well-trained mind. They should go hand in hand; and in
any complete artistic appreciation each is indispensable.[95]
[Footnote 94: See the eloquent comments on this analogy by d'Indy in
his _Course in Composition_, Vol. II, Chap. 5.]
[Footnote 95: "Art is not more a riot of the passions than it is a
debauch of the senses; it contains, no doubt, sensuous and emotional
elements, the importance of which there is no need to undervalue, but
it is only artistic if it subordinate them to the paramount claims of
reason." W.H. Hadow, _Studies in Modern Music_ (second series),
preface.]
The three main divisions of the Sonata-Form, with their essential
features, are the following: (1) the Exposition, in which two themes
in different tonalities are announced for the consideration--and, as
the composer hopes, the pleasure--of the hearer. In the works of Haydn
and Mozart this contrast of key was invariably that of Tonic and
Dominant, _e.g._, C major and G major, or of major and relative minor,
_e.g._, A-flat major and F minor. Beginning, however, with Beethoven
great emphasis has been laid on _mediant_ relationship, _e.g._, C
major and E major or C major and A-flat major; and in modern
composers[96] this more stimulating change has largely superseded the
former tonic and dominant grouping, _e.g._, Brahms's _Third Symphony_.
We thus see that the harmonic feature of the Exposition is _Duality_
of Key-relationship. Between these two main themes there is always a
modulatory connection or Bridge Passage which, in the time of Haydn,
was generally of a very perfunctory, stereotyped character. Wagner
once sarcastically remarked that Haydn's transitions reminded him of
the clatter of dishes between courses at a royal feast. In Mozart we
find the bridge-passage more deftly planned, more organically
connected with what precedes and follows; but it was Beethoven who, in
this portion of the movement, first revealed its possibilities.
Throughout his works the bridge-passage is never a mere mechanical
modulation or a floundering about until the introduction of the second
theme, but is so conceived that the interest of the hearer is
increasingly aroused until, at the entrance of the second theme, he is
in the highest state of expectancy.[97] A bridge-passage of this kind
often has a subsidiary theme of its own, or even several melodic
phrases, and is planned as carefully as the action by which a
dramatist leads up to the entrance of his heroine. After the second
theme we generally find a closing theme to round out the Exposition as
a whole. This practice dates from Haydn and has been much expanded by
modern composers. Witness the glorious climactic effect in Cesar
Franck's _Symphony_ and in Brahms's _D major Symphony_ of the closing
themes in the Expositions of the first movements. For many years it
was the invariable custom to repeat the Exposition, and in Classic
Symphonies we always find a double bar with marks of repeat and two
endings. This practice was not an integral part of the form but was
adopted so that the hearer, by going over the themes of the Exposition
twice, might follow more intelligently their growth in the
Development. With the advance in public appreciation this repeating of
the Exposition has been largely abandoned; for there is no doubt that
to begin all over again, when a certain objective point has been
reached, breaks the continuous flow of the movement.[98]
[Footnote 96: Some composers have also experimented with still freer
key-relationships.]
[Footnote 97: For striking examples see the Expositions of the first
movements of Beethoven's _Third Symphony_ and of Tchaikowsky's _Sixth
Symphony_.]
[Footnote 98: The ultra-conservative attitude of Brahms is shown by
his retention of the double bar and repeat, although this is often
ignored by modern conductors.]
(2) The Development, for which the Germans have the happy name of
"Freie Phantasie," or free phantasy; the composer thus giving rein to
his imagination and doing whatever he pleases, so long as he holds the
interest of his hearers and neither becomes verbose nor indulges in
mere mechanical manipulation. There are, alas! developments in which
the composer exhausts his themes and his hearers too;[99] but on work
of this kind, since it is not real development but labored jugglery,
no powder need be wasted. Beethoven began the practice, in his
Developments, of not confining himself to the themes of the Exposition
but of introducing an entirely new theme, whenever the main material
had fulfilled its purpose. The single most exciting factor in a good
development is the freedom and wealth of modulation revealed by the
daring genius of the creator; the effect being Plurality of
Key-relationship, in distinction from the two closely related keys of
the Exposition. It would often seem as if we were taken up into high
mountains or borne away to distant seas. For illustrations of this
"free phantasy" note the end of the Development in the first movement
of Beethoven's _Second Symphony_ where, after great stress has been
laid in the Exposition on the two basic keys of D major and A major,
we are left in the distant tonality of C-sharp major and are then
whirled back, by a dramatic change, into the home-key of the third
part. One of the most interesting studies in the workings of a great
mind is to observe how Beethoven, in his developments, allows the
excitement to subside and yet never entirely die out, and how deftly
he leads the hearer onward to the summing up of the main themes of the
exposition.
[Footnote 99: It was probably a development of this kind which called
forth the characteristic comment from Debussy who once remarked to a
friend at a concert, "Let us flee! he is going to develop."]
(3) The Recapitulation or Resume, in which both the themes of the
Exposition are reasserted, each in the home key--a strong final
emphasis thus being laid on _Unity_ of Tonality. The bridge-passage
has to be correspondingly changed, for now the modulation is between
two themes _both_ in the _same key_. To achieve such a modulation is
quite a "tour de force" as every musician knows, and often taxed the
ingenuity even of the great Beethoven. The skill by which he always
made the second theme sound fresh and vital is astounding. For a case
of "academic fumbling"--mere treading of water--in this adjustment of
key relationship, see the Recapitulation of the first movement of
Brahms's Second Symphony. To secure unbroken continuity and to avoid
vain repetitions[100] there is no portion of the Sonata-Form which has
been more modified by the inventive genius of modern composers and by
the tendency exemplified in the Symphonic Poem (to be explained in due
season). The general validity of Restatement, as shown in the
Recapitulation of the Sonata-Form, cannot be questioned; for that
depends, as so often pointed out, upon the human craving to enjoy once
more, after intervening contrast, something which has originally given
pleasure. Furthermore this sound psychological principle finds an
analogy in our own life: with its early years of striving, its middle
period of development and its closing years of climactic retrospect
and satisfaction. There is a corresponding structural treatment in the
denoument of a drama. In the classic composers, the Recapitulation is
almost always a literal repetition of the Exposition, although
Beethoven began to be freer, _e.g._, in the climax of the Coriolanus
overture, where he modifies the form to meet the dramatic needs of the
subject.[101] Modern composers, however, have felt that much of this
repetition was superfluous; and when they do repeat both themes, one
or the other is freely varied and made still more eloquent. For
examples, see the resume of the first movements of Franck's
_Symphony_, of Brahms's _First Symphony_ and of Tchaikowsky's
_Sixth_. The Recapitulation is often abridged by omitting the first
theme altogether and dwelling exclusively on the second; as for
example, in the Finale of Schumann's _Fourth Symphony_ and in
Sinigaglia's Overture, _Le Baruffe Chiozzotte_.[102]
[Footnote 100: See Gretry's amusing comments on the Sonata-Form cited
by Romain Rolland in the essays _Musicians of Former Days_.]
[Footnote 101: See also Wagner's comments on the _Third Leonora
Overture_, cited by Ernest Newman in his _Musical Studies_, pp.
134-135.]
[Footnote 102: Additional illustrations of this treatment may be found
in Chabrier's Overture to _Gwendoline_ and in the first movement of
F.S. Converse's _String Quartet_.]
It remains to speak of the beginning and end of the Sonata-Form. With
Haydn it became the custom, not necessarily invariable, to introduce
the body of the movement by a Prelude which, in early days, was of
slight texture and import--often a mere preliminary "flourish of
trumpets," a presenting of arms. In Mozart we find some examples of
more artistic treatment, notably in the Overture to the _Magic Flute_
and in the prelude to the C major Quartet with its stimulating
dissonances. But in this case, as in so many others, it was Beethoven
who first showed what a Prelude should be: a subtle means of arousing
the interest and expectancy of the hearer; the effect as carefully
planned as the portico leading to a temple. To usher in the theme of
the Exposition in a truly exciting manner every means of modulation
and rhythm is employed; famous illustrations being the introductions
to the first movements of the Second, Fourth and Seventh symphonies;
and, in modern literature, those of the first movements of Brahms's
_First Symphony_ and of Tchaikowsky's _Fifth_. It also became
customary to prolong the end of the movement by what is termed a Coda;
the same tendency being operative that is found in the peroration to a
speech or in the spire of a cathedral, _i.e._, the human instinct to
end whatever we attempt as impressively and completely as possible.
This Coda, which, in Haydn and Mozart, was often a mere iteration of
trite chords--a ceasing to go--was so expanded by Beethoven that it
was the real glory of the whole movement. In fact so many eloquent
treatments of the main material were reserved for the Coda that it
often became a _second_ development; and such was its scope that the
form may be considered to have _four_ parts instead of three, _i.e._,
1, Exposition, 2, Development, 3, Recapitulation, 4, Coda; parts 4 and
2 balancing each other in the same way as 3 and 1. For two of the most
famous examples in all Beethoven literature see the Codas to the First
movement of the _Third Symphony_ and to the Finale of the _Eighth_.
We now present a tabular view of the Sonata-Form summing up the
features just commented upon.
THE SONATA-FORM OR FIRST-MOVEMENT FORM
___________________________________________________________________________
A | B | A'
Exposition | Development | Recapitulation
__________________________|___________________________|____________________
| |
Introduction (optional) | Free treatment and | First Theme,
First Theme | expansion, especially | connecting passage
Modulatory bridge-passage | modulatory and rhythmic, | leading to
Second Theme | of the themes already | Second Theme (often
Closing Theme | presented | in home-key, but
(Duality of | Sometimes new material | not always)
Key-relationship) | introduced | Closing Theme
| (Plurality of Key) | Coda
| | (Special stress
| | laid on the main
| | tonality. Unity of
| | Key)
__________________________|___________________________|____________________
For actual musical examples it seems best to begin with the works of
Haydn. This exclusion of Philip Emmanuel Bach is not meant to minimize
what we owe him for his preliminary efforts in formulating the
tripartite Sonata structure, with its two themes and its Development
portion. Haydn is on record as saying that it was his study of six
Sonatas of Emmanuel Bach which laid the foundations for his own
instrumental style. But on the whole, the compositions of Emmanuel
Bach are of interest rather from a historical point of view than from
one purely artistic. The object of this book, furthermore, is not to
give a complete account of the evolution[103] of the Sonata-Form; but,
accepting the existence of standard works which employ this form, to
enable the student to gain a more complete appreciation of those
works. P.E. Bach wrote in the so-called "galant style"[104] of the
period which has, for our modern ears, too much embellishment and too
many meaningless, rhapsodic passages. He made a sincere effort to
invent pure instrumental melody, _i.e._, musical expression suited to
various instruments that should be unhampered by the too definite
balance of the dance forms, by polyphonic complexities or by the
conventional artifices of operatic style. But though he wrote
skilfully for his instrument and though his style has a certain quaint
charm, on the whole it is lacking in genuine melodic warmth and
feeling. These qualities alone keep works immortal.[105]
[Footnote 103: Those interested in this development should consult
_The Pianoforte Sonata_ by J.S. Shedlock, and above all, d'Indy's
_Course of Musical Composition_, Part III.]
[Footnote 104: This, according to d'Indy, was so-called because
pleasing to the ladies who played an important part in the elaborate
court ceremonial of that day.]
[Footnote 105: Six of P.E. Bach's Sonatas edited by von Buelow are
readily accessible and some excellent comments upon the most
significant ones may be found in Shedlock (see above).]
In Josef Haydn (1782-1809) we are face to face with a musician of a
different type. Haydn is popularly known as the father of the Sonata,
the Symphony and the String-Quartet; but, according to Edward
Dickinson,[106] this estimate is something of an exaggeration, for "it
overlooks the fact that a large number of composers were struggling
with the same problem and working along similar lines. Haydn was
simply the greatest in _genius_ of the instrumental writers of his
day. His works have lived by virtue of the superiority, _i.e._, the
greater spontaneity and vitality, of their contents. He should be
called the 'foster-father,' rather than the father of the symphony and
quartet for he raised them from feebleness to strength and authority."
To him must be given the honor of establishing the types of
instrumental composition which became the foundations of modern music.
Haydn, moreover, was the first musician since Sebastian Bach who had a
real personality which may be felt in his works. To speak of a piece
of music as "Haydnish" conveys as distinct a meaning as to refer to a
poetic stanza as "Miltonic." When Haydn arrived on the scene,
music--through the labors of many earnest workers--had become a
language of definite expression, with a logical grammar and with
principles of structure. The time was ripe for the use of this
language in a more artistic way, _i.e._, for a more intense personal
expression and for more subtle treatment of the material. The composer
could count upon the public following his points; and with Haydn,
whose heart beat in sympathy with the common people, music begins to
be a truly popular art.
[Footnote 106: See his _Study of the History of Music_, p. 154.]
The striking features in Haydn's works are three: (1) The wealth of
spontaneous and sparkling melodies, for he was born with this lyric
gift and never had to cudgel his wits for a tune. That instrumental
melody could make such sudden progress as we find between the dryness
of Emmanuel Bach and the freshness of Haydn, was long a puzzle to
scholars, and only recently has the proof been submitted that Haydn
was largely of Croatian ancestry. Now the Croatians of Southern
Austria are one of the most musical races in the world, with a wealth
of folk-songs and dances. Haydn therefore did not have to "invent"
melodies in the ordinary sense of the term; they were his birthright.
Many of his melodies are adaptations of actual folk-songs[107] or
original melodies coming from an imagination saturated with the
folk-song spirit.[108] For this reason they seem like wild flowers in
their perennial freshness and charm. (2) The precision and clarity
with which his ideas are presented. These qualities were due to his
well-balanced and logical intellect that impressed everyone with whom
he came in contact. His style, moreover, was the result of
indefatigable labor, for he was largely self-taught. If the balance of
his phrases and the general symmetry of his style seem to our modern
taste a bit excessive, we must remember that he was a pioneer and
could run no risks in the way of non-acceptance of his message through
puzzling complexities. Everything must be so clear that the ordinary
mind could at once accept it. Nor is the "sing-song," "square-toed"
element so prevalent in Haydn as is commonly supposed. In his melody a
distinct feature--no doubt of racial origin--is his fondness for odd
rhythms of three, five and seven measures, of which examples abound in
the Quartets. In his Minuets and Finales there is a rollicking effect
of high spirits which could never have been attained by mere labored
pedantry. In his mature works we find a pervading spontaneity which is
one of the outstanding examples in all literature of "art concealing
art." Never do these works smell of the lamp, and let us remember it
is far easier to criticize them than to create them.[109]
[Footnote 107: See for example the _Salomon Symphony in E-flat_, every
movement of which is founded on a Croatian folk-song.]
[Footnote 108: For a comprehensive account of this whole subject
consult the _Oxford History of Music_, Vol. V, Chapter VIII, and
Mason's _Beethoven and His Forerunners_, essay on Haydn.]
[Footnote 109: Witness for example, the attitude taken by Wallace in
his _Threshold of Music_, pp. 148-153.]
(3) The skillful and eloquent manner in which Haydn adapted his ideas
to his favorite media of expression: the orchestra and the
string-quartet. Although he wrote a number of pianoforte sonatas,
these works, on the whole, do not represent his best thought. For they
were composed in the transitional period between the waning influence
of the harpsichord and the advent of the pianoforte, not yet come to
its own. But as for the orchestra, Haydn established[110] the grouping
of the three so-called choirs of strings, wood-wind and brass; to
which were gradually added the instruments of percussion. In his works
we begin to enjoy orchestral effect for its own sake: the dashing
vivacity of the strings, the mellowness of the wood-wind, the
sonority and grandeur of the brass. Instrumental works had formerly
been composed in black and white, but now we have the interplay of
orchestral colors. No less paramount was Haydn's influence in the
handling of the four solo instruments known as the String Quartet. In
his Quartets the voices are so highly individualized that it seems as
if four intelligent and witty persons were holding a musical
conversation. Such melodic and rhythmic freedom were hitherto unknown
and his style became the point of departure for modern practice.[111]
Both Mozart and Beethoven, those great masters of the String-Quartet,
acknowledged their debt of gratitude to Haydn. His success in
establishing the formation of the orchestra and the string-quartet was
chiefly due to the inestimable advantage he enjoyed of being, for so
many years, chapel-master to those celebrated patrons of music the
Princes Paul and Nicholas Esterhazy, at whose country-seat of Esterhaz
he had at his disposal, for free experimentation, a fine body of
players.[112] Here Haydn worked from 1762 until 1790; and, to quote
his own words, "could, as conductor of an orchestra, make experiments,
observe what produced an effect and be as bold as I pleased. I was cut
off from the world, there was no one to confuse or torment me and I
was forced to become original."[113]
[Footnote 110: For the early and significant achievements in
orchestral effect of the Mannheim Orchestra under its famous leader
Stamitz, see _The Art of Music_, Vol. 8, Chapter II.]
[Footnote 111: For interesting comments on the String Quartets see
Hadden's _Life of Haydn_, pp. 174-175.]
[Footnote 112: _The Oxford History of Music_, Vol. V, Chapter I, and
_The Present State of Music in Germany_ by Burney present a vivid
picture of the times and of the results of 18th century patronage.]
[Footnote 113: For an entertaining account of the two London visits,
which took place during the latter part of his career, see the essay
_Haydn in London_ by Krehbiel in his _Music and Manners_.]
As to the formal side of Haydn's work, he is responsible for several
distinct improvements. The different divisions of the movement are
more clearly defined--sometimes perhaps, as we look back, a bit
rigidly--but no more so than was necessary for a public just beginning
to follow easily the main outlines of the form. Haydn leads up to his
objective points in a clear-cut, logical way and there is little of
"running off into the sand" or of those otherwise aimless passages so
prevalent in Emmanuel Bach. In his best works, notably in many of the
Quartets, there is also more individuality secured for the second
theme;[114] although for highly personified and moving second themes
we have to await the greater genius of Mozart and Beethoven. Whenever
we are inclined to call Haydn's style old-fashioned we must remember
that he wrote before the note of intense personal expression--the
so-called subjective element, prominent in Beethoven--had come to the
fore. The time just prior to Haydn had been called the "Pig-tail
period" (Zopf-Periode) in reference to the stiff and precise dress and
manners which had their counterpart in formality of artistic
expression. Only towards the end of his career do we feel that breath
of freedom in life and art which was generated by the French
Revolution (beginning in 1791) and by the many political and social
changes of that stirring period. From Haydn on, much more attention
should be paid to the content and meaning of the music than to the
formal handling of the material. In all worthy music, in fact, the
chief point of interest is the _music itself_ which speaks to us in
its own language of sound and rhythm. A knowledge of form is but a
means to an end: for the composer, that he may express himself clearly
and convincingly, and for the listener, that he may readily receive
the message set forth. In Haydn's music we find the expression of a
real personality--though of an artless, child-like type, without great
depth of emotion or the tragic intensity of a Beethoven. Haydn was not
a philosopher, or a man of broad vision. During his epoch, artists
hardly dared to be introspective. His imagination gave birth to music,
simple though it was, as freely as the earth puts forth flowers; but,
although he wore a wig, he had a heart which was in good working
operation even in his sixty-fourth year when, during his London visit,
he fell in love with a charming widow, Madame Schroeter, whom he would
have married had not his wife been still alive.
[Footnote 114: In many cases Haydn's second theme is merely a varied
version of the first.]
We should acquire the catholic taste to enjoy every composer for what
he really was and not criticise him for what he was not--a state which
would imply necessarily different conditions. In criticism there is no
worse error, or one more often made, than that of blaming Haydn
because he was not Beethoven; or, in our times, Tchaikowsky because
his music does not resemble that of Brahms. Blase pedants often call
Haydn's music "tame"; we might as well apply that adjective to the
antics of a sportive kitten. As for the "amiable prattle" of his style
we do not speak in a derogatory way of the fresh, innocent voices of
children, though we need not listen to them continually. Haydn, in
short, is Haydn,[115] and the vitality and sincerity of his works
will always keep them immortal. In these feverish days we may dwell
upon the simplicity of "Papa Haydn," as he was affectionately called;
who would kneel down before beginning work, and who inscribed his
scores "In nomine Domini." His modest estimate of his own powers
cannot fail to touch our hearts. "I know," he said, "that God has
bestowed a talent upon me, and I thank him for it. I think I have done
my duty, and been of use in my generation by my works; let others do
the same."
[Footnote 115: Haydn's life is of great interest in showing the traits
which are reflected in his music. Everyone should read the biography
in Grove's Dictionary, Vol. II, p. 348, and the excellent life by M.
Brenet in _Les Maitres de la Musique_.]
We shall now make a few comments on the illustrations in the
Supplement (see Exs. No. 41 and 42): the Finale of the _Sonata for
Pianoforte in E-flat major_ and the first movement of the so-called
_Surprise Symphony in G major_. Haydn, of all composers, needs little
verbal elucidation; his music speaks for itself and everyone must be
sensitive to its vitality and charm. We regret that it is not
practical to give examples from the Quartets which, in many
respects--especially in the Minuets with their inexhaustible
invention[116] and their bubbling spirits--represent Haydn at his
best. But the real effect of his Quartets is so bound up with
idiomatic treatment of the strings that in any transcription for
pianoforte the music suffers grievously. It is through the score,
however, that everyone should become familiar, with the contents of
the Quartets in C major, op. 76, and D major, op. 64; the Finale of
the latter being one of the supreme examples in all chamber
literature[117] of rhythmic vitality.
[Footnote 116: Haydn himself used to speak of his melodic invention as
"a stream which bursts forth from an overflowing reservoir."]
[Footnote 117: In every large city there are, of course, frequent
opportunities to hear the Quartets of Haydn played by such famous
organizations as the Flonzaley Quartet etc. The student is urged to
take advantage of these occasions.]
The Finale of the E-flat sonata, in strict Sonata-form, begins with a
lively eight-measure phrase which is at once repeated a tone higher.
The extension of the sentence shows Haydn's freedom in phraseology;
for, beginning with measure 17, we should have to count the measures
1, 2, 3, 3a, 4, 5, 6, 6a, 7, 7a, 8, 8a. In the second theme, which
begins in the 44th measure, note the piquant dissonances[118] coupled
with sforzando accents. Haydn surely liked spice as well as anyone!
The rest of the Exposition is taken up with closing passages which
accentuate the tonality of the second theme--B-flat major. The
Development needs no comment, as the correspondence between the
original material and Haydn's treatment is perfectly clear. The
Recapitulation is a literal repetition of the Exposition, with the two
themes as usual in the tonic key. The movement may be considered an
example of Sonata-form in its clearest manifestation, hence an
excellent one for preliminary analytical study.
[Footnote 118: Those who erroneously think that there is nothing of
the dissonant element in Haydn should examine the Prelude to _The
Creation_--a real anticipation, in its use of the chromatic element,
of _Tristan and Isolde_.]
In the first movement of the _Surprise Symphony_, before the body of
the work begins, we have an early example of the Prelude. This slow
Prelude, short though it be, is most carefully planned; with its
crescendo from _pp_ to a _sf_ forte and its free modulation it arouses
a genuine feeling of expectancy. The first theme of the Exposition
(Vivace Assai) is a happy illustration of Haydn's sparkling rhythm,
and as tossed off by the violins is of irresistible gaiety. The reader
is asked to remember that the comments on this symphony--and on all
subsequent symphonic works--are based upon the orchestral score; also
that the composition, when separated from its orchestral dress,
necessarily loses much of its real eloquence. Thus the first theme, of
a folk-dance character, is a typical violin melody; only strings--with
their incisiveness and power of subtle phrasing--can fully express its
piquancy. For private study or for class-room work, a practical
version is that for four hands; or better still, when possible, the
arrangement for two pianofortes.[119] The second phrase of the first
theme is considerably expanded by repetition, as if unable to stop
from sheer exuberance, but finally reaches a cadence in the dominant
key in the 32nd measure. We are at once taken back, however, to the
home-key of G major; and, in measure 40, the first theme is repeated,
this time delicately embellished with phrases on the flute. From now
on, by reason of the emphasis laid on the key of D major, it is
evident that we are in the transitional passage and are heading
towards the announcement of the second theme. It must be said that
Haydn does not drive very straight at his mark; though it is a
pleasant touch of variety in measures 55-57 to introduce the main
theme in the minor mode, and though the fiery violin passages in the
following measures give an air of considerable excitement. What stands
for the second theme begins in measure 67. This portion of the
movement has no theme with genuine individuality, but consists of
running passages--based exclusively on tonic and dominant harmonies in
the new key, and of little import save one of general vivacity. It is,
however, decidedly alive--not stagnant or flabby--and in the orchestra
it all "comes off." We are rewarded, finally, by a clear-cut closing
theme of jaunty rhythm, _e.g._,
[Music]
which Haydn liked so much that it is presented twice, the second time
slightly embellished. The Exposition closes with the conventional
insistence upon a strong cadence in the key of the second theme. The
Development begins with some rather fragmentary treatment of the first
theme; then, after some fugitive modulation into flat keys, contents
itself with running passages and a series of iterated notes. Of
organic and sustained development, such as Haydn indeed sometimes
attained, there is little trace. Even so we must be chary of sweeping
condemnation; for there are well-planned dynamic contrasts and the
instruments are used in such a natural way--especially the figure in
the double basses (measures 149-153)--that the scene is one of
animation, though perhaps no more than one of aimless gambols. There
is sufficient modulation, so that the principle of Plurality of key is
carried out. We are suddenly but gracefully led back, in measure 155,
to the repetition of the first theme, thus beginning the
Recapitulation. This portion, with certain abbreviations, is an almost
exact duplication of the first part and emphasizes the main tonality
of G major. That Haydn was not forced to this literal repetition
through any lack of fancy is shown by the skilful amplification of the
first theme, in measures 177-184. The whole movement sparkles with
sunshine; and those ponderous "heavy-weights" who criticise it because
it is not deep or "soulful" are looking for qualities which the music
does not pretend to contain. It is the work of a wholesome,
cheerful-hearted man expressing through his favorite language his joy
in life. In listening to the music we have the same delight as in
wandering by the side of a rippling brook. The three remaining
movements of the Symphony require little comment; being readily
accessible they are not given in the Supplement. The second movement,
a set of stereotyped variations, contains the explosive chord which
gave to the work its descriptive title. Needless to say that this
chord does not "surprise" _our_ modern ears to any great extent. The
Minuet is one of Haydn's best--full of queer antics in rhythm and
modulation. The Finale (Allegro di molto), in the Rondo Sonata form,
is the acme of Haydn's vivacity and is a "tour de force" of brilliant
writing for the strings. In many passages they seem fairly to burn.
[Footnote 119: All symphonic scores give a much better effect when
performed on two pianofortes than in a four-hand arrangement for a
single instrument. The freedom in control of both pedals possessed by
each player secures a greater richness and sonority of tone and it is
much easier to make prominent voices stand out in relief.]
Haydn's position in the development of music is of the first
importance. Whatever his works may "mean," they contain a rhythmic
vitality which will keep them alive for ever, and their "child-like
cheerfulness and drollery" will charm away care and sorrow as long as
the world shall last.