Structural 'Highpoints' in Schumann's 'Dichterliebe' Author(s): V. Kofi Agawu Source: Music Analysis, Vol. 3, No. 2 (Jul., 1984), pp.

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V. KOFI AGAWU

DICHTERLIEBE

STRUCTURAL 'HIGHPOINTS' IN SCHUMANN'S

INTRODUCTION The phenomenon ofclimaxis central In no other to our musicalexperience.* is this more evident than that of the nineteenth When we repertoire century. hear a symphony Bruckner or a tone Liszt or Richard Mahler, by poem by or even a is Schumann or our Strauss, Wolf, song by experience shaped by those focal pointsinto whichthe variousstrandsof the piece primarily seemto coalesceand thereby makea strong emotional impact.Thus we speak of 'devastatingclimaxes', 'moving climaxes', 'terrible climaxes', 'anticlimaxes', and so on. Yet, among the large numberof music-theoretical studies that have emerged in recent years, there are few attemptsto thisexperience intotheformulation ofan analytical model.' incorporate This omissionbecomes especiallyapparentin analytical studiesof those is shaped fundamentally pieces whoseinternal dynamic by such focalpoints or highpoints. for William Mitchell's well-known Consider, example, study of the TristanPrelude (1967). Mitchell makes only brief and passing references to the varioushighpoints thatshape the piece, indeed shape our of the linear thathe is primarily concerned with.In experience very processes the end, he missesthe mostapparentand immediate overallgestureof the piece, namelythe riseto a tensional (b.83) followed high-point by a graceful decline. Considertoo PeterBergquist'sextensive Schenkerian analysisof the first of Mahler's Tenth Symphony movement For the (1980). averagelistener, the salientfeature of the piece is the pair of shattering climaxesthatoccurs about two-thirds of the way through (Figs 26 and 27+5). These moments standout not onlybecause theyreachhighdynamic levelsbut because they have been prepared consistently fromthe beginningof the movement.2 rhetorical Bergquist,however,has littleuse fortheseimportant signals.In bothhis and Mitchell'sanalytical these are schemes, highpoints 'foreground events'. Further survey of the literatureshows that writers who concern
ArndBohm of BrynMawr Collegeforsharing withme his insights into *I would like to thankProfessor This essayis dedicated Heine's poetry. tomyfriend and mentor RonaldWoodham.

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V. KOFI AGAWU

- say, withnotions of climaxare not the 'serious'theorists themselves who are and but rather those set-theoreticians semioticians Schenkerians, in such as audience documents a notes, programme addressingnon-specialist our that Butsurely it is ironic or operaguides. bookson music appreciation in functions and substantive mostordinary onlyminimally atexperience of the structure to unravel and, music,suggest waysof hearing, tempts of works weanalyse. the our emotional these, experience deepen through in whichan empirically-derived theterms In thisessay,I shallsuggest I have be couched. of climax modelbasedon thenotion theoretical might Dichterliebe well-known Schumann's chosenforthispurpose (1840), cycle, I believe Because areanalysed. Schumann? selected from which Why songs - that and as such Grout others (1973: 118) (1980:563) Longyear alongside Sincethephenomenon Romantic is thequintessential Schumann composer. Schumann with associated is most ofclimax music, nineteenth-century clearly A more for other a model as serve purpose pertinent studying composers. may certain is to illuminate styleas a songcomposer, aspectsof Schumann's in the extensive littleattention aspectsthat have receivedsurprisingly linebetween a fine be treading I willtherefore onthesongs.3 literature theory andanalysis. in is in twomainparts.First,I discussa recurring principle My study a useful whichprovides of 'reversal', the principle Heine's earlypoetry, climax. ofmusical for kinds certain 7, 13and Then,I analyse Songs metaphor to Songs1 and 11. Each analysis reference withpassing 4 of Dichterliebe, of reversal focuseson the moment(s) which,I argue,are the crucial ofSchumann's ofthestructure determinants songs. to in placeof 'climax' I use 'highpoint' A brief wordaboutterminology: In this ladder orstaircase. 'Klimax' means In Greek, avoidambiguity. sense, orderof intensity. in ascending of figures it denotesan arrangement ofa given to the refers climax process. point only however, highest Nowadays, the of the includes the former whereas process arrangement, meaning Thus, in is used term of culmination. to the refers latter 'highpoint' My only point in decisive themost is frequently what todenote sense latter this turning point thepiece.4 I whichoccurs is 'reversal', feature of Heine's earlypoetry A recurring as known also This a end of at the Stimmungsbrechung, device, poem. typically Prawer(1960: 40-6), has been discussedby severalscholars, including Hallmark and Lehmann Preisendanz (1979:3-7). 90-6) (1976: (1973: 15-6), and irony, a of wit of in terms of reversal moment the Prawer play analyses

thecontextually 25 as an example.He describes Heine's Die Heimkehr citing absurdlast line in termsof 'a douche of cold water','a stingin the tail', 'a a entails thatthisoften moralslap in theface',and so forth (1960: 42), noting for the no finds Prawer to seriousness from precedent triviality. progression 160
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'HIGHPOINTS'

IN SCHUMANN'S

Dichterliebe

use ofthisdevicein German and concludesthatit mustoriginate with poetry, Heine. A momentof reversalimplies that thereis a logical progression in the whichis thendisrupted, and thatthisdisruption is an eventofgreat narrative, dramatic Preisendanz thismoment (1973: 15-16) describes significance. using suchwordsas 'rupture', 'contrast', 'break',and 'ambivalence'. Takinghiscue - the from certain statements thepoet'splacein theworld byHeine regarding has is the middle of the world it, poet's heart,Heine's inflated imagery Preisendanz showsthat reversal is inevitable and can be thought ofin terms ofa splitof'unitary expression'. ofcourse,was sensitive to manyaspectsofHeine's poetry, and Schumann, reversal as a poetictechnique some transformation when although undergoes marked thosemoments for attention. Some appliedtomusic,Schumann always comments on the Heine poem used in Song 4 ofDichterliebe willhelp in the ofreversal: understanding Wenn ichindeine seh', Augen So schwindet all'mein LeidundWeh; Dochwenn ichkiisse deinen Mund, 4 So werd' ichganzundgargesund. Wenn ichmich lehn' andeine Brust, Kommt's mich wieHimmelslust; iiber Dochwenn du sprichst: Ichliebe dich, 8 So muss ichweinen bitterlich.* The poem is typically short- two four-line stanzas- withan end-rhyme scheme.The narrative incouplets proceeds (Hallmark1979:49), andthe'sting' occursin the last couplet(lines 7-8). In otherwords,Heine's description of - from variouslevelsof intimacy a merelook (line 1), through a kisson the mouth(line 3), to lyingon thebeloved'sbreast(line 5) - proceeds'linearly' towards a highpoint. Butthelastlineerupts a change with inthedirection ofthe narrative: to his beloved's'Ich liebedich', theprotagonist mustweep bitterly. The ironic nature ofthispoemhas beendiscussed commentators byseveral (for exampleSams 1975: 111, Komar 1971: 10 and Hallmark1979: 44-50). The mainpointis thesurprise thechangefrom levelsofintimacy ending, increasing to theshedding ofbitter tears. SeveralofthepoemsofDichterliebe use thisdevice.Song 11is another case in point: liebt EinJiungling einMiidchen, Die hateinen andern erwaihlt, DerAnd're liebt eineAnd're, 4 Undhatsich mit dieser vermiihlt.
*See Appendix fortranslations
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V. KOFI

AGAWU

Das Midchen nimmt ausArger Den ersten, besten Mann, Derihr indenWeggelaufen, 8 DerJungling istObeldran. Es isteinealteGeschichte, Dochbleibt sieimmer neu, Undwem siejust passiret, 12 Dembricht dasHerzentzwei. Here is a familiar in whicha seriesofcomplicated love-triangle, relationships culminatesin rupture:the initiator's heart is brokenin two. This poetic differs from thatof Song 4 because, insteadof reversal, structure, however, thereis a terminal which highpoint explodesthe preparatory processes(line in the final of the 12). Again, song cycle,Song 16,Heine developsan elaborate scenario in thefirst five in the stanzasbefore themoment ofreversal providing sixthand last stanza,whichtellsus who inhabits the coffin discussedin the of the songoccursin thislast previousfivestanzas.The structural highpoint stanza. The momentof reversal,then,is a point of rhetorical The significance. could choose to as a which take this many may composer represent highpoint forms. It may be a simple melodic peak, a point of textural different orthepointofgreatest harmonic tension. We might the culmination, represent in of a that has of each terms dynamic shape generalized compositional song a 'dynamic curve' (Ratner1966: 314) and a 'narrative been called, variously, curve'(Childs 1977: 195):

and a descenttherefrom. The The curvedescribesan ascentto a highpoint of on a number musical that articulate this shape depend processes specific factors.For now, we should bear in mind its 'background' contextural ofwaysin which itmaybe realized. roleand thevariety structuring II thefundamental ofSchumann's elements song Song7 willservetointroduce on Schumann's of famous this has touched Discussion justly composition style. of verseform distortion ofHeine's original (Cone 1957),theunusualsuccession form- is itbinary orternary? chords(Schoenberg seventh 1978)and theouter - as revealed (Horton1979andRothgeb1979).None byvoice-leading analysis a consideration ofthemoststriking oftheseanalyses, however, developsfrom on in thepiece,that to a melodic event ascent and memorable the is, highpoint This the word 'Herzens' (b. 27) and the subsequent resolution/descent. 162
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'HIGHPOINTS'

IN SCHUMANN'S

Dichterliebe

moment ofreversal is all themorestriking becausetheparticular is highpoint thehighest that the voice in pitch sings theentire cycle.This a2, whichforms added by Schumannonlyin the partof an ossia in bs 27-9, was apparently publishedscore(Hallmark1979: 69). Hallmarksaysit 'shouldbe sung',and indeed most performers preferthe higherversionbecause of its dramatic which is ina songthat marks a decisive impact, particularly appropriate turning in the as a whole. The or 'expandedrupture' break betweenthe point cycle and his belovedis herecompleted protagonist (Desmond 1972:24). It may be arguedthatthe highpoint on 'Herzens' is merely a foreground event not worthy of much analytical but thatwould amountto attention; the most salient featureof the song. On the other hand, underplaying Schumann's at thebeginning ofthesongsuggest that thehighpoint is premises the resultof a carefulstrategy; it is in this sense structural, everybit as structural as the3-2-1 descent whichsecures closurein bs 29-30. Ex. 1: bs 1-4ofDichterliebe, Song7
Nicht zu schnell

ImfL
Ichgrol-tenicht und wenndas Herz auch brichf.

imf

A consideration of the first fourbars of this song (Ex. 1) will show how Schumann for the in b. 27. The protagonist announces that prepares highpoint he no longer bearshis beloveda grudge eventhough hisheart maybreak.The thecycle,here imageof the brokenheart,developedextensively throughout underlines the most important rhetorical eventin Ex. 1, the highpoint on 'Herz' on the downbeatof b. 3. I refer to this as a highpoint because of a combinationof factorsaffecting melody, rhythm/duration, harmonyand texture. theAb on 'Herz' is thehighest line. Melodically, pitchin theopening It is also thepitchwiththegreatest durational value. Harmonically, thechord on thedownbeat ofb. 3 represents thepointofgreatest tension inthephrase.In terms of harmonic this chord is furthest from the distance, centre, C, and is used to enhance the cadentialdominantin the second half of that bar. themoment a physical Texturally, represents turning point,as can be observed
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V. KOFI

AGAWU

a physical inthemovement oftheouter voices.In other thebassreaches words, D' in direction b. 3, then changes by ascending by leap lowpoint on G to c. The downbeatof b. 3 therefore spans the largestregistral through area (D'-ab') of the sonorities in the opening phrase. Thus four-measure Schumannpresentsa paradigmatic shape phrase: its internal of the as in microcosm, the shape mirrors, song a whole. By focusingon as a sortof us forthefactthatthisis to function theword'Herz' he prepares in contexts five times The word occurs throughout varying poetic refrain. heartthatis the song (bs 3, 16, 21, 25 and 27). First,it is the protagonist's broken: 'Ich grollenichtund wenn das Herz auch bricht'.Then, through with thestrangest thepoemconcludes several image occurrences, intermediary dreamsthathis beloved'sheartis beingeaten by the of all: the protagonist . .. .' To invokea serpent:'Und sah die Schlang',die dir am Herzen frisst musicalanalogyforthe poeticprocess:the word 'Herz' is prolonged by the and associations. contextual ofvarious accretion meanings Ex. 2 comparesthosephrasesin the songwhichcontainthe word 'Herz'. in to createthe highpoint function Most of the dimensions complementarily the word 'Herz'inDichterliebe Ex. 2: Phrases No. 7 key containing

Herz-auch brict-r Undwenndas

Nacht in dei-nes Herz-ens

das Herz wenn Und

auch bricht

Herz-ensRau-me n de i-nes

die diram Herz-ensfrisst

inapproachtto andregistral intervallic reduction highpoint: expansion showing A-rhythmic

minor 3rd

4th perfect

5th perfect

5th perfect

164

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'HIGHPOINTS'

IN SCHUMANN'S

Dichterliebe

b. 27. Note firstthat the five occurrencesof 'Herz' are separated by smaller distances:13, 5, 4 and 3 bars. Second,thelocalapproach progressively to each occurrence revealsa cumulative intervallic minorthird (bs expansion: fourth minor third fifth 2-3), perfect (bs 15-6), (bs 20-1), perfect (b. 25) and fifth underlined (b. 27). This processis further perfect by a gradualregistral from to as well as an increase in dynamics. a2 expansion (b. 27) by ab' (b. 3) It may even be arguedthatA in b. 27 is a diatonicversionof Ab in b. 3, a transformation thatlends a further dimension to Heine's poeticmetaphors. Thus theclosinggesture ofthelastthree bars(G-A-G-E, piano) replacesthe chromatic version in b. 3 (A1-G-E, voice). Note further howtheaftermath of thehighpoint confirms thegesture: themelodic isreversed, contour descending butquicklyto a lowpoint, consistently C', in bs 32-3 (see Ex. 3) overcadential structure ofthissongis best then,is thatthedynamic harmony. My argument, conceivedas flexiblebackgroundshape, the narrative curve which is not restricted toanyone dimension, butis capableofabsorbing invarious processes dimensions. To the extent thatthe articulation of thiscurveoccursoverthe the'compositional theprocessmaybe spanofthepiece and mirrors dynamic', described as structural. descent from Ex. 3: Melodic inSong 7 (bs27ff.) highpoint

die dir am Her - zen ,frisst,

ich sah,mein Lieb,wie sehrdu

nd

S f II

I Ii Ii

bist.
I

Ich grol-len
I

An objectionmay be levelledagainstthe analysisof a nineteenth-century to register, and intervallic piece ifit givesequal emphasis dynamics, harmony succession.But thisis precisely thepointI wishto emphasize.A hierarchy of - with, dimensions derived from lateeighteenth-century for practice example, and rhythm as primary, and texture, and register melody, harmony dynamics
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V. KOFI

AGAWU

- is no longertenablehere. This issue has been discussed as secondary and so-called'primary' between byMeyer(1980). Distinguishing perceptively role he notes the increasingly important playedby 'secondary''parameters', in musicof in theshapingofmusicalprocessand form secondary parameters thenineteenth (: 194).5 century ofa background in thisanalysis to recognise theadvantages It is important as for of over a succession example, in a pitches found, specific 'shape' For reasonsindicatedabove, I do not Structure. Fundamental Schenkerian in this to be relevant as an analytical considersuch a proto-structure premise use of Dichterliebe not all the ofSchumann's kindofstudy songs songs.Further, curves.However, narrative to generate theirrespective the same dimensions are flexibleenough to be the just as Schenker'sFundamentalStructures within foractualizations a widehistorical factors common era,so thenarrative diverse of is as an realizations. functioning archetype, capable sustaining curve, III modified. In Songs 11 and 1 thebasicmodelis somewhat Song 11, as noted in a which culminate a of series describes earlier, relationships complicated moment of reversal in two. This is broken heart the initiator's event: tragic of a truncated version endofthepoem,producing at thevery occurs,typically, curve: thenarrative

closely, Schumannadds an extendedinFollowing this poetic structure of The overallgesture vocal highpoint. theterminal strumental postludeafter in b. 32) ofan ascent toa melodic thepiecethusconsists (see 'entzwei' highpoint ofthathighpoint: followed prolongation byan extended

embracebothtonaland melodic thishighpoint The methodsof preparing twoare tonally the first Of the threequatrains, dimensions. straightforward, home in the and dominants tonics thefirst key, Eb (bs 1-12), and alternating in thedominant thesecondusingthesamebasic syntax key,Bb (bs 13-24). In intensified the thirdquatrain(bs 24-32), the voice leadingis, by contrast,
166
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'HIGHPOINTS'

IN SCHUMANN'S

Dichterliebe

theascent tothehighpoint tounderline (Ex. 4). This is especially chromatically melodicascentto theprimary obviousfrom thecumulative note,Eb, in b. 32. Ex. 4: Chromatic intensification inapproach tohighpoint inDichterliebe No. 11,bs25-32
chromatic ascent

chromaticascent

Thereis one important difference between thishighpoint and that ofSong7. The highpoint hereis nota tensional one in need ofresolution, a butis rather In other thetension resolution. created words, pointoflocalmelodic-harmonic in b. 25) is releasedat the intensification by melodicand harmonic (beginning This is an a of terminal Indeed the stable, highpoint. example highpoint. thisresolution in a seriesof operaticgestures postludeconfirms hammering hometonic,subdominant and dominant chords.6 The structure ofSong 11contrasts with that ofthemuch-analysed effectively for 1982: 1971: 66-70 and Komar 1 (see Song 92-105, exampleNeumeyer with a melodic concludes ascent Benary1967:21-9). Each ofthetwoquatrains to a highpoint on the words 'aufgegangen' and 'Verlangen'(bs 12 and 23 For reasonsI shalldiscuss,theterminal respectively). F#'sin thesebarsmay be regarded as the structural as distinct from the physical highpoints, G (b. 12, voice) and G# notes highpoints (b. 12, piano) - two neighbouring whicharein conflict, to the of the world. The corresponding uncertainty poet's structure ofSong 1, then, a terminal structure, exemplifies highpoint although the chordalsupportforthe highpoints, D major,functions in a subsidiary within thetonalstructure ofthesongas a whole. capacity The methodsof organizing thishighpoint structure are more subtlethan thoseof the songsdiscussedpreviously. In Heine's poem thereis a reversal attheendofthesecondquatrain with theintroduction ofa disturbing occurring and highly sentiment in thetwowords'Sehnen' and 'Verlangen'. implicative We nowknowthat all is notwellinthis'lovely month ofMay'. The budsmaybe and thebirdsmaybe singing, butfortheprotagonist there is a forth, bursting growing sense of longing and desire. Clearly this sentimentdictated
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V. KOFI

AGAWU

- whatDesmond calls 'questioning Schumann'schoiceoftexture arpeggios' of key and of melodic-harmonic (1972: 23) design; and these are the dimensions whichultimately createthe dynamic structure of the song. Most havedrawnattention ofkeyin Song 1. The pointhas to theambiguity analysts often been made thatthe songbeginsand ends on thedominant of FO minor without once stating the tonic.This dominant is a 4-bar prolongation phrase that occurs three times (bs 1-4, 12-15, and 23-6). It acts as a point of and arrival- a trueprolongation in the Schenkerian sense. The departure of in creates a level stasis which is vocal sections ofthe offset the prolongation 4-12 In and other the voice the once enters, words, 15-23). song (bs piece harmonic motion and a clearer beginsto 'move'. It gainstonalclarity, greater This meansthattheessential melodicprofile. notto dynamic processbelongs, is but to the Tonal the4-bar vocal sections. clarity recurring phrase, intervening a one thusprojected fundamental not vice as versa, by ambiguity, might expect in thisrepertory.7 ofthissongas follows: Four simple articulate thedynamic structure gestures Lines: 1 2 3 4 Function: Statement Restatement Forward Greater forward motion motion Melodic Closed Closed Open shape: Open 10-12 4-6 8-10 Bars: 6-8 alsoapplies tobs 15-23) (Thisscheme whichis confirmed Line 1 makesan assertion byline 2. Line 3 questionsthis inmusicalmetaphor, line 4 the even and carries further, assertion, questioning thusgain of 3 third. the substance line a Successive gestures up bytransposing as music is the of stanza in rhetorical 1 repeated and, indeed, literally strength withinit, the last two stanza 2. Line 4 is clearlythe point of culmination; form a further of'aufgegangen' highpoint. syllables to the to 'melodicshape' above is meantto draw attention The reference to which inthissong,a succession ofmelodic succession contours approximates 2 and that lines Ex. 5 shows in structural kindofreversal another 1 procedure. 3 the lines and an overall whereas describe lines, 4, contour, closing descending A (b. 8) to F#(b. 12). This meansthatthe ascentfrom describea cumulative descend towardsmelodic 1, ascend points of closure, which traditionally in b. 10 whileF# is 3 ofD majorin b. 12). 3 (D is 3 ofB minor insteadtowards ofthree kindsof in 12 and thus bs 23 are The structural products highpoints second the in thelastlineofquatrain is thepoeticreversal The first reversal. 2; is a reversal of and thethird in the sequenceof tonalgestures; is thereversal melodiccontour. One further pointabout the meaningof lines 3 and 4 (Ex. 6): the ascent inthecycle is illusory. thehighpoint events towards We knowfrom subsequent hislonging and desire.Schumann that neversatisfies theprotagonist placesthe the thirdof the D majorchord(b. 12) in theuppermost voice, thuscreating 168
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'HIGHPOINTS)

IN SCHUMANN'S

Dichterliebe

No. 1 (bs4-12) ofvocal Ex. 5: Contour Dichterliebe, line,

G
F#
F E

D#
C#2

A#
B

A
G

F0

90ebt

No. 1 ofDichterliebe, Ex. 6: Bars8-12

sprangen

da

ist

n me -

nemHer - zen

die Lie -

be auf

ge-gan-gen

ritard.

. It

I.-

c-I-

ed I

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V. KOFI

AGAWU

so-called'poeticthird'effect, and also setsF#in an unstable environment (b. - G on the both diatonic and chromatic notes 12) byjuxtaposing neighbouring downbeat ofb. 12, and G# on thefourth quaverofthesamebar. This conflict theinstability reinforces of ofF#and, byimplication, (or temporary stability) theobjectoftheprotagonist's desireor evenoftheprotagonist himself.

IV
haveshown thehighpoint as a single The examples discussed so far moment, on of in usually a singlesyllable text.But thereare songs whichSchumann as a whichmaybe described by an extended region, replacessuch a moment in the same a stretch of of This is music prepared highactivity, 'highregion'. butprolonged overa significant period.Song 13offers wayas other highpoints, an example.The text is: Ichhab'imTraum geweinet imGrab. Mirtraumte, dulagest und Ichwachte die auf, Thrine Flossnoch vonderWange herab. Ichhab'imTraum geweinet. mich. Mirtraumt', duverliessest undichweinte Ichwachte auf, bitterlich. Nochlange Ichhab'imTraum geweinet, mir noch Mirtraumte, duwarst gut. immer auf Ichwachte undnoch meine Thrinenfluth. Str6mt the states: dream three modelwith a linear-dynamic Heinepresents progressive oftheprotagonist deathofthebeloved(quatrain1), herrejection 2) (quatrain and are numerous love forhim(quatrain3). Interpretations and herenduring in the poem, but its diverseon the various meaningsof this progression Note thehighdegreeof factor for ouranalysis. is themostimportant existence ineachquatrain. half ofline3 areidentical line1 andthefirst invariance: textual narration more the within which a constant or static This forms dynamic layer to it take of each dreamand the protagonist's place. Here, then,is response withreference discussed ofthestatic-dynamic manifestation another principle ofSong 1. to thetonalstructure ofHeine's poemfailsto takeintoaccountthe Schumann's reading Although in the between the first two quatrains,the composer narrative progression forthis in a the concluding such transforms way as to compensate quatrain in the omission. contains Quatrain3, fact, 'highregion'. apparent voiceandpianoin 1 and2 features a dialoguebetween The musicofquatrains whilethe theevents ofeachdream, narrates thevoice,inquasi-recitative, which 170
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'HIGHPOINTS'

IN SCHUMANN'S

Dichterliebe

withlow-register chords,all thisin the keyof Eb piano comments sparingly minoroftenassociatedwithdeath in Schumann'sworks(Sams 1975: 120). 3 begins, notwith theunaccompanied voiceas before, butwith a piano Quatrain introduction a moresustained whichpresents harmonization of the first two barsofthepiece (see bs 23-4). This articulative the of first hint transcontrast, formation of the earlier in b. 28. music,reachesa peak whenDb is tonicized Bars 28-33 (Ex. 7) form the'highregion'ofthepiece. This passageis marked of voice by threecomplementary processes.First,thereis an intensification in chromaticism the lines bs leadingby parallel (cf. Song 11, 25-32). piano motion intosharprelief. Second, a sustained pitch,db2,places thechromatic there is an in increase a from audible Third, dynamics barely pp in b. 25 to a in b. 31. as in both and dimenspresumed Here, f Song 7, primary secondary ionsfunction and equally complementarily. Ex. 7: Chromatic inascents intensification tohighpoints inDichterliebe, No. 13,bs28-33

gut Ichwach-te

auf

und noch

im

mer

str6mf meine Thr?- neu- flufh.

'

u v"r'L~..f

"

lmlm: ..PE.

PEI .w -:

ofcourse,there willalwaysbe a single in thehighregion moment Inevitably, thatcarries thepointofgreatest iftheactivity tension.In theory, in thehigh thelastchordpriorto theresolution constitutes the regionremains constant, In thissong,however, theactivity is intensified in thecourseofthe highpoint. notin a singlemoment, butrather in twosuccessive highregion, culminating, totwodifferent and highpoints dimensions, belonging First, melody harmony. a melodicpeak is reachedon thefirst twosyllables of'Thrinenfluth' (b. 31), a wordwhich,like 'Herz' in Song 7, embodiesthe basic imagery of thepoem. Second, a harmonicpeak is reached in bs 32-3, where an emphaticlocal dissonanceunderlines the bitterness of theprotagonist on awakingfrom this third dream.Melodicand harmonic arethusjuxtaposed in thehigh highpoints region. V The juxtaposition of highpoints in different dimensions as exemplified in a clue to understanding thedynamic structure ofone ofthe Song 13 provides mosteffective and powerful songsin thecycle,Song 4 (Ex. 8). This song is
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V. KOFI

AGAWU

Ex. 8

Lanpqam.
k. I.&LA. U_

I-

IL -------.--t

, : ,

. Pill
"ad. pr , g

A -_= _ d,',-'-'" --'L- W"-

or de i men na,so ' e ,' if =

AN -I_

bE M.

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use of poetic reversal(as noted at the special because of its paradigmatic of this It a usefulmodel forstudying beginning essay). provides,therefore, Schumann's of Heine's In what I shalldiscusstheways follows, reading poetry. in whichSchumann dramatizes thedynamic flow in Heine's poemby implicit from one dimensional to a highly moving highpoint another, thereby achieving and that cuts across Heine's integrated through-composed setting strophes. ofthesongis thediscrepancy between Perhapsthemostobviousfeature the structure ofthepoemand itssetting. Heine's poemis in theusualtwo-quatrain whereasSchumann'ssetting is through-composed, not strophic as one form, Hallmark's efforts to hear a outline' might expect. background (1979: 'strophic sincethatis justthestructure thatSchumann 50) seemmisplaced, apparently wishedtoavoid.The songmakesa unifying with no obvious'breaks'or gesture, moments of hesitation. Schumannresponds,not to the poeticstructure, the ofthepoem,butrather to itssense,itsdynamic form. 'outerform' I havealready notedthatthepoemconsists ofa simplerhetorical progression in whichtheprotagonist describes different levelsofintimacy with hisbeloved This progression a (all on the level of fantasy). suggests through-composed not a strophicone. In otherwords, since the poem progresses in setting, three couplets,thepairsoflinesmaybe groupedin twolargeparts.The first one gesture, whilethelastpair(lines pairs(lines 1-2, 3-4 and 5-6) constitute 7-8), which initiatesthe momentof reversaland subsequentresolution, constitutes the other gesture. This sense of the poem correspondsto a normative narrative curve:

Lines:

1-6

7-8

The imageof thissongas a singlegesture has been captured effectively by Schenker in a succinct reduction 1979:Fig. middleground (see Ex. 9, Schenker thisgraphis notas detailed 152,also quotedin Komar 1971: 109). Although as the well-known issues about thesong's analysisof Song 2, it raisespertinent structure and thelocation ofhighpoints. dynamic Schenker's aimin Ex. 9 is toillustrate 'undivided form' (1979: 130)as partof his 'new theory of form'.The graphshowshow themiddleground processes function as primary determinants of form.Since Schenker is not concerned withforeground to therhetorical or ornamental events,thereis no reference factors that contribute to the articulation of the major pointsof structural arrival. For example, in theapproach tothecadenceonC inb. 8 (see Ex. 8), the melodicvoicesoarsto a highG, creating thefirst on theword'ganz' highpoint whileinitiating a descentfromS in C. Although thisdescentis partof the structural close on C, it does not appear in Schenker's graph.Nor does the
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endpointof the descent(b. 8, downbeat),but ratherthe link to the next - the B majorchordin b. 9. However,a foreground structural element is Schenker's the which examination of implied by middleground, permits function ofthehighpoint (see Ex. 10). Ex. 9: Schenker's ofDichterliebe No. 4 analysis

OQ AA
3

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1

Ex. 10:Expansion ofbs 1-8 ofSchenker's (Ex 9) graph

A A
I(to b.9) X X

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G: I -X = sequentialrise to highpoint

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an in Schenker's The inclusion of b. 13 as a passingsonority graphreflects a that come to with dramatic to exists,strictly speaking, attempt grips passage includesthisdiminished levelof structure. Schenker onlyon the foreground but omits,forexample,the intervening seventhchordin the middleground from tonictodominant. themotion This chords between bs 1-4 which prolong in therigid oftherules toan obviousdifficulty application inconsistency points of formiddleground rules which may resultin the elimination reduction, in b. 13 represents The chord oneofthemost surface characteristics. important awareofthis. in thesong,and Schenker is clearly moments striking

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There are threemajor pointsof culmination in Song 4. The first is the melodichighpoint in b. 7 (mentioned The second is a melodic-textural above). b2 in b. 9 (and repeatedin b. 11). The thirdis the highpoint supporting diminished seventh chordin b. 13. The first g2 in b. 7, formspart of a cadentialclose on the highpoint, themotion towards thefirst tonal subdominant, C, thusenhancing contrasting in thesong.' Melodically, centre the culmination a of represents g2 sequence,as shownin Ex. 10. It is also probably thedynamic of bs and is thepeak 1-8, peak in rangefor voicein theentire song. The occurrence ofa highpoint so earlyin thesong- roughly a third ofthe - is likelyto weaken the overalldynamicstructure. way through (Cone, on the nature of musical form,remarksabout Also sprach commenting that'theframing Zarathustra introduction . . arrives ata climax so bigthat the rest of the tone-poemalmost sounds like an afterthought', 1968: 22-3.) Schumannforestalls this by makinga transition to anotherdimension and in effect fromthe first.It is creatinga second highpoint (b. 9) different structural in that itsupports thereturn octavetransposition ofmelodic through 3 fromthe first bar of the song (see Ex. 9). More important, Schumann establishes a direct linkbetween theprevious and thisone bymeans highpoint of a stepwiseascent,G-A-B (bs 8-9). This link is conveyedin Schenker's has a unique graph.The secondhighpoint, then,thoughrelatedto thefirst, textural disposition. The third themoment underlines ofreversal in Heine's poem,and highpoint Schumannagain switches to another dimension, (b. 13). This final harmony enhancesthemorestructural chordin b. 14, just as the highpoint supertonic first formed close on C in b. 8. But Schumann highpoint partofthecadential includes a variety ofdistinguishing features tofurther dramatize themoment of reversal. a diminished seventh First,theactualsonority, chord,is used forthe - a downwardarpeggiation first time in the song. Second, its disposition a wholebar is also newin thesong.Third,Schumann marksin a spanning whichcontributes to therhetorical ofthispassage. ritard., emphasis of highpointsdiscussed in Song 4, then, illustratesthe juxtaposition connection withSong 13. These points areeither structural in a tonal-harmonic senseor serveto enhancesubsequent structural a points.Theyfurther provide framework forhearing thedynamic structure ofthesongas a whole. VI I have arguedthatthe background structure of each of the songsapproximatesa dynamic or narrative an ascentto a highpoint curve,whichdescribes followedby a descent. In Schumann'ssongs this corresponds to Heine's of reversal, whichcharacterizes technique manyofthepoemsin Dichterliebe. Transformations ofthisbasic shapearepossible,including thewithholding of thedescent ofthenarrative theprolongation ofthehighpoint, or portion curve, thecreation ofa seriesofminiature curves leadingto one supreme highpoint.
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of on thecontext Whatthisshaperepresents takesvariousforms depending could be: thehighest thesong. The highpoint pitchofa melodicline; thelast the last significant transformation; stage of a sequence; a point of textural is of dimension dissonancebeforethe finalclose; and so on. The flexibility of The ofprescription. advantage ifanalysis is to avoid thepitfalls important a model which providesunity,facilitating is that it offers this flexibility comparisonbetweenpieces. The model describedhere is, of course, not Rosen ofSchumann. to theDichterliebe restricted songs,norevento theworks of . in a series waves, that'. . . themusicof Schumann . . comes has written reserved forthe moment and the climaxis generally just beforeexhaustion' may be said to providethe archetypal pattern (1971: 453). Yet the implicit in nineteenth-century principleof formalstructure single,most consistent music. In an attemptto come to termswith the convenientbut misleading I have had to abandon and ornamental structural between factors, dichotomy and from Schenker thedimensional instead,a postulate, stemming hierarchy or of a curve in form model the or Darwinian (Wintle1982 shape biological of Dahlhaus's of a on in the context this touchesbriefly theories).I critique of mid-to-late to the structure that unravel believe nineteenth-century attempts of dimensionsderived from music which take as premise the hierarchy music are misguided.Thus, as discussedearlierin this eighteenth-century between'primary'and 'secondary'dimensions, study,Meyer's distinction ifapplied is lesseffective for whileappropriate Mozart,Haydnand Beethoven, or latercomposers. to Schumann those'dramatic', to includein myanalyses 'moving', Finally,I have sought are often notmentioned which of this music and aspects 'disturbing' 'striking' these of representing in the searchfor structural process. The importance to be not is music of elusiveaspects nineteenth-century analytically overlooked, ofcommunicatwith theimmediacy inthiserawereconcerned sincecomposers mouldsofformal ion overtheuse ofnormative expression. NOTES however. Newman(1952) is, to my 1. Thereare some significant exceptions, Muns ofclimax. to the devoted first the exclusively phenomenon study knowledge, Muns's framework. ideasina historical Newman's andamplifies (1955)develops in ofclimax occurrences ofvarious an overview inproviding useful is very study is it but twentieth the to the medieval from music necessarily century, early period of isa three-part and1983) Pierce initsanalytical limited study (1978,1979 rigour. inanyspecific itis notpresented from a performer's climax Although viewpoint. most isthe ofinsights. itisfull theoretical recent, and,for my (1980) Meyer mould, tointegrate which of the useful most the attempts study phenomenon, purposes, ingeneral. Romanticism with ideasabout ofhighpoint the notion Tenth of Mahler's movement to thefirst 2. For a different analytical approach a the author where see explanation providesconvincing (1981), Symphony, Kaplan ofthe ofthe central climax for thestructural piece. origins

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3. There are few rigorousanalyticalstudies. The following may be considered of the various approachesdeveloped so far: Desmond (1972), representative Hallmark (1979), Komar (1971), Moore (1981), Neumeyer(1982) and Sams (1975). of 4. For further of'climax',see theintroductory oftheetymology discussion chapter Muns (1955). 5. The elevation tothelevelofprimary onesgoes ofso-called 'secondary parameters' on back as faras Beethoven.In a stimulating Beethoven's Symphonies, paper - whichwouldbe classified as a secondary Morgan(1980) has shownhowtimbre - plays a primary dimension role in certainpassages fromthe First, Third, Sixth and NinthSymphonies. Fourth, In generalI have 6. This point depends on one's initialdefinition of highpoint. a definition in whichthe highpoint is considered favoured tensional, requiring with Song 11, that the tensional resolution.It may be argued,in connection a occurs just beforethe Eb in b. 32. This would avoid describing highpoint - especiallyone thathas been precededby an extensive harmonicresolution - as a highpoint. as I havetriedto show, chromatic intensification Nevertheless, thepostludeof thissongperforms a further function sincethesingle 'resolutory' in the all thetension accumulated Eb chordin b. 32 is notcapableofneutralising courseofthechromatic buildup. Bar 32 is, in thatsense,a highpoint. 7. This has eluded mostanalysts of thesong; but it is an important point,notonly becauseofwhatit showsabout Schumann's music,butalso becauseit shedslight on compositional music. Liszt offers procedurein other nineteenth-century where so much durational is to what we traditionally examples prominence given describeas dissonancesthatthereseems to be a reversal of function between consonance and dissonance. 8. Heine's poetic structure here is an exampleof what Smithcalls a 'paratactic structure'. On theformal and thematic see Smith(1968: aspectsofthisstructure, 98-108). 9. Thereare disagreements aboutwhether theoptional melodiclinein amongcritics b. 7 ofSong4 shouldbe performed ornot.Hallmark thealternative notes, saysthat first addedinthepublished shouldnotbe sung(1979: 50). His mainreason version, is theneedtopreserve a melodic between bs 6-7 and 14-5. Moore, correspondence on theother thehigher butwarns thesinger too hand,prefers notes, against placing much emphasison this preliminary since '. . . infinitely highpoint, biggerand moredramatic climaxes comelaterin thecycle'(1981: 5). Moore's comments are ofa highpoint becausethey showan awareness scheme and ofan implicit pertinent in thedistribution ofhighpoints. hierarchy 10. The nextstagein theanalysis wouldbe tohierarchize thesuccession ofhighpoints, a procedure that would require the establishment of adequate criteriafor therelative ofthevarious determining weights highpoints. REFERENCES am ersten Benary,Peter, 1967: 'Die Technikder musikalischen Analysedargestellt Lied aus RobertSchumann's"Dichterliebe"', in Benary,ed., Versuche musikalischer (Berlin:Merseburger), Analysen pp. 21-9. An Bergquist,Peter, 1980: 'The First Movementof Mahler's Tenth Symphony: andan Examination oftheSketches', TheMusicForum, Vol. 5, pp. 335-94. Analysis
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View',Perspectives Childs,Barney,1977: 'Time: A Composer's ofNew Music,Vol. 15, No. 2, pp. 194-219. totheText',in Cone,EdwardT., 1957:'WordsintoMusic: The Composer's Approach NorthropFrye, ed., Sound and Poetry,English InstituteEssays (New York: ColumbiaUniversity), pp. 3-1. - 1968:MusicalFormandMusicalPerformance (New York: Norton). Desmond,Astra,1972:Schumann Songs(London: BBC). Music(New York: Norton),3rded. Grout,Donald J., 1980:A History ofWestern A SourceStudy(Ann Dichterliebe: Hallmark,Rufus,1979: The Genesis ofSchumann's Arbor:UMI). Functionof Dynamicsin Schumann's"Ich Horton,CharlesT., 1979: 'A Structural nicht" ', In Theory Only,Vol. 4, No. 8, pp. 30-46. grolle of Diatonic Collectionsin the Adagio of Kaplan, Richard, 1981: 'The Interaction In Theory Mahler'sTenthSymphony', Only,Vol. 6, No. 7, pp. 29-39. Dichterliebe 1971,ed.: Schumann: (New York: Norton). Komar,Arthur, Heinrich Heines(Frankfurt imWerk undIronie Lehmann,Ursula,1976:Popularisierung am Main: PeterLang). in Music (New Jersey: Romanticism Longyear,Ray M., 1973: Nineteenth-Century 2nd ed. Prentice-Hall), and Change', Meyer,Leonard B., 1980: 'ExploitingLimits: Creation,Archetypes Daedalus, Spring, pp. 177-205. TheMusic Prelude:Techniquesand Structure', William,1967: 'The Tristan Mitchell, Vol. 1, pp. 162-203. Forum, (New York: Moore, Gerald, 1981: Poet's Love: The Songsand Cyclesof Schumann Taplinger). in Beethoven's paper Symphonies', Morgan,RobertP., 1980: 'TimbralComposition with of theAmerican read at the46thannualmeeting jointly Musicological Society forMusic Theoryin Denver,Colorado. theSociety of North Muns, GeorgeE., Jnr,1955: 'Climax in Music', Ph.D. diss., University Carolina. Look at and the Song Cycle: Another Neumeyer,David, 1982: 'Organic Structure Vol. 4, pp. 92-105. MusicTheory Schumann's Dichterliebe', Spectrum, Newman,WilliamS., 1952: 'The ClimaxofMusic', MusicReview,Vol. 13, pp. 28393. Vol. 4, No. 5, and Phrase(Part1)', In Theory 1978: 'Structure Only, Pierce,Alexandra, pp. 22-35. and Phrase(PartII)', In Theory Phrase- Structure 1979: 'Performance Only,Vol. 3-24. No. 3, pp. 5, and Phrase(PartIII)', In Theory 1983: 'Climaxin Music- Structure Only,Vol. 7, No. 1, pp. 3-30. Vol. 1 Prawer,S. S., 1960: Heine: Buch derLieder,Studiesin GermanLiterature, Arnold). (London: und Epochenbeziige Heine: Werkstrukturen Preisendanz,Wolfgang,1973: Heinrich Fink). (Munich:Wilhelm Art(New York: McGrawHill), 2nded. Leonard, 1966:Music: TheListener's Ratner, (London: Faber). Rosen,Charles,1971: TheClassicalStyle on Horton(1979) in In Theory Only,Vol. 5, No. 2, Rothgeb,John,1979: comment 15-17. pp. 2nd ed. Schumann (London: Eulenberg), Sams,Eric, 1975: TheSongsofRobert

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trans.ErnstOster(New York: LongSchenker,Heinrich,1979: Free Composition, man). trans. Roy E. Carter (London: Schoenberg,Arnold, 1978: Theory of Harmony, Faber). Smith,Barbara H., 1968: Poetic Closure:A Studyof How Poems End (Chicago: ofChicago). University 1982: 'Issues in Dahlhaus', Music Analysis, Vol. 1, No. 3, Wintle, Christopher, pp. 341-55.

APPENDIX Translations from Komar(1971): Dichterliebe No. 4 WhenI look intoyoureyes all mysorrow and pain disappear; butwhenI kissyourmouth, thenI becomewholly well. WhenI lie uponyourbreast a heavenly comesoverme; happiness butwhenyousay: I loveyou! thenI mustweepbitterly. Dichterliebe No. 11 A boylovesa girl whohas chosenanother; theother lovesstillanother and has married thisone. The girltakesoutofspite thefirst, mosteligible man whocomesherway; theboyis miserable overit. It is an old story, evernew; yetitremains and whoever it, experiences has hisheartbroken in two. Dichterliebe No. 13 I criedin mydream: I dreamed that youlayin yourgrave. I wokeup, and thetears werestillstreaming downmycheeks.
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I cried inmy dream: I dreamed that me. youhadforsaken I woke up,andI cried still andbitterly. long I cried inmy dreams: I dreamed that loved me. youstill I woke up,andstill the flood ofmy tears is streaming.

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