Structural 'Highpoints' in Schumann's 'Dichterliebe'

Author(s): V. Kofi Agawu

Source: Music Analysis, Vol. 3, No. 2 (Jul., 1984), pp. 159-180
Published by: Wiley
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V. KOFI AGAWU
STRUCTURAL 'HIGHPOINTS' IN SCHUMANN'S
DICHTERLIEBE
INTRODUCTION
The
phenomenon
of climax is central to our musical
experience.*
In no other
repertoire
is this more evident than that of the nineteenth
century.
When we
hear a
symphony by
Bruckner or
Mahler,
a tone
poem by
Liszt or Richard
Strauss,
or even a
song by
Schumann or
Wolf,
our
experience
is
shaped
primarily by
those focal
points
into which the various strands of the
piece
seem to coalesce and
thereby
make a
strong
emotional
impact.
Thus we
speak
of
'devastating climaxes', 'moving climaxes',
'terrible
climaxes',
'anti-
climaxes',
and so on.
Yet, among
the
large
number of music-theoretical
studies that have
emerged
in recent
years,
there are few
attempts
to
incorporate
this
experience
into the formulation of an
analytical
model.'
This omission becomes
especially apparent
in
analytical
studies of those
pieces
whose internal
dynamic
is
shaped fundamentally by
such focal
points
or
highpoints. Consider,
for
example,
William Mitchell's well-known
study
of the Tristan Prelude
(1967).
Mitchell makes
only
brief and
passing
references to the various
highpoints
that
shape
the
piece,
indeed
shape
our
experience
of the
very
linear
processes
that he is
primarily
concerned with. In
the
end,
he misses the most
apparent
and immediate overall
gesture
of the
piece, namely
the rise to a tensional
high-point (b.83)
followed
by
a
graceful
decline.
Consider too Peter
Bergquist's
extensive Schenkerian
analysis
of the first
movement of Mahler's Tenth
Symphony (1980).
For the
average listener,
the salient feature of the
piece
is the
pair
of
shattering
climaxes that occurs
about two-thirds of the
way through (Figs
26 and
27+5).
These moments
stand out not
only
because
they
reach
high dynamic
levels but because
they
have been
prepared consistently
from the
beginning
of the movement.2
Bergquist, however,
has little use for these
important
rhetorical
signals.
In
both his and Mitchell's
analytical schemes,
these
highpoints
are
'foreground
events'.
Further
survey
of the literature shows that writers who concern
*I
would like to thank Professor Arnd Bohm of
Bryn
Mawr
College
for
sharing
with me his
insights
into
Heine's
poetry.
This
essay
is dedicated to
my
friend and mentor Ronald Woodham.
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V. KOFI AGAWU
themselves with notions of climax are not the 'serious' theorists
-
say,
Schenkerians,
set-theoreticians and semioticians
-
but rather those who are
addressing
a
non-specialist
audience in such documents as
programme notes,
books on music
appreciation
or
opera guides.
But
surely
it is ironic that our
most
ordinary
and substantive
experience
functions
only minimally
in at-
tempts
to unravel the structure of
music, suggest ways
of
hearing, and,
through these, deepen
our emotional
experience
of the works we
analyse.
In this
essay,
I shall
suggest
the terms in which an
empirically-derived
theoretical model based on the notion of climax
might
be couched. I have
chosen for this
purpose
Schumann's well-known
cycle,
Dichterliebe
(1840),
from which selected
songs
are
analysed. Why
Schumann? Because I believe -
alongside
others such as Grout
(1980: 563)
and
Longyear (1973: 118)
-
that
Schumann is the
quintessential
Romantic
composer.
Since the
phenomenon
of climax is most
clearly
associated with
nineteenth-century music,
Schumann
may
serve as a model for
studying
other
composers.
A more
pertinent purpose
is to illuminate certain
aspects
of Schumann's
style
as a
song composer,
aspects
that have received
surprisingly
little attention in the extensive
literature on the
songs.3
I will therefore be
treading
a fine line between
theory
and
analysis.
My study
is in two main
parts. First,
I discuss a
recurring principle
in
Heine's
early poetry,
the
principle
of
'reversal',
which
provides
a useful
metaphor
for certain kinds of musical climax.
Then,
I
analyse Songs 7,
13 and
4 of
Dichterliebe,
with
passing
reference to
Songs
1 and 11. Each
analysis
focuses on the
moment(s)
of reversal
which,
I
argue,
are the crucial
determinants of the structure of Schumann's
songs.
A brief word about
terminology:
I use
'highpoint'
in
place
of 'climax' to
avoid
ambiguity.
In
Greek,
'Klimax' means ladder or staircase. In this
sense,
it denotes an
arrangement
of
figures
in
ascending
order of
intensity.
Nowadays, however,
climax refers to the
highest point only
of a
given process.
Thus,
whereas the former
meaning
includes the
process
of
arrangement,
the
latter refers
only
to the
point
of culmination.
My
term
'highpoint'
is used in
this latter sense to denote what is
frequently
the most decisive
turning point
in
the
piece.4
I
A
recurring
feature of Heine's
early poetry
is
'reversal',
which occurs
typically
at the end of a
poem.
This
device,
also known as
Stimmungsbrechung,
has been discussed
by
several
scholars, including
Prawer
(1960: 40-6),
Preisendanz
(1973: 15-6),
Lehmann
(1976: 90-6)
and Hallmark
(1979: 3-7).
Prawer
analyses
the moment of reversal in terms of a
play
of wit and
irony,
citing
Heine's Die Heimkehr 25 as an
example.
He describes the
contextually
absurd last line in terms of 'a douche of cold water',
'a
sting
in the tail',
'a
moral
slap
in the face',
and so forth
(1960: 42), noting
that this often entails a
progression
from seriousness to
triviality.
Prawer finds no
precedent
for the
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'HIGHPOINTS'
IN SCHUMANN'S Dichterliebe
use of this device in German
poetry,
and concludes that it must
originate
with
Heine.
A moment of reversal
implies
that there is a
logical progression
in the
narrative,
which is then
disrupted,
and that this
disruption
is an event of
great
dramatic
significance.
Preisendanz
(1973: 15-16)
describes this moment
using
such words as
'rupture', 'contrast', 'break',
and 'ambivalence'.
Taking
his cue
from certain statements
by
Heine
regarding
the
poet's place
in the world
-
the
poet's heart,
Heine's inflated
imagery
has
it,
is the middle of the world -
Preisendanz shows that reversal is inevitable and can be
thought
of in terms of a
split
of
'unitary expression'.
Schumann,
of
course,
was sensitive to
many aspects
of Heine's
poetry,
and
although
reversal as a
poetic technique undergoes
some transformation when
applied
to
music,
Schumann
always
marked those moments for attention. Some
comments on the Heine
poem
used in
Song
4 of Dichterliebe will
help
in the
understanding
of reversal:
Wenn ich in deine
Augen seh',
So schwindet all' mein Leid und
Weh;
Doch wenn ich
kiisse
deinen
Mund,
4 So werd' ich
ganz
und
gar gesund.
Wenn ich mich lehn' an deine
Brust,
Kommt's
iiber
mich wie
Himmelslust;
Doch wenn du
sprichst:
Ich liebe
dich,
8 So muss ich weinen bitterlich.*
The
poem
is
typically
short
-
two four-line stanzas
-
with an
end-rhyme
scheme. The narrative
proceeds
in
couplets (Hallmark
1979:
49),
and the
'sting'
occurs in the last
couplet (lines 7-8).
In other
words,
Heine's
description
of
various levels of
intimacy
-
from a mere look
(line 1), through
a kiss on the
mouth
(line 3),
to
lying
on the beloved's breast
(line 5)
-
proceeds 'linearly'
towards a
highpoint.
But the last line
erupts
with a
change
in the direction of the
narrative: to his beloved's 'Ich liebe
dich',
the
protagonist
must
weep bitterly.
The ironic nature of this
poem
has been discussed
by
several commentators
(for
example
Sams 1975:
111,
Komar 1971: 10 and Hallmark 1979:
44-50).
The
main
point
is the
surprise ending,
the
change
from
increasing
levels of
intimacy
to the
shedding
of bitter tears.
Several of the
poems
of Dichterliebe use this device.
Song
11
is another case in
point:
Ein Jiungling
liebt
ein
Miidchen,
Die hat einen andern
erwaihlt,
Der And're liebt eine
And're,
4 Und hat sich mit dieser
vermiihlt.
*See
Appendix
for translations
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V. KOFI AGAWU
Das
Midchen
nimmt aus
Arger
Den
ersten,
besten
Mann,
Der ihr in den
Weg gelaufen,
8 Der
Jungling
ist
Obel
dran.
Es ist eine alte
Geschichte,
Doch bleibt sie immer
neu,
Und wem sie
just passiret,
12 Dem bricht das Herz entzwei.
Here is a familiar
love-triangle,
in which a series of
complicated relationships
culminates in
rupture:
the initiator's heart is broken in two. This
poetic
structure, however,
differs from that of
Song
4
because,
instead of
reversal,
there is a terminal
highpoint
which
explodes
the
preparatory processes (line
12). Again,
in the final
song
of the
cycle, Song 16,
Heine
develops
an elaborate
scenario in the first five stanzas before
providing
the moment of reversal in the
sixth and last
stanza,
which tells us who inhabits the coffin discussed in the
previous
five stanzas. The structural
highpoint
of the
song
occurs in this last
stanza.
The moment of
reversal, then,
is a
point
of rhetorical
significance.
The
composer may
choose to
represent
this as a
highpoint
which could take
many
different forms. It
may
be a
simple
melodic
peak,
a
point
of textural
culmination,
or the
point
of
greatest
harmonic tension. We
might represent
the
compositional dynamic
of each
song
in terms of a
generalized shape
that has
been
called, variously,
a
'dynamic
curve'
(Ratner
1966:
314)
and a 'narrative
curve'
(Childs
1977:
195):
The curve describes an ascent to a
highpoint
and a descent therefrom. The
specific
musical
processes
that articulate this
shape depend
on a number of
contextural factors. For
now,
we should bear in mind its
'background'
structuring
role and the
variety
of
ways
in which it
may
be realized.
II
Song
7 will serve to introduce the fundamental elements of Schumann's
song
style.
Discussion of this
justly
famous
composition
has touched on Schumann's
distortion of Heine's
original
verse form
(Cone 1957),
the unusual succession of
seventh chords
(Schoenberg 1978)
and the outer form- is it
binary
or
ternary?
-
as revealed
by voice-leading analysis (Horton
1979 and
Rothgeb 1979).
None
of these
analyses, however, develops
from a consideration of the most
striking
and memorable event in the
piece,
that
is,
the ascent to a melodic
highpoint
on
the word 'Herzens'
(b. 27)
and the
subsequent
resolution/descent. This
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'HIGHPOINTS'
IN
SCHUMANN'S
Dichterliebe
moment of reversal is all the more
striking
because the
particular highpoint
is
the
highest pitch
that the voice
sings
in the entire
cycle.
This
a2,
which
forms
part
of an ossia in bs
27-9,
was
apparently
added
by
Schumann
only
in the
published
score
(Hallmark
1979:
69).
Hallmark
says
it 'should be
sung',
and
indeed most
performers prefer
the
higher
version because of its dramatic
impact,
which is
particularly appropriate
in a
song
that marks a decisive
turning
point
in the
cycle
as a whole. The break or
'expanded rupture'
between the
protagonist
and his beloved is here
completed (Desmond
1972:
24).
It
may
be
argued
that the
highpoint
on 'Herzens' is
merely
a
foreground
event not
worthy
of much
analytical attention;
but that would amount to
underplaying
the most salient feature of the
song.
On the other
hand,
Schumann's
premises
at the
beginning
of the
song suggest
that the
highpoint
is
the result of a careful
strategy;
it is in this sense
structural, every
bit as
structural as the 3-2-1 descent which secures closure in bs 29-30.
Ex. 1: bs 1-4 of
Dichterliebe, Song
7
Nicht zu schnell
ImfL
Ich grol-te
nicht und wenndas Herz auch
brichf.
imf
A consideration of the first four bars of this
song (Ex. 1)
will show how
Schumann
prepares
for the
highpoint
in b. 27. The
protagonist
announces that
he no
longer
bears his beloved a
grudge
even
though
his heart
may
break. The
image
of the broken
heart, developed extensively throughout
the
cycle,
here
underlines the most
important
rhetorical event in Ex.
1,
the
highpoint
on
'Herz' on the downbeat of b. 3.
I
refer to this as a
highpoint
because of a
combination of factors
affecting melody, rhythm/duration, harmony
and
texture.
Melodically,
the
Ab
on 'Herz' is the
highest pitch
in the
opening
line.
It is also the
pitch
with the
greatest
durational value.
Harmonically,
the chord
on the downbeat of b. 3
represents
the
point
of
greatest
tension in the
phrase.
In
terms of harmonic
distance,
this chord is furthest from the
centre, C,
and is
used to enhance the cadential dominant in the second half of that bar.
Texturally,
the moment
represents
a
physical turning point,
as can be observed
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V. KOFI AGAWU
in the movement of the outer voices. In other
words,
the bass reaches a
physical
lowpoint
on D' in b.
3,
then
changes
direction
by ascending by leap
through
G to c. The downbeat of b. 3 therefore
spans
the
largest registral
area
(D'-ab')
of the sonorities in the
opening phrase.
Thus
Schumann
presents
a
paradigmatic
four-measure
phrase:
its internal
shape
mirrors,
in
microcosm,
the
shape
of the
song
as a whole.
By focusing
on
the word 'Herz' he
prepares
us for the fact that this is to function as a sort of
poetic
refrain. The word occurs five times in
varying
contexts
throughout
the
song (bs 3, 16, 21,
25 and
27). First,
it is the
protagonist's
heart that is
broken: 'Ich
grolle
nicht und wenn das Herz auch bricht'.
Then, through
several
intermediary occurrences,
the
poem
concludes with the
strangest image
of all: the
protagonist
dreams that his beloved's heart is
being
eaten
by
the
serpent:
'Und sah die
Schlang',
die dir am Herzen frisst .
..
.' To invoke a
musical
analogy
for the
poetic process:
the word 'Herz' is
prolonged by
the
accretion of various contextual
meanings
and associations.
Ex. 2
compares
those
phrases
in the
song
which contain the word 'Herz'.
Most of the dimensions function
complementarily
to create the
highpoint
in
Ex. 2: Phrases
containing
the
key
word 'Herz' in Dichterliebe No. 7
Undwenndas Herz-auch
brict-r
in dei-nes Herz-ens Nacht
Und wenn das Herz auch bricht
n de i-nes Herz-ens Rau-me
die dir am Herz-ens frisst
A-rhythmic
reduction
showing
intervallic and
registral expansion
in
approachtto highpoint:
minor 3rd perfect
4th
perfect 5th perfect
5th
164
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'HIGHPOINTS'
IN
SCHUMANN'S
Dichterliebe
b. 27. Note first that the five occurrences of 'Herz' are
separated by
progressively
smaller distances:
13, 5,
4 and 3 bars.
Second,
the local
approach
to each occurrence reveals a cumulative intervallic
expansion:
minor third
(bs
2-3), perfect
fourth
(bs 15-6),
minor third
(bs 20-1), perfect
fifth
(b. 25)
and
perfect
fifth
(b. 27).
This
process
is further underlined
by
a
gradual registral
expansion
from
ab' (b. 3)
to
a2 (b. 27)
as well as
by
an increase in
dynamics.
It
may
even be
argued
that A in b. 27 is a diatonic version of
Ab
in b.
3,
a
transformation that lends a further dimension to Heine's
poetic metaphors.
Thus the
closing gesture
of the last three bars
(G-A-G-E, piano) replaces
the
chromatic version in b. 3
(A1-G-E, voice).
Note further how the aftermath of
the
highpoint
confirms the
gesture:
the melodic contour is
reversed, descending
consistently
but
quickly
to a
lowpoint, C',
in bs 32-3
(see
Ex.
3)
over cadential
harmony. My argument, then,
is that the
dynamic
structure of this
song
is best
conceived as flexible
background shape,
the narrative curve which is not
restricted to
any
one
dimension,
but is
capable
of
absorbing processes
in various
dimensions. To the extent that the articulation of this curve occurs over the
span
of the
piece
and mirrors the
'compositional dynamic',
the
process may
be
described as structural.
Ex. 3: Melodic descent from
highpoint
in
Song
7
(bs
27
ff.)
die dir am Her - zen
,frisst,
ich
sah,
mein
Lieb,wie
sehr
du
e
-
nd
S
Ii
I
I
II
f
Ii I
bist. Ich grol-len
h
I
I
I
I
An
objection may
be levelled
against
the
analysis
of a
nineteenth-century
piece
if it
gives equal emphasis
to
register, dynamics, harmony
and intervallic
succession. But this is
precisely
the
point
I wish to
emphasize.
A
hierarchy
of
dimensions derived from late
eighteenth-century practice
-
with,
for
example,
melody, harmony
and
rhythm
as
primary,
and
texture, dynamics
and
register
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V. KOFI AGAWU
as
secondary
-
is no
longer
tenable here. This issue has been discussed
perceptively by Meyer (1980). Distinguishing
between so-called
'primary'
and
'secondary' 'parameters',
he notes the
increasingly important
role
played by
secondary parameters
in the
shaping
of musical
process
and form in music of
the nineteenth
century (: 194).5
It is
important
in this
analysis
to
recognise
the
advantages
of a
background
'shape'
over a
specific
succession of
pitches
as
found,
for
example,
in a
Schenkerian Fundamental Structure. For reasons indicated
above,
I do not
consider such a
proto-structure
to be relevant as an
analytical premise
in this
kind of
study
of Schumann's
songs. Further,
not all the
songs
of Dichterliebe use
the same dimensions to
generate
their
respective
narrative curves.
However,
just
as Schenker's Fundamental Structures are flexible
enough
to be the
common factors for actualizations within a wide historical
era,
so the narrative
curve, functioning
as an
archetype,
is
capable
of
sustaining
diverse
realizations.
III
In
Songs
11 and 1 the basic model is somewhat modified.
Song 11,
as noted
earlier,
describes a series of
complicated relationships
which culminate in a
tragic
event: the initiator's heart is broken in two. This moment of reversal
occurs, typically,
at the
very
end of the
poem, producing
a truncated version of
the narrative curve:
Following
this
poetic
structure
closely,
Schumann adds an extended in-
strumental
postlude
after the terminal vocal
highpoint.
The overall
gesture
of
the
piece
thus consists of an ascent to a melodic
highpoint (see
'entzwei' in b.
32)
followed
by
an extended
prolongation
of that
highpoint:
The methods of
preparing
this
highpoint
embrace both tonal and melodic
dimensions. Of the three
quatrains,
the first two are
tonally straightforward,
the first
alternating
tonics and dominants in the home
key, Eb
(bs 1-12),
and
the second
using
the same basic
syntax
in the dominant
key, Bb
(bs 13-24).
In
the third
quatrain (bs 24-32),
the voice
leading is, by contrast,
intensified
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ANALYSIS 3:2,
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'HIGHPOINTS'
IN SCHUMANN'S Dichterliebe
chromatically
to underline the ascent to the
highpoint (Ex. 4).
This is
especially
obvious from the cumulative melodic ascent to the
primary note,
Eb,
in b. 32.
Ex. 4: Chromatic intensification in
approach
to
highpoint
in
Dichterliebe
No.
11,
bs 25-32
chromatic ascent
I w
chromatic
ascent
I
There is one
important
difference between this
highpoint
and that of
Song
7.
The
highpoint
here is not a tensional one in need of
resolution,
but is rather a
point
of local melodic-harmonic resolution. In other
words,
the tension created
by
melodic and harmonic intensification
(beginning
in b.
25)
is released at the
highpoint.
This is an
example
of a
stable,
terminal
highpoint.
Indeed the
postlude
confirms this resolution in a series of
operatic gestures hammering
home
tonic,
subdominant and dominant chords.6
The structure of
Song
11
contrasts
effectively
with that of the
much-analysed
Song
1
(see
for
example Neumeyer
1982:
92-105,
Komar 1971: 66-70 and
Benary
1967:
21-9).
Each of the two
quatrains
concludes with a melodic ascent
to a
highpoint
on the words
'aufgegangen'
and
'Verlangen' (bs
12 and 23
respectively).
For reasons I shall
discuss,
the terminal
F#'s
in these bars
may
be
regarded
as the structural
highpoints,
as distinct from the
physical
highpoints
G
(b. 12, voice)
and
G# (b. 12, piano)
-
two
neighbouring
notes
which are in
conflict, corresponding
to the
uncertainty
of the
poet's
world. The
structure of
Song 1, then, exemplifies
a terminal
highpoint structure, although
the chordal
support
for the
highpoints,
D
major,
functions in a
subsidiary
capacity
within the tonal structure of the
song
as a whole.
The methods of
organizing
this
highpoint
structure are more subtle than
those of the
songs
discussed
previously.
In Heine's
poem
there is a reversal
occurring
at the end of the second
quatrain
with the introduction of a
disturbing
and
highly implicative
sentiment in the two words 'Sehnen' and
'Verlangen'.
We now know that all is not well in this
'lovely
month of
May'.
The buds
may
be
bursting forth,
and the birds
may
be
singing,
but for the
protagonist
there is a
growing
sense of
longing
and desire.
Clearly
this sentiment dictated
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ANALYSIS
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1984 167
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V. KOFI AGAWU
Schumann's choice of texture
-
what Desmond calls
'questioning arpeggios'
(1972: 23)
-
of
key
and of melodic-harmonic
design;
and these are the
dimensions which
ultimately
create the
dynamic
structure of the
song.
Most
analysts
have drawn attention to the
ambiguity
of
key
in
Song
1. The
point
has
often been made that the
song begins
and ends on the dominant of
FO
minor
without once
stating
the tonic. This dominant
prolongation
is a 4-bar
phrase
that occurs three times
(bs 1-4, 12-15,
and
23-6).
It acts as a
point
of
departure
and arrival - a true
prolongation
in the Schenkerian sense. The
prolongation
creates a level of stasis which is offset in the vocal sections of the
song (bs
4-12 and
15-23).
In other
words,
once the voice
enters,
the
piece
begins
to 'move'. It
gains
tonal
clarity, greater
harmonic motion and a clearer
melodic
profile.
This means that the essential
dynamic process belongs,
not to
the 4-bar
recurring phrase,
but to the
intervening
vocal sections. Tonal
clarity
is
thus
projected by
a fundamental
ambiguity,
not vice
versa,
as one
might expect
in this
repertory.7
Four
simple gestures
articulate the
dynamic
structure of this
song
as follows:
Lines: 1 2 3 4
Function: Statement Restatement Forward Greater
motion forward
motion
Melodic
shape:
Closed Closed
Open Open
Bars: 4-6 6-8 8-10 10-12
(This scheme also applies to bs 15-23)
Line
1
makes an assertion which is confirmed
by
line 2. Line 3
questions
this
assertion,
and line 4 carries the
questioning
even
further,
in musical
metaphor,
by transposing
the substance of line 3
up
a third. Successive
gestures
thus
gain
in rhetorical
strength and, indeed,
the music of stanza
1
is
repeated literally
as
stanza 2. Line 4 is
clearly
the
point
of
culmination;
within
it,
the last two
syllables
of
'aufgegangen'
form a further
highpoint.
The reference to 'melodic
shape'
above is meant to draw attention to the
succession of melodic contours in this
song,
a succession which
approximates
to
another kind of reversal in structural
procedure.
Ex. 5 shows that lines
1
and 2
describe an overall
descending contour,
whereas lines 3 and
4,
the
closing lines,
describe a cumulative ascent from A
(b. 8)
to
F# (b. 12).
This means that the
points
of
closure,
which
traditionally
descend towards melodic
1,
ascend
instead towards 3
(D
is 3 of B minor in b. 10 while
F#
is 3 of D
major
in b.
12).
The structural
highpoints
in bs 12 and 23 are thus
products
of three kinds of
reversal. The first is the
poetic
reversal in the last line of
quatrain 2;
the second
is the reversal in the
sequence
of tonal
gestures;
and the third is a reversal of
melodic contour.
One further
point
about the
meaning
of lines 3 and 4
(Ex. 6):
the ascent
towards the
highpoint
is
illusory.
We know from
subsequent
events in the
cycle
that the
protagonist
never satisfies his
longing
and desire. Schumann
places
the
third of the D
major
chord
(b. 12)
in the
uppermost voice,
thus
creating
the
168 MUSIC
ANALYSIS 3:2,
1984
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'HIGHPOINTS) IN SCHUMANN'S
Dichterliebe
Ex. 5: Contour of vocal
line, Dichterliebe,
No. 1
(bs 4-12)
G
F#
F
E
D#
C#2
C
B
A#
A
G
F0
90ebt
Ex. 6: Bars 8-12 of
Dichterliebe,
No. 1
sprangen
da
ist
n me - nem Her - zen die Lie - be auf
ge-gan-gen
ritard.
I.-
c-I-
.

I
It
ed I w
f
,
MUSIC
ANALYSIS 3:2,
1984
169
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V. KOFI AGAWU
so-called
'poetic
third'
effect,
and also sets
F#
in an unstable environment
(b.
12) by juxtaposing
both diatonic and chromatic
neighbouring
notes
-
G on the
downbeat of b.
12,
and
G#
on the fourth
quaver
of the same bar. This conflict
reinforces the
instability (or temporary stability)
of
F# and, by implication,
of
the
object
of the
protagonist's
desire or even of the
protagonist
himself.
IV
The
examples
discussed so far have shown the
highpoint
as a
single moment,
usually
on a
single syllable
of text. But there are
songs
in which Schumann
replaces
such a moment
by
an extended
region,
which
may
be described as a
'high region'.
This is a stretch of music of
high activity, prepared
in the same
way
as other
highpoints,
but
prolonged
over a
significant period. Song
13 offers
an
example.
The text is:
Ich hab' im Traum
geweinet
Mir
traumte,
du
lagest
im Grab.
Ich wachte
auf,
und die
Thrine
Floss noch von der
Wange
herab.
Ich hab' im Traum
geweinet.
Mir
traumt',
du verliessest mich.
Ich wachte
auf,
und ich weinte
Noch
lange
bitterlich.
Ich hab' im Traum
geweinet,
Mir
traumte,
du warst mir noch
gut.
Ich wachte auf und noch immer
Str6mt
meine
Thrinenfluth.
Heine
presents
a
linear-dynamic
model with three
progressive
dream states: the
death of the beloved
(quatrain 1),
her
rejection
of the
protagonist (quatrain 2)
and her
enduring
love for him
(quatrain 3). Interpretations
are numerous and
diverse on the various
meanings
of this
progression
in the
poem,
but its
existence is the most
important
factor for our
analysis.
Note the
high degree
of
textual invariance: line 1 and the first half of line 3 are identical in each
quatrain.
This forms a constant or static
layer
within which the more
dynamic
narration
of each dream and the
protagonist's response
to it take
place. Here, then,
is
another manifestation of the
static-dynamic principle
discussed with reference
to the tonal structure of
Song
1.
Although
Schumann's
reading
of Heine's
poem
fails to take into account the
progression
in the narrative between the first two
quatrains,
the
composer
transforms the
concluding quatrain
in such a
way
as to
compensate
for this
apparent
omission.
Quatrain 3,
in
fact,
contains the
'high region'.
The music of
quatrains
1 and 2 features a
dialogue
between voice and
piano
in
which the
voice,
in
quasi-recitative,
narrates the events of each
dream,
while the
170 MUSIC ANALYSIS 3:2,
1984
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'HIGHPOINTS'
IN SCHUMANN'S Dichterliebe
piano
comments
sparingly
with
low-register chords,
all this in the
key
of
Eb
minor often associated with death in Schumann's works
(Sams
1975:
120).
Quatrain
3
begins,
not with the
unaccompanied
voice as
before,
but with a
piano
introduction which
presents
a more sustained harmonization of the first two
bars of the
piece (see
bs
23-4).
This articulative
contrast,
the first hint of trans-
formation of the earlier
music,
reaches a
peak
when
Db
is tonicized in b. 28.
Bars 28-33
(Ex. 7)
form the
'high region'
of the
piece.
This
passage
is marked
by
three
complementary processes. First,
there is an intensification of voice
leading by parallel
chromaticism in the
piano
lines
(cf. Song 11,
bs
25-32).
Second,
a sustained
pitch, db2, places
the chromatic motion into
sharp
relief.
Third,
there is an increase in
dynamics
from a
barely
audible
pp
in b. 25 to a
presumed f
in b. 31.
Here,
as in
Song 7,
both
primary
and
secondary
dimens-
ions function
equally
and
complementarily.
Ex. 7: Chromatic intensification in ascents to
highpoints
in
Dichterliebe,
No.
13,
bs 28-33
gut
Ich wach-te auf und noch im mer str6mf meine Thr?
-
neu- flufh.
' u
v"r'L~..f
"
lmlm:
-:
..PE. .w .
PEI
Inevitably,
of
course,
there will
always
be a
single
moment in the
high region
that carries the
point
of
greatest
tension. In
theory,
if the
activity
in the
high
region
remains
constant,
the last chord
prior
to the resolution constitutes the
highpoint.
In this
song, however,
the
activity
is intensified in the course of the
high region, culminating,
not in a
single moment,
but rather in two successive
highpoints belonging
to two different
dimensions, melody
and
harmony. First,
a melodic
peak
is reached on the first two
syllables
of
'Thrinenfluth'
(b. 31),
a
word
which,
like
'Herz'
in
Song 7,
embodies the basic
imagery
of the
poem.
Second,
a harmonic
peak
is reached in bs
32-3,
where an
emphatic
local
dissonance underlines the bitterness of the
protagonist
on
awaking
from this
third dream. Melodic and harmonic
highpoints
are thus
juxtaposed
in the
high
region.
V
The
juxtaposition
of
highpoints
in different dimensions as
exemplified
in
Song
13
provides
a clue to
understanding
the
dynamic
structure of one of the
most effective and
powerful songs
in the
cycle, Song
4
(Ex. 8).
This
song
is
MUSIC
ANALYSIS
3:2,
1984 171
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V. KOFI AGAWU
Ex. 8
Lanpqam.
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or de
i
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=
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so
'
e
,'
if Pill
"ad.
,
pr g
A
-
-
--'L-
bE M.
6,9 ~
l
IF
Copyright
?
W. W. Norton and
Company Inc.; reproduced by
kind
permission
of the
publishers.
172 MUSIC
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'HIGHPOINTS'
IN SCHUMANN'S Dichterliebe
special
because of its
paradigmatic
use of
poetic
reversal
(as
noted at the
beginning
of this
essay).
It
provides, therefore,
a useful model for
studying
Schumann's
reading
of Heine's
poetry.
In what
follows,
I shall discuss the
ways
in which Schumann dramatizes the
dynamic
flow
implicit
in Heine's
poem by
moving
from one dimensional
highpoint
to
another, thereby achieving
a
highly
integrated
and
through-composed setting
that cuts across Heine's
strophes.
Perhaps
the most obvious feature of the
song
is the
discrepancy
between
the
structure of the
poem
and its
setting.
Heine's
poem
is in the usual
two-quatrain
form,
whereas Schumann's
setting
is
through-composed,
not
strophic
as one
might expect.
Hallmark's efforts to hear a
background 'strophic
outline'
(1979:
50)
seem
misplaced,
since that is
just
the structure that Schumann
apparently
wished to avoid. The
song
makes a
unifying gesture,
with no obvious 'breaks' or
moments of hesitation. Schumann
responds,
not to the
poetic structure,
the
'outer
form' of the
poem,
but rather to its
sense,
its
dynamic
form.
I have
already
noted that the
poem
consists of a
simple
rhetorical
progression
in which the
protagonist
describes different levels of
intimacy
with his beloved
(all
on the level of
fantasy).
This
progression suggests
a
through-composed
setting,
not a
strophic
one. In other
words,
since the
poem progresses
in
couplets,
the
pairs
of lines
may
be
grouped
in two
large parts.
The first three
pairs (lines 1-2,
3-4 and
5-6)
constitute one
gesture,
while the last
pair (lines
7-8),
which initiates the moment of reversal and
subsequent resolution,
constitutes the other
gesture.
This sense of the
poem corresponds
to a
normative narrative curve:
Lines: 1-6 7-8
The
image
of this
song
as a
single gesture
has been
captured effectively by
Schenker in a succinct
middleground
reduction
(see
Ex.
9,
Schenker 1979:
Fig.
152,
also
quoted
in Komar 1971:
109). Although
this
graph
is not as detailed as
the well-known
analysis
of
Song 2,
it raises
pertinent
issues about the
song's
dynamic
structure and the location of
highpoints.
Schenker's aim in Ex. 9 is to illustrate 'undivided form'
(1979: 130)
as
part
of
his 'new
theory
of form'. The
graph
shows how the
middleground processes
function as
primary
determinants of form. Since Schenker is not concerned
with
foreground events,
there is no reference to the rhetorical or ornamental
factors that contribute to the articulation of the
major points
of structural
arrival. For
example,
in the
approach
to the cadence on C in b. 8
(see
Ex.
8),
the
melodic voice soars to a
high G, creating
the first
highpoint
on the word
'ganz'
while
initiating
a descent from S in C.
Although
this descent is
part
of the
structural close on
C,
it does not
appear
in Schenker's
graph.
Nor does the
MUSIC ANALYSIS
3:2,
1984
173
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V. KOFI AGAWU
endpoint
of the descent
(b. 8, downbeat),
but rather the link to the next
structural element
-
the B
major
chord in b. 9.
However,
a
foreground
is
implied by
Schenker's
middleground,
which
permits
examination of the
function of the
highpoint (see
Ex.
10).
Ex. 9: Schenker's
analysis
of
Dichterliebe No. 4
OQ
0?
@@@@?
?
AA
3
1
Ex. 10:
Expansion
of bs 1-8 of Schenker's
graph (Ex 9)
t
A A A
3 5 1)
II I(to b.9) X X
i6
e
a6-I
G: I
--
of
1Y
X
= sequential
rise to
highpoint
The inclusion of b. 13 as a
passing sonority
in Schenker's
graph
reflects an
attempt
to come to
grips
with a dramatic
passage
that
exists, strictly speaking,
only
on the
foreground
level of structure. Schenker includes this diminished
seventh chord in the
middleground
but
omits,
for
example,
the
intervening
chords between bs 1-4 which
prolong
the motion from tonic to dominant. This
inconsistency points
to an obvious
difficulty
in the
rigid application
of the rules
for
middleground reduction,
rules which
may
result in the elimination of
important
surface characteristics. The chord in b. 13
represents
one of the most
striking
moments in the
song,
and Schenker is
clearly
aware of this.
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1984
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'HIGHPOINTS'
IN SCHUMANN'S Dichterliebe
There are three
major points
of culmination in
Song
4. The first is the
melodic
highpoint
in b. 7
(mentioned above).
The second is a melodic-textural
highpoint supporting
b2 in b. 9
(and repeated
in b.
11).
The third is the
diminished seventh chord in b. 13.
The first
highpoint, g2
in b.
7,
forms
part
of a cadential close on the
subdominant, C,
thus
enhancing
the motion towards the first
contrasting
tonal
centre in the
song.' Melodically, g2 represents
the culmination of a
sequence,
as
shown in Ex. 10. It is also
probably
the
dynamic peak
of bs
1-8,
and is the
peak
in
range
for voice in the entire
song.
The occurrence of a
highpoint
so
early
in the
song
-
roughly
a third of the
way through
-
is
likely
to weaken the overall
dynamic
structure.
(Cone,
commenting
on the nature of musical
form,
remarks about Also
sprach
Zarathustra that 'the
framing
introduction . . arrives at a climax so
big
that the
rest of the
tone-poem
almost sounds like an
afterthought',
1968:
22-3.)
Schumann forestalls this
by making
a transition to another dimension and
creating
a second
highpoint (b. 9)
different in effect from the first. It is
structural in that it
supports
the return
through
octave
transposition
of melodic
3 from the first bar of the
song (see
Ex.
9).
More
important,
Schumann
establishes a direct link between the
previous highpoint
and this one
by
means
of a
stepwise ascent,
G-A-B
(bs 8-9).
This link is
conveyed
in Schenker's
graph.
The second
highpoint, then, though
related to the
first,
has a
unique
textural
disposition.
The third
highpoint
underlines the moment of reversal in
Heine's
poem,
and
Schumann
again
switches to another
dimension, harmony (b. 13).
This final
highpoint
enhances the more structural
supertonic
chord in b.
14, just
as the
first
highpoint
formed
part
of the cadential close on C in b. 8. But Schumann
includes a
variety
of
distinguishing
features to further dramatize the moment of
reversal.
First,
the actual
sonority,
a diminished seventh
chord,
is used for the
first time in the
song. Second,
its
disposition
-
a downward
arpeggiation
spanning
a whole bar
-
is also new in the
song. Third,
Schumann marks in a
ritard.,
which contributes to the rhetorical
emphasis
of this
passage.
Song 4, then,
illustrates the
juxtaposition
of
highpoints
discussed in
connection with
Song
13. These
points
are either structural in a tonal-harmonic
sense or serve to enhance
subsequent
structural
points. They
further
provide
a
framework for
hearing
the
dynamic
structure of the
song
as a whole.
VI
I have
argued
that the
background
structure of each of the
songs approx-
imates
a
dynamic
or narrative
curve,
which describes an ascent to a
highpoint
followed
by
a descent. In Schumann's
songs
this
corresponds
to Heine's
technique
of
reversal, which characterizes
many
of the
poems
in Dichterliebe.
Transformations of this basic
shape
are
possible, including
the
withholding
of
the descent
portion
of the narrative
curve,
the
prolongation
of the
highpoint,
or
the creation of a series of miniature curves
leading
to one
supreme highpoint.
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ANALYSIS 3:2,
1984 175
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V. KOFI AGAWU
What this
shape represents
takes various forms
depending
on the context of
the
song.
The
highpoint
could be: the
highest pitch
of a melodic
line;
the last
stage
of a
sequence;
a
point
of textural
transformation;
the last
significant
dissonance before the final
close;
and so on. The
flexibility
of dimension is
important
if
analysis
is to avoid the
pitfalls
of
prescription.
The
advantage
of
this
flexibility
is that it offers a model which
provides unity, facilitating
comparison
between
pieces.
The model described here
is,
of
course,
not
restricted to the Dichterliebe
songs,
nor even to the works of Schumann. Rosen
has written that '. . . the music of Schumann . . . comes in a series of
waves,
and the climax is
generally
reserved for the moment
just
before exhaustion'
(1971: 453).
Yet the
implicit archetypal pattern may
be said to
provide
the
single,
most consistent
principle
of formal structure in
nineteenth-century
music.
In an
attempt
to come to terms with the convenient but
misleading
dichotomy
between structural and ornamental
factors,
I have had to abandon
the dimensional
hierarchy stemming
from Schenker and
postulate, instead,
a
biological
or Darwinian model in the form of a
shape
or curve
(Wintle
1982
touches
briefly
on this in the context of a
critique
of Dahlhaus's
theories).
I
believe that
attempts
to unravel the structure of mid-to-late
nineteenth-century
music which take as
premise
the
hierarchy
of dimensions derived from
eighteenth-century
music are
misguided. Thus,
as discussed earlier in this
study, Meyer's
distinction between
'primary'
and
'secondary' dimensions,
while
appropriate
for
Mozart, Haydn
and
Beethoven,
is less effective if
applied
to Schumann or later
composers.
Finally,
I have
sought
to include in
my analyses
those
'dramatic', 'moving',
'disturbing'
and
'striking' aspects
of this music which are often not mentioned
in the search for structural
process.
The
importance
of
representing
these
elusive
aspects
of
nineteenth-century
music
analytically
is not to be
overlooked,
since
composers
in this era were concerned with the
immediacy
of communicat-
ion over the use of normative moulds of formal
expression.
NOTES
1. There are some
significant exceptions,
however. Newman
(1952) is,
to
my
knowledge,
the first
study
devoted
exclusively
to the
phenomenon
of climax. Muns
(1955) develops
and
amplifies
Newman's ideas in a historical framework. Muns's
study
is
very
useful in
providing
an overview of various occurrences of climax in
music from the medieval
period
to the
early
twentieth
century,
but it is
necessarily
limited in its
analytical rigour.
Pierce
(1978,
1979 and
1983)
is a
three-part study
of
climax from a
performer's viewpoint. Although
it is not
presented
in
any specific
theoretical
mould,
it is full of
insights. Meyer (1980)
is the most
recent, and,
for
my
purposes,
the most useful
study
of the
phenomenon,
which
attempts
to
integrate
the notion of
highpoint
with ideas about Romanticism in
general.
2. For a different
analytical approach
to the first movement of Mahler's Tenth
Symphony,
see
Kaplan (1981),
where the author
provides
a
convincing explanation
for the structural
origins
of the central climax of the
piece.
176 MUSIC ANALYSIS 3:2,
1984
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'HIGHPOINTS'
IN
SCHUMANN'S
Dichterliebe
3. There are few
rigorous analytical
studies. The
following may
be considered
representative
of the various
approaches developed
so far: Desmond
(1972),
Hallmark
(1979),
Komar
(1971),
Moore
(1981), Neumeyer (1982)
and Sams
(1975).
4. For further discussion of the
etymology
of
'climax',
see the
introductory chapter
of
Muns
(1955).
5. The elevation of so-called
'secondary parameters'
to the level of
primary
ones
goes
back as far as Beethoven. In a
stimulating paper
on Beethoven's
Symphonies,
Morgan (1980)
has shown how timbre
-
which would be classified as a
secondary
dimension
-
plays
a
primary
role in certain
passages
from the
First, Third,
Fourth,
Sixth and Ninth
Symphonies.
6. This
point depends
on one's initial definition of
highpoint.
In
general
I have
favoured a definition in which the
highpoint
is considered
tensional, requiring
resolution. It
may
be
argued,
in connection with
Song 11,
that the tensional
highpoint
occurs
just
before the
Eb
in b. 32. This would avoid
describing
a
harmonic resolution
-
especially
one that has been
preceded by
an extensive
chromatic intensification
-
as a
highpoint. Nevertheless,
as I have tried to
show,
the
postlude
of this
song performs
a further
'resolutory'
function since the
single
Eb
chord in b. 32 is not
capable
of
neutralising
all the tension accumulated in the
course of the chromatic build
up.
Bar 32
is,
in that
sense,
a
highpoint.
7. This has eluded most
analysts
of the
song;
but it is an
important point,
not
only
because of what it shows about Schumann's
music,
but also because it sheds
light
on
compositional procedure
in other
nineteenth-century
music. Liszt offers
examples
where so much durational
prominence
is
given
to what we
traditionally
describe as dissonances that there seems to be a reversal of function between
consonance and dissonance.
8. Heine's
poetic
structure here is an
example
of what Smith calls a
'paratactic
structure'. On the formal and thematic
aspects
of this
structure,
see Smith
(1968:
98-108).
9. There are
disagreements among
critics about whether the
optional
melodic line in
b. 7 of
Song
4 should be
performed
or not. Hallmark
says
that the alternative
notes,
first added in the
published version,
should not be
sung (1979: 50).
His main reason
is the need to
preserve
a melodic
correspondence
between bs 6-7 and 14-5.
Moore,
on the other
hand, prefers
the
higher notes,
but warns the
singer against placing
too
much
emphasis
on this
preliminary highpoint,
since '. . .
infinitely bigger
and
more dramatic climaxes come later in the
cycle' (1981: 5).
Moore's comments are
pertinent
because
they
show an awareness of a
highpoint
scheme and of an
implicit
hierarchy
in the distribution of
highpoints.
10. The next
stage
in the
analysis
would be to hierarchize the succession of
highpoints,
a
procedure
that would
require
the establishment of
adequate
criteria for
determining
the relative
weights
of the various
highpoints.
REFERENCES
Benary, Peter,
1967: 'Die Technik der musikalischen
Analyse dargestellt
am ersten
Lied aus Robert Schumann's "Dichterliebe"
',
in
Benary, ed.,
Versuche musikal-
ischer
Analysen (Berlin: Merseburger), pp.
21-9.
Bergquist, Peter,
1980: 'The First Movement of Mahler's Tenth
Symphony:
An
Analysis
and an Examination of the
Sketches',
The Music
Forum,
Vol.
5, pp.
335-94.
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ANALYSIS
3:2,
1984 177
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Childs, Barney,
1977: 'Time: A
Composer's View', Perspectives of
New Music,
Vol.
15,
No.
2, pp.
194-219.
Cone,
Edward
T.,
1957: 'Words into Music: The
Composer's Approach
to the
Text',
in
Northrop Frye, ed.,
Sound and
Poetry, English
Institute
Essays (New
York:
Columbia
University), pp.
3-1.
- 1968: Musical Form and Musical
Performance (New
York:
Norton).
Desmond, Astra,
1972: Schumann
Songs (London: BBC).
Grout,
Donald
J.,
1980: A
History of
Western Music
(New
York:
Norton),
3rd ed.
Hallmark, Rufus,
1979: The Genesis
of
Schumann's Dichterliebe: A Source
Study (Ann
Arbor:
UMI).
Horton,
Charles
T.,
1979: 'A Structural Function of
Dynamics
in Schumann's "Ich
grolle
nicht"
',
In
Theory Only,
Vol.
4,
No.
8, pp.
30-46.
Kaplan, Richard,
1981: 'The Interaction of Diatonic Collections in the
Adagio
of
Mahler's Tenth
Symphony',
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7, pp.
29-39.
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(New
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1976:
Popularisierung
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im Werk Heinrich Heines
(Frankfurt
am Main: Peter
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Longyear, Ray M.,
1973:
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Romanticism in Music
(New Jersey:
Prentice-Hall),
2nd ed.
Meyer,
Leonard
B.,
1980:
'Exploiting
Limits:
Creation, Archetypes
and
Change',
Daedalus, Spring, pp.
177-205.
Mitchell, William,
1967: 'The Tristan Prelude:
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and
Structure',
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1, pp.
162-203.
Moore, Gerald,
1981: Poet's Love: The
Songs
and
Cycles of
Schumann
(New
York:
Taplinger).
Morgan,
Robert
P.,
1980: 'Timbral
Composition
in Beethoven's
Symphonies', paper
read at the 46th annual
meeting
of the American
Musicological Society jointly
with
the
Society
for Music
Theory
in
Denver,
Colorado.
Muns, George E., Jnr,
1955: 'Climax in
Music',
Ph.D.
diss., University
of North
Carolina.
Neumeyer, David,
1982:
'Organic
Structure and the
Song Cycle:
Another Look at
Schumann's
Dichterliebe',
Music
Theory Spectrum,
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4, pp.
92-105.
Newman,
William
S.,
1952: 'The Climax of
Music',
Music
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13, pp.
283-
93.
Pierce, Alexandra,
1978: 'Structure and Phrase
(Part 1)',
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5,
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22-35.
1979: 'Performance Phrase
-
Structure and Phrase
(Part II)',
In
Theory Only,
Vol.
5,
No.
3, pp.
3-24.
1983: 'Climax in Music
-
Structure and Phrase
(Part III)',
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3-30.
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'HIGHPOINTS'
IN SCHUMANN'S Dichterliebe
Schenker, Heinrich,
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APPENDIX
Translations from Komar
(1971):
Dichterliebe No. 4
When I look into
your eyes
all
my
sorrow and
pain disappear;
but when I kiss
your mouth,
then I become
wholly
well.
When I lie
upon your
breast
a
heavenly happiness
comes over
me;
but when
you say:
I love
you!
then I must
weep bitterly.
Dichterliebe No. 11
A
boy
loves a
girl
who has chosen
another;
the other loves still another
and has married this one.
The
girl
takes out of
spite
the
first,
most
eligible
man
who comes her
way;
the
boy
is miserable over it.
It is an old
story,
yet
it
remains
ever
new;
and whoever
experiences it,
has his heart broken in two.
Dichterliebe No. 13
I cried in
my
dream:
I dreamed that
you lay
in
your grave.
I woke
up,
and the tears
were still
streaming
down
my
cheeks.
MUSIC
ANALYSIS 3:2,
1984 179
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V. KOFIAGAWU
I cried in
my
dream:
I dreamed that
you
had forsaken me.
I woke
up,
and I cried
still
long
and
bitterly.
I cried in
my
dreams:
I dreamed that
you
still loved me.
I woke
up,
and still
the flood of
my
tears is
streaming.
180 MUSIC ANALYSIS
3:2,
1984
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