FRANZ SCHUBERT’S IMPROMPTUS D. 899 AND D. 935: AN HISTORICAL AND STYLISTIC STUDY
A doctoral document submitted to the
Division of Research and Advanced Studies of the University of Cincinnati
In partial fulfillment of the requirements for the degree of
DOCTOR OF MUSICAL ARTS
In the Keyboard Studies Division of the College-Conservatory of Music
2005
by
Ina Ham
M.M., Cleveland Institute of Music, 1999 M.M., Seoul National University, 1996 B.M., Seoul National University, 1994
Committee Chair: Dr. Melinda Boyd
ABSTRACT
The impromptu is one of the new genres that was conceived in the early nineteenth century. Schubert’s two sets of impromptus D. 899 and D. 935 are among the most important examples to define this new genre and to represent the composer’s piano writing style. Although his two sets of four impromptus have been favored in concerts by both the pianists and the audience, there has been a lack of comprehensive study of them as continuous sets. Since the tonal interdependence between the impromptus of each set suggests their cyclic aspects, Schubert’s impromptus need to be considered and be performed as continuous sets. The purpose of this document is to provide useful resources and performance guidelines to Schubert’s two sets of impromptus D. 899 and D. 935 by examining their historical and stylistic features. The document is organized into three chapters. The first chapter traces a brief history of the impromptu as a genre of piano music, including the impromptus by Jan Hugo Voŕišek as the first pieces in this genre.
Since the only commonality between the impromptus by Schubert and Voŕišek is the title, chapter I mainly focuses the differences between the two composer’s impromptus. The ensuing chapter deals with Schubert’s keyboard writing style, including repeated patterns and scrambled scales. The third chapter, the main portion of the document, concentrates on the tonal interrelationships between the impromptus of each set. An examination of tonal interconnections of Schubert’s impromptus draws attention to their cyclic procedure and demonstrates why his impromptus need to be performed as continuous sets.
Acknowledgements
I would like to thank Dr. Boyd, the document committee chair for her thorough advisement throughout the development of this document. I thank the readers of the committee, Mr. Pratt and especially Mr. Weinstock, as my piano teacher and mentor.
Dr. Cahn must be acknowledged for his assistance with the preparation of the initial proposal. I extend special thanks to my parents-in-law for their thoughtful and positive supports. Finally this project could not have been completed without devotion from my husband.
TABLE OF CONTENTS
LIST OF TABLES ...... iii
LIST OF EXAMPLES...... iv
INTRODUCTION ...... 1
CHAPTER
I. An Historical Background of the Impromptu as a Genre ...... 4
II. Schubert’s Keyboard Writing Style ...... 18
III. Cyclicity through Tonal Interrelationships ...... 26
CONCLUSION ...... 44
BIBLIOGRAPHY ...... 45
iii
TABLES
Table Page
1. The Tonal Design of the Impromptus of D. 899 ...... 28
2. The Tonal Design of the Impromptus of D. 935 ...... 40
iv
MUSICAL EXAMPLES
Example Page
1. Voŕišek, Impromptu Op. 7, No. 1 in C major, mm. 1-19 ...... 9
2. Tomášek. Eclogue Op. 35, No. 4 in C major, mm. 1-13 ...... 10
3. Voŕišek, Impromptu in B-flat major, mm. 1-24 ...... 12
4. Voŕišek, Impromptu Op. 7, No. 4 in A major, mm. 25-37 ...... 14
5. Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 19-20 ...... 20
6. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 25-26 ...... 21
7. Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 17-30 ...... 22
8. Schubert, Impromptu D. 899, No. 1 in C minor, mm. 152-157 ...... 23
9. Schubert, Impromptu D. 935, No. 4 in F minor, mm. 93-98 ...... 25
10. Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 111-112 ...... 25
11. Schubert, Impromptu D. 899, No. 2 in E-flat major, mm. 33-44 ...... 30
12. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 1-4 ...... 30
13. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 73-86 ...... 31
14. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 5-12 ...... 34
15. Schubert, Impromptu D. 899, No. 4 in A-flat major, mm. 1-32 ...... 35
16. Schubert, Impromptu D. 935, No. 4 in F minor, mm. 420-439 ...... 41
17. Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 67-80 ...... 42
v INTRODUCTION
Piano music in the early nineteenth century was quite different from that of the eighteenth century. While the large Classical sonata was still prominent, especially as it appears in the work of Beethoven, that genre lost its leading position. Instead, all composers of the period began to cultivate something new, particularly smaller forms such as the impromptu, nocturne, and ballade.
Franz Schubert (1797-1828) completed the two sets of four impromptus D. 899 and
D. 935 toward the end of 1827, the first set probably in August and September, and the second set in December. A Viennese publisher, Haslinger released only the first two impromptus of D. 899 in December of 1827, himself providing the title for them.1 The remaining two impromptus of D. 899 were published in 1857 by Haslinger’s son, Karl, the fourth impromptu in its original key, A-flat major, but the third transposed from G-flat major to G major.2 Schubert’s double alla breve was changed to single alla breve in G-flat major impromptu by the publisher. The four impromptus of D. 935 did not appear in print until 1838 by another Viennese publisher, Diabelli.
The second set D. 935 might have been written as a sequel to the first set D. 899, as is born out by Schubert’s manuscripts. Schubert, at first, only numbered the first set of four impromptus as 1 through 4 and the four impromptus of D. 935 as 5 through 8 respectively.
But, after Haslinger gave the title “impromptus” to the first two pieces of D. 899, Schubert
1Otto Erich Deutsch, Schubert: A Documentary Biography, trans. Eric Blom (London: J. M. Dent & Sons Ltd., 1946), 692. 2The G-flat major impromptu may have been transposed in order to make it more marketable to amateur pianists.
1 adopted Haslinger’s title for the second set of four pieces and wrote the new title above the numbers on the manuscript of D. 935.
Two sets of four impromptus D. 899 and D. 935 by Schubert have been considered the first important works in this genre by a major composer. Although Schubert’s impromptus have long been considered to be influenced by those of Jan Hugo Voŕišek
(1791-1825), the impromptus by these two composers bear little musical relationship.
Compared to Voŕišek’s impromptus, those of Schubert exhibit a variety of formal types and characteristics, as the nature of the “impromptu” may be improvisatory as its name suggests.3 More pertinent to my discussion is that I approach Schubert’s two sets of impromptus as “cycles” which deserve to be regarded as continuous sets. Although extensive studies have been done on Schubert’s two sets of the impromptus D. 899 and D.
935, in performance they are often broken up rather than being regarded as continuous sets.
Understanding the cyclic aspect of each set will draw attention to the significance of them as continuous sets.
The purpose of this document is to provide a resource for a pianists’ guide to
Schubert’s two sets of four impromptus D. 899 and D. 935 by the careful examination of their historical and stylistic features including his keyboard writing style and cyclic procedure. The document will be divided into three parts. The first part will focus on a historical study of the impromptu as a genre. A brief historical background and general characteristics of the impromptu will be given, especially Voŕišek’s impromptus as the very first ones with this title. Since Voŕišek’s impromptus bear little musical resemblance to
3Maurice J. E. Brown, ‘Impromptu’, Grove Music Online ed. L Macy (Accessed 27 October 2004),
2 Schubert’s, the discussion emphasizes differences between those of Voŕišek and Schubert.
The second part of the document will deal with Schubert’s keyboard writing style including repeated figures and scrambled scale passage. Since his piano writing style is often associated with the instrument, the development of the piano of the period will be briefly mentioned. In the last part, the tonal interrelationship of the impromptus in each set will be discussed. Based on a careful observation of tonal designs of each set, the tonal interconnections will be presented to prove the cyclic significance of Schubert’s impromptus as a continuous set. A diagram of the tonal scheme of each set will be provided.
3 CHAPTER ONE
An Historical Background of the Impromptus as a Genre
The term impromptu was originally associated with a manner of performance rather than a genre of piano music. J. J. Rousseau recognized this association when he described the term improvisor as “to compose and sing songs--both words and the melody--in an impromptu fashion, usually accompanied by a guitar or similar instrument.”4 As social gatherings became popular in the late eighteenth and early nineteenth centuries, people began to produce small theatrical scenes for their artistic soirées. In the creation of these little musical scenes, words and music took on a prominent role in an “impromptu fashion” as Rousseau described it. Like many other genres of the nineteenth century, such as the ballade, nocturne, and mazurka, the piano impromptu inherited its generic title from similar musical occasions or functions.
Composers did not practically employ the term “impromptu” as a title for a piece of musical composition until the beginning of the nineteenth century. When this term began to be used as a designation for an actual musical piece, it referred to two different kinds of music.5 On the one hand, impromptu referred to large and multisectional fantasies on popular themes in an improvisational manner. Impromptu pour le piano sur des Themes de
Rossini et Spontini (1824) by Franz Liszt (1811-1886) belongs to this category. On the
4J. J. Rousseau, Dictionnaire de musique (Paris, 1768): 252; quoted in Kenneth Gordon Delong, “The Solo Piano Music of J. V. Voŕišek” (Ph. D. diss., Stanford University, 1982), 143. 5Willi Kahl, “Das lyrische Klavierstück Schuberts und seiner Vorgänger seit 1810,” Archive für Musikwissenschaft 3 (1921): 54-82, 99-122; quoted in Ibid.
4 other hand, impromptus also referred to relatively unelaborated and occasional short piano pieces of a light nature, such as Beethoven’s Ziemlich Lebhaft (Klavierstück) in B-flat major, WoO 60, which was written in 1818. First published in 1824, the second edition of
Ziemlich Lebhaft was issued in the following year under the title “Impromptu Composed at the Dinner Table.”6 This piece was also called an Albumblatt, which means a small, intimate, and occasional musical piece composed in the album of a friend or patron (usually amateur pianists) with no definite form and style.7 Since Beethoven’s Klavierstück was called impromptu or sometimes Albumblatt, the name impromptu, as a genre of music, seems to arise in a casual manner.
In the early nineteenth century, the impromptu is among the earliest of several new kinds of pieces of medium length. Like other miniatures in the nineteenth century, the impromptu was cultivated in preference to the older-established forms, such as the sonata, the variation, and the fugue, still being written. The title “impromptu” indicated the intention of composers to write subjective music not restricted by considerations of any formal balance. However, in point of structure, most impromptus were cast in a simple form (the ternary scheme, A-B-A, in which the midsection contrasts with the outer sections in common). Sometimes they combined the characteristics of several forms. For example,
Schubert’s B-flat impromptu D. 935 is a theme and variations. In general, an impromptu is primarily in a lyrical style, presenting a simple musical idea. A single mood is maintained
6Thomas K. Scherman and Louis Biancolli, ed., The Beethoven Companion (Garden City, New York: Doubleday & Company, Inc., 1972), 773. 7One of the most familiar examples is Beethoven’s “Für Elise” in Maurice J. E. Brown and Kenneth L. Hamilton, ‘Albumleaf (Ger. Albumblatt, Fr. Feuille d’album)’, Grove Music Online ed. L. Macy (Accessed 4 December 2004),
5 throughout a section. Rhythm and melodies are repeated with variants, while excessive technical difficulties and extreme emotional expressions are rare.
The impromptu first appeared as the title of a piano piece by J. V. Voŕišek, a Czech composer residing in Vienna.8 Although there is some dispute over the date of publication,9
Voŕišek’s six impromptus Op. 7 have received the most critical and historical attention (H.
A. Marschner, known mostly for opera, also published two sets of impromptus opp. 22–3 in the early 1820s but his impromptus did not acquire the same attention). Voŕišek’s impromptus Op. 7 consist of, first, an Allegro in C major, then, an Allegro moderato in G major, an Allegretto in D major, an Allegretto in A major, an Allegretto in E major, and conclude with an Allegretto in B major. They are regarded as Voŕišek’s most important piano compositions and are widely discussed in the literature. Voŕišek’s impromptus were influenced by the eclogues,10 rhapsodies, and dithyrambs of Voŕišek’s teacher, Václav Jan
8Deutsch, Schubert: A Documentary Biography, 692. 9While Mechetti’s first edition gives no publication date, Olga Loulová-Zuckerová, the editor of much of Voŕišek’s piano music and compiler of the only existing thematic catalogue, offers 1820 for the same publication in Delong, “The Solo Piano Music of J. V. Voŕišek,” 13; Otto Deutsch provides 1822 as the publication date for Mechetti’s edition in his Schubert: A Documentary Biography, 692; Maurice Brown indicates the earlier date of publication 1821 but no publisher’s name in his ‘Voŕišek, Jan Hugo’, Grove Music Online ed. L. Macy (Accessed 24 November 2004),
6 Křtitel Tomášek (1774-1850), in spirit, melodic style and form.11 Tomášek attempted to give poetic meaning to music and this principle had a strong effect on Voŕišek’s music.
Between 1807 and 1823, Tomášek composed forty two eclogues, fifteen rhapsodies and three dithyrambs.12 His piano miniatures were published in groups of six, which was the eighteenth century practice. Among seven sets of eclogues, the earliest one
(Op. 35) was issued in 1807. Tomášek’s eclogues were all written in the lyric and pastoral style. The rhapsodies are in character a little more energetic and lively than the eclogues but very similar with the eclogues in style, form, and harmonic design. Tomášek employed a simple Classical minuet and trio form for his miniatures. The phrase structure is symmetrical and the plain melodies are obviously Mozartian. Rhythm is regular, harmony is rather conservative, and texture is simply chordal. Since Tomášek’s piano miniatures had been in general considered to be deficient in musical interests, they failed to gain any critical attention.
Voŕišek’s impromptus are similar to Tomášek’s piano miniatures in form, phrase structure, mood, melodic line, and harmony. Voŕišek’s impromptus are cast in minuet and trio form. The recapitulations are exactly the same as the beginnings or expositions.
Extreme contrasts between minuets and the trios are avoided and often short retransitional passages are inserted at the end of the trio in order to link the two sections. The phrase structure is symmetrical and regular. Usually, Voŕišek carries on a single mood throughout an entire section, which was a new feature at this time. Voŕišek’s texture is chordal and
11F. E. Kirby, Music for Piano: A Short History, with a foreword by Maurice Hinson (Portland: Amadeus Press, 1995), 138. 12Kenneth DeLong and Adrienne Simpson, ‘Tomášek, Václav Jan Křtitel’, Grove Music Online ed. L. Macy (Accessed 26 November 2004),
7 broken-chordal, usually maintaining one type of figuration during the greater part of the piece. The simple melodies are mostly diatonic, the harmonic languages remain rather moderate, and the modulations occur to the most closely related keys in most cases. His impromptus can be described as technically undemanding miniatures of some charm, of the kind much sought after by amateur pianists of the day. After his death, Voŕišek’s music fell out of favor and ceased to be performed.
Voŕišek’s impromptu Op. 7, No. 1 in C major (ex. 1) is a good example of how he takes Tomášek’s eclogues as a model. This piece is modeled on Tomášek’s eclogue Op. 35,
No. 4 in C major (ex. 2). Voŕišek freely paraphrases Tomášek’s melodic idea in the opening.
Because both pieces can be counted in two, the rhythm seems similar to each other. Starting with a long upbeat, grace note ornaments and stepwise melodic lines are also shared features of the two pieces.
8 Example 1 Voŕišek, Impromptu Op. 7, No. 1 in C major, mm. 1-19
9 Example 2 Tomášek, Eclogue Op. 35, No. 4 in C major, mm. 1-13
Although Voŕišek is credited with being the first composer to write impromptus,
Voŕišek did not use the term “impromptu” to characterize his little pieces. He never wrote down the title “impromptu” on the autograph.13 Instead, he put the title “eclogue III” on the autograph of the third impromptu in D major, which is the only extant autograph among six
13Delong, “The Solo Piano Music of J. V. Voŕišek,” 141.
10 impromptus Op. 7. The name impromptu is only presented in the printed copies. Mechetti, the publisher, bestowed the title “impromptu” when he released Voŕišek’s impromptus.14
In fact, Voŕišek had already published a little piano composition written in B-flat major under the title “impromptu” in the supplement to the Allgemeine musikalische
Zeitung of 1817.15 Since the autograph for this piece no longer exists, we can only speculate whether this title was chosen by Voŕišek or his publisher, in this case S. A.
Steiner and Company. This B-flat impromptu was not as fully developed as his later impromptus Op.7 were to be. It seems to be a two-voice etude, cast in binary form. Scalar passages in two hands (or parts) govern the entire piece throughout and the two voices are almost identical in parallel motion, especially in thirds and sixths (ex.3). Since Voŕišek published a short piano composition with the title “impromptu” in 1817 before his eclogues were released in 1822 (or 1821) as impromptus, his impromptus are generally understood as the earliest examples of this genre regardless of Voŕišek’s thoughts about the title.
14Ibid. 15Brown, ‘Impromptu’, Grove Music Online ed. L. Macy (Accessed 24 November 2004),
11 Example 3 Voŕišek, Impromptu in B-flat major, mm. 1-24
In the 1920s, Willi Kahl first suggested that Schubert’s impromptus stylistically originated from those of Voŕišek.16 Kahl’s view is mainly based on the musical resemblance, the personal relationship between the two composers, and the fact that they both chose to use the title “impromptu.” Since both composers lived in Vienna during the same period, Kahl assumes that Schubert knew Voŕišek, or at least was acquainted with his
16Delong, “The Solo Piano Music of J. V. Voŕišek,” 141.
12 music. Kahl also suggests that their impromptus share certain characteristics, such as the smooth and steady melodies, the frequent use of thirds and sixths, the juxtaposition of major and minor, and certain formal scheme.17 Although Kahl admits that Schubert’s earlier works do already contain these features, he insists that Schubert put greater emphasis on those general characteristics in the impromptus in order to create a new kind of genre other than a sonata movement. Moreover, Kahl pays special attention to
Schubert’s texture, a songful melody with its accompaniment, particularly in triplets, which
Schubert does not use often before the composition of the impromptus. Kahl found the same texture in Voŕišek’s impromptus (ex.4). Based on the evidence that Kahl provides, the resemblance between Schubert’s impromptus and those of Voŕišek seems plausible.
17Kahl, “Das lyrische Klavierstück,” 116-17, quoted in Ibid., 148.
13 Example 4 Voŕišek, Impromptus Op. 7, No. 4 in A major, mm. 25-37.
Kahl’s view, however, needs to be reexamined. Contrary to widely accepted opinion, it would be a great fault to press this connection too much. Regarding the personal relationship between Voŕišek and Schubert, there are no extant documents supporting it.
Since both composers lived in Vienna at the same time, it is possible that a personal acquaintanceship between Voŕišek and Schubert occurred or at least they might have known the musical styles of each other. However, only one piece of documentary evidence links Voŕišek’s name to Schubert’s: a letter written by Moritz von Schwind to Schubert,
14 telling him that the job of the court organist was available due to Voŕišek’s serious illness.18
From this slight evidence, it is difficult to draw a firm conclusion that Schubert and Voŕišek knew each other.
In spite of some textural musical resemblances between the impromptus of Voŕišek and Schubert, the origin of Schubert’s impromptus has nothing to do with Voŕišek’s impromptus. Voŕišek’s impromptus firmly remain within the Classical and even the
Baroque traditions. They are viewed as a final stage in the tradition of writing independent minuets and trios of the eighteenth century and can be described, at best, as the pieces situated between the Classical eighteenth century style and the Romantic nineteenth century style. In other words, Voŕišek’s impromptus show the clear trend toward increasing individualization in the minuets and trios of the late eighteenth century, while Schubert’s demonstrate the new trend of the early nineteenth century.
It is more sensible to suggest that the origin of Schubert’s impromptus may be better understood by investigating the circumstances surrounding their appearance. When
Schubert completed the impromptus in late December 1827, his living situation was not good. Desperate to earn a living, Schubert constantly wrote letters to publishers, offering them his compositions. In addition, he sought more recognition outside Vienna by publishing his major instrumental works.19 In contrast to Schubert’s intention to introduce the serious instrumental works, the publishers only wanted Schubert’s songs, easy piano pieces, and four hands works. When he offered the Piano Trio in E-flat major D 929 for
18Otto Erich Deutsch, The Schubert Reader: A Life of Franz Schubert in Letters and Documents, trans. Eric Blom (New York: W. W. Norton & Co., 1947), 452. 19Schubert’s important instrumental compositions had not been nearly published by 1826.
15 publication, the publisher H. A. Probst agreed to issue the E-flat Piano Trio but also requested “some selected trifles for the voice or for four hands.”20 In this situation, it is reasonable to conclude that Schubert wrote the two sets of impromptus in order to satisfy the publisher’s needs.
However, Schubert did not sacrifice any of his musical individuality. The letter
Schubert received from B. Schott’s Sons supports this point:
The pianoforte work, Op.101, we certainly do not regard as too expensive, but its impracticability for France vexed us considerably. If at any time you should write something less difficult and yet brilliant in an easier key, please send it to us without more ado.21
This letter obviously points out that the publisher intended to sell Schubert’s impromptus to amateur pianists for whom Schubert’s works were too difficult to play. If Schubert wanted merely to fulfill the publisher’s demands, he could have composed something along the lines of the fashionable salon pieces, such as ones written in large quantities in the early nineteenth century by Voŕišek and Tomášek. But, Schubert did employ rather large forms that challenged amateur pianists, as opposed to the charming miniatures produced by
Voŕišek.
While the title “impromptu” was first introduced by Voŕišek’s impromptus Op. 7 published in Vienna of 1822, those by Schubert are the genre-determining example.
Although Voŕišek’s impromptus have long been regarded to influence those of Schubert, the consideration of the circumstances of both composers clearly reveals that there are no
20Deutsch, The Schubert Reader: A Life of Franz Schubert in Letters and Documents, 767. 21The impromptus D. 935 were planned as Op.101 but published as Op. posth. 142. Ibid., 818.
16 influential traces between the impromptus by Schubert and Voŕišek. While Voŕišek’s impromptus are unchallenging miniatures of some delightfulness and beauty for amateur pianists of the day, those by Schubert are not lightweight miniatures but serious and highly structured compositions of expressive range and originality. The only true commonality between Schubert’s impromptus and Voŕišek’s impromptus is their title, which, in both cases, was supplied by their respective publishers and not the composers themselves.
17 CHAPTER II
Schubert’s Keyboard Writing Style
Contemporary accounts suggest that Schubert devoted considerable efforts to compose keyboard music, although he was known best for his songs. For Schubert, the piano was such an important, personal instrument to express his musical ideas and intimate inner emotions.22 However, it often comes as a big surprise to those who attempt to play
Schubert’s piano pieces that his idiomatic keyboard patterns do not seem to fit the hands comfortably. Repeated chordal passages are often accompanied with difficult skips and thickness of texture; one needs to be cautious not to distract from the melodic line. Sudden shifts in register create orchestral effects but also cause technical difficulties. Scalar passages are sometimes scrambled by added chromatic passing tones, which result in awkward fingerings. Because of these difficulties, successful performance of Schubert’s pieces requires an unusual amount of patience and practice in polishing details, and, the music sounds satisfying only after an extremely high level of refinement is done.
Schubert’s two sets of four impromptus D. 899 and D. 935 are among the keyboard pieces to demonstrate his keyboard writing style, which is in part a product on the piano of the period. Understanding Schubertian keyboard idioms enables the pianist to learn how to cope with their difficulties and can lead to more successful performances.
As a frequent performer of his own music in a private musical circle, Schubert was an accomplished, if not a virtuoso, pianist. His piano playing was especially remembered
22Alfred Einstein, Schubert: A Musical Portrait (New York: Oxford University Press, 1951), 77.
18 by his friends or relatives for “beautiful touch,” “full of insight,” and “sometimes delicate and sometimes full of energy with so much life and feeling.”23 Schubert’s brother
Ferdinand wrote about Schubert’s manner of performing piano music in the Neue
Zeitschrift für Musik:
Although Schubert never represented himself as a pianoforte virtuoso, any connoisseur who had the chance of hearing him in private circles will nevertheless attest that he knew how to treat this instrument with mastery and in a quite peculiar (original) manner, so that a great specialist in music to whom he once played his last sonatas exclaimed “Schubert, I almost admire your playing even more than your compositions!”24
In a letter of 25 July 1825 from Schubert to his parents, Schubert himself was greatly pleased to hear that his fingers had transformed the keys into singing voices.25 On the same lines, he also criticized the most distinguished but insensitive pianists whose playing was harsh, which did not delight either the ear or the mind.
Schubert’s time was a particularly rich period for pianists because it was a time of many important inventions and improvements to the piano in Vienna. By 1820s, the five- octave range of Viennese piano was extended to six or six and a half octaves. The keyboards were changed from black naturals and white-topped sharps to white naturals and black-topped sharps as on the modern keyboards. As the actual size was increased, the case structure was made stronger. The strings and hammers were heavier for better sound
23Elizabeth Norma McKay, “Schubert Impromptus: An Introduction by Elizabeth Norman McKay,” p. 6 in the liner notes to Schubert: Impromptus D. 899, D. 935, Lambert Orkis, Pianist (Antwerp: Virgin Classics, 1990), VC 7 91142-2, Compact Disc. 24It is cited in Elizabeth Norman McKay, The Impact of the New Pianofortes on Classical Keyboard Style: Mozart, Beethoven, and Schubert (West Midlands: Lynwood Music, 1987), 83. 25Deutsch, Schubert: A Documentary Biography, 436.
19 projection. Due to its remarkable development for a century, the piano of the period was capable of making a full sound at any dynamic level, of responding in every way to demands for expressiveness and virtuosity
As a renowned song composer, Schubert paid close attention to melodic expression, although his seamless, long, and lyrical melodic lines had not been as natural to the piano as it was to the voice. However, the development of the piano made it possible to sustain a sound much longer so that the Schubertian long lyrical melodic lines became audible without giving up the active characteristic accompaniments that had been treated importantly in his music. To maintain the active characteristic accompaniments, Schubert often splits them between two hands so that the one hand (usually the right hand) simultaneously plays the lyrical melody and part of the accompaniment underneath, which provided harmonic figuration (ex. 5) in much the same manner as Mendelssohn’s Lieder ohne Worte. As shown in ex. 5, the top melody is played only by the outer fingers of the right hand, and the accompaniment figures are shared by the left hand and part of the right hand. In this case, it is necessary to use the damper pedal for legato playing of the melody.
Example 5 Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 19-20
20 Sometimes Schubert adds characteristics of orchestral tone-quality to those of vocal tone-quality in his piano music by parallel voice-writing. The melody is often embedded in harmonic figuration spanning an octave, while an inner voice parallels the melodic line (ex.
6). In the first half of m. 26, the melodic gesture in the tenor voice (Cb-Ab-F) is paralleling the top melodic line (F-D-Cb) by fourth and fifth, in which we can get an orchestral doubling effect. Although Schubert’s parallel voice-writing is not so strict in this case, it is clear that he was striving for an orchestral effect.
Example 6 Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 25-26
Meanwhile, the resonance and power of the newer piano permitted the use of full, loud chords with a variety of touch and shadings, as in the A-flat major impromptu of D.
935 (Ex. 7), where we see f and ff chords with accents,26 staccatos and slurs. Together with the legato, singing melodic style, this impromptu demonstrates two ways in which Schubert exploited the instrument’s expanding capabilities in his keyboard writing style.
26Schubert’s accents sometimes hint at an orchestral change of instrumentation or a singer’s increase of vocal intensity. Patricia Fallows-Hammond, Three Hundred Years at the Keyboard: A Piano Sourcebook from Bach to the Moderns: Historical Background, Composers, Styles, Compositions, National Schools (Berkeley, California: Ross Books, 1984), 85.
21 Example 7 Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 17-30
Among Schubert’s unique keyboard idiomatic figures, repeated notes and chords have been considered as one of his favorites. Patricia Fallows-Hammond insists that
Schubert favored a technique of repeated figures probably because of his own small hands and short fingers.27 In fact, we can find repeated figures in most of Schubert’s keyboard pieces.28 Schubert’s repeated notes and chords appear to form a continuous accompaniment pattern, which provided a foundation of sound and often built on the idea of tremolo.
Contrary to the traditional meaning of tremolo, his repeated figures come to denote a
“measured” tremolo. While the term ‘tremolo’ was originally used to refer to a fast
27Ibid. 28Repeated patterns occur not only in the piano pieces but also the songs. Although not in every song, there is a significant recurring motive in Winterreise throughout the cycle, the “journeying figure,” which is constructed of non-legato repeated chords or pitches. Susan Youens, “Wegweiser in Winterreise,” The Journal of Musicology 5 (Summer 1987): 357.
22 repetition of a single note or chord without regard to measured time value,29 Schubert’s repeated notes and chords most times occur with regard to measured time value and always with driving powers. That is why Schubert’s repeated notes and chords are technically difficult to play in slow tempi as well as fast tempi.30 The chord repetitions sometimes appear in pp dynamic, which is more difficult to play (ex. 8).
Example 8 Schubert, Impromptu D. 899, No. 1 in C minor, mm. 152-157
As shown in ex. 8, the repeated figures often accompany quick jumps from the bass note.
Since the chord repetitions could easily sound thick against the very soft melody in pp
29David Fallows, ‘Tremolo (i)’, Grove Music Online ed. L. Macy (Accessed 18 March 2005),
23 dynamic, they should therefore be deliberately sustained along with the pizzicato-like bass notes which precede them. The technical difficulties here consist mostly of jumping smoothly from these bass notes to the soft repeated figures without taking any time in between.31
Another of Schubert’s characteristic keyboard idioms is the “scrambled” scale. His scalar passages are difficult to analyze because bits of various diatonic scales and of the chromatic scale are scrambled to such an extent. If given a chance, he would at least mix the various types of the minor scale (harmonic, melodic, and natural). The F minor impromptu D. 935, No 4 serves as an example (ex. 9). The A-flat minor scale begins from m. 95. At first, it does not give any clue if this scale is harmonic or melodic or natural. The scale turns out to be A-flat minor natural scale due to the appearance of Gb in m. 96.
However, this Gb becomes G natural in the ensuing measure so that the passage changes to
A-flat minor harmonic scale. Adding chromatic passing tones is another way to make scrambled scales (ex. 10). In the second beat of m. 111, Schubert inserted G# and B-natural to the G minor harmonic scale. Finding appropriate fingerings is critical for these finger- twisters.
31Artur Schnabel called this type of accompaniment “three-hand music,” because one hand plays the melody, the second hand the repeated chords, and Schnabel’s supposed third hand the bass notes. Ibid., 163.
24 Example 9 Schubert, Impromptu D. 935, No. 4 in F minor, mm. 93-98
Example 10 Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 111-112
Better understanding Schubert’s keyboard writing style is among the fundamental skills needed to solve problems that arise when learning or performing his works. As one of the greatest piano music creators, Schubert’s piano music always “works” for the ears, but contrary to assumptions, it does not always work for the fingers. True, the implementation of Schubert’s musical ideas is especially difficult in the many places where we see unexpected patterns and technical problems occur. Pianists can be free from these difficulties and concentrate on musical expression if they have a basic understanding of
Schubert’s keyboard writing style exhibited in his two sets of the impromptus D. 899 and D.
935.
25 CHAPTER III
Cyclcity through Tonal Interrelationship
Various Schubert scholars have claimed that the two sets of four impromptus of D.
899 and D. 935 are not continuous sets because of the seeming absence of an overall tonal center or tonal unity.32 Here “continuous set” might possibly imply the term “cycle.”
Invoking the term “cycle” suggests that there may be certain parallels with Schubert’s song cycles. While the impromptus do not share elements of poetic or narrative unity that are crucial to the traditional definition and understanding of the song “cycle,” other musical unifying means, such as tonal interrelationships within each set, would suggest cyclicity.
However, this should not hamper our understanding of the set as a “cycle” if we consider that a similar lack of tonal unity holds true in the song cycles. In fact, choice of key in poetic content is more important than the overall tonal center or functional tonal scheme in Schubert’s impromptus as it is in his song cycles.33 Especially the key relationship between two adjacent pieces most often becomes more important than the overall logical scheme.34 Thus, the tonal interconnections are what provide a type of cyclic
32Walther Dürr argued that “Schubert did not wish to create a cycle: the sequence of keys precludes that (ein Zyklus hat Schubert nicht gestalten wollen: die Tonartenfolge schliesst das aus)” in his “Klaviermusik,” in Reclams Musikführer: Franz Schubert, ed. Walther Dürr and Arnold Feil (Stuttgart: Philipp Reclam, 1991), 304; quoted in Charles Fisk, Returning Cycles: Contexts for the Interpretation of Schubert’s Impromptus and Last Sonatas (Berkeley: University of California Press, 2001), 296. 33Barbara Turchin, “The Nineteenth-Century Wanderlieder Cycle,” The Journal of Musicology 5 (Fall 1987): 514. 34Ibid.
26 procedure in Schubert’s impromptus. Most significant among these is the third relationship that is prominent when the tonal interrelationship occurs.
At first glance, the key succession of the D. 899 impromptus (C-minor-E-flat major
– G-flat major-A-flat major) does not seem to be cyclic in nature. In particular, the extraordinary G-flat major seems like an inadequate link, connecting E-flat major to A-flat major.35 However, all four impromptus can be regarded to be related by thirds, forming an
A-flat major dominant seventh chord if we rearrange them in different order (A-flat major-
C minor-E-flat major-G-flat major). In this case, choice of G-flat major does not seem to be inadequate. The following diagram (table 1) demonstrates the tonal interrelationships between the four impromptus of D. 899.
35This G-flat major impromptu is not simply Schubert’s only instrumental composition in this key, but also the first piece ever written in it. None of the composers before Schubert (for example, Mozart, Haydn, and Beethoven) wrote any. Fisk, Returning Cycles: Context for the Interpretation of Schubert’s Impromptus and Last Sonatas, 115.
27 Table 1 The tonal design of Schubert’s impromptus D. 899
It was not until 1894 that the G-flat major impromptu D. 899, No. 3 was published in its original key.36 Although it was composed in 1827 with the other three impromptus of
D. 899, it was not included in the first publication of the set, together with the last A-flat major impromptu. When it appeared in print for the first time in 1857, the publisher transposed it to G major and changed meter as mentioned in the introduction, inscribing in
Schubert’s autograph as “Im ganzen Takt und in G dur umzuschreiben” (to be rewritten in measures of whole notes and in G major).37 Gb major was too unique even thirty years after
36Richard Kramer, Distance Cycles: Schubert and the Conceiving of Songs (Chicago: University of Chicago Press, 1994), 16-17. 37Ibid., 16.
28 its completion. Richard Kramer suggests that the withholding from the first publication is partially related to its unusual key.38 Hugh Macdonald also writes, “this G-flat major impromptu remained hidden for thirty years.”39
However, there is another reason for the idiosyncratic key choice for the third impromptu of D. 899, which is closely related to the previous piece.40 The preceding impromptu in E-flat major ends in E-flat minor, which is very rare. It is certainly among the first well-known instrumental pieces in a major key to end with a minor key. Charles Fisk even states that “the major mode is threatened by the minor.”41 Because of the unique minor ending of the E-flat major impromptu, G-flat major for the third impromptu becomes less idiosyncratic, but rather a natural choice as a relative major of E-flat minor in a relation by thirds.
In addition, there are less obvious but equally important internal interrelationships between the E-flat and the G-flat impromptus. The E-flat major impromptu already expresses the G-flat major tonality (ex. 11, mm. 36-43), which the second impromptu shares with the ensuing piece. Moreover, an immediate reappearance of an E-flat minor triad at the beginning of the G-flat major impromptu (ex. 12, m.2) recalls the concluding harmony of the second piece.
38Ibid. 39Hugh Macdonald, “ ,” 19th-Century Music 11 (Spring, 1988): 225. 40Fisk, Returning Cycles: Context for the Interpretation of Schubert’s Impromptus and Last Sonatas, 117. 41Ibid., 42.
29 Example 11 Schubert, Impromptu D. 899, No. 2 in E-flat major, mm. 33-44
Example 12 Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 1-4
30 In the G-flat major impromptu, the harmonic progression from the tonic (G-flat major) to submediant (E-flat minor) in mm. 1-2 also anticipates the overall tonal structure of the piece. The middle section of the G-flat major impromptu is in E-flat minor (beginning at m.25), clearly connecting it with the end of the previous impromptu.
Another internal interrelationship is the use of C–flat minor (B minor) in both impromptus. The middle section of the E-flat impromptu is in B minor, the enharmonic equivalent of C-flat minor (beginning at m. 83). C-flat minor (B minor) is also used in the coda of the G-flat major impromptu in order to give the harmonic color (ex. 13, mm. 75-76,
79), when the harmony arises from the middle section of the previous E-flat major impromptu.
Example 13 Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 73-86
31 Example 13 (continued)
32 B minor (C-flat minor) is used in the converted form of a parallel major (C-flat major) in the beginning of the G-flat major impromptu. Since C-flat major is the subdominant of G-flat major, its occurrence could be expected. It first appears on a downbeat of m. 7 (ex. 14), which comes right after the dominant seventh of E-flat minor,
V7/vi (last beat of m. 6). This C-flat major chord is in the contexts of a long prolongation of G-flat major. The dominant seventh of E-flat minor, V7/vi sets us up to expect E-flat minor, which is the ending of the previous impromptu, but the voice-leading does not give the expected resolution. The next eight-measure phrase goes up to its own climax over this
C-flat major subdominant harmony (m. 12).
In the E-flat major and the G-flat major impromptus, the major and minor modes are equally treated as seen above.42 Besides the minor ending of the E-flat major impromptu, the use of C-flat major/minor harmony in the G-flat major impromptu supports this reading. An equal treatment of major and minor modes is one of Schubert’s frequent harmonic colorations.
42The major ending of C minor impromptu D. 899 is another example of an equal treatment of the major and minor modes. In this case, a minor-key piece ending in major is a convention going back at least to as far as J. S. Bach’s “picardy” third.
33 Example 14 Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 5-12
A musical link between an ending and a succeeding beginning appears not only in the second and the third, but also in the third and the fourth impromptus.43 The last three notes of the final melodic gesture in the third impromptu, Eb-Cb-Ab (see ex. 13, m. 83)
43Fisk, Returning Cycles: Context for the Interpretation of Schubert’s Impromptus and Last Sonatas, 123.
34 forms an A-flat minor triad and it anticipates the descending A-flat minor broken arpeggios in the beginning of the following A-flat major impromptu (ex. 15).
Example 15 Schubert, Impromptu D. 899, No. 4 in A-flat major, mm. 1-32
35 Example 15 (continued)
The manner in which Schubert settles on the main tonic of the final impromptu is noteworthy. Its main tonic, A-flat major, is achieved only after some harmonic wanderings.
The A-flat major impromptu begins in A-flat minor,44 featuring two-measure soft rippling falling arpeggios with a reminiscence of the left hand rhythm of the second impromptu of D.
899. This two-measure phrase is repeated and followed by two-measure chord passage. The opening six-measure phrase is repeated in A-flat minor (mm. 7-12), C-flat major (mm. 13-
18), and B minor (mm. 19-24). After an extended eight-measure chord passage in B minor, the main tonic major, A-flat major finally appears in m 31.
44This is another example of major/minor fluctuation in Schubert.
36 During the tonal wanderings at the beginning of the A-flat major impromptu, each harmony confirms the cyclic procedures of the set (A-flat minor was anticipated by the melodic gesture of the coda of the previous impromptu, C-flat major was highlighted in the third impromptu, and B minor was the key of the middle section of the second). The tonal instability of the last impromptu’s opening indicates not only the unique relationship to its own tonic but also the cyclic procedures associated with the second and the third impromptus.
The tonal exploration of the last impromptu’s opening can be expanded further to the first impromptu of the set. The main tonic of the final impromptu, A-flat major, is the key of the B section of the first C minor impromptu, again in a relation of thirds. Fisk describes this harmonic recurrence as “a remote memory.”45 Although it is not as significant as the others, this relationship also supports the earlier idea that all four impromptus are related by thirds, and encompassing the A-flat major dominant seventh chord, if we consider the A-flat major impromptu as first in order.
Unlike D. 899, the tonal scheme of the D. 935 impromptus gives a cyclic impression by nature (the two outer pieces are in F minor, while the inner pieces are in A- flat major and B-flat major). Due to its key sequence, Schumann wrote a review of the D.
935 impromptus in the Neue Zeitschrift für Musik (14 December 1838) as follows:
I can scarcely believe that Schubert really entitled these movements Impromptus. The first is evidently the first movement of a sonata, so perfectly carried out and concluded that no doubt is possible. I consider the second impromptu to be the second movement of the same sonata; in key and character it precisely fits it. . . . Perhaps the
45Fisk, Returning Cycles: Context for the Interpretation of Schubert’s Impromptus and Last Sonatas, 125.
37 fourth impromptu may be regarded as the finale, but even if the tonality confirms one in this supposition, the casualness of the plan of the whole almost denies it.
If the two first impromptus are played in succession and rounded with the fourth to make a lively close, we shall possess, if not a complete sonata, one more beautiful memory of Schubert.46
Besides the key succession, Schumann was also struck by the formal structures of the individual pieces possibly to form a sonata. He disagreed with Schubert’s title
“impromptu” because of its actual substance, especially presented in the opening F minor work. Schumann argued that the first F minor impromptu needs to be considered as a sonata form without the development section,47 which is, however, unusual in Schubert’s sonata works. Einstein agrees with Schumann’s view stating that the sonata form at this time tended to revert to its original binary form and to avoid the dramatic musical element.48 Einstein even hears the final F minor impromptu as a rondo owing to its playful rhythm and humorous characteristics.49 The rondo form is often chosen for the finale of
Schubert’s late period sonatas. And, the formal structure (the minuet and a trio form) and its Sarabande rhythm of the second A-flat major impromptu suggest that it fills the role of the dance movement of a sonata.
However, the formal structures of each piece in D. 935 do not adhere to the traditional expectations of a sonata. Regarding the opening F minor impromptu as a sonata form without the development section, all of Schubert’s completed sonatas include the
46Schumann, On Music and Musicians, ed. Konrad Wolff. trans. Paul Rosenfeld (New York: W. W. Norton & Co., 1946), 119. 47Ibid., 118. 48Einstein, Schubert: A Musical Portrait, 284. 49Ibid., 285.
38 development without exception. Thus, it is not adequate to determine the formal structure of the first F minor impromptu as the sonata form in spite of its two themes in F minor and the expected A-flat major. Its formal structure may be analyzed as ABCA'B'C'A". The problematic C section is a trio-like section in rounded binary form with each half repeated, beginning in A-flat minor and ending with A-flat major. Although the first half cadences in
C-flat major, it does not really go anywhere harmonically or develop anything motivically either. This section seems to fail to progress. Instead, it does remain in A-flat minor/major on the whole. And, the complete return of this section in the tonic at the very end (without a repeat) gives the impression that this section is rather a part of an “exposition,” of
Schumann’s supposed sonata. Thus the first F minor impromptu should not be misunderstood as a sonata form.50 Regarding the final F minor impromptu, contrary to
Einstein, it is not a rondo. It is in three-part form, ABA+Coda, although the middle section is unusually long.
Compared to D. 899, the tonal interrelationship in the four impromptus of D. 935 can be easily anticipated. The third relation is still prominent throughout the D. 935 set as it is in D. 899. The first and concluding F minor impromptus do not only share the key signature but also their overall tonal plan, in a relation by third (F minor-A-flat major/minor- F minor). A diagram below (table 2) shows the overall tonal design of the four impromptus of D. 935.
50Fisk describes the relationship between two themes as truly uncharacteristic for Schubert’s mature sonata and this is one more reason that this opening F minor impromptu is not in sonata form. Returning Cycles: Context for the Interpretation of Schubert’s Impromptus and Last Sonatas, 143.
39 Table 2 The tonal design of Schubert’s impromptus D. 935
The only difference occurs at the coda of the final F minor impromptu, where D-flat major appears (ex. 16). In this coda, a chromatic alteration from C to the upper neighbor Db leads to D-flat major (mm. 427-28). This D-flat major is another “remote memory” of the earlier piece, the A-flat major impromptu, that of its D-flat major middle section. In fact, this D- flat major harmony is not new for the trio section of the A-flat major impromptu,51 but has been already reserved from its beginning (see ex. 7, mm. 21-24). It is emphasized with fortissimo dynamic and thick chords, and even temporarily tonicized.
51The formal structure of the A-flat major impromptu is the menuet and trio.
40 Example 16 Schubert, Impromptu D. 935 No. 4 in F minor, mm. 420-439
Besides D-flat major, the A-flat major impromptu contains two more keys that are related to other impromptus, A-flat major and G-flat minor, which are later acknowledged by returning to them in other impromptus. Its tonic A-flat major is related by thirds with the preceding and the final F minor impromptus and associated with the key of their middle sections. In the case of G-flat minor, it appears for the first time as a minor subdominant of
D-flat major (see ex. 7, the second and the third beat of m. 23) and it returns in the trio (ex.
17).52
52Fisk, Returning Cycles: Context for the Interpretation of Schubert’s Impromptus and Last Sonatas, 164.
41 Example 17 Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 67-80
When the trio reaches the climax after the double bar, the harmony goes from D-flat minor to A major (m. 69). During this harmonic course, an F-sharp minor chord, the enharmonic equivalent of G-flat minor, is introduced (downbeat of m. 67), an appropriate subdominant of D-flat minor and submediant of A major. This G-flat minor/F-sharp minor triad is used again when music goes back into D-flat major (m. 76). This G-flat minor is even converted to a parallel major for the fourth variation of the ensuing impromptu in B-flat major.
42 Schubert’s two sets of four impromptus D. 899 and D. 935 are among pianists’ standard repertoire and favorites for concerts and studies. However, there has been a lack of understanding each set as cyclic. Although not strikingly noticeable, there is a clear cyclic procedure in each set. Their cyclic organization is achieved through the tonal plan, chiefly through subtle yet important internal relationships and interconnections. The careful examination of the tonal design of each set provides useful musical insights in understanding subtle cyclic aspects of Schubert’s two sets of impromptus.
43 CONCLUSION
An examination of Schubert’s impromptus provides a fascinating glimpse into the history of the genre, the development of the piano itself, and Schubert’s own keyboard writing style. More importantly, when we closely consider the tonal interconnections between the impromptus, we find compelling evidence that these are not single pieces, but continuous sets that should be performed as such.
Schubert’s two sets of impromptus are organized cyclically, which is demonstrated through the tonal interrelationship among the pieces. Most of the important harmonies in the sets are associated with each other. Due to the key successions of the four impromptus of D. 935, its overall tonal design clearly exhibits cyclic procedure. Among the significant harmonic features are the thirds relationship and an equal treatment of the major and minor modes. Since Schubert’s two sets of impromptus have not previously been considered as continuous sets, this study of their cyclic aspects demonstrates that both sets should be performed and understood as continuous sets, rather than separate, disconnected pieces.
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