Rachmaninoff's Early Piano Works and the Traces of Chopin's Influence

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Rachmaninoff’s Early Piano works and the Traces of Chopin’s Influence: The Morceaux de Fantaisie, Op.3 & The Moments Musicaux, Op.16

A document submitted to the Graduate School of the University of Cincinnati in partial fulfillment of the requirements for the degree of

Doctor of Musical Arts

in the Division of Keyboard Studies of the College-Conservatory of Music by

Sanghie Lee

P.D., Indiana University, 2011 B.M., M.M., Yonsei University, Korea, 2007

Committee Chair: Jonathan Kregor, Ph.D.

Abstract

This document examines two of Sergei Rachmaninoff’s early piano works, Morceaux de

Fantaisie, Op.3 (1892) and Moments Musicaux, Opus 16 (1896), as they relate to the piano works of Frédéric Chopin. The five short pieces that comprise Morceaux de Fantaisie and the six

Moments Musicaux are reminiscent of many of Chopin’s piano works; even as the sets broadly build on his character genres such as the nocturne, barcarolle, etude, prelude, waltz, and berceuse, they also frequently are modeled on or reference specific Chopin pieces. This document identifies how Rachmaninoff’s sets specifically and generally show the influence of

Chopin’s style and works, while exploring how Rachmaninoff used Chopin’s models to create

and present his unique compositional identity. Through this investigation, performers can better

understand Chopin’s influence on Rachmaninoff’s piano works, and therefore improve their

interpretations of his music.

iii

Acknowledgements

I cannot express my heartfelt gratitude enough to my dear teacher James Tocco, who gave me devoted guidance and inspirational teaching for years. This document would also not exist without the advice and warm support of my advisor, Dr. Jonathan Kregor, and my reader, Dr. Catharine Carroll Lees. I am deeply indebted to other faculty members in College-Conservatory of Music for their encouragement and valuable teaching over the years. I would like to convey my deepest and most sincere appreciation to my family for their endless love and support. My utmost gratitude is for God. “And we know that in all things God works for the good of those who love him, who have been called according to his purpose.” Romans 8.28

Table of Contents

Abstract ...... ii

Acknowledgements ...... iv

Table of Contents ...... v

Chapter 1. Introduction ...... 1

Statement of purpose ...... 1

Chopin’s influence ...... 3

Chapter 2. Morceaux de fantaisie, Op.3 ...... 7

Op.3, no.1 (“Elegie”) and Chopin’s nocturne style ...... 7

Op.3, no.2 (“Prelude”) and Chopin’s etude procedure ...... 15

Op.3, no.3 (“Melodie”) ...... 19

Op.3, no.4 (“Polichinelle”) ...... 24

Op.3, no.5 (“Serenade”) and the Chopin waltz ...... 31

Chapter 3. Moments Musicaux, Op.16 (1896) ...... 41

Op. 16, no.1 (Andantino) and Chopin’s nocturnes and barcarolle ...... 41

Op.16, no.2 (Allegretto) and Chopin Prelude Op.28, no.14 ...... 49

Op.16, no.3 (Andante cantabile) and Chopin Prelude Op.28, no.6 ...... 53

Op.16, no.4 (Presto) and Chopin Etude Op.10, no.12 ...... 60

Op.16, no.5 (Adagio sostenuto) and Chopin Berceuse Op.57 ...... 64

Op.16, no.6 (Maestoso) and Chopin Etude Op.25, no.12 ...... 69

Chapter 4. Conclusion ...... 75

Bibliography ...... 78

Chapter 1. Introduction

Statement of purpose

Every musician is inspired through their own life experiences coupled with their individual musical background and education, thus providing the foundation for developing their musicianship. Additionally, role models play a vital and essential role in shaping the unique paths of a musician’s journey. As a pianist, I strongly value the piano works of Sergei

Rachmaninoff (1873-1943), which require great technical command of the instrument while simultaneously providing the opportunity for romantic musical expression. To thoroughly understand and effectively interpret his music, it is important to explore in depth the influences in his music. In fact, Rachmaninoff himself attested to the importance of research for the purpose of discovering the various influences upon which he based his compositional inspiration, stating that:

Music, I have always felt, should be the expression of a composer’s complex personality. A composer’s music should express the country of his birth, his love affairs, his religion, the books that have influenced him, the pictures he loves. It should be the sum of a composer’s experiences.1

Sergei Rachmaninoff subscribed to the Russian musical tradition that was centered on

European classical musical styles. Considering this tradition along with the piano performance world in which Rachmaninoff was a renowned figure, Frédéric Chopin (1810-1849) held a position of extraordinary influence.

Apart from Tchaikovsky and the inevitable classics, Chopin, and perhaps Liszt, could be counted as the only other pillars of musical culture in Moscow. [...] From amongst the living composers could, perhaps, be added Anton Rubinstein, whose over prolific muse was too near at hand to be judged in true

1 Patrick Piggott, Rachmaninov, The Great Composers (London: Faber and Faber, 1978), 56.

proportion. Accordingly, we can find traces of Chopin’s, Liszt’s, and Rubinstein’s influence in young Rachmaninoff’s earliest works.2

A virtuoso pianist, Rachmaninoff performed Chopin’s works constantly, both during his education as well as in his professional performing career.3 Chopin’s influence on Rachmaninoff is also evident in his taking up the mantle of late-Romantic aesthetics, demonstrated by his early interest in the use of late Romantic genres, such as “character” pieces, and his prioritizing the purpose of his music conveying emotional depth.

Nevertheless, Rachmaninoff’s works are different from Chopin’s music, reflecting the developments over time in musical style, the models of the growing repertoire, advances in pianistic technique, and of course Rachmaninoff’s personal compositional methods. The purpose of this document is to explore examples of Chopin’s influence on Rachmaninoff’s works, assessing how Rachmaninoff reinterpreted those musical ideas in his compositions; this is done through analysis of the sets of piano pieces Morceaux de fantasie, Op.3 (1892) and Moments

Musicaux, Op.16 (1896). This analysis will then provide the basis for exploring how

Rachmaninoff built on and transformed the Chopin models to present his unique compositional style.

This chapter provides a general sketch of Chopin’s influence on Rachmaninoff. The connections between Morceaux de fantaisie and various Chopin works will be presented and discussed in Chapter 2; the same will be done for Moments musicaux in Chapter 3. Some aspects

2 Oskar von Riesemann, Rachmaninoff's Recollections: told to Oskar von Riesemann (New York: The Macmillan Company, 1934), 213. 3 Piggott, Rachmaninov, 13; Barrie Martyn, Rachmaninoff: Composer, Pianist, Conductor (Aldershot, England: Scholar Press, 1990), 373.

that will be highlighted will include compositional elements such as key, structure, texture, time

signature, mood, tempo, and dynamic range. Finally, Chapter 4 will present conclusions drawn

from the preceding analyses. Through doing so, the close influence of Chopin on Rachmaninoff,

and the ways in which Rachmaninoff used that precedent to develop his own compositional

style, will be made clear for performers and audiences of Rachmaninoff’s works.

Chopin’s influence

Rachmaninoff had a close family connection to the Romantic composers whose works for piano were major developments in the repertoire. First, his grandfather was a student of the

English composer and pianist John Field, whose works were critical in the development of the

character pieces for piano that dominate the solo piano repertoire of the Romantic era,4 and

especially influential in the development of one of Chopin’s signature genres, the nocturne. His

father was also a pianist, ensuring that Rachmaninoff grew up listening to the most popular and

important pianists of the era.

Indeed, from an early age, Rachmaninoff improvised at the piano in Chopin’s style for

guests at his family’s home.5 A more systematic introduction to Chopin came through

Rachmaninoff’s his piano teacher, Nikolai Zverev, who exposed his students to Chopin’s music.

Perhaps an even stronger influence was Anton Rubinstein, who had met Chopin himself, heard

him play, and whose performances of Chopin’s music were praised by the composer himself.6 In

4 John Field, who was very popular in Russia, developed the nocturne as a character piece in the early 1800s. His 18 nocturnes were greatly admired by Chopin. 5 Martyn, 35. 6 Taylor, 13-14.

turn, Rubinstein’s playing was a prominent influence in “shaping the progress of Russian Chopin

playing.”7

Rachmaninoff frequently performed Chopin throughout his professional career. Some of

his many performances of Chopin were recorded, including the third Ballade, Op.47, and third

Scherzo, Op.39, in the early 1920s; and the B-flat Minor Sonata, Op.35, in 1930.8 Assessments

of these performances of Chopin are revealing:

Rachmaninoff felt a natural affinity with Chopin, and visualized his music in an almost symphonic context, bound together with limitless ranges of color. Anton Rubinstein’s pianism had a profound effect on his playing and, not being exposed to the mainstream European schools, he developed a highly original approach to Chopin.9

Having trained as a piano virtuoso, the majority of Rachmaninoff’s compositions are for

piano. They generally require the highest level of virtuosity, following in the tradition of Chopin

and other virtuoso pianist-composers such as Schumann and Liszt. Some of Rachmaninoff’s

piano works explicitly pay homage to Chopin, such as the Variations on a Theme of Chopin,

Op.22, which is based on Chopin’s Prelude Op.28, no.20. Furthermore, Rachmaninoff showed interest in the compositional approaches of Chopin, such as his preferences for character pieces,

and for sets. For instance, Chopin developed the prelude as an independent genre, collecting

them as 24 Preludes, Op.28; each prelude conveys a specific mood or emotion, and they run the

gamut of major and minor keys. Rachmaninoff followed this model in his preludes (first Prelude

in C sharp minor, ten Preludes Op.23, 13 Preludes Op.32, and final Prelude in D minor), which

7 James Methuen-Campbell, Chopin Playing: From the Composer to the Present Day (London: V. Gollancz, 1981), 156. 8 Methuen-Campbell, 132. 9 Ibid., 131.

also cover all 24 major and minor keys and retain the independence characteristic of Chopin’s

preludes. Likewise, Rachmaninoff’s 17 Etudes-Tableaux, Opp. 33 and 39, follow Chopin’s

Etudes Opp.10 and 25, in their extraordinary virtuosity and various musical moods suited for

solo performance.10

This document traces Rachmaninoff’s use and development of certain styles, musical ideas, and techniques from Chopin’s character pieces for piano, in his early works Morceaux de

Fantaisie, Op.3 and Moments Musicaux, Op.16. Morceaux de fantaisie is the earliest piano piece published by Rachmaninoff, in 1892, comprising five short pieces: Elegie, Prelude, Melodie,

Polichinelle, and Serenade. Moments musicaux, Op.16, contains six short pieces in different styles: No.1, Andantino in B flat Minor; No.2, Allegretto in E flat Minor; No.3, Andante cantabile in B Minor; No.4, Presto in E Minor; No.5, Adagio sostenuto in D flat Major; and

No.6, Maestoso in C Major. Op.16 was written between October and December 1896; the unusual title is also used by Schubert for his six-piece piano set, D.780. Both Opp.3 and 16 clearly reflect features in selected Chopin character pieces for piano, such as his nocturnes, etudes, and waltzes, among others.

Beyond merely offering an homage, Rachmaninoff used Chopin’s works to stimulate his own musical creativity, revealing an original, dramatic pianistic talent. Studying the ways in which Chopin’s influence pervades Rachmaninoff’s early compositions provides significant

10 Also significant is the similarity between Chopin and Rachmaninoff’s respective Sonatas for cello and piano. Although neither composer wrote many chamber works, each composed a sonata for cello and piano for friends; Chopin’s sonata was composed for Auguste Franchomme, and Rachmaninoff’s for Anatoly Brandukov. Both are in G minor and organized into four movements comprised of a sonata-allegro form, a scherzo, a slow movement, and a spirited finale ending in the parallel major. Moreover, the piano parts are distinguished from many earlier sonata duos by their extremely complicated and demanding writing, while the cello part is lyrical and expressive.

5 insight regarding Rachmaninoff’s compositional process and how he developed his unique voice.

This knowledge in turn gives performers an important tool for interpreting the complicated textures, lyrical melodic lines, and demanding performance techniques of Rachmaninoff’s sets.

Chapter 2. Morceaux de fantaisie, Op.3

Morceaux de fantaisie, Op.3 is Rachmaninoff’s first piano work to be published, in 1892.

The piece was premiered September 26 of that year at a concert celebrating an electrical exhibition in Moscow; this was also Rachmaninoff’s first professional engagement as a pianist.11

This composition, dedicated to Anton Arensky (Rachmaninoff's composition teacher), is

comprised of five short titled pieces: “Elegie,” “Prelude,” “Melodie,” “Polichinelle,” and

“Serenade.” The titles convey an image or atmosphere rather than musical forms. Even though it

is a very early composition, Morceaux de fantaisie demonstrates the warm pianistic lyricism for

which Rachmaninoff was renowned. The composer himself held much affection for the work,

performing it in concert until late in life. In 1940, he revised “Melodie” and “Serenade;” he also

recorded all five pieces during this time.12

The five pieces from this set are self-contained, having different keys, moods, and

compositional characters. Each presents a character genre associated with Chopin’s piano

compositions; they all clearly reflect characteristic features found in Chopin’s nocturnes, etudes,

and waltzes.

Op.3, no.1 (“Elegie”) and Chopin’s nocturne style

The first piece in Morceaux de fantaisie, “Elegie” in Eb Minor, reflects Chopin’s influence through the nocturne style (Ex.1a). The musical features characteristic of Chopin’s

11 Patrick Piggott, Rachmaninov, The Great Composers (London: Faber and Faber, 1978), 26. 12 Barrie Martyn, Rachmaninoff: Composer, Pianist, Conductor (Aldershot, England: Scholar Press, 1990), 70.

7 nocturnes, such as arpeggiated accompaniment, lyrical melody, and ornamented figures on the melody, can be traced by comparing “Elegie” to Chopin’s Nocturne Op.27, no.1 (Ex.1b).

Example 1a. Rachmaninoff, Morceaux de fantaisie, Op.3, no.1 (“Elegie”), mm. 1-12

Example 1b. Chopin, Nocturne Op.72, no.1, mm. 1-5

Both pieces present a dark mood through minor keys (Chopin, E minor; Rachmaninoff,

Eb Minor), soft openings (Chopin, p; Rachmaninoff, pp), and slow tempos; Chopin’s nocturne is

Andante, and Elegie in a Moderato that runs slow because of long eight-measures phrases.

The arpeggiated broken chord figure in the accompaniment is characteristic of Chopin’s nocturne style. Used to create the dreamy mood of the night scene, the arpeggiation is always used alone as an introduction, without melody. The accompaniment is largely kept in a soft dynamic throughout; although the shape of the accompaniment is maintained, changes in the harmony or bass notes create a sense of variation and forward motion. The left hand stays in the lower register, contrasting with the singing melody. Because of this wide registral gap, the first note of the melody is emphasized (Nocturne, mm.1-5) (Ex.1b).

Rachmaninoff incorporated these stylistic techniques in Op. 3, no. 1. “Elegie” begins with the left hand arpeggiated accompaniment figure, played pp; the lyrical melody comes in three octaves higher. Both pieces start with a descending melodic figure (scale degrees 3-2-1-7-

1); each is decorated with thirds or sixths, or mordents (Ex. 1c and 1d).

Example 1c. Rachmaninoff, Morceaux de fantaisie, Op.3, no.1 (“Elegie”), mm. 22-40

Example 1d. Chopin, Nocturne, Op.72, no.1, mm. 19-34

Despite this surface similarity, the respective melodies present very different expressive effects. Chopin’s melody starts on the downbeat with grace notes, similar to a singer emphasizing the emotional impact of beginning to sing. Rachmaninoff positions the melody on the weak beat to create a series of suspensions resulting in more dissonances, expressive timing and a rubato effect. By frustrating the listener’s expectation to hear the first melodic note on the beat, Rachmaninoff’s melody adds suspense – and more attention – to the onset of the first note.

Furthermore, every phrase starts on the weak beat and concludes on the beat; the effect is of the melody eventually resigning to its fate. As a result, Rachmaninoff heightens the emotional expression of his melody. Notably, this technique recurs frequently in Rachmaninoff’s later works (e.g. Moments musicaux, Op.16, Nos.1, 3, 5; several of the Preludes, Op.23, and Preludes

Op.32; the Andante of Piano Concerto No.1, Adagio Sostenuto of Piano Concerto No.2, Largo of

Piano Concerto No.4; and many more).

Both the Nocturne and Elegie are structured ABA, as is usual in Chopin’s nocturnes.

Chopin’s A section (mm.1-22) opens p and builds to mf and f; Rachmaninoff’s A section (mm.1-

40) has an even greater dynamic range, pp through p, mf, f, and ff. The respective B sections are quite different, as Chopin’s is brief (mm. 24-30) and Rachmaninoff’s expanded (41-83).

Chopin’s B is simple contrasting section; the accompaniment remains the same despite the new melodic episode, and ranges from p and f. Rachmaninoff however drops the nocturne accompaniment for his B section, instead moving the melody to the left hand, while the right hand plays simple duple eighths chords. The drama of the section goes beyond contrast with A, as a climax builds over pp to appassionato fff. Rachmaninoff’s harmonic system in the climax is notable as well: in mm.70-82, A major, the most distant key from the home key of E♭ minor, alternates with E ♭ major, the parallel major of the home key (Ex. 1e).

Example 1e. Rachmaninoff, Morceaux de fantaisie, Op.3, no.1 (“Elegie”), mm. 70-83

Both works end with a coda. Chopin’s coda, based on an episode from the B section, fades away, moving with diminuendo and calando from p to pp. Rachmaninoff’s coda is more elaborate: a fragment from the A section (mm.10-11) is played three times (mm. 99-106). Triple repetition in the coda is a technique also appearing in Moments musicaux Op.16, Nos.1, 2, and 5.

In Elegie, the final repetition is elevated by crescendo from ff to fff (Ex. 1f).

Example 1f. Rachmaninoff, Morceaux de fantaisie, Op.3, no.1 (“Elegie”), mm. 99-106

Example 1g. Chopin, Nocturne Op.72, no.1

Due to the many significant similarities, I find that Rachmaninoff’s Elegie was written on the model of Chopin’s Nocturne, Op.72 no.1. More generally, Elegie exhibits much of the characteristic features of the nocturne style. While the melodic direction and decoration in the A sections, and accompaniment style are very similar to each other, Rachmaninoff’s writing is freer, abandoning the typical nocturne style in the contrasting middle section and expanding the

drama through his climax and coda. Also, as seen in the surprising modulations to distant keys

alternating with the parallel major in the climax (m.70-83), Rachmaninoff’s harmonic usage is

more dramatic, creating a yearning journey towards home key.

Op.3, no.2 (“Prelude”) and Chopin’s etude procedure

The sensational Op.3, no.2 (“Prelude”) in C-sharp Minor is the most popular piece in

Morceaux de fantaisie. First performed widely by Alexander Ilyich Siloti (1863-1945),

Rachmaninoff often used it for an encore in his own recitals.13 The piece consists of three parts: a

threatening lento opening repeating three notes (Ex. 2a); a tumultuous middle section building to

a fff climax (Ex. 2b); and an even more powerful A’ section, which closes with eight chords

gradually disappearing to ppp.

13 Barrie Martyn, Rachmaninoff: Composer, Pianist, Conductor (Aldershot, England: Scholar Press, 1990), 69.

Example 2a. Rachmaninoff. Morceaux de fantaisie, Op.3, no.2 (“Prelude”), mm. 1-6

The opening A-G#-C# are heavily declared, fff and repeated ten times (mm.1-13). The section evokes a mysterious and chilling atmosphere through extreme dynamic contrast between ff and ppp, and repeated chords built on accidentals (A#, F##, B#). The middle section (Agitato, mm.14-42) seems to shake with anxiety; starting mf, it builds to ff and a fff climax (mm. 35-42).

The A’ section (mm.43-61) is even more pesante, screaming out the three-note motive with octaves in both hands; the contrasting chords are no longer played ppp, but erupt in fff, and in a higher register. Every note is the first half of A’ is accented (mm.43-53), culminating in sffff in m. 49. Gradually, the blasting sound dies away and ends ppp (mm.53-61).

The B section of Prelude (Ex. 2b) is reminiscent of Chopin’s Etude Op.25, no.1 in Ab

Major (Ex. 2c). The technical problem addressed is similar, regarding the fourth and fifth fingers: the top notes, played by these fingers, should be connected with legato to make the melody sing, while the inner notes should be played lighter and quieter. Each melody is

presented on the first note of the running rhythmic figure (a triplet in Rachmaninoff and sixth in

Chopin) in 4/4. Chopin presents the technical problem for both hands throughout the piece;

Rachmaninoff, however, reserves the technique for the right hand only, and only in the middle section.

There is similarity between the melodies in Rachmaninoff’s B section and Chopin’s

Etude. Op. 25, no. 1. Each melodic note comes with nonharmonic tones used for appoggiatura and neighbor tone; these tones are treated as part of the beat per melodic note. The melodic line itself is a somewhat static progression of repeated notes or sets of descending major or minor second intervals.

Example 2b. Rachmaninoff, Morceaux de fantaisie, Op.3, no.2 (“Prelude”), mm. 14-19

Example 2c. Chopin, Etude Op.25, no.1, mm. 1-4

The anxious atmosphere of the B section reaches a chordal climax at mm.35-42; combined with the dark and heavy minor key, this section presents a dramatically different tone from Chopin’s major-key, peaceful “Aeolian harp,” to which it alludes. Indeed, one of the most striking points of “Prelude” is Rachmaninoff’s use of a Chopin technical idea to create something of an entirely different mood. Despite the B section presenting a similar technical problem as Chopin’s Etude, Rachmaninoff creates a profoundly dark and pesante sound which overwhelms the obvious similarity to Chopin’s Etude. This demonstrates how Rachmaninoff was inspired by a specific Chopin piece, but assimilated that inspiration instead of quoting Chopin’s work or offering an homage.

Op.3, no.3 (“Melodie”)

Op.3, no.3, “Melodie,” was Rachmaninoff’s favorite piece in this set; he revised it in

1940.14 Both versions have ABA’ structure and basically the same melody; however, the tempo is changed from Adagio sostenuto to Andante con moto, and the right-hand accompaniment from repeated chords to a single-note, slurred line for more fluidity (Ex. 3a, 3b). In the middle section

(mm. 18-40), the accompaniment is transformed into double chromatic scales and the slur is extended to two measures (Ex. 3c). The revision expands the dynamism further with piu mosso and animato; in addition, a brief cadenza was inserted between the B and A’ sections, resulting in a more dramatic change of atmosphere between the sections.

Example 3a. Rachmaninoff, Morceaux de fantaisie, Op.3, no.3, (“Melodie”) (original), mm. 1-6

14 Robert Threlfall, Sergei Rachmaninoff: His Life and Music (London: Boosey & Hawkes, 1973), 17-18.

Example 3b. Rachmaninoff, Morceaux de fantaisie, Op.3, no.3 (“Melodie”) (rev. 1940), mm. 1-6

Example 3c. Rachmaninoff, Morceaux de fantaisie, Op.3, no.3 (“Melodie”) (rev. 1940), mm. 18-

A’ is a more thickly textured repetition of A, with the melody played in the right hand by octaves and the left hand by a single note (3d).

Example 3d. Rachmaninoff, Morceaux de fantaisie, Op.3, no.3 (“Melodie”) (rev. 1940), mm. 26-

The revised version is reminiscent of the middle section (mm.45-96) of Chopin’s Etude

Op.25, no.5 (Ex. 3e).

Example 3e. Chopin, Etude Op.25, no.5, mm. 45-52

These share E Major, a peaceful mood, and assignment of the triplet rhythm in triple meter accompaniment to the right hand, and legato melody to the left hand. Chopin maintains this pattern throughout the middle section, except for a change from triplets to sixteenth notes in the final 13 measures (mm. 80-96). Rachmaninoff develops the idea further, by doubling the melody (mm. 9-17) and thickening the accompaniment with chromatic harmony (mm. 18-25); in the middle section (Piu mosso), the left hand accompaniment is played by both hands, and the texture becomes thicker (mm.26-29). Similarly, the melodic line is played in chords in the

Animato section, while the accompaniment emerges with repeated chords and extra bass line by octaves (mm.30-35).

The triple rhythm accompaniment in each piece is similar in that every second note of each triplet is emphasized. In Chopin, these second notes provide a harmony-filling tone.

Rachmaninoff however does away with the first note of each triplet altogether, producing triplets that sound like syncopated two-note gestures. The melodic lines also have a similar shape, two ascending and two descending notes: in the Chopin, the third note is accented, naturally giving a

sense of crescendo and decrescendo; Rachmaninoff instead notates a short decrescendo between

the third and fourth notes. Rachmaninoff’s development of the melody is also significant. Chopin

devised a 2+2+4 measure structure based on the first four notes. Rachmaninoff expands the

melodic line through stepwise ascent and descent from e to g#’. The first line thus lasts nine

measures (mm.1-9), in the more vocal style which is Rachmaninoff’s specialty.

Rachmaninoff was more free in his chromatic processes as well. Modulations to Ab

Major, B Major, Bb Major, and C Major all occur in the middle section of “Melodie”: they are presented through chromatic stepwise sequences, not only moving farther and farther from E

Major, but obscuring the sense of a home key altogether until it returns in A’ (mm.15-40).

As with “Elegie” and “Prelude,” “Melodie” clearly borrows ideas from a specific Chopin work; and, as with the other pieces in Morceaux de fantaisie, there is a clear pattern of

Rachmaninoff expanding on the Chopin model. In this way, Rachmaninoff both acknowledges

Chopin’s influence and puts his own creative signature on the pianistic tradition he inherited.

Op.3, no.4 (“Polichinelle”)

Op.3, no.4 (“Polichinelle”) effectively captures the character of the titular clumsy clown originating in Neapolitan puppetry. The title is also a reference to Arensky’s Second Suite,

Op.23 (“Silhouettes”), in which the third piece has the same title. There is no particular similarity between Arensky’s “Polichinelle” and Rachmaninoff’s, but Arensky’s Suite was premiered in

Moscow by Sergei Taneyev (1856-1915) and Paul Pabst on November 11, 1892;

Rachmaninoff’s Op.3 was composed around the same time, and is dedicated to Arensky.

Op.3, no. 4 has ABA’ form: A(mm.1-58) / B (mm.59-91) / A’(mm.92-130). The two initial notes – F# and G, played with sfff, and seemingly syncopated due to the G being sustained

24 longer – are a unifying motive repeated throughout the entire work. This unification technique is important as the piece has the feel of a patchwork quilt; rather than developing a melody, the presentation and repetition of the five ideas drive the work.

Interestingly, each of these ideas – excluding the initial two-note motive – has a clear ancestor in various pieces by Chopin. The second idea (mm. 2-3, Ex. 4a) recalls a similar gesture in Chopin’s Etude Op.25, no.5 (Ex. 4b). In both, the melody emerges in the top notes of each chord preceded by short grace notes.

Ex.4a. Rachmaninoff, Morceaux de fantaisie, Op.3, no.4 (“Polichinelle”), mm. 1-6

Ex.4b. Chopin, Etude Op.25, no.5, mm. 29-36

The third idea (mm.11-12) is comparable to the characteristic rhythmic gesture of the polonaise, a Chopin specialty: one eighth note, two sixteenth notes, and four eighth notes (♪ ♬

♪♪♪♪), in triple meter, with emphasis on the downbeat (Ex. 4c).

Ex. 4c. Chopin, Polonaise Op.53, mm. 57-64

Rachmaninoff’s rhythm is adapted for 4/4, with an additional pair of eighth notes (Ex.

4d). The rhythm also feels very different from Chopin because Rachmaninoff puts the emphasis

on the second beat.

Ex.4d. Rachmaninoff, Morceaux de fantaisie, Op.3, no.4 (“Polichinelle”), mm. 9-20

Rachmaninoff’s fourth idea is a right hand pattern (mm.30-35, Ex. 4e). This is quite similar to a left hand pattern in Chopin’s Etude, Op.10, no.8 (Ex. 4f). Both are arpeggiated patterns with sixteenth notes; the first four notes are repeated in the arpeggiated pattern in both works. Similar tempo markings bring a similar shape between two: Rachmaninoff’s uses Allegro vivace and Chopin’s uses Allegro with an indication with veloce. Although Rachmaninoff’s has

27 an accent only on the top note, it gives the same effect with Chopin’s, as Chopin’s is quickly played and only the accent on the top note is particularly registered.

Ex.4e. Rachmaninoff, Morceaux de fantaisie, Op.3, no.4 (“Polichinelle”), mm. 30-33

Example 4f. Chopin, Etude Op.10, no.8, mm. 1-5

The fifth idea appears throughout the middle section (mm.59-91, Ex. 4g). This idea is reminiscent of Chopin’s Etude Op.25, no.5; the left hand plays a legato melody whose shape is echoed and elaborated on in the right hand. Rachmaninoff’s phrase is shaped 4+4+4 (mm.59-70), while Chopin’s is 2+2+4 (Ex. 4h).

Ex. 4g. Rachmaninoff, Morceaux de fantaisie, Op.3, no.4 (“Polichinelle”), mm. 59-70

Ex. 4h. Chopin, Etude, Op.25, no.5, mm.45-52

“Polichinelle” is especially significant in that four of the five major component ideas

have direct precedent in Chopin’s works. Yet even as Rachmaninoff successfully incorporated

each of these ideas into his piece, he also showed originality in weaving them together, and

unifying them through his initial motif, to express the character of Polichinelle.

Rachmaninoff’s harmonic process in “Polichinelle” is very distinct. The four ideas

inspired by Chopin’s at least have a sense of key due to their chordal treatment. However,

Rachmaninoff’s initial motif does not carry any sense of key, being a simple chromatic gesture.

Although the score indicates F# Minor with three sharps, the third and fifth of that key (A and

C#) do not appear during first ten measures at all. The frequent modulations – to VI, iv, parallel

major, VII, and so on – make the sense of a firm tonality very local instead of large-scale (10-

126). Only the last two measures (129-130) strongly affirm F# minor, by repeating C#-F#. In fact, the reason that the key sense is vague is because of use of Phrygian mode starting on F# (F#-G-

A-B-C#-D-E) (Ex.4i). This is introduced during first sixteen measures and provides the

foundation for the development of the entire piece. The use of a modal system gives an exotic

and unique character to the piece.

Example 4i. Rachmaninoff, Morceaux de fantaisie, Op.3, no.4 (“Polichinelle”), mm. 1-16

Op.3, no.5 (“Serenade”) and the Chopin waltz

Op. 3, no. 5 (“Serenade”) is a waltz (“Tempo di Valse”). Originating in Vienna, the waltz was the most popular dance in Europe during the nineteenth century. Composers frequently wrote waltzes both for dancing and for performance in concert; Chopin composed 36 waltzes.

“Serenade” has the typical pulse of the waltz, triple meter emphasizing the downbeat. Like

Chopin’s waltzes, “Serenade” is a moderate length, 156 measures requiring about three minutes to perform. This piece has an ABA’ structure plus introduction. The introduction (mm. 1-30) in particular is reminiscent of Chopin’s Grande Valse Brillante, Op.34, no.1, due to the three presentations, in V7, of the initial idea (Rachmaninoff, mm.1-5, F7, Ex. 5a; Chopin, mm.1-4,

E♭ 7, Ex. 5b).

Example 5a. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (rev. 1940), mm. 1-

Example 5b. Chopin, Grande Valse Brillante, Op.34, no.1, mm. 1-16

The pieces also share a similar swinging turn in the melody (Rachmaninoff, m.36, Ex. 5c;

Chopin, mm.33-34, Ex. 5d).15

Example 5c. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (rev. 1940), mm.

31-37

15 Sevin Yaraman, Revolving Embrace - The Waltz as Sex, Steps, and Sound (Hillsdale: Pendragon Press, 2002), 91.

Example 5d. Chopin, Grande Valse Brillante, Op.34, no.1, mm. 29-42

Chopin and Rachmaninoff use similar decoration for their respective melodies. Chopin

tended to use upper mordents in his waltz, as seen throughout Grande Valse Brillante; these can

function not only as decoration, but as appoggiatura or part of the melody. A similar pattern is

seen in “Serenade.” For instance, when the first melody is repeated in mm. 47-51, Gb is added between F and Eb; although it is not written as a mordent, it creates the effect of an upper mordent of F. Rachmaninoff further enriches the decoration with lower mordents, such as inserting Db between repeated Eb in m. 38, A\ between repeated Bb in m. 42, and Eb between repeated F in m. 51.

Chopin’s waltzes feature melodic fluidity through rhythmic changes such as triplet rhythm (Op.34 no.1, mm. 246-261). Rachmaninoff treats this technique even more freely, resulting in almost trill-like figures (mm.112-138). This chromatic ornament brings a dizzying effect over the left hand’s waltz rhythm (Ex. 5e).

Example 5e. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (rev. 1940), mm.

109-119

This is also found in the waltz section of the second movement of Piano Concerto No.3 in

D Minor, Op.30 (Ex. 5f).

Example 5f. Rachmaninoff, Piano Concerto No.3 in D Minor, Op.30, mm. 130-137

Although Chopin’s waltz was written for concert performance, it retains the dance

practice of keeping the triple rhythm from beginning to the end (Ex. 5g).

Example 5g. Chopin, Grande Valse Brillante, Op.34, no.1, mm.284-306

Rachmaninoff’s ending is quite different: the tempo accelerates from m. 144, Piu vivo ed accelerando; hemiola emerges in the last six measures (mm.151-156). There is also a dramatic crescendo from pp to ff. As a result, “Serenade” ends by dropping the waltz character in favor of a concert style, maximizing the audience’s attention to the closing effect (Ex. 5h).

Example 5h. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (rev. 1940), mm.142-156

As with Op. 3, no 3, Rachmaninoff revised Op.3, no.5 (“Serenade”) in 1940. The melody is the same in both versions, and the length barely altered (one measure is added in the revision).

For the most part, the changes are superficial: more dynamic effects and tempo changes, increased decoration by chromatic figures, and so on. Interestingly, although the revisions do not affect the melody or overall structure, they are significant in showing Rachmaninoff’s personalized style, as he consistently expands the dramatic musical effects.

The revised introduction has more detailed dynamic and tempo markings (mm. 15-30,

Ex. 5a). The revision inverts the chord of the waltz accompaniment figure in the A section (Ex.

5c, 5i).

Example 5i. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (original), mm. 31-

When the first melody is repeated at m. 48, it is decorated by double chromatic lines. A decrescendo over mm. 62-73 becomes louder overall, p to ppp (originally pp to pppp). The original phrasing for the middle section was created by using a slur to connect mm. 74-79 (Ex.

5j).

Example 5j. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (original), mm. 74-

The revision instead uses ritardando and a tempo to produce the effect of a phrase (Ex.

5k).

Example 5k. Rachmaninoff, Morceaux de fantaisie, Op.3, no.5 (“Serenade”) (rev. 1940), mm.

74-87

In A’, the melody is played in a higher octave (in both versions), and more decorated (in the revisions, with chromatic triplet figures in sixteenths, mm.110-124) (Ex. 5e). Finally, the high drama of the last twelve measures (mm. 144-155, Ex. 5h) is greatly increased by the revision: the Piu vivo ed accelerando is added, and the dynamic effect altered from pp - pppp - pppp - ff to pp - crescendo - f - crescendo - ff, and extended by holding the final chord over an extra measure.

The revisions show Rachmaninoff making the musical effects more sensitive in

“Serenade” through more specific dynamic markings, tempo markings, and more decoration by chromatic figures. These changes are an elaboration of the style Rachmaninoff originally devised

by adapting Chopin’s waltz features. The freer rhythmic changes, detailed melodic decoration,

and concert-style ending are characteristic of Rachmaninoff’s compositional approach.

Lastly, Rachmaninoff’s frequent use of modes is the most intriguing difference from

Chopin. In Serenade, the initial motive (mm.1-3) is in Dorian mode on Bb (Bb, C, Db, Eb, F, Gb,

Ab, Bb) (see mm.7, 12, 44-46, 74-77, and so on). In addition, a Phrygian dominant scale occurs with an augmented interval between Gb and A\ (mm.82-86). This shows Rachmaninoff’s affection for Russian religious music, which frequently used old church modes. Alexander

Goedicke recalled that:

Rachmaninoff stood in the half-darkness of the enormous church through the whole of the liturgy, listening to the austere ancient chants from the Oktoekhos, sung by the monks in parallel fifths… he would stay late into the night, listening with great enthusiasm to the singing of the gypsies.16

His use of modes is even more prominent in mature works such as “All-Night Vigil”, “Dies

Irae,” and “Symphonic Dances.”

16 Barrie Martyn, Rachmaninoff: Composer, Pianist, Conductor (Aldershot, England: Scholar Press, 1990), 30.

Chapter 3. Moments Musicaux, Op.16 (1896)

Rachmaninoff’s Moments musicaux, Op.16, shows the influence of Chopin’s piano works

on Rachmaninoff’s compositional approach. This work was written between October and

December 1896, likely to provide income during one of the periods when he was spending freely

but did not want to teach or embark on a concert tour.17 Opus 16 contains six pieces: No.1,

Andantino in Bb Minor; No.2, Allegretto in Eb Minor; No.3, Andante cantabile in B Minor; No.4,

Presto in E Minor; No.5, Adagio sostenuto in Db Major; and No.6, Maestoso in C Major. Although composed as a set, each piece is self-contained, presenting a new key and mood as well as demonstrating Rachmaninoff’s growing versatility. The title references Schubert’s Moments musicaux, D.780, which also consists of six short pieces representing different styles.18

Rachmaninoff’s composition encompasses many of the distinguishing features found in

Chopin’s solo piano character pieces. Furthermore, this composition is considered significant in

Rachmaninoff’s piano compositional development, as it shows a new maturity in its complicated

textures, lyrical melodic lines, and demanding performance techniques.19

Op. 16, no.1 (Andantino) and Chopin’s nocturnes and barcarolle

Like Op. 3, no. 1 (“Elegie”), Op.16, no.1 (Andantino) in Bb Minor (Ex.1a) shows

Chopin’s influence pertaining to the nocturne, such as a lyrical melody and arpeggiated

17 Andreas Wehrmeyer, Rakhmaninov. Life and Times. (London: Haus, 2004), 21. 18 A thorough comparison of Schubert and Rachmaninoff’s Moments musicaux can be found in Robin James Hancock’s dissertation, “Rachmaninoff’s “Six moments musicaux”, Op. 16, and the tradition of the nineteenth century miniature” (DMA Dissertation, Boston University, 1992). 19 Barrie Martyn, Rachmaninoff: Composer, Pianist, Conductor (Aldershot, England: Scholar Press, 1990), 111.

41 accompaniment in the left hand. This piece includes a one-measure introductory gesture, a common feature in Chopin’s nocturnes (such as Op.27, no. 1 and 2) (Ex.1a, 1b, and 1c).

Example 1a. Rachmaninoff, Moments musicaux, Op.16, no.1 (Andantino), mm. 1-4

Example 1b. Chopin, Nocturne, Op.27, no.1, mm. 1-8

Example 1c. Chopin. Nocturne, Op.27, no.2, mm. 1-8

Another characteristic common in Chopin’s nocturnes is opening the melody on the minor third scale degree; this also occurs in Op.16/1. Rachmaninoff uses the minor third scale degree as a sectional marker, indicating whether the harmany stays in home key or modulates to other keys (m. 2, 23, 60 in Bb minor; m.10, D♭ Major; m.38, Gb Major; m.44, A♭ minor; m.48, A

Major; m.56, F Major). This clearly recalls Chopin’s Op.72, no.1, in which the melody starts on the third scale degree almost every phrase (m.2, 10, 31 in E minor; m.14, B minor; m.23, B

Major; m.47, E Major). In the end, in total, Rachmaninoff emphasizes Db five times, and ends with the note on the top of the final chord (m.101-106) (Ex.1a, 1d, and 1e).

Example 1d. Chopin, Nocturne, Op.72, no.1, mm.1-5

Example 1e. Rachmaninoff, Moments musicaux, Op.16, no.1 (Andantino), mm. 1-4

While the left-hand accompaniment retains Chopin’s typical arpeggiated figure, Op. 16/1 produces a newly full and rich harmonic effect by adding thirds, fourths, and sixths, and octaves in the accompaniment (Ex.1a). Chopin’s arpeggiated accompaniment tends to be a single line

largely unchanging throughout the piece (Ex.1d). Rachmaninoff’s chordal accompaniment both

fills in the harmonic profile and functions as counter-voice.

Structurally, the Andantino can be interpreted two ways: as ABA’ form (A, mm. 1-37; B, mm. 38-59; and A’, mm. 60-106), or variation form (initial theme, mm. 1-21; rhythmic variation, mm. 22-37; figural and harmonic variation, mm. 38-59; melodic variation (mm. 60-83); and harmonic variation, mm. 84-106). This may be considered a development of Chopin’s more straightforward ABA’ form, in which the B section provides a new episode and the A’ section simply decorates the melody.

Another way of understanding the opening of Op. 16/1 is through the model of the barcarolle, which is characterized by a rhythm invoking the stroke of the gondolier’s oars; almost invariably in 6/8 meter; and a moderate tempo.20 The left hand’s gentle motion in Op. 16/1,

triplet rhythm, and a peaceful, quiet mood can suggest a boat floating on water. This is

comparable to Chopin’s Barcarolle, Op.60. (Ex. 1e); in addition to the characteristic barcarolle

figure (mm. 1-3), it contains an introductory gesture prior to the beginning of the melody (mm.

4-5), like those found in the nocturnes and Rachmaninoff’s Andantino.

20 Don Michael Randel, ed., The New Harvard Dictionary of Music (Cambridge, Mass.: Belknap Press of Harvard University Press, 1986).

Example 1e. Chopin, Barcarolle, Op.60, mm. 1-7

The melody of Chopin’s Barcarolle is decorated with sixteenth or thirty-second notes which always have an ascending and descending shape; the same technique is found in Op. 16/1

(Ex. 1f and 1g). However, the gondolier rhythm in the Andantino is dropped at m. 22, and the music proceeds through numerous metrical changes (including 7/4, 3/4, 4/4, 6/4, and 5/4) in mm.

38-55. A barcarolle must maintain the initial meter throughout the entire work; so while Op. 16/1 shares many barcarolle characteristics initially, it is not a barcarolle.

Example 1f. Chopin, Barcarolle, Op.60, mm. 110-116

Example 1g. Rachmaninoff, Moments musicaux, Op.16, no.1 (Andantino), mm. 55-59

Rachmaninoff thus combined the Chopinesque characteristics of nocturne and barcarolle

for the initial idea, but, rather than using those features to produce a character piece, treated it as

one component within a broader collection of stylistic variations presented in the piece.

Furthermore, while the melodic treatment is clearly inspired by Chopin, Rachmaninoff’s love of

thick chromaticism – particularly, “intra-tonal chromaticism,” in which many of the chromatic notes stay in the key21 – is a defining feature of the melodic lines. In addition to the chromatic

inner voice (mm. 25-32, 38-43, 48-53, 98-100), there are chromatic notes in the stepwise

melodic lines, cadenza passages, and melodic variations throughout the piece. Rachmaninoff

further puts his signature on the piece in terms of technical demands, with cadenza-like passages

and an expanse of melodic variation requiring brilliant and demanding skill, and anticipating

Rachmaninoff’s mature works.

Op.16, no.2 (Allegretto) and Chopin Prelude Op.28, no.14

Op.16, no.2 (Allegretto) conveys a mysterious mood; in Eb Minor, a continuous

whirlwind motion is presented throughout by both hands’ sextuplet rhythm in 2/4 meter. This

piece is technically demanding; the left hand perpetually repeats its ascending and descending

line, while the right hand must pair that ceaseless motion with the melody in octaves.

Furthermore, while the melody should be connected, the whirlwind motion in both hands should

have lighter touch for a ghostly mood (Ex. 2a).

21 Joseph Yasser, “Progressive Tendencies in Rachmaninoff's Music,” Tempo 22 (Winter, 1951-1952): 21, https://www.jstor.org/stable/943073.

Example 2a. Rachmaninoff, Moments musicaux, Op.16, no.2 (Allegretto), mm. 1-5

The creepy mood of the Allegretto is reminiscent of Chopin’s Prelude in E♭ Minor,

Op.28, no.14. Chopin likewise presents perpetual motion as a succession of single notes in both hands; while Rachmaninoff uses contrary motion between the hands, Chopin uses parallel motion – unison by octaves. Within this motion is the melody; however, while Rachmaninoff’s melody is emphasized through octave doubling, Chopin’s is more hidden.

The first three notes (Bb, Cb, Cb) are the same in each composer’s melody, but the

melodic progress is different. In the Chopin, the first four notes (Bb, Cb, Cb, Bb) become a basic idea, repeating or changing throughout the piece (Ex.2b).

Example 2b. Chopin, Prelude, Op.28, no.14, mm. 1-6

In the Rachmaninoff, the same idea is developed chromatically as Bb, Cb, Cb, C\, and both extended and reversing direction over the next measures (Gb, F, Fb, Eb, D\) (Ex. 2a, red boxes). Chopin’s prelude is brief, consisting of two subsections: A1, mm.1-10 and A2, mm.11-

19. The Allegretto, being much longer at 133 measures, is more structured, with ABA’ form (A, mm. 1-44; B, mm. 45-84; A’, mm. 85-133). Both pieces are rhythmically consistent due to the perpetual motion; Chopin uses triplet eighth notes in 2/2, Rachmaninoff sextuplet sixteenth notes in 2/4.

Each composer starts and ends in a soft dynamic; Chopin includes crescendo and decrescendo starting at p for each phrase. As Rachmaninoff expands Chopin’s one-measure idea over four measures, he also creates the similar but wider dynamic effect, starting pp, crescendoing to mf, and decrescendoing towards the end of the phrase. While the Chopin largely maintains the soft dynamic, except for ff in m. 11, the Rachmaninoff ranges from ppp to fff.

Rachmaninoff’s exaggerated dynamic treatment in B – sudden crescendos from p to sff, ff, or fff,

followed by contrasting pp – takes the mood beyond mysterious, to scary and stormy. The use of fff at the end of the section produces a massive, explosive climax (mm.77-84) (Ex. 2c).

Example 2c. Rachmaninoff, Moments musicaux, Op. 16, no.2 (Allegretto), mm. 75-89

Chromaticism abounds in the Rachmaninoff. The melodic line throughout is largely built

on half-steps; the progress of B is based on the chromatic initial motive (Bb, Cb, C\, Gb, F, Fb,

Eb). Sequences of the motive follow in chromatic order, and the sense of key is further muddied

by diminished chords (mm.45-76). The bursting of the accumulated tension at the climax comes

in Eb Major, the parallel major key of the home key (mm.77-90).

The Chopin Prelude, with its mysterious mood, and perpetual motion in both hands, is

clearly the foundational idea from which the Allegretto departs. Rachmaninoff maximizes these

components by expanding both the basic motive and the larger structure in length and

complexity, while the exaggerated dynamic effects produce a newly dramatic contrast of a calm

before the storm of the explosive climax. The multiple voice texture through octaves in the

melody, and the expansion of Chopin’s suggested chromatic melody, bring Chopin’s musical

precedent fully within Rachmaninoff’s musical personality.

Op.16, no.3 (Andante cantabile) and Chopin Prelude Op.28, no.6

Rachmaninoff’s Op.16, no.3 (Andante cantabile) in B Minor shares a distinct funereal

character with Chopin’s Op.28 B Minor Prelude, no. 6; Chopin’s B Minor Prelude was

performed at Chopin’s funeral, and Rachmaninoff’s Op.16, no.3 played by Vladimir Ashkenazy

in memory of Sol Hurok in 1914.22

The pieces share an opening dynamic scheme (crescendo and decrescendo over a soft

dynamic), phrase structure (repeated short phrases), and slow tempo (Rachmaninoff, Andante

22 The New York Times review incorrectly states that it was Rachmaninoff’s E Minor Prelude; Mr. James Tocco, an audience member, stated that this was the third of Rachmaninoff’s Moments musicaux, Op.16. http://www.nytimes.com/1974/03/11/archives/music-ashkenazy-keyboard-triumph.html?_r=0

53 cantabile; Chopin, Assai Lento). This creates a reflective atmosphere, of calm patience while awaiting death (Ex.3a and 3b).

Example 3a. Rachmaninoff, Moments musicaux, Op.16, no.3, mm. 1-13

Example 3b. Chopin, Prelude, Op.28, no.14, mm.1-26.

The Chopin Prelude is brief – 26 measures – and has a simple binary structure; the eight-

bar phrase is organized in a traditional fashion, 2+2+4. The Rachmaninoff has an ABA’ structure: A (mm. 1-13), B (mm. 14-32), and A’ (mm. 33 to 54). Rachmaninoff’s phrases are

more free musical gestures than stable structures.

The Chopin starts with a complete bar and repeats the first short phrase; a longer phrase

follows. Each short phrase unfolds over crescendo and decrescendo, like a short breath. Starting

on an incomplete bar, Rachmaninoff used this short phrase - repetition - longer phrase structure,

although the first phrase is even shorter than Chopin’s two measures, only three beats long

(dotted eighth + sixteenth + two quarters). The brief melody (D-C#-D-E) produces an impression

of irresolution or an interrogative gesture. After the repetition (mm.1-2), the longer phrase

answers with a descending and harmonically resolving melodic line (2-6) (Ex. 3a). The phrase

always starts at the last beat of the measure, and there is a quarter rest between phrases; this

produces an effect of sighing with resignation.

The B section repeats this idea more dramatically, leading to a climax. With each

repetition (mm.13-28), the longer phrase starts one step higher than its last appearance, and with

growing dynamics. The climax (mm.26-27) is ff, then quickly subsides in the same manner,

repeating the phrase sequence three times (Ex. 3c).

In fact, this section is full of modified sequences. The opening four measure are in B

minor (mm.13-16); this modulates in sequence to D minor (mm.17-20), F# minor (mm.21-23),

and B minor (mm.24-26), outlining a B minor chord (plus octave).

Example 3c. Rachmaninoff, Moments musicaux, Op.16, no.3, mm. 13-32

Repetition in sequence produces the transition from B to A’ (mm.29-32): the initial phrase seen in m.1 is repeated three times by descending half-steps (C#, B, C#, D); the simultaneous decrescendo suggests the painful departure of life. A’ brings the funeral march, with octaves in the left hand. The right hand plays the thirds melody of the A section in inverted chords at mf. As the right hand always plays as thirds before A’, this seems to be a boundary of life and death, in which thirds mean painful life and the inverted thirds – sixths – signal death

(mm.32-38). After funeral march, the thirds return, bringing the music to another climax (mm.

38-46). The sound finally dies in ppp (Ex. 3d).

The register of Rachmaninoff’s melody is similar to Chopin’s, but Chopin’s melody is played by the left hand while the right hand plays chordal accompaniment; Rachmaninoff’s melody is played by the right hand while the left hand supports it from a lower register. As a result, the mood of the Chopin is lonely, melancholy and forlorn, while Rachmaninoff’s is darker and solemn. The wider register also creates a richer and thicker texture in general. Likewise, compared to Chopin simple binary form, Rachmaninoff’s ABA’ produces a much more dramatic narrative suggesting the position between life and death. Chopin’s short, short, long phrase idea

becomes the foundational concept for the A section, creates tragic moments through modified

sequences in the B section, and formulates the funeral march of the A’ section. In this way,

Rachmaninoff takes Chopin’s piece as the kernel for a more detailed, subtle, and elaborate

funeral narrative.

Example 3d. Rachmaninoff, Moments musicaux, Op.16, no.3, mm. 32-54

Op.16, no.4 (Presto) and Chopin Etude Op.10, no.12

Rachmaninoff’s Op.16, no.4 (Presto) is a tempestuous etude particularly reminiscent of

Chopin’s “Revolutionary” Etude, Op.10, no.12 in C Minor (Exx. 4a and 4b).23 Both works focus

on the execution of rapid left-hand figures using sixteenth notes, although they are in different

groupings: Rachmaninoff, presto sextuplets in 4/4; Chopin, allegro sixteenths in 4/4.

Chopin’s etude is furious and stormy; composed in 1831, during the Polish-Russian War

in 1831, the epithet “Revolutionary” supposedly refers to Chopin’s musical wail of despair upon

the conclusion of war. It starts with a crashing chord in the right hand over left hand sixteenth

notes. Throughout the piece, the right- hand plays chords or octaves which function as melody;

the left hand’s rapid figures drive forward in f and ff. Op.3, no. 4 shares Chopin’s minor mode, ceaselessly driving rhythm, and right hand melody with thirds and chords or octaves in the

loudest moments. Its texture is thicker, however, as Rachmaninoff sometimes doubles the

sixteenth figures in both hands. Chopin’s phrasing is 4+4 measures, while Rachmaninoff’s is

longer and freer, ranging from 5-7 measures. Both pieces have three-part structure;

Rachmaninoff’s starts with a two- measure introduction, using the left hand’s rapid figures in ff.

Chopin’s B section is a brief 12 measures (mm.29-40). As in many of the other pieces of

Opp. 3 and 16, Rachmaninoff both lengthens this section (here, to 23 measures, mm.22-44) and dramatizes the dynamic treatment: the sound drops from fff to ppp in m. 27; crescendos from m.

29 to fff in m. 35; drops again to ppp; and crescendos again towards the fff climax in m. 41. The

A’ section (mm.45-67) is more powerful still; indicated “Piu vivo”, the rapid figures are doubled

23 Another possible model for the left hand technique is Chopin’s Prelude in G major, op. 28, no. 3.

60 by both hands, and right hand’s thirds become chords and octaves. While Chopin’s coda

(mm.73-84) drops to pp and concludes ff (Ex. 4c), Rachmaninoff’s coda (mm.59-67) is an emotionally explosive transformation of the transition between A and B (mm. 15-21), played

Prestissimo and ffff – the highest volume in the piece (Ex. 4d).

Example 4a. Rachmaninoff, Moments musicaux, Op.16, no. 4 (Presto), mm. 1-4

Example 4b. Chopin, Etude, Op.10, no.12, mm. 1-7

Example 4c. Chopin, Etude, Op.10 no.12, mm. 70-84

Example 4d. Rachmaninoff, Moments musicaux, Op.16 no.4 (Presto), mm. 59-67

Both pieces effectively create dramatic tension through frequent chromaticism. Chopin’s

Etude contains stepwise chromatic motion in the bass line (mm.14-18, 25-27); the leading tone seventh chord (B\, D, F, Ab) accumulates tension from mm. 1-8, resolving to C minor at m. 9;

the melody in A’ is decorated by chromatic passing tones or neighbor tones (mm.50-64).

The left- hand figure in Presto has more chromatic accidentals (D#, D\, C#, C\).

Rachmaninoff’s A section mostly stays in the home key, but B presents dramatic sequences

descending chromatically in the right hand one octave from G to G (mm.29-34), and a chromatic

bass line over a crescendo from ppp to fff (mm.27-44).

In terms of the technical problem and furious mood, Overall, Rachmaninoff’s piece is

very similar to Chopin’s Etude. However, Rachmaninoff’s presents more complexity and

demanding technique. The left- hand figure has more notes in a quicker tempo; the right hand

often plays the accompaniment figure as well as the melody, and the right- hand melody is

largely at a louder dynamic level. Sudden and frequent contrasts in dynamic level requires

pianists to have quick control, and louder dynamics such as fff or ffff and tempo changes to piu

vivo and Prestissimo require more stamina.

Op.16, no.5 (Adagio sostenuto) and Chopin Berceuse Op.57

Rachmaninoff Op.16, no.5 is a peaceful, reflective piece in D♭ Major (Ex. 5a). The Adagio

sostenuto and pp left-hand triplets create a beautiful mood from beginning to end, a character it

shares with Chopin’s Berceuse, Op.57 in E♭ Major (Ex. 5b). Although the Rachmaninoff is in

common time while the Chopin is in 6/8, they both utilize a steady triplet rhythm that results in a

similar atmosphere.

Example 5a. Rachmaninoff, Moments musicaux, Op.16, no.5, mm. 1-6

Example 5b. Chopin, Berceuse, Op.57, mm. 1-8

Each composer’s purpose is evident in their chosen structures. The Berceuse is in a type

of figural variation form, where a melody is repeated with increasing decoration. A four-bar

65 phrase is repeated 16 times with left-hand accompaniment. There are no rhythmic, harmonic or dynamic changes; instead, the melody starts with a single note, f''; is expanded by another voice; is decorated with grace notes; and treated to thirty-second note figuration, doubled chromatic motion by thirds, and sixteenth-note figuration. Consistently p, the variations evoke shining stars in night sky.

By contrast, Rachmaninoff uses ternary form: A (mm. 1-19), B (mm. 20-37), A’ (mm.

38-53). The melody is presented in thirds in the middle register of the keyboard, suggesting a duet throughout the piece. At the climax (m.35) and beginning of A’ (m.38), lower bass is added to the left hand as an octave, creating increased weight in the sound (Ex. 5c).

Example 5c. Rachmaninoff, Moments musicaux, Op.16, no.5, mm. 34-40

Example 5d. Chopin, Berceuse, Op.57, mm. 25-34

While Chopin displays the quintessence of pianistic and coloristic effects, the lower melodic register of the Rachmaninoff gives a sense of nostalgia, with calm depth. Modulation to the distant E Major in the climax creates a marvelous moment of revelation, like discovering the

most beautiful scene of one’s life (mm.35-37). While entire piece mostly stays in this calm

mood, a chromatic inner voice is sometimes added for a richer sound (mm. 9, 18, 37-38, 47, 49).

Despite sharing the key of Db Major and a similarly calm and peaceful mood at the beginning, the Chopin and Rachmaninoff have different outcomes. Chopin maintains the harmonic progression and accompaniment in variation form throughout his Berceuse;

Rachmaninoff enriches his structure by adding a new episode and surprising climax in an unexpected key in the middle section. The effect of the pp recapitulation in A’ is section is thus like an echo, suggesting respect for what came before (mm. 38-53) (Ex.5e).

Considering this piece was composed when Rachmaninoff was only 23, it is amazing that he so effectively presents the deep nostalgia prevalent in his mature works.

Example 5e. Rachmaninoff, Moments musicaux, Op.16, no.5, mm. 38-53

Op.16, no.6 (Maestoso) and Chopin Etude Op.25, no.12

Rachmaninoff’s Op.16, no.6 (Maestoso) is based on 32nd notes of repetitive nature played by both hands throughout; the melody is played in chords (Ex. 6a). The jubilant mood and endlessly flowing accompaniment figures strongly recall Chopin’s “Ocean” Etude, Op.25, no.12 in C Minor (Ex. 6b). Although Rachmaninoff’s is in C Major and Chopin’s in C Minor, both pieces end in a triumphant C Major.

Example 6a. Rachmaninoff, Moments musicaux, Op.16 no.6, mm. 1-4

Example 6b. Chopin, Etude, Op.25 no.12, mm. 1-8

There is a significant difference in the contour of the rhythmic patterns, with

Rachmaninoff’s in 32nd notes in 3/4 meter, while Chopin’s is sixteenths with arpeggiated

flourishes in 2/2. Additionally, the Rachmaninoff melody is largely chordal, for a thick texture,

while Chopin embeds his melody within the beginning of each arpeggio. In general, Chopin

holds to f or ff, ending fff; Rachmaninoff starts ff, escalating to fff and ffff in the second half

(mm.59-102).

Both pieces have three-part structure. Similarly, both take modulation process to distant keys in the middle section. The Chopin moves through Ab Major and Eb Major from mm. 23-46, returning to C minor in A’ at m. 47. Rachmaninoff’s harmonic journey is longer, passing through

Eb Major, F# Major, A Major, Ab Major, and G Major in the B section (mm. 26-58) and returning to C Major in A’ at m. 59.

Op 16, no.6 has a remarkably long coda, spanning two pages (mm. 80-102). Following a ffff climax at m. 79, the dynamic quickly drops through a one-measure diminuendo, and the coda starts p (m.80). While the coda’s melody emerges from the repetitive octave figures in the right hand, the register descends two octaves by sequence, producing an effect of recalling the past in a calmer mood (mm.80-95). Arriving at C Major in m. 95, the music crescendos from f to fff, and again to ffff for a majestic and touching denouement of this set (Ex. 6c). Because the previous sections are all massive, with ever-increasing dynamics, the gradually dropping dynamic and register of the coda have tremendous emotional impact for the listener. The Chopin and

Rachmaninoff both emphasize the victory of the final C Major by repeating the chord (Ex. 6d).

Example 6c. Rachmaninoff, Moments musicaux, Op.16, no.6, mm. 98-102

Example 6d. Chopin, Etude, Op.25 no.12, mm. 79-83

As with Op.16, no.4, although Rachmaninoff presents a similar technical problem as

Chopin’s etude in no. 6, there is much more complexity in texture and technical difficulty. The

very loud dynamic requires pianists to avoid playing the repetitive figures too loud even as the

melody is projected full volume. While Chopin focuses on the arpeggiated figure alone,

Rachmaninoff incorporates chords and octaves with the repetitive figures. The piece requires busier finger motion, with multiple voices. In addition, a canonic passage appears in A’ (mm.70-

79) (Ex.6e).

Example 6e. Rachmaninoff, Moments musicaux, Op.16, no.6, mm. 71-80.

Although both have three-part form, Rachmaninoff’s B section is again longer with more modulation processes, requiring pianists to produce a wide variety of colors; similarly, his coda with its sequences is notably longer than Chopin’s. As with the other pieces from Moments musicaux, no. 6 piece is significant as a self-contained piece as well as part of the set, in its presentation of the performer’s overwhelming technique skill, the massive sound, and variety of colors.

Chapter 4. Conclusion

Chopin’s major musical influence on Rachmaninoff throughout his education and

professional career can be seen exceptionally clearly in the pieces comprising Morceaux de fantaisie, Op.3 and Moments musicaux, Op.16. As the analysis presented in the document shows,

Rachmaninoff not only explored Chopin’s style and interest in character pieces in these early sets, but also used specific Chopin pieces as models and inspirations in his early pianistic creations. The precedents Rachmaninoff invokes in these sets range from Chopin’s etude and prelude collections to his famous nocturnes and signature use of polonaise style.

Furthermore, the analysis reveals the ways in which Rachmaninoff expanded on Chopin’s models to develop his personal sound. Firstly, Rachmaninoff used Chopin pieces as kernels or starting points of larger works: in Op.3, no.2 (“Prelude”), no.3 (“Melodie”), and no.4

(“Polichinelle”); in Op.16, no.1 (Andantino), and no.5 (Adagio sostenuto). Material from Chopin is combined imaginatively with Rachmaninoff’s own musical ideas to create new dramas, such as Op.3, no.4. Likewise, he started from technical problems similar to Chopin’s to develop a section (Op.3, no.2) or whole work (Op.3, no.3). From these beginning points, Rachmaninoff created new and distinct sounds, sometimes through adding new sections (Op.3, no.2), or by using different compositional techniques such as thickening melodic lines, adding chromatic notes, and modulating to more distant keys (Op.3, no.3).

Interestingly, although these pieces took ideas from particular Chopin works, they do not necessarily share the same purpose. Several Chopin etudes provide material or inspiration for

Opp. 3 and 16, but they do not play the role of etudes. For instance, in Op.3, no.2 and 3,

Rachmaninoff employs Chopin’s figure, but develops the musical idea much differently. In the

75 same way, although Rachmaninoff used features typical of Chopin’s nocturne, barcarolle, and berceuse at the beginning of several pieces in these sets, he developed entirely new structures, for instance adding new episode with more complexity of harmony and voice in Op.16, no.1 and

Secondly, Rachmaninoff used the typical features of character piece genres to develop more intense musical drama, as in Op.3, no.1 (“Elegie”). This piece incorporates Chopin-style lyrical melody line, melodic decoration, and arpeggiated accompaniment style, but heightens the emotional expression by positioning the melody on the weak beat, and creating a series of suspensions resulting in more dissonances, expressive timing and rubato. Moving away from the nocturne style in the middle section makes emotional contrast; elaborating the ending with a longer coda and increased dynamic level takes the heightened drama even further – and proves to be a technique that he frequently features in his later works. Similarly, while Op. 3, no. 5 derives from the Chopin waltz, he unfolds the music more dramatically, with sensitive and detailed dynamic marking and tempo changes; this is especially notable in the 1940 revision of this piece.

The use of modes reflects an affection for Russian church music.

A frequent technique found in Opp. 3 and 16 is an exaggeration of the treatment used in

Chopin’s pieces, such as exploiting wider dynamic ranges or increasing technical difficulty. Thus while Op. 16, no. 2, 3, 4, and 6 took basic musical concept from Chopin’s pieces, Rachmaninoff enlarged Chopin’s dynamic effects: crescendo and decrescendo within p becomes pp - crescendo

- mf - decrescendo; extreme dynamic contrasts are common; explosive climaxes are built with fff or ffff. Phrases are extended and dynamic lines are added in multiple voices (Op.16, no.2 and 3), enriching the musical narrative; constant modulations require a wide variety of pianistic colors.

Rachmaninoff writes busier passagework in rapid tempo for both hands, while multiple voice and canonic passages require extraordinary control (Op.16, no. 2, 4, and 6).

By demonstrating the scope of Chopin’s influence on Rachmaninoff’s early piano sets, this document helps performers understand how thoroughly Rachmaninoff had Chopin’s piano music in his mind during his composition process. Indeed, each piece from Rachmaninoff’s Op.3 and Op.16 took ideas from specific Chopin works, not as simple quotations, but as musical inspiration which Rachmaninoff developed in his own style. By understanding how

Rachmaninoff assimilated Chopin’s ideas for the creation of his own music, performers can interpret the originality of Rachmaninoff’s musical process more convincingly and confidently.

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