Robert Schumann and Sonata Forms Joel Lester 19th-Century Music, Vol. 18, No. 3. (Spring, 1995), pp. 189-210. Stable URL http: flinksjstor-org/sici%sici=0148-2076% 28199521 % 29 18%3A3%3C 189%3ARSASF%3E2.0.CO%3B2-C 19%h-Century Music is currently published by University of California Press. Your use of the ISTOR archive indicates your acceptance of JSTOR’s Terms and Conditions of Use, available at bhupulwww.jstororg/about/terms.hunl. JSTOR’s Terms and Conditions of Use provides, in part, that unless you have obtained prior permission, you may not download an entire issue of « journal or multiple copies of articles, and you may use content in the JSTOR archive only for your personal, non-commercial us. Please contact the publisher regarding any further use of this work. Publisher contact information may be obtained at hutp:/wwww jstor.org/jounals/ucal html, Each copy of any part of a JSTOR transmission must contain the same copyright notice that appears on the screen or printed page of such transmission, JSTOR is an independent not-for-profit organization dedicated to ereating and preserving a digital archive of scholarly journals. For more information regarding JSTOR, please contact support @jstor.org, hupswwwjstororg/ Mon Nov 13 10:14:59 2006Robert Schumann and Sonata Forms JOEL LESTER Amold Schoenberg's essay “New Music, Out- moded Music, Style and Idea” reproaches edu- cators (and, implicitly, scholars} who substi- tute “ready-made judgements [and] wrong and superficial ideas about music, musicians, and aesthetics” for direct contact with music. It tells of a sophomore who “had certainly not heard much ‘live’ music” parroting her text- book to describe Schumann’s orchestration as “gloomy and unclear.” As a result of such preju- dicial remarks, Schoenberg fears that this stu- 19th-Century Music XVIN3 [Spring 1995]. © by The Re. sents of the University of California [A Rifkind Research Fellowship from the Humanities Divi sion at The City College of New York enabled me t0 ‘esearch this material. Marva Duerksen, Rufus Hallmark, Patrick MeCreless, and Leo Treiter provided valuable sug gestions on earlier drafts of this article. Throughout this article, lowercase pitch letters denote minor keys and chords, uppercase, major keys and chords. dent “will never listen to the orchestra of Schumann naively, sensitively, and open: mindedly.” Schoenberg's invocation of Schumann was no accident, for music historians of Schoenberg's time often cited Schumann’s music, especially his works in the larger forms, primarily to ex- cemplify negative features of post-Beethoven music. Popular texts told how Schumann could not “find his bearings on this road,” and de- cried “his flabbiness and lack of intellectual fibre.”? The silence of contemporaneous theo- rists suggests a similar assessment: Schenker never published analyses of any extended pas- sage from any Schumann instrumental work, and Donald F. Tovey wrote no essay on Schu- 'Amold Schoenberg, Style and Idea, ed. Leonard Stein, tans, Leo Black (New York, 1975], pp. 113-14. Paul Henry Ling, Music in Western Civilization |New York, 1941), p. B13, Cecil Gray, The History of Music (New York, 1931), p.230. 189lon CENTURY ‘MUSIC ‘mann akin to his studies of Brahms, Dohnényi, Elgar, Gluck, Haydn, and Schubert. ‘Negative assessments continue in recent writings. Charles Rosen uses the first move- ment of the Fantasie, op. 17, to portray “the death of the classical style”* and the Piano Sonata in F¥ Minor, op. 11, to illustrate inad- equacies of “sonata form after Beethoven.” He tells how the sonatas and symphonies “are con- stantly embarrassed by the example of Beethoven.”* For Carl Dahlhaus, the “Spring” Symphony epitomizes the structural weak- nesses of many nineteenth-century sonata forms.‘ Gerald Abraham berates “Schumann’s static, mosaic-like conception of form and the lack of germinal quality in the themes, {which are] more like passagework than true themes, capable of endless manipulation but lifeless and infertile.”” Even Anthony Newcomb, who set out to explain why the Second Symphony was so admired by earlier eras, in effect concedes the work’s structural weaknesses when he defends it on the basis of narrative and other critical models, rather than arguing for its value on structural grounds. Only a few Schumann scholars, Jon Finson, Hans Gal, and Linda Roesner prominent among them, argue for a more positive assessment of Schumann's achievements in large forms, of- ten while acknowledging earlier critics? Larry Laskowski, Heinrich Schenker: An Annotated In- dex to His Analyses of Musical Works |New York, 1978) Donald F. Tovey, The Main Stream of Music and Other Essays (Cleveland, 1959). Tovey opens the analytic por- tion of his discussion of Schumann's symphonies: "Ie is ‘quite tue that Schumann's treatment of large forms is 0 ‘model for students” [Essays in Musical Analysis, I Lon- don, 1985, p. 461 ‘Charles Rosen, The Classical Style: Haydn, Mozart, Beethoven (New York, 1971), 451 SRosen, Sonata Forms (New York, 1980), chap. 13. (rev. edn. New York, 1988), chap. 14, and Classical Style, p. 378. 31 Dablhaus, Nineteenth-Century Music, trans. |. [Bradford Robinson (Berkeley and Los Angeles, 1985, pp. 159-60, "Gerald Abraham, "Schumann, Robert," in The New Grove Dictionary of Music and Musicians, ed. Stanley Sadie (Lon- don, 1980}, vol. 16, pp. 851-52, "Anthony Newcomb, “Once More ‘Between Absolute and Program Music: Schumann's Second Symphony,” this jout- nal 7 (19841, 233-50, jon W. Finson, eg, relates how Schumann found his own voice and learned to tailor musical materials to his own fends in Robert Schumann and the Study of Orchestral 190 A direct challenge to this received wisdom is in order. Many of Schumann’s large-form compositions have remained popular for gen- erations on end. They need not be set against Beethoven's and then criticized for failing to do ‘what Beethoven did, as Dahlhaus explicitly does in his critique of the "Spring" Symphony, and 4s is implicit in Rosen's critiques of the Fantasie and the Sonata, op. 11. Many of Schumann's sonata forms, their neo-Classical features aside, reinterpret the form for distinctly new ends, since they pose structural problems different in kind from Beethoven's. Sonata form was for ‘Schumann a fertile ground in which he created ‘a range of structurally compelling and aestheti- cally cogent relationships between thematic, tonal, and other processes. Many movements that resemble a mosaic exhibit effective large- scale tonal and thematic narratives and organic processes."° Each of Schumann's sonata-form movements is individual in conception, because each uniquely relates its large-scale structural and narrative plans to its thematic content. In sum, Schumann's sonata forms are individual and suitable vehicles for his varied creative ideas, Consider the first movement of his String Quartet in A Major, op. 41, no. 3, which con- tains many Classical features: a slow introduc- ‘Composition: The Genesis ofthe Ftst Symphony, Op. 38 (Oxford, 1989], Hans Gal avoids the usual clichés of Schumann catcism in Schumann Orchestral Musi (Se ale, 1979), Linda Correll Rosner argues for hitherto sn fecognized formal patterns in "Schumann's "Parallel Forms," this yournal 14 (1991), 265-78 "hecause the term narrative has been used with several different sets of connotations in recent musical scholar ship, some words of explanation about my usage are nec cssary here, Lemploy the term in its traditional meaning Sta story: As detail belove for several movement, ms caltement eg: thane, mote, key] can erin ec of musie 0 if they were characters in a plot. Suc Isic naratives ae inramusieal This i the meaning tf narrative that Carl Czemny draws on to preface his di {srston of sonata form in hs Sho! of Practeal Compos tion: Complete Treatise on the Composition of All Kinds of asi Op. 600 leans. John Bishop [London 4. 1848; facs, edn. New York, 1979], 1,34), when he likens the "vel established form” toa "romance, anovel, or det matic poem" and caste musical ideas. as “diferent charac: ters” to which “events” happen. I refer atthe end of this Study to some other types of narratives [specially tho Pots or allusions that used to be called “extearnsca that may be applicable to Schumann's music snd their relationship to tis studytion; a repeated exposition with two contrast ing themes in tonic and dominant, the first (mm, 8ff]"" more active and with distinct mo- tives, the second (mm. 46ff,] mote lyrical and continuous; a development that fragments the themes and traverses several tonal areas before ending on the dominant; a recapitulation that grounds the second theme in the tonic; and a coda that prolongs the final cadence. Schumann. even mimics details of Classical sonata forms, such asa closing theme based on the first theme, and a tonally remote “purple patch” late in the second key area (a suspended moment in mm. 81-83 gliding in and out of Ct major). This musical evidence confirms what we already know from Schumann’s diary entries of April and May 1842, namely that he studied string quartets of Haydn, Mozart, and Beethoven just. before writing his op. 41 set of three." Yet despite these similarities, Schumann's movement differs from Classical norms in many ways, even though there is a Classical era pre- cedent for nearly every special feature. More important, Schumann applies both traditional and idiosyncratic features to new ends. On the largest scale, the recapitulation {mm 154-209] begins with the second theme;"* the first theme appears only when its opening phrase serves as the closing theme [mm. 206-09, as at the end of the exposition]. Some Classical movements reverse thematic order in a recapitulation, es- pecially when the structure of a theme allows. it to fill two functional roles.'* In Schumann’s "Throughout this article measures are numbered continu ‘ously beginning inthe introdvetion lf any), "Robert Schumann, Houshaltbucher: 1837-1856, ed. Gerhard Nauhaus, vo. Il, Tagebucher (Leipcig, 1982) For April 1842, Schumann entered "Imlmaer Quartette von) Mozart seudir” |p. 210) for 28 April 1842, he entered ““Quartettevfon) Beethoven” (p. 212) and for 6 May 1842, hs etered “tuft an Quartet on] Haydn fp. 213) Beginning in m, 146 (shown in ex. 3), there is a steong. allusion to the opening theme; but this allusion, with its changed harmonies and its evaporating sense of tempo, hhardly qualifies as an arrival on the fist theme in the tonic key. By contrast, the second theme group rewums intact beginning in m. 154. Further reasons for denying. thatthe recapitulation begins in m. 146 emerge during the ‘course of this analysis, “For example, in the first movement of Mozart's Piano, Sonata in D Major, K 311, which also reverses the order of the theme groups inthe recapitulation, the opening theme (mm. 1-7) contains the brief, elided, potentially cadential movement too, beginning the recapitulation with the second theme (unique in his sonata forms] reflects a special property of the themes— namely that the second theme possesses cru- cial features of the first theme and can bring back those features at the opening of the reca- pitulation without having the frst theme itself appear. Indeed, omiting the first theme in the recapitula tion is a vital clue toan evolving thematic and tonal narrative spanning the entire movement. The intro duction acquaints us with the main characters of this narative, characters that coalesce in the open ing theme: the falling ffth T#-B and the ii that supports (ex. la In the introduction, the cadential progression initiated by it§ ends deceptively (mm. 1~ 2), and ulimately the introduction ends where it began harmonically and melodically. The falling fith 8, again over if, recurs wo begin the Allegro's first theme (m. 8} This time the cadental progression is completed—twice [with the repeat adjusted melodi- cally to be more conclusive} The same characters, falling fifths and il? chords (or closely related 1V or V7/V chords, also pervade the second theme. Within each cight-measure phrase, falling fiths occur at least twice [bracketed in ex. 1b). The first such feh(m.47) even recalls the seale step ofthe opening theme (22, now as CET in E ‘major] and is supported by 4-5 in the bass." In addic tion, there is atonal bond relating the two themes, since most ofthe second theme's antecedent phrase (mm. 46-54, and its repeat in 62-70) veers toward the subdominant ofthe local key—i., the tonic of phases characteristic of closing themes so that it can fune- tion in the recapitulation solely asa closing theme (mm. 99-105). ‘The introduction foreshadows tonal and thematic topics not only ofthe first movement but of the entire quartet: the chromatially prepared ff and D chords in mm, 2 and 3 suggest the keys of the middle movements; the melodic fifths prefigure the filths and fourths that emerge during the sccond movement and that haunt the third move: ‘ment, the finale’ fist theme once agin begins i8-V". "Unison doublings of the second theme in the aecompani- ‘ment highlight these pitch-specifie relationships. In en- cal, Schumann doubles many sensitive notes. For example, the dominants in mm. 45 and 152-83 that precede the second theme have doubled leading tones and, in the reea pitulation, 2 doubled seventh, Such doublings aze hardly " charactetless” [as Tovey dubs other Schumann doublings in "Brabms's Chamber Music," in Main Stream of Muste .251)—unless performers underplay them, yielding a thin, ‘Unbalanced sound. When performers relish them, the rch timbres dispel any sense that these voicings result from incompetence. 191 Jor. Lester ‘Schumann and ‘Sonata Formsb. Mm. 46-62, partial score (parentheses enclose tonicizing chords} ‘Antecedent Mm. 95-101. Example 1: Schumann, String Quartet in A Major, op. 41, no. 3, movt. I. 192the movement. Strengthening this bond is the satu- ration of the second theme by the first theme's char- acteristic ii(7|-V? (as shown in ex. Ib]. Thus, when. the recapitulation opens in m. 154 with the second theme in the tonic key, melodic falling fifths (now beginning with FI-B) and the pervasive ii(7)-V|71 progressions recur even though the first theme itself is absent (shown in ex. 3} Just as the second theme group strongly alludes to the tonic key and the motives of the first theme, the first theme is not all that firmly rooted to the tonic key. The first theme appears in A [mm. 8-15), in B (mm. 28-35}, and in C {mm. 38-41). The first theme also ends the exposition in E (mm. 98-101, ex. Ic), seemingly like innumerable Classical era movements that allude to their first theme late in. the exposition to round it off thematically, such as Beethoven's Piano Sonata in C Minor, op. 10, no. 1 mm. 86-90}. In Classical movements, the thematic recall is generally contained within the ongoing har- monic drive of the second theme group (eg, in Beethoven's op. 10, no. 1, the dotted rhythms and arpeggios that announced the tonic at the opening of the movement prolong the second theme group's cadential six-four when they recur in mm. 86-90) But Schumann recalls the first theme as a complete entity after the exposition seems to be over. Likewise, many Classical second theme groups include a significant nod toward the subdominant (ice, the tonic of the movement) within the second kkey area, such as Beethoven's Piano Sonata in G ‘Major, op. 14, no. 2 (ex. 2), which emphasizes the tonal reference by recalling the characteristic chro- ‘maticism of the Arst theme. When such tonal and thematic references occur in Classical movements, they are firmly embedded within the ongoing har- monic drive of the second theme [as in ex. 2, which, leads to a cadence in the dominant key). By contrast, in Schumann's quartet, the shared features of the first and second themes, the less-than-polar opposi Example 2: Beethoven, Piano Sonata in G Major, op. 14, no. 2, movt. I, mm. 1 and 37-41. tion of their keys, and the conclusion ofthe exposi- tion with the opening theme yield an exposition lacking the characteristically strong thematic and tonal polarity of most Classical era sonata-form movements. Tonal and thematic polarity, although present, seems not to be the primary driving force. Rather, the search ofthe frst theme—especialy its falling fifth over iif—for a tonal home seems the compelling motivation for the movement as a whole.” The theme, beginning off the tonic after an introduction that also evades the tonic, imparts a longing quality characteristic of so many’Schumann themes. The appearance ofthe theme in four keys in ‘the exposition heightens this quality “The development ends by reformulating the tonal/ thematic problem posed in the introduction [ex. 3. ‘The F-B fifth over a iif recurs in m. 144 as the culmination of a seties of fugatos and wandering sequences. This might have initiated the first theme. But, instead, the theme waits for the domi- nant in m. 146 tuming Ff into a ninth left by leap [As the phrase proceeds, the dominant does not re- solve, but is prolonged over a chromatically ascend- ing bass to prepare for the second theme (m. 154), during which preparation F even skips to B over an inverted dominant ninth {m. 150). In m. 155 the F- B fifth returns in its expected harmonic setting—but as part ofthe second theme {in the cello} ‘As a result, only when it recurs as the closing theme of the recapitulation (mm, 206-10) can the opening theme simply express its cadential progres- sion in an already secure A-major setting. Schumann heightens this effect by not voicing this last appear- ance of the theme as it occurred at the end of the exposition ex. le, mm. 98-101, but by presenting it literally as it began the exposition {asin ex. 1a, mm, 8-I1}-it is the sole passage in the recapitulation that doesnot literally transpose the exposition's sec- ‘ond key area. This brings to the tonic key the origi nal form of the theme that has been searching for its home. "This movement shares obvious features with the frst movement of Beethoven's Piano Sonata in Es Msjor, op, 51, no, 3, which likewise begins withthe falling fifth 63 ‘over ii features tha Ath over ii early within the second key area {mm. 48-49), begins the development with the ‘pening measures of the exposition untransposed, and so forth. Despite these similarities, the tonal and thematic Rarratives of the two movements differ considerably. Schumann might have gotten the idea for the theme from Beethoven's sonata, But he created quite a different move "the recapitulation in Beethoven's op. 31, no. 3, enters in just this way asthe development’s progress gets stuck on 1 which moves only as the recapitulation besns. 193 Jorn LESTER ‘Schumann and Sonata Formstoma CENTURY MUSIC Example 3: Schumann, String Quartet, op. 41, no. 3, movt. I, partial score of mm. 142-56. Baad 4 DN wy pag cn Example 4: Schumann, String Quartet, op. 41, no. 3, movt. I, partial score of mm. 210-26. ‘The coda that follows immediately lex. 4 repeat. edly confirms that the theme has arrived home—at the very end the falling-fith motive is brought into the tonic chord (as E-A) for the first time. The ith is first transposed up by fourths: FE-B, BE, E-A {mm, 210-12). But that harmonic progeession leads only to 6, allowing the fifth to return, transformed chromatically into F-B* over the Neapolitan (m. 218}. Before it appears simply as E-A within a tonic chord, the dominant i prolonged mm, 219-22} much as it was at the end of the development {mm. 147~ 53), leaving a bit of hesitation until the cello enters ‘with E-A in the final measure, belatedly supplying the strong E-A bass missing earlier in the coda. ‘The coda's texture complements the increasing tonal and harmonic stability. I begins like portions of the development, with one-measure units featuring the falling fifth (mm, 107-22, 124-26, 128-29, and 141- ‘The story of the ffs and of arrival on the tonic does not end here. Only the fanfare ending of the finale fully re- Solves all the issues. oa 45), but gradually tums into a fully homophonic choralelike texture in mm, 219-23 (perhaps a bit of Romantic religiosity reminiscent of the role of cho- rales as the last movement of sacred works}. Even here Schumann withholds full stability until the very last moment via the syncopations and the ab: sence of A in the bass until the last beat of the final Despite its many Classical features, this move- ‘ment is no pale imitation of Classical sonata form. Instead, like the best twentieth-century neo-Classic works, it reinterprets an old form for new ends. The exposition does not set up a polarity between two keys that is resolved in the recapitulation, but in- stead develops a tonal/thematic interaction lasting until the end of the movement. The thematic dis ‘course is not between two contrasting themes stated stably in the outer sections of the movement that ‘Even the ingenious unison doubling of cello and viola on ‘Ain m. 223 adds tothe effec, as the cello nate is literally Continued as a middle voice so thatthe cello can reenter, as anew instrument, inthe last measureframe a central “developmental” area, butis an evolv- ing interaction that continues until the very last note. The movement's tonal arch leads not to a reestablished tonic atthe beginning ofthe recapitu lation, but to the closing of the movement, where the fist theme finally finds its home. Deciding whether to view the movement as a structure based on neo-Classic mannerisms or as a vital reinterpretation of those mannerisms sno mere academic exercise. It directly affects how performers present it to us and, thereby, how we hear it. Most ‘modern quartets tend to play the movement straight- forwardly, with little rubato. The result is Classi cal—a sonatacform structure that seems Mozartean or Beethovenian. Particularly in passages with rel tively litle subbeat rhythmic activity (as in parts of the development with no eighth notes), this can ‘make the music sound stodgy rather than agitated.” By contrast, the Quartetto Italiano played the work with a great deal more rubato than bas been customary in recent decades.” Their basic tempo is rather slow (ca. 48 for the first theme; too slow for ry taste), but flexible. They dip to ca. 38 at the end ‘of the exposition and recapitulation, emphasizing the sense in Which the fist theme is in a stable context. And they press the tempo to ca. 72 during the development as motives are torn apart and reas sembled. Their rendition is decidedly un-Classical Whatever narrative one imagines for the music is much more flexible in their interpretation, and the more Classical aspects of the piece ate less promi: nent, Complementing this, they tend to highlight the doublings that warm up the sound, while other recorded performances offer a drier sound.* Schumann and nineteenth-century audiences probably heard the piece more in the manner of the 2'The English String Quartet (Unicorn Kanchana DKP (CD) 9092, reeorded 1990), for instance, plays the entire Allegro molto moderato (except passages notated in a slower tempo] ‘between 50 and 58 for the measure [abit under Schumann's ‘metronome marking of 60 per measure). There are several noticeable dips in the tempo, especially at cadences, but ‘even at the climaxes of the development section their ‘tempo does not reach 60 per measure. In terms of texture, many of the unison and octave doublings are barely au ible. Not surprisingly, the liner notes by Arthur Jacobs (copyright 1991, perhaps written after he listened co the edited master tape!) describe the quartet as "almost aca ‘demic or ‘leammed” and as “look{ing} back in homage to Becthove ; Their recording is part of the complete set of quartets o ‘Brahms and Schumann (Philips 6500 107, recorded in the 1960s), PAnother recording with flexible tempos is by the Winterthur Quartet [Concert Hall Society CHC-38, from. the early 1980s). They take Schumann's basic tempo [60 ‘per measure), slowing a bit forthe second theme (ca. 94 Quartetto Italiano than in a relatively straight mod- em style. Robert Philip, in his pioncering study of early recordings, confirms the generally accepted be lief that a wider range of rubato was much more common early in this century than nowadays. In particular, earlier generations of performers used tem 0s well above, in addition to below, the basic pulse By contrast, modern practice allows some dips in. tempo but no accelerations. Philip cautiously sug- gests that the wider range of rubato likely character ized pre-recording-era performances.* ‘We might expect this quartet, dating from Schumann's maturity, to be an accomplished work, inegrating themes, motives, phrasing, keys, textures, fhythms, and rubatos [notated and implicit) into & compelling narrative, But even Schumann's very fst published sonata-form movement, the Toccata, op. 7, whose earliest versions date from 1829 (in D as Exercise en double-sons ot Etude fantastique en double-sons), evinces awareness of these composi- tional issues. Schumann worked on the Toccata around the time that he strung together short, previ- ously composed dance movements to produce Papil- Tons, op. 2 (1829-31), suggesting that he knew full ‘well about the relation between thematic materials and form. ‘A key to the Toccata’s imaginative structure lies in its original and final titles: exercise/étude (with finger-twisting double sixteenths] and toccata (an homage to Schumann’s idol J. S. Bach with its motor ‘hythms and motivie consistency, or pethaps arefer- ence to Czerny’s recent Toccata, op. 92?).2° A major compositional problem in such pieces isto maintain the technical effects while providing ample variety, and overall direction. Schumann's solution is to adopt 4 complete sonataform structure with a repeated exposition and a coda. This provided separate areas for statement, transition, development, and dénoue- ‘ment, as well as places for activity, repose, and tran- sition from one state to the other—all this while maintaining the motor rhythms and technical ef fects, Schumann carefully shaped the phrasing, dis 58), getting as slow as ca. 48 for the closing theme in the exposition, but not (significanly! forthe closing theme ia the recapitulation, which allows them to proceed without relaxation into the coda, yielding a somewhat different parrative cast tothe end of the movement than that pro- posed here, Eobere Philip, Farly Recordings and Musical Style ‘Changing Tastes in Instrumental Performance, 1900-1950 (Cambridge, 1992), SArthur |. Ness dates Czerny’s Toccata around 1826 in the atticle “Toccata” in The New Harvard Dictionary of ‘Music, ed. Don Michael Randel (Cambridge, Mass, 1986], p. 860, 198 JOEL TESTER Schumann and Sonata Formstom CENTURY MUSIC Exrostrion {mm, 1-97al: Isttheme 1-25-25 int Transition 25-43 = 18 10 2nd theme — 44-60= 17 in V Closing 60-97 = 37 Deveroraent (mm. 98b-148} Recarrrutation [mm. 149-229} Isttheme 149-73 = 25 in I (literal return) Transition 178-96 23, (completely new) 2nd theme «197-213 = 17 int (literally transposed return} Closing {completely new) andCoda 2138-83-70 Figure 1: Formal outline of Schumann, Toccata, op. 7. Introduction, Antecedent Example 5: Schumann, Toccata, op. 7, mm. 1-25. tributed different types of materials to the exposi- tion and recapitulation versus the development, and recomposed or replaced potentially problematic ma- terials in the recapitulation. He explored underlying motivic relationships among contrasting ideas, situ- ated climaxes appropriately, and subtly balanced large-scale tonal progressions and local allusions to keys, ‘The Toccata is likely the sore of piece that critics like Gerald Abraham would call a mosaic. In addi- tion to the persistent reworking of similar sixteenth- note figures, it features larger blocks of recurring music, As shown in fig. 1, the twenty-five-measure rst theme group and a seventeen-measure new theme in the second key area retur literally in the recapitulation amid entirely new transitional and closing blocks of material. The limitation of an out- line such as that in fig. 1 is that it ignores processes within and across sectional boundaries. The first theme group [mm. 1-25, ex. 5}, for instance, is more 196 than a two-measure introduction and a closed paral: lel period (antecedent: mm. 3-10, consequent: mm 11-20) eliding into a codetta with seinforcing plagal cadences (mm. 21-25)—all prior to an abrupt tex- tural change at the transition. The eight-measure antecedent phrase features distinctly asymmetrical clement. For instance, at frst one might hear mm. 5-6 a8 a repeat of the two-measure melodic arch in ‘mm. 3-4, pethaps the beginning of a2 +2 + 4 sen- tence. But, instead, mm. 5-6 launch a six-measure ‘melodic arch, creating a retrospective parsing of 2+ 6. The bass begins to move only well into the second arch, seeming to group into 5+ 3. In the consequent, the frst melodic arch mm. 11-13} recurs literally. But the second arch {mm. 13-20} s even longer than before, rises higher, and descends only to scale-step 3. With such uneven temporal and registral divi sions, uncoordinated parsings of bass and melody, and with the consequent descending only to 3, the period isa dynamic, open-ended beginning.Example 6: Schumann, Toccata, op. 7, mm. 1-2 as a source for some later events. Any sense that the period is a self-contained unit is also undermined by the way that virtually every aspect of mm, 3-25 builds on ideas in the two intro ductory measures. As shown in ex. 6, the semitone B-C in m. | foreshadows the semitone neighbors that begin in m. 3 with the very same pitch classes. ‘The melodic double neighbor F#~A-G in m. 2 prefig- ures the sixteenth-note pattern in m. 4 and also outlines the large-seale bass motion underlying the ‘consequent phrase |C-E}-D in mm. 11-19}. Part of the bass in mm. 1-2 (C-A-FI-G] provides the bass for the entire antecedent: C-A-F-F-G in mm. 3-10, ‘The syncopations in mm. 1-2 enliven the bass throughout the first theme group (and also hint at evermore prominent metric shifts in the recapitula- tion and codal. Finally, mm, 1-2 introduce the idea of delayed dominants: they prolong Y, but delay the return to V until the last eighth note, so late that there is no time fora breath before the next phrase Later delayed dominants cause elisions that prevent square phrase divisions (e,, mm. 4-5, 6-7, 20-21} {In sum, the seeds planted in mm. I-2.germinate into 4 veritable forest of local and long-range processes. ‘Asa result che first theme of the Toccata appro: priately begins a large, dynamically continuous form—it is not merely a tile of a mosaic. The con trast between these dynamic features of the Toccata's ‘opening and the openings of Schumann's pieces in more sectional forms once again suggests that he understood the differences between continuous and ‘more sectional forms. For instance, the theme of the “Abegs” Variations, op. 1 (1829-30), features inces sant two-measure groups and repeated eight-mea sure phrases; Arabeske, op. 18 1838), ascherzo with two trios and a coda, opens with four-measure groups and repeated cadential phrases. Later sections of the Toccata continue processes begun in the first heme group. The transition con- tinues to accelerate the pace of harmonic activity before relaxing in preparation for the second theme. The music in the new key area {mm. 44-87), like many lyrical second themes, provides a moment of calm and regular phrasing before a new crescendo of, activity leads to the closing theme. The theme it self, as in so many sonata-form movements, is new ‘while building on earlier materials. The accompani- ‘ment uses the first theme's motives and harmonic plan [[-it7-V7-I over a tonic pedal as in mm. 3-5, tc, while the melody draws on the descending, thirds that rst appear in the bass in mm. 1-2(C-A- #) and that then serve as the basis ofthe transition’s harmonic sequences. ‘The passagework that continues the second theme ‘group once again recasts earlier materials for new roles. Derivatives of the first theme here (mm. 60- 67) are more active and wide-ranging harmonically and texturally than in their frst appearances. De- rivatives of the second theme (mm. 80ff are shorter than previously and occur over a moving, cadential bass that begins as a literal transposition of the bass of the first theme’s codetta (mm. 21-25: C-B-A becoming G-Fi!|-E). The exposition’s final measures sradually reduce the piece’s characteristic elements to a murmur so that the exposition’s repeat or the development can begin dramatically. Rhythmic groups contract: two-measuze groups in mm. 88-91 become one-measure groups in 92-93, one-beat ‘groups in 94-95, and half-beat groups in the first and second endings. Along with this rhythmic liquida- tion, the characteristic melodic motions begin as an 7-6-8 scale in mm. 88-89, then become §-5-8 in ‘mm, 92-95, and then no motion at all in m. 96. The very last harmonic inflection in mm. 94-95 is a D half-diminished-seventh chord to a G chord—the progression of m. 4—reducing even the thematic harmonies of both main themes to a murmur. ‘The recapitulation retains the main ideas of the first and second key areas, but reworks the transi- tion and closing. All new materials continue pro- ‘cesses hinted at in the exposition and begin to wrap up structural issues. In the transition of the exposi- tion, repetitions are shifted metrically (mm. 25-28 vs, 28-2). The recapitulation’ transition has more metric shifts; for the first time in the Toccata, the 97 JOEL TESTER Schumann and Sonata Formeig CENTURY ‘MUSIC neighbor note occurs on the beat, and the harmonic rhythm is totally syncopated {mm 173¢f|, Replac: ‘ng a repeated harmonic progression in the exposi tion (mm. 25-32] is a chromatic inflection turning a circle of fifths |C-F-B-E-A-D-G-C in mm. 173-77] {nto an alternation of French:sixth chords and dorm nant sevenths (C, Fr. 6/87, F. 6/47, Fr. 6/G7 in mm, 177-80} ‘The materials and processes of the development and coda are quite different from those of the expos tion and recapitulation. Tonally, prior to the retransition in mm. 142-48, the development hangs around a/A or vi/VI [mm. 102-41}—a key totally ab- sent from the exposition or recapitulation. In addi tion, the development has the only extended pas- sages in the minor mode {hinted at by the diminished ii? chords harmonizing each theme]. Within the key of a/A, Schumann uses progressions that lack the stability of the exposition’s keys. The first motion within a minor is a-g-F-E (mm, 102-12}; the move through g minor intensifies the prominent}?s earlier (C-Bbmotions in mm. 7-8, 13-14, and 21-24, and the corresponding G-Fs motion in G in mm. 81-84} It is hard to say exactly where a coda begins because cadential properties of the recomposed closing material only gradually merge with the dénouement characteristic of a coda. The climax in mm, 256-59 incorporates a strong taste of a minor (the development’s principal key] into the goal-di rected progression that leads into the Pid mosso, Within the Pit! mosso, Bis consistently more promi- nent than Ba right hand in mm. 256 and 258, bass in ‘mm, 275 and 279)—these Bbs emphasize the strong plagal tendencies characteristic of many codas. The final harmonic motion, over an F-C bass, is the apotheosis of the subdominant, specifically notated piano (despite the few dynamics elsewhere “to al- low the performer the greatest possible interpretive freedom’. The progression is the common ele- ‘ment that unites both first and second themes: i”7-V" (now vit 7H. Despite the changes in texture and design at vari- ous junctures, the term mosaic is hardly appropriate to describe this movement. Rather, the Toccata is an original way of utilizing the tonal, thematic, and gestural properties of sonata form. But like the first ‘movement of the String Quartet in A Major, it raises questions about the form's essence. Most signifi cant, Schumann once again downplays tonal polar: ity between the theme groups by repeatedly includ. ing progressions in the dominant within the frst ‘Dem Spieler moglichste Freiheit des Vortrags 2u lassen," as Schumann notes on the fest page of the score 198 theme group and transition: mm, 1-2 could just as well have prefaced a work in G, the chromaticism in the consequent phrase moves toward V7/V before dropping back to the tonic for its ending, and the tuansition twice introduces strong F}s before return- ing to Fe In sum, although Schumann acknowledges tonal and thematic sonata-form conventions, such features insufficiently account for either the quartet or Toccata. Viewing this music through those conventions yields the usual criti- cisms of Schumann's large forms, But the pieces seem instead to be motivated by organic and narrative explorations of themes and keys as much as {if not more than) the tonal and the- matic conventions enshrined in sonata-form theories. Schumann's letters hint that he was aware of such issues. On 6 November 1829, he ‘wrote to Friedrich Wieck professing his love for Schubert, who so reminded him of his beloved Jean Paul. “There is truly no music other than Schubert's which is so psychologically remark- able in its progression and association of ideas and in its apparently logical discontinuities; how few [composers] have been so capable, as he has, of impressing such a single personality on such varied multitudes of tonal pictures.""" From an early age, he recognized that his ideal of musical composition must be able to cope with a “psychological progression and associa- tion of ideas” and “discontinuities” while be- ing able to express “a single personality’—the disparate elements of his fancy must be inte: grated into a coherent whole, And that, it seems to me, is the key to understanding his lifelong exploration of sonata forms, From this perspective, the question of the influences on Schumann’s works becomes cen- tral. Often Beethoven’s influence [and hence Beethovenian sonata form that was formalized in music theory during Schumann's lifes clear, As already noted, the String Quartet in A Major By gibt dberhaupt, ausser der Schubert’schen, Keine Musik, die s0 psyehologisch merkwardig, ware in dem ‘Kleengang: und Verbindung und in den scheinbarlogschen ‘Sprimgen, und wie Wenige haben S0, wie cs eine einzige Individuaitie einer solelen unter sich verschiedenen Masse von Tongemalden aufdrucken konnen” (Clara Schumann, Jgendbsife von Robert Schuman [Leipai. 1885) p83;Development Recapiulation Example 7: Hummel, Piano Sonata in Ff Minor, op. 11, movt. I, tonal outline. iss Example 8: Hummel, Piano Sonata in Ff Minor, movt. I, mm. 64-70 and 87-89. shares features of the Haydn, Mozart, and Beethoven quartets that Schumann studied prior to composing his op. 41, But Schumann also had other models for sonata form, including Johann Nepomuk Hummel’s “truly great, epic” Sonata in F# Minor {1819}, which Schumann told Friedrich Wieck, in that same letter of 6 November 1829, he had practiced intensively. The first movement of Hummel’s sonata must have awed the young composer who so ad- mired Schubert's and Jean Paul's “psychologi- cal association of ideas” and “discontinuities.” Hummel spices up the first twenty-two mea- sures with numerous tempo changes, tenutos, and rubatos and includes a wide range of themes and textures in distantly related keys. For in- 2sJohann Nepomuk Hummel, The Complete Works fr Pi ‘ano, ed. Joel Sachs, vol. I (New York, 1989]. An extended ‘excerpt fom the first movement's exposition appears in Rosen, Sonata Forms, pp. 318-19 (pp. 391-92 of the Fev. 1988 edn. The epithet, “ein wahthafe grosses, episches ‘Titanenwerk,” is in Clara Schumann, jugendbriefe von Robert Schumann, p80 stance, the transition to the second key (A] is a dominant pedal on E interrupted by a vigorous passage in C major (entered and left via enharmonically changing diminished sev- enths}—juxtaposing the keys ft, C, and A (ex. 7), The development moves through BC, and d {in a movement in ft!) before an extended om- nibus progression® prolongs D7 as a German sixth in ff It is quite possible that Hummel’s sonata was a prime inspiration for Schumann's Toccata. Sixteenth-note figurations similar to the Toccata’s main theme appear twice in Hummel’s closing theme: mm, 64-69 and 87- 89 (ex. 82° This finger twister appears in A Concerning the “extended omnibus” progression, see Robert W. Wason, Viennese Harmonic Theory from Albrechtsberger to Schenker and Schoenberg [Ann Atbor, ‘Mich, 1985), pp. 16-19. These meastre numbers include mm. 73 and 211 ‘measures despite the e signature. Schumann too wrote de: casional short measures (eg, Plano Sonata in F Minor, op. 14, finale, mm. 8 and 174, which are { despite the signa ‘ute)—a metic phenomenon undiscussed inthe literature. 199io CENTURY MUSIC. First Theme Group ———— Moo ih a on 1 em) on ¥ “Transton: ny Fave Gans ve tr Second Theme Grovp Pon ——-4 s+ Example 9: Schumann, Piano Sonata in F# Minor, op. 11, movt. I, outline of exposition. major, a key closely related to the original key of Schumann's Exercise en double-sons (an ear- lier version of the Toccata], D major. Pethaps Schumann began work on this Exercise as an autodidactic étude to help him learn Hummel’s sonatas! This sonata probably also spurred Schumann's Allegro, op. 8 (1831), the first move- ment of a projected sonata that apes pianistic, formal, and motivic features of Hummel’s model. Like Hummel's sonata, the Allegro ex- plores extreme pianistic registers, something ‘Schumann never did later le.g, the first gesture spans nearly six octaves). As in Hummel, the first theme group (over 100 unbarred beats “senza tempo” is extremely varied in charac- ter. And the Allegro’s motto [the three whole notes in doubled octaves at the end of the first gesture that is the source of many of the work’s themes} clearly is a nod to the nearly identical doubled octaves that open Hummel’s sonata. Hummel’s F-Minor Sonata may also have influ- ‘enced Schumann's Sonata, op. 11, in that key (1832 35], which likewise displays a wide range of themes ‘Schumann's Aguration is even closer to the illustrated passages in Hummels sonata than to that in Czemy’s ‘Toceata in C Major, op. 92 lel. n. 25) In addition, earlier enetons oll russe oper ini) tae atl oo ‘entitled Etude and Exercise, not Toceata 200 and textures in distant keys. The frst-movement expositions of oth sonatas contain tritone-related keys and prepare the tritone during the frst theme. In Hummel’s movement, a prominent Bf neighbor intrudes into the fest tonie chord {mm. 5-6, eturn- ing in mm. 13-14), hinting at C, which appears as a key dating the transition to he second Key area Schumann's op. 11 asserts ¢ on the way to A and begins with a melody outlining FHA-Ds, the cexposition’s three tonal areas (ex. 9} ‘Some Classical sonata-form expositions have tritone-related keys, but only within the second key area after the polarity of the two basic keys is se cure? Schumann's tritone-related Keys constitute the path leading to the second key—perhaps the carliest such use of tritone-related keys in a sonata form exposition. For Rosen, this undermines the tonal polarity he deems essential to sonata form, because of the distance between ff and ¢, arriving fon A at the end of the exposition “has the sense of retum,” not polarity.» For Greg Vitecik, the BA titone never resolves satisfactorily, since the "For example, Beethoven's Piano Sonata in A Major, op. 2, ‘no. 2, rst movement where a sequence through ¢-G-B foliows an extremely diatonic first theme and an extended dominant preparation for the second Key), and Haydn's String Quartet, op. 54, no. 1, second movement jwhere a Similar sequence follows a complete phrase in the second key) Rosen, Sonata Forms, p. 296 (ev. edn, p. 369)recapitulation’s three keys [ff-cl-f] neither resolve it nor are derived from it thematically * Both critiques overlook the unprecedented prob- lem Schumann built into his first theme: it barely expresses the tonic key. The frst chord is an fj so: nority—but over the dominant because of the pre- ceding falling-Afth motive [note the pedaling). The theme itself ceaselessly wanders. Is goals, it and iv, are not distant. But its idiosyncratic voice leading— adding and then denying chromatic intensifications— undermines traditional expository harmonic diree- tionality. Syncopations and diminuendos at each ap- pearance of the head motive reinforce the restless- ness. Dj, the first chromatic note, insinuates itself into the ff triad, Fx intensifies the resulting Df half- diminished seventh into a dominant seventh. But the gk goal [i no sooner arrives than the directional chromaticisms evaporate. Gineutralizes Fx|mm. 59 60), moving to a B triad that immediately turns minor, removing the Df that began the chromatic excursion. The following dominant |mm. 69-72) ob- sessively reiterates Df neighbors. Salient features of the first theme—expositing a nexus of tonal goals instead of one key; asserting and denying directional chromaticism—resonate through- ‘out the movement. The resulting sonata form, as in the works discussed above, shares features with Clas- sical models. But its novel premises motivate these features quite differently. For instance, the wander- ing first key can hardly establish polarity with any second key area; but the harmonic frictions of the ‘exposition still motivate the development and are resolved in the recapitulation. Schumann firmly imprints the first theme's nexus of tonal goals (the keys ff, gf, B/b and the concluding dominant, C4) by beginning the theme three times, with each statement being increasingly emphatic: ‘The last, fortissimo statement (mm. 95/f) initiates the transition, which also projects these tonal goals. When B arrives as a dominant seventh |m. 108}, i¢ seems that Dj the first chromaticism, will at last be 4 normal rising chromatic alteration, But BY resolves as a German sixth of 6, once again denying goal- directed harmony by stabilizing the Df leading tone as a triadic root. The progression from ¢ to A (the Greg Vitercik, The Early Works of Felix Mendelssohn: A Seudy in the Romantic Sonata Style (Philadelphia, 1992), pp. 138-41, ErThis roughly follows what has been since the Eroica a common way of creating an appropriately large-scale fist theme group in an extended movement. In the Eroica, the arpeggiated theme first occurs piano, dissolvinginto astrange ‘diminished seventh, then piano followed by diatonic se ‘quences, and, lastly cui, initiating the transition. exposition’s final key) again uses the movement's idiosyncratic chromaticism and recalls the frst theme's tonal nexus. Rising fifth progressions (eb-bs, Hat bill persistently deny dominant expectations, a5 the last chord of each progression is minor, and cach minor thied itself becomes the root of a trad, (Indeed, no chord has a major thied unel E? in m. 134 leads into A.) Three of the first theme's goals, ah-b-cf are a the hear ofthe section. Even the lyrical closing theme (mm. 146-75) in Axa key totally avoided hitherto—addresses the movement's cental topes. It opens with the scalar descent A-E in the frst theme's register, stopping stiortof the first theme's crucial Df |note the A-D4 skip in the same register seven measures earlier) Before and after the theme, Dfs move to Dis mm. 144-45 and 168-71). And references to the Arst theme's tonal nexus (especially ft and gf are intexpo lated between the periodic phrases (mm. 146-55, 160-68) by means of a deceptive resolution to ft {mm. 156-57) and a digression to gb mm. 158-59} ‘As a result of all these factors, the exposition is an appropriate setting for its novel first theme, A ‘comparison with an earlier draft, an incomplete Fan dango, shows Schumann’s awareness, on some level, of these structural issues. The most stiking differ. tence between the two versions is thatthe eb passage in the sonata is in cf inthe Fandango, yielding the ‘more regular key plan i-v-Il. Instead of exploiting the frst theme's unique premises, the Fandango is tuaditional. Te also begins without the sonata’s Introduzione, omitting that section's strong tonic that allows the tonally nebulous beginning of the Allegro vivace to be 80 effective The development poses a special problem: how to prepare for a recapitulation that begins with a nebu- lous tonic. Unlike movements where the theme be- gins on a nontonic chord (e., Beethoven's already cited Piano Sonata, op. 31, no), here the first chord is tonic, but should nor be a strong goal. Schumann used a formal technique he probably learned from Schubert, casting the development as a large modi lating passage that recurs transposed. His innova. tion is that these passages frame a return of the fest theme, now in the dominant, and a return of par of the introduction, now in the remote key of f, as shown in fig 2. A facsimile ofthe Fandango manuscript (the exposition and beginning of 2 development) prefaces Harold Bauer's edition ofthe Sonata op. 11 (New York, 1945). Gregory W. Harwood summarizes the Fandango’s history in "Robert Schumann's Sonata in Ff Minor: A Study of Creative Pro cess and Romantic Inspiration,” Current Musicology 29 [i980 17-30 201 Sonata Forms19mm CENTURY ‘MUSIC ‘Tue TRANSPOSED PASSAGES: mm, 176-205 = 30 sequence (based on first theme and falling fifth}: AA, b-D, B7-AY, D1 i mm, 206-09 = 4 based on eb theme; Gt, Vict mm. 210-13 4 same theme; clit mm. 214-21 =8 dominant of cf (based on falling-fifth motive) ‘Tit CENTRAL PASSAGE: mm, 222-39 = 18 first theme in cf mm, 240-67 = 28 modulating: &-V/f mm, 268-79 ~ 12 introduction theme: f-ab -gf] ‘mm, 280-309 - 30 transposed up a whole step (some figuration changes}: B-B, ct-E, FYB, E-H-st mm. 310-13 = 4 transposed: Af, Vide mm. 314-19 = 6 transposed: df-g4; then to FE mm, 320-31 ~ 12. dominant of F4, then F# (same motive} ‘The Recantrutarion: ‘mm. 332ff. Recapitulation of first theme Figure 2: Schumann, Piano Sonata in F# Minor, op. 11, movt. I, development. Although the development’s scheme may seem a juxtaposition of parts, each unit relates to musical issues central to the movement. The sequences be- gin [mm, 176 and 280} on ft and gf, the first theme's first wo keys. The first progressions from these kkeys highlight crucial pairs of tonal regions: -A reflects the exposition’s outer keys, gf-B recalls the two subsidiary keys in the first theme. The first theme returns in cl}—the first statement of the domi nant as a key.3” But as might be expected in this movement, what follows denies this dominant the ‘Another Schumann development section in which modu. lating blocks frame a statement ofthe first theme occurs in the first movement of the “Spring” Symphony, op. 38 ‘There too the tonal structure is organized s0 88 to main- tain a crucial nexus of keys, The second theme group in the exposition and recapitulation, which lacks ¢ lyrical theme, begins a third higher than its eventual key: the tonal plans of the exposition and recapitulation are B-a-F and Bl-d-Bi, respectively. Schumann includes lyrical ‘heme during the development’s modulating, sequences, beginning in d minor the first time, and in a minor on its ‘ransposition—providing a lyrical theme in the Keys that Tack one during the exposition and recapitulation. 202 capacity to lead to the tonic. The key in which the introduction is recalled (stabilizes what would have been the leading tone (Ef=F} as a tonic {much like the exposition’s passage in eb stabilizes the leading- tone Di). The dominant is implicitly present be- ccause of the tonal arpeggiation cf-ei(=f-g (=ab] in mm. 222-79, but its directional drive is weakened. The dominant reappears at the end of the develop- ment. But to avoid a direct return via V to the tonic to begin the recapitulation, Schumann moves first to Ff the major tonic, and expresses there the rhythm of the falling-fifth motive. When the first theme begins two measures later, the mode changes to mi nor. This allows the first theme in the recapitula- tion to begin by denying the raised third of the tonic, mimicking 50 many earlier denied raised thirds. If the development works with the tonal isstes of the exposition, the recapitulation is recomposed to ‘ground the movement in the tonic. The first theme is condensed into a single statement, The reworked ‘wansition has the passage formerly in eb appear in ck This is the movement's only large-scale dominant to move to the tonic—at the concluding lyrical theme. Since ff first arrives with a transformation ofthe opening theme (mm. 382/f, the parallel passage to mm. 135f. in the exposition], the first theme t00 is firmly geounded in the tonic (akin to what hap- pens when the first theme closes the recapitulation in the A-major string quartet]. The lyrical second, theme is reworked to provide all that is needed to end the movement. The theme omits the interpola- tion that in the exposition presented a deceptive cadence and an excursion through the harmonic ar eas central in the first theme (ie, the music in mm, 156-59 is absent in the recapitulation}. As in the A-major quartet and the Toccata, the first movement of op. 11 tells a tonal and the- matic narrative derived from materials stated early in the movement. The basic thematic and tonal outline of sonata form, with a repeated exposition, a developmental section, and a trans- formed recapitulation provides a workable frame for this tonal and thematic narrative. But the motivation is not that of Classical era move- ments, even when the outline is similar. Schumann's understanding of the need to treat. differently the structural problems of each piece according to the special properties of its themes and subthematic elements is evident from the fact that each of the movements discussed here has such different features. Schumann had no fixed “textbook” notion of sonata form. Con- sider the presence or absence of a lyrical theme in the second key area and its location (if present) within that key area. In the Toccata, the second key area begins with a relatively brief lyrical phrase that is the same in the expo- sition and recapitulation; the remainder of the second key area, much longer than the lyrical theme, is wholly recomposed in the recapitula- tion. In op. 11 the lyrical theme appears at the very end of the exposition and recapitulation after a long tonal, thematic, and textural jour- ney. In the A-Major Quartet, the second key area is mostly a long block of lyrical material transposed literally in the recapitulation. Or consider the differences between devel opment sections in these movements. The de- velopment of the Toccata centers around a single key that is absent from the exposition and recapitulation; the development of the A- Major Quartet moves rapidly through tonal ar- eas that are mostly not present in the exposi- tion; the development of the FF Minor Sonata continues exploring the nexus of keys central to the exposition. Or consider codas, The Toccata’s extensive coda in a faster tempo re- duces crucial thematic relationships to a har- monic essence; the A-Major Quartet has a brief coda in the main tempo that resolves a crucial thematic element {the falling fifth) into the tonic; the F¥-Minor Sonata has no coda. Similar sorts of individual solutions to structural is- ‘sues characterize all of Schumann's sonata-form movements. Table 1 lists all of Schumann's published sonata-form movements that do not involve solo instrument|s) with orchestra. A quick glance at the list shows that Schumann used sonata form throughout his creative life in al- most every instrumental medium in which he composed; it is absent only in character pieces. ‘The form had quite consistent features for him, yet, as the analyses above suggest, it could be tailored to each movement's unique themes and narratives. It was far from a Procrustean bed hampering his creativity; rather, it allowed his artistic imagination free rein. The remain- der of this study outlines common and idiosyn- cratic features of this repertoire. General Features. All instances but one (Sec- ond Symphony, Adagio) are in fast tempos and are either single movements overtures, the Toccata, op. 7, and the Allegro, op. 8) or outer movements. Expositions are generally repeated, Except for overtures (where repeats were never standard], only seven movements omit a repeat of the exposition: the Allegro, op. 8 (based on. Hummel’s F}-Minor Sonata, also lacking a re- peat}; the first movement of the Piano Quartet, op. 47 (where the opening measures begin the development}, the Adagio of the Second Sym- phony, op. 61; the finale of the Piano Trio in D ‘Minor, op. 63; and the outer movements of the Piano Trio in F Major, op. 80, and the Third Symphony, op. 97. Even the first movement of the String Quartet, op. 41, no. 3, where the opening measures begin the development, has a repeat. One movement repeats the develop- ment and recapitulation (String Quartet in F ‘Major, op. 41, no. 2, finale}. ‘Concerto movements and other soloists}-plus-orchestra works inevitably involve ritornello/solo issues. Including them would confirm many points made below, but would so requite additional discussion of their unique aspects 203 JOEL, TESTER sehigTH Table 1 CENTURY . ‘MUSIC A Chronological list of Schumann’s works in sonata form published during his lifetime. (Opus Tirte/Movement Dare Comments 7 Toccata 1829-32 At first Exercise en double-sons and Etude fantastique en double-sons 8 Allegro 1831 Part of projected sonata 11 Piano Sonata No. 1 in ft/I" 1832-35 First cast as Fandango 22 Piano Sonata No. 2 in g/T 1833 14 Piano Sonata No. 3 in /l 1835-36 In parallel form pv In parallel form 22 Piano Sonata No. 2 in g/IV 1838 Substituted for original finale (1833) 26 Faschingschwank aus Wien/IV 1839 38 Symphony No. I/I 1841 mw 1841 52 Overture, Scherzo, Finale/I 1841 41/1 Stzing Quartet No. 1 in afl 1842 First “movement” is Allegro pv 1842 in F after introduction in a 41/2. String Quartet No. 2 in F/I 1342 41/3. String Quartet No, 3 in A/T 1842 44° Piano Quintet/I 1842 47 Piano Quartet/l 1842 61 Symphony No. 2/t 1845-46 nut 1845-46 Only stow movement 63 Piano Trio No. 1 in dt 1847 avy 1347 80 Piano Trio No. 2in F/T 1847 Ay 1847 81 Genoveva Overture 1847 115 Manfred Overture 1848, 97 Symphony No. 3/I 1850 N 1850 100 Die Braut von Messina Overture 1850 105 Violin Sonata No, 1 in a/f 1851 ait 1851 10 Piano Trio No. 3 in g/l 1851 121 Violin Sonata No.2 in d/l 1851 iv 1851 128 Julius Caesar Overture 1851 136 Hermann und Dorothea Overture 1851 118 Drei Clavier-Sonaten fir die Jugend: 1853 no. 2/T and IV no. 3/L and 1V *Roman numerals refer to movements 204Expositions and Recapitulations. Despite criticism that Schumann tended to include too much or too little thematic variety, few move- ments exhibit either extreme. Two early works offer numerous themes, textures, and affects: the Allegro, op. 8, and the first movement of the Piano Sonata, op. 11, both aping Hummel’s, sprawling Piano Sonata in F# Minor, a model Schumann never again adopted. Four move- ments offer little thematic contrast: the Toccata, op. 7 at first an étude], the outer move ‘ments of the String Quartet in A Minor, op. 41, no, I (an homage to Haydnesque monothemati- cism?], and the finale of the Piano Trio in F ‘Major, op. 80. Recapitulations follow expositions quite closely (except for tonal adjustment of the sec- ond theme group) in all but two movements (Toccata, op. 7, and the first movement of the String Quartet in A Major, which skips the first theme]. This extends the Beethovenian model, in which, with few exceptions, second key ar- as recur with few (although often structurally significant) changes. As a result, many reca- pitulations adjust only a few transitional mea- sures. For instance, after its first measures, the recapitulation in the first movement of the Vio- lin Sonata in D Minor, op. 121, literally paral- lels the exposition except for the harmonic in- flection of two transitional measures (223-24). But Schumann knew the difference between formal rigidity and functional purpose. Where a literal recapitulation has a clear purpose, he let it stand. In the violin sonata, compact outer sections [seventy-six and seventy-eight mea- sures) frame a long, agitated development (ninety-two measures} whose unease spills over into the recapitulation as the fist theme, which arpeggiates the tonic, begins before the arrival on the tonic in m. 189. The large-scale formal clarity rubs against the themes’ anxious rhythms, shifting registers, and antiphony, con- tributing to the movement's affect. Schumann often altered the opening of the recapitulation to preclude a conclusive tonic arrival. Schenker captured this aspect of sonata form by interpreting the double thematic/har- monic return not as the end of the tonal sweep of the development, but only as a linear/har- monic interruption that recaptures the initial structural pitch. Expressing this sense that the recapitulation is a new beginning, not a con- clusive arrival, numerous Classical recapitula- tions shorten or destabilize the first theme, or destabilize the tonic soon after its arrival via a “second development” (as in large-scale works like the Eroica Symphony and small-scale works like Mozart's Piano Sonata, K. 283}. Other works evade the tonic (as in the “Appassionata” So- nata, where the dominant pedal ending the de- velopment persists into the first theme) or de- stabilize textures (the most famous instance of which occurs in the Ninth Symphony Schumann understood the aim of such tech- niques. The recapitulation in the first move- ‘ment of the “Spring” Symphony, for instance, conflates the return of the introduction and first theme, both based on the same motive. Some works bring in the first theme over or even on the arrival of the dominant (op. 61, movt. Ill, op. 81; op. 97, movt. I; op. 115; and op. 121, move. IV}, often to highlight a crucial nexus of pitch relations. For instance, m. 1 of the Violin Sonata in A Minor, op. 105, exposits a conflict between E and F that resonates until C-F-E as a “cantus firmus” prepares the final cadence. The development ends on a C domi- nant pedal, as if preparing a return in F (mm. 104ff). Over that C, the first theme struggles to begin in a (mm. 108-13}, then abruptly restarts after a B’ chord, and lastly follows the exposi- tion only after harmonizing F with an F chord.” Even where a recapitulation begins strongly on the tonic, Schumann often recomposes it for special effect. In the first movement of the Piano Quartet, op. 47, the expositions first key area (mm. 13-64] is episodic, as unaccompa- nied piano arabesques loosely link several themes derived from the introduction. By con- trast, after a development that juxtaposes the themes in intensifying contrapuntal interac- tions amid accumulating harmonic and rhyth- mic activity, the recapitulation heroically leads the themes into one another, omitting the in- troduction and arabesques. Carrying the development’s energy through the first theme group in this way delays a conclusive tonic A thematic £& conflict also affects the recapitulation in the first movement of the Piano Trio No. 3 in G Minor, op. 110. 205gt CENTURY ‘MUSIC until the end of the second theme group, which expresses its key only at its very end, In the majority of movements, the themes clearly fall into two groups, one for each ex- pository key area. Sometimes a “motto” theme, often a portion of the first theme group, recurs in the second key (as in the first movements of all three string quartets}. A lyrical theme, if present, generally opens the second theme group (although two first movements end with the lyrical theme: the Piano Sonata, op. 11, and the String Quartet, op. 41, no. 1), Opening the sec- ond key with a lyrical theme follows a com- ‘mon Classical era practice of initiating the new key with more relaxed music, allowing an ac- cumulation of energy for its end. After the lyri- cal theme, Schumann either shifts abruptly to passagework (as in the first movement of the Piano Sonata in G Minor, op. 22} or, following Classical era norms, gradually increases rhyth- mic activity and shortens phrase lengths until an emphatic cadence (as in the first movements of ops. 44, 80, and 97}. In some movements, the pacing remains leisurely throughout the exposition (e.g., op. 63, movt. I]. Where a deli- ciously lyrical theme is absent (as in the first movement of the first two symphonies}, a dis- tinctly lyrical new theme appears in the devel- opment. Developments. Despite the common impres- sion that Schumann’s developments are mostly sequential statements of large modulating blocks, only seven works have such develop- ments: op. 11 {movt. Ij op. 38 {movt. Ij op. 41, no. I {movt. I} and no, 2 [movts. {and IV}, and op. 44 [movt. I], And only in the Piano Quintet, op. 44, is that the sole developmental process. In two other works, the Piano Sonata, op. 11, and the “Spring” Symphony, op. 38, the se- quential blocks frame an appearance of the frst theme in a nontonic key (in v and Ill, respec- tively). A frequent criticism of transposed blocks in developments by Schumann (and Schubert} is that they create static, predictable music, un- “Motivations for increasing levels of activity in Classical second theme groups are discussed in my Rhythms of Tonal ‘Music (Carbondale, I, 1986}, pp. 229-40, 206 suited to the drama proper at that point."! Un- fortunately for this argument, the “proper” dra- matic role for a development section character- izes sonata-form theory more than practice, even in the music of Beethoven. For instance, the sonata-rondo finale of his “Emperor” Con- certo, op. 73, has a developmental middle epi- sode that is largely a block of music sequen- tially transposed down by major thirds: mm. 138-61 in VI/vi (C)e}, mm. 162-88 in IVjiv (Ab/ 2), mm, 189-213 in SIfsii (E/e}. As in Schubert and Schumann developments with transposed blocks, this passage in the “Emperor” finale features active surface rhythms over a static foundation, Beethoven's purpose is clear. This finale is heavily weighted toward the tonic key. The first theme, cadential phrase, and the be- ginning of the first rondo episode (through m. 56) are firmly in the tonic; indeed, only the brief closing theme (mm. 78-85) arrives on the tonic chord in the dominant key. In this majes- tic, tonic-oriented climate, leisurely motion by regular sequences into distant tonal regions pro- vides ample tonal contrast without the drama that characterizes other Beethoven develop- ments. Beethoven wrote a development appro- priate to the movement, as Schumann clearly dic in the cited pieces. Schumann’s other developments are through- composed, with only local sequences. Their problematic aspects have more to do with run- ning out of steam and direction than with se- quential writing. For instance, the first move- ment of the Piano Sonata, op. 22, arrives em- phatically on the tonic with a melody akin to the first theme twenty-four measures before the recapitulation. The development in the first movement of the “Rhenish” Symphony, op. 97, arrives on the dominant five times (mm. 41sec, for instance, Tovey in “Franz Schubert," who criti- cizes the scheme while viewing sympathetically various spplications by Schubere and Schumann (Main Stream of ‘Music, pp. 124-25). Michael C. Tus coined the term “stro- phic modulation” to describe these sequential schemes nd discusses several instances by Schubert in "When Did Schubere Revise His Opus 1222" Music Review 45 (1984), 212. Tusa’s article is a response to another discussion of ‘such sequentially modulating developments by Martin Chusid in "A Suggested Redating fr Schuber’s Piano So- hata in BS Mator, Op. 122," in Schubert Kongress, Wien 1978 Bericht, ed, Otto Brusati (Graz, 1979), pp. 37~44.