Analysis of Schubert's "Auf dem Flusse"

Seth Horvitzshorvitz@mills.edu

Mills CollegeTonal Analysis - Music 256

David BernsteinNovember 25, 2008

This essay will attempt to provide a detailed analysis of Schubert's lied, "Auf dem Flusse," according analytical techniques developed by Arnold Schoenberg. In an effort to gain a deep understanding of the connection between the music and the text, I have chosen to focus on the development of harmonic, melodic, and rhythmic motives within the piece, allowing any connection to the text to arise from these connections rather than vice-versa. This approach is in accor-dance with Schoenberg’s view that a deep, holistic understanding of a work of tonal music allows one to comprehend its interconnected nature, causing an organic relationship to arise between the music and its “content” (in this case, the accompanying text).

The essay begins with an annotated “chart of the regions” and continues with a detailed, chronological analysis.

A deceptively simple progression begins the piece, firmly establishing the tonic minor key. The first measure introduces the D as a passing tone from E to C in the left hand. The movement to D# in mm. 3-4, while appearing as part of a typical cadential pattern, actually performs the much greater function of exposing the first cross-related pitch: D/D#, which opens the pathway to the exploration of distant tonal regions. The decend-ing and ascending linear thirds in the bass are also significant, outlining the grundgestalt that will be expressed in its complete form in mm. 5-6.

The first stanza begins with the voice and piano each moving through the tonic triad in a simple motion that provides the raw material by which all further rhythmic variations in the song are derived (see figs. 1 and 2 above). At the beginning of m. 9, both the voice and piano move very suddenly and dramatically from B to A# (#4), introducing a d# minor triad in second inversion that immediately pulls towards a cadence in d# minor. By m. 10, the three essential cross-relations of the piece have been exposed: G/G#, D/D#, and A/A#. These three inflections relate to an ongoing conflict throughout the piece between the tonic minor and d# minor, a tonality that is so distant from the tonic that it does not appear on Schoenberg’s chart of minor tonal regions, yet in “physical” distance, it is only a semitone away.

After completing the first stanza with a symmetrical eight measures, an extra measure is inserted that swiftly neutralizes the A# and G#, allowing an easy return to e minor at the beginning of the second stanza. While it may be easy to view this measure as part of the stanza, I see it as a distinct unit performing a specific function outside the confines of the groupings of four and eight measures that outline the structure of the piece.

The second stanza repeats the harmony of the first, with one important addition. The voice now adds an ornamental flat6 (C) at the top of it’s melodic motion. This motivic form (fig. 3) will appear later in various permutations as the piece builds to it’s climax in the fifth stanza.

Also of note is the variation of the “neutralizing” measure, which this time serves only to neutralize A#, retaining the G# as it moves into the parallel major region. The transition to E major is made even smoother by the fact that we have already been introduced to the G# through the movement into d# minor.

fig.1 fig.2 fig.3

Stanza three begins firmly in E major, but even in the first measure (23), the A# appears, reminding us of the distant key of d# minor. However, it is quickly neutralized in m. 24. The fight between A and A# is intensified with the long ii/III/IV/V/I progression into the subdominant region of A major during mm. 27-28. In mm. 29-30, the A# is again emphasized as part of a half-cadence leading to stanza four.

The piano part in stanza three features further rhythmic variation through the subdivision of the second half of each measure into 16th notes played simultaneously by the left and right hand. This juxtaposition of rhythms provides a feeling of speeding up and slowing down within each measure, a further destabilization of the simple rhythmic motive presented in the introduction, and a further reinforcing of the contrast between the gushing, “violent” stream and its frozen counterpart.

It can also be noted that the move into the parallel major provides a lighter feel, almost a sense of nostalgia that goes along with the protagonist remembering his beloved, their first meeting, and their eventual parting.

Reflecting on the text in the first two stanzas, it seems that the sharp juxtaposition of the two minor keys (e, d#) corresponds to the contrast between the previously “bright, violent stream” and its current form as “quiet,” “cold,” and “motionless.” The statement “you give me no greeting as we part” is also reinforced by the sudden jump into the distant d# minor tonality.

The fourth stanza essentially repeats the harmony of the third, but at the end of the stanza, instead of emphasizing the A#, en extra measure is added to allow a smooth pathway back to the tonic minor key, neutralizing A# and G# in the process. A further rhythmic permutation is also added to the piano as the second half of each measure is now divided into triplets (six instead of four), providing an even sharper contrast to the slow-feeling eighth notes at the first half of each measure. Meanwhile, the voice continues along at the same pace, following subtle variations of the motive shown in figures 2 and 3.

Regarding the content of the text, the third and fourth stanzas are closely connected (as are the first and second), which is why they are treated in pairs that mirror each other harmonically.

Stanza five starts comfortably enough in the tonic key, repeating the harmony of the first stanza. However, motivically, several new features arise. The piano now takes over the shape introduced by the voice in the second stanza (fig. 3). The vocal line now has gaps in it, as if something has been “carved” out of it’s “crust.” The harmony of mm. 9-12 is now condensed into a two measure phrase (mm. 45-46), which is followed by a swift and dramatic transition measure that transforms the d# minor triad into a D#7, thrusting the harmony centrifugally towards g# minor. While this seemingly distant tonality is reached as the minor subdominant of the dominant’s mediant, it in fact also operates as the sharp mediant minor, a much closer region than d# minor to the tonic. Thus, this seemingly centrifugal motion actually provides some centripetal force towards the tonic.

The phrase in the transition measure can be considered a combination of the fully developed grundgestalt in figure 3 and a double-time version of the the piano rhythm in stanza three (two eighth notes followed by four sixteenth notes).

The jarring effect of this phrase can also be seen as the “roaring surge” that lurks beneath the “crust” of the stream (or in an alternate interpretation, the protagonist’s cold heart). The phrase will later be doubled (mm. 60-61) in order to propel us back to the tonic once again.

Measures 48-51 proceed firmly in the region of g# minor, with the rhythmic variations becoming even more condensed. While the piano’s left hand continues with the same shape as mm. 41-44, the right hand now forms a double-time version of the piano rhythm from stanza three (mm. 23-30).

The movement through g# minor helps to work out the “tonal problem” that separates d# minor from the tonic e minor. The third inversion dominant 7th chord of g# minor in m. 51 moves directly and smoothly into the root position dominant 7th chord of the tonic. The distant regions exposed during the first half of the piece have begun to come full circle.

Rather than settling back in e minor, the tonality moves quickly into the relative major region. The “tonal problem” continues to unravel. The simpler rhythm returns in the piano’s right hand, while the left hand continues with the rhythm of figure 3. In m. 58, the tonality moves suddenly to f# minor in a motion that mirrors mm. 9-12, 18-21, and 45-46.

In m. 60, the “transition” measure from m. 47 returns in a new incarnation. Instead of transforming into a dominant chord, the f# moves up a fourth to B and repeats the phrase, which now becomes the dominant leading us back to the tonic.

At this point, we might expect the piece to settle down peace-fully in the tonic key, but in mm. 64-65, we are sent unexpect-edly into the minor mediant region, a move that underscores the ambiguous feelings of the narrator. This move develops the tonal problem even further: its relation to the f# minor in m. 58 is the same as that of d#/e. Not only that , but its relation as the minor mediant of the tonic is the same as the the minor mediant of the dominant (d#).

During all of this tonal movement, the fifth stanza weaves its way around several times, repeating the last two lines, then repeating the entire stanza, then repeating the last line three times before finally winding down. Rhythmic subdivisions continue to cause palpitations even as mm. 67-69 form the final cadential motion of the piece. We are back home in the tonic minor region, yet it feels like no reason to rest. The tempestuous emotions and doubts experienced by the protagonist have still yet to be resolved. As the song ends with the simple rhythm that started it all, the final root position tonic, with a B in the soprano, feels more like a question mark than an answer.