Doctoral study on Schubert's Nocturnes

8/12/2019 Doctoral study on Schubert's Nocturnes.

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FRANZ SCHUBERTS IMPROMPTUS D. 899 AND D. 935:AN HISTORICAL AND STYLISTIC STUDY

A doctoral document submitted to the

Division of Research and Advanced Studiesof the University of Cincinnati

In partial fulfillment of therequirements for the degree of

DOCTOR OF MUSICAL ARTS

In the Keyboard Studies Division

of the College-Conservatory of Music

2005

by

Ina Ham

M.M., Cleveland Institute of Music, 1999M.M., Seoul National University, 1996

B.M., Seoul National University, 1994

Committee Chair: Dr. Melinda Boyd


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ABSTRACT

The impromptu is one of the new genres that was conceived in the early nineteenth

century. Schuberts two sets of impromptus D. 899 and D. 935 are among the most

important examples to define this new genre and to represent the composers piano writing

style. Although his two sets of four impromptus have been favored in concerts by both the

pianists and the audience, there has been a lack of comprehensive study of them as

continuous sets. Since the tonal interdependence between the impromptus of each set

suggests their cyclic aspects, Schuberts impromptus need to be considered and be

performed as continuous sets. The purpose of this document is to provide useful resources

and performance guidelines to Schuberts two sets of impromptus D. 899 and D. 935 by

examining their historical and stylistic features. The document is organized into three

chapters. The first chapter traces a brief history of the impromptu as a genre of piano

music, including the impromptus by Jan Hugo Vo!i"ek as the first pieces in this genre.

Since the only commonality between the impromptus by Schubert and Vo!i"ek is the title,

chapter I mainly focuses the differences between the two composers impromptus. The

ensuing chapter deals with Schuberts keyboard writing style, including repeated patterns

and scrambled scales. The third chapter, the main portion of the document, concentrates

on the tonal interrelationships between the impromptus of each set. An examination of

tonal interconnections of Schuberts impromptus draws attention to their cyclic procedure

and demonstrates why his impromptus need to be performed as continuous sets.


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Acknowledgements

I would like to thank Dr. Boyd, the document committee chair for her thorough

advisement throughout the development of this document. I thank the readers of the

committee, Mr. Pratt and especially Mr. Weinstock, as my piano teacher and mentor.

Dr. Cahn must be acknowledged for his assistance with the preparation of the initial

proposal. I extend special thanks to my parents-in-law for their thoughtful and positive

supports. Finally this project could not have been completed without devotion from my

husband.


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TABLE OF CONTENTS

LIST OF TABLES ......................................................................................................... iii

LIST OF EXAMPLES..................................................................................................... iv

INTRODUCTION .......................................................................................................... 1

CHAPTER

I. An Historical Background of the Impromptu as a Genre ................................ 4

II. Schuberts Keyboard Writing Style ............................................................... 18

III. Cyclicity through Tonal Interrelationships ..................................................... 26

CONCLUSION............................................................................................................... 44

BIBLIOGRAPHY .......................................................................................................... 45


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TABLES

Table Page

1. The Tonal Design of the Impromptus of D. 899 ..................................................... 28

2. The Tonal Design of the Impromptus of D. 935 ..................................................... 40


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MUSICAL EXAMPLES

Example Page

1. Vo!i"ek, Impromptu Op. 7, No. 1 in C major, mm. 1-19 ......................................... 9

2. Tom"ek. Eclogue Op. 35, No. 4 in C major, mm. 1-13 ......................................... 10

3. Vo!i"ek, Impromptu in B-flat major, mm. 1-24 ...................................................... 12

4. Vo!i"ek, Impromptu Op. 7, No. 4 in A major, mm. 25-37 ...................................... 14

5. Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 19-20 ............................. 20

6. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 25-26 ............................. 21

7. Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 17-30 ............................. 22

8. Schubert, Impromptu D. 899, No. 1 in C minor, mm. 152-157................................ 23

9. Schubert, Impromptu D. 935, No. 4 in F minor, mm. 93-98 ................................... 25

10. Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 111-112 ......................... 25

11. Schubert, Impromptu D. 899, No. 2 in E-flat major, mm. 33-44 ............................. 30

12. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 1-4 ................................ 30

13. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 73-86 ............................. 31

14. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 5-12 ............................... 34

15. Schubert, Impromptu D. 899, No. 4 in A-flat major, mm. 1-32 ............................... 35

16. Schubert, Impromptu D. 935, No. 4 in F minor, mm. 420-439 ................................ 41

17. Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 67-80 ............................. 42


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INTRODUCTION

Piano music in the early nineteenth century was quite different from that of the

eighteenth century. While the large Classical sonata was still prominent, especially as it

appears in the work of Beethoven, that genre lost its leading position. Instead, all

composers of the period began to cultivate something new, particularly smaller forms such

as the impromptu, nocturne, and ballade.

Franz Schubert (1797-1828) completed the two sets of four impromptus D. 899 and

D. 935 toward the end of 1827, the first set probably in August and September, and the

second set in December. A Viennese publisher, Haslinger released only the first two

impromptus of D. 899 in December of 1827, himself providing the title for them.1The

remaining two impromptus of D. 899 were published in 1857 by Haslingers son, Karl, the

fourth impromptu in its original key, A-flat major, but the third transposed from G-flat

major to G major.2Schuberts double alla breve was changed to single alla breve in G-flat

major impromptu by the publisher. The four impromptus of D. 935 did not appear in print

until 1838 by another Viennese publisher, Diabelli.

The second set D. 935 might have been written as a sequel to the first set D. 899, as

is born out by Schuberts manuscripts. Schubert, at first, only numbered the first set of four

impromptus as 1 through 4 and the four impromptus of D. 935 as 5 through 8 respectively.

But, after Haslinger gave the title impromptus to the first two pieces of D. 899, Schubert

1Otto Erich Deutsch, Schubert: A Documentary Biography, trans. Eric Blom(London: J. M. Dent & Sons Ltd., 1946), 692.

2The G-flat major impromptu may have been transposed in order to make it more

marketable to amateur pianists.


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adopted Haslingers title for the second set of four pieces and wrote the new title above the

numbers on the manuscript of D. 935.

Two sets of four impromptus D. 899 and D. 935 by Schubert have been considered

the first important works in this genre by a major composer. Although Schuberts

impromptus have long been considered to be influenced by those of Jan Hugo Vo!i"ek

(1791-1825), the impromptus by these two composers bear little musical relationship.

Compared to Vo!i"eks impromptus, those of Schubert exhibit a variety of formal types and

characteristics, as the nature of the impromptu may be improvisatory as its name

suggests.3More pertinent to my discussion is that I approach Schuberts two sets of

impromptus as cycles which deserve to be regarded as continuous sets. Although

extensive studies have been done on Schuberts two sets of the impromptus D. 899 and D.

935, in performance they are often broken up rather than being regarded as continuous sets.

Understanding the cyclic aspect of each set will draw attention to the significance of them

as continuous sets.

The purpose of this document is to provide a resource for a pianists guide to

Schuberts two sets of four impromptus D. 899 and D. 935 by the careful examination of

their historical and stylistic features including his keyboard writing style and cyclic

procedure. The document will be divided into three parts. The first part will focus on a

historical study of the impromptu as a genre. A brief historical background and general

characteristics of the impromptuwill be given, especially Vo!i"eks impromptus as the very

first ones with this title. Since Vo!i"eks impromptus bear little musical resemblance to

3Maurice J. E. Brown, Impromptu, Grove Music Onlineed. L Macy (Accessed 27

October 2004),


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Schuberts, the discussion emphasizes differences between those of Vo!i"ek and Schubert.

The second part of the document will deal with Schuberts keyboard writing style including

repeated figures and scrambled scale passage. Since his piano writing style is often

associated with the instrument, the development of the piano of the period will be briefly

mentioned. In the last part, the tonal interrelationship of the impromptus in each set will be

discussed. Based on a careful observation of tonal designs of each set, the tonal

interconnections will be presented to prove the cyclic significance of Schuberts

impromptus as a continuous set. A diagram of the tonal scheme of each set will be provided.


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CHAPTER ONE

An Historical Background of the Impromptus as a Genre

The term impromptu was originally associated with a manner of performance rather

than a genre of piano music. J. J. Rousseau recognized this association when he described

the term improvisoras to compose and sing songs--both words and the melody--in an

impromptufashion, usually accompanied by a guitar or similar instrument.4As social

gatherings became popular in the late eighteenth and early nineteenth centuries, people

began to produce small theatrical scenes for their artistic soires. In the creation of these

little musical scenes, words and music took on a prominent role in an impromptu fashion

as Rousseau described it. Like many other genres of the nineteenth century, such as the

ballade, nocturne, and mazurka, the piano impromptu inherited its generic title from similar

musical occasions or functions.

Composers did not practically employ the term impromptu as a title for a piece

of musical composition until the beginning of the nineteenth century. When this term began

to be used as a designation for an actual musical piece, it referred to two different kinds of

music.5On the one hand, impromptureferred to large and multisectional fantasies on

popular themes in an improvisational manner.Impromptu pour le piano sur des Themes de

Rossini et Spontini(1824) by Franz Liszt (1811-1886) belongs to this category. On the

4J. J. Rousseau,Dictionnaire de musique(Paris, 1768): 252; quoted in Kenneth

Gordon Delong, The Solo Piano Music of J. V. Vo!i"ek (Ph. D. diss., Stanford University,1982), 143.

5Willi Kahl, Das lyrische Klavierstck Schuberts und seiner Vorgnger seit

1810,Archive fr Musikwissenschaft3 (1921): 54-82, 99-122; quoted in Ibid.


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other hand, impromptusalso referred to relatively unelaborated and occasional short piano

pieces of a light nature, such as BeethovensZiemlich Lebhaft(Klavierstck) in B-flat

major, WoO 60, which was written in 1818. First published in 1824, the second edition of

Ziemlich Lebhaftwas issued in the following year under the title Impromptu Composed at

the Dinner Table.6This piece was also called an Albumblatt, which means a small,

intimate, and occasional musical piece composed in the album of a friend or patron (usually

amateur pianists) with no definite form and style.7Since Beethovens Klavierstck was

called impromptu or sometimes Albumblatt, the name impromptu, as a genre of music,

seems to arise in a casual manner.

In the early nineteenth century, the impromptuis among the earliest of several new

kinds of pieces of medium length. Like other miniatures in the nineteenth century, the

impromptuwas cultivated in preference to the older-established forms, such as the sonata,

the variation, and the fugue, still being written. The title impromptu indicated the

intention of composers to write subjective music not restricted by considerations of any

formal balance. However, in point of structure, most impromptus were cast in a simple

form (the ternary scheme, A-B-A, in which the midsection contrasts with the outer sections

in common). Sometimes they combined the characteristics of several forms. For example,

Schuberts B-flat impromptu D. 935 is a theme and variations. In general, an impromptuis

primarily in a lyrical style, presenting a simple musical idea. A single mood is maintained

6Thomas K. Scherman and Louis Biancolli, ed., The Beethoven Companion

(Garden City, New York: Doubleday & Company, Inc., 1972), 773.7One of the most familiar examples is Beethovens Fr Elise in Maurice J. E.

Brown and Kenneth L. Hamilton, Albumleaf (Ger. Albumblatt, Fr. Feuille dalbum),

Grove Music Onlineed. L. Macy (Accessed 4 December 2004),


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throughout a section. Rhythm and melodies are repeated with variants, while excessive

technical difficulties and extreme emotional expressions are rare.

Theimpromptufirst appeared as the title of a piano piece by J. V. Vo!i"ek, a Czech

composer residing in Vienna.8Although there is some dispute over the date of publication,

9

Vo!i"eks six impromptus Op. 7 have received the most critical and historical attention (H.

A. Marschner, known mostly for opera, also published two sets of impromptus opp. 223 in

the early 1820s but his impromptus did not acquire the same attention). Vo!i"eks

impromptus Op. 7 consist of, first, an Allegro in C major, then, an Allegro moderato in G

major, an Allegretto in D major, an Allegretto in A major, an Allegretto in E major, and

conclude with an Allegretto in B major. They are regarded as Vo!i"eks most important

piano compositions and are widely discussed in the literature. Vo!i"eks impromptus were

influenced by the eclogues,10rhapsodies, and dithyrambs of Vo!i"eks teacher, Vclav Jan

8Deutsch, Schubert: A Documentary Biography, 692.

9While Mechettis first edition gives no publication date, Olga Loulov-Zuckerov,

the editor of much of Vo!i"eks piano music and compiler of the only existing thematiccatalogue, offers 1820 for the same publication in Delong, The Solo Piano Music of J. V.

Vo!i"ek, 13; Otto Deutsch provides 1822 as the publication date for Mechettis edition inhis Schubert: A Documentary Biography, 692; Maurice Brown indicates the earlier date of

publication 1821 but no publishers name in his Vo!i"ek, Jan Hugo, Grove Music Onlineed. L. Macy (Accessed 24 November 2004), ; There is

another impromptu, published independently inAllgemeine musikalische Zeitung. M.Brown gives 1817 for this publication in his Impromptu, Grove Music Onlineed. L. Macy

(Accessed 24 November 2004), 10

An Eclogue is a piece of a pastoral nature. The term was first applied to piano

pieces in the nineteenth century by V. J. Tom"ek. Most are cast in binary form with thevariety of mood. Franck, Liszt, Dvo#k, Novk, and Wellesz wrote eclogues. Maurice J. E.

Brown and Kenneth L. Hamilton, Eclogue, Grove Music Onlineed. L. Macy (Accessed27 October 2004),


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K#titelTom"ek (1774-1850), in spirit, melodic style and form.11Tom"ek attempted to

give poetic meaning to music and this principle had a strong effect on Vo!i"eks music.

Between 1807 and 1823, Tom"ek composed forty two eclogues, fifteen

rhapsodies and three dithyrambs.12

His piano miniatures were published in groups of six,

which was the eighteenth century practice. Among seven sets of eclogues, the earliest one

(Op. 35) was issued in 1807. Tom"eks eclogues were all written in the lyric and pastoral

style. The rhapsodies are in character a little more energetic and lively than the eclogues but

very similar with the eclogues in style, form, and harmonic design. Tom"

ek employed a

simple Classical minuet and trio form for his miniatures. The phrase structure is

symmetrical and the plain melodies are obviously Mozartian. Rhythm is regular, harmony

is rather conservative, and texture is simply chordal. Since Tom"eks piano miniatures had

been in general considered to be deficient in musical interests, they failed to gain any

critical attention.

Vo!i"eks impromptus are similar to Tom"eks piano miniatures in form, phrase

structure, mood, melodic line, and harmony. Vo!i"eks impromptus are cast in minuet and

trio form. The recapitulations are exactly the same as the beginnings or expositions.

Extreme contrasts between minuets and the trios are avoided and often short retransitional

passages are inserted at the end of the trio in order to link the two sections. The phrase

structure is symmetrical and regular. Usually, Vo!i"ek carries on a single mood throughout

an entire section, which was a new feature at this time. Vo!i"eks texture is chordal and

11F. E. Kirby,Music for Piano: A Short History, with a foreword by MauriceHinson (Portland: Amadeus Press, 1995), 138.

12Kenneth DeLong and Adrienne Simpson, Tom"ek, Vclav Jan K#titel, Grove

Music Onlineed. L. Macy (Accessed 26 November 2004),


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broken-chordal, usually maintaining one type of figuration during the greater part of the

piece. The simple melodies are mostly diatonic, the harmonic languages remain rather

moderate, and the modulations occur to the most closely related keys in most cases. His

impromptus can be described as technically undemanding miniatures of some charm, of the

kind much sought after by amateur pianists of the day. After his death, Vo!i"eks music fell

out of favor and ceased to be performed.

Vo!i"eks impromptu Op. 7, No. 1 in C major (ex. 1) is a good example of how he

takes Tom"

eks eclogues as a model. This piece is modeled on Tom"

eks eclogue Op. 35,

No. 4 in C major (ex. 2). Vo!i"ek freely paraphrases Tom"eks melodic idea in the opening.

Because both pieces can be counted in two, the rhythm seems similar to each other. Starting

with a long upbeat, grace note ornaments and stepwise melodic lines are also shared

features of the two pieces.


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Example 1 Vo!i"ek, Impromptu Op. 7, No. 1 in C major, mm. 1-19


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Example 2 Tom"ek, Eclogue Op. 35, No. 4 in C major, mm. 1-13

Although Vo!i"ek is credited with being the first composer to write impromptus,

Vo!i"ek did not use the term impromptu to characterize his little pieces. He never wrote

down the title impromptu on the autograph.13

Instead, he put the title eclogue III on the

autograph of the third impromptu in D major, which is the only extant autograph among six

13Delong, The Solo Piano Music of J. V. Vo!i"ek, 141.


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impromptus Op. 7. The name impromptu is only presented in the printed copies. Mechetti,

the publisher, bestowed the title impromptu when he released Vo!i"eks impromptus.14

In fact, Vo!i"ek had already published a little piano composition written in B-flat

major under the title impromptu in the supplement to theAllgemeine musikalische

Zeitung of 1817.15Since the autograph for this piece no longer exists, we can only

speculate whether this title was chosen by Vo!i"ek or his publisher, in this case S. A.

Steiner and Company. This B-flat impromptu was not as fully developed as his later

impromptus Op.7 were to be. It seems to be a two-voice etude, cast in binary form. Scalar

passages in two hands (or parts) govern the entire piece throughout and the two voices are

almost identical in parallel motion, especially in thirds and sixths (ex.3). Since Vo!i"ek

published a short piano composition with the title impromptu in 1817 before his eclogues

were released in 1822 (or 1821) as impromptus, his impromptus are generally understood

as the earliest examples of this genre regardless of Vo!i"eks thoughts about the title.

14Ibid.

15Brown, Impromptu, Grove Music Onlineed. L. Macy (Accessed 24 November

2004),


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Example 3 Vo!i"ek, Impromptu in B-flat major, mm. 1-24

In the 1920s, Willi Kahl first suggested that Schuberts impromptus stylistically

originated from those of Vo!i"ek.16

Kahls view is mainly based on the musical

resemblance, the personal relationship between the two composers, and the fact that they

both chose to use the title impromptu. Since both composers lived in Vienna during the

same period, Kahl assumes that Schubert knew Vo!i"ek, or at least was acquainted with his

16Delong, The Solo Piano Music of J. V. Vo!i"ek, 141.


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music. Kahl also suggests that their impromptus share certain characteristics, such as the

smooth and steady melodies, the frequent use of thirds and sixths, the juxtaposition of

major and minor, and certain formal scheme.17

Although Kahl admits that Schuberts

earlier works do already contain these features, he insists that Schubert put greater

emphasis on those general characteristics in the impromptus in order to create a new kind

of genre other than a sonata movement. Moreover, Kahl pays special attention to

Schuberts texture, a songful melody with its accompaniment, particularly in triplets, which

Schubert does not use often before the composition of the impromptus. Kahl found the

same texture in Vo!i"eks impromptus (ex.4). Based on the evidence that Kahl provides, the

resemblance between Schuberts impromptus and those of Vo!i"ek seems plausible.

17Kahl, Das lyrische Klavierstck, 116-17, quoted in Ibid., 148.


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Example 4 Vo!i"ek, Impromptus Op. 7, No. 4 in A major, mm. 25-37.

Kahls view, however, needs to be reexamined. Contrary to widely accepted

opinion, it would be a great fault to press this connection too much. Regarding the personal

relationship between Vo!i"ek and Schubert, there are no extant documents supporting it.

Since both composers lived in Vienna at the same time, it is possible that a personal

acquaintanceship between Vo!i"ek and Schubert occurred or at least they might have

known the musical styles of each other. However, only one piece of documentary evidence

links Vo!i"eks name to Schuberts: a letter written by Moritz von Schwind to Schubert,


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telling him that the job of the court organist was available due to Vo!i"eks serious illness.18

From this slight evidence, it is difficult to draw a firm conclusion that Schubert and Vo!i"ek

knew each other.

In spite of some textural musical resemblances between the impromptus of Vo!i"ek

and Schubert, the origin of Schuberts impromptus has nothing to do with Vo!i"eks

impromptus. Vo!i"eks impromptus firmly remain within the Classical and even the

Baroque traditions. They are viewed as a final stage in the tradition of writing independent

minuets and trios of the eighteenth century and can be described, at best, as the pieces

situated between the Classical eighteenth century style and the Romantic nineteenth century

style. In other words, Vo!i"eks impromptus show the clear trend toward increasing

individualization in the minuets and trios of the late eighteenth century, while Schuberts

demonstrate the new trend of the early nineteenth century.

It is more sensible to suggest that the origin of Schuberts impromptus may be

better understood by investigating the circumstances surrounding their appearance. When

Schubert completed the impromptus in late December 1827, his living situation was not

good. Desperate to earn a living, Schubert constantly wrote letters to publishers, offering

them his compositions. In addition, he sought more recognition outside Vienna by

publishing his major instrumental works.19

In contrast to Schuberts intention to introduce

the serious instrumental works, the publishers only wanted Schuberts songs, easy piano

pieces, and four hands works. When he offered the Piano Trio in E-flat major D 929 for

18Otto Erich Deutsch, The Schubert Reader: A Life of Franz Schubert in Lettersand Documents,trans. Eric Blom (New York: W. W. Norton & Co., 1947), 452.

19Schuberts important instrumental compositions had not been nearly published by

1826.


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publication, the publisher H. A. Probst agreed to issue the E-flat Piano Trio but also

requested some selected trifles for the voice or for four hands.20In this situation, it is

reasonable to conclude that Schubert wrote the two sets of impromptus in order to satisfy

the publishers needs.

However, Schubert did not sacrifice any of his musical individuality. The letter

Schubert received from B. Schotts Sons supports this point:

The pianoforte work, Op.101, we certainly do not regard as too expensive,

but its impracticability for France vexed us considerably. If at any time

you should write something less difficult and yet brilliant in an easier key,please send it to us without more ado.21

This letter obviously points out that the publisher intended to sell Schuberts impromptus to

amateur pianists for whom Schuberts works were too difficult to play. If Schubert wanted

merely to fulfill the publishers demands, he could have composed something along the

lines of the fashionable salon pieces, such as ones written in large quantities in the early

nineteenth century by Vo!i"ek and Tom"ek. But, Schubert did employ rather large forms

that challenged amateur pianists, as opposed to the charming miniatures produced by

Vo!i"ek.

While the title impromptu was first introduced by Vo!i"eks impromptus Op. 7

published in Vienna of 1822, those by Schubert are the genre-determining example.

Although Vo!i"eks impromptus have long been regarded to influence those of Schubert,

the consideration of the circumstances of both composers clearly reveals that there are no

20Deutsch, The Schubert Reader: A Life of Franz Schubert in Letters andDocuments, 767.

21The impromptus D. 935 were planned as Op.101 but published as Op. posth. 142.

Ibid., 818.


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influential traces between the impromptus by Schubert and Vo!i"ek. While Vo!i"eks

impromptus are unchallenging miniatures of some delightfulness and beauty for amateur

pianists of the day, those by Schubert are not lightweight miniatures but serious and highly

structured compositions of expressive range and originality. The only true commonality

between Schuberts impromptus and Vo!i"eks impromptus is their title, which, in both

cases, was supplied by their respective publishers and not the composers themselves.


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CHAPTER II

Schuberts Keyboard Writing Style

Contemporary accounts suggest that Schubert devoted considerable efforts to

compose keyboard music, although he was known best for his songs. For Schubert, the

piano was such an important, personal instrument to express his musical ideas and intimate

inner emotions.22

However, it often comes as a big surprise to those who attempt to play

Schuberts piano pieces that his idiomatic keyboard patterns do not seem to fit the hands

comfortably. Repeated chordal passages are often accompanied with difficult skips and

thickness of texture; one needs to be cautious not to distract from the melodic line. Sudden

shifts in register create orchestral effects but also cause technical difficulties. Scalar

passages are sometimes scrambled by added chromatic passing tones, which result in

awkward fingerings. Because of these difficulties, successful performance of Schuberts

pieces requires an unusual amount of patience and practice in polishing details, and, the

music sounds satisfying only after an extremely high level of refinement is done.

Schuberts two sets of four impromptus D. 899 and D. 935 are among the keyboard pieces

to demonstrate his keyboard writing style, which is in part a product on the piano of the

period. Understanding Schubertian keyboard idioms enables the pianist to learn how to

cope with their difficulties and can lead to more successful performances.

As a frequent performer of his own music in a private musical circle, Schubert was

an accomplished, if not a virtuoso, pianist. His piano playing was especially remembered

22Alfred Einstein, Schubert: A Musical Portrait(New York: Oxford University

Press, 1951), 77.


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by his friends or relatives for beautiful touch, full of insight, and sometimes delicate

and sometimes full of energy with so much life and feeling.23Schuberts brother

Ferdinand wrote about Schuberts manner of performing piano music in theNeue

Zeitschrift fr Musik:

Although Schubert never represented himself as a pianofortevirtuoso, any connoisseur who had the chance of hearing him inprivate circles will nevertheless attest that he knew how to treat this

instrument with mastery and in a quite peculiar (original) manner, sothat a great specialist in music to whom he once played his last

sonatas exclaimed Schubert, I almost admire your playing even

more than your compositions!

24

In a letter of 25 July 1825 from Schubert to his parents, Schubert himself was greatly

pleased to hear that his fingers had transformed the keys into singing voices.25

On the same

lines, he also criticized the most distinguished but insensitive pianists whose playing was

harsh, which did not delight either the ear or the mind.

Schuberts time was a particularly rich period for pianists because it was a time of

many important inventions and improvements to the piano in Vienna. By 1820s, the five-

octave range of Viennese piano was extended to six or six and a half octaves. The

keyboards were changed from black naturals and white-topped sharps to white naturals and

black-topped sharps as on the modern keyboards. As the actual size was increased, the case

structure was made stronger. The strings and hammers were heavier for better sound

23Elizabeth Norma McKay, Schubert Impromptus: An Introduction by Elizabeth

Norman McKay, p. 6 in the liner notes to Schubert: Impromptus D. 899, D. 935, LambertOrkis, Pianist (Antwerp: Virgin Classics, 1990), VC 7 91142-2, Compact Disc.

24It is cited in Elizabeth Norman McKay, The Impact of the New Pianofortes onClassical Keyboard Style: Mozart, Beethoven, and Schubert(West Midlands: Lynwood

Music, 1987), 83.25

Deutsch, Schubert: A Documentary Biography, 436.


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projection. Due to its remarkable development for a century, the piano of the period was

capable of making a full sound at any dynamic level, of responding in every way to

demands for expressiveness and virtuosity

As a renowned song composer, Schubert paid close attention to melodic expression,

although his seamless, long, and lyrical melodic lines had not been as natural to the piano

as it was to the voice. However, the development of the piano made it possible to sustain a

sound much longer so that the Schubertian long lyrical melodic lines became audible

without giving up the active characteristic accompaniments that had been treated

importantly in his music. To maintain the active characteristic accompaniments, Schubert

often splits them between two hands so that the one hand (usually the right hand)

simultaneously plays the lyrical melody and part of the accompaniment underneath, which

provided harmonic figuration (ex. 5) in much the same manner as MendelssohnsLieder

ohne Worte. As shown in ex. 5, the top melody is played only by the outer fingers of the

right hand, and the accompaniment figures are shared by the left hand and part of the right

hand. In this case, it is necessary to use the damper pedal for legato playing of the melody.

Example 5 Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 19-20


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Sometimes Schubert adds characteristics of orchestral tone-quality to those of vocal

tone-quality in his piano music by parallel voice-writing. The melody is often embedded in

harmonic figuration spanning an octave, while an inner voice parallels the melodic line (ex.

6). In the first half of m. 26, the melodic gesture in the tenor voice (Cb-Ab-F) is paralleling

the top melodic line (F-D-Cb) by fourth and fifth, in which we can get an orchestral

doubling effect. Although Schuberts parallel voice-writing is not so strict in this case, it is

clear that he was striving for an orchestral effect.

Example 6 Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 25-26

Meanwhile, the resonance and power of the newer piano permitted the use of full,

loud chords with a variety of touch and shadings, as in the A-flat major impromptu of D.

935 (Ex. 7), where we seefandffchords with accents,26staccatos and slurs. Together with

the legato, singing melodic style, this impromptu demonstrates two ways in which Schubert

exploited the instruments expanding capabilities in his keyboard writing style.

26Schuberts accents sometimes hint at an orchestral change of instrumentation or a

singers increase of vocal intensity. Patricia Fallows-Hammond, Three Hundred Years atthe Keyboard: A Piano Sourcebook from Bach to the Moderns: Historical Background,

Composers, Styles, Compositions, National Schools(Berkeley, California: Ross Books,1984), 85.


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Example 7 Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 17-30

Among Schuberts unique keyboard idiomatic figures, repeated notes and chords

have been considered as one of his favorites. Patricia Fallows-Hammond insists that

Schubert favored a technique of repeated figures probably because of his own small hands

and short fingers.27

In fact, we can find repeated figures in most of Schuberts keyboard

pieces.28

Schuberts repeated notes and chords appear to form a continuous accompaniment

pattern, which provided a foundation of sound and often built on the idea of tremolo.

Contrary to the traditional meaning of tremolo, his repeated figures come to denote a

measured tremolo. While the term tremolo was originally used to refer to a fast

27Ibid.

28Repeated patterns occur not only in the piano pieces but also the songs. Although

not in every song, there is a significant recurring motive in Winterreisethroughout thecycle, the journeying figure, which is constructed of non-legato repeated chords or

pitches. Susan Youens, Wegweiser in Winterreise, The Journal of Musicology5(Summer 1987): 357.


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repetition of a single note or chord without regard to measured time value,29

Schuberts

repeated notes and chords most times occur with regard to measured time value and always

with driving powers. That is why Schuberts repeated notes and chords are technically

difficult to play in slow tempi as well as fast tempi.30

The chord repetitions sometimes

appear inppdynamic, which is more difficult to play (ex. 8).

Example 8 Schubert, Impromptu D. 899, No. 1 in C minor, mm. 152-157

As shown in ex. 8, the repeated figures often accompany quick jumps from the bass note.

Since the chord repetitions could easily sound thick against the very soft melody inpp

29David Fallows, Tremolo (i), Grove Music Onlineed. L. Macy (Accessed 18

March 2005), 30

The most famous and most virtuosic example could be the song Der Erlknig(D 328). One of the greatest pianists, Artur Schnabel, once confessed that his hand still hurt

just from hearing his own recording of Der Erlknig. Konrad Wolff,Master of theKeyboard: Individual Style Elements in the Piano Music of Bach, Haydn, Mozart,

Beethoven, Schubert, Chopin, and Brahms. Enl. ed. (Bloomington: Indiana UniversityPress, 1990), 161.


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dynamic, they should therefore be deliberately sustained along with the pizzicato-like bass

notes which precede them. The technical difficulties here consist mostly of jumping

smoothly from these bass notes to the soft repeated figures without taking any time in

between.31

Another of Schuberts characteristic keyboard idioms is the scrambled scale. His

scalar passages are difficult to analyze because bits of various diatonic scales and of the

chromatic scale are scrambled to such an extent. If given a chance, he would at least mix

the various types of the minor scale (harmonic, melodic, and natural). The F minor

impromptu D. 935, No 4 serves as an example (ex. 9). The A-flat minor scale begins from

m. 95. At first, it does not give any clue if this scale is harmonic or melodic or natural. The

scale turns out to be A-flat minor natural scale due to the appearance of Gb in m. 96.

However, this Gb becomes G natural in the ensuing measure so that the passage changes to

A-flat minor harmonic scale. Adding chromatic passing tones is another way to make

scrambled scales (ex. 10). In the second beat of m. 111, Schubert inserted G# and B-natural

to the G minor harmonic scale. Finding appropriate fingerings is critical for these finger-

twisters.

31Artur Schnabel called this type of accompaniment three-hand music, because

one hand plays the melody, the second hand the repeated chords, and Schnabels supposedthird hand the bass notes. Ibid., 163.


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Example 9 Schubert, Impromptu D. 935, No. 4 in F minor, mm. 93-98

Example 10 Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 111-112

Better understanding Schuberts keyboard writing style is among the fundamental

skills needed to solve problems that arise when learning or performing his works. As one of

the greatest piano music creators, Schuberts piano music always works for the ears, but

contrary to assumptions, it does not always work for the fingers. True, the implementation

of Schuberts musical ideas is especially difficult in the many places where we see

unexpected patterns and technical problems occur. Pianists can be free from these

difficulties and concentrate on musical expression if they have a basic understanding of

Schuberts keyboard writing style exhibited in his two sets of the impromptus D. 899 and D.

935.


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CHAPTER III

Cyclcity through Tonal Interrelationship

Various Schubert scholars have claimed that the two sets of four impromptus of D.

899 and D. 935 are not continuous sets because of the seeming absence of an overall tonal

center or tonal unity.32

Here continuous set might possibly imply the term cycle.

Invoking the term cycle suggests that there may be certain parallels with Schuberts song

cycles. While the impromptus do not share elements of poetic or narrative unity that are

crucial to the traditional definition and understanding of the song cycle, other musical

unifying means, such as tonal interrelationships within each set, would suggest cyclicity.

However, this should not hamper our understanding of the set as a cycle if we

consider that a similar lack of tonal unity holds true in the song cycles. In fact, choice of

key in poetic content is more important than the overall tonal center or functional tonal

scheme in Schuberts impromptus as it is in his song cycles.33Especially the key

relationship between two adjacent pieces most often becomes more important than the

overall logical scheme.34

Thus, the tonal interconnections are what provide a type of cyclic

32Walther Drr argued that Schubert did not wish to create a cycle: the sequence of

keys precludes that (ein Zyklus hat Schubert nicht gestalten wollen: die Tonartenfolgeschliesst das aus) in his Klaviermusik, inReclams Musikfhrer: Franz Schubert, ed.

Walther Drr and Arnold Feil (Stuttgart: Philipp Reclam, 1991), 304; quoted in CharlesFisk,Returning Cycles: Contexts for the Interpretation of Schuberts Impromptus and Last

Sonatas (Berkeley: University of California Press, 2001), 296.33

Barbara Turchin, The Nineteenth-Century Wanderlieder Cycle, The Journal of

Musicology5 (Fall 1987): 514.34

Ibid.


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procedure in Schuberts impromptus. Most significant among these is the third relationship

that is prominent when the tonal interrelationship occurs.

At first glance, the key succession of the D. 899 impromptus (C-minor-E-flat major

G-flat major-A-flat major) does not seem to be cyclic in nature. In particular, the

extraordinary G-flat major seems like an inadequate link, connecting E-flat major to A-flat

major.35

However, all four impromptus can be regarded to be related by thirds, forming an

A-flat major dominant seventh chord if we rearrange them in different order (A-flat major-

C minor-E-flat major-G-flat major). In this case, choice of G-flat major does not seem to be

inadequate. The following diagram (table 1) demonstrates the tonal interrelationships

between the four impromptus of D. 899.

35This G-flat major impromptu is not simply Schuberts only instrumentalcomposition in this key, but also the first piece ever written in it. None of the composers

before Schubert (for example, Mozart, Haydn, and Beethoven) wrote any. Fisk,ReturningCycles: Context for the Interpretation of Schuberts Impromptus and Last Sonatas, 115.


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Table 1 The tonal design of Schuberts impromptus D. 899

It was not until 1894 that the G-flat major impromptu D. 899, No. 3 was published

in its original key.36

Although it was composed in 1827 with the other three impromptus of

D. 899, it was not included in the first publication of the set, together with the last A-flat

major impromptu. When it appeared in print for the first time in 1857, the publisher

transposed it to G major and changed meter as mentioned in the introduction, inscribing in

Schuberts autograph as Im ganzen Takt und in G dur umzuschreiben (to be rewritten in

measures of whole notes and in G major).37

Gb major was too unique even thirty years after

36Richard Kramer,Distance Cycles: Schubert and the Conceiving of Songs

(Chicago: University of Chicago Press, 1994), 16-17.37

Ibid., 16.


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its completion. Richard Kramer suggests that the withholding from the first publication is

partially related to its unusual key.38Hugh Macdonald also writes, this G-flat major

impromptu remained hidden for thirty years.39

However, there is another reason for the idiosyncratic key choice for the third

impromptu of D. 899, which is closely related to the previous piece.40The preceding

impromptu in E-flat major ends in E-flat minor, which is very rare. It is certainly among the

first well-known instrumental pieces in a major key to end with a minor key. Charles Fisk

even states that the major mode is threatened by the minor.

41

Because of the unique

minor ending of the E-flat major impromptu, G-flat major for the third impromptu becomes

less idiosyncratic, but rather a natural choice as a relative major of E-flat minor in a relation

by thirds.

In addition, there are less obvious but equally important internal interrelationships

between the E-flat and the G-flat impromptus. The E-flat major impromptu already

expresses the G-flat major tonality (ex. 11, mm. 36-43), which the second impromptu

shares with the ensuing piece. Moreover, an immediate reappearance of an E-flat minor

triad at the beginning of the G-flat major impromptu (ex. 12, m.2) recalls the concluding

harmony of the second piece.

38Ibid.

39Hugh Macdonald, , 19th-Century Music11 (Spring, 1988): 225.40

Fisk,Returning Cycles: Context for the Interpretation of Schuberts Impromptus

and Last Sonatas, 117.41

Ibid., 42.


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Example 11 Schubert, Impromptu D. 899, No. 2 in E-flat major, mm. 33-44



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In the G-flat major impromptu, the harmonic progression from the tonic (G-flat major) to

submediant (E-flat minor) in mm. 1-2 also anticipates the overall tonal structure of the

piece. The middle section of the G-flat major impromptu is in E-flat minor (beginning at

m.25), clearly connecting it with the end of the previous impromptu.

Another internal interrelationship is the use of Cflat minor (B minor) in both

impromptus. The middle section of the E-flat impromptu is in B minor, the enharmonic

equivalent of C-flat minor (beginning at m. 83). C-flat minor (B minor) is also used in the

coda of the G-flat major impromptu in order to give the harmonic color (ex. 13, mm. 75-76,

79), when the harmony arises from the middle section of the previous E-flat major

impromptu.



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Example 13 (continued)


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B minor (C-flat minor) is used in the converted form of a parallel major (C-flat

major) in the beginning of the G-flat major impromptu. Since C-flat major is the

subdominant of G-flat major, its occurrence could be expected. It first appears on a

downbeat of m. 7 (ex. 14), which comes right after the dominant seventh of E-flat minor,

V7/vi (last beat of m. 6). This C-flat major chord is in the contexts of a long prolongation

of G-flat major. The dominant seventh of E-flat minor, V7/vi sets us up to expect E-flat

minor, which is the ending of the previous impromptu, but the voice-leading does not give

the expected resolution. The next eight-measure phrase goes up to its own climax over this

C-flat major subdominant harmony (m. 12).

In the E-flat major and the G-flat major impromptus, the major and minor modes

are equally treated as seen above.42

Besides the minor ending of the E-flat major

impromptu, the use of C-flat major/minor harmony in the G-flat major impromptu supports

this reading. An equal treatment of major and minor modes is one of Schuberts frequent

harmonic colorations.

42The major ending of C minor impromptu D. 899 is another example of an equal

treatment of the major and minor modes. In this case, a minor-key piece ending in major isa convention going back at least to as far as J. S. Bachs picardy third.


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A musical link between an ending and a succeeding beginning appears not only in

the second and the third, but also in the third and the fourth impromptus.43The last three

notes of the final melodic gesture in the third impromptu, Eb-Cb-Ab (see ex. 13, m. 83)

43Fisk,Returning Cycles: Context for the Interpretation of Schuberts Impromptus

and Last Sonatas, 123.


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forms an A-flat minor triad and it anticipates the descending A-flat minor broken arpeggios

in the beginning of the following A-flat major impromptu (ex. 15).



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Example 15 (continued)

The manner in which Schubert settles on the main tonic of the final impromptu is

noteworthy. Its main tonic, A-flat major, is achieved only after some harmonic wanderings.

The A-flat major impromptu begins in A-flat minor,44featuring two-measure soft rippling

falling arpeggios with a reminiscence of the left hand rhythm of the second impromptu of D.

899. This two-measure phrase is repeated and followed by two-measure chord passage. The

opening six-measure phrase is repeated in A-flat minor (mm. 7-12), C-flat major (mm. 13-

18), and B minor (mm. 19-24). After an extended eight-measure chord passage in B minor,

the main tonic major, A-flat major finally appears in m 31.

44This is another example of major/minor fluctuation in Schubert.


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During the tonal wanderings at the beginning of the A-flat major impromptu, each

harmony confirms the cyclic procedures of the set (A-flat minor was anticipated by the

melodic gesture of the coda of the previous impromptu, C-flat major was highlighted in the

third impromptu, and B minor was the key of the middle section of the second). The tonal

instability of the last impromptus opening indicates not only the unique relationship to its

own tonic but also the cyclic procedures associated with the second and the third

impromptus.

The tonal exploration of the last impromptus opening can be expanded further to

the first impromptu of the set. The main tonic of the final impromptu, A-flat major, is the

key of the B section of the first C minor impromptu, again in a relation of thirds. Fisk

describes this harmonic recurrence as a remote memory.45

Although it is not as

significant as the others, this relationship also supports the earlier idea that all four

impromptus are related by thirds, and encompassing the A-flat major dominant seventh

chord, if we consider the A-flat major impromptu as first in order.

Unlike D. 899, the tonal scheme of the D. 935 impromptus gives a cyclic

impression by nature (the two outer pieces are in F minor, while the inner pieces are in A-

flat major and B-flat major). Due to its key sequence, Schumann wrote a review of the D.

935 impromptus in theNeue Zeitschrift fr Musik(14 December 1838) as follows:

I can scarcely believe that Schubert really entitled these movements

Impromptus. The first is evidently the first movement of a sonata, soperfectly carried out and concluded that no doubt is possible. I

consider the second impromptu to be the second movement of thesame sonata; in key and character it precisely fits it. . . . Perhaps the




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fourth impromptu may be regarded as the finale, but even if thetonality confirms one in this supposition, the casualness of the plan

of the whole almost denies it.

If the two first impromptus are played in succession and roundedwith the fourth to make a lively close, we shall possess, if not a

complete sonata, one more beautiful memory of Schubert.46

Besides the key succession, Schumann was also struck by the formal structures of

the individual pieces possibly to form a sonata. He disagreed with Schuberts title

impromptu because of its actual substance, especially presented in the opening F minor

work. Schumann argued that the first F minor impromptu needs to be considered as a

sonata form without the development section,47which is, however, unusual in Schuberts

sonata works. Einstein agrees with Schumanns view stating that the sonata form at this

time tended to revert to its original binary form and to avoid the dramatic musical

element.48Einstein even hears the final F minor impromptu as a rondo owing to its playful

rhythm and humorous characteristics.49

The rondo form is often chosen for the finale of

Schuberts late period sonatas. And, the formal structure (the minuet and a trio form) and

its Sarabande rhythm of the second A-flat major impromptu suggest that it fills the role of

the dance movement of a sonata.

However, the formal structures of each piece in D. 935 do not adhere to the

traditional expectations of a sonata. Regarding the opening F minor impromptu as a sonata

form without the development section, all of Schuberts completed sonatas include the

46Schumann, On Music and Musicians, ed. Konrad Wolff. trans. Paul Rosenfeld

(New York: W. W. Norton & Co., 1946), 119.47

Ibid., 118.48

Einstein, Schubert: A Musical Portrait, 284.49

Ibid., 285.


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development without exception. Thus, it is not adequate to determine the formal structure

of the first F minor impromptu as the sonata form in spite of its two themes in F minor and

the expected A-flat major. Its formal structure may be analyzed as ABCA'B'C'A". The

problematic C section is a trio-like section in rounded binary form with each half repeated,

beginning in A-flat minor and ending with A-flat major. Although the first half cadences in

C-flat major, it does not really go anywhere harmonically or develop anything motivically

either. This section seems to fail to progress. Instead, it does remain in A-flat minor/major

on the whole. And, the complete return of this section in the tonic at the very end (without a

repeat) gives the impression that this section is rather a part of an exposition, of

Schumanns supposed sonata. Thus the first F minor impromptu should not be

misunderstood as a sonata form.50

Regarding the final F minor impromptu, contrary to

Einstein, it is not a rondo. It is in three-part form, ABA+Coda, although the middle section

is unusually long.

Compared to D. 899, the tonal interrelationship in the four impromptus of D. 935

can be easily anticipated. The third relation is still prominent throughout the D. 935 set as it

is in D. 899. The first and concluding F minor impromptus do not only share the key

signature but also their overall tonal plan, in a relation by third (F minor-A-flat

major/minor- F minor). A diagram below (table 2) shows the overall tonal design of the

four impromptus of D. 935.

50Fisk describes the relationship between two themes as truly uncharacteristic forSchuberts mature sonata and this is one more reason that this opening F minor impromptu

is not in sonata form.Returning Cycles: Context for the Interpretation of SchubertsImpromptus and Last Sonatas, 143.


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Table 2 The tonal design of Schuberts impromptus D. 935

The only difference occurs at the coda of the final F minor impromptu, where D-flat major

appears (ex. 16). In this coda, a chromatic alteration from C to the upper neighbor Db leads

to D-flat major (mm. 427-28). This D-flat major is another remote memory of the earlier

piece, the A-flat major impromptu, that of its D-flat major middle section. In fact, this D-

flat major harmony is not new for the trio section of the A-flat major impromptu,

51

but has

been already reserved from its beginning (see ex. 7, mm. 21-24). It is emphasized with

fortissimo dynamic and thick chords, and even temporarily tonicized.

51The formal structure of the A-flat major impromptu is the menuet and trio.


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Example 16 Schubert, Impromptu D. 935 No. 4 in F minor, mm. 420-439

Besides D-flat major, the A-flat major impromptu contains two more keys that are

related to other impromptus, A-flat major and G-flat minor, which are later acknowledged

by returning to them in other impromptus. Its tonic A-flat major is related by thirds with the

preceding and the final F minor impromptus and associated with the key of their middle

sections. In the case of G-flat minor, it appears for the first time as a minor subdominant of

D-flat major (see ex. 7, the second and the third beat of m. 23) and it returns in the trio (ex.

17).52




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When the trio reaches the climax after the double bar, the harmony goes from D-flat minor

to A major (m. 69). During this harmonic course, an F-sharp minor chord, the enharmonic

equivalent of G-flat minor, is introduced (downbeat of m. 67), an appropriate subdominant

of D-flat minor and submediant of A major. This G-flat minor/F-sharp minor triad is used

again when music goes back into D-flat major (m. 76). This G-flat minor is even converted

to a parallel major for the fourth variation of the ensuing impromptu in B-flat major.


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Schuberts two sets of four impromptus D. 899 and D. 935 are among pianists

standard repertoire and favorites for concerts and studies. However, there has been a lack of

understanding each set as cyclic. Although not strikingly noticeable, there is a clear cyclic

procedure in each set. Their cyclic organization is achieved through the tonal plan, chiefly

through subtle yet important internal relationships and interconnections. The careful

examination of the tonal design of each set provides useful musical insights in

understanding subtle cyclic aspects of Schuberts two sets of impromptus.


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CONCLUSION

An examination of Schuberts impromptus provides a fascinating glimpse into the

history of the genre, the development of the piano itself, and Schuberts own keyboard

writing style. More importantly, when we closely consider the tonal interconnections

between the impromptus, we find compelling evidence that these are not single pieces, but

continuous sets that should be performed as such.

Schuberts two sets of impromptus are organized cyclically, which is demonstrated

through the tonal interrelationship among the pieces. Most of the important harmonies in

the sets are associated with each other. Due to the key successions of the four impromptus

of D. 935, its overall tonal design clearly exhibits cyclic procedure. Among the significant

harmonic features are the thirds relationship and an equal treatment of the major and minor

modes. Since Schuberts two sets of impromptus have not previously been considered as

continuous sets, this study of their cyclic aspects demonstrates that both sets should be

performed and understood as continuous sets, rather than separate, disconnected pieces.


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