CFAMU600Final ProjectKelly Meyer

Novellette op. 21, no. 1, by Schumann, holds many interesting characteristics. During this period

of Schumann’s life, many of his works showed a culmination of early influences with “modern” variety.

“‘I’m playing with forms’, he wrote to Clara while at work on the [Novellette] cycle on 11 February.”1

John Daverio and Eric Sams note that Schumann’s work with form and structure was not always as clear

as might have been anticipated. “His attempt to imbue the Novellette with the quality of a Jean-Paulian

narrative resulted in fragmented reprises, the embedding of smaller within larger structures and an

evolutionary approach to melodic design in several of the cycle’s larger pieces.”2 This piece does contain

decided breaks between sections; harmonically conjoined, but rhythmically and texturally segregated.

These sections show that Schumann was indeed playing with forms, having borrowed the formal

groundwork from the Baroque period, but employing variations of the traditional make-up of each

section. The overall form of the Novellette is a variation of a seven-part rondo and can be divided as

follows:

A mm. 1-20 Tonality: I - III

B mm. 21-48 Tonality: I

A′ mm. 49-60 Tonality: I

C mm. 61-81 Tonality: bVI

A″ mm. 82-85 Tonality: bVI

B’ mm. 86-113 Tonality: III

A′ mm. 114-137 Tonality: I

1 John Daverio and Eric Sams. "Schumann, Robert." In Grove Music Online. Oxford Music Online, http://www.oxfordmusiconline.com.ezproxy.bu.edu/subscriber/article/grove/music/40704pg6 (accessed February 26, 2010).

2 Ibid.

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Within the first 20 measures of the piece, Schumann essentially lays out the harmonic sequence of

the entire cycle. The phrase structure is laid out with an opening motive within the first four-measure

phrase, followed by two two-measure, contrasting subphrases, all in the tonic. The next eight measures

are direct transpositions of the first eight, but in the key of Db, the flatted sixth. The final four measures

are the original motive again, this time in the key of A, the flatted sixth of Db. The overall structure

eventually moves back to the tonic, which happens to be another flatted sixth above A, creating the full

cycle.

The style itself is reminiscent of a march, even to the point of including a Trio section that would

traditionally yield a lighter instrumentation than the beginning section. The rhythm given to a large part of

the piece is mostly void of grouped eighth notes. Instead, Schumann utilized quarter notes, eighth-note

triplets or dotted-eighth-sixteenth note patterns. This arrangement of rhythms gives the Novellette an

impression of either 2/2 or 6/8. The exception to this is the C section that uses an underlying eighth-note

accompaniment to the melodic figure

The ritornello return is focused on the first four-measure subphrase, or more precise still, the three

chord motive that is introduced in m. 1. This short motive is the foundation of each return of the

ritornello, and exists as a direct transposition in each key. Schumann exerts the influence of these three

chords with the shortening of the A section as the cycle progresses. The first

section is 20 measures in length, the return of the A section is 12 measures,

offering only the first four and final eight measures of the original, the third

ritornello is only four measures in length, the length of the first sub-phrase, and

the final return holds the original length with a four-measure extension.

The phrasing of the Novellette is mostly regular. The A section begins with a phrase that contains

a four-measure subphrase with the motive, followed by two two-measure subphrases. Schumann begins

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the emphasis of the four-measure motive here by tagging it to the end of the symmetrical eight-measure

phrase groups.

The phrasing becomes irregular in the C section with the use of fugal techniques of the Baroque

period. While we can pick out the four-measure subphrase groupings as before, the use of a subject, a

variation of an answer, a pedal tone, and stretto gives the irregularity and contrast that often accompanies

the middle point of a rondo. In this section, Schumann has moved completely to Db, the flatted sixth of F

and uses a predominant Ab pedal.

The subject, instead of being given in a single voice, is passed through the voices starting in m. 61.

The first statement of the subject is in the tonic and a stretto of the same subject begins in m. 63. This is

the only place in this section that the subject is copied, back-to-back. It does resurface in m. 72, beat four,

but is stated only once in this instance. The answer, instead of being in the dominant, is simply

transposed mostly by a fifth, but still in the tonic, beginning in m. 66. Schumann does hint at the

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dominant by including G naturals as passing tones in mm. 63 and 67, and on beat four of measure 66, as a

V7/V.

The phrase structure of the final A section is an interesting blend of the phrasing found in the first A

section. The original motive is only found twice; in m. 114 and m. 122. The rest of this section is a

variation of the secondary subphrase. The original subphrase from mm. 5-8 show the two-measure

grouping.

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The secondary subphrase shows the same two-measure grouping, the second two measures are presented

a whole step lower.

Beginning on beat four of m. 125, the second subphrase is varied, but the integral melodic line remains. It

is interesting to note that the original A section held an extra 1st subphrase containing the motive, while

the final A section holds an extra 2nd subphrase, with less emphasis on the motive, but rather on the

conclusion.

While it is not uncommon for Schumann to us a double-bar at the end of each section, it is

interesting that he would also use the double-bar at the end of each four-measure motive as well as at the

end of the first statement of the B sections. The reason for this may have been to emphasize that

particular statement of each section.

Harmonically, there may be very good cause for Schumann to refer to the Novellette as a cycle.

The overall view of the tonality leads us to realize that Schumann began in the key of F, then modulated

to the bVI, which is Dd. Schumann then modulated again to the bVI of Db, which is A, and finally moved

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again to the bVI of A, which is back home to F. This cycle is completely laid out in the opening A

section, as a precursor of things to come.

The opening motive produces a vi – V – I progression and the first four-measure subphrase ends

complete with a perfect, authentic cadence in m. 4. The second subphrase, tonicizes the IV, ii, and V in

the first two measures and the biii and IV in the second two measures. Knowing Schumann’s affinity for

Bach, I wonder if it is a coincidence that Schumann’s tonicized pitches bear a close resemblance to the “B

A C H motive.”

Regardless of whether or not Schumann was referencing Bach, the modal iv chord on the

downbeat of m. 9 serves as a pivot chord that serves as vi in the new key of Db. Mm. 9-16 are a direct

transposition of mm. 1-8. The roman numerals are exactly the same, but are in a new key. This “cycle”

creates another turn as the downbeat of m. 17 gives the next pivot chord, a iv in Db which also serves as a

vi in the new key of A. The final four measures of the A section are a direct transposition of the first four

measures, ending with a perfect authentic cadence in the key of A.

The B section begins in m. 21 and offers a distinct change in texture. Gone are the block chords of

the A section, replaced by running triplet figures under a flowing melodic line. This section is complately

in the tonic key, but moves through brief tonicizations. The section cadences with a solid V7 – I authentic

cadence. The A′ section begins in m. 49 with a partial restatement of the A section. This section is also

in the tonic and cadences with an authentic cadence in m. 60.

Beat four of m. 60 gives a lowered leading tone in the tonic, but is an anticipation of the new key

of the C section, beginning in m. 61. I call this tone an anticipation because it is the first note of the

subject in C. Although the dominant pedal tone exists throughout this section, there is a progression

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present. The cadence is beginning to lean back towards the tonic but does not quite get there. We are

reminded of the F major chord on beats 3 and 4 of m. 81, which serve here as the V7/vi. The next beat is

the downbeat of A″, this time in Db. The motive is the same as before and progresses vi – V- I. The vi

chord on beat one is given added weight through the use of the dominant of that chord in the previous

measure. This return of the original four-measure motive contains only those four measures and ends,

again, with an authentic cadence in Db.

The B′ section begins in m. 86, this time in A, set up by beat four of m. 85. The Cb creates a

passing figure that leads to the A root of the next chord. Aside from a few tonicizations, this section stays

in A and cadences with another authentic cadence in m. 113. Beat four of m. 113 gives a triplet figure

that acts as a passing sequence to the D on the downbeat of m, 114. This happens to be the start of the A

section in the key of F. This figure, like before, begins on the vi chord, rooted on octave Ds before

progressing to the V-I. This section gives a final authentic cadence on beat three of m. 133 before

offering a cadential extension in the last four measures of the Novellette.

The melodic make-up of the Novellette hints towards another form popular in the Baroque period.

It is possible to trace a melodic line throughout this piece, but the texture lends to a concerto grosso. The

A section is the tutti with a thick, block chord texture, followed by a thin texture and a melody that is

more prominent in the B section. The return of the A tutti leads us then to the C section with another light

V7 I V7 I

V7 I vi I

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texture and a prominent melody. I don’t believe that Schumann was completely imitating the concerto,

but was rather altering texture between sections.

The melodic contour is almost universal in each phrase. It rises to a peak and then descends; the

peaks becoming higher as each section progresses. The A section, for example, rises to a D5 in m. 4, then

to a B5 in m. 11 before climaxing at a F#6 in m. 19. Each section contains the same contour.

The triplet figures that are presented in the A sections, appear to play no more of a role than to

serve as rhythmic material. Upon closer inspection, we see that these figures do interact with each other.

Mm. 1 and 2 contain triplets on beats four and three respectively. These triplet figures form a four-note

sequence: F G A Bb – A Bb C D. In m. 3 the sequence appears to continue, but the three notes of the

A

B

C

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triplets are a premonition of the figure that begins in m. 6. The triplets in m. 6 form a complete run from

G3 to Eb4.

The ambiguity of this piece begins as early as m. 5 but is presented so as to be concurrent with

additional material. M. 5 begins with a tonicization of IV for the entire measure, but does not resolve to

IV as expected. Instead, the downbeat of m. 6 is a secondary dominant of ii, which also does not resolve

to ii, rather moving to a iiø 43/V. This secondary pre-dominant chord does move as expected to a V7/V

on beat four of m. 6 then to octave Cs on the next downbeat. While this octave group does not give the

complete C chord, it does infer to a resolution. The ambiguity continues on beats two, three, and four

with tonicizations of biii, but does not resolve as expected. Instead it moves directly to V65 on beat one of

m. 8, followed by tonicizations of iv. This tonicization does make sense as it moves from a iiø43/iv to a

V7/iv and resolves to a iv on beat one of m. 9.

The C section is another example of the ambiguity expressed by Schumann. Rhythmically, this

section leaves the triplet figure behind, and provides an underlying straight eighth note pattern in which

the melody climbs. The melodic figure focuses on the emphasis of beats two and four of each measure,

rarely giving an impression of a downbeat. This, combined with the stretto of the melodic lines, leaves

the listener with a sense of never being able to catch up with the beat.

Sequence

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By filling in the full chords, we see a sense of harmonic ambiguity. The overall function of the

phrase is on the dominant, providing a V7/V – V resolution. Throughout this movement through the

dominant, there is an implied progression that takes shape, however the Ab pedal is never completely

dissonant for more than ½ of a beat.

Novellette does appear to be a fairly simple, structured piece, but upon closer inspection, we see

that Schumann was indeed playing with form. The cycle provides the groundwork for a seven-part rondo,

but the harmonic, textural, and structural makeup differ from a rondo’s traditional structure. It seems

clear that Schumann was borrowing from his influences of the Baroque period, but like all composers,

found it difficult to mask the influence of the moment.

VV7/V V(I) (IV) (vii43)

61

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Works Cited

John Daverio and Eric Sams. "Schumann, Robert." In Grove Music Online. Oxford Music Online, http://www.oxfordmusiconline.com.ezproxy.bu.edu/subscriber/article/grove/music/40704pg6 (accessed February 26, 2010).