The Classical Nature of Schubert's Lieder

The Classical Nature of Schubert's Lieder
Author(s): Walter Gray

Source: The Musical Quarterly, Vol. 57, No. 1 (Jan., 1971), pp. 62-72
Published by: Oxford University Press
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THE CLASSICAL NATURE
OF SCHUBERT'S LIEDER
By WALTER GRAY
T HERE is a continuing question and problem as to how the music

of Franz Schubert is best to be understood, as representative of
Classicism or of Romanticism. For many, it must be said, no problem
exists, since to them the two terms are meaningless or at best irrele-
vant.' Others have long ago decided that Schubert and his music repre-
sents Romanticism. Most historians, with notable exceptions, accept the
view that Schubert was a romantic composer, or at least a transitional
figure more aligned with Romanticism than Classicism.
To the early romantic composers themselves, especially Robert Schu-
mann, Schubert was one of their own. Rather than seeing him as a
contemporary of Beethoven with his own resolution of classic procedures,
they saw him as a follower of Beethoven who carried on the master's
tradition in his own way - something each of them was striving to do.2
To most of Schubert's contemporaries, even friends who lived long after
him, he was basically "only" a song composer who, had he but lived
longer, would have learned to compose successful symphonies and quar-
tets! 3 This appraisal was shared by most musicians until the last quarter
1 Eric Werner among others strongly advocates the abandonment of the term
"Romantic" as applied to music. While I agree that it cannot be uniformly applied
to the entire nineteenth century, I feel that the term - no better or worse than other
names of historical eras, and used, however distastefully, by composers themselves -
can be applied to the musical scene until about 1850. See Eric Werner, Mendelssohn
(New York, 1963), pp. viii-xi.
2 See Schumann's various articles on Schubert's music. For an example: "In the
most original spirit Franz Schubert perfected to virtuosity a strain of Beethovenian
Romanticism that could be called provincial." Robert Schumann, "Ferdinand Hiller,"
in his Gesammelte Schriften iiber Musik und Musiker (Leipzig, 1914) ed. Martin
Kreisig, Vol. I, no. 9, p. 42.
3 "Vogl's influence (along with that of the painter friends) was also responsible
for Schubert's having dissipated his genius far too much in the small song form and
for his not having perfected it in the large forms of symphony and opera. Admittedly
he also wrote a considerable number of larger works which contain much that is
62
The Classical Nature of Schubert's Lieder 63
of the nineteenth century.4 Then - and even today -

based their opinions and judgments on the works of Sch
making little attempt to understand the earlier works an
parison, to integrate all in a continuous developmen
imagine the result of a similar judgment of Beethoven
lected works from his last three years.
While most aspects of Schubert's music can be broug
support the contention that he is a romantic, histori
drawn upon the form wherein Schubert is universally r
preme - the lied - as evidence that he is, most of a
Usually no grounds, logical or stylistic, are given to back
- -imply that it is so. This attitude may follow from a
cism. The art song becomes one of the most typical and,
romantic forms during the nineteenth century, especiall
Schumann, Franz, Loewe, Brahms, and Wolf. Since th
torians have perhaps reasoned backward to the first mode
genre and conferred the accolade of "romantic" upon Sc
This article is not the place to define Classicism or
Many attempts to do so have been made, and, while
explanation will ever be entirely adequate or acceptable,
in discussing the music of the last third of the eighteen
of the nineteenth century, that a musical Classicism
axiomatic. If we speak of Romanticism in a composer, w
account at least two important questions: Does the man
hold to the articulated ideals of Romanticism as understood at the time?
And do his creations sound like, and fit into, the formal and stylistic
traits of the period? Schubert sometimes wrote (in a few diary entries and
letters), and sometimes even acted, like the later stereotyped romantic;
beautiful and imaginative. But he had no friend who stood to him in the relation of
master, who might have been able to guide him in such undertakings by advising,
warning and correcting him ... .What Schubert lacked was a really accomplished
composer to act as teacher and music counsellor, and a fatherly friend to regulate his
mode of living, and it was the lack of these which prevented him from attaining that
greatness to which nature seemed to have destined him." Memoirs of Schubert by
Leopold von Sonnleithner, dated November, 1857. See Otto Erich Deutsch, Schubert:
Memoirs by His Friends (New York, 1958), p. 112.
4 "I recall the impression.., .which was made on me by Schubert's C major Sym-
phony under Mendelssohn's direction. At that time it was not yet fashionable to install
Schubert on the heights of Mt. Olympus; he was loved, admired, and enjoyed as a
minorumn gentiumn, but there were complaints about the expansiveness of his forms and
the monotony of his rhythms." Quoted in Werner, op. cit., p. 314, from Hans von
Billow, Ausgewiihlte Schriften (Leipzig, 1896), pp. 335f.
64 The Musical Quarterly
however, he never stated the canons of literary or mu

While he might have reacted to the works of Jean Pau
ing, it is doubtful that he would have reacted to them
Robert Schumann, who believed in, and strove to f
credo which we today know as Romanticism. Whil
about Schubert's words, I do not believe his works are
they are largely reflective of the Viennese Classicism
and Beethoven, always leaving room for Schubert'
which, especially after Beethoven's great example, beco
dividual without sacrificing a measure of classical poi
separates him from the later "true" romantics. The tr
when one views his works in the perspective of his en
of just the soaring masterpieces of his last years. The
last works, seen in this light, do not seem like departu
breaking with a classical heritage, but rather the logi
Schubert's basic musical development.
It was earlier mentioned that it is the Schubert son
often accepted and thought of as a work of romantic ar
however, that it is exactly in his songs where Schube
achieves classic stature. The reverse historicism which
originator of the modern German song the traits of
cessors has connected with it the fact that, in spite of
the other great Viennese Classical composers did not
the genre of the art song. Even the finest songs of H
Beethoven do not rank in importance or achievement w
bert. Since there are no classical masters with whom t
as a lyricist, it has apparently been thought best to a
ment to the period which follows, a period in which
important role. But Schubert's songs should rightfully
one of the perfected classical forms which were ha
romantic era, along with the string quartet, sonata, c
phony.
Much of the poetry Schubert set is, or seems to be, romantic. How-
ever, it must be remembered that many, and perhaps most, of Schubert's
greatest songs do not have romantic texts. The true romantic lyric Schu-
bert rarely set, possibly the most notable exception being the six Heine
songs of his last year. M6rike and, apparently, Eichendorff were not
available to him. The works by Wilhelm Miiller, Mayrhofer, and others
that he chose are sometimes romantic poetry, but the bulk of his texts
can be seen to draw upon other eighteenth-century traditions. Even if all
the verse that Schubert set were examples of romantic poetry

not automatically make his settings examples of romantic mu
Schubert's songs must be looked at in the context of thei
development, not judged by the style of the poetry he selec
what happens to the lied after his time. If this is done, the
will be recognized as one of the culminations of classic thoug
A great song is a complicated affair. In such a work th
incompatible elements combine in such a way that a synthe
these elements are a poem, a melody, and an accompaniment
view, they are a text, a voice, and the piano. (In this article
speak of songs with chamber or orchestral accompanimen
there too the aims and results can be the same.) In spite of
nature of music and the musical nature of poetry, a seri
blending of both simultaneously in song is a difficult task. A
strength is an independent work of art which needs nothin
for its realization. A piece of instrumental music of any me
complete work needing nothing beyond itself to elucidate o
Contrary to widely held opinion, a great song does not prima
elucidate, or express a poem, although thousands of mediocr
attempt this; instead these various and diverse aspects coales
new work, a new whole, a Gestalt is formed which, while ma
independent constituent parts of poetry, melody, voice, and
ment, is greater than each of them singly and greater than a
gether. While the melody and accompaniment may express
minute ideational, rhythmic, and structural elements of a po
is not the poem in music, nor does the poem become the
this whole is achieved, what magic ingredients of poetical a
sensitivity must come together in a composer's mind to
result, is and will always remain a mystery, at least so long
creation itself remains a mystery. It is not necessary for us t
the process completely so long as we can experience the comp
The Gestalt created in a great song can be achieved by var
With this in view, two distinct schools of song composition
teenth century can be distinguished: the classic manner of
the romantic manner of Schumann. In general the great
century composers of German song adhered to one or the ot
types, with Franz and Wolf the main followers of Schuman
and Brahms the major successor to Schubert's. The differen
the two types, many and marked as they are, can in part b
for by the changed attitude toward literary ideas and poetry
romantic composers. For example, Schumann's son

"literary," much more tuned to the values and nuance
are the more objective, "abstract" settings of Schube
implies a lack of poetic sensitivity on Schubert's par
his sensitivity is different from Schumann's. Schuma
a pristine romantic, are more subjective, more redolen
of the composer, than are Schubert's. This fact alone
ing why the protagonists of Die sch6ine Miillerin and
much more alive as created individuals (not prope
Schubert) than is the protagonist of the Dichterl
mann), although the story in all three cycles is near
An "ideal" song by Schubert is basically a work of
cause all of the disparate elements are held in perfec
trol. Synthesis is achieved through the inseparable bl
ments. That is, in a Schubert song, the poem is not
element, nor is the melody or the accompaniment
equal importance and must be held in proper balance
It is true that this is not often achieved. Surely a
performances of Schubert songs in which the acc
nearly impalpable background of harmonic support f
line. This all-too-common manner of performing Sch
from a misunderstanding of how they are constructe
dominating factor; instead, each element of the son
tance.
The romantic song aims at a similar synthesis, but one achiev

different manner. In an "ideal" song by Schumann the various as
are not held in balance; rather, true to the anticlassic stance of t
mantic, they are usually in deliberate imbalance. The romantic d
admire the classicist's rational and emotional control. What he admired
was the breaking of bounds, the losing of control, in a sudden burst of
inspiration; he strove to smash the confines of the conscious mind
through exercise of the unconscious utterance which would illuminate
meaning and feeling with a sudden stroke.
The element most often creating imbalance in a Schumann song is
the piano, which in many examples carries out the "interpretive" func-
tion, frequently seeming to take on the personality of the composer com-
menting on the poem or interpreting it. In doing so, the piano assumes
a role far more important than its role in a Schubert song, or at least far
different. Often in those songs by Schumann where the piano is not the
most important element there is a combination of two nearly independent
elements in the voice and piano - they seem at times almo

gaged in a duet made up of two compatible compositions r
single piece of chamber music. Der Nussbaum may be ta
ample.
Schubert's techniques of song composition are remarkably consistent,
so much so that one can draw general conclusions about them. Schubert's
songs are often constructed on three separate and distinguishable planes:
the vocal line and the two hands of the piano part. In song after song,
one hand will carry an accompaniment figure, often of repeated chords,
while the other hand (frequently, but not always, the left) has a melodic,
rhythmic, or melodic-rhythmic motive, which may or may not be related
to the material of the vocal part. Such a consistent motive is likely to be
one of the more striking aspects of a Schubert song; it can unify an
entire song, and even more important, it can be developed freely as the
melody and text unfold. This motivic development, often more than the
melody, can bring musical intensity to the song as a whole and reflect the
ideational and emotional quality of the text as well.
A popular example of this technique can be seen in An die Musik
(D. 547). The song begins with a two-measure introduction with the
right hand presenting a repeated eighth-note chordal accompaniment
pattern which continues without interruption throughout the song. The
left hand is given a melodic motive which anticipates the melody of the
song. While this left-hand melodic motive is not given rigorous develop-
ment, which would be somewhat out of place in this short, strophic,
lyrical song, various aspects of it, such as the upward leap of a fourth
and the mixture of legato and staccato articulation which is constantly
repeated, give the line its own identity. Many of Schubert's most popular
songs exhibit this type of construction in various ways - such songs as
Gretchen am Spinnrade (D. 118), Erlk6nig (D. 328), Die Forelle (D.
550), Auf dem Wasser zu singen (D. 774), Die junge Nonne (D. 828),
Auf der Bruck (D. 853), An Sylvia (D. 891), Aufenthalt and Der Atlas
(D. 957, nos. 5 and 8).
One of the most famous of all songs, Gretchen am Spinnrade, perfectly
demonstrates the compositional technique described above. The song
begins with an introductory measure which sets forth, as in the previous
example, the basic motivic material of the song, although in this instance
the piano does not present material which the voice is to use. The right
hand has a sixteenth-note pattern which is both a rhythmic and a melo-
dic motive and which is used in every measure of the song, at least
rhythmically, with the exception of the climax at "und ach, sein Kuss!"
(measures 66-68). This is one reason why the clim

impressive and effective. The sudden ceasing of the
the arrest of the forward impetus, creates a moment
climax has given rise to fanciful dramatic and litera
the song, as though it was a scena instead of a son
given a rhythmic motive, and in addition to the mo
held notes of the bass line give this part individuali
throughout the song. As was the case with the right-
mic motive, this one is present throughout most of t
not quite the consistency of the right-hand motive. T
is abandoned as the song moves to its climax, markin
a new musical development; it is restored after the c
and continues with minor changes until the end of t
Much has been written on the effect of this song,
matters as the seventeen-year-old composer's almost
tion to the psychological heart of the poem. But my
this example here is to point up the motivic structure
ency with which this material is used and developed
all, it is included to remind the reader that each on
of equal importance in the song; the poem, the voca
companiment each live a separate life, each independ
with the others, and all in perfect balance. One is im
control of all aspects of the composition as it flows
also notice how "objective" the song is. While it refl
expresses the sentiments of the poem and, therefore
is present only insofar as his typical musical and con
are there. It is the musical character of the compose
not his subjective personality.
Another important aspect of Schubert's songs gen
the classic versus romantic interpretation) is also perf
this song; this is the question of tone-painting. As wi
the songs themselves, what on the surface seems to b
reality is not. It is a widely held opinion that in his
frequently used tone-painting in the most literal and
the term. The "water" music of Die sch6ne Midlle
"sound of the spinning wheel" in Gretchen am Spin
quently given as examples. Yet almost never does
obvious types of word- and tone-painting. He shows
ability to invent harmonic, melodic, and rhythmic p
symbols for ideas presented in the text. That is, he i
usually accompaniment motives and figures, which perfe

one's idea of the object with little or no attempt at mu
Thus, in Die sch6ne Miillerin he invents musical materi
song which symbolizes our idea of water, and this he d
purely musical ways. If Schubert were using tone-paintin
sound of water in Die sch ine Miillerin or in A uf dem W
there would be a recurrence of some musical matter, or
similarity of means between the songs, while in actuali
resemblance between them except insofar as they are equ
evoking the idea of water. It has been pointed out that
resemblances between the water music among the songs
Miillerin; there is much less than is usually realized, an
is generally confined to steady sixteenth-note rhythm i
ments. These similarities may be explained by the fact
a "character" in the cycle and, as such, frequently presen
the story or as a background to the action. If the cy
revealed to us in a series of lyrical moments" 5 then this
drama must have musical consistency, and this is the r
ever musical resemblance there is of the water music o
may mention just one more example of the water musi
the first song of the Schwanengesang: Liebesbotschaft. T
brook music, presents different musical figurations fr
schiine Miillerin or Auf dem Wasser zu singen, but it is
in evoking the idea of water. Schubert succeeds in differ
certain obvious similarities) in conceiving musical mater
to our minds the idea of water, without an unmusical and, f
unnecessary attempt at a literal reproduction of water (i
possible). And, as with all masterful employment of
result is a distillation, more real than reality.
Of Gretchen am Spinnrade it is often said that th
paniment imitates the sound of the spinning wheel. Com
with Erlkbnig. Both are famous settings (from Schuber
of poems by Goethe. Their basic methods of constructi
each employs a treble accompaniment figuration, and
rhythmic motive in the bass. One reads fanciful interpr
songs. Erlkbonig has been described as a symphonic ton
and piano; one reads of the sound of galloping horses' h
in the forest, etc. There is indeed a storm in this song,
in the music. To interpret Schubert's musical conten
5 Richard Capell, Schubert's Songs (London, 1957), p. 190.
terms is to rob the song of a great deal of its subtlety.

right hand do not present the sound of horses' hoofs -
urgent, and elemental in their power. This paints a sc
scene of the terror of the main characters, the father
fits the outer scene of the forest at night in a storm
Schubert is, after all, not insensitive to such element
terior drama which is portrayed in depth (Where is t
crown and scepter?). The driving triplets do not stop
seconds of the song, but they do change, notably when
There, in the relative major, with softened dynamics,
sensuous song of the king is heard with the triplets st
triplets maintain the previous tension while enabling a
sonality to be introduced.
In programmatic interpretations of this song the ba
ously described as the roaring wind, the groans of th
as the snorts of the horse. The bass motive's function
The bass motive and the triplet figure combine to beco
symbols of the type of fear and terror which Goethe w
his poem. Here the nonprogrammatic aspects are mor
to me, than they are in Gretchen, but, once understoo
they are easier to understand in the other as well. Gret
seems to present a case for much more literal interpr
Erlkilnig, but this is just on the surface. At first glance
stantly repetitive pattern in the right hand seems to
the spinning wheel in action, especially after the clima
hesitantly to sound again, just as if it was a spinning
ingly started. Certainly the rhythmic motive in the
thought of as the pedal which sets the wheel in motion
this is too simplistic. The right-hand motive does not r
spinning wheel in operation, nor does the left-hand m
rhythm of the pedal, except in the regularity of its re
presents an example of Schubert providing musical sy
cept of circular motion, physical activity, and repetitiv
example of literal tone-painting, for the symbols a
purely musical fashion.
Let us turn to the most outstanding romantic poetr
set, the Heine songs from the Schwanengesang. These
from Schubert, it is undeniable, a new and stronger em
While this is conceded, I do not feel that the change repres
aesthetic view brought about by the poetry but rather
a deepening of every aspect of Schubert's art as a compose

development can be seen in all genres in which Schubert co
his last years. Furthermore, except for an almost uncanny c
erring instinct, and a scrupulous technique, all present her
consistency than ever before, these songs, in their construction
are in the main not basically different from the bulk of hi
for example, Der Atlas with its unparalleled force and ene
the presence of Schubert's usual technique for construc
rhythmic-melodic motive in the bass against which a repe
niment figure is played in the right hand.
Still to be discussed are some additional ways in whic

song writing differs from the romantic approach. It has
mentioned that the subjective element is not present to as
or in the same manner as in a composition by a true r
instance, Schumann, Berlioz, or Wagner. The true romant
the "radical" romantic, believed in the abandoning of old fo
evolution of new structures, the inspiration of the momen
considerations, and the freeing of art from the "chains" o
This certainly cannot be said to apply to the music of Schu
that Schubert did not hesitate to introduce striking and ev
ary changes within formal structures, especially sonata and
but these are always incorporated and absorbed into the c
tures, so that instead of weakening them or even essentia
them, he enriches them. To understand this remark one m
Schubert through fresh eyes, uncorrupted by the late nin
early twentieth century critical error of always comparing
hoven with the critical bias automatically in Beethoven's f
ven's way was viewed as the only way, and whenever Schu
and did not follow Beethoven's lead, it was because Sch
simple, too naive, and too timid, if not also too poorly trai
viewpoint and the underestimation of Schubert as "merely
poser" (with the implication that, after all, nothing very
could happen in such a small form or else Beethoven woul
it), which have resulted in Schubert being so misunder
results in bad performance of Schubert's music, for many
6 The man who really established the romantic lied, Robert Schu
ways, a paradoxical figure - one who fits all cases and none - a p
He is remarkable among the early romantics in his strong desire to p
tial forms of the classical era, but to infuse them with the new subj
tent of Romanticism.
think that the more they can make a work by Schuber

like Beethoven's music the more they can save it from i
But to return to the song in particular. In his song
ferred, or at least did not ignore, the typically classi
strophic song or some strophic structure through dev
musical material. All too often the strophic song is dis
conscious or unconscious reflection of folk music and
not to say primitive, form than the through-composed
poser to find the right melody, harmony, and accomp
for the adequate or, better yet, the perfect expressio
stanzas of a poem is a most difficult task. The compose
classical "generalization" rather than a romantic "p
Surely this is why the romantic composers seldom used
except when writing volkstiimlich songs. Even when
through-composed song, the structure is imbued with
so that the resultant composition thoroughly reflects
unity.
Schubert comes at the end of the "Classic period"; indeed he is the
final great representative of the "Viennese school" (he was the only
native Viennese among its leading members). Like Mozart, the composer
he most resembles in sheer musicality, he created little new in the way of
formal structures; instead he filled the established forms with an individual
content that is at once inimitable and unsurpassable. As Mozart trans-
formed and brought to its classic culmination the eighteenth-century piano
concerto, so Schubert transformed the song into a structure which could
contain, within its slender confines, the distillation of the most human side
of Classicism.

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The Classical Nature of Schubert's Lieder

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The Classical Nature of Schubert's Lieder

Author(s): Walter Gray

T HERE is a continuing question and problem as to how the music

of the nineteenth century.4 Then - and even today -

however, he never stated the canons of literary or mu

the verse that Schubert set were examples of romantic poetry

romantic composers. For example, Schumann's son

The romantic song aims at a similar synthesis, but one achiev

elements in the voice and piano - they seem at times almo

(measures 66-68). This is one reason why the clim

usually accompaniment motives and figures, which perfe

terms is to rob the song of a great deal of its subtlety.

a deepening of every aspect of Schubert's art as a compose

Still to be discussed are some additional ways in whic

think that the more they can make a work by Schuber

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