Proceedings of The National Conference

On Undergraduate Research (NCUR) 2011

Ithaca College, New York
March 31 - April 2, 2011

The Submediant Complex in Schumann’s Waldszenen, Op.82

Joseph VanderStel
College of Music
Michigan State University
East Lansing, Michigan 48825 USA

Faculty Advisor: Dr. Michael Callahan

Abstract

This paper examines the manipulation of a chromatic three-note motive (^5-^#5/♭6-^6) as a recurrent device
throughout Robert Schumann’s Waldszenen, Op.82. This work builds upon Wing Yin Cherry Li’s discussion of motivic
cross-references in Waldszenen, and Steven Laitz’s notion of the Submediant Complex. I distinguish between four
critical treatments of the motive: I will begin by presenting easily discernible appearances, which occur at the
beginnings of movements and are retained through repetition. Next, I will focus on subtler occurrences accented
through compositional techniques, including placement within a musical climax, and the modification of a thematic
reprise to articulate the motive’s presence within a theme. Analysis will then shift to broader, more obscure harmonic
contexts. The application of augmentation to encompass broader harmonic progressions, and the motive’s use to
equivocate the harmony further elucidates its ubiquity. Lastly, I will explore how altered variants serve a cadential
function. The motive’s premature termination, fragmentation, and retrograde transformation serve to direct harmonic
motion toward tonic at the end of movements. Through a synthesis of these four analyses, I demonstrate the motive’s
profound role in unifying the nine movements of Waldszenen.

Keywords: motive, Waldszenen, Submediant Complex

1. Introduction

The motive is an integral means of unifying a piece of art in the Romantic tradition, whether a symphony of Brahms or
a painting of Freidrich. Its role in musical art is more pronounced in multi-movement works, where it often functions
to bind separate movements together. Robert Schumann in particular had a propensity for interspersing his music with
motivic cross-references. His interest stemmed in part from his interest in literature, as the German Romantic writers
of his time relied on motivic connections as a narrative technique.1 In a review from 1835, Schumann remarked that
“composers should not necessarily restrict the appearance of an idea to a single movement, but should rather conceal
it, make abstruse and varied allusions to it, in subsequent movements as well.”2 Motivic allusions are incorporated
prolifically into his piano cycles, a relatively new genre during his time which he helped develop with many
significant contributions. Previous studies of motivic interplay in Schumann’s piano cycles have been within larger
attempts to understand the general methods by which Schumann achieves coherence within multi-movement works.
Peter Kaminsky focuses on the cross-referential process in the early piano cycles Papillions, Op. 2, Carnaval, Op. 9,
and Davidsbündlertänze, Op. 6, demonstrating “Schumann’s increasingly sophisticated means of achieving structural
coherence, culminating in Davidsbündlertänze.”3 Wing Yin Cherry Li shows that motivic cross-references are equally
present in Schumann’s later works in her study of Waldszenen.4 The present study narrows in on a single motive and its
ubiquity within this latter piece: the Submediant Complex (SMC).
The SMC is a notion coined and developed by Steven Laitz. While a motive is often a local device limited to specific
musical works, the SMC exhibits a global influence across the tonal repertoire. Laitz argues it is “fundamental to the
music of Viennese composers writing from the mid-1770’s to the late nineteenth century,”5 even asserting that it is “by
far the most common pitch-class motive in tonal music.”6 He focuses on its use within Schubert’s songs, and the
present essay studies its role in Waldszenen. Because the SMC is closely tied with the harmonic innovations of the
early 19th century, focusing on the work of a similar composer writing around the same period assures that Laitz’s
ideas aren’t extrapolated outside of their intended context. The scope of his analyses includes selections from a broad
repertoire of some six hundred songs, which provide the opportunity to explore the SMC in a wide range of musical
settings. Focusing on its relatively limited use in Waldszenen ignores many of the SMC’s possible applications, yet
opens the possibility for a more detailed look at specific examples.
Transposed motives retain their scale degrees respective of the transient tonics visited within modulation and
tonicisation. Pitch-class motives retain their pitch-class identity regardless of the harmonic context. The SMC falls
under the latter category, and its pitch-classes occupy the scale degrees ^5, ^#5/^♭6, and ^6 respective of the primary
tonic of the piece. Waldszenen is centered around a B♭ tonic, which means the pitch-classes of interest are F, F#/G♭,

and G. In most cases throughout the piano cycle, the SMC appears in the primary key of B♭
major. Because the pitches
remain fixed however, they can be reinterpreted as new scale degrees respective of the different key areas visited
through modulations and inner movements, an attribute which adds to the SMC’s potency. In Waldszenen, this attribute
is explored in “Jager auf der Laur” and “Vogel als Prophet,” which cast the SMC in d minor and g minor, respectively.7
The one exception in which the SMC loses its pitch-class specificity is its treatment within the theme of “Herberge.” In
this movement the SMC abandons its pitch-class identity to retain its scale degrees relative to an E♭ tonal center (with
the new pitch-classes B♭,
B♮/C♭, and C). Three explanations justify the SMC’s anomalous treatment here. It represents
what Laitz calls a “transposed echo,”8 which despite its temporary function as a transposed motive, does not detract
from its overall role as a pitch-class motive. In addition, the SMC’s use in the E♭ theme of “Herberge” alludes heavily
to its similar thematic use in “Eintritt”, creating the starkest cross-reference of the SMC in Waldszenen. But
considering the tonal organization of Waldszenen as a whole, it more importantly represents the first definitive visit to
a different major key. Every major tonal area visited up to this point is in B♭ major. The prevalence of the SMC in B♭
major makes the exception in “Herberge” an acceptable change, providing a fresh context in a new key area.9 The tonal
digression from B♭ effects the cycle as a whole, and makes the return to B♭ in the final movement (“Abschied”) more
rewarding and earned.10
The ways in which ^5, ^#5/^♭6 and ^6 are distributed and function within the framework of any particular piece vary
widely, reflecting the SMC’s malleability. With more frequent repetitions the SMC can even “appear to evolve
organically,”11 gradually changing in a way that reflects the development of the music. To provide coherence across
the movements of a piano cycle, a motive must retain its shape enough to be recognizable in different contexts. The
SMC will necessarily abdicate its amorphous nature to serve this function. Therefore, most foreground appearances of
the SMC in Waldszenen share certain characteristics which strengthen the cross-references between them. These
characteristics are present in an excerpt from Schubert’s song “Das Wirtshaus”:12

F: ^5 ^#5 ^6

Figure 1. Schubert, “Das Wirtshaus,” mm.4-5; from Winterreise, Op.89

The SMC usually occupies the bass in the harmonic progression V-V6(vii)/vi-vi, and therefore utilizes the applied
leading tone ^#5 as its middle pitch-class. This harmonic motion typically spans one or two measures within a phrase.
Despite being the most important pitch of the SMC, ^#5 falls on a weak beat as a passing motion between the
metrically stronger ^5 and ^6. The preceding rhythmic and harmonic profile is preserved completely in examples from
the sections titled, The Explicit, and The Accented featured below. The former explores how the SMC is treated at the
beginnings of movements and retained through repetition. The latter explores how it is articulated by its placement at
key moments in the music. The SMC ventures from the above model in The Subliminal, where it abandons a confined
metrical profile to incorporate larger tonal progressions. Rather than acting merely as a cross-referential device, the
SMC also helps to explain harmonic and tonal ambiguities, and becomes involved in mediant related keys. The final
section, The Terminated, touches closest to the heart of the conflict inherent in the SMC. The outcome of the musical
drama between enharmonic respellings of the middle pitch-class often determines the outcome of the music. The
synthesis of these four analyses demonstrates the SMC’s profound role in unifying the nine movements of Waldszenen.

2. The Explicit

The most emphatic cross-reference of the SMC occurs in the opening material of “Eintritt” (Entry),
“Herberge” (Hospice), and “Abschied” (Farewell). The following examples provide a frame of reference for exploring
more subtle appearances that are studied in succeeding analyses.
The SMC first occurs in m.2 of the first scene, “Eintritt”. It precedes even the melody’s introduction in m.3, and is
solidified further with the aid of a repeat. Because the piece has a rounded binary form, the motive returns in m.18
following a brief digression. Although the reprise in m.16 is not repeated as was the opening, the SMC itself is
repeated in consecutive measures by altering the harmony in m.19. The opening of “Herberge” and “Eintritt” have
only the SMC and the tempo marking in common, and their contrasting keys, melodies, textures, and characters
accentuate this sole commonality. In both openings the motive is repeated, in “Herberge” through its restatement in the
consequent phrase of the opening Parallel Progressive Period. In “Abschied”, the introductory material in m.1 is
restated almost identically in m.11. In the restatement the same right hand melody loses its tonic pedal, as the SMC
enters in the bass to force the transition harmonically to the B section.

B♭: ^5 ^#5 ^6 E♭: ^5 ^#5 ^6 B♭: ^5 ^#5 ^6

Figure 2. “Eintritt,” m.2; “Herberge,” m. 2; “Abschied,” m.12

The SMC is marked for consciousness because of its emphatic placement within thematic and introductory material,
and its repetition. Only these three examples will likely be noticeable during a careful first listen, the aware musician
perhaps recalling a recognizable thread which provides a subtle means of continuity between movements. The thread
is especially important between the first and last movements. Providing a cross-reference between outer movements
contributes to a holistic perception of the cycle, and isn’t unique to Waldszenen among Schumann’s piano cycles. In
Papillons for instance, Kaminsky identifies the return of the opening waltz in the finale as “the most extensive cross-
reference.”13 While Waldszenen doesn’t involve the recapitulation of thematic material across movements, the SMC
provides a similar means of long range cohesion.

3. The Accented

Placed at key points in the music, a motive can become more than a minor surface feature. The SMC’s placement at a
climax, and thematic recapitulation, transfer the effects of these critical events to the motive.
In “Verrufene Stelle” (Disreputable Place), the SMC receives the accent that accompanies the climax. The piece is in
d minor, a key to which the middle pitch-class F# can not be smoothly implemented. Thus the SMC is accommodated
by a modulation to B♭
major. The fore-coming modulation is hinted at in the opening two notes of the piece, D2 and
B♭2, which sound briefly as ^3 and ^1 in B♭
major. Indeed, this same figure reappears immediately following the
modulation in m.10, defining the B♭ major tonality which was ambiguously suggested earlier. With a B♭ tonic firmly
established, the SMC enters in m.15. during the climax of the piece (Figure 3). This measure includes the highest pitch
(E♭6), and the loudest dynamic (forte), followed by a general decline leading to the return of d minor in m.74. Rather
than contributing weakly within phrases as a passing motion, the SMC now represents a goal in and of itself. Although
“Verrufene Stelle” is in d minor, its preoccupation with B♭ major in mm.10-21, and the ascent and corresponding
decline bracketing m.15, suggest that the piece is structured around the motive. The role of the SMC then shifts from
providing a subtle means of association between movements, to the goal at which harmonic and melodic motion
culminate.
 B♭: ^5 ^#5 ^6

Figure 3. “Verrufene Stelle,” m.15

Schumann deliberately obscures the first measure of the theme’s return in “Herberge”, creating a delayed entrance
that accentuates the SMC. Normally, “the outset of the theme would be clear and stable, but Schumann resists this
pattern by developing an unpredictable procedure at m.25 to delay the listener’s recognition of the recapitulation.”14
The reprise occurs at m.25, but with ^6 in the bass and an obscured melody, its aural significance is undermined. The
texture and tempo of the opening theme resumes at m.26, placing the SMC at the moment of the “quasi-reprise.” The
SMC’s entrance in m.26 also differs from entrances in m.2, m.6, and m.30 in other ways. Accent markings are absent
from the SMC in m.26, and a half note C3 (^6) takes the place of the arpeggiating motion that previously suggested a
need to move onward. These slight alterations of the SMC, coupled with its placement at the reprise in m.26,
emancipate it from the theme to which it was bound at the opening. By asserting its distinct identity from the theme,
the SMC distinguishes its larger motivic role within Waldszenen. The motive’s independence of the theme of
“Herberge” is undoubtedly proven when it occurs alone in m.44.

E♭: ^5 ^#5 ^6

Figure 4. “Herberge,” mm.25-26

4. The Subliminal

In every previous appearance the SMC spans a measure in length, and occupies the lowest voice under the harmonic
progression V-V6(vii)/vi-vi, characteristics that were described in the example from Das Wirtshaus. Without these
commonalities between them, these examples would lose their cross-referential potential. In the succeeding analyses,
the SMC abandons some or all of these commonalities in order to assist larger harmonic progressions, and become
involved in other keys.
In the digression of “Eintritt”, the SMC serves to make m.8 harmonically ambiguous (Figure 5). If the motive were
absent, measures 8 and 9 could be interpreted unequivocally as an arpeggiated V7 chord, which is what sounds on the
downbeat.15 But the SMC forces this harmony to be reinterpreted as a viiø7 on the downbeat of m.9, which still seeks
a resolution to I. The further it proceeds however, the less this sounds like the dominant harmony introduced in m.8.
Indeed, this opening chord never resolves to I, but becomes a mixture pivot chord (v6--> iv6) leading to an IAC in c
minor. What then is the purpose of the SMC in this phrase, other than to simply make the harmony ambiguous? While
the previous analyses show ^6 as the root of a vi harmony, ^6 here is the 7th of a viiø7 (G4). But perhaps this G4
merely anticipates the G3 in m.11? Under this interpretation, the SMC foreshadows the coming VI7 in m.11, and the
F#4 in m.8 and m.9 serves as a premature leading tone. Although VI7 is anticipated with the leading tone (F#4-G4),
the true arrival is approached with phrygian motion (A♭3-G3). Thus the line of mm.8-11 forms a chromatic double-
neighbor around G (^6). This interpretation shows how the SMC’s chromatic passing motion is utilized over several
measures to smoothly connect the “V” of m.8 to the VI7 of m.11. A byproduct of this tonal motion is the resulting
harmonic ambiguity, which teeters on the fence of resolution.
 Figure 5. “Eintritt,” mm.8-11

In “Freundlich Landschaft” (Friendly Landscape), the motive establishes the harmonic rhythm over many measures.
At m.21 the piece has modulated to F major, or V in the home key of B♭ major. Here the harmony remains for five
measures, until F#4 in m.26 suggests a change of harmony. Indeed, in m.28 the F# is confirmed as a leading tone to G
minor, or vi in B♭ major. Taking a step back, the progression of m. 21-29 outlines V---V65/vi---vi. The heavy use of
^#5 over the V7/vi harmony suggests the voice leading motion of the SMC, ^5---^#5---^6. The second ^#5 in m.28 in
particular not only leads strongly to vi, but also ushers in the transposed restatement of the lively introduction. The
SMC occurs augmented over eight measures rather than one, yet appears above the same harmonic progression as
before. The tempo indications “etwas langsamer” and “Im Tempo” underline the transition from V to vi by stretching
out the transition in m. 27. Holding back on V/vi makes the resolution to vi as imperative as the similar moment in
mm.46-47.

Figure 6. “Freundlich Landschaft,” mm.26-29

Figure 7. “Jäger auf der Lauer,” mm.9-11

This crucial moment in “Freundlich Landschaft” is cross-referenced in m.9-10 of “Jäger auf der Lauer” (Hunters on
the Lookout). This piece is in d minor, and the V on the downbeat of m.9 is inclined to resolve to tonic as it did in m.7.
It instead moves to iv, and consequently launches the chaotic B section. V returns on the downbeat of m.10 for another
attempt to reach i, but instead resolves to V7/iv which leads to ♭II6 on beat three. As a pivot chord, ♭II6 is reinterpreted
as IV6 in B♭ major, and the modulation is secured with a PAC in m.11.16 Despite appearing in an altered harmonic
progression, the cross-reference between this example of the SMC and that in m.28 of “Freundlich Landschaft” is
strengthened by a number of similarities. Both contain the eighth note triplet figure F#-G-A-B♭. Both emphasize F# by
doubling it in octaves in the right hand, resolving to G which is also doubled at the octave (it is tripled in “Jäger auf
der Lauer”, with F#2-G2 also in the left hand). In “Jäger auf der Lauer” however, the pitches of the SMC occur amidst
a modulation, which means they now serve two different functions among both keys. In B♭ major the F# occurs first in
an ascending stepwise bass line which underlies the progression #III65-IV6-V6-I. In d minor the F# is the raised ^3 of
V7/iv. This latter role recurs on the downbeats of m. 29 and m.33, now firmly in d minor. The SMC now realizes its
potential for scale degree reinterpretation in a new key.
The SMC is incorporated into g minor in “Vogel als Prophet” (Bird as Prophet). In relation to this new tonic the
pitch-classes take on ^7, ^#7, and ^8.17 Here the SMC works as a mediator between relative keys. Although the piece
never truly modulates to B♭ major, this key area plays an important role in shaping the first 18 measures. The opening
g minor sonority establishes tonic, but it is quickly undermined by a PAC in B♭ major in m.4. The opening could now
be interpreted either as i, or as vi on its way to m.4. This ambiguity is further complicated in the following 4 measures,
which restates the opening phrase up a fifth. Both phrases end on a strong PAC in B♭ major (m.4) and F major (m.8)
respectively. The latter key becomes a V7 chord in m.9, creating an expectation to resolve back to B♭ major. The first
10 measures of “Vogel als Prophet”, despite avoiding a commitment to any particular key, make the most sense in B♭
with a half cadence in m.10. The proper resolution of the half cadence would secure B♭ as the unequivocal tonic. But
the expected arrival is thwarted, and B♭ major is abandoned for good, just as F# first starts to appear subtly in every
register. Beginning in m.11, F# works to move away from B♭ major to secure the first PAC in g minor in m.16. G
minor, which weakly appeared in the opening, is finally established as the true tonic with the help of F#. Whereas F# is
the source of harmonic ambiguity in “Eintritt,” it dispels the tonal ambiguity between relative keys in “Vogel als
Prophet.”
The examples from “Eintritt” and “Freundlich Landschaft” study how the SMC assists in the harmonic progression
from the dominant to submediant spanning whole phrases. “Jäger auf der Lauer” and “Vogel als Prophet” demonstrate
the SMC’s unique ability as a pitch-class motive to utilize new scale degrees within other closely related keys.

5. The Terminated

The SMC is centered around the dual nature of its middle pitch-class, ^#5/^♭6. ^#5 naturally implies tonicisation, often
acting as an applied leading tone which resolves upward to ^6 (vi). ^♭6 naturally implies modal mixture, and tends to
resolve downward to ^5 (V or I). In a more general sense, ^#5 directs harmonic motion away from tonic, and ^♭6 leads
harmonic motion towards tonic. The deceptive quality of #5 doggedly forces the progression to continue, often
precluding cadential arrival. The presence of ^♭6 can override ^#5 to avoid straying from tonic, which becomes
particularly imperative near an approaching cadence. Alternatively, ^#5 will override ^♭6 when a digression from tonic
is necessary, often at musically dramatic points. Depending on the context, the resolution of one will terminate the
resolution of the other.
In “Einsame Blumen”(Lonely Flowers), ^♭6 first appears in m.58 over a prolonged iiø7. This moment indicates the
first slowing of harmonic rhythm in a piece saturated with sequences and a very tenuously grounded harmonic
structure. What follows is four measures of a V pedal below a descending melodic line which culminates in ^6-^♭6-^5.
At the cadence on m.64, the harmony and melody sound like their goal has been reached with the help of ^♭6. But
tonic is unexpectedly abandoned as ^#5 stubbornly forces a digression in m.67. The second attempt at a cadence
appears to successfully reach home in m.72. But has it really? In m.73, one final dissonance ripples against tonic: the
reappearance of ^♭6 (G♭3) leading finally to ^5. This melodic motion closes what was left tonally open by ^#5 in mm.
67-68. Tracing the SMC’s role in the conclusion of “Einsame Blumen”, ^♭6 assists in the cadence in m.64, this effort is
usurped by ^#5 in m.67, and stasis is finally achieved in m.73 when ^♭6 reclaims tonic. The SMC in m.67 bears a
strong resemblance to the explicit cross-references studied earlier. These occur at the outset or in the middle of the
music, posing no threat to cadential sections. The example in m.67 is different in that it occurs near the end, amidst the
struggle to reach a definitive cadence. In this case ^♭6 must enter to forcibly effect the conclusion of the piece.
As previously discussed, a motivic entrance in m.15 of “Verrufene Stelle” is underlined through its coincidence with
the climax, not merely contributing to the tonal structure of the piece, but directing it. The events leading up to this
climax reflect the struggle of ^#5 to break from the downward pull of ^♭6. The F2 and F#2 in m.12 suggest a
continuation to G2, but an arrival is thwarted when F#2 returns instead to F2 on the downbeat of m.13. The agent at
work here is ^♭6, which occupies the right hand as G♭4 in mm.12-13. This unique example juxtaposes ^#5 and ^♭6 in
m.12, placing the dual pulls of this single pitch-class in direct conflict with one another. ^♭6 determines the outcome in
the following measure as both notes resolve down to F. The contention is ultimately won by ^#5 however, which in a
second attempt boldly reemerges during the climax in m.15. This example and the previous study of “Einsame
Blumen” reveal how the pitch-class ^#5/^♭6 can imbue the SMC with dual functions, necessitating downward
resolution in one context and upward resolution in another. When placed in close proximity, ^#5 and ^♭6 create tension
as their intended resolutions clash.
^♭6 need not be present for the deceptive motion of ^#5 to be terminated, as the following event in “Freundlich
Landschaft” demonstrates. Returning to the treatment of the SMC in mm.21-29, we recall that the sustained V
harmony which lasts for 6 measures progresses to vi via ^#5 in m.28. The story doesn’t end there however, for
following a transposed reprise of the introduction, the V pedal is revisited and held for twice as long (12 measures). As
previously in m.26, a fleeting F#4 in m.42 signals the end of V.18 This note precedes the F#3 a measure later, the root
of a vii°7/vi. But does this vii°7/vi progress where it should like the V6/vi in m.28? Here the abrupt termination of ^#5
signals the cessation of harmonic activity to prepare the approaching cadence.19 The harmony on the downbeat of m.43
is strongly inclined towards vi, but instead of resolving up to G3, the F#3 falls back to F3! The eighth-note rests in m.
43 and m.44 interrupt the flow of the left hand, contributing rhythmically to the abrupt shift in harmonic motion.
Without this termination of the progression, a modulation to V would have likely ensued, as in m.15. Such a tonal
digression would lengthen the piece considerably, putting off the return of tonic. Avoiding tangential deceptive motion
by cutting off ^#5, the V pedal that began in m.31 remains fixed to prepare for the long awaited return of I in m.47.
As the SMC is featured in the first measures of Waldszenen, it is also involved in the last measures in “Abscheid.”
The SMC works here to successfully close the piano cycle as a whole using ^♭6. In the final 14 measures of the coda,
the harmony remains close to tonic as the music becomes “Immer schwacher” (always weaker). The SMC appears
three times here, with each entrance separated by three measures. The first in m.41 bears only a semblance of the
recognizable motive, with F#4 in an upper voice exchanged to the G2 in the bass, but the deceptive motion remains
explicit. In m.44 the motive’s presence is clearer, with the familiar harmonies vii°7/vi and vi. F5(4) is a dissonant 4-3
suspension over ii, and is exchanged to F#2 and G2 in the bass. These first two instances are approached indirectly
with a ii harmony substituting the implied V harmony on the downbeat, and therefore lack ^5 in the bass. They are
enough to recollect and ponder the SMC as a nebulous afterthought, and their incompleteness serves to mitigate their
impact on tonic as the end approaches. The ultimate statement of the SMC arrives murkily in m.47, when all the
energy and drive has been drained from the music. The final effort of ^#5 to stray from tonic is in vain, as ^♭6 follows
the gravity of the cadential motion by resolving inevitably to ^5 in m.48.

6. Conclusion

Pitch-class motives naturally reflect the tonal system to which they are inextricably bound. Their unchanging pitches
defy modulation and seem to exhibit something more grounded and universal than the music they inhabit. Steven
Laitz’s Submediant Complex is perhaps the most extensive, as it can theoretically work in any tonal piece. Laitz notes
“the SMC’s potential as a unifying and referential tool sometimes extends beyond the borders of individual songs to
help unify an entire cycle,”20 and Schumann’s Waldszenen provides an excellent case study. The SMC’s importance to
this piece is demonstrated by focusing on four unique way it pervades the music. The first two explore the SMC as a
cross-referential device between movements, with each appearance retaining certain distinctive features to aid in its
recognition. These examples tend to occur at beginnings of movements, and at important musical points which
accentuate their presence. The last two sections explore how the SMC becomes involved in harmonic and tonal
processes that govern the music. It is featured in harmonically and tonally ambiguous passages, and other closely
related key areas. But the most profound impact of the SMC stems from the duality of its middle pitch class, as it will
often influence the inertia of the harmonic progression.
This study, like the SMC itself, has more than one purpose. The first is to provide a detailed analysis of a single
motive as it applies to a particular multi-movement work, in an effort to investigate the extent to which it can provide
cohesion between movements. Previous studies of motives in Schumann’s piano cycles are concerned more with the
general unification procedures he employs, and thus focus on multiple motives in addition to other means of musical
cohesion. The second purpose of this study is to better understand how the SMC functions outside Schubert’s songs,
while remaining within the context of early German Romanticism. This narrowed scope naturally opens the question
of whether his motive is as relevant to non-Germanic composers of this period, or whether its influence extends to
composers writing beyond the Common Practice Era. There is an obvious opportunity here for further inquiry.
The forest is filled with many interesting creatures,21 which the wanderer will often notice reappear, some almost
hidden from view, in different settings as he walks along the path. The wanderer’s experience is enhanced when he can
recognize one and proclaim, “Aha! I have seen you before at a different time and place! But I recognize your feathers,
as they have not changed!” Schumann has given his listeners creatures to hunt for; familiar subtleties to help them find
their way through the Waldszenen.

7. Acknowledgments

The author would like to express his sincere appreciation to his faculty advisor Dr. Michael Callahan for his unyielding
support and encouragement, and whose profound lectures in MUS280 provided the inspiration for this project.
8. References and Endnotes

1. Wing Yin Cherry Li, “Narrative and Representation in Robert Schumann’s Waldszenen Op. 82,” Ph.D. diss., The
University of British Columbia, 2009: 6
2. Ibid,. 14
3. Peter Kaminsky, “Principles of Formal Structure in Schumann's Early Piano Cycles,” Music Theory Spectrum 11/2
(1989): 225
4. Wing Yin Cherry Li, “Narrative and Representation in Robert Schumann’s Waldszenen Op. 82,” Ph.D. diss., The
University of British Columbia, 2009
5. Steven Laitz, “Pitch-class motive in the songs of Franz Schubert: the Submediant Complex,” Ph.D. diss., University
of Rochester, 1992: 341
6. Ibid,. 345
7. There may be tenuous wisps of F, F#(G♭), and G interspersed above other tonics, such as m.7 and m.8 in
“Jagdlied”. But to label every instance of these pitches as an instance of the SMC robs the motive of its
significance.
8. See endnote #10 of Steven Laitz’s “The Submediant Complex: Its Musical and Poetic Roles in Schubert’s Songs,”
Theory and Practice Vol. 21 (1996). This essay is a condensed version of the previously cited dissertation.
9. In explaining the structural role of motivic cross referencing, Kaminsky (ibid., 208) says that “untransposed
repetition is taken to signal a stronger relationship than transposed, unless the chosen transposition level itself helps
to articulate the tonal organization.”
10. Li (ibid., 12) outlines the key scheme of the piano cycle, revealing an underlying symmetry which provides further
large scale coherence.
11. Laitz (ibid,. 127)
12. Laitz studies the SMC in “Das Wirtshaus” on pg.128; Example 3.17 of his dissertation.
13. Kaminsky (ibid,. 209)
14. Li (ibid,. 31)
15. Although the absence of a C and A make this sonority indefinite, we recall the full V chord provided in the first
repeat and aurally connect the dots. Only the F and E♭ are required to make this association convincing.
16. A very similar modulation scheme is used to get from d minor to B♭ major in “Verrufene Stelle” (mm.8-9). This
modulation was understood as an important prerequisite to the SMC’s entrance in the climax.
17. Note the absence of the enharmonic middle pitch-class, ^♭8. Whereas ^♭6 is the most common chromatic note used
in major-mode compositions of the nineteenth century, ^♭8 is perhaps the rarest. Its enharmonic note ^#7 however,
is the most common chromatic note in minor-mode compositions.
18. In m.26 as a chromatic neighbor, and m.42 as a chromatic passing tone. Also note that m.42 includes a diminution
of the SMC taken from m.2.
19. The F#3 functions as a “promissory note,” although its promised resolution is never eventually realized. See Alfred
T Cone’s, “Schubert’s Promissory Note: An Exercise in Musical Hermenuetics.”19th-Century Music
5/3 (1982): 233-241
20. Laitz (ibid,. 127)
21. Heinrich Schenker often likened motives to “living creatures.” Schenker, Harmony, 6, 13.