Carnaval, Op.

9, is a solo piano work composed by Robert Schumann during 1834-1835

in Leipzig. Originally named as Fasching: Schwanke auf vier Noten (Carnival: Jests on four

notes) and was dedicated to his sweetheart, Ernestine von Fricken. Nevertheless, it published as

Carnaval: Scenes nignomes sur quatre notes and committed to a well-known virtuoso Polish

violinist-composer Karol Lipinski, whom Schumann met in 1835-1836 during Lipinski's tour in

Leipzig.

In April 1834, Schumann met Ernestine, a students of Wieck1, and Schumann wrote to his

mother in the letter of July 2, 1834, said: "Two glorious women have entered our circle...The

other is Ernestine, daughter of a rich Bohemian...She is remarkably musical ---everything, in a

word, that I might wish my wife to be." 2 The Main composition idea, motif: A.S.C.H, represents

the town where Ernestine was born, located in Frontier of Bohemia & Saxony, as well as stands

for the surname of Schumann. The musical cryptogram A, E♭, C, B – signified in German as A-

Es-C-H and was alternate in two more different orders. Overall, Carnaval is a set of Quasi-

Variation based on this cryptogram which consists of 21 pieces, Schumann wrote out his

compositional idea in the No.9 "Sphinxes," but it recommends as not perform it as the music

itself. There is a long tradition of works based on motto themes, including: Art of Fugue by J.S

Bach, Berlioz’s symphony Fantastique and Berg’s Chamber concerto for violin and Winds.

In Carnaval, Schumann divided his inspiration sources into three main categories, and

although the music was written in only four different keys, our genius Schumann, uses the

relative major and minor keys, which present with same key signature to show variety, they are:

1 Friedrich Wieck:a noted German piano teacher, voice teacher, owner of a piano store, and music reviewer. He is
remembered as the teacher of both his daughter— Clara and Robert Schumann.

2 Karl Storck, The Letters of Robert Schumann. (London: Benjamin Blom, Inc. 1907), 93-94.

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The characters from the Italy in comedy "Commedia dell’arte" written in B♭ or E♭Major:

Pierrot, Arlequin, Pantalon et Colombine; Portraits of musicians mostly in keys centered around

A♭ : Chiarina, Chopin, Estrella, and Paganini; Members of Schumann's “Anti-Philistine”

society "Davidsbundler": Eusebius, Florestan, which are aspects of Schumann himslef.

Schumann’s self-comments of Carnaval as “ A higher kind of Papillons,”3 The Papillons, Op.2,

treated as a sketch for Op. 9. We also could find the materials from his other early works, such as

Davidsbundler, Op. 6. At the end of 1835, on December 22, Schumann asked Breitkopf & Hartel

if they will be willing to publish the work. The publisher had balked at it at the beginning but

finally, released the complete work in the year of 1837. During those two years, Schumann also

asked both other Publishers to see if they are interested in print out Carnaval: F.Kistner from

Leipzig and Haslinger in Vienna. Nevertheless, both companies had failed. There is a later

edition published at the end of July 1837, by Maurice Schlesinger in Paris, which contains

alternative readings---Schumann offered Carnaval as a supplement to his Gazette Musicale.4

The early appearance of Carnaval on stage has contributed by Franz Liszt which he

performed some of the pieces from Carnaval on hits concert on March 30, 1840, at Leipzig

Gewandhaus upon Schumann's consent—Liszt didn't perform the most significant work No. 1:

Preambule and No. 21 Marche des "Davidsbundler" contre les Philistins from Carnaval because

of the needs of concert programming. Schumann wrote a review of this recital in Neue

Zeitschrift fur Musik: Liszt played almost all the composition...apprised of my nagging doubts as

to whether such rhapsodic carnivalesque goings-on could make an impression on a crowd...he

3 look up the book in the 9th floor, library.

4 Ernst Herttrich, The Preface.(German: Urtext of G.Henle Verlag,2004) IV-V

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hoped so. And yet I believe he was mistaken.” In 1856, Clara Schumann performed it for the first

time in public and Carnaval has frequently appears at her private recitals. In this grand scale of

this specific solo piece, Schumann had left out many questions for us to explore its answer----

why he quotes from his unfinished work? Why there are political elements under the shadow?

Why is this piece more like a ball other than a music work?

Preambule (A♭ Major; Quasi maestoso)

This piece contains various of music elements inside. Furthermore, there is a broad connection

between Schubert and Schumann in this piece. In Schumann's letter on November 6, 1829, to

Friedrich Wieck, he wrote: “Schubert is still my 'one and only' love...Schubert unburdened his

heart on a sheet of music paper…". We can see Schumann admires Schubert's music works and

talent. Schumann also starts to write the ‘Sehnsuchtswalzervariationen’--- Variations on a Theme

by Schubert around 1833. In this Variation on the theme by Schubert, Schumann had used the

dominant materials from Schubert's Waltz, Op. 9, D 365, No. 1 as his ending section of the

variation, However, it is an unfinished work. I guess that one of the reasons that it was an

unfinished work because that Schumann has the idea of composing a variation based on

Schubert's Waltz was inspired by his close friend--- Ludwig Schuncke, who also wrote a

variation on the same theme but dead on the year of 1834. Schumann reused the beginning of his

'Schubert Variation' to start this gigantic work. Furthermore, in my point of view, the beginning

of this piece (as the same of the Variation) might also is a modified theme from Schubert's G

major sonata, D.894 since it has the same rhythmic motif (see example 1).

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Example 1: Selected Music Parts.

Schubert: Beginning Rhythmic motif of piano sonata in G, D.894.m.1-2

II
Schumann: Beginning of Carnaval, (m.1-24)

II
Schumann: Beginning of “Sehnsuchtswalzervariationen”

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 Schumann: The end of “Sehnsuchtswalzervariationen”
II
Schubert: Waltz, Op. 9, D.365, m.1-8

In general, The first and last piece of Carnaval connected like a diary without orders,

expectations and more like a game. However, if we look into it, the relationship of the first one

and last one has a massive amount of connections.

Pierrot ( E♭ Major; Moderato)

Is a character from Commedia dell’arte. Pierrot is the husband of Colombine whom likes to wear

white masks and very long costumes. He used to present as a fool, always shows sadness on his

face. His strict personality can be found from Schumann's music. Such as, the piece was written

in a Ternary form, each section has four phrases, and the music ends with an excited coda. The A

section, first seven measures, we have the motto---A, E♭, C, B(Enharmonic C♭) appeared in

the tenor voice and exchanged to soprano and alto voice (see example 2). The B section starts

from m.8, the dynamic changes, as pp - f become more extreme.

Example 2:

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 A—Es—-C—H

A—Es—-C—H

Arlequin ( B♭ Major; Vivo)

Another character from Commedia dell’arte---from "Devil" or "Demon" role in popular French

passion plays. He is a wily servant of Perriot, who loves Columbine with light-hearted and was

who lives in the moment. Harlequin used to wear chequered cloths and black masks. Alternation

of two different ideas, the motto starts the music with slurs and variety is provided, different

phrasing, dynamic changes and the staccatos as well as the dramatic leaps in this piece strongly

emphasize the personality of Harlequin. In m.27, the unpredictable ritard is just right as a fresh

breath of this lively and intelligent piece. In m. 29, the opening is presented in p, and different

pedaling. (see example 3)

Example 3:

A-Es-C-H

Valse noble ( B♭ Major; Un poco maestoso)

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Another piece was written in Ternary Form. We had the order reversed motto continued as the

main melody vocal line accompanied by a standard waltz pattern as its base. The tempo marking

Un poco maestoso as well as the dynamic f at the beginning trying to tell us that this is a grand

Viennese waltz. The A section m.1-8 had returned as A' in m.25 with a lighter texture. The main

phrase of the B section repeat twice with an unpredictable molto teneramente marked at the

climax.

Eusebius ( E♭ Major; Adagio)

Schumann used an 'E' and 'F' as the signature denotes the collaboration of the Eusebius and

Florestan at the first edition and he moved all of it from the second edition. Eusebius is one of

the two character of Schumann himself in his "Davidsbundler" society; it presents a meet,

sensitive side of Schumann. The first appearance of Both Eusebius and Florestan was on an

article on Chopin contribute to allgemeine musikalische Zeitung in 1831. 5The music have a

mirror-like structure which the A section (m.1-16) has reversed its phrase order and dynamics as

well as enrich the texture. In the beginning, the dynamic mark sotto voce leads the performers to

build up a dreamy and mysterious atmosphere which has an extreme contrast with Florestan

after it.

Florestan ( g minor; Passionato)

The long restless and unresolved chord from the beginning to the end emerged the specific

character of Florestan: The fire, unbridled side of Schumann. Sometimes, such as m.1-7, he is

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very radical, nevertheless, oddly, the melody of the first piece from Papillon, op.2 appears in m.8

and m.19 which presents the tenderness of his inner heart with unpredictable change. Start from

m.45, the ff and the accelerando pushed the whole section to its climax and continued with a

lively tempo Coquette.

Coquette ( B♭ Major; Vivo)

The piece starts on an off-beat of a 3/4 time signature within a syncopated rhythm which often

used in dance music. All dance music makes use of syncopation and it's often a vital element that

helps tie the whole track together". 6Moreover, the composer build a playful atmosphere——the

motto was hiding in the m.4 not like shown at the first measure anymore; we never have the

chance to feel the downbeat; no cadence appears in the whole passage; Accented second and

third beat on each measure.

Replique ( g minor; L’stesso tempo un poco con grazia)

Connected strict with Coquette with no breaks in between, the phrase in B♭, m. 1-4 was

answered in imitation of the key of the d minor in m. 5-8 with the same melodic line lead by

higher voice and followed by the lower part. In m.9, we finally have the parallel melodic line in

both parts accompaniment by chords and then a two measure contrary motion which land the

music on the g minor——the relative key of B♭ major. The dynamics marks were also

thoroughgoing edited by the composer.

6 Snoman, Rick (2004). Dance Music Manual: Toys, Tools, and Techniques, p.44.

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Sphinxes ( No Key signature, no tempo marking)

This unnumbered section consists three main composition jests of letters.(see example 4). The

notes in No.1 stands for S-C-H-A which represents Schumann's surname. Moreover, this four-

letter riddle happens in Chopin as Schumann imagine, compose and improvise within the style of

Chopin. The No.2: As C H is a unique music pattern which only appears pieces after papillons:

where we get into "real life" of the composer and the people in his life. As we acknowledged, the

No.3 demonstrate the hometown of Ernestine. The composer doesn't show that the Sphinxes

should be played in performance by using the renaissance period notation. Nevertheless, there

are still many well-known musician included it in their recording, such as: Sergei Rachmaninoff,

Vladimir Horowitz, Alfred Cortot, etc...

Example 4:

S——C——H——A As—-C——H A——S——C——H

Schumann’s Surname “Real Life” Hometown of Ernestine

Papillons ( B♭ Major; Prestissimo)

The Masquerade ball starts from here which also presents as the begining of Schumann's "real

world". The composer gives everyone a mask, for example: Clara as Chiarina, Chopin as a mask

of Schumann, Ernestine as Estrella. Furthermore, Not as his Papillon, Op. 2 composed in

1829-1831, we believe that this short piece might talking and draw about butterflies. Although

there is no obvious connection with Op.2. Nevertheless, the passage from m.17-32 does echo

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with the No.2 in Op.2----which right hand has the melodic lines or motives, and the left hand has

big leaps as the accompaniment (see example 5).

Example 5:
Carnaval: Papillons m.22 - 26. Motive: A-S — C-H

Leaps

Papillon, Op. 2, No.2: m.6-12.

Melody Line

Leaps

A.S.C.H.-S.C.H.A. ( E♭ Major; Presto)

This short piece is a game of "hide and seek".Although the first four letters present as Ernestine's

hometown and the second presents as Schumann. However, in this piece, we also could treat

both as the same theme with a twisted order of letters, Schumann hides his motto No.2 into the

first two beats in the first measure, and he smartly points the motto No.3 in m.25-32 by putting

accented marks and slurs on those notes---this same motto re-apears in Chopin with mask, if the

motive in Chopin presents a mask of Schumann, then the same modified motto here also

represents the mask of Schumann himself (see example 6 ). Schumann mentioned his central

tone of this piece is happily and dance by marking lettres dansantes, leggierissmio, big amount

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of staccatos and tempo mark 3/4 on the score. The irregular third and first beat accent messed

around with our rhythm which creates a more surprising mood.

Example 6: m. 25-32
E♭(S)——————-C(C)——————— -B♭(H)——————————A♭(A)

Chiarina ( C minor; Passionato)

This piece was written in Binary form. In the A section, the main phrase, m.1-8 was repeated

with octaves and larger dynamic rages in m.9-16. Obviously, Clara holds a unique spot in

Schumann's heart. The interval of a falling second is composed and used only for the music parts

stands for Clara. 7In one of the early works by Schumann—Davidsbündlertänze,Op.6, we also

can see it (see example 7). Moreover, The use of second appears in every corner in the music:

there is a second theme line underlying the "Clara theme" and also consist of descending line

from Ab to F; the left-hand base line always has a falling second as well.

Example 7:
Carnaval: Chiarina m.1-7.

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Chopin ( A♭ Major; Agitato)

We have two portraits of musician's in Carnaval: Chopin and Paganini. People used to interpret

and play it in the romantic style. I suggest, the modified motto starts in m.7 give us a signal that

this is Schumann improvised based on imitate Chopin's composition style (see example 8). The

A-S-C-H motive presents as the melodic line to end the music in m.13-14. Overall, the Chopin-

Schumann piece is like a bridge between Clara and Ernestine; all three was centered in the key of

Ab major. Oddly, we have both Chiarina and Ernestine's section written in the minor keys. If we

look closely, although Chiarina is in C minor, was a major third up from Ab, but the major and

minor key relation exists in Chopin and Estrella.

Example 8: Chopin, m. 7-8.

Es—C——H———-A

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Estrella ( f minor; Con affetto)

In Italian, Con affetto means "with love, affectionately yours". In Schumann's letter to his

mother, he mentioned that Ernestine is a dream-kind of the wife. Nevertheless, in Chiarina, the

tempo and expression marking are passionato which only described Clara's personality.

Start from Chopin; we began to walk into Schumann's life. He starts to use four flats, either Ab

major or f minor as the center of the key---except Promenade. This piece is more like a music

session with a story inside. In the A section of the this ternary from as present Schumann trying

to express his intense and warmly love and it does land on the sense of C major. After the "run

and chase" section where have the right hand always keeps an octave higher to copy the left hand

main melodic line. However, it is obvious that the passion got come down a little bit in the

returning and we finally landed in a powerful ff cadence of f minor which is unusual.

Reconnaissance ( A♭ Major; Animato)

In French, the reconnaissance means recognition. The music seems like contains a story in it,

that, Schumann met everyone in the Masquerade ball. The lively tempo marked the beginning of

a ball. the left-hand staccato and rhythm does build a joyful atmosphere. Oddly, in the middle

section, we move from Ab major to B major which treat as the enharmonic of g minor. The

“dialogue" between higher voice and lower voice dominates the section. Moreover, the motto As-

C-H in this section unfolds its variety and more possibility in this piece: the motto in the original

key at m.1; in the minor mood at m.9; in Bb at m.11; and in B major at m.17 as well as a long

sequence based on the motto from m.29-34.

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Pantalon et Colombine ( f minor, Presto)

In ‘commedia dell’ arte,’ Pantalon is a rich, picky business man who in favor of wearing red

cloth and argue with others. Colombine is a servant who can handle everything and wisely used

the bells to defense her suitor-Pantalon. The sf in each measure seems like to imitate the strike of

the bell, a powerful but very short and bell-like accent. Furthermore, this is the only piece which

written in rondo form. It might want to show a message of that life is like a circle, continues and

back to its start. The last four bars was written in F major and also works as a transition which

lighten the mood.

Valse allemande (A♭ Major; Molto vivace)

The Allemande is one of the most popular instrumental dance style origins from renaissance and

baroque period. Starts from the Classical period, it survived in Germany as a lively triple-meter

social dance related to the waltz. Schumann and Ernestine has their masks in this section. The

music story introduced the main actor and actress by giving their unique and modified motto and

the first four measures (see example 9). They start to dance, and the waltz comes out twice----

before and after the Paganini. Starts at m.9, we have amounts of staccato notes to build up a

lively speed, and mood follows by a portato section (mezzo-staccato) which makes a significant

contrast.

Example 9: Valse allemande, m. 1-4.

As—C—————H , Re-ordered: S—-A———H——C

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Paganini ( A♭ Major; Intermezzo—-Presto)

There are three fascinating effects of this piece: the name Paganini doesn't mean the composer

Paganini himself but the part written in style of his 24 Caprices for violin; Secondly, Carnaval

was originally dedicated to Ernestine, but it was committed to a violinist Lipinski at last. It is

said that Schumann has ended his relationship with Ernestine by then and start to have his eyes

on Clara;8 Lastly, we still can feel the firmly and warmly feeling from Schumann to Ernestine

from m. 25 - m. 28 which he repeat the beginning of Estrella and bring it back here (see example

10).

Example 10: Paganini, m. 25-28. Estrella, m.1-2.

A—C——-B—-D—G A——C——B-D———G

Aveu ( A♭ Major; Passionato)

8http://www.classichistory.net/archives/clara-schumann

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It seems that here Schumann express his confession of love to Ernestine. The contrary move in

both hand with octaves express his eager of love with passion. The ending with the crescendo

and connected to Promenade leads to a better situation.

Promenade ( D♭ Major; Commodo)

According to English dictionary, promenade means a"walk" or "a ceremonial opening of a

formal ball consisting of a grand march of all the guests."9 In my point of view, although the

piece was written in , nevertheless, it contains hemiola of mixture with in many

places. Such as, in the beginning, the first four measure build a sense in two at the m.1-2 and

connects to a in m.5 (see example 11). Furthermore, I think both characters of "walking" and

"ball" has appeared in the music——the first half, from m.1 to m. 55 is like a rondo with

comfortable walking speed; it also contains the iconic rhythm of "Ländler"---- a folk dance in

time which was popular in Austria (see example 10). However, the second part which from the

m.56, the gentle walk turns into a more dance-like section and the continuous waltz pattern in the

left hand also brings us to a dance party.

Example 11: Promenade, m.1-7.

the “Ländler Rhythm”

9https://www.merriam-webster.com/dictionary/promenade

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Pause ( A♭ Major; Vivo)

The pause is quoted from the first piece, the 'Preambule.' In my point of view, it's more works as

a bridge between the main materials and the ending. In the Preambule, the "pause" has directly

connected with the coda in 'presto'. Let's looks this in another way and have a crazy guess that,

can we treat the whole section of the last movement, the marche des "davidsbundler" contre les

philistins as a continuous section of the first piece which contains many different episodes

connected by Pause marked with tempo marking vivo? If so, the big picture of the Carnaval has

been drawn out as a grand ball with many faces appears in it.

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