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NOTES*Dragan Plamenac, "The Codex Faenza, Bibliotecacomunale 117," Journal of American Musicological Society,IV (1951), 179-201.2l)avid itfilde, "Transcriptions for Piano," Franz Liszt;The Man and His Music, edited by Alan Walker (London, 1970),p. 168. Wilde, p. 168. Kathleen Dale, "The Piano Music," Schumann1A Symposium, edited by Gerald Abraham (New York, 1952), p. 29. Rey M. Longyear, Nineteenth-Century Romanticism inMusic, Prentice-Hall History of Music Series (SnglewoodCliffs, 1969), p. 11. Dante Aligheri, The Inferno, translated by John Ciardi(New York, 195'*), p. i.

CHAPTER IITECHNIQUES USED 3Y SCHUMANN AND LISZTIN THAN SCRIBING PAGANINI CAPRICESThe Paganini A-flat major Caprice, Opus 1, Number 12,and the Schumann piano adaptation illustrate how a musicalcomposition may be successfully transferred to anotherinstrument without losing the character of the originalwork.This Caprice is one of the quieter and more intro-spective of Paganini*s Opus 1 studies.The perpetual motioncharacter of the work gives to it forward movement but doesnot detract from its essentially peaceful nature.Further,scoring the composition primarily within the middle and lowrange of the violin secures that instrument's capacity formellow sound and helps the constant sixteenth-note accompaniment to attain a serenity rather unexpected upon initialstudy of the score.Paganini makes frequent and effectiveuse of accents throughout this Caprice, a device which givesfurther diversification to the work's conventional harmonicand melodic structure.He also makes use of the octave leapwhich serves as a unifying device throughout.Large leapsand the accelerated tempo combine to give this work itsvirtuosic character.Schumann's A-flat major Etude, Opus 10, Number 1,remains faithful to the Paganini work.He copies the violin

part and assigns it primarily to the right hand.Thisenables the left hand to perform a rhythmic variationcharacteristic of Schumann.On the matter of Schumann*srhythmic variety, Curt Sachs offers the followingobservationssSchumann himself, together with Chopin, was aprominent leader in the rhythmic and polyrhythmicfield. In their hands, the conflicting coincidence of different rhythms reached a new heydayin a merely musical capacity without symbolic orpoetic connotations. In their pianistic polyrhythm, we can easily distinguish between twovarieties: coincident beats, but conflictingaccents; and again, conflicting beats, butcoincident accents.*/The A-flat Etude illustrates clearly the ability of Schumannto make an accompaniment figure assume a personality of itsown.The accompanying figure in the first twelve bars ofthis work, with its accent on the second, fourth, sixth,and eighth eighth-notes of each measure, puts it in "coincidental conflict'1 with the melody line played concurrently inthe right hand.P-

8sempre legatoCSQ3SS9 WMM B3S3 S3 LUSTMrifen.Fig. 1—Schumann.Opus 10, Number 1, mm. 1-12 2 This cross-accent recurs many times in the Etude.KennethKlaus has noted that "one aspect often observed in Schumannis the use of the left hand in a figuration which might bean Alberti bass but often contains hidden counterfigures.M3Schumann illustrates his fondness for disguised counterfigures when he assigns the melody line to the left handduring the course of the middle section, surrounding itwith an alternating-thirds rhythmic pattern. fJ1* — -M- m-mEg g &d « to.*fa0»0 0'*%o.-fFig. 2—Schumann.Opus 10, Number 1, mm. 35-38

While adhering closely to the Paganini score inrhythmic and melodic contours, Schumann uses greater dynamicvariance, giving to his arrangement more of the virtuosiccharacter commonly associated with etudes.This greaterdynamic contrast does not, however, alter the quiet demeanorof the original.Similarly, the cross—accents serve topropel the work forward and avoid what could becometediousness when Paganini*s ideas are transferred to theidiom of the keyboard.The A-flat Caprice by Paganini and the Schumann A-flatSEtude have identical beginnings through the twelfth measure.At this point, Schumann omits two measures of the Caprice.It is not clear why the omission occurs, since the discardedmeasures could be included in the piano version withoutcreating compositional difficulties.Schumann's treatmentof the following measures of the Caprice—Ta e traH I a e IV*0**3—Paganini.I a e IIaiiOpus 1, Number 12, ram. 9-15 — s h o w s that the transition made from the twelfth measure tothe fifteenth is, however, quite logical and succinct:

10a tempontenFig. 4--Schumann.Opus 10, Number 1, mm. 9-13The most significant revisions made by Schumann occurfollowing the repeat of the first section.The displacementof the melody to the left hand, in parts of measures thirtyfive through thirty-eight and forty-five through forty-eight,is extremely effective and so subtle that a performer notfamiliar with the violin Caprice might be misled intoseeking the melody line only in the right hand.Further, atthe fifty-second measure of the violin work, Schumanncompletely rewrites a short section, inserting his ownrecapitulation to the opening statement (measures fiftythrough sixty-three of the Etude), thus making more prominenta ternary form that, while present with Paganini, is notso striking.eresc.

11biiiiilisyyi5s43fe."IN -& 9 f5 2 8,IdTlr : :::: F4F1Fi;: H ff — J d J — - — - \ L f f4f r tJ J- -f-f Hmmrxtard.Fig. 5 — S c h u m a n n .Opus 10, Number 1, mm. 50-63Schumann was not at all reticent about altering the originalscore if he felt the piece would be improved. With hisdecision to return to the opening theme, the Etude acquiresa more balanced form which gives a greater sense of unity tothe composition.Beginning with measure sixty-four,Schumann returns to the Paganini score and follows his ideasto the conclusion of the piece.

12Schumann* s adaptation of the A-flat Caprice to piano isa curious combination of strict adherence to the Paganiniscore and a willingness to deviate in form, articulation,and use of new material.The deletion of the measuresalready discussed and the addition of others is structurallybalanced by the omission of the second repeat.use of rhythmic accents has been noted.Schumann* sBeginning in thetwenty-first measure of the violin score, Paganini makessignificant use of off-beat accents.These accents are notfollowed by Schumann who makes effective use of differentkinds of accents.These changes by Schumann, however, donot alter the flowing character of the Paganini score.Therunning sixteenth notes are an integral part of the composition, and Schumann is wise to retain them.He was able toadapt this Caprice, with some compositional changes, yet didso without disturbing the integrity of the original.The g minor Paganini Caprice, Opus 1, Number 6, wastranscribed by both Schumann and Liszt.This work posesspecific problems of adaptation to another instrument,because the idiomatic tremolo used by Paganini as an accompaniment pattern does not transfer readily to the keyboard.(Adagio)Fig. 6—Paganini.Opus 1, Number 6, m. l

13The pedal point poses a woraewhat less difficult problem, butit is one that requires compositional judgment beyondmaking a simple transfer of the notation to the keyboard.The transcriber must decide whether those changes made eitherfor facility or pianistic effect might be unfaithfulto the character of the original work.Schumann strikes out boldly in his transfer of thisCaprice to the piano.The sixty-fourth note tremolo patternof Paganini«s original is changed to a triplet sixteenthnote figure.Schumann uses this pattern throughout thepiece, as did Paganini with his accompaniment figure.Togive the sixteenth-note pattern more impetus, Schumannchanges the tempo from Adagio to non troppo lento.He alsoinserts a descending counter-melody, the chief compositionalsignificance of which is to sustain the forward thrustof the piece.anlabile* J S I'm l''\ %Fig. 7—Schumann.% * Jf I j jOpus 10, Number 2, mm. 1-4i ' / i t h his fondness for reliance upon rhythm as acompositional device, Schumann incorporates a rhythmic

Ikpattern of two-against-three.The most extensive departurefrom the Paganini work, however, is a change in character.The Caprice is quite dramatic and virtuosie, straining theperformer to technical and interpretative limits.Schumannretains the intensity and musical line of Paganini but makesfewer technical demands upon the performer.He also main-tains the pedal point effect and adds a trill, the only timehe inserts ornamentation in any of the adaptations of the/Caprices discussed.Further drive is added to the Etude bydirecting a quicker tempo at the beginning and by indicatingan accelerando in measure thirty-seven that never returns tothe original tempo.Although Schumann institutes importantchanges in the accompaniment figure, he otherwise adheresclosely to the Paganini score:an equal number of measuresare used in both compositions; the violin part is reproduced on the keyboard in the right hand; and the melodic/range of the score is copied almost entirely.This Etudedisplays Schumann*s ability to assimilate his own inventiveness with pre-existing ideas.In Franz Liszt's transcription of the g minor Caprice,/Grandes Etudes de Paganini, Number 1, he uses the first fourbars of the Paganini fifth Caprice (in a minor) as an introductory prelude, changing the key to g minor and making thefinal run in tenths.After this burst of sound, Lisztrequires of the piano an attempt to accommodate itself tothe idiom of the violin, as the violin tremolo is copied

15precisely by Liszt in the opening section of the Etude.Hedoes, however, refrain from repeating the first eighteenbars, allowing the performer an opportunity to move forwardto an equally accelerated, but easier, accompaniment figure.il canto sempre marcato ed espressivuAt.Si 6mm 6—7 simile#*/Grandes Etudes de Paganini. Number 1,There are almost no melodic changes from Paganini in thefirst thirty bars, the exceptions being a slight recomposingof the melody in measures fourteen and twenty.Only changesin octave and the placement of the original melody withinthe inner voices alter the melodic line's reflection of itsoriginal in the Caprice.Rhythmic changes are almost non-existent, not only within the first section but throughoutthe work.In the middle section, Liszt retains thevirtuosic character of the violin work but changes thecomposition to a considerable degree by assigning themelody alternately to each hand.Retaining the tremoloaccompaniment, Liszt intertwines melody and harmonic

16accompaniment in a steady crescendo of sound.The omissionof the repeat streamlines the Caprice without obscuring itsmusical contours.Liszt changes the tremolo pattern fromsixty-fourths to triplet thirty-seconds at measure eighteenand indicates an accelerando to propel the work toward itsmiddle section.At this point he also rewrites measuresthirty-two and thirty-three a half-step higher and thenreturns immediately to the Paganini score.pfftffP» Pi Ptrsgfgrtfffgpff:ffiI::s3SSESmarcati ssJig. 9—Liszt.mm. 32-3 .' ;9I * ft r : P1*:* \:»: 0:Grandes Etudes de Pagranini. Number 1.'Another compositional effect used by Liszt to heightentension is the rhythmic pattern of two-against-three.Schumann also employs this rhythmic device in the same

17/general context of his Etude (Opus 10, Number 2), as hasbeen observed previously.This will be discussed morethoroughly in Chapter III.The return to the opening motiveagain illustrates Liszt*s ability to adapt existing musicalideas to his own style.The melody is placed in the lefthand in a range two octaves lower than the original score.While this is not a precedent-shattering compositionaldecision, the effect is quite striking as it permits ageneral easing of musical tension which continues to thefinal cadenza.Paganini perpetuates the emotional intensityuntil several measures nearer the conclusion of the Capriceby keeping to the higher register of the instrument.Lisztadds a final reminder that he is not, in this piece, merelyarranging a violin work for the piano.Measures forty-sixand forty-seven of the Caprice are repeated with a carefullynoted crescendo and decrescendo leading into the finalG- major section, which serves as a springboard into thecadenza.There are a few significant differences betweenPaganini*s g minor Caprice and the Liszt g minor Etude:anintroductory preludio and final cadenza, the omission byLiszt of the repeat, and a slight rewriting of the finalsection.Yet, the fact remains that the character of theCaprice has been fully sustained.The passion, virtuosity,and intensity so notable in the violin work are kept andsometimes even extended by Liszt.

18/A comparison of the Caprices and Etudes presented thusfar illustrates Schumann's and Liszt's decisions toinstigate changes in character, to insert and deletematerial as dictated by musical judgment, to offer amodest manipulation of dynamics, and to make bold changesin some of the accompaniment figures.However, inPaganini' s M La Chasse,M the ninth Caprice of Opus 1, newopportunities are afforded the transcribers.Paganini provides quite specific instructions for theviolinist, who must first sound like a flute, then a horn,and then alternate between these tone qualities.Theinstrument permits such feats because of the difference intimbre which can be created by switching strings andoctaves, through the use of harmonics, and by the placementof the bow over the fingerboard./When a comparison is made of Schumann*s E major Etudewith this Caprice, an almost total transliteration fromviolin to piano is discovered.Both works have the samenumber of measures in the same order.Schumann almostalways uses the same octave range as Paganini and the samescale passages.Beginning at measure eighteen, however, herecomposes for the piano a very good imitation of the brokenchords Paganini writes for violin, providing an arpeggiatedleft hand chord figure distinctly different from Liszt'ssolution.Schumann's use of a legato inner voice givescontinuity and fluidity to this section.

19ir,j(ito*%L .%r j i W\r-* j 733 .JT5 s? .i*'' ' * ' J -*fjj *//i rt -Fig. 10--Schumann.Y:Jl* » 1 -i ** -fca:f.VI:'Or* : * l * 1*Opus 3, Number 2, mm. 17-26''A great deal of restraint is shown in the a minor section,considering the technical resources at Schumann*s disposal.The thirty-second note runs in the Caprice are duplicated;the hands play in octaves the first two times and in sixthsthe third and fourth times.Near the conclusion of thea minor section, Schumann inserts a simple accompanimentpattern beginning in measure seventy-eight, tying the C inthe bass into the next measure to produce an effective pedalpoint.This device is continued through the next fourmeasures where Schumann begins his characteristic use ofaccents, first on the off-beat and then on each beat, in thetransitional measures leading to the final melodicstatement.His last section, like Paganini*s, is a precisecopy of the first sixteen measures to which a final measurehas been added.This Etude may thus be called a partitionof the Paganini Caprice in which the composition is keptintact harmonically, melodically, and structurally, although

20a few measures are changed to facilitate the transfer to thekeyboard.The character of the Caprice, while somewhatsubdued, is sustained.Liszt also chose the major Caprice for piano solo.Paganini* s instructions that the instrument should imitatethe flute and horn are repeated by Liszt in the keyboardscore.He reproduced the first sixteen measures of theCaprice, which are followed by a full repetition of thismaterial, placing the violin part in the right hand with asimple accompaniment in the left.The first clear departure from the Paganini work occursat measure thirty-three with the appearance of the e minorsection, where instead of the arpeggiated violin figure,Liszt writes block chords with the melody in the middlevoice, all in a lower octave.Although he does not repro-duce the arpeggiated figure from the violin score, hisdecision to recompose achieves pianistic effectiveness.Liszt then returns to the original theme, using the sixteenmeasures he inserted previously.The a minor section, beginning at measure sixty-nine,allows Liszt the opportunity to follow Paganini*s scorequite closely and to also include some elements characteristic of his own style.The melody in this section remainsexactly as Paganini wrote it; it is even placed in theoriginal octave.But instead of the scale passages scoredby Paganini, Liszt uses white-key glissandi in sixths, for

21added sparkle and excitement.The octave skips in themelody from measure seventy-six through eighty-four and fromninety-three through one-hundred-five are as technicallydazzling on the keyboard as on the violin.Liszt increasesthe range of the final run and harmonizes it, creatingcalculated flair for the final section.In this section the composer again uses the exactmelody of Paganini but changes the octave, altering theaccompanying figure once more and, finally, adding ameasure at the end to give a firmer sense of finality thanwas found in the Paganini score.In the adaptation of this work to the keyboard, Lisztdemonstrates discriminating ability to incorporate his ownideas and style without disturbing the character of theexisting work.The technical virtuosity is skillfully keptwithin the stylistic boundaries established by the Capricewhile offering great variety for the performer.Knowing howfar a composer can go in recomposing or inserting newmaterial, by which can be measured the concept called"aesthetic judgment," is well illustrated by Liszt'stranscription of this Caprice.Liszt*s transcription of the E-flat major Caprice,Opus 1, Number 17» demonstrates his ability to adapt anopenly virtuosic piece written for another instrument to thepiano.All the cadenzas, runs, and musical climaxes withwhich Paganini challenges the violinist are sensitively

22conveyed to the idiom of the keyboard.The basic structure of the Paganini Caprice is followedsystematically by Liszt, the opening chords giving littlehint of the mood to follow.The short cadenza at thebeginning is generally retained by Liszt who adds an octaveand chords to the

translation of Dante* s Inferno, John Ciardi acknowledges the requirements, beyond technical skill, of sound artistic judgment and sensitivity to the Mself-logic" of both languages, which a successful literary translation must satisfy. He illustrates his remarks with an analogy fro