1. This article is based on my "Spricht der Dichter oder der Tondichter? Die multiple Persona in Robert Schumann's Heine-Liederkreis op. 24," in Schumann und seine Dichter: Bericht über das 4. Symposion am 13. und 14 Juni 1991 im Rahmen des 4. Schumann-Fests D�sseldorf, ed. Matthias Wendt, (Mainz: Schott, 1993): 18-32. I would like to thank Kofi Agawu, James Webster, Richard Cohn, and Larry Zbikowksi for their insightful comments during the gestation of this complete English revision. Translations for the songs are adapted with modifications from Eric Sams, The Songs of Robert Schumann, 2nd ed. (London: Eulenburg, 1975): 36-48.

2. Vocal pitches are thus taken to be sung by a female voice, a practice not at all untypical for Schumann, as many of his songs including Dichterliebe were premiered by women. If sung by a tenor or baritone, the registral shift would of course take place an octave lower, but still maintain the difference between a low and a high vocal register. [Ed.: The accompanying MIDI files realize the vocal part in the male register.]

3. Edward T. Cone, The Composer's Voice (Berkeley: University of California Press, 1974).

4. See Edward T. Cone, "The World of Opera and its Inhabitants," in Edward T. Cone, Music: A View from Delft, ed. Robert P. Morgan (Chicago: University of Chicago Press, 1989), 125-138; the series of articles by Fred Everett Maus, James Webster, Marion A. Guck, Charles Fisk, and Alicyn Warren in College Music Symposium 29 (1989), including Cone's responses, grew out of a special session on Cone's work at the Annual Meeting of the American Musicological Society in Baltimore. See also Peter Kivy, "Opera Talk: A Philosophical 'Phantasie,'" Cambridge Opera Journal 3 (1991), 63-77 with a reply by David Rosen: "Cone's and Kivy's 'World of Opera,'" Cambridge Opera Journal 4 (1992), 61-74; Carolyn Abbate, Unsung Voices: Opera and Musical Narrative in the Nineteenth Century (Princeton, N.J.: Princeton University Press, 1991).

5. See Richard Kurth's "Music and Poetry, a Wilderness of Doubles: Heine-Nietzsche-Schubert-Derrida," 19th-Century Music 21 (1997): 3-37, which responds to Lawrence Kramer's "The Schubert Lied: Romantic Form and Romantic Consciousness," in Schubert: Critical and Analytical Studies, ed. by Walter Frisch (Lincoln: University of Nebraska Press, 1986): 200-37.

6. In this respect my aim differs from the article by Juergen Thym and Ann Clark Fehn, "Who Is Speaking? Edward T. Cone's Concept of Persona and Wolfgang von Schweinitz's Settings of Poems by Sarah Kirsch," Journal of Musicological Research 11 (1991): 1-31. Thym and Fehn convincingly demonstrate the limitations of Cone's approach in complex cases such as von Schweinitz's cycle, a male composer setting autobiographical poems by a female poet. Ruth Solie has addressed the same problem in "Whose Life? The Gendered Self in Schumann's Frauenliebe Songs," in Music and Text: Critical Inquiries, ed. by Steven Paul Scher, (Cambridge: Cambridge University Press, 1992): 219-40. Other recent innovative studies of the nineteenth-century Lied include the fifth chapter, "Song," in Lawrence Kramer, Music and Poetry: The Nineteenth Century and After (Berkeley: University of California Press, 1984); Kofi Agawu, "Theory and Practice in the Analysis of Nineteenth-Century Lied," Music Analysis 11 (1992): 3-36; Rufus Hallmark, ed., German Lieder in the Nineteenth Century (New York: Schirmer, 1996); Deborah Stein and Robert Spillman, Poetry into Song: Performance and Analysis of Lieder (New York: Oxford University Press, 1996); Reinhold Brinkmann, Schumann und Eichendorff: Studien zum Liederkreis Opus 39 (Munich: Edition Text + Kritik, 1997); and most recently Lawrence Zbikowski, "The Blossoms of 'Trockne Blumen': Music and Text in the Early Nineteenth Century," Music Analysis 18 (1999): 307-345. The stimulating book by David Ferris, Schumann's "Eichendorff Liederkreis" and the Genre of the Romantic Cycle (New York: Oxford University Press, 2000), however, could not be taken into account after the completion of this article.

7. Edward T. Cone, "Poet's Love or Composer's Love?" in Music and Text: Critical Inquiries, ed. by Steven Paul Scher (New York: Cambridge University Press, 1992): 177-92.

8. The Composer's Voice, 3. In the Continental tradition, the equivalent concept is that of the "aesthetic subject." See, for instance, the first chapter of Carl Dahlhaus, Ludwig van Beethoven: Approaches to His Music, trans. by Mary Whittall (Oxford: Clarendon Press, 1991).

9. The Composer's Voice, 5.

10. Ibid., 16.

11. Ibid., 9-10.

12. Ibid., 23.

13. Ibid., 18.

14. Thus Goethe wrote to Zelter: "I feel that your compositions are, so to speak, identical with my songs; the music, like gas blown into a balloon, merely carries them into the heavens. With other composers, I must first observe how they have conceived my song, and what they have made of it." Quoted in Cone, "Words into Music: The Composer's Approach to the Text," Music: A View from Delft, 115.

15. "In the poem, it is the poet who speaks, albeit in the voice of a persona. In the song, it is the composer who speaks, in part through the words of the poet." The Composer's Voice, 19.

16. "Poet's Love or Composer's Love?" 177, quoting partly from The Composer's Voice, 36.

17. "Poet's Love or Composer's Love?" 181, quoting from The Composer's Voice, 17-18. Note that the song's "actual" composer is not the "empirical" composer, i.e., Schubert or Schumann.

18. See ibid., 185-87.

19. Ibid., 185. See Stein and Spillman, Poetry into Song, 97ff., for other cases where the accompaniment might be thought of as an entirely separate persona.

20. Novalis, Schriften, eds. Paul Kluckhohn, Richard Samuel, Hans-Juergen Mähl (Stuttgart: Kohlhammer, 1960ff) 3: 250-1 (fragment No. 63): "Eine ächt synthetische Person ist eine Person, die mehrere Personen zugleich ist--ein Genius. Jede Person is der Keim zu einem unendlichen Genius. Sie vermag in mehrere Person[en] zertheilt, doch auch Eine zu seyn. Die �chte Analyse der Person, als solcher bringt Personen hervor--die Person kann nur in Personen sich vereinzeln, sich zertheilen und zersetzen. . . . Jede persönliche Äusserung gehört einer bestimmten Person an. Alle �usserungen--der Person geh�ren zur unbestimmten (Universal) personalität und zu einer oder mehreren bestimmten Personalitäten zugleich--z. B. eine Äusserung, als Mensch, B�rger, Familienvater und Schriftsteller zugleich."

21. See Willy Michel, "Der 'innere Plural' in der Hermeneutik und Rollentheorie des Novalis," Die Aktualität der Fr�hromantik, eds. Jochen Hörisch and Ernst Behler (Paderborn: F. Schöningh, 1987): 33-50, esp. 44-47. Michel also discusses the sociological implications of Novalis's theory of roles.

22. Ibid., 41-43

23. Ibid., 43. Novalis, Schriften, 2: 589. "Zentripetalkraft--ist das synthetische Bestreben--Centrifugalkraft--das analytische Bestreben des Geistes--Streben nach Einheit--Streben nach Mannichfaltigkeit--durch wechselseitige Bestimmung beyder durch Einander--wird jene höhere Synthesis der Einheit und Mannichfaltigkeit selbst hervorgebracht--durch die Eins in Allem und Alles in Einem ist."

24. Novalis, Schriften 3: 290 (fragment No. 282): "Um die Stimme zu bilden muss der Mensch mehrere Stimmen sich anbilden--dadurch wird sein Organ substantieller. So um seine Individualität auszubilden muss er immer mehrere Individualitäten anzunehmen und sich zu assimilieren wissen--dadurch wird er z[um] substantiellen Individuum. Genius. . . . Alles, was der Mensch m a c h t, ist ein Mensch--oder quod idem est ein Bestandtheil des Menschen--ein Menschliches Wesen.  (W[issenschaft] Kunstw[erk] etc.)" The translation is a compromise, seeking to bring out the difference between Mensch, rendered by the noun "man" or the adjective "human," and menschliches Wesen, rendered as "human being."

25. See The Composer's Voice, 17-18. According to Michel, "Der 'innere Plural'," 44, Novalis formulates the paradox of one person in a such a way that the text has the effect of a palimpsest with a religious subtext: "Darunter scheint das denkfigurale Säkularisat der Trinitätslehre durch."

26. Wayne C. Booth, The Rhetoric of Fiction (Chicago: The University of Chicago Press, 1961), 70ff. Maus discusses the relevance of the concept to Cone's persona in "Agency in Instrumental Music and Song," College Music Symposium 29 (1989), 32-33; see also Cone's approval under "Responses,"  College Music Symposium 29 (1989), 77-78.

27. "Lieder" appear together with "Traumbilder," "Romanzen," and "Sonette" in the first part of the Buch der Lieder, entitled "Junge Leiden." Schumann probably used the first edition from 1827. See Rufus Hallmark The Genesis of Robert Schumann's "Dichterliebe" (Ann Arbor: UMI, 1979), 16. Barbara Turchin, Robert Schumann's Song Cycles in the Context of the Early Nineteenth-Century "Liederkreis" (Ph.D. diss., Columbia University, 1981), 262ff, points out that an early reviewer in the Allgemeine musikalische Zeitung criticized the unevenness of the Heine-Liederkreis, stemming in part from the "light" character of the first song. Recent analytical studies of Schumann's song cycles include: David Neumeyer, "Organic Structure and the Song Cycle: Another Look at Schumann's Dichterliebe," Music Theory Spectrum 4 (1982): 92-105; and Patrick McCreless, "Song Order in the Song Cycle: Schumann's Liederkreis op. 39," Music Analysis 5 (1986): 5-28.

28. As the anonymous reviewer in the Allgemeine Musikalische Zeitung 44 (1842), 33, remarked: "The beautiful quiet song flies by like a dream image, in order to transport again into dreaming" (Der schöne ruhige Gesang schwebt vorüber wie ein Traumgebild, um aufs Neue ins Träumen zu versetzen).

29. See David Lewin, "Some Ideas about Voice-Leading between PCSETS," Journal of Music Theory 42 (1998), 18-20.

30. Personal communication by Richard Cohn. See also his article on triadic connections and voice-leading directionality "Square Dances with Cubes," Journal of Music Theory 42 (1998), 283-96. In this context, it will be useful to point out that in Dichterliebe the trajectory of voice leading between triads is upward for the most part, but Schumann seems to imbue the succession of keys with a more complicated double trajectory that emerges from the tonal ambiguity of the first song (f#/A), and is pursued through a series of minor keys (b e a d g) and major keys (A D G C), where mode matches mood. Significantly, the double trajectory is interrupted by the ironic eleventh song ("Ein Juengling liebt' ein Mädchen") in Eb major, where for the first time the composing poet steps outside himself and narrates his story, embittered, in the third person.

31. Cone, "Poet's Love or Composer's Love," 185. Kofi Agawu, "Structural 'Highpoints' in Schumann's Dichterliebe," Music Analysis 3 (1984), 159-80, examines other responses by Schumann to Heine's ironic reversals.

32. As for instance in the otherwise outstanding recording by Brigitte Fassbänder and Irving Gage (DGG 15 519-2). For a discussion of the relevance of the concept of persona for performance see Stein and Spillman, Poetry into Song: Performance and Analysis of Lieder, 93-100.

End of footnotes