UMI MICROFILMED 1999INFORMATION TO USERS This manuscript has been reproduced from the microfilm master. UMI films the text directly from the original or copy submitted. Thus, some thesis and dissertation copies are in typewriter face, while others may be from any type of computer printer. The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleedthrough, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send UMI a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. Oversize materials (e.g., maps, drawings, charts) are reproduced by sectioning the original, beginning at the upper left-hand comer and continuing from left to right in equal sections with small overlaps. 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Signature “David hw un Typed name... RAVER, LEWIN, Signature neath En.An Approach to Interrelating Counterpoint and Serialism in the Music of Igor Stravinsky, Focusing on the Principal Diatonic Works of his Transitional Period A thesis presented by Christoph Neidhéfer to The Department of Music in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the subject of Music Harvard University Cambridge, Massachusetts May 1999‘UMI Number: 9935865 Copyright 1999 by Neidhofer, Christoph All rights reserved. Copyright 1999, by UMI Company. All rights reserved. ‘This microform edition is protected against unauthorized copying under Title 17, United States Code. UMI 300 North Zeeb Road Ann Arbor, MI 48103© 1999 by Christoph Neidhofer All rights reserved. iiABSTRACT This dissertation develops a theory of counterpoint for Igor Stravinsky’s early serial works from the period 1951-1954, works that lie on the composer’s path to his later fully dodecaphonic pieces. Through extended analyses of four seminal works from the period, the Cantata, Septet, Three Songs From William Shakespeare, and In Memoriam Dylan Thomas, this study shows that the non-dodecaphonic serial music of Stravinsky 2 (1) Tt maintains significant points of contact with his earlier music in the following way uses certain contrapuntal techniques already familiar in his earlier styles. (2) It employs dissonant diatonic harmonies that can suggest more than one “root.” (3) It projects (or strongly suggests) diatonic modes. In connection with these points, and in order to establish the necessary criteria for harmonic and contrapuntal analysis of the works from the period, the study first codifies the pertinent contrapuntal techniques. It then develops a theory of “Focal Pitches” to address relevant harmonic issues. “Focal Pitches” are somewhat like “roots” in an earlier sense. The analyses will show that while Stravinsky’s harmonies of the period are not vertical representations of segments from the series or transpositions thereof, the primary “Focal Pitches” projected by the harmonies generally build and interact in ways that can be derived from the series. The study also advances a theory of “Tonal Centers” related to the above. “Tonal Centers” can be assigned to more or less diatonic modes that characterize much of this iiimusic. Thus modal structure is related to the harmonic Focal Pitches, particularly at crucial cadences. Among the works which employ purely diatonic or partially chromatic series (Cantata, Septet, Three Songs From William Shakespeare ), some contrapuntal textures will be shown to be conceptually polymodal. Textures that are based on fully chromatic series (starting with Jn Memoriam Dylan Thomas), on the other hand, are shown not to be polymodal any more. The impact of that phenomenon upon Stravinsky's harmonic language is evaluated. For all the works under discussion the (hitherto mostly unpublished) autograph, and sketch materials from the Stravinsky Nachlass are consulted. They are used to provide further insights into Stravinsky's working process and are discussed in connection with theoretical and analytical aspects of the dissertation. ivAbstract CONTENTS Acknowledgements A Note on the Classification of the Manuscript Sources Chapter 1: Chapter 2: Chapter 3: Chapter 4: PART I: THEORETICAL BACKGROUND Stravinsky's Diatonic Serialism— An Example: The Second Song from Three Songs From William Shakespeare Stravinsky’s Contrapuntal Techniques Prior to the Cantata: Techniques Derived from 16" and 18% Century Contrapuntal ‘Models in Stravinsky’s Arrangements of Pergolesi and Gesualdo Contrapuntal and Harmonic Analysis 3.1. Contrapuntal Techniques in Stravinsky’s Neoclassical Period 3.2. Criteria for Harmonic Analysis Diatonic Serialism 4.1. Diatonic Modes and Chromatic Notes in Stravinsky's Early Serialism 4,2. _Enharmonicism in Stravinsky's Diatonic Serialism iii vii ix 13 31 43 SL PART II: ANALYSES - WORKS COMBINING NON-SERIAL AND Chapter 5: SERIAL DIATONIC COUNTERPOINT Cantata “A Lyke-Wake Dirge” “Ricercar I” “Ricercar II” “Westron Wind” 61 63 19 92 108Chapter 6: Septet First Movement 11S Second Movement 133 Third Movement 150 Chapter7: Three Songs From William Shakespeare “Musick to Heare” 160 “When Dasies Pied” i71 PART II: ANALYSES - WORK BASED ON FULLY SERIAL, DODECAPHONIC COUNTERPOINT Chapter 8: In Memoriam Dylan Thomas 180 ‘Appendix A: Glossary of Technical Terms Introduced in this Dissertation 189 ‘Appendix B: Some General Observations on Serial Arrays 190 Appendix C: Selected Bibliography 197 PART IV: MUSICAL EXAMPLES Examples for Chapter 1 203 Examples for Chapter 2 210 Examples for Chapter 3 222 Examples for Chapter 4 228 Examples for Chapter 5 236 Examples for Chapter 6 293 Examples for Chapter 7 331 Examples for Chapter 8 342ACKNOWLEDGMENTS During the writing of this dissertation I have been privileged to receive advice and encouragement from many people. First of all, I am particularly grateful to my advisor, Professor David Lewin, for his guidance throughout my research and for his invaluable suggestions in regard to the focus of this study. I am indebted to Professor Joseph N. Straus from the Graduate Center of the City University of New York for many insightful ‘comments during the last two years of my dissertation work. My special thanks also go to Professors Reinhold Brinkmann, Bemard Rands, and David Cohen for their scholarly advice. This dissertation would not have been possible without the generous assistance from the Paul Sacher Foundation in Basel, where I was able to examine the complete sketch materials for Stravinsky's works discussed here. I would like to thank Dr. Ulrich Mosch and Dr. Felix Meyer for their kind advice during my stays at the Archive. Work on this dissertation was supported by an Oscar S. Schafer Scholarship from Harvard University in 1997-1998. Finally, I wish to thank my parents for their continued support and encouragement. This study is dedicated to them, ‘My transcriptions of the sketches by Igor Stravinsky are reprinted by kind permission of the Paul Sacher Foundation, Basel. The musical examples from the following works by Igor Stravinsky are used by kind permission of Boosey & Hawkes, Inc. viiPulcinella Suite. Copyright 1924 by Edition Russe de Musique (Russischer ‘Musikverlag). Copyright assigned 1947 to Boosey & Hawkes, Inc., for all countries. Revised Edition © Copyright 1949 by Boosey & Hawkes, Inc. Octet. Copyright 1924 by Edition Russe de Musique (Russischer Musikverlag). Revised version Copyright 1952 by Boosey & Hawkes Inc. New York. Concerto in D. Copyright 1947 by Boosey & Hawkes, Inc. Revised version © 1961 by Boosey & Hawkes, Inc. Copyright for all countries. Cantata, © Copyright 1952 by Boosey & Hawkes Inc. in U.S.A. Septet. Copyright 1953 by Boosey & Hawkes, Inc., New York. Three Songs From William Shakespeare. Copyright 1954 by Boosey & Hawkes, Inc., New York, U.S.A. In Memoriam Dylan Thomas. Copyright 1954 by Boosey & Hawkes, Inc., New York. Monumentum Pro Gesualdo Di Venosa. © by Hawkes & Son (London), Ltd. ViiA Note on the Classification of the Manuscript Sources It is not the primary purpose of this study to portray the genesis of each work. An extended account of the manuscript sources and a detailed report of the compositional process will be given only for the “Lyke-Wake Dirges” from the Cantata. For the remaining pieces excerpts from the sketch materials will be discussed mainly in connection with theoretical and analytical aspects of the present thesis. In order to classify the manuscript sources we shall make use of four categorie sketch, draft, continuity draft, autograph full score (fair copy). The four categories are distinguished in terms of length and degree of completeness compared to the final version as follows: 1 Susannah Tucker who to this date provides the most comprehensive study of the sketches for Agon and. Canticum Sacrum proposes the following five categories: 1. sketch: scraps of paper as well as larger sheets; single ideas are worked out. 2. short score: resembles a piano reduction, usually on two to four staves. 3. sketch draft: involves a greater number of staffs, often with instrumental indications 4. full draft: complete instrumentation, contains dynamics, expression markings, accents. 5. autograph full score (fair copy). Her categories are distinguished from each other primarily by the degree of similarity to the final version in terms of texture, instrumentation, dynamics, and scoring, While her categories are designed for sketches of larger orchestral works (where orchestrating is often done in a separate step), categories 2 and 3 would als of works for smaller ensembles asthe ones dealt within this study. ‘short score” and "sketch draft” are both included in my “draft” category. Her "full draft” is roughly equivalent with my "continuity draft." However, her "sketch "category is much more restrictive than mine. Short excerpts of approximately one to two measures in which Stravinsky works out textural details — often fully orchestrated and lad out in full score ~ belong to my "sketch" category tut would fall within categories 3 or 4 of Tucker’s list. My categories take into consideration both length and similarity to the final version, hers primarily the degree of similarity to the final version (and not so much the actual length of the excerpt at hand). See Susannah Tucker, Stravinsky and His Sketches: The Composing of Agon ‘and Other Serial Works of the 1950s (Ph.D. dissertation, University of Oxford, 1992), pp. 30-34. ixCategory Texture Length of Excerpt 1. Sketch a. incomplete short or long b._fairly complete short (ca. 1-2 measures) 2. Draft fairly complete longer than a sketch (several measures) 3. Continuity Draft ? fairly complete long (encompassing several sections) 4. Autograph Full Score —_| complete complete movement (& fair copy) The distinctions among these categories are at times necessarily subjective if not arbitrary. The categories do not automatically imply a certain chronology. As will be pointed out, Stravinsky tends to jump to and fro among different sketch types. Few sketches are dated, usually those at the stage of a continuity draft or autograph full score. ‘As concerns the earlier stages one is usually left in the dark. The proposed chronologies will therefore be based primarily on content. A general description of Stravinsky’s working process will follow from the chronologies established and from a general assessment of the sketch materials in Chapters 5 to 8. 21 borrow the term "continuity draft" (coined by Joshua Rifkin) from Beethoven scholarship. See Lewis ‘Lockwood, "On Beethoven's Sketches and Autographs: Some Problems of Definition and Interpretation, ‘Acta Musicologica, 42 (1970), p. 42. Anne Shreffler also uses the term in her studies of Webern's sketches. See Anne Shreffler, Webern and the Lyric Impulse (Oxford University Press, 1994), p. 43. Webern's pieces of the period (1915-1924) are rather short and Shreffler applies the term “continuity draft” to a sketch in which “the piece is written out from beginning to end in condensed score, with instrumentation, dynamics, and articulation marks atleast partially designated" (emphasis mine). Stravinsky's movements are considerably longer and hence the term "continuity draft” seems appropriate for an advanced sketch even if itdoes not necessarily include an entire movement but only a large portion thereof.PARTI THEORETICAL BACKGROUNDCHAPTER 1 Stravinsky’s Diatonic Serialism - An Example: The Second Song from Three Songs From William Shakespeare Three Songs From William Shakespeare (1953) is the third work in which Stravinsky — still working predominantly in a diatonic idiom — started to incorporate explicitly serial elements. The various series used in this brief song cycle are developed from thematic-motivic ideas that might easily be found in Stravinsky's neoclassical style. The series are based on mainly diatonic modes. In the second and third song, in fact, the series per se do not incorporate any chromatic elements at all. The rise of serialism in Stravinsky's music is accompanied by an increased use of contrapuntal forms. For example, canonic techniques are frequently employed in Stravinsky's serial works.' Imitative counterpoint is typical for his music of the period. The “themes” and other contrapuntal layers present the (mainly diatonic) series on different transpositional levels, each of which projects its own mode. As a result, the textures are conceptually polymodal. While the mode within each serial layer stays mainly diatonic, chromaticism arises among the various transpositions of the series. In * Glenn Watkins, “The Canon and Stravinsky's Late Style,” Confronting Stravinsky (edited by Jann Pasler; Berkeley and Los Angeles: University of California Press, 1986), pp. 217-46.the following analysis of the second song from Three Songs From William Shakespeare we shall familiarize ourselves with salient features of Stravinsky’s early serialism.? The song opens with an incomplete proportion canon, which is summarized on Ex. I-1a. Voice, winds, and viola present the same “motto” at different times and. different speeds.’ In the canon, the winds’ entry transposes the viola up a (pitch class) fifth, as if for an “answer on the dominant.” The viola begins with the motto in half- notes; the winds then enter with the motto in quarter-notes. The voice begins with eighth- notes, preserving the rhythmic proportion so far, but then it switches abruptly to quarter- notes.‘ The pitch class content of the voice part in Ex. 1-1a, as regards the motto, forms a diatonic mode. It uses the pitch classes (henceforth abbreviated pcs) from a Gb-major or Eb-minor scale. The mode that arises from the motto in the wind parts contains the pes from a Db-major or Bb-minor scale. The overall texture is thus polymodal with the possibility of chromaticism arising between Cb of the voice’s mode and C natural from the winds’ mode. We shall call C and Cb a chromatic note pair (CN pair). ‘The motto proceeds mainly by intervals of a perfect fourth or fifth. In fact, the motto could be generated from a circle-of-fifths segment, as Fig. 1-1 illustrates: 2 The song sets the text of Aries song from the first act of “The Tempest.” In this song Ariel falsely announces to Ferdinand the death of his father, the King of Naples, from whom Ferdinand was separated during an ocean storm. >The timbres of the instruments create a “ringing” effect, foreshadowing the idea of a ringing knell atthe end of the piece. “ As Watkins has noted, Stravinsky's canons frequently show changes in rhythm, register, and color. See Watkins, “The Canon and Stravinsky's Late Style,” p. 220. SThave abbreviated a numberof technical terms, most of which are of my own invention. A glossary of these terms is included in Appendix A.