Lin Yung-Yu 202011 DMA Thesis (Rochberg)

A Performance Guide to George Rochberg’s
Caprice Variations for Solo Violin
by
YUNG-YU LIN
A thesis submitted in conformity with the requirements

for the degree of Doctor of Musical Arts
Faculty of Music
University of Toronto
© Copyright by YUNG-YU LIN 2020

A Performance Guide to George Rochberg’s
Caprice Variations for Solo Violin
YUNG-YU LIN
Doctor of Musical Arts
Faculty of Music
University of Toronto
2020
Abstract
The American composer George Rochberg’s Caprice Variations, composed in 1970, draws on a
vast array of historical stylistic references from the Baroque to the modern musical periods. For
Rochberg serialism, arguably the most influential compositional technique of the twentieth
century, could no longer convey the full extent of what he wanted to express in his music. After
the death of his son Paul in 1964, he determined to renew his musical language by returning to
tonality, yet without abandoning a twentieth-century musical idiom. His Caprice Variations
marks one of his first attempts to bring together the two polar opposite worlds of tonality and
atonality.
This one-and-a-half-hour-long work for solo violin is based on the theme from Paganini’s
24 Caprices for Solo Violin, Op.1, No. 24, and presents a wide range of technical challenges for
the violinist. Since the piece is long, difficult to play, and now fifty years old, a performance
guide to assist violinists is a useful contribution to the pedagogical literature. With a thorough
analysis of the piece, and a consideration of both compositional and violin practice issues, as
well as discussions with the original editor of the work and two violinists who have recorded it,
ii
my research will offer a complete performance guide for performers, advanced violin students,
and violin teachers to assist them in achieving a deeper understanding of the work and a high
level of artistic performance.
The first and second chapter of this thesis offer a biographical background of George
Rochberg and a literature review. In Chapter Three, each variation is approached from a
theoretical perspective, analyzing the relationship to the theme and the stylistic references.
Chapter Four provides an analytical practice guide for performers. A practical solution regarding
technical difficulties is offered, as well as interpretative suggestions. Chapter Five presents
interviews with the editor Lewis Kaplan and the performers, Andrew Jennings and Peter
Sheppard Skæ rved, who have recorded the whole work.
iii
Acknowledgments
I would like to express my sincere gratitude to Professor Robin Elliott, my supervisor and
mentor, who gave generously of his time and experience in the guidance of my research and
writing, who has always been patient and positive about my work, who has given me wonderful
opportunities, and who has given me his full support since the beginning of my DMA.
I acknowledge my great debt to Professor Timothy Ying, my violin teacher for the last four years
and my thesis advisory committee member, who taught me to be a better violinist and inspired
me with creative ideas, who provided me with his intellectual insights regarding my research
problems, and who was a great role model in motivating me to be a better teacher and better
human being.
I would like to thank my advisory committee member Prof. Cameron Walter, and examiners
Prof. Sebastian Bisciglia and Prof. Allan Gillmor for their time, their support, and their insightful
comments and suggestions.
I would like to thank my interviewees Lewis Kaplan, Andrew Jennings and Peter Sheppard
Skæ rved, who graciously shared their knowledge about the Caprice Variations and their
experience working with George Rochberg. I would also like to thank George Rochberg’s
daughter, Prof. Christina Rochberg, for her immediate agreement to let me reproduce some pages
from Rochberg’s manuscripts in my thesis.
This research would not have been completed without the support of my DMA colleagues: thank
you to Kevin Zi-Xiao He for his generosity in sharing his expertise in post-tonal theory, as well
as to my DMA strings colleagues for inspiring and motivating me.
I would like to thank my best friend and partner Zheng Gong, who has been my best listener and
supporter.
I owe an immense debt of gratitude to my parents Che-Yin Timathy Lin and Chia-Chih Liu, who
have been supporting me both financially and mentally throughout my life. My father Timathy is
always my role model for being passionate about the things he loves. And finally thank you to
iv
my Aunt Shu-Lian Liou, who has offered tremendous support both financially and mentally.
v
Table of Contents
Acknowledgments.......................................................................................................................... iv
Table of Contents ........................................................................................................................... vi
List of Tables ............................................................................................................................... vix
List of Plates ....................................................................................................................................x
List of Figures ................................................................................................................................ xi
Chapter 1 George Rochberg and the Test of Time ..........................................................................1
1.1 Overview ..............................................................................................................................1
1.2 Rochberg as a non-String Player........................................................................................18
Chapter 2 Background to Caprice Variations and Literature Review ...........................................22
2.1 Background to Caprice Variations ....................................................................................22
2.2 Literature Review of Caprice Variations ..........................................................................24
2.2.1 Printed Sources ......................................................................................................24
2.2.2 Online Sources .......................................................................................................26
2.3 Reception ...........................................................................................................................27
Chapter 3 “A Garden of All Sorts of Possibilities”: ......................................................................30
Musical Quotation and Stylistic Reference in Caprice Variations ................................................30
3.1 Introduction ........................................................................................................................30
3.2 Group 1 ..............................................................................................................................34
3.3 Group 2 ..............................................................................................................................44
3.4 Group 3 ..............................................................................................................................47
3.5 Conclusion .........................................................................................................................62
Chapter 4 Beyond Virtuosity: An Analytical Practice Guide to Caprice Variations ....................63
4.1 Introduction ........................................................................................................................63
4.2 Level A...............................................................................................................................65
4.3 Level B ...............................................................................................................................66

vi
4.4 Level C ...............................................................................................................................73
4.5 Level D...............................................................................................................................83
4.6 Level E ...............................................................................................................................88
Chapter 5 Interviews ......................................................................................................................92
5.1 Introduction ........................................................................................................................92
5.2 Lewis Kaplan .....................................................................................................................92
5.2.1 About......................................................................................................................92
5.2.2 Lewis Kaplan on his relationship with Rochberg ..................................................93
5.2.3 Kaplan as editor of the Caprice Variations ...........................................................94
5.2.4 The premiere ..........................................................................................................95
5.2.5 The relationship with Rochberg ends ....................................................................95
5.2.6 About Caprice Variations ......................................................................................95
5.3 Andrew Jennings ................................................................................................................98
5.3.1 About......................................................................................................................98
5.3.2 Jennings’ relationship with Rochberg ....................................................................98
5.3.3 First encountering Caprice Variations...................................................................99
5.3.4 Recording the Caprice Variations on YouTube ..................................................100
5.3.5 Pedagogical Approaches ......................................................................................103
5.4 Peter Sheppard Skæ rved ..................................................................................................105
5.4.1 About....................................................................................................................105
5.4.2 Skæ rved on his relationship with Rochberg ........................................................105
5.4.3 Encountering the Caprice Variations ..................................................................107
5.4.4 Thoughts about recording Caprice Variations ....................................................108
5.4.5 Thoughts on Caprice Variations..........................................................................108
vii
5.5 Conclusion .......................................................................................................................110
Chapter 6 Conclusion ...................................................................................................................112
Bibliography ................................................................................................................................115
Discography .................................................................................................................................115
viii
List of Tables
Table 1: Grouping based on relationship to Paganini’s theme
Table 2: Difficulty levels in Caprice Variations
Table 3: Hierarchy of the note length in Variation No. 20
ix
List of Plates
Plate 1: Rochberg’s Caprice Variations manuscript (NYPL), Variation No. 36
Plate 4: Rochberg’s manuscript of Caprice Variations owned by Lewis Kaplan, No. 15
Plate 5: Kaplan’s signature on the publication of Rochberg Caprice Variations
Plate 6: Jennings’ signature on the publication of Rochberg Caprice Variations
x
List of Figures
Figure 1: Rochberg, Second Symphony, Opening
Figure 2: Rochberg, Second Symphony, Ending
Figure 3: Rochberg, Third String Quartet, Opening
Figure 4 Rochberg, Caprice Variations, No. 18
Figure 5: Rochberg, Third String Quartet, I, bars 128 to 132 (violin and cello)
Figure 6: Richard Wagner, Die Walküre, Act I, scene ii (Siegmund/orchestra)
Figure 7: Rochberg, Third String Quartet, V, Opening
Figure 8: Rochberg, Third String Quartet, Fifth movement, bar. 161
Figure 9a: Paganini’s theme, 24 Caprices for Solo Violin, Op. 1, no. 24
Figure 9b: Rochberg’s theme from Caprice Variations
Figure 9c: Brahms’ version of the Paganini theme, from his Variations on a Theme by Paganini,
Op. 35, Book I (opening)
Figure 10a: Paganini’s theme No. 24, Op. 1
Figure 10b: Rochberg Caprice Variations, No. 1, bars 8 to 12
Figure 10c: Rochberg Caprice Variations, No. 2, bars 22 to end
Figure 11: Rochberg Caprice Variations, No. 6, complete
Figure 12: Brahms Variations on a Theme of Paganini, Op. 35, Book I, no. 2
Figure 13a: Rochberg Caprice Variations, No. 7, motif A
Figure 13b: Rochberg Caprice Variations, No. 7, motif B

xi
Figure 14: Schubert Waltz Op. 9, no. 22 (cf. Rochberg Caprice Variations, No. 8)
Figure 15: Rochberg Caprice Variations, No. 21, bars 11 to the end
Figure 17: Rochberg Caprice Variations, No. 22, bars 1–7
Figure 18: Rochberg String Quartet No. 3, opening of the third movement
Figure 19: Rochberg String Quartet No. 3, fifth movement (opening)
Figure 20: Rochberg String Quartet No. 3, fourth movement, bars 39 to 48
Figure 21a: Rochberg Caprice Variations, No. 41 (complete)
Figure 21b: Webern Passacaglia, Op. 1, starting three bars before rehearsal number 23
Figure 22: Rochberg Caprice Variations No. 42, complete, showing the relationship to
Paganini’s theme
Figure 23: Octatonic Scales in Rochberg Caprice Variations, No. 45 (complete)
Figure 24: Rochberg Caprice Variations No. 48 (complete)
Figure 25: Rochberg Caprice Variations, No. 18 (bars 1–5)
Figure 26. Paganini Caprice Op. 1, No. 24, Variation No. 8
Figure 27a: Rochberg Caprice Variations, No. 1, bar. 7
Figure 27b: Exercise
xii
Chapter 1
George Rochberg and the Test of Time
1.1 Overview
George Rochberg was born on July 5, 1918 in Paterson, New Jersey, to an immigrant Ukrainian-
Jewish family. His mother Anna and his father Morris, who was an upholsterer, had immigrated
to the United States in 1912. Rochberg had one brother, Samuel, who was three years older, and
a sister, Lillian, who was five years younger. A year after Rochberg’s birth the family moved to
Passaic, New Jersey, which is just fifteen miles from New York City. At the age of 10, Rochberg
started having piano lessons with Kathleen Hall, and he switched to Julius Koehl two years later.
Koehl was a Brooklyn pianist who performed frequently in New York City; he and Rochberg
performed piano duets on radio in New York in 1933 and 1934.
Rochberg entered Montclair State Teachers College in New Jersey in 1935 and graduated in
1939. During his studies in the teachers college, he sang in the bass section of the college choir,
worked as a composer and pianist in the college dance club, and studied voice privately with
Mildred Ippolito. It was also at Montclair that he met Gene Rosenfeld, who would later become
his wife. After getting his BA degree from Montclair State College, he attended the Mannes
School of Music in New York to study composition. His teachers there included the theorist
Hans Weisse, a pupil of Heinrich Schenker (1939); Leopold Mannes, the director of the school
(1940); and the conductor George Szell (1941–1942).
In 1941, Rochberg married Gene Rosenfeld, who became his life-long partner and assisted his
career. They then moved to New York City. However, he was forced to stop his school studies
when he was drafted into the army to serve as an infantry lieutenant a year later. While Rochberg
was still serving in the army, indeed not long after he was seriously wounded during the
Normandy invasion in June 1944, their son Paul was born. Rochberg was discharged from the
army in 1945. He resumed his studies and attended Curtis Institute of Music, where he studied
with the composers Rosario Scalero (1945–1946) and Gian Carlo Menotti (1946–1947).
Rochberg received a Bachelor of Music degree from the Curtis Institute of Music in 1947.
In his very early years of composing, before 1950, Rochberg was influenced by the musical
language of Bartók, Stravinsky, Berg, and Schoenberg, like many composers who sought new
1
directions in writing serious music after the Second World War.1 A lot of his compositions
before the 1950s remained unpublished or else were revised later. The first version of Symphony
No. 1, in three movements, was composed in 1948–1949, but it was not published until 1957,
and then it was revised into a five-movement version in 1977.
Like many composers in the mid-twentieth century, Rochberg established himself as a serial
composer in the beginning years of his career. He had studied serial techniques on his own for
ten years. The studies that he undertook in Rome during the 1950–51 academic year, financed by
Fulbright and American Academy fellowships, contributed to the use of serial techniques in his
early music. This was because Luigi Dallapiccola, the Italian serial composer, had a big
influence on Rochberg’s ideas about composition. Rochberg’s first serial work, Twelve
Bagatelles (1952) is dedicated to Luigi Dallapiccola, and was an important initial step for
Rochberg. Many compositions were written in a serial musical language from then on, including
Chamber Symphony (1952), David the Psalmist (1954), Symphony No. 2 (1956), and the
Second String Quartet (1961). He also became a theorist of serial music, publishing a book titled
The Hexachord and its Relation to the Twelve-Tone Row in 1955 about serial compositional
approaches.2
Rochberg’s serialism is renowned for its individuality. He learned the nature of serial techniques
from the music of Schoenberg, Berg, and Webern and then developed his own serial style. In his
Second Symphony, premiered by George Szell and the Cleveland Orchestra in 1959, he
experimented with Stravinskian neoclassicism and the Beethovenian symphonic archetype by
using tonal references and a dramatic opening gesture. As a result, the sound of the work reflects
little influence from the Second Viennese School. The symphony opens with a dramatic gesture
that contains tonal references. The opening statement arrives on a tonal centre of E from A
(Figure 1). The end of the symphony closes from C to F (Figure 2). The work shows the
influence of Stravinsky’s neoclassicism, with clear tonal references.3 Rochberg followed the path
1
Joan DeVee Dixon, George Rochberg: A Bio-Bibliographic Guide to His Life and Works (United States:
Pendragon Press, 1992), 151.
2
George Rochberg, The Hexachord and Its Relation to the 12-Tone Row (Bryn Mawr, Pa: Presser), 1955.
3
Kenneth Gloag, Postmodernism in Music (Cambridge: Cambridge University Press), 2012, 75–99.
2
of the Second Viennese School, but also developed his unique serial style by adding
expressiveness; in his own words his aim was to “make it melodic”.4
Figure 1: Rochberg, Second Symphony, Opening
4
Mary Rameaka Campbell, “Tonal Reform or Radical Tonality? A Study of Neoromanticism in American Music,
with an Emphasis on the Music and Thought of George Rochberg, David Del Tredici, and Stephen Albert,” (PhD
diss., University of Connecticut, 1994), 28.
3
Figure 2: Rochberg, Second Symphony, Ending
4
While Rochberg has stated that his break with serialism resulted from the death of his beloved
son Paul in 1964, nevertheless his dissatisfaction with serialism began earlier in his career, when
he began to question twelve-tone and serial techniques.5 An early sign can be found from his
review of Pierre Boulez’s Structures (Book I) for two pianos. Rochberg harshly criticized Boulez
for his use of serialism, saying that he was ignoring “the non-rational side of the human spirit.”6
The desire to use tonality emerged as he questioned fundamental aesthetic and compositional
ideas more. In 1961, Rochberg joined the faculty of University of Pennsylvania and became the
chair of its music department. Two years after, his last twelve-tone work, First Piano Trio
(1963), marked the end of his serial period.
Rochberg gradually came to the conclusion that serialism projected only the surface of human
feeling while tonal music conveyed the central core of it.7 In 1964, a sudden family tragedy
struck Rochberg forcefully and led him to the break from serialism; his twenty-year-old son
Paul, who was a talented poet, passed away from a brain tumour, two months after his twentieth
birthday. For Rochberg, serialism made music too intense all the time and posed limitations on
expressiveness. As he said, “After Paul died, that absolutely made it necessary for me to wash
my hands of the whole thing.” The whole thing he was referring to was serialism.8 “It was a
catalyst,” he told Robert Reilly about his son’s death in an interview in 2002.9 He found that
serial music could no longer express what he wanted to say in music. As he recalled in an
interview with Lorrell Holtz-Oxley for Naxos Records in 2003, “I wanted to be able to express
joyfulness, serenity, tranquility, strong feelings, passionate feelings, but in a tonal way.”10 On
5
Amy Lynn Wlodarski, George Rochberg, American Composer: Personal Trauma and Artistic Creativity
(Rochester: University of Rochester Press, 2019). In Chapter Two, Wlodarski claimed that Rochberg’s decision to
discontinue writing in serialism did not completely result from one incident, the death of his son, but a long-term
progression updating his musical languages.
6
Alan Gillmor, “The Apostasy of George Rochberg,” Intersections: Canadian Journal of Music 29, no. 1 (2009):
34.
7
George Rochberg, “Metamorphosis of a 20th-Century Composer,” interview by Guy Freedman, Music Journal 34,
no. 3 (March 1976): 12.
8
Dixon, George Rochberg, 10–12.
9
Robert R. Reilly and George Rochberg, “The Recovery of Modern Music: George Rochberg in Conversation,”
Tempo, no. 219 (2002): 8–12.
10
Lorrell Holtz-Oxley, “The Legacy of George Rochberg,” News, Naxos Records, accessed November 23, 2017,
https://www.naxos.com/news/default.asp?pn=News&displayMenu=Interviews&op=news105.
5
another occasion, in the interview with Robert Reilly, he elaborated further upon his feelings at
this time of sorrow and how they had an impact on his compositional style:
I couldn’t breathe anymore. I needed air. I was tired of the same round of
manipulating the pitches, vertically and horizontally. It wasn’t so much that the
scales were out of the running, arpeggios were out of the running, octave passages
were out of the running, etc., anything that could possibly smack of the habits of
composing fifty years earlier, or even contemporaneously the way a Stravinsky or
a Bartók would operate, what I finally realized was that there were no cadences,
that you can’t come to a natural pause, that you can’t write a musical comma,
colon, semicolon, dash, for dramatic, expressive purposes, or to enclose a
thought … There is everything artificial about it.11
Rochberg certainly felt that tonality could express emotions more powerfully than serial music.
However, he was not yet ready to use tonality without reservations, so he began to quote music
from the past to realize his desire to incorporate tonality into his own musical language.12 His
first composition to experiment with juxtaposing quotations and newly-composed music was
Contra Mortem et Tempus for violin, flute, clarinet, and piano (1965). He borrowed music from
Varèse, Ives, Boulez, Berio, Berg, Webern, and his own previous work Dialogue, and
transformed them into his own language by changing the rhythms and other approaches to fit
into the context. The method he used to quote music from other works at this stage is called
“collage”.13 Despite the fact that Contra Mortem et Tempus briefly quotes music from past
composers, the musical idiom of the work itself is still largely atonal.
In Music for the Magic Theater (1965) Rochberg quoted longer sections of music from past
masters and mixed it with atonality. He quoted from Beethoven, Mozart, Mahler, Varèse,
Webern, Stockhausen and his own Sonata-Fantasia for piano. Unlike the case in Contra Mortem
et Tempus, Rochberg juxtaposed several musical materials simultaneously. He placed a Mozart
11
Tempo, no. 219 (2002): 8–12; quoted passage is from p. 9.
12
Dixon, George Rochberg, 141.
13
Kenneth Gloag, Postmodernism in Music (Cambridge: Cambridge University Press, 2012), 84.
6
quotation in juxtaposition with conflicting atonal music in the woodwinds. Another work using
musical collage is Nach Bach, for harpsichord or piano (1966). Rochberg uses Bach’s Partita
No. 6 as source material, and adds to it quotations from Chopin, Brahms, and Schumann.
Similarly, in his Symphony No. 3 (1969) Rochberg quoted from Beethoven’s symphonies,
Schütz, Bach, and Ives.
Continuing his path of returning to tonality by musical quotation, Rochberg’s next step was to go
even further and bolder. In Caprice Variations for solo violin (1970), he expanded one theme to
fifty variations by quoting existing music, referring to different historical musical styles, and
combining post-tonal and atonal approaches, The variations are based on the famous theme of
Paganini’s Caprice Op. 1, no. 24, which is placed at the end of the work, after fifty variations on
the theme have been presented. The work is a musical journey in time, travelling back and forth
from Baroque to Modern within the harmonic frame of Paganini’s theme. Each of the fifty
variations has a specific style or quotation, with existing music from Beethoven, Brahms,
Schubert, Mahler, and Webern adapted to Paganini’s harmonic framework in some of the
variations. Rochberg was inspired to write this 90-minute long work for solo violin by the talent
of a promising young violinist on the one hand, and by his daughter Chessie’s ballet performance
that was choreographed to Brahms’ Variations on a Theme of Paganini, Op. 35 on the other.
After composing Caprice Variations, Rochberg was certain about his new direction of returning
to tonality.14 With all the possibilities in hand, Rochberg made good use of his new stylistic
idiom in the Third String Quartet (1972). He then updated his approach of musical collage and
cultivated his style of Ars Combinatoria, as he termed it. He incorporated as many possibilities
as possible, from quotation and historical allusions to newly-composed tonal and atonal works.
As Rochberg stated, Ars Combinatoria opens up the broadest musical languages for composers,
so they no longer restricted themselves to write in a consistent style.15 In this five-movement
14
In Eagle Minds, p. 80, Rochberg’s letter to Istvan Anhalt expressed his confidence in writing multi musical
languages. “I passed the stage of writing tonally from a sense of irony to simply writing it. I’m more than ever
convinced of the necessity to speak many languages – dialects to be more precise – & to match the gesture with
appropriate expression. My recent listening experiences confirm that contemporary music (or what we call
‘contemporary music’) is a limited palette of essentially neurotic, constricted gestures.”
15
George Rochberg, Five Lines, Four Spaces: The World of My Music, ed. Gene Rochberg and Richard Griscom
(United States: University of Illinois Press, 2009), 120.
7
Third String Quartet, everything is newly-composed, but there are obvious allusions to
Stravinsky, Schoenberg, Bartók, Beethoven, Mahler, and Wagner.16
Atonality is presented in the first, second, fourth, and fifth movements. The first movement is
mostly in an atonal musical language consisting of juxtapositions of six musical units. The first
musical unit quotes from Caprice Variations No. 18 (Figures 3 and 4). The second and fourth
movement use stylistic allusions to Bartók and Stravinsky, with a strong rhythmic impulse
pattern that creates a primitive dance pulse. The Stravinskian features include frequent changes
of time signature, ostinati in fifths with short articulation, and accents on weak beats. The fifth
movement juxtaposes atonal and tonal sections. The atonal Scherzo section presents a mood of
anxious emotion and darkness, completely contrasting with the lively tonal sections.
Mark Berry, “Music, Postmodernism, and George Rochberg’s Third String Quartet,” in Postmodern
16
Music/Postmodern Thought, ed. Judy Lochead and Joseph Auner (London and New York: Routledge, 2002), 243.
8
Figure 3: Rochberg, Third String Quartet, Opening
Figure 4 Rochberg, Caprice Variations, No. 18
Tonality is used in the first, third, and fifth movements. A veiled quotation from Wagner is
presented in bars 128 to 132 (Figure 5). This is the only music with text Rochberg quoted in the
Third String Quartet. The allusion is to Wagner’s Die Walküre, Act I, scene ii, where Siegmund
sings “warum ich Friedmund nicht heiße!” (“Why I cannot be called peaceful!”). At this point in
the opera, Siegmund discloses to Hunding and Sieglinde that family foes killed his mother and
he cannot find his father and sister (Figure 6). The quotation possibly reveals Rochberg’s deep
sorrow for the loss of his son and his own inability to find peace after that tragic loss.17
17
Robin Elliott, Unpublished Lecture on Rochberg’s Third String Quartet, undated (ca. 2004).
9
Figure 5: Rochberg, Third String Quartet, I, bars 128 to 132 (violin and cello)
Figure 6: Richard Wagner, Die Walküre, Act I, scene ii (Siegmund/orchestra)
The allusions to Beethoven are found in the third and fifth movements. The harmonic
progression and linear motion are referring to Beethoven’s style. The third movement consists of
a theme and six variations. In the first sixteen measures, the Beethoven allusion is realized with
clear I–V–I harmonic motion and eight-bar phrases (Figure 7). The stepwise linear motion in
each voice and dissonance resolving to tonic or dominant chords represent the practice of
traditional harmony and counterpoint. The mix of styles in the first four movements is also seen
in the fifth movement with its juxtaposition of atonal and tonal passages. In the fifth movement,
titled Serenade, there is a paraphrase from the first movement of Mahler’s Symphony No. 1.
Rochberg applied harmonic progressions, pedals, and sudden leaps in the melodic contour, as
well as the general character of the Mahler quotation.18 In bars 161 and 162 of Third String
Quartet, Rochberg stated the musical unit twice on I, and then he went to V7 for one whole
18
Jay Reise, “Rochberg the Progressive,” Perspectives of New Music 19, no. 1/2 (1980), 395–407.
10
measure, arriving on I in the next measure (Figure 8). The harmonic progression is the same as
that found five bars after Rehearsal Number 9 in Mahler’s Symphony No. 1, first movement.
Figure 7: Rochberg, Third String Quartet, V, Opening
11
Figure 8: Rochberg, Third String Quartet, Fifth movement, bar. 161
By juxtaposing musical materials, paraphrasing the music of composers from the past, and
writing in an historical idiom, Rochberg took the essence from past masters and combined them
in new and stimulating ways. Tonality and atonality reach a fine balance, with each idiom
sharing about half of the piece. The Third String Quartet, commissioned and premiered by the
Concord String Quartet, won the Naumburg Chamber Composition Award in 1972. Rochberg
arranged the third movement for string orchestra Transcendental Variations in 1975 on
conductor Vilem Sokol’s suggestion.
Caprice Variations and the Third String Quartet are not the only two compositions Rochberg
finished in the early 1970s that explore his new musical language. Other works include
Symphony No. 3 for Vocal Soloists, Chamber Chorus, Double Chorus, and Large Orchestra,
commissioned by the Juilliard School of Music (1970), Carnival Music for solo piano (1971),
and Ukiyo-e for Harp (1973). He had confirmed Ars Combinatoria as his new style and realized
it in all these works. Symphony No. 3 is more a Passion than a symphony. The texts are based on
12
sacred works of three past masters, Schütz, Bach, and Beethoven, and Rochberg used musical
references from Bach, Beethoven, Mahler, Schütz, and Ives. He not only quoted music from
them, but also transformed it to serve the text, content, and harmony. Near the end of the work,
Rochberg mixed the coda of the first movement of Beethoven’s Ninth Symphony together with a
cantata by Heinrich Schütz into a perfectly realized D-minor harmonic conclusion.19 He also
imitated the interaction between solo trumpet and winds in Ives’s Unanswered Question by
incorporating it in vocal and orchestra form. Carnival Music contains a transformed quotation
from keyboard music by Bach and Brahms, whereas Ukiyo-e quotes from Mahler’s Das Lied von
der Erde.
After his Symphony No. 3, Rochberg’s interest in quoting others’ music lessened and he did not
quote music from specific composers in his following symphonies. Quoting music was the first
step for him to return to tonality, and the next step was to develop his own tonal language. He
was confident in his own way of manipulating tonality and atonality, still continuously exploring
different ways of connecting the past and present. He was constantly evoking the musical spirit
of the past. Symphony No. 4 (1976) evokes Wagnerian grandness and expanded orchestration in
the Introduction of the third movement, which is followed by a Haydnesque lively Finale.
Symphony No. 5 (1984) is in seven fairly short movements with a total duration of only 25
minutes. The movement titles are: Opening Statement, Episode 1, Development 1, Episode 2,
Development 2, Episode 3, Finale. Episode 1 has a gesture drawn from the last movement of
Mahler’s Symphony No. 9. The tonality of Symphony No. 6 (1986) serves more like a tonal
centre rather than traditional tonality. The symphony starts with a tonal centre of E flat, moves
through different tonal centres, and eventually goes back to E flat. The character of the second
movement Marcia in Symphony No. 6 follows classical tradition: scherzo, march, and dance
forms are used.
Rochberg explored tonality in many different ways. Ricordanza for cello and piano (1972), often
featured in cello recital programs, is one of his first works to be written completely in a tonal
language. The form follows a traditional ABA structure. Rochberg remarked that this piece “is a
19
Rochberg, Five Lines, Four Spaces, 172.
13
commentary on the opening solo cello statement of Beethoven’s C Major cello sonata, Opus 102,
No. 1.”20 The first section begins in A major, and moves on to F major in the second section. The
second section closes on I of F major, however, the piano plays the chord of V while the cello
sneaks softly from the leading tone E to F. The third section begins in D-flat major and closes on
A major. The pure tonal language is evident throughout the piece, displaying Rochberg’s return
to, indeed rediscovery of, romantic tonality in a Beethovenian idiom.
Rochberg’s other chamber music and violin works include Concerto for Violin and Orchestra
(1975), Quintet for Piano and String Quartet (1975), The Concord Quartets: String Quartets Nos.
4, 5, and 6 (1977–78), Quintet for Strings [double cello] (1983), Quartet for Violin, Viola, Cello,
and Piano (1985), Sonata for Violin and Piano (1988), and Rhapsody and Prayer for violin and
piano (1989).
In 1983, Rochberg retired from the University of Pennsylvania, where he had been teaching
since 1960. He never stopped exploring different music idioms and won many awards, including
the Brandeis University Creative Arts Award and an Honorary Doctorate in Music from the
University of Pennsylvania in 1985, the Lancaster Symphony Composers Award in 1986, an
Honorary Doctorate in Music from the Curtis Institute of Music and Second Prize in the
Kennedy Center Friedheim Awards in 1988. His String Quartet No. 3 and String Quartet No. 5
were nominated for a Grammy Award in 1998 and 2004 respectively. Rochberg passed away at a
hospital in Bryn Mawr, Pennsylvania on May 29 in 2005, aged 86. His wife, Gene, survived him
by more than ten years; she died at the age of 96 in 2016.
In addition to being a productive composer, Rochberg was also a prolific writer. He set down his
reflections on the process of composing and his philosophical ideas in a series of articles and
books. Besides the theoretical publication The Hexachord and its Relation to the Twelve-Tone
Row, another book, Five Lines, Four Spaces (finished just weeks before his death and published
posthumously after three years of editorial work by his widow Gene and the music librarian
Richard Griscom) is an autobiographical statement about himself and his most important
20
Dixon, George Rochberg, 118.
14
works.21 Rochberg reflected upon the inspiration of his compositional activity, the experiences
of working with performers, and other factors that interested him as a composer, or even more,
as a person. Other published books include The Aesthetics of Survival and A Dance of Polar
Opposites, which will be addressed in Chapter Two.22
Rochberg has written his thoughts regarding the problem of serialism, or in a broader sense
nontonal music, which could be roughly summarized in four points. One point is that it is not
possible to remember the tune or the melody of atonal music. He explained this idea by
discussing John von Neumann’s book The Computer and the Brain in The Aesthetics of Survival,
with reference to ideas about the human central nervous system. “Music must structure itself
along the lines of self-perpetuating forms of repetition, variation, and recall if it is to become
intelligible and retainable by the memory functions in the nervous system.”23 The human
nervous system is able to comprehend monophonic or melodic structures naturally and more
easily than harmonic or polyphonic structures. It takes conscious effort to perceive the two
structures fully. This explains why ethnic music and popular music are mostly monophonic and
melodic. The central nervous system is not able to conceive music without perceivable logic; it
will lead to fatigue, anxiety, boredom, or even anger. Much music written after 1900 becomes
hard to understand or remember. It is difficult to give it a second hearing or to sing it. Whenever
Rochberg played music by Beethoven or Mozart on the piano, a strong sense always emerged
that something must be wrong with the current trend, including 12-tone methods, aleatory music,
pointillism, and total serialism.24
One feature nontonal music has is the breakdown of the hierarchy of pitches and chords that
tonality possess. Every pitch has equal status in an atonal context. Rochberg called this “the loss
of distinction.” We cannot employ Schenkerian analysis to understand the harmonic frame, nor
21
Rochberg, Five Lines, Four Spaces.
22
George Rochberg, The Aesthetics of Survival: A Composer’s View of Twentieth-Century Music, rev. and expanded
edition, ed. William Bolcom (Ann Arbor: The University of Michigan Press, 2004); George Rochberg, A Dance of
Polar Opposites: The Continuing Transformation of Our Musical Language, ed. Jeremy Gill (Rochester, NY:
University of Rochester Press, 2012).
23
Rochberg, The Aesthetics of Survival, 226.
24
Rochberg, “Metamorphosis of a 20th-Century Composer,” 13.
15
can the formal structure serve as a guide for the music, because the hierarchical pitches are
broken down and the harmonic functions of departure and cadential arrival no longer exist.
Musical form is not an outcome of the rule or the system but an important essence in music to
guide listeners in their thinking and listening. Without the hierarchy of pitches and harmonies,
recognizable melodies, and metric grouping, this indeterminacy leads to the absence of a sense of
climax in the music, which will result in anxiety, or even indifference, from listeners. As
Rochberg stated,
Dissonant chromaticism – lacking the force of tonal directedness and the availability of
its great, open spaces and cadential points of rest and emphasis – necessarily leads to
blurring of audible outlines, because one cannot readily grasp the sense of its tendency or
of its ultimate shape. Intervals do not melodies make, nor does a preexistent referential
order, like a set or matrix of pitches, clarify for the ear what is the main business of a
piece of music: to define itself precisely to the ear as it unfolds in time in the air. The
problem is identical whether we are speaking of unordered dissonant chromaticism
(atonality) or ordered dissonant chromaticism (serialism).25
Another point Rochberg stresses is that the neglect of the past will result in the collapse of
contemporary culture. The new trend of twentieth-century music was to break the long-lasting
rules of harmony, melody, form, and timbre. “Music without a cosmology will not move the
soul; nor will it illumine the heart.”26 People have valued Mozart, Beethoven, Chopin, and
Brahms highly for their stirring melodies and harmonies, but some composers wanted to abandon
the essential qualities of music from the past and search for new ideas in twelve-tone and avant-
garde music. Rochberg believed that this phenomenon resulted from one simple fact: the
incapability of modern composers to write good tonal music to compete with the music of the
past masters. However, the unbalanced emphasis on abandoning historical value will eventually
lead to failure. If music is written for the sake of writing something “new”, no resonance with the
25
Rochberg, The Aesthetics of Survival, 40.
26
Ibid., 237.
16
average listener will be produced; nor can it last long because of the absence of a dramatic and
gestural character.
Rochberg’s music after 1965 started to have recognizable melody, logical formal structure,
thematic development, and a traditional harmonic frame or tonal centricity. He was constantly
evoking the spirit of the past to connect modern music with past values. His Violin Concerto
employs repetition, sequential motion, and transformation to develop themes, which employ
traditional thematic developmental procedures that have been used for centuries. Rochberg also
employed traditional forms and transformed them. The third movement of his Violin Concerto is
titled Fantasia. This whole movement is improvisatory in nature with virtuosic violin cadenza
lines. The second and fourth movements of the Violin Concerto are both titled Intermezzo, which
is a common character piece title in the Romantic era. Rochberg, however, reflects the formal
structure implied by this title by using thematic ideas rather than tonal relationships.
The use of traditional formal structure and quotation make the music more expressive. The
reappearance serves not just as means of reminder but more, an expression. By recollecting the
music heard earlier, the listeners’ subconscious mind is engaged and their deepest feelings are
awakened. “Return in music has something of the force of the past suddenly illuminating the felt
present as a real element in the present.”27 The traditional formal structure emphasizes the power
of the reappearance of the material, as seen in the sonata form, rondo form, or even the simplest
ABA form. When the familiar music from the past is presented in the music, the expectation of
completion and final resolution will be formed. Quotation, similarly, emphasizes the longer-term
memory of the material; the listeners hear the music days, weeks, or years ago, and the sense of
recognition when they hear it again is enormously powerful. Rochberg made use of this idea by
citing and transforming other composers’ music and his own previous compositions, which was
his first move away from serialism.
Rochberg’s solution, the use of quotation and the juxtaposition of his disjunct atonal material
with tonal references or allusions, proves the idea of the coexistence of the two opposite worlds,
George Rochberg, “Duration in Music,” in The Aesthetics of Survival: A Composer’s View of Twentieth-Century
27
Music, rev. and expanded, ed. William Bolcom (Ann Arbor: University of Michigan Press, 2004), 63.
17
tonality and atonality, which can be seen in most of his works from 1965 to 1975. In The Dance
of Polar Opposites, Rochberg used the phrase “the plateau of maturation” to describe the
phenomenon of atonality in the twentieth century. He compared the growth of music to
biological evolution; both phenomena feature an initial nodal point of morphological growth,
followed by development, and finally the plateau of maturation. Rochberg was trying to persuade
the reader that by the late twentieth century, atonality was no longer the mainstream. It has
become but one of a number of possible compositional approaches to making music. Rochberg
proposed the idea of a reconciliation of two polar opposites to advocate that only with the
balance of the two extremes can music be coherent and persuasive. Only with the comparison of
tonality and atonality can listeners experience and absorb tension and release in the music. The
Dance of Polar Opposites, published posthumously in 2012 and edited by Jeremy Gill, further
explains the poly-stylistic theory by using excerpts from past composers as well as from
Rochberg himself.
1.2 Rochberg as a non-String Player

Rochberg was a pianist and composer for his entire life. His knowledge about violin playing can
be traced back to the age of four, earlier than any music education he received. His brother
Samuel, nicknamed “Rock”, who was seven years old at the time, was having weekly private
violin lessons. Rochberg recalled the lessons as instilling in him a pleasant sense of excitement.
He would sit in on the lessons to watch his brother playing and immersed himself in the magical
listening experience. The violin sound and the sight of musical notation had become rooted in
him at an early age.28
Rochberg started his musical studies and career as a pianist, and became a composer later.
Before the 1940s, most of Rochberg’s compositions were piano music, although he wrote a
sonata for violin and piano in a tonal idiom, modelling it on the style of Beethoven and Brahms.
Though not a string player, he still wrote beautiful string melodies, and was intimately familiar
with the technique of string instruments. He carefully studied string writing by earlier great
composers, such as Bach’s Violin Sonatas and Partitas and Ysaÿe’s Unaccompanied Sonatas,
28
18
when he wrote Caprice Variations for solo violin. Like most of the composers in his generation,
Rochberg learned about string quartet writing through studying the string quartet music of
Beethoven and Bartók.29 He took a closer look at Beethoven’s Grosse Fuge, Op. 133, and
Bartók’s six string quartets. He believed that the best way to fully comprehend a string quartet is
to play it on the piano, a technique he learned from a friend when studying at Montclair State
Teachers College. He found that one factor that made Beethoven’s string quartet writing rich and
innovative is the mixing and overlapping of the registers of the instruments, which Bartók also
used to fulfill his personal intentions and interests. By mixing registers, the cello can sing a
melody above the violin’s line. Rochberg also studied Schoenberg’s Fourth String Quartet. He
listened to it many times and tried to play it on the piano.
Besides carefully studying the instrumental writing of earlier composers, Rochberg

communicated with performers and other composers about matters of practical execution and
artistic realization to make his works ideally suited to the instruments for which they are written.
His humility and affability led him to be respected and adored by his performers. In the 1930s,
before Rochberg started to write his first piano-violin sonata, he played violin and piano duos on
the piano often, which cultivated his musical development significantly. The seamlessly flowing
dialogues between the two instruments in the duos by Mozart, Beethoven, Brahms, and Franck
fascinated him greatly, especially Franck’s Sonata for Violin and Piano. Rochberg and his violin
friend Ken Dean performed violin-piano duos many times in the salon setting, and got feedback
from other musicians and composers. In the process of writing his First String Quartet, he
showed the sketch to Aaron Copland for advice, and had three reading sessions with different
string quartet ensembles to make the piece better. He wanted to make sure that his intention
would be realized and fully communicated to the performers. At the peak of his success, he was
dedicated to helping out young musicians. When Mark Sokol, in his 20s, the first violinist of the
Concord Quartet, asked Rochberg to write a string quartet for them, Rochberg immediately
agreed. Lewis Kaplan also reflected that Rochberg was very kind to him when he was a recent
graduate from the Juilliard School of Music.30
29
Ibid., 66.
30
Interview with Lewis Kaplan, New York, October 8, 2018.
19
Rochberg worked with many renowned musicians throughout his life, including Isaac Stern,
Lewis Kaplan, the Curtis Quartet, the Concord Quartet, the Galimir Quartet, and many world-class
professional symphony orchestras. The success of his career led him to be commissioned for
international competitions and world-famous orchestras.
Humble though he was, Rochberg was certainly one of those composers who execute his musical
ideas for the purpose of art, not catering to the taste of the audience or the mainstream. However,
this did not mean he composed in the “Who cares if you listen?” way.31 As he remarked in 1970
during an interview, “[Do] you know how hard it is in 1970 to compose convincing tonal
music?” It was because every academic composer in that decade was pursuing an atonal musical
language, and critics expected that. He would appreciate it if the premiere of his music received
positive feedback from critics. However, his music followed what he valued. “I am composing
for myself and for performers, not the listeners.”32 He was not worried that the audience might
not like his works, because he believed that a good work of art might be neglected for long
periods of time.
The tragic incident of the death of his son Paul, and the constant pursuit of expressive musical
languages, led Rochberg to reach his utmost achievement as a composer during the 1970s. As a
respected composer and writer, Rochberg became a pioneer in his era at discovering the most up-
to-date compositional techniques. It might seem that Rochberg had achieved his highpoint after
the premiere of the Third String Quartet and his writings on music aesthetics. However,
throughout his entire life, he explored new musical languages, developing them to their limits,
and finding new ones. He first explored serialism in the 1950s, reached a limit, and then found a
new musical language that incorporated quotation, historical musical styles, and atonality. He
was never satisfied with what he had achieved; he continually grew and developed as a
composer, always interested in new ideas and new ways of writing music. As he confessed in
1980,
31
From the title, Milton Babbitt, “The Composer as Specialist” (published in High Fidelity as “Who Cares If You
Listen?”), reprinted in Schwartz and Childs, 243–50. Babbitt advocated the new value of prioritizing the purpose of
art as a research medium, than the idea of art as entertainment.
32
Rochberg, “Metamorphosis of a 20th-Century Composer,” 13.
20
I must admit that I have recently been wrestling with the whole question of direct
juxtaposition of atonal movements and tonal movements. Not that I intend to give
it up. If I find that that is precisely the emotional gesture I need, then of course I’ll
use it. But I don’t ever want to feel trapped into doing everything the same way.33
33
Nicole V. Gagné, Tracy Caras, and Gene Bagnato, Soundpieces: Interviews with American Composers
(Metuchen, N.J.: Scarecrow Press, 1982), 346.
21
Chapter 2
Background to Caprice Variations and Literature Review
2.1 Background to Caprice Variations

Rochberg’s memoir Five Lines, Four Spaces is one of the most important sources of information
about his works, as it recreates “the panorama of the life he lived in music.”34 Chapter Two of
the memoir provides detailed information about the inspiration for Caprice Variations and the
reception of the piece. In it, Rochberg recalled the whole process of writing the piece.35 Daniel
Kobialka (b. 1943) is an American violinist who recorded Rochberg’s Duo Concertante with his
brother Jan Kobialka. Kobialka’s excellent violin playing motivated Rochberg to write a solo
violin work, which was then dedicated to Kobialka.36 The other inspiration for Caprice
Variations came about through Rochberg’s daughter, Francesca (called Chessie by the family).
Rochberg attended all five performances of a ballet show in which his daughter danced in 1968.
The program featured a new ballet to Brahms’ Variations on a Theme by Paganini, Op. 35 for
piano solo (based on Paganini’s Caprice Op. 1, no. 24). In the process of watching the five
performances, he became fascinated by Brahms’ Paganini Variations and decided to compose
his own set of variations on Paganini’s theme. What particularly interested Rochberg was the
harmonic structure of the Brahms variations. Not being a violinist, he read through J.S. Bach’s
and Eugène Ysaÿe’s works for solo violin to learn more about violin techniques.
A great companion to Five Lines, Four Spaces is Eagle Minds: Selected Correspondence of
Istvan Anhalt and George Rochberg, edited by Alan Gillmor, which is a collection of letters
exchanged over the course of 44 years between Rochberg and his close friend, the Canadian
composer Istvan Anhalt.37 Eagle Minds provides a vivid portrayal of Rochberg as a person,
34
(Urbana: University of Illinois Press, 2009), xi.
35
George Rochberg, Five Lines, Four Spaces, 25–29.
36
Daniel Kobialka was the principal second violinist for the San Francisco Symphony Orchestra from 1975 to 2008.
The reason that Kobialka did not play Caprice Variations remains unclear.
37
Alan M. Gillmor, ed., Eagle Minds: Selected Correspondence of Istvan Anhalt and George Rochberg (1961–
2005) (Waterloo, Ont.: Wilfrid Laurier University Press, 2007).
22
composer, and artist. The two composers exchanged letters about their compositional methods,
offered comments about each other’s works (both music compositions and books), and discussed
the analysis of their own works. The letters between 1960 and 1970 include comments about
Rochberg’s pain upon losing his beloved son Paul, and his initial thoughts of returning to
tonality. It is valuable as a first-hand account of Rochberg’s circumstances and inner feelings
during the period when he wrote Caprice Variations.
The recently published book by Amy Wlodarski titled George Rochberg, American Composer:
Personal Trauma and Artistic Creativity is based on Rochberg’s unpublished diaries, letters,
sketches, and personal papers, conversations with his widow Gene Rochberg, and interviews
with Rochberg’s former students.38 Wlodarski proposes an interesting theory, namely that it was
not only the loss of his son Paul that shaped Rochberg’s way of writing, but also his experience
of trauma during World War II. Her book not only fills the lacuna in the biographical
background during Rochberg’s war service, but also provides detailed analyses of Rochberg’s
works, particularly Symphony No. 3.
Eleven of Rochberg’s essays about his musical philosophy and compositional approaches,
written between 1955 and 1982, are gathered in The Aesthetics of Survival, first published in
1984; six more essays were added when the book was republished in 2004.39 Rochberg
addressed some of his concerns about twentieth-century music, and advocated the idea of what
he called polarity, bringing tonality and atonality together. Two other collections of Rochberg’s
theoretical essays are The Hexachord and Its Relation to the 12-Tone Row and A Dance of Polar
Opposites.40 A Dance of Polar Opposites was published posthumously and edited by Rochberg’s
former composition student Jeremy Gill. Rochberg explains circular motion in tonal music by
showing musical examples from Mozart and Brahms to Prokofiev, and further relates the idea to
circular sets in atonality.
38
Amy Lynn Wlodarski, George Rochberg, American Composer: Personal Trauma and Artistic Creativity
(Rochester: University of Rochester Press, 2019).
39
George Rochberg, The Aesthetics of Survival: A Composer’s View of Twentieth-Century Music, rev. and expanded
edition, ed. William Bolcom (Ann Arbor: The University of Michigan Press, 2004).
40
George Rochberg, The Hexachord and Its Relation to the 12-Tone Row (Bryn Mawr, Pa: Presser, 1955); George
Rochberg, A Dance of Polar Opposites: The Continuing Transformation of Our Musical Language, ed. Jeremy Gill
(Rochester, NY: University of Rochester Press, 2012).
23
2.2 Literature Review of Caprice Variations
2.2.1 Printed Sources
Since Caprice Variations is long, difficult to play, and less than 50 years old, a performance
guide to assist violinists is a useful contribution to the pedagogical literature. The only two
existing performance guides to this work are dissertations by Hojin Kim and Siryung Park.
While Kim’s thesis offers many perspectives on the piece, the performance aspect is
insufficiently detailed. Park’s dissertation provides a detailed analytical and technical study of
the work, but the methodology is one-dimensional and subjective. Neither Kim nor Park
interviewed or corresponded with the people who worked closely with Rochberg.41
Kim categorizes the historical musical styles references and the specific quotations used in each
variation, and introduces some pedagogical suggestions. His dissertation does include many
useful perspectives on Caprice Variations. He made a table listing details of each variation:
quotation or lack thereof, character, tempo marking, length, and technical requirements. He also
notes similarities and differences between Rochberg’s variations and the original compositions
by Beethoven, Brahms, Mahler, Paganini, Schubert, and Webern to which Rochberg alludes. He
categorizes the non-quoting variations into five types: Bach-like, étude-like, cadenza-like,
nineteenth-century style, and twentieth-century style. Kim explains why each of the 40 non-
quoting variations belongs to a given category, and provides some brief pedagogical suggestions,
such as the order of learning the variations based on the level of difficulty. His research provides
much useful background knowledge about Rochberg’s Caprice Variations. However, his
approach is limited in depth and lacks detailed practical instructions for violinists.
Park’s dissertation is somewhat similar to Kim’s dissertation, but with a more detailed analysis
regarding the structures and violin techniques in the work. Unlike Kim, who divided the
variations into quoting and non-quoting, Park divided the variations into traditional ones,
modernist ones, and ambiguous ones. The traditional variations include all the variations
41
Hojin Kim, “George Rochberg’s Caprice Variations for Unaccompanied Violin: An Analytical Overview and a
Performance Study Guide,” (DMA diss., Florida State University, 2014); Siryung Park, “George Rochberg’s
Caprice Variations for Unaccompanied Violin: A Stylistic Study and Performance Guide,” (DMA diss., University
of Cincinnati, 2017).
24
composed using a traditional musical language, ranging from Baroque and Classical to Romantic
style. Park analyzed the phrase structure and harmonic progressions of the tonal variations, and
identified the specific style of the variations. She analyzed the intervallic relationships, pitch
classes, and rows used in the atonal variations. She then categorized the variations by different
techniques and provided notes about execution. The only place she compared different
recordings is for Variation No. 19; she compared the bow strokes of Peter Sheppard Skæ rved,
Gidon Kremer, and Andrew Jennings. While Park’s dissertation provides a well-written
theoretical analysis of Caprice Variations, it is less thorough regarding performance suggestions.
Two more scholarly sources entirely focused on Caprice Variations are an article by David
Schwarz and an M.A. thesis by Kristina Engberg. Schwarz did a study applying Harold Bloom’s
idea of the Anxiety of Influence to Caprice Variations.42 The application of a theory of poetry to
a musical work illustrates the analogy between twentieth-century music and literature. Schwarz’s
article also explains the spiral formal structure and discusses the use of quotation. Engberg
focuses on theoretical aspects of the piece.43 She analyzes the traditional harmonic structure in
the tonal variations and the pitch structure in the atonal variations to explain the relationship
between atonality and tonality in the work. Engberg interviewed one of the violinists, Zvi Zeitlin,
who recorded the entire Caprice Variations; Zeitlin provided information regarding stylistic
aspects in each variation. This interview is particularly valuable as Zeitlin passed away in 2012.
One more work that covers a small portion of Caprice Variations is a dissertation by Aaron M.
Farrell, which introduces Caprice Variations as one example in a survey of contemporary violin
études in the twentieth century.44 Farrell briefly introduces the use of quotation in the piece and
explains how Rochberg realized the idea of polarity in Caprice Variations. This dissertation
serves as a great introduction to contemporary violin etudes. However, a more detailed
performance guide of Rochberg’s Caprice Variations is needed.
42
David Schwarz, “A (Dis)pleasure of Influence: George Rochberg’s Caprice Variations for Unaccompanied Violin
(1973),” Musicological Annual 45, no. 2 (2009): 107–142.
43
Kristina Engberg, “Linear Connections and Set Relations in George Rochberg’s Caprice Variations,” (M.A.
Thesis, University of Rochester, Eastman School of Music, 1982).
44
Aaron M. Farrell, “A Practical Guide to Twentieth-Century Violin Etudes with Performance and Theoretical
Analysis,” (DMA diss., Louisiana State University, 2004), 40–46.
25
2.2.2 Online Sources
On Skærved’s professional website, there are extensive writings by himself about George
Rochberg, along with photos. One of Skærved’s earliest articles about Rochberg is titled simply
“George Rochberg”.45 It provides Skærved’s notes during working on Caprice Variations with
Rochberg and personal notes about his association with the music, which gives the listeners both
wide imaginary ideas about certain variations and intellectual thoughts about the work as a
whole. Skæ rved briefly introduces his passion for the work, and then proceeds to discuss
Rochberg’s compositional process. “Talking about the composition of ‘Caprice Variations’, he
[Rochberg] described lying on his couch, dreaming the music, working it out, his eyes closed.
When he was sure that each variation was worked out, entirely in his head, without an ink-stroke
in sight; then and only then, would he leap up, like Archimedes vaulting out of his bath … rush
to his desk and write it down.” Skærved’s note covers more than 20 of the variations in detail,
and makes two claims; first, that Rochberg’s multi-stylistic aesthetic channels composers not just
on the surface by musical quotation but also in depth by evoking other composers’ compositional
methods. For example, Skæ rved sees the influence of Telemann in Variation No. 1, which he
describes as an overture, lacking memorable thematic material but characterized by strong
cadential movement. Second, Skæ rved decodes the connections between variations within the
set. For example, he sees Variation No. 2 connecting to Variation 44, as the two emulate
Mahler’s extreme language, with the character being intensively dramatic and expressive.
Other articles about Rochberg on Skærved’s website cover discussions with Rochberg about
other works, one CD review by Danny Kim-Nam Hui, and a note about reintroducing Caprice
Variations in live performance in 2018. The 2018 article includes a reproduction of Skærved’s
marked-up version of the score of Variation No. 41, with detailed bowing and fingering
indications. Skæ rved also includes excerpts from his correspondence with Rochberg, which is a
very valuable first-hand source of information.
45
Peter Sheppard Skærved, “George Rochberg,” Peter Sheppard Skæ rved, March 18, 2020, http://www.peter-
sheppard-skaerved.com/2009/12/george-rochberg/. The article was posted on December 5, 2009 and is substantially
the same as Skærved’s liner notes for his CD recording of Caprice Variations.
26
Another valuable online resource is a 23-minute long video by Andrew Jennings introducing his
performance of Caprice Variations.46 Jennings talks about Rochberg’s early life up to the time of
the Concord Quartet premiere of Rochberg’s Third String Quartet. He also introduces
Rochberg’s detour from being a proponent of serialism to his use of a multi-stylistic approach, in
order to expand his emotional palette. And most importantly, he gives a general introduction to
Caprice Variations and his own approach to the work. He sees Caprice Variations as a journey
from Paganini’s time to the 1970s, almost in chronological order though with some divergences.
Variation No. 5 is the first detour from purely diatonic writing, adding a bit of chromaticism.
Toward the end of the piece, each variation becomes more modern in style and it becomes
progressively harder to recognize the connection to Paganini’s theme, but another detour appears
in Nos. 43, 44, and 46, which suddenly bring our ears back to the earlier period and lead us to
think backwards in time. Jennings’ video serves as a pre-concert talk for the complete
performance he gives on YouTube. He stressed the importance of guiding the audience to help
them understand the music more. As other supplements to his performance of the complete work,
he has prepared a program note, given spoken remarks on stage, and used illustrative slides.
2.3 Reception
After Lewis Kaplan premiered Caprice Variations in 1970, Zvi Zeitlin performed a selection of
variations from Caprice Variations in February 1976 in New York; the performance was so well
received that he decided to record the entire piece. In the summer of the same year, the recording
session took place. Rochberg participated in the entire process. They worked on part of the music
together during the day and recorded it in the evening.47 Every detail was treated with perfect
care and attention. Caprice Variations subsequently was used as one of the selected repertoire
pieces for the International American Music Competition for violinists in 1983 at Carnegie Hall.
After hearing one of the contestants play it, Gidon Kremer, one of the committee members,
46
Andrew Jennings, “Rochberg Caprice Introduction,” YouTube video, 22:49, posted on February 6, 2013,
https://www.youtube.com/watch?v=T5gLn9wWywA&t=15s.
47
27
decided to perform and record 23 excerpts from Caprice Variations. The title of his album was A
Paganini: Virtuoso Violin Music.48
Reviews of recordings of Rochberg’s Caprice Variations are another source of information about
the work. The reviews are divided on its merit. Most reviews are convinced by its diversity in
style and recognizable materials from musical quotation, and acknowledge Rochberg’s
employment of the two polar worlds, tonality and atonality.49 One review recommended the
work to both advanced violinists and listeners.50 Blair Sanderson called Caprice Variations a
“prospectus” of Rochberg’s works, and noted the clever use of musical quotation and the
efficiency of the short variations.51 Danny Kim-Nam Hui called it a “a beguiling, if not
bemusing, composition.”52 Byzantion praised the technical demands of the work, as he said
“Rochberg’s boundless imagination and application of sometimes outrageous technique might
well have surprised even Paganini himself.” At the same time, Byzantion pointed out the
problem that audiences might face; at 90 minutes in duration, the work is too long to sit and
listen to, and the listeners might want some breaks in between, although this is likely against
Rochberg’s intention.53 Allen Gimbel, who heard performances of Caprice Variations 20 years
apart, one live performance by Zvi Zeitlin in the 1970s and the recording by Peter Sheppard
Skaerved, was still impressed by the “postmodern virtuoso extravaganza” after 20 years. “It’s a
thrill a minute, and it’s outrageous enough to impress Paganini himself.”54
48
Gidon Kremer, violinist, A Paganini: Virtuoso Violin Music, Deutsche Grammophon 415 484–2 (recorded 1984,
released 1985).
49
Herbert Glass, “Fiddlers Five,” Los Angeles Times (Los Angeles, Calif.), 20 July 1986, 60; Steven Ritter, “George
Rochberg: Violin Sonata; Caprice Variations – Peter Sheppard Skæ rved, violin/ Aaron Shorr, piano,” Audiophille
Audition, March 18, 2020, https://www.audaud.com/george-rochberg-violin-sonata-caprice-variations-peter-
sheppard-skaerved-v-aaron-shorr-p-metier-2-cds/; Scott Morrison, “Amazon,” Divine Art Recordings Group, March
18, 2020, https://metierrecords.co.uk/review/amazon-28521-scott-morrison/.
50
Peter Grahame Woolf, “George Rochberg Caprice Variations,” Musical Pointers, March 1, 2020,
http://www.musicalpointers.co.uk/reviews/cddvd/rochberg_caprice.htm.
51
Blair Sanderson, “George Rochberg Caprice Variations,” AllMusic, February 20, 2020,
https://www.allmusic.com/album/george-rochberg-caprice-variations-mw0001394052.
52
Danny Kim-Nam Hui, “Rochberg Review,“ Peter Sheppard Skæ rved, February 25, 2020, http://www.peter-
sheppard-skaerved.com/2011/05/rochberg-reviews/.
53
Byzantion, “Music Web,” Divine Art Recording Group, March 10, 2020,
https://metierrecords.co.uk/review/musicweb-28521-byzantion/.
54
Allen Gimbel, “Amercian Record Guide,” Divine Art Recording Group, March 10, 2020,
https://metierrecords.co.uk/review/american-record-guide-28521-allen-gimbel/.
28
Not many negative comments on Caprice Variations are found in the reviews. Moore comments
that Caprice Variations evince “no compelling logic overall, except contrasts, but still [the work]
is a fascinating collection of vignettes.”55 Most of the reviews are positive about the work itself,
and are variously impressed by its virtuosic character and the technical difficulties on the one
hand, or the “all-in-one” multi-stylistic musical languages on the other. Despite its length, and
the relative rarity of complete performances of the work in concert programs, it is inevitably a
crucial work for understanding George Rochberg’s compositional style at an important turning
point in his career.
55
David W. Moore, “Rochberg: Caprice Variations,” American Record Guide 61, 4 Jul/Aug (1998), 185.
29
Chapter 3
“A Garden of All Sorts of Possibilities”:
Musical Quotation and Stylistic Reference in Caprice Variations
3.1 Introduction
In this chapter, a detailed analysis of the compositional approach in each of the 50 variations will
be provided. We will start by comparing the original version of Paganini’s theme to how it is
presented by Brahms and Rochberg, and then analyze the approach Rochberg takes in each
variation in terms of the relationship to the Paganini thematic material, as well as the use of
stylistic allusions. In addition to the analysis, the manuscript from New York Public Library will
be examined, and the views and opinions of Lewis Kaplan, Andrew Jennings, and Peter
Sheppard Skaerved will be included to enrich this study of Caprice Variations.
Rochberg called the Caprice Variations “a garden of all sorts of possibilities.”56 He tried
to include as many musical styles as possible to evoke virtuosity and romanticism by using
musical quotation, historical musical stylistic references, different acoustic timbres, and updated
tonal and atonal languages. As he said “I have paid homage to Brahms by including some of his
Variations in transcription form; where it seemed musically possible I have also paid homage to
Beethoven, Schubert, Bartók, Webern, Stravinsky – all great masters of the art of variation – by
quoting them as well as commenting on them.”57 Most of the variations explicitly show a close
relationship to the theme from Paganini’s Caprice Op. 1, No. 24; while some of the variations do
not have the same harmonic structure, they still maintain implicitly the pitch centre A.
Like Bach in the Goldberg Variations, Rochberg concludes his variation set with the
theme, instead of placing it at the beginning. In Rochberg’s manuscript that is owned by Lewis
Kaplan, as well as the one at New York Public Library, Rochberg did not write out the theme at
the end. My assumption is that he wanted the theme presented at the end in order to refresh the
56
Tempo, no. 219 (2002): 11.
57
Joan DeVee Dixon, George Rochberg: A Bio-Bibliographic Guide to His Life and Works (United States:
Pendragon Press, 1992), 60.
30
listeners’ ears after a journey of 90 minutes, as if to say “Don’t forget this is the theme!”58 It is
possible that Rochberg emulated Charles Ives’ Cumulative Form, in which a hymn tune or a
popular tune is presented fragmentedly at the beginning and gradually accumulated to its full
statement at the end. It is also a reversed variation that Rochberg might have had in mind.
Jennings mentioned that Rochberg found it attractive to have the form upside down – variation
first and the theme at the end, although he was not sure if that was Rochberg’s intention.59 Peter
Sheppard Skaerved, a British violinist who had a very close relationship with Rochberg from
1998 until Rochberg’s death, said that Rochberg told him that “The last variation [i.e., the
Paganini theme] should played pianissimo, with the back to the audience, removing the last
chord as well.”60
As mentioned in the previous chapter, Rochberg’s inspiration was from Brahms at the
beginning. The presence of grace notes indicates that Rochberg took his version of the theme
from its presentation in Brahms’ Variations on a Theme by Paganini, Op. 35 rather than the
original Paganini solo violin caprice (compare the Paganini, Brahms, and Rochberg themes in
Figure 9).
58
Interview with Lewis Kaplan, New York, October 8, 2018. Kaplan said that Rochberg told him “You could end
the Caprice with the Paganini theme.”
59
Interview with Andrew Jennings, East Aurora, NY, March 22, 2019.
60
Skype Interview with Peter Sheppard Skæ rved, December 7, 2019. The fact that Rochberg said to omit the final
chord indicates that he was likely thinking of Brahms’ version of the theme rather than the Paganini original (see
Example 1).
31
Figure 9a: Paganini’s theme, 24 Caprices for Solo Violin, Op. 1, no. 24
Figure 9b: Rochberg’s theme from Caprice Variations
32
Figure 9c: Brahms’ version of the Paganini theme, from his Variations on a Theme by Paganini,
Op. 35, Book I (opening)
I divide up the variations into three categories: variations with explicit reference to
Paganini’s harmonic framework (Group 1), variations departing from the theme with more
development (Group 2); and variations with ambiguous reference to the theme (Group 3).
Variations in Group 1 follow a I–V harmonic progression in the first half, and show obvious
33
circle of fifths motion in the second half. Variations of Group 2 are based on the scheme of
Paganini’s harmonic frame, but depart from it within the tonal language. Variations of Group 3
are non-tonal, but still preserve some reference to a tonal centre. Although most of the variations
belong to one group, some variations might show the characteristics of more than one group. For
example, No. 14 is based on Paganini’s original harmonic frame, but is placed in Group 2 since it
is expanded with dominant chords. In the following analyses, the “A” section refers to the
section before the repeat, and the “B” section refers to the section after the repeat until the end of
the variation. (See Table 1)
Table 1:
Group 1 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 21, 22, 24, 25, 26, 27, 32,
40, 43, 44, 46
Group 2 14, 15 ,16, 17, 20, 23, 28, 29, 30, 31, 36, 37, 38
Group 3 18, 19, 33, 34, 35, 39, 41, 42, 45, 47, 48, 49, 50
3.2 Group 1
Variations Nos. 1 to 5 are closely based on Paganini’s original harmonic framework with slight
alteration of the Aug 6th chord. Variations Nos. 1, 3, 4 and 5 replace the Aug 6th with a
Neapolitan chord, while No. 2 eliminates the Aug 6th (see Figure 10). These variations are all in
binary form, with the first half following a I–V harmonic structure. The second half is a
sequential circle of fifths motion. No. 5 is stylistically different than the others in timbre; it is
played con sordino and with a continuous tremolo, creating a mysterious and restless character,
completely opposite in nature to the decisive and out-spoken character of the previous four
variations.
Figure 10a: Paganini’s theme No. 24, Op. 1

A B
i V i V V 7 /iv i6 /iv
i V i V V 7 /iv iv 6
34
V 7 /III III viiº4/3 i Aug 6 V i
Figure 10b: Rochberg Caprice Variations, No. 1, bars 8 to 12
Neapolitan 6
Figure 10c: Rochberg Caprice Variations, No. 2, bars 22 to end
V 7 /iv
i6 /iv V/III I6 /III
iiº4/3 i6
ii06 V7 i
No. 6 presents the first notable departure from the original theme, as it uses nonchord notes as
expressive chromaticism, though it still follows the same basic harmonic plan. It is hard to
35
recognize the theme at first hearing. However, it can clearly be seen that Rochberg simply added
some nonchord notes to the existing harmony. There are four voices in this variation. The bottom
line is the pedal tone A in the A section and the functional bass note in the B section (highlighted
in gray). The second and third lines are chromatic noodling (highlighted in blue and in yellow);
sometimes presented as a passing tone or neighbour note with octave displacement. The top
voice holds the tonic A for the entire variation (highlighted in green). In the B section, the circle
of fifths is indicated in the bottom voice of the first four bars. Please see Figure 11 for harmonic
tone, melodic tone, and chromatic decoration.
Figure 11: Rochberg Caprice Variations, No. 6, complete
Nos. 7 to 13 all use musical quotations from the past, alluding to works by Beethoven (No. 7),
Schubert (No. 8), and Brahms (Nos. 9 to 13). There are three different ways Rochberg quoted
earlier music in these variations: direct transcription, half quotation with development, and
motivic/fragmented quotation.61 Direct transcription is used in Nos. 9 to 13, in which Rochberg
arranged music for solo piano (Brahms’ Variations on a Theme by Paganini, Op. 35) for solo
61
These terms for the categorizations of the different types of quotations were created by the author.
36
violin. The only difference is that in No. 11 Rochberg eliminates the trill at the end. Nos. 10 to
13 use one staff, but No. 9 is presented on two staves. The use of two staves in No. 9 reflects the
original two voices in Brahms Op. 35, No. 2 (see Figure 12). Half quotation with development is
found in Nos. 7 and 8, where the A section is a quotation, but the rest of the variation is
developed from the materials in the A section. In No. 7, Rochberg quotes the third movement
from Beethoven’s String Quartet in E-flat major, Op. 74 in the A section, transposing the theme
from C minor to A minor. In the B section, motif A and B is developed in two 4+4 bar phrases.
Rochberg then increases the rhythmic intensity by repeating motif A in the next 8 bars, and ends
the variation with the 4-bar phrase from the beginning (see Figure 13). In No. 8, the A section is
transcribed from Schubert’s Waltz Op. 9, No. 22. The A section transcribes the original waltz
from G-sharp minor to A minor, but the B section takes this melodic idea and develops it in the
next 8-bar phrase. The ending section is a lightly varied reprise of the A section (see Figure 14).
Figure 12: Brahms Variations on a Theme of Paganini, Op. 35, Book I, no. 2
37
Figure 13a: Rochberg Caprice Variations, No. 7, motif A
Figure 13b: Rochberg Caprice Variations, No. 7, motif B
Figure 14: Schubert Waltz Op. 9, no. 22 (cf. Rochberg Caprice Variations, No. 8)
Nos. 21 and 24 are variations developed from quoted motivic materials and follow the harmonic
structure of Paganini’s theme. No. 21, as the score indicates, quotes a rhythmic motif from the
finale of Beethoven’s Symphony No. 7. Instead of iiº6/5–i6–Aug6–V at the end, Rochberg uses
Neapolitan 6 and goes to V (see Figure 15). No. 24 consists of two contrasting fragmented
motives; one from the first movement of the Brahms’ Violin Concerto, and one from final
movement of Paganini’s Violin Concerto No. 1. No. 24 uses ii6 instead of Aug6 (see Figure 16).
The first half of the variation transposes the two quoted musical excerpts into A minor, and the
second half is a development based on the circle of fifths.
38
Neapolitan 6 -------------------------------------------------------------------------
------
ii6
Nos. 22 and 27 make a stylistic reference to the Baroque era and also reference the Paganini
harmonic structure, with the A section showing clear I–V motion and the B section using the
circle of fifths. No. 22 features three-part counterpoint following Baroque contrapuntal
principles. Even though at first glance the notation looks Romantic rather than Baroque, the
inflections and articulations suggest the historical Baroque sound. The descending bass notes and
stepwise motion in voices strongly relate to contrapuntal principles. The chromatic descending
motion (D sharp–D natural–C sharp–C natural–B–A) resembles one of the typical features of the
Baroque period, a lament bass, which often indicates tragedy or sorrow (see Figure 17). The
quintuplet thirty-second note figures outline the “turn”, a common ornamentation in Baroque
music. The gesture of long-short rhythms (e.g., in bar 2) simulates the decaying sound on a
39
down-bow stroke that results from the Baroque bow structure. Jennings, however, disagrees with
this variation being labelled as Baroque in style. He thinks it is sentimental, like Busoni. “He
[Rochberg] was not at all interested in historical performance. He didn’t relate to it. The
historical performance was very much less present than it is now. Far fewer people were
participating in that kind of study.”62 No. 27, labelled “Aria” in the score, similarly evokes
Baroque style by using embellishment. The rolling arpeggio notes and rhythmic values
symbolize Baroque features. “Rochberg told me this one [No. 27] is Bach,” said Lewis Kaplan in
the interview.63 The transparency is preserved by the use of dissonances serving only as passing
tones or embellishments.
Figure 17: Rochberg Caprice Variations, No. 22, bars 1–7
Nos. 20 and 43 are in Viennese classical style. No. 20 evokes the cadenza of a classical concerto.
The harmony suspends on V and explores other keys. The style is elegant, evoking a Mozartian
cadenza, but also virtuosic with running scales, multiple stopped chords, and the use of spiccato.
The register is not wide-ranging and only briefly (for two notes) goes beyond third position,
which also suggests the style of Mozart. In No. 43, marked Andantino, Rochberg evokes the
galant style of the eighteenth-century, music of elegance and simplicity. Even though No. 43 is a
monophonic variation, the boundary between songful melody and accompaniment is clearly
evoked. The harmonic and formal structure does not strictly follow Paganini’s theme as it is a
ternary form. The A section audibly outlines a I–V progression. The B section is a development
62
63
40
exploring modulations and a bit of virtuosity in the recitando section, before returning in the
finale to the simple I–V progression.
No. 46 “Bravura” is an extended cadenza like No. 20, with fast ascending and descending scale
passages in A minor, marked Sempre recitando and in the “grand manner,” in the score. No. 46
strictly follows Paganini’s harmonic structure, with the Aug6 at the end, rather than the
Neapolitan 6th. The only feature that does not look like traditional classical music is the free
notation, which offers freedom for performers to explore the most musical way to execute the
indicated rhythms.
No. 25, 26, 32, 36, 40, and 44, although not in the same style, all show clear I–V and circle of
fifths motion. They are in a Romantic idiom and with more explicit characters. No. 25 and No.
26 present a refreshing and spirited character with the use of hemiola. Both follow the harmonic
frame of Paganini. No. 32, although marked burlesco and in duple meter, is a tango in spirit,
containing an expressive and nostalgic character. With its alternation between rhythmic
accompanying patterns and a lyrical, melancholy single-line melody, the music creates the
suspenseful atmosphere of the dance. Kaplan pointed out that this variation reminded him of
Parisian burlesque at the Moulin Rouge.64 Jennings felt in a similar way, having an image of the
Folies Bergère in Paris in his mind.65 When Skæ rved played this variation to Rochberg and his
wife Gene, they both started to sing “Boulevard of Broken Dreams,” a popular song in tango
rhythm that was written by Harry Warren in 1933.66 Jennings also recalled hearing Rochberg and
Gene singing this raucous night-club song, which is opposite to their conservative personality.
No. 36 is the longest and most peaceful of all the variations. In the manuscript, Rochberg added
“e tranquillo” after Largo (see Plate 1). The stepwise linear motion and dissonance leading to the
tonic or dominant represent the practice of counterpoint. Rochberg’s satisfaction with this
variation can be seen by his use of it in the Third String Quartet, where it appears as the theme of
64
65
66
“George Rochberg,” Peter Sheppard Skærved, December 5, 2009, Accessed December 1, 2019,
https://www.peter-sheppard-skaerved.com/2009/12/george-rochberg/. The song is set in Paris and is used in the
1934 film Moulin Rouge (which is interesting in light of Kaplan’s comment about the variation); it has been
recorded by many artists over the years, and is a signature song for Tony Bennett, who first recorded it in 1950.
41
the third movement and is developed in six variations. In the quartet, the melodic line alternates
between the first violin in a very high register and the second violin (see Figure 18). Variation
No. 40 preserves simplicity in the harmonic progression and voice leading, while the parallel
sixths pays homage to Paganini’s caprices. No. 44 is based on the Scherzo movement from
Mahler’s Symphony No. 5, specifically the string parts 18 measures after rehearsal number 8.
The quoted material is not the main melodic part, but rather a secondary line.
42
43
Figure 18: Rochberg String Quartet No. 3, opening of the third movement
3.3 Group 2
Group 2 refers to the variations that possess some references to Paganini’s original harmonic
framework, but depart from it with more harmonic development and chromaticism.
No. 14, as the performance indication “Alla guitarra” suggests, imitates the guitar sound with the
usage of pizzicato. Although we can still see clear I–V movement in the A section and circle of
fifths motion in the B section, the harmonic progression is expanded with secondary dominant
chords. The B section is repeated twice.
Variations Nos. 15, 16, 17, 23, 29, 30, 37, and 38 all shift the mode from A minor to A major. In
No.15 the tonal harmonic progressions are coloured by embellishing notes, mainly appoggiatura.
It consists of two parts, with the first rising up to A (bar 14) and the second part descending
down to low A. The first triplet in the motif serves as an appoggiatura and the second triplet
44
indicates the harmony. After molto meno agitato, the first two notes in the triplet retrograde to
the descending direction and go back to the key A at the end. The similar method is used in No.
37. The gradual ascending seconds reach the high A-sharp/B-flat (bar 8) and descending down to
low A. Nos. 16 and 17 represent Rochberg’s skillful techniques writing in tonality; both are
operatic in style, with extensive use of ornamentation. No. 17 is a variation of No. 16 with more
improvisatory quality, somewhat like the “double” movements in Bach’s Solo Violin Partita No.
1 in B minor, BWV 1002. The reference to Paganini’s theme is hidden by the embellishing
notes. The I–V motion is present in the A section, but in the B section the circle of fifths
movement is substituted by descending motion. The form is transformed from a two-part
variation to ternary form. No. 23 is simple and expressive in nature, and it is used in the third
movement of the Third String Quartet in the fourth variation, Andantino grazioso. The B section,
similar to No. 16, is led by descending stepwise bass motion. No. 28 follows the ABA form. The
A section and circle of fifths follows Paganini’s theme before un poco meno mosso in bar 15.
There is a coda in Tempo primo that emphasizes the I–V relation.
Nos. 29 and 30 show clear tonality in A major with a high degree of chromaticism. No. 30 is the
double/variation of No. 29; the sketches for No. 30 in the New York Public Library manuscript
are marked by Rochberg “based on Lento ma non troppo,” which is the title of No. 29 (see Plate
2). The harmonic structure shows the influence of Romantic era tonality, with clear I–V–I
motion, but with usage of chromatic chords of dominant seventh chords, diminished seventh
chords, and expanded chords. No. 30 is later used in the third variation, Poco allegretto;
grazioso amoroso in the third movement of Rochberg’s Third String Quartet, but with different
articulation altering between first and second violin.
45
46
In No. 31, although the language is still tonal, the V–I motion does not exist in this variation. The
entire variation is dominated by diminished triads and seventh chords. Although we cannot see
the relationship with the original theme, the main material of a half-step up followed by minor
third can be seen throughout the variation. This is presented in the upper voice in linear motion
with slow descending sixths at the beginning, and in the accented notes with triplet triad chords
in the middle section Un poco più mosso. The only slight connection with the Paganini theme
may be the B double-flat (A)/D-flat (C-sharp)/F, an Augmented triad, in the lower voice. Both
Kaplan and Skaerved pointed out that No. 31 references Verdi’s operatic style.
As the tempo indication shows, the lively variation No. 38 is a parody of the can-can, a Parisian
dance popular in mid-nineteenth-century music halls, which involves women in flouncy dress
dancing a high-kicking step in quadrille pattern. The A section shows clear I–V motion before
the repeat. However, the B section is expanded with modulations.
3.4 Group 3
There are 13 variations in Group 3; while each of them still has a pitch centre on A, or references
the original theme in other ways, these variations depart still further from the Paganini model.
Most of them are based on a pitch-class set, and some juxtapose contrasting materials. Nos. 34
and 39 feature extensive use of minor seconds and tritones. No. 41 quotes from Webern’s
Passacaglia, Op. 1 and develops that theme using a twentieth-century musical language.
No. 18 is the first variation to depart radically from the Paganini theme. Up to this point, all of
the variations are tonal and show some direct connection to Paganini. No. 18 is in a modernist
idiom, uses atonal practice, and makes dramatic expressive use of silence. This variation is in
ternary (ABA) form. Lewis Kaplan calls No. 18 “the bird song”, and the entire effect is erratic.67
The whole variation is based on the pitch-class set [016]. The A section features a rapid and
harsh fragment of a motif in a very high register, with D–G sharp–A, based on the pitch-class set
[016], with glissando and accent. The motif forms a quintal chord. The B section juxtaposes
three motives, octave sliding, short sul ponticello figure, and high flautando glissando. The first
67
47
motif E–F–B flat is also based on pitch-class set [016] and suggests the circle of fifths; the first
note A to the third note E form a perfect fifth, and the second note B flat to the fourth note F
forms another perfect fifth, indicating the influence of the circle of fifths. The flautando
glissando pitches D–E flat–A and A–B flat–E are both based on pitch-class set [016]. The
returning A section reinforces the beginning motif with an added adagio downward glissando;
Rochberg drew upon this variation for the dramatic opening of his String Quartet No. 3.
No. 19 uses features reminiscent of Stravinsky, particularly obsessively frequent changes of time
signature. The musical gestures mostly consist of dissonances: minor seconds, augmented
fourths, and extended chromaticism, which create an anxious character. The frequent changes of
time signature and displaced accents distort the pulse and make the section even more violent in
character. Rochberg reused this variation in the fifth and final movement of his Third String
Quartet (see Figure 19). Skaerved mentioned that he disagreed with Rochberg about the tempo of
this variation. Rochberg required a slower tempo, while Skaerved wanted a faster tempo.
Eventually, Rochberg was convinced by the “crazy” tempo.68
No. 33 emulates neoclassicism by the use of block texture, and depends on the use of rapid
juxtaposition of different melodic materials and pizzicato/arco playing styles for its humorous
effect. Rochberg marked “Stravinsky” in the manuscript (see Plate 3). Although there are subtle
harmonic implications of I–V motion, the entire A section contains no functional harmony.
Instead, it is based on A major pandiatonic. The quintal harmonics indicates the circle of fifths.
Rochberg reused the material from Marcatissimo (bar 11) in his Third String Quartet, fourth
movement, m. 42 in unison (see Figure 20).
68
Skype Interview with Peter Sheppard Skæ rved, December 7, 2019.
48
Figure 19: Rochberg String Quartet No. 3, fifth movement (opening)
49
50
Figure 20: Rochberg String Quartet No. 3, fourth movement, bars 39 to 48
No. 34 unfolds a meandering chromatic melodic line around a sustained pedal note on the pitch
A. The slow tempo creates a tranquillo quality on the surface, but the chromatic line instills a
feeling of deep anxiety; the variation is marked doloroso (“painful”). The slow tempo gives time
for the listener to taste the chromaticism against the A. The intervallic movement in this
variation is not calm; it eliminates the voice leading, and increases the tension.
No. 35 is in three sections. The first section is the obsessive repetition of a screaming figure. The
pitch centre is A in this section, which is highlighted by the use of its neighbour chromatics G
sharp and B flat. The second section features a chromatic grumbling/roaring figure on the G
string, with dramatic dynamic changes and glissandi. The third section is a combination of the
first two. The quick alternation between the two ideas increases in intensity toward the end.
Rochberg noted “Repeat ad lib. until maximum intensity and break off” at the end, giving the
performer the freedom to decide when to end the variation.
No. 39 explores chromaticism in a bolder way with glissandi and different timbres. This is a
modern variation with many extended techniques: audible vibrato oscillation, sul ponticello, and
specific dynamic requirements, fff whirling!, for example. Rochberg intentionally used intervals
of a minor second to intensify the “Elegiac” character. The Paganini theme can only be seen at
the beginning with a slight reference as E flat rises up to B flat, indicating tonic to dominant. We
51
could roughly divide it into three sections. The first section gives a sense of tonic and dominant
with manipulation of V–I. The main/second section continues the chromaticism while vaguely
referencing the triad with the use of the major third interval. The last section gets more intense
with dramatic use of minor second intervals.
No. 41 transposes a section from Webern’s Passacaglia Op. 1 and uses twentieth-century non-
tonal practice. Bars 1 to 8 and the upper voice of bar 9 are roughly a transposition from D minor
to A minor of the Sehr Lebhaft section, two bars before rehearsal number 23, in the Passacaglia.
The coloured orange line and blue line in Figure 21 show that the melodic lines are transposed to
A minor. The first three bars in No. 41 move a perfect fifth up. However, from bar 4 to bar 8,
Rochberg developed the material a perfect fifth down rather than a perfect fifth higher, which
might be hinting at the circle of fifths. Bars 9 to 16 are the inversion of the previous nine
measures, with the exception that the arpeggio in bar 11 is slightly different. The lower voice of
bar 17 is not the inversion. Bar 17 to the end is transposed a minor second up from the beginning
passage with the exception of the arpeggio in bar 18 (see Figure 21).
Rochberg’s favorite variation among the 50 variations is No. 41. He was asked to choose one
manuscript to be printed as a greeting card when he donated his music manuscripts to the Sacher
Foundation. It was No. 41 that he picked.69
69
52
Figure 21a: Rochberg Caprice Variations, No. 41 (complete)
Transposition
Inversion
11
Transposition +m2
15
19
22
53
Figure 21b: Webern Passacaglia, Op. 1, starting three bars before rehearsal number 23
54
55
56
No. 42 is a variation based on the pitch-class set [026] and its expansion to [0268] and [01268].
The fermatas separate each pitch class set. As listed in the form below, the normal form [3,9,11]
is the prime form of [026]. In the A section, the second pitch-class set ending on E is the
dominant of the first pitch-class set ending on A, corresponding to the Paganini theme’s I–V
motion. The B section expands to pitch-class set [0268] and the end stretches the set to [01268].
The highlighted yellow notes show the circle of fifths (see Figure 22).
The motivic unit of No. 45 makes a reference to Bartók’s String Quartet No. 5, fifth movement
starting at bar 55 (lower voices), featuring octatonic scales, which occur frequently in Bartók’s
works. No. 45 is based on three octatonic collections with a modular approach to the Paganini
theme’s rhythmic figure. Meanwhile, the Paganini connection is presented by a clear tonal centre
on A at the beginning and the end, and circle of fifths motion. From bar 1 to bar 3 is octatonic
scale [0,1], and [2,3] finishes the phrase. Bar 9 moves up 11 semitones and continues [2,3] which
completes on [1,2]. Bar 13 moves up 11 semitones and goes back to [0,1]. From bar 17 to bar 20,
there is an obvious circle of fifths, as the octatonic collection changes in every measure [1,2],
[0,1], [1,2], [2,3], the last phrase is [2,3]. Octatonic scale [0,1] is showed in blue highlight; [1,2]
in orange highlight; and [2,3] in green highlight (see Figure 23). The rhythmic value in this
variation inverts Paganini’s original theme, with the dotted rhythm on the second beat and
sixteenth notes on the first beats, the reverse of Paganini’s original theme.
57
Figure 22: Rochberg Caprice Variations No. 42, complete, showing the relationship to
Paganini’s theme
[026]
[026]
[0268]
[0268]
[0268] [0268]
[0268]
[01268]
58
Figure 23: Octatonic Scales in Rochberg Caprice Variations, No. 45 (complete)
59
No. 47 combines pitch collection [026] and a chromatic collection. A major second followed by
the tritone are frequently used to complete the chromatic scale. No. 48 uses the harmonic bass
line from Paganini and hints at the twelve-tone technique by aggregate motion in chromaticism.
Before the double barline, we can clearly see the I–V motion, holding pitch from A to E, and E
to A. After the double barline, the repeating note is D, which is IV of A. Next is G, V of C. Then
E, which is III6/4 of A. Then B flat, and a Neapolitan chord followed by B, a pitch from V of A,
and finally, back to A before the last two notes. The Paganini relationship is highlighted in
yellow (see Figure 24). Rochberg used chromatic collection [0,1,2] and octave displacement to
depart from the original theme. The second to last system until the first fermata forms an
aggregate. Without the octave displacement, most of the intervals are semitones.
The performance indication for No. 49, “Feroce” (fierce), refers to the extremely passionate tone
of the variation. Rochberg uses the most intense interval, a semitone, both horizontally and
vertically. The chromaticism exists in compound intervals, using the inverted version of a minor
second. The horizontal minor seconds are presented in a group of three, while the vertical minor
seconds appear as fff tremolo double stops. However, we can still find the relationship to the
Paganini theme. In the first half, A to E appears twice, suggesting I–V motion. In the second
half, A–D, G–C, F–B appear, hinting at the circle of fifths.
The last variation No. 50 leads us back to tonality after the extended departure. The sustaining A
provides a strong tonal centre. The non-tonal sections feature the pitch collection [026], and its
variations. The tremolo section is based on whole-tone collections, and the last section arrives on
an A major arpeggio, leading to the appearance of the Paganini theme.
60
Figure 24: Rochberg Caprice Variations No. 48 (complete)
61
3.5 Conclusion
The analysis shows the circular movement of the 50 variations. The first four variations are
purely diatonic and present an obvious framework based on the Paganini theme. Nos. 5 and 6
start to add more expressive ornamentation. From No. 7 to No. 32, the style gets more diverse
with the use of quotation (direct transcription, half quotation, and motivic quotation), and
references in tonality to different eras and idioms (Baroque, Classicism, Romanticism, and dance
music). Nos. 18 and 19 are an abrupt disruption in a more modern language. No. 33 again
announces the formal entrance of a modernist language, and the modern idiom appears more
frequently thereafter. At the end of No. 50, the arpeggio of A brings us back to Paganini’s theme.
The analysis also presents the explicit and implicit references to the Paganini theme. The
reference in the tonal variations can mostly be recognized aurally with I–V harmonic motion and
circle of fifths (Group 1). Other tonal variations (Group 2), although not strictly following the
harmonic progression of the theme, are Romantic and highly chromatic. They indeed serve
Rochberg’s purpose in composing Caprice Variations: expanding his emotional palette.
Rochberg reused and expanded some of the variations in the third movement of his Third String
Quartet. The non-tonal variations (Group 3) still preserve pitch centre A and create more tension
with the tonal variations.
62
Chapter 4
Beyond Virtuosity: An Analytical Practice Guide to Caprice
Variations
4.1 Introduction
The purpose of this chapter is to help violinists understand the technical difficulties in each
variation and the most productive method to practice them. Even the finest violinists have to
continue to polish their technique in order to maintain a high level of accuracy. I asked Lewis
Kaplan, “Which one [variation] do you think is the most technically challenging one?” He
replied, “Everything!” Andrew Jennings singled out No. 41 (based on Webern’s Passacaglia,
Op. 1) as particularly difficult. Because of the great demand in terms of violin technique
throughout this work, I will explain the technical difficulties of each variation one at a time,
instead of grouping them together based on similar techniques. I will also incorporate the
practice suggestions from Kaplan, Jennings, and Skæ rved. I will categorize the variations
according to five levels of difficulty, from A to E (E will be the most difficult level and take the
most time to prepare. See Table 2). The more difficult variations require more double stops,
rapid shifting, finger extension, and awkward fingerings. The categorization is based on the
interviews with the three violinists and my performance experience on the work. I hope these
observations will serve as a resource to help violinists achieve efficient practice.
Table 2:
Difficulty Number
A 5, 43, 45
B 12, 18, 19, 20, 23, 24, 25, 26, 27, 29, 30, 35, 37, 40, 42, 46
C 1,7, 14, 15, 16, 17, 21, 28, 31, 34, 36, 39, 44, 47, 48
D 2, 6, 8, 9, 22, 32, 33, 38, 49, 50
E 3, 4, 10, 11, 13, 41
63
Rochberg studied the solo violin music of Bach and Ysaÿe to better understand their idiomatic
use of the violin, so that he could use as many solo violin techniques as possible.70 In addition to
using many solo violin techniques in the variations, Rochberg also employed different musical
styles in the composition. Recognizing the style is of great importance when learning the
variations. Here is a basic guide for grasping the style. First, listen to the original work for those
variations that Rochberg identifies as being based on a particular composition. Second, become
familiar with the stylistic idiom that Rochberg is evoking in each variation. Third, be aware of
and recognize the overall character and effect of each variation.
In Galamian’s pedagogical method, technique should be mastered first.71 Intonation is the first
thing to concentrate on before any other violinistic challenges are faced. However, some other
violinists have different opinions. Lewis Kaplan stressed that,
“You cannot grow the body first until it is mature, and then grow the mind … Galamian’s
philosophy stresses getting the technique first, and after you have the technique, you can
learn the music. For me, this sense is unnatural. You don’t grow physically as a person,
and when are twenty or whatever you just start to get your mind. You are doing both.
That’s the way you should teach. Of course, without techniques you can’t do anything. But
without a head, what’s the point?”72
The musical ideas always support the achievement of technique. As Simon Fischer said, “most of
the technical issues remain the same, e.g., intonation, tone production, rhythm and articulation,
co-ordination, relaxation, as well as the easiest possible working of arms, hands and fingers.”73
One of the most challenging things in this work is physical stamina. It is not a concerto with
orchestral interludes so that the soloist can have a break, nor is this a concert show piece, as these
70
(Urbana: University of Illinois Press, 2009), 28.
71
See Ivan Galamian, Principles of Violin Playing and Teaching (Englewood Cliffs, NJ: Prentice-Hall, 1962); new
ed., with an Introduction by Sally Thomas (Mineola, NY: Dover, 2013) for an overview of Galamian’s pedagogical
methods.
72
Interview with Lewis Kaplan, New York, October 8, 2018. Kaplan was a pupil of Galamian.
73
Simon Fischer, Basics: 300 Exercises and Practice Routines for the Violin (Oxford, United Kingdom: Peters
Edition, 1997), vi.
64
are usually short, less than 30 minutes. Without proper training or preparation, one can get
injured performing this 90-minute long work. The performer should aim to play through the
whole work twice one week before a public performance to develop cognitive concentration and
physical stamina.
One important aspect that all performers should carefully think about is the transition between
the variations. As Skæ rved noted, “Do you choose to give the audience a moment [between the
variations] to reflect? Or do you just play attacca the whole time?”74 Rochberg did not specify
any attacca except after Variation No. 50, which segues directly into the theme. The length of the
transition time is decided by the performers based on their understanding of each variation. And
this is one crucial part of the performance.
4.2 Level A
No. 5
This variation presents the acoustic effect of the wind or a gentle sea wave. To create a
shimmering sound, the contact point should be close to the fingerboard, and all the notes must be
connected. The start of each note should not be emphasized but the pitch must be clearly heard.
The bow hair should be tilted to create the effect. To connect the sound even more, tilted bow
hair facing out will assist the effect.
No. 43
This variation in galant style requires an elegant classical tone quality. To play this variation at
the required Andantino tempo, start on the string close to the tip with separation between each
note instead of spiccato. The bow stroke has to be lightly executed, with lots of horizontal
motion and speed. The ornaments should be played in the classical fashion, on the beat. The
effect should be expressive but lighter than other main notes. Regarding execution of ornaments
in Classical style, the violinist Jaap Schröder said:
74
Skype interview with Peter Sheppard Skæ rved, December 7, 2019.
65
[B]y nature they [ornaments and embellishments] are light and unstressed, and devoid
of tension, like trills and turns themselves. In order to achieve weightlessness,
however, the preceding appoggiatura receives – on the beat – the stress necessary to
propel the embellishment up in the air. If the appoggiatura happens on a downbow,
players must take care to diminish the intensity of the initial impulse immediately
after the appoggiatura, before the beginning of the trill or turn. If the ornament is
marked on an upbow, an upbeat crescendo should be avoided.75
No. 45
The main technical focus in No. 45 is the realization of the contrasting dynamics to present an
anxious character. The recurring brief crescendo to sforzando and back to piano in a single
measure requires precise control of the quick changing of bow speed and pressure. It is easier to
break the sound playing sforzando with the mute, since in conventional violin playing, con
sordino is used to create a softer colour. To avoid any undesirable sound, practice the variation
slowly with the mute to explore the contact point, bow pressure, and weight for the best
combination.
4.3 Level B
No. 12
The technical requirement in No. 12 is smoothness in both legato bow stroke and left hand
shifting. The most crucial thing in playing a seamless legato stroke is not to be disturbed by the
left-hand shifts or string crossings. Although the left hand has to articulate the notes, the motion
of the fingers should not be abrupt, and the bow should sustain a similar weight and speed most
of the time. To create smoothness in shifting and melodic leaps, slower bow speed and subtly
lighter pressure will help eliminate the gaps in between notes.76 Practicing on open strings
without the left hand is encouraged to execute seamless bowing. Smooth shifting is achieved by
75
Jaap Schröder, “A Performer’s Thoughts on Mozart’s Violin Style,” in Perspectives on Mozart Performance, ed.
R. Larry Todd and Peter Williams, Cambridge Studies in Performance Practice, No. 1 (New York, NY: Cambridge
University Press, 1991), 124.
76
Galamian, Principles of Violin Playing and Teaching, 64.
66
continuous movement of the shifting hand and precise coordination with the bow. Continuous
movement can be achieved by practicing at a slower but even speed. The left fingers, hand, and
arm should all shift together. The bow can assist in creating a good shift by slowing down the
bow speed and decreasing the bow weight.77
No. 18
As stated in the last chapter, this famous shocking/ear washing/breath-taking variation is the first
one to drastically move away from the Paganini theme. It is also the first variation requiring
extended performance techniques, including sul ponticello, glissando, and unspecified note
length. Although the swooping effect is the main idea, it is a good idea to practice without the
slides at first, and add the slides when the intonation has been polished. Lewis Kaplan mentioned
that the effect in this piece is like a bird chirping.78 To simulate that sound, the bow speed and
bow pressure should both increase with the crescendo. The glissando in the Adagio (starting in
bar 49) should simulate a different kind of bird sound, more whimpering. As a result, slower bow
speed and lighter bow weight are needed. The motif is in an extremely high position; the player
has to anchor the left thumb at the most comfortable place, depending on how long his or her
thumb is. If the thumb has to come out from the violin neck, the head needs to hold the violin
firmly.79 The fingering of the motif can be as follows (see Figure 25).
Figure 25: Rochberg Caprice Variations, No. 18 (bars 1–5)
3
3 1
2 2
77
Ibid., 27.
78
79
67
No. 19
As the character of this variation is primitive and rough, beautiful tone quality is not a main
concern; indeed, the tone should be harsh and percussive. The variation should reflect the
barefoot dance in Stravinsky’s Rite of Spring. This choreography requires bending and dancing
on the whole foot, which is the opposite to classical ballet. To get a better sense of the sound and
sonority, listen to a recording of the fourth movement of Rochberg’s Third String Quartet. The
bow stroke should be an aggressive on-string spiccato with more bow speed, and the movement
is initiated by the elbow. There are many ways to execute the effect. As Park notes, on the
existing recordings of this variation, every performer’s stroke is a bit different.
Sheppard Skæ rved’s sound is one created by playing on string with a fast stroke. Gidon
Kremer deftly plays in between on and off the string, while Andrew Jennings, a professor
of violin and chamber music at University of Michigan who has championed this piece in
his recitals and on YouTube, uses a martelé stroke in which each stroke includes a further
application of bow pressure creating a biting affect.80
Skæ rved and Kremer play this variation twice as fast as the indicated tempo. As
mentioned in Chapter 3, Skæ rved and Rochberg had an argument regarding the tempo. Jennings
plays the tempo as indicated, an eighth note equals 208. Zvi Zeitlin played a similar tempo,
around eighth note equals 190, while he used a lighter martelé bow stroke than Jennings.
No. 20
After the aggressive tone of Nos. 18 and 19, No. 20 returns to the classical style, with a character
of pureness and elegance; it is a cadenza in the style of Mozart. The bow stroke should be clean
and light, while maintaining a virtuosic character. As Schröder suggests,
[Performers] should avoid excessive dynamic contrasts that tend to distort the
intention of Mozart’s phrases; on the other, they have to bear in mind that in the
80
Siryung Park, “George Rochberg’s Caprice Variations for Unaccompanied Violin: A Stylistic Study and
Performance Guide,” (DMA diss., University of Cincinnati, 2017), 67.
68
classical period the basic bow stroke was still a downward impulse followed by a
lighter upbow reflex, much like the movement of the foot being put down and
lifted afterwards.81
Rochberg has indicated various types of articulation very carefully, to assist performers to
execute the classical style of performance. Instead of playing an accent in the Romantic style, the
accents in this variation should be produced with small vibrato as an ornament. The use of tenuto
suggests a slightly longer note than normal notes without an articulation marking. The length of
notes with a tenuto and martellato should be the same as notes with tenuto but with further
emphasis on the note. Tenuto with staccato indicates playing shorter than the normal note length.
The staccato is the shortest. The chart below provides the hierarchy of the note length in this
variation (see Table 3).
Table 3: Hierarchy of the note length in Variation No. 20
Shortest
staccato
tenuto with staccato
no articulation marking
tenuto
tenuto with martellato
Longest
81
Schröder, “A Performer’s Thoughts on Mozart’s Violin Style,” 123.
69
No. 23
The treatment of the ornaments in the yearning and elegant No. 23 is the same as in No. 43. The
tenuto marking on the downbeats suggests the decaying effect on the offbeats. Kaplan suggested
that the grace note should be played before the beat.82
No. 24
This variation features a humorous interplay between a motif from the finale of Paganini’s Violin
Concerto No. 1 and one from the first movement of the Brahms Violin Concerto. The pizzicato is
rather outspoken and showy, while the Brahms motivic quotation is beautiful and intimate. The
two contrasting characters create a humorous effect. The pizzicato combines both left and right
hand. To execute a left-hand ringing pizzicato, Galamian suggested that performers use the
middle, fleshy part of the fingertip to pinch the string, so the fingertip contacts with more of a
downward motion. Also, the pitch fingers have to be held firmly.83 The same concept applies to
right-hand pizzicato, using the flesh of the fingertip to pluck. The finger should stay close to the
string for smooth and quick alternation between the left and right hands. Andrew Jennings
performed the descending pizzicato in a different way; he used ricochet, as the Paganini concerto
from which the music is quoted uses ricochet.84 Jennings mentioned that he went to Gidon
Kremer’s recital, and Kremer used ricochet instead of pizzicato.
No. 25 & 26
These two variations both present a con brio spirit. We can imagine it as an exuberant dance
during a carnival. To achieve the character but still maintain clean tone, the bow speed can be
faster and the accent is executed by fast and narrowed vibrato with energy at the head of each
note and heavy weight in left-hand fingers. Practice slowly to prepare the block of left hand and
start of each bow stroke. The glissando in No. 26 adds more weight in the dance.
82
83
84
70
No. 27
This variation should present an eighteenth-century singing quality, so vibrato should be used
only as an ornament, and added to emphasize the important notes. The weight of the bow stoke
should be lighter with more speed closer to the fingerboard. The execution of the articulation
should be in keeping with the title “Aria,” hence the staccato sign should be played as a
separation, not an edgy accent. The tenuto implies emphasizing the notes with elegance and
lightness.
No. 29
All the grace notes and fast notes should sound improvisatory in the harp-like No. 29. The string
crossings and shifts have to be smooth and clean, with the tenuto sign indicating separation.
Vibrato should be varied according to the harmony, but on the slow side to create a ringing
sound.
No. 30
To create a delicate and calm effect despite the rapid notes, practice with legato bowing first, and
then with separation between each note.
No. 35
In No. 35, the effect is to produce shock through the roaring and screaming sound (note the
feroce indication), providing maximum contrast to the slow and sonorous No. 34. The beginning
rhythmic section should be played at the frog with high pressure. The long notes in the variation
should be executed with wide and fast vibrato and heavy and sustained bow weight. Toward the
end, Rochberg marked “heavy bow pressure.” Overpressure is a contemporary extended violin
technique used a lot beginning in the 1970s. There are two things to consider when encountering
this technique, pitch being one prime parameter, and timbral effects being the other.85 To
produce the overpressure, increase the weight of the bow and decrease the bow speed at the same
85
Allen Strange and Patricia Strange, The Contemporary Violin: Extended Performance Techniques (Berkeley:
University of California Press, 2001), 17.
71
time. It is important to know the composer’s intention, i.e., whether the pitch should be heard or
the timbral effect is more crucial. In this case, Rochberg’s performance instructions (e.g.,
“almost unbearable intensity”) seem to indicate that the timbral effect was uppermost in his
mind. One can play upbow on the overpressure notes, as playing toward lower half of the bow
will efficiently sustain the cracking sound.
No. 37
String crossing and legato are two important techniques in this variation; finding the right contact
points to create a seamless melodic and accompaniment line is another challenge. The string
crossings here cover all four strings, and there is shifting at the same time. To produce the
required dolcissimo atmosphere, one must know the concept of string vibration and adjust the
contact point accordingly; the proper contact point on one string will be different from that on
another string. When playing from a lower string to a higher string, one might need to play
slightly closer to the fingerboard on the upper string to maintain the same quality of sound.
No. 40
The variation is a study in sixths. One useful pre-practice for this variation is the two-octave E
major sixths chromatic scale. The next step is to isolate the sixths in the variation and group the
leaps to practice shifting. Then play the sixths, but only play the lower string or higher string to
secure the intonation and shape the phrasing.
No. 42
One extended technique in this variation is the microtone. In the last line, Rochberg marked
“Play 1/4 tone below pitch,” which produces a distorting pitch. To find the microtone, one can
play the pitch and a semitone above or below the pitch. The half-way point between the semitone
will be the desired pitch. Skæ rved called this variation a “parasite in the stomach.” He thinks that
the inspiration for the variation comes from the section of Stravinsky’s The Flood where the
devil is represented by the bass flute. The presentation of the spectrum of sound is the effect. As
72
Skæ rved said “the space-time graphic notation indicates that the notes are guide for the shape,
even though they are harmonically related to everything.”86
No. 46
No. 46 presents a cadenza in the grand manner, as the title specifies. It should be virtuosic,
carefree, and expressive. It is the last variation with a strong A-minor tonality, and it features lots
of rapid passage work. Rochberg didn’t specify any exact rhythms in this variation, to give
performers the freedom to execute it in a recitative-like spirit. There are countless possible ways
to perform it. Jennings suggested that one should have the operatic style in the ear first. “In a
way, it is sort of a backward notation which is something like Ysaÿe, Vieuxtemps, Paganini, or
any of those great operatic-based composers will write: something that looked like very square
rhythms, but you don’t follow exactly the same thing [as is written]. Instead, you bend them [i.e.,
the rhythms] all over the place. Very similar to a soprano singing an aria, they are not singing
anything like the exact rhythm that is there.”87
4.4 Level C
No. 1
As this variation is a grand opening evoking the spirit of Paganini, we can relate it to Paganini’s
Caprice No. 9 (see Figure 25). Paganini’s Caprice mimics two instruments, flute and French
horn, as noted in the score, whereas Rochberg’s variation evokes trumpet fanfares and a snare
drum. The opening chord and the passages with melodic thirds are like a trumpet call. The driven
repeating note drone is simulating the sound of a snare drum. Keeping the instrumental colour in
mind will assist the technical approaches in playing the variation.
The violinistic techniques involved in No. 1 are chords, thirds, string crossing, and staccato. The
Allegro energico tempo and the marcato indication on the opening chord suggest that the chords
86
Skype interview with Peter Sheppard Skæ rved, December 7, 2019.
87
73
are to be played unbroken. A similar passage from the violin literature occurs in Paganini’s
Caprice Op. 1, No. 24, Variation No. 8 (see Figure 26).
Figure 25: Paganini Caprice Op. 1, No. 9
Figure 26: Paganini Caprice Op. 1, No. 24, Variation No. 8
The fast changing of chords suggests that the chord be played unbroken. Galamian suggests that
the most efficient way to produce an unbroken chord is to angle the bow at the middle string and
play not from the string, but off the string.88 The starting point should be close to the strings, not
88
74
in the air. Use gravity to drop the bow down, rather than forcefully attacking the strings. As soon
as the bow touches the strings, the bow hair should have a grip and pull the three strings
horizontally. The alternative way to play an unbroken chord is to start from the lower two strings
first and pull to the upper strings quickly. The first way will make the rhythm very precise and
tight. However, it might result in producing a harsh sound. The second way would produce a
fuller and rounder sound than the first way. The chord is followed by the repeating marcato
figure. These little notes should give a sense of drive leading to the last repeating note. The drive
can be achieved with increasing weight and bow speed. While the right hand is executing
decisive and separated bow strokes, the left hand should be rather continuous and balanced,
which is difficult as our two hands naturally tend to mirror each other. Over-pressing the left-
hand fingers will result in stiffness and fatigue, leading to inaccurate intonation and harsh tone
quality.
Double stops in thirds is one of the challenges in this variation, especially in bars 7, 8, and 9.
Unlike the previous double stops which maintain a consistent hand shape, in bar 7, the
alternating note changes from an open E string to a stopped note C on the G string, so the first
finger has to switch from double stops to the G string causing instability in the left hand. The
exercise shows how to cultivate a balanced fourth finger on stretching D, while maintain the first
finger on C (see Figure 27). The next bar, bar 8, is even more complicated. Each group of two
slurred notes has a completely different finger pattern. Keep the hand frame as steady as possible
while switching the finger patterns. The low B should be reached by stretching back, rather than
shifting. Bar 9 involves both stretching and shifting. The A–C double-stop should be produced
with fourth finger stretching.
The string crossing of double stops in this variation is well suited for the violin. First, the slurs of
the two notes together gives violinists a short pause to switch the fingers. Second, the accent
Rochberg required eliminates worries about smoothness in the string crossing. However, the
string crossing in bars 7, 8, and 9 require extra care. When slurring to the lower notes, in order to
make the notes speak more clearly, the contact point should move a bit toward the fingerboard
and the bow speed should be slower.
75
In the second repeat, Zvi Zeitlin plays the repeating notes spiccato instead of marcato making
the contrast stronger.
Figure 27a: Rochberg’s Caprice Variations, No. 1, bar. 7
Figure 27b: Exercise
No. 7
In this variation, the goal is to recreate the character of the scherzo movement from Beethoven’s
String Quartet Op. 74 on solo violin. Using more wrist when playing the repeating eighth notes
realizes the leggiermente indication (i.e., lightly and gracefully). When crossing the string to the
bottom note, make sure the bow weight is lighter and the bow speed is balanced with the amount
of bow usage, to create an uplifting character. Keeping the hypermetre of four in this variation in
mind fosters a sense of phrasing and avoids chopping the phrase every measure. In other words,
a sense of drive leading to the fourth measure is needed. In the B section, practice with a pause
before the double stops to prepare the left hand before moving the bow.
No. 14
No. 14 is the only variation played entirely with pizzicato. Although there are many ways to
execute pizzicato, this variation requires two different types of pizzicato, arpeggiated chords and
76
single notes. To simulate a guitar sound, use the flesh of the fingertip to pluck the strings, and
each string should be treated slightly differently. The G string needs more engagement in the
pulling and plucking movement, whereas the E string requires less weight. For the arpeggiated
chords, pizzicato a la chitarra,89 the strings are plucked by the thumb of the right-hand. To
create a fuller resonance, “the performer strokes the string at an angle and toward the scroll. The
flesh of the thumb and the angle of the stroke produces a soft attack and a rounded sound.”90 The
bottom line can also be played by the thumb to create a deeper sound.
No. 15, No. 16, and No. 17
Note: In the manuscript owned by Lewis Kaplan, Rochberg noted at the end No. 15 “with
optional repeat,” like No. 18 in the published score (see Plate 4).
No. 15, 16, and 17 share a similar character: expressive, elegant, and dolce. No. 15 (marked at
the start un poco agitato) is slightly more lively than No. 16 and No. 17. The three variations
also share the same technical challenging: string crossing. To get a suitable character, smooth
and gentle bow changes are required, in order to sound like a seamless line from the beginning to
the end. To achieve lightness and smoothness, practice singing the melodic line without vibrato
for precise intonation and musical phrasing, since the technical aspect is usually solved with the
musical idea. After that, add the double stops as indicated in the music, but still practice with the
same focus: distribution and basic tone quality, as well as the intonation. As a final step, add the
vibrato for a more singing quality.
89
This is the term used in Strange and Strange, The Contemporary Violin for arpeggiated chords.
90
Strange and Strange, The Contemporary Violin, 58.
77
Plate 4: Rochberg’s manuscript of Caprice Variations owned by Lewis Kaplan, No. 15
78
No. 21
Marked Allegro con brio, the energetic spirit of No. 21 should be executed mostly by the bow
speed. Many of the variations require two contrasting techniques, articulation, or characters; No.
21 is in this category. The linear sixteenth notes and the disruptive chords in the variation create
not only vertical and horizontal aspects for the music, but also a contrasting aural experience.
When playing the sixteenth notes, the left hand should be tapping the tone to articulate the pitch,
while the right hand stays connected and controlled. When playing chords, roll from the bottom
two notes to the upper two notes on the four-note chords. As suggested in No. 1, practice the
chords using blocked fingers to get clear articulation.
No. 28
The most challenging aspect of No. 28 is the intonation of the double stops. Isolate the double
stops and eliminate the rhythmic pattern first to practice intonation and tone quality.
No. 31
The two-voice writing suggests a melodic line and an accompaniment line in alternation. The
technical difficulties include starting double stops with pianissimo, especially when there are
other notes on other strings before. The difficulty lies in two aspects. First, to start soft, the bow
tends to resume without catching the resistance on the two strings, resulting in weak sound or
playing only one string. However, if one aims at two strings firmly, quite often a louder sound is
produced. The suggested practice method is as follows. Play the individual double stops alone to
find the right angle of the bow and listen for more sound on the lower string. Then play the notes
following the double stops and find the right angle for the next double stops. In the Un poco più
mosso section, Rochberg put the articulation marking < – > on each downbeat, meaning a hairpin
on the note, and prolong the top point more. To execute this, in addition to the vibrato being
faster at the middle of the note, the bow can draw ∪ with more weight on the curve.
No. 34
To create the endless Molto adagio atmosphere, sustain the long notes with steady bow pressure
and speed. The left-hand fingers must avoid abrupt motion and must not tap the fingerboard too
79
fast. The dynamic should be pianissimo throughout, and the phrasing smooth and understated.
Skæ rved said that Rochberg required him to play at the tempo of quarter note = 30; this makes
for an effective connection to the contrasting No. 35, which will thus be four times as fast. 91
No. 36
This is the lengthiest variation in the whole piece. The difficulty lies in the production of slow
and refined sounds. Please refer to No. 1 for practicing soft double stops and No. 12 for good
legato. The perfect fifth double stops in bars 3 and 5 are challenging, especially for violinists
who have narrow fingertips. When tuning perfect fifths, adjust the intonation by moving the
elbow right or left rather than only moving the fingers.92 In bar 13, the first finger of the perfect
fifth should be prepared in advance of the first beat, so the second beat can be connected
seamlessly.
As there is only one dynamic marking, the piano at the beginning, Jennings suggested following
the dynamic marking in the third movement of the Third String Quartet. He said in the interview
“I just had lived with that theme in the quartet for so long, so I couldn’t possibly play this piece
any other way. In general, when there are literal direct quotations from the quartet, I tend to use
the effect of the quartet rather than from here.”93
To portray a calm atmosphere in the variation, Skæ rved pointed out that in his mind, this
variation is similar to the sound world of Heiliger Dankgesang, the third movement of
Beethoven’s String Quartet, Op. 132. The deep impulse is similar in the two slow movements.
As Rochberg was emulating a Beethovenian language in the third movement of the Third String
Quartet, relating this slow variation to Beethoven will be the most desirable reference.94
91
92
93
94
80
No. 39
There are a couple of extended techniques in this variation, specified slow and wide vibrato,
ricochet with sul ponticello, and pitches slurred by a glissando effect. As in No. 18 and No. 35,
this variation is more concerned with timbral effects than the conventional aesthetics of good
violin playing. With that in mind, creating the right sound and space is the priority. The specified
vibrato first appears at the beginning. Rochberg wrote “slow vibrato, oscillate slowly, within
quarter tone.” At the end of the first line, he specified “non vibrato.” In a contemporary piece like
this, performers should not take vibrato for granted, and should pay particular attention when a
composer indicates that vibrato is to be used or not used. The two components of vibrato are
speed and width, or rate and amount of pitch variation.95 Rochberg specified the width, but gave
the perform freedom to decide how slow the speed should be. No matter what rate the performer
decides upon, the vibrato should gradually become faster with the decrescendo as indicated on
the music.
The next extended technique is ricochet with sul ponticello. Performers should have a clear map
regarding the timbre when playing sul ponticello. “Contemporary performers, however, have
come to realize that the technique can yield a wide variety of timbres ranging from a slight
colouration of the pitch to a complete elimination of the fundamental that produces a clangorous,
almost non-descript timbre.”96 After deciding upon the timbre, the performers need to decide the
manner of execution (similar to the traditional concept of bowing – contact point, bow weight
and bow speed). “Variation depends on where the bow is placed in relation to the bridge (even on
the bridge) and how the bow is articulated.”97 With sul ponticello, the timbre should be dry and
short, but the pitch is still audible.
Another technique used a lot is glissando. The traditional glissando is usually fast and the
conventional way to do it is to postpone the slide until immediately before the target note.
However, the modern glissando is executed by starting the glissando right at the moment the
95
Strange and Strange, The Contemporary Violin, 72.
96
Ibid., 3.
97
Ibid.
81
pitch is sounded and the glissando lasts for the entire duration of the note.98 The glissando is also
a timbre, or atmospheric effect, requiring no accurate intonation. The glissando after the first
repeat is to create the conflict against the lower note. As a result, a slow glissando will emphasize
the dissonant and distorting effect in this context.
No. 44
This variation requires a deep dig slur followed by aggressive off-string tone. To produce clean
and good intonation, forming blocks of notes into chords is needed. Also use less bow in the
middle to lower part of the bow to produce a more controlled and compact sound. In bar 10, to
make the accent on the up bow grander, smooth string crossing and vibrato is necessary. A
smooth string crossing lies in gradually switching from one string to the other. Quite often the
string crossing is disconnected because the switching process is rapid, resulting in an unwanted
sharp tone quality.
No. 47
This variation gives the listener a different experience of sounds with sul ponticello, pizz, col
legno battuto, gliss with tremolo. It is important to bring out the features of each specific effect.
The variation starts with pizzicato in forte dynamic and continues with expressive slow long
notes played mp espr., suggesting that the acoustic effect is ringing and echoing or reverberating.
The pizzicato should be executed with the centre of the fingertip, using more flesh. A small and
fast vibrato is needed to project the arco notes. The second line suddenly switches to a dry and
mechanical effect with the marking col legno battuto. The term suggests attacking the string with
the bow stick with ricochet or spiccato. With the crescendo, travel the bow to the bottom so the
arco forzato will have enough striking power. Another dry sound effect is at the end of line four.
Marked as sul ponticello, scorrevole, fleeting, the effect suggests almost an electronic music
sonority. With a controlled contact point close to the bridge, playing even tone and rhythm of the
first group will help achieve the effect. The last sound effect is at the end of line five. The
composer’s intention of the marking (hairpin, trill, and long glissando) is to produce a sticky and
muggy effect. To produce the sound, start the glissando right after playing the pitch and slide
98
Ibid., 79.
82
slowly up. The crescendo is executed by adding more weight into the strings, and a harsh tone is
allowed. The last line goes back to pure and beautiful sound.
No. 48
This variation has two main characteristics, an active aggressive attack followed by inner
murmuring. The pizzicato with wedge suggests almost a Bartók pizzicato. Interestingly, the
second and third notes have a different wedge marking, one with arrow up and the other with
arrow down. My interpretation is that the first two notes, one played pizzicato and the other
played with the bow, share the same articulation and note value, and lead to the third note. The
third note is the landing target after the first two notes. The inner murmuring would be executed
by playing close to the tip of the bow. The accent with the staccato marking would be executed
by lightly striking the string. The bravura section (line 6) indicates execution with wide and fast
vibrato, and flat hair with a heavy bow. Sustain the notes as much as possible at the beginning
and then accelerate the tempo while proceeding.
4.5 Level D
No. 2
The energy of this variation comes from its lightness, and the lightness arises out of the sweeping
musical gestures, not the technical intensity. The difficulty in this variation lies in proper control
of switching bow speeds and strings and preparation of left hand and fingers. The rapid switch
between the accented notes and the other repeating drone notes takes practice, since the accents
require different execution. The accent of each four notes should be executed by the combination
of bow pressure, bow speed, and a slight oscillation of vibrato. It is suggested that the bow speed
of the accent should not be too different than the repeating notes, so the switch will be smooth.
Each accent should be varied according to the phrasing structure.
Another technical challenge in this variation is the interruption of the moto perpetuo eighth-note
pattern by three- and four-note chords. In bar 5, the bow has to move back quickly to the D string
after rolling the chord. To get the smoothness in motion and cleanliness in sound, the following
exercise will assist the practice: 1) play the different bowing patterns with open strings and with
the metronome set to the desired tempo; 2) practice blocks of left hand with the metronome,
83
putting down as many fingers at once as possible; 3) vibrate the left hand fingers; 4) play right
hand and left hand together.
Regarding the practice of blocks of left hand, when there is a chord, prepare the chord note
fingers at once in advance to form left hand stability. The entire variation only involves positions
below third position, so the hand shape requires little adjustment. In bars 26, 28, and 30, group
every two notes to practice double stops. Not only will the hand frame form left hand agility, but
also the intonation will be improved.
The musical ideas always assist the technical challenges. Use fast vibrato on the chords and the
arrival downbeats. Phrasing the inflection of the melody will reduce the technical difficulties.
Nos. 6 & 8
As in No. 12, the difficulties here lie in the legato, but it is more challenging in these two
variations due to frequent shifting and string crossing. To avoid undesirable accents in string
crossing, the movement changing bow in the strings should be as small as possible and the bow
speed should be even. When there is a string crossing within a slur, gradual motion of switching
the string will help sustain the smooth tone.
No. 9
This variation provides challenging left-hand and right-hand agility, and fast string crossing
while maintaining good tone quality. The presto tempo gives the performer a high standard to
leap accurately between lower register and higher register.
To play accurate intonation, every shift should be well-planned in this variation. This variation
only goes up to the fourth position, which makes the shifting slightly less complex. According to
Galamian, left hand shifts from lower position to the higher position (i.e., sixth or seventh
position) should maintain the same hand shape, whereas the thumb should move first before the
hand when shifting from higher position to the lower position.99 To achieve accurate intonation,
99
84
a “smart” guiding finger will decrease the chance to fall. A “smart” guiding finger should be
decided based on the context of the fingerings. In bar 1, the first shift should be guided by the
first finger. The first finger will not only help form the hand frame in the third position, but also
immediately find the pitch in the first position.
To maintain a good tone quality throughout the piece, the left hand fourth finger requires special
care. The fourth finger, the weakest finger, often has difficulty producing good tone in certain
situations. One solution is to slightly switch the left-hand balance point toward the fourth finger
to add more weight in it. The following exercise will help to strengthen the fourth finger.
Daily fourth finger exercise.

1) Make sure the hand shape is formed on third position.
2) Gently touch the string with only the fourth finger
3) Press down the fourth finger and then lift it up. When pressing down, make sure the finger is
curved.
4) Add rhythm with a metronome.
No. 22
With the minor key and descending gestures, the character here is rather dark and melancholic.
As we know from the previous chapter, the fugal texture in this variation indicates Baroque style.
To emulate the Baroque spirit, the performer should bring out the descending bass progression,
while being expressive in the tone. The bass note line would be emphasized by adding slightly
more bow weight and vibrato at the beginning of the note, and releasing it smoothly. The vibrato
would be wider compared to other non-bass notes. In order to keep the dark and melancholic
character, the bow has to feel the “stickiness” on the string. In other words, use slower bow
speed and combine it with enough weight.
The chords in the previous variations are executed slightly differently than is the case here. This
is not only because the tempo is slower here, but also the character changes. The chords will be
played 2+2, after playing the bottom two notes, anchoring the middle note, and smoothly rolling
to the upper two notes. Adding vibrato on each chord will make the projection of the chords even
better.
85
No. 32
In addition to the octaves in bars 10 to 16, the challenge in this variation is to infuse the music
with the spirit of tango. The tempo can be slightly flexible to add a more melancholic and
nostalgic character. As the fourth sixteenth note on the first and second beats has a wedge and
forzato on it, take some time with this note to give the added emphasis.
The double-stopped octaves in this variation could be challenging, especially the leap from E to
C in bar 14 and from E to D in bar 16. One way to practice the octaves is to play them while only
bowing on one string. When the two lines separately are in tune, play the double stops together.
When playing together, listen more for the lower pitch. As Galamian said regarding practicing
octaves, “listen carefully to the lower note, since the ear is naturally quicker to hear the upper
one and must be trained to hear the lower.”100 However, one should not put too much bow
weight on the lower note, since it will influence the pitch. “The extra bow pressure that would, in
this manner, be put on the lower string can affect the pitch and would therefore require a special
adjustment in the fingering.”101
No. 33
The tempo indication of this variation (Moderato; con umore) indicates its humorous nature. The
difficulty in bringing out the lightness of character lies in the quick alternation between right-
hand pizzicato and arco. In this case, the right thumb should be kept underneath the bottom of
the bow to execute this fast alternation. To execute a quick and smooth switch between the
pizzicato and arco, performers should play down bow after the pizzicato and up bow before the
pizzicato. The next challenge performers might face is to make the pizzicato ring and speak.
There are three factors that can influence the sound of the pizzicato, contact point of the finger,
the plucking angle, and contact point on the string. When playing fast notes, pluck more with the
“tip” of the fingertip. When playing pizzicato chords, using the centre of the fingertip will
produce a fuller and rounder sound. The plucking angle should not be parallel to the bridge.
100
101
Ibid.
86
Instead, it should have an obvious tilted angle in or out, so every note will stand out more. The
contact point on the string is usually on the fingerboard if one wants to make a conventional
pizzicato sound. The contact point that rings the most is usually the spot an octave higher than
the note. Although one will not be able to move around that much when playing, especially when
playing chords, the best contact point should be found according to the method mentioned.
No. 38
The main task in this variation is to bring out the jubilant dancing spirit of the can-can without
being overwhelmed by the double stops and big leaps in the left hand. One way to practice the
double stops is to group them according to the same position (i.e., practice all the double stops
that are in first position, then those in second position, etc.) and practice the groups separately.
After each grouping is solidly practiced, practice the transition between each group. The big
leaps in the left hand should be focused on the note before the shifting and the note after. Make
sure the fingers are prepared before the bow moves and they are securely centered on the string.
Start slower in tempo and work up to the desired tempo.
No. 49
The title Feroce accurately describes the character of this variation. The fortissimo and
pianissimo alternation creates a great contrast in dynamic range. This variation requires extended
stretches in the left-hand fingers at the beginning. Performers with smaller hands should start
from second position and stretch the first finger back to reach the A. To create the tension in
fortissimo and even more, fortisissimo, the bow must grip the string before moving. A bit of
harshness in tone would be acceptable in order to produce the furious character.
No. 50
The last variation, No. 50, shows a strong tonal center on A. As a result, trying to create the
sense of driving to the pitch A will help listeners understand the variation better. The first line
can be executed with a wide and fast vibrato. The right hand strikes the string to produce the
attack. The following fast notes should be even (as written) but still have a sense of drive leading
to the A. The drive can be executed with the bow weight, increasing the resistance in the strings.
The glissando in the later section should be executed as follows; start to slide as soon as the pitch
87
is reached. The slide can be slow but with even speed to produce a haunting and directionless
quality.
4.6 Level E
Nos. 3 & 4
Though at first glance they look similar, the character and tempo of these two variations is
completely the opposite. The bow stroke in No. 3 should be quite separate, whereas in No. 4 it
should be more connected. The difficulties in these variations lie in the transitions between
chords and double stops. To execute the transition more smoothly and cleanly, practice the
double stop in isolation before the chord and the chord itself. Make sure to prepare the block of
the chord in the left hand before moving the bow.
To practice the chords, one can use Jakob Dont’s Etude Op. 35, No. 1 as a preliminary exercise.
As mentioned in No. 2, the preparation of blocks of chords in the left hand is of great
importance. This will enhance the intonation and tone quality. Smooth pivoting is another key
point to make the tone quality of the chords better. The movement of rolling the strings should
not be sudden and the amount of the bow used should match with the contact point and weight to
be efficient.102
No. 10
The principle challenge in this variation is smooth legato, which can be compared to No. 12.
Rochberg has marked the tempo of this variation as dotted quarter note = ca. 69, much slower
than the Brahms movement on which it is based (Op. 35, Bk. I, no. 3); this is reasonable, given
the violin’s string crossing and the stretching and leaping in the left hand. Skæ rved noted that
this variation is one of the most challenging, especially from bar 17 when the octaves appear.103
The shifting should be isolated in practice to form solid intonation.
102
Simon Fischer, Practice: 250 Step-by-Step Practice Methods for the Violin (London: Edition Peters, 2004), 124.
103
88
No. 11
The legato stroke in this variation is similar to that required in the Andante from Bach’s Solo
Violin Sonata No. 2, BWV 1003; it is well-connected and smooth. One important decision in this
variation is the choice of vibrato. The vibrato here should be somewhere between non-vibrato
and a very narrow, subtle vibrato. A wider vibrato could disturb the bow, resulting in
discontinuity in sound. It could also completely change the character of the variation, which is
marked dolchissimo [sic]. To produce the dolcissimo tone quality, besides the vibrato, the contact
point of the bow plays an important role. However, the contact point on the E string and the one
on the A string could be completely different, depending on the individual violin. To have the
best balance, slightly leaning toward the lower string would assist in producing a fuller and better
tone quality. The lower line should be heard more than the upper line.
In terms of technical difficulties, the most complex moment is in bar 7. The finger pattern
awkwardness makes the intonation and tone quality hard to achieve. In the first beat of bar 7,
release the G-sharp earlier to reach the C-sharp in the lower line. In the second beat, the first
finger has to stretch back to reach the lower G-sharp. When performing difficulties in the left
hand, the bow arm requires spontaneous adjustment according to the tone.
No. 13
The two techniques in this variation, octave double stops and rapid arpeggios, require two
separate practice strategies. The arpeggios can be practiced in the following ways. 1) Practice
very slowly with each note on a separate bow. Make sure the timing of lifting and dropping the
fingers is carefully considered. According to Fischer, the fingers should drop before the note is
played, and the fingers should lift when a new note is played.104 2) Increase the speed with the
metronome. 3) Add rhythm exercise.
The octaves can be practiced in the following way. 1) Eliminate the arpeggios and practice
slowly with each octave on a separate bow. 2) Still without the arpeggios, connect the octaves
104
Fischer, Basics.
89
with slurs to secure the shifting. 3) Play the octaves to the desired tempo. When practicing, make
sure the hand frame is maintained. As Galamian said, “Octaves are most important in practicing,
because they give the hand its frame, its basic shape.”105 Use the rest to shift and prepare the
next octave, and increase the tempo according to the individual progress.
Skæ rved pointed out the last arppegio in A minor can be played in four octaves, instead of three
octaves.
No. 41
Lewis Kaplan cited No. 41 as the most challenging variation, and it does indeed present some
formidable difficulties; he also recalled that Rochberg wanted it very broad, very spacious, and
appassionato.106 There are shifts on every beat, frequent large leaps, tricky double stops
resulting in irregular finger patterns, and last but not least a very fast tempo. The intonation is
without a doubt difficult. Finding the triad and chord grouping of the notes with enharmonics
will greatly assist the performer. This will also help the listeners to understand the direction of
the music better. For example, in bar 3, C sharp–F–G sharp can be translated to D flat–F–A flat.
Peter Sheppard Skærved sent two versions of his recording of No. 41 to Rochberg when he
recorded Caprice Variations, one being a clinical performance and the other being “over the top,
mad, and crazy.” Rochberg demanded the second one and rejected the clinical way of playing.
Cleanliness and accuracy is thus not the priority in this variation. Skærved suggested that one
should emphasize every cadence and every string crossing as much as possible, and take the time
to shape and sculpt the phrases. He has provided a score of No. 41 on his website which gives
details of his own decisions regarding fingering and bowing.107
Conclusion
The practice guide will assist violinists who wish to perform the whole work to prepare more
efficiently. The three violinists I spoke with who have performed the entire work all agree that
105
106
107
See https://www.peter-sheppard-skaerved.com/2017/12/george-rochberg-2018/ (accessed March 20, 2020).
90
Caprice Variations presents a high level of technical difficulty, so it is crucial to learn from their
insights and their experience during the preparation of the work. The variations in Level D and E
will require more time to be polished. The exercises provided in this chapter secure the accuracy
of the fundamental mechanism.
Physical stamina will need to be built up gradually while preparing this work. Ideally, one should
be able to memorize the whole piece two weeks ahead of the performance, and be able to
perform the whole work twice one week before the performance. This might sound unrealistic,
but it will be helpful in achieving a more accurate and effective performance, and in not being
overwhelmed by the length and difficulty of the Caprice Variations.
91
Chapter 5
Interviews
5.1 Introduction
Only four violinists have broadcast or recorded Rochberg’s Caprice Variations in its entirety:
Lewis Kaplan, Zvi Zeitlin, Peter Sheppard Skæ rved, and Andrew Jennings. Other violinists, e.g.,
Eiji Arai, Daniel Dodds, Gidon Kremer, Michelle Makarski and Paul Roby, among others, have
recorded excerpts from it. Lewis Kaplan gave the first performance of the complete Caprice
Variations in 1970, and subsequently edited the composition for publication. Zvi Zeitlin, who
recorded the piece in 1977, passed away in 2012. Peter Sheppard Skæ rved recorded the complete
work for the Métier label in 2003 (reissued, with the addition of Rochberg’s Violin Sonata, in
2011). Andrew Jennings made a video recording of the entire work that was uploaded to
YouTube in 2012.108 In the course of my research for this thesis, I met in person with Kaplan
and Jennings to discuss their views on the work, and I had a Skype conversation with Skæ rved. I
was also in email contact with all three violinists. In my discussions with these violinists, four
main themes emerged: their relationship with Rochberg, their interaction with him during their
work on Caprice Variations, and their viewpoint of the work in terms of both artistic and
pedagogical approaches.
5.2 Lewis Kaplan

5.2.1 About
First Interview: 8 October 2018 at 12:00 pm
Location: Kaplan’s home at 173 Riverside Drive
Second Interview: 12 December 2018 at 3 pm
Location: Kaplan’s home at 173 Riverside Drive
108
Andrew Jennings, “Rochberg Caprice Introduction,” YouTube video, 22:49, posted on February 6, 2013,
92
Lewis Kaplan resides on the Upper West Side in New York City with his wife, Adria.109 He is a
senior professor of violin and chamber music at The Juilliard School in New York City. He was
born in Passaic, New Jersey on November 10, 1933.110 He earned his Bachelor’s and Master’s
degrees from The Juilliard School, where he studied with the renowned violin pedagogue Ivan
Galamian. He was the founder of Aeolian Chamber Players, a mixed chamber ensemble that
premiered Rochberg’s Contra Mortem et Tempus (1965) scored for flute, clarinet, violin, and
piano, and Electrikaleidoscope (1972), scored for amplified flute, clarinet, violin, cello, piano,
and electric piano. Kaplan also performed in the New York premiere of Rochberg’s String
Quartet No. 2 in 1962 or 1963. Rochberg’s La bocca della Veritá, originally for oboe and piano,
was later transcribe for violin and piano by the composer himself and dedicated to Kaplan.
When I walked into the building where Kaplan lives, I told the security guard that I was
interviewing Mr. Kaplan; he asked me “Where is your violin?” and then wished me good luck. I
anxiously walked toward Kaplan’s apartment; he opened the door, and cheerfully said “Yung-
Yu!” My anxiety was quickly put to rest by Kaplan’s friendly manner.
5.2.2 Lewis Kaplan on his relationship with Rochberg

I began the interview by asking Kaplan about his relationship to Rochberg. “I knew him as a
child when I was four years old,” Kaplan replied.111 “Rochberg was a very complex man. He had
an outsize ego that begged for acclamation. I always felt that there was something akin to Arnold
Schoenberg about him in this regard, his need for followers and praise. He was highly intelligent,
sensitive, and very kind to me. He is the godfather of my son, Brian.”
“My maternal grandmother owned a small hotel in the Catskill Mountains, the Hotel Victoria,
which she cooked and slaved for, probably an eighteen-hour day. There was a small jazz band
that performed in the evenings. In 1939 or 1940 Rochberg was the pianist in the combo and I still
have a vivid recollection of him at the upright piano as a very serious person and composer. His
109
Lewis Kaplan, “About,” Lewis Kaplan, accessed March 2, 2020, https://lewiskaplan.net/about/.
110
Passaic, NJ is just ten kilometres from Paterson, NJ (Rochberg’s birthplace).
111
Rochberg was fifteen years older than Kaplan. If he met Rochberg in the summer of 1939, as he implies later in
the interview, Kaplan would have been 5 years old and Rochberg would have been twenty or twenty-one (depending
on whether the meeting was before or after Rochberg’s birthday on July 5 th).
93
recollection was that they ate chicken almost every night. When I started the Aeolian Chamber
Players in 1961, I wanted to commission a work for our New York concert in Town Hall,
predecessor of Tully, in January 1962.112 I phoned him without warning in 1961, he of course
remembered my family and suggested that I visit him at his home in Newtown Square [in
Pennsylvania]. I had just graduated from Juilliard, still a student if you will, and he was a well-
known composer. He treated me kindly and paternally. He smiled at my suggestion of writing a
work for a group that had not yet played its first concert but gave me some names to contact,
which was instrumental in my forming a long association with Ralph Shapey. Three years later,
after the tragic death of his son, Paul, his wife wrote saying that George would write a work for
me, Contra Mortem et Tempus,113 which became a seminal work with his use of quotations.”
5.2.3 Kaplan as editor of the Caprice Variations

Kaplan’s wife, Adria G. Kaplan, was the attorney for Galaxy Music Corporation, and suggested
publishing the Caprice Variations to the owner, John M. Kernochan, and to the managing
director, Donald Waxman.114 Both Kernochan and Waxman enthusiastically approved. Kaplan
remembered that Rochberg liked the idea of Galaxy publishing it very much, as Rochberg felt
that Galaxy would promote it and that Kaplan would ask his students at The Julliard School to
study it. Neither Adria nor Kaplan himself recall the number of copies printed.
Kaplan believes that he edited the piece after the premiere. The editing was simply applying
fingerings based on how he had played the work. He recalls the process involving “very little
communication with Rochberg regarding the actual editing.” “I met with him several times,
playing the work for him and getting his ideas and intentions.” The bowings and articulation are
Rochberg’s original markings, while the fingerings are Kaplan’s. “The bowings [slurs] are
Rochberg’s. The up and down bowings are mine.” Kaplan was proud about his fingering choices.
112
What Kaplan is referring to here is the fact that before Alice Tully Hall opened in 1969 in The Juilliard School
building in the Lincoln Center, Town Hall was the main venue for chamber music concerts in New York City.
113
Contra Mortem et Tempus, premiered in 1965, was dedicated to Lewis Kaplan and the Aeolian Chamber Players.
Paul Rochberg died from a brain tumour in 1964.
114
John Marshall Kernochan (1919–2007) was a law professor and musical enthusiast. He became involved with the
music publisher Galaxy Music Corporation in 1955. Galaxy was acquired by E.C. Schirmer in 1989. The composer
Donald Waxman (b. 1925) served as the managing editor of Galaxy from 1970 to 1990.
94
“I proudly recall Ruggiero Ricci, who played some of the variations, telling me he thought they
were excellent.”
5.2.4 The premiere

Lewis Kaplan gave the first complete performance of Caprice Variations in April 1970 (when he
was thirty-seven) over radio station WBAI in New York City, before a live audience. He recalls
that he had less than two months to learn the piece, and remembers the performance being
“Scary as hell!” It was supposed to start at 9 pm, but it kept being delayed. The broadcast was in
one shot, without a break. Rochberg was pleased by his interpretation and his dedicated
performance. “[H]e [Lewis Kaplan] played with the spontaneity and freshness of ‘the first time’.
I couldn’t ask for better.”115
5.2.5 The relationship with Rochberg ends

It was after one particular concert that Kaplan’s connection with Rochberg began to loosen.
“Rochberg and me became a bit more distant after the rock piece (Electrikaleidoscope). He
blamed the performance on the musicians, which made me mad as hell. It was the music not the
performance. I remember the middle movement goes like this [he sings...] trying to be Mahler.
Rochberg wanted it to be slower.” The group had a different opinion regarding the tempo from
Rochberg. According to Kaplan, although they did the tempo as Rochberg insisted, Rochberg
was not happy about the performance. Kaplan recalled that before starting the third movement in
the performance, the cellist Jerry Grossman winked at him: “before he [Grossman] began, he
winked at me. Maybe he even whispered, ‘I’m sorry.’ And he played [the music] exactly the way
Rochberg wanted.”
5.2.6 About Caprice Variations

Kaplan commented, “This work shows the progression of music over two hundred years. He
goes from the virtuoso Paganini in the first variation, and then moves on from Beethoven and
Brahms and Schubert, gradually moving into late twentieth-century atonality.”
115
95
I asked Kaplan what was the most challenging thing in Caprice Variations. “All of it!” he
laughed. “Just like there is no easy Paganini caprice. It’s a very sophisticated work whether from
the point of view of strictly technical dexterity or style interpretation.”
Kaplan believes that teachers can assign the piece to students who possesses a good technique. A
year or two after Rochberg wrote the work, Kaplan had his Juilliard pre-college students learn it,
each student playing a few variations. “I remember mentioning to Rochberg when he first
showed [Caprice Variations] to me, ‘Perhaps this work could be an extension of the Paganini
caprices in terms of violin teaching and performing.’ He loved that idea! That’s why I brought
him to meet the Julliard precollege fourteen- to eighteen-year-old students when all of them were
playing these variations; he enjoyed it.”
Rochberg attended a rehearsal and was met with awe by the students. “It was a very joyous day
both for him and me,” said Kaplan. Mark Kaplan [no relation to Lewis], who serves as a violin
professor at Indiana University Jacobs School of Music, recalls being one of the students in the
class. “The only thing I remember was that Rochberg was much more interested in expressive
intent than in perfection of execution … At that point, the piece was not yet complete and was in
manuscript form (hand-written, of course — too early for computers), and some parts were a
little difficult to read, although it was mostly very neat.”116
Lewis Kaplan’s advice for students who are going to study the piece is as follows: “Read, study
the sources of where it came from. For a young person, there is too much to learn on one’s own.
I think one would need to find somewhere a person who can give you insights into various
composers, and it is not easy to find.” During the interview, Kaplan provided some notes from
Rochberg, which are included in Chapter 3 and Chapter 4.
116
On January 31, 2020, Mark Kaplan gave a masterclass at the Glenn Gould School in the Royal Conservatory of
Music in Toronto. I spoke to him afterward and followed up with emails. Mark Kaplan shared his experience as a
young violinist playing some of Rochberg’s variations.
96
Plate 5: Kaplan’s signature on the publication of Rochberg Caprice Variations
97
5.3 Andrew Jennings
5.3.1 About
Interview: 22 March 2019 at 2:30 pm
Location: East Aurora, NY; 25 minutes southeast of Buffalo (this is where Jennings grew up), in
an historic inn called The Roycroft Inn.
Andrew Jennings is currently chair of the string department at The University of Michigan. His
principal teachers were Ivan Galamian, Alexander Schneider, Pamela Gearhart, and Raphael
Druian. He was a founding member of the Concord String Quartet (Mark Sokol, violin, Andrew
Jennings, violin, John Kochanowski, viola, Norman Fischer, cello). The quartet premiered
Rochberg’s Quintet for Piano and String Quartet, written in 1975, (premiered in 1976, Alice
Tully Hall, Lincoln Center), String Quintet [double cello] written in 1981 with cellist Bonnie
Thron, (Curtis Institute of Music, Philadelphia), and Rochberg’s String Quartets Nos. 3, 4, 5, 6,
and 7.
5.3.2 Jennings’ relationship with Rochberg

“My quartet won the Naumburg Chamber Music Competition in 1970 and the prize included the
commissioning and recording of a work of our choice. The prize was awarded in November and
the premiere was to take place the following May, so time was incredibly short. George was
known to us through two earlier quartets and some other interesting chamber works and we all
responded to the intensity and passion of those pieces. When we asked him, he responded
immediately and said he was already working on a third quartet (these were the Caprice
Variation sketches.) We asked him to send us parts of the piece as it was finished since we were
anxious to begin work for our debut. Starting in late December or early January big, very heavy
packages started to arrive at our studio. The first was huge and we began to be concerned about
the length of the premiere in New York – a concern that grew when we read at the top of the MS
“Part III”! When finally assembled the work looked to be about sixty minutes and was
perplexing to us not because of the intensity, but because of the multi-lingual approach he was
using. A quick phone call and he was on the way to our home to hear our first attempts to play it
through. I will never forget that three-day and -night marathon where we worked with one of the
98
most powerful musicians I have ever met. George was passionate, warm, totally demanding. No
detail was overlooked or glossed over and nothing less that total immersion and commitment was
allowed. As we worked with him on many subsequent performances of that quartet as well as the
pieces that followed (four more quartets, two quintets) the process was always demanding and
real. One of the greats!”
According to Jennings, his daughter Christina Jennings, who is an associate professor of flute at
the College of Music, University of Colorado Boulder, was born in the same year the Third
String Quartet was created, and had a very close relationship with Rochberg. When she was
born, she came home from the hospital in a blanket that Rochberg’s wife Gene made for the
occasion. Christina Jennings transcribed twenty of the Caprice Variations for flute and video
recorded them and edited them for publication.117 On October 15 and 16, 2018, Andrew
Jennings and Christina Jennings hosted a panel discussion titled “Remembering George
Rochberg” and a faculty recital titled “George Rochberg Centennial” at the University of
Colorado Boulder. They each played some of the variations from Caprice Variations. The
program also included Rochberg’s Viola Sonata and the Piano Quintet.118
5.3.3 First encountering Caprice Variations

“I think of it as a true monument to one of the great American composers.”
One day in 1972 when the quartet was rehearsing at Rochberg’s house, Jennings saw a stack of
pages on Rochberg’s desk or dresser. “I started to take a look of them, and they looked like they
were for violin,” Jennings recalled. After Caprice Variations were published in 1973, Rochberg
gave Jennings this copy of them. “I have known the Caprice Variations since even before they
were published – they were sketches for the Third String Quartet which my Quartet, the Concord
Quartet, commissioned in 1970. I have been playing them in ‘suites’ – groups of 5–10 caprices –
on programs since the mid-seventies as George recommended, and through these I got to know
117
George Rochberg, arr. Christina Jennings, Caprice Variations, Freely Transcribed for Flute Solo, New York:
Galaxy Music Corporation / ECS Publishing, 2014. Eliot Fisk has transcribed all 50 variations for solo guitar; his
arrangement was published by Galaxy in 1997, and he has recorded the guitar arrangement twice.
118
American Music Research Center, “Events 2018–2019,” University of Colorado Boulder, accessed March 2,
2020, https://www.colorado.edu/amrc/events/events-2018-2019.
99
perhaps half of them.” Rochberg told Jennings that right after the Third String Quartet, he
suddenly got a lot of commissions. Being too busy to fulfill all the requests, Rochberg saw the
stack of Caprice Variations, and decided “why not publish them?”
Jennings recalled his reaction to the work was that he kept hearing the similarity between the
Caprice Variations and the Third String Quartet. “I had a funny reaction when first playing
them. I was hearing quartet texture. All of the variations sound very thin by comparison to the
quartet version. That’s why I play them all together, because it makes such a huge statement. It
has weight and power.”
Jennings briefly talked about Rochberg’s usage of quotation and his obsession with Brahms’ Op.
35. “I remember that I lived in his house for weeks at the time. Every midnight he would come
down and start to play the [Brahms] variations. It would go on and on … he was absolutely
obsessed.” Jennings mentioned that Rochberg would talk about the effect of these pieces and
their inspiration from Brahms, Schubert, and all the composers he was influenced. “Having this
imagination for years after, he couldn’t get this out of his mind. So, it’s why a lot of stuff
continues to be borrowed. In a way, these pieces became sources of his revolution. He kept
coming back to this source as inspiration.”
5.3.4 Recording the Caprice Variations on YouTube

“The decision to record them came as an afterthought to the decision to learn and perform the
whole set as a concert. I had been uncertain how to do this or even if it was a good idea, but as I
looked at the journey of the Caprice Variations I realized that they were, in fact a compelling
whole. Once I decided that and played the whole thing in concert it was an easy step to decide to
record them. When my initial proposals to record them commercially were not met with
enthusiasm I decided to go the YouTube route. Since my students clearly derive their musical
information ONLY from YouTube (most don’t own a CD player) I thought it made sense.”
“George died in 2005 and the recording was made in 2012, but more specifically, I never played
them for him before his death (interestingly, my daughter, Christina, who was born the year of
the Third String Quartet, was able to play a bunch of them for him in her flute transcription
100
before she recorded them.) However, since these are sketches for the Third Quartet and we
played that work for him many, many times I felt I understood the spirit of the works.”
Jennings shared his approach to Caprice Variations regarding deciding upon the tempi and
styles. “The tempos I take are the result of many years playing them in public and are constantly
changing. Some now are faster or slower than the recording.” Jennings is not afraid of changing
something on the page based on the effect, as he believes that Rochberg would do the same
thing. “I don’t feel badly about doing something that sounded different than on the page, because
I trust my ears and I knew him [Rochberg] so well. He was always interested in being effective
and in what sounds good. Sometimes he could be funny, and sometimes he could be insistent
upon what is on the page. Other times he didn’t care at all. Metronome marks, for example, are
the classic example. For one piece he would write the metronome marking in, and for the other
he wouldn’t write one because he would be so upset that the performers followed the marking
and it didn’t sound good.”
When the Concord Quartet was recording Rochberg’s “Concord” quartets (String Quartets Nos.
4, 5, and 6), they were constantly changing the tempo as Rochberg requested. “The tempi were
always different. Then we would ask him ‘But George, you wrote this tempo.’ He would reply
‘That’s wrong! Don’t do that!’ ” Jennings laughed after saying this. “George had a love/hate
relationship with the metronome and I saw him make drastic changes in tempos he wanted,
sometimes in the space of an afternoon.” He then recalled a moment in one recording session at
RCA when they were recording the three “Concord” quartets. Rochberg decided that the tempo
they were playing a particular Scherzo needed to be doubled. “I remember at first he said it is a
sturdy Beethoven scherzo, but it sounded unmusical in the recording session. George then said,
‘Guys, no…no… this is completely wrong.’ He then wanted it three times faster than the original
tempo.” Rochberg insisted upon trying the new tempo, even though the quartet had never
rehearsed it at this tempo. “We did it once and it sounded great! We could never do this again,
because it required much more work. If we do it again, it will totally fall apart. After that, I
remember him [Rochberg] saying ‘That’s it! We will use that!’” “The amazing thing was that in
all these hundreds of changes, he was ALWAYS right for that particular moment. That has
changed my attitude for metronome marks in general.”
101
Regarding the multi-stylistic languages in Caprice Variations, Jennings said, “Many of the
stylistic choices I have made are based on the style he used in the Third Quartet (and also some
other quartets as well as the second trio). Those ‘finished’ works perhaps express the stylistic
intentions in a more obvious way than the Caprice Variations.”
When I asked “What do you find the most challenging in Caprice Variations?” Jennings singled
out No. 41 as the most difficult variation, but he also replied “Almost everything!” “The
technique required is monstrously difficult in some of them (I have practiced No. 41 more than
any other single page of music in my life) and some of them have been harder to find the core of
than others. Also, performing the whole set is physically and mentally challenging (I am about to
do so next week again after several years away and I have had to ‘train’ to get through it.)”
However, in a broader sense, Jennings continued to talk about the central challenge – to make the
violin disappear. He believed that the idea of a successful performance is that the audience gets
into the idea of the piece, instead of coming to you and saying “Boy! That sounded difficult!”
Jennings has been studying Caprice Variations for many years. He started to play some of the
variations in 1972, and has been playing the work since then, only with some seasons off. “I’ve
been playing them pretty much non-stop.” Jennings talked about how his approach has changed
over the years. “My experience with this piece is that, it has changed so much over the past few
years for me. Solutions I have used now would never have occurred to me in 1974. Some
examples include switching the pizzicato to ricochet in No. 24 (see Chapter Four p. 69), and I
rewrote the chords in No. 3 and No. 4 to fit more naturally on the left hand.” As mentioned
before, when Jennings first started to perform the work, he would select a group of 10–12
variations instead of playing the whole work. However, he performs the whole book now. “I
almost can’t imagine anything except playing the whole set, because it is such a different
experience than listening to a couple of them,” he stressed.
Jennings is working on a new edition of the Caprice Variations. He mentioned that Rochberg
sold his manuscript to the Sacher Foundation. Jennings gave a recital titled “George Rochberg’s
Caprice Variations Reimagined” on February 17, 2019 at Earl V. Moore Building, The
University of Michigan. In this performance, similar to his performance that he recorded for
102
YouTube, he used slide illustrations to help the audience understand the ideas of each variation.
A week later, he gave another concert at Roxy Grove Hall, Baylor University.119
Jennings performed a guest artist recital with some of the Caprice Variations and the Third
String Quartet at Duncan Recital Hall, the Shepherd School of Music, Rice University, on
November 29, 2018.
5.3.5 Pedagogical Approaches

Jennings often assigns Caprice Variations to his students as their contemporary repertoire, as he
thinks being able to perform and understand atonal music is crucial. A violin student who can
perform a Bach sonata or Ysaÿe sonata will have adequate technique to play Caprice Variations.
“I do regularly assign some of them – usually I assign four or five, which are always the most
difficult atonal ones, and ask them to choose four or five on their own. We have done the entire
set, splitting it up among nine or ten students. They are simply wonderful music that challenges
them in ways that most of the solo repertoire does not.” Sometimes, Jennings would assign ten
difficult non-tonal variations to students and ask them to explore how to interpret this music.
Jennings stressed that it is very valuable for students to learn non-tonal and atonal music,
although usually students resist it and would rather play more Beethoven, Brahms, or Ysaÿe.
Jennings pointed out that making students play music by Schoenberg is the hardest thing. He
recognized students’ struggles and lack of comfort with this music, but emphasized that not
playing Schoenberg’s music is “closing yourself to the whole world of expressionism.” Thinking
about the Caprice Variations in the context of when it was written, Jennings noted that “a lot of
the atonal vocabulary in this piece was common in the 1970s.” He continued, “I think the
musicians of that time played a lot of music that would be considered unlistenable today, because
there was something challenging about it. A lot of times you played pieces that nobody
understood, and you spent days, and weeks, and months to learn it and you got to the point where
you kind of understand and can manage it … and present it to an audience at eight o’clock on a
119
RiceArts, “Past Event,” Rice University, accessed March 3, 2020, https://arts.rice.edu/event/shepherd-school-
music/faculty-and-guest-artist-recital; Baylor University School of Music, “ News,” Baylor University School of
Music, accessed March 3, 2020, https://www.baylor.edu/music/news.php?action=story&story=206781. Jennings
also performed Caprice Variations at Duncan Recital Hall on March 31, 2010.
103
Thursday night. Maybe not many people get it at the end, but it is so crucial!” He mentioned that
he never assigned the whole work to a student, as it takes a long time to learn the whole work.
Plate 6: Jennings’ signature on the publication of Rochberg Caprice Variations
104
5.4 Peter Sheppard Skærved
5.4.1 About
SKYPE 2019 Dec 7, 2019. ECT 5:00 (London, England time 11pm)
Peter Sheppard Skæ rved is a British violinist, born in 1966.120 He is the Viotti Lecturer in
Performance at the Royal Academy of Music in London, and was elected a Fellow there in 2013.
He has recorded over seventy albums, and is also acclaimed for his collaborative work with
museums, working regularly with the British Museum and the National Portrait Gallery, among
others. In addition to his activities as an active soloist and chamber player, Skæ rved’s research
interests are integral to his career.121 Skæ rved began collaborating with composers when still in
his teens, and is the dedicatee of well over two hundred works for solo violin. He has performed
Caprice Variations across the U.S.A, U.K, the Balkans, Turkey, Korea, and in Beirut.
5.4.2 Skæ rved on his relationship with Rochberg

Skæ rved was introduced to Rochberg through Christopher Cairns, a sculptor who was very close
to Rochberg. Late in Rochberg’s life, Cairns and Rochberg organized an exhibition that
consisted of sculptures of Rochberg’s head, with Skærved’s recording of Caprice Variations
playing in the background.122 From the time of that exhibition until Rochberg’s death, the two
men, although having very different temperaments, maintained a close relationship. “We were
very different personalities, except that we were both convinced that we were right all the time,”
Skæ rved laughed. Five or six days before Rochberg passed away, Skæ rved spoke with him for
the last time, and discussed making authorized transcriptions of some of Rochberg’s music.
Their musical collaboration started when Skærved’s quartet, the Kreutzer Quartet, recorded the
Third String Quartet.123 After that, Rochberg and Skæ rved worked on the Caprice Variations
120
When he married the Danish writer Malene Skæ rved, he added her surname to his.
121
Royal Academy of Music, “Peter Sheppard Skærved,” Royal Academy of Music, accessed February 28,
https://www.ram.ac.uk/about-us/staff/peter-sheppard-skrved.
122
On the cover of Skaerved’s CD of the Caprice Variations, there are multiple sculptures of Rochberg’s head.
These are works by Christopher Cairns.
123
George Rochberg, String Quartet No 3, with the Kreutzer Quartet, recorded 2000, Métier 92051, 2001, compact
disc.
105
together, and then they worked together on a recording of the original full version of the Violin
Concerto in 2002 in Germany.124
When they first met, Rochberg had stopped composing and was focused on shaping the views of
his compositions for posterity. “George was very concerned in our time working together that he
take the opportunity to recalibrate how a lot of his music was viewed.” Skæ rved pointed out the
reason: “He was very keen to move past some of the scandals which surrounded his move away
from post-serialism in the late 1960s.” The Caprice Variations was central to this reshaping of
the narrative about Rochberg’s career.
Skæ rved provided two anecdotes about working with Rochberg, which showed that the
composer valued the emotional side of his music more toward the end of his life. The Kreutzer
Quarter recorded the Third String Quartet in 2000, and according to Skæ rved, the recording was
“made with great fidelity to the metronome markings.” But Rochberg said, “Look, I need to
come to the U.K. to persuade your colleagues that I don’t agree with what I wrote!” Rochberg
spent a couple of days with the quartet in London before they were to give a live performance of
the Third String Quartet in Wigmore Hall early in 2001. “He sang every note of the piece. He
literally demonstrated absolutely everything he did with quite unpleasant singing and a lot of
hand gestures.” And this is how Skærved came to understand the rhetoric of Rochberg’s music.
The second anecdote took place in Germany in 2002 when they recorded the Violin Concerto:
“There was an amazing moment when he stood up and said to the horns, ‘I need it to sound like
dum, dee dum’ [Skærved sings a short phrase], but they said ‘maestro that’s not how you wrote
it.’ He said ‘I don’t care how I wrote it, and I am too old to care what you think of me. I want it
to sound like this now.’ The whole orchestra roared with laughter.” Rochberg continued to have
new ideas about the performance of his own music, even after it had been premiered and
published. Skærved mentioned that emotion had become even more important to Rochberg. “The
Violin Sonata is a terrifically important work in that regard.” Skærved recalled that Rochberg
wrote the theme of his violin sonata in a trench, not far from where they recorded the concerto, in
124
George Rochberg, Violin Concerto (Restored Original Version), Peter Sheppard Skæ rved (violin) and
Saarbrücken Radio Symphony Orchestra, conducted by Christopher Lyndon-Gee, recorded 2002, Naxos 8559129,
2004, compact disc.
106
1944 during the invasion of Germany. “My experience of working with him was that he wanted
to communicate to me how every single note of his music was, as he put it, ‘ripped directly out
of his gut’.”
Rochberg and Skærved became very close friends from the time they met until Rochberg’s
death. They had many conversations about music, art and even politics. They would argue a lot.
“We had a lot of fights about Beethoven.” He mentioned the reason why they got along so well.
“We were both interested in music being part of all of the arts. If you went into his and Gene’s
house in Philadelphia, it was full of sculpture by the artists that he loved, and engravings, and the
literature that he loved. I’ve never really been interested in music as being something by itself,
but rather as something which always reached out beyond music. A lot of our conversations were
about politics, which we disagreed on, quite a lot; I am very much to the left and he was to the
middle, slightly to the right to be honest.” Their wives also got along well. Another point of
discussion was Rochberg’s son Paul. “We talked about the loss of his son Paul, which is vital to
understanding how his music became what it was.” Skærved owns a copy of Paul’s book of
poems and an engraving of a poem, which he received from Rochberg. “He [Rochberg] wanted
us to enjoy what he loved.”
5.4.3 Encountering Caprice Variations

Skæ rved started playing Caprice Variations when he was sixteen. “I discovered it in the library
of the Royal Academy of Music; at that point it was before any of the well-known recordings
had appeared, some years before the Kremer recording of some of the caprices. By the time I
was nineteen or twenty I had performed about thirty of the variations in various places around
Europe. But I was chicken about it, I played only the attractive, crowd-pleasing ones. When I
finally met George, it was an opportunity to finally take the challenge and play them all,” said
Skæ rved. When he met Rochberg, he learned it was not Rochberg’s intention that violinists be
allowed to play selections from the work. “I asked him if the piece was connected to the
Goldberg Variations. He said, ‘Well obviously.’ I said, ‘Then how can you countenance it being
split up?’ He said, ‘I never wanted it to be split up, the publisher insisted on that.’ So the note at
the back of the score was added. Incidentally, that was the only time he worked with Galaxy
107
music publisher.” Skæ rved said that he has been performing the entire work at one go for the last
twenty years, in accordance with Rochberg’s wishes.
5.4.4 Thoughts about recording Caprice Variations

Before the recording process, Skæ rved had performed the complete Caprice Variations in recital
many times. Skæ rved met Rochberg in the 1990s to discuss interpretive nuances of the piece.
Rochberg was amazed by his “flawless and passionate” performance, as well as his intelligent
understanding of the mixture of tonality and atonality.125 Skærved’s recording was made in
England in 2000; it was released in 2003, and then reissued in 2011 together with a live
performance of the Violin Sonata that was made in 2004 in Nashville.126
Rochberg valued effect over accuracy. Skæ rved recalled “I sent him two edits for every
variation, I sent a crazy one and a clean one. He rejected all the clean ones.” Some critics
commented that his performances are not entirely accurate. Skærved said, “I could still release
the boring accurate version, but he [Rochberg] refused that.”
5.4.5 Thoughts on Caprice Variations

Skæ rved has been living with Caprice Variations for a long time, and he has a tremendous love
for this work. For him, the most difficult thing is no longer technique, but “saying goodbye to the
variations.” As he said, “The most difficult thing is leaving a variation and not being able to play
it again that evening. I don’t like saying goodbye to the variations. The number of times you are
going to play the whole of this on stage is finite. Each time I play it, I sit up at night thinking
‘What did I learn from that? What did it teach me?’ The piece is a page turner, you just can’t
wait to get the next one. I love that so much.” Having played Caprice Variations over so many
years, Skæ rved feels that things that used to be difficult are not that difficult anymore, in terms
of technique. Also he is always finding new musical ideas and associations. He gave a few
examples: “No. 35 obviously is the beginning of the Third String Quartet, but it is also as close
as anything he wrote to what he described as the horror of being in warfare. The next variation,
125
126
George Rochberg, Caprice Variations, Peter Sheppard Skæ rved (violin), Métier MSV92065, 2003, reissued with
Rochberg Violin Sonata, Peter Sheppard Skæ rved (violin) and Aaron Shorr (piano), Métier MSV28521, 2011.
108
No. 36, became the theme from the transcendental variations in the Third Quartet. In a note I got
from him, he told me [about this variation] that he wanted me to think of Beethoven cured and
singing from his heart. And in No. 43 there is a Goldberg Variation joke going on there
obviously.”
Skæ rved noted that the Paganini theme had a kind of mystical significance for Rochberg in this
work: “George really believed that Paganini was channeling things which hadn’t happened yet
but were going to happen; he was channeling Brahms, Webern, channeling late twentieth-century
music composers; this was fundamental to him, it wasn’t fanciful. It was a huge act of belief in
what music does.”
Skærved also stressed the importance of the last variation: “No. 50 is in some ways a kind of
harmonic overview of pretty much everything that has happened in the whole piece. That series
of chords is as vital to the piece as the note row is to Berg’s Violin Concerto. It is the most
harmonically strict variation of the work. The chains of whole tones going up in semitones and
the use of the minor ninth as well is a clue to the way that he has been working harmonically in
the whole work. So that last variation is deeply poetic and harmonically very grounded. Indeed,
in the last few variations he is saying that everything that you have been thinking is dissonant,
isn’t. If you look at those two lines [in No. 50], the kind of note row thing, then the chains of
harmonics on the A string, the tension between those two things is the tension which builds the
entire piece. But as with any truly great piece of music, every single moment can be seen as
being key to every other moment.”
The variation that Rochberg was particularly proud about is No. 41. When his manuscripts were
sent to the Paul Sacher Stiftung in Basel, Switzerland, Rochberg was asked to choose one
manuscript to be printed as a greeting card. It was No. 41 that he picked. “He used that variation
twice in other pieces,” Skæ rved noted. “It appears in total in the Violin Sonata and it also
appears in total in Rhapsody and Prayer; he loved that one so much.” No. 41 is one of the classic
examples that shows that Rochberg insisted on effect over accuracy. “It’s more that it should be
played as if your life depends on it, in desperation, and that yes, when given the option between a
clinical performance and the ‘over the top, crazy, mad’ version, he demanded the
second.” Skærved then shared his experience working with Rochberg on this variation. “The
109
question about the speed is what he [Rochberg] was so interested in toward the end of his life.
He felt that things should speak and sing as clearly as they possibly could, and if you need to
take time to do that, always take the time.” Skæ rved suggested taking time to expand all the
cadences, leaps, and string crossings.
The entire work was inspired by Brahms’ Op. 35, and undoubtedly the Brahms influence is
present in every aspect of this work. However, Skæ rved thought there is more to it than that.
From No. 9 to No. 13, Rochberg directly transcribed Brahms’ variations. “By this act of
transcription, he is showing his enormous reverence for this composer, almost as if he wanted to
say, ‘This is so good, I don’t want to get in the way of it.’” But Skærved noted that other
composers lurk behind the Brahms transcriptions: “Brahms was writing for the piano as if it were
a violin. Sitting underneath that there is another ghost: the ghost of Schumann. Because
Schumann wrote accompaniments for all of the Paganini caprices, which Brahms played with
Joachim. So Brahms came to the 24th Caprice through playing Schumann’s accompaniments to
Joachim playing it on the violin. There is also another ghost, which is the ghost of Liszt. Because
when you do the Brahms variations on the violin, they become Lisztian.” For Skærved, the
virtuosic spirit in technically difficult variations, e.g., No. 10, implicitly evokes Liszt, with the
Mephisto-like leaping octaves.
Skæ rved pointed out that one thing anyone who is performing Caprice Variations must carefully
consider is the role of silence: “A crucial thing is how do you choose to use silence when you
play this work? When do you choose to give the audience a moment to reflect? Or do you just
play attacca the whole time? When you are by yourself on stage, you can hold the audience
silent for a minute if you need to. If you think about the fifty silences you have in this piece
between the variations, what does each of those feel/sound/look like? Are they upbeats or are
they rests? I think that is a vital part of this work.”
5.5 Conclusion
The interviews portray Rochberg’s relationship with the three violinists. Lewis Kaplan knew
Rochberg through his family at a young age, though their relationship became distant after the
performance of Electrikaleidoscope. Andrew Jennings met Rochberg when his Quartet won the
Naumburg Chamber Music Competition and needed a commissioned piece to record. Peter
110
Sheppard Skæ rved met Rochberg through an artist friend Christopher Cairns, and continued their
close relationship until Rochberg’s death. The three men encountered Caprice Variations for
different reasons. Kaplan took the lead premiering the work; Jennings discovered the work at
Rochberg’s house; Skærved discovered it at the library of the Royal Academy of Music. While
Kaplan did not perform the entire work again after the premiere, Jennings and Skæ rved grew to
love these pieces and have continuously brought them to the world in live performances.
All of them see Caprice Variations as an impressive and beautifully crafted work with highly
demanding violin techniques. Rochberg was a sophisticated yet down-to-earth man who loved to
share a lot of his passions with his friends. From the interviews, we see the history of Caprice
Variations, from the premiere by Kaplan, to Jennings playing the work and associating it with
Rochberg’s Third String Quartet, to Skærved discovering the publication in a music library and
later working on it with the composer. Rochberg constantly revised or changed his ideas about
the music, since he came to care more and more about the emotional side of music, which can be
seen in the anecdotes from Skæ rved. Some examples of changes to the work after it was
published that Skæ rved mentioned included adding extra octaves in No. 13, changing tempo
markings, and performing the Paganini theme pianissimo and with his back to the audience.
Kaplan and Jennings have introduced the Caprice Variations to their students, while Jennings
and Skæ rved have performed it many times before live audiences. The steps to learning the piece
are as follows. The first stage is studying the music, learning the notes, and understanding the
general concept of Rochberg’s approach. Conquering the work’s technical challenges will
definitely take quite a long time. The most important and difficult stage is to make the music live
again. As Jennings says, “make the violin disappear.” Skærved noted that, “the difficult thing is
to say goodbye to every variation”; the more time one spends with the work, the profounder
one’s understanding of it becomes and the deeper one’s experiences become while performing it.
111
Chapter 6
Conclusion
George Rochberg’s Caprice Variations is a tour de force of musical styles and a massive,
technically demanding work. This performance guide aims to give both a broad overview of the
entire work and deep insight into each variation. In Chapter Three, the theoretical analysis
examines carefully the explicit or implicit relationship between each variation and the Paganini
theme. With references to other musical styles, musical quotations of existing music, and his
updated atonal languages, Rochberg shows his outstanding capability by creating a challenging
work of art for the advanced violin virtuoso. The thorough practical plan presented in Chapter
Four fosters the violinist’s ability to prepare the whole work strategically. Interviews with the
editor and two violinists in Chapter Five provide a resource that gives a vivid first-hand portrayal
of George Rochberg and his time, as well as of the Caprice Variations.
After the tragic loss of Rochberg’s beloved son Paul, he moved away from atonality, and felt
more and more strongly that it is important to express a wide range of emotions in music, which
can be seen from the anecdotes in Chapter Five. The ninety-minutes-long work not only requires
physical stamina and a well-developed violin technique, but also profound understanding of the
history of two hundred years of music from the Baroque era to Postmodernism. Rochberg was
strongly influenced by Romantic composers, especially Brahms and Paganini, in composing this
work, but he also intended to update his musical language by integrating the past and the
modern. However, this does not mean that historically informed performance practice should
necessarily be applied to the variations in Baroque or Classical style. According to Jennings, the
historical performance movement was never a matter of great interest for Rochberg.
The diverse musical languages employed in Caprice Variations made it an important first step in
Rochberg’s controversial decision to embrace tonality. Rochberg has explicitly stated that his
intent in this work was to explore every possibility of violin technique and to join together two
opposite musical languages, tonality and atonality.127 Caprice Variations became a basis for his
Third String Quartet, the most renowned work from this period, which won the Naumburg
127
(Urbana: University of Illinois Press, 2009), 28.
112
Chamber Composition Award in 1972. In a narrower sense, Caprice Variations became a
tremendous piece on violinists’ repertoire lists. In a broader sense, Rochberg used some of the
variations from Caprice Variations as a sourcebook in his Third String Quartet and expanded
them to a larger scale.
Although Jennings and Skæ rved both played selections from Caprice Variations at an early stage
when they first started performing the work, they both feel strongly now that all fifty variations
should be played at once, rather than selections from it, just as one would not play one or two
movements from a solo Bach sonata in a recital. However, an argument can be made for
performing selections from the work in certain circumstances. My performance experiences have
so far been conducted in the setting of a lecture-recital, one for my final doctoral recital at Walter
Hall, University of Toronto, and the other at the University of Toronto Music Graduate Student
Conference; given time limitations on these occasions, I was only able to perform half of the
variations. Two upcoming performances, one at the Canadian University Music Society Annual
Conference (MusCan) and the other for the Women’s Musical Club of Toronto (WMCT), are
both lecture-recitals with a time limitation of forty-five minutes.128 When the goal of the recital
is to provide an introduction to the intellectual background of the work for listeners, then the
performance of selections from it is warranted. On the other hand, if one has a ninety-minute-
long recital booked, it is a wonderful opportunity to present the whole work.
Although this solo work has not yet been recognized as standard repertoire, I hope my research
will bring more awareness to the world of professional violinists of this great twentieth-century
virtuosic violin work, as well as filling a lacuna in the existing literature on Rochberg’s violin
music. The combination in my thesis of an analysis and practical instruction will assist not only
performers, as a performance guide, but also scholars who are interested in twentieth-century
violin repertoire and Rochberg’s music. As there is little literature about Caprice Variations
itself, violinists will gain an informed understanding of the work, which will guide them to a
higher technical and artistic performance. It is my hope that this thesis offers scholars and
128
Unfortunately the pre-concert talk for the Women’s Musical Club of Toronto (WMCT) on May 7, 2020 was
cancelled due to the Covid-19 pandemic.
113
violinists alike insights into Rochberg’s compositional approaches and the performance issues in
this piece.
114
Bibliography
Manuscripts
Rochberg, George. “Caprice Variations for Unaccompanied Violin.” JBP 86–18 no. 45.
American Music Collection. New York Public Library Music Division.
Rochberg, George. “Caprice Variations for Unaccompanied Violin.” Private Collection by Lewis
Kaplan.
Musical Scores
Brahms, Johannes. Variations on a theme by Paganini: for the piano, op. 35. Ed. Edwin Hughes.
New York: G. Schirmer, 1924.
Paganini, Niccolò. 24 caprices, opus 1, for violin solo. Ed Carl Flesch. Leipzig: C.F. Peters,
1900.
Schubert, Franz. Werke Serie XII. Ed. Julius Esptein. Leipzig: Breitkopf & Härtel, 1889.
Rochberg, George. Caprice Variations for Unaccompanied Violin. Ed. Lewis Kaplan. Boston:
Galaxy Music Corporation, 1973.
Rochberg, George. String Quartet No. 3. New York: Galaxy Music Corp, 1976.
Webern, Anton. Passacaglia, op. 1. Boca Raton, Fla: E.F. Kalmus, 1997.
Books
Babies, Sol. The Violin: Views and Reviews. 2d ed. Urbana, IL: American String Teachers
Association, 1959.
Bachman, Alberto. An Encyclopedia of the Violin. Transl. Frederick H. Martens. New York: Da
Capo, 1966.
Berkley, Harold, and Louis Persinger. The Modern Technique of Violin Bowing: An Analysis of
the Principles of Modern Bowing, and How to Apply Them to Musical Interpretation
(with Many Exercises and Examples). New York: G. Schirmer, Inc., 1941.
Borer, Philippe. The Twenty-Four Caprices of Niccolò Paganini: Their Significant for the
History of Violin Playing and the Music of the Romantic Era. Genoa: Civico Istituto di
studi Paganiniani, 1997.
Bronstein, Raphael. The Science of Violin Playing. Neptune, N.J.: Paganiniana Publications,
1977.
Burkholder, Peter J. All Made of Tunes: Charles Ives and the Uses of Musical Borrowing. New
Haven: Yale University Press, 2004.
Casabona, Alberto. La Tecnica del Violino: The Mastery of Violin Techniques. Milano: Ricordi,
1962.
Courvoisier, Karl, and Joseph Joachim. The Technique of Violin Playing: The Joachim Method.
Ed. Henry Edward Krehbiel. Mineola, N.Y.: Dover Publications, 2006.
Cope, David. New Music Notation. Dubuque, Iowa: Kendall/Hunt Pub. Co., 1976.
Courcy, Geraldine I.C. de. Paganini: The Genoese. Norman: University of Oklahoma Press,
1957.
De Benedictis, Angela Ida, and Tina Kilvio Tüscher. Sammlung George Rochberg:
Musikmanuskripte. Mainz: Schott, 2010.
Dixon, Joan DeVee. George Rochberg: A Bio-Bibliographic Guide to His Life and Works.
Stuyvesant, NY: Pendragon Press, 1992.
Fischer, Simon. Basics: 300 Exercises and Practice Routines for the Violin. Oxford, United
Kingdom: Peters Edition, 1997.
115
Fischer, Simon. Practice: 250 Step-by-Step Practice Methods for the Violin. London: Edition
Peters, 2004.
Flesch, Carl. Art of Violin Playing: Book One and Two. Transl. Eric Rosenblith. New York: Carl
Fischer, 2000.
Freedman, Frederick and Jeffrey Pulver. Paganini, the Romantic Virtuoso. New York: Da Capo
Press, 1970.
Gagné, Nicole V., Tracy Caras, and Gene Bagnato. Soundpieces: Interviews with American
Composers. Metuchen, N.J.: Scarecrow Press, 1982.
Galamian, Ivan. Principles of Violin Playing and Teaching. 3rd ed. Ann Arbor, MI: Shar
Products Co, 1985.
Gillmor, Alan M., ed. Eagle Minds: Selected Correspondence of Istvan Anhalt and George
Rochberg (1961–2005). Waterloo, Ont.: Wilfrid Laurier University Press, 2007.
Gloag, Kenneth. Postmodernism in Music. Cambridge: Cambridge University Press, 2012.
Joachim, Joseph and Andreas Moser. Violinschule. 3 vols. Berlin: Simrock, 1905.
Kolneder, Walter. Das Buch der Violine. Zurich and Freiburg: Atlantis, 1993. Transl. and ed. by
Reinhard G. Pauly as The Amadeus Book of the Violin. Portland, OR: Amadeus, 1998.
Metzer, David. Quotation and Cultural Meaning in Twentieth-Century Music. Cambridge:
Cambridge University Press, 2007.
Peckham, Morse. The Romantic Virtuoso. Hanover, NH: University Press of New England,
1995.
Perkins, Marianne Murray. A Comparison of Violin Playing Techniques: Kato Havas, Paul
Rolland, and Shinichi Suzuki. S.l.: American String Teachers Association, 1995.
Reynolds, Christopher Alan A. Motives for Allusion: Context and Content in Nineteenth-Century
Music. Cambridge, MA: Harvard University Press, 2003.
Rochberg, George. A Dance of Polar Opposites: The Continuing Transformation of Our Musical
Language. Ed. Jeremy Gill. Rochester: University of Rochester Press, 2012.
———. Five Lines, Four Spaces: The World of My Music. Ed. Gene Rochberg and Richard
Griscom. Urbana, IL: University of Illinois Press, 2009.
———. The Aesthetics of Survival: A Composer’s View of Twentieth-Century Music, rev. and
expanded edition, ed. William Bolcom. Ann Arbor: The University of Michigan Press,
2004.
———. The Hexachord and Its Relation to the 12-Tone Row. Bryn Mawr, Pa: Presser, 1955.
Sfilio, Francesco., and A. Bonisconti. Advanced Violin Technique. Varese: Zecchini, 2002.
Stowell, Robin, ed. The Cambridge Companion to the Violin. Cambridge: Cambridge University
Press, 1992.
Strange, Patricia and Allen Strange. The Contemporary Violin: Extended Performance
Techniques. Berkeley: University of California Press, 2003.
Straus, Joseph N. Remaking the Past: Musical Modernism and the Influence of the Tonal
Tradition. Cambridge, MA: Harvard University Press, 1990.
Sugden, John. Niccolò Paganini: Supreme Violinist or Devil’s Fiddler?. Tunbridge Wells, Kent:
Midas Books, 1980.
Szigeti, Joseph. The Violinist's Notebook. London: Duckworth, 1964.
Wlodarski, Amy Lynn. George Rochberg, American Composer: Personal Trauma and Artistic
Creativity. Rochester: University of Rochester Press, 2019.
116
Articles
Berry, Mark “Music, Postmodernism, and George Rochberg’s Third String Quartet,” in
Postmodern Music/Postmodern Thought. London and New York: Routledge, 2002, 235–
248.
Gillmor, Alan. “The Apostasy of George Rochberg.” Intersections: Canadian Journal of Music
29, no. 1 (2009): 32–48.
Herencia, Gonzalo Roldán. “George Rochberg.” Ritmo 78, no. 795 (March 2007): 96–97.
Hübler, Klaus K. “Expanding the String Technique.” Interface 13, no. 4 (January 1984): 187–98.
Holtz-Oxley, Lorrell. “The Legacy of George Rochberg.” Naxos. Accessed November 23, 2017.
https://www.naxos.com/news/default.asp?pn=News&displayMenu=Interviews&op=news
105.
Kawabata, Maiko. “Virtuosity, the Violin, the Devil…: What Really Made Paganini
‘Demonic’?” Current Musicology no. 83 (Spring 2007): 85–108.
Kramer, Jonathan D. “Can Modernism Survive George Rochberg?” Critical Inquiry 11, no. 2
(December 1984): 341–354.
Meyer, Felix. “George Rochberg: Music for the Magic Theater (1965).” In Collected Work:
Settling New Scores: Music Manuscripts from the Paul Sacher Foundation. Mainz:
Schott Musik International, 1998.
Palmer, David Lee. “Virtuosity as Rhetoric: Agency and Transformation in Paganini’s Mastery
of the Violin.” Quarterly Journal of Speech 84, no. 3 (August 1998): 341–357.
Reilly, Robert R., and George Rochberg. "The Recovery of Modern Music: George Rochberg in
Conversation." Tempo, no. 219 (2002): 11.
Reise, Jay. “Rochberg the Progressive.” Perspectives of New Music 19, no. 1/2 (1980): 395–407.
Rochberg, George. “Metamorphosis of a 20th-Century Composer.” Interview by Guy Freedman.
Music Journal 34, no. 3 (March 1976): 12–14.
———. “Reflections on the Renewal of Music.” Current Musicology, no. 13 (1972): 75–82.
Schröder, Jaap. “A Performer’s Thoughts on Mozart’s Violin Style.” in Perspectives on Mozart
Performance. Cambridge Studies in Performance Practice, No. 1. New York: Cambridge
University Press, 117–125.
Schwarz, David. “A (Dis)pleasure of Influence: George Rochberg’s Caprice Variations for
Unaccompanied Violin.” Musicological Annual 45, no. 2 (2009): 107–142.
Tarsi, Boaz. “George Rochberg: The Composer Who Returned to Tonality.” Music in Time
(1983): 18–22.
Wierzbicki, James. “Reflections on Rochberg and ‘Postmodernism’.” Perspectives of New Music
45, no. 2 (Summer 2007): 108–132.
Dissertations
Berry, Mark Andrew. “Musical Borrowing, Dialogism, and American Culture, 1960–1975: Bob
Dylan’s Self Portrait, George Rochberg’s Third String Quartet, and Herbie Hancock’s
‘Watermelon Man’.” Ph.D. diss., State University of New York, 2006.
Campbell, Mary Rameaka. “Tonal Reform or Radical Tonality? A Study of Neoromanticism in
American Music, with an Emphasis on the Music and Thought of George Rochberg,
David Del Tredici, and Stephen Albert.” Ph.D. diss., University of Connecticut, 1994.
Copenhaver, Lee R. “The Symphonies of George Rochberg.” Ph.D. diss., University of Iowa,
1987.
Engberg, Kristina. “Linear Connections and Set Relations in George Rochberg’s Caprice
Variations.” M.A. Thesis, University of Rochester, Eastman School of Music, 1982.
117
Farrell, Aaron M. “A Practical Guide to Twentieth-Century Violin Etudes with Performance and
Theoretical Analysis.” D.M.A. diss., Louisiana State University, 2004.
Gaughan, Warren John. “An Analysis of George Rochberg’s Carnival Music: Suite for Piano
Solo.” D.M.A. diss., Arizona State University, 2005.
Jones, Steven Donald. “The Twelve Bagatelles of George Rochberg.” M.M. Thesis, Indiana
University, 1974.
Kim, Hojin. “George Rochberg’s Caprice Variations for Unaccompanied Violin: An Analytical
Overview and a Performance Study Guide.” D.M.A. diss., Florida State University, 2014
Kudo, Elmer Takeo. “An Investigation of Twelve-Tone Usage in George Rochberg’s Symphony
No. 2.” M.M. Thesis, Indiana University, 1974.
Lyman, Kent Marvin. “George Rochberg’s Carnival Music, Suite for Solo Piano: An Aesthetic
Compositional and Performance Perspective.” D.M.A. diss., Indiana University, 1993.
Park, Siryung. “George Rochberg’s Caprice Variations for Unaccompanied Violin: A Stylistic
Study and Performance Guide.” D.M.A. diss., University of Cincinnati, 2017.
Ryu, Ji-Yeon. “Musical Borrowing in Contemporary Violin Repertoire.” D.M.A. diss., Florida
State University, 2010.
Smith, Joan Templar. “The String Quartets of George Rochberg.” Ph.D. diss., University of
Rochester, 1976.
Talleda, Joseph. “A Study and Performance Guide to George Rochberg’s ‘Summer, 1990’.”
D.M.A. diss., University of Miami, 2003.
Online Resources
American Music Research Center. “Events 2018–2019.” University of Colorado Boulder.
Accessed March 2. https://www.colorado.edu/amrc/events/events-2018-2019.
Kaplan, Lewis. “About.” Lewis Kaplan. Accessed March 2, 2020. https://lewiskaplan.net/about/.
Jennings, Andrew. “Rochberg Caprice Introduction,” YouTube video, 22:49. February 6, 2013.
Skærved, Peter Sheppard. “George Rochberg.” December 5, 2009. December 1, 2019.
https://www.peter-sheppard-skaerved.com/2009/12/george-rochberg/.
Royal Academy of Music. “Peter Sheppard Skæ rved.” Royal Academy of Music. Accessed
February 28, 2020. https://www.ram.ac.uk/about-us/staff/peter-sheppard-skrved.
Reviews
Kohut, Jacob. Review of A Dance of Polar Opposites: The Continuing Transformation of Our
Musical Language, by George Rochberg. Music Reference Services Quarterly 16, no. 3
(July 2013): 192–194.
Marchand, Rebecca. Review of Five Lines, Four Spaces: The World of My Music, by George
Rochberg. Notes: Quarterly Journal of The Music Library Association 66, no. 4 (June
2010): 753–755.
CD Reviews
Byzantion. “Music Web.” Divine Art Recording Group. March 10, 2020.
https://metierrecords.co.uk/review/musicweb-28521-byzantion/.
Gimbel, Allen. “Amercian Record Guide.” Divine Art Recording Group. March 10, 2020.
https://metierrecords.co.uk/review/american-record-guide-28521-allen-gimbel/.
Glass, Herbert. “Fiddlers Five.” Los Angeles Times (Los Angeles, Calif.), 20 July 1986.
118
Hui, Danny Kim-Nam. “Rochberg Review.“ Peter Sheppard Skæ rved. February 25, 2020.
http://www.peter-sheppard-skaerved.com/2011/05/rochberg-reviews/.
Moore, David W. “Rochberg: Caprice Variations.” American Record Guide 61. 4 Jul/Aug
(1998): 185.
Sanderson, Blair. “George Rochberg Caprice Variations.” AllMusic. February 20, 2020.
https://www.allmusic.com/album/george-rochberg-caprice-variations-mw0001394052.
Woolf, Peter Grahame. “George Rochberg Caprice Variations.” Musical Pointers. March 1,
2020. http://www.musicalpointers.co.uk/reviews/cddvd/rochberg_caprice.htm.
Unpublished Literature
Elliott, Robin. Unpublished Lecture on Rochberg’s Third String Quartet, undated ca. 2004.
119
Discography
Caprice Variations
Arai, Eiji, violinist. Paganiniana. Meister Music MM1076, 2009, compact disc.
Dodds, Daniel, violinist. Time transcending. Oehms Classics OC832, 2012, compact disc.
Jennings, Andrew. “Rochberg: Caprice Variations Complete”. YouTube video, 1:07:26. Dec
2012. https://www.youtube.com/watch?v=LIj4mwvTuCI&t=65s.
Kremer, Gidon, violinist. A Paganini: Virtuoso Violin Music. Recorded in 1984, Deutsche
Grammophone 415 484–2, 1985, compact disc.
Makarski, Michelle, violinist. Caoine. Edition of Contemporary Music ECM Records 1587,
1997, compact disc.
Rochberg, George. Invitation to the Music of George Rochberg. Arash Amini (cello), Susan
Jolles (harp), Theresa Nolan, Paul Roby (violin), and Linda Wetherill-Smith (flute).
Direct-to-Tape Recording Company DTR3056, 2007, compact disc.
Rochberg, George. Caprice Variations for Unaccompanied Violin. Peter Sheppard Skæ rved.
Metier MSVCD92065, 2003, compact disc.
Zeitlin, Zvi. Caprice Variations for Unaccompanied Violin. Musical Heritage Society MHS
3719, 1978, L.P.
String Quartet No. 3

Rochberg, George. String Quartet No 3. Kreutzer Quartet. Métier 92051, 2001, compact disc.
Rochberg, George. String Quartets Nos. 3, 4, 5, 6. Concord Quartet. New World Records 80551–
2, 1999, 2 compact discs.
Violin Concerto
Rochberg, George. Violin Concerto (Restored Original Version). Peter Sheppard Skæ rved
(violin) and Saarbrücken Radio Symphony Orchestra, conducted by Christopher
Lyndon-Gee. Recorded 2002, Naxos 8559129, 2004, compact disc.
120

Lin Yung-Yu 202011 DMA Thesis (Rochberg)

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Lin Yung-Yu 202011 DMA Thesis (Rochberg)

Uploaded by

Copyright:

Available Formats

A Performance Guide to George Rochberg’s

Caprice Variations for Solo Violin

A thesis submitted in conformity with the requirements

© Copyright by YUNG-YU LIN 2020

Doctor of Musical Arts

level of artistic performance.

technical difficulties is offered, as well as interpretative suggestions. Chapter Five presents

Sheppard Skæ rved, who have recorded the whole work.

Table of Contents ........................................................................................................................... vi

List of Tables ............................................................................................................................... vix

List of Plates ....................................................................................................................................x

List of Figures ................................................................................................................................ xi

Chapter 1 George Rochberg and the Test of Time ..........................................................................1

1.1 Overview ..............................................................................................................................1

1.2 Rochberg as a non-String Player........................................................................................18

Chapter 2 Background to Caprice Variations and Literature Review ...........................................22

2.1 Background to Caprice Variations ....................................................................................22

2.2 Literature Review of Caprice Variations ..........................................................................24

2.2.1 Printed Sources ......................................................................................................24

2.2.2 Online Sources .......................................................................................................26

2.3 Reception ...........................................................................................................................27

Chapter 3 “A Garden of All Sorts of Possibilities”: ......................................................................30

Musical Quotation and Stylistic Reference in Caprice Variations ................................................30

3.1 Introduction ........................................................................................................................30

3.2 Group 1 ..............................................................................................................................34

3.3 Group 2 ..............................................................................................................................44

3.4 Group 3 ..............................................................................................................................47

3.5 Conclusion .........................................................................................................................62

Chapter 4 Beyond Virtuosity: An Analytical Practice Guide to Caprice Variations ....................63

4.1 Introduction ........................................................................................................................63

4.2 Level A...............................................................................................................................65

4.3 Level B ...............................................................................................................................66

4.5 Level D...............................................................................................................................83

4.6 Level E ...............................................................................................................................88

Chapter 5 Interviews ......................................................................................................................92

5.1 Introduction ........................................................................................................................92

5.2 Lewis Kaplan .....................................................................................................................92

5.2.2 Lewis Kaplan on his relationship with Rochberg ..................................................93

5.2.3 Kaplan as editor of the Caprice Variations ...........................................................94

5.2.4 The premiere ..........................................................................................................95

5.2.5 The relationship with Rochberg ends ....................................................................95

5.2.6 About Caprice Variations ......................................................................................95

5.3 Andrew Jennings ................................................................................................................98

5.3.2 Jennings’ relationship with Rochberg ....................................................................98

5.3.3 First encountering Caprice Variations...................................................................99

5.3.4 Recording the Caprice Variations on YouTube ..................................................100

5.3.5 Pedagogical Approaches ......................................................................................103

5.4 Peter Sheppard Skæ rved ..................................................................................................105

5.4.2 Skæ rved on his relationship with Rochberg ........................................................105

5.4.3 Encountering the Caprice Variations ..................................................................107

5.4.4 Thoughts about recording Caprice Variations ....................................................108

5.4.5 Thoughts on Caprice Variations..........................................................................108

Chapter 6 Conclusion ...................................................................................................................112

Table 1: Grouping based on relationship to Paganini’s theme

Table 2: Difficulty levels in Caprice Variations

Table 3: Hierarchy of the note length in Variation No. 20

Plate 1: Rochberg’s Caprice Variations manuscript (NYPL), Variation No. 36

Plate 2: Rochberg’s Caprice Variations manuscript (NYPL), Variation No. 30

Plate 3: Rochberg’s Caprice Variations manuscript (NYPL), Variation No. 33

Plate 4: Rochberg’s manuscript of Caprice Variations owned by Lewis Kaplan, No. 15

Plate 5: Kaplan’s signature on the publication of Rochberg Caprice Variations

Plate 6: Jennings’ signature on the publication of Rochberg Caprice Variations

Figure 1: Rochberg, Second Symphony, Opening