Harmony, Tonality and Structure in Vaughan Williams's Music Volume 1 David Manning A dissertation submitted in partial fulfilment of the requirements for the degree of Philosophiae Doctor of the University of Wales, Cardiff December 2003 Summary Many elements of and reflections on tonality are to be found in Vaughan Williams’s music: tonal centres are established and sustained, consonant triads are pervasive, and sonata form (a structure associated with tonality) is influential in the symphonies. But elements of the tonal system are also challenged: the diatonic scale is modified by modal alterations which affect the hierarchical relation of scale degrees, often consonant triads are not arranged according to the familiar patterns of functional harmony, and the closure of sonata form is compromised by the evasive epilogue ending of many movements and rotational structures. This music is not tonal or atonal, nor does it stand on any historical path between these two thoroughly theorised principles of pitch organisation. With no obvious single theoretical model at hand through which to explore Vaughan Williams’s music, this analysis engages with Schenkerian principles, Neo-Riemannian theory, and the idea of sonata deformation, interpreting selected extracts from various works in detail. Elements of coherence and local unities are proposed, yet disruptions, ambiguities, subversions, and distancing frames all feature at different stages. These are a challenge to the specific principle of organisation in question; sometimes they also raise concerns for the engagement of theory with this repertoire in general. At such points, meta-theoretical issues arise, while the overall focus remains on the analytical understanding of Vaughan Williams’s music. The text of this thesis comprises Volume One, with supporting examples, figures and tables presented in Volume Two. Acknowledgements There are a number of people and organisations it is my pleasure to acknowledge for their support and assistance in the completion of this project. My colleagues at the Department of Music, Cardiff University contributed help, encouragement and friendship over the last three years. In particular Ken Gloag has provided me with thoughtful and stimulating supervision. A university funded studentship provided the financial means to undertake this work. Finally, thanks go to my parents, Joyce and Finbarr, for their continuous support. Contents Introduction 1 1. Contexts: Vaughan Williams Studies, Music Theory and Analysis 5 Contested Values 10 Analysis of Vaughan Williams’s Music 19 Recent Theory and Analysis 25 2. Tonality and Modal Pitch Resources 36 Schenker and Vaughan Williams 37 Salzer’s Schenker 39 Schenker Studies 44 Modalised Tonality 49 The Lark Ascending 57 Conclusions 67 3. Characteristic Harmonic Progressions: Adhering to ‘An Alternative Mode of Determination’? 73 Modalised Tonality 74 The Combined Modal Scale and Chromaticism 77 Triadic Juxtapositions 81 Neo-Riemannian Theory 82 Neo-Riemannian Analysis 94 High VLE Scores 100 ‘From far, from eve and morning’ 107 O Vos Omnes 109 Conclusion 112 4. Locating and Challenging Tonal Centricity 119 The Limits of Modalised Tonality? 121 Undermining Modalised Tonality 124 Juxtaposition as a Tonal Strategy 127 Resisting Modalised Tonality 133 Conclusion 144 5. Structure in the Symphonies 146 Features of Vaughan Williams’s Symphonic Discourse 146 Sonata Form, Sonata Deformation and the ‘Early Moderns’ 148 First Movement Structural Strategies in the Fourth and Sixth Symphonies 156 Rotational Form in A Pastoral Symphony 161 A London Symphony, Slow Movement 169 Symphony in D Major 174 Sonata Deformation Types 181 Structure and Genre 183 Ninth Symphony Finale 186 Form and Expressive Shape 189 Conclusion 193 6. Conclusions 201 Bibliography 212 1 Introduction How can the elements that comprise Vaughan Williams’s music be understood? Do the musical materials cohere, and how can their striking juxtapositions be interpreted? Many previous accounts turn outwards to established notions of the pastoral, national identity and spiritualism, at best situating Vaughan Williams and his music in contested political, social and cultural contexts, at worst restating assumed judgements without fully evaluating what these terms mean. Fewer studies turn inwards, to analyse the music. With an awareness of both, summarised in Chapter One, this study interprets selected extracts and works, in order to understand how the musical materials relate to or resist one another, motivated by a commitment to close reading and theoretical engagement. Common-practice tonality and Schenkerian analysis provide a benchmark against which to examine the interaction of modal pitch resources and tonal centricity in Chapter Two. Drawing on Felix Salzer’s Schenkerian graph of a three bar excerpt from the Fifth Symphony, the impact of the flattened seventh degree on the security of the tonic, and relations between scale degrees, is discussed. It is noted that modal alteration broadens the range of possible tonal strategies. This provides a context for a detailed analysis of tonal and modal procedures in The Lark Ascending. Here the interaction of overlapping pentatonic, modal and diatonic pitch groupings is explored. For much of the piece, modal alterations reduce the inherent tension within the scale. Coexistence replaces opposition between the tonic scale degree and the ‘leading note’, while pentatonic groupings built on the tonic and dominant also minimise the difference between these two ‘polar opposites’. It is proposed that modal alterations can be understood as a defining element of ‘modalised tonality’. 2 Exploration of ‘characteristic’ harmonic progressions is the subject of Chapter Three. The concept of a ‘Complete Modal Scale’ is proposed as an underpinning element of modalised tonality, before contrasting perspectives from Neo-Riemannian theory and a recent study of chromatic transformations by David Kopp are introduced. Although it is essential to be aware of the differences between harmonic progressions in nineteenth-century repertoire and early twentieth-century British music, studies of music by composers including Schubert and Brahms offer a significant perspective on Vaughan Williams’s harmonic procedures. ‘Characteristic’ progressions include third relations and stepwise movement. These often remain within the Complete Modal Scale, but at other times this is exceeded, prompting a discussion of the role of ‘chromaticism’ in modalised tonality. Those progressions which highlight equal division of the octave can feature particularly strong voice leading progressions, while the tonal centre is challenged. At other times the tonic retains its referential function, and is even affirmed by ‘characteristic’ progressions. Two short pieces provide case studies where Vaughan Williams’s ‘characteristic’ progressions are particularly prominent. Challenges to the stability of tonal centres feature during the works analysed in Chapter Four. The undermining of tonal stability, juxtaposition as a tonal strategy, and tonal resistance, are considered in a range of choral and orchestral works. The implications of the continued appearance of diatonic tonality in the composer’s work is addressed. The chapter ends with analysis of two related extracts: the final movement of the Sixth Symphony, and ‘Cloud-Capp’d Towers’ from Three Shakespeare Songs, where semitonal relations resist tonal stability. While tonal centricity is challenged in these works, the notions of modal alteration and modalised tonality are still influential. 3 A thorough exploration of a range of diverse harmonic and tonal strategies in Chapters Two to Four provide a context for a study of structure in Chapter Five. Sonata deformation theory and rotational form, developed by James Hepokoski and Warren Darcy, are introduced. Although these theoretical concepts have been developed with reference to the music of Mahler, Sibelius and Strauss, similar structural procedures are found in the symphonies of Vaughan Williams. In addition two new categories of sonata deformation are proposed. While sonata deformation theory has emerged in response to movements in dialogue with sonata form, this chapter also considers the role of structure in other types of symphonic movement. Chapter Six concludes the thesis with a consideration of broader issues, suggested by the preceding analyses of harmony, tonality and structure. With reference to the wider contexts discussed in Chapter One points of contact are made between an emerging analytical approach and previous contextual studies. 4 Note on Terminology Pitches with a subscript number indicate register, where C4 is middle C, and the C an octave above is C5. Notes without a subscript number refer to that pitch irrespective of register. Superscript numbers following bar references indicate a particular beat within that bar. For example, in time, the second dotted crotchet beat of bar two is written as ‘bar 24’. Bar references are given in relation to rehearsal numbers or letters, depending upon what is given in the published score. The bar at figure 15 is written as ‘bar 15.1’ for example. Chords are referred to by roman numerals using lower case to indicate the minor mode. 5 Chapter 1 Contexts: Vaughan Williams Studies, Music Theory and Analysis The music of Ralph Vaughan Williams (1872-1958) resists organisation into stylistic periods. New elements can be seen to emerge at various stages, but this does not usually result in the rejection of other compositional