UNIVERSITY of CALIFORNIA Santa Barbara Formal Determinants in The
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UNIVERSITY OF CALIFORNIA Santa Barbara Formal Determinants in the First and Fifth Movements of Hector Berlioz's Symphonie fantastique A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Music by Claire Nicole Barbasch Committee in charge: Assistant Professor Benjamin Levy, Co-chair Associate Professor Derek Katz, Co-chair Professor Lee Rothfarb March 2015 The dissertation of Claire Nicole Barbasch is approved. ____________________________________________________ Benjamin Levy, committee co-chair ____________________________________________________ Derek Katz, committee co-chair ____________________________________________________ Lee Rothfarb March 2015 Formal Determinants in the First and Fifth Movements of Hector Berlioz's Symphonie fantastique Copyright © 2015 by Claire Nicole Barbasch iii Acknowledgements I am grateful to my advisors, Benjamin Levy and Derek Katz for their encouragement and guidance throughout the dissertation process. I would also like to thank Lee Rothfarb for his input on sonata form and the history of the Baroque binary form. Pieter van den Toorn was instrumental in pointing me towards the Dies irae passage in Berlioz's fifth movement and generally inspired me to pursue this topic. Cathy Jones and Temmo Korisheli have provided excellent reference support from the library. I am grateful to my colleague Luke Hannington for proofreading and for suggesting symphonies written in France around 1730 – 1800, which ultimately led me to Reicha's symphony in E♭. Mathieu Duteil was extremely helpful in proofreading and correcting my French translations. My parents provided moral and financial support when it was sorely needed. My roommate Suzanna was invaluable as a friend, and provided an excellent ear to bounce ideas off of. I am indebted to my friends Katie, Nick, Elizabeth, Mike, and Julia for support throughout this project, and to Alejandro Planchart for convincing me to see this project through to its successful completion. iv Vita of Claire Nicole Barbasch March 2015 EDUCATION Dissertation advisors: Benjamin Levy, Derek Katz M.A. in Music Theory, UCSB 2011. B.A. in Mathematics from Cornell University, 2008 B.A. in Music from Cornell University, 2008 PROFESSIONAL EMPLOYMENT Fall 2013 – Spring 2014: Teaching Assistant for Music 5, UCSB Summer 2012 – Fall 2012: Teaching Associate for Music 11, UCSB Fall 2011 – Spring 2013: Teaching Assistant for Music 11, UCSB Fall 2009 – Spring 2011: Teaching Assistant for Music 5, UCSB Fall 2008 – Spring 2009: Teaching Assistant for Music 11, UCSB Spring 2008: Consultant to Maria Terrell during Math Support Center evaluation, Cornell University Fall 2006 – Summer 2008: Student Assistant at Sydney Cox Library of Music and Dance, Cornell University Summer 2006: Tutor at the Math Support Center, Cornell University Fall 2004 – Spring 2005: Grader for Calculus I, Cornell University Summer 2004: Tutor at the Math Support Center, Cornell University CONFERENCES AND PUBLICATIONS Presentation: “Out of Phase: Melodic, Harmonic, Metrical, and Orchestrational Layers as Formal Determinants in Hector Berlioz's Symphonie fanstastique” at 2014 Graduate Student Conference: Confounding Expectations: Music(s) and Place(s), University of Calgary. FUNDING 2011 – 2012: UCSB Department of Music stipend, $1,300. 2010 – 2011: UCSB Department of Music stipend, $4,598.14. 2009 – 2010: UCSB Department of Music stipend, $3,711.90. 2008 – 2009: UCSB Department of Music stipend, $8,500. SKILLS Viola performance. French and German reading. Japanese speaking. Sound file manipulation techniques in MATLAB. Programming in C++. Image manipulation in GIMP. Music notation manipulation in Sibelius, Finale, and Musescore. v Abstract Formal Determinants in the First and Fifth Movements of Hector Berlioz's Symphonie fantastique by Claire Nicole Barbasch In this dissertation, I analyze the first and last movements of the Symphonie fantastique with respect to four layers: melody, harmony, orchestration, and hypermeter. I use several types of layer-interaction to determine points of large-scale structural significance and refer to this analysis to resolve points of disagreement over the form of each movement. Historically, this piece has been the subject of much criticism because Berlioz has mixed multiple styles, genres, and compositional procedures. Many of Berlioz's works have resisted both categorization and analysis thanks to this general creative strategy. Chapter One defines each of the four layers that I take into account and gives two examples of the ways in which these layers can move in and out of phase. Chapter Two compares three interpretations of Berlioz's first movement: as an “arched” sonata form in which the first and second themes are reversed in the recapitulation, as a Type 3 sonata form but with recapitulation beginning in the dominant, and as an instance of Anton Reicha's Grande coupe binaire. I suggest that the Grande coupe binaire and the Type 3 sonata forms each provide a closer model to the movement than the “arched” sonata hypothesis. Chapter vi Three compares my layered analysis of Berlioz's first movement and the first movement of Reicha's Symphony no. 2 in E♭ . I find similarities between the two movements that point towards Reicha's theory of the form as a plausible model for Berlioz's first movement. Chapter Four applies my proposed analytical technique to the entire fifth movement to establish not only the points of large-scale structural significance, but also to establish continuity in the movement by demonstrating momentum gain and loss through the interaction of the layers. Finally, Chapter Five evaluates Berlioz's Ronde du sabbat under the Paris Conservatoire's guidelines for the fugue by examining treatises by Reicha and by Luigi Cherubini. It then establishes the interaction of layers as an important aspect of fugue composition. vii Table of Contents Acknowledgements...................................................................................................................iv Vita of Claire Nicole Barbasch..................................................................................................v Table of Contents....................................................................................................................viii List of Figures...........................................................................................................................xi Introduction............................................................................................................................xiii Chapter One: Historical Background and Analytical Techniques.............................................1 1.1 Layers: an Overview.......................................................................................................1 1.2 Meter and Hypermeter....................................................................................................4 1.3 Melody............................................................................................................................5 1.4 The Phrase and the Sub-phrase.......................................................................................7 1.5 Periodicity and Symmetry.............................................................................................10 1.6 Reicha's Theory of Melody...........................................................................................14 1.7 The Layers in Action: Two Practical Examples............................................................22 Chapter Two: Large-scale Form of Rêveries, Passions...........................................................28 2.1 Berlioz's Slow Introduction as a Series of Characteristic Zones...................................37 2.2 Berlioz's Allegro with Continuous Exposition ............................................................39 2.3 Berlioz's First Movement and the Type 3 Sonata Form................................................47 2.4 Layers and the Grande coupe binaire............................................................................51 2.5 Reicha's Grande coupe binaire and the Symphonie fantastique....................................55 Chapter Three: Reicha's Symphony no. 2 in E♭ and the Symphonie fantastique...................59 3.1 Reicha's Grande coupe binaire: the Overall Form........................................................61 3.2 Reicha's Grande coupe binaire: the Exposition.............................................................68 viii 3.3 Reicha's Exposition.......................................................................................................71 3.4 Berlioz's Exposition......................................................................................................80 3.5 Reicha's Grande coupe binaire: the Development........................................................84 3.6 The Overall Shape of Reicha's and Berlioz's First Movements....................................87 Chapter Four: The Layered Analysis as Determinant of Momentum in the Fourth Movement ..................................................................................................................................................92 4.1 The Suitability of the Movement to a Layered Analysis...............................................92 4.2 Overall Form of the Movement.....................................................................................95 4.3 Introduction to the E♭ Clarinet Entrance, mm. 1 - 40..................................................96