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FLORIDA STATE UNIVERSITY

COLLEGE OF MUSIC

THE HARMONIC REPRESENTATION OF THE FEMININE IN PUCCINI

By

YA-HUI CHENG

A Dissertation submitted to the College of Music in partial fulfillment of the requirements for the degree of Doctor of Philosophy

Degree Awarded: Summer Semester, 2008

Copyright © 2008 Ya-Hui Cheng All Rights Reserved

The Members of the Committee approve the dissertation of Ya-Hui Cheng defended on July 9, 2008.

______Matthew Shaftel Professor Directing Dissertation

______Douglas Fisher Outside Committee Member

______Jane Piper Clendinning Committee Member

______Linda Saladin-Adams Committee Member

The Office of Graduate Studies has verified and approved the above named committee members.

ii ACKNOWLEDGMENTS

When I begin the doctoral program, my teachers suggested I work on something that I could live with for the next ten or more years. I am glad to have gotten that part right! I’ve enjoyed every aspect of my research and sincerely appreciate my advisor Professor Matthew Shaftel and the members of my committee, Professors Jane Piper Clendinning, Douglas Fisher and Linda Saladin-Adams, not only for their continuous support and guidance but also for the inspiration I have gained from each of them. My desire to explore the work of Puccini began while working on an opera project with Professor Clendinning and continued with Professor Fisher’s Opera Literature courses. Then, in Professor Saladin-Adams’s Gender Studies course, I was inspired by the literary analysis of gender issues, and the idea for my dissertation on the evolution of Puccini’s writing for his female protagonists developed. Finally, my advisor, Professor Shaftel, kindly gave me space in which to grow; his invaluable suggestions and consistent encouragement made it possible for me to develop and finish this project. Each of my professors played a significant and yet different role in the progress of my work. Thanks particularly to the College of Music at Florida State University for giving me the best doctoral experience possible. I wish to express my sincere thanks to all the professors who have contributed to my education since I first came to the United States to pursue an undergraduate degree. Without their help in the different stages of building a solid theoretical foundation, I could never have come this far. Thanks also to my editors and friends, Nikki Nojima Louis and Hsin-Jung Tsai, for their advice and expertise. Finally, I am also grateful to Giacomo Puccini, whose operas have kept me intellectually and emotionally stimulated. Indeed, when I was a child preparing my first piano recital, my teacher asked me to play the Chinese song Mo-Li-Hua from Puccini’s Turandot. I am gratified that it is with the work of Puccini that I complete my last music theory degree and launch the beginning of my career. Finally, I warmly express appreciation for my family in Taiwan for their tremendous support in allowing me to study in the United States for more than a decade, and to whom this work is dedicated.

iii TABLE OF CONTENTS

Acknowledgments...... iii List of Musical Examples...... vi List of Figures...... ix List of Tables ...... xi Abstract...... xii

INTRODUCTION ...... 1

Research on Italian Opera...... 1 Giacomo Puccini (1858-1924)...... 3

CHAPTER 1: LITERATURE REVIEW AND METHODOLOGY ...... 6

Selected Relevant Literature Review on Puccini and His Music ...... 6 Methodology...... 20

CHAPTER 2: HARMONIC REPRESENTATIONS OF VERISMO IN 1896...... 36

La bohème...... 38 Musical Synopsis – La bohème...... 44 Musetta: “Quando me’n vo' ” ...... 48 Mimì: “Mi chiamano Mimì” ...... 51

CHAPTER 3: HARMONIC REPRESENTATION OF TOSCA (1900)...... 69

Tosca ...... 69 Musical Synopsis – Tosca ...... 85 Tosca: “Vissi d’arte” ...... 94

CHAPTER 4: HARMONIC REPRESENTATION OF MADAMA BUTTERFLY (1904) ...... 109

Madama Butterfly...... 109 Musical Synopsis – Madama Butterfly ...... 125 Butterfly: “Un bel dì”...... 136

CHAPTER 5: HARMONIC REPRESENTATION OF TURANDOT (1924)...... 151

Turandot ...... 151 Musical Synopsis – Turandot ...... 182 Liù: “Signore, ascolta!”...... 194 Turandot: “In questa reggia”...... 198

iv CHAPTER 6: THE HARMONIC REPRESENTATION OF THE FEMININE IN PUCCINI ...... 216

6.1 The Feminine ...... 217 6.2 Harmonic Representation ...... 218 6.3 The Harmonic Representation of the Feminine ...... 221 6.4 Giacomo Puccini and Italian Opera...... 222 6.5 Conclusion and Directions for Future Study ...... 224

BIBLIOGRAPHY...... 227

BIOGRAPHICAL SKETCH...... 237

v LIST OF MUSICAL EXAMPLES

Example 2.1: I/36/10-13 – End of B section and beginning of the 2nd A section...... 54

Example 2.2: I/38/20-23 – End of 2nd B section and coda ...... 55

Example 2.3: The “sweet magic” motion of 5^- 6^-5^ ...... 61

Example 2.4: The ending as “death” in 5^...... 65

Example 2.5: Harmonic dualist relation...... 67

Example 3.1: The abbreviation of Tosca’s entrance scene and Madonna tune...... 76

Example 3.2: Where is Angelotti? (II/36) – suffer motif...... 79

Example 3.3: Madonna and the suffer motifs...... 79

Example 3.4: Suffering towards Madonna...... 80

Example 3.5: Death tune (II/63) ...... 83

Example 3.6: Spoletta and Tosca...... 84

Example 3.7: Minor octave descent...... 95

Example 3.8: The continuing of Tonic motion – II/53 ...... 103

Example 3.9: The deceptive motion and religious faith – II/53 ...... 103

Example 3.10: Launch from the parapet – III/40/12-III/41...... 105

Example 3.11: Cavaradossi: "E lucevan le stele " – III/12/2-3 ...... 105

Example 3.12: Tosca and Cavaradossi...... 108

Example 4.1: Yin scale saturated with 5ths...... 114

Example 4.2: Yang scale and its extended version (saturated with 5ths) ...... 114

Example 4.3: Japanese folk tunes ...... 115

Example 4.4: Whole tone collection ...... 117

Example 4.5: Butterfly’s dream-like entrance...... 121

vi Example 4.6: Pinkerton’s diatonic sequence...... 122

Example 4.7: Butterfly and Pinkerton’s duet ...... 123

Example 4.8: Opening of the Oedo Nihonbashi...... 141

Example 4.9: The adaptation of “Takai yama kara” into “E Izaghi ed Izanami”...... 143

Example 4.10: “Tu? Piccolo Iddio!” (II.2/53/14-22)...... 150

Example 5.1: The authentic tunes from the Chinese music box...... 162

Example 5.2: The authentic tunes from J. A. Van Aalst’s Chinese Music (1884) ...... 163

Example 5.3: Melodic arch form in the pentatonic system ...... 165

Example 5.4: Dual tonic characters in Chinese pentatonic scale...... 166

Example 5.5: Mo-Li-Hua in D...... 167

Example 5.6: Mo-Li-Hua in G...... 167

Example 5.7: The borrowing of the Chinese melodic phrase in Liù (III/24)...... 168

Example 5.8: The borrowing of the Chinese melodic phrase in Calaf (III/35)...... 169

Example 5.9: The neighbor motion from Calaf’s “Non piangere, Liù” (I/43)...... 170

Example 5.10: The pentatonic collection in Calaf’s “Non piangere, Liù” (I/43)...... 170

Example 5.11: The neighbor motion from Liù's “Tanto amore segreto” (III/24/1-5).... 171

Example 5.12: Pentatonic scales in Liù's “Tanto amore segreto” (III/24)...... 172

Example 5.13: Contour relationship to Chinese song No. 2, mm. 1-2 ...... 172

Example 5.14: French Impressionistic sonorities color the diatonic melody...... 174

Example 5.15: The French Impressionist style integrated with diatonic melody...... 175

Example 5.16: Mo-Li-Hua, the figure of Turandot ...... 176

Example 5.17: Singing in unison, II/47...... 177

Example 5.18: Turandot and Calaf in Mo-Li-Hua...... 178

vii Example 5.19: Turandot talks to the Unknown Prince in III/18...... 178

Example 5.20: The entry of the Unknown Prince in I/5 ...... 179

Example 5.21: Ecstasy in III/49...... 180

Example 5.22: Riddle in II/50...... 180

Example 5.23: Prior to Liù’s death (III/24/1-5)...... 213

Example 5.24: Dualist figure for love and hate...... 214

viii LIST OF FIGURES

Figure 2.1: Musetta: “Quando me’n vo' ” (A section: II/21/1-16)...... 49

Figure 2.2: Musetta: “Quando me’n vo' ” (B and A’ sections: II/21/17 to II/23/15)...... 50

Figure 2.3: The axis along with the narrative trajectory towards death...... 53

Figure 2.4: Mimì: “Mi chiamano Mimì” (A section: I/35/1-14)...... 56

Figure 2.5: The sustained axis vs. continuous voice leading motion...... 58

Figure 2.6: Mimì: “Mi chiamano Mimì” (B section: I/36/1-11)...... 59

Figure 2.7: Mimì: “Mi chiamano Mimì” (C section and sequence: I/37/1 to I/38/11) .....63

Figure 2.8: Mimì: “Mi chiamano Mimì” (Background)...... 66

Figure 3.1: Tosca: “Vissi d’arte” (Introduction: II/51/1-13)...... 96

Figure 3.2: Madonna tune (I/25/1-8)...... 98

Figure 3.3: Tosca: “Vissi d’arte” (A section: II/52/1-12) ...... 99

Figure 3.4: Tosca: “Vissi d’arte” (A’ section: II/52/13 to II/53/1)...... 101

Figure 4.1: Butterfly: “Un bel dì” (A section: II.1/12/1-8) ...... 138

Figure 4.2: Butterfly: “Un bel dì” (Transition: II.1/12/9-18) ...... 140

Figure 4.3: Butterfly: “Un bel dì” (B section—Transition—B’ section: II.1/13/1 to II.1/14/11) ...... 142

Figure 4.4: Butterfly: “Un bel dì” (A—C—A sections: II.1/15/1 to II.1/16/9)...... 145

Figure 4.5: Butterfly: “Un bel dì” (Middleground reduction)...... 147

Figure 4.6: Butterfly: “Un bel dì” (Background)...... 148

Figure 5.1: Liù: “Signore, ascolta!” (I/42/1-10)...... 195

Figure 5.2: Liù: “Signore, ascolta!” (I/42/7-20)...... 196

Figure 5.3: Turandot: “In questa reggia” (Introduction: II/43/1-15 to II/44/2) ...... 201

ix Figure 5.4: Turandot: “In questa reggia” (A section: II/44/3-14) ...... 202

Figure 5.5: Mo-Li-Hua (I/19/1-16 to I/20/1-21)...... 203

Figure 5.6: Turandot: “In questa reggia” (B section: II/45/1-13 to II/46/1-2)...... 205

Figure 5.7: Turandot: “In questa reggia” (A’ section: II/46/3-12)...... 206

Figure 5.8: Turandot: “In questa reggia” (C section: II/47/1-14) ...... 208

Figure 5.9: Turandot: “In questa reggia” (D section: II/47/15 to II/48/1-7)...... 209

Figure 5.10: Prior to the kiss in III/38...... 210

Figure 5.11: Turandot: “In questa reggia” (Middleground of the entire aria) ...... 212

Figure 6.1: Directed tonal motion versus dualistic regions...... 220

x LIST OF TABLES

Table 2.1: The overall structure of “Quando me’n vo' ”...... 48

Table 2.2: The overall structure of “Mi chiamano Mimì”...... 52

Table 2.3: Comparing the 6^ and Mimì (“Mi chiamano Mimì”)...... 64

Table 3.1: The path towards acting out of reality (Tosca) ...... 82

Table 3.2: Key relationship between aria and Acts I & III (Tosca)...... 94

Table 3.3: The overall structure of “Vissi d’arte”...... 95

Table 4.1: The overall structure of “Un bel dì” ...... 138

Table 5.1: The overall structure of “Signore, ascolta!” ...... 194

Table 5.2: The overall structure of “In questa reggia” ...... 200

xi ABSTRACT

Over the past decade, few music theorists have explored the works of Puccini. Notable exceptions have been Burton (1995) and Davis (2003), who examined motive and style in Tosca and Turandot, respectively. This dissertation considers their work on Puccini and goes beyond their modernist approaches to explore various postmodernist aspects of his operas. Instead of working on one particular opera, this dissertation focuses on some of Puccini’s female protagonists—Mimì and Musetta from La bohéme (1896); Tosca from Tosca (1900); Butterfly from Madama Butterfly (1904); and Turandot and Liù from Turandot (1926). My goals are: (a) to utilize linear and harmonic analysis in order to illustrate how Puccini’s compositional style distinguishes his female protagonists; (b) to identify and categorize the harmonic language Puccini employs for his female characters; and (c) to demonstrate how these harmonic underpinnings evolve from the middle of Puccini’s career to the end. Moreover, I also consider the relationship between harmony, linear design, and exoticism in Puccini’s work, exploring links between his distinct use of Western tonality, Japanese Ying and Yang, and the Chinese pentatonic systems. Puccini’s early music already manifests a structural potential for the later application of the Japanese and Chinese systems, but Puccini’s last opera, the unfinished Turandot, integrates the two systems seamlessly, moving from exoticism towards a more authentic portrayal of Eastern music. My intention here is to illustrate how Puccini’s harmonic language blends aspects of Eastern and Western music and how his operas bridge the cultural gap of Eastern and Western aesthetics. The Introduction presents my motivation in researching Puccini as well as the goals for this project. Chapter I contains an extensive review of sources on Puccini and his music and sets up the analytic foundation for the following chapters, outlining a methodological plan. Chapter II presents two female protagonists—Mimì, a character in the distinctly verismo mold; her life is controlled by the inevitable trajectory of fate, and Musetta, who represents a euphoric moment as a contrast to the life of Mimì. In Mimì’s aria, the subdominant takes on a dualistic oppositional role to the dominant, acting in a

xii juxtaposed, rather than supporting role. In such a way, the harmony illustrates her fate, and her futile attempts to escape from it. Contrast this with the subordination of catastrophe—the subdominant in Musetta’s aria presents her beauty and attractiveness. Chapter III presents Puccini’s writing on the verismo-inspired character, Tosca, focusing on the implication of the submediant that presents the boundary of Tosca’s world where she is oblivious to anything but her seemingly happy life. Floria Tosca, the innocent and religious character, can do no harm to anyone. Ultimately, however, the diva will act out through the device of deceptive motion and religious strength in an opera within the opera, killing Scarpia, the chief of police. Chapter IV demonstrates Puccini’s only finished exotic Eastern writing, by focusing on Butterfly. This female protagonist uniquely engages with her own fate. As her American dream is constructed by her Japanese fantasy, she is both an insider and outsider in every aspect of her life. The implication of the Japanese Ying and Yang system in both foreground and background levels of her aria portrays that she can never abandon her inherent Japanese identity. Chapter V discusses the great humanity that Puccini consistently expressed throughout his career. The music for his last two female protagonists, Turandot and Liù, was the culmination of his career, representing his best writing. The analysis of Turandot’s aria explores Western tonality as it is interwoven with the Chinese pentatonic system and demonstrates how Turnadot is possessed by her angry ancestor, Lo-u-Ling. Contrasting with the ice cold Turandot, Liù’s sacrifice is prefigured through pseudo- pentatonic writing with an emphasis on the subdominant to portray the torment of her love. As a result, Liù presents Puccini’s most mature verismic character. Chapter VI discusses how Puccini’s musical portrayal of the feminine reflects the social aspects of his time. In addition, it describes a harmonic evolution based on Puccini’s six female characters. In doing so, it also displays the nature of exoticism in Puccini by examining the weak hierarchic relationships that allow the exotic borrowings to be subsumed in a tonal framework. In conclusion, Puccini’s sentimental writing identifies him as a great humanitarian and places him in the pantheon of the great artists of Italian opera.

xiii INTRODUCTION

Research on Italian Opera

For decades American trained music theorists have focused their research on the German musical tradition and have given it preferential status in their approaches to musical analysis. The unfortunate result is that local musical colors are often ignored; the German tradition is often viewed as the exclusive, rather than a primary, influence of the Western musical language. Theorist William Rothstein has discussed this academic narrowness when he wrote:

German Romantic hegemony has been challenged in many ways—most loudly perhaps by Richard Taruskin—but theorists have hardly begun to do so using other repertoires, contemporary to its ascendancy, that might offer alternatives to it.1

Indeed, composers from other European nations, such as Italy, maintained their own national identities in their music. That is to say, that although Beethoven, Wagner and other German giants might have influenced Italian opera composers, the Germanic influence should not be examined to the exclusion of the Italianate musical language. After all, Italian opera composers (and even some Germanic ones) wrote Italian, not German, operas. This point corresponds to Carolyn Abbate’s notion that social influences and composers’ individuality distinguish their creativity. Abbate wrote:

[t]hat high classical music was shaped by social and cultural forces, by national ethos, and that musical works were molded by their maker’s psychic individuality are all truisms. In those terms music’s social contingency and non-autonomous messiness are patent. Were this not the case, as has often been noted, then why would early Wagner sound like early Wagner and not Schumann, why would

1 William Rothstein “Common-tone Tonality in Italian Romantic Opera: An Introduction” in MTO 14/1 (March, 2008) (accessed June 21, 2008). Rothstein also discussed this fact at length in a keynote address focused on Italian opera. See “Why theorists should pay attention to nineteenth-century Italian opera; or, Confessions of a reformed Germanophile snob,” presented at Music Theory Southeast Annual Meeting, Chapel Hill, NC, 2006. In that talk, he cited examples that demonstrate how Italian operatic composers (from Rossini to Verdi) have influenced German composers.

1 nineteenth-century music not be the same as seventeenth-century music, and why would German music not be the same as Italian music.2

Abbate explains that each nation preserves its own identity and as a result Italian music sounds Italian, not German, and vice versa. Thus, rather than applying a stylistically blind musical hermeneutics to understand the structure, expression, and meaning of opera, one needs to find a secure way to approach musical expression as it engages with, confirms, and departs from a particular stylistic context. Following from Rothstein and Abbate’s messages, a question for the current music theory academy emerges: excluding the German tradition, how much understanding of other operatic styles have music theorists discovered and/or explored? The answer is that, despite a small number of exceptions (to be discussed below), there has been very little music theoretical research on Italian opera, and almost no exploration of Puccini’s operatic output. Unlike music theorists, historical musicologists have published abundant research on various European operatic subjects, giving an almost equal weight to both the German and Italian operatic traditions. In their landmark book, Analyzing Opera: Verdi and Wagner, editors Carolyn Abbate and Roger Parker provide a thorough survey of the state of research on Verdi and Wagner. The main purpose for this collection was to invite more academic devotion to going “beyond and behind” opera analysis.3 In certain respects, the list of comparative studies on Verdi and Wagner, which is based on common interests in academia, implies the essential fact that Italian and German operas are equally significant to the field of musicology. This statement resonates in the authors’ own words: “The notion of juxtaposing those two operatic lions [my emphasis] of the nineteenth century, Verdi and Wagner, is, of course, hardly new.”4 Scrutinizing the music theoretical research, however, one can only conclude that music theorists generally agree that Verdi and Wagner hold equivalent positions in their respective genres (Italian and German opera), yet theorists still show a preference for the works of Germanic and, more

2 Carolyn Abbate, “Music-Dratstic or Gnostic?” Critical Inquiry 30/3 (Spring 2004): 514. 3 Carolyn Abbate and Roger Parker, Analyzing Opera: Verdi and Wagner (Berkeley, University of California Press, 1989), 4. Abbate and Parker note that the words “beyond and behind” come from Edward T. Cone’s essay “Beyond Analysis.” For a serious debate about “beyond and behind,” see Edward T. Cone, “Beyond Analysis,” Perspectives of New Music 5 (1967): 33-51; David Lewin, “Behind the Beyond,” Perspectives of New Music 7 (1969): 50-60; Edward T. Cone, “Mr. Cone Replies,” ibid., 70-72. 4 Abbate and Parker (1989), 4.

2 recently, American composers, which translates into a distinct paucity in music theoretic research on Italian opera.5

Giacomo Puccini (1858-1924)

Academic theoretical research on Puccini has rarely been greeted with respect. This oversight is, in part, due to the tendency of music theorists to ignore opera altogether and to approach Italian opera in an ad hoc manner. More significantly, Puccini has not been considered to be an important musical innovator as are his predecessors, Wagner and Verdi, or his contemporary Berg. Indeed, Puccini composed in times of great change in the musical world and beyond. His music largely preserved the Italian tonal tradition; yet the subject of his operas introduced visions of Non-Western cultures to Italian, and later, worldwide audiences. Weaver discusses the golden century of the Italian opera, beginning with Rossini and ending with Puccini. He concludes his book in the following way “But Puccini left no Crown Prince. With him, the glorious line, Rossini, Bellini, Donizetti, Verdi, came to a glorious conclusion.”6 Weaver’s conclusion clearly defines Puccini’s status as equal to the other Italian operatic giants. Ashbrook and Powers recall Weaver’s words and go further to state that Puccini’s last unfinished opera Turandot represents the

5 This trend is particularly noteworthy in terms of recent Neo-Riemannian discussions of German opera. The Neo-Riemannian tool appears to be analytically relevant to the harmonic successions of German opera (particularly Wagner), but yields a distinct dearth of narrative or dramatically-linked understanding of those operas. Ultimately, since studying German music has been the main focus of the academic curriculum for some time, it is inevitable that German music holds a privileged place in the field. The historical precedence and development of this trend is well beyond the scope of this dissertation. Instead, the intent here is to point out that Italian opera has its own great tradition. Music theorists would do well to give some attention to discovering it. For introductory studies on Neo-Riemannian theory, see the entire volume in Journal of Music Theory 41/1(1997). Part of the cause of this is due to the fact that political stress during the two world wars caused German musicians to immigrate to the United States, an action that influenced the pedagogic trends of musical theory. This influence continues into our generation, although the situation has improved. For a relevant discussion on Italian opera’s influence on the German tradition, see William Rothstein (2006 and 2008), listed in footnote 1 of this chapter. 6 William Weaver, The Golden Century of Italian Opera: from Rossini to Puccini (New York: Thames and Hudson, 1980), 242.

3 last monument of the great Italian tradition.7 Although one might suspect that the event of Puccini’s sudden death in 1924 marked the close of an entire genre, it is clear that the great Italian tradition is still alive through the performance of Puccini’s operas. Examining box office receipts over the past century, there can be no doubt that Puccini’s operas take a central position in the seasons of all the major opera houses of the world. The libretti of his operas Madama Butterfly and La bohéme have been successfully adapted into the Broadway musicals Miss Saigon and Rent, respectively, and La bohéme has even been performed on Broadway. This is to say that Puccini’s work and the subjects he selected clearly resonate with audiences even now, and they have had a profound effect on generations of music lovers. What remains, then, is a mandate to explore not just the history of these operas, but also their music, their structure, and their effect on the operatic genre and on society in general. This dissertation attempts a small contribution to this large task, focusing on the manner with which Puccini treats his female characters, both musically and dramatically. In so doing, it touches on issues of harmony, form, gender, exoticism, and authenticity, shedding light on an evolution in Puccini’s stylistic treatment of his female characters. Puccini entitled some his operas with the names of female characters, and these operas show him to be intensely focused on the female perspective, perhaps even moving beyond Romantic notions of “otherness.” While the British high-modernist movement was advocating for women’s rights with Virginia Woolf’s Mrs. Dalloway and Orlando, published in 1925, Italian society was still very conservative. Yet, Puccini’s “realist” operas depicted such heroines as Tosca, who kills a policeman (Scarpia) onstage in 1900. The original stimulus for the creation of this dissertation stems both from the above cited concerns and a fascination with Puccini’s women, some of whom are bona- fide women, while others are more like one-dimensional shells of feminine representation. Puccini’s arias always seem to reflect the psychology of his character, or, as Kimbell states: “ [I]n Puccini’s hands the aria can often give less the impression of a musical composition being performed, more that of an improvisation, of an experience

7 William Ashbrook and Harold Powers, Puccini’s Turandot: The End of the Great Tradition (Princeton: Princeton University Press, 1991), 11.

4 being lived through.”8 The critical aspect underlying this fact is Puccini’s idiosyncratic use of harmony as it underlies his well-known melodies, and thus this research focuses on the harmonic representation in the feminine, as represented by arias written for Puccini’s female characters. Although this is just one small aspect of Puccini’s work, my hope is that the many questions that cannot be answered in this dissertation will invite others to pursue theoretic research on Italian opera and Puccini.

8 David Kimbell, Italian Opera (New York: Cambridge University Press, 1991), 626.

5 CHAPTER 1

LITERATURE REVIEW AND METHODOLOGY

Selected Relevant Literature Review on Puccini and His Music

Research on Puccini has been particularly abundant in historical musicology since 1958, the one-hundredth anniversary of the composer’s birth. Musicologist Helen Greenwald has published a comprehensive review of Puccini research since its earliest stages, with an emphasis on publications in the 1980s. In her study, Greenwald categorizes Puccini studies into thirteen areas, including bibliographical studies, life and work, letters, analytical and interpretative studies, and conference papers.1 Each category is summarized through a brief discussion. In the following, I adopt and adapt Greenwald’s categories to discuss Puccini research chronologically as it relates to my project.

1. Life and Work

Mosco Carner’s Puccini: A Critical Biography, published in 1958, adopts Freudian theory to explore the interrelation between Puccini’s history and his music, and it briefly analyzes the composer’s twelve operas with musical comparisons to his predecessors and contemporaries such as Verdi, Wagner, and Strauss. Carner devotes himself to a serious investigation of a composer who many critics ignored or dismissed. Despite the fact that this biography has been placed on the required reading list for Puccini scholars since it was first published, it does not view Puccini as progressive or modern. To some extent, this is related to Carner’s overemphasis on the Freudian

1 See Helen W. Greenwald, “Recent Puccini Research,” Acta Musicologica 65, Fassil (Jan. 1993): 23-50. Here I focus particularly on the theoretic research that plays a role in my own work. A historical approach to Puccini, unless there is a specific relevancy, is largely excluded or will be discussed within the later chapters, if needed. For a similar review of Puccini research, see also Deborah Burton, “A Select Bibliography of Articles and Dissertations about Puccini and His Opera,” in The Puccini Companion, ed. William Weaver and Simonetta Puccini (New York: W.W. Norton, 1994), 327-34.

6 analysis of Puccini and his relationships with others. As a result, Carner’s work actually weakens the weight of Puccini’s authority. Rather than providing an insight into Puccini’s personal musical style and an appreciation of Puccini as a virtuoso composer, Carner constantly excuses Puccini for the musical approaches that differ from those of Verdi and other well-known composers.2 Ultimately, the more excuses he made, the more the scholarly community lowered their regard of Puccini’s music.3 A later relevant publication on Puccini’s life and work comes from William Ashbrook, whose book, The Operas of Puccini, was published in 1968.4 Ashbrook models Carner’s approach but eliminates the pseudo-Freudian prototype in his discussion of the life of Puccini. He also analyzes Puccini’s twelve operas closely and relates the music score to the drama. In 1991, Ashbrook and coauthor Harold Powers published an intensive study, Puccini’s Turandot: The End of the Great Tradition.5 In this book, they trace the historical origins of this fable tale, discuss the compositional process, and analyze the entire opera in depth. The analytic approach is based on four types of musical color that Ashbrook and Powers define in the opera (Chinese, Dissonant, Middle Eastern and Romantic-diatonic). Their analysis introduces one of the earliest approaches to understanding Puccini through a stylistic lens and later influenced Andrew Davis, who adopts this mode of stylistic analysis in his study of Turandot (discussed below). In 2002, two Puccini biographies were published, by Julian Budden and Mary Jane Philips-Matz, that chronologically narrated the life of Puccini and his works. Budden’s book, Puccini: His Life and Work,6 also incorporates a detailed discussion of his librettos, the society and musical milieu of the time, his relationship to others, and contemporary musicians’ opinions of Puccini’s works. Budden analyzes each of Puccini’s operas and provides valuable insights. His analytic content goes beyond other

2 My critique is obviously biased by my own modern viewpoint. However, Carner’s work represented the most advanced interpretation of Puccini at the time. 3 Many scholars, including Carner, have excused Puccini for working to be perfect, but within his own limitations (emphasis added). A similar description also appears in Donald Jay Grout’s & Hermine Weigel Williams’ A Short History of Opera (New York: Columbia University Press, 2003), 494. Recent remarks are included in Julian Budden’s Puccini: His Life and Work (New York: Oxford University Press, 2002), 479, and Mary Jane Philips-Matz, Puccini: A Biography (Boston: Northeastern University Press, 2002). 4 William Ashbrook, The Operas of Puccini (New York: Oxford University Press, 1968). 5 William Ashbrook and Harold Powers, Puccini’s “Turandot”: The End of the Great Tradition (Princeton: Princeton University Press, 1991). 6 Budden (2002).

7 authors’ interpretations, picking up on Puccini’s musicianship and sentiments through the smallest analytic details. For instance, in his musical description of Madama Butterfly, Budden presents the figure pertaining to the two busy rhythmic notes that picture the Japanese milieu.7 This is one way in which Budden illustrates a detail that pinpoints the greatness of Puccini’s art. Philips-Matz’s work, Puccini: A Biography,8 records the life of Puccini, his music, his relationships with family and friends, and the aesthetic trends of the time. The narrative tone of this book provides an insight into Puccini’s world. One of the most valuable features of this book is that Philips-Matz incorporates other scholars’ words on Puccini to firmly support her view of the composer.

2. Analytic Studies

Allan W. Atlas is the earliest scholar to include substantial analysis in the study of Puccini’s works. His studies of Puccini covers most of his operas and he has published a series of articles that discuss topics such as the tonal and multivalent approach to the tonal structure, its association with semantic meaning and its possible expression of the story line, as correlated to the character’s psychology. A particular example of multivalence comes from Atlas’ discussion of the tonal plan in Madama Butterfly. He states that the opera’s tonal plan was based on the link between the keys of Gb and A major. The Gb major semantically represents Pinkerton’s rejection of Butterfly, while Butterfly mistakenly sees it as his acceptance. The A major then functions with positive connotations for Pinkerton, but negative ones for Butterfly. The misunderstanding between the characters is demonstrated by their musically paralleled (but never integrated) relationship through the “lovers’ crossed tonal areas.”9

7 See ibid., 265. 8 Phillips-Matz (2002). 9 Allan W. Atlas, “Crossed Stars and Crossed Tonal Areas in Puccini’s Madama Butterfly,” 19th-Century Music 14/2 (Autumn 1990): 186.

8 Roger Parker, in his response to Atlas’s Butterfly analysis, reveals a clear tonal coherence and takes the multivalence in both tonality and semantic meaning as mere happenstance. Parker states:

[T]hat some overarching system of connections, such phenomena 'govern the opera' is not to enrich or legitimatize Puccinian musical drama, but rather to attempt to circumscribe radically its capacity to renew claims on our attention… [the] rigid semantic 'associations' are fashioned by ignoring or factitiously extending the text.10

Atlas replies that Roger himself also implicitly advocates the “multivalent” approach in his work on Puccini. In his later publication, Atlas claims that multivalence can “inextricably intertwine” the ambiguous and unambiguous of tonality, harmony, and form with one another. He describes:

that ambiguity may become apparent only when viewed against something that is itself unambiguous, and that the two may operate simultaneously at different levels and be audibly perceived as doing so.11

He uses the example of IV - I harmonic progression from La fanciulla del West to support his view. First, he analyzes the IV - I progression in three different places within the scene: the opening, the ending, and a pedal-like passage. Then, he states that the IV - I progression in both the opening and the ending of the scene might make the ending ambiguous, for it lacks the leading-tone function of the dominant. However, he claims that the IV - I unambiguously foreshadows the sentimental storyline of the opera: “love – virtue – redemption.”12 He then suggests that the IV-I plagal motions:

do not really harmonize a melody or function as an accompaniment. Rather, the cadences themselves are the ‘event’: that is, they act as isolated sonorities, and their function is clearly rhetorical [to announce the love adventure].13

10 Roger Parker, “A Key for Chi? Tonal Areas in Puccini,” 19th-Century Music 15/3 (Spring 1992): 231. 11 Allan W. Atlas “Multivalence, Ambiguity and Non-Ambiguity: Puccini and the Polemicists,” Journal of the Royal Musical Association 118/1 (1993): 80. James Webster took a similar approach to Mozart in the SMT plenary session, November 2006. 12 Ibid., 80. 13 Ibid., 84.

9 This plagal motion is taken as a nostalgic “sigh” for the popular music of the contemporaneous American West.14 As the story takes place in the American West, it creates a semantic association with the (at least seemingly) primitive.15 In addition, the unambiguous IV - I progression clears up the ambiguous structural plan (lack of V - I motion) at the end of the love duet in Act II. Overall, Atlas’s discussion of multivalence in Puccini’s music stands as a significant contribution to Puccini research. In particular, it highlights the association between drama and large-scale tonal design as well as with more local harmonic structures. This is a theoretical model that others may follow with greater specificity. In this study, I have taken up Atlas’s interest in the plagal domain of Puccini’s music, although I have taken a more linear-inflected approach to the dualistic harmony. Ultimately, however, much of Atlas’s work provides a useful basis for my work on Puccini’s women. Other authors who take an analytic approach to Puccini’s operas and are relevant to my study include Roger Parker, William Drabkin and Sandra Corse. Parker and Drabkin both show the influence of Carner as they attempt to define Puccini as unequal to such composers as Wagner and Verdi. Parker analyzes Act I of Tosca through a dramatic lens to discuss the text/music relationships, tonality, and the motivic relation to the drama.16 Drabkin analyzes the harmonies and themes in La bohème and concludes that Puccini’s harmony fundamentally controls the direction of the melody as well as the thematic structures. Together, according to Drabkin, both harmony and thematic design 17 distinguish Puccini’s musical language. In her extremely brief, but informative article, Sandra Corse analyzes Puccini’s female protagonists: Mimì, Musetta, Tosca, Butterfly, Liù, Turandot.18 She studies the

14 The veracity of Atlas’s claim is outside the scope of this essay. 15 Atlas claims the connection with American Western music is quite evident, “especially if we have grown up on the soundtracks of American westerns and those television commercials that pitch the goodness of golden wheat waving in the Kansas wind” (84). 16 See Roger Parker, “Analysis: Act I in perspective.” This article is one of the collected essays in Mosco Carner, Giacomo Puccini: Tosca, (New York: Cambridge University Press, 1985), 117-48. 17 See Willliam Drabkin, “The musical language of La bohéme,” Giacomo Puccini La bohéme, ed. Arthur Groos and Roger Parker (New York: Cambridge University Press, 1986), 80-101. 18 Sandra Corse, ‘“Mi chiamano Mimì’ The Role of Women in Puccini’s Operas,”’ Opera Quarterly 1/1 (1980): 93-106.

10 plot of each opera to portray the psychology of the female characters as well as their relationship to the males. She also uses short excerpts from their melodies to support her ideas and claims that Puccini adheres to a singles stereotype for all his female characters, one that is extremely subordinate. As such, she concludes that his female characters are distinguished from those of other composers. While Corse’s study is a worthy start, my study of the larger musical issues that surround each character demonstrates a much richer variety and trajectory than her summary proclaims.

3. Studies of Exoticist Practice

Mosco Carner also published an earlier study entitled The Exotic Element in Puccini (1936), which discusses Puccini’s exoticism from the perspective of melody, harmony and rhythm. He defines the exoticism in Puccini’s works as it differs from those of his contemporaries, such as Strauss, stating: “[Puccini’s borrowing was] from an inner, irresistible urge to cope with the exotic problem in music.”19 The study includes a listing of Puccini’s “exotic” material borrowings and provides little musical analysis. It represents the earliest significant work to explore the authenticity of Puccini’s use of non- Western materials. Michael Saffle follows in Carner’s footsteps, devoting his study to the harmonic language in Puccini’s exoticism.20 He borrows his harmonic categories from Carner— pedal points, repeated chord progressions, parallel chords, accompaniment and heterophony—and claims that they are all combined in unusual ways in Puccini operas. The results of these combinations distinguish Puccini’s exotic tone colors. Saffle supports this viewpoint in his close studies of the scores of La fanciulla del West and Turandot. Both Carner’s and Saffle’s studies set the foundation for the study of Puccini’s exoticism that will follow. My work will expand their discussion to define Puccini’s

19 Mosco Carner; G. R., “The Exotic Element in Puccini,” The Musical Quarterly 22/1 (Jan. 1936): 67. 20 Michael Saffle, “Exotic Harmony in La Fanciulla del West and Turandot.” Exotismo e Colore Locale nell’Opera di Puccini. Edited by Jürgen Maehder, 119-30. Proceedings of the Prima Convegna Internazionale sull’opera di Giacomo Puccini in Torre del Lago, Italy. Pisa: Giardini, 1983.

11 harmonic structure as well as his imitation of authentic melodies and harmonic practices in his exotic writing.

4. Dissertations

(1). Norbert Christen Norbert Christen’s dissertation, Analytische Untersuchungen der Melodik, Harmonik und Instrumentation, focuses on a study of melody, harmony and instrumentation in Puccini.21 Christen’s discussion of Puccini is set from the perspective of the Italian tonal tradition’s influence on the composer. For instance, he discusses how Puccini’s idiomatic use of dissonance is largely the result of adding extra notes to stable consonances to color the sound.

(2). Helen W. Greenwald Helen W. Greenwald’s work follows in Atlas’s tonally cohesive footsteps. Her dissertation, “Dramatic Exposition and Musical Structure in Puccini’s Opera,” discusses the formal structure, rhythm, time, and vocal discourse in Puccini’s operas.22 In the final portion of her dissertation, she applies these resources to her analysis of the genesis and musical structure of La bohéme. Although issues of large-scale tonality are not her primary concern in the dissertation, she does briefly address the links between Puccini’s tonality and the drama. Greenwald states that Puccini explored both traditional and untraditional ways to manipulate key relationships and to create unusual sonorities. In her research, she points out that Puccini preferred to use the “simplest diatonic” progressions when he adopted a traditional tonal structure. In her analysis of Turandot, she shows that the pitches F# - Bb - Eb outline the main tonal structure of Act I. The intervallic relationship between F# - Bb - Eb includes one augmented fifth (Bb - F#) and one perfect fifth (Eb - Bb). Although

21 Norbert Christen, Giacomo Puccini: analyt. Unters. d. Melodik, Harmonik u. Instrumentation (Hamburg: Verlag der Musikalienhndlung, 1978). 22 Helen M. Greenwald, “Dramatic Exposition and Musical Structure in Puccini’s Operas” (Ph.D. diss., City University of New York, 1991).

12 the use of augmented fifth may seem to be unusual, it is relatively common in late 19th- century music to replace the dominant with an augmented triad. Thus, Greenwald suggests that the interlocking of the augmented and perfect fifths (F# - Bb - Eb) served as a symbol for Turandot “herself, bloodthirsty [augment fifth], yet splendid, like the moon [perfect fifth].”23 The example from the Turandot analysis shows how Greenwald differs from Atlas, going further to explore the intervallic interrelationship and the interdependence between chords. Also, she is careful to link the local intervallic relationship with the opera’s drama.

(3). Deborah Burton Deborah Burton aligns fundamentally with Atlas and Greenwald. Her 1995 dissertation, entitled “An Analysis of Puccini’s Tosca: A Heuristic Approach to the Unifying Elements of the Opera,” represents the first purely theoretical approach to Puccini by an American music theorist. This dissertation sets out to outline a methodology for the analysis of opera, and Burton uses Tosca as a heuristic example in order to serve and support the innovative music-analytical procedure.24 Among the many new analytical tools that she produces, the primary one is called the “M-tool” (musical tool), which serves as the entry level to divide composers’ musical materials into different categories. After the musical materials are categorized, they go on to the OM and IM sections for second-level analysis. The OM stands for the grammatical organizational musical tool. It is used to analyze the structure of operas. The IM means the illustrative musical tool and is used to express the operatic dramatic vocabulary. The use of OM and IM separates the musical illustration from structural organization. In so doing, Burton provides a deep analysis of tonal coherence that goes beyond what has been provided by previous scholars. In addition to the new analytic procedure, Burton also introduces atonal theory into her analysis of Puccini. Instead of utilizing the conventional group of tonal dissonant

23 Helen M. Greenwald (1991), 94. Although Greenwald’s associations are not theoretically supported, they do attempt an interesting connection between the intervallic and dramatic structures. 24 For the application of Burton’s analytic methods on other Italian operas, see Deborah Burton, “Orfeo, Osmin and Otello: towards a theory of opera analysis,” Studi musicali 33/2 (2004): 359-85.

13 functions such as decoration, prolongation, and association,25 she views dissonant notes themselves as possibilities for prolongation. In addition, she groups the dissonant sonorities into motivic cells, which is made through the intervallic relationship, and analyzes each dissonant cell over a large span of music. She also uses the concept of atonal transposition to replace the notion of tonal harmonic progression, such that she describes the motion from dominant to tonic as the motion from T5 to T1. Both the reinforcement of functional dissonance and the focus on the transposition operation are significant contributions in that they break the entrenched boundaries within the respective areas of tonal and atonal theory and link them together. In other words, she provides a way to manage the smooth transition between the two domains. On the one hand, as her treatment of dissonance departs from the underlying tonal structure, traditional notions of tonal hierarchy and prolongation are greatly weakened. Her use of the transposition operator for tonal progression suggests an equivalence between tonic and dominant, and focuses more on pitch centricity, rather than traditional tonal prolongation. Burton does indeed state that the subject of prolongation can be either a tonal triad or a pitch class preserved from point A - to - point A and:

that [the point A to point A] journey is not a direct one; inserted into the route are many detours, some serving illustrative purposes, and some providing side trips through secondary areas. Nevertheless, the ultimate tonal destination always remains in sight.26

However, she never attempts to differentiate triadic and pitch-class prolongations in her analysis. As a result, even if her analysis suggests a tonal/pitch-class structural coherence in opera repertoire, the basis of that structural coherence remains ambiguous. This ambiguity presents a number of questions. Are Puccini’s operas written in a tonal system or an atonal one, or something in between? Given the clear underlying pitch

25 For a detailed discussion with regard to the tonal dissonance treatment in decoration, prolongation and association, see Joseph N. Straus publications, "The Problem of Prolongation in Post-Tonal Music," Journal of Music Theory 31/1 (1987): 1-22. Also see Straus’ later publication in which he developed this discussion further: Joseph N. Straus "Voice Leading in Atonal Music," Music Theory in Concept and Practice, ed. James Baker, David Beach, and Jonathan Bernard (Rochester: University of Rochester Press, 1997), 237-74. 26 Deborah E. Burton, “An Analysis of Puccini’s Tosca: A Heuristic Approach to the Unifying Elements of the Opera,” (Ph. D. diss., Michigan University, 1995), 213.

14 centrism in Puccini’s works, the answer should most likely be either tonal or something in between. If the piece is written using a tonally-derived system, her analysis loses something critical in its dismissal of tonal hierarchic function. If the piece is written with a facile vacillation between tonal and atonal systems, her mixed approach gains validity.27 However, the greater the extent to which one mixes up the two systems, the greater the ambiguity of the line between the tonal and atonal. If Puccini mixes tonal and atonal languages in his operas, does there have to be a distinct boundary between tonal and atonal systems? And, if such a thing can be does exist, what is it and how do we define it? Burton does not take up this question of boundaries, nor does she attempt to address the conflict between the two different systems.28 In not doing so, however, she actually highlights the very polemical question that she ignores: What is the main theoretical system at work in Tosca? On the other hand, although Burton analyzes tonal coherence at a deeper middle- ground level, she neglects the foreground, stating that it is essentially non-functional. Thus, she favors larger-scale structural analysis over any notion of musical surface.29 As her work focuses on presenting the deeper structure of Tosca, ultimately, she has much to offer. Yet, her neglect of local musical motion and larger-scale dramatic/structural plans, is a gap that will be filled in the present dissertation. My study focuses on Puccini’s local harmony to enhance and engage drama as well as incorporating various musical styles (both exotic and avant-garde) into his fundamentally tonal language.

27 In a recent email, Prof. Deborah Burton suggests that she views Puccini as a composer that mixes tonal and atonal structures throughout his oeuvre. Although atonal aspects of Puccini’s harmonic language are not my interest (in fact, they are always subservient to the overarching tonal hierarchies), it does seem clear that Puccini was familiar with the music of atonalists, such as Schoenberg, having attended a performance of Schoenberg’s Pierrot Lunaire, commenting that Schoenberg’s music was as far from traditional musical practice as “Mars is from Earth.” Puccini may also have known of Schoenberg’s twelve-tone system. For details pertaining to Puccini’s attendance of a performance of Schoenberg’s Pierrot Lunaire, see Budden (2002), 440-41. 28 For a detailed discussion regarding the combination of two theoretic systems, see Steve Rings, “Tonality and Transformation” (Ph. D. diss., Yale University, 2006). Rings approaches this area through phenomenology. He takes tonality as the fundamental basis while transformation (based on Lewin’s GMIT) operates phenomenologically. 29 Burton’s dissertation exclusive focuses on tonal/pitch class coherence. To prove her point, she ignores the central problems within the two polar systems and eliminates all discussion of the local musical motion. There is, of course, nothing inherently wrong with this approach, but since she has explored this notion extensively, my work will focus instead on larger issues of harmonic surface and its relationship to the drama.

15 (4). Andrew Davis Over the past decade, two music American theorists have completed dissertation research on Puccini. Burton, from the previous discussion, was the first, and Andrew Davis the second. Davis completed his dissertation in 2003: “Structural Implications of Stylistic Plurality in Puccini’s Turandot.” The two theorists take very different theoretical approaches to Puccini’s operas. Burton focuses on the unifying tonal/pitch class structure of Puccini’s Tosca as a whole, while Davis abandons conventional tonal relationships in his analysis. Rather, he uses a stylistic approach to analyze the formal structures of Turandot. In his stylistic approach, he rejects the established notion that Puccini’s Turandot is conceived in a single style and colored by different atmospheres. For him, the varied colors represent different style types. They are part of the structure, not merely atmospheric shading. Different styles can interrelate to each other to comprise what Davis called “a plurality of musical styles.”30 The stylistic plurality can be applied to the semiotic square to delineate the structure and psychological narratives of the opera.31 In his discussion, he shows how the musical structure is closely associated with the drama and claims that the dramatic structure can itself be an additional tool to analyze the formal divisions of the opera. Consequently, Davis successfully demonstrates that stylistic plurality functions as the delimiter of formal divisions in both music and drama. This is an innovative and useful way (combining the ‘tonal’ and ‘dramatic’ approaches) to analyze opera. Davis’s ideas of stylistic distinction come from Ashbrook’s and Powers’ four- color discussion of Turandot.32 He modifies and expands these four colors into five

30 Andrew Davis, “Structural Implications of Stylistic Plurality in Puccini’s Turandot” (Ph. D. diss., Indiana University, 2003), 100. 31 The semiotic square is adopted from Johanne Cassar who uses the semiotician A. J. Greimas’ square as a paradigm to explain musical narrative structure. Davis states “styles serving as the musical actants— syntactic units in a narrative that together form a story—are responsible for unfolding the plot. This manner of associating styles and dramatic topics in Turandot, and the role of the stylistic associations in organizing the operatic narrative, is analogous to the more traditional interpretation of key areas and their associations with specific dramatic events and situations in nineteenth-century Italian opera,” 178-79. (For more information, see ibid., 176-86). 32 See Ashbrook and Powers (1991). See previous discussion on Ashbrook and Power. Ashbrook and Harold state that these four colors were far more significant in Turandot than in any other of Puccini’s operas. They act as juxtaposed structural links between sections. Davis suggests that these four colors are not merely juxtaposed, but that they integrate with one another.

16 styles: Romantic, Dissonant, Exotic-Chinese, Exotic-Primitive, and Exotic-Persian. The last three styles can be grouped into one big “Exotic” style category. These styles are interrelated by either integration or juxtaposition. Davis states that,

The styles are in close proximity, with no musical transition, or ‘bridge’, one moment the music is dissonant, at the next moment the music might be exotic Chinese, and the dissonant style might return shortly thereafter.33

Since his analysis focuses on demonstrating the stylistic distinctions of the opera, Davis rarely addresses how these styles relate to harmonic language. The discussion of the Romantic style is the only one that contains significant discussion of harmony. Davis believes that a fundamental aspect of Puccini’s Romantic style is the replacement of the dominant-tonic progression with tonic-subdominant-tonic harmonic motion. The avoidance of dominant motion weakens the required forward direction into the tonic and keeps the harmonic progression away from strong resolution. The use of subdominant implies a reverse of typical harmonic motion, producing a more lyrical and sentimental oscillation. The formal divisions suggested by Davis can be traced back to the Puccini research done by musicologist Greenwald. Greenwald hoped to demonstrate that Puccini stayed within traditional Italian formal designs.34 She cites Turandot as particularly “conventional.”35 Davis agrees with her analysis of formal structure. However, rather than exploring traditional formal analysis, he employs the stylistic distinctions in making decisions about musical structure. Davis states that, “They [styles] are structural pillars that replace nineteenth century [operatic] conventions as pivotal elements in the work’s organization.”36 Thus, he sees Puccini’s styles as a pluralistic language that affects both music and drama, and, essentially, integrating the two. In this way, Puccini may be seen as a “formal innovator” of the early twentieth century. While Davis’s use of semiotic squares provides a way to illustrate the musical connection with the drama and can beautifully highlight the characters’ psychologies, it

33 Davis (2003), 102. 34 Helen M. Greenwald (1991), 139. Here she discusses traditional designs in Turandot’s aria “In questa reggia.” 35 Ibid., 189. 36 Davis (2003), 16.

17 gives a disproportionate weight to the drama, inevitably destroying the delicate balance between the two.37 The pivotal point is apparent when Davis identifies the essential dramatic problem in the character of Liù, which, consequently, turns out to be the musical problem for Puccini.38 He states that,

Puccini’s musical-dramatic decisions were sound—the styles and their associative activity aptly reflect the characters, their relationships, and their motivations—but the plot has an inherent, perplexing dramatic obstacle that was perhaps intractable.39

This statement seems to ignore the fact that drama and music have to interrelate in a balanced fashion in an operatic production.40 To create a virtuosic artwork, both composer and librettist should (and usually do) consult with each other to solve the problem (if there is one).41 In particular, in the case of Turandot, it was known that Puccini had planned out the death of Liù, but was stuck on the ending duet for quite some time. Although he may have found this moment musically challenging, Puccini did not give up on the opera. His persistence demonstrates his faith that he could find a musical solution to the problem. Unfortunately, Puccini died suddenly and left the opera unfinished.42 Thus, instead of

37 The first half of Davis’s dissertation provides a close discussion of musical theoretical considerations of opera, but the direction of the second half moves almost exclusively towards dramatic analysis. Indeed, it tends towards an application of drama to the analysis in a way that disturbs the balance between the two. 38 Because Davis emphasizes dramatic analysis, he is led inevitably to the conclusion of a “dramatic problem,” which, ultimately, has little to do with the music and, in fact, contradicts the natural relationship between music and drama. 39 Ibid., 238. 40 Note, however, that the music must be given enough emphasis, such that the balance is slightly more weighted in that direction. Witness the fact that good music can make a bad libretto acceptable. Many times it is the composer’s virtuosity that gives a bad libretto life. However, less good music can never be successful, even with a good libretto, such as in Boito’s Mephistopheles. 41 Davis mentions that his conclusions relate to Carner who discussed that “[Liù’s death] is a serious psychological weakness and one of the strangest puzzles in dramatic thinking.” For further information, see Davis (2003), 239, footnote 26. Also, Ashbrook and Powers have argued that Liù’s self-sacrifice is the root of the dramatic problem in this opera. See Ashbrook and Powers (1991), 81. 42 One thing Davis did not mention in his dissertation is that Puccini himself decided to write the opera Turandot. Also, he is the one who insisted on adding Liù ’s torture and death. For more on this, see Budden (2002), 472. Lo Ki-Ming and Jurgen Maehder have stated that Puccini is the person who insisted on incorporating Liù’s torture scene and death. For more details, see the Chinese publication by 羅基敏 and 梅樂亙 [Ki-Ming Lo and Jürgen Maehder,] 杜蘭朵的蛻變 [The Stylistic Shift of Turandot.] (My Translation) 臺北市: 高談文化出版 [Taipei: Guo-Tan], 2004. Budden also mentions that Liù’s death brought about Puccini’s dissatisfying conclusion to the opera. To solve the problem is “something that lay

18 making an excuse for the drama, it might be equally significant to accept the fact that Puccini’s sudden death was truly the only thing that made the ending of this opera problematic. From a positive perspective, the mysterious ending has attracted the attention of music and opera lovers for over a century. In conclusion, Davis’s work has inspired me in many ways, in particular, in his statement that,

[Puccini] does not invent new rules....his rules are fundamentally the same as those of Rossini, Donizetti, Bellini, and Verdi… But Puccini does employ new strategies, both in his local-level compositional procedures and at a more general level in his pluralistic language.43

I agree with Davis, and I explore related questions in my research: What kinds of new strategies, if any, does Puccini adapt? Which elements of Puccini’s style produce the unique sound that we recognize as his own? How did Puccini restructure around the subdominant relationship while musically differentiating the various female characters and their own inner expressions?44 The literature review presented here supports my research on Puccini’s work as a whole. In particular, Davis’s and Burton’s groundbreaking studies have set the foundation for this study. The discussion of Puccini’s distinctive tonality in Davis’s work is certainly my most important influence. Likewise, Burton’s rigorous notion of internal structural analysis can be employed for an examination of Puccini through a tonal/atonal lens. Yet, as my research focuses on tonal interpretations of Puccini’s music (focusing on the more harmonically conservative arias), her methodology is largely irrelevant to my work. Furthermore, Atlas’ multivalent approach to the meaning of the IV - I harmonic progression provides a useful starting point for my understanding of Puccini’s employment of the subdominant. Greenwald’s consideration of Puccini’s simple harmonic progressions and the relationship of the intervallic structures to the drama also

outside Puccini’s range.” Yet, had Puccini lived ten years longer, he might have been able to come up with a satisfactory solution. Budden’s statement seems to conveniently label Puccini as a composer of relatively meager skill. Budden (2002), 472. 43 Davis (2003), 246-47. 44 In a previous discussion, I have shown that Atlas analyzes the IV - I progression in his analysis of La fanciulla del West, and Davis described the IV – I progression as represented in Puccini’s Romantic style. There are still many other harmonic tropes that await exploration, but this will constitute my starting point.

19 play a role in my research. In addition, publications on Puccini’s life and his exotic borrowings have helped me to understand Puccini the composer, in the social milieu of the late nineteen-century. Thus, these predecessors all provide the fundamental basis for my own work. Following in their footsteps, I hope to expand and enhance our understanding of Puccini.

Methodology

The following discussion of methodology traces the application of Schenkerian theory to operatic works, and describes how Schenkerian theory can work in conjunction with other theories. In so doing, it explores the development of complementary theoretic methods on operatic works and outlines my own analytic tool (a combination of Schenkerian linear approaches to music and dualistic theories of harmony).

1. Schenkerian Analysis and Opera

In his 1988 publication, Allen Forte points out that Schenkerian analysis is ubiquitous within the field of music theory such that it would be difficult to find a professional music publication without a Schenkerian musical illustration.45 In the subsequent decades, the importance of this theory has come to be self-evident.46 Yet, while scholars have attempted to apply notions of linear hierarchy to music of the operatic genre, doing so raises a number of problems, particularly that of the nature of the

45 Allen Forte, “New Approaches to the Linear Analysis of Music,” Journal of the American Musicological Society 41/2 (Summer 1988): 315-48. 46 For the initial development of Schenkerian analysis in the United States, see William Rothstein, “The Americanization of Heinrich Schenker,” in Schenker Studies, ed. Hedi Sigel (New York: Cambridge University Press, 1990), 193-203. For a detailed discussion of the “Americanization Schenkerian” (I borrow from Rothstein’s term) and its development in the twentieth century, see Edward Latham, “Linear- Dramatic Analysis: An Analytical Approach to Twentieth-Century Opera” (Ph.D. diss., Yale University, 2000), 59-77. For a textbook exposition, see Allen Cadwallader and David Gagné, Analysis of Tonal Music (New York: Oxford University Press, 1998).

20 association between music and drama, on which Abbate and Parker have made a clear statement:

For opera is not music alone; it lives in association with poetry and dramatic action, an association that has made it idiosyncratic and special, certainly different in fundamental ways from instrumental music. Those whose analytic staple is nonoperatic music feel baffled by opera and may deal with it in inappropriate ways; they may be limited by their preoccupation with analytic modes whose criteria of value run to organic unity…47

This statement points out the vital problem in the interaction of Schenkerian theory and opera. In particular, the strength of Schenkerian theory centers on an organic comprehension of music’s internal coherence.48 It divides music into hierarchic levels through musical reduction and ultimately demonstrates the primacy of the tonic in the background in both vertical and horizontal dimensions.49 First, whether or not tonal coherence can actually be heard in an operatic work is an essential question. Second, the central contradiction is that the power of musical reduction in Schenkerian theory weakens the musical and dramatic association of the surface in operatic understanding. In other words, the more musical notes are displaced, the greater the reduction in the association of music and drama. These challenges have been addressed in several ways, as will be discussed in the following.

(1). Selected Recent Studies of Tonal Coherence and the Music/Dramatic Association 50

Much of the perceptive operatic research that addresses the aforementioned challenge can be found in Analyzing Opera: Verdi and Wagner, a collection of essays

47 Abbate and Parker (1989), 3-4. 48 For a discussion of the historic development of an organic perspective as well as the relation of organicism and musical analysis, see Ruth A. Solie, “The Living Work: Organicism and Musical Analysis,” 19th-Century Music 4/2 (Autumn 1980): 147-156. 49 For a discussion of musical reduction in the vertical dimension, see William Rothstein, “Rhythmic Displacement and Rhythmic Normalization,” Trends in Schenkerian Research (New York: Schirmer, 1990), 87-113. 50 My discussion focuses on the major analytic concepts as found in research on operatic works. As to its relevance to Puccini research, see the discussion of Atlas in the Puccini literature review.

21 edited by Abbate and Parker.51 This volume sets up the future of opera analysis by exploring various approaches to structure, interpretation, and criticism. Roger Parker explores motivic parallelisms and their interaction with various tonal plans in Aida, associating them with specific dramatic events.52 Martin Chusid presents large-scale tonal coherence as it relates to dramatic ideas in Verdi’s Rigoletto.53 David Lawton shows how the tonal structure of the scenes in Act III of Aida presents a microcosm of the entire unified opera.54 McCreless observes that tonal structure is the primary source for musically linked drama in Wagner’s Götterdämmerung. With the tonal structure at its base, Schenkerian methodology nicely uncovers Wagner’s musical/dramatic plan. The presentation of the past is made through the diatonic system. Meanwhile, the future is suggested by a fusion of the diatonic and chromatic systems (incidentally pointing to the future of operatic composition as well).55 McCreless’s analytic graph in this article convinces us that Schenker and Wager indeed share a common music language with a hierarchical tonal understructure.

Outside of this volume, there are some other operatic studies that provide inceptive analytic ideas. Lawton analyzes bass motion to explore the expressive association between tonal structure and drama.56 Parker and Brown apply Lawton’s model of tonal motion to analyze the recurring themes in Verdi’s Otello. Their analysis explores returning thematic material to reveal how the various tonal events illuminate the drama.57 While the aforementioned scholars present research that seeks an association between tonal coherence and dramatic 19th century opera, Warren Darcy provides a different view of the opera of the period. In his book, Wagner’s Das Rheingold, Darcy

51 In the following, I only discuss selected essays from this book. For a broader overview, see Warren Darcy‘s review of Analyzing Opera: Verdi and Wagner, by Carolyn Abbate and Roger Park, Music Theory Spectrum 13/2 (Autumn 1991): 260-64. 52 Roger Park, “Motives and Recurring Themes in Aida,” Analyzing Opera: Verdi and Wagner, ed. Carolyn Abbate and Roger Park (Berkeley, University of California Press, 1989), 222-38. 53 Martin Chusid, “The Tonality of Rigoletto,” in ibid., 241-61. 54 David Lawton, “ Tonal Systems in Aida, Act III,” in ibid., 262-75. 55 Patrick McCreless, “Schenker and the Norns,” in ibid., 276-97. 56 David Lawton, “On the ‘Bacio” Theme in “Otello,”’ 19th-Century Music 1/3 (Mar. 1978): 211-20. 57 Roger Parker and Matthew Brown, ‘“Ancora un bacio”: Three Scenes from Verdi’s “Otello,”’ 19th- Century Music 9/1 (Summer 1985): 50-62.

22 focuses on Wagner’s compositional process, examining the composer’s sketches. He then applies various strategies, such as pseudo-Schenkerian analysis and an examination of orchestrational hierarchies to facilitate his discussion. He achieves his primary goal of understanding how the compositional process affects analysis, but overall, the approach has a flexibility that sometimes seems facile. Of course, this is a common feature of operatic analysis, in general, as it is often characterized by unexplained shifts in methodology. As Darcy states:

Schenkerian model is more applicable to Wagner’s texted dramatic music than has generally been recognized….However, the Schenkerian model is by no means the only analytical weapon needed to stalk the structural complexities of Wagnerian opera. Wagner clearly used other methods of tonal organization when his dramatic purposes demanded them, and it is here that the concepts of expressive, associative, and directional tonality…can be very helpful.58

Darcy thus invites a number of theoretical methodologies, listing Schenkerian theory as one analytic tool among many others. This theoretic flexibility invites McCreless to make the following comment:

The question of whether Schenkerian analysis is applicable to a given tonal music, then, or whether that tonal music is appropriate for Schenkerian analysis, collapses into the political question of how one wants to engage the music in the first place….With respect to Wagner’s music, Schenkerian theory is always available if we want to use it. What underlies our choice to use it is simply a matter of desire: Do we want to know what Schenkerian analysis can tell us?59

In considering McCreless’s comment, one question rises regarding the rigor of any Schenkerian analysis of opera: what can Schenkerian theory tell us beyond that which belongs to the hierarchic internal structure and tonal coherence of the music alone, and is that sufficient? This limitation of Schenkerian theory is the pitfall that Darcy wants to avoid. By using theoretical concepts “mechanically or in a wholesale manner,” he believes he can escape the limitations of internal musical hierarchy. Although his work

58 Warren Darcy, Wagner’s Das Rheingold (New York: Oxford University Press, 1993), 55. Also see his “Creatio ex nihilo: The Genesis, Structure, and Meaning of the Rheingold Prelude,” 19th-Century Music 13/2 (Autumn 1989): 79-100. 59 Patrick McCreless, “Reviewed Work(s): Wagner’s Das Rheingold. Studies in Musical Genesis and Structure by Warren Darcy,” 19th-Century Music 18/3 (Spring 1995): 290.

23 produces a number of worthwhile interpretations, he fails to provide a solid theoretical foundation.60 To be fair, the pitfall identified here is one that most theorists are not able to escape in this stage of operatic analysis. This is due to the fact that most Schenkerian studies attempt to prove the overall tonal coherence of operatic works. Indeed, most recent analyses of the operas of Wagner, Verdi and their contemporaries have Schenkerian theory as their foundation (even if the authors might not admit to this viewpoint). One example can be found in David Lawton’s analysis of Verdi’s Aida, Act III. 61 In his essay, Lawton intends to define the degree of tonal coherence in this act (and he uses a tonal hierarchic tool, based on a notion of harmonic cycles and interruptions.62 Lawton’s approach does indeed evidence the tonal structure of the act. Yet, the question remains. If Verdi is already perceived as a tonal composer, do we need to use a tonal tool to show a tonal piece is writing through tonal coherence? This question certainly recalls the previous statement made by McCreless: “Do we want to know what Schenkerian analysis can tell us?” 63 What else can we learn from these analytical claims? As the rigorous application of Schenkerian analysis leads toward one specific result, which typically disagrees with any dramatic sentiment, most of the resulting dramatic interpretations remain on the surface, or, alternatively, the music/drama association may be far-fetched.64 While conservative music theory scholars might dislike Darcy’s loose theoretical approach, scholars of opera might be dissatisfied with the outcome of the musical/dramatic interpretation that results from the rigorous application of Schenkerian principles in those sections where he deems it appropriate. The strengths and weakness of these two opposite situations subsequently led scholars to seek ways to neutralize and improve on both ends. The process of their discoveries alongside with the outcomes will be discussed next: the extensions of Schenkerian theory.

60 Darcy (1993), 55. 61 David Lawton, “ Tonal Systems in Aida, Act III,” Analyzing Opera: Verdi and Wagner, ed. Carolyn Abbate and Roger Park (Berkeley: University of California Press, 1989), 262-75. 62 Ibid., 270. 63 Patrick McCreless, “Reviewed Work(s): Wagner’s Das Rheingold. Studies in Musical Genesis and Structure by Warren Darcy,” 19th-Century Music 18/3 (Spring 1995): 290. 64 That said, these approaches lay the foundation for approaches to opera that are, on the one hand flexible, and on the other hand consistent in the rigor of application and in the dramatic interpretations that they produce. This is what I hope to achieve in my own work.

24 (2). The Extension of Schenkerian Theory and New Linear Approaches to Opera

The argument about what Schenkerian theory tells us beyond tonal hierarchy can be traced along four lines. The conservative Schenkerians pursues a better understanding of tonal coherence. Matthew Brown’s Explaining Tonality: Schenkerian Theory and Beyond, which is a follow-up to his 1989 Ph.D. dissertation, focuses on this aspect of musical unity.65 Conversely, the anti-Schenkerians make claims for the expressive implications that go beyond tonal coherence. Joseph Kerman makes a strong, if somewhat misguided, point when he accuses Schenkerian theory of generalizing all musical pieces into one formula and making no distinction among the pieces.66 This generalizing feature of Schenkerian theory is what limits its usefulness for opera, given the diversity of possible dramatic narratives and the desirability of demonstrating a music-dramatic connection. Leo Treitler falls into Kerman’s line of thinking. He states that Schenkerian theory fails to provide for any historical relationship to tonal structure and he suggests that an “extra-systematic” approach would provide better contextualized results.67 Standing in the neutral position, Patrick McCreless suggests a way to soften Schenker’s uni-directional rigor so as to incorporate Treitler’s approach.68 The results of his modified approach include a tonal analysis of Schubert’s “Pause,” which plays a central role in relation to the entirety of the song cycle, Die Schöne Müllerin. McCreless’s work is convincing. It represents a successful attempt at connecting the internal structures

65 Matthew Brown, “A Rational Reconstruction of Schenkerian Theory,” (Ph.D. diss., Cornell University, 1989). Also, Brown’s Explaining Tonality: Schenkerian Theory and Beyond (Rochester: University of Rochester Press, 2005). For a book review, please see Mark Anson-Cartwright, Review of Explaining Tonality: Schenkerian Theory and Beyond, by Matthew Brown, The Journal of Schenkerian Studies 2, 2006 forthcoming. 66 See Joseph Kerman, Contemplating Music (Cambridge: Harvard University Press, 1985), 60-112. Also, see Edward T. Cone, “Beyond Analysis,” Perspectives of New Music 5 (1967): 33-51; David Lewin discusses the distinction between theory and analysis in great detail; see Lewin’s “Behind the Beyond,” Perspectives of New Music 7 (1969): 50-60. Cone’s and Lewin’s work do not directly refer to Schenkerian theory. Yet, they demonstrate radical thinking about the roles of theorists and analysts at that time. Also, a good review of Kerman’s Contemplating Music is in Michael Cherlin, “Why we got into analysis and what to get out of it,” Theory & Practice 11 (1986): 53-74. 67 See Leo Treitler, ‘“To Worship That Celestial Sound” Motives for Analysis,”’ The Journal of Musicology 1/2 (Apr. 1982): 153-70. 68 See Patrick McCreless, “Schenker and Chromatic Tonicization: A Reappraisal,” in Schenker Studies, ed. by Hedi Sigel (New York: Cambridge University Press, 1990), 125-45.

25 uncovered by Schenkerian analysis and their relations both to the drama and to the cycle as a whole. While many scholars have taken Schenkerian theory to be the definitive method for tonal analysis, Kofi Agawu distinctly argues that Schenkerian theory is the “ethnotheory” discipline for German and Austrian music.69 His statement suggests that an attempt to study non-Germanic music through this fundamentally German theoretic lens might be called into question. It is for this reason, that I adopt a very loose linear approach in my graphs, one that is based on Schenkerian notions of hierarchy, but is exceptionally flexible in its construct of both surface and background harmonic and melodic events.

Some theorists, whose primary interest is not Schenkerian theory and who are yet inspired by this discourse, then take the Schenkerian model of internal hierarchy as a model for other approaches to musical coherence. The initial example comes from Milton Babbitt, and I will discuss his view in relation to two points. First, on the adoption of one theoretical methodology over another, Babbitt has distinctively stated that,

any theory is a choice from an infinite number of possible theories, and the choice is determined by what can be termed a criterion of significance in the selection, first, of primitives, whatever the linguistic form of these primitives. Whether this significance be expressed in terms of predictive power, explanatory scope, simplicity, or some other criterion, the decision is not easily made or ever surely made, …70

Babbitt sees the adoption of any theory as a result of choices made by the analyst, depending on situational need. Yet, the decision can never be easy. In addition, he sees in Schenkerian theory the underpinnings of transformational linguistics, which ultimately leads to new and profitable approaches to harmonic succession:

The Schenkerian theory of tonal music, in its structure of nested transformations so strikingly similar to transformational grammars in linguistics, provides rules of

69 See Kofi Agawu, Representing African Music: Postcolonial Notes, Queries, Position (New York: Routledge, 2003), 182. 70 Milton Babbitt, “The Structure and Function of Musical Theory,” in The Collected Essays of Milton Babbitt, ed Stephen Dembski, Andrew Mead, and Joseph N. Straus (Princeton: Princeton University Press, 2003), 194. David Lewin has similar ideas as Babbitt. See Lewin’s “Behind the Beyond,” Perspectives of New Music 7 (1969): 50-60.

26 transformation in proceeding synthetically through the levels of a composition from “kernel” to the foreground of the composition, or analytically, in reverse. Since many of the transformational rules are level-invariant, parallelism of transformation often plays an explanatory role in the context of the theory (and, apparently, an implicitly normative one in Schenker’s own writing).71

David Lewin agrees with Babbitt when he approaches the hierarchic internal level of music using K-nets.72 While there is no current work that employs k-nets in an analysis of opera, other transformational approaches have been examined in relation to opera, all based foundationally on Babbitt’s (and, ultimately Schenker’s) notion of a hierarchical grammar of music. Some research of this type will be discussed in the following sections:

1). Neo-Riemannian vs. Schenkerian Theory

In his dissertation on Wagner’s Parsifal, Scott Baker claims that neither neo- Riemannian nor Schenkerian theory can provide a satisfactory analysis in and of itself. This is due to the fact that Neo-Riemannian theory offers a detailed understanding of the parsimonious voice-leading relationships (with assumed octave equivalence) between successive chords but lacks the tonal hierarchical structure. Schenkerian theory gives information about tonal coherence, yet is unable to express this parsimonious relationship. Combining these two theories allows scholars to perceive Wagner’s “linear chromatic maze” fully, as Schenkerian theory provides an understanding of the “musical forest” while Neo-Riemannian theory can describe “specific sections of trees.”73

Steve Rings also integrates these two theories to present a “transformational model of tonal hearing.”74 According to Rings, the Neo-Riemannian aspects of Lewin’s (and Richard Cohn’s)75 transformational approach offers a “prismatic” analytic strategy

71 Babbitt (2003), 199-200. 72 See David Lewin, “Klumpenhouwer Networks and Some Isographies that Involve Them,” Music Theory Spectrum 12/1 (Spring 1990): 83-120. 73 See Scott Baker, “Neo-Riemannian Transformations and Prolongation Structures in Wagner’s Parsifal” (Ph.D. diss., Florida State University, 2003), 155. 74 Steven Rings, “Tonality and Transformation” (Ph.D. diss., Yale University, 2006), vii. 75 Rings’s work clings more to Lewin’s than Cohn’s direction. That is because Cohn’s work exclusively applies to the tonal coherence among the chromatic pieces, defines the distance between half/whole steps and in so doing, removes the tonal hierarchic structure. For instance, Cohn’s analysis on Schubert’s piano

27 76 to explain the multiple musical perspectives in both aesthesic and poetic structure. As a result, it provides a phenomenologically oriented and highly rich understanding of local kinetic gestures. Schenkerian theory presents an immanent structure to illustrate this internal coherence on the larger-scale. Rings states:

…Transformation theory and Schenkerian theory gain their strengths through their respective analytic and synthetic strategies. That is, transformation theory thrives in the detailed exploration of phenomenologically rich local passages. Without the ability to penetrate deeply into local musical phenomena, it loses its explanatory power. Schenkerian theory, on the other hand gains its strength through its ability to coordinate a great number of musical parameters and to synthesize them into a single structure that is both unified and richly detailed. The method can thus serve both as heuristic discovery procedure for exploring inter- level relationships throughout the piece; a synoptic device for taking in large- scale tonal outlines at a glance; and a powerful ear-training tool.77

As Rings and Baker point out, Neo-Riemannian and Schenkerian theories can coexist with their own distinct, yet equally essential, analytic techniques. Their relationship does not exclude one from the other; rather, they interact in a “complementary” fashion.78 In his recent article in the Journal of Schenkerian Studies 2, Rings explains this complementary relation further:

The most productive way to understand the relationship between Schenkerian and transformational discourses is thus not through assimilation into a single method through competition, but through dialogue. When the two methods are brought into dialogue, a rich picture of the music in question can emerge, as we observe the ways in which the respective analytical discourses interact and diverge.79

sonata, D. 960 studies the voice leading among the hextaonic pole. This makes the detail of the functional harmonic motion less important in the discussion. See Richard L. Cohn, “as Wonderful as Star Clusters: Instruments for Gazing at Tonality in Schubert,” 19th-Century Music 22/3 (Spring, 1999): 213-32. Yet, Rings takes the path of the complementary theoretic tools to explain the tonal unity and the local phenomena. 76 As described in GIS (Generalized Interval Systems), aesthesics interprets “the receptive act of hearing music.” Poetics takes “the creative act of making music” into a transformational perspective. Rings (2006), 26. 77 Ibid., 30 78 Rings states “Schenkerian readings and transformational approaches are not mutually exclusive, but potentially complementary.” Rings (2006), 198. 79 Steven Rings, “Perspectives on Tonality and Transformation in Schubert’s Impromptu in Eb, D. 899, no. 2,” Journal of Schenkerian Studies 2, 2006 forthcoming.

28 This complementary relation brings forth the “transformational model of tonal hearing.” Along with this model comes the development of a formalist-“oriented network.” This network defines the way people perceive “direct and indirect, harmonic, linear and syntactic” tonal intention.80

Rings’s work is essential as it provides an explicit way to open analytic spaces from a single methodology to a combined one. This notion has critical ramifications for operatic analysis, although operatic analysis is not Rings’s primary analytical target in his dissertation. His model suggests a broad-based yet locally rich model for analysis, and this combination has the potential to address the music/dramatic connections in opera.

2). Stanislavsky System vs. Schenkerian Theory

Edward Latham combines the Stanislavsky system of actor preparation and Forte’s motivic-linear analysis (which is derived from Schenkerian theory) to comprehend the drama and music for operas written in the twentieth century. The Stanislavsky system suggests a hierarchy of goals and aims for the characters in a narrative and aims to be applicable to all types of theater. Latham takes what he sees as a system that is roughly proportional to the Schenkerian one and adopts it for his study.81 The hierarchy of objectives and goals are essentially divided into three levels (mirroring the basic Schenkerian paradigm): “Superobjective (the character’s goal for the play), Main Object (the character’s goal for each scene), and Object (the character’s goal for each line).”82 These three objectives organically relate to each other in the hierarchy. The linking of the two systems makes sense, as both the Stanislavsky system and Schenkerian theory share a similar internal design and focus on a large swath of repertoire.83 The connection between the two, however, is somewhat less rigorous than one might like, with convenient pairings sometimes suggesting an ad hoc approach. Again, this is not uncommon in the operatic literature (see the discussion of Darcy, above). While a

80 Rings (2006), 66. 81 Latham (2000), 12. 82 Ibid., 15. 83 Ibid., 27-31.

29 majority of operatic analysis tends to focus on musical expression, Latham distinctively regards opera as both drama and music in a fundamentally linked manner and presents their equal balance through his analysis. This unique aspect of his study has important relevance for my own work on Puccini.

3). Other Associative Models

Elizabeth L. Smith employs pseudo-Schenkerian theory and integrates a number of popular analytic methods to understand characters’ psychologies in three operas based on Carlo Menotti’s libretti. Her research focuses on how three different composers represent the characters from Menotti’s libretti, and she analyzes both music narrative and operatic narrative (as a combined whole) to interpret the works. This analytic flexibility presents a rich association between music and drama. 84 Matthew Shaftel borrows from semiology to compare the sonata form type (culturally defined archetype) with the token (specific example) of the first-act trio from Mozart’s Le Nozze di Figaro, interpreting the scene in terms of its social/musical content.85 In so doing, he expands the repertoire of typical sonata theory to include the operatic genre, ultimately interpreting its formal idiosyncrasies in terms of the dramatic action and the sociological influence of Mozart’s time. The interpretation follows a rigorous interdisciplinary model that includes four levels of analysis adapted from Irwin Panofsky’s influential iconological investigation of visual art. In Shaftel’s operatic model, the primary level explores the internal structure of the drama (plot) and the music; the second defines the denotative meaning in drama and music and their immediate cultural implications. The third level is based on the results of the previous two and explores the larger connotative sense of the drama and music. The fourth level integrates

84 Elizabeth L. Smith, “Musical Narrative in Three American One-Act Operas with Libretti by Carlo Menotti: A Hand of Bridge, The Telephone, and Introductions and Good-Byes” (Ph. D. diss., Florida State University, 2005). 85 “Sonata Form, Dramatic Subtext, and Musical Irony in the Trio from Le Nozze di Figaro.” In Keys to the Drama: Nine Perspectives on Sonata Forms, edited by Gordon Sly. (London: Ashgate Press, 2007). A related essay appears as "Form, Sign, and Singing: Integrating Sign Systems in an Interdisciplinary Approach to Opera," Semiotics 2007 (forthcoming).

30 all previous dramatic and musical discussions to provide an integrated musical/dramatic narrative. Shaftel’s analysis presents a clear analytic model for understanding culturally contingent meanings and dramatic implications as they relate to the musical structure. He also provides an innovative way to understand the interaction between music and drama as it goes beyond one-to-one correspondence (a primary shortcoming of earlier operatic studies). While the problem pertaining to the relationship of the music and the drama has been widely discussed,86 his work demonstrates a useful analytic direction outside of the Schenker norm. In particular, through his semiotic approach, not only is the interaction between music and drama well examined, but also social influence can be subtly brought into the discussion.87

2. An Analytic Methodology for Puccini

All of the analytic techniques from the previous discussion present good models for additional research, and have, in some fashion, informed the current project. As mentioned previously, however, my research builds most directly upon the work of previous Puccini scholars, particularly that of Davis, Atlas, and Greenwald, to provide a suitable analytic methodology. I take a discussion pertaining to notion of tonal field and tonal space by Carl Schachter as my inceptive concern. Schachter states that,

To a large extent the tonal actions over time are what create the local color. The actions, of course, will constantly modify the milieu, but a core of perceived stability will abide through these changes.88

Schachter’s primary goal is to describe the way in which the tonic triad outlines the tonal field to open up tonal space for other triads to act in the foreground and background. Yet, this concept leaves room for complementary techniques (here, I borrow the word

86 See previous discussion of Kerman and Treitler. 87 Davis also discusses the semiotic approach to operatic analysis. See my literature review, where his work is discussed in great detail. 88 Carl Schachter, “The Triad as Place and Action,” Unfoldings: Essays in Schenkerian Theory and Analysis, ed. Joseph N. Straus (New York: Oxford University Press, 1999), 162.

31 “complementary” from Rings). In particular, the tonal field applies to Puccini as a fundamentally tonal composer, as I have argued (and will demonstrate in the analytical section of this dissertation). Meanwhile, local color is created through Puccini’s exploration of harmonic dualism (with the subdominant taking on a role equivalent to the dominant) and through the unfolding narrative of the women characters’ arias. Combining a Schenkerian linear approach, dualism, and an examination of the drama through the filter of gender, my primary analytical focus is linear motion as it relates to dualist harmonic function and gendered dramatic events. The theoretical details as they relate to Puccini will be discussed in the following section.

(1). Schenkerian Theory and Puccini

Scrutinizing works by Schenker and Puccini, I find that they share more common ground pertaining to internal tonal structure than do Schenker and Wagner.89 Christen describes Puccini as follows [my translation]:

Puccini thus restricts himself to the diatonic tradition, yet enriches this harmonic realm in a characteristic manner. From about 1870, the triad remains the basis of design in the aria and romanza, while the traditional seventh chord restricts itself to designated functions, namely the D (dominant) and the S (subdominant): through the addition of the “characteristic dissonance” the triad becomes the seventh chord.90

The seventh chord is mentioned in a specific statement by Schenker:

It is the fifth that forms the boundary of any given chord in the foreground, and never the seventh. Even where the seventh is placed above the fifth in the

89 It is true that Schenker has little interest in opera and in Wagner. Yet, the point that I wish to argue is that in terms of the understanding of the role of harmony in tonal works, Schenkerian theory shares more common ground with Italian tonal operas than with the Germanic approach of Wagner’s operas. 90 Puccini beschränkt sich also auf die Diatonik, doch bereichert er innerhalb dieses Rahmens die harmonik in charakteristischer weise. Bis etwa 1870 wurden in Arien und Romanzen vorwiegend Dreikläng verwendet, während die Vierklänge der Tradition gemäß auf bestimmte Funktionen beschränkt blieben, nämlich auf die D und die S: durch Hinzufügen der “charakteristischen Dissonanz” werden die Dreiklänge zu Vierklängen. Norbert Christen, Giacomo Puccini: analyt. Unters. d. Melodik, Harmonik u. Instrumentation (Hamburg: Verlag der Musikalienhndlung, 1978), 91.

32 foreground—that it is, in cases where conventional harmony speaks of a seventh—the seventh must be considered only a passing tone…91

The above statements from Christen and Schenker show that, in addition to the tonal common ground, Puccini and Schenker treat the seventh as an added non-functional tone in the diatonic system. Thus, the fundamental tonal stance they share provides the justification to explore a Schenkerian-inspired analysis of Puccini, although, in fact, many of the current tonal analytic methodologies are derived or influenced by Schenker in some fashion.92

(2). Stein and Harrison as a model for Puccini’s use of harmony

As I have argued that the subdominant plays a more essential position in Puccini’s music than in the conventional tonal language, I adopt and adapt dualist notions from Harrison and Stein to complement Schenkerian theory and to demonstrate a deeper understanding of Puccini’s “local color.”93 The essential discussion of dualism in late- Romantic music is found in two books: Deborah J. Stein’s Hugo Wolf’s Lieder and Extensions of Tonality, and Daniel Harrison’s Harmonic Function in Chromatic Music: A Renewed Dualist Theory and an Account of Its Precedents. Stein develops an approach to the tonally expansive harmonic language of the late nineteenth century, with an analytical emphasis on Wolf’s lieder. The analysis adopts a progressive pseudo-Schenkerian method for examining tonal strategies. Stein describes tonal expansion in four categories: The Plagal Domain, Third Relations, Directional Tonality, and a combination of extended-tonal techniques. The plagal domain is considered to enrich more traditional harmonic progression, substituting for the tonic–dominant axis. Third relations apply to relationships within a

91 Heinrich Schenker, Free Composition, trans. and ed. Ernst Osterns (New York: Longman, 1979), 63. 92 For a deeper discussion of tonal analytic skills derived from Schenker, see Giorgio Sanguinetti, “Dramatic Functions of Tonal Field,” in Essays from the Third International Schenker Symposium, ed. Allen Cadwallader (New York: Olms, 2006), 81-102. 93 In a somewhat preliminary study, Matthew Shaftel combines Schenkerian theory with Stein and Harrison’s work on the dualism of harmonic function in his study on Webern’s early songs. See Matthew Shaftel, “Anton Webern’s Early Songs: Motive, Harmony, and Influence” (Ph. D. diss., Yale University, 2000).

33 tonic-dominant axis by either mediating through direct (bVI) or chained (III) approaches to the dominant from the tonic. Directional tonality is applied to pieces that open and close in different keys. All of these domains will play some role in my Puccini study.94 Harrison’s work on tonal expansion differs from Stein’s since it focuses exclusively on a dualist approach to scale-degree function. Based on work by Hugo Riemann, his theory sees the tonic as an axis between the opposite related pillars of the dominant and subdominant. This balanced perspective supports the notion of a subdominant substitute for the dominant. The tonic and polar-related subdominant and dominant represent three primary chords. Other chords then substitute for these three pillars, connecting to the primary chords through momentary subdominant or dominant “discharge.” This loosens the sense of traditional tonal hierarchy and gives flexibility to the analysis of functional harmonic progression. As a result, it promises that tonal procedure can correspond to what Harrison quotes from Reger: “any chord can follow 95 another chord.”

Moreover, these dualist approaches share some similar notions of harmonic succession with neo-Riemannian theory in that the analytic tool’s aim is to explicate music whose content is based on chordal procedure and whose musical style falls in a fundamentally “tonal and yet post-tonal practice.”96 However it differs from the neo- Riemannian parsimonious approach in that Harrison’s clear focus on the function of harmonic progression makes his tool cling more closely to the tonal tradition, where we find the majority of Puccini’s music.97

94 Deborah J. Stein, Hugo Wolf’s Lieder and Extensions of Tonality (Ann Arbor: UMI Research Press, 1985). 95 Daniel Harrison, Harmonic Function in Chromatic Music: A Renewed Dualist Theory and an Account of Its Precedents (Chicago: The University of Chicago Press, 1994), 1. 96 This idea comes from Richard Cohn, who wishes to explain music that goes beyond Schenker’s purview and yet retains tonal underpinnings. Cohn quoted from Rothstein’s “triadic but post-tonal practice” for his definition of music that operates in the Neo-Riemannian parsimonious system. For details, see Richard Cohn, “Introduction to Neo-Riemannian Theory: A Survey and a Historical Perspective, “ Journal of Music

Theory 42/2 (1998): 168. 97 One needs to be aware that a clear hierarchy of harmonic function still exists in Puccini. Certain moments may express relatively weak harmonic progressions, but the hierarchy never disappears entirely. What Puccini demonstrates is a particular skill for making that hierarchy seems ambiguous. Thus, it is necessary to clarify that the adoption of these two theorists’ work is for the purpose of explaining hierarchic ambiguity.”

34 Both Stein and Harrison provide useful tools for examining the tonal expansion of the late Romantic period. As Puccini adheres to the tonal boundaries while still expanding the vocabulary within those boundaries, their approaches will help to illuminate Puccini’s harmonic language. Further, both Stein and Harrison devote many pages to the investigation of the subdominant domain. Their work resonates particularly with the previous discussion of Atlas’s linking of Puccini’s dramatic subtexts with the IV-I harmonic progression. Ultimately, Stein and Harrison provide a reasonable expansion to Schenkerian theory that will play an essential role in my study.

(3). Catherine Clément

As stated, this dissertation aims to better understand Puccini’s female protagonists though an analysis of their musical styles. The dramatic model for this comes from Catherine Clément’s Opera, or the Undoing of Women. In this book, Clément applies feminist theory to discuss various female roles in opera. The majority of her discussion is guided by her personal experience as a female audience member. Clément herself is a philosopher and cultural critic, thus her work can be called literary criticism on operatic subjects, not music analysis.98 This fact has been clearly mentioned by Susan McClary in the foreword she wrote for the English translation of Clément’s book.99 Yet, even if the discussion stands on a literary basis, Clément’s prose reveals a musical rhythm and presents the musical structure through a literary lens. McClary has pointed out:

98 In her review of Clément’s book, Katherine Bergeron has claimed that Clément retells the story of female protagonists but mutes the music. See Katherine Bergeron, review of Opera, or One Woman’s Undoing, by Catherine Clèment, Cambridge Opera Journal 2/1 (Mar., 1990). 93-98. The same viewpoint has also been addressed in a review by Paul Robinson. See Paul Robinson, “It’s Not Over Until the Soprano Dies.” The New York Times, http://www.nytimes.com/book/99/10/03/nnp/clement-undoing.html (accessed September 16, 2007). In my view, although some (but relatively few) scholars have attempted to give equal weight to both drama and music in their analyses, the reality is that the selectivity of the analysis is determined as much by the analyst’s academic background as anything. Clément, in my opinion, demonstrates a first-rate incorporation of music into what is essentially a critical interpretation of plot and libretto. For a discussion of how a scholar’s background is inevitably reflected in his/her research, see Scott Burnham, “‘Theorists and “The Music Itself,”’ The Journal of Musicology 15/3 (Summer 1997), 316-29. 99 Susan McClary, “The Undoing of Opera: Toward a Feminist Criticism of Music,” Opera, or the Undoing of Women, by Catherine Clément, trans. Betsy Wing (Minneapolis: University of Minnesota Press, 1988), x.

35 They struggle for a long time, for several hours of music, an infinitely long time, in the labyrinth of plots, stories, myths, leading them, although it is already late, to the supreme outcome where everyone knew they would have to end up” (p. 59). Eventually, in other words, a tonal piece must establish closure, must resolve that slippery, fragrant chromaticism to the security of a rational tonic triad.100

This is to say, that Clément uses language to replace the musical notes and subtly reflects musical analysis through linguistic usage. As opera is a work of art that combines both music and drama, Clément leaves room for musical analysis (through a music theoretical lens) to complement her literary work. In the following chapter, these theoretical and analytical models will be combined and applied to the music of some of Puccini’s female protagonists, with a primary focus on their arias. Ultimately, this will take the form of a dualist informed linear approach to music, as it interacts with gender and the dramatic events of the operas. Each chapter will be organized into three parts, with an emphasis on the leading female. The first part discusses the historical background, the story, and the overall structure of the entire opera. The second section includes the counterpart to the dramatic synopsis, what I will call a musical synopsis. Like a dramatic synopsis, its purpose is to summarize important musical/analytic events as succinctly as possible. This is essentially reductive in design, and, as such, leaves out all but those musical moments that are critical in the dramatic/analytic flow of the opera, as it pertains to the female protagonists. The musical synopses employ musical notation accompanied by brief analytical commentaries in order to portray how various local harmonic and melodic motions focus the dramatic motion of the opera. Thus, as readers will be able to see, dotted barlines in the synopses indicate musical links between non-adjacent moments in the opera, while the double bars indicate new sections (typically many measures apart). The links and analytical commentary are provided in succinct text descriptions above the music. The musical synopses focus particularly on the female characters’ inner sentiments and interactions with other characters. My intention here is to provide a technique to describe musical narrative and to illustrate the way in which Puccini subtly links musical and dramatic ideas throughout the operas.

100 Ibid., xiii.

36 Readers who are familiar with the drama/background of each opera (first section), and my general analytic approach to the music of the entire opera (second section), will have the appropriate contextualization to read the third section of each chapter. This third section focuses on the female protagonists’ primary arias to demonstrate how the structure reflects inner psychology/and drama within the story as a whole. In these sections, I use linear graphing techniques inspired by Schenkerian approaches to music, but, adapted to the necessities of Puccini’s idiomatic harmony and counterpoint. For example, some analytic graphs illustrate parallel motion between outer voices in order to associate dramatic highpoints with one of Puccini’s idiosyncratic musical signatures. Several scholars have linked Puccini’s frequent use of parallel motion with his desire to highlight special dramatic moments.101 My analysis in this project further supports this notion. Two additional anomalies that frequently finds their way into the graphs are Puccini’s penchant for second-inversion triads, particularly on the tonic, and his frequent use of the minor dominant. This weakening of traditional tonal functions, as I will conclude later in the dissertation, are important innovations, allowing space for an expanded use of the subdominant, as well as for “exotic” harmonic structures drawn from non-western inspirations.

101 See Grout and Williams (2003), 492 and Ashbrook (1968), 63.

37 CHAPTER 2

HARMONIC REPRESENTATIONS OF VERISMO IN 1896

La bohème

1. Introduction

La bohème constitutes Puccini’s initial attempt at writing a verismo opera1 in which a tragic romance unfolds through a drastically changing flow of time, both realistic and unrealistic. Giuseppe Giacosa and Luigi Illica worked together on the libretto, which was based on Henri Mürger’s novel Scènes de la vie de bohème. These two librettists went on to work with Puccini on Tosca and Madama Butterfly. The opera had its world premiere on February 1, 1896. The initial critiques were essentially cool, but after several revisions, the opera was warmly applauded.2 For more than a century, it has been performed on all of the world’s premier operatic stages; indeed, it has remained one of the most popular productions worldwide. Many scholars consider La bohème to be Puccini’s first mature opera, acting as a culminating point in his early career.3 In addition to the verismo focus on the lives of lower-class characters, Puccini and his librettists bring to life the streets of Paris through décor, music, and drama, demonstrating what

1 The term “verismo” comes from the French literary movement of the late nineteenth century, and relates to the naturalism and realism of “true” life. It characteristically depicts the experiences of members of the lower classes. By treating daily life seriously, verismatic drama imparts reality to readers. These aesthetics of the period were adopted by other artistic forms, such as opera, which sought to bring this new reality to the stage. The verismo movement in literature and later in theater and opera, places characters from the lower social class at the center of the plot, concentrating on the characters’ developing passions which, in most cases, leads to tragedy (often through violence). See www.grovemusic.com (accessed October 17, 2007). Also, for a brief discussion of Puccini’s musical veristi, see Carl Dahlhaus, Nineteenth-Century Music, trans. J. Bradford Robinson (Berkeley: University of California Press, 1989), 351-55. 2 For details regarding the opera’s initial reception and its critiques, see Ashbrook (1968), 52-53. Also, Arthur Groos and Roger Parker, Giacomo Puccini: La bohème (New York: Cambridge University Press, 1986), 129-41. 3 See Greenwald (1991), 211-12; Grout & Williams (2003), 490.

38 Italian critics call “ambientismo.”4 Thus, La bohème demonstrates Puccini’s skill in incorporating authenticity into Italianate operas. As he continued to mature, Puccini expanded these notions of “ambientismo” and “authenticity” (at least in his own eyes) to the seeming exoticism of Asia; in La bohème we can already see the beginning of his interest in cosmopolitan settings.5 While the libretto of La bohème explores the romance of two separate couples, it centers on the tragedy of the leading protagonists (Mimì, the seamstress, and Rodolfo, the poet). It is the juxtaposition of this tragedy with the light-hearted comedy of the supporting protagonists’ relationship (Musetta, the singer, and Marcello, the painter) that is one of the unique features of the opera. The two female protagonists, Mimì and Musetta, present divergent personalities. Mimì is tender and shy, while Musetta is passionate and extroverted. These opposing characters seem to lead their romances towards opposite ends–separation in one case, and reunion in the other. In the end, however, the stratification is muddied by the final scene where both couples reunite, although, in the case of Mimì and Rodolof, only moments before her death.6 The following analysis of Mimì will be divided into two sections: story of La bohème and Mimì’s musical and dramatic highlights with a summary of musical synopsis with her character; and a close examination of Mimì’s first-act aria, “Mi chiamano Mimì.” The former demonstrates Puccini’s musical portrayal of Mimì’s female character and how it affects the opera’s overall design. The latter provides a detailed harmonic analysis of Mimì’s aria as it emphasizes and interacts with the previous story line, illustrating that her aria offers insight into her destiny. The detailed analysis also highlights Puccini’s harmonic vocabulary as he uses it to represent Mimì. Analysis of Musetta, who is a supporting female, will concentrate solely on her single aria, “Quando me’n vo’ ” and is placed before Mimì’s aria.

4 The “ambientismo” quality of the opera is particularly strong in the Latin Quarter setting of the second act. For details, see Kimbell (1991), 627. 5 Puccini’s operatic settings are both diverse and cosmopolitan, including settings in the United States (La fanciulla del West), Japan (Madama Butterfly) and China (Turandot). 6 As my study focuses exclusively on the analysis of Puccini’s female characters, readers who are interested in other relevant discussions of La bohème, such as a detailed discussion regarding the historical background and synopsis, should see Groos and Parker (1986). For more chapters devoted to this opera, see Carner (1958), 310-29; Ashbrook (1968), 48-66; Budden (2002), 131-80; and Phillips-Matz (2002), 80- 105.

39 2. The Story of La bohème

The romance begins on Christmas Eve in Paris. Three members of the “Bohemian” quartet, the painter Marcello, the philosopher Colline, and the musician Schaunard, go out to celebrate Christmas at a restaurant. The poet Rodolfo stays in the apartment to finish writing and will soon join his friends’ celebrations. A neighbor, Mimì, who is rather pale and sickly, knocks on the door and asks for match as her candle has gone out. Lighting her candle and worrying about her frail figure, Rodolfo persuades her to stay. Mimì refuses and leaves but soon returns as she has lost her key. Both candles are blown out, perhaps by Rodolfo, and the two search for the key in the dark, falling suddenly in love during the interaction. Rodolfo and Mimì join the Bohemians’ Christmas celebration at Café Momus, where Musetta, Marcello’s former girl friend, appears and attempts to regain Marcello’s attention. She sings to show her popularity and to win back Marcello’s heart. The third act focuses on the Parisian winter, wherein both couples (Marcello/Musetta, Rodolfo/Mimì) have been driven apart by jealousy. In the fourth act, Musetta finds Mimì in the street and brings her back to the apartment of Bohemians. Everyone leaves Rodolfo and Mimì alone. The couple recalls their first day together, as Mimì’s condition worsens. The others return, having summoned the doctor, but it is too late; like the extinguished candle from her entrance, Mimì dies quietly and quickly. Rodolfo runs to her body and calls her name into the dark.

3. Mimì—Musical and Dramatic Highlights

(1). Narrative Overall As Clément states, there is no evil in La bohème, since the characters seem to be the embodiment of youthful innocence.7 The innocence, however, appears to be at the root of the tragedy of Mimì and Rodolfo, since their relationship exhibits the

7 See Clément (1988), 83-87.

40 characteristics of adolescent romance, filled with jealousy, miscommunication, and passion. Mimì is ultimately aware that she will die, while Rodolfo is aware that he can never keep her. Yet, neither is able to communicate seriously with the other, and neither is able to find a way to protect their love. Both naturally accept and follow their fates that lead them to tragedy. Their obedience to fate affects the overall musical design of La bohème, wherein the music appears to flow narrativistically and teleologically towards the end point, without major mid-point climaxes or a high point (the end of the second act may fall outside of this structure, but it actually falls outside of the drama of the opera as a whole). Ultimately the narrative of ephemeral love is broken naturally into four acts: first sight, in love, break up, and death.

(2). The Shadow of Death Mimì coughs throughout the opera, foreshadowing her severe illness and her inability to survive the severe winter. Yet, when Rodolfo eagerly takes her hand, she is irresistibly drawn to him. As an ephemeral life cannot promise a lasting relationship, a rapidly arriving death turns out to be the inevitable end. From the beginning, the romance is shadowed by death. This shadow sets up a repressive atmosphere that is sustained through much of the opera, being both musically and dramatically embedded in its structure. The shadow of death is already evident in Act I. Mimì’s first sung pitch is A, which later turns out to be the primary tone, 5^ in her aria “Mi chiamano Mimì,” where it is sustained without a structural descent to the tonic. The long-term embellishment of a single pitch highlights Mimì’s repressed shyness and her inability to improve her situation.8 Their romance is then reflected in the vocal arrangement of the love duet “O soave fanciulla.” Here Mimì and Rodolfo start in unison, sing distantly, and end in unison, reflecting the three stages of their love. Of course the return to unison also foreshadows Mimì’s inevitable death, for the reuniting of Mimì and Rodolfo is made possible only by her severe illness. The shadow is omnipresent throughout Act III. In addition to the grey setting and the impassioned vocals, Rodolfo’s states it clearly in his

8 See my analysis of Mimì’s aria.

41 “Marcello, finalmente!” : “I love her, but I’m afraid. Mimì is so sick!”9 At the end of Act III, Mimì and Rodolfo sing in unison with a descending lamento figure as they make the decision to separate in “Addio, dolce svegliare.” Strings double their melodic lines to emphasize their lament.10 Here again, it is clear that the lovers are helpless within the grasp of fate; they do not want to separate, but they seem to have no choice.11 The shadow of death darkens, as it becomes clear that the end of the relationship is reluctant, but inevitable. In Act IV, Mimì dies surrounded by her Bohemian friends. Despite subdued singing in the beginning of the act, in the aria “Sono andati?” her voice takes on new passion, and it is at the peak of her singing that we understand her death to have arrived. Mimì finally expresses her love to Rodolfo at the very moment that she must die, ending her life on the pitch Ab, which, as shown in the music synopsis that follows, is derived from Rodolfo’s aria. The adoption of his Ab portrays her strong desire to be with him, but also shows the small transformation she has undergone since her opening A natural. Rodolfo’s last pitch is G#, implying the leading tone to Mimì’s opening pitch A from her aria and from their first sighting. The tragedy of Mimì’s death is deepened as it becomes clear that they have a fervent desire for unison, but they will remain forever separated by the enharmonicism of death.12 In the following, I present a narrative summary of Mimì’s music synopsis in order to give an overview of her musical role within the opera.13 I identify the location of each

9 “Io l’amo, ma ho paura. Mimì è tanto malata!” Nico Castel, trans., The Complete Puccini Libretti (New York: Leyerle, 1994), 1: 85. All of the translations of La bohème come from Castel. 10 Davis cites unison string accompaniment as a significant element of “Puccini’s Romantic style” (2003). I discuss this point in chapter 1. 11 Mimì’s statement at the end of Act III clearly supports this “Sempre tua per la vita! Vorrei ch’eterno durasse il verno! Ci lascerem alla stagion dei fior!” – “Always yours for (the) life! I would like winter to last eternally! We’ll leave each other at the season of flowers!” Castel (1994), 1: 94-95. 12 The motion of a half step plays an essential role in the relationship between Mimì and Rodolfo. For instance, in Act I when they first meet, Rodolfo’s aria, “Che gelida manina,” starts in Db major (and ends in Ab major). Mimì’s aria is written in D major. 13 The idea of musical synopsis is inspired by Drabkin who states that “[Puccini’s] genius lay in working out of ‘the little things’ in an opera…” see Willliam Drabkin, “The musical language of La bohéme,” Giacomo Puccini La bohéme, ed. Arthur Groos and Roger Parker (New York: Cambridge University Press, 1986), 81. Also, thanks to my advisor, Prof. Matthew Shaftel, who mentioned that the music of La bohéme seems to be made up of many little aria-like phrases strung together in various combinations throughout the opera. As Ashbrook has pointed out, “the predominance of melody for Puccini is beyond question. As a true Italian, his is primarily vocal melody. It is difficult to think of any prominent theme in the score that is not at some point sung.” (1968), 56.

42 theme in terms of its act, rehearsal number, and measures past the rehearsal number (as “Act X/ Rehearsal XX/ Measure XX”).14 For instance, a theme that is taken from the first measure after rehearsal twenty-five in Act I, will be described as “I/25/1.”

14 This is the same as Roger Park’s system. Burton also uses the same system in her dissertation (1995).

43 Musical Synopsis – La bohème15

15 For a description of my Musical Synopsis, please see Chapter 1 (pp. 36-37).

44

45

46

47 Musetta: “Quando me’n vo’ ”

Musetta’s “Quando me’n vo’ ” takes place in the middle of Act II in the Latin Quarter scene, where she sings to attract her ex-lover Marcello’s attention. This aria is written in the song form ABA’, which contains a contrasting middle section (B). The A and A’ sections stay in the home key, E major, and the B section is set off harmonically and melodically as it stays in the subdominant harmonic region. The table below shows each section’s detail.

Table 2.1: The overall structure of “Quando me’n vo’ ”

Sections A B A’ *Location/mm II/21/1-16 II/21/17-II/22-8 II/23/1-15 ^ ^ ^ ^ ^ ^ ^ Urlinie 3-4-3 4 3-4-3 Ursatz I IV I Harmonic Detail E: I-IV-V-I A: I-V-I E: I-IV-V-I *Location indicates the Act number and Rehearsal number.

1. A section

The first A section contains two parallel periods, II/21/1-8 and II/21/9-16. These two parallel periods are based on the I-IV-V-I harmonic progression. The initial I-IV-V-I progression establishes the piece’s tonal area, E major, along with its prolongation of the primary tone 3^ in order to portray Musetta walking on the street and enjoying men’s affection for her. The 3^ is decorated by a neighbor 4^ that is supported by the subdominant chord and is sung to the text “mia [mine]” to indicate “the beautiful Musetta.” This illustrates that the subdominant chord represents the feminine beauty of Musetta. When the tonic returns, an inner voice descent (5^-4^-3^-2^-1^) suggests the image from the text, which says that people look at Musetta from head to toe (da capo a piè). The A section 8–7 ^ ^ ^ 6–5 shows a large-scale 3-4-3 structural neighbor, which is supported by a larger I-IV-V4–3-I

48 harmonic progression. As described above, the tonic represents her confidence and the subdominant represents feminine beauty.

Figure 2.1: Musetta: “Quando me’n vo’ ” (A section: II/21/1-16)16

2. B and A’ sections

The B Section tonicizes the subdominant, A major. Its structure is based on an antecedent and consequent, II/21/17-24 and II/22/1-8, respectively. The lyric in the B section emphasizes the notion that Musetta stirs men’s desire and that seeing men’s

16 Detailed discussion of my linear methodology can be found in the introductory chapter and chapter 1.

49 desire for her makes her happy. The modulation to the subdominant recalls the usage of the subdominant chord in the A section, which signifies Musetta’s beauty. Here, this notion, as well as the subdominant harmony, is expanded to coincide with Musetta’s attractiveness to men. As Musetta is confident of her beauty and knows that men will suffer from looking at her, the subdominant also represents the feminine strength found in her beauty.

Figure 2.2: Musetta: “Quando me’n vo’ ” (B and A’ sections: II/21/17 to II/23/15)

50 The B section ends with a descending 5th sequence (A: V7/ii-ii-V-I). The I/A in I/22/8 serves as the pivot chord (also functioning as IV/E) in a return to the home tonic. The return is essentially the same as the initial A section, reconfirming the previous message. In sum, the entire aria presents two primary harmonic realms: the tonic and subdominant. The tonic realm tells of Musetta’s confidence and enjoyment of men’s desire while the subdominant realm tells of her beauty. It is through the interrelation of these two harmonic regions that the feminine character (confidence and beauty) of Musetta is presented.

Mimì: “Mi chiamano Mimì”

The aria is sung in Rodolfo’s apartment on a cold Christmas Eve. Rodolfo’s friends (the other Bohemian artists) have stepped out to join the Christmas celebration on the streets of Paris. Rodolfo is alone to finish some writing. Mimì, a neighbor whom Rodolfo has never met, interrupts him to ask for matches for her candle which has gone out (a likely foreshadowing of Mimì’s death). Mimì, who is rather pale and sickly, enters the room, and the concerned (and romantically interested) Rodolfo attempts to persuade her to stay a while with him. Mimì declines and leaves after her candle is lit, but soon she returns because she has lost her key. They search together for the key and their love is kindled (like the flame of Mimì’s candle and the ephemeral flames created by Rodolfo’s play at the kitchen stove in the early part of the act). In this aria Mimì presents a brief and rather unusual autobiography, in that she really has little to tell; she doesn’t even know why she is called Mimì. It is thus possible to interpret Mimì as a sort of place-holder — not a true character, like the men in the opera, but a representative of the feminine object of affection. This will be discussed in greater detail later in the dissertation.

51 1. Formal Structure – Urlinie presents the sectional division

The overall structure of this aria (see the table below) can be divided into seven sections “A-B-A-C-Sequence-B-Coda.” 17

Table 2.2: The overall structure of “Mi chiamano Mimì”

Sections A B A C * Sequence B Coda Location/mm I/35/1-14 I/36/1-11 I/36/12-16 I/37/1-18 I/38/1-11 I/38/11-21 I/38/22-23 ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ Urlinie 5-b6-#4-5 5-#4-6-5 5-b6-#4-5 5 - -6-(#4)- 5 5-#4-6-5 5 Pitches A-Bb-G#-A A-G#-B-A A-Bb-G#-A A - -B- (G#)-A A-G#-B-A A Harmony V I6/4-vi-V7-I V V IV-V I6/4-vi-V7-I I Primary Subject Mimì Spring Mimì Life Dream Spring/Winter Mimì * Section C and the following sequential section act as inserted interpolations in-between the A and B sections.

An examination of the above table shows that this aria is basically a large-scale dominant

prolongation that supports the Kopfton 5^ throughout the structural background and middleground. Meanwhile, in the foreground of the sectional divisions, the primary tone

5^ traverses up or down to its diatonic or chromatic neighbor (except in section C which maintains the dominant exclusively). The local double neighbors define the sectional boundaries, especially since nearly every section follows along this same basic motivic path. ^ Because the Kopfton 5 is retained in the background and also controls the local

voice leading motion through the local double-neighbors (5^, b6^, 6^, #4^, 5^), it suggests two separate, but related, dramatic implications. First, recalling the earlier discussion of Mimì, I have stated that her entrance is sung on the central pitch A, accompanied by

coughs from her illness. A reappears in her aria and becomes the Kopfton 5^. It is sustained in the background as a reminder of her illness, acting as what I have referred to

17 Carner calls this aria a “free rondo” (A-B-A-C-D-B). See Carner (1958), 320. I find the notion of a rondo (however free) to be difficult to justify, and take the “C-D” as a single interpolation of the C idea and a large sequential passage: “C-Sequence.”

52 as the shadow of her death. Meanwhile, in the foreground the chromatic and diatonic double neighbor demonstrates the suppressive force of fate; no matter how hard the protagonist tries to go up or down, she must remain close to the Kopfton 5^ and must return to 5^ in each section. She has no way to escape from the shadow of death, either in the foreground or the background. This is shown as a basic contour graphic over time in Figure 2.3.

Foreground Trajectory: Repressive—b6^ and #4^, Dream 6^ and Death 5^

Background Axis Death - 5^

Figure 2.3: The axis along with the narrative trajectory towards death

2. Harmonic ambiguity in the sectional divisions

The harmonic structure makes the sectional delimitations vague. Sections are 6 often connected through a pedal point or a chord in a 4 position. I discuss each section in detail in the following. First, the A section ends on a dominant in root position in

I/35/14. The 5^ above the dominant becomes the tonic associate in the beginning of the B

53 section.18 According to Harrison, “[H]aving the associate in the lowest voice creates the possibility for it to be heard as the base of another function, making the chord functionally ambiguous.”19 The dominant and tonic functional ambiguity here reduces the power of the tonic chord. Thus, sections A and B remain connected through the 5^, yet in a harmonically unclear manner. Moreover, the B section ends with a perfect authentic cadence. Melodically,

Mimì skips from 5^ to 1^ in I/36/10-11. Lyrically, she is asking “Lei m’intende?” — “[Do] you understand me?”20 The contour paints her question and also makes it clear that her aria does not end at this point. The second violin doubles the voice for the leap to tonic -

1^, and holds this 1^ over the subsequent two measures. The tonic pitch ties over the boundary of sections A and B, creating a pedal sonority that smoothly connects the B and A sections.

Example 2.1: I/36/10-13 – End of B section and beginning of the 2nd A section

18 Harrison calls a bass note underneath a second-inversion triad an “associate.” For details, see Harrison (1994), 55-57. 19 Ibid., 58. 20 Castel (1994), 1:37.

54 The subsequent C section and the sequential passage that follows seem to focus on the extremes of the dualist path21 – dominant, subdominant sequence, and return to dominant. The sequential pattern that is interpolated between the two dominant passages creates a dreamy interlude. Indeed, it is distinct from the remainder of this aria as it presents a departure from reality and an interruption of the repression created by the shadow of death.

The final B section also concludes on a perfect authentic cadence. Unlike the previous B section, which ends with skip up from 5^ - 1^, here the motion of 5^ - 1^ is made through a descending skip. The downward motion makes for a stronger cadence to conclude the aria, but without any convincing structural descent (to be discussed below). The following recitative acts as a sort of codetta, although the drama has clearly moved onto something new, and it is based on similar descending motion, 5^ - 1^- 5^ - 3^ - 5^ - 1^, reconfirming (and even strengthening) the cadence.

Example 2.2: I/38/20-23 – End of 2nd B section and coda

21 The notion of “dualism” as described by Harrison focuses on the Hegelian opposition between the dominant and subdominant regions with tonic holding the center position. See the methodology section in See Chapter I for further discussion; also for further discussion on harmonic dualism, see Harrison (1994), 34-38; for a historic account of dualism, see 215-322 (chapters 5-7 in his book).

55 Ultimately, the sectional divisions of the aria do not display strong harmonic divisions, although the structural linear motion makes a distinctive double neighbor figure to separate each section. The highly connected nature of the sections contributes to the smooth and narrative-focused structure of La bohème as a whole. In addition, the smooth flow recalls Mimì’s non-resistant character, supporting her characterization by the aria.

3. The Structural ^5 and Its Double-Neighbor Path

(1). A section “^5-b^6-#^4-^5”

Figure 2.4: Mimì: “Mi chiamano Mimì” (A section: I/35/1-14)

56 Mimì’s obedience to fate is shown in the opening of her aria in which the primary tone 5^ only travels parsimoniously to b6^ and #4^ and returns to 5^ in I/35/5.22 From the harmonic perspective (see my graph), the V7/iii supports b6^ in I/35/2. This applied dominant does not resolve properly, however, since the bass down by step to a V4/3 of V which supports the #4^ in I/35/4. Since both b6^ and #4^ are supported by weak harmonic chords, they actually reinforce the strength of the 5^ and its supporting dominant. As mentioned previously, we can see how Mimì is dramatically, melodically, and structurally repressed with the ominous 5^ controlling all motion. Furthermore, Mimì sings (more than once) that she is called Mimì but her name is Lucia.23 The name “Mimì” is supported by the ephemeral V7 of iii that never resolves. The name “Lucia,” however is supported by the much stronger dominant. Yet, no one calls her Lucia. As the name Mimì never sees proper resolution or contextualization in the home key and Lucia can never be used, it becomes clear that neither Mimì nor Lucia exist in a complete and substantial person; indeed, she is a transient image, corresponding to what Clément states: “Mimì’s fate is written in Rodolfo’s words. She is poetry: already no longer a woman; she will never be one.”24 Clément is referring specifically to Act II, where Rodolfo introduces his Bohemian group to Mimì and says that “Mimì is the poetry.” The lyric in Act II, clarifies that Mimì represents a combination of the unrealistic imagination and realistic image. However, as is clear in my foregoing analysis, this image has already been demonstrated in the harmonic structure of her aria, and it simply achieves further validation from Rodolfo in Act II. A dominant pedal maintains the dominant background while foreground 6 harmonies (I-iii6-I4-viiø7-ii) support local melodic motions in I/35/6-10. While the pedal strongly supports 5^, the unusual sequence of harmonies above the pedal weakens the dominant function and its need to resolve. Thus, the large-scale harmonic rhythm is much

22 Ashbrook also mentions that Puccini favors melodies that “surround” a particular pitch. See Ashbrook (1968), 54. 23 “Si, mi chiamano Mimì, ma ilmio nome è Lucia,” — “Yes, me they call Mimì, but my name is Lucia.” Castel (1994), 1: 36. 24 Clément (1988), 85.

57 slower than that of the foreground, essentially accentuating the listener’s ability to hear the larger hierarchies; the balance of the musical flow between the sustained background

5^ for Puccini, wherein the melody seems to be controlled within a smooth narrative trajectory that never deviates too far from the central axis of the sustained harmony and/or pitch. In Figure 2.5, I have essentially reproduced the Figure 2.3 in order to graphically demonstrate this juxtaposition of the sustained harmony with continuous melodic and harmonic motion. 25

*Narrative Trajectory

* Axis (v and 5^)

Figure 2.5: The sustained axis vs. continuous voice leading motion

25 The use of pedal point in Puccini has been discussed at length. Christen states that pedal point presents one of Puccini’s principal harmonic techniques, ultimately reducing the effect of harmonic resolutions (1978), 103. Ashbrook states, “Perhaps his [Puccini’s] favorite harmonic device is the drawing out of pedal points. At the beginning of Act 3, the cellos have a pedal point that lasts for 114 measures. Against it, at one point, the piccolo sustains an inverted pedal point” (1968), 63. I see Puccini’s pedal point as a way to juxtapose “sustained and continuous melodic motions.” Here, his narrative and musical trajectories cling to the axis of fate.

58 (2). B section “^5-#^4-^6-^5”26

Figure 2.6: Mimì: “Mi chiamano Mimì” (B section: I/36/1-11)

26 Several scholars agree that Puccini’s frequent use of parallel motion is associated with moments of special meaning. Grout and Williams mention that “Parallel duplication of the melodic line at the fifth is used to good purpose in the introduction to the third act of La bohéme to suggest the bleakness of a cold winter dawn; parallel triads are employed in the introduction to the second act of the same opera, for depicting the lively, crowded street scene” (2003), 492. Ashbrook has also stated, “Much attention has been called to his [Puccini’s] use of parallel fifths at the opening of Act 3” (1968), 63.

59 The B section describes dreams and springtime. The middleground melodic motion here reverses that from the previous section (A) “5^-b6^-#4^-5^ →”becomes “5^-#4^-6^-

5^ ←.” Along with this reversal, it replaces the lowered submediant with the natural submediant (b6^-6^). Thus the repressed b6^ that Mimì sings in the earlier A section here becomes the sweet dreams suggested by natural 6^.

The primary tone 5^ returns from the end of the previous A section and is 6 6 supported by a weak I4. As stated previously, the 4 motion smoothly links sections A and 6 B to create a continuous path, which is extended when the I4 is followed by a series of passing chords in second inversion (see my graph). The only root-position chord within this passing motion is vi. The submediant supports a local upper-neighbor motion 5^ - 6^ -

5^ in the melody from I/36/1 to I/36/3. The text here describes sweet magic and the neighbor motion of “sweet magic” was embedded earlier in I/36/1 where the bass line 6 6 6 ^ ^ ^ ^ ^ ^ supports I4 – ii4 – I4 (5 - 6 - 5). The transfer of 5 - 6 - 5 from the bass to the melody (I/36/1-3) takes what is initially a sub-surface notion, and brings it to out. On the one 6 hand, the support of the “sweet magic” by the 4 triads produces a smooth, dream-like atmosphere (outside of the normal realm of harmonic function). On the other hand, as the harmonic function is ambiguous, it is clear that the dream has no potential to become reality.

The motion from primary tone 5^ to its chromatic lower neighbor #4^ (I/36/4-5) is 6 6 ^ supported by the following progression “vi-iii4 – V4 – I6 – vii.” This #4 differs from the

#4^ in the A section in two ways. First, its tendency to resolve is strengthened by the minor vii support. Second, as the text is “primavera—springtime” an unresolved #4^ creates a tension that is juxtaposed with the image of springtime. Proper resolution and ^ ^ 6 harmonic syntax would result in the #4 resolving to 5 supported by V4 (I have implied this in the graph). This would provide a smooth connection from the vii, through the

60 6 (V4), to the following vi chord. The fact that this resolution is not manifest in the music itself, colors our impression of spring; spring will be Mimì’s final season.

The arrival of 6^ (supported by vi) in I/36/6, enhances the image of the dream that was earlier manifest in the “sweet magic.” The text here is: “che parlano di sognie dichimere” — “they speak to me of dreams and of illusions.”27 This particular neighbor motion, 5^- 6^ -5^, appears four times in the B section, starting in the bass (as discussed above), and moving into the upper voice. The word “sweet” returns just as the middleground returns to 5^ in I/36/9. Example 2.3 shows how the “sweet dream” motive manifests itself both in the middle and foregrounds of the B section.

Example 2.3: The “sweet magic” motion of 5^- 6^-5^

27 Castel (1994), 1: 37.

61 Section B closes with a return to 5^ of the Urlinie. Although the B section ends on a PAC with 1^ in the soprano, the Urlinie never descends from 5^ to 2^ (even with reasonable harmonic support here: iii6-ii5-V7).28 Thus, the arrival on tonic D sounds empty and unprepared. Not only is Mimì completely controlled by fate (as discussed at length above, but as the libretto states: “cosec he han nome poesia” — “things that have (the) name poetry,”29 she is truly a poetic creation of sorts (rather than a genuine woman character). There is no way for the primary tone 5^ to truly descend to the realistic tonic.

(3). A section “^5-b^6-#^4-^5”

When the initial five measures from section A returns (I/35/1-5 = I/36/12-16), Mimì no longer identifies herself as Lucia, but sings “Mi chiamano Mimì: il perchè non so” — “They call me Mimì but I don’t know why.”30 The text reconfirms Mimì’s ambiguous identity. The linear motion returns from the earlier section (5^-b6^-#4^-5^), recalling the notion of a Mimì who is obedient to fate, and one who has returned from her dream.

28 ^ ^ Greenwald views the ending of this aria as convincing because of the 5 descending to 1. She does not address the lack of descent. See, Greenwald (1991), 286. 29 Ibid. 30 Ibid.

62 (4). C section and sequence “^5-^6- #^4- ^5”

Figure 2.7: Mimì: “Mi chiamano Mimì” (C section and sequence: I/37/1 to I/38/11)

63 The C section describes Mimì’s ordinary life within a parallel-period structure and more typical harmonic vocabulary - I, iii and V. These three chords firmly support the primary tone 5^ throughout. The arrival of IV (supporting 6^) in the subsequent section brings fresh air and a new “dreamy” sonority to the aria. Also, the large-scale V-IV-V motion in this section gives greater weight to the subdominant (in nearly a dualist sense). Although a typical graph (as I have shown here) would describe it as a background neighbor to V, it seems truly disconnected from V, as if IV presents the dream outside of V’s reality. The text here describes Mimì looking out of the window and waiting for springtime (love) to come. Perhaps the IV is the love that is juxtaposed against death (V).

The appearances of 6^ in both sections B and C suggest similar meanings; the sweet magic, and Mimì’s dream of love. The natural submediant, as mentioned earlier, is clearly juxtaposed with the “realism” of b6^, as shown in the table below. It is worthwhile to note that the support for b6^ does not come from the home key and this helps us to situate Mimì more firmly in the realm of dreams, than in reality.

Table 2.3: Comparing the 6^ and Mimì (“Mi chiamano Mimì”)

Section A B A C-Sequence Pitch b6^ 6^ b6^ 6^ Harmony V7/iii vi V7/iii IV Text Mimì - Reality Dream Mimì - Reality Dream

(5). B section and Coda “^5-^4#-^6-^5”

The B section from I/36/1-11 returns in I/38/11-21. Here the vi chord supports 6^ in I/38/18 when Mimì sings “Ma i fior ch’io faccio” — “But the flowers that I make.”

This text returns immediately in I/38/19-20 where the dominant (supporting 5^) replaces vi

(supporting 6^). The repeated text over a harmonic shift from vi to V gives new meaning to her statement, which becomes clearer when Mimì concludes on the tonic chord,

64 singing “non hanno odore!” — “don’t have (a) fragrance!” The flower she makes has no fragrance! As stated previously, the vi and V present dream and death, respectively. They are placed here in direct juxtaposition to support the identical text: flower, clearly a metaphor for Mimì, herself. Not only can the fragrance of “dreams” give way to death for the character we know as “Mimì,” but there can never be a true and complete Mimì; she will always be constructed poetry, an embroidered flower with no fragrance. The coda presents a recitative passage wherein Mimì explains that she is afraid that her boring life will reduce Rodolfo’s interest in her. This text recalls her previous words – a flower with no fragrance. Again, the arrival of the tonic triad and its support of the primary tone 5^ foreshadow her inevitable death.

Example 2.4: The ending as “death” in 5^

65 4. Conclusion

As is made clear above, the aria is based on a large dominant prolongation, recalling the persistent “shadow of death” that is only pushed aside during the dream-like passages that support the natural submediant. The “sustaining” of the Kopfton 5^ in the background (see the graph below), reminds us that Mimì only exists to die.

Figure 2.8: Mimì: “Mi chiamano Mimì” (Background)

66 Likewise, the chromatic double neighbor motions - #4^, b6^ are contrasted with the diatonic neighbor, 6^ in the foreground and comment additionally upon the drama.

(1). Both #4^ and b6^ chromatically relate to the 5^. They are harmonized by either an applied dominant or a diminished-vii triad (V7/iii, V4/3 of V, vii, V6/5 of iii). These secondary and diminished chords decorate the V while still ultimately maintaining the

Kopfton 5^ to portray the faint and ill Mimì.

(2) The 6^ acts as a diatonic neighbor to 5^, suggesting, through its vi and IV harmonization an unrealistic dream of love without sickness and death. This is not, of course, the real Mimì. In particular, the IV portrays the sequential dreamy passage that stands out from the rest of the aria. This IV (the P5 down from the tonic) represents the dualistic opposition of V with tonic as the center.31 Moreover, as the vi and IV present equivalent dramatic meanings, while the V and iii along with their applied chords represent reality, the four chords demonstrate the dualist function shown below.

Example 2.5: Harmonic dualist relation 32

31 The subdominant side of the tonic has a long history of association with the cantus mollus, typically setting dramatic events that fall outside of the essential teleology of the narration. See, for example, Monteverdi’s Orfeo. 32 The “reality” section of the graph includes all of the applied chords to iii and V. I have shown only the ^ most essential chords without incorporating all the applied chords in detail. Also, the iii supports a long 5 in C section.

67 In sum, the mixture of the IV, vi, iii and V in the foreground that support - 6^, #4^, b6^, and 5^ (respectively) portrays a relatively complete picture of the protagonist Mimì.

The subdominant harmonic region with its support of 6^ presents that unrealistic dream, while the dominant region (and its applied chords supporting - #4^, b6^ and Kopfton 5^) presents the reality of death. We can therefore understand Mimì’s unpreventable trajectory towards death through the mirror images of harmonic dualism in her aria. Indeed, the seed of death is embedded since her first entrance in the opera, centered on A. It is reinforced and becomes the Kopfton (pitch A - 5^) of her aria. When the opera concludes with Rodolfo’s final pitch – G#, the unresolved leading tone – it tells the tragedy of the entire opera with Mimì as the generic image of a versimo character. Her existence on the stage carries a single purpose: to sow a catastrophic path, and to show that ephemeral love cannot outlive the winter. Indeed, it ends even before spring arrives, as the Kopfton 5^ is never able to meet with the tonic and as the subdominant (the unrealistic) must be subsumed by the harsh reality of the dominant.

68 CHAPTER 3

HARMONIC REPRESENTATION OF TOSCA (1900)

Tosca

1. Style

Tosca follows La bohème presenting, in Puccini’s oeuvre, new heart-rending melodies supported by a more ambiguous, but still fundamentally tonal harmonic structure.1 Here the music weds the drama to the revolutionary expression of an innocent couple’s desperate love. It vividly expresses the brutality and passion growing out of each of the actions that build relentlessly toward catastrophe. Some scholars take these brutally realistic moments as a sign that Tosca is another of Puccini’s “verismo operas,”2 a continuing verismo project he embarked on after La bohème. Others believe Tosca to be a romantic melodrama. Both interpretations are correct to a certain extent, and this leaves room for the following discussion. Although verismo opera3 takes a facet from the realistic life of the lower class, Tosca describes the story of the diva and has little to do with such verismo operas as La

1 Burton has studied this opera from both a tonal and atonal harmonic perspective. Her study centers on the heavy use of whole-tone and chromatic scales in many musical portions of Tosca. Taken from a structural perspective, the tonal underpinnings of Tosca can seem to be rather vague (see my literature review in Chapter 1). Certainly Puccini knew of and was influenced by the modern trends of his period. Yet, I believe Tosca fundamentally hangs on a tonal background with clear tonal direction interrupted periodically by chromatic and whole-tone interpolations. 2 Dahlhaus suggests that naturalism at the end of the nineteenth century incorporated the coarse elements of lower class life, and thus the brutal aspects of Tosca and Butterfly demonstrate Puccini’s “musical veristi.” See Dahlhaus (1989), 353-55. Excluding the fundamental realism of brutality, Sanson states verismo implies surplus sensation, particularly as it applies to operas such as Tosca (www.grovemusic.com, accessed February 2, 2008). Grout and Palisca suggest that Tosca falls into the verismo category because of its both its realistic libretto and the musical writing that nurtures the action. See Grout and Palisca (1996), 686-87. 3 Verismo presents “true-life realism, fierce passions, violence, and death . . . verismo category tends to be in one act so that a singleness of mood and situation can be presented without interruption” (Grout & Williams 2003, 489, ft. 38; see also my footnote 1 in chapter 2. Scholars classify Cavalleria Rusticana by Pietro Mascagni and I Pagliacci by Ruggiero Leoncavallo as the two typical examples of Italian verismo

69 boheme. Because the origins of the female lead are humble—she is a goatherdess whose musical talent is developed by Benedictine nuns4—there is still a distant connection to the earlier verismo opera. On the other hand, music in verismo opera usually is exceptionally and sensationally lyrical, with few breaks or separate “numbers.” Kimbell describes this type of lyricism as giving “the impression of raw, naked passion, and hovers on the borderline between music and histrionics.”5 Many scholars believe Cavaradossi’s third-act aria “E lucevan le stele” contains veristic elements.6 Thus, from a musical perspective, Tosca does not veer too far away from the earlier verismo influences. Not surprisingly, given that Tosca immediately followed La bohème, there are some musical passages in Tosca that echo the earlier opera. Common to both operas, for instance, are progressions of second-inversion triads, pedal points, predominant emphases (unlike the commonly used IV in La bohème, here VI receives the most emphasis) and a conjunct melody sung by the couple to express their mutual love. Yet, Tosca attains its uniqueness with greater emphasis on the musical effects of the whole tone scale, chromaticism, augmented chords, and rapid rhythmic passages sung in a narrow range. These are largely reserved for the violent scenes, which are excluded from the plot of La bohème.

Grout and Williams have declared that “The decline of verismo and the effort to combine some of its features with the neo-romantic or exotic type of opera found in opera. The most famous musical triumph in this category is Bizet’s Carmen from the French. See Grout & Williams (2003), 488-89; Paul Henry Lang, The Experience of Opera: An Informal Introduction to Operatic History and Literature (New York: W.W. Norton, 1971), 167. 4 See Budden (2002), 182. 5 Kimbell (1991), 626. 6 Ashbrook takes a literary perspective in his suggestion that Tosca is a type of romantic melodrama. However, the vocal style of Tosca is, in a way, closer to verismo opera than to romantic melodrama. Carner (1958) suggests that “music has a way of covering up what might be defects in a spoken drama” (342) and that “Tosca is musical drama (not music-drama) par excellence. One is almost tempted to lay the stress on the noun were it not that the work in the last analysis lives through its music” (345-46.) Carner furthermore points out that Cavaradossi’s aria “E lucevan le stele” is an example of the veristic style (351-52). Carner also provides a passage from Tosca and Pagliacci, respectively, to compare and demonstrate the veristic elements. See Carner (1985), 103-104. Budden makes a similar point, remarking on the verismo influences on Cavaradossi’s aria. See Budden (2002), 219. Cooper briefly suggests that Italian veristi shows up in the characters’ heart-rending music, citing the same act III aria as the other scholars. See Martin Cooper, “Stage Works: 1890-1918,” 153-64, in The Modern Age 1890-1960, Ed. J. A. Westrup, Gerald Abraham, Anselm Hughes, Egon Wellesz, and Martin Cooper (New York: Oxford University Press, 1974.) There has not been any documentation showing that Puccini specifically wanted to explore the verismo style in Tosca; thus, these scholars are employing an interpretative categorization of style.

70 Puccini, Giordano, and others is one symptom of a new spirit in Italian musical life.”7 These insights are important in defining the verismo qualities of operas such as Puccini’s La bohème, Tosca, and Butterfly. Literally speaking, only La bohème, which depicts lower class life, matches the verismo category among these three operas. The latter two show moments of verismo inspiration8 but also demonstrate Puccini’s attempts to incorporate new features into his compositions (in the words of Grout & Williams, they are “neo-romantic and exotic”). Tosca indeed demonstrates Puccini’s shift in style from verismo to neo-romanticism9 (under Verdi’s influence).10 His later work, Madama Butterfly, demonstrates his shift towards exoticism by taking a Far East subject as his central focus.11 These three operas show the stylistic evolution of a composer shifting from verismo to neo-romanticism, then to exoticism. Here, we see Puccini as a composer who constantly sought to progress by exploring new elements in his work. That sense of progression and discovery is one facet, among many others, that keeps the work of Puccini distinctive and fresh to modern audiences. 12

7 Grout & Williams (2003), 603. 8 This idea comes from Kimbell’s “verismo-inspired operas” (1991), 626. 9 Carner suggests a relatively similar point by saying “Tosca was Puccini’s first major attempt to break away from the sentimental tragèdie larmoyante of his two preceding operas and press forward in the direction of something stronger and harder of emotional fibre, something larger-than-life and with a touch of the heroic.” See, Mosco Carner, Giacomo Puccini: Tosca, (New York: Cambridge University Press, 1985), 91-92. 10 Some of the brutal passages are emphasized by strong dynamics, wide ranging leaps, and rapid ascending scales. An example can be found in II/42-43. This passage seems to me to show the influence of Verdi (in particular, the opening of Otello) on Puccini. Verdi had once expressed his interest in the libretto of Tosca and apologized that he was too old to write this opera. Puccini’s desire to compose music for Tosca might have been heightened after learning of Verdi’s enthusiasm for the libretto. See Ashbrook, (1968), 68-69. The comparison of Tosca with Otello has been discussed by Kerman, who suggests that it is pointless to place Tosca in competition with Verdi’s Otello and does not provide much discussion of Puccini’s distinct writing skills. See Joseph Kerman, Opera as Drama (New York: Alfred A. Knopf, 1956), 17-20. 11 In 1890 Puccini informed his brother that he would write an opera about Buddha after Manon Lescaut. For some reason, Puccini never followed through with his plan. See Budden (2002), 92; 184. Clearly, though, Puccini had interest in a Far East subject prior to the composition of Madama Butterfly. Yet, Madama Butterfly shows Puccini’s complete shift into an exotic style. 12 Andrew Davis shows how Puccini’s operas demonstrate modern innovations in formal structure. See his paper “Turandot and the Modern Puccini.” published in Spanish as "Turandot y el Puccini moderno," trans. Anouska Antunez. Yearbook of the ABAO-OLBE (Bilbao: Asociación Bilbaina de Amigos de la Ópera, 2007), 256-61.

71 2. The Story of Tosca

The libretto originates from the play La Tosca written by French writer Victorien Sardou (1831-1908), which Puccini and librettists Giuseppe Giacosa and Luigi Illica adapted for the opera stage.13 The premiere was held in Rome, where the story is set, at the Teatro Costanzi, on January 14, 1900. The initial critical reception was mixed. Yet, its later success at La Scala (Milan), Covent Garden (London) and the Metropolitan Opera (New York) established its reputation. Like many other Puccini’s operas, Tosca continues to play in theaters worldwide.14 The story takes place amongst the political conflict in eighteenth century Rome between the Royalists and the Republicans, who were under the influence of the French Revolution and Napoleon.15 The male lead, Mario Cavaradossi, and his revolutionary partner, Cesare Angelotti, are the Republicans who fight the Royalists. The Royalist, Vitellio Scarpia, is chief of the secret police. Tosca, the diva, shares a mutual love with Cavaradossi and is unaware of the political goings on. Yet Scarpia craves Tosca and threatens to endanger the couple’s relationship. He stirs up Tosca’s suspicions and arrests Cavaradossi as a revolutionary. The political environment, combined with love, suspicion and hatred, builds a chain of dramatic events. Forging a fateful undercurrent is the inevitable trajectory toward each character’s death. Four corpses are arranged in chronological order: Cesare Angelotti commits suicide before Spoletta arrests him; Scarpia is stabbed by Tosca during an attempt to rape her; Cavaradossi is executed, and Tosca, after realizing that Scarpia had lied (he promises Tosca to release Cavaradossi after conducting a fake execution), leaps to her death from the top of the Castle Sant’Angelo.16

13 Carner and Burton provide analysis of Sardou’s play and the opera’s libretto. See Carner (1958), 330-45; Burton (1995), 36-79. 14 Regardless of audiences’ interest in Tosca, it has remained controversial among critics and academics over the past century. For a critical discussion, see Carner (1985), 64-76. See also my footnote 10 in this chapter. 15 www.grovemusic.com (accessed February 2, 2008). 16 For a complete Tosca synopsis, discussion of the diva Tosca from both dramatic and performing perspectives, an introduction to the life of Puccini and the Tosca librettists (Sardou, Illica and Giacosa), please see Douglas Fisher, "Tosca," Lyric Season Companion: 2004/2005 (Chicago: Lyric Opera of Chicago, 2004), 63-73. Thank you to Prof. Fisher for sharing his research on Tosca. For other relevant

72 3. Tosca: Musical and Dramatic Highlights

(1). Dramatic Plot—the Arch Form

Unlike La bohème, where the lower class is reflected through poetic imagery, Tosca is a melodrama. It portrays the story of lovers caught up in revolutionary events through a non-stop chain of dramatic events.17 Puccini and his librettists divided the three acts into a large-scale arch form, as described in the following musical synopsis. Act I builds up the initial tension through an introduction of each character’s personality and his or her relationship to the others. These relationships are shown through their interactions and from their musical motifs.18 For instance, Cavaradossi interacts with Tosca in their initial love scene. They sing a conjunct melody that reveals that they are already in love (Mia gelosa! I/37). The love motif (I/37/13-15)19 returns often, as in Cavaradossi’s “E lucevan le stele,” when the theme refers to the couple and their love. Act II is the most brutal in the opera, where the lives of all the characters become interwoven. The three main characters often play out their conflicts on stage. Tensions accumulate and grow through more and more violent interactions until finally the opera approaches its intense climax, which is the moment Cavaradossi praises the triumph of Napoleon over the Royalists (II/42). At that moment, his death becomes certain, as does Tosca’s.20 The dramatic tension is sustained, then lessens. When Tosca stabs Scarpia at the end of Act II, in the opera’s most brutal scene, the tension immediately dissipates. Death replaces it.

resources, see Julian Budden, Puccini and His Operas, edited by Stanley Sadie, (New York: St. Martin’s Press, 2000), 36-43. For more details on the historical background, Puccini’s writing process, and a brief analytical discussion, see Carner (1958), 330-60; Ashbrook (1968), 66-95; Budden (2002), 181- 222; Phillips-Matz (2002), 106-122. In her dissertation, Burton (1995) provides insight into this opera’s historical background, text, and drama, while providing a thorough analytical examination. 17 Carner takes this point too. See Carner (1958), 333. 18 Carner provides a complete list of leitmotifs in Tosca. See Carner (1985), 22-45; 91-116. Parker also discusses the motifs in Act I. See Roger Parker, “Analysis: Act I in perspective.” This article is one of the collected essays in Carner (1985), 117-48. 19 The first three notes of this love theme appear when Tosca enters the church (I/22/11-13, flute). 20 Clément states that this moment represents Cavaradossi’s death. I agree with her from the dramatic perspective. Yet from a musical perspective, I believe Puccini has already given a hint of this in Act One when Cavaradossi tells Angelotti to save his life. See Clément (1988), 39 and my musical synopsis.

73 Act III is about the lovers’ jubilant reunion. Yet, jubilation lies under the cloud of death, which lends this act a melancholic atmosphere. When death carries the couple away in the end, the lovers find their real judgment before God. The timing of the final scene is the moment before the Roman dawn. Perhaps the implication is that the dawn will wash away the blood and bitterness, leaving the stage with a final, calm peace.

(2). The Deception Motion and Religious Faith21

1). Love and Devotion Clément states that Tosca is the most straightforward heroine among the female leads in Puccini’s operas. “She [Tosca] will make opera within opera from the death of others.”22 But Tosca never intends to do so. In life she is obsessed with Cavaradossi. Clément makes the same point when she writes: “All she [Tosca] wants is Mario, the signifier of her impatience. She spends the entire opera calling him. . . . She calls him from everywhere.”23 Gobbi also suggests that Tosca gives her heart to Cavaradossi with complete innocence.24 Other than that, Tosca cares only for the Madonna.25 Tosca’s entrance music makes it clear that her character is highly religious. In I/22 (“Mario! Mario! Mario! – Son qui!”), right before her initial entrance, she calls Mario from outside in E and F#. The E comes from the home key of the scene, C major. Yet the F# is distantly related to C major, and shows her nervousness. Cavaradossi hastily

21 I take the word “deception” from Carner and Budden who discuss the two-note “deception motif.” See Carner (1985), 40; Budden (2002), 217. 22 Clément (1988), 38. 23 Ibid., 40. 24 Tito Gobbi suggests that, “She [Tosca] is madly in love with Mario Cavaradossi but, completely absorbed in her own happy life….Tosca goes through life thoughtlessly happy with her love and her success.” See, Titto Gobbi, “Interpretation: some reflections.” Giacomo Puccini: Tosca (New York: Cambridge University Press, 1985), 83. 25 There are two works that discuss Puccini’s religious beliefs. One comes from John Louis Digaetani, who states that Puccini asked his librettists to emphasize Tosca’s religious faith. Yet the fact that the faithful Tosca does not get a response from God, may indicate Puccini’s suspicion of religion. I see this scene in a different light, but will discuss my response to Digaetani later in this chapter. The other is Dante del Fiorentino, a priest and Puccini’s friend. He suggests that the sacristan and the altar boy theme come from Puccini’s childhood experience. Overall, Fiorentino’s book puts emphasis on the author’s own belief in the religious side of Puccini (even if Puccini was never a churchgoer). See John Louis Digaetani, “Puccini’s Tosca and the Necessity of Agnosticism.” The Opera Quarterly 2 (1984): 76-84. Dante Del Fiorentino, Immortal Bohemian: An Intimate Memoir of Giacomo Puccini (New York: Prentice-Hall, Inc., 1952).

74 replies to her in D#, enharmonically relating to the Eb borrowed from the parallel minor, but written outside of the C major system. That does not satisfy Tosca (she is still locked out of the church) and her nervousness increases. She then sings Eb, which shows she is trying to bring the enharmonic D# (Cavaradossi’s pitch) back to the diatonic borrowing. The minor coloring reflects her sadness at being kept out by Cavaradossi. Ultimately, the Eb connects to Bb and these two notes repeat three times suggesting a shift to the relative major. When Cavaradossi replies to her again, it is now using Tosca’s Eb, But rather than going to Bb, this Eb goes to Ab instead, at the same time transposing the key to Ab through the use of the customary implied V-I (Eb-Ab). Cavaradossi may feel a need to moderate Tosca’s anxiety through the establishment of the new key, particularly one on the subdominant side.

2). Appearance of the Madonna Tune

Once the door is finally unlocked, Tosca enters angrily to the accompaniment of the Madonna tune (I/25), which washes away the previous anxiety and suggests her religious devotion.26 Still, Tosca suspiciously looks for a rival in love. Cavaradossi pledges his love in this Ab key and her anxiety fades. Through the accompaniment of the Madonna tune played by the orchestra, she offers the Madonna flowers to show her sincere faith (I/26). Her entrance music in I/22 - I/26, clearly shows her character as a jealous lover and religious devotee. Indeed, these scenes provide the initial establishment of her personality that will certainly affect the dramatic happenings to follow.

26 Schuller calls this tune “Devotion.” See Burton (1995), 124.

75 Example 3.1: The abbreviation of Tosca’s entrance scene and Madonna tune 27

3). The Unaware Diva in the Palace The story is set in the historic conflict between Republicans and Royalists; yet Tosca is unaware of her political environment. Cavaradossi speaks of her naïveté in his recitative duet with Angelotti in I/40 (“È buona la mia Tosca”). Musically, the scene pertains to Tosca’s cantata performance in the palace (II/13). Here Tosca sings an upbeat, celebratory song offstage; her invisible singing contrasts with the brutal action onstage, where Scarpia has just arrested Cavaradossi and is interrogating him on the whereabouts of Angelotti. The keys in which the on-stage and off-stage sounds are written quite

27 For more detail, see my musical synopsis.

76 different. Tosca sings her cantata outside of Scarpia’s chamber in the key of a minor, while the music that takes place inside (with Scarpia and Cavaradossi) is written in e minor. This bitonality presents two simultaneous, yet contrasting worlds. However, as the two keys relate by the interval of a perfect 5th (only one sharp apart), the dissonance is minimized. Budden offers a convincing explanation of this scene’s bitonality:

there is no direct clash, since F sharp (x), on which the motif insists, has a place in the ascending scales of both keys; but the double perspective is subtly calculated to reflect the situation: piety behind the scenes, brutality before our eyes.28

Budden’s description points to two connected worlds, linked by the F#. On the other hand, the two keys act as a metaphor for the conflict between two opposing parties— Republican and Royalist, the two contrasting personalities of the male leads— Cavaradossi and Scarpia. Tosca (f#) connects both male leads as they demand her love. A closer musical examination of the pitch material of the two tonal areas reveals additional support for the notion of two contrasting worlds. Tosca’s cantata is written using the melodic minor–a. Thus, it contains the raised 6^ - F#. The brutality of the torture chamber is written in e natural minor, whose structure has no leading tone and no raised

6^, instead using a natural C.29 Both F# and C often occur simultaneously in this scene in order to emphasize the contrast between the on-stage and off-stage musics. This tritone keeps the two opposed musical worlds (invisible cantata singing and visible inquiry)

28 Budden (2002), 212. 29 ^ ^ ^ ^ ^ ^ ^ 1 2 3 4 5 6* 7 am (melodic) a b c d e f# g# em (natural) e f# g a b c d

^ * The 6 in a melodic minor and e natural minor is pitches f# and c, respectively. This is the tritone ^ relationship that reflects the opposing worlds. The 7 (g# and d) in both key systems is also tritone related, but the g# merely appears when it takes a functional leading-tone role. Otherwise, Puccini uses g natural. ^ ^ Thus, the 7 (g# and d) does not play as significant a role as 6 (f# and c) in this cantata performance. Moreover, the cantata imitates a Renaissance style and thus presents a mixture of the dorian mode and minor key structure. (The cantata ends with V/am - i/am - i/d. The progression from V/am – i/am shows the minor structure while the last motion to D shows the Dorian mode.) Another example of this tritone conflict is shown in Tosca’s entrance at the palace in II/15/5. See the musical synopsis for score description.

77 parallel, but never touching; further supporting the dual perspective (as in Budden “piety behind the scenes, brutality before our eyes”) presented in the drama. This scene also presents a poignant irony. Tosca sings to praise the Lord and celebrate the Royalist’s triumph over Napoleon, while her lover is under arrest for being a Republican. The musical irony is suggested by the juxtaposition of the diegetic, yet invisible with the exegetic, yet visualized music of the onstage drama. 30 This irony (from both dramatic and musical perspectives) exposes the innocent character of Tosca; she knows nothing. Even as she becomes involved with the events around her—the revolution or Scarpia’s manipulations—she is never completely aware of her surroundings. Tosca is a diva who is cocooned in a happy life surrounded by love, religion and art.

4). Religious Faith As mentioned previously, the brutality in Act II is rendered through increasingly violent interactions among the three main characters. Clément describes this act as follows:

This is the role of her life as a prima donna. A period of torture, a period of calm. A period of torture, and the open doors let the men’s voices through, Mario screaming in pain, Scarpia in question. A period of calm, the doors close.31

Each period of torture leads to greater brutality and challenges Tosca, who is so used to living on her own stage. Each period of torture is accompanied by a specific motif, as shown in example 3.2.

30 Both diegetic and exegetic are film music terms. Diegetic music refers to music that acts as actual “music” to the characters on screen (or on stage). According to the Grove Music Dictionary, it pertains to that “music contained within the action (known variously as diegetic…[)]” see www.grovemusic.com (accessed March 3, 2008). Diegetic music can be both visible and invisible, as long as the characters are aware of its existence as music. Exegetic (or nondiegetic) music is neither visible nor invisible music. It falls outside of the character’s consciousness and yet it amplifies the mood and the background. For further details, see http://filmsound.org (accessed March 3, 2008). 31 See Clément (1988), 40.

78 Example 3.2: Where is Angelotti? (II/36) – suffer motif 32

Tosca Arch m7 leap

Oct. down

Example 3.2 shows the initial suffering motif in Act II, when Scarpia questions Tosca on Angelotti’s whereabouts. Not wanting to reply to Scarpia, Tosca screams. The ascending and descending stepwise motion creates an arch form in the initial five notes, and its following minor-seventh leap up and octave-leap down emphasizes her lack of control. This arch shape recalls a familiar tune that takes place earlier in Tosca’s entrance, the Madonna tune. Indeed, both openings share an identical contour and intervallic relationship, see example 3.3.

Example 3.3: Madonna and the suffer motifs

Contour: < 0 1 2 1 0 > < 0 1 2 1 0 > < 0 1 2 1 0 >

This similarity shows that Tosca’s scream closely relates to her religious faith in that the Madonna tune is embedded in the structure of her suffering. She does not merely scream to reflect the unendurable violence, but she also asks for salvation from the Madonna during the torture. The suffering tune appears four times in Act II, during each

32 Schuller calls this tune “Anguish.” See Burton (1995), 127.

79 period of torture. It starts from Scarpia’s questioning (ex. 3.2); then again before Cavaradossi is dragged back into the torture chamber; when Scarpia initially shows his lust for Tosca’s body; and, finally, when Tosca screams for help before she sinks to pray to the Madonna in her “Vissi d’arte.” Thus, the appearance of the suffer motif builds a path towards the Madonna where Tosca’s prayer in “Vissi d’arte” presents the tune in a new light.

Example 3.4: Suffering towards Madonna

II/44 – Suffer (Mario! Have piety!) II/48 – Suffer (Scarpia’s lust) Climax in full orchestra Tosca

II/50 – Suffer (Cry for help before prayer) II/52 – Vissi d’’arte (Why does this happen to me?)

orchestra

Tosca

As shown in examples 3.2 and 3.4, we see that the suffering tune is systemized to appear in the alternation of Tosca and the orchestra. First in II/36, Tosca sings the suffering tune to express that she cannot stand the torment any longer. Then it appears in II/44. Prior to II/44, the scene reaches a climax when Cavaradossi alludes to Napoleon’s triumph over the Royalists. Scarpia thus sentences Cavaradossi to death. Here (II/44) the

80 full orchestra plays the suffering tune in loud dynamics that emphasize the expression of Tosca’s pain, and she screams in octave leaps to express her will to go with Cavaradossi. Next in II/48, after she realizes Scarpia’s lust for her, Tosca virtually screams the suffering tune to state that she would rather die than go to bed with Scarpia. In II/50, the orchestra plays the tune to express Tosca’s pain when she screams in octave leaps and asks for help before Scarpia’s attempt to rape her. Yet, realizing she must make a decision to either go to bed with Scarpia or condemn Cavaradossi to death, Tosca sinks, emotionally exhausted, into a posture of prayer. In II/52 “Vissi d’arte,” she prays to understand why these events have come upon her.

5). The Deceptive Motion and Religious Faith “Vissi d’arte” shows the closest relationship between the diva and the Madonna.33 In this aria, the orchestra plays the Madonna tune as the melodic counterpart to accompany the recitative-like melody. This relationship presents a conversational dialogue between Tosca and the Madonna. Tosca repeats her inquiry and ends the aria in a question (“Perchè Signor, perchè me ne rimuneri così?” — “Why Lord, why do you repay me thus?”).34 Musically, it ends on a perfect authentic cadence, presenting an odd dichotomy: the music is forcing the drama to closure, although none is in sight. It is paradoxical, and the scene thus becomes ambiguous as music and drama still seek ways to accord with each other. This paradox approaches its most controversial passage in

II/53/4-9. Here the submediant seventh replaces the tonic to support a 5^ - 1^ melodic motion.35 The replacement with the submediant emphasizes the unrestful and unresolved atmosphere. Tosca is asking Scarpia ”Vedi…” — “Look…”36 and pleading for his mercy. Yet, Scarpia cannot be compassionate, for he has long desired Tosca and had schemed to

33 In Act III Tosca tells Cavaradossi that “Invan, pazza d’orror, alla Madonna mi volsi e ai Santi…” — “In vain, mad with horror, to the Madonna I turned and to the Saints.” Please see my later aria analysis for details regarding her acting out of reality. This, and all the Tosca translations come from Castel. Nico Castel, trans., The Complete Puccini Libretti (Geneseo, N.Y.: Leyerle, 1994), 1: 175. 34 Ibid., 164. 35 Indeed the usage of submediant to support this kind of question can be traced back to Mozart’s Le Nozze di Figaro, where, in the duet between Susanna and the Count, “Curdel! Perchè finora,” the submediant supports the Count’s question “why do you make me suffer?” Thanks to my advisor, Prof. Shaftel, who generously shared his research on Figaro. 36 Castel (1994), 1:165.

81 possess her. The unresolved tones show that both parties cannot come to a satisfactory agreement. When Scarpia speaks again in II/54, he shifts from eb minor to its relative major – Gb. The shifting to the major key shows his dominance, but this is obviously not what Tosca wants. Spoletta interrupts their bargaining and brings them the news pertaining to the death of Angelotti. And this shocks Tosca. Worrying that Cavaradossi will be the next victim, Tosca unwillingly accepts Scarpia when he promises to release Cavaradossi after faking his execution. Spoletta leaves to prepare for Cavaradossi’s mock execution. Triumphantly, Scarpia sings of his achievement—“Tosca, finalmente” — “Tosca finally”37 on pitch Eb of eb minor. This is the moment that Tosca finally gains dominance, as he sings in the key of her prayer aria – eb minor. Indeed, she has been waiting for this moment since her prayer, and, in each of her tortured screams, she has been roaring for the Madonna’s mercy and for this moment to come. Now she becomes the stage actress/diva and departs from reality. She takes the knife and ultimately performs an opera within the opera. Stabbing Scarpia with intense hatred, she screams (II/61) “E ucciso da una donna!…Guardami! Son Tosca!” — “And killed by a woman!...Look at me! I’m Tosca!”38 Musically, winds and strings play the pedal point Ab (II/61/11-II/62/1), which recalls the Madonna tune (I/25), whose key is Ab. Together winds and strings resonate with each other to create an Ab harmony that seems to bring time to a halt as the diva “performs” onstage. It is the diva that stabs the villain, not Floria Tosca, the lover and devoted woman, who never does harm to anyone. The most vivid performance starts from the Ab harmony and ends at the moment after the death of Scapia when the diva unsympathetically says to his corpse “È morto. Or gli perdono!” — “He’s dead. Now I forgive him!”39 The key changes to f# minor and the music sustains f# minor towards the end of Act II, as the orchestra plays the following death tune.40

37 Ibid., 169. 38 Ibid., 170. 39 Ibid. 40 Carner calls this the “murder” tune. See Carner (1985), 40.

82 Table 3.1: The path towards acting out of reality (Tosca)

Key eb – Eb Gb eb* f# Protagonist Four Tosca Scarpia Scarpia Diva – Tosca Scene torture Pray Dominance Rape Scarpia dies Location periods II/51-53 (aria) II/54 II/60 II/63-65 *Tosca gets her dominance here.

Example 3.5: Death tune (II/63)

While the orchestra remains in f#, Tosca sings her final words in C major, recalling the earlier tritone that separated the cantata from reality, and the cruel divide between life and death. Here she takes a final look at Scarpia’s corpse and says, “E avanti a lui tremava tutta Roma!” — “And before him trembled all Rome!”41 Her recitative takes place on a repeating C# while the cello accompanies her with C#. The repeating notes show her heartlessness and appropriately recall the previous scene where Spoletta mutters a Latin prayer: II/38 “Judex ergo cum sedebit, quid quid latet apparebit, nil inultum remanebit.” — “There, when the judge will sit, whatever is hidden will be apparent and will remain so forever.”42

41 Castel (1994), 1:170. 42 Ibid., 155.

83 Example 3.6: Spoletta and Tosca

The reminiscence of the Latin passage delivers religious strength to the diva after she kills Scarpia, and this religious strength authorizes her actions. It also implies that when the diva is performing on stage that whoever gives her pain will be punished. Scarpia, the chair of the secret police in Roma, has power to torture those only in his realm, but not “on the stage.” In the realm of the diva’s stage, all must follow the synopsis created by her will.

84 Musical Synopsis – Tosca43

43 For a description of my Musical Synopsis, please see Chapter 1 (pp. 36-37).

85 86 87 88 89 90 91 92

93 Tosca: “Vissi d’arte”

This aria is distinctive for two reasons. First, it is the diva’s (Tosca) only aria. Musically, it differs from the previous screams and hatred scenes. Here, the tender tones accord with Tosca’s prayer to the Madonna. Secondly, the aria takes place after Scarpia has tormented her under threat of Cavaradossi’s death. Tosca is physically exhausted and is soon to be mentally out of control. This is the turning point. Scarpia waits for her commitment, knowing Tosca has no other option but to succumb to him. Cavaradossi has only one hour to live. Tosca must find a solution, otherwise, her lover will die—or worse, if Scarpia does not keep his promise after possessing her body, she will lose her life along with Cavaradossi. Desperately, she sinks in prayer, asking the Madonna why she has brought her to this ordeal, and she pleads for salvation. The aria starts with a sorrowful eb-minor introduction and shifts to the major mode when the Madonna tune joins Tosca’s singing, implying that the Madonna is listening to Tosca. The aria ends in Eb major. The modal shift from eb to Eb coincides with the retrograde relationship in the ending keys of Acts I and III. The first ends on Eb major, where the chorus and Scarpia sing the Te Deum and Scarpia specifies his desire to possess Tosca. The latter ends on eb minor, where Tosca leaps from the parapet and the musical fragment from Cavaradossi’s “E lucevan le stele ” accompanies her into eternity.

Table 3.2: Key relationship between aria and Acts I & III (Tosca)

“Vissi d'arte” Acts’ Ending Location Start End Act I Act III Key eb Eb Eb eb Drama Pious Character Dialogue with Madonna Scarpia’s Oath Death

1. Structure of “Vissi d’arte”

The aria takes place from II/51/1-II/53/1. Its formal structure portrays a simple ^ ^ ^ plan: “Introduction — A — A’.” Each section contains an identical motion of 5 - 6 - 5 that takes place in the local Urlinie and bass (see below.) The libretto of the introduction

94 establishes Tosca’s pious character. The other two sections pertain to her plea to the Madonna for understanding and salvation.

Table 3.3: The overall structure of “Vissi d’arte”

Section Introduction A A' Location II/51 II/52 II/52 II/53 Measure 1-13 1-12 13-21 1 Key Eb Eb Eb ^ ^ ^ ^ ^ ^ ^ ^ ^ Urlinie 5 - 6 - 5 5 - 6 - 5 5 - 6 - 5 6-5 (V-vi-V) Ursatz (v-VI-v) –V I- (V-vi-V) –I -iii-V I- -ii7-V4-3- I

2. Sectional Detail

(1). Introduction The opening provides valuable insight into Tosca’s character as she sings “Vissi d’arte, vissi d’amore. ” — “I live for art, I live for love.”44 This description accords with previous discussions pertaining to Tosca’s life surrounded by art and love.45 The lyric furthermore expresses her innocence and good intentions, for she never does harm to others and is sympathetic and charitable to the poor. Building upon the libretto’s description of her character, the music emphasizes her piety through a melodic minor octave descent, which suggests her sorrow over unjust treatment. The musical grief contrasts with the innocence that is described in the lyric, ultimately expressing a deep regret for what has been lost.

Example 3.7: Minor octave descent

Vissi d’arte, vissi d’armore.

44 Castel (1994), 1: 164. 45 See the discussion on ‘the Unaware Diva in the Palace’ earlier in Chapter 3.

95 The minor descent reflects that Tosca is desperate with exhaustion, while the lack of a leading tone illuminates that she has nowhere to go. She sinks to her knees to dedicate her song to the Madonna. The harmonic structure in this introduction is based upon two parallel phrases supported by the progression i6 – v – VI – V in both II/51/1-7 and II/51/8-13, respectively. See Figure 3.1. 46

Figure 3.1: Tosca: “Vissi d’arte” (Introduction: II/51/1-13)47

46 For Lyric, see Castel (1994), 1:164 47 Detailed discussion of my linear methodology can be found in the introductory chapter and chapter 1.

96 There is no tonic establishment here. Rather, the harmonic motion focuses on the minor v as it traverses to the VI and then returns to a more normative major dominant. ^ ^ ^ ^ The v supports a local motivic 5 - 6 - 5, where the 6 plays a strictly foreground role. The first 5^ is used to set the words art and love; through the usage of identical scale degrees, both are presented as equally significance in the life of Tosca. Also the semitonal neighbor relationship recalls the long-established sigh, or grief, motive, and in each of its many occurrences in the aria, it recalls the sadness that weighs upon Tosca.

Once the melody travels through the 5^ - 6^ - 5^, the motive shifts to the bass, where the harmony depicts a larger-scale v-VI-V, further emphasizing how Tosca’s character not only lives for art and love but also her grief that the situation has changed.

Harmonically speaking, the VI (6^) in the bass takes a different functional role from the neighbor 6^ in the melody, connecting the minor v and the actual dominant V. Although functionally, the minor v lacks the leading tone and thus requires no resolution, the motion of v-VI produces an ascending chromatic step (Bb-Cb) that implies a deceptive and fundamentally incomplete motion. In the lyrics, the v-VI sets “non feci mai” — “I never harmed a living soul.”48 Like the deceptive motion, this lyric is inconclusive and also requests more explanation to complete its meaning.

(2). The Madonna Tune

The motivic and structural 5^ - 6^ - 5^ in both melody and bass shares some similarities with the Madonna tune (I/25). See Figure 3.2.

48 Ibid.

97

Figure 3.2: Madonna tune (I/25/1-8)

The analytic graph in figure 3.2 shows that the Madonna tune contains the same melodic 5^ - 6^ - 5^ and the stepwise descent to 1^ that follows. This descent is supported by

V7 ^ ^ ^ an underlying harmonic progression of V7-vi – ( V ) – V7 – I. The motion of 5 - 6 - 5, along with the middleground harmonic structure V7— vi –V7, accords with the structure of the introduction of Tosca’s aria. As suggested earlier, this aria presents Tosca’s privileged moment of conversation with the Madonna. Here, the similar structure implies that each of her 5^ - 6^ - 5^ motions (in both melody and harmony) reflects an approach to the Madonna. In addition, through her minor mode sorrow and description of her worthy character in the introduction, Tosca gains the Madonna’s attention and invites the Madonna to join her next melody.

98 (3). A section49

Figure 3.3: Tosca: “Vissi d’arte” (A section: II/52/1-12)

The A section starts on II/52/1. Here the Madonna tune plays a complementary part to the melody. Thus, together with Tosca’s melody, they are engaging in a conversation. It starts with a statement in mm. 1-8 (II/52) and moves to a question in mm. 9-12 (II/52). The initial statement includes the Madonna tune from figure 3.2, which is

49 Ibid.

99 superimposed over Tosca’s 5^-4^-3^-2^-1^ descent. Tosca’s lyric expresses her sincere faith, while the 5^ - 6^ - 5^ (with the abbreviated Madonna melody) suggests that the Madonna is tenderly listening to Tosca. Harmonically, Tosca’s motion from 2^ - 1^ is supported by the V7-vi. This motion takes on an essential function as compared to the introduction where the VI is followed by an immediate arrival on V. Here, as the vi supports Tosca’s initial approach to 1^, it functions as a true deceptive cadence. Indeed the deceptive vi, along with its support of 1^, portrays the functional conclusion in Tosca from both musical and dramatic perspectives. Musically, the cadence of the deceptive ending vividly illustrates Tosca’s current difficulty as her problems are indeed irresolvable. Moreover, this inconclusive cadence demonstrates her inability to gain a perfect solution by herself.

V7 ^ ^

Even the V – V7 – I that follows the vi only supports a tonic prolongation of Tosca 7 - 1, but is functionally used to emphasize the motion of the Madonna’s descent to reach 1^

(from 3^-2^ to 1^). From another perspective, the final approach to 1^ in m. 8 (II/52) from both the Madonna and Tosca shows that only the Madonna can assist Tosca in reaching closure. The passage in II/52/9-12 supports Tosca’s questioning of the Madonna. Here, the motion of 5^ - 6^ - 5^ is supported by a harmonic progression wherein iii moves to an extended V. The ending on the dominant musically reflects Tosca’s question as to why the Madonna would repays her thus, while the motion of 5^ - 6^ - 5^ is the symbol of the Madonna to whom she is speaking. At the same time, as this inquiry appears right after the description of Tosca’s worthy character, it implies not only Tosca’s faith but also her pleading for salvation through this faith.

100 (4). A’ section50

Figure 3.4: Tosca: “Vissi d’arte” (A’ section: II/52/13 to II/53/1)

The structure of the A’ section is almost identical to that of the A section except ^ ^ ^ the V7 in m. 19 (II/52) resolves to a I6 instead of I. Here the melodic motion of 5 - 6 - 5 (supported by I-V7) restates Tosca’s worthy character for she has dedicated jewels and songs to her religion. The V7 moves on to the vi in mm. 18-19 (II/52), creating another deceptive cadence, but this time the deceptive cadence carries a different lyric message: “perchè” – “why.” The appearance of the question along with the deceptive cadence

50 Ibid.

101 confirms the earlier suggestion that this 1^ (in a middle voice) is the most finality that Tosca herself can muster both musically and dramatically (see the earlier discussion on the A section.) The vi goes on to V7 – I6 in mm. 19-20 (II/52) which supports her plea: “Signor” – “Lord,” which is accompanied by an ascending minor 6th leap. Yet, as the tonic chord arrives only in its first inversion, the dominant does not get its proper resolution. The 2^ from the Madonna tune is now overtaken by Tosca’s 5^, while the

Madonna’s 2^ disappears into the inner voice. Now, both 5^ and 1^ belong to Tosca and this suggests that the Madonna tune is gone; Tosca is talking only to herself. ^ The 1 with its inverted tonic support cannot conclude the phrase. It thus moves on to a predominant ii7 in II/52/21, where Tosca sighs. Then she asks her question for the last time, returning to the earlier suffering tune to emphasize her pain: “perchè rimuneri cosi?” — “Why repay me thus?”51 The aria ends on 1^ with a perfect authentic cadence. This cadence again conflicts with the dramatic question, ultimately suggesting that no true closure is possible at this point. The real conclusion, from a lyric standpoint, takes place earlier in the inconclusive deceptive cadence when the Madonna tune was still with her. Thus, the perfect authentic cadence in II/53/I presents merely a forced resolution to show Tosca’s urgency and strong desire to get out of her current difficulty. Indeed, this forced musical resolution creates an apparent contradiction with the drama, and that makes the situation even more uncertain. Moreover, as this contradiction takes place after the Madonna is gone, it demonstrates Tosca’s inability to resolve the problem.

5. The Embedded Structure and the Upcoming Catastrophe

Scarpia, who watches Tosca’s entire prayer, speaks out now on Bb under a supporting Eb chord. See example 3.8.

51 Ibid., 165.

102 Example 3.8: The continuing of Tonic motion – II/53 52

Tosca replies to him on Eb. Their conversation stays on the tonic chord Eb. The use of the Eb chord here demonstrates a continuous motion from the end of Tosca’s aria and places more emphasis on the unresolved issue. Certainly, the Eb chord restates the urgency pertaining to the musical desire for resolution and the dramatic refusal of resolution. The conflict between musical desire and dramatic refusal continues while the mode shifts from major (Eb) to its parallel minor (eb) in II/53/4.

Example 3.9: The deceptive motion and religious faith – II/53 53

52 Ibid. 53 Ibid.

103 The libretto in II/53 shows Tosca’s pleading with Scarpia. Yet, the music describes this situation in a more sophisticated way. Here within this eb-minor section, each of Tosca’s phrases ends with a P5 leap down. This leap expresses a motion of 5^ - 1^ and shows a strong desire for resolution and, perhaps, a request for salvation from the

^ ^ 6 Madonna. Yet, the 5 - 1 is supported by the VI5 chord which substitutes for I by

^ 6 presenting 1 (Eb) in the bass. Functionally, VI5 contains similar components to I, but its agent discharges as in a deceptive motion, recalling Tosca’s deceptive cadences. Both the

5^ - 1^ and the deceptive motion link her religious faith to the deceptive motion. Ultimately, this despair and lack of finality lays the way for the upcoming “performance,” the “acting out” of an unrealistic solution. In II/54, Scarpia speaks in Gb major to show his dominance. From now on, the eb minor is gone and it returns only shortly to II/60 in the moment prior to Tosca’s stabbing of Scarpia. The eb minor in II/60 assists the diva in asserting her dominance over Scarpia as she prepares to “play her role.” (See previous discussion in “The deceptive motion and religious faith”). Yet, there is no resolution in this short eb minor passage; after the completion of Tosca’s aria, the key of eb is never capable of obtaining proper closure. The final return of eb minor occurs in III/41, which is the moment prior to Tosca’s leap from the Castle Sant’Angelo parapet. Here the eb minor is approached by its minor v7 54 chord, which supports Tosca’s “O Scarpia, avanti a Dio!” — “Oh Scarpia, before God!”55 (see example 3.10). The strings accompany Tosca with the musical fragment from Cavaradossi’s “E lucevan le stele.” Recalling her lover, indeed, Tosca’s suicide scene shares an identical harmonic progression (v7-i) with Cavaradossi’s aria (see examples 3.10 and 3.11).

54 This v7 is missing its agent and thus sounds incomplete. Although it can be considered as an implied major dominant, its minor manifestation seems to appropriately weaken its arrival. This viewpoint also accords with the drama, as the protagonists can never find satisfactory solutions, but end their lives in tragedy. 55 Ibid., 184.

104 Example 3.10: Launch from the parapet – III/40/12-III/41/2

Example 3.11: Cavaradossi: “E lucevan le stele” – III/12/2-3

The lack of a leading tone on v in Tosca’s leap and Cavaradossi’s aria recalls the minor v from the introduction of Tosca’s aria, “Vissi d’arte.” Yet, in her aria, the v moves on to the VI –the deceptive resolution— but here it finally achieves closure to tonic. The minor v in these three scenes (Tosca and Cavaradossi’s arias, as well as the end of the opera) foreshadows the protagonists’ fates and acts as a symbol shared by the star- crossed lovers. Its lack of leading-tone resolution mirrors the highly imperfect ends of Tosca and Cavaradossi’s lives together.

105 6. Conclusion

As suggested earlier, Tosca’s character emerges musically in her entrance to the church in Act I, where her interaction with Cavaradossi shows her to be a suspicious lover full of religious faith. Furthermore, her only aria, “Vissi d’arte,” portrays her character through a libretto and supporting music that emphasizes her world of love, art, sincere faith, and good intentions. In addition, the Madonna tune that accompanies her aria leads one to believe that Tosca is truly innocent and sincere. The perfect authentic cadence, along with the dramatic question, poses a fundamental contradiction, and yet also shows that Tosca is incapable of escaping her own fate, for she is never able to approach the perfect authentic cadence without asking for the Madonna’s help. Her repeated deceptive motions reveal that she lives in her own world where she is isolated from most of reality. As Tito Gobbi states: “she [Tosca] is madly in love with Mario Cavaradossi but completely absorbed in her own happy life.”56 Tosca’s lack of awareness certainly has to do with her pure personality and sincere faith. But, it is also related to Cavaradossi, who maintains her innocence by never disturbing her unrealistic world. This is particularly evident from the fact that Cavaradossi keeps knowledge of the revolution and Angelotti from Tosca in Act I. It is obvious that this couple shares a mutual love. Yet, Cavaradossi knows Tosca better than Tosca knows him. She loves him, but aside from suspecting a (non-existent) love rival, she is never aware of aspects of his life, at least the revolutionary part. Cavaradossi loves her but keeps his activities secret from her (with good intentions). This relationship is subtly shown through the harmonic structure of their arias. When Tosca can only reach the deceptive cadence (vi) in her “Vissi d’arte,” it becomes clear that the deceptive cadence is at the edge of her realm of reality (in her world). She cannot go any farther towards reaching a true authentic cadence (the one that represents closure in the world of reality). Puccini treats Cavaradossi quite differently, however. In his “E lucevan le stele,” the VI is a predominant chord, not the goal of a deceptive cadence. His aria includes a long predominant prolongation (II/11-II/13) and,

56 See Titto Gobbi, “Interpretation: some reflections.” Giacomo Puccini: Tosca (New York: Cambridge University Press, 1985), 83. Also, please see footnote 23 for further detail.

106 while some of the predominants veer towards implied dominant chords (like VII or V/III) or even to a local V, these dominant-related chords are part of a larger sequence that ultimately extends the predominant prolongation from a higher structural perspective. In 6 one case, they move to a passing 4 chord, thus delaying resolution, as absolute resolution is avoided in his aria. Indeed, the avoidance of absolute resolution shows that he is a more sophisticated character than Tosca. In addition, the basic motive in his aria is the P4 leap up that suggests a motion from 5^ to 1^, particularly as it occurs at the end of each phrase. Yet none of these is supported by a deceptive cadence.57 Thus, each ascending leap from 5^ to 1^ implies dominant to tonic motion, literally mirroring Tosca’s leaps from

5^ down to 1^ (in II/53). The harmonies in Cavaradossi’s aria never support tonic closure, except, perhaps, from the weak minor v to I (see example 3.11). On the other hand, he seems to be both inventive and subtle in his approaches towards resolution.58 Indeed, as a revolutionary, his political faction comes out on top. Thus, from the harmonic perspective, Cavaradossi seems to be able to manipulate the tonic, and is clearly in control of the couple’s relationship, not Tosca.59 Cavaradossi’s progressions and phrases are far more lengthy than Tosca’s. Her progressions and phrases are foreshortened by the arrival at the deceptive motions. Even her range is cut short by these deceptive arrivals, and she can never achieve an entire octave. Cavaradossi’s much more extensive range includes the command of an entire octave, from tonic to tonic. Thus, his music can contain and go beyond hers. This supports what has been made clear in other ways throughout the opera: their relationship is not built on balanced and mutual ground. Cavaradossi occupies Tosca’s whole life while Tosca does not own the entirety of Cavaradossi’s. To be more precise, Tosca is excluded from a part of Cavaradossi’s life while he is almost the whole of hers.

57 This passage (III/12/10-11) might be seen to include deceptive motion, yet, since it is part of a larger sequential pattern (III/12/10-13), there is no sense of “avoided closure” here. 58 The exception is the ending of his aria, which includes a strong V-I to show how much he loves life. 59 That is also apparent in Tosca’s entrance in Act I. She always needs Cavaradossi to comfort her and he lets her believe that he cares only for her.

107 Example 3.12: Tosca and Cavaradossi

^ Tosca is only able to approach 6.

^ ^ Cavaradossi controls the length of an octave from 1 to 1.

* b minor is enharmonically related to eb minor as vi.

As previously mentioned, both arias use the minor v (or incomplete v). The minor v goes to the (implied) deceptive motion in Tosca but towards tonic closure in Cavaradossi. When Tosca launches herself into eternity at the end of the opera, Cavaradossi’s tune and its harmonic progression of minor v - i accompanies Tosca. This not only suggests that she dies with Cavaradossi, but that Tosca finally enters Cavaradossi’s world through the aid of the v – i motion. After she becomes aware of the real world, she is finally able to enter into the complete world of Cavaradossi, sharing with him in his fate, and taking on an equal relationship with him before God.60

60 In response to the comments on Puccini’s religious life made by John Louis Digaetani, who states that the faithful Tosca does not get a response from God (ft. 10), it is worthwhile to note that Tosca ultimately achieves the Madonna’s plan for her, as she finally is able to properly enter into Cavaradossi’s world and to claim an equal fate.

108 CHAPTER 4

HARMONIC REPRESENTATION OF MADAMA BUTTERFLY (1904)

Madama Butterfly

1. Introduction - the exotic view in Puccini’s time

Madama Butterfly represents Puccini’s final operatic exploration of the Far East (although he was to turn to central Asia in Turandot). It was completed four years after the debut of Tosca. Yet here, unlike in Tosca, the inspiration from Verismo fades. Instead, this opera engages the exotic in an effort to bring Eastern culture into the Western musical world (particularly the Italian musical tradition). Certainly, Puccini is not the first operatic composer who incorporated exotic elements into his operatic composition. Indeed, the use of exotic elements in both operatic music and drama can be traced back to the earliest operas, coming to fruition in such works as Handel’s Belshazzar, where the exotic code is musically portrayed through the Eastern despot;1 Mozart’s Die Entführung, where the music recalls the tropes associated with Near Eastern Islamic culture; Meyerbeer’s L’Africaine, which pertains to the love story between a non-European girl and a Westerner,2 and Verdi’s Aida, whose protagonist is an Egyptian princess.3 These composers, and many others unmentioned here, provide vivid examples of how composers may engage the exotic through music and drama. It may seem that Puccini, like many of his contemporaries, inherited the model for musical

1 This example comes from a talk given by Ralph P. Locke’s at the AMS/SMT 2006 Annual Meeting, where he discussed the extension of musical exoticism from the first paradigm (music that sounds foreign or highly unusual) to the second paradigm (musical codes that vividly depict exotic scenes and characters from drama). “Musical Exoticism: Toward a Second Paradigm,” presented at American Musicological Society and Society of Music Theory Annual Meeting, Los Angeles, CA 2006. 2 This opera deals with a similar subject to Madama Butterfly. 3 Edward Said explores notions of Post-Colonialism in the exotic perspectives of Verdi’s Aida. See Edward W. Said “The Imperial Spectacle (Aida),” Grand Street 6/2 (1987): 82-104.

109 exoticism from his predecessors. Puccini’s exotic perspective is quite different than that of his predecessors, however. The geographic domain of exoticism expanded during the spread of colonialism in Western society. In the eighteenth century, Near Eastern countries such as Turkey, or Middle Eastern nations such as Egypt, were the main locus of exoticist fantasy for Westerners. In the late nineteenth century, the sites of interest shifted to the Far East. The Paris Exposition Universelle of 1867 introduced aesthetic works from Japan and China that impressed Europeans.4 In Japan, intercultural exchanges between West and East were also taking place. During the period of the Meiji Restoration (1868-1912), the image of the West was synonymous with notions of the New World Order in which Japan was encouraged to play a part. The introduction of western music to Japan at the time resulted in a surprising westernization of Japanese music.5 Thus, from a cosmopolitan perspective, the late nineteenth century saw the initial establishment of a new kind of intercultural transmission6 between the West and the Far East (to Japan first and later to China and Korea).

Puccini’s Madama Butterfly represents one of the most successful productions (among many others) to explore this aesthetic trend from the perspective of modern cosmopolitanism. Puccini introduced his Western audiences to Japanese culture and music through a distinctly western lens. Yet, as the westernization of music in the Far East was taking place, Madama Butterfly represented and introduced the Italian operatic tradition to Far Eastern audiences. Moreover, Japanese folk tunes and melodies that were inspired by Puccini’s imagined Japan are spread throughout the opera. They coexist with the Western tonal language and, in so doing, recall French Impressionism. Ultimately the exoticist aspects of Madama Butterly successfully present the concepts of the “other” and

4 See Budden (2002), 229. The 1889 and 1990 Exposition Universelle introduced composers such as Debussy to Balinese, Javanese, Chinese and Japanese music. 5 See Yayoi Uno Everett and Frederick Lau, eds. Locating East Asia in Western Art Music (Middletown, CT: Wesleyan University Press, 2004), xvi. This book is a collection of essays that center on the intercultural fusion of postwar Eastern and Western music. Also see Robert C. Provine, Yosihiko Tokumaru, and J. Wawrence Wistzleben, eds. “East Asia: China, Japan, and Korea,” The Garland Encyclopedia of World Music, vol. 7 (New York: Garland Pub., 2002), 533-65. 6 In the thirteenth century, Marco Polo and his The Travels of Marco Polo presented the earliest known cultural exchange between the West and Far East. In the seventeenth century, Western missionaries came to the Far East to advocate Western culture and music for missionary purposes. These are examples of early cultural transmissions that represent only the interests of a small group in discovering and exploring the less familiar side of the world. The major intercultural transmissions between West and Far East took place in the late nineteenth century.

110 the “foreigner” to its audiences of various nationalities (including Italian, Japanese, and American.) Puccini’s ability to engage and bring these new Eastern-inspired ideas to traditional Italian opera allowed him to show his contemporaries that it was possible for the Italian musical language to incorporate worldwide subjects into its grand tradition.7 In another way, as the “global village” becomes a household notion (enabled by the development of internet communication), operas such as Puccini’s Madama Butterfly and Turandot establish a model of cultural fusion for others to follow. Puccini’s works present a successful paradigm for bridging the gaps between Far Eastern and Western cultures.

2. The Story of Madama Butterfly

The story originates from John Luther Long, an American lawyer and writer. It was published in 1898 and adapted into a play of the same title by David Belasco. Long claims the story was taken from a true historical event. Yet, many of the scenes are modeled on Pierre Loti’s novel, Madame Chrysanthème (1887), that covered the same subject.8 The story takes place in Nagasaki, Japan, and depicts a love affair between an American naval lieutenant, B. F. Pinkerton, and a Japanese geisha, Butterfly (Cho-Cho- San).9 Pinkerton, the male lead, desires a temporary matrimonial arrangement in Japan. Through a Japanese marriage broker, Goro, he weds the geisha, Butterfly, and believes that in spite of the validity of this foreign marriage, Japanese law gives him the liberty to abandon the spousal relationship at any time. Thus, he plans to marry an American girl as

7 Puccini’s initial inspiration for Madama Butterfly came from his visit to London, where he attended the opening night performance of Tosca as well as David Belasco’s play Madam Butterfly. Puccini himself knew no English but was fascinated by the visual stimulus of Belasco’s play. Returning to Italy, he requested permission to use the story and collaborated with his librettists Illica and Giacosa to adapt the play for the opera stage. Perhaps it can be said that Puccini’s response to the visual images of Belasco’s play inspired his creation of the opera. His subsequent production of The Girl of the Golden West (La fanciulla del West) also came from a Belasco-inspired theatrical production. Yet, it was also Puccini’s interest in diverse topics that led to his writing Madama Butterfly and Turandot. See Phillips-Matz (2002), 151. 8 Loti’s novel is based on his experience in Japan where he saw foreigners temporarily married to Japanese and the matrimonial relationship expired by the time the husbands left the country. See Carner (1958), 261- 63. See also Budden (2002), 229; Phillips-Matz (2002), 124. 9 Cho-Cho means Butterfly in Japanese. See Budden (2002), 230.

111 a “real” wife upon his return to his own country. Butterfly, the female lead, believes their wedding oath is valid by American law in spite of the fact that the ceremony takes place in Japan. She is never aware of Pinkerton’s motivation. Later, according to plan, Pinkerton leaves Butterfly. Yet, before he leaves, he promises her that he will return by the time the robins build their nests. Butterfly holds onto his words and constantly watches for spring, when the robins nest. Three years pass and the robins still do not bring Pinkerton back. Butterfly remains faithful to Pinkerton and doubts the seasons, believing that robins build their nests in Japan differently than in America and that is the reason for the delay in Pinkerton’s homecoming. During this time, Goro, the marriage broker, suggests that Butterfly should make another marriage arrangement. The American consul Sharpless, a friend of Pinkerton’s, encourages her to accept a proposal from Prince Yamadori. Butterfly rejects all these proposals. She bears a son by Pinkerton and pleads with Sharpless to bring Pinkerton back to Japan. But when Pinkerton returns, he comes with his American wife, Kate. When Pinkerton arrives at the home, it is to take his son with him. Realizing her American dream will never be fulfilled, Butterfly allows her son to give up his Japanese identity honorably by committing hara-kiri. The premiere took place on 17 February 1904 at La Scala. The audience’s reaction resulted in a historic fiasco.10 Most of the critiques were extremely harsh.11 Yet, like many of Puccini’s operas, Madama Butterfly was soon transformed into a triumph. As with all his operas, Puccini revised Madama Butterfly several times, each time improving its reception. It is now the fourth revision that is typically performed.12 Madama Butterfly is currently one of the primary pillars of the operatic repertoire. It is so iconic that the Broadway musical Miss Saigon was directly derived from Puccini’s

10 For a detailed description of the audience’s reception to the opera at its La Scala opening, see Ashbrook (1968), 95-110. Other relevant resources can also be found in Budden (2002), 223-43; Philips-Matz (2002), 142-55. 11 For details pertaining to the initial dreadful reception and its later success, see Mosco Carner. Madam Butterfly: A Guide to the Opera. (London: Breslich & Foss, 1979), 10-21. Phillips-Matz (2002), 143-45; 151-55. 12 For detailed descriptions of musical materials added to or dropped from each revision, see Carner (1979), 68-86; Budden (2002), 223-273; Ashbrook (1968), 110-24. Also, some of Puccini’s letters to Toscanini discuss changes of scenes. See Phillips-Matz (2002), 151-55.

112 work,13 and Madama Butterfly is still one of the most frequently produced operas on stages around the world.14

3. Style – Mixing the Diatonic with the Exotic

(1). Yin and Yang The musical style of Madama Butterfly differs from previous operas in that it incorporates Japanese Yin and Yang scales (and their saturation with perfect 5ths)15 to produce the atmospheric effects of Puccini’s envisioning of Japan. These Yin and Yang scales are listed in the following.16

13 See Phillips-Matz (2002), 124. The musical Miss Saigon won the 1991 Tony Award and is still performed in theaters worldwide. See http://broadwaymusicalhome.com/shows/misssaigon.htm (accessed March 19, 2008). 14 It was one of the most frequently produced operas in North America in 2006-2007, see http://www.operaamerica.org/pressroom/quickfacts2006.html (accessed March 19, 2008). 15 While these are common Japanese scales, I drew them directly from Ichikawa Toshiharu. Ying and Yang Scales. Music for Junior High School Students 1 (Tokyo: Kyoiku Geijutsu Shuppan, 2001), 74. Also, the Japanese Yang scale is identical to the so-called Pentatonic scale in Chinese music. I use Yang instead of pentatonic here to specify the Japanese system. 16 In order to show the components of Yin and Yang scales and their relationship to diatonicism, I apply set class labels and their super/sub-set relations as an ancillary analytic tool here. Obviously, only a few SC are actually involved in the discussion (listed below). This small excursion into set class demonstrates the link between Japanese scales, the Western diatonic scale, and French Impressionistic sonorities; it thus helps to demonstrate how these sonorities coexist side by side and are interrelated in the musical structure. The SC name and the interval vectors for the most frequently appearing collections are listed below. Notice: (1). The collection represented in the Yin scale contains two interval-class 1s (m2) and 1 interval-class 6 (A4/D5); (2). The Yang scale contains no interval-class 1 (m2) and no interval-class 6 (A4/D5); (3). A comparison of the interval vectors of the Yin and Yang scales shows that Yin includes more dissonant intervals than Yang. (4). The Yang scale’s SC 5-35 is complement related to the diatonic collection SC 7- 35; (5). The Yang scale SC 5-35 is a subset of the extended Yang scale, which is saturated with 5ths (SC 6- 32); (6). These three SCs—5-35, 6-32 and 7-35—show strong diatonic characteristics and are closely related. (7). As Yang is closely related to the diatonic and Yin is quite unique, it can be said that Yin represents Japan more distinctly than does Yang. Also, when discussing the French impressionists, one must refer to Debussy who was a major influence for most composers around Puccini’s time. Michael Safflee uses an Impressionist model to discuss the exotic harmony in Puccini’s La fanciulla del West and Turandot. See Michael Saffle, “Exotic Harmony in La fanciulla del West and Turandot,” ed., Jürgen Maehder, 119-30. Proceedings of the Prima Convegna Internazionale sull’opera di Giacomo Puccini in Torre del Lago, Italy. Pisa: Giardini, 1983. Debussy’s “La fille aux cheveux de lin” includes the frequent interaction of SC’s 5-35, 6-32 and 7-35. Thus, it is clear that these three set classes are also indicative of Debussy’s impressionistic style. Perhaps Puccini received inspiration from Debussy and applied these sonorities into his own compositions.

Location Scale/triad SC Interval Vector Yin scale 5-20 (01568) 211231 Yang scale 5-35 (02479) 032140 Extended Yin (saturated with 5ths) 6-Z25 (013568) 233241 Japan Extended Yang (saturated with 5ths) 6-32 (024579) 143250

113 Example 4.1: Yin scale saturated with 5ths

Example 4.2: Yang scale and its extended version (saturated with 5ths)

(2). Exotic Melodies Puccini uses the American National Anthem, “The Star-Spangled Banner,” to link Pinkerton to America. Other melodies used for Pinkerton and Sharpless are based on western diatonic writing. Meanwhile, Butterfly and instances of local Japanese color are mostly associated with the Japanese National Anthem and Japanese folk-tunes that are set with Yin and Yang scales. A majority of the Japanese folk-tunes that Puccini adopted are listed in example 4.3. Scrutinizing the structure of these Japanese folk-tunes, it is apparent that they are derived from the Yin and Yang systems. 17

Western Diatonic scale 7-35 (013568T) 254361 Aug. triad 3-12 (048) 000300 French Whole tone scale 6-35 (02468T) 060603 Impressionist Octatonic scale 8-28 (0134679T) 448444 For more on atonal theory, see Joseph N. Straus, Introduction to Post-Tonal Theory, 2nd Ed. (New Jersey: Prentice Hall, 2000). 17 Japanese folk-tunes No. 1 – 8 derive from Keizo Horiuchi’s study. See his Madama Butterfly (Tokyo: Ongaku-no-tomosha, 1979), 10-11. No. 9 is taken from Carner (1936), 52. Each tune cited here shows the

114 Example 4.3: Japanese folk-tunes

portion that Puccini uses for the opera but not the entire length of the piece. Besides, within these nine ^ tunes, No. 1-8 show the actual Japanese Yin/Yang system. No. 9 is an exception as it contains a 4. ^ Although the 4 here acts as a non-functional passing tone, its existence invalidates the Yang system. Thus, No. 9 excludes SC description, but it should be known that it relates to a Yang scale. Moreover, the three songs that are based on the Yin scale (No. 1, 3, and 4) mostly take place in Act I, where Pinkerton is in Japan. The emphasis on Yin structure in Act I distinguishes the national identities of America and Japan in the two lead characters. This is due to the fact that from a SC perspective the Yin scale is quite distinct from the diatonic system. The Yang structure folk tunes often take place in Act II, Parts I and II, in which Pinkerton is absent (he appears in Act II, part II only). The Yang scale is much closer to the diatonic scale and thus represents Butterfly’s “American” influenced after the departure of Pinkerton.

115 Example 4.3 - Continued

(3). Impressionist Harmony and Other Unconventional Harmonic Configurations From the harmonic perspective, a Western diatonic treatment serves as the fundamental support for the “exotic” sounds of the Japanese folk-tunes and Puccini’s manufactured “Japanese” melodies. The tonal language is not limited to typical

116 convention, however. Rather, it is modified to make room for French impressionist harmonies to play a part. Certainly impressionist influences consistently appeared in Puccini’s musical writing prior to Madama Butterfly; yet, the impressionist harmony plays an even more significant role than in the earlier operas, and Puccini often uses it to express dramatic meaning. For instance, the whole tonal collection depicts the highly charged moment when uncle Bonzo angrily leaves Butterfly’s house with the chorus echoing his departure (I/09/1).18 This tune mirrors the negative dynamic of the scene and continues to hold that connotation when it recurs later.

Example 4.4: Whole tone collection 19

Moreover, the impressionist harmony combines with conventional diatonic harmony to create a dreamy atmosphere as in the scene of Butterfly’s entrance (I/39). In addition to incorporating impressionist elements, Puccini modifies the diatonic language by adding extra notes to tonal triads in order to better reflect the dramatic needs of the story. For instance, dominant often resolves to a tonic with an added sixth (henceforth, I+6) to weaken the sense of closer and create an extra degree of voice-leading smoothness.20 Act I, for instance, ends on a I+6, ultimately pointing towards Butterfly’s eventual tragedy. As Carner states: “the curtain descending on a chord [I+6] sounds less like a conclusion than a question to which the future will provide the answer.”21 Puccini also uses the I+6 to close Act II, part 2. The inconclusive ending is reminiscent of the tragedy found throughout the opera. It foreshadows Butterfly’s isolation from others and builds to her death, although the hara-kiri suicide does not seem to be the conclusion of

18 See musical synopsis for details. 19 Budden calls it the “rejection” motif. See Budden (2002), 255. 20 This type of harmonic progression often occurs in Jazz to create a smooth connection and avoid an absolute ending. 21 Carner (1979), 56.

117 her story. Instead, it represents a necessary step in her life. She realizes her Japanese identity cannot be eliminated, but through her hands she can help her son to give it away. Indeed, it is only her death that allows her son to relinquish his Japanese identity. On the other hand, although Butterfly enters into the unknown, she seems to continue to live through her, now thoroughly American, son.22

(4). The Coexistence of Japanese and Western Melodies Japanese folksongs and Western diatonic melodies often coexist side by side to portray the two distinct cultures. One such example is in II/33, when Butterfly describes the difference between Japanese and American laws, while the audience hears alternating tunes from both countries’ national anthems. On one hand, Puccini’s musical writing subtly connects two distinct, but related melodies (diatonic and Japanese melodies). On the other hand, since the two melodies never merge and are associated with distinct national identities (western diatonicism and Japanese folk-tunes), the message is conveyed that the two cultures are incapable of blending. This coexistence subtly illustrates the relationship between the male and female leads. Butterfly is willing to give up her Japanese identity to become an American (that is, the Yin and Yang melodies can be supported by diatonicism). She fails because she does not realize that her Japanese heritage is immutable. Unless she accepts her own identity and position in relation to the American (so that Yin and Yang can fuse with diatonicism), she can only live in her imaginary American world; she will be an outsider to both cultural groups. Yet, Butterfly does not know this at the beginning of her relationship with Pinkerton. Blindly, she puts all her hopes in him (the foreigner as represented by diatonicism) and believes he will transform her Japanese identity and accept her without reservation. However, Pinkerton is never aware of Butterfly’s intention. His tune is full of diatonicism and excludes the Japanese scales, since Pinkerton’s acquaintance with Butterfly, and the Japanese culture she represents, is merely a surface knowledge and, in any event, his relationship to her is only valid during the period of their marriage contract. Indeed, according to the

22 The deaths of three female Puccini leads, from Mimì and Tosca to Butterfly, represent different thematic meanings. Mimì dies with an octave descent that takes place before the opera ends. Her early death signifies that she is somehow a feminine image that is projected by Rodolfo. Tosca dies with a v-i cadence, and joins Cavaradossi with finality. Only Butterfly’s death is represented by the inconclusive I+6.

118 conventions for this type of marriage, Pinkerton is right to assume that Butterfly understands that the matrimonial relationship will end by the time he returns to America. He has no desire to be Butterfly’s rescuer or to play a part in Japanese society. The coexistence of the two types of distinctive music makes this point clear.

4. The Inside Outsider

Carner has stated that for Butterfly “The catastrophe is the inevitable corollary of the geisha’s character; because she is what she is, she cannot act otherwise than she does.”23 Carner’s words leave room for discussion as, to a certain extent, the character of the geisha is not a fixed entity. It is true that Butterfly’s resistance to her role as a geisha causes a catastrophe, but Butterfly herself does not wish to be a geisha.24 She realizes this and attempts to pursue a better life, demonstrating that Butterfly possesses a strength of character that distinguishes her from Puccini’s other heroines.25 However, life does not offer her better choices. At first, it is Butterfly who does not recognize her own identity, and her desire to become a member of the “other” causes her initial injury. From that point on, however, the unfolding of the tragedy is inevitable.26 Scrutinizing what life offers her, returning to being a geisha or accepting Yamadori’s proposal will lead to predictable tragedies. Only Pinkerton, the idealized symbol of the American, brings her hope (this also shows the exotic trend of the time in that the “others,” such as Pinkerton, represent fanciful adventure and escape from an undesired existence). In this regard, Butterfly’s choices are understandable; yet, she puts her faith in the wrong person. Pinkerton certainly represents no better salvation than Yamadori. His Western, easy-going manner is misinterpreted by Butterfly, because such

23 Carner (1958), 366. 24 The lyric in I/45 is “e abbiam fatto la ghescia per sostentarci. Vero?” — “and we worked as geishas to support ourselves. True?” Castel (1994), 1:307. 25 For instance, Mimì has no distinct identity but represents a particular image of the feminine. Tosca lives in naïve bliss and knows nothing beyond the borders of her world. Only Butterfly aggressively pursues her desires and, failing in that pursuit, she dies. 26 Carner provides a good description of Butterfly’s tragedy by stating that “Butterfly has no real antagonists: Pinkerton is no more than a catalyst to set the tragedy in motion, and the remaining characters are satellites revolving round Butterfly’s planet—lay figures who serve only to intensify the tense, quivering humanity of the little heroine” see Carner (1958), 366.

119 a manner is not customary in her native surroundings.27 She thus puts her full trust in Pinkerton and believes he will repay her in an equal manner. It is ultimately her realization of her mistake and her hope for a better life for her son that causes her to take on another unknown—death. It thus becomes clear that the character of Butterfly will not follow convention. This strength of character distinguishes her from other feminine characters in Puccini (and elsewhere) and identifies her as the “inside outsider” of her world. Butterfly is musically characterized in three stages (Blind Bride, Japanese identity, and Death) vividly portraying her internal drama and showing her status as an outsider from different perspectives. It starts with her status as a child-like bride at her entrance in Act I. Contrasted with Pinkerton’s rationality and the Japanese surroundings, Butterfly already appears to be an outsider at her wedding. “Un bel dì” (II.1/12) reveals her to be unconsciously holding on to her inherent Japanese identity after three years of marriage to her white husband. Here she becomes an outsider to her own true identity. Finally, she cannot resist her own identity in life, but in killing herself, she not only is able to abolish her Japanese identity, but also she releases her son to be an American: “Tu? Piccolo Iddio!” (II.2/53). Ironically, she is most Japanese in the chosen method of her suicide; she is, for once, an insider.

(1). The Out-of-Place Bride The three sequential passages in Act I—Butterfly’s entrance, Pinkerton’s delight after matrimony, and the couple’s duet in the yard vividly project the blindness that seeds Butterfly’s catastrophe.

1). Butterfly’s entrance in I/39 – an out-of-place sequence This entrance is a sequential passage sung by Butterfly and the chorus. The harmonies demonstrate the Impressionist influence in the whole tone scale, which serves

27 See scenes I/111 and I/126 where Pinkerton soothes the sorrow caused by her family, and Butterfly tells Pinkerton that she is attracted by his open manner. These scenes show how it is that Butterfly would misunderstand Pinkerton. Even if her Japanese compatriots had warned her that Pinkerton was insincere, his respectful behavior and his Western identity (the “other”) makes Butterfly trust him.

120 as the underlying collection here. The underlying bass is an ascending stepwise whole- tone scale wherein each step supports a major triad.28 Between each major triad, Puccini inserts an augmented triad to support semitonal voice leading in the inner voices. The augmented triads act as a vertical link to the whole-tone scale in the bass, ultimately producing a dream-like atmosphere reflecting Butterfly’s misguided naïveté.29 The libretto adds to the dreamy atmosphere, with Butterfly describing herself as the happiest girl in Japan.

Example 4.5: Butterfly’s dream-like entrance

2). Pinkerton’s matrimonial joy – a diatonic sequence Pinkerton’s music also employs a sequence directly after the marriage (I/92/14- 24). It differs from Butterfly’s dreamy whole-tone music, but reflecting Pinkerton’s rationalism in conventional diatonicism.

28 Puccini had attended the performance of Debussy’s Pelléas et Mélisande at the Opéra Comique in Paris in 1903. Puccini may have been influenced by Debussy’s use of tone color and harmony. He may have consequently applied Debussy’s stylistic mannerisms to Madama Butterfly. See Ashbrook (1968), 122. 29 The SC of a French-augmented-sixth chord is (0246), which is also a highly symmetrical subset of the whole-tone scale.

121 Example 4.6: Pinkerton’s diatonic sequence

This sequence occurs within two parallel melodic phrases that are related by a major 3rd. Harmonically, each articulates a typical falling 5th pattern. The typical harmonic treatment demonstrates that Pinkerton’s marriage will not disrupt his Western routine and identity.

3). Butterfly and Pinkerton’s duet – a recurrence of Butterfly’s dream Butterfly’s whole-tone sequence returns in I/134/1-8, where she takes over the main melody to describe her ecstasy in looking at the sky, while Pinkerton ardently calls her to join him. The scene is mostly sung by Butterfly, for the role of Pinkerton here is no more than a catalyst to set her dream into motion. He excludes himself from Butterfly’s ecstasy, only joining her at the end of the whole tone scale, in F. From that point, diatonic harmony replaces the whole tone sonorities and both leads sing of their delight in being a couple. The return of the diatonicism clarifies that Pinkerton never intends to become a member of Butterfly’s impressionistic dream. He lets Butterfly touch upon his diatonic world and yet remains outside of Butterfly’s. This musical juxtaposition of Butterfly’s

122 ecstasy with Pinkerton’s diatonic rationality signals the heroine’s initial departure from reality, and it is this forced separation from the realities of Japanese identity that constitutes the focus of the remainder of the opera.

Example 4.7: Butterfly and Pinkerton’s duet

(2). Considerations of identity The tragedy unfolds in Act II. Here Butterfly believes herself to be American. She calls herself “an American wife” and her house an “American home where Jesus is adored.” Puccini’s music, however, demonstrates that she cannot completely reject her Japanese identity. Her music in Act II is particularly noteworthy in this respect. In the aria “Un bel dì” (II.1/12), the Yin and Yang scales subtly control the melodic structure.30 The Japanese folk tune, Suiryo-bushi (No.8), serves as the basis for “Che tua madre” (II.1/55), revealing Butterfly’s inescapable Japanese identity. Even if Butterfly considers herself to be American, she remains fundamentally Japanese. Indeed, she can never achieve the wished-for American identity or even a fusion of Japanese and American’s identities. Her American identity can be seen as pure fantasy, a dream conjured from fervently Japanese wishes. The only moment in which Butterfly makes a successful attempt at a Western tune takes place in the “Tu? Piccolo Iddio!” (II.2/53) Here, she expresses her anguish through b-harmonic minor with chromatic embellishments. This is the moment that she

30 See later aria analysis for details.

123 realizes that she cannot escape her Japanese identity in real life. Yet, she understands that through her own death she can free her son of his Japanese identity. The opera ends with the recurring Japanese folk tune (No.8) to accompany Butterfly’s suicide. In the deepest of tragic ironies, the moment in which she finally kills her identity is also the moment in which she is most identified as Japanese. The falling curtain goes beyond marking the end of the opera to demonstrate how Butterfly and her son are no longer tied to a Japanese identity, but are now free to enter into the unknown.

124 Musical Synopsis – Madama Butterfly31

31 For a description of my Musical Synopsis, please see Chapter 1 (pp. 36-37).

125 126 127 128 129 130 131 132 133 134

135 Butterfly: “Un bel dì”

As mentioned earlier, Butterfly is a uniquely tragic heroine who continuously stands center stage as she follows her inevitable path toward catastrophe. From scene to scene, she and her supporting characters participate in this slow but unflappable trajectory. The causes are many, one of the major ones being her attempt to abandon her inherent Japanese identity,32 shown by her acceptance of an intercultural marriage with Pinkerton and her conversion to Christianity before the wedding ceremony. Butterfly is faithful to Pinkerton and believes that by being his wife she will successfully transform her Japanese identity into an American one. This does not, of course, coincide with reality. Pinkerton never considers her to be a real American wife. Others still see past the “Americanized” façade and recognize her as a Japanese woman; even before the wedding they all predict Butterfly will soon be abandoned. The marriage only gives Butterfly an excuse to isolate herself as she observes those who are peripheral to her dream. Her strong desire to become a member of the “others” is incomprehensible to her fellow Japanese.33 It is this longing for “other” status, however, that is the critical instigator of her departure from reality. As Clément points out, from the moment of the wedding scene it is clear that there is “some curse surrounding her.”34 The curse is the blindness that keeps her in her hypothetical world. Despite the intercultural marriage, Butterfly is never able to abandon her Japanese identity, instead, she remains in an uncomfortable musical and dramatic limbo between the Japanese world and her imagined America. The juxtapositions of Japanese identity and the American fantasy are musically displayed in the structure of Butterfly’s aria “Un bel dì.” The aria takes place at the beginning of Part I, Act II. At this moment, Pinkerton

32 There are some other factors that lead to Butterfly’s catastrophe, such as her anomalous faith in Pinkerton. As Ashbrook has stated “...Butterfly’s tragedy is not just that she is Pinkerton’s victim; rather, her faithfulness is an anomaly even in her own culture. Her attitude is incomprehensible to Goro and to Yamadori” (1968), 117. From my perspective, Butterfly’s faithfulness to Pinkerton has to do with the fact that she misunderstands Pinkerton’s Western motivations and misinterprets his intentions. She sees him as the rescuer that will help her escape her Japanese identity. Unlike Goro and Yamadori, who understand Pinkerton’s unfortunate motives, Butterfly blindly believes her marriage with Pinkerton is valid. She remains faithful to her real husband and she instructs others to call her Madama Pinkerton. 33 It seems likely that her poor family and role as a geisha cause her desire to be a member of the “others,” and hypothetical notion is in no way explored explicitly in the opera. 34 See Clément (1988), 45.

136 has been gone for three years and it does not appear that he will return. Suzuki worries about their financial position, but Butterfly insists Pinkerton will return soon. The libretto portrays Butterfly’s fantasy pertaining to her first meeting with Pinkerton after three years apart.35 The music reveals the coexistence of Japanese and diatonic components and displays that Butterfly’s imaginary American world has been created by a Japanese fantasy. It clarifies that she has never given up her Japanese identity as she has wished. This aria sheds light on Puccini’s craftsmanship in modifying Japanese musical style and blending it with the Western diatonic. The distinctive Japanese sound intelligibly portrays how Butterfly, after she has claimed herself to be Madama Pinkerton, retains her Japanese character. She does not become an American after all.

1. Structure of “Un bel dì”

The formal structure of this aria follows a rondo-type scheme “A—Trans.—B— Trans.—B’—A—C—A.” The A section starts in Gb, then moves to f minor in the B and B’ sections, and returns to Gb in A-C-A. Within this key relationship, the fundamental line depicts an unusual double neighbor motion where the tonic functions as a relatively static primary tone that only shifts to the 1^ and 3^ of f minor (also indicated as 7^ and 2^ in

Gb major) and returns to the 1^ in Gb major. Sections in Gb major typically employ diatonic melodies, while sections in f minor (also vii in Gb) cling to the Japanese Yin and Yang system. On the deeper levels, this key relation portrays a motion of I-vii-I in Gb, mirroring the relationship between the ”American” (diatonic) outer major sections (beginning and ending) as they are somehow created by Butterfly’s Japanese fantasy. In the meantime, the interior minor sections (the middle) show the world of Japan (with Yin and Yang) that confirms Butterfly’s inherently Japanese character. This juxtaposition metaphorically relates to Butterfly. She wears the title of wife of an American, lives in what she calls an American house; yet, inside she still adheres to her Japanese character. Because each section varies in the degree to which it explores the Japanese components,

35 For translations, see Castel (1994), 1:333-34.

137 the aria reveals that the Japanese lies behind all of the music, showing how Butterfly employs Japanese fantasy to invent Pinkerton’s homecoming scene.

Table 4.1: The overall structure of “Un bel dì”

Sections A Trans. B Trans. B’ A C A Location II.1/12 II.1/12 II.1/13 II.1/13 II.1/14 II.1/15 II.1/15 II.1/16 Measures 1-8 9-18 1-12 13-18 1-11 1-8 9-13 1-9 Key Gb Gb-f f f f Gb Gb Gb ^ ^ ^ ^ ^ ^ Urlinie (Gb) 1 7 2 1 1 (Nature) 1 Ursatz I III-vii vii vii vii I VI I Japanese Yang with Yang with Japanese Yang with Component saturated 5th Yin Yang Yang Yang saturated 5th Interval saturated 5th

2. Sectional Detail

(1). A section

Figure 4.1: Butterfly: “Un bel dì” (A section: II.1/12/1-8)36

36 Detailed discussion of my linear methodology can be found in the introductory chapter and chapter 1.

138 From a deeper structural perspective, the initial eight measures (II.1/12/1-8) firmly establish the Gb tonic key with the harmonies I-vi-V-V7-I. This well-constructed progression affirms Butterfly’s belief that Pinkerton will return. This harmonic progression supports a tonic octave descent in melody. This tonic octave descent subtly paints the text that describes Butterfly standing on the top of the hill and looking down to the Nagasaki harbor. From the sea edge, the rising smoke appears on the horizon. A ship appears and is approaching the harbor. Slowly and gradually, the ship gets closer. It is Pinkerton’s ship. He is back to Japan. Not only will the ship gradually progress closer, but Butterfly’s “American” heart will slowly descend to greet her husband. ^ The octave descent includes a weak 4, located in the bass (II.1/12/5), where the

6 ^ local harmonic motion is a passing 4 moving to a viiø7. The placement of 4 in the bass opens a melodic space for the melody of the Yang scale (saturated with 5ths) to be inserted into this diatonic realm. The coexistence of the weak 4^ and the Yang scale subtly divides the realms of America and Japan, as located in the two respective registers. In one way, they constrain themselves, staying in their own space and not interacting with each other. In another way, the insertion of the Yang here reminds us of Butterfly’s inherent Japanese character.37 The 5th-saturated Yang scale ends on m. 6 (II.1/12) announcing the arrival of 3^, as supported by iii and i6. On a deeper structural level, this entire passage is under the control of a V prolongation (see graphs). From the dualist perspective, ii, vii and V all belong to the same functional motion. As the V is P5 related to the tonic (I), the use of the dominant in the background to support the Yang scale sheds light on Puccini’s craftsmanship in carefully collecting all sonorities that include a strong representation of the P5 into a single group. In other words, this P5th-related harmonic treatment absorbs the Yang while also keeping it distinct from the motion of V to I. Dramatically, the sustained V portrays the ship in motion on the edge of the horizon, and when it resolves into I, it completes the A section with the ship’s arrival.

37 Because the Yang scale is so closely related to the diatonic scale, its insertion here may show Butterfly’s unconscious projection of her Japanese character (see footnote 13 for further discussion). Indeed, it can be difficult to determine when the diatonic scales end and the Yang scale starts, since they carry so many pitches in common. Here, the melodic motion portrays a strong Japanese character (the melody here closely relates to the melody in the B’ section, Japanese realm) and the lyric implies a ship as it approaches Japan.

139 (2). Transition

Figure 4.2: Butterfly: “Un bel dì” (Transition: II.1/12/9-18)

In the transitional passage, the key shifts from Gb to f using Bb-minor (iii/Gb and iv/f) as a pivot. The shifting of the keys coincides with the drama, which describes Pinkerton in motion between the harbor and the house. The iv/f goes on to connect to the tonic of f minor. Both iv and i support an identical melodic pattern and thus creates a short falling 5th sequence. This sequential melody includes fragments from the Yin scale. Indeed, the tune here recalls a familiar melody from the Japanese folk song, Oedo Nihonbashi, (No. 4).

140 Example 4.8: Opening of the Oedo Nihonbashi

This appearance of the Japanese melody signals the entry into the Japanese realm. The progression remains harmonically static after the f-minor tonic. It only moves to an 6 implied upper neighbor i- ii5 - i. The stationary quality subtly coincides with the meaning of the text, which portrays Butterfly as static and unable to go down to see Pinkerton. She says she would rather wait. Her melodic pattern on the words, “Io no” – “I no,” is made by the Japanese melodic idea that Carner has defined to be “[Puccini’s] favorite Japanese melodic pattern.”38 The primary component of this motive is the distinct tritone relation that Carner interprets to be the “disabolus in musica,” which he claims appears frequently in exotic writing.39 The tritone shows distance and thus seems to represent “others” (as suggested by the exoticist trope) in music. In another way, however, the use of the tritone here subtly reflects the Yin scale. As discussed earlier, the Yin and Yang scales differ from each other in that the Yin includes the minor second and tritone intervals, while the Yang does not. Also, the Yang is the abstract complement of the diatonic scale, while the Yin is not. Thus, the Yin is more distinctly representative of the Japanese sound than the Yang. The employment of the tritone from the Yin in this transition recalls this distinctly Japanese scale, preparing audiences for the entrance of the Japanese realm that follows. The drama coincides with the music, depicting Butterfly’s ritualistic Japanese character (she won’t go to see Pinkerton, but waits for him to come to her).

38 Carner (1936), 53. 39 Ibid., 54.

141 (3). B section—Transition—B’ section

Figure 4.3: Butterfly: “Un bel dì” (B section—Transition—B’ section: II.1/13/1 to

II.1/14/11)

The melody in the B section is largely based on the Yang scale “Ab-Bb-C-Eb-F” as supported by the key of Db. The use of the Yang here shows how this section represents the Japanese realm. Here, it is the tonic of F (which is 7^ in Gb major) that is prolonged from II.1/13/1 to the B’ section in II.1/14/1 where the melody approaches 3^. In the meantime, the bass shows a large-scale motion from i6 to i. The interaction of melody

142 and bass shows a large-scale voice exchange that links the B and B’ in a smooth manner. Within the B section, a i-III-V harmonic motion confirms the key of f with the V resolving to i in the following B’ section.

In the B section, melody arpeggiates up to 5^ of f minor, which is then prolonged through double neighbors (5^-4^-6^-5^). The harmonic progression underpinning this double 4 neighbor is i6 and a neighbor chord, iiø3. The static harmonic rhythm here corresponds to the Butterfly’s waiting for Pinkerton. The two alternating chords recall a similar harmonic treatment from Suzuki’s prayer scene (II.1/3), where she sings “E Izaghi ed Izanami.” This tune derives from the Japanese folk tune “Takai yama kara” (No. 5), and 4 its accompaniment is also based on two alternating chords—i and ii3. There, they fall above a tonic-dominant alternation in the bass.

Example 4.9: The adaptation of “Takai yama kara” into “E Izaghi ed Izanami”

143 The similar harmonic treatment not only reveals the B-section’s invocation of the Japanese realm, but also implies the prayer from her Japanese gods—E Izaghi and Izanami, who Suzuki has asked to let Butterfly weep no more. The implication is that inside Butterfly lies her Japanese heritage. Even if she converted to Christianity before the wedding, this heritage continues to shine forth. The two alternating chords are 6 6 followed by i4-iiø5- i. This time the harmony sets the story in motion and corresponds with the text: “E... uscito dalla folla cittadina un uomo” — “And coming from the crowd of the city, a man.” 40 The following transition also imitates the text, which portrays “un picciol punto s’avvia per la collina.” — “a tiny dot starts up the hill” through the harmonic progression i-iii-V.41 Puccini again employs the Yang scale here to show how the scene is supported by Butterfly’s Japanese fantasy. The transition ends on V/f where the lyric refers to the hilltop. This V then resolves to I in the B’ section where Butterfly asks “C hi sarà? Che dirà?”—“Who can it be? What will he say?”42 The use of I to support a question is not unusual in Puccini (see, for example, Tosca’s “Vissi d’arte”). Here the tonic represents a static motion that maintains Butterfly’s ecstasy and demonstrates her Japanese character in her attempt to hide her emotion.43 His arrival at the house finally closes the Japanese realm before the music returns to the diatonic world. The B’ section ends in the pivot chord, VI/f or the dominant to Gb.

40 Castel (1994), 1:334. 41 Ibid. 42 Ibid. 43 For a discussion of Japanese character, see Fred N. Kerlinger, “Behavior and Personality in Japan: A Critique of Three Studies of Japanese Personality,” Social Forces 31/3 (Mar. 1953): 250-58.

144 (4). A—C –A sections

Figure 4.4: Butterfly: “Un bel dì” (A—C—A sections: II.1/15/1 to II.1/16/9)

1). Return of the A section The A section recurs in the II.1/15/1-8 to signify a return to the diatonic world. The text here pertains to Pinkerton’s arrival at the house and his calling out to Butterfly, reminding us of the slow arrival by boat suggested in the first A section. The Yang scale (II.1/15/4-6) again supports Butterfly’s Japanese identity, and supports the text “piccina mogliettina, olezzo di verbena” — “tiny little wife, perfume of verbena.”44 She reflects that “little wife” is the name Pinkerton reserved for her: “I nomi che mi dava al suo venire” — “the name that he gave me when he came.”45 The memory, as confirmed by

44 Castel (1994), 1:334. 45 Ibid.

145 the V-I progression, concludes her fantasy of Pinkerton. It also ends Butterfly’s monologue.

2). C section

In the C section, the text reaffirms Butterfly’s faith in Pinkerton’s return. The deeper harmonic structure shows a prolongation of the submediant chord, vi, which underpins the Japanese components drawn from previous sections. First, this vi initiates two alternating chords: iii-VI which ultimately arrive on V. The alternating chords recall a similar motion in the B section, the Japanese realm, which also connects to Suzuki’s prayer scene. Moreover, these two chords support Carner’s Japanese melodic idea, which appeared earlier in the first transition (II.1/12). Secondly, the modal mixture of vi to VI here allows the Gb to become G natural and produces a semitone upper-neighbor prolongation, recalling the semitone component from the Yin scale. Overall, the entire C section is based on Japanese components. The Japanese components do not fuse with diatonicism, however. Instead, it displays Butterfly’s distinctly Japanese character.

Butterfly’s final note is the third of the tonic triad, Bb (3^). The music seems to suggest that she is forcing Suzuki to believe her through an intensified engagement with the tonic triad. Yet, the imperfect cadence allows the audience to view her statement with skepticism.

3). A section The A section recurs in totem (II.1/16/1-9), recalling the previous two A sections and reaffirming Butterfly’s faithfulness to Pinkerton.

3. Aria Middleground and Background

As has been discussed throughout, Butterfly isolates herself from Japanese society and believes she has successfully abolished her Japanese identity. Yet, her belief does not coincide with reality. She ultimately maintains her Japanese identity, and it is through this lens that she projects her dream of becoming American. The next graph presents a

146 middle-ground reduction of the entire aria to demonstrate how the diatonic and Japanese realms (as expressed through folk tunes as well as the Yin and Yang scales) interact with the tonal harmony. It shows how Puccini carefully incorporates the Japanese elements into his tonal writing and keeps them distinct from the diatonic language.

Realm: Diatonic Japanese Diatonic

Lyric: Pinkerton Pinkerton is looking for Butterfly. Faithful to Pinkerton Butterfly is motionless and won’t respond (in fun).

Figure 4.5: Butterfly: “Un bel dì” (Middleground reduction)

147 This graph summarizes the previous discussion, showing how the diatonic treatment of Gb major represents Pinkerton, while the static harmonies in f minor represent a Japanese identity. The usage of Gb major and its vii—f minor demonstrates Puccini’s craft in carefully blending diatonic harmony with traditional Japanese musical elements while yet keeping the Japanese style distinct. The harmonic structure also shows that the Japanese elements carefully supported. The background graph below indicates that the tonic double-neighbor harmonic motion supports both diatonic and Japanese realms.

Figure 4.6: Butterfly: “Un bel dì” (Background)

In the bass double-neighbor motion, the essential notes represent the American world. The unessential notes within the voice exchange underpin the Japanese world and

148 keep the harmonic rhythm static throughout the aria. As both vii6 and vii are indeed neighbor notes to the tonic, the harmonic roles they play is less essential than that of predominant or dominant chords. In addition, it is noteworthy that the only active harmonic motion takes place in the transitions. All other sections preserve the static “Japanese” sound. As mentioned earlier, V can support the Yang scale smoothly. Here Puccini uses the vii to substitute for V. As both vii and V share similar functions, they can discharge to each other with little effort. Moreover, the modally mixed VI provides support for G natural, in order to produce semitonal upper neighbor motion in the end. Indeed as both vii and VI relate to the V and I respectively, the employment of these two chords here avoids stark harmonic motion and retains dominant and tonic functions (without the predominant chords such as ii or IV). This restricted harmonic motion supports the Japanese scales, while still gently alluding to diatonic function.

4. Conclusion

The structure of “Un bel dì” shows Butterfly unconsciously holding on to her Japanese identity but unable to give it up as she had wished. Her efforts merely cause her to live in a Japanese rooted fantasy of an imaginary American world. Yet, while other characters belong to either Japan or America, Butterfly is the only one who clings to both sides and belongs to neither. This inability to belong to either culture explains why this heroine is at the center of the opera, isolated from others and living in a world that she has created. The moment she finally realizes that she is still Japanese occurs in Part II, Act II when she understands that Pinkerton will not take her to America. She suddenly transfers all of her longing and hopefulness to her son and her Japanese inspired melody disappears. In “Tu? Piccolo Iddio!” (II.2/53), she sings in the pure diatonic realm without any Japanese fantasy.

149 Example 4.10: “Tu? Piccolo Iddio!” (II.2/53/14-22)

The opening large melodic leaps clearly suggest diatonicism.46 Also, this piece follows a very traditional harmonic progressions “ii7-VI-V7-i.” The conventional diatonic harmonic supports the b-hamonic minor melody to express Butterfly’s motherly anguish. It ends on a complete diatonic cadence (V7 to I) as she releases her son from his Japanese identity by taking her own life. Butterfly enters her ideal world with honor, taking her Japanese identity with her.

46 Japanese folk music rarely contains a series of large leaps. Japanese folk songs tend to use smaller skips and steps.

150 CHAPTER 5

HARMONIC REPRESENTATION OF TURANDOT (1924)

If you can and will do this, if only to give it some additional imagery and some ‘little Chinese’ touches. But I wanted something human, and when the heart speaks, whether in China or Holland, it says only one thing, and the outcome is the same for everyone… (Giacomo Puccini, 1924.) 1

Turandot

1. Prior to Turandot

La bohème (1896), Tosca (1900), and Madama Butterfly (1904) represent a triumphal trilogy in the middle of Puccini’s career. They firmly established Puccini’s privileged status on the Italian operatic stage. La fanciulla del West (1910) was Puccini’s next production, and it is based on a Non-European subject, the American West. While writing this opera, a scandal broke out that interrupted Puccini’s work and caused a rift in his marriage. In 1903, Puccini had suffered an automobile accident and a young woman, Doria Manfredi, came to work in his household as a servant. Puccini’s wife Elvira was always jealous of his extramarital affairs, and made Doria a target of her suspicions. In response to Elvira’s accusations, Doria asserted her innocence, but in 1909, the beleaguered young woman committed suicide. Elvira was seen as being the primary cause for Doria’s death. The case was settled out of court, but the incident greatly depressed Puccini2 and delayed his work on La fanciulla del West. However, Puccini recovered and completed his opera. The premiere was a great success. Anton Webern in

1 From Puccini’s letter to Renato Simoni, the librettist of Turandot. See Phillips-Matz (2002), 288. 2 Sybil Seligman came into Puccini’s life in 1903 during his trip to London and was Puccini’s mentor until his death. For Puccini’s relationship with Sybil, see Budden (2002), 275-76. Vincent Seligman, Sybil’s son, published Puccini’s letters to his mother, which reveal Puccini’s inner world to readers. In one letter to Sybil, Puccini describes his feeling about the scandal. “My nights are horrible; I cry – and am in despair. Always I have before my eyes the vision of the poor victim; I can’t get her out of my mind-it’s a continual torment.” See Vincent Seligman, Puccini Among Friends, (London: Macmillan, 1938), 174.

151 his letter to Schoenberg commented, “I must say I enjoyed it very much.”3 It goes without saying that Puccini had once again won the hearts of his audiences. Life after the triumph of La fanciulla del West went smoothly until the death of Giulio Ricordi in 1912. Puccini and his publisher Ricordi had built a firm relationship throughout his career. Ricordi’s death signified not only the loss of a life-long mentor and friend, but a farewell to an older generation and way of life. Certainly, this was a painful time for Puccini.4 In 1914, World War I broke out and was fought primarily on the European continent.5 Italy initially declared neutrality, but in 1915 joined the Allied (Entente) Powers, initially comprised of Great Britain, France, and their subsidiaries. The United State joined the Allied cause in 1917, and in 1918, the war ended with the defeat of the Central Powers (Germany, Austria-Hungary, Bulgaria, the Ottoman Empire). World War I changed the social order in many ways. Opera theaters in Italy, England and other countries barely managed to survive.6 Puccini had established his reputation by writing music on diverse nationalistic subjects and his operas were well known in countries on both sides of the conflict; yet, during the war many Central Powers countries banned his works.7 Puccini himself claimed neutrality, resting on his position as an international composer. His neutrality earned the disfavor of supporters of either side. Puccini’s neutrality became controversial when he did not sign the intellectual declaration of the International Society of Artists condemning Germany’s invasion of Belgium in 1915 and the German bombardment of Rheims (Italy was still neutral at that time). Somewhat later, however, a group of Germans mistakenly accused him of signing the declaration, after which Puccini reassured German audiences by expressing his

3 See Budden (2002), 331. Budden has also suggested that Schoenberg, Ravel and Stravinsky admired Puccini. See ibid., 479. 4 He told Sybil of his sorrow : “Poor Signor Giulio Ricordi! You simply can’t imagine how grieved I am at his death!” Seligman (1938), 217. See also Phillips-Matz (2002), 220-21. 5 WWI mostly involved European countries and took place in Europe. Meanwhile, in the Far East, Japan joined the Allied Powers and forced a landing in China. 6 Seligman described that “Many of the big opera-houses followed the example of Covent Garden and closed down altogether; others were situated in what had now become ‘hostile territory.’” See Seligman (1938), 252. 7 Carner stated that “in 1914-18 war hostilities did not stop at the trenches but extended also to the sphere of art, so that plays, operas and other compositions by ‘enemy’ artists, including even some of the great masters of the past, were banned.” See Carner (1958), 196.

152 gratitude and denying that he had denounced Germany. The French attacked him for making this pronouncement, even after Italy joined the Allied side.8 To a certain extent, Puccini’s neutral stance was understandable since his operas had been widely performed outside of Italy and the settings of his operas included the exotic extremes of West and East.9 In light of his interest in subjects related to diverse nationalities, as well as his deep sentiment for verismic characters such as Mimì, Puccini’s neutrality stemmed from his compassion for the human condition. This compassion was not only directed at people in Italy but beyond to the world at large. It is because of his sensitivity to the suffering of all human lives that he wanted to stay neutral.10 In a letter to Sybil on February 11, 1915, he writes: “War is too horrible a thing whatever the results, for whether it be victory or defeat human lives are sacrificed.”11 Fiorentino, a priest and friend of Puccini’s, further described what Puccini had said about the war. “War…It’s the end of civilization, the worst imaginable calamity. What’s the use of killing people?...No one can be right in a war.”12 It is thus evident that Puccini’s neutrality derived from his sorrow for all suffering humans. This compassion towards humanity is seen in all of Puccini’s verismo works. The war finally ended on November 11, 1918 and postwar Italy was racked with political unrest and economic inflation.13 William Berger describes Puccini’s state of mind at the time:

The sense of disappointment in Trittico’s fortunes mirrored the malaise of Italy after the war. Six-hundred thousand dead soldiers, many, many more maimed and wounded, unemployment, Communist agitation, strikes…and for what? The Trentino Valley? A slightly better-looking map of Italy? Puccini went into

8 For details, see Ashbrook (1968), 158-59; Budden (2002), 346-48; Phillips-Matz (2002), 236-43. 9 Also, events in his private life kept him neutral; he was having an affair with Baroness Josephine von Stängel, a German national. 10 Ashbrook states “While on the one hand Puccini as both man and artist was Italian to the marrow and proud of his italianità; on the other he was at home in the world at large, a habitué and a well-known figure in London, Paris, New York, Berlin, and Vienna. There is another even more fundamental root to Puccini’s orientation. For him, home was not Italy, but quite specifically Torre del Lago-his retreat where he could compose and hunt and relax…” Ashbrook (1968), 158. See also Phillips-Matz (2002), 243. 11 See Seligman (1938), 259. See also Budden (2002), 346; Ashbrook (1968), 158-59; Philips-Matz (2002), 233-56. 12 Dante del Fiorentino, Immortal Bohemian: An Intimate Memoir of Giacomo Puccini (New York: Prentice-Hall, 1952), 159-60. 13 See Carner (1958), 204; Budden (2002), 419.

153 another depression.14

The war and its aftermath changed the world order that Puccini had known and affected him greatly. Yet, the experience of war also consolidated his belief in pursuing a humanity in his music that would cross geographic and cultural boundaries. This belief in the positive power of human kind was expressed in his next operatic subject, Turandot, his only postwar project and one that was unfinished at the time of his sudden death.15 In Turandot, Puccini demonstrates his notions of humanity by setting scenes in a timeless exotic/other space where only love can melt the heart of the icy princess Turandot. Scrutinizing Puccini’s work from the middle to the end of his career—La bohème, Tosca, Madama Butterfly, La fanciulla del West, Il trittico and Turandot—we are able to trace his interest in subjects from varied regions of the world.16 At first, his culturally diverse settings coincided with the aesthetic trends of the late Romanticism of his time. But as the operatic works consistently shift towards greater cultural diversity, it becomes clear that his aim was to invite all kinds of human life into his musical worlds, to a place where the heart speaks a language that all can understand.

2. Il trittico

During World War I, Puccini had produced two operas. La rondine, which he completed in 1916, was originally planned as a Viennese operetta, but developed into an operatic work. The second work was Il trittico (1918), a trilogy that combined three one- act operas set on different subjects (a tragedy, Il tabarro; a religious tragedy, Suor Angelica; and a comedy, Gianni Schicchi). The idea of presenting a series of short operas in one performance had come to Puccini as early as 1904, and he finally brought this idea

14 See William Berger, Puccini without Excuses (New York: Vintage Books, 2005), 76. See also Carner (1958), 204. 15 For details on Puccini’s sudden death and Alfano’s scoring, see Budden (2002), 417-73; Philips-Matz (2002), 257-305. 16 In a letter Puccini wrote to Seligman, he said “Another reason for this is that I have in mind a subject, full of emotion, in which the leading parts are those of two boys (they would be women in the Opera) - a subject which I regard as being suited to the taste of every country, but particularly to that of the British public.” See Seligman (1938), 278. In this letter, Puccini showed his interest in a subject that would fit anywhere in the world.

154 to fruition during the war.17 Il trittico turned out to be Puccini’s last complete musical thought since he never lived to finish Turandot. These three short operas reveal the minutia of human lives. Beginning with an unfaithful love and elements of murder in Il tabarro, continuing to the theme of religious salvation after the death of a beloved son in Suor Angelica, the evening concludes with a dark comedy involving a wise elder and the love of a young couple in Gianni Schicchi.18 The short operas avoid focusing on the more typical heroines or heroes of earlier operatic tradition, as Puccini instead records his observations of the daily lives of ordinary human beings.19 The anxiety of war is revealed in Il trittico through the presentation of death, which appears in each of the small operas. The anxiety reaches its peak in Il tabarro, then decreases gradually. The initial step of relieving anxiety comes from the Virgin Mary, who brings religious strength for Angelica’s salvation.20 The death of Buoso Donati in the opening of Gianni Schicchi suggests a foreshadowing, but the shadow of death is soon replaced by wisdom and love.21 The interweaving of death, religion and love constitutes the basic elements in most of Puccini’s operas. Yet, in his last work, the order of these three elements—from death and religion to love (life)— metaphorically presents the composer’s belief that religion enslaves sorrow and love brings life, which washes away the shadow of death (sorrow). As Puccini composed Il trittico during wartime,

17 See Ashbrook (1968), 170-71. See also Leonardo Pinzauti, “Giacomo Puccini’s Trittico and the Twentieth Century,” The Puccini Companion, ed. William Weaver and Simonetta Puccini (New York: W.W. Norton, 1994), 228-43. 18 Carner states “the three episodes of the Trittico suggest the idea of a gradual rise from darkness to light.” See Carner (1958), 403. From a broader perspective, Carner is right in his phrase, “from darkness to light.” Yet, the salvation of Angelica by the Virgin Mary features light, while the death in the opening of Gianni Schicchi reveals the darkness. Light concludes the night with the love that closes Schicchi. The overall structure does not simply go from dark to light, however, but interweaves both. This interweaving of dark and light seems important to understanding Puccini’s works for this period. 19 There is no heroine like Butterfly in Il trittico. 20 In Angelica’s aria “Senza Mamma” (Rh. 60-62), the submediant (vi) constantly replaces the tonic to delay the resolution and to show the great sorrow of Angelica. The aria ends on iii/F (Rh. 62) where Angelica asks her dead child to speak to her. The ending on iii is inconclusive and demonstrates the inevitable forward march of time through suffering and pain. 21 In her aria “Oh! mio babbino caro” (Rh. 40), Lauretta pleads with her father (Gianni Schicchi) not to separate her from Rinuccio. Puccini puts a deceptive cadence on her words “You know I love Rinuccio.” The deceptive motion opens up the possibility that her dream may not come true. It is when Lauretta ends her aria with a complete plagal cadence (I-IV-I) that she evokes religion to affirm her request. The harmonic representation on these two female leads (Angelica and Lauretta) shows the emphasis on the predominant motion to describe life after loss and to tell a young lover’s dream. Perhaps they also reveal Puccini’s life during the war and his hope for an end to the war in the form of religious salvation.

155 perhaps this overall structure also implies his hope that peace and love would soon replace war and death. The interweaving of tragedy and comedy (death and love) in Il trittico also shows Puccini’s favorite operatic prototype. For him, love comes with death and vice versa.22 They coexist side by side to produce the great sentiment of human life. In Puccini’s operatic world, audiences no longer see grand dramatic openings such as in Verdi’s Otello, or the epic love of Wagner’s Tristan und Isolde. Neither example is true to Puccini’s style. Or, to be more precise, neither expresses the style Puccini wanted to present his audiences. What Puccini offers in his art is the intimacy of small moments. In his last complete work, Il trittico, this intimacy is fully explored. Budden has stated that,

. . . as a manifestation of creative self-renewal over a wide area Il trittico is indeed outstanding and goes far to justify the composer’s entitlement to the soubriquet ‘Verdi’s successor.’23

Indeed, Verdi and Puccini shared similar creative paths. Both Verdi and Puccini consistently showed great feeling for humanity in different ways—the dramatically sublime in Verdi and simple intimacy in Puccini. Yet, both presented the aesthetic trends of their time and successfully earned the applause of their audiences. Both ended their creative careers with comedy. For Verdi, Falstaff shows his ability to write on a comedic subject. For Puccini, his skill in writing comedy was indicated earlier in the lost key scene in La bohème. It was, however, purely coincidental that because of his sudden death the comedic Gianni Schicchi was his last complete work. The works of both composers have withstood the test of time and are still performed in theaters worldwide. In looking at this aspect of history, we find that Verdi and Puccini worked in their own ways to produce operas that coincided with the aesthetic trends of their time. Their work is comprised of sensitive observations of the societies in which they lived. Ultimately, they showed great humanity and presented artistic works capable of enchanting audiences of their time and of the future. This undoubtedly signifies that the

22 For instance, Mimì dies with bohemians surrounding her. Tosca dies to follow Cavaradossi. Butterfly dies to give her son a better life through a new identity and Liù died to show Calaf’s great love for Turandot. 23 Budden (2002), 416.

156 names Puccini and Verdi stand side by side in opera history.

3. Turandot

. . . above all heighten the amorous passion of Turandot which she has smothered so long beneath the ashes of her pride…All in all, I consider Turandot the most normal and human of all Gozzi’s works. (Giacomo Puccini, 1920.)24

Turandot is the last opera Puccini worked on before his sudden death in 1924. He had completed two-thirds of Act III (III/34), and Franco Alfano finished the rest so that the premiere could be held in 1926. In 2003, Luciano Berio created another ending.25 Yet, the most popular version remains Alfano’s. Turandot came from Carlo Gozzi’s fable of the same name for his ‘fiabe teatrali,’ produced in Venice during the 1760s.26 Gozzi’s work, which has been translated into German and influenced German Romanticism, was full of exoticism and magic. Wagner’s Die Feen was inspired by Gozzi’s La donna serpente, but among all of Gozzi’s works, Turandot was one of the most popular. Friedrich Schiller presented a German translation to the Weimar court theatre in 1802.27 In Italy, Antonio Bazzini produced Turandot in Milan in 1867. Ferruccio Busoni composed a Turandot-Suite in 1905 and later reproduced it as an operatic work with German libretto, which was performed in Zürich in 1917.28 Puccini himself began his composition of Turandot in 1919. This

24 This comes from a letter to Simoni. See, Budden (2002), 424. 25 For the discussion of Berio’s version, see Maehder in 羅基敏 and 梅樂亙 [Ki-Ming Lo and Jürgen Maehder.] 杜蘭朵的蛻變. [The Stylistic Shift of Turandot.] (My Translation) 臺北市: 高談文化出版 [Taipei: Guo-Tan], 2004, 327-59. 26 Indeed Turandot originates from the Persian Tales Les mille et un jours [One Thousand and One Days] published in 1710-1712. François Pètis de la Croix translated the Persian Tales into French and Alain Renè Lesage adapted the stories and published them with the origin title. Alain Renè Lesage also took elements from these tales for his theater collection, Le Thèâtre de la Foire ou l’Opèra Comique during 1721-37. One story in the collection is called La Princesse de la Chine (1729), which describes a similar subject as Turandot. See William Ashbrook and Harold Powers, Puccini’s Turandot: The End of the Great Tradition (New Jersey: Princeton, 1991), 43-58. See also Lo and Maehder (2004), 22-23; Budden (2002), 424-25; Carner (1958), 438-49. 27 See Budden (2002), 424. 28 Ibid., 425.

157 history of the productions of Turandot indicates the fascination this fable has had for intellectuals and composers since its first appearance.29 Even in modern times, the fable still invites lively discussion. Two such examples are found in literary study. Patricia Juliana Smith compares the story of Turandot to Virginia Woolf’s Mrs. Dalloway and states that Turandot shows the repression of her sexuality in a male-dominated society. Smith believes that the repression of Turandot recalls the repressive relationship of Clarissa Dalloway and Sally Seton in Woolf’s novel.30 David Nicholson takes the female protagonist’s viewpoint in the fairy-tale archetype, comparing Turandot to the Sleeping Beauty in Grimm’s Fairy Tales. He states that,

the hedge of hawthorn surrounding the enchanted palace closes tightly on all the princes who want to awaken the princess before the appointed time, holding them in the thorns until they die miserable deaths. But when the right prince comes along, the hawthorns blossom out and open wide to receive him.31

In other words, only the right prince who comes at the appointed time is meant to rescue the princess.32 This formula also applies to Purcell’s Dido and Aeneas, where Aeneas, in expressin his love for Dido, finally melts her heart, but when he is forced to leave, Dido cannot survive the broken heart. From Puccini’s perspective, Turandot represents Gozzi’s most humane tale. As the story comes from the realm of fable, or fairy tale, the original places the scenes of China into a non-identified dynasty and produces a fantastic space, where the geographical and cultural boundaries are ambiguous and, to a certain extent, surreal. This exotic other (China) in the abstract space of others (fable) gave Puccini the flexibility to build a non-specific musical fantasy focused on the other. In so doing, he brings to life

29 For a relevant resource pertaining to the interest of intellectuals in Turandot, see Jùrgen Maehder, “Turandot and the Theatrical Aesthetics of the Twentieth Century,” The Puccini Companion, ed. William Weaver and Simonetta Puccini (New York: W.W. Norton, 1994), 265-78. 30 Patricia Juliana Smith, “Gli Enigmi Sono Tre: The [D]evolution of Turandot, Lesbian Monster,” En Travesti: Women, Gender Subversion, Opera, ed. Corinne E. Blackmer and Patricia Juliana Smith (New York: Columbia University Press, 1995), 242-284. 31 David Nicholson, “Gozzi’s ‘Turandot: A Tragicomic Fairy Tale,’ ” Theatre Journal 31/4 (Dec., 1979): 467-478. 32 Clément makes a similar point by stating that Calaf has the same blood as his Mongol ancestor who raped Lo-u-Ling. Here he comes to repeat history. This time he will solve the riddle, devote himself to Turandot and show her his great love. See Clément (1988), 101.

158 his vision of a great humanity (across geographic boundaries). The music of this opera demonstrates the dense integration of Western tonal, French Impressionist, and Chinese Pentatonic tunes. This combination ultimately evokes a fantasty of a non-specific exotic other.33 As a result, the integration of diverse sonorities in Turandot represents Puccini’s ultimate musical pursuit of his concept of humanity. This refelected in Budden’s statement that:

Turandot, [Puccini’s] furthest venture into the contemporary scene, accommodates elements that reach back to the world of his youth; which is why…, with its perfect fusion of the heroic, exotic, grotesque, and sentimental, it represents, even in its unfinished state, the sum of its composer’s creation.34

4. The Story of Turandot

The drama is set in ancient Peking, China, where a Chinese princess, Turandot, poses three riddles to the princes who come to court her. Whoever successfully solves these three riddles will marry her and whoever fails will be executed. Turandot’s beauty attracts princes from around the world to take their fates into their own hands; twenty-six princes have failed and been executed. This body count terrifies the people and, thus, they call Turandot “icy” and “bloody.” One day in Peking, an unknown prince, who is exiled from his kingdom, finds his blind father, Timur, the exiled emperor of Tartary, on the street. Accompanying Timur is a slave-girl, Liù, who secretly loves the unknown prince. A jubilant family reunion is enacted on one side of the street, while on the other side the executioner prepares to execute the Prince of Persia, who has just failed his attempt to solve the three riddles. Hearing of the fate of the Prince of Persia, the unknown prince curses Turandot. Yet, when he sees Turandot, who appears at the execution, he is fascinated by her beauty and desires to win her. Timur, Liù and three ministers (Ping,

33 Puccini also incorporates Western diatonic melodies, French Impressionist and Japanese melodies into Madama Butterfly. Yet, the exotic components in Turandot are much more closely linked and densely packed. This may be due to the fact that the fable origins gave Puccini more freedom to create his own imaginary sound world. 34 See Budden (2002), 477-78.

159 Pang and Pong) try to talk him out of his decision, but the love-struck prince cannot hear their words. All he wants is Turandot. Throwing caution to the wind, he strikes the gong. In the palace courtyard, the Chinese Emperor Altoum, the unknown prince, Timur, Liù, the three ministers, and others assemble. Emperor Altoum also tries to dissuade the unknown prince from trying to solve the riddles, but his attempt is in vain. Turandot appears and tells everyone that her ancestress, Lo-u-Ling, who was ravished by a foreign enemy, lives on in her. So Turandot must take revenge on men for Lo-u-Ling and that is the reason she executes the princes who woo her. After describing the story of Lo-u-Ling, Turandot unexpectedly tries to dissuade the unknown prince from trying to solve the riddles. The unknown prince rejects her plea. Then the three riddles are given. The answers to the three riddles are Hope, Blood and Turandot.35 The unknown prince conquers the trials. Frightened, Turandot wants to be released from the marriage obligation. Seeing her terror, the unknown prince gives Turandot one riddle to solve. If she can reveal the unknown prince’s name before dawn, she will be released from her marriage obligation.

In the palace garden, three ministers offer the unknown prince jewelry and beauty in exchange for his name. The unknown prince rejects these offerings. The crowds gather again and guards bring in Timur and Liù, as someone has seen the unknown prince speak to them. Turandot interrogates them. Liù steps forward and claims that only she knows the name of the prince, but she would rather die than reveal it because of the great love she has for him. Then she snatches a knife from a guard and stabs herself. Liù dies. (This is the point at which Puccini left off.) Now the unknown prince is alone with Turandot. He accuses her of cruelty, but the icy Turandot melts when the unknown prince kisses her. She admits her love for him begs him to leave. The unknown prince tells Turandot he is Calaf, the son of Timur. This revelation shows his great love for her, as he is trusting her with his life. Jubilantly, Turandot announces to Emperor Altoum, Timur, and all the others that the name of the unknown prince is Love. Puccini died on November 29, 1924, and Alfano, as previously stated, completed the opera. The premiere of Turandot was held on April 25, 1926, and was conducted by

35 Different versions of Turandot contain different riddles and answers. Here, I use Puccini’s version.

160 Toscanini. On opening night, during Liù’s funeral cortège, Toscanini laid down his baton, turned to the audience and told them that this was the point at which Puccini ended.36 In subsequent performances, Puccini’s Turandot ended with Alfano’s version. The opera has been popular since it made its first appearance. In 1998, Turandot was performed in the Forbidden City, Beijing,37 under the direction of Chinese film director Zhang Yimou and conducted by Zubin Mehta.38 This performance represented a major cultural interrelationship between West and East; to a certain extent, it evidences that Turandot has somehow bridged the East-West aesthetic. Insofar as Turandot is an Italian opera set in a Chinese milieu, just as Madama Butterfly is an Italian opera set in a Japanese milieu, these works are meant for audiences that fall far beyond the cultural divides of east and west. Interestingly, since Puccini’s life ended at the point in Turandot in which Liù died, he had coincidentally composed himself into his own operatic world. “Create something for me that will set the world weeping,”39 he asked of Adami and Simoni. The juncture between the two deaths, the creator’s and his creation’s, creates a fascination for endless speculation among audiences and scholars; what is this great unfinished dream of Puccini’s?

5. Chinese Musical Components in Turandot

The authentic Chinese music in Turandot is based on a pentatonic structure,40 which derives from two places. One comes from a music box (listed in example 5.1) 41

36 Adami described the event as follows “The artist [Puccini] was among us yesterday with the sadness of his own tragedy. ’If I do not succeed in finishing the opera,’ he said one day, with a presentiment of his approaching death, ’someone will come to the front of the stage and say, ‘Puccini composed as far as this, then he died.’ The opera stopped yesterday at the point where Puccini had had to leave it. Thus Turandot ran its course like a living symbol of the life of its creator: a brief story, interrupted by a pause which is of eternity.” See Giuseppe Adami, ed. Letters of Giacomo Puccini, Ena Makin trans. (Philadelphia: J.B. Lippincott Company, 1931), 255. 37 Bejing and Peking are, of course, the same city. 38 For performance critique, see Lo and Maehder (2004), 236-60. 39 Budden (2002), 422. 40 The Chinese pentatonic scale is the same as the Yang scale in Japan. Thus, it is complementary to the diatonic scale. See my footnote 16 in chapter 4 for details. 41 This is described in Lo and Maehder (2004), 223-25. No. 1 was published in China in 1838. Before its publication date, Sir John Barrow, who was once an English diplomat in China, had published this song in

161 owned by Baron Fassini Camossi, once a diplomat in China, the other is from J. A. Van Aalst’s Chinese Music (1884), see example 5.2. 42

Example 5.1: The authentic tunes from the Chinese Music Box

his Travels in China in 1804. See 钱仁康 [Qian Ren Kang,] 学堂乐歌考源 [The Resource of School Music.] (My translation) 上海音乐学院出版社 [Shanghai Conservatory of Music Press], 2001, 21-22; 張繼光 [Zhang Ji Guang,] 民歌（茉莉花）研究 [The Research of Folk Song Mo-Li-Hua.] (My Translation) 文史哲 出版社 [Wen Shi Zhe Press] 2000, 5. In No. 2 and No. 3, the dotted lines indicate the break of each musical phrase, despite the lack of a bar line. Carner wrote notes to No. 3, published in 1912, explaining that it is the Chinese National Anthem. Lo indicates that this is an error, stating that the National Anthem of China was published in 1915 and that the melody differs from that of No. 3. Also, in 1912, the Republic of China was newly formed after the defeat of the Qing Dynasty; thus, at that point, the melody could not have been the National Anthem of China. See Lo and Maehder (2004), 224. 42 For the purpose of facilitating later analysis, I have continued to use the numbering system from example 1 in example 2. Thus, the songs listed in example 2 show my numbers 4-8. All the songs derive from J. A. Van Aalas’s Chinese Music (New York: Paragon, 1966), 26-46 (No. 4 is on p. 26, No. 5 is on pp. 24-28, No. 6 on p.44, No. 7 on pp. 44-45, No. 8 on 46). Also, no Puccini research has listed No. 8 as used in Turandot. Yet, I find it relates closely to Calaf’s melody in III/35 after Liù’s cortège. I will discuss this later.

162 Example 5.1 – Continued

Example 5.2: The authentic tunes from J. A. Van Aalst’s Chinese Music (1884)

163 Example 5.2 – Continued

Scrutinizing these authentic melodies, we discover that there are no m2 or A4 intervals in the pentatonic collection, as well as no leading-tone function in the pentatonic melody. The diatonic tendencies that create conflict and resolution in the Western tonal structure do not exist in the pentatonic structure. Tonal hierarchy does not really belong to Chinese musical character. Yet, to a certain extent, the tonic (or dominant) can be heard in a pentatonic melody simply as a function of syntax and placement. These melodies show a typically Chinese wave-like contour.43 Generally, the melody circles around one particular pitch for a time, then circles around a new pitch

43 John Hazedel Levis, Foundations of Chinese Musical Art (New York: Paragon, 1963), 11. Sometimes the wave reaches a level point, shown by repeated notes in Chinese music.

164 until the piece finally ends. These encirclings present a vital characteristic of Chinese music, which is to keep away from one specific tone, designating the character of that tone through its relationship to others.44 For instance, in Mo-Li-Hua the initial two measures show an encircling of the pitch D in which other pitches (B, E and G) are emphasized in order to give D its own particular character.45 Moreover, the encircling here shows the small – scale form of the melodic arch.46 The melodic arch sounds similar to diatonic neighbor motion, but functionally they differ from one other. The melodic arch in the pentatonic collection carries the function of creating smoothness and showing the main tone’s character through the demonstration of its relationship with other tones. The lists below are examples of the Chinese melodic arch form from Mo-Li-Hua and other authentic tunes that Puccini used in Turandot.47

Example 5.3: Melodic arch form in the pentatonic system

44 Levis explains the origins of the Chinese encircling motions in early Chinese notation: “Chinese neumes, on the contrary, consciously kept away from the idea of specific tones and continued merely to designate movement. Upon this basis they developed into a science and art of musical composition, employing the fundamental basis of movement, which is the first principle in music. The actual tones were designated by other characters.” See ibid., 84. 45 From my perspective, the pitch D is specified through the intervallic relations of a m3 (B-D) and a M2 (D-E). 46 In (Chinese) folk music, the melodic phrase often creates arches. See the 杨瑞庆 [Yang Rui Qing,] 中国民歌旋律形态 [The Melodic Structure in Chinese Folk Song.] (My translation) 上海音乐学院出版社 [Shanghai Conservatory of Music Press], 2002, 9-10. 47 The dotted slurs indicate the arch (neighbor) motions. Chinese Song No. 5, “Hymn of Confucius,” is excluded here. But one should note that the second system in both strophes one and two in “Hymn of Confucius” contain many Chinese arch forms. This hymn was made around A.D. 1740s for ritual purposes. It was often performed during ancient Chinese worship.

165 Chinese pentatonic songs contain dual tonic characters where 1^ and its P5-related pitch (5^) can flexibly replace each other to function as tonic. This replacement allows identical pentatonic collections to function with two different scale degrees that are all P5-related. The example below shows how the pentatonic collection can be presented in two ways (C and G) when the pentatonic collection is applied to the diatonic system. 48

Example 5.4: Dual tonic characters in Chinese pentatonic scale

When the scale degrees are in the order of (5^ 6^1^2^3^), it seems to suggest an underlying dominant to tonic motion. When the scale degrees are in the order of (1^2^4^5^6^), it seems to suggest and underlying I-IV. The Chinese song Mo-Li-Hua in Turandot displays this dual

48 For a relevant reference, see 張繼光 [Zhang Ji Guang] (2000), 10-13. Zhang has also made the point that, unlike in tonal music where tonic holds a more privileged position than the dominant, in Chinese music (because of this dual tonic character), the tonic and dominant equally relate to each other. Thus, ^^^^^ when using the same pitches as in Example 4 into a diatonic F major, we get scale degrees (23567).

Pitches in the pentatonic collection are thus closely related to fifth-related key relations (F-C-G). Yet, as the white note pentatonic in the context of F major does not contain the tonic, C and G can be seen as more closely than F and C. However, the underlying ability of F-C-G to contain the collection allows a dualistic perspective where subdominant and dominant are almost equally close to the tonic. In addition, in the pentatonic system, both D-S and S-T are often used to create smooth harmonic motion. See 王小玲 [Wang Xiao Ling.] 漢族調式及其和聲技法 [The Harmonic Skill in Chinese Mode Music.] (My translation) 上海音乐学院出版社 [Shanghai Conservatory of Music Press], 2006, 5.

166 tonal character. The song can be sung in both D and G major, 49 and the starting pitch D can be both 6^ (in D major) and 3^ (in G major).

Example 5.5: Mo-Li-Hua in D

Example 5.6: Mo-Li-Hua in G

From the diatonic perspective, Mo-Li-Hua in D (beginning with 6^) starts its harmonic progression from the subdominant chord (IV). Mo-Li-Hua in G (beginning with 3^) starts its harmonic progression from the tonic chord (I). In summary, it is clear that P5 relations are critical to the understanding of harmonic interactions with pentatonic melody and that both I and IV are closely related to each other in the harmonization of Chinese pentatonic songs.50

49 See 張繼光 [Zhang Ji Guang] (2000), 11-13. 50 Puccini harmonizes the Mo-Li-Hua in Turandot as follows: I-bvii-I-iv-v7-I in Eb. Clearly, Puccini took ^ the initial pitch as 3.

167 6. The Integration of Pentatonic and Diatonic Melodies

Puccini used Chinese songs and pseudo-pentatonic melodies to illuminate the Chinese milieu, and they are spread throughout the opera. Some of the authentic folk songs become recurring figures that represent the Chinese characters, such as Mo-Li-Hua (No.1), representing the princess in Turandot. The Imperial Hymn (No.3) indicates the Chinese Emperor Altoum. The three ministers are the narrators who depict the Chinese milieu and utilize the tunes from other Chinese songs.51 There is no particular Chinese song to indicate the figures of Calaf, Timur and Liù, but some of their musical phrases show borrowed fragments from Chinese songs.52 Example 5.7 shows the borrowing of Liù’s melody in III/24, where she tells Turandot that her great love makes her able to endure the pain of death. The pitches A-C-D-E recall a similar melodic fragment from the Chinese song no.5 Hymn of Confucius.

Example 5.7: The borrowing of the Chinese melodic phrase in Liù (III/24)

51 The Chinese setting is also shown in their lyrics. In Act II, Pong sings “Io preparo le nozze! Le rosse lanterne di festa!” – “I’ll prepare for the wedding! The red festive lanterns!” Pang sings “Ed io le esequie! Le bianche lanterne di lutto!” – “And I for the funeral! The white funeral lanterns!” They describe the Chinese custom in which red lanterns indicate a wedding while white lanterns indicate a funeral. Translation of the lyrics comes from K. H. B. de Jaffa, trans. Turandot (G. Ricordi Co, 1926), 34-35. 52 Lo indicates that Puccini distinguishes characters from China through the employment of Chinese songs. She states that the Chinese songs are employed for Chinese characters (such as Turandot, the Chinese emperor and the three ministers) while no Chinese songs are used to depict the exotic characters (Calaf, Timur and Liù). See Lo and Maehder (2004), 232-33. From the viewpoint of literal borrowing, she is right in pointing out that the majority of Chinese songs are for the Chinese characters. From a less literal borrowing viewpoint, however, I believe Puccini used small portions of Chinese songs for the exotic characters. This can also be heard in Puccini’s employment of exotic tunes in Madama Butterfly where the Japanese folk tunes do not always play throughout the entire section. Also, when symbolizing America, Puccini used only the opening few notes of the American national anthem, “The Star-Spangled Banner,” to imply the world of Pinkerton. It thus shows that Puccini flexibly used materials from exotic tunes for his own dramatic purposes.

168 Puccini also put these four notes into the scene (I/24) where they accompany the priests’ procession to the execution of the Prince of Persia.53 Calaf uses the borrowed phrase from Chinese song no. 8. Example 5.8 shows this borrowing from III/35, the beginning of the love duet after the death of Liù.

Example 5.8: The borrowing of the Chinese melodic phrase in Calaf (III/35)

Puccini only finished his composition up to III/34, and Alfano took over the rest of the music. Yet, according to the sketch that Puccini left, he wrote this part of Calaf’s melody. These two examples of borrowings in the music of Liù and Calaf indicate that, compared to the Chinese characters, Turandot and the Emperor Altoum, fewer Chinese songs are applied to the exotic characters (foreigners—Liù and Calaf in China) in this opera. As the original tale was set in China, Puccini introduced a Chinese flavor to his opera by also incorporating Chinese musical character into his diatonic writing. This is introduced in three distinct fashions: 1) by applying the pentatonic collection to non borrowed melodic writing; 2) by using neighbor-tone motions to imitate the Chinese melodic arch form and carefully restricting the intervallic relationship of the melody to the intervallic structure of the pentatonic collection; 3) by keeping the melodic range narrow and avoiding large leaps.

53 See Lo and Maehder (2004), 228-29.

169 Blending these three elements, Puccini creates what I call “pseudo-pentatonic” melody. The arias for Liù, Calaf and Turandot54 display this pseudo-pentatonic writing.

(1.) Calaf

Example 5.9: The neighbor motion from Calaf’s “Non piangere, Liù” (I/43) 55

The overall structure of this opening is based on the pentatonic collection, shown in example 5.10.56

Example 5.10: The Pentatonic collection in Calaf’s “Non piangere, Liù” (I/43)

From the diatonic perspective, the initial seven measures display a middle-ground neighbor prolongation. Yet, as the two lower-neighbors, Gb and Ab, belong to the

54 See the analysis of Turandot’s aria “In questa reggia.” 55 The dotted line indicates neighbor prolongations (mirroring the arch forms of Chinese melody). 56 ^ The Cb (4) in m. 9 can be considered as the biàn yìn in Chinese musical terms. The biàn yìn is a pitch that can be used to color the pentatonic melody. Here, it decorates the neighbor motion in m. 9.

170 pentatonic scale and emphasize the m3 and M2 from the main pitch Bb,57 we can understand this in terms of the Chinese melodic arch form.

(2). Liù In a letter to the librettist Adami, Puccini wrote: “I call your attention to Liù in the third [act]…I have the bit of music with a Chinese flavor and it will be necessary to adapt it a little.”58 In Liù’s scene in Act III, she speaks of her love for Calaf and shows Turandot that her love enables her to endure pain. Liù’s pseudo-Chinese melody shows diatonic neighbor motion or, more specifically, the Chinese melodic arch.

Example 5.11: The neighbor motion from Liù’s “Tanto amore segreto” (III/24/1-5)

This melody is based on two pentatonic collections (F-G-A-C-D) and (C-D-E-G-A)59 and are closely related through the P5 interval. This intervallic relationship helps to create the smooth transposition from one to another and produces a distinctly Chinese flavor.60

57 The interval vector of the pentatonic scale is <032140>. Stepwise motion in the Pentatonic scale is based on two intervals, M2 and m3. These two intervals are often used in Chinese pentatonic melodies to highlight the main tone’s character. The example is Mo-Li-Hua. 58 See Ashbrook and Powers (1991), 98. Ashbrook and Powers say this passage contains Chinese tinta and defines the irregular rhythm as expressing Liù’s secret love. 59 These two pentatonic scales add two biàn yìn, E and B, respectively. These two notes demonstrate the way in which the diatonic scale can preserve its pentatonic sound. The E (in m. 2) does not sound distinct

171 Example 5.12: Pentatonic scales in Liù’s “Tanto amore segreto” (III/24)

The first pentatonic collection in mm. 1-2 shows a similar contour to the opening of Chinese song no. 2. They both begin with the alternation of the rising (+) and falling (-) motion.

Example 5.13: Contour relationship to Chinese song No. 2, mm. 1-2

The second pentatonic collection in mm. 3-4 reveals an imitation of the Chinese melodic arch, where the pitch A takes part in an upper-neighbor motion. To a certain extent, this phrase is pseudo-Chinese, as pitches are prolonged to create a larger-scale upper neighbor motion in the arch shape. This shows the way in which Puccini retains the Italian style, while introducing a Chinese touch as an enrichment. Overall, the melodic because it is located within the rising-falling pattern. The B (in m. 4) sounds as part of the ‘diatonic’ double neighbor, and is unemphasized because of its rapid thirty-second rhythm. 60 Mm. 1-2 is based on (F-G-A-C-D) and mm. 3-4 is based on (C-D-E-G-A). Ashbrook and Harold suggest there is another pentatonic module (Bb-c-d-f-[g]) in mm. 5-6 and that comes from the pitch Bb. While their point is good, since by including the Bb pentatonic, they are able to present three dualistically related pentatonic collections (IV-I-V). However, I think that the identical harmonic settings of both mm. 1-2 and mm. 5-6 precludes this notion, since they should probably be seen as the same pentatonic collection (with Bb as a decoration).

172 wave that is built through the pentatonic arrangement of intervals successfully portrays Puccini’s unique Chinese flavor.

7. Incorporation of French Impressionistic Sonorities

French Impressionistic sonorities densely integrate with the diatonic and pentatonic systems to present an atmosphere that accords with the dramatic needs. The French sonorities here either color the diatonic writing or melt into the tonal structure to become a part of it. Two examples are listed below to show how this works. The first demonstrates an impressionistic coloring of the diatonic writing in the trio of the three ministers. The scene describes the ministers’ hopes for a prince to tame Turandot and save China. The whole can be divided into three subsections each of which begins with an identical melody (II/21, II/22 and II/24). Each subsection differs from the others in their accompaniments in order to suit the dramatic needs. The accompaniment in II/21 is based on the harmonic progression where Ping, Pong and Pang express their hope that Turandot will accept the prince’s love. In II/22, it shifts to Romantic style arpeggios, adding color to the imaginary scene in which Turandot succumbs to her future husband. In II/24, the accompaniment displays an ascending chromatic progression. In this passage, impressionistic chromatic planing colors the previous tonal writing to suggest a glorified future for China. 61

61 Lyrics in II/21/3-4: “ Non v’ è in China, per nostra fortuna” – “There no longer dwells in China, to our good luck.” II/22/2-3: “Ma là, dentro alle soffici tende” — “But within the curtained bower.” II/24/13-14: “All’ebbrezza, all’amore che ha vinto” — “To the intoxication of the love she has won.” See Giuseppe Adami and Renato Simoni, Turandot, K.H.B. de Jaffa trans. (U.S.A.: G. Ricordi, 1926), 42-43. See also Lo and Maehder (2004), 126-27.

173 Example 5.14: French Impressionistic sonorities color the diatonic melody

174 The next example comes from III/1-2, where the heralds announce that no one shall sleep and death will be the penalty if the unknown prince’s name is not revealed before dawn. Here, the diatonic a-minor chord accompanies the Araldi. The a-minor expands to SC (01478), which is a symmetric set derived from combinations of major, minor and augmented triads.62 Both the a-minor passage and the SC (01478) alternate to express the dread of night in Peking, where crowds fear the upcoming death ordered by their icy princess, Turandot.

Example 5.15: The French Impressionist style integrated with diatonic melody

8. The Sign of Falling in Love (Turandot and Calaf)

above all heighten the amorous passion of Turandot which she has smothered so long beneath the ashes of her pride…(Giacomo Puccini, 1920.)63

Puccini’s heartfelt compassion for humanity is presented in the belief that only love can melt Turandot’s icy heart. Even if the composer’s sudden death left a vital part

62 This SC (01478) appears in the opening of Act I, where Budden calls it a bitonal dissonance. See Budden (2002), 447. Ashbrook calls it “bicentric chord.” See Ashbrook (1991), 16. Both names suggest the constituent overlapping of major and minor chord qualities. I use its set-class prime form SC (01478) to highlight its symmetric quality, which ultimately integrates with a-minor passage to express the dread of night. 63 Budden (2002), 424.

175 of the opera—the love duet—incomplete, Turandot’s overall structure, particularly the interaction between Turandot and Calaf, suggests what he had in mind.64 The presence of three acts suggests that Turandot melts gradually. The high point comes when Calaf kisses her, giving her an opportunity to reveal her passion.65 But, her love does not come at once. The seeds of love had been planted before the kiss; indeed, Turandot confesses that she has loved him since she first set eyes on him.

(1). Act I In Act I, Turandot appears at the Persian prince’s execution without singing a note, yet the chorus sings Mo-Li-Hua to indicate her presence. Both the scene of execution and the chorus’s Mo-Li-Hua veil the image of Turandot, hiding her behind her arrogance and pride.

Example 5.16: Mo-Li-Hua, the figure of Turandot

(2). Act II The icy image of Turandot in Act I is sustained in Act II. When Turandot finally appears in the middle of Act II, she tells the story of her ancient ancestor Lo-u-Ling in the aria “In questa reggia,” whose death Turandot seeks to avenge. This explains why

64 While composing, Puccini often instructed his librettists Adami and Simoni to provide him with lyrics that would agree with his own dramatic wishes. Since Simoni completed a satisfactory love duet before Puccini died, the following analysis will include its ideas in order to suggest what Puccini might have had in mind for Turandot. The text in III/42 indicates that after Calaf kisses her, Turandot melts. She admits that she fell in love with Calaf in the first moment. She says “Stranier, quando sei giunto, con angoscia ho sentito il brivido fatale di questo male supreme!” – “Stranger, at the first sight of thee, I felt the anguish of that fatal quiver, of that supreme pain!” She goes on to say that “la superba certezza, e t’ho odiato per quella, e per quella t’ho amato,”- “Thy superb reliance made me loathe thee and made me love thee.” Translation from K. H. B. de Jaffa (1926), 84-85. 65 Puccini described the kiss: “I should have liked her to burst into expressions of love coram populo—but excessively, violently, shamelessly, like a bomb exploding.” See Giuseppe Adami ed. (1931), 267.

176 Turandot keeps away from men, yet at a moment near the end of her aria, Turandot unexpectedly tries to dissuade the unknown prince from trying to solve the riddles. She sings a melody in Eb major, “Gli enigmi sono tre, la morte è una!” — “The riddles are three, Death is one!”66 In this moment she displays human emotion for the first time. The unknown prince then takes her Eb tonic and says “No!” to her. He then changes keys to F# and imitates her melody, to show that he is not afraid: “Gli enigmi sono tre, una è la vita!” — “The riddles are three, Life is one!”67 As both Turandot and the unknown prince are unable to step away from their commitments, they sing in unison in a new key, Ab, a key in which they both agree to stay.68

Example 5.17: Singing in unison, II/47

66 K.H.B. de Jaffa trans. (1926), 50. 67 Ibid. 68 For a more in-depth discussion, see aria analysis “In questa reggia” later in this chapter.

177 As noted, Turandot backs down from the marriage agreement. She asks Emperor Altoum to release her from the marriage, but her request is refused. Turandot then turns to the unknown prince, displays her reluctance, and sings her own Mo-Li-Hua for the first time. But Calaf does not let her finish the song. He ardently interrupts her and takes over her Mo-Li-Hua, concluding the musical phrase. Indeed, by taking over Turandot’s Mo- Li-Hua, Calaf shows his strong desire to possess Turandot. He also raises himself to her stature by singing her song; from this moment, Turandot is no longer the proud princess.69

Example 5.18: Turandot and Calaf in Mo-Li-Hua

The next conversation between Turandot and Calaf takes place in III/18 when the guards drag in Timur and Liù.

Example 5.19: Turandot talks to the Unknown Prince in III/18

69 The fact that she allows Calaf to take over her song also suggests the fact that she already has feelings for him.

178

Turandot’s melody comes from Calaf’s entrance in I/15, where the strings accompany him. 70

Example 5.20: The entry of the Unknown Prince in I/5

In this conversation (III/18), Turandot takes over the notes of the strings in I/5. The employment of notes from Calaf’s entry recalls the moment when Calaf takes over Turandot’s notes from the Mo-Li-Hua in II/64. Both leads repeat fragments from each other’s melodies to symbolize the germinating seed of love (even if the proud Turandot won’t admit to it.)71 Puccini was unable to finish the love duet and Alfano stepped in to complete it. According to the libretto, Turandot admits her love to Calaf after their kiss. She pleads with Calaf to take his secret with him and leave. Calaf refuses and tells her his name. He is ecstatic in the discovery of her love. Turandot is ecstatic in the return of her dominance. Their ecstasy is displayed in the echoing of one another’s phrases.

70 This tune accompanies the entrance of Liù (I/4), Calaf (I/5) and Timur (I/6) in Act I. Carner states that the tune expresses Liù’s anxiety to Timur. This seems likely, but as Liù’s entrance takes place at the end of the tune, I do not take it to be Liù’s music. Since the tune begins with Calaf’s entrance (i/g) and then continues through Timur’s entrance (iv/eb), it seems clear that the tune belongs to Calaf, and ultimately represents his intimacy with Turandot. Indeed, Turandot sings this tune in III/18/3, where she begins in c minor. See Carner (1958), 460. 71 Puccini’s male and female leads repeat fragments from each other’s arias to show their intimacy. Another example comes from La boheme’s Mimì and Rodolfo, where in “Sono andati?” their budding romance is shown in their repetition of fragments from each other’s initial arias.

179 Example 5.21: Ecstasy in III/49

Their notes in III/49 come from the riddle scene in II/50 where Turandot intimidates Calaf.

Example 5.22: Riddle in II/50

The melodic notes in the lovers’ ecstasy (III/49) transform the previous intimidating atmosphere of the riddles section (II/50) into jubilance.72 This transformation shows that their love has existed since the riddles scene, or even earlier. It grows when they share the Mo-Li-Hua, through Calaf’s entrance tune, the kiss, and finally, in peaks in the ecstasy

72 Puccini had told Simoni that “I lack only the final duet. All the rest is orchestrated.” It thus seems that this section (III/49) comes directly from Puccini’s plan. See Philips-Matz (2002), 288. Alfano completed III/49 according to Puccini’s outline and, especially since the notes derive from the riddles scene, it may indeed be close to what Puccini intended.

18 0 scene when they reveal their love to one another.73 At this moment Calaf brings Turandot back to humanity. She and Calaf are in an equal position now, connected by love.

73 From my perspective, it is Calaf’s great love that melts Turandot. To a certain extent, Liù’s death impressed upon Turandot the power of great love. But, I do not agree with those scholars who believe that Turandot fell in love with Calaf because of Liù’s death.

181 Musical Synopsis – Turandot74

74 For a description of my Musical Synopsis, please see Chapter 1 (pp. 36-37).

182 183 184 185 186 187 188 189 190 191 192

193 Liù: “Signore, ascolta!”

In this aria, Liù tries to persuade Calaf not to solve Turandot’s riddles. She asks him to remain with her and his father, Timur. Her melody is constructed through the pentatonic collection (Gb-Ab-Bb-Db-Eb), which symbolizes her Asian identity.75 The harmonic structure in this aria depicts a simple I-IV-V-I progression,76 reflecting the simple dualistic harmonization of traditional Chinese music (IV-I-V).77 The overall structure is listed below.

Table 5.1: The overall structure of “Signore, ascolta!”

Location/mm. I/42/1-8 I/42/8-13 I/42/13-15 ^ ^ ^ Urlinie 5 6 5 Ursatz I IV V-I 6 ) Harmonic Detail I (4 -IV-V-I I-IV(I6-IV)-V-I

The aria is composed without regular repetition. The locally prominent Db (5^) in

I/42/1 is decorated through a motivic upper neighbor, Db – Eb – Db (5^ - 6^ - 5^), which presents a miniature summary of the entire aria. This upper neighbor 5^ - 6^ - 5^ is supported 6 6 6 by the oscillatory pedal (I4-V-I4). The position of the 4 reduces the tonic’s strength and 6 produces extremely smooth voice leading to the subdominant that follows. The 4 also

75 Liù presents a more broadly Asian identity (she may be a Tartar), not a Chinese one, because she is a slave-girl who comes to China with Timur, the exiled emperor of Tartary. 76 When analyzing this aria, Andrew Davis explores what he calls “Romantic-Exotic Integration.” He basis his idea on the notion that the harmonic emphasis on IV represents Puccinni’s Romantic style. The IV here ^ ^ ^ weakens the tendency of the dominant. Also, his analysis shows a 3-2-1 Urlinie descent. See Davis (2003), 106-11. 77 The overall structure of Mo-Li-Hua displays a similar harmonic progression,“I-IV-v7-I.” Yet, the IV in Mo-Li-Hua is much more independent, as its voice leading to the I6 is not as smooth as in Liù’s “Signore, ascolta!”

194 creates an unstable opening, wherein the lack of a root-position tonic foreshadows Liù’s incompleteness.78 The opening of Liù’s “Signore, ascolta!” suggests a pseudo Chinese melody with pentatonic underpinnings. The initial stable IV (in the key of Gb) arrives in I/42/5, while the melodic passage in I/42/1-10 shows a manipulation of the pentatonic collection. The diatonic neighbor (5^ - 6^ - 5^) imitates the Chinese melodic arch form, as do most sub-units of the melody (see arches in Figure 5.1).

Figure 5.1: Liù: “Signore, ascolta!” (I/42/1-10)79

78 6 Davis makes a good point about this opening: “the chord [4] has at least some degree of identity not only 6 6 . as a dominant 4 but also as a tonic 4 This is another example of Puccini’s undercutting the dominant function, and it puts the tonality of the aria on very unstable ground. Indeed, no stable tonic harmony is articulated in the piece until the eighth measure.” Davis (2003), 119-10. 79 Detailed discussion of my linear methodology can be found in the introductory chapter and chapter 1.

195 I/42/7-15 shows a complete I-IV-V-I progression, supporting yet another 5^ - 6^ - 5^ neighbor. The subdominant here is prolonged through a motion to and from I6. The IV supports this heart-rending melody that is based on the prolongation of 6^. Both IV and 6^ create a subdominant sound realm to support the female protagonist’s pleading. As the text in this passage refers to the torment of exile, perhaps Liù is hoping the unknown prince will be sympathetic to her and the elderly Timur and will stop his attempt to solve the riddles. After reminding him of the torment of exile, the harmonic progression shifts to V-I, where she repeats her and Timur’s sadness, and closes the aria.

Figure 5.2: Liù: “Signore, ascolta!” (I/42/7-20)

196 As mentioned earlier, the pseudo-Chinese style is evoked through the use of the pentatonic and the melodic arches. However, as the smooth melodic line is constructed from a large-scale 5^-6^-5^ prolongation, rather than a particular pentatonic scale, the harmonic setting emphasizes diatonicism. Through the avoidance of the tendency tones 4^ and 7^, the melody represents Puccini’s most mature versimatic melody. Recalling my discussion in previous chapters, verismic characters such as Mimì (see particularly “Mi chiamano Mimì”) employ a dualistic divide between IV and V to distinguish between unrealistic dreams and reality. Since Mimì dies in the end, the IV implies that she is an unrealistic character whose existence is preparation for her upcoming death. Tosca, in her “Vissi d’arte,” expands the VI which is at the edge of the tonal realm in which she lives. Only death can take her to the tonic world of Cavaradossi. Both the verismic character Mimì and the verismo-influenced character Tosca show how Puccini utilizes predominant chords for intense inner expression. These sentimental expressions are duplicated in the verisimic character Liù, a slave-girl whose love for a man of noble birth can never become a reality.80 In Liù’s aria, the IV virtually blends with the tonic to portray her torment. The smooth link between the two chords here makes the tonic harmony vague and portrays the intense sorrow of this Asian woman.81 Indeed, coming after such characters as Mimì, Tosca, and Angelica, Liù’s music represents the culmination of Puccini’s experimentation with the language of intimate musical expression as it is manifest in the humblest of versimic characters.

80 As shown in a letter to Adami, Puccini suggests the death of Liù: “I think that Liù must be sacrificed to some sorrow, but I don’t see how to do this unless we make her die under torture.” See Adami, ed., (1931), 292. The death of Liù has been controversial for long and scholars take the point that her death is the crucial moment in the opera. Yet, scrutinizing the fact that verismic characters such as Mimì only exist to die, it can be seen that the death of Liù, another verismic character, is necessary—as Puccini usually lets his verismic characters die. 81 Certainly the character of Chinese pentatonic melody emphasizes smoothness, avoiding the built-up need for resolution found in Western diatonicism. This may be the reason that Puccini puts so much emphasis on IV in this aria. Interestingly, this seems like a natural connection for Puccini, whose earlier music already favored the Romanticists connection to the subdominant.

197 Turandot: “In questa reggia”

As noted, Turandot is Gozzi’s most humane work. The female lead Turandot is a character of fable whose pride has smothered and repressed her passion. She believes she must take vengeance on men for her ancestor Lo-u-Ling, who had been raped by her enemies when China was conquered thousands of years earlier. Awakening Turandot— releasing her from her prison of revenge and restoring her humanity—requires the magic of fairy tales; yet, a great humanity is presented in this abstract world in which geographic boundaries are easily crossed. In other words, the humanity of that abstract world offers only one language to all, and that is the language of love.82 Although Puccini was unable to complete his opera, his overall plan for bringing Turandot back to a state of humanity is suggested in each of her appearances, from Acts I to III. These three acts show a tripartite progression. In Act I, Turandot is presented as an icy, distant icon. In Act II, she reveals that avenging Lo-u-Ling has made her incapable of loving men. In Act III, the magic of love washes vengeance away. The icy heart of Turandot gradually melts and returns her to human life through the love of Calaf, the unknown prince. In the beginning of Act I, the execution scene sets up the dreadful dynamics of Turandot’s realm. The Chinese song, Mo-Li-Hua, sung by the chorus,, indicates the presence of Turandot, and this authentic tune specifies her Chinese identity in this fable set in a mythical China. Turandot does not sing in Act I, but merely appears for the execution of the prince of Persia. Her gesture in ordering the execution clarifies her bloodthirstiness. The execution, the authentic tune Mo-Li-Hua, and the mute Turandot produce a dramatic image of an untouchable and inhuman ruler. When Turandot disappears, she leaves her perfume in the air; it is a bewitching scent that reveals that Turandot is really human. Although she is mute and her existence seems abstract (her messages are all presented by others, from executions to the Mo-Li-Hua chorus), she is completely real. It is her scent that first captures Calaf, who has fallen in love with her at first sight. Fascinated with her dynamic beauty and scent, Calaf forgets his earlier curses and determines to win her.

82 To this, one might add the universal language of music.

198 Calaf is not alone in his venture, because his decision to win Turandot changes her life as well. She is the sleeping beauty, waiting for the right prince to rescue her. The dramatic description thus far reveals Puccini’s overall plan for Act I. Although musically Turandot is mute, through the efforts of other characters she is shown to be a distant icon, like the moon, marvelous and yet unapproachable.83 Turandot’s initial note takes place in the middle of Act II, half way through the opera. In her lengthy aria, “In questa reggia,” Turandot tells the story of Lo-u-Ling. As prior scenes have set her image to be icy and distant, this aria is essential. It introduces her inner thoughts for the first time. While everyone curses her cruelty, the story of her ancestor suggests the origins of Turandot’s bloodthirstiness in Lo-u-Ling, whose tragic incident has led her to seek vengeance on men. In her description of this aria Clément says:

Finally, Turandot’s voice [in this opera] rises. Lofty, among the highest peaks of superhuman voices, she imperially sings her own myth, her originating fantasy. A cry that is not hers…here is the familiar hysteric from our childhoods, the woman who has no soul, the one who finds her own soul in that of others, in a lost past where the recalcitrant, the irrepressible, and the rebels from this endless war live on.84

In other words, Turandot finds her soul in the body of another, Lo-u-Ling. Thus, it is Lo- u-Ling’s voice recounting the incident that instigates this ritual of revenge. Clément’s insightful comment stands on the literary viewpoint that Turandot finds her soul in Lo-u- Ling. Yet, in Puccini’s writing, Turandot still owns her soul (see later analysis). It is more likely that Turandot and Lo-u-Ling share one voice for much of this aria. Turandot’s weak human voice does begin to emerge, showing that her return to humanity may be gradual, but it is progressing. This aria presents the first step.

83 See Musical Synopsis of Turandot for more musical specificity. 84 See Clément (1988), 100.

199 1. Overall Structure

As suggested earlier, this fable-based opera is set in a China that is not tied to a particular era. This fantastical setting allows Puccini to integrate elements from the styles described above (diatonicism, pentatonicism, impressionism). This differs from Madama Butterfly, where the setting was a very specific time in Japanese history and therefore required a more restricted set of musical resources. The overall structure of “In questa reggia” carefully integrates musical resources from the three styles described earlier, in order to clearly portray the vengefulness of Lo-u-Ling, who lives on in Turandot, specifically in her disdain for men. The aria includes an introduction and five sections, as described in the chart below.85

Table 5.2: The overall structure of “In questa reggia”

Sections Intro. A B A’ C D II/43/1-15 II/45/1-13 II/47/15 Location/mm. -II/44/1-2 II-44/3-14 - II/46/1-3 II/46/3-12 II/47/1-14 - II/48/1-7

key I/d f# D f# Gb-Bb-D-F# Eb-F#-Ab Harmony 4 4 I-III-bVI-I (in f#) VI i (+2) VI i (+2) (Aug.) VI-I-II ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ Urlinie 6-5 5-6-5 6-5 5-6-5 Drama Night Lo-u-Ling Terrible Avenge Warning Death/Life

Similarity* A & A’ B & D A & A’ C & D B, C & D Resources Integration of tonal, Chinese pentatonic and French sonority * Similarity lists sections which share similar motives.

85 Davis also points out that this aria shows the integration of three styles (romantic, exotic-Chinese, and ^ ^ ^ dissonant). However, he shows an overriding Urlinie (3-2-1) that guides the structure in his analysis. See Davis (2003), 133-47. My approach differs from his, for I focus on the integration of tonal and pentatonic structures to emphasize the story of the Chinese princesses (Lo-u-Ling, the first and Turandot, the second).

200 2. Sectional Detail

(1). Introduction

.

Figure 5.3: Turandot: “In questa reggia” (Introduction: II/43/1-15 to II/44/2)

The introduction begins with a D-major tonic chord, but ends in f# minor. The opening shows a distinct modal mixture, as the tonic pedal supports a d-minor scale descent in the melody. The blending of major and minor creates an eerie dynamic, suggesting a position of far remove. In the meantime, the harmonic progression above the tonic pedal is lacking in a leading tone for the first five measures: I-bvii7-v-V-I, again suggesting the travel to the distant past of suggested in the text (See Figure 5.3).

201 The harmony after the arrival of I/d (in II/43/6) belongs to a chromatic sequence, wherein a half-diminished triad becomes fully diminished. The intensifying dissonances highlight the “cry” and the anguish described in the aria. This cry seems to travel through the ages, arriving on a leading-tone-less v6 in d (II/43/9). This v6/d acts as a pivot to f# minor (iii6/f#). F# minor is firmly established through a V-i motion in II/44/1-2. Meanwhile, once the new key is set, the name of the princess who cried thousands of years ago, Lo-u-Ling, is revealed. The key of f# then presents the Lo-u-Ling figure in the subsequent sections.

(2). A section

Figure 5.4: Turandot: “In questa reggia” (A section: II/44/3-14)

202 The A section maintains the key of f# from the end of the introduction. As stated before, the new key represents Lo-u-Ling and links to her unyielding quality. The melodic structure depicts 5^-6^-5^ supported by an ostinato that is based on the oscillation of two pentatonicized tonic and dominant chords i (+4/+2) and v7 (+6/+2).86 These two pentatonicized chords combine tonal and pentatonic qualities to eerily portray the ghostly figure of Lo-u-Ling in this fantasized China. The motion above the ostinato is a i-iv-v7-i harmonic progression. This harmonic motion supports the melody’s 5^-6^-5^, recalling a similar structure found in Mo-Li-Hua, where the chorus sings to indicate the presence of Turandot in Act I.

Figure 5.5: Mo-Li-Hua (I/19/1-16 to I/20/1-21)

86 Davis comments on this oscillation between tonic and dominant, showing the parallel seventh motion: “they are, after all, triadic extensions, and extensions are common romantic-style elements—but in this case they are better interpreted as integrated dissonance.” The strict parallelism here obscures the tonal harmonic nature. He goes further to state that this is an example of Puccini’s musical connection to Debussy’s technique of “planning.” See Davis (2003), 140.

203 The harmonic structure of Mo-Li-Hua lacks a leading tone function (bVII7 and v7), thus avoiding dramatic tension from tonal harmonic usage. The lack of a leading tone preserves the smooth pentatonic quality, and the tonal dualism subtly reminds the listener that both IV and v provide better support for Chinese pentatonic melody than other functional chords. Indeed, they (D and S) share almost equal harmonic weight in the pentatonic system. Liù’s aria, “Signore ascolta,” is based on a similar progression, but unlike Mo-Li-Hua, which is based on a large-scale tonic prolongation, Liù’s aria focuses on a prolongation of IV.87

The overall I-IV-v7-I structure of Mo-Li-Hua, along with the melodic 5^-6^-5^ motion is duplicated in this A section, although here it is placed above the ostinato. The similarity between the two represents a critical link between the figures of Turandot and Lo-u-Ling. The embedded structure of Mo-Li-Hua within Lo-u-Ling’s music also suggests that the ghost figure of Lo-u-Ling has been transplanted in Turandot, who, however, is weak compared to Lo-u-Ling. Thus, Turandot’s Mo-Li-Hua is under the control of Lo-u-Ling’s ostinato.

(3). B Section The B section returns to d minor. This key recalls the scene in the introduction in which a night thousands of years ago is recalled. The minor tonic (d) replaces the major tonic (D) from the introduction, replacing the F# (supported as a key area throughout the aria) with F natural. The minor mode highlights the darkness of China’s conquest. The realm of China is vividly illustrated through the pseudo-Chinese pentatonic melody, which is constructed using the Chinese pentatonic scale (see Figure 5.6).88 Here the neighbor motions (the Chinese melodic arches) prolong each pitch from the pentatonic scale (A-B-D-E-F, instead of F#) to signify that China has been defeated. Puccini

87 A number of Chinese music texts describe how the Subdominant and Tonic can support the pentatonic system: “It differs from Western tonal usage; there is no limitation for the D to S motion in Chinese pentatonic harmony. Indeed, D-S can produce appropriate voice leading in Chinese pentatonic structure. So, S-T is clearly valid in the pentatonic system” (my translation). See 王小玲 [Wang Xiao Ling] (2006), 5. See also footnote 48 in this chapter. 88 The structure of Turandot’s “In questa reggia” shows a closer connection to the Chinese pentatonic system than Liù’s aria “Signore ascolta.” In Turandot’s aria, it is both the literal pentatonic scale and the pentatonic collection that form the fundamental structure, while in Liù’s, it is simply the pentatonic collection that colors the harmony and melody.

204 combines this with the torture of Lo-u-Ling to produce a frightful scene, which is mirrored in the ostinato, where two M2-related pitches oscillate (D-E as i-ii in II/45/1- 10). The distance between these two notes grows to a M3 (D-Bb as i-bVI) in II/45/11-12, which supports a descending tonic arpeggiation (5^-3^-1^) in the melody. Here the bVI replaces the ii to place emphasis on Lo-u-Ling’s torment rather than on the defeat of

China. The middleground structure shows a 6^ prolongation to depict her torture, recalling the Lo-u-Ling’s tormenting “cry” in the introduction, also set with 6^.

Figure 5.6: Turandot: “In questa reggia” (B section: II/45/1-13 to II/46/1-2)

205 (4). A’ section The A’ section possesses a similar structure to the A section, where the melodic motion of 5^-6^-5^ is supported by the oscillation of two pentatonicized chords: i (+4/+2) and v7 (+6/+2). In the A section these two chords are used to depict the ghost figure of Lo-u-Ling. Here, Puccini uses the pentatonicized chords to illuminate the death scenes of the princes who come to court Turandot. The parallel images, the ghost of Lo-u-Ling and the princes suggest that the princes’ attempts are in vain because the ghost of Lo-u-Ling wants to avenge herself on men. In addition, her eerie figure (as represented in the unearthly pentatonicized chords) emphasizes her will to do so. In addition, the middle harmonies of Mo-Li-Hua (I-IV-v7-I) from the A section are replaced with iiø to V7; Turandot is no longer present in the harmony. Thus, this revenge is primarily at the hands of Lo-u-Ling, not Turandot. It is clear that Lo-u-Ling lives on in Turandot and kills the princes herself.

Figure 5.7: Turandot: “In questa reggia” (A’ section: II/46/3-12)

206 The B section closes with a standard diatonic motion (iiø7-V7), resolving to the minor tonic (shown as enharmonic Gb-minor) in the C section. The tonic resolution here ends the story of Lo-u-Ling and she leaves the picture. The remainder of the C section ushers in a new sonorous realm where the voice of Turandot is truly revealed.

(5). C section The key plan of the C section unfolds a large-scale augmented triad. It begins with the Gb tonic, then moves to Bb major and D major, finally returning to F#, the enharmonic equivalent of Gb, completing a full cycle of major thirds. Each key area is confirmed through a v-I progression. This augmented substructure supports a thrice- repeated melody based on of the same ordering of the Chinese pentatonic scale that was found in the B section. The lyrics in the B section recall Lo-u-Ling’s terrible experience at the hands of men. These lyrics are musically linked to those in the C section, which explain that Turandot will not be possessed by any man (of course supporting the relationship of Turandot with her ancestor). She repeats her statement three times, but in a surprising twist, when she finally returns to the original key, F# (enharmonic to Gb), Turadot reveals her feelings toward the unknown prince (Calaf). Turandot warns the unknown prince (Calaf) not to tempt fate: “Straniero! Non tentare la fortuna!” — “Stranger! Do not tempt fate!”89 This sudden warning washes away Turandot’s previous hatred and inhumanity to show her as humane and compassionate. In particular, when we recall the appearance of this unknown prince to Turandot, we are reminded that there had been twenty-six princes before him who failed in their attempts and were executed. Thus, this is a particularly magical and romantic moment in this aria.90

89 K.H.B. de Jaffa trans. (1926), 50. 90 As my dissertation focuses on harmony, I do not include any substantial discussion of orchestration in my study. However, the accompaniment of the harp throughout the C section emphasizes the magical moment.

207

Figure 5.8: Turandot: “In questa reggia” (C section: II/47/1-14)

Indeed, the revelation of Turandot’s humanity is manipulated through the careful expansion of the augmented triad (Gb-Bb-D). This augmented structure opens a fabled space to allow for the magical romanticism to sweep over the female lead.91 Also, since it only occurs at the final moment, it seems clear that Turandot’s feelings well up from her unconscious.92 Finally, ending her aria with a discussion of a magical transformation foreshadows Turandot’s eventual return to humanity, fueled by the power of love.

91 The employment of the augmented triad to represent magical transformations can be found in Wagner’s operas. For one discussion. see Mark Anson-Cartwright, “Chord as Motive: The Augmented-Triad Matrix in Wagner’s Siegfried Idyll,” Music Analysis 15/I (1996): 57-71. Also, for a historic tracing of its origins and analytic studies of its usage in the romantic era, see Matthew Bribitzer-Stull, “The Ab-C-E Complex: The Origin and Function of Chromatic Major Third Collections in Nineteenth-Century Music,” Music Theory Spectrum 28/2 (Fall 2006): 167-90. 92 In III/42 Turandot admits that she fell in love with Calaf at first sight (as discussed previously). Also, perhaps the warning here coincides with Clément’s suggestion that the unknown prince (Calaf) is of the

208 (6). D section In terms of dramatic functionality, the aria ends with the C section, where Turandot’s true voice emerges. The D section presents the first conversation between Turandot and the unknown prince (Calaf). They repeat each other’s melodies in the keys of Eb and F#, respectively. Turandot intends to stop Calaf from attempting to solve the riddles, but Calaf is prepared to risk everything for her.93 Thus ensues the trajectory towards either love or death.

Figure 5.9: Turandot: “In questa reggia” (D section: II/47/15 to II/48/1-7)

same bloodline as the man who violated Lo-u-Ling thousands of years ago. He is now here to change that history. Turandot, in whom Lo-u-Ling lives, thus feels a familiarity with him from the beginning. So, Lo-u- Ling departs after telling her story and leaves Turandot to him. See Clément (1988, 101) and see footnote 28 in this chapter. 93 He may even be able to rectify the wrongs of the past, if one is to agree with Clément’s statement (mentioned above) that Calaf belongs to the same bloodline as the man who violated Lo-u-Ling thousands of years ago. Puccini clearly wanted Turandot to have feelings for Calaf from the moment he first appeared before her. In a letter that Puccini wrote to Adami and Simoni, he describes a Turandot who is praying because of the power that Calaf already has over her: “And for the first scene of Act II, consider the daughter of the sky, high up beside the Emperor’s throne, beseeching and praying that she be not thrown into the stranger’s arms.” See Giuseppe Adami ed. (1931), 285.

209 (7). From C section to D section Greenwald suggests that the F#-Bb (in the beginning of II/47) and the Eb (at the end of II/47) presents a three-fold key plan that coincides with the overall structure (F#- Bb-Eb) from Act I, where the distant icon of Turandot is depicted. She states that the bloodthirsty scene in Act I is reaffirmed here to tell of “Turandot, herself: bloodthirsty, yet splendid, like the moon.”94 Indeed, making a connection between the F#-Bb-Eb scheme from Act I and this aria explains how Turandot can be the shadow that covers the entire dynamic of Act I even though she is mute. The terrible memory of Lo-u-Ling is thrust on Turandot, in fact, the bloodthirsty Turandot (in Act I) seems to be under the control of Lo-u-Ling.95 The real Turandot only appears in the romantic magical space, and it is only at the last moment that she reveals her innocence. The magical space (II/47) is reproduced in Act III (III/38) where the unknown prince kisses Turandot. (See Figure 5.10).

Figure 5.10: Prior to the kiss in III/38

94 Greenwald (1991), 94. 95 It seems odd that such a proud princess would show passion so suddenly. The emergence of her passion and humanity has to be revealed in small, incremental stages.

210 The augmented tripartite scheme96 unfolds with tonicizations of C, E, Ab, and C. Here the unknown prince touches Turandot. Her resistance is useless as the unknown prince is triumphant, following the major third cycle with a kiss. Oddly, the three-fold plan (F#- Bb-Eb) in Act I presents what Greenwald suggests is the bloodthirsty Turandot. Yet, the same scheme becomes F#-Bb-D-Gb (F#)-Eb in II/47, revealing Turandot’s initial humanity through her warning to the prince. The two episodes (Act I – Act II) display the progress of her change from bloodthirsty creature to human. This scheme becomes C-E- Ab-C-F in III/38, which sets the final transformation with the magical kiss and Turandot’s escape from the curse that has plagued her.

3. Conclusion

As suggested, this aria shows Turandot’s inner thoughts. It starts by explaining the motivation to avenge Lo-u-Ling wherein the voice of Turandot is particularly weak.97 Her real voice only emerges near the end of this aria where the magic transformation begins (as indicated by the augmented triad). The following analytic graph shows the overall structure of the aria and clearly demonstrates how the voices of Turandot and Lo- u-Ling control this aria.

96 Alfano completed this part based on the sketch that Puccini had left. As both II/47-48 and III/38 share similar music, it stands to reason that the ideas in III/38 stem from Puccini. 97 This coincides with Clément’s comment that the soul in this aria is Lo-u-Ling’s, not Turandot’s. This is only valid up to II/46, however. Ping, Pong and Pang have also told the unknown prince that Turandot does not exist in Act I (I/39). This shows that the entire opera centers on Turandot’s identities and transformation.

211

Figure 5.11: Turandot: “In questa reggia” (Middleground of the entire aria)

212 Puccini has stated that to discover “the amorous passion of Turandot which she has smothered so long beneath the ashes of her pride…”98 is the goal of the opera. The voice of Turandot is revealed gradually. It is only at the end of the aria that she takes a first step toward humanity. Thereafter, her passion is discovered step by step with the assistance of Calaf 99 and Liù. In the death of Liù, Puccini reveals his last hand in his plan to melt the heart of the icy princess. Liù’s scene is based on subdominant prolongation that supports the pentatonically conceived melody.

Example 5.23: Prior to Liù’s death (III/24/1-5)

Comparing the figures of Lo-u-Ling and Liù, the pentatonicized tonic and dominant chords representing Lo-u-Ling express hate and fright, while the diatonic subdominant representing Liù expresses love.100 Both female protagonists present the dualistic meanings of their characters.

98 Budden (2002), 424. 99 See the previous discussion in this chapter for the steps taken toward Turandot’s humanity. 100 Scholars have depicted the death of Liù as the dramatic pitfall of this opera. Yet, when comparing the musical structure of Liù’s “Signore, ascolta!” with Turandot’s “In questa reggia,” Turandot’s aria places much more weight on pentatonic structure than Liù’s. Liù’s aria is heart-rending and is inspired by the pentatonic collection, but her musical structure is built on a diatonic foundation, not pentatonic. So, from a musical perspective, she is like Mimì. She only exists to die.

213 Example 5.24: Dualist figure for love and hate

A similar dualistic dichotomy appears in Mimì’s “Mi chiamano Mimì” where the IV and V realms represent the unrealistic dream and reality, respectively. When the fragile and ill Mimì first appears and falls in love with Rodolfo, her figure seems to be substantial (real). Yet, her dual figures (IV and V) suggest that she is not a true character, but a representation of the feminine object of affection. Her death at the end of the opera confirms this statement; she has only lived to die. The dual figures of Mimì differ from the dual figures of Turandot, however. Turandot initially appears to be a distinct and untouchable icon, an inapproachable image. Her transformation is accomplished through the assistance of other characters. At first, the chorus sings her Mo-Li-Hua and the authentic tune places her in the space of the exotic “others.” Then, Lo-u-Ling speaks through Turandot through the pentatonicized tonic and dominant chords, telling of her desire for vengeance against men. Turandot’s true voice is only revealed in the magical augmented space that shows the first step toward transformation. Next, Liù uses her diatonic subdominant to introduce love to Turandot. In addition, Calaf uses the submediant in his “Nessun dorma!” to express his great love. Thus, the overall harmonic representation of Turandot is revealed: starting with the authentic Chinese song, Mo-Li-Hua, which presents the image of Turandot; going to the pentatonicized tonic and dominant that portrays her hate and vengeance; continuing with the subdominant and submediant that brings her to the path of love. It is

214 through the efforts of these characters (Chorus, Lo-u-Ling, Liù and Calaf) that the true Turandot is incarnated and returned to humanity.101 Liù died after revealing her love for Calaf to Turandot; and it is at this juncture that Puccini died. He had nearly completed Turandot and left sketches for the unfinished portion (except for the scene after the kiss). The music he had already completed reveals how he intended to transform Turandot and bring her to human life.102 What Puccini left us is not an incomplete dream but an invitation. As Turandot is set in a fantasy world where all substance can be comprehended through magic, all lovers of Puccini’s music are able to enter the fantasy and complete Turandot with him. As he wrote shortly before his death: “when the heart speaks . . . the outcome is the same to everyone.”103 Only those who speak with their hearts will enter the opera’s magical realm and will respond to that “something human” that Puccini offers the audiences of Turandot.

101 Certainly the efforts of Calaf’s love count the most. But, as Puccini did not finish the opera, Calaf’s part is incomplete. As my dissertation centers on Puccini, I have regretfully left Alfano’s contributions out of my discussion. 102 See the previous discussion on “From C Section to D Section.” Also, as I do not deal with Alfano’s work on the opera here, I admit that the analysis seems incomplete. I have missed the most important part pertaining to Turandot’s return to humanity (the love duet) here. But, as my attention has been devoted to what remains under Puccini’s hand, I have chosen to stop the discussion here. 103 See Phillips-Matz (2002), 288.

215 CHAPTER 6

THE HARMONIC REPRESENTATION OF THE FEMININE IN PUCCINI

I believe I have done good work; perhaps, though, I have made a mistake, with all the new things people are trying today, following rough-sounding paths and discord, where sentiment—that sentiment that gives us joy and tears—has been abandoned. I have put my whole soul into this opera; we shall see whether my vibrations match those of the public. (Giacomo Puccini, 1924.)1

Giacomo Puccini (1858-1924) lived at a time when the world was experiencing radical sociopolitical changes in both domestic and international domains. The Industrial Revolution and its technological advances changed the way people lived and worked, as well as the social structure with which they had previously identified. The voices of capitalism and communism competed and sometimes clashed, the former stirred by the rise of the mercantile classes, the latter by the working classes that provided labor for the businesses, trades, and industries spawned by the great age of modernization. These systems eventually replaced the Imperial structure of most western nations in the early twentieth century. The technological advances that improved transportation and facilitated communication for Western peoples gave them a cosmopolitan perspective and interest in other cultures of the world. International relations made people see the world with new interest and fascination. Former remote parts of the world seemed closer and the people who inhabited them more accessible. The rise of the middle class, the ease of transportation, and a curiosity for the world outside the habitual comforts of Europe created audiences for Puccini that were intrigued with distant lands and fascinated by the exotic. At the same time, opera-goers of Puccini’s time were receptive to his intimate characterizations, especially of his exotic female subjects, an intimacy in which his audiences could feel compassion for a geisha in Japan or an ice princess in a mythical China. Puccini created for his audiences romantic fantasies in remote lands where surreal events could be transported to the operatic stage. Exotic domains became wonderlands

1 From a letter Puccini wrote to Simoni on March 25, 1924. See Phillips-Matz (2002), 288.

216 for audiences to escape from real life. In Puccini’s operas, human intimacy conjoins with exotic fantasy to create magical and surprisingly believable worlds that have been transporting audiences for nearly a hundred years.

The Feminine

Puccini did not create his exotic characters or settings from scratch. In fact, they represented part of the social thinking of his time. In addition to capturing, refining, and concentrating the ideas of the period in his characters, he also contributed his own special ability to portray his observations, making them come vividly alive on the operatic stage. Some examples of this can be found in the verismic character, Mimì, who represents the romance of the lower-classes, and Butterfly, whose story was based on an unrealistic exotic event set in a far-away land. Also, as I have suggested in the Turandot chapter, the style of Verdi, which emphasized the dominance of male power, faded in Puccini’s work. Puccini instead emphasized the intimacy of the little things of daily life. Puccini’s great humanity has been consistently displayed in his compassion for society’s subordinate groups, particularly women. Most of his female characters fits into the verismo or verismo-influenced category. They share one thing in common in that they experience love and, for the most part, die from the experience. However, Puccini did not write women’s roles only to lead his heroines to a romantic and passive death. His female roles grew in strength and determination, evolving into characters that were vulnerable to love, but independent and capable of free will and self-sacrifice. This evolution can be seen in the shift from the subordinate image of Mimì in the early La bohème to the determined and substantive character of Liù in Turandot.2

2 Carner has stated that “Works that are genuinely admired by the world at large must possess some value even if they offend the taste and principles of the elite. We may in cold blood accuse an artist of holding a view of life which as a statement of moral and spiritual values strikes us as shallow or even false, yet we cannot withhold our admiration from him if he succeeds in transmuting this view into artistic terms of such intensity, conviction and imaginative qualities as will make it perennially interesting and persuasive. This, clearly, is Puccini’s case.” See Carner (1958), 230. I agree with Carner. To a certain extent, Puccini kept his style moving in one direction, but that does not deny his contribution to the operatic world as he consistently made progress in a direction that was, in Carner’s terms, “perennially interesting and persuasive.”

217 Mimì’s voice is surreal as she is meant to be Rodolfo’s imaginary love fantasy. It is only her death that puts her at the center of the Bohemians. Tosca exists in her own world and can never live without Cavaradossi. She depends on Cavaradossi to live on stage, and her voice emerges only at the time she plays the diva and kills Scarpia. Yet, Floria Tosca is mute without the presence of Cavaradossi or the Madonna. It is, unexpectedly, Butterfly in her American cocoon, who is first independent. Her voice reveals the strength of will with which she becomes an American, but also the conflict between her desire and her Japanese identity. Audiences can hear the real Butterfly as she creates her dream through her Japanese imagination, yet Butterfly is deaf to herself. Finally, it is Liù whose voice fully emerges. Indeed, Liù is the most independent among Puccini’s verismic characters as she clearly knows herself and accurately portrays her role as a slave-girl in this opera. She turns over her life, and it is her great self-sacrifice that allows Calaf to unite with Turandot. In scrutinizing the deaths of these aforementioned female characters, we see that Mimì dies because she only exists as a vehicle to prepare for her upcoming death; Tosca dies in order to enter Cavaradossi’s world; Butterfly dies because she realizes she cannot attain her American dream in this life. Her death represents another pursuit in the afterlife. In these three female protagonists, death does not represent the end of life but a continuous journey or a rebirth. Only Liù ends her life because she clearly wants to transfer her love to Turandot so that Calaf can fulfill his dream. From this standpoint, Liù is the true heroine of all of Puccini’s verismic characters. We can thus surmise that Puccini’s idea of the verismic character evolved from dependency and subordination to independence and dominance, and that these women’s gentleness presents a type of strength, a softness with strength of will. This quality of quiet determination is difficult to remove or defeat, and more difficult to defend against than domination.

Harmonic Representation

The advocacy of human rights surfaced from new political systems in the late nineteenth and early twentieth century and were also represented in the arts, including the

218 realm of music. The hierarchy of a tonal tradition that had developed over the course of centuries had arrived at a turning point. Musicians and audiences of the time were seeking to communicate through less hierarchic musical structures. One obvious example could be found in the new post-tonal approach to chromaticism, which proclaimed the equality of all twelve tones. Puccini certainly knew of this trend, but he preferred to stay within the Italian tonal tradition and yet modify this tradition to accord with the new societal aesthetics. When he did make use of the new styles, he borrowed mostly from French Impressionism, which showed the influence of Debussy, but not of Schoenberg and the Second Vienna School. And even when adopting Impressionistic sounds, Puccini was careful to preserve the Italian tradition, as he merely incorporated the new musical vocabulary for coloristic and dramatic needs. He had no interest in replacing his tonality with the new musical style. While Puccini remained firmly within the tonal tradition, his musical vocabulary did distinctly weaken the hierarchy of tonal structure, as evidenced in a number of ways. First, he paid particular attention to extended prolongations of the subdominant and other harmonies that belong to the same harmonic realm.3 This reinforced the weight of the subdominant and made it capable of competing with the dominant. Second, Puccini consistently applied the upward interval of a P4 (5^ - 1^) to create closure.4 Meanwhile, he also eliminated the leading tone from the dominant to avoid tension, and by doing so, Puccini weakened the weight of the dominant and its dramatic tension. Third, through increasing emphasis on the realm of the subdominant and decreasing weight on the dominant (and its substitutes), both subdominant and dominant stand in almost equal proportion. As a result, directed tonal motion becomes motion in opposite directions, with the tonic serving as the center. Here, the space of within the opposition is capable of building networks in both dominant and subdominant regions, as shown by the arrow to

3 The subdominant here includes any chord that can function as the PD in T-PD-D-T pattern. I use the subdominant here in order to retain the focus of the discussion on Puccini’s dualistic harmonic structure. 4 One of the examples is Cavaradossi’s aria, “E lucevan le stele.” See the Tosca chapter for discussion.

219 the right in Figure 6.1. Regardless of the motion within each region, the tonic stands at the center to control the tonal color of each side.5

T — S — D — T Becomes S — T — D

Hierarchy Softness Dominancy

Figure 6.1: Directed tonal motion versus dualistic regions

As a result, Puccini was able to manipulate a voice-leading smoothness and a contrast that came from the balancing of these two regions, while still controling them within a single tonic. In a word, he deconstructed the hierarchic order of tonal vocabulary while still preserving its diatonic roots. Lastly, as the dramatic tension that comes from conflict-resolution in conventional tonal usage is replaced to become a smoother tonal landscape, the dramatic character of the conventional tonal structure fades. It does, however, make room for “exotic” sonorities and systems to inhabit the new tonal kingdom. This seems extremely purposeful on Puccini’s part, and the seamless shifting of styles that his music allows had been cultivated at least since La bohème, 6 perhaps even before. As a result, it planted the seed of orientalism, displaying the flexibility to adapt to many possible styles.

5 This is not pitch centricity, however. Pitch centricity implies that a work that does not otherwise employ functional harmony uses other means to emphasize one particular pitch. In Puccini, it is the harmonic relationships themselves that clarify and establish tonic. 6 See chapter on Mimì for discussion.

220 The Harmonic Representation of the Feminine

In scrutinizing the operatic worlds that Puccini’s female characters inhabit, we see that he makes consistent progress in his application of the subdominant region in order to smooth harmonic motion and to allow the subdominant to compete with the dominant. For instance, the dualistic harmonic structure of Mimì’s music places IV as the dualistic opposition of V, with I in the center. The IV and V portray the coexistence of love and death. When Mimì dies, her death signifies that the unrealistic realm of the subdominant must be subsumed by the realistic realm of the dominant. Contrasted with Mimì’s unrealistic dream, the IV in Musetta represents her attractiveness to men. In Tosca, the strength of the dominant is reduced by the absence of the leading tone. In the meantime, the strength of the submediant increases as it consistently forbids the dominant to make its proper resolution to the tonic. The submediant represents the edge of the world that Tosca inhabits. Tosca does not truly receive tonic support, yet, unlike Mimì who exists to die, Tosca lives within the realm of the submediant. Butterfly presents Puccini’s initial attempt to orient the tonal structure such that it invites non-western musical materials: the Japanese musical system. Even if Western and Japanese realms coexist in the opera, the challenge here is maintaining an appropriate balance. To do so, Puccini weakens the tension of the leading tone while still preserving the V-I relationship. This serves as a legitimate departure from the tonal system in that the fundamental dramatic effect fades. As a result, it opens a space that is filled by borrowings from the Japanese style. All these aforementioned developments culminated in the portrayals of Liù and Turandot. In Liù, it is the subdominant that subsumes the dominant. Unlike Butterfly’s or Tosca’s music, Liù’s dominant maintains its leading tone, yet the emphasis and special placement of the subdominant focuses the drama on the left side of the dualist dichotomy (focusing on the gentleness and kindness of self-sacrificing love). In Turandot, the tonic and dominant chords include added notes, both to reinforce their strengths, and to link them to the pentatonic music of China. Yet, by doing so, Puccini subtly makes Turandot take the subordinate role in her aria and lets Lo-u-Ling sing, transplanted into the form of Turandot. Indeed, Puccini shapes the personality of Turandot, his only unfinished female character, via the juxtaposition of two harmonic regions (dual figures in the subdominant

221 and dominant) that come from other characters (Liù, Calaf and Lo-u-Ling) and the passions they represent. Perhaps Puccini might also have wanted to manifest this dual harmonic organization to support a synthesis of the two systems (tonal and pentatonic) in the love duet for Turandot, so that she may reveal her real voice in this fabled world. This can never go beyond a hypothesis, of course, but I look forward to future discussion and dialogue on this topic.

Giacomo Puccini and Italian Opera

To a certain extent, the employment of dualistic harmonic regions to portray the world of dominance and intimacy is simple. Yet, through emphasis on the subdominant region, Puccini vividly expresses tender sentiments in the small moments of everyday life. As this simplicity eventually opens a door for the sounds of non-western borrowings to enter, it also is the key to unlock the possibilities that could be created by smoothly including the music of “others.” Thus, it is simplicity itself; yet, by borrowing from all of the influences found in his particular emotional styles (from the dualist figure of Mimì, the religious (vi) implication of Tosca, the linking of the diatonic and Japanese system in Madama Butterfly; and, finally, the tonal integration with the Chinese system in Turandot), Puccini awakens new sympathies for and understanding of other cultures. In the end, he enriched the Italian tonal tradition through the employment of exotic tunes and the invocation of other cultures. The result was a demonstration that the great Italian operatic tradition is capable of orientating itself to worldwide music, and is thus able to speak to worldwide audiences. What remains is the question of how the Italian tonal tradition was able to create a highly diverse and emotional music that could serve the needs of drama while still preserving its diatonic language and Italian color. What theoretical concepts can present this tradition and its development? What critical turning points can be found in this tradition? How can this tradition incorporate musical styles from other European nations, such as Germany, and still preserve its national identity? How can it incorporate different exotic borrowings and maintain a balance that preserves the identities of each?

222 Italian opera has played a role in the development of European tonal music since its initial creation in sixteenth-century Florence.7 It has even influenced the musical styles of other nations, such as Germany.8 While Wagner’s leitmotif and chromaticism characterised the German Romantic opera of the nineteenth century, it was Verdi with his heritage of the Italian tradition that competed with Wagner. Later on, while Strauss continued in the realm of Wagner’s chromaticism and produced dissonant harmonies in Salome (1905) and Elektra (1909), it was Puccini’s sentimental style coming from the Italian style that competed with German opera. And, when Berg’s Wozzeck (1925) appeared to be the outstanding new development in operatic musical language, Puccini’s tonal language still held a privileged status in the hearts of opera-goers. Certainly the names Puccini and Berg represent opposite poles of musical style, but the point here is that while audiences paid attention to the post-tonal works, their affections lay in the tradition from which Puccini worked. Indeed, the avant-garde at the beginning of the twentieth-Century, including such composers as Schoenberg, Webern and Stravinsky, liked Puccini’s operas. As he had wished, Puccini’s “writings of sentiment” resonate with diverse audiences and vibrate within each individual’s heart. More than that, we are left with the knowledge that Italian opera created a solid foundation from which to express the themes of humanity that stir the emotions of audiences of all times and races.

7 The term Intermedio, inserted music between acts of the play, represents the first attempt at opera in Italy. One example is Girolamo Bargagli’s La pellegrina (1589) which contains six intermedi. Artists of the time included Giovanni Bardi de vernio, Emilio de’ Cavalieri, Giulio Caccini and Jacopo Peri. See Donald Jay Grout & Hermine Weigel Williams (New York: Columbia University Press, 2003), 25-26. Thanks also to class notes from Prof. Douglas Fisher’s Opera Literature I class (FSU, Fall/2004). 8 In fact, Italian operatic composers have influenced German composers in different ways. For a more thorough discussion, see Chapter One, footnote one. In addition, Carner pairs German and Italian opera composers from each period: Gluck-Piccini, Mozart-Cimarosa, Weber-Rossini, Wagner-Verdi, and Strauss- Puccini. See Carner (1958), 232. This shows that the Italian style is never absent from the history of opera. From my perspective, Mozart is an exception to Carner’s list, as Mozart’s works include both German and Italian operas: Italian opera (Le nozze di Figaro, Don Giovanni and Così fan tutte), German Singspiel (Die Entführung aus dem Serail) and German opera (Die Zauberflöte).

223 Conclusion and Directions for Future Study

Because of the large scope of this (and all) study of opera, I have had to restrict my focus on the few characters discussed in this dissertation. In the future, I hope to examine the harmonic language used by other female characters, such as Manon from Manon Lescaut, Minnie from la fanciulla del West and Angelica from Suor Angelica. The goal in so doing would be to present the distinct harmonic representation of each of Puccini’s female characters. Moreover, based on the understanding of the music of Puccini’s women characters, I would like to apply the same theoretic models to the study of Puccini’s male characters. Ultimately, I would like to explore how Puccini harmonically portrays the interaction between genders and to demonstrate how this harmonic representation coheres with the drama to portray the dynamic relationship between male and female leads. This expansion might also further our understanding of how Puccini’s distinct harmonic language unifies the diverse cultural resources used in his operas. In addition, as I have consistently mentioned, the development of the Italian tonal tradition requires more attention from theorists. My hope in this study was to begin finding the connections between Puccini and other Italian opera composers, such as Rossini and Verdi. These composers have preserved a distinctive Italian operatic writing, which can still be heard in such places as the film music of Ennio Morricone.9 I believe that a thorough study of Italian (and perhaps even American) film music would show how Puccini’s incorporation of disperse styles and harmonic languages has influenced modern film music. Ultimately, my hope is to stimulate others’ interest in Puccini and to invite more music theoretical scholars to partake in the research of Puccini and Italian operas.

9 Many scholars have suggested that Puccini represents the final stage in the Italian great tradition. From my perspective, the end of this epoch also has to do with the diversity of entertainment brought by modern technologies, which has reduced the role of opera in popular culture. But the Italian opera tradition continues to make its appearance in other forms of entertainment. For instance, the film music industry in Italy creates productions for worldwide audiences. In 2007, the Italian composer Ennio Morricone received an honorary Academy Award, the second composer to have received this honor. One can hear the Italian tonal tradition transplanted to film music, and the music of Morricone is one expression of this influence. See http://www.enniomorricone.it/ (accessed May 25, 2008).

224 The musical writing of Giacomo Puccini (1858-1924) was never as radical as most of his contemporaries. Neither did he invent any new theories that were taken up by students and taught in conservatories. What distinguishes him is his ability to integrate diverse types of sonorities and keep them in balance in order to express a particular sentiment. Although he did not go in the direction of his contemporaries in a time of great innovation, he did exhibit intellectual and artistic interest in contemporary themes through his approach to international and exotic locales. Puccini’s writing, in his Italian tonal tradition, embraced themes that extended to and reverberated throughout the world. Later, Puccini’s works brought the attention of international audiences to Italian opera and its tonal tradition. Puccini’s commitment to this tradition and his skill in integrating diverse sonorous systems secured his status in the contemporary world and caused his audiences to regard his innovations as more advanced than those of most of his contemporaries. Puccini sought to express his great humanity through his musical pursuits, stating that,

...sentiment—that sentiment that gives us joy and tears—has been abandoned. I have put my whole soul into this opera; we shall see whether my vibrations match those of the public.10

His hopes were fulfilled in his ability to express true and intense emotions through artistic simplicity. Ultimately, this quality of simplicity sheds a great deal of light on Puccini’s craftsmanship, embodying his belief that humanity is to be found in the details of everyday life.11 If we can agree that the time of Verdi was represented by the highly romantic, larger-than-life hero, as characterized in Carner’s statement that “Verdi’s uniqueness lies in the elemental masculinity of his whole art. A spouting volcano. . . ,”12 perhaps we can also agree that Puccini lived in times calling for more intimacy, and in which female characters acquired greater complexity. Social changes, some of which have been

10 Phillips-Matz (2002), 288. 11 In this respect, Puccini’s aesthetic is similar to American contemporary, Charles Ives. 12 Carner goes on to say that “...Verdi was a product of the risorgimento [national rebirth], that awakening in the national spirit which inspired Italy to fight for political freedom and unity,” see Carner (1958), 232.

225 mentioned earlier, whet the public’s appetite for art forms expressing the kind of unvarnished realities of life created by the Industrial Revolution. This setting paved the way for a more complex and richer psychological aesthetics that looked deeper into the lives of ordinary human beings.13 Thus, the masculine world into which Puccini had been born was beginning to disintegrate, giving way to societal forces that were beginning to shape a new interest in heretofore neglected groups and under-classes—the working and middle classes, and women. If we can all agree on these broader views and take this as a starting point when considering Puccini, his music and his times, perhaps we can realize why the sentiment of small things came to be foremost in his musical pursuits. And, perhaps through this realization, we can rethink our branding of Puccini as “sentimental.” Instead Puccini’s appeal to the sentiments of his audiences distinguished him from his contemporaries and placed him in the pantheon of the great artists of Italian opera.

13 Some scholars compare Puccini with his precedent, the giant – Verdi and excuse Puccini for his artistic limitations. Yet, while the time of Verdi was already gone, the question here should not be whether Puccini could write in a style as sublime and masculine as Verdi, but whether Puccini should write with the language of Verdi. The answer is a resounding no.

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Nicholson, David. “Gozzi’s “Turandot”: A Tragicomic Fairy Tale.” Theatre Journal. 31/4 (1979): 467-78.

Palisca, Claude V. Studies in the History of Italian Music and Music Theory. Oxford: Clarendon Press, 1994.

Parker, Roger. “A Key for Chi? Tonal Areas in Puccini,” 19th-Century Music 15/3 (Spring 1992): 229-34.

Pinzauti, Leonardo. “Giacomo Puccini’s Trittico and the Twentieth Century.” The Puccini Companion. Edited by William Weaver and Simonetta Puccini. New York: W.W. Norton, 1994, 228-43.

Provine, Robert C. Tokumaru, Yosihiko. and Wistzleben, J. Wawrence. Eds. “East Asia: China, Japan, and Korea,” The Garland Encyclopedia of World Music 7 New York: Garland Pub., 2002, 533-65.

Rings, Steven. “Tonality and Transformation.” Ph. D. diss., Yale University, 2006.

______. “Perspectives on Tonality and Transformation in Schubert’s Impromptu in Eb, D. 899, no. 2.” Journal of Schenkerian Studies 2, 2006 forthcoming.

Robinson, Paul. “It’s not over until the soprano dies.” The New York Times, http://www.nytimes,com/book/99/10/03/nnp/clement-undoing.html (accessed September 16, 2007).

232 Rosen, Charles. The Romantic Generation. Cambridge: Harvard University Press, 1995.

Rothstein, William. “The Americanization of Heinrich Schenker.” Schenker Studies. Edited by Hedi Sigel. New York: Cambridge University Press, 1990, 193-203.

_____. “Why theorists should pay attention to nineteenth-century Italian opera; or, Confessions of a reformed Germanophile snob,” Paper presented at Music Theory Southeast Annual Meet, Chapel Hill, NC, 2006.

_____. “Common-tone Tonality in Italian Romantic Opera: An Introduction,” MTO, 14/1 March 2008 (accessed June 21, 2008).

Sadie, Stanley. Ed. Puccini and His Operas. New York: St. Martin’s Press, Inc, 2000.

Saffle, Michael. “Exotic Harmony in La Fanciulla del West and Turandot.” Exotismo e Colore Locale nell’Opera di Puccini. Edited by. Jürgen Maehder, 119-30. Proceedings of the Prima Convegna Internazionale sull’opera di Giacomo Puccini in Torre del Lago, Italy. Pisa: Giardini, 1983.

Said, Edward W. Orientalism. New York: Vintage Books, 1979.

_____. “The Imperial Spectacle (Aida),” Grand Street 6/2 (1987): 82-104.

Salze, Felix. Structural Hearing: Tonal Coherence in Music. New York: Dover, 1962.

Sanguinetti, Giorgio. “Dramatic Functions of Tonal Field.” Essays from the Third International Schenker Symposium. Edited by Allen Cadwallader. New York: Olms, 2006, 81-102.

Schachter, Carl. Unfoldings: Essays in Schenkerian Theory and Analysis. Edited by Joseph N. Straus. New York: Oxford University Press, 1999.

Schenker, Heinrich. Free Composition. Trans. and ed. Ernst Oster. New York: Longman, 1979.

Seligman, Vincent. Puccini Among Friends. London: Macmillan, 1938.

Smart, Mary Ann. Ed.“Siren Songs” Representations of Gender and Sexuality in Opera. Princeton: Princeton, 2000.

Smith, Elizabeth Lena. “Musical Narrative in Three American One-Act Operas with Libretti by Carlo Menotti: A Hand of Bridge, The Telephone, and Introductions and Good-Byes.” Ph.D. diss., Florida State Univ. College of Music, 2005.

Smith, Patricia Juliana. “Gli Enigmi Sono Tre: The [D]evolution of Turandot, Lesbian Monster. En Travesti: Women, Gender Subversion, Opera. Edited by Corinne E.

233 Blackmer and Patricia Juliana Smith. New York: Columbia University Press, 1995, 242-284.

Shaftel, Matthew. “Sonata Form, Dramatic Subtext, and Musical Irony in the Trio from Le Nozze di Figaro.” Keys to the Drama: Nine Perspectives on Sonata Forms, edited by Gordon Sly. London: Ashgate Press, 2007. Also appears in "Form, Sign, and Singing: Integrating Sign Systems in an Interdisciplinary Approach to Opera." Semiotics 2007 (forthcoming).

_____. “Anton Webern’s Early Songs: Motive, Harmony, and Influence.” Ph. D. diss., Yale University, 2000.

Solie, Ruth A. “The Living Work: Organicism and Musical Analysis.” 19th-Century Music 4/2 (Autumn 1980): 147-156.

Stein Deborah J. Stein, Hugo Wolf’s Lieder and Extensions of Tonality. Ann Arbor: UMI Research Press, 1985.

Straus, Joseph. "The Problem of Prolongation in Post-Tonal Music." Journal of Music Theory 31/1 (1987): 1-22.

_____. "Voice Leading in Atonal Music." Music Theory in Concept and Practice. Edited by James Baker, David Beach, and Jonathan Bernard. Rochester: University of Rochester Press, 1997, 237-74.

_____. Introduction to Post-Tonal Theory, 2nd ed. New Jersey: Prentice Hall, 2000.

Treitler, Leo. ‘“To Worship That Celestial Sound” Motives for Analysis.” The Journal of Musicology 1/2 (Apr. 1982): 153-70

Toshiharu, Ichikawa. Ying and Yang Scales. Music for Junior High School Students 1. Tokyo: Kyoiku Geijutsu Shuppan, 2001.

Weaver, William. The Golden Century of Italian Opera: from Rossini to Puccini. New York: Thames and Hudson, 1980.

234 Chinese Publications:

羅基敏 and 梅樂亙 [Lo, Ki-Ming. and Maehder, Jürgen.] 浦契尼的杜蘭朵. [Puccini’s Turandot.] (My Translation) 臺北市: 高談文化出版 [Taipei: Guo-Tan], 1992.

_____. 杜蘭朵的蛻變. [The Stylistic Shift of Turandot.] (My Translation) 臺北市: 高談文化出版 [Taipei: Guo-Tan], 2004.

钱仁康. [Qian Ren Kang.] 学堂乐歌考源. [The Resource of School Music.] (My Translation) 上海音乐学院出版社 [Shanghai Conservatory of Music Press], 2001.

王小玲. [Wang Xiao Ling.] 漢族調式及其和聲技法. [The Harmonic Skill in Chinese Mode Music.] (My Translation) 上海音乐学院出版社 [Shanghai Conservatory of Music Press], 2006.

杨瑞庆. [Yang Rui Qing.] 中国民歌旋律形态. [The Melodic Structure in Chinese Folk Song.] (My Translation) 上海音乐学院出版社 [Shanghai Conservatory of Music Press], 2002.

張繼光. [Zhang Ji Guang.] 民歌(茉莉花)研究. [The Research of Folk Song Mo-Li-Hua.] (My Translation) 文史哲 出版社 [Wen Shi Zhe Press], 2000.

Selected Web Resources: http://www.grovemusic.com (accessed February 2, 2008). http://filmsound.org (accessed March 3, 2008). http://www.operaamerica.org/pressroom/quickfacts2006.html (access March 19, 2008). http://broadwaymusicalhome.com/shows/misssaigon.htm (accessed March 19, 2008). http://www.operaamerica.org/pressroom/quickfacts2006.html (access March 19, 2008). http://www.enniomorricone.it/ (accessed May 25, 2008).

Selected Musical Scores:

La bohème (Full Score). New York: Dover, 1987.

La bohème (Piano Score). New York: G. Ricordi & Co., 1987.

Tosca (Full Score). New York: Dover, 1991.

235 Tosca (Piano Score). New York: G. Schirmer, Inc., 1956.

Madama Butterfly (Full Score). New York: Dover, 1990.

Madama Butterfly (Piano Score). New York: G. Schirmer, Inc., 1963.

Il trittico (Full Score). New York: Dover, 1996.

Turandot (Full Socre). Milano: Casa Ricordi, 2000.

Turandot (Piano Score). Milano: Casa Ricordi, 1926.

236 BIOGRAPHICAL SKETCH

Ya-Hui Cheng was born on January 25, 1974 in Taiwan, ROC. She holds a B.A. degree in Music from Queens College, City University of New York (1996-2000), and a M.A. degree in Music Education from Teachers College, Columbia University (2000- 2001). While doing her M.A. degree at Teachers College, CU, Ya-Hui received a Teaching Assistantship and worked as a Piano Instructor teaching non-music major, graduate-level students piano lessons for credit. In 2003, Ya-Hui enrolled at City College, City University of New York to study for a M.A. degree in music theory. At City College, she received The William Dabney Gettel Scholarship as a promising music theory student and was appointed to tutor college students in music theory. Ya-Hui transferred to Florida State University to pursue her Ph. D in music theory in 2004. At FSU, she has received research and teaching assistantships and has taught freshman ear training. Her dissertation is titled “The Harmonic Representation of the Feminine in Puccini.” Ya-Hui will receive the Doctor of Philosophy in Music Theory from the Florida

State University College of Music in Summer 2008

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