A Performance Guide to George Rochberg’s Caprice Variations for Solo Violin by YUNG-YU LIN A thesis submitted in conformity with the requirements for the degree of Doctor of Musical Arts Faculty of Music University of Toronto © Copyright by YUNG-YU LIN 2020 A Performance Guide to George Rochberg’s Caprice Variations for Solo Violin YUNG-YU LIN Doctor of Musical Arts Faculty of Music University of Toronto 2020 Abstract The American composer George Rochberg’s Caprice Variations, composed in 1970, draws on a vast array of historical stylistic references from the Baroque to the modern musical periods. For Rochberg serialism, arguably the most influential compositional technique of the twentieth century, could no longer convey the full extent of what he wanted to express in his music. After the death of his son Paul in 1964, he determined to renew his musical language by returning to tonality, yet without abandoning a twentieth-century musical idiom. His Caprice Variations marks one of his first attempts to bring together the two polar opposite worlds of tonality and atonality. This one-and-a-half-hour-long work for solo violin is based on the theme from Paganini’s 24 Caprices for Solo Violin, Op.1, No. 24, and presents a wide range of technical challenges for the violinist. Since the piece is long, difficult to play, and now fifty years old, a performance guide to assist violinists is a useful contribution to the pedagogical literature. With a thorough analysis of the piece, and a consideration of both compositional and violin practice issues, as well as discussions with the original editor of the work and two violinists who have recorded it, ii my research will offer a complete performance guide for performers, advanced violin students, and violin teachers to assist them in achieving a deeper understanding of the work and a high level of artistic performance. The first and second chapter of this thesis offer a biographical background of George Rochberg and a literature review. In Chapter Three, each variation is approached from a theoretical perspective, analyzing the relationship to the theme and the stylistic references. Chapter Four provides an analytical practice guide for performers. A practical solution regarding technical difficulties is offered, as well as interpretative suggestions. Chapter Five presents interviews with the editor Lewis Kaplan and the performers, Andrew Jennings and Peter Sheppard Skæ rved, who have recorded the whole work. iii Acknowledgments I would like to express my sincere gratitude to Professor Robin Elliott, my supervisor and mentor, who gave generously of his time and experience in the guidance of my research and writing, who has always been patient and positive about my work, who has given me wonderful opportunities, and who has given me his full support since the beginning of my DMA. I acknowledge my great debt to Professor Timothy Ying, my violin teacher for the last four years and my thesis advisory committee member, who taught me to be a better violinist and inspired me with creative ideas, who provided me with his intellectual insights regarding my research problems, and who was a great role model in motivating me to be a better teacher and better human being. I would like to thank my advisory committee member Prof. Cameron Walter, and examiners Prof. Sebastian Bisciglia and Prof. Allan Gillmor for their time, their support, and their insightful comments and suggestions. I would like to thank my interviewees Lewis Kaplan, Andrew Jennings and Peter Sheppard Skæ rved, who graciously shared their knowledge about the Caprice Variations and their experience working with George Rochberg. I would also like to thank George Rochberg’s daughter, Prof. Christina Rochberg, for her immediate agreement to let me reproduce some pages from Rochberg’s manuscripts in my thesis. This research would not have been completed without the support of my DMA colleagues: thank you to Kevin Zi-Xiao He for his generosity in sharing his expertise in post-tonal theory, as well as to my DMA strings colleagues for inspiring and motivating me. I would like to thank my best friend and partner Zheng Gong, who has been my best listener and supporter. I owe an immense debt of gratitude to my parents Che-Yin Timathy Lin and Chia-Chih Liu, who have been supporting me both financially and mentally throughout my life. My father Timathy is always my role model for being passionate about the things he loves. And finally thank you to iv my Aunt Shu-Lian Liou, who has offered tremendous support both financially and mentally. v Table of Contents Acknowledgments.......................................................................................................................... iv Table of Contents ........................................................................................................................... vi List of Tables ............................................................................................................................... vix List of Plates ....................................................................................................................................x List of Figures ................................................................................................................................ xi Chapter 1 George Rochberg and the Test of Time ..........................................................................1 1.1 Overview ..............................................................................................................................1 1.2 Rochberg as a non-String Player ........................................................................................18 Chapter 2 Background to Caprice Variations and Literature Review ...........................................22 2.1 Background to Caprice Variations ....................................................................................22 2.2 Literature Review of Caprice Variations ..........................................................................24 2.2.1 Printed Sources ......................................................................................................24 2.2.2 Online Sources .......................................................................................................26 2.3 Reception ...........................................................................................................................27 Chapter 3 “A Garden of All Sorts of Possibilities”: ......................................................................30 Musical Quotation and Stylistic Reference in Caprice Variations ................................................30 3.1 Introduction ........................................................................................................................30 3.2 Group 1 ..............................................................................................................................34 3.3 Group 2 ..............................................................................................................................44 3.4 Group 3 ..............................................................................................................................47 3.5 Conclusion .........................................................................................................................62 Chapter 4 Beyond Virtuosity: An Analytical Practice Guide to Caprice Variations ....................63 4.1 Introduction ........................................................................................................................63 4.2 Level A...............................................................................................................................65 4.3 Level B ...............................................................................................................................66 vi 4.4 Level C ...............................................................................................................................73 4.5 Level D...............................................................................................................................83 4.6 Level E ...............................................................................................................................88 Chapter 5 Interviews ......................................................................................................................92 5.1 Introduction ........................................................................................................................92 5.2 Lewis Kaplan .....................................................................................................................92 5.2.1 About......................................................................................................................92 5.2.2 Lewis Kaplan on his relationship with Rochberg ..................................................93 5.2.3 Kaplan as editor of the Caprice Variations ...........................................................94 5.2.4 The premiere ..........................................................................................................95 5.2.5 The relationship with Rochberg ends ....................................................................95 5.2.6 About Caprice Variations ......................................................................................95 5.3 Andrew Jennings ................................................................................................................98