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When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given e.g. AUTHOR (year of submission) "Full thesis title", University of Southampton, name of the University School or Department, PhD Thesis, pagination http://eprints.soton.ac.uk UNIVERSITY*OF*SOUTHAMPTON* ABSTRACT* FACULTY*OF*LAW,*ARTS*AND*SOCIAL*SCIENCES SCHOOL*OF*HUMANITIES* Department*of*MusiC* Thesis*for*the*degree*of*DoCtor*of*Philosophy* * "In$His$Master's$Steps$He$Trod"$ Alan$Rawsthorne$and$Frederic$Chopin:$ The$Piano$Ballades$ * Alan*Rawsthorne*is*a*diffiCult*to*plaCe*as*a*composer.*To*many,*his*worK*seems* conservative,*even*academic.*Yet*in*1937,*PatriCK*Hadley*recommended*him*to*Cecil*Gray* as*one*of*the*most*'modern'*composers*of*his*generation.*This*thesis*examines*the*question* of*Rawsthorne's*attitude*to*Contemporary*Composition,*through*the*lens*of*his*engagement* with*Chopin.*I*examine*both*Rawsthorne's*wellVknown*second*Ballade*(1967)*and*his* comparatively*unknown*first*Ballade*(1929),*Comparing*one*with*the*other*and*analysing* them*for*traCes*of*Chopin's*iconiC*works*in*the*ballade*form.*I*also*draw*on*Rawsthorne's* own*analysis*of*the*Chopin*ballades.* * Rawsthorne's*ballades*are*Clearly*a*Kind*of*homage*to*Chopin,*insofar*as*they*travel*a* similar*narrative*path.*It*seems,*however,*that*a*deeper*similarity*exists.*LiKe*Chopin*–*who* wrote*his*ballades*in*a*time*of*great*politiCal*uncertainty*–*Rawsthorne*turned*to*the* ballade*during*periods*of*turbulence*and*unrest*in*the*world*around*him*(i.e.,*the*late* 1920s*and*the*late*1960s).*In*Rawsthorne's*case,*he*wrote*musiC*about*liberation,*whiCh* seemed*to*taKe*on*a*special*meaning*for*him.*In*my*reading,*Rawsthorne's*ambivalent* approach*to*tonality*and*tonal*struCture,*for*instanCe,*indicates*a*Kind*of*troubled*searCh* for*freedom;*equality*in*a*multiVculturalist*community*and*a*searCh*for*liberty*of*manKind.* Thus,*Rawsthorne*appears*to*Contribute*to*the*ballade*that*Chopin*Created.*Parakilas* identified*Chopin's*ballade*as*a*European*genre,*but*Rawsthorne's*efforts*broaden*this* concept;*he*sought*to*Create*a*ballade*that*Could*represent*a*greater*diversity*of*Cultures* and*people.*Rawsthorne's*reVartiCulation*of*Chopin’s*ballade*and*his*attraCtion*to*its*nonV nationalist*narrativity*refleCts*his*time*and*plaCe.*UnliKe*other*musiCal*modernists,*he*was* able*to*make*striKingly*new*musiC*based*firmly*on*past*RomantiC*model.$ By$Abdullah$E$M$J$Khalaf$ UNIVERSITY*OF*SOUTHAMPTON** FACULTY*OF*LAW,*ARTS*AND*SOCIAL*SCIENCES SCHOOL*OF*HUMANITIES* DEPARTMENT*OF*MUSIC** * * * * * "In*His*Master's*Steps*He*Trod"* Alan*Rawsthorne*and*Frederic*Chopin:* The*Piano*Ballades* * * * * * * Abdullah*E*M*J*Khalaf* Student*ID:*23714786* Thesis*for*the*degree*of*Doctor*of*Philosophy* [July]*2014** Contents'' List'of'Examples' ' ' ' ' ' ' ' ' iv' List'of'Tables' ' ' ' ' ' ' ' ' ' v" Declaration'of'Authorship' ' ' ' ' ' ' ' vi''' Acknowledgements' ' ' ' ' ' ' ' ' vii" Introduction' ' ' ' ' ' ' ' ' ' 1" ' Chapter'1:'Alan'Rawsthorne:'The'Man'and'the'Musician' Introduction" " " " " " " " " " 11"" " 1.1" Frederic"Chopin:"Politics"and"the"Byronic"Hero" " " " 12"" " 1.2" Alan"Rawsthorne:""The"Political"Profile" " " " " 17" " " 1.2.1" The"Early"Formation"of"Rawsthorne's"Social"Philosophy" 1.2.2" Rawsthorne's"'Juvenilia',"Boyhood"Poems"and"the"Influence"of" Bernard"Shaw" " 1.2.3" Rawsthorne"and"Alan"Bush:""The"SocioIPolitical"Contributions" " 1.3" The"1929"SocioIPolitical"Situation"and"Rawsthorne's"Contribution" " 40" " 1.4" The"1967"SocioIPolitical"Situation"and"Rawsthorne's"Contribution" " 45" " " 1.4.1"" MidI1960s"Works:"He#does#not#Die"(1964)" " 1.4.2"" MidI1960s"Works:"Streets#of#Laredo"(1965)" " 1.4.2.1"The"PopISong"Quality"of"the"Streets#of#Laredo"and"the"1960s" Protest"Movement" " 1.4.3"" MidI1960s"Works:"The#God#in#the#Cave"(1966)"" 1.4.4"" Other"Considerations"that"Influenced"Rawsthorne" " 1.5" The"Return"of"the"Romantic"Hero" " " " " " 62" " 1.5.1"" Rawsthorne"and"Coleridge's"Kubla#Khan"" " 1.6" "The"First"Ballade"of"Rawsthorne" " " " " " 71"" "" " 1.6.1" Rawsthorne’s"Endorsement"to"Victorianism" 1.6.2" The"Significant"of"the"Chosen"Character"" 1.6.3" The"Analogy"Between"Rawsthorne’s"Ballade"and"Good#King# Wenceslas# # " 1.7" Conclusion" " " " " " " " " 80" i " " Chapter'2:'Rawsthorne'as'a'Crucial'Critic'of'the'Ballades'of'Chopin' Introduction" " " " " " " " " " 83" 2.1"" An"Appraisal"of"the"Chronological"Development"of"Scholarly"Writings"on" Chopin’s"Ballades,"and"Other"Music" " " " " " 84" " 2.1.1"" Scholarly"Texts"on"Chopin’s"Departure"from"Traditional"Forms" " 2.1.2" The"Influence"of"Tovey’s"Analysis"on"Rawsthorne’s"Approach" " 2.2"" Chopin's"Ballades"under"Rawsthorne's"Lens" " " " " 96" " 2.2.1"" The"Ballade's"Ambiguity" 2.2.2" Musical"Events" 2.2.3" What"Holds"the"Work"Together?" 2.2.4" The"Coda"and"the"Ending" " 2.3"" Conclusion" " " " " " " " """"""""""""130" " ' Chapter'3:'A'Comparative'Study:'Are'Rawsthorne's'Ballades'Modelled'on'Chopin's' Ballade'Genre?" Introduction" " """"""""""""""" " " " " " """"""""""""132" 3.1"" Rawsthorne's"1929"Ballade" " " " " " """"""""""""133" " " 3.1.1"" Brahms's"Op."10"and"Rawsthorne's"First"Ballade" " 3.2"" Rawsthorne's"1967"Ballade" " " " " " """"""""""""139" " " 3.2.1" "Ambiguity" " 3.2.2" "Musical"Events" " 3.2.3" "What"Holds"the"Work"Together?" " 3.2.4" "The"Coda"and"the"Ending" " 3.3"" Conclusion" " " " " " " " """"""""""""153" ' Chapter'4:'The'Ballade:'A'NonMNationalist'Voice'Searching'for'Universal'Freedom" Introduction" " " " " " " " " """"""""""""156" 4.1"" The"national"music"of"Chopin:"The"voice"of"the"Poles" " """"""""""""157" 4.2"" Nationalism"as"a"European"entity"""""""""" " " " """"""""""""164" 4.3"" The"ballade"genre:"A"nonInationalist"voice" " " " """"""""""""166" ii " " 4.3.1" Music"and"narrativity" 4.3.2"" The"inevitability"of"the"piano"ballade"form" 4.3.3"" Chopin's"concept"of"the"ballade:"A"nonInationalist"genre" " 4.4"" The"voice"in"Chopin's"storyless"ballades" " " " """"""""""""180" 4.5"" Rawsthorne"the"modernist" " " " " " """"""""""""185" " " 4.5.1"" Consensus" " 4.5.2" PostIwar"period" " 4.6" The"second"Ballade"of"Rawsthorne:"A"conversation"with"Chopin" """"""""""""194" ' Chapter'5:'Conclusion' ' ' ' ' ' ' """"""""""""202" Bibliography' ' ' ' ' ' ' ' ' """"""""""""206'' ' ' ' ' ' ' ' ' ' ' ' ' iii " " List'of'Examples'' For"Chopin"Ballades"I"have"used"Ignacy"Paderewski's"edition,"1949." Ex."1.1""" Bush's"Prison"Cycle"I,"Bars"1I6" Ex."1.2""" Rawsthorne's"Prison"Cycle"III,"Bars"1I6" Ex."1.3""" Rawsthorne's"He"does"not"Die,"Bars"143I177" Ex."1.4""" Rawsthorne's"second"Ballade,"Bars"294I300" Ex."1.5""" Rawsthorne's"The"God"in"the"Cave,"Bars"115I119"" Ex."1.6""" Rawsthorne's"The"God"in"the"Cave,"Bars"120I123" Ex."1.7"" Rawsthorne's"The"God"in"the"Cave,"Bars"39I41" Ex."1.8""" Rawsthorne's"KuBla"Khan,"Bars"17I20" Ex."1.9""" Rawsthorne's"KuBla"Khan,"Bars"48I59" Ex."1.10" Rawsthorne's"KuBla"Khan,"Bars"298I307" Ex."1.11" Good"King"Wenceslas,"Bars"1I4" Ex."1.12" Rawsthorne's"first"Ballade,"Bars"1I7" Ex."1.13" Rawsthorne's"first"Ballade,"Bars"34I37" Ex."1.14" Rawsthorne's"first"Ballade,"Bars"38I47" Ex."1.15" Rawsthorne's"first"Ballade,"Bars"63I70" Ex."1.16" Rawsthorne's"first"Ballade,"Bars"108I114" " Ex."2.1"" Chopin's"first"Ballade,"Bars"1I10" Ex."2.2"" Chopin's"first"Ballade,"Bars"94I108" Ex."2.3"" Chopin's"first"Ballade,"Bars"194I210" Ex."2.4"" Chopin's"first"Ballade,"(i)"Bars"8I9,"(ii)"Bars"82I83" Samson"(1992,"50)" Ex."2.5"" Chopin's"first"Ballade,"Bars"92I94" Ex."2.6"" Chopin's"first"Ballade,"(i)"Bars"253I254,"(ii)"Bar"257"" Ex."2.7"" Chopin's"first"Ballade,"(i)"Bars"36I37,"(ii)"Bars"138I140" Ex."2.8"" The"rhythm"of"the"main"theme"of"Chopin's"second"Ballade" Ex."2.9" Chopin's"second"Ballade,"Bars"63I64,"(i)"Rawsthorne's"illustration,"(ii)" original" Ex."2.10" Chopin's"second"Ballade,"Bars"108I115" Ex."2.11" Chopin's"second"Ballade,"Bars"159I164" Ex."2.12" Chopin's"second"Ballade,"Bars"197I204" Ex."2.13" Chopin's"third"Ballade,"Bars"1I4" Ex."2.14" Chopin's"third"Ballade,"Bars"30I33" Ex."2.15" Chopin's"third"Ballade,"Bars"55I59" Ex."2.16" Chopin's"fourth"Ballade,"Bars"1I2" Ex."2.17" Rawsthorne's"demonstration"of"Chopin's"fourth"Ballade's" introduction" Ex."2.18" Chopin's"fourth"Ballade,"Bars"13I16" Ex."2.19" Chopin's"fourth"Ballade,"Bars"45I47" Ex."2.20" Chopin's"fourth"Ballade,"Bars"125I127" Ex."2.21" Chopin's"fourth"Ballade,"Bars"129I133" Ex."2.22" Chopin's"fourth"Ballade,"(a)"Bars"7I12"(B)"Bars"134I139" " iv " " Ex."3.1"" Rawsthorne's"first"Ballade,"an"illustration"of"its"rhythmic"pattern" Ex."3.2"" Rawsthorne's"first"Ballade,"an"illustration"of"its"harmonic"progression" Ex."3.3"" Brahms,"Ballade,"Op."10,"No."1,"bars"1I13" Ex."3.4"" Rawsthorne's"second"Ballade,"bars"1I6" Ex""3.5" " Rawsthorne's"second"Ballade,"bars"1I9" Ex."3.6"" Rawsthorne's"second"Ballade,"bars"9I18" Ex."3.7"" Rawsthorne's"second"Ballade,"bars"18I20" Ex."3.8"" Rawsthorne's"second"Ballade,"bars"202I204" Ex."3.9"" Rawsthorne's"second"Ballade,"bars"213I217" Ex."3.10"