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Thematic transformation and motivic unity in the Symphony No. 4 in F Minor by Ralph Vaughan Williams Gray, Laura Jean 1989

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THEMATIC TRANSFORMATION AND MOTIVIC UNITY IN THE SYMPHONY NO. 4 IN F MINOR BY RALPH VAUGHAN WILLIAMS By LAURA JEAN GRAY B.Mus., The U n i v e r s i t y of Western O n t a r i o , 1987 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS i n THE FACULTY OF GRADUATE STUDIES (School of Music, H i s t o r i c a l Musicology) We accept t h i s t h e s i s as conforming to the r e q u i r e d standard THE UNIVERSITY OF BRITISH COLUMBIA September 1989 © Laura Jean Gray, 1989 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. Department of Yl-USt c_ The University of British Columbia Vancouver, Canada Date rO- A u c ^ ; \<\m . DE-6 (2/88) i i ABSTRACT: THEMATIC TRANSFORMATION AND MOTIVIC UNITY IN THE  SYMPHONY NO. 4 IN F MINOR BY RALPH VAUGHAN WILLIAMS Vaughan Williams composed nine symphonies of diverse character and style and each of fine quality. Because of the span of Vaughan Williams's symphonic career over many years (1903-1958) and because of the newly active musical climate in England during his years of symphonic production, these works are of considerable h i s t o r i c a l as well as a n a l y t i c a l interest. There i s much l i t e r a t u r e of d i f f e r i n g kinds - a n a l y t i c a l , s o c i a l , h i s t o r i c a l , and c r i t i c a l - devoted to the works, mainly by leading English writers over the decades. Notwithstanding the bulk and q u a l i t y of discussion, there i s a noticeable lack of extensive analysis of the kind which seeks to elucidate and interpret the manner in which symphonic c o n f l i c t s central to each of the symphonies i s expressed. The lacuna of comprehensive analysis has retarded progress in the understanding not only of Vaughan Williams's symphonic works, but also toward a f u l l e r understanding of developments in the twentieth-century English symphony, in r e l a t i o n to which these works are of such seminal importance. i i i For t h i s reason, i t i s the intention of t h i s study to present an isolated examination of Vaughan Williams's Symphony No. 4 in F Minor. The investigation w i l l be divided into two parts, the f i r s t , a n a l y t i c a l and the second, an h i s t o r i c a l interpretation of the evidence presented in part I. The study begins with an expository analysis of the thematic, formal and tonal structures, and harmonic and contrapuntal techniques peculiar to the fourth symphony. The analysis i s intended to lay a groundwork for the more par t i c u l a r considerations which follow. The purpose of the second chapter i s to bring to l i g h t the central issues, features, and c o n f l i c t s of the symphony: s t r u c t u r a l l y pervasive motivic ideas, thematic transformations and i n t e r r e l a t i o n s h i p s , and s t r u c t u r a l l y s i g n i f i c a n t dissonances. The second part of the thesis includes an investigation of p a r t i c u l a r influences on the fourth symphony evident from the analysis of part I and through external documentation. Chapter IV, which concludes part I I , i s subdivided into three parts: 1) a comparison between No. 4 and Vaughan Williams's other symphonies in order to determine i t s significance within the composer's t o t a l symphonic output; 2) a study of Vaughan Williams's p a r t i c i p a t i o n in English symphonic developments of the twentieth century and the significance of the fourth regarding the musical atmosphere in England at the time; and 3) an examination of Vaughan Williams's general contribution to, and the particular h i s t o r i c a l place of No. 4 within, i v nineteenth- and twentieth-century l i n e s of symphonic development. The analysis reveals that the Symphony No. 4 has a progressive network of thematic transformations and an underlying pattern of manifestations of the symphony's i n i t i a l motivic dissonance. The consideration of the fourth symphony's h i s t o r i c a l importance discloses the role of the work as a catalyst upon Vaughan Williams's symphonic oeuvre toward a more sophisticated approach to harmonic, motivic, thematic and formal structure, the ef f e c t s of which were witnessed immediately in the Symphony No. 5. The thesis exposes Vaughan Williams's contribution to conservative s t r u c t u r a l innovation in the twentieth-century symphony and his strongly individual s t y l i s t i c interpretation of t r a d i t i o n a l symphonic thought. V TABbE OF CONTENTS ABSTRACT i i LIST OF DIAGRAMS v i i LIST OF MUSICAL EXAMPLES v i i i ACKNOWLEDGEMENTS ix INTRODUCTION 1 PART I . THE ANALYSIS Chapter I . AN ANALYSIS OF THE TREATMENT OF STRUCTURAL ELEMENTS IN THE F MINOR SYMPHONY 5 F i r s t Movement 8 Second Movement 16 Third Movement 22 Fourth Movement 25 Considerations of Key Structure , T o n a l i t y , and Harmony 30 Considerations of Counterpoint, Orches trat ion , and Rhythm 36 Conclusion 40 I I . A STUDY OF FACTORS CONTRIBUTORY TO UNITY AND PROGRESSION IN THE FOURTH SYMPHONY 41 Themes and Motives as Factors of Unity and Progress ion. 42 Al ternat ing Major and Minor Inf lec t ions 58 D - F l a t / C Dissonance 62 An Overview of the Symphony 66 Conclusion 69 v i PART II. HISTORICAL CONSIDERATIONS III. AN INVESTIGATION OF INFLUENCES ON THE FOURTH SYMPHONY 70 The Influence of Beethoven and the Nineteenth-Century Symphony 71 Vaughan Williams's Symphony No. 4 and Beethoven's F i f t h 72 Dissonance in Vaughan Williams's Fourth and Beethoven's Ninth 74 The Fourth as a Reaction to C r i t i c i s m of the "Pastoral" 77 The Influence of Vaughan Williams's Interim Works 80 Vaughan Williams amd Sibelius 86 Conclusion 89 IV. AN INVESTIGATION OF THE HISTORICAL SIGNIFICANCE OF VAUGHAN WILLIAMS'S FOURTH SYMPHONY 90 The Significance of No. 4 among Vaughan Williams's Oeuvre 91 Vaughan Williams's Role in the English Symphonic Renaissance 97 Vaughan Williams's Fourth and the Twentieth-Century Symphony 105 Conclusion 113 BIBLIOGRAPHY 114 APPENDIX 122 v i i LIST OF DIAGRAMS Chart I. Form of Movement I 7 II. Form of Movement II 15 III. Form of Movement III 21 IV. Form of Movement IV 26 Diagram 1. Key Structure of Movements 32 2. Flow Chart of Thematic and Motivic Relationships . . 45 3. Series of Transformed Themes 48 4. Thematic Transformations in Movement II 51 5. The Structural Significance of the D-Flat/D C o n f l i c t 61 6. The D-Flat/C C o n f l i c t 64 v i i i LIST OP MUSICAL EXAMPLES 1. Movt. I, mm. 1-7; Motives x and z 9 2. Movt. I, mm. 14-15; Motive y 10 3. Movt. I, m. 46; Motive s 10 4. Movt. I, mm. 52-54; Theme A 11 5. Movt. I, mm. 84-89; Theme B, ostinato 12 6. Movt. I, mm. 101-6; r and motive s 13 7. Movt. II, mm. 1-6; Motives yt and w 17 8. Movt. I I , mm. 7-23; Ostinato wi, Theme C 17 9. Movt. II, mm. 26-35; Theme D, mm. 38-44; Theme Dt; mm. 56-61; Theme Da 18 10. Movt. I I , mm. 61-62; Theme E 19 11. Movt. I I , mm. 131-38; Flute Cadenza (si) 20 12. Movt. I l l , mm. 1-4; Theme F 22 13. Movt. I l l , mm. 60-63; Theme G 23 14. Movt. I l l , mm. 149-57; Trio Subject, Theme H. . . . . 24 15. Movt. IV, mm. 1-5; Theme E* 27 16. Movt. IV, mm. 24-45; Theme K. 27 17. Movt. IV, mm. 77-82; Theme M 28 18. Development of Motive z in Fugal Epilogue 30 19. a) Opening of Movement I and b) F i n a l Cadence of IV 35 20. Connections Between Themes D, Da, and M . . . . . . . 53 21. The Generation of Motive z . 55 22. The Generation of Motive s 56 23. 4-Note Motives: a) Beethoven, No. 5; b) Vaughan Williams, No. 4. . 73 24. Trio Themes: Beethoven, No. 5; b) Vaughan Williams, No. 4 73 25. Comparison Between Motives in Job and Symphony No. 4 81 26. Fugue Subjects and Development: a) Concerto for Piano, I II; b) Symphony No. 4, Fugal Epilogue 84 ACKNOWLEDGEMENTS The author wishes to thank Dr. William Benjamin, Dr. John Sawyer and Dr. Dimitri Conomos for their s c h o l a r l y advice and interest in the project. For f i n a n c i a l assistance and for the use of i t s excellent f a c i l i t i e s , the author i s grateful to the University of B r i t i s h Columbia, s p e c i f i c a l l y the School of Graduate Studies and the School of Music. In addition, the author thanks family and friends, who have contributed immeasurably to thi s project with their support, encouragement, enthusiasm, wisdom and, es p e c i a l l y , t h e i r prayers. "Unless the Lord builds the house, i t s builders labor in vain." [Psalm 127:1 (NIV)] Benedictus Dominus Deus Israel 1 INTRODUCTION Ralph Vaughan Wi l l i a m s composed nine symphonies d u r i n g h i s long c a r e e r , which spanned f i f t y - f i v e y e a r s , from the f i r s t sketches of A Sea Symphony, begun i n 1903, to the f i n a l r e v i s i o n of Symphony No. 9 i n E minor, completed i n 1958, the year of h i s death (Please r e f e r t o the l i s t of Vaughan W i l l i a m s ' s symphonies l i s t e d on p. 2 below). T h i s body of works i l l u s t r a t e s w e l l Vaughan W i l l i a m s ' s d i v e r s e approaches to c o m p o s i t i o n a l problems and c o n s i d e r a t i o n s and i s worthy of d e t a i l e d study. Much has been w r i t t e n about Vaughan W i l l i a m s ' s symphonies, which have r e c e i v e d a t t e n t i o n from such B r i t i s h w r i t e r s as Percy Young, A.E.F. D i c k i n s o n , W i l f r i d M e l l e r s and Hugh Ottaway (see B i b l i o g r a p h y f o r sources concerning Vaughan W i l l i a m s ' s music). However, the e x i s t i n g d i s c u s s i o n of h i s symphonies i s by no means complete: there remain many i n t e r e s t i n g musical phenomena which have not been addressed or pursued i n analyses of the symphonies. Indeed, none of the essays on Vaughan W i l l i a m s ' s symphonic works d e l v e s deeply i n t o the i n t r i c a c i e s of t h e i r s t r u c t u r e s or i n t o t h e i r unique e l a b o r a t i o n s of fundamental theses. C l e a r l y , there i s a need f o r f u r t h e r and more d e t a i l e d analyses and i n t e r p r e t a t i o n s of Vaughan W i l l i a m s ' s symphonies, which o f f e r a wealth of a n a l y t i c a l and h i s t o r i c a l i n t e r e s t . For example, upon c l o s e examination of h i s Symphony No. 4 i n F Minor ( w r i t t e n from 2 1931 to 1934), relationships and structures ( p a r t i c u l a r l y thematic and motivic) reveal themselves which are not discussed in the exist i n g analyses of the symphony. Indeed, upon inspection, the benefits of an isolated study of the fourth symphony are apparent. Furthermore, careful study of Vaughan Williams's Symphony in F Minor raises other questions regarding 1) symphonic ideals in the twentieth century and their r e l a t i o n s h i p to previous symphonic thought; and 2) the establishment of and influences on the English symphonic t r a d i t i o n . LIST OF VAUGHAN WILLIAMS'S SYMPHONIES NO. T i t l e Date Premiere 1. A Sea Symphony 1903-9 1910 2. A London Symphony 1912-13 1914 3. A Pastozal Symphony 1921 1922 4. Symphony in F Minor 1931-4 1935 5. Symphony in D Major 1938-43 1943 6. Symphony in E Minor 1944-7 1948 7. Sinfonia Antaztica 1949-52 1953 8. Symphony No. 8 in D Minor 1953-5 1956 9. Symphony No. 9 in E Minor 1956-7 1958 3 It i s the intention of t h i s study 1) to provide a comprehensive analysis of Vaughan Williams's fourth symphony, p a r t i c u l a r l y concerning the treatment of and relationships between the thematic and motivic material; 2) to determine s p e c i f i c influences on the fourth symphony; and 3) to evaluate the composer's contribution to the symphonic repertoire of the twentieth century and to the English symphonic t r a d i t i o n , with pa r t i c u l a r reference to the fourth symphony. The study i s divided into two parts. Part I involves a t h e o r e t i c a l analysis of Vaughan Williams's fourth symphony. Chapter I includes a description and i l l u s t r a t i o n of the themes and motives throughout the symphony; a discussion of the formal structure of each movement; and an examination of key structure, t o n a l i t y , and harmonic and contrapuntal techniques peculiar to t h i s work. Charts and diagrams are added to c l a r i f y the discussion. In the second chapter, the discussion considers 1) the d i s t r i b u t i o n and i n t e r r e l a t i o n s h i p of themes and motives; 2) the manifestation of melodic and non-melodic ideas on d i f f e r e n t s t r u c t u r a l l e v e l s ; and 3) the ways in which these features contribute to the coherence of the work. Part II presents an investigation of influences on the symphony and an evaluation of the h i s t o r i c a l s i g n i f i c a n c e of Vaughan Williams's symphonies, e s p e c i a l l y the fourth. Chapter III is. an investigation of s p e c i f i c , apparent influences (from certain works of other composers) on Vaughan Williams's fourth symphony, e s p e c i a l l y concerning the concept 4 and technique of thematic transformation and motivic un i ty . In chapter IV the study of Vaughan Wi l l iams's fourth symphony concludes with a considerat ion of i t s s ign i f i cance regarding 1) the uni fy ing and developmental techniques used in Vaughan Wil l iams's other symphonies, to determine whether the degree of thematic uni ty and development i s a unique thes is of the fourth symphony or a pervasive concern of the composer's s t y l e ; 2) Engl i sh symphonic developments; and 3) l ines of nineteenth- and twentieth-century symphonic thought. Chapter IV includes a b r i e f inves t iga t ion of the i ssues , innovations, and l ines of development of the twentieth-century symphony and a concise background of Eng l i sh symphonic developments, insofar as th i s information exposes Vaughan Wil l iams's p a r t i c i p a t i o n in twentieth-century symphonic innovations and in the genesis and growth of an Engl i sh symphonic t r a d i t i o n . It i s intended that th i s study w i l l foster a better understanding and awareness of Vaughan Wil l iams's fourth symphony, h is apparent symphonic ideals and concerns, the development of an Engl i sh symphonic t r a d i t i o n , and Vaughan Wil l iams's ro le i n symphonic thought and developments in the twentieth century. 5 CHAPTER I: AN ANALYSIS OF THE TREATMENT OF STRUCTURAL ELEMENTS IN THE F MINOR SYMPHONY In t h e i r discussion of the symphonies of Ralph Vaughan Williams, the majority of scholars and writers, where touching on the fourth symphony, seldom extend t h e i r investigation to more than a few pages or a short chapter. Consequently, these Investigations into Ralph Vaughan Williams's fourth inevitably ignore many of i t s most intere s t i n g musical phenomena - p a r t i c u l a r l y with respect to thematic and motivic i n t e r r e l a t i o n s h i p s and transformations, covered here in Chapter I I . By way of introduction, t h i s f i r s t chapter provides a comprehensive analysis and overview of Vaughan Williams's treatment of the elements of symphonic structure in his fourth symphony, and lays a foundation for the p a r t i c u l a r s treated in the chapters that follow. The purpose of t h i s chapter i s a n a l y t i c a l and comprises 1) a description and an i l l u s t r a t i o n of the themes and motives used throughout the symphony, within the context of the formal structure of each movement; 2) an examination of key structure, t o n a l i t y , and harmony; and 3) a discussion of counterpoint, orchestration, and rhythm. The following discussion of the structure of each movement w i l l include the following elements: 1) a consideration of the internal proportions of each, by comparing the lengths of 6 e x p o s i t i o n , d e v e l o p m e n t a n d r e c a p i t u l a t i o n ; 2) a d i s c u s s i o n o f t h e m e s a n d m o t i v e s a n d o f t h e i r r o l e i n t h e a r t i c u l a t i o n o f f o r m a l s t r u c t u r e ; 3) a n e x a m i n a t i o n o f t h e m a t e r i a l i n c l u d e d i n t h e d e v e l o p m e n t s e c t i o n s a n d t h e e f f e c t o f t h i s o n t h e r e c a p i t u l a t i o n s ; 4) a c o m p a r i s o n o f t h e t r e a t m e n t o f m a t e r i a l i n t h e e x p o s i t i o n a n d r e c a p i t u l a t i o n ; a n d 5) o t h e r o b s e r v a t i o n s r e l e v a n t t o t h e p a r t i c u l a r m o v e m e n t . T o f a c i l i t a t e t h e p r e s e n t a t i o n , c h a r t s , s u m m a r i z i n g s t r u c t u r a l , f o r m a l a n d t o n a l d e t a i l s o f e a c h m o v e m e n t , a c c o m p a n y t h e d i s c u s s i o n . T h e f o l l o w i n g l e g e n d e x p l a i n s t h e s y m b o l s u s e d i n t h e c h a r t s : EEGENP FOR CHARTS I - I V : M o t i v e s : L o w e r c a s e a l p h a b e t i c a l s y m b o l s f r o m e n d o f a l p h a b e t ( e . g . , x , z , y , s , r ) . T h e m e s : U p p e r c a s e a l p h a b e t i c a l s y m b o l s b e g i n n i n g w i t h t h e l e t t e r A a n d m o v i n g f o r w a r d s ( e . g . , A , B , C ) . A d d e d S u b s c r i p t n u m b e r s : I n d i c a t e t h e m e o r m o t i v e d e r i v e d f r o m a p r e v i o u s o n e w h i c h i s s o c l o s e l y r e l a t e d a s n o t t o m e r i t a n e w a l p h a b e t i c a l s y m b o l . + = f o r m e r t h e m e s t i l l a c t i v e , a d d i t i o n o f n e w t h e m e - = f o r m e r t h e m e s t i l l a c t i v e , d e l e t i o n o f m a t e r i a l a / c = s y n t h e s i s o f m a t e r i a l I = a s c e n d i n g b l a n k = c o n t i n u a t i o n o f p r e v i o u s t h e m e , k e y , e t c . ( ) = l o o s e c o n n e c t i o n t o i n d i c a t e d m a t e r i a l e x t . = e x t e n s i o n o s t . = o s t i n a t o v a r . = v a r i a t i o n d e v t . = d e v e l o p m e n t 7 CHART I: Movement I , Sonata-allegro, P Minor (Ends O-Flat Major) HMI P r i n c i p a l Formal Section Secondary Formal Section Themes, Motives P r l n c i p a l Tonic Local Tonic 1 6 Exp o s i t i o n of Motives 1st Subject Group 1) i l ) X z f (c) e/d 10 Tr a n s i t i o n chromatic 14 2nd Subject 111) y c t o 20 Development X f 25 z (ext.) 32 z/y (ext.) chromatic 43 z + y 46 i v ) s F/f 49 62 Expo s i t i o n of Themes 1st Subject A + OSt.A d d D" 67 - OSt.A a 75 d 61 f l 65 96 2nd Subject Group B + ost.B devt B, r D/d D/d E*Ve B 102 r + s 107 ost. B d 111 • B D/d 123 Development X d 127 e x t . t z chromatic 145 scale t 151 z (var.) 9 163 z/y • z chromatic 170 •y (on f ) 180 R e c a p i t u l a t i o n Motives X f f 184 z 189 211 Themes A d d c f l (sequence) f l 213 Coda (cf . mm.85-106) B • r • ost. D** D*Vc 222 d 228 r D"/d» 234 (s) 237 D" 240 End 8 F i r s t Movement Notwithstanding c e r t a i n unconventional s t r u c t u r a l c o m p l e x i t i e s , the f i r s t movement of the f o u r t h symphony i s e s s e n t i a l l y i n s o n a t a - a l l e g r o form, the p r o p o r t i o n of e x p o s i t i o n to development t o r e c a p i t u l a t i o n being approximately 2:1:1. The method by which i t s m o t i v i c and thematic m a t e r i a l i s exposed (mm. 1-122) c r e a t e s an impressive h i e r a r c h y of s t r u c t u r e s and s u b - s t r u c t u r e s . Within the o v e r a l l e x p o s i t i o n (mm.1-122), there emerge two sub-e x p o s i t i o n s of d i f f e r i n g c h a r a c t e r and f u n c t i o n (mm. 1-48 and mm. 49-122). These rep r e s e n t the f i r s t and second s u b j e c t groups of a broader p r o t o t y p i c a l s o n a t a - a l l e g r o e x p o s i t i o n . The f i r s t group, which exposes the m o t i v i c m a t e r i a l , i s comprised of an opening s u b j e c t group, a t r a n s i t i o n l e a d i n g to the second s u b j e c t , and developmental treatment of these m a t e r i a l s ( r e f e r to Chart I ) . Three motives are i n i t i a l l y i n t r oduced and are immediately developed and extended, while there i s but an a l l u s i o n to a f o u r t h motive, s (m.46). Opening the movement i s motive x (see Ex. 1 ) , with i t s dissonance of a minor n i n t h , Dto/ C, r e s o l v i n g t o an open octave on C. T h i s motive i s repeated i n c o u n t e r p o i n t by the lower instruments (m. 2) and g i v e s a sense of unresolved dissonance. The other three motives (z, y and s) do not appear immediately i n t h e i r concrete forms but r a t h e r as a r e s u l t of thematic e v o l u t i o n . By means of immediate s e q u e n t i a l treatment of motive x i n mm. 3-5, a p a t t e r n of 9 intervals i s produced, resembling the revered B-A-C-H motive (minor second down, minor t h i r d up, minor second down). The sequenced material i s contracted in mm. 6-7 to produce motive z (see Ex. 1), resembling a chromatic version of the B-A-C-H motive which i s extended through diminution in mm. 8-9. Ex. 1. Symphony No.4, I/mm.1-7; motives x and z. tt i -^U''|)S n-A counterpart to th i s intensely l i n e a r figure (a chromatic double-neighbour motion) i s motive y, another 4-note c e l l consisting of two r i s i n g perfect fourths followed by a r i s i n g minor t h i r d . Motive y i s , in fact, related to the i n i t i a l motive x: y surpasses the octave by a semitone (F to G-f l a t ) , thereby creating a minor ninth, not only melodically but also harmonically (see Ex. 2). It constitutes the second subject of the motivic exposition and i s developed immediately in mm.16-18. As with previous motives, motive y is presented in diminution and i s extended by an additional interval of a perfect fourth, t h i s l a t t e r version being common for further statements of motive y (see mm. 14-18). 10 Ex. 2. Movt. I, mm. 14-15; Motive y. 14 f = # = i—m.9 - 1 1 3 J 1 -—c m 9 The material between motives z and y, a chromatically r i s i n g scalar fragment, i s a synthesis of the surrounding motives and serves as a t r a n s i t i o n between the markedly d i f f e r e n t gestures of motives x, z, and y: i t includes an appoggiatura similar to x at the end of each phrase (in the upper woodwinds); i t i s syncopated and chromatic l i k e motive z; and ascends l i k e motive y (see mm.8-14). A l l the material presented in mm. 1-19 i s restated and developed in mm. 20-48 and, as a re s u l t of the extension of motive z, motive s is produced in m. 46 (see Ex. 3), another manifestation of the opening semitonal c o n f l i c t , which has been present in each motive so f a r . Ex. 3. Movt. I, m. 46; Motive s. \\ M f hf f | E l l i o t Schwartz refers to mm. 1-48 of the f i r s t movement as an introduction to the entire symphony, and to m.49 as the beginning of the movement proper. 1 As demonstrated above, the 1. E l l i o t S. Schwartz, The Symphonies o_f. Ralph VaughM Williams (Amherst: University of Massachusetts Press, 1964; reprint ed., New York: Da Capo Press, 1982), p. 75. 11 f i r s t 48 bars have, in fact, a double function: they both introduce motives which eventually stand revealed as being s i g n i f i c a n t for the entire symphony and function as the f i r s t subject group and motivic exposition of the f i r s t movement. Measure 49 begins the "second exposition," that i s , the exposition of themes. Theme A (see Ex. 4), the " f i r s t subject", spans the descent of an octave and incorporates two successive descending f i f t h s followed by a four-note concluding segment. Theme A i s related to motive x in i t s i n i t i a l i ntervals of a descending second with a descending skip, and i s extended into a f u l l melodic theme through sequence and varied r e p e t i t i o n (mm. 49-84). The entire melody is accompanied by a rhythmically contrasting ostinato pattern of chords, which alternates between rhythmic c e l l s of f i v e and four quarters, played by brass and woodwinds. Ex. 4. Movt. I, mm.52-4; Theme A. FF=F1 * r.— The "second subject", theme B, and i t s accompaniment, an ostinato bass figure, are introduced in m.84 (see Ex. 5). An emphatic, march-like gesture, t h i s theme i s generated through a fl u c t u a t i o n of F-sharp and F-natural, which i s c h a r a c t e r i s t i c of motive s. 12 Ex. 5. Movt. I, mm.84-89; Theme B and I t s o s t i n a t o . Motive s O s t i n a t o : Emerging from the development of theme B with i t s accompanying o s t i n a t o are an elemental form of motive s and the formation of r . By l o s i n g i t s accompanying f u n c t i o n , through a s l i g h t a l t e r a t i o n of i t s i n t e r v a l l i c p a t t e r n , and through rhythmic v a r i a t i o n (mm.96-106), the o s t i n a t o i s transformed i n t o a premature v e r s i o n of r . The l a t t e r i s presented i n i t s d e f i n i t i v e form (that i s , f o r the f i r s t movement) i n mm. 102-4. A common melodic form of motive s emerges as the a l t e r n a t i o n of major and minor t h i r d s i n mm. 100-106 (see Ex. 6), and i n mm. 107-21 theme B and i t s accompanying o s t i n a t o are b r i e f l y r e s t a t e d and developed. 13 Ex. 6. Movt. I, nun. 101-6; r and motive s. , • v : : , -|'"J " f ^ FTf "T H l T I i : The development f o l l o w s immediately, beginning with a restatement of the opening m a t e r i a l (motive x ) , which i s i n t e r r u p t e d a b r u p t l y i n m. 127 by a c h r o m a t i c a l l y ascending sequence formed of motive z presented i n the rhythm of motive x, to which chromatic s c a l e s and f o u r t h s ( i n s p i r e d by motive y) a c t as a c o u n t e r p o i n t . A l l the m a t e r i a l i n mm. 127-144 ( c h r o m a t i c a l l y descending and ascending s c a l e s , f o u r t h s and sequences) r e p r e s e n t s an e x t e n s i o n and v a r i a t i o n of motive z. F o l l o w i n g an a c c e l e r a t e d , r i s i n g s c a l e , motive z i s v a r i e d i n two ways: i ) i n m. 151 i t i s presented i n a t r i p l e t rhythm and i i ) i t a s s i m i l a t e s the f o u r t h s of motive y ( m . l 5 6 f f ) . The t r a n s i t i o n a l m a t e r i a l z/y and motive y j o i n the e x i s t i n g m a t e r i a l to usher i n the r e c a p i t u l a t i o n with g r e a t i n s i s t e n c e . An i n t e r e s t i n g d i s t r i b u t i o n of thematic m a t e r i a l i s found i n comparing development with r e c a p i t u l a t i o n . The development i n c o r p o r a t e s o n l y m a t e r i a l from the m o t i v i c e x p o s i t i o n (x, z, z/y/ y) r whereas the formal r e c a p i t u l a t i o n of the f i r s t s u b j e c t m a t e r i a l i s g r e a t l y reduced from 48 to 9 measures, e x c l u d i n g both motive y and the t r a n s i t i o n a l m a t e r i a l z/y. Vaughan Wi l l i a m s wrote i n a programme note on the symphony, "there i s no complete r e c a p i t u l a t i o n of the f i r s t s u b j e c t s [z, y] but a f t e r a few notes s u g g e s t i v e of the opening, the 14 cantilena passage [theme A] f o l l o w s immediately, t h i s time i n the bass, with a countermelody i n the t r e b l e . T h i s works up to a f o r t i s s i m o . 1 1 a The r e c a p i t u l a t i o n of theme A en t e r s immediately i n m. 189 but i s condensed to two t h i r d s i t s o r i g i n a l l e n g t h by the simultaneous statement of i t s opening phrase (from m.49) i n the lower s t r i n g s and winds and a v a r i a n t of i t s l a t e r phrase (from m.68) i n upper s t r i n g s and winds. "The music then d i e s away, and ends with a s o f t and slow r e p e t i t i o n of the D major theme [theme B], t h i s time i n D f l a t [ c o d a ] . " 2 The coda (m. 213 f f ) comprises theme B, i t s accompanying o s t i n a t o and r as they appeared i n mm. 85-106 of the e x p o s i t i o n . Now, however, the c h a r a c t e r of the m a t e r i a l i s e n t i r e l y d i f f e r e n t : muted s t r i n g s are almost the s o l e p a r t i c i p a n t s ; i t i s much slower ( l e n t o ) ; and i t has l o s t i t s a g g r e s s i v e , d r i v i n g nature. The o s t i n a t o accompaniment emphasizes a C s o n o r i t y (subordinate to D - f l a t t o n a l i t y ) and i s s i m p l i f i e d somewhat to an octave descent from C to G-n a t u r a l t o G - f l a t and a g a i n to C. The m a t e r i a l i s once again reduced to a f l u c t u a t i o n between major and minor t h i r d s (mm.234-40), as i t was i n the e x p o s i t i o n (mm.104-106). 2. Ralph Vaughan W i l l i a m s , quoted i n Edward Downes, The  New York Philharmonic Guide to the Symphony (New York: Walker & Co., 1976), p. 997. 15 CHART II: Movement II: Andante moderato. Sonata-allegro, F Minor MMI P r i n c i p a l Formal Section Secondary Formal Section Themes, Motives P r i n c i p a l Tonic Local Tonic 1 Exposition Introduction y« I V/f 5 7 1st Subject O S t . V i f 10 1) +c f ie i m i t a t i o n a 4th 27 38 2nd Subject 11) Group D D. A f 44 (D ext.) 50 E" 55 c 57 Da 61 i i i ) E c 65 Tr a n s i t i o n 70 Development D b 79 dev't D» e V e 84 y» 91 Recapitulation W • Wi t £ 95 1st Subject 1) C (+ r . l 107 114 2nd Subject 11) Group D. y» B A" 118 Da 125 l i i ) B F 131 i 138 Coda S i cadenza •z F 16 Second Movement Although the formal s t r u c t u r e of the second movement d i s p l a y s the general f e a t u r e s of s o n a t a - a l l e g r o form, the des i g n of t h i s movement i s more f l u i d than t h a t of the other movements owing t o the ever-present developmental a c t i v i t y . Indeed, although d i s c r e t e thematic i d e n t i t i e s are d i s c e r n i b l e , the o v e r a l l impression i s t h a t of a continuous e v o l u t i o n of themes from two elemental motives, producing i n c r e a s i n g thematic complexity. Indeed, a c l e a r network of thematic t r a n s f o r m a t i o n s i s present i n the second movement and i s expl o r e d i n more d e t a i l i n chapter I I . Th i s movement opens with a six-measure f a n f a r e - l i k e i n t r o d u c t i o n based on motive y. A p a s s i n g note, added t o f i l l i n the i n t e r v a l of the minor t h i r d , c r e a t e s an a l t e r e d form of y, c a l l e d y i , which emerges as an important m o t i v i c element f o r the movement. The c a d e n t i a l f i g u r e played by the f l u t e s i n mm.5-6, motive w, which i n f a c t i s d e r i v e d from the opening motive (x) of the f i r s t movement, as w e l l as from the embellishment of the r e t r o g r a d e of the t a i l of y±, r e p r e s e n t s the other f o u n d a t i o n a l motive of the movement (see Ex.7). Ex. 7. Movt. I I , mm.1-6; Motives y* and w. From the c a d e n t i a l f i g u r e comes the o s t i n a t o accompaniment w t , which d i s p l a y s e s s e n t i a l l y the same i n t e r v a l l i c p a t t e r n as motive w, and i s played by c e l l o s and basses beginning i n m.7. Furthermore, an extended melody i s b u i l t around motive w (theme C , beginning a t m.10) and i s i m i t a t e d a t the f o u r t h by the second v i o l i n and v i o l a , beginning i n m.18 (see Ex.8). Ex. 8. Movt. I I , mm.7-23; O s t i n a t o w* and Theme C . <— v, The second theme-group i s i n i t i a t e d i n m.27 by the oboe p l a y i n g theme D, which c o n s i s t s of a melodic v a r i a n t of w with c h r o m a t i c a l l y f l u c t u a t i n g p e r f e c t f o u r t h s . Theme D i s s i m p l i f i e d i n m. 3 8 f f , c r e a t i n g Di, which has a s i m i l a r 18 contour and i n t e r v a l l i c pattern to D, but remains rooted on F whereas D veers from A to B - f l a t . The material in mm. 57-60 ( D a ) further develops the fourths and the i n i t i a l eighth-note figure from D, traversing a large-scale retrograde of y i in the process (see Ex.20, Chapter I I ) . There are also several interesting connections with theme M of the fourth movement (cf. Ex. 9 with Ex. 17, p. 28), namely three melodic patterns, which w i l l be discussed in chapter I I . Ex 9. Movt. I I , mm.26-35, mm.38-44, mm.56-61; themes D, D» and Dx. n *. * L- * i 11 r f 1 m 5 6 19 After extensive development of theme D, a solo f l u t e presents the exposition's closing theme (E) at m.61 (see Ex. 10). It contains the i n t e r v a l l i c p r o f i l e of the cadential figure w and resembles c l e a r l y the ostinato pattern to theme B from the f i r s t movement (I, m.84ff). Ex. 10. Movt. II , mm. 61-2; Theme E. •f t**— l ™-n — 1 * -1 1 As in the f i r s t movement, the exposition equals half the length of the movement. However, by way of contrast, much less of the movement i s devoted to the development proper. Indeed, only the second subject matter (D) and the introductory y* material are given to developmental treatment. The e f f e c t of the recap i t u l a t i o n in the second movement i s quite s t r i k i n g owing to the early return of the opening material y% in m.84 of the development. Despite the e l i s i o n of development and return of introductory material, the reca p i t u l a t i o n proper, at m. 91, i s c l e a r l y a r t i c u l a t e d through r e p e t i t i o n of the opening material: there are f i v e varied statements of y* (compared with two in the opening) and four statements of motive w, which i s repeated over an emphasized return of the ostinato material (wi) played f f f by lower winds and t u t t i strings (from m.92). The return of the f i r s t theme i s condensed by means of a s t r e t t o (an i n t e r v a l 20 of three bars separates the imitation from i t s model, as opposed to the eight of the o r i g i n a l ) and i s accompanied by v i o l i n s playing a descending phrase, resembling r of the f i r s t movement (I/mm.102-4). The main subject of development, theme D, i s not recapitulated. Rather, the r e c a p i t u l a t i o n i s occupied with the remaining material, versions D* and Da of the exposition, and, after a restatement of the clo s i n g theme E, concludes with a short coda (moito tranquilly) consisting of a f l u t e cadenza ( s t ) over a statement of motive z played by muted trombones. The three-note c e l l on which the concluding f l u t e cadenza i s b u i l t (mm.131-8) i s derived from motive s in m. 46 of the f i r s t movement. Square brackets in Example 11 i d e n t i f y t h i s c e l l . Ex. 11. Movt. II, mm.131-138; concluding f l u t e cadenza ( s i ) . 21 C H A R T I I I : M o v e m e n t I I I , S c h e r z o ( a n d T r i o ) , D M i n o r MMI P r l n c l p a l . F o r m a l S e c t i o n S e c o n d a r y F o r m a l S e c t i o n T h e m e s , M o t i v e s P r i n c i p a l T o n i c L o c a l T o n i c 1 A 1 s t S u b j e c t F d d 5 z ( o s t ) 1 0 +F 37 T r a n s l t l o n ( o s t . G ) 46 2 n d S u b j e c t +G t B / b 54 d 58 f 78 D e v e l o p m e n t * • y i o n f 8 5 o n A " 92 z o n c 96 o n a 102 R e c a p 1) F • Z ( o s t ) d d 1 2 9 ( t r a n s . ) ( o s t . G ) 1 3 3 1 1 ) +G B / b B / b 1 4 9 T r i o H F F 1 7 4 D e v e l o p m e n t H ( v a r . ) 1 9 2 H ( e x t . ) 214 A ' 1 s t S u b j e c t F d d 218 Z ' 2 2 3 • F 254 2 n d S u b j e c t G • o s t B / b 2 7 1 T r i o H t 2 8 0 E n d s I I I P r o p e r G • o s t B 284 B r i d g e t o I V (OSt. G ) v a g u e 288 • y . 2 9 3 + ( x ) 308 • X 3 1 6 324 z 22 ThJKfl Movement The t h i r d movement, a scherzo and t r i o , has, i n i t s i n i t i a l s e c t i o n , a r e c o g n i z a b l e sonata s u b - s t r u c t u r e : i t c o n s i s t s of 148 measures, which d i v i d e i n t o e x p o s i t i o n , development, and r e c a p i t u l a t i o n . The formal p r o p o r t i o n s of the e n t i r e t h i r d movement are approximately 15:7:7. Thus, the f i r s t scherzo s e c t i o n c o n s t i t u t e s more than h a l f of the e n t i r e movement. T h i s movement makes e x t e n s i v e use of motives z and y, and, a d d i t i o n a l l y , presents three new themes: two c o n t r a s t i n g ones i n the scherzo (themes F and G) and one i n the T r i o (theme H). The f i r s t s u b j e c t of the scherzo, theme F (see Ex. 12), which d i s p l a y s a k i n s h i p i n i t s f i r s t e i g h t notes with motive y of the f i r s t movement, i s presented i n i t i a l l y as a t e r s e four-bar phrase and i s extended i n i t s subsequent p r e s e n t a t i o n ( m . l O f f ) . T h i s i s f o l l o w e d by motive z, which f u n c t i o n s as an o s t i n a t o accompaniment to theme F. Ex. 12. Movt. I l l , m. 1; Theme F. U n l i k e the remainder of the scherzo, the second theme, G, i s r h y t h m i c a l l y r e g u l a r (see Ex. 13). A f t e r b u i l d i n g g r a d u a l l y from m. 48, theme G appears i n i t s f u l l form beginning a t m. 60. I t i s c h a r a c t e r i z e d by an octave descent 23 with some d i r e c t i o n a l f l u c t u a t i o n s i n a s i c i l i a n o rhythm. As with themes A and B i n the f i r s t movement, theme G i s accompanied by a r h y t h m i c a l l y c o n t r a s t i n g and i r r e g u l a r o s t i n a t o which d i s p l a y s i t s o r i g i n s i n the c h a r a c t e r i s t i c i n f l e c t i o n of motive s. Ex. 13. Movt. I l l , mm. 60-63; Theme G. | X i M j LT1 The development s e c t i o n of the scherzo mainly e x p l o i t s motive z. At the same time i t both extends and r h y t h m i c a l l y augments a v e r s i o n of motive y. T h i s p a r t i c u l a r appearance of motive y s o l i d i f i e s and c l a r i f i e s the r e l a t i o n s h i p between y and the i n i t i a l e i g h t notes of the opening theme F. There are two statements of motives z and y i n the development: m.78 on c and m.85 on A - f l a t . Beginning i n m.102, the r e c a p i t u l a t i o n of t h i s sonata reduces the t r a n s i t i o n a l o s t i n a t o m a t e r i a l from e l e v e n to four measures ( c f . m. 129ff and m.37ff). The second s u b j e c t (theme G) i s presented immediately i n i t s e n t i r e t y r a t h e r than u n f o l d i n g g r a d u a l l y as i t d i d i n the e x p o s i t i o n ( c f . mm.133 to 48). Theme H of the t r i o , which maintains the s i c i l i a n o rhythm of theme G through i t s f i r s t h a l f and t r a i l s o f f i n a hemiola, i s m e l o d i c a l l y d i s j u n c t (see Ex. 14). I t comprises a s e r i e s of ascending and descending p e r f e c t f o u r t h s and 24 r e v e a l s an a f f i l i a t i o n w ith the f i r s t four notes of the opening theme F. The t r i o (mm. 149-214) i s a s e l f - c o n t a i n e d f u g a l s e c t i o n i n which the s u b j e c t i s i m i t a t e d c a n o n i c a l l y , developed through e x t e n s i v e fragmentation of i t s p a t t e r n of f o u r t h s (see m . l 9 2 f f ) , and v a r i e d with ornamental s c a l a r and eighth-note f i g u r e s (m. 1 7 8 f f ) . Ex. 14. Movt. I l l , mm. 149-57; T r i o Subject, Theme H. •>>hn i j i j , J*r 1 1 r i ' f U j ' I J . ' T I r y r i h - r t F o l l o w i n g the t r i o , s e c t i o n A i s r e c a p i t u l a t e d with the same b a s i c key scheme except t h a t the second theme G now s t a y s i n the key of B major r a t h e r than moving to the key of F minor (see Diagram 1 i n the d i s c u s s i o n of key s t r u c t u r e below). The r e t u r n of A does not i n c l u d e the e n t i r e s e c t i o n with development and r e c a p i t u l a t i o n , but i n s t e a d o f f e r s the themes i n t h e i r o r i g i n a l order and i n c o r p o r a t e s a ten-measure statement of the t r i o theme (m.271 f f ) . Between the t h i r d and f o u r t h movements, Vaughan W i l l i a m s p r o v i d e s a b r i d g e passage, the t r a n s i t i o n a l f u n c t i o n of which i s c r e a t e d by a gradual in c r e a s e i n i n t e n s i t y and augmentation of thematic m a t e r i a l , and by t o n a l ambiguity. P a r t i c u l a r l y s t r i k i n g i s the manner i n which motives x, z and y emerge i n the bridge passage, a c l e a r r e f e r e n c e and resemblance to the m o t i v i c e x p o s i t i o n of the f i r s t movement. In l i g h t of the forthcoming events of the f o u r t h movement, t h i s r e f e r e n t i a l passage gains s i g n i f i c a n c e 25 as a f o r e c a s t of the f i n a l twelve bars of the symphony. The f o u r t h movement f o l l o w s immediately. Fourth Movement Movement IV, l i k e the pre v i o u s three movements, i s i n s o n a t a - a l l e g r o form. U n l i k e them, however, i t i n c o r p o r a t e s a f u g a l e p i l o g u e and concludes with a twelve-bar capsule t h a t t e r s e l y punctuates the e n t i r e symphony with m a t e r i a l from the opening of the f i r s t movement (x, zy, and y; see mm.444-455). The p r o p o r t i o n s of the main p a r t of the movement ( i . e . , b efore the f u g a l e p i l o g u e ) are 114:99:95, the most equal d i s t r i b u t i o n of s e c t i o n s i n any of the movements of t h i s symphony. The f o u r t h movement i n t r o d u c e s three p r i n c i p a l themes ( E t , K, M). Moreover, i t a l s o i n c o r p o r a t e s motive s as a c a d e n t i a l f i g u r e (mm.67-76 and mm.302-9) and uses motives z and y e x t e n s i v e l y i n the E p i l o g u e . Although g r e a t l y transformed, the f i r s t s u b j e c t ( E t ) i s d e r i v e d d i r e c t l y from the f l u t e s o l o (theme E) a t the end of the e x p o s i t i o n i n the second movement (see Ex. 15). Theme E t i s developed e x t e n s i v e l y i n d i m i n u t i o n as i s motive s, which i s e x p l o i t e d f u l l y w i t h i n t h i s s e c t i o n (see mm-.56, 118 and 274). Theme K (m.24ff) i s d e r i v e d from the appoggiatura f i g u r e of motive x and, i n s i m i l a r f a s h i o n t o theme G i n movement I I I , i t evol v e s g r a d u a l l y u n t i l , i n m.39 i t r e a l i z e s i t s complete form (see Ex. 16). 26 C H A R T I V : M o v e m e n t I V , f i n a l e c o n K p l l o o o r u g a t e E o n a t a - a l l e g r o , F M i n o r MMI P r i n c i p a l F o r m a l S e c t i o n S e c o n d a r y F o r m a l S e c t i o n T h e m e s , M o t i v e s P r i n c i p a l T o n i c L o c a l T o n i c 1 5 E x p o s i t i o n 1 s t S u b j e c t 1) G r o u p E» o s t . £ £ F 1 5 Et £ 2 0 o s t . F 24 11 ) • K 52 d e v t E . £ 67 B 77 2 n d S u b j e c t M B * 9 4 d e v t H 1 0 6 T r a n s i t i o n M / E » e 1 1 5 D e v e l o p m e n t E . A / a 1 2 7 • y 1 3 7 1 6 B K * o s t . c h r o m a t i c s e q . t o F I p e d a l 1 7 7 1 6 9 I n t e r p o l a t i o n f r o m 1 / 2 1 3 - 2 7 B + r z • y » D / c - p e d a l a" 2 1 0 a / a " 2 1 4 2 2 3 R e c a p i t u l a t i o n 1 s t S u b j e c t 1 ) G r o u p 1 1 ) B» o s t + K f £ 2 4 6 2 n d S u b j e c t M D D 2 5 6 s e q u e n c e 2 6 6 T r a n s i t i o n M/B. V/£ 2 7 3 d e v t E> £ 3 0 2 s F / £ 3 0 9 F u g a l E p i l o g u e z + y £ 354 • K e " 3 6 7 d 3 7 9 Z * H D 4 1 1 2 • M/E> e 4 2 4 C o d a o f I V B i • z £ 4 3 9 d e v t E> 444 G r a n d C o d a X f 4 4 6 z / y 4 5 1 y 4 5 5 E n d £ Ex. 15. Movt. IV, mm. 1-5; Theme Et. The second s u b j e c t , theme M (m.77f£), which begins with an ascending t r i a d i c f i g u r e (B b-D-E-F) and i s f o l l o w e d by a descending s e r i e s of three r i s i n g p e r f e c t f o u r t h s , has a r e g u l a r rhythmic p a t t e r n and i s extended by canonic i m i t a t i o n (see Ex. 17). A f t e r a thorough development of theme M, the composer presents other m a t e r i a l which combines c h a r a c t e r i s t i c s of themes M and Ex and a c t s as a t r a n s i t i o n to the development, which f o l l o w s i n m.115 (theme M / E i ) . 28 Ex. 17. Movt. IV, mm. 77-82; Theme M. ©- ' M . C j ft 0—i 1 1 0 h * • tJ-tK r _L_ 1 M- 1 — f — U—u The development c o n s i s t s of two main s e c t i o n s , the f i r s t of which s t a t e s the opening theme (E*), which i s fragmented and repeated many times i n d i m i n u t i o n . Beginning i n m.137, theme K becomes the p a t t e r n f o r a s e q u e n t i a l chromatic descent to an F-sharp p e d a l . The second s e c t i o n of the development, beginning i n m.177, r e c a l l s p o i g n a n t l y the coda of the f i r s t movement (m. 2 1 3 f f ) , now r e s t a t e d i n the key of D (not D - f l a t ) over a C s o n o r i t y . Motives z and y f o l l o w and are developed through e x t e n s i o n , augmentation, d i m i n u t i o n and rhythmic a l t e r a t i o n over an A - f l a t p e d a l . The reappearance and treatment of motives z and y i n the development of the f o u r t h movement a c t as a sure harbinger of the c o n t r a p u n t a l i n t e n s i t y of the f u g a l e p i l o g u e . The r e c a p i t u l a t i o n i s a r t i c u l a t e d by a statement of the opening m a t e r i a l (theme E i ) , the t h i r d chord of which i s h e l d before proceeding to another statement i n d i m i n u t i o n . The r e s t of the m a t e r i a l (themes K, M, and the development of E i preceded by the t r a n s i t i o n a l m a t e r i a l M/Ei) f o l l o w s without d e l a y i n the same order i n which i t was presented i n the e x p o s i t i o n . C l o s i n g the movement proper, and i n an ambiguous t o n a l i t y of F major/minor, i s the c a d e n t i a l m a t e r i a l from 29 motive s (mm.302-9). The f u g a l e p i l o g u e (m.309ff), d e s p i t e i t s measure of s t r u c t u r a l and thematic independence, should not be conceived as an e n t i t y separate from the f o u r t h movement. The very presence i ) of the opening m a t e r i a l (theme E » ) , a f t e r the fugue's c o n c l u s i o n (m.424); and i i ) of themes K and M from the f o u r t h movement (m.354ff), r e i n f o r c e s the e p i l o g u e ' s i n t e g r a l r o l e . T h i s e p i l o g u e r e p r e s e n t s the c u l m i n a t i o n of the v i r t u a l l y c o n t i n u a l developmental and c o n t r a p u n t a l a c t i v i t y throughout the symphony. Motives z and y are r e c a l l e d from the f i r s t movement and combined i n the second p a r t of the e p i l o g u e with m a t e r i a l from the f o u r t h movement (themes K, M, M/Ei). The fugue mainly i n v o l v e s motive z which i s augmented, extended through a c o n t i n u o u s l y u n f o l d i n g and i n t e r l o c k i n g p a t t e r n , fragmented t o i t s f i r s t t h ree notes, and i n v e r t e d i n mm. 375-77 and mm.419-21 (see Ex.18). F u n c t i o n i n g as a c o u n t e r p o i n t t o motive z, motive y v e r y r e c o g n i z a b l y appears i n i t s o r i g i n a l form from movement I but i s o f t e n presented i n a t r i p l e t rhythm. A f t e r a long t r i l l on E, the opening m a t e r i a l of the f o u r t h movement (Ei) r e t u r n s and i s combined with motive z i n i n c r e a s i n g d i m i n u t i o n and i n t e n s i t y b efore c u l m i n a t i n g i n the Grand Coda. These l a s t twelve bars p a r a l l e l the f i r s t bars of the symphony and have the sense of a r t i c u l a t i n g the s t r u c t u r e of the symphony as a u n i f i e d whole. 30 Ex. 18. Development of Motive z i n the Fugal E p i l o g u e i l l . ho I bo | ho t|f > I t J0r Cor.(F) 343 tf£ 1 J b* b* 1 *bJ U h J ' *>' b I J I L m i— i CONSIDERATIONS OF KEY STRUCTURE. TONALITY. AND HARMONY: An important c o n s i d e r a t i o n of any composition based on sonata p r i n c i p l e s i s the r o l e of key s t r u c t u r e i n i t s formal p l a n . I t i s important to remember t h a t the key r e l a t i o n s h i p s i n t h i s symphony and i n Ralph Vaughan W i l l i a m s ' s other symphonies do not c a r r y the same i m p l i c a t i o n s as i n t h e i r c l a s s i c a l p r o t o t y p e s . A t o n a l c e n t r e i s o f t e n p e r c e i v e d but the c l a r i t y of mode c h a r a c t e r i s t i c of c o n v e n t i o n a l harmony i s obscured somewhat i n Vaughan W i l l i a m s ' s harmonic p r a c t i c e , g e n e r a l l y due to modal t h i n k i n g and n o n - t r a d i t i o n a l r o o t movement. In the f o u r t h symphony, the t o n a l i t y i s not o n l y obscured by these f e a t u r e s of h i s c o m p o s i t i o n a l s t y l e , but a l s o by the m o t i v i c c o n f l i c t between major and minor t o n a l i t y , a l t e r n a t e l y lowered and r a i s e d s c a l e degrees, and by the p r o f u s i o n of chromaticism and dissonance. Furthermore, because of the f o u r t h symphony's h i g h l y c o n t r a p u n t a l t e x t u r e and harmonic independence of p a r t s , the p e r c e p t i o n of key, i n the t r a d i t i o n a l sense, i s d i f f i c u l t . 31 N e v e r t h e l e s s , there i s a r e c o g n i z a b l e and s i g n i f i c a n t key s t r u c t u r e i n Vaughan W i l l i a m s ' s f o u r t h symphony which c l e a r l y c o n t r i b u t e s to the contour of i t s formal s t r u c t u r e (see Diagram 1, next page). The key scheme i n the symphony, ev i d e n t i n Diagram I, r e v e a l s the prevalence of major and minor t h i r d r e l a t i o n s h i p s with the main t o n i c and an emphasis on the submediant ( n a t u r a l and f l a t ) a t d i f f e r e n t s t r u c t u r a l l e v e l s . The o v e r a l l key s t r u c t u r e of the symphony's movements i l l u s t r a t e s t h i s r e l a t i o n s h i p with i t s emphasis on D and D - f l a t . The submediant r e l a t i o n s h i p i s a l s o e v i d e n t i n the p r i n c i p a l i n t e r n a l key s t r u c t u r e of the f i r s t , t h i r d and f o u r t h movements. In the f i r s t movement a c o n f l i c t i s e s t a b l i s h e d between the n a t u r a l and f l a t submediant. D minor i s the p r e v a l e n t key of the second s u b j e c t group (themes A and B) i n the e x p o s i t i o n and D - f l a t major/minor r e p r e s e n t s the key of the coda, which corresponds t h e m a t i c a l l y to the end of the e x p o s i t i o n . The c o n f l i c t between D and D - f l a t i s heightened by the b r i e f presence of D minor w i t h i n the D - f l a t t o n a l area of the coda (see mm.222-227). The t h i r d movement emphasizes the r e l a t i o n s h i p between D minor ( i t s main t o n a l i t y ) and i t s submediant, B, which i s the t o n i c of the second s u b j e c t i n each of i t s four p r e s e n t a t i o n s and the t o n i c a t the end of the movement. The f o u r t h movement e x h i b i t s the submediant r e l a t i o n s h i p i n the r e c a p i t u l a t i o n of the main s u b j e c t (theme M) of the second group: i n the e x p o s i t i o n , t h i s theme i s i n B - f l a t (IV of F) but r e t u r n s i n D (VI of F ) . DIAGRAM 1: KEY STRUCTURE OF MOVEMENTS to 1 1 1 1 1 1 IV £ - D" £ d f f d I I d ] I f d D- £ A I I b l I f I F d F d f B- I A | f D (F/f) || £ r ~ B < 1 1 I A FI E» A- d (B)f-*d B I F I d B a.. 33 The second movement does not e x p l o i t the submediant key r e l a t i o n s h i p . Because of the use of mixed modes (L y d i a n / A e o l i a n , m.lOff) and the frequent chromatic f l u c t u a t i o n s i n modal melodies (eg., theme D i n m.28ff), i t s key s t r u c t u r e i s not as e a s i l y d e f i n e d as t h a t of the other movements. However, there i s a c l e a r l i n k between F minor and i t s dominant C: the two f a n f a r e s i n mm.1-6 e s t a b l i s h dominant harmony, and the t e r m i n a l themes of the e x p o s i t i o n are i n C major or minor. A comparison of c o r r e s p o n d i n g statements of the e x p o s i t i o n and r e c a p i t u l a t i o n of the second s u b j e c t m a t e r i a l r e v e a l s a p a i r of p e r f e c t f o u r t h r e l a t i o n s h i p s which f u n c t i o n l i k e the t r a n s p o s i t i o n , i n c l a s s i c a l sonata pr o t o t y p e s , of m a t e r i a l o r i g i n a l l y s t a t e d i n the dominant i n t o the t o n i c (see Diagram 1 above). Although theme D, o r i g i n a l l y presented i n A major (m.27ff), i s not r e c a p i t u l a t e d , and the m a t e r i a l i n F minor (Di) r e t u r n s i n B major (an i n t e r v a l of an augmented f o u r t h ) , a r e l a t i o n s h i p of p e r f e c t f o u r t h s i s r e i n f o r c e d by the E - f l a t t o A - f l a t and C to F t r a n s p o s i t i o n s . The omission of theme D, i n what would be D major, i s perhaps designed to a v o i d a n t i c i p a t i n g s t r o n g f/d and B/d key r e l a t i o n s h i p s t h a t form the b a s i s of the next movement. The scheme of secondary key areas i n each movement n e i t h e r d i r e c t l y c o n t r i b u t e s to the formal s t r u c t u r e nor forms any d i s t i n c t p a t t e r n ; however, the secondary t o n i c c e n t r e s presented h e l p to d e f i n e the p r i n c i p a l t o n i c f o r each s e c t i o n , p a r t i c u l a r l y through frequency and emphasis of the 34 l a t t e r . The e f f e c t i s l o c a l , f o r the sake of c o l o u r . Frequent use of sequences and chromaticism, and the frequent b r e v i t y of s e c t i o n s i n which t o n a l c e n t r e s are c l e a r c o n t r i b u t e to a sense of t o n a l ambiguity. HARMONY I t has been mentioned t h a t the c o n t r a p u n t a l t e x t u r e i n Ralph Vaughan W i l l i a m s ' s f o u r t h symphony s t r o n g l y c o n t r i b u t e s to the work's t o n a l o b s c u r i t y . In the same way, the symphony's harmonic p a t t e r n s are a l s o a f f e c t e d . E a r l i e r , i t was observed t h a t the composer's harmony i s d e r i v e d from melody, a c h a r a c t e r i s t i c which opposes the C l a s s i c a l idea of melody governed by harmony; 3 and t h i s f e a t u r e i s no l e s s p r e v a l e n t i n h i s f o u r t h symphony than i n h i s other works. The p r o g r e s s i o n of v e r t i c a l harmonic r e l a t i o n s h i p s i s seldom a primary concern i n the c o n s t r u c t i o n of the composition. To d e s c r i b e the harmony i n t h i s symphony by a n a l y z i n g v e r t i c a l s o n o r i t i e s would misconstrue the c o n c e p t i o n of the work's harmonic technique. In g e n e r a l , v e r t i c a l r e l a t i o n s h i p s are subordinate to the c o n t r a p u n t a l motion of h a r m o n i c a l l y independent v o i c e groups, thus a c l e a r p a t t e r n of v e r t i c a l s o n o r i t i e s throughout the o r c h e s t r a can seldom be d i s c e r n e d . As a r e s u l t of the harmonic c l a s h between independent groups, dissonance p r e v a i l s . 3. B i l l y - J o e Edmonds, "Harmony i n the Symphonies of Ralph Vaughan W i l l i a m s " (Master of Music t h e s i s , North Texas State C o l l e g e , 1958), p.74. 35 Dissonance i s c e n t r a l t o the f o u r t h symphony and i s o f t e n produced by semitonal c l a s h e s between two c o n t r a p u n t a l l i n e s . For example, at the opening of the f i r s t movement, semitonal dissonance i s produced by the displacement of s i m i l a r m a t e r i a l a t the unison and octave (see motive x, Ex. 19a). The symphony begins with an appoggiatura on D - f l a t over C, r e s o l v i n g m e l o d i c a l l y t o C, which i s then p i t t e d once more a g a i n s t D - f l a t i n the second measure as a r e s u l t of the canon. The f i n a l cadence of the symphony (IV/ mm.444-5) c o n s i s t s of a c l a s h c r e a t e d by the simultaneous sounding of the F major/minor t r i a d and i t s lowered s u p e r t o n i c ( G - f l a t and D - f l a t without the t h i r d ) . T h i s combination engenders the i n i t i a l and p e r v a s i v e semitonal dissonance, D b/C, i n i t s l a s t m a n i f e s t a t i o n , and i s f i n a l l y r e s o l v e d to F i n open f i f t h s (no t h i r d ) i n the l a s t chord (see Ex. 19b). Ex. 19. a) Opening of Movement I and b) F i n a l Cadence of IV. 36 To the extent t h a t there are harmonic r e l a t i o n s h i p s i n t h i s music, as c o u l d undoubtedly be argued c o n v i n c i n g l y , they are a t the l e v e l of the measure group or phrase as w e l l as at broader l e v e l s , r a t h e r than from one chord to the next i n the t r a d i t i o n a l sense. However, an a n a l y s i s of such r e l a t i o n s h i p s , worthwhile as i t c o u l d prove, i s not w i t h i n the scope of t h i s essay. CONSIDERATIONS OF COUNTERPOINT. ORCHESTRATION. AND RHYTHM: Count e r p o i n t : The f o u r t h symphony, besides the s i x t h and n i n t h , i s the most c o n t r a p u n t a l of Vaughan W i l l i a m s ' s symphonies, and, as observed above, the c o n t r a p u n t a l nature of the symphony has had a marked e f f e c t on the t o n a l i t y and harmony. Indeed, Vaughan W i l l i a m s ' s " t e x t u r e s are p r i m a r i l y c o n t r a p u n t a l r a t h e r than harmonic [because h i s ] main i n t e r e s t i s i n melody. ""* The p r e v a i l i n g t e x t u r e i n the f i r s t , t h i r d and f o u r t h movements i s t h a t of the simultaneous statement of two or three groups of instruments, each group having i t s own independent m a t e r i a l . Although Vaughan W i l l i a m s r e s t r i c t s h i m s e l f , as f a r as the number of v o i c e groups a t a g i v e n time i s concerned, he makes f u l l use of the o r c h e s t r a l f o r c e s a t h i s d i s p o s a l through e x t e n s i v e d o u b l i n g . Each group p l a y s the same m a t e r i a l i n unison or a t the octave or ( r a r e l y ) i n 4. Schwartz, Symphonies, p. 177. 37 p a r a l l e l t r l a d l e harmony. The groups c o n s i s t of v a r y i n g combinations of instruments: f a m i l i e s of instruments (e.g., brass a g a i n s t winds and s t r i n g s ) may be used to d i s t i n g u i s h t e x t u r a l elements, or a combination of h i g h - r e g i s t e r instruments s e l e c t e d from each f a m i l y may be used a g a i n s t low-pitched instruments (e.g., f l u t e s , oboes, c l a r i n e t s , and v i o l i n s a g a i n s t bassoon, contrabassoon, trombones, tubas, v i o l a s , c e l l o s and b a s s ) . Although the o r c h e s t r a t i o n i s f u l l , the t e x t u r e remains q u i t e c l e a r because of the low number of streams of heterogeneous m a t e r i a l . Common i n the symphony i s the use of the whole o r c h e s t r a t o p l a y two p a r t s , c a n o n i c a l l y r e l a t e d a t the i n t e r v a l of a unison or an octave, and a t the temporal d i s t a n c e of a measure; t h i s t e x t u r e , as observed above, i s a source of much c h a r a c t e r i s t i c dissonance i n the work, both harmonic and rhythmic. The opening of the symphony i s an example of t h i s k i nd of w r i t i n g . There are v e r y few examples of a t e x t u r e t h a t c o n s i s t s simply of melody and accompaniment. N e v e r t h e l e s s , one example does occur i n the s e c t i o n of the f i r s t movement which i s devoted to theme A (mm.49ff), but t h i s simple t e x t u r e i s soon complicated by the - s e t t i n g of the melody i n canon i n mm.67-80. The s t r i n g s (which have the melody throughout t h i s s e c t i o n ) are d i v i d e d by r e g i s t e r and d i s p l a c e d by one bar. The second movement indulges i n i m i t a t i v e techniques t h a t d i f f e r i n kind from t h a t found i n the other movements. There i s much l e s s use of two-part canon a t the unison or octave 38 (an e x c e p t i o n appears i n mm.44-47) and l e s s e x t e n s i v e d o u b l i n g . Common to the second movement are passages of i m i t a t i o n between two or more independent l i n e s (see mm.10-26 and mm.70-79). These passages have a more s t r u c t u r a l r o l e , due to t h e i r formation and expansion through s t r i c t canonic techniques, than the passages of canon a t the unison or octave found i n the other movements, which f u n c t i o n more f o r the purpose of l o c a l t e x t u r e and harmonic c o m p l i c a t i o n . The second s u b j e c t of the f o u r t h movement, theme M, undergoes canonic i m i t a t i o n as soon as i t i s presented i n m.77. The t r i o of the t h i r d movement d i s p l a y s a more ex t e n s i v e use of i m i t a t i v e t echnique. I t i s a s e l f - c o n t a i n e d u n i t f e a t u r i n g fugato and development of a s i n g l e s u b j e c t (theme H). F i n a l l y , the e p i l o g o fugato (mm.309-464) of the f o u r t h movement i s the c u l m i n a t i o n of the c o n t r a p u n t a l a c t i v i t y i n the e n t i r e symphony. The fugue i s based p r i m a r i l y on motive z which i s i m i t a t e d , extended, i n v e r t e d , and combined with other thematic elements t h a t f u n c t i o n as c o u n t e r s u b j e c t s . The o r c h e s t r a l apparatus t h a t Vaughan W i l l i a m s chooses f o r h i s f o u r t h symphony i s c o n v e n t i o n a l both i n i n s t r u m e n t a t i o n and i n s i z e . There i s an o p t i o n a l a d d i t i o n of t h i r d f l u t e , second oboe, bass c l a r i n e t and contrabassoon i f these instruments are a v a i l a b l e . The brass instruments are prominent ( e s p e c i a l l y i n p r e s e n t i n g motive y ) , except i n the second movement, where the s t r i n g s and s o l o woodwinds dominate. In the t h i r d movement, f u l l prominence f o r brass i s 39 r e s e r v e d u n t i l the t r i o , while the scherzo s e c t i o n s f e a t u r e i n t e r p l a y between woodwinds and s t r i n g s . The f o u r t h symphony f e a t u r e s rhythmic i r r e g u l a r i t y t o a degree t h a t prompted one w r i t e r t o d e s c r i b e i t as "vehement i r r e g u l a r i t y . " a A s i g n i f i c a n t example i s found i n the f i r s t s u b j e c t of the t h i r d movement (theme F ) . By the t h i r d measure the accent i s d i s p l a c e d to the second e i g h t h note of the bar. In more extended statements of theme F, the displacement of accent i s more frequent and pronounced (e.g. mm.19-37). The rhythmic i r r e g u l a r i t y i s so p r e v a l e n t t h a t when r h y t h m i c a l l y r e g u l a r m a t e r i a l emerges, the e f f e c t i s s t r i k i n g . The second s u b j e c t (theme G) of the t h i r d movement (mm.48-71) conforms to the w r i t t e n meter of 6/8 and p r o v i d e s an e f f e c t i v e c o n t r a s t to the d i s p l a c e d rhythm of the f i r s t s u b j e c t . Aside from some use of hemiola a t the end of the t r i o s u b j e c t (theme H), the rhythm here i s v e r y r e g u l a r . Moreover, both themes G and H of the t h i r d movement f e a t u r e a s t y l i z e d rhythmic p a t t e r n which enhances the c o n t r a s t with the f i r s t s u b j e c t . O s t i n a t o p a t t e r n s i n the symphony f r e q u e n t l y e x h i b i t an i n c o n s i s t e n t p u l s e . Theme A of the f i r s t movement i s accompanied by a s e r i e s of chords which produces a pulse of a l t e r n a t i n g 5 and 4 quarter-note beats i n a 3/2 meter (see I, m.49ff). Vaughan Wi l l i a m s chooses c o n v e n t i o n a l w r i t t e n meters f o r the f o u r t h symphony but i n v a r i a b l y the rhythm does not conform. 5. N. Gerrard Long, "Vaughan W i l l i a m s ' Fourth Symphony: A Study i n I n t e r p r e t a t i o n , " Monthly M u s i c a l Record 76 (June 1947):119. 40 Rhythmic independence between p a r t s f u r t h e r a r t i c u l a t e s the heterogeneous nature of the t e x t u r e . An example of t h i s i s found i n mm.96-100 of the t h i r d movement. Here, three d i f f e r e n t p a r t s are present but each p l a y s motive z i n independent rhythmic g u i s e s . The p a r t s played by contrabassoon, trombones, tuba, and lower s t r i n g s c l e a r l y a r t i c u l a t e the 6/8 pulse by steady d o t t e d e i g h t h notes. The duple pulse i s maintained by the horns and trumpets, although each d o t t e d quarter p u l s e i s s u b d i v i d e d i n t o two e i g h t h s r a t h e r than t h r e e . The upper winds and s t r i n g s p l a y r e g u l a r e i g h t h notes but the accent i s d i s p l a c e d to every f i v e e i g h t h s r a t h e r than s i x . CQNCE»VSI,QN; Vaughan W i l l i a m s ' s Symphony No. 4 i n F Minor i s a work of e x t r a o r d i n a r y musical c o h esion. T h i s i s p a r t i c u l a r l y e v i d e n t i n the way the formal, thematic and t o n a l s t r u c t u r e s c o n t r i b u t e to the p e r c e p t i o n of the symphony as a u n i f i e d whole. Chapter II e x p l o r e s the cohesion and sense of p r o g r e s s i o n i n the symphony, p a r t i c u l a r l y with r e s p e c t to thematic and m o t i v i c t r a n s f o r m a t i o n s . 41 CHAPTER L2_ • A STUDY OF FACTORS CONTRIBUTORY TO UNITY AND PROGRESSION IN THE FOURTH SYMPHONY I t has been noted a l r e a d y i n the p r e v i o u s chapter t h a t the Symphony No. 4 i n F Minor by Ralph Vaughan W i l l i a m s i s the f i r s t of h i s symphonies not to be l a b e l l e d with an e x t r a -musical t i t l e , a f a c t t h a t c h a l l e n g e s the l i s t e n e r who may wish t o d i s c o v e r a s p e c i f i c programme i n the work. The f o u r t h symphony may be d e s c r i b e d as a s u c c e s s f u l attempt i n the l o g i c a l development of a l i m i t e d number of primary m a t e r i a l s and musical ideas t o c r e a t e an extended y e t h i g h l y u n i f i e d p i e c e of musical l i t e r a t u r e . The extent t o which the chosen m a t e r i a l i s developed, manipulated and transformed over the course of the symphony, c r e a t i n g the sense of a s i n g l e -movement work, s t r o n g l y i n d i c a t e s t h a t ideas of u n i t y and p r o g r e s s i o n must have been an e s s e n t i a l concern i n the conc e p t i o n of the symphony. T h i s chapter exposes the methods by which the v a r i e g a t e d elements i n the f o u r t h symphony are moulded i n t o an o r g a n i c a l l y coherent u n i t . Among other t h i n g s , the d i s c u s s i o n w i l l c o n s i d e r the d i s t r i b u t i o n and i n t e r r e l a t i o n s h i p of themes and motives; the m a n i f e s t a t i o n both of a l t e r n a t i n g major and minor i n f l e c t i o n s and of the symphony's opening dissonance on d i f f e r e n t s t r u c t u r a l l e v e l s ; hence the ways i n which these f e a t u r e s c o n t r i b u t e t o the coherence and u n i f i c a t i o n of the work. 42 The musical events t h a t comprise the e x p o s i t i o n of the f i r s t movement (mm. 1 - 1 2 2 ) become p a r t i c u l a r l y r e l e v a n t i n l i g h t of the e n t i r e symphony. They s e t the course of the symphony through the establishment of thematic p o i n t s of r e f e r e n c e , and harmonic and t o n a l i m p l i c a t i o n s . The e x p o s i t i o n r e p r e s e n t s a v i r t u a l microcosm; i n i t are i n t r o d u c e d s e v e r a l c o n f l i c t s t h a t are addressed throughout the work. In the f o l l o w i n g d i s c u s s i o n the long-range i m p l i c a t i o n s of the events i n the e x p o s i t i o n of movement I w i l l be c o n s i d e r e d . THEMES AND MOTIVES AS FACTORS OF UNITY AND PROGRESSION Although the thematic m a t e r i a l of the f o u r t h symphony has a l r e a d y been d e s c r i b e d and some connections have been drawn between themes and motives i n chapter I, i t i s the purpose of the f o l l o w i n g d i s c u s s i o n t o continue f u r t h e r by c o n s i d e r i n g more tho r o u g h l y the ways i n which thematic and m o t i v i c content are used t o c r e a t e a sense of u n i t y , coherence, and growth. 1 The survey w i l l i n c l u d e a c o n s i d e r a t i o n of c y c l i c techniques and of v a r i o u s methods of thematic treatment used by the composer throughout the symphony as w e l l as an i l l u s t r a t i o n and e x p o s i t i o n of r e l a t i o n s h i p s among the thematic and m o t i v i c m a t e r i a l s . There are two ways i n which the motives and themes of the f o u r t h symphony p a r t i c i p a t e i n the i n t e g r a t i o n of a l l the 1 . For a convenient guide t o thematic m a t e r i a l , please c o n s u l t the "Reference Chart of Themes and Motives" i n the Appendix. 43 m o v e m e n t s i n t o a u n i f i e d w h o l e a n d c o n t r i b u t e t o a n o v e r a l l s e n s e o f g r o w t h a n d p r o g r e s s i o n : t h e f i r s t m e t h o d i s b y r e s t a t e m e n t t h r o u g h c y c l i c t e c h n i q u e s ; t h e s e c o n d , t h e m a t i c a s s o c i a t i o n a n d d e r i v a t i o n . D i r e c t r e s t a t e m e n t o f c l e a r l y i d e n t i f i a b l e m a t e r i a l t h r o u g h o u t t h e m o v e m e n t s i s a v e r y e f f e c t i v e w a y o f c r e a t i n g u n i t y a n d t h e s e m b l a n c e o f a o n e - m o v e m e n t w o r k . M o t i v e s z a n d y r e p r e s e n t p e r h a p s t h e m o s t o b v i o u s m e a n s o f u n i f y i n g t h e s y m p h o n y . I n d e e d , V a u g h a n W i l l i a m s d e l i b e r a t e l y c o n s t r u c t e d t h e w o r k o n t h e s e t w o b a s i c m o t i v e s , w h i c h r e a p p e a r i n d i f f e r e n t g u i s e s t h r o u g h o u t t h e m o v e m e n t s . F r e q u e n t l y t h r o u g h o u t t h e s y m p h o n y m o t i v e s z a n d y r e c u r i n e x a c t r e s t a t e m e n t ; f o r e x a m p l e , i n m m . 5 - 9 o f t h e t h i r d m o v e m e n t , m o t i v e z i s s t a t e d i n s u c c e s s i v e d i m i n u t i o n e x a c t l y a s i n i t s i n i t i a l p r e s e n t a t i o n i n m o v e m e n t I , m m . 6 - 9 . S u b s e q u e n t l y , t h i s f o r m o f m o t i v e z i s u s e d a s a n a c c o m p a n y i n g o s t i n a t o t o t h e m e F i n t h e f i r s t s u b j e c t g r o u p o f t h e t h i r d m o v e m e n t . O f t e n , t h e r e c u r r e n c e o f m a t e r i a l i n l a t e r m o v e m e n t s i n v o l v e s v a r i a t i o n , d e v e l o p m e n t a n d e x t e n s i o n o f t h e p a t t e r n o f t h e m o t i v e e s t a b l i s h e d i n a p r e v i o u s m o v e m e n t . U n i t y i s p r o v i d e d t h r o u g h r e s t a t e m e n t y e t a s e n s e o f m o t i o n a n d g r o w t h i s c r e a t e d t h r o u g h d e v e l o p m e n t . T h e m o s t s i g n i f i c a n t e x a m p l e s o f t h e d e v e l o p m e n t o f m o t i v e s z a n d y a r e f o u n d i n t h e f u g a l e p i l o g u e o f t h e f o u r t h m o v e m e n t ( m . 3 0 9 f f ) w h e r e , a f t e r f r e q u e n t r e f e r e n c e , r e c u r r e n c e , a n d v a r i e d s t a t e m e n t s o f z a n d y , t h e c u l m i n a t i o n o f t h e d e v e l o p m e n t o f t h e s e t w o m o t i v e s o c c u r s . T h i s c r e a t e s t h e c l i m a c t i c h i g h p o i n t o f i n t e n s i t y i n t h e 44 e n t i r e symphony and c o n t r i b u t e s d e f i n i t i v e l y t o the formation of a one-movement work. Two i n s t a n c e s of c l e a r restatement i n the f o u r t h movement have p a r t i c u l a r r e l e v a n c e to the symphony as a whole. F i r s t , w i t h i n the movement's development s e c t i o n , t h e r e appears i n m.177 the m a t e r i a l from the beginning of the coda of movement I (m.213ff). The sharp d i f f e r e n c e between the passage quoted from the f i r s t movement, which r e t a i n s i t s o r i g i n a l t r a n q u i l c h a r a c t e r , and the surrounding m a t e r i a l c l a r i f i e s the p a r e n t h e t i c a l nature of the i n t e r r u p t i o n and g i v e s i t the sense of an " o a s i s " . Secondly, the d i r e c t r e f e r e n c e i n the l a s t twelve bars (the Grand Coda) to the opening bars of the symphony i s e q u a l l y s t r i k i n g , c r e a t i n g the sense of a c y c l e completed. Indeed, a f t e r i t s e x t e n s i v e t r a n s f o r m a t i o n and development throughout the work, the t r u n c a t e d and segmented p r e s e n t a t i o n of the opening m a t e r i a l (x, z/y, y) b r i n g s the symphony f u l l c i r c l e to i t s s t a r k o r i g i n s . The flow c h a r t on the f o l l o w i n g page i l l u s t r a t e s the complex network of thematic and m o t i v i c r e l a t i o n s h i p s and d e r i v a t i o n s i n the symphony and may be used as a c o n c i s e guide f o r the f o l l o w i n g d i s c u s s i o n . Most r e l a t i o n s h i p s r e p r e s e n t e d i n the c h a r t c o n s i s t of g r e a t e r and l e s s e r degrees of s i m i l a r i t y i n i n t e r v a l l i c p a t t e r n . Some thematic r e l a t i o n s h i p s suggest b a s i c gestures common to a few d i f f e r e n t themes, while others i n v o l v e a more c l e a r l y r e c o g n i z a b l e s i m i l a r i t y . The most remarkably p e r v a s i v e stream of thematic r e l a t i o n s h i p s has A 1 / 2 / 1 m . 5 2 I I i O S t . B B I / 2 / U 1 / 2 / 1 1 m . 8 4 m . 8 5 / U / l / l v K y » I V / 1 / 1 1 I I / l n t . m . 2 4 m . l £ 1 . c a d . I I / c o d a m . 1 3 1 i G I I I / 2 m. 46 E O S t . V i I I / 2 / 1 1 1 I I / l / l m . 6 1 m . 7 E x I V / 1 / 1 m . l — p u t l l l C O l t l i b l t l M tO f t l N t l O l Of t l ' K , or ( d a t e d p i e c u s o r — » = t o t a l o i t i i t c o i t i l b a t l o i to f o t w t l o i of t b e i e i / l / i - H v c i t i t / i i b j e c t 9ioip / Hike > i t i i i tityoap J w w I I / l n t . y m . 5 S S / 1 | ''/ 1 1 / / 1 / ' / | D a M I I / 2 / 1 1 1 N / I V / 2 m . 5 7 m . 7 7 46 to do with a c o n t i n u i n g t r a n s f o r m a t i o n which u n d e r l i e s the thematic s t r u c t u r e of the symphony. A f a m i l y of themes, each with i t s own i d e n t i t y y e t i n t e g r a l t o the p r o g r e s s i v e e v o l u t i o n , spans the l e n g t h of the symphony. Although i t i s not represented i n the t h i r d movement, t h i s s e r i e s of thematic t r a n s f o r m a t i o n s c o n t r i b u t e s c o n s i d e r a b l y t o the work's c o n t i n u i t y and growth. Diagram 3 documents the t r a n s f o r m a t i o n which begins with the f i r s t theme (A) of movement I i n m.49. With the i n c o r p o r a t i o n of motive s, the o s t i n a t o of theme B i s generated i n the bass l i n e d i r e c t l y from theme A. Again, motive s i s woven i n t o the p a t t e r n of theme B's o s t i n a t o t o produce r , a premature v e r s i o n of which i s presented i n m.96 as a r e s u l t of the d i s i n t e g r a t i o n of theme B and i t s o s t i n a t o . Noteworthy i s the manner i n which the m a n i f e s t a t i o n s of the transformed i d e n t i t y i n movement I emerge one from the other i n s u c c e s s i o n . The next member of the group, theme E, presents i t s e l f i n m.61 of the second movement as a s y n t h e s i s of r and the s i x - n o t e c a d e n t i a l f i g u r e w (mm.5-6). The o n l y d i f f e r e n c e between the melody of theme E of the second movement and t h a t of the opening theme E* of the f o u r t h movement i s the a d d i t i o n of three notes and the d e l e t i o n of another (see Diagram 3 ) . T h i s i s the l a s t i n the s e r i e s of t r a n s f o r m a t i o n s ; y e t , w i t h i n the meandering l i n e of the f l u t e cadenza a t the end of the second movement (mm.131-38) i s contained the elemental b u i l d i n g - b l o c k of the f a m i l y of themes, which i s i n i t i a l l y and most c l e a r l y manifested i n motive s (C-A-A"-F). The f l u t e s o l o 4 7 t h r e a d s a c h a i n f o r m e d o f t h r e e - n o t e c e l l s ( c o n s i s t i n g o f a m i n o r s e c o n d a n d m i n o r t h i r d i n d i f f e r e n t p e r m u t a t i o n s ) i n a r h a p s o d i c m e l o d i c l i n e . T h e r e l a t i o n s h i p b e t w e e n t h e f a m i l y o f t h e m e s a n d t h e f l u t e c a d e n z a i s i n t e n s i f i e d b y t h e l a t t e r ' s c l o s e p r o x i m i t y t o a s t a t e m e n t o f t h e m e E ( I I / m m . 1 2 5 - 1 3 0 ) . D i a g r a m 3 r e v e a l s c l e a r l y t h e r o l e o f m o t i v e s a s t h e p r i m e c a t a l y s t i n t h e t r a n s f o r m a t i o n o f t h e m e s a n d a s t h e o r i g i n o f t h e t h r e e - n o t e b u i l d i n g - b l o c k p r e s e n t i n e a c h s t a g e o f t h e p r o g r e s s i v e t r a n s f o r m a t i o n . D i a g r a m 3 r e p r e s e n t s e x p l i c i t l y n o t o n l y t h e r e l a t i o n s h i p s b e t w e e n t h e t h e m e s a n d m o t i v e s , b u t a l s o t h e m e a n s t h r o u g h w h i c h t h e s y m p h o n y p r o g r e s s e s a n d g r o w s . T h e d i a g r a m i l l u s t r a t e s t h e d y n a m i c n a t u r e o f t h e t h e m a t i c m a t e r i a l . T h e r e i s a r e c o g n i z a b l e g r o w t h a n d p r o g r e s s i o n t h r o u g h t h e s y s t e m a t i c t r a n s f o r m a t i o n s o f f a m i l i a r , e s t a b l i s h e d m a t e r i a l i n t o n e w m a t e r i a l o f a d i f f e r e n t , i n d e p e n d e n t n a t u r e , w h i c h i n t u r n b e c o m e s f a m i l i a r a n d t h e s u b j e c t o f a n o t h e r t r a n s f o r m a t i o n . I n d e e d , t h e t r a n s f o r m a t i o n s a r e s o c o n v i n c i n g t h r o u g h o u t t h e w o r k t h a t t h e n e w l y g e n e r a t e d m a t e r i a l a c q u i r e s i t s o w n i d e n t i t y a n d a t h e m a t i c e v o l u t i o n i s p e r c e i v e d , i n w h i c h t h e n e w t h e m e c a n n o t r e t u r n t o t h e f o r m o f i t s p r o g e n i t o r . C l e a r l y i n t h e s y m p h o n y t h e r e i s a s e n s e o f a d y n a m i c , e v o l v i n g t h e m a t i c s t r u c t u r e ; o f c o m i n g f r o m o n e p l a c e o r s t a g e o f t h e w o r k a n d a r r i v i n g a t a n o t h e r . 48 Diagram 3. S e r i e s of Transformed Themes. T r a n s Movt T h e m e T o I A D C F A D F G E D M l M i l l h O O' 0 0 - 0 0 9 0 9 T i I s ,C A X b, F « i I o s t . B D ' C A Gl 1 [ F i l D I I I I I 1 0 0 0 0 0 0 I s C A A** F I ( r) Eb D B b A G G b E t o ' I I 1 I I I I o o 0 • • 0 o I r Eb ' D b B b A' G G t o E b M 1 I I I I q^o o ^ ^0 ^0 o T i o T a 1 1 II 1 w I I 1 1 i t \ 1—1 DJ 0? * 1 II E # *i «-C B A B G F l 1 : C E b D C 1 N " N h 1 1 1—1 1 1 1 1 i 1 i I J [s | (C) A A" F l i i IV Ex F E D C B C B r A A b F A b G F M M M M 1 I I M 1 The b r a c k e t s i n the diagram r e p r e s e n t the presence of the three-note b u i l d i n g block i n the v a r i o u s themes. * denotes non-adjacent members of the t h r e e - n o t e c e l l w i t h i n a l a r g e r group of notes. 49 N a t u r a l l y , i n t e r v a l l i c e v o l u t i o n i s not the o n l y element i n v o l v e d i n the t r a n s f o r m a t i o n . Each m a n i f e s t a t i o n of the thematic c o n t i n u i t y i s given an independent i d e n t i t y through a d i s t i n c t c h a r a c t e r and f u n c t i o n achieved through d i f f e r e n t musical f a c t o r s . Theme A, an extended c a n t i l e n a of i r r e g u l a r rhythm, p i t t e d a g a i n s t a c o n t r a s t i n g background of repeated chords, i s transformed i n t o the o s t i n a t o accompaniment to theme B, a r e l e n t l e s s l y p e r s i s t e n t bass l i n e i n a r e g u l a r rhythm of qua r t e r notes. From the march-like p r o f i l e of theme B and i t s o s t i n a t o , r emerges and, a f t e r two premature statements (mm.96-7 and 98-100), i s presented i n a f r e e r rhythm with s l u r r e d a r t i c u l a t i o n (see Diagram 3), i n t e r s p e r s e d f r e e l y with motive s. In the coda of the f i r s t movement, r i s combined with a g r e a t l y subdued theme B and a reduced v e r s i o n of i t s o s t i n a t o . In the second movement, the f i r s t p a r t of theme E i s moulded not o n l y by the i n t e r v a l l i c p r o f i l e of theme w but a l s o by i t s rhythm. However, i t s r e l a t i o n s h i p t o theme A, to r and t o the o s t i n a t o of theme B i s maintained i n the semitonal i n f l e c t i o n of i t s second h a l f (Fft-E-E^-C). The c l o s e melodic r e l a t i o n s h i p between themes E and Ei of Movement IV i s not r e f l e c t e d i n t h e i r remarkably d i f f e r e n t c h a r a c t e r s . Although theme B% has some s i m i l a r rhythmic t u r n s , i t i s presented a l l e g r o molto, f f , i n 2/2 meter, and each note i s marked tenuto. T h i s r e s u l t s i n a v e r y a s s e r t i v e theme i n a s t r i c t rhythm, which c o n t r a s t s c l e a r l y with the f r e e , smooth c h a r a c t e r of theme E. 50 There are other streams of thematic relationships present in the symphony and i l l u s t r a t e d in Diagram 4 below. A network of thematic transformations and int e r r e l a t i o n s h i p s c l e a r l y forms the thematic structure of movement I I . The progression begins with motive w, a cadential figure embellishing the la s t three notes of motive y* in reverse order. Immediately, motive w i s transformed through modal and rhythmic a l t e r a t i o n s into an ostinato pattern, Wi (m. 7) , which accompanies the f i r s t extended theme of the movement. Although introducing an ascending Lydian scale and the in t e r v a l of a diminished fourth, A-D", in i t s f i r s t four notes, theme C embellishes the melodic pattern established in motive w. Theme C carr i e s on the D-flat/C c o n f l i c t and pivots chromatically around C. The second subject group comprises a series of themes (D, Di, Da), which develop previous material. Theme D resembles theme C in i t s f i r s t three notes with the ascent from A to C-sharp (enharmonic D-flat) but proceeds to establish a p a r t i c u l a r pattern of chromatically f l u c t u a t i n g fourths derived from motive y and to present two successive passages (reminiscent of motive z) which pivot chromatically around D and E. Theme Di in turn copies theme D in i t s i n i t i a l three notes and in i t s rhythmic pattern of eighths and dotted quarters. Subsequently, theme D* presents the in t e r v a l of A to D-flat found in theme C, the melodic descent from D-flat to C, and varied statements of motives w and wt. Theme Da incorporates a large-scale retrograde of y i , the chromatically fluctuating fourths of theme D, and the version of wi presented at the end 51 Diagram J_L Thematic Tr^ns format long i a Movement 11 Yi i 1 wi: Theme C: ' I c - ^ - c d - J : w - ^ M ^ 1 1 L - L - i J J " ^ r l _ ^ = r ^ ^ - ^ Theme D: i s 1-1'U' H 1 Li PIVOTS A~R.OU.VJfc I> 3= S A 'Tr'rr ft* Theme Di m s bo j • w, Theme D 2: Theme E; Flute Cadenza ( S i ) : m \ - * ft 52 of theme D t. Theme E follows the ov e r a l l scalar descent of theme Da transposed down a minor second, while Incorporating the i n t e r v a l l i c p r o f i l e of motive w in i t s f i r s t half and r (from the f i r s t movement) in i t s second half. The flu t e cadenza at the end of the second movement (m. 131) i s related to themes C, D, and Di through a common i n t e r v a l . Throughout the cadenza there appear d i f f e r e n t permutations and transpositions of a three-note c e l l (from motive s of the f i r s t movement) which outlines a diminished fourth, an inte r v a l expressed as A-D* in theme C and Di and as A-C# (enharmonic D") in theme D. The proximity, concentration, and r a p i d i t y of the transformations i n the second movement make the thematic relationships a l l the more apparent, strengthening the movement's structure and sense of growth. Themes D and Da relate not only to themes in the second movement; there are three d e f i n i t e connections with theme M of the fourth movement involving patterns of exact pitch classes (see Ex. 20). In the second and t h i r d measures of theme D, there i s the outline of a perfect fourth between F-sharp and C-sharp and a minor t h i r d between C-sharp and B - f l a t which corresponds with the G-flat / D - f l a t / B - f l a t pattern found in the l a s t bar of theme M (indicated by rounded brackets). The second idea traces B^-D-E-F in the f i r s t bar of theme M and the t h i r d to f i f t h bars of theme D (shown by note stems barred together). Theme D 2 presents a pattern of fourths corresponding to the l a s t three bars of theme M (square bracket). The particular connections between themes D and M 53 i l l u s t r a t e the deliberate thematic logic of the symphony. Example 20. Connections Between Themes D , D a , and M. D 11/26-35 1 ,„ ' " 12fe^ 1 1 m 0 ft* • 0 m 0 *T \) Mr — i _ i 1 1 f ' \ -"w 0 \ M 11/56-61 IV/77-82 5 6 0 ^ 7— — \ - 1 —< i * •+-: • j : m— —if—>' —- L: 9 > The following survey (including examples) of the relationships between thematic and motivic material in the symphony, reveals that the generation of new material i s accomplished through s i x methods. 1. TJie. U t i l i z a t i o n fif. General Features fir. Gestures fif, the. Primary Source: A. The most extensive u t i l i z a t i o n of a basic gesture i s the elemental descent of an octave common to themes A, E, E i , G, and to r and the ostinato to theme B. Notwithstanding the inevitable departures from t h i s basic shape, each of the above 54 t h e m e s c o n c l u d e s a n o c t a v e b e l o w i t s i n i t i a l p i t c h . T h e o c t a v e d e s c e n t m a y b e t r a c e d b a c k t o t h a t f o u n d i n t h e s e c o n d m e a s u r e o f m o t i v e x a t t h e b e g i n n i n g o f t h e f i r s t m o v e m e n t . B . W h i l e n o t d i r e c t l y d e r i v e d f r o m m o t i v e y , t h e m e s D , D a , H a n d M i n c o r p o r a t e p r o m i n e n t l y t h e i n t e r v a l o f a p e r f e c t f o u r t h . I n t h e m e D , t h e p e r f e c t f o u r t h i s a l t e r n a t e d w i t h a p e r f e c t f o u r t h a s e m i t o n e l o w e r ; t h e t r i o t h e m e H i n c l u d e s a s e r i e s o f r i s i n g p e r f e c t f o u r t h s f o l l o w e d b y a d e s c e n d i n g s e r i e s ; a n d i n t h e m e s D a a n d M t h e p e r f e c t f o u r t h i s i n c o r p o r a t e d i n a d e s c e n d i n g s e q u e n c e . E a c h o f t h e s e t h e m e s , w h i l e u n i q u e , i s n e v e r t h e l e s s r e l a t e d t h r o u g h a c o m m o n i n t e r v a l . 2. T o t a l a n d / o r P a r t i a l S y n t h e s i s oJL luo. ox More Source M a t e r i a l s : D i a g r a m 3 a b o v e i l l u s t r a t e s b e s t t h e m a n n e r i n w h i c h R a l p h V a u g h a n W i l l i a m s c o m b i n e s t w o i d e n t i t i e s w h i c h a r e m a d e t o y i e l d a n e w , t h i r d o n e . A s s h o w n e a r l i e r , a s e r i e s o f t h e m e s a n d m o t i v e s i s p r o d u c e d f r o m t h e s u c c e s s i v e c o m b i n a t i o n s o f s u b j e c t s : t h e m e A + m o t i v e s = t h e o s t i n a t o t o B ; o s t i n a t o B + m o t i v e s = r ; r + w = t h e m e E ; t h e m e E + m o t i v e s = t h e m e E i . 55 3. A Secondary Product of. the Peyelopment a£ previous M a t e r i a l ; A prime example of the production of secondary material from the development of previous material i s found in the opening bars of the f i r s t movement. Motive z i s generated by the sequential treatment of motive x, combining two sets of descending minor seconds a minor second apart (see Ex. 21). Although derived from motive x, the individual i d e n t i t y of motive z i s s o l i d i f i e d through i t s r e p e t i t i o n in successive diminution in mm.8-12. Ex. 21. The Generation of Motive z. z. i ~ 1 * C > D* S i m i l a r l y , motive s i s a secondary product of the development of motive z (see Ex. 22). A minor t h i r d rather than a minor second i s introduced in m.28 and motive s i s established f u l l y in m.46 with the introduction of another minor t h i r d . Just as motive z i s a secondary product and a concrete and highly recognizable form of motive x, so motive s is a s o l i d i f i e d manifestation of motive z. 56 Ex. 22. The Generation of Motive s. 4. The Expansion of a_ Melodic P a t t e r n (Frequently MQtlVic) i n t o a F u l l Theme or Extended Melody; Three s p e c i f i c examples t h a t demonstrate the method of g e n e r a t i n g themes through the expansion of e x i s t i n g m a t e r i a l ar e : i ) the s p i n n i n g of theme G i n the second movement around motive w, which i s i n i t i a l l y presented as a c a d e n t i a l f i g u r e i n mm.5-6; i i ) the p r o d u c t i o n of a f u l l f i f t e e n - m e a s u r e melody, theme B i n the f i r s t movement (mm.85-99), from the modal i n f l e c t i o n of motive s; and i i i ) the u n f o l d i n g of a twenty-four measure theme> K (IV, mm.24-45), by extending the three-note motive x through r e p e t i t i o n and sequence. 5. The. Transformation pj. a Theme ar. mtiVG, the. Proflu,ct, oL which is_ Independent, yejfc. Retains the. BfffffrfttlaJl t d s n t Uy fii. the Q^jginal: A. As witnessed above, by adding three notes, d e l e t i n g one, and changing the rhythmic p a t t e r n of theme E (the phrase f o r s o l o f l u t e , I I , mm.61-63), the opening theme E i of the f o u r t h movement i s c r e a t e d . I t r e t a i n s the i n t e r v a l l i c i d e n t i t y of 57 theme E, yet has an e n t i r e l y d i f f e r e n t character. This i s but one example from the family of transformed themes discussed above. B. Motive y i s transformed at the beginning of the second movement (mm.1-6) by the addition of a passing note (C) and by the incorporation of the i n i t i a l dissonance of the f i r s t movement (D-flat against C harmony), a l t e r i n g the function and character of the motive. C. A very clear transformation occurs in the second movement when motive w, the cadential figure in m.6, immediately becomes an ostinato pattern, Wi in m.7ff, retaining (except for only s l i g h t incongruities) the i n t e r v a l l i c pattern of motive w. 6. Combinations of 1 - 5: Theme D, while incorporating the basic gesture of a perfect fourth from motive y (see 1. above), begins with an eighth-note pattern similar to theme C and can therefore be recognized as a limited synthesis incorporating general features of both precursors. S i m i l a r l y , the chromatic t r a n s i t i o n a l material between motives z and y in mm.10-14 of the f i r s t movement i s a synthesis of the fundamental gestures of the surrounding motives: i t incorporates an appoggiatura l i k e x, i s syncopated and chromatic l i k e z and ascends l i k e y. 5 8 A L T E R N A T I N G M A J O R AND M I N O R I N F L E C T I O N S T h e e l e m e n t o f a l t e r n a t i n g m a j o r a n d m i n o r i n f l e c t i o n s i s t h e m o s t s t r u c t u r a l l y p e r v a s i v e m o t i v e t h r o u g h o u t t h e c o u r s e o f t h e s y m p h o n y a n d i s s i g n i f i c a n t n o t o n l y t o t h e s e n s e o f u n i t y , b u t a l s o t o t h e p r e v a l e n t f e a t u r e o f m o d a l a m b i g u i t y a n d t o t h e o v e r a l l k e y s t r u c t u r e o f t h e w o r k . W h i l e i t c a n b e a r g u e d t h a t m a j o r / m i n o r i n f l e c t i o n s a r e n o t u n c o m m o n i n V a u g h a n W i l l i a m s ' s s t y l e ( t h r o u g h t h e a b s o r p t i o n o f E l i z a b e t h a n t e c h n i q u e s o f c r o s s r e l a t i o n ) , t h i s f e a t u r e i s s o s u f f i c i e n t l y p e r v a s i v e i n t h e w o r k t h a t i t c a n b e c o n s i d e r e d m o t i v i c . A c h a r a c t e r i s t i c d e v i c e , i t h e l p s t o s o l i d i f y t h e s t r u c t u r e a n d l o g i c o f t h e s y m p h o n y i n t h a t i t p e r m e a t e s t h r e e d i s c r e t e s t r u c t u r a l l e v e l s t h a t c o m e t o r e p r e s e n t t h e t h r e e c a t e g o r i e s i n t o w h i c h t h e e n s u i n g d i s c u s s i o n w i l l b e d i v i d e d . T h e f i r s t p a r t w i l l c o m p r i s e a n e x a m i n a t i o n o f p u r e l y m e l o d i c i n f l e c t i o n s ( [> / [j ; |j /# ) w h i c h n e i t h e r u l t i m a t e l y n o r s i g n i f i c a n t l y a l t e r t h e k e y ; t h e s e c o n d i n v o l v e s a c o n f l i c t b e t w e e n m a j o r a n d m i n o r i n f l e c t i o n s w i t h i n o n e k e y , e s p e c i a l l y t h o s e c o n f l i c t s t h a t r e s u l t f r o m a j u x t a p o s i t i o n o f m a j o r a n d m i n o r v e r t i c a l s o n o r i t i e s ( e . g . , f a l s e r e l a t i o n s ) a n d c a u s e a v e r y d e l i b e r a t e a m b i g u i t y b e t w e e n m a j o r a n d m i n o r m o d e ; t h e t h i r d c o n s i d e r a t i o n d e a l s w i t h a b r o a d , s t r u c t u r a l l y s i g n i f i c a n t c o n f l i c t i n v o l v i n g t w o k e y s , D a n d D - f l a t . M e l o d i c i n f l e c t i o n i s a n i m p o r t a n t c o m p o n e n t i n m u c h o f t h e t h e m a t i c a n d m o t i v i c m a t e r i a l f o u n d i n t h e s y m p h o n y a n d , s i n c e 59 i t i s an e a s i l y i d e n t i f i e d c h a r a c t e r i s t i c , i t i n t e g r a t e s the movements and c o n t r i b u t e s t o a sense of u n i t y throughout the work. The f i r s t movement i n t r o d u c e s the i n f l e c t i o n i n motive s (C-A-A t o-F) i n m.46 which, as d i s c u s s e d above, i s a secondary product of motive z. The other appearances of the p u r e l y melodic i n f l e c t i o n i n movement I are found i n the F#-F of theme B (m.85ff) and of i t s o s t i n a t o (m.216ff). S i m i l a r l y i n the second movement, the melodic i n f l e c t i o n i s i n c o r p o r a t e d i n theme D as the semitonal f l u c t u a t i o n of p e r f e c t f o u r t h s (mm. 28-29) and i n theme E through the appearance of both E-n a t u r a l and E - f l a t (mm.61-63). The t h i r d movement does not present t h i s k i n d of i n f l e c t i o n i n a p u r e l y melodic form; but the f o u r t h movement a c t s as a c u l m i n a t i o n of the presence of melodic semitonal f l u c t u a t i o n through e x t e n s i v e development and d i m i n u t i o n of the opening theme, which i n c o r p o r a t e s the melodic i n f l e c t i o n between A and A - f l a t (mm. 55-67, mm.115-134, m.273ff, and m.441ff). The f i r s t extended a l t e r n a t i o n of v e r t i c a l s o n o r i t i e s which are s e m i t o n a l l y i n f l e c t e d appears i n mm.101-106 of the f i r s t movement where the chords of E - f l a t major and E - f l a t minor are juxtaposed. From m. 234 to the end of the f i r s t movement there i s ambiguity between D - f l a t major and minor produced by the an t i p h o n a l a l t e r n a t i o n of woodwinds, p l a y i n g D - f l a t minor chords, and s t r i n g s , p l a y i n g D - f l a t major chords. Furthermore, the e f f e c t of modal ambiguity i s in c r e a s e d by the use of c r o s s r e l a t i o n s between the v o i c e s of each a n t i p h o n a l c h o i r . S i m i l a r l y , before the epil o g u e of the f o u r t h movement (mm.302-60 9), h a l f the o r c h e s t r a p l a y s p a r a l l e l A major and F major chords f o l l o w e d by the other h a l f p l a y i n g p a r a l l e l A - f l a t major and F major chords, thereby producing an o v e r a l l ambiguity between F major and F minor, which i s not r e s o l v e d before the e p i l o g u e . Modal ambiguity i s prominent i n the t h i r d movement, e s p e c i a l l y between B major and minor (see I I I , m.40ff, m.l33ff, and mm.280-284). The s i m i l a r i t y between passages of modal i n f l e c t i o n makes t h i s d e v i c e r e c o g n i z a b l e as a f a c t o r of u n i f i c a t i o n i n the symphony. There i s evidence of a c o n f l i c t between D and D - f l a t a t the l e v e l of primary key s t r u c t u r e of movements (see Diagram 5 ): movement I ends i n D - f l a t major; D minor i s the main t o n a l c e n t r e f o r the t h i r d movement; while F minor i s the prime t o n a l i t y of the second and f o u r t h movements. The c o n f l i c t between D and D - f l a t i s s u c c e s s f u l l y e s t a b l i s h e d w i t h i n the f i r s t movement by the r e l a t i o n s h i p between the t o n a l i t y of D a t the end of the e x p o s i t i o n (mm.84-122), with a six-measure i n t e r p o l a t i o n i n E - f l a t , and the r e c a p i t u l a t i o n of the same m a t e r i a l transposed down a semitone t o D - f l a t / D / D - f l a t . The t e n s i o n between the keys of the corresponding m a t e r i a l i n the e x p o s i t i o n and coda of the f i r s t movement i s not r e s o l v e d u n t i l i t s i n t e r p o l a t i o n i n the development of the f o u r t h movement (mm.177-188) where i t appears once agai n i n D. T h i s r e s o l u t i o n i s r e i n f o r c e d by the lack of D - f l a t f o r the balance Diagram 5. The S t r u c t u r a l Significance of the D-flat / D C o n f l i c t : f - D b f d I [d] , 1 . D-E*-D 84-122 D b  I D^-D-Db C C 213-40 II f III d d I F I d IV f f Bto| I f D F | f D C 177-88 309f f = a t o n a l l y ambiguous passage, due to chromaticism, which concludes on D/C. 62 of the symphony and by the role of D major as the main key of the second part of the fugal epilogue. The key scheme of the coda of movement I (Dto - D - D t o) represents a reversal and microcosm of the key scheme of the three statements of t h i s material over the entire symphony (D - D t o -D). The c o n f l i c t between D-flat and D i s the most profoundly s t r u c t u r a l manifestation of an a l t e r n a t e l y i n f l e c t e d scale degree in the symphony. P-F1,AT / C PISSQNANCE Although D may have the " l a s t word" as the submediant key, the importance of D-flat i s evident from i t s i n i t i a l and subsequent presentations as an e s s e n t i a l dissonance. D-flat contributes s i g n i f i c a n t l y to the progression and dynamic sense of the symphony on s t r u c t u r a l and immediate l e v e l s . The very opening gesture, motive x, becomes s i g n i f i c a n t in unifying the symphony, not simply as a generative motive upon which other motives and themes are founded, but on the basis of the dissonance created by i t s exact p i t c h classes, D-flat / C. The dissonance of D-flat against C functions as a recurring element which unites movements I and II (see Diagram 6). Through the manifestation of t h i s dissonance on three d i f f e r e n t s t r u c t u r a l levels ( i . e . , melodic, harmonic, and tonal), a d i r e c t relationship i s established between movements I and I I : the i n i t i a l statement in the f i r s t three measures of both the f i r s t and second movements incorporates a prominent accented dissonance of D-flat against C expressing dominant 63 harmony. Because of the lack of any s a t i s f a c t o r y resolution of the opening dissonance within either movements I or I I , a dramatic c o n f l i c t i s created which provides both movements with a sense of progression. The opening dissonance of the f i r s t movement, which takes on the motivic i d e n t i t y l a b e l l e d x, i s restated several times at other pitch l e v e l s . However, the most s i g n i f i c a n t manifestation of the D'VC c o n f l i c t within t h i s movement i s in the coda (m.213 f f ) which incorporates the c o n f l i c t on a tonal l e v e l i n two ways: by presenting material in D-flat over an ostinato on C ( i . e . , two simultaneous tonal centres); and by concluding the movement in D-flat major, the i n i t i a l note of dissonance. Consequently, movement I achieves no resolution with respect to the D-flat / C c o n f l i c t . Indeed, the c o n f l i c t becomes s t r u c t u r a l l y more profound because what was i n i t i a l l y a melodic and harmonic dissonance has not only become the ultimate key of the movement/ but also an essential member of the symphony's primary key structure. The sheer diatonicism at the end of the movement, compared with the vagueness of key and harmonic i n s t a b i l i t y of the opening, lends more power to the v i c t o r y of D-flat over C, and, i n the large scheme, deepens the tension of the opening motivic dissonance. Diagram 6. The D-flat; / c C o n f l i c t : 1-3 213 222 228 d C C C I I 1-6 i v D--C (B* C 7f f 39-47 46 C A*B») —* 0*( D»ends ost.Wa -• Dfc-C —* D*-C i F devt. 56-7 P»-C i, 0' C 91 D"-C C I I I IV 177-88 C The f i n a l t o n a l i t y of the f i r s t movement g i v e s way, i n the opening bars of the second movement, to a harmonic m a n i f e s t a t i o n of the D'VC dissonance. T h i s serves t o l i n k the f i r s t two movements both t o n a l l y and h a r m o n i c a l l y . The f a n f a r e on motive y% s e t s up the dissonance and the other f o u n d a t i o n a l motive w attempts t o r e s o l v e i t . In t h i s way, the r o l e of the second movement i s e s t a b l i s h e d as e s s e n t i a l l y an e x t e n s i o n and development of movement I, p a r t i c u l a r l y i n the e x p l o i t a t i o n of the i n i t i a l dissonance as a melodic d e v i c e (see Diagram 6 ). In f a c t , almost every theme and motive of the second movement f e a t u r e s c o n f l i c t between D - f l a t and C ( y i , w, w±, C, Di, and Da). The opening suspension on D - f l a t i n movement II i s prolonged through the p a t t e r n of o s t i n a t o Wi which ends on D-f l a t (F E" Dto E t o C D t o). D - f l a t , surrounded by C on e i t h e r s i d e , i s the prime dissonance and climax of the f i r s t phrase of theme C and theme Di. Theme Da e s s e n t i a l l y o u t l i n e s a descent from D - f l a t t o C. In mm.39-47 D - f l a t t o C i s t r e a t e d as a d i s s o n a n t melodic motive which i s emphasized through development. A c l e a r melodic r e f e r e n c e i s made i n m. 46 to the opening motive of the f i r s t movement (D^-C-F), while mm.56-7 d i s p l a y a s i m i l a r melodic r e f e r e n c e (D^-C-G) over a p r e v a i l i n g C t o n a l i t y . A f i n a l statement of the D - f l a t / C s e m i t o n a l c o n f l i c t , the pronounced D - f l a t suspension i n m. 91, ushers i n the r e c a p i t u l a t i o n . I t i s not u n t i l the f o u r t h movement t h a t the D - f l a t / c dissonance i s a t a l l r e s o l v e d (see Diagram 6 ). The m a t e r i a l from the coda of the f i r s t movement, o r i g i n a l l y s t a t e d i n D-66 f l a t over C with a s i x - b a r episode i n D, i s presented as an i n t e r p o l a t i o n i n the development of the f o u r t h movement (IV, mm.177-188), where i t i s g i v e n e n t i r e l y i n the t o n a l i t y of D over the same four-note o s t i n a t o on C. Because t h i s passage a l s o r e p r e s e n t s a r e s o l u t i o n of the D - f l a t / D c o n f l i c t , the f i n a l statement i n the f o u r t h movement i n D over C s o l i d i f i e s a bond between the D - f l a t / C and D - f l a t / D c o n f l i c t s . The bond between the two c o n f l i c t s r e v e a l s a deeper m o t i v i c s i g n i f i c a n c e . D - f l a t , being p i t t e d a g a i n s t C and D, becomes a p i v o t a l p o i n t between C and D, each a semitone away. In t h i s way a symmetrical s t r u c t u r e i s e s t a b l i s h e d around D - f l a t . In f a c t , t h i s p a r t i c u l a r symmetrical r e l a t i o n s h i p (D t o-C / D-Dto) i s manifested i n the most b a s i c motive of the symphony, motive z (e.g., D^C-D-D*). Vaughan W i l l i a m s has transformed the e s s e n t i a l s t r u c t u r a l dissonance of the symphony i n t o the most h i g h l y r e c o g n i z a b l e m o t i v i c dissonance. Thus, a l l the s t r u c t u r a l l e v e l s of the symphony are l i n k e d from the most immediate to the most profound. AN QVERVIEW OF THE SXMPHPNX In summary, i t has been e s t a b l i s h e d 1) t h a t the e x p o s i t i o n of Movement I presents the themes and motives from which the m a t e r i a l f o r the e n t i r e symphony o r i g i n a t e s (motives x, z, y, s, r and theme A) and, what i s more, t h a t the process of t r a n s f o r m a t i o n begins here; 2) t h a t the second movement proceeds from two f o u n d a t i o n a l motives - y i and w - the former 67 a transformation of motive y, the l a t t e r a cadential figure, a r i s i n g from the t a i l of y i and the establishment of the prime dissonance D'VC (motive x); and 3) that the second movement i n t e n s i f i e s , extends and explores further the ideas and materials presented in the f i r s t movement, e s p e c i a l l y the c o n f l i c t involving the pitches Dto and C. Although the t h i r d movement of the symphony adds to the contrapuntal progression and to the primary key structure, while prominently featuring motive z as an ostinato accompaniment figure, i t does not partic i p a t e in the most important c o n f l i c t s and ideas of the symphony. Its themes are related only generally to motive y through the melodic motion in fourths, but the extended thematic transformations prevalent in the other three movements are not represented. Nor i s the i n i t i a l dissonance of D-flat against C explored here in any way. In fact, the t h i r d movement, a scherzo by nature and t i t l e , represents a digression and diversion in the course of the symphony. Only in the bridge passage, with the gradual restoration of the material of the opening bars of the f i r s t movement, are the main c o n f l i c t s and in t e n s i t y of the symphony resumed and subsequently pursued in the f i n a l movement. Indeed, a strong relationship between the f i r s t and l a s t movements i s b u i l t in many ways: through theme E i ; the reminiscence of a passage from the coda of the f i r s t movement in the development of the fourth; the lengthy passage devoted to motives s and y in the development; the extensive r e i t e r a t i o n of motive s throughout the exposition of the fourth movement; the fugal epilogue 68 b a s e d o n m o t i v e z ; a n d t h e G r a n d C o d a i n t h e l a s t t w e l v e b a r s o f t h e s y m p h o n y . On c l o s e i n s p e c t i o n , e a c h m o v e m e n t r e v e a l s c e r t a i n i n d e p e n d e n t q u a l i t i e s . T h e f i r s t i s e x p o s i t o r y b y n a t u r e : i t c o n c e r n s i t s e l f p r i m a r i l y w i t h t h e r e v e l a t i o n a n d e s t a b l i s h m e n t o f m a t e r i a l f o r t h e s y m p h o n y ; i t e n d s i n a d i f f e r e n t k e y f r o m t h a t i n w h i c h i t b e g a n ; a n d i t c o n s t r u c t s a n i m p r e s s i v e a n d c o m p l e x h i e r a r c h y o f e x p o s i t i o n s w i t h i n i t s o w n f o r m . T h e s e c o n d m o v e m e n t i s i n h e r e n t l y e x p l o r a t o r y : i t b u s i e s i t s e l f w i t h t h e d e v e l o p m e n t a n d e x t e n s i o n o f i d e a s a n d m a t e r i a l p r e s e n t e d i n t h e f i r s t m o v e m e n t a n d l i n k s i t s e l f h a r m o n i c a l l y w i t h t h e u l t i m a t e k e y o f t h e p r e v i o u s m o v e m e n t . D i v e r s i o n s e e m s t o b e t h e m a i n p u r p o s e o f t h e t h i r d m o v e m e n t f o r t h e r e a s o n s g i v e n a b o v e . W i t h i t s r e t u r n t o p r e v i o u s m a t e r i a l a n d c o n c e r n s o f t h e f i r s t t w o m o v e m e n t s , t h e f o u r t h m o v e m e n t r e v e a l s i t s r e c a p i t u l a t o r y n a t u r e , w h i l e t h e e p i l o g u e r e p r e s e n t s a c u l m i n a t i o n o f t h e i n t e n s e d e v e l o p m e n t a l a c t i v i t y o f t h e e n t i r e w o r k . T a k i n g t h e s y m p h o n y a s a w h o l e , a b r o a d p a t t e r n e m e r g e s i n w h i c h t h e f i r s t m o v e m e n t r e p r e s e n t s e x p o s i t i o n , t h e s e c o n d d e v e l o p m e n t , t h e t h i r d d i v e r s i o n o r d i g r e s s i o n , t h e f o u r t h r e t u r n , a n d t h e e p i l o g u e , a c o d a t o t h e e n t i r e w o r k . T h e v e r y c h a r a c t e r a n d e v e n t s o f e a c h m o v e m e n t f u n c t i o n n o t s o m u c h t o f u l f i l l t h e e x p e c t a t i o n s o f a m u l t i - m o v e m e n t w o r k ; r a t h e r , t h e y o p e r a t e t o g e t h e r a n d r e l a t e i n s u c h a w a y t o s u g g e s t t h e d i f f e r e n t f a c e t s a n d c o n c e r n s o f a s i n g l e - m o v e m e n t c o m p o s i t i o n . 6 9 CONCLUSION: In l i g h t of the f o r e g o i n g d i s c u s s i o n , i t i s e v i d e n t t h a t Vaughan W i l l i a m s ' s Symphony No. 4 i n F Minor a c h i e v e s t i g h t musical u n i t y by v i r t u e of v a r i o u s networks of c o n t i n u i t i e s throughout i t s d u r a t i o n and throughout i t s h i e r a r c h y of s t r u c t u r a l l e v e l s . Indeed, the f o u r t h symphony i s developed o r g a n i c a l l y from the i m p l i c a t i o n s of o n l y a s m a l l number of musical ideas and motives and i s a model of the i n t e n s i t y t h a t i s capable of being produced v i a a process of t h i s k i n d . T h i s concludes P a r t I with i t s d e t a i l e d a n a l y s i s of the f o u r t h symphony. In the f o l l o w i n g c h a p t e r s , the h i s t o r i c a l s i g n i f i c a n c e of the symphony, apparent i n f l u e n c e s on the work, and i t s r e l a t i o n s h i p to streams of symphonic thought i n the nin e t e e n t h and tw e n t i e t h c e n t u r i e s w i l l be i n v e s t i g a t e d . 70 CHAPTER I I I : AN INVESTIGATION OF INFLUENCES ON THE FOURTH SYMPHONY With the premiere of the f o u r t h symphony on 10 A p r i l , 1935, the p u b l i c (and Vaughan W i l l i a m s ' s e n t h u s i a s t s i n p a r t i c u l a r ) immediately r e c o g n i z e d a s u r p r i s i n g departure from the s t y l e of the composer's previous three symphonies and from h i s works i n g e n e r a l . From the r e s u l t s of the a n a l y s i s i n chap t e r s I and I I , s e v e r a l i s s u e s have emerged as being s p e c i f i c and d e l i b e r a t e theses of the work. I t i s these c e n t r a l i s s u e s which d i f f e r e n t i a t e the f o u r t h from the f i r s t t h r e e symphonies and from most of Vaughan W i l l i a m s ' s p r e v i o u s works. What caused the dramatic change i n Vaughan W i l l i a m s ' s s t y l e i n the f o u r t h symphony and what evidence p o i n t s t o the change? In the present chapter, these q u e s t i o n s w i l l be addressed i n the l i g h t of 1) c e r t a i n seminal works i n Vaughan W i l l i a m s ' s output, 2) s p e c i f i c works by other composers, and 3) t r a d i t i o n s and i n n o v a t i o n s i n symphonic thought of the n i n t e e n t h and t w e n t i e t h c e n t u r i e s . I t i s the i n t e n t i o n here t o i n v e s t i g a t e and to r e v e a l s p e c i f i c i n f l u e n c e s on Vaughan W i l l i a m s ' s c o n c e p t i o n and r e a l i z a t i o n of the f o u r t h symphony; to d i s c e r n those f e a t u r e s which f o l l o w t r a d i t i o n a l symphonic p r a c t i c e and those which are i n n o v a t i v e ; and to determine the composer's co n c e p t i o n of the e s s e n t i a l f e a t u r e s and c h a r a c t e r i s t i c s of a symphony, a c c o r d i n g t o an i n t e r p r e t a t i o n of the evidence i n the f o u r t h symphony and the o b s e r v a t i o n s of other a u t h o r s . 71 The i n f l u e n c e o f Beethoven and. £Jie_ N^ne^e^nth-Csntugy Symphony; I t i s e v i d e n t t h a t the nine symphonies by Beethoven presented a c h a l l e n g e to the symphonic developments not o n l y of the n i n e t e e n t h century, but to the d e s i g n and e s s e n t i a l c o n c e p t i o n of the "symphony" i n the t w e n t i e t h c e n t u r y . In s p i t e of the many s i g n i f i c a n t musical and symphonic developments of the n i n e t e e n t h c e n t u r y and the numerous s t y l e s of musical e x p r e s s i o n i n the t w e n t i e t h , symphonists of the f i r s t h a l f of the t w e n t i e t h c e n t u r y were c o n s i d e r i n g ideas of p r o g r e s s i o n , dualism, sonata c o n f l i c t and form i n the non-programmatic symphony s i m i l a r t o those faced by Beethoven i n h i s day. In h i s symphonies Vaughan W i l l i a m s p a i d t r i b u t e to the t r a d i t i o n perpetuated by Beethoven and h i s s u c c e s s o r s . T h i s o b s e r v a t i o n i s of p a r t i c u l a r i n t e r e s t i n the l i g h t of Vaughan W i l l i a m s ' s recorded o p i n i o n of Beethoven. In "A M u s i c a l Autobiography" w r i t t e n by the composer l a t e i n l i f e , he w r i t e s t h a t when he was a young student he hated Beethoven. "To t h i s day the Beethoven idiom r e p e l s me, but I hope I have at l a s t l e a r n t t o see the greatness t h a t l i e s behind the idiom t h a t I d i s l i k e . . ."* In a d d i t i o n , Vaughan Wi l l i a m s was known to express d i s d a i n f o r the V i c t o r i a n "Beethovenites". Regardless of Vaughan W i l l i a m s ' s d i s l i k e f o r Beethoven's s t y l e , the f o u r t h symphony, more than any other i n Vaughan W i l l i a m s ' s symphonic output, r e v e a l s g e n e r a l a s s o c i a t i o n s with 1. Ralph Vaughan W i l l i a m s , "A M u s i c a l Autobiography" i n h i s N a t i o n a l Music | M Other Essays (London: Oxford U n i v e r s i t y P r e s s , 1963), p. 181. 72 the Beethovenian and l a t e n i n e t e e n t h - c e n t u r y symphonic p a t t e r n , and s p e c i f i c t i e s with Beethoven's f i f t h and n i n t h symphonies. While the r e l a t i o n s h i p t o Beethoven i s a r g u a b l e , t h e r e are obvious p a r a l l e l s between the f o u r t h symphony and n i n e t e e n t h -century p r o t o t y p e s . The f o u r t h i s a lengthy, l a r g e - s c a l e work of l a t e n i n e t e e n t h - c e n t u r y p r o p o r t i o n s , scope, s i z e and o r c h e s t r a l f o r c e s , i n the t r a d i t i o n a l four-movement scheme: 1) a l l e g r o , 2) a slow movement, fo l l o w e d by 3) a scherzo (and t r i o ) , and 4) a f i n a l e i n a quick tempo. S i m i l a r l y , f o l l o w i n g l a t e n i n e t e e n t h - c e n t u r y p r a c t i c e , the outer movements c a r r y the w e i g h t i e s t matters. Moreover, the l a s t movement i s f u r t h e r enlarged by the i n c o r p o r a t i o n of a f u g a l e p i l o g u e , a f e a t u r e of symphonic w r i t i n g most e x t e n s i v e l y employed and developed by Vaughan W i l l i a m s . Within the movements, Vaughan Wi l l i a m s observes the t r a d i t i o n a l formal sonata designs with some f l e x i b i l i t y . Vauahan W i l l i a m s ' s Symphony No. 4 and Beethoven's F i f t h : S e v e r a l authors have drawn g e n e r a l and s p e c i f i c c onnections between the f i f t h symphony of Beethoven and Vaughan W i l l i a m s ' s f o u r t h . 3 The g e n e r a l shape of the work at the broad l e v e l of movement scheme, i n c l u d i n g the b r i d g e passage which l i n k s the l a s t two movements, c l o s e l y resembles t h a t of Beethoven's 2. Michael Kennedy, Forward to Symphony No. 4., by Ralph Vaughan W i l l i a m s (London: E r n s t Eulenburg, 1935; r e p r i n t ed., 1983), p. 3. 73 f i f t h . Each work i s u n i f i e d (at l e a s t i n p a r t ) by a b r i e f , four-note motive which i s i t s e l f d i v i d e d i n t o two components (See Ex. 23). Furthermore, the t h i r d movement of Beethoven's Symphony No. 5 and the scherzo of Vaughan W i l l i a m s ' s symphony are n o t i c e a b l y s i m i l a r i n c h a r a c t e r . The upward a r p e g g i a t e d sweep which opens both s c h e r z o s , i n c o n j u n c t i o n with Michael Kennedy's d e s c r i p t i o n of the Scherzo of Vaughan W i l l i a m s ' s symphony as f e a t u r i n g the "brusque, n o i s y j e s t s " c h a r a c t e r i s t i c of a Beethoven scherzo, c l a r i f i e s the r e l a t i o n s h i p between the movements. 3 Ex. 23. 4-Note Motives: a) Beethoven, No.5: m3 m3 b) Vaughan W i l l i a m s , No.4 m2 — i — — — J 1 —4 — i — / kM, L4J Ex.24. T r i o Themes a) Beethoven, No.5; 140 . 1 ——f— rT+TT * m J 4 * ^ 4 »« * r # 11 ==*= •H L b) Vaughan W i l l i a m s , No.4. ' > y f i 1 f i i j 'IJ, f f i r ^ r i r > r r 4 3. Michael Kennedy, The Works pj. Ralph Vaughan W i l l i a m s , rev. ed. (London: Oxford U n i v e r s i t y P r e s s , 1982), p. 267. 74 More s i g n i f i c a n t and c l e a r e r r e l a t i o n s h i p s can be found by comparing the t r i o of each scherzo and the bridge passages to the f i n a l movements i n each of the symphonies. Both t r i o s are f u g a l with s i m i l a r s u b j e c t s ( c f . ex. 24a. Beethoven No. 5, I I I , m. 140ff with ex. 24b. Vaughan Williams No. 4, I I I , m. 1 4 9 f f ) , each c o n s i s t i n g of two p a r t s and ending i n a s i m i l a r d i s j u n c t q u a r t e r - n o t e p a t t e r n . The inter-movemental br i d g e passages are even more s t r i k i n g l y s i m i l a r . Each begins ppp with a s u s t a i n e d note and an o s t i n a t o rhythmic p a t t e r n played by the t i m p a n i ; p r e v i o u s m a t e r i a l i s g r a d u a l l y added, reformed and reduced over the o s t i n a t o sempre ppp. Only s e v e r a l bars before the f i n a l movement, there appears a crescendo with r a p i d l y a r t i c u l a t e d m a t e r i a l . T h i s g r a n d l y ushers i n the f i n a l e i n each case, the two f i n a l e s i n c i d e n t l y , being s i m i l a r i n rhythm and c h a r a c t e r . Indeed, the s i m i l a r i t i e s are so s t r i k i n g t h a t there i s a s t r o n g p o s s i b i l i t y t h a t Beethoven's Symphony No. 5 was a model, i n g e n e r a l design and i n c e r t a i n d e t a i l s , f o r the f o u r t h symphony. Dissonance i n Vauahan W i l l i a m s ' s Fourth and Beethoven's N i n t h : The composer i s r e p o r t e d to have s a i d t h a t he d e l i b e r a t e l y " c r i b b e d " the opening from the f i n a l e of Beethoven's Ch o r a l Symphony. L i k e many other comments made by Vaughan W i l l i a m s , t h i s one must be understood i n the l i g h t of h i s humour; however, there i s some t r u t h i n i t , and h i s comment p o i n t s the way to c e r t a i n f a c t o r s which played a r o l e i n shaping the f o u r t h symphony. Indeed, not l e a s t among the s u r p r i s e s a t the 75 premiere of the f o u r t h symphony was the extreme dissonance of the work, a f e a t u r e which i s perhaps the most immediately n o t i c e a b l e "modern" element. What c o u l d have i n f l u e n c e d Vaughan W i l l i a m s to c r e a t e such a d i s s o n a n t work? From the v e r y opening of the symphony, a semitonal dissonance i s heard i n the d i s c o r d of D - f l a t a g a i n s t C and p e r s i s t s , i n v a r i o u s g u i s e s , as one of the main theses of the symphony. The opening of No. 4 i s not taken d i r e c t l y from the f o u r t h movement of Beethoven's n i n t h symphony, but t h e r e are some p o i n t s of c o n t a c t . The f i r s t chord of the movement by Beethoven (A F D B - f l a t ) f e a t u r e s a d i s c o r d between B - f l a t and A, which r e s o l v e s d i r e c t l y t o A. S i m i l a r l y , Vaughan W i l l i a m s ' s symphony begins with an appoggiatura on D - f l a t over C, r e s o l v i n g m e l o d i c a l l y t o C, o n l y to be p i t t e d once more a g a i n s t D - f l a t i n the second measure. In g e n e r a l , the two movements proceed i n a s i m i l a r f a s h i o n with a p r o l o n g a t i o n of the i n i t i a l d i ssonance. E s s e n t i a l l y , both Vaughan W i l l i a m s ' s f o u r t h symphony and the f i n a l movement of Beethoven's n i n t h grow out of an opening dissonance prolonged through the e v a s i o n of r e s o l u t i o n . The s i m i l a r i t y i s p a r t i c u l a r l y i n t e r e s t i n g i n the l i g h t of Vaughan W i l l i a m s ' s comment about " c r i b b i n g " the opening. However, the comparison serves to i l l u s t r a t e the f u n c t i o n a l d i f f e r e n c e s between the two works and p e c u l i a r q u a l i t i e s of Vaughan W i l l i a m s ' s f o u r t h symphony. From the opening of the f o u r t h , i t i s e v i d e n t t h a t the composer was most immediately concerned with the germination and subsequent t r a n s f o r m a t i o n of a 76 motive: t h a t i s , the melodic growth i s most important i n Vaughan W i l l i a m s ' s scheme and occurs a t a v e r y quick pace. In the r e f e r e n c e d passage of Beethoven's n i n t h symphony, i t i s evident t h a t , a f t e r the i n i t i a l dissonance, the harmonic scheme dominates the events and the pace. A l s o s i g n i f i c a n t i s the p o s i t i o n of the compared passages i n each work: the dissonance occurs a t the o u t s e t and i s c a r r i e d t h e m a t i c a l l y throughout Vaughan W i l l i a m s ' s symphony; however, the d i s c o r d i s found i n the i n s t r u m e n t a l I n t r o d u c t i o n of the c h o r a l f o u r t h movement of Beethoven's work and does not demonstrate the same degree of m o t i v i c s i g n i f i c a n c e . At a l l events, Vaughan W i l l i a m s ' s comment r e g a r d i n g the genesis of the opening of the symphony r e v e a l s some s i g n i f i c a n t f e a t u r e s of the work, s i m u l t a n e o u s l y p o i n t i n g to the m o t i v i c dissonance of the symphony and to i t s t r a d i t i o n a l r o o t s . Beethoven's n i n t h cannot have been the o n l y i n f l u e n c e on the harmonic s t y l e of the symphony. Although the g e n e r a l a t t i t u d e of the E n g l i s h audience toward c o n t i n e n t a l developments was one of r e s i s t a n c e i n the e a r l y p a r t of t h i s century, Vaughan Wi l l i a m s c o u l d not have been i s o l a t e d from i n n o v a t i o n s , as h i s s t u d i e s with Max Bruch and Maurice Ravel i n d i c a t e . Vaughan Wi l l i a m s openly expressed h i s tremendous d i s l i k e of the second Viennese s c h o o l and of the attempts of young E n g l i s h composers to w r i t e music with the aim t o impress the audience. However, he was not c l o s e d to l e g i t i m a t e and s t i m u l a t i n g musical developments, as the f o u r t h symphony r e v e a l s . 77 A common understanding of the harmonic and tonal changes of the twentieth century i s that of the "emancipation of the dissonance". Indeed, the treatment and understanding of dissonance was a highly debated issue in the e a r l y decades of the twentieth century. No doubt, the fourth symphony i s , to a degree, an essay on Vaughan Williams's thoughts on the matter of dissonance, the ways in which i t can be created and powerfully exploited based on a t r a d i t i o n a l perception of consonance and dissonance. The Fourth as a Reaction to C r i t i c i s m of the "Pastoral": In 1934, the year prior to the f i r s t performance of Vaughan Williams's fourth symphony, Constant Lambert's book, Music Ho! A. Study of Music in Decline was published containing a rather negative but commonly held judgment of Vaughan Williams's "Pastoral Symphony" (see pp. 134-7). Lambert recognized the l o g i c a l evolution of the form of the symphony from the material and the implications of the melody as the work's strongest feature, but also as i t s strongest r e s t r i c t i o n of appeal. He f e l t that the c l a s s i c a l symphonic form was limited by the l o c a l colour and p r o v i n c i a l i t y of the material. According to Lambert, Vaughan Williams r a r e l y subjected his material to the kind of rigorous developmental treatment c h a r a c t e r i s t i c of Brahms, and his t h i r d symphony lacked the contrast and sense of progression essential to symphonic writing. He wrote, "the Pastoral Symphony not only raises the problem of how far i t i s wise for an a r t i s t to detach himself 78 from cosmopolitan t r a d i t i o n i n order to reach i n d i v i d u a l and n a t i o n a l e x p r e s s i o n : i t a l s o r e p r e s e n t s i n acute f a s h i o n the c l a s h between l o c a l c o l o u r and c l a s s i c a l c o n s t r u c t i o n which i s the main drawback to n a t i o n a l i s m i n music. 1 1"* W i l f r i d M e l l e r s a l s o commented on the i n c o n g r u i t y i n the " P a s t o r a l " between Vaughan W i l l i a m s ' s m o d a l i t y and symphonic "drama": ". Vaughan W i l l i a m s seemed to be r e l i n q u i s h i n g the attempt to r e c o n c i l e i n c o m p a t i b l e s ; f o r even though one may r e c o g n i z e groups of themes which can be equated with the c o n v e n t i o n a l f i r s t and second s u b j e c t s , there i s no h i n t of sonata c o n f l i c t . " 0 However, M e l l e r s does reco g n i z e the work's "symphonic scope". The c r i t i c i s m s of No. 3 by Lambert and M e l l e r s were not i s o l a t e d judgments of the symphony but a common sentiment r e g a r d i n g much of Vaughan W i l l i a m s ' s output t o t h a t p o i n t . The comments are p a r t i c u l a r l y s i g n i f i c a n t i n the l i g h t of the subsequent f o u r t h symphony, which seems to be a r e a c t i o n a g a i n s t most judgments of the " P a s t o r a l " . F i r s t l y , the f o u r t h has been d e s c r i b e d as a more "cosmopolitan" symphony. & T h i s c h a r a c t e r i s t i c i s e v i d e n t i n the choice of m a t e r i a l , most of i t f a r removed from f o l k s o n g , a f e a t u r e which seemed u n c h a r a c t e r i s t i c of Vaughan W i l l i a m s a t the time. Secondly, 4. Costant Lambert, Music Hoi (London: Faber and Faber, 1934), pp. 136-7. 5. W i l f r i d M e l l e r s , Romanticism and. %M. Twentieth Century (London: R o c k l i f f , 1957), p. 176. 6. Frank Howes, The E n g l i s h M u s i c a l Renaissance (London: Seeker and Warburg, 1966), p. 328. 79 c o n t r a s t i s v e r y c l e a r l y embodied i n the symphony by motives z and y, which r e p r e s e n t v e r y e v i d e n t c o u n t e r p a r t s throughout the symphony. A sense of p r o g r e s s i o n , so e s s e n t i a l to symphonic form, i s achieved through the s y s t e m a t i c t r a n s f o r m a t i o n of themes and through the ongoing and r i g o r o u s development of m a t e r i a l which culminates i n the f u g a l e p i l o g u e . Although unconventional i n r e s p e c t to "sonata c o n f l i c t " , the f o u r t h does f u l f i l l t h i s a p p a r e n t l y symphonic c r i t e r i o n through the i n i t i a l p r o clamation and subsequent e x p l o r a t i o n , on v a r i o u s s t r u c t u r a l l e v e l s , of the semitonal c o n f l i c t throughout the symphony. I t i s e v i d e n t t h a t the f o u r t h i s an essay i n a v e r y d i f f e r e n t k i n d of symphonic thought from the " P a s t o r a l " , f o r the c e n t r a l i s s u e s of No. 4 ( c l a s s i c a l form, thematic t r a n s f o r m a t i o n and p r o g r e s s i o n , the t e r s e , n o n - l y r i c a l c h a r a c t e r of the main motives, the dissonance, and the e x p r e s s i o n of an e s s e n t i a l c o n f l i c t throughout the d i f f e r e n t s t r u c t u r a l l e v e l s ) seem to be the v e r y t h i n g s t h a t h i s c r i t i c s f e l t were m i s s i n g i n the " P a s t o r a l Symphony". The v a s t and e s s e n t i a l d i f f e r e n c e s between the two symphonies i s l i k e l y due, i n p a r t , to the c r i t i c i s m r e c e i v e d by the " P a s t o r a l " . However, Vaughan W i l l i a m s ' s c o m p o s i t i o n a l a c t i v i t i e s between the t h i r d and f o u r t h symphonies played a v e r y s i g n i f i c a n t r o l e i n determining the form and content of the f o u r t h . 80 The I n f l u e n c e of Vauahan W i l l i a m s ' s I n t e r i m Works: E v i d e n t l y , Vaughan W i l l i a m s took the o p p o r t u n i t y to develop h i s harmonic and melodic vocabulary, i n a d d i t i o n t o symphonic s t r u c t u r e , between the composition of the t h i r d and f o u r t h symphonies. Nine years elapsed between the premiere of the P a s t o r a l Symphony i n January of 1922 and the f i r s t sketches of No. 4 i n 1931, a time i n which Vaughan W i l l i a m s produced some of h i s most important works and some which shaped h i s subsequent musical s t y l e : Sancta c l v l t a s (1923-5); a v i o l i n c o n c e r t o (1924-5) and a piano c o n c e r t o (1926-31); F i g s campl (1925); J_pJk (1927-30); and three operas - Hugh th&. Drover (1924), Sir. John in. Love (1924-8) and R i d e r s t o tilfi. S_ga_ (1925-32). N a t u r a l l y , the c o m p o s i t i o n a l developments of t h i s p e r i o d had an a f f e c t on the composition of h i s f o u r t h symphony. Few authors have f a i l e d t o observe the s i g n i f i c a n c e of Job (a masque f o r dancing f i r s t performed on 5 J u l y , 1931 i n London) as a t u r n i n g p o i n t i n the composer's harmonic p r a c t i c e , f o r present i n t h i s work are Vaughan W i l l i a m s ' s f a m i l i a r consonance ( i n the music f o r Job and h i s f a m i l y ) and an unprecedented a n g u l a r i t y , dissonance and cacophony i n the music d e p i c t i n g Satan. Indeed, a c o n s i d e r a t i o n of Job i s r e v e a l i n g i n a d i s c u s s i o n of the f o u r t h symphony, p a r t i c u l a r l y with regard to m o t i v i c content and dissonance. 81 Ex. 25. Comparison between Motives i n Job and Symphony No.4 a) ... Motive z m 2 H 7 ' ffT2 ' | m2 w2 b) «V - 1 -n-—U Motive y In Job two motives are c l e a r l y a s s o c i a t e d with the c h a r a c t e r of Satan: 1) a t e r s e , s h a r p l y a r t i c u l a t e d , four-note f i g u r e presented by woodwinds, c e l l i and bass (see Ex. 25a) a t the f i r s t appearance of Satan (Dopplo pit) lento before r e h e a r s a l l e t t e r E i n the s c o r e ) ; and 2) a r i s i n g sequence of f o u r t h s (Ex. 25b) played by lower brass and bassoon as Satan approaches the throne of God (four bars a f t e r r e h e a r s a l l e t t e r H) One w r i t e r has drawn a t t e n t i o n to the s i m i l a r i t y between Ex. 25b and motive y of the f o u r t h symphony, c o n s i d e r i n g the p r o g r e s s i o n of f o u r t h s (both p e r f e c t and diminished) as Vaughan W i l l i a m s ' s symbolism f o r e v i l . 0 Whether or not t h i s connection can be made on the b a s i s of one work i s unimportant; however, the s i m i l a r i t y between the two motives i s s i g n i f i c a n t . E q u a l l y s t r i k i n g i s the resemblance between 7. Please r e f e r to the m i n i a t u r e s c o r e : Ralph Vaughan W i l l i a m s , Job (London: Oxford U n i v e r s i t y P r e s s , 1934). 8. Henry Raynor, "The Progress of a M u s i c a l P i l g r i m " Monthly MUStcajl Record 83 no. 949 (Sept. 1953): 181. 82 the i n t e r v a l l i c p r o f i l e and c h a r a c t e r of two other motives -Ex. 25a ( e s p e c i a l l y two bars a f t e r T i n the s c o r e of Job) and motive z of the symphony. The m o t i v i c r e l a t i o n s h i p between the works goes f u r t h e r than p i t c h c ontent. The manner of p r e s e n t a t i o n and the c h a r a c t e r of the motives are s i m i l a r . Both Ex. 25b and motive y are presented (at l e a s t o r i g i n a l l y ) by the lower brass and bassoon. The r e l a t i o n s h i p between Ex. 25a and motive z depends not on i n s t r u m e n t a t i o n but on s i m i l a r i t y of a r t i c u l a t i o n : each i s accented on every note, i s repeated immediately, and s u b j e c t e d to some rhythmic d i m i n u t i o n . None of the four motives i n q u e s t i o n has a s t a b l e harmonic c h a r a c t e r ; r a t h e r , each serves to obscure the harmony by t h e i r i n t e r n a l i n t e r v a l l i c r e l a t i o n s h i p s . Another, more gen e r a l p o i n t of c o n t a c t e x i s t i n g between the two works i s found i n comparing the Scherzo of the symphony with "Satan's Dance of Triumph" i n Scene II of Job. Each i s r a t h e r s a r d o n i c i n humour, and i s c h a r a c t e r i z e d by a quick pace, r a t h e r s h o r t , abrupt and s h a r p l y a r t i c u l a t e d themes, m e t r i c i r r e g u l a r i t y , harmonic dissonance, and extremely t e r s e and i n s i s t e n t o s t i n a t i . Although the music r e p r e s e n t i n g the d e v i l v e r y c l e a r l y r e l a t e s to the f o u r t h symphony on the l e v e l of dissonance and r e p r e s e n t s an important stage i n Vaughan W i l l i a m s ' s harmonic development l e a d i n g up to the symphony, the s u r p r i s e of the f i r s t performance was i n no way d i m i n i s h e d thereby, and few people a t the time drew a c o n n e c t i o n between the two works. T h i s i s understandable due to the d i f f e r e n t circumstances and 83 expectations connected with each work. In Job the dissonance was contained in s p e c i f i c sections of the work and, being associated with a cert a i n character, was accepted in the context of the drama. In the symphony no such dramatic context exists (except for the unsubstantiated programmes provided by some c r i t i c s at the time) and the dissonance i s not confined but, in fact, permeates the entire work. A dramatic work such as Job allows a range of musical expression and experimentation on a small scale; however, the dissonance i s i n t e n s i f i e d in the symphony by virtue of i t s length and scope, i t s concern with purely musical subjects, and by i t s divergence from the pattern of general consonance and of programmatic associations established in the composer's f i r s t three symphonies. Another of Vaughan Williams's inter-war works, the Piano Concerto, i l l u s t r a t e s the differences between No. 4 and the previous symphonies, and represents an important stage in the composer's harmonic and contrapuntal s t y l e . The Concerto, in i t s o r i g i n a l form for one piano, was f i r s t performed February 1, 1933 by Harriet Cohen and the BBC Symphony Orchestra. The audience was struck by the aggressive nature of the concerto, mainly due to the percussive treatment of the piano and the chromaticism. It i s the chromaticism of the f i n a l movement and i t s d r i v i n g fugue ("Fuga Chromatica con Finale a l i a Tedesca") which most forecast the fourth symphony, e s p e c i a l l y the e p l l o g o fugato of the l a t t e r work's f i n a l e . Not only are the fugue subjects of each work chromatic, but each i s developed 84 i n a similar manner through fragmentation and inversion after the main statement of the subject (see Ex. 26). In f a c t , the opening of the concerto's fugue bears a resemblance to motive s of the fourth symphony, e s p e c i a l l y in i t s succession of minor seconds and minor t h i r d s . The piano concerto, p a r t i c u l a r l y i t s chromatic fugue, was c e r t a i n l y experimental ground for the fourth symphony, which was begun soon after the completion of the t h i r d movement of the concerto and premiered just two years aft e r the 1933 performance of the l a t t e r . Ex. 26. Fugue Subjects and Development: a) Concerto for Piano, Movement II I : b) Symphony No. 4: Fugal Epilogue: SIT n . _ . _ . _ ! _ ff 85 Vaughan Wi l l i a m s was l i k e l y i n f l u e n c e d by the c r i t i c i s m r e c e i v e d by the f i r s t three symphonies, the " P a s t o r a l " i n p a r t i c u l a r , and ready f o r a change i n h i s well-known s t y l e , t a k i n g the years a f t e r the premiere of the t h i r d t o determine and develop the changes he would make i n h i s c o m p o s i t i o n a l p r a c t i c e . The f o u r t h symphony u l t i m a t e l y r e p r e s e n t e d a c u l m i n a t i o n of h i s musical a c t i v i t i e s of the 1920s and e a r l y 1930s. However, there remained c e r t a i n a r t i s t i c v a l u e s and c o m p o s i t i o n a l concerns which would always manifest themselves, r e g a r d l e s s of any s t y l i s t i c changes i n Vaughan W i l l i a m s ' s music. For example, although the F minor symphony has n e i t h e r the aspect nor the programmatic i m p l i c a t i o n s of a " n a t i o n a l i s t " symphony, and though i t s themes and motives are , f o r the most p a r t , f a r removed i n c h a r a c t e r and s t y l e from f o l k song, the long-term e f f e c t s of Vaughan W i l l i a m s ' s e a r l y r e s e a r c h i n t o f o l k music are e v i d e n t i n the f o u r t h symphony as w e l l as most of h i s other works. The i n f l u e n c e i s not of a s p e c i f i c s t y l e of m a t e r i a l or idiom but of a deep and a b i d i n g concern with and focus on the thematic and m o t i v i c m a t e r i a l of the symphony and the way i n which i t c o n t r i b u t e s t o the work's s t r u c t u r e , p r o g r e s s i o n and u n i t y . The v e r y s t r u c t u r a l i s s u e s of the f o u r t h are m o t i v i c and thematic, sometimes manifested as, or transformed i n t o , harmonic or t o n a l i s s u e s , but always stemming from a p a r t i c u l a r motive, e s p e c i a l l y motives x and z of the opening. In h i s r e s e a r c h i n t o f o l k m a t e r i a l and i n h i s essays about musical composition, Vaughan W i l l i a m s ' s concern 86 always r e s t e d on the "raw m a t e r i a l " as he c a l l e d i t , the themes and motives t h a t the composer had at h i s d i s p o s a l . N a t u r a l l y , thematic and m o t i v i c m a t e r i a l s are a primary means of c o n s t r u c t i o n i n most works. T r a d i t i o n a l l y (by the C l a s s i c a l symphonic standard) the p r i n c i p a l i n t e r e s t or c o n f l i c t i n the sonata i d e a l (a p r i n c i p l e e x t e n s i v e l y used to form the f o u r t h symphony) has been e s s e n t i a l l y t o n a l ; however, f o r Vaughan W i l l i a m s , the primary i n t e r e s t i s s p e c i f i c a l l y thematic and m o t i v i c . Harmonic and t o n a l schemes p l a y a s u b o r d i n a t e r o l e to the thematic scheme i n the o v e r a l l p l a n of the symphony. The composer's inte n s e concern with thematic i s s u e s and s t r u c t u r e i n the f o u r t h symphony i s an i n d i r e c t r e s u l t of h i s involvement with E n g l i s h f o l k music, an a c t i v i t y which not o n l y c o n t r i b u t e d to the formation of h i s melodic s t y l e i n g e n e r a l but a l s o d i r e c t e d h i s a t t e n t i o n to the m a t e r i a l as the most important component of c o n s t r u c t i o n i n most of h i s symphonies, and most a c u t e l y i n the f o u r t h . Vaughan Wi l l i a m s was not the o n l y n a t i o n a l i s t composer whose i n t e r e s t i n the indigenous music of h i s c o u n t r y c o n t r i b u t e d to the formation of h i s ideas of symphonic w r i t i n g . S i b e l i u s was a n a t i o n a l i s t composer and was i n t e n s e l y i n t e r e s t e d i n the f o l k music of h i s own country. In a d d i t i o n , he was a symphonist and seemed to have shared s i m i l a r concerns i n symphonic c o n s t r u c t i o n with Vaughan W i l l i a m s . Frank Howes sums up the s i g n i f i c a n c e of the network of thematic r e l a t i o n s h i p s of the f o u r t h symphony ve r y w e l l i n h i s book on Vaughan W i l l i a m s ' s works: " . . . these c r o s s r e f e r e n c e s are no 87 mere mechanical c o n t r i v a n c e s f o r u n i t y ; . . . they are r a t h e r an e x p l i c i t a s s e r t i o n of the inner connexion which s u b s i s t s between all the thematic material of the s y m p h o n y . T h i s statement i s remarkably s i m i l a r t o a comment made by S i b e l i u s i n a c o n v e r s a t i o n with Mahler about what i n t e r e s t e d him i n symphonic form : "the profound l o g i c t h a t c r e a t e d an i n n e r connection between all the motives."10 The two statements p o i n t to an i n t e r e s t i n g s i m i l a r l i t y between Vaughan W i l l i a m s ' s and S i b e l i u s ' s symphonic concerns and i d e a l s (at l e a s t as f a r as the evidence i n the f o u r t h symphony i n d i c a t e s ) . I t cannot be proven t h a t S i b e l i u s was a d i r e c t i n f l u e n c e on Vaughan W i l l i a m s ; n e v e r t h e l e s s , i t i s e v i d e n t t h a t the two composers knew and admired each o t h e r : they met a t l e a s t once ( a p p a r e n t l y with mutual admiration) a t a p a r t y i n London i n 1921; Vaughan W i l l i a m s ' s f i f t h symphony was d e d i c a t e d to S i b e l i u s ; and Vaughan Wi l l i a m s gave Karsh, the photographer, a score of h i s s i x t h symphony to g i v e to S i b e l i u s , who responded with a f a v o u r a b l e l e t t e r . As n a t i o n a l i s t s , they shared modal tende n c i e s , an a f f i n i t y f o r t o n a l schemes based on t h i r d s and an a d m i r a t i o n f o r the polyphony of E n g l i s h Tudor composers. 1 1 However, more d i r e c t connections can be drawn, a t l e a s t i n p r i n c i p l e i f not so much i n method, between Vaughan W i l l i a m s ' s 9. Frank Howes, The Music o l Ralph Vaughan W i l l i a m s (London: Oxford U n i v e r s i t y P r e s s , 1954), p. 40. 10. L i o n e l P i k e , Beethoven. S i b e l i u s and. the "Profound L o g i c " : S t u d i e s in. Symphonic A n a l y s i s ( U n i v e r s i t y of London: the Athlone P r e s s , 1978), p. 1. 11. I b i d . , p. 188. 88 f o u r t h and S i b e l i u s ' s modal s i x t h symphony. A c c o r d i n g to P i k e ' s a n a l y s i s of the l a t t e r , the themes of S i b e l i u s ' s symphony evolve g r a d u a l l y from the vague m a t e r i a l of the opening bars of the work where the subsequent c l e a r l y d e f i n e d themes are presented i n a premature, amorphous s t a t e . 1 2 S i m i l a r l y , i t has been demonstrated the way i n which the themes of Vaughan W i l l i a m s ' s symphony u l t i m a t e l y r e l a t e t o the opening bars and how motives z and s are s t a t e d not a t the outset but are formed through the development of motive x of the opening bar. A l s o c h a r a c t e r i s t i c of the f o u r t h i s the l o g i c a l t r a n s f o r m a t i o n of themes one from another. In h i s d i s c u s s i o n of the themes i n S i b e l i u s ' s symphony. Pike s t r e s s e s t h a t the themes grow from the f i r s t few bars of the symphony and t h a t "the growth i s a l o g i c a l one, each motif being a c l e a r development of some f e a t u r e of a previous o n e . " 1 3 I t must be understood t h a t these symphonies c e r t a i n l y are not unique i n t h e i r p r i n c i p l e s of thematic u n i t y and growth. N e v e r t h e l e s s , i t i s i n t e r e s t i n g t h a t two contemporary n a t i o n a l i s t composers of d i f f e r e n t c o u n t r i e s would demonstrate such k i n d r e d concerns with thematic i s s u e s of symphonic c o n s t r u c t i o n . 12. P i k e , Profound L o g i c , p. 18. 13. I b i d . , p. 20. 89 Conclusion: From the evidence of the foregoing discussion of the influence on Vaughan Williams's fourth symphony, i t can be concluded 1) that the symphony was designed in the Beethovenian and later nineteenth-century t r a d i t i o n a l scheme of four movements, with the outer movements carrying the most weight, and that the work may have been loosely modelled on the f i f t h symphony of Beethoven; 2) that the dissonance of the fourth, s u p e r f i c i a l l y reminiscent of the beginning of the f i n a l e of Beethoven's "Choral" symphony, i s an integral element of the symphony to the point of i t s incorporation throughout the work on d i f f e r e n t s t r u c t u r a l l e v e l s ; 3) that the c r i t i c i s m given to the f i r s t three symphonies ( p a r t i c u l a r l y the "Pastoral") probably influenced the marked changes of s t y l e in the fourth; 4) that the symphony marked the culmination of the new s t y l i s t i c and harmonic developments found in Job and other interim works; and 5) that the high degree of coherence and l o g i c in the symphony by virtue of i t s thematic growth, development, and transformations i s congruent with contemporaneous and nineteenth-century ideals in symphonic writing, e s p e c i a l l y those of S i b e l i u s . Chapter IV w i l l continue the discussion with a consideration of the h i s t o r i c a l significance of Vaughan Williams's Symphony No. 4 within his own symphonic output, within English symphonic developments, and the ways in which his symphonic oeuvre has contributed to twentieth-century symphonic thought. 90 CHAPTER IV: AN INVESTIGATION OF THE HISTORICAL SIGNIFICANCE OF VAUGHAN WILLIAMS'S FOURTH SYMPHONY Each work of a r t , while being influenced and formed by various factors and ideals, also assumes an h i s t o r i c a l position among a broader body of works, within which i t s s i g n i f i c a n c e i s determined. The Symphony in F Minor of Ralph Vaughan Williams is no exception, and in f a c t , due to i t s peculiar q u a l i t i e s , i t i s p a r t i c u l a r l y relevant when considering the composer's t o t a l output. Furthermore, the symphony raises a number of questions regarding directions of symphonic development in the twentieth century, in England and elsewhere. Chapter IV w i l l be divided into three parts, each investigating the importance of the fourth symphony within a p a r t i c u l a r context. F i r s t , i t i s the intention to discover the significance of Vaughan Williams's fourth symphony in the context of his complete output, but more s p e c i f i c a l l y among his symphonic works. Secondly, the present chapter incorporates a concise consideration of the English symphony in the twentieth century and in the f i n a l decades of the nineteenth century; for i t i s important to understand the milieu in which Vaughan Williams worked in order to appreciate more f u l l y the h i s t o r i c a l place of his symphonies, s p e c i f i c a l l y the fourth. Also presented i s a b r i e f investigation of symphonic developments of the twentieth century insofar as they relate to and help define the place of Vaughan Williams's symphonies, and 91 his fourth in p a r t i c u l a r , in the symphonic repertoire of t h i s century. The fourth symphony, having been completed in 1934 in the middle of Vaughan Williams's symphonic career, represents a turning point in Vaughan Williams's symphonic output and takes i t s place as the f i r s t of the middle group of symphonies. In addition, i t was the f i r s t non-programmatic symphony, although some associated the work with the r i s e of Fascism i n Europe at the time. The f i r s t three symphonies - "A Sea Symphony", "A London Symphony", and "A Pastoral Symphony" - are grouped together because of th e i r programmatic nature and because of the i r n a t i o n a l i s t i c content, both musical and s p i r i t u a l : they document the three geographical elements of English l i f e (the sea, the c i t y , and the countryside) and their melodic content reveals a folk-music i n s p i r a t i o n . Moreover, the p r e v a i l i n g consonant s t y l e of the f i r s t three symphonies d i f f e r e n t i a t e s them from the subsequent fourth. In the l i g h t of the close r e l a t i o n s h i p between the f i r s t three symphonies, the fourth stands out in sharp contrast. What, in fact, constituted the difference with the F minor symphony? At the time of i t s premiere, i t was evident that the symphony had a new, unfamiliar character: i t was harsh and severe in sound and in i t s methods of construction. Its "new" sound was primarily due to the degree of i t s dissonance, which so permeates the work and which was uncharacteristic of Vaughan Williams's previous symphonies and most of his works to that point. The fourth symphony had a new complexity of thematic 92 structure and harmonic practice, which was to a f f e c t his later output, and an i n t e l l e c t u a l i t y of construction not found in his e a r l i e r symphonies. Hugh Ottaway observes, "the fourth symphony . . . achieves a s t r u c t u r a l power that i s i n t e l l e c t u a l l y and emotionally challenging in a way quite new to Vaughan Williams's music." 1 The "s t r u c t u r a l power" to which Ottaway refers i s a r e s u l t , no doubt, of the i n t e n s i t y and pervasiveness of the counterpoint and to the remarkable network of motivic and thematic transformations (discussed in chapter I I ) . The fourth i s thought by some to be the f i r s t true symphony by Vaughan Williams; that i s , the f i r s t three symphonies are not considered to be e s s e n t i a l l y symphonic. Constant Lambert c r i t i c i z e d the "Pastoral" for the c o n f l i c t between i t s materials and symphonic form (see chapter I I I ) . S i m i l a r l y , Christopher Ballantine considers the "Pastoral" to be rhapsodic and owing i t s climaxes not to sonata c o n f l i c t ; whereas, in his judgment, the "Sea Symphony" belongs more to the t r a d i t i o n of the oratorio than to the symphonic t r a d i t i o n , and that the symphonic forms of the "London Symphony" only serve to arrange the folk themes. 2 Indeed, the fourth symphony i s considered a turning point due to i t s very s t r i c t and d i s c i p l i n e d symphonic thought, 1. The. New Grove Dlcltonarv Q£ Music and Musicians. 1980, s.v. "Vaughan Williams, Ralph," by Hugh Ottaway, p. 574. 2. Christopher Ballantine, Twentieth Century Symphony (London: Dennis Dobson, 1983), p. 14. 93 l a r g e l y i n comparison with the three p r e v i o u s symphonies d i s c u s s e d above. Vaughan W i l l i a m s ' s a t t e n t i o n turned from f o l k music m a t e r i a l s and e x t e r n a l matters of E n g l i s h s o c i e t y and p o e t i c content to p u r e l y m u s i c a l matters of unique i n t e r p r e t a t i o n s of t r a d i t i o n a l symphonic c o n f l i c t and s t r u c t u r e : i n f a c t , m o t i v i c p o s s i b i l i t i e s on d i f f e r e n t s t r u c t u r a l l e v e l s , an e x p l o r a t i o n of dissonance and i t s i m p l i c a t i o n s , and the m a n i p u l a t i o n of thematic m a t e r i a l appear to be the composer's main concern i n No. 4. In the f o u r t h symphony, i n i t s f i r s t and l a s t movements i n p a r t i c u l a r , i s found the most c o m p e l l i n g and c o n v i n c i n g use of sonata p r i n c i p l e s i n Vaughan W i l l i a m s ' s symphonies. Ottaway notes the s t r o n g dynamic s t r u c t u r e which emerges from the c o n t r a s t between motives z and y and the long melodic l i n e of theme A. 3 Furthermore, both c o n t r a s t and an u n d e r l y i n g connection are d i s c o v e r e d between motives z and y, an ingenious i n t e r p r e t a t i o n of the "Anlage" of c l a s s i c a l sonata i d e a l s . In the f i n a l e , Ottaway notes t h a t the sonata p l a n i s p u r p o s e f u l l y m o dified and the movement's c e n t r e of g r a v i t y i s s h i f t e d t o the f u g a l e p i l o g u e through the i n t e r p o l a t i o n i n the development of a passage from the coda of the f i r s t movement (IV, mm. 177-188) . 3 The f o u r t h employs unique methods of u n i f i c a t i o n . I t i s the o n l y symphony i n the composer's output which so c l e a r l y and d e l i b e r a t e l y i s o l a t e s s p e c i f i c m a t e r i a l , here two s h o r t 3. Hugh Ottaway, "Vaughan W i l l i a m s ' s F Minor Symphony" The L i s t e n e r 70 no. 1793 (Aug. 8, 1963): 217. 94 motives, treating them c y c l i c a l l y throughout the movements of the symphony to bind the work together. In addition, the symphony i s unique in the formation of i t s thematic material. None of the other symphonies i s so systematic in i t s thematic transformations and i n t e r r e l a t i o n s h i p s . The economy in the generation of thematic material in the fourth, whereby a l l of the many themes and motives are derived both d i r e c t l y and i n d i r e c t l y from only a few e s s e n t i a l motives, i s unique among Vaughan Williams's symphonic output. In the other symphonies, e s p e c i a l l y the "Pastoral", the thematic relationships are a matter more of kinship between the basic characters of their materials. Indeed, after a l l the c r i t i c i s m of the previous symphonies' not following t r u l y symphonic and sonata p r i n c i p l e s , Vaughan Williams proved that he could write an intensely symphonic work, which f u l f i l l e d t r a d i t i o n a l expectations of the sonata ideal and which treated i n t e l l e c t u a l matters of structure, c o n f l i c t , unity, and progression. Paradoxically, in spite of i t s "new" character, the Symphony No. 4 i s , formally, the most t r a d i t i o n a l of Vaughan Williams's symphonic output. As far as scheme and types of movements, instrumentation, and magnitude of the work are concerned, the fourth i s undoubtedly the most s t r i c t l y t r a d i t i o n a l , as the comparison with Beethoven's f i f t h in chapter III demonstrates (See pp. 72-74). Indeed, some of Vaughan Williams's most "progressive" works are at the same time the most t r a d i t i o n a l in some respects. The very dissonance of the fourth, the feature which gave the work i t s modern, "up-to-date" character, 95 would not be e f f e c t i v e were i t not for i t s treatment based on a t r a d i t i o n a l foundation of harmonic thought and perception. That i s , the work i s not merely f i l l e d with dissonance, but composed of i t , exploiting the t r a d i t i o n a l conception of consonance and dissonance on a l l levels in order to create tension throughout. S i g n i f i c a n t l y , i t i s in Vaughan Williams's non-programmatic works, such as the fourth, that he i s most apt to express himself in the more dissonant and harsh s t y l e . In the May 1935 review of the fourth symphony in the Musical Times r William McNaught noted that the preference by some of Vaughan Williams's "progressive" admirers for the composer's non-programmatic music was evident e a r l i e r in the reaction to the piano concerto (premiered in February, 1933), the f i r s t of the composer's works to acquire a reputation for i t s progressive tendencies. The concerto's percussive nature, chromaticism, and the i n t e n s i t y of i t s contrapuntal technique won the acclaim of the progressive among Vaughan Williams's admirers and the hisses of the more t r a d i t i o n a l . McNaught wrote, "according to [the modernists], the Piano Concerto was a work worthy of [Vaughan Williams's] mind and muscle and a proof that he was getting down to business.""* McNaught further defines the d i v i s i o n between the representative st y l e s of his programmatic and non-programmatic works: "In the Symphony [No. 4 ] , as in the Concerto, Vaughan Williams i s more uncompromising and unrelenting in his modernisms . . . than he has usually been in 96 his programme music.'"* The generally r e s t r i c t e d character of Vaughan Williams's programmatic works undoubtedly relates to the nature of the chosen i n s p i r a t i o n a l material, usually a passage of l i t e r a t u r e or poetry. It follows that those works not bound by an extra-musical theme were free to take on a more diverse range of expression, often of a more complex, harsh nature. There i s d e f i n i t e l y a connection between the absence of a programme and the presence of a more dissonant, aggressive st y l e in Vaughan Williams's music. The Piano Concerto and the fourth symphony are not the only works of Vaughan Williams to exemplify t h i s connection: the s i x t h and ninth symphonies share the more complex, dissonant s t y l e and neither carries a programme. Indeed, their kinship with No. 4 i s evident for several reasons: 1) the fourth, s i x t h , and ninth symphonies share a sophistication of structure, no doubt due to the fact that they are the most contrapuntal of the symphonies, a feature which sets them apart as a group; 2) each i s in a minor key (the fourth being in F minor, the s i x t h and ninth in E minor); 3) the exploitation of dissonance i s greater than in the other symphonies; 4) none of the three symphonies i s programmatic in any way; and 5) they share a similar pervasive melodic i n f l e c t i o n , juxtaposing the major and minor t h i r d over a common root. Thus the fourth symphony belongs to a group of three symphonies with similar character, which share similar 4. William McNaught, "Vaughan Williams's Symphony" The  Musical Times 76 no. 1107 (May 1935): 452. 97 s t r u c t u r a l concerns. The trend i s clear in Vaughan Williams's non-programmatic works, such as the fourth, s i x t h , and ninth symphonies, and the Piano Concerto, towards more sophisticated structure and harshness of character generally not found in the programmatic works. In the l i g h t of t h i s observation, the fourth i s s i g n i f i c a n t as the introduction into his symphonic repertoire of a purely musical i n s p i r a t i o n , a new complexity of form, and of a new l e v e l of dissonance. Vauahan Williams's Role in the English Symphonic Renaissance: In his assessment of Vaughan Williams's s i g n i f i c a n c e , Percy Young writes "[Vaughan Williams's] place in musical hi s t o r y depends . . . on his place in B r i t i s h music." 5 5 At a l l events, any investigation of Vaughan Williams's h i s t o r i c a l s i gnificance should begin with a consideration of his place in B r i t i s h musical history. It i s true that the English musical environment and t r a d i t i o n contributed in shaping Vaughan Williams's musical s t y l e ; however, he in turn made a substantial contribution to English music of the twentieth century and nowhere i s t h i s more apparent than in the symphony. In the introduction to his study of Vaughan Williams's symphonies, Hugh Ottaway asserts, "the English symphony i s almost e n t i r e l y a twentieth-century c r e a t i o n . " e Indeed, as 5. Percy M. Young, A. History gj. B r i t i s h Music (London: Ernest Benn, Ltd., 1967), p. 550. 6. Hugh Ottaway, Vaughan Williams' Symphonies (London: B r i t i s h Broadcasting Corporation, 1972), p. 5. 98 Ottaway c l a i m s , E l g a r ' s f i r s t symphony (1908) was the e a r l i e s t symphony by an E n g l i s h composer i n the permanent r e p e r t o r y ( i t was performed almost one hundred times i n j u s t over one y e a r ) . Furthermore, i t i s t r u e t h a t the E n g l i s h have enjoyed a long t r a d i t i o n of the o r a t o r i o , which, u n t i l the beginning of the tw e n t i e t h century, had remained the most important and popular indigenous musical genre. In the f i r s t decade of the t w e n t i e t h century, however, a f t e r the v a l i a n t attempt of P a r r y , S t a n f o r d and other V i c t o r i a n s to e s t a b l i s h a standard of symphonic w r i t i n g i n England independent of the German t r a d i t i o n , and with the success of E l g a r ' s two symphonies a t home and abroad, the E n g l i s h symphony became one of the most important genres i n the country's f a r - r e a c h i n g musical r e n a i s s a n c e , and gained p o p u l a r i t y and acceptance. Indeed, the E n g l i s h were f i n a l l y convinced t h a t t h e i r composers c o u l d w r i t e symphonies. There were s e v e r a l f a c t o r s which made the f i r s t h a l f of the tw e n t i e t h c e n t u r y i d e a l f o r the composition of symphonies i n England. F i r s t , there was the establishment of s e v e r a l good o r c h e s t r a s (such as the London Symphony Orchestra) and of r e g u l a r c o n c e r t s e r i e s (the Promenades, f o r example) i n the f i r s t decade of the century, and the founding of the BBC o r c h e s t r a i n 1930 and the London Philharmonic i n 1932. In a d d i t i o n , o r c h e s t r a s were t o be found i n many s m a l l e r communities o u t s i d e the major c e n t r e s . Second, the 1920s ushered i n the p u b l i c r a d i o (the BBC) and the gramophone. Another inter-war development which c o n t r i b u t e d to p u b l i c awareness and. i n t e r e s t i n symphonic music was the advancement 99 of musical education. 7 . Throughout Vaughan Williams's symphonic career, which began in 1903 with the f i r s t sketches of the "Sea Symphony" and ended in A p r i l , 1958 with the premiere of his ninth symphony, England was experiencing a remarkable growth in the number of orchestras, of opportunites for good performances by professional musicians, in the number of symphonies written by many English composers, and in public appetite for indigenous symphonic works. Truly, the f i r s t half of the twentieth century was an ex c i t i n g time in the history of the English symphony. Almost a l l of Vaughan Williams's contemporaries were involved in the composition of symphonies. Bax, who wrote seven symphonies, and Havergal Brian with thirty-two symphonies, as well as Walton, Rubbra, Rankle, Jacob, Berkeley, Benjamin, Searle, and Alwyn, were among those who contributed to the English symphonic repertoire of the f i r s t half of the century. Nevertheless, Vaughan Williams's nine symphonies may be considered one of the best and most s i g n i f i c a n t bodies of symphonic works (beside those of Elgar and Walton) due to the sheer number of works added to the repertoire, the long period of time over which they were written (about f i f t y - f i v e years), and the d i v e r s i t y and q u a l i t y of the symphonies. In fact, i t has been claimed that, with his output of symphonic works, Vaughan Williams played a s i g n i f i c a n t role in establishing the 7. The reader i s directed to a short but i n s i g h t f u l account of the English symphonic r e b i r t h in Frank Howes, The  English Musical Renaissance (London: Seeker & Warburg, 1966), pp. 326-29. 100 English symphony as a central form in the musical r e v i v a l of th i s century. 0 His f i r s t three symphonies were well received by the English public, despite some c r i t i c i s m of t h e i r s t r u c t u r a l methods. With the premiere of Vaughan Williams's fourth symphony, however, there was something recognizably d i f f e r e n t and new with respect to his general output, his symphonic output, and to the English symphony to date. The fourth symphony i s probably the most h i s t o r i c a l l y s i g n i f i c a n t of his symphonies due to the fact that i t was considered a "modern" symphony by the English c r i t i c s and public at the time. The ever-t r a d i t i o n a l Vaughan Williams had seemingly abandoned his t r a d i t i o n a l s t y l e . Indeed, after l i s t e n i n g to a rehearsal of the work, Vaughan Williams i s said to have remarked, "If t h i s i s modern music, I don't l i k e it."® This humorous comment, as with so many others by the composer inspired by commonly held opinions of his music, r e f l e c t s to what extent the symphony was considered progressive. Why, indeed, was the symphony perceived as new and modern? An interpretation of contemporaneous reviews of the fourth, in conjunction with an understanding of the taste and a r t i s t i c temperament of the B r i t i s h concert-goer at the time, w i l l shed l i g h t on t h i s question and on the consideration of Vaughan Williams's place, and the place of his 8. New Grove Dictionary pJL Music and Musicians. 1980, s.v. "Vaughan Williams, Ralph," by Hugh Ottaway, p. 577. 9. Recorded in Henry Raynor, "Progress of a Musical Pilgrim" The Monthly Musical Record 83 (Sept. 1953):182. 101 f o u r t h symphony, In the h i s t o r y of the B r i t i s h symphony. As f a r as the E n g l i s h audience was concerned, the f o u r t h symphony d i d indeed r e p r e s e n t a modern work; not i n comparison perhaps with many of the developments on the c o n t i n e n t , but i n i t s experience with E n g l i s h symphonic works up to t h a t time (1935). I t was t r u l y Vaughan W i l l i a m s ' s most s t i m u l a t i n g symphony, perhaps h i s most s t i m u l a t i n g work, as f a r as h i s p u b l i c was concerned. The f o u r t h symphony was, g e n e r a l l y , w e l l r e c e i v e d by the c r i t i c s , few of whom f a i l e d t o n o t i c e i t s modern elements. E r i c Blom r e p o r t e d i n the Birmingham Post: "His l a t e s t work i s as h a r s h l y and g r i m l y uncompromising i n i t s c l a s h i n g , d i s s o n a n t polyphony as anything the youngest adventurer would dare to f l i n g down on music paper. That the symphony i s a tremendously s t r o n g , c o n v i n c i n g and w o n d e r f u l l y d e v i s e d work cannot be q u e s t i o n e d . " 1 0 From Blom's remarks, we may i n f e r t h a t the dissonance, and p a r t i c u l a r l y i t s c o n n e c t i o n with the polyphony of the work, was the f e a t u r e which most impressed the informed E n g l i s h p u b l i c a t the time of i t s premiere. Henry C o l l e s , who was a t the premiere on 10 A p r i l , 1935, ran a v e r y f a v o u r a b l e review i n The Times the f o l l o w i n g day. The c r i t i c v e r y a s t u t e l y observed the new elements embodied i n the symphony, p a r t i c u l a r l y the opening bars: " I t s opening indeed may sound almost s h o c k i n g l y s o p h i s t i c a t e d t o those who have 10. Recorded i n Edward Downes, ThS. New York Philharmonic Guide to the Symphony (New York: Walker & Co., 1976), p. 996. 102 thought of the ' P a s t o r a l * as t y p i c a l of Vaughan W i l l i a m s . " 1 1 In a d d i t i o n , C o l l e s noted the c l e a r germination of new m a t e r i a l from the opening motive and t h a t the f o l k - i n s p i r e d idiom of Vaughan W i l l i a m s ' s previous works was m i s s i n g : "What the hearer cannot miss i s t h a t the symphony begins with e x c i t e d harmonic gestures from which p r e s e n t l y a g r e a t v a r i e t y of tunes emerge, few of which suggest e i t h e r the t o n a l i t y or rhythm of E n g l i s h f o l k - s o n g . " However, C o l l e s d i d not p e r c e i v e the s i g n i f i c a n c e and prominence of the two motives z and y as b u i l d i n g b l o c k s of the symphony. "... [motives z and y] are j u s t c a n t i f i r m i ; the l i s t e n e r need not note them, perhaps would not, i f i t were not f o r the composer's programme note." The preceding o b s e r v a t i o n i s p a r t i c u l a r l y e n l i g h t e n i n g r e g a r d i n g the extent to which the s o p h i s t i c a t e d methods of u n i f i c a t i o n were a u d i b l e on a f i r s t encounter with the work. Probably the most s i g n i f i c a n t remark by C o l l e s i s h i s c a l l i n g i n t o q u e s t i o n the newness of the symphony's c h a r a c t e r . He asks, "but i s [ s i c ] i t s d a r i n g and i t s g a i e t y r e a l l y new, or does i t hark back to something which Vaughan W i l l i a m s l e f t on one s i d e with the works of the pre-War [World War I] days, an o l d impulse newly r e v i s e d ? " To a degree, C o l l e s ' s q u e s t i o n cannot be answered (perhaps he expected no answer). N e v e r t h e l e s s , i t i s an i n d i c a t i o n of the r e c o g n i t i o n t h a t the f o u r t h was not without f o r e r u n n e r s . Indeed, the r e p r e s e n t a t i v e s t y l e of the f o u r t h symphony had a l r e a d y been 11. Henry Cope C o l l e s , "Vaughan W i l l i a m s ' s New Symphony" The Times 36 no. 47 (Thursday, 11 A p r i l , 1935): 12. A l l the subsequent q u o t a t i o n s by C o l l e s are taken from t h i s a r t i c l e and page. 103 observed at least in isolated passages of Job and i n the f i r s t and p a r t i c u l a r l y the l a s t movement of the Piano Concerto (see Chapter I I I ) . William McNaught also recognized the modernity of the symphony in his review the following month and summed up i t s qua l i t y in a word: "It i s masterly," he wrote. 1 5 2 In addition, he q u a l i f i e s the modernism: "... the modernism i s never of the darksome, fourth-dimensional, understand-me-if-you-can order. It i s daylight modernism, done with a clear brain and a sure hand." In his description of Vaughan Williams's modernisms, McNaught was probably making a comparison with the musical developments on the continent, r e f l e c t i n g a common sentiment among Englishmen regarding the avant-garde movement in Germany and France. Looking in retrospect at the fourth symphony in r e l a t i o n to i t s time and environment and with the wealth of h i s t o r i c a l experience t h i s retrospect brings, i t may be puzzling the degree to which the fourth symphony was considered modern. The English had acquired a cer t a i n reputation for resistance to a r t i s t i c innovations, which ultimately had an a f f e c t on their musical development. This a r t i s t i c aversion was a symptom of a broader resistance to the threat from the continent to the B r i t i s h established order, a struggle which manifested i t s e l f to some degree in the F i r s t World War between German "Kultur" 12. William McNaught, "Vaughan Williams's Symphony" The  Musical Times 76 no. 1107 (May 1935): 452. 104 and the B r i t i s h t r a d i t i o n and l e g a c y . 1 3 Due to the opposition to a r t i s t i c developments in the early part of the century, the English lagged behind somewhat in the arts and consequently became conscious of the difference. Indeed, shocking works of art had been coming from the continent already for a couple of decades, with Stravinsky and the "ballets russes" of Diaghilev, and with the new discoveries of the second Viennese school, among others. The English public had witnessed and experienced the changes, and by the 1930s, the English audience was changing i t s attitude toward the new and the unconventional in the musical a r t s . The previous resistance, the awakened consciousness and the growing acceptance of new developments had an a f f e c t on the English conception of what was "modern", which was d i f f e r e n t from that of the continent. In consideration of the changes in the English temperament and the coincidental developments in Vaughan Williams's s t y l e , i t i s no wonder that Vaughan Williams's enthusiasts were divided into two camps: one admired his t r a d i t i o n a l , pastoral-l i k e mode of expression; the other, his "new" s t y l e , represented by the F minor symphony. The second group, the "modernists" as they were c a l l e d , were p a r t i c u l a r l y pleased with the fourth symphony due to i t s harmonic "modernisms", es p e c i a l l y the dominance and treatment of i t s dissonance and Vaughan Williams's seeming divergence from his accustomed 13. Modris Ecksteins, TJje. Rites oJL Spring: The Great War and. the B i r t h of. the Modern Age (Toronto: Lester & Orpen Dennys, 1989), pp. 117-18. 105 harmonic s t y l e . In the eyes of the English, No. 4 was a modern work; but in the broader context of European and even American musical developments, i t was not a p a r t i c u l a r l y progressive or modern composition. However, the symphony i t s e l f and the favourable responses i t received for i t s "modernisms" r e f l e c t e d the change in the English a r t i s t i c milieu from one of conservatism to one which would begin and continue to embrace innovations. In addition to the e f f e c t s of the English a r t i s t i c resistance, there were established expectations on the part of the English public regarding Vaughan Williams's symphonic s t y l e , which affected the perception at the time of the fourth symphony's h i s t o r i c a l s i g n i f i c a n c e . The composer, in the eyes of the audience, had established a pattern with his f i r s t three symphonies. When the audience gathered to witness the premiere of the fourth symphony, they had cer t a i n ideas of a " t y p i c a l Vaughan Williams symphony". To th e i r surprise (for some pleasant, for others unpleasant), t h e i r expectations were not met by the fourth. Therefore, i n contrast to t h e i r preconceived ideas, the fourth symphony appeared "modern". Vauahan Williams's Fourth and the Twentieth-Century Symphony: It has been demonstrated so far how Vaughan Williams was a leader and played an important part in fostering the composition of symphonies in England by the number, variety, and q u a l i t y of his symphonic works. Nevertheless, his symphonies have a relevant h i s t o r i c a l place outside England. 106 In the twentieth century, the symphony, in whatever form i t takes, has s t i l l been considered a test of a composer's a b i l i t y . With the legacy of Beethoven's nine symphonies, Schubert declared, "What more can be done?" Many musicians, for example, Debussy and Wagner, believed that Beethoven's Ninth was the l a s t symphony and everything which followed was merely imitative and r e p e t i t i v e . Symphonic developments of the nineteenth century were, largely , a response to Schubert's question and to the challenge of Beethoven's symphonies. Subsequently, symphonists of the twentieth century have experienced the problem of how to expand on established symphonic thought, e s p e c i a l l y those composers with a firm t r a d i t i o n a l background. Indeed, an understanding of the symphony in the twentieth century distinguishes between an attempt to preserve and develop the symphonic t r a d i t i o n of the nineteenth century, and a strong reaction against t h i s t r a d i t i o n , r e s u l t i n g ultimately in a great d i v e r s i t y of compositions found under the t i t l e "symphony". Josef Hausler, in his survey of the symphony in the twentieth century, 1"* makes these observations: 1) that there i s a great d i v e r s i t y of symphonic concepts (p.287) due to the v a r i e t y of s t y l i s t i c tendencies; 2) that the symphonic form has been pursued mainly by the older generation of composers in t h i s century (p. 286) among whom 3) t r a d i t i o n a l symphonic form and t o n a l i t y have not 14. Josef Hausler, "The Symphony in the Twentieth Century: Between Sonata Form and the Aleatoric P r i n c i p l e " in The Symphony,, edited by Ursula Rauchhaupt (London :Thames and Hudson, 1972), pp. 275-88. 107 been discarded (p. 280); 4) that symphonic a c t i v i t y i s least common in c i r c l e s where a l e a t o r i c music i s composed (p. 286); 5) that there i s generally one common feature among most twentieth-century symphonies, "an intact concept of motive and theme" (p. 286); and 6) that the t r a d i t i o n a l essence of the symphony i s the sonata form or sonata p r i n c i p l e s (p. 288). With a l l the s t y l i s t i c and aesthetic changes of the twentieth century, symphonists have been challenged to define and redefine t h e i r conception of the symphony. As a r e s u l t , i t is possible to isol a t e four streams of symphonic developments in the early part of t h i s century: 1) Some symphonists have maintained the t r a d i t i o n a l understanding and form of the symphony with few a l t e r a t i o n s ; 2) for others, the meaning of the term has broadened to encompass almost anything; 3) some avant-garde composers (e.g., Milhaud) wrote so-called symphonies which d e l i b e r a t e l y went against a l l symphonic standards; and 4) others, after having considered the s t y l i s t i c and aesthetic d i v e r s i t y of the twentieth century, have discovered an e s s e n t i a l l y symphonic quality, expressed in many di f f e r e n t ways, that has been preserved since the b i r t h of the c l a s s i c a l symphony. Christopher Ballantine has observed the l a s t of these tendencies in his book Twentieth Century Symphony, where he concludes that the symphony i s and always has been about "musical dualism". He writes, "... the symphony ... f i r s t came to l i f e as the large-scale incarnation and exploration of musical dualism [ i t a l i c s mine], and developed as such in i t s 108 nineteenth-century mainstream. 1 , 1 5 8 Ballantine goes on to explain that dualism i s a feature associated with sonata p r i n c i p l e s and that i t has been redefined in numerous ways by the symphonlsts of t h i s century. However, regardless of the extent of symphonic developments.in t h i s century, Ballantine observes one constant: "a concern for dualism and i t s musical exploration as the essential preoccupation of symphonic composition." i e Vaughan Williams has often been understood as an anachronistic character, "a nineteenth-century figure who carried the best q u a l i t i e s of the age in which he was born into the twentieth century." 1 7" Indeed, Preston Stedman, in his survey of the twentieth-century symphony, writes "the l i n e of development reveals Elgar, Sibelius and Vaughan Williams picking up the thread of the t r a d i t i o n a l symphony after the death of Mahler." 1 S The truth of these statements cannot be denied; however, in order to accurately understand Vaughan Williams's h i s t o r i c a l place, i t i s important to consider not only whence he received his symphonic foundation, but more so, the ways and degrees to which he extended the symphony beyond t r a d i t i o n a l lines of development. Undoubtedly, Vaughan Williams made meaningful contributions to the interpretation of symphonic structure based on nineteenth-century l i n e s of 15. Ballantine, Symphony, p. 13. 16. Ibid., p. 111. 17. Young, A History of English Music, p. 547. 18. Preston Stedman, The Symphony (Englewood C l i f f s , N.J.: Prentice-Hall, Inc., 1979), p. 251. 109 development. Although he adopted the t r a d i t i o n a l plan of the symphony, Vaughan Williams was not altogether conventional in his treatment of i t . In fact, Vaughan Williams was a major participant in conservative innovations of structure ( i . e . , maintaining e s s e n t i a l , t r a d i t i o n a l p r i n c i p l e s ) . He was active among twentieth-century symphonists, such as Mahler and Shostakovich, in an ongoing experiment in merging thereunto d i s t i n c t formal p r i n c i p l e s and categories, a practice not without nineteenth-century precedents (Schubert and Bruckner). The f i r s t example of t h i s technique i s the incorporation of sonata p r i n c i p l e s into the scherzo, a device featured in the fourth symphony, in which the f i r s t scherzo section contains a f u l l sonata cycle of exposition, development, and r e c a p i t u l a t i o n . Similar examples of the compounding of sonata and scherzo are found in the second and s i x t h symphonies. The f i r s t movement of Vaughan Williams's eighth symphony displays a p a r t i c u l a r l y interesting and complex fusion of sonata and v a r i a t i o n structures. Ballantine provides an inte r e s t i n g discussion of the implications and complications of t h i s synthesis, having to do mainly with the movement's thematic ambiguity in the absence of a defined theme ("variazioni senza tema"). »• Vaughan Williams's most individual contribution to a twentieth-century interpretation of symphonic form i s the 19. Ballantine, 20th-century Symphony, pp.86-7. 110 epilogue, which involves a re-interpretation of symphonic proportions and the redefining of symphonic resolution or conclusion. Ballantine writes, "the modification here seems to have been almost exclusively - or at least very l a r g e l y - the prerogative of Vaughan Williams; and so unmistakable i s the change that the new descriptive term 'epilogue' was invoked by the composer to cope with i t . " 2 0 The epilogue i s a device in keeping with the late nineteenth-century tendency to s h i f t the goal and the weight of the symphony toward the end of the work, and i t s use i s forecast by c e r t a i n works of that period, such as Brahms's Symphony No. 3. In essence, a l l of Vaughan Williams's symphonies incorporate some form of the epilogue, although the term appears in only four of them (Nos. 2, 4, 6, and 7). Notwithstanding differences in character and method, each epilogue i s s i g n i f i c a n t as a coda, a " l a s t word", to the entire work, not just to the f i n a l movement. Generally, Vaughan Williams integrates the epilogue into the f i n a l movement, either at the end of the movement or somewhere near i t , but the epilogues of the s i x t h and seventh symphonies comprise their f i n a l movement, an indica t i o n of the independence of the form. The "epilogo fugato" of the fourth symphony i s unlike those of the other symphonies because i t has a completely d i f f e r e n t character and i t takes the form of a fugue based on the two main motives of the work presented at the outset of the f i r s t 20. Ibid., p. 104. 111 movement. While the other epilogues share a mood of t r a n q u i l i t y and resignation, the epilogue of the fourth c a r r i e s on the fury and dissonance c h a r a c t e r i s t i c of the work. In addition, the "epilogo fugato" represents a resolution and fu l f i l m e n t of the whole work through the i n t e n s i f i c a t i o n of the counterpoint and of the development of the two main motives, z and y, which appear throughout the f i r s t three movements in clear and sometimes s l i g h t l y obscured guise. Although the epilogue i s interpolated within, and shares thematic material with the fourth movement, i t does represent an independent section formed through fugal techniques (Some writers go to the point of c a l l i n g i t the f i f t h movement). With the si x t h symphony, the epilogue gains independence as the f i n a l , fourth movement and becomes a fusion of a l l the thematic ideas of the entire symphony. The epilogue of the "Sinfonia Antartica" i s the independent f i f t h movement of the work, governed by the l i t e r a r y associations (Captain Scott's journal) and incorporating passages of material from previous movements. The epilogue of the Symphony No. 5 returns to and f i n a l l y resolves the i n i t i a l struggle from the opening bars of the symphony, which persists throughout the work as an unresolved dissonance. The c o n f l i c t between the french horn l i n e , c l e a r l y o u t l i n i n g a D major chord, and the C ostinato of the bass l i n e at the very outset of the work becomes the ce n t r a l , underlying c o n f l i c t of the work, taking precedence over the formal tensions inherent in the sonata structure. Ballantine reveals 112 the anomaly represented in the f i f t h symphony, which i s not uncommon in works by other composers (e.g., Si b e l i u s and Prokovief): the presence of " t r a d i t i o n a l ' d u a l i s t i c * structure in a movement where d u a l i t y does not rest on that s t r u c t u r e . " 2 1 That i s , the f i f t h symphony i s formed through sonata techniques, but i t s dualism or essential c o n f l i c t l i e s outside t r a d i t i o n a l methods of establishing c o n f l i c t and resolving i t . In t h i s respect, the f i f t h symphony r e c a l l s the basic issues of Vaughan Williams's fourth, although the content and p e c u l i a r i t i e s of the issues are d i f f e r e n t . In each, the main c o n f l i c t of the work i s established in the opening bars, explored and manifested in d i f f e r e n t ways throughout the movements, and addressed f i n a l l y at the very end of the work, where the struggle i s c l a r i f i e d and, in some sense, resolved. Indeed, the thought that went into the conception of the fourth symphony contributed to the formation of symphonic c o n f l i c t in the f i f t h . Furthermore, the fourth and f i f t h symphonies represent two solutions by Vaughan Williams's of the common twentieth-century problem of mediating between t r a d i t i o n a l sonata design and new concepts of symphonic c o n f l i c t . Conclusion; In summary, the Symphony No. 4 acted as a catalyst upon Vaughan Williams's symphonic s t y l e , toward a more sophisticated approach to harmonic, motivic, thematic, and formal structure 21. Ballantine, 20th-century Symphony, p. 152. 113 than that found in the f i r s t three symphonies. Moreover, the fourth symphony represented a modern work in comparison with Vaughan Williams's previous symphonic works and was perceived as progressive by the English audience due mainly to i t s l e v e l of dissonance and because of the peculiar h i s t o r y of symphonic and other musical developments in England. In the l i g h t of twentieth-century musical developments, Vaughan Williams's symphonies comprise a conservative, a l b e i t important, contribution to the r e d e f i n i t i o n of t r a d i t i o n a l symphonic ideals and c o n f l i c t s , in a realm of symphonic thought occupied by such composers as Sibelius and Prokovief. Indeed, the fourth symphony i s worthy of study, not only for i t s own sake, but in order to shed l i g h t on more far-reaching h i s t o r i c a l considerations of the English symphony and on twentieth-century symphonic developments. Sources Concerning 114 BIBLIOGRAPHY Vaughan Williams's Music: Cox, David. "Ralph Vaughan Williams (1872-1958)." in Simpson, Robert, ed. The Symphony. Vol. 2: Elqar to the  Present Day, pp. 114-127. Harmondsworth: Penguin Books, 1967. A comprehensive overview of the symphonies with a descriptive analysis of each. Colles. Henry Cope. "Vaughan Williams's New Symphony." The  Times 36 no. 47 (Thursday, 11 A p r i l , 1935): 12. A favourable review of the premiere of the symphony, in which Colles recognizes the modernism and sophistocation of the work. Crankshaw, Geoffrey. "Vaughan Williams and His Symphonies." Musical Opinion 75 (July 1952): 593-5. A b r i e f , c r i t i c a l consideration of the f i r s t s i x symphonies, emphasizing the s p i r i t and character of each and the thematic and c h a r a c t e r i s t i c p a r a l l e l s between the symphonies. Dickinson, A.E.F. "The Vaughan Williams Symphonies (A Postscript to the Centenary)." Musical Opinion 96 (Dec. 1972): 123, 125. Dickinson stresses: Vaughan Williams's symphonies as the genre in which his achievements were most progressive; his almost consistent adherence to t r a d i t i o n a l s t r u c t u r a l devices and scheme of movements; and the influence of Vaughan Williams's research on his material. . Vaughan Williams. London: Faber and Faber, 1963, p. 291-309. A thorough analysis of the symphony No.4, e s p e c i a l l y regarding the i d e n t i t y of themes and the i r d i s t r i b u t i o n . Downes, Edward. The New York Philharmonic Guide to the Symphony. New York: Walker & Co., 1976. The guide documents some c r i t i c a l commentary and notes by the composer on the fourth symphony, among other symphonies in the established repertory. 115 Edmonds, B i l l y Joe. "Harmony in the Symphonies of Ralph Vaughan Williams." (M Music thesis, North Texas State College, 1958). Rudimentary study of Vaughan Williams's harmonic vocabulary evident in symphonies 1 to 8, including chord c l a s s i f i c a t i o n , root movement, t o n a l i t y , modulation and other harmonic devices. Foss, Hubert J . Ralph Vaughan Williams. London: George G. Harrap and Co., 1950. Contained in t h i s survey of Vaughan Williams's works i s a consideration of the f i r s t seven symphonies which emphasizes the difference in character between the symphonies and the s t y l i s t i c s i m i l a r i t y to Hardy's novels. . "Vaughan Williams's Symphonic Manner." The Listener 27 (1942): 317. Once more Foss stresses the unique character of each symphony (nos. 1 to 4) and the s i m i l a r i t y to Hardy. He comments that the piano concerto and the fourth symphony employ a "weaving method" (the texture of a fugue) and that the symphonies show strong traces of English d i a l e c t . Hesse, Lutz-Werner. Studien zum Schaffen des Komponlsten Ralph Vaughan Williams. Regensburg: Gustav Bosse Verlag, 1983. A comprehensive work including background, biography, overview of the works by genre, personal s t y l i s t i c t r a i t s , more detailed analysis of several works and some essays by Vaughan Williams. Howes, Frank. The Music of Ralph Vaughan Williams. London: Oxford University Press, 1954. Howes points out the s i m i l a r i t y to Brahms's Symphony in F Major and includes a very useful chapter dealing mainly with themes and the organic unity achieved in the symphony through cross-reference and through the "inner connexion . . . between a l l the thematic material of the symphony." Kennedy, Michael. The Works of Ralph Vaughan Williams. Rev. ed. London: Oxford University Press, 1982, pp. 264-8. Kennedy discusses the stage of Vaughan Williams's compositional technique at the time of the fourth symphony in comparison with immediately preceding works; provides a b r i e f descriptive analysis of themes; and proposes possible influences of other composers on the symphony (Beethoven, S i b e l i u s , Hoist, and Brahms). 116 Long, N. Gerrard. "Vaughan Williams' Fourth Symphony: A Study in Interpretation." Monthly Musical Record 76 (June 1947): 116-121. Long's a r t i c l e includes a very useful analysis of the s t r u c t u r a l elements in the fourth symphony (form, counterpoint, themes, development, rhythm and orchestration) and concludes with a consideration of the symphony's s o c i a l and emotional implications. McNaught, William. "Vaughan Williams's symphony." The Musical  Times 76 no. 1107 (May 1935): 452. A b r i e f but favourable review of the fourth symphony (based on the premiere) e s p e c i a l l y in comparison with most modern music of the "understand-me-if-you-can order." The New Grove Dictionary of Music and Musicians. 1980. S.v. "Vaughan Williams, Ralph," by Hugh Ottaway, pp. 569-580. A b r i e f a r t i c l e tracing the important developments and influences in Vaughan Williams's compositional practices. Ottaway, Hugh. "Two Works of Vaughan Williams." Musical  Opinion 73 (Jan. 1950): 205-7. After discussing Hugh the Drover f Ottaway describes the f i r s t performance of the fourth symphony as a "d i r e c t negation of that romantic afterglow" and speculates on the meaning of the symphony. . "Vaughan Williams and the Symphonic Epilogue." Musical Opinion 79 (1955): 145. Ottaway discusses the Epilogue both t e c h n i c a l l y and p h i l o s o p h i c a l l y and gives examples from Vaughan Williams's symphonies. . "Vaughan Williams's F Minor Symphony." The Listener 70 no. 1793 (8 August, 1963): 217. A retrospective view of the symphony, shedding l i g h t on some of i t s h i s t o r i c a l and unique features. . Vaughan Williams's Symphonies. London: B r i t i s h Broadcasting Corporation, 1972. In t h i s short guide Ottaway describes the nature and gives a basic analysis of each symphony i n i t i a t e d by a response to one or two c r i t i c a l comments at the beginning of each discussion. This book i s more valuable for i t s discussion of the fourth symphony in r e l a t i o n to the previous works than for i t s discussion of the symphony i t s e l f . 117 Packenham, Simona. Ralph Vauahan Williams: A Discovery of his Music. London: Macmillan and Co., 1957, pp. 97-103. This book i s intended for amateurs and the discussion of the fourth symphony deals with public and personal reactions to i t , provides a descriptive analysis of the symphony's themes and character, and i s most valuable for comments by the composer and others regarding the work. Payne, E l s i e M. "Vaughan Williams's Orchestral Colourings." Monthly Musical Record 84 (1954): 3-10. The a r t i c l e discusses Vaughan Williams's d i f f e r e n t techniques of orchestration and melodic writing and the influence of his studies with Ravel. Raynor, Henry. "The Progress of a Musical Pilgrim." Monthly Musical Record 83 no. 948 July - Aug. 1953): 151-6; no. 949 (Sept. 1953): 180-4; no. 950 (Oct. 1953): 212-14. A philosophical consideration and objective c r i t i c i s m of symphonies 1 to 7, including t h e i r triumphs and f a i l u r e s and relationships with other works by Vaughan Williams. Raynor i s p a r t i c u l a r l y c r i t i c a l of the fourth symphony ("his greatest f a i l i n g s as a symphonist.") Rubbra, Edmund. "Vaughan Williams, Some Technical C h a r a c t e r i s t i c s . " Monthly Musical Record 64 (1934): 27-28. This i s primarily a discussion of Vaughan Williams's harmonic language and includes c l a s s i f i c a t i o n and examples of chords, t r i a d s , melodic intervals and rhythms. Schwartz, E l l i o t S. The Symphonies of Ralph Vaughan Williams. Amherst: University of Massachusetts Press, 1964; reprint ed., New York: Da Capo Press, 1982. The publication of Schwartz's d i s s e r t a t i o n . It provides a detailed and thorough analysis of each symphony, a general consideration of s t r u c t u r a l elements in the symphonies (including useful charts), and a general background of Vaughan Williams's musical education. Vaughan Williams, Ralph and Hoist, Gustav. Heirs and Rebels, Letters Written to Each Other and Occasional Writings. London: Oxford University Press, 1959. A compilation of the composers' personal l e t t e r s and occasional lectures and essays put together by Ursula Vaughan Williams and Imogen Hoist. 118 • National Music and Other Essavs. London: Oxford University Press, 1963. Vaughan Williams discusses several d i f f e r e n t topics from folk music and national music to f i l m scores, Beethoven's Choral Symphony, and an autobiography. . Symphony No. 4. London: Ernst Eulenburg, 1935; reprint ed., 1983. • Vauahan Williams: The Nine Symphonies. Descriptive notes by Michael Kennedy. London Philharmonic Orchestra conducted by S i r Adrian Boult. EMI SLS 1547083. Provides b r i e f but concise s t r u c t u r a l analysis of the symphony and some background to the composition of the work. Vaughan Williams, Ursula. R.V.W.: A Biography of Ralph Vaughan  Williams. London: Oxford University Press, 1964. This biography i s helpful for information regarding the background and i n s p i r a t i o n for works, reactions to them, and for comments made by the composer. Young, Percy M. Vaughan Williams. London: Dennis Dobson, 1953. Young discusses the f i r s t seven symphonies separately in the book, emphasizing the severe character of the material and development in his consideration of the fourth symphony. Sources Concerning the Symphony in the Twentieth Century: Ballantine, Christopher. "The Symphony in the Twentieth Century: Some Aspects of i t s Tradition and Innovation." Music Review 32 (1971): 219-32. Ballantine addresses questions raised by the in t e r a c t i o n of contemporary musical developments with the symphonic genre by discussing four symphonies (Hamilton, Sinfonia for Two  Orchestras; Goehr, L i t t l e Symphony; Si b e l i u s , Symphony No. 7; Gerhard, Symphony No. 1) which i l l u s t r a t e problems regarding th e i r r e l a t i o n s h i p with the t r a d i t i o n a l symphony. He demonstrates that each of these works f u l f i l l s the p r i n c i p l e s of dualism inherent in the symphonic t r a d i t i o n . 119 . Twentieth Century Symphony. London: Dennis Dobson, 1983. Through d e t a i l e d yet r e l e v a n t d i s c u s s i o n and a n a l y s i s of works l a b e l l e d "Symphony", B a l l a n t i n e c o n s i d e r s r a d i c a l and c o n s e r v a t i v e i n n o v a t i o n s and demonstrates the ways i n which t w e n t i e t h - c e n t u r y symphonies manifest t r a d i t i o n a l symphonic p r i n c i p l e s (esp. dualism) and ways i n which they have been extended or r e c o n s i d e r e d i n new terms. C u y l e r , L o u i s e . The Symphony . New York: Harcourt Brace Jovanovich, Inc., 1973. C u y l e r ' s s h o r t book t r a c e s the h i s t o r y of the symphony by c o n s i d e r i n g the works of s p e c i f i c composers, i n c l u d i n g Vaughan W i l l i a m s . E c k s t e i n s , Modris. The R i t e s of S p r i n g : The Great War and the B i r t h Qfi the Modern Age. Toronto: L e s t e r & Orpen Dennys, 1989. E c k s t e i n s draws r e l e v a n t and i n s i g h t f u l comparisons between s o c i o l o g y , c u l t u r e and war i n the e a r l y decades of the t w e n t i e t h c e n t u r y . Hausler, J o s e f . "The Symphony i n the Twentieth Century: Between Sonata Form and the A l e a t o r i c P r i n c i p l e . " i n Rauchhaupt, U r s u l a , ed. The Symphony. London: Thames and Hudson, 1972. Pp. 275-288. E s s e n t i a l l y a survey of t w e n t i e t h - c e n t u r y symphonic works w i t h i n the v a r i o u s streams of s t y l i s t i c developments, emphasizing the q u a n t i t y and d i v e r s i t y r e s u l t i n g from the many and d i v e r g e n t s t y l i s t i c tendencies s i n c e Mahler. Howes, Frank. The E n g l i s h M u s i c a l Renaissance. London: Seeker and Warburg, 1966. A study of the phenomenon of indigenous musical r e b i r t h i n England i n the l a t e n i n e t e e n t h and e a r l y t w e n t i e t h c e n t u r i e s . J e n k i n s , Lyndon. "The B r i t i s h Symphony, 1900-1950." Gramophone 64 (Feb. 1987): 1108-9. A comprehensive c h r o n o l o g i c a l survey of symphonic a c t i v i t y i n B r i t a i n between 1900 and 1950, i n c l u d i n g mention of memorable performances and r e c o r d i n g s . 1 2 0 K e l l e r , Hans. "Symphony and Sonata Today." Music Review 22 n.2 (Feb. 1961): 51-2 (Part I ) ; (May 1961): 172 (Part I I ) . A c r i t i c a l response to Martin Cooper's statement that sonata " i s e s s e n t i a l l y tonal." K e l l e r shows through the later s t r i n g quartets of Shoenberg that "the large-scale integration of thematic contrasts" i s in fact the essence of sonata form. He agrees that there i s a symphonic c r i s i s and, in the next issue, pursues "the development of symphonic thought at i t s purest - in the quartet." Keys, A.C. "Symphony: What Does i t Mean?" Music Quarterly 58 (1972): 235-41. Keys traces the history of the term "symphony", dramatizing the evolution of the concept associated with the term from a musical in t e r v a l to a short name for symphony orchestra. Lambert, Constant. Music Hoi A Study of Music in Decline. 3d Ed. London: Faber and Faber, 1934. Lambert addresses c r i t i c a l l y the c o n f l i c t between nationalism and formal construction (esp. symphonic) with some discussion of Vaughan Williams's Pastoral Symphony. He distinguishes between nationalism and p r o v i n c i a l i t y , reducing the former to an exoticism. Mellers, W i l f r i d . Romanticism and the Twentieth Century (from 1800). London: R o c k l i f f , 1957. Pp. 174-81. Mellers addresses the problems, successes and f a i l u r e s of r e c o n c i l i a t i o n between "dramatic" c o n f l i c t inherent in the symphony and vocal modality in Vaughan Williams's symphonies, while attention i s drawn to No. 5 as the most successful. Pike, L i o n e l . Beethoven, Sibelius and the "Profound Logic": Studies in Symphonic Analysis. London: University of London, The Athlone Press, 1978. Not intended as a survey or reference, t h i s book examines the symphonies of Sibelius and Beethoven to gain insight into the nature of symphonic thought and the meaning and manifestation of the "profound l o g i c " . P i r i e , Peter J. "The Symphony in the Twentieth Century." Music  and Musicians 26 (Nov. 1977): 24-6. P i r i e explores the so-called progressive influence of Mahler, Bruckner and Wagner on twentieth-century symphonists, while Sibelius and other t r a d i t i o n a l symphonists are considered retrogressive and of l i t t l e value. He sees the intention of a symphony - a large-scale work ( in form or intensity) for a "post-baroque" orchestra - as the only constant feature. 121 Reti, Rudolph. The Thematic Process In Music. New York: Macmillan Co., 1951. With the help of several detailed analyses, Reti exposes the profound significance of thematic structures and relationships, which he feels has been neglected in t r a d i t i o n a l approaches to musical analysis. Simpson, Robert, ed. The Symphony. Harmondsworth: Penguin Books, 1966-1967. Inroduction, vols. I and I I . Simpson attempts to show the origins of the symphony and to define i t s essence in f i v e points. Worthy of note i s his view of t o n a l i t y as e s s e n t i a l to the c h a r c a t e r i s t i c comprehensiveness of a symphony. Because of his b e l i e f in an inherent "body of p r i n c i p l e s , standards," he excludes consideration of some symphonies, regardless of t i t l e . Stedman, Preston. The Symphony. Englewood C l i f f s , N.J.: Prentice-Hall, Inc., 1979. Stedman provides a concise survey of the symphony and includes an i n s i g h t f u l and s i g n i f i c a n t investigation of Vaughan Williams's symphonies, which he considers to be an important body of twentieth-century symphonic works. The New Grove Dictionary of Music and Musicians. 1980. S.v. "Symphony, I I I : 20th Century," by Stephen Walsh, pp. 462-9. Walsh sees the f i r s t decade of the twentieth century as bringing the Beethovenian symphony "to i t s f u l l maturity and also e f f e c t i v e l y to i t s end. Not u n t i l then did the purely formal attempt to cast a Romantic symphony i n a C l a s s i c a l mould give way once more to symphonic forms a r i s i n g from the nature of t h e i r materials." Walsh surveys the consequences in various countries. Young, Percy M. A, History g£ B r i t i s h Music London: Ernest Benn Ltd., 1967. A h i s t o r i c a l study of English music from the beginning of recorded musical history to modern times. The book includes an interesting consideration of Vaughan Williams's si g n i f i c a n c e to the English musical renaissance (pp. 544-553). 122 0 APPENDIX: REFERENCE CHART OF THEMES AND MOTIVES Symbol MM# X 1/1-2 1 1 d Lh,b f —i<p 4 n  z 1/6-7 y 1/14-16 7T fe^" +T77-'2)2-s 1/46 — * FT A 1/52-4 • J ? f f f i r r r n -a—r—tt ' 1 r i 1 1 B 1/85 \lh l i 1—!— L ~ i fl> * *ll J J • ifljLA. 1 J^ jT J J J 1 > > > -r 1/102-4 n & n r 10 „ _ b » — ! — L 1 1 y i II/1-3 —JL A i — i — p f - D -i 44=^ i i i TTTI l—n • r—r—| 1 fr?) 1 # *q # r • r J i 0 '» E-T9/II a T9-9S/II *a i i r m 1 ^ M T U 1 •^1 ' ' K F F - 8 C / I I — = n. j i . i i j i I i. - T - a i 1 n ^ * J - ^ -' w ' * r r=*-r—y—| SC-9Z/II 8T-0T/II 8-Z./II t A 9-S/II M 124 Si II/131-8 V i— "S. (0) * ilj 1 V— I L H . Liir1 i | •« ==d- 2 = H — t T F III/1-4 • } * v , ft i — r ^ - j - ' f £ MJ - h d — G 111/60-63 H 111/149-57 IV/1-5 K M IV/77-82 i — ° " — 1 I I i i — 1 — 1 * - — f 

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