Elements of Style in Lutoslawskis Symphony No.

4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

Note: The paper is being published as it was at the time of submission, aside from general formatting modifications. Appendices 1 & 2, i.e. a schematic representation of the symphony and a graphically prepared complete analysis of the first movement, are not included in this edition; they might be attached to future updates

Elements of Style
In

Lutoslawskis Symphony No. 4

With an Emphasis on the First Movement

By: Payman Akhlaghi

Music 266B Prof. Ian Krouse UCLA Spring 2004 (June 25th, 2004)

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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

Introduction

Witold Lutoslawskis (1913-1994) Symphony No. 4 of 1992 belongs to the composers fourth compositional period1, and it manifests a highly sophisticated fusion of many stylistic elements within a cohesive symphonic world. Lutoslawskis language in this symphony is personal, original, systematic and yet lyrical. Throughout the symphony, at every turn, one can notice the total governance of an intelligent and disciplined mind, an incredibly acute ear for sonorities and a sensitivity toward musical connotations and comprehensibility. The symphony sounds equally sophisticated to a trained ear as much as being accessible on its purely sonic beauty to a less initiated listener. The present study is an analysis with the goal of describing the main elements of coherence and style in this work.

Overview of the Symphony

Architectural Design and the Tonal Pillars

Throughout, the level of attention to details is staggering. But even more remarkable is the overall coherence and the seamless flow of the symphony over the

See attached, Appendix 2, which contains a foreword to the score by Steven Stucky, for a summary of these four periods and the conventional view of the symphonys overall architecture. Chester Music, 1995.

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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

course of 21 minutes2, amid the complexity of its harmonic and melodic details. The momentum of this work is partly a result of the proximity, or the overlapping of sections with highly contrasted textures, tempi and characters. The mostly logical and dramatically viable sequencing of these contrasting sections is also an important element of the unity of the work in its totality. The most common way of looking at the overall architecture of the Fourth Symphony is to view it as being in two movements, the first of which acts as an upbeat to the second. Arguably, the second movement starts at Fig. 22, after the first movement has reached the saturated texture of a 12-tonal cluster. (See below, for a discussion of this climax.) Thus, according to this analysis, the first movement consists of 3 sections (A1, A2 and B2, of the Appendix 1 diagram, Schematic Representation), each made of a pair of measured vs. aleatoric sections ([a1, b1], [a2, b2], and [a3/b3, br., against x1] of the diagram.) The thematic material further emphasize the contrast between these sections: the as are typically melodic and lyrical, while the bs are more chromatic and active. The a sections are also harmonically more stable: the symphony opens unequivocally in Em, on a long-sustained pedal point on E (the a1 section), later followed by pedal points on F# (the a2 section, and the first part of a3/b3). The a3/b3 section acts as a development and expansion of the themes presented so far, followed by a bridge and another aleatoric section (x1). As this section progresses, the pedal point gradually migrates through G (and A) and settles on the Bb, this acting as the foundation of the 12tonal cluster/activated verticality. Note that the mere recognition of the 12-tone aspect of this section (or any other section or chord in the symphony) does not say much about the
2

Lutoslawski, Witold: Symphonies No. 4, et al, Sound Recording; LA Phil., Essa-pekka Salonen, cond.; Sony Classical, 1994.

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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

composers unique way of applying this technique. Indeed, the climax of mvt. 1 is one of the most personal sections of the entire work. (See below for a discussion of the x1 section.) Next, the second movement starts on F (in Fm), as it has been well prepared by the preceding Bb complex of the x1. This movement is composed of three main sections: two multi-sectional Scherzos (Figs. 22-47, and 47-82) and a Quiet section (86-92; b5 in the diagram). And finally the symphony ends in an exuberant coda (92-97; x2 of the diagram). Alternatively, it is possible to think of the b5 section as Coda 1 (the quiet section, featuring strings in an aleatoric texture) after a c3 preparation, and thus combine c3, b5 and x2 into a bifocal Coda Complex. (The word bifocal is meant to signify two endings, one for each of the two main contrasting events throughout the symphony, i.e. the quiet a sections and the active bs, or their counterparts). The first scherzo is made of 4 sections: c1, acting as first idea of the new movement; d1, acting as the development of this scherzo, with an antiphonal technique (also present in subsequent sections); an aleatoric section (e1) which features the piano; and a codetta (f1). The second scherzo with its central pointillistic texture, is made of 3 sections: c2, similar to c1; g1, a fully new development, again essentially an activated 12tonal, register-specific verticality, but this time with a completely different result; and a concluding b4 section, which is not aleatoric, but reminds of the material in the first movement and acts as the climax of the second scherzo. And finally, comes the c3, similar to c1, which prepares the pace for the bifocal coda, as it was described in the above. One of the most interesting events of the symphony is the prominent embedding of an ad lib. (aleatoric) section for the brass, based on the material from the first
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

movement, at the heart of the g1 section, within the very context of the aforementioned 12-tonal material. The foundational tonal centers of the second movement, as established in the bass lines, feature an overall migration from F to B E FGCA (A/G#) E. Each of this centers (bass lines) acts as an underlying pedal point. In some cases, most notably at the d1 section of the first scherzo and the g2 of the second scherzo, the bass-line features relatively extended stays on decorating centers, but it never loses the sight of the main foundations. (Decorating Centers is meant to describe the less important foundation notes, surrounding the main bass-line events.) The g1 section, that is the pointillistic section of the symphony, is decidedly in G, moving toward the C, and the final coda in E is prepared by the preceding A foundation. Note that these bass-line progressions follow, more or less, the tonal syntax of traditional harmony, such as the upward P4 leaps, signifying a dominant relation, as those found between [B, E] and [G, C]; the mediant relation of [C,A]; and the subdominant relation of [A, E]. This is similar to the events of the first movement, such as the preparation of F# by C# at the beginning of the a2 section [dominant relation], or the Bb to F(m) set up at the beginning of the second movement [subdominant relation]. The extensive use of pedal points, in itself is a traditional technique, as well. Amid the above structural description, there seems to be a superimposed formal design that further buttresses the structural unity of the work. That is to think of the A1 and A2 as Expositions 1 and 2 of the first movement, with B1 acting as its development, although left aborted at its climax. Thus, the second movement arrives where otherwise a Recapitulation would be expected. This in turn accelerates the momentum toward the
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

second movement. In turn, we can think of the first scherzo as the Exposition of the second movement; the second scherzo as the development of the second movement, and the Coda complex as a short Recap. (c3) and the two codas. Still, on the largest scale, and given the material at Fig. 42 and 47 are direct reminiscents of the material from mvt. 1, it is plausible to think of the entire symphony as a gigantic sonata, with the entire first movement as the Exposition; from Fig. 22 to 42 (or 47) as the development [roughly the first scherzo]; entrance at 42, but especially 47 considered a pseudo-recapitulation; and at 82 to the end, the Coda Complex.

Micro-level Structural Features

The unity of the work is also in part due to a tonal organization that combines elements of serial compositional techniques and a personal brand of 12-tone composition on the one hand, with certain aspects of traditional harmony and compositional techniques, on the other. As a result, one often finds it possible to describe a certain event or material both in terms of the modern terminology of atonal or serial analyses, such as a free application of the Set Theory, as well as the traditional jargon of tonal harmony. Moreover, while much of the thematic material are related to each other on an abstract, number-based level, the prevalent use of gestural motives, either rhythmic or contour-related, allows for interpreting such elements as cyclical themes or motives. And this is while deeply rooted relations between actual pitch material on an atomic level has made it possible for lyrical melodies, even of a folkloric character, to be combined or
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

juxtaposed with material of comparably more synthetic nature, or even transform one into the other. This is evident from the very outset, at Fig. 1, when the lyrical melody of the solo clarinet blends with the sustained harmony of the strings, and yet later, develops into the material of the first aleatoric section (or idea) at Fig. 3. Interestingly enough, listening to the very opening of the symphony, on a longsustained pedal point at E, and decidedly in Em, perhaps few would immediately notice the fact that unfolding of the pitches, as articulated by the harp, is seemingly based on a decision to use all 12 pitches in the very opening, although not with some liberty. The 12tone aspect is clearly under the control of an extended tonal syntax as the successive pitches are introduced by harp1 and shadowed by the strings. The first four bars feature an interesting principle: the first 4 pitches enter following an expansion principle: m3, P4, A4, with the 5th also at M6 (inverted as m3, with the pitch D#). The overall effect becomes a smoothly moving harmonic progression in Em: (i, VI(6), ii over the E, #vi(6), etc. (cf. Appendix 2, Score, p.1 for a more complete analysis) which prepares the entrance of the clarinet at the B natural, that is the V of the key. Henceforth, the sustained harmony of section a1 and its counterparts in other sections, displays complex harmonic relations that could also be seen as an extension of the use of suspensions, passing tones, neighbor tones or pedal points, while it could also be explained in terms of the entering pitches (articulated by harp). The clarinet then explores the two neighboring notes, C (natural) and A#, and next returns to B. Note that these events, while tonally justifiable, also mark a [01] cell, one of the atomic material in the piece. Soon, however, the lyrical melody departs enough from a one-to-one
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

correspondence with the sustained harmony to form an independent existence: at Fig. 2, it seems to center around F#m (Theme 1, henceforth T1, as marked in the score), with a subsequent repetition at Fm (m2 below), this time balancing the move by altering the ending the D natural (as opposed to the expected B natural). T1 gesture is then treated canonically by fl.1 and picc. cl., at M3, ending on a high M7 (inv. of m2) between B and A#, while the bass moves toward the C#. At this point, not only a tonal bifurcation has occurred, but also a fully stratified textured has been established. Here, two important aspects of T1 should be noted. First, it features an oscillating head-motive, which would later become prevalent throughout the symphony, especially in the form of 3-note triplet figures, such as those found at Figs. 16(-1), or 74(+1), to name a few. Second, it also utilizes a principle of bifurcation, here applied asymmetrically to the upper not only, i.e. the upper note of the compound line moves upward while the lower note has stayed stationary (cf. Fig. 2). This is especially effective at the climactic build up, Fig. 15, where in the first violins, the G# acts as the pivot point for the unilateral divergence of the upper voice. In this case, the divergence is exponential, that is the interval of expansion becomes larger with each return. [The bifurcation is also used symmetrically, with both voices diverging (or converging) about a central axis. For instance, at Fig. 24, the [G,F#,F] cell expands to [A,F#,Eb], that is [012] [016].) The bifurcation principle, in combination with transposing sequences, is also at work within the aleatoric sections, as in Fig. 10, where each phrase starts in unison and expands into a symmetrical chord. (cf. App. 2, Fig. 10.) Note that despite detailed voice leading and complexity of each cell, here and elsewhere, these are the prominent pitches
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

that matter most in a harmonic analysis of such passages. The prominent notes are typically the first of each group, and/or the highest pitches. For instance, see the analyzed score at Fig. 9, where such prominent pitches are identified and also grouped to analyze their vertical organization. The bifurcation is even present in the contour shapes of the bongo/tom tom passages, such as Fig. 25(+2). At Fig. 3, the first aleatoric section starts, which consists of a chromatic cluster, spanning a M7 [01], between B and A# in the upper register. A similarly saturated cluster is used also at Fig. 8, although transposed to F (a tritone below) The most important of these saturations in the first movement occurs at the climax of the movement, between the pitches A5 and G#6 [Fig. 20.] with the chromatic cluster being given to the upper winds. This cluster is activated on top of another register-specific sonoritythat of the Bb 12-tonal chord structuregiven to the rest of the instruments. The chord is structured in tertiary divisions, such that each instrument or consort plays a certain chord, e.g. Bbm7, Cm, Em7, GM7, etc.) As this codetta proceeds in an aleatoric fashion, the listener has time to focus on each group of sounds; as a result, a tonal experience is achieved within an otherwise complex sonority. The cluster in the highest registers further saturates the texture as it reinforces the upper partials of the lower instruments, even though in random. The climax reiterates the same chord emphatically three times, preparing the subdominant move to the Fm of the second movement. Next, the tension is dispersed in part by the convergence of strings to a M7 in the middle register, by P4 leaps (Figs. 2223). The second scherzo still displays another application of a 12-tone sonority. A 12ton vertical chordal structure (sometimes decorated, but always register-specific) is
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

activated, this time in pointillistic style, as each instrument is assigned small cells of mostly 2 or three notes, mostly unchanged for the duration of the section, although with complicated metric displacements within each measure. This scherzo starts at Fig. 51, with cl. playing another version of a cyclical theme, first heard by the strings at Fig. 23 (second movement, T4 of the analysis). Soon another 12-tone chord with tertiary distribution, this time over the fundamental tone of F is heard at pp dynamics (Fig. 52), smoothly starting the section. As the top-down expansion of register proceeds, the overlapping cells of the 12-tone structure are introduced and the section finds its eventual bass on the pitch G, although with occasional departures. Following the ad lib. entrance of trumpet at Fig. 59 (variation of T1), another ad lib. entrance by trombones and repeated chordal attacks of the strings, the section ends at Fig. 64. At Fig. 86, T4 and other previous gestures, such as the repeated-noted tail of T1 (from Fig. 3) are presented not only in a cyclical fashion, but also in new chain formations. In the analyzed score (Appendix 2) many such events are marked, with an emphasis on the first movement. There, however, traditional terms and descriptions have been used more pervasively than this text, in part to emphasize the traditional roots or aspects of these highly modern elements, for reasons explained in the following section.

Integration of Past and Present

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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

As it was noted above, one of the important aspects of this symphony is the twofaced nature of its material, quite modern on the one hand, and simultaneously having a traditional connotation, on the other. Notwithstanding the noted 20th century influences on the music of Lutoslawski, including John Cages chance procedures, 12-tone serialism, or as it was to be, his turn by necessity to folk music during the years of political oppression3, it is also true that Lutoslawski approach to any such ideas was very personal and original. 4 Simply put, the sophisticated distilment of such ideas and techniques through the mind of the composer has ruled out the possibility of any direct imitation and has resulted in a unified whole. With this in mind, lets present some observations that might be illuminating to the understanding of the language of this symphony. While the sonar world of the work, especially in the second scherzo with its activated single verticality, reminds one of the use of such technique in Stravinskys The Rite of Spring, I will rather elaborate on a more remote relation, perhaps not so conspicuous, considering the undoubtedly modern sound of the symphony. That is to say given the pianistic background of Lutoslawski training and career5, not to mention his Polish identity, one might also realize a level of sophistication of melodic writing in the symphony, as well as a kind of blending of harmony and melodic writing that show essential resemblance to the type of chromaticism that is most perfectly expressed in the works of Chopin. This is the kind of influence that could have only received through intimate knowledge of the virtuoso works of Chopin through actual
3

See Watkins, Glenn, Soundings: Music in the Twentieth Century; Simon and Schuster, 1995. Also see Jackobson, Bernard, A Polish Renaissance, Phaidon Press, 1996. 4 Watkins, Glenn (1994, p. 618). 5 During the turbulent years of WWII, Lutoslawski was extensively active as a pianist. His virtuoso technique is evident, for instance, in Two Studies for Piano, the first of which is modeled closely after Chopins Etudes, and which were written to be performed by the composer.

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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

performance. Not only Lutoslawski Two Studies (1941) modeled after those of Chopin, nods affirmatively, but also a study of the symphony itself provides of with considerable proof for this thesis. Specifically, the melodic writing of the symphony and the harmonic relationship between the melodic lines and harmonic strata resemble highly chromatic passages in the works of Chopin, such as the middle section of the Etude in F, Op. 10, No. 8. In this case, highly complex chromatic runs could be seen as constructed by an ingenious utilization of non-harmonic tones to decorate simple triadic arpeggios. At times, an stepwise oscillation between two chords, such as chordal flourishment of the main harmony (e.g. F major and alternating with C) results in still another type of complex lines. Many such constructions can be also construed as compound lines that are so rightly associated with Chopins style, including oscillating runs. And there remains the extended use of pedal points in the Chopin Etudesand Preludes, Op. 28. Indeed, while Prelude in F#m provides a good case in point, Prelude in F major still gives an excellent example for (symmetric) bifurcation prelude All these techniques seem to be present in this symphony, but in personal way, unique to Lutoslawskis language. The extended use of pedal points, underlying chromatically changing harmonies is a bold example. More subtle is the construction of the aleatory runs in the b1 and b2 sections. Here, the method of organization of the cells, e.g. m2 sequences, with an emphasis on the prominent notes resembles a strikingly similar sequence in the B section of the Chopin Etude in F (Op. 10), which is itself highly chromatic. The type of asymmetrical divergence of the melodic lines, found in the beginning of the symphony (cl. solo) is very similar to the Chopins use of this technique
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Elements of Style in Lutoslawskis Symphony No. 4 Graduate Research Paper in Composition & Musicology

Author: Payman Akhlaghi UCLA, 2004

both in this Etude as well as his other works (e.g. Waltz No. 6 in Db, The Minute Waltz, section B). And there still is the type of melody used in the b1 and b2 that resembles the construction ornamented arpeggios (see Appx. 2, the analyzed score, Fig. 4 ff., the wind). For these and other reasons, many linear constructions in the score are analyzed by the use of such separation processes, to demonstrate the reason behind their accessibility. As such, the trumpet melody of Fig. 4 can be understood as a decorated Em, with an app. (C natural) and a chordal embellishment (D). And the horn 1 melodies at 5, can be seen as a Dm embellished with an A triad. (See Appx. 2 for the detailed analysis.) Alternatively, many of these constrictions could be seen as chained cells of different types, mostly derived from [o1], [013], [014], and [016] and their compound forms. The prevalence of m2 interval in this analysis is also consistent with Lutoslawski remarks in regards to a common point between himself and Bartk, i.e. the use of m2s and tritons6.

Appendix 1:

Schematic Representation of Lutoslawskis Symphony No. 4, by Payman Akhlaghi;

Appendix 2:

Score With Complete Analysis of the First Movement, by Payman Akhlaghi.

Watkins, Glenn (1995), p. 618.

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