THE CONFLUENCE OF JAZZ AND CLASSICAL MUSIC PROM 1950 TO 1970 by Clarence Joseph Stuessy, Jr. Submitted in Partial F:lfiliment of the Requirements for the Degree DOCTOR OF FSILOSOPSY Supervised by Dr. Robert Gauldin e g g Scheel of Music of The University of Rochester New York4556228 VITA Clarence Joseph Stuessy, Jr. was born on December 14, 1943, in Houston, Texas. He began piano lessons at the age of five, and during his youth he gave many radio and televi sion performances as well as frequent personal appearances throughout Texas. At the age of eleven he began playing in dance bands in the Houston area and for several years oper- ated his ow combo. He attended Waltrip High School in Houston and was uolder of many leedership positions and re- cipient of numerous scholastic awards. He was graduated as co-valedicterian in 1961. thodist Uni- Prom 1961 to 1965, he ettended Southe: versity in Dallas, Texas, from which he received a Bachelor of Husic degree (magna cum laude) in 1965. While at SMU, he appeared as piano soloist with the Dallas Symphony Orchestra the SHU Orchestra, and the SMU Mustang Band. His instruments im various high school and college ensembles included oboe, saxophone, timpani, and tuba, From 1965 to 1969, Stuessy atterded the Eastman School of Husic of the University of Rochester, from which he ~e- ceived his Master of Arts degree in 1967. He was @ graduate teaching assistant each of his four years at Eastman. anIn 1969, Stuessy accepted a position on the faculty of Texas Woman's University in Denton, Texas. As an Assistant Professor of Music, he te: composition, and piano and was primarily responsible for the inception of a compre~ hensive musicianship program within the Music Department. In 1973, Stuessy, Joined the faculty of Southern Meth- odist University as an Assistant Professor of Music. One year later he became chairman of the Music Arts and Skilis program (comprehensive musicianship), teaching courses in theory, composition, and rock. In 1976, he was named Associate Chairman of the SMU Division of Music. Stuessy's compositions have been played by the Dallas Symphony Orchestra, the Houston Symphony Orchestra, the Zastman- Rochester Symphony Orchestra, the SMU Orchestra, Clark Terry and the TWU Serenaders, and various soloists and ensemble groups. He has been the staff composer-erranger for the Dallas Cowboys Band since 1975; his numerous stage-band arrangements have been played by various university and high school organi- zations. He was piano soloist with the Housten Symphony in 1970 on his own Plano Concerto, and his Polysyntheticisms for Orchestra wes premiered in March, 1974 at the Music Educators National Conference in Anehein, Californie. Stuessy 1s married to the former Carolyn Ruth Dolbee of Fort Worth, Texas; the Stuessy's have a seven-year old daughter, Debra Jo, and a two-year old son, Kevin Lee. aadPREFACE The incorporation of popular elements into "classical"! musical works is nothing new. Popular and folk elements have been an integral part of classical music for centuries, for example: the late thirteenth-century motet, the cantus firmus Masses (and those based on secular tunes such as L'homme armé), the quodlibet, the dance suite, the Landler movements of Haydn and others, the "Hungarian" movements of Haydn, Mozart, and Beethoven, and much of the music of Liszt, Chopin, Brahms, Dvo¥&k, and Tchaikovsky. foe In the twentieth century, however, there appeared a new idiom within the large genre of popular music: Jazz. This new style, with its rhythmic vitality and its spiritual freshness has enchanted many twentieth-century composers, The list of those who have attempted varying degrees of fu- sion between Jazz and classical music is quite impressive. It includes Milhaud, Honegger, Ravel, Krenek, Hindemith, Stravinsky, Gershwin, Copland, Gould, Bernstein, Schuller, Babbitt, and many others. Curiously, no published work makes a comprehensive survey, musicological or analytical, of this line of devel- Ihe problem of terminology will be discussed later in this Preface. ivopment in twentieth-century music. Various books discuss, in a lerger context, various of these works and even make a few generalities about "symphonic jazz." (Most books on twentieth-century music and American music discuss this phe- nomenon, especially austin's Music in the Twentieth Century and Chase's America's Music.)* Of course, there are studies on most of the individual composers mentioned above. 2 only source known to the author which deals with this area in a comprehensive and detailed way is an unpublished doc- toral dissertation by David Ross Baskerville (University of California at Los angeles, 1965). His dissertation, Jazz Influences in art Music to Mid-Century.) is a fine survey of this subject with some analyses of works included. The analy- ses are brief and quite limited, but do illustrate over the course of the dissertation (over 500 pages), the most impor- tant materials borrowed from Jazz and their usage by the most important composers. After a comparative lull in Jazz-influenced classical music in the 1930's and 1940's, a new impetus has been felt in the 1950's and 1960's. A marked mge in jazz styles in the mid-1940's is primarily responsible for this new impetus. Reacting to the new jazz styles of the late 1940's and 1950's, including bop, cool, modern, and progressive jazz, composers 2yslliam austin, Mugie in the 20th Century (New York: WW; Norton and Go., 1966), pp. 181, 192, 216, and diecus- sions of individual composers. Gilbert Chase, Music (2nd. ed.; New Zork: McGraw-Hill, 1966), pp. Br609 and discussions of individual composers. david zoss Baskerville, Jezz Influence on Art Yusic Wid-Gentury (ann Michigan: University Microfilms, I University of California, Los Angeles, Ph.D. dissertation, vsuch as Schuller, Barber, Austin, Babbitt, Gould, Dello Joto, Creston, Henze, Wolpe, and many others have incorporated Jazz into their compositions. Jazz musicians such as Dave Brubeck, Duke Ellington, John Lewis, Lalo Schifrin, Don Ellis, Jimmy Guiffre, Peter Nero, Stan Getz, and others have composed works, frequently on a large scale, combining their Jazz vocabulary with classical forms, concepts, and techniques. The world of “rock" music also has attempted a more serious form of expres~ sion; some writers believe certain songs of the Beatles, for example, may find their place in the tradition of art song. The sounds of electronic music also have made their way into the arsenal of the rock groups. It 1s this area of music, characterized by a flowing together of influences from both the "pop" side and the "classical" side, which is the subject of this study. In any discussion of this hybrid area, terminology is sure to be a problem. On one side there are teras such as "popular," "pop,*” "jazz," "light," "entertainment," and various others; on the other side are "serious," "clas- sical," "concert," "art," "long-hair," "high-brow," etc. "Pop" or "popular" seem to be the most appropriate as the categories within the genre which are most relevant to this study. "Pop" is preferred to "popular" because the latter may falsely imply that classical music 1s unpopular, and that all pop music 4s popular. A case of utter frustration leads to the choice of "classical" as a generic term. Ail of the usual terms seem equally valid and invalid; thus, the term used by Gunther Schuller in his writings on the classical"--has been chose! er Schuller vihas written much and thought deeply on the problems of pop- classical fusion, and his use of the term seems ample pre- cedence for its use in the present stuiy. The author suggests that this flowing together of in- fluences from pop and classical be referred to as "conflu- ent music." It may be suggested that Schuller's term "third stream music" should suffice here, However, Schuller defines “third stream music" in a much more restrictive way than is often assumed. To Schuller, "third stream music" is a "new genre that attempts to fuse the improvisational spontaneity and rhythmic vitelity of Jazz with the compositional proce- dures and techniques acquired in Western music during 700 years ef musical development." Schuller considers impro- visation to be an essential characteristic of jazz; by "\mprovisational spontaneity," Schuller means real improvi- sation, not merely “written music which sounds as though it might have been improvised." But this would exclude a sig- nificant number of works which contain no improvisation but do draw upon rhythmic elements of jazz (part of Schuller's definition), jazz timbres, as well as melodic, harmonic, and tonal elements of jazz (not a part of Schuller's definition). Purthermore, Schuller restricts "third stream music" to a fusion of J classical music, This would exclude music which borrows from rock music and other pop styles which are not usually considered to te jazz. Schwller's term is so + Gunther Schuller, #!Third Stream! Redefined," The Saturday Review, XLIV (May 15, 1961), 54-55, vitrestrictive that Ravel's Piano Concerto (and probably even Gershwin's Rhapsody in Blue) would not qualify as "third stream." Both works, however, would fall under the term "confluent music." The author feels that to use "third stream" in the much broader sense tc be encountered in this study would be to corrupt Schuller's term. It 1s hoped that this stuiy will be a valuable addi- tion to the realm of musical scholarship. As Schuller has said, «+. the interacting influences of jazz and clas- Sical music upon each cther will in time produce--as a matter of fact already have produced--a great deal of stimulating music, a music, incidentally, which (for those who value this sort of thing) 1s or will be peculiar and special to American life anda re- flection of our culture for better or worse. The author wishes to acknowledge the prompt, effi- ecient, and courteous cooperation of the Canadian Music Centre of Toronto, Canada, and its librarian, B. A. Mutsaers, who responded to the author's inquiry by forwarding a parcel of scores, a tape recording, and considerable information relat- ing to the work of Norman Symonds and other Canadian com- posers active in the area of confluent music. Appreciation 1s also expressed to the staff of the Library of Congress, Music Division, and to that of ths New York Public Library Music Department for the interest and cooperation shown upon the autnor's researci trips to Washington, D. C. and New Yorke city, tively. Scunther Schuller, "We Start With Music," Newstett. of the American Symphony Orchestra League, X (No. 3-4, 1959), 5 vidThe author wishes to express his sincere appreciation to Dr. Robert Gauldin, whose patient and thoughtful guidance contributed greatly to the completion of the work. Thanks go, too, to my parents and family whose interest and encour- agement have helped me to persevere in this project, and especially to ay wife, Carolyn, to whom fell the task of typing this @issertation. ixABSTRACT Confluent music is music in which there 1s a flowing together of musical elements normally associated with the classical tradition end those normally associated with the Pop music tradition. This study concentrates on confluent works which illustrate the combination of jazz and classical music, with occasional references to works which combine rock and classical music. There are two basic approaches to confluent composition. Tne first and zost common approach seeks to isolate end ex- tract specific elements of jazz and classical styles and then fuse these into anew style. This type of confluence results in an "integrated" confiuent work. Some composers believe, however, that the contributory styles of Jazz and classical music should be juxtaposed, with each style retaining its distinct identity. This approach to confluence results in an "adjacent" confluent work. There are two basic methods of achieving this adjacent confluent style. The first, the edjecent-verticel style, consists of the jazz style and clas- sical style sounding simultaneously, The second, the adja- cent-horizontal style, consists of the two basic musical styles appearing alternately. Ten confluent works by eight classical composers are analyzed in some detail in an attempt to gain insight into the musical structures of the works. These are analyzed for xtheir structural organization, their harmonic-tonal content, their rhythmic and melodic styles, and any timbral or tex- tural elements which create confluence. Included are three works by Gunther Schuller, and one each by Rolf Liebermann, Meyer Kupferman, Leonard Bernstein, Morton Gould, Milton Babbitt, Larry Austin, and Werner Helder. Similarly, five works by five composers normally associated with the jazz world are analyzed in detail. Hepresented are Lalo Schifrin, Dave Erubeck, John Lewis, Don Ellis, and André Hodeir. Some fifty additional confluent works, representing 6 cross-section of classical and jazz composers, are surveyed in lesser detail. From the analytical studies and the survey, several conclusions may be drawn regarding confluent composi- tion since 1950. First, confluent works since 1950 tend to emphasize improvisation as an integral factor. Furthermore, jazz composers are more likely to include improvisation in their confluent works then are classical composers. Second, seriel techniques appear in a significant number of confluent works since 1950. This trend 1s more pronounced in works of classical composers than those of jezz composers. Third, obvious Jazz clichés such as secondary rag, glissandi, and tremolos have all but disappeared in post-1950 confluent works. Fourth, rhythmic elements continue to be a central concern to the confluent composer. However, elements such as the walking bass, triplet backgrounds, and swing-style trap sets have been added to the usual syncopatiors and displaced accents of earlier confluent music. Fifth, recent confluent composers place more emphasis on the interpretation cf the xtmusical material to achieve a confluent result. Sixth, more jazz composers are entering the area of confluence. This continues a trend which began in the 1940's. Preceding the Bibliography, there is a brief overview of the history of confluence in this century, followed by some observations relevant to the evaluation of confluent mus*c. ‘The Appendices include a discography, a partial list of con- fluent works, and biographical notes on the composers repre- sented in the survey of confluent works.PREFACE 6 te et ett te ee te eet ee te ee AF LIST OF TABLES 6 ee ee ee ee ee UICC GO GoodgGpdddqg0¢009 5 16 CHAPTER I. INTRODUCTION. ©... ee eee ee eee weer 8 Rationale for the Selection of works... ... 4 Definitions and Explenations ... +... ++ ee 6 II. SURVEY OF CONFLUENT WORKS BEFORE 1950... +. 11 Survey of Composers and Worts ...- +--+. 12 Elements of Confluence Before 1950....... 40 III. THE CLASSICAL COMPOSER'S USE OF JAZZ. .....-. 88 Biographical Sketches . 2... eee eee es 89 Larry Austin. © 2 ee eee eee eee ee 89 Milton Babbitt... 6... eee oe 90 Leonard Bernstein Bot eee eee acca eae cect ceccecsecse aesaccaesaesete 93 Wemer Helder -.- ee ee ee ee ee ee Meyer Kupferman ... . Bo0ddGG0n5 Rolf Lievermann ..... « eee ee 95 Gunther Schuller... 1... seen ee 9 analytical Studies... 6. ee eee ee eee 98 Gunther Schuller: "Little Blue Devil" . . 98 114 127 136 Larry austin: ey Milton Babbitt: All Set. ... 22.2. 166 Leonard Bernstein: Prelude, Fusue and Riffs . 162 Morton Gould: Derivations for Clerinet epivnandee ey = | 205 Werner Heider: Divertimento ....... 238 AudMeyer Kupferman: Rolf Liebermann: and Iv. THE JAZZ MUSICIAN'S USE OF Biographical Sketches . Dave Brubeck Don Ellis . andré Hodeir John Lewis . Lale Schifrin analytical Studies... Dave Brubeck: Don Ellis: improvisational André Hodeir: Around the Blues .. . . Sonata on Jazz Elements Concerto for Jazz Band Symphony Orchestra CLASSICAL CONCEPTS Suite Ho! John Lewis: Sketch for Double Quartet . Lalo Schifrin: Jazz Plano Sonata. .... V. SURVEY OF OTHER CONFLUENT WORKS FROM 1950-1970 Other Confluent Works by Represented in Chapter Other Confluent Works by Represented in Chapter Confluent Works by Other Confluent Works by Other VI. CONCLUSIONS BASED UPON THE aND SURVEY... 2. e Categories of Confluence The Classical Composer's Composer's Approach to Composers TED Composers TVA eee Classical Composers Jazz Composers . . ANALYTICAL STUDIES and the Jazz” Confluence . . . Pre~1950 and Post-1950 Confluence... . The Past, Present, and Future of Confiuent Music . . ‘The Problem cf Evaius BEBLIOGHAPHC ee) ee APPENDIX A: A PARTIAL LIST OF CONFLUENT WORKS COMPOSED g Confluent Music BETWEEN 1950 AND 1970. .-...... APPENDIX B: ADDITIONAL BIOGRAPHICAL SKETCHES . . . APPENDIX C: DISCOGRAP! xiv 252 275 289 290 290 291 292 293 29% 296 296 at 333 38 356 386 396 408 420 bs 460 463 472 486 503LIST OF TABLES Table 1, Categories of Confluence... . 2... 2200s 2s fons tlousl symbole! eee 3+ Summary of Schuller's Confluent Style ...... 4. Row Usage in Improvisations, third movement, measure 282 to end (Austin) ..- 1. ee eee Combinatorial Hows Used in All Set (Babbitt)... Complete Statements of Rows in all Set... ... 7. Hexachord Usage in All Set... . 1... wwe 8. Summary of Tempi, Meters, and Msembles for Various Movements of Concerto for Jazz Band and Symphony Orchestra (Liebermann) ......- 9. Directions for Improvisation in Elementals CBribeci) ete ee 10, Comparison of Row Usage and Blues Progression, Improvisational Suite No. 1 (Ellis) ..... 11. Primary Harmonic Progressions Used for Choruses in Fitna eGo oO Oo be Gog go God 12. Secondary Earnonic Progressions Used for Choruses An Sketch (Lewis) 2. ee eee eee ee 13. Improvisational Formats in Jazz 2isno donate (Schifrin)... ee eee oe 14. Categories of Confluent Music (1950-1970) ... 15. Evaluation of Confluent Composers (1950-1970) . 160 167 169 173 275 354 379 bud 450LIST OF FIGURES Pigure 1. Formal Graph of "Little Blue Devil" (Schuller) . . 2. ‘Tonal Scheme of "Little Blue Devil" (Schuller) . . 3. Formal Graph of Conversations (Schuller)... .. 4, Pormal Graph of Abstraction (Schuller)... . . 5. Detailed Graph of Intensity Curve for Avstraction (Schuller)... 2... ----- 6. Formal Graph of Improviset: » first movement (austin) 2. ee eee eee ee ee 7. Formal Graph of iaprovisations, second movement (Austin) . . eee eee es 8. Layered Construction of Improvisations, third movement, first 119 measures (Austin) ..... 9. Vertical Relationships at and preceding Measure 228, third movenent, inprorisations | (austin)... ee cee eee 10. Formal Graph of thire movement (austin) erste eerie et one 11. Formal Graph of ALL Set (Babbitt) ....... 12. Formal Graph of "Prelude" from Prelude, Fugue and Riffs (Bernstein) Ts... 1 eee. 13. Formal Graph of "Fugue" from Prelude, Eugue and Biffs (Bernstein)... 1... 16s 14. Formal Graph of "Riffs" from Prelude. Eusue and Eiffs (Bernstein) eee. 15. Tonal Scheme of "Fugue" from B Prelude, Fuzue and Riffs (Bernstein) . . cei ee 16. Modulatory Progression to E> in "Riffs" fren Prelude, Fugue and Riffs (Bernstein) .. . xvi 99 113 115 128 135 2 15 148 150 152 177 183 186 189 195 19817. Formal Graph of "Warmup" from Rexivations (Gould) . 2. 1 6 eee eee ee ee 206 18. Formal Graph of "Contrapuntal Blues" from Derivations (Gould) .. 2 1 eee ee ee ee ee 209 19. Formal Graph of "Rag™ from Derivations (Gould) . . . 213 20. Formal Graph of "Ride-Out" from Derivations (Gould) 2. eee ee ee ee ee tee ee 216 21. Examples of Functional and Non-functional Progressions in "Warmup" from Derivations (Gould) 2 ee ee ee ee ee ee Beh 22. Functional Frogression in "Bas" from Derivations (could). ee ee 226 23. Functional Progression of Measures 92-159 of “Ride-Out" from Derivations (Gould) ....... 228 24, Formal Graph of Divertimento (Helder) ....... 239 25. Functional Progressions in Improvisatory Sections of Divertimento (Heider) ....... . 268 26. Formal Graph of Sonata on Jazz Elements, first movezent (Kupferman) . . 253 2?. Formal Graph of Sonata on Jazz Shenents. second movement (Kupferman) . . see ee 260 28. ermal Graph of Sonata on Jazz Ehanania, third movement (Kupferman) .. . tee eee 29. Detailed Graphic Analysis of Sonata on wane Elements, third movement (Kupferman). ..... + 273 30. Formal Graph (with motives identified) of "Introduction" from Concerto for Jazz Band and Symphony Orchestra (Liebermann) ...... . 277 31. Characteristic Permutations of Zows in Concerto for Jazz Band and Symphony Orchestra (Liebermann). 281 32. Formal Graph of Elenentals (Brubeck)... ..... 297 33- Polymetric Structure of Theme c1, Hhenentals (Brubeck) 2.2... eee eee . ota 34. Polymetric Structure at [48] Hlenentals (Brubeck) 2... ee eee eee eee 522 xvi35. Polynetric St: (Brubeck)... peceneiraes tee | 310 36. Polymetric Structure at Elenentels Braecic) eat fee eater ge ctel rere ee ete 31) 37. Meter Changes after » Ehementals (Brubeck) . . 313 8. Meter Change at Eementals (Brubeck) .... 31% 39. Formal Graph of Tuppevisationa, & No. 2 (Ellis) ee ee ee eee ee 322 40. Formal Graph of Around the Blues (Heodeir) .... + 334 41. Formal Graph of Sketch for Rouble Suartet (Lewis) se eee eee wee eee ee 3K9 42. Formal Graph of Jazz Elena Sonata, first movement (Schifrin)... Seeeseaseaseaeeaessaeaee 43. Formal Graph of Jazz Piano Sonata, second movement (Schifrin) ..-- +++ +++ + 364 44, Formal Graph of the Theze from the third movement, Jazz Pleno Sonata (Schifrin) ..... 367 Functional Progressions in Variations I Through IX, third movement, Jazz Plano Sonata (Schifria) . 2... ee ee ee ee ee ee 8M 46, Polymetric Section of Variation VIII, third movement, Jazz Plano Sonate (Schifrin) ..... 381 47. Blues Progression Used in Osymetrios (Nodetr) . . . 400 48. Metric Interrelationships at [B] in Csymetrios (Sodeir) ... 2. ee ee ee ee ee BOL xviilCHAPTER I INTRODUCTION This study begins with a survey of confluent works composed prior to 1950. The survey, contained in Chapter II, is in two parts, the first being a survey of the composers and literature more cr less in chronological order. The seconé part 1s a summary of the elements of the two styles upon which the composers drew to create their confluent works. Chapters III and IV form the core of this study. Chapter III analyzes ten works by elght composers who are primarily associated with the classical tradition. Chapter IV analyzes five works by five compesers who are primarily associated with the area of jazz. Zach of these chapters begins with brief biographical information on the composers represented in that chapter. The analytical studies of the various works follow. Zecause three works by Gunther Schuller are analyzed, a brief summary of his confluent style is included prior to moving on to the following analytical studies. Each of the analytical studies in Chapters III and Iv follow a specific internal organization. Hach study begins with a discussion of formal aspects of the work, followed by @ discussion of pitch material, The latter includes, asappropriate, topics such as serial techniques, typical sonor- ities, functionalism, tonality, etc. Other parameters are then discussed in order of their importance to the specific work. Normally, rhythmic and metric aspects are discussed next, followed by observations regarding melody and counter- Point, improvisational organization (if any), end miscel- laneous confluent elements (e.g., inclusion of specific Jazz idioms not mentioned earlier). Each study ends with a brief summary of the specific elements of jazz and classical styles which are combined and how they are used to create the style of confluence achieved in that particular work. The one ex- ception to this procedure is the study of Babbitt's All Set, in which a discussion of serial techniques precedes the dis- cussion of formal aspects because the latter must be de- scribed in terms of the rows and their usage. In multi-movement works the normal procedure 1s simi- lar to that outlined above. First, the form of each movement is discussed; the tonal organization is discussed next, teuch- ing each movement as appropriate. The other parameters are then covered, drawing upon each movement, as appropriate, to illustrate the general observations. The single exception to this procedure is the study of Kupferman's Sonate on Jazz Elements. Here, each movement seems to be a separate entity, differing in significant stylistic elements from the other movements. Therefore, each movement is discussed in all para- meters before moving on to the following movement. Chapter V is a survey of other selected confluent worksw composed between 1950 and 1970. Fifteen of the composers represented in this chapter are generally considered clas- sical and fifteen are essentially jazz musiciens. The first section of the survey describes other confluent works by some of the composers analyzed in Chapter ilI; the second section describes additional confluent works by the composers anelyzed in Chapter IV. The third section describes selected confluent works by other classical composers and the final section describes selected confluent works by other jazz com= posers. Background information on the composers named in this chapter may be found in Appendix B, Chapter VI sets forth certain conclusions based upon the information gathered in the analytical studies (Chapters III and IV) and the survey (Chapter V). First, several cat- egories are suggested to subdivide the general heading of confluence. This is followed by a comparison between the ap- proaches to confluence taken by classical composers and jazz composers. Next, a comparison is made between the confluent works composed prior to 1950 as described in Chapter Ii and those written since 1950. The penultimate section summarizes the history of con- fluent music in this century, briefly describes very récent and current happenings, and suggests possible directions that confluent music may take in the future. In 2 closing section, the author examines the problem of evaluating confluent music and suggests a way in which the observer should a: roach this hybrid art form.