Citation
American literature as opera

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Title:
American literature as opera
Creator:
Moorhead, Jack Phillip, 1936-
Publication Date:
Language:
English
Physical Description:
viii, 172 leaves : ill. ; 28 cm.

Subjects

Subjects / Keywords:
Arias ( jstor )
Classical Greek drama ( jstor )
Death ( jstor )
Librettists ( jstor )
Librettos ( jstor )
Literary characters ( jstor )
Novels ( jstor )
Opera ( jstor )
Setting ( jstor )
Theater ( jstor )
American literature -- History and criticism -- 19th century ( lcsh )
Libretto ( lcsh )
Music and literature ( lcsh )
Operas -- Stories, plots, etc ( lcsh )
Genre:
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

Notes

Thesis:
Thesis--University of Florida.
Bibliography:
Includes bibliographical references (leaves 163-171).
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Jack Phillip Moorhead.

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University of Florida
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University of Florida
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Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
023093230 ( ALEPH )
AAK5593 ( NOTIS )
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AMEHRCAN LTTIKRATURE


A S OPERA


JACK PHILLIP MOORHEAD










A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE
DEGREE OF DOCTOR OF PHILOSOPHY

UNIVERSITY OF FLORIDA

1979







































For Sondra,


Stephanie


and Kathleen





































"Every
theory


high
that


accurately
we are the


struck
irresp


demolishes


onsible


puppets


of fate


or chance.


Auden
















TABLE


OF CONTENTS


I 'If,1-


ABSTR AC/. .

INTRODUCTION . . .

I\lctes 9 p p p 4 4 p a


CHAPTER


ONE SETTING:


LOCALIZATION


Stage


Scenery.


II Dramatic


Present tion


Notes


CHAPTER


TWO SETTING:


OTHER


FUNCTIONS.


Settings Whi
Character


II Symbol,


ch Reinf


force


the Mo


* p a p p .

* p 4 p p p S p a


Tableau.


Notes.


CHAPTER


THREE CHARACTERIZATION:


OBSERVABLE TRAITS


Actions.


II Physical

III Physical


TraiOts .

Ob Ject . .


Notes.


CHAPTER


FOUR


CHARACTERIZATION:


HIDDEN


TRAITS.


I Aria


9-
















Page


IV "Ensemble of Perplexity"


Notes.


CI[APTE F'IVi P IOT


I Structure


* 9 5 9 S S S

. S S a S S S S


II Content


Notes .


CONCLUSION. .


Notes. .

BIBLIOGRAPHY .

BIOGRAPHICAL SKETCH . .











Abstract of Dissertation Presented to the Graduate


Council


of the University of Florida in Partial


Fulfillment of


the Requirements for the


Degree of Doctor of Philosophy

AMERICAN LITERATURE AS OPERA

Jack Phillip Moorhead

June 1979


Chairman:


Dr. Gordon E.


Bigelow


Major Department:


English


American literature


as source material for operatic


has attracted librettists since 1855,


when J. H.


librettos


Wainwright adapted


Washington Irving's "Rip Van Wink

American authors whose settings,


Other nineteenth-century


characters, and plots have inspired


numerous English language librettos include:


Hawthorne, Melville,


Cable,


Hale,


Longfellow,


Twain,


and Henry James.


Setting,


character-


ization,


and plot,


all greatly simplified in the adaptive process,


provide a common ground for the comparison of


the original fictional


source and the adapted libretto.


The functions of


in fiction:


setting in librettos parallel


1.) to localize action and character,


some mood or emotion of


a character, and


those of setting

2.) to reinforce


to symbolize important


associations.


The fictional methods of presenting these three


elements, however,


differ from those used in opera.


In fiction,


description,


dialogue,


and the interior monologue of


a character can


present setting.


In opera,


stage scenery and dramatic presentation















In characterization,


both fiction and opera present the


observable and the hidden characteristics of individuals.


Actions,


personal


objects,


and clothing characterize observable traits in


both fiction and opera.


The interior monologue in fiction directly


reveals the inner nature of


the character to


the reader.


The aria


in opera,


like


the dramatic soliloquy in drama,


also reveals the


inner thoughts and emotions of


a character.


In opera,


the additional


resource of


music offers a device for characterization unavailable to


the novelist or the short story writer.


Operatic plots,


in spite of the seeming diversity among them,


have a universal structure and a basic content.


Created to accom-


modate both dramatic continuity and musical development,


structure alternates dynamic mome

periods of lyric introspection.


this operatic


dramatic action with static


Disguised by various approaches to


opera,


e.g.


the "continuous opera" of


the nineteenth century and


the "recitative opera" of the tv

inherent in operatic dramaturgy.


ientieth century, thi

A strong emotional


s structure is

content has


traditionally provided the motivation and the dramatic interest in

operatic plots.


The adaptation of


the works of the various American authors


mentioned above has produced a paradox.


In adapting any


4,, D,,t4 L 9.I* a. t b 4 a.4-. a


nnr-',% '


literary

-P -. -, 1 %














for adaptation.


IHoweve r


these works have not resulted in successful


operatic


librettos.


By contrast,


the complex,


but highly dramatic,


forms of Melville and James and the numerous settings in


a novel like


The Wings of the Dove have provided materials compatible with the


simple,


emotionally charged nature of


opera.
















INTRODUCTION


In the 1580's,


the Florentine


camerata


, a group


of Italian


composers,


scholars


and cultivated


amateurs


of art,


regularly


to plan


a revival


of ancient


Greek


drama.


The camerata


knew


that


both


Greek


comedy


tragedy


had been musical


productions,


although


they


no access


the nature


of the music.


Their


attempts


to recreate


Greek


drama


combining


dramatic


action


with


musical


declamation2


produced


the first


works


a new


art form,


opera.


Striving


to their


to create


understanding


new


dramas


of the Greek


as accurately


model,


as possible


the librettists


according


of these


early


operas


based


their plots


on mythology.


Such


titles


as Peri


Dafne


1597)


Caccini


s Euridi


1600)


and Monteverdi


s Orfeo


(1607)


are representative


a number


early


Italian music


dramas


mythological


sources.


Francesco


Algarotti,


one of the most


influential


writers


on opera,


defended


mythology


as one of the best


possible


subj


ects


for operatic


treatment.


Mytholo


ical


subjects


provided


two advantages:


motivation


for elaborate


stage


effec


ts through machinery


elevation


of everything


above


the human


level,


making


"the


singing


seem


to be the


natural


language


of the character.


The treatment


mythologi


material


reached


its greatest


heights


in the


psychological


music


dramas


nC P o 'lnrd


Woe nor


Sn flhe t ni no.nnth


npnt.iirv


Patri ak


Smi th


in The


.













opened up the world of wh

Wagnr' s dramatization of


und Isolde,


at has come


to be called the subconscious."4


man's inner nature is developed in


which with a minimum of


Tristan


physical action achieves its


greatest


i1mpanl t


through emotional and psychological


suggestion.


Literature has provided another rich source for tlhe

Plots for many operas have been adapted from works of su


librettist.


ch authors as


Shakespeare,


Beaumarchais, Dumas,


Prosper Merimee,


Goethe, Hawthorne,


Melville,


Henry James,


and Steinbeck.


From


among this great variety


of subjects,


the librettist must decide what is suitable for operatic


adaptation.


Christoph Martin Wieland,


author of


the Romantic epic


Oberon and a contemporary of Algarotti,


sought a


"beautiful simplicity"


in both the presentation of


plot and the depiction of


character.


Plot


incidents should be restricted in number,


presented "more in view of


and characters should be


their feelings and emotions than with regard


to their external actions."


These criteria of


simplicity have been


expressed in various ways by other writers and have retained their validity.

The subtleties of Shakespeare's Hamlet may have defied the simplifi-


cation necessary for successful operatic treatment,

materials as Henry James's The Wings of the Dove, a


but such unlikely


novel of great


breadth and complexity,


and Anton Chekov's The


Sea Gull,


a drama


of psychological and philosophical subtleties, have both been

successfully adapted for the operatic stage."6















operatic


librettists


composers.


Earle


Johnson


in his exten-


sive


examine ti on


operas


based


on American


subjects


writes


that


the American


whose


experience


earnestness


in general


has not been


"has preyed


market


on the minds


a commensurate


many


talent


Johnson


lists


fifty-five


operas


both


English


and in foreign


languages


whose


stories


have


been


based


on literary


works


American


authors.


However


Johnson'


list


not exhaustive.


Four


operas


composed


prior


to 1964


omitted


from


Johnson'


list


and si


operas


composed


after


1964


may now


be added


update


his list


have


narrowed


consideration


of librettos


from


these


those 1


based


on nineteenth-century


American


literature


and 2


) written


in English.


A thorough


canvass


turned


sixteen


librettos


which


meet


these


criteria.


These


librettos


span


time


period


from


1976


when


Washington Square


the most


recent


opera


libretto


ased


on an


American


literary


source


, was


written


and performed.


In this list


libretti


' names


appear


first


and the


composers


' names


appear


parentheses.


Copyright


dates


of the


oper


are in parentheses


other


dates


are for first


performances


except


as indi


Geor


ge Washington


Cable


Keary
revised


Douglas


Craig


and Andrew


Page


Koanga
(l02';


Grandissimes)


TrOi


1Q7/ '


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9.


piQ ^ 1 f


d rH-'^y;


r













Nathaniel


Hawthorne


Charles
(compose


Carlson


Hester;


The Scarlet


Letter


r-libretti


orge
alter


Richard
(Howard


Parsons
Damrosc
Stokes
Hanson)


Lathr


The Scarlet


Letter


1896


Merry Mount


Merry


(The


Mount)


Maypole
1933)


Washington


Irving


H. Wainwri


orge


Fred


erick


Bristow)


-Rip V
(1855


Winki


MacK


Van Winkle


(Reginald


Koven)


191


Stephen


Vincent


Benet


The Headl


ess


Horseman


or The


eepy


(Douglas


Henry


Hollow


Moore)


James


Myfanwy


Piper


Turn


of the Screw


(1955
Owen


Wingrave


(Benjamin


Britten


(1971)


Ethan


Ayer


(Douglas
Kenward
(Thomas


Moore


Elms


Pasatieri)


The Wings
(1961)
Washington
(1976)


of the Dove

Square


Henry


Wadsworth


Longf


ellow


Charles F.
(composer-


Carlson


libre


ttist)


The Courtship
Standish (


of Miles
n.d.)


Herman Melville


M. Forster


(Benjamin


and Eric


Crozier


Britten)


Billy
(1951


Budd


rev


. 1961


Ernst
Compp


Krenek


oser


-libretti


The Bell Tower


compose


1955


Mark Twain















been


devoted


to the libretto.


The most


complete


study


of the


opera


libretto


to date


The Tenth Muse:


A Historical


Study


of the Opera


Libretto


Patrick


Smith


attempts


establish


the libretto


a separate


literary


genre


Joseph


Kerman


in Opera


as Drama


suggests


that


the true


dramatist


an opera


is not the libretti


but the


composer


, through


whose


music


the drama


inherent


the libretto


clarified


and refined.


a recent


book


The Ma


of Opera,


Merrill


Knapp


writes


that


opera


has two dramatist


libretti


and the


composer.


Both


have


defined


responsibilities,


each


completing


tasks


necessary


to the creation


an opera.


Throughout


the history


opera


the relative


merits


of the libretto


and of the music


have


been


debate


Composers


and librettists


have


advocated

categories


various

reduce


approaches


to the creation


the complexities


these


opera.


various


While


artistic


historical

positions,


the development


creation.


opera


The neoclassic


suggested


theory


three


opera


basic


stresses


approaches


to its


the dominance


of the


libretto


over


music.


Beginning


with


the camerata,


approach


pre-


dominated


throughout


the seventeenth


and eighteenth


centuries


, finding


support


in writer


from


Corneille


to Rousseau


the Encyclopedi


sts.


Christoph


Gluck


sought


to restrict


music


to its true


function,


namely


serve


the poetry


by means


the expression.


The neoclassi


thpnrn


Cniinn


n;-f I


n* 1 1 *r I +
nl n> +- I -ic .rv,4 + -4 nc^rc'^


rnir^-- nsl


c'innrvr+i


/-^ + ITmm yrfi f^1 /^















The Romantic


theory


opera,


which


emerged


in the late


eighteenth


century


and flourished


in the first


half


of the nineteenth


century,


celebrated


music


over


the word.


Mozart,


"a born


melodramaturgi


believed


"poetry


must


be the obedient


daughter


of music.


Stendhal


carried


ition


to the extreme


in advocacy


of dispensing


nearly


with


the libretto


"Words


are fundamentally


unimportant


relation


to music.


George


Bernard


Shaw


believed


the words


opera


could


reduced


"roulade


vocalization"


or eliminated


completely


since


who ranke


ling "

d music


is the real


as the highest


subject of the


of the arts


drama.


Arthur


bestows


Schopenhauer,


greatest


praise


on the music


of Rossini


which


achieves


its full


"effect


when


rendered


instrument


alone.


Through


operatic


reforms


Richard


Wagner


sought


to unify


these


two diverse


approaches


The dramatic


content


and the music


cal form


should


be mutually


complementary.


a Gesamtkunstwerk


"the content


must,


accordingly,


be closely


linked


to the expression,


while


expression


mus


continuously


evoke


the content


in its full


scope.


that


which


is not present


to the


senses


is grasped


y thoughts


alone


while


feeling


comprehends


only


that


which


brought


before


Friedrich


Niet


zsche


in hi


youth


an admirer


of Wagner,


found


near-perfect


fusion


of music


and drama


in Tristan


und Isolde


and thought


Wagner


the only


arti


capable


kJ U


of divine


rebirth


to Greek


tragedy.


&











In the drama,


we see Tristan


Isolde


as passionate


lovers


"Thus


does


the Appollonian


wrest


us from


the Dionysian


universality


and fill


us with


rapture


for individual


; to these


it rivets


our sympathetic


(Niet sec


229).


Through


the union


of these


two principles,


universal


intel]


ectual


nature


myth


and a detached,


emotional


picture


of human


experience


complement


each


other.


The universal


language


".lus i


essentially


the representative


art for an Appollonian


substance" (


Niet


zsche


From


opera


s inception,


the relationship


between


the dramatic


the musical


demands


opera


presented


the basic


problem


of operatic


dramaturgy.


to advance


the dramatic


situation


at the


same


time


to allow


complete


musical


development


have


been


the perennial


questions


of libre


ttists


composers.


The structures


which


accommodate


both


these


requirements


are the traditional


operatic


forms


recitative


aria.


The recitative


advances


the dramatic


action


and the


aria


provides


lyric


expression.


In his book


Opera,


Charles


Hamm


suggests


these


basic


operatic


techniques


underlie


all the various


forms


opera


the number


operas


of the ei


ghteenth


and nineteenth


centuries,


Cimarosa


II Matrimonio


Segreto


and Donizetti'


Lucia


di Lammermoor;


the nineteenth


century'


contribution


des Nibelungen


and Verdi


the continuous


s Otello;


opera


the modern


e.g. Wagner


recitative


s Der Ring

opera,


Britten'


Turn


of the Screw


and Krenek'


The Bell


Tower.


Because


of the fundamental


importance


of the structure


emotion"'














storytelling


devices


are also


used


writers


of narrative


fiction;


however


the techniques


used


in librettos


differ


from


those


used


fiction


to present


these


three


techniques.


In fiction,


setting


often


conveyed


through


passages


of description.


These


can be


large


blocks


of objective


description


as in the


opening


paragraphs


of Irving's


Rip Van


Winkle


or in Cable


s picture


a Loui


slana


swamp


in The


Grandi


ssimes.


The setting


in fiction


can


be refracted


through


the mind


a chara


cter


, presenting


a subjective


picture


the setting


colored


the character


s prejudi


ces


, e.g


. the


numerous


settings


perceived


through


the characters


are presented


i ctori ally


a Jamesian

through th


novel.


e stage


But settings


settings


in an opera


or dramatically


through


words


sung


a character


or b


the chorus.


opera,


setting


can often


suggest


the psycholo


ical


nature


a character with


the assi


stance


stage


machinery,


e.g. the increasing


distortion


the jungle


scenery


and the increasing


terror


of Brutus


Jones


in Louis


Gruenberg'


The Emperor


Jones


based


on the play


Eugene


O'Neill.


The production


opera


and the history


stage


machinery


have


been


closely


related.


In the development


of stage


machinery,


opera


played


a more


important


part


than


did drama.


Edward


Dent


writes


that


"all


the inventions


stage


engineers


and architects


of the seventeenth


century were


intended


opera.


use and


the development


mechanical


techniques


staging


operas


have


continued


throughout


new


I


___













production,


Rhinemaidens appeared to be swimming beneath the water.


In reality they were women propelled about

machines," flatbed carts each of which hel


the stage in "swimming


d an elongated basket-like


affair on a pole.


The women rested in


the baskets and made swimming


motions.1


Characterization complexities in opera are a luxury.


By comparison


with their


literary counterparts,


operatic characters are drawn with a


simple directness, making their natures clear and immediately recogniza-


ble.


In a novel,


characterization is expansive and creates people


"three-quarters hidden like an iceberg."19


In their


libretto Billy


Hudd,


on the other hand,


E. M.


Forster and Eric Crozier draw Claggart's


character r in broad,


clear strokes.


Claggart sings an aria in which he


directly reveals to the audience his evil nature.


In Melville,


Claggart


cannot be


so easily understood.


The observable aspects of Claggart, his


appearance and his actions,


reveal nothing of


substance.


"But for the


adequate comprehending of Claggart by a normal nature


these hints are


insufficient.


To pass from a normal nature to him one must cross


deadly space between.


this is best done by indirection."20


Forster claims that "it is the function of

hidden life at its source (Forster,


the novelist


p. 45).


'the


E. M.


to reveal


The novelist has


the freedom to enter the minds of his characters at will,


and the ability


to present their thoughts directly through the interior monologue. In















signatures,


and themes


can contribute


to characterization.


Stendhal


term


"dramatic


harmonization"


anticipatess


Wagner'


leitmotif


explains


this


one use of music


as a tool


of character


nation


"It is


rarer


art of


using


the instruments


voice


nuances


and overtones


emotion


which


the characters


themselves


would


never


dare


into


words


" (Stendhal,


in The E


sense


of Opera,


191-92)


In the finest


libr


ettos


, plot


centers


around


a single


dramatic


line.


Boito


s adaptation


of Shakespeare


s Othello


eliminates


subsidiary


characters


and events


to concentrate


on the interaction


Otello


, lago,


and Desdemona.


Otello's


increasing


rage


, lago


s treachery,


and Desdemona


s bewilderment


and fear


surrounding


the mystery


of the


handkerchief


explains


propel


"Because


the plot


to its final


of the emotional


weight


tragedy


of the music


As Lehman


and the time


consumes


in performan


there


generally


no need


to find


an engaging


complement


for the'basic


plot


The simplicity


of structure


operatic


plots


is accompanied


a highly


emotional


content.


Human


pass


ions


, e.g


love


its accompanying


emotions


of j


ealou


hatred,


have


been


at the root


of operatic


plots


from


s Euridi


to Mozart


s The Marriage


Figaro


to Verdi


s Otello


to Elmslie


Washington Square.


This di


ssertation


will


analyze


the adaptation


of six novels


seven


- ~-% -.-


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nn h"T


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F


_1- .-L _-- --















the new product,


settings,


the opera libretto.


characters,


The similarities between the


and actions written for the relative scope and


structural freedom of


narrative fiction and those which are adapted to the


structural


confines of


drama appear remotely related.


However,


continuous use of fictional source material as the basis for operatic


librettos does suggest a possible closer relationship.


Indeed,


Henry


James,


writing of


the principle of


scenario,


expressed his belief that the


two methods are similar.


working in


For James,


the same general way,


the scenario was the "key that,


fits the complicated chambers of both


the dramatic and the narrative lock.















Notes


Dougl as
of Opera, ed.
1964 p. 10.


ever


"Words
eisstel


nnd M


Greek


York


Drama,"
. Nor Lton


in The


Essence


and Company, Inc


"When


copo
seel


"Preface


that


Euridi


" in The E


essence


reproduce


SI


of Opera


song


. used


a kind


of harmony


which,


going


beyond


ordinary


speech,


remained


so far below


melody


song


that


cons


titut


an intermediate


form.


3Francesco


Algarotti


"Essay


on Opera


" in The Essence


of Opera,


/Patri


Librett


(New


Smith,
York:


The Tenth Muse:


A Hi


A. Knopf, 1970),7


storical


Study of


the Opera


273.


Chri


stoph Martin


Wieland,


Concerning


German


Opera


Few Relate


Subj


ects


The E


ssence


of 0


pera,


turn


6,,Al
Henry


but the


Score


James rarifi


" Newsweek


novel


into


(Oct


robust


ober


eater


1961)
takes


"To


some


doing


but Ethan


Merton
heiress


Ayer'


Densher


have


libre


succ


.as they


some


eeds.


scheme


their


The motives


Jamesian


eece


vapors


Milly


Kate
Theal


fanned


Croy


dying


so that


away


they


stand


out in sharp


focus.


Hubert


Saal,


"Chekov


from


the Heart,


" Newsweek,


March


, 1974),


5. In spite
dramaturgy,


distortions


Pasati


and his


and simplifications


librettist


the American


necessary


poet


ratic


Kenward


Elmslie


have turn


"the


opera


into


a spl


endid


success.


The libretti


Ross


brought

Earle
, Inc:.,


"the


sub t


H. Johnson
1964), p.


erranean


, Operas


Chekov


on American


surface


Subj


ects (New


York:


Coleman-


8
Copyright


performances,


dates


except


appear in
as indicate


parentheses


other


dates


are for first


Louisa


Alcott


Freer


, Eleanor


Everest


Little


Women


1934


Dnvi d


Rel a.qan


I














George Washington Cable


Delius,


Frederick


Koanga (The Grandissimes) (1935,


Rev.


1974)


James Fenimore Cooper


Adam, Adolphe


Alien,
Arditi
Davis,
Genee,
Halevy
Phelps


Paul Hastings
, Luigi


Leo Mohicans 18
The Last of the


La S


Mohicans 1916


1856


The Last of'


Franz


, Jacques


Planquette,


the Mohicans n.d.


Die Letzten Mohikaner
Jaguarita 1'Indienne


C.
Jean-Robert


The Last of


1878


The Spy


the Mohicans n.d.


Surcouf (The Pilot


1888


Villani,


Angelo


La Spia 1


Edward Everett Hale


Damrosch,


Walter


The Man Without a Country (1937)


Bret Harte


Floridia,
Weinberger


La Colonia liberal (M'liss


Pietro
. Jaromrir


Lide


z Pokerflatu


The Out


(1900)
casts of


Poker FLat) (19


Nathaniel Hawthorne


Carlson,
Claflin,
Darmrosch
Floridia
Giannini
Hanson,


Charles F.


Avery


Hester;


Hester Prynne


The Scarlet Letter n.d.


1934


The Scarlet Letter


Walter
Pietro


Vittorio


Howard


1896


The Scarlet Letter composed 1908


The Scarlet Letter


1938


Merry Mount (The Maypole of Merry Mount)


Kaufmann,
Southard,


Walter
Lucien H.


The Scarlet Letter
The Scarlet Letter


1961
1855


Dorothy and Dubose Heyward


Gershwin,


George


Porgy and Bess (1935)


Washington Irving


(1885)














Moore


, Douglas


The Headless


Sleep


Planquette


Jean--


Robert


Holl


Van Winkle


orseman;
ow (1937
(1382)


The Legend


Henry


James


Britten


Benj ami n


The Turn


the S


crew


(1955


Owen


Wingrave


(1971


Moore


Pasatieri,


ouglas


Thomas


The Wings
Washington


the
quare


Dove (1963)
(1976)


John


Luther


Long


Puccini,


Giacomo


Madama


Butterfly


1904)


Henry


Wadsworth


Longf


ellow


Carls


Charles


Eames, Henry


Fanciulli,


Jones,
Leroux,
Luening
Rice, E
Soelman


Purm


Franc


esco


Abbie


vier


dward


, Timothy Mather


errish


The Courth
Priscilla
Priscilla;
Priscilla


Evange


Miles


or,
compo


The Maid


Standish


n.d.


Plymouth


1901


sed 18


line


Evangeline 1
Evangeline (
The Courship


1887


of Miles


Standish


compose


Surette


Ware,


Thomas


Whitney


Harriet


Priscilla
Priscilla


The Pilgrim


s Proxy


(1889)


Herman Melville


Aschaffenburg


Walter


Bartleby


compose


Britten


Ghedini,
Krenek,


, Benjamin


erico


Ernst


Bill
Bill


Budd
Budd


The Bell


(1951,


rev.


1961)


1949


ower


composed


1955-


Arthur


Miller


Ward,


Robert


The Crucibl


1961


Eugene


O'Neill


Gruenberg


OU1S


The Emperor


Jones












John Steinbeck


Floyd,


Carlisle


Of Mice and Men (1971)


Harriet Beecher Stowe


Ferrari-Trecate,


Flori o
Giorza


Luigi


, Caryl


Paolo


La Capanna dello zio Tom 1953
Uncle Tom's Cabin 1882
La Capanna dello zio Torn 1859


Mark Twain


Foss,


Lucas


The Jumping Frog of Calaveras County
(1951)


John Greenleaf Wittier


Bonner,


Eugene


Barbara Frietchie (from the play by


Clyde Fitch) comp


osed 1920


Tenessee Williams


Hoiby,


Summer and Smoke


1971


'Joseph Kerman


Opera


Drama


New York:


Vintage Books,


1956),


108.


10Christoph Willibald Gluck,


"Four Letters," in The Essence of Opera,


llWolfgang Amadeus Mozart,


"Letters to His Father," in The Essence


of Opera,


131.


12Henri Beyle,


Life of Rossini


in The Essence of Opera,


198.


13George Bernard Shaw,
of Opera, p. 184.

14Arthur Schopenhauer,


"The Tone Poet,


The World


" Shaw on Music in The Essence


as Will and Idea in The Essence of


Opera,


184.


15Richard Wagner,


Opera and Drama in The Essence of Opera,


p. 220.


16Friedrich Nietzsche,
-J^ I. Ct


The Birth of Tragedy in The Essence of Opera,


J


J


J \














19E.


and World,


Forster,


Inc.


Aspects of the
7T, p. 85.


Novel


York:


Harcourt


Brace


OHerman Melville


, Billy


Budd,


Sailor.


Harri


son


Hayford


Merton M.


Sealts


Chicago:


Universi ty


cago


Press


1962


1Lehman


Engel


Words


and Music


York


Macmillan


Company,


1972)


Henry


James


"Henry


James:


The Dramatic


Years,


an Introductory


ssay


Leon


Edel


The Complete


Plays of Henry


James (New


York:


Lippincott,


Co.,


1949,T


74.















CHAPTER


LOCALIZATION


Localization,


the most


utilitarian


use of background


material


a novel


"is a practical


matter


of placing


the characters


an environ-


ment


within


which


they


can act out their


stories.


In fiction,


local-


ization


is presented


through


a variety


of methods.


First


, large


blocks


of descriptive


narration


often


present


the setting


to the reader.


Delivered

present a


through


n objective


e narrator

picture o


of the story,


f the setting.


these

Next


passages

, dialogue


usually

often


conveys


information


about


the setting.


When


presented


through


dialogue


picture


of the setting


is often


colored


the nature


individual


speaking


Last


the interior monologue


presents


the setting


through


the mind


of the character.


This


method


is especially


successful


in revealing


a character


s personal


reactions


to his


environment.


fictional


setting


utilized


in opera must


be presented


one of two


methods:


through


the stage


scenery


or 2


through


dramatically


presented


descriptions


of the setting.


Stage


Scenery


power


the adaptive


librettist


as Patrick


Smith


points


exists "not


only


in organizing


a work


for the operatic


stage


also


in Dreservin


as much


3-


as poss


ible


of the original


in the


adaptation.


--- 1















farmhouse


in Stephen


Vincent


Benet


s The Headl


ess


Horseman,


intended


amateur


production


is practical,


produces


little


of the mysterious


atmosphere


Myfanwy


created


Piper


through


in The Turn


setting

of the Sc


in Irving's


rew


tale.


and in Owen


On the other


Wingrave


hand,


and Kenward


Elmslie


Washington


Square


have


each


adapted


a large


number


of settings


from


the respective


original


sources.


In each


libretto,


the settings


remain


faithful


to James


' ori


inal


works


both


in local


and in effect


instance


, in Chapter


IlI of


Washington


Square,


Henry


James devotes


considerable


length


a description


. S1


oper


s house


Sa


handsome,


modern,


wide-fronted


house


with


a big


balcony


before


drawing-room


window


and a flight


of white


marble


steps


ascending


portal


which


was also


faced


with


white


marble.


2
Kenward


Elmsli


in his


libretto


emphasis


zes


Sloper


s house


through


a unique


visual


presentation


of the setting.


In Act I


, ii,


Dr. Sloper,


daughter


Catherine


Aunt


Lavinia


appear


an open


carriage


behind


which


"the


skel


etal


structure


of the


Sloper


house


can


seen,


dimly.


In the


course


scene


the structure


gradually moves


closer


to them


, slowly


becoming


more


sharply


outlined,


At the conclusion


of the


scene


, the facade


of the mansion


appears


in solid


form,


"with


marble


steps


and a grand


and imposing


front


door"


Elmslie,


25).


Fourteen


of the sixteen


scenes


opera


are set in various


rooms


in the house


or in the


park


facing


the house.


This


scenic


mobility


creates


an emphasis


setting


similar


in effect


to that


achieved


Jame s.


I


v














of his


story


"The


Maypole


of Merry


Mount"


in a single


setting,


the New


England


settlement


Merry


Mount.


The venerated Maypole


stained


seven


brilliant


hues


and decorated


with


ribbons,


banners


and flowers


a multitude


of colors


, occupies


the center


scene.


This


colorful


setting,


filled


with


colonists


dressed


an array


of wild


and colorful


costumes


is framed


the "black


surrounding


woo


ds"4


from


which


the "grim Puritans


(Hawthorne,


. 77)


watch


the activities.


In Richard


Stokes


s three


act libretto


, Merry Mount,


the forest


peripheral


in Hawthorne's


story,


serves


as the 1


local


for Act II,


pers


onal


conflict


within


the Puritan


leader


, Wrestling


Bradford


opera


s hero


involves


ideal of priestly


purity


and his


sexual


desire.


This inner


confli


paralleled


in the social


conflict


between


the Puritans


destruction


and the Cavaliers


of the Maypole


residents


the Puritans


Merry


(Act


Mount.


Following


Bradford


, i),


brings


the colonist


Lady


Marigold


andys


into


the forest


setting


where


makes


advances


toward


her and


renounces


vows


as a prie


Fearing


soul


is damned,


curses


Marigold


prays.


Overcome


collapses.


This


forest


setting


leads


directly


into


opera


s most


original


setting:


"Bradford


s Dream:


The Hellish


Rendezvous


Directly


behind


Bradford,


a curtain


rises


divulging


"hi s


dream


the Valley


of Tophet--an


infernal


glen


with


ramparts


sandstone


laval


I)


lazed


and rain-marked


in purple


and black.


Across the back


1















imps


witches


and devils


populate


the stage.


This


nightmarish


setting


has no parallel


in Hawthorne


s story;


however


, it has dramatic


relevancy,


addition


to possessing


high


theatre cal


qualities


. lavish


scenery


brilliant

to charact

submission


costumes


erization.

to sexual


The main


setting


visual


and aural


Bradford'


desires


of Melville


fear


excitement


of spiritual


dramatized


s Billy


this


Budd


setting


damnation

ghoulish


the military


contributes


through

setting.


vessel,


Bellipotent.


In various


locations


aboard


this


ship,


events


the story


occur.


This


central


setting


is framed


a series


of minor


locations


mentioned


the narrator.


In Chapter


he describes


a black


sailor whom he


seen


once


in Liverpool.


After


Budd


3 execu-


tion,


the narrator mentions


and Portsmouth,


the city


Gibraltar,


in which


scene


the ballad


of Captain


"Billy


Vere


in the Darbies


s death,


" a'as


public


shed.


E. M.


Forster


and Eric


Crozier


co-libretti


of Benjamin


Britten


Billy


Budd


locate


the central


action


in the


opera


on board


the H.M.S.


Indomitable.


setting


framed


in the


opera


an original


setting


the Prologue


the Epilogue


which


serves


a three-fold


dramatic


purpose.


First


new


places


Captain


Vere


outside


the main


action


of the


opera.


In Melvill


s novel


Vere


dies


from a


battle


wound


the libretto,


Vere


doe s


"is revealed


as an old man"


rcomomlr na +


-t-hi


fPTamQ


QQ+~l +1 nr


nlnr v "-innrl"J cr


R- 11 I


RnI rl


+-V-IQran Q~rori


1rI LJ













its impact


so overwhelming


that


time


is needed


for the audience


recover.


Third,


this


falling


off achieved


use of the Epilogue


parall


eff'ec


the final


three


chapters


of Melville


s novel


which


relate


respect


tively


the information


of Vere


s death,


a naval


report


the Budd


affair,


and the ultimate


effect


of Billy


Budd


upon


the sailors


had witnessed


death.


Washington


Irvin


presents


lengthy


descriptions


of various


settings


"Rip


Winkle"


fore


falls


asleep


for twenty years


village


which


lives


the "deep


mountain


glen,


wild,


lonely,


shagged


fashion"


from which


(Irving


a keg-bearing


emerges


stranger


follow w


dressed

. like


"antique


a small


Dutch


amphitheatre"


where


nine-pins


with


the strange


men.


After


awakens


, Irving


presents


same


locations


reverse


order.


Moving


from


the mountain


hollow to


the wild


glen


and,


finally


to the village


Irving


describes


the natural


changes


the setting which


occurred


during


s absence.


These locales


are adapted


as the various


settings


in Acts


and III


of J


. H. Wainwright


s Rip


Winkle.


The whole of Act II is


in 1777


while


absent


from


the action


of the story.


Wainwright


expressed


his intentions


in creating


II in hi


"Preface


"In Irving's


story


ne has


marked


the contrast


between


the two


eras.


It has been attempted


here


relate


some


of the incidents


which


that


contrast


was


brought


. 53















setting


scene


"the


bivouac


of the Continentals


" in "a rocky pass"


Wainwright


no parallel


in Irving'


story.


This


setting


provides


the background


for action


involving


s daughter


Alice


operatic


love


triangle.


Whil


frequently


scenes


the libretti


will


omit


fictional


settings


more


often.


major


deci


sion


part


of the simplifi-


cation


process


in organizing


the fictional


material


for operatic


treatment.


This basi

action in


rule


the plot


operatic

is omitte


adaptation


from


based


the libretto,


upon


two criteria:


making


the setting


which


occurs


unnecessary


or the action


is retained


as part


of the


libretto


but is transferred


a different


setting.


The number


scenes


omitted


from


confusion,


the fictional


shall


choose


sources


only


studied


settings


is very numerous.


of major


To prevent


significance


illustration.


The inclusive


panoramic


setting


of Hawthorne


s The Scarle


Letter


Boston


in the 1640


Within


this


neral


setting,


Hawthorne


local


action


a series


of specific


locations


, e.g


. the market-place


Chapter


the prison


cell


in Chapter


and the forest


setting


ChaptersXVI-XIX.


George


Parsons


Lathrop


in hi


libretto


The Scarle


Letter


and Frederick


Carlson


in hi


libretto


Hester


utili


these


settings.


However


both


librettists


eliminate


two of the


same


settings


in Hawthorne


- -1 tern, .


zes


nr 1 *- r*


I


1 ~~ T- T


-


-i nTT %


* I HI Tt


I













blame


for their


present


circums


tances.


However


, as George


Marek


explains


in Opera


as Theatre


"There


is not much


room for


philosophical


animadversions


an opera


These


phil


osophical


discussions


and the


settings


in which


they


are located


are eliminated


from


both


librettos.


scope


settings


available


a novelist


is unlimited.


Both


the number


necessary.


settings


Nowhere


and their


this


local


possibility


can be


as few


of variety


or as many


in fictional


settings


more


clearly


seen


than


in the novel


Henry


James.


In the


two volumes


of The


Wings


of the Dove,


various


settings,


both


interior


and exterior


are present


in America


, England


Swit


zerland,


and Italy


. The


scenes


the novel


which


occur


at the house


of Marian


Condrip,


Kate


Croy's


impoverished


sister


are eliminated


from Ethan Ayer


s libretto.


poverty


associated


with


Marian


s house


offers


one of the


many


contrasts


in the novel


to the wealth


and sumptuousness


of Lancaster Gate


residence

libretto.


of Kate


Numerous


Aunt Maud.


other


This


settings


scenic

are also


contrast


eliminated.


absent

Milly


from


s London


hotel


suite


in which


she hosts


an elaborate


dinner party


is rej


ecte


the librettist.


No outdoor


scenes


are included


in the libretto:


Kensington


Gardens


the great


Mark


s Piazza in Veni


and the well


known


setting


in the


Alps


in which Milly Theale


the heroine,


precariously


sits


on a "slab


of rock at


the end of


a short


promontory


. that


. pointed


to the right


into


gulfs


of air.















The interior


settings


of Miles


Standish


s house


and Priscilla


house


in Longfellow'


narrative


poem


The Courtship


of Miles


Standi


are faithfully


adapted


Frederick


Carlson


for hi


libr


etto.


exterior


settings


with


the exception


of the seashore


scene


which


the Mayflower


sails


for England,


are eliminated.


In section


VII of


poem,


for instance


Standish


and hi


men


march


through


"forest


, swamp


and along

encampment


the trend

"pitched


of the sea-shore


on the edge


a meadow,


party visits


Between


an Indian


the sea and the


rest


" (Longfellow,


In this setting


a fight


occurs


which


Standish


kills


Pecksuot


an Indian


warrior.


With


men


Standish


defeats


the entire


tribe.


The effect


achieved


in cutting


the march


the settings


in which


occurs


the elimination


of the accompanying


violence


from


the libretto.


In two


operas


studied,


settings


were


eliminate


the libretti


when


the narrators


the original


sources


were


dropped


Fred


Ingham,


the narrator


of Edward


Everett


s "The Man


Without


a Country,


relates


the story


of Philip


Nolan,


based


largely


on naval


tradition


and myth


surrounding


Nolan.


In his


narration,


Ingham


either


appears


or mentions


numerous


settings


. the "Mission house


in Mackinaw"


where


he first


appears


in the story


or the settings


in which


he had


first


hand


knowledge


of Nolan:


the schooner


filled


with


Negro


slaves


the George


Wa oh n*nt+nn


onf +ho


fnn agQ


nf REnnnns


Aires


,nd Alexandria


EgyDt.


ns mro ++


*


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stateroom


described


in Danforth's


letter


is omitted


from


the libretto.


None


of the melancholy


action


associated


with


Nolan


s final


scenes


about


the United


States


is included


in the libretto.


numerous


scenes


in the short


story


located


in settings


from


various


parts


of the world


help


suggest


the painful


solution


of Nolan


s life.


The settings


empha


pathetic


attempts


know


some


thin


Amer


give


direction


to his exist


ence.


The homemade


maps


and charts


which


line


Nolan


s stat


room


as well


as the


numerous


there


provide


meaning


for his


life in exile:


"'Here


, you


see


have


a country!


These


final


scenes


in the story


which


provide


contentment


for Nolan


are omitted


from


the libretto.


After


the courtmartial


scene,


remainder


of the action


in the


opera


takes


place


on board


the Nautilus


In the short


story,


Nolan


dies


with


a sense


dignity


resignation


among


the belongings


his stateroom which


he had


come


to treasure.


hero


In the


on board


era,


vesse


he dies


on which


battle


he had been


the death


impri


a naval


soned.


In Mark


Twain


s "The


celebrated


Jumping


Frog


Calaveras


County"


both


Garrulous


Simon


Wheeler


and the Eastener


whom he


tell


story


of Dani


asterner


the frog,


ells


a friend


are narrators


had asked


The staid,


him to locate


humorless


one Leonidas


Smiley


Simon


However


Wheeler.


instead


Both men


of finding


appear


Smiley,


the barroom


the Easterner


stove


turns


the dilapidated


tavern


in the decayed mining


camp


Ange


s ,,]5
o k


This setting


TI-n Kl IT1


ron n


1 ihr


pt.tn


"Tinclp


HPnrv


s RaBr in


,,14


,r


I CI


QQ^T"! nQ 1


I \


S


*- f1I I


I















various


settings,


both


interior


exterior


which


contribute


to the mysterious


atmosphere


Washington


Irving


t "The


Legend


of Sleepy


Hollow"


are reduced


in The Headless


Horseman


Stephen


Vincent


Bene t


one interior


setting


:t large


comfortable


room


in the Van


Tassel


farmhouse.


This


use of


a single


set creates


a dual


effect.


First,


the tale


y Irving


the men gather


outside


on the veranda


to tell


ghost


tales.


In the darkness


of this


setting


the moonlight


and the glow


from


men


s pipes


are the only


sources


of illumination


of the


scene.


contrast


achieved


between


the setting


inside


the house


assoc


iated


with


the gaiety


of the party


and the setting


outside


associated


with


the superstition


the tales


a quality


the story


eliminated


from


the libretto


use of the single


set.


Second,


in the libretto


the phantom


horseman


appears


at the door of


room on


foot


instead


appearing mys


seriously


on horseback


among


the shadows


as in Irving'


tale.


chabod


Crane


sees


the ghost


at the door


and dives


through


window pursued


the Headless


Horseman,


who throws


the pumpkinhead


after


him.


In thi s


chase


scene,


the single


set arrangement


introduces


the implausible


attempts


situation


to apprehend


in which


the horseman.


one person


The quality


in the crowded


of Irving'


room


chase


scene


with


its characteristic


mixture


of humor


and horror


reduced


libretto


slap


stick comedy.


Finally


scene


points


n a n- -. i n -- a h


I













A librettist


will


often


retain


the action


of the original


story


while


placing


it in


a new


local


example,


in Twain


s story


Daniel,


the frog


the jumping


contest


takes


ace


inside


the saloon.


In Karsavina


s libretto


The Jumpi ng


Frog of


Calavaras


County,


contest


is held


outdoors


before


the saloon.


The change


offers


of setting


but little


se.


A chorus


of townspeople


added


to the


libretto,


this


group


could


just


as logically


have


been


located


inside


the saloon.


The changing


of the court-martial


scene


in "A Man


Without


a Country"


from


Fort


Adams


in Hale


s story


to Charleston,


South


Carolina, in


Guiterman's


libretto


no effect


on the story


itself.


The only


a large


rationale


metropolitan


changing


courtroom


this location


is to offer


from a military installation


the opportunity


more


elaborate


stage


setting.


In three


librettos


studied,


Billy


Budd,


The Wings


the Dove


The Courtship


of Miles


Standish,


the local


zation


action


into


a new


setting produces


significant


changes


from


the originals.


In Melvill


manuscripts


of Billy


Budd,


the warship


was various


referred


as both


the Indomitable


and the Bellipotent.


However


as William


Stafford


points


critical


out,


the choice


importance


"for


of which name


the ironic


most


contrast


effective


with


little


the Rights-of-Man


apparent


enough


either


,,1
case.


8
In the novel


, Billy


Budd


first


seen


on the Rights-of-Man.


Impressed


into


duty,


Budd


is taken by


vari


I ___















Indomitable,


not in the launch.


The dramatic


result


in both


cases


same:


the lieutenant


in charge


orders


to be silent.


The irony


impli


Budd


s farewell


but not intended


, is strengthen


opera


having


him deliver


it from


ship


onto


which


he has j


been


impressed.


In the


opening


scene


of James


s The Wings


of the Dove,


Kate


visit


her father


residence


Chirk


Street.


Alone


first,


-Xate


noti


ces


poor,


cheap


surroundings


in which


her father


fore


to live.


moves


from


"the shabby


sofa


to the armchair


upholstered


a glazed


cloth


that


gave


once--


she had


tried


it--the


sense


of the


slippery


the sticky


(Jame s


, 19).


She 1


ooks


"at the sallow


prints


in the walls


and at


the lonely


magazines


a year


old,


that


combined,


with


a small


lamp


in coloured


glass


and a knitt


ed-white


centre-piece


wanting


freshness


, to enhance


the effect


of the purplish


cloth


on the


principal


that


table


father


James


has misspent


In the


an inheritance


scene


from


Kate


wife


discovers


and is


now


discredited.


parallel


meeting


between


Kate


and her


father


with


a similar


exchange

However.


Maud


marble


of information

the setting ha


s parlor


occurs


s been


at Lancaster Gat


and mahoga:


in the firs

transferred

e: "It is a


of the Edwardian


Era.


scene


of Ayer


to the gaudy


room


s libretto.


splendor


in the flounce,


'conversation


piece


of Aunt

brass,

' with


__


Croy


,J


_I


_ _













give


the original


material


a rich,


suggestive


contrast


of wealth


poverty,


not evident


in the libretto.


Frederick


Carlson,


in a note


prefacing


libretto


The Courtship


Miles


Standish,


explains


that


"libretto


stands


, arrange


almost


T'wo n1 Lions


In ,ongfe I1 ow


s poem


were


shit f ted


different

Pricilla


locations


occurs


in Carlson's 1

the end of both


ibretto


poem


The wedding of John Alden and

and the libretto. The


action


remains


same


in both


instances.


In Longfellow


the wedding


set inside


the church.


After


ceremony


the crowd


moves


to the


outdoors


in front


of the church.


Carlson


explains


he "changed


wedding


scene


from


room


' to


an '


open


space


before


the church.


Thi s


change


local


the wedding


has no effect


on the action.


more


poem


revealing


John


example


Alden


ves


occurs


Standish


early


in the story.


s house


a state


In Part


of great


III of


agitation.


He has


sworn


to deliver


Standish


s declaration


of love


to Pricilla,


the girl


he himself'


loves.


John


hurries


through


the woods


in haste


and confusion.


Longfe


allow uses


the setting


heighten


John'


desperation.


The peaceful


surroundings


through


which


John


rushes


contrast


with his


inner


turmoil:


So the strong
errand,


will


prevailed


and Alden


went


on hi


Out of the street


the village,


and into


the paths


fore


Into


the tranquil


woods


where


bluebirds


and robins


were


building


TrI~Im 0


in Thn nrn1l niio?


.1.- -


th IA'n I T rr


a3 r A on a


as the


I


fT


I rI


[poem


- -IIt


n


f T


1 '(- j_ O IBJ
















In Act I


of the


opera,


same


situation


happens.


John


told Miles


he will


deliver


message


of love


to Pris


cilla.


However


Alden


remains


in the room when


Standish


exits.


sense


of loss


and frustration


expressed


Alden


poem


as he h


lurries


toward


Priscilla


s house


is weakened


in the libretto.


Alden


remains


the room and


declaims


his feelings.


Alden'


immediate


need


escape


into


open


air is


lost


the libretto


In the


poem,


be must


outside


where


think.


This


sense


urgency


expressed


Alden


in both his


words


actions


in contras


the peaceful


environment


is missing


from


libretto


II Dramati


Presentation


Characters


opera


often


present


information


dramatically


establish

description


scene


the local


borrowed

of Kenward


Usually

directly


Elmslie


the charac


from


ters


the fiction


s libretto


present

1 source


Washington


straightforward

The gathering


Square


is identify


a guest


as an engagement


party.


On discovering


the crack


newly


forged


bell


Bannadonna


in Ernst


Kreneck's


The B


ell Tower


describes


this


fact


the audience.


The various


officers


seamen


identify


the vessel


Billy


Budd


as the "Indomitable"


a seventy-four


In Act


iii of Billy


Budd,


Forster


and Crozier


borrow words


from


"Billy


in the Darbies


" the


poem


which


concludes


Melville


s


can


,


i


s novel


1


_ _














novel,


Budd


sits


in irons


a bay


of the gun-deck


following


court-martial.


scene


described


in contrasts


between


light and


dark.


Light


comes


from


sources


two battle


lanterns


moonlight


filtering


through


open


ports.


"Fed


with


oil supplied


contractors


. .-


with


flickering


splashes


dirty


yellow


light


they


pollute


the pale


moonshine


all but ineffectively


struggling


in obstructed


flecks


through


open


ports


from which


the tampioned


cannon


version,


protrude"


(Melville,


the moonlight


119).


as described


contrast


Budd


with Melvill


in the libretto


stronger


and colors


the setting


with


a brighter


glow.


In fiction


in opera


a character'


personal


reactions


environment


may be conveyed


through


dramatic


presentation


of 1


ocal


In Part


of James


s The Turn


the Screw,


the Governess


contrasts


initial


unusual


Bly was


impression


experience


actually


of Bly with her


there.


, ugly


feelings


As she wrote


and antique.


about


the house


the Governess


impression


after


admitted


of Bly


that


upon


having


arrived


there


years


before


, however,


had been


far more


romantic


The size


of the house


and the splendor


of its surroundings


had been


her youthful


imagination


more


magnificent


than


the castle


of fairytales


"But


little


conductress


(Flora)


with


hair


of gold


and her


frock


of blue


danced


before


me round


corners


and pattered


down


passages


the view


a castle of


romance


inhabited


- F


a rosy


sorite


such


a Dlace


war


__


















Screw


, adapted


Myfanwy


Piper,


the Governess


briefly


describes


house


and the grounds


upon


her arrival.


"The


scene


and the


park


are so spend


y giving


her romantic


far grander


rT eac tions


than


am used


to the house


She continues


and by


specifying


location


name


"I shall


feel


like


a princess


a prin


cess


here!


Bly,


begin


love


you,


love


, Bly!"


(Piper,


. 18-19).


The Governess


description


and the initial


impression


the setting


upon


osel


parallel


assa


in James'


novel.


most


unusual


localization


through


dramatic


presentation


occurs


a combination


scenes


in Piper'


The Turn


the Screw.


convey


the omni


scient


evil at Bly


, Piper


created


a scene


for the libretto


which


has no precedent


the libretto


in James


the lights


s story


fade


In Act II,


on Quint


designated


and Miss


as "Nowhere"


Jessel.


meaning


of this


abstract


setting


is explained


in the words which


Ghosts


sing


in the


previous


scene,


Act I,


viii


This


earlier


scene


which


all six of the


opera


s characters


appear


on stage


their


reminiscent


of the well


-known


scene


in James


in which


the G


overness


looking


out a window


at Bly


covers


Miles


standing


on the moonlit


lawn


elow


and bell


eves


he i


actually watching


Quint


on the tower


directly


above


her.


In the libretto,


Ouint


and Miss


Jessel


tell Miles


and Flora


they


are located


everywhere.


If the children


simply


look,















Bly and its surroundings with evil.


Myfanwy Piper,


by treating this


setting in general


terms,


created an atmosphere of horror suggestive


of James's story.


James believed he could free himself from the


necessity of


creating any specific picture of


evil by presenting to


the reader an intense


, generalized picture of


evil.


"Make him think


evil,


make him think it for himself,


and you are released from weak


specifications. "24


The effect of


this abstract


localization is directed


at the audience.


The opera-goer who reads the libretto or witnesses


a production supplies his own specifics concerning the nature of


evil.


In James


s The Wings of


the Dove, Merton Densher visits Lancaster


Gate for an interview with Aunt Maud whose plan for Kate is simple:


see her niece married to a wealthy man.


Densher is a newspaper reporter


and is conscious that Aunt Maud disapproves of him.


As he waits for


her,


Densher,


in an interior monologue,


observes the elaborate furnish-


ings of


the house and becomes hopelessly aware of


the difference between


his world and that of Aunt Maud.


Hie had never dreamed of
so buttoned and corded,


curled everywhere sc
much gilt and glass,


anything


so fringed and


drawn everywhere


thick.


scalloped,


so tight and


He had never dreamed of


so much satin and plush


so much


rosewood and marble and malachite.


But it was above all


the solid forms,


the wasted finish,


the misguided


cost,


the general attestation of morality and money,


a go


conscience and


a big balance.


(James,


D. 79)


These descriptive words registered by Densher


s mind in the novel are















mental,


and it is


given


Kate


s father


Homer


Croy,


rather


than


her lover


Miles


Dunster


in the


novel


s father


has gambled


fortune


away.


scene


as he looks


at the furnishings


of Lancaster


Gate


Croy


sings


: "Whoever


dreamed


of anything


so f'irin


scalloped


so buttoned


and corded,


drawn


everywhere


so tight


curl


everywhere


so thick?


Whoever


dreamed


so much


gilt


and glass


so much


satin


and plush,


so much


rosewood


and marble


and malachite


such


solid


forms


such


wasted


finish,


such


wasted


cost"


(Ayer


The effect


of thi


description


is different


from


the hopeless


awareness


that


comes


reveals


to Densher


envy


in the novel.


for lost


opportunities


Mr. Croy's


and hi


response


bitterness


to this


against


richness


those


people


possess


what


he has


thrown


away.


The chorus


an opera


often


localizes


the action


dramatically.


Charl


Hamm


in his


book


, Op


era,


describes


several


functions


chorus.


In the first


of these


the chorus


performs


"the


function


setting


the stage


for the first


scene


, of helping


establish


locale.


Functioning


as a narrator,


the chorus


can present


straight


description,


ns in this


passage


from


Carl son' s


The Courtship


Miles Standish


borrowed


directly


from


Longfellow


s poem


Forth


from


the curtain


clouds


romrn the


purple


and scarlet,


Rises


sun,


grea


high


his garments


respl


endent


(Carlson,


- 1- *


v--















summer


has faded


fast


away,


And autumn
We've mowed


is advancing


the hay


from


the verdant


plain--


'Mid the stubble


partridge


is feeding


Wainwright


The chorus


can localize


the setting


the chara


cters


while


part


cipating


in the action


scene.


In S


tephen


Vincent


Benet'


The Headl


Horseman


the female


chorus


introduces


the heroine


and identifies


gathering


as a quilting


bee.


They


sing


of the


one activity


common


all such


occasi


ons,


gossiping


Quilt


and pat


and quilt


said to


eyes


him,


said to


are blank,


you,


hair


and don
brown,


think


he i


s quite


cest


course


mama


in town.
pretends


to frown,


bzz,


bzz,


bzz!


Bene/t


The operatic


chorus


localizes


setting


a second


While


on-stage


action


proceeds


in the location


seen


the audience


a chorus


placed


stage


suggests


the exi


stence


of another


location.


The trial


scene


Verdi


s Aida


provides


an outstanding


example


of this


use of the chorus.


in the halls


an Egyptian


temple,


Amneri s


the Egyptian


princess,


listens


and responds


to the trial


ceedings


which


occur


off stage.


The existence


a trial


chamber


suggested


an off-stage


chorus


of high


priests


interrogate


judge


and ultimately


sentence


Rhadame s


to death


for treason


The effect


upon


an audience


achieved


this


scenic


device


explained


Hamm:


"It is


as though we


are given


a glimpse


a second


set" (Hamm, p.


108).


ess


, bzz


bzz'


1)














in Act


an off-


stage


chorus


of Negroes


heard


singing


work


songs


suggests


the setting


sugarcane


fields


where


they


labor.


The whole


of Act III consists


of the pursuit,


capture,


and death


of Koanga.


on-stage


setti ng


represents


a pagan


al tar


ocated


in a swamp


The off


chorus


making


calling


their way


on the Voudou


through


swamp


gods


of Koanga


meet


represent


at the on-stage


Negroes


location.


Later


the act another


off-stage


chorus


identify


Palmyra


as a


group


of hunters


who are pursuing


Koanga.


These


men


a "wild


cry"


triumph


when


they


capture


Koanga


in the off-stage


location.


The off-sta


chorus


can be used


as a foil


to on-stage


action


while


suggests


another


location.


In Act I


, ii of Billy


Budd,


Captain


Vere


and two of his officers


Redburn


and Flint,


speak


toge


their


recently


suppressed


mutinies


at the Nore


and at Spithead


and of their


constant


heard


fear


of new mutinies.


an off-stage


two officers


reveal


chorus

their


men


Under


singing


suspicions


about


serious


discussion


lighthearted

t the danger


can be


sea chanties.


nature


Vere


of the


recruit,


Billy


Budd


express


their


general


distrust


of the


crew.


Vere listens


to his


men


singing


below


deck.


He dismi


sses


officers


suspicions


Budd


and of the


crew


assures


them


that


as long


as the


are happy


mutiny


an immediate


concern.


The officers


leave


and the


scene


closes


with


Captain


Vere


thoughtfully


listening


to the


crew


singing,


new


men















as a libretto,

on two criteria


the librettist


dramatic


bases


relevan


his choice of

and operatic


locales


in his story


adaptability


Original


settings


are often


created


for a libretto


either


to fulfill


a dramatic


idea


not in the original


the fictional


work


, e.g.


fiction


or to produce


appearances


on stage


vocalizing


a quality


of the Ghosts


and the atmosphere


of evil


they


convey


in the


scene


"Nowhere"


Turn


of the Screw.


Vast


numbers


settings


in novels


and short


stories


are omitted


because


they


are not adaptable


stage


presentation


the lengthy


Veni


descriptions


presented


dramatic c


environment.


of the Swiss


The Wings


Alps


the Dove.


The elaborate


stage


and of


The stage

setting in


Mark


scenery


Merry


s square


and the


Mount


"The


Hellish


leading


Rendezvous"


character.


visualizes


Dramatic


the mental


presentation


state


of setting


opera


can function


like


the interior monologue


in fiction


to reveal


attitudes


responses


a character


to his


environment.














Notes


tion


'D. S. Bland,
in the Novel.


"Endangering
" Criticism.


the Reader'


Ill (


Neck:


Background


Descrip-


1961 ),


The Amenri cn Novels and Short Stories of Henry Jtames
MatthieT en ( New York: A fred A. Knopf, 19647, p. 1.71.


, ed


3Kenward


Elmslie,


Washington


Square


(New


York:


Belwin-Mills


Publishing


Company,


1976)


4Nathani
and Company,


el Hawthorne
1882). n. 79


Twice-Told


Tales


Boston:


Houghton Mifflin


Richard


Stokes


, Merry Mount


York:


Harms


, Inc.,


1933),


6
Hawkes


M. F


orster


and Eri


Crozier,


Billy Budd


(London:


Boosey


, 1961),


Eric


Works (
Sketch.


Walter


White


ndon:


, Benjamin
Hawkes, 1


Britten


948),


, A Sketch of His Life and
162. Hereafter cited as


8The C
, T1-- 2)


complete


Works of


Washington


Irving


, IX (New


York:


Putnam


Sons


Wainwright


Rip Van


Winkle


York:


Corbyn


Darcie


, 1855),


10The
(Columbus


Centenary Ed
Ohio State


i


tion of the Works of Nathaniel
University Press, 1968), 131.


Hawthorne,


11George Marek,


Opera


Theatre


York:


Harper


Row,


Publishers,


12Henry
Scribner's S

13The Po
Edition (New


James, The Wings of the
ons, 19097, 123.


York:


Works of Henry W
Houghton Mifflin


Dove


adsworth


(New


York:


Longfellow


and Company,


1889)


Charles


, II,
, 330


Riverside


14The Works of
flnmnnnv Q1.- T-1 55


Edward


Everett


Hale


(Boston:


Little,


Brown















Jean


Carl


scher


Karsavina,
, Inc.. 19


9


The Jumping


>51r


Frog of


Calaveras


County


(New


9







York:


. 12.


17
Schirme


Stephen


cent
. 11U


Bene t


The Headi


ess


seman


(Boston:


E. C


Willaim


Falla


An Es


Stafford,


-Review


"The


" Modern


New Billy


Budd


Fiction Studi


and the Noveli
es, 8 (Autumn


erman Melville


, Billy


Budd,


Sailor


. harri


son Hayford


Merton


Sealts


(Chicago: University


Chicago


Press


OEthan Ayer


Wings


of the Dove


(New


York:


Schirmner


Inc.


IFre


deri


Carlson,


The Court


ship


of Mil


Standish,


microfilm


(Chi


cago:


ewberry


Library,


n.d. ),


2The


Complete


. Lippincott Con


Tales of
ipany, -19


Henry


James,


ed. Leon


Edel


York:


64) 27.


3Myfanwy


Piper,


The Turn


of the Screw


London


Hawke s


and Sons


1955


, pp.

24The


17-18.


Novel


Tales


of Henry


James


"Preface


" XII (New


York:


Charl


Scribner',


Sons, 19087, XXI.


Charles


Hamm


the sixteen


, Opera


opera


(Boston:

s studied


Allyn a

in this


nd Bacon


Inc., 1966),


ssertation


, eight


104.


use an


off st
but do


chorus


not use them


to suggest


in this


another
manner;


location;
and three


five


operas


operas


have


have


choruses


no chorus.


, 308


. 19.


I
















CHAPTER


SETTING:


THREE


FUNCTIONS


Settings


in adapted


opera


librettos


often


function


like


settings


in their


fictional


sources.


Frequently


an author will


manipulate


his description


so as to make


the setting


reinforce


various


moods


and emotions


a character.


Although


D. S. Bland


relates


this


use of


setting


specific


call


to nineteenth-century


authors


, he recognizes


that


the "association


of mood


and situation


with


setting


remains


a staple


fictional


description"


Bland


127).


The description


of setting


achieve


another


purpose


in addition


to reinforcing mood


and emotions.


i'hen


a setting


suggests


more


than


the author


actually


states


, description


"can


rise


to the level


of symbol"


Bland,


139)


Setting


a character


are achieved


opera I

and also


in opera


ibrettos

function

through th


can both


as symbol.


e lyrics


parallel


These


the moods

aspects


of the libretto


and emotions

of setting


various


forms


stage


machinery.


Finally,


settings


can contribute


to the


structure


a libretto.


an adaptive


libretto,


this


use of


setting


can aid in achieving


a structure


similar


to that


of the fictional


source.


Settings


Which


can Reinforce


the Mood


a Character


In James


s The Wings


of the Dove,


Merton


Densher


, "iho accompanies


Millv


Theale


Veni


visits


on a mo:


Personal


basi


than


can


LJ


LL JV


J^ V


I e ,


.


h-















everything


turned


to the dismal"


(James,


258).


The gusts


of the


first


sea storm


of the


season


are strong


in this


scene.


The beginning


storm,


soon


to break


in its full


est fury


, parall


at this


point


the beginning


of Densher


s own turmoil


of emotions


Baffled


denial


of admi


ssion,


he leaves


the palace


and walks


through


Venice


to the great

acquaintance.


azza.


Knowing


Unexpectedly

Lord Mark h


Densher


pressed


sees

hard


Lord Mark, a

in the past


London


marry


Milly


zled


as to


he should


now


be in Venice,


Densher


begins


make


connections.


senses


that


the direct


cause


for his


banishment


rests with


the sudden


appearance


of Lord Mark


in Venice.


As he reali


this


truth


the storm


reaches


its most


violent


intensity,


In this


highly


emotional


state


Densher


blames


Lord Mark


both


for hi


banishment


from


the Palazzo


Leporelli


and for the state


of the weather


"The


in the air,


otherwi


was


too much


like


the breath


of fate.


weather


changed


the rain


was ugly


the wind


wicked,


impossible


because


Lord Mark.


was b


because


of him,


a fortiori


that


Densher


the palace


was


is unexpect


osed"


edly


(James


summoned


, II,


to the Palazzo


Several


weeks


Leporelli.


later


On the day


he receives


the invitation,


the weather


is described


a bath


warm


air, a pageant


of Densher


during


autumn


light"


episode


(James,


progress


304).


from a mood


The emotional


of gloom and


experiences


despair


-1-aD ,-' nf


flfl Oflflv CO 0


a-rn n,-ricfl^


tPi annt iindl=*r.

zes


sea


r


nri-^^nh


l/~ *- T^./-


I,













scene


v of his libretto


Ethan


Ayer


uses


stage


machinery


lyrics


to establish


a relation


between


the setting


and the mood


Miles


Dunster


(Merton Densher


in the novel)


The storm


scene


in the


novel


has been


combined


with


a reconciliation


of Milly


and Mil


scene


v of the


opera.


Having


been


banished


from


the Palazzo


before


scene


v begins


Miles


comes


Milly


s residence


in the hope


of seeing


While


he awaits


admission


he describes


the storm


outs


ide to


Milly


s servant


in words


derived


from


James


It is


a Venice


all of lashing


rain


and of


cold black


raging wicked


wind


through narrow


asses


Ayer


140).


At this


point


in the


opera


does


know why


he has been


denied


entrance.


reason


Rather


from Milly


than


in this


drawing


scene.


own


conclusions,


Lord Mark


Dunster


had revealed


learns


the love


between Miles


and Kate


Croy


Left


alone


with


this


knowledge


awakened


sense


of guilt


at hi


betrayal


of Milly


Miles


listens


at the


window

more e


as the storm


emphasis


increases


given


in intensity.


to the description


In the novel


of the storm and


considerably

to its


relation to

the libretto


of confusion

subsequent a


the mood


of Merton


the novel


upon


nger


being

upon r


refused


ealizing


Densher. However,

used to give direct


entrance


the storm in


emphasis


to the palace


Lord Mark was


the dire


both


state


and to his


cause.


Hester is


a second


libretto


to reinforce


some


mood


of character


I


__














seven years


and resolve


to flee


Boston


together


in search


a happier


life.


In Carlson


s adaptation,


Arthur


tells


Hester


that


it is usel


to flee.


He bell


eves


that


no physical


or geographical


barrier will


prevent


Chillingworth


from


following


them.


After


a while


Hester


leaves


and Arthur


heard,


is left


and a flash


alone,


Immediately


of lightning


a distant


illuminates


roll


the set.


of thunder


Arthur


sees


visions


of Chillingworth


watching


from


the undergrowth.


expresses


fear


a highly melodramatic


fashion,


and the librettist


indicated


in the text


stage


directions


for sceni


effects which are


intended


parallel


Arthur


s feelings.


Arthur:


what


new


(The


terror
rumble


amI


feeling,


distant


thunder


heard


What


darkness


around


me stealing,


(Flashes


God has surely
(Dark c


that


A spirit
(


Thou
Thou


of lighting
curs'd me.


louds


old friend


s there
Flashes
out of


thou


old fiend get


meant


appear


are seen.)


thicker


elbow


there!


of lightning
hell!


rushing


and thicker
y and night


Everywhere!
continue.


at him.)


thee hence


curse


, get


but to


thee
kill


hence!


For mer


(The


more


heav'n
thunder
fierce


cry!


grows


To heav'n


louder


and the


cry!
lightning


Chapters


28 and 29


of George


Washington


Cable


s The Grandissimes


tell


the story


Bras-Coup


a former


African


voudou


prince


forced


into


slavery.


Cabl


underscores


the potential


strength


of Bras-Coupe


J













the conclusion


of the


ceremony,


"the


hurricane


struck


the dwelling


Bras-Coupe


turns


and asks


for Palmyra


has left


his side.


"Mademoi-


sell


e" tell


he will


have


to wait


until


ives


Palmyra


him.


Bras-Coupe


agrees


only


because


"Mademoi sell"


ells


him;


however


if he


deceived,


"Bras-Coup


will


call


Voudou-Magnan"


Cable


curse


the white


man


and his


land.


The potential


danger


of this


threat


to Martinez


and his


gues


sugge


sted by


the storm which


strikes


all its fury


at thi


precise


moment:


"The


crowd


retreated


and the storm


fell


like


a burst


of infernal


applause.


A whiff


like


fifty


witches


floated


canvas


curtain


of the


gall


and a fierce


black


cloud


drawing


moon


under


its cloak,


ched


forth


a stream


fire


that


seemed


flood


the ground


a peal


of thunder


followed


as if the sky


had fallen


the house


quivered,


great


roaned,


every


esser


thing


bowed


down


fore


the awful


(Cable


. 234


Moments


later,


drunk


from


his first


experience


with


wine,


Bras-Coupe


appears


the grand


salon


demands


more


wine.


When Martinez


refuses


him,


Bras-


Coupe


strikes Martinez


and,


as promised


utters


a curse.


After


he rushes


from


room,


scene


illuminated


an avalanche


of lightning


with


as-C


the midst


making


for the


swamp


" (Cable


libretto


Koanga,


Keary


and revised


Douglas


Crai


and Andrew


Page,


based


upon


the Bras-Coup


chapters


in The Grandissimes.


Throughout


Act II,


flashes


of lightning


and distant


thunder


suggest


. 23












has arranged


to have


overseer


Simon


Perez


prevent


Palmyra


marriage


demand


kidnapping


for Palmyra


her.


Don Jose


When


Koanga


strikes


him.


confronts


When


Don Jose


Koanga


with hi


curses


owner


and his


land


the storm


at its most


violent.


"Thunder


darkness--Koanga


alone


on stage,


advances


and falls


on his


knees


with


arms


outstretched


."1 Afterwards


"Koan


seen


, by


occas


ional


flashes


of lightning,


making


thro


' the


dense


ores


Crai


and Page


. 102).


storm


reinforces


the violent


passions


Koanga


as opposed


to the storm


in Hester which


suggests


the psycholo


gical


sturbance


Arthur


II Symbol


The description


settings


often


goes


beyond


reinforcement


mood


and functions


as symbol.


Hawthorne


s use of darkness


and light


The Scarlet


Letter


creates


symbolic


overtones


in the forest


setting


When


Hester and Arthur


meet


the forest


the setting


is at first


"dark


"dismal


" and "gloomy.


Later


when


Hester removes


the cloth


better


from her


invades


"And


dress


and the two have decided


the darkness.


as if the gloom


Hawthorne


of the earth


eave


establishes


and the sky


Boston


the symbol


been


, sunlight


correspondences


the effluence


those


two mortal


hearts


it vanished


with


their


sorrow


All at


once


as with


a smile


from


heaven,


forth


burst


the sunshine


" (Hawthorne


202-03


The fluctuations


darkness


and sunlight


symbolize


emotions


Hester


and Arthur


ose


I















There


is no specific


indication


in the stage


directions


or in the descrip-


tion


itself


that


this


forest


setting


intended


to be symbolic.


However,


there


are frequent


references


in the


text


to the sunlight


which


illumi-


nates


scattered


portions


of the setting


Together with


the text


the libretto,


this stage


lighting


creates


symbolic


overtones


similar


in their effe


to Hawthorne


s use of light


in Chapters


XVI-XIX


of The


Scarlet


Letter.


The opening


words


of the chorus


in Act I


immediate


establish an


association


of Hester with


darkness.


To the chorus


the blackness


Hester


s nature


appears


more


sinful


when


contrasted


with


the glow


sin which


shines


from


within


her:


How boldly
Yet outer


shines


sun:


darkness


Enfolds


wicked


woman:


while


within her


wrong


that


she hath


done


Gleams


bold


as bale-fire


againstt


the light


of day


In Act II,


Lathrop


the son-in-law


of Nathaniel


Hawthorne,


took


care


have


Hester


and Arthur


make


numerous


references


to the contrasting


light


and darkness


of the setting.


Late


in the Act


, Hester,


in the


presence


of Arthur


tears


the letter


from her


dress


throws


away


paralleling


action


in the novel.


Arthur,


observing


appearance


of the


sun, expresses


ideas


which


parallel


closely


the symbolic


meanings


associated


with


light


in the novel.


His words


are stage


directions


-On -


.- Lb j-IL.- t, ,-A..Sr


- -


y..tj A T .- -I -4-.


,--L? ^t


,? ,,,7


II 1


I


~~


A


ir* -S *L- T; j- Li













anguish


and another


of light


with


hope,


dreams


and the promise


bright


future.


And lingering


To follow


shadows


the star


olden
olden


sorrow
morrow


The white


sail


ears


Wi th


a light


It beckons us on with


gladdening


more


In anguish


ark to


grope


. (Lathrop,


having


characters


sing


repeat


the relation


of light


odness


and of darkness


to sin and evil


, Lathrop


made


a consc


ious


effort


to reproduce


in hi


libretto


the symbolic


relationships


Hawthorne


s novel.


The lyrics


and the lighting


effects


combine


this


scene


to gi


the setting


a symbolic


significance


which


it would


otherwise


lack.


In addition


to these lighting


effects


in The Scarlet


Letter


other


librettos


Hester


and Merry


Mount


contain


stage


directions


specific


visual


effects


carry


symbolic


significance.


a theatre


with


sophisticated


stage


machinery


almost


effect


is possible.


Often


the librettist,


the director,


and the stage


designer will


work


closely


toge


their


to produce


astonishing


effect


In his libretto


Hester


Carlson

effect,


uses


sugge


stage

sted b


machinery


the second


create t

scaffold


wo symbolic


scene


effe


the novel


The first


when Arthur


sees


letter


"A" in the sky,


occurs


in Act IV.


Left


alone


in the


forest


after


Hester


eaves


Arthur


Dimmesdale


frightened


knowledge


of Roger


Chillingworth


s evil


nature.


A violent


storm approaches.


new
















remainder


of the


scene.


When


Roger


Chillingworth


appears


in the forest


toward


the end of


scene


, there


is no indication


in the libretto


that


sees


the "A" in the sky.


Since


no other


chara


cter


in the


opera


refers


to the


appearance


of the le


tter


the suggestion


in the


opera


is that


symbol


meaning


izes


of the "A


the guilt


remain


haunting

s ambiguo


Dimmesdale.

us. At first


In Hawthorne

. Hawthorne


s novel


imputes


, the

the


vision


of the letter


"solely


to the di


sease


in his


own eyes


and heart


that


the minister


, looking


upward


to the zenith


beheld


there


appearance


an immense


etter--the


better


" (Hawthorne


155)


Yet,


the next


as the congregation


leaves


the church,


a sexton


inquires


of Dimmnesdale


if he had


seen


portent


in the sky


the night


before


a "great


red letter


in the sky,


--the


letter


--which


we interpret


stand


for Angel"


(Hawthorne


As Hawthorne


explains,


rson


having


seen


the sign may


have


attributed


to it his


own


sense


guilt.


The "flaming


has a wider


symbolic


application


in the novel


than


it has


in the libretto


In Act V of Hester


Carlson


requires


a visual effect which


precedent


in the novel.


Act V ends


as Arthur


dies


in the


arms


of Hester.


Looking


heavenward


Hester


sees


Pearl,


her dead


child


: "A vision


appear


in the white


clouds


reve


aling


Hester'


child


as an angel


granting


heaven


s forgi


veness


" (Carlson,


267)


SIn both


adaptations


- n


II













described


as a blessing


to Hester;


"God,


as a direct


consequence


9





of the


sin which man


thus


puni


shed


given


her a lovely


child


whose


place


was on that


same


honored


bosom


, to connect


her parent


for ever with


race


and descent


of mortal


and to be finally


a blessed


soul in


even


" (Hawthorne


. 89).


In Hawthorne


s short


story


"The


Maypole


of Merry


Mount


residents


of Merr


Mount


gather


to decorate


the Maypole


and to celebrate


the wedding


of the Lord


the celebration


and the Lady


interrputed


and the


of the May


Maypole


and Edith.


destroyed


Later


a group


Puritans,


led by


En dic


ott,


sever


est of


the Puritans.


At first


threatened


the Puritans


, Edgar


and Edith


are soon


released


start


their


marri


life.


The stark


contrast


between


the lightedheart


pleasure


seekers


of Merry Mount


and the grim


Puritans


symbolizes


theme:


"life


s idl


measures"


of whi


ch the


residents


of Merry


Mount


are the


emblems


must


"place


to the sternest


cares


of life


, personifi


the dark puritans"


(Hawthorne,


Twice-Told


Tales


In Merry


Mount,


Richard


Stokes


created


two lavi


scenes


which


require


more


sophisticated mechanical


devices


to produce


than


other


settings


in the librettos


studied.


Together


these


scenes


"The Maypole"


and "Bradford


s Dream"


symbolize


the inner


conflict


of Bradford


opera


s hero


In Act II


"The


Maypole


a crowd


of revelers


gather


decorate


the Maypole


and to


celebrate


the wedding


of the Lord


and the


" the


T -^


__















actions


and in elaborate


intentionally


parallels


costumes


prepares


, suggestive


of Hawthorne


for Act II,


s stor


"Bradford'


Dream.


Act II,


I opens


with


a group


women


revel


ers


twinin


ribbons


around

nations


English7


the Mayp


are complete


pageantry


located


, a lengthy


appears


the center

procession


announcing


of the stage.

of the Nine


appearance


When t

Worthies


of the Lord


he decor

of old


of the


May.


As he takes


his place


on the throne


, "flags


break


forth


arch


above


Gower


s head


Stokes


. 111)


scene


follows


full


color

were


and fill

suggested


with


characters


Hawthorne,


in imaginative


makerss


costumes


falsefa


, some

with p


of which


endulous


noses


and gaping


lips"'


(Stokes


. 111).


These


characters


break


into


a wild


dance around


the Maypole.


Following


this


ballet


, Marigold


Sandys,


the Lady

aloft in


of the May


"a coach


enters


formed


"costumed


y thirty-six


as the

girls


oddess


of Spring


" (Stokes,


125)


borne

adding


the color


and splendor


of the


scene.


This


scene


is climaxed


wedding


ceremony


which


is interrupted


Bradford


and his band


Puritans.


, paralleling


scene


, opens


with


a group


of witches


riding


through


the air


on broomsticks


. A


minotaur


climbs


out of the


earth


and begins


a dance.


As in


scene


, a lengthy procession


takes


place,


this


time


consisting


of monsters


which


announce


Lucifer


__

















its hood


like


a parasol


and shines


upon


the throng


a ghastly


fluorescence"


(Stokes


. 193).


At the parallel


point


when


the Lady


of the May


entered


scene


, Astoreth,


the consort


of Lucifer


sung


same


soprano


who portrays


Marigold


Sandys


n ow


appears.


The obj


ect of Bradford'


eroti

with


fantasies


Lucifer.


Astoreth


Immediately


persuades


after


Bradford


signs


sign


name


a blood


the monste


contract

rs slink


away


the toadstool


"descends


through


the earth"


(Stokes,


. 197)


Lucifer


and Astoreth


leave together


and Bradford


, asleep


alone.


The total


scenic


picture


setting


action


and characters


Bradford


s troubled


dream


parallel


those


in "The


Maypole.


Psychologically


Bradford


assoc:


iates


the residents


of Merry


Mount


and their


heathen


practices

conflict


with t

between


he followers


Bradford


of Lucifer


s Puritan


and their


asceticism


evil


which


temptations.


views


as good,


and his


physical


attraction


to Mari


gold


Sandys


which he


believes


evil,


symbolized


scenically


the parall


contrasts


in these


scenes.


In two librettos


, Billy


Budd


and Owen


Wingrave


power


of the


lyri


alone


invests


the settings


with


symbolic


stature


Through


series


of analogies


Forster


and Crozier,


following Melville's


hint,


intend


the setting


a microcosm.


In Chapter


of Billy


Budd,


Melville


compares


story


of conflicting


passions


a drama.


"Passion,















beggars and rakers of


the garbage" (Melville,


78).


This theatrical


analogy is completed when Melville compares the Bellipotent to a stage:


"In the present


instance the stage is a scrubbed gun deck


" (Melville,


Against this setting,


the drama of Billy Budd with its elemental


conflict of


good and evil is told.


Melville expands his image of the


Bellipotent as a stage into a symbol of the man-of-war as a microcosm.


For instance


"simpler sphere" of


Dudd's impressment involved his transferral from the


the Rights-of-Man to the "more knowing world of


great warship" (Melville,


50).


Moving from one mode of


existence to


another is analogous,


in the novel,


to being transplanted from the


simplicity and innocence of the provinces to the complexity and intrigue


of a royal


court (Melville,


In a production of the opera,


the story of Billy Budd is acted on


a stage made


literally to represent the decks of the


Indomitable.


Various


characters in the libretto describe the setting in terms which suggest it


is to represent the larger world of men.


to make this direct comparison,


Claggart


comments to himself


the first character

that he has studied


mankind.


This larger experience has prepared him for a parallel activity


in the smaller world of the


Indomitable.


Taking offense at his officer's


order to watch Budd,


Claggart asks himself


sarcastically


"Have I never


studied man and man


s weaknesses?


Have


I not apprenticed myself to this


- -I_ _. ----- ----


-L J 1 1


IYr^ iircrn cIA nt I' r' v nnri P n1 an T' I n T


T"l 1


n rl T 13 1 I_ i rl1 t 1 i r T n- T rll i i c11 T














(Forster


and Crozier,


136-37).


Captain


Vere


extends


this


analogy.


After


the court-martial


Vere


comments


upon


position


as head


ship


s realm


: "Death


is the penalty


for those


who break


the laws


earth


and I


am king


of this


fragment


of earth,


of this


floating


monarchy,


have


exacted


death"


(For


ster


and Crozier,


290-91)


As in


the libretto


The Scarlet


Letter


in which


chara


cters


dialogue


identifies


the symbolic


function


of the forest


Forster and


Crozier


use the words


of Clag


art and


Vere


to make


the Indomitable


a microcosm.


At the close


of Chapter


following


the arguments


of the drumhead


court


the narrator


of Billy


Budd


comments


upon


the distinction


between


the actions


and d


sons


of individuals


directly


involved


emergency


situations


the rational


judgments


passed


those


viewing


the situation


in retrospect.


person


participating


in the immediate


situation


often


is forced


to act,


if not


totally


upon


impulse


from a


limited


both


vantage

a practi


point.

cal and


These


emergency


a moral


natur


situations

e. The ma


can involve


n involved


deci


in thi


sions

s type


of situation


is like


a pilot


whose


ship must


sail


through


thick


view


of the


man on the bridge


is greatly


hampered


the fog


while


below


deck


have


little,


any,


true


understanding


of the captain


responsibilities


. "The


greater


the fog


more


it imperils


the steamer


and speed


is put


on though


the hazard


of running


somebody


down.


Little


ween


snug


card


player


the cabin


of the responsibilities


of the


men


v














several


characters.


In all of the references


to them


the mists


literally

insight.


impair

Those


clear

moments


physical

during


vision

which t


and figuratively


he mists


block


symbolize


true

clear


vision,


both


physical


and mental.


In Chapter


18 of the novel


a brief


encounter


the Bellipotent


with


an enemy


ship


is dismissed


in four


senten


ces.


crew


pursues


enemy


frigate


which


eventually manages


to elude


the Bellipotent.


This


short


passage


becomes


an important


scene


opera.


At the opening


of Act II


scene


is the quarter-deck


and "the


air is


grey


with mi


. 171)


Later


when


an enemy


ship


sighted,


"the


mists


begin


to lift


" (Forster


and Crozier,


.176


The first


comment


made


the sailors


their


delight


at havin


unobs


tructed


view


of their


enemy:


"By God


the French!


the mist


gone


" (Forster


and Crozier,


176-177


When


the Indomitabl


fires


enemy,


the shot


falls


short


and the French


vessel


escapes


into


distant


mist.


Vere


comments


upon


this:


"Ay,


the mist


back


to foil


The mist


creeps


in to


blind


us.


chase i


foolish


" (Forster


and Crozier,


sea mi


218).


sts which have


To this

impaired


point r

physical


eferences

vision.


have

After


been


to the literal


ordering


Budd


be brought


to hi


cabin


to face


Claggart


Captain


Vere


begins


to think


of the mists


in figurative


terms.


mists become


source


for interior


as well


as exterior problems


"Disappointment


vexation


, everywhere


nreemnn


over


ev' rvth in'-


fnonfnsi in


PV'rvnne


(nnfi.csi nn wi


-t.hrntl


rnd


nnd















person,


Vere,


is "not


so easily


deceived"


(Forster


and Crozier,


In thi


scene


Vere


optimistic


that


can prevent


any problem


since


he clearly


under


stands


the relation


of the two


men.


However


, immediately


following


Claggart'


death


Vere


discover


was


mistaken.


The truth


the matter


is now


clear.


What


he believed


to have


been


true


insight


into


the matter


earlier proves


with


Claggart


s death


to be false.


believed


the symbolic


sts had


risen


and permitted


a full


under-


standing.


With


Claggart


lying


dead


on his cabin


floor


and with


Budd


standing


quietly


Vere


now


sees


the situation


in its


true


light.


"The


mists concealed


all,


all," (Forster


and Crozier,


Vere


sings


The horror


of the truth


clearly


revealed


to Vere


, symbolized


clearing


of the figurative


mists


that


he i


the judge


Budd


action


the destroyer


of the


innocent


Billy,


not Claggart.


views


the trial


as his


own.


"It is not


trial,


it is mine,


mine


mine


."(Forster


and Crozier,


Lyrics


are used


y Myfanwy


Piper


create


a symbol


setting


Owen


Wingrave


based


on James


s short


story.


The dramatic


situation


same


in the libretto


as in the story.


Owen,


youngest


male


member


of British


family with


a distinguished


military


history


rebels


against


following


this


tradition.


Owen


is ordered


to Paramore


family


ancestral


home


where


he will


straightened


out.


The setting


in hrnthh


tih- QT.Tn v


anri +.hn li"hrr+.t.tn


bhPpnnmpec


Shn t.tl


Pfi e d


Thp hnuse


-I -


_ ~


1














represents


the tradition


the exploits


of the British


army"


James


17).


On a dare


from Kate


Julian,


a girl


Owen


loves


, he plans


spend


night


in a room


believed


to be haunte


an ancestor.


What


occurs


inside


The 1


setting


room


sentence


is never


explained


of the story


a battlefield


"He


again

ooked


but it is the


equates

like a


Owen


young


cause


of Owen


a soldier


soldier


s death.


and the


on a battle-


field"


James


51).


In the libretto


Owen


views


his position


at Paramore


as that


soldier


ering


battle.


"How


strange


Here


in my


own


house


stand

opera


an enemy

continue


" (Piper,

s. Owen


. 15).


pictures


The images


himself


increase


engaged


in number


a battle


as the


in which


is surrounded


sacre


family


traditions


, symbolized


in part


portraits


of family


military


heroes


which hang


on the walls


of the house.


Words


are the artillery


of the


enemy:


I'm in
bombard
blockade
starved


a state


with


the
ack


horrible


words


love


Finally,


values


the house


defended


is symbol


all members


a number


of the Wingrave


of concepts,


family


of traditional


but Owen.


openly


rebels


against


these.


In Act


v described


as "abstract


members


of the family


are shown


over


a period


a week


bombarding


Owen


with


the real


meaning


of his


denial


of their


cherished


values.


Owen's


- n I A- A----- -'- -


1 n -


I t


1


1


_ 1 -


'1II












III Tableau


Another important use of stage

effective stage picture or tableau.


setting is to aid in providing an

"Enormously popular in the French


theatre at


the end of


the eighteenth century and during the first half


of the nineteenth century" (Smith,


. 189),


tableaux were


traditionally


reserved for the climactic scenes.


In opera,


these


scenes


are represented


musically by aria,


a cavatina


, or a large concerted ensemble of


soloists


and chorus.


An audience anticipates these musically climactic moments.


One function of


the tableau is to enhance


the effect of


the musical


climax by duplicating "on a visual scale the setpiece of


the ballad,


cavatina,


or ensemble" (Smith,


Act II of Donizetti's Lucia


di Larrunermoor closes with a famous operatic


tableau.


Lucia,


having just


been forced to sign a contract wedding her to Lord Bucklaw,


is shocked


by the unexpected return of her


lover Edgardo.


Her brother Enrico


and Adgardo start


to unsheath their swords but change their minds.


Suddenly

seconds,


, both the dramatic action and the music stop.

the orchestra introduces the famous sextet.


After a few

This tableau


of the interrupted wedding ceremony is maintained throughout the singing


of the ensemble,


after which Edgardo rushes from the hall.


In addition


to these artistic effects,


tableaux,


as Smith point out,


"were


splendidly calculated to generate applause" (Smith,


Wainwright's Rip Van Winkle is the only


189).


libretto among those


studied to give specific instructions for the use of


tableaux.


Careful


tableaux.


Careful











along


the Hudson


River.


The credit


page


of the libretto


explains


that


scenery


was "painted


from


Nature,


drawings


for the


express


purpose


having


been


taken


on the spot"


(Wainwri


The four


tableaux


are presented


in Act I


are "after


the celebrate


etchings


'Rip


Van Winkle


. Darley"


(Wainwright


In addi tion


to the


values


of presenting


a striking


stage


picture


and of providing


visual


support


to climactic


moments


these


table


eaux


offered


additi


onal


pleasure


presenting


scenes


already


familiar


to the audience


from


an early


edition


of Irving


s tale.


Two tableaux


, the first


and the fourth,


occur


at moments


in Ac


when


sings


songs


in honor


of drinking.


Earl


in the act Rip


village


and friends


urge


him to sing


Nicholas


the landlord


the inn. Derrick


Van BLmunel


the schoolmaster


numerous


villa


gers


gathered


in front


of the


inn make


the tableau.


In the fourth


tableau


of the act set in the Catskill


Mountains


sings


for Hendrick


Hudson


and hi s


men


Act I


to add to the mirth


the second


of the


the third


group


tableaux


as they


are set.


play


ninepins.


These


present


pictures


of Rip's


domestic


life.


The second


tableau


not related


musical


moment.


The setting


the interior


of Rip


s house


and the


tableau


involves


Dame


Van Winkle


, a village


maiden


Anna


and Rip


children


and Young


Rip.


The third


tableau at


the close


of this


same


scene


precedes


a duet


and hi


wife


The tableau


presents


the four


members


the Van


Winkle


family.


and his wife


quarrel










table


great


eau


operas


influence


of the nineteenth


on the development


century,


according


of the libretto.


With


to Smith


increasing


emphasis


placed


on the tableau


for theatrical


effect,


the story


line


these


librettos


was condensed


into


a series


of loosely


connected


grand


scenes.

scenic


This

grande


disjunctive a

r and variety


approach

rather


to dramatic


than


presentation


the present action


emphasized

a continuous


story


line.


Consequently


the tableau


and its


accompanying


disjmunctive


story


line


become


prominent


features


of the French


Grand


Opera,


providing


creators


with


maximum


opportunity


for sceni


effectiveness


through


variety


and large


seal


production.


The influence


of the


tableau


upon


scenic


structure


can be


seen


a twentieth-century


libretto


, Wozzeck,


Alb an


Berg,


one of


the most


highly


praised


and most


frequently


produced


operas


this


century.


The original


connect


play


scenes.


y Georg


tell


Buchner


this


consi


story


sts of Twenty-five


of the existential


loosely


anguish


mental


deterioration


of Wozzeck


, Berg


selected


fifteen


scenes


from


the play


The result


was a senr


scenes


even


more


loosely


connected


dramatic


cally


than


they


been


in the original


play


The problem


unification


of these


scenes


was


in Ber


s own words


"more


musical


than 1

rather


literary,


than


and had to be

the rules of


solved


laws


dramaturgy


of musical


According


structure


to Patrick


Smith,


suggests


libretto


the term


as Wozzeck


"snapshot


this hallmark


scenes"


of the


for the units


such


twentieth-century


libretto


r














The sixteen


scenes


in Myfanwy


Piper'


The Turn


of the Screw


present


this


disjunctive


structure.


Fifteen


scenes


were


adapt


from


James


s novella


, which ha


twenty-four


chapter


The idea


presenting


a multiplicity


Britten.


of short


The selection


scenes

of the


originated

scenes was


with


"dictated


composer,


a careful


benjamin


analysis


of the text.


According


to the librettist,


the chief


concern


transforming


these


scenes


from


the novella


to the stage


was presentation


of detail.


"What


be invented


was


neither


sequence


nor


fact,


detail


(Piper,


. 80).


The effect


of these


separated


"snapshop


scenes"


to present


an accumulative


seri


of detail


which


when


viewed


collectively would


accomplish


several


purposes.


"Each


scene


was


then


planned


carry


the drama


one step


further


and at the


same


time


show


some


aspec


of their


residents


of Bly)


daily


life.


In thi


some


indi


cation


of the


passage


of time


could


be given


without


holding


the action"


(Piper


81).


Although


sequence


was not of primary


concern


to the librettist


the question


of unity


had to have


been.


Musically


scenes


are linked


orchestral


linked


interludes


the sceni


called


details


"Variations.


chosen


Dramatically,


the librettist


they


are


for presentation.


These


detail


were


sugge


sted


James


s story


and they


are al


seen


in the st


age settings


opera.


The librettist


writes


"And


even


for detail


there


was more


often


than


some


hint


somewhere


in the text


was


to


__


--I--


_













Thirteen of


the sixteen


scenes


take place on


the grounds of Bly.


Eleven scenes are set in the house itself.


For instance,


Act I,


scene


1i--"The Welcome"--is set on


the porch of Bly.


Scene


entitled


"The Letter" again is set on


the porch but not the window is included


as an additional detail.


scenee


iv--


"The Tower--once again reveals


the porch;


however,


in addition to


the window,


tower of


the house


is now visible.


In this scene


the Governess first


sees


Quint.


Each


succeeding scene unifies this disjunctive presentation of


events in


two ways.


iFirst


the movement from one scene


to the next allows the


action to flow with a minimum of interruption.


Secondly,


this multi


plicity of


scenes reinforces "the impression (so powerfully conveyed


in James's story) that the action covered a considerable period of time


and that there were


long stretches of


normality between the occasional


supernatural appearances of


the phantoms."12


Through


the use of


stage machinery and lyrics,


a librettist often


endows his settings with two special


functions.


Storm scenes produced


through simple sound effects and stage lighting were used in three


librettos to parallel


the inner turmoil


of the characters.


Elaborate


staging,


the contrasting scenes in Merry Mount each with parallel


Visual effects,


created symbolic correspondences


unstated in the libretto.


Likewise,


lyrics,


i.e.


the figurative


language in Billy Budd which


establishes correspondences between visual clarity


and intellectual


I


_ ~ n













two-fold:


to create effective stage pictures and to affect the


scenic structure of librettos.














Notes


l"It was a


Venice all


of evil


that had broken out for them alike,


so that
met on i


they were


together in their anxiety,


a Venice of


if they really could have


cold lashing rain from a black sky,


wind raging through narrow passages." Henry James,


II (New York:


Charles Scribner


s Sons


, 1909),


of wicked


The Wings of the Dove,
p. 123.


2Charles Frederick Carlson,


Library,


1958),


Hester,


a microfilm (Chicago:


Newberry


209-10.


3George Washington Cable,


The Grandissimes (New York:


Charles


Scribner's Sons,


1891),


p. 234.


C. F


. Keary,


Koanga,


and Andrew Page (London:


revised English libretto


Hawkes & Son Lt


, 1935,


o by Douglas
1974), p. 10


Craig
C


Hawthorne


equates the sunlight which dispells the gloom of the


forest setting to the love


which,


momentarily at least,


despair in the hearts of Hester and Arthur.


Hawthorne's Fiction:


Oklahoma Press


, 1964


The Light and the Dark (


)T


replaces


See also Richard Fogle's
Norman: The University of


134 in which the light is symbolic of hope


George Parsons Lathrop,


The Scarlet Letter,


Dramatic Poem


(189


7Richard Stokes


The librettist
Hector of Troy,


Arthur,


identi


, Merry Mount (New York:


fies these characters in his synopsis


Inc.,


Alexander the Great,


Charlemagne,


Judas Macabaeus,


: Joshua


Julius Caesa:


. III.
, David,
r, King


and Duke of Godefrey of Bologne.


8The Complete


Tales of Henry


V. Lippincott Company,


James,


Leon Edel


9 (New York:


9Myfanwy Piper,


Owen Wingrave (London:


Faber Music Limited,


1971),


1OAiban Berg,
(New York: W. W.


"A Word about Woz
Norton and Company


zeck. "


in The Essence of Opera


Inc., 1969)7,


Myfnwny Piper,


Screw," Tribute


"Somo


Thoughts on


to Benjamin Britten


TLibrtP to


Anthony Gishford (London:


" aber and Faber, 1963), p. -0.


1964), 35.


1933),


Harm


Turn of















CHAPTER


CHARACTERIZATION


THREE
OBSERVABLE TRAITS


Forster,


paraphrasin


the French


literary


critic


Alain


asserts


that


each


man


two sides


the physical


and the psychological.


The physical


trait


consist


of "all


that


is observable


in man--that


his actions


and such


spiritual


stence


as can be deduced


from


actions.


1 The use of observable


character


traits


to portr


characters


common


to both


drama


and fiction.


In addition


to the


actions


performed


chaxa


cters


, phy


sical


detail


often


can reveal


aspects


of character,


like


the physical


beauty


of Billy


Budd


the impediment


of his vocal


stammer


which


are emphasized


by Melville


in his novel.


Physical


objects


associated


with


a person


will


often


reveal


character


traits.


These


of Catherine


be items


Sloper


in James


chosen


a character


s Washington


Square,


such


as the clothing


or they may


be objects


relating


to the character


independent


of his choosing


such


as the


scarl


letter worn


Hester


Prynne.


can begin


with


a discussion


action


as it affe


characterization.


Actions


Three


types


actions


are usually


specific


a libretto


repeated


actions


, startling


or unexpect


actions


and symb


olic


actions.














novel


with his


hand


over


his heart.


Leland


Schubert


traced


Hawthorne


repetition


of this


action,


intended


to suggest


Dimmesdale'


inner


guilt


remorse


and found


appears


on thirty


different


pages


of the book.


Unlike


numerous


repetitions


in the novel


Dimmnesdale


performs


action


only


twice


in the libretto.


Leaning


over


a balcony


Dimmesdale


appeals


Hester


reveal


the identity


the father


of her child.


When


she refuses


Dimmesdale


"sinks


back


exhaus


ted,


with his


hand


over


heart"


(Lathrop,


10).


This


action


is repeat


just


before


Dimmesdale


enters


the Meeting


House


for worship


. He


"turns


away


with


bowed


head


, hi


hand


clutching


his breast


" (Lathrop,


. 15).


Schubert


qualifies


prai


of Hawthorne


s use of this


motif by


pointing


to the essential


weakness


in any


often


repeated


devi


becomes


monotonous"


(Schubert,


146).


But in Lathrop


s adaptation,


because


Dimmesdale


s action


is specified


the librettist


only


twice


its eff


ectiveness


weakened.


reverse


of Lathrop'


arse


use of repeated


actions


seen


in Forster


and Crozier


s Billy


Budd.


librettists


place much more


emphasis


on Budd


s stammer


than


does


Melville.


Budd's


inability


speak


under


certain


instances


stress


is dramatized


twice


in Melville


version:


first


when


the afterguardsman


tempts


Budd


to mutiny


second,


when


Claggart


accuses


Budd


of mutiny


In the Prologue


to the


opera,


Vere


mentions


this


flaw in Budd:


"There


is always


some


flaw in


: "It














opera



-4


as a leitmotif


asso


citation


with


Budd


s stammer:


crest: poco


(Britten


This


leitmotif


sugge


a message


which


Budd


unabi


to relate


when


he discovers


Squeak,


Claggart


s lackey,


meddling


in his


belongings


again


when


a novice


afterguardsman


in the novel)


attempts


bribe


into


a false mutiny


plot.


The final


occurrence


of Budd


s stammer


is in the accusation


scene


which


in the novel


is entirely


descriptive


with


the exception


of Vere


s plea


for Budd


to speak.


The parallel


scene


in the


opera


underscored


the stammer motif


which


serves


both


as a remini


scent


theme


as an anticipatory


theme.


While


recalling


previous


incidents


when


Budd


could


not respond


the motif


creates


a degree


suspense


through


anticipation.


Appearing


closer


intervals


whi ch


become


more


insistent


in their


impact,


arpe


suggest


Budd'


increasing


agitation.


Finally,


at the moment


of dramatic


climax when


Budd


shouts


"Devil"


as he strikes


and kills


Claggart


, the orchestra


stops.


The stammer motif


does


appear


again


ah *


now


-1 -


q


1


__


I~ _















When Budd is unable


to defend himself


against Claggart's charge of


mutiny,


he responds with a


the audience.


violent action which startles both Vere and


Characterization through


the performance of violent or


unexpected actions is common


H. Auden,


to successful operatic dramaturgy.


this immediate active quality is necessary in operatic


characterization because


"music is immediate actuality and neither


potentiality nor passivit


can live


in its presence."


This passionate


active state is the


"quality common to all great operati


roles,


e.g.


Don Giovanni


, Norma,


Lucia,


Tristan


, Isolde,


runmnhilde" (Auden,


, 356).


All sixteen of the librettos under discussion portray charac-


ters


through startling actions.


In eleven librettos these actions occur


with little or no change from the source material.


five remaining librettos perform startling actions which,


Characters in the


in each instance,


introduce some alteration in


the original story.


The most extensive


change occurs in Stokes'


Merry Mount.


Wrestling Bradford,


who does


not appear at all in Hawthorne


s story,


is the spiritual leader of


the puritan New England colony.


In the course of


the opera,


he performs


a series of


startling actions--a compact with


the devil, a demonic


curse against the colony,


the murder of the beautiful young Marigold


Sandys,


and his suicide by immolation.


Taken together these actions


reveal a religious leader who has been converted into a full-blown













In Melville's


short


story,


"The


Bell


Tower,


" Bannadonna


designs


and erects


a combination


bell


tower


clock


tower


On the giant


bell


designed


for the tower


are twelve


ures


young


girls


each clasping


hands.


Una,


the figure


representing


the first


hour,


holds


the hand


Dua and


so on


size


the fire


necessary


to forge


this bell


frightens


the workmen


that


they


refuse


to perform


their


duty.


prevent


failure


of thi


final


casting


Bannadonna


strikes


and kills


anonymous


individual


among


men.


The others immediately


return


to their


duties.


In Ernst


Krenek'


libretto


the murdered


man


identified


as Giovanni,


Bannadonna


s foreman


the f


ather


of Una.


Unlike

in love


the figure


with


in Melville


Bannadonna.


s story,


The only


Una i


female


a human


character


being


in the


fall


opera,


added


to the libretto


for music


cal and


dramatic


reasons


Musically,


she supplies


opera


with


vocal


variety


a quality which many


libretti


composers


believe


necessary


an operatic


score


Dramati


cally,


the introduction


of Una


produces


two effects


First,


she provides


love


interest


which


the original


story


lacks.


More


importantly,


as a living


creature, contributes


a charac


terization


of Bannadonna


different


from


that


created


by Melville.


When she


reali


zes


that


Bannadonna


has betrayed her


Una attempts


kill


but fails.


retaliation,


Bannadonna


performs


a feat


magic


not attributed


in the short


story.


an ancient


and mysterious


Chinese


technique


- -


was


n














inductions,


arrive


a knowledge


of the


source


of life.


What


he strove


to accomplish


as an arti


"was


to have


been


reached


not b


y logic,


not by


crucible,


not by


conjuration,


altars


plain


vice-bench


and hammer.


In the pref


ace


to Percy MacKaye


s free


adaptation


of Rip


Winkle,


the libretti


this work


warns


with


that


the story


any "reader,


of Washington


or spectator,


Irving


compare


or the play


Jeff


person


will


discover more


differences


than


resemblances


5 Rip


a bachelor


engaged


to the shrewish


Katrina


Vedder


, goes


to the mountains


and falls

husband w


asleep.


ho rebel


In this

against


adaptation,

his shrewish


Rip i

wife


s changed


into


from a


an enamored


henpecked

young


man


beli


eve s


he i


in love.


In Irving'


tale


, Rip


acts


independently


outside


control.


He leaves


wife


when


she refuses


to allow


his dog


into


the house.


In MacKaye


s operati


version


, Rip


eaves


villa


ge to satisfy


the demands


of hi


shrewish


fiance.


return


watched


over


Hendrick


Hudson


and his crew who


wish


see him marry


Peterkee,


Katrina


s younger


sister.


supernatural


intervention


Hudson


and his


crew


produces


two results.


First


success


their


plan


is ensured.


Their


supernatural


powers will


exert


a control


over


destinies


of the human


characters.


Secondly,


is changed


from a


character whose


actions


form


plot


into


a figure


is controlled


the demands


-


the plot


itself.


. J
















Note


" that


"new


incidents


and moods


are introduced"


(Lathrop,


prepare


the reader


of his libretto


for Hester'


ul timLunate


of suicide


In the novel,


Hester


admits


to Chillingworth


that


she has


considered


death.


have


thought


of death


' she said,


--'have


wished


for it


--would have


prayed


for i


'" (Hawthorne


never


active


y pursues


this


course


of action.


the libretto,


a parallel


interview


tween


Hester


and Chillingworth


takes


place


during


which


Hester


asks


about


the nature


a phial


medicine


"Will


bring


me death?/


Then


gladly


drink


it,/


To win


release


(La throp,


Here


Hester


'ml ike


Hawthorne s


heroine


drinks


the potion


unhesitatingly.


La throp


s characterization


chan


Hawthorne


s strong


, intellig


woman


into


an impulsive,


emotional


heroine.


She becomes


a typi


operati

little


character


forethought.


acting

This


emotionally


portrait


on the demands


Hester


of the moment


illustrates what


with


Patrick


Smith


describes


as a key


nineteenth-century


Romanticism:


"The


first,


and probably--in


a breakthr


ough


sense,


--the


most


important,


change


in the libretto


was that


involving


the idea


of death.


The death


the hero


or the heroine


. was


hallmark


of the Romantic


opera


" (Smith


, pp


. 195-96)


Hester


s death


is contrived


sati


a contemporary,


romantic


theatrical


convention.


rhaps


the most


problematic


characters


in terms


successful


oes


. 56


16)













ambiguous.


At the end of the story,


the reader


could


only


question


whether


the ghosts


ever


really


outside


the Governess


s imagina-


tion.


] ame s


bel


eved


that


direct


s statement


concerning


the motives


of the ghos


ts would


weaken


the nature


evil he hoped


convey.


own method,


as expressed


"Pref


ace."


was to present


the ghos


through


shadowy


innuendo.


adapting


Quint


and Miss


Jessel


for the sta


Bri tten


Piper


either


had to make


them


appear


on stage,


visible


to the audience


are to the Governess,


or to


suggest


their


invisible


nature


through


some


effect


resulting


from


According


to George


Martin


"the


latter


course


would


have


mean t


abandoning


crux


James


s story


rather


than


losing


only


its final


subtle


In the libretto


the ambiguous


nature


of Quint


and Miss


Jessel


sacrificed.


audience,


like


the Governess,


sees


them.


However


two questions


central


to the mystery


entirely


clear


in James


the libretto


s story


which


are retained.


of the other


First,


characters


the apparitions.


Second,


the motives


of Quint


and Miss


Jessel


remain


suffi


ciently


hazy


and,


as James would


have


, suggestive


of their


evil


presence


and intentions.


Through musical


character


zation


Britten


"What


achieves


Britten


effects


have


possible


lost


only


in ambiguity


in opera.


he gained


George Martin


in other


explains,


respects


with


sound,


a resource


unavailable


James


( "Another


Turn


see


it i














with


orchestral


instruments


suggests.


The supernatural


appearances


Quint


and Miss


Jessel


are assoc


iated


throughout


opera


"with


flat


keys


and flattened notes


" (White


His Life and His


Operas,


181-82).


Quint's


first


appearance


is accompani


a surprising


E flat major


chord


on the celesta


a predominant


tonality


of D major.


Quint becomes visible on the tower.


- rene.


S----
D. 'y ..


f J' ll L t *


y v- I


S


* ~ --



.- V. 6.


4
\ ..



- *


(Britten,


Miss


Jessel,


as Eric


White


notices


, "is not so strongly


characterized


as Quint.


appearances


are frequently


underpinned


a sombre,


brooding


slowly


spread


chord"


White,


His Life and His


Operas,


182).


%r---4 C ---
:^^=t =?.l^ft __-


... t =


:r ---^ ^ -


26


t\ J,


:a


-^1 I 1


t


I ^.















This


arpeggio


culminates


in the characteristic


E flat


associated


with


the supernatural


world.


The most


interesting


and complex musical


characterizations

between the Gover

However, the tona


occur


ness


lity


in the final


and Quint.

of the music


scene


The key


sung


during t

signature


he confrontation


the Governes


A major.

s and Mili


fluctuates


, beginning


in E major.


Also


a ground


bass


figure


appears


the orchestra


at this


point


which


will


later


be associated


with


Governess


s strength


in combatting


power


of Quint


() Miles.... I can-not bear to.. lose, you.


4%)


I ITn. |it


W--i:
--- -


- -- I


Ir /*It.I I p

^f=
17 h lit;'


- _-- ,-- .__.


*z


(Britten


. 184)


Quint


s appearance


this


scene


is announced


when


he i


heard


calling


Miles


In contrast


to the major


tonality


of the Governess


s music,


Quint


begins


on the charac


teri


stic


flat


I--I ~.---


h
















The final


struggle


between


the wills


of the Governess


and Quint


characterized


in the meters


Lhe key


signatures,


and the


tonalities


the rmusi .e


orn'e s


S muslS1


is in


meter


. The


tonality


of her


mus i


C IS


a strong


0 mIusi


indicated


3
as --8


meter


in A


upper


flat


hand


major,


in this


creating


struggle.


a jarring


This


dissonance.


chara


The Governess


zed in the


has the


mIusi


the fact


that


the meter


the key


signature


the firm


ground


bass


in the orchestra


correspond


to those


the Governess'


music


addition,


she duplicates


strong


melody


of the ground


bass


oppo


the light,


flori d


passage


sung


Quint.


Al though Miles


does


sing


any point


during


dramatic


and musical


struggle


between


the Governess


and Quint,


Britten


carefully


assigned


to him


a most


curious


signature


and meter.


Mile's key


signature


Musically


that


as well


of the Governess

as dramatically


and hi

.4iles


meter is that


characterized


of Quint.

as the


center


of the conflict.


Coils




MIiles


J
.1L

9 .^pr^


S-, q












Seven measures


before


Miles


shouts


"Peter Quint,


devil!"


the music


indicates


that


Quint's


hold


on the situation


wea


kening.


signature


changes


abruptly


to that


of the Governess,


and his vocal


line


consi


an insecure


sharp


and G against


Governess


s solid


and G.


After Mil


Strugglin


shouts


Quint


is slowly


the apparition


being


s name


brought


, Quint


sings


under


dominance.


in unison


with


the Governess


as he admit


defeat.


Immediately


following


this


passage


in unison,


Quint


s farewell


to Mil


musically


characterizes


final


submission


and defeat.


The familiar


tune,


begun


on E


flat


in all


previous


appearances


now


begins


on E natural.


(off stage)


Fare w ell, .. ... ... ....... ....... .. ...... fare-w ell ,


(Britten


. 195)


Four


librettos


studi


use symb


actions


to characterize.


we have


seen


in Merry Mount


the actions


pagan


chara


cters


"The


Maypole


and their


demonic


counterparts


in "The


Hellish


Rendezvous"


present


symb


olically


the psychological


conflict


of Wrestling


Bradford.


In his libretto


The Wings


of the Dove,


Ethan Ayer


uses


pantomime


second


tvne


of svmb


olic action.


- -


reveal


the character


of Miles


now















learns


from


Susan


Stringham


that


he is to be included


in an entertain-


ment


to be presented.


"Oh that


course


, Why,


we're to have


music


auti ful


as in


instruments


guide


ann songs
either.


and not T


as so


arrange


I.aimed


it--


or at 1


east,


re in


have.
picture


That


"(James


enlo n
, 207)


Besides


In the libretto,


the entertainment


arranged


the servant


Giuliano


actually


performed


for Milly,


Miles


Dunster


, and


usan


Stringham.


Whil

ters


a ministrel


Janus


sings


and a maiden


the simple

"pantomime


story


of betrayal,


the action


two other


appropriate


to the


charac-

verse


in stylized


motion"


(Ayer,


105 )


Janus


"carries


a staff


with


masks


one representing


spring,


the other


winter"


Ayer


. 105)


the love


After


pantomime


of the young maiden


she has surrendered


symbolizes


Janus


turns


s deceitful


presents


his winter


relation


youthful


face


face


toward


to Milly.


He is


involved


with


Kate Croy


a plot


to win Milly's


love


and to


marry


Their plan


will


be completed


upon Milly


s anticipated


death


when Mil


inherits


Milly'


fortune,


enabling


marry


Kate


Suspecting


motives


Giuliano


closely watches


Miles


during


the performance


of the


masque


detect


indi


cation


of guilt


in his


reaction.


masque


produces


the expect


results


: "Miles


is di


sturbed


angry


" (Ayer


108).


I 1 I 1 -t *,


i ,i i __ -


I I<-


I 1


1


mr














(Smith,


276).


This


technique


produces


in The Wings


of therDove


degree


dramatic


irony.


While


Miles


reacts


unfavorably


to the


masque


even


masque


suspect


in relation


Giuliaxno'


to Miles


intentions,


and the results


the final meaning


it produces


of the


are all


comply


etely


clear


to the audience.


In two other


librettos


music


functions


in conjunction


with


pantomime


and the words


of chara


cters


on stage


to symbolize


in the first


instance,

instance,

The Jumpin


an on-stage


an off-stage

g Frog of Ca


action

action


laveras


that is

that i

County


never


s never s

. the fro


performed


een.


never


and,


In Jean K

r appears


in the second


arsavina


on stage


action


performed


the fr


in Twain


s story


is described


Simon


Wheeler


the narrator.


In the libretto,


all actions


of the frog


are symbolized


sung


through


and the pantomime


the music

performed


in the orchestra


the individual


in the words


characters


and the


chorus.


The pantomime


involved


here


serves


a different


purpose


than


that


in The Masque


of Janus.


The latter


related mainly


to character


In The Jumping


Frog


of Calaveras


County,


the pantomime


serves


the dual


purpose


usually


assoc


iated


with


this


sort


stage


action:


"stage


movement


synchronized


with music


can be


a useful


and effective


tool


in narration


and in


establishing


the personalities


their various


characters"


(Hamm,


Special


music


characterizes


Daniel


Webster


celebrated


frog.


When


Smiley places


Daniel


on the barroom


floor


Lulu














must


both


portray


their


astonishment


and pride


in Daniel's


accomplish-


ment


and suggest


the dimensions


of this


ability.


DANIEL'S


DANCE


Doppio lento (Andantino) (J


=69)


(Karsavina,


Pantomime


in the jumping


and a noticeable


contest.


absence


When


of music


the frogs


symbolize


are placed


Daniel's


actions


on the starting


line


and the people


shout,


"Go!


" the music


stops.


This


dramatic


silence


and the accompanying pantomime


the various


characters


the chorus,


symbolize


Daniel


s inability


to jump


and the total


amazement


of the miners.


The Stranger'


frog makes


a few


small


jumps


suggested


the weak


intermittent


chords.


use















contrast


with


the first


use of


music


and pantomime


which


chiefly


charac


terized


Danie I


s jumping


ability,


this


second


use of these


devi


ces


primarily narrative.


The jumping


contest,


the climax


the story


symb


through


pantomi me


and the significant


lack


music.


Stephen


Vincent


Benet


planned


a different


type


of pantomime


The Headl


ess


Horseman.


To stage


a chase


even


remotely


resembling


one described

insurmountable


Irving


problems.


in "The Legend

Because his


of Sleepy

libretto w


Hollow"


as written


would

n with


present

amateur


performers


in mind


Bene/t


simplified


the actions


of the Headless


Horseman


through


use of


a type


of melodrama.


David


Ewen


defines


this


form


of melodrama


an operatic


passage


or scene


in which


singer


recites


his part


in the orchestral


while


a musical


accompaniment.


commentary

Examples


on the situation


of such melodrama


appear


are


the bullet-casting


scene


in Der


Freischutz


, Lady


Macbeth


s letter-


reading


scene


in Macbeth


the grave-di


gging


scene


in Fidelio.


In Benet


s libretto,


the mel


odrama


begins


as Van


Tassel


prepares


deliver


a speech


in honor


of the betrothal


of his daughter


Katrina


to I


chabod


Crane.


Various


characters


comment


on the strange


outs


ide.


At first


the music


parallel


Tassel


s festive


mood.


key is


a bright


A major,


meter


is a square


tempo marking


-~~ S


ses


* 1


I __


I I 1I


1 I


J 1















time.


Slowly


increasing


in volume,


music


portrays


the approach


of the Headless


Horseman


the increasing


apprehension


of the characters


on stage.


music


stops


at the moment


when


a knock


is heard


door.


As the door


sudden


op)en


the I1


endless


Horseman


enters


chases


Ichabod


Crane


across


room


and out the window


throws


a pumpkin


after


him.


These


various


pantomimes with


the accompanying music


very


appropriate


to the librettos


in which


they


are used.


Neither


action, th

be staged.

instances.


ie jumping


Pantomime

the result


a frog

and music


of having


or the chase


can suggest

to present


on horseback,


both.


could


However


the actions


successfully


in these


in this


manner


to weaken


their


effect.


First,


case


of Daniel


Webster


the attempt


to represent


an action


without


presence


of the central


character


seems


anti-dramatic.


Second


the chase


of Ichabod


Crane


the Headl


ess


Horseman


reduced


slapstick


come


dy when


transferred


an indoor


confrontation.


II Physical


Traits


Physi


appearance


a second


observable


trait


used


an author


characterize.


A novelist


or a short


story writer will


often


present


physical


characteristics


through


lengthy


descriptive


passages.


Detail


the most minute


physical


qualities


can be presented.


In Billy


Budd,


ln h S 1


n 3 I


are


nt-rn:~y /-h nl


ft w- / l- / / P, 1 + 1 1


,..,:,,*


-- -


-1 L.


IC1 r i ^


I













bill,


a hand telling alike of the halyards and tar bucket


a lineage in direct contradiction to his lot" (Melville,


. indicated


51).


This


detailed physical


description,


impossible


to a librettist,


is in sharp


contrast to the passing mention made by Melville of


another feature of


his sailor.


Billy Budd


sings.


Melville suggests the quality of Budd's


musical abilities by comparing his singing to that of


the most beautiful


of songbirds:


"He was illiterate;


he could not read,


but he could sing,


and like the illiterate nightingale was sometimes the composer of his


own song" (Melville,


52).


In the opera this physical characteristic


is fully exploited by Britten and his librettists.


Assigned the opera's


most beautiful melodies,


Budd sings and sings magnificently.


While he


cannot hope


to achieve the quality of


physical


character descriptions


approaching those of


a novelist,


the librettist has available to him through


the musical characterizations provided by the composer a technique


enabling him to produce effects unique


The reminiscent theme


to opera.


as a tool for characterization can become


complex.


In lieu of physical description,


a character may be described


by musical


themes.


For instance,


in The Courtship of Miles Standish,


Carlson describes Miles Standish most frequently with a steady,


ting descending pattern:


I I


unhesita-














John Alden


is characterized


consistently


a musical


phrase


which


suggests


his desire


woo


Priscilla


on one hand


and hi


hesitancy to


follow


through


because


of his friendship


with Mil


Standish.


The first


measure


of each


phrase


rises


confidently


only


to fall


back


on itself


the second measure.


(Carlson


Priscilla


s characteristic


theme


resembles


John Alden


s in that


ascends.


However


it is free


in design


ascending


with


confidence


suggest


Priscilla


s open


honest


personality.


(Carlson,


Carlson


combines


three


these


individual


thematic


designs


into


harmonious


whole


at the happy


conclusion


to the


opera.








'r Ila
Strisci Hi)
- :_


CAlden) ( Sluini 3 )


htl L.
i u -> ^-


4-P


C


9)>


_, d

, I-


l..-.. _.L. ...L. i. 11__


(Carlson,


The complexity of


musical characterization can


go beyond the mere


union of'


various musical


themes.


Leitmotifs can be developed


so as to


convey,


as Wagner believed,


ideas and meanings not directly stated in


words or revealed in actions.


At his first appearance,


Claggart sings


a phrase which becomes his hallmark.

CLAGGART pdolce e tiberamentle
CLAGGART a a -


F-_- .-...I---


Your


- nour,


I am at your dis- po sal.....


(Britten, p. 31)


The theme occurs in


the opera at virtually every important reference


Claggart.


Because of


its frequent appearances in the context of


i -


wm














Uallis


a ____________


Jem-my-Legs


down


youl


(Britten


he realizes


that


he will


receive


the blame


Budd


death.


sugg


est the continuing


influence


of Claggart


and to parallel


ironic


realization,


Vere


sings


an inversion


of Claggart


theme


r---. 1


it is for me


............... to des troy you.


(Britten,


Captain


Vere


is characterized


y an ascending


musical


theme.


Melville's


identified,


novel,


"Starry


the narrator


Vere "


reveals


(Melville,


the name


61).


which


In the


Vere


opera,


is popularly


a sailor


Donald


first


developed


into


sings


the theme


a full


ensemble


identified

e of chorus


with

and


Vere.

soloist


The theme


Budd)


is then


in which


I- DONALI


Star- ry


Vere


we call him,


Star


- ry


Verel


368


a


i


~


I I


D mf
>----ff ~" -I














given to it in the full development of


an ensemble


Vere's theme is


used again at


the penultimate moment.


In Melville's novel


Budd's


benediction is "delivered in the


clear melody of


a singing bird on the


point of launching from the


twig" (Melville,


123).


In Britten'


Budd sin


Vere'


melody which is echoed by


tlhe chorus.


use of Vere's theme at this point enriches Budd's statement.




BILLY f (. ^_
CN I


As in


Star


- ry


Vere,


God bless youl


(Britten,


Melville's novel,


321)


beneath the actual words lie unspoken implications.


The reminiscent theme immediately relates Budd's present action with

the first appearance of Vere when Budd sang of his allegiance to Vere.


This sort of


emotional


characterization is impossible in a novel.


writing of verse drama,


Joseph Kerman explains that


"even the most


passionate of


speeches


exists


on a level of


emotional


reserve


that music


automatically passes"


Kerman,


13).


Budd's farewell


to Vere sung


to Vere


s theme produces an immediate emotional appeal surpassing that


created by Melville.


-~ -.- ... -


opera,











choice.


Second,


an article


relate


a character


independent


choosing.


In the


following


discussion,


reference


will


be made


only


to those


librettos


which


place


special


emphasis


on specific


physical


ects


as means


of characterization.


"The Maypole


of Merry


Mount"


contrast


the "lightsome


hearts


of Merry


. 77)


group


Mount" (H

Hawthorne

The Maypol


[awthorne


used


. 70) with


representative


worshippers


the "grim


items


dress


Puri tans"


characteristic


an array


colorful


(Hawthorne


each

costumes


Puritans


appear


"each


with


a horseload


iron


armo r


to burden


footsteps


" (Hawthorne,


. 77).


In Stokes


s libretto,


this


contrast


present


in costumes


, stage


properties,


and music


The Cavaliers


dress


in colorful


outlandish


costumes


. The


Puritans


wear


"steel


caps


and breastplates


Stoke


In both


story


and libretto,


the coloni


at Merry


Mount


venerated


the colorful


, highly


decorat


Maypole


contras


the center


of Puritan


works


was


the church


front


which


stood


the wooden


stocks,


"which might


be termed


Puritan Maypole"'


(Hawthorne


, 77)


Two stocks


hold


a pair


of sinners


in the


opera


s first


scene.


Finally


the colonists


loved


music


and dance.


The Puritans


frowned


on all music


one sort.


"Their


festival


were


fast


days,


and their


chief


pastime


the singing


of psalm


Hawthorne


. 77)


In the


opera


, composer


Howard


Hanson


full


advantage


contrast


in musi


tastes


To characterize


the Cavaliers,


identifies


them with


a chorus


suggestive


an English Dance


tune.













James


s heroines


Catherine


Sloper


and Milly


Theale


are character-


ized


by their


clothing


and jewelry


In Washington Square,


Catherine


"expressed


desires


herself


through


in her


her choice


clothes.


of clothing


"Her


She often r

indulgence


eveal


of it


suppressed

was


really

(James


the desire of


. 169).


a rather


In the libre


inarticulate n

tto Washington


ature tc

Square,


manife


Elmslie


itself"


describes


heroine


ress


once.


At her


first


entrance,


Catherine


elaborately


dressed that


appears


older


than


twenty-one


years"


(Elmslie,


. 13).


general


description


suggests


little


about


Catherine


Dove,


comparison


James


with


character


zes


James


Milly


s chara


terization.


y presenting


In The Wings of


the effects


ress


and jewels


have


upon


other


people.


Merton


Densher


, Milly's


"wonderful


white


dress


(James


makes


look


"younger


fairer.


" (James


, 213).


Milly


s dress


and her pearls


priceless


chain,


wound


twice


around


the neck"


James


, II,


217)


cause


Kate


compare


Milly


a dove.


old lace


and the pri


celess


pearls


represent


believes


for Kate


that


money


Milly'


chief


power


source


are dove-like


power:


"only


wealth.


so far


Densher


as one remembered


that


doves


have


wings


and wonderous


flights"


(James,


218).


Densher,


Milly'


"wings


and wonderous


flights


are her


compassion


concern


for people.


Merton


sees


Milly


s :feelings


for others


like


wings


a dove,


as having


recently


spread


an inordinate


reach


a "long














for the last


time


she asks


give


the shawl


to Kate.


scene


Kate


Milly


accepts


the shawl


has left


and automatically places


fortune


to Miles


over


the conclusion


a chair


of this


Although


scene


both


Kate


and Miles


realize


their


plan


marry


can never


be fulfilled.


Milly


s influence


, symbolized


the shawl


continues


after


her death.


eaves


Aunt


Maud


enters


, grabs


the shawl,


and puts


Kate's shoulder


Kate


instinctively


shrinks


from


The shawl,


an article


usually


intended


cover


and protect,


horrifies


Kate


first.


Like


money


she left


to Miles


the shawl


was given


to Kate


in good


wed.


Milly


firs


conscience.


The shawl


s ironically


ects


In Cable


was meant


invisible


then


money was


left


to enable


as a remembrance.


influence


is forced


s The Grandissimes


Ayer


through


to accept.

, Bras-Coupe/


Kate


and Mil


successfully


shawl


in the custom


conveys


which Kate


of hi


African


homeland


appears


at his


wedding nude


and "has


painted himself


all rings


and stripes


beautiful Madmoi


selle


antelope


wife


fashion"


of Martinez,


(Cable


"gently


178).


bids


When


and dress"


(Cable


178)


he ob


If his


first


wedding


dress


was shocking


Bras-Coup


second


outfit


of "red


and blue


regimentals


" (Cable,


178)


is ridiculous.


emphasis


on Bras-Coupe


s dress


contrasts


natural


dignity


wedding


the slave


with


the assumed


believes


superiority


is appropriately


of the master


dressed


who attempts


S


,s


I


___ _1_1














all reference


to Koanga


s dress


dropped.


The effects


of costumes


a tool

the hum


of characterization

or, the pathos, and


in the libretto


the social


are bland


commentary


when


achieved


compared


Cable


Clothes


or items


given


or forced


upon


a chara


ter often


express


facets


of hi


personality.


In The Scarlet


Letter,


Hawthorne


places


great


emphasis


upon


the cloth


letter


forced


upon


Hester


the community


as a visible


mark


of her


sin.


However,


Hester


s true


character


revealed


the changes


she makes


in the letter


Hester'


elaborate


embroidery


on the letter


suggest


ts her


strength


character


In both


adaptatiors of


Hawthorne


s novel,


the librettists


emphasize


the relation


of the 1


prompts


better


the first


Hester


remark


s charac


of the chorus


In Lathrop


after


s version


Hester'


the letter


entrance.


Hester


"stands


for a moment


on the door-step


silent


, dignified


woebegone"


(Lathrop,


. 7),


the chorus


shouts


its disapproval


attitude


as expressed


in her


embroidery.


See how


serpent-like


it twines


tter,


with


its coiling


lines


she sports


with her


shame


hath


woven


the letter


With


gaudy


splendor


scarlet.


Lathrop,


In Carlson


s version


Hester


conceals


the letter


as she enters,


revealing


it to the crowd


only


after


they


have


damned her.


In neither


libretto


does


the letter receive


the emphasis


placed


on it by


Hawthorne.


However















necessary


actions


which


characterize,


the librettist


specifies


in stage


directions


only


certain


actions.


These


usually


fall


into


three


types


repeated


actions


, startling


actions


and symbolic


actions.


Physi


details


relating


an individual


can indicate


character


traits.


novelist


will


often


devote


lengthy passages


of description


to the physical


appearance


a character.


The libretti


on the other


hand


will


refer


to physical


appe


arance


only


in the most


general


terms.


Material


ects associated


with


a character


in a novel


or in


a libretto


often


contribute


to characterization.


In the absence


of detailed


physical


descriptions


as a tool


characterization,


the librettist


and the


composer


often


use music


deepen


the characterization


outlined


in the libretto.


Through musical


form


great


subtlety


can be given


to operatic


chara


cters


are almost


universally


ess


complex


than


their


literary


counterparts.


The reminiscent


theme,


or 1


eitmotif,


asso


ciated


with


an individual


can remind


audience


of the character


even


in his


absence


In


a second


capacity


the reminiscent


theme


can suggest


a character


s thoughts


feelings


responses


which he


either will


or cannot


reveal.


Sensitive


music


characterization


can add a subtle,


direct


emotional


appeal


surpassing


that


obtainable


by words


alone.


, and
















Notes


Edward


Brace


Morgan


and World,


Forster,


Inc., 1927),


Aspects
p. 46.


of the Novel


(New


York:


Harcourt,


Leland


chubert


Hawthorne


the Arti


(Chapel


Hill


: University


North


Carolina


Press, 1944),


Wystan


Hugh Auden,


"Some


Reflections


on Music


and Opera


" in The


Essence


of Opera,


4The


Works


Herman Melville


X. Standard


Edition


(London:


Constable


and Company,


Ltd.,


271.


'Percy MacKaye
. 111i,
SIii.


, Rip


Winkle


(New


York:


Schirmer,


1919),


b"The


essence


matter was


villainy


the motive


the evoked


were
on b


this
ehalf


process


predatory
element of


iden


adumbration


creature
evil but


the lively


so that


feebly


the result


or inanely


interest


The Novels


would


suggest


a possible


and Tales


of Henry


be ignoble


There


suggest
James.


arose


tion


(New


York:


Charl


Scribner'


Sons


, 1908), XX.


George


Martin,


"Another


Turn,


" Opera


News


, (7 March


1970)


David


Ewen,


Encyclopedia


of the Opera


(New


York:


Hill


and Wang


Inc. 195


The A
Matthiessen


merican


Novels


York:


and Stories


Alfred


of Henry


James


.0.


A. Knopf, 1964),P 169.


(New


. 146.
















CHAPTER


FOUR


CHARACTERIZATION


HIDDEN


NATURE


E. M. Forster writes


that


the second side


man


s character,


hidden nature


includes


"the


pure


passions,


that


the dreams


joys


sorrows


and self-communings whi


ch politeness


or shame


prevent


him from mentioning"


(Aspec


. 46)


Only the


novelist


can reveal


directly


the psychological


nature


of his characters.


E. M. Forster


writes


that


express


side


of human


nature


one of the chief


functions


of the novel"


(Aspects


. 46).


opera,


as in spoken


drama


the hidden


nature


a character


conveyed


directly


to the audience


only


through


some


external


devi


The dramatic


use of


silence


and of stage


actions


can strongly


suggest


chological


states


they


cannot


specifically


identify


them.


Musi


in opera


contribute


to characterization,


but,


to do


it must


heard


in relation


a character'


situation


as expressed


in the action.


Forster


explains


that


unlike


the painter


or sculptor


choose


represent


human


beings


or not


"the


musician


cannot


represent


them


even


if he wishes


without


the help


a programme"


Aspects


operatic


aria


or some


lyric


subs


titute


enables


the libretti


and the


composer


portray


directly


psyc


hological


nature


a chara


cter


a a




Full Text
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FILES


AMERICAN LITERATURE AS OPERA
BY
JACK PHILLIP MOORHEAD
A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE
DEGREE OF DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
1979

For Sondra, Stephanie, and Kathleen

"Every high C accurately struck demolishes the
theory that we are the irresponsible puppets
of fate or chance."
W. H. Auden

TABLE OF CONTENTS
Pa^e
ABSTRACT vi
INTRODUCTION 1
Notes 12
CHAPTER ONE SETTING: LOCALIZATION 17
I Stage Scenery 17
II Dramatic Presentation 30
Notes 38
CHAPTER TWO SETTING: OTHER FUNCTIONS 40
I Settings Which Reinforce the Mood of a
Character 40
II Symbol 44
III Tableau 47
Notes 62
CHAPTER THREE CHARACTERIZATION: OBSERVABLE TRAITS . . ^
I Actions O4
II Physical Traits gQ
III Physical Objects g4
Notes 91
CHAPTER FOUR CHARACTERIZATION: HIDDEN TRAITS 92
I Aria 92
II Exit Aria and Scena 107
III Lyric Substitute 113
iv

Page
IV "Ensemble of Perplexity" ng
Notes ]P2
CHAPTER FIVE PLOT j2.3
I Structure P25
II Content i^g
Notes 155
CONCLUSION 157
Notes 162
BIBLIOGRAPHY 163
BIOGRAPHICAL SKETCH 172
v

Abstract of Dissertation Presented to the Graduate
Council of the University of Florida in Partial
Fulfillment of the Requirements for the
Degree of Doctor of Philosophy
AMERICAN LITERATURE AS OPERA
Jack Phillip Moorhead
June 1979
Chairman: Dr. Gordon E. Bigelow
Major Department: English
American literature as source material for operatic librettos
has attracted librettists since 1855, when J. H. Wainwright adapted
Washington Irving's "Rip Van Winkle." Other nineteenth-century
American authors whose settings, characters, and plots have inspired
numerous English language librettos include: Hawthorne, Melville,
Cable, Hale, Longfellow, Twain, and Henry James. Setting, character¬
ization, and plot, all greatly simplified in the adaptive process,
provide a common ground for the comparison of the original fictional
source and the adapted libretto.
The functions of setting in librettos parallel those of setting
in fiction: 1. ) to localize action and character, 2. ) to reinforce
some mood or emotion of a character, and 3- ) to symbolize important
associations. The fictional methods of presenting these three
elements, however, differ from those used in opera. In fiction,
description, dialogue, and the interior monologue of a character can
present setting. In opera, stage scenery and dramatic presentation
establish the setting. Often, special stage effects used in conjunc¬
tion with the lyrics of the libretto create symbolic associations in
the setting,
vi

In characterization, both fiction and opera present the
observable and the hidden characteristics of individuals. Actions,
personal objects, and clothing characterize observable traits in
both fiction and opera. The interior monologue in fiction directly
reveals the inner nature of the character to the reader. The aria
in opera, like the dramatic soliloquy in drama, also reveals the
inner thoughts and emotions of a character. In opera, the additional
resource of music offers a device for characterization unavailable to
the novelist or the short story writer.
Operatic plots, in spite of the seeming diversity among them,
have a universal structure and a basic content. Created to accom¬
modate both dramatic continuity and musical development, this operatic
structure alternates dynamic moments of dramatic action with static
periods of lyric introspection. Disguised by various approaches to
opera, e.g. the "continuous opera" of the nineteenth century and
the "recitative opera" of the twentieth century, this structure is
inherent in operatic dramaturgy. A strong emotional content has
traditionally provided the motivation and the dramatic interest in
operatic plots.
The adaptation of the works of the various American authors
mentioned above has produced a paradox. In adapting any literary
source, the librettist is confronted with the necessity of simplify¬
ing the original material. The simple, straightforward narratives
of Irving and Hale and the limited number of characters and settings
in Hawthorne's The Scarlet Letter appear to offer promising materials
vii

for adaptation. However, these works have not resulted in successful
operatic librettos. By contrast, the complex, but highly dramatic,
forms of Melville and James and the numerous settings in a novel like
The Wings of the Dove have provided materials compatible with the
simple, emotionally charged nature of opera.
Vlll

INTRODUCTION
In the 1580's, the Florentine camerata, a group of Italian composers,
scholars, and cultivated amateurs of art, met regularly to plan a revival
of ancient Greek drama. The camerata knew that both Greek comedy and
tragedy had been musical productions,^ although they had no access to
the nature of the music. Their attempts to recreate Greek drama by
2
combining dramatic action with musical declamation produced the first
works of a new art form, opera.
Striving to create new dramas as accurately as possible according
to their understanding of the Greek model, the librettists of these
early operas based their plots on mythology. Such titles as Peri's
Dafne (1597), Caccini's Euridice (1600), and Monteverdi's Orfeo (1607)
are representative of a number of early Italian music dramas based on
mythological sources. Francesco Algarotti, one of the most influential
writers on opera, defended mythology as one of the best possible subjects
for operatic treatment. Mythological subjects provided two advantages:
motivation for elaborate stage effects through machinery and elevation
of everything above the human level, making "the singing seem to be the
3
natural language of the character." The treatment of mythological
materials reached its greatest heights in the psychological music dramas
of Richard Wagner in the nineteenth century. Patrick Smith, in The
Tenth Muse : A Historical Study of the Opera Libretto, writes that
Wagner's achievement in adapting the Nordic myths for the operatic stage
"freed the libretto of its dependency upon the immediate and consequently
1

2
opened up the world of what has come to be called the subconscious."^
Wagner's dramatization of man's inner nature is developed in Tristan
und Isolde, which with a minimum of physical action achieves its
greatest impact, through emotional and psychological suggestion.
Literature has provided another rich source for the librettist.
Plots for many operas have been adapted from works of such authors as
Shakespeare, Beaumarchais, Dumas, Prosper Merimee, Goethe, Hawthorne,
Melville, Henry James, and Steinbeck. From among this great variety
of subjects, the librettist must decide what is suitable for operatic
adaptation. Christoph Martin Wieland, author of the Romantic epic
Oberon and a contemporary of Algarotti, sought a "beautiful simplicity"
in both the presentation of plot and the depiction of character. Plot
incidents should be restricted in number, and characters should be
presented "more in view of their feelings and emotions than with regard
to their external actions." These criteria of simplicity have been
expressed in various ways by other writers and have retained their validity.
The subtleties of Shakespeare's Hamlet may have defied the simplifi¬
cation necessary for successful operatic treatment, but such unlikely
materials as Henry James's The Wings of the Dove, a novel of great
breadth and complexity, and Anton Chekov's The Sea Gull, a drama
of psychological and philosophical subtleties, have both been
successfully adapted for the operatic stage.
On September 27, 1855, George Frederick Bristow's opera Rip Van
Winkle was produced at Niblio's Garden in New York City. With a
libretto by J. H. Wainwright, this was the first opera adapted from a
work of American fiction. American literature has continued to attract

3
operatic librettists and composers. Earle H. Johnson in his exten¬
sive examination of operas based on American subjects writes that
the American experience in general "has preyed on the minds of many
7
whose earnestness has not been marked by a commensurate talent."
Johnson lists fifty-five operas both in English and in foreign languages,
whose stories have been based on literary works by American authors.
However, Johnson's list is not exhaustive. Four operas composed prior
to 1964 but omitted from Johnson's list and six operas composed after
C>
1964 may now be added to update his list.
I have narrowed my consideration of librettos from these lists to
those 1.) based on nineteenth-century American literature and 2.) written
in English. A thorough canvass has turned up sixteen librettos which
meet these criteria. These librettos span the time period from 1855 to
1976 when Washington Square, the most recent opera libretto based on an
American literary source, was written and performed. In this list, the
librettists' names appear first and the composers' names appear in
parentheses. Copyright dates of the operas are in parentheses; other
dates are for first performances, except as indicated.
George Washington Cable
C. F. Keary
revised by Douglas Craig
and Andrew Page Koanga (The Grandissimes)
(Frederick Delius) (1935, rev. 1974)
Edward Everett Hale
Arthur Guiterman
(Walter Damrosch)
The Man Without a Country
(1937)

4
Nathaniel Hawthorne
Charles F. Carlson
(composer-librettist)
George Parsons Lathrop
(Walter Damrosch)
Richard Stokes
(Howard Hanson)
Washington Irving
J. H. Wainwright
(George Frederick Bristow)
Percy MacKaye
(Reginald De Koven)
Stephen Vincent Benet
(Douglas Moore)
Henry James
Myfanwy Piper
(Benjamin Britten)
Ethan Ayer
(Douglas Moore)
Kenward Elmslie
(Thomas Pasatieri)
Henry Wadsworth Longfellow
Charles F. Carlson
(composer-librettist)
Herman Melville
E. M. Forster and Eric Crozier
(Benjamin Britten)
Ernst Krenek
(composer-librettist)
Mark Twain
Jean Karsavina
(Lucas Foss)
Hester; or, The Scarlet Letter
(n. d. )
The Scarlet Letter
1896
Merry Mount (The Maypole of
Merry Mount) ( 1933 )
Rip Van Winkle
(1855)
Rip Van Winkle
(1919)
The Headless Horseman; or The
Legend of Sleepy Hollow
(1937)
The Turn of the Screw
(1955)
Owen Wingrave
(1971)
The Wings of the Dove
(1961)
Washington Square
(1976)
The Courtship of Miles
Standish (n.d. )
Billy Budd
(1951, rev. 1961)
The Bell Tower
composed 1955-56
The Jumping Frog of Calaveras
County (1951)
While opera as an artistic form has been studied for centuries,
limited discussion in one or two chapters of a book or in an article has

5
been devoted to the libretto. The most complete study of the opera
libretto to date is The Tenth Muse: A Historical Study of the Opera
Libretto by Patrick Smith, who attempts to establish the libretto as
a separate literary genre. Joseph Kerman in Opera as Drama suggests
that the true dramatist in an opera is not the librettist but the
composer, through whose music the drama inherent in the libretto is
clarified and refined.^ In a recent book The Magic of Opera, J. Merrill
Knapp writes that opera has two dramatists: the librettist and the
composer. Both have defined responsibilities, each completing tasks
necessary to the creation of an opera.
Throughout the history of opera, the relative merits of the libretto
and of the music have been debated. Composers and librettists have
advocated various approaches to the creation of opera. While historical
categories reduce the complexities of these various artistic positions,
the development of opera has suggested three basic approaches to its
creation. The neoclassic theory of opera stresses the dominance of the
libretto over music. Beginning with the camerata, this approach pre¬
dominated throughout the seventeenth and eighteenth centuries, finding
support in writers from Corneille to Rousseau and the Encyclopedists.
Christoph Gluck "sought to restrict music to its true function, namely
to serve the poetry by means of the expression."^ The neoclassic
theory found philosophical support in the writings of Immanuel Kant
for whom reason is the supreme guide in human affairs and "who . . . finds
fault with music on account of its sensuousness" (Weisstein, "Introduction,
in The Essence of Opera, p. 6).

6
The Romantic theory of opera, which emerged in the late eighteenth
century and flourished in the first half of the nineteenth century,
celebrated music over the word. Mozart, "a born melodramaturgist,"
believed "poetry must be the obedient daughter of music."11 Stendhal
carried this position to the extreme in advocacy of dispensing, or
nearly so, with the libretto: "Words are fundamentally unimportant in
relation to music." George Bernard Shaw believed the words m opera
could be reduced to "roulade vocalization" or eliminated completely
13
since feeling "is the real subject of the drama." Arthur Schopenhauer,
who ranked music as the highest of the arts, bestows his greatest praise
on the music of Rossini, which achieves its full "effect when rendered
by instruments alone.m1^
Through his operatic reforms, Richard Wagner sought to unify these
two diverse approaches. The dramatic content and the musical form
should be mutually complementary. In a Gesamtkunstwerk "the content
must, accordingly, be closely linked to the expression, while the
expression must continuously evoke the content in its full scope. For
that which is not present to the senses is grasped by thoughts alone,
15
while feeling comprehends only that which is brought before it."
Friedrich Nietzsche, in his youth an admirer of Wagner, found the
near-perfect fusion of music and drama in Tristan und Isolde and thought
Wagner the only artist capable of giving rebirth to Greek tragedy.
The mythic (Dionysian) realm and the human (Apollonian) word presented
in tragedy are unified in Wagner's music drama. The universal authority
of music produces in the hearer "the illusion that music is only the
most effective means for the animation of the plastic world of myth."1^

7
In the drama, we see Tristan and Isolde as passionate lovers: "Thus
does the Appollonian wrest us from the Dionysian universality and fill
us with rapture for individuals; to these it rivets our sympathetic
emotion" (Nietzsche, p. 229). Through the union of these two principles,
the universal, intellectual nature of myth and a detached, emotional
picture of human experience complement each other. The universal
language of "music is essentially the representative art for an Appollonian
substance" (Nietzsche, p. 230).
From opera's inception, the relationship between the dramatic and
the musical demands of opera has presented the basic problem of operatic
dramaturgy. How to advance the dramatic situation and, at the same time,
to allow complete musical development have been the perennial questions
of librettists and composers. The structures which accommodate both of
these requirements are the traditional operatic forms of recitative and
aria. The recitative advances the dramatic action, and the aria provides
lyric expression. In his book Opera, Charles Hamm suggests these basic
operatic techniques underlie all the various forms of opera: the number
operas of the eighteenth and nineteenth centuries, e.g. Cimarosa's
II Matrimonio Segreto and Donizetti's Lucia di Lammermoor; the nineteenth
century's contribution of the continuous opera, e.g. Wagner's Der Ring
des Nibelungen and Verdi's Otello; and the modern recitative opera,
e.g. Britten's The Turn of the Screw and Krenek's The Bell Tower.
Because of the fundamental importance of the structure of
libretto to the overall success of an opera, the librettist must be
considered a dramatist, "an artist . . . who can often visualize the
work as a whole more effectively than the composer (Smith, p. xix);
in short, a creator of setting, character, and plot. These three

storytelling devices are also used by writers of narrative fiction;
however, the techniques used in librettos differ from those used in
fiction to present these three techniques. In fiction, setting is often
conveyed through passages of description. These can be large blocks
of objective description as in the opening paragraphs of Irving's
Rip Van Winkle or in Cable's picture of a Louisiana swamp in The
Grandissimes. The setting in fiction can be refracted through the mind
of a character, presenting a subjective picture of the setting colored
by the character's prejudices, e.g. the numerous settings perceived
through the characters in a Jamesian novel. But settings in an opera
are presented pietorially through the stage settings or dramatically
through words sung by a character or by the chorus. In opera, the
setting can often suggest the psychological nature of a character with
the assistance of stage machinery, e.g. the increasing distortion of
the jungle scenery and the increasing terror of Brutus Jones in Louis
Gruenberg's The Emperor Jones, based on the play by Eugene O'Neill.
The production of opera and the history of stage machinery have
been closely related. In the development of stage machinery, opera
played a more important part than did drama. Edward Dent writes that
"all the inventions of stage engineers and architects of the seventeenth
17
century were intended for opera." The use and the development of new
mechanical techniques in staging operas have continued throughout the
history of opera. In the nineteenth century, Wagner made greater
demands on the resources of the stage than any other operatic
practitioner. The opening scene of Das Rheingold, to select from
numerous examples, is set beneath the Rhine River. In the original

9
production, Rhinemaidens appeared to be swimming beneath the water.
In reality they were women propelled about the stage in "swimming
machines," flatbed carts each of which held an elongated basket-like
affair on a pole. The women rested in the baskets and made swimming
1 $
motions.
Characterization complexities in opera are a luxury. By comparison
with their literary counterparts, operatic characters are drawn with a
simple directness, making their natures clear and immediately recogniza¬
ble. In a novel, characterization is expansive and creates people
"three-quarters hidden like an iceberg."1^ In their libretto Billy
Budd, on the other hand, E. M. Forster and Eric Crozier draw Claggart's
character in broad, clear strokes. Claggart sings an aria in which he
directly reveals to the audience his evil nature. In Melville, Claggart
cannot be so easily understood. The observable aspects of Claggart, his
appearance and his actions, reveal nothing of substance. "But for the
adequate comprehending of Claggart by a normal nature these hints are
insufficient. To pass from a normal nature to him one must cross 'the
PQ
deadly space between.' And this is best done by indirection."' E. M.
Forster claims that "it is the function of the novelist to reveal the
hidden life at its source . . . (Forster, p. 45). The novelist has
the freedom to enter the minds of his characters at will, and the ability
to present their thoughts directly through the interior monologue. In
addition to the aria, the librettist can characterize through special
actions which he indicates in the libretto and which are often synchro¬
nized with the music, e.g. the pantomine at the conclusion of Act II of
Puccini's Tosca is specified through the detailed stage instructions
which appear in the libretto. The nature of music, e.g. its rhythms, key

10
signatures, and themes can contribute to characterization. Stendhal's
term "dramatic harmonization" :nticipat,es Wagner' r leitmotif and
explains this one use of music as a tool of characterization: "It is
the rarer art of using the instruments to voice nuances and overtones
of emotion which the characters themselves would never dare put into
words" (Stendhal, in The Essense of Opera, pp. 191-92).
In the finest librettos, plot centers around a single dramatic
line. Boito's adaptation of Shakespeare's Othello eliminates all
subsidiary characters and events to concentrate on the interaction of
Otello, lago, and Desdemona. Otello's increasing rage, Iago's treachery,
and Desdemona's bewilderment and fear surrounding the mystery of the
handkerchief propel the plot to its final tragedy. As Lehman Engel
explains, "Because of the emotional weight of the music and the time it
consumes in performance, there is generally no need to find an engaging
21
complement for the basic plot." The simplicity of structure m
operatic plots is accompanied by a highly emotional content. Human
passions, e.g. love and its accompanying emotions of jealousy and
hatred, have been at the root of operatic plots from Peri's Euridice
to Mozart's The Marriage of Figaro to Verdi's Otello to Elmslie's
Washington Square.
This dissertation will analyze the adaptation of six novels, seven
short stories, and one long narrative poem from nineteenth-century
American literature into the respective opera librettos based on these
narrative works. The three elements of the storyteller's art form a
common ground for comparative analysis between the fictional source and

11
the new product, the opera libretto. The similarities between the
settings, characters, and actions written for the relative scope and
structural freedom of narrative fiction and those which are adapted to the
structural confines of drama appear remotely related. However, the
continuous use of fictional source material as the basis for operatic
librettos does suggest a possible closer relationship. Indeed, Henry
James, vwriting of the principle of scenario, expressed his belief that the
two methods are similar. For James, the scenario was the "key that,
working in the same general way, fits the complicated chambers of both
22
the dramatic and the narrative lock. ..."

12
Notes
"^Douglas Feaver, "Words and Music in Greek Drama," in The Essence
of Opera, ed. IIJrich Weinstein (New York: W. W. Norton and Company, Inc.,
1964777- 10.
•^Jacopo Peri, "Preface to Euridice," in The Essence of Opera, p. 20.
"Whence, seeing that ... I had to reproduce speech by song ... I
, . . used a kind of harmony which, going beyond ordinary speech, remained
so far below the melody of song that it constituted an intermediate form."
^Francesco Algarotti, "Essay on Opera," in The Essence of Opera, p. 70.
^Patrick Smith, The Tenth Muse: A Historical Study of the Opera
Libretto (New York: A. A. Knopf, 1970), p. 273.
5
Christoph Martin Wieland, "Essay Concerning German Opera and a
Few Related Subjects," in The Essence of Opera, p. 121.
^"All but the Score," Newsweek, 58 (October 23, 1961), 64. "To
turn Henry James' rarified novel into robust theater takes some doing,
but Ethan Ayer's libretto succeeds. The motives of Kate Croy and
Merton Densher ... as they scheme to fleece Milly Theale, the dying
heiress, have had some of their Jamesian vapors fanned away so that
they stand out in sharp focus."
Hubert Saal, "Chekov from the Heart," Newsweek, 83 (March 18, 1974),
5. In spite of the distortions and simplifications necessary in operatic
dramaturgy, Pasatieri and his librettist, the American poet Kenward
Elmslie, have turned "the opera into a splendid success." The librettist
has brought "the subterranean Chekov to the surface."
n
Earle H. Johnson, Operas on American Subjects (New York: Coleman-
Ross, Inc., 1964), p. 5.
g
Copyright dates appear in parentheses; other dates are for first
performances, except as indicated.
Louisa May Aleott
Freer, Eleanor Everest Little Women 1934
David Belasco
Puccini, Giacomo The Girl of the Golden West (1910)
Stephen Vincent Benet
Moore, Douglas
The Devil and Daniel Webster (1943)

13
George Washington Cable
Delius, Frederick
James Fenimore Cooper
Adam, Adolphe
Allen, Paul Hastings
Arditi, Luigi
Davis, A. J.
Genee, Franz
Halevy, Jacques
Phelps, E. C.
Planquette, Jean-Robert
Villani, Angelo
Edward Everett Hale
Damrosch, Walter
Bret Harte
Floridia, Pietro
Weinberger, Jaromir
Nathaniel Hawthorne
Carlson, Charles F.
Claflin, Avery
Damrosch, Walter
Floridia, Pietro
Giannini, Vittorio
Hanson, Howard
Kaufmann, Walter
Southard, Lucien H.
Dorothy and Dubose Heyward
Gershwin, George
Washington Irving
Briston, George F.
De Koven, Reginald
Jordan, Jules
Leoni, Franco
Manning, Edward
Maretzek, Max
Koanga (The Grandissimes) (1935, Rev. 1974)
Les Mohicans 1837
The Last of the Mohicans 1916
La Spia 1856
The Last of the Mohicans n.d.
Die Letzten Mohikaner 1878
Jaguarita l'Indienne (The Spy) (1885)
The Last of the Mohicans n.d.
Surcouf (The Pilot) (1888)
La Spia 1850
The Man Without a Country (1937)
La Colonia libera (M'liss) (1900)
Lide z Pokerflatu (The Outcasts of
Poker Flat) (1932)
Hester; or, The Scarlet Letter n.d.
Hester Prynne 1934
The Scarlet Letter 1896
The Scarlet Letter composed 1908
The Scarlet Letter 1938
Merry Mount (The Maypole of Merry Mount)
(1933)
The Scarlet Letter 1961
The Scarlet Letter 1855
Porgy and Bess (1935 )
Rip Van Winkle
Rip Van Winkle
Rip Van Winkle
Rip Van Winkle
Rip Van Winkle
Sleepy Hollow;
1897
(1855)
(1919)
(1897)
(1897)
1932
or The Headless Horseman

14
Moore, Douglas
Planquette, Jean-Robert
Henry James
Britten Benjamin
Moore, Douglas
Pasatieri, Thomas
John Luther Long
Puccini, Giacomo
Henry Wadsworth Longfellow
Carlson, Charles F.
Eames, Henry Purmort
Fanciulli, Francesco
Jones, Abbie Gerrish
Leroux, Xavier
Luening, Otto
Rice, Edward E.
Spelman, Timothy Mather
Surette, Thomas Whitney
Ware, Harriet
Herman Melville
Aschaffenburg, Walter
Britten, Benjamin
Ghedini, G. Federico
Krenek, Ernst
Arthur Miller
Ward, Robert
Eugene O'Neill
Gruenberg, Louis
Levy, Martin David
Gertrude Stein
The Headless Horseman; r, The Legend of
Sleepy Hollow (1937)
Rip Van Winkle (1382)
The Turn of the Screw (1955)
Owen Wingrave (1971)
The Wings of the Dove (1961 )
Washington Square (1976)
Madama Butterfly (1904 )
The Courthsip of Miles Standish n.d.
Priscilla n.d.
Priscilla; or, The Maid of Plymouth 1901
Priscilla composed 1885-87
Evangeline (1895 )
Evangeline 1948
Evangeline (1887)
The Courship of Miles Standish composed
1943
Priscilla; or, The Pilgrim's Proxy (1889)
Priscilla n.d.
Bartleby composed 1962
Billy Budd (1951, rev. 1961)
Billy Budd 1949
The Bell Tower composed 1955-56
The Crucible 1961
The Emperor Jones (1933 )
Mourning Becomes Electra 1967
Thomsom, Virgil
The Mother of Us All (1947)

15
John Steinbeck
Floyd, Carlisle Of Mice and Men (1971)
Harriet Beecher Stowe
Ferrari-Trecate, Luigi La Capanna dello zio Tom 1953
Florio, Caryl Uncle Tom's Cabin 1882
Giorza, Paolo La Capanna dello zio Tom 1859
Mark Twain
Foss, Lucas The Jumping Frog of Calaveras County
(1951)
John Greenleaf Wittier
Bonner, Eugene Barbara Frietchie (from the play by
Clyde Fitch) composed 1920
Tenessee Williams
Hoiby, Lee Summer and Smoke 1971
^Joseph Kerman, Opera as Drama (New York: Vintage Books, 1956), p.
108.
^Christoph Willibald Gluck, "Four Letters," in The Essence of Opera,
p. 106.
^Wolfgang Amadeus Mozart, "Letters to His Father," in The Essence
of Opera, p. 131.
l~Henri Beyle, Life of Rossini in The Essence of Opera, p. 198.
13
George Bernard Shaw, "The Tone Poet," Shaw on Music m The Essence
of Opera, p. I84.
^Arthur Schopenhauer, The World as Will and Idea in The Essence of
Opera, p. 184.
1 5
Richard Wagner, Opera and Drama in The Essence of Opera, p. 220.
^Friedrich Nietzsche, The Birth of Tragedy in The Essence of Opera,
p. 228.
^Edward J. Dent, Opera (Baltimore: Penguin Books, 1949), pp. 83-84.
^Grand Opera, ed. Anthony Gishford (New York: Viking Press, 1972),
p. 120:

16
19e. m. Forster, Aspects of the Novel (New York: Harcourt, Brace
and World, Inc., 1927J, p. 85.
^Herman Melville, Billy Budd, Sailor, ed.
Merton M. Sealts, Jr. (Chicago: University of
Harrison Hayford and
Chicago Press, 1962), p. 74.
^Lehman Engel, Words and Music (New York:
p. 21.
Macmillan Company, 1972),
^Henry James, "Henry James: The Dramatic Years," an Introductory
Essay by Leon Edel, The Complete Plays of Henry James (New York: J. P.
Lippincott, Co., 194917 p. 62.

CHAPTER ONE
LOCALIZATION
Localization, the most utilitarian use of background material in
a novel, "is a practical matter of placing the characters in an environ¬
ment within which they can act out their stories.In fiction, local¬
ization is presented through a variety of methods. First, large blocks
of descriptive narration often present the setting to the reader.
Delivered through the narrator of the story, these passages usually
present an objective picture of the setting. Next, dialogue often
conveys information about the setting. When presented through dialogue,
the picture of the setting is often colored by the nature of the
individual speaking. Last, the interior monologue presents the setting
through the mind of the character. This method is especially successful
in revealing a character's personal reactions to his environment. But
fictional setting utilized in opera must be presented by one of two
methods: 1.) through the stage scenery or 2. ) through dramatically
presented descriptions of the setting.
I Stage Scenery
The power of the adaptive librettist, as Patrick Smith points out,
exists "not only in organizing a work for the operatic stage but also
in preserving as much as possible of the original in the adaptation."
(Smith, p. 174). In each libretto studied, the librettists from J. H.
Wainwright to Kenward Elmslie have in varying degrees retained settings
from the original source. The single interior setting of the Van Tassel
17

18
farmhouse in Stephen Vincent Benet's The Headless Horseman, intended for
amateur production, is practical, but produces little of the mysterious
atmosphere created through setting in Irving's tale. On the other hand,
Myfanwy Piper in The Turn of the Screw and in Owen Wingrave and Kenward
Elmslie in Washington Square have each adapted a large number of settings
from the respective original sources. In each libretto, the settings
remain faithful to James' original works both in local and in effect.
For instance, in Chapter III of Washington Square, Henry James devotes
considerable length to a description of Dr. Sloper's house: ". . .a
handsome, modern, wide-fronted house, with a big balcony before the
drawing-room window, and a flight of white marble steps ascending to a
portal which was also faced with white marble." Kenward Elmslie in his
libretto emphasizes Dr. Sloper's house through a unique visual presentation
of the setting. In Act I, ii, Dr. Sloper, his daughter Catherine, and
Aunt Lavinia appear in an open carriage, behind which "the skeletal
structure of the Sloper house can be seen, dimly. In the course of
the scene, the structure gradually moves closer to them, slowly becoming
more sharply outlined,"-^ At the conclusion of the scene, the facade
of the mansion appears in solid form, "with marble steps and a grand
and imposing front door" (Elmslie, p. 25). Fourteen of the sixteen
scenes in the opera are set in various rooms in the house or in the
park facing the house. This scenic mobility creates an emphasis on
setting similar in effect to that achieved by James.
Often a librettist will create settings not in the original. This
adaptive practice appears to be a contradiction to the necessity for
simplifying the original material. However, this alteration in setting
is often necessitated by dramatic action. Hawthorne locates the action

19
of his story "The Maypole of Merry Mount" in a single setting, the New
England settlement at Merry Mount. The venerated Maypole, stained in
seven brilliant hues and decorated with ribbons, banners, and flowers
in a multitude of colors, occupies the center of the scene. This
colorful setting, filled with colonists dressed in an array of wild
and colorful costumes, is framed by the "black surrounding woods''^ from
which the "grim Puritans" (Hawthorne, p. 77) watch the activities.
In Richard Stokes's three act libretto, Merry Mount, the forest,
peripheral in Hawthorne's story, serves as the local for Act II, ii.
The personal conflict within the Puritan leader, Wrestling Bradford, the
opera's hero, involves his ideal of priestly purity and his sexual
desire. This inner conflict is paralleled in the social conflict between
the Puritans and the Cavaliers, residents at Merry Mount. Following the
destruction of the Maypole by the Puritans (Act I, i ), Bradford brings
the colonist Lady Marigold Sandys into the forest setting where he
makes advances toward her and renounces his vows as a priest. Fearing
his soul is damned, he curses Marigold and prays. Overcome, he
collapses. This forest setting leads directly into the opera's most
original setting: "Bradford's Dream: The Hellish Rendezvous."
Directly behind Bradford, a curtain rises divulging "his dream of
the Valley of Tophet—an infernal glen with ramparts of sandstone,
laval-glazed and rain-marked in purple and black. . . . Across the back
extends a massive and lofty cliff, with a great arch at the left to
5
give it the form of a cyclopean bridge." In the center of the stage,
where the Maypole had stood in the earlier scene, a giant toadstool now
overshadows all. Phosphorescent shimmers, fireflies, will-o-the-wisps,

20
imps, witches, and devils populate the stage. This nightmarish setting
has no parallel in Hawthorne's story; however, it has dramatic relevancy.
In addition to possessing high theatrical qualities, e.g. lavish scenery
brilliant costumes, visual and aural excitement, this setting contributes
to characterization. Bradford's fear of spiritual damnation through
submission to sexual desires is dramatized in this ghoulish setting.
The main setting of Melville's Billy Budd is the military vessel,
H. M. S. Bellipotent. In various locations aboard this ship, the
events of the story occur. This central setting is framed by a series
of minor locations mentioned by the narrator. In Chapter 1, he describes
a black sailor whom he had seen once in Liverpool. After Budd's execu¬
tion, the narrator mentions Gibraltar, the scene of Captain Vere's death,
and Portsmouth, the city in which the ballad "Billy in the Darbies" was
published.
E. M. Forster and Eric Crozier, co-librettists of Benjamin Britten's
Billy Budd, locate the central action in the opera on board the H.M.S.
Indomitable. This setting is framed in the opera by an original setting
in the Prologue and the Epilogue, which serves a three-fold dramatic
purpose. First, the new set places Captain Vere outside the main action
of the opera. In Melville's novel, Vere dies from a battle wound. In
the libretto, Vere does not die, but "is revealed as an old man"^ in
this frame setting, remembering the events surrounding Billy Budd. The
locale of this setting is not specified, and the time is suggested only
by Vere's altered physical appearance. 'Second, the Epilogue provides a
release from the tension of the hanging scene which "is so tense and

21
its impact so overwhelming that time is needed for the audience to
recover,"^ Third, this falling off achieved by the use of the Epilogue
parallels in effect the final three chapters of Melville's novel, which
relate respectively the information of Vere's death, a naval report of
the Budd affair, and the ultimate effect of Billy Budd upon the sailors
who had witnessed his death.
Washington Irving presents lengthy descriptions of various settings
in "Rip Van Winkle" before Rip falls asleep for twenty years: the
village in which Rip lives, the "deep mountain glen, wild, lonely, and
g
shagged" from which a keg-bearing stranger dressed in "antique Dutch
fashion" (Irving, p. 53) emerges, the " lollow, like a small amphitheatre"
(p. 53) where Rip plays nine-pins with the strange men. After Rip
awakens, Irving presents the same locations in reverse order. Moving
from the mountain hollow to the wild glen and, finally, to the village,
Irving describes the natural changes in the setting which occurred
during Rip's absence.
These locales are adapted as the various settings in Acts I and III
of J. H. Wainwright's Rip Van Winkle. The whole of Act II is set in 1777,
while Rip is absent from the action of the story. Wainwright expressed
his intentions in creating Act II in his "Preface": "In Irving's story,
he has marked the contrast between the two eras. It has been attempted
here to relate some of the incidents by which that contrast was brought
about.The settings of Act II, scenes i and iii are those of the
village square and Dame Van Winkle's house in Act I, altered now to
indicate the passage of time, e.g. a portrait of George Washington has
replaced one of King George, which had hung over the tavern door. The

22
setting for scene ii, "the bivouac of the Continentals" in "a rocky pass"
(Wainwright, p. 26) has no parallel in Irving's story. This setting
provides the background for action involving Rip's daughter Alice in an
operatic love triangle.
While he may frequently add scenes, the librettist will omit fictional
settings far more often. This major decision is part of the simplifi¬
cation process in organizing the fictional material for operatic treatment.
This basic rule of operatic adaptation is based upon two criteria: an
action in the plot is omitted from the libretto, making the setting in
which it occurs unnecessary, or the action is retained as part of the
libretto but is transferred to a different setting. The number of scenes
omitted from the fictional sources studied is very numerous. To prevent
confusion, I shall choose only settings of major significance for
illustration.
The inclusive panoramic setting of Hawthorne's The Scarlet Letter is
Boston in the 1640's. Within this general setting, Hawthorne localizes
his action in a series of specific locations, e.g. the market-place in
Chapter I, the prison cell in Chapter IV, and the forest setting in
ChaptersXVI-XIX. George Parsons Lathrop in his libretto The Scarlet
Letter and Frederick Carlson in his libretto Hester utilize these settings.
However, both librettists eliminate two of the same settings in Hawthorne's
novel. In Chapter X, "The Leech and His Patient," Roger Chillingworth
sits at an "open window, that looked toward the grave-yard.Roger
and his patient Arthur Dimmesdale discuss the evil consequences of
self-deception in this interior setting. In Chapter XIV, as Hester
and (her husband) Roger walk along the seashore they consider who is to

23
blame for their present circumstances. However, as George Marek
explains in Opera as Theatre, "There is not much room for philosophical
animadversions in an opera.These philosophical discussions and the
settings in which they are located are eliminated from both librettos.
The scope of settings available to a novelist is unlimited. Both
the number of settings and their locales can be as few or as many as
necessary. Nowhere is this possibility of variety in fictional settings
more clearly seen than in the novels of Henry James. In the two volumes
of The Wings of the Dove, various settings, both interior and exterior,
are presented in America, England, Switzerland, and Italy. The scenes
in the novel which occur at the house of Marian Condrip, Kate Croy's
impoverished sister, are eliminated from Ethan Ayer's libretto. The
poverty associated with Marian's house offers one of the many contrasts
in the novel to the wealth and sumptuousness of Lancaster Gate, the
residence of Kates Aunt Maud. This scenic contrast is absent from the
libretto. Numerous other settings are also eliminated. Milly's London
hotel suite in which she hosts an elaborate dinner party is rejected by
the librettist. No outdoor scenes are included in the libretto:
Kensington Gardens, the great St. Mark's Piazza in Venice, and the well-
known setting in the Swiss Alps in which Milly Theale, the heroine,
precariously sits on a "slab of rock at the end of a short promontory
. . . that . . . pointed off to the right into gulfs of air. . . .
This great variety of settings is reduced in the opera to four interior
settings in six scenes: a parlor at Lancaster Gate, the National Gallery,
the courtyard at the Palazzo Leporelli in Venice, and Milly's sitting
room in the Palazzo.

24
The interior settings of Miles Standish's house and Priscilla's
house in Longfellow's narrative poem The Courtship of Miles Standish
are faithfully adapted by Frederick Carlson for his libretto. The
exterior settings, with the exception of the seashore scene in which
the Mayflower sails for England, are eliminated. In section VII of
the poem, for instance, Standish and his men march through "forest, swamp,
and along the trend of the sea-shore.The party visits an Indian
encampment "pitched on the edge of a meadow, between the sea and the
forest ..." (Longfellow, p. 331 )• In this setting a fight occurs in
which Standish kills Pecksuot, an Indian warrior. With his men, Standish
defeats the entire tribe. The effect achieved in cutting the march and
the settings in which it occurs is the elimination of the accompanying
violence from the libretto.
In two operas studied, settings were eliminated by the librettist
when the narrators of the original sources were dropped. Fred Ingham,
the narrator of Edward Everett Hale's "The Man Without a Country,"
relates the story of Philip Nolan, based largely on naval tradition
and myth surrounding Nolan. In his narration, Ingham either appears in
or mentions numerous settings, e.g. the "Mission house in Mackinaw" where
he first appears in the story or the settings in which he had first hand
knowledge of Nolan: the schooner filled with Negro slaves, the George
Washington corvette off the coast of Buenos Aires, and Alexandria, Egypt.
All of these settings are omitted from the libretto. Ingham receives a
letter from a friend, Danforth, which presents the circumstances surrounding
the final part of Nolan's life. The setting of the interior of Nolan's

25
stateroom described in Danforth's letter is omitted from the libretto.
None of the melancholic action associated with Nolan's final scenes
about the United States is included in the libretto. The numerous scenes
in the short story located in settings from various parts of the world
help to suggest the painful isolation of Nolan's life. The settings
also emphasize his pathetic attempts to know something of America and
to give direction to his existence. The homemade maps and charts which
line Nolan's stateroom as well as the numerous objects there provide a
meaning for his life in exile: "'Here, you see, I have a country!^
These final scenes in the story, which provide contentment for Nolan,
are omitted from the libretto. After the courtmartial scene, the
remainder of the action in the opera takes place on board the Nautilus.
In the short story, Nolan dies quietly with a sense of dignity and
resignation among the belongings in his stateroom which he had come
to treasure. In the opera, he dies in battle the death of a naval
hero on board the vessel on which he had been imprisoned.
In Mark Twain's "The Celebrated Jumping Frog of Calaveras County"
both Garrulous Simon Wheeler and the Eastener to whom he tells the
story of Daniel, the frog, are narrators. The staid, humorless
Easterner tells of a friend who had asked him to locate one Leonidas
W. Smiley. However, instead of finding Smiley, the Easterner turns up
Simon Wheeler. Both men appear "by the barroom stove of the dilapidated
tavern in the decayed mining camp of Angel's. . . ." J This setting
is replaced in Jean Karsavina's libretto by "Uncle Henry's Bar in
Calaveras.The action localized in this setting concerns only the
story of Jim Smiley and his wager with a Stranger on the jumping merits
of a frog.

The various settings, both interior and exterior, which contribute
to the mysterious atmosphere in Washington Irving's "The Legend of Sleepy
Hollow" are reduced in The Headless Horseman by Stephen Vincent Benet
to one interior setting: a large comfortable room in the Van Tassel
farmhouse. This use of a single set creates a dual effect. First, in
the tale by Irving the men gather outside on the veranda to tell ghost
tales. In the darkness of this setting, the moonlight and the glow
from the men's pipes are the only sources of illumination of the scene.
The contrast achieved between the setting inside the house associated
with the gaiety of the party and the setting outside associated with
the superstition of the tales is a quality in the story eliminated from
the libretto by the use of the single set. Second, in the libretto
the phantom horseman appears at the door of the room on foot instead of
appearing mysteriously on horseback among the shadows as in Irving's
tale. Ichabod Crane sees the ghost at the door and dives through the
window pursued by the Headless Horseman, who throws the pumpkinhead
17
after him. In this chase scene, the single set arrangement introduces
the implausible situation in which not one person in the crowded room
attempts to apprehend the horseman. The quality of Irving's chase
scene with its characteristic mixture of humor and horror is reduced in
the libretto to slapstick comedy. Finally, the scene points up the
fact that certain fictional scenes cannot be successfully transferred
to the stage, the scene in Irving's tale, for example, where Ichabod
is pursued by the Headless Horseman on horseback which involves a
chase down a road, across a bridge, and part way up the hill beyond.

27
A librettist will often retain the action of the original story-
while placing it in a new locale. For example, in Twain's story of
Daniel, the frog, the jumping contest takes place inside the saloon.
In Karsavina's libretto The Jumping Frog of Calavaras County, the
contest is held outdoors before the saloon. The change offers variety
of setting but little else. A chorus of townspeople is added to the
libretto, but this group could just as logically have been located
inside the saloon. The changing of the court-martial scene in "A Man
Without a Country" from Fort Adams in Hale's story to Charleston,
South Carolina, in Guiterman's libretto has no effect on the story itself.
The only rationale for changing this location from a military installation
to a large metropolitan courtroom is to offer the opportunity for a
more elaborate stage setting.
In three librettos studied, Billy Budd, The Wings of the Dove, and
The Courtship of Miles Standish, the localization of action into a new
setting produces significant changes from the originals. In Melville's
manuscripts of Billy Budd, the warship was variously referred to as both
the Indomitable and the Bellipotent. However, as William T. Stafford
points out, the choice of which name is most effective has little
critical importance "for the ironic contrast with the Rights-of-Man is
18
apparent enough in either case. ..." In the novel, Billy Budd is
first seen on the Rights-of-Man. Impressed into duty, Budd is taken by
launch to the Bellipotent. While in the launch, he utters the apostrophe,
"And good-bye to you too, old Rights-of-Man.In the libretto, Budd
sings his farewell with the same words; however, he is on board the

28
indomitable, not in the launch. The dramatic result in both cases is
the same: the lieutenant in charge orders him to he silent. The irony
implied in Budd's farewell, but not intended by him, is strengthened in
the opera by having him deliver it from the ship onto which he has just
been impressed.
In the opening scene of James's The Wings of the Dove, Kate Groy
visits her father at his residence in Chirk Street. Alone at first,
Kate notices the poor, cheap surroundings in which her father is forced
to live. She moves from "the shabby sofa to the armchair upholstered in
a glazed cloth that gave at once—she had tried it—the sense of the
slippery and of the sticky" (James, 1, 19). She looks "at the sallow
prints in the walls and at the lonely magazines, a year old, that combined,
with a small lamp in coloured glass and a knitted-white centre-piece
wanting freshness, to enhance the effect of the purplish cloth on the
principal table ..." (James, 1, 19). In the scene, Kate discovers
that her father has misspent an inheritance from his wife and is now
discredited.
A parallel meeting between Kate and her father with a similar
exchange of information occurs in the first scene of Ayer's libretto.
However, the setting has been transferred to the gaudy splendor of Aunt
Maud's parlor at Lancaster Gate: "It is a room in the flounce, brass,
marble and mahogany of the Edwardian Era. A 'conversation piece' with a
palm in it sprouts from the middle of the room and a Gothic arch spans
its side. There are sundry formed, semi-upholstered chairs about and a
tiger skin rug in front of the piano."^0 Mr. Croy's residence in Chirk
Street and the subsequent settings in Lancaster Gate in James's novel

29
give the original material a rich, suggestive contrast of wealth and
poverty, not evident in the libretto.
Frederick Carlson, in a note prefacing his libretto The Courtship
of Miles Standish, explains that his "libretto stands, arranged, almost
as the poem."" Two ant,ions in Longfellow's poem were shifted to
different locations in Carlson's libretto. The wedding of John Alden and
Prieilla occurs at the end of both the poem and the libretto. The
action remains the same in both instances. In Longfellow, the wedding
is set inside the church. After the ceremony, the crowd moves to the
outdoors in front of the church. Carlson explains he "changed the
wedding scene from a 'room' to an 'open space before the church.'"
This change of locale for the wedding has no effect on the action. A
more revealing example occurs early in the story. In Part III of the
poem John Alden leaves Standish's house in a state of great agitation.
He has sworn to deliver Standish's declaration of love to Prieilla,
the girl he himself loves. John hurries through the woods in haste
and confusion. Longfellow uses the setting to heighten John's desperation.
The peaceful surroundings through which John rushes contrast with his
inner turmoil:
So the strong will prevailed, and Alden went on his
errand,
Out of the street of the village, and into the paths
of the forest,
Into the tranquil woods, where bluebirds and robins
were building
Towns in the populous trees, with hanging gardens of
verdure,
Peaceful, aerial cities of joy and affection and freedom.
All around him was calm, but within him commotion
and conflict,
Love contending with friendship, and self with each
generous impulse.
To and fro in his breast his thoughts were heaving and
dashing. . . . (Longfellow, pp. 296-97)

30
In Act I of the opera, the same situation happens. John has told Miles
he will deliver the message of love to Priscilla. However, Alden remains
in the room when Standish exits. The sense of loss and frustration
expressed by Alden in the poem as he hurries toward Priscilla's house
is weakened in the libretto. Alden remains in the room and declaims
his feelings. Alden's immediate need to escape into the open air is
lost in the libretto. In the poem, he must get outside where he can
think. This sense of urgency expressed by Alden in both his words and
his actions in contrast to the peaceful environment is missing from the
libretto.
II Dramatic Presentation
Characters in opera often present information dramatically to
establish the locale. Usually, the characters present straightforward
description borrowed directly from the fictional source. The gathering
in scene i of Kenward Elmslie's libretto Washington Square is identified
by a guest as an engagement party. On discovering the crack in his
newly forged bell, Bannadorina in Ernst Kreneck's The Bell Tower describes
this fact to the audience. The various officers and seamen identify
the vessel in Billy Budd as the "Indomitable" and as "a seventy-four."
In Act II, iii of Billy Budd, Eorster and Crozier borrow words from
"Billy in the Darbies," the poem which concludes Melville's novel, to
describe the setting. Billy sings: "Look! Through the port comes the
moonshine astray! It tips the guard's cutlass and silvers this nook
. ." (Forster and Crozier, pp. 297-98). In Chapter 24 of Melville's

31
novel, Budd sits in irons in a bay of the gun-deck following his
court-martial. The scene is described in contrasts between light and
dark. Light comes from two sources: two battle lanterns and the
moonlight filtering through the open gun ports. "Fed with oil supplied
by the war contractors . . . , with flickering splashes of dirty yellow
light they pollute the pale moonshine all but ineffectively struggling
in obstructed flecks through the open ports from which the tampioned
cannon protrude" (Melville, p. 119). By contrast with Melville's
version, the moonlight as described by Budd in the libretto is stronger
and colors the setting with a brighter glow.
In fiction and in opera a character's personal reactions to his
environment may be conveyed through dramatic presentation of locale.
In Part I of James's The Turn of the Screw, the Governess contrasts her
initial impression of Bly with her feelings about the house after her
unusual experience there. As she wrote, the Governess admitted that
Bly was actually big, ugly, and antique. Her impression of Bly upon
having arrived there years before, however, had been far more romantic.
The size of the house and the splendor of its surroundings had been to
her youthful imagination more magnificent than the castle of fairytales:
"But my little conductress (Flora), with her hair of gold and her frock
of blue danced before me round corners and pattered down passages, I had
the view of a castle of romance inhabited by a rosy sprite, such a place
as would somehow, for diversion of the young idea, take all colour out
22
of storybooks and fairytales." In Benjamin Britten's The Turn of The

32
Screw, adapted by Myfanwy Piper, the Governess briefly describes the
house and the grounds of Bly upon her arrival. "The scene and the
park are so splendid, far grander than I am used to."^ she continues
by giving her romantic reactions to the house and by specifying the
location by name: "I shall feel like a princess, a princess here! Bly,
I begin to love you, to love you, Bly!" (Piper, p. 18-19). The Governess's
description of Bly and the initial impression of the setting upon her
closely parallel the passage in James's novel.
The most unusual localization through dramatic presentation occurs
in a combination of scenes in Piper's The Turn of the Screw. To convey
the omniscient evil at Bly, Piper created a scene for the libretto which
has no precedent in James's story. In Act II, i designated as "Nowhere"
in the libretto, the lights fade in on Quint and Miss Jessel. The
meaning of this abstract setting is explained in the words which the
Ghosts sing in the previous scene, Act I, viii. This earlier scene in
which all six of the opera's characters appear on stage together is
reminiscent of the well-known scene in James in which the Governess
looking out a window at Bly discovers Miles standing on the moonlit
lawn below and believes he is actually watching Quint on the tower
directly above her. In the libretto, Quint and Miss Jessel tell Miles
and Flora they are located everywhere. If the children simply look,
they will find the ghosts. "On the paths, in the woods, on the banks,
by the walls, in the long lush grass, or the winter's fallen leaves,
I wait" (Piper, p. 94). Quint and Miss Jessel, in short, permeate

33
Bly and its surroundings with evil. Myfanwy Piper, by treating this
setting in general terras, created an atmosphere of horror suggestive
of James's story. James believed he could free himself from the
necessity of creating any specific picture of evil by presenting to
the reader an intense, generalized picture of evil. "Make him think
evil, make him think it for himself, and you are released from weak
specifications. The effect of this abstract localization is directed
at the audience. The opera-goer who reads the libretto or witnesses
a production supplies his own specifics concerning the nature of evil.
In James's The Wings of the Dove, Merton Densher visits Lancaster
Gate for an interview with Aunt Maud whose plan for Kate is simple: to
see her niece married to a wealthy man. Densher is a newspaper reporter
and is conscious that Aunt Maud disapproves of him. As he waits for
her, Densher, in an interior monologue, observes the elaborate furnish¬
ings of the house and becomes hopelessly aware of the difference between
his world and that of Aunt Maud.
Ke had never dreamed of anything so fringed and scalloped,
so buttoned and corded, drawn everywhere so tight and
curled everywhere so thick. He had never dreamed of so
much gilt and glass, so much satin and plush, so much
rosewood and marble and malachite. But it was above all
the solid forms, the wasted finish, the misguided cost,
the general attestation of morality and money, a good
conscience and a big balance. (James, p. 79)
These descriptive words registered by Densher1s mind in the novel are
borrowed by Ethan Ayer for use in his libretto to describe the same
setting. However, in the libretto the description is oral rather than

34
mental, and it is given by Kate's father Homer Croy, rather than by
her lover Miles Dunster. As in the novel, Kate's father has gambled his
fortune away. In scene i as he looks at the furnishings of Lancaster
Gate, Mr. Croy sings: "Whoever dreamed of anything so fringed and
scalloped, so buttoned and corded, drawn ev'rywhere so tight, and
curled ev'rywhere so thick? Whoever dreamed of so much gilt and glass,
so much satin and plush, so much rosewood and marble and malachite;
such solid forms, such wasted finish, such wasted cost" (Ayer, pp. 3-5)?
The effect of this description is different from the hopeless awareness
that comes to Densher in the novel. Mr. Croy's response to this richness
reveals his envy for lost opportunities and his bitterness against those
people who possess what he has thrown away.
The chorus in an opera often localizes the action dramatically.
Charles Hamm in his book, Opera, describes several functions of a
chorus. In the first of these the chorus performs "the function of
setting the stage for the first scene, of helping to establish the
locale. . . Functioning as a narrator, the chorus can present
straight description, as in this passage from Carlson's The Courtship of
Miles Standish borrowed directly from Longfellow's poem:
Forth from the curtain of clouds,
from the tent of purple and scarlet,
Rises the sun, the great high priest
in his garments resplendent (Carlson, n.p. )
In J. H. Wainwright's Rip Van Winkle, the chorus describes the temporal
setting, using words by the librettist:

35
The summer has faded fast away,
And autumn is advancing
We've mowed the hay from the verdant plain—
'Mid the stubble the partridge is feeding. (Wainwright, p. 5)
The chorus can localize the setting and the characters while participating
in the action of the scene. In Stephen Vincent Benet's The Headless
Horseman, the female chorus introduces the heroine and identifies the
gathering as a quilting bee. They sing of the one activity common to
all such occasions, gossiping:
Quilt and patch, patch and quilt, bzz, bzz, bzz!
I said to him, he said to you, and don't you think he is?
His eyes are blank, his hair is brown, he's quite the
nicest boy in town.
Of course, mama pretends to frown, bzz, bzz, bzz! (Benet, p. l)
The operatic chorus localizes setting a second way. While the
on-stage action proceeds in the location seen by the audience, a chorus
placed off stage suggests the existence of another location. The trial
scene (TV, i) of Verdi's Aida provides an outstanding example of this
use of the chorus. On stage in the halls of an Egyptian temple,
Amneris, the Egyptian princess, listens and responds to the trial
proceedings which occur off stage. The existence of a trial chamber is
suggested by an off-stage male chorus of high priests who interrogate,
judge, and ultimately sentence Rhadames to death for treason. The effect
upon an audience achieved by this scenic device is explained by Hamm:
"It is as though we are given a glimpse of a second set" (Hamm, p. 108).
Among the librettos studied, Koanga makes the most extensive use
26
of the off-stage chorus. As a backdrop for much of the on-stage action

36
in Act I, an off-stage chorus of Negroes heard singing work songs
suggests the setting of the sugarcane fields where they labor. The whole
of Act III consists of the pursuit, capture, and death of Koanga. The
on-stage setting represents a pagan altar located in a swamp. The off¬
stage chorus calling on the Voudou gods of Koanga represent Negroes
making their way through the swamp to meet at the on-stage location.
Later in the act another off-stage chorus is identified by Palmyra as a
group of hunters who are pursuing Koanga. These men give a "wild cry"
of triumph when they capture Koanga in the off-stage location.
The off-stage chorus can be used as a foil to on-stage action, while
it suggests another location. In Act I, ii of Billy Budd, Captain Vere
and two of his officers, Redburn and Flint, speak together of the
recently suppressed mutinies at the Nore and at Spithead and of their
constant fear of new mutinies. Under this serious discussion can be
heard an off-stage chorus of men singing lighthearted sea chanties. Vere's
two officers reveal their suspicions about the dangerous nature of the
new recruit, Billy Budd, and express their general distrust of the crew.
Vere listens to his men singing below deck. He dismisses his officers'
suspicions of Budd and of the crew and assures them that as long as the
men are happy, mutiny is not an immediate concern. The officers leave
and the scene closes with Captain Vere thoughtfully listening to the
crew singing.
Scenery and dramatic presentation of the setting are the librettist's
tools to localize action and character. In adapting a literary work

37
as a libretto, the librettist bases his choice of locales in his story
on two criteria: dramatic relevancy and operatic adaptability. Original
settings are often created for a libretto either to fulfill a dramatic
idea not in the original fiction or to produce on stage a quality in
the fictional work, e.g. the appearances and vocalizing of the Ghosts
and the atmosphere of evil they convey in the scene "Nowhere" in The
Turn of the Screw. Vast numbers of settings in novels and short stories
are omitted because they are not adaptable to stage presentation, e.g.
the lengthy descriptions of the Swiss Alps and of St. Mark's square in
Venice presented in The Wings of the Dove. The stage scenery and the
dramatic environment. The elaborate stage setting in Merry Mount for
"The Hellish Rendezvous" visualizes the mental state of the opera's
leading character. Dramatic presentation of setting can function like
the interior monologue in fiction to reveal attitudes and responses of
a character to his environment.

38
Notes
^D. S. Bland, "Endangering the Reader's Neck: Background Descrip¬
tion in the Novel," Criticism, III (1961 ), 24.
2
‘“The American Novels and Short Stories of Henry James, ed. F. 0.
Matthiessen (New York: Alfred A. Knopf, I%47, p. 171.
â– ^Kenward Elms lie, Washington Square (New York: Belwin-Mills
Publishing Company, 1976), p. 22.
^Nathaniel Hawthorne, Twice-Told Tales (Boston: Houghton Mifflin
and Company, 1882), p. 79.
^Richard Stokes, Merry Mount (New York: Harms, Inc., 193.3), p. iv.
E. M. Forster and Eric Crozier, Billy Budd (London: Boosey &
Hawkes, 1961), p. 1.
7
'Eric Walter White, Benjamin Britten, A Sketch of His Life and
Works (London: Boosey & Hawkes, 1948), p. 1&2. Hereafter cited as
Sketch.
O .
The Complete Works of Washington Irving, IX (New York: Putnam's
Sons, 1882), 52.
9j. H. Wainwright, Rip Van Winkle (New York: Corbyn & Darcie, 1855),
p. 4.
^The Centenary Edition of the Works of Nathaniel Hawthorne, I
(Columbus: Ohio State University Press, 1968), 131.
â– ^George Marek, Opera as Theatre (New York: Harper & Row, Publishers,
1962), p. 168.
l^Henry James, The Wings of the Dove, I (New York: Charles
Scribner's Sons, 19097, 123.
•^The Poetical Works of Henry Wadsworth Longfellow, II, Riverside
Edition (New York: Houghton Mifflin and Company, 1889), 330.
â– ^The Works of Edward Everett Hale, I (Boston: Little, Brown 8c
Company, 1918), 55.
-^The Writings of Mark Twain, Sketches Old and New, Author's
National Edition, XIX (New York: Harper and Brothers Publishers,
1903), 27.

39
Carl
1(^Jean Karsavina, The Jumping Frog of Calaveras County (New York:
Fischer, Inc., 195177 p. 12.
*1 *7
'Stephen Vincent Benet, The Headless Horseman (Boston: E. C.
Schirmer, 1937), p. 111.
^Willaim T. Stafford, "The New Billy Budd and the Novelistic
Fallacy: An Essay-Review," Modern Fiction Studies, 8 (Autumn 1962), 308.
^Herman Melville, Billy Budd, Sailor, ed. Harrison Hayford and
Merton M. Sealts, Jr. (Chicago: University of Chicago Press, 1962), p. 19.
^Ethan Ayer, The Wings of the Dove (New York: G. Schirmer, Inc.,
1963), p. 1.
21
Frederick Carlson, The Courtship of Miles Standish, microfilm
(Chicago: Newberry Library, n.d. ), n.p.
^The Complete Tales of Henry James, ed. Leon Edel 10 (New York:
J. P. Lippincott Company, 1964), 27.
^Myfanwy Piper, The Turn of the Screw (London: Hawkes and Sons,
1955), np. 17-18.
^The Novels and Tales of Henry James, "Preface," XII (New York:
Charles Scribner's Sons, 19077, XXI.
^Charles Hamm, Opera (Boston: Allyn and Bacon, Inc., 1966), p. 104.
D0f the sixteen operas studied in this dissertation, eight use an
off stage chorus to suggest another location; five operas have choruses
but do not use them in this manner; and three operas have no chorus.

CHAPTER TWO
SETTING: THREE FUNCTIONS
Settings in adapted opera librettos often function like settings
in their fictional sources. Frequently, an author will manipulate
his description so as to make the setting reinforce the various moods
and emotions of a character. Although D. S. Bland relates this use of
setting specifically to nineteenth-century authors, he recognizes that
the "association of mood and situation with setting remains a staple of
fictional description" (Bland, p. 127). The description of setting can
achieve another purpose in addition to reinforcing mood and emotions.
When a setting suggests more than the author actually states, description
"can rise to the level of symbol" (Bland, p. 139).
Setting in opera librettos can both parallel the moods and emotions
of a character and also function as symbol. These aspects of setting
are achieved in opera through the lyrics of the libretto and various
forms of stage machinery. Finally, settings can contribute to the
structure of a libretto. In an adaptive libretto, this use of setting
can aid in achieving a structure similar to that of the fictional
source.
I Settings Which can Reinforce the Mood of a Character
In James's The Wings of the Dove, Merton Densher, who accompanies
Milly Theale to Venice, visits her on a more personal basis than her
other friends do. Yet upon arrival at her Palazzo one day, Densher
learns he has been forbidden entrance. Standing in the damp loggia
talking with Eugenio, Densher experiences "a sudden sharp sense that
40

41
everything had turned to the dismal" (James, II, 258). The gusts of the
first sea storm of the season are strong in this scene. The beginning
of this storm, soon to break in its fullest fury, parallels at this
point the beginning of Densher's own turmoil of emotions. Baffled by
this denial of admission, he leaves the palace and walks through Venice
to the great Piazza. Unexpectedly, Densher sees Lord Mark, a London
acquaintance. Knowing Lord Mark had pressed hard in the past to marry
Milly and puzzled as to why he should now be in Venice, Densher begins to
make connections. He senses that the direct cause for his banishment
rests with the sudden appearance of Lord Mark in Venice. As he realizes
this truth, the storm reaches its most violent intensity. In this
highly emotional state, Densher blames Lord Mark both for his banishment
from the Palazzo Leporelli and for the state of the weather. "The vice
in the air, otherwise, was too much like the breath of fate. The
weather had changed, the rain was ugly, the wind wicked, the sea
impossible, because of Lord Mark. It was because of him, a fortiori,
that the palace was closed" (James, II, 263). Several weeks later,
Densher is unexpectedly summoned to the Palazzo Leporelli. On the day
he receives the invitation, the weather is described as "a bath of warm
air, a pageant of autumn light" (James, II, 304). The emotional experiences
of Densher during this episode progress from a mood of gloom and despair
to one of optimism and hope. These responses are paralleled and underscored
by the change in the weather, beginning with the darkness and gloom of an
unusually violent storm and ending with the brilliance and warmth of a
beautiful autumn day.

42
In scene v of his libretto, Ethan Ayer uses stage machinery and
lyrics to establish a relation between the setting and the mood of
Miles Dunster (Merton Densher in the novel). The storm scene in the
novel has been combined with a reconciliation of Milly and Miles in
scene v of the opera. Having been banished from the Palazzo before
scene v begins, Miles comes to Milly's residence in the hope of seeing
her. While he awaits admission, he describes the storm outside to
Milly's servant in words derived from James.^
It is a Venice all of lashing rain
and of cold black sky
Of raging wicked wind
through narrow passes .(Ayer, p. 140).
At this point in the opera, Miles does not know why he has been denied
entrance. Rather than drawing his own conclusions, Dunster learns the
reason from Milly in this scene. Lord Mark had revealed to her the love
between Miles and Kate Croy. Left alone with this knowledge and an
awakened sense of guilt at his betrayal of Milly, Miles listens at the
window as the storm increases in intensity. In the novel considerably
more emphasis is given to the description of the storm and to its
relation to the mood of Merton Densher. However, the storm in both
the libretto and the novel is used to give direct emphasis to his state
of confusion upon being refused entrance to the palace and to his
subsequent anger upon realizing Lord Mark was the direct cause.
Hester is a second libretto to reinforce some mood of character
through use of the setting. Chapters XVI-XIX of Hawthorne's The Scarlet
Letter and Act IV of Carlson's libretto are set in the forest. In the
novel, Hester and Arthur meet, discuss their lives during the previous

43
seven years, and resolve to flee Boston together in search of a happier
life. In Carlson's adaptation, Arthur tells Hester that it is useless
to flee. He believes that no physical or geographical barrier will
prevent Chillingworth from following them. After a while Hester leaves,
and Arthur is left alone. Immediately, a distant roll of thunder is
heard, and a flash of lightning illuminates the set. Arthur sees
visions of Chillingworth watching from the undergrowth. He expresses
his fear in a highly melodramatic fashion, and the librettist has
indicated in the text stage directions for scenic effects which are
intended to parallel Arthur's feelings.
Arthur: Ah, what new terror am I feeling,
(The rumble of distant thunder is heard.)
What darkness around me stealing,
(Flashes of lighting are seen.)
God has surely curs'd me.
(Dark clouds appear thicker and thicker.)
'Tis that old friend at my elbow day and night.
See, he's there and there! Everywhere!
(Flashes of lightning continue.)
A spirit out of hell!
(as thou' rushing at him.)
Thou old fiend get thee hence, get thee hence!
Thou meant not to curse me, but to kill me!
For mercy to heav'n I cry! To heav'n I cry!
(The thunder grows louder and the lightning
more fierce. )2
Chapters 28 and 29 of George Washington Cable's The Grandissimes
tell the story of Bras-Coupe^, a former African voudou prince forced into
slavery. Cable underscores the potential strength of Bras-Coupe's
voudou powers with a violent storm. In separate ceremonies, Don Jose^
Martinez weds a woman identified only as "Mademoiselle" by Cable, and
Bras-Coupe marries Palmyra. Earlier, Palmyra had pleaded with "Mademoi¬
selle" to intercede for her and prevent her marriage to Bras-Coupe^. At

44
3
the conclusion of the ceremony, "the hurricane struck the dwelling."^
Bras-Coupe'turns and asks for Palmyra, who has left his side. "Mademoi¬
selle" tells him he will have to wait until she gives Palmyra to him.
Bras-Coupe agrees only because "Mademoiselle" tells him; however, if he
is deceived, "Bras-Coupe'" will call Voudou-Magnan" (Cable, p. 234) and
curse the white man and his land. The potential danger of this threat
to Martinez and his guests is suggested by the storm which strikes in
all its fury at this precise moment: "The crowd retreated and the storm
fell like a burst of infernal applause. A whiff like fifty witches
floated up the canvas curtain of the gallery and a fierce black cloud,
drawing the moon under its cloak, belched forth a stream of fire that
seemed to flood the ground; a peal of thunder followed as if the sky
had fallen in, the house quivered, the great oak groaned, and every
lesser thing bowed down before the awful blast" (Cable, p. 234). Moments
later, drunk from his first experience with wine, Bras-Coupe’" appears in
the grand salon and demands more wine. When Martinez refuses him, Bras-
Coupe' strikes Martinez and, as promised, utters a curse. After he rushes
from the room, the scene is illuminated by "an avalanche of lightning
with Bras-Coupe' in the midst making for the swamp" (Cable, p. 236).
The libretto Koanga, by C. F. Keary and revised by Douglas Craig
and Andrew Page, is based upon the Bras-Coupe' chapters in The Granáissimes.
Throughout Act II, flashes of lightning and distant thunder suggest the
approach of a storm which will increase in intensity reinforcing the
growing wrath of Koanga, A double celebration is in progress. The whites
in the plantation house celebrate the birthday of Don Jose Martinez, and
the negroes outdoors prepare for the wedding of Koanga to Palmyra. Don

45
Jose has arranged to have his overseer Simon Perez prevent Palmyra's
marriage by kidnapping her. When Koanga confronts Don Jose with his
demand for Palmyra, Don Jose strikes him. When Koanga curses the
owner and his land, the storm is at its most violent. "Thunder and
darkness—Koanga alone on stage, advances and falls on his knees,
with arms outstretched.Afterwards, "Koanga is seen, by occasional
flashes of lightning, making his way thro' the dense forest" (Craig
and Page, p. 102). This storm reinforces the violent passions of
Koanga as opposed to the storm in Hester which suggests the psychological
disturbance in Arthur.
II Symbol
The description of settings often goes beyond reinforcement of
mood and functions as symbol. Hawthorne's use of darkness and light in
The Scarlet Letter creates symbolic overtones in the forest setting. When
Hester and Arthur meet in the forest, the setting is at first "dark,"
"dismal," and "gloomy." Later, when Hester removes the cloth letter
from her dress and the two have decided to leave Boston, sunlight
invades the darkness. Hawthorne establishes the symbolic correspondences:
"And, as if the gloom of the earth and the sky had been but the effluence
of those two mortal hearts, it vanished with their sorrow. All at once
as with a smile from heaven, forth burst the sunshine ..." (Hawthorne,
pp. 202-03). The fluctuations of darkness and sunlight symbolize the
emotions of Hester and Arthur.
In the forest setting of Act II in The Scarlet Letter, George
Parsons Lathrop's description of the lighting for the setting makes it
clear that "sunlight alternates with deep shadow" (Lathrop, p. 19).

46
There is no specific indication in the stage directions or in the descrip¬
tion itself that this forest setting is intended to be symbolic. However,
there are frequent references in the text to the sunlight which illumi¬
nates scattered portions of the setting. Together with the text of
the libretto, this stage lighting creates symbolic overtones similar
in their effect to Hawthorne's use of light in Chapters XVT-XIX of The
Scarlet Letter.
The opening words of the chorus in Act I immediately establish an
association of Hester with darkness. To the chorus, the blackness of
Hester's nature appears more sinful when contrasted with the glow of
sin which shines from within her:
How boldly shines the sun!
Yet outer darkness
Enfolds yon wicked woman: while, within her,
The wrong that she hath done ^
Gleams bold as bale-fire 'gainst the light of day.
In Act II, Lathrop, the son-in-law of Nathaniel Hawthorne, took care
to have Hester and Arthur make numerous references to the contrasting
light and darkness of the setting. Late in the Act, Hester, in the
presence of Arthur, tears the letter from her dress and throws it away,
paralleling her action in the novel. Arthur, observing the appearance
of the sun, expresses ideas which parallel closely the symbolic meanings
associated with light in the novel. His words are stage directions
which signal the flooding of the stage with light as Act II closes on
a note of optimism: "Thro1 the forest the sunshine breaks / In a flood
of radiance rolled" (Lathrop, p. 30). The lyrics at this point have
begun to establish a set of analogies: one of darkness with sorrow and

47
anguish and another of light with hope, dreams, and the promise of a
bright future.
And lingering shadows of olden sorrow,
To follow the star of a golden morrow!
The white sail gleams
With a light of dreams;
It beckons us on with gladdening hope,
No more in anguish dark to grope. (Lathrop, p. 30)
By having his characters sing repeatedly of the relation of light to
goodness and of darkness to sin and evil, Lathrop made a conscious
effort to reproduce in his libretto the symbolic relationships in
Hawthorne's novel. The lyrics and the lighting effects combine in
this scene to give the setting a symbolic significance which it would
otherwise lack.
In addition to these lighting effects in The Scarlet Letter, two
other librettos, Hester and Merry Mount, contain stage directions for
specific visual effects which carry symbolic significance. In a theatre
with sophisticated stage machinery, almost any effect is possible. Often
the librettist, the director, and the stage designer will work closely
together to produce astonishing effects. In his libretto, Hester,
Carlson uses stage machinery to create two symbolic effects. The first
effect, suggested by the second scaffold scene in the novel when Arthur
sees the letter "A" in the sky, occurs in Act IV. Left alone in the
forest after Hester leaves, Arthur Dimmesdale is frightened by his new
knowledge of Roger Chillingworth's evil nature. A violent storm approaches.
Suddenly, Arthur sees a large "A" in the sky. In the back of the stage,
the great "glaring 'A' appears in flames of fire among the clouds" (Carlson,
p. 120). This flaming letter disappears and reappears throughout the

48
remainder of the scene. When Roger Chillingworth appears in the forest
toward the end of the scene, there is no indication in the libretto that
he sees the "A" in the sky. Since no other character in the opera refers
to the appearance of the letter, the suggestion in the opera is that the
"A" symbolizes the guilt haunting Dimmesdale. In Hawthorne's novel, the
meaning of the "A" remains ambiguous. At first, Hawthorne imputes the
vision of the letter "solely to the disease in his own eyes and heart,
that the minister, looking upward to the zenith, beheld there the
appearance of an immense letter—the letter A . . ." (Hawthorne, 155).
Yet, the next day as the congregation leaves the church, a sexton inquires
of Dimmesdale if he had seen the portent in the sky the night before,
a "great red letter in the sky,—the letter A,—which we interpret
to stand for Angel" (Hawthorne, p. 158). As Hawthorne explains, any
person having seen the sign may have attributed to it his own sense of
guilt. The "flaming A" has a wider symbolic application in the novel
than it has in the libretto.
In Act V of Hester, Carlson requires a visual effect which has no
precedent in the novel. Act V ends as Arthur dies in the arms of Hester.
Looking heavenward, Hester sees Pearl, her dead child: "A vision appears
in the white clouds revealing Hester's child as an angel granting
heaven's forgiveness" (Carlson, p. 267). In both adaptations of the
novel, the librettists have omitted Pearl from the main action of the
story. However, it is important to note that Carlson's vision of Pearl
as a symbol of forgiveness may have been suggested from a comment about
her in Hawthorne's novel. A complex character, Pearl is, at one point,

49
described as a blessing to Hester; "God, as a direct consequence of the
sin which man thus punished, had given her a lovely child, whose place
was on that same dishonored bosom, to connect her parent for ever with
the race and descent of mortals, and to be finally a blessed soul in
heaven" (Hawthorne, p. 89).
In Hawthorne's short story "The Maypole of Merry Mount," the
residents of Merry Mount gather to decorate the Maypole and to celebrate
the wedding of the Lord and the Lady of the May, Edgar and Edith. Later,
the celebration is interrputed and the Maypole destroyed by a group of
Puritans, led by Endicott, the severest of the Puritans. At first
threatened by the Puritans, Edgar and Edith are soon released to start
their married life. The stark contrast between the lightedhearted pleasure
seekers of Merry Mount and the grim Puritans symbolizes the theme:
"life's idle pleasures" of which the residents of Merry Mount are the
emblems must give "place to the sternest cares of life, personified
by the dark puritans" (Hawthorne, Twice-Told Tales, p. 82).
In Merry Mount, Richard Stokes created two lavish scenes which
require more sophisticated mechanical devices to produce than any other
settings in the librettos studied. Together these scenes, "The Maypole"
and "Bradford's Dream" symbolize the inner conflict of Bradford, the
opera's hero. In Act II, i "The Maypole" a crowd of revelers gather to
decorate the Maypole and to celebrate the wedding of the Lord and the
Lady of the May, the Cavalier Gower Lackland and the Lady Marigold
Sandys, Later, as in the story, the celebration is interrupted and the
Maypole torn down by a band of Puritans. The scenic grandeur in ritual

50
actions and in elaborate costumes, suggestive of Hawthorne's story,
intentionally parallels and prepares for Act II, iii "Bradford's Dream."
Act II, i opens with a group of women revelers twining ribbons
around the Maypole, located in the center of the stage. When the decor¬
ations are completed, a lengthy procession of the Nine Worthies of old
English pageantry appears, announcing the appearance of the Lord of the
May. As he takes his place on the throne, "flags break forth in an
arch above Gower's head" (Stokes, p. 111). A scene follows, full of
color and filled with characters in imaginative costumes, some of which
were suggested by Hawthorne, e.g. "maskers in falseface with pendulous
red noses and gaping lips" (Stokes, p. 111). These characters break into
a wild dance around the Maypole. Following this ballet, Marigold Sandys,
the Lady of the May, enters "costumed as the goddess of Spring, borne
aloft in "a coach formed by thirty-six girls" (Stokes, p. 125) adding to
the color and splendor of the scene. This scene is climaxed by the
wedding ceremony, which is interrupted by Bradford and his band of
Puritans.
Act II, iii, paralleling scene i, opens with a group of witches
riding through the air on broomsticks. A minotaur climbs out of the
earth and begins a dance. As in scene i, a lengthy procession takes
place, this time consisting of monsters which announce Lucifer's
entrance. As Lucifer ascends to his throne, "an arch of dusky, sullen
flame leaps into place like a rainbow over his head" (Stokes, p. 181).
The monsters begin a frantic dance around a giant toadstool. This
on-stage machine, placed where the maypole had previously stood, "opens

51
its hood like a parasol and shines upon the throng a ghastly fluorescence"
(Stokes, p. 193). At the parallel point when the Lady of the May entered
in scene i, Astoreth, the consort of Lucifer sung by the same soprano
who portrays Marigold Sandys, now appears. The object of Bradford's
erotic fantasies, Astoreth persuades Bradford to sign a blood contract
with Lucifer. Immediately after he signs his name, the monsters slink
away, the toadstool "descends through the earth" (Stokes, p. 197),
Lucifer and Astoreth leave together, and Bradford, asleep, is left
alone.
The total scenic picture of setting, action, and characters in
Bradford's troubled dream parallel those in "The Maypole." Psychologically
Bradford associates the residents of Merry Mount and their heathen
practices with the followers of Lucifer and their evil temptations. The
conflict between Bradford's Puritan asceticism, which he views as good,
and his physical attraction to Marigold Sandys, which he believes is
evil, is symbolized scenically by the parallel contrasts in these two
scenes.
In two librettos, Billy Budd and Owen Wingrave, the power of the
lyrics alone invests the settings with symbolic stature. Through a
series of analogies, Forster and Crozier, following Melville's hint,
intend the setting to be a microcosm. In Chapter 13 of Billy Budd,
Melville compares his story of conflicting passions to a drama. "Passion,
and passion in its profoundest, is not a thing demanding a palatial stage
whereon to play its part" (Melville, p. 78). The most monumental
of human passions can be found "down among the groundlings, among the

52
beggars and rakers of the garbage" (Melville, p. 78). This theatrical
analogy is completed when Melville compares the Bellipotent to a stage:
"In the present instance the stage is a scrubbed gun deck ..." (Melville,
p. 79). Against this setting, the drama of Billy Budd with its elemental
conflict of good and evil is told. Melville expands his image of the
Bellipotent as a stage into a symbol of the man-of-war as a microcosm.
For instance, Budd's impressment involved his transferral from the
"simpler sphere" of the Rights-of-Man to the "more knowing world of a
great warship" (Melville, p. 50). Moving from one mode of existence to
another is analogous, in the novel, to being transplanted from the
simplicity and innocence of the provinces to the complexity and intrigue
of a royal court (Melville, p. 51).
In a production of the opera, the story of Billy Budd is acted on
a stage made literally to represent the decks of the Indomitable. Various
characters in the libretto describe the setting in terms which suggest it
is to represent the larger world of men. Claggart, the first character
to make this direct comparison, comments to himself that he has studied
mankind. This larger experience has prepared him for a parallel activity
in the smaller world of the Indomitable. Taking offense at his officer's
order to watch Budd, Claggart asks himself sarcastically, "Have I never
studied man and man's weaknesses? Have I not apprenticed myself to this
hateful world, to this ship, accursed ship" (Forster and Crosier, p. 50).
Claggart knows he is destined to destroy Budd and views his situation
as analogous to similar positions in the larger world: "I am doomed to
annhilate you, I am vowed to your destruction. I will wipe you off the
face of the earth! Off this tiny floating fragment of earth ..."

53
(Forster and Crozier, pp. 136-37). Captain Vere extends this analogy.
After the court-martial, Vere comments upon his position as head of the
ship's realm: "Death is the penalty for those who break the laws of
earth, and I who am king of this fragment of earth, of this floating
monarchy, have exacted death" (Forster and Crozier, pp. 290-91). As in
the libretto The Scarlet Letter in which characters' dialogue identifies
the symbolic function of the forest, Forster and Crozier use the words
of Claggart and Vere to make the Indomitable a microcosm.
At the close of Chapter 21, following the arguments of the drumhead
court, the narrator of Billy Budd comments upon the distinction
between the actions and decisions of individuals directly involved in
emergency situations and the rational judgments passed of those viewing
the situation in retrospect. The person participating in the immediate
situation often is forced to act, if not totally upon impulse, from a
limited vantage point. These emergency situations can involve decisions
both of a practical and of a moral nature. The man involved in this type
of situation is like a pilot whose ship must sail through thick fog. The
view of the man on the bridge is greatly hampered by the fog, while
men below deck have little, if any, true understanding of the captain's
responsibilities. "The greater the fog the more it imperils the steamer,
and speed is put on though at the hazard of running somebody down. Little
ween the snug card player in the cabin of the responsibilities of the
man on the bridge" (Melville, p. 114).
Forster and Crozier seize upon this image of the fog as a barrier
to true vision. In their libretto, fog becomes sea mists which at first
literally appear on the stage and then later are referred to figuratively

54
by several characters. In all of the references to them the mists
literally impair clear physical vision and figuratively block true
insight. Those moments during which the mists rise symbolize clear
vision, both physical and mental. In Chapter 18 of the novel, a brief
encounter by the Bellipotent with an enemy ship is dismissed in four
sentences. The crew pursues the enemy frigate which eventually manages
to elude the Bellipotent. This short passage becomes an important scene
in the opera. At the opening of Act II, the scene is the quarter-deck
and "the air is grey with mist" (p. 171). Later, when an enemy ship is
sighted, "the mists begin to lift . . ." (Forster and Crozier, p. 176).
The first comment made by the sailors is their delight at having an
unobstructed view of their enemy: "By God, the French! And the mist is
gone" (Forster and Crozier, pp. 176-177). When the Indomitable fires on
the enemy, the shot falls short and the French vessel escapes into the
distant mist. Vere comments upon this: "Ay, the mist is back to foil us.
The mist creeps in to blind us. Our chase is foolish ..." (Forster
and Crozier, p. 218). To this point references have been to the literal
sea mists which have impaired physical vision. After ordering Budd to
be brought to his cabin to face Claggart, Captain Vere begins to think
of the mists In figurative terms. The mists become the source for interior
as well as exterior problems: "Disappointment, vexation, ev'rywhere,
creeping over ev'rything, confusing ev'ryone. Confusion without and
within" (Forster and Crozier, p. 238). Later in his cabin, Vere considers
his situation. He understands that Claggart is evil and is set on destroy¬
ing Budd. Vere believes the situation is clear: "The mists are vanishing,"
(Forster and Crozier, p. 244) he says. Claggart will fail since one

55
person, Vere, is "not so easily deceived" (Forster and Crozier, p. 245).
In this scene Vere is optimistic that he can prevent any problem since
he clearly understands the relation of the two men. However, immediately
following Claggart's death, Vere discovers he was mistaken. The truth
of the matter is now clear. What he believed to have been true insight
into the matter earlier proves with Claggart's death to be false. He
believed the symbolic mists had risen and permitted him a full under¬
standing. With Claggart lying dead on his cabin floor and with Budd
standing quietly by, Vere now sees the situation in its true light. "The
mists concealed all, all," (Forster and Crozier, p. 261) Vere sings.
The horror of the truth clearly revealed to Vere, symbolized by the
clearing of the figurative mists, is that he is to be the judge of Budd's
action and the destroyer of the innocent Billy, not Claggart. He
views the trial as his own. "It is not his trial, it is mine, mine,
mine , . ."(Forster and Crozier, p. 263).
Lyrics are used by Myfanwy Piper to create a symbolic setting in
Owen Wingrave, based on James's short story. The dramatic situation is
the same in the libretto as in the story. Owen, the youngest male
member of British family with a distinguished military history, rebels
against following this tradition. Owen is ordered to Paramore, the
family ancestral home, where he will be straightened out. The setting
in both the story and the libretto becomes a battlefield. The house is
described twice in the story as "military" and the characters are often
referred to as soldiers. Owen's instructor identifies Owen as a soldier
and implies that the battlefield is the house: "Oh, you are a soldier;
you must fight it out!" Jane Wingrave "represents the might, she

56
represents the tradition and the exploits of the British army" (James,
p, 17). On a dare from Kate Julian, a girl Owen loves, he plans to spend
the night in a room believed to be haunted by an ancestor. What occurs
inside the room is never explained, but it is the cause of Owen's death.
The last sentence of the story again equates Owen to a soldier and the
setting to a battlefield: "He looked like a young soldier on a battle¬
field" (James, p. 51).
In the libretto, Owen views his position at Paramore as that of a
good soldier entering battle. "How strange! Here in my own house I
stand an enemy" (Piper, p. 15). The images increase in number as the
opera continues. Owen pictures himself engaged in a battle in which he
is surrounded by sacred family traditions, symbolized in part by the
portraits of family military heroes which hang on the walls of the house.
Words are the artillery of the enemy:
I'm in a state of seige;
bombarded with horrible words,
blockaded by the past,
starved by lack of love.^
Finally, the house is symbolic of a number of concepts, of traditional
values defended by all members of the Wingrave family but Owen. He
openly rebels against these. In Act I, v described as "abstract,"
members of the family are shown over a period of a week bombarding Owen
with the real meaning of his denial of their cherished values. Owen's
duty as seen by his family is clearly to accept the traditional values
of military service of all its members. Owen's denial of these concepts
constitutes a treasonable act. To rebel against the House of Paramore
is tantamount to treason against all the ideals which it represents,
including England.

57
III Tableau
Another important use of stage setting is to aid in providing an
effective stage picture or tableau. "Enormously popular in the French
theatre at the end of the eighteenth century and during the first half
of the nineteenth century" (Smith, p. 189), tableaux were traditionally
reserved for the climactic scenes. In opera, these scenes are represented
musically by aria, a cavatina, or a large concerted ensemble of soloists
and chorus. An audience anticipates these musically climactic moments.
One function of the tableau is to enhance the effect of the musical
climax by duplicating "on a visual scale the setpiece of the ballad,
cavatina, or ensemble" (Smith, p. 223). Act II of Donizetti's Lucia
di Lainmerinoor closes with a famous operatic tableau. Lucia, having just
been forced to sign a contract wedding her to Lord Bucklaw, is shocked
by the unexpected return of her lover Edgardo. Her brother Enrico
and Adgardo start to unsheath their swords but change their minds.
Suddenly, both the dramatic action and the music stop. After a few
seconds, the orchestra introduces the famous sextet. This tableau
of the interrupted wedding ceremony is maintained throughout the singing
of the ensemble, after which Edgardo rushes from the hall. In addition
to these artistic effects, tableaux, as Smith point out, "were
splendidly calculated to generate applause" (Smith, p. 189).
Wainwright's Rip Van Winkle is the only libretto among those
studied to give specific instructions for the use of tableaux. Careful
attention was given to the scenery for the first performance of this
opera on September 27, 1855. For authenticity the scenic designer prepared
scenery that represented the actual locale of the story in the mountains

58
along the Hudson River. The credit page of the libretto explains that
the scenery was "painted from Nature, drawings for the express purpose
having been taken on the spot" (Wainwright, p. 3). The four tableaux
are presented in Act I and are "after the celebrated etchings of 'Rip
Van Winkle' by E. 0. C. Parley" (Wainwright, p. 3). In addition to the
values of presenting a striking stage picture and of providing visual
support to climactic moments, these tableaux offered additional pleasure
by presenting scenes already familiar to the audience from an early
edition of Irving's tale.
Two tableaux, the first and the fourth, occur at moments in Act I
when Rip sings songs in honor of drinking. Early in the act Rip's
village and friends urge him to sing. Rip, Nicholas the landlord of
the inn, Derrick Van Bummel, the schoolmaster, and numerous villagers
gathered in front of the inn make up the tableau. In the fourth tableau
of the act set in the Catskill Mountains Rip sings for Hendrick Hudson
and his men to add to the mirth of the group as they play ninepins. In
Act I, iii the second and the third tableaux are set. These present
pictures of Rip's domestic life. The second tableau is not related to
any musical moment. The setting is the interior of Rip's house and the
tableau involves Rip, Dame Van Winkle, a village maiden Anna, and Rip's
children Alice and Young Rip. The third tableau at the close of this
same scene precedes a duet for Rip and his wife. The tableau presents
the four members of the Van Winkle family. Rip and his wife quarrel, and
Rip threatens to leave. Alice pleads with her father to stay while young
Rip begs to be allowed to go with him. The duet is a single peaceful
moment when Rip and his wife sing of how pleasant their life together
could be if Rip would live more as Dame Van Winkle wishes.

59
The tableau operas of the nineteenth century, according to Smith,
had great influence on the development of the libretto. With increasing
emphasis placed on the tableau for theatrical effect, the story line of
these librettos was condensed into a series of loosely connected grand
scenes. This disjunctive approach to dramatic presentation emphasized
scenic grandeur and variety rather than the presentation of a continuous
story line. Consequently, the tableau and its accompanying disjunctive
story line become prominent features of the French Grand Opera, providing
its creators with the maximum opportunity for scenic effectiveness
through variety and large scale production.
The influence of the tableau upon scenic structure can be seen in
a twentieth-century libretto, Wozzeck, by Alban Berg, one of the most
highly praised and most frequently produced operas of this century.
The original play by Georg Buchner consists of Twenty-five loosely
connected scenes. To tell this story of the existential anguish and
mental deterioration of Wozzeck, Berg selected fifteen scenes from
the play. The result was a series of scenes even more loosely connected
dramatically than they had been in the original play. The problem of
unification of these scenes was, in Berg's own words, "more musical
than literary, and had to be solved by the laws of musical structure
rather than by the rules of dramaturgy."®® According to Patrick Smith,
who suggests the term "snapshot scenes" for the units in such a
libretto as Wozzeck, this hallmark of the twentieth-century libretto
gives an emphasis to the disjunctive rather than the continuous presentation
of the story. This type of libretto has a structure similar to, but more
compact than that of the nineteenth-century Grand Opera.

60
The sixteen scenes in Myfanwy Piper's The Turn of the Screw
present this disjunctive structure. Fifteen scenes were adapted from
James's novella, which has twenty-four chapters. The idea of presenting
a multiplicity of short scenes originated with the composer, Benjamin
Britten. The selection of the scenes was "dictated by a careful analysis
of the text.'1'*'''' According to the librettist, the chief concern in
transforming these scenes from the novella to the stage was presentation
of detail. "What had to be invented was neither sequence nor fact, but
detail" (Piper, p. 80). The effect of these separated "snapshop scenes"
was to present an accumulative series of details which when viewed
collectively would accomplish several purposes. "Each scene was then
planned to carry the drama one step further, and at the same time ... to
show some aspect of their (the residents of Bly) daily life. In this
way some indication of the passage of time could be given without holding
up the action" (Piper, p. 81).
Although sequence was not of primary concern to the librettist,
the question of unity had to have been. Musically, the scenes are linked
by orchestral interludes called "Variations." Dramatically, they are
linked by the scenic details chosen by the librettist for presentation.
These details were suggested by James's story, and they are also seen
in the stage settings of the opera. The librettist writes, "And even
for detail there was more often than not some hint somewhere in the text
that could serve as a starting point" (Piper, p. 80). The unifying details
appear in the libretto as the titles for the scenes, like chapters in a
book: "The Tower," "The Lake,""The Window," and so forth. Each scene
in the opera concerns a single event in the story and also presents an
added element of the setting which was not present in the previous scenes.

61
Thirteen of the sixteen scenes take place on the grounds of Bly.
Eleven scenes are set in the house itself. For instance, Act I, scene
ii--"The Welcome"--is set on the porch of Bly. Scene iii entitled
"The Letter" again is set on the porch but not the window is included
as an additional detail. Scene iv—"The Tower—once again reveals
the porch; however, in addition to the window, the tower of the house
is now visible. In this scene, the Governess first sees Quint. Each
succeeding scene unifies this disjunctive presentation of events in
two ways. First, the movement from one scene to the next allows the
action to flow with a minimum of interruption. Secondly, this multi¬
plicity of scenes reinforces "the impression (so powerfully conveyed
in James's story) that the action covered a considerable period of time
and that there were long stretches of normality between the occasional
1 2
supernatural appearances of the phantoms."
Through the use of stage machinery and lyrics, a librettist often
endows his settings with two special functions. Storm scenes produced
through simple sound effects and stage lighting were used in three
librettos to parallel the inner turmoil of the characters. Elaborate
staging, i.e. the contrasting scenes in Merry Mount each with parallel
Visual effects, created symbolic correspondences unstated in the libretto.
Likewise, lyrics, i.e. the figurative language in Billy Budd which
establishes correspondences between visual clarity and intellectual
understanding, often endow the setting with symbolic significance. In
addition to these two purposes, operatic settings are often part
of a tableau. The contribution of this use of setting has been

62
two-fold: to create effective stage pictures and to affect the
scenic structure of librettos.

63
Notes
â– *"It was n Venice all of evil that had broken out for them alike,
so that they were together in their anxiety, if they really could have
met on it; a Venice of cold lashing rain from a black sky, of wicked
wind raging through narrow passages." Henry James, The Wings of the Dove,
Vol. II (New York: Charles Scribner's Sons, 1909), pi 123.
^Charles Frederick Carlson, Hester, a microfilm (Chicago: Newberry
Library, 1958), pp. 209-10.
-^George Washington Cable, The Grand!ssimes (New York: Charles
Scribner's Sons, 1891), p. 234-
4
C. F. Keary, Koanga, revised English libretto by Douglas Craig
and Andrew Page (London: Hawkes & Son Ltz., 1935, 1974), p. 100.
5
Hawthorne equates the sunlight which dispells the gloom of the
forest setting to the love which, momentarily at least, replaces the
despair in the hearts of Hester and Arthur. See also Richard Fogle's
Hawthorne's Fiction: The Light and the Dark (Norman: The University of
Oklahoma Press, 1964), p. 134 in which the light is symbolic of hope.
^George Parsons Lathrop, The Scarlet Letter, A Dramatic Poem
(1895 ), n. 1.
^Richard Stokes, Merry Mount (New York: Harms, Inc., 1933), p. III.
The librettist identifies these characters in his synopsis: Joshua, David,
Hector of Troy, Alexander the Great, Judas Macabaeus, Julius Caesar, King
Arthur, Charlemagne, and Duke of Godefrey of Bologne.
®The Complete Tales of Henry James, ed. I,eon Edel 9 (New York:
J. P. Lippincott Company, 1964), ?5i
^Myfanwy Piper, Owen Wingrave (London: Faber Music Limited, 1971),
p. 21. —
^Alban Berg, "A Word about Wozzeck," in The Essence of Opera
(New York: W. W. Norton and Company, Inc., 1969), p. 315.
My fawny Piper, "Some Thoughts on the Libretto The Turn of the
Screw," Tribute to Benjamin Britten, ed. Anthony Gishford (London:
Faber and Faber, 1963). p. 80.
1 o
Eric Walter White, Benjamin Britten, His Life and His Operas
(Berkeley: University of California Press, 1970~J7 P- 178. Hereafter
cited as His Life and His Operas.

CHAPTER THREE
CHARACTERIZATION: OBSERVABLE TRAITS
E. M. Forster, paraphrasing the French literary critic Alain
asserts that each man has two sides: the physical and the psychological.
The physical traits consist of "all that is observable in man—that is
to say his actions and such spiritual existence as can be deduced from
his actions. . . . The use of observable character traits to portray
characters is common to both drama and fiction. In addition to the
actions performed by chaiacters, physical details often can reveal aspects
of character, like the physical beauty of Billy Budd and the impediment
of his vocal stammer which are emphasized by Melville in his novel.
Physical objects associated with a person will often reveal character
traits. These may be items chosen by a character such as the clothing
of Catherine Sloper in James's Washington Square, or they may be objects
relating to the character independent of his choosing, such as the
scarlet letter worn by Hester Prynne. We can begin with a discussion
of action as it affects characterization.
I Actions
Three types of actions are usually specified in a libretto:
repeated actions, startling or unexpected actions, and symbolic actions.
In adapting a fictional work, a librettist will often borrow all three
types of actions directly from the source material. In two librettos,
Hester and The Scarlet Letter, each librettist specified a repeated
action found in Hawthorne's novel. Diinmesdale appears repeatedly in the
64

65
novel with his hand over his heart. Leland Schubert traced Hawthorne's
repetition of this action, intended to suggest Dimmesdale's inner guilt
and remorse, and found it appears "on thirty different pages of the book."¿
Unlike the numerous repetitions in the novel, Dimmesdale performs the
action only twice in the libretto. Leaning over a balcony, Dimmesdale
appeals to Hester to reveal the identity of the father of her child.
When she refuses, Dimmesdale "sinks back, exhausted, with his hand over
his heart" (Lathrop, p. 10). This action is repeated just before
Dimmesdale enters the Meeting House for worship. He "turns away with
bowed head, his hand clutching his breast ..." (Lathrop, p. 15).
Schubert qualifies his praise of Hawthorne's use of this motif by
pointing to the essential weakness in any often repeated device: "It
becomes monotonous" (Schubert, p. 146). But in Lathrop's adaptation,
because Dimmesdale's action is specified by the librettist only twice,
its effectiveness is weakened.
The reverse of Lathrop1s sparse use of repeated actions is seen
in Forster and Crozier's Billy Budd. The librettists place much more
emphasis on Budd's stammer than does Melville. Budd's inability to
speak under certain instances of stress is dramatized twice in Melville's
version: first, when the afterguardsman tempts Budd to mutiny and second,
when Claggart accuses Budd of mutiny. In the Prologue to the opera,
Vere mentions this flaw in Budd: "There is always some flaw in it,
some defect, some imperfection in the divine image, some fault in the
angelic song, some stammer in the divine speech" (Forster and Crozier,
Pp. 3-4). At this early point in the opera, Britten, the composer,
introduces an arpeggio in the orchestra which will appear throughout

the opera as a leitmotif in association with Budd's stammer:
This leitmotif suggests a message which Budd is unable to relate when
he discovers Squeak, Claggart's lackey, meddling in his belongings and
again when a novice (the afterguardsman in the novel) attempts to bribe
him into a false mutiny plot. The final occurrence of Budd's stammer
is in the accusation scene which in the novel is entirely descriptive
with the exception of Vere's plea for Budd to speak. The parallel
scene in the opera is underscored by the stammer motif which serves
both as a reminiscent theme and as an anticipatory theme. While recalling
the previous incidents when Budd could not respond, the motif now
creates a degree of suspense through anticipation. Appearing at
closer intervals which become more insistent in their impact, the
arpeggios suggest Budd's increasing agitation. Finally, at the moment
of dramatic climax when Budd shouts "Devil" as he strikes and kills
Claggart, the orchestra stops. The stammer motif does not appear again
after this incident. The increased emphasis on Budd's stammer enhanced
by Britten's musical characterization creates an emotional tension in the
opera which does not exist in Melville's novel.

67
When Budd is unable to defend himself against Claggart's charge of
mutiny, he responds with a violent action which startles both Vere and
the audience. Characterization through the performance of violent or
unexpected actions is common to successful operatic dramaturgy. For
W, H. Auden, this immediate active quality is necessary in operatic
characterization because "music is immediate actuality and neither
potentiality nor passivity can live in its presence.""' This passionate
active state is the "quality common to all great operatic roles, e.g.
Don Giovanni, Norma, Lucia, Tristan, Isolde, Brunnhilde" (Auden,
P, 356). All sixteen of the librettos under discussion portray charac¬
ters through startling actions. In eleven librettos these actions occur
with little or no change from the source material. Characters in the
five remaining librettos perform startling actions which, in each instance,
introduce some alteration in the original story. The most extensive
change occurs in Stokes's Merry Mount. Wrestling Bradford, who does
not appear at all in Hawthorne's story, is the spiritual leader of
the puritan New England colony. In the course of the opera, he performs
a series of startling actions--a compact with the devil, a demonic
curse against the colony, the murder of the beautiful young Marigold
Sandys, and his suicide by immolation. Taken together these actions
reveal a religious leader who has been converted into a full-blown
Satanist. His total surrender to the physical attraction of Marigold
Sandys is more than self-destructive; because he fails to exert any control
over his passions, Bradford's self-indulgence ultimately results in the
destruction of the entire settlement. lone of this, it should be remembered,
is in the original story.

68
In Melville's short story, "The Bell Tower," Bannadonna designs
and erects a combination bell tower and clock tower. On the giant bell
designed for the tower are twelve figures of young girls, each clasping
hands. Una, the figure representing the first hour, holds the hand of
Dua and so on. The size of the fire necessary to forge this bell so
frightens the workmen that they refuse to perform their duty. To
prevent failure of this final casting, Bannadonna strikes and kills
the anonymous individual among his men. The others immediately return
to their duties. In Ernst Krenek's libretto, the murdered man is
identified as Giovanni, Bannadonna's foreman and the father of Una.
Unlike the figure in Melville's story, Una is a human being who falls
in love with Bannadonna. The only female character in the opera, Una
was added to the libretto for musical and dramatic reasons. Musically,
she supplies the opera with vocal variety, a quality which many librettists
and composers believe necessary in an operatic score. Dramatically,
the introduction of Una produces two effects. First, she provides a
love interest which the original story lacks. More importantly, Una,
as a living creature, contributes to a characterization of Bannadonna
different from that created by Melville. When she realizes that
Bannadonna has betrayed her, Una attempts to kill him but fails. In
retaliation, Bannadonna performs a feat of magic not attributed to him
in the short story. By an ancient and mysterious Chinese technique
involving hypnotism and a chemical formula, Bannadonna transforms Una
into a metallic figure. This startling action reveals Bannadonna as a
magician and a conjurer. In Melville, Bannadonna is a "practical
materialist" who would never rely on "psychological and chemical

69
inductions, to arrive at a knowledge of the source of life, ..."
What he strove to accomplish as an artist "was to have been reached,
not by logic, not by crucible, not by conjuration, not by altars; but
/
by plain vice-bench and hammer."'*
In the preface to Percy MacKaye's free adaptation of Rip Van Winkle,
the librettist warns that any "reader, or spectator, who may compare
this work with the story of Washington Irving or the play by Joseph
Jefferson, will discover more differences than resemblances." Rip,
a bachelor engaged to the shrewish Katrina Vedder, goes to the mountains
and falls asleep. In this adaptation, Rip is changed from a henpecked
husband who rebels against his shrewish wife into an enamored young
man who believes he is in love. In Irving's tale, Rip acts independently
of any outside control. He leaves his wife when she refuses to allow
his dog into the house. In MacKaye's operatic version, Rip leaves the
village to satisfy the demands of his shrewish fiance. His return is
watched over by Hendrick Hudson and his crew who wish to see him marry
Peterkee, Katrina's younger sister. This supernatural intervention by
Hudson and his crew produces two results. First, the success of their
plan is ensured. Their supernatural powers will exert a control over the
destinies of the human characters. Secondly, Rip is changed from a
character whose actions form the plot into a figure who is controlled
by the demands of the plot itself.
The librettos of The Scarlet Letter and The Turn of the Screw
both present characters through startling actions which have no
parallel in the fictional sources. Lathrop's advice in his "Introductory

70
Note" that "new incidents and moods are introduced" (Lathrop, n.p. ),
does not prepare the reader of his libretto for Hester's ultimate act
of suicide. In the novel, Hester admits to Chillingworth that she has
considered death. "'I have thought of death,' she said,—'have wished
for it,—would have prayed for it . . .'" (Hawthorne, p. 56). Yet,
she never actively pursues this course of action. In Act I of the libretto,
a parallel interview between Hester and Chillingworth takes place, during
which Hester asks about the nature of a phial of medicine: "Will it
bring me death?/ Then gladly I drink it,/ To win release" (Lathrop, p. 16).
Here Hester, unlike Hawthorne's heroine, drinks the potion unhesitatingly.
Lathrop's characterization changes Hawthorne's strong, intelligent
woman into an impulsive, emotional heroine. She becomes a typical
operatic character acting emotionally on the demands of the moment with
little forethought. This portrait of Hester illustrates what Patrick
Smith describes as a key to nineteenth-century Romanticism: "The first,
and probably—in a breakthrough sense,—the most important, change
in the libretto was that involving the idea of death. The death of
the hero or the heroine . . . was the hallmark of the Romantic Age
(in opera) ..." (Smith, pp. 195-96). Hester's death is contrived to
satisfy a contemporary, romantic theatrical convention.
Perhaps the most problematic characters in terms of successful
adaptation to the stage are the apparitions Quint and Miss Jessel in
James's The Turn of the Screw. James, in at least one respect, had
an advantage over Britten and his librettist, Myfawny Piper. Working
with the reader's imagination, James could make the reality of the ghosts

71
ambiguous. At the end of the story, the reader could only question
whether the ghosts ever really existed outside the Governess's imagina¬
tion. .fames believed that any direct statements concerning the motives
of the ghosts would weaken the nature of evil he hoped to convey. His
own method, as expressed in his "Preface,"0 was to present the ghosts
through shadowy innuendo.
In adapting Quint and Miss Jessel for the stage, Britten and
Piper either had to make them appear on stage, visible to the audience
as they are to the Governess, or to suggest their invisible nature
through some effect resulting from it. According to George Martin, "the
latter course would have meant abandoning the crux of James's story
7
rather than losing only its final subtlety. ..." In the libretto,
the ambiguous nature of Quint and Miss Jessel is sacrificed. The
audience, like the Governess, sees them. However, two questions
central to the mystery in James's story are retained. First, it is
not entirely clear in the libretto which of the other characters see
the apparitions. Second, the motives of Quint and Miss Jessel remain
sufficiently hazy and, as James would have it, suggestive of their
evil presence and intentions. Through musical characterization
Britten achieves effects possible only in opera. George Martin explains,
"What Britten may have lost in ambiguity he gained in other respects
with sound, a resource unavailable to James" ("Another Turn," p. 7).
For example, Quint always appears to the unearthly sound of the celesta
while Miss Jessel appears to the hushed tremor of a gong. Their musical
characterizations are much more complex than this obvious association

72
with orchestral instruments suggests. The supernatural appearances of
Quint and Miss Jessel are associated throughout the opera "with flat
keys and flattened notes ..." (White, His Life and His Operas, pp. 181-82).
Quint's first appearance is accompanied by a surprising E flat major
chord on the celesta in a predominant tonality of D major.
Miss Jessel, as Eric White notices, "is not so strongly characterized
as Quint. Her appearances are frequently underpinned by a sombre,
brooding slowly spread chord" (White, His Life and His Operas, p. 182).
(Britten, p. 77)

73
This arpeggio culminates in the characteristic E flat, associated with
the supernatural world. The most interesting and complex musical
characterizations occur in the final scene during the confrontation
between the Governess and Quint. The key signature is A major.
However, the tonality of the music sung by the Governess and Miles
fluctuates, beginning in E major. Also a ground bass figure appears
in the orchestra at this point which will later be associated with the
Governess's strength in combatting the power of Quint.
(Britten, p. 184)
Quint's appearance in this scene is announced when he is heard calling
Mies. In contrast to the major tonality of the Governess's music,
Quint begins on the characteristic E flat.
(Britten, p. 187)

74
The final struggle between the wills of the Governess and Quint is
characterized in the meters, the key signatures, and the tonalities of
in —meter. The tonality of her
8
the music. The Governess's music is
music is a strong A major. Quint's music
in A flat major, creating a jarring dissonance. The Governess has the
upper hand in this struggle. This is characterized in the music by
the fact that the meter and the key signature of the firm ground bass
in the orchestra correspond to those of the Governess's music. In
addition, she duplicates this strong melody of the ground bass, as
opposed to the light, florid passage sung by Quint.
Although Miles does not sing at any point during this dramatic
and musical struggle between the Governess and Quint, Britten carefully
assigned to him a most curious key signature and meter. Mile's key
signature is that of the Governess, and his meter is that of Quint.
Musically, as well as dramatically, liles is characterized as the
center of the conflict.
(Britten, p. 192)


75
Seven measures before Miles shouts, "Peter Quint, you devil!", the music
indicates that Quint's hold on the situation is weakening. His key
signature changes abruptly to that of the Governess, and his vocal line
now consists of an insecure F sharp and G against the Governess's solid
C and G. Struggling, Quint is slowly being brought under her dominance.
After Miles shouts the apparition's name, Quint sings in unison with
the Governess as he admits defeat. Immediately following this passage
in unison, Quint's farewell to Miles musically characterizes his final
submission and defeat. The familiar tune, begun on E flat in all
previous appearances, now begins on E natural.
(Britten, p. 195)
Four librettos studied use symbolic actions to characterize. As
we have seen in Merry Mount, the actions of the pagan characters in "The
Maypole" and their demonic counterparts in "The Hellish Rendezvous"
present symbolically the psychological conflict of Wrestling Bradford.
In his libretto The Wings of the Dove, Ethan Ayer uses pantomime, a
second type of symbolic action, to reveal the character of Miles
Dunster. The scene, while entirely original, may have been suggested
by a passage in James's novel. Soon after her arrival in Venice,
Milly hosts a dinner party at the Palazzo Leporelli. Merton Densher

76
learns from Susan Stringham that he is to be included in an entertain¬
ment to he presented.
"Oh that, of course, Why, we're to have music --
beautiful instruments and songs; and not Tasso declaimed
as in the guide-books either. She has arranged it—
or at least, I have. That is Eugenio has. Besides,
you're in the picture."(James, II, 207)
In the libretto, the entertainment arranged by the servant Giuliano is
actually performed for Milly, Miles Dunster, and Susan Stringham.
While a ministrel sings the simple story of betrayal, two other charac¬
ters Janus and a maiden "pantomime the action appropriate to the verse
in stylized motion" (Ayer, p. 105). Janus "carries a staff with two
masks, one representing spring, the other winter" (Ayer, p. 105). To
win the love of the young maiden, Janus presents his youthful face to
her. After she has surrendered, he turns his winter face toward her.
This pantomime symbolizes Miles's deceitful relation to Milly. He is
involved with Kate Croy in a plot to win Milly's love and to marry her.
Their plan will be completed upon Milly's anticipated death when Miles
inherits Milly's fortune, enabling him to marry Kate. Suspecting Miles's
motives, Giuliano closely watches Miles during the performance of the
masque to detect any indication of guilt in his reaction. The masque
produces the expected results: "Miles is disturbed and angry" (Ayer,
p. 108).
The masque was inserted into the libretto for more than theatrical
effect. The idea of a play-within-a-play to expose hidden characteris¬
tics and motives is a time-honored theatrical convention. As Patrick
Smith explains, "it results when someone else stands between the audience
and what is happening on stage . . . while being watched by the audience"

77
(Smith, p. 276). This technique produces in The Wings of the.'Dove a
degree of dramatic irony. While Miles reacts unfavorably to the masque
and may even suspect Giuliano's intentions, the final meaning of the
masque in relation to Miles and the results it produces in him are all
completely clear to the audience.
In two other librettos, music functions in conjunction with the
pantomime and the words of characters on stage to symbolize, in the first
instance, an on-stage action that is never performed and, in the second
instance, an off-stage action that is never seen. In Jean Karsavina's
The Jumping Frog of Calaveras County, the frog never appears on stage.
Any action performed by the frog in Twain's story is described by
Simon Wheeler, the narrator. In the libretto, all actions of the frog
are symbolized through the music in the orchestra and in the words
sung and the pantomime performed by the individual characters and the
chorus. The pantomime involved here serves a different purpose than
that in The Masque of Janus. The latter related mainly to character.
In The Jumping Frog of Calaveras County, the pantomime serves the dual
purpose usually associated with this sort of stage action: "stage movement
synchronized with music can be a useful and effective tool in narration
and in establishing the personalities of their various characters"
(Hamm, p. 189). Special music characterizes Daniel Webster, the
celebrated frog. When Smiley places Daniel on the barroom floor, Lulu
and Uncle Henry watch as the frog performs a number of extraordinary
leaps. The following dance, however, with its solid staccato notes
and jerky, irregular movement symbolizes the movements of Daniel. The
pantomime, synchronized to the music and performed by the three characters,

must both portray their astonishment and pride in Daniel's accomplish¬
ment and suggest the dimensions of this ability.
DANIEL’S DANCE
(Karsavina, p. 27)
Pantomime and a noticeable absence of music symbolize Daniel's actions
in the jumping contest. When the frogs are placed on the starting line
and the people shout, "Go!," the music stops. This dramatic use of
silence and the accompanying pantomime by the various characters and
the chorus, symbolize Daniel's inability to jump and the total amazement
of the miners. The Stranger's frog makes a few small jumps suggested
by the weak intermittent chords.
(Karsavina, p. Ill)

79
By contrast with the first use of music and pantomime which chiefly
characterized Daniel's jumping ability, this second use of these two
devices is primarily narrative. The jumping contest, the climax of
the story, is symbolized through pantomime and the significant lack of
music.
Stephen Vincent Benet planned a different type of pantomime for
The Headless Horseman. To stage a chase even remotely resembling the
one described by Irving in "The Legend of Sleepy Hollow" would present
insurmountable problems. Because his libretto was written with amateur
performers in mind, Benet simplified the actions of the Headless Horseman
through the use of a type of melodrama. David Ewen defines this form
of melodrama as "an operatic passage or scene in which the singer
recites his part while a musical commentary on the situation appears
in the orchestral accompaniment." Examples of such melodrama are
the bullet-casting scene-in Der Freischutz, Lady Macbeth's letter¬
reading scene in Macbeth, and the grave-digging scene in Fidelio.
In Benet's libretto, the melodrama begins as Van Tassel prepares
to deliver a speech in honor of the betrothal of his daughter Katrina
to Ichabod Crane. Various characters comment on the strange noises
outside. At first the music parallels Van Tassel's festive mood. The
key Is a bright A major, the meter is a square and the tempo marking
4
is a relaxed Allegretto. When he is interrupted, the music changes
character by modulating to a gloomy G minor. The meter becomes a flowing
and the tempo increases to Allegro. The music alternates in this
manner until Van Tassel and his guests are startled when the "Phantoms
yell" (Benet, p. 107). At this point, the music changes for the final

80
time. Slowly increasing in volume, the music portrays the approach
of the Headless Horseman and the increasing apprehension of the characters
on stage. The music stops at the moment when a knock is heard at the
door. As the door suddenly opens, the Headless Horseman enters, chases
Ichabod Crane across the room and out the window, and throws a pumpkin
after him. These various pantomimes with the accompanying music are
very appropriate to the librettos in which they are used. Neither
action, the jumping of a frog or the chase on horseback, could successfully
be staged. Pantomime and music can suggest both. However, in these
instances, the result of having to present the actions in this manner
is to weaken their effect. First, in the case of Daniel Webster,
the attempt to represent an action without the presence of the central
character seems anti-dramatic. Second, the chase of Ichabod Crane by
the Headless Horseman is reduced to slapstick comedy when transferred
to an indoor confrontation.
II Physical Traits
Physical appearance is a second observable trait used by an author
to characterize. A novelist or a short story writer will often present
physical characteristics through lengthy descriptive passages. Details
of the most minute physical qualities can be presented. In Billy Budd,
for instance, Melville describes Budd's unique and beautiful physical
features which contribute to the mystery surrounding his origin: The
ear, small and shapely, the arch of the foot, the curve in the mouth and
nostril, even the indurated hand dyed to the orange-tawney of the Toucan's

81
bill, a hand telling alike of the halyards and tar bucket . . . indicated
a lineage in direct contradiction to his lot" (Melville, p. 51). This
detailed physical description, impossible to a librettist, is in sharp
contrast to the passing mention made by Melville of another feature of
his sailor. Billy Budd sings. Melville suggests the quality of Budd's
musical abilities by comparing his singing to that of the most beautiful
of songbirds: "He was illiterate; he could not read, but he could sing,
and like the illiterate nightingale was sometimes the composer of his
own song" (Melville, p. 52). In the opera this physical characteristic
is fully exploited by Britten and his librettists. Assigned the opera's
most beautiful melodies, Budd sings and sings magnificently. While he
cannot hope to achieve the quality of physical character descriptions
approaching those of a novelist, the librettist has available to him through
the musical characterizations provided by the composer a technique
enabling him to produce effects unique to opera.
The reminiscent theme as a tool for characterization can become
complex. In lieu of physical description, a character may be described
by musical themes. For instance, in The Courtship of Miles Standish,
Carlson describes Miles Standish most frequently with a steady, unhesita¬
ting descending pattern:
(Carlson, n.p.)

82
John Alden is characterized consistently by a musical phrase which
suggests his desire to woo Priscilla on one hand and his hesitancy to
follow through because of his friendship with Miles Standish, The first
measure of each phrase rises confidently only to fall back on itself in
the second measure.
(Carlson, n.p. )
Priscilla's characteristic theme resembles John Alden's in that it
ascends. However it is free in design, ascending with confidence to
suggest Priscilla's open, honest personality.
(Carlson, n.p.)
Carlson combines all three of these individual thematic designs into a
harmonious whole at the happy conclusion to the opera.

\ Pr iso i I a
S3
2=
r
4—J- r h J-1
^i:-4gl4--8¿
v
'Ll
f
4
( AI 4 e n)
J
"Lid
(4
and idn
ihk
n'
-
£1
¿*?
ris
ty
*r.:
(Carlson, n.p. )
The complexity of musical characterization can go beyond the mere
union of various musical themes. Leitmotifs can be developed so as to
convey, as Wagner believed, ideas and meanings not directly stated in
words or revealed in actions. At his first appearance, Claggart sings
a phrase which becomes his hallmark.
» T7
â– 
^7)
J
y l 7 â– :
ya:
ÜJL—
a
,
Your ho - nour, I am at your dis - po - 6al,
(Britten, p. 31)
The theme occurs in the opera at virtually every important reference to
Claggart. Because of its frequent appearances in the context of the
opera, the mere appearance of the theme can suggest Claggart's evil
influence even in his absence. When Dansker cautions Budd to beware
of Claggart, the words he uses are taken from Melville and the music he
sings is a variation of Claggart's theme. The theme is sung by Vere when

84
Ujiis.
JT.m -•
m §,? ' '
Jem-my-Legs
f
is
down on you!
(Britten, p. 168)
he realizes that he will receive the blame for Budd's death. To
suggest the continuing influence of Claggart and to parallel his ironic
realization, Vere sings an inversion of Claggart's theme
Captain Vere is characterized by an ascending musical theme. In
Melville's novel, the narrator reveals the name by which Vere is popularly
identified, "Starry Vere" (Melville, p. 61). In the opera, a sailor
Donald first sings the theme identified with Vere. The theme is then
developed into a full ensemble of chorus and soloist (Budd) in which all
the men praise Vere and pledge their support of him, Vere's theme is
not as recurrent as Claggart1s. However, in addition to the emphasis

given to it in the full development of an ensemble, Vere's theme is
used again at the penultimate moment. In Melville's novel, Budd’s
benediction is "delivered in the clear melody of a singing bird on the
point of launching from the twig" (Melville, p. 123). In Britten's
opera, Budd sings Vere's melody which is echoed by the chorus. The
use of Vere's theme at this point enriches Budd's statement. As in
Melville's novel, beneath the actual words lie unspoken implications.
The reminiscent theme immediately relates Budd's present action with
the first appearance of Vere when Budd sang of his allegiance to Vere.
This sort of emotional characterization is impossible in a novel. In
writing of verse drama, Joseph Kerman explains that "even the most
passionate of speeches exists on a level of emotional reserve that music
automatically passes" (Kerman, p. 13). Budd's farewell to Vere sung
to Vere's theme produces an immediate emotional appeal surpassing that
created by Melville.
Ill Physical Objects
Articles of clothing, jewelry, and furniture may contribute to
characterisation in two ways. First, the article may be the deliberate
choice of a character, though he may or may not be aware of the effect of

86
his choice. Second, an article may relate to a character independent of
his choosing. In the following discussion, reference will be made only
to those librettos which place special emphasis on specific physical
objects as means of characterization.
In "The Maypole of Merry Mount" to contrast the "lightsome hearts
of Merry Mount" (Hawthorne, p. 70) with the "grim Puritans" (Hawthorne,
p. 77), Hawthorne used representative items characteristic of each
group. The Maypole worshippers dress in an array of colorful costumes.
The Puritans appear "each with a horseload of iron armor to burden his
footsteps . . ." (Hawthorne, p. 77). In Stokes's libretto, this contrast
is presented in costumes, stage properties, and music. The Cavaliers
dress in colorful, outlandish costumes. The Puritans wear "steel caps
and breastplates ..." (Stokes, p. 6). In both story and libretto,
the colonists at Merry Mount venerated the colorful, highly decorated
Maypole, By contrast, the center of Puritan worship was the church in
front of which stood the wooden stocks, "which might be termed the
Puritan Maypole" (Hawthorne, p. 77). Two stocks hold a pair of sinners
in the opera's first scene. Finally, the colonists loved music and dance
The Puritans frowned on all music but one sort. "Their festivals
were fast days, and their chief pastime the singing of psalms" (Hawthorne
p. 77). In the opera, composer Howard Hanson took full advantage of
this contrast in musical tastes. To characterize the Cavaliers, he
identifies them with a chorus suggestive of an English Dance tune. By
contrast, the Puritans counter with a straightforward psalm-like tune.
Hawthorne produced his characterizations through lengthy descriptive
narration. Hanson and Stokes created their characterizations visually
through costumes and stage properties, aurally through music.

87
James's heroines Catherine Sloper and Milly Theale are character¬
ized by their clothing and jewelry. In Washington Square, Catherine
"expressed herself in her clothes. . . . She often reveals suppressed
desires through her choice of clothing. "Her indulgence of it was
really the desire of a rather inarticulate nature to manifest itself"
(James, p. 169). In the libretto Washington Square, Elmslie describes
his heroine's dress once. At her first entrance, Catherine "is so
elaborately dressed that she appears older than her twenty-one years"
(Elmslie, p. 13). This general description suggests little about
Catherine by comparison with James's characterization. In The Wings of
the Dove, James characterizes Milly by presenting the effects her dress
and jewels have upon other people. To Merton Densher, Milly's
"wonderful white dress" (James, II, 213) makes her look "younger,
fairer. . ." (James, II, 213). Milly's dress and her pearls, a "long,
priceless chain, wound twice around the neck" (James, II, 217), cause
Kate to compare Milly to a dove. The old lace and the priceless pearls
represent for Kate Milly1s chief source of power: wealth. Densher
believes that money and power are dove-like "only so far as one remembered
that doves have wings and wonderous flights" (James, II, p. 218). For
Densher, Milly's "wings and wonderous flights" are her compassion and
concern for people. Merton sees Milly's /feelings for others, like the
wings of a dove, as having recently spread to an inordinate reach to
enfold her English friends whom she invited to Venice,
Nothing comparable to this minute characterization is established
in the libretto. Ayer suggests Milly's character through a single
article of clothing, a shawl. In scene v, when Miles and Milly meet

88
for the last time, she asks him to give the shawl to Kate. In scene vi,
Kate accepts the shawl and automatically places it over a chair. Although
Milly has left her fortune to Miles, at the conclusion of this scene
both Kate and Miles realize their plan to marry can never be fulfilled.
Milly's influence, symbolized by the shawl, continues after her death.
As Miles leaves, Aunt Maud enters, grabs the shawl, and puts it on
Kate's shoulders. Kate instinctively shrinks from it. The shawl,
an article usually intended to cover and protect, horrifies Kate at
first. Like the money she left to Miles, the shawl was given to Kate
in good conscience. The money was left to enable Kate and Miles to
wed. The shawl was meant as a remembrance. Ayer successfully conveys
Milly's ironically invisible influence through her shawl, which Kate at
first rejects and then is forced to accept.
In Cable's The Grandissimes, Bras-Coupe^ in the custom of his
African homeland appears at his wedding nude and "has painted himself
all rings and stripes, antelope fashion" (Cable, p. 178). When the
beautiful Madmoiselle, wife of Martinez, "gently bids him go and dress"
(Cable, p. 178), he obeys. If his first wedding dress was shocking,
Bras-Coupe^ s second outfit of "red and blue regimentals" (Cable, p. 178),
is ridiculous. This emphasis on Bras-Coupe's dress contrasts the
natural dignity of the slave, who believes he is appropriately dressed
for his wedding, with the assumed superiority of the master, who attempts
to degrade the bridegroom, This contrast between two outlandish modes
of dress is absent from Koanga, In the original version by C. F. Keary
(1935), Koanga appears at the wedding ceremony "dressed in bright African
robes" (Keary, p. 83). In the revised libretto (Craig and Page, 1974),

89
all reference to Koanga's dress is dropped. The effects of costumes as
a tool of characterization in the libretto are bland when compared to
the humor, the pathos, and the social commentary achieved by Cable.
Clothes or items given to or forced upon a character often express
facets of his personality. In The Scarlet Letter, Hawthorne places
great emphasis upon the cloth letter forced upon Hester by the community
as a visible mark of her sin. However, Hester's true character is
revealed by the changes she makes in the letter. Hester's elaborate
embroidery on the letter suggests her strength of character. In both
adaptations of Hawthorne's novel, the librettists emphasize the relation
of the letter to Hester's character. In Lathrop's version, the letter
prompts the first remark of the chorus after Hester's entrance. As
Hester "stands for a moment on the door-step, silent, dignified, yet
woebegone" (Lathrop, p. 7), the chorus shouts its disapproval of her
attitude as expressed in her embroidery.
See how serpent-like it twines,
Yon letter, with its coiling lines;
Lo, she sports with her shame,
And hath woven the letter
With gaudy splendor of scarlet.(Lathrop, p. 7)
In Carlson's version, Hester conceals the letter as she enters, revealing
it to the crowd only after they have damned her. In neither libretto does
the letter receive the emphasis placed on it by Hawthorne. However,
this item forced upon the character but made her own does successfully
convey Hester's strength and independence of character.
The observable half of a character's nature is treated both
dramatically and musically in opera. While a novelist must narrate all

necessary actions which characterize, the librettist specifies in stage
directions only certain actions. These usually fall into three types:
repeated actions, startling actions, and symbolic actions. Physical
details relating to an individual can indicate character traits. The
novelist will often devote lengthy passages of description to the physical
appearance of a character. The librettist, on the other hand, will
refer to physical appearance only in the most general terms. Material
objects associated with a character in a novel or in a libretto often
contribute to characterization.
In the absence of detailed physical descriptions as a tool for
characterization, the librettist and the composer often use music to
deepen the characterization outlined in the libretto. Through musical
form great subtlety can be given to operatic characters who are almost
universally less complex than their literary counterparts. The reminiscent
theme, or leitmotif, associated with an individual can remind the
audience of the character even in his absence. In a second capacity,
the reminiscent theme can suggest a character's thoughts, feelings, and
responses which he either will not or cannot reveal. Sensitive musical
characterization can add a subtle, direct emotional appeal surpassing
that obtainable by words alone.

91
Notes
"^Edward Morgan Forster, Aspects of the Novel (New York: Harcourt,
Brace and World, Inc., 1927), p. 46.
2
Leland Schubert, Hawthorne the Artist (Chapel Hill: University of
North Carolina Press, 1944), p. 146.
3
Wystan Hugh Auden, "Some Reflections on Music and Opera," in The
Essence of Opera, p. 356.
^The Works of Herman Melville, X. Standard Edition (London:
Constable and Company, Ltd., 1923), 271.
'’Percy MacKaye, Rip Van Winkle (New York: G. Schirmer, 1919),
p. iii.
"The essence of the matter was the villainy of the motive in
the evoked predatory creatures; so that the result would be ignoble . .
were this element of evil but feebly or inanely suggested. There arose
on behalf of my idea the lively interest of a possible suggestion and
process of adumbration. The Novels and Tales of Henry James, XII
(New York: Charles Scribner's Sons, 1903), XX.
7
George Martin, "Another Turn," Opera News, (7 March 1970), p. 7.
David Ewen, Encyclopedia of the Opera (New York: Hill and Wang,
Inc. 1955), p. 32. "
'The American Novels and Stories of Henry James, ed. F. 0.
Matthiessen (New York: Alfred A. Knopf, 1964), p. 169.

CHAPTER FOUR
CHARACTERIZATION: HIDDEN NATURE
E. M. Forster writes that the second side of man's character, his
hidden nature, includes "the pure passions, that is to say the dreams,
joys, sorrows and self-communings which politeness or shame prevent
him from mentioning" (Aspects, p. 46). Only the novelist can reveal
directly the psychological nature of his characters. E. M. Forster
writes that "to express this side of human nature is one of the chief
functions of the novel" (Aspects, p. 46).
In opera, as in spoken drama, the hidden nature of a character can
be conveyed directly to the audience only through some external device.
The dramatic use of silence and of stage actions can strongly suggest
psychological states, but they cannot specifically identify them. Music
in opera may contribute to characterization, but, to do so, it must be
heard in relation to a character's situation as expressed in the action.
Forster explains that unlike the painter or sculptor who may choose to
represent human beings or not, "the musician cannot represent them even
if he wishes without the help of a programme" (Aspects, p. 44). The
operatic aria or some lyric substitute enables the librettist and the
composer to portray directly the psychological nature of a character.
I Aria
According to Hamm, "The recitative-aria structure ... is the most
fundamental concept in opera, being used in some form almost from the
first opera to the most recent" (Opera, p. 67). The recitative has
92

93
traditionally carried the dramatic weight of the libretto but is often
musically static. The aria, a moment of reflection or introspection,
focusing on character while the action of the plot stops, may be
musically dynamic but is dramatically static. As Joseph Kerman observes,
"Arias do not ordinarily include any physical action at all" (Opera
as Drama, p. 96). The information presented by a character in an aria
will represent the truth as he sees it. The audience can trust the
character because, as W. H. Auden explains, "what even is sung is
the case" ("Some Reflections," in The Essence Of Opera, p. 357).
A limited degree of irony may be achieved at these lyrical moments
through musical characterization which is at variance with the charac¬
ter’s intentions. The chorus in Billy Budd sings a theme both
suggestive of the movement of the sea and associated throughout the
opera with the idea of mutiny.^
(Britten, p. 8)
To this musical theme, Budd sings his farewell to the Right,s-of-Man
JJ
*
t" 1
}
F
U
r
F=]
E—
^=4=
!
Fare - well old Rights o' Man! Fare - well.
while the sailors sing the melody off stage. The innocence of Budd and
the restlessness of the crew are musically united to convey the unin-
tnetional irony in Budd's statement which so disturbs the officers.

94
However, "unless employed very sparingly such devices cause confusion
rather than insight" (Auden, p. 357). The aria, like the dramatic
soliloquy to which it has been compared, ' "is the clue given to the
audience, and must be the truth itself."'
A novelist has two methods by which he can reveal the psychological
nature of his characters. First, a narrator can directly present these
characteristics through narrative description, as in Irving's portraits
of the dreams and ambitions of Ichabod Crane. This fictional approach
to characterisation resembles the aria in two ways: The advance of
the plot is temporarily delayed during these passages, and these descrip¬
tions often act as summary, presenting in a large block the observations
and reactions of a character to the preceding action. Second, a
character can reveal his own inner nature directly to the reader, as in
James's use of the interior monologue. This fictional technique closely
parallels the operatic aria in that both are self-revelations. However,
the interior monologue and the aria have important differences. In a
modern novel, the observations, attitudes, and responses of a character
are presented, like stones in a mosaic, as parts of a whole to be seen
and understood only when the work is completed. The total picture of
character depends finally upon the interrelation of all its parts. By
contrast, the hidden qualities of a character expressed in an operatic
aria are discrete and immediately clear. Musically, the aria functions
as a climax; dramatically, as synthesis. Lehman Engel explains: "...
these lyrical climaxes gather together the loose ends of the scenes and
focus in on one direct emotional line" (Words With Music, p. 179).

In Act II of Koanga, Palmyra sings an aria which blatantly interrupts
the action of the scene in which Simon Perez and Clotilda, Palmyra's
half-sister, are plotting to prevent Palmyra's marriage to Koanga.
Alone on stage, Palmyra declares her love for Koanga. In the middle of
her aria, Palmyra suddenly sings of Africa as her native land. To have
her sing of Africa as the land of her fathers is ridiculous since she
has just learned from Perez that her father was a white man and a
plantation owner. In the 1973 revision by Craig and Page, Palmyra
sings of Africa as the "land of his [ Koanga's) fathers" (Craig and
Page, p. 81). Her thoughts of Koanga as a captured slave and former
African prince are now logically linked to her ideas of his former
home. The psychological movement in the revised version is more
consistent with Palmyra's character. All of this, however, has nothing
to do with Palmyra in Cable's novel, who never returns the love Bras-
Coupe*" expresses for her.
Katrina Van Tassel, the heroine of Irving's "The Legend of Sleepy
Hollow," is a riddle to the narrator. For this reason, her character
is not detailed. Pretty, spoiled, and, as some say, even a coquette,
Katrina emerges as a strong-willed, humorous character. After her
father's party, Katrina, in a scene never fully explained by the
narrator, sends Ichabod Crane from the house "with an air quite desolate
and chopfallen.The narrator dismisses this episode as an unfortunate
turn in the welfare of Crane. The scene only hints at Katrina's feelings.
In Benet's The Headless Horseman, a quite different Katrina compared to
Irving's lighthearted flirt reveals her thoughts. In a woebegone frame
of mind because of her bethrothal to Crane, Katrina ends her "solo" by

96
vowing to kill herself rather than to marry Ichabod Crane. A typical
romantic heroine, Katrina is prenared to die for true love. This
sentiment would never have entered the mind of Irving's carefree
character.
In Carlson's Hester, three arias are sung: first, in Act II,
where Hester prays, portraying her reliance on faith but revealing
nothing of her inner torment. Then in Act III, Arthur sings the first
of two arias. Alone in his room, Arthur contrasts his outer priestly
appearance with his inner sin and guilt. In words taken directly from
Hawthorne's novel, the aria express the conflict within Arthur. Finally
in Act IV, he sings as he begins to hallucinate. Arthur's inner guilt
and terror are projected outwardly by the "flaming A" and by several
visions of Roger Chillingworth. "'Tis that old fiend at my elbow
day and night. / See, he's there and there! Everywhere" (Carlson,
p. 209)! The scene is reminiscent of the second scaffold scene in
the novel in which Arthur shouts his guilt for all to hear. However,
the ambiguity and irony in Hawthorne are missing in the operatic scene.
In the opera, Arthur is alone until the end of the scene when the real
Chillingworth emerges from the shadows. He is the only person to hear
Arthur's confession of inner torment. In Hawthorne, Arthur's shouts
are head clearly enough to cause nearby residents to raise their windows
These audible but ineffective confessions by Arthur are ironically
self-destructive. They increase his inner turmoil rather than ease it.
More significantly, these feeble attempts portray Arthur's strong
impulse to confess and his weak will to do so.

Peterkee, the young girl who accompanies Rip Van Winkle to the
mountains in Percy MacKaye's libretto, is an original operatic
characterization. Little attempt, however, was made by the librettist
at any psychological characterization. In Act III, Peterkee goes to
Rip's cottage twenty years after her return from the mountains without
Rip. Most of her* aria is an apostrophe first to Rip's house and then
to the magic flask which she had hidden there twenty years before. In
her aria, Peterkee admits her emerging love for Rip, whom she had known
as a little girl. Such an expression of romantic love is somewhat
farfetched, even for an operatic heroine. Peterkee would have been
a mere child when she accompanied Rip to the mountains. Yet, twenty
years later she waits the return of Rip, who has also aged. She has
remained faithful beyond the bounds of expectation.
Both Milly Theale and Kate Croy in Ayer's The Wings of the Dove
indirectly reveal aspects of their personalities in arias as opposite in
character as those of the two women. In scene ii, shortly after her
arrival at, Aunt, Maud's dinner party, Milly is asked to sing. Hesitant
at first, Milly is finally persuaded to perform. The fact that her
aria is a conscious performance, not an introspective declamation,
suggests her outgoing nature and her willingness to communicate with
people. Milly also reveals something of herself, although perhaps
unintentionally, in the lyrics she sings. Her song concerns a persona
determined to seek out human relationships at their most meaningful
level:

9?
When all is fair and still
And fields with flowers fill
And lovers, as they will
Hold hands above,
I'd follow them until
The darkness hides the hill,
Were I a dove.
(Ayer, pp, 54-55)
This persona, having forsaken his past, assumes a serious attitude as
he pursues his goal. No obstacle, he believes, can keep him from
acquiring these desired relationships.
Were I a dove the snow
Of winter would not blow
That kept me down below,
When up above
A pair of lovers go
Who know, and lovers know,
I am a dove.
(Ayer, pp. 57-53)
The attitudes and goals of the persona expressed in Milly's song
parallel her own determination to lead a full life. This picture
closely parallels that of James's heroine.
Traveling to Europe to "face the whole assault of life" (James, I,
125), Milly wishes to leave her shallow past behind and to experience
life at its deepest, most meaningful level. Through her experiences
in Europe, Milly discovers what she seemed instinctively to have under¬
stood all along: the source of a meaningful life lies in human relation¬
ships. The quality of these relationships depends upon the degree to
which a person is willing to involve himself in establishing them.
Milly comes to understand this principle clearly when she visits the
National Gallery where she observes the difference in creative involve¬
ment between the artist and the copyist. For Milly the copyist

09
represents the individual who refuses to involve himself. To avoid
pain and disappointment, the copyist passively creates his art, "The
case was the case of escape, of living under water, of being at once
impersonal and firm" (James, I, 288). On the other hand, the artist,
willing to risk everything was "truly for the larger life, not the
smaller life, the life of which the actual pitch, for example, was an
interest, the interest of compassion, in misguided efforts" (James, I,
288-289). Milly, like the copyist, believes she is not strong enough
for the "larger life." However, like the artist, Milly's compassion
for people compels her to become involved, to take chances which lead
to painful and tragic consequences.
By contrast. Kate Croy's aria in scene vi is introspective in nature.
This quality of her aria suggests Kate's desire for secrecy and solitude
as much as Milly’s public performance comments on her wish for openness.
Kate never intended that her plan to secure Milly's fortune through
Miles should be known to anyone. Seated next to the portrait which
Milly resembles, Kate reads aloud a letter from Susan Stringham. Having
anticipated Milly's death, Kate is stunned, nevertheless, to read that
Susan blames Milly's early death on another's betrayal of her. This
knowledge prompts Kate's guilty, agitated comments which alternately
punctuate her reading of the letter. In her first prolonged outburst,
Kate attempts to transfer her sense of guilt to Milly's innocent nature.
Had Milly been more worldly, she could not have been fooled.
You knew the world but when it smiled.
Or else put out a hand protectingly.
Always an orphan.
Always an only child.
Death came early to all your family and now to you
before you were aware. (Ayer, pp. 156-157)

100
Kate tries to ease her conscience through her ridicule of Milly and by
her rationalization that she had warned Milly about her new London friends.
I warned you what we were about.
You did not doubt that you were better.
You were bee and hive and honey. (Ayer. p. 159)
Kate suddenly admits to herself that her entire scheme was a plan to
beep Miles. Realizing that her selfish plan has recoiled upon her, Kate
hysterically cries out for Milly to have pity upon her. That she cannot
place her guilt elsewhere is the truth that Kate must accept. In her
vain attempts to ease her conscience and in her final outcry, Kate
utters thoughts that she would never admit to anyone.
The progression in the development of Kate's character from her
desire to read the letter and her refusal to accept its meaning to her
final confrontation with reality parallels the development of a remark¬
able paragraph in James's novel. Preparing to describe the effect of
Milly's death on him, Merton Densher senses that in spite of Kate's
request, she seems hesitant to listen. Densher realizes that to reveal
the true circumstances surrounding his last days with Milly would produce
emotions in Kate which he fears she could not handle.
She gave him her quietest attention, but he
by this time saw that, so far as telling her all
was concerned, she would be divided between the
wish and the reluctance to hear it,: between the
curiosity that, not unnaturally, would consume
her and the opposing scruple of a respect for
misfortune. The more she studied him too — and
he had never so felt her closely attached to his
face -- the more the choice of an attitude would
become impossible to her. There would be a feeling,
uppermost, and the feeling wouldn't be eagerness. This
perception grew in him, and he even, with his imagination,
had for a moment the quick forecast of her possibly
breaking out at him. should he go too far, with a
wonderful: "What horrors are you telling me."(James. II, 317-18)

10 7
Through his careful construction of the arias of Milly and Kate, Ayer
has succeeded in creating two characters richly suggestive of their
Jamesian counterparts.
In the Forster-Crozier adaptation of Billy Budd, the librettists
created an aria for each of the three principal characters. The least
problematic to Forster in terms of characterization was John Claggart.
About him, Forster wrote, "Melville's hint of 'natural depravity' has
to be followed." Following the soup-spilling incident in the novel
and succeeding the Squeak-Budd fight in the libretto, Claggart addresses
Budd with the same words: "Handsomely done, my lad. And handsome is
as handsome did it, too!" These equivocal words prompt Melville's
narrator to describe at length in Chapter 11 and 12 the essential quality
of Claggart's nature. His evil characteristic was "born with him . . .
in short 'a depravity according to nature'" (Melville, p. 76). Budd's
innocent nature is diametrically opposed to that of Claggart. The
master-at-arms understands this immediately upon his first meeting with
Budd. Claggart knows that he is unable "to annul the elemental evil
in him" (Melville, p. 78) and is powerless to be like the innocent Budd.
His fate is "to act out to the end of the part allotted it" (Melville,
p. 78). Claggart's soliloquy has a famous operatic precedent in Iago's
"Credo" in the Boito-Verdi Otello. However, in Forster's view, "Claggart
gets no kick out of evil as lago did. . ("Letter," p. 5). Unlike
lago, who methodically plots his scheme and manipulates his victims,
Claggart acts on a sense of compulsion.
Like his literary counterpart, the operatic Claggart immediately
understands the moral significance of Budd's nature. He would prefer

102
to avoid the approaching conflict. However, to preserve his own
world, Claggart realizes he has no alternative: "Having seen you,
what choice remains to me? None! None! I am doomed to annihilate
you, I am vowed to your destruction. I will wipe you off the face of
the earth" (Forster and Crozier, p. 136-137). This operatic characteri¬
zation successfully achieves two desired ends. First, Claggart's
character is necessarily somewhat simplified. For purposes of
intelligible drama, the murky portrait of Claggart which emerges from
Melville's novel had to be made clear and direct. Second, while a
bit more obvious in his evil than is Melville's creation, the operatic
figure presented, nevertheless, is consistently faithful in spirit to
Melville's Claggart.
Forster and Crozier found their central problem of characteriza¬
tion in the figures of Captain Vere and Billy Budd. "Each adapter
has his own problems. Ours has been how to make Billy, rather than Vere,
the hero" ("Letter," p. 4). Forster felt that Melville had originally
intended Budd to be the main character. Melville called the story Billy
Budd, "and unless there is strong evidence to the contrary one may
assume that an author calls his story after the chief character" ("Letter,"
4). In the trial scene, Melville permitted his respect for authority
and discipline to deflect him from this intention. Vere delivers a
lengthy argument calling for the fullest punishment under naval law.
His involvement in the crisis of the story leads directly to the climactic
moment and places Vere at the center of the action. As one responsible
for these two major plot developments, Vere, at least momentarily,
becomes the central character. Acting on their conviction that Budd

103
should be the central figure in their drama, the librettists removed
Vere from this pivotal position.
To direct attention toward Budd, the librettists and their composer
Benjamin Britten created a lengthy and highly structured musico-dramatic
sequence. Beginning immediately after Claggart’s death, this long
passage extends through Act II, iii, and ends just prior to Budd's
execution. An important orchestral interlude divides the passage.
In the first section, Vere sings an aria that is, in turn, also divided
by the trial of Budd. In the first part of his aria, Vere expresses the
dilemma he faces. Vere's personal feelings concerning the accused are
at war with his official responses relating to naval law and military
justice. Vere views the upcoming trial as his own. Regardless of
which decision he reaches, Vere realizes the opposing opinion can present
an equally valid argument. Consequently, when the drumhead court
requests his advice, Vere refuses to offer it. He calls for the verdict.
By not participating in the decision of his court, Vere becomes passive
as opposed to Melville's highly active character. In the opera, Vere
does not act upon Budd as he does in the novel. In the second half of
his aria, Vere questions the morality of his passive stance and wonders
about Budd's reaction toward him. Without resolving these questions,
Vere enters the stateroom to inform Budd of the court's verdict. This
long scene establishes Vere as a passive character and focuses attention
on Budd in two ways. First, the nature of Budd's reaction and opinions
concerning the verdict presente a major conflict within Vere. Second,
Budd's appearance in the next scene is anticipated by this concern to
know his responses.

104
The second scene, focusing on Budd, is momentarily delayed to
signify the Vere-Budd interview off stage. To suggest the nature of
this meeting, Britten composed an orchestral interlude consisting of a
highly original progression of thirty-four chords (see fig. l). Here,
as in Chapter 22 of Melville's novel, the contents of the interview
are not revealed. Melville's narrator offers some inconclusive speculation
based upon his understanding of the characters of Vere and Budd. This
musical interlude suggests to the imagination a far more profound sense
of the nature of this final meeting than do the words of Melville's
narrator.
Budd's aria is also divided. In the first half, he sings, to a
gentle, "slowly moving" melody, words lifted directly from "Billy in the
Darbies," the ballad which ends Melville's novel. The words and the
music combine to produce a trance-like effect suggestive of a passage in
Chapter 24 of the novel where Billy has "the look of a slumbering child
in the cradle" (Melville, p. 119). Dansker interrupts to tell Budd that
his friends among the crew plan to save him. Budd asks Dansker to stop
them. Budd tells Dansker that both he and Vere are "in sore trouble . . .
with great need of strength" (Forster and Crozier, p. 308). At this
point in the scene, Budd believes he can offer no help to Vere. After
Dansker leaves, Budd resumes by singing, to long, soaring musical
phrases, a sorrowful farewell to all earthly joys. Suddenly the tone
changes to one of hope. Budd describes a vision of a metaphoric ship
sailing confidently through the storm of fate toward its destination.

105
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106
But I've sighted a sail In the storm,
The far shining sail that's not fate,
And I'm contented,
I've seen where she's bound for.
She has a land of her own where she'll anchor forever.
Oh, I'm contented. (Forster and Crozier, pp. 311-312)
These words in verse have a two-fold importance. First, they will
reappear during the Epilogue as a means of suggesting the answer to
Vere's nagging questions. Second, they convey Budd's final belief in a
strong persistent force in life other than fate. Forster believed
this was Melville's position also.
Melville believed in Fate, but kept seeing out of the
corner of his eye a white sail beating up against the
storm. Doom was fixed, the trap clicked, the body
splashed, the fish nibbled. But he kept seeing the
obstinate white sail. ("Letter," p. 5)
Budd's aria ends on a note of confidence and resolution. Billy now
possesses the strength which he had described to Dansker as his great
need. The source of this strength is suggested in the orchestral
accompaniment. Chords, strongly reminiscent of those played during the
Vere-Budd interview are now heard. They relate Budd's new found strength
to the undisclosed nature of the interview. Something had passed between
Vere and Budd which provides Budd with needed strength and understanding
at this crucial moment. This unrevealed source of strength also
affects Captain Vere. In the opera's Epilogue, Vere, an old man, finally
arrives at an understanding of Budd's influence upon him. He sings the
identical words Budd sang in the second half of his aria: "... but I've
sighted a sail in the storm, the far-shining sail . ." (Melville, p. 333).
However, the form of the lyrics has now been altered. For Budd, the
lyrics were written in verse. For Vere, the same words appear in

107
prose. This stylistic difference suggests that the vision of the storm¬
bound ship originated with Budd. Indeed, Vere sees that Budd exerted
the necessary love to save him. "But he has saved me, and blessed me,
and the love that passes understanding has come to me" (Forster and
Crozier, pp. 332-333). This final, all-important, influence of Budd's
spirit upon Vere establishes Budd clearly as the opera's hero. Forster
wrote that a hero must remain the source of the meaning of a story:
"The hero hangs dead from the yard arm, dead irredeemably and not in
heaven, dead as a doornail, dead as Antigone, and he has given us life"
("Letter," p. 6). The preceding arias suggest the variety and the
relative structural freedom possible within the framework of the reci¬
tative-aria convention. These variations in characterization may range
from the simple statements of Katrina and Peterkee, to the implied
meanings of Milly Theale, to the structural relationship in the Vere-
Budd complex.
II Exit Aria and Scena
The exit aria and the scena, two conventional operatic forms, are
highly structured and have specific dramaturgical functions. Placed at
the end of a scene, the exit aria always looks backward and never forward.
When this particular moment is ended, the character leaves the stage.
The scena, a musical structure longer and, generally, more dramatic
than an aria, traditionally has consisted of three sections: a slow
aria, a recitative, and a fast aria, called a cabaletta. The recitative
between these arias usually provides the character with some excuse to
change his mind with vehement determination. The sentiments expressed in

103
the cabaletta usually look forward and often spawn the action to follow.
Wainwright's Rip Van Winkle and Karsavina’s The Jumping Frog of
Calaveras County contain examples of the exit aria. In Act II, ii Dame
Van Winkle receives a letter from her daughter Alice, who unexpectedly
has decided to leave home on a possibly fatal mission. Dame Van Winkle,
whose son Rip has recently joined the army, laments the loss of her
family in a "Ballad" which functions dramatically as an exit aria.
Romantically looking back on the happiness of her youth and expressing
her sense of despair and loneliness in old age, Dame Van Winkle sums up
her present outlook on life: "We weep for friends and flowers all dead /
Sorrow and thorns alone remain" (Wainwright, p. 25). No such picture of
Rip's wife as a remorseful woman is seen in Irving's tale. In the
context of the opera, the Dame's admission of her past errors and missed
opportunities directs sympathy toward her husband and away from herself.
In Karsavina's libretto, while Smiley fetches the Stranger a frog from
the nearby swamp, the Stranger fills Daniel with buckshot and sits down
to reminisce. In an exit aria, the Stranger describes his routine as a
gambler and a confidence man.
Just keep on the lookout for the big chance,
When it comes grab it by the seat of the pants.
Each time, each time I fool 'em,
Take what they got,
But this time, by golly, I hit the jackpot.
Forty dollars U, S. money and a home cooked meal;
Lovin' without matrimony and all-around good deal!
(Karsavina, pp. 62-63).
This summary of his habits and way of life makes the Stranger much more
familiar in the opera than he is in the story. In Twain, he remains a
stranger as he comes and goes without any explanation. The narrator

109
reveals nothing relating to his motivations. Rather than being a gambler,
Twain's stranger seems more a practical joker. The self-revelation by
the Stranger in the opera clearly shows him as a polished cheat without
a conscience and makes him an unsavory character.
The extended scena is used in two librettos, Wainwright's Rip Van
Winkle and Lathrop's The Scarlet Letter. Act II of Wainwright's libretto
involves Alice in a conventional melodramatic love triangle. Alice and
Captain Edward are in love. Frederick, Captain Edward's best friend,
is rejected by Alice and his friendship turns to hatred. After the men
leave for battle, Alice, in an aria, laments the absence of Edward and
prays for strength and guidance. The recitative which follows expresses
Alice's problem: she does not know how to save Edward from Frederick's
treachery. In her cabaletta, Alice resolves her quandary by resolving with
firm determination to save Edward or to die in the attempt. Wainwright
supplied Bristow with a highly popular but often ill-used operatic
convention. In the opinion of Joseph Kerman, the cabaletta was "one of
the worst lyric conventions of early nineteenth-century opera" (Kerman,
p. 146). The arias for Vere and Budd, related to this convention,
reveal each character's initial situation, provide the motivation for a
change, and present the character's change in attitude. However, in the
Vere-Budd complex, the formula is far more dramatically effective than in
Alice's scena. In Act II of The Scarlet Letter, Hester Prynne reminisces
about her childhood and lost innocence. Awakened from her reverie by an
approaching group of Pilgrims, Hester goes to greet them. When they
"draw away from Hester with dread and scorn" (Lathrop, p. 21), her
moment of joy is shattered. In a fast, vengeful aria, Hester renounces

110
repentance and asks God to punish the group. This change in attitude is
so stark as to be inconsistent with her character. Hester is never again
seen to react so irrationally. Even her suicide is better motivated than
this outburst. In this instance, she in no way resembles Hawthorne's
heroine, who accepts her punishment without comment, This cabaletta
destroys any sympathy created for Hester up to this point. Her emotions
are non-productive for she never acts on them. In this sense, the
cabaletta does not fulfill its dramaturgic function of spawning future
action.
Kenward Elmslie in his libretto of Washington Square created a long
scena for Catherine. While the lyrics are not divided into the conven¬
tional scena form, the progression of this scene closely parallels that
of the aria-recitative-cabaletta pattern. At great length, Catherine
expresses her fading hope that Morris Townsend will return. Her
romantic fantasies lead slowly to a quiet desperation. Suddenly,
Catherine stands and expresses her determination to face reality.
Gone
Gone for good . . .
To be --
To be —
Fearless. (Elmslie, pp. 91-92)
Moving closer to the center of her reality, Catherine next evaluates the
main forces that have exerted the greatest influence upon her life:
her father and Morris Townsend. Suddenly, as though unable or unwilling
to face reality, Catherine relapses into her romantic fantasies of
wedded bliss, Her claim that she still loves Morris awakens her to the
truth of her situation.

Ill
I cannot will love
Where none exists.
I cannot walk through mirrors
Into rooms full of wishful Imaginings. (Elmslie, p. 92)
Like James's heroine, Catherine finally confronts the truth that she
must take charge of her own life.
There is nothing to do,
Meanwhile,
But begin.
Begin to become.
Begin to become—myself. (Elmslie, p. 93)
By comparison, Catherine's thoughts and resolution are far more credible
than those of Lathrop's Hester Prynne. We have only to imagine the
possibility of Catherine's cursing those around her and committing
suicide to understand the extent to which this is true. Elmslie, by
following James's lead, created a convincing and quite human operatic
character.
Catherine's examination of her past and her confrontation with the
future combine the summary, reminiscent functions of the exit aria with
the active, forward-looking purposes of the eabaletta. By closing a
scene or an act with this musico-dramatic structure, the librettist and
composer could provide a rousing curtain. Violetta's aria "Ah fors e
lui" and her eabaletta "Sempre libera" at the end of Act I of Verdi's
La Traviata is a well-known and dramatically successful example. Mary
Rutledge in Walter Guiterman’s The Man Without a Country sings such an
aria at the end of Act I after Nolan's trial. She contrasts Nolan's
unusual punishment with Burr's freedom. Believing this sentence too
severe, she vows to seek Nolan's release. This promise explains her
appearance at Gibraltar and her continued involvement in the story.

112
Philip Nolan sings an aria at the close of Act II, i, which presents
a hero remarkably different from Hale's conception. Emotionally over¬
come by a stanza in The Lay of the Last Minstrel, Nolan thinks about
the United States and his past guilt and foolish pride. Nolan wishes to
atone for his mistake. Looking to the future, he decides death is the
only acceptable means of expiation. The aria ends with an anticlimactic
reference to Mary. He must see her one more time to explain that he
will accept no pardon she may be able to obtain. Nolan's entire plan
is ludicrously romantic. By the time of the Gibraltar scene, his
determination to carry it out borders on mania. The final short scene
of the opera presents the fulfillment of Nolan's death wish. In Hale's
story, Nolan's involvement in a naval battle brings him recognition
from his shipmates and from his captain. However, he receives no
pardon for his bravery. In the opera, the fallacious idea of a disgraced
military prisoner gaining pardon for his past actions through a sacrificial
death produces an incredibly romantic hero and an unfortunately mawkish
drama.
At the conclusion of scene i in Myfanwy Piper's Owen Wingrave,
Spencer Coyle, the military tutor of Owen, sings an aria which in its
development closely parallels a section in James's short story. In the
first section of the aria, Coyle looks back with pride and some complacency
at his career as an instructor. The paragraph in James begins with a
similar explanation: "Mr. Coyle was a professional 'coach'; he prepared
young men for the army . , ."(James, p. 14). The second section of his
aria expresses Coyle's admiration for Owen. At the same time, he is
puzzled by Owen's action and fearful of their consequences. In James,

113
the narrator in a similar progression reveals that Coyle "had taken a
particular fancy to Owen Wingrave" (James, p. 14) and is disturbed by
Owen's attitude. In the last section, Coyle expresses his concern about
results of Owen's pacifism. The parallel portion of the short story
presents Coyle's anxiety about calling on Miss Wingrave to explain Owen's
actions. While this aria has the distinctive qualities of the exit
aria and the scena, Coyle's character development reverses the traditional
progression in these arias. Initially, the character's insecure position
is presented. As the aria progresses, the character explores his
alternatives, oy the end of the aria, he has taken a firm stand. As
with Captain Vere, Coyle begins with the known, as he confidently reviews
his past. He ends by facing the unknown, as he hesitantly questions the
future.
Ill Lyric Substitute
The idea of operatic continuity in which the librettist and the
composer reduce the dichotomy inherent in the recitative-aria structure
by weaving the portions of dramatic action and the sections of static
introspection into a continuous whole "was a universal ideal of nineteenth-
century music ..." (Kerman, p. 134). Most closely associated with
Wagner and Verdi, he idea of "continuous opera" has received lasting
support in the twentieth century.
Ernst Krenek and Benjamin Britten have created operas which produce
this continuous effect, Krenek, the librettist-composer of The Bell Tower,
advocated and defended the twelve-tone technique of Arnold Schoenberg.
The most important and most basic idea formulated for this new music was

114
the avoidance of tonality. All twelve tones of the chromatic scale
may he chosen by a composer in any order. However, no note may be
repeated until all the other eleven have appeared. The first measure of
Krenek's The Bell Tower illustrates this theory.
This new technique results in musical fragments as opposed to the larger
units created in older music. "By their very nature the principles of
the new music lead away from the closed forms, and realize instead the
7
idea of 'fragments.'" In applying these ideas to music drama, Krenek
thought of "closed forms" as the old recitative-aria formula. "In the
0
old opera, interrupting the music by the spoken word1"' served to emphasize
the outline of the closed form" (Krenek, p. 351). Krenek believes the
fragmentary nature of the new music produces interruptions which are
natural because they are part of the structure of the music: "These
interruptions in the new opera have quite a different effect; they are
real interruptions, preventing the development of the closed form" (p. 351).
The new music, in spite of this fragmentary quality, is "most complete in
artistic development" (Krenek, p. 350). Each twelve-tone composition has
a basic series of twelve intervals called a tone row upon which all varia¬
tions in order, octave, tempo, and other musical elements are created.

115
Britten's The Turn of The Screw offers a superb example of this developmental
practice. Between the Prologue and scene i, the orchestra states the
tone row theme, clearly labelled as such in the score:
THEME
(Britten, p. 5)
Analagous to the "Screw" of the title, this theme receives fifteen
variations, one between each scene of the opera. As George Martin has
observed, this tone row "proves to be linked with everything else in
the score" (Martin, p. 7). Providing the necessary musical development
and continuity, these variations are a musical counterpart to James's
dictum that a novel is a living organism of intricately related parts.
The style of operas such as The Bell Tower and The Turn of the
Screw has been called "continuous recitative." An outgrowth of the
verismo movement in Italian opera, this technique "was evolved as a
means of escaping the recitative-aria conventions. . . .One of
its chief advantages is to allow the drama to unfold rapidly with minimum
interruptions. However, these determined efforts to produce a continuous,
forward moving dramatic statement have not entirely eliminated the static,
lyric introspection. Although radically abbreviated by comparison

116
with the older closed musical forms, these lyric substitutes may be
found in operas of "continuous recitative."
Both Una and Bannadonna in The Bell Tower have moments of lyric
introspection. In scene i, after Una's father is killed, the orchestra
plays a sustained chord as the workmen file off stage. Una's brief
lyrical moment (only thirty-five measures) is introduced by a dissonant
strumming effect in the orchestra which calls attention to Una's lament
that follows. While lacking the musical breadth of most conventional
arias, Una's lyric expression possesses several characteristics of the
aria. First, the strong, definite introduction by the orchestra
abruptly stops the forward movement of the action. Second, and most
important, it allows for the expression of feelings and the revelation
of thoughts which Una would otherwise never make known.
Bannadonna's short (fifty-three measures) lyrical revelation
resembles the much longer form of the scena. In the first section of
twenty-five measures, he brags about his bell, expresses his joy, and
ecstatically imagines his name ringing forever through his great artistic
creation. Suddenly, he notices a flaw in the bell. In nineteen measures
of highly agitated recitative, Bannadonna questions how this could have
happened. This section motivates his emotional change from joy to anger
which propels him to act. His final expression in thirteen measures
begins with a passage of almost total lyric freedom. While the orchestra
plays "colla voce," Bannadonna, in an exaggerated lyricism, sings of
his determination to erase the flaw,

117
(Krenek, pp. 25-26)
In this passage, Eannadonna admits ideas that he would never tell anyone.
His aria substitute is brought to a definite close by the orchestra on
a quiet chord sustained for two measures.
Britten's The Turn of the Screw has been singled out by Robert Evett
as one of the most successful operas of "continuous recitative." Most
of the opera is presented in recitative while the orchestra provides
vigorous support. In scene i, the Governess rides toward Bly in a
coach. In a "free recitative" indicated in the score, she doubts her
ability to fulfill her new duties. The agitated, disconnected musical
fragments she sings perfectly mirror her anxious, insecure state. In the
closed form of older operas, this scene would have supplied the perfect
static situation for an aria introspection. In The Turn of the Screw,
Britten "has pushed recitative and aria toward each other to a point where
distinctions between them have all but disappeared" (Martin, p. 7). However,
in Act II. i, the score clearly indicates "Colloquy and Soliloquy."
After the ghosts have completed their "Colloquy," the lights fade in on
the Governess. In her fast but hushed soliloquy, the Governess analyzes
her situation. She may possess all the facts, but, with evil around her
and the truth hidden from her, she is unable to sort them out. The innocent
children have corrupted her, their influence causing her not only to fear
and to sense evil but to imagine it as well. As the lights fade, the

113
Governess whispers, "Which way shall I turn" (Piper, pp. 117-118)?
Hushed and intimate, this soliloquy lacks the flamboyance of the conven¬
tional aria. Opportunities for vocal display and histrionics are absent.
On the other hand, the deeply personal character of this anxious moment
is perfectly projected by the form of a soliloquy. The disturbing inner
thoughts of the Governess, who remains immobile on stage, are most
effectively conveyed in her frightened whisperings.
IV "Ensemble of Perplexity"
Edward J. bent identifies two ensemble forms: ^ the "ensemble of
perplexity," a major technique for musical characterization, and the
"concerted finale," a musico-dramatic, device for the advancement of
plot. In the first form, several characters faced with a difficult
situation express their individual emotions simultaneously, e.g. the
sextet from Lucia di Lammermoor. One of the glories of opera, this
convention of simultaneity is unique in opera. In drama, such a presenta¬
tion of character would result In chaos. Fiction can present only the
illusion of simultaneous experience because, as A. A. Mendilow writes,
language is "a medium of consecutive units constituting a forward-
11
moving linear form of expression. ..."
Five operas reveal hidden character traits through the "ensemble
of perplexity." Wainwright's Rip Van Winkle, Lathrop's The Scarlet
Letter, and Elmslie's Washington Square present traditional ensembles
during which both stage action stops and stage time is suspended. The
simplest of these ensembles involves Rip, his wife, and the chorus of
townspeople, all of whom comment in very similar terms upon the trials

119
of matrimony and the advantages of being single. The largest ensemble
with five characters and a chorus appears in The Scarlet Letter. After
Hester refuses to respond to Arthur's request for the identity of her
lover, the ensemble begins: Arthur praises the kindness of Hester and
laments his own weakness. Hester emphasizes her determination to suffer
in silence and prays for Dimmesdale's salvation. Chillingworth vows to
seek revenge. Bellingham expresses hope for Hester's repentance, and
Wilson desires mercy for her while the chorus longs for her punishment.
In scene ii of Washington Square, Catherine, Lavinia, and Dr. Sloper,
returning home from a party, "seem to have dozed off" (Elmslie, p. 23)
in an open carriage. Simultaneously, the threesome reveal their thoughts.
Dr, Sloper comments on the "irony of fate" (Elmslie, p. 23) at being
trapped in the company of two tiresome women. Catherine recalls the
appearance and the touch of Morris Townsend, and Lavinia romanticizes
about Catherine's next meeting with Morris. All three ensembles develop
from a dramatic situation which produces conflicting emotions in the
characters. As with the aria, the "ensemble of perplexity" is a static
moment of introspection.
A second "ensemble of perplexity" in Washington Square and one in
Piper's Owen Wingrave add an interesting dimension to the form. In
addition to simultaneous characterization, these two ensembles present
concurrently multiple stage settings and also fuse separate moments in
time. In Washington Square, Act II, i, three settings are presented at
once, On stage left "a small balcony protrudes from the second floor of
a hotel in Venice" (Elmslie, p. 65) in which Catherine is seated writing
a letter to Morris. On stage right "the lights reveal a second balcony,

120
where Dr. Sloper sits at a table, also writing" (Elmslie, p. 65).
Beneath these balconies is a third set, Dr. Sloper's study in the house
in Washington Square, where Morris and Aunt Lavinia read Catherine's
letter. The unique action here is that the letter being written in
Venice by Catherine is read simultaneously in Washington Square. When
Catherine expresses her love for Morris, concluding with "Sweet husband-
to-be, / Sweet husband of mine. . (Elmslie, p. 66), Lavinia repeats
her words. This unique presentation of character, setting, and time
continues until the lights fade on the balconies. A reverse action occurs
at the conclusion of the scene. While Morris writes a letter dictated
by Lavinia, Catherine reads the letter in her Venice hotel.
The basis for this operatic scene occurs in Chapter XXIII of James's
novel. Similar settings and actions are presented with only a suggestion
of the simultaneous effect achieved in the libretto. James juxtaposes
the separate settings in consecutive sentences. Dr. Sloper "made the
grand tour of Europe . . . and . . . remained abroad, not for six months,
but for twelve" (James, p. 24V). The next sentence places Lavinia
Penniman in Washington Square catering to Morris Townsend. In the novel
there is no simultaneous presentation of the writing of letter by Catherine
and the reading of it by Morris. The reader learns through the narrator
that Catherine "heard from her lover with considerable regularity ..."
(James, p. 248). This information of setting and the presentation of
the actions and emotions of the characters require several pages in the
novel to relate. The scene in the opera presents these various aspects
of the libretto more concisely.

121
In Act I, v of Owen Wingrave, "a week passes during which Owen is
under constant attack from his relatives and friends. . (Piper, p. 17).
In this "abstract scene," Sir Philip, Kate Julian, Mrs. Julian, and Jane
Wingrave declare in an ensemble their feelings about Owen's actions.
This condensation and fusing of place and time is suggested by a passage
in the short story. Spencer Coyle had visited Jane Wingrave to discuss
Owen. Less than a week after this visit, Coyle is invited to Paramore.
Upon his arrival, Coyle learns from Owen of his experiences during the
preceding week. Owen confides "that he had some terrible hours with the
grandfather. ... 1 e had had no idea they would make such a row. His
aunt. . .was insulting.. . .; they accused him of putting a public
dishonor on their name. . . . Everyone . . .would know he was a young
hypocrite . . ." (James, p. 32). This narrative summary of a week's
accusations from Owen's family is dramatized in the abstract setting of
scene v.
As we have seen, the operatic aria or its lyric substitute combines
functions of three literary devices. Like the dramatic soliloquy and
fictional narrative description, the aria halts physical action while a
character's inner thoughts are revealed. Like the dramatic soliloquy
and the novelistic interior monologue, an aria permits a character to
reveal directly his own thoughts and ideas. The "ensemble of perplexity"
enables the librettist and the composer to present multiple characteri¬
zations simultaneously, a device unique to opera. In fiction, simul¬
taneous experiences can only be suggested through narrative description.

122
Notes
^Kobbe's Complete Opera Book, ed. The Earl of Harewood (New
York: G. P. Putman's, 1969), p. 1161.
^Lehman Engel, Words and Music (New York: Macmillan Company,
1972), p. 179. '
^Elmer Edgar Stoll, Shakespeare Studies (New York: The Macmillan
Company, 1927), p. 388.
^The Works of Washington Irving, IX, The Sketch Book (New York:
G. P. Putnam1 s Sons, 1882), 44TT.
-’Edward Morgan Forster, "Letter from E. M. Forster," The Griffin
(New York: The Readers' Subscription, Inc., 1951), p. 4. Hereafter
cited as "Letter."
^Ernst Kreneck, The Bell Tower, a manuscript, p. 1
^Ernst Kreneck, "The New Music and Today's Theater," in The
Essence of Opera (New York: W. W. Norton and Company, Inc., 1969),
p.' 350.
%renek refers to German opera, which has traditionally used
spoken dialogue as opposed to the Italinate recitative.
^Robert, Fvett, "Mr. Britten Turns the Screw," The New Republic
(21 March 1958), 138:22.
^Edward J. Dent, Opera (Baltimore: Penquin Books, 1940), p. 38.
^A. A. Mendilow, Time and the Novel (New York: Humanities Press,
1965), p. 32. —

CHAPTER FIVE
PLOT
"Plot" has numerous meanings: story, overt action, skeletal outline,
formula, or essence, to suggest a few. R. S. Crane, in an influential
essay, gathers these many meanings and defines plot as a two-part
synthesis of structure and content. The plot of any novel or drama
inclusively is "the particular temporal synthesis effected by the writer
of the elements of action, character, and thought that constitutes the
matter of his invention."'*' Time, as a structural device, has exerted
significant control over dramatic structure. Jackson Barry suggests
that writers from Saint Augustine to Pirandello have been fascinated
by "the concept of 'now' which is ever present — moving continually
step by step into the unknown future -- and a sense of patterned time --
2
time viewed retrospectively and essentially statically." This dual
nature of time has traditionally affected the structure of opera. In
operatic dramaturgy, the librettist is confronted with the dual challenge
of presenting an action of coherent dramatic interest and of providing
the opportunity for musical development. The basic operatic techniques
of recitative, which carries the dramatic weight, and aria, which allows
lyric expression, meet the challenge. The wave-like rhythm between the
on-going dramatic time which advances the story and the static, reflective
moments which, as we saw in Chapter Four, reveal character creates the
temporal structure basic to all operatic plots,^
Operatic plots appear diverse upon first examination, but from
this apparent diversity two characteristics emerge. First, characters
121

124
and situations are relatively simple and easily understood/* Second,
the content of opera librettos is highly emotional. Both composers and
librettists have repeatedly referred to this essential characteristic
of the operatic plot. Wieland emphasized the necessity for presenting
characters "in view of their feelings and emotions" (The Essence of
Opera, p. 121). Gluck greatly admired "the language of the heart" and
the "strong passions" created by his librettist Raniero Calsabigi for
Alceste (The Essence of Opera, p. 107). In his Dictionary of Music,
Jean-Jacques Rousseau, who "exercised great influence on French music,
describes the presentation of emotional content as the aim of opera:
"The force of all the emotions and the violence of all the passions are,
then, the principal object of the lyrical drama." Many emotions have
been treated operatically: fear, madness, misery, joy, jealousy, hatred,
and, not least, love. In the discussion which follows, I shall use
"plot" to mean 1.) the alternating temporal structure which controls
the forward movement of the story, and 2. ) the simplified, highly
emotional content which provides the necessary motivation.
In general, when adapting the story in a fictional source, the
adaptive librettist will most often keep as close as possible to the
original events and characters. Of the sixteen librettos studied,
seven present the stories of the original materials with strict fidelity.
These range from the nearly line-for-line adaptation by Frederick Carlson
of Longfellow's The Courtship of Miles St_andish'to the radically reduced
but still recognizable story line of James's The Wings of the Dove in
Ethan Ayer's libretto. The basic story line of the original source is
retained to varying degrees in seven other librettos studied. In these,
however, major alterations have been made, the most frequent of which

125
is the deletion or addition of a character. In the two librettos based
on Hawthorne's The Scarlet Letter, Pearl is eliminated because children's
voices are not suitable for operatic singing. Characters added most
frequently provide a love interest which did not appear in the original
e.g. Una in Krenek's The Bell Tower and Mary Rutledge in Guiterman's A
Man Without a Country. However, the basic original story line can be
seen in these altered versions. Occasionally, a librettist will base
his libretto on an idea in the original and will create his own story
line. In Percy MacKaye's Rip Van Winkle, Rip falls asleep for twenty
years, but the remainder of the story has nothing to do with the story
by Washington Irving. In his libretto Merry Mount, Richard Stokes
dramatized one scene from Hawthorne's "The Maypole of Merry Mount."
The minor story line of Merry Mount involves the conflict between the
Cavaliers and the Puritans, suggested by Hawthorne's story. However,
the central interest in Stokes's libretto concerning the inner struggle
of Bradford is entirely original. While the story lines of these
librettos may vary, the basic structure and content of their plots is the
same.
I Structure
Recitative, "one of the fundamental, constant elements of operatic
dramaturgy" (Kerman, p. 29), has traditionally expressed the dramatic
part of the plot. There are two basic forms of recitative, the first of
which is Secco or "dry" recitative, accompanied by a single instrument
such as a harpsichord. This accompaniment modulates through a succession

126
of related keys and has little melodic interest. The musical shape
and rhythm of the secco recitative are ideally derived from the words of
the text and produce a declamatory style developed by the very earliest
opera composers and used to the present day. In Act I, iii of The
Turn of the Screw, the Governess has just read a letter dismissing Miles
from his school. Mrs. Grose asks the Governess what she plans to do.
Britten sets the exchange of questions and answers which follow to secco
recitative.
r.MVKRM ss
f I shnl! spy no-thing.
(Britten, p. 31)

127
The second type of recitative is accompanied by the orchestra. In
this expressive or accompanied recitative, the orchestra breaks away
from routine chord progression and introduces new harmonies and dissonances
expressive of the words and the dramatic situations. The librettos
studied in this dissertation offer numerous examples of accompanied
recitative to advance the plot. The moment in Act II of Koanga when
Simon Perez reveals the secret of Palmyra's birth to her provides an
illustration.
Moderate
An extension of accompanied recitative is the parlante, "talking."
New to operatic dramaturgy in the nineteenth century, parlante offered
a solution to the problem of maintaining dramatic interest while pro¬
viding musical continuity. Joseph Kerman explains the term:
The principle was to hold together a considerable
passage of advancing dialogue by means of a
systematic motivic ground-plan in the orchestra;
the voices chime in with low-grade counterpoint,
as best, suits the verbal phrase and sentiment.
(Kerman, p. 13b)
In Act III, vi of The Turn of the ocrew, Miles and Flora conspire to
lull the Governess and Mrs. Grose asleep so that Flora can meet Miss
Jesse 1. Miles plays the piano whi1e Flora sings a hypnotic tune. As

128
the scene reaches its climax, the Governess nods. Flora then turns to
Mrs. Grose and converses with her. At this point, the declamatory style
becomes parlante. The piano provides the musical continuity which gives
this section of dialogue a lyric quality (See Fig. 2).
In several operatic forms, spoken dialogue is substituted for
recitative. "The most extensive use of spoken dialogue in opera can
be found in comic operas of the eighteenth and nineteenth centuries:
Singspiel in German. Opera-Comique in France, and Ballad opera in
England" (Hamm, p. 15). Of the operas studied, two make use of spoken
dialogue to advance the plot: Rip Van Winkle by Wainwright and The
Headless Horseman by Benet. In this approach to presentation of the
plot, the orchestra stops while the actor delivers his line. On cue,
the orchestra begins after the important dialogue has been spoken. As
in the case of recitative, the decision to have certain lines spoken
and not sung is made for dramatic reasons. A composer may choose to
have lines spoken if he "feels that the understanding of certain
words, phrases, and sentences of his text is absolutely essential to the
development of his drama" (Hamm, p. 24).
Sprechstimme, a kind of song-speech, is a modern variation on the
recitative and spoken dialogue. In Sprechstimme, "the words are half
sung, half spoken with their pitch not exactly notated" (Fwen, p. 483).
Again Britten's "recitative opera." The Turn of the Screw, provides an
example. In Variation XII, Quint wonders about the contents of the
letter written by the Governess in scene iv to her employer. The score
indicates he is to sing "In time." However, the exact pitch is indicated

129
A
93]
Dunn; this conversation Miles begins shoe ing
off ur the piano.
P
7" _ _ . . . . a
fry ' í ■ " ■ ---- - ; ^ ;
♦j
r
ver!
Well,
r.
< CO nv* r.m t iu /uti< y »
1
JL •
pta-
y
j
ti
«
■■ f V ■ -- ■ ■—
r—
/ "7* "
t;
ver!
Mrs. Grose, ....
are you tired?
m
*
V
^ #-
, t ' ^ .. -V T
,b£ :* -*■_♦'—. * i
táél
:¿—Í—;J-—i:
* ♦ #
FI ORA
! »j ' r *
i Shut vour eves, then,.... and you shall have a... era - die, a
(Britten, pp. 165-66)
Fig
2

130
only by the notation _$1. Each time Quint asks his question, he places
the emphasis on a different syllable. The soft, rhythmic accompaniment
is played with a brush on a snare drum. This technique produces a
strong emphasis upon the words, achieved through a strict rhythmic control
of their utterance.
The recitative in its various forms has its counterpart in fiction.
The dynamic and dramatic portions of a novel or short story are advanced
through narration and dialogue. A. A. Mendilow explains that what is
expressed in a novel is "either static and the object of description, or
dynamic and the object of narrative (Mendilow, p. 23). In Melville's
Billy Budd, the young sailor is summoned to Vere's cabin. He does not
know the reason for the order, As Budd stands before Vere, the narrator
reveals the thoughts of the young sailor. "The only thing that took shape
in the young sailor's mind was this: Yes, the captain, I have always
thought, looks kindly upon me. Wonder if he's going to make me his
coxswain. I should like that. And may be now he is going to ask the
master-at-arms about me" (Melville, p. 98). The anticipation of Budd

131
revealed through this narrative section is adapted by the librettist
as accompanied recitative
Dialogue in fiction is an important element in the dramatic method
and "Is perhaps the most obvious means of producing the illusion of
immediacy and presentness in the reader" (Mendilow, p. 112). Often the
dialogue from a portion of a novel or a drama will be adapted with
little change. A well-known example of this technique is the interview
between the elder Germont and Violetta Valery in Act II of Verdi's
La Traviata, adapted from Dumas' drama La dame aux camelias. Kenward
Elmslie used this adaptive technique in the final scene of Washington
Square, when Catherine Sloper and Morris Townsend meet for the last time.
The dialogue in recitative carries the plot forward and is borrowed,
in several instances, directly from James's novel.
Novel
TrWhy have you never married?"
he asked, abruptly, "You have had
opportunities."
"I didn't wish to marry.”
"Yes, ”ou are rich, you are
free: you had nothing to gain."
"I had nothing to gain," said
Libretto
Morris
Why have you never married?
Catherine
I didn't wish to marry.
Catherine.

132
Morris looked vaguely around
him, and gave a deep sigh, "Well,
I was in hopes that we might still
be friends."
"I meant to tell you, by my
aunt, in answer to your message —
if you had waited for an answer —
That is was unnecessary for you to
come in that hope."
"Good-bye, then," said Morris,
"Excuse my indiscretion."
(James, pp. 294-95)
From the beginnings of opera,
Morris
Ah, you are rich.
You are free.
You have the one freedom
Only the rich possess —
The freedom to do as you please.
You have nothing to gain,
Did you Miss Sloper?
Nothing whatsoever to gain.
Catherine
Nothing, Nothing to gain.
Good evening, Mr. Townsend.
(Elmslie, pp. 100-01)
practitioners have been concerned with
its structure. In their efforts to reduce the dichotomy inherent in
the recitative-aria structure and to unify plot development and
musical continuity, composers and librettists have tried various innova¬
tions : one of the most important was the use of the ensemble to advance
the plot. The "ensemble of perplexity," discussed in Chapter Four,
temporarily impedes the progression of the story to permit emotional
expression. The "concerted finale," "one of the most significant
musical forms to emerge from the comic opera of the eighteenth .century,
is unexcelled as a musico-dramatic technique. Several characters
appear on stage and engage in conversation which takes the form of a
regular piece of music. "With recitative excluded and everything sung,
the plot and the music progress simultaneously to a logical conclusion"
(Brody, p. 125).
Of the four comic operas studied, three make use of the concerted
finale to advance the plot. In The Headless Horseman, Douglas Moore
makes limited use of this technique. Simplified in nature, the concluding
ensemble presents the three central characters and the chorus all
commenting on the future plans of Katrina Van Tassel and Brom Bones.

133
With the blessings of old Baldus Van Tassel, Katrina and Brora plan to
marry and to open a progressive school. The comments of the principle
characters are echoed by the chorus. In Bristow's Rip Van Winkle, I, i,
a clearly marked "concerted piece" appears. Dame Van Winkle has located
Rip in front of the tavern. The finale is a dramatization of the unhappy
marital relation between Rip and his wife, a scene that can be imagined
as occurring frequently in a more domestic setting. The chorus comments
humorously upon the bliss of the single life, while the action progresses
with the musical development to the end of the scene.
In composing The Jumping Frog of Calaveras County, Lucas Foss hoped
his short comic opera would have the "air of a Mozartean opera buffa."
Mozart had cast much of the dramatic action of his operas in recitative.
However, at the great climaxes, Mozart elevated the action by presenting
it "on the imaginative level of music, so as to share the emotional
dignity of the aria introspection" (Kerman, pp. 84-85). The "concerted
ensemble," especially as exemplified in the Mozartean finale, provided
a musico-dramatic form essential to the mode of comedy. Speed and timing
of action are essential qualities in comedy. The "concerted ensemble"
provided the comic opera with a tool for achieving these qualities.
Quick changes in mood and in dramatic situations, not possible in the
conventional recitative-aria structure, could be handled with ease,
both dramatically and musically. The casual, spontaneous atmosphere
required of comedy could be captured in the relative freedom of the
ensemble. Foss's adaptation of Twain's tale is related largely through
a series of ensembles, e.g. duets, trios, quartets, and quintets. In
scene ii, from the moment when Smiley returns with the new frog for the

134
Stranger to the defeat of Daniel in the jumping contest, the action and
the music develop simultaneously. In a mixture of Sprechstimme and
singing, the characters place their bets. When the contest ends .every¬
one concedes the defeat of Daniel and the Stranger collects his winnings.
At this point the Finale, clearly marked in the score, begins. This finale
is Mozartean in effect, if not in structure. Lorenzo Da Ponte, known
chiefly as the librettist of Mozart's finest Italian operas, The Marriage
\
of Figaro, Don Giovanni, and Cosi fan tutte, outlined in his Memoirs
the principles on which such finales are built.
This finale, which must remain intimately connected
with the opera as a whole, Is nevertheless a sort of
little comedy or operette all by itself. . . . Recitative
is banned from the finale: everybody sings; the finale
almost always closes in an uproar. . . . The finale must
. . . produce on the stage every singer of the cast . . .;
and if the plot of the drama does not permit, the poet
must find a way to make it permit.9
In Karsavina's libretto the finale has a three-part structure.
Dividing these parts are two short sections which depart from Da Ponte's
principles by using recitative, Sprechstimme, and a few lines of spoken
dialogue to advance the action. In the first large division, every
character in the opera and the chorus comment on Daniel's defeat while
the Stranger enjoys the results of this trick. After the Stranger
leaves, Smiley and Lulu discover his trick. This plot development is
expressed in Sprechstimme. The second section of the finale begins
when the Stranger is caught and returned by the angry miners. This
departure from Twain's story provides both a happy ending for all the
characters except the Stranger, and, as Da Ponte wrote, an excuse for
"noise, noise, noise" (Memoirs, p. 59). The miners ridicule the

135
Stranger, and the second section concludes dramatically and musically
when the Guitar Player demands the return of the money (See Fig. 3).
Whimperings by the Stranger in Sprechstimme precede the last section in
which the crowd makes its final threat, completely terrorizes the Stranger,
and kicks him out of town. With the finale having concluded both the
musical structure and the dramatic development simultaneously, the
opera closes as it had opened, with all the characters singing the
praises of Daniel, the frog.
The ensemble can develop simultaneously multiple aspects of the
plot. The drumhead court scene in Chapter 21 of Billy Budd, for
example, presents the complex of thoughts and emotions which affect the
four officers. In the novel, Vere speaks at length about the practical
duty of the court members in dealing with Budd. He admonishes his
officers, warning against personal feelings and private conscience as
guidelines in military decisions. Vere makes it clear to his officers
that their duty is to the word of the law and to nothing else. "Our
vowed responsibility is in this: That however pitilessly that law may
operate in any instances, we nevertheless adhere to it and administer
it” (Melville, p. 111). Clemency on the part of this court could be
deadly to naval discipline in light of the recent mutinies. In spite of
his feelings for Budd, Captain Vere believes that only one decision is
possible for the court: "You see, then, whither, prompted by duty and
law, I steadfastly drive" (Melville, p. 113).
In Britten's opera, Captain Vere presents only his eyewitness
account of the death of Claggart. When the three officers ask for his
guidance, he refuses to help them in their decision. The complexity of

136
Lu.
=m.
1st
Cr.
U.H.
GPL
2nd
Cr.
É
brag-gin' now; whit you got to say for your-self r
§
brcig-gin'now,- what you got to say for your-.self ?
Si
brag-gin’now; what you got to .sav for your-self ?
?A. M. A W -#â–  ^ y-0-
brag-gin’nowj don t hear you brag.gin’nowl
'■M. *1.— A ^ *-b-» ff
E2Z
brag-gin’now; don't hear you brag-gin'now} Fork o - veri
? A JL A p ^1
EEt~E ,5EELn .. ¿rzz^zzzz^E
brag-gin’now; don t hear you brag-gin’now!
S 5EÉ
A
“3E
brag-gin’now; what you got to say for your-seif ?
brag-gin'now; what you got to say for your-self ?
zm—frrrr
'brag-gin' now; what you got to say for your-self ?
7%L A.^ 0L ’>*. V JL
brag-gin’now; don t hear you brag-gin’nowÍ
T\ry shake the Stranger: money
‘roils oiit of his pock' t.
JL± A* *±SZL
—5^—*-<•—♦ ■'■'w—y 0 ■ ■ -y i j y—_n ■■ -
•—?*■ =~ —7 .
—
—. .... — .— . ■ . r
éJ J • * W 9
â– 
-r*—
â– 
p =7
>*â–  â– >* Fr b5
• • W~WW w~
(Karsavina, p. 136)
Fig. 3

137
the scene in Melville is greatly simplified in the libretto. Divided
into three sections each of which advances the plot, the ensemble begins
when the 1st Lieutenant, the Sailing Master, and Lieutenant Radcliff
enter Vere's cabin, "vere immediately informs the three officers of
Claggart's death. The conflict between rationality and emotion presented
in Melville's novel is reduced in the opera to the statements expressed
by the three officers, each of whom defends the approach he believes
the wisest. The 1st Lieutenant speaks for reason: "We must keep our
heads" (Britten, p. 265). The Sailing Master seeks strict, immediate
retribution: "We must revenge him" (Britten, p. 265). Lieutenant Radcliff
pleads for mercy: "Let us be merciful; Let us show pity" (Britten,
pp. 266-67). The complexity of the court's situation is fully developed,
however, in the structure of the music. The lines of both the 1st
Lieutenant and the Sailing Master are parlante in _ time. The ration-
4
ality of the 1st Lieutenant and the passionate outbursts of the Sailing
Master are expressed in their music. The 1st Lieutenant sings marcato
mar cato
(Britten, p. 265)

eighth-notes and quarter-notes, suggesting a logical, self-confident
attitude. The Sailing Master, who is the most excitable of the three
men, sings "with energy" a somewhat erratic parlante of sixteenth-notes
and eighth-notes. In addition, the more excitable the Sailing Master
becomes, the higher he sings. In contrast to these two very strong
Q
positions, Lieutenant Radcliff sings in —g-, a more flowing, relaxed
marking. Marked expressive and doubled by the orchestra, this most
melodic of the three lines conveys the sympathetic attitude of Radcliff.
This musical structure helps to convey the sense of conflict among the
court members so essential to the drama.
The second section of the scene, the testimony of Vere and the
cross examination of Budd, is presented entirely in recitative and
parlante. When Budd is excused after his testimony, the third section
begins. Again the text presents the situation in straight forward terms.
As the final trio begins, there is no longer any disagreement among the
officers. Musically, this argreement is suggested at first when all
2
three men sing in the marking —T. Their conversation, in parlante
4
further suggests this agreement through musical imitation. Grove's
Dictionary defines "imitation" as every form of thematic development
"whereby a voice or part repeats a figure of melody previously heard in
another voice or part" (Grove's p. 442). There are two forms of imitation
strict, which presents an exact repetition of the first statement, and
free, which preserves "the rhythm and the general outline (rise and fall)
of the melodic figure, while altering the intervals" (Grove's, p. 442)
The 1st Lieutenant begins a phrase which is freely imitated two measures
later by Lieutenant Radcliff (See Fig. 4). The notes each man sings are

139
i r!) - „ - l T-t-t . I - - r_!z
1 ^Í7_-«-»! * r, „ • =*^-tt~=z=t==+==c==2==
Jr*' ^ ==s=- 4^ * >» *
l
jr # 0
=^rr- /r
•zr
3:
3:
R.iiher quick J: 7s
Allegretto »:7S FIRST LIEL'TKN'ANT /T
CU. Solo vu.
(Britten, n. 280)
Fig. 4

140
the same; only the rhythm is altered. The Sailing Master begins with
imitation but immediately sings unison with the 1st Lieutenant. Finally,
the court reaches a unanimous decision, expressed firmly in nine
measures of unison singing. The three notes of this passage C, B, and
E appear in various sequences. The passage, beginning and ending on C,
musically suggests that regardless of the number of influences working
on them, the men really have no alternatives.
M I t.
s >1
pp _ _ sempre pp
But wove no choice, we've no choice,
pp _ _ St: trip re PP
But we've no choice, we’ve no choice,
U.R.
setup re PP
choice, wove no choice,
we've no choice, no choice.
we’ve no choice, no choice.
(Britten, p. Bill)
The simplicity of the textual adaptation is greatly enhanced by the
complexity of the musical structure. The dramatic conflict, outlined in
the allegorical statements of the men, is delineated in the three sharply
contrasting musical lines. The resolution of this conflict is clarified
in the music in the last section of the ensemble. As the three men move
closer to their final decision, the musical imitation becomes stricter.
Finally, when all alternatives have been examined, the court reaches its
final decision.

141
In addition to the "ensemble of perplexity" and the "concerted
ensemble," the chorus has been an ensemble form important to operatic
dramaturgy from the earliest operas. In their efforts to recreate
Greek drama, the members of the sixteenth-century Camerata made
extensive use of the chorus. In Peri's Euridice (1600), the earliest
opera to survive, the chorus is on stage during most of the performance.
The primary purpose of these early choruses was to create atmosphere and
to enhance the emotional effect for the various scenes. This coloristic
function has remained the most frequent use of the chorus. At emotional
climaxes, the chorus will often contribute to the effect simply by
doubling the vocal line of the soloists in a large ensemble. Numerous
times in Britten's Billy Budd, the male chorus sings sea chanties which
help to provide the maritime atmosphere necessary to the story. Beene
ii of The Jumping Frog of Calaveras County is given a strong flavor
of the frontier west when the chorus sings the folk tune "Sweet Betsy
from Pike." Koanga has several choral melodies with the quality of
Negro work songs. The opening chorus of The Man Without a Country, sung
by a group of Negro boatman off stage, suggests the story's theme while
producing local color.
Lawdy, but we're lonely
Pinin' for Ca'lina!
Lawd, send us back to de land whar we wuz bawn!
Plowin' in de caunfield,
Rowin' on de ribber,
Lawd, send us back to de land
Whar we wuz bawn. ^
Early in the development of opera, in addition to creating atmos¬
phere and beautiful sound, the chorus contributed to the advancement of

142
the story. The great eighteenth-century operatic reformer Christoph
Gluck is credited with the creation of this choral function. He led
the way by casting his chorus as a capricious crowd in Innocenza
Guistificata (1755). In Orfeo ed Euridice, the roles of the chorus
range from the uncontrollable grief of the shepherds and nymphs over
the death of Euridice. to the threats of the Furies' challenge of
Orfeo, to the serenity of the Blessed Spirits in the Elysian Fields.
In Lathrop's The Scarlet Letter, the chorus appears throughout as a
force antagonistic toward Hester. Cefore Hester appears in Act I, the
crowd demands Hester's death:
No mercy would lighten her burden;
For judgment stern we would render.
Death's doom we would award her,
since the law gives us warrant.
To judgment! Condemn her! (Carlson, p. 6)
In Hawthorne's novel, a partial change takes place in the attitude of
many members of the Puritan community toward Hester. She is viewed by
these people as a woman of strength and ability. Hester's admirable
strength of character is directly responsible for this change. In
Lathrop's libretto, the chorus shows an unwavering animosity toward
Hester up to the moment of her death:
[She drinks poison and dies.]
Chorus: Thou, Hester, over us triumph has won:
Towards mercy turning our sullen hate.(Carlson, p. 40)
This radical departure from the novel changes the entire focus of the
conclusion. Hawthorne's heroine wins earthly mercy and forgiveness as
a result of her strength and endurance. In the opera, Hester's love
for Dimmesdale leads to her suicide. This weak, unchristian act causes
the sentimental, melodramatic change in the attitude of the chorus.

143
In the nineteenth century, the chorus emerged as a full-fledged
dramatic force in opera. Modest Mussorgsky's Boris Godunov tells the
story of the inner torment and madness of a Czar. As important, however,
is the drama of the Russian people in their hopeless struggle against
political tyranny, told through the chorus. The chorus as a central
dramatic figure which contributes to the plot development is clearly
seen in Hanson's Merry Mount and in Britten's Billy Budd. The two large
choruses in Merry Mount representing the opposing factions of the Puritans
and the Cavaliers are among the most impressive aspects of the opera.
The choruses present the dramatic conflict concerning the establishment
of Merry Mount which is central to Hawthorne's story. In the opera,
this conflict is secondary to the inner turmoil and personal struggle
of Bradford. The all-male chorus in Billy Budd is a major dramatic
force in the plot. With the exception of a few impressed men, the
crew appears content. Melville suggests this surface quality in the
crew: "But on board the seventy-four in which Billy now swung his hammock,
very little in the manner of the men . . . would have suggested to an
ordinary observer that the Great Mutiny was a recent event" (Melville,
Billy Budd, pp. 59-60). Possible mutiny is the constant fear of the officers
in both the novel and the opera. The hidden unrest among the crew and
the everpresent threat of an uprising are conveyed in the opera through
the music of the chorus. With the first appearance of the chorus, the
men sing the "mutiny" theme (See p. 94). This theme also characterizes the
half-complacent, half-threatening character of the Indomitable's crew.
Throughout the early portion of scene i, the crew works steadily. The
dynamic marking indicate the chorus is never to sing louder than piano.

CHCRl'S
144
However, an incident involving a Novice and the Bosun provokes the crew.
Both the sudden agitation of the crew and the threat of possible mutiny
by it are established through the music. For the first time, the dynamic
markings indicate forte. Also, the orchestra gives full melodic support,
strengthening the suggestion of the latent mutinous nature of the ship's
crew.
(Britten, p. 25)
The threatening nature of the chorus is developed most fully immediately
following Budd's execution. Britten based the response of the chorus at
this point in the drama on a descriptive passage in Chapter 27 of Melville's
novel. The silence of the scene following Budd's hanging is broken by an
incomprehensible sound, originating from the crew assembled on the deck.
"Inarticulate’’ and "dubious in significance," the sound "seemed to
indicate some capricious revulsion of thought or feeling ..." (Melville,
p. 126). However, before this disturbance increases, a sudden order of

145
dismissal is given and the crew disperses. Britten develops the progress
of the drama at this point through the full musico-dramatic nature of the
chorus. As indicated in the musical score and in the libretto, no words
are sung. Instead, a dark vowel !'like ur in 'purple' or in the French
un" (Britten, p. 322) conveys Melville's "inarticulate" sound. Musically,
the threatening responses of the chorus are presented through the use of
a fugue, based on the "mutiny" theme. The tempo of the fugal subject,
first, sung by the Basses II and Dansker, is presto unlike the slower
markings of all previous appearances of this motif. The answer is stated by
the Basses I and Donald. The agitation of the crew increases, and before
the answer can be stated completely, the Tenor I and Tenor II begin a fugal
stretto.11 As the emotional response of the chorus grows, the overlapping
of the stretto appears more frequently, creating an increasing excitement.
When a smaller ensemble of officers on the quarter-deck dismiss the crew,
the musical and the dramatic climaxes are reached simultaneously. The
chorus answers the order with a defiant chord.

(Britten, p. 327)
However, as in Melville's version, the crew immediately disperses. This
sudden shift in the dramatic character of the chorus from a threatening
mob to an obedient crew is presented musically in the orchestra. Both
the key signature and the tempo marking change abruptly. Britten has
given musico-dramatic life to Melville's narrative description of this
scene.
II Content
One objection critics have against opera is the simplicity and
often exaggerated brevity of the libretto. Hugo von Hofmannsthal was
appalled to discover "how short is the libretto of Tristan and how long
the opera" (The Essence of Opera, p. 9). However, this characteristic
brevity has been a demand of composers and an aim of librettists since
the beginning of opera. During the creation of his final opera, Turandot,
Puccini wrote to his librettist, Giuseppi Adami, concerning the difficult
subject of the story and the need for clarity and simplicity: "I know
that the subject is not easily convincing but just for this reason you
must be more sparing of words and try to make the incidents clear" (The
Essence of Opera, p. 287). Verdi strove all his creative life to achieve
an aesthetic of simplicity and vigor. He informed his librettist, Arrigo
Boito, that "art which lacks spontaneity, naturalness, and simplicity is

147
12
no longer art" (The Essence of Opera, p. 243). This simplification of
source material is a fundamental principle in the creation of an operatic
plot. Debussy's Pelleas et Helisande, the cardinal example of a play
adapted verbatim, offers a notable exception. "The play is enveloped whole
into the opera—literally so: there is no separate libretto" (Kerman,
p. 172). The original drama served the needs of Debussy without any
simplification. However, Maeterlinck's symbolic drama is a highly
understated work in which the unspoken overtones play an important role.
As such, the original drama conforms " to the dehydrating process that any
librettist must to some extent accomplish in his work" (Smith, p. 317).
When a literary writing is adapted as an opera libretto, one loss is
almost inevitable. "Ambiguities and variant readings possible in any
of the very great works of art . . . must necessarily be omitted or
toned down" (Smith, p. 343). Even in the most highly regarded librettos
this is true. Boito's Otello focuses upon the central conflicts of the
drama's three protagonists. Boito omitted the entire first act of
Shakespeare's play, which included the father's curse on Desdemona's
marriage to Othello. Henry James's The Turn of the Screw presents
insoluble ambiguities. The question of the reality of the ghosts is one
of the most obvious. In adapting the plot, this very question presented
a major obstacle to the librettist, Myfawny Piper. As discussed earlier,
her solution was to make the ghosts "real" by having them sing. The
audience also sees and hears them at moments when the Governess is not
involved in the action. The librettist's solution eliminates the ambiguous
nature of the ghosts, but it does not destroy the central question of
the plot: who, if anyone besides the Governess, actually sees Quint and
Miss Jessel?

Perhaps the most radical simplification among the librettos studied
is the omission of Pearl from both Damrosch's The Scarlet Letter and Carlson's
Hester. Certainly one of the most enigmatic characters in literature,
Pearl has been variously described as a "drawback rather than an aid,"
as the "purest type of Spenserian characterization," as "truth and grace,"
"blessing and burden," and as "pure symbol." Hawthorne refers to Pearl
as "an airy sprite," a "little imp," a "fantastic little elf," and a
"demon offspring." In the novel's climactic scene, Hawthorne suggests
that as a child, Pearl performed a retributive function: "Pearl's errand
as a messanger of anguish was all fulfilled" (Hawthorne, p. I8l). Most
critics have, as Barbara Garlitz has pointed out, "followed Hawthorne
and described Pearl as unwittingly performing the part of a Nemesis toward
both parents.
Why would both Lathrop and Carlson eliminate such a rich and inter¬
esting character? There are instances of children being used in operatic
roles. Puccini created roles for children in his operas Madama Butterfly
and Suor Angelica. Both, however, are non-singing roles. Britten
treated Miles and Flora musically in The Turn of the Screw. He did so,
however, on a small, intimate basis: "With children playing key roles,
it seemed inevitable that this should be planned as a chamber opera (White,
His Life and Operas, p. 180). Britten assigns simple music with a narrow
vocal range to both Miles and Flora in the form of familiar nursery
tunes, i.e. "Lavender's Blue" and "Tom, Tom the Piper's Son." When
Lathrop created his libretto for The Scarlet Letter, Walter Damrosch,
his composer, did not have a chamber opera in mind. In the "Introductory
Note" to his libretto, Lathrop wrote that Damrosch asked for "a Dramatic

Poem suited for the music of a Grand Opera" (Lathrop, n.p. ). The Wagnerian
influence in the music was so strong that it prompted Anton Seidl,
Damrosch's fellow Wagnerian conductor, to call the opera a "New England
1 5
Mibelung Trilogy." With such heavy Wagnerian orchestration, a child's
singing role would have been out of place. Pearl is quickly dismissed
by Lathrop in his opera's first scene when the Reverend John Wilson
comments:
A child to thee here was born,
Bringing disgrace and scorn.
Heaven's wise decree
Hath taken thy daughter away
Wafted on wings of death. (Lathrop, p. 8)
By eliminating Pearl from his libretto, Lathrop was free to treat "the
great elemental story of Hester's and Arthur's love, sin, suffering and
partial expiation" (Lathrop, "Introductory Note").^ The place of
Puritan morality in the novel and the importance of the relationships
between Pearl and her parents play no part in Lathrop's adapted plot.
In Hester, Carlson also dismissed Pearl with a passing reference.
During his prison interview with Hester in Act II, Roger Chillingworth
pauses near the child's cradle. Upon seeing the dead infant, he remarks,
"Oh, Death, thou art a kind angel" (Carlson, p. 63). No other reference
is made to Pearl until the final moments of the opera when, as mentioned
in Chapter Two, Pearl appears "as an angel granting heaven's forgiveness"
(Carlson, p. 267). Carlson's purpose in using this vision may have been
to preserve a portion of Pearl's function as a symbol of blessing. In
Hawthorne, a strong bond of human relationships is established between
Pearl and her parents, and the unifying love which develops from this
bond culminates in honesty and truth. Carlson's theatrical vision fails
to provide any such meaning.

150
The exaggeration and intensification of dramatic events in opera
is a result of the simplification of the fictional source material.
Writing of opera, Gary Schmidgall states, "exaggeration is part of its
18
essence." Fiction also presents an exaggerated perspective of events.
In its creation, the principle of artistic economy also plays a part. The
dull, monotonous moments of life are generally passed over in favor of
arriving at the more sensational. This artistic principle can produce
a texture at once both artistically satisfying and intensified. "Such
practices involve the most vigorous selection, and thus clearly throw the
true proportion of living into a false perspective" (Mendilow, p. 42).
Further, selection of specific events by an adaptive librettist increases
this element of exaggeration already present in the source material. As
we have seen, the complex moral and political issues discussed and debated
by the Drumhead court in Melville's Billy Budd are reduced in Britten's
opera to a trio in which each officer allegorically represents a single
moral perspective. Such exaggerated simplification in the libretto is
precisely what a composer requires in order to set any dramatic situation
and intensify the simplified textual presentation. "Music seeks emotions,
characters, and situations suitable to amplification" (Schmidgall, p. 11).^
Such simplified dramatic situations usually possess a latent emotional
quality which words alone fail to express. Music can provide the means
by which this emotional quality is given full expression. "The fact is,
there is a great deal of feeling, highly poetic and highly dramatic which
cannot be expressed by mere words . . . but which can be supremely expressed
20
in music." The excess of feeling expressed by Tristan and Isolde is
reduced as one point in the libretto to numerous repetitions of "Tristan

151
Tristan" and "Isolde, Isolde." However, Wagner's intense musical ampli¬
fication of these words develops and "sustains the feeling which is
the real subject of the drama" (Shaw, p. 262).
A highly charged emotional quality which transcends every other
value is the foundation of the content of the operatic plot. Even in
such a highly unusual opera as Leos Janacek's Aus Einem Totenhaus,
based on Dostoyevsky's Memoirs from a House of the Dead, profound
emotions are the basic motivation behind the story. "The opera is un¬
conventional in that there are no female characters, no arias, and no
real plot" (Ewen, p. 27). The setting is a Siberian penal labor colony,
and the story tells how some of the prisoners came there. These personal
accounts of the circumstances which led each individual to the camp
present a wide variety of emotional responses.
In most operatic plots, the emotional basis is far simpler. Love
is the emotion most predominant in the operatic plot. As Lehman Engel
observes, "romance is at the center. Nevertheless, love is at the core"
(Engel, p. 21). With the exceptions of Britten's Billy Budd and The Turn
of the Screw, romantic love is prominent in the other fourteen librettos.
The latent homosexual attraction of Claggart for Billy Budd in Melville's
novel is de-emphasized in the libretto. The librettists chose, instead,
to portray the spiritual love relation between Budd and Captain Vere,
which Vere describes as "the love that passeth understanding" (Forest
and Crozier, p. 333). Critics have often pointed out the abnormal
relationship between the Governess and her student Miles in James's novel
The Turn of The Screw. While there is some hint of this in the
opera, !,he librettist places the greater emphasis on the desire of the

152
Governess to protect Mies from the very real danger of the ghosts of
Quint and Miss Jessel.
Seven of the librettos change the original source materials to allow
the inclusion of a love story. Percy MacKaye's Rip Van Winkle makes
the most radical change. Rip, a bachelor, falls in love with Peterkee,
and with the supernatural intervention of Henrick Hudson and his crew,
marries her. In Koanga, Palmyra loves Koanga while in Cable's novel The
Grandissimes she loves Honore^ Grandissime, a creole member of the family.
Five of these librettos have love interests added to the plots. The
temporary attraction of Lulu and the Stranger in The Jumping Frog of
Calaveras County is, however, not central to the story. The romantic
interest provides musical variety in a female voice and a momentary
diversion from the main story. The idealized love of Philip Nolan and
Mary Rutledge in The Man Without a Country, the destructive infatuation
between Bannadonna and Una in The Bell Tower, and the passionate,
unrequited love of Bradford for Marigold Sandys in Merry Mourrt, although
additions, are central to the plots. The entire story of Act II in J. H.
Wainwright's Rip Van Winkle provides a series of melodramatic events which
center around Rip's daughter Alice and her relationships with two suitors,
the heroic Edward and the villainous Frederick. These events are very
tenuously related to Irving's story, which is presented in Acts I and
III. The theme of hatred underlying the love interest in Act II of
Wainwrights libretto and expressed in Frederick's attempts on the life
of Edward, his erstwhile friend and rival in love, is an Italianate
influence. While on the surface many librettos of the mid-nineteenth
century deal with thwarted love, "in fact the focus of most Italian

15?
librettos is less on love, which is often relegated to one duet and a
few expressions by the tenor and the soprano, than on the hatred
this love engendered” (Smith, p. 198). The melodramatic events in Act II
provided the composer George F. Bristow with some operatic situations of
an intensely emotional nature.
In the remaining seven librettos, the love interests remain basically
the same as in the original fiction. The suggested love of Katrina Van
Tassel in Irving's tale is clearly portrayed in Moore's libretto. The
dramatizations of the destructive love relationships in Washington Square,
Owen Wingrave, and The Wings of the Dove remain faithful to the fiction of
James. Frederick Carlson's adaptations of The Courtship of Miles Standish
and The Scarlet Letter retain the love triangles present in both of the
original stories. George Parsons Lathrop retained the love-hate
relationships among the three principal characters in The Scarlet Letter.
However, Hester's suicide in the final act introduces "a purely nineteenth-
century idea" (Engel, p. 100), the association of "pain" with "love."
This philosophy permeated the art of the period and found its two most
popular expressions in the Romantic ideals of triumph through death and
of the sacrificing female. These ideals receive their greatest operatic
presentations in Wagner's works which, "both musically and librettistically,
breathe the nineteenth century" (Smith, p. 269). Wagner's quintessential
exposition of these ideals is Isolde's Liebestod, which she sings over
the body of Tristan prior to her own death. Hester's final aria and
her subsequent death parallel Isolde's final scene and reveal further
Wagnerian influences in this opera.

154
The temporal structure and the simplified, emotional content of the
operatic plot have remained constant. Traditionally, the action is
advanced through a series of dramatic segments, set to recitative or one
of its variants, which alternate with moments of lyric introspection.
Efforts to create a concurrent flow of dramatic and musical development
have produced two musico-dramatic techniques: The ensemble and the aria
substitute. Successful use of these methods creates simultaneous develop¬
ment of drama and music; however, underneath, the basic alternating
temporal structure exists.

155
Notes
“'■R. S. Crane. "The Concept of Plot," The Theory of the Novel, ed.
Philip Stevick (New York: The Free Press, 1967), p. 141.
^Jackson Barry. Dramatic Structure (Berkeley: The University of
California Press, 1970), p. 70.
3
This idea has been expressed by various critics, among them
Joseph Kerman, Donald Grout, and Charles Hamm. Hamm's statement is
characteristic: "Distinction between recitative and aria has been
present in opera from its beginnings right up to the present, and the
reasons for the distinction are the same in an opera by Mozart as in one
by Purcell or Verdi or Britten" (p. 125).
^Christoph Martin Wieland. "Essay Concerning German Opera and a
Few Related Subjects," in The Essence of Opera, ed. Ulrich Weisstein (New
York: W. W. Norton, Inc., 1964), p. 121.
5
Grove's Dictionary of Music and Musicians, ed. Eric Blom, (Mew
York: St. Martin's Press, Inc., 1966), 261. Hereafter cited as Grove's.
^Jean-Jacques Rousseau, Dictionnaire du musique (1968; rpt. New York:
Johnson Reprint Corporation, 1969), p. 345. "L'energie de tous les
sentimens, la violence de toutes les passions sont dont l'objet principal
du Drama lyrique."
7
Elaine Brody. Music in Opera: A Historical Anthology (Englewood
Cliffs, Mew Jersey: Prentice-Hall, Inc., 1970 ),p. 125.
^"Jumpin' Opera," Time, LV (June, 19, 1950), p. 51.
%emoirs of Lorenzo Da Ponte, Trans. Elizabeth Abbott (New York:
The Orion Press, 1959), pp. 59-60.
â– ^Walter Damrosch. The Man 'Without a. Country (New York: Frederick
Rullman, Inc., 1937), p. 7.
11
A device of musical imitation used in a fugue to allow overlapping
entrances of subject and answer. See Grove's, III, 19.
12
Hector Berlioz. "Preface to the Opera Faust's Damnation," in The
Essence of Opera, pp. 210-11. The composer argues that without the artistic
freedom to choose famous literary works as subject matter and subsequently
to alter them the world "would thus be deprived of Mozart's Don Giovanni,
whose libretto is Da Ponte's adaptation of Moliere's Don Juan. Nor
would we possess The Marriage of Figaro, whose librettist has hardly
respected Beaumarchais's comedy The Barber of Seville . . . or Gluck's
Alceste, which is a somewhat crude paraphrase of Euripdes' tragedy. The
numerous operas based on Shakespeare's plays would have remained unwritten."

156
-^Anthony Trollope. "The Genius oí' Nathaniel Hawthorne," North
American Review, CCLXXIV (September. 1979), ^03-222. From Trollope's
observation that Hester's desolation "would have been more perfect without
the child," he would not have objected to the absence of Pearl from the
opera libretto. See also F. 0. Matthiessen. American Renaissance (New
York: Oxford University Press, 1968); Roy R. Male. Hawthorne's Tragic
Vision (New York: W. W. Norton and Company, Inc., 1957); Richard Fogle,
Hawthorne's Fiction: The Light and the Dark (Norman: The University of
Oklahoma Press, 1952).
^Barbara Garlitz. "Pearl: 1850-1955," FMLA, T.XXII (September, 1957),
693.
15
Walter Damrosch. My Musical Life (New York: Charles Scribner's
Sons, 1923), p. 116.
-^Hawthorne commented on the idea of his novel as opera: "I saw in
American paper yesterday, that an opera, still unfinished, had been written
on the story of 'The Scarlet Letter,' and that several scenes of it had
been performed successfully in New York. I should think it might possibly
succeed as an opera, though it would certainly fail as a play." "Our Home
and English Notes," The Complete Works of Nathaniel Hawthorne, VIII
(Boston: Houghton, Mifflin and Company, 1890), 125.
l^Ms. Garlitz considers Pearl "an apotheoses of Puritan morality.
She is the hypostatization, in miniature of the Puritan conception of
nature and the notion of the state. Pearl is a symbol of natural liberty,
perverse and willful. She Is as unruly as nature and is therefore unfit
for civil society. Only when these natural qualities are washed away in
Dimmesdale's salvation does Pearl become a responsible human being, ready
for admission into the community of men." p. 329.
1 O
' Gary Schmidgall. Literature as Opera, (New York: Oxford University
Press, 1977 ),p. 10.
-^Thomas Hastings, Dissertation on Musical Taste; or, General
Principles of Taste Applied to the Art of Music (Albany: Websters and
Skinners, ’988), pp. 11-12. Hastings points out, "It is the passions
only that can sing." Lehman Engel also observes: "Opera is a hemorrhage
of feeling to the exclusion of almost everything else" (p. 59).
PD
George Bernard Shaw. "The Tone Poet," in The Essence of Opera,
p. 261.

CONCLUSION
The librettist as adapter or middleman standing between the original
literary source and his new libretto faces contradictory demands: to
remain faithful to the original and to organize the material for opera¬
tic treatment. A few librettists skirt the dilemma by avowing their
intentions to depart deliberately from the source material and to create
their own original work. However, in these librettos, e.g. MacKaye's
Rip Van Winkle, some hint of the original story remains. Lost librettists
confront the problem by recreating the original in operatic terms. To
prepare fictional materials for the operatic stage requires simplification
of the original, a process which precludes total fidelity. In the most
faithful adaptations, e.g. Piper's The Turn of the Screw and Elmslie's
Washington Square, variant readings, subtleties of characterization, and
ambiguities are toned down or, in some instances, omitted. In addition
to the simplification of the original, the librettist faces a second
restriction upon his attempts at faithful adaptation. He must recreate
the material within a structure which permits both dramatic continuity
and musical expansion.
"'he musico-dramatic structure of the opera libretto presents a
fundamental movement alternating between dynamic moments of dramatic
action and static periods of lyric introspection. This structural
dichotomy is inherent in the libretto. Most clearly seen in the classic
structures of Gluck and the Romantic forms of Donizetti and the early
Verdi, this basic alternating structure exists not only in the continuous
operas of Wagner and of the late Verdi but also in the twentieth-century
"recitative operas" of Britten and Krenek.

158
In fiction, narrative and dialogue express the dynamic, on-going
moments. Specific actions related in this manner form the fictional
'scene,' reserved for "an important episode or encounter."^ The reader
in these moments experiences a sense of immediacy, for he is learning
of the actions as they occur.
The next instant, :uick as the flame from a
discharged cannon at night his (Billy Budd's)
right arm shot out, and Claggart dropped to
the deck. ... A gasp or two and he lay
motionless.
"Fated boy," breathed Captain Vere in a
tone so low as to be almost a whisper, "what
have you done! But here, help me." (Melville, p. r,9)
In opera, dynamic sections which advance the story are also presented
through actions and dialogue. The librettist must envision the action
and provide the stage directions in the libretto. Often these actions
will be highly detailed, e.g. pantomime or melodrama, and will be
synchronized to the music. Dialogue presented at these moments advances
the story and is expressed in recitative or in one of its variant forms.
In fiction, the static sections are the object of description. These
moments hold up the forward movement of the story while 1. ) background
description or summary is presented or 2.) a character's thoughts and
feelings are presented directly to the reader through tthe interior
monologue. Such static passages lead "invariably to a sharply defined
scene so planned as to advance and resolve a given situation . . .
(Edel, The Complete Plays of Henry James, p. 64). For instance, Captain
Vere, havipg just heard Claggart's accusation of Budd as a mutineer, is
deeply perplexed as to the best procedure to follow. Finally, he
decides to test Claggart by having him repeat the accusation to Budd.
This decision of Vere's leads directly to the climactic scene in

159
Vere's cabin. In opera, similar moments of dramatic inertia also
permit characterization. The aria, a major musico-dramatic tool, has
two basic functions. First, like the soliloquy in drama and the interior
monologue in fiction, the lyrics of the aria reveal a character's inner
nature to the audience. In addition, this operatic convention provides
a chief means of allowing musical expansion, a basic requirement of
operatic dramaturgy. The simplified characterizations necessary in
opera librettos are often deepened through effective musical character¬
ization. A second function of the aria further establishes its similarity
to the interior monologue: like its literary counterpart, the aria
anticipates and, in many instances, "spawns future action" (Engel, p. 179).
Claggart's aria both reveals his character and announces his intention
to rid his world of Billy Budd through planned future actions.
In addition to strengthening characterization, the music in opera
provides the librettist with a dramaturgical method unique to opera:
the simultaneous expression by several characters of their individual
emotions. Fiction can only suggest the idea of concurrent events and
characterizations. The county-fair scene in Flaubert's Madame Bovary
offers a well-known example. Spoken drama can present multiple settings
and simultaneous actions. However, when several characters attempt to
speak at once, e.g. in Eugene Ionesco's The Bald Soprano, the result is
chaos. In opera, two ensemble forms provide simultaneity. The "ensemble
of perplexity" presents various responses by a group of characters to
a particular problem which they face. Each character has a distinctive
musical identity which in conjunction with the lyrics he sings expresses

160
his individual attitude and feelings. The "concerted ensemble," in
addition to providing simultaneous characterization, also offers one
means of achieving the concurrent presentation of dramatic action and
musical development. In this ensemble form, dramatic action, character
development, and dialogue are incorporated into a single musical number
and unified by it. The numerous ensembles in Karsavina's The Jumping
Frog of Calaveras County propel the simple story forward and
supply musical interest simultaneously.
The use of American literature as a source material for librettos
has, I believe, resulted in a paradox. Of the sixteen librettos
studied, those based on materials which appear most compatible to
operatic adaptation have resulted in the least successful librettos.
The simple story lines, the small number of characters, and the limited
number of settings in such fiction as "Rip Van Winkle," The Scarlet
Letter, and "The Man Without a Country" have failed to provide satisfactory
adaptations. The intimate, personal quality of these stories may not be
suitable to the overt, passionate world of opera. In each instance,
the librettist added an emotional appeal which did not exist in the
original, e.g. the love interests in Rip Van Winkle and The Man Without
a Country and Hester's suicide in Lathrop's The Scarlet Letter.
On the other hand, those librettos based on materials which seem
least susceptible to simplification have resulted in the most successful
adaptations. The numerous characters and settings in The Wings of the
Dove, the difficult ambiguities in The Turn of The Screw and the philoso¬
phical and moral arguments in Billy Budd were simplified and successfully
subsumed into the musico-dramatic structure of the libretto. The

161
betrayal of human faith and friendship in The Wings of the Dove the
overt, highly emotional dramatic situation in The Turn of the Screw, and
the mythic conflict of good and evil in Billy Budd are essentially
compatible with the dynamic, passionate world of opera.
American literature has proven to be a rich source for operatic
treatment. As Earle Johnson's list illustrates, American authors
from Irving to Steinbeck continue to provide characters and plots
which attract the interests of a number of international librettists
and composers. The introspective nature of many of the characters in
American literature and the often highly dramatic situations in which
they participate offer an appealing' challenge to the librettist
searching for material suitable for operatic adaptation.

162
Notes
^René' Welleck and Austin Warren. Theory of Literature (New York:
Brace & World, Inc., 1956), p. 224.

BIBLIOGRAPHY
Primary Sources: Fiction
Cable, George Washington. The Grandissimes. New York: Charles
Scribner's Sons, 1801.
The Complete Works of Nathaniel Hawthorne. VIII. Boston: Houghton,
Mifflin and Comnany, 1800.
Hawthorne, Nathaniel. The Centenary Edition of the Works of Nathaniel
Hawthorne, I. The Scarlet Letter. Columbus: Ohio State University
Press, 1962.
Twice-Told Tales. Boston: Houghton, Mifflin and Company, 1882.
James, Henry. The American Novels and Stories of Henry James. Ed. F. 0.
Matthiessen. New York: Alfred A. Knopf, 1964.
The Complete Tales of Henry James. 9, 10. New York:
Lippincott Company, 1964.
. "Preface," The Novels and Tales of Henry Janes. XII. New York:
Charles Scribner's Sons, 1908.
. The Wings of the Dove. 2 Vols. Hew York: Charles Scribner's
ssks, im
Melville, Herman. Billy Budd, Sailor (An Inside Narrative). Chicago:
The University of Chicago Press, 1962.
The Works of Herman Melville. X. Standard Edit,ion. London:
Constable and Company, Ltd., 1923.
The Poetical Works of Henry Wadsworth Longfellow. II. Riverside Edition.
Boston: Houghton, Mifflin and Company, 1889.
The Works of Edward Everett Hale. I. Boston: Lit.tie, Brown 4 Compnay, 1918.
The Works of Washington Irving. IX. New York: G. P. Putnam's Sons, 1882.
The Writings of Mark Twain. XIX. Author's National Edition. New York:
Harper and Brothers Publishers, 1903.
Primary Sources: Librettos and Scores
Ayer, Ethan. The Wings of the Dove. Music by Douglas Moore, New York:
Goerge Schirmer, Inc., 1963.
Benet, Stephen Vincent. The Headless Horseman. Music by Douglas Moore.
Boston: E. C. Schirmer Music Comnany, 1964.
163

164
Carlson, Charles Frederick. The Courtship of Miles Standish. Chicago:
Newberry Library, 1958.
. Hester. Chicago: Newberry Library, 1958.
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BIOGRAPHICAL SKETCH
Jack Phillip Moorhead was born on April 1, 1936, in Dayton, Ohio.
In 1958, he graduated BFA from the College-Conservatory of Music of
Cincinnati. In 1961, he received the M.Ed. from Xavier University
in Cincinnati, Ohio, and in 1969 the M.A. from that institution. He
enrolled as a graduate student at the University of Florida in the
fall of 1968. He is married to the former Sondra Joann Showalter and
has two daughters, Stephanie Cecelia (1971) and Kathleen Esther (1975).
He is a public school teacher, presently employed in Ocala, Florida.
172

I certify that I have read this study and that in ray opinion it
conforms to acceptable standards of scholarly presentation and is fully
adequate, in scope and quality, as a dissertation for the degree of
Doctor of Philosophy.
I certify that I have read this study and that in my opinion it
conforms to acceptable standards of scholarly presentation and is fully
adequate, in scope and quality, as a dissertation for the degree of
Doctor of Philosophy.
fa*
Ward Hellstrom
Professor of English
I certify that I have read this study and that in my opinion it
conforms to acceptable standards of scholarly presentation and is fully
adequate, in scope and quality, as a dissertation for the degree of
Doctor of Philosophy.
Reid Poole
Professor of Music
This dissertation was submitted to the Department of English in the
College of Liberal Arts and Sciences and to the Graduate Council, and was
accepted as partial fulfillment of the requirements for the degree of
Doctor of Philosophy.
June 1979
Dean, Graduate School

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