5~79 //£/
APPLICATIONS OF REDUCTIVE ANALYTICAL TECHNIQUES IN THE
PHRYGIAN SETTINGS OF THE ORGELBUCHLEIN
BY J. S. BACH
THESIS
Presented to the Graduate Council of the
University of North Texas in Partial
Fulfillment of the Requirements
For the Degree of
MASTER OF MUSIC
By
Zilei de Oliveira Leite, B.A.
Denton, Texas
May, 1995 5~79 //£/
APPLICATIONS OF REDUCTIVE ANALYTICAL TECHNIQUES IN THE
PHRYGIAN SETTINGS OF THE ORGELBUCHLEIN
BY J. S. BACH
THESIS
Presented to the Graduate Council of the
University of North Texas in Partial
Fulfillment of the Requirements
For the Degree of
MASTER OF MUSIC
By
Zilei de Oliveira Leite, B.A.
Denton, Texas
May, 1995 Leite, Zilei de Oliveira, Applications of Reductive Analytical Techniques in the
Phrygian Settings of the Orgelbiichlein by J. S. Bach. Master of Music, May, 1995, 116 pp., 110 illustrations, bibliography, 70 titles.
This study aims to two problematic aspects of the Phrygian mode: a. the
development of a harmonic pattern at the cadence that differs from that of the other modes
and of the major and minor modes as well; b. the observation that the Phrygian scale
inverts all of the intervallic properties of the Major scale. The result of these two
observations is that when the reductive techniques of Heinrich Schenker are applied in the
Phrygian repertory, melodic and harmonic properties are brought into conflict with each other. However, application of alternative models of the Ursatz developed by Lori Burns has certain benefits for demonstrating musical properties in the Phrygian repertory. ACKNOWLEDGEMENTS
The completion of this thesis would have been impossible without my God-given
health and mind.
The professional skills and humanistic characteristics of my major professor and
advisor, Dr. Graham Phipps, in the achievement of this thesis cannot be overestimated.
On the one hand, his suggestions and opinions have always been of the highest level of professional enlightenment; his guidance has always been directed in a patient and understanding manner. On the other hand, his readiness to hear my own opinions has encouraged me and helped me build confidence in my scholastic development.
I also would like to thank the other members of my committee, Dr. Paul Dvorak and Dr. Jana Saslaw, who graciously gave me their valuable expert opinions and advice towards the completion of this study.
Finally, I would like to express my gratitude to a very special person in my life, who has been the main support to all my endeavors. Mary Zeline Winsett not only came to my rescue several times when I needed financial support but also has been a constant source of encouragement both moral and intellectual. Her devotion to me and my work has seen me through the toughest challenges.
111 TABLE OF CONTENTS
ACKNOWLEDGEMENTS iv
TABLE OF CONTENTS v
LIST OF FIGURES vii
LIST OF TERMS xiii
INTRODUCTION 1
CHAPTER ONE - PRELIMINARY REMARKS 13
Cadences with Two Voices 13 Cadences with Three Voices 14 Considerations about the Phrygian Scale IB Alternative Models for the Ursatze in the Phrygian Mode 24
CHAPTER TWO - ANALYSIS OF THE PHRYGIAN SETTINGS IN THE ORGELBUCHLEIN 32
Lob sei dem allmachtigen Gott (BWV 602) 33 Melodic Properties 33 A Closer Look at the Prelude Setting 37 Christum wir sollen loben schon (BWV 611) 43 Melodic Properties 43 A Closer Look at the Prelude Setting 47 Christus, der uns selig macht (BWV 620) 57 Melodic Properties 57 Further Melodic Aspects of this Melody 61 A Closer Look at the Prelude Setting 65 Da Jesus an dem Kreuze stund (BWV 621) 74 Melodic Properties 74 A Closer Look at the Prelude Setting 76
CHAPTER THREE - CONCLUSION 92
iv APPENDIX A - FOREGROUND OF EACH PHRYGIAN CHORALE COVERED IN THIS DOCUMENT IN ITS ENTIRETY 95
Lob sei dem allmachtigen Gott (BWV 602) 96 Christum wir sollen loben schon (BWV 611) 97 Christus, Der uns selig macht (BWV 620) 98 Da Jesus an dem Kreuze stund(BWV 621) 99
APPENDIX B - COMPLETE SCORES FOR THE PHRYGIAN SETTINGS COVERED IN THIS DOCUMENT 100
Lob sei dem allmachtigen Gott (BWV 602) 101 Christum wir sollen loben schon (BWV 611) 103 Christus, Der uns selig macht (BWV 620) 106 Da Jesus an dem Kreuze stund (BWV 621) 108
BIBLIOGRAPHY 110 LIST OF ILLUSTRATIONS
Figure Page
1. Division of the modal scale 1
2. Modal scales that provided major triads on I 3
3. Modal scales that provided minor triads on i 3
4. Absence of harmonic link between the boundary tones of a Phrygian Ursatz .... 6
5. Schenker's viewpoint regarding the boundary tones in the Ursatz 7
6. Structural design of the Phrygian scale 7
7. Possible fundamental lines according to Schenker 9
8. Pitch registers 11
9. Cadences on C, D, F, G and A 13
10. Cadence on £ 14
11. Phrygian cadences 14
12. A third voice added to the two-voice cadential pattern 15
13. Dunstable, Beata mater ...15
14. Ockeghem, Ma maitresse 16
15. Application of the Burgundian pattern 17
16. Harmonic interpretation of the Phrygian cadence 18
17. Comparison between E-major and E-Phrygian 19
18. Cadential drive in the major and Phrygian modes 21
VI Figure Page
19. Cadential closure both in major and Phrygian modes 23
20. "Plagal of plagal" relationship 23
21. Bach, Dies sind die heil'gen zehn Gebot (BWV 298) 25
22. Phrygian bass elaboration, an articulation of the subdominant triad 26
23. PH-IV 26
24. PH-IV paradigms 27
25. Nested plagal relation 28
26. A more intricate elaboration of the PH-IV progression 28
27. PH-LN and PH-UN paradigms 29
28. PH-VI paradigms 30
29. Different harmonizations for the 3-Zug (g1,/1, e') 31
30. Phrase 1 34
31. BWV 704, opening phrase 35
32. BWV 704, closing phrase 35
33. Phrase 2 35
34. Phrase 3 36
35. Phrase 4 36
36. BWV 602, phrase 1 38
37. BWV 602, phrase 2 39
38. BWV 602, phrase 3 40
39. BWV 602, phrase 4 40
vii Figure Page
40. BWV 602, middleground 42
41. BWV 602, background 42
42. Phrase 1 43
43. Phrase 2 44
44. Phrase 3 45
45. Phrase 4 45
46. Emphasis on/7 46
47. Emphasis on e' 46
48. Comparison between phrase 1 and 4 47
49. N°56 from The 371 Chorales of J. S. Bach 48
50. BWV 611, phrase 1 49
51. BWV 611, phrase 2 51
52. First harmonic support for 3 52
53. Second harmonic support for 3 53
54. BWV 611, phrase 3 53
55. BWV 611, opening of phrase 4 54
56. BWV 611, closing of phrase 4 55
57. BWV 611, middleground 56
58. BWV 611, background 56
59. Phrase 1 57
60. Phrase 2 • • 57
viii Figure Page
61. Phrase 3 58
62. Phrase 4 59
63. Phrase 5 59
64. Phrase 6 60
65. Phrase 7 60
66. Phrase 8 60
67. A metric analysis of the text 62
68. BWV 620, comparison among the eight phrases 63
69. Bach, Canon Perpetuus super thema regium 66
70. Harmonic support for 5 67
71. Harmonic support for 4 67-68
72. Prolongation of the A-minor triad 68
73. Second harmonic support for 4 69
74. Harmonic support for 3 70
75. The "mild surprise" 71
76. Harmonic support for scale degrees 2 and 1 72
77. BWV 620, middleground 73
78. BWV 620, background 73
79. Phrase 1 74
80. Phrase 2 74
81. Phrase 3 75
ix Figure Page
82. Phrase 4 75
83. Phrase 5 76
84. Cross-relation 1 76
85. Cross-relation 2 77
86. Cross-relation 3 78
87. Cross-relation 4 78
88. Cross-relation 5 79
89. Cross-relation 6 79
90. Cross-relation 7 80
91. Scheidt, XII. Psalmus ~ 2. Versus a 3 Voc. - Choralis in Tenore 81
92. Scheidt, XII. Psalmus — 3. Versus, Bicinium. Choralis in Cantu 81
93. Schein, Da Jesus an dem Kreuze stund 82
94. Schein, Vorige Melodey / in Contrapuncto 83
95. Lack of G as the harmonic support for 3 84
96. BWV 621, harmonic support for 3 85
97. BWV 621, harmonic support for 4 86
98. BWV 621, harmonic support for 3 and ^ 88
99. Chromatic elaboration in the progression from VI tovii 89
100. BWV 621, harmonic support for ^ and 1 • • 89
101. BWV 621, middleground 91
102. BWV 621, background 91
x Figure Page
103. BWV 620, secondary dominant in the background structure 94
104. Unfolding of the iv chord in a mirrored scale 94
105. Harmonies resulting from the contrapuntal forces within the Phrygian mode .... 94
106. BWV 602, complete foreground 96
107. BWV 611, complete foreground 97
108. BWV 620, complete foreground 98
109. BWV 621, complete foreground 99
110. BWV 602 101
111. BWV611 103
112. BWV 620 106
113. BWV 621 108
XI LIST OF TERMS
Following is a list of terms, knowledge of which is of advantage for the reader in
facilitating a smoother understanding of the topics presented in this study:1
• Auskomponierung - composing-out; horizontal unfolding of the tonic chord in the
span of a composition.
• Bassbrechung - bass arpeggiation in the sense of I - V -1 of the fundamental
structure in the tonal repertoire; in this study, new ways of bass
arpeggiation will be explored for the Phrygian mode (i.e.: VI - vii - f).
• Kopfton - the primary tone (either 8, 5 or 3), which begins the descending line of
the Urlinie.
• Stufe - literally "scale step." Degree of the scale that has been accorded functional
significance in the context of a given composition.
• Teiler - divider. This term may be used in the sense of a divider of an octave,
namely, the fifth, and may also be used in the sense of a divider of a fifth,
namely, the third.
A A A • Urlinie - fundamental line (the upper voice, which descends from either 8, 5, or 3).
• Ursatz - fundamental structure, a progression presenting the ultimate structure of a
'Most of these terms are explained in detail in Allen Forte and Steven E. Gilbert, Introduction to Schenkerian Analysis (New York: W. W. Norton and Company, 1982), Chapter 7, 131-138. Terms not covered in this chapter, such as linear progression are presented elsewhere in the same book.
Xll composition. It includes the Urlinie with the supporting bass underneath.
Zug - linear progression; 3-Zug = linear progression of a third, 4-Zug = linear
progression of a fourth, for example.
Linear pattern (i.e. 10 - 10; 6 - 5) - voice-leading design that consists of
successive recurrent pairs of intervals formed between the outer voices;
these intervals may or may not carry a representative harmonic weight.
XIII INTRODUCTION
Following Glareanus' classification of the modal system,1 music theorists of the
late-fifteenth and sixteenth centuries explained the pitch parameter in music in terms of a
modal system. This system comprised six different octave species that were distinguished from each other by the placement of semitones. Each of the six octave species was further
subdivided in two categories. Harmonic division placed the middle of the scale a fifth
above the first scale degree. Arithmetical division placed the middle of the scale a fourth
above the first scale degree. Figure 1 shows an example of how the d' - d2 scale was
divided both harmonically and arithmetically.
harmonic division arithmetical division
I „ . • o « * ' v—1 "
Figure 1. Division of the modal scale
'Henricus Glareanus, Dodecachordon, translation, transcription and commentary by Clement A. Miller, two volumes (Rome: American institute of Musicology, 1965).
1 Another important feature of modal theory concerned modal ethos — a poetic function of the modes.2 Each of the six modal types entailed a characteristic affection. In other words, the modal scale was not only an abstract set of tonal relationships that would fit in the structural scheme of a musical paradigm, but also each mode carried its own feeling and expression that would reinforce the emotional content of the verbal text.
Words such as agreeable, impetuous, voluptuous, cheerful, were typically used to describe this poetic function.3 In fact, sometimes a single mode was described by a group of terms that contradicted each other. Thus, for example, the Phrygian mode was described by some seventeenth-century writers as sad and by others as charming and pleasant.4
Kirnberger also emphasized the importance of choosing the right mode in order to keep the proper sentiment of dignity, power, nobility, and religion when writing music for the church.5
2Harold Powers, "Mode," The New Grove Dictionary of Music and Musicians, 20 vols., edited by Stanley Sadie (London: MacMillan Publishers Ltd., 1980), XII, 397-398.
3Ibid., 397-399. Powers presents here a detailed explanation of the poetic function of the modes. Following are other sources that can enlighten the reader as to the use of affection (poetic function) in the baroque period: Claude V. Palisca, Baroque Music, 2nd ed. (New Jersey: Prentice-Hall, Inc., 1981), 3-5, 125, 145-146; Donald Jay Grout and Claude V. Palisca, A History of Western Music, 4th ed. (New York: W. W. Norton & Company, 1988), 351; Charlotte Roederer, Alejandro Enrique Planchart, Lowell Lindgren, Gordana Lazarevich, L. Michael Griffel, Faye-Ellen Silverman, Leonie Rosenstiel, Schirmer History of Music, ed. Leonie Rosenstiel (New York: Macmillan Publishing Co., Inc., 1982), 312.
4as cited by Kirnberger from Wolfgang Kaspar Printz (1641-1717) and Johann Heinrich Buttstett (1666-1727) in The Art of Strict Musical Composition, transl. by David Beach and Jurgen Thym (New Haven: Yale University Press, 1982), 322-323.
5Ibid., 333-335. Also see Roederer, op. cit., 416-418. Although, as indicated above, many aspects of the modal system remained in force after 1600, an important new concept of pitch organization appeared at that time. Johann
Lippius introduced a division of the pitch parameter into two categories:6
• Major with three authentic sources: the Ionian, Lydian, and Mixolydian scales (see
Fig. 2).
Ionian Lyd i an Mixolydian
— —e— r 1 =^f 9 r~i • m # 'i\ 'ft 1. » * * —1 Af a jor M a jo Ma jor
Figure 2. Modal scales that provided major triads on I
Minor with three authentic sources: the Dorian, Phrygian, and Aeolian scales (see
Fig. 3).
Dor i an Phrygi an Aeoli an
p-j 9 . • • n M , ^ -W III'" "==l '
Mi nor Mi nor Mi nor
Figure 3. Modal scales that provided minor triads on i
6Joel Lester, "Major-Minor Concepts and Modal Theory in Germany, 1592-1680," Journal of the American Musicological Society XXX/2 (1977), 234. The different quality of scales produced by the varying placement of the semitone in each one of the twelve modes was of importance to Lippius only in that some scales would provide a major triad on the first scale degree, and others a minor triad. Therefore, he classified the Ionian, Lydian, and Mixolydian scales in the first category, and Dorian,
Phrygian, and Aeolian scales in the second category. As a result of this point of view, the notion of modal ethos lost its significance.7
After Lippius, theorists could choose to follow either of the two main streams of teaching:8
• the older belief that there were twelve different modes, differentiated by semitone
placement (modality) and the accompanying modal ethos.
• the more recent theory that there were only two modes, major and minor
(tonality).
The major-minor system proposed by Lippius caught on quickly in both France and England.9 Jean-Philippe Rameau is one of the many theorists who embraced this tonal concept.10 Although Heinrich Schenker differed from Rameau on many issues, he agreed
7A succinct summary of the development from modality to tonality can be found in the entry "Mode," Harvard Dictionary of Music, 2nd edition (Cambridge: Harvard University Press, 1969) edited by Don Michael Randel.
8Palisca, op. cit., 108. The new counterpoint intertwined with the practices of the old one; also see Grout, op. cit., 353-354.
tester, op. cit., 252. Also see Palisca, op. cit., 6.
10A tangible proof of this fact is his Treatise on Harmony, transl. with an introduction and notes by Philip Gossett (New York: Dover Publications, Inc., 1971). on one important point: the modal system had become obsolete and was of no use for the evaluation of eighteenth- or nineteenth-century music. As Schenker puts it,
... (liturgical) settings ... by Bach offer only a superficial tribute to the lingering Phrygian system which musicians still believed in. In these settings, the Phrygian system was suggested, indeed almost required, by the final note. However, the latter is correctly understood as the third of the tonic chord in the major mode."
As this quotation shows, Schenker perceived modality as an incomplete or incipient system that reached its perfection only when it became tonality.12 Schenker's prejudice against the modal system presents some problems for today's music theorist if he wishes to apply the Schenkerian method in the Phrygian repertory of eighteenth-century music. The problem is neatly summarized by David Schulenberg. On the one hand, he points out:
it is important to note that the medieval conception of intervals, at least at the outset of modal theory, was purely melodic. The notes forming these intervals, moreover, should be understood as pitches occupying definite registers, not pitch-classes ... a modal musical space, although defined principally by the perfect consonances outlined in a melodic line, is not necessarily the same as the prolongation of the boundary tones of those intervals.13
nHeinrich Schenker, Free Composition, Volume HI of New Musical Theories and Fantasies: Der Freie Satz, translated and edited by Ernst Oster (New York: Longman Inc., 1979), 95.
12Idem, Harmony, volume I of New Musical Theories and Fantasies: Harmonielehre, ed. and annotated by Oswald Jonas, transl. by Elisabeth Mann Borgese (Chicago: University of Chicago Press, 1954), 57-59.
l3David Schulenberg "Modes, Prolongations, and Analysis," The Journal of Musicology IV/3 (1985-1986), 306. The PH-VI progression discussed in Chapter I is an application of this theory. This explanation might be illustrated by the melody and bass lines shown in Figure 4.
3 2 1
c is not a prolongation of the final harmony
# VI VII I
Figure 4. Absence of harmonic link between the boundary tones of a Phrygian Ursatz
On the other hand, for tonal music, the concept of prolongation is essential in
Schenker's theory:
... in Schenker's own analyses the principle of prolongation is inextricably associated with the special properties of harmony and musical space in tonal music. A prolonged tone in an analytical sketch always has harmonic support; that is, it must be part of a harmonically functional triad. At the level of the Ursatz, the directed motion or progression from one scale step (Stufe) to the next is at least partly the product of its harmonization by the underlying arpeggiation in the bass (Bassbrechung), which expresses the harmonic progression I - V -/.... it is obvious that these conditions are absent in medieval polyphony .. ,14
In contrast to the two-voice framework shown in Figure 4, Schenker's explanation requires the framework shown in Figure 5.
14Ibid, 316. 3 2 1
O r\
=3=
i v I
Figure 5. Schenker's viewpoint regarding the boundary tones in the Ursatz
The normative cadence points for the modes are scale degrees 1, 3, and 5. Such is not the case for the Mixolydian or the Phrygian scales.15 The Phrygian mode offers a special problem that does not permit it to be included in the minor-third mode repertory as suggested by Lippius. This mode does not offer any flexibility as far as chromaticizing its scalar tones; if any note of the Phrygian scale is changed, the scale loses its property.
Figure 4 shows the structural design of the Phrygian scale.
A. r> " - / L-Sjliz & -Li- ^ •< / \ y \ / \ semitone tone tone tone semitone tone tone
Figure 6. Structural design of the Phrygian scale
15Lori Anne Burns treats this topic in detail on her dissertation "J. S. Bach's Chorale Harmonizations of Modal Cantus Firmi," (Ph. D. dissertation, Harvard University, 1991). In the Phrygian mode, the cadence points fall on the first, fourth, and sixth scale degrees, C (the sixth scale degree) being the reciting tone.16 The paradigms developed by
Schenker do not fit within this modal melodic/contrapuntal apparatus. Schenker's background model of the Ursatz does not focus on modal aspects that occur in the
Phrygian repertoire because, in terms of his strategy, the fifth scale degree cannot play a formative role in the background harmonic structure and, accordingly, cannot be used to support the UrlinieIn his conception, well composed music is Auskomponiert18 -- i.e., the tonic triad manifests itself in a horizontal form.19 This phenomenon is generated by a bass arpeggiation (Bassbrechung) from I to V and back to I sometimes intercepted by III set in counterpoint by a descending melodic line. This fundamental line may descend either from scale degree 3, 5, or 8 (see Fig. 7).
16Harold Powers gives a detailed explanation of the Phrygian properties in "Mode," The New Grove Dictionary of Music and Musicians, ed. Stanley Sadie, (London: MacMillan Publishers Ltd., 1980), XII, 411-412.
17Allen Forte and Steven E. Gilbert, Introduction to Schenkerian Analysis, (New York: W. W. Norton and Company, 1982), 131-132. In this chapter the authors explain the basic axioms pertaining to the Schenkerian theory. They refer to this particular matter when discussing "Models of Fundamental Structure."
18Oswald Jonas, Introduction to the Theory of Heinrich Schenker, 2nd ed. translated and edited by John Rothgeb, (New York: Longman Inc., 1982), 37-39. Jonas devotes the second chapter, section I of his book entirely to the discussion of this subject.
19Ibid, 11. "... the triad is transformed from a spatial into a temporal entity." 8 7 6 5 4 5 4 -6>-
$ s- -&• -&• -e- -& -G- I I I V I I I
Figure 7. Possible fundamental lines according to Schenker
According to Schenker's Ursatze, tonic can only drive toward dominant and then return to tonic. A problem arises when one tries to apply this theory to a Phrygian melody, since its fifth scale degree will support only a diminished triad. This may well be one of the reasons that Schenker did not believe in the legitimacy of church modes as fully developed scales.
The intent of this thesis is to examine Schenker's tonal theory as a strategy for analyzing the Phrygian chorale settings from J. S. Bach's Orgelbiichlein. Consideration will be given to the following factors:
• Melodic characteristics.
• Harmonic/Contrapuntal characteristics.
• Comparison between traits of the pieces which are being examined and other
settings arranged either by Bach or other composers not necessarily belonging to
the same period.
Although the method I will use in this study is derived from the theoretical
procedures of Heinrich Schenker, some new concepts in terms of Urlinie and Ursatz will
be introduced in order to apply his system to the modal vocabulary. 10
There are four Phrygian chorale settings in the Orgelbuchlein: Lob sei dem allmachtigen Gott (BWV 602), Christum wir sollen loben schon (BWV 611), Christus, der uns selig macht (BWV 620), and Da Jesus an dem Kreuze stund (BWV 621).
Of the 250 organ works by Bach, more than two thirds are based on chorales. He composed the Orgelbuchlein between c 1713-1717 when he was in Weimar. The
Orgelbiichlein is a collection of 46 preludes, most of which in the form of a melody that is stated once in its entirety,20 either ornamented or unadorned. Ornamentation and harmonic treatment serve either to depict the individual words or to intensify the mood of the text.
While Bach added some features of minor-mode tonality when harmonizing these chorales, he retained some of their modal properties. Part of the analytical approach in this thesis will be to examine the relation between modal and "tonal" traits.
For the convenience of the reader, notational conventions of this document may be summarized as follows:
1. Taking the middle C notated as a c7, the pitches are arranged as Figure 8 shows.
20Palisca, op. cit., 212-213. An innovation in itself according to the custom of his predecessors, who would write longer chorale elaborations in the form of several variations. 11
5-1i ne four-1i ne r . three-! i ne $ - - : two-1 i ne ' -&•' -O- -Q- one-1 ine 1 — — 1* -&l b1 b2 c3 b3 c4 b4 c5
a C B c b 2 1 ®1 C a u -J. Q G—
smal 1 8 great sub-cont ra con^ra
Figure 8. Pitch registers
2. Italicized capital letters refer to pitch-classes that can appear in any octave.
3. All musical examples make use of italicized numbers above the top staff; these
numbers identify the number of the measure in the original score.
4. Caretted numbers are used to indicate scale degrees according to the usual
Schenkerian convention.
5. Roman numerals are always used in an upper-case format (whether or not they
represent a major or minor harmony), when labelling the Stufen (harmonies treated
as scale steps21) within the Ursatz graph also according to the usual Schenkerian
convention. Otherwise, within the descriptive text, major and minor harmonies
will be represented by upper- and lower-case roman numerals, respectively.
21Heinrich Schenker, Five Graphic Music Analyses, photographic reprint of Fiinf Urlinie-Tafeln, with an introduction by Felix Salzer (New York: Dover, 1969), 24. Also see idem, Harmony (Chicago: University of Chicago Press, 1954), 133-153 for more information on the theory of scale steps (Stufe). 12
6. Cardinal numbers between the lower and upper lines of the grand staff show the
linear intervallic patterns between the outer voices.
7. Crossed arrows represent voice exchange.
8. The movable-Jo system of notation will be used when referring to the notes of the
Phrygian scale, assuming that do is the tonic to the major scale represented by the
key signature being used. Thus, the tonic of the Phrygian scale will be called mi;
the second scale degree,/a; the third scale degree, sol; the fourth scale degree, la;
the fifth scale degree, ti; the sixth scale, do; and the seventh scale degree, re. CHAPTER ONE
PRELIMINARY REMARKS
Cadences with Two Voices
In the fourteenth century, cadences commonly appeared on all pitches except B.
Cadences on C, D, F, G, and A usually had the arrangement that combined an ascending semitone in one voice with a descending whole tone in the other voice1:
4a- $ —zr
Figure 9. Cadences on C, D, F, G, and A
As shown in Figure 9, the F and C cadences accomplish this cadential pattern without the help of musicaficta. The E cadence, by contrast, combines an ascending whole tone with a descending semitone:
'Oliver Strunk, Source Readings in Music History From Classical Antiquity through the Romantic Era (New York: W. W. Norton & Company Inc., 1950), 205-218. A complete and detailed discussion on all cadences as perceived by Pietro Aaron (1490- 1545) is surveyed in chapter 25. Also see Pietro Aaron, Toscanello in Music, Book II, transl. by Peter Bergquist (Colorado Springs: Colorado College Music Press, 1970). This is actually the primary source where Pietro Aaron discusses in detail the nature of cadences among other basic theoretical aspects.
13 14
Figure 10. Cadence on E
This type of cadence can, of course, also appear on D and A by means of lowering the descending note, so that the semitone appears in the lower voice. Such cadences, that conform with the E cadence pattern, are considered to be Phrygian cadences:
\k> V -S-
Figure 11. Phrygian cadences
Cadences with Three Voices
In the fourteenth century, a third voice, the counter-tenor, was added to the two- voice pattern. This voice was located a major third above the lower pitch of the major
sixth and resolved upward by semitone to form an ® sonority. The addition of this third
voice provided one more half-step resolution (another tendency tone) to the already
existing one in the cadences on C, D, F, G, and A. But, again, a different condition
occurred on the cadence ending on E. There was an extra whole-step resolution in this
mode (see Fig. 12). 15
n O life o II jtt lis III «
Figure 12. A third voice added to the two-voice cadential pattern
The following example from the motet Beata mater by John Dunstable2 (c. 1390-
1453) shows a double leading-tone:
cantus i
contra- tenor
tenor
Figure 13. Dunstable, Beata mater
At this time, the contrapuntal relation between the three lines was determined solely by voice-leading procedures. There was no attempt to explain these relations in terms of harmony.
2Manfred F. Bukofzer ed., John Dunstable Complete Works, Musica Britannica VIII (London: Stainer and Bell, 1953), 110. 16
During the fifteenth century, the Burgundian school came into existence. This new trend dealt with the same three voices of the currently-used cadence with one particu lar difference: the third voice added between the tenor and cantus, namely, the countertenor, moved from its place above to a region below the tenor. This event took place one note before the resolution of the cadence. The note the countertenor used below the tenor anticipated the fifth in the final ® sonority ~ but in the lower octave.3 The virelai Ma maitresse by Johannes Ockeghem4 (1410/20-1497) provides an example of such cadence:
f UfjJl r
U ,tj f
Figure 14. Ockeghem, Ma maitresse
This procedure was applied in cadences ending on all notes except E.
Application of the Burgundian pattern in E cadences was not possible, according to precepts of the day, because the countertenor would have had a diminished fifth above it
3Such an anticipation would provide a basis for a strong common-tone link in the harmonic theory that was soon to come.
4Archibald Thompson Davison and Willy Apel, Historical Anthology of Music, Oriental, Medieval and Renaissance Music, vol. 1, revised edition (Cambridge, Massachusetts: Harvard University Press, 1972), 78. 17 on the penultimate "chord." Thus in the fifteenth century, in all cadences except those on
E, the counter-tenor began to act as the bass note of a ^ sonority, undoubtedly, the source of what was later to be called a V -1 (i) resolution in the later "tonal" practice (see Fig.
15).
=#2=
dimini shed fifth j9- n zzz m G c A D c F D G E A
[V / ] [ V / 1 [V / ] [V / 1 iv n
Figure 15. Application of the Burgundian pattern
In the fourteenth century, the countertenor appeared between the other two voices; it had only a contrapuntal role, that of a second tendency tone toward the fifth of the cadential resolution. When the cadence on E was incorporated in the Baroque period, it was given a harmonic connotation of a progression from a minor subdominant to a dominant, and the "final" was reinterpreted as dominant harmony.5
5David Schulenberg discusses this matter in his article "Modes, Prolongations, and Analysis," The Journal ofMusicology IV/3 (1985-1986), 319. 18
Figure 16. Harmonic interpretation of the Phrygian cadence
This new harmonic interpretation set the cadences on E apart from those on the other pitches. Thus, especially in the case of the E cadence, harmonic principles were confused with contrapuntal ones. One thing is important in all this development: the new bass (i.e., the Burgundian counter-tenor) was not intended originally to be a part of the basic cadential resolution. That resolution was considered to be either a minor third closing into a perfect unison, or a major sixth resolving into a perfect octave. As a result of the intervention of harmonic thinking, in the modern eyes, the Phrygian cadence began to be considered a half-cadence.
Considerations about the Phrygian Scale
The Phrygian scale may be explained as the mirrored realization of the major
(Ionian) scale, an idea developed by the nineteenth-century theorist Arthur von Ottingen.6
According to late eighteenth-century theorists, Kirnberger for example, the major scale is
6Matthew Shirlaw, The Theory of Harmony (Illinois: Dr. Birchard Coar, 1955), 385- 387. 19 generated by nature; it springs from the series of harmonic overtones.7 As a corollary to this principle, the formation of chords is also a natural phenomenon that is generated upward from the fundamental tone. The Phrygian scale, on the other hand, was explained by von Ottingen as an artificial scale, man's imitation of nature. Comparison between
Phrygian and major scales is shown in figure 15.
major (generated upward) Phrygian (generated downward)
1 2 3 4 5 6 7 8 7 6 5 4 3 2 a II" -t-
t e^I er teiler
Figure 17. Comparison between E-major and E-Phrygian
Although the Phrygian scale may be explained in melodic terms as an inversion of the Major scale, the harmonies that it produces must be evaluated in the same upward direction as those of the Major scale. Thus there arises a conflict between melodic and harmonic explanations of the Phrygian mode. In summary:
• In the major mode: The Dominant is found on the way up, intercepted by a teiler.
The fifth scale degree happens to be a common tone to the tonic and dominant
triads, since I springs upwards. This makes the V a very strong chord. That
7Jean-Philippe Rameau, Treatise on Harmony, Book One (New York: Dover Publications, Inc., 1971), 3-4. Rameau actually devotes one half of his work (Books I and //) to a detailed discussion of properties of sound and chords. 20
common tone could be considered as an "umbilical cord" that will carry a close
relation to its source. The V chord is the ultimate wandering of the harmonies
within the key before it finally returns to its "home base," I. Even having gone
astray so far from I, the V chord carries a strong connection to it: the common
tone.
• In the Phrygian mode: Here, the "dominant"8 is still found a perfect fifth away
from the tonic, but it falls on the fourth scale degree since the scale projects the
intervallic structure of the major mode only in a downward direction. This
"dominant" is also intercepted by a teiler, VI. But the analogy with the major
mode cannot be pressed further. The formation of chords is governed by different
logic, in an upward direction.9
With these things considered, one will easily see that having changed the natural course of the scale creates a situation in which harmony and counterpoint (another nature- given harmonic phenomenon) will not work together hand-in-hand as in the major mode.
When one considers the harmony generated on I and /V of the Phrygian mode, one realizes that the strong connection between the root of V and the fifth of I (in the major mode) does not exist between the root of IV (la) and any of the components of the tonic
8I am referring to the dominant below, namely, the subdominant. For this reason the word dominant is being used within quotation marks.
descending implies falling down, resting. This is the opposite of what genei ates sound: energy, propulsion, forward motion, upward. This has everything to do with the law of gravity. In order to generate sound it is necessary to energize, grow. A plant does not grow downwards. 21 triad (mi, sol, ti).10 For this reason, there is not a strong harmonic drive from IV to I in the
Phrygian mode. The correlation between these two chords is not as gravitational as the one between V and I in the major mode. Whereas in the major mode both harmonic and contrapuntal forces compel resolution from V to / (making it a very "strong willed" progression), in the Phrygian mode the harmonic link (a common tone) between IV and I is absent, leaving only an active contrapuntal resolution. Therefore, the cadential drive in the Phrygian mode is much "milder" than in the major (see Fig. 18).
6 5 4 3 2 i . 8 7 6 5 4 3 2 1 rj • JOn 0 „== iiM 11t •' ' U. Q „ $ " " Q » o g —& Major Phrygian 3 I 3 I
i): LL = % - —f Vi r+f — JL —*-B-— *1 -&• /# / V I I VII
Figure 18. Cadential drive in the major and the Phrygian11 modes
Major: harmonic and contrapuntal realizations occur in both outer and inner
voices. There is a double affirmation of a close relation between the two chords
10The opposite occurs though: there is a common tone between the root of the Phrygian tonic and the fifth of the Phrygian IV chord; this results in an inverted perception of the direction of a progression involving these two chords. The tonally-oriented Western ear will be seduced to hear such a progression as i - V (the so-called half- cadence) in a minor key, which shifts tonal emphasis away from the final of the mode.
UI am aware that the voice-leading in the Phrygian example is not correct, but my intention here is only to show the correlation between the two common tones when they exist. 22
involved in this closing progression. In the major mode, the second scale degree
supported by the only available and the strongest root, V, resolves to the first scale
degree, which, in its turn, is supported by not the only choice, but the most
conclusive and final root, / (see Fig. 18).
• Phrygian: here, the harmonic link is not as strong because of the lack of a closer
relationship (a common tone) between the two chords involved in the closing
progression. But the contrapuntal drive still exists. In the Phrygian mode, the
second scale degree also has only one root available to act as a support: vii. Then
it moves down to the first scale degree supported by I, again, not the only choice
as a root, but the most conclusive and final one since it is founded on the tonic
pitch (see Fig. 18).
V -1 (in the major mode) and vii -1 (in the Phrygian mode) belong to the same structural level since they "wind" and "unwind" the harmonic/contrapuntal and melodic activities with the same weight of importance. Furthermore, these progressions are present at all structural levels of a composition (foreground, middleground and background).
So far we have noticed that there is no way by which the Phrygian first and second scale degrees may be linked through a common tone in the supporting harmony; rather, the closest motion must be by neighboring tone, at least in the same structural level that such occurrence takes place in the tonal major scale:12
12Refer to fn. 11 for comments regarding the voice-leading applied in this example. 23
3 2 1
/ v / / VII I
Figure 19. Cadential closure both in major and Phrygian modes
But it is possible for a common tone to occur in a very close subordinate level (a secondary level) budding out from the Phrygian scale degree 1, supported by the iv harmony, which has a common tone to the final f chord (mi) as well as to the vii chord
(la). The result is a plagal relation, not only toward its final I, but also to the preceding vii — a "plagal of plagal" relationship (see Fig. 20).
plagal of plagal
Figure 20. "Plagal of plagal" relationship
The iv chord placed between the vii and / chords may be described more as a result of neighboring tones that will finally settle toward f, their main destination, than as an independent harmony. 24
The fact that a Phrygian melody cannot move a perfect fifth up to the fifth scale degree due to a lack of a stable harmonic support on that note, forces a motion in the other direction: a perfect fifth, this time moving down to the fourth scale degree, whence the triad will have a stable structure.
In comparison with the harmonic gesture from I to V, intercepted by its divider
(Teiler) III in the major mode, the mirrored gesture of the Phrygian mode that goes from I to IV is also intercepted by its own teiler, VI. Such a phenomenon gives room for the strong emphasis on "subdominant" and "submediant" melodic and harmonic events when dealing with the Phrygian melodies.
A A Furthermore, the existence of the half-step between degree 1 and 2 in the Phrygian scale causes a sense of finality when the melodic line reaches scale degree 1 in descending motion. The opposite occurs in the major mode where the half-step occurs between A A degrees 7 and 8, giving, in this case, a sense of closure when the scale ascends to the tonic.
Therefore, the harmonic and melodic forces of the Phrygian scale may be described as properties in mirrored relation to the major scale.
Alternative Models for the Ursatze in the Phrygian Mode
Lori Burns suggests alternative models of the Ursatz that will conform to the natural demands of the Phrygian structure.13 These models contain "plagal" structures that do not correspond to any Schenkerian model. Furthermore, Burns devises a unique
l3Lori Anne Burns, "J. S. Bach's Chorale Harmonizations of Modal Cantus Firmi." (Ph. D. dissertation, Harvard University, 1991). 25 analytical notation with symbols that emphasize characteristic modal phenomena. Both in the Phrygian and Mixolydian modes, one will find departures from tonal prototypes that extend into the different structural levels of analysis. Figure 21 shows an Ursatz model realized from her analysis of the Mixolydian chorale Dies sind die heil'gen zehn Gebot
(BWV 298)14: p
:= ±=5=:
MX- IV MX-Pt
Figure 21. Bach, Dies sind die heil'gen zehn Gebot (BWV 298)
Although it employs Schenkerian procedures, this model does not conform to the traditional Schenkerian approach because the Urlinie does not begin from the fifth scale degree.15 Another unusual feature of the Mixolydian mode is the use of b1 -flat in this particular Urlinie.
The Phrygian bass elaboration cannot be an ascending fifth progression, an articulation of the tonic triad. Instead, it is articulated with a descending fifth progression,
14Idem, "J. S. Bach's Chorale Harmonizations of Modal Cantus Firmi," Vol. II: Examples, Analytic Sketches and Appendices, sketch III-4,29.
15Burns, op. cit. For a detailed explanation on the symbolic notation underneath the sketch please refer to her third chapter, The Mixolydian Mode, where Burns extrapolates all the aspects of this mode. 26 in this case, a rendition of the subdominant triad, having the submediant do16 as a divider
(Teiler):
m
Figure 22. Phrygian bass elaboration, an articulation of the subdominant triad
Burns epitomizes this relation between the Phrygian final and its fourth degree, A, with the label PH-IV (see Fig. 23).
PH-IV
Figure 23. PH-IV
Again, this event occurs not only in the foreground, but also in the middleground and background. There are several contrapuntal settings that help support Burns's basic model. Figure 24 shows some paradigms from her work:17
16I am using the movable-do system of notation. Refer to the list of notational conventions of this document at the end of the Introduction.
"Terms in the discussion are borrowed from Burns's explanations. 27
a) b) c) 5 I 5
Figure 24. PH-IV paradigms
Figure 24a shows the Kopfton 5, b1, embellished by an upper neighbor, c2, supported by a Phrygian PH-IV progression in the bass. Figure 24b is a little more elaborate. Kopfton 5 is prolonged by an upper neighbor, c2, which in its turn has its own prolongation to a harmonic skip, a1, through a passing tone, bl. Such prolongation may also be referred to as a 3-Zug c2 -b1 - a1. This 3-Zug is supported by an arpeggiated fifth progression in the bass, A- e - a. The e in the middle of this progression has a double function: first, it is a dominant of a; then it returns as the Phrygian tonic.18 Figure 24c is even more intricate. This example of a "plagal-of-plagal" progression (shown in the
A j . example with a letter p) is a common gesture in the Phrygian model. The Kopfton 5, b , is prolonged by an upper neighbor, c2, which also has d2 as its own upper neighbor.
Meanwhile, the bass progresses from a to d to A. The d has a plagal function toward a,
,8An application of this sample can be found in Lob sei dem allmachtigen Gott (BWV 602) in Chapter Two. 28 which in its turn also has a plagal function toward the Phrygian final E. This bass progression portrays a nested plagal relation19 of E - A-E and A-D - A (see Fig. 25):
\**=\ 9 1 5=
Figure 25. Nested plagal relation
Figure 26 shows a more intricate elaboration of the plagal relation discussed in
Figure 25. The PH-IV progression in the bass anchors a descending Phrygian tetrachord
e2 - d2 - c2 - b', b' being the Kopfton 5. The Urlinie continues immediately after, with
another descending 4-Zug that departs from the scale degree 4, a1 - gl -f1 - e1. This 4-
Zug is harmonized by a plagal progression on A :
5 4
6 J p. P • » » 11
1 t 0 9 g* 3 PH-IV =#
PH-IV
Figure 26. A more intricate elaboration of the PH-IV progression
19The setting for Christum wir sollen loben schon (BWV 611) in Chapter II, offers a good example of an applied multiple nested plagal relation occurring in the second and third phrases of the same. 29
Another important and pertinent feature to the Phrygian mode is the "Phrygian" cadence, i - vii - i, where one can see the final E embellished by both upper and lower diatonic neighbors. Burns refers to these features as the "Phrygian Lower Neighbor" (PH-
LN) and the "Phrygian Upper Neighbor" (PH-UN). The PH-LN progression indicates the whole-step lower neighbor E - D - E while the PH-UN progression indicates the half- step upper neighbor E - F - E (see Fig. 27).
b) a) PH-LN PH-UN
PH-UN PH-LN
Figure 27. PH-LN and PH-UN paradigms
This i - vii - i idiom is often extended into a VI - vii - i expression in Phrygian cadences. Burns labels such progressions as PH-VI. Figure 28 shows examples of different situations where the PH-VI progression can be found: 30
aK *>), cl dl 3 3 3-Zug 5-Zu« 3-Zu 3-Zug j fz -j • i 4-Zug HI
PH-VI mPH-V I PH-VI PH-IV
Figure 28. PH-VI paradigms
Such progressions are unconventional in Schenkerian analysis. The lower third that prolongs the final e in the bass does not support the E-minor harmony implied by the two upper voices (see Fig. 28a). In other words, the initial note in the bass ascent is dissonant with the concluding E-minor harmony.20 As Figure 28b shows, the PH-VI progression reinforces the subdominant side of the Phrygian mode. It supports the outlining of the A-minor triad with a plagal bass arpeggiation, e - A- c - e. In Figure 28c, the Kopfton 3 receives harmonic support of PH-VI in a C-major context; the c in the bass is prolonged by its plagal subdominant,/ while the soprano is embellished by an upper neighbor, a1. The Kopfton descends, then, in a 3-Zug while the PH-VI reaches its destination, the final e. Figure 28d shows the PH-VI being interrupted by the a in the
20This situation has been discussed in the introduction with two definitive statements quoted from David Schulenberg. 31 bass, which is a plagal embellishment of the final e. Despite this interruption the PH-VI still remains intact at a higher level.21
This unconventional application of Schenker's theory, pertinent to the PH-VI progression, reaches the highest structural level of Phrygian melodies, namely the Ursatz-
The PH-VI is one of the ways the Phrygian descent from 3 can be harmonized. Such occurrence is demonstrated in figure 21a. Figures 29b and 29c show two further ways of harmonizing the same descent, through the PH-LN (b) and the PH-P (c):
PH-VI PH-LN PH-P
Figure 29. Different harmonizations for the 3-Zug (g
21An application of this paradigm can be verified in the background sketch of Lob sei dem allmachtigen Gott (BWV 602) in Chapter II. CHAPTER TWO
ANALYSIS OF THE PHRYGIAN SETTINGS
IN THE ORGELBUCHLEIN
Each one of the four Phrygian settings in the Orgelbiichlein presents a single feature, among the general modal characteristics pertaining to all of them, that sets it apart from the other three. These individual features may be summarized as follows:
• Lob sei dem allmachtigen Gott (BWV 602) presents more particular modal
characteristics at the foreground level only in the second half of the setting
(phrases 3 and 4).
• Christum wir sollen loben schon (BWV 611) presents a harmonic/melodic
structure that sets the first phrase apart from the remaining three. The first phrase
functions as an introduction.
• Christus, Der uns selig macht (BWV 620) presents an unusual harmonic
progression towards the closing of the piece. The subdominant, usually an
intermediate harmony between vii and f, functions as a secondary dominant of vii.
• Da Jesus an dem Kreuze stund (BWV 621) presents parallel fifths both in the
middleground and background levels of the Ursatz.
The reader may want to refer to the complete scores of these preludes in appendix
B for a detailed examination.
32 33
Let us now investigate each one of these chorales in detail in order to verify the special features mentioned above.
Lob sei dem allmachtigen Gott (BWV 602)
I - Melodic Properties
This is a short melody — it has only four phrases. In considering the "easy-to-see- at-first-sight" melodic guide-posts, it carries both features that are common as well as those that are not so common to the Phrygian mode:
1. Common characteristics:
a. First phrase cadences on the third scale degree, c2 (sol of the Phrygian
scale1).
b. Second phrase cadences on the first scale degree, a1 (mi of the Phrygian
scale).
c. Fourth phrase cadences on a1.
2. Less common characteristics:
a. First tone is the sixth scale degree,/7 (do of the Phrygian scale).
b. Third phrase cadences on /1.
1 Here, as well as throughout the rest of this work, I am considering the Phrygian scale as being built from mi to mi - given do being the tonic that pertains to the major scale represented by the key signature in use. Please refer to the Introduction for a more detailed information about the movable-do system used in this document. 34
The first phrase clearly outlines an F-major triad. Pitch c2 is emphasized by repetition and also by lower and upper neighbors. The b1-natural shows a strong tendency to c;(See Fig. 30).
Lob sei dem all-mach-ti - gen Gott,
Figure 30. Phrase 1
This is not the only time Bach harmonizes this melody. In fact, he has another setting of the same melody2 where he deals with the first phrase only,3 a very common procedure of the date. In this other setting he also raises the b'-flat to b1 -natural even though the original melody only uses diatonic notes,4 as Figure 31 shows.
2BWV 704 - New Bach edition series IV vol. Ill, page 62.
3Other examples are found in Johann Pachelbel, Ausgewahlte Orgelwerke, Band II, ed. Karl Matthaei (Kassel: Barenreiter, 1962) 42,57, where two preludes, Da Jesus an dem Kreuze stund and Komm heilige Geist, Herre Gott, are set only using the first phrase of the melody, and J. S. Bach, Cantata N34, Christ lag in Todesbanden, ed. by Gerhard Herz (New York: W. W. Norton & Company Inc., 1967), 31. This opening Sinfonia also employs only the first phrase of the chorale and it is stated only once.
4Pachelbel, op. cit., 14, 36, 58, respectively being the settings of Der Tag, der ist so freundenreich, O Mensch, bewein dein Siinde grofi and Komm Gott Schopfer, heiliger Geist are other examples of the use of a secondary leading tone (ficta) in a melody that does not entail it originally. 35
l> jj J I l\_>\ ^ ^ | 'I ^ J J
Figure 31. BWV 704, opening phrase
The only time Bach does not use this chromaticism occurs at the end of the fughetta with the melody in the bass line (see Fig. 32).
Figure 32. BWV 704, closing phrase
The second phrase still emphasizes pitch c2 by continuing the arpeggiation of the
F-major chord begun in the previous phrase. The upper neighbor d2 introduced in the
beginning of the phrase also helps bring emphasis to c2. This pitch (c2) is important
because it is the third scale degree of the Urlinie as will be demonstrated below where a
more complete analysis of the chorale prelude is given.
$ der un - ser sich er - bar- met hat
Figure 33. Phrase 2 36
The third phrase puts temporary emphasis on b'-flat, but then it shifts emphasis to a1 (see fig. 32). The b'-flat is emphasized by repetition, upper and lower neighbors, and a harmonic skip to g1. The a' is emphasized by a 3-Zug (a' - gl -/')• Both objects of emphasis in this phrase are important because they are the notes that complete the descending motion of the Urlinie -3,2, 1 (c2, b'-flat, a1).
$ £ ge-sandt sein al- 1er-1ieb-sten Sohn,
Figure 34. Phrase 3
The fourth phrase resembles the first one in that it also outlines the F-major triad.
Only this time the emphasis falls on a1, primarily by means of repetition. In addition, b-flat replaces the b-natural used in that phrase, making the presence of c2 less conspicuous.
aus ihm ge - born im hoch-sten Thron.
Figure 35. Phrase 4 37
One other point should be mentioned. The range of this melody covers six notes
only: /' to d2. The pitch E (ti) is absent, possibly because of its function within the
Phrygian scale. Given mi5 acting as a tonic, ti becomes the fifth scale degree of the
Phrygian scale. This being the case, the use of ti in a Phrygian melody might create some
problems depending on how contrapuntal/harmonic relations are built around it.6 Despite
the usual restrictions placed upon ti in the Phrygian mode, one can notice — even within the selection of chorales included in this study — that not every Phrygian melody automatically avoids ti.
II - A Closer Look at the Prelude Setting
The first phrase makes use of b1 in order to point the arrival of the Kopfton 3 (c2)7, which has had its harmonic support already stated in the beginning in the form of F, a VI harmony (see Fig. 36). But as soon as the Kopfton is established, the harmonic support is shifted to a temporary secondary dominant (V7V7) that later, during the development of the second phrase, returns to its "home base," the tonic of F-major.
5Refer to fn. 1 of this chapter.
6See discussion of the Phrygian mode in Chapter One.
7The use of the b-natural as tendency tone toward the pitch c2 is a strong tonal feature. 38
2 VI 4-Zug V/VI A-Phrygian: VI Figure 36. BWV 602, phrase 1 As the arpeggiation develops toward c1 in the Urlinie, the bass line of the Ursatz reaches c through a 4-Zug (f - e - d - c), at the end of which the harmonic support shifts to C-major (see Fig. 36). In the process of the development of this 4-Zug, one may see an apparent parallel octave progression (2nd measure). Such a reading is a distortion since the d2 in the upper line is only a local prolongation of the b1, which, in reality acts contrapuntally along with d in the bass, forming a major 6th that resolves to a perfect octave immediately afterwards. Kopfton 3 is actively maintained throughout the second phrase (see Fig. 37). This time the harmonic support begins on c in a C-major harmony. Such a support does not remain for long, because the immediate entrance of b-flat points the inevitable reshifting of the harmony back to F-major — that actually takes place in measure 4. The Kopfton is prolonged by an upper neighbor, d2, followed by a 3-Zug (c2 - b'-flat - a1). The bass provides harmonic support through a 4-Zug (Bb -A-G-F). The 4-Zug in the bass and the upper voice form a succession of parallel tenths, a very useful tool in the process of 39 prolongation.8 As explained by Forte and Gilbert, a linear intervallic pattern may either have, or not have harmonic significance, but the main function that it carries is that of a voice-leading impetus that propels the musical pattern toward a goal;9 the goal here is the VI harmony, embodied by F in the bass and the Kopfton 3 (see Fig. 37). 10 \ 10 10 Figure 37. BWV 602, phrase 2 The third phrase brings forth the second scale degree of the Urlinie, immediately supported by g in the bass (measure 5), in a vii harmony. 2 is introduced by an upper neighbor and prolonged afterwards by a lower neighbor and a harmonic skip. This G- minor harmony is a short event; it only lasts for one measure. Still, in the course of this 8Heinrich Schenker, Free Composition, Volume HI of New Musical Theories and Fantasies: Der Freie Satz, transl. and ed. by Ernst Oster (New York: Longman Inc., 1979), 79-82. 9Allen Forte and Steven E. Gilbert, Introduction to Schenkerian Analysis (New York: W. W. Norton and Company, 1982), 99. 40 phrase, scale degree 2 yields to an anticipation of the first scale degree, only this time supported by a PH-IV10 harmony with D in the bass ~ an important event in the foreground level of the piece. Such a harmony carries a modal characteristic, a detail that contrasts with the strong tonal features of the first two phrases. jf== Y/IV PH-IV VII Figure 38. BWV 602, phrase 3 This PH-IV harmony is prolonged almost until the end of the chorale prelude, when it finally resolves to the expected f (see Fig. 39). starts here 10 10 10 m r r-. EE V/IV iv I III/IV - PH-IV * two different functions for the same sonority Figure 39. BWV 602, phrase 4 10Refer to Chapter One for more information about the PH-IV progression. 41 As Figure 39 clearly shows, scale degree 1 is supported by many different harmonizations, but they can be summarized in two principal types: D-minor (labelled as a PH-IV progression), and the final A-major chord (the final I chord with the picardi third). A Since 1 begins its course at the end of the previous phrase, the graph includes it together with the entire concluding phrase. The D-minor harmony is prolonged by a reordered arpeggiation of the D-minor chord (d - F - A - D) in the bass line. Each of the elements of this arpeggiation is treated as a subordinate harmony with its own prolongations. The first prolongation from the D-minor toward the F-major harmony is accomplished through the use of voice exchange, a traditional technique of prolongation, and a linear pattern of parallel tenths similar to that of the second phrase. The A-major harmony (marked with an asterisk in Fig. 37), occurring within this reordered arpeggiation of scale steps carries a double function as explained previously.11 First, it functions as the dominant of iv, and then as a Phrygian f when it reappears in the closing. After each one of these "sub- harmonies" unfolds, the final f arrives still supporting — as mentioned above — the same a1 that closes the descending 3-Zug (c2 - b1 - a') in the Urlinie. Figure 40 presents the middleground sketch derived from the foreground information given above: 'See figures 24b and 24c. 42 nfr , \ J / • — a# 'F* 91 / m y rv ft f 00 VI VII i# Figure 40. BWV 602, middleground Background: Although it is interrupted by a plagal embellishment of the final F, the PH-VI progression remains intact at a higher level.12 3 2 1 $ y ( IV VI VII I# Figure 41. BWV 602, background 12,a s pointed out by the paradigm presented in Fig. 28d, Chapter One. 43 Christum wir sollen loben schon (BWV 611) I - Melodic Properties In this prelude, the chorale melody is found in the alto voice. The following Phrygian properties may be observed in the chorale prelude: • The melody has a range limited to a minor sixth13 ~ e1 to c2. A A -5 A • Internal cadences occur on scale degrees 1, e' (measure 3), 6, c (measure 6) and 4, a1 (measure 10). • Final cadence is on e' (measure 14). The first phrase has an unusual first pitch, scale degree 7, d1. Re is not commonly used in the Phrygian mode either as a first tone or an interior/final cadence. A D-minor arpeggiation stems from this d1 with passing tones filling in the gaps. Its function of a higher level lower neighbor becomes clear when the melody cadences on e2. 1 -m— i 'h . • —u j V « Chri- stum wir sol - len lo -ben schon, Figure 42. Phrase 1 The second phrase heads toward its cadence point, c2, in a direct manner: 13as with BWV 602. 44 the melodic ambitus of this phrase involves exclusively the four notes that promote the prolongation of the final c2. There is no involvement of any neighboring tones beyond this tetrachord. there is a double statement of the melodic thrust toward its cadence point; the phrase departs twice from g1,filling in a harmonic skip to c2, moving upward through two passing tones; upon its first arrival on c2, the melody changes its direction back toward g', this time employing chromatic inflections (b'-flat and a'- flat) of the inner diatonic pitches of this tetrachord; the melody moves one more time, through diatonic passing tones, back to c2, and ends by repeating that pitch. ==fc | -'.I., .bag Der rei - nem Magd Ma - ri en Sohn, Figure 43. Phrase 2 Phrase three (Fig. 44) partially resembles the second one in the sense that it is giving emphasis to the g1 - c2 - g1 melodic figure, even with most of the chromatic inflection used in that phrase. Nonetheless, it is interesting to notice that the more frequent use of b'-flat this time takes away the melodic drive toward c2 keeping the g1 as the main goal until a motion to a1 finally brings the phrase to a cadence. The melodic ambitus of this phrase goes beyond the tetrachord gJ - c2 to e1, a pitch that can support the 45 C-major harmony, g' becomes the lower neighbor of a1, a "surprise" cadence pitch since it has not been expected or even suggested until this point: reincidence of b-flat so weit die lie - be Son - ne leucht Figure 44. Phrase 3 The fourth phrase has some similarities to the first one; indeed, it conveys the same melodic frame: the phrase begins and ends with the same notes in both phrases (d1 and e1). The beginning and ending are both elaborated but there is no d in the middle. und an al-ler Welt En - de rei cht Figure 45. Phrase 4 This phrase splits its emphasis between two main melodic poles: • /1 furnishes the proper environment for the arrival of the second scale degree in the Urlinie. This f1 is introduced at first with a 3-Zug (d1, e1, f'), prolonged 46 afterwards with the arpeggiation of an F-major harmony, which is filled in with passing tones including B-flats: 4 und an al-ler Welt Figure 46. Emphasis on f' e1 furnishes melodic/harmonic material to support the arrival of the first scale degree in the Urlinie. The e1 is also introduced with a 3-Zug (g1, f', e'), which moves up and finally back down to the note that settles all the harmonic and melodic tensions: the e' itself, scale degree 1 in the Urlinie: ¥ En - de reicht Figure 47. Emphasis on e1 Finally, the overall melodic organization of the four phrases can be seen as an ABBA form. 47 II - A Closer Look at the Prelude Setting One very interesting feature that characterizes this prelude is the melodic and harmonic arrangement of the first phrase. The first phrase functions more as an introduction than as a part of the main body. I support my assertion with the following factors: • The first and fourth phrases have similar melodic shapes, except that the fourth phrase is longer and more elaborate, as shown in Fig. 48. phrase 1: iii phrase 4: Figure 48. Comparison between phrase 1 and 4 48 • the picardi third14 at the end of the first phrase is a feature much more commonly found at the end of "minor" compositions rather than in the middle of the same, as in this particular example. • the harmonic implications of both first and last phrases are similar, as can be verified in the detailed analysis of each of the four phrases below. A • It is quite unusual to find a phrase that has an Urlinie beginning on scale degree 2! It even is more unusual when this Urlinie closes to 1 supported by a closing harmony (7*); a better explanation might be that this phrase serves as an introduction immediately followed by the reopening of a longer Urlinie. Comparing this harmonization with another setting by Bach15 of the same chorale melody, one can see that he does not close the first phrase with the same harmonization (The example has been transposed for an easier comparison): r,„Lr r 1lr i V/vi Figure 49. N°56 from The 371 Chorales of J. S. Bach 14Don Michael Randel, "picardy third," The New Harvard Dictionary of Music (Cambridge: Harvard University Press, 1986), 637. The use of this technique stems from about the 1500's and is almost ubiquitous in late Renaissance and Baroque music. 15Frank D. Mainous and Robert W. Ottman, The 371 Chorales of Johann Sebastian Bach (New York: Holt, Rinehart and Winston, Inc., 1966), N°56. 49 In Chorale N°56, the phrase ending carries less harmonic weight than it does in the Orgelbiichlein setting. Returning to the chorale prelude, the first phrase (or introduction) introduces scale degree 2 of the Urlinie with a 3-Zug (dThe second scale degree, supported by the bass D in a D-minor harmony, is prolonged for the most of this phrase (see Fig. 50). Another 3-Zug ifg1, a1) is the responsible tool for the prolongation of the same initial tone if1). Each one of the elements in this 3-Zug carries its own harmonic implication:16 Vg/VII VII IV/VII VII Figure 50. BWV 611, phrase 1 f' obviously is the component of the main harmony of the phrase, D-minor. g1 appears in a G-minor environment, supported by G in the bass. It also functions as a higher-level passing tone between f1 and a1. a1 is prolonged by a secondary dominant in first inversion, the bass of which functions as a lower neighbor to d at a higher structural level. 16This is an example of a linear progression where each of its elements bears harmonic value. Please refer to fn. 9 of this chapter. 50 After a prolongation of the initial D-minor harmony, the phrase finally brings about A scale degree 1 with the support of an E-major harmony in the very last note of its melody. It is interesting to note the double harmonic meaning that each melodic motive of the bass carries. Such a feature occurs throughout this work. As demonstrated in the beginning of the bass staff of Figure 50, the foreground line d, c, B-flat, A, G in the bass serves two main purposes: • It prolongs the D-minor harmony begun with the initial D. • It anticipates the G-minor harmony that becomes effective with the arrival of the G. The second phrase is the one that actually brings forth the third scale degree of the Ursatz. The bass support for 3 takes place only at the closing of the phrase. This support is prepared from the beginning of the phrase (measure 4) with an arpeggiation of the A- minor triad, E -A - C, the PH-IV. Such a sonority (iv) is an attribute that very strongly characterizes the Phrygian mode,17 differentiating it from the other modes. Again, each one of the elements of this arpeggiation carries its own harmonic implications. Meanwhile, Kopfton 3 is prolonged by means of a descending 4-Zug, c2 - b' - a' - g1: 17 See chapter One for discussion of attributes of the Phrygian mode. 51 IV/VI V4/VI PH-lv PH-n PH-Vl * one chord, two different funtions Figure 51. BWV 611, phrase 2 As Figure 51 shows, a case of multiple embedding18 of different Phrygian features occurs here. An upper-neighbor progression19 is contained within a PH-IV that progresses to another PH-IV. Both PH-IV's are contained within the PH-VI that contains all, and continues through the next phrase. One can also see that the C-major chord (Fig. 49), marked with an asterisk, carries a double function, as explained in Chapter I and demonstrated in the previous chorale prelude (Lob sei dem allmachtigen Gott — BWV 602). The third phrase supports Kopfton 3 almost throughout (see Fig. 54); only at the end of the phrase does a harmonic shift begin to take place (measure 10). Once the c in the bass has been clearly established in the previous phrase (measure 6), it remains in force 18a s explained in Chapter One. 19This progression is not referred to as a PH-UN progression because the root of this particular chord lies a whole step above its resolution (see Figs. 51-54). 52 until the appearance of the secondary harmonies (Fig. 54, measure 10) that point toward the D-minor harmony that pervades the last phrase. Even though the melodic structure of the third phrase resembles that of the second one so closely, the harmonic context is not quite the same. The harmonic support in the second phrase arrives only towards the end of the phrase (see Fig. 52 and 51). m PH-lv PH-IV PH-V1 Figure 52. First harmonic support for 3 The harmonic support for the Kopfton in the third phrase is placed even before the appearance of the Kopfton itself. While prolonging the Kopfton 3 with a 4-Zug, the bass line of the Ursatz provides a C-major harmony (VI) intercepted by a secondary dominant in second inversion. 53 4-Zug $ 8 6 6 5 \uis '• ^—: P f R-f PH-IV PH-Vf Figure 53. Second harmonic support for 3 As it can be seen from Figures 53 and 54, the PH-IV aids the prolongation of PH- VI in this excerpt. The PH-IV supports the upper neighbor, a' in the Urlinie. Observe the complete sketch of the third phrase: IV/ VI #VII°7/VII PH-l\ Figure 54. BWV 611, phrase 3 C-major harmony (PH-VI) is prolonged for the most part of this phrase. Towards the end of the phrase, however, the harmonic emphasis shifts to a preparation for the vii that appears in the fourth phrase. 54 We are now ready for the considerations regarding the last phrase. As mentioned above, this melodic and harmonic frame has already been used in the beginning of the chorale prelude, serving as an introduction. Now it returns with some more elaboration both in the melodic and harmonic aspects. The Urlinie introduces the scale degree 2 with an ascending 3-Zug, d1 - e1 -f', with the immediate support of D in the bass (see Fig. 55). The second scale degree is prolonged throughout measure 13 in this D-minor and its secondary III and V7 harmonies. The V7 chord supports the upper neighbor for 2, g1, just before its return: 7 III/VII V /VII VII VII Figure 55. BWV 611, opening of phrase 4 When 2 reappears at the end of measure 13, there is a smooth shift of the harmonic context from VII to that of a secondary V7/iv, which crystallizes in the beginning of 55 measure 14 (see Fig. 56). This strong tendency sonority forces an immediate resolution toward the iv chord that follows. Again the bass arpeggiation of this A-minor harmony brings the PH-IV progression to the surface. When the arpeggiation is complete, the bass furnishes the harmonic support for 1 (E-major), which occurred in the beginning of measure 14. Once more one is able to see the double harmonic value that can be attributed to one single sonority, even so close together ~ the E-major chord functions first as a V7/iv and then as a f (see Fig. 56). one sonority with two different functions PH-IV Figure 56. BWV 611, closing of phrase 4 One can also see in Figure 56 the use of the PH-IV harmony between vii and f described in Chapter I as a "plagal-of-plagal" relation. Figure 57 shows a middleground sketch that summarizes the points presented above: 56 INTRO PH-IV PH-iV PH-VI IV/VI VI PH-IV IV/VII PH-IX end of PH-VI VII Figure 57. BWV 611, middleground Figure 58 renders the resulting background: 3 2 3 2 1 VII 1# VI VII I# Figure 58. BWV 611, background 57 Christus, der uns selig macht (BWV 620) I - Melodic Properties This melody is divided into eight phrases. The first phrase begins with e2 as the first tone; there is a noticeable emphasis on e2 by means of repetition; the phrase cadences on b'. Such melodic design reinforces the I Phrygian chord in this particular instance. Even though cadences on B are not very common in the Phrygian mode, one will find that such occurs not only in this phrase, but in the second and the sixth as well. Chris-tus, der uns se-lig macht. Figure 59. Phrase 1 The second phrase gives emphasis on a1 in the beginning underlining it with a lower neighbor, g#1. Ultimately, this a' becomes a higher rank lower neighbor to the b1 that, as mentioned above, closes this phrase. t 1 !• kein Bos hat be- gan - gen, Figure 60. Phrase 2 58 The third phrase still gives a special treatment to a', not only by prolonging it with a harmonic skip through a b' passing tone, but also by repetition. While its cadence tone is e1, this phrase brings a very important characteristic to the fore: it outlines an A-minor chord, which, as mentioned in Chapter One, is a plagal gesture in the Phrygian mode, a melodic rendition of the PH-IV formula.20 ward fur uns zur Mit-ter nacht Figure 61. Phrase 3 The fourth phrase begins with d1 that functions as a lower neighbor to the cadential e1 (see Fig. 62). This e1 is prolonged by a harmonic skip up to g1 and then back to e1 with two passing tones, which carry a double connotation: • From a tonal point of view, this 3-Zug, with an0 when ascending, and with an / 1 when descending, brings emphasis both to g' and e1, which, together, support the E-minor sonority; the use of these different chromatic forms of the second scale A A . degree resembles the variable treatment of scale degrees 6 and 7 in the minor mode. 20Se e Chapter One. 59 From a modal point of view, one can see that even though the ascending/#7 violates the Phrygian purity, it takes only a small fraction of the measure (an eighth note) in its approach to g1. The descending/ '-natural, by contrast, has a half-note duration, thereby reestablishing the Phrygian quality to the melody. als ein Dieb ge - fan - gen Figure 62. Phrase 4 The fifth phrase brings back the emphasis on a1. The a' is repeated three times before it unfolds a descending arpeggiation of the D-minor triad. Such arpeggiation is a melodic elaboration of the PH-LN.21 $ 3 ge- furt vor gott-lo- se Leut Figure 63. Phrase 5 21 as explained in Chapter One. 60 The sixth phrase features an elegant circular gesture that wraps around its cadence point, b'. The way toward b' is prepared by the arpeggiation of the G-major triad, which in turn is ornamented with passing tones a1 and c2, and the upper neighbor, e'. und falsch - lich ver- kla - get Figure 64. Phrase 6 The seventh phrase is an exact replica of the third one. ver-lacht, ver-hohnt, und ver-speit. Figure 65. Phrase 7 Also, the last phrase is an exact replica of the fourth one. wie denn die Schrift sag et . Figure 66. Phrase 8 61 In spite of the regular beginning and ending with an e', the melody carries unconventional cadence points — phrases one, two and six cadence on b'; phrase five cadences on d1. But, interestingly enough, there is considerable emphasis on a1, as one can verify in phrases two, three, five and seven. Such emphasis, plus the other features discussed in each of the phrases above, help preserve the Phrygian characteristics in spite of all these irregular endings. II - Further Melodic Aspects of this Melody Taken from a liturgical/poetic viewpoint, this melody offers even more interpretative possibilities. I will begin my considerations by examining both the German verse and Michael Weiss's translation.22 Each line is identified with a capital letter for the convenience of the reader. A - Christus, der uns selig macht, 7 syllables (Christ, who makes us blessed,) B - kein Bos hat begangen, 6 syllables (and who had done no evil,) C - wardjur uns zur Mitternacht 7 syllables (for us was taken at midnight) (continued) 22Johann Sebastian Bach, Orgelbuchlein, edited and prepared by Robert Clark and John David Peterson (Missouri: Concordia Publishing House, 1984), 77. 62 D - als ein Dieb gefangen, 6 syllables (like a thief,) E - gefiihrt vor gottlose Leut 7 syllables (led before godless people,) F - und fdlschlich verklaget, 6 syllables (and falsely accused,) G - verlacht, verhdhnt, und verspeit, 7 syllables (jeered, mocked, and spat upon,) H - wie denn die Schrift saget. 6 syllables (as the Scripture says.) Figure 67. A metric analysis of the text As shown in Figure 67, the poem alternates between lines of seven and six syllables. In this respect, the poem may be regarded as an A-B-A-B-A-B-A-B form. Figure 68 presents a comparison of the eight melodic lines. A I _ _ J / 9 9 9 m • m—j*- 7 notes (articulations) B .... 8 notes (continued...) 63 7 notes 8 notes D1^ . - jf ^ • E 7 notes I F g 9 notes 7 notes H 8 notes ^ * t> » • &E3E$ Figure 68. BWV 620, comparison among the eight phrases Again, as with the text, the common attributes of these melodic phrases are easily seen. The seven-syllable lines in the poem correspond to the seven-note melodic phrases; The six-syllable lines in the poem correspond to the eight-note melodic phrases in that the three slurred notes (phrases B, D, and H) form a unit achieved by means of prolongation of the first note. An exception to this apparatus is phrase F where nine notes cleverly paint the word falschlich, from the context "falsely accused". 64 Each phrase has two distinct parts shown in the figure: 1. Part One of the melodic line, its beginning, has a lingering quality in the melody that is achieved by repetition (phrases A and E), lower neighbors (phrases B, D and H) and harmonic skips filled in with passing tones (phrases B, C, D, G, and H). Phrase H does not conform to this steady quality in the melody for the sake of text- painting, as explained above. The static or nearly static property of the melody observed in this first part of the phrase can be compared to the rhetorical force that propels the beginning of a verbal assertion. 2. Part Two of the melodic line, its ending, has a melodic contour that represents the resting curve of the voice at the end of a verbal statement. Such musical imagery is accomplished with the use of falling thirds. The two exceptions to this figure (phrases C and G) can be seen/heard as motivic transformations that do not really destroy the overall idea. Moreover, the ear can fill the lacuna stimulated by the expansion of the melodic outer interval. The eight phrases are divided into two distinct groups of four phrases, each of which begins with repeated notes (phrases A and E). The last two phrases of each group are identical, suggesting a musical rhyme. The overall form concerning this aspect of this verse can be conceived as A-B-C-B'(transposed down a fifth)- 65 A'(transposed down a fifth)-D-C-B'(also transposed down a fifth) — or more simply, A-B-C-B'-A'-D-C-B'. • The pitch registers chosen to begin each phrase capture the essence of the affection expressed by the text in each line. The higher the pitch is, the brighter the affection also ~ the highest pitch, e2, is used to depict "Christ, who makes us blessed" in the most stable melodic line (see phrase A in Fig. 68). The lower the pitch is, the darker the affection ~ the lowest pitch, d', initiates the fourth phrase "like a thief, and closes the fifth phrase "led before godless people" (see phrases D and F in Fig. 68). Thus, the dichotomy that permeates the music and poetry unifies the whole work: • Eight phrases divided in two groups of four. • Each musical phrase has two distinct sections: opening and closing. • The poem addresses to two contrasting ideas: 1. The good ("Christ who makes us blessed") and 2. The bad ("godless people," for example). Ill - A Closer Look at the Prelude Setting It is noteworthy to mention that this setting is heavily loaded with chromaticism. In the format of this Canone all'Ottava, the bass voice is an exact replica of the soprano voice with the exception that all of the entries do not occur at the same metric distances.23 23Bach does break this pattern slightly though when he employs an/#7 in the upper voice (measure 10) and a natural/' in the lower voice (measure 11). Nevertheless, such a 66 The nuance of rhythmic usage of both dux and comes is subtle. These readjustments of the rhythmic figuration always occur on the first note of the melody. This first note is always held longer in the comes by one beat; such a procedure is necessary for contrapuntal and: harmonic reasons (see Fig. 69). The D in the comes sounds one beat sooner than expected and thereby forms a consonance on beat 1 of m. 21; had the imitation been exact rhythmically, the comes would have entered as a dissonance on beat 2 of that measure. 20 Dux Comes m f Pi? m Figure 69. Bach, Canon Perpetuus super thema regium,24 The harmonic plan of this chorale prelude may be described as follows: At the beginning of the first phrase, scale degree 5 is reached by means of a tetrachord descent supported by e in the bass in a V/IV harmony. The b1 is prolonged by a harmonic skip to g1 with a1 as a passing tone: procedure does not compromise the harmonic frame. A detailed discussion of this particular situation has been given in the remarks concerning the fourth phrase. 24Johann Sebastian Bach, "Canon Perpetuus super thema regium," The Musical Offering and The Goldberg Variations (New York: Edwin F. Kalmus, 1968), 41. 67 i 3E v/iv / \ Figure 70. Harmonic support for 5 Scale degree 4 begins in the middle of measure 4 having immediate harmonic support of IV with A in the bass. This harmonic support continues until measure 9 when it shifts to VII with D in the bass. The new harmony stays active until the vicinity of measure 15 when it begins to mingle with the development of the III harmony solidified with the G found in the bass of the same measure:25 (continued...) 25The G in the bass is not shown in this example because it occurs on the third beat of measure 15, one beat after the end of this example. 68 10 10 6 6 6 w 0- • i r t1 VII /\ Figure 71. Harmonic support for 4 The a1, measure 4, is prolonged by an elaboration of the A-minor triad in the following fashion: 6 7 8 m » # m j* 7 9 9 x s —#— Figure 72. Prolongation of the A-minor triad First, a1 is embellished twice with consonant skips to c2 that are ornamented with the pitches b' and <£. Then, a descending tetrachord, A-G-F-E, closes the A-minor arpeggiation. 69 A . Measures 9 through 15 offer a different harmonic support for the same 4 m the Urlinie. This harmonic support is not introduced as blatantly as the first one. Rather, there is a preparatory descending arpeggiation of a D-minor triad in the bass. Meanwhile, the upper melody also unfolds an ascending and descending arpeggiation of a D-minor triad: VII Figure 73. Second harmonic support for 4 d' is prolonged by a lower neighbor, c#1, and then it arpeggiates to f1 surrounded both by an upper neighbor, g', and a lower neighbor, e'. An ascending 3-Zug introduces the upper neighbor, g1. The ascending arpeggiation culminates when a1 is reached and begins its way down, A-F-D, filled in with passing tones. As mentioned above, the G-major harmony is introduced by the upper voice four beats before its bass support appears. The G-major triad is arpeggiated from its root to its fifth with passing tones filling in the thirds. The d2 is followed by its upper neighbor, e2, 70 and then it drops down a third to b1 through a passing tone. This last b1 is underlined by its lower neighbor, a'. The ///harmony pervades from measure 15 through 18: 15 ^^ 17 -4 e , * • ? ^" -0- » U* ^ * • ri ni Figure 74. Harmonic support for 3 Now is the time for our "mild surprise." As discussed in the first chapter, the iv harmony that commonly occurs toward the end of the piece, functions as an intervening harmony, normally found between VII and the closing f. Such an arrangement furnishes the expected plagal relationship between the closing harmonies. But such is not the case in this prelude; the iv harmony anticipates the vii harmony, changing the former's immediate function to that of a secondary minor dominant outlining an A-minor chord: 71 19 N 20 V^/VII Figure 75. The "mild surprise" The A-minor chord is arpeggiated downwards departing from c2 going through a1 and reaching el with the help of passing tones in between. Under different circumstances this iv harmony might be a plagal progression toward f interrupted by the vii harmony. In this case the second scale degree,/7, supported by the D-minor harmony (see Fig. 76) would function as a "higher rank" upper neighbor both to the previous e' (m. 19) supported by the A-minor harmony and the final e1 that follows immediately afterwards. Another way of describing the plagal function of the iv chord is that of an anticipation of the closing f harmony, or a "tonic preparation."26 A Such an assumption, however, would not be viable due to the lack of scale degree 2 in the Urlinie. A From measures 20-23, the VII harmony supports the ultimate arrival of 2, which closes immediately to 1 with the harmonic support of /: 26Here I am using this terminology in the same sense that a. I six-four chord is referred to as a "dominant preparation" in the tonal sphere. 72 if t v *• V VII A A Figure 76. Harmonic support for scale degrees 2 and 1 The D-minor harmony is laid out by an ascending arpeggiation of the D-minor chord filled in with two lower neighbors, c2-sharp, and g1; g1 being introduced by an ascending 3-Zug, e' -f-sharp - g1. The f-sharp in the 3-Zug serves the purpose of a tendency tone toward g1. Such a ficta gives the impression of a D-major chord, but as one looks deeper into the middleground aspect of the melodic development, one realizes that D-minor is the predominant harmony. Figures 77 and 78 present respectively sketches of the middleground and background levels extracted from the foreground discussed above: 73 5 4 4 3 2 1 F#= hN= — f— d f.? r O | Figure 77. BWV 620, middleground 5 4 V/IV IV VII III VII I# Figure 78. BWV 620, background 74 Da Jesus an dem Kreuze stund (BWV 621) I - Melodic Properties This melody is somewhat different from the other three Phrygian melodies presented in this study for two reasons: it has an odd number of phrases, namely 5; and its first phrase is a prolongation of the pitch b' — a pitch that is usually not emphasized in the Phrygian repertory. Da Je-sus an dem Kreu-ze stund Figure 79. Phrase 1 The second phrase presents an unfolding of the A-minor triad. Such an arpeggiation is a realization of the PH-IV formula.27 The melody cadences on e1. und ihm sein Leich- nam ward ver-wundt Figure 80. Phrase 2 27as discussed in Chapter One. 75 In the third phrase, the emphasis is driven towards g1, the cadence tone. The chromatic usage of the/#' can be compared to that, which takes place at the fourth phrase of the previous prelude (BWV 620);28 only here, it shows a much stronger tonal tendency in its role to indicate the pitch of arrival, g1. Such a tonal feature supplants the Phrygian characteristics momentarily. # 4 so-gar mit bit-tern Schmer - zen Figure 81. Phrase 3 The fourth phrase is a form of melodic variation of the second phrase. The A- minor triad is outlined in the form of a descending arpeggiation introduced by a neighbor. m m die sie-ben Wort, die er da sprach Figure 82. Phrase 4 28 See Figs. 71,73, and 76. 76 The last phrase outlines a D-minor chord which supports the d1 as a lower neighbor to the final e1. This D-minor arpeggiation brings to surface another important feature of the Phrygian mode, the PH-LN.29 be - tracht in dei- nem Her - zen. Figure 83. Phrase 5 II - A Closer Look at the Prelude Setting In addition to the immediate chromatic cross-relations, another feature that permeates this chorale prelude is the "long-range" type that is often separated by an intervening harmony: • the C versus C# in the soprano, alto and the tenor lines, first measure: i j, _ j j m Figure 84. Cross-relation 1 29Se e chapter One. 77 the C versus C# in the bass, tenor, alto and soprano lines, measures 3 and 4. One of the prominent features in Bach's setting of this chorale melody is the cross- relation that occurs between soprano and bass, marked with an asterisk in Figure 85; this cross-relation becomes even more evident when it comes to the surface as shown in the foreground graph, since it happens between outer voices (see Fig. 97). r * 3 J .^ -fa: 1 ______J i— r d 'lu i tj u' —m - 1 rr r rl m m XLI W=N ^ 1 mm - 1 3== ra HH '' 1—r * r [_j —¥—* W— Figure 85. Cross-relation 2 the Bb versus B in the tenor and bass lines, measures 4 and 5 (Fig. 86): 78 a* m J J •\su iy J W •-f.- 1=^7^m m V- Figure 86. Cross-relation 3 the C versus C# in the soprano, alto, tenor and bass lines, measures 7 and 8. Again, as observed previously in Figure 85, special attention must be brought to cross-relation between soprano and bass since these voices are more prominent aurally (see Fig. 87). The foreground graph in Figure 98 also shows this particular event. m i=i r\ rt-£f r U gf T—Gr m m rs m Figure 87. Cross-relation 4 79 the F versus F# in the soprano and tenor, measure 8: Figure 88. Cross-relation 5 the C versus C# in the alto and tenor, measure 9: n Figure 89. Cross-relation 6 80 the G versus G# in the soprano and tenor, measure 10: m ' *~T¥_ =\ hr if I'p* . == Elt > " r-' Figure 90. Cross-relation 7 The Phrygian chorale melody Da Jesus an dem Kreuze stund was not commonly set in Bach's time. Approximately one hundred years earlier, however, it had been a regular part of the polyphonic liturgical repertory.30 Scheidt wrote a series of different settings for this melody31 harmonizing it in six different ways: • Versus a 4 Voc. - Choralis in Cantu. • Versus a 3 Voc. - Choralis in Tenore. • Versus Bicinium. Choralis in Cantu. 30See Johannes Zahn, Die Melodien der deutschen evangelischen Kirchenlieder aus den Quellen geschopft und mitgeteilt, vol. IV (Hildesheim: Georg Olms Verlagsbuchhandlung, 1963), #1706, page 455. 31Samuel Scheidt, "XII. Psalmus: Da Jesus an dem Kreuze stund," Werke, ed. Gottlieb Harms and Christhard Mahrenholz, vol. VI (Hamburg: Ugrino Verlag, 1953), 102-106. 81 • Versus Bicinium. Choralis in Cantu. * Versus a 3 Voc. - Choralis in Basso. • Versus a 4 Voc. - Choralis in Cantu per Semitonia. In each one of these settings, one will find different degrees of chromaticism used in a cross-relation fashion, either following each other very closely, or in a longer span of time, as shown in Figures 91 and 92: 4 J in J., ~6» J u — r p —p-J _j_—^—|—^— -I—* f- -e Figure 91. Scheidt, XII. Psalmus — 2. Versus a 3 Voc. - Choralis in Tenore i Figure 92. Scheidt, XII. Psalmus -- 3. Versus, Bicinium. Choralis in Cantu 82 Schein also composed two other harmonic settings of this melody. His chorale, Da Jesus an dem Kreuze stund, is a three-voice setting for a Basso Instromento (Orgel oder Cembalo), Canto I and Canto II.32 One can find occurrences of cross-relation rather sparsely in this work considering its size: it is 34 measures long having only three instances of cross-relation. Figure 93 shows one of these occurrences. As in the previous examples, the cross-relation occurs successively in the tenor and the bass, but it is not so prominent since the c in the bass falls on an unnaccented part of the beat (see Fig. 93). 19 § £ d i $ m Figure 93. Schein, Da Jesus an dem Kreuze stund The other harmonic setting, Von dem Leiden und Sterben Jesu Christi, is a bipartite work, the first part set in four voices with a note-against-note approach, and the second part set in five voices this time with more elaborate counterpoint.33 Here, Schein 32Johann Hermann Schein, "Da Jesus an dem Kreuze stund," Neue Ausgabe samtlicher Werke, ed. Adam Adrio, vol. 4: Opella nova I, 1618 (Kassel: Barenreiter, 1973), 21-24. 33Johann Hermann Schein, "Von dem Leiden und Sterben Jesu Christi: Die sieben Wort; Vorige Melodey/in Contrapuncto," Neue Ausgabe samtlicher Werke, ed. Adam 83 dramatizes cross-relation in a very direct way: the g-sharp and g-natural occur side by side. This procedure can be observed at the beginning of the five-voice setting in the first measure between bass and tenor: $ rrr ibl" llf!' fJ Figure 94. Schein, Vorige Melodey/in Contrapuncto These two composers of the seventeenth century approached this melody in a way that brought no contrapuntal complications to the middleground and background. Bach, however, stretched the harmonic treatment of this melody a little further than did his predecessors Schein and Scheidt, while still honoring tradition. Yet, a rather puzzling aspect of Bach's setting is the appearance of parallel fifths both in the middleground and background sketches. Obviously the parallel fifths do not occur at the foreground level of the composition, but, as one moves toward the further background levels of the harmonic structure, one finds it impossible to eliminate the disturbing pair of parallel fifths.34 In the other three chorales that have been examined in this study, and, indeed, in all the works that Schenker has chosen to analyze, the notion of Ursatz that emanates from their foregrounds always provides consonant harmonies in keeping with the laws of good 34-Refer to Fig. 101 and 102 for the middleground and background sketches. 84 counterpoint. Bach's choice of harmony in Da Jesus differs from the other examples. A Unlike Schein and Scheidt, Bach chooses a VI support for 3. There are two possible reasons for his doing so. The first is a possible allowance of such an occurrence as a premeditated means to depict the substance of the text: verwundt (wounded) and bittern (bitter). This could be a mere coincidence, but nonetheless a plausible explanation for Bach's use of these parallel fifths. The second possible reason is that he could have implied a G as the harmonic support for 3, where one can only see a B. But if on one hand the presence of g in the alto line solidifies this assumption, on the other hand the lack of a rest where G would be implied in the bass turns this possibility into a flickering conjecture: r?n ij * f * * d Tj n Figure 95. Lack of G as the harmonic support for 3 At this point, a more detailed analysis of this prelude is in order: 85 PH-LN C/ 8 10 10 Figure 96. BWV 621, harmonic support for 5 The first note of the melody already presents 5 of the E - Phrygian scale with the harmonic support of I. The Kopfton is prolonged by means of a lower neighbor figure (PH-LN),35 a1, which is reached through a 3-Zug (c2, bl, a1) supported by a 10 -10 linear pattern,36 ultimately in an F-major harmony. Nevertheless, when the lower neighbor moves back to Kopfton 5 in the second measure, the latter (Kopfton J) receives a different harmonic support, that of III (G-major). The path towards the reestablishment of Kopfton 5 is designed through a linear pattern of different intervals (5-6-8-10-10). The harmonic skeleton of vii (measure 2) can be perceived by the D-minor descending arpeggiation in the bass. It is noteworthy to mention the plagal relation between d and the 35See PH-LN and PH-UN in Chapter One. 36or a linear pattern of parallel tenths. See the "List of Terms" presented in the beginning of this study. 86 a in the bass; the latter prolongs the former (see Fig. 96, measure 2 marked with an asterisk). Once the new harmony for Kopfton 5 is established (mid measure 2) it stays in force through the middle of the next measure (measure 3). Such a prolongation is again accomplished by the use of a linear pattern of different intervals (10 - 6 - 8 - 10). 10 10 . 10 V/VII * cross-relation VII Figure 97. BWV 621, harmonic support for 4 Scale degree 4 is found at the downbeat of measure 4 (see Fig. 97) with a harmonic support of D-minor not only from the bass, d, and its lower neighbor, c-sharp, implying a local dominant, but also from the melodic unfolding of the D-minor chord in A . A . the melody that follows immediately after the appearance of 4. The introduction of 4 is effected by the use of a 6 - 5 linear progression. The same bass, d, that establishes harmonic support for 4 changes its function as it becomes the fifth of a G-minor/major chord in a descending arpeggiation (see Fig. 97, measures 4 - 5). The G-major chord 87 functions as a local dominant of the next harmony, C-major, which supports the upcoming A scale degree 3 in the Urlinie (measure 5). Figure 97 also shows a conspicuous and effective cross-relation between the outer voices (please refer back to Fig. 85). It is interesting to note that melodic events do not necessarily coincide with harmonic ones. The second melodic cadence, which takes place in measure 4, is an example of such an occurrence. Bach juxtaposes this melodic event (cadence on e1) with the harmonic unfolding of a D-minor chord, the crystallization of the VII harmony (see Fig. 97). Another item of importance to be noted is once again the. c-sharp at the downbeat of measure 4. If it were not chromaticized, it could very well function as a PH-LN,37 but the resolution of a half step towards d posits a strong tonal implication, which consequently forces it to be categorized simply as a lower neighbor (see Fig 97). When 3 appears, Bach establishes his personal and individual harmonic choice that promotes the intriguing parallel fifths. The only harmonic support available for this g' is the c (Q that occurs underneath it (see Fig. 98). Taken together, these two pitches can only create the harmony of VI, a C major chord. By the same token, if one turns back at scale degree 4 , which occurred a few measures before, one will not find any other harmonic support for it except for the one that has already been established: d from which the D minor chord derives. According to the models for the Ursatze in the Phrygian mode furnished in chapter one, 3 is expected to counteract with VI, III or I in the bass. 37 See Chapter One. 88 The model that provides a VI harmony for 3 fits perfectly in this situation (see Figs. 28 and 29). *_£ross-relation 10 10 10 10 Vb/VII IV^/VII V/VII A . A Figure 98. BWV 621, harmonic support for 3 and 2 3 is supported by the C-major harmony only for a brief moment. As soon as c is articulated in the bass, it begins to shift its harmonic connotation to that of the third of a minor chord (see measure 6 in Fig. 98), which ultimately becomes a major chord (measure 8) that functions as the local dominant of vii (see Fig. 99). This whole apparatus is supported by a long linear pattern (6-5-4-5-6-7-6) and a 4-Zug in the melody A . A supported by a 6-Zug in the bass (see Fig. 98). Scale degree 3 finally yields to 2 (measure 8) with the harmonic support of d in the bass. Notice the cross-relation that becomes more evident, now that only the two outer melodies are being considered (marked with an 89 asterisk in Fig. 98). Figure 99 shows the fancy elaboration of the chromatic drive in the progression from VI towards va. -if-6 6 chromatic / passing tone m _ H 7 v£/vii iv6/vii v /vn VI VII Figure 99. Chromatic elaboration in the progression from VI to vii The remainder of the prelude matches all the contrapuntal expectations embodied by the PH-VI model: voice exchange 10 10 10 10 10 PH-IV VII A A Figure 100. BWV 621, harmonic support for 2 and 1 90 Scale degree 2 is established in measure 8 with d in the bass, providing a vii harmony. This d minor harmony is prolonged until the next-to-last measure. By then, at measure 10, scale degree 1 finally closes the Ursatz with the support of e in the bass that arrives at the downbeat of measure 11 in a f harmony. Following is a more detailed description of what happens in these final measures: The second scale degree in the Urlinie is introduced by a 3-Zug that is supported by a 6 - 5 linear pattern (see Fig. 98). 2 is maintained in force by the arpeggiation of D- minor harmony both in the melody and the bass within the next 3 measures (see Fig. 100). The means by which this prolongation is achieved are: • 10-10 linear patterns, and • voice exchange (measure 9). Scale degree 1 is first supported by the PH-IV progression38 in the form of an A- minor harmony, which is then followed by the expected f that provides the harmonic closure for the whole piece. As Figure 101 shows, both modal and tonal traits of the piece are still present at the middleground level. The PH-IV is a modal characteristic while the presence of c- sharps preceding and preparing the two incidences of VII carry a strong tonal connotation: 38Se e Chapter One. 91 parallel fifths 5 5 4 \\ 3 2 1 PH-LN $ II (V) (V) PH-IV I III VII VI VII I# Figure 101. BWV 621, middleground Figure 102 renders the graph for the background level of the piece: 5 4 3 2 1 $ III VII VI VII I# Figure 102. BWV 621, background CHAPTER THREE CONCLUSION The present study aimed to two problematic aspects of the Phrygian mode: a. the development of a harmonic pattern at the cadence that differs from that of the other modes and of the major and minor modes as well — a pattern that, when incorporated into the harmonic language of the high Baroque, is interpreted as a half cadence iv6 to V, thereby making the "final" seem to have a dominant function. b. the observation that the Phrygian scale inverts all of the intervallic properties of the Major scale. The result of these two observations is that when the reductive techniques of Heinrich Schenker are applied in the Phrygian repertory, melodic and harmonic properties are brought into conflict with each other. Whereas the melodic Urlinie might be A A A . . construed as a downward line that outlines scale degrees 1-6-4 in a manner that is AAA . . analogous to the outlining of scale degrees 1-3-5 in the major and minor modes, harmonies must continue to be evaluated from their respective lowest sounds upward. This conflict notwithstanding, application of Schenker's reductive methodology has certain benefits for demonstrating musical properties in the Phrygian repertory. Through the application of new Ursatz models that have been developed by Lori Burns in her study of Bach Chorales, many of the secondary melodic and harmonic features of the 92 93 Phrygian chorale prelude settings in Bach's Orgelbuchlein may be explained. These are the positive qualities that I have found with this method: 1. on the local level, it provides a strong melodic emphasis; it clearly presents a definite directionality of the melody. 2. it defines the final of the mode as the tonal center, in contrast to Schenker's own interpretation of the final as the third scale degree of the related major scale.1 3. it gives emphasis on structural pitches by the use of Stufen framed between the outer voices; it is possible to provide harmonic support for each one of the descending scale degrees of the Ursatz by using the different harmonic models developed by Lori Burns. The following modal characteristics have been found present in all structural levels of the Phrygian preludes taken into consideration for this study: • absence of primary V chords. Dominant chords are only found as secondary harmonies, which, when maintained for a longer period of time, give a tonal implication to that particular area, as is the case of the first two phrases in Lob sei dent allmachtigen Gott (BWV 602). Christus, der uns selig macht (BWV 620) offers an example of the occurrence of a secondary dominant harmony in the background level of a work (see Fig. 103). 'See Fn. 11 in the Introduction. 94 5 4 3 2 1 I V/IV IV VII III VII I# Figure 103. BWV 620, secondary dominant in the background structure. /v and VI harmonies resulting from the projection of the Phrygian scale in a downward direction (see Fig. 104). $ I VII VI V IV III II Figure 104. Unfolding of the iv chord in a mirrored scale. II and vn harmonies that occur because of the contrapuntal neighboring forces that govern the Phrygian mode (see Fig. 105). §< VII I II Figure 105. Harmonies resulting from the contrapuntal forces within the Phrygian mode. APPENDIX A FOREGROUND OF EACH PHRYGIAN CHORALE COVERED IN THIS DOCUMENT IN ITS ENTIRETY 95 96 Lob sei dem allmachtigen Gott (BWV 602) ^ VI III (V/VI) VI Trr ^m 10 10 10 V/IV VIV (decept i ve ) I/IV) I# (V/IV) I# Figure 106. BWV 602, complete foreground. 97 Christum wir sollen loben schon (BWV 611) i v/vI I V /VI V7 ,V/VI vi/Vi 3 < > i i i/VI #viio7/v Figure 107. BWV 611, complete foreground. 98 Christus, Der uns selig macht (BWV 620) 15 A 9 10 11 13 M ». * J rr. ^— \ f 10 10 6 6 6 VII Figure 108. BWV 620, complete foreground. 99 Da Jesus an dem Kreuze stund (BWV 621) Vi/ i II VII V/VII III VII 10 10 10 10 V/VI VII I# Figure 109. BWV 621, complete foreground. APPENDIX B COMPLETE SCORES FOR THE PHRYGIAN SETTINGS COVERED IN THIS DOCUMENT 100 101 Lob sei dem allmachtigen Gott (BWV 602) J=r^ H=F i— j J =i f~frp~P~ Iff—1 Sft_r-C£0rt i»H g *y i c * f fr ff P-| H— kB~r—^ Pp » p p p —p Pp p rff Sfcki =y=l •J = if rrrrLjjjr 1 S| Iv-M' * J#) 1 ===N m/J J 0 J i, jr£££j 'J rrrff^ u SS V .» 1 ^—> f f r r r r ff ^rffrff h* r r r r T r r a— —f- id 111 y. mfmf * f~"~f Ejg 102 —J m J —p p p p p p—^— u L U r ' v « « ! i> y 'f* L. r \ *lJ 1 r r rr r - i — ^^1=1 JJJJ JJ J* JJJJI J L1 r *• 1 m * * •- • £ £: *): *, f= = 1=4 r> == d -j- -J Figure 110. BWV602. 103 Christum wir sollen loben schon (BWV 611) s. m =3- kJ-J-a GM! 43J1IJT * d^ j %—™ .0Frr f rr i t f ffr f~^ b ££g L,S—g^=: EES— -4H — m * U —f~*— N 104 P km-*'}! a* p f |yf "' f "I Y . « p k£ ^ • - | P*> ^ iff: fr#m < FF ';:CJ Uf&I ^ I] •Jpw^i J? j^3j; L3^• JITJ « p^= §=^ t==fc vH^> p - Lrffr —t= PH =l=l4 p J 1 J- « * :£= II 1 • 41 J* • 4- " • JJJ-1 J 4- •#"» -*-• —«5%-- W S#S** Hoi 5?3 J; _f^—lt ; g> y F=^=" . r -t-— r r S 1 1 =3J rs i" *=fPi= =i i^T —rT—r¥tf frff —^ 1 |_J— JLJ^ •J- [;: ^ 4 m - JV^- •4k -J-iJ 105 [m s&P,— Jffl tf P* • J »• §—w: .p- • " *# J -— 'i 1 fc i: f—-- r p • jii mi I —r—i •t# # / - -J—.[^ $ W J fr 5^s_ EU* ifc—^ I 1 r 4 j1== ^J. J* • n W-=1=JV 1 uJT [m L^LJ g •gaJ n^ JTJIJ J11'; r^Pj r ; \4 m # m m m 4 m m a![•_ Ho £5- r\ ~n~ r Figure 111.BWV611. 106 Christus, der uns selig macht (BWV 620) Hjc/ r a iggg a J J3[J J » ' i >f • r =f* ; J rij= j j ^ =1 {==#= ILr pJ'iLH' pi./ ifltf' "j.^n >Tw i ti—rr* rriirrrf i ~ a ^ r r i i^ rj ^ lj r _g^£jr— ^=1 ^ • 4 J j ^ ^ILeST—m£±ar t/-tJcr [jrtir r j i] J f 107 rm j ^ ^ i •p r "p -tdrr—tmr [HI j ...J, J, IJ jtr p ^ LLrttiJ'-Litr'Lirj"iu7^ ^ 13 03 # " W jtfj- J r—iy 1 f V~iit JJ bJ iJ iJ»J AJ n L. . f rr»rrf r ' C_r 0 rn i^f: ^TJr^Dr-r " -fi n r - * J J *' J J -+-m r A Figure 112. BWV 620. 108 Da Jesus an dem Kreuze stund (BWV 621) Fih= -j—J- ^ j , =j -j—i J 1 f II =-£±TT jr * •f—»r r f f L- ,(^ | 0 T L.. frr_rrfm fff "I L 1 ^ If ¥=*m a 6 1* v* *; m —r ~ r r , r ' F f-m- Lr=L -J | U^i |7t ^ r ^ m n\ ^===' r tJ" l-T r—^ j-HJ *>: r frp^ p r r'r — P-TSS LXtr bsi •«— pffrr r| 1 [fir f r r . 1— j mi ft. F .jtf ^ f '• a; " .1J >J 1 J1 109 m I h„J tr ~ [j as a ^3. »lj J a f • i :^=- ,— - irt m ~ — y ff r\ 3^ zt t - J. p p r ->^ $ =%rr= P rrrtrrrr^^^r r y-Ir £. &l=6 t itfe iii urn iir l ^ f 4- ~~ J5. J lr_r~r_r =r i Figure 113. BWV 621. BIBLIOGRAPHY I - Bibliography of sources most closely related to the topic Articles Kirnberger, Johann Philipp. "The True Principles for the Practice of Harmony." Translated by David W. Beach and Jurgen Thym. Journal of Music Theory XXIII/2 (1979): 163-225. Lester, Joel. "Major-Minor Concepts and Modal Theory in Germany, 1592-1680." Journal of the American Musicological Society XXX/2 (1977): 208-253. Phipps, Graham H. "A Response to Schenker's Analysis of Chopin's Etude, Opus 10, N°12, Using Schoenberg's Grundgestalt Concept." The Musical Quarterly, LXIX/4 (Fall 1983): 543-569. Powers, Harold. "Mode." The New Grove Dictionary of Music and Musicians. Twenty volumes. Edited by Stanley Sadie. London: MacMillan Publishers Ltd., 1980, XII, 376-418 (paragraphs I-III). Randel, Don Michael. "Canon," "Piccardi third," "Mode." The New Harvard Dictionary of Music. Cambridge: Harvard University Press, 1986. Schenkman, Walter. "The Influence of Hexachordal Thinking in the Organization of Bach's Fugue Subjects." BACHVW3 (July 1976): 7-16. Schulenberg, David. "Modes, Prolongations, and Analysis." The Journal of Musicology IV/3 (1985-1986): 303-329. Books Aaron, Pietro. Toscanello in Music. Book II. Translated by Peter Bergquist. Colorado Springs: Colorado College Music Press, 1970. Bach, Johann Sebastian. Orgelbuchlein. Edited and prepared by Robert Clark and John David Peterson. Missouri: Concordia Publishing House, 1984. 110 Ill Beach, David. Aspects of Schenkerian Theory. New Haven: Yale University Press, 1983. Dahlhaus, Carl. Studies on the Origin of Harmonic Tonality. Translated by Robert 0. Gjerdingen. Princetown, New Jersey: Princeton University Press, 1990. Forte, Allen, and Steven E. Gilbert. Introduction to Schenkerian Analysis. New York: W. W. Norton and Company, 1982. Gauldin, Robert. A Practical Approach to Sixteenth-Century Counterpoint. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1985. Glareanus, Henricus. Dodecachordon. Translation, transcription and commentary by Clement A. Miller. Two volumes. Rome: American Institute of Musicology, 1965. Grout, Donald Jay, and Claude V. Palisca. A History of Western Music. Fourth edition. New York: W. W. Norton and Company, 1988. Jonas, Oswald. Introduction to the Theory of Heinrich Schenker. Second edition. Translated and edited by John Rothgeb. New York: Longman Inc., 1982. Katz, Adele. Challenge to Musical Tradition: A New Concept of Tonality. New York: Alfred A. Knopf, 1945. Kirnberger, Johann Philipp. Die Kunst des reinen Satzes in der Musik. Two volumes. Berlin, 1771-79. Translated by David Beach and Jurgen Thym as The Art of Strict Musical Composition. New Haven: Yale University Press, 1982. Palisca, Claude V. Baroque Music. Second edition. Editor H.Wiley Hitchcock. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1981. Rameau, Jean-Philippe. Treatise on Harmony. Translated with an introduction and notes by Phillip Gossett. New York: Dover Publications Inc., 1971. Roederer, Charlotte, Alejandro Enrique Planchart, Lowell Lindgren, Gordana Lazarevich, L. Michael Griffel, Faye-Ellen Silverman, and Leonie Rosenstiel. Schirmer History of Music. Edited by Leonie Rosenstiel. New York: Macmillan Publishing Co., Inc., 1982. Salzer, Felix, and Carl Schachter. Counterpoint in Composition. New York: Columbia University Press, 1989. 112 Schenker, Heinrich. Five Graphic Music Analyses. Photographic reprint of FunfUrlinie- Tafeln, with an introduction by Felix Salzer. New York: Dover, 1969. . Free Composition. Volume III of New Musical Theories and Fantasies: Der Freie Satz. Translated and edited by Ernst Oster. New York: Longman Inc., 1979. . Harmony. Volume I of New Musical Theories and Fantasies: Harmonielehre. Edited and annotated by Oswald Jonas. Translated by Elisabeth Mann Borgese. Chicago: University of Chicago Press, 1954. Shirlaw, Matthew. The Theory of Harmony. Dekalb, Illinois: Dr. Birchard Coar, 1955. Schoenberg, Arnold. Theory of Harmony. Translated by Roy E. Carter, originally published in 1911 by Universal Edition, Vienna as Harmonielehre. Translation based on the third edition (1922). Berkeley: University of California Press, 1978. Strunk, Oliver. Source Readings in Music History from Classical Antiquity through the Romantic Era. New York: W. W. Norton and Company, 1950. Walther, Johann Gottfried. 1732. Reprint. Musikalisches Lexikon. Facsimile edition by Richard Schaal. Kassel: Barenreiter-Verlag, 1953. Wason, Robert W. Viennese Harmonic Theory from Albrechtsberger to Schenker and Schoenberg. Ann Arbor, Michigan: UMI Research Press, 1985. Zahn, Johannes. Die Melodien der deutschen evangelischen Kirchenlieder aus den Quellen geschopft und mitgeteilt. Six volumes. Reprint. Hildesheim: Georg Olms Verlagsbuchhandlung, 1963. Zarlino, Gioseffo. The Art of Counterpoint. Part Three of Le Istitutioni Harmoniche, 1558. Translated by Guy A. Marco and Claude V. Palisca. New Haven: Yale University Press, 1968. . On the Modes. Part Four of Le Istitutioni Harmoniche, 1558. Translated by Vered Cohen. Edited with an introduction by Claude Palisca. New Haven: Yale University Press, 1983. 113 Dissertations Burns, Lori Anne. "J. S. Bach's Chorale Harmonizations of Modal Cantus Firmi." Two volumes. Unpublished Ph. D. dissertation, Harvard University, 1991. Musical illustrations Bach, J. S. The Musical Offering and The Goldberg Variations. New York: Edwin F. Kalmus, 1968. . Cantata Ns4: Christ lag in Todesbanden. Edited by Gerhard Herz. New York: W. W. Norton and Company, 1967. Bukofzer, Manfred F. John Dunstable Complete Works. Musica Britannica VIII. London: Stainer and Bell, 1953. Davison, Archibald Thompson and Willy Apel. Historical Anthology of Music, Oriental, Medieval and Renaissance Music. Volume One. Revised edition. Cambridge: Harvard University Press, 1972. Mainous, Frank D. and Robert W. Ottman. The 371 Chorales of Johann Sebastian Bach. New York: Holt, Rinehart and Winston, Inc., 1966. Pachelbel, Johann. Ausgewahlte Orgehverke. Volume II. Edited by Karl Matthaei. Kassel: Barenreiter, 1962. Scheidt, Samuel. Werke. Edited by Gottlieb Harms and Christhard Mahrenholz. Volume VI. Hamburg: Ugrino Verlag, 1953. Schein, Johann Hermann. Neue Ausgabe samtlicher Werke. Edited by Adam Adrio. Volumes II and IV. Kassel: Barenreiter, 1973. II - Other sources consulted Books Aldwell, Edward, and Carl Schachter. Harmony and Voice Leading. Two volumes. New York: Harcourt, Brace, Jovanovich, Inc., 1978. 114 Dowley, Tim. The Illustrated Lives of the Great Composers - Bach. New York: Omnibus Press, 1983. Fux, Johann Joseph. The Study of Counterpoint - Gradus ad Parnassum. Vienna, 1725. Translated and edited by Alfred Mann with the collaboration of John Edmunds. New York: W. W. Norton and Company, 1971. Articles Beach, David. "The Current State of Schenkerian Research." Acta Musicologica 57 (1985): 275-307. . "The Fundamental Line from Scale Degree 8: Criteria for Evaluation." Journal of Music Theory 32/2 (1988): 271-94. . "A Schenker Bibliography." Journal of Music Theory 13 (1969): 2-37. . "Schenkerian Theory." Music Theory Spectrum 11 (1989): 3-10. Berry, Wallace. "J. S. Bach's Fugue in D# Minor (WTC #8): A Naive Approach to Linear Analysis." In Theory Only 2/10 (Jan., 1977): 4-7. Brown, Matthew. "The Diatonic and the Chromatic in Schenker's Theory of Harmonic Relations." Journal of Music Theory (1986): 1-33. Burkhart, Charles. "Schenker's Motivic Parallelisms." Journal of Music Theory 22/2 (1978): 145-175. Burns, Lori Anne. "J. S. Bach's Mixolydian Chorale Harmonizations." Music Theory Spectrum 15/2 (Fall 1993): 144-172. DeVoto, Mark. "Schenker Analysis." The New Harvard Dictionary of Music. Edited by Don Michael Randel. Cambridge, Mass.: Belknap Press, 1986. Forte, Allen. "Schenker's Conception of Musical Structure." Journal of Music Theory 3/1 (1959): 1-30. . "Schenker's Motivic Parallelisms." Journal of Music Theory 22(1978): 145- 175. 115 Greenberg, Beth. "Bach's C Major Fugue (WTC I): A Subjective View." In Theory Only (Jun.-Jul., 1976): 213-17. Katz, Adele. "Heinrich Schenker's Method of Analysis." The Musical Quarterly 21/3 (1935): 311-329. Novack, Saul. "The Significance of the Phrygian Mode in the History of Tonality." Miscellanea Musicologica 9 (1977): 82-127. Oster, Ernst. "Register and Large-Scale Connection." Journal of Music Theory 5 (1961): 54-71. Renwick, William. "Modality, Imitation and structural Levels: Bach's Manualiter Kyries from Clavierubung HI." Music Analysis 11/1 (1992): 55-74. Rothgeb, John. "Design as a Key to Structure in Tonal Music." Journal of Music Theory 15 (1971): 230-253. . "Strict Counterpoint and Tonal Theory." Journal of Music Theory 19/2 (1975): 260-285. Rothstein, William. "The Americanization of Heinrich Schenker." In Theory Only 9/1 (1986-1987): 5-17. Schulenberg, David. "Modes, Prolongations, and Analysis." Journal ofMusicology 4 (1985-86): 303-329. Stern, David. "Tonal Organization in Modal Polyphony." Theory and Practice 6/2 (1981): 5-39. Travis, Roy. "Towards a New Concept of Tonality?" Journal of Music Theory 3/2 (1959): 257-284. Wolff, Konrad. "Fugue Subjects Without Leading Tone in the WTC." Piano Quarterly 26(1977-1978): 11-14. Reviews Campbell, Bruce B. Review of "Introduction to the Theory of Heinrich Schenker." Music Theory Spectrum V (1983): 127-132. 116 Rothstein, William. Review of "Introduction to the Theory of Heinrich Schenker." Journal of Music Theory 27/2 (1983): 173-281.