0
ANOVERVIEW OF THEEVOLUTION OF AFFECT IN THEMU SIC
OF WESTERNCIVILIZATION FROM THEANCIENT
GREEKPERIODTHROUGHTHEBAROQUE
0
by
NANCYLYNNE HARRIS JONES
A THESIS
Presented to the School of Music and the Graduate School of the University of Oregon in partial fulfillment of the requirements for the degree of Master of Arts
August 1998 0 ii
"An Overviewof the Evolution of Affectin the Music of Western Civilization fromthe
Ancient GreekPeriod through the Baroque," a thesis prepared by Nancy Lynne Harris
Jones in partial fulfillmentof the req�irements for the Master of Arts degree in the School
of Music. Thisthesis has been approved·and accepted by:
Dr. Jack Boss, Chair of the Examining Committee 0
Date
Committee in charge: Dr. Jack Boss, Chair Dr. RobertHurwitz · D,r. Richard Trombley
Accepted by:
Vice Provost and Dean of the Graduate School
0 0 iv
An Abstract of the Thesis of
Nancy Lynne Harris Jones for the degree of Master of Arts
in the School of Music. to be taken August 1998
Title: AN OVERVIEW OF THEEVOLUTION OF AFFECT IN THEMUSIC
OF WESTERNCIVILIZATION FR OM THEANCIENT
GREEK PERIOD THROUGHTHEBAROQUE
0 Approved: ______Dr. Jack Boss
Musicians, philosophers, historians, and composers through the ages have
attempted to understand the relationship between musical modes and musical affections.
The Greeks used the modes as prescriptives healing diseases, based on the purgative for j'. power of the affections. Greek writings transmitted through Boethius were misinterpreted
ethos by well-meaning . Renaissance music theorists who believed Boethius was relating the '
of the affections to the church modes rather :than to the Greek modes. Thisthesis begins
with Plato's and Aristotle's beliefs about musical affect and ends with a discussion of the
teachings of Johann Heinichen, Johann Mattheson, and C. P. E. Bach. Stories about using 0 musical modes to bring about healing are also included. 0 iv
An Abstract of the Thesis of
Nancy LynrieHarris Jones for the degree of Master of Arts
in the School ofMusic to be taken August 1998
Title: ANOVERVIEW OF THE EVOLUTION OF AFFECTIN THE MUSIC
OF WESTERN CIVILIZATIONFROM THE ANCIENT
GREEK PERIOD THROUGH THEBARO QUE
0 Approved:· ______Dr. Jack Bos�
Musicians, philosophers, historians, and composers through the ages have
attempted to understand the relationship between musical modes and musical affections.
The Greeks used the modes as prescriptives for healing diseases, based on the purgative
• I power of the affections. Greek writings tra�smittedthrough Boethiusw ere misinterpreted
by well-meaning Renaissance music theorists who believed Boethius was relating the ethos ' . ;, of the affections to the church modes rather .than to the Greek modes. This thesis begins
with Plato's and Aristotle's beliefs about m�'.sical affectand ends with a discussion of the
teachings of Johann Heinichen, Johann Mattheson, · and C. P. E. Bach. Stories about using
I' 0 musical modes. to bring about healing are alsp included. 0 112 Heinichen remarks thatall of these examples prove thatwe canexpress
words.and affects using different,even contradicting,keys. He said everything
that has been written about affects of keys according to the old system (Greek) is
rubbish, as if one mode could be cheerfii1,the other sad, the next heroic or warlike.
Even if the old system were right, its application would failwith the slightest
change of thecommon tempering in which theinstrumental voices are never
accurate. :, " Heinichen said that if we derive I?eautifularias from one key or another,we ., attributethe good effectof thearia to th� key instead of to thecomposer. It 0 becomes belief thatthe key could not b�: expressed just as well using theopposite lyricsand affects, which he found annoying and wrong. He said it does not work
well to specifically assignone or anotherkey to any particularaffect. The
selection of the-keydepends on the mood of the composer, because we can find
thesaddest and most tender arias in d, a'.and b minor'as well as brilliant and strong
ones in a minor, e minor and c minor.
Heinichenstates, "All keys or modes,.withno furtherdifferentiation, are
suitable for expressing all kindsof, ever{ contradicting,affects." Which one will
be selected by the composer depends on: four criteria:
1. The intention of the composer:; who might have favoritekeys. 0 2. The composer's choice to exptess affectin a differentmode or key. an 0 113 3. Selection of a certainkey to suit a particular instrument.
4. Choice of key or mode to suit the range of the singer.
Heinichen said, "A master could easily compose an aria, or even an entire
opera, in fiveor six differentmanners without repeating himself. Thisis strong
proof that the loci topici give us the most beautiful opportunityfor inventions." 27
Buelow believes Heinichen succeeded in attainingthe truegoal of Baroquemusic ,
to stir the emotions.28
JohannMattheson(1681-1764)
0 Mattheson'seducation was exceptionally broad, according to George Buelow. He was trainedin music, dancing, drawing, arithmetic, riding, fencing,
English, French and Italianin addition to liberal arts. He also studied keyboard,
composition, singing, g�ba, violin, flute, oboe, lute and law. He led a rich
musical life singing withthe Hamburgopera from 1696 to 1705. In 1703,
Mattheson met Handel and, as fellow musicians, theybecame good friends.
Mattheson sang in many operas and becamean organ virtuoso. He also studied
English law, politics, economics and details of trade. By 1735, he had become·
29 completely deaf.
Buelow states thatJohann Mattheson was themost importantwriter on the 0 music of the GermanBaroque. Between 1715 and 1740, Matthesonwrote
·-, 134 0 immediate judgments. Wisdom lies in learningto be masters of our passions and
to controlthem withsuch skill thatthe evilswhich theycause are quite bearable,
andeven become a source ofjoy. 63
Descartessaid his analysisincludes all theprincipal passions and the
Greeks' analyses does not. Only passions thatcan be definedas good or evil
affectthe heart,the blood andthe well-being of our body. 64
Kivy says Matthesonassumed thatthe vital spirits were structurallysimilar
to the emotions they caused and then inferredthe shape of the emotion by
observingthe expression-behavior . Ifhe could have turneda microscope of the 0 emotions on the vitalspiri ts to observe their structure directly, he would not have needed to use introspectionto examine expression-behavior of self or others. 65
We will now look at an outgrowthof the Doctrineof Affectionsin the
eighteenthcentury.
Der emp,findsamerStil as Expressed by Carl PhilippEmanuel Bach (1714 - 1788)
CarlPhillip EmanuelBach was knownto close his eyes in deep
concentrationwhen he played his clavichordto allow his inner-most emotions to
express throughthe music as he played. Inhis father,Johann Sebastian Bach, and
in Georg Friedrich Handel, Emanuel saw and heardthe greatestrepresentatives of 0
ANOVERVIEW OF THEEVOLUTION OF AFFECTIN THE MUSIC
OF WESTERNCIVILIZATION FROM THEANCIENT
GREEK PERIOD THROUGHTHE BAROQUE
0
by NANCYLYNNE HARRIS JONES
A THESIS
Presented to the School of Music and the Graduate School of the University .of Oregon in partial fulfillmentof the requirements forthe degree of Master of Arts
0 Augt,ist 1998 0 ii
"An Overview of the Evolution of Affectin,the Music of WesternCivilization from the
Ancient Greek Period through the Baroque,?a thesis prepared by Nancy Lynne Harris
Jones in partial fulfillmentof the requiremeritsfor the Master of Arts degree in the School
of Music. This thesis has been approved and,, accepted by:
Dr. Jack Boss, Chair of the Examining Committee 0
Date
Committee in charge: Dr. Jack Boss� Chair Dr. Robert Hurwitz Dr. Richard Trombley
Accepted by:
Vice Provost and Dean of the Graduate School
0 0 iii
© 1998 Nancy Lynne Harris Jones
0 0 iv
An Abstract: of the Thesis of
Nancy Lynne Harris Jones forthe degree of Master of Arts
in the School ofMusic to be taken August 1998
Title: ANOVERVIEW OF THEEVOLUfION OF AFFECT IN THEMUSIC
OF WESTERNCIVILIZATION FR;OM THE ANCIENT [; GREEK PERIOD THROUGHTHE'BARO QUE
0 Approved: ------,------��------ Dr. Jack Boss
Musicians, philosophers, historians, and.composers through the ages have
attempted to_ understand the relationship between musical modes and musical affections.
The Greeks used the modes as prescriptives forheali ng diseases, based on the purgative
power of the affections. Greek writings transmitted through Boethius were misinterpreted
by well-meaning Renaissance music theorists who believed Boethius was relating the ethos
of the affectionsto the church modes rather ihan to the Greek modes. This thesis begins
with Plato's and Aristotle's beliefs about mu'�ical affect and ends with a discussion of the i: teachings of JohannHeinichen, Johann Matt�eson, .and C. P. E. Bach. Stories about using .-0 musical modes to bring about �ealing are also included; '· V 0
CURRICOLUM VITA !:
NAME OF AUTHOR: Nancy Lynne Harris Jones , PLACE OF BIRTH: Lamed, Kansas
DATE OF BIRTH: November 27, 1938
GRADUATEAND UNDERGRADUATE SCHOOLS ATTENDED:
University of Oregon San Jose State University University of California, Santa Barbara 0 Santa Barbara City College ·.
DEGREES AWARDED:
Bachelor of Arts in Music, Piano Performance, 1975, San Jose State University Associate in Arts, 1970, Santa Barbara City College
AREASOF SPECIAL INTEREST:
Counseling and Writing Books on Healing Playing Jazz Piano
PROFESSIONAL EXPERIENCE:
.Professor of Piano, Department of Music, Northwest Christian College, Eugene, Oregon, 1997 - present
Piano Instructor, CommunityMu sic lnstitute, University of Oregon, 0 Eugene, 1996 - present 0 vi AWARDS AND HONORS:
Who's Who in the Media and Communication, 1997 - present PEO Scholarship Winner, $3,000, 1996 - 1997 American Business Women's Association Scholarship Winner, $1,200, 1996 Phi Kappa Phi Honor Society, San Jose State University, 1975
0
0 0 vii
TABLE 0:f CONTENTS
Chapter Page
I. INTRODUCTION ...... : ...... 1
Purpose of This Thesis .. : ...... 1 · Background and Origins ...... 2 Origin of the Modes ...... : ...... 5 Review ofLiterature·...... : ...... 6 Summary of Chapters .. : ...... , ...... 8 Notes ...... : ...... , ...... 11 0 II. THE ANCIENT GREEK AND ROMANPERIOD ...... 14 Pythagoras (582 - 500 B.C.E.) ...... 16 The Harmoniai ...... : ...... 18 Plato (427- 347 B.C.E.) ...... •...... 22 Aristotle (384- 322 B.C.E.) ...... '.···········································27 Hibeh Papyrus...... 29 Aristides Quintilianus.(200 C.E.) ...... 30 Boethius (480 - 524 C.E.) ...... 33 Notes ...... 37
III. THEMIDDLE AGES ...... : ...... '...... 42
Magic and Musical Chanting ...... : ...... 43 Boethius (480- 524) ...... :: ...... , ...... 45 Medieval Modal Theory...... :······················································· ············· 48 Notes...... •..... : ...... 57
IV. TIIE RENAISSANCE...... , ...... 60
.Antiquity Revisited ...... :·...... 60 The Affects and Modal Misappropriation.· ...... 63 Modal Metamorphosis ...... :/ ...... : ...... 66 0 Word-Painting vs. the Concetti...... ;:...... : ...... 74 0 viii Chapter Page
Text Setting ...... •· ...... · ...... 78 Josquin Des Prez (1450-. 152 1) 80 Adrian Willaert (1490 -1562) ...... ( ...... 83 The Florentine Camerata ...... :'...... 86 Notes...... ': ...... 89
V. INTO TIIEBARO QUE...... :-...... '.:...... 94
:i JohannDavid Heinichen (1683 - 172:9)...... 95 Johann Mattheson (168 1 - 1764) .....' ...... 113 Der empfindsamerStil as Expressed :by Carl Philipp Emanuel Bach (1714 - 1788) ...... 134 Notes ...... '...... 144
APPENDIX
A. TIIEORISTSAND MUSICIANS ...... ,,.... : ...... 150
0 Greek and Roman Period (2,000 B.C.E.-476 C.E.) ...... 150 Middle Ages (600 - 1450 C.E.) ...... 150 Renaissance (1450 - 1600) ...... 151 Baroque (1600- 1750) ...... 151
B. ILLUSTRATIONS...... , ...... 152
BIBLIOGRAPHY...... ,...... 154
.o 0 ix
LIST OF EXAMPLES
Example Page
l. Harmoniai, Greek Modes ...... A ••••••••••.•...... ••••••••••••••••••...... 26
2. The Greater Perfect System ...... \ .... : ....'...... , ...... 47
3. The Eig�t Church Modes with Auth�ntic and Pia.gal Distinctions during the Eleventh Century ...... _ .... : ...... : ...... · ...... _...... 4 9
4. The HarinoniousUnion of the Muse�, Modes and Planets, From the Thirteenth Century...... :; .:...... � ...... : ...... 50 ': 0 5. Hexachord Syllables Combined wit�'Modes (later Middle Ages) ...... _ ...... 51
6. Rediscovery of the Eight Modes ofB,oethius ...... 62
7. Matteo Nardo's Table ...... : ...... : ...... , ...... 64 . •
8. Greek Modes Compared to Church �odes... .. , ...... 65
9. Glarean's Twelve Modes ...... : ...... · ...... 69
10. The Four Elements ...... : ...... '...... 73
. 11. Josquin Des Prez, Psalm 129, Deep �ilguish, serene confidence...... 75
12.- Jpsquin ..... ·· ······················:··············;:...... , ...... 80 . .·
13 . Josquin, "De profundis. " ...... ''; ...... 82 ' . 14. Willaert's Madrigal. Sad and Subdu;ed Affe cts Using Intervallic Combinations ... 84
15. Willaert. Happy, excited, virile, nat�ral feeling...... '...... 85 0 16. Rage. ··············:······························':···································································· 99 0 X Example Page
17. Quarrelsomeness...... ; ! .... ·. :...... _...... 100
18. Pompousness...... ,'.: ...... _ ...... 101
19. Eternal pursuit of fortuneexpressed in a bass theme ...... 102
20. Fickle or furious fortune...... ': ...... 103
21. Ever ..:changing or calamity-bearing fortune ...... 104
22. ·Love...... ·...... 106 ., 23. Burning fir_e of love...... ,:...... · ...... 107
24. Flirtatiousness ...... 108
25. Tenderness.-...... · ...... ' ...... , ...... 109
0 26. Sighs of Love ...... 110
27. Sighing ...... :...... 111
28. Invention of a Main Theme...... · ...... 122
29. Invention through imitation of the first fivenotes ...... 122
30. Canonic imitation in passages with two or more voices...... 123
31. Despair .:...... _ ...... 125
32. Clever and playful yet avoiding excessive cheerfulness...... 126
33. Bitter lament (grief)over parting from the beloved ...... _...... 127
34. Scornful,bursting forthin unexpec(edjoy ...... 128 .. 35. Trembling shimmer of the murmurihg waves ...... : ...... 129 ·' . 36. Little turns, clever passages, pleasaht runs and jumps ...... 130
0 37. As a connected phrase, these melodic ideas might look like this...... 131 xi 0 Example Page
38. Writing musical inventions using /opus notationis ...... 131
39. C. P. E. Bach, Sonata No. 23, II. Lovely melting figures with a rising theme .. 140
40. Sonata No. 25, I. Bizarre, grotesque ...... 141
0 1 0
CHAPTER !
I INTRODUCTION
Purposeof This Thesis
This thesistraces the · evolutionof_ theemotions .(affections) in music from
theGreek culture� ough theBaroque p�rlod. Affect in �usic is a topic that
volumes could be writtenabout. Inma.tj y areas I have opened doors, but just
0 looked in because each area was diverse·; I have gathered, organized, and
expanded on informationabo1:1t musical aff�ct•through the ages. My purposeis not
to cover all topics concerningmusic an�.emotions, but to trace anearly lineage
thatled -to some of the- multiple developthentsin theexpression of musical
affections.
A themethat arose repeatedly throughout thisresearch was theseeming
conflictbetween the ancient Greek Pyth�gorean approach to music as illustrative
of mathematical principles andthe Aristptelianapproach to music as primarily for :, •' our li�tening pleasure. Of course, the m�thematicalapproach and the listening
approach to music were combined. in. nuinerousworks in later centuries.1 - '1: 2 0 •While Plato's approach to music was numerical, Aristotle's was for
enjoyment andpleasant listening. Warren Anderson states in his article entitled
in iat Aristotle's flatpronouncemen t is "that "Ethos" The New Grove Dictionary ., the [Greek modes] consist of�otes and nothingelse." 2 The harmonia mathematicalapproach even in theMiddle Ages was so· complex, the theorist
;; Hucbald said, "One trainedfor no short� e ...may, at length,be grantedentry to
the innerregions of thisdiscipline, the darkness being graduallywithdrawn from
his dull eyes and their visionmade keen. He may understand how everythingis 3 broughttogether and connected through:the-logic of �umbers."
0 Background and Origins
denotingthe character of the speaker, and theappeal to the Ethos, pathos, emotions, were subjects theGreeks understood well. Gordon Kirkwood tells us
thatthe or "word," whetherin prose or verse, was believed magical in its logos,
effects, and penetratedthe soul for good'o:: r ill as a drugor medicine penetratesthe 4 body. Accordingto Bywater, trainingin music andpoetry formed a prominent
partof everywell�bom Athenian's education.5 AnyGreek or Roman citizen who
lacked thistraining . was considered impr9perly' educated. He could not functionat
thesame level as his colleagues unlessh� could recite poetryacco mpaniedby
music to entertain his fellow noblemen the Symposium. 6 0 iil 3 .0 The Greeksbelie:ve d music whicharoused passion could relieve thelistener ,. _ of troubledfe elings.7 Plato related man{s body, harmony, andsoul to the ,; universal. He used music to affectively �estore harmonyin a person who was
experiencing disharmony in hisbody. Both Aristotleand Plato stressedthat artis . ' .animitation of nature. To �stotle, imit�tion was synonymouswith "poem."8
Hutton says poetryand rhetoric were amongArist otle's principal interests, though
of his writingson thesesub jects, only the Poetics andRhe toric survive. 11 Aristotle(384-322 B.C.E.) lived at a timewhen theancient Greek traditions f 9 of Homer and.Euclid were long past, th�ugh rhetoric was attainingits full stature. 0 WhenAristotle wrote about thepoetic aft, he had beforehim the finest products of hisrace . · Greektragedy had alreadyreached its peak, anda declinehad set in.
The time was ripe fortheoretical reflection and critical investigation. 10 Aristotle
believed by experiencing the· samepassion as the actor on· stage, thespecta tor was
relieved of hisown similar passion. Plato, however, believed purgation occurred forthe spectator through experiencingthe opposite passion. The ancientPhrygian andMixolydian modes were the modes most apt to achieve effective purgation
through awakeningthe affections. The Dorian mode was not effective for
purgation..
in Greek meant"make r." Plato, inthe tenth book of the Poetes ,. Republic, called poetrythe false siren, theimitator :of shadows, the ally of thelow andweak 0 I ' ' 0 4 inthe s oul. Poetrywas "making," b:ut artwas always an imitation, e.g. theFall of
11 Troy or the· likeness of Pericles. Aristotlesaid, "Epic poetry, tragedy, comedy,
thedithyramb , 12 and most music performed on theflute and lyre were all
imitations. Bywaterstate s thatpiots of tragedyoriginated from sacred mythsor
heroic sagas and denoted classical GreeJ<:,' history. They were not completely
fiction, ratherbased on fact.\ Children '3/eretaught the Homeric epics as thebasis
of education. New Comedy, whichwa� theonly livingform of dramain
13 Aristotle's day, had plots that were inv�nted. · Homer is credited withbeing the firstto outline thegeneral forms of com¢dy by producinga dramaticpicture of the
14 ridiculous in his comedy, 0 Ma rgites.
Tragedy, according to Greektradition, ;, originated with theritual of
Dionysus, performedat his festival representing his sufferings andpassions. The
purificationor purgation, ma� have originatedhere. is an old katharsis, Katharsis Greekword. The Dionysus ritualwas a purification of thepoison s of a'katharsis, the past year. The mimicrepresentation !on thes tage of incidentsarousi ng pityand
feardid act as a of such passiops or sufferingsin real life. 15 katharsis · Tragedy must arouse pity and fearin the audience. The.tragic event occurs ', f withinthe sphere of thenatural aff ectio iiis, when a man kills his brother, or a son I'
his fatheror a mother' her' son, or a son ltjsmother. If enemy hanns enemy or if 0 · th�parties are neitherfriends nor .'�nemiis, therei � nothingto pity. 16 0 5 0 Boethius (480-524 C.E.) was the last of the Romans who studied Aristotle
in the Greek. He quotes fromChapter 20 of the in his commentaries on Poetics
Aristotle's writings. 17 For centuriesthereafter, scholars were content to rely on :,
Boethius fortheir knowledge of Aristotle. 18
Aboqt 1200 C. E., the "New Ari�'totle" began to appearfrom Syria throu gh
Africaand Moo rish Spain and in the sp6ils of returning Crusaders from theEast.
By thebegi nning of the Renaissance, Greek andLatin had been long neglected in
Europe. The classical writingswere also hard to obtain. Boththe and Rhetoric the were poorly translatedinto Latin, Arabic, or Syrian andthen translated Poetics 0 fromthe se poor translations intoother l�guages, rather thanfrom the original version, because of the scarcity of competent Greek translators. Some of these
translationswere worse thanusel ess, according to Herrick. 19
. Origin of the Modes
. It is importantto studythe development of theorigin of themode s in
ancientGre ece because theemotions were expressed through themod es. Precisely
which mode expressed �hich affect was based on the origination·of the name of
each mode. It would be aninteresting st,udyto perusetexts writtenin Greek on the \ : ancientorigins of the modal names. Because theGreek civilization began around 0 2,000 B.C.E., thisinf ormation may not �s yet be translatedinto English. The 6 0 namingof the modes was ancient historyeven to Plato. The modes were named
based on many adjectives which describedthe characteristics of each of the Greek \, ', tribes. It would seem thatthe answer t�, thetrue origin of thenaming of the
ancient Greekmode s probably lies som�where in thefolklore, folkmusic, or
ancient customs of each individual Gre�.k tribe. To findmore answers regarding ,, thenaming of theGreek modes, one might have to studythe ancient history of the
Hellenic race.
To furtherunderstand thereal ch�acteristicso f theorigin of themodes, one
would have to study' the . basic characteri;stics,' habits, attitudes, and life-stylesof
0 each of theancient Greek tribes (e .g. thJDorians, theAeolians) in some detail.2 0 The Greekmodes already bore theirnames at thepoint thetexts beganfrom which
my researchon ancientGreek mJisic wa� conducted. I foundno earlier sources
writtenin English.
Review of Literature
t I was particularly difficult to find information on musical in the ethos . Middle Ages. Secondarysources include the section on 'mode as 21 in i• ethos' HaroldPowers .' article entitled-"Mode" . k ·The New Grove Dictionaryof Music andClaude Palisca,. who,:has a fewscattered pages on in his and Musicians, ethos book, WarrenAnderson has a 0 Humanism in Italian R traced thelineage of theevolution of the transmissionof emotionsthrough music as its main subject. In Palisca' s book, Humanism in Italian Renaissance Musical Thought, he includes a section entitled "Expressing theAffections." . Palisca discusses "poetic furor," whichwas the ancient Greeks' way of conjuring up images chargedwith associationand affectionsthrough concentrated imagining. He says, "Inthis state, the poet composes almost from the heart." 23 He talks about Aristotle'stheory fo r .purgationof negative emotions through.the representation of a similar affection 0 whichcontrasts with Plato's methodfor: purgation through recalling the opposite emotion. Otherimportant secondary sourc:�s relating to affect in modes were Claude Palisca's Studies in the Historyof Italiah Music and Music Theoryand M. L. West's Ancient Greek Music. HaroldPowers ' articleon "Modes" in The New Grove Dictionaryof Music and Musicia'nswas particularly informativeon modes ,, ,, in theMiddle Ages; andGeorge Buelo"''s threearticles in The New Grove entitled the"Doctrine of theAffections," "Johan;nDavid Heinichen," and"Johann ,. Mattheson ". were all importantsources gf information. I found no book with a clearlydef ,, med list of the attributes' of the Greek ,, 24 0 modes. This info�ation was scattered �ere andthere. Also, not everywriter -,, 0 8 agreed as to what the original characteristicsof the Dorianor Phrygiantribes really were. This was animportant point because I was researchingthe origin of ,, the modes as a startingpoint. It was ntjtuntil I was studying Der vollkommene by JohannMattheson th�t I felt more enlightened because of his Capellmeister discussion of the Greektribes. Matthesondoes not state where he foundthe informationabout the Greek tribes, but :hiswritings on theorigin of thenames of the modes were more comprehensive thanthe books I had already studied by Palisca and West on ancientGreek mus'ic.25 Most books on Greek music history or theory tend to begin sometime into �e development of actually composed !, 1 0 Greek music rather than the beginningsof thisdevelopment. Summaryof Chapters ,, "The Ancient Greek and RomanPeriod, " Chapter II, traces theGree ks' beliefs about music, rhetoric, poetry, the andincludes some harmoniai, ethos, stories about healing with the modes. A look at the Greeks' point of viewon the affections,the modes, andtheir purposes for music arepresented in thethoughts _ andwritings of Plato, Aristotle, Aristides Quintili�us, andBoeth ius. "The Middle Ages," Chapter III, presents new developments in music with . ' the growthof Christianityafter the downfall of the Roman Empire in the fifth 0 century. . Because of the conscious destrµctionof Greek andRoman music by the 9 0 i, early ChristianChurch, only Boethius' De institutione musica was available for referencein theninth cen turyconce rning themusic theoryof the ancientGreeks whose civilization was defunct. This chapter covers the merging sourcesof music . theorywhich coalesced during thisperiod. !l It covers some innovationsof Guido d'Arezzo, comparesthe Church Modes t,o the Greek modes, andincludes a section ,, ; . on modal ethos. The only secondary soi�rce I could locate on ethos duringthis ',, periodwas in thesection entitled "Mode's" by Harold Powers in The New Grove. "The Renaissance," Chapter IV, 4iscusses there-disc overyof theancient Greektexts of Plato, Aristotle, Boethiusj'and others, andthe resulting revivalof the affections in music. This chapter presents the confusionwhich resulted 0 ,, ' because of the scribes' inability to undeistandmusic theory,the music theorists' inability to understand the Greek language, and the mistaken confidencethe music theoristsplaced in each other's interpretationof Boethius. The beliefs and writingsof Glarean, Gaffurio,and Zarlit�o are presented along withthose of Mei andGalilei ..Musica l examples of Dufayand Josquinare off ered showing differences betweenword -paintingand tl;ie concetti.26 Examples by Willaertare presented showing text setting to expres� the affections. "Into the Baroque," Chapter V, pfesents musical examples whichexpress Der General affections.. through music as presented by JohannDavid Heinichen in , 11 , j, Bass in Der Komposition. Manyexamples showing the use of variousloci topici ;: ,. 0 ,, 10 0 ' . •, in. co mposing inventions (melodies) as presented by Johann Matthesonare ,: ,, included, as well as hisdefiniti ons of m'any affections which he believed were vital.for contrapuntists· to understandthc)foughly . Comments by ErnstHarriss and Hans Lenneberg, translatorsof are included Der voll/wmmene Capellmeister, ,, In theBaroque period, Mattheson,' believed theemotions were vitally ; importantto studyto .gain.an understan1ing of thetrue nature of composing music. On theother hand, Heinichennegated �e Greeks' beliefs in as applied to the ethos modes. Matthesonalso recommended thatcomposers ·study Descartes,w ho believed th�the had done a rnorethoro �¢1jo b of analyzing theemotions than 0 even the Greeksthemselves had done.27 I Thisthesis ends with a section on C. P. E. Bach and Johann.Quantz as theyrelate t9 thechanging attitudestoward affectin music in thelater eighteenth century. 0 0 11 --- •------a -- -- �,, ••�• •- • • -• .-,' � ..____ .. 1 e.g., the "Crucifixus" from J. St Bach's Mass in B Minor 2 WarrenAnderson, "Ethos," The New Grove Dictionaryof Music and ed. Stanley Sadie, vol. 6 (Loi;l.don: Macmillan, 1980) 283-285. Musicians, 3 Claude Palisca, ed., Hucbald, Guido, and John on Music, Three Medieval trans. WarrenBabb (New Haven: Yale UP, 1978) 13. Treatises, ' 4 The reader is remindedthat present-day theoretical terms and concepts were unknownto the Hellenic civilization. For example, theterm "harmony" to the Greeks could mean (melody) or (modes), but not at all what me/os harmoniai we in thepresent centuryconceive harniony to'be. Placing. currentdefinitions onto ancient termsis a fallacythat must ,be carefullyavoided. 5 Much misunderstandinghas beericaused by modem attemptsto strictly limit themeanings of Greek words, accdrding to Bywater. Ancient Greeknouns 0 cannotbe translateddirectly into exact e;quivalents in modem English. Every proposition has to be reduced to its lowest termsof thoughtand thenre-built. 6 The Greek noblemen's after-dirtnerget-together. 7 Claude Palisca, (New Humanism in lia/janRenaissance Musical Thought Haven: Yale UP, 1985) 407. 8 trans. Georg.e Whalley(Buffal o: McGill's Queens Aristotle 's Poetics, UP, 1997) 45. 9 1-3. Aristotle 's Poetics, 10 MarvinTheodore Herrick, (New The ·Poetics of Aristotle in England Haven: Yale UP, 1930) 2-3. 1 1 Horace, (Edmonto�: U of Alberta P, c. 1990) 8. Ars poetica 12 Dithyramb - an elaborate chor�l song with narrative content (myth) originally associated withthe worship of Dionysus. Like tragedyand comedy, it was performed. in poetical contests: 'I ' 213.) 0 • • (Ha,:VardII Dict ionaryof Music, ., 12 0 -- - -�. ;-- - .. ____ - L ------· ------··------:... i ···- . : ·\·� - _, . ·-- -- -�-----_.,- .- -·:·· -'�-- . 12. Ar� poetica, 14 30.;3l. Ars poetica, 15 14-16. Ars poetica, 16 58-59. Aristotle 's Poetics, 17 24. Aristotle 's Poetics, 18 Herrick, 2-3. The Poetics, 19 Herrick, 9. The Poetics, 20 Information on the origin of thenaming of the modes was obtained from Johann Mattheson's trans. Ernest C. Harriss · (Michigan: UMI ReseaDerrch vol/k Preommeness, 1981 f;aj 178pel-181./meist er, 0 21 Harold Powers, "Mode as vol. 12 (London: Macmillan,Ethos," Th 19e New80) 410Grove-411. Dict ionaryof Music andMusicians, 22 Anderson, 282-287. "Ethos, " 23 Palisca, 405-406. Humanism, 24 In by Claude Palisca, briefStudiescomments in the concerning Historyof theItalian :affections Music andandthe Mus modeic Thseory were scattered witha footnote here and a sentence or twothere throughout the chapters, rather than 6rganized into larger sections. M. L. West, in hisboo k, also devotes a few scattered pages to and "modes." Ancient Greek Music, "e,fhos" 25 Books by Claude Palisca: · Haven: Yale UP, 19Hu'#lanism85) and in Italian Renaissance Musical Th ought(New Studies in the Historyof Italian Music (Oxford: ClarendonP, 1994). A book by M. L. West: and Music Theory ClarendonP� 1Q;92) . Ancient GreekMusic,'(O�ord., : ' 26 of them�aning b�hind the words. Concetii-.;Expression 0 13 -- � ... . - - -- - ·tj• ..-, ·· ---- . . ·-- - .._...... �- ��-.. -- - ..p--R . d- .· .-- • -•------.:- ______,..r-- 0 h W :.p;��i��s of J� Phi/os�;fiiciirtii;�� o , . .-:- . ---27 Re�;-D;;��;s� - -:s��l��:-:Te f. Descartes, trans. Cottingham, Stoothoff;: andMurdoch, vol. 1 (Cambridge: · CambridgeUP , 1985) 333. 0 0 ·o 14 CHAPTERII THE ANCIENT GREE;((AND ROMAN PERIOD :, An ancientand enduring though(;is that music is anecho of the original impulseof divinecreation . Confucius� theChinese philosopher who lived a centwybefore Plato, said that music is bornof emotion, and thatthe musical goal is "spiritualp ower inherentin nature," �d that "trulygreat music sharesthe 0 principles of harmonywith the universe ."1 Confuciusrecognized the necessity of thehuman participant ina connectionb'�tween music and the emotions.2 Musical discussions tended towardeither its mathematical properties or its affect. Greek culture, including music, developed frominfluences of Egyptian, 3 Phoenician, and Asian cultures around 2000-1500 B. C.E. the Greeksbelieve d therewere threekinds of music: the mU;�icof theuniverse, human music, and ,. instrumental music, according to Boe�us. The music of the universe could be studied in the elements and in theseas �ns as observed in the heavens. They believed an establi�hed order of motio�: is present inthe seemingly silent celestial motion. · Human music could be compr¢hended by examiningour own natureto 0 understandthe partsof the soul itself. pistrumentalmusic was produced by 15 0 strumming,blowing, striking, or with Water. Physical emission of soundwas an 4 audible medium of an inner, transcendeiit power. Aristotle said, "Art imitates nature:"5 Greek music, whichwas monop�onic, was played on stringed instruments such as the lyre andkithara . Our attemP,tstoday to simulate thesound of Greek music may be in . vain, because only a few" notated fragmentshave survived. The purpose of Greekmusic was to support poetry;the reasons formusic were basic education and healing. Music on thekithara was believed to have the power to allay anger andheal diseases. The aulqs, a reed instrument,6 played over the 0 affectedparts in the Phrygianharmony,, .was believed to heal sciatica. Greek instrumentswere handcarved or made fromthings foundin nature; their ., philosophyof life was one of many goqs, many lovers, and aggrandizementof the 7 body. • ,.,, Primitivemelody did not extend.,much, if at all, beyond therange of a single octave, andit was oftenrestricted to less thanan octave . Their harmoniai might have used just five or six differe�t notes, and in some cases only two or ,. three.8 These notes formeda closed system, characteriz_ed by a particular structure. As far as a particular was concerned,other notes, higher or harmo1JiaI lower, did not existat all. One of the c;�remonial tunes attributedto Olympus, the Libatory,wa& apparentlybased on fivei:notes, f q b '. Th� note-names given 0 e c 16 0 here serve merely to characterize the ini¢tvals of thescale; we do not knowthe actual pitch.9 Terms such as (intense) and (slack) were used to syntonos chalaros indicate highness,lowness, and range. 1Q: ,, Pythagoras( �82 - 500 B.C.E.) ,, No books by.Pythagorashave co�e downto us. His writingson musical ,, 11 ratios arepreserved in theworks of his fo;, llowers-the Pythagoreans. Mathematicallaws were thoughtto underlie thesystems bothof musical intervals ,. and of heavenlybodies; and certainmo ?es andcertain notes were believed to 0 correspondwith particularplanets and� eir movements. 12 Pythagorasconceived the Doctrine of which states thatbecause of its numerical basis, music is a Ethos forceof moral value. 13 Pythagorasbelieved that song performed many,wonders in theaffections of thebody andmind. To be a mathmaticiandid not imply thatone did not believe in thepower of it simply meant 14 were constructedmathematically. ethos; har;,,oniai ·, The Pythagoreansare reported to have �lassifiedtypes and used music to produce ,· differentaffects forrousing or calming �motions. They probably took both harmonicintervals and rhythmsinto acc '.ount in their classificationand regarded ' 15 number ratios as the crucial factorin ea�hi; case. :1 . Ii According to Strunk,the power �f the art of music becameso evidentto the 0 .. 17 0 Pythagoreansthat they would freethem selves fromthe cares of the day with melodies thatc aused a gentle and quiet 'slumber to steal upon them. Upon rising, theydispelled the stuporand confusion,of sleep by othermelodies, thinking that ', thewhole structureof soul andb ody is µnitedby musical harmony. Whichmodes ·, Pythagorasused to dispel anger or stup9r of sleep was not indicated. 16 Pythagoras calmed and restored to self-mastery a youth, who became wrought up by thesound of the Phrygiahmode and was about to set fire to the !' house of hisrival. By changing the mode of hismusic, the youth'sfury was reduced to a state of perfect calm. 0 Warren Anderson says thatover the centuries, manydiffering views, sometimes sharplyopposed, have made. up the shiftingpattern of beliefs :,. concerningmusical M ..L. West }Vritesthat mode, interval, rhythm, and ethos. tempo had a considerable role to play inI determiningthe 'character andemotional affect of an ancient Greekmusical composition. A given mode or instrument might be credited at differenttimes and: places withdistinctly different characteristics. 17 The belief in originatedin ::a viewof music as being magically potent, ethos an idea whichwas widely held through�utthe Near and.Middle East. The term cameto meanthe sense of moral pharacter. implied an attribute, not ethos :: Ethos ' . merely of persons but also of musical phenomena, whichwere vehiclesfor 0 ,, 0 18 conveying ethical attitudes. The liberatw-gforce for working the magic through music was Pythagoreantheory, which brought musical phenomena under the I • controlo f number andrelationship ( one:pf the main senses of 18 harmonia). The Harmoniai According to Plato, consisted of mode andrhythm lodging fastin the ethos soul's deepest recesses. He did not believe that IIlUSic itself had in it. He Ii ethos saw it as a vehicle for 19 inthe se�erithand sixth centuriesB. C.E., a song ethos. :, 20 was not made up of a scale pattern, but tatherwas a referenceto a melodic style. . ! i' The modes were namedafter the variousGreek tribes, the Dorians, Aeolians, and 0 . . Ionians.21 According to AndrewBarke�� from the seventh centuryB. C.E., the Greekswere familiarwith a number of ciistinctmelodic styles, associated with different regions or peoples of the Aege:an area. Interaction between Greeks from differentplaces, andalso contact with non-Hellenic cultures, led to theadoption of other harmonies into themusic of the major centers of civilization. By the sixth centuryB. C.E., thisprocess was well aclvanced; Ionian, Phrygian, Lydian, and Dorianmusic expressed distinct charac��rs, with particularemotional, aesthetic, 22 ,and moral affects.based on different religious or culturalpatterns. The Dorian harmonycame to be thought of as peculiarly Greek. 0 By thelate sixth century, niusiciimshad to be aware of thestructural 19 0 differencesbetween the regional forms of melody.23 The use of aninstrument ,, tunedto a definite scale made possible the beginningsof a systematic varietyof scale forms. If the stringshad to be tun�dto a definitenote-series in advanceof a performance, themusician had to know: the formof the scale he was using andthe alterations needed to produce it. Even�ally a system of came to replace the tonoi 24 at least in the writings of theharmonic theorists. harmoniai, At the beginning of the fifthcen� B.C.E., theAeolian was ,, harmoniai I thought to express the merry lightheartedness of theAeolian people, who were ,, neitheranguished nor serene. The Ionians had excellent physical condition, were fond of contention, never showed affection, and were never. kindor . cheerful. The 0 '! 25 Ionian harmony was hard and serious--�ell adapted to tragedy. Plato said a lustfulmind takespleasure in the lustfulmodes. A sternermind finds joy in the ;; inore stirring modes. Plato wrote, "Thi� is why the musical modes were called by thenames of the tribes of peoples, for� hatever mode each people delighted in, it 26 was named after them." ,' Sophisticated fifthcentury B. C.�. composers might shiftfrom one style to anotherin the courseof a single piece �,s a way of generating changes of feeling i ,' and mood. These differenceswere ,sufficiently�arked in the fourthcentury for philosophers, notably Plato, to use theyµ as the foundationfor their theoriesabout I' thedistinct moral characters and influences of different kinds of music. 0 'O . Af.l: OVERVJEW\OF THEJ�'.VOLUTION OF·AWFECigtN:t:fHJ?·.M;tJSIC .. ··· · ...... -OF WESTERNCIVILIZATI i: ON. FROM,. THE ANCIENT! GREEKPF &{QJ}THROUGH THitUARQQU:E 0 by NANCY LYNNEHARRIS JONES . Pre�nt'e'dto;the sdhool of Music and the �aduat(f Si'choo:1 off�e Univer$}ty;qf0tegoir in partia:ffulfillmenf the requir�_fue,it.s:; for th� degree of Master of Arts :i of: I , 0 ANOVERVIEW OF THE EVOLUTION OF AFFECT INTHE MUSIC OF WESTERNCIVILIZATION FROM THEANCIENT GREEKPERIOD THROUGH THE B.AROQUE 0 ·by NANCYLYNNE HARRIS JONES A �HESIS ,. (. Presented to the School of Music and the Graduate SchooI of the University .of Oregon in partialfulfill ment of the requirements forth� degree of Master of Arts ,; August 1998 0 ,, 0 20 By thelater fifthcentury, according to Barker, a fairlyclear general conception beganto emerge about the ways in which distinctions between regional styles were described. The main differences betweenregional typeswere identifiedas differences in harmonia (differences in the particularpattern of tuningof aninstrument). By retuning theintervals between thestrings of a lyraor kithara, a performer coul4 preparehis' instrument for a piece in a different harmonia--Dorian, Phrygian, or whatever. The ancientstuned by using different sizes of intervals, different orders of intervals, different numbersof notes for a particularharmonia, and variousrange s. The harmoniat were not modificationsor 0 transformations of one another. M. L. West states thatDamon was importanttheori st of thela ter fifth 27 centuryB. C.E., �ho was' a colleague of Plato.an He was the'first writer we know of who explained modal ethos indetail . He believed that musical modes and rhythmswere intimately connected with ethical qualities. He set out a seriesof modal scales, enumeratingtheir no tes andintervals, andcommenting on their qualities. He did likewise withrh ythms,commending some, condemningothers as 28 expressive of°oodignifiedaggressi on, frenzy, or othervices. Numerical ratios 29 played· a partin his theory, so that a Pythagoreaninfluence may be inferred. Aristides Quintilianus (200 C.E.) preservedthese ethical qualities, saying thatthey 30 0 were used by themost ancient musicians. The Damonian scales include: 21 0 IntenseLydian e ei fa c' Ionian e ei fa c' d Dorian a elf rat \: ff c' e' .. Phrygian deei fa b bi c' d' h Mixolydian e ei f g a ai b e' 31 These notes do not indicate absolute pitch. The up arrowindicate s a quartertone above. Attempts to reduce harmoniai to a system probably originatedin the later fifthcentury B.C.E., partlyunder the influence of musical theory, whichwa s.just 0 beginningto appear as a serious technical discipline. Aroundthe year 400 B.C.E., a school of harmonictheorists re presented on a diagramthe seven harmoniai, which dividedthe space of anoctave into twenty-four quarter-tones. The entire 32 two-octave scale was called the GreaterPerfect System. The list retains a number of theold names, e.g., Dorian, Phrygian, etc. Others, such as Iastianand Aeolian were leftou t, .and instead we findwhat were obviouslyspecialists' terms, Hypolydian� Hypophrygian,Hypodo rian. These harmoniai arereferred to as the 33 "Greekmodes. " 0 i------�---- 0 22 i Plato {427 �.3Jt;z.1tt.E.) -The great Greekphilosopher, Plato,_ studiedmusic witha pupil of Damon andtook up Damon's ideas. He; like Pythagoras, believed rhythm andmelody imitated the movements·ofthe heavenly bodies, thus outliningthe music of the spheres and-reflectingthe moral order of the universe. He feltmodes and rhythms of dance andsong were chargedwith ethos because theywere imitations of the voices andmovements of people. He believed music and dance encoded ethical qualities manifested inhuman conduct and fedthem back intothe souls of performers and audiences. Therefore,it was important, especially in education, to 0 choose music thatconveyed good qualities. In song, it was thewords and subject matter thatplayed thepri mary role, but theyhad to be combined withthe appropriate modes and rhythms,or the ethical affect would be obscured. Out of µie six harmoniai discussed by Damon,_ Plato approved only the Dorian.�d Phrygian.34 He believed the expressive capabilities of earthlymusic were potential problems. The sensuous qualities of certain modes were dangerous, and he feltthat a strong censorship must be imposed. M. L: West writesthat much ?f thepoeµy that w as writtenwas composed · to be sungat the symposium,which was- the after-dinner drinking partywhere the men in the aristpcratic circles relaxedwith their friends. They took turns singing 0 whatever theycared to : a little hymnto a god, a piece of political comment, - 23 0 reflectionson the joys of wine or the pains of love, moral advice, or humorous abuse. 35 Pieces in couplets were stlilgwith � maie or female36 piper providingthe accompaniment, whilethose in more elaborate meters were accompaniedby the singerhimself on a lyre or a harp. A creative poet would keep producing new songs; otherswould repeat old ones. At the end of theevening, the merryguests would carousethrough the streets, still. singingand dancing, andpay furthervisits to acquamtances.· 3 7 Plato mentions the"intense Lydian" togetherwith the Mixolydianas lamentatoryand suitable for women, andhe distinguishes thesefrom the "slack " modes, Ionian andLydian, which aresoft and suited to the symp�sium. The 0 meaning of "tense" and"slack " in thiscontext is made plainer by Aristotle's remark thatthe tense harmoniai are not easy forold men to sing; nature offers themthe slack ones instead.3 8 A "tense" mode involvedmore high notes andwas taxingfor that reason. In thetense mode, the melody moved more in the upper part of that octave, in the slack mode more in the lower. It is significantthat Plato used tenseness andslackness as a principle of classificationconn ected with ethos.39 In theRe public, Plato wrote, "Musical trainingis a more potent instrument thanany other, because rhythm andharm ony fm d theirway into the inward places of thesoul, on which they mightily fasten, impartinggrace and making the soul of 0 0 24 him who is rightly educated gra�eful,or of who is ill-educated, ungraceful.11 40 He also said the truefunction of all educationliiinw as the improvement of the soul and theharmonization of its elements. A child's educationhad two parts: gymnastics and whichwas primarily an exposureto poetry andto the music thatwas . mousike, its vehicle.41 Plato said a true musician was able to recognizethe formsof soberness, courage, and high-mindedness, and to recognizetheir opposites, too. He regarded earthlymusic as a shadow of the Ideal. He admittedmusic into the ideal society he envisioned to the extent that itwas desirablein anethical sense . The ideal 0 music he postulatedin ·the realm of the eternal presented no clear and present danger. But, actual music was intimately connectedwith human emotions--a fact he clearly recognizedand feared. The emotions were easily aroused, subject to infectionat all times which could cause illness. Plato believed thatnegative emotions touching theso ul created disease. Thisis why he "feared;'the disharmony thatthe wrong k ind of music could create in young men and insisted on highmorals whichkept emotions positive. • Censorship, he felt, was essentia}. Many things that are not well understood are referred to as "magical." Plato believed music harmonizedthe soul. Plato tells the story of Thales the Milesian who sang so sweetly that he not 0· only influenced the_m inds of certain persons, but also cured illness andthe pl�gue. 0 25 Pythagorascured drunkardswith music, and Socrates a man possessed. Those who suffered from. sciatic gout or were bittenby serpents were healed withthe 42 sound of the tibia. Inthe Plato said thatrhythmic andmelodic complexitieswere to be Laws, avoided because theypromoted depression anddisorder. He believed passion in music represented· wrong principles. Although Plato believed thatmusicians were madmen, the music itself represented divineharmony, · and listeningwas permissible. He believed was put togetherout of three mousike things-hamionia, rhythm, and diction. Rhetoric was important subject to study because therewas 0 no differencein delivery inwords whetheran spoken or sung. The harmonyand 43 rhythmmust follow the words. Plato said, "Complexityengenders disease; simplicity in.music is theparent . . � of temperance inthe soul. He who blends gymnasticswith m usic and applies themsuitably to thesoul is the manwhom we most rightly pronounceto be the 44 most perfect andharmonious musician. " Plato believed there could be �o greaterdetriment to the morals_ of a 45 . community thana gradualperversion of chaste and modest music. The mindsof _. thosehearing this perversion were immediatelyaffected and would graduallygo astray, retainingno traceof honesty andright, if eitherthe lustful modes implanted somethingshameful in their minds, ot the harshermodes -som�thing -savage and 0 0 26 monstrous. · Music was pureas long as it was played on simplerinstruments, but as it becamemore complex by being played in a varietyof manners, it had become confused, had lost itsvirtue, andhad fallenalmos t to baseness, preservingonly a remnantof its ancientbeauty. Thisis why Plato prescribedthat boys should not be trainedin allmodes, but only inthose thatwere strong andsim ple. He said, "Music of thehighest mo ral quality is modest, simple, andmasculine and is a great 46 guardianof thecommon wealth. " Example2- 1 GreekModes Harmoniai, · �-� (' .-----:--,, + • ; \ \ 0 • f ;: Plato believedthe Dorian was the p rimaryGreek thenorm to harmonia, whichall othersmu st be related. He said, "TheIastian and Lydian are occupied 47 with feasting, drinking, and good company. In thisway, Plato sought to explain the harmonies, matchingthe qualities of thesounds to the given materialof the 48 moral characters. Barker states.that the capacity to distinguish the andto ethos namethe associatedwith each character was a matter of specialist harmoniai 0 expertise, not commonknowledge. 49 0 27 . Plato believed good education was vitallyimportant, and artderives its main valueas a meansof attaining thiseducational ideal. In thisconnection, he regarded music as highly important. Its purposewas, not forentertainment as Aristotlebelieved, but to help in building up a harmoniousmoral characterand in 50 calming thehuman passions through cultivating theopposite of a bad passion. Aristotle(38 4 - 322 B.C.E.) Only in the closing passages of the did Aristotledevote a brief Politics moment to practical problems of which WarrenAnderson feels could have ethos, 51 been one of Aristotle'sgreatest contributions if he had expandedon hisbelief s. 0. To Aristotle,music was forsocial enjoyment, not for Plato's concept of noble living. The classificationof themodes no longer had anethical basis. Aristop.e, 5 unlikePlato, would allow all the modes for discriminating use. 2 Professional musicianswere considered vulgarpeople. It was not manly to perform music, 53 except when drunk or forfun. It was permissible foreveryone to participatein the pleasure that music brought. Aristotle agreedwith some of Plato's views, such as the recognition of music's moral influenceon education, and disagreed with others. Aristotle wrote: "Music imitatesthe passions or states of thesoul, such as gentleness, anger, <;ourage,temperance, and theiropposites . Music thatimitates a 0 certain passion arouses that passion in the listener. "54 He said thisis obviousfrom / 0 28 what occurs when we listen to certainkinds ofmusic--we change in our soul. Aristotle showed polite contempt forthe number theoryused by Pythagorean theorists. · He believed pieces of music contain in themselves imitations of character Upon hearing them, people were affected (ethos). differently. The Mixolydian mode made men mournful, sad, andgrave . The Dorian alone gave thegreatest co mposure of a moderate andsettled temper. The Phrygianmade men enthusiastic anddivinely suffused.55 Plato said the Phrygian mode expressed prudence and was ideal formen of peace. 56 (Socrates had feltthe Phrygianwas violently exciting. 5 Plato believed the Dorianmode was forenergy 7) 0 and strength; Aristotlebe lieved it was formoderation and settled temper. Aristotle believed theLydian had beauty, grace, and decency.58 He changedPlato 's (anunquestioned fus io� of text and to (vocal, mousike harmoniai) ta mousika instrumental or mechanical sounds havingmelody and rhythm withor without text). He regardedinstrumental music as capable of expressing in itself. 59 ethos · Aristotle wrote in his thatthe purp ose of artwas an Treatise on Rhetoric attempt eitherto convince or to persuade. There were three considerations in persuading by speaking: ( 1) the character(m oral and emotional state) of the speaker, (2) the character of theheare:r� (3) the nature of the thingthat is said. Moral charactercarr ies with.it thehighest power to produce an affect. Ari�totle said: 0 29 Persuasion is effectivewhen thehearers have been brought to a state of excitement under theinfluence of the speech. What appears to be thetruth persuades. Because persuasion is brought about by thesemeans, it is important for the speaker to educate himself fullyon the subject ofmorals, on the virtues, and on the passions, including what each of the passions is, of what natureit is, and fromwhat causes it is 60 produced. Aristotle states thatmoral characteris represented by movement fromnote-to-note, not by notes played simultaneously. Different notes played with the melody obscurethe 61 ethos. Aristotle's extant works were probably written during thelast twelve years 0 of his life. They encompass nearlythe entire range of theknowledge of his day. His concept thatinstrumental music was importantin itself undoubtedly furthered 62 thedevelopment of instrumental music in later centuries. In theMiddle Ages, Aristotlebecame the supreme philosophical authority. Today, some of Aristotle's works surviveonly as fragments.63 Hibeh Papyrus The fromthe thirdcentury B.C .E., is a shortextract from a Hibeh Papyrus, speech. Its importanceto us is thatit shows that did exist, bec�use this ethos speaker was disputing its authenticity. According to Barker, the is trivialin Hibeh tone and argument, and we knownothing of thecircums tan�esof its delivery. 64 0 0 30 The authordid not seem to be particularly knowledgeableof music theory. He was perhaps just voicing hiscomplaint in what seemed ridiculous to him. Of import to us, the discourse containsan early reference to ethicalqualities Hibeh associated with music. It containsa sharp attack upon believers in musical ethos. The author denies "thatthe chromatic makes men cowardly or thatthe enharmonic makes thembrave ."65 Attacking a varietyof targets seemed to be the author's main intent. In spite of thisdenial of the theory andanother attack at theend of the ethos second century C.E., (the Sceptic Sextus Empiricus devotes thesixth book of his work, to argumentsagainst musical theorists), belief in the 0 Against the Scientists, ethicalpower of music continuedto prevail. 66 AristidesOuintilianus (200 C.E.) Aristides,who lived in thelate third andearly fourth century C.E., was a Greek music theorist. His treatise, ( is-one of the basic De musica On Music), sources of ourknowledge of ancient Greekmusic, though the authenticityof some of his descriptionsof Greek'scales is doubtful.67 He set out a system of harmoniai thathe alleged to be the Plato's Duringthe Middle Ages, harmoniai·of Republic. he came to be viewed as one of the most importantauthorities on ancientGreek 0 musi� theory. 68 0 31 As a neo-Platonist, Aristidessaw music as a mediumin the purgation process forthe order of thesoul and theuniverse. He wrote: "In thepainful ethos, passions move through the systaltic (pulsing); we awakenthe spirit throughthe diastaltic (separation); andwe bring the soul to quietudethrough the medial (middle)." He believed these threeworked togetherin the treatmentof the passions. He said that as in thecase of healing drugs, no one certainsubstance is naturallydis posed to heal the sufferingsof the body. He was introducingthe notion of education, andmedical analogy,and was making it clearthat the ethos, composition alone is not responsible for proper morality just as one drug melie 0 does not heal anillness. Perfect healing is the result of getting ridof the painful passions (systaltic), re-awakeningthe spirit (diastaltic), and thereby quieting the 69 soul (medial). Aristidespresents anelaborate system of cosmic harmony. Everything is based on number and proportion. Ourearthly music is animperfect imitation of 70 theheavenly attunementmanifested in the working of the universe. The soul itself is an attunement, having the sameset of ratios as a musical scale and thereforemoved by music, which uses theseratios. The soul is moved because it has become enmeshed in a structurefounded on sinewsand breath which vibrate 71 in sympathywhen stringedor wind instrumentsare sounded. The soul chooses a 0 body with male or femaleattributes, accordingto its inclination, and develops 32 emotions reflectingits male, female, or mixed affinities. Musical scales and keys are more or less male or femalein characterand will appeal to the individual heareraccording to his or her own sexual mix. Lower keys· aremale, higher ones female.7 2 Instrumentstoo aregraded on a sexual scale according to register or timbre, and this makes them suited to different and rhythms. In the harmoniai chapters in where thesex theoryis expounded, Aristidesimplied that De. musica the number of differentpossible emotions and mixturesof them, which are potentially expressible in music, is verylarge. 73 74 Elsewhere, Aristidesreckon ·s with a simple trinity of musical characters: 0 depressant,·s timulant, and calming. The ·stimulant kind of composition is that which conveys grandeur, manly exaltation, heroic deeds, andrelated emotions. The depressantis that which reduces the soul to anab ject, unmanlystate. It is appropriateto unhappylove, death, and disaster. The calmingtype is that 75 associated withequanimity, freedom, and peace; It is suited to hymns. Aristidesis convincedof thevalue of music foreducational andtherapeutic purposes. Orderly, manlymelodies arerequired in education; othersmay be useful·in treatingpeople indifferent emotional states. Not everyoneresponds as quickly or in the same way as everyoneelse to a given type·of music. He believed sex, age, �d ·other factorsmade a difference; some experimentationmay be 76 0 necessaryfor successfulemotional release. 0 33 LikeAristotle and Plato, Aristides believed in thepower of purgation to release negative He also believed, like Aristotle andPlato, that our internal ethos. harmony or disharmonyregulates our health. Unlike Aristotle and Plato, he categorized themodes as male or female. Boethius( 480 - 524 C.E.) Boethiuswas one of the greatintermediaries between the Middle Ages and theancient world .77 His was theonly work knownto the De institutione musica 78 Middle Ages which presented the complete system of Greek music theory. 0 Boethiuswas a Roman mathematician, writer, translator, statesman, and philosopher. The object of his philosophy was "to resolve theideas of Aristotle and Plato into harmony."79 Boethiushanded down thedoctrine of music fromthe Aristoteliansystem. He believed the goal of study was always philosophy; but the only path to it was through mathematics by the Pythagoreansystem. He believed 80 thatmusic was capable of "improving or degradingthe morals of men. " Boethius wrote a treatisein fivebooks entitled De institutione musica, translatedby CalvinBower. 81 It is based on theQuadriviwn, (arithmetic, music, geometryand astronomy), thefourf old pathto knowledge.8 2 According to M. L. West, Boethius' work.was a compilationof .higher leaming_based on the 0 knowledge of others. His main translations were ofNicomachus, Cleonides and 0 34 Ptolemy. His arithmetical and musical treatiseswere of great historical significance as the point of departurefo r medieval theorists.8 3 Schrade writes thatit may be puzzlingto findthat an incomplete book on music, writtenby a man of only twenty,exercis .ed themost extraordinaty influence upon centuries to come. Music, as a part of mathematics,was a:science withinphilosophy . After Boethiuswas executed in 526 A. D., medieval musicians continuedhis work to reconcile Plato with Aristotle. 8 His 4 De institutione musica was the chief source book forthe theorizingmonks of the Middle Ages. 85 Boethius wrote thatmusic is the guide on the path toward the summit of 0 perfection. He dedicated his books on music to thoseof his ownage, in order to stimulatethem to studyphilosophy. The time in which Boethiuswrote his work on music represented the very last phase of ancient literaturein every fieldand form.86 He was bornin 480, just threeyears afterthe fall of theRoman Empire in 476; yet,_ throughit all the ChristianChurch was established and gainingin strength. Inthe year 500, when Boethiuswas 20 years old and wrote De he easily could have been writingabout the church modes institutione musica, ratherthan the ancient Greek modes. Yet because the Roman Empire was newly fallen, thetheory of andwritings about theancient Greekmodes were subjects that were still available for study. 0 Boethiuswrote: 0 35 Music is related to us by natureand canennoble or corruptthe character. The perceptivepower of all thesenses is so spontaneouslyand naturallypresent in certain livingcreatures that to conceive of an animal withoutsenses is impossible. The earand senses are delighted when themodes aresweet andwell ordered, andpained when disordered and incoherent modes offerid them.8 7 In Boethiusrepeats an earlier storytold by De institutione musica, Pythagoras. He had observedyouths who were filled withfrenzy from alcoholic drinkand were acting like madmen when they asked the musicianto play hisaulos for themin a appropriate for religious occasions, solemn in character, melos dominated rhythmicallyby long time values. Whenthe musiciandid what was 0 asked, the youthssuddenly changedas ifthey had been sober even at the beginning.88 Matthesonwrote that later writers, who misinterpretedBoethius during the Middle. Ages, soughtdiligently inhis writings forthings that did not exist in them andcreated many fallacies ininterp retation which still exist and have done more harmthan good. I believe diligent care should be taken when reading the writings of Gaffurio, Glarean, and Zarlinoduring the Renaissance, regarding Boethius' writings in thefifth century C.E. about modal One might wish to study ethos. m�y other theoristsof the Middle Ages andRen .aissancebefore reading what these well-meaningmen had to say about Boethius. These three Renaissance 0 music theorists may have made valuable contributionsin other areas of music 0 36 theory, but theirunderstanding of Boethius' writingsshould be approached with caution. BothGalilei and Matthesoncommented on this,as thereader will discover inlater chapters of thisthesis. Plato, Aristotle, and Aristides sharedthe belief thatnegative· ethos must be released to achieve purgationand healing. · Their aimwas the same; onlytheir individual me thodsof purgation differed. 0 0 0 37 -·- ,_ .- - ' : ..- ...... -z , ..- . ------. . - - - - - .... - ---..------· ------. ---- · . .. ------·---····------� - --· ·· ·· ------· ·····- -·------·------.. -- 1 Edith Borroff, (New York: Music in Europe and the United States Ardsley House, 1990) 8. 2 Gordon Epperson, The Musical Symb()l, An Exploration in Aesthetics (New York: Da Capo P, 1990) 30. 3 Willi Apel, (Massachusetts: HarvardUP, HarvardDictionary of Mus.ic 1944) 302. 4 Oliver Strunk, ed., Source Readings in Music History: Greek Views of vol. 1 (New York: Norton, 19�8) 423. Music, . 5 -Joseph S�hillinger, (New The Schillinger System of Musical Composition York: Carl Fisher, 1946) xviii. 6 Donald Grout and Claude Palisca, (New A Historyof Western Music 0 York: Norton,· 1996) 2-4. 7 Strunk, Greek Views,A8. 8 C. Engel, (London: n. p., An Introduction to the Studyof National Music 1866) 120-3; C. Sachs, (New York: n. p., The Rise of Music in the Ancient Wo rld 1943) 31-9. Donald Grout states p. 12, that inAHis toryof Western Music, · "eventuaHy the Greate_rPerfect System evolved-a two-octavescale." 9 Andrew Barker,· (Cambridge: C�bridgeUP, Greek 19 Mus84) 14ical-1 7.Wr itings, The Musician and His Art · 10 _ Warren Anderson, �'Ethos,"· The New Grove Dictionaryof Music and vol. 6 (London: Macmillan, 1980) 283. Musicians, 11 Nicolas· Slonunsky, "Pythagoras," Baker 's Biographical Dictionaryof (New York: Schirmer, 1958) 1293. Musicians 12 Grout and Palisca, 4'."5 . History, 13 . · Epperson, 31-34. o Musical Symbol, 0 38 . - ---�-. ------. . -- - - .. ---...- --- -=------= - --- . . -·- ----�: ------\�------Greek..modes. - - . Harmoniai 15 Not every source agreesthat the science of originated with ethos Pythagoras, but its conception almost certainly goes back to the fifthcentury. 16 Strunk, 83. Greek Views, 17 Anderson, "Ethos," 282. 18 Anderson, "Ethos," 283-284. 19 Anderson, "Ethos," 284. 20 Anderson, "Ethos," 282. 21 Strunk,, Source Readingsin MusicHis tory: Classical Antiquitythrough (NewYork : Da Capo P, 1980) 48. the Romantic Era 0 22 Barker, 14-17. Writings, 23 Barker, 102. Writings, 24 Barker, 164. Writings, 25 Strunk, 48. 6 2 Strunk, Classical Antiquity, 13-24. 27 M. L. West, (Oxford: Clarendon P, 1992) 243. _ Ancient Greek Music 28 West, 247-248. Ancient Greek, 29 West, 247. Ancient Greek, 30 M. L. West, 126-9. Ancient Greek, 3 1 West, 172-174. Ancient Greek, 32 Apel, 303. 0 Harvard, 0 39 ----· - --·- --- · - - .. -- .... -·-- . -·· . ------_. -•-- . ------. •. - 1 : )3--B�k- �:-wri;;��;, i4-11. - - 34 West, 249. Ancient Greek, 35 Humorousabuse - making funof a fellow aristocrat. 36 The presence of thefe male as a piper at the Symposiumwas probably insignificantexcept forthat reason; but, thiswas a gentlemen's drinking party! 37 West, 25-26. Ancient Greek, 38 West, 179. Ancient Greek, 39 West, 179. Ancient Greek, 40 Strunk, 39. Classical Antiquity, 41 . Barker, 127. 0 Writings, 42 Strunk, Boethius, I, (N. p.: Classical Antiquity; De institutione musica, n. p., n. d.) 82-83. 43 Barker, 130. Writings, 44 Strunk, 30. Classical Antiquity, 45 Strunk, 293. Classica/Antiquity, 46 Strunk, 294. Classical Antiquity, 47 Strunk, 295. Classical Antiquity, 48 Strunk, 296. Classical Antiquity, 49 Barker, 130-131. Writings, 50 Strunk, 9. Greek Views, 51 0 Anderson, ;'Ethos," 284-285. 0 40 r· ""·1 JJ------·- .------...------�------· - ---- . -•·- ... .. - -- ! ______- - ,..,..-52·:- -_-_;__ _ -=-- =----, __ ·:_--=..:._ ,----· ' ---- ·------.. . ------·------__ , Strunk, 24. . Greek Views, 53 Strunk, 27. · Greek Views," 54 Grout and Pali.sea, 6. History, 55 Strunk, 39. Classical Antiquity, 56 . Strunk, 5. Classical Antiquity, 57 Strunk,· 34. Greek_Views� 58 Strunk, 13-24. Greek Views, 59 Borro�; 8. Music in Europ�, . . . 60 Aristotle, trans. Theodore Buckley (New York: Treatise on Rhetoric, 0 Prometheus �ooks, 1995) 2-13. 61 Barker, 197. Writings, 62 Strunk,. 23. Greek Views, 63 Strunk, 13. Greek Views, 64 Barker, 183. Writings, 65 Anderson, "Ethos," 284. 66 West, 25 1. Ancient Greek, · 67 Slonimsky, "Aristides," 45. Baker's, 68 Strunk , 47 .. Greek Views, 69 Strunk. 65-66. Gre�k Views, 70 West, 252. 0 Ancient G_reek, 0 41 .: ------�-- -�\--· ---\ -- -- - ·- ,.- - -- .. - ---.:•-- ..:.. ____ � ------·- ·------. ------72 West, 252. Ancient Greek, 73 Strunk, 252-253. Greek Views, 74 Strunk, 253. Greek Views, 75 Strunk, 253. Greek Views, 76 Strunk, 253. . Greek Views, 77 Strunk, 79. Greek Views, 78 Bower, "Boethius," The New Grove Dictionaryof Music and Musicians, vol. 2 (London: Macmillan, 1980) 844-845. 79 Leo Schr�de, "M usic in the Philosophy ofBoethius," Musical Quarterly, 0 vol. 33, no. 1 (New York: Schirm.er, April 1947) 188. 80 Schrade, "Philosophy,'; 189-193. 81 Boethius, trans. Calvin Bower (New Haven: Fundamentals of Music, Yale UP, 1989) n. p. 82 Calvin Bower, "Boethius," 844. 83 West, 6. Ancient Greek, 8 4 ·schrade, "Philosophy," 199. 85 Slonimsky, "Boethius," 171. Baker's, 86 Schrade, "Philosophy," 199-200. 87 Strunk, 79-80. Greek Views, 88 Strunk, 97. 0 · Greek Views, 0 42 CHAPTERIII · THE MIDDLEAGES In thesecond centwy, thecitizens of theRoman Empire may have believed the peace andpro speritythey lived in would never pass away. Yet beforethe third centwy signs of decay began to appear after manybarbarian invasions. Nevertheless, the emperor Aurelian (270-275 C.E.) overcame his rivals and 0 regained control of theempire, according to Hoppin. 1 The stability of the fourth centwybrought a changein the fortunes of Christianitywithin the empire from bitter persecution under Diocletianto complete adoption under Constantine(312-337), andChristianity became by decree thecompulsory re ligion of all Romansub jects except theJ ews. This reversal of fortuneaf fected the formsand rites of the Christianreligion in multiple ways. Men of prominence became members of the clergy. Churches throughout the empire acquiredwealth and power throughextensive propertyho ldings. An ecclesiastical governmentwa s modeled after the territorialorganization of the RomanE mpire. Hoppin states these new strengthsenabled thechurch to survive the disastrous events of thefifth century, · which caused Rome itself to fall.2 0 43 .. Magic and Musical Chanting The leaders of the early Christian Church looked with horror on the traditional Roman theater, secular fe stivals and paganreligious exercises. Because of the pagan custom of using music and the voice to summonun seen powers, certain un·specifiedmode s were believed to be dangerous. The ChurchFathers wanted such music exterminatedto blot out the magical rituals associated with . Romanmu sic• '.3 We knowfrom the early. Church Fathers thatthe paganpe asants, whom the churchso ught to inake into Christians, uttered jubilationswhich were extended 0 vowel soundsin a musical pattern. These free, expressive vocal sounds were · believed to communicatewith un seen powers. In the liturgy, they were developed and disciplinedwhile being merged with approved texts. The result was plainchant, according to Stewart.4 The magical, �soteric, and subsequent alchemical ( or Hermetic)writings andteachings retained a vast inheritance fromthe pagan cults and ancient philosophies. These were intimately involved with the image and regenerative powers of a goddess or goddesses. The Roman Church transferredthis female image to �e form of. theVirgin, thus attempting to absorb th.e energies of the pagango ddess images whichwere still at largein the commonimaginat ion. 5 0 44 The early church intentionally suppressed and destroyedthe man uscripts it inheritedfrom Greek, Roman, and Hebrew sources. According to .St. Augustine, . . . . thissuppression was aimed at an intentional controlof themagical power in connection withacoustics of thehum anvoice. 6 The alchemical writingsfrom the middle ages to theeighteenth centwy show a stronginfluence of belief in acoustical power.7 Medieval sources, such as the (twelfth Prophecies of Me rlin centwy), seem to preserveoral poetical traditions in which the inner powers are demonstrated. They may represent the remnantsof ancient Druidic or Celtic teaching.8 0 In theme taphysical andmagical traditionswhich preceded modem psychology, the imaginationwa s of paramount importance. It was the controlled imagination (moulding of consciousness into sets of imagesby an act of will) that acted as the fertile medium in which the obscure theoriessprang to life as real experiences. 9 Inthe invocation s and chants of priests, monks, shamans or medicine men, the upper partials, thehaunting higher sounds thatarise out of the basic notes, were used as evidence of a spiritual presence inherent in thematerial world. We may reasonably infer that similar techniques Were widespread in both pagan and early Christian inspirational chant. 1 0 0 45 Boethius (480 - 524) The general idea of modal ethos was accepted inmedieval theorywithout question borrowedfrom Classical antiquity, and according to Powers, specific doctrinesregarding one mode .or another became traditional. Boethius states in thePrologue of his De musica: The Phrygianto ne, sung to a musical .instrument, arousedone young man listening, the suitor of a certain girl, and provoked him to such rashnessthat he wanted to breakinto the girl's room at once, by force. And when thePhrygian tone was changed to Hypophrygian, thatis, thethird to the fourthtone, theyoung man calmed down, appeased by 11 0 thegentleness of thetone. According to Bower, Hoethiusstudied Greekphilosophy and theliberal arts. In522, he became magister offi cium to Theodoric, theruler of Italy, in 12 Ravenna. Two years later he was executed as a traitor fordefending a friend. Hoppinstates thatthe wri�g of Boethiuswas primarilyconcerned with phil man and theworld in which he lived. Because these speculations took the expression of musical. intervalsby mathematicalratios as theirstarting point, music won its place in the Quadrivium. The medieval mind understood music as numberrelated to or expressed in sound. According to Neo-Pythagoreanview, 0 46 0 number andproportion regulated the universe. Music, therefore, represented and included the universe. 1 3 . Boethius' most famous work, was firsttranslate d in De institutione musica, an English version by Calvin Bower and published by Yale University Press in 1989. In thiswork, Boethius treatsthe four mathematical disciplines of antiquity: arithmetic, music, geometryand astronomy (the Quadrivium). Of thefi ve books coveringthe se disciplines, only the andthe greaterpart De institutione arithmetica of the survive. 14 De institutione musica Bower says Boethius believed music was an all-pervadingforce in the universe and a principle unifyingthe body and soul of man as well as theparts of 0 the body. Music could also be found in certain instruments. These three represented theuniversal, hpman, andinstrumental mu sic. 15 He discusses the relationship ofinathematicalprinci ples to themonochord and presents the theory of musical modes in Book Three. 16 Boethius states in the that likeness attracts, Fundamentals of Music ' whereas unlikeness repels. For tlusreas on, a person with a lustful dispositiontake s pleasure in more lustfulmodes· or is corruptedu pon hearingthem. :Soethius said: This is ther eason musical modes w·ere named after certain peoples, such as Lydian and Ph.tygian, for in whatever a particularpeo ple findspleas ure, by that 0 same namethe mode itself is designated.. A tribe or 0 47 race of people finds pleasure in modes because of likeness to its own character, for it is not possible for gentle things to be joined with or findple asure in rough things, nor rough things in gentle.17 Bower says fell into virtual oblivion between the De irzstitutione musica sixth and the eighth centuries, but beganto be read again during the ninth century, when it was eventually established as the foundation of Western music theory. But in the Middle Ages the preoccupation was with polyphony and measured music which soon led to the neglect of Boethius' writings in the training of musicians. 18 A manuscripttradition of the work appears to have flourished in the tenth century, and the treatisebecam e the most widespread theoretical treatise on 0 music in the late Middle Ages. Bower writesthat more than 120 manuscripts of the work survive fromthe Renaissance. 19 This treatise was the only work known to the- Middle Ages that presented the complete GreaterPerfect System of Greek theory. It was built on the diatonic pitches from A through a', made up of two pairs of conjunct tetrachords.20 Example 3-1 The Greater Perfect System A B c d e f s a b c' d' e' . f' g' a' -·- 0 0 48 Medieval Modal Theory Inthe Middle Ages, therewas great confusionand unionof theoretical systems. Two main_ strandsof theory were imported intoWestern medieval theory during the eighthand ninth centuries, according to Randel. The firstand fundamental strandwas a system of eight modes borrowedfrom Syrianor Byzantine Randelsays theearliest mention of the is found in a echoi. oktoechos Syriansource fromabout 515, threehundred year s beforethe earliest ac count of the eight church modes.21 Anotherinfluence �as themusical systems of the Greek era, transmitted to the medieval West especially by Boethius, according to 0 Powers.22 A merger of these systems resulted in thechurch modes. Throughoutthe Middle Ages, manychanges occurredin thetheoretical concepts.of themodes. By theeleventh century, eightchurch modes had been organizedinto categories as shownin the following examp le. The modes that retained the old Greeknames were called authentic� the"hypo" modal varieties were called plagal. ·o 0 49 Example 3-2 The EightChurch 23 Modes withAuthentic andPlagal Distinctions duringthe Eleventh Centwy. • f•I mode I Dorian �ifp • s s PROTUS 4 I Hypodorian . r-~«plagal mode 2 - � - .... - ■ mode J Phrygian I• - lal • • ; ,_, II OEUTERUS ·-� ) ..plogal ,�,. mode 4 Hypophrygian - = • I• <• -, T mode 5 L)'dian ,. c,f- • � .. . • �i Ill TRITUS Hypolydian . ) '"'plagal""''' mode 6 . i...,_I I « authentic mode 7 M ixolydion + • ® • I• IV TETRARDUS ) . 0 plagal mode 8 Hypomixolydian Ratherthan concentrating, on modal ethos duringthe Middle Ages, music theoristscompared the eight modes to the motions of the seven planets (themoon, Mercmy, Venus, the sun, Mars, Jupiter, Saturn) plus the zodiac. The following table was preparedby Aurelian, a French scholarand monk inthe ninth centwy. Inthe Guidonian tradition, theeight modes were likened to theBeatitudes. In an anonymous thirteenth-centwy treatise, the eightfold system was correlated with themacrocosmic elements of theuniverse and thehuman microcosm of bodily 24 fluids and temperaments. 0 0 50 Example 3-3 The Harmonious Union of the Muses, Modes andPlanets, From the ThirteenthCe ntury _, 0 0 51 Guido d'Arezzo(c . 990-1050) was a Benedictinemonk who made importantcontributions to thedevelopment of musical theoryin the Middle Ages. is Guido's most importantwork. He established thehexachord Ut,Re, Micrologus · Mi, Fa, Sol, La as ati.aid to sight-singing fromsyllables in theinitial lines of the Hymn of St. John: Ut queant laxisResonare fibris gestorum tuorum, Mira Famuli Solve polluti reatum Labii Sancte Joannes. Example3- 4 Hexachord Syllables Combined withModes (later Middle Ages) (a) ...,,,.., mo/114 mode 1 I \ a B • 0 prOIIIS ii • • (modes 2, I) ap 0 • • I • I I mode2 re SOL u la re sol model \ • \ \ dCUICNS i • • - \ (modes �. J) 4 H ' I I mi \ mode·4 mi IA , mi la \, \_ \ . . mode 5 *Uil� £ i .. (modes6, Sl • 1 _ • ·-. .::______FA UT __ mode 6 Ul sol UI fa (b) cantwficno mode I pro1us 4 � • I • • • a I (modes I, 2) .mode 2 •• la re SOL RE la ..... (c) ...,,,...,d,,na modc S • • a ...... ,mode 6 UT sol u1 FA UT sol mode I ; ...... (m=� I) • . - . II mode 2 mi LA RE la mi la o. 52 0 The following is a compilation of modal affects fromthree eleventh centwy sources, as. an illustration of the kinds of similaritiesand differences that ·can existin ascribing to themembers of a modal system. Harold Powers ethos states that thesources are Hermannus Contractus( eleventh century), Frutolfus o f Michelsberg (before 1100), and Johannes Afflighemensis (c. 1100).25 Powers says theyprobably do not represent independent traditions, despite theirmutual . differences. · By thistime , theoristswere applying theirown descriptions to the church modes,. depending on how each mode made themindividually fee l. Mode 1, Dorian: Hermannus' "seriousor noble"'· Frutolfus," mobile because it is capable. of all affects"; 0 Johannes, "lingering andcourtly meanderings." Mode 2, Hypodorian: · . Hermannus: "agreeable"; Frutolfus: "mournfulbecause its melody seems more suitable to sad and unhappy' ' things" ; · Johannes: "deep-voiced seriousness." Mode 3, Phrygian: Hermannus, "excited, or leaping"; Frutolfus: "excitable"; . Johannes: "harsh andrather indignant leap ingabout ." Mode 4, Hypophrygian: Hermannus,"moderate or lingering'.'; . Frutolfus, "moderate andserious" ; Johannes, "adulatory." 0 0 53 Mode 5, Lydian: Hennannus' "voluptuous"'· Frutolfus, ''joyful"; Johannes, "moderate wantonness." Mode 6, Hypolydian: Hennannus' "mournful"'· Frutolfus' "voluptuous"'· Johannes, "lachrymose." Mode 7, Mixolydian: Hennannus, "garrulous"; Frutolfus, ''joyfuland merry"; Johannes, "theatricallea ps." Mode 8, Hypomixolydian: Hennannus, ''joyfulor exultant";· Frutolfus,"agreeable and sweet"; Johannes, "seemly andrather matro nly."26 0 By theeleventh century, thesemodal attributeshad become more an individual attitudetoward each mode ratherthan based on anythingthe Greeks mighthave originallyintended. The value of these opinions about the of the ethos modes by writers duringthe Middle Ages is nebulous. The mystery of the original Greek as understood by Pythagoras, Plato, and Aristotle remained a mystery. ethos Powers states thatbetween thethirteenth and fifteenth century, musicians . . . were creating_artistic forms of polyphony, and theorywas showing greaterinterest in rhythm, mensural notation, 27 discant, 28 and counterpoint. 29 Powers states that . . thelast phase of medieval modal theoryd eveloped in Italy duringthe fourteenth 30 0 and fifteenthcenturies. 0 54 In the early Renaissance, the Germancomposer HermannFinck listed the ethicaffect of each tone in his book, (1556). Along with Practica Musica traditionalattributes, Finck attributedthe modes to theseven planets. He wrote: (1) Dorian refreshesthe sad and disturbed. It is like the Sun, deemed first amongthe planets. The foremostmusicians today use thistone the most. (2) Hypodorianproduces tears, makesone pitiable, heavy, serious, and is the most subdued of all, like theMoon. (3) Phrygian, not wrongly attributed to Mars, moves to loud words, hideous battles, and bold deeds. ( 4) Hypophrygianrepresents the parasite, who caters to the pass1ons of his master and is assigned to Mercury 0 on account of the likeness in nature. (5) Lydian, not unlike thesanguine temperament, correspondswith cheerfulness, friendliness, and the· gentler affects, since it pleases most of all. It averts quarrels, calms agitation, fosterspeace and is of a jovialnature. It is the joy of the sorrowful, the restoring of thedesperate, and thesolace of the afflicted. (6) Hypolydianis contraryto theforiner, not infrequent in prayers by others and is attributedto Venus. (7) Mixolydianhas more incommon with Saturn, and shows itself with greatshouts, so as to be a terrorto all. (8) Hypomixolydianis not unlike anhones t matron, who triesto· soften and calmthe wrathand turmoil of her husband withagreeable 31discourse, studiously .: avoids offense, andis pacific. 0 55 Powers says there was no necessaryconne ction betweenmodes, modal 32 theory, andpolyphonic compositionin either theory or in practice. From 1450- 1600, musiciansincreasin gly believed that polyphonic music must "somehow" be modal. They believed that the modes furnisheda number of differently-structured musical relationships, each of which had its ownset of expressive characteristics thatcould naturallyreinforce the affective· sense of a verbal text, which was especially advantageousfor poe tic enhancement. The tradition thata mode had inherent expressive propertiesand extramusical a ssociations related to planets, . · 33 muses, andthe human body was an essential partof most modal systems. 0 Guido was reported to have said: "The thirdtone has broken leaps, andso its song is impetuous. The sixth has gentle leaps, andthis is voluptuous. The seventh is garrulous [ annoyingly talkative], on account of manyshort turnabouts. The eighthis more agreeable on accountof its lingeringand less frequentturnings. " 34 Powers said that seen in thisway, themodes arenot merely classifiedin a closed system of categories nor collected as scales or melody types. Guido's · modes are depicted as real, indivi4ualentitie s, withcharacters identifiedas - impetuous, voluptuous,garrulous, andagreeable. Such charactersas these are ., ' ethic, expressive, ande _ven have the moral power as a musical entity to act on the 35 -0 human spirit. 0 56 Even in the Middle Ages, theauthenticity of a Classic originhad begun to decay. The Neo-Classic rebirthin the Renaissancehad not yet happened. The ancient Greektexts had not yet been rediscovered. Through folklore, chants, poetry, andold wives' tales, traditionsof modal ethos continued, though losing a little here and a littlethere of the truthfulnessof theancient origin. This decay continuedthrou gh the centuries; and even duringthe Renaissance, much new C'onfusionin interpretation of the long-neglected Greek andLatin languages added to the loss of authenticityof accurate interpretationof modal ethos as the Greeks would have intuitivelyunderstood it. 0 Today, relatively little written information canbe foundo n modal ethos during theMiddle Ages. Polyphonicmusic of theperiod used the Church Modes rather .thanthe unadulterated Greekmodes. The ancientet hos of themodes began to be anybody's guess. Harold Powers' articleon "Modes" in the New Grove Dictionaryoffers the most comprehensive informationa vailable on modal ethos during theMiddle Ages. Even though the classical traditionof linking ethos to the modes continu.ed to prevail andfascinate musicians and theorists through the followingcenturies, the trueHellenic tradition as taught by Plato andAristotle was basically lost. 0 0 57 . ------. - ·- ··-·- --· Notes 1 RichardH. Hoppin, (NewYork: Norton, 1978) 3. Medieval Music 2 Hoppin, 3-4. Medieval Music, 3 Donald Groutand Claude Palisca, (New A Historyof Western Music York: Norton, 1996) 2. 4 R. J. Stewart; Music and the Elemental Psyche, A Practical Guide to (Rochester: Destiny Books, 1987) 104. Music and Changing Consciousness Robert. Stewartis a musician, composer andauthor. He has writtenand recorded forfilm, television, radio andtheater. His books includestud ies of pagan imagery in folksong, children's stories, andtwo titles on thefigure of Merlin in British legend and magical tradition. In he writeson the Music and the Elemental Psyche, magical connection between the elements, music, andalcheniy. Musical works by Stewartinclude (a suite for psaltery andensemble), The Fortunate Isle The and Journey to the Underworld/PsalteryMu sic, The Unique Sound of the Psaltery. 0 His recordings areavailable fromSulis Music, BCM Box 3721, London WCI 3:XX). 5 Stewart, 22-23. Music, 6 Stewart, 68. Music, 7 Stewart, 23. Music; 8 Stewart, 88. Music, 9 Stewart, 89. Music, 0 1 Stewart, 55�56. Music, 11 HaroldPowers, "Mode," The New Grove Dictionary·ofMusic and vol. 12 (London: Macmillan,1980) 398. Musicians, 12 CalvinBower, "Boethius, AniciusManlius Severinus," The New Grove . vol. 2 (London: Macmillan, 1980) 844. 0 Dictionaryof Music and Musicians, 0 58 + _,- - ·1, ------. ---. -· ------r·-- -· ..-__ _ :_-______------. ____- 13 Hoppin, 21. , Medieval Music, 14 Bower, "Boethius," 844. 15 Bower, "Boethius," 845. · 16 AniciusManlius Severinus Boethius, trans. Fundamentals of Music, CalvinBower, ed. Claude Palisca (New Haven: Yale UP, 1989) xxix. 17 Boethius, 3. Fundamentals of Music, 18 Boethius, xiii. Fundamentals of Music, 19 Bower, "Boethius," 845. 20 Don Michael Randel, (Cambridge: HarvardConcise Dictionaryof Music BelknapP of HarvardUP, 1978) 199 . 21 Randel, 152 . . 0 Harvard, 22 Powers, "Modes," 376-378.· . 23 Powers, "Modes," 385. 24 Powers, "Modes," 398. 5 2 Powers, "Modes," 398. 26 Powers, "M odes," 398. 27 Mensural notation was a system of musical notation established around 1250 by Francoof Colognewhich remained in use until 1600. Mensural music, which is writtenusing mensuralnotation, denotes polyphonicmusic in which every note has a strictlydetermined value, as distinct fromplainsong ( Gregorian chant)with its freerhythm. 439.) (HarvardDictionary of Music, 28 Indiscant, two or more partsproceed note-against-note in strictly 0 measured rhythmsoften employing rhythmic modes. (Randel306 .) 0 59 . - _,..., ...,.,_:_, ., --- ..... - - ·_____ -__- · · ·-29- ..- ~ ---�---- ::..�7":-- : . .:..::_� - -- - - ,: .. · · --�------_ --- - _-- _-----�-- ·- Powers, "Modes," 397. 30 Powers, "Modes," .396. 31 P. owers, "M. o d es, " 399 . 32 Randel, 13 9. Harvard, 33 Powers, "Modes," 3 97. 34 Powers, "Modes," 398. 35 Powers, "Modes," 398 . . 0 -0 0 60 CHAPTER IV THE RENAISSANCE AntiquityRevisited The Renaissance in Italy won worldwide dominance because of its- revival of antiquity, according to Palisca. The best musiciansfrom everywhere were recruitedto performin theItalian courts and churches; a constantdemand for 0 instruments stimulated the production of new varieties anddesigns, andVenice becamethe music publishing capital of the world. 1 The relation betweentext andmu sic, andthe degree to whichthe aural sense or mathematics should determinethe rules of composition continued to be topics which provoked much thought.2 For-Pythagoras and Plato, therules were mathematical, whereas forAristotle, music was for aural enjoyment. Polyphonyin the Renaissance was composed based on mathematical principles untilthe books on ancientmusical learningby B.oethius, Aristotle-and others began to be rediscovered around 1450. Early- collectors valued these books so highly that sometimes ·hundreds of crates of books were carefullypa�sed fromone ownerto thenext throughthe will of the deceased owner. However, few musically trained 61 0 persons could read Greek,and manyproblems aroseduring translation because of 3 the scribes' ignoranceof music theory. Because music was considered to be a divisionof mathematics,the manipulation of ratios was necessaryfor understanding the relationship of intervals to each other. By the end of thefifteenth century, a feverishactivity of editing, translating, commenting on and synthesizing Greek sources took place in literature,rhetoric, history, med�cine, philosophy, and naturalscience. By the mid-sixteenth' century,in Rome or Venice,it was possible for' a scholarto locate at least one copy of anyof the principal Greek musical treatisesbecause of the wider 0 distributionof printedsources. Over theyears, some of theGreek texts that were borrowedfrom libraries and private owners were not returned because they were 4 so highly valued. Palisca tells us that of Boethiuswas firstprinted in De institutione musica Venice in 1492; thereafter,having almost infal lible andscriptural authority in the fieldof music. The pictureof the Greek modes as writtenby Boethiuswithin the frameworkof theQuadrivium is what theearly humanists had to guide them in · understandingthe writings of Plato andAristotle. However, Renaissance musicians misunderstood Boethiusby assuming that he described a system using theeight churchmodes. 5 I .-o 0 62 Gallicus de Namur (c. 1415-73) was the firstWestern writer to recognize that the theory of Boethius was concernednot withplainchant but with the music of the ancient Greeks, especially the theories pertaining to modes. 6 So, the rereading of Boethius became a vital component forthe reexamination of antiquity. 7 Example 4-1 Rediscovery of the Eight Modes of Boethius -----r-�..... ---:--· ABcdefga Hypodorian ----.' Tone B cl de fl g ab Hypophrygian Tone cl di e fl gf a b cl' Hypolydian r·I Semitone d e f g a b� c' d' Dorian Tone e fl g a b c' d' e' Phrygian 0 Tone fl gl a b cl' d' e' fl ' Lydian Semitone gab� c' d' e� ' r g' Mixolydian ' -- Tone a b c' d' e' r g' a' Hypermixolydian ··-----·- -··- · Palisca says in the fifteenth century, Boethius was cast in the alien role of musical law-giver to a culture dedicated to polyphony, a kind of music he never knew. 8 0 63 0 The Affectsarid M odal Misappropriation Bishop BernardinoFranco wrote ina letterin 1549, theancients created powerfuleff ects thatwe nowadays cannot produce eitherwith rhetoricor with oratory in moving thepassions and affections of thes oul. [Composers] should seek to recover the art of the ancients, who were able withmus ic to makethe lax active, the angry calm, the dissolute temperate, to console the afflicted andto makehappy the miserable. 9 The followingis an excerpt froman anonymousletter writtenaround 1540: 0 "To inflame souls and spirits to anger,cho ose the Third Mode." 1 This attribution of ancient Greek affects to the church modes represents well the 0 attitudeo f Renaissancewriters concerning modal affects. The writerspeaks of thePhrygian as theThird Mode but gives the ethos ofthe ancient Greek harmoniai, "inflames to anger." The Lydian is characterizedas pleasing and sweet, fitting to peaceful Lydian people. Of the Dorianh e says thatit was 11 "severe andma jestic andfil led the ears of hearers withsweetn ess." Palisca in Humanism in Italian Renaissance Musical Thought introducesa table attributed to MatteoNardo, whom he describes as an ' ' otherwiseunknown Renaissance writer. Palisca disputes Nardo'stable. "Who ' . . . ' ' would ·compose a stirringmartial piece in thechurch Phrygian, or banish gloom · with the sorrytrit one-riddenchurch Lydian? - Here is humanism gone awry,a ' . ' sad legacy of early Renaissance musical schol�ship' s failure to make _ 0 64 necessary distinctions betweentwo totally different tonal systems--theancient Greekand the We sternmedieval. "12 Example 4-2 Matteo Nardo's Table Aron (1525) Nardo Gaffurio (1518) Trattano, ch. 25 Letter De harmonia, IV I: joy, happiness, Dorian: grav�.- sonorous, modesty, virile, constancy merriment majestic, fills car with sweetness II: grave, used by ancients Hypodorian: slowness, slothfulness in funerals lll: inflames to anger, Phrygian: inflames to incietes to anger, war animosity anger IV: suited to rest, Hypophrygian: quiet, grave tranquility V: relieves melancholy, · Lydian: pleasing, sweet, jovial. troubles VI: induces tears, Hypolydian: tears, lamenting compassion VII: mixtureof modesty Mixolydian: twofold: exciting and and joviality withdrawn 0 . VIII: for merry and happy banquets Aristides Quintilianus' diagram of theGreek modes13 (Example 4-3) may not be entirely accurate, but it is the best likenessw e have today. The + signs symbolizea pitch a quarter-tonehigh er. Incomparing the Greek modes to the churchmodes, one finds anabsence of leaps and an absence of the plus signs in the churchmodes. Thereis no way to simulatethe exact pitch anyof these modes may have begunon . Thesemodes, though calledby the same names, wouldso und entirely differentfrom each other, as well as anythingwe mightimagine them to 0 be today. 65 Example 4-3 Greek Modes Compared to Church Modes • - �. 3 - - - �- + �II + . - , .. ◊,. - Ea - The modes were fascinating to Renaissance musicians because they were 0 thoughtto unlock the powers of music over human fe elings andmor als. Works by Plato and Aristotle, now printed Latintranslations, spoke of the emotional, moral or ethical effects that could be wi:ought by a musicianthrough the proper choice of mode. 14 Artful communication that could sway people through theirfe elings became a prime objective for gaining or maintaining power. 15 JeanCal vin, theFran co-Swissreligious reformer, wrote in The Geneve in 1542, " ...th ere is hardly anything in the world with more power [than Psalter music] to turn or bend, thisway andthat, the morals of men, as Plato has prudently considered. And, we findby experience that it has a secret and almost incredible power to move our hearts in one way or another."16 ·O 66 0 Modal Metamorphosis Strunkwrites that FranchinoGaffurio, HeinrichGlarean, Gioseffe Zarlino, andGirolamo Mei worked diligently to investigate ancientmusic andto rescue it 17 in theirwritings fromthe darkness in which it had been buried. The theoryof modal affect was commented upon enthusiastically. The old Hellenic beliefs were adapted to new ends and were refashionedwith increasing freedom. Inpractical application, composers began to use modes in an intricatepolyphonic texture. Polyphonic collections ordered with the eight modes in succession were published, from Rore's firstbook of five-partm adrigals (1542) to Palestrina'soff ertories 0 (1594). 18 · GirolamoMei ( 15 19-1594 ), who had never studied music andcould neither play nor sing, became a musical reformer,. urging his musical associates through essays andletters to reshape themusic of theirtime in the image of ancientGr eek music. Mei believed the modes (tonoi) were the key to the power thatancient music had to communicatewith humanemotions. To regainthis power, the ancientsystem of tonoi needed to be revived. Aftera time,Mei, collaborating withVincenzo Galilei (1520-1591), a celebrated Italian.writer on music, definitely · established thatthe system ofthe Greeks was completely differentfrom the church . modes. 19 Because of doubt Mei cast on therelation of ancient Greek modes and 0 67 0 those used in theRenaissance, his researchled him to question altogether the 20 expressive ability of polyphoily. Galilei criticizedthe composers of hisday . According to Strunk, he knew through studythat the direction Renaissance music was going was completely · opposed to theGreek rules. Galilei said thecomposers of his day were esteemed, prized, and salaried by variousgentlemen to compose what they called "music." He said thelast thing composers .thought of was the expression andsense of the . words with the passion they require. He said themusic of his day was of value merely for" artificial" (wind and stringed) instruments, from which theear desires 0 nothingbut the. enjoyment of their harmonies. Nevertheless, Renaissance musiciansbelieved thatmusic had reached the highest perfection possible and ridiculed Galilei, who responded with the observationof how bold these men were who laughed at an artof composition theykn ew nothingabout, much less how to produce it. Galilei believed· and argued thattheir polyphonicmusic was not expressing the affections as taught by the Greeks. But the Renaissance composers arguedthat music was no longer considered as usefulto virtueo r humanhappiness or to express the passions in ' . 21 praising the gods, the genii or the heroes. Strunkwrites that HeinrichGlarean (1488-1563), Swiss musical theorist l 0 an write.r, was one of the greathumanists of thesixtee .nth century. He was a 68 0 lifelong admirerof Boethius. Glar.ean's Dodecachordon (1547) advancedthe theory- that there are twelve churchmode s corresponding to the ancient Greek modes. By adding fourm odes to the existing eight churchmodes, he claimed to . have restored the ancient Greek system. 22 Powers writesthat Glareansynthesized - ' medieval andancient sources to assignnames to his new modes. He retained Boethius' s names forthe modes m the sense inwhich they had come to be 3 understood in the Middle Ages as octave species.2 Glarean's book had a tremendous influenceon the changingco ncept of the modal system andthe ever 4 present problems of composing withthe modes.2 0 0 0 69 Example4-4 Glarean's Twelve Modes Aeolian = Hypodorian l ,{ • • 4 ...... 1--1 • a 'U' • • II mode II Ionian • 4 -·. a •-•· mode6 IIY'POIYdian l ' • mode I i : Dorian • • a LJ. \ \ J-,1' mode 8 \ \ Hypomixolydianl=4 a .....� 4 u • m • mOOc 3 Phrygian e M • ii 0 Iii • ,-· •-•• mode 10 II llyp,aenlian l ' • 4 a • LJ • I \ mode 5 i Lydian -0 -1 • • - f-f' 11 I 1 • mode 7 ___.,_ Mixolydian m • a _ ,-,· mode12 0 ,11 ••• ll)·paionian i a l; . \'/ , Powers writes that Glarean was fullycommitted to the doctrine of modal ethos, andhere too, hiswork reveals his synthesisof the classicalrevival withthe medieval heritage. Glarean wrote, "The Phrygian, the thirdmode, is a particularly famous andancien t mode ...H orace calls it 'barbarus' ...Lucian calls it 'divinely 0 inspired.' Some say thatit incites to battle and inflamesthe appetite of a frenzied 0 70 rage. Some have thought thatit has the character of movingto tears; therefore theyset it freelyto words that are tearful and full of laments. "25 Glarean applied these Greekaf fectsto thechurch modes withoutrealizing thesemodes could not be expected to work the marvelouseffects that the ancient authors attributedto the Greek 26 harmoniai. Palisca writesthat of fifteenth-centurywriters who specialized in music, Franchino Gaffurio(14 51-1522), celebrated Italian theorist,was diligent in seeking classical sources. Because he could barely read Greek, he was unableto studythe original sources for himself. Unfortunately, he studied Glarean's 0 misinterpretationsof Boethius and accepted themas truth.27 Inspite of his mistakein believingthat Boethius was writingabout the church modes when he was actuallywriting about the ancient Greek modes that -had not been in practical existencesince the fall of theRoman Empire inthe year 476 C.E., Gaffurio'swritings enhanced theprestige andvigor of the modes among composers and theorists.2 8 Gaffurio believed, like Plato, thatthe human soul is organizedaccording to musical ratios.29 To Gaffurio, cosmic and human harmonywere thevery basis of music's power and purpose. In his treatise he speaks of its Practica musicae, forceover in.animatethings. He states thatall souls are imbuedwith harmony, and · 0 they derive pleasurefrom music because it answers to the harmonywithin 71 0 themselves. He quotes Aristoxe_nus as saying that "a certain tuningpitch exists in one's body like that of thevoice and instruments. Just as sounds are made in · singing, various vibrations ariseout of thenature and formof the whole body."30 Inthe final chapter of his Theorica, Gaffuriostates that the voice joinedby instruments creates a "double aff' ection" whic. h.canexcite, quiet or expel passions of the soul.31 Gaffurio said, "Let the composer of a vocal piece makethe melod y agreein sweetness with its words, so thatwhen theseare about love or a plea forde ath or some lament, let him set mournful sounds as far as he can. Order the piece in the 0 Fourth, Sixth, or Second Tone� since these Tones are more relaxed andare known to produce thiskind of effect easily. Whenthe words speakof indignationand rebuke, it is fittingto utter harshand harder sounds, which are ascribed most often to theThird and Seventh Tones. Words of praise andmodesty see k somehow intermediate sounds, which are properly ascribed to theFirst and Eighth Tones."32 Strunkwrites that here Gaffuriowas ascribing the Greek affects to the church modes which shows his complete lack of understandingfor Bo ethius' writings and meanmgs. Zarlino (1517-1590), Italianmusic theoristand co mposer, was learnedin philosophy, poetry andmathemat ics. He is generally thoughtof as one of the 33 0 greatest music'al theorists of the sixteenth century. His teacher was theVenetian 0 72 master AdrianWillaert. His books, and Is tituzioni Har11Joniche Dimostrazioni areexcellent treatiseson counterpoint, harmony, andmodal theory, Harmoniche, whichopened the door to modernpractice. He bases harmoniclaw not on the eight mode system, but on Glarean'stwelve church modes. Zarlinotook pride inhis century'sre- creation of themusic of theancient world and flatly rejected the music of the Middle Ages._ His writings bearwitness to the extraordinaryrange and depth of his reading and to the understandingwith 34 which he read. Around 1558, Zarlinoadopted Glarean's system in its entirety. Zarlinowas veryinterested in thepower that music had on the passions and 0 the meansby which it could be activated. Zarlinobelieved the natureof the mode · must be studied by the composer who must take careto accompanyeach word in such a way that, if it denoted harshness, hardness, cruelty; or bitterness,the harmonymus t be similar, but so that it does not offend. If anyword expresses 35 complaint, grief, affliction, sighs or tears, theharmony will be fullof sadness. Zarlino defended with some persuasion the idea of celestial harmony. He wrote, "Whenthe body is listless, it is brought back to health withcures wrought 36 by medicine, and the afflictedand we akspirit by instrumental· and vocal music. " He believed humanharmony resides in the fourelements of the body and thatthe nerves are composed of earthand fire, the bones of water and air, and the fleshof 0 73 all four. He said thatno one would denythat the four humor s-black bile, phlegm, blood, and yellow bile37-areunited in the body throughharmony. 38 Example4-5 The Four Elements . Air t_ \ . :J .c: t:"' LU �- 1' �i�' _ - 0 Water Inhis Jst itutioni harmoniche, Zarlinowrote thatthe Fifth, Sixth, Eighth, Eleventhand TwelfthModes are "livelyand fullof cheer." The First, Second, 39 Third, Fourth, Ninth and Tenth are"sa d and soft." Here again, Zarlinow as applyingthe Greeketh os to thechur ch modes ratherthan to theGreek mod es. Galilei,who attacked Zar lino's entireteaching, realizedthis and wro te: When Zarlino said thatamong our modes one has· a quiet nature, others arelascivious, cheerful, tranquil, 0 infuriatedand others have yet differentnatur es and 0 74 characters, andthat the modes as used today by musical practitioners have thesame capacities thatthe ancientmodes possessed, I would answer,persuaded by experience which teaches us the contrary,that these 40 are all tales contrivedto confusedunderheads. Galilei, who was not a musician or a contrapuntist,was Zarlino's pupil in Venice around 1564. After a period, he became dissatisfiedwith some of Zarlino's solutions to importanttheoretical questions and became Zarlino's most 41 outspoken and severest critic. Galilei also attacked the elaborate polyphonicstyle of thesixteenth century in his (1581). He saw no reason to Dia/ago de/la musica antica e de/la moderna revere theancient rules when theywe re daily violatedin practice. He did not 0 believe thatRenaissance theorists and musicians; led by Gaffurio,Glarean, and 4 Zarlino,had been able to restore music to its ancient state. 2 Word-Painting vs. the Concetti In the second half of the sixteenth century, aesthetic doctrines were strongly directed toward the Aristotelianidea that 'art imitates nature.' Word-painting becamea standarddevice in vocal polyphony. It was a principal feature of the 43 Italian madrigal. .JoachimThuringus, in 1624, wrote, ''There are three categories of words thatmay be expressed andpainted by meansof music: words 0 \ 75 . of affections(weep, laugh, pity), words of motion and places (leap, cast down, heaven, abyss), and words of time and number (quickly, twice). "44 Sixteenth century composers used word-paintingin vocal music to depict a word or an idea associated witha word, e.g., an ascending passage for 'exalted' or a dissonanceon 'pain.' Theterm ref ers only to thetreatment of individualwords and not to the dominantaff ectionof an entirep·i ece, accordingto Warren.45 Some of the most movingpassages in themotets of Josquin arethe result of highly expressive formsof word-painting. De profu ndis clamaviad te, Domine. Out of the depths I have cried to thee,0 Lord. Example 4-6 JosquinDes Prez, Psalm 129 0 Deep anguish, serene confidence -- ; · ----- PRIMA.P ARS ,______------�· ca. 1445-1521 Range: =· 68-78 . J ,. - .,/ft .., -----4 SOPRANO ., - IIU .., � .. De - pro-fun 1-61-L1:� ••, ••• cla " ft ., . ALTO ., V u •. • u =a= . .,.� __,JJ�-· ------+.� + ...... __ De-pro-lfuo-dis cla ma vi ad - - - A - - � TENOR - r J A BASS ' 0 0 76 Vincenzo Galilei was one of thefirst to ridicule word-painting.46 In15 81 in his Galilei wrote: "I. ..treat . ..the most important andprincip al part Dia/ogo, thereis in music, ... theimitation of theideas [ thatare drawn from the concetti] 47 words." are imitations of things outside us; and natureis that which "Concetti formsthem in the mind [ ], which knowshow to imitate themwith the voice anima and the various passions of the soul. Names,words and all discourseimitates thingsand 48 He said thatthey arewhat Aristotle called thoughts or concetti." · 49 notions. The declineof thepolyphonic madrigal also brought a declinein the use of 50 0 word-painting. He criticized those who broke into unseemly fastnotes at words meaning 'to flee' or 'to fly,' or have the singers suddenlyhalt at words meaning 'to disappear,' 'to faint,' or 'to die.' He said to symbolize 'alone' composers reduce the music to one part,and forthe word 'two' or 'together,' they reduced it to two parts, or resortto black notes for 'dark' andwhite notes for 'light.' They imitatedrums, trumpetsand other sounds-unsuited to voices. Galilei said the entire genre of madrigalismwas in a state of ruin.51 Galilei stated of one of Lasso's works, on theline, "He descended into . hell," thatthe composition descends in such a way that the singer sounds like someone groaningto frightenchildren rather than anyone singing; On the words, 0 "aspires to the stars,"Lasso ascends to a height that no one shriekingfrom 0 77 excessive painhas ever reached. On thewords ·meaning weep, laugh, sing, shout, shriek, harshchains, hardbonds, cruelwoman, the words.are spoken rhetorically. Galilei saidthat if famous Gre�korators had uttered these.words in such a fashion, · theywould have moved theirlisteners to laughterand contempt and would have been despised as foolishand worthlessmen. Galilei said themusic of Willaertand Lasso and others.of his day was so remote fromthe ancientmusic as to be its mortal enemy with no means of producing effects because its sole aim was to delight the ear. 52 Galilei said: · The aim of ancientmusic was to induce in 0 · anotherthe same passion that one feels oneself. The orator who wished to move the passions studied them and imitated not only theactor but any othersort of person who mighthelp him to thisend. Whenthe ancient musician sang anypoeni whatever, he first considered diligently the character of theperson speakit1:g,his age, his sex, with whom he was speakingand theeff ect he sought to produce. Using the words chosen by thepoet, the musician then expressed m the tone andwith theaccents and gesturesthe quality of sound and rhythm appropriate to produce the proper effect. The ancient musician expressed.throughwords, rhythms,proper modes, his . countenance, habits and gestures his burningdesire to fight, to overcome, andto conquer the en,einy.53 Gali�ei believed the passions were missingin the music of hisday. He , · wanted_composers not only to imitate the essence of the (thei deas behind concetti, thewords) rather thansimply its words, but to imitatealso the sound qualities of . . ' 78 0 54 the spoken word. He said the composer should studythe qualities of voice pitch, volume, accents, rapidity and gestures-used by differentcategori es of people to speakto one another-children, servants, princes,girls, matrons-to imitate the essence of the words in a more life-like manner. This is what the ancients did when theysang a poem, choosing a accents, quantity and tonos, qualityof sound, and rhythm appropriate to the action and person. In15 91, Galilei wrote: "No one so far as I know has yet taught the way to accompany me words, or rather the thoughts behind them, with notes. "55 One of the main points Galilei asserted in his in 1586 was that the Dialogo 56 churchmodes had none of the virtuesclaimed forthem by Glarean and Zarlino. 0 Galilei wanted to see modality abandoned in favor of a system based on the model of the ancient Greeks,to restore the power that ancient music had to communicate humanemotions. He believed this could only be accomplished if the ancient system of were revived. 57 tonoi Text Setting Duringthe Renaissance, in the First Practice (primopractj. ca), the composer was guided by the principle thatharmony was the mistressof the text. In the Second Practice (secondo practica), the text was the mistressof theharmony, according to Marco Scacchi. 58 The divisionbetween music that was "affective" 0 79 0 (Second Practice) and that which emphasized complex polyphony (First Practice) occurred at theend of the Renaissancebecause of the rediscoveryof the ancient Greektexts . Plato had stated that of the threecomponents of song-words, rhythmand melody-the words were by farthe most important. "The harmony and rhythm 59 must follow the words." Renaissancec omposers felt that it was one thing to say thatthe music should be "suited" to thetext, such as in word-painting, but it was quite anotherto suggest thatthe music should be "subservient" to thetext, as in expressing the Strunkwrote that composers andtheorists turned to concetti. 0 classical principles·again for guidancein layingthe syllables and words under the 60 notes duringthis period. 0 0 80 Josquin Des Prez (1450- 1521) Example 4-7 Jo squin ; .) I ; 0 J osquinDes Prez was the greatestof the fifteenth-centwycontrapuntists, accordingto De Robeck. His fame was enormous. "Prince of music," his contemporariesdeclared, saying, "No one knows as he does how to excite the emotionsof thesoul by his songs."61 Glareanpraised Josquinfor being able to express thepassions of thesoul in music more effectivelythan any other composer in his centwy. He believed it was easy forJosquin to combine melodies belonging• to differentmodes. Glareansaid, ,- "Inthe m otet, he goes fromDorian to Phrygian, creeping "De profundis," unobserved andwithout offending theear. He ends the combinedsystems of'�e 0 Dorian and Hypodorianon E, the seat of the Phrygian." Glarean said, "Thiswas 81. 0 not so muchan expression of an affectionas a demonstrati�n .of unusual agility and clevernessin combiningthe modes ." 62 was a termfirst used during the 1540s and15 50s to "Musica reservata" characterizethe music of Josquin andhis followers, to express its clarity,balance and expressiveness. In thelate sixteenthcentwy, the term more narrowlymeant ''expressive interpretationo:f the text ." was a forerunnerof the Musica reservata (Doctrineof Affections) of theBaroque period (seventeenthcentwy Affektenlehre roughly) and the (Sensitive Style) of the later eighteenth empjindsamer Stil centwy, whose chief practitioner was Carl Philipp Emanuel Bach. 63 0 0 82 0 Example 4-8 Josquin, Glarean said Josquin "goes fromthe Dorian to the Phrygian, creeping"De prof unobundisserved." and without offending the ear. He ends thecombined systems of theDorian andHypodorian on E, thesea t of the Phrygian."64 Josquinmove s the emotions through combiningmo des. meansLord in Latin. Dominus 78 80 .) • I I' � " - .- 0 - '--"' I fv I I I "'-I ,· - no, In Do - - mi no, ,. ,,. � + 71 � _,,=J- •..:._____::,.,, � 70 � - - Do-mi-no, ------in ------Do cresc. -� I> .,I , 0 0 -- 0 J I r I I I r - ---·------·------·-·····----- in Do-mi-no, - - . CTP.SC. --- , - ;:' 0 - I I I t in Do------m1----no, ------10 ------84 82 � )n ---- • ...!!im. =o 0 : � JO - --- �w 11 .., - ..... in ------. [- ml no,...__ - - - Do -) 1n------Do ------mi--no. n • � - ,1,;_ JO � ·-- ,;, --,; -,,- .. � m1 no, 10 ----- Do -) -- 4 -� �---- - m1 no. I I ---- ,. � • ----- aim. 0 .... : .... � ., [ mi no, m ------Do I r IO - Do mi---no. �, d·im.. •w l �- ' I Do---�------mi-----:no. ------·················· DCS-43 0 0 83 AdrianWillaert (14 90 - 1562) Accordingto Palisca, AdrianWillaert was an importantFlemish composer who offersa fine example of Renaissance text setting in hismadrigal from Musica It was probably composed before1540 and uses nova, ''Aspro core e s�lvaggio." Petrarch'spoetry. 65 Galilei said, "Contrapuntistsare confidentthat they have adequately imitatedthe ideas and thewords of a poem such as the line "Aspro core if "theyhave made theparts sing many sevenths, e selvaggio, e crudavoglia" fourths,seconds and major sixthsand caused·a coarse, bitter and littl� pleasing sound."66 0 In the followingex ample, throughout·the · fir.st twolines, thelowest voice moves consistently by upwardleaps of thefifth and 67 whichZm:lino says gives a sad and subdued effect. · He does.not explain why. The beginningof thesecond partexhibits frequent le aps of the fourthup . and the 68 fifth down, which gives a: happy, excited, virile, and naturalfe eling. To express griefand sorrow,.Willaert uses the half step and the minor third [in measure 14] to produce sounds that aresweet and -soft. To my own tonally trained ear, I found theexact opposite to be true. The firsttwo lines se�med happierthanthe section 69 with the B\ whichto m� sounds minor,indicating sadnes �. · 0 84 0 . Example4- 9 Willaert's Madrigal. Sad andSubdued Affects Using lntervallic Combinations Aspro core e selvaggio, e cruda voglia In dolce, humile, angelica figura Ina sweet, humble and angelic figure Hard andwild heart, andraw desire ./ A I : C I \ UV -el I I I I l A -� A spro co · / re e scl- �A -j vag • Jgio,ecru�vo . glia j VJ ., ... �" I I I I l T ,,n � I\ I I .l I I V "' .. i ' \ I l A · sprol co - re e sci j vag . gio, elcru - da l��vo � B I - \ . . . . A spr o co re e sci vag-g10,e cru da vo • . 10 .I I\ - tJ A spro co • I re e sc l-vag - jgio, ecru -daTvo glia A · I I l � I\ -· I I ·1 I 1 -l . t,., A spro I co - re c sci - I vag gio, e lcru - da I VO I . -1 A spro �o . vag vo :/\ I I re e �I - I - gio, e I cru -da - /glia . � � : glia I I I In do! J..• I I -7- " glia In / I\ 15 t" I I I In dol • lce,hu-mi-le,�-1 I In dol • ce,hu-mi le, an-ge Ii-ca fi . : " I •I • ·I ·I gu · I ra, _ ,. inl I glia In dol • l I I I I l .J In dol • !ce,_hu-mi -le, an{ge - Ii -'i,� n . ill 0 · I gu 1 l '-c:, .,i_ ce;hu-mi - le,.an � g� Ii -I c� fi . iri ,�ldol-. ce, hu-md - t' gu I r,. le, an-ge 0 - -1 ! I e " dol ce hu - mi le in do l-ce hu-mi-le '.an :S It ca f1 gu ra, ...-"-j I '•• 0 85 Example 4-10 Willaert. Happy, excited, virile, natural feeling. Galilei, I believe, woulddisagree with Palisca, thatWillaert here offersa "fineexample of text setting." Galilei would say the were missingbecause Willaertused concetti intervals to express theem otions, not words. are ideas behind thewords. Concetti Whileemotions can be expressed usingintervals , can onlybe expressed concetti by layingthe syllables underthe notes so as to express theconceptio ns behindthe words. Ha- vran di me tern-po du . • I ra, I ,r.� ' J i . j, )J Ja , : I - - I r I Ha-vran di 1 11 ,I � ii - 0 me ra, Ha-vran di- po-coho-no • ; /"' 35 ,. tJ - - . , � ta spo I • I glia I e1te jquan • do I 112-scc e mor I - ta.. spo - glia: I Che quan - I do rul•SCCC mor ' I . j I l � glia: I Che quan-doI �a-seeC mor I I flor,her-ha, � fo I - co ho-no ra • ta spo - lia, che quan do 112-sccc mor fior hcr-ba,c-fo i,. po f l g l � I · -1 ·• I ,. .... - )' me po-co �no, I ra. -ca spo • 11g lia:- Che 4uan � do na-scee l mor I I '\ "' ra. ca spo - glia: C he 4uan - do 11a- seee mor fior 0 0 86 By the end of the sixteenth century, the entire corpus of Greek music theory 7 had been translated and studied, althoughit had not necessarilybeen understood. 0 Because of thenew polyphonicdirections composition was taking in motets, masses and madrigals, theorizingabout the modes was causing utter confusion.7 1 The eight-mode system, the competing twelve-mode system, and the eight psalm tones were being mixed together and were causing chaos, according to Powers. Multiple problems ultimately led to the abandonment of the modal hexachorci system as themodel available for musical composition. Inthe later sixteenthand earlyseventeenth century, Glarean's twelve-modesystem was taken up 0 enthusiastically by composers as well as by theorists. 72 Inthe last quarter of the sixteenth century,niusicians were considering Boethius as a resource for thestu dy of Greek music theory andpractice and no longer as the gospel for music theory of their owngenerat ion. Much of Boethius had been an embarrassmentto music theorists,because they could not understand large partsof it; andmany parts they could understanddisagreed with what they . 73 believed. The Florentine Camerata · By the end of the sixteenth century (1570s), a small, informalgroup ( ofnobles, scholars, and musicians beganto meet at the home of 0 ca_merata) 87 0 GiovanniBar di in Florence to discuss music, poetry, astrology, and otherscien ces. The purposewas to formulate theories of expressive music based on Carrierata's their study of the music practices of the ancientGreeks andRomans . One of their chief aims was to restore music inso me degree to theheight fromwhich it had fallenafter the barbaricGoths overthrewthe RomanEmpi re. Palisca writes thatthe wanted to restore the combination of Camerata words, music, modes, and affections that altogether made up the ancient Greek .theater. They knew the Greeks were greatpoets and philosophers who were not trying to please the earlike themodern mu sicians, but who made animpr ession on 0 the intellect, the. most noble part of man, according to thepa ssion ( cheer or pain) in the poetry.74 The composers and poets of the were eager to end the Camerata distortionof the words in the polyphonic music of their own time. They said that the text must at all times be understood, that the words must be sungwith a meticulous natural sense, and thatthe music must interpretthe spirit of the whole.75 The focus on ancient Greek music probably bec�e most intense between 1572 and 1578; when Galilei andBa rdi were corresponding with Girolamo Mei, who, according to· Grout, 76 seems to have been fJ.! St to suggest the idea of m9nodic singing based on the style of the Greeks. Each of his letters . bro�ghtfresh di�coveries about Greek music .to stimulate new rounds of debate for the 11 0 Camerata. 0 88 Vincenzo Galilei said the correctway to set words was to use a solo melody 78 that would enhance the naturalspeech inflections ofa good orat�r. With the help of Emilio de' Cavalieri, Jacopo Periand Giulio Caccini, he began to extract theessence of the Greek and Latin musical theories and, by this means, to become 79 a thoroughmaster of music theory. Galilei set to music a lamentfrom Dante's Inferno and a partof the Lamentations and Responds of Holy Week. These were sung by a tenor andaccompanied by a consort .of viols forthe Camerata. This 80 novelty was pleasing andaroused envy among the professio�al �usicians: The Camerata 's revivalof the theoriesof ancientmusic helped to produce 0 the new concept of monody(from the Greek monodia: monos "alone" and aidein, 8 "to sing") 1 as well as the firstoperas. 82 Among the first poems to be sung as monodies with consort accompaniment were the Story of Daphne (1597), and 83 Euridice (1600), by Peri. 0 0 89 • -, •- • • •-�- H- •-- . - ·------. - -- . ----· --· --- -- .. . 1 Claude Palisca, Humanism in Italian Renaissance Musical Thought, (New Haven: Yale UP, 1985) 1-5. 2 Palisca, 22. Humanism, 3 Palisca, 30-35. Humanism, 4 Palisca, 23-29. Humanism, 5 Palisca, 36-41. . Humanism, 6 Palisca, 280. Humanism, 7 Palisca, q-8. Humanism, 8 Claude Palisca, · Studies in the Historyof Italian Music andMu sic Theory, 0 (Oxford: Clare�don P, 1994) 168. 9 Palisca, 14 . Humanism, . 10 Palisca, 342. Humanism, 11 Palisc� 342-345. Humanism, 12 Palisca, 345-346. Humanism, 13 Oliver Strunk,ed ., Source Readings in Music History, Antiquityand the York Da Capo P, 1990) 5. ·Middle Ages·(New 14 Palisca� 9-12. Humanism, 15 . Palisca, 15-16. Humanism, 16 Oliver Strunk,ed. , Source Readings in Music History, The Renaissance, vol. 3 (New York: Norton, 1998) 88. 0 90 0 -- -�------� r ------... --- --___ ,:___ ------" -- ,_._ - - - .. ------t --- -· ·--- .-• 'tOli�er sirunk� ea-:, in . S�u��e·}�;adi��s itu si�-ins i s c ... (New York: Norton, 1965) 113-115. tory,-·ihe-ien�i san e,· 1 8 WarrenAnderson, "Ethos," TheNew Grove Dictionaryof Music and vol. 6 (London: Macmillan, 1980) 286-287. Musicians, 19 Palisca, 469-470. Studies, 20 Strunk, 1998, 4. Renaissance, 21 Strunk, 1998, 115. Renaissance, 22 Nicolas Sloninisky, (New Baker 's Biographical Dictionaryof Musicians, York: Schirmer,1957) 568-569. 23 HaroldPowers, "Modes," TheNew Grove Dictionaryof Music and vol. 12 (London: Macmillan, 1980) 108. Musicians, . 24 0 Strunk, 1965, 219. Renaissance, 25 Powers, "Modes," 411. 26 Palisca, 469-470. Studies, 27 Palisca, 191. Humanism, 28 Palisca, 11-12. Humanism, 29 Palisca, 208. Humanism, 30 Palisca, 177-178. Humanism, 3 1 Palisca, 197. . . Humanism, 32 FranchinoGaf furio, trans. Clement Miller (Dallas: Practicamu sice III, AmericanInstitute of Musicology, 1968) 15. 33 Nesta De Robeck, (London: The Music ofthe Italian Renaissance 0 Medici Society, 1928) 50. 91 - - - --·------. ------... , __ -- . --· ------·- - - . 35 , Strunk, 1965, 245-258. Renaissance, 36 Palisca, 179-189. Humanism, 7 3 The fourhumors in earlyphysiology. 38 Palisca, 181. Humanism, 39 Gioseffo Zarlino, trans. Guy A. Marcoand The Art of Counterpoint, Claude Palisca (NewHaven: Yale UP, 1976) 21-22. 40 Palisca, 345-346. Humanism, 41 Palisca, 223-224. Humanism, 4 2 Strunk, 1965, 306. Renaissance, 4 0 3 CharlesWarren, "Word-painting," The New Grove Dictionaryof Music vol. 20 (London: Macmillan, 1980), 529. andMusicians, 44 Warren, "Word-painting," 529. 45 Warren, "Word-painting," 528. 46 Warren, "Word-painting," 529. 47 Strunk, 1965, 315-17. Renaissance, 48 Strunk, 1965; 37. Renaissance, 49 strunk, 1965,--34. Renaissance, so Warren, "Word-painting," 529. 51 Palisca, 366. Humanism, 52 Strunk, 1965, 115-122. 0 Renaissance, 92 - .. -- - -- ·· ------.. - --'-- ✓ -sY§�; R;�a,;sa-,,�e, ·1965, i23:129. 5 4 Palisca, Humanism, 366. 55 Palisca, Studies, 85. 56 Palisca, Humanism, 76. 57 Palisca, Studies, 76, 4 70. 58 Palisca, Studies, 85-86. 59 AndrewBar ker, Greek Musical Writings, The Musician and His Art (Cambridge: Cambridge·UP, 1984) 14-17. 60 Strunk, Renaissance, 1965, 11_3�115. 61 0 De Robeck,_ltalian Renaissance, 23. 62 Strunk, Renaissance, 1965, 223. - 63 Willi Apel, HarvardDictionary of Music, (Massachusetts: HarvardUP, 1968) 467. 64 De Robeck, Italian Renaissance, 23. 65 Palisca, Humanism;357. 66 Palisca, Humanism, 366. 67 Palisca, Humanism, 363. 68 Palisca, Humanism, 364. 69 Palisca, Jfumanism, 364. 70 Palisca, Humanism, 50. 7 1 0 Powers, "Modest 406. 93 0 . · � - . . - --- ...i· · ,- - - .:: -...... __ _ - .------= 72 w ·' Po ers, ''M�des,'-; 4-14.-- 73 - Pali.sea,_ Studies, 188·. 74 _. Claude V. Palisca, The Florentine Camerata (New Haven: Yale UP, 1989) 14_5. ., . . . 75 ·Earlof Harewood,ed� . Kobbe 's Com· plete Op era iook (London: Putnam, 1963) 5. . · 76 Donald J. Grout, A History of Westem Music (New York: Norton, 1960) 278. .. 77 Palis··ca, ·camerata, 5. 78 Grout, History, 278. · • 79 0 Stnink,Renaissance, 1965, 16. _·so Strunk, Renaissance, 15-16. 81 Grout, History, 277. · 82 Oliver Strunk, ed., Source Readings in Music History, The Baroque Era (New York: Norton,-1998) 15. · · 83 Strunk,Renaissance, 1965, 17. 0 0 94 CHAPTER V INTO THE BAROQUE The term was probably derived fromthe Portuguese baroque barrocco, meaninga pearl of irregularform. Other meaningsinclude "grotesque,"and "overladen withscroll-work." Both the beginning and theend of the Baroque period in music are ratherclearly defined, much more so than those of most other periods, particularlythe Renaissance. Baroque music starts about 1600, withthe 0 rise of monody, opera, oratorio, cantata, recitative, and closes 150 yearslater, with the deaths of Bach andHandel . 1 More thanany other period, the seventeenth centurycontributed toward the development andestablishment of clearly definedforms and genres, such as the ostinato-forms, the variations, the suite, the sonata, the rondo, the concerto, the opera, theoratorio, thecantata, and the da-capo aria. In texture, Baroque music emphasized melody and bass, with the space in betweenfilled in by improvised harmonyusing the figured bass or technique. This was a method basso continuo of indicating an acc·ompanying pm by showing the bass notes only with figures designatingthe intervals and chords to be played above them. The Baroquewas a 0 0 95 period of improvisedharmony and elaborate melodic ornamentation. The tonic anddominant were established as the principal chords about 1650.2 ' ' Manygreat composers contributedto the music of the Baroque. Also, there were the greattheoretical writers of thea ge--Heinichenand Mattheson . We will now explore some of the contributionsof thesegreat theorists to thedevelopment of ideas about affects in music. JohannDavid Heinichen (1683 - 1729) ·JohannDavid Heinichen was a distinguished Germancomposer anda major 0 theoristof the earlyeighteenth century.3 As a child, he studied harpsichord and organ. In 1706, he completed a law degree. In17 09, he moved to Leipzig and composed several operas. He moved to Venicein 1710, thecenter of Italian operatic music, where he was commissioned to writetwo operas, both successfully produced in 1713. In 1717, he was engaged as Kapellmeister to the court at Dresden, a position he retained all his life. During thisemployment, he wrotea vast amount of secular and sacred.music.- He revised andrewrote his earlier thoroughbassmanual (firstwritten in 1711), almost doubling the contents which .. 4 he publish�d at his own expense. . Heinichen composed inalmost eveiyform of hisday except fork eyboard- .· more than250 works, many of which were lost inWorld War IJ. None of his 0 0 96 m"9sic was published duringhis lifetime. His musical style, whichmixed the national idioms of German,French andItalian music, is more galant or pre Classical in characterthan contrapuntal, according to Buelow. His operas were more Venetianthan German. The Einleitung, new to the second version of his thoroughbass manual,provides insights into Germancompositional principlesof musical rhetoric and theexpression of the affections. Heinichen's concern for affectand the application of rhetorical devices5 originatedduring his student years. According to Buelow, fewcomposers of theBaroque have leftus such confident, experience-testedopinions about their musical art.6 0 Heinichen's famousbook, whichhe called Der General-Bass in der Komposition, was published in 1728. He followedthe traditionset by the majority of theorists of theseventeenth and eighteenth centuriesthat associates musical composition withthe Greco-Roman doctrinesof rhetoric and oratory. Concerning affect, he considered the most important question to ask when determiningthe affectsto express in a, musical work is, "Whatfeeling results from theprevious situation?" By studyingthe text of the recitativein opera, one can discover the affect to be expressed in the following aria. In the seventeenthand eighteenth centuries, persuasive speech rooted inthe Aristotelian example became synonymous withthe Baroque composer's purpose in writingvocal music. In 0 Baroquevocal music, emotion (or affect)evolving directly from the application of 97 0 theword andthe idea became the composer's goal. It was not easy forthe composer to findand detect the underlying basic affect he was supposed to address amongall thewords andthoughts in a particulararia. 7 Heinichen believed the true purposeof music was to move the"bottomless ocean" of emotions of audience by theexpression of words and affects in music throughrefined andtext-related an musical expression. 8 He said we canbest stimulateour imagination by using the 9 The was a loci topici. locus topicus standard rhetorical device to assist theorator to discover topics andideas for formaldiscourse . It was derived fromthe Greek andthe Latin topos locus andfirst appears in thisamalgamation of languages in seventeenth 0 communis, centwy rhetorical manualsprinted in Germany. The were rationalized loci categories of topics. The most common were those of cause, place, time, loci 10 manner, and means. Heinichen wrote thatthere is no better way to enliven theimagination of thecomposer thanby using the Even withthe most uninspiredtext, the loci topici. composer should examinethe material by considering the antecedentia, and Examine the circumstancesof thep.erson and concomitantia conseql!entia. - events, what is happening, thecause andintent, thetime frameand thelocation. A skilled composer will always fm: d ideas and be able to create clever inventions by weighing carefullythe purpose of the words. 11 0 · 98 0 Buelow states the following examples, taken fromHeinichen ' s treatise, are based on fourtexts. Using the called to discover the locus locus circumstantiarum antecedent, concomitant, and consequence ofthe text, he demonstrateshow the composer. can discover theappropriat e affects. Regarding thefollowing operatic excerpt, Heinichensaid, Inthis opera, thecomposer candiscover Matilde's intentions by studyingthe words accusare, gridare, (all indicatingra ge) in thepreceding chieder raggione, recitative: The ariacan be presented withthe most raging emotion, which would inspire a composer rich in imagination12 to turnhis ideas into beautiful inventions. 0 0 0 99 Example 5-1 Rage. Heinichenwrites that we could also look at thewords (to accuse), (to scuffle)an d (to be angryand ask acusare gridare chieder raggione why). The composer could writeinve ntions forse veral vocal parts. 13 To.express rage, themu sic uses repeated sixteenthnote s outlining triadsat a fasttem po. No(is nnot e soalone,/a, non is not estraniera foreign lathe causaca use ch which 'e vera,is true,no duI bihaveto no no doubt, no) Sop. ! : Non � so - la. ' A. I b.c. ! ' non e 90 - 13., non e - str:i. - nie - ra. la C,l.U•S3.- ch·e l I ,.., ·' I ' I pia.no v e • ... -, ,...... ---- \ "\_ - 0 0 100 Example 5-2 . Quarrelsomeness. Heinichenstates thatwe could present Matilde's heroic decision to liberate her lover in a pompous manner. 14 To express quarrelsomeness, the music uses repeated sixteenthnotes on thesame pitch, repeated words, andeve n themelody repeats likemuc h thoughton thesame subject, yet not necessarilygetting anywhe re. con nova d 'amorfa tto animoso liberare ii mio sposo Non e' so/a, non e' straniera, la causa ch 'e ' vera, non (withren ewed love becomingbold, to liberatemy husband, is not dubito no ' alone, is not foreigna cause whichis true, I have no doubt, no) � : Vim q :• :;�: • r c .. :: : : t: :r:::;: : r:7/!< r:::: :•: : c = r f r r r r r ; :t:•;·: e : :7: : : :: :: :: :: :� -, 0 Sop. i i / Non O so . la..non e str:,.-nie . ra., non e stra.-nie · ra. la. ca.u-sa. ch"e ve . ra., non du-bi . to _ nO. n\l,nO, non du · bi-to, nO. ' ' ; i I ! ;: ...,I : , .../ 0 101 0 Example 5-3 Pompousness. To express pompousness, themusic outlinestriads · ineighth and sixteenth notes, uses diatonicpatterns in sequence, anduses authentic cadences fora feelingof importance. ' ' Non e so/a, non e straniera la (is not alone, is not foreign thecause which is causa ch 'e ' vera, non dubito, no true, I have no doubt, no) Vim• ,, i::! , ::::: :: : : : �: :; ::;::: :: : 1�::::::-::::: 0 Sop. Non e so - la.,non e -- stra.- Di - e - ra. la. ca.u sa. cb·C ve ro., ch'i, vc- • 0 0 102 Example 5-4 Eternal pursuit of fortune expressed in a bass theme. Heinichen states, "One could present the changing, fickle, fleeting, stubborn or suffering sense that leads to happiness in various ways."15 To express pursuit of fortune, the music uses a bass theme in diatonically descending patterns and sequences in unison with the violins. ' (WhoChi ha has nim fortuneica la fo asrtuna enemy si vedwillra be' semalwapre,ys, semalwayspre penar, sisuff vedering)ra sem pre penar Sop. Chi h.i. - ni .. 0 na., si ve - dr.i. sern - pre. sem - pre pe - . - 6- ELUFF c @flg�--1{Q. mr1 si vr. - drl1. sem .. ' pre pe • 0 103 0 Example 5-5 Fickleor furious fortune. Heinichens tates, "Thevague or 16 ravenous happiness could be presented by harmoniesin variousintensitie s." · Ficklefo rtune is expressed inthe music by using anascending diatonic patternof fournotes repeating and alternatingwith full scalepassage s andsequences of the fourascending notes. ha ', Chi nemica la fo rtuna, si vedra ' sempre si vedra sempre (Who has fortune as enemy will be always suffering). penar 0 -� �Y �r::;���--�ffljJJJ�l l@ffifp[}-g=g J �:F� -J�J&frrrtr I a 'I P r r rl er r ¢t:ci=1 __ : cf I I r !JIJ J ,c±Jr{l w 0 0 / 104 . Example 5.;.6 Ever-changing or calamity-bearing fortune. Heinichen states, "The effect of the happinessthat brin gs suffering could be presented using the word (to suffer) as a hint, in very different manners whichare especially penare varying fromthe already presented examples."17 Ever-changing fortune is expressed in the music by constant modulations. The example begins in e minor, but the second measure seems to be in G major. The third measure introduces d#, the leading tone of e minor, but thenbe comes chromatic and descends back to G major. The d# again appears and leads back to e minor at the cadence. Chi ha (Who has fortune as enemy willbe nemica la fo rtuna sivedra ' sempre penar always suffering) Andante b. e. 0 Chi h:.. ne . mi . C,' la for- lu . no. Si ve-dra sem • pre pe . n:ir_ sem•p re, sem • pre pe • nar. 0 105 0 Heinichenwrote that in ariasexpressing a double affect, one would emphasize the lively affect more thanthe solemn one. A melancholyor depression induced by lovingfeelings would always be expressed as a pleasant love rather than a black melancholy. In a tender, serious-pleading, sad-sighing vocal part, the expression of the tenderness would always be preferredover the negative expressions. If there is deathlydespair, thecomposer will look at and emphasize the �derlying rage as· opposed to the dying affect. 18 Buelow writes thatHeinichen asks how a composer can findinvention for the (A section) of anotheraria, whichbegins with the singer's appearance da capo on thescene without a preceding recitative. The words are lo 0 no diro col labro, (I will not say it with my lips, that so much courage do che tanto ardir non ham not have ... ) Buelow continues, "One does not know if theaffect is sad or gay, am�rous or serious." 19 Heinichen says inthe se two lines, "We cannot findany - hint that would allow us to develop aninventi on. But, if we look into the followingrecitative, we find fo rfe con le fav ille, per dirche gid tutt ' ardo, lo 20 (perhaps with sparks, to show thatI amalready all burning, squardo parlera," my look will reveal). Heinichen says from this he knows the is intended da capo to have anin -love intention. 0 0 106 Example 5-7 Love. Love is expressed in the music by a simple sopranomelody in G major accompaniedat the tenthbelo w in the bass. Non lo diro collabro, (I willnot say it with my lips, thatso much col/abro, chatantoardir non ha courage do not have) fr 0 ffE Cf10 f E f Cf04J F[j 1 f----; ; '.-· ·- - i Sop. �on lo di . ro col la.• bro, col la. · bro, ch e_ t�n • t11...ar- dir non ba, non ha., che tan • [t o] 0 107 0 Example 5-8 Burningfire of love. Heinichen says if we wantedto use thewords (sparks), (pupil), / (the passion), lo (the look), we fa uil/e pupille 'ardore s ardo could use theburning fire of love as theunderlying affect. 2ffl' Burningfir e of love is expressed by anon-going drive of continuous sixteenthnotes in F major. No n lo (I will not say it withmy lips that so diro co/la ..Bro che tanto ardir, non ha much courage, do not have) > - ....- -! .��:-·'.;· �:: ;!�;;-::: : ;� ::::::: 0- Sop. Non lo di • ro col 13. • • bro che Lan • Lo ar- ., \ I - - ' 0 I ! � ___J 0 108 Example 5-9 Flirtatiousness. Buelow writes thatthe next example attempts a "flirtatious" affe ct, resulting fromthe expression of "amorousglanc es andburning eyes." 22 Flirtatiousness is expressed in the music by two sopranopart s playingin thirds intriplet rhythm s againstduple meter inthe ba ss. lo ' (I Non diro colla ... bro will not say it with my lips) 3 b.c. Jorie 0 Jo rie f\"ii 3 3 ..., I :-Ion- lo di - rO col . la. b_ro 3 f\"ii - 3 .. � .:.. ..1.. ..1.. f\"ii - - - -; ..., - jt• ..:!,.. � ..!!..,, .. ,-·I .. J __ I � I - - ,.., .,_ ,-' ··--·---,I' 0 0 109 · Example 5-10 Tenderness. Heinichensaid, "The work is much easier if the lyrics of thearia itself gives ideas and inspiration. In thefollowing aria, Aminta is searchingfor his shepherdess in theshadows of thetree s."23 To express tenderness,the mu sic uses dotted eight and sixteenthrhythms in 12/8 meter, which sounds almost likea gentle, rocking lullaby. Vo 'cercando ilvero Nume, che ', ii (I sospira la mia fe Qua/fa rfaletta intomo al fume, fr a quest ombre aggiro pie ' am searching forthe true God, who longs for my faith like a butterfly around the light, among the shadows I wander) . -·... t VO_ cer-can - do ii ·•e - ro 0 l::i:1= V: t=+=Jg#-} I � �-�. Etf3 t· J ; I\ • II - ..,.J I u rt! che r Nu me - dtc so �p l • r;\ ... mia. so - spi ra la ... I I I ... () • II I h I .JLJ h__ I • h I V I I r I V I u V I V V fl Ji II .., 'V * -; � 11- .. 0 0 llO Example5- 11 Sighs of Love. Sighs of Love areexpressed inthe music by using c harmonic minor, though the key signature shows twoflats r ather than threein repeatingmoti ves. ' ' (I am Vo cercando ii vero ii vero nume che sospira la mia fe searchingfor the trueGod who longs.formy faith) VO cer.. can do_il- ve f(!_il- ve - ro Nu - ;-, b. c. • I .., me che_ so • spi · ra la_ rr.ia fi, � ! i 'I 0 !I Example 5-12 Fear. Amintais fearfully searching forhis love, which could be expressed by syncopation.24 Fear is expressed inthe music by alternating eighth andquarter notes ina syncopatedrhythm with chromaticismin g minor. Vo ' ' (I am searching forthe true God · cercando ii vero nume che sospira, la mia fe who longs formy faith) 1 ------. . Sostenuto Sop. YO ce r . can �do il ve - ro_ �u .. me, cbe so - spi - ra, so · c. b. .., spi • ra. - I:,. .., 0 .., 0 111 Example 5-13 Sighing. Heinichen says we can imagine that Aminta has found his love with a playful exchange of loving looks. 25 Buelow quotes Heinichenas saying that the "corresponding emotions" of the two lovers "through the use of two well-chosen instruments alternating in pleasant consonances and dissonances portray the mutual love, at once quarrelsome and yet unitedin spirit. 26 Sighing is expressed in the music by using two flutes sometimesplaying togetherin thirds and sometimes as a leader and a followerin motives. (I am searching forthe true God) Vo cercando ii vero nume f: . 11 Amoruso :! (lutes traversier .,...... .. - � .... a:1 - 1:r� r f fT c:i- - t) I\ ,, ll - - r, I - - - - ;+•... • " - ' - rm fl " II - Sop. -tJ r r r r r Vo cer-c:i.n-doJr1·e • ro �u- me Vo cer-can·dqjl ve • ro fl"ll ,_ -. - t) 0 fl t1 II t) - _, .. 0 112 Heinichen remarks that all of these examples prove that we can express words and affectsusing different, even contradicting, keys. He said everything thathas been writtenabout affects of keys according to the old system (Greek)is rubbish, as if one mode could be cheerful, the other sad, the next heroic or warlike. Even if the old system were right, its application would fail with the slightest change of the · common tempering in which theinstrumental voic es are never · accurate. Heinichen said that 1f we derive beautiful arias fromone key or another, we attribute the good effect of the ariato the key instead of to the composer. It becomes belief thatthe key could not be expressed just as well using the opposite 0 lyrics and affects, which he foundannoying and wrong. He said it does not work well to specifically assign one or anotherkey to anypart icular affect. The selectionof the key depends on the mood of the composer,. because we canfind the saddest and most tender ariasin d, a and b minor as well as brilliant and strong ones in a minor, e minor and c minor. Heinichen states, "Allkeys or modes, withno further differentiation, are suitable forexpre ssing all kinds of, even contradicting, affects." Whichone will be selected by the composer depends on four criteria: 1. The intention of theco mposer, who might have favorite keys. -0 2. The composer's choice to express an affect in a different mode or key. 0 113 3. Selection of a certain key to suit a particular instrument. 4. Choice of key or mode to suit the range of thesinger. Heinichen said, "A master could easily compose an aria,or even anentire opera, in fiveor six different mannerswithout repeating himself. This is strong proof thatthe lo ci topici. give us the most beautifulopportunity fo r inventions."27 Buelow believes Heinichensucceeded in attainingthe true goal of Baroque music, · to strr· the emotions. 28 Johann Mattheson(16 81 - 1764) 0 Mattheson's education was exceptionally broad, according to George Buelow. He was trainedin music, dan�ing, drawing, arithmetic,riding, fencing, English, French andItalian in addition to liberal arts. He also studiedkeyboard , _ composition,singing, gamba, violin,flute, oboe, lute and law. He led a rich musical lifesinging with the Hamburg opera from16 96 to 1705. In 1703, Matthesonmet Handel and, as fellowmusicians, theybecame good friends. · _Mattheson sang in many operas and became an organvirtuoso. He also studied English law, politics, economics and details of trade. By 1735, he had become completely deaf. 29 Buelow states thatJohann Mattheson was themost importantwrite r on the music of the GennanBaroque .- Between 1715 and 1740, Matthesonwrote 0 114 numerous scores and treatises andtranslated English histories, novels and philosophicalworks. He documented in greatdetail the radical changes in musical stylesfrom the Baroque to the Classical period. Inhis books, he discussed almost every aspect of themusic of his day. Mattheson's most importantbook is Der vol/kommene Capellmeister, published in 1739. In·this book, he systematized the doctrines of rhetoric as they became the basis of composition; he proposed a complete theory of good melody writing, which to Mattheson was the basis of all composition; he discussed emotions in music. Buelow states thatMattheson believed that everyaspect of 0 music is viewedin relationship to the Affections. He furtherstates thissection of is the only attempt foundin Baroque literatureto Der vol/kommene Capel/meister arriveat a true"doc trine" of the Affections. The most important aspects of this book lie in the originality of the presentation and the author's reflections on the most importantaspects of the musical thought of his time. Buelow says Mattheson's books are of inestimable value forthe student of eighteenth-century · 30 German B aroqueip.us1c. _ The Doctrineof theAffections was a termfirst used (Ajfektenlehre) extensively by German musicologists to describean aesthetic concept in Baroque music originally derived from Greekand Latin doctrines of rhetoric and oratory. The Doctrineof theAffe ctions was treated in greatdetail by Matthesonin 0 Der 0 115 vollkommene Capellmeister. . . He listed more thantwenty affectionsand described how theyshould be expressed in music.31 Matthesonoutlined a musical rhetoric thatwas patternedafter the formal devices of grammar: The doctrineof musical rhetoric served as theformal structureto which thepresentation of musical affectsor emotions was appended. Buelow believes thatMattheson 's view on thelo ci was derived fromHeinichen. 32 Rhetoricalterminology was borrowedfrom the ancient Greeks by music theorists-during theseventeenth and eighteenthcenturies. Aristotle wrotethat orators used rhetorical means to· controland direct theemotions of theiraudience; so also in Baroque music treatises, thecomposer must move theaffections 0. (emotions) of thelistener. The affections, then; were rationalized emotional states or passions. Manytheorists and philosophers of theBaroque categorized and described typesof affectionsas well as connotations of scales, dance movements, rhythms, instruments,forms and s tyles. 33 Matthesonbelieved thoseaffects which by nature aremost inherent in us are not thebest andmust be curtailedand kept in check. He said, "This is a partof morals withwhich anaccomplished composer must be absolutely familiar, if he wishes clearly to distinguishvirtue from vice inhis music, andif he wishes to kindle love forthe formerand abhorrence for thelatter in themind of thelistener, 0 which is thetrue purpose of music."34 The authorof amorous compositions must 116 0 draw on his ownexperience. He will findin himselfor in his own affectthe best model to organizehis expressions in sound. If he has· no personal experience of thisnoble passion, he would be more successfulwith anotheremotion. Mattheson's adviceis that"one oughtto choose a good poetic work in which natureis vividlyportrayed and striveto distinguish the passions contained therein." 35 The works of a composer of music would turnout better if he himself realized what he actuallywished to achieve. People fail because music is written without a moral purpose. To simply please the hearing is like shooting an arrow · mto an empty sky ..3 6 The followingis a sampling of the many defmitionsof affectionsas 0 classifiedby Matthesonin Der vol/kommene Capellmeister, PartI, Chapter Three. I have arrangedthem alphabetically for easier reading: Desire refers to thefuture and harborsimpatien ce. Despair is themost extreme degreeor the brinkto which cruelfe arcan driveus. This passion is to be expressed in extremitiesof all kindsof sounds. It may result in peculiar,absurd and excessive tonal constructions. Despair is the complete collapse of hope. Elevation and collapse can be represented quite naturallyby sounds, especially if the tempo contributes. Hope is an elevation of themind or the spirits. Hope consists of a youthful 0 desire, whichfills the mind with courage. This affect requires thesweetest 117 0 mixture of sounds. Those affects that are set against hope are fe ar, despondency, frightand terror. If theirnatural characteristics are understood, appropriate progressions of sound corresponding to the emotion will be used. Humility and patience are treatedwithout inserting anything uplifting into the music . . Jealousy is composed of seven passions, burning love, mistrust, desire, revenge, sadness, fe ar and shame. Numerous inventions can be derived aiming towardre stlessness, vexation andmi sery. Joy is perceived as an expansion of our vital spirits. It is expressed best by 0 large and expandedinterval s. Joy is far more naturalthan sadness. It is such a friendof life andhealth, the mind approves of it more easily in imagination and acceptance. Love is based on a diffusionof thespirit s. It is expressed with expansive and extravagantinterval s. Love refers to the present. Obstinacy canbe represented well by bizarre ideas. Obstinate musical figures are used in one voice and must not be changed under any circumstance. Pity is composed of love and sadness and requires great skill as a composer to produce most movingly. 0 118 0 Pride, arrogance and haughtiness create anopportunity to employ all kinds of splendid-sounding figures demanding a special seriousness and bombastic movement thatcontinuously strive to ascend. Sadness is a contractionof the partsof our body. The smallest intervals are themost appropriate forthis passion. Sadness in sacred work includeseverything that represents repentance, sorrow, penitence, lamentationand misery. Next to love, he who wishes to express sadness well insound must feel and perceive it himselfmuch more than any of theother passions. The. reason is thatbeing sad and being in love are closely related to each other. 0 Wrath, revenge, rage, furyand related violent emotions aremore easily suited to all kinds of inventions in music thanthe pleasant passions thatn eed to be treatedmore subtly. It will not suffice to rumbleabout continuouslyor to makea crude racket. Each of these harsh characteristics demands a particularmanner, fashionedwith an appropriate melodious character. Yearning, longing, wishing and strivingmust take into account desire's qualities depending on what is desiredor wished. Matthesonsaid theaff ects are likethe bottomless sea. No matter how much could be written down, an infiniteamount would remain unsaid, andeveryone would be leftto his own naturalinclination. 3 7 0 0 · 119 Mattheson states therear e many tales of music helping sick P,eople to health. A rondeau appeared in a weekly publication in musical notation thatwas supposed to be a cureagainst thesting of tarantulas. He states that his father was cured of melancholy by music, afterall other remedies had failed. He believed health is so musical that all sicknessesconsist of nothingother than discords and dissonances. To supporthis belief, he offeredthe well-known tale concerning how the Greekscured sciatica withthe fluteplaying the Phrygian mode. Music worked against madness and against many otherillnesses. Matthesonsaid Americans around 1725 used no other meansthan their somewhat coarse method .o of playingto suppress andalleviate difficult infirmities andpains . He states that music has a wholesome effecton all sortsof pains in limbs, and that sound works 38 stronglyon themuscles of thehuman body. Matthesonalso wrote about the ancient Greeks. He stated, "The oldest distinction between the three modes, Dorian, Phrygian andLydian was only by highnessand lowness of sound. The Dorianshad a coarser, more manly and deeper speaking voice thanthe Phrygians. The Lydians sang finerand more effeminately thanthe others. The Dorianswere a modest, virtuousand peaceful people. The Phrygians used more noise thanforesight . The Lydians were described as sensual people. "39 These three modes were introduced about 600 yearsbefore the birthof Christ. The invention of the fourth, themod i mixolydii, 0 120 0 was attributedto Sappho, a famous woman poetess, for which the Lydianwas too low. She named it Mixolydian, rather than afterherself , because of its close relationship withthe Lydian. Intime, the Aeolians and Ionianscontributed to the Greek modes. The Aeolianspreferred a higher mode; theIonians preferred a lower mode. All of thesepeople lived in Asia minorwhere music was hidden as in a protected comer ofthe world. Matthesonsaid that whatever these modes · originally had as theirprincipal characteristic ( their names and essence) remained the same even in his day.40 Matthesonsaid of Gaffurioand Glarean, who studied andmisinterpreted 0 theworks ofBoethius: So arduouslystrove this pair to gainfame afterdeath 41 That they were capable only of ruiningmusic. Matthesonsaid at the time of Gaffurioand Glarean, beforethe advent of the printing press, people in the world were in such a condition thatthey knew about almost nothing. He said thatwhat Gaffurio and Glarean wrote andtaught was adulterated, incorrectand highly harmful, the traces of which were found even in his day ina thousand places. Mattheson said Glarean' s is Dodecachordon 4 "reduced to rubble." 2 Matthesonbelieved the stirring of the affections and passions of thesoul depends on the skillful inventionof a clear ande xpressive melody, (melopoie), 0 which he considered the most important facetof music. He said everyonewrote 0 121 about hannony,·b ut they were all deficientin regardsto melody. He said even skilled composers write fourto ten voice parts beforethey know how to even write one good one. Hannonyhe considered to be merely the.result of simultaneously sounding melodies. Melody was thebody ofmusic andthe beat was its soul; 43 hannonywas merely the clothing: Melody alone moves hearts. During the Baroque,the word "invention" meant nothingmore thana composed melody, most likelyusing various Matthesonstates thathe loci topici. preferred the first, which concernsmusical figuressuch as locus notationis, imitation, inversion and repetition, and thesecond, which dealt locus descriptionis, 0 with thedepiction of extra-musical ideas through metaphorical (one word means another) and allegorical symbols. Out of fifteen loci, he preferredthese two over all theothers . Mattheson says thatHeinichen appearsto have derived his whole theory of invention fro�the 44 The were intimately locus circumstantiarum. loci related to themusical craftand were of high significance.· The systematic method forarousing the passions and affectswhich Matthesondesigned is typicalof the elaborate categorizing .and complex designsso �dely manifest in Baroque Germany.45 The or'invention Matthesondescribes as therichest source locus notationis of invention. It involves theexternal formand designof not�s through 1) note 0 value, 2) inversion or permutation (rearrangement), 3) repetition and 4) canonic 122 passages without the limits of strictimitation ( which Mattheson calls monotonous 46 and unpleasantto the ear). Thefollowing are examples of Loci notationis: Example 5-14 Inventionof a MainTheme With Notes of one Value: Of Differing Value: Through ln\'ersion: 0 _;....- : \ . i Example 5-15 Invention throughimitation of thefirst fiv e notes 0 0 123 Example 5-16 Canonic imitationin passages with two or more voices 0 1) is a deviationfrom the ca nonic sequence; 2) is an exact repetition; 3) a canonic succession at the unison; 4) an approximation of this passage; and 5) anornament ending with a trill.47 Mattheson saidthe of invention, is, after locus descriptionis locus the most reliable and essential guidefor inven tion. The bottomless sea notationis, of human affe ctions. belongs here. This depends upon the nature of the locus words being set to music because the text of vocal music principally serves to portray the affections. However, even without words, in purely instrumental 0 music, with every melody, thepu rposemust be to present the governing affe ction 0 124 so that theinstruments, by mearisof sound, present theaffection almost verbally and perceptibly.48 Mattheson makesa point that there is a big differencebetween anad jective and a passion or affection (such as depicted in "word painting"). If one cannot let the words deep, high, heaven, earth,joke, suffer, joy, descending, ascending, tears and thousandsof others, pass by in the melody without havingspecial figures and melismas, then one makes a mockery of music. The words, "I speaknot of joys," and "I do not feel like laughing" would soundbad if one used runsor leaping notes on joys and laughing; "Keep me fromfalling into sin" mustnot be indicated 0 through thefall of the voice. He said, "Do not aim at thewords; aim at the 49 meaning in composing. The followingexamples provide settingsof various affections as illustratedby Matthesori: 0 125 0 Example 5-17 Despair. (Enormousis my pain, infinite are my miseries. Theair bemoans having nurtured me. The world, because it supportedme, is worth burning simplyfor tha t. The stars become comets, to destroythis monst er of nature. Earth denies my body a grave. Heaven denies my soul a dwelling place. What do I do then, desperate and damnedm urdered that I am? 'Ere I should suffer such unbearable pain, I will hang myself!) Mattheson said, "These exquisite and verybea utifuldescriptions can be set to music in [the following] way."50 A slow haunting minormelody is used to express despair. 0 '��um=! :n�rbw$�incnr,ro ml) ; �it emac �crbcn ;u ,E.J_ \!E:;¥=1--0 J _ - L-� I : 1---I ------� 1�:=JJ-Jlttf=l=r:5ifl:J�Elliw�tr= ' ' tobtcn ; �cm l!:orperf prid)t Oie 0 0 126 Example 5-18 Clever andplayful yet avoiding excessive cheerfulness.5 1 (1Jris new angel I would not knowif she is more beautifulor if she sings better. She attractsme if I listen and by lookingat her I fall in love.) Using eighthnotes and quarternotes in cut timecreates a movingma jor melody to express playfulness. Madriglle a 4. del Scacchi. -1€f=mi�;;1, '��ucflanu ova Angiolerta non faprei non faprci le p1u bclb i':ip1ucanor a : pu l'o- ---,. _==: -.-==- =-- -=== -=+--t-1 ��. ±d=�d�jl� ����=:f;:===--=--. ==+===:;:=====_-+=� =r1�===,=---=-=-=-;--;;; �-� , per l'orec- per l'orecchie-: Jl-- n'1� al- 0 �--=t--�..::.:- �_._---+- L--r- -- ..::t-+-:=1� �=g-rttt¥t* r-�1---- - _iJ� __ �-£_1:==�&,-1= 1 ,um, , p � IS_'.:'::".<_•' 1 , � Q.u cna nuova An�1olcc1J non faprei&c. 1 -=F= IBL��R____ ����1- ___ ...._____�w _ • �t=t ___1=__ &c. chic n' aliena, c per gl' occhi in aR1ora in amora. --��____,,,-1--+--1 ------&c. --t=!==---2IIJ r=----�----4-- ·, lena c per gl'occhi in amora · • , __._.. ____ --; - --i--+- :E�� =---'.� - ---�-··· --� c. \ _l �-- --·· t=��-- ��r0---� g:iw == l 6=�� 0 0 127 Example5-1 9 Bitter lament (grief) over partingfrom the be loved. 52 Ahl (Ah! painful depart). Themusic uses a slow minor melody to . Dolente partita express grief. .Al1roMJdriga le, a 4. de! rncckGmo. r == �- -.. t=cjf=-• -1 �- i�Ah ! '-'f¥11tffi�� dolcnre pmi - - - ��-;--=[;����cl=--�=§ -= �-����;i ,,...._ Ah! do - lcn - ce - dokn- '-' �=t:�-f2=Eti:-1:��� z_�-- -E���f3 8,------1�t::. -=..-_ :E=--1::!::i:+:i_:i1 �-=±�1±--·+ -..J-.._F�_ Ah I dolc:me pmi - - - 1a , p,1r- �f-!5tt•-@-tt•. __ 7==gg g 3 = 9filt=��-�t)i_::f:==;5TI__ __..__E �f=r___r-r -EE�_ __:±� Example 5-20 Plaintiveness or humility.53 Ichwill mich dem Schicksalbeu gen (I shall submit myselfto destiny). Using only twonotes in this melody causes the 0 music to soundthoughtful and plaintive. A. t � tUQJt�� �llitru'.€;jd)n1 1U mid) bcm ®cf)1cffal 6cugm, tel)ro1U m1ct, t,cm ' B. Heinichen states, "The famed Madame Keiser once performedthis pie ce so expressively, thatthis submission almostseemed visible, as if one could hearit withthe eyes, simply because of the following small supplement and crossing accent." 0 0 128 Example5- 21 Scornful, bursting forthin unexpectedjoy. Wo l dem Vo lek, dem es also gehet; aber wol dem Vo lek, des der Herr ein Gott ist! (Blessed be the people who sufferthusly, and blessed be thepeople whose Lord is God!). Slow, serious-sounding four-measuresections alternatewith short fast major sections to create scornburstin g forth in sudden joy. Example5- 22 Thisminuet demonstratesmoderate cheerfulness. Mattheson said, "Thegeometric proportion here [indicated by little crosses] is four, as always withgood dance melodies. Therhyth ms of the first and second measuresare used 0 again in thefifth and sixth creating arithmetic unifonnity ."54 Thisminuet has a moving minor melody expressmg moderate cheerfulnessin the firstsection. Inthe second section, thekey changesand ends in D major. 0 129 0 Example 5-23 Trembling shimmer of the murmuring waves. Matthesonsaid, "This example is based on ad;ectives ratherthan aff ections and is better suited for instruments thanfor voic es." 5 (The glint andsparkle of the foaminDas gzitt waveerndes). GlanzenThe shimmer der spof rodelnden the waves We isllen expressed by using stepwise sixteenthnotes which creates motion. 0 """'"""' --=-& · c.=· -sg. � ___ =�=-___:::::::--=-� - � . $ · I (en !(. _ Example 5-24 Sorrow, pain, andray of hope. Lo mesta e so/a piango sempre ii mio ben, che(I, sad non and m 'as lonely,colta, crye nella alwa doglys. iaMy mia love, nepur who mi does resta not un listen balento di me, and spineranzamy pain n ot even is leftfor me a glint of hope.) To express sorrow, the music uses chromaticism withthe sound of harmonicminor. = t IE$="-r: � lo_ _mumella e Iola __p1t-=t:_m ango fc mpre · l�� mio--- bc:n��-=IE che non m'alcolra. -= j l -? I �--=--;=if�-- &-�E(����� ==� �� =-- 15=- -e----·c-r:==t----=ij�=E . ----�--9--- . --�-=E : c nella doglia mia nc purmi rclla un balen di Speranu. 0 -1�71fi.Qw� = ffffl--�-E ...,Q]:- t§a=t=J-. -r--frf�,._, l[r--�;i - 0 130 HansLenneb erg, a translatorof wrote that Der vollkommene Capellmeister, Mattheson asked us to suppose he wished to set thefollowing words meantfor Pilate in a Passion: "Trees whose branches reach too high into the air willsoon be cut down." Matthesonreason ed: Because there is no particularaff ect apparent in these words, I turnmy thoughts to thefortunes of Pilate. He was a greatstatesman and governor which leads to pride andlust forpower. The reaching up of the branchmight also givesome composers anidea, but followinginner fe elings arealways betterthan outward literal images. 56 0 Even where thereare no words, thepurpose must be of picturingthe governing sentiment. Inwriting instrumentalmusic, thecomposer may write accordingto some special emotionof hisown invention ; in vocal pieces, it is the poet who usuallydete rminesthe aff ect. To picturehorrible and gruesome things, use dissonance. An interchangebetween consonance and dissonancecan lead to manymore inventions.57 Lenneberggives examples of Mattheson's ideas on melodic invention:58 Example 5-25 Littleturns, clever passages, pleasantruns andjumps : .� ,c:·, c J ! 0 I ,�., •• Qjtr' II f) r II S gt£I [llI 0 131 Example 5-26 As a connected phrase, these melodic ideas mightlook like this: �* 1 nl19t1Uf31R trS! rDFd 7 "" if ½ J JI Mattheson wrote that although these passages may have been used by masters before,putting themtogether gives the phrase a new appearancewhich may be considered an original invention. One · must work out the borrowed material so thatit will gain a better appearancethan it had before. Example 5-27 Writing musical inventions using 0 locus notationis with notes oi the same time value with notes of different ti.r.e values r, By Inversion b � 9 t J P fJ11 J = r (Ja r � I J 1 r I = � JJJ J '11 ] 8fiI bfbrr @ t£i1 0 ijn r ffiiJ f! Efr 4 fJJI £n1 "" 132 0 ErnestHarriss, another translatorof wrote Der vol/kommene Capellmeister, of Mattheson: "Occasionally he seems to be laughingfrom the graveas one strugglesto untangle his difficultand, at times, perhaps purposefullyambiguous statements. "59 Harriss believes Mattheson'sgroundbreaking ef forts in music were so significantthat he could be called the most importantforerunner of modem musicology. He saw thesenses as active participants in the artistic process. Harrisssays Matthesonmade incensed enemies throughhis strongintercession for theimitation of the affects in music and for his participationin the revolution to topple the old medieval basis for music (Boethius' mathematical concepts and 0 Guidonian solmisation). Mattheson said the earis the final arbitrator in musical 0 matters.6 Peter Kivy, a philosopher on music of theBaroque and particularlyof Mattheson, believes Matthesonwas a more subtle andforward-looking philosopher of music than he has ever been given credit for being. Kivy says in . philosophical circles it is believed that music neither expresses nor arouses emotions in the listeners, but rather that music possesses emotions as innate properties, much in theway thata weeping willow or a bloodhound seem to be sad. He believes fromhis research that Matthesonwould choose what Kivy calls 61 the possession theory. 133 0 Kivy says Matthesonmade it clear that he subscribed to the Cartesian theoryof The relationship between thevital spiritsand the esprits animaux. emotions they were supposed to cause was thoughtto be so close as to make it all one to Mattheson. Matthesonsaid Rene Descartes,the philosopher, was especially worthreading sincehe contributeda greatdeal to music. Descartes' influentialwork, was published in 1649. The Passions of the Soul, Descartes believed therewas God, soul, animal spirits and body. He believed the movement of our muscles depends on the nerves, (little threads or tubes coming from the brain) which contain extremely small fast-moving bodies . called "animalspirits," which flowin the blood. From thebrain, 0 esprit animas, theanimal spirits flow into then ervesand then to themuscles where theymove the body in all the ways it can be moved. He did not knowhow theseanimal spirits and nervesproduc e movements or sensations, or what corporealprinciple makes themact. He believed we experience the passions in music because they are a partof our soul. All the passions appear to be caused by some movement of 62 the spirits. Descartesbelieved thepassions were basic.allyall good by natureand all . we have to avoid is their misuse. Whenwe feel our blood agitated by passion, we . should take heed and recollect thateverything presented to the imagination tends 0 to mislead thesoul. We should distractourselves by otherthoughts and not make 134 0 immediate judgments. Wisdom lies in learningto be masters of our passions and to control themwith such skillthat the evils which theycause · are quite bearable, andeven become a source ofjoy.63 Descartessaid his analysis includes all theprincipal passions and the Greeks' analyses does not. Only passions that canbe defined as good or evil affect theheart, the blood and thewell-being of our body.64 Kivy says Matthesonassumed that the vitalspirits were structurallysimilar to theemotions they caused and theninfe rredthe shape of theemotion by observingthe expression-behavior. If he could have turneda microscope of theI 0 emotions on thevital spiritsto observeth eir structuredirectly, he would not have needed to use introspectionto examine expression-behaviorof self or others.65 We willn ow lQok at anoutgrowth of theDoctrine of Affections inthe eighteenthce ntury. Der empfindsamerStil as Expressed by Carl PhilippEma nuel Bach 0714 - 1788) Carl Phillip EmanuelBach was knownto close his eyes in deep concentrationwhen he played his clavichordto allow his inner-mostemotions to express through themusic as he played. In his father, Johann Sebastian Bach, and in Georg FriedrichHandel , Emanuel saw andheard the greatestre presentatives of ·-o 0 135 theBaroque era. Haydn, Mozart and Beethoven were bornduring his lifetimeand studied hisworks. C. P. E. Bach was employed by Frederick the· Great in Berlin forthirty years. The names of EmanuelBach, JohannQuantz and thekin g's other musiciansare sufficientto immortalize the name of their greatpatron. 66 Carl Friedrich Zelter said of EmanuelBach : His spiritedperforming style at the keyboard, from which he was able to draw a strong and powerful tone combiningbrilliance with a singing andspeaking mannerof execution, was somethinghitherto quite unknown. His improvisations delighted every heart andspoke to everyintellect. Stirring, lively, natural, cheerful, rich in thoughts andideas, all is new and 0 fresh, andwith every repetitionoffers renewed 67 pleasure. . EmanuelBach' s Essayon the True Art of PlayingKe yboard Instruments is one of themost importanttreatises on music written in theeighteenth cen tury. It is more widely owned andstudied today than anyof his compositions and is a standardguide to eighteenth-centurykeyboard fingering, ornamentation, improvisation and continuo playing. 68 In the chapter on performancein The True Art of PlayingKe yboard Instruments, Emanuet Bach asks, "Whatcomprises a good performance?" The answer he gives is "the abilitythrough singing or playing to make theear 0 conscious of the trueaff ect of a composition. "69 He also wrote, "A musician 136 0 cannotmove othersunless he too is moved. He must of necessityfe el all of the affects thathe hopes to arouse inhis audience, forthe revealing of his ownhumor will stimulate a like humor inthe listener. In sad passages, theperformer must growsad. A sluggish, draggingperformance must be avoided, caused by an excess of affectand melancholy. It is principally in improvisationsor fantasias thatthe keyboardist canbest master the feelings of his audience. The accomplished musician must carefully appraise his audience and their attitude 70 toward the expressive content of his program." The performancesof EmanuelBach arecharacterized by impressive, 0 rhetoricaland movingqualities and tend to avoid lavishdecoratio ns. One rhetorical device he used was instrumental recitative. Anotherelement in Bach's style, related to recitative by its freedomof rhythm,was therhapsodic mannerof thekeyboard fantasy. 71 Bach disagreedwith the following theory on performanceas stated by Johann Joachim Quantz( 1697 - 1773) in Quantz's famous book, Ve rsuch einer Anweisung die Flote traversiere zu sp ielen: Dissonances areplayed loudly and consonances softly, sincethe former rouse our emotions and the latterquiet them. An exceptional tumof melody whichis designedto create a violent affect and deceptiveprogressions must be played loudly. All tones of a melody which lie outside thekey may be emphasized whetherconsonance or dissonance and 0 thosewi$in the key may be performedpian o.72 137 Emanuel said, "A mei-e technician can lay no claim to therewards of those who sway in gentle undulationthe ear rather than the eye, the heartrather than the ear, andlead it where they will."73 Quantz, a Germanflautist, composer, writer on music and flutemaker , instructedthe Ic ing in the fineart of playing the flute. WhenFrederick theGreat was not engaged in battles to protect his kingdom, he and his musicians enjoyed musical episodes together. Reilly says Quantz, unlikeC. P. E. Bach, supported 74 polyphonic music ; however, he did much to promote greatervirtuosity on the fluteduring the eighteenthcentury. Quantz foundthat playing in certain keys on 0 the Baroqueflute did promote affect. Keys containingsharps and theirrelative minors were foundto be bright andlouder. Keys containing flatsand their relative minorswere dull .and softer. Reilly states that Quantz deserves an honorable place among the lesser composers of theeighteen thcentury and a major position in the development of fluteliterature. The was an outgrowthof the of the empfindsamer Stil . Affe ktenlehre Baroque, which had its origins in the rediscoveryof the ancient Greek concept of expressingthe affections throughmusic. Emanuel Bach was the chief composer of music in theeighteenth century. During the second half of the Empjindsamer century, the composers in the school of thoughtwanted to replace Empjindsamer theBaroque idea of maintaining onlyone affection throughouta composition by 0 0 138 many changes of affectionor expression within a composition (or movement) along withmany dynamicchanges. 75 Advocates of the believed that music is closely related to empjindsamer Stil poetryand rhetoricand that its trueessence consists of a judicious imitation of nature. in the Baroque expressed the intangible, the unseen, the Affektenlehre deeper meaningunderlyin g thetext or musical in thecase of instrumental inventio music. The was characterized by accompanied melody, empjindsamer Stil playfulness,love songs, and a change of setting from the church to thes alon as the· culturalcenter. 76 The term refers more to certain types of emotional 0 Empjindsamkeit expression than to anysp ecificmusic al meansof attainingthem. 77 Emanuel's part in the was to speakemotively withoutusing words. His empji ndsamerStil keyboard works show.his gradual(though never total) abandonmentof · contrapuntaltechniques. 7 8 He pursued the mode on the one hand and empfindsam a kind of motivicvariation that must be considered a cornerstoneof his style. This techniqueappears in many differentguises . Inhi s sonata-formrecapitulations, the opening themeis usually given a new twist as soon as it reappears. Inrondo themes,the theme is subjected to every imaginable reshaping. Any literal restatement seems abhorrent. He reshaped motifs or melodies with variations of 0 sonatas withoutaltering the form. 7 9 He was a master of improvisation. Emanuel's 0 139 favoriteform of keyboard expression was the free fantasia. He wrote,"A fantasia is said to be freewhen it is unmeasured andmoves throughmore keys thanis 80 customaryin other pieces." Some expressive devicesbecame his tradema:rks sudden interruptionsof forwardmovement, changes intempo or dynamics, connectingmovements without pausing, and the statement of themeson so many tonal levels that the key areas were blurred.81 A centralkey to eighteenth-centurythinking was the notion of intuitive musical expression throughdynamic devices.82 Emanuelbe cameadamant about proper indicationsbeing written into the music to express affect, dynamics, tempo, 0 and any other markingsth at would assist theperf ormerin knowin g how the composer intended the music to be performed. BeforeEmanuel's time , such 83 precision had never been requiredon so well-ordered a basis. The affectswere newly set by the indications of tempo and expression at thebeginning of the piece, . 84 accordingto Stephen Clark. Emanuel had stated in his "Composers act wisely who in notating Essay, theirworks include terms, tempo indications whichhelp to clarifythe meaning of a piece." Expression for EmanuelBach was conceived as theconception of a particular affectthrough the character of themelody or harmony. WhereBach wanteda contrastof affect, he achieved it throughdiscontinuity, a break in the 85 0 harmonicrhythm, �r a sudden change of tempo or texture. 0 140 Music forclavic hord was Emanuel's most personalmode of expression, althoughhe composed forthe piano in the last two decades of his life. His a set of six sonatas forkeyboard publ ished in 1744, were Wurttemberg Sonatas, composed in the Allsix sonatas arein threemovements. They empfindsamer Stil. are fantasy-like,with erratic rhythmic groups (triplets andsevenths), ratherthan a steady rhythm of sixteenthor eighthnotes. Notable developments in styleare that the themes contain rolled chords, arpeggiosand scale-like runs in complicated rhythms. Deceptive cadences areused liberally. The firstmovements are monothematicsonata-allegro form. The followingexamples demonstrate theus e 0 of affects in works forke yboard. Example5-28 C. P. E. Bach, Sonata No. 23, II. Lovely meltingfigures with a risingtheme. - . : InSo nata No. 25, one senses somethinggrotesq ue must have been at work inthe mental pr ocesses of the composer. The opening gesture abounds in crushed notes:86 0 141 0 Example 5-29 Sonata No. 25, I. Bizarre, grotesque Anyref erence to the"grea t" Bach in the second half of the eighteenth centuryalmos t always meant C. P. E. Bach. He was hailed as theforemo st exponent of a musical language based on individualse lf-expression, which touched the heartand awakenedthe pas sions. It is pioneeringmu sic, markingthe beginningof a new phase in musical history,reaching out with a zest forthe 0 unconventional,but sometimesmarre d by traces of immaturityand underdevelopment, according to Ottenberg. 87 Carl Philipp Emanuel Bach set a worthy standard of single-hearted earnestness and devotion forthe Viennese masters who followed him. Thisthesis has tracedthe evolution of musicalaff ect fromthe ancient Greek throughthe Baroque period. Many writersthrough the ages have writtenon music's power to move thelistener, but few writers ifany have ever followedthe historical evolutionof musical affectthrough the ag es. This subject has been basically neglected untilnow. Because thesub ject of emotionsin music is many faceted,I feel thatmuch investigationremains to be done in further explorationof origins,customs, practices, and techniques that coalesced throughthe ce nturies 0 0 142 and graduallyled to the complexities of musical sounds and affectswhic h we enjoy today and even take forgranted . It is easy to forgethow graduallyour present elaborate musical structureunfolded. The role thepower of musical affect plays in healing is another topic for further research. Reinvestigation of the techniques that worked quite successfully for Plato and, Aristotle is a subject that is also neglected. Mattheson, Descartes, 'and otherssp ent a vast amount of timecon templating, organizing, and systematizing the emotions and theirdefinit ions: They felt thiswork was extremelyimportant. Traditional methods of music therapydo not necessarily 0 establish the ancient Greeks' traditions as their origin. Many methods of healing (too numerous to mention) otherthan the traditional modernmethods of medicine, or music therapy, are gaining in importance in the world today. People forever search for methods that help them get in deeper touch with their inner nature--what Plato called the soul. Many people today believe that maintaining internal harmony is still the key to good health. Plato and Aristotle wisely used music to release the harmfulemotions. Whetherit is the Greeks' method of purgation, the modernpsychological counselor,the music therapist, or just being withyourself and relaxingto your favoritemusic, whatever restores the harmonic balance within the soul and·r estores healthis always appreciated and not to be overlooked. I hope 0 thatother writers will continue to explore both the subject ofaffect in music and \ 143 0 healingth rough purgationof negative emotions. Much informationremains to be discovered, investigated, written, and shared in each o:fth ese areas. 0 0 / 0 144 ------·------�------.. - - --·------___ ------Notes 1 Willi Apel, HarvardDict ionaryof Music (Cambridge: HarvardUP, 1968) 76-77. 2 Don Michael Randel, Harvard Concise Dictionaryof Music (Cambridge: Belknap Press of Harvard UP, 1978) 107. 3 Nicolas Slonimsky,Bak er's Biographical Dictionaryof Musicians (New York: Schirmer, 1958) 685 . . 4 George J. Buelow, "JohannDavid Heinichen," The New Grove Dictionaryof Music and Musicians, .vol. 8 (London: Macmillan, 1980) 438. 5 For a recent reviewof rhetorical figuresin music, consult Peter Bergquist's review of Joachim Burmeister,"M usical Poetics," trans. Benito Rivera, Jo urnalof Music Th eory, 40/2 (Spring 1996) 347-354. 6 0 Buelow, "Heinichen," 438-439. 7 JohannMattheson, Der vol/kommene Cap ellmeister, trans. ErnestC. Harriss (Michigan: UM I Research P,_ 1981) 106. 8 George J. Buelow, "The Loci topici and Affect in Late Baroque Music: Heinichen's Practical Demonstration," The Music Review, 27 (1966) 161-162. 9 . Loci topici aresupposed to help the composer find the affects and to help inventnew affects. Heinichencalled theman "incomprehensible pleonasm," (a superfluous supplementation as in 'a tall giant'). 10 Buelow, "Heinichen," 162. 11 Johann David Heinichen,D er Genera/Bass in der Komposition, 1st ed. (New York: Georg Olms Verlag Hildesheim, 1969) 1st ed. (Germany: Nachdruck der Ausgabe, 1728) 30. 12 Heinichen,Der Genera/Bass, 32-35. 0 13 Heinichen,Der Genera/Bass, 36-38. 0 145 ------_,,_ ------•· - - ___ ::-...:-=- -- �-- - -:_.--::__::__-.::_::_._!"�-- • ..::. -�;:-- -:___::___:__ - 14 �_:__ -��- - ·1 - - - Heinichen, 39-4 1. ------··· Der Genera/Bass, 15 Heinichen, 42-43. Der Genera/Bass, 16 Heinichen, 43-45. Der Genera/Bass, 17 Heinichen, 46-47. Der Genera/Bass, 18 Heinichen, 49-51. Der Genera/Bass, 19 Buelow, "Heinichen,"169-170. 20 Heinichen, 49-51. Der Genera/Bass, 1 2 Heiriichen, 52-53. DJr Genera/Bass, 22 Buelow, "Heinichen," 171. 23 0 Heinichen, 66-67 .. Der Genera/Bass, 24 Heinichen, 68-69. Der Genera/Bass, 25 Heinichen, 69-71. Der Genera/Bass, 26 Buelow, "Heinichen," 173-174. 27 Heinichen,Der Genera/Bass, 84-88. 28 Buelow, "Heinichen," 161-176. 29 Mattheson, 95 . Der Genera/Bass, 3 0 George J. Buelow, "JohannMattheson," TheNew G rove Dictionaryof vol. 11 (London: Macmillan, 1980) 832-835. Music and Musicians, 31 - Randel, 9. HarvardConc ise, 32 Hans Lenneberg, "J. Matthesonon Affect and Rhetoric in Music," 2 (April 1958): 48. 0 Journal of Music Theory, 0 146 -- -r· ! "'l. -�------,-- ··:.· ------. - - - - - ·-· --· . - - - . . 33 George·- ··-·-c-· · . -·----J. Buelow,·-- . --- - -·· "The - . . Doctrine- - - of-- - the-- Af· .. fections,"· .. -- - --· -· ··· • --- - . - _ · The New Grove vol. 1 (London: Macmillan, 1980) 135-136. Dictionaryof Music and Musicians, 34 Mattheson, 104. Der vol/kommene Capellmeister, 3 5 · Mattheson, 110. Der vollkommene Capellmeister, . . 36 · Mattheson, 111. Der vol/kommene Capellmeister, 37 Mattheson, 104-110. Der vollkommene Capellmeister, 38Mattheson, 94-104. Der vol/kommene Capellmeister, . . � Mattheson, 178-179. Der vol/kommene Capellmeister, 40 Mattheson, 179-181. Der vol/kommene Capellmeister, 41 Mattheson, 182. 0 Der vol/kommene Capellmeister, 42 Mattheson, 193-184. Der vol/kommene Capel/meister, 43 Mattheson, 256, 300-306, 318-319, Der vollkommene Capellmeister, 146. 44 Mattheson, 297. Der vol/kommene Capellmeister, 45 ErnstHarriss, " Introductionto the Translation," Der vollkommene 15. Capel/meister, 46 Mattheson, 289. Der vollkommene Capel/meister, 47 Mattheson, 290. Der vollkommene Capellmeister, 48 Mattheson, 291. Der vollkommene Capellmeister, 49 For more expansive ideas on text setting in the twentieth centwy; one could consult "The Relationship to the Text," in Arnold Schoenberg's book, Style (New York Philosophical Library, 1950) 1-6, · 0 and Idea I 147 0 · ', -- - -· - . � ------_...) ---'- - - .. - -- - . ... - �------· ------ 51 Matthes�m, 206-207. Der vollkommene Capellmeister, 52 Mattheson, 206-208. Der vol/kommene Capellmeister, 53 Mattheson, 270. Der vollkommene Capellmeister, 54 Mattheson, 452. Der vollkommene Capellmeister, 55 Mattheson, 414. Der vollkommene Capellmeister, 56 Lenneberg, "J. Mattheson," 80-81. 57 Lenneberg, "J. Mattheson," 78-79. 58 Lenneberg,"J. Mattheson," 69. 59 0 Ernest Harriss," Prefaceto the Translation," · i. Der vol/kommene Capellmeister, 60 Harriss, "Introductionto the Translation," 7-8. Der vol/kommene Cap el/meister, 61 Peter Ki , "WhatMatthe son Said," XXXIV(19 73): 250-254. vy TheMus ic Review, · 62 Rene Descartes, "Passions of the Soul," trans. Cottingham, Stoothoffand Murd Thoceh ,Philoso vol. 1 phical(Cambridg Writine: gs of Descartes,Cambridge UP, 1985) 335-348. 63 Descartes, "Passions," 403-404. 64 Descartes, "Passions," 353. 65 Ki , "WhatMatthe son Said," 255-259. vy 66 Stephen Clark, C. (Oxford: ClarendonP, 1988) 207. 0 P. E. Bach Studies 0 148 - -- - . ------' ------·- -- ___ ,· .. ------l _____r- -:-.., - - --____ _:__:_-·-=-�--__: .. - -·-· --·� ------67 Bach Studies, -- Clark, 210. -- 68 Eugene Helm, "C. P. E. Bach," The New Grove Dictionarya/ Music and Musicians, vol. 1 (London: Macmillan, 1980) 854. 69 Carl Philipp Emanuel Bach, E�sayon the True Art of PlayingKe yboard Instruments, trans. William J. Mitchell (New York: Norton, 1949) 148. 70 Bach, Essay, 152-153. 71 DanielHeartz, "Empjindsamkeit, " The New Grove Dictionaryo/ Music andMusicians, vol. 6 (London: Macmillan, 1980) 157. 72 Johann Quantz, Ve rsuch einer Anweisung die Flote traversiere zu sp ielen (Kassel: Berenreiter, 1968) n.p. 73 C. P. E. Bach, Essay on the True Art, 147 74 0 Edward Reilly, Quantz and His Ve rsuch (New York: American Musicological Society, 1971) 37. 75 Randel, HaMJardConcise, 156. 76 Paz CorazonG. Canave, A Re-Evaluation of the Role Playedby Carl Philipp Emani,elBach in the Development of the Clavier Sonata (Washington, D.C.: The Catholic University of AmericaP, 1956) 75. 77 David Schulenberg, The Instrumental Music of Carl Philipp Emanuel Bach (AnnArbor : UMI Research P, 1984) 11. 78 Helm, "C. P. E. Bach," 85,, 1. 79 Helm, "C. P. E . .Bach," 85 1. 8° C. P. E. Bach, Essay on the True Art, 430. 81 Helm, "C. P. E. Bach," 853. 0 82 Stephen Clark, _C. P. E. Bach Studies (Oxford: ClarendonP, 1988) 43. 0 149 �-1'------= /-·-··r� -�- �; .. -,�;: ___ •. - - - ·-· . - _ _:_ ·:::: �-- _- ---� _:�-- --� --__ . - 3 Clark, C. E. 47-48. P. Bach Studies, 84 Clark, C. 53. P. E. Bach Studies, 85 Schulenberg, 162-.163. Instrumental Music, 86 [It. to crush. Italian namefor an ornamentof Acciaccatura acciaccare, harpsichordmusic (c. 1675-1725) which calls forthe lower second of thenormal note to be simultaneously struckand immediatelyreleased. (WilliApel, Harvard (Cambridge: Harvard UP) 7. Dictionaryof lvfusic 87 Hans-Gunter Ottenberg, C. trans. PhilipWhitmore (Oxf ord: P. E. Bach, Oxford UP, 1987) 3._ 0 0 150 0 APPENDIXA THEORISTSAND MUSICIANS Greek and RomanPe riod (2,000 B. C. E. - 476 C.E.) Pythagoras ,582 - 500 B.C.E. Damon Later FifthCe ntury Plato 427 - 347 B.C.E. Laws, Republic, Timaeus Aristotle 384 - 322 B.C.E. Rhetoric, Poetics Aristides Quintilianus 200 C.E.*** De musica Boethius 480 - 524 C.E. Fundamentals of Music Middle Ages (600 - 1450 C.E.) Guido d'Arezzo C. 990-1050 Micrologus i-o 0 151 Renaissance (1450- 1600) GuillaumeDufay 1400 - 1474 Josquin Des Prez 1450 - 1521 Franchino Gaffurio 1451 - 1522 The Theoryof Music Heinrich Glarean 1488 - 1563 Dodecachordon. AdrianWillaert 1490 - 1562 GioseffeZarlino 1517 - 1590 Le istitutioni harmoniche GirolamoMei 1519 - 1594 Letters Vincenzo Galilei 1520 - 1591 0 Dia/ago de/la musica antica et de/la moderna Barogue (1600 - 1750) JohannMatthes on 168 1 - 1764 Der vollkommene Capellmeister Johan.n Heinichen 1683 - 1729 Der General-Bass in der Komposition JohannJoachim Quantz 1697 -1773 Essay on a Method fo r Playingthe Transverse Flute 1714 -1788 C. P. E. Bach Essay on the True Art of PlayingKe yboard Instruments :Q 0 152 APPENDIX B ILLUSTRATIONS 2-1 Oliver Strunk, Source Re.adings in Music History, The Gr(!ek View of 5. Music, 3-1 DonMichael Randel, 199. HarvardConcise Dictionaryof Music, 3-2 Harold Powers, "Mode," The New Grove Dictionaryof Music and 385. Musicians, 3-3 Claude Palisca, 172. Humanism in Italian Renaissance Thought, 3-4 Powers, "Mode," 396. 0 4-1 Palisca, 41. Humanism, 4-2 Palisca 345. 4-3 Powers, "Mode," 408. 4-4 Powers, "M ode," 408. 4-5 R. J. Stewart, 73. Music and the Elemental Psyche, 4-6 Josquin Des Prez, (motet). De profu ndis 4-7 Josquin Des Prez (picture). 4-8 J �squin Des Prez, De profundis. 4-9, 4-10 Adrian Willaert, (madrigal). Aspro core e selvaggioe cruda voglia 5-1 George Buelow, "The andAf( ect in Late Baroque Loci Topici Music, His Practical Demonstration," vol. 27, The Music Review, 1966, 164. 5-2 Buelow 166.· 5-3 Buelow 166. 5-4 Buelow 167. Buelow 168. 5-5 5-6 Buelow 169. 5-7 Buelow 170. 5-8 ·Buelow 171. 0 5-9 Buelow 171 .. 0 153 5-10 Buelow 172. 5-11 Buelow 173. 5-12 Buelow 173. 5-13 Buelow 173. 5-14 JohannMattheson, 288. Der vollkommene Capellmeister, 5-15 Mattheson289 . -5-16 Mattheson290. 5-17 Mattheson 394-395. 5-18 Mattheson206 . 5-19 Mattheson 207. 5-20 Mattheson 270. 5-21 Mattheson299 . 5-22 Mattheson452. 5-23 Mattheson41 4. 5-24 Mattheson655. 5-25 Mattheson 69. 5-26 Mattheson70. 5-27 Mattheson74. 5-28 Philip Barford, 84. The Keyboard Music of C.P.E. 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