Pareidolia for Clarinet / Tenor Saxophone, Percussion / Drum Set, Piano / Synthesizers, String Quartet, and Electronics; Implied Reharmonizations in Postbop Improvisations over the Twelve‐Bar Blues
by
Osman Eren Gümrükçüoğlu
Department of Music Duke University
Date:______Approved:
______John Supko, Advisor
______Scott Lindroth
______Stephen Jaffe
______Nicholas Stoia
Dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Department of Music in the Graduate School of Duke University
2020
ABSTRACT
Pareidolia for Clarinet / Tenor Saxophone, Percussion / Drum Set, Piano / Synthesizers, String Quartet, and Electronics; Implied Reharmonizations in Postbop Improvisations over the Twelve‐Bar Blues
by
Osman Eren Gümrükçüoğlu
Department of Music Duke University
Date:______Approved:
______John Supko, Advisor
______Scott Lindroth
______Stephen Jaffe
______Nicholas Stoia
An abstract of a dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Department of Music in the Graduate School of Duke University
2020
Copyright by Osman Eren Gümrükçüoğlu 2020
Abstract
This dissertation consists of two parts: a composition for ensemble and
electronics, and an analytical article on jazz improvisers’ modern approaches to the
Twelve‐Bar Blues form.
Chapter 1, Pareidolia, for clarinet/tenor saxophone, percussion/drum set,
piano/synthesizers, string quartet, and electronics, is born out of my interest in auditory
illusions and the spontaneous perceptions of meaningfulness known as apophenia and
pareidolia. The composition combines prepared electronics comprised of field
recordings of various machine noises and pre‐recorded musical material with live
manipulation of the ensemble’s sound, uncovering hidden harmonies and rhythms
lurking in the recorded noise materials. The two main machine noises are the Duke
University’s Biddle Music Building’s elevator and the washing machine at my house.
Pareidolia is in seven sections, lasts about twenty‐five minutes, and weaves together
disparate musical ideas and genre influences with mindful transitions.
Chapter 2, “Implied Reharmonizations in Postbop Improvisations over the
Twelve‐Bar Blues,” constitutes an effort to illuminate the process jazz improvisers go
through when they decide to diverge from lead‐sheet harmony. The vast majority of the
scholarship on jazz harmony is concerned with the lead‐sheet versions of jazz tunes. Jazz
improvisers have been manipulating chord progressions found on lead‐sheets for
iv
decades. Most of the contemporary techniques employed by jazz performers during
improvisations are unknown to, or misunderstood by classical music audiences and
scholars. The Twelve‐Bar Blues has been a vehicle for jazz improvisers to expand on the
jazz language from the very beginnings of the idiom, to bebop, to postbop, and more
recently jazz‐fusion. With the use of chromatic approach tones and superimposition of
non‐diatonic scales and upper structure triads, the vocabulary of jazz improvisation
expanded the tonal scope of solos. Within the context of the Twelve‐Bar Blues,
improvisers tonicize distant key areas and imply complex harmonic structures.
Secondly, it aims to form a bridge between the distinct languages of jazz
performers, and theorists in academia. Scholars like Paul Berliner, Steven Strunk, Keith
Waters, Dariusz Terefenko, and Garth Alper have helped establish jazz scholarship with
their research on the expansion of tonality in jazz and the invariant properties of the
idiom. Yet a disconnect has persisted between jazz vocabulary and common practice
terminology due to the improvisational nature of jazz. To remedy the discrepancy
between jazz vocabulary and common practice terminology, this article aims to present
its findings in a manner which is accessible to scholars of both worlds.
v
Dedication
To my Fish
vi
Contents
Abstract ...... iv
List of Tables ...... x
List of Figures ...... xi
Acknowledgements ...... xii
Introduction ...... 1
1. Pareidolia ...... 3
Title Page ...... 4
1.1 Program Notes ...... 5
1.2 Instrumentation ...... 7
1.2.1 Percussion List ...... 7
1.2.2 Drum Set List ...... 8
1.3 Performance Notes ...... 9
1.3.1 Accidentals ...... 9
1.3.2 Trills ...... 9
1.3.3 Strings ...... 9
1.3.4 Clarinet ...... 10
1.3.5 Suggested Percussion Layout ...... 10
1.3.6 Piano ...... 10
1.3.7 Synthesizers ...... 10
1.3.8 Electronics ...... 11
vii
2. Implied Reharmonizations in Postbop Improvisations over the Twelve‐Bar Blues ..... 95
2.1 Postbop Style ...... 95
2.2 Tensions ...... 97
2.3 Vertical vs. Linear and “Inside” vs. “Outside” ...... 100
2.4 Common Chord Substitutions and Superimpositions ...... 102
2.4.1 Barry Harris’s “Family of Four Dominants” ...... 103
2.4.1.1 Tritone Subsitution ...... 105
2.4.1.2 Backdoor Dominant ...... 107
2.5 Significance of the Blues Form ...... 108
2.6 Two Case Studies: Bob Berg and Michael Brecker ...... 109
2.6.1 Bob Berg’s Solo on Dirty Dogs ...... 109
2.6.1.1 Hexatonic Scales ...... 118
2.6.1.2 Two‐ing the Five ...... 119
2.6.2 Michael Brecker’s Solo on Blues for Freddy ...... 121
2.6.2.1 Super Locrian ...... 123
2.6.2.2 Extracting Tertian Shapes ...... 129
2.6.2.3 Whole‐tone Scale ...... 131
2.6.2.4 Displacing the Harmonic Rhythm ...... 131
2.7 Discussion ...... 134
3. Conclusion ...... 135
Appendix A...... 137
Appendix B ...... 140
viii
References ...... 144
Biography ...... 145
ix
List of Tables
Table 1: Common chord symbols in jazz ...... 98
x
List of Figures
Figure 1: Basic Twelve‐Bar Blues in B♭ ...... 96
Figure 2: Diatonically available tensions in key of C ...... 100
Figure 3: Family of Four Dominants ...... 104
Figure 4: subV over V7 ...... 107
Figure 5: Chord progression for Charlie Parker’s Blues for Alice ...... 109
Figure 6: 1-2-3-5 motifs in Giant Steps and Dirty Dogs ...... 111
Figure 7: Analysis of Bob Bergʹs solo on Dirty Dogs – mm. 5‐12 ...... 113
Figure 8: Analysis of Bob Bergʹs s solo on Dirty Dogs – mm. 13‐18 ...... 116
Figure 9: E♭ Lydian ♭7 as the Fourth Mode of the B♭ ascending melodic minor scale ... 117
Figure 10: Analysis of Bob Bergʹs solo on Dirty Dogs – mm. 19‐24 ...... 119
Figure 11: Harmonic Progression for Blues for Freddy ...... 122
Figure 12: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 1‐5 ...... 123
Figure 13: C Super Locrian as the Seventh Mode of the D♭ ascending melodic minor scale ...... 124
Figure 14: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 6‐8 ...... 126
Figure 15: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 8‐9 ...... 128
Figure 16: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 9‐12 ...... 129
Figure 17: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 13‐15 ...... 130
Figure 18: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 16‐17 ...... 131
Figure 19: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 19‐24 ...... 132
xi
Acknowledgements
I wish to thank my resourceful advisor and great colleague John Supko for his
guidance, support and being available for me any time I needed him. I am also very
grateful to the other members of my committee, Stephen Jaffe, Scott Lindroth and Nick
Stoia for the influential mentorship they provided me at Duke University.
I would also like to thank the Department of Music and Duke University for their
support throughout my doctoral studies. A special thanks is warranted to Eric
Oberstein, Aaron Greenwald and Brian Valentyn for their amazing work at Duke
Performances. They made it possible, together with the Department of Music, for me to
start long‐lasting collaborations with esteemed musicians and ensembles like the Mivos
Quartet, JACK Quartet, yMusic Ensemble, Deviant Septet, New York Polyphony, and
Conrad Tao.
I would like to extend a big thank you to Rick Nelson for serving as recording
engineer for my many projects at Duke and especially on my dissertation. I also wish to
thank Laura Williams and Jamie Keesecker at the Music Library for their support in my
dissertation research. Thanks to Elizabeth Thompson for publicizing my work. Special
thanks to Cathy Puckett for being the number one resource in all administrative issues,
and of course, to Gretchen Hoag whose dependability I deeply appreciate.
xii
I am exceptionally grateful to the JACK Quartet, Conrad Tao, Thom Monks, and
Zulfugar Baghirov for their friendship and musicianship as they brought my ideas to life during my dissertation recording session.
And last but not least, I thank my family for their immense support through it all.
xiii
Introduction
This dissertation consists of two parts: a composition for ensemble and
electronics and an analytical article on jazz improvisers’ modern approaches to the
Twelve‐Bar Blues form.
Chapter 1, Pareidolia, for clarinet/tenor saxophone, percussion/drum set,
piano/synthesizers, string quartet, and electronics, is born out of my interest in auditory
illusions and the spontaneous perceptions of meaningfulness known as apophenia and
pareidolia. It combines prepared electronics comprised of field recordings of various
machine noises and pre‐recorded musical material with live manipulation of the
ensemble’s sound, uncovering hidden harmonies and rhythms lurking in the recorded
noise materials. The two main machine noises are the Duke University’s Biddle Music
Building’s elevator and the washing machine at my house. Pareidolia is in seven sections,
lasts about twenty‐five minutes, and weaves together disparate musical ideas and genre
influences with mindful transitions.
Chapter 2, “Implied Reharmonizations in Postbop Improvisations over the
Twelve‐Bar Blues” constitutes an effort to illuminate the process jazz improvisers go
through when they decide to diverge from lead‐sheet harmony. The vast majority of the
scholarship on jazz harmony is concerned with the lead‐sheet versions of jazz tunes. Jazz
improvisers have been manipulating chord progressions found on lead‐sheets for
decades. Most of the contemporary techniques employed by jazz performers during
1
improvisations are unknown to, or misunderstood by classical music audiences and
scholars. The Twelve‐Bar Blues has been a vehicle for jazz improvisers to expand on the
jazz language from the very beginnings of the idiom, to bebop, to postbop, and more
recently jazz‐fusion. With the use of chromatic approach tones and superimposition of
non‐diatonic scales and upper structure triads, the vocabulary of jazz improvisation
expanded the tonal scope of solos. Within the context of the Twelve‐Bar Blues,
improvisers tonicize distant key areas and imply complex harmonic structures.
Secondly, it aims to form a bridge between the distinct languages of jazz
performers, and theorists in academia. Scholars like Paul Berliner, Steven Strunk, Keith
Waters, Dariusz Terefenko, and Garth Alper have helped establish jazz scholarship with
their research on the expansion of tonality in jazz and the invariant properties of the
idiom. Yet a disconnect has persisted between jazz vocabulary and common practice
terminology due to the improvisational nature of jazz. To remedy the discrepancy
between jazz vocabulary and common practice terminology, this article aims to present
its findings in a manner which is accessible to scholars of both worlds.
2
1. Pareidolia
3
Title Page 4
1.1 Program Notes
The way I hear and perceive music is inevitably shaped by my own artistic
experiences in contemporary classical, jazz, and Turkish folk music, bringing together
listening practices of disparate genres and cultures. Analysis of my own listening
practices piqued my interest in the psychology of listening. This led me to investigate auditory illusions and the spontaneous perceptions of meaningfulness known as
apophenia and pareidolia.
Around the time when I started thinking deeply about my dissertation project, I
discovered something about myself that I was possibly cognizant of subconsciously but
never had paid much attention to it. I believe that I had been frequently experiencing a version of auditory pareidolia since childhood. I can’t remember not hearing “ethereal
music” from time to time, most often in connection with forced‐ hot‐air heating systems.
The fainter the noises were, the more vivid my musical imagination would get. As I
thought deeper and tried to recollect my earliest memories, I remembered my early
childhood when my parents would dry my hair with a blow‐dryer while I tried to match
the microtonal inflections I heard in the noise that the dryer would make to an
imaginary musical work. I concluded that trying to make musical sense of noises I
experience daily had become a personal habit of mine and it was time to consciously
employ it in my compositional process—only to realize that I had been doing exactly
that in the way that I was treating the interaction of electronics with live instruments.
5
I used to explain the way I incorporate prepared electronics with acoustic
instruments in my compositions with analogies to interplay in a jazz ensemble—
meaning that the prepared electronics, or the tape part, was to be heard as having
agency just like the live performers do. An imaginary character who is in musical
interaction with the performers as if the whole performance is the embodiment of a
perfect collective improvisation.
However, I was unaware of how I was achieving this—not assuming any
success—and had thought of this process as being purely intuitive. I might not have
been completely wrong in thinking it was an intuitive process but because of my interest
in Pareidolia and Apophenia, I learned more about pattern recognition and how it could
be the clue to the way I created my compositions—particularly the ones that had a tape
track.
Pareidolia combines prepared electronics comprised of field recordings of various machine noises and pre‐recorded musical material with live manipulation of the
ensemble’s sound, uncovering hidden harmonies and rhythms lurking in the recorded
noise materials. The two main machine noises are the Duke University’s Biddle Music
Building’s elevator and the washing machine at my house. Pareidolia is in seven sections
and it takes the listener on a journey against their will while connecting essentially
different musical ideas in kind with careful transitions. This piece is not only an
6
investigation of my psyche but also an attempt at synthesizing the multitude of musical
influences I carry with me into a singular voice.
1.2 Instrumentation
Clarinet in B♭ / Tenor Saxophone
Percussion / Drum Set
Piano / Synthesizers
String Quartet
Electronics
Score is in C.
Duration is 23′35″.
1.2.1 Percussion List
Woodblocks (large, medium, small, x‐small)
Concert bass drum (flat)
Crotales (low octave)
Vibraphone
Crash cymbal (suspended)
Tambourine (suspended)
Wah‐Wah Tube
10” rainstick
Binder clips hung on a string
7
Sizzle chains (2)
A credit card sized plastic card
Percussion Key:
Drum Key:
1.2.2 Drum Set List
Kick
Snare
Floor Tom
Rack Toms (2)
Hi‐Hat
Dark sounding ride cymbal with sizzle chain
China Cymbal
Crash Cymbal
8
1.3 Performance Notes
1.3.1 Accidentals
Accidentals carry through the bar within the octave they appear.
+V indicates ¼ tone sharp.
d indicates ¼ tone flat.
a= indicates ¾ tone sharp.
D indicates ¾ tone flat.
1.3.2 Trills
spans a minor second.
spans a major second.
1.3.3 Strings
“SP” indicates molto sul ponticello.
“ST” indicates sul tasto.
“ord.” indicates normal bow position.
“c.l.b.” indicates col legno battuto.
Natural harmonics are notated with an open‐diamond notehead for the node to
be touched.
Bounce the bow freely on the string. It will appear either as “arco”
or “c.l.” (col legno.)
9
1.3.4 Clarinet
: pitchless white noise
: half‐pitch / half‐breath
: regular pitch / tone
1.3.5 Suggested Percussion Layout
1.3.6 Piano
The piano needs to be prepared with stickers and chalk to indicate the harmonic nodes to be touched, strings to be struck with a wooden mallet, and the range of strings to be plucked with the finger.
1.3.7 Synthesizers
Pianist doubles on synthesizers. Two MIDI keyboards should be placed on each side of the performer along with the piano facing forwards. On the left‐hand side keyboard (synth. #1) are two patches prepared by the composer. Switches between patch
#1 and patch#2 should be made on‐board the synthesizer during the performance via a
10
channel change button. On the right‐hand side keyboard (synth. #2) is a monophonic
lead synthesizer sound. All sound patches for the synthesizers will be provided by the
composer.
1.3.8 Electronics
The piece has a fixed electronic track that will be fed through stereo speakers that
are placed on each side of the stage—at the same level as the performers. The performers
need headphones that will have a click track mapped out to the tempo and time
signature changes of the piece. All instruments need to be amplified and given ample
reverb to blend the electronics with the live sound. Necessary adjustments should be
made according to the size and shape of the stage/hall. Click track and the fixed
electronic track is available from the composer in a variety of formats.
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1.4 Score 94
2. Implied Reharmonizations in Postbop Improvisations over the Twelve-Bar Blues
The focus of this essay is on postbop improvisers’ harmonic approaches over one
of most important musical forms in jazz, the twelve‐bar major blues. By closely
examining the first two choruses from improvised solos over the twelve‐bar blues by
two of the most prominent postbop saxophonists, Bob Berg and Michael Brecker, I
intend to reveal the intensity of the thought process that goes into constructing such
solos. Full transcriptions of both solos are provided in the appendix.
While the analysis of Berg’s solo can be considered as a primer into the postbop
improvisatory aesthetic, Brecker’s solo exhibits the expansive ambit of harmonic
exploration in postbop and can be seen as a pedagogical atlas of highly advanced jazz
improvisation. I also hope for my interpretative analyses of these solos to provide some
insight for other theorists, especially regarding improvisatory harmonic conventions
which may inspire their own analyses of the notated aspects of more modern jazz styles
like postbop and jazz‐fusion.
2.1 Postbop Style
In his entry on postbop to the Grove Dictionary of American Music, Keith Waters
defines the style with a focus on the improvisational techniques of jazz artists of the late
1950s and 1960s:
Postbop. Term that loosely refers to a body of music that emerged in the late 1950s and 60s that combined principles of bop, hard bop, modal jazz, and free jazz. Much of this music maintained standard bop and hard bop elements, including a 95
“head—solos—head” format and accompanimental textures such as walking bass. But the music also departed from earlier traditions in the following ways: a slower harmonic rhythm characteristic of modal jazz, techniques for playing “inside” and “outside” the underlying harmonic structure, an interactive (or conversational) approach to rhythm section accompaniment, unusual harmonic progressions, use of harmonic or metric superimposition, unusual underlying formal designs for head statements and chorus structure improvisation, or the abandonment entirely of underlying chorus structure beneath improvisation. The recordings of the Ornette Coleman Quartet (The Shape of Jazz to Come, 1959), Miles Davis Sextet (Kind of Blue, 1959), Bill Evans Trio (Portrait in Jazz, 1959), the John Coltrane Quartet (Live at the Village Vanguard, 1961), and Eric Dolphy (Far Cry, 1961) are significant in that they maintain some inherited conventions of small group improvisation while enriching those conventions by establishing a degree of contact with the emerging free jazz movement. For many of these artists the notion of openness became a significant aesthetic principle.1
While postbop incorporated an abundance of original and unusual harmonic
progressions into the jazz repertoire, more traditional harmonic frameworks such as
“rhythm changes” and the blues persisted throughout the evolution of modern jazz.2
The twelve‐bar blues is a particularly potent framework for jazz soloists because of its
harmonic construction based on a string of dominant seventh chords (figure 1).
Figure 1: Basic Twelve‐Bar Major Blues in B♭
1 Keith Waters, ʺPostbop,ʺ Grove Music Online (January 13, 2015), https://www‐oxfordmusiconline‐ com.proxy.lib.duke.edu/grovemusic/view/10.1093/gmo/9781561592630.001.0001/omo‐9781561592630‐e‐ 1002276289 (accessed February 20, 2020). 2 The term “rhythm changes,” refers to a 32‐bar AABA form, the second most common form in jazz after the twelve‐bar blues, based on the harmonic progression of I Got Rhythm by George and Ira Gershwin. 96
2.2 Tensions
Dominant seventh chords have been the single most useful tool for creating
harmonic tension in tonal music for more than two centuries. Jazz, as an extension of the
tonal language’s legacy, is no different. 3 However, jazz and classical music differ in their
treatment of tertian structures and chordal dissonances. Similar to classical music, four‐
part chords in jazz are constructed by adding one additional pitch to major, minor,
diminished, augmented, or suspended triads.4 This pitch can be of a major 6th, a major
7th, a minor 7th, or a diminished 7th interval above the root of the chord. These are
represented on lead sheets with additional superscript descriptors on chord symbols
(table 1).
3 Dmitri Tymoczko, A Geometry of Music: Harmony and Counterpoint in the Extended Common Practice (Oxford: Oxford University Press, 2011), 352. Tymoczko questions the notion of “serious” vs. “popular” music and boundaries between styles by stating that “jazz synthesizes the contrapuntal preoccupations of late nineteenth‐century chromaticism with the scale‐based procedures of early twentieth‐century modernism, creating a contemporary ‘common practice’”. 4 In jazz, a distinction is made between two types of suspended triads: Csus2 (C–D–G) and Csus4 (C–F–G). 97
Table 1: Common Chord Symbols in Jazz
Chord Symbol Chord Name Chord Tones C C major C–E–G (R–3–5) C‐ or Cmin C minor C–E♭–G (R–♭3–5) Csus2 C sus‐two C–D–G (R–2–5) Csus4 C sus‐four C–F–G (R–4–5) Co or Cdim C diminished C–E♭–G♭ (R–♭3–♭5) C+ or Caug C augmented C–E–G♯ (R–3–♯5) C△7 or Cmaj7 C major seventh C–E–G–B (R–3–5–7) C‐7 or Cmin7 C minor seventh C–E♭–G–B♭ (R–♭3–5–♭7) Csus2△7 or Csus2maj7 C sus‐two major seventh C–D–G–B (R–2–5–7) C7 C dominant seventh C–E–G–B♭ (R–3–5–♭7) C7sus4 C dominant seventh sus‐four C–F–G–B♭ (R–4–5–♭7) Co7 or Cdim7 C diminished seventh C–E♭–G♭–B♭♭ (R–♭3–♭5–♭♭7) Cø7 or C‐7(♭5) or Cmin7(♭5) C half‐diminished seventh C–E♭–G♭–B♭ (R–♭3–♭5–♭7) C+7 or Caug7 or C7(♯5) C augmented seventh C–E–G♯–B♭ (R–3–♯5–♭7) C‐maj7 or Cminmaj7 C minor‐major seventh C–E♭–G–B (R–♭3–5–7) C+maj7 or C+maj7 C augmented major seventh C–E–G♯–B (R–3–♯5–7) Comaj7 or Cdimmaj7 C diminished major seventh C–E♭–G♭–B (R–♭3–♭5–7)
Jazz theory also uses these symbols in conjunction with roman numerals
following with the convention of uppercase numerals for major and augmented triads,
and lowercase for minor and diminished. This is where discrepancies regarding seventh
chords can confuse some classical theorists. While triads are the basis of common
practice harmony, seventh and sixth chords are treated as the basic harmonic unit in
jazz. The interval of a seventh above a chord’s root would be seen as a destabilizing
factor in common practice harmony whereas jazz harmony sees the seventh as an
essential (intrinsic) dissonance that requires no specific resolution (not a by‐product of voice leading). Due to the flexibility of jazz harmony in its treatment of chordal
dissonances, especially the seventh, the superscript 7 always indicates a minor‐seventh 98
interval in jazz. Therefore, a IV chord with a diatonic seventh on top (E♮) is notated as
IVmaj7 or IV△7, whereas a IV chord in a blues progression (a major triad with a minor‐
seventh on top) is notated as IV7. In addition, a major‐minor seventh chord is always
called a dominant seventh in jazz regardless of what scale degree it is built on. Thus, the
chords V7/ii, ♭VII7, IV7, and ♭II7 are all considered dominant seventh chords.
In addition to the importance of dominant seventh chords for creating temporal
tension and release, jazz also welcomes a lot of local surface tension in harmonies by
added chordal dissonances. Jazz harmony often features tertian structures that go
beyond the stacking of four notes and codifies a way of determining available harmonic
extensions. These are called tensions of the ninth, eleventh, and thirteenth degrees. They
can appear on chords of any quality—not just dominant seventh chords. Tensions are
generally determined by the diatonic scale of the local key or the tonicization in which
the tertian chord is constructed.5
For example, in the key of C major, an F major‐seventh chord (IV△7) would have
the following notes as available tensions, all taken from the parent C major scale: G (9), B
(♯11), and D (13). These three notes form an upper‐structure triad, in this case a G major
triad. The tension ♯11 is the most important note here in audibly signaling to the listener
that this chord is built on the scale degree 4 of the local key. The concept of upper‐
5 Steven Strunk, ʺHarmony (i),ʺ Grove Music Online (2003), https://www‐oxfordmusiconline‐ com.proxy.lib.duke.edu/grovemusic/view/10.1093/gmo/9781561592630.001.0001/omo‐9781561592630‐e‐ 2000990085 (accessed February 20, 2020). 99
structure triads gives soloists the option to superimpose a G triad arpeggio over an F△7 to
emphasize the harmonic function of this chord as a IV chord in the key of C major.
Therefore, in addition to providing coloristic effects and expanding the tonal palette of
the idiom, these tensions have an important role in signaling the harmonic function of
the chord that they are added on. Consequently, if a chord symbol on the lead sheet
already has a tension indication, this can help the improviser decide how to treat the
chord melodically and avoid using notes that would cause conflict with the implied
harmonic function. Figure 2 shows the diatonically available tensions for each chord in
the key of C major.
Figure 2: Diatonically available tensions in key of C
2.3 Vertical vs. Linear and “Inside” vs. “Outside”
During melodic improvisations, jazz soloists have to make spontaneous
decisions on how to think about and play over chords in order to melodically convey the
harmonic progression beneath. In jazz vernacular, managing to make these decisions in
a successful way is called “making the changes”. When attempting to make the changes, a soloist may think of chord tones vs. non‐chord tones, which is a vertical way of
100
thinking, or they may think of chord‐scale relationships, which is a linear way of
thinking.
In the early years of jazz, especially during the swing era, improvisers relied
heavily on a vertical approach. Later, bebop artists made arpeggiated upper structure
triads synonymous with the bebop sound. Meanwhile, bebop inventors like Dizzy
Gillespie and Charlie Parker gradually introduced a more linear approach in their
performances where they would combine chord tones with additional notes from the
key area.6 As the evolution of jazz followed a path to greater harmonic complexity by
leaving the single key tradition of swing, bebop compositions became more
harmonically complex by tonicizing or modulating to distant key areas at a faster pace
than before. As the color palette of jazz harmony expanded, improvisers wanted to find
new ways of “making the changes”.
Since 1970s, with Berklee College of Music’s growing influence on jazz
pedagogy, educational materials regarding linear approach to melodic improvisation
became more accessible for the novice improviser. As a Berklee student, I was also
exposed to this kind of educational materials where the relationship between chords and
scales were explained using the chord–scale system.7 The advantage of this system is the
6 Paul F. Berliner, Thinking in Jazz: The Infinite Art of Improvisation (Chicago: The University of Chicago Press, 2004), 161. 7 Mervyn Cooke and David Horn, The Cambridge companion to jazz (Cambridge: Cambridge University Press, 2002), 266. Chapter 13, “Learning jazz, teaching jazz,” gives an account of ‘chord‐scale system’ and its place in jazz pedagogy since 1970s. 101
immediate ability it affords to plausibly make the changes as a beginner but at the same
time lacks the dissonance control and the demarcation of chord tones from non‐chord
tones that a vertical approach can provide. A seasoned player will combine both
approaches strategically and play “inside” by emphasizing chord tones, while also
playing “outside” by incorporating non‐chord tones and non‐diatonic notes to create
further tension.
2.4 Common Chord Substitutions and Superimpositions
In their performances, postbop players not only implement modern aesthetic
conventions over standard forms like “rhythm changes” and the blues, but they also
borrow elements of earlier styles. These elements may manifest themselves in the form
of common bebop chord substitutions in their solos or accompaniments, or by
paraphrasing of chord progressions from existing jazz standards as superimpositions.8
In this study, I focus mainly on postbop’s interest in harmonic superimpositions and the
consequent divergence from the notated lead‐sheet harmonies.
It is important to note that chord substitutions and superimpositions are
different by nature because substitutions are applied by the whole ensemble while
superimpositions are applied by a single player, autonomously, as the rest of the
ensemble follow the notated harmonic progression. Needless to say, it may very well be
8 Strunk, ʺHarmony (i)ʺ. According to Strunk, “the main requirement for improvisatory substitutions is that the new chord should preserve the essential lines of the original progression.” 102
that the rest of the ensemble can quickly hear and catch onto the soloist’s
superimposition, or they may be playing their own, completely different substitutions
for the progression contemporaneously.
Implying a chord substitution by outlining arpeggios is one of the ways
improvisers play “outside”. Another is the use of non‐diatonic scales that have common
tones with the underlying harmony. The most frequently used scalar device for going
“outside” in jazz improvisations is the half‐whole octatonic scale, also known as the
diminished scale (Messiaen’s second mode of limited transposition), over dominant
seventh chords.9
2.4.1 Barry Harris’s “Family of Four Dominants”
In order to understand why anyone would play a diminished scale over a
dominant chord, it is important to take a step back and look at the tradition of bebop
players who have made this a commonly accepted method in all modern styles of jazz
improvisation. Bebop pianist Barry Harris, disciple of Bud Powell and Thelonious
Monk, and known for his work with Cannonball Adderley, Dexter Gordon and Sonny
Stitt, has an elegant way of explaining the functional relationship that bebop players like
Parker and Powell have found between the diminished scale and dominant chords.10
9 The octatonic scale has two modes. Mode 1 follows the interval pattern of whole‐half steps and mode 2 follows half‐whole steps. For instance, C half‐whole diminished scale consists of the following notes: C–D♭– E♭–E♮–F♯–G♮–A–B♭. 10 Berliner, 10. 103
Harris’s concept, commonly known in jazz circles as the “family of four dominants,”
looks at ways to define the diminished scale from an improvisational viewpoint and
incorporate it into solos, especially over dominant seventh chords (figure 3).
Figure 3: Family of Four Dominants
If you take a diminished seventh chord and lower any of its four notes by a
semitone, you will get a dominant seventh chord. For example, when you take a Bo7
chord (B–D–F–A♭) and lower its root by a semitone, you will get a root position B♭7 chord (B♭–D–F–A♭)—commonly referred to as the backdoor dominant in the key of C
major. When its chordal third is lowered by a semitone, it becomes a third inversion D♭7
chord (enharmonically B–D♭–F–A♭)—commonly used as a tritone substitution in the key
of C major. When its chordal fifth is lowered, it becomes a second inversion E7 chord
(enharmonically B–D–E–A♭)—the V7 chord of the relative minor of C major. And when
its chordal seventh is lowered, it becomes a first inversion G7 chord (B–D–F–G)—the V7 chord in the key of C major. Harris suggests that a soloist can superimpose any of these
chords over a V chord, calling it “playing with your brothers and sisters”. The roots of
these four resultant chords, B♭, D♭, E, and G, make up another diminished seventh 104
chord, B♭o7, a semitone below the Bo7. The notes from both B♭o7 and Bo7, when combined,
make up the following octatonic scale: B♭‐B♮‐D♭‐D♮‐E♮‐F‐G‐A♭. Bebop players have
utilized this idea to identify the relationships of seemingly distant harmonic structures
that were used as harmonic substitutes in bebop cadences (mainly a ii7‐V7‐I) and find
creative ways to improvise melodies over them. Most common harmonic substitutions
for the ii‐V progression in bebop and post‐bebop styles are the tri‐tone substitution, and
the backdoor dominant. The “family of four dominants” concept helps improvisers to
think about these substitutions in a practical way in their solos.
2.4.1.1 Tritone Subsitution
Tritone substitution is a ubiquitous harmonic substitution scheme in jazz. It can
be thought of as the jazz equivalent of an augmented sixth chord (though jazz is usually
not concerned with inversions). It is created by exchanging a dominant seventh chord
for another dominant seventh chord which is a tritone away from it. In the common ii7‐
V7 progression, the V7 chord can be replaced by a ♭II7 chord, or as it is called in jazz, a
subV. Unlike the Neapolitan chord or augmented sixth chords which substitute
secondary dominants, a subV does not prepare the V chord but replaces it.11 In the key
of C major, this would mean substituting a D♭7 chord for a G7.
11 Jazz theory would denote augmented sixth chords’ harmonic function as a subV/V. 105
In jazz, the chordal third and the seventh of a chord are “guide tones,” and the
strongest chord tones as opposed to the root and the fifth which are considered to be
weaker. These “guide tones” are essential in defining if the chord is a major, minor or a dominant chord. They are also very important in accompaniments because of the
effective voice leading they can provide when moving from one chord to another.12 The
tritone substitution takes into consideration that these “guide tones” are what outlines
tension and release patterns and good voice leading in chord progressions, treating
them as essential in defining harmonic function. The chords G7 and D♭7 share common
notes in their chordal thirds and sevenths with their roles reversed. With the tritone
substitution applied, the third (B) of G7 becomes the seventh (C♭) of D♭7, and the seventh
(F) of G7 becomes the third of D♭7. The root and the fifth of G7 are replaced by the notes
D♭ and A♭, adding further tension to an otherwise familiar cadential formula. Yet subVs
are not only used for substituting V7 chords but also for secondary dominants or any
dominant seventh chord that would normally resolve down by a P5 root motion.
Barry Harris’s concept gives improvisers a practical method of implying this
reharmonization by thinking of subVs as one of the four dominant chords in the “family
of four dominants”. As mentioned before, substitutions and superimpositions are two
different approaches. When an improviser autonomously implies a tritone substitution
12 Similar to chordal sevenths resolving down stepwise in common practice, in jazz, this is known as the 7‐3 resolution in jazz where the seventh of the chord resolves to the third of the next chord, and the third to the seventh. 106
over a dominant chord, it has a completely different harmonic implication as opposed to
a substitution applied by the whole ensemble. The superimposition of a subV over a V7
chord implies a compound sonority of a dominant seventh chord with tensions ♭9 and
♯11 as seen in figure 4. The reason why the note D♭ is not considered a ♭5 but a ♯11 (C♯)
is because the G7 chord already has a chordal fifth (D♮).
Figure 4: subV over V7
2.4.1.2 Backdoor Dominant
It is not unusual to find the iv7‐♭VII7‐I cadential formula in bebop jazz
standards.13 In jazz, the ♭VII7 chord is commonly referred to as a backdoor dominant. At
first sight, this chord could easily be interpreted as modal mixture—borrowed from the
parallel minor key. However, when an improviser treats this cadence as such (that is,
playing the parallel minor scale over it), it results in a less‐than‐satisfactory melodic
representation of the actual tension and release that the progression implies. With
Harris’s “family of four dominants,” the ♭VII7 chord can be reframed in the realm of the
13 Jerry Coker, Elements of the Jazz Language for the Developing Improvisor, (Miami, Fl: Warner Bros, 1991), 82. Famous examples are mm. 5‐6 in Stella by Starlight by Victor Young and mm. 2‐3 in Yardbird Suite by Charlie Parker. 107
diminished scale, and thus provide the improvisers with a practical way of satisfying the
tension and release expected from a cadential formula. If the soloist sees a B♭7 resolving
to a C△7 chord in the key of C major, playing a B♭ half‐whole diminished scale will
sound much more satisfying than simply playing a C minor scale. This is because the
diminished scale does not only contain all the chord tones from B♭7, but also the chord
tones from the diatonic V7 (G7) that is being substituted.
2.5 Significance of the Blues Form
The twelve‐bar blues is one of the oldest harmonic frameworks for improvisation
in jazz performance history. Throughout the evolution of jazz, the blues form has
provided artists with great flexibility due to its easily recognizable formal structure and
its conduciveness to improvisatory exploration. In his 2005 article entitled “How the
Flexibility of the Twelve‐bar Blues Has Helped Shape the Jazz Language,” Garth Alper
traces the harmonic evolution of the jazz blues and tries to distill it down to its most
essential elements. In his examination of Charlie Parker’s Blues for Alice, Alper points out
that even though Parker reharmonizes the basic blues form significantly, certain aspects
of the harmony that he left untouched help us hear Blues for Alice as blues and not
something else.
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Figure 5: Chord progression for Charlie Parker’s Blues for Alice
According to Alper, in order for the blues to remain recognizable, the twelve‐bar
form has to start on some kind of a I chord, it has to move to a IV7 chord in m. 5, and
return to the I chord in the beginning of m. 11. Despite the numerous incarnations of the
twelve‐bar blues, these three structural elements remain unchanged.
2.6 Two Case Studies: Bob Berg and Michael Brecker
The two solos that this paper analyzes shift between the two approaches of
superimposing scales and superimposing chordal structures over notated harmonies.
Certainly, it is odd to call the harmonic progression of the blues “notated” since the
blues form is such an engrained part of the oral jazz lexicon. Nevertheless, there is some variation between the harmonic frameworks for the two tracks under scrutiny, and the
harmonic and melodic analyses of the solos take that into consideration.
2.6.1 Bob Berg’s Solo on Dirty Dogs
Bob Berg plays a five‐chorus solo on the track titled Dirty Dogs from the
“JazzTimes Superband” album which was released in 2000 for JazzTimes magazine’s 30th
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anniversary. The rest of the ensemble on the album consists of Randy Brecker on
trumpet, Dennis Chambers on the drum set, and Joey DeFrancesco on the organ. Both
the “head” and the “solo” sections of Dirty Dogs are based on the harmonic progression
of the twelve‐bar blues form in the key of B♭ major.14 This track uses the basic twelve‐bar
blues progression shown in figure 1.
Bob Berg begins his solo with a linear pattern common to postbop, borrowing
from John Coltrane’s improvisational vocabulary. This pattern, often called a “1–2–3–5”,
is the main melodic motif in Coltrane’s groundbreaking solo on “Giant Steps” (figure 6).
Furthermore, jazz historians often mark the beginning of the postbop era with the
release of Coltrane’s “Giant Steps” album.15 By beginning his improvisation with this
melodic line, Berg immediately situates his solo in the postbop aesthetic, following in
the footsteps of Coltrane.
14 “Head” and “solo” are jazz terms synonymous to “theme and variations,” “head,” meaning the main theme or melody of the song. After stating the “head” once or twice, members of the ensemble each play a solo over the main theme’s underlying harmonic progression. Most jazz standards will have the same harmonic progression for both the “head” and “solo” sections, while many postbop compositions have different harmonic progressions for these sections. 15 Keith Waters, Postbop Jazz in the 1960s: The Compositions of Wayne Shorter, Herbie Hancock and Chick Corea (New York: Oxford University Press, 2019), 5. 110
Figure 6: 1-2-3-5 motifs in Giant Steps and Dirty Dogs
Throughout his solo, Berg switches between “inside” and “outside” playing as
well as switching between arpeggiated (vertical) and scalar (linear) approaches. In the
first chorus, he begins by portraying the B♭7 chord in mm. 3‐4 with the notes B♭, C, D,
and F (1–2–3–5). These pitches can be interpreted in two ways: either with chord‐scale
theory as taken from the matching B♭ mixolydian mode or from the B♭ major pentatonic
scale (B♭–C–D–F–G). Both of these interpretations demonstrate a consonant or “inside”
approach and a safe way to ensure that the improvised notes match the harmonic
accompaniment beneath. As early as m. 5, Berg signals his postbop roots by playing an
E♭ minor blues scale16 (E♭–G♭–A♭–A♮–B♭–D♭) over the E♭7 chord. Although playing a
minor blues scale over a major jazz blues is one of the simplest and most basic
approaches to improvising, doing it on the root of a IV7 chord has complex harmonic
16 Blues scale is a hexatonic scale similar to the pentatonic scale but with an extra “blue” note, making it a cohemitonic collection of pitches (a collection or scale that has three chromatically consecutive notes). The minor blues scale has the ♯4/♭5 added to a minor pentatonic scale; the major blues scale has the ♯2/♭3 added to a major pentatonic scale. 111
implications. It effectively produces a new compound sonority in m. 5, changing the quality of the E♭7 chord to an E♭7sus4(♯9) due to the simultaneity produced by the following
cohemitonic collection of pitches: E♭–F♯(enharmonically G♭)–G♮–A♭–B♭–D♭ (figure 7).
Berg avoids placing emphasis on the A♮s, therefore it is not included in the compound
sonority. For the next two measures, Berg implies another alteration by superimposing a
diminished scale over the B♭7, implying tensions of ♭9/♯9, ♯11, and ♮13, creating the
compound sonority of B♭7(♯9, ♯11, ♮13).
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Figure 7: Analysis of Bob Bergʹs solo on Dirty Dogs – mm. 5‐12
For the first two‐thirds of the first chorus, Berg employs a linear approach to superimpose his desired alterations for dominant chords. In contrast, for the first appearance of the V7 chord in m. 9, Berg switches to a vertical approach and superimposes a D♭+ triad by arpeggiating the notes D♭–F–A♮, to create the compound
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sonority of a F7(♭13) chord (figure 7). F7(♭13) is a modal mixture chord borrowed from the
parallel minor key (built on the 5 of B♭ harmonic minor scale).
Another way of analyzing what happens in mm. 8‐10 is to interpret it from the
lens of common bebop variants of the blues form. In bebop blues, m. 8 and m. 11 will
often feature a V7/ii chord. This V7/ii chord is usually followed by a ii7 in m. 9 and a V7 in
m. 10. Examples of this progression can be seen in Charlie Parker’s “Billie’s Bounce” and
Sonny Rollins’s “Tenor Madness” both of which are bebop variants of the twelve‐bar
blues. Berg’s lines in mm. 8‐10 can be thought of as superimposing this harmonic
progression over Dirty Dogs’s more basic version of the blues. For instance, the rising
diminished scale in m. 8 can be heard as responding to an imagined [G7(♭9):V7(♭9)/ii]—
considering G7 is a member of the “family of four dominants”. And the figure in mm. 9‐
10 with the D♭+ arpeggio fits the modal mixture Cø7‐F7(♭13) progression perfectly since
Berg is attempting to tonicize the parallel minor key and also because the figure contains
only the notes from B♭ harmonic minor.
In m. 12, Berg confirms our supposition of the parallel minor key tonicization as
he plays a B♭ minor pentatonic scale over the last measure of the chorus. However, he
stops this harmonic excursion as soon as the next chorus begins and reverts back to
“inside” playing by outlining a B♭ triad along with passing tones taken from B♭
mixolydian, modally matching the B♭7 chord. By doing so, Berg also reminds us of
Alper’s emphasis on the importance of structural arrival points that define the blues. In 114
addition, Berg’s first chorus sets the tone for the rest of his solo and demonstrates the
harmonic sensibility of a postbop improviser who can creatively add interest to
seemingly simple harmonic progressions. Within the brief duration of only twelve
measures, Berg jumps back and forth between superimposing the minor blues scale, minor pentatonic scale, octatonic scale, and the augmented upper‐structure triad over
simple dominant seventh chords to imply alterations and reharmonizations.
With the start of the second chorus in m. 13, Berg establishes a B♭7 sonority by
outlining its chord tones with added passing notes from the matching B♭ mixolydian
mode. In the next measure, he superimposes a F7 arpeggio momentarily—for one beat—
before coming back to B♭7 to serve as a conclusion to his first sixteenth note run in the
solo (figure 8). This kind of quick thinking adds tension, and therefore extra
momentum, towards the end of an otherwise harmonically “inside” improvisational
line. Berg’s harmonically safe approach goes only so far in the chorus, as he starts taking
risks by stringing together consecutive superimpositions in the next few measures.
Postbop players are essentially supercharged bebop improvisers. Thus, in
addition to new techniques and approaches, many of the conventions of bebop
improvisation can be observed in their solos. One of the most common bebop
conventions is the concept of “chromatic approach tones” or “chromatic enclosures,” a
kind of jazz appoggiatura. Only, in jazz, these go beyond the two‐note double
appoggiaturas and can manifest themselves in groups of up to four notes. These notes
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are usually upper and lower chromatic neighbor tones that soloists use as melodic
enclosures in anticipation of their target notes. Berg provides a four‐note example by
targeting the note E♭ in m. 15 (figure 8).
Figure 8: Analysis of Bob Bergʹs s solo on Dirty Dogs – mm. 13‐18
With this chromatic enclosure, Berg starts another blazing sixteenth note run in
which he implies two consecutive ii‐V progressions. This improvised passage in mm. 15‐
18 is exemplary of a postbop player’s theoretical sophistication and talent for fast
decision‐making. After the chromatic enclosure, Berg plays a “1–2–3–5” figure in E♭,
followed by a C‐7 arpeggio in the first two beats that takes him to the note F, implying an
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arrival on F7, which he then transforms into another chromatic enclosure to resolve to a
B♭‐7 arpeggio on the fourth beat. Although all of this is superimposed on a B♭7 chord, the fast pace of the superimpositions makes it impossible to perceive a singular compound
sonority. They are rather heard as more like true substitutions where the progressions
that Berg imply can be heard independently from the accompaniment. In the next
measure, which is an important structural arrival point for the blues (IV7), he repeats the
same shape from the previous B♭‐7 arpeggio but changes the lowest note from an A♭ to
A♮ to imply a ♯11 over the E♭7, as well as switching from a vertical approach to a linear
one. In m. 17, the notes Berg plays all come from the E♭ acoustic scale. Jazz players call
this scale the E♭ lydian ♭7 or E♭ lydian dominant, or thinking of it as the fourth mode of the B♭ ascending melodic minor scale (figure 9).
Figure 9: E♭ Lydian ♭7 as the Fourth Mode of the B♭ ascending melodic minor scale
Due to the prevalence of chord‐scale theory in modern jazz pedagogy, modes of
the melodic minor scale, like the major modes, have become some of the most used
melodic resources in a modern jazz improviser’s toolkit. Superimposing this scale over
an E♭7, results in an E♭7 (♯11), a sonority that a classically trained musician would associate
with a Fr+6 chord. Even though Berg seems to alter every chord on his way, he validates
the structural importance of the fifth measure of the twelve‐bar blues by altering the E♭7 117
slightly with only one tension (♯11). In m. 18, Berg switches to a diminished scale to
paraphrase another common bebop variant of the blues where the sixth measure would
contain a #ivo7 chord (figure 8).17 By playing a whole‐half diminished scale that starts on
an E♮, he unmistakably implies an Eo7 harmony.18 For the remainder of the second
chorus, Berg brings to view a few more common improvisational tools of the postbop
idiom.
2.6.1.1 Hexatonic Scales
Similar to bebop players having made the octatonic or diminished scale part of
the jazz lexicon, postbop players have standardized the use of hexatonic scales other than the blues scale, such as the augmented scale. Much like Barry Harris’s definition of
the diminished scale as the combination of two diminished seventh chords a semi‐tone
apart, the augmented scale can be viewed as the combination of two augmented triads a
minor third apart. In m. 19, Berg superimposes a B♭ augmented scale over the B♭7 chord,
altering the chord and creating a compound sonority which can be denoted as a B♭7 (♯9, ♭13) with an added major seventh interval (A♮) in relation the root (figure 10). This major
seventh interval is problematic due to the fact that the rest of the ensemble is assumed to
17 #ivo7 is the enharmonic equivalent of the #iio7 or cto7 (common tone diminished seventh) but in blues, the root is on the #4 of the key and it comes after a IV7 chord. However, it resolves down to a I chord, functionally similar to what would be expected from a cto7. 18 In jazz, commonly accepted application of the diminished scale is playing the half‐whole mode over dominant sevenths and whole‐half mode over fully diminished chords as these are the modes that have the corresponding scale degrees to the chord tones of each chord. 118
be playing an A♭ as the chordal seventh of B♭7, and that Berg does not resolve the A♮
with stepwise motion. However, the scale is presented in a sequence pattern where Berg
plays the first figure and then restates it a major third below, giving this short passage a
syntactical cohesiveness that mitigates the apparent intervallic conflict between B♭7 and
A♮.
Figure 10: Analysis of Bob Bergʹs solo on Dirty Dogs – mm. 19‐24
2.6.1.2 Two‐ing the Five
Before the second chorus ends, Berg demonstrates two other common bebop
procedures that were inherited by postbop. These are: displacement of harmonic rhythm
and what jazz players call “two‐ing the five”. Displacement of harmonic rhythm usually 119
manifests itself in the form of the soloist or the accompanist implying the upcoming
chord from the next measure at the end of the measure it precedes. It can also mean
augmenting or diminishing the duration of a chord in the harmonic progression. “Two‐
ing the five” is a prevalent technique that both soloists and accompanists use to
embellish dominant seventh chords. It takes its name from the extremely common ii7‐V7
chord progression in jazz. For example, if the players see that there is a dominant
seventh chord coming up, they will play the related predominant chord, usually in the
form of a supertonic minor, before going to the dominant. By its nature, “two‐ing the
five” also displaces the harmonic rhythm as a side effect. If, originally, the dominant
chord takes up the space of four beats, then the predominant supertonic can occupy the
first two beats and the dominant seventh would get delayed into beats three and four.
Berg employs both techniques of displacement of harmonic rhythm and “two‐ing the
five” in mm. 21‐22. He anticipates the V7 (F7) chord in m. 21 by “two‐ing the five” with a
ii7 (C‐7) chord in m. 21 while delaying the F7 by a full measure (figure 10). In this way,
Berg does not try to fit the ii‐V progression into one measure but splits it and expands it
onto two bars. He then anticipates both chords a full beat earlier in m. 20 and m. 21. By
playing the notes E♭ and B♭ on the last beat of m. 20 (chordal third and seventh of C‐7, or
“guide tones”), Berg displaces the harmonic rhythm. Likewise, he does the same for the
F7 chord that he delays into m. 22, by starting a D♭+ arpeggio on the last beat of m. 21. As
explained earlier in the analysis of m. 9, the superimposition of a D♭+ triad implies a
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compound sonority of F7(♭13). However, this time, it is a different harmonic situation since
m. 22 originally consists of an E♭7 chord and not an F7. While Berg may have been
thinking of a ii7‐V7 (♭13) progression in his mind, the compound sonority in m. 22 ends up
being an E♭7(♮9, ♯11) chord as an unintended consequence by the fact that DeFrancesco on
the organ sticks to playing an E♭7. Since harmonic alteration is the archetype of postbop
improvisations, these kinds of discrepancies between the soloist and the accompanist are
indeed favorable accidents that reinforce the aesthetics of the idiom.
2.6.2 Michael Brecker’s Solo on Blues for Freddy
After Charlie Parker and John Coltrane, Michael Brecker is arguably one of the
most influential and imitated jazz saxophonists in history, with fifteen Grammy awards
to his name. Brecker plays a four‐chorus solo on Blues for Freddy from a 1991 video
release that documents the Louie Bellson All Stars big band’s Switzerland concert in
1983. While Dirty Dogs is a barebone twelve‐bar blues in terms of harmonic progression,
Blues for Freddy is a bebop variant of the blues in the key of C major, with numerous ii7‐
V7 progressions dispersed in the form (figure 11).
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Figure 11: Harmonic Progression for Blues for Freddy
In his solo, Brecker pushes the limits of “outside” playing with seemingly effortless execution while managing to make his solo sound exceptionally agreeable and almost “inside”. His solo is harmonically complex, but well thought‐out, superimposing various harmonic progressions, displacing the harmonic rhythm, and making heavy use of the fourth and seventh mode of melodic minor scale as well as the diminished scale, and highlighting tertian structures that are inherent in these scales. Like Berg, Brecker begins his solo with an ascending scalar run which contains notes from the C mixolydian mode—a consonant match for the C7. In m. 2, he lands on the note C, the chordal fifth of F7, followed by an A, the chordal third, which he uses to pivot to the C7 in the next measure, where it becomes tension 13. This is an excellent example of making the changes while playing “inside”. Brecker, as a true postbop maverick, begins his
“outside” harmonic excursion as early as m. 4 when he plays the seventh mode of the melodic minor scale over the C7 (figure 12).
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Figure 12: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 1‐5
2.6.2.1 Super Locrian
As has been noted before, modes of the ascending melodic minor scale are heard
quite often in modern jazz improvisations. In addition to the fourth mode, the lydian ♭7 or lydian dominant, jazz improvisers frequently use the seventh mode of the melodic
minor scale to alter dominant seventh chords. The scale degrees of this seventh mode
are 1–♭2–♭3–♭4–♭5–♭6–♭7 which, in terms of chord tones and tensions, corresponds to R–
♭9–♯9–3–♯11/♭5–♯5/♭13–♭7 (figure 13 – super locrian). In addition to the essential chord
tones that define a dominant seventh chord, like the root, third and seventh, this scale
has an altered version of every non‐essential tone. For this reason, this scale is usually
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called the altered scale or altered dominant scale. It is also called the super locrian scale,
due to the fact that the C altered scale is enharmonically equivalent to the C locrian
mode with the exception of the note F changed to F♭/E♮.
Figure 13: C Super Locrian as the Seventh Mode of the D♭ ascending melodic minor scale
The first instance of the super locrian appears in m. 4 over the C7 chord (figure
12). The compound sonority here is commonly indicated in modern jazz lead‐sheets and
scores with the following chord symbol: C7 alt. This chord symbol probably came to
prominence for saving space rather than listing all the altered tensions in the chord
symbol, as in C7(♭9/♯9,♯11,♭13). The 7alt chord is always associated by soloists with the super
locrian scale. Brecker plays a scalar run that is motivically similar to the one from m. 1,
but in C super locrian (the seventh mode of D♭ melodic minor), creating the compound
sonority of C7alt. On the last beat of the measure, he extracts and arpeggiates a tertian
structure from this scale, namely a descending B♭ø7 (9,11) arpeggio. He then superimposes
the same shape lowered by a semitone, and in ascending form, over the F7 chord in m. 5.
Not only is it a testament to Brecker’s attention to motivic development, this move also
exhibits his deep understanding of jazz harmony. By lowering the B♭ø7 (9,11) arpeggio by a
semitone, Brecker switches from D♭ melodic minor to the parent scale of C melodic
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minor. This also indicates a switch from super locrian to lydian ♭7, thus resulting in the
compound sonority of F7 (♯11). This passage shows the insight that Brecker can bring to the
music with his understanding of jazz harmony.
To interject, there are practical lessons to be learned from this two‐measure
fragment for aspiring improvisers and those who are new to jazz theory. In order to
grow familiar to “making the changes,” beginner jazz players are usually taught to start
practicing improvisation using only chord tones and then move onto melodic
embellishments with notes borrowed from the current tonal center.19 For aspiring jazz
improvisers who want to expand their color palette but have trouble thinking linearly
when soloing, mm. 4‐5 in Brecker’s solo can provide the following two methods. If
comfortable with thinking vertically, in order to achieve a 7alt sonority during a regular
dominant seventh chord, one can play a half‐diminished seventh arpeggio starting on
the chordal seventh, such as a B♭ø7 over C7. Likewise, in order to achieve a 7(♯11) sonority
without having to think about scales or modes, one can play a half‐diminished seventh
arpeggio starting on the chordal third, such as an Aø7 over an F7. On the other hand, if
comfortable with thinking linearly, then one can play a melodic minor scale that starts a
semitone above the root of the seventh chord to achieve a 7alt sonority (i.e. D♭ melodic
minor over a C7). And to imply a 7(♯11) sonority, one can play a melodic minor scale that
19 Berliner, 251. 125
starts on the chordal fifth of the seventh chord (i.e. C melodic minor over an F7). These
kinds of lessons are often learned by students through self‐made transcriptions of solos
by their favorite players and are a big part of the jazz tradition as well as the
development of an improviser’s personal voice within the jazz lexicon.
In m. 6, Brecker introduces a new motif that involves a wide downwards leap
followed by two upward leaps in thirds and elaborates while implying alterations to the
chords beneath (figure 14).
Figure 14: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 6‐8
On the first beat of m. 6, Brecker outlines a Bø7 arpeggio over the F‐7, creating a
compound F7 (♯11,♮13) sonority. This effectively extends the F7 chord from m. 5 into m. 6. He
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then changes the harmonic rhythm in the measure by anticipating the B♭7 with a Bb+
triad in the shape of the previous motif, implying a B♭+7 or B♭7 (♯5) sonority. On beat three
and four of m. 6, Brecker arpeggiates an upper‐structure E triad, implying a B♭7 (♭9,♯11,♮13).
He transforms this E triad into a C‐7 arpeggio on the last eighth of the measure and
continues playing it into the next measure, even though the next chord in the
progression is an E‐7. However, his choice of momentarily arpeggiating a C‐7 makes
tonal sense after B♭7. It could be considered as a backdoor dominant progression, and
furthermore, the C‐7 chord contains an E♭ triad in itself which makes it a great choice
both tonally, coming from B♭7, and chromatically, leading into the E‐7. From the occurrence of F♮ in m. 7, it is understood that Brecker treats the E‐7 chord as part of the
home key, that is, a iii7 chord. It is important to mention this because a common way
that improvisers treat minor seventh chords that precede dominant sevenths from a P5
above, is as a momentary tonicization (as the supertonic of the tonicized key), often
using the dorian mode. That would mean playing an F♯ (dorian mode: ii7/ii) instead of
an F♮ (phrygian mode: iii7). It is also significant because like most bebop variants of the
blues, Blues for Freddy features a V7/ii in m. 8, therefore Brecker would not have been
wrong in treating the E‐7 in as a ii7/ii. It may be because Brecker had been planning to
alter the harmony in m. 8 anyway. On the first beat of m. 8, Brecker plays the notes E♭,
D♭, A♭, and F. While this descending figure can be interpreted like a “1–2–3–5” in a mixed‐up order (“2–1–5–3”), the notes it contains belong to the B♭ dorian mode which
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would imply a B♭‐7 sonority. Interpreting this figure as a portrayal of B♭‐7 is justifiable
because playing a B♭‐7 followed by an A7 implicates a ii7/♭VI going to a subV/♭VI (two‐ ing the V/♭VI). In this way, Brecker makes it easy for himself to change the perception of
the original harmonic progression drastically.
Figure 15: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 8‐9
As can be seen from the analysis (figure 15), he implies a string of ii7‐subV and
ii7‐V7 progressions in chromatically related key areas and delays the appearance of the
home key’s ii7‐V7 progression until m. 10 (figure 16). He confirms his intention of
changing the function of A7 in m. 8 from a V7/ii to a subV/♭VI when he outlines an A♭
triad in his descending scalar run in m. 9, implying a delayed resolution. He stays
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“inside” for the remainder of the chorus except for the last G7 in the turnaround where he
plays a G super locrian descending line.20
Figure 16: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 9‐12
2.6.2.2 Extracting Tertian Shapes
In m. 13, Brecker begins the second chorus “inside” like his first chorus and plays
a descending line from C7’s chordal third down to its seventh (figure 17). He then
20 In jazz, turnarounds are harmonic cadences at the end of each chorus that are sometimes improvised and sometimes notated. In Blues for Freddy, the band plays the same turnaround every chorus. 129
interjects a D‐7 arpeggio for one beat, approached with the lower chromatic neighbor
tone D♭. For the remainder of the measure, he plays a descending C half‐whole
diminished scale—implying a C7(♭9/♯9♮,13)—that resolves stepwise onto the root of the next
chord, F7, in m. 14. After a matching F mixolydian figure over F7 in m. 14, Brecker signals
that he will go “outside” again by landing on a sustained E♭/D♯ (tension ♯9) after his
ascending C mixolydian run over the C7 in m. 15. As expected, the measure diverges
“outside,” with a string of superimpositions of arpeggiated tertian shapes, all extracted
from the C super locrian scale: E+△7, D♭‐△7, and E♭‐.
Figure 17: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 13‐15
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2.6.2.3 Whole‐tone Scale
In m. 16, Brecker brings to use yet another hexatonic scale common in postbop:
the whole tone scale (figure 18). For the first two beats of m. 16, Brecker ignores the G‐7
chord and plays an ascending figure using the C whole tone scale, implying a C+7(#11).
The dissonance of the G♯ from the whole tone scale against G‐7’s root in the
accompaniment is mitigated by the extremely fast thirteenth‐note speed of the
improvised line and its short duration of two beats. On the next beat, Brecker switches to
the C super locrian scale and resolves onto the chordal third of F7 in m. 17 by connecting
it to a descending chromatic scale.
Figure 18: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 16‐17
2.6.2.4 Displacing the Harmonic Rhythm
The harmonic framework that Brecker uses in his superimpositions in the first
chorus during mm. 7‐9 appears again in the corresponding mm. 19‐21 in the second
chorus, with slight modifications in its melodic and rhythmic manifestation (figure 19).
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Figure 19: Analysis of Michael Breckerʹs solo on Blues for Freddy – mm. 19‐24
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This time, Brecker displaces the harmonic rhythm and starts superimposing the
B♭ minor scale, implying a B♭‐7 on the last beat of m. 19. He carries it onto m. 20 by continuing to play notes from the B♭ minor scale and pauses the phrase on a held D♭, the chordal third of B♭‐7. Since D♭ also is the chordal third of A7 enharmonically, he uses it to pivot onto an implied A7 (♭9). In m. 21, Brecker plays a “1–2–3–5” figure (E–F♯–G♯–B) and uses it in a chromatic enclosure‐like fashion to target the chordal fifth of E♭‐7. Unlike the first chorus, the interjection of the E♭‐7 and A♭7 is shortened to only two beats, and
Brecker anticipates the G7 from m. 22 on the last beat of m. 21 with an ascending G half‐ whole diminished scale. As has been the norm in this solo, Brecker resolves the G7 chord with a descending G super locrian scale that lands him on a consonant G (chordal fifth) over the C7 in m. 23. He keeps his note choices consonant over the C7 in m. 23, but he tries to fit in an E♭‐7 chord between the A7 and D‐7 by playing the same figure he uses over the A7 and creating a chromatic sequence a semitone below. This superimposition of E♭‐7 carries onto the first beat of m. 24 where Brecker uses the note E♭ as a chromatic neighbor for an ascending C arpeggio in first inversion. This arpeggio implies a return back to the notated harmony with implied tensions of 9 and 11 over the D‐7 chord. After heavy use of superimpositions and melodic lines at thirty‐second note speed, Brecker holds a G over the G7 chord to provide momentary relief before he reverts to the C harmonic minor scale, implying the compound sonority of G7 (♭9, ♭13) which signals a move towards the parallel minor key.
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2.7 Discussion
Jazz improvisation has long been seen as a kind of musical storytelling. Berliner
suggests that “an additional aspect of a musical story’s logic is the motivic development
of material”.21 Brecker’s solo on Blues for Freddy has everything that Berg’s solo on Dirty
Dogs put forth but only elaborated further and with more harmonic exploration as well
as a keen attention to recognizable shapes and motivic development. It can be argued
that simpler chord progressions are more conducive to the “outside” harmonic
excursions that the postbop aesthetic often exhibits. Nevertheless, Brecker’s solo on Blues
for Freddy shows that even harmonically busy variants of the blues can provide a
framework for adventurous superimpositions if the player is as gifted and experienced
as he is.
21 Berliner, 263. 134
3. Conclusion
With Pareidolia, I portrayed my own experiences with auditory pareidolia and
translated it into a matrix of interconnected musical ideas from disparate genres.
External stimuli are required to define an experience as pareidolia or apophenia.
Nevertheless, I have recently been thinking of a composer’s creative process, in general,
as a series of reactions to internal stimuli in ways that are very similar to pareidolia and
apophenia—internal stimuli like hunger, thirst, love, or pain which originate within a
person. What composers conjure up in their heads cannot really be called music until
those ideas are transferred to some sort of physical medium. An abstract idea forms in
the brain which they then have to make sense of and process to create a recognizable
pattern, something that is tangible to the ear.
Even if we think that we heard a melody in our heads, is it really a melody until
it can exist out of our heads? Does a timbrally complex gesture in the composer’s head
really exist as a sonic entity or is it merely an abstraction that has to be worked on with
knowledge that is already acquired, in order to shape it with the necessary details
required for its performance? After finishing my dissertation composition Pareidolia, my
newly acquired perspective on compositional process is that we, as composers, are
constantly trying to crystallize abstractions of music by matching them with
preconceived ideas that we already hold—as in the precise definition of apophenia.
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My dissertation article “Implied Reharmonizations in Postbop Improvisations over the Twelve‐Bar Blues” presented analyses of two impressive solos by distinguished postbop saxophonists, Bob Berg and Michael Brecker. In doing so, the article highlighted their immense mental capacity for fast decision making and the deep knowledge of harmony that an advanced jazz improviser often possesses. The analytical text takes on a translational objective regarding some of the differences between jazz and common practice terminology while the notated figures that accompany the article can be beneficial for those who are familiarizing themselves with jazz theory and are interested in the postbop improvisational vocabularies of players like Berg and Brecker.
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Appendix A
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Appendix B
140
141
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References
Alper, Garth. 2005. ʺHow the Flexibility of the Twelve‐Bar Blues Has Helped Shape the Jazz Languageʺ. College Music Symposium. 45: 1‐12.
Bellson, Louis, Randy Brecker, Michael Brecker, Lew Soloff, and Howard Johnson. Louie Bellson and His Big Band. New York, NY: View Video, 2004.
Berg, Bob, Dennis Chambers, Randy Brecker, Joey DeFrancesco, Paul Bollenback, and Eddie Harris. The JazzTimes superband. Concord, CA: Concord Records, Inc, 2000.
Berliner, Paul F. Thinking in Jazz: The Infinite Art of Improvisation. Chicago: The University of Chicago Press, 2004.
Coker, Jerry. Elements of the Jazz Language for the Developing Improvisor. Miami, Fl: Warner Bros, 1991.
Cooke, Mervyn, and David Horn. The Cambridge companion to jazz. Cambridge: Cambridge University Press, 2002.
Strunk, Steven. ʺHarmony (i),ʺ Grove Music Online (2003), https://www‐ oxfordmusiconline‐com.proxy.lib.duke.edu/grovemusic/view/10.1093/gmo/97815 61592630.001.0001/omo‐9781561592630‐e‐2000990085 (accessed February 20, 2020).
Tymoczko, Dmitri. A Geometry of Music: Harmony and Counterpoint in the Extended Common Practice. Oxford: Oxford University Press, 2011.
Waters, Keith. ʺPostbop,ʺ Grove Music Online (January 13, 2015), https://www‐ oxfordmusiconline‐com.proxy.lib.duke.edu/grovemusic/view/10.1093/gmo/97815 61592630.001.0001/omo‐9781561592630‐e‐1002276289 (accessed February 20, 2020).
Waters, Keith. Postbop Jazz in the 1960s: The Compositions of Wayne Shorter, Herbie Hancock and Chick Corea. New York: Oxford University Press, 2019.
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Biography
Eren Gümrükçüoğlu holds masterʹs degrees from Duke University and Istanbul
Technical University, and a bachelorʹs degree from Berklee College of Music in Boston.
Gümrükçüoğlu has held a Bass Instructional Fellowship in 2019 and participated
in the Certificate in College Teaching program at Duke University. Recent notable
honors include an honorable mention at the 8th Sond’Ar‐te Electric Ensemble
Composition Competition (2019) in Portugal, winner of The Boston New Music
Initiative call for scores (2018), and finalist at the Bruno Maderna International
Competition (2018).
Gümrükçüoğlu’s music dwells at the intersection of diverse musical styles. As a
concert music composer with a strong jazz background, he incorporates the
idiosyncrasies, contours, shapes, rhythms and pacings of jazz, Turkish folk, and
electronic music genres into his music. His works have been featured in conferences and
festivals around US and Europe such as Taproot New Music Festival, June in Buffalo,
SICPP, SEAMUS, Boston New Music Initiative, ilSuono Contemporary Music Week and
ITU/MIAM New Music Days. Performers of his music include the JACK Quartet, Mivos
Quartet, Semiosis Quartet, Quince Ensemble, Ensemble Suono Giallo, New York
Polyphony, Conrad Tao, Richard Valitutto, Rachel Beetz, Reuben de Lautour, Ulrich
Mertin, Deviant Septet, yMusic Ensemble, Naked Drum Project, Istanbul State
Symphony Orchestra, and Metropole Orkest.
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