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INFORMATION TO USERS This manuscript has been reproduced from the microfilm master. UMI films the text directly from the original or copy submitted. Thus, some thesis and dissertation copies are in typewriter face, while others may be from any type of computer printer. The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleedthrough, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send UMI a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. Oversize materials (e.g., maps, drawings, charts) are reproduced by sectioning the original, beginning at the upper left-hand corner and continuing from left to right in equal sections with small overlaps. Each original is also photographed in one exposure and is included in reduced form at the back of the book. Photographs included in the original manuscript have been reproduced xerographically in this copy. Higher quality 6" x 9" black and white photographic prints are available for any photographs or illustrations appearing in this copy for an additional charge. Contact UMI directly to order. University Microfilms International A Bell & Howell Information Com pany 300 North Z eeb Road. Ann Arbor, Ml 48106-1346 USA 313/761-4700 800/521-0600 Order Number 9227220 Aspects of early major-minor tonality: Structural characteristics of the music of the sixteenth and seventeenth centuries Anderson, Norman Douglas, Ph.D. The Ohio State University, 1992 UMI 300 N. ZeebRd. Ann Arbor, MI 48106 ASPECTS OF EARLY MAJOR-MINOR TONALITY: STRUCTURAL CHARACTERISTICS OF THE MUSIC OF THE SIXTEENTH AND SEVENTEENTH CENTURIES DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of the Ohio State University By Norman Douglas Anderson, B.Mus., M.Mus., M.L.S. * * * it * The Ohio State University 1992 Dissertation Committee: Approved by G.M. Proctor D.M. Butler / Adviser C.M. Atkinson School of Music ACKNOWLEDGMENTS No project the scope of a dissertation is ever accomplished solely through the resources of the writer. I am particularly grateful for the patience of my wife, Ann, and my children, Carrie and Robert, who probably did not really understand why their husband and father spent long hours toiling at the word processor. I am grateful, too, to my coworkers at the James Buchanan Duke Library of Furman University, who were more than understanding of my frequent absences. My dissertation committee, David Butler and Charles Atkinson, and especially my advisor, Gregory Proctor, have been the most significant influences on how I think about music. Indeed, many of the ideas contained in this document can be traced back to discussions with them both in and out of the classroom. ii VITA 14 February 1955 Born— Fort Bragg, North Carolina May 1977 B.Mus. in Applied Music (Voice), Ouachita Baptist University, Arkadelphia, Arkansas December 1983 M.Mus. in Music Theory, The University of Texas, Austin, Texas 1984-1985 Adjunct Instructor, Music Department, Sinclair Community College, Dayton, Ohio August 1987 M.L.S., Kent State University, Kent, Ohio February 1988— present Instructor Librarian, Furman University Library, Greenville, South Carolina PUBLICATIONS '•Automatically Generated References in Minimal—Level Authority Records." Information Technology and Libraries 10 (Dec. 1991): 251-262. FIELDS OF STUDY Major Field: Music Studies in Schenker's Theory of Music, Analysis of 19th and 20th Century Music, and Fugal Composition— Gregory M. Proctor. Study in History of Music Theory— Burdette L. Green. iii Studies in 16th-Century Counterpoint and Counterpoint Pedagogy— Gertrude Kuehefuhs. Studies in Early Music Notation and Early Polyphony— Charles M. Atkinson. Studies in Renaissance and Baroque Music History— Alexander M. Main. Study in Vocal Performance— Marion R. Alch. Studies in Linguistics and Syntax— David R. Dowty and Michael L. Geiss. TABLE OF CONTENTS ACKNOWLEDGMENTS....................................... ii v i t a ................................................. iii LIST OF FIGURES...................................... vii LIST OF TABLES....................................... xii PREFACE............................................. xiii CHAPTER PAGE I. INTRODUCTION...................................... 1 Problems of Terminology...................... 1 Tonality Harmony Early Studies of TransitionalTonality. 28 Robert W. Wienpahl Delbert Meacham Beswick Edward E. Lowinsky II. SCHENKER'S THEORY AS A TOOL FOR THE STUDY OF THE EARLY HISTORY OF TONALITY.................... 50 Schenker' s Theory........................... 50 Schenker's Theory as a Theory of Tonality Schenker's Comments on Early Music Neo-Schenkerian Treatment of Early Music 58 Felix Salzer Frederick Joseph Bashour Susan Kaye McClary Saul Novack v III. STRUCTURE IN PRE-TONAL AND INCIPIENTLY TONAL MUSIC...................................... 110 Structure near the Surface................. 112 Harmonies at the Foreground Diminution Technique The Leading Tone The Cadence and the Linear Progression Structure at Remote Levels ................ 142 The Lack of a Fundamental Linear Progression The Problem of Parallels IV. FACTORS IN THE DEVELOPMENT OF MAJOR-MINOR TONALITY............. 151 Recitative Style........................... 151 Dance Music................................ 161 Tonal Versus Real Answer in Imitation...... 181 V. MODALITY AND TONALITY........................... 193 The Evolution from Modality to Tonality 194 The Evolution of Musical Theory Relating to Key in the Seventeenth Century A Model for Evolution from Modality to Tonality The Survival of Modal Characteristics in a Tonal Context....................... 220 Remote-Level Modal Characteristics Surface-Level Modal Characteristics APPENDIX............................................. 245 Transcriptions of the German texts translated in the text of the dissertation................. 245 BIBLIOGRAPHY......................................... 249 vi LIST OF FIGURES FIGURE PAGE 1. W.A. Mozart: Sonata for Piano, K. 332, beginning. From Cazden, "Consonance and Dissonance," 158................................. 13 2. Composing-out of harmonies........................ 27 3. Mixolydian cadence................................ 38 4. Comparison of Schenker's and Salzer's Concepts of Structural and Prolongational Elements......................................... 66 5. Opening measures of Scarlatti's Sonata in D minor, L. 413. From Salzer, Structural Hearing, 2:8..................................... 68 6. Sketch of the passage in Figure... 5 .............. 69 7. Beginning of Perotin's Alleluya Posui with Salzer's reduction. From Salzer, "Tonality in Medieval Polyphony," 87, 92................... 76 8. Salzer's reduction of Perotin's Alleluya Posui. From Salzer, "Tonality in Medieval Polyphony," 93, Graph 15c........................ 77 9. Phrase one of Dufay's Je requier with Bashour's first, second, and third reductions. Music from Dufay, Opera omnia, 6:54. Analysis from Bashour, "Analysis of Structural Levels," 2:5.......................... 88 10. Phrase two of Dufay's Je requier with Bashour's first, second, and third reductions. Music from Dufay, Opera omnia, 6:54. Analysis from Bashour, "Analysis of Structural Levels," 2:5.......................... 91 vii 11. Novack's transcription of the final phrase of Alleluia, pascha nostrum with his sketch of the passage. From Novack, "Analysis of Pre-Baroque Music," 115.......................... 98 12. Novack's sketch of an interior phrase of Alleluia, pascha nostrum with his transcription of the chant. From Novack, "Analysis of Pre-Baroque Music," 115............. 99 13. Novack's analysis of the Rondeau En ma dame. From Novack, "Analysis of Pre-Baroque Music," 117, Example 2(A)........... 100 14. The ending of Josquin's Absalon, fili mi with Novack's analysis. From Novack, "Tonal Tendencies," 322......................... 107 15. Beginning of Gardane's "Pass'e mezo antico primo" of the Intabolature nova di varie sorte de balli da sonare. Libro primo. From Keyboard dances from the earlier sixteenth century, 49........................... 114 16. Final measures of John Bull's In nomine. From The Fitzwilliam Virginal Book, 2:39........ 117 17. Trill versus Long Mordent....................... 119 18. Final measures of Giovanni Gabrieli's Fuga Seconda. From Gabrieli, Composizioni per organo, 2:36.................................... 120 19. Excerpt from Castello's "Sonata 9 for two violins and bassoon." From Castello, Sonate concertate in stil moderno, 41........... 122 20. Alternative interpretations of G#/Ab in C major........ 127 21. Cancellation of the altered fourth scale degree in Schenker's model for interruption. From Schenker, Free Composition, 2: fig. 23a........................ 129 22. Interruption Scheme in a Minor Key.............. 133 viii 23. Conclusion of the fugue of J.S. Bach's Toccata and Fugue in D minor. From Bach, Werke, 15:275................................... 135 24. Clausula vera cadence........................... 136 25. The Double-Leading-Tone Cadence................. 138 26. The incipient linear progression of the authentic cadence............................... 141 27. Conclusion of the Benedictus from Lasso's Missa Pro Defunctis. From Lasso, Samtliche Werke.