HOW A SCHENKERIAN ANALYSIS MAY INFORM THE INTERPRETATION AND
PERFORMANCE OF J. S. BACH’S LUTE MUSIC ON THE GUITAR USING
SELECTIVE MOVEMENTS OF BACH LUTE SUITE NO. 4 IN
E MAJOR (BWV1006A) AS A DEMONSTRATION
Zhi Li, B.A., M.A.
Dissertation Prepared for the Degree of
DOCTOR OF MUSICAL ARTS
UNIVERSITY OF NORTH TEXAS
December 2020
APPROVED:
Thomas Johnson, Major Professor Timothy Jackson, Co-major Professor Diego Cubero, Committee Member John Holt, Chair of the Division of Instrumental Studies Jaymee Haefner, Director of Graduate Studies in the College of Music John W. Richmond, Dean of the College of Music Victor Prybutok, Dean of the Toulouse Graduate School
Li, Zhi. How a Schenkerian Analysis May Inform the Interpretation and Performance of J. S. Bach’s Lute Music on the Guitar Using Selective Movements of Bach Lute Suite No. 4
in E Major (BWV1006A) as a Demonstration. Doctor of Musical Arts (Performance),
December 2020, 103 pp., 59 musical examples, 1 appendix, bibliography, 51 titles.
Continuing the discussion of interpreting J. S. Bach’s lute music on the guitar, this
dissertation seeks to demonstrate that Schenkerian analysis can assist the modern classical
guitarist to better understand Bach’s music. In particular, the Schenkerian approach provides
an important methodology for studying Bach’s music in depth, and then guiding performance
practice on the guitar. Although there are many books and articles about transcribing,
interpreting and performing Bach’s music on the guitar, they do not apply Schenkerian analysis
to guitar performance. This research will fill in the lacuna in this field, while promoting music
scholarship and enhancing the performance practice of classical guitarists.
Copyright 2020
by
Zhi Li
ii TABLE OF CONTENTS
Page LIST OF MUSICAL EXAMPLES ...... v
CHAPTER 1. INTRODUCTION ...... 1 1.1 Purpose of the Dissertation ...... 1 1.2 State of Research...... 2 1.3 Method of Analysis ...... 4
CHAPTER 2. ANALYSIS AND PERFORMANCE GUIDE (USING SELEVTIVE MOVEMENTS OF J.S.BACH’S LUTE SUITE NO.4, BWV1006A) ...... 6 2.1 An Overview of BWV 1006a ...... 6 2.2 Prelude ...... 7 2.2.1 Analysis...... 7 2.2.2 Performance Guide ...... 15 2.3 Loure ...... 21 2.3.1 Analysis...... 21 2.3.2 Performance Guide ...... 26 2.4 Gavotte en Rondeau ...... 31 2.4.1 Analysis...... 31 2.4.2 Performance Guide ...... 38 2.5 Summary ...... 44
CHAPTER 3. CONCLUSION...... 48
APPENDIX: ANNOTATED SCORE AND GRAPH (BWV1006A) ...... 49 Prelude ...... 50 Annotated Score ...... 50 Graph...... 67 Loure ...... 79 Annotated Score ...... 79 Graph...... 82 Gavotte en Rondeau ...... 84 Annotated Score ...... 84
iii
Graph...... 92
BIBLIOGRAPHY ...... 100
iv
LIST OF MUSICAL EXAMPLES
Page Example 1: Prelude, background sketches, mm. 1-130...... 8
Example 2: Prelude, middleground sketches, mm. 17-29...... 8
Example 3: Prelude, middleground sketches, mm. 67-79...... 9
Example 4: Prelude, 5-6 exchange, mm. 1-59...... 9
Example 5: Prelude, foreground sketches, mm. 1-14...... 10
Example 6: Prelude, foreground sketches, mm. 15-33...... 10
Example 7: Prelude, annotated score, mm. 1-4...... 11
Example 8: Prelude, annotated score, mm. 117-124...... 11
Example 9: Prelude, annotated score, mm. 9-16...... 12
Example 10: Prelude, annotated score, mm. 41-48...... 12
Example 11: Prelude, annotated score, mm. 29-32...... 14
Example 12: Prelude, annotated score, mm. 33-36...... 14
Example 13: Prelude, autograph, mm. 1-16...... 16
Example 14: Prelude, mm. 1-16...... 17
Example 15: Prelude, mm. 27-29...... 18
Example 16: Prelude, mm. 29-31...... 19
Example 17: Prelude, foreground sketches, mm. 129-130...... 20
Example 18: Prelude, mm. 128-130...... 20
Example 19: Loure, background graph, mm. 1-24...... 21
Example 20: Loure, middleground graph, A section...... 22
Example 21: Loure, foreground graph, A section...... 22
Example 22: Loure, annotated score, mm. 1-9...... 23
Example 23: Loure, foreground graph, B section...... 24
v
Example 24: Loure, annotated score, mm. 10-19...... 25
Example 25: Loure, mm. 1-4...... 25
Example 26: Loure, mm. 5-7...... 26
Example 27: Loure, mm. 1-4...... 27
Example 28: Loure, mm. 10-11...... 27
Example 29: Loure, m. 15 and m. 20...... 28
Example 30: Loure, mm. 22-24...... 28
Example 31: Loure, mm. 5-8...... 29
Example 32: Loure, mm. 3-4...... 30
Example 33: Loure, mm. 1-3...... 31
Example 34: Gavotte en Rondeau, background sketches, mm. 1-100...... 32
Example 35: Gavotte en Rondeau, mm. 1-8...... 33
Example 36: Gavotte en Rondeau, middleground sketches, mm. 1-8...... 33
Example 37: Gavotte en Rondeau, middleground sketches, mm. 36-40 and mm. 53-64...... 34
Example 38: Gavotte en Rondeau, mm. 80-82...... 34
Example 39: Gavotte en Rondeau, beginning of each couplet...... 35
Example 40: Gavotte en Rondeau, the foreground graph, mm. 64-68...... 36
Example 41: Gavotte en Rondeau, background graph of Part 2, mm. 40-100...... 37
Example 42: Gavotte en Rondeau, foreground graph, mm. 92-100...... 37
Example 43: Gavotte en Rondeau, foreground graph, mm. 1-8...... 38
Example 44: Gavotte en Rondeau, mm. 6-8...... 39
Example 45: Gavotte en Rondeau, the melodic contour, mm. 1-8...... 39
Example 46: Gavotte en Rondeau, mm. 74-76...... 40
Example 47: Gavotte en Rondeau, Part 2, mm. 40-100...... 41
Example 48: Gavotte en Rondeau, mm. 52-53...... 41
vi
Example 49: Gavotte en Rondeau, mm. 61-64...... 42
Example 50: Gavotte en Rondeau, mm. 64-68...... 42
Example 51: Gavotte en Rondeau, mm. 72-74...... 43
Example 52: Gavotte en Rondeau, middleground graph, mm. 80-92...... 44
Example 53: Gavotte en Rondeau, annotated score, mm. 87-100...... 44
Example 54: Prelude, background graph, mm.1-130...... 45
Example 55: Loure, background graph, mm. 1-24...... 45
Example 56: Gavotte en Rondeau, background graph, mm. 1-100...... 46
Example 57: Prelude, 5-6 exchange, mm. 1-33...... 46
Example 58: Prelude, middleground graph, mm. 1-4...... 47
Example 59: Gavotte en Rondeau, middleground graph, mm. 1-8...... 47
vii CHAPTER 1
INTRODUCTION
1.1 Purpose of the Dissertation
J. S. Bach is considered to be “the most published, most sold, and most performed guitar composer.”1 There are many books and articles about transcribing, interpreting and performing
Bach’s music on the guitar. Missing, however, is a demonstration of how a Schenkerian analysis can further inform the interpretation of Bach’s music on the guitar. In particular, the
Schenkerian approach provides an important methodology for studying Bach’s music in depth, which then helps to guide performance practice on the guitar.
Bach never composed for classical guitar since he lived before the instrument had evolved into its present form. But he left seven suites for lute or lute-harpsichord, which can be readily adapted for the guitar given that all are plucked instruments belonging to the lute family. Frédéric Zigante, an Italian guitar scholar, considers that “this music is eminently suited for guitar: far more so than many works composed specifically for the instrument during the twentieth century ... the value these pieces have for teaching and learning the guitar, or indeed music pure and simple [is unquestionable].”2
Alison Hood believes that “music analysis could aid a performer in the preparation of an interpretation.”3 A Schenkerian approach to analysis can provide possible solutions to many of the enigmas in Bach’s music. Supplementing the performer’s own background, it may aid
1 Wolf Moser, “Bach und Albéniz: Unser Umgang mit Transkriptionen,” Gitarre & Laute 9, no. 3 (1987): 40. 2 Frédéric Zigante, “Bach: from the Lute to the Guitar: Johann Sebastian Bach’s Works for Lute,” in J. S. Bach: Le opere completo per liuto trascrizione per chitarra (Roma: GuitArt, 2001), 1-25. 3 Alison Hood, Interpreting Chopin: Analysis and Performance (New York: Ashgate Publishing, 2014), 1.
1
interpretation without limiting the use of other analytical tools. Jeffrey Swinkin observes that
“for one thing, many of its constructs are somatic in orientation; for another, these somatic aspects often have distinct emotive connotations. It is due precisely to these physical and emotive features of Schenkerian analysis, features in which performance is also patently grounded, that Schenkerian analysis is inherently compatible with and naturally applicable to performance.”4
This study will demonstrate how Schenkerian analysis can assist the modern classical guitarist to better understand Bach’s musical intention beneath the music notation, such as the musical forces and tonal direction of phrases, and lead to a better performance.
1.2 State of Research
Although there are many books and articles about transcribing, interpreting and performing Bach’s music on the guitar by famous guitar scholars including Frank Koonce,
Frédéric Zigante, Peter Croton, Stanley Yates, Matthias Lang and others, they do not apply
Schenkerian analysis to guitar performance.5678 My research seeks to fill in the lacuna in this field, while promoting the musical scholarship and enhancing the performance practice of classical guitarists. By serving as a model for the manifold ways in which Schenkerian analysis
4 Jeffrey Swinkin, “Schenkerian Analysis, Metaphor, and Performance,” College Music Symposium 47 (January 2007): 76-99. 5 Johann Sebastian Bach, The Solo Lute Works, ed. Frank Koonce (San Diego, CA: Kjos, 2002). 6 Stanley Yates, “Bach’s Unaccompanied String Music: A New (Old) Approach to Stylistic and Idiomatic Arrangement for the Guitar,” Classical Guitar Magazine (Nov. 1998, vol. 17, no. 3, 24-9; Dec. 1998, vol. 17, no. 4, 20-2; Jan.1999, vol. 17, no. 5, 20-6 and Feb. 1999, vol. 17, no. 6). 7 Matthias Lang, “Transcription of Baroque Works for Classical Guitar: J. S. Bach’s Sonata in D Minor (BWV 964) as Model” (DMA diss., University of North Texas, 2013). 8 Peter Croton, Performing Baroque Music on the Classical Guitar: A Practical Handbook based on Historical Sources, ed. Roger Harmon (Scotts Valley, CA: CreateSpace Independent Publishing Platform, 2015), 12.
2
can enrich performance practice, it is hoped that this study will be useful to other musicians
who wish to perform Bach on the guitar.
Modern players of plucked instruments, such as Nigel North, Peter Croton, and James
Tyler, have written handbooks based on the Baroque treatises, which elucidate some of the intricacies of playing a plucked instrument.910 Peter Croton is an important modern author who
has written about historical performance practice of Baroque music in his book Performing
Baroque Music on the Classical Guitar: A Practical Handbook based on Historical Sources.11
Although most of the historical sources have nothing to do with the modern guitar, they are
useful because they study performance practice from a universal musical perspective. After all,
much of performance practice should be directly transferable to guitar from strings or
keyboards. Croton makes specific references to early plucked instruments, such as lute,
Baroque guitar, and their composers of the era, which allows guitarists to make informed
musical decisions.
Frédéric Zigante, Frank Koonce, Stanley Yates, Matthias Lang, and other guitarists
mainly focus upon the art and method of transcribing Baroque music, specifically Bach’s music,
for the classical guitar. Since Bach frequently transcribed his works from one instrument to
another, his principles of transcription can be elucidated by systematic study of how he shifts
register, and alters pitch and rhythm, harmonization, slurs, and melodic elaboration. By
applying specific fingerings to delineate harmonic structure, musical texture, layers of voice
9 Nigel North, Continuo Playing on the Lute, Archlute, and Theorbo (Bloomington: Indiana University Press, 1987). 10 James Tyler, The Early Guitar: A History and Handbook (London: Oxford University Press, 1980). 11 Peter Croton, Performing Baroque Music on the Classical Guitar, 13.
3
leading, slurs, rhythm, articulation, and timbre, these studies also provide different perspectives
for interpreting and performing Bach’s music.
Heinrich Schenker, who established Schenkerian analysis, has published many writings
concerning analysis and performance. Some major works like Free Composition and The Art
of Performance, show how a Schenkerian analysis may inform performance practice.12 The
knowledge of compositional technique “can enable the performer to determine what effect is desired-and thus which physical means are appropriate-in any given context.” 13 Also,
Schenker’s many observations on performance are recorded in the manuscript Vom Vortrag.14
Although it mainly focuses on piano performance, the principles could be applied to other
instruments, such as classical guitar. As William Rothstein comments, “Vom Vortrag concerns
itself directly only with performance on the piano. This is true of most, though not all, of
Schenker's works on performance. However, much of what he has to say about the piano is
applicable to other instruments as well.”15
1.3 Method of Analysis
My methodology, therefore, employs a Schenkerian approach to analysis, which,
combined with research into other compositional dimensions, results in suggestions for performance based upon the analysis. The Schenkerian analysis encompasses three basic structural levels: background, middleground, and foreground. As Schenker said “a
12 Heinrich Schenker, introduction to Free Composition: Volume III of New Musical Theories and Fantasies, ed. and trans. Ernst Oster (New York and London: Longman, 1979), 4. 13 William Rothstein, “Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas,” 19th-Century Music, Vol. 8, No. 1 (Summer, 1984): 3-28. 14 Vom Vortrag, a manuscript, entitled Vom Vortrag ("On Performance"), consisting of eighty-six pages in the hand of Schenker's wife, with penciled corrections by Schenker. 15 William Rothstein, “Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas,” 3-28.
4
performance, in serving background, middleground, and foreground, can employ the greatest variety of color. Even the richest and most varied resources of performance can be taught-and learned-with great exactness. On the other hand, commitment to background, middleground, and foreground excludes all arbitrary personal interpretation.”16
16 Heinrich Schenker, introduction to Free Composition.
5 CHAPTER 2
ANALYSIS AND PERFORMANCE GUIDE (USING SELEVTIVE MOVEMENTS OF
J.S.BACH’S LUTE SUITE NO.4, BWV1006A)
2.1 An Overview of BWV 1006a
J.S.Bach who composed seven lute suites frequently recomposed his own material and cast it in different settings.17 The Lute Suite No.4 (BWV 1006a), composed in 1735-1740, is a
transcription of E Major Violin Partita (BWV 1006) by composer himself. Unlike his other lute
suites (except BWV 995) where there are controversies concerning the authority of sources,
both the primary compositions for violin, and the arrangement for lute (or harpsichord) have
survived in autograph.18 Due to the fact that there is no title or instrumental designation in the
original manuscript, BWV 1006a could be composed for lute or lute-harpsichord.19 The lute-
harpsichord is “a gut strung harpsichord intended to imitate the sound of lute.”20 Therefore, it
is also designated the Bach lute-harpsichord suite.
The autograph of BWV 1006a is originally written on tenor clef. To better demonstrate
and analyze this suite, I adopt a version published by Bach Gesellschaft Ausgabe,21 which
reproduces the music as preserved in Bach’s manuscript but written on a grand staff. As is well
17 Scott Workman, “J. S. Bach’s Lute Suite BWV 1006a: A Study in Transcription,” Indiana University South Bend Graduate Research Journal 1, (April 2014): 104-114. 18 Tillman Hoppstock, Johann Sebastian Bach: Das Lautenwerk und verwandte Kompositionen im urtext: für Gitarre (Darmstadt: Prim-Musikverlag, 1994): 23. 19 Johann Sebastian Bach, Sources and Historical Data of The Solo Lute Works, ed. Frank Koonce (San Diego: Kjos, 2002). 20 Edwin Ripin, “Lute-harpsichord,” in Grove Music Online (New York: Oxford University Press, 2001). https://doi-org.libproxy.library.unt.edu/10.1093/gmo/9781561592630.article.17215 21 Johann Sebastian Bach, BWV1006a, ed. Moritz Hauptmann (Leipzig: Bach-Gesellschaft Ausgabe, Breitkopf und Härtel, 1894).
6
known, the Bach Gesellschaft is “a society founded on the centenary of Bach's death (1850) to
publish a complete critical edition of his works.”22
The suite comprises six movements: 1.Prelude 2.Loure 3.Gavotte en Rondeau
4.Menuet I & II 5.Bouree 6.Gigue. The following chapter will demonstrate how Schenkerian
analysis affects interpretation and performance from selective movements of Lute Suite No.4.
2.2 Prelude
2.2.1 Analysis
To follow Schenker’s analytical strategy for explaining Bach, I will first present
background sketches of the Prelude (Example 1) from Bach Lute Suite No. 4. Schenker observes that “the background in music is represented by a contrapuntal structure which I have designated the fundamental structure.”23 A detailed examination of the organization of the bass in this movement as a whole shows that the fundamental bass progression, which is also a progression of keys, is E-C#-A-F#-B-E: the Prelude begins (mm. 1-32) with E Major, then
continuously progresses through descending thirds to C# minor (m. 33), A Major (m. 59), and
F# minor (m. 99). In other words, Bach transforms the rising second between E and F# into a
descending seventh filled in by descending thirds. Then the bass line moves to a prolonged B
(mm. 120-128) that is the dominant V of E Major, and finally back to the tonic E (m. 130) with
a coda (mm. 130-138). Therefore, as the following sketch shows, the harmonic background of the fundamental structure can be described as I-II-V-I.
22 Barbara Wiermann, “Bach Gesellschaft,” in Grove Music Online (New York: Oxford University Press, 2001). https://doi-org.libproxy.library.unt.edu/10.1093/gmo/9781561592630.article.01701 23 Heinrich Schenker, introduction to Free Composition: Volume III of New Musical Theories and Fantasies, ed. and trans. Ernst Oster (New York and London: Longman, 1979), 4.
7
Example 1: Prelude, background sketches, mm. 1-130.
As Bent and Drabkin explain, “the ‘middleground,’ which generally consists of more
than one layer, presents the work without most of its surface detail, and so brings together
structural elements that might be widely separated in the foreground.”24 A more detailed study of the motivic role of E-C#-A-F#-B-E reveals that the opening part (mm. 17-29, see Example
2) already presents this progression. The notes of the bass line move from E to C# (m. 20), A
(m. 23), F# (m. 27), and to an implied tone B, then back to E (m. 29), which is nearly identical to the large-scale structure. In summary, Bach presents the motif of descending third in the beginning and then expands it over the course of the larger structure.
Example 2: Prelude, middleground sketches, mm. 17-29.
24 Ian Bent and William Drabkin, Analysis (New York: Norton, 1987), 84.
8
A similar motivic progression is recomposed in a different key, namely in A major in the following section. As Example 3 shows, the bass progression starts from A (m. 67), which is ultimately shifted down one octave lower to A1 (m. 79). Across this passage, the bass
# articulates a descending-third arpeggiation, F (m. 70), D (m. 73), B1 (m. 77), and the implied dominant E1 (m. 78).
Example 3: Prelude, middleground sketches, mm. 67-79.
Additionally, see Example 4, the modulation of E major to C# minor can be summarized as a I5-6 exchange. As an important compositional technique, Bach expands this same 5-6 exchange in other movements as well, as we will discuss in the following chapters.
Example 4: Prelude, 5-6 exchange, mm. 1-59.
Bent and Drabkin observe that “the ‘foreground’ contains the elements of the contrapuntal design that are immediately perceptible, eliminating only ornamentation and note
9
repetition from the surface of the work.”25 By means of the foreground graph, we show that
the opening of the Prelude (mm. 1-32) can be divided into three parts: the opening idea with
repetition as Part 1 (mm. 1-17), its sequential continuation as Part 2 (mm. 17-29), and the
episode leading to C# minor as Part 3 (mm. 29-32). (See Example 5 and 6)
Example 5: Prelude, foreground sketches, mm. 1-14.
Example 6: Prelude, foreground sketches, mm. 15-33.
More in-depth analysis reveals that the opening features several motives. As Example
7 indicates below, there are three basic motives: the lower neighbor motive E-D#-E (mm. 1-2)
appears in the upper voice; the motive of arpeggiated sixteen-notes with the pedal points B (m.
3); the neighboring motive G#-A-G#-F#-E (mm. 3-4). Bach adopts them not only in the beginning, but also expands them in the larger structure.
25 Ian Bent and William Drabkin, Analysis, 84.
10
Example 7: Prelude, annotated score, mm. 1-4.
Example 8: Prelude, annotated score, mm. 117-124.
The opening lower-neighbor motive, E-D#-E, usually appears on the off-beat throughout the Prelude. A good example (Example 8) is the episode modulating from F# minor
to E major in mm. 119-122 that presents a series of statements of this motive: c#1-b-c#1 and a1-
g#1-a1 in m. 119, d#1-c#1-d#1 and a1-g#1-a1 in m. 120, b-a-b and g#1-f#1-g#1 in m. 121, c#1-b-c#1
and a#1-g#1-a#1 in m. 122. These motives are all derived from the opening motive E-D#-E—the
repeated note or the second main note normally appears on the beat that carries an accent to
emphasize the main note.
11
The motive of arpeggiated sixteen-notes combined with a pedal point usually appears within the prolongation of a single chord, sometimes embellished by neighboring notes, or sometimes simply based on the main notes of a chord, namely as broken chords. The following examples (Example 9 and 10) illustrate the two types of this motive.
Example 9: Prelude, annotated score, mm. 9-16.
Example 10: Prelude, annotated score, mm. 41-48.
As Example 9 (mm. 9-16) indicates above, the E major triad is extended by the arpeggiated sixteen-notes through some neighboring notes, such as D#, F#, A. Example 10 (mm.
12
43-48) shows a two-chord progression: the G# dominant seventh extended by the C# minor
passing six-four is primarily articulated by arpeggiated chord tones.
The neighboring motive G#-A-G#-F#-E or the melodic contour, as a common feature appears in the following parts, which also includes a modified version. As Example 9 shows
above, the neighboring motion begins with g#1-a1-g#1-f#1-e1 (mm. 9-10) and is then transposed
up a third to become b1-c#2-b1-a1-g#1 in mm. 10-11. Then, the whole procedure is repeated in
mm. 11-13.
The middleground sketches of Part 2 (review Example 2, mm. 17-29) demonstrate that
the neighboring-note motive G#-A-G#-F#-E is composed out on a large-scale. If we briefly examine the graph, the melody is g#1-a1-g#1-f#1-e1, exactly the same as the melodic contour at
the opening. It also proves that Part 2 as a sequential continuation reproduces the idea of Part
1. Similarly, reviewing the upper voice of Example 3, notice that the neighboring motive is
repeated in A major as well, transposed up a fourth c#1-d♮-c#1-b-a in mm. 67-79.
More importantly, this motive previews the structure of the upper voice in subsequent movements, especially in the third movement, Gavotte en Rondeau. Since Bach regards the suite as a cohesive unit, it should be possible to make some connections between movements in this way. We will pay closer attention to their connection and interrelationship later.
The opening of Part 3 presents an ascending third motive E-F#-E-F#-G# (a spiral-like motive) that typically appears in a sequence. As Example 11 shows below, the motive e-f#-e-
f#-g# first appears in m. 29. Then it moves up a third to g#-a-g#-a-b and a fifth to b-c#1-b-c#1-d♮1
which essentially outlines the E major triad. And the following passage (Example 12) begins
with c#-d#-c#-d#-e# and its continuation that prolongs the I#3 of C# minor. Bach employs this
13
motive extensively in the modulation from E major to C# minor. The same thing also occurs in the episode (mm. 79-92, Appendix I) that helps the music transition from A major to F# minor.
Thus, the spiral-like motive accompanied with the sequence usually implies a key-change.
Example 11: Prelude, annotated score, mm. 29-32.
Example 12: Prelude, annotated score, mm. 33-36.
14
2.2.2 Performance Guide
Heinrich Schenker believes that “each performer must find his own way to the
composer's intentions, using only the composer's actual notation, his own intuitive ear, and his
educated mind …… the best performance is that in which the amateur finds everything so clear,
so self-evident, that he believes that he, too, plays it that way.”26 To do this, we will apply
many of his performance guidelines and Schenkerian analysis to interpret how to perform
Bach’s lute music on the modern guitar.
First, as mentioned earlier, the background shows the fundamental bass progression E-
C#-A-F#-B-E, which is also a progression of keys. The performer needs to present every key-
change clearly because the fundamental structure is so important that it needs to be emphasized.
Second, the opening of the Prelude is comprised of three basic motives, namely the lower neighbor motive, the neighboring-note motive, the motive of arpeggiated sixteen-notes.
From a performance standpoint, these motives should be clearly delineated as well. It also projects musical characters through these motives and establishes important connections between the first and subsequent movements.
Besides, some musical features need to be interpreted on a case by case basis. Bach only writes a few dynamic markings in his autograph. What about the rest? “Schenker asserts
that most nuances are unwritten….these unwritten nuances are implied by a musical context.”27
Thus, to determine the dynamics where they are unnotated, we need to examine its musical
context and infer the dynamics from it.
26 William Rothstein, “Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas,” 16. 27 Ibid., 10.
15
The foreground graph, we have mentioned earlier, indicates that the Part 1 mainly sustains on the tonic and presents a feature of two-measure groupings. The two-measure repetitions can be described as a 2+2 model which usually implies contrasting dynamics.
Bach’s dynamic markings (Example 13) indicate this feature as well. As his autograph shows, m. 13-14 contain a forte, while the following repetition (m. 15-16) indicates a piano that is a contrasting dynamic with the former measures. This model appears throughout the piece. As a result, it will influence the interpretation and subsequent performance of the piece. The guitarist can use contrasting colors to further enhance the contrasting dynamics. A dry, hard, and articulated timbre can be produced close to the bridge. By contrast, a warm, sweet, and soft sound can be achieved by approaching the sound hole.
Example 13: Prelude, autograph, mm. 1-16.
Moreover, Bach applies a forte dynamic to the ascending scale in m. 7 not only because the following repetition m. 11-12 has a contrasting dynamic of piano, but also because it is
16
based on the melodic contour: playing forte or crescendo on the ascending melody. In other words, the decrescendo or piano could be used for the descending line. Therefore, the Part 1 can be interpreted as the following example shows. Some dynamics in the brackets are my interpretation grounded on Bach’s score and the musical context.
Example 14: Prelude, mm. 1-16.
The motivic model E-C#-A-F#-B-E is shown in the foreground graph (review Example
6, mm. 17-29). Although the B (the root of the dominant) does not really appear in the bass
line, we could recognize the chord in m. 28 as fulfilling the dominant function. In the other
words, the B is considered as an implied tone that plays an important role in the fundamental
structure. Therefore, the notes of bass progression E-C#-A-F#-B-E should be emphasized in
order to direct and phrase the passage properly, and articulate the harmonic progression clearly.
17
Before the implied dominant B (m. 28) returns to the tonic E (m. 29), the performer
should pay attention to the chord progression V-I. An emphasis on the tonic (m. 29) is necessary to create a strong feeling of the tonic return after the sequential continuation (mm. 17-29). Also, the opening of Part 3 presents a new motive——the spiral-like motive E-F#-E-F#-G# which is
like a bridge connecting Part 2 and Part 3.
To perform this passage properly, we could use Schenker’s rules as a reference, “a
slight retardation must be made at the beginning of any new motive……rubato is used for
motivic purposes, specifically to express what Schenker calls ‘linkage technique.’”28 As a
result, we could play rubato like the following example shows: playing the last four-sixteen notes d#1-e1-d#1-f# in m. 28 with a short ritardando and crescendo, and sustaining a little bit on
the first note e in m. 29 to give an emphasis to the new motive, then restoring the regular tempo in the following notes. Also, notice that the fingering I write here in m. 28 and 29 is different.
I adopt different fingerings: the last note f# of m. 28 by middle finger; the first note e of m. 29
by first finger. It helps the linkage of Part 2 and Part 3 as well. Furthermore, the performer
could also apply rubato to the following similar passage in A major (mm. 78-79).
Example 15: Prelude, mm. 27-29.
28 William Rothstein, “Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas,” 16.
18
After that, the episode (mm. 29-32) begins; it sustains the tonic temporarily, then shifts the key to C# minor in m. 33. It could be treated as a preparation of the key change, that consists of a three-measure sequence based on the tonic triad. Therefore, see Example 16, the main notes E, G#, and B can be highlighted especially because they appear on the beat. Other than gradually building the musical tension from the beginning to the end of Part 3 (mm. 29-
32), namely the crescendo, the performer may present the dynamic-change measure by measure based on the progression of dynamic levels from mezzo-piano, mezzo-forte, to forte.
Also, some non-chord tones, such as D♮ in mm. 31-32 can be stressed. Then, the main notes
C#, E#, and G# of the following episode (mm. 33-35) can be treated as the same way. Besides, the following transition in mm. 79-92 from A major to F# minor could use a similar performance method.
Example 16: Prelude, mm. 29-31.
The lower neighbor motive usually carries an accent on the last note. The conclusion of the Prelude demonstrates how Bach employs the lower neighbor motive effectively. In this case, the melody is going to reach the highest note E—the culmination of the whole piece. Also, the foreground graph (Example 17) implies the linear structure is , which means the second e2 of the motive in m. 130 is on the structural I that needs to be highlighted. With the featured accent on the repeated E, at such an important spot, Bach revives the lower neighbor motive E-D#-E to strike and reinforce the final tonic return, just like an echo with the very
19
beginning, that creates a magnificent effect to the end.
Example 17: Prelude, foreground sketches, mm. 129-130.
Apart from putting an emphasis on the structural I, the performer could apply rubato:
starting the ritardando and crescendo at the weak beat of m. 129, and holding the highest note e2 a bit longer in m. 130. Then, as Schenker discussed rubato in his manuscript Vom Vortrag,
“whatever is to be taken later must be given back first.”29 The following passage after the
highest note e2 in m. 130 needs to compensate for the retardation in the former measure. Thus,
the performer could lead the tempo a bit faster, and then back to the regular tempo. Also, the
guitarist could break up the octave: play the bass e ahead of the tremble e2 to reinforce the magnificent effect.
Example 18: Prelude, mm. 128-130.
29 William Rothstein, “Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas,” 15.
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2.3 Loure
2.3.1 Analysis
The title Loure “refers to a French Baroque dance in triple or sextuple time; in this case,
6/4.”30 The double bar in m. 11 implies an interruption and divides the piece into two parts
which can be identified as binary form: section A (mm. 1 with upbeat-11) and B (mm. 12 with upbeat-24).
Example 19: Loure, background graph, mm. 1-24.
The fundamental bass progression (Example 19) is from the tonic E (m. 1) to B (m. 11) before the interruption. Then the second part begins from F# (m. 15)-G# (m. 19)-A (m. 23) to
B (m. 24) which is the V of E major, and finally back to the tonic. After the interruption, the
is picked up again over the III chord in m. 20. Therefore, in the background, there is on the lower level in the A section, then in the B section. And the whole structure looks like the following scheme:
30 Scott Workman, “J. S. Bach’s Lute Suite BWV 1006a: A Study in Transcription.” Indiana University South Bend Graduate Research Journal 1, (April 2014): 104-114.
21
As the middleground graph shows, the Loure begins with the tonic that is prolonged to m. 5, f#
(the V of B major). Then the V is continued, and resolved to I at the end of section A.
Example 20: Loure, middleground graph, A section.
The following foreground graph reveals more details. Bach transfers the key from E
major to B major via a I5-6 exchange that moves from the tonic of E major to the II6 of B major.
Then the II6 goes to a prolonged V until m. 10, and resolves to the tonic of B major at the end
of A section (m. 11). (See Example 21)
Example 21: Loure, foreground graph, A section.
22
There are two major prolongations in the A section. The first prolongs the tonic of E
major from the beginning to m. 4. The bass begins with the ascending leap from e to e1, an
octave higher, then gradually steps down to the lower octave e in m. 4. (See Example 22)
Example 22: Loure, annotated score, mm. 1-9.
Another prolongation initiated in m. 6 is the V of B major. Unlike the first prolongation where the descending motion predominates in the outer voices, the second, by contrast, features ascending motion; the bass steps upward from f# to e1, then leaps back to the original note f# in
m. 8.
Based on the foreground sketch below, the B section follows this the fundamental bass
progression: (I)-II-III-IV-V-I. It starts from the V of F# minor (m. 13) resolving to its tonic (m.
14), which is extended to m. 18 by means of a I5-6 exchange. Then the prolonged local tonic of
G# minor (mm. 18-20) enters, followed by a descending-third episode (g#-f#-e) in mm. 20-22.
Finally, the music returns to the original key of E major (m. 21) to present a strong cadence
IV-V-I (mm. 23-24).
23
Example 23: Loure, foreground graph, B section.
Just like the A section, the B section contains two prolongations as well but in different
forms. The second part creates its extension only by means of the chord progression. The F#
(m. 14-18) is prolonged primarily by the inversion of the tonic I (m. 14)-I6 (m. 17)-I (m. 17), while the prolongation of G# is produced by the common chord progression I (m. 18)-II6 (m.
19)-V (m. 19)-I (m. 19), and repeated in mm. 19-20.
The meter, as we mentioned in the opening, is 6/4, with two downbeats for each measure. However, the annotated score reveals an interesting metrical feature: because the metrical emphasis falls in the middle of the measure, the tonal structure becomes syncopated
against the background meter, which is shifted against the meter. As the annotated score
indicates below (Example 24), starting from m. 13 to m. 18, the metrical dissonance always occurs on the fourth beat, namely the second accent of the duple meter. In this way, the Loure as a dance music presents a different “rhyme scheme” which will have profound effect on its performance.
Besides, the opening of Loure (Example 25) presents a series of ornaments, such as appoggiatura, trill, suspension, and mordent. To analyze the Loure, we have to mention these ornaments since more surface notes need to be emphasized than the background pitches. They
24
might be interpreted in different ways, and consequently, influence the musical style and performance.
Example 24: Loure, annotated score, mm. 10-19.
Example 25: Loure, mm. 1-4.
As a melodic ornament, an appoggiatura [or suspension] “usually implies a note one step above or below the ‘main’ note. It usually creates a dissonance with the prevailing harmony, and resolves by step on the following weak beat.”31 As the opening three measures show above, the appoggiatura or the suspension mainly appears on the downbeat (either beat 1 or beat 4) with a dotted quarter-note, followed by an eighth-note and a quarter-note (mm.
31 Anonymous, “Appoggiatura,” in Grove music online (New York: Oxford University Press, 2001). https://doi- org.libproxy.library.unt.edu/10.1093/gmo/9781561592630.article.01118
25
1-3). Jaap Schröder says that the Loure is played with a heavy pace.32 By applying these
ornaments to the strong beat, Bach reinforces a strong triplet-time feeling of the Loure.
Example 26 (mm. 6-7) shows a different type of appoggiatura that Bach has written as
full quarter-notes, followed by a dotted eighth-note with slur instead of notating the
grace notes with small eighth-notes. In this way, there is no danger of their being played too
quickly.33 The appoggiatura also serves as an accent on the downbeat before the slur to the weak beat that indicates a “sigh” figure. These two types of appoggiatura are featured throughout the Loure.
Example 26: Loure, mm. 5-7.
2.3.2 Performance Guide
Wendy Hilton describes that the style of Loure as “a unique blend of gently expressed nobility, tenderness, and tranquility.”34 Unlike the Prelude, which represents the solo virtuoso
Italian sonata/concerto style, the Loure has been described as the highly articulate and
rhythmically profiled French dance style.35
32 Jaap Schröder, Bach’s Solo Violin Works: A Performer’s Guide (New Haven and London: Yale University Press, 2007), 171. 33 David Ledbetter, Unaccompanied Bach: Performing the Solo Works (New Haven and London: Yale University Press, 2009), 169. 34 Wendy Hillton, Dance and Music of Court and Theater (Stuyvesant NY: Pendragon Press, 1997). 35 David Ledbetter, Unaccompanied Bach: Performing the Solo Works.170.
26
According to the Schenkerian graph, the fundamental bass progression E (m. 1)-B (m.
11) || F# (m. 15)-G# (m. 19)-A (m. 23)-B (m. 24)-E (m. 24) should be highlighted which could
assist the listener to hear every key-change and fundamental structure of Loure. To achieve this
goal, we could apply multiple methods on the guitar.
After the opening b1-e1 melodic progression, see Example 27, the first appearance of
the fundamental bass E in m. 1 needs to be articulated to support its tonic function. Then the E
was picked up again in one octave lower (m. 4) over a scale-like tonic prolongation. A useful
method to emphasize the E (m. 4) on the sixth string is slightly breaking up the interval—
playing the bass E first, and the dissonance melody a next—instead of plucking simultaneously.
Example 27: Loure, mm. 1-4.
The following F# (V of B major, Example 28) is prolonged until the end of A section that creates a V-I cadence in B major. The tonic b as a lower level can be naturally accented
by its suspension in m. 11, along with an arpeggio fingerpicking and a retardation.
Example 28: Loure, mm. 10-11.
The B section starts with F#, G#, and their prolongations respectively that both end with
an embellished cadence. If the performer clearly presents the cadence with ritardando and adds
27
a planted ascending arpeggio on the last bar chord, see Example 29, the fundamental bass F#
and G# will be sufficiently stressed. A planted ascending arpeggio refers to a performance
method on the guitar: prepare all the right-hand fingers on the strings, then pluck the notes sequentially from the bass to tremble and let the strings ring which sounds like an arpeggio. It is a very common method on the guitar that is usually applied to the ending chord of a phrase, which creates a mildly-accented effect.
Example 29: Loure, m. 15 and m. 20.
Finally, the bass progression moves to A (m. 23)-B (m. 24)-E (m. 24) which represents the final cadence IV-V-I. Different from former parts, the real ending can be given more space to express itself through ritardando and rubato. The V in m. 24 needs to pay extra attention
not only because it is the structural V in the ending, but also there is a suspension—a dissonance
(e1) on the downbeat, followed by a resolution (d#1) with a trill. As Example 30 shows, the
performer could add a rubato: accelerando from the weak beat of m. 23 to the next downbeat,
the suspension, then ritardando till the end.
Example 30: Loure, mm. 22-24.
28
Additionally, just like the prolonged E in mm. 1-4, the major prolongations should be
treated carefully. As Example 31 shows below, the F# (V of B major) is prolonged from m. 6 to m. 8 follows the stepwise motion. A helpful performance method is to add a little bit accelerando and crescendo on the sequence-like passage that helps to shape the prolongation of F# more consistently.
Example 31: Loure, mm. 5-8.
As David Ledbetter mentioned, the Loure is “a type of slow gigue.”36 Since the Loure
is 6/4, twice the meter of the Gigue, each bar has two downbeats. At the same time, an important
question must be posed: which one is stronger? The first or second? Jaap Schröder gives an answer: in light of the harmonic structure, I am inclined to consider the second beat the stronger one (note that both halves end on the half-bar). 37 Typically, the major harmonic-change emerges in the second downbeat. However, the performer cannot simply assume that all the second downbeats are louder than the first. For example, the opening three measures are continuously moving to the next bar so that the second beat will not be emphasized as much as in the following passage. Thus, the stronger beat is determined by the musical context, but mostly falls on the second half of the measure.
A lot of ornaments appear in the Loure (review Example 27), such as the trill,
36 David Ledbetter, Unaccompanied Bach: Performing the Solo Works,169. 37 Jaap Schröder, Bach’s Solo Violin Works: A Performer’s Guide, 171.
29
appoggiatura, suspension, retardation, and mordent. As Schenker says “the dissonance always must be emphasized; the resolution always must be in the shade.”38 The appoggiatura or
suspension often brings a dissonance on the downbeat “with the prevailing harmony, and resolves by step on the following weak beat,”39 which creates an accent on the downbeat and
a diminuendo to the resolution.
The small eighth-note grace was added to a dotted quarter-note that implies it belongs
to a long appoggiatura, which means it takes up to two-thirds of the dotted quarter-note other
than a half. In this case, the dissonance assumes the duration of a quarter-note and followed by
a resolution with an eighth-note. Example 32 shows the interpretation of the appoggiatura,
suspension, and dynamic change in mm. 3-4.
Example 32: Loure, mm. 3-4.
An age-old rule, dawn upon by Bach, states that the trill should always begin “on the
tone above the principal note.”40 And sometimes a small upper grace note is added to the trill
in the Loure (Example 33, m. 3) that indicates the trill should start from the upper note.
38 Heinrich Schenker, The Art of Performance, 49. 39 Anonymous, “Appoggiatura,” in Grove music online (New York: Oxford University Press, 2001). https://doi- org.libproxy.library.unt.edu/10.1093/gmo/9781561592630.article.01118 40 Heinrich Schenker, “A Contribution to the Study of Ornamentation,” ed. Felix Salzer, trans. Hedi Siegel, The Music Forum, Vol. IV (New York: Columbia University Press, 1976): 71-85.
30
Example 33: Loure, mm. 1-3.
The guitarist often adopts a series of slurs, including the combination of pull off and
hammering (left-hand techniques), to present the trill because it is not only a traditional
performance way of plucking the instrument but a very characteristically guitaristic style. The color of the slur is quite different with the plucked tone producing a lute-like sound. In recent decades, more and more guitar performers prefer to use cross-string (two strings) plucking to play a trill instead of a slur. It is true that it sounds more clearly and expressive than the slur.
However, in my opinion, this method can be mainly applied on the transcribed Baroque keyboard suite since it is more likely to achieve a keyboard sound rather than a lute or a guitar.
For this piece, we shall obey our traditions of the slur to play the trill.
2.4 Gavotte en Rondeau
2.4.1 Analysis
The name, Gavotte en Rondeau, implies that its musical form is a rondo. The key follows that of the previous movements, the Prelude and Loure in E major. If we briefly examine the whole piece, four couplets and their keys can be identified: couplet 1 (mm. 9-24) in C# minor, couplet 2 (mm. 25-40) in B major, couplet 3 (mm. 49-64) in F# minor, and couplet
4 (mm. 73-92) in G# minor. The rest of the music is provided by the ritornello which appears
five times.
31
Example 34: Gavotte en Rondeau, background sketches, mm. 1-100.
As the background graph presented above, there is a fundamental interruption in m. 40
before the second return (ritornello 3) enters, which divides the Gavotte into two major parts:
Part 1 (mm. 1 with upbeat-40, ends on the half cadence V of E major before the third return) and Part 2 (mm. 40 with upbeat-end, starts at the third return). Therefore, the fundamental structure is . And the overall tonal structure looks like the followings:
However, this tonal scheme for Part 2 is unconvincing since it seems to be lacking direction
To arrive at a more compelling interpretation, we need to analyze the piece layer by layer.
The opening eight-measures theme (Example 35) can be divided into two-four
measures: m. 1 with upbeat to m. 4, and m. 5 with upbeat to m. 8. The linkage technique that
Bach employs in m. 4 is continuous eight-notes which integrates the two halves of the theme
into a single cohesive unit. The rhythmic change starts from the end of m. 2, passing over the
32
V7-I progression (m. 3-4), till m. 6 the half cadence. After that, the rhythm returns to quarter-
notes similar to the first two measures, which creates an ABA form, superposed on the duple
phrase (two-four measures) setting of the theme.
Example 35: Gavotte en Rondeau, mm. 1-8.
A deeper examination reveals that the theme of the Gavotte consists of several motives.
As the following middleground graph shows (Example 36), there are three noticeable motives:
the melodic contour G#-A-G#-F#-E, the inner voice motion B-C#-D#-E, and the bass motion E-
A or E-A-B-E.
Example 36: Gavotte en Rondeau, middleground sketches, mm. 1-8.
The melodic contour G#-A-G#-F#-E of the upper voice is a neighboring motion which
appeared in the first movement Prelude as well. The melody starts from the third, g#1 of E major
to its upper neighbor a1, then descends back to the third g#1, and continuously steps down to
the lower neighbor f#1 and the tonic e1. A similar melodic pattern occurs in the second and third couplet that Bach transposes from the key of E major to B major (mm. 36-40) d#1-e1-d#1-c#1-b,
and to F# minor (mm. 53-64) a1-b1-a1-g#1-f#1. (See Example 37)
33
Example 37: Gavotte en Rondeau, middleground sketches, mm. 36-40 and mm. 53-64.
As the middleground graph indicates in Example 36 above, the opening (mm. 1-4)
presents an inner voice rising-fourth motion b-c#1-d#1-e1 that reappears twice again in the
following four measures (m. 5-8). It is usually associated with the harmonic progression I-II6-
V-I or I-IV-V-I, which is an important feature of the Gavotte. This important motive functions
just like ostinato throughout the Gavotte—not only appearing in the inner voice of the following returns but also emerging in the bottom voice of couplets. (See Example 38)
Example 38: Gavotte en Rondeau, mm. 80-82.
Besides, Bach adopts the initial rising-fourth E-A of the bass broadly in this movement, which frequently occurs in the couplets. Example 39 shows the E-A motion at the beginning of each couplet. The first bass note E of couplets 1 and 4 goes to A directly, while the couplets
2 and 3 present the fourth progression filled in with two passing notes F# and G#.
34
Example 39: Gavotte en Rondeau, beginning of each couplet.
This motive E-A (or E-F#-G#-A) is also prefigured in a larger structure, which also
serves as a key to a better reading in place of the “unconvincing tonal structure” I proposed at the beginning of this chapter. The fundamental bass progression of the last five sections (Part
2) before the final tonal return seems like E (m. 40)-F# (m. 53)-E (m. 64)-G# (m. 92)-A (m. 93).
6 The fourth ritornello (m. 64), however, begins with a modified opening on an applied I -the
first inversion of tonic-instead of the root-position. Although there are not too many distinctions
from the theme and other returns, it demands a different interpretation with profound
significance for the tonal structure. For one thing, as Example 40 shows, the thematic return
starts at the beginning of fourth ritornello (m. 64) while the harmonic return occurs later in the
fourth measure of this section (m. 68) due to the use of g#, the bass of the I6 in m. 64, as a
passing note between f# (m. 64 beat 1) and a (m. 65). In previous sections, by contrast, the harmonic return and thematic return all occur simultaneously.
35
Example 40: Gavotte en Rondeau, the foreground graph, mm. 64-68.
For another thing, as one of most influential Schenkerian analysts - Carl Schachter -
comments on the Gavotte, “Bach fuses together the beginning of the ritornello and the end of
the preceding couplet. We can now begin to see that Bach welds the last five sections of the
Gavotte, like the first five, into a larger group. Connections between two episodes can be so
strong and so far-reaching that an intervening ritornello can appear as if in parentheses.”41 In
other words, within the larger structure, Bach combines the last five sections (Example 41) into
a cohesive unit by weakening the function of tonal return at the beginning of the fourth ritornello, which strengthens the direction of the stepwise ascent from E (m. 40) F# (m. 53) G#
(m. 92) to A (m. 93) rather than E-F#-E-G#-A. And this E-A motion replicates the very first bass motion of the whole piece that we have discussed earlier. In this way, the initial E-A motion prefigures the larger structure spanning the second return (mm. 41 with upbeat-48), over the third return (mm. 65 with upbeat-72), to the last section in m. 93 with upbeat. Then, the A proceeds to the dominant B (m. 94), and finally resolves to the tonic E.
41 Carl Schachter, “The Gavotte en Rondeaux from J. S. Bach’s Partita in E Major for Unaccompanied Violin,” Israel Studies in Musicology 4 (1987): 7-26.
36
Example 41: Gavotte en Rondeau, background graph of Part 2, mm. 40-100.
The last return is a restatement of ritornello but with new musical context. Although all
the notes are same as the former returns (except the third return), they embody a different
meaning in its function. As the sketch (Example 42) shows, the bass progression goes from G#
to a (mm. 92-93) over the e, to b (mm. 94-95), and to E, instead of regaining the tonic E directly
at the beginning of the final return. In this way, couplet 4 and the final return are fused through a 5-6 exchange (III5-6) and stepwise progression which delays the tonal return and reinforces the final tonic E at the end of the piece.
Example 42: Gavotte en Rondeau, foreground graph, mm. 92-100.
37
2.4.2 Performance Guide
First, the several important motives that appear in the Gavotte, such as E-A-B-E, E-A,
G#-A-G#-F#-E, and B-C#-D#-E, should be clearly presented throughout the piece. Particularly,
the last one, B-C#-D#-E, is usually hidden behind in the chordal progression. The performer
needs to pay close attention concerning how to clarify the motives within a cloud of notes.
Example 43: Gavotte en Rondeau, foreground graph, mm. 1-8.
Example 43 shows the inner voice motion B-C#-D#-E projects three times within the opening theme. The first appearance is from the very first note b in the upper voice, through c#1 (the fifth of II6) in m. 2, d#1 (the third of V7) in m. 3 and its prolongation in the next measure,
to the e1 in the upper voice in m. 4. Unlike the bowed-instrument, the plucked-instrument cannot sustain a note for that long. Also, in an artistic way, we cannot let the notes ring from one to another since the Baroque suite is dance music, which has its own rhyme and pause. A
possible solution is to keep the same right-hand fingering, I propose using the i finger, to play
b-c#1-d#1 on the second string, and articulate the last note d#1 in m. 3 as well so that the unified
38
color and fingering makes the melody easily heard. Then the e1 in m. 4 could be performed on
the first open string by m finger because the whole measure is based on E major chord, and the
note on the open string sustains longer than it on the closed string thereby improving the prolongation of E. The second occurrence of the motive (mm. 5 with upbeat-6) could be played in the same way.
The third appearance of the motive in mm. 6-8 (Example 44), however, is tricky since its technical constriction requires a special left-hand fingering to attain the musical goal. It is like a reduced recapitulation that fuses the two motives B-C#-D#-E and E-A-B-E into four chords. If we simply use a half bar to hold c#1 in m. 7, the connection between c#1 and d#1 will
be lost since we have to press a full bar after the c#1 requiring another transition of the hand. A
better way to achieve the hand-shifting is by using a hinge bar (the root of index finger) to hold
the second string c#1 and the first string f#1 on the second bar together—the fingertip is slightly
lifted up to allow the bass A to ring on the fifth open string. Then, pressing down the whole
index finger to hold the bass b of next chord, which is well-connected to the inner voice c#1 to
d#1 as well as the bass line A to B.
Example 44: Gavotte en Rondeau, mm. 6-8.
Example 45: Gavotte en Rondeau, the melodic contour, mm. 1-8.
39
William Rothstein notes that, “On the subject of neighboring motions, there is a general principle evident from Schenker's markings that upper neighbors are very often dynamically highlighted; i.e., they are either accented or followed by a diminuendo.” 42 According to
Schenker’s perspectives, the melodic contour G#-A-G#-F#-E (Example 45) should be
performed in this way: adding an accent on the upper neighbor A, and followed by a
diminuendo on the descending motion G#-F#-E.
Example 46: Gavotte en Rondeau, mm. 74-76.
Sometimes the bass motive shows a modified version. For example, the E-A motion is transformed to become E-F#-G#-A in mm. 74-76 (Example 46) whereby two passing notes F#
and G# fill in the line between E and A. To shape the bass progression E-F#-G#-A clearly in a musical way, as the dynamic marks show in the example, the performer could stress the first
note e by holding onto it a bit longer, and then return to the regular tempo with crescendo.
After the g# in the bass, slowing down the tempo gives more emphasis to the last bass note a.
The top voice g#1 of the II6 chord in m. 76 beat 1 is a suspension from last measure, namely the
non-chord tone that needs to be accented as well. Then, the melody resolves to f#1 along with
diminuendo that reflects the dissonance-resolution harmonic progression.
42 William Rothstein, “Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas,” 3-28.
40
Example 47: Gavotte en Rondeau, Part 2, mm. 40-100.
The fundamental bass progression of Part 2 (mm. 40-100) is the same stepwise motion
E-F#-G#-A but expanded to a large scale (Example 47). The F# in the third couplet is prolonged
from m. 53 to m. 64. When it first appears in m. 53 beat 1 (Example 48), the performer could
add crescendo at the V7 of F# minor (m. 52), and take a pause on the tonic in m. 53 which will
emphasize the F# and bring a strong feeling of key-change.
Example 48: Gavotte en Rondeau, mm. 52-53.
The similar dynamic pattern could be applied to another cadence in F# minor in the
following passage (Example 49, mm. 62-64) but in a greater range. The accent on the leading
tone e# (m. 62) and the following ritardando (m. 63) could stress to the V-I cadence of F# minor well. As a result, the F# is kept alive through couplet 3.
41
Example 49: Gavotte en Rondeau, mm. 61-64.
The third return that we have analyzed earlier needs to be presented properly since it is
an interpolated tonic E between F# (third couplet) and G# (fourth couplet). Unlike other ritornellos, which project a strong feeling of return by means of a dynamic contrasting with that of the couplets, see Example 50, the beginning of the ritornello here (m. 64) should be
played much quieter than it was in the former returns: after the ending chord of couplet 3 in m.
64 beat 1, the performer could continue through the following ritornello without any pause
until the V7 in m. 66. The slur in m. 64 indicates the bass connection between the f# and a over
g#. Also, the upper voice a1 of V7 in m. 66 needs to be articulated since it functions as the upper neighbor in the melodic contour G#-A-G#-F#-E that usually carries an accent. Then the
crescendo can be applied to the V7 and its continuation in m. 67. The performer could give an
emphasis to the tonic E in m. 68, namely the delayed harmonic return.
Example 50: Gavotte en Rondeau, mm. 64-68.
42
Also, as Example 51 shows, the opening of couplet 4 (m. 73 with upbeat) should correspondingly be performed energetically so that the F# and its prolongation (mm. 53-65) will be well-associated with the move to G# (mm. 80-90) in the fourth ritornello within larger
structure. In this way, the connection of the fundamental bass progression F#-G# can be reinforced by weakening the function of the tonal return at the beginning of the fourth ritornello, and strengthening the function of the following couplet in G# minor.
Example 51: Gavotte en Rondeau, mm. 72-74.
Based on the following middleground graph of the fourth couplet, Bach prolongs the dominant of G# minor from m. 80 to m. 90 instead of moving to the tonic directly. An insertion
(mm. 82-89) mainly based on E and D# that postpones the cadence serves as a tension-creating element. The performer could keep the volume down at the static-like beginning (mm. 82-85),
then adding a long crescendo from m. 86 to the highest note c#2—the culmination of the
Gavotte in m. 90, and finally falling to the tonic G# (m. 92) with a short diminuendo. As a
guitarist, one could present the prolonged V7 (mm. 86-90) by holding the fingering of D#
seventh chord until next hand-shift so that the chord will keep ringing and clearly delineate the
descending bass line moving from a# (m. 86) to fx (m. 87) over g#, to d# (m. 88) over e♮. The
layer-upon-layer (ringing chords) performing method also helps the expression of crescendo
from m. 86 to the culmination.
43
Example 52: Gavotte en Rondeau, middleground graph, mm. 80-92.
Since it delays the tonal return at the beginning of ritornello 5, the final return, the player could adopt the similar method just as we have discussed in the third return—remain soft at the opening and connect the bass progression (mm. 92-94, G#-A-B) well until the V7, then emphasize the final tonic return in the fourth measure (m. 96). (See Example 53)
Example 53: Gavotte en Rondeau, annotated score, mm. 87-100.
2.5 Summary
As stated above, we can now summarize their similarities and differences of the three
44
movements.
As the following background graphs show (Example 54-56), all three movements contain three linear progressions in E major . The fundamental structure follows the harmonic plan I-II-V-I or I-IV-V-I. If we compare the three graphs more carefully, the third movement Gavotte en Rondeau inherits the fundamental structure of the Loure. The bass of
Part 1 progresses from E to B before the interruption. Then, in the second part, the bass ascends chromatically from E#, F#, Fx, G# to A that functions as the predominant of E major. Then, the final cadence V-I appears so that the bass attains B and resolves to E.
Example 54: Prelude, background graph, mm.1-130.
Example 55: Loure, background graph, mm. 1-24.
45
Example 56: Gavotte en Rondeau, background graph, mm. 1-100.
Additionally, the Loure and Gavotte both feature the technique of the I5-6 exchange.
Although it does not really show up in the Prelude, as the Example 57 indicates, we could
recognize the I5-6 exchange B-C# is incorporated into the modulation from E major to C# minor
as fulfilling 5-6. Therefore, Bach adopts this compositional technique consistently from the
Prelude to the Gavotte.
Example 57: Prelude, 5-6 exchange, mm. 1-33.
More detailed inspection of the middleground graphs (Example 58 and 59) shows that
the neighboring motive of the Gavotte G#-A-G#-F#-E is originally borrowed from Prelude. The very beginning of the Prelude presents this melodic contour and applies it across the whole piece. Then, Bach reemploys it in the Gavotte so that it mainly appears in the upper voice of the theme and its returns.
46
Example 58: Prelude, middleground graph, mm. 1-4.
Example 59: Gavotte en Rondeau, middleground graph, mm. 1-8.
As discussed, the performer could apply different methods to express the similarities and differences between nuances within these movements, all of which can be brought out through color, fingering, articulation, slurs, rubato, legato, ritardando, accelerando, and different levels of dynamics.
47 CHAPTER 3
CONCLUSION
This study demonstrates the benefits of Schenkerian analysis for interpreting Bach’s
lute music on the guitar, more specifically by enabling the player to comprehend the forces that
create musical coherence, which are reinforced by other parameters such as phrasing and
dynamics.43 In the different levels of a Schenkerian graph, we can observe these “musical forces” creating lines in motion;44 this kind of graphic representation allows the performer to
better understand the larger musical direction and contour. In turn, this comprehension can
enhance guitar performance and assist with memorization of Bach’s music. “With reference to
harmony, rhythm, phrase structure, and form, the foreground and middleground levels provide
the performer with different types of harmonic and rhythmic information.”45 Furthermore, by highlighting certain notes, Schenkerian notation itself thereby enables the performer to identify lines beneath the musical surface that lend certain passages coherence. This is one important reason why the Schenkerian approach to analysis can be very helpful for guitar performance.
43 Yanjie Wang, “How to Apply the Schenkerian Method to the Performance and Teaching of Chopin’s Piano Music,” abstract (master’s thesis, University of Oregon, 2018), 2. 44 Ibid. 45 Ibid.
48 APPENDIX
ANNOTATED SCORE AND GRAPH (BWV1006A)
49 Prelude
Annotated Score
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FOR 50 ONLY
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FOR 53 ONLY
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FOR 56 FOR REVIEW57 ONLY FOR REVIEW58 ONLY ONLY
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FOR 78 Loure
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FOR 81 Graph
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FOR 83 Gavotte en Rondeau Annotated Score
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FOR 99
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