Copyright by Matthew Robert Dunne 2002

The Treatise Committee for Matthew Robert Dunne certifies that this is the approved version of the following treatise:

Nine Jazz Etudes for Classical Guitar

Committee:

Jeffrey Hellmer, Co-Supervisor Adam Holzman, Co-Supervisor James Balentine Robert Duke Richard Lawn

Nine Jazz Etudes for Classical Guitar

by Matthew Robert Dunne, B.M, M.M.

Treatise
Presented to the Faculty of the Graduate School of The University of Texas at Austin in Partial Fulfillment of the Requirements for the Degree of

Doctor of Musical Arts

The University of Texas at Austin May 2002

UMI Number: 3075614

________________________________________________________
UMI Microform 3075614 Copyright 2003 by ProQuest Information and Learning Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. ____________________________________________________________ ProQuest Information and Learning Company 300 North Zeeb Road PO Box 1346 Ann Arbor, MI 48106-1346

Acknowledgements

I would like to thank several people have been of particular assistance with this document. Tallon Perkes, Principal Flute with the San Antonio Symphony, first suggested to me that I compose guitar etudes. Dr. James Balentine, Associate Professor of Music at the University of Texas at San Antonio, suggested to me that I focus on stylistic etudes, rather than purely pedagogical. Guitarist Mary Akerman performed some of these etudes as I was composing the set, and offered advice and encouragement during the compositional process. Sergio Assad kindly evaluated Etude 8 and offered me much encouragement. My student Jake Owen assisted me with typesetting the etudes in Finale. Jeffrey Hellmer, Academic Cosupervisor of my committee, gave me detailed guidance and assistance in the writing of the accompanying discussion. To these people, and all the members of my committee, I offer sincere thanks for their assistance.

iv

Nine Jazz Etudes for Classical Guitar

Publication No. ________

Matthew Robert Dunne, D.M.A. The University of Texas at Austin, 2002

Supervisors: Jeffrey Hellmer and Adam Holzman

This treatise presents a set of nine concert etudes for classical guitar in several historical styles of jazz. Written for the classical guitarist, the etudes incorporate stylistic elements of jazz without exploring the process of improvisation. The treatise also includes a discussion of the musical content and stylistic background of each etude, as well as a preliminary discussion of jazz influence in twentieth century classical guitar composition, and some discussion of the acoustic guitars role in the development of jazz. The value of these etudes, and their singular position in the guitar repertoire, will be demonstrated through discussion of some of the most famous examples of classical guitar composers attempts at the use of jazz elements in their works, an examination of relevant concert etudes in the guitar repertoire, and extensive analytical discussion of the etudes themselves. v

Table of Contents
List of Examples....................................................................................................vii Chapter 1: Introduction............................................................................................1 Chapter 2: Nine Jazz Etudes for Classical Guitar..................................................22 Chapter 3: Analysis of Etudes 1-3.........................................................................72 Etude 1..........................................................................................................73 Etude 2..........................................................................................................81 Etude 3..........................................................................................................88 Chapter 4: Analysis of Etudes 4-6.........................................................................94 Etude 4..........................................................................................................95 Etude 5........................................................................................................103 Etude 6........................................................................................................112 Chapter 5: Analysis of Etudes 7-9.......................................................................126 Etude 7........................................................................................................128 Etude 8........................................................................................................135 Etude 9........................................................................................................143 Appendix..............................................................................................................155 Bibliography ........................................................................................................157 Vita ....................................................................................................................160

vi

List of Examples

Example 3.1: Etude 1, formal diagram..................................................................74 Example 3.2: Etude 1, mm. 1-2 .............................................................................74 Example 3.3: Etude 1, mm. 3-4 .............................................................................74 Example 3.4: Etude 1, harmonic diagram for mm.1-16 ........................................75 Example 3.5: Etude 1, harmonic diagram for mm. 17-32 .....................................76 Example 3.6: Etude 1, mm. 17-18 .........................................................................77 Example 3.7: Etude 1, mm. 49-50 .........................................................................78 Example 3.8: Etude 1, harmonic diagram for mm. 49-64 .....................................79 Example 3.9: Etude 1, mm. 61-64 .........................................................................79 Example 3.10: Etude 1, mm. 65-68 .......................................................................80 Example 3.11: Etude 1, harmonic diagram for mm. 65-82 ...................................80 Example 3.12: Etude 1, mm. 73-76 .......................................................................80 Example 3.13: Etude 2, formal diagram for mm. 1-23..........................................82 Example 3.14: Etude 2, mm. 10-12 .......................................................................82 Example 3.15: Etude 2, mm. 15-18 .......................................................................83 Example 3.16: Etude 2, formal diagram................................................................83 Example 3.17: Etude 2, harmonic diagram for mm. 25-74 ..................................84 Example 3.18: Etude 2, mm. 25-29 .......................................................................85 Example 3.19: Etude 2, mm. 33-35 .......................................................................85 Example 3.20: Etude 2, mm. 71-74 .......................................................................86 Example 3.21: Etude 2, mm. 2-3 ...........................................................................86 vii

Example 3.22: Etude 2, mm. 39-42 .......................................................................86 Example 3.23: Etude 2, mm. 59-61 .......................................................................87 Example 3.24: Etude 2, mm. 25-28 .......................................................................88 Example 3.25: Etude 3, formal diagram................................................................89 Example 3.26: Etude 3, harmonic diagram for mm. 1-8 .......................................90 Example 3.27: Etude 3, mm. 4-6 ...........................................................................90 Example 3.28: Etude 3, harmonic diagram for mm. 33-40 ...................................91 Example 3.29: Etude 3, mm. 45-48 .......................................................................92 Example 4.1: Etude 4, formal diagram.................................................................96 Example 4.2: Etude 4, harmonic diagram for mm. 1-16 ......................................97 Example 4.3: Etude 4, harmonic diagram for mm. 17-32 ....................................97 Example 4.4: Etude 4, mm. 9-12 ..........................................................................98 Example 4.5: Etude 4, harmonic diagram for mm. 35-50 ....................................99 Example 4.6: Etude 4, mm. 45-48 ........................................................................99 Example 4.7: Etude 4, harmonic diagram for mm. 51-82 ...................................100 Example 4.8: Etude 4, mm. 63-66 ......................................................................100 Example 4.9: Etude 4, mm. 71-74 ......................................................................101 Example 4.10: Etude 4, mm. 1-2 ........................................................................101 Example 4.11: Etude 4, mm. 1-2 ........................................................................102 Example 4.12: Etude 4, mm. 51-52 ....................................................................103 Example 4.13: Etude 5, formal diagram.............................................................104 Example 4.14: Etude 5, harmonic diagram ........................................................104 Example 4.15: Etude 5, mm. 1-6 ........................................................................105 Example 4.16: Etude 5, mm. 7-12 ......................................................................105 viii

Example 4.17: Etude 5, mm. 19-24 ....................................................................106 Example 4.18: Etude 5, harmonic diagram for mm. 33-40 ................................106 Example 4.19: Etude 5, mm. 65-68 ....................................................................107 Example 4.20: Etude 5, mm. 69-72 ....................................................................107 Example 4.21: Etude 5, mm. 73-76 ....................................................................108 Example 4.22: Etude 5, mm. 77-81 ....................................................................108 Example 4.23: Etude 5, harmonic diagram for mm. 81-109 ..............................109 Example 4.24: Etude 5, mm. 86-88 ....................................................................109 Example 4.25: Etude 5, mm. 90-92 ....................................................................110 Example 4.26: Etude 5, mm. 100-104 ................................................................110 Example 4.27: Etude 5, mm. 106-109 ................................................................110 Example 4. 28: Etude 5, harmonic diagram for coda .........................................111 Example 4.29: Etude 5, mm. 112-115 ................................................................111 Example 4.30: Etude 5, mm. 57-60 ....................................................................111 Example 4.31: Etude 5, mm. 77-81 ....................................................................112 Example 4.32: harmonic diagram for blues.........................................................113 Example 4.33: blues scale....................................................................................114 Example 4.34: Etude 6, harmonic diagram for mm. 1-12 ..................................115 Example 4.35: Etude 6, m. 1...............................................................................115 Example 4.36: Etude 6, mm. 1-4 ........................................................................115 Example 4.37: Etude 6, mm. 14-15 ....................................................................116 Example 4.38: Etude 6, mm. 19-20 ....................................................................117 Example 4.39: Etude 6, mm. 21-24 ....................................................................117 Example 4.40: Etude 6, mm. 25-26 ....................................................................118 ix

Example 4.41: Etude 6, mm. 27-28 ....................................................................119 Example 4.42: Etude 6, mm. 33-34 ....................................................................119 Example 4.43: Etude 6, harmonic diagram for mm. 37-48 ................................120 Example 4.44: Etude 6, mm. 37-39 ....................................................................121 Example 4.45: Etude 6, mm. 43-45 ....................................................................122 Example 4.46: Etude 6, harmonic diagram for mm. 49-60 ................................123 Example 4.47: Etude 6, mm. 49-51 ....................................................................124 Example 4.48: Etude 6, mm. 4-5 ........................................................................125 Example 5.1: Etude 7, formal diagram...............................................................128 Example 5.2: Etude 7, mm. 9-12 ........................................................................129 Example 5.3: Etude 7, mm. 14-17 ......................................................................130 Example 5.4: Etude 7, harmonic diagram for mm. 18-49 ..................................130 Example 5.5: Etude 7, mm. 19-22 ......................................................................130 Example 5.6: Etude 7, mm. 26-29 ......................................................................131 Example 5.7: Etude 7, mm. 48-49 ......................................................................131 Example 5.8: Etude 7, mm. 50-53 ......................................................................132 Example 5.9: Etude 7, mm. 70-73 ......................................................................132 Example 5.10: Etude 7, mm. 82-85 ....................................................................133 Example 5.11: Etude 7, mm. 94-97 ....................................................................133 Example 5.12: Etude 7, mm. 99-102 ..................................................................133 Example 5.13: Etude 7, mm. 1-3 ........................................................................134 Example 5.14: Etude 7, mm. 50-53 ....................................................................135 Example 5.15: Etude 8, formal diagram.............................................................136 Example 5.16: Etude 8, harmonic diagram for mm. 5-27 ..................................137 x

Example 5.17: Etude 8, mm. 11-14 ....................................................................138 Example 5.18: Etude 8, harmonic diagram for mm. 28-43 ................................138 Example 5.19: Etude 8, mm. 40-43 ....................................................................139 Example 5.20: Etude 8, mm. 30-31 ....................................................................139 Example 5.21: Etude 8, harmonic diagram for mm. 48-63 ................................140 Example 5.22: Etude 8, mm. 50-52 ....................................................................141 Example 5.23: Etude 8, mm. 56-59 ....................................................................141 Example 5.24: Etude 8, mm. 60-63 ....................................................................142 Example 5.25: Etude 9, formal diagram for introduction...................................144 Example 5.26: Etude 9, formal diagram for mm. 58-142...................................144 Example 5.27: Etude 9, mm. 1-7 ........................................................................145 Example 5.28: Etude 9, mm. 16-22 ....................................................................146 Example 5.29: Etude 9, mm. 23-24 ....................................................................146 Example 5.30: Etude 9, mm. 32-34 ....................................................................147 Example 5.31: Etude 9, mm. 35-38 ....................................................................147 Example 5.32: Etude 9, mm. 39-42 ....................................................................148 Example 5.33: Etude 9, mm. 51-57 ....................................................................149 Example 5.34: Etude 9, harmonic diagram for mm. 62-77 ................................149 Example 5.35: Etude 9, mm 62-65 .....................................................................149 Example 5.36: Etude 9, harmonic diagram for mm. 80-91 ................................150 Example 5.37: Etude 9, mm. 82-85 ....................................................................150 Example 5.38: Etude 9, mm. 91-94 ....................................................................151 Example 5.39: Etude 9, mm. 119-121 ................................................................152 Example 5.40: Etude 9, mm. 139-142 ................................................................152 xi

Example 5.41: Etude 9, mm. 100-105 .................................................................153 Example 5.42: Etude 9, mm. 115-120 .................................................................153 Example 5.43: Etude 9, mm. 139-142 ................................................................154

xii

Chapter 1: Introduction

This treatise presents a set of nine concert etudes for classical guitar in several historical styles of jazz. Written for the classical guitarist, the etudes incorporate stylistic elements of jazz without exploring the process of improvisation. The treatise also includes a discussion of the musical content and stylistic background of each etude, as well as a preliminary discussion of jazz influence in twentieth century classical guitar composition, and some discussion of the acoustic guitars role in the development of jazz. The value of these etudes, and their singular position in the guitar repertoire, will be demonstrated through discussion of some of the most famous examples of classical guitar composers attempts at the use of jazz elements in their works, an examination of relevant concert etudes in the guitar repertoire, and extensive analytical discussion of the etudes themselves. Throughout the twentieth century, the classical guitar repertoire has experienced a tremendous expansion of stylistic diversity. While this is also true for concert music in general, the guitar repertoire has been particularly influenced by folkloric, nationalistic, and popular musical styles. Partly responsible for this is the guitars ubiquitous presence in a variety of musical styles. In addition to classical nylon string guitar, acoustic and electric guitars of various types are commonly used in many popular music styles throughout the western world.

Further, the guitar has a several-century tradition of equal presence in both popular and formal art music, including its historical antecedents such as the vihuela and members of the lute family. Despite the gradual polarization of concert and popular music styles that has characterized western music during the last century, the guitar has firmly remained in a wide variety of styles to a greater extent than have most other instruments.1 The development of jazz is primarily a twentieth century phenomenon. While several social (particularly racial) and cultural factors contributed to the genesis and early development of jazz,2 it was the rapidly increasing global communication that facilitated many of these dramatic cultural and social changes of this century that is most responsible for the astonishing speed and diversity of the development of jazz. Never before could a complex style of music comprised of elements from widely disparate cultures be essentially invented, highly refined, and widely distributed throughout much of the world in less than a century. In fact, the development of jazz has been described as a condensed analogue to the development of Western art music over the past five centuries.3 Cited as the single most influential event in this rapid development has been the invention of recording and broadcast media, which allowed an immediate and widespread

1 Frederic Grunfeld, The Art and Times of the Guitar (New York: Macmillan, 1974), 2-30. Grunfeld discusses the versatility and social universality of various types of guitars throughout its history. 2 James Lincoln Collier, Jazz: The American Theme Song (New York:Oxford University Press, 1993), chapter 1. 3 Andre Hodier, Jazz: Its Evolution and Essence (New York: Grove Press, 1956), 35-36.

dissemination of the music, with a corresponding absorption and assimilation by a variety of musicians and musical styles.4 Although not one of the foundation instruments in jazz, the acoustic guitar has had a significant role in jazz throughout its development. Early blues and gospel singers often used the guitar for accompaniment, and Spanish influenced guitar music of the Caribbean islands, including habaeras and derivatives of tango, contributed to 19th century music in New Orleans by virtue of slave movement from those islands to the mainland United States.5 Elements of this Caribbean music, particularly rhythmic elements, are found in ragtime and early jazz.6 The guitar and banjo were common rhythm section instruments in early jazz ensembles, with the guitar taking a more prominent role in swing and dance bands. The virtuoso gypsy guitarist Django Reinhardt was almost singularly responsible for a significant stylistic development in jazz through his collaboration with violinist Stefane Grappelli in their Quintet of the Hot Club, based in Paris in the middle of the century.7 Many of the Latin and especially Brazilian influences in jazz featured the acoustic guitar in more central and featured roles.

James Lincoln Collier, The Making of Jazz (Boston: Houghton Mifflin Company,1978), 72. Collier refers to the Original Dixieland Jass Bands 1917 recording as being uniquely responsible for the dissemination of early jazz. 5 Marshall Stearns, The Story of Jazz (New York: Oxford University Press, 1956), 26-29. 6 A concise discussion of this, including Jelly Roll Mortons reference to a spanish tinge in his music, can be found in Mark Tucker, Jazz from New Grove Dictionary of Music and Musicians, 902. Another source which makes frequent references to tango, habaera, and tresillo rhythms in ragtime is Rudy Blesh, They All Played Ragtime (New York: Oak Publications, 1971.) 7 Many sources describe this remarkable guitarist. For a contemporary discussion (originally written prior to 1942), see Hugues Panassie, The Real Jazz (New York: A.S. Barnes, 1960), 160162.

Later developments in jazz were profoundly influenced by the electric guitar. Amplification allowed the guitar to fully function as a melodic voice in large and small ensembles; this ability was dramatically introduced to jazz audiences with Charlie Christians memorable 1939 debut in the Benny Goodman sextet.8 Interestingly, both Reinhardts and Christians contribution to jazz included crossing significant racial barriers; Christian, an African-American, was one of the stars in an otherwise White ensemble, and Reinhardt, a gypsy, playing with the upper class Grappelli, provided Europe with its most famous cross cultural collaboration in jazz. The electric guitar became a benchmark instrument in jazz as rock music grew to dominate the entire landscape of American popular music in the 1960s and 70s. Jazz-rock fusion in a variety of styles and settings brought radical changes to form and aesthetics in jazz, as well as introducing the music to an entirely new audience. Therefore, while the acoustic, including classical, guitar did play a significant but supporting role in the development of jazz, the inclusion of the electric guitar had a much more profound effect on jazz. 9 Similarly, jazz has had an influence on the classical guitar repertoire, but not as a primary or foundation source. The classical guitar repertoire of the twentieth century is quite eclectic in style; jazz is one of many contributors to this eclecticism. One significant factor in this is the previously discussed widespread presence of the guitar in a variety of musical styles. Another factor which has limited jazz influence in classical guitar repertoire is the guitars highly idiomatic
8 9

Norman Mongan, The History of the Guitar in Jazz (New York: Oak Publications, 1983), 87-88. Mongan 1983, 145-150. Discussion of classical guitars limited role in jazz.

nature, which presents difficulties in composing for the instrument for nonguitarists. Despite these challenges, there was a rapid increase in works for the guitar by composers who do not play the instrument, primarily due to the efforts of the great virtuoso Andres Segovia, in the early and middle twentieth century. However, Segovia was not even slightly interested in jazz, or the guitars role in popular music, and so he discouraged any inclusion of these elements in classical guitar music. This is significant because for much of the century, Segovia was extremely influential in the development of the guitar repertoire. 10 Regardless of the efforts of Segovia and others in influencing composers not familiar with the guitar to compose for it, currently much of the repertoire is provided by guitarist/composers. Due to the previously mentioned presence of the instrument in a variety of popular and folkloric music styles, one can assume that a relatively high percentage of classical guitarists have significant experience in other styles of music. Thus, it is also appropriate to assume that a significant number of these guitarist/composers who are contributing to the repertoire have some understanding and appreciation of jazz. Consequently, one might expect that there would be a large body of jazz influenced music for classical guitar. The task of accurately defining exactly what constitutes jazz influence in classical music repertoire is not an easy one. Harmonic vocabulary is routinely shared by a number of styles, and the interpretation of written rhythms is often as stylistically specific as are the rhythms themselves.11 Gunther Schuller refers to a
10

Harvey Turnbull, The Guitar from the Renaissance to the Present Day (New York: Charles Scribner and sons, 1974), 111-115. Section entitled The Achievement of Andres Segovia. 11 Gunther Schuller, Early Jazz: Its Roots and Musical Development (New York: Oxford University Press, 1968), 7-9.

hierarchy of values which separates jazz from classical music; in the former, rhythm is prioritized; in the latter, pitch is prioritized. 12 While this observation lends insight into the nature of these two idioms, it provides little guidance with which to define jazz influence in specific examples of classical music. Joseph Stuessy, in his Ph.d. dissertation The Confluence of Jazz and Classical Music from 1950-1970, presents two models for confluent music. One is the integrated style in which elements of style from jazz and classical music are fused into a new style, and the other is the adjacent style in which purely jazz elements and purely classical elements are juxtaposed in the same composition. 13 Dr. Stuessy uses the term confluence to specifically avoid confronting issues of formative influence from one style to the other, however, and does not elaborate on the nature of the specific elements cited. For the purposes of this discussion, a clear set of criteria is necessary for the determination and description of jazz influence in classical guitar composition. Consequently, for the discussion which follows, I propose the following. First, for a classical guitar work to be considered substantively jazz influenced, it must use as a primary source for its compositional style musical elements and/or vocabulary which are most typically associated with jazz. These elements include harmonic structures which are tonal, but typically include the extensions of the seventh, ninth, eleventh, and/or thirteenth. Chromatic alterations of these extensions can be frequent, but the harmony must remain primarily functional. These elements also include use of syncopation as a prominent characteristic of
12 13

Schuller 1968, 7-8. Joe Stuessy, The Confluence of Jazz and Classical Music 1950-1970 (Ph.d dissertation, Eastman School of Music, 1965), 6-7.

rhythmic structures. Further, the rhythmic aesthetic of the piece must somehow reflect the prioritization of rhythm that is central to jazz.14 Second, these elements of style primarily associated with jazz must be integrated into the composition in such a manner that the overall aesthetic of the piece is consistent with jazz, and preferably, a specific stylistic trend within jazz. Finally, the work must demonstrate the composers substantive understanding of jazz vocabulary and aesthetic principles, based on his or her successful use of the previously described musical elements in the composition. These criteria exclude works which merely parody jazz styles in a superficial manner. Adding to the difficulty of describing jazz influence in classical guitar composition is the fact that there exists a body of classical guitar music in the twentieth century that shares some influences with jazz. For example, Latin rhythmic figures have a strong presence in jazz and classical guitar repertoire; I submit that in such an example, the classical guitar music is tangentially related to jazz in that they share a common source. Heitor Villa-Lobos (1886-1959) was among the most influential composers for guitar in the first half of the century. Some of his pieces, particularly the Suite Popular Brasilienne, are good examples of this tangential relationship in that the source of the music is Brazilian popular music, which would eventually also become source material for stylistic development in jazz. Much of the guitar literature which displays some resemblance to jazz can be similarly described; much of this repertoire is South American. Due to the overwhelming influence on twentieth century music of
14

Schuller 1968, 6-26. Schuller presents a detailed discussion of rhythmic origins of jazz and a comparative discussion of rhythm in european classical music.

recorded and broadcast media, there is a constant and rapid interaction between styles. There appears to be a simultaneous convergence and divergence of musical style; never before have the working experiences of popular musicians and art musicians been so removed from one another, yet at the same time art music contains a wider variety of influences and stylistic foundations than ever before. Given this type of environment, it becomes increasingly difficult to clearly categorize specific formative relationships between one style of music and another. However, there are some famous examples of jazz influence, or apparent jazz influence, in classical guitar repertoire. The third movement of Leo Brouwers El Decameron Negro , one of the benchmarks of modern guitar repertoire, was inspired by the composers fascination with Keith Jarretts recording The Kln Concert. According to the composer, he wrote the third movement shortly after hearing the recording.15 The most evident influence is in the formal structure; a tonal folk tune alternating with sections of modal ostinato based repetitive figures. This is quite similar to the Jarrett Memories of Tomorrow composition interspersed with Jarretts modal improvisations. However, there is little else to characterize El Decameron Negro as jazz influenced; for example, there is no use of typical jazz harmonic structures or rhythmic figures. Brouwer also composed a set of variations on the Django Reinhardt composition Nuage . In this piece, the reharmonized melody of a famous jazz composition is presented as the primary theme, although none of the variations show significant jazz influence in the writing. For example, the titles of
15

Constance McKenna, Interview with Leo Brouwer, Guitar Review # 75, Fall 1988.

some of the variations (Boure, Sarabande, Giga, Toccata ) indicate Brouwers intent to draw influence from Baroque, or Neo-Baroque, sources, rather than from jazz. The harmonic and melodic vocabulary throughout is based on extensive use of ostinatos and pentatonic patterns juxtaposed with fragments of the original theme, and lacks harmonic structures typically associated with jazz. The rhythmic settings of each variation are loosely based on the Baroque dances that form the titles, and bear no resemblance to idiomatic jazz rhythms. Even Brouwers reharmonization of the Nuage theme is problematic in terms of its jazz influence in that his extensive chromaticism replaces the functional harmony that would typically support this melody in a jazz setting. Consequently, Brouwer demonstrates an appreciation of jazz, but little interest or ability in incorporating substantive stylistic elements of jazz into the fabric of his guitar compositions. Dusan Bogdanovic, a contemporary guitarist/composer whose works are widely published and performed, has written several works that would appear to be heavily jazz influenced; Jazz Sonata, Jazz Sonatina, Big Band Suite, and Book of the Unknown Standards. Additionally, Bogdanovic has been a working jazz guitarist for extended periods of his life. Thus, one would expect that his music would exhibit substantive and sophisticated jazz influence. However, of the works listed, only the Big Band Suite and Book of the Unknown Standards include extensive jazz elements in the style. In a conversation with the composer, I asked him about the presence of jazz influences in Jazz Sonata and Jazz Sonatina, and his candid reply was that the main influence was only in the titles!16 This is
16

Conversation between the author and Dusan Bogdanovic, Malibu, CA, June 2001. During this conversation, Bogdanovic indicated that his composition Book of the Unknown Standards was by far his most jazz influenced work.

slightly misleading in that there are some recognizable jazz elements in these two pieces, especially in the second movement of Jazz Sonata, marked lento. The opening melody is somewhat reminiscent of a post be-bop ballad with its lyrical melody supported by highly colorful and modally influenced harmonies. The movement continues with a melodically embellished variation on the main theme, in imitation of an improvised solo which would typically follow the melody in a jazz performance. However, much of the music in the other movements, and the entire Jazz Sonatina, is quite abstract and jazz is not recognizable as a primary source material. Bogdanovic is highly influenced by the folk music of his native Yugoslavia with its unusual metric shifts and striking dissonance; these characteristics dominate his guitar composition, causing jazz influences to have a much reduced role in his style. Big Band Suite is a good example of this; although the music is written as swing with triplet rhythms in abundance, the harmonic and melodic language is far too abstract to display clear jazz influence, especially if, as the title implies, the influence is to be from the big band era of jazz. The primary jazz influence, in my opinion, is the idea of building the piece upon a repeated pattern of chords with chromatic, contrary movement within the voices; somewhat reminiscent of big band riff or shout figures in the brass section. Book of the Unknown Standards shows a far more substantive jazz influence throughout; the book contains five brief pieces, written with standard notation and chord symbols. This is evidently a reference to fake books filled with lead sheets of the standard popular songs jazz players draw upon. The pieces in Book of the Unknown Standards are in the styles of some influential jazz 10

composers; the titles Monk-A-Ning, 12 Note Samba, and Steps to Hell and Back are references to Thelonious Monks Rhythm-a-Ning, Antonio Carlos Jobims One Note Samba , and Miles Daviss Seven Steps to Heaven, respectively. Monk-ANing bears closer resemblance to Monks Straight, No Chaser, however, than Rhythm-a-Ning. It is a twelve measure blues form, with a syncopated chromatic melody quite similar to Straight, No Chaser, followed by a section marked solo that is representative of a typical, although abstract, blues improvised solo. 12 Note Samba is not a serial composition, but does involve extensive half-step shifts in the melody and harmony, in somewhat of a parody of Jobims chromatic descent in the harmony over a repeated melody note in his One Note Samba. Another of the standards, Esmeraldas Waltz , appears much like a modern jazz waltz in the style of the pianist Bill Evans; the piece is built on disguised and embellished ii/V7 chord progressions in a variety of keys. Steps to Hell and Back follows the rapidly shifting tonality of some of the post be-bop Miles Davis and John Coltrane compositions. 17 Bogdanovic states that the title is both a tongue-incheek reference to Seven Steps to Heaven and a reference to the difficulty of improvising in this demanding style of jazz.18 Although Book of the Unknown Standards is the only composition of his that is clearly and consistently

recognizable as jazz influenced in performance, Bogdanovic has successfully integrated elements of jazz into his own, more clearly dominant compositional style.

17

For example, Daviss Seven Steps to Heaven and John Coltranes Moments Notice and Countdown. 18 Conversation with Bogdanovic, Malibu CA, June 2001.

11

The French guitarist/composer Roland Dyens draws upon a wide variety of styles in his works for guitar. These styles include rock, tango, Brazilian and French popular music, and jazz. One interesting aspect of his performance is the inclusion of an improvisation at the beginning of many of his concerts. While these improvisations rarely resemble jazz in style, their very existence implies a kinship with one of the principal performance practices of jazz. Dyens will also often include arrangements of jazz standards on his concert programs; among the more famous of these are his arrangements of Thelonious Monks Round Midnight, Django Reinhardts Nuage , and Antonio Carlos Jobims Felicidade. Dyens brief composition Green Room Waltz contains significant jazz influence in its harmonic structures and form; it has a basic AABA structure, like a standard popular song form. The A section primarily consists of typical cycle of fourth harmonic movement with chord extensions such as the ninth and thirteenth often found in the melody. Additionally, these idiomatic jazz harmonies support a diatonic melody that is reminiscent of some of the American popular songs that jazz musicians have used as vehicles for their improvisations. His Saudade #3 begins with a highly improvisatory introductory section and follows with a section based on samba rhythms. However, it is important to note that despite his evident appreciation for jazz, Dyens has yet to compose a large scale work that relies primarily on jazz for its stylistic source. Perhaps his work L.B. Story is the closest to this description; here Dyens combines elements of Leonard Bernsteins style with that of Leo Brouwer. (The names of the two composers share initials; hence the title L.B. Story.)

12

The Brazilian guitarist/composer Sergio Assad has a strong understanding of jazz harmonies and contemporary Brazilian rhythms. One of his large scale works for guitar, Aquarelle , exhibits this understanding. The first movement, Divertimento, begins with a lengthy introduction based on a three note octatonic figure, and an ostinato which establishes the 3/3/2 eighth note subdivision of the measure representing a typical clave rhythm. The main theme of the movement includes the ii/V7/I chord progression, sequenced in descending major seconds. Typical chord extensions include major, minor and dominant 9th, major-minor 7th chords with added 6ths, and altered 5ths. While many composers draw upon this harmonic vocabulary, Assad uses it to embellish common cyclical chord progressions and support a diatonic melody; a context similar to that of jazz composition and performance practice. The musical language in Aquarelle is a good example of the incorporation of substantive jazz vocabulary and related Brazilian rhythmic figures into a large form, (in this case, a loosely constructed Sonata form) well developed virtuoso composition. Guitarist/composer Brian Head has written a popular work entitled Sketches for Friends. The fourth movement, Brookland Boogie, is essentially a representation of a jazz guitar solo in a bluesy style, with its idiomatic blues riffs and common jazz guitar chord structures. These elements are not used as source material for compositional development or integrated into a consistent compositional style; in fact, they are not typical of Heads overall style in the work. Sketches for Friends is a programmatic work, with each of the movements dedicated to a specific person. In the case of Brookland Boogie, the movement is dedicated to a former guitar teacher of Heads who is a working jazz guitarist. 13

A survey of the published concert etudes for guitar composed in the twentieth century reveals that there is a surprising lack of concert etudes in general, and none that are primarily devoted to stylistic jazz study.19 The benchmark twentieth century concert etudes of the guitar repertoire consist of the Villa-Lobos Douze Etudes, the Leo Brouwer Estudios Sencillos, and the several etudes by Abel Carlevaro.20 Additionally, several historically important composers for the instrument have written etudes which, for unknown reasons, have not commonly been found on concert programs, at least to the extent that etudes from prior centuries are performed in public. These composers include Stephen Dodgson, Antonio Lauro, Radames Gnattali, Francis Kleynjans, and Dusan Bogdanovic. While the Lauro Quatro Estudios En Imitaciones and the Gnattali 3 Concert Studies have a tangential relationship to jazz in that their source material consists of Latin dance rhythms and South American popular music, they cannot be considered jazz influenced based on the criteria stated earlier. These etudes, as well as the others listed above, simply lack musical elements which can be primarily attributed to the jazz idiom. Guitarist/composers Gerald Garcia and Joseph Breznikar have each composed a set of etudes with popular music influence. Garcias 25 Etudes Esquisses are written for the intermediate student, with the intent of introducing the student to various styles of twentieth century guitar music while exploring

19 20

See appendix for a listing of commonly available published 20th century concert guitar etudes. Tom and Mary Evans, Guitars from the Renaissance to Rock (New York: Paddington Press, 1977), 124. Unfortunately, no printed source exists which characterizes the Villa-Lobos, Brouwer, and Carlevaro etudes as forming the benchmark concert studies of the 20th century. My statement is based on anecdotal observation of recordings and concert programs, as well as the prominence of these etudes in pedagogical programs.

14

instrumental techniques common to the repertoire. The closest that these studies come to exhibiting jazz influence is in the final five studies, each of which explores the compositional style of a particular composer; Astor Piazzolla, Antonio Lauro, and Eduardo Sainz de la Maza among them. Since some of the work by these composers can be at least tangentially related to the jazz idiom, there is a distant, although weak, connection to jazz. However, it would be quite inappropriate to characterize any of Garcias etudes as primarily jazz influenced, based on the earlier established criteria. Breznikars Twelve American Etudes for Guitar have a much stronger relationship to jazz vocabulary. Of the twelve, Etude #2 On a Swing, Etude #7 Blue Improvisations, and Etude #12 Jaz-ical-blu-roc are ostensibly devoted to specifically jazz idioms. Breznikar uses chord structures and some textures commonly associated with jazz, but these etudes lack any depth of understanding of jazz composition. For example, Etude #7 Blue Improvisations lacks a twelve measure form and any harmonic movement commonly associated with blues. Further, while there are occasional melodic passages recognizable as being in the blues tradition, the overwhelming majority of the piece does not contain recognizable blues, or jazz language. Etude #2 On a Swing begins with a series of chord structures not unlike those that a jazz guitarist would commonly play in the context of a standard jazz composition, but the chords lack a formal or rhythmic context that is essential to their use in jazz performance. The etude continues with a walking bass passage, but the content of the bass line bears no resemblance to harmonic or melodic vocabulary primarily associated with jazz. Etude #12 Jaz-ical-blu-roc is likewise lacking in a stylistic framework; the 15

etude contains fragments that could be shown to have jazz sources, but the compositional context is chaotic and somewhat without any clear or coherent musical intent. Breznikar has simply extracted some common devices from jazz and inserted them into his etudes, thus displaying only a superficial understanding of the foundations of jazz or its development throughout the century. It is clear that the guitar repertoire lacks published large scale works devoted to the exploration of jazz, and in particular to the guitars role in jazz. This discovery has been somewhat surprising to me, because there are many guitarist/composers who have at least some experience with and appreciation of jazz. Interestingly, even jazz guitarist Ralph Towner has composed a large scale piece for classical guitar, Suite for Guitar, in three movements. However, it appears as if Towner deliberately chose to ignore jazz influence in this work, choosing instead a static, diatonic language with no rhythmic or harmonic resemblance to jazz. Thus, the work that is the focus of this treatise is a unique addition to the classical guitar repertoire. The Jazz Etudes for Classical Guitar are historical and stylistic studies in various styles of jazz, with an emphasis on areas of jazz in which the acoustic guitar has had particular importance. The set of etudes is not intended to be an exhaustive or comprehensive representation of stylistic development in jazz, but rather a glimpse at some of the trends in jazz styles that have featured the guitar, and especially the acoustic guitar. The etudes are also designed to explore jazz influences in classical guitar by presenting studies which demonstrate the integration of jazz influence in guitarist/composers who show strong understanding of jazz. 16

They are also unusual within the guitar etude repertoire in that they primarily emphasize stylistic study, rather than technical study. Jazz as a style has developed along theoretical and cultural lines, rather than purely technical concerns. Consequently, in my opinion the study of jazz is best approached from a stylistic and historical context, rather than the extensive technical problem solving approach that permeates classical guitar study. 2122 Despite the complexity of modern jazz and the resulting technical demands of the music on the guitar, classical guitar presents a more formidable technical challenge in terms of precision and instrumental control. Therefore, etudes which emphasize stylistic and musical study are more consistent with the nature of jazz study for the classical guitarist than would be etudes which primarily present technical problems to be solved. These etudes also do not directly approach pedagogical issues regarding the process of improvisation. Certainly, the art of improvisation is central to jazz study, and any musician aspiring to become a fluent jazz musician spends much of his or her time developing improvisation skills. However, the etudes do provide examples of some of the harmonic, melodic, and rhythmic vocabulary that jazz musicians draw upon for their improvisations. There are a number of jazz methods available which address technical issues, as well as issues of theoretical and harmonic development for the

This opinion is corroborated by the common emphasis on transcription of recorded jazz as study material, and the use of transcription as a method of study commonly recommended by jazz educators. 22 Paul Berliner, Thinking in Jazz: The Infinite Art of Jazz Improvisation (Chicago: University of Chicago Press, 1994). Berliner discusses stylistic study throughout his book; of particular interest to this point are pp. 97-110 and 158.

21

17

development of improvisation skills. Although most of these methods are written for the electric guitar, classical guitarists can easily find information about technical and harmonic problems in jazz, as well as exercises for the development of improvisation skills in the jazz idiom. Lacking are concert pieces which explore the essence of various jazz styles, in clear and relevant compositional context, as well as the somewhat nebulous relationship between jazz and classical guitar. The Jazz Etudes for Classical Guitar provide precisely this type of addition to the classical guitar repertoire. I composed the Jazz Etudes for Classical Guitar by first researching various styles of jazz that the guitar has had a prominent role in, or were exemplary of bearing significant relationship to classical guitar. I then assembled a set of preliminary compositional sketches, to provide a sense of the overall form of the etude set with regards to historical and stylistic diversity as well as musical coherence and compatibility between the various etudes. Since these etudes are intended to be performed as a set, I conceived and ordered the individual etudes to comprise an effective concert program. I composed the set so that it would demonstrate not only the various products of stylistic development and diversity in jazz, but also reveal a glimpse at the process of stylistic development that is so crucial to jazz. Finally, I composed the last two etudes as examples of the influence jazz has had on two leading contemporary composers of guitar music. For these, my research included examining some of the written works of these composers. The analytical discussion of these etudes that follows is divided into three chapters that correspond to a grouping of the etudes into three sets of three etudes 18

each. This allows for some comparative discussion of the etudes that exhibit similarity in terms of historical placement and source material. The first three etudes explore aspects of early developments in jazz, while the middle three explore stylistic diversity within developments in jazz following the swing era, but prior to the radical changes that occurred in jazz during the sixties and seventies, and the final three explore some contemporary trends, along with influences in classical guitar composition. The etudes are discussed in terms of historical placement and stylistic sources, form, harmonic and melodic elements, and rhythmic elements. Attention is focused on aspects of each etude that are important to its particular contribution to the overall set of etudes, and on aspects that reveal insight into organizing principles of the composition of each etude. The nine etudes are arranged in somewhat general chronological order with regards to the development of jazz guitar. Etude #1 is a ragtime piece, with a Habaera section. Joplin included the habaera rhythm in some of his works, and there was a substantial contribution to the development of jazz by Spanish inspired music of the Caribbean islands in the early 20th century.23 Much of this music featured the guitar. Etude #2 begins with a direct transcription of a section of a solo piece by Django Reinhardt entitled Improvisation # 2 and recorded in 1938. Following the transcription is a composition which contains many of the characteristics of the popular music of the 20s and 30s that dominated the swing era. The chord progression is loosely based on Reinhardts improvisation. Etude #3 also takes its basic musical inspiration from popular songs of the swing era,
23

Frank Gillis, Hot Rhythm in Piano Ragtime from Ragtime: Its History, Composers, and Music, edited by John Edward Hasse (New York: Macmillan, 1985), 222. See also Stearns, 245.

19

but is much more abstract in its use of harmony. Although the basic form is a 32 measure AABA ballad, many of the diatonic chord progressions which would typically harmonize a simple melody have been altered. The result is an example of some of the devices later jazz musicians and composers/arrangers might use in their treatment of standard tunes. Etude #4 reflects the prominent Brazilian influence in both jazz

composition and the 20th century guitar repertoire. The outer sections consist of a bossa nova, very much in the style of Antonio Carlos Jobim, while the middle section is a choro, similar to the Brazilian street music that so deeply influenced Villa-Lobos and many other composers for guitar. Etude #5 is a waltz which exploits various possibilities for development in the ii/V/I chord progression that is central to many styles of jazz. There is a free section in the middle of the piece which further explores this harmony, and the piece contains some hemiolas which were typical of Bill Evans and other jazz musicians interpretation of popular waltzes. Etude #6 is a blues. The blues is such a common and timeless form in jazz that composers and improvisers have often used it for some of their most interesting and advanced explorations. This piece gradually increases in dissonance and abstraction, leading to a highly chromatic shout chorus before returning to the original theme. Etude #7 is a representation of some of the modal influences in post bebop jazz. In particular, Chick Corea was an influential jazz composer whose use of the phrygian mode and Hispanic rhythms resulted in music which integrates elements of jazz, flamenco, and popular Latin styles. This type of cross fertilization is prominent in 20th century classical guitar composition as well. 20

Etudes #8 and #9 are tributes to two guitarist/composers who have been particularly influenced by jazz, Sergio Assad and Roland Dyens. Etude #8 is a slow piece reminiscent of some of Sergio Assads more melodic pieces, and contains a brief quote from a Pat Metheny composition. Etude #9 reflects the eclectic, improvisational approach to composition that characterizes Roland Dyenss guitar music. The extended introduction is followed by a Brazilian inspired samba, which in turn is followed by a pedal section that makes use of open strings in an overtly guitaristic manner.

21

Chapter 2: Nine Jazz Etudes for Classical Guitar

22

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3

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72 75

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78

w # b w ww . J

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57

b # b w b 0 w b # w w V 4 w . J
81

b 3 1 0 b 3 w

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87

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95

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58

j V . bb b bw
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rit.

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J CIX . 114b .. b n b . j V 2 # 4 w . w b 117w . w w # # b Vw n # 4 3 b . w w J f

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59

Etude 8 88 Vc
1

O . w 4 1

For Sergio Assad

O . w

O .

O % j . j CV j j . 4 . . . 4 V 4 w w w j j . 7 . w . . . j . V J w w w j4 j 10 j . . . .. J V J w# 2 w #w CIII j 13 . b 3 1 . b . b b V 2 - 2 4 bw bw w
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60

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25

To Coda

rit.

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61

4 w . b b n CIV 2 CII # bb b b b 2 # j # Vw bJ # 1 3 # 37

j j j # # # # .#. j j # . # . w # w # # . .. w j # V # . # w w# w O O 2 . # . CVII U 43 w 3 # 0 # # V J # w w w O O . # . 46 # # # V # 2 w w w 6
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j j ..

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62

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55

63

Etude 9 208
1 For Roland Dyens

V
10

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64

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65

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40

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66

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67

1.

2.

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82

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68

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70

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71

Chapter 3: Analysis of Etudes 1-3

Etudes 1-3 , the first group of three of the Nine Jazz Etudes for Classical Guitar, present stylistic elements commonly associated with early jazz, although each etude treats those elements differently. Etude 1 is quite derivative of the ragtime compositional style of Scott Joplin, with little synthesis of other influences that were present in jazz during the first decades of the twentieth century. Etude 2 begins similarly, with a direct transcription of a Django Reinhardt solo guitar improvisation, but combines this with a section that contains several commonly found elements of the prevailing popular music of the 1920s and 1930s. Consequently, Etude 2 is constructed of some purely derivative music and some synthesized from a variety of influences. Etude 3 is composed in the form of popular ballad typical in the 1930s and 1940s, but is highly synthetic in that it utilizes much more abstract treatment of the original source material and almost no derivative presentation of the source. Thus, this group of etudes presents not only the product of some elements of early jazz, but also a representation of the process by which jazz musicians rapidly developed and synthesized the popular music of their time with increasingly complex and sophisticated musical elements.

72

ETUDE 1 The ragtime compositions of Scott Joplin are widely considered to be one of the primary stylistic sources of jazz, and thus it is appropriate that Etude 1 is based on this style. Ragtime was quite popular in the twentieth century prior to World War I,24 and some of the pianists of the day, in particular Jelly Roll Morton, who would eventually form the core of influential jazz pianists of the following decades, spent much of their developmental years playing rags.25 Joplin probably never intended his music to have such a formative impact on jazz; he considered ragtime to be a high art music style, an American concert music to be considered similarly with the work of European composers of his time.26 Jazz was about to become wildly popular around the beginning of World War I, while ragtime would decline in popularity around the same time.27 Ironically, jazz has subsequently ascended to achieve the status of the primary African-American art music that Joplin sought for his own music.28 Joplins contribution to the style was crucial in this ascension, because he was one of the first American composers to successfully combine European elements with rhythms drawn from nonEuropean sources.29 Etude 1 is a modified rondo form, lacking a return to A between C and D. This form is similar to many of Joplins famous rags, although Joplin often

24 25 26

Rudy Blesh, They All Played Ragtime (New York: Oak Publications, 1971), 6. Blesh 1971, 107-108. See also Schuller 1968, 144. Edward A. Berlin, King of Ragtime: Scott Joplin and his Era (New York: Oxford University Press, 1994), 172-173. See also Frank Tirro, Jazz: A History (New Tork: Norton & Co., 1977), 95. 27 Tirro 1977, 175-179. 28 Berlin 1994, preface and pp. 3-4. 29 Schuller 1968, 24.

73

repeated each strain and often did not return to A after D, for example, in Maple Leaf Rag and The Easy Winner.30 The formal outline of Etude 1 is as follows: A mm.1-16 B 17-32 A 33-48 C 49-64 D 65-82 A D.C.

Example 3.1: Etude 1, formal diagram The first two measures introduce two primary constituents of the etude; a chromatically rising melodic cell that forms the thematic basis for much of the piece, and a syncopated rhythmic figure (16th/8th/16th, m. 2) that is also structurally important to the piece.

### 2 b n n # 4 V
1

Example 3.2: Etude 1, mm. 1-2 The next two measures introduce another melodic cell that is central to the piece.

### n # # V n # #
3

Example 3.3: Etude 1, mm. 3-4 The character of these melodic cells is significant in that they utilize chromatic movement around chord tones, specifically the use of the #4 scale
30

Schuller 1968, 33. See also Tirro 1977, 97. Discussion of form in Joplins rags.

74

degree in mm. 1 and 3 and the minor 3/major 3 chromaticism in mm. 3 and 4. This type of melodic embellishment has become central to jazz composition and improvisation and is also commonly associated with blues. Additionally, the first and fourth 16th notes of mm. 3-4 present a 9-1 resolution within the harmony of the measure. This resolution (or a 6-5 resolution) recurs throughout Etude 1, for example in mm. 5, 7, 23, and 53, effectively demonstrating the melodic use of chord extensions that have become staples of the jazz vocabulary. Thus, the melodic character of Etude 1 is a good representation of stylistic influx into jazz from ragtime and blues that was typical in the early twentieth century. The melody of Etude 1 is quite organic in nature; most of the melodic structure of the etude is based on variation or transposition of these cells. Similarly, this organic development of melody, while hardly the exclusive domain of ragtime, has become a critical element in the stylistic development of jazz. The harmonic structure of Etude 1 is quite typical of Joplins rags. Section A is in A major; section B is also in A major, but with more harmonic movement; section C is in E major, and section D is E minor. Section A is constructed of two 8 measure phrases with the following harmonic structure: A major: I V ii V7 I

V7/vi

VI

IV

I 6/4

V7

Example 3.4: Etude 1, harmonic diagram for mm.1-16

75

One interesting harmonic aspect of this section is the use of the dominant 7 with an augmented 5 in m. 11. The note A natural functions as the augmented fifth in C# dominant 7. Since this sonority is arrived at through the use of the well established melodic cell, the harmony does not sound unusually dissonant. Section A is constructed of two eight measure phrases. The second phrase is distinguished from the first by its more active harmonic movement, providing some contrast and development within the section. Section B continues the developmental character of the second phrase of section A and further explores the type of harmony introduced in that phrase. This is done within the confines of the two melodic cells previously discussed. The harmonic structure of section B is as follows: A major: IV I V7 I E major: (implied) V7/vi vi A major: V7/iii iii iio7/iii III7 viio7/ii ii (vi) V7/V V7 V/V V

Example 3.5: Etude 1, harmonic diagram for mm. 17-32 The extensive use of secondary dominants in conjunction with extensive manipulation of the opening melodic cells gives this section its developmental character. Of particular interest is the fact that the tonic chord only appears in two out of sixteen measures, and chords diatonic to A major appear in only seven of the measures. The implied, but never fully realized, modulation to E major in m. 76

21 adds to the harmonic instability. Since this harmonic instability occurs within the manipulation of the melodic cells found in section A, the melodic cells provide continuity between the two sections. The opening of section B, mm. 1718, provides an example of this continuity:

### # # n V
17

# #

Example 3.6: Etude 1, mm. 17-18 The opening chromatic melodic cell from m. 1, combined with the rhythmic figure from m. 2 provides the melodic source for this passage; this continues for the next two measures. In m. 21 a sequence of five manipulations of the second melodic cell (Example 3.3) begins. This continues for seven measures through a variety of harmonic settings which are shown in Example 3.5 as they would appear in E major, although the section never provides a cadence in E major. This serves to disrupt the eight measure phrase structure established in section A. It also helps to give the section an organic quality that is often present in successful jazz improvisation. The cadence on G# dominant 7 is a slight reference to blues influence; this is due to the substitution of a III dominant 7 chord for the expected iii minor. The section ends with a cyclical harmonic progression driving to V7 (E dominant 7) which prepares the return of section A. Section C introduces some new melodic material and also presents the first true modulation of Etude 1 , to E major. Sectional modulations to the

77

dominant key often occur in Joplins rags, and usually take place at a similar structural point, the third strain, or section, of the rag. The section begins with a new melodic cell, based on the rhythmic cell that is well established, (Example 3.2) but with a different intervallic contour:

### # V
49

nb #n

Example 3.7: Etude 1, mm. 49-50 The cell found on the first two beats of m. 49 becomes somewhat thematic of this section, reappearing in mm. 57, 59, and 61. It provides another example of the organic character of this piece in that it is essentially a variation of previous melodic material. The harmony of section C introduces the use of the minor iv chord. While parallel shifts between major and minor (borrowing from the parallel minor) have appeared in prior sections, those passages were primarily facilitating secondary dominants. Here the shift to parallel minor is a reference to Spanish influences,31 which will be realized fully in section D. The harmonic structure of section C is as follows: E major: I iv I iv I V7/V V7

V7/vi
31

vi

V7/V

V7

V7/IV IV iv

V7

For example, Suite Espaola, by Isaac Albeniz. Modal shifts between parallel major and minor are quite common in this piece.

78

Example 3.8: Etude 1, harmonic diagram for mm. 49-64 Section C ends by increasing the harmonic rhythm in the last four measures with the descending bass line which is a common harmonic passage in Joplins work, (for example, The Entertainer) as well as in the harmony of many jazz compositions.

# # # # n # n # # V n n
61

Example 3.9: Etude 1, mm. 61-64 Section D presents somewhat of a stylistic departure from the rest of Etude 1, as well as providing the only synthetic aspect of the piece in that the music is derived from a different source. The bass line is in the habaera rhythm of Spanish origin that was present in the Caribbean islands in the late nineteenth and early twentieth centuries.32 Joplin occasionally incorporated elements of habaera or tango rhythms into his rags, but not to the extent that it is presented here. 33 The melody is set in a variation on the rhythmic cell from m. 2, which provides a sense of continuity with the rest of the piece.

32 33

Stearns 1956, 26-29. Berlin 1994, 65. See Maple Leaf Rag, C strain. Habaera rhythm is in the melody. See also Heliotrope Bouquet, first strain.

79

 .. .. nnn# # # # V . . .
65

. . .

Example 3.10: Etude 1, mm. 65-68 The structure of section D is two eight measure phrases, with the second phrase providing melodic embellishment of the first. The harmony is less complex than any of the prior sections, and is representative of the habaera style. E minor: i V V7 i V7/iv iv viio7/V V7

iv

V7

Example 3.11: Etude 1, harmonic diagram for mm. 65-82 A comparison of the beginning of the second phrase with Example 3.10 demonstrates the melodic embellishment.

# V .
73

# # n # n # . . .
5 5

Example 3.12: Etude 1, mm. 73-76 80

The chromatic melodic figure in measure 75 is a reference to the opening melodic cell of the piece, and also provides an example of the type of melodic embellishment that is often found in early jazz. After a cadence on the tonic parallel major in m. 80, the section closes with a simple arpeggio which prepares the return of section A and the fine of the piece. ETUDE 2 Etude 2 provides a dual perspective on music associated with one of the great virtuosi in the history of jazz guitar, Django Reinhardt. The opening and ending of the piece is a direct transcription of an excerpt of a Reinhardt composition entitled Improvisation # 2 as recorded in 1938. The remainder of Etude 2 is a representation of typical popular song writing during the swing era, which dominated jazz throughout the 1930s and early 1940s. This type of song provided the great musicians of that era with the harmonic and formal structures upon which they would base their own compositions and improvisations. Acoustic guitar became widely used as a rhythm instrument in this era, but in Reinhardts collaborative ensemble with violinist Stefan Grapelli, the acoustic guitar was a featured solo instrument. The recordings of this Paris based ensemble, the Quintet of the Hot Club, stand as benchmarks in the development of jazz guitar. To the present day Reinhardt is universally considered to be one of the most influential and pioneering guitarists in jazz, and certainly the greatest acoustic guitar soloist in jazz.34

34

Mongan 1983, 63. See also Charles Alexander, ed, Masters of Jazz Guitar: The Story of the Players and their Music (London: Balifon Books, 1999), 154-161. Chapter The Legacy of Django.

81

As the title indicates, the Reinhardt composition excerpt that forms mm. 123 was probably an improvisation in the recording studio. It was chosen for this etude because of its textural similarity to classical guitar music, and its unusual character for a jazz composition or improvisation of its era. The combination of this excerpt and the typical swing tune writing that comprises the rest of Etude 2 provides a glimpse at the depth of Reinhardts stylistic diversity. The excerpt is constructed of five four measure phrases, three of which have one measure extensions. A mm.1-5 B 6-9 B 10-14 C 15-18 B 19-23

Example 3.13: Etude 2, formal diagram for mm. 1-23 The B phrase functions as somewhat of a refrain and contains the passage most idiomatic to classical guitar:

# # n b V w #
10

b # n

Example 3.14: Etude 2, mm. 10-12 This type of arpeggiated texture and harmony is unusual for swing era jazz composition; however, it is strongly idiomatic of classical guitar technique. Reinhardt had full use of the fingers on his right hand for such technique, even though he primarily played with a plectrum. It was his left hand that suffered the 82

infamous burn injury that limited his ability to form chords on the guitar, despite his prodigious technical strength. The C phrase, Example 3.15, functions as somewhat of a bridge, and also provide the harmonic structure for a similar bridge section in the main body of the etude.

b # # # n V
15

n # n # nb b # #

Example 3.15: Etude 2, mm. 15-18 The main body of Etude 2, mm. 25-78, consists of a modified standard form tune typical of the swing era, in D major. Standard popular compositions (tunes) of this era often consisted of either two sixteen (or 32) measure phrases in AA form, or four eight (or 16) measure phrases in an AABA configuration. Etude 2 combines these two forms as follows: excerpt mm.1-23 A 25-42 A 43-58 B 59-74 A (D.S)25-42 A 43-56 coda 75-86

Example 3.16: Etude 2, formal diagram The harmonic structures for Etude 2 are typical of the swing era and are best represented with chord symbols rather than roman numerals, in keeping with

83

what a typical rhythm section guitarist of the swing era would read in a lead sheet:35 Section A: (mm. 25-40) Dmaj Fo7 Emin7 A7 D B7 Emin A7

Dmaj

Fo7

E7

C#7

F#7 G7

F#7

Section A: (mm. 43-58) D6 F#min7 Fo7 Emin E7 A7 Ao7 D7

Gmaj

Go7

D Emin Bo7

E7

A7

D6 G6

D6

Section B: (mm. 59-74) G7aug5 B7aug5 Emin F#o7 Emin B7 Emin

A7aug5 C#7aug5 F#min

G#o7

A7

Ao7

Bo/A

Example 3.17: Etude 2, harmonic diagram for mm. 25-74 Of particular stylistic interest in Example 3.17 is the extensive use of the diminished 7 chord as a connecting chord between two diatonic chords. This is
35

For an explanation of chord symbols commonly used to describe harmonic structures in jazz, see Richard Lawn and Jeffrey Hellmer, Jazz Theory and Practice (Los Angeles: Alfred Publishing Co, 1996) Chapter 3.

84

accomplished by changing the quality of a major chord to diminished, either with a common bass note or an inversion of the diminished chord, and resolution to the next chord.
25

## . V

.# 2 . # . n n

Example 3.18: Etude 2, mm. 25-29 Example 3.18 shows Dmaj for 2 measures, moving to Ddim7, (also Fo7, Abo7,Bo7) resolving to Emin7. In this example, the lead sheet would probably indicate Fo7, to specify the bass line movement, but a guitarist of the era would not differentiate between the enharmonic diminished chords, and the resulting quality change is best explained with a common root. A similar mechanism begins with a first inversion major chord, resulting in a chromatic descending bass line.

## . # V n
33

Example 3.19: Etude 2, mm. 33-35 At the end of section B, the use of diminished chords is more extensive.
D.S. al Coda w w w ## w g b g n w V n gggg w w w w w gw
71

85

Example 3.20: Etude 2, mm. 71-74 In Example 3.20, the diminished triads in each of the first 3 measures simply descends chromatically over a stationary bass; not quite a pedal tone. This type of chord movement was common in jazz composition of this era. The unusual resolution, G7 to F#7, at the end of section A is a reference to the Reinhardt excerpt. Here is what appears in the excerpt:

## # V
2

Example 3.21: Etude 2, mm. 2-3 Here is the passage from the main body of Etude 2 that corresponds:
39

##

n # # n # n

U # 2 4

Example 3.22: Etude 2, mm. 39-42 One of the more apparently dissonant passages, mm. 59-61, is symbolized as G7aug5, B7aug5, Emin. Since the two augmented chords have three notes in common, the B7 can almost be viewed as an inversion of the G7. The melody assists in providing a sense of continuity between the chords because the prominent melody note G (m. 60) connects the G7 to the B7 smoothly. As in Example 3.22, this passage is a direct reference to the Django excerpt. 86

## # . . V n . .
59

Example 3.23: Etude 2, mm. 59-61 Throughout Etude 2, the melody provides some color to the harmony, often as an added sixth, seventh, or ninth to the basic harmony. This was a common and important practice in jazz composition of this era, because it developed the familiarity of these sonorities for more sophisticated and extensive use in later styles of jazz. Etude 2 provides a glimpse of how rapidly jazz assimilated melodic and harmonic elements from the popular music of the 1920s, and used those elements to create more sophisticated compositions during the swing era. The texture and rhythmic figures are also quite typical of jazz composition in the 1930s. The bass notes consistently fall on beats one and three, with a chord accompaniment on beats two and four. The melody consists of half notes and dotted half/quarter note groupings. In a typical jazz combo of this era, the guitarist would strum chords on beats two and four, while the bassist would play 2 beat style; i.e. half notes on beats one and three. As the swing era developed, this style became somewhat replaced by the bassist and guitarist each playing quarter notes on all four beats, often for increased rhythmic energy during the improvised solos rather than for the duration of the tune. Mm. 25-28 provide an example of the texture and rhythmic style: 87

## . V
25

. # # . n n

Example 3.24: Etude 2, mm. 25-28 This style remains consistent for the duration of the main body of Etude 2: this rhythmic continuity is a reference to the importance of dance to jazz of this era. Jazz of the 1930s and early 1940s was absolutely considered dance music first and foremost, and concert music a distant second.36 Perhaps this helps to explain the enormous popular success of jazz during this era. ETUDE 3 Etude 3 provides a sharp contrast in style to Etudes 1 and 2 in that it explores some harmonic developments typical of jazz from a much later era, although the original source material is still from popular music before World War II. It takes a standard AABA form with a simple skeletal chord progression in C major, and uses chord extensions and substitutions to present an example of some of the harmonic innovations that jazz composers, arrangers, and improvisers have used to add interest to their versions of standard tunes. The arpeggiated texture also provides a good illustration of how contemporary guitarists have interpreted jazz standards in solo guitar arrangements. The form of Etude 3 is as follows:

36

Tirro 1977, 149.

88

A mm. 1-8

A 9-16

B 17-40

A 41-48

coda 49-57

Example 3.25: Etude 3, formal diagram Section B, the bridge, is extended from 8 measures to 24 measures to provide more opportunity for harmonic development. Many composers of standard tunes, such as Cole Porter, Lorenzo Hart, and George Gershwin, sometimes used the bridge sections of some of their works to create more harmonic instability and interest, commonly with modulations and more extended dissonant passages. For example, the bridge to Have You Met Miss Jones, by Lorenzo Hart, features a particularly active harmonic motion, modulating to Bb, Gb, and D, while the A section remains clearly in F throughout. Consequently, in Etude 3, I chose to demonstrate more of this type of activity by providing a longer bridge. The coda, which is not written as an actual coda, functions as a more definite ending to the A section, similar to the tag often employed by jazz musicians. An example of the type of harmonic development can be seen by comparing the basic skeletal chord progression in section A with the written harmony in the same section.

89

Basic chord skeleton: (mm. 1-8) Cmaj7 A7 Dmin7 G7

Written harmony: (mm. 1-8) Cmaj7#11 Fmaj#11 Emin9 A7b9#9 Bbmaj#11 Abmaj#11 Fmaj7/G G13b9 Example 3.26: Etude 3, harmonic diagram for mm. 1-8 All of the basic skeletal chords have been extended, and several new chords have been added as harmonic embellishments. The addition of the Fmaj7#11 and Emin9 is exemplary of a typical type of embellishment used by jazz musicians known as cycling or back-cycling the standard chords. It consists of either preceding or following a written chord with its neighbor on the circle of fourths. This is most commonly seen with dominant 7 chords being preceded by a minor 7 chord whose root is a fourth below, as in mm. 3-4. This creates ii/V7 harmonic cells, which are quite common in jazz. The use of Bbmaj#11 and Abmaj#11 as substitutions for Dmin7 is a bit more abstract.
4

O O . # b b J V b b . .

Example 3.27: Etude 3, mm. 4-6 In Example 3.27, Bbmaj#11 is somewhat of a deceptive cadence; A7b9#9 resolves to its VI chord rather than to its i (Dmin7). The chords Bbmaj7 and Dmin7 also share three notes (D, F, A) and consequently are easily interchanged. 90

Abmaj#11 is a tritone substitution and a quality substitution for the Dmin7. It is a common performance practice in jazz to substitute a chord whose root is a tritone away form the original chord; while this is most commonly seen with dominant 7 chords, it is not unusual with major 7 and minor 7 chords as well. The quality substitution refers to changing the quality of a chord. This is commonly done with minor 7 chords functioning as ii; the quality change is to a dominant 7 chord, turning the ii into a V/V. In Example 3.27, the quality change helps to preserve some common tones between the original Dmin7 and the substitute Ab, resulting in less dissonance and more harmonic continuity. In fact, most of the notes in mm. 5-6 are either in Dmin7 or are easily related to that chord. The root movement of Bb to Ab is clearly the most dissonant and abstract element of this substitution. The lengthy bridge begins in A minor, and then modulates to G minor and A major before returning to A minor. Each key is visited for only four measures, with the exception of the return to A minor, which lasts only two measures before modulating to D minor. The intent here is to present harmonic instability and create tension, which leads to the eventual return to the A section. The culmination of this tension is an eight measure (mm. 33-40) descending chromatic root movement to G7, the dominant of C major. Dmin A7/C# Dmin/C Bmin7b5 Bbmaj7 Amin Abmaj7 G7#9b9

Example 3.28: Etude 3, harmonic diagram for mm. 33-40

91

In Example 3.28, the Bbmaj7 and Abmaj7 are tritone substitutions for the implied circle of fourth movement of Bmin7b5 to E7 and Amin to D7. This preserves the descending bass line and increases the drive to the G7. Melodic elements are closely intertwined with harmonic considerations in Etude 3 due to its arpeggiated texture. On the guitar, many of the notes in the arpeggios can be sustained throughout the measure by playing them on different strings. This creates a multi-voice effect which assists in adding color and complexity to the chords while preserving the lyrical nature of the piece.

b b V b # b . .
45

U # n # # . .
rit.

Example 3.29: Etude 3, mm. 45-48 In Example 3.29, the eighth notes between the melody and bass notes form a coherent additional voice while adding rich harmonic colors. Since the three notes in each group are fingered on different strings, they are heard as both melodic shapes and chords because they sustain throughout the passage. In particular, the G# that appears in both G7 (m. 46) and Coma (m. 47) adds a b9 and #5 to the chords, respectively, through the superimposition of an E major triad over both chords. This would be exceptionally dissonant if G# was not incorporated into the melodic shapes. Rhythm is not an organizing element in Etude 3. The constant eighth note rhythmic texture is punctuated throughout by sustaining particular notes via the fingering device previously described, and the performer is instructed to interpret 92

the rhythm freely. Harmonic color and the lyrical quality of dissonance are much more prominent compositional factors in the piece. This reflects the development of jazz composition in that harmonic elements rapidly increased in complexity throughout the period from 1930 to 1950, while rhythm did not. Rhythmic performance practices, such as increases in tempo and level of syncopation, did develop throughout that time period, and eventually became benchmark stylistic considerations, along with harmonic and melodic complexity, in the compositions and improvisations of Charlie Parker and other be-bop musicians. However, in contemporary treatments of pre World War II standard jazz compositions, whether realized in arrangements or contemporary improvisation, harmonic and related melodic complexity is typically more pronounced than rhythmic complexity. Thus, Etude 3 provides a good glimpse at an important aspect of the nature of jazz development, as well as an example of some of the contemporary devices commonly used to interpret jazz standards from an earlier era.

93

Chapter 4: Analysis of Etudes 4-6

Etudes 4-6 present three different stylistic perspectives of developments in jazz from after the swing era to before the radical changes of the late 1960s or 1970s jazz-rock fusion era. This large segment of jazz can be referred to somewhat conveniently, if not entirely accurately, as a common practice period in jazz, as an analogue to the common practice period in western classical music which extended from the Baroque era to the onset of twentieth century styles.37 The principles and traditions of western tonality were developed throughout this period, and there is a credible parallel in the development of jazz. The parameters of this common practice period in jazz can be outlined as a set of stylistic boundaries that describe the most common and important characteristics of the music included, and stylistically separate this music from jazz that preceded and followed it. Jazz that is based on harmonies extended to the seventh, ninth, eleventh, and/or thirteenth in all basic chord types (major, minor, dominant) and uses that harmonic vocabulary functionally, in a tonal setting, is included in this common practice period; this separates the music from earlier styles. The use of the ii/V7/I chord progression is quite common, as are some of the typical chord substitution and embellishment devices demonstrated in Etude 3 . Form in common practice period jazz is typically based on popular song forms; this does
37

The idea of a common practice period in jazz was inspired by Andre Hodeir, Jazz: Its Evolution and Essence (New York: Grove Press, 1956), 21-36.

94

not separate this type of jazz from earlier jazz, but it does largely separate it from later developments such as jazz rock fusion, modal jazz, and free jazz, as does the predominance of functional, tonal use of harmony.38 Because jazz has developed so quickly in relation to other, earlier art music styles, there are many examples that blur these stylistic boundaries, and it is impossible to accurately assign dates for such a stylistic division between common practice period jazz and other styles within jazz.39 It is the nature of jazz to continuously break down and recreate its own stylistic parameters to such a degree that there is a constant controversy over whether or not various examples of music are jazz at all.40 As stated earlier in this discussion, this type of subdivision in jazz is merely a convenience for grouping together these stylistic studies for a comparative analysis. Among these three etudes, there is no particular chronological or historical order; the etudes do increase in harmonic complexity somewhat, although the primary reason for ordering these etudes as they appear in this sub-set is effectiveness in concert programming. ETUDE 4 Etude 4 presents Brazilian influences in both jazz, through the inclusion of a bossa nova section, and classical guitar literature, through the inclusion of a choro section. 41 The bossa nova section is highly influenced by the compositional style of Antonio Carlos Jobim, and the choro section is a
38

Michael J. Budds, Jazz in the Sixties: The Expansion of Musical Resources and Techniques (Iowa City: University of Iowa Press, 1990), 44. 39 Hodeir 1956, 21. 40 Collier 1993, chapter 7. 41 Nelson Faria, The Brazilian Guitar Book (Petaluma, CA: Sher Music, 1995). See pp. 60 and 86 for extensive description of bossa nova and choro styles in guitar music.

95

representation of the type of influence this Brazilian popular music has had on classical guitar composition, particularly in some of the works of Heitor VillaLobos.42 The overall form of Etude 4 is as follows:

A mm. 1-34

B 35-90

A (D.C)

coda 91-102

Example 4.1: Etude 4, formal diagram Section A is the bossa nova section, section B is the choro section, and the coda is merely an extension of the last phrase in section A, providing a final cadence. The form of section A is two sixteen measure phrases with a two measure extension on the second phrase which prepares the modulation to A minor, the first key of the choro section. The second phrase is a transposed repitition of the first phrase, with some melodic variation. The form of section B is three sixteen measure phrases; the first is in A minor, the second and third are in A major. There is a four measure connecting phrase which functions as a transition to the return of section A. The forms of these sections are typical of the source material for each; some of the bossa nova compositions of Antonio Carlos Jobim, the most influential composer of this style in jazz, are constructed of two sixteen measure phrases, with occasional phrase extensions. (i.e., Corcovado, How Insensitive, and Triste) Although Jobim often included a bridge in his compositions, such asThe Girl from Ipanema , andWave, in Etude 4 the choro replaces the bridge. Form in the choro is quite variable; however, a typical device
42

In particular, Suite Popular Brasilliene, and Choro #1.

96

is to have a sectional modulation to the parallel major.43 The choro section of Etude 4 uses this device within the regular sixteen measure phrase structure established in section A. The harmony of section A is also influenced by Jobims bossa nova compositions. The chord progression is based on a chromatically descending bass line, as follows: Dmin7 A/C# Cmin7 Bmin7b5

Bbmaj6/9

Amin7

D7

Abmaj7

G7

Example 4.2: Etude 4, harmonic diagram for mm. 1-16 The G7 prepares the entrance of the second phrase, the harmonic structure of which is essentially a transposition down a whole step of the first phrase:

Cmin7

G/B

Bbmin7

Amin7b5

Abmaj7

G7b5

C7

Gbmaj6

F7

Fmin7

Example 4.3: Etude 4, harmonic diagram for mm. 17-32

43

For example, each of the movements in Suite Popular Brasilliene which begin in minor keys contain sectional modulations to the parallel major.

97

The Fmin7 in the final measure of Example 4.3 functions as a link between F7 and the E7 which follows, preparing the modulation to the choro section in A minor. This and the dominant quality of G7b5 in measure 27 are the only significant difference in harmony between the two phrases that comprise section A. The sequential nature of the two phrases, as well as the chromatically descending bass line in each, provides the continuos harmonic instability which is central to the character of section A. As is typical in Jobims compositions, the melody in section A i s repetitive, giving coherence to the section, and often adds harmonic color as an extension and/or alteration of the chords. An example of this is in mm. 9-12:

j j . . Vb
9

j j

j . . b j . j . j # # J

Example 4.4: Etude 4, mm. 9-12

In Example 4.4, the melody adds the raised 11 to mm. 9-10, flat 5 to m. 11, and flat and sharp 9 to m. 12. This type of harmonic color in the melody occurs frequently in section A. The harmony in section B is more stable within tonal centers than section A, but more chromatic than would be typical in a Brazilian choro. Much of the chromaticism occurs melodically; this is done to stylistically connect the section with the aesthetics of jazz improvisation in Brazilian influenced settings. The harmony in the first phrase (mm. 35-50) is a simple chord progression in A minor: 98

Amin

E7

E9

Amin

Amin6/9

A7b9

Dmin

Amin

Bmin7b5 E7

Amin

Example 4.5: Etude 4, harmonic diagram for mm. 35-50 An example of the melodic chromaticism is in mm. 45-48, where there is a series of appogiatoras on the first beat of each measure.

j . . V # .
45

j . . . #

j . . .

.. j # .

Example 4.6: Etude 4, mm. 45-48 In mm. 45-46, there are incomplete diminished 7 chords resolving to Dmin6 and Amin respectively. In m. 48 the chord of resolution is actually on the downbeat, but due to the melodic sequence of this passage, the C is heard as the note of resolution, resulting in an E7b9#5 being perceived as the chord of the measure. The second and third phrases of section B are in A major. The chord progression is loosely based on the major section of Jobims composition Chega de Saudade, differing only in the final twelve measures of the third phrase. The harmony of the phrases is as follows: (mm. 51-82)

99

Amaj

F#7

B7

E7

Ao7

Amaj

C#min

Co7

Bmin7

B7

E7

Amaj

F#7

B7

G#7b5

C#min6

Dmaj

D#o7

A/E

F#7

B7

E7

Amaj

Example 4.7: Etude 4, harmonic diagram for mm. 51-82 In the second and third phrases, the melody adds more extensive harmonic color and chromaticism than it does in the first phrase. In mm. 63-66, the melody is quite reminiscent of an improvised jazz solo:

b n n # # # # # # # # n b n V w
63

Example 4.8: Etude 4, mm. 63-66 In mm. 63-64, the melody outlines a B13#11 chord, and in mm. 65-66, the alternating Bb major and E major triads result in an E7b9b5 chord. A similar passage is mm. 71-74:

100

j # # # n # # # # V 3
71

Example 4.9: Etude 4, mm. 71-74 The melody in mm. 71-72 is a sequential pattern from the A melodic minor scale. Applied to a G# chord, this results in the G#7 (altered) sonority, and contains the b9, #9, b5, and #5. In mm. 73-74, the chord of resolution is C#min6; the melody arpeggiates through the major 7 and 9 of the chord (B# and D#), which suspends the G#7 harmony over the first measure of resolution. These melodic devices are directly taken from typical be-bop improvisation vocabulary. Rhythm is an important organizing factor in Etude 4. The bossa nova rhythm applied to solo guitar typically includes bass notes on the first and third beats with chord accompaniment in a regular, somewhat syncopated pattern as follows:

Vb c

Example 4.10: Etude 4, mm. 1-2 The melody is highly syncopated and affects the placement of some of the accompaniment chords. Example 4.11 is the same passage with the melody:

101

 w b c V P
1

j j

Example 4.11: Etude 4, mm. 1-2 This rhythmic pattern remains constant throughout section A, with only a few variations on beat four to facilitate execution on the instrument. With the sole exception of the first note, every melody note in this section occurs off the beat, invariably anticipating the beat in which the harmony that supports it is found. The accompaniment chords occur on beats one and two, and either on beat four (as in m. 2) or between the beats at the end of the measure (as in m. 1), depending on the activity of the melody. Since the bass half notes provide the primary pulse, even accompaniment chords on beats two and four are perceived as syncopated. As stated earlier, the repetitious and distinctive rhythmic figures in the melody and accompaniment are essential unifying factors in the section, and provide a strong sense of compositional focus within the earlier described harmonic instability. The rhythmic figure for section B, the choro section, is simpler, but equally distinctive. It combines a recurring dotted half note/eighth note figure at the beginning of the measure, and three eighth notes at the end of the measure:

102

j ### ... V
51

j # ...

Example 4.12: Etude 4, mm. 51-52 The tempo of the choro is usually faster than that of a typical bossa nova, and such is the case in Etude 4, accomplished through an accelerando in mm. 3334 leading into section B. The melody is more active in this section, resulting in the occasional temporary suspension of the accompaniment rhythmic figure shown above. This increases the rhythmic tension and drive of the section, as it typically occurs in passages of melodic chromaticism that imitate improvisation by a soloist. Brazilian music, like many Latin American popular music styles, is dance music, with specific dances for the various types of rhythmic groupings that characterize the many styles of Latin music. Thus, the use of rhythmic patterns as the foundation for Etude 4 is the most central characteristic of the piece. ETUDE 5 Etude 5 explores several possibilities for harmonic embellishment of the ii/V7/I progression that forms the foundation for much of common practice period jazz as described earlier in this chapter. The ii/V7/I progression is so central to bebop and related styles of jazz that several jazz methods devote entire sections to it.44 Thus, Etude 5 is somewhat more theoretical in nature, rather than historical or stylistic. The setting is a jazz waltz loosely inspired by the waltz interpretations
44

For example, Jamey Aebersold, A New Approach to Jazz Improvisation, Vols. 3 and 16.

103

of pianist Bill Evans, although Etude 5 is not derivative of any particular example of his compositions or arrangements. The overall form of the piece is ABA(coda); section A provides the jazz waltz, while section B is a rhythmically free interlude which further explores the ii/V7/I progression in a more improvisatory setting. The coda is an extended tag on the A section and provides a final cadence in Bb major, the original key of the etude. A mm. 1-80 B 81-109 A 1-44 coda 110-146

Example 4.13: Etude 5, formal diagram Section A is comprised of five sixteen measure phrases. The first, second, fourth, and fifth of these explore various voicing and embellishment possibilities within a given chord progression outlined as folows, in the keys of Bb, Eb, Ab, and Db respectively. The third phrase consists of a cyclical progression that provides some harmonic variety, acting as a transition within the A section. Each of the phrases adds some chromaticism. Example 4.14 is the basic chord progression that the first, second, fourth, and fifth phrases are built on:

ii(min7) V7

ii(min7)

V7

IV

III7

VI7

ii(min7)

V7

ii(min7)

V7

Example 4.14: Etude 5, harmonic diagram

104

The first phrase establishes both the basic chord progression in Bb and the jazz waltz rhythmic figure:

j b 3 V b 4 . b J n
1

j .

j . b J n

j .

. .

Example 4.15: Etude 5, mm. 1-6 Although the harmony is extended, all the chords are diatonic and the passage is harmonically quite basic. A bit of chromaticism appears later in the phrase:

j b b V b #. J
7

n j n . J

j . b 2 J n

j # . J

j .

j b . J

Example 4.16: Etude 5, mm. 7-12 In Example 4.16, the chromatically ascending top voice results in some interesting extensions and alterations of the basic chords: D7b9, G13, Cmin11, F13b9, and F13#9. The second phrase uses the same chord progression, transposed to Eb. Some new harmonic color is added through the resolution to Ebdim7 as a quality substitute for Eb (I major), and the use of Gb7b5 as a tritone substitute for C7 (VI).

105

 n . . j b # b b V b . J . A . b .
19

b . j b n . b . J J

Example 4.17: Etude 5, mm. 19-24 The superimposition of foreign triads over the given bass note is an important harmonic device in Etude 5 . Mm. 19-21 provide an example of this; in m. 19 the Ab triad over F bass forms Fmin7, in m. 20 a G triad over Bb bass forms Bb13b9, and m. 21 Ebdim7 is formed by superimposing a D triad over Eb. Each of these measures provides an increasing level of dissonance as the relationship between the triad and bass note becomes more abstract. The third phrase demonstrates the ii(min7b5)/V7 cycle, back-cycling from Bb major. It also introduces the resolution to I(maj7#5), a highly dissonant resolution, but accomplished melodically by suspending the D major element of the F13#9 from the previous measure: Emin7b5 A7(alt) Dmin7b5 G7b9#9 Cmin7b5 F13#9 Bbmaj7#5 Bbmaj7

Example 4.18: Etude 5, harmonic diagram for mm. 33-40 The fifth phrase (mm. 65-80) is the culmination of abstraction and dissonance in the piece. Both the upper structures of the chords and the bass notes use embellishment and substitutions. The phrase is in Db, built on the basic chord progression outlined earlier. The first four measures (ii/V/ii/V) are as follows: 106

j b bb b V .
65

j n .

j b b .

j n n . J

Example 4.19: Etude 5, mm. 65-68 In the bass line, D is a tritone substitution for Ab (V in Db). The middle three voices are triads with roots one step below the bass line, providing scale degrees 9, 11, and min7 to the bass note. This avoids the third of the chord, thus obscuring the chords quality. Further tonal ambiguity occurs due to the quartal voicing. The upper voice leads chromatically up towards the tonic, increasing tension through the passage. The second four measures (I/IV/III/VI) continue with this type of harmonic movement:

j 69 b V b b .

j # # n b .n

j j b n # . n . J J

Example 4.20: Etude 5, mm. 69-72 In Example 4.20, Eb/Db substitutes for Dbmaj, E/Gb for Gbmaj, and D/E for Bbmaj. The upper voice adds melodic color and tension by avoiding the tonic Db. The third four measure segment (ii/V/ii/V) expands the dissonance of Example 4.19, the first segment:

107

 j n j j b n## V b .b b . J . J
73

j bb . b 4 J J

Example 4.21: Etude 5, mm. 73-76 In Example 4.21, Db/Eb substitutes for Ebmin7, C/D for Ab7, B/A for Ebmin7, and Bb/D plus Gb/D for Ab7. The final chord of the example(Gb/D) is Dmaj7#5; both a tritone and quality substitution for the original Ab7. Some of the chords in this passage are enharmonically spelled in the etude to facilitate reading. The Gb triad eventually resolves down to a Fmin triad, which completes the resolution to Dbmaj7, but first the tension is suspended over the resolution by moving to a C triad over Db bass:
77

U n c b . . . . n b b b . . . . V b .n . b . n . b . . b . .
rit.

Example 4.22: Etude 5, mm. 77-81 Section B, the interlude, further explores the use of foreign triads over bass notes to harmonically embellish the ii/V7/I progression. The basic chord progression is as follows: Dmin7b5 G7 Cmin7 F7 Fmin7 Bb7 Ebmaj7

Amin7

D7

Gmaj7

Amin7

D7

Gmaj7

108

F#min7b5 B7

Emin7

A7

Emin7

A7

Emin7

A7

Emin7

A7

Emin7

A7

Dmin7

G7

Example 4.23: Etude 5, harmonic diagram for mm. 81-109 The freely arpeggiated texture of section B allows for a blending of melodic and harmonic elements; this helps to give the section its improvisatory nature. As example of this blending is in mm. 86-88:
86

jU b b ... b n j b b V b w# b . . b . . J

Example 4.24: Etude 5, mm. 86-88 In Example 4.24, the chords outlined are Ab/Bb, G/Bb (m. 86), D/Eb (m. 87), Ebmaj7. Ab/Bb to G/Bb substitutes for Bb7; the resulting sonorities are Bb7sus4 and Bb13b9. Bb13b9 then resolves to Ebo7(maj7). The top notes, which are sustained by fingering on separate strings, form a melodic line which guides the listener through the somewhat abstract resolution. An example of the use of multiple triads over a given bass note to add harmonic interest is in mm. 90-92:

109

# b 90 # b V

j . # . b nn # . . J 3 J

j . # j g# # gg gg . gg gg

Example 4.25: Etude 5, mm. 90-92 In Example 4.25, B, Ab, and F triads over D bass note result in a highly embellished D7, while D, A, and B triads over G bass note sustain the tension and interest through the resolution to Gmaj7. The section ends with an eight measure Emin7/ A7 sequence, in which D/E substitutes for Emin7 and Eb/A substitutes for A7. This sequence prepares Dmin7/G7, which in turn prepares the return to section A. Each two measure segment of this sequence increases the level of dissonance. It begins as follows:
100

b b b # # j b b V b w w w w F

Example 4.26: Etude 5, mm. 100-104 The sequence ends as follows, with heightened dissonance:

# 106 # V J

b b

U # b b b 3 b ## w j b 4 w J
rit. D.C. al Coda

Example 4.27: Etude 5, mm. 106-109 110

The coda further explores this use of foreign triads for harmonic interest. The basic chord progression for the opening of the coda is as follows: Bbmaj G7 Cmin7 F7

Example 4. 28: Etude 5, harmonic diagram for coda A sequence of descending triads adds interest:
112

j j j j # # b nn b V . . . J . J J

Example 4.29: Etude 5, mm. 112-115 The coda continues in a similar manner, increasing the level of dissonance and interest over several repetitions of the basic I/VI/ii/V progression. Consequently, it is clear that harmonic interest is the principle organizing element of Etude 5. Rhythm, however, does contribute some significant elements of style to the piece. The primary vehicle for rhythmic interest in Etude 5 is hemiola. The best example of this is in the third phrase of section A, in which the melody implies 6/8 while the accompaniment clearly remains in 3/4. 2
2

b b . V b . b .
57

. bn . .

. b . b .

. bn . b .

Example 4.30: Etude 5, mm. 57-60

111

The duple/triple meter conflict demonstrated above appears to varying degrees throughout much of the jazz waltz section. The ending of the section provides a four against three hemiola, which, when combined with a ritard, provides a graceful transition to the 4/4 interlude, section B.
77

U n b V b b .n . . . b . n . . . b . . b . . b . . b . . n c
rit.

Example 4.31: Etude 5, mm. 77-81 Etude 5 provides a glimpse at the type of harmonic and rhythmic exploration jazz musicians and composers use to add interest to familiar forms and chord progressions. Not surprisingly, the more familiar the form and/or harmonic setting, the more abstract and adventurous the explorations tend to become. Consequently, the ii/V7/I progression is a good vehicle for demonstrating this type of abstraction and development. One of the most familiar, and subsequently most explored, settings in common practice period jazz is the blues, the subject of Etude 6. ETUDE 6 Etude 6 demonstrates the twelve measure blues form in jazz. It is also the most clearly representational of improvisation of the nine etudes; the formal structure of the piece is exactly as an improvised blues performance might take place. Folowing the initial twelve measure theme is a series of four twelve measure variations, all based on the same basic harmonic and phrase structure, and each increasingly abstract and dissonant. The original theme returns 112

following the last variation, with an extension or tag which provides a more final ending. As is typical in blues, the form of the twelve measure theme is comprised of three four measure phrases. Although there are often many harmonic variations and embellishments, the basic form in blues for common practice period jazz is usually structured as follows:45

I7 mm. 1-4

IV7 5-8

(I7)

V7 9-12

I7 V7

Example 4.32: harmonic diagram for blues The first two phrases often have some melodic relationship; either the melody is transposed to the IV chord, or altered to fit the change in harmony. This is widely thought to be a vestige of the call and response nature of field hollers from slavery.46 The third phrase typically acts as a consequence to the first two. The blues form typically ends on the V7, preparing the repeat of the form. The form repeats as desired by the performer or composer; invariably there is some sort of extension at the end of the final repetition which provides an ending on the tonic. The formal simplicity and clarity of the blues provides a good setting for development and abstraction in other musical elements; in Etude 6 , the most significant of these is harmony. Harmony in the blues is at once quite simple and deceptively complex in terms of explanation using the typical terminology of tonality. In one regard, the
45

Richard J. Lawn and Jeffrey L. Hellmer, Jazz Theory and Practice (Los Angeles: Alfred, 1996). See pp. 167-178 for a thorough discussion of typical harmonic patterns in blues form. 46 Schuller 1968, 36-37.

113

blues presents the essence of simple tonality; a repeating structure based on I, IV, V, I. However, the use of dominant 7 chords for I and IV functions, and the idiomatic scale alterations (minor and major third, diminished and natural fifth) make it difficult to accurately describe the music in terms of its tonal center. Blues has a modal intrusion in which the blues scale, essentially a functioning mode, is superimposed on the major/minor tonal setting. Although the blues scale can be written in a few variants, for the purpose of this discussion it is as follows:

# & b
1

Example 4.33: blues scale The blues in jazz blends the use of the blues scale and the common practice period jazz based tonal, but chromatic, approach to harmony. This results in many possibilities for the improviser/composer to use dissonance and chromaticism while remaining clearly within the stylistic bounds of blues, and is yet another reason for the forms great popularity as a vehicle for experimentation in jazz. The harmonic structures for the twelve measure theme of Etude 6 are typical of blues compositions in the common practice period of jazz:

G7

C7(9)

G7

Dmin7

G7b5

C7(9)

Cmin7

G7 114

C7

B7alt

E7alt

Amin7

D7 C7 Bb7 Ab7

G7

E7

Amin7

D7

Example 4.34: Etude 6, harmonic diagram for mm. 1-12 Some chords and extensions present in the twelve measure theme are omitted from the preceding diagram. These chords, such as the Db7 in m. 3, are embellishments of the principal harmony, and are realized through movement in either the bass line or the melody. The melodic cell that generates the theme of Etude 6 is outlined in the first measure.

n V c b
1

Example 4.35: Etude 6, m. 1 The complete theme is comprised of three of these cells, the last of which adds an extension. Thus, the thematic structure of the piece mirrors the three phrase structure of the blues form.

b n c V b
1

b # b b b

b n b b

# b

Example 4.36: Etude 6, mm. 1-4

115

The theme uses the notes Db, Bb, F natural from the blues scale. The harmonic embellishments that the theme adds are typical of the chromaticism that results from the superimposition of the blues mode over typical blues harmony; in this example the dominant 7b5. Of interest is the inclusion of F# in m. 2 as a result of transposing the cell up a fourth to fit the harmony. Although this note, the major 7 in G major (the key of this etude) conflicts with the overall blues mode, it results in C 7#11, a typical quality for the IV chord in jazz based blues. The first twelve measure variation, or chorus, as jazz musicians describe repetitions of the form, introduces some new harmonic material, but primarily adheres to the harmony in the opening twelve measures. The chorus is based on the triplet figure that ends the theme, first heard in m. 4. As this figure is sequenced, new dissonances are formed, implying some new harmonies. The first of these is in mm. 14-15:

b b b b b n V # b b
14

Example 4.37: Etude 6, mm. 14-15 In Example 4.37, C#dim and Ab13 are outlined as embellishments to the basic harmony of C7 and G7 respectively. In mm. 19-20, two new passing chords are outlined.

116

b n b j # V #
19

j b

# j #

Example 4.38: Etude 6, mm. 19-20 In Example 4.38, F#7 and F13b9 function as passing chords between G7 and E7. The chorus ends with an interesting chromatically descending sequence of chord structures, first arpeggiated in triplets, then compressed into vertical structures which themselves descend chromatically in triplets.

n # # n n V # # # # 23 b b # n b b b # n b b b V # n b b b
21

Example 4.39: Etude 6, mm. 21-24 In Example 4.39, the harmony outlined in m. 21 is A13#9, which is a quality substitution for the Amin7 which occupies the corresponding measure in the theme. In m. 22 the arpeggio simply descends one half step, outlining D13#9. The sequence continues in the next measure, although the structure is now vertical. G13#9 is outlined, as is E13#9. The final measure of the chorus outlines A13, moving through D7#9 to Gb13. There is enough melodic direction, due to 117

the lengthy sequence, that the highly dissonant Gb13 still functions as a preparation for the return to G7 and the start of the next chorus; it acts as somewhat of an abstract leading tone chord. The next chorus, mm. 25-36, continues with chromatically descending chord structures as seen in the previous example. These structures, alternating with passages of active melodic lines, give the chorus a highly improvisatory feel. Rather than new harmonies being introduced, this chorus develops some of the harmonic ideas from the previous chorus.

V J
25 3

# J

j j n # bb bbn b J J
3 3

j b n n b b b b b b b
3

Example 4.40: Etude 6, mm. 25-26 In Example 4.40, the descending triads over bass notes that are one half step above the root of the triad function as passing chords between G13b9 (Emajor/F) and C7sus4 (Bbmajor/C). The sixteenth note passage that follows outlines the chords heard in the corresponding passage in the previous chorus, but with more melodic activity.

118

 V b b b
27

b b n b b b 3 bn b b b . J

Example 4.41: Etude 6, mm. 27-28 One new harmony is introduced in m. 31, the seventh measure of the chorus, which returns to I7(G7) in the theme. Here Bmin7 (iii) is substituted. This substitution works well because the next measure contains E7; consequently Bmin7 functions as a ii, constructing a ii/V7 sequence. The most dissonant and abstract passage in the chorus is mm. 33-34.

j # 33 # b V
3

3 j j n b bn # J J 3

3 j j j b b b n b # J J J 3 3

j n J
3

j n J
3

Example 4.42: Etude 6, mm. 33-34

The basic chords for the corresponding measures in the theme are Amin7 and D7. In Example 4.42, the descending chord structures begin on A7#9, and move to D7#9b13 in m. 34. Passing chords include D13b9, C13, Bb13, A13. The A pedal in the bass firmly establishes the basic harmonic intent, and the chords are perceived as melodic embellishment. The structures do not move exactly as chromatic descending structures, but due to the prior examples of this type of 119

harmony, the passage is easily identified as developmental of earlier passages of similar style. The next chorus, mm. 37-48, demonstrates a more abstract and modern harmonic interpretation of the blues. Several unusual harmonic structures appear as a result of melodic direction and/or linear bass line movement. Many of these structures are based on triads over foreign bass notes. This allows contrapuntal movement between the triads and the bass line to determine chord quality. The clarity of melodic direction prevents the harmony from sounding chaotic, and preserves the identity of the blues form. The chord progression is as follows:

Fmaj/G Amaj/B Eminb5/Bb Abmin9 Fmaj7/G Gbmaj7 D/E Eb11 D7alt Db7

Cmin7 Bbmin7

Amin7 Abmin7 Fmaj/G F#min7

Gmaj/F

Emaj7

Ebmaj7

D7alt

Dbmaj7

C7#5 Bb7#5 A7#5 Ab13

Example 4.43: Etude 6, harmonic diagram for mm. 37-48 While this progression appears quite abstract for the blues, the root movement provides melodic direction between derivatives of the basic chords that define the form. For example, the Cmin7 in m. 41 is simply a quality substitution for C7, which is a basic chord at this point in the blues form. The root movement, which starts on G in m. 37 and moves to B on beat three of that measure,

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descends stepwise continuously through the first four measure phrase (mm. 3740) to arrive at C. The chord quality at the beginning of the chorus is deliberately ambiguous through the avoidance of a third in m. 37 over the given bass notes. This allows more flexibility of perception of the chord function; the listeners attention is drawn to the melodic pull of bass notes in the absence of familiar and definitive chord quality. Similarly, the root movement is a stepwise descent from C in m. 41 to G in m. 43; this measure is another important point in the blues form, because it typically contains a return to the I7 chord. The stepwise descent continues to Eb in m. 45; here Ebmaj7 is a tritone and quality substitution for Amin7, the basic chord at this point in the form. From this point, the bass line continues descending stepwise to Ab13, another tritone substitution for the basic chord, D7, and prepares the beginning of the next chorus. Consequently, the root movement of this chorus provides a clear, if somewhat abstract, sense of direction through the harmonic foundation of the blues form. Contrary movement between the bass and the upper triad is also important in providing the sense of direction in this chorus (mm. 37-48).

b b n b b b #4 # V b b b b b
37

Example 4.44: Etude 6, mm. 37-39 In Example 4.44, the upper note in each arpeggiated triad forms an ascending chromatic scale in contrary movement with the descending bass line. Much of the 121

harmonic direction of this chorus is based on this type of counterpoint. Here is another example:

b n # b b V # # # b b b J #
43

Example 4.45: Etude 6, mm. 43-45 Although the bass line and some of the upper structures are different from Example 4.44, the effect is much the same. The ending of the chorus uses similar compositional techniques, although the root movement is not rhythmically continuous. However, since the descending bass line is so firmly rooted in the listeners attention by this point in the chorus, it is still easily perceived. From beat three of the first measure of the chorus, the bass line descends in a stepwise, and mostly chromatic, manner through the entire chorus: B, Bb, Ab, G, Gb, E, Eb, D, Db, C, Bb, Ab, G, F#, F, E, Eb, D, Db, C, Bb, A, Ab. This gives focus and harmonic direction to the chorus, and allows the abstract harmony to be easily perceived as an adaptation of the basic blues harmonic structure. The final variation, or last chorus before the return of the theme, also uses root movement to clarify abstract harmony. However, in this chorus, the bass line ascends chromatically, in the accompaniment of a repeating blues riff or melodic fragment from the blues scale. This type of writing is a representation of the shout chorus typical of swing era big band arrangements. In the shout

122

chorus, several instruments play a repeating riff in tutti, resulting in a textural climax of intensity and focus before returning to the original melody of the arrangement. The historical and stylistic familiarity of this style of writing allows quite dissonant and abstract harmony to be accepted; in fact, it adds to the effect of compositional climax. In Etude 6, the tutti is represented by chords that involve five of the guitars six strings. The chord structures for this chorus are as follows:

G13#9

Abo

Ao7

Bb13b9 Bo7

C9(sus4)

Db7alt

C13#9 Db13(sus) E13/D Eb9(sus4) G13#9 F#13b9

F13

E7alt

A13b9 C7alt

Db7alt D7#9

Cmin7

Bbmin7

Amin7

Ab6

Example 4.46: Etude 6, harmonic diagram for mm. 49-60 Despite the chromatic root movement and highly altered chords, the basic blues form harmony is clearly outlined through the use of G7 in m. 49, C7 in m. 53, G7 in m. 55, and A7 in m. 57. These are the important points in the form for defining the phrase structure. As in the original theme, the shout chorus uses three phrases, each one based on the blues riff; the second is a transposition of the first, and the third is a consequence to the first two. The blues riff is in the top voice as follows:

123

b . .. V . .
49

j b J

j b . b .. # . n . b J

j b .. n b b . b . J n

Example 4.47: Etude 6, mm. 49-51 The combination of the quite traditional blues riff and the quite dissonant harmony results in an effective dramatic climax to the piece. As stated earlier, Etude 6 is directly representational of an improvised blues performance. The shout chorus is typical of the climax of a well structured improvisation, combining the highest level of dissonance and abstraction in the improvisation with its highest level of emotional intensity, achieved through the repetition of the blues riff. This prepares the return of the original theme, and subsequent resolution of tension. Rhythm in Etude 6 is not an organizing element. However, there are some aspects of the etudes rhythm that warrant mention, primarily the introduction of swing eighths in Etude 6. There is no single correct interpretation of swing eighth notes; in fact, the various ways jazz musicians have articulated eighth notes is often one of the defining characteristics of the individual musicians style. However, in common practice period jazz, swing eighths can be loosely described as having an elongated note on the beat, sometimes with added weight or emphasis. In Etude 6 , the eighth notes are intended to be influenced by the triplet feel, (implied 12/8 meter) but not entirely interpreted as quarter/eighth triplets.

124

# b V
4

b b# b

Example 4.48: Etude 6, mm. 4-5 In this example, the triplets in m. 4 influence the interpretation of the eighth notes in m. 5, but the eighths should not sound exactly like triplets. An accurate description of the swing articulation has proven elusive; I feel that an appropriate analogy can be found with accents and pronunciation in language study.47 One can crudely describe the differences between, for example, a native French speaker and a foreigner speaking correct French, but ultimately the difference can only be demonstrated through aural example. Swing in jazz is much the same. As stated earlier, the blues form is a benchmark vehicle in jazz for exploration and stylistic development. It was certainly among the more formative roots of jazz, and continues to be a favorite form for many jazz musicians most adventurous improvisations. It reached its pinnacle of benchmark status during the common practice period of jazz within the be-bop era. Thus it is appropriate that the set of Etudes 4-6 ends with a blues.

47

Berliner 1994. Discussion of language analogy to jazz phrasing, 492-493.

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Chapter 5: Analysis of Etudes 7-9

The last group of three etudes, Etudes 7-9, cannot be effectively linked together stylistically. Rather, they are best grouped together for what they are not; specifically, pieces that are influenced by or derivative of common practice period jazz. Etude 7 is unique among the etudes because it is representative of post bebop modal jazz, a style which became influential in jazz through the compositions and performances of musicians such as Miles Davis, John Coltrane, and Chick Corea, among others, in the early 1960s. Some of the hallmarks of this trend in jazz include expansion away from the popular song forms that were typical in prior styles of jazz, 48 and two distinct trends in harmony. One of these was a dissolution and simplification of the typical key centered chord progressions based on the ii/V7/I or similar types of progressions, in favor of extended passages based on just a few chords. One of the benchmark early examples of this is the Miles Davis composition So What, which is comprised entirely of Dmin7 and Ebmin7, with the dorian mode as the foundation for both chords.49 The other harmonic trend involved an increase in chromaticism and complexity of chord structures, which typically included chord progressions that produced few conclusive cadences, and unstable root movement.50 Some of the compositions of

48 49 50

Budds 1990, 71. Budds 1990, 44-48. Discussion of modal jazz with So What as an example. Budds 1990, 12. Budds describes this trend as a continuation of evolutionary process in jazz.

126

Wayne Shorter, such as Iris and Nefertiti, are examples of this trend.51 Etude 7 combines some elements of both of these trends, but within the confines of a single stylistically focused form. Etudes 8 and 9 are also unique in the set because their stylistic source is from classical guitar composition, rather than jazz itself. As discussed in Chapter 1, jazz has had an influence on a number of classical guitarist/composers; these etudes provide examples of that influence on two such guitarist/composers, Sergio Assad and Roland Dyens. Since the Jazz Etudes for Classical Guitar is, on a fundamental level of description, a work for classical guitar which explores jazz styles, it is appropriate that the work should include examples of the influence of these styles on current classical guitar composition. Consequently, the style of each of Etudes 8 and 9 is strongly dependent on the individual style of the composer who is emulated, and will be discussed in the analysis of the individual pieces. These two etudes conclude the set not because they are the most contemporary or complex in terms of the style of jazz influence present in each, but primarily because this placement provides a sense of completeness in performance of the program. It allows the first seven etudes to provide an overview of various styles of jazz interpreted on the classical guitar, and the last two to function as somewhat of a homage to these composers who, in turn, have influenced my efforts in writing for the instrument. In a sense, they also provide a change of perspective for the set of etudes; the first seven utilize jazz sources, and are adapted to include the compositional language and idioms of the guitar, while

51

Lawn and Hellmer 1996, 224-225.

127

the final two utilize guitar compositional sources, with adaptations to include jazz language and idioms. ETUDE 7 Etude 7 begins and ends with an extended D pedal tone. This provides insight into the nature of the piece; although it eventually utilizes several types of harmonic and modal structures, much of Etude 7 is devoted to exploring various possibilities in D minor. The form reflects this exploration, with the large scale form beginning and ending firmly on D, and venturing furthest away from D in the middle of the piece. The overall form is in five parts as follows:

A mm. 1-17

B 18-49

C 50-97

B 18-coda

A 103-121

Example 5.1: Etude 7, formal diagram There is a symmetry to the form which is important to the piece, and is also found in the harmony. Section A is eighteen measures long, section B thirty two, and section C is forty eight measures long. Thus, the form elongates as the distance from the initial static tonality increases. There are other examples of symmetry to the form within the sections; section B consists of two sixteen measure phrases, the second of which is basically a transposed repetition of the first, with some melodic variation. Section C begins with four four measure phrases that are transposed by minor thirds, providing harmonic symmetry, with a four bar connecting phrase separating the first two from the last two. 128

Section A is comprised of a series of harmonic structures and related melodic passages over a D pedal, functioning as an introduction to the etude. The initial chords are derivatives of Dmin7/G7, but the section gets increasingly chromatic. Dmin7 is never perceived as a ii function; due to the pedal and melodic direction of the eighth note passages, Dminor is clearly the tonal/modal center. The eighth note passages outline the surrounding vertical chord structures.

j .

b .. # .. # w

b w n w # w b w . w J

Example 5.2: Etude 7, mm. 9-12 The use of Ab and C# add dissonance to the D minor tonal/modal center. Since the prior chords more clearly outline Dmin7/G7, this progression is clearly perceived as simply more chromatic, not a change in tonality. The section builds to a passage built on the seventh mode of the Bb melodic minor scale, which contains the b5, #5, b9 and #9 of A7. This mode is often referred to in jazz theory as either the altered scale or the super locrian mode. This prepares the entrance of section B.

129

 .. b .. b b V w
14

w w w w . J

b #

n #

Example 5.3: Etude 7, mm. 14-17 Section B is comprised of a simple chord progression in D minor, which is then transposed to F minor.

Dmin mm. 18-21 Fmin mm. 34-37

Bbmaj7 mm. 22-25 Dbmaj7 mm. 38-41

A7 mm. 26-29 C7 mm. 42-45

Dmin mm. 30-33 Fmin mm. 46-49

Example 5.4: Etude 7, harmonic diagram for mm. 18-49 The melodic figures add color, chromaticsm, and modal implications typical of post be-bop jazz to the simple skeletal chord progression. The predominance of fourths and sevenths in the melodic contours is also stylistically typical.

j b b . V b . J w w
19

Example 5.5: Etude 7, mm. 19-22

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A good example of the modal implications referred to earlier takes place in mm. 26-29. Here A phrygian and A super locrian imply A7b9 sus4 and A7 (alt).

b b b # # b b b V . . . . J . J
26

Example 5.6: Etude 7, mm. 26-29 The second phrase of section B, mm. 34-49, is quite similar to the first phrase, mm. 18-33. The last measure of the section, m. 49, prepares the entrance of section C by changing the Fmin to F7 (b9#9) through the use of a segment of the F diminished scale.
To Coda

V . b
48

b b # b n

Example 5.7: Etude 7, mm. 48-49 Section C is the most harmonically complex section of Etude 7. It uses a set of vertical chord structures based on the Bb aeolian mode, with added notes E natural and G natural. These notes combine with the Bb and Db from the original mode to add a diminished or octatonic quality. The sum of these notes presents a bi-modal harmonic vocabulary to the structures. The upper three voices, which form quartal structures typical of modal planing in this style, descend stepwise, while the bass notes ascend in minor thirds and stepwise. 131

50

.. b b . b .

b b

bb b

.. bb ..

bb b

Example 5.8: Etude 7, mm. 50-53 This passage, mm. 50-53, is sequenced in minor thirds; first starting on Db in mm. 54-57, then on G in mm. 62-65, then again on Bb in mm. 66-69. The third and fourth appearances in the sequence have some rhythmic variation, but the harmony is consistent. The minor third movement reinforces the diminished quality to the section, and is also a reference to the minor third relationship between D minor and F minor in section B. The last of these appearances prepares the A pedal phrase of section C, which is based on the A phrygian and A super locrian modes. The alternating passages of these two modes are a reference to example 5.6, from section B, and provide an increase in harmonic tension which is released through the return of section B at the D.S. al coda. Here is the beginning of the phrase.

b b#w b n # b w w b w w V w w . w . w J J
70

Example 5.9: Etude 7, mm. 70-73 The phrase continues to build in intensity and dissonance:

132

 b b w w bw 82 b w b b w w w b #w V . w . w J J
Example 5.10: Etude 7, mm. 82-85 The section culminates with a longer version of the passage at the end of section A, preparing the return of section B.

b # b b b V .
94

D.S. al Co b # # b # b .

Example 5.11: Etude 7, mm. 94-97 Following the return of section B is a coda, which provides a brief connecting phrase leading to a direct restatement of section A, which ends the piece.
99

rit. U w j j b . b w b V . b b b w w bw w
Coda

Example 5.12: Etude 7, mm. 99-102

133

As previously stated, symmetry is important to Etude 7. The use of section A as both an introduction and ending to the piece is the most easily perceived use of symmetry in the piece. That symmetry, in both the form and some of the harmonic structures, is central to Etude 7 is no coincidence. The transformation of non-symmetrical structures into symmetrical ones is a major trend in twentieth century compositional techniques.52 Modern jazz relates more to such techniques than does its predecessors,53 and thus such use of symmetrical structures is appropriate for the style of Etude 7. Rhythm, while not a primary organizing principle in Etude 7, does play a supporting role in the piece. There is a rhythmic motive which is established at the beginning of the etude in the bass pedal.

VC .

. .. w

w w ww . J

Example 5.13: Etude 7, mm. 1-3 This motive is a typical clave rhythm, grouping 3+3+2 beats, and usually associated with any number of Latin American styles. It appears throughout the piece in the bass, in section B in the opening chords, and, expanded to twice its value, as the rhythmic foundation for the chords in the later part of section C.

52

See Elliot Antokoletz, Twentieth Century Music (Englewood Cliffs, N.J.: Prentice Hall, 1992) Extensive discussion of this trend in composition. 53 Budds 1990, 44, 53-55, 71-73, 82. Throughout Jazz in the Sixties, Budds discusses 20th century art music influences on modern jazz.

134

.. b b . V b .
50

b b

bb b

.. bb ..

bb b

Example 5.14: Etude 7, mm. 50-53 There is a stylistic connection between this type of rhythmic motive and the extensive use of the phrygian mode; specifically, music of Hispanic origin. Some of the best known compositions of Chick Corea, one of the pioneers of post be-bop jazz, are heavily influenced by Spanish music, most obviously his composition Spain. Since classical guitar music is so strongly tied to Hispanic origins, and much of the contemporary repertoire is Latin American, the inclusion of these stylistic influences in an etude for classical guitar which explores modern jazz is fitting. ETUDE 8 Etude 8, written for Sergio Assad, is the first of two included in the set that are dedicated to classical guitar composers whose styles are jazz influenced. As such, it does not specifically explore trends in jazz, but rather some of the compositional techniques of Mr. Assad, in a setting that is somewhat more oriented toward jazz vocabulary than are his own works. In this etude, there is a secondary influence, the compositional style of jazz guitarist Pat Metheny. Mr. Assad and Mr. Metheny share some characteristics of style; strongly lyrical melodies, combined with gently dissonant harmony that is often more complex

135

than is first apparent. This combination often results in music that has a quality of folk music juxtaposed with contemporary compositional techniques. Thematically, there are modified brief quotes from both composers. The opening theme is taken from Mr. Assads composition Farewell, from the music he composed in 1993 for the Japanese film Natsu No Niwa. The theme in mm. 4850 is taken from Mr. Methenys composition Never Too Far Away, from the recording Question and Answer (1990 Geffen Records). Additionally, there are some direct influences from these two compositions in the harmony and texture; some of the ii/V7/I progressions that provide sudden modulations are typical of those present in Mr. Methenys composition, while the contrapuntal texture and sequential passages are typical of Mr. Assads style. The form of Etude 8 is ABCA, with the B and C sections providing harmonic contrasts and instability, similar to either the development section in a sonata or the bridge section in a jazz standard composition. Here is the formal outline for the etude. intro mm. 1-4 A 5-27 B 28-43 intro 44-47 C 48-63 A (D.S.) coda 64-67

Example 5.15: Etude 8, formal diagram Each section is essentially a sixteen measure phrase, although Section A has a seven measure sequential extension which provides a strong cadence. The four measure introduction and intro simply provide the initial harmonic setting for sections A and C, respectively. The form is intended to be somewhat song-

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like in that each section presents some new melodic material, similar to the strains of a song, while building on previous motives. Thus, Etude 8 is organic in terms of its generation of form. The harmonic character of Etude 8 varies from section to section. Section A is harmonically simpler than either section B or C; this is in keeping with the thematic influences and generation of form previously referred to. Descending bass lines influence the harmony periodically throughout the piece; this is another stylistic influence from both Assad and Metheny. The harmonic outline for section A is as follows. Amin Fmaj Amin Fmaj Amin Fmaj F#min7 B7(alt) (b5) E7

Bbmaj7 Abmaj7 (#11) (#5) Amin Fmaj

Gmin7

D/F#

Fmaj

Amin

Fmaj

Amin

Fmaj

Amin A7b9

Example 5.16: Etude 8, harmonic diagram for mm. 5-27 Both the A minor and F major chords frequently have added seventh and/or ninth, and the F major chords frequently have added sharp eleven. These added tones are either in the melody or counter-melody that provides the accompaniment. The more chromatic chords (F#min7b5, B7 alt, Bbmaj7#11, Abmaj7#5) all have extensions or alterations which are diatonic to A minor. This

137

allows for a folk-like diatonic melody with some chromaticism in the root movement.
11

j . . J . . b . V J # w b w bw #w

Example 5.17: Etude 8, mm. 11-14 In Example 5.17, the most chromatic passage in the section, only one note other than chord roots is not diatonic to A minor. This type of writing, a diatonic melody with chromatic harmony, is typical of Assad s and Metheny s compositional style. The rest of the section is quite folk-like with the repetitive chord movement; this is more typical of Assads compositions, but not unusual in Methenys work as well. Section B presents more harmonic motion and is more harmonically typical of modern jazz in its harmony. Example 5.18 demonstrates the harmonic outline for section B. Dmin7 Cmin7 Bbmaj7 Ebmaj7 Cmin7 Amin7 D7b9 Gmin7 Abmaj7

Amin7b5 D7b9 Eb7#11

Dbmaj7

C#min7 Bmaj7 F#(phry) Bmaj7 F#7sus4b5 F#7 B pedal_________________________

Example 5.18: Etude 8, harmonic diagram for mm. 28-43

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Some explanation of the final four measures of Example 5.18 is necessary. The F# (phry) symbol denotes use of the phrygian mode; in this example, the implied harmony in m. 41 is F#7b9(sus4). Another possible explanation is to consider the harmony of this measure as either C#min7b5 or Gmajb5. The structure functions as somewhat of an incomplete dominant; consequently the most practical explanation is the first.

# #.. j V## w
40

j j# .. .

# # # j #w ### ww j # w w #

j . w # U .. wJ

Example 5.19: Etude 8, mm. 40-43 The voice leading clarifies the harmonic intent; in m. 41 G and B are suspensions of F# and A# in m 40. In m. 43, the phrygian structure from m. 41 is simply transposed up a fourth. Therefore, it would be possible to describe this chord as B7b9(sus4) or F#min7b5. However, the passage resolves in a manner which reveals the dominant character of F#, to B minor. Thus, describing the chord in terms of its dominant function is the most practical. As in section A, many of the chords in section B have extensions and/or alterations. In some cases, these extensions and alterations are the result of foreign triads superimposed over the root.
30

w b V bw J

b b J J

Example 5.20: Etude 8, mm. 30-31 139

In Example 5.20, the C major and F major triads superimposed over Bbmaj7 result in 6, 9, and #11 being added to the chord in m. 30, and the D minor(implied) and C minor triads over Eb major result in 6, 7, and 9 being added to the harmony in m. 31. Section C follows the four measure connecting passage, (intro, Example 5.15) which is a repetition of the introduction transposed to B minor. The i to VI progression, which prepared the entrance in the minor key in section A, now leads to the major; in this case, G major. The opening G chord is in first inversion, facilitating the listeners acceptance of the change in tonality. Example 5.21 demonstrates the harmonic outline for section C. Gmaj7 Bbdim7 Amin7 Abmaj7 (b5#5) Gmaj7 Bmin7 Dmaj/C Cmaj7

Amin/B Dmaj/Bb G/A A7

Abmaj9

Gmin7

Gbmaj7

Fmin7 E7#9

Example 5.21: Etude 8, harmonic diagram for mm. 48-63 The first half of the section, mm. 48-55, is clearly in G major; this passage contains the lyrical Metheny theme, (mm. 48-50) and thus requires some tonal continuity to be effective as a thematic device. The second half of the section, mm. 56-63, is built on a chromatically descending bass line that drives toward E7, thus preparing the return of section A in A minor. Of interest in the first half of section C is mm. 50-52.

140

.. V w
50

j # j j j j .# .. # bw w

Example 5.22: Etude 8, mm. 50-52 Example 5.22 is another example of allowing the root movement to create quite chromatic harmony, while retaining a simpler, diatonic melody. Abmaj7b5#5 in m. 51 is created by simply retaining the sonority from the previous measure; as in example 5.17, the root is the only non-diatonic note in a complex altered chord. Mm. 56-63 provide some interesting harmonic structures. By combining the descending bass line with a simple sequence of triads, some fairly complex harmonies are created without the level of dissonance one would expect.

j j . V w
56

j j j b .. b # . # . # # gg b gg b . b gg b bw w g .

Example 5.23: Etude 8, mm. 56-59 An examination of the upper voices of the chords reveals a C major triad in m. 56, followed by D major triad in m. 57, G major, F# minor, and E minor triads in m. 58, followed by an Eb major triad in m. 59. Combining these triads with the bass line produces the complex harmonies B7b9(sus4), Bbmaj7b5#5, A9(sus4), and Abmaj9 (incomplete). The melodic direction and familiarity of the 141

components, however, results in music that does not sound as complex as one might imagine. As stated earlier, this is a characteristic of both Mr. Assads and Mr. Methenys compositional style.

j j j . . b b b b .b b b V b b b b w bw w
60

The section concludes with the following passage.

jD.S. al Coda .rit. .. j . # w

Example 5.24: Etude 8, mm. 60-63 This passage prepares the return of section A in A minor and increases tension through contrary movement between the melody and the bass. The Gbmaj7 in the second measure can be described as a tritone and quality substitution for the expected C7 following Gmin7, but due to the well established chromatic descent in the bass, its presence in the progression does not appear unexpected. The melodic sequence arrives on C in the E7, resulting in E7#5#9 in the fourth measure. This leads to the D.S., return to section A, and eventual fine. Rhythm is not a primary organizing principle in Etude 8. However, the syncopations in the melody, combined with the slow arpeggiated texture, evokes a Milonga in the style of the Argentine composer Astor Piazzolla. This is a tangential influence in the piece, primarily due to Piazzollas influence on Sergio Assad. Piazzollas music has become quite popular with classical and jazz musicians in recent years, and he is often credited with bringing the influence of twentieth century art music, jazz included, to his native T a n g o style.

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Consequently, it is appropriate that the set of etudes includes some reference to his style. ETUDE 9 The French guitarist/composer Roland Dyens begins his concerts with a free form improvisation, and usually includes arrangements of jazz standards, along with his own compositions, in his concert programs. He has an eclectic style of composition that often combines elements of rock, blues, jazz, and Brazilian music with post tonal compositional techniques and highly idiomatic gestures. Etude 9 provides examples of each of these in an attempt to capture the spirit of Mr. Dyens work. Two guitar works by Mr. Dyens have particular, but non-thematic, influence on Etude 9; Saudade #3, and Fuoco, the third movement of his Libre Sonatine . Saudade #3 provides somewhat of a loose formal influence; both Mr. Dyens work and Etude 9 begin with a rhapsodic, highly improvisational introduction, and continue with a Brazilian inspired samba section. Fuoco provides some textural and melodic influence with its blues/rock oriented opening passages and subsequent arpeggiated texture, making liberal use of the guitars open strings and idiomatic resonance. As previously stated, Etude 9 is divided into two quite different formal parts, the improvisational, rhapsodic introduction (mm. 1-57), and the more structured samba section (mm. 58-142), which is reminiscent of Brazilian inspired jazz. Following the samba is a brief return to the opening passage which functions as an ending. The introduction has three primary formal sub-sections as follows.

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A blues/rock mm. 1-22

B ostinato 23-34

C sequential arpeggios 35-57

Example 5.25: Etude 9, formal diagram for introduction Due to the improvisatory nature of the introduction, the characters of these sub-sections contrast sharply with the others, and are most easily identified with the descriptive terms used in the diagram above. The form of the samba section is outlined as follows. intro 58-61 A 62-77 A (repeat) B 80-91 C 92-121 A (D.S.) B C coda-142

Example 5.26: Etude 9, formal diagram for mm. 58-142 The samba is much more focused and structured than the introduction; it consists of a modified standard AAB form, with regular phrase lengths and a well established tonal and rhythmic framework. The modification is the addition of an extended B pedal section (section C) which draws from the spirit of the improvisatory opening while retaining the rhythmic drive of the samba and prepares the return of section A. Harmonically, the introduction (mm. 1-57) is capricious. The musical intent is to recreate the highly improvisational and eclectic nature of Mr. Dyens style. Consequently, specific harmonies have been chosen for their immediate effect rather than theoretical context, and sometimes are a direct result of melodic movement. This is particularly evident in sub-section C.

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The opening passage is based on the blues scale with some chromatic passing tones and octave displacement.

# # # # V c w w f 4 . j # b 3 c V n # n 4 # # n w#
1

j b

b n # # b . w J w n w w

Example 5.27: Etude 9, mm. 1-7 The dissonance created by the extensive use of minor seconds and major sevenths in the blues scale setting reflects Dyenss characteristic blending of abstract and familiar musical material. The chords reflect the improvisatory setting; the first voicing, an implied B7#9, simply resolves up a step, but the final chord contains wrong notes for E; F natural (b9) and Bb (b5). Thus the tension is not completely released, preparing the next, slightly more dissonant passage. The sub-section concludes with a series of chords based on the octatonic scale; these chord voicings provide a harmonic link between the blues scale/ chromatic passages and the ostinato which will follow.

145

j .. n # b # . V bn . # b J .. # j # 19 # b b ..# 3 b V 4 J
16

2 4
... .
rit.

c #
2 .. n j n b c b b . n . J

# n

U 3 ... n# 4 .

7 8

Example 5.28: Etude 9, mm. 16-22 The octatonic scale used as generative for these chords (E,F#,G,A,Bb,C,C#,Eb) shares several notes with the E blues scale. The last series of chords softens the dissonance and provides more harmonic ambiguity; the final chord suggests dominant in E, but the lack of a third and the departure from the octatonic scale break down specificity with its intent, allowing the improvisation to continue in an unexpected direction. Sub-section B is based on the following ostinato.

# 7 . .. c V 8 . n n n # n #
23

Example 5.29: Etude 9, mm. 23-24 This is based on the octatonic scale used for the chords in the previous example, with F# as a wrong note. The ostinato uses open strings on the guitar, and provides rhythmic and harmonic ambiguity. A series of harmonics on the guitar, G, E, C# outline a diminished triad contained in the scale. They are also a 146

reference to the chord progression in Example 5.28. Thus, this sub-section evolves organically from the opening sub-section, preserving the improvisatory effect. The ostinato connects with the final sub-section of the introduction through a connecting passage, also octatonic, but more lyrical.

# 7 V 8
32

n #

c n

7 b # 0 0 n# 8

rit.

U # b

Example 5.30: Etude 9, mm. 32-34 The final sub-section of the introduction is based on a series of freely arpeggiated chords which are determined by stepwise voice movement, primarily in the top voice and bass. It is also based on a particular pattern of string articulations and makes use of open strings; this is quite idiomatic for an improvisation on the guitar.

j j w w . . . . 35 # c V
2 1 4 3 2 4 2 3 2 1 4 3 2 4 3 2 3 2 1 4 3 2 2 1 3 2 4 3

Example 5.31: Etude 9, mm. 35-38 The sub-section begins on Gmaj7(sus4), with the C in the middle voice resolving to form Gmaj7. This passage anticipates the samba by beginning on the relative major of E minor, which is the key of the samba, and by introducing the idiomatic use of open strings on the guitar and the resulting dissonance created by 147

notes sustaining over the resonance of the open strings. This idiomatic compositional device will be exploited extensively in the samba. Example 5.32 demonstrates how the sub-section continues descending, creating some interesting sonorities.
39

# wb V b

j j .. w . . b b

Example 5.32: Etude 9, mm. 39-42 In Example 5.32, the F# from the Gmaj7 in m. 38 becomes Gb, while B and D simply descend by half step, and the top note descends to C, resulting in Gbmaj(#11) in m. 39. Similarly, the continuing descent results in Amin6(9) in m. 40. The passage continues in a similar manner, creating harmonies that do not form a typical or functional progression, but provide an interesting effect of movement towards Bmin7b5 in m. 51, which is then inverted in m. 53 to use F as the bass note. By this time, the descending voices have established the ongoing resolution by descending half step; thus F in the bass is strongly perceived as a substitute dominant of E.

j 2 # j 6 V 4 8 n n w n w n
51

rit.

# 6 cg w ggg # w V 8 # # w w w g gg n w n . n .
55

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Example 5.33: Etude 9, mm. 51-57 The movement in the middle voice, A to G#, in m. 55, is also perceived as an increase in dissonance due to the half step descent. Thus, the final chord, containing F, C, and G#, provides a maximum sense of instability, with each voice anticipating a half step resolution to E, B, and G natural, which spell the tonic chord of the samba, E minor. In contrast to the abstract nature of the introduction, the harmony of the samba section is fairly simple and straightforward. Example 5.34 is the harmonic outline for the A section of the samba. Emin Amin Emin Dmin7 G13b9

Cmaj7 Cmaj7#11 Fmaj7

Fdim7

F#min7b5 B7

Emin

Example 5.34: Etude 9, harmonic diagram for mm. 62-77 The secondary bass line, the dotted quarter/ dotted quarter/ quarter note voice, provides some harmonic color as follows.

# . w . w V . . . # . w . w
62

. . .

Example 5.35: Etude 9, mm 62-65

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In Example 5.35, the 9, 7 and 6 are added to the E minor triad, while the 6, 11, and 9 are added to the A minor triad. The moving line also adds rhythmic interest and drive. The B section provides slightly more harmonic activity, but remains clearly tonal and structured. The harmonic outline for the B section is as follows. Amin7 D7b9#9 Gdim7 Gmaj7 G#min11 C#7b9b5 F#min

Gmin7 C7alt

Fmaj7#11 Bbmaj#11

Example 5.36: Etude 9, harmonic diagram for mm. 80-91 Some of the more chromatic chords are formed with foreign triads over the bass notes.
82

.. . # # w j # # # # # . . V #. n . . w w # .

... n J . # .

Example 5.37: Etude 9, mm. 82-85 In m. 82, F# triad over G provides Gdim(maj7), while in the third measure, the same F# triad over G# provides an incomplete G#min11. Another description for this chord is G#9(sus4), but it clearly functions as a ii in this context. Since the chord lacks a third, it is neither dominant nor minor. It is more practical to describe the chord as an incomplete minor due to its function in this

150

context. In m. 85, the F# triad ascends one half step to become G triad over C#, resulting in C#7b9b5. The B section ends on an unstable chord in this harmonic context, Bbmaj#11. The chord is formed by superimposing a C triad over the Bb bass. This harmony leads directly to the B pedal that forms the foundation for the lengthy C section.

# w . V b w . . . . .. J
91

To Coda

Example 5.38: Etude 9, mm. 91-94 The harmonic foundation for section C is the B pedal, which occurs in the middle voice continuously, and in the bass periodically. The repeated B, E, and C that dominates this section is both highly idiomatic to the guitar and effective at perpetuating the implication of B phrygian throughout. This phrygian implication results in the perception of a gradual movement toward the type of harmony that preceded section A of the samba. (See Example 5.33) Imitative melodic sequences in both the bass line and upper voice sustain musical interest and help to build the intensity of the C section. Eventually the section does arrive at the same harmony that appeared near the end of the introduction in mm. 51-54, but never arrives at the final chord of the introduction in mm. 55-57. That arrival is saved for the C section, which is an abbreviated variation of the lengthy C section that takes place after the repeat of sections A and B. Example 5.39 demonstrates how the C section ends: 151

 c . . V n . . . . . n . n w
119

rit.

D.S. al Coda

Example 5.39: Etude 9, mm. 119-121 By comparison, Example 5.40 is the end of C.

. . . . . . . .U # 9 # # c V 8 . . . n w . n w . . n w . . n w
139

rit.

Example 5.40: Etude 9, mm. 139-142 The completion of the harmony to include the F diminished chord, combined with the insistent repetition of the melody in two voices, creates more tension at the ending to section C than occurred in section C. This is important, because section C prepares the return to the opening of the entire etude, not just of the samba section. Rhythm is an important component of the samba section of Etude 9. Almost the entire section is set in groupings of 3+3+2 eighth notes, as demonstrated in Example 5.35. This type of grouping is typical for rhythm guitar parts in Brazilian sambas, but is traditionally syncopated such that the grouping begins on the last eighth note of the measure. 54 In Etude 9 the grouping begins at

54

Nelson Faria, The Brazilian Guitar Book, 25.

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the barline. This modification is a reference to Dyens composition Saudade #3, which, as stated earlier, provides some inspiration for Etude 9.55 There are a few passages in the samba section which alter this grouping to create rhythmic tension.

V
4

100

. 0 . 0
4

. 0
0 3

. . . .
3

# . V . . . . w
103

Example 5.41: Etude 9, mm. 100-105 In mm. 100-103, the eighth notes are grouped in 3 note structures, implying a metric shift to 9/8. This creates tension which is resolved in m. 104. It also functions as an anticipation of actual metric shifts which occur at the end of both section C and C.
115

. 9 8 # . . . . . . w 3 J . . n . . . . # . n w .
rit.

118

Example 5.42: Etude 9, mm. 115-120

55

Roland Dyens, Saudade #3 (Paris: Editions Musicales Hortensia, 1980) Section II, Danse.

153

This metric shift, which begins in m. 116 and continues through m. 121, is more extensive than the implied metric shift demonstrated in Example 5.41. It functions as the culmination of section C, and creates sufficient tension to prepare the return of section A. The final metric shift in mm. 129-142 is much more extensive, and includes shifts to 6/8 and 9/8. Because this is the third and final metric shift, it must be more extensive to continue to function as a tension creating device.

. . . . . . . .U # 9 # # c V 8 . . n w . . n w . . n w . . n w
139

rit.

Example 5.43: Etude 9, mm. 139-142 Example 5.43 demonstrates the final four measures of this metric shift. The harmony in this passage is identical to the harmony in mm. 53-57, (see Example 5.33) which served as the culmination of tension in the introduction to Etude 9. Thus, the return to this harmony, in conjunction with the rhythmic tension created through the series of metric shifts, facilitates the effective functioning of this passage as the culmination of tension for the samba section. As mm. 53-57 prepared the arrival of the samba, mm. 139-142 prepare the return to the opening passage of the introduction (see Example 5.27) and the punctuated E min6/9 chord that provides the ending for Etude 9, and for the overall set of etudes.

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Appendix
List of Selected Twentieth Century Concert Etudes for Guitar

Bogdanovic, Dusan. 1991. Polyrhythmic and Polymetric Studies. Ancona, Italy: Berben. Breznikar, Joseph. 1991. Twelve Amercian Etudes for Guitar. Pacific, MO: Mel Bay. Brouwer, Leo. 1980. 20 Estudios Sencillos . Paris: Max Eschig. (published in four books) Carlevaro, Abel. 1960. Cinco Estudios Homenaje a Villa-Lobos. New York: B&C. Dodgson, Stephen and Hector Quine. 1965. 10 Studies. London: Ricordi Publications. Garcia, Gerald. 1995. 25 Etudes Esquisses for Guitar. Pacific, MO: Mel Bay. Gnattali, Radams. 1990. 3 Concert Etudes. Heidleberg, Germany: Chanterelle. (composed from 1967-1981) Gnattali, Radams. 1967. 10 Etudes. Pacific, MO: Mel Bay. Iznaola, Ricardo. 2000. Concert Etudes. Pacific, MO: Mel Bay. Kleynjans, Francis. 1978. 7 tudes de Concert pour Guitare. Paris: Alphonse Leduc. Kleynjans, Francis. 1985. 8 tudes de Concert pour Guitare. Paris: Alphonse Leduc. Labrouve, Jorge. 1978. Douze Etudes. Paris: Editions Musicales Translantiques. Lauro, Antonio. 1985. Quatro Estudios En Imitaciones. Heidleberg, Germany: Chanterelle. Lerich, Pierre. 1980. Trois Etudes. Paris: Max Eschig. Mignone, Francisco. 1975. 12 Etudes, edited by Carlos Barbosa-Lima . Washington, D.C: Columbia Music. 155

Villa-Lobos, Heitor. 1953. Douze tudes . Paris: Max Eschig. (originally composed in 1929) Weinmann, Yan Vagh. 1992. Trois Etudes. Paris: Editions Henry Lemoine.

Selected Twentieth Century Guitar Works Cited

Assad, Sergio. Aquarelle. 1992. Paris: Editions Henry Lemoine. Bogdanovic, Dusan. 1991. Jazz Sonata. San Francisco: Guitar Solo Publications. Bogdanovic, Dusan. 1994. Jazz Sonatina . San Francisco: Guitar Solo Publications. Bogdanovic, Dusan. 1996. Publications. Big Band Suite. San Francisco: Guitar Solo

Bogdanovic, Dusan. 1998. Book of the Unknown Standards. Quebec: Editions Doberman-Yppan. Brouwer, Leo. 1983. El Decameron Negro . Paris: Editions Musicales Transatlantiques. Brouwer, Leo. 1986. Variations on a Theme by Django Reinhardt. Paris: Editions Musicales Transatlantiques. Dyens, Roland. 1980. Trois Saudades, Saudade No. 3. Paris: Editions Musicales Hortensia. Dyens, Roland. 1990. Libre Sonatine. Paris: Editions Henry Lemoine. Towner, Ralph. 1983. Suite For Guitar. Bryn Mawr, PA: Theodore Presser. Van der Veen, Derk. 2001. Blues and Ballads: Three Concert Pieces for Guitar. Pacific, MO: Mel Bay.

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Bibliography
Alexander, Charles, ed. 1999. Masters of Jazz Guitar. London: Balafon Press. Baker, David, ed. 1990. New Perspectives on Jazz. Washington and London: Smithsonian Institution Press. Baskerville, David Ross. 1965. Jazz Influence on Art Music to 1950. Ph.d Dissertation. University of California at Los Angeles. Bellow, Alexander. 1970. The Illustrated History of the Guitar. New York: Franco Colombo Publications. Berliner, Paul. 1994. Thinking in Jazz: The Infinite Art of Improvisation. Chicago: The University of Chicago Press. Blesh, Rudi, and Harriet Janis. 1971. They All Played Ragtime (revised edition). New York: Oak Publications. Orig. Pub.: New York: Alfred A Knopf, 1950. Britt, Stan. 1984. The Jazz Guitarists. Poole, England: Blanford Press. Budds, Michael J. 1990. Jazz in the Sixties: The Expansion of Muiscal Resources and Techniques. Iowa City: University of Iowa Press. Collier, James Lincoln. 1978. The Making of Jazz . Boston: Houghton Mifflin Company. Collier, James Lincoln. 1993. Jazz: the American Theme Song. New York: Oxford University Press. Diliddo, Michael. 1993. Classical guitar performance techniques for the jazz guitarist including applications to to the jazz style. DMA document, University of Miami. Evans, Tom and Mary. 1977. Guitars: Music, History, Construction, and Players from the Renaissance to Rock.. New York: Paddington Press. Faria, Nelson. 1995. The Brazilian Guitar Book. Petaluma, CA.: Sher Music Co. Feather, Leonard. 1965. The Book of Jazz from Then till Now . New York: Horizon Press. Feather, Leonard. 1996. The Guitar in Jazz. The Guitar in Jazz; an Anthology. Lincoln: University of Nebraska Press. 157

Grunfeld, Frederic. 1969. The Art and Times of the Guitar: An Illustrated History of Guitars and Guitarists. New York: Macmillan Publishers. Haider, Hans. 1979. Die Gitare im Jazz. Musica, vol 33, no. 1. Germany. Hasse, John Edward, ed. 1985. Ragtime: Its History, Composers, and Music. London: Macmillan Publishers. Hodeir, Andre. 1956. Jazz: Its Evolution and Essence. New York, Grove Press. Kessel, Barney. 1967. The Guitar. Hollywood: Wndsor Music Company. Kmen, Henry. 1966. Music in New Orleans: The Formative Years 1791-1841. Baton Rouge: Louisiana State University Press. Kozinn, Allan, et al. 1984. The Guitar: The History, the Music, the Players. New York: William Morrow and Company. Lawn, Richard J. and Jeffrey L. Hellmer. 1996. Jazz Theory and Practice. Los Angeles: Alfred. Lovas, Rudolph. 1967. Modern Jazz Guitar: A Reflection Book. New York: Carlton Press. Martinez, Emma. 1998. Dusan Bogdanovic. Classical Guitar , vol 17, no.1. London. Mongan, Norman. 1983. The History of the Guitar in Jazz. New York: Oak Publications. Ostranski, Leroy. 1977. Understanding Jazz. Englewood Cliffs: Prentice Hall. Panassie, Hugues. 1960. The Real Jazz (revised edition). New York: A.S. Barnes and Company. Orig. Pub.: Smith and Durell, Inc. Sales, Grover. 1984 Jazz: Americas Classical Music. New York: Prentice Hall Sallis, James. 1982. The Guitar Players . New York: William Morrow and Company. Sallis, James, ed. 1996. The Guitar in Jazz; an Anthology. Lincoln: University of Nebraska Press Sargeant, Winthrop. 1975. Jazz, Hot and Hybrid (3rd edition). New York: Da Capo Press.

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Schuller, Gunther. 1968. Early Jazz: Its Roots and Development. New York and Oxford: Oxford University Press. Shipman, Jerome. 1994. In Search of the Electric Guitar: A Platonic Dialog with Music. Annual Review of Jazz Studies, vol 7. Stearns, Marshall. 1956. The Story of Jazz. New York: Oxford University Press. Stokes, W Royal. 1991. The Jazz Scene. New York: Oxford University Press. Stuessy, Clarence Joseph. 1977. The Confluence of Jazz and Classical Music from 1950 to 1970. Ph.d Dissertation, Eastman School of Music. Pub. by University of Michigan Microforms. Summerfield, Maurice. 1996. The Classical Guitar: Its Evolution and Players (4th edition). Newcastyle-upon-Tyne: Ashley Mark Publications. Summerfield, Maurice. 1998. The Jazz Guitar: Its Evolution, Players, and Personalities since 1900 . Newcastyle-upon-Tyne: Ashley Mark Publications. Tamargo, Luis. 2000. A Brief History of Latin Jazz Guitar. Latin Beat Magazine, vol 10, no. 10. Tirro, Frank. 1977. Jazz: A History. New York: W.W. Norton and Company. Tosone, Jim. 2000. Classical Guitarists: Conversations. Jefferson, North Carolina, and London: McFarland and Company. Ulanov, Barry. 1952. A History of Jazz in America. New York: Viking Press.

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Vita

Matthew Robert Dunne was born in Boston in 1959. He received the B.M. degree from the Crane School of Music at the State University College of New York at Potsdam, and the M.M. degree from Florida State University. He also attended the North Carolina School of the Arts and the Banff Centre for Fine Arts. Mr. Dunne directed the 1995 and 1998 Southwest Guitar Festival, as well as the 2000 Guitar Foundation of America International Convention. He has recorded two compact discs; Forget the Alamo, a collection of his jazz compositions performed by a jazz quintet, and Music in the Missions, a collection of 20th century guitar music recorded in Mission San Jose, a 250 year old mission in San Antonio, TX. Mr. Dunne has been on the music faculty of the University of Texas at San Antonio since 1992, and performs frequently in San Antonio in both classical music and jazz genres.

Permanent address:

210 Sadie St. San Antonio, TX, 78210

This treatise was typed by the author.

160