Chinese Music - Sizhu Instrumental Music of South China Ethos Theory and Practice

Sizhu Instrumental Music of South China
Sinica Leidensia
Edited by
Barend J. ter Haar
In co-operation with
P.K. Bol, D.R. Knechtges, E.S. Rawski, W.L. Idema,
E. Zrcher, H.T. Zurndorfer
VOLUME 84
Sizhu Instrumental Music
of South China
Ethos, Theory and Practice
By
Alan R. Thrasher
LEIDEN BOSTON
2008
On the cover: Hakka qingyue ensemble, Guangzhou. Photo: A. Thrasher, 1986.
This book is printed on acid-free paper.
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ISSN 0169-9563
ISBN 978 90 04 16500 7
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For Huang Jinpei,
scholar, mentor and friend
CONTENTS
Preface ......................................................................................... ix
Conventions ................................................................................ xv
Acknowledgments ....................................................................... xvii
Chapter One Sizhu Music in South China ............................. 1
Music Categories: Sizhu as a Domain .................................... 2
Music Cultures of South China ............................................. 6
Social Perspectives .................................................................. 21
Chapter Two Yuelun: the Confucian Foundation ..................... 25
Confucian Ideology ................................................................ 25
Government Theory and Music ............................................ 37
Other Trends .......................................................................... 44
Chapter Three Qingshang Music and the Historic Legacy ...... 53
The Ancient Heritage ............................................................. 54
The Eclectic Tang .................................................................. 61
Emergence of the Common-practice Traditions ................... 65
Chapter Four Yuel: Music Theory and Practice .................... 75
Chinese Melody ...................................................................... 75
Pitch Systems and Notation ................................................... 83
Mode in Southern Music ....................................................... 95
Chapter Five Baban and the Sizhu Repertoire ......................... 113
Sizhu Repertoire ...................................................................... 113
The Variation Ideal in Compositional Practice ................... 124
The Suite Forms ..................................................................... 136
Chapter Six Bianzou: Performance Practice and Aesthetics ... 149
Variation in Performance Practice ....................................... 149
Performance Variation Types ................................................. 153
Values and Aesthetics: the Rujia Ideal .................................... 163
Ideologies and Styles .............................................................. 170
Postscript ..................................................................................... 173
Appendix A: Gongche Notation System and Selected Repertoire 179
Appendix B: Cipher Notation System and Selected Repertoire 185
Glossary of Chinese Technical Terms and Repertoire ............. 201
Bibliography ................................................................................ 205
Index ........................................................................................... 213
viii contents
PREFACE
In this book I examine the theoretical underpinnings of the sizhu (silk-
bamboo) instrumental ensemble traditions of the peoples of South
China. Sizhu, a very general domain term in Chinese usage, refers to
a category of chamber music performed by small ensembles in homes,
music clubs or teahouses. I will carefully dene this and related terms
in the opening chapters.
The dominant cultures of southern and southeastern ChinaChao-
zhou, Hakka, Cantonese and Minnanshare a number of behavioral
and musical concepts, though their individual sizhu traditions exhibit
distinctive melodic characteristics, performance styles, overall forms and
musical instrument variants. The Chaozhou, Hakka and Cantonese
cultures are centered in Guangdong province, the Minnan in southern
Fujian (q.v. map, Fig. 1.1). Among the Chaozhou, Hakka and Cantonese
there has been considerable musical interaction over the recent centuries
and, to a lesser extent, with the more northern Jiangnan tradition in
eastern Chinathough musicians rarely recognize such cross inuences.
Analysis shows, however, that these three cultures have drawn upon a
common pool of traditional melodic models. They have also exchanged
instruments, modal forms and some structural characteristics.
The Minnan, while culturally related to the Chaozhou in linguistic
and other ways, maintain a highly idiosyncratic tradition which musi-
cians believe was derived from a sophisticated genre of palace music
from the distant past. Minnan chamber music (nanguan) displays only
supercial structural similarities with the other southern traditions.
These characteristics will be cited along the way. But since the Min-
nan repertoire itself is not closely related to the southern mainstream
in Guangdong province, my examination will center on the core of
Chaozhou, Hakka and Cantonese traditions.
My focus in this book is upon two theoretical domains of musical
relevance: rst, Confucian theory, the ancient corpus of written and
practiced behavioral doctrine (ethos) which promoted music as a means
to achieve social harmony and which, in turn, exercised unusually
strong inuence over common-practice musical style and aesthetics;
and second, music theory, an overlapping combination of imperial
court pitch theory and more recent Chinese modal and structural
theory, much of which is related to (even derived from) Confucian
theory. Other musical parameters, including idiom and performance
practice, will be examined as well, but primarily as they relate to the
above theoretical focus.
This is not an ethnographic study. I have in fact conducted a good
amount of eldwork in South China over a period of three decades,
documenting questions of social organization in the music clubs, gender
roles, values and function. Some basic social observations will be men-
tioned but, again, in attempt to contextualize theory and practice.
Organization and Approach This material is organized in six chapters and
followed by a postscript. Chapter One, Sizhu Music in South China,
begins with an outline of the basic categories of Chinese instrumental
music and its often troublesome terminology. This is followed by an
overview of the distinctive cultural characteristics and musical genres
of South China. Chapter Two, entitled Yuelun: the Confucian Foun-
dation, examines the dominant Chinese ideologies and their impact
on music. For most of the last two thousand years, the Confucian
inuence on social behavior and expressive culture has been deeper
than commonly assumed, and there is strong evidence of the existence,
promotion and acceptance of an actual Confucian theory of music.
Especially interesting are the differing perceptions among local cultures
as to exactly what this inuence has been. Chapter Three, Qingshang
Music and the Historic Legacy, provides an historical sketch of the
development of Chinese chamber music types and instrumentsa his-
tory of both continuity and change over nearly two millennia. Can the
local traditions really be traced back to the legendary qingshang music
and other Tang genres, as some scholars believe?
Chapters Four and Five are of a technical nature, containing a nec-
essary core of structural analysis. Chapter Four, Yuel: Music Theory
and Practice, deals with traditional concepts of pitch, notably the
ancient cosmologically-correct pitch theories (ll) and modal forms,
their relevance in todays music, and a re-evaluation of modal systems
in common-practice music. The chapter begins with an examination of
the structural parameters of Chinese melody, in which diverse cultural
inuences merge. Chapter Five, Baban and the Sizhu Repertoire,
examines the very old Chinese usage of melodic modelsespecially
the 68-beat form known as Baban, its numerological basis, and the
subsequent growth from this and other models of the southern instru-
mental repertoires by way of several derivative techniques. Prevailing
x preface
suite-form types are discussed at the end of the chapter. Chapter Six,
Bianzou: Performance Practice and Aesthetics, is focused upon issues
arising from performance, including local concepts of heterophony,
sound ideals and aestheticsmost of which derive from a fusion of
Confucian ideology, Daoist creative impulses, and local tastes.
A Postscript will bring the reader up to date on some of the basic
changes the southern chamber traditions have undergone within the
recent half century.
Repertoire and Recordings I have chosen to examine repertoire which the
local southern cultures consider standard and representative. For the
Chaozhou, this repertoire includes Hanya Xishui (Winter ravens playing
in the water), Da Baban (Great eight beat) and Liuqing Niang (Lady
Liu Qing); for the Hakka, Xixiang Ci (Poem of the west chamber),
Xunfeng Qu (Balmy breeze melody) and Chushui Lian (Emerging lotus
blossoms); for the Cantonese, Hantian Lei (Thunder in the drought),
Shuangxing Hen (Regret of the double stars) and Pinghu Qiuyue (Autumn
moon on the peaceful lake).
This repertoire is well represented on historic and recent recordings.
For Chaozhou music, in addition to a number of individual recordings
noted in Chapter Six, the Anthology of Traditional and Folk Music
is particularly recommended. This series, issued by the China Record
Corporation during the 1990s, contains over half a dozen CDs devoted
to Chaozhou music, all with background notes in Chinese and English.
Volume 3 on string-poem music (CCD-93/251) and Volume 7 on ele-
gant music (CCD-93/255) are of relevance to this study. For Cantonese
music, eight CDs in the same Anthology series include many historic
recordings of instrumental music, notably Volume 3 (CCD-92/181).
Recordings of Hakka music are not so readily available, though several
individual recordings are cited in the text. Most repertoire examples
presented here can be heard on the CD, Sizhu: Chamber Music of
South China (PAN Records, 2030CD). These recordings were made
by myself between 1986 and 1996, mostly on the Chinese mainland.
While this CD is not a companion recording, its examples do comple-
ment the music analyses in the various chapters of the book. Other
commercially available recordings are cited throughout.
The Functionalist Thread It has been nearly half a century since Alan
Lomax (19152002) researched and published his ambitious and con-
troversial theory known as cantometrics (1962, 1968). Drawing upon
preface xi
the anthropological theories of functionalism, Lomax attempted to dem-
onstrate that folksong styles of selected world cultures are functionally
reective of the beliefs of those cultures, and that this deep relationship
can be shown scientically by isolating the many song parameters (such
as melodic styles and vocal mannerisms) and relating these to parallel
elements in each culture. While the theory of cantometrics is now seen
as being awed in several respects, most ethnomusicologists accept his
general premisethat musical styles and aesthetics emerge from and
tend to reinforce the social values of culture, assuming of course that
there is cultural agreement.
Statements in the ancient Chinese texts (notably the Zhouli, Liji and
Yueji ) demonstrate that among scholar-ofcials, music was viewed as
a tool to promote social stabilitya kind of functionalism in action.
Mainstream Confucian concepts such as rened music ( yayue), ritual
and music (li-yue) and concordance (xiehe) served to reinforce state-
sanctioned norms of behavior and, through regulation of pitch systems,
reconcile the state with the cosmological order. So important was the
effort to bring all things into harmony that ofces of music ( yuefu) were
attached to the early imperial governments to oversee and coordinate
this activity. While such institutions were eventually weakened and
abandoned, the theory and practice of using music to regulate behavior
(of ones self and of others) has continued to the present daythough
now this relationship is preserved by traditionally-trained musicians who
have absorbed this ideology through years of enculturation.
The situation in South China is particularly interesting. Three con-
servative culturesHakka, Chaozhou and Minnanpreserve many
basic elements of the old ideology. These include notions of perform-
ing a rened music, deliberate choice of tensionless modes, emphasis
upon the older layer of musical instruments (e.g., zheng, pipa and xiao),
conscious association with literary and socially-harmonious ideals
(manifest in titles and aesthetics), cooperative interactions, and decorous
performance demeanor. Musicians say that this style of music represents
the ideology of the Confucian scholar.
I have been aware of this extraordinary homologous relationship
since the earliest periods of my eldwork. There has been some west-
ern scholarship of a socio-functional nature, notably the exploration
of Confucian musical philosophy by Walter Kaufmann (1976) and the
more detailed studies by Ken DeWoskin (1982, 1983) and Scott Cook
(1995a, 1995b). However, most scholars working in Chinese music stud-
xii preface
ies have either assumed that the Confucian musical ideology existed in
theory only, or that its inuence on present-day music had disappeared.
One recent exception can be found in the work of Du Yaxiong (2002),
who wrote a culturally-sensitive dissertation on the Confucian basis of
present-day ritual music in North China.
Since the late 20th-century paradigm of Chinese music scholar-
ship has focused almost entirely upon literary and strictly historical
approaches, it has been very difcult to break away from this model. It
has also been a challenge for western scholars to overcome the Chinese
approach to social issues, partly because, until recently, the only social
orientation permitted by the Chinese government has been that of
Marxism/Maoism, but also because most historical associations between
music and culture have simply been taken for granted.
The Confucian inuence over the centuries has clearly been a pow-
erful and harmonizing force. But how to account for those historic
cultures and contemporary social groups which have not wanted to be
harmonized? What of the competing philosophies of Zhuang Zi and
Mo Zi? While the theoretical orientation of this study is upon cultural
norms, I also feel obliged to identify some of the important countercur-
rents and the mix of their inuences on musical style and structure.
Consequently, where Buddhist, Daoist, western or other inuences can
be found, these will be examined as well.
Analytic Methodology As an essential part of any theoretical orienta-
tion, a certain amount of analysis of the music itself is required.
The analysis in this study is mostly contained in Chapters Four and
Five, with further thoughts on performance practice spilling over into
Chapter Six. I start with a brief review of music theory as recorded in
the ancient Chinese treatisesa theory focused almost entirely upon
pitch systems and modes, all numerologically balanced with the great
Chinese world order. While this theorymuch of it pure theoryhas
been well documented in both Chinese and Western sources, my goal
here is to contextualize this body of speculative thought and examine
its relevance to music in the local traditions of South China. To what
extent can these contemporary music systems be explained in terms
of the ancient cosmologically-correct theories?
I will show that when Chinese scholars attempt to explain common-
practice instrumental traditions in terms of the old court theories (as
some do), they often miss a number of regional practices, notably
preface xiii
the presence of modal and temperament irregularities, and regional
characteristics in linear form. It is in this area that I make my greatest
contribution to an understanding of how the music works. Yet, it is
apparent that at least some of the ancient philosophical theories are
still known to musicians, especially those of yin-yang ideology, the ideal
of pentatonicism, and the values of concordance and elegance.
About these theories I need not speculate as they can be observed in
the music. When southern musicians claim they are playing Confucian
music (ruyue), one merely needs to press for the details.
Alan R. Thrasher
Vancouver, 2007
xiv preface
CONVENTIONS
Notations and Transcriptions The term notation will be used in reference
to a visual record of a given melody, one showing elements of pitch,
rhythm and beat structure. Two types of Chinese notation are cited in
the text, the traditional gongche (literally mi-re) notation and the early
20th-century cipher system, jianpu (simple notation). These systems are
outlined in Appendices A and B. Since both are essentially diatonic
systems, roughly equivalent to the western solfge system (e.g., do, re,
mi), I will rely upon the latter (with minor adaptations) for explanation
of the relevant tuning systems and modes.
In traditional practice, most melodies notated in gongche, and many in
jianpu, are skeletal versions ( guganyin), in which only the most important
notes are shown. Pieces identied as performance realizations show
interpretations, including the addition of melodic ller, embellishments
and other performance details which are changeable. Notations of both
types, however, are basically records and memory guides, since the music
of South China is usually passed on by way of aural transmission.
When a melody is transferred from a Chinese notation system into
western staff notation, I will use the term transnotation; when from
an audio recording source (tape, CD), I will use the term transcrip-
tion. Note that the traditional system of temperament in South China
differs from equal temperament in the use of three-quarter-step inter-
vals. These differences will be identied with + and signs above
the relevant pitch positions, indicating sharper and atter placement
respectively (and detailed further in Chapter Four).
In discussion of instrument tuning systems, octaves will be differ-
entiated through the use of primes ( ' ). For example, the pitches in
the basic octave for most lead string instruments will be shown with
single primes (e.g., c', d', which is the octave range above middle C on
the piano). Pitches in the octave above this will be shown with double
primes (e.g., c", d"); in the octave below, without primes (e.g., c, d).
Musical phrases are also identied with letters and primes (these for
varied repetitions), but in all cases phrase letters will be underlined (e.g.,
a, b) and discussed as phrases.
Orthography and Pronunciation I use Mandarin pronunciations in this
book, in large part to clearly identify common musical issues among
three cultures with different dialects. In view of the fact that the now-
prevalent pinyin system of romanization is not easily employed by the
non-specialist, the following pronunciation guide to the most trouble-
some consonants should be useful:
C is pronounced like ts as in tsetse (e.g., cui, citang)
Q is pronounced like ch as in cheap (e.g., qu, qin)
X is essentially pronounced like s as in see,
though articulated with a light h sound as in she (e.g., xiao)
Z is pronounced like ds as in suds (e.g., dizi, Kong Zi)
ZH is pronounced like j as in junket (e.g., zheng, sizhu)
Vowel sounds are similar to those in English. Some additional pronunci-
ation assistance is given in the footnotes. In citation of important names
and terms which appear in early and mid-20th-century writingsterms
which have been romanized in different systemsI provide both pinyin
and the earlier Wade-Giles spelling systems for cross-reference. My use
of Wade-Giles (WG) spellings, however, is limited to only the most rel-
evant terms and, consistent with their usage by many mid-20th-century
authors, these appear without diacritical marks.
xvi conventions
ACKNOWLEDGMENTS
In this study, I have relied upon a very wide range of sources. Some
of the most culturally sensitive writing concerning the impact of
Confucian thought upon Chinese behavior and arts appeared in the
mid-20th century. Studies such as Fung Yu-lans history of Chinese
philosophy (1948/rpt.1964) and Arthur Wrights edited volumes on
Confucianism (1953/rpt.1967; 1959/rpt.1975) are classics in their own
right. These studies have immediate relevance for our understanding
of closely-related theoretical issues and I quote from them frequently.
More recently, superb scholarship has emerged on ancient Chinese
music philosophy, much of it related to music theory broadly dened.
Here I have benetted from the insights of two scholars in particular,
Ken DeWoskin (1982) and Scott Cook (1995), both of whom have
written on the musical ideals of the ancient philosophers, offering new
translations of key sections in the classic texts.
Accounts specically on music history are found in other writings
of the mid-20th century, notably Kishibes study of Tang dynasty
music (1960), Pickens work on various historical topics (1962, 1969)
and, for imperial court music theory, the writings of Nakaseko (1957)
and Robinson (1962). Most widely respected, however, is the work of
Yang Yinliu, who has written on numerous historical topics and the
authoritative two-volume history of Chinese music (1981), from which
I cite a number of important insights. For the most part, however, these
scholars focus upon pure history, without attempting to follow old forms,
styles and aesthetics into contemporary practice.
On the regional sizhu traditions of today, the studies I have found to
be most useful are the Chinese-language publications of Gao Houyong
(1981), Li Minxiong (1983), Yuan Jingfang (1987) and Chen Tianguo
(1985, 1998). The writings of many other scholars have been helpful
as well and these are cited throughout the book.
I wish to express my sincere gratitude to the following musicians and
scholars for the assistance they have given in facilitating my work in
South China. Foremost amongst them is Huang Jinpei, with whom I
have studied Cantonese instrumental music continuously since my rst
trip into China in 1984. Huang, a professor at the Xinghai Conserva-
tory of Music (Guangzhou), has given tirelessly of his time in long
discussions about the history and theory of Cantonese music and its
relationship with Hakka and Jiangnan musics. He has also given me
ready access to his many rare early 20th-century materials and collec-
tions in notation, and has opened doors to the other nearby traditions
in Guangdong province. It was through Huang Jinpei that I met the
ne Hakka musicians Rao Ningxin, Luo Lian and Luo Dezai, and the
inuential Chaozhou musicians Chen Tianguo, Su Qiaozheng and
Lin Maogen. These are among the most prominent of southern musi-
cians and scholars active today. Through interviews and performance
demonstrations, they were the rst to clarify my many questions about
Hakka and Chaozhou musical structures. Their insights are documented
during the course of this book.
Other important inuences have included Han Kuo-huang, Tong
Kin-woon, Wu Huo-huang, Li Wei and sinologist Edgar Wickberg
who, since the 1970s, have encouraged my work in various ways and
given advice on numerous issues; Gao Houyong, Li Minxiong and Du
Yaxiong who, over the years, have spent time discussing complex issues
of Chinese musical structures both in theory and practice; and the
Shantou-based Chaozhou musicians Wang Peiyu and Chen Mayuan,
and Dapu musicians Rao Baoyou and Luo Zengliang, with whom I
spent many days on my most recent visit of 2006 listening to ne per-
formances and examining local characteristics of these musics. I have
benetted greatly from their help.
In support of this research, several key nancial awards must be
acknowledged: a generous grant from the Social Sciences and Humani-
ties Research Council of Canada, which enabled me to spend four
months during 1986 in Guangzhou and Shantou; several smaller
Humanities and Social Sciences grants administered by the University
of British Columbia, for research in Taipei and Quanzhou (Fujian
province), and further work with scholars in Hong Kong and Guang-
zhou; and, most recently, a large Hampton Research Grant, awarded
by the University of British Columbia, allowing me to complete my
research in Shantou and Dapu (2004 and 2006). I am most grateful
for this support.
Finally, I have relied heavily upon my Ph.D. student, Gloria Wong,
who carefully designed and set up my many notated examples; Alan
Lau, who assisted in preparation of some illustrations and the glossary;
artist Cheryl Fan, who claried the details of faded paintings depicting
historic ensembles and for additional sketches of musical instruments;
and my wife, Mary Weller, whose editorial assistance over the recent
months has been invaluable. My sincere thanks to all.
xviii acknowledgments
CHAPTER ONE
SIZHU MUSIC IN SOUTH CHINA
Most Cantonese music can be characterized as
bustling (renao) because this is an urban tradition,
unlike the rural Hakka music which displays a strong
sense of tranquility (anjing)
(Huang Jinpei, 1986)
The myth of a monolithic Chinese culture has penetrated deeply into
popular thinking, both Chinese and Western, and occasionally into
scholarly thinking as well. But the student of Chinese history is certainly
aware of the many periods of cultural dissonance and internal conict
from the Warring States period (5th3rd centuries b.c.) onward. In fact,
one of the major achievements of the Han dynasty (206 b.c.220 a.d.)
was unication of the numerous warring kingdoms on and around the
Central Plain of North China. As a result, most Chinese today refer
to themselves as Han people (as an ethnic term), and to mainstream
Chinese civilization as that of the Han.
With unication came a sustained diffusion into southern regions of
court and literati culturesnotably of written language, measurement
systems, the Confucian philosophy, state rituals and literature. In spite
of this, however, local dialects, local musics and local cuisines have been
well maintained. It is fair to suggest that unication was not always
warmly embraced, especially in marginal regions and among minority
cultures. Indeed, the Hokkien cultures of southeastern coastal areas
(Chaozhou and Minnan) and the very eclectic Cantonese, who have
always been opposed to the hegemony of the North, call themselves
people of the Tang [dynasty] (Tangren), as if in protest.
In this book I examine the theoretical underpinnings of the sizhu
(silk-bamboo)
1
instrumental ensemble traditions of the Han and Tang
peoples of South China. This region is dominated by four cultures:
Chaozhou, Minnan, Hakka and Cantonese.
2
Their areas of settlement
1
Sizhu is pronounced as seh-ju; wg: szu-chu.
2
The Beijing scholar Yuan Jingfang (1987: 290ff.) distinguishes among four different
regional sizhu typesChaozhou, Minnan, Cantonese and Jiangnan (central-eastern
2 chapter one
are shown in Fig. 1.1. The name silk-bamboo derives from the
instrument types which dominate the chamber ensemblethose with
silk strings (lutes, ddles, zithers) and utes constructed of bamboo.
Percussion instruments, when employed, are small in size and usually
restricted to woodblock types or other time-markers. While all cultures
maintain regional names and distinctive stylistic characteristics for
their ensemble traditions, most share a core of aesthetic, behavioral
and musical concepts, allowing for the kind of cross-cultural study
proposed here.
Music Categories: Sizhu as a Domain
Chinese scholars have always taken an active interest in classifying their
material and expressive culture. As early as the 4th and 3rd centuries
b.c., the concepts of proper and improper music were differentiated in
Zhou dynasty literature, notably in reference to the traditions of the
virtuous state of Lu and corrupt state of Zheng (q.v. Chapter Two).
Specic functional types, such as ritual music, processional music and
entertainment music were cited and visually depicted during the Han
dynasty (c2nd century a.d.). Several centuries later, the categories of
rened music ( yayue) and banquet music ( yanyue) appeared in the
literature of the Tang court. The early Song scholar Chen Yang (c1100),
in attempt to document the strong Indian and Central Asian inuences
as well as indigenous traditions, differentiated among the concepts of
rened music ( yayue), popular music (suyue) and barbarian music
(huyue). These domains and associated concepts are cited in dynastic
sources from the earliest periods onward.
3
China). Hakka chamber music is not mentioned by Yuan (nor is it examined in Gao
Houyongs seminal study of 1981), perhaps because this tradition is small relative to
the others. Related ensemble types include the less well-known regional traditions of
bantouqu of Henan province, baisha xiyue of western Yunnan province, and the guqu (zheng
ensemble) tradition of Shandong province. A great deal more comparative work must
be done on these and other regional types before their relationship to the southern
sizhu traditions can be established.
3
For a good introduction to musical ideologies of the Zhou period, see DeWoskin
1982: 19ff. For a general review of historic research orientations, see Thrasher 1993:
311ff.
SIZHU music in south china 3
During the early 1960s, a potentially useful socio-functional typology
was suggested by musicologists working at the Music Research Institute
in Beijing. Four broad categories were identied: 1) folk music (minjian
yinyue); 2) scholars music (wenren yinyue); 3) religious music (zongjiao
yinyue); and 4) palace music (gongting yinyue) (Yinyue 1964: 4). By the
end of the period of the Cultural Revolution (196676), however, this
approach was abandoned, primarily because the new Marxist-Leninist
ideology did not recognize the cultures of scholars, religions or palaces
(Du 2002: 1213). Their new proposal was to focus upon the traditions
of the working classes (i.e., the folk, minjian) and, instead, differentiate
among ve folk genre types: 1) folksong (minge); 2) traditional opera
(xiqu); 3) narrative song or song arts (quyi ); 4) instrumental music
(qiyue); and 5) song-and-dance music (gewu). While this system has now
Fig. 1.1 Culture Areas of Coastal Southeast China
4 chapter one
become generally accepted in state-sponsored publications, notably in
the multi-volume anthology Zhongguo Minzu Minjian Yinyue Jicheng,
4
it is
apparent that, within some of these categories, there are musical types
which do not t (e.g., dance-songs which are performed instrumentally
but without dance) and others which overlap (e.g., Cantonese narrative
songs which derive from opera). With the easing of ideological restric-
tions over recent years, Chinese scholars have realized the limitations of
this ve-part system, and such genres as solo qin zither music, Buddhist
chant, and the historic palace music can now be better conceptual-
izedthough not easily within this system.
Instrumental music alone can usefully be separated into solo genres
(e.g., qin and pipa repertoires) and indoor and outdoor ensemble genres,
most of which display distinctive regional characteristics. For instru-
mental ensemble music, the respected scholar Gao Houyong (1981)
distinguishes among the following types: sizhu (silk-bamboo), xiansuo
(strings), chuida (blowing-hitting), guchui (drumming-blowing), and
luogu (gongs and drums). Luogu is a repertoire of patterns for percussion
instruments. Sizhu and xiansuo, while presented as different traditions,
are clearly related (regional) types of chamber music, with similar rep-
ertoire and musical instruments. The genre types chuida and guchui are
also presented as different genres, but both are dominated by instru-
ments with considerably louder volume than the instruments found in
sizhu music. The chuida-guchui ensemble types are generally employed
to perform for outdoor celebrations and processions, such as funerals,
calendrical rites and religious ceremonies.
5

For the purpose of this study, I will use the terms sizhu and chuida to
identify what I see as two basic instrumental ensemble domainsthe
relatively soft chamber music and the louder ceremonial music. The
term sizhu, which appears early in Chinese literature (q.v. Chapter
Three), has been used as a domain term by Chinese musicologists since
the 1960s.
6
Today, only a few regional traditions actually use these
names. For the chamber music domain, the term sizhu is used only in
4
This series, under the name given here, can be simply translated Anthology of
Chinese Folk Music. In fact, the ve categories are separately titled according to musi-
cal type: Zhongguo Minzu Minjian Qiyue Qu Jicheng, Zhongguo Xiqu Yinyue Jicheng, Zhongguo
Quyi Yinyue Jicheng, Zhongguo Minjian Gequ Jicheng, Zhongguo Minzu Minjian Wudao Jicheng
(q.v. Jones 2003: 287337 for an English language review).
5
For a useful study of the chuida-guchui traditions, see Jones 1995.
6
Scholars who have used sizhu as a domain term include Hu Dengtiao (1961: 24),
Gao Houyong (1981: 23ff., 76ff.) and Yuan Jingfang (1987: 290ff.).
the Jiangnan region of eastern China, while similar traditions in other
regions retain their own distinctive names (e.g., Chaozhou xianshi, Can-
tonese yinyue). Some regional differences in function are also notable. For
example, the rened Minnan chamber tradition nanguanwhich many
musicologists list as a sizhu typeis frequently performed for outdoor
(though staged) religious celebrations, while the lively Shandong guchui
may be performed as concert music. But the terms sizhu and chuida are
nevertheless useful in differentiating the two types.
It is doubtful whether the sizhu and chuida traditions were ever entirely
isolated from each other. Indeed, most southern cultures maintain a
chuida variant alongside their local sizhu typesometimes played by the
same musicians. As well, many of the livelier pieces in the southern
(and Jiangnan) sizhu repertoires actually reect strong chuida melodic
inuence.
A nal note on the troublesome dichotomy of classical (gudian) and
folk (minjian). There certainly are traditions which the Chinese consider
to be classical, the qin zither and kunqu opera being prime examples.
Surrounding these traditions are elaborate theories and aesthetic ideals.
Both require a high degree of technical expertise for performance, and
both are closely associated with the orientations of the literati. In the
minds of some scholars, everything else is considered to be folk music,
and herein lies the problem. The Chinese term for this concept is minjian
yinyue, a term more accurately (if less poetically) translated as music
among the people, implying a domain of music other than that of the
literati. The practice of translating minjian as folk, a term which was
probably introduced from Marxist rhetoric during the 1950s, at any
rate works poorly within the Chinese context. It is clear there have been
mixed interactions among many of these genres, such as kunqu tunes
used in the regional (folk) operas, and popular (folk) melodies used
in qin music.
7
More meaningful to todays scholarship must be recogni-
tion of the ways of thinking within specic Chinese regions, where local
people identify their so-called minjian genres as actually being classical,
while rejecting the qin and kunqu traditions altogether! The Minnan and
Hakka traditions are good examples of this perception, as will be seen
throughout this book. Therefore, the problematic terms classical and
folk will be used sparingly, and always with regional qualication. When
referring to specic genres which have been passed on, mostly through
7
Qin is pronounced as chin; wg: chin.
6 chapter one
aural transmission, the terms traditional or common practice will be
used. These terms are no more exact than folk but are, at least, neutral
with regard to the Confucian and Communist value systems.
Against this brief overview of genre types and terminology, the
dominant culture areas of South China will now be outlined, with
greater detail given to the nature of ensembles and repertoires, and
some insights into their webs of inter-relationship.
Music Cultures of South China
The Yellow River region of North China, while not the geographic
focus of this study, must be cited rst because of its historic importance.
Near the sharp northward bend in the river and to the east are located
many archeological sites of prehistoric signicance, and also most of the
Chinese capital cities from the Shang through Tang dynasties (roughly,
16th century b.c. to 10th century a.d.). This region is known as the
Central Plain (Zhongyuan), a broad agricultural plain with Henan
province at its center, together with southern areas of Shandong and
Shaanxi to its east and west. By the early 12th century, however, this hub
of Chinese civilizationthe heart of Confucian culturewas largely
abandoned as the advancing Mongol horsemen forced the Han people
to migrate south and east. There are surviving northern chamber music
traditions, such as Henan bantouqu and the well-documented xiansuo
music (Rong 1814), both with strong representation of the 68-beat form
(q.v. Chapter Five) and performed on stringed instrumentsnotably
zheng, pipa and sanxian. The inuence of these traditions on Chaozhou
and Hakka small ensemble repertoires has only recently been recognized
(q.v. further discussion below and in Chapter Three).
In central-eastern China, the fertile rice-growing region of the Yangzi
River basin is known today as Jiangnan (literally, south of the [ Yangzi]
river). Historically populated by non-Sinitic speakers, this broad region
was ultimately taken over by Wu-speaking Chinese, a dialect distantly
related to Mandarin. Jiangnan (present-day southern Jiangsu and north-
ern Zhejiang provinces) emerged after the 12th century as the dominant
economic and cultural center of China, with an enormous range of
activity by scholars, poets, artists and musicians ourishing in the newly-
cosmopolitan cities of Hangzhou and Suzhou. Today, the bustling city
of Shanghai has taken over the role of cultural capital. Among the
genres of music practiced in the Jiangnan region, the classical opera
kunqu and qin zither have received strong support among the literati.
Jiangnan sizhu, a more recent instrumental chamber music genre drawn
from diverse sources, is supported by a broader social constituency. It
is still performed in the music clubs and teahouses of Shanghai.
8
Both
regions, the Central Plain and Jiangnan, over the years have had some
inuence on, or inter-relationship with, the southern traditions.
Along the southeastern coastal region of present-day Fujian and
Guangdong provinces, isolated by a dense range of mountains, there
are several thriving cultures which scholars believe preserve some of the
oldest layers of Chinese civilization. In terms of cultural diversity, the
southeast coastcommonly known as Hokkien, the local pronunciation
of Fujianis one of the richest regions in East Asia. Two linguistically
related cultures, Chaozhou and Minnan, dominate this population.
Chaozhou The Chaozhou formerly lived on the Central Plain (pres-
ent-day Henan and southern Shaanxi provinces).
9
Their migration to
the Chaoshan Plain on the Southeast Coast has not been thoroughly
documented but the initial movement is thought to have started as
early as the 4th century. While there had been some earlier level of
Chinese governmental presence along this coast, it was during the
Tang dynasty (618907) that a regional political center was established
at the city of Chaozhou (Chen 1985: 32). Migration intensied in
response to the Mongol invasion. The Chaozhou people settled along
the eastern Guangdong coast, their traditional occupations centering on
shing, boat building and some agriculture. Within the recent several
centuries, Chaozhou people have migrated southward to Hong Kong
and beyondespecially into Thailand where they moved into power-
ful economic and political positions.
10
Their principal urban centers
in China today are the coastal cities of Shantou (Swatow), Chaoyang,
Chenghai and (further inland) Chaozhou city.
8
Several prominent Chinese scholars have written on the development and struc-
ture of Jiangnan sizhu, among them, Jin Zuli (1980), Gao Houyong (1981: 83ff.) and
Yuan Jingfang (1987: 291ff.). For a well-balanced English-language study, see Witzleben
1995.
9
Chaozhou, in Mandarin, is pronounced as Chao-jou; in the local dialect it is
Teochiu.
10
Teochiu (Chaozhou) presence in Thailand was so strong during the 18th and 19th
centuries that a Teochiu general actually ascended to the throne (as king of Siam),
ruling the country for a brief period (q.v., Moser 1985: 195). Their musical inuence
throughout Southeast Asia (Thailand, Cambodia, Vietnam) has been extensive, most
noticeably in the construction of two-stringed ddles, lutes and zithers, but also in
areas of musical form.
8 chapter one
The Chaozhou instrumental tradition is large, with nearly half
a dozen genres differentiated. Their principal chamber tradition is
known as xianshi yue (string-poem music), though sometimes simply as
xianyue (string music).
11
The term xian (string) identies the dominant
instrument types used (bowed and plucked strings) and reects an
important level of continuity with the xiansuo ensemble tradition of
North China (discussion to follow in Chapter Three). The meaning of
the name string-poem music is not entirely clear, though musicians
believe that these pieces were originally associated with poems which
were subsequently forgotten.
A more intimate Chaozhou chamber genre is xiyue (elegant music).
12

Xiyue repertoire is virtually the same as xianshi, the primary difference
between these being the smaller size of the xiyue ensemble and the
higher degree of skill required for its performance. Other Chaozhou
genres include the regionally-famous da luogu (great gongs and drums)
and temple musicboth of which are associated with ceremonial func-
tionsand several other less common types.
13

The chamber repertoire consists of ten extended suites (their classical
repertoire), together with a variety of other tunes of lesser signicance.
Representative suites include Hanya Xishui (Winter ravens playing in
the water, Chapter Four, App. A2, B2 and B3), Pingsha Luoyan (Wild
geese descending on a sandbank), Da Baban (Great eight beat, App.
B1), Xiao Taohua (Small peach blossoms) and Yueer Gao (High moon);
shorter tunes include Liuqing Niang (Lady Liu Qing, Chapter Four,
Fig. 4.5 and 5.1), Xijiang Yue (Moon over the West River) and others
of a more popular nature. This tradition, with its many modal com-
plexities and variation techniques, is one of the most highly developed
in South China.
Ensemble size usually numbers ve or more performers of stringed
instruments, including pipa (lute), sanxian (lute), tihu (mid-range ddle) and
zheng (zither) or yangqin (dulcimer), all led by a performer on erxian (high-
range ddle). Other instruments may optionally be added, such as qinqin
(lute), yehu (coconut-shell ddle), shouban (clapper) and dizi (short ute).
14

11
In these related terms, xian is pronounced as syen; wg: hsien.
12
Xiyue is pronounced as syi-yue; wg: hsi-yeh.
13
For Chinese-language introductions to xiyue, see Chen Tianguo 1992: 1214 and
Chen Wei 1992: 911.
14
Brief sketches of these instruments are given in Chapter Three. For greater detail,
see Thrasher 2000, Dujunco 1994: 38ff., and the entries in The New Grove Dictionary of
Music and Musicians, 2nd edition (2001).
The mid-sized xianshi ensemble pictured in Fig. 1.2 shows the standard
performance positions for several instruments: the lead erxian ddle at
the far right (from the audience perspective), yangqin at the center, and
pipa on the left side of the ensemble. For the rened xiyue, the core
ensemble consists of three instruments, the so-called three plucked
(santan): sanxian, pipa and zheng, though other soft instruments such as
yehu or xiao (end-blown ute) may optionally be added. A ve-piece
xiyue ensemble is pictured in Fig. 1.3. Note that the three primary
instruments are positioned at the front of the ensemble. Xianshi music
is performed within different contexts, very commonly at home for
self-entertainment, but also in music clubs and at ancestral temples in
association with weddings and funerals.
Numerous cultural indicators suggest that there were historic Chao-
zhou relationships with Tang and Song cultures (7th to 13th centuries)
on the Central Plain. Identication with the medieval city of Xian,
site of the Tang capitol at Changan (Shaanxi province), is especially
strong. These factors, together with notions of being people of the
Tang (Tangren), form a central part of their ancient origins belief.
Fig. 1.2 Chaozhou xianshi ensemble, Shantou
One of many music clubs in Shantou City
Instruments L to R: tihu, pipa, yangqin, sanxian, yehu, and erxian.
(photo: A. Thrasher, 1986)
10 chapter one
Chen Tianguo, the Guangzhou-based scholar who has written most
extensively on Chaozhou music, cites many examples attesting to the
supposed lineage of this music, such as the preservation of terminology
employed in the well-documented Tang form daqu (grand song),
performance keys specically associated with Tang-Song music, and
instrument names beginning with the prex qin (e.g. qinzheng, qinqin),
which were likely derived from (or named after) the Qin region on the
western Central Plain. He boldly concludes that some Tang musical
styles and terminology are preserved in Chaozhou music (1985: 34).
Other Chaozhou scholars have advanced similar theories.
15

The more cautious view is of a tradition rooted in practice dating
from the 13th or early 14th centuries (Yuan 1987: 324). The belief that
this music embodies the philosophy of the Confucian scholar (rujia) is
15
As one example, the scholar-performer Chen Leishi has theorized that the old
Chaozhou notation for zheng zither, known as ersipu (24 notation), is distantly related
to surviving Japanese koto notation, and was likely in use during the Tang-Song period
(1978: 57ff.).
Fig. 1.3 Chaozhou xiyue ensemble, Chaozhou City
Instruments L to R: pipa, xiao, zheng, yehu, sanxian.
consistent with this timeline in that, during this neo-Confucian period,
the inuence of scholars on the arts was particularly strong. Documents
show, however, that musical interactions with northern regions contin-
ued into the 16th century, notably with the Jiangnan cultural centers
of Suzhou and Hangzhou (Chen 1985: 32ff.).
16
Further discussion of
these later historical trends appears in Chapter Three.
Other Chaozhou musical characteristics, such as the predominance
of the 68-beat form (Baban), demonstrate historic contacts of some
dimension with the bantouqu repertoire of Henan province, the early
19th-century xiansuo repertoire of North China (with which xiyue en-
semble makeup is nearly the same), and the surviving Hakka chamber
repertoire of neighboring districts. As will be seen, the 68-beat form is
widespread in China. The close inter-relationship between Chaozhou
and Hakka zheng traditions is especially important, in that musicians
from both cultures consider this multi-stringed zither to be reective of
ancient Confucian ideals, maintaining a cultural position analogous to
the smaller qin of the Jiangnan region (an instrument rarely played on
the Southeast Coast). The Chaozhou-Hakka zheng tradition forms the
basis of the highly-regarded southern school of zheng.
17

Minnan The Minnan culture, which bears many close cultural and
linguistic relationships with the Chaozhou, is located further north
along the coast in the southern districts of Fujian provincethe greatest
population centers being Xiamen (Amoy), Quanzhou and Zhangzhou.
Like the Chaozhou, Minnan people also identify the Central Plain
as their ancestral homeland. According to scholars at the Quanzhou
Center for History and Culture, migration southward occurred in several
successive waves, beginning in the Eastern Jin dynasty (4th century),
continuing during the period of the Five Dynasties (c10th century) and
concluding as the Mongols advanced at the end of the Song dynasty
(Wang 1986). By this period, the port city of Quanzhou was already a
well-established trade hub. Since the Minnan were capable sea travelers,
ship-building prospered and large numbers migrated to Taiwan (where
16
In her dissertation on Chaozhou music, Dujunco cites a number of other probable
historic inuences, including the introduction of northern opera melodies, Buddhist
and Daoist tunes, and folksongs (1994: 36).
17
While there is a substantial shared repertoire between the Chaozhou and Hakka
traditions, there are also important differences in performance styles. For this reason,
Chen Anhua (1982: 5760) points out that local musicians separate these into two
southern schools (rather than one).
12 chapter one
today they dominate the population on that island), the Philippines and
areas throughout Southeast Asia.
Minnan music is locally identied by several names, most beginning
with the prex nan (southern). Nanyin (southern tones) is thought to
be oldest of the names (L 1982: 15). In Xiamen, the same repertoire
is called nanyue (southern music); in Quanzhou, xianguan (string pipe)
is often used, though in Taiwan and other Minnan areas the term
nanguan (southern pipe) is most common.
18
Because nanguan has become
the best known of these terms in the western world, it will be used in
this book.
Nanguan refers to a musical domain which includes both traditional
songs and instrumental repertoire, but not the local opera or other
more popular traditions. Three distinct nanguan genres are differenti-
ated, of which the chamber tradition, known as pu (notation) or more
formally as qingzou pu (rened notations), stands at the center of the
instrumental tradition.
19
Pu are multi-sectional suites, thirteen in number,
each composed of between three and eight short, typically unrelated
melodies, and arranged in a chain-like structure.
20
The ensemble is
xed at ve instruments. The lead instruments are pipa and dongxiao
(end-blown bamboo ute), two very old instruments in Chinese tra-
ditional music. Supporting these are two instruments of more recent
introduction, the erxian (ddle) and sanxian. The fth instrument is the
paiban, a ve-piece wooden clapper used to mark the primary beats of
each metric cycle.
21
A ve-member instrumental ensemble in standard
performance position is shown in Fig. 1.4. Note that the instrument
types in the Minnan ensemble are very close to those of Chaozhou
xiyue, though without zheng zither and always with dongxiao ute. Nanguan
music is performed in homes and clubs for self-entertainment, and for
18
These terms are not absolutely xed within their locales, for I have heard Quan-
zhou musicians refer to nanguan, and Taiwan musicians refer to xianguan.
19
The other Minnan genres are known as zhi (literally nger), over three dozen
mono-sectional pieces with texts but usually performed instrumentally, and qu (song),
many hundreds of short lyric songs which are sung with instrumental accompaniment.
See L 1982 for a comprehensive examination of these forms, and Wang 2002: 205ff.
for an English-language introduction.
20
The total number of suites in the pu repertoire varies historically and regionally,
one 19th-century source listing only 12 suites, others listing 13, 16, and even 17 (q.v.,
Yuan 1987: 335).
21
Occasionally, when a lively melody is performed at the conclusion of a suiteespe-
cially in the zhi repertoiremiscellaneous wind instruments and small percussion are
added for rhythmic emphasis and increased volume.
a wide variety of ritual events, such as weddings, funerals and in honor
of local Buddhist gods.
Nanguan is an idiosyncratic repertoireunusual in its use of a dif-
ferent pool of melodic sources (compared to the more mainstream
Chaozhou tradition), a temperament system not regularly found in
traditional instrumental music, xed (rather than exible) instrumen-
tation, rejection of the zheng zither (which is popular in most regions
of eastern China), and absence of the xed-length 68-beat structure
(notably Baban) and beat variation suite types so common to South
China. This tradition is strikingly different from neighboring Chaozhou
and Hakka traditions.
Like the Chaozhou, Minnan musicians are also tempted to assign
the origins of nanguan music to the period of the Tang dynasty or even
earlier. Nanguan legends are particularly enduring. Liu Honggou was
one of the rst to relate the belief that, as early as the Tang and Song
dynasties, nanguan had been performed in the imperial palace as a type
of rened entertainment music. Minnan people think of it as a type of
noble music (gaoshang yinyue) in reference to its Confucian qualities of
elegance and restraint (Liu 1973: 10).
Fig. 1.4 Minnan nanguan ensemble, Taipei
Instruments L to R: sanxian, pipa, paiban, dongxiao, erxian.
14 chapter one
These beliefs are widespread among musicians. In 1986, Quanzhou
musicians also told me that nanguan has not changed in any essential
way since the Tang-Song period (Wang 1986). Others have cited the
pre-Tang genre, qingshang yue (pure music) as a possible source (L 1982:
10), and one scholar even suggested that nanguan originated from the
ancient yayue (rened music) (Sun 1981: 21).
22
The problematic ques-
tion of origin, which must be treated with great care, will be further
addressed in Chapter Three.
What is the relationship between nanguan music and the neighboring
traditions? Musicians both inside and outside the Minnan region say
that nanguan is entirely unique among the musics of South China. Some
of the differences have been cited above (and will be explored further
in Chapters Four and Five). Are there points of similarity? In an article
on the possible relationship between Minnan music and Chaozhou
music, Chen Wei (1992: 712) cites their closely related spoken dialect
(a linguistic relationship that has been well documented) and discusses
numerous shared cultural characteristics (local rituals, occupations, and
food and tea preparation). But beyond some common features found in
opera stories and folksong melodies, he has difculty identifying shared
structural and stylistic features in their instrumental musics. It seems
clear that nanguan music, while sharing basic instrumental ideals with
Chaozhou xiyue, is rooted in a substantially different tradition from that
of the Chaozhou and other local cultures.
Hakka The people known locally as Hakkathose in Southeast China
at any ratereside in the interior of eastern Guangdong and southwest-
ern Fujian provinces. Like the Chaozhou and Minnan, Hakka history
has been one of migration southward from the Central Plain. However,
because of their linguistic differences with Chaozhou and Minnan
speech, and the fact that their Henan-Shanxi ancestral homeland lies
to the east of the ancient Chaozhou region, it is apparent they preserve
a different branch of the Tang-Song population. Hakka movement into
present-day Jiangxi province (in central China) is generally believed to
22
Most of the evidence used in support of Tang dating is visual and linguistic,
notably the particular construction of the nanguan pipa, use of the Tang name chiba for
the end-blown ute (dongxiao), similarities between local notation and the notations in
the famous Tang manuscript found in the Dunhuang caves, and similarities between
nanguan chain forms and daqu (q.v. Wang Wei-chen 1988; Liu 1973: 3, L 1982: 9ff.).
Wang Aiqun, of the Quanzhou Center for History and Culture, also told me of nding
melodic similarities between Minnan music and that of present-day Xian (1986).
have started in the 9th century, with further southward movement into
the hilly areas of Guangdong province (and elsewhere in China) during
the period of the Mongol invasion.
23
Still later migrations took Hakka
people into Taiwan and areas of Southeast Asia, notably Vietnam,
Thailand, Singapore and Indonesia.
When the Hakka arrived in Guangdong province, they were called
guests (hakka in Cantonese; kejia in Mandarin) by the dominant Can-
tonese population. Primarily farmers by occupation, they settled on
agricultural lands in the interior. Meixian county is considered their
homeland in eastern Guangdong. Other Guangdong Hakka districts
include Dapu, Huiyang, Shaoguan (in northern Guangdong) and the
Chaozhou district of Shantou, where Hakka and Chaozhou musicians
have interacted for many years (Rao 1986, Luo 2004). In fact, Hakka
communities are found in a broad band across southern China, stretch-
ing from western Fujian province (Yongding, Longyan and other com-
munities) to Sichuan province. Unfortunately, this diaspora has had the
effect of diffusing Hakka musical identication. For example, the city of
Meizhou is known for opera, the nearby town of Dapu for instrumental
music, and more rural areas for mountain songs (shange). While much
of the instrumental repertoire is shared with Hakka communities in
nearby southwestern Fujian, the structural differences from one town to
another make it difcult for visiting musicians to perform together.
24
One of the striking characteristics of Hakka culture is their seemingly
contradictory position within the traditional Chinese social structure.
While the Hakka for the most part are farming peoples, they think of
themselves as the carriers of the true Han Chinese spirit, exemplied by
a strong sense of lial piety, emphasis on education and other Confu-
cian values (Chapter Two). Although at the lower end of the Chinese
socio-economic structure, the Hakka have produced some of the greatest
political, military and educational leaders of the 20th century.
25
Hakka
23
These migrations have been carefully documented in local records and gene-
alogies. Rao Ningxin (1986), one of my primary music informants, states that the
early generations of the Rao clan during the Song dynasty were scholars ( jinshi ).
The 24th generation, which had reached Dapu (in Guangdong province) sometime
in the 16th century, were known for performance of music. Rao Ningxin belongs to
the 47th generation. For more on the chronology of the Hakka migration, see Char 1969:
1012 and Moser 1985: 236ff.
24
Some of these unusual versions of otherwise standard Hakka repertoire are notated
in the Fujian volume of Zhongguo Minzu Minjian Qiyuequ Jicheng (2001: 419487).
25
These include Deng Xiaoping, the noted linguist Guo Moruo, and many others.
16 chapter one
culture places high value on the quality of simplicity, as evidenced in
their plain dress, unspiced food preparation and minimally-embellished
music. As Leo Moser puts it, Although other Chinese often look down
on the Hakka as simple farm folk, they do so with a touch of admira-
tion, for simplicity is an ancient Chinese virtue. (1985: 248).
Hakka instrumental music, a small tradition relative to the Chaozhou
and Minnan, has been known by different names. When Chaozhou
people rst became aware of this tradition, they identied it as music
on the other side of the river (waijiang yinyue), because most Guang-
dong Hakka lived to the west of the Han River (Wang 2006). During
the mid-1950s, the tradition became known among the Cantonese as
Guangdong Han music (Guangdong hanyue), in reference to the musics
northern origins among the Han Chinese. In China, this name is now
most common, though elsewhere it is sometimes referred to by the
Mandarin name, Kejia yinyue (Hakka music). During the early 20th
century, well-established music clubs were active in Dapu and among
Hakka communities in Shantou and Guangzhou, and as far away as
Hue (Vietnam) and Singapore (Luo 1986). By the late 20th century,
however, there had been steep decline in performance activity, and
today this music is not often heard outside its center in Dapu.
Several genres of Hakka instrumental music are commonly differenti-
ated, of which the chamber tradition is known as sixian yue (silk string
music).
26
Sixian repertoire consists of a variety of old melodies, the
most important based upon the 68-beat form and arranged in suites
of several types. Representative 68-beat pieces include the well-known
Chushui Lian (Emerging lotus blossoms, Chapter Four, App. A3 and
B4), Xunfeng Qu (Balmy breeze melody, Chapter Six and App. A1)
and Yashan Ai (Sorrow at Ya Mountain); shorter pieces include Xixiang
Ci (Poem of the west chamber, Chapter Four and App. A1) and Pipa
Ci (Pipa poem). Instruments are similar to those of the Chaozhou,
though the principal ddle is usually called touxian (lead string), rather
than erxian.
27

26
Sixian is pronounced as seh-syen; wg: szu-hsien. Some sources (Luo 1986,
Zhongguo 1984: 129) identify the Hakka chamber tradition as hexiansuo (harmonious
string music). Other Hakka genres include luoguchui (literally gong-drum-blowing),
which is a rough equivalent of Chaozhou da luogu, and bayin (eight tone), a chuida-type
of outdoor ceremonial music. Among the Hakka in neighboring Fujian province, other
terms are used in identication of related genres.
27
The Hakka touxian is shorter than the erxian, and its strings are tuned a fth apart
(rather than a fourth).
A more intimate sub-type of Hakka chamber musicand a fair
equivalent of Chaozhou xiyueis qingyue (virtuous music).
28
Very
signicantly, qingyue is also occasionally referred to as qingshang music,
the Han dynasty term for pure music, and even as rujia music (ruyue),
music of the Confucian scholar. Qingyue is an ensemble designation for
a trio of instrumentsusually zheng, pipa and yehu, though occasionally
including xiao (ute) as well. A small Hakka ensemble is pictured in
Fig. 1.5. Qingyue repertoire is mostly the same as sixian, but its aesthetic
qualities are said to be more rened. Both types are performed in homes
and music clubs for entertainment and self-cultivation, the larger sixian
performed at special celebrations such as Chinese New Year (chunjie).
Dating, once again, is an issue of some controversy. Luo Lian
(1986) states that Hakka music preserves Song-Yuan repertoire and
stylea tradition brought south with the southern migrations after
the 12th century. The presence of so many 68-beat melodies in the
Hakka repertoire suggests that they share a melodic pool with Henan
28
Qingyue is pronounced as ching-yue; wg: ching-yeh.
Fig. 1.5 Hakka qingyue ensemble, Guangzhou
Instruments L to R: zheng, pipa, xiao, tiqin.
18 chapter one
bantouqu, a relationship which would support this timeline. Intercultural
relations with the neighboring Chaozhou, at any rate, appear to have
been continuous, and their musics reect many commonalities. Chen
Anhua (1982: 57ff.), one of the rst scholars to address this relation-
ship, cites similar migration patterns, proximity of settlement, related
genres, instruments and repertoire structures. He also states the com-
monly-accepted observation that Hakka instrumental music over the
years has been well received by Chaozhou musicians and audiences,
and that Hakka opera is often sung by Chaozhou performers.
29
The inter-relationship between Hakka and Chaozhou zheng zither
traditions has been cited above, though there is some debate over
which culture has inuenced the other more deeply. As seen in the
chapters to follow, however, it is clear that some Hakka inuence has
been introduced into the Cantonese tradition.
Cantonese The Cantonese culture area is centered on the Pearl River
delta in the far south of China. It dominates most of southern Guang-
dong province, and there are substantial settlements in Guangxi prov-
ince, Macau, Singapore, and many urban pockets of Southeast Asia and
the western world. The largest urban Cantonese populations in China
reside in Hong Kong, Guangzhou (Canton), and smaller neighboring
cities such as Shenzhen, Foshan and Zhongshan.
The Cantonese have a quite different history from the peoples of
North and Central-eastern China. Early maps show that a people
known as Yue occupied the Pearl River delta about two thousand years
ago. Sinologists such as Leo Moser (1985: 206208) suggest that the
Yuewho are now identied with the Cantonese peoplereceived
strong cultural and linguistic inuence from the ancient Tai/Zhuang
culture of the same region, some elements of which are still preserved.
But it was not until the Tang dynasty that the imperial government
successfully brought this region under central control, subsequently
introducing Confucian ideals and rituals, written characters and mea-
surement systems. Nevertheless, the Cantonese, partly because of their
great distance from the northern center of political power, were able to
maintain their distinctive spoken language, regional cuisine, and local
cultural practices.
29
For examples of the relationship between the Hakka and Chaozhou musical
systems, see Thrasher 1988: 130.
An equally important factor for the maintenance of Cantonese cul-
tural patterns is their location along the commercial southern coast.
The port cities of Hong Kong and Macau emerged during the 19th
century as international trade hubs and, for the better part of the
last two centuries, the exchange of ideas between the Cantonese and
the western world has been continuous. These social, geographic and
commercial factors have exercised very strong inuence on the recent
direction of Cantonese music.
The Cantonese instrumental tradition is generally known by the
name Guangdong yinyue (Cantonese music), a term implying music
to be performed on instruments.
30
Other names, such as xiaoqu (short
tunes), have been used in the past but are rarely heard today. In fact,
the great majority of Cantonese instrumental pieces are short in length
(as opposed to the more extended taoqu suite forms in practice among
neighboring cultures); so, the term xiaoqu is not inappropriate.
Virtually nothing is known about music making among the Cantonese
prior to the 16th and 17th centuries, when the classical opera Kunqu was
introduced from the Suzhou-Shanghai region of eastern China. Beijing
opera and other northern opera types were introduced during the 18th
and 19th centuries.
31
The earliest Cantonese instruments (such as tiqin
and yueqin) were adaptations of northern models, these stringed instru-
ments introduced with the opera traditions. The earliest instrumental
melodies were also derived from northern opera interludes (guochang qu)
and pipa tunes from the Shanghai area. Equally signicant have been
the instrumental traditions of the neighboring Hakka and Chaozhou
cultures. From themthe Hakka in particularthe Cantonese bor-
rowed both classical melodies and instruments.
According to the research of the Guangzhou scholar Chen Deju,
instrumental music considered specically Cantonese emerged as re-
cently as the 1870s and 1880s (1957: 1). Huang Jinpei agrees with
this estimate, placing its early development between the 1880s and
1920s (1982: 8), a period when the various local musical traditions
30
Cantonese opera ( yueju) is considered to be a type of Chinese opera (xiqu). These
two traditionsopera and instrumental musicare seen as categorically different genres;
they are rarely taught together at the same institutions or discussed together in pub-
lications. But the most cursory of observations reveal many cross inuences, notably
opera tunes used as models for instrumental melodies, and 20th-century instrumental
compositions accepted into opera.
31
For more on the early inuence of Kunqu and subsequent inuence of Beijing
opera, see Yung 1989: 4ff.
20 chapter one
were certainly known to be in practice. The early 20th-century manu-
script/collection Xiange Bidu is of enormous importance in identifying
the various types of music current during this period. The author, Qiu
Hechou (1917), differentiates among four types of instrumental music:
1) Baban variants, melodies known throughout China; 2) gudiao (old
tunes), 68-beat Baban-derived melodies reecting both Hakka sixian
and Jiangnan pipa inuence, such as Zhaojun Yuan (Lament of Zhao
Jun); 3) guochang qu (crossing-the-stage tunes), short instrumental tunes
employed in the northern opera traditions, such as Liuqing Niang (Lady
Liu Qing) and Dao Chunlei (Spring thunder); and 4) xiaodiao (short
[popular] tunes), folksong-like lyrical songs played on instruments,
Moli Hua (Jasmine owers) being a good example. These four types
account for nearly the entire traditional Cantonese repertoire of the
early 20th century. The signicance of the Qiu manuscript, however,
extends beyond the Cantonese tradition in that it identies the primary
sources for Chaozhou and Hakka repertoires as well.
The Cantonese instrumental tradition, as a regional repertoire, our-
ished during and following the 1930s, when the gaohu two-stringed ddle
and qinqin lute were introduced into the ensemble, together with the
yangqin dulcimer and other instrument types.
32
A ve-piece Cantonese
ensemble is pictured in Fig. 1.6. As many as three hundred new pieces
were written during the mid-20th century, by composers such as Yan
Laolie (e.g., Hantian Lei, Thunder in the drought, Chapter Five), Qiu
Hechou (e.g., Yule Shengping, Enjoyment of the peace), He Liutang
(e.g., Yuda Bajiao, Rain beating on the banana leaves), Cui Weilin
(e.g., Chanyuan Zhongsheng, Bell ringing in the Buddhist courtyard)
and, most famous of all musicians from this period, L Wencheng (e.g.,
Pinghu Qiuyue, Autumn moon on the peaceful lake. App. B6 and B7).
Compositions such as these are all short (three or four minutes long on
average), and mostly lively and cheerfulreecting the optimism of
the period. They now dominate the Cantonese repertoire.
33
32
Yuan Jingfang is correct in explaining that the Cantonese gaohu emerged an
adaptation of the erhu, recently introduced from Shanghai, and the qinqin lute was
borrowed from the Chaozhou xianshi ensemble (1987: 306).
33
For more information on the old and new Cantonese repertoire and its composers,
see Huang 1982 and 1984, and Yuan 1987: 305ff. English-language summaries appear
in Huang 2002: 217221 and Huang and Thrasher 2008 (in preparation).
In summary, there has been considerable musical interaction among
the Chaozhou, Hakka and Cantonese, and from earlier periods with
the more northern traditions of the Central Plain and Jiangnan. While
musicians rarely recognize such cross inuences, analysis shows that
the three repertoires have drawn upon a common pool of traditional
melodic models. They have also exchanged instruments, performance
modes (notably the crying mode, Chapter Four) and some structural
characteristics (such as the 68-beat Baban structure and beat variation
suite forms, Chapter Five). The Minnan, however, while culturally
related to the Chaozhou in linguistic and other ways, maintain a highly
idiosyncratic tradition which musicians believe was derived from an elite
genre of imperial palace music. The introspective Minnan chamber
music is organized differently and displays only supercial similarities
with the other southern traditions. Yet, in terms of sound ideals and
aesthetics, a number of commonalities can be found.
Fig. 1.6 Cantonese ensemble, Guangzhou
Music faculty at the Xinghai Conservatory of Music
Instruments L to R: gaohu, zhonghu, yangqin, qinqin, xiao.
22 chapter one
Social Perspectives
Sizhu may be considered a type of chamber music in the sense that
it is a rened tradition, performed for attentive audiences in homes,
music clubs and teahouses. In some cultures (Chaozhou, Minnan), it is
performed in ancestral temples and in other ritual settings as well.
Ensemble sizes generally vary between three musicians (for intimate
settings) and ve or more musicians (for club meetings and perform-
ances). Instrumentalists sit in a semi-circle, around tables or in a cluster,
depending upon regional practice, and their performance is held
together by time-marking percussionists or lead instrumentalists (Fig.
1.7). While notations from the late 19th and early 20th centuries are
present in all culture areas (Chapter Four), musicians usually play from
memory.
Sizhu music, in all its regional forms, is performed by people of diverse
occupations and educational levels, including those from scholarly
backgrounds, small merchants, laborers and persons of relatively low
socio-economic standing. Chaozhou music, for example, is performed
in urban areas by a mix of educated musicians, merchants and
Fig. 1.7 Cantonese ensemble, Guangzhou
Musicians in a music club setting
Instruments L to R: bass ruan, yehu, qinqin, yangqin, gaohu, xiao.
students, and in the surrounding villages by farmers and laborers.
34
It is
the shared local culture and common regional tongue which unify this
seemingly classless tradition. Participation, however, generally requires at
least some expendable income for purchase of instruments and leisure
time for development of skills and attendance at meetings. As a result,
the tradition tends to be associated with mens clubs, perhaps because
men have more spare time than do women, but also because men tend
to socialize outside of the home.
35

In the larger towns, several or more music-based associations are
often active, each club having grown around the reputation of one
or two skilled performers who form a nucleus for the ensemble. In
Chaozhou and Hakka cultures, where lineage is carefully preserved
and large families live in close proximity, ensembles made up entirely
of family members are common. Membership in Cantonese ensembles,
on the other hand, is more normally based upon regional dialect and
sometimes business relationships.
Music clubs usually meet weekly to rehearse and socialize. Meetings
are very casual, musicians alternately performing in the ensemble,
drinking tea and talking with friends at the side.
36
These informal
meetings, therefore, are locally thought of as gatherings; they are
not rehearsals in the western sense because musicians rarely stop to
rehearse. Informants say they play music for self-cultivation, enjoyment
and promotion of good health.
Performances occur in any of several different settings, the most
regular being within the music clubs themselves, where member musi-
cians perform for each othera gratifying experience for musicians of
amateur status. (The amateur ideal will be examined in Chapter Six.)
Public performances, once common in teahouse settings, have essentially
disappeared in South China, though teahouse music can still be heard
in Shanghai. Among the Chaozhou and Hakka, performances are often
34
In one of the small villages I visited (Hepu), an ensemble with a membership of
thirty male musiciansall farmersmet weekly to play music and socialize. Many
farming villages in the region have musical activities of this sort.
35
In South China, and indeed throughout most of China, traditional instrumental
ensembles are exclusively male in constitution. Within the recent decades of the 20th
century, however, female musicians have been welcomed into the sizhu-type ensembles,
notably on the zheng zither and pipa lute.
36
For an insightful discussion of the internal dynamics of amateur music clubs in
the Chaozhou region, see Dujunco 1994: 116ff.
24 chapter one
staged in connection with the lunar new year and other celebrations,
and occasionally in ancestral temples as well (Chapter Two). Minnan
chamber music is performed at similar commemorative events, but
also in honor of local Buddhist gods (notably, for Mazu, goddess of
seafarers), staged within the compounds of Buddhist temples. With the
building of concert halls and growth of professional ensembles during
the mid-20th century, most traditions are now performed in halls for
a ticket-buying public.
Performance of Cantonese music is unique among the southern
traditions. While Cantonese music was performed in teahouse settings
during the early 20th century, in the 1930s it became increasingly
associated with the emerging technologies of lm and radio.
37
During
this period, Cantonese musicians also took great interest in recording
their performances and many 78 RPM recordings were made by the
best musicians of the period. As a result, the tradition became highly
uniedunlike Chaozhou, Minnan and Hakka musics where village
variations are more pronounced. Today, Cantonese music is most often
performed within the context of opera productions and at fund-raising
banquets which, however, are normally dominated by vocalists singing
traditional opera songs. It is rarely performed any longer as a separate
instrumental tradition.
So, with such differing styles and perceptions, are there commonalities
among these regional traditionsfactors which make them Chinese?
In the chapters to follow, I will demonstrate the various ways in which
traditional ideologies and theories are manifest in the local musical
styles, modes, structures and aesthetics. As a rst step, the powerful and
harmonizing force of Confucianism must be examined.
37
For example, when silent lms were introduced into South China, Cantonese
instrumentalists played at intermissions (Huang 1996)a short lived association but
one that reects upon Cantonese eclecticism.
CHAPTER TWO
YUELUN: THE CONFUCIAN FOUNDATION
Music harmonizes the peoples voices
(Yueji, c1st century b.c.)
The Warring States period of the late Zhou dynasty (5th3rd centuries
b.c.) was marked by great civil unrest. During this pre-unication period,
many small kingdoms battled for power and, ultimately, new concepts
of governance emerged. The social theories attributed to Confucius
(551479 b.c.), which stressed the regulatory principles of proper behav-
ior and use of music in promoting social harmony, provided this new
sense of stability. These ideas were taken up by his followers and, over
the next few centuries, became widely accepted throughout China.
The Confucian foundation of Chinese music is the focus of this
chapter, with some thoughts at the end on Daoist and other inu-
ences. In this and later chapters, I will demonstrate that elements of
Confucian (and Daoist) ideology are still embraced by musicians in
the conservative cultures of South China, most notably among the
Chaozhou, Minnan and Hakka.
Confucian Ideology
The socio-political institution of Confucianism became well established
during the Han dynasty (206 b.c.220 a.d.), several centuries after
Confucius (Kong Zi) had been active. Because of his fundamental inu-
ence on the educational and philosophical direction of Chinese culture,
titles such as grand master and supreme teacher were conferred upon
him posthumously by various imperial decrees. The collected writings
of this teacher, real or ascribed, and of his disciplesespecially the Liji
and Lunyuover time became a cornerstone of Chinese civilization.
These, and other texts, are collectively known as the Classics.
1

1
The Five Classics, collected in the 2nd century b.c., include the Shijing (Classic
of Songs), Shujing (Classic of Documents), Yijing (Classic of Changes), Chunqiu
(Spring and Autumn Annals), and Liji (Record of Rituals). A second grouping of
26 chapter two
Confucianism has passed through many lters over the last 2500
years. While the thoughts of the grand master himself are believed to
have been most accurately preserved in the Lunyu (Analects), a number
of his followers over the years wrote interpretations of and commentar-
ies on this social philosophy. Xun Zi (wg: Hsn Tzu) was one of the
earliest (active c250 b.c.). His interpretations are recognized by Chinese
scholars as having been especially inuential on the development of
ritual practice and on the specic orientation of the Liji (Record of
Rituals)from which the Yueji (Record of Music) was drawn. During
the Han dynasty, another strong proponent of Confucian philosophy,
Dong Zhongshu (wg: Tung Chung-shu, active c125 b.c.), synthesized
still earlier interpretations, adding to the Confucian canon distantly
related ideas, such as yin-yang theory and ve-elements theory. (The
Yueji and yin-yang theory will be discussed below.)
With the collapse of the Han dynasty and introduction of Bud-
dhism, Confucianism passed out of favor (in imperial circles at least)
for nearly one thousand years, until its revival in the Southern Song
dynasty (11271279) with the neo-Confucian movement. The most
active and respected scholar of this period was Zhu Xi (wg: Chu Hsi,
11301200). Zhu wrote highly inuential commentaries on the classic
texts, stressing societal order based on ethical leadership, proper family
relationships, social harmony and other principles. By the 14th century,
his interpretations of Confucianism had become orthodox.
2

The point of this very brief overview is to identify the most prominent
of many historical readings of Confucian ideology, showing that over
a period of two millennia new interpretations and other theories were
incorporated, sometimes even forced upon the ancient authority. In my
own references to these philosophical backgrounds, I will differentiate
wherever possible between statements in the ancient texts and interpreta-
tions by later scholars. When referring to Confucian, Confucianism or
the Confucian inuence, I mean to identify essentially neo-Confucian
Classics, known as the Four Books, was compiled (in part from the Five Classics)
by the Confucian scholar Zhu Xi more than one thousand years later. This collection
includes the Daxue (Great Learning), Zhongyong (Doctrine of the Mean), Lunyu
(Analects) and Mengzi (Mencius). The Four Books became the core of Confucian
education after the 12th century.
2
For further information on neo-Confucian and other interpretations, see Fung
Yu-lans A Short History of Chinese Philosophy (1964).
YUELUN: the confucian foundation 27
thoughtthat is, the synthesis accepted by Chinese scholars since the
Song period and sometimes called the Confucian consensus.
3
Concepts of Governance The overriding issue in Confucian ideology is
one of governance. As Arthur Wright observes, government during
the imperial period for the most part was a social rather than con-
stitutional process, and ofcials at all levels assumed responsibility for
promoting the values and devising the institutions which would assure
stability (1964: viiiff.). Historically, stability was achieved by regulating
and harmonizing social order. This traditional, essentially Confucian,
social system is explained by Derk Bodde (1953: 46):
Society, in Chinese eyes, consists of a large number of small social units
(the family, the village, the guild, etc.), each of which consists in turn of
individuals varying greatly in their intellectual and physical capabilities.
Because of these inequalities, it is inevitable that class differences should
exist. The social order, in other words, is a rationalization of existing
human inequalities.
It does not follow, however, that there should be conict between social
classes. On the contrary, the welfare of the social organism as a whole
depends upon harmonious cooperation among all of its units and all the
individuals who comprise these units. This means that every individual,
however high or low, has the obligation to perform to the best of his ability
those particular functions in which he is expert and which are expected
of him by society. Thus the ruler should rule benevolently, his ministers
should be loyal yet at the same time ready to offer if need be their frank
criticism, the farmers should produce the maximum of food, the artisans
should take pride in their manufactures, the merchants should be honest
in their dealings, and no one should interfere needlessly in the tasks of
others for which he himself is not qualied. In other words, society should
be like a magnied family, the members of which, though differing in their
status and functions, all work in harmony for the common good.
Given this focus on social harmony and stability, the concepts of
individualism and innovation were thought to encourage unregulated
society, instability and possibly revolt. As a result, the Confucian per-
spective has been highly conservative, even backward-looking, in the
sense that the best models of behavior and expressive culture were
found in the achievements of the ancients, not in the experiments of
3
In Chinese-language sources, the Confucian school of thought was known as ruxue
(wg: ju-hseh); Confucian scholars (or literati), who assumed responsibility for teaching
the classic texts and their interpretations, were identied as rujia (wg: ju-chia).
28 chapter two
youth. Traditionally-educated Chinese people still cite the pithy, old
Confucian sayings in resolving contemporary problems; traditional
artists still repaint the old subjects; and traditional musicians still re-
compose the old tunes and perform in the time-honored styles. Such
behavior and expression is said to be old and rened (guya). While
cultural identication may be the artistic motivation, social stability is
one of the consequences.
Confucian ideology is multi-faceted in scope and functionalist in
approach, in the sense that all parts of society are expected to support
the whole. Its pivotal concepts center on values such as benevolence
(ren) and ritual (li )which are two of the ve constant virtuesand
moderation (zhongyong).
4
Like most ancient behavioral values, the con-
cepts ren and li must be understood as clusters of related ideas. Ren,
usually translated as benevolence or human-kindness, essentially
refers to the need for empathy in human relationships. This is seen
as one of the root values in the achievement of social harmony or
concordance (xiehe).
Li is another, and certainly more complex concept, but one with
great relevance for music. The term li is variously translated as ritual,
ceremony, propriety and/or rules of conducteach of these iden-
tifying a slightly different function of the term, depending on context.
For example, the early Confucians believed that, to effectively order
society, people had to be taught the principles of social hierarchy. This
function is summarized by Scott Cook (1995b: 18):
[Li ] is rst and foremost the delineation and maintenance of social and
familial positions, roles, and duties. It is through a clear demarcation and
separation of positions and the performance of the tasks and duties associ-
ated with those positions without any overstepping of the bounds proper
to them that the order and stability of the societal fabric is maintained.
The violation of such boundaries is the root of all social instability.
Thus, rules of conduct (li ) were established, whereby sons should obey
fathers, subjects respect emperors, and so forth. Related to this meaning
is that of ritual (li ). It was considered the duty of properly socialized
citizens to demonstrate respect for their ancestors in prescribed conven-
tional ways. On ancestral rituals, the Confucian disciple Xun Zi says:
4
Ren (wg: jen) and li are cited in the Lunyu (Analects), a text traditionally ascribed
to Confucius himself. The concept of li, however, is more thoroughly documented in
the Xunzi and Liji texts. For further information on these texts, see Fung 1964 and
other western-language books cited below.
The sacricial rites are the expression of mans affectionate longing. They
represent the height of piety and faithfulness, of love and respect.
(trans., Fung 1964: 149)
Ancestor worship has deep roots in China, extending back to pre-
Confucian times. Related rituals are still practiced in South China. In
this sense, the ceremony (li ) provides an opportunity for the demon-
stration of respect for the deceased and a channel for expression of
ones grief.
Zhongyong (wg: chung-yung) is both the title of a classic text (often
translated as Doctrine of the Mean) and the term for another
essential valuebehavioral moderation. The opening statement in the
commentary to the Zhongyong text reads no inclination describes zhong;
no change describes yong.
5
In a directional sense, the middle road
(zhong) is advocated, to be taken without veering ( yong). Accordingly,
behavioral extremes were to be avoided. In summarizing this aspect of
zhongyong, Fung Yu-lan cites the never too much theory, whereby it
is better for one to be wrong by having too little, than to be wrong by
having too much. (1964: 20) Moderation of actions and avoidance of
extremes were considered especially desirable goals in bringing about
a state of equilibrium and harmony. Indeed, zhongyong as a value was
more than just theory. Ideas about moderation and restraint were so
heavily emphasized (especially since the growth of neo-Confucianism in
the 13th century) that they became ingrained in the mind and attitude
of the Chinese commoner. In addition, zhongyong exercised a regulatory
effect upon music, as seen in performance behavior and, I will argue,
heard in several elements of musical style.
6
These points will be further
discussed in Chapter Six.
Harmonization of Opposites Reconciliation of seemingly contradictory
concepts has occupied an important place in Confucian thinking, as it
has in Daoist and Buddhist thought. Sinologists accept that
5
Of the many editions of the Zhongyong, I have used James Legges The Four
Books (1861/Taipei rpt. 1975), which gives both Chinese text and his translation and
analysis. The translation given here, however, is my own. For further analysis of this
central principle, see Fung 1964: 172ff. Several examples of this principle are cited in
DeWoskin 1982: 27.
6
There is today widespread rejection of the zhongyong value by young people in
particularin large part because of its extensional meanings: of ordinary talent; com-
mon (Liang 1973: 26). To most conservatory-trained musicians, the suggestion that
ordinary talent be more highly valued than superior talent is unacceptable.
30 chapter two
Chinese philosophy is lled with dualisms in which, however, their two
component elements are usually regarded as complementary and mutu-
ally necessary rather than as hostile and incompatible.
(Bodde 1953: 54)
The most famous dualismand probably the paradigm for most
othersis yin-yang ideology, which emerged early in the Zhou period
and was subsequently adopted by the Confucians.
7
This model is so
well known in the western world that an explanation of its associated
concepts would seem unnecessary. Yet, again, it must be pointed out
that, in Chinese thinking, pairs such as these are always related, one
unable to function without the other. How could an agricultural crop
come to harvest without both rain ( yin) and sun ( yang)? How could
the human species reproduce itself without both female ( yin) and male
(yang) participants? In the words of Fung Yu-lan (1964: 138), Through
the interaction of these two primary principles, all phenomena of the
universe are produced.
There are, of course, many manifestations of yin-yang ideology and
related dualisms, such as wen (civil) and wu (martial)two cultural
categories commonly found in music and theater, and used to differenti-
ate these types of expressive culture (i.e., civilized and gentle vs. mar-
tial and forceful). Chaozhou and Hakka musicians use both pairs of
conceptsyin and yang, wen and wuin conceptualizing their chamber
music genres and their out-of-doors ceremonial genres respectively. In a
balanced cultural environment, both are necessary. As Edgar Wickberg
points out, even Confucianism and Daoism have a kind of necessary
and interacting opposites sense about them (2005).
Most signicant for traditional government theory and its co-option
of music is the distantly-related theory of li-yue (ritual and music).
Li-yue is a specically Confucian theory, employed in the promotion
of social stability by regulating peoples diversity (through ritual) and
harmonizing their voices (through music). This very central dualism
will be examined below.
8
Number Symbology A number symbology emerged in China over a
period of many centuries, based upon a mix of Confucian and Daoist
7
References to yin-yang dualism appear in sources as early as the Yijing (Classic of
Changes) and Shijing (Classic of Songs).
8
Other dualisms which reect stronger Daoist and Buddhist philosophy include
being and non-being, and movement and stillness.
interpretations, together with regional beliefs. Already well developed
by the Song dynasty, auspicious numbers such as ve, eight and twelve
were employed in explaining natural phenomena, in relating cosmology
to everyday life, and in foretelling the future. Most single-digit numbers
were assigned importance to some degree, though several numbers
(notably four, seven and nine) did not achieve the prominence of the
others or were associated with specic dynasties and not widely recog-
nized afterwards.
9
The essence of this numerology is merely outlined
below, its many musical manifestations treated in greater detail in the
chapters to follow.
The unit one, anciently believed to represent the basic principle of the
way (dao), a sort of cosmological foundation, is considered the source of
all things Chinese. Important as this number is in Chinese philosophy,
one is weak in musical interpretations. It is, however, the source for the
number two. In the words of Kazu Nakaseko, Out of the Great Source
[the dao], the two opposing aspects, yang and yin, were generated. (1957:
147) The number two, clearly derived from yin-yang theory, is thought
to be the oldest of the auspicious numbers. As will be seen, the theory
of ritual and music demonstrates with great clarity how these two
forces interact. Additionally, in the ancient chromatic pitch system, the
twelve (ascending) pitch positions are identied as alternating yang and
yin pitches. In common-practice music, such complementary dualities
as civil and martial types of music, and soft and hard modes
(Fig. 2.1a), are still well recognized by performers.
Three is a less signicant number within the Chinese context, but is
nevertheless used in explaining the relationship between heaven, earth
and man (sancai) and is also found in some Buddhist concepts. In the
historic pitch system, the number three is absolutely central because
calculations are based upon the acoustical relationship of two-to-three
vibrational lengths (q.v. Chapter Four). In present-day instrumental
9
The number four in South China tends to have negative associations, as with death
with which it rhymes. Musical associations, at any rate, are weak. The number nine
apparently had great signicance during the Zhou dynasty. The measurement system
during this period was nonary, and this was the basis for calculation of the yellow
bell pitch (q.v. Nakaseko 1957: 149). Bells of this period were regularly designed with
36 nipples, four clusters of nine, and they were often assembled in sets of nine. But
memory of these meanings today has virtually disappeared, and other nonary associa-
tions are relatively weak. Finally, the number ten (a single-digit number in Chinese
script) is found occasionally in musical terminology, an example being the Chaozhou
ten great suites (shi datao)which, however, are divided into ve pieces in one modal
system and ve in another (q.v. Chapter Four).
32 chapter two
music, however, three has been assigned less signicance than other
single-digit numbers, though Chaozhou multi-section forms of four or
more variations are nevertheless theorized by local scholars as being in
three sections (e.g., touban, kaopai, sanban)presumably for numerological
reasons.
Five is historically one of the most important numbers in the entire
Chinese system, employed in the most ancient texts in classication of
the ve relationships (wulun), ve constant [virtues] (wuchang), ve ele-
ments (wuxing), ve classics (wujing) and many other phenomena. The
inuence of this number in rationalizing the pentatonic tonal system
and in justifying ensemble size (Fig. 2.1b) will be discussed throughout
this book.
Six, while generally not quite as powerful a number as ve, is of
some historical importance in grouping the six arts (liuyi ) and six
rituals (liuli ), both of which include aspects of ritual and music. Six
a) Two-part Yin-Yang relationship: Hakka soft and hard modes
(q.v. Chapter Four)
b) Five standard instrument positions in Nanguan music (q.v. Chapter One)

paiban
pipa dongxiao
sanxian erxian
c) Eight-phrase Baban form in Chaozhou music (q.v. Chapter Five for examples).
[conj. refers to the four-beat conjunctive motif in the ending phrases]
Phrase: 1 2 3 4
Organization: a (3+2+3) a' b (contrast) a''
Beat structure: 8 beats 8 beats 8 beats 8 beats

5 6 7 8 Coda
c (a+b) d (conj.) d (conj.) b' d (conj.)
8 beats 8 beats 8 beats 8 beats 4 beats
Fig. 2.1 Numbers and Music, some examples
is also found in the organization of yin and yang pitches in the ancient
chromatic pitch system. In contemporary practice, it identies the title
and meaning of the Jiangnan musical form Liuban (Six beat).
Eight, the highest of the ancient single-digit numbers of contemporary
signicance, is thought to derive from the eight-part trigram system
of solid and broken lines (bagua) (Fig. 2.2) and the eight directions
(bafang). This number is especially prominent in cataloging the eight
tone (bayin) musical instruments believed to be indigenous, in organiz-
ing the appropriate number of phrases in the form Baban (Eight beat)
(Fig. 2.1c), and in other aspects of instrumental music as well.
10
10
In popular usage, eight is also considered the most auspicious number for many
day-to-day decisions (as in selecting addresses for homes and in choosing the opening
date of 08/08/08 for the Beijing Summer Olympics.
Fig. 2.2 Eight-part Trigram System
The trigram gure (bagua) is rarely depicted on musical instruments, but here
shown on a water buffalo horn used in Daoist divination (line drawing of an
instrument in the authors collection). In this historic system of divination,
eight combinations of solid and broken lines are shown around the perimeter,
surrounding images of the interlocking forces of yin and yang at the center.
34 chapter two
Most signicant among the multiples of these numbers are twelve,
thirty-six and sixty-four. Twelve historically is a number of enormous
cosmological import, notably in ordering the twelve annual cycles and
their associated animals (e.g., year of the dragon, snake, etc.), months
of the year, (double) hours of the day, chromatic pitches in the octave,
and the correspondences amongst these cyclical phenonema. Twelve
was sometimes intermixed with the number thirteen, the latter very
often employed (in the earlier dynasties at least) to identify the short
intercalary month periodically required by the lunar calendar. Thirteen,
while not generally recognized as being associated with Confucian doc-
trine, is a surprisingly important historic number in music. It is seen
in details of instrument construction (e.g., string numbers on historic
zithers and harps, pipe numbers on ancient panpipes, reed numbers
on mouth-organs, etc.), in the proper number of suites in a repertoire
(e.g., the chamber traditions of nanguan and xiansuo), and in North China
in the actual constitution of ensembles.
11
Following the neo-Confucian
movement of the Song dynasty, the number sixteen (eight times two) is
assigned greater importance in the construction of ritual instruments
(replacing thirteen for the most part) and, later, in the stringing of the
popular zheng zitherwhere, again, sixteen replaces thirteen.
Thirty-six, derived from the ritual number six taken six times, has a
continuing manifestation in the choreography of the Confucian ritual
ceremony, but is rarely seen elsewhere. Sixty-four is of greater signi-
cance in that it derives from the hexagram system, the enlarged trigram
system (eight variations of the eight-part trigrams) used in divining and
fortune-telling.
12
The role of the hexagram system as a foundation for
the important Baban form will be examined in Chapter Five.
Why have numbers taken on such great importance in Chinese think-
ing? Marcel Granet explains that the Chinese number system allows
insight into the way things are held together and into the alternating
cultural systems in which we may discern the rhythms of cosmic life
(quoted in Eberhard 1983: 211). This system of systems, therefore, is
more than just a supercial attempt to associate belief with numbers.
Rather, it is a rationalization of meanings and relationships, and an
exegesis on how beliefs and material culture correspond with unknown
11
Sheng-guan ensembles south of Beijing are ideally comprised of eight melodic
instruments and ve percussion (q.v. Du 2002: 4546).
12
W. Eberhard suggests the hexagrams to be a kind of inspired formula for inter-
preting the world (1983: 298).
forces and observed natural cycles in promotion of desired goals. As
Fung Yu-lan puts it, the mystery of the universe is to be found in
numbers. (1964: 140) Peace and prosperity ow from a numerologi-
cally harmonized universea belief still held by many Chinese people
with traditional views.
Dissemination of Values As discussed early in this chapter, imperial
China was a stratied society. At the top of the hierarchy, an educated
class of scholar-ofcials held the political power. In the middle were
merchants who often held a fair amount of economic power. And at
the bottom were the peasants and workers who possessed the muscle
power.
13
There were, in addition, marginal groups, such as socially-
despised beggars, boatmen, prostitutes, and entertainersa bias which
is still evident today in the attitudes of the conservative cultures of
South China. Within this class system there was open interaction.
Scholar-ofcials promoted Confucian ideology downward to the lower
classes. Landowners and wealthy merchants, in turn, frequently had
various upward connections with lower-ranking scholars, and they
sought to imitate their values.
14
But, as Tadao Sakai points out, not all
of Confucian thinking was expected to be understood or practiced by
the public. Some virtues were expected of scholars only. The general
population, nevertheless, was encouraged to play a part in this system
of governance (1970: 361).
There were several means by which Confucian goals and theories
were disseminated. Since the harmonious family unit was considered
basic to the stability of civilization, it was incumbent upon each family
to oversee the behavior of its members and thus assure a harmony of
social relationships. Organized at local levels to aid in the function-
ing of government, families were encouraged to establish schools and
maintain order. At local ancestral temples (citang), lectures were regularly
13
According to Confucian social theory, beneath the self-assigned high position of the
scholar-ofcials, the next three social strata in descending order were farmers (because
of their productivity), followed by artisans, with merchants at the bottom. The values
of merchants in particular were regularly criticized because . . . the prot motive of
merchant life corroded personal morality and impeded social harmony (Hucker 1975:
187). In practice, however, wealth played a more signicant role in determining social
stratication than theory would suggest, since merchants with expendable income were
in the best position to support the years of study needed to pass the examinations.
This fact, however, did nothing to stop criticism of their values.
14
For more detailed perspectives on these social inter-relationships, see Reischauer
1973: 140, Stover 1976: 167ff., and other standard sources.
36 chapter two
delivered on subjects such as lial piety, harmonious relations, modera-
tion of actions, and the value of education (Tong 2006). In this social
environment, behavioral standards were promoted as a means toward
self-cultivation and, ultimately, improvement of society. The institution
of the citang ancestral temple as a locus for the Confucianization of
music will be examined later in this chapter.
Beyond the inuence of the family unit, the primary means for
dissemination of these ideals was through formal education and the
civil-service examination system itself.
15
In the imperial system, a male
from any class who was intelligent (or at least persistent), willing to be
educated in the classical manner, and able to pass the examinations,
could rise above his class and receive a government position at some
level. Considering that the examinations were based entirely upon
knowledge of the Confucian classic texts, the system was efciently
self-perpetuating in that becoming educated also meant becoming
indoctrinated in Confucian orthodoxy, of which the value system was
central. Familiarity with statements about music in Confucian thought
was expected.
Finally, the Confucians took every opportunity to actually infuse
their ideology into popular literature, theater and music. For example,
the local opera traditions regularly contained plots and themes which
reected favorably upon government-sanctioned interpretations of
history and values. In fact, the late imperial governments (c14thearly
20th centuries) tried to control the content of plays and attempted to
censor those contrary to accepted norms.
16
In this manner, Confucian
ideology was effectively diffused to a rural constituency otherwise com-
mitted to Daoist and Buddhist values and ceremonies.
With the collapse of the imperial system in the early 20th century, the
conscious downward promotion of Confucian ideology essentially came
to an end.
17
During the period of the Cultural Revolution (196676),
however, what had previously been benign governmental neglect sud-
denly became an aggressive campaign against Confucius himself, who
15
For more on the efcacy of the civil service exams and other sources of Confucian
indoctrination, see Sakai 1970: 331366.
16
For more on this process of dissemination using literature and theater, see Han
and Mark 1980: 20, and Ruhlmann 1964: 122157.
17
The political situation in Taiwan, of course, has been different. When the
Nationalists established the Republic of China in Taiwan (1949), Confucianism was
declared as its ofcial philosophy and thereby taught in all school systems and otherwise
nationally promoted.
was declared to be an enemy of the working people. How well has
Confucian ideology survived these political disruptions and cultural
reorientations? Surprisingly well it seems, especially in rural areas.
The popular press is now reporting what most observers of Chinese
culture have seen for years: that with the repression of Confucian ide-
ology during the mid-20th century, the Chinese people had been left
without a value system, resulting in sharp deterioration of behavioral
and moral values, to say nothing of the rise in political corruption. In
response, educational leaders and parents have been quietly (and even
publicly) reviving relevant Confucian values in the schools and else-
where, without Chinese government objection. Now, Confucian Studies
programs are allowed in the curricula of Chinese universities, and a
Confucian research institute has been established. Du Yaxiong (2002: x),
citing his own ndings and the research of Ding Wangdao, states that
Confucian ideas over the centuries have been so deeply infused into
Chinese society that . . . in the daily life of the common people, signs
of Confucian inuence can be seen everywhere. Others have noted
that Confucian values are widely shared by all sectors of society and
continue to comprise the main fabric of thought in China to this day . . .
(Dujunco 1994: 161). So, it seems that Confucian ideology never really
disappeared in China but simply went underground. In the conservative
Chaozhou, Hakka and Minnan villages I have visited, many of these
theories, values and number associations are widely recognized, as will
be shown below and in the chapters to follow.
Government Theory and Music
For most of two millennia, scholar-ofcials and court theorists have
considered music to be an essential element of government theory.
On this the ancient texts are very clear: music unites (Xunzi ); music
harmonizes the peoples voices (Yueji ); nothing further in govern-
ment is needed beyond the application of ritual and music (Yueji ). So
important was the effort to bring all cultural activities into harmony
that, in both the Zhou and Han dynasties, very large ofces of music
( yuefu) were attached to the government to oversee and coordinate this
endeavor. Substantial treatises on music appeared. As Ken DeWoskin
observes, among the many traditional Chinese arts only music is sub-
jected to individual and sustained discussion by classical philosophers
and accorded its own chapters in the Han philosophical and historical
collections. (1982: 7)
38 chapter two
Although popular music also ourished among the common people
(traditions which did not always reinforce this functional association),
the true value of music ( yue) as recorded in the early Confucian texts
was its ability to promote the high ideals of Confucian thinking. As
such, an impressively formulated theory of music was developed, one
of the rst bodies of writing in the world associating music with ethics
and cosmology. Much of this theory was already developed in the late
Zhou treatise on social control, the Xunzi.
18
When the Liji (Record of
Rituals) was assembled two centuries later, many of its statements were
borrowed from the earlier work. Citations appearing below are entirely
from the Yueji (wg: Yeh-chi, Record of Music), a shorter text mostly
derived from these sources.
19
While not all of this Confucian music
theory is relevant to the common-practice instrumental traditions of
today, several concepts are noteworthy for their continuing inuence.
Essential Concepts The central germinal concept, out of which nearly
all others grow, is yue. Yue carries subtle and shifting meanings within
different contexts. In its broadest sense, yue may be translated as the
ethos of music, in the Platonic sense of music for moral education.
Within this context, the Yueji offers the following comparison between
the concepts of yue (music), yin (tones) and sheng (sound):
. . . the animals can know the sheng but not the yin. The common people
can know the yin but not the yue. Only the junzi [cultivated man] can
really know the yue. Therefore, one must discern the sheng in order to
comprehend the yin, discern the yin in order to comprehend the yue, and
discern the yue in order to comprehend the way of governingso that
the perfect method of governing can be known.
(Yueji, C:1.6, K:I7)
The term sheng refers to acoustical events that even the animals
can know, essentially meaning sound. In ancient music theory, the
term wusheng is used in reference to the relative pitch positions of the
18
For further discussion of the inuence of Xun Zi, see Cook 1995b: 372ff.
19
Of the many Yueji editions and translations available (where text divisions do
not occur in the same places), I have chosen to cite the specic reference paragraphs
given in two sources: Scott Cooks exhaustive 1995a study (identied as c), and Walter
Kaufmanns 1976 book, Musical References in the Chinese Classics (identied as k), the
latter primarily because it is readily available in western libraries. Most translations
appearing below, however, are my own unless otherwise indicated. For a more thor-
ough analysis of the Yueji background and content, see DeWoskin 1982: ch. VI and
Cook 1995a.
pentatonic system (i.e., do, re, mi, sol, la). At some later time, per-
haps because the animals can know this acoustical event, it became
negatively associated with impassioned speech, loud sounds and noise
(shengyin).
The term yin refers to actual pitches or tones, the necessary but
neutral parameter of music. Scott Cook, in his analysis of the Yueji
and other early sources, gives yin as patterned sounds (1995b: 48ff.)
20

Historically, yin has been associated with specically musical concepts
such as sounding music ( yinyue) and the eight-tone instruments (bayin).
In todays world, it has retained these more artistic meanings, such as
pitch ( yingao), timbre ( yinse) and scale ( yinjie).
Yue, in this context, must be understood as a philosophical component
of government theory, the strongest example of this meaning being
found in li-yue theory. As with li, however, the term yue historically
has related meanings. When yue is used in reference to the practice of
music, it may appear in identication of either rened traditions (those
good and proper musics capable of elevating peoples behavior) or in
reference to various regional traditions criticized for their lack of rene-
ment.
21
Over time, prexes were added to yue, clarifying its typesuch
as yayue (rened music) and suyue (popular music). As noted above,
the recent term yinyue refers to most types of sounding music, though
more commonly to instrumental than to vocal genres.
22
That moderation (zhongyong) is another principal theme in the Yueji
text comes as no surprise. The early inuence of zhongyong may be
seen in the statement great music must be simple (dayue biyi ) (Yueji,
C:2.2, K:I17).
23
In traditional Confucian thinking, proper music must fall
within the grasp of all; technically-difcult music belongs to specialists,
who are generally assumed to be untutored in Confucian thought. But
any music, simple or complicated, is clearly seen as affecting behavior.
Again, the Yueji states:
20
For somewhat different interpretations of the historical terms sheng and yin, see
Du 1999: 38.
21
For a review of the ancient beliefs concerning good and bad music, see DeWoskin
1982: 21ff., 92. For more on the yue-yin-sheng relationship, see Cheung 1974: 29 and
Picken 1962: 40.
22
In the 20th century, several terms came into common usage, including minjian
yinyue (literally, among the people music, though often translated as folk music) and
guoyue (national music of the concert hall).
23
The term simple is chosen here as a contextually reasonable translation of yi,
suggesting the sense of being plain and accessible.
40 chapter two
When moderate and easy-going music [dan xie man yi ] prevails, people
tend to become healthy and contented. When rough, vigorous, exciting,
and overwhelming music prevails, people tend to become militant and
inexible.
(trans., Dai 1962: 20; Yueji, C:5.1, K:II9)
Moderation was deemed to be essential in maintaining a state of social
equilibrium and harmony, and a moderate and easy-going music
was viewed as a particularly effective means of promotion.
24
Cheung
Sai-bung (1974: 28) has suggested that an implied, but quite specic,
Confucian theory of music was set out in the Yueji, in which the terms
dan, xie, man and yi must be interpreted as references to proper ritual
music style. Following Cheungs analysis, dan refers to long, broad
rhythms; xie means harmonious (probably unison) performance;
man refers to slow tempo; and yi, to simple melody. These stylistic
qualities are indeed characteristic of the ritual hymns, and commonly
believed to serve as audible demonstrations of sincerity, dedication and
respect. As suggested in Chapters Five and Six, there may possibly be
some manifestation of this stylistic ideal in the slow introductions of
traditional Chaozhou and Minnan suite forms.
In his examination of post-Han poetry, Ken DeWoskin (1983: 198ff.)
identies ve relevant aesthetic concepts, some obviously derived from
the above ideals. Of these, two have clear musical manifestations,
historic and contemporary. The rst is he (harmony, concordance),
which semantically is related to xie (harmonious, cited above) and, in
contemporary usage, is appended to xie in formation of the term xiehe,
suggesting the sense of social harmony (q.v. Chapter Six).
25
He itself, like
many ancient concepts, is open to a range of interpretations, including
concordance, peacefulness and, in music, harmony between a tone
and its octave or fth (as DeWoskin gives it).
26
The second concept of particular relevance to music is ya (elegant,
rened). While ya may be best known in reference to the musical
ideal of yayue (rened music, Chapter Three), it is also open to more
general interpretations, such as polished, sophisticated and graceful.
DeWoskin found in early poetry the extensional meaning restraint in
24
For more on the affective nature of Chinese music based upon the ancient sources,
see DeWoskin 1982: Chapters II and III.
25
Xiehe is pronounced as sye-heh; wg: hsieh-ho.
26
In present-day usage, hesheng (literally, harmonic sound) means harmony in the
sense of chord structure and movement.
expression as well. In some circles, musicians more commonly use the
term hanxu (literally, covered and controlled) in reference to expres-
sive restraint, but ya (elegance) is still in the vocabulary of Chaozhou
and Minnan musicians. Finally, the author suggests the possibility of a
specically musical realization of ya: . . . in Confucius time, ya [appar-
ently] meant adhering to the pentatonic scale rather than including the
expanded heptatonic elaborations that periodically grew in inuence.
(1983: 202) Musicians in South China today seem unaware of this
particular meaning, though their music is unquestionably build upon
solid pentatonic structures (q.v. Chapter Four).
The above concepts, possibly because they have been open to so
many interpretations, demonstrate some of the ways in which musical
aesthetics (and perhaps even style) derive from and reinforce the deep
values of Chinese culture.
Music and Ritual The term yue, as employed in the Yueji and other ancient
texts, is always related to the Confucian value system. Associations with
zhongyong and with sheng and yin have been mentioned. Similarly, yue is
frequently associated with virtue (de).
27
However, it is in its association
with ritual (li ) that yue takes on a special responsibility for promotion
of stability and behavioral norms:
Yue is for unication, li is for differentiation.
(Yueji, C:2.1, K:I15)
Li controls the peoples minds, yue harmonizes their voices.
(Yueji, C:1.8, K:I14)
. . . when the early rulers formed the li and yue, their purpose was not
to satisfy the mouth, stomach, ear and eye, but rather to teach the people
to moderate their likes and hates, and bring them back to the correct
direction in life.
(Yueji, C:1.6, K:I10)
Li and yue were regularly paired as two interlocking concepts of
government theoryan association which Dai Shen-yu (1962: 10)
appropriately calls the Confucian theory of jurisprudence. Li (ritual,
propriety) was believed to promote orderly conduct by regulating the peo-
ples diverse thoughts and actions, and systematizing social relationships.
27
In this relationship, virtue (de) is said to be both the root and ultimate goal of art
( yi ). On the subject of music, the Yueji states that music ( yue) is the highest expres-
sion of virtue (de).
42 chapter two
Yue (music) was believed to promote social harmony by unifying the
peoples voices, thereby encouraging agreement in social behavior.
Thus, by employing li and yue together in a complementary system, a
balanced social order was believed to be sustainable.
Li-yue theory was heavily promoted by imperial governments. Chang
Chi-yun (1965: 41) has shown that these interrelated concepts were
traditionally taught in Chinese schools, becoming two of the six arts
(liuyi ): ritual and music taught for moral education, archery and chariot-
ing for physical education, and reading and mathematics for intellectual
education. The six arts formed part of the Chinese educational cur-
riculum into the early 20th century.
The particular association between government theory and music
has cast a long shadow over a number of Chinese music genres, from
imperial court ritual music to common-practice music. Over the last
two millennia, these ideals have seemingly penetrated the sound-waves
of Chinese music itself. The most obvious example of this inuence of
ideology upon style can be heard in the music of the annual Confu-
cian ritual, with its simple whole-note rhythms, value-oriented texts,
ensemble of symbolically-rich instruments and numerological coordi-
nation of all parameters.
28
But this inuence did not stop at the gates
of the Confucian temple.
There is written record stating that, historically, Chaozhou and Min-
nan governors used music for the achievement of social control, in a
manner similar to the way li-yue theory might have been employed (Chen
1985: 33). It is obvious, however, that people controlled a good amount
of their own behavior when acting within family and clan structures,
and when observing proper ritual behavior. In South China today, as
in the past, ritual observances tend to center on funerals and ancestral
ceremonies. As noted in Chapter One, Chinese people maintain very
strong family and clan associations and, in some southern cultures, they
preserve geneological records stretching back to the Song dynasty.
During the later imperial period (Ming, Qing), extended families
and clans with nancial means built temples (citang) for the purpose
of honoring their ancestors. Many are still standing, and new temples
have been constructed. In medium-sized towns, there might be sev-
eral or more citangthough some dozens in larger urban areaseach
28
For English-language accounts of the Confucian ritual and its music, see Lam
1998 and Thrasher 2005: 733.
known by a clan surname (e.g., Li, Chen) and supported nancially by
family contributions. Citang
29
temples in southeastern China tend to be
imposing buildings, some as large as small Buddhist temples which they
sometimes resemble. Internally, citang characteristically have ancestral
altars, tables on which ritual vessels and food offerings are placed, and
performance space for musicians. While the primary function of these
institutions remains as a center for ancestor worship,
30
other events are
scheduled as well, including funerals, local meetings, recreational events
and performances of various types, such as instrumental ensemble music
and (space allowing) traditional opera.
The point of this discussion is to show that at citang temples, ritual
and music come together in a particularly important way. It is clear to
me from numerous interviews and observations that in ancestral ritual
practicethe most visible demonstration of lial pietymusic is always
an essential part. In present-day Chaozhou and Hakka ancestral rituals,
chuida types of music are very commonly performed (e.g., Chaozhou da
luogu), with sizhu types performed occasionally (Wang 2006, Luo 2006).
31

In the less tradition-bound Cantonese practice, local performers of
suona (shawm) and percussion may be engaged, or even tape recordings
played (Tong 2006).
The ritualmusic dualism in fact is found in most regions of
Chinathat is, wherever Confucian ideology has penetrated local
tradition. For example, the following saying is well known among per-
forming musicians of North China, though its essence is understood
in the south as well:
If there is no music ( yue), there can be no ritual (li );
If there is no wine, there can be no feast.
32
Thus, li-yue is not merely ancient government theory; it survives as local
practice. As Du Yaxiong points out, in addition to funeral and ances-
tor ceremonies, other ritual functions include redenitions of family
29
Citang is pronounced as tseh-tang; wg: tzu-tang.
30
For further information on the multiple ritual functions in ancestral temples, see
L.L. Tsais Cadres, Temple and Lineage Organizations, and Governance in Rural
China, The China Journal (2002), vol. 48: 133.
31
As introduced in Chapter One, Chaozhou chamber music is known as xianshi
(string poem), the equivalent Hakka tradition being sixian (silk string). The softer,
more intimate types, Chaozhou xiyue and Hakka qingyue, are not generally performed
in this environment.
32
Cited in Du 2002: 35.
44 chapter two
relationships and resolution of disputes among neighbors; but it is the
music that brings people together (2002: 35ff.).
Musicians in the conservative cultures of South China and Taiwan
are very aware of these general ideals and aesthetic values (if not the
actual quotes from the classic texts). Kao Tzu-ming, writing in 1959,
speaks of the power of music to promote virtuous behavior and restrain
emotions (1959: 2). Local musicians believe that Minnan nanguan is an
upright music . . . capable of encouraging a good society. (Y 1977) In
the Minnan tradition preserved in Taiwan, nanguan chamber music is
even performed inside Confucian shrines following the annual ritual
ceremonies. Chaozhou and Hakka musicians say that their chamber
music reects the spirit of the Confucian scholar (rujia), encouraging
social harmony and peaceful hearts (Luo 2004). The noted Hakka
performer Luo Jiuxiang referred to qingyue chamber music as a genre
to be performed only by cultivated persons (wenren), in expression of
the old and noble ideals of the rujia (as cited in Ju 1995: 1934). Chen
Tianguo (2004) told me that Chaozhou music fosters high thoughts
and good conduct.
I will show in the chapters to follow that Confucian ideals such
as moderation, concordance and ritual/propriety have served as
important foundational pillars for both musical style and performance
context in the southern instrumental traditions. In addition, it will be
seen that numerological organization is present in repertoire divisions
(e.g., the duality of great pieces vs. mixed pieces in Hakka music),
pitch systems (pentatonic modes are standard), numbers of pieces in
traditional repertoires (e.g., eight great pieces in Jiangnan sizhu, thir-
teen suites in Minnan nanguan), numbers of phrases in instrumental
pieces (e.g., eight phrases [baban] in Chaozhou music), and numbers
of musicians in properly organized ensembles (e.g., three in Chaozhou
xiyue, ve in nanguan, eight in Jiangnan sizhu).
Thus, over many centuries, a Confucianization of music was
achieved, though this inuence was felt more strongly within some
genres and cultures than others, and it was frequently challenged by
other philosophies and always tempered by the aesthetic principles of
Daoism and Buddhism.
Other Trends
While Confucian ideologymoral codes, focus on family, awareness of
social positioncan be considered normative for most of the imperial
period, there have also been powerful and reasoned opposition move-
ments and countercurrents where different views on music were held.
Certainly the strongest anti-Confucian movement has been a conse-
quence of Chinese exposure to western ideas during the 20th century.
I will comment upon this particular trend in the Postscript, restricting
the following discussion to the early imperial period.
Opposition Movements According to Chinese records, the earliest critic
of Confucian thought was Mo Zi (wg: Mo Tzu), a philosopher active
during the late 5th century b.c., shortly after the lifetime of Confucius.
His thoughts are recorded in a book bearing his name.
33
Mo Zi came
from a social background in which egalitarian and utilitarian views
were valued. His criticisms of what he saw as elitist values held by
pretentious aristocrats and soft implementation of social goals are
well known in Chinese philosophy (deBary 1960: 34). Of relevance
here is Mo Zis attack on the Confucian concept of ritual and music,
which he considered to be an irresponsible drain on resources and
essentially a waste of time. Fung Yu-lan (1964: 52) cites a central part
of this critique:
The Confucianists insist on elaborate funerals and the practice of three
years of mourning on the death of a parent, so that the wealth and
energy of the people are thereby wasted. [ They also] lay stress on the
practice of music, leading to an identical result.
Mo Zi was challenging a centerpiece of Confucian ideology since,
in Confucian government theory, li-yue was an essential doctrine for
social control. Furthermore, the proper performance of rituals and
music was believedboth in and out of courtto be an obligation
the people owed to their ancestors. He recognized the need for social
control, but felt that a more socially balanced and utilitarian approach
would be more effective than reliance upon rituals, music and other
such conventions.
Mo Zi saved his sharpest words for the music associated with state
rituals. It must be remembered that the court rituals in homage to
the imperial ancestors, to heaven (tian), and later in honor of Confu-
cius himself, were extravagant affairs, requiring the participation of
many dozens of musicians and dancers, and enormous expense in the
33
Useful summaries of the philosophy of Mo Zi can be found in Fung 1964: 49ff.,
deBary 1960: 34ff., and other standard sources.
46 chapter two
construction of ritual instruments (bronze bells, stone chimes, mouth
organs and others). In a chapter entitled Denunciation of Music ( fei
yue), he articulated his position with clarity:
The people have three worries: that the hungry might not obtain food,
the cold might not obtain clothing, and the work-weary might not obtain
rest. These three are the great worries of the people. This being the case,
try striking for them great bells, beating singing drums, pulling the strings
of qin and se zithers, and blowing upon yu and sheng reed mouth-organs,
while waving shields and axes in dancewill the nancial resources for
clothing and food of the people be obtainable at this point? I believe
there would be no guarantee of this.
(trans., Cook 1995b: 189)
34
The author returns to this theme again and again, citing these and
other extravagances of the state. He concludes that making [ritual]
music is wrong. Mo Zis views were mostly ignored by later philoso-
phers and government theorists, until rediscovered and transformed
during the 20th century.
35
Regional traditions were not mentioned by Mo Zi. But in mainstream
late Zhou Confucian texts, during the Warring States period several
mischievous states were regularly identied for their performance of
music deemed to be decadent, even vulgar. The states of Zheng (wg:
Cheng) and Wei received the sharpest criticism.
36
For example, the
Zuozhuan text records the impressions of a Duke Zha (wg: Cha) on
listening to the music from various northern states. While the music
from the state of Lu (present-day Shandong province and the home of
Confucius) is praised in glowing terms, the music of neighboring Zheng
(present-day Henan province) is severely criticized for being overbear-
ing, and possibly too complex for the dukes ears.
37
Similarly, the Lunyu
34
For a thorough analysis of this and related statements by Mo Zi, see Cook 1995b:
146201.
35
A similar but more muscular opposition movement emerged in the mid-20th
century with the ascendancy of communism under Mao Zedong. During the Cultural
Revolution in particular (196676), the traditonal class system was turned upside down,
and all institutions and practices associated with Confucianism were simply forbid-
denagain including traditional ritual observances and music.
36
References to the music of Zheng and Wei are found in the Lunyu, Yueji and
other early sources. For translations of these texts, see Kaufmann 1976: 33 and Cook
1995a: 3233.
37
In Ken DeWoskins analysis of Duke Zhas impressions, it was acceptable for
music to be straightforward but not overbearing, winding about but not bending
over, and essentially gently embellished but not amboyantly so (1982: 2127). These
were presumably characteristics of the music of Lu, but not of Zheng.
text quotes the master as saying I am disgusted at how the sounds
of Zheng confuse the yayue. Signicantly, the legacy of this regions
offensive music is still found in todays vocabulary, the term zhengsheng
(literally, sounds of Zheng) used in reference to any music perceived
as being overbearing and decadent. Therefore, it is clear that the music
of the Zheng state represented a prominent regional countercurrent
to the Confucian ideal during this early period, perhaps not unlike the
real regional differences heard today in South China.
The ascendancy of Buddhism just prior to and during the Tang
dynasty (618906 a.d.) must also be mentioned. Unlike the moralistic
tenor of Confucian doctrine, Indian Buddhism addressed concerns of
a more spiritual nature, such as the impermanence of life and sudden
enlightenment. Initially, these ideas produced a tension with Confucian
social theory, for which social stability was the basic orientation. Over
time, however, as Buddhist ideas were Sinicized and some absorbed
into the native Daoist philosophy as well, they were seen as being
less oppositional. Whatever Buddhist inuences were felt in Chinese
instrumental music, they most commonly have been explained as if
they were Daoist ideas.
Daoism and the Creative Ideal Although Chinese civilization was most
strongly inuenced by Confucian ideology, the arts were stimulated by
other philosophies as wellmost notably Daoism. Daoism (formerly
spelled Taoism) is attributed to the legendary founders Lao Zi (wg:
Lao Tzu) and Zhuang Zi (wg: Chuang Tzu). While almost nothing is
known about the life and times of Lao Zi, he is generally assumed to
have been active sometime during the 4th century b.c. Zhuang Zi is
known to have lived during the late 4th century b.c. and into the early
3rd century b.c. The bulk of early Daoist thinking is found in two
books ascribed to these philosophers, Lao Zis Daode Jing (wg: Tao-te
Ching) and Zhuang Zis book carrying his nameneither denitively
dated.
38

During the 3rd and 4th centuries a.d., there was considerable
interaction between Daoism, Confucianism and the newly-introduced
Buddhism, resulting in the absorption of some Buddhist concepts into
38
The Daode Jing is variously translated as the Classic of the Way and its Power,
Classic of the Dao and its Virtue, and similar variants. Dao is the pinyin spelling (and
Mandarin pronunciation) of tao (the Wade-Giles spelling). Zhuangzi may be translated
as Writings of Master Zhuang.
48 chapter two
Daoist thinking (Chang 1963: 25ff.). Chinese scholars tend to believe,
however, that most key Daoist concepts (e.g., wuwei, ziran) originated
in China. Following this period of Buddhist ascendancy, Daoism was
revived on two levels: the literati maintained Daoism as a philosophy
(calling themselves daojia), a movement with a strong creative impulse;
and the common people adopted it as a popular religion (daojiao).
Philosophical Daoism, unlike Confucianism, addresses issues of life
that [bear] on the individual and nature, our minds and our physical
selves, our vitality, creativity, and longevity (DeWoskin 2002: 97). The
individual interacting with nature is key. Thus, Daoist sages and students
retreated to the mountains where, in natural settings, they attempted
to regulate their breathing and harmonize with nature. As depicted by
artists over the centuries, these wanderers sometimes carried qin zithers
with them to assist in this harmonization process (though, alternatively,
xiao end-blown bamboo utes were used as well). In todays world, this
ideology still has appeal among traditionalists.
Like many mystical ways of thinking, Daoism thrives on what seem
(to the outsider, at least) to be paradoxical conditionsthat Dao (the
Way) is unnamable; that Dao may be understood only by way of
natural absorption, not through conscious effort; that in emptiness
(a valued quality) there is fullness of space, and so forth. Indeed, one
of the essential concepts in Daoism is wuwei (literally non-action), a
philosophical position suggesting that problems are best solved (decisions
best made) by simply taking no action or, more accurately, by taking
no unnatural action.
39

The Daoist philosophy of creativity is of great relevance to Chinese
art and music, though it tends to remain hidden within its own enigmas
and under the norms of Confucianism. But many central statements
in the text of the Zhuangzi can be clearly understood:
Those who rely upon the arc, the line, compasses and the square to
make correct forms injure the natural construction of things . . . Things
in their ultimate reality are curved without the help of arcs, straight
without lines, round without compasses, and rectangular without right
angles . . . In this manner all things create themselves from their own
innermost reections.
(Zhuangzi, Ch. 8; trans., Chang 1963: 66)
39
For more on the backgrounds of Daoism, see Fung 1964, Chang 1963, and other
standard sources.
Daoist thinkers felt that the creative process must not be enslaved by
rules, but that the best creative results should be achieved through natu-
ral means and human intuition. The term ziran, meaning naturally,
spontaneously or intuitively from the self , best embodies this notion.
40

In the analysis of Fung Yu-lan (1964: 100), the opposite of this would
be articiality, an undesirable quality in the arts.
Ziran was an especially inuential aesthetic ideal in the brush arts of
poetry, painting and calligraphy. In the painting tradition of wenrenhua
(the literati school), admittedly a fusion of Confucian and Daoist ideals,
artists attempted to capture the essence of a subject rather than its pho-
tographic likeness. The 11th-century artist Ouyang Xiu summarized this
ideal: In ancient painting, they painted yi [the idea], not xing [the outer
appearance]. (trans. Levenson 1957: 329) Having captured the idea,
the subject was then organized and presented in a natural, unplanned
rhythm, the formal principles of single-point perspective and vanish-
ing point thought to be unnecessarily restrictive and inappropriate.
41

An example of this style, chosen from the painting genre known as
bamboo and rock, is reproduced in Fig. 2.3. In this style of painting,
the bamboo is shown in an animate state of growth and movement, in
contrast to the rock which represents stasis and stabilityone might say
a Confucian harmonization of opposites seen through a Daoist lens.
All lines are drawn naturally (without articial visual aids), the pair of
images emerging with the effect of spontaneity.
Zhuang Zi did not theorize music as Confucius had. His references
to music are few, sometimes paradoxical, and always open to interpre-
tation. Quite surprisingly, there has been the most minimal analysis in
western scholarship of the Zhuang Zi aesthetic as applied to music.
42

The root of this aesthetic, again, is found in the concept of spontane-
ity, for which there are several references in the text. Appearing within
40
Ziran is pronounced as dz-rahn (wg: tzu-jan).
41
These stylistic traits are examined in Santosh Desai 1966: 61, Sullivan 1966: 181,
Levenson 1957: 326, and other sources on creativity in the Chinese arts.
42
As seen in the next footnote, several sinologists have translated the entire text of
the Zhuangzi, but their translations of musical terms consistently fail to capture the
musical meanings. A very sensitive translation and analysis is given by Scott Cook
(1995b: 302371), though his entire focus is upon a metaphysical exploration of the
sounds of heaven (tian), of earth and of human beingsbelieved to be the original
text. Cook omits discussion of Chapter 14 (Tianyun) because he suspects it may have
been written by a later disciple. I am prepared to accept this chapter, however, as an
integral part of the Daoist philosophy ascribed to Zhuang Zi, just as early Confucian
texts of unprovable origin have been ascribed to Kong Zi.
50 chapter two
the context of a musical performance he heard, Zhuang Zi cites the
mandate of spontaneity, and further observes that this music was not
rooted in a strict form. These ideals merge in the observation that
[the music] was adjusted to the mandate of spontaneity (ziran); . . . it owed
unpredictably without submitting to strict tonal organization (sheng).
43
(Zhuangzi, Ch. 14)
43
In this quotation, sinologists have translated the rst phrase (ziran zhi ming) as the
command of spontaneity (Watson 1968: 157), the melodious law of spontaneity (Giles
1926: 178), and in similar ways. For the second phrase (bu zhu chang sheng), however,
interpretations vary considerably: [the music] bowed before no constant tone (Watson
1968: 158); [it proceeded] in never to be anticipated chords (Giles 1926: 178); and
[it was] not following any regular sounds (Legge 1891: 349). Today, the term sheng
is commonly translated as sound, though in some contexts tone is more appropri-
ate (but not chords). I have chosen tonal organization as a contextually reasonable
translation, given Zhuang Zis similar statement about spacial organization in art.
Fig. 2.3 Bamboo
Brush painting in the bamboo and rock genre by Guan, Guangzhou, (2006).
Authors collection.
So, here we see a core of performance ideals in which spontane-
ity guides both interpretation andin some waythe ow of the
musical line. It is unlikely that Zhuang Zi is advocating spontaneous
improvisation (as this term is often understood in the West), but he
seems to suggest the presence of spontaneous embellishment, and of
structural or tonal irregularitiespossibly forms which were uid and
pitches which were unsteady. Was a performance of qin zither music
being described?
Such creative and organizational concepts were accepted by the
literati of wenrenhua and by musicians of similar persuasion. An obvious
example of this exibility is found in qin performance, where sectional
repeats tend to be irregular and rhythms (which are not specied in
the old notations) typically change from one performer to another. In
the southern chamber music traditions (e.g., Chaozhou xiyue), basic
rhythms are necessarily xed (because ensemble performers must agree
on this element), but phrase lengths tend to be irregular, embellishments
exible and spontaneous, and some pitches actually shaken ( yaosheng)
(q.v. Chapter Six).
That the inner spirit ( yi ) dominates the outer form (xing) also
explains much of the exibility in Chinese musical style, especially the
presence of spontaneous interpretations and, in repertoire, rejection of
articially regular (South Asian cyclic-type) musical phrases.
44
Today,
the concepts of ziran and yi or quyi (musical idea or underlying spirit)
are always on the minds of musicians, whether they are attempting to
understand meanings of the owery titles of pieces or seeking clues
to interpretation.
Although it may seem that Daoist creative ideals are antithetical to
the very sober ethical tenets of Confucianism, these qualities in fact
have had a complementary relationshipmuch as the forces of yin and
yang have interacted through the ages. As C.P. Fitzgerald (1961: 343)
states, the artist (he could have said musician) was often one and the
same person, Confucian in outlook, though Daoist in inspiration.
45
44
Cyclical phrase organizationthe regular repetition of xed-length phrases or
metric structuresis characteristic of Indian tala theory and practice, Javanese gongan
cycles, West African percussion-based music, and other world music systems. For
examples of irregular phraseology in the Chinese chamber ensemble repertoire, see
Figures 4.1 and 5.1, and the phrase subdivisions in Fig. 5.2.
45
This observation has been expressed in many different ways, such as Confucian
in public, Daoist in private and Confucian by day, Daoist by night.
CHAPTER THREE
QINGSHANG MUSIC AND THE HISTORIC LEGACY
Xianghe were old songs from the Han dynasty. Silk and
bamboo [instruments] were blended harmoniously
(Songshu, c500 AD)
Qingshang music . . . was introduced from the Central
Plain into the Minnan region during the early Tang
dynasty
(L Chui-kuan 1982: 10)
In this chapter I briey sketch the historic development of Chinese
silk-bamboo (sizhu) ensembles, with particular focus on ensemble types,
musical instrument symbology and instrumental genres. Such an outline
of the general trends in Chinese music history will provide a context
for understanding the inuential Confucian ideology, and a framework
against which local perceptions of ancient survivals can be evaluated.
It is difcult to periodize the emergence of sizhu music. Unlike the
time-honored traditions of court ritual music and qin zither repertoire,
both of which were carefully documented in written sources through
the ages, the instrumental entertainment genres have been generally
neglected by imperial scholars. When cited in the literature, earlier
historic namessuch as qingshangwere employed. These traditions
have also undergone changes over the years as new instruments and
melodic ideas were introduced. Fortunately, a great deal of evidence has
been found in the form of paintings, reliefs and instruments preserved
in museum collections, thus making it possible to piece together very
broad lines of development. I will start with an overview of the earliest
common-practice musical instruments, with some emphasis upon their
rich symbolic legacies.
1
1
Musical instruments will not be examined in depth here. Common-practice
instruments are well documented in Chinese-language sources, most accessibly in the
encyclopedic publications by Liu Dongsheng (1987, 1992), Yang Yinlius monumental
two-volume history of Chinese music (1981), and the numerous articles in the journal
Yueqi (Musical instruments). English-language surveys can be found in Moules classic
study of 1908 and Thrashers monograph, Chinese Musical Instruments (2000). For more
detailed descriptions of the most common instrument types, the best sources are The
54 chapter three
The Ancient Heritage
Zhou Symbology In the Zhouli text (c3rd century b.c.), silk (si ) and
bamboo (zhu) are two of the eight categories of musical instruments
cited in the bayin (eight tone) system of instrument classication.
2

During the Zhou period, silk instruments included only those zithers
with strings of silk, notably the qin, se and zheng. Of these three, the
zheng alone would be accepted into common-practice music making.
Lutes and ddles were not mentioned. Bamboo instruments were
exclusively ute types, notably the paixiao (panpipe), xiao (vertical ute)
and chi (transverse ute). The xiao would ultimately be accepted into
sizhu ensembles, the other ute-types retaining closer associations with
ritual music of the court. One other important ancient instrument listed
within the bayin system (under the gourd category) is the sheng mouth-
organ, an instrument still employed in the common-practice traditions
of northern and eastern China. Instruments listed in the remaining ve
categories were used primarily in imperial rituals.
While little is known about the actual music performed within either
context, it is clear that Zhou ensembles were composed of mixed winds,
strings and percussioncertainly one of the earliest combinations of
such instrument types worldwide.
3
The instruments xiao, zheng and sheng
have remained in continuous usage since the mid-Zhou period. As seen
below, all three reect elements of Confucian ideology.

New Grove Dictionary of Music and Musicians, 2nd ed. (2001) and The Garland Encyclopedia of
World Music, vol. 7 (2002). Information on the instrument variants used in the regional
sizhu traditions is more difcult to nd, but Dujuncos dissertation on Chaozhou music
(1994) contains a good chapter on local instruments, as does Witzlebens book on
Jiangnan sizhu (1995).
2
The bayin, as identied in the Zhouli (wg: Chou Li, Rituals of Zhou, c3rd cen-
tury b.c.) and other texts, is a classication system which separates the instruments
of the period into eight divisions based upon resonating media or materials used in
constructionmetal, stone, clay, skin, silk, wood, gourd and bamboo. In so classifying
these ritual instruments, one of the primary motivations of scholars was to establish a
system of cosmological correspondence with the eight trigrams (geomantic system of
solid and broken lines), eight compass points, and other meaningful eight-part systems.
For a useful Chinese-language summary of the bayin, see Cheung 1974: 31ff.; for brief
English-language accounts, see Liang 1985: 68ff. and Thrasher 2000: 1022.
3
This observation has been made by various Chinese musicologists, such as Gao
Houyong (1981: 6), based upon statements in the classic texts and upon visual evidence
as well, such as stone rubbings and unearthed ensembles of instruments such as those
found in the 5th-century b.c. tomb site of Zeng Houyi (q.v. Zhongguo 1996: 187ff.,
and the English-language articles in So 2000).
QINGSHANG music and the historic legacy 55
The xiao end-blown notched ute during the Zhou dynasty was known
by the name di, though little is known about the construction of this
instrument.
4
By the Tang dynasty (8th9th centuries), a variant known
as chiba (literally 1.8 feet) had emerged. Since a number of chiba utes
4
In late Zhou terminology, the old panpipe was known as xiao, a term which subse-
quently came to identify the vertical notched ute. The panpipe subsequently became
known as paixiao. The vertical notched ute (xiao of the present day) was originally
called di, a term which subsequently came to identify the transverse ute (di or dizi ).
Xiao is pronounced as syao; wg: hsiao.
Fig. 3.1 Xiao end-blown utes, two types
Left: zizhu xiao (purple bamboo xiao), from Gujin Tushu Jicheng (1725)
Right: dongxiao (open-ended xiao) or chiba, contemporary line drawing
56 chapter three
of this period are preserved at the Shsin Repository in Japan, its early
construction is well documented (q.v. Hayashi 1967). Minnan musi-
cians still use the name chiba, together with dongxiao (open-ended xiao),
though the Minnan style of ute in use todaywhich is larger than
the Tang uteemerged several centuries after the Tang. Two basic
types of end-blown ute are shown in Fig. 3.1, the zizhu xiao (purple
bamboo xiao), which is most commonly identied with northern regions
of China, and the dongxiao (or chiba), which is performed primarily in
Minnan musicbut sometimes in Chaozhou and Cantonese musics
as well. The end-blown ute is considered the most noble of Chinese
wind instruments, believed capable of producing a natural tone quality
(as bamboo is a natural material), and possessing important symbolic
associations with the Confucian ethical system. For example, in the Han
dynasty book Fengsu Tongyi, the name di (the Zhou period name) was
likened to the Confucian concept of di, a different character meaning
to wash away evil from the mind. To play the di was to demonstrate
a pure mind. Other associations were drawn between the Tang-Song
chiba and the cosmologically-correct pitch system (ll). For example,
the chiba, at 1.8 (Chinese) feet in length, was constructed at twice the
vibrating length of the yellow bell pitch pipe (huangzhong, a pipe of
0.9 feet, the symbolic foundation of the empire); thus, its pitch was
believed to be in correspondence with imperial order. Xiao types today
may be found in all regional sizhu traditions.
The zheng zither, while dating from the same early period, was not
associated with the rituals of the court. It was, however, accepted by
the literati (and by those aspiring to their values) as an instrument for
entertainment and self-cultivation. The zheng is a multi-stringed zither,
with a pitch-dening bridge under each of its strings.
5
Historically, silk
strings were used, though by the early 20th century, strings of copper
and (later) steel had become standard. String numbers increased from
twelve or thirteen, well documented in Tang sources, to sixteen or more
today.
6
As noted in Chapter Two, the numbers 12, 13 and 16 were of
considerable symbolic signicance during their respective periods. A
5
The zheng is pronounced as jeng in Mandarin; wg: cheng.
6
Older Chaozhou musicians claim that 13-stringed zheng zithers were being played
into the early 20th century (Chen 2006). The Cantonese composer Liu Tianyi was
known to have played on a 13-stringed instrument, of which there is a photo. In pres-
ent-day practice, Chinese musicians most frequently perform on larger instruments
with 18, 21 or 23 strings. See the zheng entry in The New Grove Dictionary of Music and
Musicians, 2nd ed. (2001).
16-string Chaozhou-style zheng is depicted in Fig. 3.2, its tuning pegs
mounted through the soundboard (unlike northern construction, q.v.
Fig. 3.5) and its edges inlaid with mother-of-pearl motifs. Occupying
an elevated position similar to that of the northern scholars qin, the
zheng in South China is specically associated with the esteemed values
of Confucianism, most particularly among the Chaozhou and Hakka
cultures.
The sheng mouth-organ, with an essentially unbroken history of close
to three thousand years, may well be the oldest Chinese instrument
in continuous usage. Existing in small and large types since about the
12th century b.c., the sheng had achieved its present-day form by the
8th century a.d.
7
Because of the shape of its two wing-like ranks of
pipes and neck-like blow-pipe protruding from the wind-chest, the
sheng acquired strong associations with the mythical Chinese phoenix
( fenghuang) and its attributes, and with some Confucian values as well.
8

Today, it is regularly employed in Jiangnan sizhu and throughout North
China in chuida types of music. The sheng has appeared in South China
from time to time, but as a result of conicting temperament systems
and far from the northern center of reed construction and maintenance,
it has fallen from usage in the South.
Han Instruments and Ensemble Prototypes By the time of the Han dynasty
(206 b.c.220 a.d.), three broad ensemble types were documented
7
This timeline is based upon analysis of the Chinese mouth-organs preserved in
the Shsin repository in Japan (Hayashi 1967). The mainstream Chinese sheng has 17
bamboo pipes circularly inserted into a wind-chest of gourd or wood (more recently
of metal), with a free-beating reed of copper alloy mounted at the bottom of all but
three or four pipes. Reed numbers traditionally total 13.
8
For a more detailed examination of sheng history and symbolic associations, see
Thrasher 1996: 120.
Fig. 3.2 Chaozhou zheng
Traditional Chaozhou style with 16 strings and top-mounted tuning pegs;
contemporary line drawing
58 chapter three
in imperial sourcesensembles for state ritual, procession, and enter-
tainment (Han 1979: 2). Ritual ensembles performed yayue (rened
music) and/or other ofcially-sanctioned music in celebration of the
ancient Chinese ideals and in honor of the sage, Confucius. Performing
at Confucian and other shrines, ritual ensembles employed the most
ancient of Chinese instruments, notably sets of bronze bells and stone
chimes, qin and se zithers, and other bayin instruments. Processional
ensembles, known by such names as guchui (drumming and blowing)
and, much later, chuida (blowing and hitting), performed primarily for
auspicious outdoor processionals and at funeralsa practice that con-
tinues today. Historically, these instruments included long horns, trans-
verse utes, reed instruments and drumsall instruments with loud,
projecting volumes for outdoor performance. Entertainment ensembles
performed a lighter music to be enjoyed within the walls of the palace
by attentive audiences. During the later Tang dynasty (c9th century),
this type of music would generally become known as yanyue (banquet
music). Instruments were mostly those which had been introduced from
cultures to the west, especially from India and Central Asia, though
some indigenous Chinese instruments were employed as well.
Instruments imported into China arrived in several waves. While most
were accepted into the common-practice instrumentarium, these instru-
ments were not usually employed in state rituals and they did not acquire
symbolic associations with Confucian ideology. Among the rst to be
introduced, along with the material culture and ideas associated with
Buddhism, were the pipa lute and dizi ute. The pipa, well documented
from the Han dynasty onward, was initially a generic name for different
types of plucked lutes, including the pear-shaped pipa and round-bodied
ruanxian.
9
Within a few centuries of its appearance, the horizontally-held
four-string pipa became fashionable in court entertainment ensembles
of the Tang-Song periods. (An early 12th-century line drawing of the
four-string pipa is shown in Fig. 3.5.) As shown in reliefs and paintings,
this early pipa was held in a horizontal position and plucked with a
9
A third type is the straight-neck, ve-string lute known as wuxian, an instrument
which over time disappeared. For an early history of pipa types, see Myers 1992. The
ruanxian is commonly known as ruan, a descendant of which is now used in the Chinese
orchestra and occasionally in sizhu music. The emergence of the yueqin and qinqin lutes
from the ruan is recognized by most scholars, but has yet to be well researched. The
yueqin (moon lute) is used primarily in Beijing opera accompaniment, but not in sizhu.
The qinqin (Qin [dynasty] lute), with its distinctively scalloped sound box, is a member
of both the Cantonese and Chaozhou ensembles.
large hand-held plectrum (Fig. 3.4). From the Ming dynasty onward, it
has been held vertically and plucked with elongated ngernails of the
players right hand.
10
The pipa has become an indispensible instrument
in most southern chamber ensembles, and in Minnan music (where it
is still held horizontally) it is one of the lead instruments.
Of somewhat less importance to the southern chamber traditions
is the dizi transverse ute. It is generally accepted that the dizi was
introduced into China from Central Asia (Xiyu) early in the Han
period. This particular ute, without the membrane hole characteristic
of later utes, was used in outdoor military ensembles (q.v. Cheung
1974: 9697).
11
During the Tang, the ute hengdi (transverse ute) was
employed in court entertainment ensembles together with bili (reed-
pipe) and sheng. It was probably not until the 16th century, when the
ute-type known as qudi (song ute) became a dominant instrument
in kunqu classical opera accompaniment, that the transverse ute was
actually accepted as a chamber instrument in the Jiangnan region of
eastern China.
12
In South China, however, the transverse ute would
not become as important as the xiao vertical ute.
Two related genres of Han dynasty (and post-Han) entertainment
music cited in early Chinese sources are xianghe ge and qingshang yue.
While our knowledge of these genres is limited and no music from this
period survives, their general nature at least has been recorded, together
with occasional references to instrumentation. Xianghe ge (harmonious
song) appears to have been a type of art song in vogue among scholar-
ofcials and merchants in urbanized areas of North China.
13
According
to period references, these songs were structured in a sectional form and
accompanied by string and wind instruments, the singer maintaining
beats with a long stick ( jie).
14

10
In many contemporary traditions, articial nails of plastic are now used, though in
the conservative regions of South China, performance with natural nails is still seen.
11
The dizi is pronounced as di-dz in Mandarin; wg: ti-tzu. The presence of an
additional hole, to be covered by a thin vibrating membrane of bamboo skin (dimo),
was rst mentioned in the early 12th-century treatise Yueshu.
12
Kunqu opera emerged during the 16th century in a region west of Shanghai. The
qudi (or kundi ) was employed as lead instrument in the accompanying ensemble.
13
Xianghe ge in wg: hsiang-ho ko. For an English-language sketch of Han period
music, see Liang 1985: 76ff.
14
See Yang 1981:114 and 144 for further information on the structure and instru-
mentation of these genres.
60 chapter three
Xianghe were old songs from the Han dynasty. Silk and bamboo [instru-
ments] were blended harmoniously. One person with a beater ( jie) also
sang.
(Songshu, c500 a.d.)
Accepting this account, we then realize that sizhu as an ideal has been
known in China for more than fteen hundred years.
15
The specic instrumentation of xianghe ge can only be inferred from
a related reference (Yuefu Shiji ) of nearly two centuries later:
winds: di, chi, sheng
strings: qin, se, zheng, pipa
percussion: jie
These eight instruments, with the exception of di and pipa, are believed
to be indigenous.
16

Qingshang yue (pure music), a genre which emerged after the Han
dynasty, also used instruments to accompany song and dance.
17
Fol-
lowing the great southward migrations from the Central Plain during
the 4th century, qingshang music seems to have developed from a fusion
of xianghe ge (which in some ways it appears to resemble) and the local
traditions of central China (Yang 1981: 1456). Its form was suite-
like, a series of tunes performed sequentially. Poetry of the period
mentions the use of silk and bamboo instruments, most probably
some combination of those cited above. This genre may never have
disappeared, for L Chui-kuan believes that Qingshang music . . . was
introduced from the Central Plain into the Minnan region during the
early Tang dynasty (1982: 10). As noted in Chapter One, musicians
from both Minnan and Hakka cultures still use the term qingshang in
reference to their elegant chamber music, though (again) there is no
15
Gao Houyong is one of several scholars to have recognized that sizhu types of
music existed from the Han period onward, though he doubts whether specic pieces
were passed down to the present (1989: 19).
16
The instrumentation of xianghe ge apparently varied in detail from one mode to
another (Yang 1981: 144). The newly-introduced pipa probably replaced the native ruan
lute, which Yang Yinliu notes was named as an instrument used in the recent past.
Reference to the di is not clear, since this term was used during the Han to identify the
vertical ute; from the Tang onward it refers to the transverse ute. This reference is all
the more perplexing when reading that at times the di and sheng performed together, a
duet combination which in recent times remains common, but always with transverse
ute. The softer vertical ute, usually pitched a fth lower, could scarcely be heard
above the relatively loud sheng.
17
Qingshang yue in wg: ching-shang yeh.
evidence of actual music surviving from these early periods. It can
be seen, however, from the names of these two genresharmonious
song and pure musicthat they most likely would have received quite
strong Confucian inuence.
The Eclectic Tang
The solemn yayue is believed to have slowly disappeared after the Han
dynasty, in large part because of the popularization of Buddhism,
both in and out of the imperial courts. It is also known that the post-
Han emperors complained about the low aesthetic appeal of the old
yayue.
18
During the period of the Sui and Tang dynasties in particular
(581618, 618907), Confucian inuence in music appears to have been
negligible. The entertainment ensembles, however, grew in popularity
within the courts and received ofcial patronage during the centuries to
follow. Known collectively as yanyue (banquet music) during the Sui and
Tang, entertainment ensembles drew upon the talents of skilled musi-
cians and dancers from outside the court. Such ensembles performed
a wide variety of music for different social occasions, not merely for
banquets (Yang 1981: 217). As such, yanyue almost certainly inuenced
the direction of the later sizhu traditions.
Silk Road Inuences Literary and visual evidence concerning makeup of
entertainment ensembles from the post-Han period through the Tang
dynasty is abundant. This is the earliest period for which we have details
about the early development of the instrumental ensemble. First to con-
sider are the visual images in pre-Tang art. As noted above, Buddhist
ideas and material culture were introduced into China beginning in
the 2nd century by way of the silk road connecting Central Asia
with northwest and north-central China. Along this dusty route, numer-
ous religious shrines built into cliffside caves contain carved and painted
larger-than-life statues/paintings of the Buddha, bodhisattvas, servants,
dancers and musicians. These monuments are still preserved more
than 1500 years later. Earliest are the Dunhuang Caves in present-
day northwestern Gansu province, begun in the mid-4th century with
18
Scholars of the neo-Confucian movement in the early 12th century attempted to
revive yayue, and traces of it remain to this day in the Taiwan Confucian ceremonies
(q.v. Cheung 1974: 64ff., Picken 1969: 76ff., and Thrasher 2005: 733).
62 chapter three
continuing artistic activity through the 10th century. In the 5th- and
6th-century Dunhuang wall murals, musicians are shown playing pipa,
xiao, di, konghou (harp) and other instruments. Ensembles of these same
instruments, shown in later paintings of the 7th and 8th centuries,
also include zheng, sheng, bili (reed-pipe), paiban (clappers), tongbo (small
cymbals), small drums and other lutes.
19
To the east of Dunhuang are the Yungang Caves in present-day
Shanxi province, dating from the late 5th century, and the Longmen
and Gongxian Caves in present-day Henan province, both from the
early 6th century. In the reliefs and paintings at these sites, this same
basic instrumentarium is depicted. Ensemble distribution of two or
three wind instruments (of mixed types), one or two plucked strings
(usually including pipa), and one or two percussion instruments (usually
including yaogu hourglass drum) is fairly representative. A similar small
ensemble from a Gansu province site is pictured in Fig. 3.3.
During this pre-Tang period, numerous instruments were introduced
from India and Central Asia into China, notably the vertical harp,
the reed-pipe bili, bronze cymbals and hour-glass drums (q.v. Cheung
1975: 219ff.). The bili reed-pipe is a short bamboo tube with a large
double reed inserted at the top and nine (later eight) ngerholes. This
reed-pipe survives in northern music by the name guanzi. But because
19
A representative selection of photographs appears in volume 9 of the series
Zhongguo Yinyueshi Cankao Tupian (Chinese music history in reference pictures)
(Zhongguo 1964); but see also Zhao 1992: 32ff., and Zhongguo 1998: 75ff. For an
accessible and informative English-language overview of the instruments depicted in
the Dunhuang caves, see Zheng 1993: 456.
Fig. 3.3 Pre-Tang chamber ensemble
4th5th-century tomb painting (Gansu province); line clarication, C. Fan
R to L: zheng, pipa, xiao and yaogu
its tone quality is relatively strident and overpowering for sizhu-type
ensembles, it is seldom used in the South (though the variant known
as houguan is employed occasionally in Cantonese music). While the
Indian harps and drums were very popular before and during the
Tang dynasty and most were passed on to Korea and Japan during
this period of cultural contact, their importance in Chinese ensembles
diminished greatly when China closed its doors to foreign inuence in
the 10th and 11th centuries.
Court Entertainment Ensembles In the late Sui and early Tang dynasties,
entertainment ensembles received ofcial patronage at court. Edward
Schafer, in his marvelous account of Tang exotica, The Golden Peaches
of Samarkand (1963), writes:
For many centuries, the music of the West [ i.e., Central Asia] had had
its admirers in China, but under the Sui emperors there was a great
vogue for it, which continued into Tang times. As Western nations were
brought under Chinese control, their music was captured, as it were, and
subsequently was demanded as tribute from them. Foreign orchestras
were incorporated into the mass of court employees and were required to
perform for courtiers and vassals in informal palace entertainments.
The so-called tribute orchestras of this period were comprised of
talented slaves, as Schafer puts itmen and women sent to the
Tang court as royal gifts, together with beautiful female entertainers
and various sorts of human curiosities such as dwarfs, magicians and
re-eaters (1963: 4951). Indeed, the emperors of this period became
so enamored with the exotic cultures associated with Buddhism, that
they appointed many hundreds of musicians and dancers to the court,
20

organized in as many as ten resident ensemblesthe shibuji (literally, ten
sections of skill) of mixed Chinese and non-Chinese musicians. Among
the ten, ensembles from Han China, India, Korea, Samarkand, Kashgar
and other areas of Central Asia were represented.
21
Instrumentation
varied from one ensemble to another. As shown by Yang Yinliu (1981:
254ff.), the Chinese ensembles were of two types, yanyue and qingshang (or
20
As many as 30,000 musicians are mentioned in period references, a number which
Kishibe (1960: 22) feels is a great exaggeration.
21
The shibuji ensembles, as documented as the Suishu (Book of Sui [dynasty]) and
the Tang dictionary Tongdian, are clearly outlined in Cheung 1974: 127ff. and Yang 1981:
252ff. For an English-language summary of this and other Sui-Tang music institutions
and their social milieu, see Kishibe 1960/61: 14ff.
64 chapter three
qingyue). The qingshang tradition, a continuation of Han practice (cited
above), maintained a native avor, primarily employing indigenous
instruments while omitting all foreign instruments except for pipa and
di.
22
The following instruments are listed for yanyue:
winds: di, sheng, [ pai]xiao (panpipe), bili
strings: pipa, wuxian ( pipa);
percussion: fangxiang (tuned iron bars), tongbo (cymbals), small drums.
Missing from this ensemble are the indigenous instruments chi (ute),
qin, se and zheng (zithers), and jie (percussion stick). The di, sheng, paixiao,
bili, two types of pipa, and tongbo were standard by this period.
23
One of several excellent illustrations of this smaller ensemble,
reecting a slight shift in instrumentation, is reproduced in Fig. 3.4, a
line reconstruction of a faded 11th-century painting by the artist Wu
Zongyuan (c9901050). The painting depicts a procession of elegantly-
dressed celestial maidens, seven of whom play popular Tang-style
instruments (though without zheng, bili or paiban). While the painting
is a rather romanticized depiction of a late Tang (reportedly Kucha)
ensemble, it does show some of the prevailing instruments of the times
and the continuing fascination with female ensembles.
By the mid-8th century, as yanyue became one of the predominant
traditions within the palace, it was reorganized into two divisions: the
sitting division (zuobuji ) and the standing division (libuji ). The sitting
division, with up to twelve musicians and dancers, performed for indoor
events, while the larger standing division of between sixty and over one
hundred musicians and dancers performed outdoors.
24
Sizhu-types of
music would most likely have been performed by the sitting division.
While it is doubtful whether any of this music is preserved in todays
chamber traditions (Gao 1989: 19), the broad outline of the inuential
Tang suite form daqu (grand song) is well documented. Daqu structure
22
The Sinologist Edward Schafer observes that it was in the courts (rather than in
the countryside) that popular (i.e., non-ritual) instruments such as pipa were rst used
in the performance of entertainment music. Subsequently, as musicians were released
from court duties, they returned to their villages with the knowledge and performance
ability on these instruments (1963: 51).
23
With a few differences, this ensemble is very close to the instrumentation of the
gagaku ensemble of Japan, which was modelled after the Tang Chinese system (q.v.
Garas 1975). For a review of Tang musical instruments, see Picken 1969: 100ff.
24
For further discussion of yanyue organization, see Yang 1981: 214ff., Kishibe
1960/61: 24ff.
Fig. 3.4 Early 11th-century entertainment ensemble
Reconstruction of faded painting by Wu Zongyuan (c9901050); line
clarication by C. Fan. Clockwise (from top): paixiao (panpipe), sheng, xiao,
di, yaogu (drum), bent-neck pipa and ve-string pipa
and its putative survival in present-day Chaozhou and Minnan music
will be examined in Chapter Five.
Emergence of the Common-practice Traditions
Post-Tang Instruments Over the next several centuries, there would
be further changes in the entertainment ensemble. Beginning with
the Song dynasty (9601279), clear shifts in Chinese taste associated
with the re-emergence of Confucian values (neo-Confucianism) and
a renewed nationalistic spirit eased some foreign instruments out of
fashion. Instruments such as harps and Indian-style drums appear
less frequently in period paintings. Among the numerous drawings of
instruments depicted in the early 12th-century treatise Yueshu (Chen
Yang, c1100), three stringed instruments known to late Tang-early
Song musicians are shown in Fig. 3.5. The four-string bent neck pipa
66 chapter three
and twelve-string zheng (more commonly with thirteen strings) were in
regular usage during this period. With the introduction of two new
stringed instrument types, the chamber ensemble begins to assume a
shape that would be recognized today.
Of the instruments imported after the Tang dynasty, the one to
become most widespread is the huqin, two-stringed bowed ddle. This
name, huqin (literally barbarian qin), was assigned by Chinese musi-
cians because the instrument was associated with tribal peoples near the
northwestern frontier. Subsequently, it became a generic term, identify-
ing the entire family of Chinese bowed string instruments. The earliest
documented huqin type is the 10th-century xiqin (Xi [tribal] string), an
instrument with two strings activated by friction with a thin strip of
bamboo. (An early 12th-century line drawing of a xiqin appears in Fig.
3.5.) From about the 13th century onward, bows with horsehair strings
were employed. These instruments, known as mawei huqin (horse-tail
huqin), subsequently became popular in the various regional opera and
chamber ensembles (Gao 1981: 1011, Yang 1981: 730731). Today
huqin types appear everywhere in China, existing in dozens of regional
variants and known by names such as erxian, erhu, gaohu, yehu, tihu and
tiqin.
25
Three types found in South China are shown in Fig. 3.6: the
Minnan erxian, with large tubular sound box, bamboo post and frontally-
25
wg: hu-chin, erh-hsien, erh-hu, kao-hu, yeh-hu, ti-hu, ti-chin.
Fig. 3.5 Three stringed instruments, 12th-century representations
Line drawings from the treatise Yueshu (Chen Yang, early 12th century)
Top left: bent-neck pipa; Top right: xiqin; Bottom: 12-string zheng
inserted tuning pegs; the Chaozhou yehu, with hemispheric sound box of
coconut shell, wooden post and dorsal tuning pegs; and the Cantonese
gaohu, with snakeskin-covered sound box and carved dragon head on the
scroll. These and other huqin types are shown within ensemble contexts
in the Chapter One photos, the Chaozhou erxian in Fig. 1.2. The erhu
is rarely used in the southern ensembles.
Another instrument imported into China after the Tang dynasty
is the sanxian, a fretless lute with snakeskin-covered resonator.
26
The
sanxian (three string) was rst mentioned in Chinese sources during
the Mongol-dominated Yuan dynasty (12791368), though it may have
been present in China earlier. Probably an adaptation of other three-
stringed lutes played by Central Asian peoples (e.g., setar), the sanxian
functions as a low-pitched instrument, lending heterophonic support
to high-pitched solo instruments, such as pipa.
The ready acceptance of huqin-type ddles and sanxian lutes into
chamber ensembles is reected in both art and written documents.
While neither instrument type absorbed specic Confucian values,
both came to be associated with older instruments (such as zheng and
xiao). Among the most interesting of visual sources showing period
26
wg: san-hsien.
Fig. 3.6 Huqin ddles of South China, three types
L to R: Minnan erxian, Chaozhou yehu, Cantonese gaohu;
contemporary line drawings
68 chapter three
instruments in ensemble is the picturesque Kaiyuan Temple in the
Minnan city of Quanzhou (southern Fujian province). The Kaiyuan
is a Buddhist temple, built between the 7th and 9th centuries, sub-
sequently destroyed and rebuilt in the late 14th century (Zhao 1992:
55). Individually mounted under the eaves of one of the attached
halls are twenty-four celestial musicians carved of wood, each holding
a replica of a musical instrument (Fig. 3.7). Instruments include pipa,
dongxiao and paiban (clappers), most of which reect construction details
and performance positions similar to those of the Tang dynasty. Also
represented are the post-Tang instruments erxian (southern huqin type)
and sanxian, known to have been introduced by the time of the Yuan
dynasty (14th century, when the temple was rebuilt).
27
It is of some signicance that the Minnan chamber ensemble of
today is still based upon the same core of Kaiyuan instruments: pipa,
dongxiao, erxian, sanxian, and paiban clapper. However, the extent to
which the instruments in the hands of these celestial musicians may
actually represent Tang, Song or even Yuan period instruments may
be questioned, since this temple has been cleaned and reconditioned
from time to time, and many wooden musicians were repainted during
the late 20th century.
Ming Cross-inuence The Taiwan scholar L Bing-chuan (1984) has
been especially skeptical about the Minnan claim of Tang-Song musical
origins, noting that there have been changes in instrument construction
and performance techniques since these periods. But he agrees with
L Chui-kuan (1982: 10) that the makeup of the ensemble as preserved
may well have been in place by the early Ming dynasty (c14th15th
centuries). More recent scholarship has shown that nanguan music has
clearly undergone an evolutionary form of development. Some ter-
minology can be traced to Tang sources (e.g., instrument and melody
names), but two of the now-standard instruments (erxian and sanxian)
emerged after this period. Furthermore, some qupai melodies and lyrics
in the related vocal genres are closely related to (possibly derived from)
27
The sheng mouth-organ (which subsequently fell into disuse in South China) and a
variety of other less important winds, strings and percussion are pictured as well. The
other wind instruments shown include hengdi ute and aizai small shawm; percussion
instruments include pengling bells and biangu drum; other bowed strings include huqin
of the banhu type. A representative photographic sampling of these wooden gurines
with instruments can be seen in Zhao 1992: 5461.
Fig. 3.7 Celestial musicians with pipa and paiban (wooden clappers)
Kaiyuan Temple, Quanzhou, 9th to 14th centuries (photo: A. Thrasher)
70 chapter three
later Ming opera traditions which were diffused throughout China (Wu
2006). While the earliest written records pertaining to nanguan music
date from around 1600 (q.v. Wang 2002: 206), it is apparent that this
music was already popular in the region.
The dating of Chaozhou and Hakka traditions is also is a matter of
controversy. As noted in Chapter One, some Chaozhou scholars trace
their music to Tang forms as well. More cautious scholars, such as
Chen Anhua (1982: 5760) and Yuan Jingfang (1987: 324), suggest that
Chaozhou music reects six- to seven-hundred years of development,
and was likely in practice in some form during the Southern Song and
Yuan dynasties. Mercedes Dujunco, in her dissertation on Chaozhou
music (1994: 34), does not question this dating. Other scholars state
that this type of instrumental music during the late Song period was
largely based upon qupai-type models (Chen Tianguo 1985: 35) and that
variational formssuch as bianzou typeswere already being employed
(Cheung 1975: 476), but that the repertoire was not in popular usage
until the Ming (14th to 17th centuries) (Gao 1981: 225, Shanghai 1981:
28). The Chaozhou scholar Chen Wei, writing about xiyue, pushes the
dating even further forward, proposing a strong inuence of xiansuo
music from North China during the Ming dynasty and subsequent
popularization during the Qing (1992: 1011). Hakka scholars are now
making similar claims, such as Hakka (Han) music is conrmed to be
an equivalent of xiansuo music from Henan. (Lai 2006: 7) The xiansuo
tradition will be introduced below.
Entertainment ensembles in residence at the Ming and Qing courts
(13681644, 16441911), which are documented in dynastic chronicles
and period artwork, reect this new instrumentarium. Typically, these
ensembles included:
winds: xiao or di; plus bili and sheng in North China
28
strings: huqin types, pipa, sanxian, zheng
percussion: paiban clappers; plus yunluo gongs in North China
28
By late in the Yuan period, the bili was used less frequently as a lead instrument
in southern music, possibly replaced by the versatile huqin or dizi ute with membrane,
both of which had projecting tonal qualities. As with the Minnan ensemble, the sheng,
if historically used at all in Chaozhou-Hakka music, was ultimately rejected because
of the many complexities in its tuning and maintenance. It has not been used within
the living memories of Chaozhou or Hakka musicians.
Several unusual instruments are also listed in Qing chronicles,
29
but
their appeal to traditionally-trained musicians was probably marginal
and they did not survive into the 20th century.
Only one other instrument of enduring importance, the yangqin
hammer dulcimer, was added to the southern chamber ensembles. The
yangqin (literally foreign qin), a trapezoidal instrument with seven or
more courses of metal strings, is an adaptation of the Persian santur,
which was introduced into South China during the late Ming dynasty
(Gao 1981: 12). An early 20th-century line drawing of the small
ChaozhouCantonese style of yangqin, known locally as buttery qin
(hudie qin), is reproduced in Fig. 4.8. By mid-20th-century, this dulcimer
was constructed in larger and larger sizes, with increased numbers of
bridges and strings. It ultimately became widely accepted in Chinese
ensemble music, both north and south.
There are at least three well-documented Ming and Qing instrumen-
tal genres which can be shown to be related to southern sizhu music:
shifan luogu, xiansuo and pipa music. Shifan luogu (ten kinds of gongs and
drums) is an ensemble tradition of southern Jiangsu province combining
silk and bamboo instruments (di, xiao, sheng, erhu, banhu, pipa, sanxian, etc.)
with the louder gongs, cymbals and drums. According to the research
of Yang Yinliu (1981: 993ff.), shifan luogu music was known during the
Ming dynasty. It is one of the melodic sources of Jiangnan sizhu and
may be distantly related to traditions further south.
Xiansuo (strings), a northern genre for stringed instruments, was
almost certainly known during the Ming period as well. In the 1814
collection Xiansuo Beikao,
30
thirteen instrumental suites are notated in
gongche notation with considerable heterophonic detail. The best known
of these suites is Shiliu Ban (Sixteen beat), a clear Baban variant
arranged in sixteen beat variation sections of increasing temponot
unlike the organization of the Chaozhou taoqu suite form (Chapter
Five). The Xiansuo Beikao author, Rong Zai, states in his commentary
that these pieces were already old at that time. Four stringed instruments
are specied: huqin, pipa, sanxian and zheng, to which wind instruments
may be added. Not only are these instruments essentially the same as
29
These include the huobusi (the Central Asian qobuz) and yazheng (a bowed zither)
(q.v. Han 1979: 5ff.).
30
This repertory was edited by Cao Anhe and Yang Yinliu, and published as Xiansuo
Shisan Tao, with transnotations (from gongche to staff notation) and annotations (Cao
1955). Xiansuo is pronounces as syan-suo; wg: hsien-so.
72 chapter three
those used in present-day Chaozhou xiyue and Hakka qingyue, but vari-
ants of some xiansuo pieces are still known to contemporary musicians.
Therefore, I would concur with Chen Weis assessment (1992) that the
northern xiansuo tradition (instrumentation, use of suite form, and pos-
sibly repertoire) was very likely introduced into South China sometime
during the Ming or Qing dynasty.
Finally, among inuences from purely instrumental sources, there
is Jiangnan pipa music. The pipa, during the Ming and Qing periods,
became a solo instrument of great importance, with a newly-emergent
virtuoso repertoire of suite-length pieces such as Shimian Maifu (Ambush
from all sides) and Yangchun Guqu (Ancient song of spring). It is obvi-
ous that at least some musical inuence from the Jiangnan pipa tradi-
tion drifted southward into the southern traditions. Several examples
of shared melodies and titles can be cited, among them the intriguing
Jiangnan tune Sichun (Thinking of spring), which appears in the mid-
Qing collection Hua Wenbin Pipa Pu (1818).
31
The traditional notation
is shown in Fig. 3.8 (gongche notation introduced in Chapter Four and
App. A). Sichun is seldom performed any longer in the Jiangnan pipa
repertoire, but it is a known melody among Hakka musicians. This
short melody, which is set in the minor-sounding crying mode and
follows the standard 68-beat form, may have been the melodic model
for (or inspirational source behind) the now famous southern pieces
Chushui Lian and Hanya Xishui (these melodies and forms examined in
Chapters Four and Five).
The introduction of northern opera music during the Ming-Qing
period must also be considered an important inuence on the growth
of southern sizhu. The Cantonese author Qiu Hechou (1917) clearly
identies crossing-the-stage tunes (guochang qu), which are played by
instrumentalists in Beijing opera and other northern opera types, as
melodic models for southern instrumental music. This inuence was
introduced in Chapter One, and will be further examined under the
discussion of qupai in Chapter Five.
Whereas the Minnan, Chaozhou and Hakka are believed to preserve
the oldest ideals and performance practices in instrumental chamber
music, the cosmopolitan Jiangnan and Cantonese traditions are new-
comers. Jiangnan sizhu of eastern China did not achieve its distinctive
regional status until the late Qing dynasty, though it is also believed to
31
Other pieces include Hangong Qiuyue and Yuda Bajiao.
have had common roots with shifan luogu, to which its ensemble makeup
is closely related, and xiansuo music as well ( Jin 1980: 38). Cantonese
music is almost entirely a 20th-century tradition (Huang 2002: 217ff.).
The Cantonese ensemble resembles that of Jiangnan sizhu, though
with greater reliance upon the high-pitched ddle gaohu and dulcimer
yangqin. In part because the Jiangnan and Cantonese traditions have
emerged in large metropolitan areas (Shanghai and Guangzhou/Hong
Kong respectively), they have both been receptive to a good amount of
change, the Cantonese tradition being especially open to new ideas.
Fig. 3.8 Sichun (Thinking of Spring)
Gongche notation from Hua Wenbin Pipa Pu (1818)
CHAPTER FOUR
YUEL: MUSIC THEORY AND PRACTICE
the music of ancient China was regarded as the
image of order of the universe
(Nakaseko 1957)
In this chapter, the basic melodic and modal elements of silk-bamboo
music are examined, beginning with a brief introduction to Chinese
melody, and followed by discussion of the relevant historic theories of
pitch organization and a more detailed examination of the southern
pitch systems and mode.
1
With these particular melodic and modal ele-
ments, it is not always easy (or even possible) to correlate style with the
older ideologies because some of the more creative elements (e.g., use
of the crying mode) have obviously emerged from local practicefrom
below rather than from above.
It might be thought that these stylistic differences represent contradic-
tions in Chinese philosophy and in the underlying functionalist thread
weaving through this studyand, in a sense, they do. It is apparent from
analysis that the Confucian inuence has been strong in some musical
areas, weak (or even absent) in others. But it is essential to realize that
contrary cultural trends of this sort are generally resolved in peoples
mindsespecially in China where the ideal of harmonizing opposites
( yin and yang, wen and wu) has a long history. Analytic matters aside,
local musicians believe that the sizhu musical system as a whole reects the
values of the Confucian scholar (rujia)a reminder of the importance
of perception. More will be said below on these relationships.
Chinese Melody
Traditional Chinese musical accomplishment must be measured almost
entirely in terms of melodic sophistication. Where other world cultures
1
The term yuel, which historically refers to the ancient pitch system used in court
rituals, is employed in the title of this chapter as a general reference to Chinese music
theory.
76 chapter four
have developed complex harmonic and rhythmic systems, Chinese musi-
cians have felt that development of the melodic line was of paramount
importance, and that melodic enrichment was best achieved by varying
the melodic parameters themselves. Some of these characteristics can
be seen in the short melody Xixiang Ci (Poem of the west chamber)
(Fig. 4.1), which in many ways is typical of southern melodies.
2
This
piece from the Hakka repertoire most likely emerged from a literary
model, perhaps a poem of the same name or possibly from the Yuan
dynasty drama The Tale of the West Chamber (Xixiang Ji ). Huang
Jinpei (1996) suggests that the term xixiang (west chamber) alludes to a
reading room or library, thereby associating the music with one of the
most cherished of Confucian idealseducation. It will be remembered
from the above chapters that the Hakka have been among the staunchest
defenders of the Confucian institution. As with most repertoire passed
on by way of oral transmission, Xixiang Ci is of unknown authorship.
It is said to be traditional.
Melodic Line An essential aspect of good Chinese melody, really the
ideal, is the presence of a winding melodic line, in which ascending
motivic movement is mixed with descending movement, and dramatic
contrasts in style are avoided. In his book, Minzu Qiyue Gailun (1981:
223ff.), the scholar Gao Houyong insightfully outlines several valued
characteristics of traditional melody, notably the presence of small
intervals (rather than of large intervallic leaps), twisting motivic move-
ment (rather than straight scalewise movement), and a sense of emotive
balance from phrase to phrase (rather than of sudden stylistic contrasts).
As examples of small intervals and twisting movement, Gao cites the
opening motifs of Baban (Fig. 4.2a), together with several other melodies.
Signicantly, in his description of ideal melodic movement, he uses the
term quzhe, which in todays vocabulary means twisting and turning.
Gao could have further explained the deeper cultural signicance in
the character qu itself, which now is translated as melody or song, but
historically could be read as twisted, crooked or bent.
3
Associations
2
Xixiang Ci (pronounced as syi-syang tseh), and most examples transcribed and
analyzed in this book, can be heard on the CD Sizhu: Chamber Music of South
China, PAN Records, 1994. The transcription in Fig. 4.1, a solo recording by the
Hakka zheng master Rao Ningxin, is based upon my eld tapes of 1986. The version
on the CD is performed heterophonically by the Guangzhou-based four-piece Hakka
ensemble pictured in Chapter One.
3
The Han dynasty dictionary Shuowen Jiezi shows the character qu as a square-sided
YUEL: music theory and practice 77
Fig. 4.1 Xixiang Ci (Poem of the west chamber)
of this sort are meaningful to educated musicians and scholars in a
culture where meanings derive in large part from their relationship
with other observable phenomena (in this case, the written language).
Performing musicians today are no longer aware of this linguistic
relationship, but the ideal of a winding melodic line has apparently
penetrated performance style because it is notable in most melodies
and also in the practice of ornamentation.
In Xixiang Ci (4.1b), motivic angularity can be seen throughout, but
it is especially pronounced at the beginning of the third line (phrase c).
Angularity is also characteristic of the many Baban variants and other
southern melodies (Fig. 4.2b and 4.2c). Generally speaking, scale-like
movement (diatonic or pentatonic) is rarely found in traditional Chinese
melodies.
box, open at the top. From this pictograph, the meaning bent later emerged (as in
bent-neck pipa), and subsequently song, together with the above ideas about twisting
melodies. Qu is pronounced as ch; wg: ch.
78 chapter four
Motivic Irregularity Melodic analysis shows that, in traditional Chinese
melody, phrase construction tends to be non-cyclical, with phrase
subdivisions asymmetrical.
4
In Xixiang Ci, three twelve-beat phrases
can be identied, marked a, b and c (Fig. 4.1b). Each phrase contains
internal sub-divisions of varying lengths. Phrase a is sub-divided into
two unequal halves, the opening motif (a) of ve beats, followed by
a slightly more expansive variation (a') of six beats.
5
Phrase b is also
irregular but with different subdivisions (which can be seen in the
transcription). Phrase c begins with a contrasting motif, followed by a
variation of the second half of phrase a (i.e., a'), this time eight beats
in length. Occasionally it is difcult to demarcate phrase subdivisions
because of motivic elisions, but the following organization could be
argued (shown in motivic lengths in beats):
a: (1) 5 + 6; b: 3 + 9; c: 4 + 8.
A similar type of linear organization is present in the numerous Baban
variants, where phraseson the surface at leastare eight beats in
length, but internal motivic organization in the opening phrases is
mixed among beat patterns of 3 + 2 + 3 and 4 + 4, and later motivic
organization displays other irregularities. A good example can be seen
4
Irregular Chinese phrase construction may be contrasted with that of India,
Java or West Africa, where melodies are coordinated with repeating metrical cycles
of xed length.
5
In this opening phrase, a one-beat rest at the beginning is implied in some early
notations, though not observed in performance.
Fig. 4.2 Melodic Shape, opening motifs from three southern pieces
a) Chaozhou Da Baban, opening of sanban section
b) Chaozhou Qianjia Deng, opening motifs
c) Cantonese Pinghu Qiuyue, opening motifs
etc.
etc.
etc.
in the Chaozhou suite-form Hanya Xishui (Chapter Five), which begins
with balanced phrases, followed at beat 17 by highly irregular motivic
subdivisions of mixed lengths (q.v. App. B2). This type of expansive
and irregular phrase subdivision is a unique characteristic of Chinese
melody, and it is widespread.
6

What possible reasons could there be for motivic and phrase irregu-
larity? According to the ancient Yueji and others texts, Confucian music
theory would seem to encourage regularity rather than irregularity; and
in the historic Confucian ritual music, balanced phrase organization
has been standard for many centuries. So, a specic Confucian inu-
ence seems absent here.
There appears to be no Chinese theory of irregularity, except for
statements in the Daoist text Zhuangzi. It will be remembered from
Chapter Two that spontaneity (ziran) is an ancient value, in painting
and calligraphy manifest in the natural rhythm of the line. References
to music in this text, however, are more oblique, though spontaneity
is indeed cited in regard to a musical performance, together with the
observation that this music was not rooted in a strict formimply-
ing a type of natural organization. Indeed, traditionally-educated
Chaozhou musicians are aware of the importance of spontaneity in
their performances (Chen 2006), though it seems improbable that this
concept could explain the kind of irregular phrase structures found in
ensemble music. For interpretative and affective elements, on the other
hand, ziran is an essential concept and it will receive further discussion
in Chapter Six.
Some Chinese scholars have suggested that irregular phrases in the
qupai repertoire of instrumental music derive from the Song period
form of poetry known as ci.
7
Ci poems, which were sung, had lines of
irregular lengthsuch as consecutive lines of four words, three words,
ve words, etc., performed with one word for each metric unit. Sub-
sequently, when this form of sung poetry passed out of fashion during
the Yuan and Ming dynasties, the texts were forgotten but the melodies
(with their irregular phrase lengths) were retained and performed by
instrumentalists (Gao 1981: 298; 1989: 4ff.). The ci theory has come
6
See also Liuqing Niang (Fig. 5.1) for other asymmetries and ambiguous elisions.
7
Ci is pronounced as tseh; wg: tsu.
80 chapter four
to be accepted in some circles, but questions remain as to whether this
could have been the primary source for motivic irregularity.
8
In my own view, irregularity in common-practice phrase organization
is probably due to the absence in China of two characteristics common
in western instrumental music: a related social dance tradition and an
underlying harmonic structure. China historically has had various dance
types, notably dance associated with state rituals (in which regularity
of musical phrase was the norm), individualized stage dance associated
with traditional opera, and other individualized types such as ower
drum dance-songs, but no social dance traditionthat is, one in which
males and females dance together, requiring predictable melodic lengths.
Similarly, Chinese melody is not supported by a harmonic structure.
Harmony has a regularizing effect on melody and, when absent, melody
is not restricted by harmonic rhythm.
9
So, I believe that one of the
most important reasons for motivic irregularity in the southern tradi-
tions is that regularity itself has been considered both unnecessary and
too conning. To put words in the mouth of Zhuang Zi: great music
needs to breathe.
Modal Organization Pitch organization in Xixiang Ci, as in most of the
instrumental repertoire, is structurally pentatonic. Unlike pentatonic
scales in other Asian cultures (such as Japan and Bali, where half-steps
are often found amongst the intervals), Chinese instrumental music is
usually organized in major seconds (whole steps) and minor thirds: do-
re-mi-sol-la-(do). However, as seen in Xixiang Ci (4.1), the pentatonic
system in practice is not always based upon do but often upon sol:
sol-la-do-re-mi-(sol). The equivalency of do with G in this instance has
importance only in that it identies the root of the pentatonic structure;
the actual modal orientation is controlled by sol and re. This sol-re
structure is very common in South China, and especially in Cantonese
music. (Nevertheless, some well-known pieces with a do-sol orientation
will be cited below and in Chapter Five.)
Xixiang Ci begins on sol (d'') and for the most part avoids do through-
out phrase a (except in passing), the phrase cadencing on sol (d') (meas.
8
Some scholars also question whether an irregular line of poetry would have neces-
sarily been set to an irregular phrase in music.
9
A good example of this relationship can be found in English folksong. Research
has shown that, prior to being harmonized during the 20th century, English folksongs
were often sung in mixed meters and irregular phrase lengths. With harmonization
these characteristics became either more regularized or they disappeared altogether.
6 as barred). Phrase b does contain a relatively weak cadence on do (g')
but, again, the phrase ultimately cadences on sol (meas. 12). Phrase c,
in contrast, begins with a la emphasis (e''), though ultimately ending
on re (a') (meas. 18). In the Chinese modal system, two pitches a fth
apart tend to dominate melodic structuresin this case, sol and re.
In terms of function, this third-phrase re cadence (meas. 18) serves as
a pivotal pitch in returning to the second half of phrase a (a', meas.
4) with its overall sol orientation. The piece then ends with a restate-
ment of phrase b and its nal cadence on sol. This type of shifting
pitch emphasis, both internal and at cadence points, is characteristic
of southern melody as a whole.
The ve pitches of each mode are primarily of structural importance
in that they tend to be melodically stressed and dominate cadential
points. In fact, the pitch positions of fa
+
and ti
are also commonly

employed for variational purposes, though within several different con-
texts. As passing and neighboring tones embellishing pentatonic pitches,
these are regularly heard in traditional music and considered normal
aspects of performance practice.
10
A more idiomatic Chinese linear
device involves use of borrowed notes ( jiezi ). The term borrowed
notes, which is distantly related to the historic concept of altered
tones (bianyin, introduced below within the context of the wusheng
system), identies the temporary substitution of a pitch outside the
pentatonic system for a pentatonic pitch.
11
The substitution of ti
for
do is seen in the appearance of f sharp in phrase c of Xixiang Ci (Fig.
4.1), and the one-time appearance of b in phrase c of Shuangxing Hen
(Fig. 4.12). These particular borrowed notes are xed in tradition (i.e.,
most performers play them as a matter of practice), but they can also
be improvised in other locations.
12
The ti
for do substitution, which

is commonly heard in the music of South China, appears in specic
patterned contexts (see also the second measure of Pinghu Qiuyue, Fig.
4.2c).
13
These contexts will be examined later in this chapter.
10
Examples of passing tones in pentatonic structures can be seen in several Chapter
Five transcriptions.
11
Jiezi is a useful term in identifying this substitution, though used more commonly
in North China than in the South. I use it here because the effect itself is widespread
in the southern traditions, yet musicians do not agree upon an accepted term. Jiezi is
pronounced as jie-dz.
12
Examples of improvised borrowed notes can be heard in the recording of Xixiang
Ci on the CD Sizhu (Pan Records, 1994).
13
It must be noted that the pitch position of ti

in traditional music does not func-
82 chapter four
Embellishments How would Xixiang Ci be realized? A cultural expecta-
tion among Chinese musicians requires that melodies be enriched by
means of embellishmentthough embellishment seems almost too
supercial a term to use in description of a performance practice which
is considered essential. Two basic embellishing techniques are employed
very widely in Chinese music: those of adding owers ( jiahua) and of
creating shaken sounds ( yaosheng).
Adding owers refers to the addition of melodic ller to esh out
the basic pitches of a skeletal melody. For example, Xixiang Ci is shown
in two forms: a) the melodic skeleton, a transnotation from a collection
in cipher notation (Luo 1982), and b) a detailed transcription from a
solo zheng performance by Rao Ningxin (1986). The melodic skeleton
begins as sol-mi-sol-do (in eighth notes) and, while some instrumen-
talists do play this pattern, the solo zheng performance shows that the
sol-do fragment is played with owershence, sol-la-re-do (in
sixteenth notes). Certain owers, like some borrowed notes, have
become relatively xed in tradition, though established musicians do
not necessarily feel compelled to perform these, and they may take
liberties by adding owers in other locations. This practice is old in
Chinese music, though analytically documented only since the early
20th century.
14
The practice of animating certain pitches for melodic enrichment
is also widespread in Chinese music, especially in the singing styles
associated with traditional opera, but also in instrumental music. The
term yaosheng (literally shaken sound) is used in some circles to identify
such tonal uctuations.
15
The various skaken effects include several
vibrato types, portamento types (huayin) and sudden pulsations ( yaozhi ).
Again using Xixiang Ci as an example, this piece may be performed on
the zheng as a solo or with other instruments as chamber music. The
essential left-hand zheng ornaments include a) incremental string push
(and release) for ascending and descending portamenti (shown with
curving arrows in the transcription), b) gentle vibrato on notes of longer
duration (not shown) and c) sudden tremolo-like pulsations on specic
tion as a leading tone, its melodic movement usually being either downward to la
or upward to re, but not upward to do.
14
Performance realizations of Qiu Hechou (1917) and others are examined in
Chapter Six.
15
Yaosheng may be translated in different ways. Du Yaxiong (1999b: 41ff.) gives it as
moving tones. Du makes a case for such tonal effects as deriving from similar tonal
movement in Chinese language. See also Du 2002: 113.
pitches (especially fa
+
and ti
).
16
The most distinctive right-hand orna-
ment is d) the descending glissando (liyin) across several or more strings,
starting above and ending on the main melody tone (shown with jagged
descending lines). Additionally, e) on notes of longer duration, pitches
are often reiterated in eighth- or sixteenth-note patterns. When utes
and stringed instruments are played with zheng, still other tonal move-
ment may be performed (together with owers) in accordance with the
idiom of each instrument. The combination of contrasting idiomatic
yaosheng movement and the improvisational addition of owers forms
an essential basis for the heterophonic texture in southern music (this
practice examined further in Chapter Six).
Pitch Systems and Notation
Why would it be necessary in an examination of the southern common-
practice music to review the two-thousand-year-old tonal theories of
the imperial Confucian court? First, some elements of court theory are
still relevant to the music in current practice, such as the predominance
of pentatonic structures, association of specic modes with regions of
China, and association of performance keys with dynastic models. But
of equal importance, Chinese scholars still use some of the old theories
in attempt to rationalize local practice.
The Ancient Pitch System Kazu Nakaseko correctly points out that in
ancient Chinese music theory, there was one accepted theory which
was restated constantly . . . [that is] the generation of the twelve funda-
mental sounds by means of successions of perfect fths, the rst ve
sounds thus obtained being the basic tones of the scale. (1957: 148)
Based upon a pre-determined root pitch (huangzhong), the initial ve
pitches (wusheng) were established and, by continuing around the circle
of fths, the twelve chromatic pitches (ll) were set. According to this
theory, the initial ve overblown fths (e.g., FCGDA) became
the basis for the pentatonic modal system. The twelve chromatic pitches
were considered key centers rather than scales or modes.
17
16
The signs + and indicate pitch deviation from equal temperament, examined
later in this chapter.
17
This process began with calculation of the yellow bell (huangzhong; wg: huang-
chung), the root pitch of the imperial dynastiesa pitch which changed from one
period to another. According to legend and later records, the yellow bell pitch was
84 chapter four
The old modal system developed by Chinese court theorists is rst
documented in the 7th-century b.c. Guanzi (Writings of Guan Zi,
wg: Kuan Tzu), subsequently restated in the 3rd-century b.c. diction-
ary Erya, and most later music treatises. At its basis, an anhemitonic
pentatonic structure is clearly identied. While pentatonic structures
are found in many parts of the world, in China they have acquired
enormous cultural importance because of their assigned potential for
musically reinforcing social norms (as in the ve relationships and the
ve virtues; qv. Chapter Two) and in reecting regional expressive ide-
als. This system historically is called wusheng (ve sounds) or wuyin (ve
tones).
18
Heptatonic scales based upon whole- and half-step intervals
are also documented in the later literature, but their associated melodies
have essentially disappearedat least in South China.
19
Therefore, the
following discussion will focus upon the pentatonic system, which has
continuing relevance.
determined by blowing across a bamboo tube of known length and diameter, closed at
the bottom. The twelve chromatic pitches were then obtained by way of overblowing
fths. The vibrating air column was divided into three parts with one subtracted, thus
shortening the air column to two-thirds of the original length and sounding a pitch
one fth higher (i.e., do to sol). The next pitch was determined by dividing this shorter
air column into three parts, but this time adding one to the length, thus lengthening
the column and sounding a pitch a fourth lower (i.e., sol to low re). Following this
circle-of-fths system of pitch generation (historically known as sanfen sunyi ), the ve
basic pentatonic pitches are generated (do-sol-re-la-mi). With further divisions, the
two bian (altered) pitches (ti and fa sharp ) may also be generated, and ultimately
the full twelve-note chromatic system (ll). Chinese theorists realized early, however,
that the circle of pure fths taken twelve times produced an octave interval noticeably
sharper than the octave obtained in a two-to-one relationship. Since the purpose of
this theory was to bring the pitch system into correspondence with the cyclic elements
of the calendar, numerous experiments were undertaken to shrink the size of the fth
and thus correct the discrepancy. Some formulations were highly sophisticated, result-
ing in forms of equal temperament. For further information on ancient Chinese music
theory, see Nakaseko 1957: 147180 and Chen 2002: 115126.
18
Today, it is sometimes referred to as the gongshang (literally, do-re) system, or the
jieming (step-name) system.
19
Three seven-note scales are identied in the literature, the oldest being the yayue
scalea diatonic scale with a raised 4th degree, equivalent to the western lydian
mode. The other two scales, which are known by different names, are equivalent to
the western ionian (major) and mixolydian modes. It is unclear the extent to which
these heptatonic scales were actually used. They were likely employed in court music
of various types and restricted to regions of North China. As Du Yaxiong points out,
however, these scales may have been based upon pentatonic constructions, in which
ve pitches were primary and two merely passing, neighboring, or otherwise second-
ary (1999b: 46ff.).
Fig. 4.3 The Wusheng System: Basic Scale and Modes
During the imperial period, the wusheng system was employed in
two ways: as a notation system for ritual music of the court, and as a
conceptual tool for theorizing the ancient tonal system and its modes.
While wusheng notation ceased to be used by the early 20th century,
scholars continue to employ the basic system as a theoretical model
for analysis of mode.
In the historic wusheng system, ve relative pitch positions are identi-
ed, utilizing a single Chinese character for each. This system is shown
in Fig. 4.3a, together with western solfge equivalents: gong (do) shang
(re) jue (mi) zhi (sol) yu (la). These ve pitch positions are consid-
ered to be basic to the Chinese tonal system and, as a consequence, are
* Note: Jue, an anomalous structure without a pentatonic fth.
86 chapter four
called proper sounds (zhengsheng). The ascending intervallic relation-
ships from gong (the root pitch) are major 2nd, major 2nd, minor 3rd,
major 2nd, and minor 3rd. The non-pentatonic pitches between the
two minor 3rds (bianyin) are identied as variants of the pitches above:
the fa sharp pitch position called bianzhi (altered zhi) and the ti pitch
position called biangong (altered gong).
20
These two pitch positions (bianzhi
and biangong), each standing a theoretical half-step below zhi (sol) and
gong (do) respectively, are structurally insignicant. The bianyin system,
of course, derives from court theory. In common-practice music, bor-
rowed notes ( jiezi, discussed above) function in a similar manner in
that they may be used as substitutes for the pentatonic pitches above.
But borrowed notes in the local instrumental traditions are typically
spaced at a wider interval than a half-step from the notes above.
The wusheng modes, since the Han dynasty or earlier, functioned as
a transposing system (like moveable-do solfge), with gong (do) estab-
lished at any of the twelve xed chromatic pitches. This inter-related
system, if implemented at all, was restricted to court ritual music and
requires no further examination here.
21
In understanding these modal
forms themselves, it is essential to differentiate between the concepts of
root and nalis. The term root is used here to designate the basic
pitch position of do, to which all other pentatonic pitches are related
in a xed structure (described above); the term nalis is used in refer-
ence to the most signicant pitch position in a given piece of music,
one usually coinciding with the nal cadence (and with a number of
internal cadences as well).
The historic modal theory can be graphically represented in two
ways, both relevant for different reasons. First, each structure is shown
over an unchanging root, with the nalis of each mode in a different
position (Fig. 4.3b). This alignment is similar to the shifting points of
pitch emphasis found within individual melodies, as seen in Xixiang
Ci where the initial phrases cadence on re and sol, and subsequent
phrases cadence on do and la. But the overall root structure remains
the same. In the second alignment (Fig. 4.3c), each structure is shown
over a changeable root position, the nalis of each mode synchronized
with the same pitchthat of the performance key. This is the practice
20
This system often appears in Wade-Giles spellings, the basic pitches as kung, shang,
cheh, chih and y, the altered pitches as pien-chih and pien-kung.
21
For an introduction to this relationship, see Chen 2002: 120121. For a more
metaphysical discussion, see Cook 1995b: 87ff.
of southern instrumentalists when they tune their strings to c g, and
start pieces in either the do or sol mode at the same place (such as
on c). More will be said about the common-practice modes later in
this chapter.
Five basic modal forms emerged from the wusheng system, organi-
zational types which have acquired both historical importance and
regional relevance. Indeed, ancient texts such as the Huainan Zi assign
regional signicance to the ve modes, each corresponding with one of
the ve directionsnorth, south, east, west, and center.
22
Thus, the zhi
(sol) mode, organized sol-la-do-re-mi, framed by sol (the nalis) and
re, is associated with the South. The yu (la) mode, organized la-do-
re-mi-sol, framed by la and mi, is the mode of the North. Similarly,
jue (mi) is said to be the mode of the East, shang (re) mode associated
with the West, and gong (do) mode associated with the Center.
It is tempting to think that associations of this sort are based upon
a numerological theory of empty signiers. But as Du Yaxiong (1999:
52) has shown, such historic associations may well have been established
from observation, for there is evidence that at least four of these forms
are predominant in the present-day folksong melodies of their respective
regions. My own analysis of instrumental music reveals similar trends.
For example, zhi (sol) mode melodies indeed dominate the Cantonese
instrumental repertoire of South China, while yu (la) mode melodies
are most prevalent in Mongolian-inuenced northern traditions (and
in xipi melodies of Beijing opera as well). These two modal forms in
particularsol-re and la-mihave a long legacy of associations with
the South and North respectively.
23

The shang (re) mode is one of several important modes heard in the
folksongs of northwest China, but rarely elsewhere. The jue (mi) mode,
however, which does not possess a pentatonic fth above its nalis, is
seldom found in Chinese melodies from any regionthough, if found,
would probably be explained as a la-mi variant since mi occupies a
structurally important pitch position in this mode. Gong (do) mode
22
For more on these associations, see Chen Yingshis review of the ancient system
of correspondences (2002: 116).
23
One of many sources demonstrating these regional associations is the late 19th-
century Chaozhou manuscript collection entitled Waijiang Xiantao (a Chaozhou
reference to Hakka music). Two string tunings and modes are outlined: sol-re, labelled
the southern way (nanlu), and lami, the northern way (beilu). sol mode melodies
are also predominant in Jiangnan sizhu, a region which one thousand years ago was
considered to be the South by the ofcials in the more northern centers of power.
88 chapter four
melodiesthe mode of the centerare found throughout China.
Gong is absolutely standard in the classic Chaozhou and Hakka 68-beat
repertoire, a repertoire known to be closely related to (and probably
derived from) the Henan-Shandong instrumental repertoire of the
Central Plain.
24

Gongche System and Notation Gongche notation (wg: kong-che) was
the prevailing system employed in notating common-practice music
between about the 16th and early20th centuries. Beginning in the
1920s, Chinese musicians adopted the French cipher systemknown
in China as simple notation ( jianpu)and this system is now prevalent
in most traditions (q.v. App. B). It is useful to understand the basics of
traditional gongche notation because some essential elements of com-
mon-practice theorynotably pitch signs, metric structures and modal
terminologyare embodied in this system. Other notation systems,
such as the highly specialized historic Chaozhou 24 notation (ersipu),
will not be examined here.
25
While the ancient wusheng system was employed in the performance
and notation of Confucian and other ritual music, gongche (literally
mi-re) has been used primarily in the performance and notation of
music popular in the regional traditions. Emerging from an earlier
Song dynasty system of popular notation (suzi pu), the gongche system
became prominent during the Ming dynasty (13681644) in the notation
of Kunqu classical opera. Subsequently employed to notate instrumen-
tal music, it developed in several regional variants, notably Jiangnan
gongche (Shanghai region), Minnan gongche (southern Fujian province),
Chaozhou-Hakka gongche and Cantonese gongche (Guangdong province).
Details of pitch and rhythmic notation vary somewhat from one region
to another. In all regions, this system has functioned primarily as a
24
Because of historic inter-cultural relationships throughout China, and probably
for other reasons as well, the association between region and mode is of course more
complex than this, for sol-mode melodies have been performed in Beijing opera for
over 200 years, and la-mode melodies performed in Minnan nanguan music even longer.
But such observations do not necessarily contradict the region-mode theory because
sol-mode melodies are known to have been introduced from areas to the south of
Beijing, and la-mode melodies were likely brought south from North China during the
Minnan migrations. In the composed and arranged concert-hall music of the late 20th
century, which is no longer region specic, melodies in the sol and la modes are most
numerous, followed by those in the do mode. re- and mi-mode melodies are rare.
25
For an overview of 24 notation, see Dujunco 1994: 72ff.
reciting tool and memory aid, though it is still read as a notation in
the performance of Kunqu and Cantonese opera.
The Jiangnan and Cantonese gongche variants consist of nine basic
diatonic pitch signs, encompassing one octave plus a major second.
Each pitch position is represented by a Chinese character. The Jiangnan
system, shown in Fig. 4.4 together with Western solfge equivalents,
is organized as follows: he (sol), si (la), yi (ti), shang (do), che (re), gong
(mi), fan (fa), liu (high sol), and wu (high la).
26
The Cantonese system
(also shown) is similar. Owing to the prevalence of the zhi (sol) mode
in southern regions, the fundamental pitch position is he (sol).
27

Two examples of gongche notation are shown below, together with trans-
notations into the staff system. The rst is of an early 20th-century
Jiangnan version of the qupai, Liuqing Niang (Lady Liu Qing, Fig.
4.5).
28
While the music of the Jiangnan region is not being examined
here, this short example serves as a good model for understanding one
prevalent form of the gongche systemand it can be contrasted with the
very popular Chaozhou version shown in the next chapter (Fig. 5.1). The
second gongche example is a late Qing dynasty Chaozhou Baban variant
entitled Xiao Baban (Small eight beat, Fig. 4.6), the fast-tempo nal
section of a three-part suite form. Liuqing Niang and Baban are among
the most signicant qupai melodies in the southern repertoires.
In the Jiangnan gongche system ( Fig. 4.4 and 4.5), high-range pitches
(above liu [ high sol] and wu [ high la]) are indicated by the addition
of a slanted T immediately to the left of each pitch sign, while lower
range pitches (below he [low sol]) are shown with a comma-like mark
at the lower right of each pitch sign (not present in this example). The
Cantonese system (one example reproduced in App. A4) for the most
26
Note that the pronunciations of the gongche pitch signs for gong (mi) and shang (do)
are the same as gong (do) and shang (re) in the wusheng system, but they are written with
different characters (as seen in Figures 4.3 and 4.4). The signicance of nine pitch signs,
in which the upper octave equivalents of the lowest two pitches are given different and
unrelated signs, is not entirely clear. Although nine was a basic unit of measurement
and an auspicious number during the late Zhou period, a more reasonable explana-
tion can be found in the playing range of the bili reed-pipe, which has a range of
exactly a ninth (in part because it cannot be overblown into the second octave). The
bilitoday known by the name guanziwas one of the dominant instruments in the
entertainment ensembles from the Song period onward, when the prototype of gongche
notation was developed. The guanzi, with the same range, is still performed throughout
North China, and occasionally in Cantonese music as well.
27
In areas of North China, however, the lowest pitch position (he) is assigned to do
rather than sol (q.v. Du 2002:100ff.).
28
Liuqing Niang is pronounced as liu-ching niang.
90 chapter four
part is the same, though the character for la is written differently,
and low and high octave pitches indicated with region-specic signs
(Fig. 4.4b). In many notations, however, the proper octave must be
inferred from the melodic context of surrounding pitches. The Chao-
zhou notation (Fig. 4.6), for example, gives no indication of its higher
register near the middle of the structure; this would be learned through
experience. Hakka notations tend to be similarly ambiguous about
high-range pitches. A Hakka Baban variant entitled Xidiao (alternatively
known as Xunfeng Qu) is reproduced in App. A1.
Meter: the Banshi System As seen in the gongche notations (4.5 and 4.6),
meter is delineated by a system of marks appearing to the right of the
pitch column signs. In standard Jiangnan gongche notation, two basic
beat types are indicated. The rst beat of a metric cycle, marked x,
is called ban (beat). It is considered to be the strong beat. Subsequent
weak beats are marked o and called yan (eye). Scholars refer to this
metric system as banshi (ban form), though locally it is more commonly
known as the ban-yan system, in reference to these alternating beat
types. Some regional differences can be found in the southern notations,
however, as seen in the use of the diagonal mark \ for weak beats
in the Cantonese Baban variant (App. A4), and o for strong beats in
the Chaozhou and Hakka notations (Figure 4.6 and Appendices A1,
A2 and A3)
It is apparent that the banshi system emerged from the old practice
of marking strong beats with single strokes on the wooden clapper
paiban. As a result, the strong beat of each cyclewhether marked x
or ois also called ban, as an abbreviation. As shown by Du Yaxiong
(1999b: 54) and Chen Yingshi (2002: 123), the strong beat was histori-
cally called pai, its function being to delineate the rst beat of a musical
Fig. 4.4 The Gongche System a) Jiangnan variant b) Cantonese variant
He Si Yi Shang Che Gong Fan Liu Wu
a)
b)
[mi fa] sol la ti do re mi fa sol la ti [do re]
lower octave basic range higher octave
phrase. The term pai was gradually abandoned after the 13th century
in favor of ban, though ban at this time was also used in reference to a
musical phrase rather than a metric cycle (Yang 1958: 49). In the old
southern dialects, pai is pronounced as bak or pak, clearly onomato-
poeic for the sound of the clapper. When sounded in Chaozhou and
Cantonese practice, strong beats are marked on a woodblock locally
known as gok, reecting a similar onomatopoeic effect.
In traditional Chinese music in generalnorthern or southern,
instrumental or vocalthe banshi metric system is functionally tied to
tempo. Pieces with repeating ban strokes (on the clapper) are performed
at rapid tempo (kuaiban). Pieces requiring yan-beat subdivisions are per-
formed at moderate or slow tempos (zhongban, manban).
29
Audible time
marking serves to control tempo change and it actually holds these
small chamber ensembles together.
The metrical patterns in traditional music are of four basic types:
1) ban beats only; 2) ban and yan beats in alternation; 3) one ban beat
followed by three yan beats; and 4) one ban beat followed by seven yan
beats (Fig. 4.7). In Chaozhou and Hakka notations, these secondary
beats are not always shown. In the Minnan tradition, a fth metric
form is employed as wellthe un-metered, prelude-like sanban (random
beat) in which beats are not uniformly timed. The sanban form is com-
monly found in introductory sections of nanguan suites (and throughout
North China as well), but not in the other ensemble repertoires. When
employed, sanban sections are always followed by metered sections (as
further explained in Chapter Five).
The meter of the Chaozhou variant, Xiao Baban (Fig. 4.6), is a
straightforward repetition of ban beatsthe equivalent of 1/4 time.
The Jiangnan Liuqing Niang (Fig. 4.5) is an alternation of ban (x) and yan
(o) beatsthe equivalent of 2/4 time. The Cantonese Baban variant
reproduced in Appendix A4 follows a ban yan yan yan pattern, the
equivalent of 4/4 time. There are several reasons these variants differ
in metric structure, the principal one being the position of the variant
within the larger suite form (where suite forms exist), the slow x o o o
patterns appearing at the beginning, followed by x o and ultimately
x x (as explained in Chapter Five). While melodic rhythms are not
29
Percussionists mark subdivisions with one or more strokes on a small drum or
woodblock. In Jiangnan practice, the thin drum diangu is used; in Cantonese and
Chaozhou practice, a small nanbangzi-type of woodblock, known as dik in Cantonese
music, serves this purpose.
92 chapter four
Fig. 4.5 Liuqing Niang (Lady Liu Qing) in gongche notation
Jiangnan version, here entitled Liuchun Yang (source: Zhang Hejing,
1920); with transnotation into the southern key of F = do
Note: gongche notation moves from top to bottom, right to left.
Fig. 4.6 Xiao Baban (Small eight beat) in gongche notation
Chaozhou sanban variant from late Qing dynasty ms. (source: Hong Peichen, nd.);
Primary beats in this system identied with circles; transnotation in F.
Note: gongche notation moves from top to bottom, right to left
94 chapter four
precisely notated, beat subdivisions are always in some form of duple
rhythm (such as two eighth notes; one eighth followed by two sixteenth
notes, etc.). For more specic information on the notation of dotted
rhythms, see Appendix A.
As noted above, metric control is basic to the stability of sizhu melodic
structures. Ban forms in Chaozhou, Hakka and Jiangnan melodies are
strictly followed from beginning to end, changing to other forms (e.g.,
from x o o o to x o x o) only when melodic variations are sequen-
tially added in the formation of suites (taoqu).
30
Thus, metric structure
is one of the fundamental organizational principles of this ensemble
music. Against this element of metric stability, melodies and rhythms
are treated with great exibility, as if regularity and irregularity were
consciously being harmonized.
Key The concept of basic performance pitch or key in traditional
Chinese music is of particular historic interest, for there is evidence to
suggest that the fundamental pitch centers of the regional traditions
may have been based upon the yellow bell (huangzhong) pitch cen-
ters of imperial China. As shown by Yang Yinliu and others, yellow
bell pitcheswhich served as cosmological foundations for imperial
30
The sequential performance of ban form variations will be introduced in the
next chapter, at which point the nuances of changing from one form to another will
be discussed. Cantonese music is not organized in suite forms.
Ban-yan patterns Realization Tempo Meter
x x x x etc. ban beats only in repetition fast 1/4
(kuaiban, liushui ban)
x o x o etc. alternation of ban and moderate 2/4
yan beats (zhongban)
x o o o etc. ban followed by three yan moderate 4/4
(zhongban)
x o o o o o o o etc. ban followed by seven yan slow 8/4
(manban)

Note: In some Chaozhou systems, primary beats are identied with o and subdivi-
sions are not necessarily shown. The Cantonese system resembles the Jiangnan system,
though subdivisions may be marked with a slash \.
Fig. 4.7 The Banshi System
rulewere calculated and recalculated from one dynasty to another.
Some variation also occurred within dynasties and among Chinese
regions, reecting differing measurement systems (Zhongguo 1984:
177). During the Tang and Song periods (6181279), the pitch was
variously established at or near F, F sharp and sometimes G; during the
Ming and Qing periods (13681911), D and D sharp were common.
31

Du Yaxiong (2002: 100ff.) has presented a strong argument suggesting
that performance key is a consistent historical feature of the regional
traditions because the established pitch standards of the imperial courts
became models for Buddhist and other local ensembles. It is, therefore,
entirely possible that since the Chaozhou and Hakka repertoires are
usually pitched in the key of F, these traditions may be rooted in pre-
13th century practice. According to Chen Tianguo (2004), the most
active scholar of Chaozhou music today, there is now open acknowledg-
ment of this probable relationship with the Song dynasty (9601279)
court system. Of course, preservation of historic key centers must not
be taken as evidence of the maintenance of repertoire from the same
period (q.v. Chapters One and Three).
Jiangnan music, on the other hand, is generally recognized as a
more recent tradition. It is almost always performed in D, suggesting
a tradition not older than several centurieswhich in fact is known
to be the case. What this approach to dating may suggest about the
esentially 20th-century Cantonese music tradition in C and the possibil-
ity of Western inuence is open to speculation, though local musicians
simply claim that the key of C is best for vocal range.
Mode in Southern Music
In common-practice Chinese music, scales of available pitches are
heptatonic; however, most pieces in the southern repertoires are struc-
turally pentatonic. In this study, differentiation between these concepts is
essential. I use the term scale in reference to the heptatonic pitch set,
and mode in reference to the pentatonic. Chinese scholars commonly
use the term diao (wg: tiao) in identication of both forms. In the pen-
tatonic systems of South China, modal practice differs quite noticeably
31
A useful table listing representative yellow bell pitches from the Han dynasty
onward is found in the music dictionary Zhongguo Yinyue Cidian (1984: 177), drawn in
part from the earlier research of Yang Yinliu.
96 chapter four
from the ancient wusheng system. As noted throughout this book, the
important exception is found in nanguan music, where instruments are
tuned to accommodate whole and half steps, and the repertoire exists
in four different keys, each with wusheng-type modal variants.
32

Modes of South Chinathe historic models The earliest of southern schol-
ars to theorize their modal system were the Cantonese musicians Qiu
Hechou (1917) and Shen Yunsheng (1929). Using gongche terminology,
Qiu and Shen outlined three basic modes, all of which had been associ-
ated with the northern opera traditions of the 18th and 19th centuries
(1917: 26). In this system, known locally as xian (literally string), these
modes are identied according to the naming of the open strings on
two-stringed lutes ( yueqin, qinqin) and ddles (erxian, tiqin)naming in
the sense that two pitch positions a fth apart (such as sol and re) are
assigned to the two open strings.
33
Shown in Fig. 4.8 are line draw-
ings and string diagrams for the early Cantonese erxian and yangqin,
reproduced from Shen Yunshengs treatise Xiange Zhongxi Hepu (1929).
The following three string positions are outlined:
1. sol-re string (he-che xian), in which the open strings are called sol
and re, the associated mode being sol-la-do-re-mi-high sol. According
to Qiu Hechou (1917: 33), this string association (and mode) was ini-
tially used in accompaniment of erhuang melody types in Beijing opera.
Huang Jinpei (1996) concurs, believing that this zhi-type mode was
derived from the Beijing opera tradition which had been introduced
32
The sophisticated nanguan tuning system is quasi-chromatic, with ten pitches
available on pipa and dongxiao (d, e, f, f
#
, g, a, b
b
, b, c c
#
), most pitches with two or
three ngerings (resulting in a variety of pitch heighths) depending upon the particular
mode. While scholars explain the repertoire in terms of four key areas ( F, G, D and
C), my own research shows that no fewer than eight pentatonic modes are employed
for different melodic variations (e.g., F pentatonic with nalis at d, f or g; c pentatonic
with nalis at d or g, etc.). This system does resemble (and may possibly derive from)
ancient wusheng theory. But it is not employed in the other southern traditions.
33
The Chinese terms xian, diao and diaoshi are words without very clear denition.
Indeed, they contain mixed concepts. Xian (string) is used in both Cantonese and
Hakka musics in assignment of values such as sol and re to the two strings of an
instrument. Xian, however, is only marginally related to the modal orientation of each
melody, and it has nothing to do with actual string tuning (i.e., the twisting of pegs).
The term diao in the contexts mentioned below refers to modal type (e.g., huandiao). In
other contexts, however, it is used to identify performance keys and occasionally even
the name of a melody. The term diaoshi is a modern word, usually applied to modal
aspects of melodic progression and the strength of various structural pitches within
each melody, most particularly at cadence points.
into the South over the last two centuries. But it is undoubtedly related
to other genres as well, such as pipa and zheng repertoires where sol-re
pieces are numerous.
2. la-mi string (si-gong xian), the open strings called la and mi,
the resultant mode of la-do-re-mi-sol-high la believed by scholars
to derive from the northern bangzi (or xipi ) opera melody types. It is
evident that, traditionally, a wide range of variation has existed in
the realization of this yu-type mode. Some sources suggest that musi-
cians retuned their strings one step higher than for sol-re string,
while others say they shifted their ngers one step higher. Histori-
cally, in Cantonese music a second bowed ddle pre-tuned one step
higher (the erxian) was usually employed (Huang 1996).
34
In late 19th-
century Hakka terminology, these two modal formssol-re and la-mi
are respectively identied as the southern way (nanlu) and the north-
ern way (beilu) (Hong nd.), evidence of the local perception of these
regional associations. In this instance, the la-mi northern way was
performed one step higher than the sol-re form. In the music heard
today, very little is performed in the la-mi mode, possibly because of
the subsequent introduction of the more popular crying mode type
(described below) which, supercially, resembles la-mi in some respects.
I suspect that at some time during the 1930s these forms became
intermixed and confused.
3. dosol string (shang-liu xian), in which these positions are simply
assigned to the open strings (rather than the strings being retuned a
fourth higher), the resultant mode being do-re-mi-sol-la-high do. As
seen below, the gong-type do-sol mode is now called fanxian (reverse
string) in all three southern cultures, owing to the reversal of gongche
positionssol becoming do, and re becoming sol (maintaining the
fth relationship).
35
34
In his 1929 treatise, however, Shen Yunsheng shows the la-mi mode as starting
at the same pitch position as the sol-re mode, which suggests that different practices
may have been in effect at the same time.
35
A fourth modal form is also identied in early Cantonese sources, the so-called
yi-fan (the equivalent of ti-fa). While the yi-fan modal concept is now of great impor-
tance in the southern traditions, it belongs to a different theoretical system because
the positions of ti and fa are internal intervals (i.e., not aligned with the open strings)
and they function as substitute pitches for neighboring pentatonic pitches. This system
will be explained below. For more on the early Cantonese theory of mode and its
inconsistent terminology, see Yung 1989: 106ff. which, however, includes some highly
speculative hypotheses regarding pitch systems.
98 chapter four
a) Erxian and string forms, R to L: he-che, si-gong and shang-liu
Fig. 4.8 Early 20th-century Cantonese Instruments and String Forms
Line drawings from Xiange Zhongxi Hepu (Shen Yunsheng, 1929)
* Note: yi-fan mode is normally considered a variant of the he-che mode (see text).
b) Yangqin and string forms, R to L: shang-liu, yi-fan*, si-gong and he-che
Modes of South Chinacontemporary practice The above string forms and
their resultant modes reect Cantonese theory during the early 20th
century. In present-day practice, three related modal forms are common
in South China. These forms, which I believe show stronger Chaozhou
inuence, are notated as constructs in Fig. 4.9. Although names and
performance keys differ among the Chaozhou, Hakka and Cantonese
traditions, it can be seen that the structures are closely related. The
two basic forms (4.9a and 4.9b), sometimes thought to be unique to
South China, as a pair are believed by some scholars to derive from
the forms of huandiao and kudiao employed in the northern qinqiang
opera of Shaanxi province (Huang 1986; q.v. Zhongguo 1984: 212).
Huandiao (joyful mode)
36
is organized sol-la-do-re-mi [sol]; the derived
kudiao (literally crying mode) is organized in the more minor-sound-
ing sol-ti
-do-re-fa
+
[sol]. As noted in Chapter One, the Chaozhou
people consider Shaanxi province to be their ancestral homeland. It
seems that they introduced these modes (at least the crying mode) to
South China, though perhaps the systems were brought south by way
of another source. The third modal form, fanxian (reverse string),
mentioned above, is widespread in the opera traditions.
These three forms can best be seen in reference to fretted-stringed
instruments, such as qinqin lute (Fig. 4.10), which has common frets
serving two strings tuned a fth apart.
37
The modes in todays practice
are produced primarily by the shifting of individual ngers rather than
of hand positions. With the exception of only a few Chaozhou, Hakka
and Minnan melodies, southern melodies are not usually transposed,
but remain associated with mode-specic ngering patterns.
Returning to the Hakka and Cantonese modes shown in Fig. 4.9, it
can be seen that in all modal forms the open strings (shown in whole-
note values) remain stable.
38
They also function as the controlling
36
Huandiao is also known as huadiao (ower mode).
37
The qinqin (Qin [region] lute) is a plucked lute with long fretted neck and
plum-blossom-shaped resonating chamber. The term Qin in this context refers to
the historic region of Northwest China (present-day Shaanxi province). This lute is
specically associated with Chaozhou music. Similarly, on the yangqin dulcimer each
course of strings (running across the left row of bridges) is divided in a two-to-three
relationship, thus producing two pitches a fth apart.
38
While stringed instrument tuning differs according to range, the principal Hakka
strings are normally tuned c-g or c'-g' (as shown)for performance in the key of
F; Cantonese strings are usually tuned g-d' or g'-d''for performance in the key of
C. Chaozhou string tuning is unusual in that the lead instrument (erxian) is tuned c'-f ',
though supporting instruments are tuned either f- c' or c-g (as in Hakka tuning)all
for performance in F.
100 chapter four
structural pitches of most melodies performed, notably the short opera-
derived qupai melodies (q.v. Chapter Five), where cadential patterns tend
to fall on sol and re. The pitches in between these pairs of structural
pitches change from one mode to another, though typically they are
organized in parallel tetrachords (columns a and b).
39
In fanxian mode
(column c), pitches are organized in asymmetrical groupings, a set of
three conjunct pitches on the bottom and a standard tetrachord on
top.
1. The rst and most popular modal form is organized sol-la-do-re-
mi (Fig. 4.9, column a)the southern equivalent of the joyful mode
form and essentially the same as the Cantonese he-che xian used in
performance of erhuang melodies. This is also the mode of Xixiang Ci,
discussed at the beginning of the chapter (Fig. 4.1). On fretted stringed
instruments, this mode requires the use of the two open strings (for sol
and re) and stopped strings at frets 1 and 3 for other pitch positions
(Fig. 4.10b). On the zheng zither, the above pitch positions are identical
with the natural pentatonic tuning system of the instrument. Chinese
musicians notate this mode (in either gongche or cipher notation) as if
it were the equivalent of sol-la-do-re-mi-high-sol, the open strings
usually associated with the principal cadence pitches of sol and re.
40

Musicologists, invoking the authority of the ancient wusheng system,
call this the zhi (sol) modeand, in this case at least, there is fair
correspondence between the court and common-practice systems. But
in South China, local terminology prevails. Hakka musicians call this
orientation the hard mode ( yingdiao), as opposed to the minor-sounding
soft mode (introduced below). In Chaozhou terminology, it is named
light 36 (qingsanliu), in reference to the use of unpushed la and mi
strings on the zheng zither (i.e., the normal string tuning without the
downward pressing techniques which produce pitch alterations). The
Cantonese refer to this mode as proper string (zhengxian), a term appar-
ently borrowed from the older Hakka tradition. This particular mode
39
The term tetrachord here refers to the organization of pitches within the range
of a perfect fourth. In Chinese modal systems, like Japanese and European folksong
modes, it is useful to diagram octave organization in two tetrachords, a lower tetrachord
and an upper tetrachord, these separated by a whole-step interval.
40
It will be seen in Chapter Five that, in the case of the big Baban-derived pieces in
the Chaozhou and Hakka repertoires (e.g., Xunfeng Qu), while string tuning remains at
sol and re, cadences are dominated by do and sol. Yet, local musicians still identify
the mode as a sol-re form, obviously privileging the sol-re positions of the strings
over the actual melodic cadences.
is locally recognized as being the oldest and most frequently employed,
the parent mode from which the others have been derived. It accounts
for roughly half of the Chaozhou repertoire, but more than 75% of
the Cantonese and Hakka repertoires.
2. The second mode, organized sol-ti
-do-re-fa
+
(Fig. 4.9, column
b), on the qinqin lute requires the use of open strings, together with
stopped strings at fret 2 (instead of fret 1) and at fret 3. As mentioned
above, the strings themselves are not retuned for this mode. The signs
and +, following the pitch positions of ti and fa, indicate that they
are sounded at respectively atter and sharper positions than equiva-
lent equal-tempered pitch positions (as detailed below). On the zheng,
this mode is realized by raising the pitches of la and mi by increasing
the tension on these strings.
41
The well-known melody, Chushui Lian
(Emerging lotus blossoms), which is performed in both the Hakka
and Chaozhou zheng traditions, is set in this mode (q.v. Fig. 4.11). More
will be said about Chushui Lian below. This minor-sounding mode, the
equivalent of the northern crying mode, is derived from the rst mode
by a change of two internal intervals, and notated as shown in column
41
Tension is applied to the strings by the left hand, pressing them downward on
the non-playing side of their elevated bridges.
a) Huandiao (huadiao) form b) Kudiao form c) Fanxian form
sol-la-do-re-mi (sol) sol-ti
-do-re-fa
+
(sol) do-re-mi-sol-la (do)
Fig. 4.9 Three Predominant Modes, regional variants in South China
a) Huandiao form b) Kudiao form c) Fanxiano form
102 chapter four
Fig. 4.10 Traditional Temperament, Three Constructs
1
6
0
1
6
0
1
8
0
3
4
0
5
0
0
* Measurements for qinqin and xiao are presented as rounded constructs since tempera-
ment details differ among instruments. (Three of each instrument type measured by
A. Thrasher, 1990s)
b) Chaozhou/Cantonese qinqin a) Qinqin lute
temperament, in cents*
(basic range in g-d' tuning):

g d'

fret 1 a-20 e'-30

fret 2 b-60 f '+40

fret 3 c' g' (1200)

c) Hakka/Cantonese xiao ute temperament: mid-range, in cents:

g' a' b' c'' d'' e'' f '' g''

180 170 150 200 180 150 170
350 330
500 200 500
d) Twenty-four unit Cantonese temperament theory of Li Yan (1983)*
nut
* This schema redrawn with western pitch equivalents appropriate to Cantonese music.
b.
42
The Hakka call this the soft mode (ruandiao) for its perceived gentle
quality, as opposed to the more assertive hard mode.
43
In Chaozhou
terminology, it is heavy 36 (zhongsanliu), because the la and mi strings
on the zheng are pushed to create ti
and fa
+
respectively. The Can-
tonese simply call it ti-fa string ( yifanxian) since ti
and fa
+
are used
instead of la and mi. In all three southern cultures, the performance
of ti
and fa
+
is often accompanied by tonal movement of some sort,
sometimes gentle vibrato or, in overcoming discrepancies in ensemble
intonation, more pronounced shaken sounds ( yaosheng). Pieces in this
mode, while not as common as the rst, have a distinctively sad emo-
tive feel, one usually reserved for melancholy or sorrowful affective
states (e.g., Lament of Zhao Jun). The mode accounts for as little as
15% of the Hakka and Cantonese repertoires, but nearly 40% of the
Chaozhou repertoire. According to Huang Jinpei (1996), this mode was
not known in Cantonese music prior to the 1920s, and is believed to
have been introduced by Hakka or Chaozhou musicians.
3. The third mode (Fig. 4.9, column c), organized do-re-mi-sol-la,
requires the use of open strings (on the qinqin lute), together with frets
1 and 2 on the low string, and frets 1 and 3 on the high string (Fig.
4.10b)a difference of only one interval from the rst mode. The open
strings on plucked and bowed instruments are not retuned, but simply
re-labelled do and sol.
44
This modewhich is essentially the same form
as the earlier-cited shang-liu xianis heard as major sounding, the aural
impression being of a transposition to a fourth lower, since do is now
sounded at this lower position.
45
It is now called reverse string ( fanxian)
by all three southern cultures.
46
But between the Chaozhou-Hakka and
Cantonese traditions, the melodic realizations of this modal concept are
42
Some Cantonese scholars have confused this mode with the la-oriented si-gong
xian, as if the structure were actually heard as la-do-re-mi-sol (this problem addressed
below).
43
The terms ying and ruan, literally hard and soft, in Hakka usage can also be
translated as inexible and exibleinexible suggesting the standard sol-re mode,
exible suggesting the crying mode form due to the need to change string tensions
on the zheng in order to obtain ti and fa.
44
On the pentatonically-tuned zheng, however, the do string (of the rst mode) must
now be retuned a half-step lowerbecoming mi in the third mode.
45
Differences are found in Chaozhou fanxian because the strings on the erxian, lead
two-stringed ddle, are tuned a fourth apart (c'-f ') rather than a fth apart. Therefore,
in a standard Chaozhou transposition (Fig. 4.9c), do becomes b ata fourth higher
because the lowest string is tuned c' (and not lowered to b at).
46
Fanxian is pronounced as fan-syen.
104 chapter four
not the same. In both Chaozhou and Hakka music, some short qupai
melodies are actually transposed to other pentatonic tonal centers as
well.
47
Cantonese fanxian melodies, on the other hand, are newly com-
posed (rather than transposed from the traditional repertoire).
48
Pieces
in the fanxian mode occupy a relatively small position in all repertoires,
accounting for about 10% of the Cantonese repertoire and about 5%
of the Hakka and Chaozhou repertoires.
49
In summary of the two basic modal forms in todays practicethe
joyful mode and crying modeit is important to note that the
pitch positions of sol, do, re and high sol in performance are tonally
stable, intervallically perfect
50
and tend to remain unornamented. The
pitches between these positions are subject to several types of varia-
47
Examples of fanxian transpositions in the Chaozhou and Hakka repertoires include
Liuye Jin, Yidian Jin (App. B5) and several other short melodies (q.v. Chapter Five).
48
One important example of the Cantonese fanxian repertoire is the famous 1930s
L Wencheng composition, Pinghu Qiuyue (Autumn moon over the peaceful lake,
App. B6 and B7).
49
There are other, more highly specialized modes in South China, such as the
idiosyncratic Chaozhou active 5 mode (huowu). The active 5 mode is so named
because the fth degree (re) is somewhat sharpened and performed with tremolo.
Externally, it resembles the heavy 36 mode. Another mode heard very occasionally
in Chaozhou music is light 3heavy 6, organized sol-la-do-re-fa
+
, which is simi-
lar to the Shanghai mode fa forget mi ( fan wanggong) in that mi is performed as fa
+

but la is left unaltered. For a more detailed (Chinese-language) examination of these
Chaozhou modes, see Cai 1982: 5056.
50
The intervals of fourths, fths and octaves on fretted stringed instruments are
typically pure or beatless. Perfect fourths and octaves result from fret placement (q.v.
Figure 4.10), and perfect fths result from string tuning (on yangqin, bridges divide each
course of strings in a two-to-three relationship, q.v. Fig. 4.8).
Fig. 4.11 Chushui Lian (Emerging lotus blossoms), initial phrases
Transnotation of melodic skeleton, showing range differences in mode
tion: a) change, as when la is played as ti
and mi as fa
+
; b) greater
ornamentation, especially on ti
and fa
+
, for which some movement
is common; and c) temperament irregularities such as small major
seconds and neutral thirds. These characteristics are common to the
three cultures under discussion.
As noted above, it is common for Chinese scholars to explain the
modes of South China in terms of the historic wusheng system. Having
emerged from the theorizing perspectives of the imperial court, this
ancient system is still considered a logical model for explaining the
common-practice modes because it provides an ordering sequence for
their variations. There is little doubt, however, that it is also employed
to legitimate and bring order to a not-very-tidy practice. For example,
the northern scholars Gao Houyong (1981: 11920) and Yuan Jingfang
(1987: 313) suggest that Cantonese pieces in zhengxian (i.e., sol-re) can
be explained in terms of zhidiao (the sol mode), whereas fanxian (i.e.,
do-sol) is a form of gongdiao (the do mode) (q.v. Fig. 4.3c). In a very
general sense they are correct. But again, the wusheng system is founded
upon the principle of whole- and half-step relationships, whereas com-
mon-practice music includes intervals of intermediate sizes. For the
crying mode type in particularwhich has no wusheng equivalentany
attempt at showing the pitch positions fa
+
and ti
occurring at tempered
whole- and half-step positions (similar to their positions in a Western
major scale) would be misleading in the extreme.
51
Other problems emerge when these and other authors follow Can-
tonese musicians in saying that zhengxian is in the key of C (C diao), in
light of the fact that the pitch C is generally insignicant in zhengxian
mode; and also that Cantonese fanxian is a transposition (zhuandiao) to
the key of G (G diao), when Cantonese melodies are never actually
transposed. Thus, there is no shortage of confusion in the standard
explanations of the southern musical systems.
To what extent does the old court theory really enlighten us about
contemporary practice? Do scholars invest too much analytic authority
in the wusheng system? What role does temperament play?
Temperament Some local scholars have suggested that Chaozhou and
Cantonese melodies are traditionally performed in seven-equal-tone
51
For an example of such analysis of the Cantonese modes, see the ngering positions
shown on pp. 119126 in Gao Houyongs inuential book Minzu Qiyue Gailun (1981).
106 chapter four
temperament (qipingjun l). According to this theorywhich emerged
in Chinese scholarship during the 1980s, possibly in resonance with
earlier Western theories of Southeast Asian instrument tuningthe
heptatonic intervals in traditional music are said to be equal in value,
each of approximately 171 cents (Chen 1988b: 17; 1998: 62).
52
I have
questioned this theory for many years. It has also been challenged by
other Chinese scholars, who correctly demonstrate that Chaozhou
heptatonic intervals are of varying sizes.
53

In practice, it is clear that traditional heptatonic intervals are of two
slightly different sizes: small whole steps and three-quarter steps. In the
early 1980s, a useful theoretical diagram was proposed by the Cantonese
scholar Li Yan (1983). Li divides the octave into 24 pitch units, with
both lower and upper tetrachords shown at 4 + 3 + 3 quarter-step
units (i.e., one whole step followed by two three-quarter steps), the two
tetrachords separated by a whole step of 4 units (totalling 24 units) (Fig.
4.10d).
54
Had Li done pitch measurement, he would have realized that
the initial whole-step intervals are slightly smaller than equal-tempered
(4-unit) whole steps. But the model is conceptually interesting, albeit
representative of yet another attempt to regularize the irregular.
As suggested above, the basis of the southern system is found in
fretted and bridged stringed instrument construction, where strings are
tuned a perfect fth apart and the tetrachords built on these pitches are
identical (or nearly so) because of common fret placement (Fig. 4.10b).
Hakka and Chaozhou instruments I have measured show remarkably
consistent arrangement for both lower and upper tetrachords of the
fundamental octave range: that is, one small whole step of about 180
cents (sometimes larger), followed by two three-quarter steps of between
about 150 and 170 cents. In a study of Chaozhou yangqin temperament
by Zheng Shimin and Chen Wei (1990: 79), the authors found a similar
tetrachord distribution, though in one instance a whole step was found
52
In the cents systema pitch measurement system devised by western theorists
the octave is divided into 1200 cents, with an equal-tempered minor 2nd (semitone)
standing at 100 cents, major 2nd at 200 cents, minor 3rd at 300 cents, major 3rd at
400 cents, and so forth.
53
Basic Chinese-language critiques are found in the writings of Zheng Shimin and
Chen Wei (1990: 7588) and in a review by Chen Yingshi (1993: 39). For an English-
language summary of this debate, see Dujunco 1994: 6771.
54
Note that in ancient Indian music theory, the octave was divided into 22 units
(srutis), rather than 24, with resultant interval sizes of 4 and 3 units (for large and small
whole steps) and 2 units (for half steps).
to be as large as 196 cents and a three-quarter step as small as 144
cents. My own measurement of Chaozhou yangqin temperament has
yielded yet other results.
Why the discrepancy in these measurements? First, temperament
standards differ from one village to another, an observation made by
myself and other scholars. In his thorough examination of Chaozhou
temperament, Chen Yingshi (1993: 4) points out that, owing to changing
ideals during the 20th century and to varying village traditions, there
is no single temperament system commonly employed in Chaozhou
music. Bearing in mind the general principles introduced above, I
believe a similar statement could be made for Hakka and possibly
Cantonese temperaments. What is further, instrumentalists performing
together in heterophonic unison regularly differ in the placement of
these internal intervals (especially for ti
and fa
+
) by 10 or more cents.
Such differences are often above the threshold of pitch discrimination,
resulting in mild dissonances. It is partly because of this, I believe,
that instrumentalists embellish these pitches with shaken sounds and
other effects.
The organization of two tetrachords, each constructed of a small
whole step and two three-quarter steps is most clearly evident in the
fretting positions on lutes (such as qinqin, 4.10a). The same basic orga-
nization is also found in the string positions on the yangqin dulcimer
(where fa
+
sounds a perfect fth above ti
because yangqin bridges divide

the strings in a two-to-three relationship, Fig. 4.8), and in ngerhole
positions of the xiao end-blown ute (Fig. 4.10c).
55
Note that these
particular pitch measurements, which are shown merely as constructs
rounded to the nearest tenth, are not identical from one instrument to
another. Yet, due to performance adjustments and use of embellish-
ments, the instruments can be satisfactorily played together.
One perplexing question arises at this point: how can the pitch at the
second fret (Fig. 4.10b) be said to represent a minor-sounding third in
the crying mode form (sol-ti
, which musicians sometimes mistakenly

notate as la-do in relation to the open string) and a major-sounding
55
Not surprisingly, instruments in local ensembles are carefully tuned to the same
pitch standard and usually tempered similarly. Two exceptions are the zheng zither and
huqin ddle, the open strings of both also carefully tuned but, in placement of ti
and
fa
+
, performers must adjust to the temperament of qinqin, yangqin and xiao. For yangqin
temperaments, see the pitch measurements outlined in Zheng and Chen (1990: 79) and
Chen (1993: 7). Similar ute measurements of my own remain unpublished.
108 chapter four
third in fanxian (do-mi)? Most older performers of qinqin, yangqin and
xiao with whom I have spoken deny altering this second-fret pitch (ti
)
one way or the other during performance. In his monograph, Cantonese
Opera, Bell Yung conrms this older practice by quoting a statement in
a 1984 Guangzhou publication: In the traditional music of Cantonese
opera, the scale degrees 7 [ ti
] and 4 [fa
+
] do not change pitch heights
[among the three modes]. (1989: 107). There can be no doubt that
the primary reason for maintaining the same pitches for all modes can
be found in the specics of traditional instrument construction (e.g.,
placement of frets and ngerholes), where pitch deviation can be a
cumbersome process.
56
The above quote is relevant because the same
instruments used in opera accompaniment are also used in instrumental
music.
While issues of temperament have been addressed by Cantonese
and Chaozhou scholars, the cognitive subtleties of the above major-
sounding/minor-sounding interval question have not been examined.
I believe that this seeming discrepancy can best be explained in terms
of aural perception of how this interval (at the second fret) functions
within different modal contexts. Fret 2 is located roughly 340 cents
above the open string (4.10b), and sounds like a large minor 3rd (or
what could be called a neutral third) in relation to the open string
pitch. However, when the pitch at fret 2 is sounded together with fret
1 (which is about 160 cents below) and without fret 3, it assumes a
quality more closely identied with a major 3rdand which, in fanxian
mode, musicians very signicantly notate as the equivalent of do-re-
mi. It is apparent to me that the difference in pitch function at fret 2
is nothing more than a change of aural perception, resulting from the
intermediary presence (or absence) of the pitch at fret 1.
Linear Elements of Mode Mode in traditional music is a considerably
more dynamic element than commonly reported. While southern
melodies are clearly rooted in the above modal forms, the regular
employment of modal substitutions, shifts and other changes prevent
56
While pitch is entirely exible on the bowed strings gaohu, erxian and yehu (and of
course with the human voice), on fretted instruments such as qinqin and pipa, pitches
can be sharpened by pushing strings across the raised frets (increasing their tension)
but not easily attened; on utes, pitches can be attened by cross ngering or bend-
ing but not easily sharpened; on the yangqin dulcimer, pitches cannot be changed in
either direction without retuning the instrument. These are the instruments on which
the traditional temperament is preserved.
the more creative melodies from sounding strictly pentatonic and static.
Two of these linear effects have been introduced at the beginning of
this chapter. To review, passing and neighboring tones are employed
with some freedom in connecting and embellishing pentatonic pitches;
and secondly, borrowed notes ( jiezi ) are employed in specic patterned
contexts. Note, however, that the practice of substituting ti
for do and
fa
+
for sol (which is distantly related to the historic concept of bianyin)
is conceptually different from that of substituting ti
for la and fa
+
for
mi, the latter employed in creation of modal variants such as the crying
mode types (examined above and seen in Figures 4.9 and 5.3).
The third linear element in Chinese modal practice involves melodic
range, whereby different pentatonic variants are employed for the lower
and upper octaves. In sol-ti
-do-re-fa
+
structures in particular (the cry-
ing mode form), the low range of a given melody (sol-ti
-do) is usually
restricted to these pitch positions (though la may appear as a passing
tone); whereas in the octave above, the tetrachord sol-la-do is more
commonthat is, without the upper-octave ti
. This modal effect can

be seen in the very famous and evocative Hakka melody Chushui Lian
(Emerging lotus blossoms, Fig. 4.11). In the opening measures, the
pitch d'' (la, which theoretically lies outside of this structure) appears
in the opening motif of phrase a, but when the melody descends into
the lower octave in phrase b, the pitch e' (ti
) is more prominent. I have

found that this phenomenon is common in South China. In Chaozhou
music, it is so predictable that Chen Tianguo (1998: 25) outlines this
mode as sol-ti
-do-re-fa
+
-high sol-high la.
57
(A zheng realization of
Chushui Lian is reproduced in App. B4.)
A fourth linear element involves modal shift. While theorists are in the
habit of assigning pieces of music to specic modes, the more creative
pieces may shift among two or more modes during the melodic ow.
When this occurs for an entire musical phrase or longer, and functions as
a structural element (as opposed to brief improvisational pitch substitu-
tion), the change is usually called alternating mode ( jiaoti diaoshi ). This
type of linear shift from one modal orientation to another is occasion-
ally heard in the southern repertoires, both traditional and composed.
A good example is the Cantonese piece Shuangxing Hen (Regret of the
57
In addition to Chushui Lian, other examples of this practice include the Hakka
pieces Yashan Ai and Xueyan Nanfei, the Chaozhou Hanya Xishui (App. B2), and the
Cantonese Ema Yaoling (App. B9) and Shuangxing Hen (App. B8).
110 chapter four
double stars, Fig. 4.12).
58
Four phrases are transnotated here (the entire
melody shown in App. B8). Shuangxing Hen is essentially set in the crying
mode form, yifan (sol-ti
-do-re-fa
+
); but the melody merely begins and
ends in this mode (phrase a). At measure 12 (phrase b), the mode shifts
to an unusual F pentatonic mode for one short phrase, shifting back
to phrase a material (in yifan) a few measures later. Then at measure
26 (phrase c), the mode changes again, this time to the closely-related
C pentatonic mode (zhengxian), followed by another shift at measure
30 (phrase d) to G pentatonic (which is the Cantonese fanxian mode).
Shuangxing Hen ends as it begins, in yifan. Note should be made that
with all three modal shifts, the cadential pitches are consistent with the
conventions of yifan structure (i.e., the dominance of sol and re).
Thus, the concept of mode in South China is sophisticated, involv-
ing not only the several pentatonic forms, their temperaments and
affective states, but also linear elements such as the use of borrowed
notes, modal shifts and pitch variation between low and high registers.
Borrowed notes are found in all repertoires of the South. Low-high
octave differences are also very common, but mostly restricted to the sol-
ti
-do-re-fa
+
structures. Linear shifts in modal orientation (alternating
58
According to local knowledge, Shuangxing Hen was originally entitled Shuangsheng
Hen (Regret of the double sounds), the terms xing and sheng pronounced the same in
Cantonese and probably mixed up. The earlier title seems to refer to the undesirable
quality of certain sounds (later, stars) (Lai 2006).
Fig. 4.12 Shuangxing Hen (Regret of the double stars), four phrases
Transnotation of melodic skeleton, showing alternating mode phrases
modes) are found in a smaller number of pieces, most frequently in
the more creative Cantonese repertoire, less often in Chaozhou and
Hakka repertoires.
The Challenge of Equal Temperament Within the recent several decades,
the traditional temperament system has come under steady pressure
from younger musicians wanting change to a system more compatible
with equal temperament. Older musicians, playing in the amateur clubs,
have continued to perform in the traditional temperament. Indeed,
the pieces in all repertoires requiring fa
+
and ti
can be effectively
performed only in the old temperament.
Challenge to the traditional system has come mostly from Cantonese
musicians, many of whom have been trained at the Xinghai Conser-
vatory of Music (Guangzhou) and other institutions where Western
music is promoted. During the mid-20th century, the ideal of Western
temperament penetrated deeply into curricular studies by way of basic
training in piano and the study of harmony. In line with this trend,
Cantonese instrument factories in the late 1950s began constructing
fretted stringed instruments and utes in a quasi-equal temperament
system. Frets on lutes and ngerholes on utes, traditionally spaced
equidistantly for production of three-quarter-step intervals, were reposi-
tioned to sound whole- and half-step intervals. While this change allowed
for acceptable performance of music in two of the three basic modal
systems (e.g., the Cantonese sol-mode zhengxian and do-mode fanxian),
with the disappearance of fa
+
and ti
the distinctive yifan mode (the

crying mode form) could no longer be effectively performed. Some
Cantonese musicians during this period attempted to play yifan pieces
as if they were in G minor, using b ats and f naturals (sometimes
f sharps). With these changes, the effect of the three-quarter-step
interval was lost.
During the 1990s, musicians devised a workable compromise by
adding additional frets between the factory-set frets on pipa and zhongruan
lutes, and inserting additional bridge positions on yangqin dulcimers.
These instruments can now be played effectively in both old and new
temperament systems, with three options each for the troublesome
fa and ti positions: fa natural, fa
+
, and fa sharp; ti at, ti
, and ti
naturalthe higher ti natural, which is played as mi in fanxian, being
especially popular in the fanxian mode. Chaozhou and Hakka musicians
are presently struggling with these essentially Cantonese adaptations
in instrument construction, with younger conservatory-trained players
112 chapter four
preferring the new exible system and older traditionally-trained players
maintaining the older system.
59
Can deep cultural inuences be discerned in these melodic issues? I
have suggested in this chapter that elements of the Confucian worldview
underlie Chinese perceptions about the pentatonic tonal systemnota-
bly, its rationalization as a ve-tone system. As well, performance keys
are believed by some to be related to the yellow bell pitches of the
imperial period. Of equal cultural signicance is the tendency of
contemporary scholars to explain the southern modes in terms of the
ancient wusheng modal system devised by court theorists. The wusheng
system, however, is not a sharp tool for analysis of the common-prac-
tice modes. The effect of employing this system (if not necessarily the
purpose) has been to regularize (even Confucianize) musical traditions
which are based upon other principlesa form of Confucian ratio-
nalization of the irregular.
60

For melody, with its twisting contour and irregular phrase organi-
zation, more creative inuences seem to have been at work. To what
extent these stylistic characteristics can be explained in terms of Daoist
philosophy is uncertain. The Daoist impulse is more hidden than that
of Confucianism. Ensemble musicians rarely admit of Daoist inu-
ence, other than to state that good performance style must be natural
(ziran)in the sense of being spontaneous rather than rehearsed, ex-
ible rather than rigid.
If these Confucian and Daoist inuences seem opaque, their impact
on musical form, performance practice and aesthetics is unmistakable.
These connections will be drawn in the two chapters which follow.
59
Mercedes Dujunco, in her study of Chaozhou music (1994), found that Chaozhou
musicians from Hong Kong had difculty playing together with musicians from eastern
Guangdong province due to these differences in temperament, the Hong Kong musi-
cians following the traditional system more closely.
60
Other non-Confucian attempts to regularize local practice must include the seven
equal tone theory and the twenty-four quarter step theory described earlier in this
chapter.
CHAPTER FIVE
BABAN AND THE SIZHU REPERTOIRE
When the ancients composed [music] . . . each piece
was given 68 beats
(Pipa Pu, 1762)
While common-practice modal forms seem to have been inuenced
less by Confucian thought than by regional practice, other organiza-
tional and performance elements display a more conscious range of
correlations with cultural belief. In this chapterwhich is focused upon
another area of analysisI examine the concept of melodic models
(qupai), together with the historic methods by which these have been
transformed into new tunes and the subsequent growth of the south-
ern instrumental repertoires. The ancient, largely Confucian, ideology
appears to have been an inuential force in at least some of these
structural areas. Underlying the southern repertoires are symbolically
important numerological issues, notably the proper number of beats in
Baban-based pieces, the theoretical number of variations in traditional
suite forms, and the essential yin-yang duality within the southern silk-
bamboo categories themselves. Perhaps of greater signicance, however,
is the ideal of deriving new material from the old, an ideal manifest in
the traditional forms of variation (bianzou).
Sizhu Repertoire
In the sizhu traditions of South China, two repertoire categories are
commonly identied. The Chaozhou distinguish between the great
suites (datao), which are pieces in the Baban form (or closely related),
and popular tunes (liuxing diao), which are generally shorter in length
and lighter in content. Hakka musicians similarly divide their rep-
ertoire into great melodies (dadiao) and miscellaneous melodies
(chuandiao). In the eclectic Cantonese tradition, where so many exter-
nal inuences have been accepted into practice, these sharp divisions
disappear. Yet, older musicians are aware of what they call the old
114 chapter five
tunes ( gudiao or guqu), as opposed to numerous lighter melodies in the
repertoire.
1

For all three cultures, the repertoire in the rst category consists
almost entirely of 68-beat Baban variantsthe culturally heavy pieces
of the distant past. In some Chaozhou and Hakka published collections,
the 68-beat variants are organized together according to repertoire size,
such as the Chaozhou ten great suites (Zhang 1958) and the Hakka
sixteen great melodies (Luo 1985).
2
In other collections, however, the
68-beat variants are mixed with tunes of lesser importance (Luo 1982a).
Pieces in the second category are mostly the shorter, light and lively qupai
tunes associated with traditional opera. This category will be discussed
rst, followed by a lengthier examination of the Baban variants.

The Qupai Foundation The instrumental repertoires of South China are
built upon a system of old melodies which have served as structural
models. These models are collectively known as qupai, literally song
board,
3
though more normally translated as named song or labelled
melody. In popular terminology, qupai are often simply called paizi
(labels).
Qupai is a broad concept, commonly employed in identifying a wide
variety of instrumental melodies used as opera interludes and as mod-
els for instrumental repertoire. Historically, these tunes emerged from
several sources, notably traditional opera interludes (in which they are
still used), Yuan and Ming dynasty songs (12791644), urban melodies
and other sources.
4
In fact, the names of some tunes have been found
in Tang and Song sources (6181279), but the old melodies themselves
were not notated during those periods (Zhongguo 1984: 321). Neverthe-
1
The Cantonese collector and composer Qiu Hechou (1917) was probably the
rst to distinguish among the instrumental melody types gudiao (old tunes), the more
popular guochang qu (crossing-the-stage tunes) and xiaodiao (short tunes). In Minnan
nanguan, somewhat similar categories are differentiated in the pu and zhi repertoires,
though 68-beat variants are not found in the pu genre, and the zhi genre is not based
upon popular or opera tunes.
2
These repertoire numbers represent a kind of attenuated symbolic relevance, both
being multiples of highly auspicious numbersfor the Chaozhou, ve suites in light
36 mode and ve in heavy 36. In Hakka music, however, the presumed rationale
for sixteeneight plus eightif ever recognized has been forgotten.
3
According to Gao Houyong (1981: 295ff., 1989: 4), the term qupai derives from the
old practice of writing the titles of music to be performed on announcement boards,
a practice not seen today. Qupai is pronounced as ch-pai; wg: ch-pai.
4
Chinese folksong types, such as shange and haozi, are not recognized as being among
this group of diverse sources.
BABAN and the SIZHU repertoire 115
less, Chinese scholars assume that instrumental music during the late
Song period was largely based upon qupai-type models and that this
repertoire was in popular usage during the Ming dynasty (14th to 17th
centuries).
5

Qupai are essentially short instrumental tunes, in the equivalent of
mixed quarter- and eighth-note rhythms, and performed at moderately-
fast tempos. They are typically identied by names (hence the transla-
tion named song) and often by their number of beats, though small
regional differences appear in both names and lengths. As discussed in
Chapter Four, distinctive modal orientations are usually clear, especially
at cadences where pairs of pitches a fth apart dominate modal struc-
tures. Among the older tunes, phrase lengths tend to be mixed between
regular and irregular, such that an initial phrase of four beats may be
followed by a second phrase of six beats, and subsequent phrases of
other lengths (q.v. Figures 5.1, 4.1, and also the Baban motivic subdivi-
sions in 5.2 and 5.3).
Most numerous of the qupai melodies are opera tune-types known
as guochang qu (crossing-the-stage tunes). Guochang qu are instrumental
melodies of varying lengths, performed on bowed stringed instruments
or on suona (shawm) in accompaniment of movement on stage or other
non-singing stage action (e.g., the entrance of generals, dancing scenes,
etc.). Thus, within the traditional opera context, these tunes have spe-
cic functional associations. In performance, they are repeated over
and over until the stage action requires a change of music. Shown in
Fig. 5.1 is Liuqing Niang (Lady Liu Qing), a relatively short guochang
qu, of which a Jiangnan version was seen in the previous chapter
(Fig. 4.5). Lady Liu Qing was a legendary singer during the Tang
dynasty. This melody is widespread, played in Beijing opera for dance
5
For further examination of this history, see Chen 1985: 35, Cheung 1975: 476,
Gao 1981: 225, and Shanghai 1981: 28.
Fig. 5.1 Liuqing Niang, qupai of 30 beats, Chaozhou light 36 version
116 chapter five
accompaniment, in Chaozhou instrumental music (where it is performed
in different modal forms), and in other regional genres.
6
Liuqing Niang is
30 beats in length, organized in ve short phrases of irregular lengths,
and has a re - la modal orientation. Other guochang qu inuential on
the development of instrumental music (their variable beat-counts given
in parentheses) include Wannian Huan (24, 26), Da Kaimen (34, 38), and
Liuyao Jin (60, 62).
Yet other tunes have occasionally served as models as well, notably
xiaodiao (short tunes) and solo pipa melodies. Some scholars include
xiaodiao under the umbrella term qupai, while others differentiate more
sharply between xiaodiao and other qupai types such as guochang qu (q.v.
Qiu 1917). Xiaodiao are songs which have become popular in urban
areas, the songs Moli Hua (Jasmine ower) and Mengjiang N (Lady
Mengjiang) being among the best known of this type. These tunes
tend to have regularly organized phrases, commonly four phrases of
eight beats each.
7

One difculty in researching these types of melodies is found in the
presence of different (often regional) titles for essentially the same tunes.
Some titles reect only slightly different variants of the same terms;
8
but
for other identical melodies, the titles are entirely different.
9
Similarly,
different regional variants with identical titles do not necessarily identify
the same tunes.
10
Within regional traditions, however, there is gener-
ally a high degree of continuity in the naming of pieces. Therefore,
systematic melodic analysis of the tunes themselves, together with their
6
Liuqing Niang was also used as the model for L Wenchengs 1930s composition,
Yinghua Luo (Falling cherry blossoms)one of the few instances where Cantonese
composers have actually employed this older creative process. For a more thorough
examination of Liuqing Niang, see Thrasher 2002: 233ff.
7
For notation of these and other tunes, see Li 1975 and Luo 1982a. Brief descrip-
tions of the major qupai can be found in Zhongguo 1984. Gao Houyongs short article
On Qupai (1989) offers some English-language insights.
8
Examples of identical tunes with slightly different names include Xiao Kaimen and
Xiao Baimen, Wannian Huan and Wannian Hua, Liuyao Jin and Liuye Jin, and Da Baban
and Lao Baban.
9
Examples of identical tunes with entirely different names include Da Kaimen and
Shuilong Yin, Wannian Huan and Dongchuan, Moli Hua and Xianhua Diao, and Da Baban
and Tianxia Tong.
10
Examples of instrumental pieces with identical titles but different melodies include
the Cantonese Yuda Bajiao and the Jiangnan pipa version, the Chaozhou Hanya Xishui
and a northern melody with the same name, the Hakka and Jiangnan versions of
Xunfeng Qu, the Jiangnan sizhu piece Meihua Sannong and the same-named qin piece,
and many others.
modal variations and beat-counts, must be accomplished before this
corpus of old melodies can be fully understood.
Baban The qupai most inuential on the structures of Chaozhou,
Hakka and Jiangnan musics is Baban (Eight beat). To call Baban
a qupai is troublesome in several respects, the most notable being its
apparent instrumental origin (as opposed to the presumed vocal origins
of guochang qu), but also because of its close association with Confucian
ideology (as explained below). In absence of a better term, I propose
calling Baban an instrumental qupai.
Baban is indeed the most widespread of all instrumental structures
in China, employed throughout North China in xiansuo string music
and the local Buddhist ritual music, in the zheng zither repertoires of
eastern Henan province and coastal Guangdong province, and in the
traditional pipa repertoire of the Jiangnan region as well (q.v. Thrasher
1989: 67ff.). It is also heard in many regional opera traditions, where
it functions as an introduction (guomen) to a scene, and sometimes in
accompaniment of dance.
11

The history of this melodic model is sketchy, but since it is so wide-
spread it is assumed to be very old. Du Yaxiong (1999a: 98) reports
having seen a notated Song dynasty (9601279) version from Wutai-
shan (Shanxi province) in the library of the Music Research Institute,
Beijing. In the 1762 manuscript, Pipa Pu, a northern version of Baban
is notated in the gongche system (transnotated in Yuan 1987: 162ff.).
The most frequently cited published source of Baban appears in the
1814 collection of chamber music, Xiansuo Beikao (transnotated in Cao
1955). Here it is shown as a source melody for a number of instrumental
variations and interpretations. But certainly the vast wealth of Baban
variations is found in the ongoing regional traditions.
In its most common southern form, Baban has 68 beats. The number
68 has been assigned great signicance in Chinese instrumental music.
Commentary in the 18th-century Pipa Pu states that When the ancients
composed [music] . . . each piece was given 68 beats. In the Hakka and
Chaozhou repertoires, and in the Shandong and Henan zheng repertoires
11
Baban was well known among Cantonese musicians during the early 20th century
(q.v. Qiu 1917), but subsequently forgotten as the composers of new music moved away
from this model. Among Minnan musicians, Baban is considered to be popular music
and is not included in the nanguan repertoire.
118 chapter five
of North China as well, instrumental pieces of this length are thought
to be the oldest and most important. But why the number 68? While
musicians are unable to theorize this question, scholars have offered
various explanationsmost deriving from Chinese number theory.
The commonly accepted theory suggests that 68 is derived from the
ancient bagua system (i.e., the eight diagrams or trigrams, introduced
in Chapter Two). One variant of this system consists of 64 graphs (i.e.,
the hexagrams, derived by multiplying the number eight by itself ). This
belief holds that musicians considered 64 to be the proper number
of beats for a good melody, to which four beats were added for other
cosmological reasons.
12

12
Q.v. Gao 1981: 155, Huang 1986, and Du 1999a: 98, 2002: 50ff. For a review of
these and other explanations and rationalizations, see Thrasher 1988: 45.
Fig. 5.2 Liuban, 52-beat Jiangnan and Hakka versions in melodic skeleton
While the 64-graph hexagram theory is often presented as the only
plausible explanation for the number of Baban beats, several trouble-
some questions remain. First, in the Jiangnan region of central-eastern
China, the same melodyknown as Liuban (Six beat)is normally
only 60 beats in length. It differs from the 68-beat form not only in
length, but also in the presence of different ending phrases and some
internal cadence points as well. However, the 60-beat Liuban may not
be the earliest form in the Jiangnan region, for a good number of 52-
beat variantsalso known as Liubanhave been collected.
13
Shown in
Fig. 5.2, two slightly different variant forms of the 52-beat Liuban are
juxtaposed. Transnotated on the top staff (5.2a) is a version from a
Shanghai source published during the early 20th century (Zheng 1924).
It is organized in the following pattern:
ve 8-beat phrases (a, a', b, a'', c), followed by
one 4-beat conjunctive phrase,
14
and
a nal 8-beat repetition of phrase two (a').
This precise organization has been recorded in many sources (notably
Yang 1958: 49 and Gan 1985: 23). On the bottom staff (5.2b), a 52-
beat Hakka suona version is organized:
ve 8-beat phrases (as above), followed by
the 4-beat conjunctive phrase, then
another 4-beat phrase (drawn from the end of phrase a), and nally
a restatement of the 4-beat conjunctive phrase (as a cadential phrase)
The opening ve phrases of these two versions are essentially the same,
but small differences appear in the cadence at the end of phrase one
(do vs. re) and in the brief melodic extensions in phrases two and four
of the Hakka version. In their eight-beat endings, however, signicant
structural differences are found.
The Jiangnan and Hakka regions are distant. It is understandable
that, in these oral traditions, the beginnings of old melodies and forms
would be better remembered than their endings. But can different ending
13
An excellent source showing the diversity in the Baban/Liuban structure is Gan
Taos collection, Jiangnan Sizhu Yinyue (1985: 19ff.), where versions of 68, 64, 60, 56
and 52 beats are notated.
14
The source for the designation conjunctive phrase is Xue Jinyan (1999: 7794).
In earlier references to this short interpolated phrase, I have called it a cadential
phrase because, in some 68-beat forms, it also appears at the end as a nal cadence
(as in 5.2b). Therefore, logical arguments can be made for using either term, depend-
ing upon context.
120 chapter five
phrases be explained in terms of faulty memories, or might regional
preferences be a factor?
To gain deeper understanding into the relationship among the
52-beat, 60-beat and 68-beat versions, it is necessary to review some
terminology. During the early stages of my research on this topic, I
frequently pondered why the 52-beat and 60-beat forms were called
Liuban (Six beat) and the 68-beat forms called Baban (Eight beat).
Some Chinese musicologists have speculated that, since the term ban
means beat, the initial phrase of Liuban may have had only six beats
(the middle two beats being omitted), while the initial phrase of Baban
had eight beats. This explanation is unacceptable for two reasons: rst,
six-beat opening phrases have not been found in either notated or
common-practice versions; second, and most signicantly, the term ban
in earlier usage did not mean beat as this term is employed today.
The renowned musicologist Yang Yinliu may have been the rst
to explain that, historically, ban means musical phrase (1958: 49).
It will be remembered from Chapter Four that, sometime during the
Song dynasty, ban replaced pai as a metric term. This older concept
of a phrase-length beat is now called daban (large beat) by some
musicologists (Du 1999a: 96). With this understanding, I believe that
the Baban-Liuban question can nally be claried. The 52-beat Liuban
(Six beat) is clearly constructed of six large beat phrases of eight
beats each, plus the short interpolated four-beat conjunctive phrase
(= 52). Discrepancies between endings of the Jiangnan and Hakka
versions (q.v. Fig. 5.2) are most likely due to the fact that this model
was passed on by way of oral transmissionthough one can doubt
whether there ever was a single original ending pattern.
The 60-beat Liuban, which is now standard in Jiangnan sizhu,
includes one further 8-beat phrase at the end (essentially repeating both
the a and a phrases), sounding a total of seven large beat phrases
of eight beats each, plus the additional four-beat phrase (= 60).
15
Why
this version was never called Qiban (Seven beat) can only be a matter
of speculation. But, as suggested in Chapter Two, number symbolism
was a strong determinant of value and meaning in traditional Chi-
nese thought. I suspect that, assuming the seventh phrase was added
to the 52-beat pattern for reasons of balance, the number six was
15
An early 20th-century gongche notation version of Hua Liuban is reproduced in App.
A5. For further documentation of the 60-beat Liuban, see Witzleben 1995: 72ff.
maintained in the title for the purpose of continuity in identication,
but also because the number seven was never assigned the positive
symbolic values of six or eight.
16
Therefore, while Liuban probably had
six phrases before having seven, the standard Jiangnan version is now
always performed with seven.
Against this background, a better understanding of Baban (Eight
beat) is possible. The 68-beat Babanwhich is the standard length
in South Chinaconsists of eight large beat phrases of eight beats
each, plus the short four-beat conjunctive phrase (= 68). Following
the above analysis, the meaning of the name Baban should now be
unambiguous.
With its eight phrases of eight beats each (Fig. 5.3), the Hakka Baban
appears to be a model of regularity and Confucian number theory. Yet,
because of sophisticated motivic relationships and rhythmic twists after
the sixth phrase, the structure displays a owing, even angular, sense
of movement. The motifs in phrases one and two, with their rhythmic
subdivisions of 3+2+3, are identical, the rst phrase cadencing on do,
the second on sol. Phrases three and four are constructed of contrast-
ing material, the fourth phrase rising into a higher tessitura, though
rhythmically related to phrases one and two. Phrase ve is drawn from
both phrase one (where the rhythmic subdivisions are identical) and
phrase three (where it displays a variant of the contrasting motif and
also cadences on re). Beginning with phrase six, the structure becomes
less clear and analytic explanations differ from one scholar to another,
in part because of differences amongst the regional versions. The four-
beat conjunctive phrase follows phrase ve, consistent with the 52-beat
versions, and in turn is followed by a four-beat cadential motif drawn
(in part) from the end of phrase one (a). Phrase seven, again beginning
with the conjunctive phrase, parallels phrase six (though cadencing on
sol). Finally, phrase eight is derived from the contrasting motif in phrase
three (b)accelerated by one beatand the form concludes with a nal
statement of the four-beat conjunctive phrase, here as a short coda.
17

Thus, in Baban, there is symmetry between phrases one and two, six
and seven, and in the eight-beat phrase organization in general. But in
16
An interesting parallel demonstrating how practice is often brought into correspon-
dence with number theory is found in the Confucian-Buddhist ritual music of Beijing,
where melodies notated in a heptatonic scale are actually performed pentatonically
(q.v. Du 2002: 48ff. ).
17
For a different analysis of the later Baban phrases, see Yuan 1987: 1658.
122 chapter five
Fig. 5.3 Da Baban, 68-beat Hakka versions, two modal forms
the rhythmic subdivisions (3+2+3 in particular) and toward the end of
the form, a greater degree of asymmetrical organization is foundthe
effect being to maintain a unied structure and balance regularity with
irregularity.
Most Chinese scholars assume that the 68-beat Baban represents
the urtext form. For example, Yang Yinliu, following the analysis of
Zheng Jinwen (1924: 42), states that originally there were eight phrases
which were subsequently reduced to six (1958: 49). This is entirely pos-
sible, especially since the conservative Chaozhou and Hakka cultures
maintain the 68-beat model, whereas in the Jiangnan area (with their
relatively shallow roots in 18th- and 19th-century practice) the 60- and
52-beat models are most commonat least in sizhu music.
18
Did one
model evolve into another, or might different variants have existed side
by side? Having heard a number of local village variants of differing
lengths (56 beats, 64 beats)some of which have never been notated
or publishedI am convinced that different variants became established
in different regions. This is also the opinion of Gan Tao (1985: 17),
who states that Liuban is the southern form (southern in this context
meaning central-eastern China), while Baban is the northern form (i.e.,
Henan and Shandong). He should have added that Baban is also the
prevailing form among the Chaozhou and Hakka.
But it should not be assumed that the 52-beat model is a reduction
of a longer form. In a recent study of this variant (Thrasher 1995:
97118), I examined what I saw as a close structural relationship
between the Chinese model (and associated suite forms) and the similar
danmono tradition of the Japanese koto repertoire, where 52-beat pieces
have been standard for several hundred years or longer.
19
Assuming that
this analysis is correct, it could be concluded that the 52-beat form is
old in China as well.
Qi-Cheng-Zhuan-He This is an organizational concept of importance
within the circles of the Chinese literati but of questionable relevance
in common-practice music. It is mentioned here because some scholars
believe this ideal is relevant to Baban organization. Qi-cheng-zhuan-he
is essentially a structural ideal, consisting of the following sections:
1) introduction (qi ); 2) continuation (cheng); 3) transition (zhuan); and
4) synthesis (he).
20
As employed in traditional literature and poetry, the
opening introduction establishes the theme and its mood, which is
then continued and developed in the second section. Following this,
a transition (the third section) moves the work to the nal synthesis,
which in some meaningful way draws the parts together.
18
In the Jiangnan pipa repertoire, however, the 68-beat form is standard (e.g.,
Yangchun Baixue).
19
The Chinese zheng, initially a 13-string zither, was introduced into Japan between
the 8th and 12th centuries. There have been legends suggesting that zither music was
also imported from China to the Japanese island of Kyushu during the 9th century
(Tanabe 1954: 249). But other scholars believe that Chinese zither music was not
introduced to the island until sometime after the 13th century.
20
Qi-cheng-zhuan-he is pronounced as chi-cheng-juan-heh.
124 chapter five
This structural ideal is very widely cited by the Chinese literati in
explanation of form. It is also employed by music scholars in analysis
of Baban, where the rst double phrase of 16 beats is said to be the
introduction (qi ), the next double phrase a continuation (cheng), and so
forth.
21
But qi-cheng-zhuan-he is merely an ideal and a way of explaining
organization. It is not grounded theory. In the sense that the structure
is organized in a logical sequence, it has a Confucian feel. However,
most performing musicians in China are not familiar with this model,
a reminder that not all scholarly interpretations are understood or
accepted at the local level.
The Variation Ideal in Compositional Practice
One of the basic premises historically made by Chinas artists and
composers is that their work be rooted in past practice. While lines of
continuity can be seen in most creativity around the world, in Chinese
creativity, continuity with the past became a pivotal ideal, consciously
implemented in both form and aesthetics. An early literary reference to
this ideal appears in the Yueji (Record of Music), a statement which
is quite explicit about the adverse cultural implications of too much
change: If there are too many forms [of ceremony], there will be chaos;
if there is excessive [musical] invention, there will be violence. It will
be remembered from Chapter Two that promotion of social harmony
and moderation, and prevention of chaos and violence were priorities
for imperial governments. While music was specically identied for its
perceived ability to promote these ideals, other arts were not exempt. In
both landscape painting and chamber music, the concept of old and
rened ( guya) was more than just an aesthetic notion; it was a cultural
expectation. Just as artists attempted to recapture the spirit ( yi) of the
old masters, and writers and opera librettists used the old stories as
models for new works, so also did composers when they recast the old
pieces of music into increasingly varied new ones. Cheung Sai-bung
notes that by the Song dynasty (9601279), the use of old melodies to
create owing and beautiful new melodies was actually mentioned in
21
See, for example, the analyses of Yuan Jingfang (1987: 166ff.) and Xue Jinyan
(1999: 77ff.), the latter in English translation. The Chaozhou scholar Chen Tianguo
(2004) has similarly attempted to demonstrate the applicability of this ideal to local
Baban forms.
court records (1975: 476). It is apparent that the regional chamber music
repertoires emerged primarily from the old qupai tradition through the
creative application of several derivative techniques. These techniques
are collectively known as bianzou (variation).
22
There is nothing speci-
cally Confucian in this process, but the variation ideal emerged within
Confucian culture and was nurtured by its advocates.
The concept of qupai in Chinese instrumental music has functioned in
a manner not unlike that of cantus rmus in Western European music. A
cantus rmus is a melody taken from an extant source (such as plainsong,
northern chorale tune or secular tune) and used as a basis for more
complex compositionsusually as a tenor for polyphonic elaborations
(i.e., variations). In European music, this process was common in the
development of 13th- and 14th-century motets, 15th- and 16th-century
masses, and 17th- and 18th-century organ chorales by J.S. Bach and
others. Without wanting to suggest cross-cultural inuence during this
broad period, the Chinese qupai concept is similar in its drawing upon
a diverse pool of melodic ideas, in its function as a structural basis for
new repertoire and even in terms of time periodthough in China
this compositional practice extended into the early 20th century.
Three types of variation account for the vast majority of the south-
ern repertoire: embellished variation, modal variation and beat-form
variation. In my own research, I have found a fourth type which I will
call phrase variation.
Embellished Variation It is apparent that the most fundamental type of
compositional variation in traditional practice is one based on the struc-
tural foundation of a given qupai, upon which new melodies are simply
invented. The northern scholars Yuan Jingfang and Li Minxiong have
called this type embellished variation (runshi bianzou).
23
Embellished
variation is found in instrumental music throughout China, though
poorly theorized for the music of South China. In this process, a known
melody is taken as a foundation, its beat-count, phrase lengths, cadential
pitches, contour, and sometimes motivic characteristics forming a basic
(but occasionally elastic) structure. Over this structure, new melodies
are created, some closely related, others more distant.
24

22
Bianzou is pronounced as bian-dzou; wg: pian-tsou.
23
Yuan 1986: 57 and Li 1988: 25. I have also heard this type of variation called
melodic variation (xuanl bianzou).
24
A fair analogy could be made with the twelve-bar blues, a form with an established
126 chapter five
In Chaozhou and Hakka cultures, as in areas of the North, the
favored structure for this type of variation has been Baban. As an
example, the rst phrase of Hakka Baban is shown in Fig. 5.4, line
a. The characteristics of this phrasetwisting melodic line, irregular
phrase subdivisions and cadence on dohave been examined. Below
this (lines b, c and d), the beginning phrases of three derived pieces are
shown, all 68 beats in length. Luancha Hua (Disorderly Arrangement
of Flowers), line b, displays a closely related melodic contour, and a
cadence on do, but also a shift in the phrase subdivision, resulting in
two motivic units of equal length. Huangli Ci (Poem of the oriole), line
c, is a beat-form variation type (described below) at moderate tempo
(2/4), also with similar contour and cadence, but with phrase subdivi-
sions separating three roughly equal units. Finally, Dandian Tou (A nod
of the head), line d, is another moderate beat-form variation, with
a contour clearly related to Baban, but displaying yet different phrase
subdivisions and a cadence on re (as in the Jiangnan version, Liuban).
Among the four examples, note the instances of motivic relationship
near the phrase endings, and sometimes in earlier locations as well
(shown with asterisks and dashed lines). These melodies are said to
be different, yet they are derived from a common structural model, and
their patterns continue into the second and third phrases as well (not
shown), after which greater diversity is found.
Numerous examples of embellished variation can be found in
both Hakka and Chaozhou repertoires. Some 68-beat pieces are close
variations (as seen in Fig. 5.4), others are more imaginative (e.g., Xiao
Taohong), and a few are based upon entirely different melodic models
but set in the 68-beat form, perhaps to give them a sense of legitimacy
(e.g., Pingsha Luoyan).
25

Modal Variation Modal variation (diaoxing bianzou), as usually dened,
is a type in which one or both non-pentatonic pitches are substituted
for the original pentatonic pitches, either ti used in place of la, or fa
in place of mi, or both. This process was introduced in Chapter Four.
To review: a melody in the sol-la-do-re-mi structurewhich is widely
recognized as being the original modal formmay be performed in
harmonic structure and a variety of stable melodic characteristics as well (e.g., phrase
organization, tessitura, cadential patterns, etc.).
25
The pieces cited here are notated in Luo 1982a: pp. 30, 52, 56, 84 and 89.
the derived form of sol-ti
-
-do-re-fa
+
. When fa and ti are used in
this structural manner, they are performed in untempered neutral
positions. In this type of variation, the names of pieces do not change
from one mode to another.
The term diaoxing bianzou has musicological origins and is employed
primarily by scholars. In areas of northern China, the term jiezi (bor-
rowed notes) is often used in identication of this type of modal
variation (but see the denition of jiezi given in Chapter Four). In the
South, where local terminology is already well established, use of these
northern terms is not common.
The most numerous examples of this practice are found in the Baban
variants. Returning to Fig. 5.3, the original Hakka hard mode (or joy-
ful mode type) Baban melody is shown on the top staff (5.3a), with the
derived soft mode variant (crying mode type) below (5.3b). The linear
structure of the Hakka 68-beat model has been examined above. Of
relevance here is the practice of creating a variation by simply changing
two pitch positions (la to ti and mi to fa) over a constant root. In the
Hakka repertoire, modal variation is quite common, several important
pieces traditionally played in either mode. Most notable amongst these,
in addition to Baban, are the big soft mode pieces Chushui Lian, Zhaojun
Yuan and Yashan Ai. In all Hakka soft mode versions, the pitch positions
of fa and ti (here, b at and e) are employed in strict substitution for
mi and la, though mi and la may appear quickly as passing tones; and,
again, la retains a special position in the upper tetrachord (as seen at
beat 29).
Fig. 5.4 Embellished Variation
Hakka Baban form and three derived pieces, opening phrases
128 chapter five
In Chaozhou practice, this strict substitution is not common, the use
of fa and ti being more dependent upon context. As my analysis shows,
the appearance of fa in Chaozhou crying mode variations is quite
predictable when this pitch is grouped with pitches in the upper tetra-
chord (in this case, sol-la-ti-do), but not when grouped with melodic
pitches in the lower tetrachord (do-re-mi-fa). Two contrasting phrases
from Huangli Ci (Poem of the oriole) are shown in Fig. 5.5. In Phrase
1 (line a), as the melody moves through the lower tetrachord, mi (a') is
performed in association with re (g') and do (f '). But when the melody
moves into the upper tetrachord, as seen in Phrase 5 (line b), fa (b at')
is heard in prominent positions (but not mi). These idiosyncratic modal
shifts occur throughout Huangli Ci, and are found in Hanya Xishui (Fig.
5.11) and the Chaozhou version of Zhaojun Yuan as well. So, while the
Chaozhou heavy 36 in theory requires the use of fa and ti in place
of mi and la, the particular pitch positions appearing in any given piece
for the most part are based upon context and range.
26
A conceptually different form of modal variation is effected by the
actual transposition of a melody to a new pitch position (or pentatonic
key). As seen in Chapter Four, the basic modal shift in South China
( fanxian) is a transposition to a pitch one fth higher.
27
Fanxian mode is
found in all three southern repertoires (Chaozhou, Hakka and Canton-
ese), though with some differences in specic forms and their functions.
In Hakka music, however, several short qupai tunes are performed in
transpositional variants extending beyond the basic fanxian to include all
26
In the several crying mode-type pieces in the Cantonese repertoire (e.g., Shuangxing
Hen, Ema Yaoling), Hakka practice is followed more closely.
27
In Chaozhou practice, the basic fanxian transposition is a fourth higher.
Fig. 5.5 Chaozhou Huangli Ci (Poem of the oriole), two phrases
Pitch positions of mi and fa in association with different tetrachords
ve of the historic wusheng modes, and commonly in performance order
of the circle of fths (do - sol - re - la - mi). This practice is unusual in
other regional instrumental music and it may reect Hakka awareness
of the wusheng pentatonic modal system detailed in imperial treatises.
Examples in the Hakka repertoire include the frequently performed
Liuye Jin (Willow leaf of gold), Ying Binke (Welcoming guests) and
Yidian Jin (A piece of gold), all short qupai melodies.
28
The 68-beat
Baban melodies are not transposed in this manner. The opening mea-
sures of Yidian Jin are represented in Fig. 5.6, showing the beginnings
of all ve variant modal forms and their cadence positions. Note that
these are inexact transpositions. Not only do the minor-third gaps in the
pentatonic structure fall in different positions relative to the nalis of
each mode, but there are some small motivic changes as well. Against
this, the rhythmic structure among these variants remains absolutely
constant throughout, and titles are the same.
29
So it is apparent that,
historically, this type of transposition was employed in extending the
dimensions of short qupai melodies, but not in creation of new reper-
toire. More will be said about these Hakka modal variation pieces
under the examination of suite forms.
Transpositional modal variation is found in some Chaozhou reper-
toire as well, but its roots are not deep. According to older musicians
(and in light of the absence of specic melodies in mid-20th-century
collections, such as Zhang 1958), both the practice and repertoire
appear to have been introduced by Hakka musicians within the last
half century. In Chaozhou practice of today, the above-mentioned short
Hakka pieces are all played in pentatonic transpositions. Within recent
years, some Chaozhou musicians have experimented with heptatonic
transposition, whereby short tunes are sequentially performed in all
seven scale positions (Chen 2004). This newer variational practice is
known locally as seven reverse mode (qifandiao).
30
It is not clear at pres-
ent how widespread this further transposition is within the Chaozhou
community, but I suspect it is still in the experimental stage.
28
Notations of these pieces can be found in Luo 1982a: 22ff., 68ff., and 99ff. For
useful summaries of Hakka repertoire, see Luo 1985 and Ju 1995.
29
In fact, the titles are numbered sequentially: Yidian Jin (A piece of gold), followed
by Erdian Jin (Two pieces of gold), etc., through Wudian Jin (Five pieces of gold).
All ve variants are shown in App. B5.
30
For more on Chaozhou transpositional variation, see Chen 1988b: 15ff., and
Dujuncos English-language analysis (1994: 106ff.).
130 chapter five
Both types of modal variation are also found in the Minnan nan-
guan repertoire, with several prominent qupai tunes (notably Miandaxu)
appearing in modal variations, though in entirely different suites. In
the Jiangnan region, there is only one modal variation of prominence,
Dao Baban (Inverse eight beat) which, however, is rarely heard in per-
formance.
31
In Cantonese music, the western-inuenced 20th-century
composers for the most part ignored this variational method in favor
of beat-form variations and entirely new forms.
Beat-form Variation The third type of repertoire variation prevalent in
South China is known as beat-form variation (banshi bianzou). In this
process, a lively-tempo qupai melody is slowed, as if by augmentation,
to either moderate beat (zhongban) or slow beat (manban). As exam-
ined in Chapter Four, with the tempo decrease, weak beats (yan) are
addeda single weak beat for moderate-tempo decrease (2/4), three
weak beats for a still slower tempo (4/4), or seven weak beats for the
slowest (8/4). With the slowing of tempo, the basic structure of the
melodic model is maintained, the stable parameters being the xed beat
pattern (in augmented forms), the melodic length (e.g., 68 beats), and
the pitches coinciding with strong beats (ban) and at cadences. Given
31
Dao Baban was rearranged in the early 20th century by Nie Er into the now very
popular Jinshe Kuangwu (Crazy dance of the golden snake), and it is this arrangement
which is most commonly heard today.
Fig. 5.6 Hakka Yidian Jin (A piece of gold), ve modal forms
Transpositional variations, opening measures of 28-beat qupai
Fig. 5.7 Beat-form Variation
Chaozhou Baban and two derived beat-form variants, opening phrases
these elements of stability, melodic ll of varying rhythmic densities is
interpolated between the now augmented basic pitches of the model.
Such melodic interpolations are generally known as owers (hua) or
ower tones (huayin). Musicians call this process slowing the beat and
adding owers ( fangman jiahua).
32

As seen in Fig. 5.7, derived beat-form variants are more than just
embellished qupai melodies; they are new-sounding melodies, especially
when the beat is slowed substantially, phrase lengths realigned and
melodic contours changed. Shown on the top staff (line a) is the rst
eight-beat phrase of the basic Chaozhou version of Baban, the melodic
model. It is performed at rapid tempo (kuaiban), punctuated by ban strokes
only (x). Below this (line b) is the beginning of the Chaozhou 68-beat
Jinshang Tianhua (Adding owers to the brocade), a beat-form variant
derived by way of a tempo decrease (x o) and modest addition of ow-
ers. Jinshang Tianhua has a different title and is considered a distinctive
piece in the repertoire. Da Baban (line c), an unmistakable beat-form
variant of Baban (because of their shared titles) is performed at very
slow tempo (x o o o), with numerous melodic interpolations and new
32
Optionally, this process is also called increasing secondary beats and adding
owers (tianyan jiahua).
132 chapter five
phrase subdivisions. Development of this expansive technique has had a
profound impact upon the growth of instrumental music and numerous
examples can be found in the Hakka and Chaozhou repertoires.
33
The Cantonese repertoire, as noted above, is known for its adaptations
from other repertoires and its new compositions, but several important
instrumental pieces have emerged as beat-form variants. The best-
known example is the mono-sectional Hantian Lei (Thunder in the
drought), which Huang Jinpei (1982) has shown to have been derived
from the old Cantonese tune Sanjilang (Fig. 5.8). It can be seen that the
very plain model melody (5.8b) serves merely as a basic framework of
pitches. The derived melody (5.8a) is characterized by spirited rhythmic
movement, changed melodic contours and, toward the end, two subtle
shifts in phrase structure. In the case of Hantian Lei, the derivation is
based primarily upon melodic invention, without a slowing of tempo
or augmentation of the beat pattern. This is unusual in traditional
creativity, but seen in several Cantonese adaptations.
34
Beat-form variants are found in Jiangnan sizhu as well, notably
those based upon the Liuban model (the Jiangnan equivalent of Baban),
such as Zhonghua Liuban (Moderately embellished six-beat) and Man
Liuban (Slow six-beat). Jiangnan variants derived from shorter tunes
are performed as well.
35
In the case of Jiangnan sizhu, such beat-form
variants bear the names of the model melodies and are sometimes
performed in beat-form variant suites. At any rate, they are considered
to be related variants, not new pieces.

Phrase Variation The practice of starting a variant melody at a later
phrase of the models structure, if not the most important develop-
mental technique in the southern sizhu repertoires, is certainly the most
innovative and enigmatic. In this process, some new pieces have been
created by starting the melody at the second or third phrase of the
33
The best-known Hakka beat-form variants are Xunfeng Qu (also known as Xidiao,
App. A1) and Huangli Ci. The principal Chaozhou variants are those represented in
Fig. 5.7. For other examples, see Luo 1982a.
34
Another good example is Ema Yaoling (Hungry horse jingling its bells), a moderate-
tempo expansion of the Hakka soft mode Baban and a clear demonstration of the
inuence of Hakka music on the Cantonese. Ema Yaoling is reproduced in cipher nota-
tion in App. B9. Recordings of Hantian Lei and Ema Yaoling can be found on the CDs
listed in the last footnote of this chapter.
35
For further discussion of the Jiangnan repertoire, see Gao 1981: 83ff. and Witz-
leben 1995: 58ff.
Fig. 5.8 Cantonese Hantian Lei (Thunder in the drought), melodic skeleton
Composition by Yan Laolie (c1927), showing derivation from Sanjilang
134 chapter five
qupai, thereafter following its structure and adding the initial phrase
(or phrases) to the end. This practice has been virtually ignored in
Chinese scholarship. Indeed, when comparing such variants, one scholar
attempted to show each as starting at beat 1 of the model, whether or
not the structures actually lined up at this point. In my own analysis, I
have found structural clues which must be given careful consideration
especially concerning phrase-end cadences and melodic contour. In
variants which begin at later phrases, these structural factors are of
crucial importance in determining alignment.
A number of prominent pieces begin at later phrases, notably those
derived from Baban and Liuqing Niang. For example, in some 68-beat
Baban variants, one or two of the beginning 8-beat phrases are simply
omitted. The melody starts at a later phrase, following the structure
of the model at the beginning (and sometimes well into the middle)
and adding to the end phrases equal in length to those omitted. How
this practice emerged is not clear. We do know that when the old
qupai melodies were performed in accompaniment of opera, they were
repeated over and again until the stage action required a change. It
is possible that opera musicians chose to start and stop at secondary
phrases for variety, and at some later time these phrases became xed
as beginnings of some settings. It is also possible, and more likely, that
starting points were selected by composers, and new variants thus cre-
ated. Unfortunately, at this distant perspective, our knowledge about
traditional composition must be based primarily upon analysis.
The usual location for Baban phrase variants to begin is at phrase
3 (beat 17). Shown in Fig. 5.9c are the opening phrases of the well-
known 68-beat Chaozhou piece Hanya Xishui (Winter ravens playing
in the water). The Hakka soft-mode Baban is given above this for
comparison (5.9a). It can be seen that the beginning two phrases of
Hanya Xishui closely resemble phrases 3 and 4 of Baban. Later phrases
(not shown) depart from the models structure and, at the end, two
phrases (totalling 16 beats) are added to make up for their absence
from the beginning. These ending phrases are essentially cadential in
character, and do not resemble phrases 1 and 2 of the modelat least
not in Hanya Xishui.
36

36
Hanya Xishui will receive greater analytic attention at the end of this chapter.
For the entire form of Hanya Xishui in cipher notation, see App. B2. Other examples
of this type of variation are found in the Jiangnan pipa repertoire (e.g., Yuda Bajiao, a
Baban variant).
There are examples of similar structural reorganization in the Hakka
repertoire as well. The beginning of a Baban phrase variant at phrase
2 (beat 9) would appear to be a less natural location than at phrase 3,
because phrase 2 (in Baban) is simply the repetition of the rst phrase.
Yet, this is precisely where the Hakka version of Zhaojun Yuan begins
(5.9b). Zhaojun Yuan (Lament of Zhao Jun) is an important slow
68-beat piece performed in all three southern repertoiresHakka,
Chaozhou, and Cantonese. These versions differ, however, in several
details, the Chaozhou and Cantonese versions beginning at phrase 1
of the model, the Hakka version beginning at phrase 2. As seen in
Fig. 5.9b, the Hakka melody follows the structure of Baban closely in
the opening phrases, and into the middle as well. At the end, one 8-
beat phrase is added to make up for the missing initial phrase. I know
of no other 68-beat variant beginning at phrase 2, but in the 30-beat
Liuqing Niang, phrase variants starting at different locations throughout
the structure abound.
37

37
In the Chaozhou fanxian variant of Liuqing Niang, the beginning of the variant
coincides with beat 5 of the qupai (q.v., Thrasher 2002: 236238).
Fig. 5.9 Phrase Variation
Hakka Baban form and two derived pieces, opening phrases
136 chapter five
The techniques examined above form what I have termed the varia-
tion ideal, a creative process whereby known tunes have been varied
in established ways and new-sounding melodies derived from them.
While there obviously has been an element of standardization in these
techniques, a great amount of melodic invention ourished as well,
sometimes by combining the variational methods. Among the Chaozhou
and Hakka, such melodies historically were then arranged into suites
of different types.
The Suite Forms
In all southern cultures, with the exception of the Cantonese, melodies
are ultimately combined with related variations or with other melodies,
and organized into multi-sectional suites (taoqu).
38
In the Jiangnan
and Cantonese traditions, melodies are more commonly structured in
single-section forms, which the Cantonese sometimes call short songs
(xiaoqu). Music scholars in the suite-forming Chaozhou and Minnan
cultures recognize a likely prototype of great historical importancean
early suite form known as daqu. So I wish to start here.

Daqu Suite Form Suite types have a long history in China. Emerging
in the Han dynasty and maturing in the Tang, a very inuential multi-
sectional form known as daqu (wg: ta-ch, grand song) became popular
among entertainment ensembles of the imperial court. Scholars suggest
that while daqu music was still being performed in the palaces of the
early Song period, its imperial patronage declined and the tradition was
subsequently absorbed by commoners outside of the courts.
According to the Tang poet Bai Juyi, the early Song music scholar
Chen Yang (c1100) and others of this period, daqu was organized in
three broad sections:
1. Sanxu (random introduction), a slow unmetered instrumental prelude,
with subsections
2. Zhongxu (middle introduction), a moderate-tempo set of songs with
instrumental accompaniment, in xed meter
3. Po (break away), a concluding section at fast tempo in which dance
was included, with numerous subsections.
38
This and the following qu terms are pronounced as tao-ch, syao-ch and
da-ch.
The rst section (sanxu) was a long and slow instrumental introduc-
tion. The term san (random) indicates that the music was unmetered,
a stylistic concept preserved in the suite terminology of the Minnan
and other regional traditions (e.g., sanban). Period references identify up
to six subsections in this introduction.
39
The second section (zhongxu)
is known to have been metered and performed at moderate tempo,
increasing in speed as it progressed. Most characteristic of this section
is the inclusion of song. Three subsections are identied, presumably
for the presentation of different melodies. The third section ( po) was a
lengthy conclusion, performed in increasingly faster tempos. Just as song
was added to the second section, dance was added to the third.
Of particular relevance to the musical structures of South China is
the terminology found in this nal section. Among its numerous sub-
sections, two are entitled false hastening (xucui ) and real hastening
(shicui ). While these terms are open to interpretation, the rst suggests
the impression of a quickening tempo (perhaps by way of an increase
in rhythmic density, as found in Chaozhou suites); the second certainly
refers to an actual tempo increase. Wang Wei-chen (1988: 141) sug-
gests that, according to Chen Yangs (early Song dynasty) terminology,
another subsection named hastened beat (cuipai ) may be an equivalent
term for real hastening (shicui ). Of what bearing could daqu organiza-
tion and terminology have on todays music?
The most obvious structural factor in daqu is its overall tripartite
organization, with sections of increasing tempo (slow, moderate, fast).
In all three conservative southern cultures, suites are organized in sec-
tions of increasing tempo. As suggested in Chapter Two, the particular
number of sections is primarily of numerological importance, for Chao-
zhou suiteswhich are also explained in terms of three sectionsare
regularly performed in multiple sections. Minnan suites are normally
organized in between three and eight sections. But incremental tempo
increase is common to all systems.
A second structural factor of relevance is the opening unmetered
prelude (sanxu). Unmetered preludes are found in some Minnan suites,
with others metered in a ponderous 8/4, giving the impression of being
39
For a (Chinese language) review of these sources and further information about
the subsections, see Yang 1962b/1986: 333 and Wang 1988.
138 chapter five
meterless. In Chaozhou and Hakka suites, opening sections are usually
slow in tempo, some very slow, but always metered.
Various Chaozhou and Minnan music scholars have written on
these possible relationships, with special attention given to terminol-
ogy. According to Chen Tianguo, Chen Anhua and other Chaozhou
writers, the most specic daqu concept of relevance to the Chaozhou
tradition is the presence in both traditions of the term cui.
40
As seen
above, cui (hastening) is one of several subsection terms found within
the concluding po section of daqu. This term is still employed in Chao-
zhou music, carrying a related meaning (implying a faster and highly
stylized form of variation) and prompting local scholars to suggest a
strong relationship.
41
Two other relevant daqu terms, die (repeating) and
pai (beat) will be cited below in examination of the Chaozhou suite.
However, beyond the three-part structural outline, its terminology and
several song titles and texts, little more is known about the historic daqu
tradition. The actual music, if ever notated, has not been found.
Chinese suites today are of different organizational types, the most
prominent in South China being the Chaozhou and Hakka variation
forms and Minnan chain forms.
42
These types of extended-form
organization are characteristic of the respective cultures, but with few
exceptions are not shared.

Chaozhou Variation Form The broad category variation form (bian-
zou ti), is an umbrella concept for several sub-types. In South China,
however, only one sub-type is found with frequency, the beat-form
variation form (banshi bianzou ti ).
43
(The beat-form variation process
was introduced above.) As a multi-sectional suite form, all sections are
beat-form variants of a single qupai, and organized from slow to fast.
This form is highly developed in Chaozhou chamber music, where it
is the most important suite-type principle employed. It is also found in
Hakka music, together with other forms of suite organization.
The textbook explanation of Chaozhou beat-form variation suite
form is of a three-part structure: a slow, highly embellished opening
40
Cui is pronounced as tsue; wg: tsui.
41
Some of Chen Tianguos theories are found in 1985: 34 and 1988a: 25ff.; see
also Chen Anhua 1989: 19ff.
42
Useful pioneering work on traditional forms was done by Li Minxiong (1988:
2360), though some of his terminology has proven to be controversial. For a summary
of Lis analysis, see Thrasher 2002: 234ff.
43
Banshi bianzou ti is known locally as beat-form suite (banshi taoqu).
(touban); a moderate-tempo variation with syncopations (kaopai ); and a
fast concluding variation (sanban). In practice, however, traditionally-
trained performers exercise great exibility as to whether they wish to
restrict their performance to these three sections, add other variations,
or even repeat previously-played variations. These decisions are made
by the lead instrumentalist (typically, on erxian) during performance and
followed by the other ensemble musicians.
As outlined in Fig. 5.10a, the rst variation (touban), a highly-decorated
structural augmentation of the qupai model, is played in the equivalent
of 4/4 meter and at very slow tempo. The same basic melody is then
performed two or more times, moving from 4/4 to 2/4, each variation
at increasing tempo, and each with highly-stylized rhythmic character-
istics. The last variation is called sanban, a fast-tempo section in 1/4
meter. The three primary sections are shown in boldface type.
Chaozhou suites can vary in length from about ve minutes, when
performed with a minimum number of variations, to ten minutes or
longer, when cui-type variations are performed. The order of these
variations is xed by tradition, but there is exibility as to which varia-
tion types to include. A wide range of performance practice exists from
one ensemble to another (and among soloists as well), following local
standards, instrumental idioms and performance venue. Outlined in Fig.
5.10b are the realizations of various artists, showing that beat-form
variation forms can be performed very simply with just the three pri-
mary sections (commonly heard on commercial recordings) or in more
extended realizations with as many as six, seven or eight sections.
The most representative piece in the Chaozhou great suite reper-
toire today is Hanya Xishui (Winter ravens playing in the water). It
is also now very popular among zheng performers throughout China.
44

While there is controversy over the meaning of the title, the translation
given above (or closely related) has come into common acceptance.
45

44
Hanya Xishui can be heard on many commercial recordings available in the
West, including the LPs Spring Night on a Moonlit River, Nonesuch Explorer
Series 720891 and Chinas Instrumental Heritage, Lyrichord LLST 792; and on
the CD Sizhu: Chamber Music of South China, Pan Records 2030CD. Earlier LP
recordings pressed in Hong Kong can be found on the Art-Tune Company albums
ATC-144, ATC-145 and ATC-224, some now reissued on CD. See also the Anthology
series cited in the Preface.
45
Standard dictionaries translate hanya as jackdaw, a type of crow. The term
hanya, however, most likely refers to a cormorant ( yuying), a larger species of shing
bird which works the waterways (Chen 2004). As noted earlier, titles in Chinese music
are often given programmatic interpretations, such as sh hawks playing on the river
140 chapter five
a) Standard structure and options
1. Touban (head beat) Usually performed
4/4, slow tempo with acceleration (mm 4276)
Highly embellished opening variation
2. Erban (second beat) Optionally performed
2/4, moderate tempo with acceleration (mm 80100)
Characterized by cui-type variation in continuous
16th-note patterns (double cui) or
32nd-note patterns (double repeating cui)
3. Kaopai (whipped beat) Usually performed
1/4, moderate to rapid tempo (mm c108)
Characterized by motivic fragmentation and syncopations
4. Sanban (third beat) Usually performed
1/4, rapid tempo (mm 112144 or faster)
Derived from the source melody (qupai ),
Performed either in mixed quarter- and eighth-notes,
or in double cui
5. Kaopai Optionally repeated
6. Sanban Optionally repeated
Commonly performed in double cui or single cui variation patterns
b) Selected Chaozhou suite form realizations
Three-part suite form in theory:
1. touban 2. kaopai 3. sanban
Chen Mayuan, zheng solo (c2000)short form, also performed by Li Wei and others
1. touban 2. kaopai 3. sanban
Xianshi ensemble, Shantou (1993)short form, also performed by Su Qiaozheng (1985)
1. touban 2. kaopai 3. sanban at dbl. cui
Su family ensemble (1986)moderate-length form, with ending repetition and cuiban
1. touban 2. erban at dbl. cui 3. kaopai 4. sanban
5. kaopai 6. sanban at dbl. cui
Shantou ensemble with Wang Peiyu (2006)extended form
1. touban 2. erban
3. dbl. cui and 4. dbl. rpt. cui 5. kaopai 6. sanban
7. kaopai 8. sanban at dbl. cui
* dbl. cui = double cui (shuang cui ); dbl. rpt. cui = double repeating cui (shuangdie cui ).
Fig. 5.10 Chaozhou Beat-form Variation Suite, structure and realizations
Hanya Xishui is a beat-form variation suite, loosely based upon the
68-beat Baban model. The relationship with Baban, however, is not
obvious because this piece, like the Hakka Chushui Lian, has been freely
adapted. As I have shown above (Fig. 5.9), the beginning phrases of
Hanya Xishui were drawn from the third and fourth phrases of Baban
(starting at beat 17). Hanya Xishui is set in the minor-sounding heavy
36 mode (the crying mode type), and while sol and re dominate
the internal cadence points, the nal cadence is on do. (The entire
suite is reproduced in cipher notation in Appendix B2, with an erxian
realization in B3.)
The opening measures of Hanya Xishui are transnotated in Fig. 5.11,
together with the beginnings of three variations which follow. The
overall character of this suite is established in the initial measures of
the very slow and stately touban (5.11a). The meter is in the equivalent
of 4/4 (i.e., x o o o), the tempo increasing from roughly mm 42 to 76
quarter-note beats per minute.
46
Note in this example that, within the
crying mode structure, the pitch position of la (d'') appears frequently
in the upper octave but, in the lower octave, ti (e') is the dominating
pitch. As seen in the earlier analysis of the Hakka Chushui Lian (Chapter
Four), this particular high octave-low octave pitch difference is fairly
consistent with other melodies in the crying mode form. What is fur-
ther, at several points during the touban there are brief phrase-length
modal shifts ( jiaoti ), where the pitch position of mi dominates and fa
serves merely as a neighboring tone (as seen at beat 64, second line of
Fig. 5.11a).
The touban, in theory, is followed by the variations kaopai and sanban.
In practice, however, ensembles commonly perform an intermediary
variation called erban (second beat). Erban variations are usually metered
in 2/4 (i.e., x o), the tempo increasing throughout the section. In some
performances, erban sections are simply faster versions of the touban.
But the primary melodic characteristic of erban is one of varying the
touban melody with improvised patterns of pitch reiteration and con-
junct pitch alternations (using upper neighboring tones) in continuous
on a cold spring day, after they have caught the sh for the shermen (Lai 2006: 23).
One highly imaginative interpretation appears in the jacket notes of the Lyrichord LP
cited in the preceding footnote: In a winter morning, a lone raven helplessly hovers
over the water. At last, another raven comes to join her mate. Thus, they begin to sing
joyfully, and nally disappear together beyond the horizon. For other less romanticized
interpretations, see Chen Anhuas analysis (1989: 21).
46
The numbers above the transcriptions identify overall metric structure.
142 chapter five
sixteenth-note movement (Fig. 5.11b). This type of variation, which is
characterized by an increase in rhythmic density, is known locally as cui
(hastening)the same term found in Tang daqu form. In Chaozhou
practice, different varieties of cui improvisation are employed. When
the melody is sketched in sixteenth-note patternswhich is most com-
monthe style is called double cui (shuangcui, 5.11b); when in thirty-
second-note patterns, double repeating cui (shuangdie cui, not shown).
47

Performers may choose one or the other of these patterns, or play
both in sequence (q.v. the realizations of Wang Peiyu in Fig. 5.10b). In
theory, each variation is maintained for the entire 68-beat pattern. In
47
Within ensembles, some performers have stylized ways of realizing cui patterns.
For example, performers of pipa and sanxian typically play reiterated afterbeats on
specied pitches (not shown), rather than the conjunct alternations seen in Fig. 5.11b
and 5.11e. For further information on this heterophonic detail, see Chen 2001 and
Dujunco 1994: 95ff. Chen Anhua, in his attempt to demonstrate a structural relation-
ship between Hanya Xishui and Tang-Song daqu, also cites several types of cui patterns
used by different performers (1989: 1925).
Fig. 5.11 Chaozhou Hanya Xishui (Winter ravens playing in the water)
Cui and other melodic patterns for four variations
practice, skilled performers often change to the next variation pattern
as the tempo increases, this as a cueing signal to set up the following
variation.
The variation known as kaopai (literally whipped beat) is nearly
always performed in Chaozhou suites, and it is well standardized in
performance detail among ensembles (5.11c).
48
Normally metered in
1/4 (i.e., x x etc.), with the quarter-note beat played at about mm 108,
its distinctive melodic characteristic is one of motivic fragmentation
(in creation of fragments two or more beats in length), alternating
with single eighth-note afterbeats. These highly stylized, essentially
syncopated patterns are usually maintained for the entire 68-beat
variation.
The last variation, sanban (third beat), is always metered in 1/4
and performed at faster tempo than that of the kaopai (between about
mm 112 and 144, or faster). In early collections of Chaozhou music
(such as Zhang 1958), sanban variations are notated in mixed quarter-
and eighth-note rhythms (5.11d)a sensible practice in terms of
theory because it is the sanban which most closely reects (and in most
instances is derived from) the mother tune for each suite (i.e., the qupai
basis). Some ensembles do play the nal variation in this style. In most
performance practice, however, Chaozhou musicians treat the sanban
as another opportunity for cui-type melodic invention, lling in the
melodic skeleton with continuous sixteenth-note double cui variations
and conjunct pitch alternations (5.11e)similar to the melodic style of
the erban, but at faster tempo.
49

Finally, at the performers discretion, the kaopai and sanban variations
may be repeated. Thus, while Chaozhou suite form is usually outlined
in terms of three principal variations, performers may add variations
(such as erban), repeat one or two variations (kaopai, sanban), and further
vary erban and sanban sections with cui variations, according to their
preferences.
Other Variation Forms Hakka instrumental music is organized in a wider
variety of structures. It will be remembered that their Baban-based pieces
48
The term kaopai (whipped beat) is sometimes identied by Chaozhou musicians
as kaoda (whipped-hit), these two terms pronounced the same in Chaozhou dialect
(Chen 2004).
49
Sometimes performers will opt to play eighth-note single cui variations at this
point, but double cui types are most common.
144 chapter five
are called great melodies (dadiao), rather than great suites (datao), the
Chaozhou term for this part of the repertoire. Indeed, several of the
best known pieces in the Hakka repertoire (Yulian Huan, Yashan Ai, Zhaojun
Yuan) may be simply played once at slow tempo and, if repeated, then
at the same tempo or slightly faster. Their beat-form variation suites,
in comparison with the lengths and complexities of Chaozhou suites,
are generally shorter and of more simple design. Collections of Hakka
music (such as Guangdong Hanyue Sanbai Shou, Luo 1982a) tend to notate
only two performance speeds: an opening section at slow tempo (man-
ban), followed by a variation at moderate tempo (zhongban). In practice,
however, other variations are often added, including kaopai-type synco-
pated variations (which are not identied as such) and ending variations
in which the strong-beat melodic notes are played in alternation with
xed pitches (such as in alternation with sol). Therefore, while Hakka
suites appear to be conceptualized in just two basic sections, the above
variations may be inserted or the zhongban variation repeated at faster
tempo. As in Chaozhou practice, these decisions are made during per-
formance, following the style of the lead instrumentalist.
Other types of organization are found in Hakka music as well. For
example, the famous piece Chushui Lian (Chapter Four) is often per-
formed as a suite not by adding beat-form variants but by performing
a version of Baban at the end, and then repeating Baban once or twice
at increasing speeds.
50
In this manner, a simple type of chain form is
created, whereby one melody is followed by another (the chain form
introduced below).
A second variation form suite-type found occasionally in southern
music is modal variation form (diaoxing bianzou ti, this process also
introduced earlier in the chapter). In Chaozhou practice, several types
of modal variation form are found. The form most often heard is
based upon the local modal system, rather than upon the transpositional
wusheng system. In this form, a short qupai tune is rst performed in the
original mode, usually light 36, after which versions in the other local
modessuch as heavy 36are played, all without tempo change.
The short qupai tune Liuqing Niang (Fig. 5.1) is a favorite for this type
of performance. Baban, however, is not normally expanded into a suite
in this manner (Chen 2004).
50
I have not heard Baban used as an ending section in Chaozhou suites, except in
suites bearing this name (e.g., Da Baban).
Among Hakka musicians, a few short qupai tunes are treated to a
type of modal variation form, where the melody is initially performed
in the original mode, then actually transposed up in fths to the other
pentatonic pitch positions in sequence and performed as a suite, again
without tempo change. The short piece Yidian Jin (A piece of gold),
introduced earlier in this chapter (Fig. 5.6), is one of several pieces
transposed in this manner. (The entire ve-part suite form is reproduced
in App. B5.) Similarly, Chaozhou musicians perform this same reper-
toire in transpositional suite forms, both at pentatonic and heptatonic
pitch positionsthe former being more prevalent. Transpositional suite
organization, however, occupies a relatively minor position in both
repertoires and is heard infrequently.

Chain Forms Chain forms (lianqu ti ) are especially characteristic of
Minnan music. In Minnan nanguan, most (but not all) suites consist of
several or more different qupai melodies in a chain, normally linked
sequentially in tempo sections from slow to fast, and often starting
with an un-metered prelude known as sanban (random beat)not to
be confused with the Chaozhou term sanban, which refers to the third
section. As mentioned above, Minnan scholars also believe that the
Tang daqu form (with its un-metered prelude, sanxu, and accelerating
tempos) may have served as the prototype for their present-day chain
form.
Two types of chain form organization are found in Minnan music:
1) the consecutive juxtaposition of different qupai themesan example
being the well-known suite Meihua Cao (Plum blossoms), in which
four different themes (actually performed in ve sections) are stated in
tempo groupings from slow to fast; and 2) the consecutive arrangement
of different qupai themes separated by similar sounding interludesan
example being Qishou Ban (Starting beat), with ve different melodies
similarly arranged from slow to fast.
51
As noted above, the Minnan
chamber repertoire is idiosyncratic in South China, an unusual preser-
vation of palace entertainment music from the distant past. Since it is
not a mainstream tradition outside of the Minnan region, with virtually
no cross inuence with Chaozhou, Hakka or Cantonese traditions, it
51
Meihua Cao is widely available on commercial recordings, including the LPs The
Music of China II, Anthology AST-4002 and The Music of Nan-Kuan, First
Records (Taiwan) FM-6028; and on reissued CDs. Qishou Ban can be found on the CD
Sizhu: Chamber Music of South China, Pan Records, 2030CD.
146 chapter five
will receive no further discussion here. In fact, the Hakka sometimes
perform two or three melodies together in a chain,
52
but this practice
is not commonly heardand it bears no immediate resemblance to
Minnan practice.

Hybrid Forms There are yet other forms of suite organization in China,
the most signicant being the cyclic forms (xunhuan ti), in which two
qupai-length themes alternate with little or no tempo change. Such
forms are not generally found in the South.
53
In several Cantonese
pieces, however, an embellished qupai-length theme is stated at slow
tempo, followed by an unrelated coda-like theme at fast tempo. There
are two classic Cantonese examples of this form, Zhaojun Yuan (Lament
of Zhao Jun) and Shuangxing Hen (Regret of the double stars).
54
The
slow-tempo (4/4) beginning of Shuangxing Hen, with its shifting modal
orientations, was examined in Chapter Four. The ending is a fast-
tempo (1/4) coda-like mini-section, played once at moderate tempo and
repeated twice at increasing speeds (q.v., App. B8). This form bears a
resemblance to the Hakka practice of playing the slow Chushui Lian,
followed by a moderate-tempo version of Baban. I have heard this type
of short form in other Hakka repertoire as well, and suspect that it is
the source of the above-described Cantonese form. For the most part,
however, the Cantonese repertoire is mono-sectional in form, the older
layer of repertoire following the organization of their respective qupai
models (such as Hantian Lei ), the newer compositions of the early 20th
century tending to be in individualized forms.
52
These include Dandian Tou followed by Luancha Hua; and Chushui Lian followed
by Yashan Ai.
53
There are at least two sub-types of cyclic form found in central-eastern China:
1) Chenda form, in which two melodies alternate from beginning to end, as in the
Jiangnan suite Nishang Qu; and 2) Hetou form, in which one short melody serves as a
rondo theme separating thematically different melodies, as in the Jiangnan piece Sanliu
(q.v., Li 1988: 2360).
54
A third, more popular example is the 1946 composition by Cui Weilin, Chanyuan
Zhongsheng (Bell ringing in a Buddhist courtyard). Unfortunately, these Cantonese
classics are not widely available on western recordings. But a good recording of Zhaojun
Yuan is included on the CD Sizhu: Chamber Music of South China, Pan Records
2030CD. Historic recordings of all three pieces have been reissued on the eight-
volume CD set, An Anthology of Chinese Traditional and Folk Music: Guangdong
Music, China Records CCD-92/179 through CCD-92/186. Volume 3 in this series
(CCD-92/181) is recommended. Another reissue of historic Cantonese recordings is
Favourite Traditional Cantonese Music, a two-disc CD set issued by ROI Productions,
RB-9910142C.
So, given the southern number-based systems of organization and vari-
ous practices of deriving new material from the old, I believe that traces
of Confucian ideology can be found in some musical structuresbut
only traces. The true depth and breadth of Confucian ideology is most
clearly manifest in areas of performance practice and aesthetics, subject
of the last chapter.
CHAPTER SIX
BIANZOU: PERFORMANCE PRACTICE AND AESTHETICS
The higher the quality of the music, the fewer its
supporters will be
(old Chinese saying)
Ruyue [Confucian literati music] is slow, elegant, and
encourages good behavior
(Chaozhou saying)

In this book I have examined the prevailing traditional Chinese ideolo-
gies and a core of related (and sometimes unrelated) structural elements
in southern music, with the ultimate goal of holistically theorizing these
traditions. The downward promotion of Confucian doctrine, emergence
of philosophical cross-currents, and some observable manifestations of
these ideologies in the structures of southern music have already been
discussed.
This chapter is about performance practice, musical behavior and
belief. I begin with an analysis of the interactive principles of perfor-
mance variation, and continue with observations on how this practice
may be seen as a function of social interaction. An understanding of
local concepts such as ruyue and xiehe will facilitate this analysis. Fol-
lowing this, I conclude with a broad-based discussion of the values
and aesthetic ideals underlying traditional music and of the ways these
are seen by local musicians as cultural demonstrations of Confucian
ideology and other trends.
Variation in Performance Practice
The southern instrumental repertoires are large, numbering many
dozens of pieces in each tradition, but those in regular performance
fall within the range of about fteen to twenty. Each tradition has a
smaller group of very well-known pieces which have especially strong
cultural resonance and are performed over and again.
1
How do skilled
1
For the Chaozhou, this group includes Hanya Xishui (above all), Da Baban, Pingsha
150 chapter six
musicians sustain interest when there is so much repetition in perfor-
mance? Aside from the fact that some will change instruments between
pieces, the principal reason is that musicians attempt to vary the details
of their performance each time they play. Thus, performance is more
than mere repetition of the old tunesit is creation as well.
Performance creation is generally known as bianzou, variation, the
same term used in identication of structural forms (q.v. Chapter
Five).
2
As noted in Chapter Five, several Chinese authors have written
on variation though usually with emphases upon organizational prin-
ciples. The following discussion will focus upon bianzou as performance
practice.
At least two conditions are necessary for the success of Chinese
performance variation. First, the melodies must be well known to the
musicians. As seen in Chapters Four and Five, the southern chamber
repertoires are based upon a group of old qupai tunes which have been
expanded or varied in any of several ways. Performers are so familiar
with these tunes that they do not use notation. In the traditional per-
formance setting, the use of notation would inhibit the imaginations
of performers and destroy an essential ingredient of the music.
As a second condition, the musical system itself must be exible
enough to accommodate variation. The texture of Chinese music is
heterophonic (zhisheng ti ). When viewed in comparison with Western
homophony and its harmonic complexities, heterophony is sometimes
assumed to be a rather simple system. As a result, it has not been
treated critically in either Chinese or Western scholarship. In practice,
however, Chinese heterophony is a system of great sophistication, in
which all musicians perform the same basic melody with simultaneous
variations suitable to instrumental idioms andthis is keyin accor-
dance with established principles of the texture. These principles will
be introduced below.

Luoyan, Liuqing Niang, and several others. The most culturally signicant Hakka pieces
include Chushui Lian, Yulian Huan, Xunfeng Qu, Xixiang Ci and Yashan Ai. Among the most
highly valued in the Cantonese repertoire are Pinghu Qiuyue, Hantian Lei, Yuda Bajiao,
Shuangxing Hen, Chanyuan Zhongsheng, Yule Shenping, and Zouma.
2
Bianzou is pronounced as bian-dzou; wg: pian-tsou. In translation, the term
improvisation is less appropriate because of its imprecise Western-language meaning
(often taken to mean free, unstructured invention). Similarly, the term embellishment
is inappropriate because it suggests a stylistic addition, something to be added if time
permits.
BIANZOU : performance practice and aesthetics 151
Reinforcing this texture is the pentatonic modal structure. The Chi-
nese pentatonic structure, with its consonant major 2nds and minor
3rds and absence of harmonic foundation, permits a wide degree of
latitude for pitch substitutionan essential feature of the variation pro-
cess. In other musical systems, such as those based upon homophonic
texture and heptatonic scale organization, the exibility to perform
concurrent variations by all or most musicians would necessarily be
more restricted because of the functional separation between melody
and accompaniment and the strength of the harmonic underpinnings
(which limit the choice of substitute pitches). The heterophonic and
pentatonic systems allow performers the exibility to contribute in dif-
ferent and varied ways.
Performance variation is a process based upon several principles.
It is generally understood that musicians retain in their memories a
basic skeleton of each piece of music (melodic shape, key motifs and
beat structure). The basic melody is known as main melody (zhudiao)
or, in academic circles, melodic skeleton (guganyin). The melodic skel-
etonwhich is often the qupai tune itselfbecomes the foundation
upon which variations are created.
A useful way to see this process is by examination of early notations.
Most historic notations are essentially skeletal notations (q.v. Fig. 4.6). In
more recent 20th-century skeletal notations, however, greater melodic
detail is usually given, including short motifs in eighth and (sometimes)
sixteenth notes. So, melodic skeletons may exist in multiple versions.
Four skeletal versions of the opening measures of the Chaozhou piece
Hanya Xishui are shown in Fig. 6.1. The rst (6.1a), a transnotation from
gongche notation of a Qing dynasty manuscript (Hong, 19th century),
gives the melodic outline in the equivalent of quarter and half notes.
3

The three skeletal versions shown below this (6.1b, 6.1c and 6.1d), trans-
notated from the cipher notations of various 20th-century collectors,
4

reveal greater rhythmic activitybut still, these are not performance
realizations. In examining these four versions, note that while there
are a number of pitch differences on beats 2 and 4 (of each measure),
on beats 1 and 3 there is absolute correspondence from one version
3
The Hong manuscript notation appears in App. A2.
4
Fig. 6.1b is from the notated collection of Zhang Hanzhai (1958); Fig. 6.1c is based
upon another collection by Liang Tsai-ping (1977); Fig. 6.1d is from Chen Tianguo
(2001, q.v. App. B2). All transnotations from traditional Chinese notations (gongche and
cipher systems) are my own.
152 chapter six
Fig. 6.1 Hanya Xishui, opening phrase of touban section
Melodic skeletons and selected interpretations (for ornaments, see Fig. 6.4)
to anothera consistent feature in Chaozhou performance variation
practice. The issue of beat structure will be addressed below.
In performance, ensemble musicians elaborate upon (or vary) the
skeletal melody. The process of adding owers ( jiahua) has been
described in earlier chapters. Again, jiahua is a general term used in
reference to the addition of melodic interpolations, as if (using another
metaphor) putting esh on the bones of the melody. Surprisingly little
has appeared in recent Chinese scholarship regarding the creative
side of this subject, but two early 20th-century publications are note-
worthy. The rst is Xiange Bidu by the Cantonese scholar-composer Qiu
Hechou (1917). This is primarily a collection of notated instrumental
and vocal music popular in South China during the early years of the
Melodic Skeletons
Selected Interpretations
20th century. In his preliminary notes (1917: 39ff.), Qiu notates twenty
selected short motifs, together with suggested variations for use in
performance. The rst page of these variations is reproduced in Fig.
6.2, together with a transnotation into staff notation. Unfortunately,
Qiu suggests only one variation for each motif. Musicians actually play
with much greater exibility. Another later attempt to document basic
performance variations is that of the Cantonese scholar-composer Chen
Deju (1957: 6ff.), who outlines a more systematic table of performance
options, differentiates among the pentatonic intervals (notating varia-
tions for seconds, thirds, etc.), and suggests options with and without
the non-pentatonic pitch positions of fa and ti.
In Chaozhou practice, there are other variation techniques as well,
especially rhythmic variations, which are not thought of as owers.
As examined in Chapter Five, the Chaozhou variation types known as
cui (hastening) are sectional patterns, essentially rhythmic variations
which differ from one section to another (e.g. touban, kaopai, etc.). While
cui variations are improvised, they are highly formulaic (based upon the
general melodic characteristics of each section) and consequently of
greater structural signicance than owershence their presentation
in Chapter Five.
Performance Variation Types
Performance variation is governed by a number of guiding principles,
guil, which I will translate as inner rules. Some principles are strictly
followed. In the Chaozhou and Hakka repertoires, the exact lengths
of pieces are identied (by the number of beats in each) and internal
beat structures are observed with precision. In the Cantonese repertoire,
as in the Minnan, lengths are not identied, but other principles are
evident. Since such a large portion of the Cantonese repertoire has
been created by known composers, and this repertoire often notated in
detail, musicians tend to reproduce these nuances with fewer ower-
type variations than practiced elsewhere.
As seen in Chapter Four, to the standard sol-la-do-re-mi pentatonic
structure, fa and ti are commonly added as neighboring or passing
tones. These extra-modal pitches are freely employed by all instrumen-
talists. But usage of fa and ti in substitution for other pitches is generally
reserved for specic, commonly-agreed locations in the music.
154 chapter six
Fig. 6.2 Melodic motifs and performance variations
Gongche notation from Xiange Bidu (Qiu 1917); contemporary transnotation
Performance key is another constant. Chaozhou and Hakka ensemble
music is normally performed in F, Cantonese ensemble music in C.
5
As
noted in Chapter Four, all cultures recognize the convention of fanxian
(reverse string), in which selected melodies can be transposed to a
fourth or fth higher (Chaozhou, Hakka) or simply composed a fth
higher (Cantonese). These factors are also xed by tradition.
For the inner rules of performance variation, only a few authors have
attempted to document this subject,
6
and their discussions tend to be
brief and usually fail to differentiate among variation types. Therefore,
I will put forward my own three-part explication based primarily upon
observation. Performance variation can be divided into three types: 1)
idiomatic variation; 2) interactive variation; and 3) interpretive (or cre-
ative) variation. These types are different enough to allow for separate
examination. In practice, however, their principles are inter-related to
a considerable degree.
Idiomatic Variation The sound ideal in a Chinese chamber ensemble
requires heterogeneous distribution of instrumentsthat is, instruments
of mixed timbres together in one ensemble. One instrument per part is
the norm. Associated with each instrument type are specic idiomatic
techniques which distinguish that instrument from the others. Briey
outlined in Fig. 6.3 are the ensemble roles and performance charac-
teristics of the major instruments. For example, various nger articu-
lations, trills and fast passage work can be played with ease on utes.
On stringed instruments, these embellishment types are not utilized,
but other distinctive techniques are common, such as portamentos on
bowed strings and reiteration of pitches (or tremolos) on plucked and
struck strings. When these instruments are performed together, their
combined idiomatic techniques form one essential part of the hetero-
phonic texture.
Idiomatic realizations of four instrumental parts for the opening
phrase of Hanya Xishui are shown in Fig. 6.4. The most characteristic
of techniques for the erxian (ddle) are the grace notes, legato phras-
5
The zheng in both Chaozhou and Hakka traditions is sometimes tuned to G instead
of F. In Cantonese music, C is understood to mean sharp C or C plus about 20
cents.
6
Gao Houyong (1981) has led the way, though his examples are drawn mostly from
Jiangnan sizhu. For Chaozhou music, see Chen Tianguos Chaozhou Xianshi Chuangji
(2001: 13ff.), in which performance variations for numerous interval combinations are
suggested.
156 chapter six
INSTRUMENT INSTRUMENTS IDIOMATIC
TYPES TECHNIQUES
Flutes di and xiao (used occasionally *range: two octaves
(transverse, in the string music of *distinctive nger techniques
vertical) South China) such as yiyin, dayin,
dongxiao (essential in nanguan) trills and turns
qudi (essential in Jiangnan *rhythmically-dense variants
sizhu)
Lead bowed ddles erxian (Chaozhou xianshi ) *range: one octave plus
touxian (Hakka sixian) *portamento types (huayin)
gaohu (Cantonese yinyue) *melodically active
erhu ( Jiangnan sizhu)
Supporting ddles yehu (Chaozhou, Hakka) *performance of simplied
tihu (Hakka) parts in support, often of
zhonghu (Cantonese, Jiangnan) melodic skeleton one
erxian (Minnan nanguan) octave lower
dahu, cello (bass instruments)
Plucked lutes pipa (all cultures) *range: two to three octaves
qinqin (Chaozhou, Cantonese) *extended nger rolls (lunzou)
sanxian (all cultures) *portamento from string push
zhongruan (used occasionally) *octave pitch reiterations
Zithers zheng (Chaozhou, Hakka) *range: three octaves plus
*portamento types (huayin)
*descending glissando (liyin)
*melodically active in solo
Dulcimer yangqin (Chaozhou, Hakka, *range: three octaves plus
Cantonese, Jiangnan) *tremolo-type rolls
*octave pitch reiterations
Percussion paiban types (Minnan, *time-marking techniques
Jiangnan)
nanbangzi woodblock types
(Chaozhou, Hakka,
Cantonese)
small bells (all cultures)
Note: the sheng mouth-organ, regularly employed as a supporting instrument in Jiangnan
sizhu, is not used in the common-practice traditions of South China.
Fig. 6.3 Sizhu instrument types and idiomatic techniques
ing, string inections and especially the portamentos of varying types
(ascending, descending, returning). For the pipa, melodic realization in
this example appears to be more skeletal in nature (with movement in
eighth notes), but its idiomatic techniques are also distinctive, includ-
ing nger rolls (short and long), use of harmonics on selected pitches,
and occasional note bends (effected by the pushing or pulling of a
string laterally across a given fret). Sanxian techniques are generally less
complex, but this instrument projects through the texture due to its
lower range, banjo-like sound quality, frequent octave reiterations on
afterbeats, and thick rhythmic density due to the use of rapid tremo-
los (pitch reiterations) on notes of both long and short duration. The
zheng realization is primarily supportive of the other strings, utilizing
octave reiterations and occasional portamentos and pressed vibratos
(nearly always on fa).
7
So, idiomatic variation emerges from differing
performance techniques.
Interactive Variation The second type of heterophonic variation arises
from the relationship of instruments to each other and the dynamic of
their interaction. In all southern ensembles, roles of melodic leader-
ship and support are considered essential to the texture. In Chaozhou
xianshi, for example, the erxian ddle is the lead instrument, though the
plucked/struck strings pipa and yangqin are often melodically active as
well. Supporting the erxian with a more basic melodic line is the yehu
or other medium-pitched ddle. Supporting the pipa and yangqin are
lower-pitched lutes such as qinqin, sanxian and/or zhongruan. In Cantonese
music, it is usually the gaohu (ddle) and yangqin which perform elaborate
variations; other stringed instruments occupy supporting roles.
8

All instruments typically perform variations of the skeletal melody
which, to be effective, must be performed in interaction with other
instruments. At the root of this practice is the principle known as
complex-simple ( fanjian fa), in reference to the heterophonic divi-
sion of a melody into simultaneous variations of greater and lesser
complexity. In practice, musicians say that the textural ideal should
7
The zheng, of course, is also a solo instrument of major importance and, when
played solo, other idiomatic techniques are employed as well (q.v. Fig. 4.1 and discus-
sion in Chapter Four).
8
In Minnan nanguan, the dongxiao (ute) and pipa are the lead instruments. While
the basic melody is performed on the pipa, the dongxiao player usually adds owery
ornaments. Supporting this texture with simplied parts are the sanxian and (Minnan-
style) erxian.
158 chapter six
Legend of ornaments other than common notational conventions:
Fig. 6.4 Hanya Xishui, heterophonic realizations of the opening phrase
Transcription of four parts, together with melodic skeleton.
Source: Chaozhou Xianshi Chuanji (Chen 2001)
= portamento on a single string
= note bends or inections due to nger movement

= strong vibrato ( yaoyin)
= tremolo or pitch reiteration
= nger roll (on pipa, sanxian lutes)
= harmonic ( pipa)
be complex above, simple below (shangfan xiajian), meaning that the
higher-pitched instruments dominate with active melodic realizations
and the lower-pitched instruments support in more basic waysoften
simply sketching the melody. The resultant effect is one of contrast
between complex and simple (or active and passive) forms of the
same melody performed simultaneously. This performance practice is
quite widespread in China.
9
For Chaozhou music, Chen Tianguo sees
this dynamic as another manifestation of yin-yang philosophy, in which
passive and active melodic realizations are mutually complementary,
as the forces of yin and yang are harmonious (1998: 152). An example
from the Chaozhou repertoire was already seen in Fig. 6.4, where the
erxian and pipa are shown in active roles, while the zheng realization is
more passive.
Complex above, simple below, however, is merely an ideal, or a
soft inner rule. In practice, all instruments participate in this type of
variation. For example, tradition does not prohibit an especially skilled
performer of qinqin or sanxian from playing a more active role, though
such increased activity from a low-pitched instrument tends to be lim-
ited to short motifs or phrases, and theoretically must be performed
in interaction with the lead instruments. The opening phrase of the
Cantonese Shuangxing Hen (Regret of the double stars), reproduced
in Fig. 6.5, shows the heterophonic realizations of three instruments
gaohu, yangqin and qinqin.
10
Note the increased rhythmic activity in the
qinqin part near the end of the rst full measure, and in response to
similar activity in the yangqin part two beats earlier. In this process,
interactive variations are performed by musicians listening to each other
and spontaneously creating complementary melodic variants. Rhythmic
motion is divided among instruments as well, the resulting ensemble
texture becoming one of nearly continuous movement, occasionally
even concealing weaker cadences.
11
9
Musicians from the Jiangnan region say if I [play] simple, then you [play]
complex (wojian nifan) and its reverse, if I [play] complex, then you [play] simple.
For further information on Jiangnan heterophonic practice, see Witzleben 1995: 89ff.
and Thrasher 1993a: 420.
10
Shuangxing Hen was introduced in Chapter Four, and a transcription in cipher
notation of the entire piece appears in App. B8.
11
For a useful examination of interactive variation techniques in Jiangnan sizhu,
see Gao Houyongs Minzu Qiyue Gailun (1981: 97ff.). In addition to the complex-
simple principle, Gao discusses several relatively new techniques, notably the broken-
unbroken principle (where one instrumentalist temporarily interrupts or breaks his
forward movement with rests while another instrumentalist continues playing the
160 chapter six
Interpretive Variation It has been mentioned that instrumentalists
Chaozhou and Hakka in particularattempt to vary performance
details each time they play. This type of variation may be identied
as interpretive, or even creative, because it is more individual in
nature and sometimes inuenced by a performers mood. Accepting the
principles of idiomatic performance and ensemble interaction, a per-
former may also invent variant forms of melodic motifs or phrases
again, following certain inner rules regarding modal structure, metric
structure and proper melodic style.
The issue of good melodic style was outlined at the beginning of
Chapter Four. To review: performers of lead instruments should create
twisting melodic contours. While this is partly effected by adding melodic
interpolations (owers), performers may also freely substitute other
pentatonic pitches for weak (unaccented) notesthough opening motifs
tend to remain more stable. The melodic goal is to create a wave-
like, undulating contour that is constantly turning back on itself. Older
performers tend to follow the ideal of moderation, assuring that their
variations are interesting but not overdone. Moderation is still a valued
ideal in traditional expressive culture, and overly-showy performance is
melody) and various alternation principles (such as the canonic imitation of phrases
and free motivic imitation). These variation techniques are only occasionally heard in
the traditions of South China, and then by conservatory-trained musicians and some
professionals.
Fig. 6.5 Shuangxing Hen, heterophonic realizations of the opening phrase
Transcription of three parts, together with melodic skeleton.
Source: Guangdong Yinyue Erbai Shou, 2003: 15 (q.v. Chapter Four)
considered to be in bad taste. The ideal melodic motion is essentially
conjunct (major 2nds and minor 3rds within the pentatonic framework).
Small intervallic jumps, which are appropriate to the older style, are
usually followed by a step back in the opposite direction, though some
conservatory-trained performers employ greater imagination in their
interpretations.
12

These various characteristics can be seen in the several interpretations
of Hanya Xishui transcribed in Fig. 6.1. Of the examples shown, the
most moderate realization is that of Chen Mayuan (6.1e). Mr. Chen,
a resident of Shantou, is a locally-renowned zheng performer and cal-
ligrapher. As an older musician in his mid-80s and knowledgeable of
conservative values, his interpretation is plain in the extremeand very
close to the melodic skeleton transcribed in 6.1a. Chens performance
style closely reects the values and aesthetics of the amateur ideal
(examined in the next section of this chapter). Among the other real-
izations, that of Su Qiaozheng (6.1g) is more animated with melodic
interpolations and varied by a shift to the lower octave (measures 3
and 4). Ms. Su, who is the daughter of the famous Chaozhou zheng
master Su Wenxian, and an instructor at the Xinghai Conservatory
of Music (Guangzhou), performs in a more virtuosic conservatory
style, using a 21-string zheng with extended bass range. Moving yet
further away from the older ideals is the realization of Li Wei (6.1h).
Mr. Li, a young conservatory-trained Chaozhou musician, performs
in a still more imaginative and dramatic style, employing occasional
jagged contours, heavier vibratos (measure 2), and greater movement
throughout. While Chen Mayuan is a highly respected musician in the
old school, Su Qiaozheng and Li Wei think of themselves as concert
artists and, as such, they have moved away from the old ideals.
13
Note
again, however, that the main thrust of creativity occurs over beats 2
and 4 (and selected afterbeats), the ur-pitches on beats 1 and 3 remain-
ing unchanged throughout.
12
Some of these stylistic ideals are examined by Gao Houyong (1981: 223, 231)
and Chen Tianguo (1985: 42).
13
The above excerpts have been transcribed from the following recordings: Chen
Mayuan, from a double CD entitled Chao Zheng Guyun, released in 2003 by Shantou
Haiyang Recording Company (ISRC CN-F170333500/A.J6); Su Qiaozheng, from
Volume 7 of The Anthology of Chinese Traditional and Folk Music, Chaozhou Yinyue: Xiyue,
issued by the China Record Company, 1993 (ISRC CN-F139337600/A.J6); Li Wei,
from the 1993 CD Guzheng Shi Damingqu, released by Guangdong Record Company
(ISRC CN-F189332000/A.J6).
162 chapter six
There is another side to interpretive variation, one deriving from
emotive and other associations made by performers in the realization
of musical spirit (quyi ). Such associations and their impact on inter-
pretation are more pronounced in some regions (Cantonese, Jiangnan)
than in others (Chaozhou, Hakka). This aspect of interpretation will
be examined in the following section on values and aesthetics.
The Chinese system of heterophony, therefore, is the result of not
one but several types of variation. These types function together as an
organic whole to form the traditional sound-ideal. The essential ele-
ment in performance, and one that gives Chinese chamber music its
richness and vibrancy, is the spontaneity with which such decisions are
made. Good performers, playing without notation but with a thorough
understanding of local performance principles, improvise these varia-
tions. Thus, every performance is different in detail.
What effect has formal musical training had upon performance? In the
traditional setting, the decision to create variations and interact with
other musicians is made impromptu and during actual performance.
There are still a number of traditionally-trained musicians who perform
in this way, some active in the local music clubs, others as instructors
in the music conservatories. Another larger group of younger, conser-
vatory-trained musicians emerged during the late 20th century. These
musicians learned by imitating the variations of their conservatory
instructors. As well, some variations by famous performers became
well knownespecially if legitimated by appearing on recordings or
in published transcriptionand these also became widely imitated.
Many younger musicians have been satised with being able to perform
the variations of others and have stopped at this point (Chen 2004).
A smaller number have moved through this imitative stage into that
of creation. The Chaozhou musician Wang Peiyu, in explaining his
own development, states that at the beginning of his career he also
imitated the variations of his teacher. Then, after learning the older
traditional system and becoming established as a performer, he began
to create his own variations. Other creative performers have succeeded
in bridging this gap as well, though my impression is that this number
is relatively small. A major difculty, of course, is in shifting from the
visual orientation of following the transcriptions of others to the aural
orientation of changing performance details and creating variations.
For those who have made the change and for the traditionally-trained,
variation is the life-blood of the music and one of the primary deter-
minants of good performance style.
Values and Aesthetics: the Rujia Ideal
Because of well-established differences in class values and the functional
varieties of music, the Chinese value system contains different and
seemingly oppositional ideals. In some areas, the common people have
embraced the core values of Confucian scholars (rujia); in other areas
they have resisted these values. Important aesthetic differences exist
among the various music genres as well, as between open-air ceremonial
types and rened chamber types of the teahouse and clubroom.
When referring to the rened qualities of traditions such as the small
chamber music types, especially Chaozhou xiyue, Hakka qingyue and
Minnan nanguan, local musicians say this is music of the (Confucian)
literati (ruyue). To what qualities does this term refer? In response to
my questions about the specic nature of ruyue, I received a variety of
answers: that the tempo must be slow; the tonal system, pentatonic; the
expression, elegant; the purpose, for self entertainment and cultivation
(but not for nancial gain); the function, to encourage upright behavior,
higher thought and social harmony.
14
In these admissions of Confucian
identication, it became clear to me that musicians individually had
only a limited understanding of the historic Confucian literature and
the role of the literati in dissemination of this ideology. But this was
understandable since Confucianism has undergone numerous, and
not always consistent, interpretations since the historic revivals of the
Han, Song and late-20th century. My informants were explaining
Confucianism in action as they understood it.
That social harmony (xiehe) would be identied is signicant. The
Chinese term xiehe
15
(harmonious) suggests a sense of concordance or
social agreementa major Confucian goal. Could there actually be
a musical manifestation of social harmony? Musicians say as much.
In the southern cultures, the instrumental traditions are primarily
ensemble traditions, rarely performed by fewer than three musicians,
normally with between ve and eight. During my interviews, I found
that performers of ensemble instruments often felt ill at ease when asked
to demonstrate a section of music without other musicians playing as
well, and some performers would not attempt it. The notable exception
14
Musicians and scholars interviewed about the qualities of ruyue include Chen
Tianguo (Guangzhou), Wang Peiyu (Shantou), Li Deying and Cai Shengtong (Chaozhou
City) and Rao Baoyou (Dapu).
15
Xiehe is pronounced as sye-heh; wg: hsieh-ho.
164 chapter six
is found in the solo zheng tradition which, however, is often played
together with other instruments and shares an identical repertoire with
the chamber traditions. As described above, ensemble texture requires
interaction among musicians, not unlike a conversation at a social
gathering.
16
While musicians may not know the old Confucian sayings
music unites ( yuetong) and music harmonizes the peoples voices
(yuehe minsheng), they understand the deeper sense of these concepts
because harmonious interaction is an admitted cultural value of
ongoing importance (Chen Tianguo, 2004).

The Amateur Ideal The literati, and those who have aspired to their
esteemed positions, historically drew heavily upon Confucian values
for the basis of their aesthetic system, though these values were often
blended with the creative ideals of Daoism. To apply a phrase used by
Joseph Levenson (1957: 341), the artistic motivation of the literati is
best thought of as the amateur ideal. As used here, amateur should
be understood in the sense of the European Renaissance man, the
educated person with wide-ranging interests who participates in the ne
arts during leisure time for self-cultivation. Within this context, amateur
ideal does not imply lack of training or low quality in performance,
for the Chinese literati were often highly skilled in the arts. To the
literatus-amateur, the reasons for writing poetry, painting a landscape,
writing calligraphy or performing music were simultaneously those of
self-entertainment and expression of cultural values. Self-cultivation and
the acquisition of virtue were mentioned in the ancient classic texts
and they subsequently became important motivational forces. While
there certainly was specialization in the traditional arts and professional
activity in the theater and some musical arts, the bias against profes-
sionalism was nevertheless strong. Professionalism (i.e., the acceptance
of money for performance) was seen as a motivation associated with
merchants, entertainers and the ethically untutored. As a result, it did
not become an ideal in the literati traditions.
Among the traditionally-trained, this view still prevails. Older Hokkien
musicians (Chaozhou and Minnan) have told me that the acceptance of
money for performance of their chamber musics (especially xiyue and
16
A fair cultural analogy might be found in Chinese food preparation and presen-
tation, where meals are normally served in portions suitable for a family or group of
friends, rather than for lone diners.
nanguan) would violate the spirit of these traditions (Chen Kuan-hua,
1978). Likewise, Hakka musicians say that when they perform in the
ruyue style, musicians play for themselves, not for money (Rao 2006).

Quyi Music in the literati tradition was, and is, expected to reinforce
the social conditions from which it grew, and also promote the social
harmony needed to maintain order. Instrumental pieces were tradition-
ally given associative titles that connected them with the famous old
legends (e.g., Xixiang Ci, Poem of the west chamber), harmonious
social relationships (e.g., Wannian Huan, Many years of happiness),
the beauties of the natural world (e.g., Chushui Lian, Emerging lotus
blossoms) and the qualities of mythic animals (e.g., Bainiao Chaofeng,
One hundred birds paying homage to the phoenix). Such cultural
imagery has occupied a central position in the aesthetic system of the
Chinese arts for centuries.
17
More than simply random or impressionistic
titles, these images are often believed to be reected in the music itself,
and in some cultures (notably Jiangnan and Cantonese) they guide the
affective nature of performers interpretations.
In common-practice music, the term quyi (spirit of the song) is most
frequently used in identication of these affective states.
18
Within this
associative system, each piece of music is thought to have a spirit, a
referent which is identied in the title. Examples in the southern rep-
ertoires abound. In the moderate-tempo Hakka piece Balmy breeze
melody (Xunfeng Qu), musicians use the meanings of balmy (or com-
fortable using another translation) and breeze as a general guide to
their performance style. To most musicians, these words of associa-
tion suggest a relaxed state and a gently-owing, breeze-like melodic
line.
19
In contrast, for the Lament of Zhao Jun (Zhaojun Yuan), which
is in the minor-sounding crying mode, tempo is slow and the mood
17
For further backgrounds, see Han Kuo-huangs The Chinese Concept of Program
Music, Asian Music, X/1 (1978): 1738.
18
The term quyi is roughly equivalent to yijing (mood) in the qin tradition, and
to neirong (content) in Cantonese music, though important semiotic differences are
present in the meaning of content (as explained in the text). Quyi is pronounced as
ch-yi; wg: ch-i.
19
According to the memories of local musicians, Xunfeng Qu is a recent name given by
Ouyang Yuqian to Da Baban, which is also known as Xidiao (Melody from the [Chinese]
west, q.v. App. A1). In renaming this melody, it is apparent that Ouyang wished to
better relate this famous tune with ancient cultural imagery, choosing the balmy breeze
metaphor to reect upon the glories of the Tang dynasty ( Ju 1995: 190).
166 chapter six
grievous, requiring legato bowing and heavy portamento on bowed
string instruments.
20
Welcoming guests (Ying Binke), on the other hand,
is a bright piece and most appropriately performed with exuberance
and animation.
Other beliefs about music and meaning are found in South China
as well. Some Cantonese music scholars (Huang Jinpei 1984, Li Yan
1983) identify this associative quality as content (neirong), as if content
were actually (and affectively) embodied in the music itself. The Canton-
ese sense of a sign-like relationship between music and meaning, like
that of the Jiangnan region, is unusually strong. For example, Rain
beating on the banana leaves (Yuda Bajiao) is thought to be musically
suggestive of a heavy rainfall hitting banana leaves, the style utilizing
sharp dynamic contrasts and pointed staccato effects. According to
one essentially programmatic interpretation, the strong leaves bend
under the oppressive rain but do not break or fall, as the workers of a
country must respond to an oppessive regime (Huang 1984). While an
interpretation such as this reects political sentiment, it is indicative of
the type and specicity of musical meanings assigned by the Cantonese
within recent years.
21

In Chaozhou music, this type of semiotic relationship is weaker,
almost certainly because a large portion of their repertoire is performed
in more than one modal form and in tempo-based variationsthereby
confusing such associations between structure and affect. Yet, some
Chaozhou musicians have attempted to demonstrate associative inter-
pretations for pieces customarily performed in single established modes,
such as the well-known Hanya Xishui (q.v. Chen Anhua 1989: 21).
So, while semiotic responses differ in detail among the southern
cultures, the presence of spirit-identifying titles tends to encourage
interpretations which are similar from one social setting to another.
Individual interpretations by performers, on the other hand, are based
upon a more private symbolic systema system in which melodic asso-
ciations are assigned by individuals and their specic details changed
with each performance. In this respect, the associations between mood
20
The title of Zhaojun Yuan (Lament of Zhao Jun) refers to the Han dynasty princess
Zhao Jun, who was forcibly married into the northern Xiongnu tribe. According to the
old story, she felt extremely sorrowful at having to depart from her people.
21
Such programmatic interpretations resemble (in miniature) the narratives in
orchestral tone poems of 19th-century Europe, from which they may well have been
inuenced.
and music are so individual (and so complex) that specic, consistent
correspondences are virtually impossible to identify.

Guya As seen in Chapter Five, the ancient text Yueji (Record of
Music) states that too many (ritual) forms will result in chaos, too
much (musical) invention will result in violence. In fact, there has been
musical change and innovation over the past several thousand years, but
China has traditionally opposed change in principle and idealized the
ancient ways. In a society where stability was more highly valued than
change (and age valued over youth), it is not surprising that old music
has held a special position among the conservative cultures. In both
legend and literature, Chinese heroes are older persons of Confucian
training who personify social harmony and stability. In painting and
music, the term guya, ancient and rened, is regularly used to identify
those works reecting a high degree of continuity with the past. This
continuity is found especially among the Hakka and Minnan traditions,
where the venerable old melodies are still considered the best and
where musical instruments have changed the least.
22
The Baban variants
are obvious examples of guya repertoire, as are pieces based upon the
old legends, such as the Lament of Zhao Jun. I have also heard
Chaozhou musicians use this term in reference to the best qualities in
their music, together with other related terms suggesting renement
and sophistication ( ya, yazheng). As seen in Chapter Two, the term ya
derives from a cluster of ancient concepts meaning rened or elegant,
as found in the Confucian concept of a rened music ( yayue).
23
In
contemporary aesthetic usage, however, ya merely idealizes these values,
without specically referring to the ancient traditions.

Hanxu In keeping with the behavioral expectations of moderation
(zhongyong), traditionally-trained musicians value restraint in both expres-
sion and performance technique. The term hanxu,
24
literally covered
and controlled, is used in reference to this restraint. By extension, hanxu
also implies that deep and profound meanings are concealed under an
22
Hakka musicians sometimes use the variant term gaoya (high quality and rened)
in reference to this aesthetic.
23
It will be remembered from Chapter Two that Ken DeWoskin suggested there to
be other musical denitions for ya as well, notably adhering to the pentatonic scale
(1983: 202).
24
Hanxu is pronounced as han-syu; wg: han-hs.
168 chapter six
ordinary surface, or that internal richness is covered by external plain-
ness (Chang 1978). In traditional landscape painting, for example, there
is a preference for monochrome and muted colors (over bright colors),
often merely the suggestion of a subject, and the subtle concealment of
good brush technique. In traditional music performance, the emotive
qualities of melodies are underplayed, embellishment minimized and the
demonstration of technical dexterity carefully controlled. Musicians
in the conservative regions of South China clearly recognize hanxu as a
performance ideal, the Chaozhou and Hakka in their zheng and xiyue/
qingyue traditions, the Minnan in nanguan music.
25
Sometimes this quality
is expressed in other ways. When southern musicians wish to compli-
ment the ability of others, they are likely to say he/she has good style
( fengge) or rened taste ( yunwei ), rather than good technique ( jichao).
There is no question that these chamber repertoires require virtuosic
techniques in faster sections (and sometimes throughout entire pieces),
but the challenge is one of control. Disdain for gratuitous virtuosity,
at any rate, runs like a thread through the patterns of behavior and
artistic belief of those professing values of the rujia.
Ziran The inclination toward spontaneity in Chinese artistic expression
may be seen as the natural complement of the above Confucian ideals.
As introduced in Chapter Two, ziran (wg: tzu-jan) may be translated
as natural, spontaneous or intuitively from the self , an ideal which
embodies Daoist rejection of articial forms and processes. To review,
the most interesting creative results are achieved through the application
of natural means, by intuition rather than by methodical planning.
Wenrenhua artists attempted to capture the essence of a subject, rather
than its photographic likeness. Painted subjects, such as bamboo and
rock, were organized in a natural or intuitive form (rather than a
pre-planned, thus articial, form). In qin zither music, the ideal of ziran is
clearly manifest in the performance of irregular phrase lengths, irregular
repetitions, spontaneous (but stylistically restricted) improvisations, and
reliance upon memory (with its natural lapses). While the relationship
between qin performance and Daoist ideology is well documented,
26
I
was surprised to hear zheng performers and other southern musicians
25
Huang Jinpei (1986) has observed that in the buoyant Cantonese tradition, the
quality of hanxu is absent. Perhaps it is more accurate to say that this aesthetic is not
as prominent as in the neighboring traditions.
26
See Gulik 1940: 47ff. and DeWoskin 1983: 192.
referring to ziran. Chaozhou informants told me that in both the zheng
tradition and xiyue, spontaneity is an essential factor in tempo decisions,
overall feeling and embellishment.
27
Daoism itself, however, was rarely
mentioned in these discussions, suggesting that the concept of ziran has
become accepted on its own and as part of the local aesthetic.

Qingkuai Gao Houyong (1981: 23ff., 80) was one of the rst to explain
the signicance of a very different ideal, one which gives expression
to a more colorful art style and a more robust and lively music. Gao
observed that many sizhu melodies are set at a fast tempo (kuaiban).
Following traditional practice, these should be performed in a lively
or brisk style, without being heavy or overbearing. This aesthetic is
identied as qingkuai (lively, joyful).
28
The qingkuai aesthetic is one of
the notable characteristics of the open-air chuida-types of ritual music,
where it must be centuries old. But I have also heard Chaozhou musi-
cians use this term in explanation of the qualities of fast variations in
suites (e.g., cui variations in sanban sections) (Wang 2006). In the southern
chamber traditions, it is especially characteristic of Cantonese music.
When Cantonese composers became active during the early 20th
century, they tended to favor this brighter aesthetic. In explaining the
admirable qualities of lively Cantonese pieces, Huang Jinpei (1986) uses
the similar terms huankuai (happy and fast) and renao (bustling), fur-
ther explaining that such pieces reect the pace of city life. Many short
Cantonese pieces bustle, the best example probably being Thunder
in the drought (Hantian Lei, Fig. 5.8), with its fast tempo, animated
and regularized rhythmic movement, and urban feel.
How widespread are these aesthetic ideals? The values of guya, hanxu
and ziran are much in evidence in the more conservative traditions
(Chaozhou, Hakka, Minnan). They are found occasionally in Jiangnan
sizhu which, generally speaking, is less rigid in its value system and more
exuberant in its sound-ideal. In the upbeat, predominantly 20th-cen-
tury Cantonese tradition, however, guya and hanxu are rarely found, the
Cantonese preference being for a brighter sound, livelier tempo and,
for slower lyrical pieces, a heavier emotive affect. Thus, the relationship
27
My informants (Chen Mayuan and Wang Peiyu 2006) did not mention phrase
irregularity as a manifestation of ziran. I believe, at any rate, that in the Chaozhou and
Hakka repertoires there are other reasons for phrase irregularity (q.v. Chapter Four).
28
Qingkuai is pronounced as ching-kuai.
170 chapter six
among value systems in the southern instrumental traditions is one of
both similarity and difference, depending largely upon regional identi-
cation with the time-honored Confucian heritagestrongest among
the Hakka, weakest among the Cantonese.
What is striking, however, is that in both the Chaozhou and Hakka
traditions these seemingly contradictory aesthetic idealsrened and
restrained vs. bright and joyfulexist side-by-side, as if representa-
tive of the extremes of human experience, much as the forces of yin
and yang are representative of cosmic opposites.
Ideologies and Styles
How can this mix of cultural and philosophical inuences be seen in
perspective? Among the conservative cultures of South China, a strong
Confucian foundation underlies their sizhu types of chamber music. This
is most evident in the behavioral associations that local musicians make
between their music and the values of the rujia, notably in ideals such
as concordance (xiehe) and control (hanxu). That musicians actually
identify their rened small ensemble genres as Confucian music (ruyue)
is an open admission of this foundationat least to the perception of
such a foundation. Although identication with Confucian ideology is
weaker among the Cantonese, traces can be found in the titles of some
older pieces and in the social networking associated with ensemble
organization.
In this book I have attempted to demonstrate that the southern
musical forms and styles have been infused with ideals associated with
Confucian culture, such as the numerological ordering of repertoire,
of phrases in a work of importance, ensemble size, pentatonicism, and
yin-yang ideology. While it may be true that such ideals are sometimes
used as mere rationalizations in attempt to legitimate traditions which
have not been accepted into the more mainstream Chinese musical
philosophy of today, I believe that, taken as a whole, a foundational
layer of Confucian inuence on southern musical styles is apparent.
The musical traditions of South China, however, have not been cut
from a single piece of silk. Among the ancient philosophies which have
also inuenced the development of the arts, Daoism has exercised a
powerfulif often hiddenforce. While musicians rarely admit of
Daoist inuence as such, most will agree that the ideal of spontaneity
(ziran) is essential to good performance style, as manifest in performance
choices such as embellishment decisions, addition of owers, ordering
of variations and so forth.
Finally, it is clear that other very different inuences have owed
into the southern traditions over the recent centuries. For example, it is
generally supposed that the crying mode was introduced from qinqiang
opera of northwestern China. As employed in the Chaozhou, Hakka
and Cantonese repertoires, heavy emotional states, laden with tragedy
and grief, are represented in this mode. Such types of romantic expres-
sion lie well outside the beliefs of both Confucianism and Daoism.
Another example of a seemingly oppositional emotive state can be
heard in the aesthetic of liveliness ( qingkuai ), examined above. A central
sound ideal in the northern ceremonial traditions, the quality of liveli-
ness may well have been introduced into the southern sizhu traditions.
But I suspect it was always there, again as the yang of yin.
Thus, the cultural forces underlying these related southern traditions
must be seen as a synthesis of ideas, some very ancient, others more
recent. Most lie beneath the melodic surface (that is, in structural ele-
ments) and below the level of day-to-day musical discoursein that
musicians rarely discuss cultural traits or inuences from outside their
region. Yet, the Confucian legacy, in its multiple interpretations, is now
being acknowledged by many local scholars as the principal philosophi-
cal underpinning of their tradition. Whether Confucius would have
recognized his own legacy is probably beside the point.
POSTSCRIPT
Following the years of invasion, rebellion and corruption during the late
19th century, traditional Chinese society and government were increas-
ingly criticized by its citizens for being too literary and not practical
enough to cope with changing global problems. In his book, Literature and
the Arts in Twentieth-Century China, A.C. Scott offers a sensitive overview
of these developments. In Scotts words, China experienced a disas-
trous conict with the aggressive industrialized powers and a failure
of [its] ultra-conservative administration to grasp the signicance of a
changing world . . . (1965: 2). At the turn of the 20th century, Chinese
leaders and writers stated that if China were to relate to the rest of the
world on an equal basis, it must start adopting western ways. Profound
social changes in its major institutions altered the very foundations of
Chinese civilization. The traditional classics-based method of educa-
tion and the rigorous examination system had been abandoned. The
Republic was established in 1912. The Literary Revolution of 1919
severely challenged the old classical written Chinese and replaced it
with a new, more creative idiom that would be more accessible to the
common people.
Within the new social hierarchy, the position of the scholar-ofcial
had deteriorated at a rate equal to the rise in social position of the mer-
chant and, following the change in governmental systems, the scholar
no longer had a political role. Urban centers became industrialized,
creating a large new class of factory workers. The roles of merchants,
businessmen and entertainers grew steadily stronger in response to the
demands of these industrialized urban dwellers, greatly swelling the
ranks of the middle class.
In most cultural affairs, older systems were seriously challenged by the
introduction of western forms and aesthetics. For music, Chao Mei-pa
explained what must have been widely believed at the time:
As we glance over history, we nd Chinese music has come to a stand-
still, in spite of its ourishing past. This long static condition of our
[traditional] musical activities has naturally forced us to turn to a new
source, the West.
(1937: 271)
174 postscript
When music conservatories were established, beginning in the late 1920s,
it was western music which dominated the curriculum.
1
Composers
began attaching their names to their works, the rst time in history
composers of instrumental music would attempt to identify themselves.
Harmonic accompaniment was often addeda type of harmony far
removed from the Confucian social ideal. The traditional aesthetic
system, much of which was infused with Confucian philosophy, was
largely abandoned, most notably in Cantonese music but in other new
repertoires as well.

The Urban-Professional Ideal By mid-20th century, professionalism in the
arts had become broadly accepted. Following upon developments in
Shanghai, the rst state-organized professional music ensemble estab-
lished in South China was the Guangzhou Minjian Yinyue Tuan, founded
in Guangzhou (1956). Salaries of its members were paid by the Chinese
government. One year later, the Guangzhou Conservatory of Music was
established, at which both Chinese and western musics were taught.
2

Students attended the Conservatory to improve their musical skills, their
main goal being to become professional musicians and perform in the
state ensembles or as soloists in the new concert halls. Enrollment was
drawn primarily from Cantonese areas, with other students coming
from nearby Chaozhou and Hakka communities (Huang 1996).
3
During this same period (mid-1950s), a government-organized move-
ment to redesign the construction of traditional instruments for the
concert stage was instigated. Every Chinese instrument was studied with
a view to improving tone production, increasing volume and enlarging
performance range. Most stringed instruments, formerly strung with silk
strings, were henceforth strung with metal strings, frets were increased
in number and repositioned to yield half-step intervals and resonating
chambers were enlarged. On utes, ngerholes were repositioned to
correspond with the new temperament ideal. Some instruments were
1
The Shanghai Conservatory of Music was established in 1927. Soon after this,
a professional ensemble was formed at the Central Broadcasting Station in Nanjing
(1935), re-established in Beijing (1953) (q.v. Han 1979: 14ff.)
2
During the 1990s, this conservatory was renamed the Xinghai Conservatory of
Music, after the famous Cantonese composer Xian Xinghai.
3
There was some interest at the Conservatory in attracting Minnan music students
as well, but southern Fujian was more distant from Guangzhou than was the Chaozhou
region, and nanguan music was thought by the Cantonese to be too dissimilar from the
southern mainstream (Huang 1986).
postscript 175
also built in families of soprano, alto, tenor and bass, resulting in the
emergence of the erhu family, among others.
4

As a result of these changes, conservatory musicians began arrang-
ing and orchestrating selected pieces from the traditional repertoire,
increasing their lengths for concert hall purposes, varying tempos and
dynamics for greater emotional impact, and adding harmony and
bass lines for middle- and low-range instruments. For some pieces,
introductory passages were added.
5
The addition of harmony to tra-
ditional pieces presented a special challenge in that the older melodies
themselves were not harmonically conceived. As well, the basic tonic
and dominant chords sounded discordant when performed in the old
temperament system with its three-quarter-step intervals. Indeed, many
students, having learned the ideal of Western equal temperament,
had already lost their sensitivity to the subtleties of the crying mode.
As a result, instrumental pieces such as Shuangxing Hen (Fig. 4.10 and
App. B8) and Zhaojun Yuan were played less frequently by conservatory-
trained performersand when played, only on re-fretted instruments
(as described at the end of Chapter Four).
Today, conservatory-trained professional musicians thrive in the
southern cities. They perform traditional music with a level of skill
exceeding that of the literati and, some say, contrary to the Confucian
ideal of restraint. Quite obviously, this tension between performance
moderation and virtuosity has yet to be resolved. In the urban-pro-
fessional aesthetic, virtuosity is valued, lively and rhythmically-active
repertoire preferred, and crying mode repertoire highly romanticized.
When traditional music is presented to western audiences, it is nearly
always performed by conservatory-trained musicians in this manner.
Survival of Traditional Music The new style receives considerable criticism
from older performers, who are not trained in western temperament
and do not like the strictness and formality of orchestrated arrange-
ments. They complain that, in such arrangements, the opportunity
4
Most important among the erhu-type instruments are the gaohu, erhu, zhonghu and
dahu; other southern ddle types such as erxian (Chaozhou, Minnan) pre-date the erhu
family. The ancient ruan lute with circular sound chamber, which was not used in
instrumental ensembles for a century or two before this time, was resurrected from
museum storerooms and rebuilt in a range family as well.
5
Traditional repertoire now commonly performed in orchestrated versions include
a number of standard pieces, such as the Cantonese Yuda Bajiao and Chaozhou Da
Baban.
176 postscript
for spontaneous creativity and inspiration is taken out of performance.
Yet, in spite of the many new directions emerging from the conserva-
tories and professional ensembles, the older instrumental traditions on
the southeast coast are surviving reasonably well.
Chaozhou music is in a surprisingly healthy statesurprising because
it is regularly criticized by neighboring cultures for its lack of populist
appeal, and it is marginalized within China as a whole. Most vocal in
their criticisms of Chaozhou music are the Cantonese, who complain
about the great length of their suite forms and of the nasal quality
of the erxian lead ddle. But Chaozhou music survives well, and for a
number of reasons. The Chaozhou maintain a strong cultural center on
the southeast coast, with many towns and farming villages surrounding
Shantou and Chaozhou city. In most of these areas, amateur music
clubs and family ensembles are active. Because of their isolation from
more northern Chinese regions, and from the cultural hostility of the
Cantonese, the Chaozhou have developed a positive sense of cultural
identication based upon language preservation, awareness of history,
food preparation, and maintenance of local crafts and traditional music.
They have also developed local schools, most importantly, the Shantou
Arts School (Shantou Yishu Xueyuan) and a periodical, Chaoyue Yanjiu,
in which the local musical traditions are documented. Some institutes
receive nancial support from wealthy Chaozhou businessmen in Hong
Kong, Bangkok and elsewhere.
A similar range of circumstances obtains for Minnan music, another
large but isolated tradition with strong regional support in the form of
schools, periodicals and performance opportunities. But Minnan nanguan
music, because it is derived from a different historic Chinese tradition,
is hardly known among the other southern cultures. This is generally
considered a music apart.
6

The Hakka instrumental music scene is smaller and centered in the
single mountain community of Dapu, though with related traditions
in nearby Hakka villages of western Fujian province. Elegant and
expressively subtle, Hakka music is admired by Chaozhou musicians,
with whom there has been a history of interaction.
7
Like the Chao-
6
Chaozhou musicians with whom I have worked told me they think of Minnan
music as being truly classical, but nevertheless boring.
7
Some of this interaction has been documented by Chen Anhua (1982: 5760). As
I have shown here and in other publications (Thrasher 1988: 130), Hakka music has
been absorbed into both Chaozhou and Cantonese traditions. For example, Yidian Jin
(App. B5) and other qupai tunes are now played by Chaozhou musicians in transpositional
postscript 177
zhou, the Hakka possess a positive sense of cultural awareness based
upon preservation of language, knowledge of history and genealogy,
and promotion of Confucian values. In Dapu, there is a small music
association, the Guangdong Hakka Research Association (Guangdong
Hanyue Yanjiu Hui), which occasionally performs concerts and sup-
ports research in the local journal, Hanyue Yanjiu (in publication since
1990). Without a music school for the younger generation, however,
the future of this elegant tradition is uncertain.
8

Cantonese instrumental music is a relatively new tradition, having
developed as recently as the late 19th century, with both Hakka and
Jiangnan inuence. The repertoire is well unied from one Cantonese
region to another because of widely available recordings and published
collections of music. Scholars at the Xinghai Conservatory of Music in
Guangzhou have been extraordinarily active since the late 1970s docu-
menting historical, theoretical and aesthetic issues in the conservatorys
journal, Xinghai Yinyue Xueyuan Xuebao, among other publications. But
since the instrumental repertoire itself is mostly a mix of short, light
tunes and longer pieces of a heavy sentimental nature, scholars make few
pretensions to classicism.
9
In social terms, Cantonese generational differ-
ences are deep, with the most minimal of cultural interaction between
old and young. Within a young population raised on (Cantonese) pop
music, western classical music and Chinese concert-hall music, promo-
tion of traditional music has proven difcult. Instrumental music, at any
rate, is not often heard in the vocal-oriented music clubs and, according
to some opinions, it is a dying tradition. While unclear at present what
the social basis for its survival might be, most of the better-known pieces
are being accepted into the eclectic Cantonese opera repertoire and
into the larger pan-Chinese concert-hall repertoire, though here usually
in fully orchestrated forms. This acceptance represents a different level
of survival and higher level of syncretism.
variations (similar to Hakka practice), and the Hakka soft mode variant of Da Baban
(Fig. 5.3) can be seen as the model for the Cantonese piece Ema Yaoling (App. B9).
8
I have recently learned that the local government has started a program to engage
traditionally-trained Dapu musicians to teach instrumental music in the public schools.
At present, the effectiveness of this program is not known.
9
For reasons of its newness and amboyance, Cantonese music has often been
criticized as being shallowto use Mosers (1985) phrase: lacking in proper artistic
restraint. Such criticisms have regularly come from neighboring Hakka musicians
(such as Luo Jiuxiang, d. 1978), the northern literati, and sometimes even from the
educated Cantonese themselves (Huang 1996).
APPENDICES
Appendix A Gongche Notation System and Selected Repertoire
Gongche notation consists of simple Chinese characters, each representing a pitch
position, together with basic metric signs. As seen in the repertoire examples,
it is read from top to bottom, starting at the upper right-hand column. Several
southern versions have appeared, of which the a) Jiangnan and b) Cantonese
variants are most relevant in this study.
He Si Yi Shang Che Gong Fan Liu Wu
a)
b)
[mi fa] sol la ti do re mi fa sol la ti [do re]
lower octave basic range higher octave
Range is indicated by way of attached signs:
Upper octave (beyond wu/la) with to the left of the pitch sign (e.g. );
Cantonese practice with
Lower octave (below he/sol) with attached to the lower right (e.g. );
Cantonese practice with
Note: Range signs are not always given, especially in Chaozhou and Hakka
notations, in which case the proper octave must be inferred by context.
Meter is usually single (1/4), duple (2/4) or quadruple (4/4):
Strong beats are commonly indicated with X to the right of the pitch sign
( Jiangnan, Cantonese), though with O in some cultures (Chaozhou, Hakka).
Weak beats are indicated either with O ( Jiangnan) or with \ (Cantonese),
though secondary beats are not always shown (Chaozhou, Hakka).
Rhythm is typically learned through performance experience:
Beat subdivisions are almost always duple in some form (e.g. two eighth notes
per beat, one eighth followed by two sixteenths, etc.), but exact rhythms are
not shown.
Rhythmic extensions of half a beat are shown by the insertion of L-shaped
signs or small triangular signs (), as seen in the examples. If these signs
are followed by another pitch sign before the next marked beat (usually X),
then a dotted quarter note followed by an eighth note can be inferred.
In some quickly-written notations, a rhythmic extension of one beat may simply
be indicated by the appearance of the next beat (strong or weak) without any
other pitch signs in between; or it may be shown by the appearance of a
larger-than-usual gap in the notation column.
180 appendices
Appendix A1 Hakka Xixiang Ci and Xidiao
Xixiang Ci (left), short qupai in melodic skeleton, performed in a four-beat
meter (4/4); strong beats identied with circles (O), subdivisions not shown
(q.v. Chapter Four).
Xidiao (right), also known as Xunfeng Qu, the Hakka equivalent of 68-beat
Baban in melodic skeleton, notated in a medium beat meter (1/4); strong
beats shown with circles (O) (q.v. Chapter Five). Note the use of the pitch
sign () for la.
Source: Guoyue Diaopu (Chen 1930).
appendices 181
Appendix A2 Chaozhou Hanya Xishui
Touban section in melodic skeleton, 68 beats; four-beat meter, strong beats
identied with circles (O), the sign L indicating rhythmic extensions (in all
cases extending a pitch over the next strong beat, thus concealing it); other
metric subdivisions not indicated (q.v. Chapter Five).
Source: Chaozhou Xianshi manuscript (Hong, late Qing).
182 appendices
Appendix A3 Hakka-Chaozhou Chushui Lian
Touban section in melodic skeleton, 68 beats, soft mode (identied as a soft
suite). Normally performed in a slow four-beat meter (4/4); strong beats
identied with circles (O); subdivisions not shown, but rhythmic extensions are
indicated by a gap in the notational signs. This 19th-century notation is unusual
in its different representation of some motifs, presence of the pitch position
la in the low register (possibly played as ti as in present-day practice), and
existence of notational errors which have been lined out by a later musician
and re-notated (far-left and middle columns) (q.v. Chapter Four).
Source: Chaozhou Xianshi manuscript (Hong, late Qing).
appendices 183
Appendix A4 Cantonese Da Baban
Abbreviated version of Baban bearing some resemblance to the Jiangnan Liuban.
Four-beat meter, strong beats shown with X, beats two, three and four with
\, and rhythmic extensions with L (q.v. Chapters Four and Five).
Note the Cantonese use of the pitch sign () for la.
Source: Xiange Bidu (Qiu 1917).
184 appendices
Appendix A5 Jiangnan Hua Liuban
60-beat moderate-tempo Jiangnan version of Liuban. The term hua (literally
ower) here means embellished, hence the two-beat meter with melodic
interpolations. Strong beats are identied with X, weak beats with O,
rhythmic extensions with a triangle (), metric subdivisions not shown (q.v.
Chapter Five).
Source: Qudiao Gongche Daguan (Zhang 1920).
appendices 185
Appendix B Cipher Notation System and Selected Repertoire
The Chinese cipher system ( jianpu) is similar to movable-do solfge, in that
the diatonic octave is represented by numbers 1 through 7, equivalent to do
through ti.
Cipher: 5
.
6
.
7
.
1 2 3 4 5 6 7 1
.
2
.
3
.
etc.
Solfge sol la ti do re mi fa sol la ti do re mi etc.
basic range higher octave
Key of F: C D E F G A Bb c d e f g a etc.
Key of C: G A B c d e f g a b c' d' e' etc.
Range is indicated by the use of dots above or below the numbers:

Below for low range 6
.

Without for mid range 6
Above for upper range 6
.
Rhythms are notated in a similar manner as western notation:
Numbers appearing alone 5 3 5 1 = quarter notes
Number followed by a dash 6 = half note
Number followed by three dashes 2 = whole note
Numbers with single underline 3 5 2 3 1 = eighth notes
Numbers with double underline 6 5 3 5 1 = sixteenth notes
Numbers followed by a dot 3
.
2 3 5 = dotted eighthsixteenth
or 3
.
2 3 5 = dotted quartereighth
Zero (0) indicates rests 0 = one-beat rest
0 = two-beat rest
0 6 = eighth resteighth note

186 appendices
Appendix B1 Chaozhou Da Baban
Melodic skeleton of three-part variation suite form: touban (rst page), kaopai and
sanban (second page). Light 36 mode, 68 beats (q.v. Chapter Five).
Source: Chaozhou Minjian Yinyue Xuan (Zhang 1958).
appendices 187
App. B1 Da Baban second page continuation
188 appendices
Appendix B2 Chaozhou Hanya Xishui
Melodic skeleton of three-part variation suite form: touban (rst page), kaoda
(kaopai ) and sanban (second page). Heavy 36 mode, 68 beats (q.v. Chapters
Five and Six).
Source: Chaozhou Xianshi Chuanji (Chen 2001).
appendices 189
App. B2 Hanya Xishui second page continuation
190 appendices
Appendix B3 Chaozhou Hanya Xishui
Erxian realization by Chen Tianguo (2001). Suite form in four variations: touban
(rst page), erban double cui (second page), kaopai (bottom second page), and san-
ban double cui (third page). Heavy 36 mode, 68 beats (q.v. Chapter Six).
appendices 191
App. B3 Hanya Xishui second page continuation
192 appendices
App. B3 Hanya Xishui third page continuation
appendices 193
Appendix B4 Hakka Chushui Lian
Zheng realization by Luo Jiuxiang (1985). Shown above the cipher signs are
ngering patterns, portamento types (arrows), and vibrato types (occasionally
on 4 and 7). Soft mode, 68 beats (q.v. Chapter Four).
Source: Hanyue Zhengqu Sishi Shou (Luo 1985).
194 appendices
App. B4 Chushui Lian second page continuation
appendices 195
Appendix B5 Hakka Yidian Jin
Melodic skeleton of old 28-beat qupai melody, followed by four pentatonic
transpositions, all performed at the same tempo (q.v. Chapter Five).
Source: Guangdong Hanyue Sanbai Shou (Luo 1982).
196 appendices
App. B5 Yidian Jin second page continuation
appendices 197
Appendix B6 Cantonese Pinghu Qiuyue
Melodic skeleton of 1931 composition by L Wencheng.
Source: Guangdong Yinyue Erbai Shou (2003).
198 appendices
Appendix B7 Cantonese Pinghu Qiuyue
Gaohu realization by Gan Shangshi (1982) of L Wenchengs composition
(1931). Shown above the cipher signs are ngering patterns and embellish-
ments, bowing signs and portamento types (indicated with arrows).
appendices 199
Appendix B8 Cantonese Shuangxing Hen
Melodic skeleton of this two-section guqu (old piece): moderate-tempo rst
section, followed by fast-tempo coda. Yifan mode with modal shifts (q.v.
Chapter Four).
Source: Guangdong Yinyue (1963).
200 appendices
Appendix B9 Cantonese Ema Yaoling
Melodic skeleton of this guqu piece, a pipa adaptation of the 68-beat Hakka soft
mode Baban, reportedly by the composer He Liutang (c1920s). Yifan mode.
Source: Guangdong Yinyue (1963).
GLOSSARY OF CHINESE TECHNICAL TERMS
AND REPERTOIRE
Anjing {j
Baban
Bafang ]
Bagua !
Bainiao Chaofeng ))[)
Baisha xiyue !(;
Ban
Bangzi )
Banhu 5
Banshi bianzou |
Bantouqu U
Ban-yan N
Bayin
Beilu (,
Biangong
Bianyin
Bianzhi ]
Bianzou
Bianzou ti
Bili
Chanyuan Zhongsheng
,|)I
Chaozhou @/
Chi
Chiba )
Chuandiao =,
Chuida "|
Chunjie |]
Chushui Lian
Ci ,
Citang
Cui k
Cuipai k|
Da Baban
Daban
Dadiao ,
Da Kaimen [|
Da Luogu t
Dandian Tou ]
Dan-xie-man-yi ,j
Dao
Dao Baban ;
Dao Chunlei ]|
Daojia
Daqu U
Datao ,
Dayue Biyi ;(
De {
Di
Di ,
Diao ,
Diaoshi ,|
Diaoxing bianzou ,
Die
Dik/de )
Dizi
Dongxiao {,
Ema Yaoling ]jj)
Erban
Erhu 5
Erhuang ,
Ersipu l(
Erxian ,
Fangman jiahua (j)
Fangxiang ]}
Fanjian fa |;
Fanxian
Fengge H]
Gaohu ,5
Gaoshang yinyue ,];
Gaoya ,|
Gewu [}
Gok/jiao )
Gong
Gongche )
Gongdiao ,
Gongting yinyue /;
Guangdong Hanyue |;
Guanzi |
Guchui "
Gudian ,5
Gudiao ,,
Guganyin
Guil j,
Guochang qu U
Guomen |
202 glossary of chinese technical terms and repertoire
Guoyue [;
Guqu ,U
Guya ,|
Hakka |
Han
Hantian Lei =
Hanxu ;
Hanya Xishui |[
He I
He-che )
Hengdi @
Hexiansuo I,_
Hokkien ,
Houguan "|
Huadiao ,
Hua Liuban
Huandiao ;,
Huangli Ci ,|,
Huangzhong ,)
Huankuai ;
Huayin
Huqin 5
Huyue 5;
Jiahua )
Jiangnan ]
Jianpu |(
Jiaoti diaoshi |,|
Jichao |
Jie ]
Jiezi ]
Jinshang Tianhua );
Jinshe Kuangwu |}
Jue )
Kaopai ||
Kejia |
Konghou ]
Kuaiban
Kudiao ,
Kuhuang Tian
Kunqu jU
Li j
Lianqu ti U
Liuban
Liuli j
Liuqing Niang ,(
Liuxing diao ,
Liuyao Jin j
Liuye Jin
Liuyi
Liyin
Li-yue j;
Lu
Luancha Hua ]
Luogu t
Luoguchui t"
Ll ,
Manban j
Man Liuban j
Mawei huqin jj5
Meihua Cao ]J
Mengjiang N
Miandaxu ]
Minge ][
Minjian yinyue ][;
Minnan []
Moli Hua |
Nanguan ]|
Nanlu ],
Nanyin ]
Nanyue ];
Neirong ]|
Pai |
Paiban |
Paixiao ],
Paizi ;
Pianyin ]
Pinghu Qiuyue
Pingsha Luoyan ,"
Pipa
Pipa Ci ,
Po ;
Pu (
Qi-cheng-zhuan-he
Qifandiao ,
Qin
Qingkuai |
Qingsanliu |
Qingshang Yue ;;
Qingyue ;;
Qingzou Pu ;(
Qinqiang
Qinqin
Qinzheng
Qipingjun l ),
Qishou Ban
Qiyue ;
Qu U
Qudi U
glossary of chinese technical terms and repertoire 203
Qupai U;
Quyi U
Quzhe U
Ren '
Renao ,[
Ruan
Ruandiao [,
Rujia ]
Runshi bianzou ]{
Ruyue ];
Sanban
Sanban ]
Sancai /
Sanjilang ,
Santan )
Sanxian ,
Sanxu ]]
Se ,
Shang
Shange ![
Shangfan xiajian |
Shang-liu
Sheng
Sheng I
Shengyin I
Shibuji ]
Shicui |k
Shifan luogu Lt
Shimian Maifu {)
Shouban
Shuangcui |k
Shuangdie cui |k
Shuangxing Hen |]
Sichun |
Si-gong l
Sixian ;,
Sizhu ;)
Suona |
Suyue ;;
Taoqu ,U
Tihu 5
Tiqin
Tongbo ))
Touban
Touxian ,
Waijiang yinyue ';
Wannian Huan ;
Wen
Wenrenhua
Wenren yinyue ;
Wu ,
Wuchang l
Wujing l
Wulun l]
Wusheng lI
Wuxian l,
Wuxing l
Wuyin l
Xian ,
Xianghe ge I[
Xianguan ,|
Xianshi yue ,[;
Xiansuo ,_
Xianyue ,;
Xiao ,
Xiao Baban
Xiaodiao ,
Xiaoqu U
Xiao Taohong
Xiao Taohua
Xidiao {,
Xiehe ,I
Xijiang Yue {
Xing )
Xipi {
Xiqin
Xiqu [U
Xixiang Ci {[,
Xiyue (;
Xuanl bianzou ,
Xucui k
Xunfeng Qu HU
Xunhuan ti _
Ya |
Yangchun Guqu |,U
Yangqin ]
Yanyue ,;
Yaogu
Yaosheng jI
Yaozhi j|
Yashan Ai !
Yayue |;
Yazheng |L
Yehu ;5
Yi
Yidian Jin ]
Yifan xian
Yijing
Yin
Yingao ,
204 glossary of chinese technical terms and repertoire
Ying Binke |
Yingdiao {,
Yinjie [
Yinse
Yin-yang
Yinyue ;
Yu
Yuda Bajiao ]|)
Yue ;
Yueer Gao ,
Yuefu ;j
Yuehe minsheng ;I]I
Yueju [
Yuelun ;
Yuel ;,
Yueqin
Yuetong ;
Yule Shengping ;)
Yulian Huan _
Yunluo ,t
Yunwei ,"
Zhaojun Yuan +
Zheng
Zheng [
Zhengsheng [I
Zhengxian L,
Zhi |
Zhi ]
Zhidiao ],
Zhisheng ti I
Zhongban
Zhonghua Liuban
Zhongruan
Zhongsanliu
Zhongxu ]
Zhongyong ]
Zhongyuan }
Zhuandiao ,
Zhudiao ,
Ziran /
Zizhu xiao ),
Zongjiao yinyue ;
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INDEX
Adding owers( jiahua), see
Embellishment, Performance variation
Aesthetics, 16370; amateur ideal, 23,
16465; elegance (ya), 401;
musical spirit (quyi ), 51, 162,
16567; old and rened (guya), 28,
124, 167, 169; covered and
controlled (hanxu), 16768, 16970;
content (neirong), 166; liveliness
(qingkuai ), 169, 171; bustling (renao),
1, 169; see also Confucian ideology,
Ruyue, Daoist inuence, Ziran, and
Conservatory inuence
Alternating modes, see Mode
Amateur ideal, see Aesthetics
Anthology of Chinese Folk Music, 4n4
Baban (Eight Beat), x, 11, 13, 20, 21,
32, 33, 71, 89, 901, 11314, 115,
11724, 129, 141, 14344, 146, 167;
history and distribution, 13, 117;
structure and relation to Liuban, 32,
768, 100n40, 115, 11724, 12627,
13135, 141; Da Baban, 8, 78, 122,
131, 165n19, 176n7, 183, 18687;
Dao Baban, 130; Jinshang Tianhua, 131;
Xiao Baban, 89, 91, 93; Xidiao/Xunfeng
Qu, 16, 90, 100n40, 132n33, 165, 180
Bagua (trigram system), 33, 118
Ban (beat), 904, 120, 130; see also
Baban and Notation
Banshi (metric system), see Notation
Bantouqu music, 6, 11, 18
Bangzi, see Melody types
Bayin (instruments), 33, 54n2, 58
Beat-form variation, see Variation
forms
Beijing opera inuence, 87, 88n24, 96,
115
Bianyin (altered tones), 86, 109; see also
Pitch systems
Bianzou, see Variation forms and
Performance variation
Bili (reed-pipe), 623, 64, 70, 89n26
Bodde, Derk, 27, 30
Borrowed notes ( jiezi ), see Performance
variation
Buddhist inuence, 36, 478, 58, 61, 63,
68, 95, 117
Bustling (renao), see Aesthetics
Cantometrics, see Lomax
Cantonese, 5, 1821, 43; settlement and
culture, 1819; dating of, 1920, 73;
melody types and repertoire, 1920,
91, 93, 11317, 130, 13233, 135,
136, 146, 166, 183, 197200;
performance of, 24, 95, 153, 156,
157, 15960, 166, 16970; modes,
87, 968, 99105, 10608, 10911;
instruments, 19, 20, 21, 63, 71, 98,
111; relationship with Hakka, ix,
1920, 176n7, 177n9; survival of, 24,
176, 177
Central Plain (region), 67, 10, 14
Chao Mei-pa, 173
Chaozhou, 5, 711, 424; settlement
and culture, 7; dating of, 911, 702;
repertoire, 8, 91, 11323, 12535,
13942, 166, 181, 18692; xianshi
music, 5, 89, 157; xiyue music, 89,
10, 11, 14, 17, 51, 70, 72, 163, 169;
suite forms, 71, 137, 13843;
performance of, 224, 32, 95, 112n59,
15155, 156, 15759, 16062, 164,
16670; modes, 88, 99105, 10608,
11112, 128; relationship with
Minnan, 14, 21, 176n6; relationship
with Hakka, ix, 11, 18, 201, 176n7;
survival of, 223, 174, 176
Chen Anhua, 18, 70, 138, 142n47, 166
Chen Deju, 19, 153
Chen Tianguo, 10, 44, 70, 95, 109, 138,
159, 164
Chen Wei, 14, 70, 72, 10607
Chen Yang (Yueshu), 2, 656, 13637
Chen Yingshi, 90, 107
Cheung Sai-bung, 40, 12425
Chiba (ute), see Xiao
Chuida music, 45, 43, 57, 58, 169
Chushui Lian, 16, 72, 101, 104, 109, 127,
141, 144, 146, 165, 182, 19394
Citang (ancestral temples), 356, 423
Classical music, 56
214 index
Complex-simple principle, see
Composition, traditional, see
Variation forms
Concordance, see Xiehe
Confucian inuence, 2544, 51, 56, 75,
76, 79, 112, 113, 16365, 17071;
emergence of, 257; Xun Zi,
inuence of, 26, 289, 37, 38;
governance, 279, 356, 3744;
ideology and values, ix, x, xiixiii,
1516, 25, 2830, 414, 57, 16365,
16768; dissemination of values,
357, 42; neo-Confucianism, 267,
65; music theory, ix, xii, xiiixiv,
3744; opposition to, 457, 171,
17374, 175; survival of, 367, 424,
112, 147, 16364, 17071, 175; see
also Ruyue, Xiehe, and Zhongyong
Conservatory inuence, 111, 16162,
17475, 177; urban-professional ideal,
16465, 17475
Content (neirong), see Aesthetics
Cook, Scott, xii, xvii, 28, 38n19, 46,
49n42
Covered and controlled (hanxu), see
Aesthetics
Crossing-the-stage tunes, see Qupai
Crying mode (kudiao), see Mode
Cui (hastening), 13738, 139, 14243,
153; see also Daqu and Chaozhou
suite forms
Cultural imagery, associations with,
16567
Cultural Revolution, 34, 367,
46n35
Da Baban, see Baban
Daban (large beat), see Ban
Dadiao (great melodies), see Hakka
repertoire
Da luogu music, 8, 16n26, 43
Dan-xie-man-yi, 40; see also Confucian
music theory
Daoist inuence, 25, 30, 4751, 7980,
112, 164, 16869, 17071; see also
Ziran
Daqu (grand song form), 10, 645,
13638, 142, 145; cuipai (hastened
beat), 13738; po (break away),
13638; sanxu (prelude), 13637;
false and real hastening, 137
Datao (great suites), see Chaozhou
repertoire
DeWoskin, Kenneth, xii, xvii, 37, 401,
46n37, 48
Diao, 95, 96n33, 105; see also Mode
Dizi (ute), 8, 5860, 645, 70
Dongxiao (ute), see Xiao
Dunhuang cave murals, see Silk Road
inuences
Du Yaxiong, xiii, 37, 434, 82n15,
84n19, 87, 90, 95, 117
Eight, see Number symbology, Bagua,
Baban, and Bayin
Elegant music, see Chaozhou xiyue
Ema Yaoling, 132n34, 176n7, 200
Embellished variation, see Variation
forms
Embellishment, 158; adding owers,
823, 131, 152; shaken sounds, 51,
823, 103, 107; zheng embellishment,
823
Erban (second section), 13943, see also
Chaozhou suite forms
Erhu (ddle types), 20n32, 67, 175n4
Erhuang, see Melody types
Erxian (Chaozhou ddle), 810, 139,
15557, 159
Erxian (Minnan ddle), 12, 678
Erxian (Cantonese ddle), 968
Ethos, see Confucian ideology
Fanxian, see Mode
Five, see Number symbology
Folk music, 3, 56, 39n22
Functionalist approach, xixiii
Fung Yu-lan, xvii, 29, 30, 35, 45, 49
Gao Houyong, 60n15, 76, 105, 114n3,
155n6, 159n11, 169
Gaohu (Cantonese ddle), 20, 67, 157, 159
Gongche notation, see Notation
Gongdiao (do mode), 878, 978, 105
Guanzi (reed-pipe), see Bili
Guchui music, 4, 58
Gudiao (old tunes), see Cantonese
melody types
Guochang qu (crossing-the-stage tunes),
see Qupai
Guya (old and rened), see Aesthetics
Hakka, 5, 1418, 434, 60, 76;
settlement and culture, 1415; dating
of, 1415, 1718, 702; repertoire,
15, 1618, 90, 91, 11323, 12535,
144, 165, 180, 182, 19396; sixian
index 215
music, 1617, 20; qingyue music, 17,
44, 72,163; suite forms, 138, 14345,
146; performance of, 234, 95,
15355, 156, 165, 16670; modes, 32,
803, 87n23, 88, 97, 99105, 10608,
11112, 127; instruments, 1617, 57;
relationship with Chaozhou, ix, 11,
14, 18, 201, 176n7; survival of, 23,
174, 17677; see also xiansuo
Han Chinese, 1
Han dynasty ensembles, 5761
Hantian Lei, 20, 13233, 146, 169
Hanya Xishui, 8, 72, 79, 128, 13435,
13942, 15152, 15558, 161, 166,
181, 18889, 19092
Hanxu (covered and controlled), see
Aesthetics
Harmonization of opposites, 2930
He (harmony), 40; see also Confucian
music theory and Xiehe
Heterophony, see Performance variation
Hokkien (region), 1, 7, 164
Huadiao, see Huandiao
Hua Liuban, see Liuban
Huandiao (joyful mode), see Mode
Huang Jinpei, xviixviii, 1, 19, 96, 103,
132, 166, 168n25, 169
Huangli Ci, 12628
Huangzhong (yellow bell), see Pitch
systems
Huayin (ower tones), see
Embellishment
Huowu (active 5), see Chaozhou modes
Huqin (ddle), 668, 701; see also
specic instrument names
Idiomatic variation, see Performance
variation
Indian inuence, see Buddhist inuence
Instrumental ensemble types, 46
Instruments, 53n1, 5860, 6273, 108;
and techniques, 156; redesign of,
11112, 17475; see also Sizhu early
history, Bayin, and specic names
Interactive variation, see Performance
variation
Interpretive variation, see Performance
variation
Jiahua (adding owers), see
Embellishment and Performance
variation
Jiangnan (region), 67, 119
Jiangnan sizhu, 44, 713, 92, 95,
11823, 132, 159n9, 159n11, 169,
184
Jianpu (simple notation), see Notation
Jiezi (borrowed notes), see Performance
variation
Jinshang Tianhua, see Baban
Joyful mode (huandiao), see Mode
Kaiyuan Temple instruments, 689
Kaopai (whipped beat), 13943; see also
Chaozhou suite foms
Kaufman, Walter, xii, 38n19
Key, 945, 96n32, 99n38, 105, 155; see
also Pitch systems
Kudiao (crying mode), see Mode
Kunqu (opera), 5, 6, 19, 59n12, 889
Lao Zi, see Daoist inuence
Li (ritual, propriety), 289; see also
Liyue
Liyue (ritual and music), 30, 39, 414,
456; see also Confucian governance,
ideology, and music theory
Liuban (Six Beat), 33, 11823, 132,
184; and Japanese danmono, 123; see
also Baban
Liuqing Niang, 8, 20, 89, 912, 11516,
134 35, 144
Liveliness (qingkuai ), see Aesthetics
Li Yan, 102, 106
Ll (chromatic pitches), see Pitch
systems
Lunyu (Analects), 256, 28n4, 467
Luogu music, 4
Lomax, Alan, xixii
Map, 3
Melodic skeleton (guganyin), see
Melody, 4951, 7583, 160; motivic
angularity, 767, 121, 160; phrase
irregularity, 51n44, 7880, 115, 122;
see also Embellishment and Qupai
Melody types, erhuang, 96, 100; xipi,
87, 97; bangzi, 97; see also Qupai and
Xiaodiao
Meter, see Notation
Ming cross inuence, 6873
Minnan, 5, 1114, 21, 24, 44, 60, 176;
settlement and culture, 1112; dating
of, 11, 1314, 14n22, 6870;
repertoire, 12, 88n24, 91, 114n1, 130,
13738, 14546; nanguan (xianguan), ix,
5, 12, 14, 34, 44, 6870, 91, 96, 163,
216 index
164, 16769; instruments, 1213, 32,
56, 667, 96n32; relationship with
Chaozhou, ix, 11, 14, 176n6
Mode, 80112, 96n33, 113; wusheng
forms, 838, 956, 100, 105, 112,
129; association with regions, 87,
88n24, 97; Cantonese string forms,
968; crying mode/joyful mode
forms, 72, 75, 97, 99105, 10710,
128, 141, 171; fanxian, 97, 99100,
101, 10305, 108, 111, 12830;
qifandiao (seven reverse mode), 129;
alternating modes, 10911, 141;
linear elements of, 10811,
12630; see also Variation forms,
Temperament, Cantonese modes,
Chaozhou modes and Hakka modes
Modal variation, see Variation forms
Moderation, see Zhongyong
Mo Zi, on ritual music, 456
Music and ritual, see Liyue and
Confucian governance
Music categories, 26
Music clubs, see Sizhu music
Music cultures of South China, ix, xii,
1, 621
Music theory, see Confucian inuence
Musical spirit (quyi ), see Aesthetics
Nakaseko, Kazu, xvii, 31, 75, 83
Nanguan music, see Minnan
Neirong (content), see Aesthetics
Neo-Confucianism, see Confucian
inuence
Notation, xv, 8894, 150, 162; wusheng
system, 858; gongche system, 8894,
117, 151, 17984; banshi metric
system, 904, 13031, 179; jianpu
cipher system, 88, 185200;
Number symbology, 305; auspicious
numbers, 314, 31n9, 33n10;
signicance of, 345, 44, 54n2, 56,
834, 114n2, 11723, 137, 170
Old and rened (guya), see Aesthetics
Orthography, xvi
Pai, see Ban
Paiban (clapper), 6870, 90
Performance variation (bianzou), 4951,
14962; melodic skeleton, 15152;
heterophony, 15062; adding owers
( jiahua), 823, 131, 152; borrowed
notes ( jiezi ), 81, 86, 109, 110, 127;
complex-simple principle, 15759;
idiomatic variation, 15557;
interactive variation, 15760;
interpretive variation, 16062,
16567
Phrase variation, see Variation forms
Pinghu Qiuyue, 20, 78, 81, 197, 198
Pipa (lute), 6, 810, 12, 17, 19, 20,
589, 60, 62, 648, 703, 111, 117,
142n47, 157, 159
Pitch systems, yellow bell pitch, 56,
83n17, 945, 112; ll chromatic
pitches, 31, 34, 83n17; wusheng pitch
positions, 38, 838, 109;
pentatonicism, 41, 801, 834, 95,
151; pitch adjustments, 108n56;
altered tones (bianyin), 81, 86
Professionalism, see Conservatory
inuence
Pu (notation), see Minnan repertoire
Qi-cheng-zhuan-he (form), 12324
Qin (zither), 4, 5, 6, 11, 48, 51, 53, 57,
64, 168
Qingkuai (liveliness), see Aesthetics
Qingsanliu (light 36 mode), see
Chaozhou modes
Qingshang music, x, 14, 17, 53, 59, 601,
634
Qingyue (virtuous music), see Hakka
Qinqiang opera modes, 99, 171; see also
Mode
Qinqin (lute), 810, 58n9, 96, 99103,
10708, 157, 159
Qiu Hechou, 20, 72, 968, 114n1,
15254
Qupai (named song), 68, 70, 100, 104,
11417, 125, 12831, 134, 138,
14346, 15051; crossing-the-stage
tunes, 19, 20, 72, 11516; as cantus
rmus, 125
Quyi (musical spirit), see Aesthetics
Recordings, xi, 76n2, 139n44, 145n51,
146n54, 161n13
Rened music, see Yayue
Renao (bustling), see Aesthetics
Restraint, 16768, 16970
Ritual, see Li
Ruan (lute), 58n9, 111, 157, 175n4
Ruandiao (soft mode), see Hakka
modes
Ruyue (Confucian music), xiv, 1011,
17, 149, 163, 170
index 217
Sanban (third section), 13943, see also
Sanban (random beat), 91, 145
Sanxian (lute), 6, 810, 12, 678, 701,
142n47, 157, 159
Schafer, Edward, 63, 64n22
Scott, A.C., 173
Shaken sounds ( yaosheng), see
Embellishment
Shen Yunsheng, 968
Sheng (mouth-organ), 54, 57, 60, 645,
70
Sheng (sound), 389
Shibuji, see Tang ensembles
Shifan luogu music, 71, 73
Shuangxing Hen, 81, 10910, 146,
15960, 175, 199
Sichun, 723
Silk-bamboo, see Sizhu music
Silk Road inuences, 613
Sixian (silk string) music, see Hakka
Sizhu music, ix, 12, 46, 6473,
11323; early history, 2, 5373; social
perspectives, 2124;
educational approaches to, 162;
performance of, 22, 234, 43, 94; see
also Performance variation, Variation
forms, Suite forms, and individual
cultures
Social harmony, see Xiehe and Confucian
ideology
Social perspectives, see Sizhu music
Spontaneity, see Ziran
String-poem music (xianshi ), see
Chaozhou
Suite forms (taoqu), 71, 94, 13646;
Chaozhou beat-form suite, 32, 94,
137, 13843; Hakka suite forms, 138,
14345; modal variation suites,
14445; chain form suites, 12,
14546; Cantonese hybrid forms,
146; see also Daqu
Suona (shawm), 43, 115, 119
Tang people (tangren), 1, 9
Tang dynasty ensembles, 615
Taoqu, see Suite forms
Temperament, xv, 101, 102, 10508,
11112; seven-equal-tone, 10506;
24step theory, 102, 106; cents
system, 102, 106n52; neutral thirds,
102, 106, 127; shifting aural
perceptions of, 10708; pitch
adjustments, 108n56; new equal
temperament ideal, 11112,
17475
Tempo, 91, 94, 13032, 13843, 144,
146, 169
Teochiu, see Chaozhou
Tihu (ddle), 810
Tiqin (ddle), 19, 96
Touban (rst section), 13943; see also
Touxian (ddle), 16
Transposition (zhuandiao), 86, 10304,
105, 12830, 14445
Trigram system, see Bagua
Twentieth century, see Conservatory
inuence
Variation forms (bianzou), 70, 12436;
variation ideal, 12425, 136;
embellished variation, 12526;
modal variation, 12630; beat-form
variation, 13, 13032; phrase
variation, 13236; see also Suite
forms and Performance variation
Wen-wu (civil-martial), 30, 31, 75
Wright, Arthur, xvii, 27
Wusheng (modal system), see Pitch
systems, Mode, and Notation
Xian (string), 968; see also Mode
Xian city and region, 910, 14n22
Xianghe ge (harmonious song), 53,
5960
Xianguan, see Minnan
Xianshi (string-poem music), see
Chaozhou
Xiansuo (string music), 4, 6, 8, 11, 34,
702, 117
Xiao (ute), 12, 54, 556, 59, 62, 65, 68,
70, 102, 107
Xiao Baban, see Baban
Xiaodiao (short tunes), 20, 116
Xiaoqu (short tunes), see Cantonese
melody types
Xidiao, see Baban
Xiehe (concordance), 28, 40, 16364,
170; see also Confucian ideology
Xinghai Conservatory of Music, see
Conservatory inuence
Xipi, see Melody types
Xiqin (ddle), see Huqin
Xixiang Ci, 16, 768, 803, 86, 100, 165,
180
Xiyue (elegant music), see Chaozhou
218 index
Xunfeng Qu, see Baban
Xun Zi, see Confucian inuence
Ya (elegance), 401, 167; see also
Confucian music theory
Yangqin (dulcimer), 810, 71, 968,
10608, 111, 157, 159
Yang Yinliu, xvii, 634, 945, 120,
122
Yanyue (banquet music), 2, 58, 61,
634,
Yaogu (drum), see Silk Road inuences
Yaosheng (shaken sounds), see
Embellishment
Yayue (rened music), 2, 14, 39, 40, 58,
61, 84n19, 167; see also Confucian
music theory
Yehu (ddle), 8, 17, 67, 157
Yidian Jin, 12930, 145, 176n7, 19596
Yifanxian (ti-fa string), see Cantonese
modes
Yin (tones), 389
Yingdiao (hard mode), see Hakka
modes
Yin-yang ideology, xiv, 26, 303, 51, 75,
159, 17071
Yi-xing (spirit-form), 49, 51
Yuan Jingfang, 1n2, 70, 105, 125
Yuda Bajiao, 20, 166
Yudiao (la mode), 87, 978
Yue (musical ethos), 389; see also
Confucian music theory and Liyue
Yueji (Record of Music), 25, 26, 37,
38 41, 79, 124, 167
Yungang cave reliefs, see Silk Road
inuences
Zhaojun Yuan, 20, 103, 127, 128, 135,
144, 146, 165, 166n20, 167, 175
Zheng (zither), 6, 811, 1213, 17, 18,
34, 54, 567, 62, 64, 66, 701, 823,
10003, 117, 123n19, 139, 155n5,
157, 159, 161, 164, 16869
Zheng state, music of, 2, 467
Zhengxian (proper string), see Cantonese
modes
Zhidiao (sol mode), 87, 89, 968, 100, 105
Zhongsanliu (heavy 36), see Chaozhou
modes
Zhongyong (moderation), 29, 3940,
16061, 167; see also Confucian
ideology
Zhuang Zi, 4751, 7980; translation of,
49n42, 50n43; see also Daoist
inuence and Ziran
Ziran (spontaneity), 4851, 112,
16869, 17071; in phrase
irregularity, 4951, 7980, 168; in
brush painting, 4950, 168; see also
Daoist inuence

Chinese Music - Sizhu Instrumental Music of South China Ethos Theory and Practice

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Sizhu Instrumental Music of South China

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