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Doctoral Dissertations 1896 - February 2014

1-1-1975

Improvisation and related concepts in aesthetic education. Improvisation and related concepts in aesthetic education.

Bill Barron University of Massachusetts Amherst

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IMPROVISATION AND RELATED CONCEPTS

IN AESTHETIC EDUCATION

A Dissertation Presented

By

WILLIAM BARRON, JR.

Submitted to the Graduate School of the

University of Massachusetts in partialfulfillment of the requirements for the degree of

DOCTOR OF EDUCATION

August ]975

Major Subject: Education

( c) William Barron 1975

All Rights Reserved

IMPROVISATION AND RELATED CONCEPTS

IN AESTHETIC EDUCATION

A Dissertation Presented

By

WILLIAM BARRON, JR.

Approved)

as to style and cont^rft by:

David G. Coffing, Chairperson

Frederick C. Tillis, Member

Roland A. Wiggins ,•'Member

Acting DeanSchool of Education

August 197b

iii

TABLE OF CONTENTS

ACKNOWLEDGEMENTS.

ABSTRACT

Chapter

I. INTRODUCTION x

Statement of the Problem \Purpose of the Study 1Approach of the Study 3Background of the Study U

Educational Significance of the Study 18Limitations of the Study 21

II. REVIEW OF THE LITERATURE 23

Historic Approaches to Embellishmentas an Effective Notion 23

Instrumental Embellishments 26Contrasts and Similarities in Embellishment Usages . . 26Selected Definitions of the Embellishments 29The Intuitive Approach to Creativity Ul

III. THEORETICAL FOUNDATIONS 1*5

Source Materials U5

Definitions U5

Application of the Embellishments to the Melodic Model 5^

IV. THE EMBELLISHMENT LEXICON 57

Hov to Read the Lexicon 57

Outline of the Page 57

The Abbreviations 58

Placement of the Embellishments 59

V. CONTEXTUAL EXAMPLES 105

VI. EMBELLISHMENT AND THE CURRICULUM 11*»

Application of the Results • 11**

VII. SUMMARY, CONCLUSION, AND RECOMMENDATIONS 131

BIBLIOGRAPHY 13^

SOURCES OF CONTEXTUAL EXAMPLES: SOLOISTS AND COMPOSERS .... 139

iv

ACKNOWLEDGEMENTS

I would like to acknowledge the help given me by the members

of my committee In bringing the present work to completion: David G.

Coffing, Frederick C. Tillis, and Roland A. Wiggins. Their incisive'

information and thought-provoking questions stimulated me to renewed

effort when things got tough. They gave freely of their time to an-

swer questions and to read through the several drafts prior to the

completion of the dissertation.

So close wan the thinking between Roland Wiggins and myself

on matters of music theory and melodic development that I was able

to adapt and expand on a melodic model that he and Edward Boatner had

constructed. Their work was intended to be used within a non-jazz

context. I have adapted it for use in the Jazz idiom. I would like

to thank both Roland Wiggins and Edward Boatner for their permission

to use part of their work in the construction of the Embellishment

Lexicon

.

I also would like to thank my wife Anna for her typing and

proof-reading of the manuscript from its inception to its completion.

Improvisation and Related Concepts in Aesthetic Education

August 1975

William Barron, Jr., B.A., Combs College of Music, Philadelphia

Directed by: David G. Coffing

The objective of this dissertation is £o establish a reference

book that can be used as a component in a music curriculum on improvi-

sation or composition. It can be coordinated with the existing texts

or it can be used as the basis for establishing a course on improvisa-

tion or composition. It contains an Embellishment Lexicon, solos that

are transcribed from records, and a section including suggestions on

how the embellishments may be practiced or how the student or teacher

may go about writing their own.

Chapter I gives an account of the experiences and reasoning that

formed the basis for the Embellishment Lexicon which is the result of

the present work. Among the impelling reasons for such an undertaking

is the fact that within the music theory classes as now taught in the

schools there is sufficient material to help the interested and creative

student learn how the basic materials of music can be expended in cre-

ative effort. Unfortunately, in all too many cases the emphasis in the

theory classes is not upon the creation of melody but upon the utiliza-

tion of the rules of harmony to fill in parts of an exercise.

vi

The lexicon builds upon an aspect of the theory course that is

passed over f leetingly ; how to use the embellishments to turn harmony

into melody. The Embellishment Lexicon will make available a reference

book that can be used as a component in establishing a course on how to

teach melodic development. It can also be used as a self-instructional

aid by the student.

The educational objectives are to assist the student in the

acquisition of cognitive, affective, and psychomotor abilities and

skills

.

The historic approaches to embellishment as a source of melodic

enrichment and extension are examined with regard to their development

and application. The evolution of the embellishment in concept and use

is traced to show what the underlying principles were that developed into

common practice among musicians. The role of the individual in the

creative production of music is traced to show that creativity was once

a natural component of Western music. The early usages of embellishment

are contrasted with current usage, i.e., the evolution from a purely

melodic ornament to its present status within a harmonic context.

Selected definitions are given to illustrate the confusion of terminology

that has remained rampant within the field ever since the attempt was

made during the Renaissance and Baroque periods to codify the profusion

of interpretations concerning how the embellishments were to be performed.

An attempt is made to show that the expert use of the embellishments is

not enough to guarantee a valid creation and that there is an unquantif iable

element present in the form of intuitive knowledge.

vii

Chapter III undertakes the description of the theoretical foun-

dations for the Embellishment Lexicon. The definitions and principles

are given that are used in the construction of the melodic model upon

which the embellishment patterns are set. The definitions for the em-

bellishments as used in this dissertation are given.

In Chapter IV, a systematic exposition of the various types of

embellishment is given in a two-chord context. The embellishments are

constructed over the different possible melodic motions, i.e., the re-

peated tone, the small leg.p up, the small leap down, etc. The harmonic

material is drawn from the diatonic scale.

Chapter V presents the embellishments in a contextual setting.

The examples are drawn from a wide range of representative works in the

field of Afro-American music. Both compositions and improvised works

are analyzed to show how the embellishments are used in a realistic

setting. Examples are included which cover works from Louis Armstrong

to John Coltrane

.

Chapter VI outlines how the embellishments may be taught. It

gives numerous examples of each of the embellishments which can be used

as a set of exercises to build up conceptual clarity and psychomotor

facility

.

Chapter VII, after summarizing the main ideas in each chapter,

the conclusion and recommendations for further study expresses in

part the notion that:

Viii

The art of improvisation utilizing the principles of embellishment

has been a major contribution to creative change in music. The embellish

ments are a means for disseminating standard operational forms that are

effective and efficient.

In addition to the cognitive aspects; rules of embellishment, etc.,

there should be more research into intuitive (affective) modes of creation.

Also the psychomotor or kinesthetic aspects of music performance which

has received the least investigation as an educational objectives should

be researched in greater depth.

CHAPTER I

INTRODUCTION

Statement of the Problem

There is a need for music students who are interested in im-

provisation and composition to have a thorough understanding of em-

bellishment , which is one of the basic components contributing to the

expansion of harmony into melody. There is a need for a lexicon in

which there can be found under one cover the principles of embellish-

ment, isolated examples uncluttered by a complicated framework for

easy understanding, contextual examples for comprehending the embel-

lishments in use, and finally an approach for practicing them toward

facility in execution and application.

Purpose of the Study

Many music theory teachers use some favorite text in their

classes as an aid to student learning. The majority of the textbooks

emphasize the analytical aspects of music, with very few devoted to

the melodic or synthetic elements.

The purpose of this study is to make available a data bank in

the form of an embellishment lexicon for the creative music student

and for music teachers who are currently teaching improvisation cour-

ses or who intend to teach creative music.

2

The lexicon could he used as the core of a course on improvisa-

tion, or it could be coordinated with a standard theory course as an aid

to increasing melodic possibilities. This could be an area for wide

application, because most theory courses focus on the harmonic motion

of the parts . This concentration on harmony to the exclusion of other

improvisational aspects of music is a constant source of frustration to

many students who are interested in studying Afro-American or any other

form of creative music in the school system beyond the music apprecia-

tion level.

The embellishments currently are taught within the context of a

regular theory course. However, it can be argued that not enough stress

is placed upon the importance of embellishment as an essential element

in composition or in improvisation classes. There is not available at

the present a systematized presentation of the embellishments.

The lexicon will contain a wide variety of examples for analysis

to insure thorough conceptual understanding. It will also contain an

approach to studying the embellishments for instrumental or psychomotor

facility. The lexicon can be coordinated with the chord and scale

approaches to improvisation.

A thorough presentation of the melodic movements that are con-

sidered melodically and harmonically valid within the domain of tradi-

tional concepts has not been presented under one cover.

3

Approach of the Study

The approach of this study is primarily in the areas of cur-

riculum content and methodology. The study outlines some conventions

used in deriving and extending melodic possibilities in tonal music.

Assumptions . The underlying assumptions of this dissertation

cure as follows

:

1. That the need exists for melodic resource material to ex-

tend and offer another interpretation of the ways in which chords and

scales can be handled to multiply the melodic output

2. That those students who are motivated toward self-expression

will have their motivation reinforced by having a resource book that

they can use to teach themselves and which can also be used to extend

the usefulness of their standard harmony classes

3. That a thorough knowledge of the embellishments cognitively

and operationally will eliminate technical deterrents to improvisation.

The nature of the approach . The developed lexicon will include

the following:

1. The embellishments will occur in a variety of harmonic re-

lations

2. The embellishments will occur within a single chord or be-

tween two or more chords

3. The scope of the harmonic framework in which the embellish-

ments occur within the lexicon (analysis section) will be limited to a

\

single progression between two chords

Only a single major scale will be used

5* On each step of the major scale a diatonic thirteenth chord

will be constructed

6. The melodic model upon which the embellishments will be con-

structed consists of the notes of the two chords in the progressions

given in the examples

7. The notes used in the model to form the basic melody will be

modified to conform to the pattern required by a specific embellishment

8. Melodic motion in various possible modes will be used, i.e.:

a) Repeated tone

b) Stepwise motion upward

c) Stepwise motion downward

d) Narrow leap upward

e) Narrow leap downward

f) Wide leap upward

g) Wide leap downward

Following the lexicon there will be a chapter outlining an

approach to learning and using the embellishments.

Background of the Study

Author’s personal background

The problems involved in the creative process have been a pre-

occupation of long duration with me. It was at first only an intuitive

awareness of a need or a desire to improvise like the men I heard per-

forming on recordings during my youth. I had been exposed to a limited

5

variety of musical styles in the European idiom and to an abundance of

styles derived from the Black experience. My earliest exposure to the

music indigenous to my culture was to the work of Fats Waller, Duke

Ellington, Count Basie, Bessie Smith, Jimmy Lunceford, Coleman Havkins

and Louis Armstrong, to enumerate Just a few. Two questions became

very significant to me at the time : Hov did they learn to perform ex-

temporaneously? And how could I learn to improvise?

The second question lead to the purchase of a book written by

Jimmy Dorsey which dealt with improvisation through the study of chords.

This early encounter with a method demonstrating the possibility of

learning something about how to create one’s own music encouraged me to

look for further instructions on how to compose and to improvise. This

search culminated in my enrolling in the Music Department at the Mast-

baum Vocational School in my native Philadelphia.

When I started at Mastbaum, I knew that I wanted to study Black

music. The reason I chose an all-music course was that I thought I

could learn exactly what I needed to know in order to improvise and

write music. My expectations were not totally satisfied, however. My

music education was a typical one, with the usual emphasis on band,

orchestral and ensemble practice. There was the typical deference to

the practices of the past with the role of the student relegated to

responding to rigid formulas in the theory classes. There was, however,

a dance band which was the only concession to current practice on the

contemporary music scene.

My experiences at Mastbaum, although not ideal, were extremely

useful in that I learned to appreciate a variety of music which was not

6

indigenous to my culture. I learned to use the tools which were neces-

sary for writing music; I learned to hear and analyze music; I learned

how to perform in groups of varying sizes. The school did not play any

recordings of music created by Black musicians or singers in the music

appreciation class, and there was no mention in the music history class

of the contribution of Black musicians to the history or development of

music

.

The help I received at Mastbaum in the domain of creative work

was only of an indirect nature. The greatest advances I made in crea-

tive writing and playing were made outside the school environment. The

sources of my information were personal research, questioning of my peers

and of professional musicians, and listening to records. It is not to

the credit of the schools that in so many instances creative persons have

to pursue creative work outside the place designated to advance the indi-

vidual and thus society and culture. The following statement by John W.

Gardner, former Secretary of Health, Education and Welfare, is most appro-

priate :

The body of custom and "reputable" standards exercises such an

oppressive effect on creative minds that new developments often

originate outside the area of respectable practice. The break

with traditional art was not fostered within the Academy. Jajz

did not spring from the bosom of the respectable music world.

My later studies in a formal setting at the Ornstein School of

Music (later Combs College of Music) in Philadelphia were much more re-

warding. There I studied composition under two very creative men, Leo

1John W. Gardner, Self-Renewal: the Individual and the Innovative

Society (New York: Harper Colophon Books, Harper and Row, 1965)

»

pp. 4 5-^6.

7

Ornstein and Romeo Cascarino. Although the theory courses followed the

traditional pattern, I was fortunate enough to study independently with

Dennis Sandole who alerted me to many things that were useful and cur-

rent.

This brief account of my music education covers approximately

forty years (1933 to 1973). During this span of time there has been no

significant change in teaching toward providing the tools or the psycho-

logical atmosphere that would encourage or facilitate creative effort in

the schools. The net result is that the questions I asked a number of

years ago are still being asked, and the same answers given. The ques-

tions asked by creative or potentially creative individuals are:

1. What is the creative process?

2. What do I have to know in order to

be creatively productive?

3. Where do I go to get the information I need?

U. From whom shall I get the answers

pertinent to my questions?

Contemporary music curricula

It goes without saying that the creative urge should be nurtured

from as early an age as possible. No one has to convince a child that

he should like music, because there is an intuitive response to music

at an early age. The young child sings and makes up his own music and

words. This natural creative phenomenon should be recognized and encour-

aged from the nursery to the university level. Lawrence Kubie emphasizes

8

this point in the following:

It has long been known that in early years children have anextraordinarily inventive imagination, transposing experiencefreely among the various sensory modalities, using delightfuland original figures of speech and allegory.

The material is there, psychologically and biologically. It

only needs developing and guiding. This guidance should be student-

centered, i.e. maximally productive and satisfying to all concerned.

There are many students throughout the United States who have

the potential and/or aspiration to be creative musicians. The very

relevant and important needs of this student body is not being ade-

quately met. A student brings to the learning environment a very per-

sonal interrelated system of values, ideas, ideals, expectations,

questions, purposes , content needs, and psychological needs. Unfortu-

nately, when the needs and purposes of the schools and those of the

individual student do not form a one-to-one relationship, it is the

student who must adapt. This may cause him to suffer serious material

and psychological need deprivation. The seriousness of the situation

is amplified by the following statement by the New York State Commission

on Cultural Resources

:

Unless education is open - offering a broad range of choice and

opportunity in answer to many different and changing individual

needs - the formal educational system can cripple the child and

the adult both intellectually ^nd psychologically in his ability

to deal with a life of change.

2Lawrence S. Kubie, Neurotic Distortion of the Creative Process

(New York: The Noonday Press, a division of Farrar, Straus, and Giroux,

1961), p. 110.

3Arts and the Schools: Patterns for Better Education , Report

of the New York State Commission on Cultural Resources, 1972, p. 62.

9

Collectively, the schools—elementary. Junior high and high

schools, universities, colleges, music schools and music conserva-

tories—are structured with a bias in favor of convergent thinkers

,

namely the problem solvers and verbal reasoners. On the other hand,

the schools exhibit at least indifference, if not bias, against the

divergent thinker who may be defined as the problem finder and intui-

tive thinker. As of now, creative talent cannot be predicted reliably

by test or intuition and developed at an early age or later in life.

For example, the college entrance examinations are not geared towards

predicting creative potential among college students.^ The construc-

tion of a test that could predict creative talent would most certainly

be a definite asset, but until such time as one is constructed, the

teachers will have to use their common sense to evaluate the candi-

dates. Discovering implicit talent may be difficult, but there is

nothing difficult in understanding explicit requests by students for

studies in Jazz improvisation or creative writing. If they have any

talent , it probably will be reinforced positively by the opportunity

to be involved in the study of a subject in which they are interested.

Obviously not all the students go to music school to become

composers or improvisors. Some are interested in recreative perfor-

mance of works created by others, and this is important; others are

more interested in composing than in performing; some want to compose

and perform what they write. Finally, there is another group of stu-

**The Educational Environment and the Cultivation of Talent,

Cliff Wing, Jr., "Creativity and Learning", Student Selection, ed.

Jerome Kagan (Boston: Beacon Press, 1967 ) » P* 102.

10

dents who want to compose, recreate and improvise music. To counsel,

coach and instruct the students in their areas of interest does not

seem to be too much to expect of an institution dedicated to training

its students to take an active, productive part in society upon gradu-

ation.

As presently structured, music curricula are heavily weighted

toward perpetuation of the music of the past through virtuoso recre-

ative performance. The great composers of the past most certainly

should be listened to, but the new composers, whether intuitive or

academic, should also be heard.

Teacher training has been designed to follow the pattern of

passing on to future generations those works of art which have been

considered of enduring value. This could be defined as past-centered

teaching. Many of the works that have stood the test of time indis-

putably deserve to be heard, recorded and studied. The men who have

stood out in the history of music were those who understood the music

of their time and either formed a synthesis of the current practices

or went on to create new forms. Music history is a chronicle of the

life of these men and the events that led to changes in the music con-

tinuum. The theory books are the repository in which the techniques

they used are analyzed for all to study.

The main point in the above statement thus is that there were

people at some point in time who were engaged in creating music and

that these creations are a part of a continuum which has led up to

this very moment. During the course of time, the emphasis has shifted

away from the composer to the performer. A music performance major has

11

to follow a strict regime of recreative performance from which he dare

not stray. However, there is a body of students who want to perform

and create simultaneously, using intuitive compositional techniques.

Performance majors-—-in fact, any music student who is pursuing any

subject in the domain of inside (traditional) music—has a wide se-

lection of institutions of learning at their disposal. On the other

hand, students who are interested in creative musicianship have a

limited number of options for study.

At the college and university levels there are only a few

schools where a student can major in Jazz studies. At the preunder-

graduate level there are even fewer. Formal music education which

includes individual instruction on an instrument, singing lessons,

performing in a band, orchestra and ensemble, or singing in a chorus

are all essential to the development of a well-rounded musician. How-

ever, it is important that the students not only play the standard

literature but are exposed to and trained to perform more non-standard

works such as new European music, ethnic music, and Jazz.

In the harmony classes at the pre-undergraduate level, the main

focus of attention is on harmony with some attention to rhythm. Very

little attention is given to developing within the student an awareness

of the melodic processes. It is taken for granted that he will grasp

the principles of melodic syntax on his own. At the undergraduate

level, those students who manage to remain in the high school harmony

courses finally get a chance to do creative work if they are composition

majors.

12

Unfortunately , most students are not prepared at the high school

level for the work that takes place in composition at the college level.

This unpreparedness is first revealed to the student when he is asked

to present his latest compositions as part of his audition. This need

not, and should not, happen if the student's interests vere truly con-

sidered. It must have been situations like this which prompted John W.

Gardner to make the following statement:

Professions are subject to the same deadening forces thatafflict all other human institutions : an attachment to time-honoured ways, reverence for established procedures, a preoccu-pation with one’s own vested interests, and an excessively narrowdefinition of what is relevant and important.

Fortunately there is an increasing number of teachers who are

concerned that students with creative tendencies be given encouragement

and guidance in the area of their primary interests. However, the num-

ber of teachers involved in such work is all too small and, in many

cases , the instruction that they give is not part of the formal program

offered by the institutions for which they work.

My primary interest is in the field of Black music , especially

in the domains of composition and improvisation. There are three ways

in which composition can be taught: academically, scientifically, and

intuitively. The academic and scientific compositional techniques are

the methods employed by most music educators. I will give a brief ac-

count of the three compositional techniques.

^John W. Gardner, No Easy Victories (New York: Harper and Row,

Harper Colophon Books , 19^9) » P» ^2.

13

The academic technique . The academic branch of composition

places a great deal of stress on techniques which are based on the

works of the long-established composers. The academic teacher of com-

position constantly looks to the past for guidance. The end result is

perpetuation of the melodic , harmonic , and rhythmic syntax based upon

set rules.

The scientific technique . The scientific composers use the late

latest developments in technology, mathematics and science and attempt

to explain everything in very complicated scientific terms. Included

in this group are Pierre Boulez, Milton Babbit, Allen Forte, and Walter

Krenek. The educational goal of the scientific group is the production

of creative music; however, the language and methods used are advanced

and too recondite for the average music student. And so the conditions

as they exist today are far from ideal, because on the one hand there

are the traditionalists who are always looking backward, and who in the

main are not contributing very much to the creative or forward-looking

aspects of music , and on the other hand there are the very advanced and

abstract groups whose teachings can only be relevant to someone who has

studied long and hard and who has been prepared with the language used

by these specialists. There is almost no choice for someone who is in-

terested in improvising or composing jazz and who is not an adherent of

either of the existing schools of thought.

The intuitive technique . The intuitive approach to teaching im-

provisation and composition seeks, along with the formal rules of com-

position, to increase the student's awareness of the possibility to uti-

lU

lize his emotions and feelings in spontaneously created music. One of

the goals in promoting the intuitive approach to composition and impro-

visation is to increase the spontaneity of the student as veil as the

rapidity and fertility of concreticizing his inner perceptions and con-

ceptions. Intuition as a possible method of instruction has gone large-

ly ignored because it is assumed that objective knowledge will provide

all the essential ingredients for constructing new models upon which

to build new knowledge.

The dichotomy which exists today in music education between re-

creative performance and creative musicianship should be eliminated.

Each should be part of the music curriculum, as each is important for

the propagation of both contemporary and traditional written music and

for the dissemination of individual interpretations of the sound spec-

trum through improvisation.

The music educators in all sincerity should realistically ex-

amine their products and the capacity of the market to absorb them.

They should structure the curricula with the students' interests in

mind, as they are the ones who have to pay the price for any errors on

the part of the teachers. The teacher remains on his Job, whereas the

student has to go out into the everyday world where he will be in for

many disappointments if he is not equipped with knowledge that he can

use right away.

At this point a statement by Dominique-Rene de Lerma is appro-

priate :

15

Educators have not always thought about who it is they areeducating, or for what purpose. We ignore the fact that at least25,U62,891 of us are non-White (of this total, based on the 1970Census, something under ninety per cent is Black). We compart-mentalize music into traditionally segregated areas , each seekingto establish its own identity and curriculum, despite the factthat many of those students who major in these areas are quali-fied only to perpetuate the teaching of their majors (and employ-ers, alas, think along the same lines). We are not always relat-ing teaching to Job opportunities. How many schools provide boththe subject knowledge and skills to enter some aspect of the musicindustries , as an example? What school has surveyed the entireprofessional world of music, consulted with specialists in thesevarious fields, evaluated the potential Job market, and then de-veloped a curriculum which may provide an interested student withtraining for actual positions - other them those which advancetheir own cause within the classroom? I wonder if college adminis-trators, who might know quite well the implications of prerequi-sites, are as alert to the requisites of a music editor, a concertmanager or an accoustical engineer. Does he have some distress

about graduating another senior class of piano majors, not one

member of wjaich may ever earn a living playing in the styles he

was taught?

Jerome S. Bruner gave this definition of intuition and of the

value of giving training in sensitivity to hunches:

. . . the intellectual technique of arriving at plausible but tenta-

tive formulations without going through the analytic steps by which

such formulations would be found to be valid or invalid conclusions.

Intuitive thinking, the training of hunches, is a much-neglected and

essential feature of productive thinking not only in formal academic

disciplines but also in everyday life. The shrewd guess, the fertile

hypothesis, the courageous leap to a tentative conclusion - these

are the most valuable coin of the thinker at work, whatever his line

of work .

'

A careful examination of the nature of intuitive thinking might

be of great aid to those charged with curriculum construction and teach-

ing. Mathematicians, physicists, biologists, and others stress the value

^Dominique-Rene de Lerma, Reflections on Afro-American Music

(Kent State University Press, 1973), p. 23.

TJerome S. Bruner, The Process of Education (New York: Alfred A.

Knopf and Random House, Vintage Books, a division of Random House, 1963),

pp. 13-1^.

16

of intuitive thinking in their respective areas.

8

Improvisation is an interfacing of synthetic creativeness

(the process of constructing, as you proceed, by rules and previously

gained knowledge) and of intuition—the process of leaping to a con-

clusion without formal proof. The validity of any piece of improvi-

sation can always be tested if it is recorded. Indeed, the improvised

works of many Jazz musicians have stood the test of time. A short list

would include Jelly Roll Morton, Louis Armstrong, Charlie Parker, John

Coltrane, Miles Davis, Max Roach, and Clifford Brown.

The problem of how to teach creative music encompasses the whole

of America and probably most of the world where European music is taught.

However, this is not the case for all cultures. Creativity in music is

an integral part of Indian (Eastern), Japanese, Javanese, Balinese, and

African music. European music at one time contained improvisation as a

component , as illustrated by the following quotes from The New College

Encyclopedia of Music :

It may be assumed that plain song melodies which existed before

neumes were improvised by the rearrangement, ornamentation and ex-

tension of the melodic idioms of a given mode. ... Elementary com-

position was taught through improvising a part of a plain song. ...

The improvising of more extended polyphonic pieces became a recog-

nized test of the musicianship of a keyboard player, and in the

17th century the ability to improvise and accompaniment on a fig-

ured bass became an essential part of a keyboard player's qualifi-

cations .

8Ibid.

9J. A. Westrup and F. LI. Harrison, The New College Encyclopedia

of Music (New York: W. W. Norton and Co., i960 ), P- 331.

IT

Handel, Mozart, Beethoven, Liszt, Franck, and Bruckner are a

few of the distinguished composers who had mastered the art of impro-

visation. It is interesting to note that at one time improvisation

and composition were considered as essential and parallel studies.

Black music, which has retained the African characteristic of improvi-

sation, is one of the leading forces in the domain of music today which

encourages individual creation as a continuing process.

To summarize:

- Current music education at all levels—grade school, junior

high, and high schools, universities, colleges—is geared almost ex-

clusively to the recreative performance of music that is largely from

the distant past.

- The students' interests are subordinated to the interests of

the teachers or the system. Creative effort by the students is discour-

aged on a very large scale.

- The preferences of the minorities for the music indigenous

to their particular culture is grossly ignored. There is a sufficient-

ly large body of students who would, if given the opportunity, follow

a different course than the one prescribed by the school system.

- The work which is being done with creativity as its center

is isolated and uncoordinated within the system. In many instances,

if a teacher tries to teach jazz or jazz improvisation, his efforts

are met with either discouragement or direct opposition.

- Many teachers are interested in teaching creative composi-

tion, jazz composition and improvisation, but they have not had suf-

ficient training because they went through the standard music curriculum

18

which did not help in this area. These teachers are actively engaged

in teaching, and due to their workload they cannot find the time to

do the necessary research to develop a curriculum around creative mu-

sicianship.

- Music appreciation, which is one of the methods for instill-

ing and maintaining an active interest in music, is not used to its

full potential for broadening the appreciation of diverse forms of mu-

sical expression. It is used in a rather restricted domain to further

propagandize an issue which has evidently been decided for all times

and all people. The issues are:

What music is to be taught in school?

What music is worthy of being heard?

What shall be called music of high aesthetic worth?

Who are the important composers and performers?

- There is no source book or thesaurus to which the teachers or

students in the schools can refer and which systematically presents

examples of the traditionally accepted method of developing melody by

embellishing the principal tones in a clear, simple, uncluttered harmonic

background. Most examples used in the standard text in the classroom to

explain the techniques of embellishment do not proceed in a simple step-

by-step manner but instead, after one or two examples explaining the func-

tion of an embellishment, very complex examples axe given for analysis.

Educational Significance of the Study

What are the characteristics of a subject considered to be rele-

vant for inclusion in the school curriculum? Who determines what is to

19

be taught in the schools? Who uses vhat is taught there?

The school curriculum could be defined as a compilation of

ideas originating in the needs and vants of diverse special interest

groups. These groups form a hierarchy, vith the student~vho is the

one most affected by curriculum content—in the position of having the

least power to effect what is taught. Among the controllers of what

is taught in school are: the legislators, governmental agencies, local

school boards, school administrators, teachers, colleges (through ent-

rance requirements), manufacturers of curriculum material, publishers

of textbooks, unions, professional societies, educational research as-

sociations, religious institutions, parents, and voters.^

The educational process appears to be a natural outcome of bio-

logical, sociological, and psychological functions. Humans and other

living organisms continually respond to environmental cues through their

senses; these impressions are used for inter- and intrapersonal commu-

nication which, in turn, includes human values and human relations and

their transmission to later generations in the form of culture.1 '*'

Music education has to do with the semantics (meaning), syntax

(relationship), and pragmatics (uses) of informational systems. This

informational or communication network originates in stimuli which are

10William Boyd, The History of Western Education , 8th ed. , re-

vised and enlarged by Edmund J. King (New York: Barnes and Noble, 1967);

Foundations of Education , ed. George F. Kneller, 2nd ed. (New York:

John Wiley and Sons, 1967); Educational Psychology: A Contemporary View

(Del Mar, Calif.: Communications Research Machines, 1973).

^Jurgen Ruesch and Gregory Bateson, Communication: The Social

Matrix of Psychiatry (New York: W. W. Norton and Co., 1968), pp. 6-7.

20

perceived, defined, related to other data temporally, and then put to

use to satisfy some human interest, individually or collectively. For

example: an acoustical event, i.e., sound, has been quantified, given

a name, e.g.

,

UUo vibrations per second is given the name "A". The

pitch "A" has different relationships vith other pitches according to

the parameters or conventions prevalent at the time. The organization

of sound at different periods into styles could be defined as satisfying

human interest in the aesthetics or affective domain.

Educational needs, objectives, and methods vhich may be defined

as systems of gathering, processing, and transmission of information,

vere created by society to satisfy its needs and desires. The objectives

and uses of education evolved out of the need to survive physically,

psychologically, aesthetically, economically, and socially.

In the book entitled Taxonomy of Educational Objectives: Hand-

book I: Cognitive Domain , Benjamin S. Bloom et al. have divided educa-

tional objectives into three categories. They are:

1. The cognitive domain

2. The affective domain

3. The psychomotor domain

The categories are defined in the book as follows

:

The cognitive domain ... includes those objectives vhich deal

vith the recall or recognition of knowledge and the development of

intellectual abilities and skills. ... The affective domain includes

objectives vhich describe changes in interest, attitudes, and values,

and the development of appreciations and adequate adjustment. ...

A third domain is the manipulative or motor-skill area. Although

ve recognize the existence of this domain, ve find so little done

about it in secondary schools or colleges that ve do not believe

the development of a classification of these objectives would be

very useful at present.12

This dissertation will attempt to assist in the fulfillment of

educational objectives in the cognitive, affective, and psychomotor do-

mains. It contains material that requires the use of cognitive skills

such as the ability to

1. recognize the different types of embellishments and to de-

fine them

2. apply the operational rules for progressive permutations

3. transpose the exercises to different keys or scale steps

H. recognize the embellishments in notated and aural form

5. notate the embellishments properly

6. apply the embellishments in different contexts

7. analyze music into its constituent parts; to recognize

interrelationships among those parts; and to form generalizations

from these data

Among the affective objectives are the ability to

I. apply full attention to the subject under consideration

2. set goals

In the psychomotor domain the objective is to develop facility

in performing the embellishments.

12Taxonomy of Educational Objectives. Handbook I: Cognitive

Domain, ed. Benjamin S. Bloom (New York: David McKay Co., 1956), pp. 7

22

Limitations of the Study

This study is primarily an instructional aid and has as its pri-

mary goal the realization of the embellishments in improvisational per-

formance. It is basically analytical in its approach and includes phi-

losophical, psychological, descriptive or historical matter because

humans are holistic and few human activities can be compartmentalized.

For example, it is being assumed that for a particular population the

results of this study could have positive affective consequences. That

population would consist of those who are interested in investigating

educational materials that are related to creative music production.

The study can be used

1. as the core of a curriculum on improvisation

2. as a component in a standard theory course to assist in

the development of an approach to deriving melody from a harmonic base,

and

3. as a self-instructional unit.

This is not an analysis of large melodic form but rather a study of the

atomic aspect of melody, i.e., how a principal tone is divided and sub-

divided according to established rules. No attempt is being made to

start something new. The creative ends sought in this approach are

within the realm of traditional concepts. The assumption is that there

is an acceptance of the style around which this study is based that is

indigenous to Western music and that in spite of new developments these

conventions will last.

23

CHAPTER II

REVIEW OF THE LITERATURE

Historic Approaches to Embellishment as an Effective Notion

The function of embellishment (ornamentation) in the develop-

ment of melodic, harmonic, and rhythmic possibilities (permutations)

has not been underscored enough in the music classes from an ethno-

musicological , historic, analytic or performance perspective. A vari-

ant of the above proposition is this statement from Grove's Dictionary

of Music and Musicians:

The ornamental embellishment of music is a difficult and

extensive branch of figuration to which, particularly for

Renaissance and Baroque mujic, insufficient attention has

been paid in modern times.

The value of knowing the principles of embellishment extends

far beyond the narrow parameters established in the Grove's Dictionary

quote. The history of melodic development as a whole is inextricably

interwoven with the history of embellishment.

The following definitions have been provided by Grove's Dic-

tionary to further clarify the meaning of ornamentation or embellish-

ment :

1 . Figuration : all ornamental matter by whomsoever and in

whatsoever manner provided.

2. Passage-work: such ornamental matter (figuration) as

is provided fully written out by the composer.

3. Embellishment: such ornamental matter (figuration) as

is provided normally, more or less impromptu, by the performer.

^Grove's Dictionary of Music and Musicians ,

5th ed.

,

edited by

Eric Blom, 195^

•

U. Ornamentation: such embellishment as is provided by theperformer, partly under the theoretically exact but practicallyunreliable guidance of signs written in by the composer; andwholly in the shape of specific instances of ornamentation (e.g.

,

trill* turn, mordent, etc.) crystallized into more or less stan-dard and invariable forms.

Figuration means in the Just cited definition that there is

added to a melody extraneous matter which is called embellishment

when it is added by the performer as an impromptu; it is called orna-

mentation when it is indicated by standardized signs used by the com-

poser; it is called passage work when it is written out by the com-

poser in music notation.

The term "to embellish" implies that there is some model or

constant present to which certain operations may be applied and that

the application of these operations modify to some degree the way in

which the original model is perceived. The original model has varied

in the history of music ; it has been called according to time and

place: plainsong, cantus firmus , variation , raga, radif, and chord

change

The codification of the various types of embellishments was a

long-term process which crystallized to a great degree in the seven-

teenth and eighteenth centuries. The New College Encyclopedia of Music

has this to say about the evolution of the embellishment:

In some periods ornaments (graces) have been an important feature

of melodic style, whether added extemporaneously by singers and

players, or indicated by the composer in the form of signs, or

incorporated in the notation. In the keyboard and lute pieces of

the l6th century, some of which were elaborations of choral pieces,

conventions of ornamentation arose, and to some extent, as in Eng-

lish virginal music, signs were used to indicate them. In the. 17th

2Ibid.

25

and 18th centuries the principal types for which signs were used,varying somewhat in different countries, were: trill, mordent,appoggiatura

, arpeggio, turn, springer or Nachschlag. In laterperiods most ornaments have been written out by the composer.

It was standard practice among Baroque composers to utilize

unwritten embellishments in their works relying upon the skill and

musicality of the performer. In contrast, most of the music (Europe-

\ . Uan) since then has been fully notated.

Embellishment grew out of the improvisations that were added

to plainsong during the monophonic stage of music development which

was between the years 200 and 1300 A.D. In the following periods

there was an increase in melodic and rhythmic independence and in

sharp dissonant clashes between parts; polyphonic music was more pre-

valent; the use of harmony increased. Prior to the extensive use of

harmony, the embellishments were added without regard to their harmo-

nic implications. With the use of harmony, the control of the embel-

lishing tones became a focal point for theorists. With a chordal ske-

leton as a foundation, the notes that were outside the chord were dis-

sonant or non-chordal in function. Rules were established for the in-

troduction and resolution of these tones that were considered ornamen-

tations or embellishments. In the sixteenth century sacred vocal mu-

sic, the use of dissonances was strictly controlled. The predominating

embellishments in use at the time were passing tones, neighboring tones,

suspensions, and changing note groups. The unprepared seventh chord

was not used until the seventh century A.D.

3The New College Encyclopedia of Music , I960, p. UT5-

^Grove's Dictionary , p. 366.

26

Instrumental Embellishment

Up to about the seventeenth century, vocal music had been the

primary domain of development. In the l600s there arose an increased

interest in instrumental music. This interest brought about many

changes that were related to the flexibility of the instruments. Among

the changes brought about through increased usage of instruments were:

(l) Angularity of melodic line, (2) wide range of melodicline, (3) long sustained notes, long phrases, (U) sharp rhythm,strong accents, syncopation, (5) a freer treatment of dissonancethan practiced in vocal music, (6) rapid, repeated notes andfigures, (7) rapid scales, (Q) freely added parts and chordsfilled in (called Freistimmigkeit ) , particularly in lute and key-board music, (9) melodic ornamentation, including figurati (re-peated figures or patterns on each note of the basic melody),embellishment (mordents, turns, trills, etc.), and coloration(free melismatic material added to the basic notes of the melody).The latter is not exclusively instrumental.

Contrasts and Similarities in Embellishment Usages

Prior to J. S. Bach and during his own time, the greater pro-

portion of the embellishments that were performed were not written out

but were left to a great extent to the performer. This created a mul-

titude of versions for the same composition. Bach, in contrast to many

of his contemporaries, notated many of his embellishments in addition

to using symbols to indicate the desired ornament. During this period

embellishment became very lavish, and there was such a profusion of

interpretations that an attempt was made to conventionalize the multi-

tude of theories. Among those to contribute to the systematizing of

^Hugh Milton Miller, History of Music , 3d ed.

,

rev. and enl.

(New York: Barnes and Noble, 1967), P- 50.

27

the embellishments were: J. S. Bach, C. P. E. Bach, vho became the

leader of the Berlin school of thought, and Joachim Quantz. In order

to perform Baroque music properly, it was very important to practice

the various embellishments until they had become a part of the indi-

vidual's repertory of responses. The symbols used by J. S. Bach to

indicate the embellishment desired were not always clear in meaning;

some were used to represent more than one musical event and were there-

fore inconsistent; some were not clearly defined. Most of the texts

on embellishment are concerned with the correct interpretation of Re-

naissance and Baroque music.

Learning how to embellish in the Baroque tradition would have

limited use in today's music. However, the spirit of improvising and

embellishing that prevailed during the Baroque period and earlier,

which made the performer an integral part of the music and not Just

an instrument of performance, is still a good and valid notion. Today

this tradition is being maintained by performers around the world. In

America it is manifested in the form of Jazz or Afro-American music.

There was no universal agreement among the theorists during the Baroque

period, nor is there today, concerning the names of the embellishments.

During the Baroque and Renaissance periods the controversy concerning

embellishment evolved around whether or not the various figurations

should be written in or left to the performer's skill. It also cen-

tered on how to interpret the various symbols that were being intro-

duced to indicate the various ornamental patterns. During this period

the embellishments, whether written as signs or as music notes or com-

28

pletely at the discretion of the performer, vere conceived as being

an enrichment of the melody, i.e., as an addition to the melody proper.

The scope of the controversy concerning the interpretation of

the signs used to denote specific embellishments during the Baroque

period is illustrated by the following statements:

In the case of specific ornaments, though not of free orna-mentation, we have, it is true, the advantage of a sustainedattempt on the part of a number of Baroque musicians to minimizethe penalties of ignorant or intemperate performance without un-duly courting those of literalness and rigidity. ...

The consistency on which the chief utility of this systemshould have depended never remotely approached being realizedin practice. . .

.

Such knowledge cannot beyond a certain point be acquiredpiecemeal, since it really depends on the unconscious assimila-tion of the complete style in question. Individual ornamentscan be taught fairly readily by ear; the living art of embel-lishment by no means so readily. ... What is already practicableis to include in the training of musical students some groundingin the simpler specific ornaments, to be taught not from text-books but from the aural demonstration of teachers well steepedin Baroqge idioms and assisted by specially prepared grammophone

records

.

It is interesting to note that as the notation system became

more and more standardized, there were individuals who felt that in

spite of the formalization of the semantics and syntax of the musical

language there should be a place for the performer in the interpreta-

tion of a piece of music.

Despite the decline of the art of free ornamentation, Mozart

and Chopin improvised embellishments when performing their music.

History bears testimony to the fact that creative individuals lost the

battle for the creative interpretation of music in Europe.

TGrove’s Dictionary, pp. 366-367.

29

An increase in the use of harmony during the eighteenth century

coupled with the notation of the embellishments caused a redefining of

the embellishment procedure. This dissertation is not the proper place

for a full explication of Baroque techniques of embellishment, since

the intent is to supply a lexicon of embellishments applicable to the

art of improvisation. A review follows of the embellishments as used

within a harmonic context and as practiced currently.

Selected Definitions of the Embellishments

There is no consensus of opinion among today's theorists con-

cerning the nomenclature of the embellishments. There is general agree-

ment, however, that the embellishments as non-chordal tones require re-

solution to a consonant member of the chord of which they are a part.

The following definitions attempt to show some of the current opinions

on the matter. The acceptance or rejection of one theory for another

appears to be more a matter of semantics than of substance. The dif-

ference among the theorists appears to lie in how much one wants to re-

consider the definitions established in the eighteenth century. The

controversy revolves not only around definitions of the embellishments,

however, but also around whether or not the tones considered to be non-

chordal are extended chord members . Extended chord members are the

tones above the chord seventh.

The scope of the problem is underscored by the following state-

ment drawn from Chromatic Harmony by Justine Shir-Cliff et al.:

30

Non-harmonic tones are a continual problem because it isdifficult to be consistent about a line of division between twoconcepts: that all tones other than root, third, fifth, andseventh are non-harmonic; or that sixths, ninths, elevenths,and thirteenths are admissible to the inner circle of acceptablechord tones

.

In any given harmonic context there are tones that are part of

the prevailing chord, and tones that are extraneous to the given chord.

The notes that are not in the chord are considered to be the embellish-

ments. These notes are also called non-chorda! tones, neighboring

tones, inharmonic tones, auxiliary tones, ornaments, unessential tones,

and non-essential tones. Embellishments are located a minor or major

second above or below the chord tone. The maximum number of embellish-

ments that may lie adjacent to any chord tone is four: a major and

minor second above, and a major and minor second below. For example:

I

i a1 i 11

-V • h JL t M L- HH 9 ts* D “ k mJ Mrvq » T

-f ] |

^

Q r"Mi

The terms embellishment, non-chordal tone, unessential tone,

non-essential tone, neighboring tone, and inharmonic tone will be used

interchangeably. The common types of embellishment are:

^Justine Shir-Cliff, Stephen Jay, and Donald J. Rauscher,

Chromatic Harmony (New York: Free Press, 1965) > P- 12.

31

1. Passing tone

2 . Suspension

3. Neighboring tone

h. Anticipation

5. Appoggiatura

6 . Cambiata

7 . Echappee

8 . Free tone

Passing tone

The passing tone is an embellishing tone (or tones) that fills

the space between two chord tones . These chord tones may be members of

the same chord or of two different chords. A single passing tone, or a

combination of diatonic and chromatic passing tones, may be used to fill

the space of a third. Two diatonic passing tones, or a combination of

diatonic and chromatic passing tones, may be used to fill the interval

of a fourth. A single passing tone may be used between the chord seventh

and root. The passing tone is usually of shorter duration than the chord

tones it embellishes. Percy Goetschius, i.a., thinks that the passing

tone can occur on an accented part of the beat as well as on an unaccen-

8ted part of the beat as well as on an unaccented fraction of the beat.

Walter Piston, on the other hand, thinks that the accented passing tone

,, 9is "more corrently classified as an appoggiatura .

Q

Percy Goetschius, The Theory and Practice of Tone Relations

(New York: G. Schirmer, 1931) , P* 15^*

^Walter Piston, Principles of Harmonic Analysis (New York:

E. C. Schirmer Music Co., i960 ), p. 31*

32

George Thaddeus Jones has this to say concerning non-harmonic

tones

:

There are no universally accepted definitions of these non-harmonic tones. The tvo principal schools of thought agree thatthe criteria for describing the non-harmonic situations are: (l)how the dissonant tone relates spatially to the surrounding chordtones, and (2) where it occurs in terms of metric accent; theydisagree as to which of these is to have the primary role in thedefinition. Most theory books have chosen the former of these twopossibilities, since the determination of the metric accent isoften difficult to make or is misleading.

Paul Hindemith agrees with the theorists who hold that there

is no such thing as an accented passing tone. He prefers to call such

embellishments neighboring notes.

Suspension

The suspension is, in terms of direction, a stepwise motion at

a change of chord. The distinguishing feature between an ordinary step-

wise movement and a suspension is that the suspension is a note which

is sustained or repeated beyond the point at which a change of harmony

takes place. The suspended note becomes a non-chordal tone and then

resolves into the appropriate chord tone. For example:

10George Thaddeus Jones, Music Theory (New York: Harper and

Row, Barnes and Noble Books, 197M , P* 170.

i:LPaul Hindemith, Craft of Musical Composition ,

Book I, Theo-

retical Part, trans. Arthur Mendel, rev. ed. (London: Schott and Co.,

19^5), p. 171.

33

Walter Piston belongs to a group of theorists who claim that a

repeated tone occurring at a change of harmony and which does not be-

long to the new harmony is an appoggiatura. In most cases the sus-

pension resolves downward. It may, however, resolve upward in which

case it is called a ritardation by some. The formula for a suspension

is preparation, suspension, and resolution. The suspensions are char-

acterized by the distance between the suspended tone and the root of

the chord over which the suspension is occurring. A 7-8 suspension

takes place when the seventh of the VT chord is sustained into the I

chord and then resolves down by a half step to the third of the tonic.

Unprepared suspension . Goetschius states that

A Suspension is not obliged to appear as repetition or grp-

longation of the preceding tone ... ,but may enter^with any

reasonable skip (best from below) ,as ’’unprepared Suspension.

As the suspension must be an inharmonic tone which belongs to

the foregoing chord, it is necessary to observe the following

rule: the original tone (the preparation of the Suspension)

must either occur in some other voice, in the preceding chord.

12Valter Piston, Harmony (New York: W. W. Norton and Co

19Ul ), p. 109*

3U

other voice, in the preceding chord, or must be understood as apossible interval of the latter. ^

For example:

The exact opposite of this position is claimed by Parks Grant.

His claim is made in connection with the appoggiatura and is as follows:

"The appoggiatura tone is often (but not always) present in the preceding

chord. When not present, the appoggiatura is for all practical purposes

nil*an ’unprepared suspension'.

Delayed resolution of the suspension . The resolution of the sus-

pension is sometimes delayed by the insertion of a neighboring tone or a

number of neighboring tones or even of an entire chord prior to resolu-

tion . For example

:

13Percy Goetschius, The Theory and Practice of Tone Relations

(New York: G. Schirmer, 1931 ), PP« lUU—U5

.

Parks Grant, Handbook of Music Terms (Metuchen, N. J.: Scare-

crow Press, 1967), p. 270.

35

Neighboring tones

The neighboring tone, also called auxiliary tone, and returning

tone, encompasses a three-note group, one of which is a repeated tone.

The formula for the neighboring note pattern is: chord tone to neigh-

boring tone back to the same chord tone. The neighboring tone is gen-

erally of short duration; it may be either accented or unaccented;

the upper or lower neighbor may be used. The direction of the return-

ing tone, i.e., whether it is below or above the chord tone, is depen-

dent on the direction of the next melody note. If the next essential

melody tone is upward, then the lower neighboring tone is used. If

the next essential melody tone is downward, then the upper neighbor

is used. Examples:

0 . n & 1 HT

=t5S 1=• * •

* L u

36

The neighboring tone also occurs in clusters of four or more notes.

These are called tonal groups or changing tones . Examples

:

Anticipation

The anticipation is the arrival of a tone in an upcoming chord

prior to the arrival of the chord. It is primarily a rhythmic device.

The anticipation may be a repeated tone or it may be tied to the note

it anticipates. It is generally shorter than the principal tone which

it anticipates. The anticipation usually approaches by step but it

may also approach by leap. Examples:

37

Appoggiatura

The embellishment that appears to have the greatest number of

divergent definitions is the appoggiatura. In this dissertation it is

an unprepared non-chordal tone which enters by leap and resolves by

step; it may be accented or unaccented. Some typical disagreements

about the definition of the appoggiatura center around the fact that

there are some theorists who believe that an accented passing tone is

an appoggiatura (Walter Piston, for one), and others who believe that

a suspension which is accented rather than tied is an appoggiatura.

Neither Paul Hindemith nor Samuel Lieberson in their listing

and definition of embellishment even mentions the appoggiatura as an

embellishment. Lieberson instead refers to the unprepared suspension,

similar to the appoggiatura, which enters by leap.^ Hindemith terms

the unprepared entrance of a non-chordal tone an unprepared suspension

or neighboring tone.^ Examples:

^Samuel Lieberson, Manual of Functional Harmony and Key to 2l6

Exercises (Los Angeles: Warren F. Lewis, 19^6), pp. 70-71.

^Paul Hindemith, Craft of Musical Composition ,Book I, Theoretical

Part, p. 170.

38

Two or more appoggiatura may precede the principal tone:

Cambiata

The cambiata is traditionally a note that enters by the leap of

a third over its intended resolution and which then turns and resolves

in the opposite direction by step. Examples:

t- c V I a j u- gio

Jl. a ft. #\

Li

7\ T i P, v r cb

\fw \ \—Y \ L3 l

lh —

=

The cambiata is similar to the appoggiatura in that it is an embellish-

ing tone that enters by leap and resolves by step. The essential dif-

ference is that the appoggiatura is not part of a formula that is re-

stricted to the leap of a third and it is not required to reverse it-

self for its resolution. The cambiata would be called by many theorists

39

an unaccented appoggiatura, and on the other hand some theorists would'

say there is no such thing as an unaccented appoggiatura.^ It is not

always the case, however, that the leap of a cambiata is limited to the

interval of a third. The conflict in definitions is accentuated even

further by an example given by Ludmila Ulehla to illustrate her expla-

nation of the cambiata. She points out that it is a non-harmonic tone

in which the direction of its entry is towards the primary note of re-

solution. See example :

^

Part of this definition is consistent with general practice, i.e., the

movement of the cambiata towards its note of resolution is convention-

al , but the fact that the note in her example does not reverse direc-

tions and move by step contradicts the definition of the cambiata as

held by the school of thought of which Walter Piston is a member.

17Parks Grant , Handbook of Music Terms , p . 2

.

^Walter Piston, Harmony (New York: W. W. Norton and Co. Inc.,

19l*l), p. 129; Principles of Harmonic Analysis (Boston: E. C. Schir-

mer Music Co., i960; also in paperback edition by the same publisher,

1965 ), P. 34 .

^Ludmila Ulehla, Contemporary Harmony (New York: The Free

Press, a division of the Macmillan Co. ,196^')

» P* 45.

Echappee

The echappee is also called by its English translation, the

escape tone. An echappee is an embellishment which enters by step

from a principal tone and then leaps a third in the opposite direction

to its note of resolution. The echappee is sometimes left by a leap

larger than a third. If the escape tone is a member of an upcoming

chord some theorists call it a free anticipation, and if it is not,

it is called by some a free tone. Examples:

Free tone

The free tone is a non-chordal tone that enters by skip and re-

solves by skip. It is not a member of either of the chords between

which it stands. Many of the theory books do not mention this parti-

cular embellishment. Hindemith divides the free tone into two cate-

21gories : the accented free tone and the unaccented free tone. The

20Parks Grant, Handbook of Music Terms , p. 271

PIPaul Hindemith, Craft of Musical Composition , p. 173.

Ul

free tone ressembles the appoggiatura in that it is an unprepared dis-

sonant tone, hut the resolution is not by step as is characteristic of

the appoggiatura. George Thaddeus Jones states that

The free tone ... is ... rare in eighteenth-century music.... You may encounter isola^d cases in the analysis of medievalor twentieth-century music.

Examples

:

ChajI AV)(,

\ Ji- rlT. 1. . p.-r/ H-0 r

r1^— i \—

L \ V/v \ ^ ?

1

\ \ ) J J1 O 1 f- \

TXo 1 \ Ay1

—

—9.— 1 y °—

A

The Intuitive Approach

The systematization of the embellishments that arose from the

efforts of the theorists of the Renaissance and the Baroque periods

resulted in a formalized approach to handling the many forms of orna-

mentation. The embellishments themselves originated as improvisations

which became established patterns within a given style. The patterns

which became conventions originated as intuitive perceptions. The

power of recognizing similar forms in widely various exemplifications,

23i.e., the power of recognizing analogies, is logical intuition. The

22George Thaddeus Jones, Music Theory , p. 192.

23Susan Langer, An Introduction to Symbolic Logic, 3d rev. ed

(New York: Dover Publications, 1967) » P* 33.

U2

patterns or embellishments as conventions made available for students

a mechanism whereby the extrinsic aspects of melody could be learned

and applied to improvisations or to written compositions.

There are, essentially, two ways in which new forms of thingsare discovered: (l) by abstraction from instances which naturehappens to collect for us (the power to recognize a common formin such a chance collection is scientific genius); (2) by theinterpretation of empty forms we have quite abstractly constructed.The latter way is usually the easier, because if we know a greatvariety of possible forms, we have at least an idea of what weare looking for.

The forms interpreted as embellishments are in abstraction lo-

gical forms. Logic deals with the relationships between forms, i.e.,

the connection between patterns, structures or constructs. It deals

with definite shapes. The patterns that were developed and encoded

as embellishments could be called logical structures inasmuch as they

give form to content (music). The defining of the properties of the

embellishments and their relationships to the principal tones permits

greater clarity in some aspects involving the embellishments and their

use, but knowledge of all the possible permutations available does not

of itself guarantee that original and creative combinations will be

produced. Creative improvising involves an unquantified component:

originality, intuition, insight, etc.

Jean Piaget, in his developmental-centered studies, allocates

intuition a place prior to the logical stage. He defines this stage

as the prelogical level. The thinking that takes place at this time

is called prelogical thinking. It is based on "representational

2UIbid. , p. 38.

images” and "mental experiences" which prolong the sensorimotor sche-

mata without true rational coordination.2 ^

Piaget’s studies show that intuition is present at an early

age. Other studies have shown that it is present throughout life.

Roberto Assagioli, in his book Psychosynthesis , devotes a chap-

ter to intuition and its development. He states that

Intuition is one of the least recognized and least appreciatedand therefore one of the repressed or underdeveloped functions.... Repression of the intuition is produced by non-recognition,devaluation , neglect, and^lack of its connection with the otherpsychological functions.

Assagioli believes that the intuitive process can be activated. The

reason for bringing about such activation is to have available an

auxiliary source of knowledge, one that will take over when the ratio-

nal processes temporarily fail to produce the required results. Intu-

ition functions more freely in children and adolescents because they

have fewer pressing thoughts and demands on their time and capacities.

The greatest need for intuition is in intellectual or over-

intellectualized people, i.e., for those who have an active or

over-active mind but specifically for those who identify thfjiji-

selves with their mind and are proud of their intelligence.

Assagioli believes that by combining the intuitive and logical cogni-

tive processes, the maximum benefits of both domains would be tem-

pered with the careful justification supplied by the logical processes.

2^Jean Piaget, Six Psychological Studies , ed. David Elkind

(New York: Vintage Books, 1968), p. 30.

2^Roberto Assagioli, Psychosynthesis (New York: Viking Press,

1965), P. 217.

27Ibid. , p. 221

In his book, he outlines a procedure for activating the intuitive pro-

cess.

The Myers-Briggs Jungian Type Indicator showed that creative

people are generally more intuitive than non-creative people. The

Intuition Scale shoved that over ninety per cent of the creative people

. . . . 28tested were predominantly intuitive.

Insight is another term used to describe a point in the creative

process when suddenly the creative or unique combination of elements

becomes manifest. This description is very much like the definition

29of intuition.

Another point of view concerning this matter is held by James

Insight solutions occur suddenly

They occur after a background of instrumental or trial and

error learning

In some cases insight is the result of positive transfer

of learning

Deese

:

30

1 .

2 .

3.

28Frank Barron, "An Eye More Fantastical", Training Creative

Thinking, eds. Gary A. Davis and Joseph A. Scott (New York: Holt,

Rinehart and Winston, 1971), PP* 18U-85.

29Tom Cornelia, "Understanding Creativity for Use in Managerial

Planning", ibid., p. 175*

30James Deese, The Psychology of Learning (New York: McGrav

Hill, 1958), 2d ed., pp. 276-78.

*»5

CHAPTER III

THEORETICAL FOUNDATIONS

Source Materials

Most of the theoretical principles and definitions used in this

dissertation are based upon the writings of composers and theorists

such as Allen Forte, Percy Goetschius, George Thaddeus Jones, Vincent

Persichetti, and George A. Wedge. Primary sources are:

1. Percy Goetschius, Exercises in Melody Writing , and

The Material Used in Musical Composition

2. Vincent Persichetti, Twentieth Century Harmony

3. George A. Wedge, Ear Training and Sight Singing Applied

to Elementary Musical Theory

Definitions

Melodic model

Melodic framework . The melodic framework upon which the em-

bellishments have been constructed consists of:

1. A basic two-note melody using the major scale

2. Two notes that are individual members of individual chords

3. Two half notes

U. Intervals of various sizes based upon common practice con-

cerning the relationships possible between succeeding

intervals

Examples

:

>46

Harmonic framework . The harmonic framework upon which the

melodic model has been built consists of the chords normally con-

structed on each scale step; extended chords are implied.

Melodic motion . All of the possible melodic motions axe con

tamed within the melodic framework. They aret

1 . Repeated tone

2. Stepwise motion upward

3. Stepwise motion downward

U. Narrow leap upward

5. Narrow leap downward

6. Wide leap upward

7 . Wide leap downward

Examples

:

Pe.ai’o.ci co v!»«- M^ycow. I**.?“To r\ up w Ur <1 clou. A lu <i yp ^

r m.1

i\ •i/

Tin v \1 \ 1 _ -V_ \

v V

Embellishments and related concepts

The concept of embellishment implies that there is an essential

underlying structure to which are added non-structural elements. These

elements are considered to be unessential tones, or embellishments of

the essential or principal tones.

Essential tones. Essential tones are the tones that are members

of a given chord; they usually cover one beat or one metrical unit, e.g.

U8

in 4/U quarter note would be one metrical unit , and in 6/8 the eighth

note would be one metrical unit.

Unessential tones . Unessential tones are those tones that are

considered to be non-chordal, inharmonic, ornamental or embellishing.

They are usually subdivisions of a beat.

Whether or not a tone is essential or unessential is determined

basically by its duration and membership in a chord. Goetschius defines

it this way: "Usually, a tone of the value of a full beat is a principal

or essential one; and of two, three or four quick tones that constitute

the subdivisions of a beat , one or more are almost certain to be unessen-

tial." He points out that this is only a broad distinction and that ulti-

mately the relation of the tones, whether short or long, depends on the

prevailing chord line. "This being the case, it is evident here again

that a melody must be designed with more or less direct reference to some

harmonic basis, or subconscious chord concept." He sums it up this way:

"The tones which agree with the momentary chord are the essential , or

harmonic tones; those which differ from it are unessential embellishing,

or inharmonic tones."1

Allen Forte has this to say about unessential tones: "Submetri-

cal embellishments are sometimes called 'unessential ' notes, a term which

suggests that such embellishments are superfluous, that they have no sig-

2

nificant function in the tonal composition. This is an erroneous notion."

1Percy Goetschius, Exercises in Melody Writing , 13th issue (New

York: G. Schirmer, 1928), p. 59.

^Allen Forte, Tonal Harmony in Practice and Concept (New York:

Holt, Rinehart, and Winston, 1962), p. 375.

The notion of embellishments defined . As the structure of

extended chords quite often contain seven or more notes , hov does

one distinguish between the chord tones and the embellishments?

Rhythn is the deciding factor used in this paper.

The unit of measurement as determined by the meter can be

used as the smallest unit allowable as an essential tone. For

example: when the time signature is UA, the smallest unit is the

quarter note.

The embellishments are those tones that are sub-divisions

of the unit of measurement, i.e., in U/U time the embellishments

will start at the rhythmic level of the eighth note.

The fundamental tones of a chord are the root, third, fifth

and, in some chords, the seventh. These chord tones function in

two ways: (l) As a structural function which has to do with the

chord as harmony or the vertical relationship between the chord

tones to a key, root or tonal center, and to chords in a related

series, called chord progressions. In this capacity, chord tones

are classified as essential tones. (2) As a melodic function the

fundamental chord tones alternate with the non-chordal or extended

chord tones in a dual capacity as harmonic and melodic functions.

For example, the chord, which is conceived of as being a static

element , upon activation through such a simple device as arpeg-

giation becomes a simple melody. Such arpeggiation of the chord

tones may be defined as to harmonic embellishment. In our stipu-

lated definition as to what constitutes an embellishment, any tone

50

of an eighth note value or less is in the embellishment range rhythmi-

cally. Theoretically this includes those tones that are also the fun-

damental tones of a chord. This is so because a set of objects may

be members of more than one set. Therefore, in this connection, it

should be remembered that when extended chords are involved, every

tone is a potential chordal element.

The embellishments as defined for this study . In this disser-

tation, the embellishments vill be classified in accordance with the

following six categories

:

1. Passing tone

The passing tone is a non-chordal or embellishing tone used to

fill the space between two chord tones. The chord tones may be members

of the same or of two different chords. Passing tones are diatonic,

chromatic or a mixture of both. They may be accented or unaccented.

Percy Goetschius in his exposition on melodic development included for

completeness the notion of passing tones filling up the space of a per-

fect fourth or more. In Goetschius’ own words:1

"As the fourth is the widest interval that can occur

between contiguous chord-tones (namely, from the chord-

fifth to the root above), it follows that a line of in-

termediate passing-tones, inserted between still larger

skips (5th, 6th, 7th, or 8th), can not consist exclusively

of inharmonic tones , but must contain one or more chord-

tones, also. The effect of the whole step-wise group,

however, will be that of unessential tones, especially

in swift successions; and as such they are to be regarded

and treated."

1Percy Goetschius, Exercises in Melody Writing , 13th issue

(New York: G. Schirmer, 1928), pp. 67-^8*

51

This statement underscores the fact that the various chord mem-

bers may function in more than one set or class simultaneously. That

is, a harmonic tone which is theoretically considered to be a static

element can be transformed by rhythmization into dynamic motion. Be-

cause the active part, which in most cases is the melody, is related

or coordinated with a theoretically defined constant (harmony), it is

useful to be aware of the dual relationship that certain tones will

have . For example

:

In the above example, the C, E, and G are given as chordal

tones. In the sixteenth runs the C, E, G are part of the min and are

also part of the harmonic element in which case they can be defined

as structure (harmony) or as embellishments (melody).

2. Neighboring tone

The neighboring tone occurs in a group. The smallest grouping

entails three tones; the first one is a chord tone; the neighboring

tone is the second one in the group—it is either one-half step or

one whole step above or below the first tone; the third tone is a

repeat of the first one. The neighboring tone can occur in a cluster

containing more than three tones. It is then called a tonal group.

52

3. Suspension

A suspension occurs when a chord tone is held past its point

of resolution into the time value of a new chord. The held-over tone

becomes non-chordal, displaces the expected tone and then resolves by-

step. The suspension usually resolves downward but can resolve upward.

It needs to be remembered that the actual movement of a sus-

pended tone is a stepwise motion and the only thing that distinguishes

it from an ordinary stepwise motion is the delay in the entry of the

second tone.

In this paper, the holding over of one metrical unit into the

time value of another constitutes a suspension. This could involve a

repeated tone. A suspension will be considered to have taken place

whether the tone is considered non-chordal or not . Such suspensions

are called rhythmic or harmonic suspensions. It could be argued that

this is not a true suspension, but the suspension is primarily a

rhythmic device.

k. Anticipation

The anticipation occurs when a tone belonging to an upcoming

chord is sounded in advance of the chord of which it is a member. The

anticipation is also a rhythmic device and therefore there is contained

within this paper a harmonic or rhythmic anticipation.

5 . Appoggiatura

The appoggiatura is a non-chordal tone that enters by skip and

resolves by step. It may be accented or unaccented. It may enter from

above or below.

53

6. Echappee

The echappee is an embellishment that leaves a chord tone by

step in the opposite direction to the intended resolution and which

then turns and leaps a third to its note of resolution. The leap can

be greater than a third. Added to the standard definition of the

echappee is the following: any embellishment that enters by step and

resolves by leap is to be considered an echappee.

The cambiata is not being included in the listing of definitions

because it is an archaic device, and its function is being handled by

the appoggiatura.

The embellishments are generally considered to be specific oper-

ations involving the sonic elements of music. The absence of sound is

recognized and used in music as an integral part of the total system,

but its function as an embellishment has been overlooked or not speci-

fically stated. In this dissertation, the rest is being defined as a

substitution for sound and as such is a form of embellishment.

The embellishments, in addition to modifying the basic harmonic

structural elements, may themselves be embellished. Some examples of

embellished embellishments are:

1. The interposing of tones at the resolution of the suspen-

sion- thereby delaying the resolution:

- D"*1

Ct1 Gr“l\s .

S. s. ^z ^ - _ ^ it

- I- T 1 1 f^ \ \ \ 1 , T \ \ i 9 IT

i 1 L_l V 1 \ \— 1*1— - Ito * :

—

:—J « «.1 .1. 1—I *

G~n QrO 6-7) S.

” * -1

^ 'n :r » 1 > • 4 • r - |

!

( ,

\L \ 1

*

\ \ L V \ y 'V.—

x

<~J

2 1 ca.^1|

— ' \ \ uA \11

2. A neighboring tone may itself have a neighboring tone:

3. An appoggiatura may have a neighboring tone:

£> ^Ti p «*<.(>Y r t 1 \ \ • — •((— \ \ \ \ V L \ • * . , \ \ ( \ —V 1 1 - * * • * A > r* v "

\ „-=!-N

0^ Q; Ar-^Application of the Embellishments to the Melodic Model.

At the top of each page in the lexicon, descriptive titles will

be placed to show

1. The operation being performed by the independent variable

(the embellishment) on the dependent variable (the harmonic /melodic

structure)

.

55

2. The two chords that form the harmonic /melodic structure.

The general order in which the embellishments will occur in

the examples will be as follows (the exact order having to depend ulti

mately upon the embellishment and the size of the melodic interval):

1. Anticipation

2. Suspension

3. Upper neighbor

U. Lower neighbor

5. Upper and lower neighbors (tonal group)

6. Chromatic passing tone

7. Diatonic passing tone

8. Diatonic, chromatic passing tone

9. Chromatic, diatonic passing tone

10. First-note neighbor

11, Second-note neighbor

12. First and second neighbors

13. Single appoggiatura on first note

lU. Single appoggiatura on second note

15. Single appoggiatura on first and second notes

16 . Double appoggiatura on first note

IT. Double appoggiatura on second note

18 . Double appoggiatura on first and second notes

19. Combination embellishments

20. Embellished embellishments

21. Rest substitution

The two-chord framework will occur in the following order

:

56

AmT - BmT( 5)AmT - CmaJAmT - DmTAmT - EmTAmT - FmaJAmT — GT

BmT( 5) AmTBmT( 5) — CmaJBmT( 5) - DmTBmT( 5) — EmTBmT( 5) — FmaJBmT( 5) - GT

CmaJ AmTCmaJ - BmT( 5)CmaJ - DmTCmaJ - EmTCmaJ - FmaJCmaJ - GT

DmT _ AmTDmT - BmT( 5)DmT - CmaJDmT - EmTDmT - FmaJDmT - GT

EmT _ AmTEmT - BmT( 5)

EmT - CmaJEmT - DmTEmT - FmaJEmT - GT

FmaJ AmT

FmaJ - BmT( 5)

FmaJ - CmaJ

FmaJ - DmTFmaJ - EmT

FmaJ - GT

GT AmTGT - Bm( 5)

GT - CmaJ

GT - DmT

GT - EmT

GT - FmaJ

57

CHAPTER IV

THE EMBELLISHMENT LEXICON

Hov to Read the Lexicon

In reading this lexicon there are three things to consider:

the chords involved, the melodic motion that is taking place on the

chordal framework, and the specific embellishment that is being applied

to the harmonic, melodic situation. The application of embellishments

will increase the rhythmic activity of the otherwise metrically divided

cells of melodic motion.

Outline of the Page

Each page will be headed by two chord symbols which represent

the harmonic structure within which the examples on that page will be

constructed. The second level of subdivision on the page will be the

headings indicating the basic melodic motions that are derived from the

harmony, for example, the repeated tone motion, the stepwise motion up-

ward, the stepwise motion downward, etc. These headings will be written

out in full in those cases where there are only two words, e.g. , Repeated

Tone. Where there are three words involved in the heading, such as Nar-

row Leap Upward, the last word will be abbreviated. These abbreviations

are necessary to save space and to make for easy referral by making it

possible to have a complete treatment of the embellishments on one page.

58

The Abbreviations

The abbreviations adopted for use in the lexicon are:

1. To indicate melodic motion

- Narrow Leap Upv. - replaces Narrow Leap Upward

- Narrow Leap Downw. - replaces Narrow Leap Downward

- Wide Leap Upw., Downw. - replaces Wide Leap Upward, Downward

2. To indicate the embellishments:

Ant • replaces Anticipation

- Susp. " Suspension

- U.N. " Upper Neighbor

- L.N. " Lower Neighbor

- T.G. " Tonal Group

- C.P.T. " Chromatic Passing Tone

- Ech. " Echappee

- F.N.N. " First Note Neighbor

- S.N.N. ” Second Note Neighbor

- F. S.N.N. " First and Second Note Neighbor

- D.P. " Diatonic Passing Tone

- D.C.P. " Diatonic, Chromatic Passing Tone

- C.D.P. " Chromatic, Diatonic Passing Tone

- C.E. " Combined Embellishment

- S.A. ” Single Appoggiatura

- D.A. " Double Appoggiatura

- S.D. P. " Successive Diatonic Passing Tones

- R.8. " Rest Substitute

- H.E. " Harmonic Embellishment

- E.E. » Embellished Embellishment

5>9

Placement of the Embellishments

The embellishments will occur within the rhythmic pattern of

either two half notes or of two quarter notes followed by a half note.

In either case the first two beats will represent the first chord and

the second two beats will represent the second of the two chords on

the page of examples.

The embellishment is always constructed at the point in each

example that exemplifies the melodic motion under consideration. For

example, if the melodic motion is Stepwise Upward and the chordal frame

work is Dm7-Em7, the basic melodic pattern before embellishment could

appear as

:

or

|£»0 DWl

1 U-1

60

In the first example the embellishment would be constructed on the first

note which is D, because the stepwise motion upward takes place there.

In the second example the stepwise motion upward starts on D, and the

second note and the embellishment therefore would be constructed at that

point. In the third example the stepwise motion upward starts on the

first note, which is D. The application of a chromatic passing tone to

each of the three examples will produce different results because the

stepwise motion upward occurs under different circumstances. Examples:

0 c .p.

~r. Dr*i c..p, 7.-7. . '-1 -T- 1 , >

—\ \ \ \ 1 1 11 \ \ 1 I

r >v -^-<5—

—

*'1U * a 11

Additional examples are given below of some of the other possible com-

binations of melodic motion and embellishment.

D - E "1

7V-\ \

\ —j—j—h\ n \ 1^ i J

--ci o>

r> O.p.x—m—\—*

s—r—\ T~\

—

(d n 0—\ Ha i » bnM-

6l

Exceptions

There axe a number of exceptions in the application of the em-

bellishments to the various chord tones. For example* it is not possible

to insert a chromatic passing tone between two chord tones that are a

half step apart. I.e., between the tones F and E it is not possible to

insert a chromatic passing tone. Example:

O ™ 1 *

In those examples where the combining of the melodic motion and

the embellishment is not possible, the heading will be left over the

space where the example would normally go, but the space in which the

example would be placed will be left empty.

It is to be noted that the terms Wide Leap Upward, Downward are

used both disjunctively in an either up or down sense or conjunctively

in a simultaneous up and down sense. That is, when the melodic model

being embellished is the Wide Leap Up, Down category, then the melody

may consist of a single wide leap followed by any other interval or the

melody may be two wide leaps which may be embellished simultaneously or

individually

.

62

Example

:

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l\ r« ")|)

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63

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105

CHAPTER V

CONTEXTUAL EXAMPLES

The Scope of the Examples

The examples used in this section are drawn from a variety of

styles extending from the work of Louis Armstrong and Coleman Hawkins

in the thirties up to contemporary styles. The examples include ex-

tracts from transcribed improvised solos and written works by Jazz com-

posers and performers. The examples will be used to illustrate specif-

ic embellishments. No attempt will be made to be exhaustive. Most of

the solos have appeared in the Workshop Section of the Down Beat Maga-

zine.

Notated music permits a more deliberate and conscious use of the

embellishments. Indeed, it is well known that the original motive of

many compositions were rewritten a number of times by their composer.

On the other hand, the improviser must practice scales, chords, embel-

lishments and other things in order to build the appropriate sensitivity

of response to the musical environment . The solos used in these examples

display a variety of embellishments which are intuitive responses to the

environmental cues that were present at the time.

106

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CHAPTER VI

EMBELLISHMENT AND THE CURRICULUM

Application of the Results

An outline of possible vays to practice embellishments

Up to this point the semantics and the syntax of melodic devel-

opment have been considered. If the main purpose of this work were Just

to describe the possible ways in which musical materials could be manip-

ulated, the first five chapters would have been sufficient.

A course on the use of the embellishments should include a prac-

ticed. aspect, however, involving the use of the embellishments instrumen-

tally. This chapter is included to help solve the problem of practical

application, which is a problem of long standing in theory classes. More

often than not the student writes out exercises and very seldom hears

them performed.

In most cases the exercises given in the schools aim at helping

the student understand the harmony. The purpose of the exercises in

this chapter is to suggest ways by which the instructor might teach the

student to practice embellishments, or by which the student might teach

himself.

The instrumentalist of today who is interested and involved in

improvisation needs to take note of the fact that the art of ornamenta-

tion or embellishment was a special field in music during the Baroque

period. As a special field it required intensive training in the art

115

of ornamentation. Today the emphasis on improvisation is primarily in

the field of music called Jazz. The principles behind embellishment

forms the basis for all melodic development.

In the Baroque period the major emphasis was upon embroidering

a melody. The ornamentation was added to an already established melody.

This method of embellishment is still used today to enhance the original

melody of a ballad prior to an improvised solo on the chord progressions.

The student should be encouraged to listen to a large selection of bal-

lads to gain the aural experience of this type of embellishment and be

given the opportunity to elaborate upon the melodies of standard bal-

lads. The common tendency is for the students to listen to music with-

in a moderate to fast tempo range because of the great emphasis put on

virtuosity. The student needs to be warned that learning the embellish-

ments, the chords, and the scales is merely a means to an end when it

comes to creative endeavor; that without that inner knowledge or in-

tuition, the memorization of a multitude of formulas is Just a mecha-

nical process. However, the mechanics are a very useful device to have

readily on hand to assist in the unfoldment of the creative idea.

The embellishments can be taught in a classroom situation as

well as in a tutorial situation. [Facility in the execution of the chords

and scales are a prerequisite to the effective use of embellishments r~J

Each embellishment should be practiced until it flows flawlessly,

whether invoked by decision or by intuition. Initially the execution of

the embellishments will occur as a result of the intention to perform a

specific ideomotor pattern. Each embellishment needs to be practiced

until it becomes a habit so that a creative synthesis of discrete acts

can become manifest.

116

Embellishments have been considered as appendages or as ornamen-

tation added to an already composed piece of music, and they have been

considered with regard to their harmonic implications. In this disser-

tation the harmonic aspect of the embellishments is being considered.

To this end, the chords need to be practiced

1. In all possible inversions

2. In various series of the same type of chord, i.e., all the

major triads in minor seconds, in major seconds, in minor thirds, etc.

The minor augmented and the diminished chords should be practiced the

same way

3. As Tth, 9th, 11th, and 13th chords in the same way

U. In ascending and descending motion

One form of embellishment should be applied systematically to

each note in a chord. All the embellishments should be done individu-

ally, and then the various types should be mixed systematically after

which they should be applied in the context of selections from the stan-

dard literature.

The passing tone . The passing tone is the easiest of the embel-

lishments to teach because once the student understands chord structure,

the passing tone is seen in the role of filling in gaps between the notes

in the arpeggio under consideration. Moving as it does in a scalular

fashion, the passing tone is seen as melodic motion by step. Forming

seconds with the chordal tones, the passing tone is heard as a dissonant

sound. When all of the spaces in a chord are filled in with passing

tones, the resultant is a scale. The scale to be played with any chord

is dependent upon the tonality in dominance at the time, e.g., when in

117

the key of C major, the scale that would be played with a C major chord

(triad, major 7th, etc.) is the C major scale or the Ionian mode.

In the key of F major, the C chord is on the fifth scale step;

therefore the scale to use would be the mixolydian mode or, as it is

called, the dominant chord scale. In the key of G major, the C major

hord appears on the fourth scale steps and takes the form of the lydi-

an mode. Viewing the chord tones and the passing tones as a single scale

is an economical method but it obscures the melodic function of the pas-

sing tones. It is best to point out the fact that the notes in a scale

may function structurally as harmony or melodically as embellishments.

The passing tones that are connecting the chord tones may be diatonic,

chromatic or combinations of both. When a chord is maximally saturated

with passing tones, both diatonic and chromatic, the resultant is a

chromatic scale.

Practicing the passing tones is expeditiously handled by scale

exercises. The viewpoint should shift when practicing the scales from

seeing them as a succession of pitches proceeding in seconds to viewing

them as a combination of chord tones and passing tones. To this end a

thorough review of the modes will aid in the attainment of facility in

handling the scales with an enhanced meaning.

The neighboring notes (auxiliary tone, returning tone). The de-

finition of the upper and lower neighboring tones should be understood

by the student who should start a systematic study of the returning

tones. This would involve the application of the returning tone to all

the various chord types in different progressions. Some practice exam-

ples :

118

1. Practice the ascending and descending forms of the chords

using the lower neighbor (returning tone) at the half step

2. Practice the ascending form using the lower neighbor at the

half step and the upper neighbor on the descending form

3. Vary the rhythmic pattern

U. Practice upper and lower neighbors

The appoggiatura . The definition of the appoggiatura should be

reviewed before systematic practice is undertaken. Great emphasis should

be placed on the fact that the appoggiatura is an unprepared embellish-

ment that enters by leap and resolves by step. It should be pointed out

that the accented passing tones are considered to be an appoggiatura by

some theorists. Practice procedure:

1. The single appoggiatura

2. The double appoggiatura

3. The triple and quadruple appoggiaturas

Suspension . The definition of the suspension should be reviewed

so that the student will not experience difficulty in handling it. The

fact that the suspension is primarily a rhythmic device should be stressed.

It should also be pointed out that traditionally the melodic movement is

that of a second, that the most frequent direction of the resolution is

downward, and that the upward resolution is called a ritardation by some.

(Unprepared suspension and appoggiatura are two names for the same melodic

device (embellishment).) The suspension should be practiced as follows:

1. Occurring at a chord change

Prepared form

119

2. As a rhythmic or harmonic embellishment

Anticipation t As vith the other embellishments, the definition of

the anticipation should be reviewed prior to practicing it in a system-

atic way . It should be covered in the same method as the other embel-

lishments , i.e., on chords that form series in half steps, whole steps,

etc.

Echappee . The echappee should be reviewed and practiced to round

out the coverage of the embellishment types.

Some general considerations

The practice of the suspension or the anticipation in the tradition-

al form has limited possibilities in structuring an interesting exercise

because of their location at a chord change. For the purpose of exercise

they are best practiced in the rhythmic or harmonic form, and only a few

of them are included in the following examples. Some suggested ways of

practicing embellishments are given below. All of these exercises are

based on the C major chord.

(

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XL

CHAPTER VII

SUMMARY

In Chapter I the need was established for a reference book that

would have in one place a systematic explication of the process whereby

harmony is expanded into melody. This reference book is in the form of

an Embellishment Lexicon and it is intended to be of use to teachers and

students of music. It can be used by the teacher in conjunction with a

standard course of harmony, and by the motivated student as a self-in-

structional unit. The function of the lexicon will be to increase the

materials at the disposal of the teacher that can be used to facilitate

the student's awareness of how a melody can grow from the bare harmonic

base.

The important role 6f improvisation and embellishment in the

history of music is covered, as is the importance of the contributions

of the improvisor to the growth, development and enrichment of European

mustic up to and including the Baroque period. Also discussed is the

codification by Bach and others of the multitude of embellishments in

existence during the Baroque period and the resulting decline of the

importance of the performer as a creative contributor to European music.

A comparison of some of the problems of definition that developed as a

result of the notation of the embellishments and the continued existence

of conflict of definition is discussed. The evolution of the embellish-

ments from a strictly melodic device to a component within the harmonic

132

structure is traced. Important as the knowledge of the rules of harmony

and embellishment is to good craftsmanship, it is indicated that there is

an unquantif iable element in music of high aesthetic quality which for

want of a more precise term called intuition.

The description of the theoretical basis for the Embellishment

Lexicon is given which includes definitions of the embellishments as

used in this dissertation and the basis for the melodic model upon which

they are placed.

Chapter IV constitutes the Embellishment Lexicon in which the

various embellishment forms are placed on a two-chord framework.

A variety of examples are given to illustrate how the embellishment

appear within a realistic context. The examples are drawn from transcribed

solos from representative works and compositions in the field of Afro-

American music.

Also included is an outline of how the embellishments may be taught

or practiced. The examples are intended as suggestions and are by no

means exhaustive. They can be amplified by the student or teacher.

CONCLUSION AND RECOMMENDATIONS

To those who are interested in the art of improvisation, the in-

tensive practice of the embellishments is an efficient things to do.

Learning the art of embellishment is as useful today as it was to the

Baroque performer who has to know how to improvise in order to earn a

living performing music. The embellishments complement the harmonic

structure by adding a dynamic dimension to it as well as variety.

]33

The systematized practice of the embellishments will contribute

to the techniques now used to teach the art of improvisation by making

available another approach. The analysis of the chords and scales and

patterns now in use will take on added meaning when viewed as

embellishments

.

More stress should be given to the creative aspect of music, and

those who want to develop skills in handling the materials that

comprise the tools for creative writing or improvising should be given

the opportunity to gain the knowledge they want. To this end the function

of the embellishments in the development of melody should be given

greater emphasis in the music theory classes.

The conditions facilitating the acquisition of psychomotor skills

should be researched in greater depth. Up to now, the greater amount of

time has been spent on investigations conducted in the field of cognitive

development and growth.

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139

SOURCES OF CONTEXTUAL EXAMPLES: SOLOISTS AND COMPOSERS

1. 5-3

Louis Armstrong's solo on "Terrible Blues." Transcribed by BobWilber from Louis Armstrong: An Early Portrai t. Milestone(MLP 2010).

2 . 5-9

Louis Armstrong's solo on "S.O.L. Blues." Transcribed by Bob Wilberfrom The Louis Armstrong Story, Vol. 2: Louis Armstrong andHis Hot Seven. Columbia (CL 852 ). Down Beat . July 1970.

3. 5-29, 5-30

Louis Armstrong's solo on "West End Blues." Transcribed by DavidBaker from The Louis Armstrong Story, Vol. 3. Columbia(CL 851 ). Down Beat , September 1971.

U. 5-32

Mike Brecker's solo on "Child of Wisdom." Transcribed from TheDreams album Imagine My Surprise. Down Beat , May 1975.

5. 5-35, 5-50

John Coltrane's solo on his "Giant Steps." Transcribed by DavidBaker from Coltrane's album Giant Steps. Down Beat , July 1971.

6. 5-31

Vic Dickenson's solo on "Bourbon Street Parade." Transcribed byDavid Baker from The World's Greatest Jazz Band's album

What's New. Down Beat, August 1972.

7. 5-10

Ted Dunbar's solo on "There Is No Greater Love." Transcribed by

David Baker from album Charles Williams. Mainstream (MRL 312).

Down Beat, January 197^.

Duke Ellington's "I Let a Song Go Out of My Heart." The Great Music

of Duke Ellington . Melville, N. Y.: Belwin-Mills Publishing

Corp.; American Academy of Music, 1966.

lHo

9. 5-7

Duke Ellington's "Prelude To a Kiss." The Great Music of DukeEllington.

10. 5-17

Curtis Fuller's solo on "Bongo Bop." Transcribed by David Bakerfrom Fuller's album Sliding Easy. United Artists (UAL UoUl).Down Beat , January, 1973.

11.

5-26, 5-^2

Dizzy Gillespie's solo on "One Bass Hit." Transcribed by DavidBaker from album The Dizzy Gillespie Reunion Big Band(MPS 15207). Down Beat, February 1970.

12. 5-5, 5-Ul

Frank Gordon's solo on "Kera's Dance." Transcribed by Dick Washburn

from albym by The Awakening, Hear, Sense and Feel. Black

Jazz (BJQ/9). Down Beat , April 1973

13. 5-18, 5-33, 5-^3 , 5-^6

Herbie Hancock's solo on "Fire Water." Transcribed by Brian

Priestly from Hancock's album The Prisoner. Blue Note

(BST 8U321). Down Beat , November 1970.

lU. 5-2, 5-lU, 5-M

Coleman Hawkins' solo on "Body and Soul." Transcribed by Hoyt

Jones. Down Beat, 19^0; reprint Down Beat , July 1972. This

classic solo may be heard on A Jazz Autobiography-Coleman

Hawkins. RCA Vintage (LPV 50l).

15. 5-8, 5-21

Johnny Hodges' solo on "Passion Flower." Transcribed by David

Baker from Duke Ellington's album Blue Rose. Columbia

(CL 872). Down Beat, August 1970.

16. 5-15

Freddie Hubbard's solo on "Killer Joe.". Transcribed by Greg George

from Quincy Jones' album Walking in Space (A and M 3923).

Down Beat , May 1973.

Freddie Hubbard's solo on "Shutterbug. " Transcribed by DavidBaker from J. J. Johnson's album J. J. Incorporated.Columbia (CS 8H 06 ). Down Beat . February 1971.

18. $-1, 5-13. 5-23. 5-28

Milt Jackson's solo on "Theme from the Anderson Tapes." Transcribedby David Baker from Quincy Jones' album Smackwater Jack. Aand M (SP 3037). Dovn Beat , March 1972.

19. 5-**, 3-51

Keith Jarrett's solo on "Lucky Southern." Transcribed by BillDobbins. Dovn Beat , August 1973.

20 . 5-53

J. J. Johnson's solo on "Shutterbug." Transcribed by David Bakerfrom J. J. Johnson's album J. J. Incorporated. Columbia(CS 8Uo6 ). Dovn Beat , February 1971.

21. 5-36. 5-37

Thelonius Monk's solo on "I Mean You." Transcribed by Bill Dobbinsfrom Monk's album Big Band and Quartet in Concert. Columbia(CS 896**). Dovn Beat , October 1971.

22 . 5-1** . 5-38. 5-39. 5-**8

James Moody's solo on "Cherokee." Transcribed by Greg George. Dovn

Beat , September 1973.

23- 5-19. 5-20. 5-2**. 5-25, 5-52

Wes Montgomery's solo on "Here's That Rainy Day." Transcribed by

John Kusiak. Dovn Beat, November 197**.

2k. 5-12

Charlie Parker's "Confirmation." Verve (MGV 8001).

5-3**, 5-** 5

25. Charlie Parker's solo on "Nov Is the Time." Transcribed by David

Baker from The Charlie Parker Story, Vol. 2. Verve (MGV 8001).

Dovn Beat, November 1971

26. 5-22

Charlie Parker's solo on "Scrapple from the Apple." NA.

27.

lh2

Charlie Parker's solo on "Embraceable You." Transcribed by ZitaCarno and Jimmy Giuffre from Dial Take 1106A. Reissued onCharlie Parker Sextet (Roost 2210), and Bird Symbols(Charlie Parker Records U07). Down Beat, April 1970.

28. 5-^0

Clark Terry's solo on "Tete A Tete." Transcribed by Bill Dobbinsfrom the Clark Terry/Bobby Brookmeyer Quintet album Tonight.Mainstream (S/60U3). Down Beat , May 1971.

29. 5-11

Stanley Turrentine's solo on "Speedball." Transcribed by DavidCreighton from album Cherry (CTI 6097). Down Beat , April197U.