Wayne Shorter Compositions

Yale University Department of Music

Notes on Harmony in Wayne Shorter's Compositions, 1964-67 Author(s): Steven Strunk Source: Journal of Music Theory, Vol. 49, No. 2 (Fall, 2005), pp. 301-332 Published by: Duke University Press on behalf of the Yale University Department of Music Stable URL: http://www.jstor.org/stable/27639402 . Accessed: 26/09/2013 15:29 Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp

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NOTES ON HARMONY

IN

WAYNE SHORTER'S COMPOSITIONS,

1964-67

Steven Strunk

The tenor saxophonist Wayne Shorter is widely recognized as a con summate improviser, but his historical significance rests equally on his contributions as a composer. The compositions he wrote while playing with Art Blakey's Jazz Messengers began to build his reputation,1 but it came to full flower during and after his subsequent tenure with theMiles Davis Quintet. This article examines harmony in a selection of the music that Shorter composed after leaving Art Blakey's Jazz Messengers in early 1964 and before founding Weather Report with the keyboardist Joe Zawinul and the bassist Miroslav Vitous in 1970. In late 1964 he joined Miles Davis's quintet, for which he composed some of the compositions in question, although most were composed for Blue Note recordings he made as leader with various sidemen between 1964 and 1967. His com positions became known for their harmonic explorations outside the idiom of bebop, for their motivically organized melodic lines, and for their fre quent

avoidance

of

standard

forms.

The main aim of this study is to describe Shorter's harmonic practice in these

Journal

works,

of Music

but

Theory,

I also

make

some

observations

on

melody

and

form

49:2

DOI 10.1215/00222909-010

? 2008 byYale University

301


Table

1. Referenced

Year 1964

Compositions

by Wayne

Shorter,

1964-67 Recording

Composition Wayne

"Armageddon" "Black Nile"

Shorter,

Dreamer

Night

(Blue Note BCT 84173)

Dreamer"

"Night "Virgo"

Wayne

"Deluge" "Mahjong" "Yes and No"

Wayne

"Witch

Shorter,

No

Speak

Evil

(Blue Note BLP 4104/BST)

"Speak No Evil" "Wild Flower" Hunt"

Miles

"E.S.P."

E.S.P.

Davis,

(Columbia

46863, CS9150/CL2350)

"Iris" "El Gaucho"

Wayne

'sApple

Adam

Shorter,

(Blue Note BST 4BN 84232)

"Footprints" 1966

(Liberty

Juju

("Yes or No")

"Fee-Fi-Fo-Fum"

1965

Shorter,

BST/4BN 84182)

"Juju"

Miles

"Orbits"

Davis,

Miles

Smiles

(Columbia 48849, CS9401/ CL2350) 1967

"Miyako"

Wayne

Shorter,

Schizophrenia

(Blue Note BST 84297) "Prince

Miles

of Darkness"

Davis,

Sorcerer

(Colum

bia 52974, CL2732) Miles

"Fall"

Davis,

(Colum

Nefertiti

bia 46113, CS9594)

"Nefertiti"* "Pinocchio"* *No direct reference to "Nefertiti" or "Pinocchio" were studied and contribute to generalizations.

is made

in this article,

although

they

as they relate to the individual compositions discussed. Of course, the first task thatmust be accomplished in any study of harmony in a body of work is to determine what those harmonies are. This is a particular challenge in this variable

since

case, than

in most

the harmonies jazz

of Shorter's

and popular

tunes.

compositions On recordings,

are

even

chords

more change

at times in small but significant ways from one chorus to the next. Pub lished sheet-music editions for the compositions often have a remarkable degree of disagreement with each other and with recordings. Sources for this study included the earliest recorded performance of a given piece, the two collections of Shorter compositions published by Jamey Aebersold

302


and Hal Leonard (Schiff 1985; Shorter 1990), the transcriptions in the fifth edition of The Real Book, and the copyright deposit manuscripts at the Library of Congress.2 When these disagreed, as they did frequently, I took all sources into consideration, generally giving greatest weight to my hearing of the recording.3 The compositions considered for this study, listed by year of composition, are shown in Table 1,which also lists the reference

recordings.

I proceed by first considering these

works,

and

then move

foreground harmonic characteristics

to middleground

and

of

character

background

istics, including the projection of tonality in general. This exposition forms the background to detailed case studies of Shorter's compositions "Night Dreamer" (1964) and "Orbits" (1966). of the Foreground

Characteristics

Harmonic

Like many composers, Shorter has often expressed his desire to play with the harmonic expectations of his listeners.4 One of the techniques he uses to accomplish this goal is the use of nonfunctional chords; Patricia Julien has written that a nonfunctional chord does not interact with its fellow chords in a key-defining manner and that "the motion it expresses is generally linear and does not rely on root relations of a fifth or the traditional resolutions of active degrees" (2001, 53). Bebop harmony of the 1940s and 1950s is built on relatively simple elaborations of functional progressions differences

within

mostly between

bebop

a tonic-dominant and

harmony

framework.5 Shorter's

Even are

harmony

extent only amatter of degree, with Shorter greatly developing harmony

that,

although

sometimes

present,

are

very

rare

so,

the

to some

aspects of

in bebop.

the I now explore several of the ways in which Shorter manipulates functions of chords, starting with individual chords and moving on to short

progressions.

Unusual Uses

of Chord Structures

It is well known that the intervallic structure of a chord (its type or quality) determines to a great extent its functional implications. One of Shorter's basic techniques for the violation of harmonic expectancy is to use

the

"wrong"

structure

over

the

right

root,

particularly

in circle-of

fifths bass situations. See, for example, m. 4 of the introduction to "Black Nile" (Table 2a). Here, even before a key is established, Fm7 (implying a dominant to follow) progresses to the nondominant Bbmaj7. This bass line in this context ismuch more likely, of course, to support Fm7 Bb7 or F7 Bbmaj7. Shorter has a tendency, in fact, tomake much greater use of minor-

and major-seventh

relative duration,

chords,

in comparison

in terms

of both

sheer

frequency

and

to bebop practice. This increase may be

303


Table 2 a. "Black

12 Cm7

Nile,"

Introduction

Ghnaj7

3 Et>m7

b. "Wild

4 Fm7

Bhnaj71

Flower"

22 21

20 19 Cm7 F7

54 53

52 F7

51 Cm7

Bbmaj7+5 Ebmaj7

Bbm7/Eb

Bbmaj7+5

c. "Iris"

7 8 6 Db7 Abmaj7+5 d. "Prince

12 11 D\?l Cm7

10

9 Cm7

14 15 Bbbmaj7/Di> Db7

13 Db7

16

of Darkness"

8

7 Gm7

10

9 Gbmaj7+5

12

11 Bbmaj7+5

Cknaj7

due to the support these chords provide for modal and pentatonic melodic improvisation, especially when they are held for long durations (as in Hunt"

"Witch

These

An

One

ways. of Shorter's

seventh with chord

contained

or

"Footprints")

relatively basic

uncommon chords.

and

even

involve using common

use is to simply technique for example, chord types,

blunter signature

chords

the upper

of a chord?such

extensions

in

uncommon is the major

fifth. In a bebop context, one might

augmented within

in vamps.6

techniques

find this

as a minor

major seventh with a ninth or a dominant seventh with a ninth, augmented eleventh,

and

its use

thirteenth?but

as a chord

in its own

emerges

right

only as part of the evolutionary process inwhich Shorter played a crucial part during the 1960s (Waters 2004). For examples of this chord's use, see mm. 21 and 53 of "Wild Flower" (Table 2b), mm. 7-8 of "Iris" (Table (Table 2d). It is also implied 2c), and m. 11 of "Prince of Darkness" seen inmost strongly atm. 9 of "Prince of Darkness," where the Ghnaj7 sources is given the melody note D^. We encounter this chord type again in connection with the discussion of "Orbits" below. Stepwise Root Motion Repetition which

degrades

of a pair of successive the "progressive"

and the Vamp

chords with the bass moving

nature

of functional

syntax,

by step,

is a feature

of many of these compositions, especially as an introduction or at the a chorus. Some of pairs have just a single repetition, while beginning others repeat more often or indefinitely and so may properly be called "vamps."

Many

of

these

chord

pairs

resemble

and

function

harmonically

304


similarly to the montunos new

unique In most

characteristic

of

bands of the 1940s but contain

chords.7

the chords

a nonfunctional

is clearly

as

progression,

through its first seven measures. two

has

5-8, same

statements

statements

four

of A7-5

11-14) A7-5

is a

a vamp

its F-minor

(Table 3b), which

also presents

1),

tonic.

in the first

tonic

a nonfunctional,

elaboration

that

(Example

on progression on a C-minor times

Bbm7,

surface

introduction

"El Gaucho"

this

of "Speak No Evil"

(mm. The

progression.

of

appears

progression

eight measures

to

neighbor

(Table 3a), in Et minor, has Ebm7 Fbmaj7 El?m7, a

phrygian-mode

continues The

of

one

cases,

the other.8 "Deluge"

mm.

of Afro-Cuban

combinations

two

nondiatonic as

acting

an

accented

neighbor chord to the Bkn7 chord, which itself is a neighbor chord mov ing from and returning to tonic Cm7. However, leading into the bridge, the Bkn7 acts as a passing chord, initiating a stepwise octave descent in the bass, part of a wedge-shaped progression leading back to the opening C-minor tonic (Example 2).9 The penultimate chord of the bass passing motion is Dl?maj7, the neighbor chord used in the vamplike first eight measures.

"Iris"

(Table

2c),

when

in F minor,

interpreted

ends

on a minor

dominant chord (Cm7) prolonged by two applications of an upper neigh bor substitute dominant as a suffix: Cm7 Db7 Cm7 Db7. The last of these Table 3 a. "Deluge"

12 Ebm7 I

Fbmaj7

3 Ekn7

7 11 E\?ml

8 12 Bbb7

9 13 Ab7

I

->

b. "Speak

12 Cm7

No

IV

10 15 14 Gbm7 [II bVII

3 Cm7

Dknaj7

9 Em7 Cm7

10 Dm7

6

5 Ehn7

Fbmaj7 11 Et>m7

Cb7 V]

Evil"

Dbmaj7

8 Dknaj7

4 Fl?maj7

Ehn7

4

5 Cm7 Bkn7

6 Dknaj7

11 A7-5

7 Cm7

12 Bbm7

13 A7-5

14 Bkn7

c. "Armageddon" Introduction Chorus Chorus

Introduction

9 Bkn7 Gb7 I I I I

10

11 Bkn7 G\>1 I I I I

12

1 Bhn7 Gt7 / / / /

2

3 Bkn7 Gb7 / / / /

4

5 Eb7

305


Dl?7 chords is elaborated by a neighbor chord, Bbknaj7/Dl?, inwhich the upper voices are the neighbor tones. "El Gaucho" (Example 1) also has a minor

dominant

as

its last

structural

chord,

back

moving

to an F-major

tonic at the beginning of the chorus as follows: Cm7 Dm7 Cm7 Dm7 Em7 Fmaj7. The repetition of the Cm7 Dm7 pair resembles the neigh bor relationships occurring earlier in "El Gaucho" (mm. 5-8) between Fm7 and Gbmaj7. (The repeated pairs Ebm7 and Fbmaj7 in "Deluge," Cm7 and D|?maj7 in "Speak No Evil," and Cm7 and Dl>7 at the end of "Iris"

also

have

a similar

pattern.)

Vamps of this type may also involve root motion by third, in place of the normative step. In "Armageddon" (Table 3c), in Bb minor, mm. 9-12 of the introduction and mm. 1-4 of the chorus present four vamplike repetitions of the tonic prolongation Bbm7 Gb7 Bbm7. The Gb7 is an example of an embellishing chord having many stepwise voice-leading with

connections

the

tonic.

"E.S.P."

neighbor chord, Ebmaj7, moving Semitonal

surface

Some

can

above,

be

and

pairs explained

semitonally

mm.

5 Fm7

into B7+5

6

7

Gbmaj7

Fm7

Transformations

of groups as semitonal

"Juju," the final chord, Bm7 at each

8

repetition

11

Gbmaj7 Et>maj7 Cm7

I (bVII) Vb

Example

some

chords,

including transformations.

At

(m. 12), can be understood

9

Example

a middleground

3) features

(Example

to and from the tonic Fmaj7.

of

the chorus.

discussed the

end

of

as transformed

In "Yes

and No,"10

12

13

14

15

1

Dm7

Cm7

Dm7

Em7

Fmaj7

ftVII)

1. "El Gaucho"

2. "Speak No Evil"

306


1

mm.

3

5

Fmaj7

E7-5

1 E7-5

7

9

Ebmaj7

D7-5

11

10

12

E7-5

Ebmaj7

Fmaj7

2p=

y-b^F N 3. "E.S.P'

Example

Table 4 "E.S.P"

14 G7 Gm7

13 1st ending: Dm7 2nd ending: Dt>7

16 Gknaj7 Fmaj7 an appoggiatura

tonic chord appears as D7sus4,

the opening ing

15 Gm7 Dkn7 Gk7

into Dmaj7,

semitonally

as

serves

which

chord slid In "E.S.P,"

its resolution.

at the end of the first sixteen measures (Table 4), semi tonal transforma tion links three chords: G7 Gm7 Gknaj'7. At the end of the second six teen, the successions Db7 Gm7 Dkn7 and Gb7 Fmaj7 are semitonally In two

related.

a neighbor

cases,

chord

is derived

by

semitonal

transfor

from the chord that it embellishes. "Iris," mm. 13-16, has Db7 BW?maj7(9)/Dl? Db7, in which the neighboring motion is F-Fb-F and Ak-B W?-Ak' Also "Witch Hunt," mm. 21-23, has Akn7 Bbknaj7(add6)/ A\? Abm7, inwhich the neighboring motion isAk-Bk?-Ab and Eb-Fk-Ek

mation

Most

of

nonfunctional foreground or not all whether

Shorter's

smooth

by

voice

progressions move voices

leading,

are by

governed semitone.

Prefix and Suffix Incomplete Neighbors An from

surface

important that of most

tion by chromatic many tional

chromatic

sets

jazz

prefix and suffix

a basic

cases,

that

feature

contemporaneous

progression or lower

upper

of

Shorter's

harmonic is frequent

composition

incomplete

two

chords

incomplete

neighbor

is elaborated

neighbor

chords.

style apart elabora

chords.12 In by nonfunc occur These

either as a suffix to the first chord or as a prefix to the second chord, or both. The interface between the elaborating chords and their adjacent chords is frequently strikingly nonfunctional and disruptive of tonality. Such elaborations are not part of the bebop style.13 Measures

Bk

5-8

Eb7 ->

of

D7 V/VI

"Fee-Fi-Fo-Fum"

Gm7 VI

present

Abmaj7 N

the following

C7 V/V

progression:

F7 V

Bb7 I

(?> represents an applied substitute dominant)

307


1

2

D7

Gm

Example

3 Abmaj7

4.

Bmaj7

D7

"Fee-Fi-Fo-Fum"

Here the Ahnaj7 is a phrygian-mode suffix incomplete neighbor that interfaces nonfunctionally with the following chord, in this case C7. Measures 5-11 of "El Gaucho" (Example 1) present a motion from minor tonic down to minor dominant with a middleground incomplete lower neighbor suffix following the tonic: Fm7 Ebmaj7 Cm7. This pro gression is further elaborated in the foreground by a repeated phrygian mode upper neighbor suffix to the tonic chord placed before the Etmaj7: Fm7 G?>maj7 Fm7 Gt>maj7 Ebmaj7 Cm7. The last three chords not only constitute a nonfunctional progression but also approach the dominant by equal interval transposition (three half-steps) downward. This kind of progression, part of a division of the octave into equal parts, does not occur (as far as I have been able to discover) as chords in direct succes sion A

in bebop similar

compositions, obtains result

and thus represents in "Fee-Fi-Fo-Fum,"

an mm.

innovation.14 2-4

(Example

4),

in Bh, within a local prolongation of the submediant, the basic ascending motion I?NlII?V is elaborated by the attachment to the tonic chord of a phrygian-mode incomplete upper neighbor suffix. In the result ing progression, Gm7 Aknaj7 Bmaj7 D7, the dominant is approached by equal interval transposition (three half-steps) upward, again involving

where

major-seventh

chord

types.

Shorter frequently elaborates a chord by approaching it through both upper and lower neighbor prefix chords. In mm. 2-4 of the introduction to "Black Nile" (Table 2a), the progression Gbmaj7 El?m7 Fm7 expands the phrygian prefix neighbor (Gbmaj7) to a phrygian double neighbor approach to Fm7. Again, there are equal interval transposition levels (three half-steps ascending) between the roots of the chords that precede Fm7: Cm7, El?m7, and Ghnaj7. In "Wild Flower," which is inD minor, the dominant is approached by the diatonic VI inmm. 1-4, followed by an unexpectedly chromatic lower neighbor: Bhmaj7 Ahm7 A7. In "E.S.P," the return from the first ending (m. 16) to the repeated opening (mm. 1-4) presents a similar pattern approaching the F tonic: Gbmaj7 E7-5 Fmaj7.

308


Chords and Dividers

Embellishing Some

of nonfunctional

successions

on

chords

the

surface

of Shorter's

compositions take the form of embellishing chords. The root of an embel lishing chord leaps to and/or from the root of the structural chord that it embellishes, chords.

a surface

creating

functional,

such

Most

chromatic

a chromatic

involving

patterns

are

closed,

that

progression

third relationship from

moving

non

is usually

the two

between

and back

to the chord

that is embellished, thereby resembling an extended neighbor tone. The chorus of "Armageddon" (Table 3c) begins with such a progression: Bbm7 Gb7 Bbm7. Although the roots leap, the pitch-class content of the chords

can

be

seen

as

related.15

semitonally

"Witch

is a C-minor

Hunt"

blues inwhich the chorus's usual I-IV-I opening progression is replaced by Cm7 Eb7 Cm7. Here the embellishing chord Eb7 is also semitonally related

to the

tonic.

Another procedure involving third-related chord roots is the division of a bass leap of a fifth by a chromatic chord. The models for this procedure are

in major and I-III-V in minor. In the I-IIlt-V as in are these literature, bebop, normally middleground are at times as well. in Shorter's it is their work, However, they in direct succession that characterizes In the Shorter's music.

the usual

standard events,

progressions

tonal and

appearance chorus of

mm.

"Armageddon,"

3-5

(Table

3c),

a

progression

from

tonic

(Bbm7) to subdominant (Ek7) is divided in the foreground by a chromatic chord: Bbm7 Gb7 Eb7. In "Prince of Darkness," mm. 1-7 (Example 5), the bass roots arpeggiate the G-minor tonic triad with parallel structures on each root: Gm7 Dm7 Bkm7 Gm7. The leap from dominant to tonic is divided by a chromatic mediant. Another case close to the foreground occurs inmm. 2-4 of "Fee-Fi-Fo-Fum": Gm7 Abmaj7 Bmaj7 D7, dis cussed

above,

in the G-minor

where,

context,

the Bmaj7

is an unexpected

chromatic mediant dividing the leap from tonic to dominant. Another pattern of root motion, related to the division of a bass leap, occurs

often

to merit

enough

treatment.

separate

The

downward

bass

interval (which may be larger than a fifth) between the roots of two struc tural chords is traversed as follows: a downward skip to a dividing chord is followed by four or five stepwise descending roots, leading to, and mm.

13 Gm7

I

Example

Dm7

V 5. "Prince

5

7

Bkn7

Gm7

I of Darkness"

309


mm.

7

6

5

Fm7

Am7

Bb7

8 Eb7

Em7-5

Dmaj7

=fc VI

III Example

mm.

1

11

17

Cm7

Gb7

9

Cm7

Eb7

18 F7

3

n

r\ I

*^

r I

bill

19 Fb7

Example A7

Fti7sus

Em7 Djjm7 Dm7

"Virgo"

20

21

22

Eb7 Abm7

>

bV

6.

23

Bbbmaj7/Ab Abm7

24

1

G7

Cm7

E7

Amaj7

T bVIV

bill

I

7. "Witch Hunt" G7

Cmaj7 Am7

Gm7

Fmaj7

^^

?

tÎII

Example

ending

on,

the

second

structural

times omit an elaborative the pattern

is basically

a

8. "Miyako"

chord.

The

examples

to follow

some

chord or chords (indicated by a hyphen), foreground

event.

In mm.

5-8

of

"Virgo,"

but inter

preted in F (Example 6), the following succession links III (Am7) and VI (Dmaj7): Am7 Fm7?Em7-5 Eb7 Dmaj7. Here, a downward skip of a third is followed by descent in half-steps. "Witch Hunt" (Example 7), tonic arpeggiation: I (m. 11 )?bill in C minor,16 exhibits a middleground takes this path from I to bill: The (m. 24). (m. 20)-V arpeggiation Cm7 Gb7 F7 Fb7 Eb7. Again, the final approach is by half-steps, but in this case the initial downward skip is a tri tone. In "Miyako," mm. 1-7 (Example 8), the final approach includes one whole-step: A7 F#7sus Em7 Ebm7 Dm7. Because the stepwise line is interrupted at the Dm7, the pattern

can

be

seen

as

complete

at that point.

However,

the passage

is

I-III-V arpeggiation, A7 (m. 1)Cmaj7 (m. 9) E7 part of amiddleground and (m. 12), extending the pattern to five stepwise roots connects I to III: A7 Ftt7sus Em7 Ebm7 Dm7 (G7) Cmaj7.

310


Harmonie

of how

consideration

involves

and Background

and background of these pieces neces

of themiddleground

Discussion sarily

of theMiddleground

Characteristics

or attenuated.17

is established

tonality

Three of the compositions have diatonic backgrounds, although their structure has little to do with a standard Urlinie. At the other melodic we

extreme,

several

find

with

compositions

nontonic

music.

nineteenth-century exotic variously tions,

of

remainder structures

background

subdominant

structures

The

equal a striking contrast with the usual a tonic-dominant axis. expresses

form

ture, which

Diatonic

of

the

bebop

we

tonality, and the for the study of feature

compositions structural

involving division

or

orientation,

the

which

endings,

may understand in terms of tonal pairing, directional double-tonic complex, categories originally developed

third

octave.

background

rela These struc

Backgrounds

Although their surfaces abound with the chromatic progressions dis cussed above, three of the compositions studied have diatonic background structures. Two, "Black Nile" and "Mahjong," are from 1964; the third, "Miyako," is from 1967. The opening of the introduction of "Black Nile," with its unordered equal interval approach to Fm7 (Cm7 Gbmaj7 Ebm7 Fm7?discussed above),

is quite

as

ambiguous

to key

and

chordal

functions.

Upon

reach

ing Fm7, mm. 4-8 of the introduction (Example 9) move through a circle-of-fifths including the phrygian bll to an authentic progression, cadence inD minor. This cadence includes the only V chord in the com position;

bass toward

the

substitute

dominant,

bll,

serves

in cadences

thereafter.

line graph shows an upper and lower voice, both of which the D-minor

tonic.

The

upper

voice

reiterates

F-Eb-D

with

The

drive vary

ing chord structures (thus integrating the introduction with the chorus), while the lower presents the progression VI-bII-I four times, the last time within the final A section (not detailed in the graph). The tonal structure of the chorus of "Black Nile" shows an unusual emphasis on bll, as well as on the chords built on its fifth and third, VI and IV bll occurs as a chord in the introduction and in the bridge (mm. 20 and major-seventh 24), but otherwise it always contains the leading tone, giving it a certain degree

of dominant

function,

thereby

countering

the

subdominant

func

tion of the other structural chords. The first three iterations of VI-bII-I are varied in interesting ways. The bll is a major-seventh chord in the introduction, enabling its D tomove to Cjt in the cadential V chord lying between bll and I. In the first A section of the chorus, bll is the substitute dominant, and there is no V18 The third iteration of the progression cov ers the second A section and the bridge (B). Here, the move from VI to

311


2420

mm. 4567812 345611 8712 13 14 15 16 17 18 19 910

ExampleNile" "Black 9. Fm7 Bbmaj7 Bb7 Ebmaj7 Em7-5 A7 Dm Eb7 Dm Cm7 F7 Bbmaj7 Dm Eb7 Eb7 Dm Cm7 F7 Bbmaj7 Gm7 Am7 Ab7 Gm7 C7 Fm7 Bb7 Ebmaj7 Eb7 Dm 7865

Example"Mahjong" 10.

22 21 20 19 18 17 12 11 1234910 mm. Fm7 Ebmaj7 Fm7 Ebmaj7 Dbmaj7 Ebmaj7Dbmaj7 Ebmaj7 D7 Ebm7 Ab7 Dbmaj7 Dbm7 Gb7 Fm7 Ebmaj7 Fm7

bll VI I 56715 16 14 13 823 24

fer

as


bll is greatly elaborated. IV divides the interval between these chords, and inmm. 15-17 it is prolonged by an applied subdominant-substitute dominant group (Am7-Ab7). The bridge consists of themove from IV to bll, which is accomplished by a circle-of-fifths progression of II-V pair The progression in the final A sec ings (Gm7-C7-Fm7-Bb7-Ebmaj7). tion is the same as that of the first. in F "Mahjong" (Example 10) also has the progression I-VI-bII-I it covers

but

minor,

the whole

thus

tune,

occurring

once.

only

Ebmaj7

acts first as a lower neighbor chord prolonging I and then as a passing chord connecting to VI. The latter chord is first prolonged by Ebmaj7 as an upper

chord

neighbor

then

and

given

a II-V-I

cadence

(mm.

18-19).

The D7 (m. 17) is an accented neighbor chord. After VI is prolonged, bll, the substitute dominant, is developed into a II-V group before progress ing to the final tonic. The substitute II-V (Dbm7 Gb7) is indicated in the as "[IT V']."

graph

like

"Mahjong,"

numerous

other

Shorter

is an

tunes,

1-24 ingenious variation of the twelve-bar blues (AAB) form. Measures are an augmentation of the form, with VI replacing IV in the second A and

section,

of mm.

the progression

17-20

as

serving

the harmonically

active first half of B. Measures 21-24 are the return to tonic of the second half of B. Measures 25-28 repeat the vamplike progression of mm. 21-24 as an added extension of the tonic. Shorter said of "Mahjong" that there was "nothing very technical musically in it" (Schiff 1985, 52). "Miyako" (Table 5) is the least settled of these three examples, as its last chord is V, which as a half-cadence. The an

actively structural

rising

serves

melody

progression,

one

either

as part

authentic

of

cadence,

that precludes in boldface, shown

any

a turnaround

sense

at m.

13, has to rest. The

of coming

I?ÎIII?V?I?II?V,

at the end,

or,

in the middle

is surrounded

by II-V groups of various functions. ÎII is tonicized by a II-V pair in mm. 7-9 (square brackets enclose applied II-Vs). A series of three II-V pairs leads to IV at m. 21 (the G7 at m. 16 is a substitute dominant, bll). The final structural II-V pairings are prolonged by a chromatic lower neighbor pair inmm. 23-28. The presence of the multiple II-V groups, in mm.

especially

15-27,

connects

"Miyako"

to earlier

bebop

tunes

that

similarly exploit them. can

"Miyako"

also

as a reminder

serve

that harmonic

innovation

is not

the only feature that led to Shorter's reputation as a composer in this in his melodies and through-composed period. Motivic development forms from ple In

characterize "Miyako," 11a),

their

occupy second

many

of

(x), an opening three measures appearance,

his

Two motives pentatonic a (Exam (y), gesture closing three measures each, with intervening. been drawn and com they have together compositions. and

gesture,

in pressed (Example lib); they each now occupy only two measures direct succession, and motive (x) has reduced intervals. A longer motive is enlarged to occupy six in (Example lie), occupying four measures,

313


Table 5 "Miyako"

4

3 F#7sus

12 A7sus

5 Em7

7 Dm7 [II

6 Ebm7

8 G7 V]

I 13

12 Fmaj7 E7

11 Gm7

10 9 Cmaj7 Am7

Amaj7

14 Am7

15 Abm7

[II

16 G7

bll]

I

rtii V 17 Ftm7-5 [II

18 B7 V]->

19 Em7b5 [II

20 A7 V]->

26 D?7

27 Bm7

28 E7

II

V

25 Atm7

21 Dm7 IV

22 Cm7

23 Bm7

24 E7

V)

(II chromatic

neighbor

later appearances (Example 1 Id, e). The initial pitches of the three trans positional levels of this motive, B, Ctt, and E, form the inversion of motive is (y). Note also the variety of harmonization: none of these motives harmonized

extends twice. Shorter's the same way craftsmanship exactly no sectional divi As a twenty-eight-measure jazz tune with no real cadence at the end, "Miyako" but representa is unique,

to form.

also sions

and

tive of Shorter's ability to compose outside and

songs

Alternatives

to Tonic-Dominant

Shorter's use of embellishing sence

of

the standard forms of popular

bebop.19

any

is one

features of his harmony. "Footprints" (1965) will "Footprints"20

uses

themain prolongation blues, blues chords,

"Footprints" progression. as shown

successive

in the ab

chords in the middleground

framework

tonic-dominant

Polarity

upper

and

lower

of

the most

innovative

serve as an example. embellishing

as

chords

of its tonic: Cm7 E7 A7 Cm7. A twelve-bar minor

has

a bass

motive

The motive

consists

in Example

12, mm.

I-IV-I the opening that expresses of these of an upward arpeggiation to subdominant in 1-8. The move

mm. 5-6 is accomplished in a unique way by the bass in the upper voices of its arpeggiation: G3 and C4 are replaced by F3 and Bb3, producing a stack of three fourths and leaving the downbeat C3 as a pedal throughout (fourths

are an

important

motive

in the melody,

as well).

Measures

314


9-10

are melodically

and

chromatic,

harmonically

the harmonic

accelerating

rhythm by a factor of eight. Taken by itself, the string of four chords inmm. 9-10 is not unusual. However, its thick chromatic content and rapid harmonic rhythm come as a

surprise

after

the

static

of mm.

diatonicism

1-8. Working

backward,

is preceded by its dominant, E7; the II-V group is realized as Ffm7-5 F7, using a substitute dominant in a pairing that normally toni cizes E minor, but by mixture here itmoves to E7. The first chord of the four (F)tm7-5) can be heard as the transcribers of the Real Book heard it, representing V7 of V (D7), a chord thatmight well appear at that location in a blues. The logic of themovement of A7 to Cm7 may be that of semi tonal transformation. Because each of the pitches of A7 can move by semitone into a pitch of Cm7, "the ear relegates the harmonic activity to the background" (Hindemith 1945, indicated by the root-progression 124), and the motion by semitone, like that of 7-8 and b6-5, connotes the A7

resolution. In explaining have analysts tions the usual by

a

harmonic

(Example ever. The I-IV-I-IV-I,

for

13),

a

called

(also

example,

has

no

indicates graph no structural V.

bassline with

axis).21

plagal

fit this interpretation. The

ens pieces may

century,

late-nineteenth-century harmonic axis may have

axis

tonic-subdominant

the nineteenth

of

developments in many

that suggested tonic-dominant

overall

The

main

been Some

replaced of Short

chorus of "Armageddon"

structural an

some

composi

dominant

chord

structural

whatso

of progression is on the plagal

emphasis

harmonies IV and VI. The latter chord first serves as an embellishing chord (m. 2), and then as a divider of themovement from I to IV inm. 4. IV is prolonged by an upper neighbor bll substitute dominant, after which the progression returns through VI to I.An incomplete neighbor III leads

(a)

(b) mm. 1-3 7-9 Fii7sus Dm7

A7sus

9-10 11-12 G7 Cmaj7

Cmaj7

Am7

Gm7

Fmaj7

(c) (d) (e) mm.

4-7 Em7

D|:m7Dm7G7

Example

13-1821-26 Amaj7 Am7

Gtfm7c _ F^ml~5

11. "Miyako,"

melodic

Dm7

Cm7

Bm7 E7 Ajfm7mi

motives

315


to IV,22 after which VI repeats its two functions in approaching the final tonic, which is, like IV, prolonged by an upper neighbor bll substitute dominant.

The

as

symmetrical, recalls "Armageddon" over dominant dominant

m.

from

progression

retrograde

the basic

11

blues

chords,

into

of mm.

is that

the

3-9.

next The

which

form,

5

is

character

plagal also emphasizes

in its prebop

especially

to m.

chorus

of sub

manifestations.

A similar structure underlies the chorus of "Deluge" (Table 3a), in Eb minor, which also lacks a dominant chord except in its introduction. the introduction presents a functional harmonic progression Although on V-I,

based

chorus

the

not.

does

a

After

I, IV

prolonged

a

is given

substitute dominant neighbor chord inmm. 8-9 and 12-13 (indicated by an arrow).

as a dominant

VI,

group inmm. to I. As

seventh

is developed

structure,

into

a II-V

10 and 12, as in the bebop style, followed by a direct return a

in "Armageddon,"

seems

axis

plagal

to prevail.

"Yes and No" (Table 6) also emphasizes the plagal in itsmiddleground structure. The dominant is weakened by itsminor quality in the context of D major. Tonal Ambiguities Some

with

pieces

a strong

sense

of

have

nonetheless

tonality

nontonic

endings:

the final chord is not the tonic, but it does not compete with

tonic

setting

by

up

an alternate

center.

tonal

For

clearly in a D tonality, ends with Em7. When mm.

15 Cm7

Fm7

7 9 Cm7 F#m7-5

the

or No,"

this chord appears at the

10 F7

"Yes

example,

11

E7

A7

Cm7

EM

EM

I

^*w ^

: $* ^

m

^

I

12. "Footprints"

Example

mm.

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

1

Bbm7Gb7 Bbm7Gb7 Eb7 Fb7 Eb7 Gb7 Bbm7Abm7/DbDi>7Ei>7Gb7 Bbm7Gb7 Bbm7Cb7 Bbm7

I I

VI

I

VI

I IV IV

bll

Example

IV VI IV

I I

VI

13. "Armageddon"

316


Table 6 "Yes

and No"

1

11

10 Gmaj7 IV

Dmaj7 I

1

29 Am7 V

Bbmaj7 bVI

Dmaj7 I

Table 7 "Fee-Fi-Fo-Fum" A

12 3 Eb7 D7 Gm7 Abmaj7 Bmaj7 D7 B 9

12 11 Bb7 Eb7

10

4 Dm7 G7 14

13 Eb7

5 Eb7 D7

7 C7 F7

6 Gm7 Abmaj7

15 Bbm7 Eb7

8 Bb7

16 Am7 D7

A 17 18 Eb7 D7 Gm7 Abmaj7

19 Bmaj7 D7

21 Eb7 D7

20 Dm7 G7

22 24 Dbmaj7 C7

23 Cbmaj7

end of the second A section of the AABA form, it initiates a circle-of fifths progression that spans the bridge. At the end of the first and the final A sections, it leads back to the tonic chord. Thus, on the final chorus

nontonic

One

ending

(Table 7), which

minor.

The

measure and

it no

as

longer

its

completes

to I.

Fum"

blues

of a half-cadence,

in the manner

it functions motion

form

be

may

only

so:

apparently

that of

invites interpretation both

is unusual

for

a

tune,

jazz

of

consisting

sections, ABA. The first A section spends mm.

then moves

quickly

until mm.

15-16,

to a cadence when

a series

on

Bb.

The

of bebop-style

"Fee-Fi-Fo

in Bb major

B

three

and G eight

1-6 in G minor

section

a

emulates

chromatic

II-V

pair

ings returns the music to G minor and the final A section. This section deviates from the first A section at m. 22, when the progression moves chromatically downward to cadence on Cbmaj7. In the mid-1960s, jazz chord on bll performers and composers began to use the major-seventh as a substitute for the tonic, especially in final cadences.23 Mark Levine calls this "moving a I chord up a half step" (1995, 292). Given that "Fee Fi-Fo-Fum" ends on bll of Bb, and thatmm. 8-14 behave like the begin ning of a blues in Bb, these together tip the scale in favor of that interpre tation.

Thus,

the

bll,

representing

I, is perhaps

not

a nontonic

ending,

at

least in the background, where the unresolved appoggiaturas making up the bll would be removed. Interpretation inG minor would give the final chord as Îlltt, definitely a nontonic ending. In fact, on each repetition of

317


Table 8 "Virgo" A

12

B 9 Dm7

4 7 5 6 8 Bb7 Amaj7 Am7 Fm7 Bb7 Em7-5 Eb7 Dmaj7 -> Vit? I-> nil-kl

3 Bbm7 Eb7 Dm7-5 F:

Fmaj7

11 10 Cm7 F7 Eb7 D7

A 17

18 Fmaj7 Bbm7 Eb7

12 13 Gm7 Ab7 Dbmaj7 -> t|

19 Dm7-5 Bb7 -> I

14 Dm7 G7 bVI

21 Am7

20 Amaj7 III?-\ ->

15 Gm7 IIbll

16 Dbm7

Gb7

24 23 22 Fm7 Bb7 Em7-5 Eb7 Dm7

VI

Dm: V?

I

bll

Coda

Dm7 Dbmaj7+5

25 24 Cm7 F7

26 Bbmaj7

27 28 Dm7 E7+5 A7+5 V I I

(29) (Gm7 (forD.C.)

C7)

the chorus, the function of the Bmaj7 would presumably be an embel lishing chord connecting theV of m. 21 to the V of m. 1.The interaction between G minor and Bb here fits the category of "tonal pairing," the alternation between two keys a third apart, which nonetheless remain separate.24

The idea of tonal pairing was developed music

late-nineteenth-century

in which

as a means of understanding

"a tension

between

two key

cen

often a third apart" (Kinderman 1996, l)25 replaces standard monotonality. A related practice is that of directional tonality, in which, ters, most

the establishment

after

of one

tonal

center,

a

piece

moves

to another

for

its conclusion. The main difference between tonal pairing and directional tonality is that in the former the music vacillates between the two keys frequently, whereas in the latter one key is established and thenmoves to the

other

at

the

end.

These

concepts

have

some

bearing

on

Shorter's

music.

is an ABA form with equal "Virgo" (Table 8), like "Fee-Fi-Fo-Fum," on F It in sections. and (m. 1) and ends in and on begins eight-measure D minor (m. 28). The first phrase (mm. 1-4) moves from I to lilt (Fmaj7 to Amaj7). The lilt becomes litt to begin the second phrase (mm. 5-8), which closes on VI? (Am7 to Dmaj7), ending the first A section. At this point, the sense of F tonality has become rather tenuous, but it will be regained. VIA (Dmaj7) inm. 8 becomes Vt? (Dm7) inm. 9, and then bVI inm. 13, leading to the cadence on F at m. 17, the end of the B section,

318


is a

dominant

substitute

to include II-bII-I, where

the I?III?VI opening

having extended

V,

representing

the bll

a circle-of-fifths

completing

approach to F (The tonicizations of the structural chords in "Virgo," most of which involve bll, are indicated by the arrows in Table 8.) In the final

A

section,

mm.

17-23

mm.

repeat

1-7

and

then

on Dm7,

cadence

which is given a five-measure coda closing with V-I inD minor. Although the first cadence on D atm. 8may briefly suggest D as an alternate tonic, that

tonic

is not

have

been

until

stabilized

example of directional Although numerous mentioned

the

coda.26

Thus,

"Virgo"

serves

an

as

tonality, beginning in F and ending inD minor. instances of equal interval transposition of chords none

above,

of

the pieces

examined

exhibits

mid

dleground equal division of the octave in the manner of "Giant Steps."27 However, "Juju" (Example 14) comes close, by presenting an elaborated move from "tonic" B7+5 to "dominant" Fmaj7, followed by an immedi ate

return

as Bm7.

to tonic

The

B7+5

as a whole-tone

is treated

but

scale,

gains its tonic status from its position at the beginning of the piece and from the stability it develops through its long duration (twenty-four beats). Fmaj7 serves as dominant because it takes the usual position of V both in the manner in which it is approached from the opening I and from its participation in the repeated "cadence" Fmaj7 Bm7. The root of Abmaj7 atm. 7 divides the interval between roots B and F in half, result ing in three out of four of the roots needed to divide the octave into four equal parts. The directionality of the progression stems from the 10-10 linear intervallic pattern between bass and melody that connects I and V. Part of the sense of resolution of the cadence is due to its unique 7-10 interval

pair. " The liner notes to the first recording of "Juju" quote Shorter: 'Voo doo' is a Haitian version of 'juju,' the original African term for certain kinds of religious-magical ceremonies" (Hentoff 1964). The effect of the chordal pairing exemplified by Ab and Em inmm. 7-8, known as a hexa tonic pole, has been shown by Richard Cohn to have been described by numerous magical,

itsmagic.

informed weird

...

from

writers

the past

(Cohn

uncanny"

2004,

two

centuries

285).

Thus

as "supernatural, does

"Juju"

In addition, the cadential pairing of F and Bm, although

1

5

7

6

B7+5

Bb7+5

10

10

A7

Abmaj7

10

Example

10

8

11 9

12 10

Em7

Fmaj7

Bm7

10

10

(10)

express

itmay

14. "Juju"

319


5

7

6

8

Ct?m7 B7-5 Bm7/E

1293 4 11 10 Dmaj7 D7 Gm7

(Eb-Cm)

r '^*

r '"- Il# :||r lV_Li

k):^f

12 13 14 16 15 Bm7 Abmaj7 C?m7 B7-5 Em7 Cmaj7

V I (VI) III

have

name

no better 1994),

than Riemann's

seems

also

to my

ear

V

(V) (VI)

I

(VI)

15. "Fall"

Example

wer

#

ik^r r

Gegenleittonwechsel a similar to express

(Klumpenhou effect.28

"Fall" (Example 15) presents ambiguity in its tonal organization and at the local level. The chord at mm. 4 and 8 is not easily expressed by a chord symbol. The copyright deposit indicates the pitches shown and the symbols: (Eb7b5 C-6); the latter are written closely parenthesizes over the first beat of m. 4. (The Eb7 is in fact amajor-seventh chord.) On the recording, sures 4 and

qualities 8, along

of both with

mm.

roots

can

12 and

be heard 16,

at various

constitute

times.

melodic

Mea

and

har

monic interruptions in the flow of a progression that cadences inE minor. This progression is organized as a small AABA form, with theA sections presenting the cadential pattern V-I in E minor, with VI as a neighbor prefix toV Although the tonic chord is E minor, VI is taken from E major and V harmonizes Gl, both thereby suggesting a major context. The B section presents V-I inG (III), with variations in the chord structures: the V begins as Dmaj7, changing to D7 with a B^lmelody; and the G chord is minor, rather than the major usually associated with III in minor, although it has the expected root for III inE minor. The Bm7 at the begin ning of the third interruption (m. 12) could be considered to complete the tonic arpeggiation, I-III-V, and the Abmaj7 that follows itmight be considered as (till arpeggiating back to I. However, the interruptions have their own organization. The first three (mm. 4, 8, and 12) each include two chords progressing by descent of a minor third in the bass. In each

of

these

pairs

of

chords,

the more

structural

chord

is a major

seventh chord, matching the quality of the fourth interruption, Cmaj7, which is the final chord. These major-seventh chords appear in the order Ebmaj7 Abmaj7 Cmaj7, a series interpretable as upper and lower third embellishments of a centric structure on C. The tonicizing strength of the chromatic third relations between bill and I and bVI and I is generally understood to be less than that of the more usual fifth relations between V and I and IV and I.29Therefore, this interpretation would hardly seem able to account for the strong sense of coming to rest that the Cmaj7 produces as the final chord,30 nor would its position as VI of E minor. When Cmaj7 enters, it sounds to this listener as though the extended

320


Em7 was always merely its upper structure. Thus, the final chord may bring together the previously separate harmonic worlds of the E-minor music and its interruptions. Is this a double tonic complex? Is E really the tonic

of

"Fall"?

These

are ultimately

questions

unanswerable.

"Night Dreamer"

Case Studies:

and "Orbits"

form in "Night Dreamer" (Example 16), from 1964, has an AA'BA which each section is four measures in length. Initially static melody and and a back harmony are balanced by dynamic motivic development ground level chromatic embellishing chord. In the graph of "Night Dreamer," the upper voice indicates three the middle line B4-Bb4-B4 strands, the top line D5-E5-D5, repeated and

times,

many

a lower

line G4-Gb4-F^4-G4.

Because

of

its consonant

support, I take B4 as the primary tone, but there is no descent as in a normal Urlinie.31 In the central line, the Bb4 neighbor tone, because it ascends, might be spelled as A|4, at least just before it returns to B4; however, the harmonic environment requires the flat spelling. The upper and

lower

then

return

voices

each

to their

the melodic

expand

original

position.

and mm. an

6-7

seventh.

9-11.

At mm. fifth,

augmented In mm.

11-12,

a whole-step movement

and seems

from D4 as it appears inmm. 2-3, mm.

to stretch the figure that descends 6-7,

range by lower voice

The

covers the figure 2-3, and at mm. 9-11, by adding a the figure, transposition

a

at mm.

fifth,

perfect an extra

note,

of mm.

9-11,

a

major would

have covered another major seventh, but from D4 it transfers back to the upper register, helping to lead back to the return of theA section. Although the second statement of the descending figure is simply a varied repeti tion, the extended third and fourth statements, with their new melodic and

harmonic

rhythm,

create

gives a sense of direction the motivic The chord

development line contains

bass

tonic

from

sacaglias

and

for which numerous

to dominant,

chaconnes

a less

obvious

variation.

to the otherwise

since

the

This

static melody

Shorter's

repetitions same tetrachord

the Baroque

period.

both

are known.

melodies of

process

and illustrates

the descending that has served The

local

tetra

pas dominant

D7 atm. 6 is given a chromatic suffix incomplete neighbor, Ebm7, which is developed into a II-V group: Ebm7-Ab7. The nonfunctional disconti (mm. nuity in the progression between Ab7 and the following Bm7/E 8-9) and the initiation of the longer pattern in the melody atm. 9 support the interpretation of the Bm7/E as an embellishing chord in relation to the tonic. The descending tetrachords, although repeatedly moving from I to V, ing

a

seem

static,

surface

not

prolongation

representing of the

real tonic.

harmonic For

motion, that

reason,

but the

represent structural

is indicated as I to the embellishing chord and back to I.Here the embellishing chord is a neighbor chord in the traditional sense, support

motion

321


16 14 15

j

bt*?h.-

Gmaj7 Bb7 Ebmaj7 Gmaj7 D7 Bb7Ebmaj7D7

J: ** #

^=ft

12 11 10

>P*V #hp

Example Dreamer" 16. "Night bJ#k?|^k? =?

?^?

Gmaj7 Bb7 Ebmaj7 D7 Gmaj7 Bb7 Gmaj7 D7 Ebmaj7 Bb7 Ebmaj7 D7 Ebm7 Ab7 Bm7/E

> 'k? ?


ing a long-range neighbor tone motion in the upper voice (D5-E5-D5). This kind of basic harmonic structure can be found frequently in Short er's compositions of the 1960s and represents one way of avoiding the traditional

axis.

tonic-dominant

At m. 11, a passing chord of the same structure as the embellishing chord (Cm7/F) leads back to the tonic. The melody atm. 9 (B4-E5-Ctt5 a

B4-Gl4-F#4),

is transposed

subset,

pentatonic

a tritone

down

at m.

11

at the same time the chord at m. 9 is trans (F^4-Bb4-G4-F^4-D4-C5) posed upward one half-step at m. 11 to produce the passing chord. This simultaneous transposition of different textural elements by differing in degrees opposite directions is an interesting feat of compositional skill.32 (B oth melodic statements have a further half-step descent appended, up

as noted, an octave.)

of

the composition

and,

the

notes

two

last

of

the

are

statement

second

transferred

still an important influence on Shorter at the time

John Coltrane was

of "Night

Dreamer."

"Giant

Coltrane's

Steps"

was

well

known for its harmonic movement through keys separated by interval class 4, thereby dividing the octave into three equal parts. The keys of "Giant Steps" are B (Cb), G, and Eb. It begins with a single Bmaj7 fol lowed by V-I in G. Similarly, four half-steps lower, "Night Dreamer" begins with a single Gmaj7 followed by V-I in Eb, reproducing two of the keys

of

"Giant

sion Ebm7-Ab7 melody class

belong

Steps."

In mm.

a more

4, perhaps constituting "Orbits" 17), (Example

composed as

minor

7-10

of

the progres

Dreamer,"

"Night

belongs to the key of Db, while the Bm7/E (II/V) and its to the key of A. Db and A are also separated by interval from

subtle

1966,

to "Giant

reference

piece with an introduction. On the whole, its primary

tonality,

there

although

Steps."

is a twenty-one-measure is also

through

"Orbits" presents G evidence

for

an

inter

pretation in F (major in the introduction, minor in the chorus). The mel ody of the introduction (which has no chords, only melody and bass and a phrygian neighbor line)33 alternates arpeggiations of F major chord, Gb major, ending on F, arpeggiated A4-F4-C4, suggesting an F tonality. The alternations are marked in Example 17. The bass line for these

measures,

C3-A2-Ab2-G2,

is basically

of F versus G, although it ends on G. version of the previously discussed descending half-steps. The melodic final melodic interval, F4-C4, may to make a stack of fourths. C3-G2 materials

as

to the question

in the chorus.

The melody an

neutral

It also exemplifies an unharmonized downward bass leap followed by extremes of m. 1, Bb4-F4, and the be combined with the bass interval Two such stacks provide melodic

alternation

of the chorus, like that of the introduction, between

two

harmonic

structures.

These

is guided by are

shown

in

Example 18a as two nearly discrete stacks of fourths, marked group A and group B, which together exhaust the aggregate but share one pitch

323


Fm7 Dmaj7+5 Gm7Dmaj7+5 Bbm7 Gm7 Dmaj7+5 Gm7 Fm7

IIVII

Example"Orbits" 17.

Gm7 Dbmaj7+5 Ebmaj7 Ebm7 Cm7 Dbm7 D7 Gbmaj7 Abmaj7 Abm7 Gm7 Bbm7

Cs and Fs *emphasized


class (E). The melody selects pitches from the stacks, placing those shown in the lower register into its natural range. Not every note of the chorus is involved in stacked fourths, but such stacks appear frequently. Inm. 3, G4-D4-A3, taken from A, are followed immediately inm. 4 by from B. Similarly inm. 5, F5-C4 (A) are followed inm. Ab4-Db5-Gb5, 6 by Eb4-Ab4 and F#4-B4-E5 (B); inm. 9, C5-G4-D4 (A) are followed can inm. 10 by Db4-Gb4-Cb5 seen The to continue to alternation be (B). the end by including, for theA groups, chord tones not actually played in the melody, but present in the accompaniment: mm. 11-12 (C5-G4-D4 [A]/Eb4-Ab4-Db5 [B]), mm. 13-14 (C5-G4 [A]/Ctt4-F#4 [B]), and mm. 15-16 (C4-G3-D3 [A]/Eb4-Ab4-Db5 [B]); mm. 17-18 repeat 13-14, as do mm. 19-20. The final melody note and chord (m. 21) belong to group A, which is associated throughout with the two tonic candidates, F and G. Thus, theA and B groups, like the F and Gb triads in the introduction, represent tonic and nontonic functions, in which the usual interval class 5 relationship between dominant (or subdominant) and tonic is replaced by an interval class 1 neighboring relationship. The F and Gb triads, although not built in fourths, in fact belong to groups A and B, respec tively.

At the beginning of the chorus, the fourth descent of the introduction is repeated in the bass line's opening progression from Gm7 to D7, I to V (mm. 1-5). D7 is preceded by Dknaj7+5 and Ebmaj7-Ebm7?an of embellishment chromatic example by prefix and suffix incomplete neighbor chords. The first is the unusual chord structure major seventh with augmented fifth, while the second undergoes semitonal transforma tion before resolving. A chromatic passing chord, Dbm7, leads from D7 to Cm7, which initiates the next structural progression, also a fourth descent in the bass, Cm7 toGm7, IV to I, a plagal cadence (mm. 7-11? shown as an ascending fifth in the graph). Gm7 is also embellished by chromatic prefix and suffix incomplete neighbor chords with semitonal transformation: Gbmaj7 and Aknaj7-Abm7. As indicated by my roman these

numerals,

two

progressions

suggest

a G-minor

tonality.

In mm.

12-13, however, a straightforward plagal cadence on Fminor (B bm7-Fm7) (b)

(a)

A

Dmaj7+5

Gm7(191)

^8=

Example

18. "Orbits": (a) alternating harmonic (b) G-minor cadence

structures and

325


appears as evidence that the F tonality of the introduction has not disap peared. The preceding Gm7 (m. 11) can also be interpreted as II in F, joining in subdominant function with the Bbm7. This F cadence is fol lowed by a (authentic?) cadence-like progression on G (Dmaj7+5 Gm7)34 atmm. 14-15, followed immediately by a repeat of the F cadence inmm. Two

16-17. and

20-21

more (the

statements

of the G-minor

cadence

at mm.

ensue,

roman

concurrent

The

last measure).

numeral

18-19

interpreta

tions in G minor and F minor are shown below the bass staff in Example 17. Despite the G-minor cadence having had the last word, there has been in the constant support to the F tonality throughout the chorus melody form of Fs and Cs emphasized by duration or registral contour. These emphasized pitches are marked with asterisks in Example 17. Also, the strength functions

sense

and

Its

unequivocal. to tonic nontonic

to the Gb-to-F

relate

cadence

is not

itself

cadence

G-minor

in the

of

introduc

tion: Example 18b shows that the upper voices of this progression enhar monically replicate the Gb to F triads when the Gm7, which has C, the eleventh, are

tonics

as usual,

is also,

in the melody, in present

the final

given as are

cadence,

a ninth the

two

the

(A). Thus, interval

1 and

class

interval class 5 relationships. I give greater weight to G because of its position in the bass. "Orbits" suggests tonal pairing because of the integra tion of and alternation between the two tonalities. Conclusion A summary of the principles brought out in these interpretations of Shorter's music may be valuable at this point. An important preliminary is

observation

in

that,

not

seems tional

to apply, not function,

cases,

one must

intervals,

rely include

where

provide structures

fifths,

and and

thirds,

clues

them.

above

context,

rhythm,

harmonic

standard the main

lines

the chord on

which

cases

those

the bass

As

location

formal

seconds.

practice to prolonga a result, in such as

For

of

the bass

example,

a bass

descending fifth at the end of a piece from a weak beat to a long-held chord on a strong beat will probably best be interpreted as a "dominant" "tonic" cadence even if the chord qualities do not agree with any standard has

Context patterns. bass the tritone

leap

opening progression, to "subdominant." plete

neighbor

notes,

nonfunctional

the

suggested end of

a descending

Stepwise or

chords,

be nondiatonic,

even at

bass passing

and because

such "Juju."

or creates

In

interpretation some contexts,

fifth might lines chords.

involve Because

in the case

of

as

an

such

be interpreted as "tonic" incom chords, neighbor can the bass intervals

the chord qualities can include nondiatonic

progressions

result

and the surrounding chords. Bass motion interval

an

an embellishing

chord.

between

the

elaborative

chords

of a third either divides a larger Again,

because

of

the possibil

ity of a nondiatonic bass note for the elaborative chord and the variability

326


of

the chord nonfunctional qualities, on the relative weighting style rests the nonfunctional although practices: the latter quite often predominates.

of

progressions standard

often

result.

is always structures

there

Shorter's

versus practice some of the former,

harmonic

Background

emphasizing

the subdominant over the dominant, involving directional tonality or tonal pairing, or dividing the octave equally do not depend on nonfunc tional foregrounds; however, such foregrounds can be replicated at the background level and can contribute to tonal ambiguity. Some of the harmonic characteristics described belong to the bebop style: the repeated pairs of I-bII chords of "Deluge" and "Speak No Evil" differ from those of Thelonious Monk's "Well You Needn't" or Dizzy "A Night in Tunisia" only in that Shorter's blls are major Gillespie's seventh chords originating in the phrygian mode, while the bebop blls are sevenths

dominant

arising

from

tritone

substitution.

Shorter

uses

II-V

groups, but they are relatively infrequent and not a leading characteristic of his style as they are in bebop, in which they are ubiquitous. The other occur and characteristics outlined above techniques frequently to earlier innovations with in his music, and represent respect jazz styles, serve as the leading elements of his harmonic style. are present innovations in Shorter's of of these Most compositions

harmonic

1964, calling into question whether they are truly the result of a broader evolutionary process.35 Although other jazz composers of the 1960s par ticipated in the expansion of harmonic possibilities, Shorter iswell known as

a leader

among

them,

and

at

least

some

of

the

categories

examined

above probably belong to him more than to others. A general study of jazz harmony in the 1960s or studies of other individual composers would help to put

Shorter's

contributions

in perspective.

327


NOTES A

of

version

Music

Theory Keith Waters, 1. The music of where

begins

was presented at the 1998 meeting of the Society for I thank Steve Larson, Henry Martin, Hill, North Carolina. readers for their suggestions. and the anonymous

this article at Chapel

this early period is the subject of Julien 2003. The present article 2003 ended, with Shorter's departure from the Jazz Messen

Julien

gers. 2. I thank Bertrand

who has been cataloging ?berall, copyright by jazz deposits access to Shorter's manuscripts for providing and for his general composers, advice and help with this article. are not limited to Shorter compositions. 3. Such discrepancies of popular Recordings differ from printed sources. In my sometimes songs and other jazz compositions the recording with performing musicians, is always taken as the author experience most widely it is disseminated and known itative source. This is perhaps because than any other medium and therefore has the most by a greater number of people to fix the identity of the music. For these reasons, I have given greatest power to the recording. also distrust written of jazz (Performers representations weight or need some that have mistakes and popular songs because they have seen many kind of adjustment.) 4. E.g., Shorter's to Nat Hentoff's response of writing method harmony" was "I don't can just about 1979 addresses

listener 5. Strunk

in Larson

found

anticipate what's this characterization

1987 and

of "the usual (1960) characterization like that approach because thereby, the going to come next."

1998 and inMartin

will be referred to subsequently of majorand minor-seventh prevalence on a Tonnetz to produce chord successions in Strunk 2003a). clusters (defined

of this period 6. The

directly, but support can also be 1988 and 1996. The harmonic style as "bebop."

most

chords chains

to the montuno is with regard only to or its rhythms. Montuno in a performance in discussing which is described Steams by Marshall or Latin tradition in the early 1940s: "The montuno, inserted in any rhumba [actually in any Latin-oriented

7. My

reference

function

enables

(defined

of the mappings in Cohn 1997) and

its harmonic content, has many meanings, the rise to prominence ad lib passage, which

not

its

one of of the can be

if the soloists performance] to take a chorus, is often based on just one, or sometimes two, chords" (1956, on it this kind of montuno has one or two chords, 177). Because improvisation fit a chorus In the latter does not necessarily length, but can go on indefinitely.

wish

The authentic forms are diatonic, e.g., no. 21 of 101 Cm G7 G7 Cm. Many (Maule?n 1999), which repeats the progression use two-chord Latin-influenced The first repeated progressions. compositions twelve measures of printed versions of Juan Tizol's "Caravan" show a simple C7-9,

respect, Montunos

it is like a vamp.

is usually played by "A Night Gillespie's pair in a vamp introduction 8. A "neighbor chord," as used which

Dizzy

II-V group, Gm7-5 C7. bebop groups as a repeated in Tunisia" is closer to Shorter's usage with its Eb7 Dm and the first six measures of the chorus.

a neighbor note, here here, is a chord that harmonizes in the soprano or an inner voice. in the bass, but possibly see Strunk of other such wedge-shaped 9. For discussion 1996 and progressions, are different from the omnibus and other progressions 1999. These in discussed most

often

328


in that they are not strictly chromatic, and they are 2004, particularly with linear intervallic patterns. always associated of "Yes and No," see Strunk 2003b. 10. For a graph and further discussion 11. In mm. the 13-16 of "Iris," the Real Book gives Db7 (til) Dbm (b6), although triad. The copyright minor sixth is not usually added to a minor deposit gives the Gauldin

as Amaj9. the bass note on the recording, Ron Carter By holding One unusual the Real Book's notation. chord structure given in justifies

chord

second

perhaps 17 the Real Book may also be the result of bassist Carter's choice of notes. In mm. in a D-minor the Real Book transcription and 49 of "Wild Flower," context, gives on a minor seventh chord is not ordi the minor ninth extension Gm7-9, although at least in bebop or earlier jazz styles. In these measures, the Aeber deposit gives Fm7, but the bass plays G on the gives F-, the copyright As a result, the transcribers heard the Ab as a minor ninth above the G

narily used, sold edition recording. root. 12. Prefix

and suffix

13. Certainly a cursory

in Larson 1996. figures are discussed in the Shorter compositions studied; appears frequently as to whether in other 1960s jazz compositions it happens

embellishment

this procedure

investigation not nearly as often as in Shorter's music. As one that it does, although from dominant in Chick Corea's (1968), a progression (D|7) to "Steps" example, as an appoggiatura so the is elaborated chord to Gtm, tonic (Gfm) by Amaj7 shows

to Amaj7 results. Some of the 1960s compositions of from Dt7 progression It appears that the technique occurs Gibbs also exhibit such progressions. Michael with increasing during the 1970s in the work of other composers frequency (e.g., but the extent to which this development is directly John McLaughlin), attribut able

to Shorter

is outside

the scope

of this study. equal divisions

of the octave appear fre in nineteenth-century classical music and also can be found European quently in American The bridge of Rodgers and Hart's "Have You Met popular music. tonicizes and Sid Garris's Miss Jones" (1938) Bb, Gb, and D, while Sy Oliver (early 1940s) tonicizes G in its A section, followed by Bb and Db "Opus One"

14. Middleground

progressions

involving

in the bridge. Charlie Mariano's "When You Meet Her" (recorded Am7 F#m7 Ebm7 in a nonimprovised the progression section, 1960) includes "Forest Flower" the progression and Charles Lloyd's 1966) includes (recorded tonicizations

Am7 Cm7 Ebm7, but in both cases the chords change relatively slowly. in some of the Shorter examples chords rapidity of change of chromatic on the part of improvisers. requires a new level of competence if included as a ninth on Gb7. 15. The Ab could be held in common Gbm7 The

most the graph of "Witch Hunt" uses no key signature, thus sources, the flats in the roman numerals. requiring 17. In the context of such short compositions structure, having no traditional Ursatz are necessarily and "background" used loosely. the terms "middleground"

16. Following

18. "Black

Nile"

measure

is a relative

rarity

in Shorter's

oeuvre:

an AABA

form with

eight

phrases. the other

are through-composed: the following studied, compositions and "Orbits," "Prince of Darkness," "Fall," "Nefertiti," "Juju," "Iris," "El Gaucho," "E.S.P." has an AA form. Others have forms derived from the blues "Pinocchio."

19. Among

or forms 20. Harmonic

having bridges. in the sources mainly variations

involve

the content

of mm.

9-10.

This

329


is as follows:

content E+9,

A+7

in the Library of Congress each); Real Book, D7,

copyright deposit, F?7-5, F13, Db7 (six quarters each); Aeber no each); Leonard, (three quarters

(three quarters

E7+9, sold, Ft0, B7+9, A7+9+5(Eb7+ll) of the Real Book heard this that the transcribers It is interesting chords given. to the (mm. 9-10) as though it were a standard approach unexpected progression This simpli tonic through two dominants (V7 of V and the substitute dominant). fication

to hear what we under an example of how we are conditioned to hearing, regardless of the actual sounds (and also an example because is understandable, it is to transcribe jazz). The mishearing

is perhaps stand and are used

of how difficult

related to both Db7 is closely in common with D7, and E7+9 has much unnoticed. Of these, the last the two other chords were evidently however, the caden with the Cm7, chord, A7, is crucial, as it has no functional relationship tial goal.

F#m7-5

and G7;

21. See, e.g., Stein 1983. 22. The "III" is a II-V of VI over a dominant

referring indirectly pedal, thus possibly at that point. expected 23. E.g., "Tones for Joan's Bones" (1966) by Chick Corea is in D but ends on Ebmaj7. I by bll in all its cadences also replaces "Wild Flower" Shorter's except the last. from the in recordings of the substitution Levine 1995, 292-94, quotes examples to the VI

1980s

and

ommends The

effect

Miller and rec 1990s by Kenny Barron, McCoy Tyner, and Mulgrew 1 or 5 are in the melody. scale degrees that bll be substituted only when is that of appoggiaturas of the substitution applied to the lower voices

are left but the appoggiaturas in the melody, did it is that the the of stages likely appoggiaturas practice, defined resolve, and it thus can be related to the general practice of "side-slipping," to half step up or down movement as a "term coined by Jerry Coker referring

of a tonic

chord with

unresolved.

In earlier

root or fifth

or harmonically" is given melodically 1991, 173). Side (Liebman return to the expected and from involves however, departure usually slipping, The latter practice is compa is not the case with the bll substitution. chord, which

away from what

tensions rable to the use of unresolved thirteenths, elevenths, (extensions?ninths, the of the upper voices does not change etc.) in upper voices. Lack of resolution removal of the bass root is a much function of the underlying chord, and although tonic its implied more radical step, the appoggiatura bll chord also represents resolution 24.

and carries

its function.

the distinctions Stein for clarifying I am grateful to Deborah among tonal pairing, in double tonic complex directional (or progressive) tonality, and Robert Bailey's inMusic Institute for Advanced Studies her seminar at the 2006 Mannes Theory on the topic of chromaticism. follows.

See

also

the discussion

of directional

on the subject can be found on pp. 259-72. 25. A good bibliography it holds promise, 26. The Dm7 at the start of the B section, although back to F. as a tonic, but only begins a sequential progression such an equal division, "El Toro" (1961) does exhibit 27. Shorter's 175-87. in Julien 2003, discussed 28.

tonality

that

is not confirmed

A-F-Db-A,

as

in the copyright deposit, of "Juju" in E, because, Itmay be that Shorter conceived it all chords but the first are given over an E pedal point. In that interpretation, to #111 (Abmaj7), the and descends starts on V (B7+5) dividing chromatically is thus a "half the next chord. The ending on Bm7 interval from V to I (Em7),

330


I have heard. With The E pedal point does not appear on any recording in B more compelling; but certainly, it, I find the interpretation "Juju" does present a degree of tonal ambiguity. and the changing 29. See Kopp 1995 for a history of chromatic mediants views of cadence."

out

their independent the recording,

30. On

relations

with

the bass

extends

the tonic

in the nineteenth century. the Cmaj7, and the last note played is C. The that Shorter may have originally conceived of this as a

suggests deposit copyright as the written bass line sustains B at the Cmaj7 chord. half-cadence, to hear a descent to 1 at m. 13, with a 2 implied on the Cm7/F 31. Itmight be possible as m. 13 is the beginning chord. This would be an unusually of the early descent, at the end of the final A. The Bb to 1 would be expected 11 leads, as it has twice earlier, to B^ (3) at m. 13, thereby our expectation. The progression of the final A section is open-ended, fulfilling after the final cho leading back to the repetition of the chorus. On the recording, a coda over the four-chord rus, Shorter improvises 1-2; this coda vamp from mm.

return of A. Descent

tone of m.

neighbor

the idea of an open-ended lack of descent. out, supporting can be seen of a transposed similar reharmonization four-note motive

fades 32. A

mm.

in "Juju,"

5-8.

Book gives chords for the introduction, and no chords are played on the recording. and Leonard Aebersold editions.)

33. The Real

but

not,

34. Note

also the major-seventh to follow the interpretations 35. Some of the characteristics Julien

those 2003, although the pieces from 1964-67.

with could

chord

augmented-fifth not be made.

begin

the copyright deposit is not included

("Orbits"

structure, without

does in the which

to be present in the earlier pieces in studied feature greater usage of II-V groups than

examples

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Wayne Shorter Compositions

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