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dissertation entitled

THE EMERGENCE OF HARMONIC TONALITY
IN DUFAY'S SONGS

presented by

MI-OCK KIM

has been accepted towards fulfillment
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THE EMERGENCE OF HARMONIC TONALITY
IN DUFAY'S SONGS

By
Mi—Ock Kim

A DISSERTATION

Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of

DOCTOR OF PHILOSOPHY

SCHOOL OF MUSIC
1990

may

 

ABSTRACT

THE EMERGENCE OF HARMONIC TONALITY
IN DUFAY'S SONGS

By

Mi-Ock Kim

An important compositional technique gradually began to appear in early fifteenth-
century music: the emergence of simultaneous conception and related harmonic tonality.
Dufay in particular is one of the first composers to gravitate toward an apparently functional
harmonic writing which anticipates developments of the following centuries.

Some scholars recognize Dufay as a central figure in the emergence of the new
style. But the precise nature of this style, and Dufay's role in its development, are issues
which are not entirely settled. The present study seeks to contribute to the understanding of
early renaissance style through the first systematic and integrated examination of the
various early tonal phenomena in all of the songs of Dufay. Though some scholars have
reservations concerning the applicability of harmonic tonality to early music, many feel that
early music cannot be satisfactorily explained by other means. Thus there is a substantial
bOdy of opinion supporting the general approach applied in this study. In addition to a
description and justification for the method used here, a detailed survey and analysis of
scholars' various points of view about fifteenth-century harmony and some performance-

related topics with regard to this study is presented

 

Copyright © by
MI-OCKKIM
1990

 

To my parents, Young-Sock Oh and Kyoung-Soo Kim

ACKNOWLEDGMENTS

My greatest debt is to Dr. Dale Bonge, who supervised the thesis, generously
giving advice, unfailing insights, and heartfelt encouragement. His commitment to this
work has been far beyond his duty, and without him this book would not have been
possible. His devoted care will always be appreciated.

I am also grateful to my other doctoral committee members, Dr. Conrad
Donakowski, Dr. Theodore Johnson, Dr. Dale Barttlet, and Georg W. Schuttler, who read
the manuscript and offered valuable comments. Especially Dr. Johnson’s careful editing
greatly aided me.

Finally, this acknowledgment would be incomplete without my expressing the most
sincere gratitude to all the members of my family for their continuous support and

encouragement during the entire course of my graduate work.

 

PREFACE

This study came about through the author's interest in early fifteenth-century music
and the realization that an important compositional technique gradually began to appear at
this time: the emergence of simultaneous conception and related harmonic tonality.1 It is
appr0priate here to address two things before proceeding further. The first task is to define
the term "harmonic tonality." The second is to explain the significance of this study.

In the twentieth century, the term "tonality" has often received very subjective

treatment, suggesting that perhaps there is no truly common objective understanding of the

term. For example, Richard Norton says:

What is tonality? The thesis of this book [his own Tonaligg in Western Culture] is that
tonality is a decision made against the chaos of pitch. This seemingly vacuous
definition immediately restores the subject to its created object, without which the
musical object has no meaning, for tonality is a product of the human mind and ear in

collaboration with the given of nature. . . .
With Schoenberg I propose that the word tonal is entirely sufficient to describe

the vast corpus of Western music--notwithstanding various attempts of avant-garde
music-making to create entirely new sonic materials and new orders for their

presentation.
Some other scholars,1ike William Thomson, reject tonality in a solely "harmonic" sense,

suggesting a broad application of the term even to "pm-baroque monophonic, and primitive

 

1A clarification of the term "simultaneous conception," especially as distinguished
from "simultaneous composition," is given in Chap. II, p. 14.

3 2Richard Norton, Tonality in Western Culture (University Park: Pennsylvania State
University Press, 1984), 4, 262.

vi

 

 

songs."3 Richard Hoppin also, in his Medieval Music (1978), often uses the term "tonal"
to describe certain aspects of monophonic music.

Meanwhile, scholars such as Howard Brown, Manfred Bukofzer, and Edward
Lowinsky use the term tonality specifically in discussing the transformation or replacement
of the old modality. For example, Lowinsky says "The written image of polyphonic music
of the Middle Ages and the Renaissance conceals the inroads of a nascent feeling of tonality

upon the modal structure."4
Carl Dahlhaus observes that various meanings are applied to the term tonality;
therefore he uses the term "harmonic tonality" to specify the system of tonal harmony
"which formed the foundation of composition from the seventeenth century to the early
twentieth."5 And although Carl Dahlhaus says that harmonic tonality develops from
around 1600, Ernest Sanders applies this same term with basically the same meaning in
studying medieval and renaissance music of England and its influence on the Continent.6
The term "harmonic tonality," relative to early fifteenth-century music in this study

centering on Dufay's works, basically denotes the early development of harmonic thought,

 

3See William Thomson, "The Problem of Tonality in Pre-baroque and Primitive
Music," JMT 2 (1958): 44-45.

4Edward Lowinsky, n '
and Los Angeles: University of California Press, 1961), 1.

SStanley Sadie, ed. w v Di ' n f i M i i 11
(Washington, DC: Grove’s Dictionaries of Music, 1980), s.v. "Tonality," by Carl

Dahlhaus, 53. Heinrich Besseler uses "dominantische Tonalitat" for the same purpose.
See Bo r n un F xbourd n' i n zum rs run der Niederliindischen Musik
(Leipzig: Breitkopf & Héirtel, 1950), 72-85.

6Emest Sanders, "Medieval English Polyphony and Its Significance for the
Continent" (PhD. diss., Columbia University, 1963). For one example, see p. 411. John
Caldwell also uses the term: "How should the study of harmonic tonality in music befdre
1600 be approached? While many recent writers tacitly aclmowledge its existence,
systematic studies have rarely been attempted, modern theorists of the concept havin
largely limited themselves to a discussion of music written after 1600." (Caldwell, "Some
spects of Tonal Language in Music of the Fifteenth and Sixteenth Centuries," PRMA 110

[1983-84]: 7.)

n ' in ix n - n M i (Berkeley

 

 

which is embryonic rather than an established mature system as in the later period Though
some of its features are often not so obvious as those of the later mature system, a critical
phase of the rise of harmonic tonality can be traced back to works of Guillaume Dufay (ca.
1400-74) and some of his contemporaries. Dufay in particular is one of the first composers
to gravitate, in many works of his middle and late years, toward an apparently functional
harmonic writing which anticipates developments of the following centuries.7
Though some scholars have reservations concerning the applicability of harmonic
tonality to early music, many feel that early music cannot be satisfactorily explained by
other means (such as modal theory). Thus there is a substantial body of opinion
supporting the general approach to be applied in this study. A detailed survey and analysis
of scholars' various points of view about fifteenth-century harmony is found in Chapters II
and III. However, one of the more persuasive reservations about the application of
harmonic tonality to early music deserves brief comment at this point. The term can be
criticized as reflecting a preoccupation with an evolutionistic viewpoint, that is, an
assumption that every object or phenomenon in nature is in the process of developing from
a rudimentary to a mature or complete state. Such. thinking may indeed be viewed as less
than objective, but equally dangerous would be a refusal to recognize evolutionary trends

where they may indeed offer insights into the true nature of things. The fully developed

 

7While "functional harmony" has been gerenrally understood as a representative
term for denoting chordal progression in music of the "commonpractice" period, its precise
meanm g has sometimes not been easy to grasp. A sample definition of the term is this:

. . . to denote the relationship of a chord to its tonal centre. The relationship is
defined in terms of subdominant, dominant and tonic harmonies only, and chord
progressions are seen as being made up of these three functions in varying guises.
Thus, for example, the chord of the supertonic is seen as having the function of
subdominant, and this is rationalized by reference to its being the relative minor of the
chord of the subdominant. In this way, even a complex dissonant chord can be
'reduced' to one of the three basic functions.

The Quotation is from Stanley Sadie, ed. The New Grove Dictiona_ry of Music and
W, s.v. "Function,” by Carl Dahlhaus, 31.

viii

 

 

phase of harmonic tonality was achieved with the Viennese classical style of the late

eighteenth century; it may also suggest lines of evolution. Of course it is difficult to explain
exactly how this is accomplished. Nevertheless several scholars make comments on the
remarkably advanced state of harmonic practice in works of Jacob Obrecht (ca. 1450—
1505), who belongs to the first post-Dufay generation, and onward in the sixteenth
century.8 Thus the evolution towards harmonic tonality is, indeed, an ongoing line of

development.
From the above exposition, we may conclude that an investigation concerning how

and to what extent harmonic tonality began to appear in Dufay‘s works can be significant.

Some scholars recognize Dufay as a central figure in the emergence of the new style. But
no detailed study has so far appeared which examines his role in the development of this

style. The last and most formidable barrier in pursuing this study is the issue of applying

modal theory rather than harmonic tonality to early music. This is dealt with in Chapter II.

 

3 83cc Arnold Sa10p, "The Masses of Jacob Obrecht: Structure and Style" (PhD.
diss., Indiana University, 1959), 213-267; "Jacob Obrecht and the Early DeveIOpment of

Harmonic Polyphony,"1AMS 17 (1964): 288-309; Ronald Ross, "The Motets of Jacob

Obrecht: A Stylistic Analysis" (Ph.D. diss., 2 vols., University of Cincinnati, 1973), 44-
49; Saul Novack, "Tonal Tendencies in Josquin's Use of Harmony," in Josguin des Prez:
Proceedings of the International Josguin Festival-conference Held at the Juilliard School at
Lincoln Center in New York City, 21-25 June 1921, ed. Edward Lowinsky (London:

Oxford University Press, 1976), 317-33; Benito V. Rivera, "The Two-voice Framework
and Its Harmonization in Arcadelt's First Book of Madrigals," _M_A 6 (1987): 59-88.

ix

 

 

TABLE OF CONTENTS

LIST OF TABLES ................................ xiii
LIST OF ABBREVIATIONS ........................... xvi
PART I. A JUSTIFICATION FOR THIS STUDY
Chapter
I. INTRODUCTION .......................... 2
II. RECENT VIEWS ON RENAISSANCE HARMONY .......... 8
(1) Linear vs. Simultaneous Conception ................. 8
(2) Modality vs. Tonality Dichotomy .................. 19
III. HISTORICAL BACKGROUND OF HARMONIC TONALITY ..... 28
(1) Controversy on the Medieval Origin of the New Musical Style ..... 30
1-1) English medieval music as a main source ........... 30
1-2) Italian fourteenth-century music as a main source ....... 33
1-3) The origin of fauxbourdon .................. 43
(2) A Renaissance Source for the New style: The Influence of Italian

Humanism ............................. 5 1

PART II. BACKGROUND FOR THIS STUDY
IV. MUSICA FICTA ........................... 6O
(1) Definitions of Musica Ficta .................... 60
(2) Functions of Musica Ficta ..................... 64
(3) Hexachord and Musica Ficta ..................... 66
(4) Mode and Musica Ficta ...................... 68
(5) Leading Tones .......................... 69
V. PARTIAL SIGNATURES ...................... 75
(1) Functions of Accidental Signatures .................. 76
(2) Functions of Partial Signatures ................... 78

 

.- . y‘-

 

VI. INTRODUCTION: DUFAY'S BIOGRAPHY ............ 85
PART III. ANALYSES
VII. THE NASCENT DEVELOPMENT OF MAJOR AND MINOR

SCALES IN DUFAY'S SONGS ................... 92
( 1) Identification of Fundamental Tones in Dufay's Songs ........ 95
(2) Dufay's Use of Accidentals in His Songs ............... 102
2—1) The use of accidentals in scales with a major third above the
fundamental tone ..................... 105
2-2) The use of accidentals in scales with a minor third above the
fundamental tone ..................... 112

VIII. THE RESOLUTION OF THE PROBLEM OF ACCIDENTAL

VARIANCE AMONG SOURCES IN DUFAY'S SONGS ...... 116
(1) A Summary of Karol Berger's Theory on Accidentals in Early Music. . 117
(2) Manuscript Variants of Accidentals in Dufay's Songs in General . . . 118
(3) Songs without Accidental Variance or with Variance only in

Conventional Accidentals ...................... 119
(4) Songs with Variances in Unconventional Accidentals and/or
Accidental Signatures ....................... 122
IX. TONAL ORGANIZATIONS OF OPENING PHRASES IN DUFAY‘S

SONGS ............................... 139
( 1) Opening Sonorities ........................ 140
(2) Untexted Opening Phrases ..................... 144
(3) Texted Opening Phrases ..................... 159

X. COHERENT TONAL PROGRESSIONS IN DUFAY'S SONGS . . . . 167
(1) Structural Tonal Patterns in Dufay's Songs ............. 168
(2) Four Final Cadential Types ..................... 173
(3) Tonal Coherence in Songs with VH6-I Final Endings ........ 174

3-1) Songs with mid-endings on I ................ 175
3-2) Songs with mid-endings on V ............... 184
3-3) Songs with mid-endings on other than I or V ........ 187
3-4) Summary ........................ 190
(4) Songs with Octave-leap Final Endings ............... 191
4-1) Songs with mid-endings on I ............... 192
4-2) Songs with mid-endings on V ............... 195
4-3) Songs with mid-endings on other than I or V ........ 196
4-4) Summary ........................ 198
(5) Songs with V-I Authentic Final Endings ............... 196
5-1) Songs with mid-endings on I or V ............. 200

xi

”finafifg . . -3 I

5-2) Songs with mid-endings on other than I or V ........ 203

5-3) Summary ........................ 204
(6) Songs with "Other" Types of Final Endings ............. 205
6-1) Songs with stepwise resolutions of the lowest tones at the

final ending ........................ 205

6-2) Songs with non-stepwise resolutions of the lowest tones at
the final ending ...................... 207
6-3) Summary ........................ 208
(7) Summary ............................. 209
XI. IMITATION ............................ 2 12
(1) The Origin of Imitation Techniques in Italian Medieval Music . . . . 213
(2) The Use of Imitation in Dufay’s Songs ............... 214
XII. SUMMARY AND CONCLUSION .................. 220
BIBLIOGRAPHY ............................ 224

xii

Table

LIST OF TABLES

Coordination of Beginning and Ending Tones in Fourteenth- and Early
Fifteenth-century Works .........................

Tonal Centers and Signature Arrangements in Dufay‘s Songs ........
Types of Signatures in Dufay's Songs ..................
The Frequency of Signatures in Songs in C ...............
The Distribution of Accidentals Among Various Scale Degrees in Songs in C .
Double Leading Tones (DLT) in Songs in C . . . . ..........
The Frequency of Signatures in Songs in F ...............
The Distribution of Accidentals Among Various Scale Degrees in Songs in F.

The Frequency of Signatures in Songs in G ...............

The Distribution of Accidentals among Various Scale Degrees in Songs in G .

The distribution of Accidentals among Various Scale Degrees in Machaut's
songs in Bb ...............................

The Frequency of Signatures in Songs in D ................
The Distribution of Accidentals among Various Scale Degrees in Songs in D .

The Classification of Dufay's Songs According to Variance in Sources and
Source Inflections ...........................

Opening Sonorities in Dufay's Songs ..................
Opening Sonorities According to Hamm's Groupings ..........
The Number of Dufay's Songs with Untexted Opening Phrases ......

Beginnings and Endings of Untexted Opening Phrases in Songs in Group I .

xiii

Page

94

99
101
105
106
106
109
109
110

111

112
112

113

118
141

143

145

146

Beginnings and Endings of Untexted Opening Phrases in Songs in Group 2 .

Beginnings and Endings of Untexted Opening Phrases in Songs in Groups
3-7

The Opening Sonorities of Texted First Phrases in Dufay's Songs .....
I-V or V-I Beginnings in Texted Opening Phrases .............
The Endings of Texted First Phrases in Dufay's Songs ..........
The Comparison of the Number of Endings on I Between Two Categories .
Types of Endings on I in two Categories .................
V—I Cadences with Leading-tone Tenors ..................
Contratenors as Harmonic Carriers in Songs with Texted Opening Phrases .
Chordal Style in Songs with Texted Openings ...............

Tonal Levels Involving only I orI and V at the Beginnings and Endings of
the Main Sections in Binchois' and Dufay's Songs ............

Percentages of the Four Composers' Songs According to Four Final
Cadential Types ............................

Tonal Levels at the Mid-point in the Four Composers’ Songs with V116-I
Final Endings .............................

Tonal Levels of the Beginnings and Endings plus Cadential Types of the
Main Sections in Dufay’s and Binchois' Songs with Mid-endings on I and

Final VH6—I ...............................

The Frequencies of the Four Composers' Songs with Mid-endings on I and
Final VH6-I Which Use the Same Clefs in the Lower Two Voices, or in All
the Voices ...............................

Tonal Levels of the Beginnings and Endings plusCade'ntial Types of the
Main Sections in Dufay's and Binchois’ Songs wrth Mid-endings on V and

Final V116-I ...............................

The Frequencies of the Use of I or V-I Beginning, and of Harmonic Leaps
All of Which Involve I and/or V in the Four Composers Songs wrth
Mid-endings on other than I or V and Final VH5-I .............

Tonal Levels at the Mid—point in Dufay's and Binchois' Songs with
Octave-leap Final Endings ........................

152

156
159
160
161
161
162
163

163

170

173

174

175

176

185

188

192

38.

39.

40.

41.

Tonal Levels of the Beginnings and Endings plus Cadential Types of the
Main Sections in Dufay's and Binchois' Songs with Mid-endings on I and

Final V—)I ................................

The Frequencies of Various Aspects of Hamonic Usage in Binchois' and
Dufay's Songs with Mid-endings on V and Final V—>I ...........

Tonal Levels at the Mid-point in the Three Composers' Songs with V-I Final
Endings ................................

Tonal Levels of the Beginnings and Endings plus Cadences in the Main
Sections in the Three Composers' Songs with Mid-endings on I or V and
Final V-I ................................

The Percentages of Dufay's and Binchois' Songs Which Employ
Imitative Techniques ..........................

XV

192

195

199

200

215

AcM

AMw

CMS
Cord
CS

IRASM

LISI‘ OF ABBREVIATIONS

Acta musicologica

American Institute of Musicology
Arghiv fiir Mgrsikwissensghaft
American Musicological Society
Annales musicologiques
Conservatorio G. B. Martini, Cod. Q 15 (olim 37)
Miinchen, Bayrische Staatsbibliothek, Ms. mus. 3725
Current Musicology

o m n u ili musicae
College Music Symposium
Chansonnier cordiforme
E. de Coussemaker: W
genes (Paris, 1864-76/Reprint 1963)
Early Music
Mi'rnchen, Bayrische Staatsbibliothek, Ms. mus. 3232 a
Escorial, Biblioteca del Monasterio, Cod. V. III. 24
Escorial, Biblioteca del Monasterio, Cod. IV. a. 24
Institute of Mediaeval Music
International Musicological Society

International Review of the Aesthetics and Sociology of Music

JAMS

JPl
Lab

MCass

PRHI

PRMA

 

Journal of the American Musicological Society
Journal of Musicology

Journal of Musicological Research

Journal of Music Theory

Le J ardin de Plaisance et Fleur de Rhetoricque
Laborde Chansonnier

Music Analysis

Montecassino, Archivio della Badia, Cod. 871 N.

The Musical Quarterly

Musica disciplina
Die Mgsikfogghung

Music and Letters

The Music Review

Musicological Studies and Documents

The Musical Times

Oxford, Bodleian Library, Cod. canonici misc. 213
Papers of the American Musicological Society

Pavia, Biblioteca dell'Universita, Cod. Aldini 362
Paris, Bibliotheque Nationale, nouv. acquis. frang, Ms.
4379

Porto, Biblioteca Municipal, Cod. 714

Paris, Bibliothéque Nationale, nouv. acquis. franc. 6771,
third part f. 89'-119.

Proceedings of the Royal Musical Association

Florence, Biblioteca Riccardiana, Cod. 2794.

xvii

RN

Sche

Str

Tr

Wo

Renaissance News

Miinchen, Bayrische Staatsbibliothek, Ms. mus.
3232=Cim. 351 a (olim cgm 810)

Strasbourg, Bibliothéque de la ville, Ms. 222. C. 22
(burned 1870)

Trento, Castello del Buonconsiglio, ms. Nos. 87, 89, 90, 92.
Tiidschrift van de V ' ' voor Nederlandse

m zi k hi ni

Wolfenbiittel, Herzog—August—Bibliothek, Ms. extravag.
287.

New Haven, Conn., Yale University Library, Mellon

Chansonnier

xviii

PART I. A JUSTIFICATION FOR THIS STUDY

.4“... A we“

CHAPTERI

INTRODUCTION

The purpose of this study is to redefine the nature of the new musical style which
occurs in the early Renaissance, and then to examine all of the songs of Dufay,1 whose
music reveals the change in style during the first half of the fifteenth century most clearly.

The prejudice of fifteenth-century humanists against the Middle Ages and their
enthusiasm towards their own time were well documented through the use of terms in the

liberal arts such as restitutio (restoration), renovatio (renovation), and rinascita (rebirth).2

 

In short, the revival of classical antiquity in the arts and sciences brought the essential
humanization of thought, a philosophy which saw this world not as the mere threshold of
the next but as a place in which life might hold many human interests not incompatible with
an enlightened religion. This rejuvenation of the human spirit and passion was most
obviously reflected in painting and plastic art. Like the visual arts, philosophy and

literature were all preoccupied with the changing worldview, and so was music, though,

 

lAmong Dufay's eighty-six songs including two opera atuibuenda (1n Guglrelmr
mm, ed. Besseler, vol. 6 [AIM, 1964]), ten are not analyzed due to
[uestionable authenticity or incompleteness. This is discussed in detail in Chapter VII.
The number of his songs alone reveals the significance of secular musrc for Dufay;
urthermore, there are various contrasts stylistically.

2Leo Schrade, "Renaissance, the Hiswrical Conception of an Epoch," W
"ifth Congress of the International Musicological Socieg, (Utrecht, 1952), 20.

 

unlike other liberal arts, music hardly had recorded models from antiquity to imitate.
Nevertheless music did keep pace with the beginning of the Renaissance.3

Music theorists of the fifteenth and sixteenth centuries and scholars of our own time
generally have been unanimous in considering Dunstable (ca. 1385-145 3) as the "fons et
origo"4 of the new style in the early fifteenth century. Echoes of those words are
immediately recognizable in one of the well-known passages from W
Ica. 1441-42) by Martin 1e Franc:

 

Tapissier, Carmen, Césaris Tapissier, Carmen, Cesaris,
N ’a pas longtemps si bien Not long ago so well did sing
chantenent
Qu'ilz esbahirent tout Paris That they astonished all Paris
Et tous ceulx qui les And all who came foregetherin g.
fiequenterrent;
Mais oncques jour ne But still their discant held no
deschanterrent strain
En melodic de tel chois Filled with such goodly melody--
ce m'ont dit qui les So folk who heard them now
hanterrent maintain-

I Que G. Dufay et Binchois. As Binchois sings, or Dufay.
Car ilz ont nouvelle pratique For these a newer way have found,
De faire frisque concordance In music high and music low,

'—

3Ibid., 22-27. it is interesting that some renaissance artists contend their new

hievements were possible "senza praeceptori [without teachers], senza exemplo alchuni
'1thout any examples] " (ib_i§1_-, 24)-

4Johannes Tinctoris, Proportionale musices lea. 1476], ed. Charles E. H.

russemaker, CS, vol. 4 (Paris: Durénd, 1864-76; many reprints), 154.

 

 

 

 

En haulte et en basse musique, Of making pleasant concord sound--

 

En fainte, en pause, et en In "feigning", rests, mutatio.

muance,

Et ont prins de la contenance The English guise they wear with
grace,

Angloise et ensuy Dunstable They follow Dunstable alight,

Pour quoy merveilleuse And thereby have they learned

plaisance apace

Rend leur chant joyeux et To make their music gay and

notable. bright.5

It is true that the whole course of European musical development changes in the
early fifteenth century. But what happens in this period is complex, and a result of the
combination of many influences. There is, indeed, a much more profound change in
musical style than just "sweet" sound, or as Bukofzer specified, uniformly consonant
harmonies with full triads often in homorhythrnic passages:6 the evolution of harmonic
tonality, which includes these aspects, but further involves a fundamental change in
:ompositional technique. But scholars whose analysis of renaissance music is based more
)r less exclusively on medieval music theory often ignore the significance of this new tonal

>rocedure which appears, among his contemporaries, most extensively in works of Dufay.
These scholars assert that the Renaissance knew only an intervallic harmony

governed by modal principles. One of the representative statements reads:

In Renaissance music, harmony was restricted to the regulation of intervallic
combinations. The progressions fiom any one combination to any other, or what in
modern terminology would be called the chord progressions, were dictated not by a
tonal or harmonic principle, but by the melodic laws of part-writing. Since the

_ 5As quoted and translated in Gustave Reese, Music in the Renaissance (New
ork: W. W. Norton, 1959), 12.

6Manfred Bukofzer, "Fauxbourdon Revisited," _M_Q 38 (1952): 39.

 

 

 

 

individual parts were in turn guided by the rules of the melodic modes, the intervallic
harmony was indirectly governed by modality.7

However, Arnold Salop finds it virtually inconceivable that the thought of
composers such as Ockeghem (ca. 1420-97), Busnois (d 1492), Obrecht (ca. 1452-1505)
and Josquin (ca. 1440-1521) would have been focused exclusively on lines and intervals:

They must have been occupied with the problem of malcing the texture as a whole
seem to move toward its cadential goals.8

Salop, who is also the writer of "The Masses of Jacob Obrecht: Structure and Style"

(1959), contends that one of the most significant features in music of composers such as

Ockeghem and Obrecht is "the sense of harmonic flow":

The basses are superbly designed to suggest purposeful motion; there is a sensuous
play between drifting and driving passages; and, in the case of Obrecht, there is
evidence of intent to arrange degrees of contrast to a basic tonality in a purposeful
manner. It seems highly unlikely that these composers would have taken such pains if

they had not intended their harmonic patterns to be perceived in performance.9

 

Furthermore, he justly comments on the texture of Dufay's music:

In some of Dufay's chansons, for instance, only one voice is carefully shaped, the
remaining voices acting as harmonic and rhythmic fillers. In others, two of the lines
are more or less carefully formed, so that only the third one functions as a filler. The
same composer's motets and late masses also show evidence of a two-voice
fiamework: the tenor-~melody ordinarily borrowed from another composition--and the
discantus being far better designed than the other voice or voices. Furthermore, in
these works, the discantus generally moves so much more rapidly than the other

voices that it comes to dominate the entire texture.

7Bukofzer, Music in the Baroque Era (New York: w. w. Norton, 1947), 12.

38Amold Salop, "On Stylistic Unity in Renaissance-baroque Distinctions," in
ssays 1n Musicology for Willi Apel (Bloomington: Indiana University Press, 1968), 112.

91bid., 114.
101bid., 109.

 

 

 

 

Indeed, it is not merely a coincidence that the emergence of harmonic tonality
occurs at the same time as the discovery of perspective in painting: 11 both are
manifestations of the Renaissance. Within the "closed" vanishing-point perspective, the
objects in a painting are put in a coherent and limited "deep" space, enabling us to see them
"simultaneously" in their relation to each other. Moreover, this technique, intended to be a
syntax for defining position more realistically, became also a syntax for expressing motion-
-that is, strong forward-backward directional movement--more vividly. In contrast to this

renaissance time-space perspective, medieval paintings look "linear," having one-
dimensional presentations with many engaging events that are nor coordinated toward a
climax from many directions at once. 12 This change of style in painting also can be related
to the change of style in music. 13

In music, tonality generally refers to the tendency of music to revolve around a
tonal center, while atonality indicates the lack of such tendency. However, certain idioms
have become rather prevalent enough to further delineate the term. Brunswick, in an article

of 1943, tends to recognize the element of control by the tonic-dominant principle only

 
  
 
 
 
   
   
 
 
  
   
    
  

from the music of Bach onward Yet his statement on tonality is worth quoting:

The paradox of tonality is that it is fully created not by the tonic but by the dominant.
Floating about in one key is not enough; a definite secondary point of emphasis must

 

llMark Brunswick, "Tonality and Perspective," m 29 (1943): 429: "Italy during
e 15th century saw the gradual conquest of representation of perspective in painting by its
at artists. From Giotto (d. 1377), the greatest of the pre-perspective painters, the way
eads through succeeding cumulative efforts to Masaccio (d. 1428), Paolo Uccello (d.
1475), and the frescos in the church of San Francesco at Arezzo by Piero della Francesca
1454), the first complete and masterful exposition of this new dimension and technique."

128cc Wylie Sypher, Four Stages of Renaissance Style: Transformation in Art and
14 -1 (Garden City, NY: Doubleday, 1955), 55-81.

13"Dufay, more than any other musician, had the opportunity to exchange ideas

ith Alberti [who was the first to formulate a theory of linear perspective in Della pittura in
435]. They had both lived in Bologna during the 1420s, and served together at the papal
ourt, first of all in Rome (both perhaps arriving in 1428) and later in Florence."
hristopher Reynolds, "Musical Evidence of Compositional Planning in the Renaissance:
osquin’s Plus nulz regretz," J_A_M_S_ 40 (1987): 77-

 

 

 

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be attained The fundamental axiom of musical acoustics and harmonic form is that
this point is in the region of the dominant-~the fifth above the original point of the scale

involved 14
The rise of this dominant-tonic harmony, like that of perspective in painting, not only
provides a directional (and therefore more dynamic) motion creating and resolving tensions
s music, but also implies another essential factor in the epoch-making changes in the style

)f fifteenth-century music, that is, simultaneous conception of harmony.

Though the controversy between Bukofzer and Salop quoted above is an old one,
:onflicts about modality versus tonality and about linear versus simultaneous conception in
music have never been settled Hence, an introductory overview of these issues will
‘urnish a useful point of departure for the later discussion. A detailed survey and analysis
If scholars' various points of view about fifteenth-century harmony and several theoretical
apics related to this study are found in Parts I and II. In Part HI, all of Dufay's songs are
nalyzed, and songs by Other composers of the fourteenth and early fifteenth centuries also

re examined where such an analysis has seemed appropriate.

   
   
   
  

 

 

14Mark Brunswick, "Tonality and Perspective," 430; similarly Lowinsky related
theory of perspective in art to simultaneous conception in music in his "The Concept of
ysical and Musical Space in the Renaissance," PAMS, 1941, 57-84. However,
winsky’s notion on simultaneous conception is based mainly on a theoretical writing
'bri tres de institutione harmoni a 1516) by Pietro Aaron, who differentiated between
compositional method of older composers and that of the younger generation in which
included himself, Josquin, Obrecht, Issac and Agricola.

 

 

 

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CHAPTERII

RECENT VIEWS ON RENAISSANCE HARMONY

(1) Linear vs. Simultaneous Conception

Music historians who apply various analytical methods to explore tonal coherence
in early music can generally fall into three groups. The first group claims that medieval and
renaissance music involved purely linear progressions in which vertical sonon'ties are
fortuitous except for perfect consonances (unisons, fourths, fifths, and octaves). In recent
years, however, scholars generally have discarded this notion. The second group
recognizes the planned progression of vertical sonorities in early music. In this theory,
nowever, only the topmost voice (i.e., the discant) and the tenor produce a succession of
vertical intervals (i.e., discant theoryl), while the subsidiary contratenor bass and alto are
tdded later to "merely enrich the sonority."

One of those advancing this view is Richard Crocker. He contends that medieval
:omposition is ”not more successive than our own. The really important difference is that
he medieval system uses a basic unit consisting of two notes, where we use a unit of three

otes [in triadic harmony]."2

.¥

1Discant here means a system of teaching two-part improvisation or composition in
e from the thirteenth to the sixteenth centuries. It shows how totcombine one note with
:h note of a given melodic progression by the application of baSlC principles of concords
i discords.

2Richard Crocker, ”Discant, Counterpoint, and Harmony," JAMS 15 (1962): 13.

his statement, Crocker simply implies planning of progression, thus without
:siden'ng other aspects of harmonic tonality (e.g., goal-oriented progression).

 

 

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The third group disagrees with Crocker's application of discant theory to
aissance music: they favor simultaneous conception in the sense that thet view discant as
'eloping in such a way that no voice is dispensable any longer in the course of the
eenth century. But Crocker even dismisses the importance of the V-I cadence which
dually appears from the early fifteenth century, explaining this in terms of discant

ory, while scholars such as Lowinsky regard it as the cradle of tonality:

. H-l. T wo Types of the Cadence Illustrated by Crocker

0 2)
Sgt ' r: §

In the first case this third voice is clearly non-functional in its progression: it merely
enriches the first chord, then the second. It cannot be said to progress from one to the
other, either harmonically or melodically. But the same is true in the second case:
here too, the third voice merely enriches the sonority. It cannot be said to have any
function---save from an 18th-century point of view. The functional parts of the
second case are still the sixth and octave, even though masked by the bass.3

 

 

: same viewpoint as this prevails even in the discussion of the Franco-Flemish Mass in
latter fifteenth century, where the contratenor generally lies below the tenor throughout:

The treatment of three-note sonorities was the most obvious feature of the new style.
The three-note chord that we call a triad was not yet an entity, but rather the result of
enriching a fifth with a third.4

>re him, Ernst Apfel also considered the contratenor as a non-essential and hence
:nsable voice:

For us today [it is] more important to know how people composed in the fourteenth
and fifteenth centuries, i.e. to know the 00mpositional genesis of the chords, and what

¥

3Ibid., 14; on the V—I cadence, see E. Lowinsky, Tonality and Atonality in
:nth—centug Music (Berkeley and Los Angeles: University of California Press,
, 4.

4Crocker, A Histo of Musical St le (New York: McGraw-Hill, 1966), 154.

 

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method determined the manner of adding the contratenor to the structural voices, than
to know what chords resulted. . . .5

Further, this notion is synthesized with a twentieth-century theoretical view:
recently, Frederick Bashour’s Schenkerian analysis of fifteenth-century works has
combined both the melodic principles of Gregorian chant theory and the contrapuntal
principles of discant theory with the concepts of "prolongation, structural level and
essential voice leading" from the theories of Heinrich Schenker.6 Bashour believes, from
the teachings of the old discant treatises, that medieval and renaissance music is vertically
conceived within a two-part framework of discant, since a three-part composition is always
dismissed with a simple statement that the third voice is added "as in the discant"7 He also
adopts principles of plainchant such as differentia, and produces a hierarchical typology

based on the structural pitches of plainchant modality.8 Thus from discant theory he

5Ernst Apfel, "Der Diskant in der Musiktheorie des 12.-15. Jahrhunderts" (Ph.D.
diss., Heidelberg University, 1953), 179. The translation is from Ernst Sanders,
"Medieval English Polyphony and Its Significance for the Continent" (PhD. diss.,
Columbia University,l963), 371. In addition, the insertion in this quotation is Sanders’.

6Frederick J. Bashour, "A Model for the Analysis of Structural Levels and Tonal
Néovement in Compositions of the Fifteenth Century" (Ph.D. diss., Yale University,
1 75).

7But this should just imply successive composition in which each successive voice
makes good sense with the tenor, often resulting in a number of awkward dissonances and
onsecutives between upper parts. Or rather, it shows discant as an irnprovisatory
:chnique applied by each discantor individually. Once you know the method, it need not
e explained again in order to add another voice (or singer). See Gilbert Reaney,
Fourteenth-century Harmony and the Ballades, Rondeaux, and Virelais of Guillaume de
Iachaut," @ 7 (1953): 134, 138.

8For example, he explained frequent occurrences of the thirds and fifths in songs in
rms of plainchant theory (ibid., 48):

This phenomenon can be easily explained, as A is an important pitch in the F modes; it
functions both as the termination of the sole difierentia in Mode l, as well as the
reciting tone in Mode VI. . . . Furthermore, since F is both the finalis of the two F
modes, as well as the ending of the sole difi‘eremia of Mode V, and C is the cofinalis
of the F maneria, it is certainly not surprising that they are both important cadential
pitches.

 

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(tracts the concept of music as the progression of intervals through time, and adds the
rinciples of plainchant to explain melodic structure. Consequently he separates the
antratenor from the structural voices, emphasizing the tenor-discant relation. Like
irocker and Apfel, Bashour feels that the structural unit of even sixteenth-century
lyphony is still the interval, not the triad.
Against this second group of scholars, the third group stands in firm opposition.

est Sanders, for example, challenges the opinion that the rules in discant treatises are
)toriously poor tools for analysis of fifteenth century music:
Quite obviously, the composers of the first half of the fifteenth century adapted new
concepts to traditional techniques, which were becoming atavistic; to lead the tenor 2-1
in a V-I cadence of a chanson is no more (or less) meaningful than Schoenberg's

failure to replace the convention of sharps and flats with a new system of
"panchromatic" notation. Some of the old functions and tendencies occasionally seem

to lead a sort of ghost existence, but they are no longer essential.9

 

n Randel similarly asserts that no voice is supplementary any longer during this time:

Another objection to applying the expression "V-I" to our fifteenth-century
cadence concerns the question of root progression. This objection asserts that the
contratenor in fifteenth-century cadences, with its leap of a fourth or fifth, is only a
supplementary voice (Zusatzszz'mme) instead of a true harmonic foundation
(Hannom'etrt'z'ger). Even some of the proponents of this objection admit that the matter
cannot be settled by looking at the scores of the pieces in question. Hence, the inquiry
becomes, once again, a search for the composer’s own View of his music or a search
for his compositional method. This often amounts to asking which voice the

composer wrote down first. And this in turn often leads to attempts to distinguish
linear thinking from vertical or harmonic thinking.

A curious feature of many arguments about this last distinction rs the assumption
that if the composer writes out the tenor part first he thinks linearly, whereas if he
writes out the bass part first he thinks vertically. The bass part is supposed to be less
of a "line” than the tenor, presumably because it proceeds by leap more often than does
he tenor. But in our analysis of cadences we have seen that in composition for four
roices, the bass often has no alternative to a leap. If we write the bass first, that will
ntail stepwise motion in the soprano and tenor. If we write the soprano and tenor

m means the note or formula of notes which conclude(s) the chanting of a psalm
laneria denotes the church modes in their authentic as well as plagal variety. Thus
a four manen'ae in the church modes.

’Sanders, "Medieval English Polyphony and Its Significance for the Continent,”

ll

 

 

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first, that will entail a leap in the bass. The musical result of both methods is the
same.

Benito Rivera also contends that, toward the end of the fifteenth century, a drastic
change begins to surface in some forward-looking theoretical treatises whose very
existence is "sufficient proof of an underlying current of harmonic innovation which we
know eventually achieved recognition in the course of history."11 In particular, rules
governing dyadic progression are said to be gradually losing their force due to the
theoretical understanding of triadic construction. Some of his findings from old treatises
are worth mentioning here:

1) As early as 1477 (Liber de arte contrapuncti) Tinctoris makes an unusual
observation:

Furthermore, certain persons, with whom I agree, say that if many are singing super
librum it would not be wrong for some of them to conclude with an imperfect
concord. 12

2) Although Gaffurius also has a similar passage to this in his Practica musicae
1496), the more significant aspect is his explanan'on of intervallic inversion which
recupies a whole brief chapter. The most important section reads:

It should also be noted, that if the top or bottom interval [dividing the octave] is major,
for instance, a major third above the tenor or a major third below the cantus, then it
will produce a corresponding minor sixth, and vice versa. For in a perfect octave
there are only five tones and two minor semitones. It is therefore evident that within
the ambit of the octave a third is easily generated by the motion of a sixth, and a sixth
is connoted by the presence of a third. Hence, by the fact that they are both perfect,
they seem to possess the same nature and property. 13

10Don M. Randel, ”Emerging Triadic Tonality in the Fifteenth Century," Mg 57
'1): 80-81.

“Benito V. Rivera, "Harmonic Theory in Musical Treatises of the Late Fifteenth
Early Sixteenth Centuries, " Music Theog Spectrum 1 (1979): 95.

12min, 82.

13Ibid., 93. The insertion in this quotation is Rivera's.

 

 

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iaffurius also explains triads--without using the term "triad"--as unified entities in

:onjunction with his enumeration of consonant intervals:

The fifth, produced by sesquialtera proportion fiom an integral diapente of three tones
and one semitone, takes a concordant middle note together with its outer notes. For it
is a combination of two simple primary intervals, namely, a minor third and a major
third, insuring a concordant mediation. Thus it renders the concord of the two
outlying notes more pleasing, since by some kind of imitation it corresponds to a

harmonic mediation. 4

he notion of intervallic invertibility and triads as entities can also be found in some early

ixthteenth—century writings.

 

3) Cochlaeus' examples in his Musica (1504) show the typical cadence formulae of
)ur parts which marks clearly the collapse of the dyadic structure in favor of triadic

)nority:

x. II-2. Cadence Formulae by Cochlaeus

a) b) C)

 

Sixth [Rule]. But if, in the penult as well as in the final, the discant constitutes a third
with the tenor (which concludes upwards), then the contratenor gravis will maintain in
the penult a fifth with the discant and a third with the tenor, and in the final it will
occupy an octave with the latter and a tenth with the former. On the other hand, the
alto could position its penult at a unison with the discant or a fourth above the discant;
likewise it may elevate its final to a third above the discant or [place it] in unison with

the tenor, or a fourth below the tenor while maintaining a fifth with the bass. 15

 

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15Ibid., 83-84. The bracket in this quotation is Rivera's.

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The significance of all these cadences is that the discant-tenor pair progresses from a minor
third to a major third rather than to a unison, achieving complete triadic sonorities "at the
expense of 'proper' intervallic progressions." Rivera includes a considerable number of

quotations beyond these to dispel any doubt that this is just an isolated practice.
Pietro Aaron is credited by Rivera (and also by Lowinsky) as being the first theorist
to mention the practice of simultaneous composition (in his Iosganellg, 1523; 1529).16
But Bonnie Blackburn, who is also a supporter of simultaneous conception in renaissance
music, wonders whether Aaron actually describes a method of simultaneous composition:
He speaks of "considering all the parts together" in the context of laying out a work, in

which each part should have its own "comfortable, easy and agreeable place." Such a
disposition could also result from successive composition, if the composer keeps in

mind that he must leave space for the parts still to be composed.

Then Aaron presents a letter by Giovanni Spataro (1529) to show the new emphasis on the

vertical aspects of composition and the devaluation of counterpoint in the early sixteenth

century:

Ihave written a great deal about'counterpoint. . . . But I care very little about
publishing it since I know that the effort and expense would be wasted because most
musicians and singers no longer observe the rules and teachings handed down by
venerable scholars. Your Excellency is perfectly aware that in our time the signs
established by the men of old are held in little regard; only ¢ is used, and of the

 

. 16Ibid., 85; Edward Lowinsky, "The Concept of Physical and Musical Space in the
2ena1ssance," PAMS 1941, 67.

 

”Bonnie Blackburn, "Compositional Process in the Fifteenth Century," JAMS, 40
1987): 216-217; the corresponding passage is from Aaron's MED—0 (1529), Book 2,
Zhapter XVI (The translation below is by Blackburn in mid, 215):

Therefore the modern composers had a better idea, which is apparent from their
compositions in four, five, six, and more voices, in which each part has a
comfortable, easy and agreeable place, because they take all the parts into
consideration at once and not as described above. And if you prefer to compose the
soprano, tenor, or bass first, you are free to follow that method and rule, as some at
present do, who often begin with the bass, sometimes with the tenor, and sometimes

with the alto.

 

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proportions only sesquialtera. And even without studying the precepts of counterpoint
everyone is a master of composing harmony. 18

Blackburn emphasizes that Spataro's remarks constitute a crucial piece of evidence to show
that harmonic thinking is found in the writings of theorists as well as in the music of the
time.

Further, Blackburn sees Tinctoris‘ use of the term "res facta," which appeared as
early as 1477 in his treatise Liber de arte contrapuncti, as the first discussion of the new
compositional process, thus criticizing persistent confusions over the term by some
scholars such as Margaret Bent and Ernest Ferand.19 Discussions by scholars of this
controversial term are beyond the scope of this study here. But one passage from Tinctoris
can be quoted, which Blackburn regards the crucial one for her discussion:

However, res facta differs from counterpoint above all in this respect, that all the parts
[= voices] of a res facta, be they three, four, or more, should be mutually bound to

each other, so that the order and law of concords of any part should be observed with
respect to each single and all [parts], as is amply evident in this example in five parts,

of which first three sound [= sing] together, then four, then finally all five.20

Blackburn concludes that counterpoint in Tinctoris’ time is successive composition, not
what today is called counterpoint. Res facta is different from counterpoint in that each
voice must be related to every other voice; this is not true of counterpoint, where the added
voice or voices need only to be consonant with the tenor. Thus, according to her, this
nethod implies "harmonic composition. " This last issue will be a subject of further debate

nd speculation among scholars.

Some scholars are also convinced that evidences of simultaneous aural control of all

rrts began to appear in the use of solus tenor, which is roughly a reduction of a tenor and

181bid., 220.

19Margaret Bent, "Resfacta and Cantare Super Librum," M 36 (1983): 371-
1; Ernest Ferand, "What is Res Facta?" JAMS 10 (1957): 141-50.

 

20Blackburn, "Compositional Process in the Fifteenth Century," 249. The
:kets in this quotation are inserted by Blackburn.

15

 

 

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intratenor, not unlike basso segpente conflation. This occurs in some isorhythmic motets
rd Masses written during the fourteenth and early fifteenth centuries, including some
orks by Dufay.21 Bent comments further on the nature and purpose of the solus tenor:

. . . important further testimony [on the essential nature of many contratenor parts] is
found in the provision of solus tenor parts for some twenty compositions of the 14th
and 15th centuries, all motets or mass movements in four or five parts, all isorhythmic
except for two which undertake the comparable technical challenge, respectively, of a
double canon, and of an essay in mensural permutations, and all of the non-successive
type. This is a significant proportion of the repertory which meets those conditions.
Indeed, if we discount the four relevant motets of Machaut, three—quarters of the 14th-
century motets to which this discussion relates have a solus tenor. A solus tenor can
be roughly defined as a kind of basso seguente conflation of the tenor and contratenor
and has been regarded by, I think, all writers on the subject as a "Notbehelf fi'rr kleine
Besetzung," enabling a four- or five-part composition to be performed with one line
fewer. I am not going to dispute that the solus tenor parts may have been used in this
way, or for rehearsal, or for alternative performance, but there are several objections to
this as having been their primary purpose.

These parts are associated with only a handful of manuscripts containing highly
sophisticated repertory: Principally Ivrea, Modena 568, Chantilly, Old Hall, Canonici
misc. 213, Bologna Q15. If the caliber of repertory in these sources is any indication
of the flourishing state of the establishments at which they were used, here of all
places would these simplified arrangements have been least necessary. Nor is it likely
that singers who had taken the trouble to seek out or compose music of the highest
erudition and artifice would have taken pleasure in the barbarous disregard for such
features--isorhythm, canon, notational nicety, plainsong integrity-—which solus tenor
parts often display. Moreover, these manuscripts are often particularly authoritative
and in some cases thought to have been compiled in the orbit of the composers

prominently represented.22
Unlike the possible purposes of the solus tenor (for example, rehearsal) indicated
ave by other scholars, Bent concludes that the solus tenor is a result of one of several
rsible methods of compositional process in three or more parts without the aid of
nposition scores, thus comparable to sketches of later periods:
Only in a minority of cases are solus tenor parts strict tenor-contratenor conflations
throughout. For the rest, they deviate to a greater or lesser degree and are often not

explicable as conflations at all. If they were normally made in the manner and for the
purpose generally claimed, they show a level of incompetence hard to reconcile with

21See Margaret Bent, "Some Factors in the Control of Consonance and Sonority:

essive Composition and the Solus Tenor," Report of the 12th Congress of the EMS,
:eley, 1977), 630. Solus tenors are found in two compositions of Dufay.

22Bent, ibid.

 

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the authoritative character of their sources. As far as I can ascertain they are always
copied integrally with the composition and never as later additions.

If we admit this abnormally high level of error or incompetence as an objection to
the received definition of a solus tenor, what then is it? It remains generally true that

the solus tenor goes at least as well with the upper parts as do the tenor and contratenor

of which it is supposed to be a conflation. And yet, if it is regarded as a freely-
composed "new" tenor to fit the upper parts, it is hard to explain why so much of it is
indeed a conflation. Sometimes the solus tenor does give the lower note at a certain
point but nevertheless fits the upper parts better than does the tenor-contratenor pair.
In these cases, the offending element is often the upper voice of the tenor-contratenor
duet, the note which was not embodied in the conflation.

I believe this can be explained as follows. The composer made a conflation of his
first draft of the contratenor—tenor duet—a solus tenor-which then served as tenor, or

gravior vox, upon which he constructed the upper parts. . . .

The solus tenor typically features leaps of perfect intervals, frequently the fifth,
netimes with a strong impression of harmonic progression.24 In spite of the
despread use of the solus tenor during the fourteenth and fifteenth centuries, it ceases to
used by around 1430. Bent attributes the cause of this phenomenon to the change of
rsical style. That is, the solus tenor, the fundamental voice against which the upper
Lces are worked out, is generally not an exact conflation of the contratenor and tenor;
refore, when the contratenor-tenor pair is reinstated in the place of solus tenor (in the
11 compositional process), dissonances can result between the contratenor-tenor and the

rer parts. These dissonances were an accepted part of the style of fourteenth-century

sic, but the trend towards increased consonance in the early fifteenth century might have
tired some adjustments of dissonances in the final stage of composition, because a lack
:otal control" of dissonance was unfitted to the new musical style.25 Indeed the demise

re solus tenor coincides roughly with the obsolescence of four-part isorhythmic motets

Masses, and also with a growing feeling of harmonic tonality.

bk

23rbid.

24Shelley Davis, "The Solus Tenor in the 14th and 15th Centuries," AcM 39
r: 45—47.

 

25Bent, "Some Factors in the Control of Consonance and Sonority," 631.

 

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In spite of unsuitability of the solus tenor for the new style, its significance has

een discussed by some music historians. For example, Shelley Davis regards the solus
nor as one of the early contributors towards later tonal developments.26 Similarly, it has
n suggested by Bent that the solus tenor "implies a new approach to the analysis of an

portant sector of fourteenth- and fifteenth-century music" and "amplifies the notion of
ccessive composition by attempting to define the nature and extent of its simultaneous
ntrols. "27

The notion of the conflation of two lowest voices leads one to reconsider the

alysis of fifteenth-century songs, where the lowest notes are divided between the
ntratenor and tenor. This distribution of fundamental notes is considered by some

olars as problematic for the application of conventional harmonic analysis, which, they
I, is appropriate only when the lowest tones are found in a single voice, a "true bass

." Nevertheless, the popularity of the W during the fourteenth and early
'eenth centuries illustrates that the concept of the planning of harmonic progression was
: at all foreign by this time. The disjunctive contratenor line, typical of three-part songs
he early fifteenth century, might be necessarily unmelodic, due to its function to
aplement the tenor in supplying harmony at this early stage. The nature of the
tratenor itself reflects the growing harmonic feeling of the time. In the latter half of the
enth century, with the preference for four-voiced writing over three-voiced, the "true
:line" began to take over the role of harmonic supplier.

Thus on the basis of the above discussions and quotations, there is reason to

we that renaissance theorists themselves display some valid observations for the new

 

:tion, observations which can not be easily dismissed. Further, the use of solus tenor

26Davis, "The Solus Tenor in the 14th and 15th Centuries,“ 50.

27Bent, "Some Factors in the Control of Consonance and Sonority,“ 633.

18

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uring the fourteenth and early fifteenth centuries supports a new approach of observing

arly music in terms of simultaneous controls.

(2) Modality vs. Tonality Dichotomy
It is difficult to imagine any other controversy being more vital and rigorous than
rat of modality versus tonality. In this regard, musicologists and theorists are divided into
tree groups: the first group believes that the structure of medieval and renaissance music is
etermined melodically, hence the principle of structural order has to be sought from the

reory of modality; the second group asserts that the melodically conceived church modes

 

rve way to harmonic tonality in the Renaissance, due to changes in compositional
chnique; the last group refuses to apply modal theory to any polyphonic music, since it is
ar to them that the concept of mode developed solely to explain the structure of

raccompanied chant. In addition, the last two groups often view secular music from the

 

iddle Ages as being already incipiently tonal, compared with church genres which are
sed on plainsong in the tenor.

All three groups have appealing interpretations of early theoretical writings.
tailed study of each group's contention will give a better understanding of the issue.

a) The first group: Putnam Aldrich criticizes "anachronistic" methods of analysis
pecially modern harmonic analysis) for renaissance music, insisting that it is to be
lyzed in terms of the musical thought and principles of the time, that is, the system of
iality:

Modal theory originated in the study of the melodic structure of monophonic
Gregorian Chant. . . . This was obviously purely linear type of analysis. In
polyphonic music the purity of the modes is inevitably disrupted, since the individual
melodic lines must be adjusted to accommodate each other. In the course of the

fifteenth and sixteenth centuries modal theory was modified to accord with the
changing practice required by various types of polyphony. The basic principles

19

 

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0969): 2.
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3
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governing the relationship of intervals, however, remained in force until well into the
17th century.28

Leo Treitler, who is also an advocate of "music analysis in an historical context,"

hows how modal criteria (for example, species of fourth and fifth, and range) work in the

ecular music of Dufay:

Dufay followed the medieval modal tradition in which tonal coherence is achieved
through the construction of the melody about a single pentachord-tetrachord pair. The
choice of pentachord-tetrachord pair determines melodic range, both partial and
overall, principal melodic turning points, and principal cadence tones. Dufay treated
all voices as essentially equal in this regard. Going one step further, he constructed all
the voices of each piece on the same pentachord-tetrachord pair, assuring a limited,
hence, consistent, harmonic context for each piece. The result is a number of discrete
tonalities which tend to be marked by final, range, distribution of parts, and

signature.29

Leeman Perkins, who shares the belief of the two scholars above, indicates that the

 

roliferation of theoretical writings of the fifteenth and sixteenth centuries on the modes

as a result of the increasingly melodic orientation of polyphonic music in the renaissance:

. . . the musicians of the period turned more and more to modal theory and to its
embodiment in the chant in a search for principles of order and coherence capable of

binding together their more extensive compositions.
b) The second group: Robert Wienpahl regards harmonic tonality as refinement of
3 existing modal system. For him the perfect cadence is the most important factor of
rmonic tonality because its formation destroyed any difference among the modes at the
rst crucial place. But he sees fifteenth-century music as predominantly modal, and
:teenth- and even seventeenth-century music as modal and tonal side by side. Criteria for

:iding between modal or tonal are postulated, and some of them are as follows:

69) 28Putnam Aldrich, "An Approach to the Analysis of Renaissance Music," & 30
: 2.

' 29Leo Treitler, "Tone System in the Secular Works of Guillaume Dufay," LAMS
,1965): 166-67.

'3 3OLeeman Perkins, "Mode and Structure in the Masses of Josquin," 1A_MS_ 26
): 198.

20

 

 

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Crockerfu

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1. Does the emphasis lie on modal degrees such as Fa (the mutation point of the

hexachords) and La (the upper limit of the hexachordal range)?
2. Is there a flat seventh degree?

3 . Are accidentals introduced beyond the necessity of key and modulation in favor of
linear expression?3 1
Carl Dahlhaus also follows the view that the old theory is transformed into or
laced with the new one, but the beginning date for the new is about 1600:
It is sometimes almost impossible to tell to what extent, as isolated phenomena, they

already possessed the significance that they had in the completed system (Thus
whether the fifteenth-century cadence form shown . . . is a dominant-tonic cadence

is a moot point).32
c) The third group: Margaret Bent notes that theorists before Tinctoris rarely
erimpose the modes onto polyphony:
The anonymous treatise from Paris [Berkeley MS] is one of the exceptions; but this

short excursion into the modes and polyphony is not worked out in detail. . . .
Without further guidance from contemporary theorists, it is not possible to apply the

modes to any but the simplest polyphony-9’3

Crocker also evaluates this manuscript on the modes:
The present mention of modes is only a short appendix to the body of the treatise,

which begins not with the modes but with the hexachord, to which the modes are
referred. In applying modes to polyphony, incidentally, the passage takes into account

only the "final", without specifying further what this means in polyphonic terms.34
:ker further expresses his viewpoint on the modes clearly in his review of Lowinsky's

ility and Atonality in Sixteenth-Century music. He criticizes Lowinsky's statement,

r;

31Robert Wienpahl, "The Emergence of Tonality" (Ph.D. diss., UCLA, 1953), 9.

328mnky Sadie, ed. The New Grove Dictionary of Music and Musicians
hington, DC: Grove’s Dictionaries of Music, 1980), s.v. "Tonality," by Carl
haus, 5 3.

33Bent, "Musica Recta and Musica Ficta," _Nm 26 (1972): 83.

34Crocker, "A New Source for Medieval Music Theory," AcM 39 (1967): 166.

 

21

 

 

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made only abo

 

 

e music of the sixteenth century was for the greatest part conceived within the

ework of the church modes,"35 saying "medieval polyphony was n0t 'modal' in any .

se save a rhythmic one."36
Hans Tischler also observes the problem of applicability of modal theory to

lyphony:

Theorists discussing monophonic chants find it often difficult to determine the
mode of a particular melody; indeed, there are a number of tunes in modern Gregorian
books which are assigned different modes or accidentals in different books. The
secondary, and even the primary, notes of stress (dominant and tonic) are often
difficult to sort out; accidentals obscure the interval pattern; the ambitus does not
follow the rule; the cadence-points give no definite clue. Thus the only advice often is:
observe the final note. . . .

If the modal interpretation of some chants presents such problems, how much
more uncertain must it be with regard to polyphonic music? Indeed, having been
created for monOphony, modality has never been satisfactorily applied to polyphony.
The first to become acutely aware of the problem were theorists of the late fifteenth
century, and they found it as intractable as we do. But the pressure of the evolving
scale and key concepts, which were to come to fruition 200 years later, prompted them
to return repeatedly to this subject, whereas the earlier medieval theorists hardly
worried about it and continued to discuss the modes only in connection with chant.

The idea of preserving the modal character of a melodic line in music of the
twelfth and thirteenth centuries is often hard to apply. Indeed, there are numerous
compositions--organa, clausulae, motets--in which accidentals and natural signs
follow each other closely or alternate several times, and in several pieces Bb, and B'=

and F#, even 0* and Eb, appear--a tendency that foreshadows the profusion of
accidentals customary in fourteenth-century music. And both Gregorian tenors and

upper parts are modified.37
Harold Powers indicates that modal theory remains completely separated from
rterpoint theory until the mid-fifteenth century. The connection between the two is

e only about 1450, but rather tentatively. For example, Guillelmus Monachus (IE

 

35Lowinsky, Tonality and Atonality in Sixteenth-Genny: Music (Berkeley and Los

les: University of California Press, 1961), 1; However, Lowinsky also believes that
velopment of tonal thinking in polyphonic art music can be seen as a chronological
tion leading fiom Dunstable and Dufay on the one hand and frottola and villancico on

ther, to Josquin, the French chanson, the Italian canzonet and balletto, and the English

' gal and lute air.

36Crocker, review of Tonalig: and Atonality in Sixteenth-century Music, by E. E.

sky, in JMT 6 (1962): 152.
37Hans Tischler, "'Musica Ficta' in the Thirteenth Century," ML. 54 (1973): 40-41.

 

22

 

 

 

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ceptis artis musicae, ca. 1480) mentions the modes in passing in discussing the finals.
owers regards modal doctrine in polyphonic music by Tinctoris and Aaron also as merely

tggestive rather than systematic:

. . . Tinctoris claimed that "we use them not only in Gregorian music, which is
simple and unmeasured, but in all other music, polyphonic and mensural." The
treatise itself, however, is simply an elaborate exposition of Marchetto's systematic
theory of single-line modality that goes back at least to the beginning of the fourteenth
century. . . . Only once is there a discussion of how mode should be applied to
polyphony, in terms of a particular chanson, and the best Tinctoris could do was to
assign a mode to each single—line voice-part individually, and say that the mode of the
whole would be the mode of the voice-part most important compositionally, which he
asserted without further qualification to be. the tenor. . . . Rather, he [Aaron] was
trying to reconcile a given repertory (to be found in prints published by Ottaviano
Petrucci and Andrea Antico between 1500 and 1522) with a given system (the eight
church modes of Gregorian chant theory). He was not telling his readers that such-
and-such a piece had been composed in such-and-such a precompositionally selected
mode. Rather, he was telling them that such-and-such piece should be assigned to--
should be classified under--such-and-such a mode, in each case carefully adducing his

reasons for the choice of modal category.38

Powers then notices that the change from composing principally on a tenor to
nposing free imitative counterpoint (from ca. 14803) slowly assimilated polyphonic
dal theory due to its essential features (i.e., melodic similarity or identity among voices).
:er the repertory itself begins to show evidence of a systematic interest. For example,
he sets of works appear in the second half of the sixteenth century, which composers

to have been composed according to the modes. But Powers thinks that this also

 

to present the modes "as a posteriori category for grouping items in a repertory than a
rz‘ pre-compositional choices or assumptions."39
In addition, Oliver Ellsworth informs us that Johannes de Grocheo (fl. ca. 1300),
may be the first theorist to discuss secular polyphony in detail, denies a modal

dation for polyphony of any kind (sacred or secular):

 

38Harold Powers, "Tonal Types and Modal Categories in Renaissance
hony," JAMS 34 (1981): 432-33.

39Ibid., 435.

23

 

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40Oliv
compendium :
Berkeley, 196!

> e
W

Song, both simple and measured, is neither governed by the rules of the modes, nor
can it be measured in this way. If it is measured in this way, one does not call it a
mode as such, and it is never mentioned. . . . We do not recognize 4pppular music
(for example, the cantilena, the ductia, and the stantipes) by modes."

In short, the main point of the third group is the invalidity of modality applying to
raissance music. But none of the scholars in the above group suggests an alternative
stem for analysis. Some other scholars, however, adopt harmonic analysis in the

)dern sense of the term for renaissance music to consider the entire harmonic logic rather

in just the individual lines.

Heinrich Besseler justifies this methodology by indicating some contratenors in
rly fifteenth—century compositions as evidences for the apparent interest in developing the
ss part, which is shown by several composers, including Dufay.41

Lowinsky also sees no problem in introducing that methodology to renaissance

rsic. Some passages by Lowinsky read:

To some scholars this is sheer heresy. But it is hardly without significance that the
Renaissance is the first epoch in musical history in which triadic harmony emerges and
that its chordal progressions can be expressed in tonal terms. . . .

When harmonic phenomena . . . are explained as "contrapuntally conceived," it
is little wonder that the author of this explanation finds it necessary to consider the
bass progressions that are fundamental to cadential structures in tonal music as
nonstructural and non-essential in the cadence formulas of fifteenth- and sixteenth-
century music. This amounts to espousing the position: "I see harmony, I hear
harmony, but I cannot admit that it is harmony, for I know that the composer did not
intend harmony." The belief that one "knows" what the composer intended and that
such knowledge entitles one to deny what one hears springs from two fallacies: the
primary fallacy that a musicologist must not be guided by what he hears but what he
knows; the secondary fallacy that his presumed knowledge of the process of
composition can serve as a valid refutation of what he hears. . . . it ignores a
fundamental and delicate historic process: the transition from an old mode of artistic
conception to a new one within the apparent maintenance of the old order. . . . None

40Oliver Ellsworth, "The Berkeley Manuscript (olim Phillipps 4450): A
1pendium of Fourteenth- -century Music Theory" (Ph ..D diss., University of California,

:eley, 1969), 54

41HeinrichBesseler, B r n n F x n: inz m rs dr
erlandischen Musik (Leipzig. Breitkopf&Hartel, 1950), 28, 47, 53.

24

 

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of the writers has observed that the lengthy sections for full choir [in the motet Nuper
WM consist of harmonies in triadic structure with the root in the bass.42

Howard Brown and Gustave Reese also have the same Opinion, which is plainly
ible in a round table discussion with Aldrich:

Aldrich: Mr. Brown says that melodic analysis by interval was the only technique
known at the time but he neglects to apply that analysis at all. Whatever results you
may find from a 15th century analysis, tonic, dominant, mediant may work but are
they essential to the piece? It seems to me that the entire analysis in respect to tonal
bias and so forth is completely irrelevant.

Brown: . . . . My main point would be, and it seems to me this is an important
point to my argument, that music is in certain regards functionally tonal. But there is a
doubt whether technique for analysis is anachronistic if it illuminates what is in the
music; then it seems to me one must choose it.

Reese: Human beings are not so smart that they always know why they are doing
what they do. We find out afterwards very often why we do things and I think that
tonality was coming on long before any theoretical recognition of it appears. . . . I
think it is quite all right to use the terminology of harmonic analysis because that I
think is what the composers felt, though they couldn't have explained it themselves.

Aldrich: But they did explain it. And wouldn't it be nice to find out what they
thought about this.

Reese: Where are their explanations?

Aldrich: The explanation is in their music. In Glareanus, Zarlino.

Reese: It is the same information, the sixth going up to the octave.43

Carl Dahlhaus is on the side of scholars like Aldrich, but his concern touches a
re substantial problem:
The subject of the discussion [on a V-I cadence] is not whether in the fourteenth and

fifteenth centuries there are pitch successions which seem to a twentieth-century
hstener like dominant cadences, but whether their interpretation as dominant cadences

can be historically justified.44

That such interpretation "as dominant" can be historically justified is affirmed by

del in the following terms:

 

42Lowinsky, "Canon Technique and Simultaneous Conception in Fifteenth-century
ic: A Comparison of North and South," In imam—MW
:r Divers Subjects, ed: Robert Weaver (Kentucky: Louisville, 1981), 183, 184, 190.
bracket in this quotation is mine.

43Kurt von Fischer et a1, "Critical Years in European Musical History," Report of
2th Congress of the M3, (Berkeley, 1977), 95-96.

44le Dahlhaus, nter uchun en fiber die Entstehun der harmonischen Tonalitéit
rel: Barenreiter-Verlag, 1968), 75. The translation rs from Randel, "Emerging Triadjc

lity in the Fifteenth Century," 75-76.

25

 

 

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But how shall we justify any interpretation historically? The danger here lies in
the notion that the only historically justified interpretation of a composition is that of
the composer himself. This would have us say, as many have said, that these
cadences are not V-I cadences because the composers did not think of them in that
way. Operating under such a principle, we would never be able to employ any new
concepts in our discussions of the past. This views limits the historian’s activities to a
search for the composer's own analysis of his music-~the composer's intentions, in
one sense of the word--and this is clearly too limiting. Furthermore, it presents a
practical problem in our present study: how can we say that one cadence is a V-1 and
another is not when they are indistinguishable in the score? Surely we are not obliged
to hold that none of the features of triadic tonality can be present in a composition
unless all are present. . . .

Our difficulties in talking about fifteenth-century music in terms of root
progression derive from our habits in talking about eighteenth-century music. When
we refuse to speak of root progression in fifteenth century cadences and on this basis
refuse to regard identical cadences from the fifteenth and eighteenth centuries as really
the same, it is usually because we insist that the eighteenth century's own description
of cadences in terms of root progression is adequate. The problem is not just that the
eighteenth century's vocabulary is somehow inadequate for talking about fifteenth-
century music, but that it may also be inadequate for talking about eighteenth-century
music. Schenker and others have shown some ways in which this might be the case.
Once we recognize some limits on the usefulness of expressions such as "V-I" with
respect to eighteenth-century music, we shall have overcome most of the objections to

applying such expressions to fifteenth-century music.45

From the foregoing quotations we can conclude that many scholars feel neither

ial theory nor discant theory adequately explain what appear to be modern sounds or

 

   
  
   
 
   
   
   
   
  

ern planning in renaissance music. Whereas some scholars try to be faithful to

enth- and sixteenth-century treatises, which often lag behind actual practice,46 some

 

45Randel, ibid., 76, 81.

46In history, theory often lags behind practice. For example, Manfred Bukofzer
opular Polyphony in the Middle Ages," _M_Q 26 [1940]: 35-36) mentions:

About the year 1300, however, the English theorist Walter Odington suggested that the
third might also be regarded as in the ratio 4:5, that is, in a rational relation, and thus
the third was mathematically vindicated as a consonance, albeit as an ’imperfect' one.
We see theory here lagging somewhat behind actual practical development. 'Sumer is
'cumen in' is not the only example of 13th-century popular polyphony showing a
rospensity for the third.

_ artin Ellefsen, similarly, states as follows in his "Music and Humanism in the Early
.ssance: Their Relationship and Its Roots in the Rhetorical and Philosophical
trons" (Ph.D. diss., Florida State University, 1981), 85, 236:

iconia presents an interesting paradox. His compositions were progressive and in a
umber of respects he was well ahead of his time; yet, his treatises were
achronistically scholastic. Even his progressive sounding 'Nova Musica’ (Vitry and
can de Muris wrote works with similar titles) reads like a 12th century scholastic

26

 

 

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(emergencr
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nt findings reveal also in this theory some valid observations for the new style
ergence of harmonic conception in a contrapuntal world), as has been seen above. In
:tice, also, the popularity of the §9_l_u_s_t_e_r;gr_ during the fourteenth and early fifteenth
uries illustrates that the concept of planning harmonic progression was not all that
ign by this time.

Deriving from early monOphonic chant, modal theory has been unsatisfactory in
urng to explain the tonal procedures of polyphonic music. Therefore some scholars
s observe fundamental change in renaissance music prepose a new system, that is,
lern harmonic analysis. This is not because the latter is another alternative but because
I believe that, by the early Renaissance, triadic harmony gradually began to function as

fundamental structure of the music.

Having examined recent views on renaissance harmony, we now turn to the next

irninary issue, the origin (time and place) of the new style.

 

 

 

eatise. . . . By Dufay's time the third was an accepted consonance and the fourth a
'ssonance, quite the reverse of Boethian practice. Gallicus reaffirmed the perfection
f the fourth, fifth and octave and demoted the third to a 'tolerable dissonance.‘
urthermore, he also called for a return to the 15 note range of Gregorian chant, all of
hhich amounted to the abandonment of contemporary practice and a return to Boethian
eory.

27

the earl)
believe)
time of I
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CHAPTER III
HISTORICAL BACKGROUND OF HARMONIC TONALITY

The purpose of this chapter is to trace the origin of the significant stylistic change in
the early Renaissance which begins with Dufay rather than Dunstable (as some scholars
believe). Although it is true that England occupies a special position in music during the

time of transition from the Middle Ages to the Renaissance, especially in terms of euphony

 

("contenance angloise"), Dufay's blending of various elements results in simultaneous
onception and related harmonic tonality which involve not only euphonious sounds but
‘rlso a fundamental change in compositional technique. Detailed investigation into various
:lements which contributed to the development of the new style can yield some important
tistorical perspectives.
Although most scholars agree that, except for the early Renaissance, no one period

1 music history has been so succinctly viewed as ended and another as begun, their
unclusions on the origin of the new style differ. While one group of scholars proposes
nglish medieval and early renaissance music as the main source, another identifies Italian
usic of the fourteenth and early fifteenth century, though both groups agree that the new
Vle seems to involve a convergence of various influences.

This controversy comes from their contrasting points of view on the nature of the
w style. The first group, assuming Dufay as merely a follower of the new English trend,
holds Dunstable’s music as the source of the new style in that the testimony of Tinctoris
chrtionale musices of ca. 1476 and Liber de arte contrapuncti of 147 7) and Martin 1e
nc (Le champion des dames, 1441-42) credit new euphonious sonority to "contenance

28

 

 

 

into
is ht

SUCC

 

ngloise."1 Meanwhile, the other group does not see "contenance angloise" as

rndamental to the new style, though they acknowledge Dufay's debt to it.2 That is, in

 

rite of fifteenth-century comments on the new style, they consider Dufay‘s musical style,
specially of around 1430, as the major innovation of the early fifteenth century. They
:lieve that this innovation is indebted to Italian fourteenth-century music, especially in the
ralm of harmony, and that it eventually develops into the harmonic tonality of later

:riods. Furthermore, some scholars (like Paul Henry Lang) point out that the praise of

unstable by Tinctoris must be read cautiously:

If we continue reading Tinctoris’s treatise WM we find
interesting remarks to the effect that the "English" were compelled to abandon the
leadership to the "modems" (the Burgundians) because the latter's imagination was so
lively that they invented songs in a "novissime" manner day after day while the former
did not change their manner of composition. This statement confirms the theory that
the English influence was due mainly to stylistic elements that had survived the Gothic

and now found a fertile soil in the rising musical style of the fifteenth century.3

 

This controversy on the medieval origin of the new musical style is dealt with in

:ail in the three sections below. The first two discuss English and Italian medieval music

13cc the quotation in Chapter I (INTRODUCTION), 2-3.

2For example, see Heinrich Besseler, Bourdon und Fauxbourdon: Studien zum

:pccng der N iedcrliindischcn Musik (Leipzig: Breitk0pf & Hé'rrtel, 1950), 15, 109.

3Pau1 H. Lang, Music in Westcrn civilization (New York: w. w. Norton, 1941),
. The original text (here translated into English) of Tinctoris is as follows:

At this time, consequently, the possibilities of our music have been so marvelously
increased that there appears to be a new art, if I may so call it, whose fount and origin
is held to be among the English, of whom Dunstable stood forth as chief.
Contemporary with him in France were Dufay and Binchoys, to whom directly

succeeded the modems Ockeghem, Busnoys, Regis and Caron, who are the most
excellent of all the composers I have ever heard. Nor can the English, who are
popularly said to shout while the French sing, stand comparison with them. For the
French contrive music in the newest manner for the new times, while the English
continue to use one and the same style or composition, which shows a wretched

poverty of invention.

This English translation is from Oliver Strunk, Source Readin s in Music Histo
'Ycrk: w. w_ Norton, 1950), 195, and the original text is from Johannes Tinctoris,
grucnalc mgsiccc [ca. 1476], ed. Charles E. H. Coussemaker, Q, vol. 4 (Paris:
rd, 1864-76; many reprints), 153.

29

 

as mai
to the r
the C01
SOlllC St
emerge

for he

l-l) En;
patronag
on the e
manuscr
BurgunC'
English 1
the idea I
Iecords r
English 1

Countries

\

4,
Inaillly in
biSupplit

55
HWY 0:
61

could nof
Dunstilble

 

 

 

main sources, and the third section focuses on fauxbourdon,4 whose origin, in relation
the new full consonant harmonic style, has also been controversial between England and
e Confluent (Italy or France). In addition to musical sources for the new style, then,
me scholars further explore the general influence of the new renaissance culture-the
ergence of Italian humanism in the early fifteenth centuryuas a very important impetus

the new style, one which is surveyed at the end of this chapter separately.

(1) Controversy on the Medieval Origin of the New Musical Style
) English Medieval Music as a Main Source

3) Sylvia Kenney confines the role of Italy in the early fifteenth century just to
onage and performance and suggests that English music influenced Italian music based
e evidence of a considerable amount of English music preserved in Italian

nuscripts. She even proposes that the transformation of musical style of those

:gundian composers who worked in Italy can be the result of their contact there with
:lish music, rather than with Italian music.5 Recognizing that Van den Borren rejects
idea of an English school of importance in Italy on the basis of an absence of archival
rds relating to English musicians there, and also admitting that it is hard to say how

lish music arrived in Italy, she suggests informal political ties between the two

ltries.6

F;

4This is, in its classical form in the early fifteenth century, a two-part piece moving
ly in sixths but starting from and ending in an octave, with a third, unwritten, part to
pplied at the fourth below the treble. This 6/3 style with occasional perfect intervals
i much speculation on its origin.

5Sylvia Kenney, Waltcr nge and the Contenance Angloise, Yale Studies in the
ry of Music, vol. 3 (New Haven: Yale University Press, 1964), 8-10.

6Ibid., 9-17. Trowell's search for records of English musicians in Italian achives
not find any, either. See Brian Trowell, "Some English Contemporaries of
able," PRMA 81 (1955): 79.

 

30

 

 

 

But.
ground"7 1
English and
sided," sugg
and collecte

As t
then, Keane
influence or
of Dufay; [h
of tenor and
P311. Accon
would be the
discant lathe

This
COltlposers u
there, rather
traits as Bins

Which She ca

 

 

But, in Reinhard Strohm's view, this possibility stands on "extremely shaky

ound."7 Further, he criticizes it by saying that "the current view of the transmission of
glish and Franco-Flemish music in southern Germany and Italy is perhaps too one-
d," suggesting a possibility that "some compilers or their patrons may have travelled
d collected music in the north. "8
As to the importance of English musical style to the Burgundian compositions,
n, Kenney observes that the style of Binchois, who has no indication of any Italian
uence on his work, has much more affinity with English medieval music than does that
Dufay; this may be seen in melodic style, the general range, the euphonious relationship
tenor and discant, the character of the tenor line, and the character of the contratenor
. According to Kenney, an example of the "English" character of Binchois' style
luld be the use of a faster pace for the contratenor than the tenor, and its link with the
cant rather than the tenor.9
This view of Kenney’s seems to be rather self-contradictory in that if Burgundian
nposers who worked in Italy were influenced by English music which was transmitted
re, rather than by Italian music, Dufay's music might also be expected to show the same
ts as Binchois's. But she does not recognize these characteristics in Dufay's style,

Lch she calls "eclectic." 10

3

7Reinhard Strohm, "European Politics and the Distribution of Music in the Early

eenth Century," in Studies in Medieval and Early Modern Music, Early Music History,
1, ed. Iain Fenlon (London: Cambridge University Press, 1981), 309:

If, in the first stages of research, there was, for example, a belief that large-scale
political relationships between European powers caused cultural relationships, it had to
be differentiated and modified to such an extent as to become unrecognisable.

81bid., 317.

9Kenney, Walter Page and the Contenance An loise, 177-178.

101bid., 177.

31

 

Renaiss

conside

Secondh
than ltalj
Ihands [
believes .
mUsic. 12

imperfw

 

 

 

b) Manfred Bukofzer, in tracing the antecedents of the new trends in the early

enaissance, gives credit to English medieval musical style and Dunstable, and does nor

nsider Italian influence:

A closer scrutiny of English music reveals three essential traits which characterize
the English idiom: ( 1) the 'block-chord' or note-against-note style with all parts
moving in the same rhythm; (2) a strong preference for 6/3 chords and full triads; (3)
emphatic use of consonant progressions at the expense of unprepared dissonances.

While the last of these is probably not older than Pyamour and Dunstable, the first
two belong to a long-established tradition of English music which is in evidence
throughout the fourteenth century. . . . At the beginning of the fifteenth century the
English style had passed beyond its primitive stage: far from being a monotonous
succession of 5/3 chords, it employed full triads in root position in combination with
6/3 chords in both parallel and contrary motion, making conspicuous use of the third as
a melodic and harmonic interval. The free use of these triads in continental style led on
to the development of that four-part writing with a harmonic bass which marks the
later works of Dufay. This harmonic type of bass is a most important keypoint for
determining the beginning of the Renaissance in music.

English music of this period forms the vital link between the Middle Ages and the
Renaissance. Conservative as always, it did not undergo the rapid change from the 6/3
style to fuller harmony; but all its current forms, from the Ordinary of the Mass and the

isorhythmic motet to polyphonic antiphons and hymns, were pervaded with the
conductus style and its sonorous harmonic idiom.

c) Ernest Sanders also notes the gradual emergence of harmonic tonality in the
end half of fifteenth-century Burgundian music, and regards medieval English rather

n Italian music as the main source, partly because the famous passage in Martin Le

nc's Q champion dcs Mcs makes no mention of Italians, and partly because he ‘

leves that progressiveness is exhibited as early in English music as in Italian trecento

sic.12 He gives credit to English preference for major mode, chordal sonority, and

erfect consonances in medieval music for the new style:

In the preserved English repertoire of the second half of the thirteenth century most of
the rondelli and of the conducti with Stimmtausch or rondellus sections are in the F

11Manfred Bukofzer, "English Church Music of the Fifteenth Century," in Am

'a and the Renaissance 1309-1540, New Oxford History of Music, vol. 3, ed. Dom
elm Hughes and Gerald Abraham (London: Oxford University Press, 1960; reprint,

1), 166.

. 12Ernest Sanders, "Medieval English Polyphony and Its Significance for the
uncut" (Ph.D. diss., Columbia University, 1963), 411-2, 419.

32

 

caused the a‘
SllbdiVision (
about 1430 b
range than in
ihdicates a nr

\

13SaI
(1965): 19,31
consist of the
"Owed in sen

14See

15
”“8 h. 77)

O
0

Ex‘ H“. The

§

 

 

mode.
. . . What gives these pieces their English sound is, in addition to the frequency of
the major mode, the stress on the chords of tonic and supertonic, their emphasis on

triads and 6/3 chords, with the latter functioning most prominently as penultimate
chords at cadence points, and a predilection for trochaic rhythms and regular
periodicity. Tonal unity, both in free compositions and in cantus firmus settings [these
altered], was thus a paramount concern of thirteenth-century English composers. In
France, on the other hand, the matter of tonal unity was of less importance, as is
attested by the practice of writing clausulae and motets; many of the chant melismas on
which they are based are not tonal units. Even a good many of the freely composed

continental pieces of the thirteenth and fourteenth centuries lack a tonal center. 13

 

His criticism of Besseler's contention that the origin of harmonic tonality
ominantische tonalitéit")14 stems from Italy is worth mentioning. In the following, we
tdiscuss Besseler's notion of the origin of the new style and then study an opposing
w of Sanders.

5) Italian Fourteenth-century Mimic as a Main Source

a) Heinrich Besseler asserts that some northern composers' contact with Italy
rsed the adoption of the "typically Italian feeling for the dominant as the principal
)division of available tonal space."15 He finds significant, especially in some songs of
rut 1430 by Dufay, that the contratenor functions as a true bass in the sense of its lower
ge than the tenor, especially at the cadences. In his view this kind of contratenor
icates a new approach towards harmony. A good example of the new type of

tratenor may be seen in this song:

1‘

l3Sanders, "Tonal Aspects of Thirteenth-century English Polyphony," AcM 37
$5): 19, 34. An equally interesting point is that the conductus and cantilena, which
iist of the majority of thirteenth-and fourteenth-centrrry English music respectively, are
.ted in score, unlike the motet which is in separate parts.

1A’See Besseler, Bourdon und Fauxbourdon, 72-85.

( £13Kmong several examples given in his W, the best one is
p. :

II-l. The tenor from Ducalis-Stjrps by Anthonius Romanus

@

    

33

 

 

.111—2. Helas ma dame (No. 45) by Dufay16

 

 

ther, the contratenor is sometimes notated on a staff of six lines to cover the wide range
re manner of Italian fourteenth-century music. 17 Besseler relates this kind of low
tratenor to the trombone or slide trumpet, and actually some of these parts are indicated
re sources as "trompette" or "tuba."18

Besides the contratenor's instrumental effects of brass instruments (e. g., arpeggic
lves and frequent rests), Besseler traces its strong harmonic element from monophonic

in in fourteenth—century Laude19 where, in a typical melody, tonic and dominant

16Besseler, ed., Guglielmi Dufay: Opera omnia, vol. 1, CMM, 1 (AIM, 1964), 64.

17One example is his song Ce moys de may (Paris, Bibliothéque N ationale, Ms.
r. 6771, fol. 103'-104).

183cc Besseler, Bourdon und Fauxbourdon, 51, 83, 188. Petrus Fontaine's song
1e bien ce-lui is an example which has the indication of "Contratenor Trompette."
contratenor part is attributed to Dufay, but it appears to be "not so much a new part as
lodelling of the old one" (Gustave Reese, Music in the Renaissance [New York: W.
lorton, 1959], 35) by Dufay (Guglielmi Dufay: Opera omnia, vol. 6,102).

19In general, Italian monophony was transmitted orally, leaving few written

tples. One of the monophonic forms which has survived is the lauda, a lay vernacular
1 usually in honor of the Virgin. The first Compagna dei laudesi (company of lauda
rs) was formed at Florence in 1183, and the form of the earliest laude was the same as
tench virelai. Nevertheless it was a thoroughly Italian folk form which maintained a
icant place in Italian music for several centuries. See Roy M. Ellefsen, "Music and
mism in the Early Renaissance: Their Relationship and Its Roots in the Rhetorical and
sophical Traditions" (Ph.D. diss., Florida State University, 1981), 57.

34

 

degrees
pans arr
intenela
tenors it
thought
insttumt
different

Fuenze':

Hoppin l

El. 111.3

. 2
l‘ the firs
1H1lltltive

2.’
VIOICC is i

(M. 75

El-IH-l

h

degrees are often emphasized,20 and from early two-voiced madrigals where the individual
parts are often directional (e.g., sequential) toward a final cadence, and inner cadences are
interrelated.” He also includes among early examples of harmonic implication the slow
:enors in caccias which function as bass support in the low range.22 These genres are
hought to have grown more or less directly out of monophony often accompanied with an
nstrumental pedal point, thus lacking part-crossing which indicates a fundamental
lifference from the French song. A good example of this is one of Ghirardello da

:irenze's caccias where the tenor mainly consists of drone-like long notes:

20One example, below, is from the Anthclogy cf Medicval Mucic (ed. Richard H.
loppin [New York: W. W. Norton, 1978], 103):

x. III-3. Laudc novclla sia cantata by Anon.

_— fi-

 

21Besseler, Bcurdon und Fauxbourdon, 72-78. The fourteenth-century madrigal
the first important Italian polyphonic form; it is typically written for two voices in
utative counterpoint.

_ . 22The caccia is written for three voices: the top two are in canon, and the lowest
nce 1s in free counterpoint. One example Besseler gives for the point above mentioned
um, 75) is this:

:. III-4. glhcn pggchi assai by Anon.

 

35

 

 

 

3

Style, or
ltahan c
1427.2!

1
Mills thi
music (e

The
10 hi
can
Pro
can
dam

"fl
born
disti

 

Ex. III-5. Tosto chc l'alba by G. da Firenze23

 

Besseler confines the English influence on Dufay to euphonious sound and chordal
style, and emphasizes that English influences on Burgundian composers are preceded by
Italian ones. He suggests the possible contact of English music and Dufay in Paris around
1427.24

Meanwhile, Sanders opposes Besseler's view that harmonic tonality stems from
Italy, though he admits that the contributions of Italy to Burgundian and Franco-Flemish
music (e.g., bass-like contratenor) are "undeniable":

The state of English sources of the late fourteenth century is too fragmentary to reveal
to what extent England contributed to the development of "harmonic tonality" on the
continent, but that it was known and practiced in England at least as early as in Italy is
proved not only by many of the examples given in this chapter, but further by such
compositions as W_F No. 67, the cantilena Gemma nitens in G&C 5431512, and the
dance in MS Douce £2.

The Italian style, in opposing a sustaining instrumental part (or, in the case of a
"Harmonietr'agerduo", two parts) to a stylistically distinct vocal melody, features top-
bottom polarity to a greater extent than any English medieval composition. But what
distinguished English from Italian usage is not only its typical chordal richness, but its

 

 

 

23See Historical Anthology of Music, Archibald Davison and Willi Apel ed., vol. 1
Cambridge, MA: Harvard University Press, 1949), 55. The ballata, which is the chief
arm of trecento music along with the madrigal and the caccia, also shows this vestige. See

iino Pirrotta, Music and Culture in Italy from the Middle Ages to the Baroque
Cambridge, MA: Harvard University Press, 1984), 129-133.

24See Besseler, Bcprdcn pngl Fauxccprdon, 15, 70, 109. Also see Besseler,
Dufay Schr'ipfer des Fauxbourdons," AcM 20 (1948): 32.

 

 

 

con

a c1

9“

mte

in n

In spite I
looking 1
dominan
imperfec
contrater
notes a h
function;
b

Which my
diStinctiv
italian ml
Contentio
Style With

from belt

27:
Mimic," M

f 28‘
° eenth.
finalCaden

WW

 

 

considerable attention to balanced phrasing and clear structural divisions. To conceive
a composition as a tonal unit is far more characteristic of English than of Italian
medieval polyphony; likewise, the layout of phrases and the disposition of
intermediate cadences often make more of an impression of tonal purposiveness than

in much of trecento music.

In spite of those medieval English examples Sanders mentions which show some forward-
looking components (such as fragments of disjunctive tenor lines emphasizing the tonic and
dominant, clear tonal center, articulated cadences with regular periodicity and emphasis on
imperfect consonances), Besseler's emphasis on top-bottom polarity with a bass-like
contratenor in Italian music is, as Sanders admits above, still valid. Moreover Bukofzer
notes a hovering and floating quality in Dunstable's music due to his smooth but non-
functional harmony with rare dominant-tonic progressions.26

b) Kurt von Fischer emphasizes that instrumentally accompanied monophony,
which must have been played in Italy even beyond the mid—fourteenth century, is a
distinctively Italian element, though the fundamental nature of French style influences
Italian music in the course of the fourteenth and the early fifteenth century.27 This
contention is supported by the fact that Italian music does notdisplay French polyphonic
style with a tenor foundation, and also by the use of frequent cadences with a leading-tone

from below (not from above as is the case in discant).28

 

411 25Sanders,"Medieval English Polyphony and Its Significance for the Continent,"
'2, 419.

26Bukofzer, "John Dunstable: A Quincentenary Report," _hiQ 40 (1954): 46.
Lowinsky also points out that most of Dunstable's cadences "do not have the force and
direction of a V-I cadence." See Edward Lowinsky, Tonality and Atonality in Sixteenth-
madman (Los Angeles: University of California Press, 1961), 16.

_ 27Kurt von Fischer, "On the Technique, Origin, and Evolution of Italian Trecento
Musrc," MQ 47 (1961): 41-57.

. 28Apart from the numerous examples given in the Fischer’s article, the anonymous
purteenth-century ballata below is also a good example where among nineteen inner and
'1nal cadences, thirteen are achieved through the step-upward motion (see Pirrotta, Music

tnd Culture in Italy from the Middle Ages to the Barmue, 46-49):

37

 

says:

cor

151
Thus, at
Italian n
these int
musicial
another
1

Style is s

\

Ex. [11.6

IhTOUgh t}

 

 

Furthermore, concerning the possible influence of English music on Italian, Fischer

ays:

In Italy, there is a certain analogy with the English development in the tendency
already cited towards organization of chords through parallel-voice motion in three-
part structures. Italian readiness for consonant sonority follows from its original style,
in which melody is emphasized and the tenor accompanimental in function, free from
part-crossing, and often running along in thirds and sixths with the upper voice.
Unfortunately we do not have any Italian counterpoint treatises from the early
and middle 14th century, in which we might find references to specifically Italian
techniques. But the lack of textbooks itself may be evidence of a technique, or rather
practice, of polyphony that developed naturally and that exhibits affinities with units
found in traditional Mediterranean folk music (such as drone effects and parallel
progressions). These affinities are not accidental, nor do they occur here for the last
time. All this, then, may have advanced the Italian feeling for euphonious
counterpoint, a feeling that attains clear expression in the simple lauda settings of the

15th century.29
rus, according to Fischer, the euphoneous sounds of the fifteenth century in English and
lian music comprise an independent parallel development. Then Fischer conjectures that
:se indigenous Italian elements mentioned above apparently influenced Northern
rsicians such as Ciconia and Dufay, and that Italian music should also be considered as
other "fons et origo" of the new fifteenth-century style.3O
Although the verification of a specifically Italian style and its influence on the new

leis significant, Fisher does not touch upon harmonic aspects of fourteenth-century

§

III-6. Dclce lc mio drudo by Anon.

   

) see Wilbur C. H. Yates, "A History of the Cadence in Polyphonic Vocal Music
ugh the Fifteenth Century" (Ph.D. diss., Indiana University, 1962), 133.

291mm, 53-54.
301bid., 56-57.

38

 

One ex

Ex. [I]:

14.-Lu cw

 

-m

F0111
Sn,

F011

 

 

Italian music. But some other studies complement Fischer's work and also explore

harmonic aspects. For example, Carl Schachter makes an interesting statement on tonal

procedure in Landini's music:

 

In listing the consonant sonorities found in Landini's three-part music I have
used the term "triad" and some of the symbols of thoroughbass. I have done so purely
for reasons of convenience; I certainly do not wish to suggest that the function of these
sonorities is the same as in later music. . . . Nevertheless, the analyst of Landini's
music cannot fail to notice how frequently sonorities pitched a fifth apart are
associated. Whether or not this association adumbrates the tonic-dominant relationship

must await further investigation.31
Indeed it is not all that difficult to encounter modern sonority in Landini's music.

One example, below, begins with a simple I-V progression:

Ex. III-7. cram picpt'agli cchi by F. Landini32

 

Furthermore, Layton points out a tonal procedure similar to Landini's in the

erinary Masses by another Italian composer, Matteo da Perugia (d. ca. 1418):

 

The late fourteenth century saw the beginning of this [a V-I cadence and root-position
triad] development, and no one at the time was more up to date than Matteo in matters
of harmony-mot even Ciconia, who often gives the impression of being harmonically

 

 
   
 

31Carl Schachter, "Landini’s Treatment of Consonance and Dissonance: A Study in
urteenth-century Counterpoint," in Thc Music Forum, ed. William J. Mitchell and Felix
zer, vol. 2 (New York: Columbia University Press, 1970), 141-142.

32Leo Schrade, ed., The Works of Francesco Landini, Polyphonic Music of the
urteenth Century, vol. 4 (Monaco: Oiseau-Lyre, 1958), 128.

39

 

 

 

 

 

its:

Brown ‘

Ex. III-1

in

”a

For
cha
Cor
rest

fem

3
diss'a H3

3
Isorhylhl

 

more modern because of the greater Sim

attribute this aspect of Matteo's musical 1

 

 

 

plicity and clarity of his forms. We must
.anguage--clear, simple harmony; functional
tonality-—to his Italian heritage, in spite of the fact that he worked almost exclusively in

the French style.33

0) Samuel Brown observes that Johannes Ciconia, the first of a long line of Franco-
emish masters who travelled to Italy, is important for the fifteenth-century new style,

cially in his handling of the motet under the influence of the Italian Ars nova:

The tenors of the four isorhythmic motets are our chief concern here. It is with
regard to them that Ciconia took one of his most remarkable departures from 14th-
century tradition. According to Besseler, Ciconia took the radical step of inventing his
own tenor melodies, instead of borrowing them from liturgical sources. Ciconia was
therefore one of the first among the few who composed isorhythmic motets without
liturgical cantus firrni. In other words, the Fleming abandoned the cantus firmus
technique under the influence of the Italian Ars nova, without abandoning, however,
the Northern principle of Isorhythmic construction. It need hardly be emphasized that
an isorhythmic motet with a freely invented tenor melody represents an innovation of
considerable magnitude in the years ca. 1400.

In most cases the intemal evidence supplied by Ciconia's isorhythmic tenors is in

itself sufficient to exclude the probability that their origin is liturgical.34

)wn further delineates an interesting peculiarity with the tenor of a Ciconia mOtet:

. III-8. Doctorum principem--Melodia suavissima--Virmitis by J. Ciconia

5

 

 

I:

 

 

 

 

 

 

 

o L
1

a
j
V

 

 

V

For the present the melodic line of this tenor commands our attention. This is
characterized by a remarkably frequent occurrence of fifths and octaves. . . .
Consequently, the style of this tenor differs from the Gregorian style, with its more
restrained use of melodic intervals, its more dynamic melody, and its less persistent

repetition of patterns.35

 

 

 

40

33Billy J. Layton, "Italian Music for the Ordinary of the Mass, 1300- 1450" (PhD.
, Harvard University, 1960), 170-171.

34Samuel E. Brown, Jr., "A Possible Cantus Firmus Among Ciconia's
ythmic Motets," JAMS 12 (1959): 7-8.

351m, 8—9.

 

 

 

 

new sty
former.
isorhytl

simultal

into con
scholars

1
Charles

141
guit
141
mos
mar
ClCl
and
I)ElVid F:

been C01]

S
T981110,
years bef

CllllemelI

 

 

Thus scholars who believe fourteenth-century Italian music to be the origin of the
ew style in the fifteenth century generally emphasize the harmonic progressiveness of the
ormer. And undoubtedly Ciconia's emancipation of the cantus firmus in some of his
sorhythmic motets is significant, since it may be the first step toward the development of

imultaneous conception.

From the foregoing discussions, one substantial question arises: did Dufay come
nto contact with Italian music in Italy? Although answers are difficult to verify, most

cholars seem to answer this question positively.

First, some scholars assume the influence of Ciconia's music on young Dufay.
Iharles Hamm suggests it even before Dufay's departure for Italy:

The first trace of Dufay is at Cambrai, where he was an altar boy from 1409 to
1411. His first compositions must have been written there under the influence and
guidance of Richard Loqueville, who had charge of the music at the cathedral from
1413 until his death in 1418. One can further assume that the music of both
Loqueville the teacher and Dufay the student was influenced by compositions of the
most famous musician of the day, Johannes Ciconia, who died in 1411. Since the

manuscripts BL and Ox preserve pieces by Ciconia, Loqueville, and Dufay, the
Ciconia works in these sources must be his later compositions, the ones still known

and sung when Dufay was learning his trade from Loqueville.36
avid Fallows more specifically points out two of Dufay's early motets, which may have
en composed in Italy, as those in the style of Ciconia.37
Secondly, Dufay must have known the music of an Italian composer, Zacar da
ramo, who was one of his predecessors as a singer in the Papal Choir (1420-24) a few
ars before Dufay's employment there (1428), and whose secular works must have been

tremely popular.38 While Zacar, who was called 'Magister' or 'Greater,’ was a learned

   
      

 

36CharlesHamm,A k r i1 m D f B n
f - . -r; Pr ° (Princeton, NJ: Princeton University Press, 1964), 1.

   
  
 
 
 
  

37See David Fallows, Dufay, The Master Musicians Series (London: J. M. Dent &
us, 1982), 21, 28.

38See Nino Pirrotta, "Zacara da Teramo," in Music and Culture in Italy from the

ddle Aes to th Bar ue: A Collection of Essa 3 (Cambridge, MA: Harvard University
ss, 1984), 127; Stanley Sadie, ed. New Grove Dictionary of Music and Musicians,

41

 

 

 

 

“in
(on b
(Who
stud
WW
cont
Whe:

 

 

musician, he often added a popular element in his secular songs with, for instance, clashes
of seconds, or onomatopoeical imitation of bagpipe (drone) sounds. Nino Pirrotta
describes Zacar's frequent note-against-note passages as an Italian style, and jumps of the
fifth in the tenor as "the result of a harmonic feeling foreign to the usual education of a
polyphonist."39 It is also interesting to note that although Dufay is known in the North as
the first composer who adapted a secular tune for Mass composition, at least seven of

Zacar’s Mass movements are parodies based on his secular songs.40

A third traceable contact is Dufay's association with Squarcialupi (1416-80),
though it belongs to the late phase of his Italian sojourn (1435-36). Squarcialupi was one
of the most famous Italian organists of his time and appointed at the Florentine cathedral,

anta Maria del Fiore, in 1432;":1 Dufay, who composed a ceremonial motet for this
:athedral in 1436, is assumed to have accompanied Pope Eugenius IV in Florence in 1435-
56, and to have met Squarcialupi. Squarcialupi owned the celebrated early fifteenth-
:entury manuscript, later known as the Squarcialupi-Codex (or MS), which contains 352
talian fourteenth- and early fifteenth-century pieces arranged in nearly exact chronological

rder by composer; it is the main source of Italian Ars nova music.42 In opposition to the

[_—

ol. 20 (Washington, DC: New Grove Dictionaries, 1980), s.v. "Zacar," by Gilbert
eaney, 610.

39Pirrotta, ibid., 128, 138.
40Reaney, "Zacar," 609.

41See Lewis Lockwood, "Dufay and Ferrara," in Pap_ers Read at the Dufay
rincentena_ry Conference (Brooklyn: Brooklyn College, 1974), 2. In addition, a letter
i behalf of Lorenzo de' Medici at Florence) sent to Dufay (May 1, 1467) by Squarcialupi
ho was a member of the Medici circle) exists, in which the latter thanks the former for
.ding singers to Florence. (See Gustave Reese, Music in the Renaissance [New York:
W. Norton, 1959], 51.) The relationship with the Medici family might have been a
.tinuous one as is suggested in one surviving letter of Dufay (1450s) to the Medici,
:re he "renews his acquaintance with these patrons [Pietro and Giovanni de' Medici] .
." (See Lockwood, ibid., 11.)

4286c New Grove Dictionary of Music and Musicians, vol. 17, s.v. "Sources," by
:von Fischer, 668.

42

 

 

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d view that Squarcialupi compiled this codex, it is now believed to have been merely
vned by Squarcialupi, and the dates of compilation suggested are 1415-19 (Fischer) or

II before 1440 (Pirrotta).43

Although Dufay's acquaintance with Squarcialupi does not affirm his access to that
anuscript, especially because we do not know when it became Squarcialupi‘s possession,
: "sudden appearance of the traditional Italian repertories of the Trecento in fifteenth-
ntury [Italian] manuscripts [ca. 1420-30]" suggests that it might not have been all too

ficult for Dufay to have had contact with old Italian music.44
) The Origin of Fauxbourdon

The origin of fauxbourdon has been a popular subject among scholars over the past
ades, but disagreement still remains. Trowell observes that its real significance has
:n exaggerated due to heated controversies that surround it, in spite of the fact that it is
odest, unspectacular music, carefully restricted to a few humble occasions in the
mework of the liturgy."45 In his view, it is not the cause of a new style but merely a
rptom of the change towards controlled dissonance and chordal thinking. Nevertheless,
, worth examining here briefly, because it has often been discussed in relation to the

.in of the new musical style on the Continent.

One group of scholars considers Italy as the birthplace of fauxbourdon, while
her posits an influence of English music on the creation of fauxbourdon on the
tinent. The following disscussion begins with a consideration of these two

points.

2*

43Ibid.

 

448tr'ohm, "European Politics and the Distribution of Music in the Early Fifteenth
ry, " 316.

45Trowell, "Faburden and Fauxbourdon," _M]_3_ 13 (1959): 78.

43

 

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47A

48
1934), 2th

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W

 

 

 

 

First, concerning the first. group, Susan Clercx does not consider English influence
)n the development of fauxbourdon, because Italian manuscripts present the initial and
.argest collection, and she finds no record of English musicians in Italy in the early fifteenth
:entury.46 But Ann Scott notes that much English music of this period was also preserved
11 Italian manuscripts/J"7

Lockwood suggests the possibility of Dufay's assimilation of improvisational

echniques in Italy in creating the fauxbourdon style:

Whether or not Dufay himself was the ’inventor' of fauxbourdon--and it seems more
than likely that his uses of the procedure fall back on improvisational techniques
known to earlier generations of singers in Italy--he adapted it with striking effect in
various works; and this means of using full consonant sonorities made great headway
in the mid- and later fifteenth century. It formed an important component of the
simpler levels of polyphonic liturgical music in the Italian princely chapels. At Ferrara
the rich sonorities of note-against—note fauxbourdon had been well known in the
chapel of Leonello--quanto piaceva Ii vespri con le Messe, wrote the chronicler--and
among the main composers of Mod B are a number of the major representatives of the
fauxbourdon style, all of them contemporaries of Dufay: Feragut, Fede, Binchois.
The growth of Italian chapels, the increasing observance of the Vespers Office among
their patrons, and the continued use of fauxbourdon in the late fifteenth century go
hand in hand. In this development the material of Mod. C1 and C2 forms a principal

source for the 14703.48

 

Willem Elders believes that Dufay created fauxbourdon technique in Italy under the
fluence of Plutarch's moral philosophy, where musical harmony (consonance) is related

an ideal for man's .way of life (such as friendship and matrimony):49

In view of my hypothesis of a connection between Plutarch's theory of harmony and
the origin of Dufay's fauxbourdon method, this text [Dufay's seemingly earliest
fauxbourdon composition, the Communion of the W is highly

E;

46Suzanne Clercx, "Aux Origines du Faux-bourdon," Revue de musicologje 40
57): 163-165. This opinion can be supported by that of Trowell, who searched
uccessfully for records of English musicians in Italian archives (See supra, footnote 6).

47Ann Scott, "The Beginnings of Fauxbourdon: A New Interpretation," JAMS 24

71): 348.
1 48Lockwood, mmwmm (Oxford: Clarendon Press,
), 24.

49Willem Elders, "Humanism and Music in the Early Renaissance," Report of the
Congress of the IMS, (Berkeley, 1977), 886-87.

44

 

 

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interesting, since it comes from Matthew 19. In this chapter, Jesus teaches about
matrimony and divorce, and about perfect living in general (cf. v.20). . . .
Fauxbourdon technique can be perceived as a possible consequence of Plutarch‘s
comparison of friendship with harmony. In Dufay‘s motet S upremum est mortalibus
bonum, fauxbourdon occurs four times. It is introduced in such a way, with respect
to the text, that it may symbolize the pact of friendship between Pope Eugenius and

King Sigismond.50
Thomas Mathiesen supports Elders in terms of Dufay’s possible familiarity with Plutarch's
writings as follows:
Plutarch was a favorite author of the Renaissance, and it so happens that a
contemporary of Dufay and a chancellor of Florence, Leonardo Bruni, was one of the
first to make extensive translations from Plutarch. Professor Elders suggested that if
Plutarch's writings were known to the early humanists, and in fact they were, it would

not have been difficult for Dufay to become acquainted with them. Considering the
positions of Bruni and Dufay, it is quite possible for Bruni or one of his students to

have introduced the then lesser-known Plutarch to Dufay.51
This viewpoint remains for further debate among scholars.
Ernest Trumble pr0poses that fauxbourdon originated in northern Italy and
thereabouts (in terms of quantity in Italian manuscripts) not by a slow evolution from

improvisatory practice but by an invention of new techniques in early fifteenth-century

 

music. For example, Dufay's Vos qui secuti (in the Post-Communion of his Missa Sancti
m1), which has generally been regarded as the first fauxbourdon (sometime before
l430), stipulates "canon" in Latin, with an instruction that a second singer begins
imultaneously with the singer of the cantus but a (perfect) fourth lower.52 Trumble notes
hat the sudden increase of fauxbourdon around 1430 shows that this new experiment

Cquired p0pularity quickly after its first appearance.

501bid., 887.

———_

51mm, 891.

 

52Ernest Trumble, Fauxbourdon: An Historical Surve (Brooklyn: IMM, 1959), 5-

45

1——:_

 

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rant
Fauxbg

Stated i,
old thee
(01 four
the evol
the Fifte
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resulting
A New 1

Scholars who consider English influence on the creation of fauxbourdon contend
that faburden antedates fauxbourdon, and the former is the cause of the latter.5 3 Trowell is
convinced that faburden is a means of simple, three—voiced improvisation using the
transposition sights with a cantus firmus (plainsong) in the middle voice ("mean"), and
traces of faburden appear in English musical manuscripts from about 1400 or earlier,
although it is not labelled as faburden.54 He further raises the possibility that fauxbourdon
was developed by travelling English musicians on the Continent:

Since England was the birthplace of the first Faburden, it seems only logical to assume
that the sister-technique of Fauxbourdon was also born (though not named) on this
side of the Channel; it would have travelled to the continent as a technique of
improvisation, to be adopted by Dufay and others as the form that we find in the
sources, partly art-music and partly extemporisation. The continental type first
appears in the late 1420s: what relation does it bear to true Faburden?

If the English had already taken the step of transferring the plainsong to the treble
voice by this date, the answer is simple enough. All that the continental composers
had to do was to 'fix' the improvisation on paper by writing down the essentials. If
the English were still using true Faburden exclusively, there are two possibilities.
Either the continentals misheard the English treble line as the plainsong itself--an easy
mistake for listeners reared on the French-Burgundian chanson, particularly if the
English coloured the treble with additional ornament; or else Dufay or one of his
contemporaries hit on the idea of shifting the chant to the treble. Which answer is the
most likely?55

 

53Thrasybulos Georgiades, "Englische Diskanttraktate aus der ersten Ha'lfte des
15. Jahrhunderts" (Ph.D. diss., Univerity of Munich, 1937), 105; Trowell, "Faburden and
Fauxbourdon," 44.

54Trowell, i_bi_d_,, 49-55, 71. The sight is "the note visualised by the singer at a
stated interval above or below the plainson g which he had under his eyes." (rlLd, 49.) An
old theory by Bukofzer was that "English discant," as an extemporrsrng techmque 1n three
{or four) parts using chiefly 8/5 and 6/3 chords over a plainsong in the lowest voice, led to
:he evolution of fauxbourdon on the Continent. (See Bukofzer, _"Enghsh Church Musrc of
he Fifteenth Century, 176-77.) But Kenney asserted that "English discant' was an
nvention of Bukofzer's due to his misunderstanding of treatises on discant, becauseof her
)elief that there was no difference in the description of the discant theory, as composrtronal
)rocess, between the Continent and England. (See Kenney, Walter Frye and the
Zontenance Angloise, 97-99.) This view by Kenney has generally been accepted ever
ince. (See New Grove Dictiongy, vol. 6, s.v. "Faburden," by Trowell, 352.)

551lfi_d._, 72. Scott points out that the transfer of the cantus firmus from the middle
3 the top voice in fauxbourdon enabled the composer to write down ornamentation to it, .
:sulting in the substitute of "art" for "chance." (Scott, "The Begrnmngs of Fauxbourdon.
A New Interpretation," 361.)

46

 

 

influenc
English
practice
solely tc
possible
views at
caused tl

(
1415 fol
fauxbour
as the fir
flotation;
[Wo corn]

Fallows z

Lem

 

Ann Scott expresses a similar view to Trowell, saying that English faburden
influenced the creation of fauxbourdon on the Continent, and further suggests that the
English then adopted and adapted the term fauxbourdon for the originally insular
practice.56 Thus this camp generally credits the creation of fauxbourdon on the Continent
solely to English influence.

Although some scholars (whether they are in this group or not) have suggested
possible dates for the first encounter with English music by continental composers, recent
views about that date do not support the contention of this second group that faburden
caused the evolution of fauxbourdon.

Georgiades suggested (in 1937) that faburden was exported to the Continent around
1415 following the battle of Agincourt,57 resulting in the sudden blossoming of
fauxbourdon on the Continent.58 But Charles Hamm proposed (in 1964) the date 1433-35
as the first possible contact of English and continental music; this came from his study of
notational changes (i.e., mensuration) of Dufay and Binchois. From this date onward the
two composers' mensural practice was more in line with that of the English.59 David
Fallows affirmed (in 1982) Hamm's proposed date by relating one interesting passage from

Le champion des dames (1441-42),60 which appears to describe the scene of the first

 

56Scott, ibid., 345.
57In this war the English triumphed over the French.

58Georgiades, "Englische Diskanttraktate aus der ersten Halfte des 15.
Jahrhunderts," 105.

59Hamm, A Chronology of the Works of Guillaume Dufay Based on a Study of
.Vlensural Practice 100.

 

60Fauows, Dufay, 41:

You have heard the English
Play at the Burgundian court.
I have seen. Binchois in shame,
Silent, listening to therr rebecs,

47

 

COl'llal

docun

Ear—4

is inte:
comer
fauxbt
1430,(
had otl

probah

hiSpar

 

contact with English music by Binchois and Dufay at the Burgundian court, to a
documentary record of 1433:
This [passage] is almost certainly a reference to the same occasion, for the two blind
minstrels Jehan Ferrandez and Jehan de Cordoval are first recorded in the Burgundian
accounts for the grevious year, 1433; and a special payment is recorded for their visit
to the wedding. 1
1433 may not be the definitively accepted date for this event among scholars, but it
is interesting to point out that this date excludes the possibility of the second camp's
contention (i.e., faburden caused the creation of fauxbourdon), because the first apparent
fauxbourdon by Dufay, W (sum, p. 45), has been dated shortly before
1430,62 or, more recently, around 1425.63 Let us now examine whether Dufay may have
rad other contacts with the English. The two recent studies below bear on this question.
First, Lockwood observes that recent findings have generated the notion that Dufay
trobably stayed in Italy continuously during the 14203 and until 1433, when he interrupted
tis papal service with a leave of absence to Savoy and Burgundy.64
Second, Andrew Wathey is skeptical about possible English influence on the
Iontinent up to the 14305:
There is nothing to prove or disprove Dunstable's presence in France during the
1420s; from a later period, however, more conclusive evrdence can be found. . ._ .
What has been said here about the English in northern France could perhaps be said of
other connections and oppositions between large and sometimes ahenated sovereign

powers 1n medieval Europe. These connections and oppositions could give rise to
’musical links,’ but there were others whose whole orientation was different. Too

 

And Dufay, angry and frowning _
Because his own melodies are not so beautiful.

61Fariows, Dufay, 41.

62Besseler, Bourdon und Fauxbourdon, 13.

63Alejandro Planchart proposes that this Mass was written for San Giaccomo
Caggiore in Bologna around 1425. See "The Masses of Gurllaume Dufay: A Vrew of the
Ianuscript Tradition," in Pa rs Read at the Dufa umcenten Conference, ed. Allan
tlas (Brooklyn: Brooklyn College, 1976), 26-33.

64Lockwood, Music in Renaissance Ferrara 1400—1505, 39.

48

 

 

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relatior
triads 1
around
theorie:

affinity

fauxbol

fal:
voi
suc
adc

t
404~05.
AIM, 1S

 

 

rarely in these situations do we hear conclusively of written transmissions with the
potential, perhaps, to nurture new styles and experiments more positively.65

Although debates on the origin of fauxbourdon will continue among scholars, we
can conclude from the above discussions that the traditional view which cites a significant
English influence on the new style of the Continent (and especially of Dufay) should be
reconsidered And one should note that there is a high possibility that Dufay was exposed
to Italian music (with its harmonic advancement) during important periods of the formation

of his style (ca. 1420—33; 1435-36) as a young composer.

 

Another controversial topic, falsobordone, needs to be mentioned briefly here
efore concluding this section on fauxbourdon, since the former term suggests a
elationship to the latter. Falsobordone essentially involves successions of root-position
'ads in a note-against-note chordal style in four parts, and its history is traceable from
ound 1470 in Italy, Spain and Portugal.66 It was used for the singing of psalms, but
hcories regarding its origin have been controversial, especially due to terminological
ffinity with fauxbourdon.67

Recently Murray Bradshaw asserted that falsobordone was different from
tuxbourdon from the very beginning in the following ways:
falsobordoni are four-part not three-part compositions, scored for mixed not equal

voices, use root position, not first inversion triads, and because of the unmechanical
succession of chords, must have all their parts written out, not left to performers to

add by ruie.68

65Andrew Wathey, "Dunstable in France," Mg 67 (1986): 6, 31.

66See Richard Hudson, "The Folia, Fedele, and Falsobordone, " _Q58 (1972)
--05. Also see Murray C. Bradshaw, Falsobordone, MSD, no. 34 (Hiinssler—Verlag:
/I, 1978), 20.

67A5 to various opinions on the origin of falsobordone, see Bradshaw, ibid., 31-

 

68mm, 32.

49

 

 

Snmesch
dmhnnm

“d
passages a
cahnms
convinced
force of th
pmgenm
...I
shunt
ham
Spacin

music
hatmc

9W1

[m

 

 

Some scholars, including Bradshaw, seek the origin of falsobordone in the chordal

 

declamation of psalms in the Middle Ages or even in early organurn.69

Whatever its origin may be, the significance of falsobordone is that its chordal
passages are characterized by leaps of the fourth and fifth in the bass ending with authentic
cadences, thus exhibiting the harmonic advancement found in Italy.70 Bradshaw is
convinced that the development of a new cadential formula with these leaps is the driving

force of the fifteenth-century falsobordone, not just for cadences but also for inner

progressions:

. . . the composer does not write them [cadences with fourth or the fifth leaps] out as
simple cadences, but strings them out one after the other. Musicians quickly realized
that the new late 15th-century cadences--with their pleasing triadic harmonies, good
spacing, clear voice leading, and logical sequence of harmonies--made a very beautiful
musical effect Guilielmus [a late 15th-century Italian theorist] expands the simple
harmonic progressions over a larger space of time.

 

 

15th-Century Cadences

 

Like Guilielmus’s examples, the first falsobordoni are not mere settings of simple
cadences but more often of several cadences tied together.71

l—h

69See ibid., 32-34.
708cc supra, pp. 38-41.
71Ibid., 36.

50

 

 

The see
by the l
in the 12
some sc
cadence

basso Ct

the Rent
influencr

limited t

qUOtati0n
0f the CCI

Althc
histor
SCHCe
lende
ConSll
Cultul

 

 

The seemingly earliest falsobordone contains an octave-leap cadence, but this is superseded
by the use of authentic cadences in successive works. The third also begins to appear often
in the last chord.72 Octave-leap cadences found in early examples of falsobordone confirm
some scholars' view that they are transitional forms of and early attempts at the authentic

cadence. This genre survives the Renaissance, and develops into solo falsobordone with

basso continuo.73

(2) A Renaissance Source for the New Style: The Influence of Italian Humanism
The emergence of Italian humanism is the most essential factor which distinguishes
the Renaissance from the Middle Ages.74 Some scholars have observed a possible

influence of Italian humanism on renaissance music, but generally their research has been

limited to works from the sixteenth century, or the second half of the fifteenth century at the

72111151., 30, 35.

7311216,, 106-16.
74A definition of renaissance humanism rs given by Willem Elders (with a

otation from Paul O. Kristeller) 1n his "Humanism and Early-renaissance Music: A Study
the Ceremonial Music by Ciconia and Dufay,"__ TVNM 28 (1977): 69.

Although one form of humanism or another can be found in different periods of
history, the humanism of the Renaissance is considered to be humanism in the strictest
sence [sic] of the term. "By Renaissance humanism we mean merely the general

tendency of the age to attach the greatest importance to classical studies, and to
consider classical antiquity as the common standard and model by which to guide all

cultural activities."

51

 

 

 

earliest

inearly
who sta

century
reflectet
music.7

two viet

7

(see Elle]

gene
must
Calm
Fletr
In additkJ
humanism

had e
usual

77

music. Se
1 WC, VG
.eoriCSc
%

 

 

earliest. For example, Gustave Reese relates an effect of humanism on sixteenth—century

madrigals.75
But Willem Elders recently explored the relationship between humanism and music

in early fifteenth century works of Ciconia and Dufay, two of the Burgundian composers
who stayed in Italy.76 Elders' premise is that composers in Italy in the early fifteenth-
century might have been influenced by humanism, and this influence then might have been
reflected in their music, especially in terms of the connection between rhetoric and
music.77 He reinforces his hypothesis of the influence of humanism on music by citing

two viewpoints. First, it is generally recognized that all Italy was under the spell of

 

75Reese, Music in the Renaissance (New York: w. w. Norton, 1959), 130—136.
For some other scholars' views on the relationship between sixteenth-century music and
humanism, see Elders, 1_b_1ri_ , 66-68. A condensed version of this paper, with responses by
panelists at the end, is "Humanism and Music in the Early Renaissance," Report of the 12th

Congress of the IMS, (Berkeley, 1977), 883-893. (See note 49, above.) This will be
called ”Elders, Rep_ort" hereafter, while the former will be called "Elders, TVNM.”)

76Elders, TVNM, 65-101; Repprt, 883-893. Ellefsen also conjectures as follows
(see Ellefsen, "Music and Humanism," 173.):

. . . Dufay, used previously to represent Burgundian music and musicians
generally, could hardly have been ignorant of humanism and humanist thought. He
must have rubbed elbows with the prominent humanists of Italy, and they certainly
cannot have been ignorant of him. Neither could they have been ignorant of Franco-
Flernish polyphony.

n addition, Ellefsen draws the following conclusions concerning the possible existence of
lumanism in England at this time:

. . . no English connection with humanism existed except that several humanists
had expressed anti-English sentiments which investigation revealed to have been
usually aimed at English scholasts [sic] and nominalists. (See M, 249.)

77Don M. Randel and Karol Berger also observe the text expression in Dufay's
rusic. See Randel, "Dufay the Reader," in Music and Language, Studies in the History of
IIusic, vol. 1 (New York: Broude Brothers Limited, 1983), 38-68; Berger, Musica Ficta:
'heorics of Accidental Inflections in Vocal Pol hon from Marchetto da Padova to
iroseffo Zarlin (Cambridge, MA: Cambridge University Press, 1987), 177—188.

 

52

 

 

human

acknow

music c

For exa

 

numanism from this time.78 Second, scholars in the field of renaissance music generally
acknowledge the following:

. . . the very presence of composers of the Netherlands in Italy made possible a
synthesis between Northern polyphony with its often unclear text declamation and the

more homOphonic music of Italy with its generally good text declamation.79
Elders further points out some possible indications of humanistic influence on

music of Dufay and Ciconia:

a) There is a tendency to express one's individuality by mentioning his own name.

For example, Ciconia gives his name in the last lines of the poems in five of his motets

 

78Elders, TVNM, 69-71. Paul Oskar Kristeller’s various writings on humanism
are listed in Elders, ibid., 97.

79Elders, _R_epert, 892. The following are various opinions about text declamation.

First, Bukofzer's statement (in Ar N v n h R nai l -154 , 158, 160)
contradicts Elders's view:

The syllabic parlando style also prevailed in England, as the Old Hall manuscript
shows. There is therefore some doubt in assigning works of this kind to a particular
school. Almost all the pre-1430 Netherlanders cultivated the style. . . . The syllabic
parlando style is an essential feature of English motets.

Concerning this view of Bukofzer, then, Gilbert Reaney expresses the following criticism
(in "John Dunstable and Late Medieval Music in England," Segre 8 [1953]: 30):

Bukofzer [in W, 3d ed., vol. 1, 744] also defined another
type of work by Dunstable as the 'declamatory' motet. One example he gives is Quam
pulcra es. But moving, as it does, note against note, this motet in fact can hardly help
being declamatory. The use of declamation is really more a feature of style than of
form, and the motets of Petrus de Cruce and the Roman de Fauvel could also be
declamatory.

   
 
  

llefsen, on the other hand, supports Elders's viewpoint as follows (Ellefsen, "Music and
umanism in the Early Renaissance," 61):

A most significant characteristic of trecento polyphony, and one that heightened its
expressiveness, was an unprecedented attention to text declamation. All poetry of the
period was intended for recitation. In a vocally inflected language like Italian, the
addition of musical cadences to poetic recitation was an effortless step. So much so
that there grew in Italian literature a body of treeento poesia per musica intended solely
for the use of musicians.

 

53

 

 

 

 

composed
same in hi

b)
such poem
syllable qu
elided) alsr
Wright‘s st
Bologna at
well.82 E1.
("perhaps tl
university 1
and he sh0\

c) P
design of C

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In the Cl
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C0nceming
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8‘iiilt

 

composed for Padua and Venice in the period about 1390-1410, and Dufay also does the
same in his Ode to Florence, Salve flos Tuscae gentis, of around 1435.80

b) Ciconia and Dufay set quantitative poems to music, and Dufay wrote at least one
such poem himself We) in accordance with the classical theory of
syllable quantity. The frequency of elision in this poem (more than 40% of the words are
elided) also suggests Dufay's understanding of classical writings.81 Mentioning Craig
Wright's statement that Dufay almost certainly studied Canon law at the University of
Bologna around 1424-28, Elders suggests that Dufay might have studied poetry there as
well.82 Elders further points out that Dufay's private library contains a book by Virgil
("perhaps the Aeneid").83 Elders is also almost certain that Ciconia was in touch with
university life in the sense that he was named "Magister" in fifteenth-century manuscripts,
and he showed deep interests in the scientific aspects of music. 84

c) Probably under the influence of rhetoric in "studia humanitatis," the structural

design of Ciconia‘s and Dufay's music seems to be dependent on the structure of the

 

80E1ders, TVNM, 73.
81Elders comments (11nd,, 69 and 86), quoting Paul O. Kristeller, thus:

"Classical humanism [which attaches great importance to classical studies] was . . .
certainly the most characteristic and pervasive intellectual current" in 15th-century
Italy. . . . Quantitative poetry constitutes, however, a minor part of the musical texts
in the early 1400s. Ciconia and Dufay, as well as other composers, set chiefly
metrical poems to music.

   
  
  
  
  
  

 

oncerning Ciconia and Dufay's setting of quantitative poems, see Elders, ibi_d, 86-91.

82Craig Wright, "Dufay at Cambrai: Discoveries and Revisions," JAMS 28 (1975):
86-7. Also see Elders, ibid., 75.

. 83Elders, ieid” 7 8. Thomas Mathiesen also suggests Dufay's familiarity with
crent writings. See Elders, Report, 891.

84Elders, ibid., 74. Also see Suzanne Clercx, "Johannes Ciconia Theoricien,"
nnM 3 (1955): 39-75. ‘

54

 

r

 

p061]

illust

11011

 

poem,85 and the musical declamation of a poem is perfectly understandable because of a
predominantly syllabic style. Melismatic passages also occur, but only for special
illustration of particular ideas or words such as "ornare" (in the motet, Sup remum est
mortalibus bonum).86

d) For a textual and musical climax, Dufay uses the series of fermata-marked block—
chords which seems to have originated in Italy in the early 1400s to enhance the
expressiveness of certain words (for example, a name or an important text line).87 In
addition, Burmeister later, calls it "noema," including this in the category of rhetorical

figures in W (1606). An example below is from one of Dufay's motets:

  
  
  
 
    
 
   

 

§5For example, in Doctorum principem (motet) by Ciconia, "each of the three
textual periods is introduced and closedby a short instrumental passage, or vocal jubilus. .
. (Elders, ibid., 81). Many similar examples are found in Dufay's music.

86B1tiers, Report, 884-885.

 

87The fermata was used not only by native composers such as Bartholomaeus de

Bononia and Ludbicus de Arimino, but also by foreign composers who stayed in Italy,
such as Beltrame Feragut, Guillaume Legrant, and Arnold and Hugo de Lantins. See
Elders, TVNM, 84. Charles W. Warren also says that notation of the fermata took place
toward the end of the fourteenth century, but suggests that the fermata marking is a kind of
shorthand for indicating a virtuoso improvisation which has a long tradition from the
ddle Ages, rather than for representing an unmeasured simple chordal sonority. This
suggestion comes from his study which relates the fermata to "punctus organi" and "cantus

oronatus" in early writings of the thirteenth and fourteenth centuries. See Warren,
"Punctus Organi and Cantus Coronatus in the Music of Dufay," in Papers Read at the

ufa uin enten Conferen e (Brooklyn: Brooklyn College, 1974), 133-39.

55

 

 

Elder

treatr

oft

 

Ex. III-9. Supremum est mortalibus by Dufay88

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

I 3
A m A A m ’5 m f‘.\ f.‘ m m
Fr ‘4 m A. 1 A. h
E " v “r i v u. " 3‘? u. A. 4
Eu - ge - ni - us et Rex St 315 - mun-dus!
.11 m m A f5 ’5 f!) A A m A A
“a I I 4‘1 2 'l I fil‘
1 n! v l A. l " l-Vl l I I—
7 3L "I i r :0 ‘ " If“ “I :1 1:
n I . n 0'
Eu - gt: . nt - us et Rex St gts- mun-dus!
A ’3. ’2. Q. m A ’3. m m m a
v n. l M v D a I A. ‘1:
l v 1“ 3.! I v “Q :1 n. fir]
' i f L
Eu - gc - ni ~ us et Rex Si - gis- mun-dus!

Elders concludes that all of these aspects contradict the statement that "humanistic" text

treatment appears only from later periods.

Elders is not alone in this respect. Don M. Randel, for example, supports his idea
with this observation:

Dufay's chansons show that if we scratch beneath the thematic labels with which the
poetry is usually described (or, more often, dismissed), we find that each text has its
own shape and its own meaning as surely as do texts the themes and vocabulary of
which are more familiar or perhaps simply more to the taste of later ages, including our
own. And Dufay's chansons show a composer able to recognize, interpret, and
strengthen those shapes and those meanings. Dufay knew how to use declamation,
imitation, melodic motion, register, harmonic rhythm, and even chromaticrsm 1n the
reading of his texts. As a result, each of these aspects of his music could serve as an
expressive device. And Dufay was not alone. Other composers knew and used these
same devices to the same ends, at times even in matters of striking detail.89

Indeed it is not too hard to find musico-rhetorical gestures in Dufay's music. One

of the representative passages from his songs is this:

 

88Elders, I VNM, 83; see also Guillaume dc Van, Gulielmi Dufa : era omnia,
’ 01- 1, 27. The block chords in Dufay's music are from a2 to a4, and the number of
:hords in one series ranges from 2 (the motet, Meme) to 27 (_Gfirra, No. 21).

89Rande1, "Dufay the Reader," 78.

56

 

 

CE

The text-
study.

F
1. The tn
CSpecially
‘lllestion.
2- While
hflflnonic
formado“
Cicoma at
MOROVer
text expre
COHCemjn:
whether 0
making ch

 

Ex. III-10. Helas, ma dame (N o. 45) by Dufay90

 

The text-music relationship in Dufay’s music is discussed in detail in the third part of this

study.

From the discussion of this chapter, we can reach these conclusions:
1. The traditional view that English music wielded significant impact on the Continent,
especially on Dufay, has been challenged and reconsidered, though it still remains an open

question.

2. While in Italy, it is very possible that Dufay was exposed both to Italian music with its
harmonic advancement and to the humanistic movement during important periods of the
formation of his style (ca. 1420-33; 1435-36). Indeed, the progressive harmonic style of
Ciconia and Dufay cannot be sufficiently explained only in terms of "English" euphony.
Moreover, Dufay's music often shows very clearly the composer’s intention of effective
text expression (see Chapter VIII), as some scholars have noticed, though debates
concerning the influence of humanism on early fifteenth-century music will continue.
Whether or not it can be proven that humanism--the most essential factor in the epoch-

making changes--had impacts on early fifteenth-century music, the new consciousness of

 

90Besseler, ed., Dufay: Opera omnia, vol. 6, 64.

57

 

 

the com

of a plot

 

the composer regarding text expression seems to have caused him to consider all the parts

of a piece as a whole--a fundamental change in compositional technique.

 

58

 

PART H. BACKGROUND FOR THIS STUDY

 

 

This
expressions 1
one of the rut
medieval ant
Though a del

iImportant rel

The tt
301m or net

the diatomic tl

 

 

CHAPTER IV
MUSICA FICT A

This study includes the subject of musica ficta together with various concepts and
expressions made by early theorists and also recent scholars, since musica ficta has been
one of the most puzzling t0pics in the twentieth century in relation to the examination of
medieval and renaissance music,1 and since clarifications of some problems are necessary.
Though a detailed exposition of musica ficta is beyond the scope of this study, some

important related issues are discussed

(1) The Definition of Musica Ficta
The term musica ficta2 denotes a chromatic note, , whether it is written into the
source or not, in the music roughly from the tenth to the sixteenth century, that lies outside

the diatonic theoretical gamut (G to e": musica recta3) of medieval plainchant organized by

 

1Interpretations of musica ficta have often been based on traditional writings, but
scholars' views are still divided on its interpretation and apphcation to early music.

2The first uses of the term (ficta or falsa) are by Johannes de Garlandia (ca. 1240)
. d Magister Lambertus (fl. ca. 1270). See Stanley Sadie, ed. New Grove Dictiona_ry of
l usic and Musi _ ians (Washington, DC: New Grove Dictionaries, 1980), s.v. "Musica
'ICta," by Margaret Bent, 803.

3This diatonic theoretical gamut was variously identified as musica recta (correct)
era (true), and regularis (regular) by early theorists. See Karol Berger, Musica Ficta:
l eories of Accidental Inflection in Vocal P1 to hon from Marchetto da Padova to
ioseffo Zarlino (Cambridge: Cambridge University Press, 1987), 12.

3

60

 

hCXliCill
hexacht
ChmY);

mi-fa b;

Ex 1V-

5

rim

lmaginati

St
3%, 1
61
27 (Remt

71
NOHOn, 1

 

 

hexachords.4 But as early as the tenth century, every Bb except the lowest one in the
hexachord system is admitted as part of musica recta, along with BE! in theory (Odo of
Cluny);5 thus, three semitone steps (B-C, E—F, A-Bb) in the system are always solmized
mi-fa by the hexachords built on G, C, and F (and their upper octaves).6

Ex. IV-l. The Hexachord System of Guido d'Arezzo (Microloges, ca. 1026-32):7

7.3: n tut/culls
6.n¢nmtfa calla
5.11! n all filed to
turn mifisolla

3.1drcmi/a calla
utnmifasolla

Euro—n1 “ r. l“ I" ’0‘ (a W
1* u L n—o—‘I—
U

FABCDEFGabLcdefgaabbkbccddee

 

 

 

 

 

 

 

 

 

 

4An old view on the definition of musica ficta is that it is an unspecified accidental

the score which is assumed to be applied by the performer according to rules. (See
onald J. Grout, A Hismry pf Weerern Musie, 3d ed. [New York: W. W. Norton, 1980],
31,174) But recent studies generally agree that musica ficta is not necessarily an
nwritten accidental but a note other than those in the regular system. (See Gustave Reese,

i n h R it [New York: W. W. Norton, 1954], 79; Berger, Mpsiee Ficta,
2.) Meanwhile, Bent (and Andrew Hughes) suggest a new theory that a recta or ficta
efines not a fixed pitch but a relative intervallic relation in a hexachord. In other words, a
ote can become either a recta or ficta according to a musical context. For example, E1) is a
icta in the regular gamut, but 1t will be designated as a recta in a hexachord transposed one-
legree flatwards (i. e., a hexachord with a bb signature). (See Bent, "Musica Recta and
vlusica Ficta," _IVLD, 26 [1972], 98.) But Berger asserts that Bent's notion is bold and
maginative but untenable, because early theorists clearly denote a transposed hexachordal
ystem as representing musica ficta not recta. (See Berger, Musica Ficta, 44-7, 64.)

     
    
  
  
  
 
 
 
 
 
 
  

5 See Gaston G. Allaire, The Theory of Hexachords, Solrnization and the Modal
18.112211 MSD, no. 24 (Rome: AIM, 1972), 19.

6Andrew Hughes, Manuscript Aecidentals: Ficta in Focus 1350-1450, MSD, no.
7 (Rome: AIM, 1972), 44—45.

7The example is from Richard H. Hoppin, Medieval Music (New York. W. W.
orton, 197 8) 63.

61

 

 

 

0
their user
theorists g
the need i
"not false,

11
This phenr
anything V
granted),1
need to no

Ac
necessity)
WIitings @

W
(b. 1428) c
1) The

not

2) The

 

 

Other hexachords apart from these three types are called ficta hexachords due to
their use of accidentals outside the Guidonian hand (musica ficta).8 Although several early
theorists give rules for the application of ficta to plainson g, theorists in general recognize
the need for ficta in polyphony more than in plainsong. Vitry, for example, asserts it as

"not false, but true and necessary, for no motet or rondellus can be sung without 1t.”9

The application of unwritten accidentals is left to improvisation by the performer.
This phenomenon in early music is generally due to musicians' reluctance to notate
anything which lies outside the regular theoretical system (though its use is taken for

granted), 10 and also due to theorists' notion that it is clearly self-evident; thus, there is no

need to notate it. 11

Accidentals can be considered to be added either causa necessitatis (by reason of

necessity) or causa pulehritudinis (by reason of beauty). Bent says that in theoretical
writings ficta causa necessitatis is implicitly equated with harmonic reasons and ficta causa
pulchritudinis with melodic reasons for chromatic inflection.12 Two rules by Prosdocimus
(b. 1428) concerning the "mi contra fa" prohibition may correspond to this differentiation:

1) The reduction or augmentation of octaves, fifths, and similar intervals if they are

not perfect, in order to make them perfect consonances.
2) The use of the alteration signs with imperfect consonances, evidently in

8See Gilbert Reaney, "Accidentals in Early Fifteenth Century Music," in
- M zi k 14H- .1010 Don N i imR Brn 0. 'n-x (Leuven:
atholieke Universiteit,1969),224.

9Bent, "Musica Recta and Musica Ficta," 78.
10Bent, "Musica Ficta," 804.
, 11See Berger, Musica Ficta, 162.

12Bent, "Musica Recta and Musica Ficta," 78.

62

 

 

 

accord
new "1
music:
at least

of "get

accider
Dufay“
declam

inther

\

H. Cou
Mary 1],
1600 A
Principl
(“Peck
‘0 a per

given pj
‘0 discrt
Reese, I
”collVeI]
Were ge
return!
one mjg
scribe ((
sWific:
are Sign
the W011
PCFfOrm

l
Hillel-y

 

 

progressions [especially at cadence points], in order to enlarge or to reduce them for
the best harmonic effect.1

It is interesting to point out that Berger designates the application of accidentals
according to these rules as a "conventional" usage of musica ficta to distinguish it from a
new "unconventional" usage of accidentals which, since they were not implied by the
musical context, had to be written down.14 The latter, which, according to Berger, existed
at least from the fourteenth century, includes the function of rhetorical expression in terms
of " genuine chromaticism," and this function was to remain.15

Berger analyzes a piece (Navre je sui) by Dufay in terms of unconventional use of
accidentals, and some other scholars also observe the intended use of them in some of
Dufay's works. For example, Don Randel concludes that "Dufay knew how to use
declamation, imitation, melodic motion, register, harmonic rhythm, and even chromaticism

in the reading of his texts."16

 

13Prosdocimus de Beldemandis, Tractatus de contrapuncto, CS, iii, ed. Charles E.
H. Coussemaker (Paris: Durand, 1864-76; many reprints), 199a. The translation is from
Mary Mackey, "The Evolution of the Leading Tone in Western European Music to circa
1600 AD." (PhD. diss., Catholic University of America, 1962), 115. This second
principle is closely related to general contrapuntal rules in that an imperfect consonance
(especially a penultimate one) should be altered, by contraction or expansion, to approach
to a perfect interval in the nearest way. See Bent, "Musica Recta and Musica Ficta," 7 5.

14Berger, Musiea Beta, 172-74.

15m, 174. In the Middle Ages and Renaissance, accidentals (musica ficta) in a
given piece often vary from source to source, and this instability has generally led scholars
to discredit analysis of early music focussed on the use of accidentals. (See Gustave
Reese, Mpsie in rhe Middle Ages, 352-53.) But Berger contends that although some
”conventional" accidentals could be added or eliminated by the scribe (or performer), they
were generally implied by contexts (whether they were written down or not) so that the
resulting sound of apparently "different" versions of a piece would not be as different as
one might expect. (See Berger, Mpsjeefircra, 175.) Furthermore, Berger continues, the
scribe (or performer) would generally recognize and preserve those accidentals which were
specifically intended by the composer. If the "unconventional" accidentals in a given piece
are significantly different among sources, then these "must transmit different versions of
the work, since differences in 'unconventional' accidentals could not be obliterated in
performance" (mid).

. 16Don M. Randel, "Dufay the Reader," in Music and Lan gpage, Studies in the
Hrstory of Music, vol. 1 (New York: Broude Brothers, 1983), 78. Also see David

63

 

often
ofar

hhor

In SUp
hefif
mmhi
Wdhl

actual l

 

 

(2) Functions of Musica Ficta

Andrew Hughes notices in manuscripts of the Middle Ages that an accidental is
often placed at a point of hexachord mutation rather than at the immediately preceding point
of a relevant note. 17 Therefore, Hughes interprets manuscript accidentals rather broadly as
follows:

b-fa: a) lower the pitch by a semitone
b) do not alter, if the note is already fa.
c) do not raise, e. g., cancelling a previous sharp
d) the note below will be mi and may have to be sharpened
e) sing one of the transpositions shown. .

i=t-it—mi: a) raise the pitch by a serrritone
b) do not alter, if the note is already mi
c) do not lower, e. g., cancelling a previous flat
(1) the note above will be fa andl may have to be flattened if the sharpened
note cannot be raised.

e) sing one of the transpositions shown. . .18

 

In support of his view, Hughes further states that he does not know of any theorist before
the fifteenth century who refers to the function of the accidental as the actual alteration of a
itch in spite of the fact that this effect--our modern one--is invariably one of those

vailable in the medieval system. 19

But the Berkeley manuscript (Paris anonymous, ca. 1375) mentions this usage of

tual alteration of a pitch clearly:

 

 

allows, Dufay (London: J. M. Dent and Sons, 1982), 100, and Willem Elders,
uillaume Dufay as Musical Orator," TVNM 31 (1981): 1-15.

 

17Hughes, Manuscript Aceidentels: Ficta in Focus 1350-1450, 44. Mutation is the
an ge from one syllable to another on the same pitch. This procedure became necessary
e to the discrepancy between the large number of tones in the gamut and the small
mber of syllables.

18Ibid., 51.

19Ibid., 45. Prosdocimus' second rule (move from imperfect to perfect
nsonances) clearly shows this function in medieval music.

64

ideals

 

 

Wherever the sign b is placed, the recta sound of that note on the hand should be
lowered by a major semitone and called fa. Wherever the sign # is placed the sound of
that note on the hand should be raised by a major semitone and called mi.

.Vloreover, Planchart notices that Hughes' examples of "pro-placed" accidentals (in his
nook, Mgruem‘pr Aeeidentals) for exhibiting hexachord mutations "end up always
affecting logically some note in their vicinity," although the former admits one exception
(from John of Garland) which merely indicates a mutation.21 Bent also observes that the
notion of hexachord mutation does not solve problems of added accidentals:

If any melody, however angular, can be solmised, we cannot assign accidentals on the
basis of what is or is not susceptible of solrrrisation.22

in any event, Hughes observes that "as the fifteenth century progresses, the emphasis on
he modern, narrower meaning of accidentals must increase, as the medieval system and

deals become replaced by renaissance principles."23 This statement is significant, whether

20Bent, "Musica Recta and Musica Ficta," 86. In a letter of 1524, Spataro also
vrites to Aaron about accidentals, speaking in terms of inflections which they affect:

Musicians instituted only two signs through which the naturally considered sounds
may be removed from the proper place. These signs are # [and] b. The former, #,
removes the natural sound by the major semitone up, the latter, b, effects the reverse,
that is, it removes the sound from the natural place by the major semitone down. (See
Berger, Musica Ficta, 39.)

21Alejandro E. Planchart, review of The Theogr of Hexachords, Solmization and
he Modal System: A Practical Application, by Gaston G. Allaire, in MT 18 (1974): 217.

22Bent, "Musica Recta and Musica Ficta," 83.

, 23Hughes, Manuscript Accidentals: Ficta in Focus 1350-1450, 45. In contrast
ith the modern meaning of the accidental, which affects only a single note, Lowinsky

oposes a more prolonged validity of accidentals throughout the Renaissance (Lowinsky,
Yonflicting Views on Conflicting Signatures," JAMS 7 [1954]: 193):

 

Had there been no tradition regarding the prolonged validity of accidentals, the
renaissance musicians [of the sixteenth century] could not have taken it for granted in
their surprising chromatic constructions. We are obliged to Apel for giving fresh
evidence that this tradition was already fully alive in the 14th century.

 

:ually, Tinctoris affirms the long-range effect of an internal accidental (Berger, Musica
ta l9 '

_.’

 

 

Hugl
the It
Hugl
folio

accor
1me
theon'

Berge

‘fim‘<<;n-r—nz.<:x

.Z’Stl‘l

and;
who

 

Hughes' theory of the transposition of a hexachord is acceptable or not, since it implies that
the traditional linear consideration gradually came to be untenable in the fifteeth century.

Hughes' conclusion, which is generally common among scholars,24 is also reached in the

following section.

(3) Hexachord and Musica Ficta

The original hexachord system was designed for plainchant. In order to
accommodate polyphony, it needed to be extended.25 Theorists of the fourteenth century
imply ficta hexachords, mentioning a ficta sharp and its adjacent semitone mi and fa, and
theorists of the fifteenth century begin to discuss an extension of the conventional gamut.26

Berger explains the latter phenomenon in the following terms:

At least since the beginning of the fifteenth century the limits of the sixteen-step gamut

were challenged by the introduction of non-redundant A# in every octave, not only in
the lowest one. The resulting seventeen-step gamut was advocated in Italy by theorists
from Prosdocimus to Aaron. The introduction of a# broke the barriers which had up
till then limited the gamut, since it implied that the primary function of an accidental
was to inflect and that the syllable-indicating function was derived or secondary. If
you could truly sharpen a, there was no reason why you could not truly sharpen or
flatten any other step, or even apply an accidental several times in a row. There were,
strictly speaking, no longer any limits beyond which an application of an accidental

l—E‘

If it [the sign of the round b] is placed at the beginning of the staff, the whole melody
will be sung with the soft b. If, indeed, it is placed anywhere else, the melody will be
sung with the soft b so long as the deduction which it prefaces will last.

24Bent, "Musica Recta and Musica Ficta," 77, 83.
25Bent, "Musica Ficta," 803.

26Bent, "Musica Recta and Musica Ficta," 83. Some actual music in the fourteenth

tntury up to around 1400 also made frequent use of accidentals (even D#, Db, 0“, Ab),
pecially in certain s0phisticated repertories such as that of Chantilly. However, these
cidentals remained exceptional, and there was a general decline in the number indicated in
rly fifteenth-century music. (See Bent, "Musica Ficta," 804.) Whether the profuse use
musica ficta in the late fourteenth century was due to the emergence of new ficta
xachords or not, early theorists generally criticized it "enjoining composers to leave the
plication of musica ficta to the singers." In case of Prosdocimus de Beldemandis, he
:ms to further demand "to avoid situations in which too much would be required." (See

L)

66

 

andtl

Meir
these '

fifteer

of the 1

ac uisf

ficta w

 

—>—mgh*nd_.m__ .___. - _._- _._. ,-. . .v— .

would be inconceivable. From now on, the potentially unlimited universe of musica
ficta was limited only by practical considerations. 27

Further, Bartolomeo Ramos de Pareia (ca. 1440-after 1491), a Spanish composer
1nd theorist, discards the conventional Guidonian hand, in his "world-shaking" treatise,
W (1482), in favor of an octave scale with eight new syllables.28 Along with
hese trends, a gamut of twelve steps within an octave also begins to appear during the
ifteenth century. The normal twelve-step gamut contains the five black-key steps of B9,
3“, Eb, F#, and Ab in addition to the white-key steps.29 This is a result, according to early
:heorists, of the desire to have mi-fa steps (semitones) anywhere in an octave scale. Berger
nterprets their particular choice of twelve steps within an octave in terms of a more
substantial reason:

The reason for the limitation of the number of steps to twelve only is easy to surmise.
Twelve was the largest number of steps possible within an octave if one wanted to

avoid the musically useless and troublesome commas in one' s practical gamut, o --
what amounts to the same thing--if one wanted to avoid split black keys on one' s

keyboard 3’0

Gaffurius (1451-1522) even explains musica ficta in relation to the chromatic scale

    
  
  
 
    
 
   
 
 
   
  

f the Greek Perfect System rather than to the Guidonian hand. Using a new term, musica

 

c uisita, which means additions to the natural diatonic scale, Gaffurius states that "musica

cta was introduced for 'the perfection of the harmonic instrument,’ to supply those pitches

 

27Berger, Musica Fieta, 42. Bent also says that, by the late fourteenth century,
lmisation might have become a "superfluous chore," since all chromatic progressions
pear to be available so that mnemonics are no longer necessary. (See Bent, "Musica
ecta and Musica Ficta," 83.)

28See Johannes Wolf, trans. and ed., Musica practica Bartolomei Rami de Pareia
ipzig: Breitkoph & Hiirtel, 1901, rev. 1968), 47; Mackey, "The Evolution of the
ading Tone, " 120: "It became the age-old battle of conservatives versus liberals."

29Berger, Musica Ficta, 48-49. It rs notable that an early description of this gamut
pears around 1400 in an anonymous Italian treatise, though it appears regularly, with that
cular choice of the five black-key steps, only from the second half of the fifteenth
ntury--for mstance, in Bartolomeo Ramos de Pareia' s MW aof 1482. See 1___bid.

301bit1., 48.

67

 

 

[lot

154:
advr
ElCCit

rode

on m
theor

not

1451.

”One I
Mack

the 2(

mode:
“3005:
items
Renaj

 

 

not available in the diatonic genus by borrowing from the chromatic, mixed and

enharmonic genera."31

All of these experiments reflect the growing trend towards a necessity for theorizing
the accidental inflections of all chromatic steps. The commentary of Pietro Aaron (1480-
1545) marks a final phase of musica ficta. As a theorist and ardent humanist, he strongly
advocates, in II mgeepelle in mesiee (1529), the consistently written indication of
accidentals, especially criticizing the inconsistencies of earlier generations.” This may
.eflect that, by his time, "unconventional" use of accidentals had become a norm (sppra, p.

530.33

(4) Mode and Musica Ficta
Some scholars consider the introduction of musica ficta to polyphony as "ravages"
on modality.34 Bent states that "the introduction of ficta notes into polyphony led

eorists, from the 13th century onwards (e. g. Johannes de Grocheo) to repudiate the

  
  
  
 
   
 
 
 
 
 
 
 
    
   

pplication of modes to polyphony."35 The reason for this repudiation may be, as Bent

 

31Irwin Young, "Franchinus Gaffurius, Renaissance Theorist and Composer,
451-1522" (Ph.D. diss., University of Southern California, 1954), 122, 249.

32Lowinsky, "The Function of Conflicting Signatures in Early Polyphonic Music,"
31 (1945): 230.

33Ottomar Luscinius Argentino (Musurgrg' a seu praxis musicae, 1538) states that
me can hardly bring forth a song now in which some dissonance is not admitted." See
ackey, "The Evolution of the Leading Tone," 260; also see Berger, Musica Ficta, 174.

 

34Pierre Aubry, Trouvereg and Treubadepre, trans. and ed. Claude Aveling, from
c 2d French edition of 1910 (New York: Cooper Square Publishers, 1969), 183.

35Bent, "Musica Ficta," 803. Theorists from Tinctoris' time generally discuss
odes in polyphonic music, but Harold Powers contends that they regard modes not as a
cessary precompositional assumption but a postcompositional classification for grouping
ms of a repertory. (See Harold Powers, "Tonal Types and Modal Categories in
enaissance Polyphony," JAMS 34 [1981]: 435.) This viewpoint is discussed in detail
ove, p. 23.

68

 

 

 

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Knud 1
ll
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(15%

 

 

sees it, that now "the modes are fundamentally fixed arrangements of tones and semitones"
so that chromatic inflection imposed on these arrangements alters "modal definition."36
Some scholars also assert that the leading tone originating from the use of musica

ficta further damaged those modes lacking the natural leading tone.

(5) Leading Tones
The leading tone is defined as the semitone below the tonal center, it has a tendency
to resolve upward to the tonal center. The consistent use of the leading tone is a significant
feature of the modern major and minor harmonic system.
Some scholars (such as Pierre Aubry) observe a parallel deve10pment between
modern tonality and the evolution and development of the concept of the leading tone .37

Knud J eppesen also expresses a similar thought:

The entire history of music could justifiably be written as the History of the Leading-
Tone Step: how this effect was found originally in certain Gregorian modes; how in
the beginning it was carefully avoided until gradually musicians learned to appreciate it
and introduced it in modes to which it was foreign; and how, with the transition to
polyphony, it then took an established form in the dominant-tonic cadence and finally

led to the whole Wagrrerian and Post-Wagnerian chromaticism.38

us musica ficta was not generally used to supply the leading tone in plainsong.39 In

   
   

ddition, among the eight Church modes, Lydian has a natural leading tone. But,
ccording to Mackey, it was less highly regarded for that very reason.40 Meanwhile,

ubry notes the indication of leading tones along with internal accidentals in secular

 

36Bent, "Musica Recta and Musica Ficta," 83.

37Aubry, Treuvéree and Treubadours, 137-48.

38Knud J eppesen, Counterpeint, The Polyphonic Vocal Style of the Sixteenth

, trans. Glen Haydon (New York: Prentice-Hall, 1939), 69.
39Mackey, "The Evolution of the Leading Tone," 85.

401bid., 240.

69

 

 

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Re

eig

Tht
the

(Am

and'

State:
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monophonic melodies of the troubadours and trouveres as early as the thirteenth century.41
Reaney also observes the secular associations of the Ionian mode, which is not a part of the

eight church modes but rather is just a C-major scale with its leading-tone step, as early as

the eleventh century:

The twelfth mode is a mode which, according to the textbooks, was not incorporated
into the modal system until the sixteenth century. This impression is the result of the
exclusion of the ninth, tenth, eleventh and twelfth modes fi'om the works of the
medieval theoreticians in general. They must have considered these modes inferior,
probably on account of their secular associations, for Johannes de Grocheo mentions
that secular music was not restricted to the church modes. The antiquity of the ninth to
twelfth modes, if these are what he is referring to, is attested by Aurelian's remark that
Charlemagne added four psalm-tones to the eight regular ones.

. . . that the secular associations of the Ionian mode are so marked, and that we

have found traces of it in music going back to the eleventh century. . . .42
Thomas Mch similarly notices that there is already a “dominance" of the leading tone in
the cadence structures of Machaut, Landini, and their contemporaries.43
In theory, then, the leading tone begins to assert itself, according to Mackey, with

theorists' ever- growing preoccupation with the cadential formula in discant.44 This

   
  
  
   
 
 
 
   
   
    
   

cadence, which has been frequently discussed from the Middle Ages through the
Renaissance, is the progression from an imperfect to a perfect consonance. One such
assage which describes this progression is from Marchetto da Padova (Lucidarium in arte

usicae lanae of 1317-18):

Some diaphonies or dissonances are acceptable to the ear and the mind and others are
not. The principal ones which are acceptable are the third, the sixth, and the tenth.

 

41 See Aubry, Tropv‘eres and Treubadour , 148.

42Gilbert Reaney, "Modes in the Fourteenth Century, in Particular in the Music of

uillaume de Machaut,“ in Organicae Voces: Festschrift Joseph Srnits van Waesberghe
Amsterdam: M. M. Instituut voor Middeleeuwse Muziekwetenschap, 1961), 139.

43See McGary, "Codex Escorial MS V. 111. 24: An Historical-analytical Evaluation
d Transcription," vol. 1 (Ph.D. diss., University of Cincinnati, 1973), 72.

441_bi_d,, 100-101. Franco of Cologne, in his Compendium discantus (cs 1, 156)
tes: "But when it is not possible to have useful evidently perfect or imperfect
onsonances by means of natural music, one can invent false music so that it may be
leasing.“ (The translation is from Mackey, "The Evolution of the Leading Tone," 101).

70

 

 

 

C011

1110

que

hav

thet

cho

n
Uni
Ber

Cadl

fictz

 

These, and those similar to them, are acceptable to the car because, as they approach
consonances in contrary motion, they lie in the immediate vicinity of the consonances.
When two voices form a dissonance [that is, an imperfect consonance], they must
move in contrary motion toward the consonance they seek; and the dissonance must lie

as close as possible to the consonance they approach.45

Marchetto gives examples showing that one of the steps of the imperfect
consonance may have to be inflected in order to resolve through the closest contrary
motion, that is, a minor third to a unison, a major third to a fifth, or a major sixth to an
octave. How strictly this rule can be applied to inner progressions is still an open
question.46 Meanwhile, Berger says that "the inescapable implication is that everything we
have learned about the imperfect-to-perfect progression pertains to cadences.“47

When a contrapuntal context requires the use of musica ficta, then, there are often
two possibilities in inflecting, either down (flat) or the up (sharp).48

Jean de Muris (Ars discanms, 1321) and the anonymous author of the Mug
principalia tell us to sharpen melodic leading notes.49 But according to some orher
theorists either voice may be inflected, though it is better to inflect the discant if both

choices sound good.50 Berger considers the choice of the discant significant in this case:

   
 
  
   
   

The discant is much more likely than the tenor to contain the formula 8-7-8, and since
we know that the penultimate harmony in a cadence must always contain 7 while the

 

 

451an W. Herlinger, ed., ”Lucidariwn in arte musicae planae," in mm
ef Mareheflp pf Perm; A gripper Edip'en, Trensletre’ n apd Cemmentm (Ph.D. diss.,

gniversity of Chicago, 1978), 335. See also Berger, were, 122. The brackets are
erger's.

46Berger, 321511, 122-23. Gaffurius states that the rule is obligatory only at
cadences, but Zarlino disagrees with him.

47Ibid,, 127.

43Theoretica1 writings generally imply that the cadential leading tone, like musica
icta ill general, does not need to be expressly notated. See ibid., 163.

49Bent, "Musica Recta and Musica Ficta," 90.

503cc Berger, Musica Ficta, 117-18.

71

 

 

 

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his c
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penu
will :
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doubl
that it

SUCCC

 

 

other part has either 2 or 5, it would make sense to think that the discant's 7 is the
preferable candidate for inflection, other things being equal.51

.erger also asserts that fourteenth-century evidence (e. g., Marchetto and Petrus) support
is conclusion that the sharp, not the flat, is the choice for the leading tone, and that
reorists from the time of Ramos on are overwhelmingly in favor of the use of the sharp for

idential leading tones whenever the choice is Open.52

Berger raises a question of possible alteration of the fourth degree resolving to the
fth, particularly when the fourth is present together with the second and the seventh in a
:nultimate cadential sonority. He concludes that if the seventh is sharpened, the fourth
ill also be sharpened as long as the context allows it.53 The main reason for this double-
ading-tone cadence is not that the fourth has to be adjusted to the seventh to avoid the
ltone, but that the third (an interval formed by the second and the fourth) has to be major
resolve to the fifth according to the rule prescribed by early theorists. In addition, the
ea that a tritone may be tolerated if it is prOperly resolved, is also affirmed by them.54

Berger says that we have no purely theoretical evidence to suggest when the
ruble-leading-tone cadence went out of fashion, though practical sources seem to indicate
it it did.55 However, Bent believes that the double-leading-note cadence is related to

:cessive composition, and that the gradual weakening of this latter procedure is reflected

518cc ibid., 140.

528cc 1_bie, 143-44.

5 3 hard, 152.

54According to Berger, these cadential accidentals will not cause the use of other
ttional accidental inflections. However, correcting all imperfect octaves produced by

‘nflected leading tones with additional sharps would be permitted, provided we do not
vv these additional sharps to create further melodic or harmonic problems. See ibid,

55Ibid.,152-53.

72

 

 

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in the gradual superseding of the double-leading—tone cadence by the sin gle-leading—tone
cadence in the early fifteeth century.56

In conclusion, the modal theory and regular gamut of the hexachord system,
originally designed for monophonic plainson g, began to be challenged by the emergence of
polyphony and weakened by the use of musica ficta, which was foreign to the modal
system and regular gamut but taken for granted in polyphonic music for melodic and
harmonic reasons. Moreover, the leading tone, which originated from the use of musica
ficta and asserted itself along with the deve10pment of cadential formulae from the
fourteenth century onwards, further clouded whatever modal character polyphony might
have had. Therefore, early theorisrs were reluctant to discuss polyphony in terms of
modes, and some of them began to present new systems (from the fifteenth century) such
as an octave scale with new syllables or with twelve modern chromatic steps. Thus it may
not be a coincidence that the era which saw the gradual breakdown of the conventional

system also marked the beginning of a new tonal conception: harmonic tonality.

Scholars generally agree that, from the early fifteenth century, the "modern

caning" of accidentals began to take precedence over other functions. On the other hand,
or the earlier phase, they typically disagree concerning exactly what the function of an
ccidental was, although all of their various views stress the importance of linear structure.
From the early fifteenth century on, then, the increasing use of accidentals to specify the
nflection of individual pitches reflects a shift in emphasis to attention to individual
onorities (and sometimes their relation to other vertical sonorities). This view is
ignificant in the sense of supporting the notion that successive composition gradually

ives way to simultaneous control of sonority at this time.

 

56See Bent, "Musica Recta and Musica Ficta," 99. She bases this point of view
:cutly on the change in the pattern of use of partial signatures along the lines to be
lscussed below in Chap. V.

 

73

 

 

1
"conven‘
particula
therefore
Dufay in
observe :

apparent

 

—: _— '-'- “ —-— ‘-.~__,. -o—-_-—— ,, ,_ _._ ,

Berger distinguishes this modern function as "unconventional" (as opposed to
onventional" music ficta) in that accidentals are applied according to the composer's
rticular intention (e.g., textual or rhetorical expression) not implied by the rules;
erefore, the accidentals had to be written down. He analyzes a piece (Navré je sui) by
1fay in terms of its unconventional use of accidentals, and some other scholars also
serve this same usage in some of Dufay's music. Indeed, many of Dufay's works

parently show this new deliberate control of accidentals (see Chapter VIII).

 

74

 

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CHAPTER v
PARTIAL SIGNATURESI

The appearance of partial signatures in much early music is a phenomenon which

 
  
 

. caused heated debate in the past several decades. Part of the difficulty in understanding
: 'al signatures is that early theorists generally do not take them into consideration except
one instance in which their use is criticized.2 In spite of this situation, however, this

bject should be dealt with here, because it is related to this study.

In three-voiced polyphonic music, the pattern of partial signatures which is most
-. uently found in fourteenth-century music is that of natural, natural, flat (- — b) from the
p voice down; while in the fifteenth century, a new pattern, that of natural, flat, flat (- b
, becomes predominant. Partial signatures in which the top voice has one more flat than

3 lower voices are rare.3 The discussion below concentrates first on recent scholars'

r;

1Partial signatures (or conflicting signatures) denote different accidental signatures
ifferent voices of a single polyphonic composition, roughly from the thirteenth to the
:enth century.

28cc Thomas J. McGary, "Partial Signature Implications in the Escorial Manuscript
[1. 24," M_R 40 (1979): 77.

3Karol Berger, Musica Ficta: Theories of Accidental Inflections in Vocal

phony from Marchetto da Padova to Gioseffo Zarlino (New York: Cambridge
'ersity Press, 1987): 80. See also Edward Lowinsky, "The Function of Conflicting

atures in Early Polyphonic Music," MQ 31 (1945): 227.

75

 

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for act
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assertions about the function of accidental signatures4 in early music and then on partial

signatures.

(1) Functions of Accidental Signatures
Some scholars, such as Karol Berger, recognize that the function of an accidental
ignature in early music is to make modal transpositions possible. The theoretical evidence

'ven by Berger include the following:

Marchetto da Padova, in his Lucidarium in arte musicae planae (1317-18), shows
examples of the same first-mode melody untransposed, that is, without any accidental
signature, and transposed a fourth up, that is, with a b-signature, and comments on the
examples as follows: 'A mode so transposed will be called "proper with regard to
composition," since it is formed of its proper melodic species, but "improper with
regard to location", since it is located on a pitch other than its proper one.’

erger further notices that early theorists give consistent answers when discussing the need
or accidental signatures. That is, by these indications, ”the total range of the composition

may be comfortably accommodated in notation (that is, within the range of musica vera)" or

the ranges of the parts may be comfortably sung."6
But Berger explains that the fifth and sixth modes (Lydian and Hypolydian) with bb

.gnatures (partial or whole) are unequivocally treated by most sixteenth-century theorists

: the regular modes rather than the transposed ones:7

4Berger uses the term "accidental signatures" in discussing early music as a neutral
pelation of the modern term "key signatures. 'According to him, the latter term may
ditionally be useful in that the function of a signature in early music is also to transpose a
:lody, retaining all of its intervals unchanged. See Berger, ibid. ., 58.

5Berger, mid, Gilbert Reaney also explains the use of signatures in terms of
nsposition. See "Modes in the Fourteenth Century, in Particular 1n the Music of

illaume de Machaut, " in i F hrif h mi v W r h
nsterdam: M. M. Instituut voor Middeleeuwse Muziekwetenschap, 1961), 137— -.43

6Berger, ibid,, 62.

7The majority of Renaissance theorists do not seem to conceive of a signature with
[uare b (#). See ibid.

76

 

 

 

Its

86%

sig

 

 

Pietro Aaron, in his T rattato della natura et cognitione di tutti gli tuoni di canto figurato
of 1525, attests that almost all pieces in modes 5 and 6 are notated with a b-signature
since the integrity of melodies in these modes often requires the use of b, even though
the proper forms of these modes are thereby distorted. Thus, in their various ways,
theorists reflect the tension between the theoretical tradition according to which the
intervallic species proper to the untransposed modes 5 and 6 use the square b and the

practical reality in which most pieces in these modes are notated with a b-signature.8

: should be noted that the Lydian mode with B‘3 signature appears already in the earliest
:ages of the modal system, and so this description of the use of Bb cannot necessarily be

:en as referring to the modal system's decline.9

Meanwhile, Bent, Opposing the notion of modal transposition, proposes that a flat
gnature has the function of defining the limits of musica recta; a ficta note can become a
:cta note by transposition of a hexachord:

The normal solmisation procedure for any piece of music is by musica recta,
giving a built-in system of priorities for applying editorial accidentals. What difference
does a flat signature make? Having rejected a modal basis for early fifteenth-century
polyphony, interpretations of signatures based on modal tranposition are likewise
excluded. . . .

The set of three hexachords on c, g and f represents a set of relationships. The
terminology of natural, hard and soft reflects these relationships, for the arrangement
of each individual hexachord is identical in terms of tones and semitones. Elimination
of one or more of the recta hexachords would severely restrict the available mutations
and the exercise of priority for recta, as well as producing a very different pattern of
inflection for a part with a signature. If, however, we see "key signature" as what
might be termed "hexachord signatures," this effect is overcome, and the essential set
of relationships preserved. By this reckoning, flat signatures bring about a
transposition of the basic recta system of three hexachords one degree flatwards for
each note flattened in the signature. F icta involves the transposition of isolated
hexachords for the purpose of creating chromatic notes, but transposition of recta

 

   
 
 
 
 
   

8Ibid., 60. Similarly, one of the well-known passages of Tinctoris says: "'Nor

11 [when one avoids the melodic tritone] is it necessary that the sign of soft b be added;
her, if it is seen to have been added, it is said to be asinine." (The translation is from
d., 163.) Although he refers to melodic tritones only here, some other theorists also
ply that experienced musicians do not need notated accidentals, even if they are required
vertical as well as horizontal conditions ("mi contra fa"). See i_bic_l_., 162-3.

9For example, Alma redemptoris Mater (Anti phon to the Blessed Virgin Mary) by
rrnannus Contractus, in Liber usualis, 273. See also Richard Hoppin, ed., Anthology

\ Medieval Music (New York. W. W. Norton, 197 8), 1. In addition, Frederic Homan
tices that, among plainchants, only the fifth and sixth modes frequently have melodies of
oken triads" at the cadence point, while other modes generally have conjunct melodic
g4)8ee Homan, "Final and Internal Cadential Patterns in Gregorian Chant," J AMS 17

‘ : 7S.

 

   
  

77

 

 

 

implies that the whole structure is shifted, together with its built-in rules for applying
accidentals.10

However, in Berger's view, the idea that a transposed hexachord system represents
musica recta is not correct, since early theorists (e.g., Ugolino of Orvieto) clearly denote a

transposed hexachordal system as representing musica ficta not recta.11

Today, the evidence is inconclusive yet as to whether an accidental signature
ienotes transposition of a mode or a hexachord when it is applied to a theoretical situation.
But scholars generally agree that its function is to move melodies, in a practical sense, to a
:omfortable range for the performer, or for a notation making less use of musica ficta,

ather than to satisfy some systematic rules. Varying signatures of a piece from source to

.ource may reflect this practical aim.12

 

(2) Functions of Partial Signatures

Pietro Aaron, known as the only theorist who mentions partial signatures (Aggiunta
.el Toscanello of 1523), condemns them:

I oppose also the carelessness of some composers who, without deeper consideration,
place a B-flat in one part of their polyphonic work, mostly in the lowest part. I say
that such license is forbidden and not permitted, it is not even taken into consideration
by the true musician. . . . use the signature of a flat for all other parts too, and all
melodic progressions and consonances will be immaculate, concordant, and

harmonious together, where first some of them were dissonant.13

Aaron's reasons for this rejection are, first, the inconsistent solmization of identical

lodies, and second, the resulting incongruous inflection in octaves and double octaves

lat vs. B-natural).

'__——

IOMargaret Bent, "Musica Recta and Musica Ficta," _M_Q 26 (1972).- 98.
“Berger, Musica Ficta, 44-47, 64.

”See Edward L. Kottick, "Flats, Modality, and Musica Ficta in Some Early
:sance Chansons," JMT 12 (1968): 270.

”Lowinsky, "The Function of Conflicting Signatures in Early Polyphonic Music,”
(1945): 259.

78

 

 

C0
A1

 

 

Except for debasin g the value of using partial signatures, the only theoretical
evidence by Aaron renders little help in uncovering their nature and function. Therefore a
controversy has been raised in the past several decades, principally by Apel, Lowinsky,

Hoppin, and Bent.

Apel asserts that partial signatures reflect different "tonal realms." That is, they are
"an expression of a certain polytonality, indicating straight F-major in one voice (tenor) and
the Lydian mode in others (motetus and niplum)." 14

But Lowinsky criticizes Apel's theory in that "lack of tonal unity" cannot be equated
:o "polytonality", since early composers are not governed by any systematic consideration
)f how to indicate a certain mode or modal transposition. 15 Lowinsky's conclusion is that
partial signatures are directly related to certain cadential formulae of the thirteenth through
he sixteenth centuries, because the partial signatures reflect the conflict which occurs
)etween the necessity of signatures for transposition and the leading—tone function of the

rpper voice(s):16

14Willi Apel, "A Postscript to 'The Partial Signatures in the Sources up to 1400,'"
QM 11 (1939): 40. Also see his "The Partial Signatures in the Sources up to 1450," ACM
0 (1938): 1-13.

15Lowinsky, "Conflicting Views on Conflicting Signatures," JAMS 7 (1954): 188-

16Lowinsky, "The Function of Conflicting Signatures in Early Polyphonic Music,"
12-43. Ex. V-l is from "Conflicting Views on Conflicting Signatures," 188.

79

 

 

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the So

 

 

 

_f mm‘—w‘ T“

3x. V-l. Partial Signatures (Double-leading-tone Cadence)

 

le also suggests that the change from the double—leading—tone cadence to a new single-
:ading-tone cadence, with a fifth leap in the 10West voice, is responsible for the
evelopment of a new signature with a flat in both lower voices, rather than in the lowest

oice alone.17

x. V-2. Partial Signatures (Single-leading-tone Cadence)

 

17Apel sees, in this new signature, "a stronger feeling for, and a clearer expression
'tonality'" and "an increasing tendency towards the 'heavy' realm of the b-flat which is
uivalent to a stronger stress of the harmonic basis." See Apel, "The Partial Signatures in
3 Sources up to 1450," AcM 10 (1938): 11. Ex. V-2 is from Lowinsky, "Conflicting
ews on Conflicting Signatures," 191.

80

 

 

 

befor

range

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althor
(for c
suggt
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q

 

Meanwhile, Hoppin contends that the new pattern of partial signatures appears
refore the establishment of the new cadence formula, and he concludes that the voice
'anges or tonal realms are a main factor for their use:

It is our contention that partial signatures are an indication of pitch levels lying a fifth
apart, which in turn imply the use of two modes simultaneously or of the same mode

in a transposed and untransposed position. 18

However, Lowinsky shows numerous exceptions to H0ppin's theory in the
epertory chosen by Hoppin himself.19 Bent also rejects HOppin's bitonal interpretation,
dthough she admits that signatured parts tend to occupy a pitch-range roughly a fifth lower
for one flat) than unsignatured upper parts in a single piece.20 In place of bitonality, Bent
uggests hexachordal transpositions.21 That is, the transposition (with a Bb signature)
uractically provides a lower part (or lower- parts) with more recta notes than an
nsignatured upper part (or upper parts); for example, eb becomes a recta note in the
ormer. Hughes also expresses basically the same viewpoint, but with a more substantial

xplanation: more recta flats in the lower voices (suplied by key-signatures) eliminate the

18Hoppin, "Partial Signatures and Musica Ficta in Some Early 15th-century
ogurces," JAMS 6 ( 1953): 203. See also his "Conflicting Signatures Reviewed," JAMS 9
, 56): 97—117.

191.0winsky, "Conflicting Views on Conflicting Signatures," 181-204.
20Berger is not satisfied with Hoppin’s theory either (Berger, Musica Ficta, 65):

Hoppin's discovery is most valuable, but it can in no way be taken for an explanation
of the phenomenon. Once we have established the correlation between key signatures
and voice ranges, we still have to explain why different signatures were used To say
that the use of different signatures implies the use of different modes or different
transpositions of the same mode may well be correct, but again it explains nothing,
since we still do not know why it was desirable to use different modes or
transpositions in such cases.

21Bent, "Musica Recta and Musica Ficta," 98-99.

81

 

 

 

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perfect

relatior
basical
In

Berger
became

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chance for ficta sharps in the upper parts "where these would otherwise be required to
perfect or colour intervals. "22
But the notion of the transposition of hexachords in terms of the recta- ficta
relationship is rejected by Berger (51mm, p. 78). Instead, he proposes a theory which
basically does not contradict that of Lowinsky:

In short, it is likely that the main function of 'conflicting' signatures was to provide an
automatic insurance against vertical imperfect fifths, and it is possible that they also
served to provide automatically leading tones in upper parts at some cadences. It is
easy to reconcile this with what we learned earlier, namely, that the function of a key
signature was to produce a modal transposition, once we recall that the period in which
'conflicting' signatures flourished was the period of 'successive' composition in
which individual parts fulfilled different functions, so that it was sufficient for one part
to be the mode-defining voice. . . . In a piece with different signatures in different
voices, the function of the signature in the mode-defming part [tenor] was to effect a
tranposition of the mode, while differing signatures in other parts should be
considered to 'conflict' with that of the mode-defining one mainly in order to ensure

perfect fifths against it.23

 

Berger also states that Aaron's criticism of partial signatures is understandable because it
became useless to the new age of 'simultaneous' composition where all the parts are

:onceived together minimizing the functional differentiation of individual parts.24

The designation of the tenor as the only "mode-definin g one" by Berger is not
:atisfactory theoretically, although it is true that several early theorists mention that the
enor is the primary voice in regard to the determination of the mode of a polyphonic
:omposition. Tinctoris, for example, also pays attention to the modes of other voices if

hey have different modes, or if the modal identities of other voices are asked, implying that

 

22Hughes, Manuscript Accidentals: Ficta in Focus, 1350—1350, MSD, no. 27

Rome: AIM, 1972), 51-52.
23Berger, Musica Fict , 69.
24Ibid., 68.

 

82

 

 

 

upper

IUCOIl

pania

Some

 

   
  
   
   

pper parts also can be equally categorized in terms of modes.25 Therefore, the idea of

conciliation between partial signatures and modes still may remain in question.

Thus, any solutions suggested above for the function of partial signatures do not
eem to mark the end of the controversy. But scholars generally agree with the point that
artial signatures are a result of successive composition,26 and that the change of patterns
om - - b to - b b during the early fifteenth centru'y and the eventual development of
nified signatures thereafter indicate a growing feeling for tonal unity among the voices.27
winsky regards Dufay's works as the beginning of this process,28 and Italian Music as
e culmination of it:

The decline in the use of conflicting signatures in these [Italian] sources seems to
represent a specifically Italian trend. In the collections of motets by Cipriano de Rore,
published by Gardane in Venice in 1544, 1545, and 1549, no compositions occur with
conflicting signatures. In the seven books of motets by Clemens non Papa and
Crecquillon, published by Pierre Phalese in Antwerp in 1559, however, there are a
considerable number of pieces with such signatures. An examination of the Italian
laudi shows that the use of conflicting signatures was not widespread among the native
Italian composers of the early cinquecento. . . . Italian musical feeling tended
towards homogeneous tonality, and this trend finds its logical expression in a marked

25Lowinsky, "Conflicting Views on Conflicting Signatures," 195-96.

26For example, Kottick states as follows ("Flats, Modality, and Musica Ficta in
)me Early Renaissance Chansons," 271):

The problem of flats, modality, and musica ficta in the early Renaissance chanson can
be explained if we agree that melodic requirements did indeed take precedence over
harmonic considerations. The composer used flats so that his melodies, which he
wrote in a desirable range, might be sung smoothly and correctly, avoiding awkward
intervals and melodic patterns, and fitting well with the other voices of the piece. He
was aware, no doubt, that the introduction of flats might result m a transposed mode,
but he was less concerned about it than the theorist who might later examine his piece.

27L0winsky, "Conflicting Views on Conflicting Signatures," 198:

   
   
   
  

H

. . the 'vacillating tonality' of early polyphonic music condenses into a more and
more unified tonality, to that degree conflicting signatures yield to unified signatures."

e also Apel, "The Partial Signatures in the Sources up to 1450, " A_c___M 10 (1938): 11.

28Lowinsky, "The Function of Conflicting Signatures in Early Polyphonic Music, "
See also Heinrich Besseler W
(l erlan' di schen Musik (Leipzig: Breitkopf & Hiirtel, 1950), 87-102.

83

 

 

COnt

 

 

preference for a unified signature. . . . The rise of Italian tonality and of the
rationalization of musical notation caused the decline of the conflicting signatures, a

mode of notation that had held sway for more than three centuries.
In conclusion, several points from the above discussions can be listed:
a) In early music, accidental signatures might be used for practical purposes, that is, for the

transposition of melody to a comfortable range for the performer, or for the use of simpler

notation with fewer ficta notes.

b) Theoretical evidence that the fifth and sixth modes with accidental signatures are still the
regular modes is more than an indication of the waning of the pure modal system, since,
from the very beginning, a BI) signature is used for these modes even in plainsong.

0) Though the function of partial signatures remains in question, the lack of theoretical

evidence may be indicative of their practical function, which was not in need of theoretical

 

clarification. For example, the lower part(s) could be stabilized by given signatures so that

the upper voice(s) could determine the proper interval from a prescribed lower part(s), as

Bent and Hughes contend.
d) Generally partial signatures seem to be a result of successive composition, and the

change of patterns from - - b to - b b during the early fifteenth century and the eventual

emergence of unified signatures are a reflection of the trend towards simultaneous

:onception of harmony.
:) Some scholars regard Dufay as the one who began this process. Partial signatures in

Dufay's songs are discussed in detail in Chapter VII.

 

. 29Lowinsrcy, ibid., 256, 258, 260. See also Lowinsky, "Conflicting Views on
onflrcting Signatures," 198.

84

1h:

du

Dr

Co

fol

 

 

 

CHAPTER VI
INTRODUCTION: DUFAY'S BIOGRAPHY

Dufay's biography has been published in many books and articles. But apart from
a brief biography of him, this chapter also includes some recent views on controversial
important issues in relation to his life.

While Dufay's biography has been established and documented more completely

than that of any other early musician, nothing definite is known about his career before his
engagement in the Papal Choir (1428) as a singer.

Dufay was probably born around 1400 in the vicinity of Cambrai (which at that
time belonged to the northern region of France and was under the control of Burgundian
dukes), where he was enrolled as a choirboy in 1409.1 It has been generally assumed that
Dufay left Cambrai sometime after 1414, and the lack of documentary records mentioning
rim between around 1414 and 1420 has led some scholars to conjecture that he had been in
Zonstance during the Council (1414-17).2 For example, David Fallows says the

flowing:

There is no documentation to say that Dufay was at the Council of Constance. As
already mentioned, it is merely the balance of probabilities which suggests that he
could have been there in the retinue of either Cardinal Pierre d'Ailly or Bishop Jean de

1Stanley Sadie, ed. N w r v Di ti n f n Musi i s(Washington,
‘: New Grove Dictionaries, 1980), s.v. "Dufay,” by Charles Hamm, .

2David Fallows, Dufay, Master Musicians Series (London: J. M. Dent, 1982), 18:

The Council (1414-18) was perhaps one of the most important events in the history of
fifteenth-century music. It was the largest of the councils, attended by over eighteen
thousand clerics (a staggering figure, particularly when compared with the population
of Constance at the time, estimated at less than eight thousand).

85

 

(at Ri
motet
which

impor

reside

QWCETD‘P—lp—‘l

an
Dllfay
M
Pendrr

BrOOk

 

 

 

the Malatesta family. It has been argued that he could have met Pandolfo Malatesta da
Pesaro while the latter was resident as Bishop of Coutances (1418-24) near the
Norman coast; but in fact Coutances is scarcely closer to Cambrai than is Constance.
Dufay's presence at the Council of Constance is easily explained, and it is the

hypothesis that makes the best sense of what followed.3
Scholars generally agree that Dufay's career in Italy began some time before 1420

(at Rimini and Pesaro) in the service of the Malatesta family, for whom he wrote two

metets W and W) and a chanson (W v Ili v )

which are datable as being from the years 1420-26. These works, which commemorated

important events in the family, appear to mark the beginning of his creative efforts.4

But N ino Pirrota states that these works do not necessarily guarantee Dufay's

residence in Italy before 1426 because of the following reasons:

The latter item lVasilissa ergo gaudel has been taken [by Besseler] as evidence that
Dufay was already in Italy in 1420. . . . The possibility then exists that he [Pandolfo
Malatesta of Pesaro] may have met Dufay during his short stay in Normandy, or, more
likely, in Paris, where he must have stopped in his trips to and from Coutances, and
where we would expect to find a young cleric, like Dufay, eager to get a degree. If
such a connection had been established, there would be no need to assume that Dufay
was in Italy. . . .

One reason we may have to try to narrow down the length of Dufay's Italian
sojourn is that only eight out of about ten times as many secular pieces preserved
under his name have Italian texts; this is a surprisingly low number for an assumed
span of about 15 years, mainly if these years included the time when a beginner should
have been most eager to please and make friends.

. . . to place in 1426 or 1427 the beginning of his Italian career agrees with the
already mentioned farewell to "the good wines of Lannoy," and with a benefit [a leave
of absence] obtained about this time for Dufay by cardinal Louis Aleman, governor of

Bologna.5

 

3% Also see Craig Wright, "Dufay at Cambrai: Discoveries and Revisions,"
M 28 (1975): 177.

4Hamm, "Dufay," 674; Besseler, "Neue Dokumente zum Leben und Schaffen
Dufay's," AMw 9 (1952): 162.

  

5Nino Pirrota, "On Text Forms from Ciconia to Dufay," in Aspects of Medieval

and Renaissance Music, A Birthday Offering to Gustave Reese, ed Jan LaRue (New York:
Pendragon press, 1966), 676-67. Lewis Lockwood also agrees with Pirrota. See

Lockwood, "Dufay and Ferara," in Pap_ers Read at the Dufay Centenary Conference,
Bgmklyn College, December 6-7, 1974, ed. Alan W. Atlas (Brooklyn: Brooklyn College,
76), 2.

86

 

Though Fallows tends to accept Pirrotta's dates of 1421—24 for those three works
mentioned earlier rather than the generally known dates of 142026, he is still positive
about Dufay's sojourn in Italy in the former period.6 First, concerning the question of
"Lannoy" raised by Pirrotta above, Fallows suggests that Dufay had been there for about
two years (ca. 1424-26) after serving the Malatesta family in the early 14208. Second, he

otes that the musical style of those three works reflects an influence of Italian musical

W16:
The increased probability that Dufay did indeed spend these years [1421—24] in Italy is
endorsed by the style of the three Malatesta works, all of which show strong influence
from the Northern Italian music of the early 15th century. Repeatedly the style of
Dufay's early music contradicts the assertions of those who would suggest that he

remained in France until 1426.7
William Mahrt also criticizes Pirrotta's view by arguing that the paucity of Italian

orks by Dufay does not lessen the possibility of Dufay's Italian sojourn:

This [the small number of Italian pieces by Dufay] is, however, based upon the
assumption that the Italian patrons wanted pieces with Italian texts, something that
seems less likely in the light of Resvellies vous a French ballad written specifically for

a Malatesta occasion.
Recently, some scholars even suggested that Dufay had been in Italy continuously

 

trough most of the 14208 and early 14308. The following passage by Lockwood includes

arious views which support his theory:

Conflicting evidence--biographical on the one side, textual on the other--has
clouded understanding of Dufay's early years in Italy, but recent findings suggest that
his presence in Italy was probably continuous during the 14208 and down to 1433,
when be interrupted his papal service with a prolonged stay in Savoy and Burgundy.
That he had been in Italy as early as 1420, or even 1419, is inferred by Besseler from
his wedding motet for Cleofe Malatesta; that his university studies in canon law took
place not in the North but in Bologna has recently been shown by Craig Wright, while
Planchart has argued that the most plausible years for this university attendance were

'__

 

6See Fallows, "Dufay and Nouvion-le-Vineux: Some Details and a Thought," AcM
(1976): 49. Also see Fallows, Dufay, 27.

7Fallows, "Dufay and Nouvion-le Vineux," 49.

8William Mahrt, "The Rethorical Use of Mode in Guillaume Dufay's Chansons"
rpublished Paper], 19.

87

 

 

1424-28. Immediately thereafter he would have joined the service Of Eugenius IV,
remaining a papal singer until 1433. Planchart has also found persuasive reasons for
associating other early Dufay works with patrons and institutions in Italy: e.g. the
Missa 'Sancti Iacobi', long thought tO be for the church of St. Jacques de la Boucherie
in Paris, seems more plausibly connected with the important church Of San Giacomo
Maggiore in Bologna. The emergent picture Of an extended period Of residence by
Dufay in Bologna, both as student and as member Of the papal establishment, which
resided in Bologna for long periods Of time, Offers suggestive possiblities of contact
with Ferrara.

During the five years Of 1428-33 in the Papal Choir, Dufay seems tO have

 

composed very little, although some Of his finest motets belong tO this period.10
Meanwhile, in the interim period (during which he took a leave Of absence to Savoy and
Cambrai) Of 1433-35, his output appears tO have increased remarkably:

. . . the current view Of his chronology suggests that Dufay‘s arrival at Savoy
Opened the floodgates, that after a relatively non-productive five years in Rome he

composed an enormous quantity of music in the years immediately after 1433.11
When he returned to the Papal chapel in 1435, he might have accompanied Pope
Eugene who had tO leave Rome for Florence (1435-36) and then Bologna (1436—37) due tO

a troubled pontificate.12 In this period, several works were written for use in Florence,

   
  
 
    
    
   
   

including one Of his most famous works, Nuper rosarum flores, which was commissioned

for the dedication Of the dome in Santa Maria del Fiore Cathedral in 1436.

 

9Lockwood, Music in Renaissance Ferrara 1400-1505: The Creation Of a Musical
Centre in the Fifteenth Centiry (Oxford: Clarendon Press, 1984), 39. Dufay's funeral
monument credits him with the degree without any further information. See Fallows,
DEM, 280 (n. 41). Dufay had been employed as a singer in Rome from 1428-33, and
Fallows considers this to be the only place that he might have been able tO stay for a long
enough time to finish his degree, assuming that he might have been in Laon ("Lannoy")
rather than Bologna in 1424-26. (See Fallows, 1M, 31.) Still another theory by Besseler
and Hamm is that Dufay obtained the degree in Turin at the end Of the third decade Of the
fifteenth century after he was released from the Papal Choir. (See Hamm, "Dufay," 675.)

 

‘ 10Farrows, Dufay, 34-35. Dufay received Holy Orders in 1427—28 (see Fallows,
‘ Dfirfay, 29), and was honored afterwards by benefices from churches in the north (Hamm,
" ufay," 675).

111_bid,, 43. The ballade W (1433), composed for a Marquis of
Ferrara, might show Dufay’s initial association with "the important and art-loving d'Este
family." (See Hamm, "Dufay," 675.)

”Hamm, fluid

88

 

 

After terminating his connection with the Papal Choir in 1437, Dufay returned tO

3 Court Of Savoy, and his name is found in Cambrai in a payment record Of 1439.13
'Om this time to his death in 1474, Dufay is traceable in Cambrai except during the years
151-58 when he had an association with the court Of Savoy.14 Fallows says that Dufay,
1 eminent musician at this phase, might have been in an honorary position which did not
onfine him there, thus enabling him tO make a wide trip to Other regions, as he had been
ble to dO throughout his life.15 Also in this period it appears that Dufay reached a new
reak Of creativity:

Certainly surviving sources suggest that this last visit tO Savoy gave rise to a new

spate Of song composition. Over twenty Of his secular works can be dated with some

confidence in the 14508. . . and it is as though Savoy now had the same effect that it
had had on him twenty years earlier when an apparently fairly thin period in Rome

gave way to a new burst Of creative energy.
Dufay's late Mass compositions in four voices have Often been regarded as his most
convincing achievement in the skillful handling Of four voices and the growing feeling for

harmonic tonality}.7

  
 
 
  
   
  
    
  

Dufay continued to compose in his last years, and he enjoyed a fame during his
lifetime as one Of the greatest composers Of the day.18 An example Of the high admiration

he aroused survives in a letter addressed to him in 1467 by Antonio Squarcialupi (famous

 

13m; Fallows, Dpfay, 59.
14Hamm, m

15Farrows, Du_fay, 69-72.
16m, 70.

17Hamm, "Dufay," 67 6; Amold Salop, "Jacob Obrecht and the Early Development
f Harmonic Polyphony," AMS 17 (1964): 288-92.

18Ibid. Also, in the history Of western European music, Dufay is generally

garded to be one Of the great composers. See Howard M. Brown, mm
enais ance (New York: Prentice-Hall, 1976), 27.

89

 

 

 

 

 

 

garrist and owner Of the well-known Squarcialupi Codex) on behalf of Piero de' Medici

rd his son Lorenzo.19

The foregoing discussion can be summed up as follows: first, Dufay's early career
. Italy might have influenced him tO assimilate the musical style Of that country. Some
:cent researchers even pointed out that Dufay's Italian period might have been a
ontinuous one from around 1420 to 1433. Second, his further itinerant musical life and
is unusual intellectual capacity (as seen, for example, in his studies Of Canon law and his
:ntrance tO the priesthood) might have enhanced Dufay's natural gifts. He died in 1474 as

me Of the most famous and admired men Of his era.

 

19Gustave Reese, Music in the Renaissance (New York: W. W. Norton, 1954),

90

 

 

 

 

 

PART III. ANALYSES

 

CHAPTER VII

THE NASCENT DEVELOPMENT OF MAJOR AND MINOR SCALES IN DUFAY'S
SONGS

The purpose of this chapter is to report Dufay’s significant role in the emergence of
major and minor scales. Although applying tonal terms such as these to early music
remains controversial, a number of scholars employ the concepts of fundamental tone and
of scale over the fundamental tone in connection with fourteenth- and fifteenth-century
music.1 Likewise, researchers have taken some note of the significance of notated
inflection of the third or of the leading tone in fourteenth- and early fifteenth-century music
as pre-tonal phenomena, but these and other early tonal manifestations have been discussed
only individually, in isolation.2 This chapter presents some preliminary results from
detailed analysis of notated accidentals in all Of Dufay's songs, and also in all of the songs

in three or more voices by three other composers Of the fourteenth and early fifteenth

centuries: Machaut, Landini, and Binchois.3

 

18cc Samuel E. Brown, "The Motets of Ciconia, Dunstable, and Dufay" (Ph.D.
diss., Indiana University, 1962), 88; Richard H. Hoppin, "The Motets Of the Early
Fifteenth-Century Manuscript I. II. 9. in the Biblioteca N azionale of Turin" (Ph.D. diss.,

Harvard University, 1952), 287.

2For example, see Mary L. Mackey, "The Evolution of the Leading Tone in
Western European Music to circa 1600 AD." (Ph.D. diss., Catholic University of

America), 197 2.

3Songs by Dunstable, whose works have been regarded by some scholars as the
main source for the new trend in the early fifteenth century, are excluded from
consideration in this study, since only two are existent, providing a sample that is too small
tO pemrit significant conclusions. In addition, Bukofzer maintains that in spite of
euphonious sonorities with the frequent use Of the third as a melodic and harmonic interval,
Dunstable's music in general has a "hovering and floating quality" due to his smooth but

92

 

 

As a prelude to the present study, which intends to examine scales in early music in
a systematic way, it has seemed necessary to eliminate the problem of variability of
accidentals among sources. In the case of Machaut and Landini, this has been relatively
easy, since various manuscripts of their songs have already been examined in terms of
authenticity by scholars. For example, Leo Schrade, an editor Of Landini's songs, states
that his works are nearly complete in the Squarcialupi Codex, and that it is always the
version of this collection that appears to be "authentic."4 As for Dufay and Binchois, to
each of their songs I have applied Karol Berger's theory of "conventional" and
"unconventional" accidentals in choosing a "best" source.5 For each of the four
composers' songs, then, signatures and notated accidentals from a single source have been
used for the basic statistical data. Since the selection of a best manuscript for each of
Dufay's and Binchois' songs was an important precondition for this study of scales, the

resolution of manuscript variants in Dufay's and Binchois' songs is dealt with separately in

the next chapter.

 

non-functional harmony which rarely uses dominant-tonic progressions. See Bukofzer,
"John Dunstable: A Quincentenary Report," MQ 40 (1954): 46. See also above, p. 37.

4Leo Schrade, review of Der Squarcialupi Codex, by Johannes Wolf, in Notes 13
(1956): 689. Also see Schrade, ed., The Works of Landini, Polyphonic Music of the
Fourteenth Century, vol. 4 (Monaco: Editions de L’Oiseau-Lyre), 1958. With regard to
Machaut's songs, some scholars agree on what are important manuscripts, and Gilbert
Reaney further conjectures that manuscript Kg is what Machaut himself stated as the one
which included all the works he ever wrote. Friedrich Ludwig's edition of Machaut's
songs, which is mainly based on this source, shows few accidental variants with Leo
Schrade's edition in which all known manuscripts of Machaut's songs have been taken into
consideration. See Gilbert Reaney, "Towards a Chronology Of Machaut's Musical
Works," l‘LD. 21 (1967), 87-88; Friedrich Ludwig, Guillaume de Machaut: Musikalische
Werke, Bd. 1 (repr., Leipzig: Unveriinderter Wiederabdruck), 1954; Leo Schrade, ed.,
The Works of Machaut, Polyphonic Music Of the Fourteenth Century, vol. 2 and 3
(Monaco: Editions de L'Oiseau-Lyre), 1956, and their critical notes, Polyphonic Music Of

the Fourteenth Centpg: Commentfl Notes to Vol. 2 and 3.

5Karol Berger's theory of "conventional" and "unconventional" accidentals is
discussed in Chapter III, section ( 1) of this study.

 

93

 

 

Besides the clarification Of the problem of manuscript variance in accidentals,
another prerequisite for this study was to determine the fundamental tone for each song,
since this study concerns scale above a fundamental tone. A few scholars have Observed a
grong tendency towards the establishment Of clear fundamental tones in late fourteenth-
and early fifteenth-century music, and in this regard, they have even used the modern term
"tonal centers" in both a melodic and harmonic sense.6

One step in the development towards the use of clear tonal centers has been
identified in the coordination of beginning and ending tones in many songs of the period.
According to Thomas McGary, for example, 52% (31/51) of the works in the early
fifteenth-century 99W begin and end on the same tone.7 This frequency of such
coordinationseems progressive compared to the rate of its occurrence in Machaut's and

Landini's songs, and even in those by Binchois, as the table below shows:

TABLE 1.--Coordination of Beginning and Ending Tones in Fourteenth- and Early
Fifteenth-century Works

 

 

Machaut Landini Binchois M8 E80. Dufay
45% (19/42) 37% (20/54) 40% (24/60) 52% (31/60) 63% (48/76)

 

 

 

 

 

 

 

 

 

As for Dufay, his songs fit the expectation of an ongoing progressive development, with
63% being coordinated.
In the secondary literature, another aspect of the growing tendency towards the use

of clear tonal centers has been discussed in terms of inner harmonic progressions such as I-

 

6See Hoppin, "Tonal Organization in Music before the Renaissance," in Paul A.
Pisk: Essays in His Honor, ed. John Glowacki (Austin, TX: The University of Texas,
1966), 25-37.

7Thomas J. McGary, "Codex Escorial MS v. III. 24: An Historical-analytical
Evaluation and Transcription," vol. 1 (Ph.D. diss., University Of Cincinnati, 1973), 108.

 

94

 

V or V-I.8 Indeed, many Of Dufay's songs beginning on I or V directly move to V or I,
and these progressions also occur frequently at cadences. For instance, 36% (27/76) of

Dufay's songs have V-I (octave-leap or authentic) endings,9 while this cadence is very rare

in Landini's and Machaut's songs.

(1) Identification Of Fundamental Tones in Dufay’s Songs10

In this study, I have defined fundamental tone basically as a lowest ending note.

But for five Of the seventy-six songs by Dufay,11 this method seems not adequate, since

 

8For example, see David Stem, "Tonal Organization in Modal Polyphony," Theogy
and Practice 6 (1981): 5-39; Howard Brown, Music in the Renaissance (New York: W. W.

Norton, 1976), 34-35.

91 am using the term "authentic cadence" to refer to the V-I cadence with both chord
roots in the same voice. This is to distinguish it from the so-called "Octave-leap cadence."
For an example and a historical perspective of the V-I octave-leap cadence, see Chap. IX,

pp. 149-152.
10Heinrich Besseler employed forty-one original sources for his edition of Dufay’s

songs (Guglielrrri Dufay: Opera omnia, vol. 6 [Rome: AIM, 1964]) which was in general
"accurately transcribed and beautifully printed" (See Charles Hamm, review Of Guglielnri

Dufay: Opera omnia, vol. 6, by Besseler, in _M_Q 52 [1966]: 245.) But some scholars re-
examined this edition with manuscript sources, and corrected a number of errors especially
with regard to signatures and placement of accidentals. See ibid; William Mahrt,
"Rhetorical Use of Mode in the Chansons of Guillaume Dufay" [Unpublished Papers],
22b, 47, 86, and 98-106; John W. Reid, "The Treatment of Dissonance in the Works of
Guillaume Dufay: A Computer Aided Study" (PhD diss., University of Colorado at

Boulder, 1981), 236.

11From this chapter onward, only seventy-six songs from the eighty-six (including
two opera attribuenda) in Besseler edition will be considered due to various reasons such as
questionable authenticity or incompleteness often Of these songs. These ten songs
excluded fi'om this analysis are the following:
* Invidia nirnica (No. 2): Hamm suggests that only the second contratenor of this piece is

likely to be by Dufay. See Hamm, A Chronology Of the Works Of G. Dufay Based on

a Study of Mensural Practice (Princeton, NJ: Princeton University Press, 1964), 8.

* Dona i ardenti rai (NO. 6) and Quel fronte (N o. 7): Margaret Bent proposes that these
are arrangements, possibly not even by Dufay. See Bent, "The Songs of Dufay: Some
Questions Of Form and Authenticity," EM 8 (1980): 458

* J uvenis gui puellar_n (No. 9): Hamm classifies this Latin piece in the category of motet,
although the text is secular. (See Hamm, A Chronology of the Works Of G. Dufay,
169.) Even if this piece can be considered to be a Latin secular song, however, it will
not be included in this analysis due to the following two points: two of its seven
sections are missing the middle voice and also some of the lowest voice; and Hamm's

95

 

 

each of these five songs ends on the tone a fifth higher than the one substantially
emphasized throughout the piece.

First, Nos. 14 and 44 are exceptional among Dufay‘s songs in their tonal
relationships. Both begin on D and emphasize D and A throughout, but they both end on
A. In No. 14, almost every phrase through the final cadence begins on D and ends on A.
In No. 44, the first phrase (as a textless introduction) and the "B" section begin and close
on D, and the textless postlude finally moves to A "as if [it is] an afterthought."12 William
P. Mahrt analyzes these works in terms of modal theory (interval species of pentachord and
tetrachord) and classifies them as being in the Phrygian mode, since NO. 14 emphasizes the
fourth degree (A is taken as a finalis) and NO. 44 avoids the finalis, A, until the end; both

 

dating of it as 1437-42 (Hamm, i_big, 114-15) is challenged by Willem Elders, who

suggests a date before 1433 (Elders, "Guillaume Dufay as Musical Orator," TVNM 31

[1981]: 3). This disagreement on the date is not favorable for the analysis in future

chapters which are based on Hamm's chronological groupings. These groupings

are discussed in detail in Chapter IX.

La belle se siet (NO. 12): Gustave Reese posits that only the middle voice is by Dufay.

See Reese, Music in the Renaissance (New York: W. W. Norton, 1954; rev. ed.,

1959), 44-45. See also Hamm, m, 32f.

* Je Langpis (No. 17): Bent persuasively conjectures that this piece is of English origin.
See Bent, "The Songs of Dufay: Some Questions," 45 8.

S'il est plaisir (No. 21): David Fallows regards this piece as almost certainly spurious

since it “shows considerable clumsinesses Of part-writing" and "its sole ascription is in

a peripheral and generally unreliable source." Fallows, Dufay, The Master Musicians

Series (London: H. M. Dent & Sons, 1982), 290.

* Hic impndps sunrit mpndps (No. 56): this is a 53mm in which a Latin text is
substituted for an unknown French text (See Besseler, @gLelmi Mme—mm,
115). This song will not be exarrrind in this study because it was not included in
Hamm‘s chronological ordering of Dufay's works.

* Trpp lpnp temps (No. 62): according to Fallows, this music "is a casualty of the
microfilm age: all photographs show Dufay's name on its unique source, but
examination of the manuscript itself shows that the ascription has been very carefully
erased." Fallows, Dufay, 290.

* J'ayme bien celui (NO. 86): only the contratenor part is attributed to Dufay. See Reese,
_a__Mu ic in We, 35.

12NO. 44 is a rondeau in two part form of ABaAabAB. The quotation is from

William Mahrt, "Guillaume Dufay's Chansons in the Phrygian Mode," Studies in Music 5
(1980): 95. In addition, textless introductions are dealt wrth 1n detail in Chapter IX.

96

 

F”

are seen as characteristics of the Phrygian mode.13 But in No. 44, two inner cadences are
On A.

It may be interesting to note that Leo Treitler likewise examines these works in
terms of modal interval species, but categorizes these in "D Tonality" ending on the fifth.14
This type of ending in early music is also discussed by David Stern, though his rationale is
somewhat different from Treitler’s. Stern maintains that a framework of renaissance
polyphony is formed by the fourth and fifth inherited from modal theory, but applies
Schenkerian analysis in stating that "Renaissance music is highly directional," with clear
tonal goals often realized by means of cadences, individual harmonies, and phrases with
specific functions, to the point that a large-scale l-V-I arpeggiation (in Schenkerian terms)
"may govern an entire work or section of a work."15 In addition to this arpeggiation, his
analysis also finds fundamental I-V and I-IV-I progressions, which, he says, reflect an
early stage of tonal development in which such harmonic movement is not yet fully
subordinated to V-I and I-V—I.16 Furthermore, the possibility of open endings is also
discussed by some early theorists. That is, although some theorists equate the finalis of a
mode to the ending of a piece,17 Zarlino, according to Siegfried Hermelink, does not
consider a last note to be among the reliable essential properties in deciding the mode of a

piece, since, as he states, the tenor ends occasionally also on the fifth. 18 Pietro Aaron (in

 

13Mahrr, ibid.
14Leo Treitler, "Tone System in the Secular Works of Guilaume Dufay," JAMS 18

(1965): 156-57. Treitler does not differentiate between the authentic and plagal forms of
the modes, and limits the "tonality" of Dufay's songs to four (D to G). See ibid., 153,
166.

15Stem, "Tonal Organization in Modal Polyphony," 5-6.
161m. 39.

17See above, pp. 21-22.

18See Siegfried Hermelink, Dispositiones modorum: Die Tonarten in der Musik
Palestrinas und seiner Zeitgenossen (T utzing: Hans Schnerder, 1960), 56. See also Harold

 

97

 

 

 

 

11am 1525) similarly explains the discrepancy between the ending of a piece and the
finalis of a mode, specifically in conjuction with works ending on A. 19

Indeed, there is another element that reinforces the notion that those two songs are
in D: the leading tone. In both works, three inner cadences have triads on A and all of them
indicate the use of Cil‘s.20 This major third between A and C# is quite foreign to the
interval between the fundamental tone and the third tone Of the Phrygian mode (i.e., the
minor third). Rather, C#s are leading tones to D, and these inner cadences are fifth chords

on A.21 One example is this:

Ex. VII-1. No. 14 (Je me complains piteusement: mm. 27-9)22

Sccundus

Tcrtius

 

Next, Nos. 60, 80, and 83 are far more straightforward in terms Of tonal centers,

now at the level of C. A C-triad is noticeable throughout all of these pieces including

 

S. Powers, "The Modality Of 'Vestiva i colli,‘" in W

Mpsip ip Hpnpr pf Aghpr Mendel (NY: W. W. Norton, 1974), 34.

19See Oliver Strunk, Source Readings in Music Histog (New York: W. W.
Norton, 1950), 208. Also, see Powers, "The Modality of 'Vestiva i colli,"’ 33.

20NO. 14 and No. 44 are each preserved in only one source (see Besseler, "Critical
Notes," in Gu lielmi Dufa : era mni , 30, 44).

21Actual notations of leading tones in Dufay's songs are further discussed below.

22All examples from this chapter onwards are from Dufay's works unless
Otherwise specified.

98

 

 

 

almost all occurrences at inner cadences (with the natural leading step), but final phrases
lead to G; N o. 60 and NO. 83 each has a final phrase which is used as a textless postlude.
Therefore they will be categorized as works in C which, like Nos. 14 and 44, also end on
the fifth degree.23

Tonal centers Of the seventy-six songs are as follows:

TABLE 2.-Tonal Centers and Signature Arrangements in Dufay's Songs

 

 

 

William): CW” i n r (4):
NO. 8 (b bb bb) No. 19 (- - -)
NO. 30 (- bb bb) No.77 (- - -)
NO. 34 (- b b) No.83 (- - -)
No. 42 (- b b)

No.45 (- b bb)

No. 60(b bb bb)

No.61 (- b b)

No.63 (- b b)

No.70 (- b b b); (- b b bb)24
No.74 (- b b)

No.78 (b bb bb)
NO. 80(- b b)25

D, with sigpatures (1): D, without signatures (17):
No. 20 (- b b) No.4 (- - -)
No.5 (- - -)

No. 13 (- - -

NO. 14 (- - -

NO. 15 (- -

No. 22 (- -

NO. 25 (- -

No.27 (- -

No. 28 (- -

NO 29 (-

 

23NO. 60 has signatures which use flats in each voice, but all the inner cadences on
C are supplied with the leading-tone musica ficta by Besseler. See Besseler's edition, 7 8.

24In Mahrt’s list of signatures, five songs are given different signatures from
Besseler's, and they (Nos. 26, 31, 50, 70, and 73) are indicated next to Besseler's
(above). However, the different signatures given by Mahrt in N 08. 26, 31, and 50 are
merely suggestive with given brackets. See Mahrt, "Rhetorical Use of Mode," 98-106.

25m his errata list for the Dufay: Qpera omnia, Reid notes that the Bb signatures Of
the cantus II and concprdans parts of No. 80 are missing in its third and fourth systems.
See Reid, "The Treatment of Dissonance," 236.

99

 

 

 

TABLE 2 (cont'd.)

 

 

NO. 33 (-
NO. 37 (-
No. 38 (-
NO. 43 (-
No. 44 (-
NO. 72 (-
No. 79 (-

I I I I I I I
I
I
v

 

E, with signatures (0):

E, without signatures (2):
No.24 (- - -)
No.75 (- - -)

 

W (18):

No.3 (- b b)

N O.
NO.
No.
N o.
No.
NO.
N o.
NO.
No.
N O.
No.
No.
N O.
N o.
No.
No.
NO.

G, with sigpatures (20):

NO
N O
NO
NO
NO

10 (-
16 (-
31(-

39 (-
40 (-
46 (-
48 (-
so (-

54 (-

69 (-
76 (-

85 (-

b - _)26
b b)

b b)
b b)
b b)
- bb bb)

b -); - b [b])
51 (- b b)
52 (b b b)

-bb)

64 (b bb bb)

bb)
-b)

84 (b b b)

bbb)

.1(-bb)

.11(-
.18(—
.23 (-
.26(-

No. 35 (-
N036 (- b b)
No.41 (b b b)
No.47 (- b b)

bb)
bb)
bb)

b -);(- b [b])

bb)

bb bb); (- bb [b])
32 (- b b)

We):
No.55 (- - -)

No.65 (- - -)

G, without signatures (1):

NO. 67 (- - -)

 

 

 

26This type of partial signature appears to be unusual, but the tenor (the second
lowest voice) has three indications of Bb accidentals in the inner progressrons (including

the first B), and the bass ("Bassus") has one Bb accidental. Furthermore, Besseler applies
musica ficta to all of the Other Bs. See Besseler’s edition, 19-21.

  

100

 

 

TABLE 2 (cont'd.)

No. 49 (b b bb bb)
.53 (- b b)

No.57 (- b b)

No.58 (— b b)

No.59 (b b b)

As to patterns of signatures, it is noted in Chapter V that the pattern of - - b began
to be superseded by - b b in the early fifteenth century. But in the table above, the number
of - - b is already reduced to only four (or even two).27 The table below shows the
distribution of signatures according to each pattern regardless of tonal centers. This

examination reveals a significant fact: there is a trend toward unified signatures.28

TABLE 3.--Types of Signatures in Dufay's Songs

 

Types of Signatures & Number of Songs

 

bbb -bb29 --b30

 

 

 

 

 

24 (32%) 8 (11%) 40-42 (53-55%) 2-4 (3-5%)

 

 

27Mahrt's suggestion of alternatives for the signatures of two songs (with given
brackets) in Besseler's edition reduces the number to two. See Mahrt, "Rhetorical Use of
Mode," 98-106.

28Among Binchois' three-voiced secular works (60), the pattern of - - b occupies

12% (7). See Wolfgang Rehm, ed, Die Chansons von Gilles Binchois (1400-1460),

Musikalische Denkmi'rler, Bd. 2 (Mainz: Akadenrie der Wissenschaften und der Literatur),
1957.
29Four-parr songs with patterns of— — b b,- b b b,- - bb bb,andb b bb bb

are also included.

30A four-part song with the pattern of - b - - is included.

101

 

 

 

Now, having addressed the identification of the fundamental tone for each song, we
turn to the principal finding of this chapter: namely, Dufay's use of accidentals in his songs

is significant in understanding the evolution of the major and minor system.

(2) Dufay's Use of Accidentals in His Songs

Several scholars dispute views such as that "the ancient modes gradually
disappeared until only the major and minor modes remained," since in their Opinions,
reducing the modes to two and classifying them into two categories are different It has
been observed, for example, that Zarlino (1573) and Lippius (1612) still mention twelve
modes, but maintain that "they are of two basic types according to the quality of third above
the final."31 Furthermore, Thomas Morley (1595), breaking with modal terminology
probably for the first time, divides tonality into two categories, one with minor thirds and
sixths and the other with major thirds and sixths and Coperario (1613) even designates
music as "flat song" or "sharp song."32 Thus, theorists in the late sixteenth and early
seventeenth centuries recognized the major/minor polarity. In the music itself, I find the
major/minor polarity already evident in Dufay's songs in the way he uses accidentals for

thirds and/or sixths and for leading tones.

In this connection, one possible concern might be whether accidentals used in

Dufay's works are simply the result Of habitual use of Bb and Eb signatures, which are

 

313cc Joel Lester, "Major-Minor Concepts and Modal Theory in Germany," JAMS
11 (1977): 219, 226-27. Johann Lippius contends in the following terms (ibid., 226-227):

In every legitimate primary mode, the principal proper harmonic triad is that whose
root is the same as the lowest note Of the [modal] octave. . . . Hence, we reduce
these six modes to two: one, which has the naturalis triad, the other which has the
mollis. The trinity [of modes] Of each type is formed according to the same triad--
from which the special ornaments, fugues, and cadences of harmonic song should be
chosen and formed.

328cc Robert Wienpahl, "English Theorists and Evolving Tonality," AL 36
(1955): 388-93.

102

 

 

 

basically the only two used in early music, rather than arising from an intention to alter
thirds or sixths over fundamental tones. Accidentals used in Dufay's songs will be
examined below in this chapter and in greater detail in the next chapter, but the following is

a preliminary answer specifically directed to the concern raised above.

The following is one of many examples which imply the composer's intentional use

of accidentals:

Ex. VII-2. NO. 19 (solataeeaymle: mm. 11-15)33

Ct

 

This song in C neither has signatures in all systems nor accidentals before m. 14, and no
conventional rule would appear to require the Eb in this measure. Only after this point are
some notes subject to alteration by rules (e.g., the B and E in mm. 14 and 15), creating
temporarily the minor mode in this phrase, which is the only one in the song in this mode.

This change appears to be quite intentional in that a sentence set to this phrase ("Indeed so

 

33Besseler, ed., Dufay, 36.

103

 

 

much pain does it give me that I could drown myself in the sea") expresses the despair in

love most intensely in the poem of this song.34

The use Of accidentals for leading. tones and thirds and/or sixths in Dufay's songs
on various tonal centers display that the scales (octave species) in these songs closely
approximate the major and minor scales. Furthermore, only four songs are based on scales
with little tonal orientation: two of seventy-six songs (3%) employ scales on E, which
include the diminished fifth on the fifth degree and descending leading tones;35 and two

employ scales on F without Bb signatures.

Dufay's use of accidentals in his songs is significant in comparison to fourteenth-
century music in which many accidentals are encountered on first, second, fourth, and fifth
degrees. Accidentals on the fourth degree typically occur as part of double-leading-tone
cadences, as found in many fourteenth-centurypieces, but these cadences rarely occur in
Dufay's songs. Different usages of the raised fourth in some of Dufay's songs will also be
treated below in the discussion Of the patterns of distribution of accidentals. In the
subsequent examination which involves many comparisons among works of Machaut,
Landini, Binchois, and Dufay, songs will be classified by scales, depending on the type of

third (major or minor) which is used above the fundamental tone.

 

34The translation is from William Brandt, et al, ed, The Comprehensive Study of
male, Anthology of Music from Plainchant Through Gabrieli, vol.1 (New York: Harper
& Row, Publishers, 1980), 93. The exchange Of major and minor mode within a piece in
Dufay's songs has also been interpreted by some scholoars as a rhetorical intent. See
Berger, Musica ficta, 177-88; and also see m, pp. 103-104. In addition, this song is
preserved in ten sources, and among them, six including that in Besseler‘s edition have
flats for the E in m. 14. Comparison of various sources for Dufay's songs will be reserved
for the next chapter.

35However, Winpahl notes that, "in the late fifteenth century, that period of the
greatest separation of sacred and secular works, the Phrygian achieved its greatest
popularity with a 22 percent usage in sacred compositions." See Winpahl, "The
Emergence Of Tonality" (Ph.D. diss., University of California at Los Angeles, 1953), 52.

104

 

 

 

 

2-1) The use of accidentals in scales with a major third above the fundamental tone
a) C scales: the following table shows the frequency of songs in C by the four

composers:36

TABLE 4.--The Frequency of Songs in C

 

 

 

 

 

 

Machaut Landini Binchois Dufay
C ScaTCS/Total 52% (22/42) 30% (16/54) 20% (12/60) 20% (15/76)
Natural C Scales 45% (19/42) 24% (13/54) 5% (3/60) 5% (4/76)
c Scales with 7% (3/42) 5% (3/54) 15% (9/60) 14% (ll/76)
Partial Siflitures

 

 

Ihave found it interesting that, as seen in this table, the proportion of Dufay's songs in C is
quite large, something not expected based on the Older modal view. Indeed, "Ionian" did
not receive theoretical recognition as an independent mode until as late as 1547, when
Glareanus published his Dodecachordon. Surprisingly enough, the percentages of songs
in C by Machaut and Landini are even higher than for Dufay’s songs.

The table below gives detailed statistics for the distribution of accidentals among

various scale degrees in the four composers' songs in C:

 

36Editions of Machaut's, Landini's, and Binchois' songs used in this study are as
follows: Leo Schrade, ed, The Works of Guillaume de Machaut, vols. 2-3; Leo Schrade,
ed, The Works of Francisco Landini, vols. 4; Wolfgang Rehm, ed, W

Gilles Binchois.

105

 

 

—¥—_____________M_“_____L_M.. M 7 A

 

TABLE 5.--Distribution of Accidentals Among Various Scale Degrees in Songs in C

y
1( 14% /22) 75%( /16) 25% /12) 7%(/15)

2 - - - _
3(E 23% /22) 6%(ll6) 25% la) 93%( /15)

4 82%( /22) 100%( /16) 33% /12) 20%(/15)
5( - 19%(/l6) 17% /12) -

6(A — — - 33% I15)
7(B 73%( /22) 56% /16) 75% /12) 93%( /15)
7 82% 38% / 25% / 33% /

 

This table shows that all but one of Landini's songs in C, and also many of Machaut's
songs in C give the impression of a major mode due to the absence of Ebs and Abs and the
use Of natural leading-tone steps. But this major mode impression is substantially
contradicted by the use of accidentals on various other scales degrees. Among these
accidentals, F#s in both composers' works occur most frequently. As specified separately
in the table below, the majority of these F#s are used as part Of double-leading-tone

progressions, which have generally been regarded as an outcome of linear composition:

TABLE 6.—-Double Leading Tones (DLT) in Songs in C

 

 

Machaut Landini Binchois Dufay

CScales 50% (ll/22) 81% (13/16) 33% (4/12) 0% (0/15)
with DLT

 

 

 

 

 

While Machaut and Landini use the flatted third in a distinct minority of their songs
in C, Dufay uses it in nearly every one. As for the flatted sixth in Machaut's and Landini‘s
songs in C, it is entirely lacking. But in Dufay, it is quite frequent. Moreover, with
Dufay, Flis as part of double-leading—tone progressions are not found at all, as TABLE 6
shows. TO be sure, three of Dufay’s songs in C (Nos. 45, 70, and 78) contain eight

° separate occurrences of F#s, but these have quite different functions from the F#s in

106

 

Machaut's and Landini's songs, and all but one of these F#s form part Of V/V progressions
generally preceded and followed by I or V. FurthermOre, either or both of these adjacent
sonorities to VA; are minor triads, and the juxtapositions of major and minor in these songs

seem very affective. One example is from N o. 78:

Ex.VII—3. No.78 B11 ill m v ' :mm.l-5)37

b

 

8

Indeed, a few scholars consider the interchangeability of major and minor thirds as
something typical of Dufay's harmony which foreshadows later developments. This is
particularly noted in his use of Ebs and Ebs over C. And Don Michael Randel asserts that
this mobility of the third in Dufay‘s works sometimes clearly illustrates the composer's
rhetorical intention as powerfully as anything in the later Italian madrigal. Indeed, the
change from a major to a minor third or vice versa in relation to emotional quality may be
Observed in at least eight of Dufay's fifteen songs in C (Nos. 19, 34, 42, 45, 61, 63, 70,
and 77). Of these songs, passages from NO. 19 examined above serve as a good example
(SEPT—4 PP. 103-104).

Although notated inflections for the sixth are found far less than those for the third
in Dufay's songs in C, the notated Ebs may also require the performer‘s inflection of

following Abs. Apart from these implied Abs, many notated flatted sixths in Dufay's songs

 

37Besseler's edition, Dufay, 92.

107

 

 

 

_ ~-_._ ,v '
u- u.
f———— _‘_9_p -_ ., .._. . ...._ ._ _

seem intentional, especially in relation to apparent text expression, just as do flatted thirds.
For example, in No. 77 in C, which has no signatures, there is a turn to C minor beginning
at the word "soupirer" ("sighing"). This is achieved by a notated Eb in the middle of the
song which seems also to require performer addition of Ab and even Bb. The final phrase
of this song similarly uses the minor mode, apparently to express the intense emotional
quality Of the text at this point. The appropriateness of the suggested performer addition of

Ab earlier in the song is here confirmed by numerous notated flats, including two Abs.

In addition to Dufay's controlled use of the third and the sixth, another modern element
found in Dufay's songs in C is the notated leading tone. Among his songs in C with
signatures which flatten the seventh degree, 45 % (five Of eleven) have some notated
leading tones in inner progressions. Additionally, natural leading tones are maintained in
most inner and final cadences, with movement from the seventh to the eighth degrees being

given to the superius, which generally does not have signatures.

 

 

With regard to Binchois' songs in C, percentages in the distribution Of accidentals
among various scale degrees are generally closer to those Of Machaut than to those Of

Dufay.

Sumnring up, C scales of the three composers (Machaut, Landini, and Binchois)
are close to modern C major scales, but with a qualification due to their frequent use of
double leading tones. Many Of Dufay's C scales incorporate minor thirds and/or sixths,
but this does not necessarily mean that they are any less progressive. Dufay's use of
accidentals in C scales weakens the assumption that a major scale evolved from Ionian or
Lydian, and apparently illustrates his recognition of the quality of the third and the sixth
above the fundamental tone.

b) F scales: the frequency of songs in F by the four composers is seen in the

following table:

 

 

 

.F .11 ~n£ ~n4em4 ~<J~6~nl~

 

 

 

TABLE 7.——The Frequency of Songs in F

otal 2% (/54)
FScales 2% /42)

Scales with - 12% ( /60)
Signatures

 

F scales without signatures are few in all the four composers' works, and all of these
except one of Landini's songs contain Bb accidentals. In additiOn, among Landini's songs,
only F scales have signatures.

No flatted thirds or sixths are found in Machaut's, Landini's, and Binchois' F
scales. In spite of this "natural" character, including natural leading-tone steps, these scales
are not very close to major scales due to accidentals used on various scale degrees, while

accidentals are more consistently used in Dufay's F scales:

TABLE 8.-—The Distribution of Accidentals Among Various Scale Degrees in Songs in F

5%(

25% 35%

 

As in the case Of C scales, the minor third (Ab) is found in Dufay's F scales along with

major thirds.

c) G scales: The frequency of songs in G by the four composers is as follows:

109

 

 

TABLE 9.-The Frequency of Songs in G

 

 

 

 

 

 

Machaut Landini Binchois Dufay
GscaleS/Total 12% (5/42) 11% (7/54) 42% (25/60) ' 28% (21/76)
Natural G Scales 7% (3/42) 11% (6/54) 3% (2/60) 1% (1/76)
G Scales with 5% (2/42) - 38% (23/60) 26% (IO/76)
Partial Siglatures

 

 

 

The scale on G would practically be a major scale if the leading tone is applied.38
Indeed, all of Landini's G scales are without signatures and include leading tones in inner
or final progressions, but, as do his C and F scales, many (4/5: 57%) also contain double
leading tones.

As is seen in the table above, the majority of Dufay's and Binchois’ and two (40%)
of Machaut's G scales have Bb signatures. Among these signatured songs, Machaut's and
Dufay's songs more closely approximate the minor sonority, since those two songs
(100%) of the former and eleven (52%) of twenty of the latter have some flatted sixths
along with flatted thirds while only two (9%) of twenty—three of Binchois contain flatted
sixths. But in the case of Machaut, again many double leading tones appear. The

summary of accidentals used in all the four composers’ G scales is as follows:

38See also Mackey, "The Evolution of the Leading Tone," 113:

One element [in cadence points] is becoming constant in making itself felt and heard--
the subsemitonium--in all modes except the Phrygian [in the early fifteenth century].

110

 

 

TABLE 10--The Distribution of Accidentals among Various Scale Degrees inSongs in G

l( -
2(A -
3(B 33%

4 (as DLT) 67%

5 _
6 -
7

 

6)
/6)

Y

4% ( /25) 5% ( /21)

96% /25) 100% /21)
8% 5% ( /21)

8% 43% /21)
44% 38%

In addition, three more of Dufay's songs include notated C#s, but these C#s are not double

leading tones. All of them produce V/v preceded and followed by I or V. One example is

this:

Ex. VII-4. No. 41 (Ppur cg gue veoir je ne puis: mm. 7—9)39

 

d) Bb scales: among songs of these four composers, these scales are found only in

one of Binchois' and five of Machaut's. The Binchois' scale has signatures of bb bb bb,

and there are no other accidentals except one Ab. Thus, this piece is fairly close to a major

 

39Besseler, ed., Dufay, 60.

111

 

scale. But four of five Machaut' scales have partial signatures, and all five are tonally very

unstable due to the application of accidentals on various scale degrees:

TABLE ll.--The Distribution of Accidentals arnong Various Scale Degrees in
Machaut's Songs in Bb

 

 

103*) 2 (Ch 3 (Db) 4 (Eb) 525“) 6 (Gt) 7 (Ab)

 

 

 

 

 

 

 

 

 

40% (2/5) 80% (4/5) - 80% (4/5) 100% (5/5) - -

 

 

 

This discussion of scales with major thirds above the fundamental tones in songs Of
Dufay and the three other composers illustrates that those scales are far from being neutral
modal sonorities because of the alterations of various scale degrees. The impression of
major given by most of Landini‘s scales and by Machaut's C and F scales is diminished by

the frequent use of various accidentals, especially for double leading tones.

Although Machaut's and Binchois’ scales generally contain elements of either major
or minor, only Dufay's scales incorporate accidentals mainly for the third, sixth, and
seventh degrees, which are the principal intervals used in determining major or minor
scales. Binchois' use of accidentals is transitional between Machaut (and Landini) on the

one hand and Dufay on the other.
2-2) The use of accidentals in scales with a minor third above the fundamental tone

a) D scales: the frequency of songs in D by the four composers is as follows:
TABLE 12.-~The Frequency of Songs in D

 

 

 

 

 

Machaut Landini Binchois Dufay
D scales/Total 21% (9/42) 44% (24/54) 20% (12/60) 24% 08/76)
Natural D Scales 12% (5/42) 44% (24/54) 12% (7/60) 22% 07/76)
D Scales with 10% (4/42) - 8% (5/60) 1% (1/76)
Partial Signatures .

 

 

 

This table shows that all of Landini's D scales,like his C and G scales, are without

signatures. Further similarities can be discovered among these. First, his use of D scales

112

 

 

 

 

 

corresponds more closely to a major scale than to a minor scale, unlike the normal tendency
for Dorian. That is, twenty-one (86%) of twenty-four songs contain F#s, while Bbs are
virtually non-existent, and eighteen (75 %) of twenty-four have notated leading tones (Ci‘s).

Second, many notated double leading tones are also found in D scales (58%: fourteen).

All of Dufay's D scales except one are likewise without signatures, and nine (50%:
5, 13, 14, 15, 20, 22, 33, 41, and 43) Of eighteen songs with and without signatures have
some leading-tone sharps. What makes these scales distinct from the D scales of Landini
(which closely resemble a major scale) is that along with natural minor thirds, seven (41%:
5, 15 , 22, 27, 29, 37, and 43) of seventeen without signatures have some flatted sixth
degrees (B13) in inner progressions. This percentage is very close to that of Machaut's and
Binchois' D scales with Bb signatures (44%, four of nine, and 42%, five of twelve,
respectively). Accidentals in D scales of the four composers are summarized in the table

below:

TABLE 13.--The Distribution of Accidentals among Various Scale Degrees in Songs in D

1 - - - -

2(E 11%(/9) - - 6%(/18)
3 78% I9) 88% /24) 58%(/12) 17%(/18)

4 (as DLT) 33%( /9) 58%( /24) 8% ( /12) 6% ( /18)
5 (A - - - '

6 (B 89% /9) 4% 58% ( /12) 44% / 18)
7 100% 75% 33% / 50% /

 

One of Dufay’s songs in D contains a G# as a double leading tone. But this usage even in
this only one song in D (No. 25) may not still be Dufay's, since it is a "combinative" song,

which refers to a work that quotes pre-existin g textual and musical material in various

113

 

 

 

ways.40 In addition, Dufay‘s use of a few F#s in this scale is apparently related to text.
Thee of his songs (Nos. 5, 15 , and 43) have four separate occurrences of F”, and all but
one of these F#s are part of D-major triads juxtaposed with G-minor triads. In No. 5, for
instance, this change from major to minor is made at the word "misery" ("h/liseria"). This
song includes one exceptional F", the one which does not form a D-major triad, as
mentioned above, and its use seems also intentional. That is, the melodic dim. fourth from
Fii to Bb in mm. 77 and 78 occurs at the words "earth and heaven" ("terra e tu del ciel").

Except for these four cases, F‘is are not found in Dufay's songs in D.

Binchois' twelve songs in D are generally midway between Dufay's and Landini's
songs in that some songs approach major and some minor. Five of Binchois‘ songs in D
contain both F#s and Bbs, but the tendency to use these accidentals together for text

expression seems not as strong as with Dufay.

Machaut's D scales seem the least progressive among these four composers with a
pattern of accidentals which approximates neither major nor minor. Landini's scales in
general, with their major thirds and sixths, undermine the view that Dorian (or Aeolian) is
the direct ancestor of the modern minor scale, although many of Dufay's and Binchois' D

scales appear to imply it.

b) E scales: songs in E are exceptional. Among the four composers' songs, only
two, both by Dufay, are in E. Several scholars relate the E scale to the expression of a
certain textual affect via that scale's inherent tonal instability due to the diminished fifth
from B to F341 But it is difficult to know whether this occurrence is significant or not,

since the sample of songs in E is so small.

 

.. 40See Fallows, Dufay, 238; and Maria R. Maniates, "Combinative Chansons in the
Dijon Chansonnier," JAMS 23 (1970): 228-250.

 

41Bernhard Meier, "Die Handschrift Porto 714 als Quelle zur Tonartenlehre des 15.
Jahrhunderts," Mi) 7 ( 1953): 175-97; Mahrt, "Rhetorical Use," 1-106.

114

 

 

 

 

 

c) A scales: only one song by Landini and two songs by Binchois' are in A. All of
them are without signatures, but Landini's A scale contains C‘is, F#s, and G#s (leading
tones). Thus, the A scale of Landini appears to correspond to the major scale, as do his D
scales. But inner double leading tones are found in it, and they are other than on D#s

(fourth degrees), implying ambiguity in terms of tonal center.

In summary, Dufay's uses accidentals mainly for the third, sixth, and leading tone
in his songs in ways that illustrate his comprehension of major and minor quality in various
scales. A particularly interesting aspect Of this is his occasional interchange of the major
and minor third and/or sixth within a piece, which some scholars have related to a rhetorical
intent Dufay's use of accidentals in his songs marks an early evolutionary stage of the
major/minor system long before the Old modal theory becomes an anachronism.
Furthermore, the nascent development of the major and minor scales by Dufay corresponds
to other progressive features in his songs, such as the use of clear tonal centers,
simultaneous conception reflected in the employment of single leading tones, and new
harmonic progressions.

The ancestry of the modern modal scales may be traceable even in Machaut's and Landini’s
songs, but in their music, clarity of major or minor character is much diminished by the
frequent use of accidentals also for scale degrees other than the third, sixth, and seventh.
Binchois' use of accidentals in general is transitional between that of Machaut and Landini

and that of Dufay.

115

CHAPTERVIII

THE RESOLUTION OF THE PROBLEM OF ACCIDENTAL VARIANCE AMONG
SOURCES IN DUFAY'S SONGS

This chapter is basically intended to complement Chapter VII, which deals with the
nascent development of major and minor scales in Dufay's songs. That is, in order to
study scales in Dufay's songs in a systematic way, it seems necessary to eliminate the
problem of variability of accidentals among sources.1 In addition to this purpose, this
chapter is significant in its own right, especially with the discussion of text expression in
Dufay's songs in connection with the use of accidentals.

As for Dufay, to each of his songs in multiple sources I have applied Karol
Berger's theory of "conventional" and "unconventional" accidentals in choosing a “best"
source. For each of his songs, then, signatures and notated accidentals from a single
source have been used for the basic statistical data in this study. To be sure, in Besseler's
edition (vol. 6), each of Dufay's songs in multiple sources is based on his own selection of
the main source, which he determined by various musical and non-musical
considerations.2 My choices, resulting from the examination of accidentals in multiple

sources, with few exceptions, coincide with Besseler's. This coincidence is very important

 

1The resolution of this problem in Machaut's and Landini‘s songs has already been
discussed above, p. 92. Meanwhile, Dufay‘s songs are treated separately here due to the
length of discussion. The problems in Binchois' songs are far less complicated than those
in Dufay's songs, but they will be discussed in this chapter (infra, p.120) also, since the
basic method used in analyzing Binchois‘ songs is the same as the one used for Dufay‘s
songs.

2Heinrich Besseler, ed, "Critical Notes,” in Dufay: Opera omnia, vol. 6 (Rome:
AIM, 1964), 24—64.

116

 

 

 

for Chapter VII. But, to understand its significance, a brief summary of Berger's theory

should be dealt with first.

(1) A Summary of Karol Berger's Theory on Accidentals in Early Music3

To identify the manuscript which, among various manuscript versions, most
closely accommodates the composer's intention, Berger classifies accidentals into two
categories. The first group, named "conventional," consists of those accidentals which
might be generally understood from the context, whether they were written down or not, so
that the resulting sound of apparent differences among sources would not be as different as
one might expect. Meanwhile, the second group, named "unconventional," consists of
accidentals which were not bound to conventional rules and, therefore, needed to be
specifically notated by the composer.4 Thus, the scribe or performer would generally
identify and maintain those. After preliminary musical and non-musical considerations,
such as significant differences among sources and geography of sources, the final step for
determining the most "authentic" version of a piece is, according to Berger, to scrutinize the

identified unconventional inflections in terms of musical-rhetorical relationship.5

As for Dufay's songs, it is indeed significant that many of their unconventional

accidentals are apparently related to their texts, and that my choices of best sources for the

 

3Karol Berger, Musica ficta: Theories of Accidental lnflections in Vocal Polyphony
from Marchetto da Padova to Gioseffo Zarlino (Cambridge: Cambridge University Press,

1987), 162-88. Berger's theory on accidentals in early music is briefly mentioned also in
Chapter IV, section (1).

4Berger posits that this "unconventional" usage of accidentals existed at least from
the fourteenth century. See Berger, ibid., 174.

5The relevance of considering Dufay's possible rhetorical intentions in his songs is
also affirmed by Don Michael Randel, who asserts, from his study of the poetry and music
in five songs by Dufay, that "the view that only in the sixteenth century did music and
poetry achieve an appropriate union," should be discarded. See Don M. Randel, "Dufay
the Reader," in Music and Langpage, Studies in the History of Music, vol. 1 (New York:
Broude Brothers, 1983), 75.

117

 

 

 

songs with variance in unconventional accidentals among sources, based on Berger's
methodology, generally correspond to Besseler's main sources. In other words, sources
which preserve the composer's intentional accidentals most faithfully are also generally
those which contain the fewest errors, changes, or omissions in text and music.
Furthermore, many of these unconventional accidentals are those which contributed to the

new tonal sound, as discussed in Chapter VII.6

(2) Manuscript Variants of Accidentals in Dufay's Songs in General
With regard to my examination of Dufay's songs, of the eighty-six songs in
Besseler's edition, I have omitted ten for various reasons such as questionable
authenticity.7 The remaining seventy-six I have classified into five categories, as seen

below:

TABLE 14.—-The Classification of Dufay's Songs According to Variance in Sources and
Source Inflections

 

 

 

 

 

 

 

 

 

Dufay's 76 Songs
38 38
Preserved Preserved in Two or More MSS
in Single 8 8 5 17
MSS No Variance One Variance in Two or More Variances in
Among MSS "Conventional" Variances in "Unconven-
Accidentals Accidentals "Conventional" tional" Acci-
Accidentals dentals and/or
Accidental
Signatures8

 

 

 

 

Thirty-eight of the songs occur only in single sources. Of the remaining thirty-

eight which have multiple sources, twenty-one have no variants in manuscript

 

6See especially pp. 103-104.
7Various reasons for omitting these ten songs are listed above, pp. 95-96.

8For the usage of the term "accidental signature," see above, p. 76.

118

 

 

accidentals or vary only in "conventional" use of accidentals. This leaves just
seventeen songs which involve conflicts in the use of "unconventional" accidentals
and/or signatures among various manuscripts. In these seventeen songs, Dufay‘s
apparent use Of unconventional accidentals in relation to text can frequently be
Observed, and can be an important guide in the final stage of analysis for discovering
the manuscript version in which the composer‘s intention is reflected most faithfully.
After a brief examination of songs with no variants in manuscript accidentals or with
variants only in conventional accidentals, songs with conflicts in the use of

unconventional accidentals and/or signatures are discussed in detail.

(3) Songs without Accidental Variance9 or with Variance only in Conventional
Accidentals10

Differences in the use of accidentals among various manuscript versions in this
group of songs might generally have been removed in performance, since "conventional"
accidentals are implicit in the context (e.g., ”mi-contra-fa") if they are not notated. A good
example is No. 85 , which is preserved in four sources. Among these, only two sources

(manuscripts Pix and Wien) give a flat to the first B note in the superius in m. 12:11

 

8 9The eight songs without accidental variances are 39, 53, 58, 60, 65, 79, 83, and
4.

10The eight songs which have just one variance only in conventional accidentals are
25, 43, 59, 68, 69, 81, 82, and 85. The five songs with two or more variances only in
conventional accidentals are Nos. 18, 33, 47, 49, and 78.

11Full citationS'of abbreviated manuscript names used in this chapter are given in
ABBREVIATIONS. See also Besseler, ed, "Critical Notes," in Dufay, xlv.

119

 

 

Ex. VIII-l. No. 85 (Seigpeur Leon: mm. 10-13)12

®

    

In m. 12 of this example, the Bb in the tenor may affect the two Bs in the superius.

Sometimes conventional accidentals appear to be given to clarify certain ambiguous
situations. One example is seen in No. 33, which is found in four sources.13 Among
these, in m. 14 of two manuscripts (Q and PR), a C (in the superius) is raised to C#: as a
leading tone. This accidental might be implicit. But if it is not given, it might be uncertain
whether a melodic diminished 4th between the C# and the adjacent F should be allowed or a
perfect fourth Should be maintained by not raising the seventh.14

In addition, some songs in this group contain unconventional accidentals, but they
Show no discrepancy among their sources. For example, each of the three sources of No.

47 has an unconventional accidental (B1)) in m. 17.15

 

12See Besseler, ed, ibid., 101.

13"Critical Notes," in Dufay, xli.

14Dufay, 55.

15"Critical Notes," xlvi.

120

 

Regarding these thirteen songs which have just one variance only in conventional
accidentals, then, manuscripts with the notation of these accidentals are chosen as the best
sources for this study. That is to say, since, in general, more conventional accidentals than
those that are explicitly notated would be incorporated in actual performance, the sources
which have the largest number of such notated accidentals would be closest to the
performed sound. Main sources selected under this guideline coincide with Besseler's best
sources except for two songs. But in both of these songs only one fewer Bb (as a
conventional accidental) appears in Besseler's main sources than in his secondary sources,
and this minor difference does not affect the data of this study, which does not consider the
quantity but just the presence of accidentals in a piece. Therefore, for these thirteen songs,

there would be no conflicts between results in this study and those obtained by the

examination Of Besseler‘s main sources.

121

 

 

 

(4) Songs with Variances in Unconventional Accidentals and/or Accidental Signatures16

The discussion of the seventeen songs17 Of this group will be divided into two
sections below.

a) Ten songs with variances in unconventional accidentals among sources are: Nos.
5, 8, 10, 34, 37, 55, 61, 63, 70, and 74.

Steps for finding best manuscripts among various sources are suggested in
Berger's illustrative analysis of one of Dufay's songs, NO. 34.18 He considers one (Em)
of the three manuscript versions as most inauthentic because it differs from the other two in
lacking accidentals, signatures, and text (except for an incipit in the superius). This view
can also be supported by non-musical considerations, such as the geography of the

manuscript. 19

Then, Berger further scrutinizes the identified unconventional inflections in the

other two manuscripts (in _Q and _P_R) in terms of musical-rhetorical relationship. According

 

16AS for Binchois, only seven songs among sixty are in the category Of having
variance in unconventional accidentals and/or accidental signatures. Am0ng three songs,
Nos. 19, 22, and 48, with variance in unconventional accidentals, Wolfgang Rehm's main
sources (in his Die Chansons von Gilles Binchois [Mainzz B. Schott's Sohne], 1957) of
the latter two songs are those which also include unconventional accidentals. But in the
case of NO. 19, one of his secondary sources in collection _R_ has been used in this study as
the best source, since it contains an unconventional accidental, in addition to three more
conventional accidentals than the primary source. With regard to key signatures, each of
four songs (N 08. 11, 25, 41, and 47) has one source which varies from the other sources.
But these differences are not taken into serious consideration here, because in three songs
(Nos. 11, 25 , and 41) these manuscripts are inferior anyway, being without texts, and the
other one (No. 47) belongs to a collection in which four out of eight songs (including this
87%ng) by Binchois are not complete (e.g., lacking some voice parts). See ibid., 66-68 and

-72.

17The seventeen songs in this group are 5, 8, 10, 19, 24, 34, 36, 37, 48, 52, 55,
61, 63, 70, 73, 74, and 76.

18Berger, Musica ficta, 177-88.

19The collection (the second layer) in E_m_ was "written in the monastery Saint
Emmeram at Regensburg." Ibid., 187.

122

 

 

to him, the first part Of the song (the 8 section of the rondeau) is clearly divided into two
sections not only relating to but also contrasting to each other, especially in emotional
content and motivic structure. That is, the martial triadic trumpet fanfare of the opening
motif is expressive of the line "I am rent by a penetrating dart which has pierced my heart
through and through," but the second line tells what in effect this weapon is: "my lady
who, with her soft, kind glance, has stabbed it to the quick." The contrast from the first
half is pronounced, not only by inversion of the direction of the intervals of the initial motif
(form C-G-E-C to G-C-E-G) but also by the introduction of some Ebs (the song is in C)
starting from the word "soft" (m. 18). Thus, he concludes that, in this context, the Eb in
m. 3 (as found in P_R) does not correspond to Dufay's intention, and the other source (O)

which has Ebs only in the second part is "authentic."

Although Berger has pointed out musical-rhetorical relationship in just this one
song, Dufay's apparent use of accidentals in relation to rhetoric is not an isolated incident.
In fact, most of the songs with "unconventional" accidentals employ them in a way that
corresponds to the ten. Among Dufay‘s ten songs with variances in unconventional
accidentals among sources, there are four (Nos. 61, 63, 70, and 74), in addition to
Berger's example above, that illustrate the interface between rhetoric and the alteration of

Ebs and natural Es.20

 

20A change from C major to the minor mode (C minor and G minor) in two
phrases of No. 19 in connection with its text is discussed above, pp. 99-100. No. 19 is
preserved in ten sources, and, except for the four which are either in keyboard tablature or
have considerably different melodies from the others, all of the rest of the sources contain
unconventional accidentals (the Eb in m. 14 in the contratenor). Randel also examines the
shift of modes in relation to text expression in NO. 80, which is in a single source (see
"Dufay the Reader," p. 72). Among other songs in single sources, Nos. 42, 45, and 77
also show similar use of accidentals for apparent text expression. One illustrative passage
from N O. 45 is given above, p. 57.

123

 

 

 

 

First, No. 61 is preserved in four manuscripts, although one in En; does not have
the contratenor.21 Each of the other three manuscript versions with the complete parts,
then, has an unconventional accidental, the Eb in m. 26 of the contratenor. Randel asserts
that the phrase beginning in m. 26 is the focal moment in this song in terms of form and
expressiveness.22 That is, according to him, although C minor here is not related to
weeping or sighing, its use in the context is compelling. Especially in the first two
measures of this phrase, the superius, which intones the first three syllables on C in a

speechlike manner, is laid below the tenor and contratenor:

Ex. VIII-2. No. 61 thaindre vpus vueil: mm. 25-30)23

Q?

 

Ct

8

In addition to the Eb in m. 26, another unconventional accidental, the Eb, in m. 8 in
two (Q and E53,) out of three sources may also be the composer's intention, considering
Randel's analysis. He asserts that the second line of this song, which starts from the latter
half of m. 4, has an unusual Structure in terms Of syllabic settings, which results in a
noticeable change in terms Of declamation. With the Eb in m. 8, C major is temporarily

changed to C minor, and the passage then moves to G major before returning to C major

 

21Besseler, ed.,"Critical Notes," in Dufay, li-lii.
22Randel, "Dufay the Reader," 75.

23Besseler, Dufay, 79.

124

 

 

 

 

again in line 4 (m. 13), which, according to Randel, returns to a syllabic style similar to
that of line 1. Thus, these changes of key correspond to the style of declamation in this
song. Between these two manuscripts in Q and _E_sc_:, only the one in Q (Besseler's main
source for No. 61) has complete stanzas. Thus, manuscript Q, which has both of the

unconventional Ebs and also has complete stanzas, seems to be the best source.

The next song with natural E8 and Ebs is No. 63, which survives in five
manuscripts.24 The text of this song is about New Year's greeting to the poet‘s beloved,
but "even when a May-song or New Year's greeting [in Dufay‘s songs] seems to avoid"
subtle chivalrous love, "the usual topic is soon re-introduced, directly or indirectly,"25 as
is seen in the final sentence of No. 63, "I offer you body and soul."26 Except for one in
133 in keyboard tablature, and another in Em in Latin, the other three manuscript versions
share many unconventional Ebs (mm. 15, 25, 30, and 35), which cause fluctuation

between C major and C minor. Among these, versions in Esq and in apparently use

 

24Besseler, "Critical Notes," lii-liii.

25Charles Borren, "A Light of the Fifteenth Century: Guillaume Dufay," l_Vl_Q 21
(1935): 295 .

26The translation of the last sentence is mine. In No. 63, the text fiom the third to
six stanzas is missing in all the sources, but generally more than one line Of text is set to
music in early songs. The old view about this aspect of early music was that repetition of
music to new text prevents the composer from making a full association between them.
But Randel asserts that the rondeau, which was the favored form among formes fixes in the
fifteenth century, clearly differs from the ballade and the virelai in this respect. That is,
while in the latter two, "some part of the music must be repeated to new text before what is
demonstrably the end of the music is reached," in the former, "the entirety of the music is
sung before anything is repeated " ("Dufay the Reader," 46-47):

It is in the nature of the rondeau refrain to be an essentially complete poem, perhaps to
be extended, refracted, diffused, but always to be both beginning and end And the
music Of the refrain is, of course, also complete. To sing the refrain is thus to sing all
of the music and, in essence, all of the poem. In this way, the composer’s task in
setting a rondeau becomes to set the refrain--in the fifteenth century, usually a poem of
four or five lines that imposes nothing (certainly no "abstract" repetition scheme) on
the composer except what his eyes and cars can find in it.

Indeed, among Dufay's rondeaux in which rhetorical relation is observed, such relation is
strongest with the refrain text.

125

 

 

accidentals in a way that best corresponds better to the text. For example, in mm. 13 and
14 of these copies, the natural Es bring a temporary C major for the word
”Joyeusement."27

Of these two manuscript versions, only $9 has the Eb in m. 31, while the other

accidentals in mm. 29, 30, 33, and 35 of the following example are also contained in S_tr:

Ex. VIII-3. No. 63 (Mille bonjours: mm. 28—35)28

 

These unusually profuse unconventional accidentals in mm. 29-30 in both manuscripts
strongly show the composer's intention of placing this phrase in the minor mode. And the
Eb in m. 31 (only in Q) is crucial for this change. In addition, the manuscript in S_tr,
which lacks this accidental, has many errors in orthography. Thus, for this song,
manuscript fig appears to be the best source.

The next, No. 70, also features the fluctuation of the major and minor thirds (and,
to a lesser degree, major and minor sixths). Among these extent sources for this song, one

(Q) contains as many as eleven Ebs interspersed with natural ES, and these altematrons

 

27Besseler, ed, Dufay, 81.
28Ibid.

126

 

often illustrate the emotional coloring in the text. For example, for the words "Amor, Je

vous supplye" ("I supplicate you"), three Ebs and one Ab appear, as are seen below:

Ex. VIII-4. No.70 (Donnes l'assult: mm. 16—22)29

C:

 

And in addition to these accidentals just mentioned, the melodic outline of a diminished

fourth is used two times (I3b and B in m. 18; F# and Bb in m. 21), and the application ofa
performance accidental will probably result in another melodic diminished fourth in mm.

21-22 in the contratenor.
Meanwhile, another manuscript version in Tr_87, which uses unconventional
accidentals to a far lesser extent (e.g., no Fit and Bb in m. 21) than that in 31, lacks
contratenor IT and has only a text incipit in the superius, and the third manuscript in £23,
which has only one accidental (the Ab in m. 18), does not have a text at all.
Finally, concerning No. 74 in C, among three manuscripts (excluding one in

keyboard tablature), only one source, m, contains an unconventional Eb (in m. 7 in the

 

29m, 86.
12 7

 

tenor) for part of the word "gracieuse" in addition to some conventional accidentals.3O
This manuscript has been taken as the main source, since the other two manuscripts lack

the unconventional accidental Eb just mentioned, and also do not carry the complete text (no

 

text in Tr 92, and Latin text in Tr 93).
Apart from manipulation of major and minor thirds, as has been seen in Dufay's

five songs (including Berger's example), his seemingly deliberate juxtaposition of sharps
and flats in his three other songs (Nos. 5, 8, and 10) with multiple sources also seems to
be connected with text expression.

The first, No. 5, is preserved in three sources.31 Of these sources, Q contains the
largest number of unconventional accidentals. F# in both m. 6 and m. 30, and an adjacent
F# and Bb in mm. 55 and 56 (in different voices) and also in mm.77 and 78 (in the same

voice) appear only in Q. In mm. 55 and 56 of this source, a D-major triad is abruptly
changed to a G—minor triad on the word "miseria" (misery), and in mm. 77 and 78, a

melodic diminished fourth of F# and Bb is used for the words, "tetra, e tu del ciel" ("earth

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

and Heaven"):
Ex. VIII-5. No. 5 (Vergene bella: mm. 55-56 and 77-78)32
@
LY J g _L l T
LH i l i i
If 1.; i/bd‘ i‘ i £9“ 2 0 ' ' 0 /
n —a /
Ct ‘ . i b; .1' .9 E
A an I I l VT
v U a V' " l I
I ‘ l l /
n h l L 1___—1
_J; 1 Va 1 r l L l ._
T " li'afii l l ,l. ’l‘ a l .. fir]
-r , t v___ 4 v —t—

 

 

308ec ”Critical Notes," lvii.

31"Critical Notes," xxv-xxvi.

32Dufay, 8-9.

128

 

Meanwhile, each of the other two manuscript versions (fl and BU) contains far fewer

accidentals than the one in _Q, and transmits only one of the above accidentals (either 133* or

Bb in mm. 55-56 and 77—78). Thus, the version in _Q may represent the composer's
intention best.

David Fallows says that, in the fourteenth and fifteenth centuries, the rarity of the

musical settings of Petrarch‘s poems is partly due to their rich poetic inspiration. That is,

these poems demand "settings full of imagery and affect," but the formes fixes of medieval

songs "made such evocative setting almost impossible." Perhaps this can explain why

1] is "through-composed."33

Dufay's V r en
The second song with a juxtaposition of flats and sharps is No. 8, which survives

in three sources.34 Among these, only one manuscrpt (Cord) appears to have an additional

unconventional accidental, B‘i, in tn. 25:
Ex. VIII-6. No. 8 (Dona gentile: mm. 25-29)35
@ {/11 b b g L J!
I J l 1 l i l l l l fin

i n
V rV .fi .
l l #0 ll l l
W}/;

 

 

 

 

 

 

 

 

 

 

 

 

t
‘ 4;. ‘
r r I: r I r/ l ‘11
a A] I l / (a) / It I / //
T_'Lifitm A T—F r - l - r
_; I v 1 i y l *Ii I V i__r 'l 71

 

 

33Fallows, Dufay, 129.
34"Critical Notes, " xxvii.
35Besseler, ed, Dufay, 12.

 

The melodic diminished fourth (between BH and Eb) in the superius of mm. 25—26 of this
manuscript apparently corresponds to the emotional quality of the text. The word at this
point is "Stella" (star), which implies the poet's beloved, who he irnplores to save him from
death. Musical-rhetorical relationship appears to be strongest in this version, since each of
the other two manuscript versions @322 and Ea) has only the Eb in m. 26, without a marked

natural sign for the B. Thus, manuscript Cord seems to be the best source with the

 

presence of both accidentals.
Finally, No. 10, which appears in two sources, Rigs; and Mgzass, also contains

diminished and augmented melodic and harmonic intervals.36 The phrase from m. 60 to
m. 64 seems to be the highlight because it has the most intense wording ("Of the grievous

torment, and of the wretched. . . .") in the piece, and both sources contain

unconventional accidentals in this phrase.37 The melodically outlined diminished fourth

(B-Eb in the superius) and the harmonic tritone (B and F, the first vertical sonority) in m.

62 illustrate the text effectively:

 

36"CI‘itical Notes," xxviii-xxix.
37The translation is mine. The original is ”Du gref tourment et douloureulx

oultrage. . . ." Seeibid,

130

— T 7 —_I ‘-

 

 

 

 

Ex. VIII-7. No. 10 (Lam_ entatio sanctag: mm. 60-63 from Rice)?’8

Tenor

Bassus

 

There is a possibility of changing the melodic diminished fourth (B-Eb) in the superius of
m. 62 to a perfect fourth by flattin g the B according to conventional rules. But a similar
instance also occurs in m. 60 of M, which may imply all of these prohibited intervals
are specifically intended. The F# in the superius of m. 60 in this manuscript, which is not
seen in the example from Big; above, would be an "unconventional" accidental, since it
conflicts harmonically with the Bb (the augmented fifth) in the tenor. But this written F# in
mm at the beginning of the phrase with its extremely intense textual expression (as
mentioned above) is apparently intentional, along with the diminished fourth in m. 62.
Furthermore, the other version, Bic; (Besseler's main source), "outdoes MCass in
changes, omissions, errors and misunderstandings in its texts."39 Beyond this statement,
Besseler does not give further explanation as to which version has more defects than the
other. Thus, this song is one of the few whose main source in this study does not coincide

with that of Besseler.

 

38mm: Omra gmnia, 21.

39"Critical Notes," xxviii.

131

 

 

Unconventional accidentals discussed in the sections above are all examined in
connection with text expression. But this methodology is not productive in the case of two
other songs, one featuring an unconventional accidental in an untexted part of the song, and

the other being a song that completely lacks text.

The first such song, No. 37, occurs in two sources, Q and $111.40 In the
former, a Bb is present in the penultimate measure, which appears to be part of a textless
postlude. This flat for B is not implied in the context, especially since E”! is placed
vertically. Although whether this inflection is the composer‘s intention or not is difficult to
verify, the manuscript version in Q (Besseler's main source) is chosen as the "better" one,
since, in M, in addition to this unconventional accidental, Besseler's examination of the
manuscript shows that some words and signs of congruence are missing in the superius

and tenor.

The second, No. 55, is the only one of the songs in multiple sources in which the

 

text is missing in all the sources. This song survives in two versions, both in E_m. One
does not have text at all, and the other has a text incipit only.41 In addition to one
conventional accidental in both copies, the manuscript with text incipit has an additional
unconventional accidental, the Eb in m. 16 in the tenor. The examination of the previous
songs in this chapter has shown that manuscript versions with the larger numbers of
unconventional accidentals can be preferred as the best sources due to the the way in which
those accidentals reinforce the rhetoric of the text. For this reason, I have choosen the one
manuscript version with an unconventional accidental (and with text incipit) as the main

source, even though the absence of the complete text in this song makes it impossible to

 

 

40"Critical Notes," xliii.

 

41Although Besseler believes that a collection of French poems (£1) contains the
text of this song, musical-rhetorical relationship for this song will not be considered here.
See "Critical Notes," xlxi.

132

 

 

consider musical-rhetorical relationship. However, this is one of the two songs whose
main source in Besseler's edition does not correspond to that selected in this study. As is

the case for the other such song (No. 10), Besseler gives no reason for his choice.

In summing up, unconventional accidentals in these songs with variance in
unconventional accidentals among sources frequently appear to be related to the text. The
sources selected in this study as the best ones based on the study of these accidentals
coincide with Besseler's main sources except for two (for Nos. 10 and 55).

b) Ten songs with variances in the use of signatures among sources are: 19, 24, 36,
48, 52, 55, 63, 73, 74, and 76.42 These songs often give additional evidence which is

helpful in verifying the better or best manuscript versions.

No. 19 is preserved in eight sources (excluding two in keyboard tablature).43
Among these, two in M and Ba keep Bb signatures in all the staves of the contratenor,
and the latter also has Bb signatures in all the staves of the tenor. Since m does not
have text at all (except text incipits), and _P_ay contains many "changes and mistakes" in the
text, these differences will not be taken into consideration. Besseler also shows that the

source in Q is the only one with the correct text.

As for the next song, No. 24, one of the three sources (Lib) does not have
signatures at all. Meanwhile, another manuscript in m has a Bb signature in the first
stave of the tenor, and the third one in fig has a Bb signature in the contratenor at the

beginning of the B section (of a virelai).44

 

42No. 49, which has survived in two sources, has an extra Bb signature in both the
contratenor and tenor in a higher octave, in addition to the one in the normal place. Since
they are just redundant ones, this song will not be considered as a piece having a
discrepancy in the use of signatures among sources.

43"Critical Notes," xxxiii-xxxv.

44"Critical N otes," xxxvii-xxxviii.

133

 

It has been very controversial as to why variance in the use of signatures among
sources occurs in early music, let alone signatures only for the first staves.45 But often
actual differences among sources do not seem as substantial as expected. In this song (No.
24), for example, the contratenor in manuscript YE may not have actual performance
differences with the other two, since all of the Bs in the B section are vertically aligned with
Es or Fs so that, according to conventional rules ("mi-contra-fa"), these Bs would either be
natural Bs (when aligned with Es to maintain the perfect fourth) or Bbs (when aligned with
Fs to make the perfect fifth), whether or not there is a Bb signature.46 The difference
between the manuscript in m (with a Bb signature in the first stave of the tenor) and the
other two, then, would be two Bs. That is, the Bb signature in the tenor of m is valid up
to m. 13 (in Besseler's edition of the song from the manuscript Lair), and among the three
Bs in these twelve measures, the first one in m. l is subject to the addition of a
performance accidental of Bb, whether or not there is a signature, to make the melodic
perfect fourth (Bb and F).

Regardless of these little differences, the manuscript in $0112 (with a signature) has
been taken as one of the secondary sources, since it is inferior due to the lack of text (only
text incipits appear in the tenor and contratenor), some missing notes, and many errors in
pitches, as Besseler specifies.

No. 36 is in three sources (with the complete parts).47 Among these sources, only

the one in Tr 87 has no key signatures in the first stave of the contratenor and tenor. In

 

addition to this difference from the other two sources, this manuscript also lacks stanzas 3,

 

45Various scholars' views on signatures in early music are discussed in detail in
Chapter V.

46See Besseler, ed., Dufay, 43.
47"Critical Notes," xlii-xliii

134

 

5, and 6. As for the other two manuscripts, PR III and _Q, Besseler chose the former as the

 

main source for this song, based upon his examination of errors in the text and music.

Both No. 48 and No. 52 are preserved in o and 13348 In both manuscripts'
versions of these two songs in Em, signatures are missing in the first staves of the lower
two voices (No. 48) or all the voices (No. 52). In addition to this absence, these two
songs lack the original text: the lower voices lack the text entirely, while the top part in each
carries Latin text. These aspects of inferiority are in fact very common features in the
transmission of all of the songs by Dufay in fin. That is, in Em, one can find five other
songs by Dufay which are in Latin (56, 59, 61, 63) or without text at all (No. 34).
Furthermore, the contratenors are missing in two songs (Nos. 59 and 61), and two songs
(Nos. 34 and 59) also lack signatures and/or accidentals.49 Therefore, manuscrith has

been used as the main source for Nos. 48 and 52.

As for No. 55, one of the two sources (both are in gm) has a Bb signature in the
first stave of the tenor. This song was examined already in the previous section (supra, pp.
132-33) in relation to its variance in the use of an unconventional accidental, and the
version having one unconventional accidental and at least a text incipit (rather than the one
with no unconventional accidental and no text at all) was taken there as the main source. I
am keeping this manuscript version as the primary one, since the appearance of a Bb
signature in the tenor in only one version apparently does not make a substantial difference.
That is, there are only five notes in the tenor throughout the piece, and, among these, three
B5 are subject to the performance addition of flats, regardless of the presence of the

signature, according to conventional "mi-contra-fa" rules.

 

481nm, xlvi-xlviii.

49See supra, p. 122; see also ibid., l.

 

 

 

 

Next, among five manuscript versions of No. 63, one in EC; has a signature in the
first stave of the superius.5O But in addition to the difference in the use of signatures, this
manuscript also lacks many unconventional accidentals compared to the others, as
discussed also in the previous section (S_upg, pp. 125—26), where manuscript list; was

chosen as the main source.

No. 73 is preserved in ten manuscripts (with complete three-part music), excluding
two in keyboard tablature, and the majority of these have Bb signatures in the contratenor
(seven) or in the tenor (six).51 Among these manuscripts with signatures, Besseler notes
that the manuscript version P_JE has the fewest errors and changes, and it is one of only
four (out of ten) which have complete text.52 Therefore, this version has been used as the

best source also in this study.

N o. 74 survives in three manuscripts (excluding one in BAX. in keyboard

tablature).53 Among these, in Tr 93 there is no Bb signature in the first stave of the tenor.

 

But this difference in this version will not be taken seriously, since it is a Latin
contrafactum, and also lacks an unconventional accidental, which is found in Esc. Another

version in Tr 92 is without text, along with the absence of an unconventional accidental.

 

Thus, Esc has been taken as the main source.

No. 76 is a song in which variance in the use of signatures among sources does not

seem to result in differences in actual sound. That is, although the manuscript in MCass

 

501brd., lxiii.
5 11bid., lvi.

52Besseler specified a Bb signature in his edition of the manuscript from Egg only
with parentheses, but Mahrt confirms it as original, from his scrutiny of a facimile. At any

rate, in actual performance, there would be no difference, whether there is a Bb signature or
not in the superius. The first B, which is in m. 2, has a notated flat (six other sources also
have this), and the other five Bs might all be flatted also according to conventional rules
(Besseler marked musica ficta for all of them). See Besseler, Dufay, 88-89.

53Besseler, "Critical Notes," lvii.

136

 

 

 

has a Bb signature in the first stave of the superius, and the superius in For (Besseler's
main source) does not have any signature,54 the first B appears as late as in m. 8, and with
a notated flat sign. Furthermore, all the Bs throughout the superius are subject to inflection

according to conventional rules. Examples are given below:
Ex. VIII-8. No. 76 Wm: mm. 8-12)55
(9

 

Ct

In summary, the selection of the main source for each of Dufay‘s seventy-six

songs, to resolve the problem of accidental variance among sources, is as follows. First,
thirty-eight songs exist only in single sources, and eight other songs do not have any
variance among sources; thus selection procedures for these forty-six songs were not

necessary.

Second, thirteen other songs contain variance only in the use of conventional
accidentals. For these songs, sources with the notation of such conventional accidentals
are selected in this study as primary sources in that manuscripts with the largest number of
these accidentals would be generally closest to the performed sound. Among my choice of
best manuscripts for these thirteen songs, eleven correspond to Besseler’s main sources.

Furthermore, the minute differences (e.g., having only one fewer Bb as a conventional

54Ibid., lviii.

55Besseler, Dufay, 91.

137

accidental) in the remaining two songs (Nos. 69 and 85), among primary and secondary
sources, would not affect the data of this study, which examines the presence of accidentals
but not the quantity of them in a piece.

Third, concerning ten songs with variance among sources in unconventional
accidentals, generally these accidentals seem to be closely related to the songs' texts. And
main sources selected based on the scrutiny of these accidentals are generally also those
designated by Besseler, from his diverse musical and non-musical considerations. Two
exceptions to this concurrence are Nos. 10 and 55. Each of these songs is preserved in
two sources, both of which are somewhat incomplete with errors and missing text. For
No. 10, in particular, Besseler even notes that his primary source exceeds the secondary
one in "changes and errors.“ But the reasons for his choices for these two songs are not
clarified.

Finally, regarding ten songs with variance in key signatures, differences in the use
of signatures in some sources would not necessarily mean that these are better or worse
manuscript versions in that it has been controversial as to why signatures appear in early
music at all. But the problem of variability in these ten songs can be resolved without
complication. First, the presence or absence of signatures in one or more sources is often
confined to only one stave. Second, even if this kind of arrangement is not an error,
sources with a signature in only one stave also often show some other kind of defect,

especially the absence of text and/or errors in editing.

138

CHAPTER IX
TONAL ORGANIZATIONS OF OPENING PHRASES

This chapter on the tonal organization of opening phrases has been developed as a
response to two viewpoints presented in an article by Richard Hoppin.1 Hoppin's first
point is that tonal centers in fourteenth- and early fifteenth-century music began to be
established by the tonic and dominant first at the beginning and in the middle of phrases,
while the V116-12 formula as the closing function had its firm place at the (inner and final)
cadence point. The second point that Hoppin makes is about the increased use from around
1400 of a untexted introduction, which opening phrase he feels has a function of
establishing the tonality of a piece. Each of these views is dealt with separately in the

following sections.

 

lRichard‘ H. Hoppin, "Tonal Organization in Music Before the Renaissance," in

Paul A. Pisk: Essays in His Honor, ed. John Glowacki (Austin, TX: University of Texas,
1966), 25-37.

2There are several ways to notate this progression in functional harmony according
to a musical context, for example, vii? -I or vii6-I. It is true that early theorists describe the

use of a sharped melodic leading tone, and that there are many notated leading-tone sharps
in Dufay's works (See Chapter VII, section 2 of this study). But only upper case letters
will be used here and onwards to denote harmonic or cadential progressions, since
accidentals are not consistently marked in early music and thus notation by specific upper
or lower case letters is not applicable.

 

 

 

(1) Opening Sonorities
While transcribing a number of pieces from the late fourteenth and early fifteenth
centuries, Hoppin finds a growing preference for the use of I ("tonic") as an opening
sonority:

In the 18th and 19th centuries the desire for tonal unity seems to have made the
tonic the normal chord with which to open a composition. If we posit a similar desire
in the 14th century, we might expect somewhat similar practices to result. That this
expectation is not unwarranted may be seen in Table I, in which are summarized the
opening sonorities (we may as well call them chords) of a large number of polyphonic
secular songs. These chords almost invariably consist of perfect intervals only,
although the third often appears in an upper voice before the lowest voice has moved
to another note. In the case of pieces a 2, the opening sonority is, of course, either a
unison, fifth, or octave.

TABLE 1
Opening Chords of Polyphonic Secular Songs

 

 

Opening Chords1

Sources and

No. of pieces I IV V Others

Machaut 70 36% (25) 29% (20) 10% (7) 25% (18)
FSM2 80 40% (32) 20% (16) 18% (14) 22% (18)

Landini 154 44% (68) 22% (34) 22% (34) 12% ( 18)
EFM3 65 65% (42) 14% (9) 12% (8) 9% (6)
Tu B4 166 71% (118) 6% (11) 16% (27) 6% (10)

 

1 Roman numerals indicating vertical combinations are calculated, of course, on the basis of
the final chord being I.

2 W. Apel, French Secular Music of the late Fourteenth Century (Cambridge, 1950).

3 G. Reaney, Early F ifteenth-Century Music, 2 vols. (American Institute of Musicology,
1955, 1959).

4 R. Hoppin, The C ypriot-F rench Repertory of the Manuscript Torino, Biblioteca Nazionale,

J. I]. 9. Vols. III and IV (American Institute of Musicology, 1963).3

 

 

3Hoppin, "Tonal Organization in Music Before the Renaissance," 2627.
Following Hoppin’s lead, I will use the term ”chord," although by this I do not mean to
imply that all of the later associations are applicable.

 

 

 

 

 

Hoppin notes that the approximately chronological order of sources in this table also shows

the order in which an increasing use of 1 corresponds with a decrease in the use of IV and

"other" chords. He considers this phenomenon to be "an evolutionary development."4
Analysis of the openings of Dufay's seventy-six songs5 generally supports

Hoppin’s viewpoint:

TABLE 15.--Opening Sonorities in Dufay's Songs6

 

 

Opening Sonorities and Percentages

I IV V Others

 

 

Total Numbers ‘
of Songs: 76 67% (51) 4% (3) 26% (20) 3% (2)

 

 

 

 

These figures shows a further decrease in the use of IV and "other" chords, compared to
those in Hoppin's table above, and a noticeable increase of V along with a constant and
substantial use of 1.

Because we do not have access to exact dates of most of Dufay's songs, it is
difficult to establish a firm chronology of the way he uses opening chords. But some
chronological studies of Dufay’s works and recent biographical research help to launch this
analysis of his songs. These studies will be briefly mentioned here before proceding to

analyses.

 

41bid.

5Among the eighty-six songs in Besseler’s edition, ten songs have been excluded
from analysis in this study. Reasons are given above, pp. 95-96.

6The inclusion of a third in the opening and final chords at this time is rare and its
use is generally limited to inner cadence points. This came from the tradition of favoring
perfect intervals at those points. Robert W. Wienpahl notes that while only 3% of all final
tonic chords contain thirds during the first half of the fifteenth century, 39% present them
in the latter half. (And they are very much more in secular than in sacred works.) See
Robert W. Wienpahl, "The Evolutionary Significance of 15 th-century Cadential
Formulae," M 4 (1960): 148-49.

141

 

 

 

 

 

Charles Hamm establishes a chronology of Dufay‘s works which resulted from his
examination of over two hundred twenty (secular and sacred) compositions attributed to the
composer in one or more manuscript sources.7 He divides them into nine groups in serial
order on the basis of their notation (e.g., black or white notation) and mensural usage, and
suggests a period for each group by datable works within each and other evidence (such as
biographical documents and performance practice). In addition, this work complements
Besseler's chronological study of Dufay's works, which is based on general style as well

as on the use of signatures and mensurations.8 Hamm's dates for those groups are as

follows:
Gr. 1: 1415-23 Gr. 6: 1433-45 (no songs)
Gr. 2: 1423-29 Gr. 7: 1433-55
Gr. 3: 1426-31 Gr. 8: 1435-60
Gr. 4: 1426-33 Gr. 9: 1454-74

Gr. 5: 1433-35- (no songs)

Some of the above groups significantly overlap. But still these groupings appear to
be valid for chronological examination of Dufay's songs in that the present study includes
no songs from Group 6, and Group 3 has only one song so that it will be considered
together with the songs of Group 4, which covers almost the same period as Group 3.
Furthermore, although Group 7 largely spans the same period as Group 8 (i.e., 1435 -55),
according to David Fallows, there is a considerable gap (1439-50) in Dufay's song

 

7See Hamm, A monglggy of me ngks of Guillaume Dgfay Based on a Study at
W Princeton Studies in Music, no. 1 (Princeton, NJ: Princeton University
Press, 1964), viii.

88cc Besseler, Bougdgn und Fauxbourdon (Leipzig: Breitkopf & Hiirtel, 1950),
122-39; "Dufay in Rom," AMw 15 (1958): 1-19]. Dufay's songs in Besseler's edition
(volume 6) are arranged according to genre (e. g., Italian or French songs) and his
chronological ordering. Although Hamm' s grouping generally follows that of Besseler, he
regrets that Besseler sometimes presents no convincing reasons for not attributing a work
to Dufay. (See Hamm, review of ngliglmi Dufay: Opera omnia, vol. 6, ed. by Besseler,
In MQ 52 [1966]: 249. ) For example, Besseler gives just one sentence for No.92: "[itjrs
a significant work, but certainly unauthentic; the composer was probably younger than
l6):ufay. " (See Besseler, ed., "Foreword, " in W [Rome: AIM, 19641, vol.

xrv.

 

142

 

 

 

 

composition, a gap which would divide these two groups rather distinctively. That is to

 

say, David Fallows posits, from his study of various manuscripts, that Dufay composed
very few songs during his decade in Cambrai, where there was no secular court9 Thus,
these considerations largely resolve the problem of overlapping among groups, and these
groupings will be used here as a basis for the chronological study of Dufay's songs.
Turning to Dufay's songs, my analysis of openings of Dufay‘s songs is charted

below according to Hamm's chronological groupings:

TABLE l6.--Opening Sonorities According to Hamm's Groupings10

tages

 

This table shows that along with the substantial use of I, an increase in the use of V

 

as opening sonority is prominent. 11 The number of songs with opening sonorities on IV
or ”other" degrees is too small (5/76) for chronolgical consideration. The summary of this
section on opening sonorities of Dufay's songs is as follows. In terms of general context,
Hoppin finds in fourteenth- and eary fifteenth-century music a growing preference for the
use of I as an opening sonority, with a decrease in the use of IV and "other" chords. My

analysis of the openings of Dufay's songs supports his view. A further increase of V

 

9Fallows, Dufay (London: J.M. Dent & Sons), 159-61.
10Dufay's five songs ending on the fifth degree are discussed above, pp. 96-99.

110% in Groups 3 and 4 are not to be considered, since the samples are too small.

143

 

 

along with a constant and substantial use of I corresponds to a decrease of IV and "other"

chords. Also the use of V in Dufay's songs shows a chronological increase.

(2) Untexted Opening Phrases
Hoppin's study mentioned above finds another new tendency in music from the late
fourteenth and early fifteenth centuries, namely, the increased use of untexted
introductions:
The ever more frequent appearance of these textless and presumably instrumental
introductions in music written shortly before and after 1400 seems to go hand in hand
with the increasing clarity of tonal definition.

. . . they usually begin on I or V and end on I with the standardized cadence
formula. Occasionally, however. . . they end with an incomplete cadence followed
by the tonic chord accompanying the entrance of the vocal line. It is difficult not to see
in these introductions the first written examples of instrumental preludes whose

function is to establish the tonality of the vocal piece that is to follow. Somewhat
earlier, this function was commonly assumed by a vocal melisma on the first syllable,

particularly in the longer and more complex ballades.12

Susan Scea, in her discussion of one song by Binchois, expresses an opinion
similar to Hoppin's concerning the function of a prelude. She argues that the prelude of '
Binchois' M establishes the tonality and the mood of the piece as preludes
generally do.13 However, it may be that Hoppin's view of untexted first phrases as being
instrumentally performed is not shared by some other scholars. For example, Fallows
admits that, in songs of the time, untexted passages are often quite florid, so that it is
appealing to see them as specifically instrumental rather than vocal. But he adds that,

equally often, melismatic material seems to be indistinguishable from texted material so that

 

12Hoppin, "Tonal Organization in Music Before the Renaissance," 28.

13See Scea, "Text and Music in the Chansons of Gilles Binchois," Paper Read to
the Midwest AMS, (Chicago, Sept. 24, 1988), 4-5.

144

 

 

 

it becomes impossible to make any distinction between vocal and instrumental style in

fifteenth-century music.14

Whether these untexted opening phrases are for vocal melismas or for instruments,
their occurrence indeed appears to be a new phenomenon in the fifteenth century. 15 That
is, while introductory phases are not found at all in Machaut‘s and Landini's songs, they
are encountered in eighteen (24%) out of seventy-six songs by Dufay and fifteen (25 %) out
of sixty by Binchois. Untexted introductions of Dufay's songs clearly fulfill their
functions of establishing tonality in their respective songs: seventeen begin on I (plus one
on V-I) and sixteen also end on I (and two on V). Meanwhile, the function of those of
Binchois are far less clear, since, for example, seven (47%) end on harmonies other than I
or V (e.g., II or IV).

According to Hamm's chronology, Dufay's songs with introductions are divided

into groups as follows:

TABLE 17.--The Number of Dufay's Songs with Introductions

 

 

Gr. 1 Gr. 2 Or. 3 Gr. 4 Gr. 7 Gr. 8 Gr.9

 

6I18 7/ 17 1/1 2/3 2/21 0/8 0/8
33% 41% 100% 67% 10% 0% 0%

 

 

 

 

 

 

 

 

 

 

 

14Fallows, Dufay, 87.

15The diversity in text underlay in early music has often been assumed to be scribal
whim, having nothing to do with performance. But Louise Litterick asserts that this is not
so. Geographic and chronological differences in the sources are strong indicators that
texting practice was a matter of regional tradition in performing practice. Although she is
mainly concerned about distinguishing textin g practice among the voices, she says that
French copyists appear to have taken great care in texting. Italian scribes were much less
careful with French text, but this may not necessarily imply their casual writing of text in
vocal music, in that, as Litterick states, they often copied chansons with no texts or often
with only incipits. We should conclude, then, according to Litterick, that in the Italian
regional tradition French chansons were performed instrumentally. See Litterick,
"Performing Franco-Netherlandish Secular Music of the Late Fifteenth Century: Texted and
Untexted Parts in the Sources," EM 8 (1980): 474-485.

145

 

 

 

It is significant that, while 41% (sixteen out of thirty-nine) of the songs in Groups 1—4 have
introductions, only 10% (two songs) of Group 7 have them, and in Groups 8 and 9 no
introductions are used. It cannot be said that harmonic maturity in Dufay's late periods
(which will be dealt with in the course of this chapter) invalidates the use of introductions,
but apparently they do aid early works by establishing tonal centers in first phrases.

During the rest of this chapter, harmonic and cadential procedures of opening
phrases with and without text will be examined separately in order to discover possible
stylistic differences between them, and also to trace further developments in Groups 89, in
which untexted first phrases are not found.

First, beginnings and endings of untexted opening phrases in songs in Group I are

as follows:

TABLE 18.--Beginnings and Endings of Untexted Opening Phrases in Songs in

 

 

 

Group I1
No. l I-VII6—I------I6-VII6-I No. 38 I-I-V------I6-VII6-I
No. 3 I-IV-I--—-—-16—III-I No. 41 I-III-I------I-V—-)I
No. 11 1-V6—V-----—16-V116-I No. 46 I—I—V---—--I6-VII6-I

 

 

 

 

 

 

 

All six of these introductions begin and end on I, clearly fulfilling their function of

establishing tonality in their respective songs. Furthermore, Nos. 38 and 46 (33%) have I-

 

16In this and subsequent tables, I have used the notation "——>" to designate an
octave-leap cadence (e.g., V——>I).

146

 

 

V beginnings, and, in fact, No. 38 has only I and V throughout the first phrase except at its
VIlé-I cadence point: 17

Ex. IX—l. No. 38 (£2: m; a; l'an: mm. 1-6)18

 

8

This example shows that the lowest tones are found either in the tenor or
contratenor, which employ the same clefs. Besseler names this mode of procedure
"Kombinationbass," however, without implying the "specific sense of carrying the root of
the harmony." 19 The controversy as to whether this type of bass can be regarded as that
which supports the harmony is discussed above (Chapter 11, section 1). The term
"combined bass" will be used hereafter, for convenience, for describing the composite

bass.

Along with its progressive tonal procedure, another notable feature of this opening

is the presence of a triadic melody, which is an impressive trait of Dufay's songs (and of

 

17Hoppin observes the growing preference for I-V as the opening chords from late
fourteenth-century music. See Hoppin, "Tonal Organization in Music Before the
Renaissance," 30.

18See Besseler, ed., Dufay, 58.

19See Besseler, Bourdon und Fauxbourdon, 93. The quotation is from Edward E.
Lowinsky, "Canon Technique and Simultaneous Conception in fifteenth—century Music: A
Comparison of North and South," in Essays on the Music of J. S. Bach and Other Divers
Subjects, ed. Robert L Weaver (Louisville, KY: University of Louisville, 1981), 200.

147

 

 

his motets), repeated in all three voices. Although some scholars mention the introduction
of a triad into a melody as an advanced innovation of Dunstable, Apel attributes the earliest
known appearance of the technique to Mattheus de Perusio, an Italian composer of the late
fourteenth century.20 Furthermore, Brown notes that Dunstable's favorite device is the

addition of a sixth to a triadic motive, and that this peculiarity is not seen in Dufay's motet.

composition.21 Neither is it characteristic in his songs.

In Group 1, four out of six songs end with the conventional cadential formula
(VlI5-1) with stepwise contrary motion between the discant and the tenor. This formula
was regarded as the true cadence (i.e., clausulalera) in fourteenth-century treatises on
discant.22 Even in this old type of cadence Hoppin observes a seed for the future, saying
that the consistent use of this cadence in the fourteenth and early fifteenth centuries is an
"irrefutable evidence that composers were well aware of its harmonic function, at least in
cadential progressions."23

H0ppin further notices, from his study of late fourteenth- and early fifteenth-
century music, that the V chord began to acquire prominence in the final phrase-mot yet at
the cadential point but immediately preceding the conventional V116-I cadence (i.e., V-VII6-
1). Along with this progression, he also lists the variants of this procedure as being V-I—

V116—I and I-V-II6-16-V116-I.24 Whether or not one agrees with this view of Hoppin, these

 

2OSee Willi Apel, "The French Secular Music of the Late Fourteenth Century,"
Am 18 (1946): 14; and Gustave Reese, W (New York: W. W.
Norton, 1954), 31. '

21See Brown, "The Motets of Ciconia, Dunstable, and Dufay," 332.

22See Wienpahl, "The Evolutionary Significance of 15th-century Cadential
Formulae," 132.

. 23’Ibid., 28. Reese and George Perle also express similar ideas. See Reese, Music
in the Middle Ages (New York: W. W. Norton, 1940), 335-37; Perle, "Integrative Devices
in the Music of Machaut," MO 34 (1948): 172.

 

24Hoppin, "Tonal Organization in Music Before the Renaissance, 30, 37.

148

 

harmonic procedures are not confined to final phrases: three (Nos. 1, 11, and 38) out of
four V116-I cadences in the first phrases are preceded by these procedures. However, the
dominant-tonic relation is much more clearly presented in Dufay's later songs, as is seen
below.

Turning for the moment to the other two songs (Nos. 3 and 41) in Group 1 in
which the phrase endings deviate from the V116-I cadential formula, the introduction of No.
3 does not exhibit a strong harmonic progression due to the melodically-oriented tenor and
contratenor. Although the tenor jumps down a frfth at the cadence point, instead of moving
stepwise as prescribed in conventional discant theory, the harmony is 111-l, since the lowest
note of the penultimate sonority is given to the contratenor. However, the old rule (step-
wise resolution) does not appear to be invariable even in the fourteenth century. For
instance, only 67% (twenty) among Machaut's thirty three-voiced songs have contrary
stepwise motion between the tenor and another voice at their final cadences, while 13%
(four) have jumping fifths (though only two form the authentic cadence) and 20% (six)
have thirds or fourths in their tenors.25 In addition, the III-I progression becomes more
frequent in late ars nova music than it had been in Machaut's works.26 Thus, this III-I
cadence is also one of the conventional ones by Dufay's time.

However, No. 41, the other song whose first phrase ends with a cadential formula
other than V116—I, has a new cadential type in the fifteenth century, V—>I (i.e., octave-leap

V-I, hereafter):

 

25Sec Yates, Wilbur c. H., "A History of the Cadence in Polyphonic Vocal Music
Through the Fifteenth Century" (Ph.D. diss., Indiana University, 1962), 11920.

26See Apel, "The French Secular Music of the Late Fourteenth Century," 27.

149

 

Ex. lX-2. No. 41 (Pour ce gue veoir je ne puis: mm. 1-4)27

 

Although some scholars view this kind of V-—>I cadence as one of the
contrapuntally—conceived cadences with conventional stepwise discant-tenor motion
retained, others describe it in harmonic terms as follows. First, this type of cadence is
viewed as an endeavor of early composers to use a V-1 progression while avoiding parallel
fifths, the interval which can often occur in a V-1 authentic cadence between the tenor and
the contratenor in three-voiced works.28 For example, Ex. lX-2 above produces parallel
fifths between the tenor and contratenor in mm. 3-4 if the octave-leap movement of the
contratenor is changed to D-G (V-I) and the scalewise movement of the tenor to AD (II-
V). Second, some scholars such as Lynn Trowbridge attribute the phenomenon of the

extensive crossing of the lower two voices to their relatively narrow ranges.29

 

27See Besseler edition, 60.

28Reese, Music in the Renaissance, 44; Mary L. Mackey, "The Evolution of the
Leading Tone in Western European Music to circa 1600 AD." (Ph.D. diss., Catholic
University of America, 1962), 113.

29See Lynn Trowbridge, "The Fifteenth-century French Chanson: A Computer-
Aided Study of Styles and Style Change" (Ph.D. diss., University of Illinois at Urbana-
Champaign, 1982), 184. The range of the song was expanded both downward and
upward during the fifteenth century and onwards. See Bethel, "The Burgundian Chanson
(1400-1477): A Study in Musical Style," 65.

150

 

 

 

Indeed, the V-—>I cadence apparently presents a transitional stage in the evolution of
the authentic cadence. The V-—>I cadence was used increasingly by Dufay and his
contempories, but the authentic cadence gradually superseded it during the fifteenth century
and remained prevalent in music for several centuries.30 Furthermore, Dufay's V—->I
cadences include a number which should not be regarded as contrapuntally conceived
endings with the traditional stepwise discant-tenor relation. One such exception is a V-1
cadence with the tenor, rather than the contratenor, jumping down a fifth (e.g., see mm. 3-

4 and 12—13 in Dufay‘s song, No. 52).

Summing up this section on the untexted first phrases of Group 1, all such phrases
of the six songs begin and end on I, a pattern which functions to clarify tonality in each
song. Within this overall su'ucture, two of these six move I-V at the beginning, and one
(N o, 38) out of these three have only I and V thoughout the phrase. As for phrase
endings, in addition to conventional types of V115-I and 111-1, one song (N o. 41) has a
V-—>I, a progression which does not appear in fourteenth-century music such as that of
Machaut and Landini. Various opinions about the emergence of this cadence is discussed
below (p. 150).

Next, as for untexted opening phrases of Group 2, new styles which do not appear
in those of Group 1 emerge. The table below deals with beginnings and endings of

opening phrases in songs in Group 2:

 

3OYates, "A History of the Cadence in Polyphonic Vocal Music," 174: "[The
double-leading cadence] is gradually replaced by the Burgundian [octave-leap] cadence,
which leads directly to the real dominant-tonic progression, established in the last half of
the 15th century." (Also see Chapter III, 61-62 of the present study.) In the same token,
the stepwise approach in the final cadence (V116-I, II-I, and 116-1) occupies 54% of all
cadences during the first-half of the fifteenth century, but only 12.5% in the last half. See
lfpbert E. Wienpahl, "The Evolutionary Significance of 15th-century Cadential Formulae,"

8.

151

 

 

 

TABLE 19.--Beginnings and Endings of Untexted Opening Phrases in Songs in Group

 

 

 

 

 

 

23 1
No. 4 I-VII6-I ------ m-VIr6-(I) No. 44 I-I-V------I-V-I
No. 14 I-I-VII ----- VII-IV6-V No.45 I-I-V---—--I-V-I
No. 27 I—V-I------III-IV-I No. 49 I-I-V----—V6-I-V
No. 39 l-III-VT ------ I6-VII5—I

 

 

 

 

 

 

 

Among the seven songs in Group 2, four (Nos. 27, 44, 45, and 49: 57%) not only
have I-V beginnings but also emphasize these sonorities throughout the phrase. (This
compares with 33% in Group 1.) Moreover, these four pieces show the beginnings of two
new developments in Dufay's works. Nos. 44, 45 , and 49 together mark a new phase,

and N o. 27 also show a formerly unexplored style in Dufay's songs.

In examing these songs, one sees that the first song, No. 44 (in four voices),
consists of three upper voices of equivalent range and a contratenor in a bass region (an F-
clef in the manuscript) which acts as a real bass with leaps of an octave and a fifth
emphasizing l and V. This low range was rarely used in song composition until the second

half of the fifteenth century.32

 

31m the table, parentheses are used when the final chord overlaps with the first
chord of the next phrase.

32See Bethel, "The Burgundian Chanson (1400-1477): A Study in Musical Style,"
59. In a manuscript, the four voices of this piece are labelled as triplum, tenor, cantus, and
contratenor from the top. See Besseler, ed., "Critical Notes," in Dufay, xlv; and Fallows,
Dufay, 94.

152

 

 

 

— var'w. s: .

 

Ex. IX-3. No. 44 (Ma belle dame souveraine: mm. 1-5)33

Ct

 

This is the type of contratenor which Besseler names "Harmonietr'ager" (harmony-bearer)
and which he believes to have originated in the Italian caccia of the fourteenth century.34
Fallows supports Besseler’s view that the nature of this kind of contratenor signifies an
instrumental performance for this voice of No. 44: its long note values, irregular rhythms,
and numerous uses of the ham (a symbol consisting of several notes but normally
carrying only one syllable).35 Fallows further observes that "practically every vertical
sonority in the song can be construed as a tonic, dominant, or subdominant triad in D

minor."36

Both of these scholars regard the texture of this song as an outcome of Dufay's

experiments in his early songs, especially in No. 14 (in three voices, and dated 1425),

 

33See Besseler, ed., Dufay, 63.
34See Chapter III, 3335 of this study.

35Fallows, Dufay, 94. In modern editions, a ligature is identified by a bracket
connecting a group of notes.

36rbid., 94.

153

 

 

 

which also belongs to Group 2.37 That is to say, the employment of a low-range
contratenor which can support the harmonic procedure in No. 44 (in four voices) is seen as

the resolution of a compositional dilemma of setting all the three voices in equal ranges.38

The second song, No. 49, also like No. 44, separates the range among voices, but
with two upper voices and two lower-ranged ones. The latter two are notated in six-line

staves, as found in fourteenth-century caccias, to cover a wide range.39

N o. 45 , the last of the three songs that mark a new phase, consists of only three
voices, unlike the other two which have four voices. But the contratenor functions also as
the foundation of the entire composition, remaining most of the time as the lowest part to
the end of the piece. The double-octave V-I cadence at the end of the introductory (and also
the final) phrase places the contratenor an octave below the tenor (see Chapter III, Ex. III-
2). This type of cadence is quite new at this time. This song, in a way similar to the other
two discussed above, clearly establishes the tonality of the piece in the first phrase by
strong harmonic orientation emphasizing I and V relationship with root—tones generally in
the low-ranged contratenor.

Next, N o. 27 (1426), which shows another new style in Dufay's songs, appears to
be chordally oriented with the rhythmically regular tenor and contratenor functioning as

primarily harmonic voices:

 

37See ibid., 92.

388cc m, 93; Besseler, ed., "Foreword," in Dufay, vii. An earlier attempt at a
Harmonietr‘c'rger may be seen in a three-voiced motet of Group 1, Ave Virgo gue de celis, in
which the tenor is the middle voice, and the contratenor lies for the most part below it.
(See Guglielmus de Van, ed., Guglielmi Dufay: Opera omnia, vol. 1, 19-22.)

398cc Besseler, ed., "Critical Notes," in Dufay, xlvii.

154

 

 

 

Ex. IX-4. No. 27 (Adieu cex bons vinsz mm. 1-5)40

 

However, this kind of plainly chordal style with a recurring rhythmic pattern is not
typical in Dufay's works, since it generally appears that his intention is to preserve the
contrapuntal variety of three voices in consideration of more subtle nuance.41

The phrase ending in this example is a IV -I (plagal) close, which is rarely found in
the first half of the fifteenth century but occupies about 14% of final cadences in the latter
half.42 It eventually became one of the important cadential formulae in the major-minor
key system, and it harmonically complements the authentic cadence. For example, Walter

Piston says:

 

40See Besseler, ed., Dufay, 50.

41But the chordal style apparently continues occasionally until his late period, since
in addition to some other Group 7 pieces (e.g., 18, 32, and 85), it is also found in a Group
8 motet, Mirandas parit, in which all three voices move with basically the same pace (see de
Van, Dufay: Opera omnia, vol. 1, 1-4). Moreover, the block-chord style is extensively
used throughout his life whenever the emphasis of a certain text is necessary in his motets
and Masses (and a secular song, No. 11).

42Wienpahl, "The Evolutionary Significance of 15th-century Cadential Formulae,"
136, 148.

155

 

The plagal cadence (IV -I) is most often used [in the common practice period] after an
authentic cadence, as a sort of added close to a movement. The subdominant chord

seems tonally very satisfactory after the emphasis on dominant and tonic":3

To recapitulate the main points of this section on untexted opening phrases of
Group 2, four out of seven phrases end on new cadential types: IV—I (No. 27), I-V (N o.
49), and V-I (Nos. 44 and 45). Among these, three first phrases (of NOS,. 44, 45, and 49)
fullfil the function of "prelude" by clarifying the tonality of their respective songs, with
strong harmonic orientation such as beginning on I-V and continuously emphasizing these
sonorities with root tones generally in the low-ranged contratenors. Similarly, the other
song (No. 27) begins on I—V-I. Although the first phrase of this song has a combined
bass, the harmony is well projected in chordal style.

As for untexted opening passages in Group 3-7, although low-ranged contratenors
are not present, there are other aspects of harmonic progressiveness and of reinforcing the
function of the introductory phrase which are discussed below. First, beginnings and

endings of untexted opening phrases in songs in Group 3-7 are as follows:

TABLE 20.--Beginnings and Endings of Untexted Opening Phrases in Songs in Groups
3—7

 

 

No. 30 (Gr. 3) I-VII6-I ------ VI46-VII6-I No. 51 (Gr. 7) I-I-V----—-II-VII6-I

 

No. 16 (Gr. 4) I—I-IV ------ I6-V116-I No. 63 (Gr. 7) V-V-I—-----I-V—>I

 

 

No.47 (Gr. 4) I-V-I—-—---V-VII5—I

 

 

 

 

 

 

 

As this table shows, three songs (Nos. 47, 51, and 63) have I-V or V-l beginnings,
but four of these five songs end their opening phrases with the conventional VII6-I

cadence. However, it s notable that all of those phrase endings of this cadence type in

 

43Waher Piston, Harmony (New York: w. w. Norton, 1941), 113. See also
Ronald D. Ross, "The Motets of Jacob Obrecht: A Stylistic Analysis," vol. 1 (Ph.D. diss.,
University of Cincinnati, 1973), 21.

156

 

Groups I and 2 (Tables 19 and 20) are led into by a parallel harmonic progression of triads
in first inversion, while only one in Groups 3-7 is preceded by that. This sixth-chord
style, especially at the cadence point, is one of the most characteristic harmonic
progressions of the fourteenth century (e.g., Landini) and of the early fifteenth, but Dufay
in his more mature works exhibits a subtle but unmistakable predilection for chords in root
position, and the next generation almost entirely discards the sixth-chord cadence.
Furthermore, No. 30 has a new trait already discussed in relation to N o. 27: it is a
chordally-oriented work with the contratenor and tenor displaying longer note values and a

single repetitive rhythmic pattern which are often coordinated in the lower two voices:

Ex. lX—5. No. 30 (Belle, vciiuies mgy mtenir: mm. 1-5)44

 

Similarly, the first phrase of No. 47 has long note values in the lower two voices.

In addition, this kind of harmonic support in the lower two voices is further strengthened

 

44$ee Besseler, ed., Dufay, 52. In addition, six-four chords (both prepared and
unprepared), as seen in measure 4 of this example, are commonly found 1n. Dufay 3 works,
but Glen Hayd on states that these chords should not be regarded as triads in second _
inversion in the fifteenth century because of the freer handhng of the fourth _1n thrs period
He traces the evolution of second inversion triads from Palestrrna 5 works, 1n Wthh.
dissonances are treated with great care, and usages of a more modern Six—four type (Light,h
with a proper preparation and resolution) prevail. _See Glen Haydon, lhe_Ev_ol_u_tmo_e
Six—four Chord (Berkeley: University of Calrfom1a Press, 1933), 20, 57-70.

157

 

by the harmonic progression of I-V-I-IV-V (with a combined bass) up to the V116-I
cadential point:

Ex. IX-6. No. 47 (Belle, vueillies vostre mercy dormer. mm. 1-5)45

 

The opening phrase of No. 51 also has progressive harmonic movement, mostly with
jumps of the fifth in the combined bass line."'6

In summing up, eighteen untexted first phrases of Dufay's songs clearly fulfill their
functions of establishing tonality in their respective songs: seventeen begin on 1 (plus one
in V-I) and sixteen also end on I (and two on V). Furthermore, the number of I—V
beginnings increases from Group I to Groups 3-7 (33-58-60%).

Concerning harmonic and cadential procedures, an octave-leap V-I cadence appears
as early as in Group I, and three authentic V-I cadences occur in Group 2. These three
opening phrases on V-I commonly have a further progressive trait: low-ranged contratenors
which act like bass voices. In each of these songs, the first phrase clearly defines the

tonality by stressing the I and V relationship. Although the introductory passages of

 

 

 

158

Groups 3-7 do not incorporate this type of contratenor, such experiments continue until
Dufay's late period (m, 163).

Though the time-honored V115—I cadence is continuously seen through Group 7
songs, the difference in the use of this cadence in opening phrases between Group I and
Groups 3-7 may be observed in the early works' use of parallel sixth-chord progressions in
sonorites leading up to the cadence point while the mature songs (three out of four) favor
root-position chords.

In the following sections about first phrases which are texted, harmonic and
cadential procedures are also examined mainly to see whether there are stylistic differences
between untexted opening phrases and those with text, and for tracing further

developments in Groups 8—9.

(3) Texted Opening Phrases
It has been mentioned above that, while 41% (sixteen out of thirty—nine) of Groups
1-4 songs have introductions, only 10% (two songs) of Group 7 have them, and Groups 8
and 9 contain no songs with introductions.
Unlike untexted first phrases, which begin and end on I (or occasionally on V),
texted openings use IV, V, and "other" chords along with I for their beginnings and

endings. First, various opening sonorities are as follows:

TABLE 21.-~The Opening Sonorities of Texted First Phrases in Dufay's Songs

 

 

 

 

In addition to the new appearance of beginning on N and "other" chords, the ratio of V
beginnings here is sizable compared to that in untexted introductions.

As for I and V openings only, the table below shows that later groups show an
increase over Groups 1-2 in the use of V or I as ensuing sonorities (thus I-V or V-I),

similar to what happens in the developments in untexted first phrases (33-58-60% in

Groups 1, 2, 37):

TABLE 22.-I-V or V-I Beginnings in Texted Opening Phrases

 

 

Groups and Percentages of I-V or V-I Openings (Total: 58)

 

Gr. I I Gr. 2 Gr. 4 Gr. 7 Gr. 8 Gr. 9

 

 

 

 

 

 

25% (3712)] 50% (5710) 100%11/1) 63% (13120) 50% (413) 63% (578)47

 

In addition, two other songs (Nos. 8 and 60) in Group 7 even consist of I-IV-V opening
progressions.

In summary, opening sonorities of texted first phrases are different from those of
untexted ones in the sense of being much more open by beginning often on sonorities other
than I. But both categories share a gradual increase in I-V or V-I beginnings. These
aspects also correspond to the pattern for the endings of both categories, as may be seen
below.

Concerning the endings of texted first phrases, then, the use of various scale

degrees is as follows:

 

47Among these five songs of Group 9, No. 82 has a I-V6 progression.

160

 

 

TABLE 23.--The Endings of Texted First Phrases in Dufay’s Songs

Endin Sonorities and

Gr. 9 63% 0% 25% 13% 1

 

The increased use of endings on various scale degrees here makes the percentage of I

endings noticeably lower than in those in untexted introductions:

TABLE 24.--The Comparison of the Number of Endings on I Between Two Categories

 

 

Groups and Percentages of Endings on 1

categories Gr. I Gr. 2 GIS. 3-7 Gr, 8 Gr. 9

 

 

Without Text: 100% (6/6) 71% (5/7) 100% (5/5) - -

 

 

 

 

 

With Text: 80% (8/10) 57% (4/7) 68% (13/19) 40% (2/5) 63% (5/3)

 

Thus, as is the case for opening sonorities, endings of untexted first phrases also present

tonal centers more clearly than texted ones do.

 

4'8Nine songs with texted openings are excluded from the consideration of ending
chords of first phrases due to unclear divisions of phrases for various reasons. First,
No.10 consists of only two voices in the first 12 measures. Second, Nos. 25, 28, and 29
appear deliberately archaic in style. All three are polytextual, and Nos. 28 and 29
additionally use the isorhythmic motet style in the lowest part. In the case of N o. 28, the
tenor and contratenor are in canon consisting of repetitions of a pre-existing four-measure
tune with their own text, "Slons ent bien tos au may" (see Fallows, Dufay, 28, 889).
Third, Nos. 50, 54, and 81 each make use of canon between the superius and tenor.
Finally, Nos. 65 and 71 have only the first few words so that the identification of first
phrase endings is subjective. In addition, texts of Nos. 20, 64, and 75 are not present in
their entirety, but existent first lines at least define the opening phrases.

49Among five songs here, one (No. 22) ends on 16.

161

 

 

This aspect is again traceable if types of endings on I are compared between two

categories:

TABLE 25.--Types of Endings on I in Two Categories

0.
Opening Phrases
in Groups. VH6-I Other Degrees-I

St

Grs. 4-7: 13 54% (7) 8% (1)

 

This table shows that in untexted introductions the number of VH6-I endings is
comparatively high, as many as four times the number of V—I endings in Groups 1 and 3-7.
Meanwhile, in texted first phrases the number of V-I endings equals the VH5-I in Groups
1-2, and exceeds the latter in Groups 89, in which V-I authentic cadences outnumber
octave-leap cadences three to one.52

It is mentioned above (p. 149-50) that some scholars view the V-I (octave-leap and
authentic) cadence in fifteenth-century music as one of the contrapuntally conceived ones
which retains the conventional stepwise discant and tenor motions. But there are many
examples of exceptions from this type. That is, in seven (39%) out of eighteen V-I first-
phrase endings in both categories the tenor moves up as a leading tone rather than moving

down to the tonic as prescribed in early treatises:

 

50V-I cadences here include both authentic and octave-leap types.

51The ending of No. 33 (Gr. 7) is v-16.
523cc Nos. 22,74, 82, and 84. Among these, the ending of No. 22 is V-I6.

162

 

 

TABLE 26.--V-I Cadences with Leading-tone Tenors

 

V-I with Leading-tone Tenors in Groups ‘
Total Gr. 1 (50%) fl 2 460%) I Grs. 3-7 (50%) JGI‘S. 8-9 J
7/18: Nos. 26. 31 (44)] 15. 58 (Zn) 133. 61. 63 (W953 1- l

 

 

 

 

 

 

Apart from harmonic and cadential distinctions between untexted opening phrases
and texted ones, these two categories commonly share the employment of two new styles.
First, Harmonietr'ager is mentioned in relation to low-range contratenors in some untexted
introductions in Group 2 (S_um, pp. 152-54). This experiment appears to have continued
in Dufay's later period, since a number of songs with texted openings in later groups also

have this feature. They are as follows:

TABLE 27.--Contratenors as Harmonic Carriers in Songs with Texted Opening
hrases

 

Contratenors as Harmonic Carriers in Group854
Gr. 2 Gr. 7 Gr. 8 Gr. 9

No. 58 .(55), 8555 (77, 78, 79), 80 72, (74), 82, 84

 

 

 

 

 

 

 

 

Among these, a good example is No. 58 (in Group 2), which even ends the first phrase
with I-IV-V-I:

 

53In Nos. 61 and 63 each, the leading tone is led to I by way of a sixth ("Landini
cadence") as an embellishment. See Besseler, ed, Dufay, 79 and 81.

54Numbers in parentheses have harmony-carrying contratenors, but final lowest
notes of opening phrases in them are given to tenors.

55The first two fundamental notes are given to the tenor, but the rest of them
throughout the piece are provided by two contratenors, With the exception of two notes.

163

 

 

 

 

Ex. IX-7. No. 58 (Estrines moy: mm. 1-5)56

 

 

8 ‘-

Second, the chordal nature of some untexted introductions in Groups 2 and 3 is
discussed above (pp. 154-55). Although not typical of Dufay's songs, it is found also in

Group 1, 2, and 7 songs with texted openings:

TABLE 28.-—Chordal Style in Songs with Texted Openings

 

 

Songs in Chordal Style in Groups
Gr. 1 Gr. 2 Gr. 7
Nos. 13, 26, 31, 32 42, 59 18, 19,_57, 61 ‘

 

 

 

 

 

 

 

A sample illustration of chordal style can be seen in the first phrase of No. 13:

 

56Besseler, ed., Dufay, 76.

164

 

 

 

 

 

Ex. D(-8. No. 13 (J'ay mis mon cuer: mm. 1-4)57

 

The long discussion about opening phrases of Dufay's songs above can be
summarized as follows. Examination of these phrases supports a further development of
two new phenomena, which, according to Hoppin, began in late fourteenth- and early
fifteenth-century works. First, he notes that the approximately chronological order of
sources from this era shows "an evolutionary development" in the order in which an
increasing use of I as an opening sonority corresponds with a decrease in the use of 1V and
other chords, and my analysis of Dufay's songs illustrates further progress of this
tendency.

Second, Hoppin sees in the increased use of untexted introductions from around
1400 the first written examples of instrumental preludes whose function is to establish the
tonality of vocal pieces at the beginning. Indeed, while introductory phrases are not found
at all in Machaut's and Landini's songs, they are encountered in eighteen songs (24%) by
Dufay and in fifteen (25 %) by Binchois. Those in Dufay's songs clearly fulfill their
functions of establishing tonality in their respective songs by beginning and ending on I

(with a few exceptions on V), and by the increased use of I-V or V-I beginnings and

 

 

 

 

 

endings from Group I to Groups 3-7. Meanwhile, the function of those of Binchois is far
less clear, since almost half of them end on other than I or V.

Unlike untexted introductions, texted first phrases in Dufay's songs include the use
of IV, V, and "other" chords along with I for beginnings and endings, and have a lower
percentage of VH6-I cadences. Thus, these untexted openings are much less likely to
present clear tonal centers. However, both categories share the gradual increase of I-V or
V-I beginnings and endings. Although harmonic maturity in Dufay's late periods may not
be a reason for the gradual disappearance of introductions in Groups 7-9, presumably they
do aid early works by establishing tonal centers in opening phrases.

Two other important issues which are dealt with in this chapter are H_arrn_o__nietriigg
and chordal style. These show neither stylistic differences between untexted opening
phrases and texted ones nor typical characteristics of Dufay's songs, but apparently reflect

harmonic experiments that took place throughout his life.

166

 

 

 

 

CHAPTER X
COHERENT TONAL PROGRESSIONS IN DUFAY'S SONGS

This chapter concerns inner tonal progressions and structural tonal organization
(i.e., structural tonal patterns of beginnings and endings of major sections) in Dufay's
songs with regard to the emergence of harmonic tonality. Songs by Machaut, Landini, and

Binchois in three or more voices are also analyzed to establish an historical perspective.

Although many scholars have limited discussions of the development of the new
tonal harmony to post-1600 music, others have acknowledged its existence in fifteenth- and
sixteenth-century music.1 For example, Edward Lowinsky contends that toward the end
of the fifteenth century “the identity of the bass part with the root of harmony becomes
common practice in falsobordone, lauda, and their secular counterparts, frottola and
villancico."2 Similarly, Salop asserts that in Obrecht’s music a root-carrying bassline is
already firmly established.3

Some researchers have also studied this line of development in Dufay's songs.
Lynn Trowbridge, for example, statistically compares Dufay's songs to those of other

fifteenth-century composers in regard to intervallic structures of "root progressions" (along

 

1Various scholars' views on the development of tonal harmony are discussed in
detail in Chapter II of this study.

2Edward E. Lowinsky, "Canon Technique and Simultaneous Conception in
Fifteenth-century Music: A Comparison of North and South," in Essays on the Music of J.
S. Bach and Other Divers Subjects, ed. Robert 'L. Weaver (Louisville, KY: University of
Louisville, 1981), 190.

3Arnold Salop, "The Masses of Jacob Obrecht: Structure and Style" (Ph.D. diss.,
Indiana University Press, 1959), 227.

167

 

 

 

 

 

with other elements).4 But, in the statistics of the work in question, rates of the use of
certain intervals (e. g. the fourth and fifth) in root movements are not considered in the
context of overall harmonic coherence. That is to say, tonal degrees (in relation to a
fundamental tone) involved in forming an interval are not taken into account My
examination shows that many songs in the fourteenth and fifteenth centuries include leaps
of fourths and fifths, but that often the tonal degrees employed in these leaps are tonally
weak ones such as the second and sixth, or the third and seventh.5 Therefore, merely
establishing a rate of the use of certain intervals may not necessarily accurately reflect the
state in the development of tonal hamony.

Comparative analysis of songs by Machaut, Landini, Binchois, and Dufay in terms
of macro- and micro-harmonic structure in this study offers some new insights into not
Only a momentous phase in the evolution of tonal harmony, but also the origin of the new
harmony in the early fifteenth century.6 The discussion below begins with structural

patterns.

(1) Structural Tonal Patterns in Dufay's songs
The investigation of structural patterns in songs by Dufay and the other three
composers focuses on beginnings and endings of two main sections in formes fixes. More

rarely, songs in three sections are either in the form of the French ballade with an additional

 

4Lynn Mason Trowbridge, "The Fifteenth-century French Chanson: A Computer—
Aided Study of Styles and Style Change" (Ph.D. diss., University of Illinois at Urbana-
Charnpaign), 1982.

5This topic is dealt with in the course of this study.

6The origin of the new sound 1n the fifteenth century has been one of the
vigorously controversial topics in music history. Various views pertaining to the origin are
generally divided into two groups. One upholds fourteenth- and early fifteenth- -century
English music as the source of new harmony, while the other advocates Italian trecento
music. For detailed discussion on this issue, see Chapter HI, section I of this study.

168

 

 

C section (aabC) or, as in Dufay's one song, a "stropha" (through-composed) with three
sections (ABC). Although French Virelais or Italian ballate consist of two sections, A
returns after B in these forms (AbbaA). Therefore, the ending of the B section is the main
internal cadence, and A oCcurs at both the beginning and the end of a piece. This shape is
reflected in the following tables about overall tonal structures of songs by repeating the

tonal pattern of A after section B (these repetitions are initiated with the letter "R").

Among seventy-six songs by Dufay,7 four which lack major inner divisions (e. g.,

 

due to a canonic or through-composed structure) have been eliminated from the discussion
of internal structural patterns.8 Of the remaining seventy-two songs, many employ only I
or I and V for the tonal levels which begin and conclude the main sections. The following
table shows the occurence of these type of structural patterns in Binchois' and Dufay's

songs:9

 

 

7Among the eighty-six songs (including two opera attribuenda) in Besseler's
edition, ten are eliminated from consideration in this study for various reasons such as
questionable authenticity. See above, pp. 95-96.

8These four songs are Nos. 19, 25, 29, and 50. No. 28 is in isorhythmic motet
style, but the piece is divided into two parts by a sign of congruence. See Besseler's
edition, 51.

98cc Besseler, ibid; and Wolfgang Rehm, ed., Di h n n v 11 ill Bin h i
(1400-1460), Musikalische Denkmaler, Bd. 2 (Mainz: Akademie der Wissenschaften und
der Literatur), 195 7.

 

TABLE 29.--Tonal Levels Involving only I or I and V at the Beginnings and Endings of
the Main Sections in Binchois' and Dufay's Songs

) Dufay

 

 

As is seen from the table above, the 60% of Dufay's songs ranks relatively very
high in comparison to 30% of Binchois' songs. The figure takes on even more
significance when compared with 20% (8/41) of Machaut‘s and 22% (12/ 54) of Landini‘s

songs with the tonal levels of only I ml and V at their structural points.10

 

10Among forty—two songs in three or more voices by Machaut, one which is a lai
(No. 12), with a series of sections, is excluded from consideration here. Many of
Machaut' s and Landini' s songs (ballades and ballatas) have double endings at the rnid—
point, and often the latter endings only are on I (ZS/26 by Machaut, and 29/49 by Landini).
Since the second ending marks the formal division of the two main sections in the forms
fixes, the first of the double endings will be dealt with as an inner cadence. See Leo
Schrade, ed., The Works of Guillaume de Machaut, Polyphonic Music of the Fourteenth
Century Series, vol. 2-3 (Monaco: Editions de l'Oiseau-Lyre), 1956; The Works of
Guillaume de Francesco Landini, vol. 4, 1958.

170

 

Of these songs by the four composers, more than fifty percent of Binchois' and
Dufay's (10/13=S6%; 25/43=5 8%) end on V at the mid-point,11 whereas only 17% (2/12) of
Landini's and none of Machaut's songs do. Viewed from the perspective of later
developments of harmonic tonality, this can be seen as a progressive feature suggesting that
Binchois' and Dufay's songs exploit a large-scale sense of tonal coherence such that mid-
ending on V lacks an effect of finality. Many songs by Machaut (23/41=68%) and Landini
(42/54=78%) keep the same tonal level at the mid-point as at the final. In those cases where
songs by these two composers employ double endings (in ballades or ballatas), the first
endings are on various tonal levels other than V, except one case for each composer (1/25 in
Machaut, and 1/29 in Landini).

According to Hoppin, the effect of the "ouvert" ending is weakened if fundamental

tones are not understood at the beginning:

In secular monophony, ouvert and clos endings furnish logical proof that a
consciousness of the tonal center must have been established at the beginning. The
ouvert ending, after all, comes before the dos and would be utterly pointless if the

bearer did not already know that it was not the final."12
Hoppin uses the term "ouvert" and "clos" here for different endings of repeated
sections (e. g., in ballades). However, the importance of establishing the "tonal center" at
the beginning would also be applicable to songs with mid-endings on V. Based on this
assumption, Dufay's songs seem progressive in that among the works in question, which

employ only I ml and V at the structural points and end on V at mid-points, 72% (IS/25)

 

11The term "mid-point" has been used by David Fallows in designating the
cadential point of the main inner division in two-part songs. See Fallows, Dufay (London:
J. M. Dent & Son, 1982), 87. In case a song is in virelai or ballata forms, the mid-point is
the end of the B section rather than that of the A, which is the final cadence point in these
forms. Concerning "mid-points" of songs with three sections, the endings of the first two
sections will be examined together.

12Richard Hoppin, "Tonal Organization in Music before the Renaissance," in Paul
A. Pisk: Essays in His Honor, ed. John Glowacki (Austin, TX: The University of Texas,
1966), 26.

171

 

 

 

begin on I, and 20% (5/25) on V—I. In contrast, only 50% of those by Landini (1/2) and
Binchois (5/10) start on I, and 0% on V—l. (One should be reminded that no songs by
Machaut end on V at the mid-point).

A study of the entire repertoire in question by these four composers shows the same
ranking as that drawn fiom the more limited set discussed above. The percentages of
songs with mid-endings on v are 39% (28/72) in Dufay, 30% (18/60) in Binchois, 9% (5/54)
in Landini, and 0% in Machaut. Likewise, of these songs with V at the mid-point, the
percentages that also begin on I or V-I are 93% (2145/28) in Dufay, 50% (8+1/ 13) in
Binchois, 20% (“O/5) in Landini, and 0% in Machaut. Finally, it is significant that 52%
(ll/21) of Dufay's songs beginning on I move directly to V as the ensuing sonority,
whereas none of comparable songs by the other composers does so.

In summary, among those four composers' songs, Dufay's appear to be tonally
most advanced. This is suggested by the majority of his songs (60%) utilizing only I or I
and V at their structural points compared to just 30%, 22%, and 20% of the songs by
Binchois, Landini, and Machaut, respectively. These results are further corroborated with
the same patterns of rates in the analysis of two other parameters of tonal coherence in their
songs: the percentages of songs with mid-endings on V; and the percentages of those
beginning on I among these songs. However, of these songs beginning on I, only those
by Dufay clearly establish tonality by moving directly to V (52%).

Based upon this examination of overall structural patterns, the four composers'
songs will be divided into four types of final cadences as the starting point for the
discussion below. This classification will serve as a means of organizing an extensive
amount of data drawn from the scrutiny of inner cadences and tonal progressions in

connection with macro-structural patterns.

172

 

(2) Four Final Cadential Types
The following table shows the frequency of occurrence of various cadential types

found in the songs of the four composers:

TABLE 30--Percentages of the Four Composers' Songs According to Four Final Cadential
Types

Other Types
V—>I (octave-leap)
(41) 61% - 5% 1) 34%( 1)

 

(54) 89% - - 11%
(

 

From the table we can observe several pertinent facts about these four composers' songs.
The V116-I final cadence predominates in the songs of all the four composers. The Val13
final ending, which is tonally more advanced, does not occur in the songs by either
Machaut or Landini. Therefore, it is significant that both Binchois and Dufay do employ
this cadential formula in a high percentage of their songs. Although Binchois uses the
V—->I final ending more frequently than Dufay, the examination of overall tonal coherence,
inner cadences, and harmonic progressions in their songs reveals a far more advanced state
of tonal harmony in Dufay's songs. (This group of songs, as well as the other three units,
is discussed separately below.)

Authentic V-I final endings, as well as V—>I cadences, do not occur in Landini's
songs. Furthermore, although the endings of two songs by Machaut are listed in the V—I
category, these occurences seem accidental, since one of the V-I cadences is tonally weak

due to the short harmonic duration of the eighth note for the V sonority, and the other

 

131 am using an arrow mark to designate an octave-leap progression (see also p.
146).

173

 

involves a unique compositional procedure among his songs or his music in general (see
fig, pp. 203-204).

Final cadential types other than VIl6-I, V—>I, and V-I are grouped into the category
of "other types." Included in this group are various endings such as II-I, III-I, and IV-I.
Discussion begins with the first column of the chart above, that is, songs with V116-I final

endings.

(3) Tonal Coherence in Songs with VII‘J Final Endings

Songs by Binchois and Dufay ending with V116-I generally manifest a lesser degree

of tonal clarity than their songs ending with V—)I or authentic V-I.

The songs by the four composers are charted below according to various sonorities

at their mid-points:

TABLE 31.--Tonal Levels at the Mid-point in the Four Composers' Songs with VH6-I
Final Endings

Machaut (25) 64%( /25) w - 36% /25)

Landini (48) 79% /48) 8% /48) 13% /43)
Binchois (27) 22% /27) 19% I27) 59%( /27)
25% 36% 39%

 

From the table one can see that most of Machaut's and Landini's songs end on I at
the mid-point, whereas relatively few of Landini‘s and none of Machaut's end with V. A
considerably higher percentage of Dufay's songs end on V at the mid-point, and the
significance of this in connection with a large-scale sense of tonal coherence is discussed
above (p. 171). Mid-endings on "other degrees" may be considered less progressive than
those on V and, in this regard, Binchois' frequent use of "other degrees" compared with

that of Machaut and Landini does not follow the expected pattern. The study which

174

 

follows considers more detailed inner tonal progressions of the songs represented in these

cadential categories.
3-1) Songs with mid-endings on I

As is shown in tables 30 and 31, Machaut and Landini wrote a large quantity of
songs ending with VH6-I, many of which conform to the pattern of mid-ending on I. The

following table catalogs the more modest corpus of songs which manifest that type of tonal

structure in Binchois' and Dufay's songs:

TABLE 32.--Tonal Levels of the Beginnings and Endings plus Cadential Types of the
Main Sections in Dufay's and Binchois' Songs with Mid-endings on I and

 

 

 

 

Final V116-I
Dufay (9/36=25%)14 Binchois (5/27=19%)15
Section 1 Section 2 Section 3 Section 1 Section 2

 

I---VII6-I 1---v116-r R: 1---VI16-I 1 I---VII6—I v---vrr6-1 1

 

I---VII6-I v-uvrr6-1 R: 1—--v116-1 1 v--—vrr6-r I---vu6-1 1

 

v-_-VII6_1 I-__Vn6-1 1 lV---V116-I VII-"V1164 1

 

VI---VII6-I I---VII6-I R: VI---V116-I 1 IV---V-I ImvnF—I 1

 

 

 

 

VII-«V1164 I---VII6-I 1 I---u6-I 1-——v116-I 1
V---V-I I---VII6-I 2
V---II-I I---VII6-I 1
I-—-Ir6-I6 1---VII6-I 1

 

 

 

 

 

 

 

 

 

 

Mid-point cadential types of VH6-I, II-I, or 116-I in Binchois' and Dufay’s songs shown

above are likewise those commonly used by Machaut and Landini. However, unlike

 

14Dufay’s songs in this table beginning at the top are Nos. 1, 4, 57, 24, 28, 52,
78, 20, and 31.

15These songs by Binchois from the top are Nos. 55, 48, 12, 11, and 42.

175

 

Binchois and Dufay, neither Machaut nor Landini employs the more progressive V-I in his

comparative songs.

Despite the lack of the newer V-I cadence at the mid-point, Landini's songs,
contrary to those by Machaut, include tonally advanced features which strongly
foreshadow the new harmony in Dufay's songs. This progressiveness in Landini can be
viewed as a result of the use of a low-ranged tenor which often retains harmonic roots, and

a number of harmonically oriented large leaps.

The low-range tenor’s separation from the upper two voices in Landini's songs
precludes crossing between the two lower voices, whereas suCh crossing occurs commonly
in songs by Machaut, Binchois, and even Dufay. The following table shows the
percentages of their songs which in modern editions employ the same clefs in the lower

two voices, or also in all the voices:16

TABLE 33. «The Frequencies of the Four Composers' Songs with Mid-endings on I and

Final VH5-I Which Use the Same Clefs 1n the Lower Two Voices, or in All
the Voices

Machaut (16) 75% ( 16) 38% he)

Landini (38) 16% /38) 5%
Binchois (5) 100% /5) '
Dufa 100% '

 

The same clef in the lower two or in all the voices is very infrequently found in
Landini's songs, unlike the other three composers' songs. Some scholars regard the
isolation of the low-range tenor in Landini's songs as an indigenous Italian element which

should be considered important in connection with the origin of the new harmony in the

 

16Schrade, ed., The Works of Guillaume de Machaut, and The J—orks of
Guillaume de Machaut; Wolfgang Rehm, ed., Die Chansons von Gilles Binchoi; Besseler,

 

ed. ,Dufay.

 

 

 

 

 

early fifteenth century.17 For example, as will be seen below, the separation of the lowest
voice becomes more common in Dufay's songs with V-I final cadences, which Besseler

attributes to Dufay's stay in Italy.18

In addition to the use of the low-ranged tenor, Landini's songs include many root
movements of the fourth and fifth which foster strong harmonic orientation. 61% (23/38)
of songs have many leaps of the fourth and/or fifth, all of which involve either or both
tonal degrees OH and V (e. g., 1-IV; I-V; V—II), and 92% (35/33) include I-V or V-I. These
two percentages imply harmonic progressiveness of Landini’s songs in that they are quite
comparable to those in songs by Binchois (3/5=60% and 4/5=80%) and Dufay (4/9=5 6%
and 8/9=89%), leaving those by Machaut (6/16=38%and 12/16=75%) behind.

Leaps in the lowest voices in Machaut's and Lanidni's songs are generally isolated,
but some songs contain consecutive or quasi—consecutive skips. It is important to note,
however, that those in Machaut’s songs are often tonally weak, as illustrated in the example
below (mm. 1-4 of No. 23, a ballade). The leaps of C-G and G-C found in the opening
two measures do not help establish tonality, since the song is in D. Thus, the progression

of this opening is IV-VII.

 

17Some scholars' views on the importance of the "tenor foundation" in Italian
trecento music are discussed above, pp. 37-40.

18See above, pp. 33-34.

177

 

 

 

Ex. x-1. No. 23 (1.39 fortung me dgy: mm. 1-4) by Machaut19
b b

 

In another song by Machaut, No. 26 (ballade) in C, mm. 1821 include a series of

jumps in the tenor and contratenor which outline only I and V:

Ex. X-2. No. 26 (Qonnez, signeurs: mm. 18-21) by Machaut20

®

 

Ct

T

However, in spite of the existence of many leaps in this example, the harmony is generally

static (145-I-I-I-V-1). That is, m. 18 includes a leap of G-C in the lowest notes, but the

 

19Schrade, ed., Machaut, 101.
201bid., 108.

178

 

harmony is I45-I. Similarly, mm. 19-20 contain G-C and C—aC in the tenor and the
' contratenor, but the two Cs are the lowest pitches throughout these measures, forming a
"combined bass."21 Only the G-C progression in the contratenor in m. 21, then, actually

functions as V-I.

Another feature in this example, as well as in fourteenth-century music in general,
is the employment of a bare-fifth harmony (rather than a full triadic sonority) by duplicating

the first or fifth of a harmony in another voice.

Whereas the consecutive skips found in these two songs by Machaut generally do
not function to reinforce the basic tonality, a number of consecutive or nearly consecutive
leaps in Landini's songs do so. The example below is the tenor of No. 106 (ballata) in D
from m. 5 to m. 13 in which, as well as in the whole piece, it remains as the lowest voice,

and establishes D tonality very clearly:

Ex. X-3. No. 106 (La meme mi ripmnde: mm. 5-13, the tenor only) by Landini22

(Er-”7"”? N'\.I

 
 
 
 

 

 

.i—W

 

 

21The term "combined bass" has been used in this study to denote a composite bass
with the lowest tones found in the tenor and contratenor. Originally, Besselercorned the
word "Kombinationbass," for this mode of procedure, however, without Signifying the
"specific sense of carrying the root of the harmony." See Besseler, Bourdon und
Mm, 93. The quotation is from Edward E. Lowrnsky, Canon Technique and
Simultaneous Conception," 200.

22Schrade, ed., Landini, 132.

179

 

 

Furthermore, although this song begins on IV, all inner cadences are on I or V except one
which is the first of the double endings of the B section. However, the use of a bare-fifth
sonority is a common feature, similar to those of Machaut. In addition, leaps with a strong
tonal cast are found in Nos. 112, 118, 128, 130, and 140.

Harmonic leaps similar to those in the example above can also be observed in
Dufay's songs, whereas consecutive skips in some of Binchois' songs show affinity to
those in Machaut's instead. Of Dufay's songs with mid-endings on I, No. 31 clarifies the
tonality of F in the opening phrase by moving I-V at the beginning and IV5-I-V—>I
thereafter:

Ex. X-4. No. 31 W: mm. 1-4)23

T

 

In this phrase, all the vertical sonorities except those of the beginning and end contain the
third, but root tones are generally duplicated in another voice, thereby resulting in

incomplete triads. After the clear establishment of tonality in the first phrase, other inner
progressions also emphasize the I and V relationship by cadencing on only I or V, and in

some measures, the contratenor moves with strong tonal implications emphasizing the V

area, as seen below:

 

23Besseler, ed., Dufay, 53.

180

 

Ex. X-5. No. 31 (Ma belle dame: mm. 7-10)24

Ct

T

 

In these measures, the contratenor remains as the lowest voice, although this song
generally employs a combined bass. Furthermore, nine of the ten vertical sonorities are in
root position, and none of these consists of a bare fifth (five are complete triads). This
example shows a new phenomenon in its embryonic stage, but the significance of these

vertical settings may be summed up by Edward Lowinsky:

Whenever the bass appears prevailingly as root of the harmony, we deal with a new
phenomenon in the history of polyphonic music, with harmonic rather than
contrapuntal conception. There is no other way in which triadic harmony with the root
in the bass can be explained. Just as a Gregorian melody in long-held notes and

proportionally diminished or augmented rhythms proves a tenor part to have been
conceived before all other voices of a polyphonic complex, so does a preponderance of
root tones of triadic harmony in a bass part offer confirmation of Simultaneous or, at

any rate, harmonic conception.25
Harmonic progressions similar to those in No. 31, which features clear
establishment of tonality in the opening phrase and root-position sonorities with I and V
areas emphasized, can be also observed in Dufay's other two songs (Nos. 52 and 78)

which cadence with V-I at the mid-point Of these two songs, No. 78 (in C) opens with V-

 

241bid.
25Lowinsky, ibid., 182.

—

181

 

I and continues with V-II-V-II—>V. The roots of this series of sonorities, except for the

last, are all found in the contratenor, where an octave leap occurs:

Ex. X-6. No. 78 (Belle, vueilles moy vangier: mm. 1-5)26

 

8

Each sonority of the V-II-V-II progression in mm. 2—4 is triadic with no duplication
of a note in another voice. In a way similar to the harmonic procedure in the example
above, the first phrase of the B section (mm. 15-20) also underlines I and V, retaining the

contratenor as the lowest voice except near the cadence point:
Ex. X-7. No. 78 (Belle, vueilles moy vangjerz mm. 15-19)

49

 

Ct

 

26Besseler, ed., Dufay, 92.

182

 

 

On the contrary, Binchois' songs seem tonally less refined. Among five songs in
question, Nos. 11 and 12 emphasize harmonic leaps of C-G and G-C in the opening
phrase, but these skips are tonally weak ones in that the two songs are either in D or in G.
Thus, a leap of CG involves either VII-IV or I-IV in these songs. In the case of No. 55

by Binchois, mm. 12-17 contain harmonic leaps which stress I and V:

Ex. X-8. No. 55 (_Eiles a marier: mm. 12—17) by Binchois27

GP

 

C1:

C17

Whereas this example shows an advanced tonal progression comparable to those in
Dufay's songs given in the examples above, at the same time it is combined with
retrogressive harmonic phenomena. That is to say, despite the fact that this piece has four
voices, the lower two voices share the same range, forming a combined bass, and most of
the vertical sonorities in this example do not include thirds. Furthermore, the G (a quarter
note) in m. 13 of the superius clashes with all the other voices. This free treatment of
dissonance is a rather common feature in Machaut's songs, but generally foreign to the

fifteenth-century style.

 

27Rehm, ed., Binchois, 52.

183

 

 

 

In view of the important points about the songs with mid-endings on I and with
final VH6-I, the examination of cadential types at the mid-point shows that only Dufay and
Binchois employ the newer V-I cadence. Despite the absence of V-I at the mid-point,
however, many of Landini's songs are tonally advanced, compared to those of Machaut
and even of Binchois, foreshadowing the new tonal harmony found in Dufay's songs.
Especially Landini's use of an isolated range for the lowest voice, which thus generally
keeps harmonic roots, is distinct from what happens in songs by Machaut, Binchois, and
even Dufay, in which the lower two voices generally form a combined bass. This aspect of
the lowest voice's separation from the upper two voices in Landini's songs supports some
scholars' view that it is basically an Italian element which significantly contributed to the
emergence of the new harmony in the early fifteenth century, through Northern composers
who stayed in Italy. In spite of an advanced tonal state in Landini's songs, however, the
general use of bare-fifth sonority and also the rarity of new types of endings (e. g., I-V, V-
I) at inner cadential points are typical features in fourteenth—century music.

3-2) Songs with mid-endings on V

The previous section suggests that a song ending on V at the mid-point may be
considered progressive, since the phenomenon establishes a large-scale sense of tonal
coherence, a coherence which may be enhanced if the tonality of the piece is clarified at the
Opening (S_uprg, pp. 171-72). From this point of view, Dufay is seen to be most
progressive among the four composers in question. None of Machaut's songs arrives at
the mid-point with V, and only four of Landini's end on V at that point. The following

table lists Binchois' and Dufay's songs which conform to that type of tonal structure.

184

 

 

 

TABLE 34.--Tonal Levels of the Beginnings and Endings plus Cadential Types of the
Main Sections in Dufay's and Binchois' Songs with Mid-endings on V

 

 

 

 

 

 

 

 

 

 

 

 

and Final vn6-i
Dufay (13/36=36%)23 Binchois (6/27=22%)29

Section 1 Section 2 Section 3 Section 1 Section 2
I—-—Iv6-v Ior V---v116-I 2 I---Iv6-v v—--v116—I 1
I---v115-I V---iv6-v I---vr16-I 1 V---iv6-v HIT-“V1164 1
v---IV6-V I or V---VII6-I 4 I---VI-V v---vu6-I 1 i
V---IV6-V iri-—-v116-I 1 I---VI-V Vi---v116—1 1
I---I-V I---VII6-I 1 I---I-V v---VII6-I 1
I---v116-1 V---I6-V r---v116-I 1 I---lI-V I---VII6-I 1 Q
I---II-V IV---VII6-I 1
V---II—>V V---v116-i 1
I---VII6-I I---II—>V I---VII6-I ' 1

 

 

 

 

 

 

 

 

 

This table shows that 85% (ll/13) of Dufay's songs begin and end each section on I
or V, while 67% (4/6) of Binchois' do. As for Landini's songs, although the sample to be
considered is small, 50% (4/5) manifest the same type of tonal structure. A similar pattern
of ranking among three composers’ songs can also be seen in regard to the use of new
inner cadence types such as I-V, V-I. These are present in 85 % (ll/13) of Dufay's songs,
50% (3/6) of Binchois’, and 0% of Landini's.

However, two other aspects of their songs do not fit this pattern of ranking and

serve to illustrate Landini's ro essiveness be ond that of Binchois. First, some of these
P gr y

 

28These songs beginning at the top are Nos. 33, 59, 11, 55, 63, 67, 73, 76, 41, 5,
61, 8, and 16.

29These songs by Binchois from the top are Nos. 60, 59, 53, 20, 24, and 32.

185

three composers' songs contain root movements of the fourth and fifth, all of which
involve either or both scale degrees I and V (e.g., I-IV, II-V, and V-I). 69% of Dufay's
songs exhibit this technique whereas only 17% of Binchois' and 25 % of Landini's do.
Second, while all of Landini's songs in question employ different clefs for the lower two
voices, none of Binchois' (or Dufay’s) does $0.30

Turning to inner tonal procedures, Landini's four songs contain only isolated
harmonic leaps. As for Binchois, his songs in general do not seem quite as advanced as
those of Landini. However, in N o. 60, all five inner cadences are on I or V, and inner
tonal progressions also clearly establish the I and V relationship. However, consecutive
harmonic leaps in mm. 17-20 stress II and VI along with V (V-II-V-lI-VI-II). Another
song by Binchois, No. 32, also includes consecutive harmonic leaps in the tenor and
contratenor in mm. 5-8 and 13415, but the harmonies remain static when the lowest notes
are reduced to a combined bass.

Thus, whereas only No. 60 of Binchois' songs illustrates harmonic refinement (and
that only to a moderate degree), a number of Dufay's songs include progressive harmonic
features. First, 62% (3/ 13) of his songs clarify the basic tonality by beginning with I-V or
V-I, while none of Binchois' or Landini's does so. In addition, most of Dufay's opening
phrases center on I and V, with 38% (5/13) ending this phrase with V-I or V—>I. This
emphasis on the I and V relationship also occurs frequently in other internal phrases, and
31% (4/ 13) maintain all the inner cadences on I or V.

Moreover, Dufay's songs include many consecutive harmonic leaps of the fourth
and fifth. A good example is found in mm. 14-19 of No. 55, at which point all the root
tones are in the contratenor (I-V-lI-V—eV-H-IV6-I-V):

 

308ee Nos. 111, 132, 140, and 153 of Landini's songs.

186

 

 

 

Ex. X-9. No. 55 (V0 regard: mm. 14-19, the contratenor only)31

O

    

Ct

None of the sonorities on these roots has the open fifth.

Summarizing this discussion on songs with mid-endings on V and final VH6-I:
Dufay ranks highest in the use of V at the mid—point. This seemingly progressive large-
scale tonal coherence is further enhanced by his employment of progressions such as I-V or
V-I at the beginning, harmonic leaps which reinforce the basic tonality, and newer cadential
types. Meanwhile, another aspect of harmonic progressivenes can be observed only in
Landini's songs: the low-range tenor. Furthermore, his use Of harmonic leaps, all of
which involve I and/or V, in a comparatively high percentage of songs also implies an

advanced sense of tonal clarity.
3-3) Songs with mid-endings on other than I or V

As table 30 shows, a high percentage (59%) of Binchois' songs utilize mid-ending
on non-I or -V, whereas lower rates (39% or less) of those by the Other three composers do
so. A song with mid-ending on other than I or V may be considered less progressive than
one ending on either of these two when viewed retrospectively from later harmonic
developments. In this sense, the highest rate in the use Of mid-ending on non-I or -V in
Binchois' songs implies his use of non-progressive harmonic language. Further

examination of the four composers' songs supports this hypothesis:

 

31Besseler, ed., Dufay, 74.

187

 

TABLE 35.--The Frequencies of the Use of I or V-I Beginning, and Of Harmonic Leaps
All of Which Involve I and/orV in the Four Composers' Songs with Mid-

endings on other than I or V and Final V115-I

or - vmg
Machaut (9) 78% I9) 44%( l9)

Landini (6) 17% ( /6) 33% /6)
Binchois (16) 50% / 16) 37% / 16)
14 79% / 71% /

 

In this table, from the standpoint of the specified criteria, one can observe that Binchois'
songs rank lower than those by Dufay and even by Machaut in the use of I or V beginning
and harmonic leaps all of which involve I and/or V.

Furthermore, although three of Binchois' songs (Nos. 15 , 40, and 44) contain
successive harmonic skips in their openings which reinforce the basic tonality, such as V-I-
V-II-V in No. 15 , these songs however also include harmonically weak progressions. For
example, in No. 15, the sonorities through the mid-point are H6-I-VII-IV-II, and all inner
cadences are resolved stepwise.

Tonally advanced consecutive leaps similar to those in the openings of Binchois'
three songs are also found in Machaut and Landini, although less frequently. One of the
rare examples of successive leaps with strong harmonic implications in Machaut's songs is
shown below. This song, No. 18 (rondeau), consists of only seven measures, but the

Opening sonorities clearly establish the tonality by moving I-V-I-V-I in a combined bass:

188

 

 

 

 

 

 

 

 

 

Ex. X-10. No. 18 (Puis gu'en oubli: mm. 1-3) by Machaut32

   

One phenomenon in which Binchois is clearly advanced, compared with Machaut

and Landini, is his employment of new types of endings (e. g., I—V and V-I) for internal
phrases in 44% (7/16) of his songs. Virtually none of Machaut's and Landini's internal
phrases have these endings, while 50% of Dufay's do.

 

In contrast to the generally meager harmonic refinement in Binchois' songs, some
of Dufay's show a strong tonal cast. One example given below shows the contratenor
from m. l to m. 17 of No. 54, which carries all the lowest notes, except for four, in these

measures:

 

32Sebrstde, ed., Machaut, 161

189

 

 

Ex. X-l 1. No. 54 (Mon cuer me fait: mm. 1-17, the contratenor only) by Dufay33

Ct

 

V

 

The low-range contratenor with many harmonic leaps in these measures illustrates the
beginning of the change of the role of the contratenor toward that of a real bass, which was
to be firmly established already by the late fifteenth century.34

Another song by Dufay, No. 72, generally maintains the contratenor as the lowest
voice throughout the piece except in the last phrase, but, in general, Dufay's preference for
a low-range bass is readily apparent only in his songs with V-I final cadences. As is the
case for other groups of songs above, only Landini's songs here generally use different
clefs in the lower two voices.
3—4) Summary

The examination of mid-endings reveals that only Dufay and Binchois employ the
newer types of cadences (e.g., I-V, and V-I). The study of various factors contributing to
tonal coherence in the four composers' songs shows the following pattern: Dufay's songs
mark the highest level of tonal coherence, with lesser levels going to Binchois, Landini,

and Machaut in that order. For example, Dufay ranks highest in the use of V at the mid-

 

33Besseler, ed., Dufay, 72-73.

34See Arnold Salop, "The Masses of Jacob Obrecht: Structure and Style" (Ph.D.
diss., Indiana University, 1059), 222-27.

190

 

 

 

point, a progressive phenomenon in terms of large-scale tonal coherence, and, of his songs
utilizing this feature, most frequently employ progressive techniques, such as I-V or V-I
beginnings, harmonic leaps which reinforce the basic tonality, and newer cadential types.

In some respects, Binchois' songs show a lower level of harmonic logic than the
above ranking suggests. In particular, his songs with mid-endings on other than I or V,
which from the perspective of later harmonic development may be less progressive than
those ending on either of these two, feature thehighest rate among the songs by the four
composers in this group. These songs with mid-endings on non-I or -V by Binchois
further‘show the weak tonal coherence with comparatively low percentages in the
employment of I or V-I beginnings, and leaps involving I and/or V only.

Machaut's and Landini's songs generally correspond to typical fourteenth-century
musical style in the common use of open—fifth sonority and the rarity of new types of
endings at inner cadential points. Landini’s songs also show a difference from those Of
Machaut (and of Binchois and Dufay also), especially in the use of an isolated range for the
lowest voice, which thus generally sustains harmonic roots. Some scholars regard the
lowest voice's separation from the upper two voices in Landini's songs as an Italian
element which played a significant role in the emergence of the new harmony in the early
fifteenth century, through Northern composers who stayed in Italy. Indeed, The
predilection for the use of a separate range for the lowest voice is readily evident in Dufay’s

more progressive songs with V-I final cadences, as will be seen below.

(4) Songs with Octave-leap Final Endings

As table 30 above shows, only songs by Binchois (25/5o=42%) and Dufay

(17/72=24%) have octave-leap final endings. These songs are charted below according to

various sonorities at the mid-point:

 

 

 

TABLE 36.-~Tonal Levels at the Mid-point in Dufay's and Binchois‘ Songs with Octave-

 

 

 

 

 

 

 

 

leap Final Endings
I V Other Degrees ]
Binchois (25) 16% (4/25) 52% 03/25) 32% (8/25) I
Dufay (19) 47% (*3/17) 35% (6m) 18% (3m) J

 

 

This table shows that most of Dufay‘s songs have mid—endings on I or V, which

may suggest an advanced stage of tonal refinement, while the majority of Binchois' songs

end on V or "other degrees." Songs with final V—>I endings exhibit an overall more

progressive tonal state compared to those ending with final V115-I, especially with Dufay.

4-1) Songs Wi

th mid-endings on I

The following table lists the tonal levels of the beginnings and cadential types of the

main sections in Dufay's and Binchois' songs which arrive at the mid-point with I:

TABLE 37.--Tonal Levels of the Beginnings and Endings plus Cadential Types of the
Main Sections in Dufay's and Binchois' Songs with Mid-endings on I and

Final V—>I

Dufay

7=47%

I-—-V—>I

I or V—--V—>I

I--- R: V---V—>I
I---V—->I R: V---V—-)I
V---V—->I

I---V—->I

 

Binchois

 

I---V—>I

V---V—>I

lI---V—>I

lI---V—>I

35Dufay's songs in the table beginning at the top are Nos. 84, 13, 18, 34, 22, 23,

42, and 81.

36Binchois‘ songs from the top are Nos. 13, 49, 51, and 52.

 

 

F_____ , . AW, _-

Beginnings and endings of the sections in all Of the eight songs by Dufay in this table
involve only I ml and V, but 50% (2/4) by Binchois do not. Advanced tonal implications
in these songs by Dufay may further be revealed in that 100% of his songs begin with I or
V-I, and 63% (5/8) have V—>I at the mid-point as well as at the final (in fact, all of these are

I—V——>I). Moreover, 88% (5/8) contain harmonic leaps, all of which involve I and/or V.

The four songs by Binchois which fit the criteria for inclusion in this section make
up a comparatively small sample on which to base major generalizable conclusions, but
they are typical of his songs, without strong harmonic logic. For example, two songs have
mid-endings on V—>I, but each begins on VII or IV. Furthermore, inner progressions in
these two songs also often stress non-I or-V such as the leap-related progression of I-IV-I-
IV-IV46-I-III6 in mm. 6-8 of NO. 51. The other two songs, Nos. 13 and 49, establish a
sense of tonal clarity by beginning with I—V or V-I and ending with I-V—>I. NO. 13 even
employs successive leaps (e. g., mm. 8-10) with strong harmonic orientation. In contrast
to these more progressive features, however, all inner cadences in No. 13 are resolved
stepwise (two on VI), and a combined bass is formed despite the fact that the lower two
voices employ different clefs.

Inner progressions in Dufay's songs establish greater tonal coherence than those in
Binchois' songs. And most of the songs contain successive skips with strong harmonic
orientation. One good example comes from m. 42—5 1 of No. 18, in which all the lowest

notes except for the first one are in the contratenort37

 

37The significance of the low-range contratenor in the development of tonal
harmony is mentioned above, p. 190.

 

 

 

 

 

 

 

 

 

 

 

 

Similarly, a low-range voice with a strong tonal cast in some phrases is found in
Nos. 23 and 84. No. 84 in four voices, in particular, manifests this advanced technique.39
Of the lower two voices, which have F—clefs, one explores the new bass region, moving
down to CC six times. The example below shows mm. 11-17, where this voice carries all

the root tones except one:

Ex. X-13. No. 84 (Q3 douleurs: mm. 11-17, only "Concordans II")4O

 

 

 

 

 

 

 

 

 

 

- rn “14‘ . 1 #1 1 r it 1
Wm I 1.111 1 1 1 1 . l 1 1 1
1/ 314111 1 I i 1 1 . 1 L
1 v—r\(11 fir 1 L 1 n 1 . 1 \ ,
' a: a ' ' '
/’T‘
in- 1 *rr I ‘ ‘s—
II_'L 4 l 1 A r K s
1] 1L 1 11 F . 1 I .
r v 1 1 r s 1 ‘

Thus, Dufay's songs discussed in this section generally manifest considerably

heightened tonal coherence with emphasis on I-V relationship at the beginning and inner

 

38Besseler, ed., Dufay, 35.

39Besseler transcribed this song for three voices, with the repetition of the music in
a different meter in the second part (see his edition, 97—98), as per the instruction of a
muscript "Ad secundum perfecte." However, Charles Hamm reinterprets the instruction to
specify a canon with a voice added to the superius after three semibreves. Hamm's editiOn
of this song in four voices is presented in Charles Hamm, review Of Guillelmi Dufay:
Opera omnia, Tomus. VI, by Heinrich Besseler, in M_Q 52 (1966), 252-54.

40Besseler, ed., Dufay, 97

 

cadences and progressions as well as at the final cadential points. It may not be accidental
that an incipient change of the range of the contratenor from the mid—region to that of the
bass in some of his songs corresponds to a more functional orientation of the harmonic
progressions. As for Binchois, apart from his employment of the newer V—>I at the final,
as well as at the mid-point, the four songs in question show comparatively quite weak tonal

coherence.
42) Songs with mid-endings on V

Songs by Dufay with mid-ending on V for the most part exhibit progressive
features of heightened tonal coherence observed already in his songs with mid-endings on I
and final V—>I. That is to say, those ending on V at the mid-point also consistently employ
functionally related harmonic progressions. Meanwhile, Binchois' relatively conservative

harmonic usage compared with that in Dufay's songs can be observed in the following

table:

TABLE 38.--The Frequencies of Various Aspects of Hamonic Usage in Binchois’ and
Dufay's Songs with Mid-endings on V and Final V—>I

 

 

 

 

 

 

 

 

 

 

 

Binchois Dufay
I or v-1 beginnings 54% (7/13) 100% (6/6)
Leaps involving I and/or V only 54% (7/13) 67% (4/6)
Inner cadences only on I or V 38% (5/ 13) 67% (4/6)
Structural patterns with only I or I & V 62% (3/ 13) 83% (5/5)

 

Furthermore, although the low-range contratenor in some phrases with a number Of
harmonic leaps, as shown in the two of Dufay's songs with mid-endings on 1 above,
appears in one of Binchois' most progressive songs here, in No. 50a in four voices, it is
not as progressive as it seems. For example, in the opening six measures, the lowest
notes, except for one, consist of only I and V, but, in fact, the harmony is I—VII6-I-I45-VI5-

V-VI6, as is shown below:

195

 

 

 

 

 

Ex. x14. 509 mussels: mm. 1-6) by Binchois41
fl (9

r

       

 

Ct

Ct

Unlike this progression, which hovers between root-position and inverted

sonorities, a similar passage (mm. 11-21) in No. 65 of Dufay's, which sustains the
contratenor as the lowest voice with many harmonic leaps, has all vertical sonorities in root
position, except for one.

Recapitulating the important points of this section, Dufay's songs show enhanced
tonal unity with a well-developed feeling for the I-V functional relationship, while this
relationship in Binchois' is far less common. Similarly, although phrases with many leaps
found in the low-range contratenor are to be found in both Binchois' and Dufay's songs,

Dufay's apparent preference for root-position sonorities represents a forward-looking taste.

4-3) Songs with mid-endings on other than I or V
Table 36 above shows that a substantial body of Binchois' songs (32%=8/25) with

final V—>I have mid-endings on other than I or V, whereas a considerably smaller portion

 

41Rehm, ed., Binchois, 46. Another version of this song No. 50a is No. 50,
which is in three voices including a solus tenor (i.e., a rough contraction of the lower two
voices). For a detailed discussion on the solus tenor, see above, 15-17.

196

 

 

 

 

of Dufay’s (18%=3/ 17) do.42 A number of these songs by Binchois, in addition to this
weak tonal orientation at the mid-point, have structures which do not to any great degree
maintain tonality through the use of functional harmony.

Concerning openings in Binchois' songs in the present group, 75% (5/3) begin on
I, a high percentage compared to 44% of his own songs in the 3-3 group (with mid—ending
on non-I or -V and final VH5-I). In spite of this fact, 50% (4/3) of his songs do not clearly
establish the basic tonality in the opening phrases by ending them on other than I or V. For
instance, N o. 7 begins on I but ends the first phrase with 11 and VI, and the next phrase
also begins on V1.

The other 50% of his songs, Nos. 3, 16, 36, and 45, have a strong tonal cast in
opening phrases, especially in that they end with V—)I or V, and additionally contain
successive harmonic leaps in inner phrases. However, these leaps often do not reinforce
the basic tonality, as is the case in many of his other songs. For example, the second
phrase of No. 16 has a number of leap-related progressions around IV -I and ending on IV
(in mm. 11-14). The next phrase, then, begins on VII. Similarly, the second phrase of
N o. 45 includes a I-V-II-V progession which is followed by a cadence on VII, and the next

phrase also begins on VII.

On the other hand, Dufay's three songs in question comparatively well define the
fundamental tone. The opening phrases of two (Nos. 71 and 79) of these three songs
begin and end on I, and No. 71 contains a series of leaps (V -I-V-II-V). Furthermore,
although No. 74 begins on IV in two voices, the first three-voice sonority (in m. 3) occurs
on I and the first phrase also ends on I. Inner phrases of this song, except for one (at the
mid-point), likewise clarify the tonality by cadencing on I or V and by employing triadic
figures on I in all the voices (in mm. 26-30) shown below:

 

42The songs categorized into this section are Nos. 71, 74, and 69 by Dufay, and
Nos. 3, 7, 9, 16, 25, 27, 36, and 45 by Binchois.

 

 

 

 

 

Ex. X-15. No. 74 (Erang cuer gentil: mm. 26-30)43

 

4-4) Summary

Even though Binchois often uses V—>I cadences, inner progressions in his songs
generally do not show strong tonal coherence, in that they affirm various tonal degrees
other than I or V. This is particularly prevalent in his songs with mid-endings on non-I or -
V. Compared to Binchois' songs or his own with final V116-I, those by Dufay with final
V—>I generally show considerably heightened tonal coherence with a well-develoPed
feeling for the I-V functional association in root position. This more functionally oriented
harmonic progression also corresponds to the change of the role of the contratenor toward

the embodiment of the bass function in some of his songs.

(5) Songs with V-I Authentic Final Endings
13% (9/72) of songs by Dufay, 10% (6/60) by Binchois, 5% (2/41) by Machaut, and
none by Landini' end with the V-I cadence. Although these figures do not appear to be
highly significant in the context of their total outputs, Dufay's songs, nonetheless, mark an

epochal moment in the development of bass-controlled hamonic setting.

 

43Besseler, ed., Dufay, 89.

198

 

 

The aforementioned songs are classified below according to their mid-point

sonorities:

TABLE 39.--Tonal Levels at the Mid-point in the Three Composers' Songs with, V-I Final
Endings

Machaut (3) 50% ( /2) - 50% ( /2)

Binchois (6) 17% ( /6) 17% ( /6) 67% ( /6)
Dufa 33% 56% 11%

 

From this table one can see that the majority of Dufay's songs have mid-endings on
I or V, while most of Binchois' end on "other degrees." In addition, this pattern of rates
for these composers is also generally consistent in their songs with V116-I or V-—>I endings.
(Machaut's small output of songs provides too small a sample for one to make any
generalizations about it.) Since mid-endings on both I and V are a relatively uncommon
phenomenon in the songs of these three composers, they will be examined together as one

unit.

199

 

5-1) Songs with mid-endings on I or V

TABLE 40.--Tonal Levels of the Beginnings and Endings plus Cadences in the Main
Sections in the Three Composers' Songs with Mid-endings on I or V and

Final V—I

Dufay Binchois (

V---Il-V
Machaut (

 

As this table shows, all of Dufay's and Binchois' songs of this group employ only
the tonal levels of I or I and V at the beginnings and endings of main sections, but the
single song by Machaut uses also other degrees. This song is, in fact, tonally unstable
throughout in that it dwells on various degrees other than I and V. Also, the duration of the
V sonority in the V-I cadences at the mid-point and the end is only the eighth note.

This kind of tonal instability is also prevalent in No. 1 of Binchois' songs. Its
inner cadences fall on various tonal degrees (I, II, III, and V) and involve stepwise
resolution, except for one (VI-III). No. 57, however, manifests characteristics of the new

harmonic trend. For example, all its inner endings employ newer cadence types on V

 

4 44Dufay's songs from the top in the table are Nos. 10, 15, 77, 70, 82, 45, 58, and
9.

45Binchois' two songs in this table are Nos. 1 and 17.

46The single song by Machaut is Nos. 3 (ballade).

200

 

 

(e.g., I-V), and the contratenor is generally the lowest voice. The importance of this low-
range contratenor is mitigated, however, by its employment of many eighth (and also some
sixteenth) notes in stepwise motion.

The eight songs by Dufay, on the contrary, mark the beginning of a new stage in
the development of tonal harmony. In five (63 %) of these songs, the contratenor generally
stays in a low register assuming the role of a bass voice, and the other three songs show
significant progressive tendencies.

These latter three songs all begin with I-V, and all their inner cadences occur on
either I or V, and mostly involve newer cadence types. No.15 is comprised of two
phrases, an identical interlude and postlude, which give strong harmonic implications (I-V-
I-II6-I-V-I) with the contratenor as the lowest voice. In No. 49, although the lower two
voices form a conbined bass against the upper two, the harmony is tonal with most of the

lowest tones on eitherI or V in the bass region (in F-clefs):

Ex. X-16. No. 49 (He, compaignons: mm. 5-8)47

(9 b

 

Ct

 

47Besseler, ed., Dufay, 68.

201

 

 

Similarly, No. 70, for four voices, involves a combined bass and maintains a
clearly defined functiOnal harmonic setting, with extensive use of triadic motives on I and V
throughout the piece. This emphasis on I and V with triadic sounds culminates near the
end in fast broken chord-like figures (in C), a technique which foreshadows some

sixteenth-century works:48

Ex. X-17. No. 70 W: mm. 34-39)49

 

(31

Thus, although these three songs by Dufay are based on the combined bass, they are

considerably more tonally oriented than Binchois' songs or his own in the other groups.
The other five songs of Dufay exhibit an even stronger tonal cast with the

contratenor generally sustained as the lowest voice. NO. 58 (in G) serves to illustrate the

clear function of the contratenor:

 

48For example, see La guerre by Clement Janequin in M. Henry Expert ed., L_e_s_
Maitres musiciens de la Renaissance Frangaise (New York: Broude Brothers, 1964), 31ff.

49Ibid., 87. The extensive employment of triadic figures on I and V can also be

seen in N o. 19, which ends with V-I, but has been eliminated from consideration in this
chapter due to its lack of the mid-ending (it is a through-composed form).

202

 

 

 

Ex. X-18. No. 58 (_Estrines moy: mm. 18-26, the contratenor only)50

®

   
 

Ct

 

8

In summary, the emergence of the low—range contratenor functioning as a real bass
in Dufay's songs with V-I endings introduces a new era in the development of bass-
controlled harmony. This phenomenon is found in only one of Binchois’ two songs in this
group, and to a far lesser degree, because of the comparatively more stepwise movement of
the contratenor. The appearance of the V-I final cadence in Machaut's single song in this
group is hardly significant not only in terms of quantity, but also due to the weak inner

tonal procedures.
5-2) Songs with mid-endings on other than I or V

One song (No. 14, rondeau) by Machaut, four (Nos. 2, 38, 39, and 58) by

Binchois, and one (No. 40) by Dufay are the subjects of this section.

The one song by Machaut in this group, No. 14 WW,
employs an extraordinary and also unique compositional procedure in Machaut's music in
general, which Richard Hoppin explains as the following:

. the only one of all his works with retrograde motion in all parts. The
manuscript sources give one melody that produces both upper voices of this rondeau.
One performer reads the melody forward, while the performer who sings the text must
read the melody backward. The lower part, which the manuscripts label variously as
tenor or contratenor, is only half as long and must be performed forward and then
backward, so that it too ends with the beginning and begins with the end. As a result
of these procedures, the second section of the rondeau is a retrograde repetition of the
first, but with the upper voices interchanged. Machaut showed astonishing skill in
achieving this playful parallel between words and music, but the piece must not be

 

50ibid., 76.

 

203

 

 

 

 

regarded as a representative work. Retrograde motion in all parts of a polyphonic
complex is rare in music generally, and its appearance in this rondeau is unique in the

music of Machaut.51
This song is deceptively progressive, with simple harmony centering on I and V
and with the tenor (or contratenor, according to manuscripts) as the lowest voice
throughout. But these two advanced features may be, in a sense, designed to simplify the
harmonic difficulty of the complex formal procedures. In fact, the melody in the middle
voice is the same as that in the top played backward. Since the harmonic characteristics of

the piece are unique among Machaut's works, they may be regarded as exceptional.

Upon examination of Binchois’ four songs of this group, one finds that none
begins with I or V-I and ends the first phrase on I. For example, No. 39 begins with V-II
and ends on VI. Although this song along with No. 2 sustains the contratenor as the
lowest part in general, many inner cadences and progressions emphasize non-I or -V tonal
levels. Song No. 58 is also scored with the majority of the lowest notes in the contratenor,
and even all the inner cadences, except the one at the mid-point, fall on I or V. However,
in contrast to these prOgressive traits, the contratenor here does not appear to assume its
new function as a bass with a smooth melodic line and predominantly faster rhythmic

value.

Unlike Binchois' songs, No. 40 by Dufay clearly establishes the tonality by starting
with V-I-V-I and ending the first phrase on I. This song, set with a combined bass, does
not, nonetheless, exhibit the harmonic straightforwardness of his other songs with mid-
endings on I or V.

5-3) Summary

Of Dufay's nine songs with V-I cadences, all except one have mid-endings on I or

V. And these eight songs also exhibit an advanced harmonic state in the development of

bass-controlled harmonic progression, by the use of the low-range contratenor acting as a

 

51Richard Hoppin, Medieval Music (New York: W. W. Norton, 197 8), 427.

204

 

 

 

real bass. This employment of the low-range contratenor is also fOund in some of
Binchois' songs, but its new function observed in Dufay's songs is virtually non-existent
here because of the predominantly stepwise movement of the contratenor. Moreover, the
majority of Binchois' songs have mid-endings on non-I or -V with further tonal instablity
in inner progressions incurred by the emphasis of various tonal degrees. Two V-I final
cadences in Machaut's songs ending on V seem almost accidental not only with regard to
quantity, but also due to weak or unusual tonal procedures (e. g., involvement of retrograde

motion in all the voices).

(6) Songs with "Other" Types of Final Endings

6-1) Songs with stepwise resolutions of the lowest tones at the fun! ending

Stepwise resolution at final cadences occurs in some songs of all four composers.
VII-I cadences can be found in songs by both Machaut and Landini (one and two instances
respectively). The Vllé-I6 cadence appears in one of Dufay's songs, the II-I in four of
Machaut's, the V46-I in two of Binchois, and the IV-or Iv6-V in three of Dufay's52

These songs by Machaut, Landini, and Binchois with stepwise resolution (but with
other than VH5-I) generally exhibit many of the same tonal features as occur in their songs
with VH6-I endings. For example, 80% of Machaut's involve a'reasonably close range for
all the voices, as the employment of the same clefs for all of them in the modern edition
implies. Also, although Binchois' songs (Nos. 4 and 43) involve new cadence types in
inner progressions, affirmation of various tonal degrees in a combined bass weaken the

overall tonal coherence.

 

521n this study, the fundamental tone in a song is basically defined as a lowest
ending note. But for five songs by Dufay, this approach seems not satisfactory, since each
of these five songs ends on the tone a fifth higher than the one substantially emphasized
throughout the piece. Tonal procedures in these songs are discussed in detail above, pp.
95-99.

 

But all of Dufay's four songs in this section differ considerably from those with
VH6-I endings. In N o. 85 (in four voices) with VII‘S-I6 final cadence, the contratenor II,
the only voice scored in an F-clef, is generally the lowest and manifests a strong I-V
functional relationship. Furthermore, although the one and one-half measure postlude
concludes with VH6-I6, there is a V-I at the point where the text ends.53 Thus, except for

the final cadence, stylistically this song shows affinity to his own songs with V—I endings.

N o. 44, another song by Dufay, also shares many of the features observed in the

 

above song. That is, the contratenor, in an F-clef, lies below the three upper voices (except
for a few notes) in G-clefs. The first phrase establishes the tonality by beginning and
ending on D, and after the affirmation of D and A through inner progressions, the song
cadences with A-D at the text's conclusion. The postlude then moves to A "as if [it were]
an afterthought."54 Some scholars view the employment of the low-range contratenor (as
the fourth voice) in this song as Dufay's solution to the technical problems he encountered
in No. 14. This song also ends on V after centering on I and V throughout, but has only
three voices, which are scored in the same range (all in G-clefs).

No. 60, the last song ending on V in this group, centers on C throughout the piece
(on a combined bass), especially by beginning and ending on C in most of the phrases. As
is the case in the other two songs above (Nos. 85 and 44), the tonal level which has been

emphasized by inner progressions, that is, C, marks the end of the text. Even the ante-

 

53As discussed above (p. 144) in relation to untexted opening phrases in Dufay's
songs, there is a debate about the diversity in text underlay among early sources. My tonal
findings strongly supports the view that untexted opening phrases are really preludes
(whether vocal or instrumental). There is a comparable question whether "postludes" are
real or are just the chance result of defective text underlay. But in this regard, it seems
strange that, if the postludes are not real, they should occur so consistently at the end of the

A (as an interlude) and of the B section (as a postlude). In Dufay’s songs, 38% (29/76)
have these untexted phrases both at the mid-point and the end.

54The quotation is from William Mahrt, "Guillame Dufay's Chansons in the
Phrygian Mode," Studies in Music 5 (1980): 95.

206

 

 

penultimate measure in the postlude has a C-G-C progression. Some scholars regard this
kind of song ending on V as the reflection of an incipient stage in tonal harmony.55
However, since the majority of these songs by Dufay are apparently tonally quite direct
compared to many other songs ending on I (by him or by the other three composers), the
appearence of these endings in his songs may still be open to question.

In summary, harmonic characteristics often found in songs with VH6-I endings by
Machaut, Landini, and Binchois also appear in their songs with other kinds of various
stepwise resolutions at the final cadence. Meanwhile, other than songs with VH6-I
endings, all of Dufay's songs with stepwise final resolution end on something other than I
(three on V and one on 16). Some scholars consider this type of ending as a result of the
immaturity of tonal understanding at this early stage. This view seems not quite
convincing, however, since most of Dufay's songs in question are of tonally
straightforward inner progressions, with strong harmonic support brought about by the
low-range contratenor functioning as a real bass. Thus these songs have features which are
rather similar to his tonally most advanced songs with V—I endings.

6-2) Songs with non-stepwise resolutions of the lowest tones at the final ending

This section concerns songs with the final cadence types of 1145-1 (one by
Machaut), III-I (five by Machaut and three by Dufay), I6-I (one by Dufay), IlI5-I (one by
Machaut), IV-I (two by Machaut), and II-V (two by Dufay). No songs by either Landini
or Binchois are included in this category. The nine songs by Machaut in this section reveal
very weak harmonic logic. For example, none of these songs begins or ends the first
phrase on I or V (with one minor exception), and six of these nine songs use the same clef

for all voices (in a modern edition).

 

5 58cc David Stern, "Tonal Organization in Modal Polyphony," Theog and Practice
6 (1981): 5-6.

 

 

Although Dufay's four songs with III-I or 16—1 endings (Nos. 3, 37, 39, and 43)
clearly establish the tonality in the first phrase by opening and ending it on 1, these pieces
also appear to illustrate quite conservative harmonic language among Dufay's songs. Three
of the four songs do not have newer cadence types, and, although the tenor in all of these
songs moves from V to I at the final cadence point, a combined bass forms III-I, which is
featured also in all of Machaut's songs with III-I endings (ballades Nos. 22, 25, 27, 30;
rondeau No. 19).56

Finally, as for Dufay's two songs with II—V endings (Nos. 80 and 83), both
strongly affirm C throughout. In No. 83 (in three voices), two inner phrases begin and
end on C, and another begins on G and ends on C. Furthermore, as is the case for the
majority of his songs ending on V (discussed in the previous section), the tonal level which
predominates throughout, in this case, C, is also employed for the point where the text
ends. Then, an additional postlude of two and one-half measures cadences with II—V. In
N o. 80 (in three voices), in addition to the clear definition of the tonality of inner
progressions, the voice designated "Concordans" lies lowest (in an F—clet) throughout the
piece.

6-3) Summary

The songs by Machaut, Landini, and Binchois with various "other" types of
cadences commonly employ the harmonic language typically found in their songs with
VH6—I endings. Dufay's songs with III-I or 16-I endings also exhibit a tonal state similar to
that of his songs with final V116-I (e.g., a rarity of newer internal cadence types). All of

his other songs in this section end on I6 (1/5) or V (5/5), but this type of open ending as a

 

56Indeed, Charles Hamm's chronological study of Dufay’s works categorizes three
of these songs s being in Group I and one in Group 2 (among nine groups). See Charles
Hamm, A gzhronologv of the works of Guillaume Dufay Based on a Study of Mensural
Practice, Princeton Studies in Music, no. 1 (Princeton, NJ: Princeton University Press,
1964), 174-78.

 

 

 

 

reflection of the immaturity of tonal logic at this early stage, as some scholars assume, may
still be open to question. The reasons for this include the following: 1) The majority of
these songs approximate his tonally most advanced songs with V-I endings in that their
inner progressions affirm the fundamental tone with the strong I—V functional relationship;
2) Three of the songs employ the low-range contratenor acting as a real bass; 3) All of the
four songs which have postludes use the I sonority (two even use V-I) where the text ends

before the postludes conclude on other tonal levels.

(7) Summary

This chapter focuses on the examination of tonal organization in Dufay' songs in
relation to the emergence of harmonic tonality. The comparative analysis of the three- or
more-voice songs by Machaut, Landini, Binchois, and Dufay with regard to macro- and
micro-harmonic structure offers some new insights into not only a critical stage in the
development of tonal harmony, but also the origin of the new sound in the early fifteenth
century.

Concerning the macro-tonal structure, a large portion of Dufay's songs (60%)
employ only I or I and V at the beginnings and endings of the formally divided sections in
the forrnes fixes. This proportion is two or even three times larger than those of the other
three composers. The same pattern also emerges from the analysis of two other parameters
of tonal coherence in their songs: the percentages of songs ending on V at the mid-point,
and the percentages of those beginning on I among these songs. This considerable
employment of V at the mid-point with the clear establishment of tonality at the beginning is
progressive in terms of large-scale tonal coherence, when viewed from the perspective of
later developments in tonal harmony.

Based upon this examination of overall structural patterns, the four composers'

songs are categorized into four types of final cadences. Under these four groups of songs

 

 

each with final V116-I, V—>I, V-I, and "other types" of endings, various aspects of tonal
unity examined with extensive data are the use of: l) I or V-I opening sonorities; 2) inner
cadences involving newer types on the tonal levels of I or V; 3) inner progressions
(especially leap-related) with I-V functional relationship; 4) the low-range tenor or
contratenor sustaing the roots of harmony. All but the last factors which foster tonal
coherence in the four composers' songs generally show the following pattern: Dufay's
songs feature the greatest incidence of occurrence, with far fewer occurrences found in the
songs of Binchois, Landini, and Machaut in that order. In some regards, Binchois' songs
manifest a lower level of harmonic logic than the above ranking implies. In particular, the
frequency of his songs with mid-endings on other than I or V mark the highest in each
group Of songs, except for the last group with "other types" of cadences, a group which
contains only two of his songs.

The only parameter that significantly deviates from the pattern of the above ranking
in the four composers' songs is the use of an isolated range for the lowest voice. This
deviation is caused by the fact that the phenomenon is commonly found only in Landini‘s
songs. Some scholars view this separation of the lowest voice from the upper two voices
in Landini's songs as an Italian element which significantly contributed to the emergence of
the new harmony in the early fifteenth century, through Northern composers who stayed in
Italy. Indeed, the more functionally oriented harmonic progressions in the majority of
Dufay's songs with V-I endings (and also some of those with final V—>I), compared to the
progressions in his own songs with VH6-I cadences, correspond to the transformation of
the role of the contratenor into that of a root-carrying bass line.

This new type of contratenor is also found in some of Dufay's songs ending on I6
or V (thus, in "other types" of endings) which have strong I-V functional relationships in
inner progressions. In that Dufay's songs with "open endings" generally exhibit strong

tonal implications, the view that this type of ending is an illustration of tonal instability at

 

 

this early stage in the development of tonal harmony may not be so convincing. But the

reason for the occurrence of these open endings in Dufay's songs remains unclear.

The low-range contratenor is found in one of the two Machaut songs with V-I
endings, but its occurrence there seems accidental, because there is just this one
occurrence, and also because of the unusual compositional procedures of the song in
question (e. g., involvement of retrograde motion in all the voices).

As for Binchois, the role of a rarely-found low-range contratenor in his songs with
V-I endings is obscured by the contratenor's predominantly stepwise movement with the
eighth note as the basic rhythmic value.

In conclusion, the frequent use of functionally related tonal progressions in macro-
and micro- structures in Dufay's songs, with the introduction of the harmonically
conceived bass-line in his tonally more advanced songs with V—->I or V-I endings,
illustrates a new pattern of tonal configuration which introduces a new era in the

development of tonal harmony.

211

 

 

 

 

CHAPTER XI
IMITATION

The emergence of simultaneous conception1 in the fifteen century apparently
corresponds not only to the development of harmonic tonality but also to the gradual
refinement of imitative techniques. Any imitative technique tends to require some advance
planning, and structuring of major areas of compositions by imitation involving all the

voices clearly would necessitate simultaneous conception.

Imitation, however, is relatively rare in Dufay's time, and when it does occur, it is
usually confined to the upper voices.2 Nevertheless, it is significant that Dufay uses
imitation much more frequently than his contemporaries,3 and some of his works
incorporate techniques which foreshadow the point-of-imitation technique of the late

fifteenth and the sixteenth century.4

 

1Simultaneous conception here signifies rather a harmonic consciousness which
considers all the voices than a chord-by-chord composition of all the voice parts together.
The controversy about linear vs. simultaneous conception in early music is dealt with in
detail in Chapter II, section (1) of this study.

28cc Walter Bethel, "The Burgundian Chanson (1400-1477): A Study in Musical
Style" (Ph.D. diss., University of Pennsylvania, 1950), 165.

3One exception to this generalization is Hugo de Lantins, who is suggested to be a
nearly contemporary of Dufay and to have a close connection with him in Italy. Most of de
Lantin's sixteen songs (excluding two ppera dubia) include imitative phrases. See Stanley
Sadie, ed. New Grove Dictiona_ry, vol. 10, s.v. "Lantins, de," by Hans Schoop, 457-5 8.
Also see Charles Van den Borren, ed., Piéces pglyphonigues profanes de provenance
Liégeoise, vol. 1 (Bruxelles: Editions de la librairie encyclopedique, 1950), 36-69.

4See Edgar H. Sparks, "Cantus-firmus Treatment in Fifteenth-century Music"
(Ph.D. diss., University of California at Berkeley, 1951), 114. Also see Samuel E.
Brown, "The Motets of Ciconia, Dunstable, and Dufay" (Ph.D. diss., Indiana University,
1962), 114-15, 347.

 

 

 

A number of scholars' convincing demonstration of Italian trecento music as the
origin of principal methods of imitation is significant in understanding the new style in the
early fifteenth century.5 That is to say, as is the case for progressive Italian harmony, in
which the tenor commonly is the lowest voice, thus forming a single bass-line,6 a nascent
development of imitation techniques in Italian music illustrates the latter's advanced tonal
state in terms of the ever growing trend towards simultaneous conception. Before
proceeding to a study of the use of imitation in Dufay's works, then, its origins will be

considered.

(1) The Origin of Imitation Techniques in Italian Medieval Music
Suzanne Cusick maintains that it is possible to trace the early history of imitation
back to Perotin's organa and early motets, and to other medieval forms such as rota, Italian
trecento caccia, and the related French chace.7 However, even though Willi Apel similarly
lists these forms as incipient examples of imitation technique, he concludes that it is Italian
trecento music which is of primary importance in the development of the fundamental
method of imitation, whereas imitation virtually disappears in French fourteenth-century

music.8 Concerning Italian antecedents of fifteenth-century imitation, Apel writes:

 

58cc Willi Apel, "Imitation in the Thirteenth and Fourteenth Centuries," in Essays
on Music in Honor of Archibald T. Davison (Cambridge, MA: Harvard University Press,
1957), 25-37.

6The use of the low-range tenor in Landini's songs is discussed in Chapter X,
passim.

7Stanley Sadie, ed. New Grove Dictionm of Music and Musicians (New York:
New Groves, 1980), s.v. "Imitation," by Suzanne Cusick, 29.

8Apel, "Imitation in the Thirteenth and Fourteenth Centuries," 25-37. Johnson also
supports this view by saying that "the scarcity of imitation witnessed in the [fourteenth-
century] Virelais seems to be typical of all French secular song forms of this time"
(Johnson, m, 364).

 

 

 

 

l) Canonic techniques found in caccia or caccia-related works (e. g., caccia Mass)
are not the only ones, as some scholars assume, responsible for the further
development of imitation.

2) A more original device, and one which seems more important, is the imitative
passage with "snatches of the text appearing in one voice ahead of the other."

3) Although this technique of displacing the position of the voices is not at all rare
in Landini, still the incorporation of imitation is slow to gain acceptance (twenty
instances in one hundred fifty-two compositions).

4) Fourteenth-century imitation reaches a peak in works of Landini's followers,
Lorenzo da Firenze (Lorenzo Masini) and Paolo Tenorista. A number of their
works appear to be prototypes of the early fifteenth-century writing.

5) This is the background, then, where Ciconia, who is the first of a long line of
N othemers residing in Italy in the course of the fifteenth century, could further
contribute to the development of imitation as a fundamental composition
technique.

Ciconia, however, generally employs imitation which is restricted to the two upper

voices, a use which has sometimes been attributed to the influence of the earlier canonic

caccia.9 The other device of imitation with snatches of the text in all the voices is yet rare

in Ciconia's music, while it is comparatively common in Dufay's works, although like

Ciconia, Dufay occasionally writes canonic structures in the upper two voices.

(2) The Use of Imitation in Dufay's Songs

 

9See Alec Harmon, Medieval and Early Renaissance Music (New York: Schocken

Books, 1962; reprint, 1969), 191. Also see Brown, "The Motets of Ciconia, Dunstable,
and Dufay," 134.

 

214

 

 

 

Although imitation is not a fundamental structural technique in Dufay‘s songs,
numerous examples of its use can be found. The frequency of canon and head (or head-
motive) imitation10 in Dufay's songs is charted below and compared with that of

Binchois,who is believed never to have been in Italy.

TABLE 41.--The Percentages of Dufay's and Binchois' Songs which Employ Imitative

 

 

 

 

 

Techniques
Canon Head imi. in 2 voices Head imi. in
(only 2 voices) or 3 of 4 voices all voices
Binchois (10%=6/6o) 0% 5% (3/60) 5% (3/60)
Dufay (50%=33/76) 7% (5/76) 24%(18/76) 20% (15/76)

 

 

 

 

 

 

Note that each category in this table shows that Dufay employs imitation in his
songs to a considerably greater degree than does Binchois. Furthermore, all but one of the
six songs (Nos. 6, 27, 34, 46, 55, and 56) by Binchois in this- table include just short head
imitations (generally four or five notes) only at the beginning of the A or B section with
subsequent entries in which only a few notes overlap. In song No. 55, which appears to

be aberrant from his other five songs by containing imitation in more than one phrase, his

 

10Staggered imitation with the text shifted is often designated as a "head" or "head-
motive" imitation. Ronald Ross gives a detailed explanation for the term head-motive
imitation (in "The Motets of Jacob Obrecht: A Stylistic Analysis," vol. 1 [Ph.D. diss.,
University of Cincinnati, 1973], 63):

Head-motive imitation involves brief melodic restatements (five to seven notes,
usually) of the "head" (initial notes) of a phrase. These restatements are in different
voices, most commonly at the interval of an octave or fifth and at the temporal distance
of one or two measures. . . . Imitation breaks off at various points in each voice as
the phrase moves to cadence.

The term "point of imitation" also denotes a section of music generated by the imitative
treatment of a motif. But the term is generally applied in its plural form to music which has
a consistent imitative structure, with phrases marked off diagonally rather than vertically.
So the conclusion of one point overlaps the beginning of the next. See Howard M.
Brown, Musip in the Renaissance (Englewood Cliffs: Prentice-hall, 1976), 118.

215

 

 

 

 

 

use of imitation is not very advanced or skillful.11 Thus, it seems reasonable to say that
imitation hardly occurs in Binchois' songs.
On the other hand, Dufay's songs, in contrast, display a great deal of imitation.

Five of his songs (Nos. 26, 43, 50, 81, and 84) utilize canons, but all of these are confined
to the superius and the tenor, as is the case in fourteenth—century caccias. However,
Dufay's canonic entries begin at much closer time intervals than caccias do. Three of the
five canons begin with entrances occurring only two measures (or less) apart, and the
remaining two are mensuration canons starting together but with different rhythmic
proportions. Use of these kinds of closely-spaced imitation is progressive, as Lowinsky
notes in the following terms:

Instead of the long time distance of the caccia [an average of nine measures], the

Renaissance canon favors small time intervals. Not only do we now find the canon ad

minimam but also the mensuration canon in which all parts begin together, moving in

differently proportioned rhythms.1
Furthermore, not only Dufay's canons but also his head imitations have an average of less
than two-measures' time distance between voice entries.

Of Dufay's songs with imitation confined generally to only two voices, three (Nos.

4, 54, and 83) incorporate it throughout. For example, in No. 83, all the phrases, except
for the two short interludes and the postlude, begin with head imitation of six to fourteen
notes. The superius and the tenor overlap considerably, and their time interval is generally
one measure. Thus, although the contratenor is not yet involved in imitation in these three

songs, head imitation technique in them is one of their important constructive facets.

 

1L1This song has three phrases which begin with head imitation in the upper two
voices, but two of these three phrases have no overlapped imitative entries. One remaining
phrase in this song has a one-measure overlap between the entries, but all three voices,
including the non-imitative one, are harmonically static.

12Edward E. Lowinsky, "Canon Technique and Simultaneous Conception in
Fifteenth-century Music: A Comparison of North and South," in Essays on the Music of J.
S. Bach and Other Dives Subject , ed. Robert L. Weaver (Louisville: University of
Louisville, 1981), 186.

216

 

 

Furthermore, head imitation in one of these songs, No. 4, forms progressive quasi-

canonic structures between the superius and the tenor. The example below is one of four

such phrases:

Ex. XI-l. No. 4 (pa dolce uista: mm. 12—16)13

 

In this example, the A in the tenor in m. 14 would be a B to fulfill exact imitation, but B
here would cause dissonances against the other two voices. Thus, the change of pitch from

B to A suggests that the composer considered control of dissonance important. Some

 

phrases containing canonic technique are also found in Nos. 11 and 59, and, again, the
adjustment of one note, apparently for reasons of consonance, can be observed in mm. 18
and 63 in No. 11.14

Turning to the last group of Dufay's songs, which include head imitation in all the
voices, many of the entries in them are at the close time distance of the quarter note. And

as is the case for some of his songs in the previous groups, a number of songs with head

 

13Besseler's edition, Dufay, 6.

14Sparks notes that a single example of canon in the lower two voices (the cantus
firrnus in the tenorI and H) in Dufay's Nuper rosarum flores is not statistically important
among his isorhythmic motets, and is even less significant because of its quasi-free
treatment of notes. However, Lowinsky asserts that it is truly these deviations from strict
canon technique that reflect careful design of harmony in this piece. See Sparks, "Cantus-
firmus Treatment in Fifteenth-century Music," 112; and Lowinsky, “Canon Technique and
Simultaneous Conception in Fifteenth-century Music," 191.

217

 

imitation involved in all the voices also show altered pitches or rhythms in the subsequent
entries, apparently in relation to harmony. For instance, in the example below, all the

entries in the three voices are identical except for one note, the first F in m. 12 in the

contratenor:

Ex. xr-2. No. 14 (Je me pomplains: mm. 11-13)15
A

   
      

l. _1

That F would be an A in exact imitation, but, then, such an A and also the A that follows
would cause the bare-fifth sonority, which seems extraneous to this passage where none of
the other progressions involve that.

Imitative entries in No. 38 are remarkable in that they make up what amounts to the
point-of-imitation technique of the early sixteenth century. All of its phrases involve head

imitation, and half (3/6) of them employ it in the three voices. 16 Furthermore, text is

 

15Besseler, ed., Dufay, 29.

16Whereas all but one of Dufay's isorhythmic motets confine imitation to the upper
parts, his cantilena motets generally include all voices for it. "The entire fu'st section of
Mirandas parit is composed in a manner adumbrating the 16th-century motet style,"
although it is only the upper voices which are strict in imitation. (Brown, "The Motets of
Ciconia, Dunstable, and Dufay," 343-347). Moreover, his Ave regina celorum is
remarkably foreward-looking, "with fluent four-voice imitative texture, extremely free
treatment of chant melodies, some paired imitation, and contrast between polyphony and

homophony." (Stanley Sadie, ed. New Grove Dictionaries of Music and Musicians, s.v.
"Dufay," by Charles Hamm, 677.)

218

 

 

 

provided for all the parts; thus, beginnings of textual divisions are marked by head

imitation in the music.

In summary, the use of imitation in early fifteenth-century music is fairly rare, so
that its more frequent appearance distinguishes the work of Dufay from that of others of his
time. Of Dufay's songs, 50% include imitative techniques: 30% in two voices, either in
canon or in head imitation; and 20% in all voices in head imitation. Furthermore, in his

imitations, close time distance among voices and carefully controlled dissonances imply

harmonically governed imitation.

Dufay's extensive use of imitation supports the view that Italian fourteenth-century
music is the source of imitative techniques. This strong Italian impact on Dufay (and also
on a number of other Northern composers such as Ciconia and Lantins) strengthens the
contention that progressive Italian harmony contributed to a profound change in early

fifteenth-century music: the evolution of harmonic tonality.

219

 

 

 

 

 

CHAPTER XII
SUMMARY AND CONCLUSION

This study has traced the evolution of harmonic tonality in Dufay's songs. The
present study contributes to the understanding of early renaissance style in terms of the
evolution towards the tonal system, on the basis of the first systemau'c and integrated
examination of the various early tonal phenomena in all of the songs by Dufay. Statistical
data, drawn from the comparative analysis of a large quantity of songs by Machaut,
Landini, Binchois, and Dufay, are made available through classification tables. Numerous

examples are also provided for illustration.

The first part of the study, which focuses on a detailed survey and analysis of
various scholars' points of view on early harmony, shows that there is substantial support
for the general approach applied in this study. The second part clarifies some theoretical
issues related to the study, and the third part is devoted to the analysis of various aspects of

tonal phenomena.

This examination begins with Dufay’s use of accidentals. It has shown that he
employs accidentals mainly for the scale degrees of the third, sixth, and the seventh in
ways that illustrate his comprehension of the major and minor quality in various scales.
Particularly interesting is Dufay's occasional interchange of the major and minor third
and/or sixth within a piece, a phenomenon which some scholars attribute to a rhetorical
intent. This musical-rhetorical relationship in Dufay's songs is explored in depth in
Chapter VIII, for the purpose of eliminating the problem of inconsistent accidentals among

various sources. In short, Dufay's use of accidentals in his songs marks an early

220

 

 

 

 

 

evolutionary stage of the major/minor system long before the old modal theory passes out
of common use.

This nascent development of the major and minor scales in Dufay corresponds to
the evolution of the tonal harmony in his songs. A significant aspect of this phenomenon is
the considerable utilization of untexted introductions functioning similarly to an
introductory phrase or section in music of later periods. Although the existence of untexted
introductions in Dufay's songs has sometimes been viewed as an outcome of casual
placement of the text, their sudden and substantial appearance in music written around
1400, along with the function of tonal clarification they often seem to display, weakens that
hypothesis. Whereas introductory phrases are not found at all in Machaut's and Landini‘s
songs, they are encountered in approximately 25% of the songs by Dufay and Binchois.
Those in Dufay's songs clearly fulfill a function of establishing tonality by beginning and
ending on L1 (Unlike untexted introductions, texted first phrases in some of Dufay's
songs incorporate non-I or -V sonorities for beginnings or endings.) On the other hand,
the function of untexted opening phrases of Binchois is far less clear, since almost half of
them end on other than I or V.

The new tonal clarity in opening phrases in Dufay's songs reflects just part of the
overall enhanced tonal coherence in his songs. The comparative analysis of inner tonal
progressions in the four composers' songs reveals that tonal unity in those of Dufay at both
micro— and macro—structural levels is unprecedented.

Concerning the macro-tonal structure, already a large portion (60%) of Dufay's
songs employs only I or I and V at the beginnings and endings of the formally divided
sections of the formes fixes. This proportion is two or even three times larger than those of

the other three composers. The same pattern of rates also fits the analysis of two other

 

1A few exceptional opening phrases begin or end on V.

 

 

parameters of tonal coherence in their songs: the percentages of songs ending on V at the
mid-point; and the percentages of those beginning on I among these songs. This common
employment of V at the mid-point 'with the clear establishment of tonality at the beginning is
progressive in terms of large-scale tonal coherence, viewed from the perspective of later
developments.

Within this progressive structural pattern, micro-structural-level procedures in
Dufay's songs similarly exhibit well-developed tonal feeling, with abundant use of newer
internal cadence types on the tonal levels OH and V.

An element which complements this advanced harmonic configuration is the
emergence of the low-range contratenor fuctioning as a real bass, which appears in some of
Dufay's songs with V-I octave-leap cadences, and more commonly in those with V-I
authentic endings. The origin of this different function of the lowest voice has been often
attributed to Italian fourteenth-century music, as it is commonly found in Landini's songs.

In fact, Italy has also been strongly supported as the birthplace of two other
compositional techniques: close word-tone association, which emerged as part of the new
Italian humanism; and imitation. Both of them come more and more to be associated with
the new tonal harmony in the course of the fifteenth century, a relationship which reaches a
culmination early in the sixteenth century. Although they are not a paradigm of Dufay's
musical style, they distinguish his works from those of others of his time, and some of the
ways in which he uses them illustrate his harmonic awareness. As for musical-rhetorical
relationships, it is mentioned above that alternations of the major and minor third and/or
sixth in a number of Dufay’s songs relate to the emotional quality of the text. Similarly, his
employment of imitation with close time intervals among voices, especially compared to
canons of the fourteenth century, and his careful control of dissonances, as seen in

alterations of some notes or rhythms deviating from exact restatement, imply the beginning

of harmonically governed imitation.

 

 

 

 

In conclusion, the appearance of well-developed functional relationships on macro—
and micro—tonal levels in Dufay‘s songs, with the introduction of the harmonically
conceived bass-line in his tonally more advanced songs with V-I endings, marks an

epochal stage in the development of harmonic tonality.

 

 

 

 

 

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