Wayne Shorter Compositions

Yale University Department of Music
Notes on Harmony in Wayne Shorter's Compositions, 1964-67 Author(s): Steven Strunk Source: Journal of Music Theory, Vol. 49, No. 2 (Fall, 2005), pp. 301-332 Published by: Duke University Press on behalf of the Yale University Department of Music Stable URL: http://www.jstor.org/stable/27639402 . Accessed: 26/09/2013 15:29
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NOTES ON HARMONY WAYNE SHORTER'S COMPOSITIONS,
IN
1964-67
Steven Strunk
The tenor saxophonist Wayne Shorter is widely recognized as a con summate improviser, but his historical significance rests equally on his contributions as a composer. The compositions he wrote while playing with Art Blakey's Jazz Messengers began to build his reputation,1 but it came to full flower during and after his subsequent tenure with theMiles Davis Quintet. This article examines harmony in a selection of the music that Shorter composed after leaving Art Blakey's Jazz Messengers in early 1964 and before founding Weather Report with the keyboardist Joe Zawinul and the bassist Miroslav Vitous in 1970. In late 1964 he joined Miles Davis's quintet, for which he composed some of the compositions in question, although most were composed for Blue Note recordings he made as leader with various sidemen between 1964 and 1967. His com positions became known for their harmonic explorations outside the idiom of bebop, for their motivically organized melodic lines, and for their fre
quent avoidance of standard forms.
The main aim of this study is to describe Shorter's harmonic practice

in these works, but I also make some observations on melody and form
Journal
of Music
Theory,
49:2
DOI 10.1215/00222909-010
? 2008 byYale University
301
Table Year 1964
1. Referenced
Compositions Composition
by Wayne
Shorter,
1964-67 Recording
"Armageddon" "Black Nile" "Night "Virgo" "Deluge" "Juju" "Mahjong" "Yes and No" "Fee-Fi-Fo-Fum" "Speak No Evil" "Wild Flower" "Witch Hunt" ("Yes or No") Dreamer"
Wayne
Shorter,
Night
Dreamer
(Blue Note BCT 84173)
Wayne
Shorter,
Juju
(Liberty
BST/4BN 84182)
Wayne
Shorter,
Speak
No
Evil
(Blue Note BLP 4104/BST)
1965
"E.S.P." "Iris" "El Gaucho" "Footprints"
Miles
Davis,
E.S.P.
(Columbia
46863, CS9150/CL2350)
Wayne Shorter, Adam 'sApple
(Blue Note BST 4BN 84232)

Miles Davis, Miles Smiles
1966
"Orbits"
(Columbia 48849, CS9401/ CL2350) 1967 "Miyako"

"Prince of Darkness" Wayne Shorter, Schizophrenia
(Blue Note BST 84297)

Miles Davis, Sorcerer (Colum
bia 52974, CL2732)

"Fall" "Nefertiti"* "Pinocchio"* *No direct reference to "Nefertiti" or "Pinocchio" were studied and contribute to generalizations. is made in this article, although they Miles Davis, Nefertiti (Colum
bia 46113, CS9594)
as they relate to the individual compositions discussed. Of course, the first task thatmust be accomplished in any study of harmony in a body of work is to determine what those harmonies are. This is a particular challenge
in this variable case, than since in most the harmonies jazz of Shorter's tunes. and popular compositions On recordings, are even more change chords
at times in small but significant ways from one chorus to the next. Pub lished sheet-music editions for the compositions often have a remarkable degree of disagreement with each other and with recordings. Sources for this study included the earliest recorded performance of a given piece, the two collections of Shorter compositions published by Jamey Aebersold
302
and Hal Leonard (Schiff 1985; Shorter 1990), the transcriptions in the fifth edition of The Real Book, and the copyright deposit manuscripts at the Library of Congress.2 When these disagreed, as they did frequently, I took all sources into consideration, generally giving greatest weight to my hearing of the recording.3 The compositions considered for this study, listed by year of composition, are shown in Table 1,which also lists the
reference recordings.
I proceed by first considering

these works, and then move
foreground harmonic characteristics

and background character
of
to middleground
istics, including the projection of tonality in general. This exposition forms the background to detailed case studies of Shorter's compositions "Night Dreamer" (1964) and "Orbits" (1966). Harmonic Characteristics of the Foreground
Like many composers, Shorter has often expressed his desire to play with the harmonic expectations of his listeners.4 One of the techniques he uses to accomplish this goal is the use of nonfunctional chords; Patricia Julien has written that a nonfunctional chord does not interact with its fellow chords in a key-defining manner and that "the motion it expresses is generally linear and does not rely on root relations of a fifth or the traditional resolutions of active degrees" (2001, 53). Bebop harmony of the 1940s and 1950s is built on relatively simple elaborations of functional
progressions differences mostly between within bebop a tonic-dominant harmony and framework.5 Shorter's harmony rare Even are so, the to some
extent only amatter of degree, with Shorter greatly developing

harmony that, although sometimes present, are very
aspects of
in bebop.
the I now explore several of the ways in which Shorter manipulates functions of chords, starting with individual chords and moving on to
short progressions.
Unusual Uses
of Chord Structures
It is well known that the intervallic structure of a chord (its type or quality) determines to a great extent its functional implications. One of Shorter's basic techniques for the violation of harmonic expectancy is to
use the "wrong" structure over the right root, particularly in circle-of
fifths bass situations. See, for example, m. 4 of the introduction to "Black Nile" (Table 2a). Here, even before a key is established, Fm7 (implying a dominant to follow) progresses to the nondominant Bbmaj7. This bass line in this context ismuch more likely, of course, to support Fm7 Bb7 or F7 Bbmaj7. Shorter has a tendency, in fact, tomake much greater use of
minorand major-seventh chords, in terms of both sheer frequency and
relative duration,
in comparison
to bebop practice. This increase may be
303
Table 2
a. "Black Nile," Introduction
12 Cm7
b. "Wild
Ghnaj7
Flower"
3 Et>m7
4 Fm7
Bhnaj71 52 F7 54 53 Bbmaj7+5 Bbm7/Eb
20 19 Cm7 F7
c. "Iris"
22 21 Bbmaj7+5 Ebmaj7
51 Cm7
7 8 6 Db7 Abmaj7+5
d. "Prince of Darkness"
9 Cm7
10
12 11 D\?l Cm7
13 Db7
14 15 Bbbmaj7/Di> Db7
16
7 Gm7
9 Gbmaj7+5
10
11 Bbmaj7+5
12 Cknaj7
due to the support these chords provide for modal and pentatonic melodic improvisation, especially when they are held for long durations (as in
"Witch Hunt" and "Footprints") An even blunter signature the upper or in vamps.6
These
uncommon chords.
relatively basic
ways. of Shorter's
techniques
involve using common
chords
uncommon is the major
in
One
use is to simply technique for example, chord types, extensions of a chord?such
seventh with
chord contained
augmented
within
fifth. In a bebop context, one might
find this
as a minor
major seventh with a ninth or a dominant seventh with a ninth, augmented

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

of functional syntax,
nature
is a feature
of many of these compositions, especially as an introduction or at the a chorus. Some of pairs have just a single repetition, while beginning others repeat more often or indefinitely and so may properly be called
"vamps." Many of these chord pairs resemble and function harmonically
304
similarly to the montunos

unique In most new combinations cases, one of
of Afro-Cuban
of chords.7 the chords
bands of the 1940s but contain

a nonfunctional neighbor introduction to
is clearly
the other.8 "Deluge"

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

progression, of four this as a vamp that
phrygian-mode has two statements appears
continues
mm. The 5-8, same
through its first seven measures.

progression
"El Gaucho"
(Example
tonic
1),
on progression on a C-minor times
its F-minor
tonic.
in the first
eight measures
statements progression. (mm. The
of "Speak No Evil"
11-14) A7-5 of A7-5 is a surface
(Table 3b), which

Bbm7, a nonfunctional, acting elaboration
also presents
nondiatonic as an
two
accented
neighbor chord to the Bkn7 chord, which itself is a neighbor chord mov ing from and returning to tonic Cm7. However, leading into the bridge, the Bkn7 acts as a passing chord, initiating a stepwise octave descent in the bass, part of a wedge-shaped progression leading back to the opening C-minor tonic (Example 2).9 The penultimate chord of the bass passing motion is Dl?maj7, the neighbor chord used in the vamplike first eight
measures. "Iris" (Table 2c), when interpreted in F minor, ends on a minor
dominant chord (Cm7) prolonged by two applications of an upper neigh bor substitute dominant as a suffix: Cm7 Db7 Cm7 Db7. The last of these Table 3
a. "Deluge"
12 Ebm7 I 7 11 E\?ml I
b. "Speak
Fbmaj7 8 12 Bbb7 ->

No Evil"
3 Ekn7 9 13 Ab7 IV
4 Fl?maj7 10 15 14 Gbm7 [II bVII
5 Ehn7
6 Fbmaj7 11
Cb7 V]
Et>m7
12 Cm7 8 Dknaj7
Dbmaj7 Ehn7
3 Cm7
4 Dknaj7 10 Dm7
5 Cm7 Bkn7
6 Dknaj7
7 Cm7 13 A7-5 14 Bkn7
9 Em7 Cm7
11 A7-5
12 Bbm7
c. "Armageddon" Introduction Chorus Introduction Chorus
9 Bkn7 Gb7 I I I I
10
11 Bkn7 G\>1 I I I I
12
1 Bhn7 Gt7 / / / /
3 Bkn7 Gb7 / / / /
5 Eb7
305
Dl?7 chords is elaborated by a neighbor chord, Bbknaj7/Dl?, inwhich the upper voices are the neighbor tones. "El Gaucho" (Example 1) also has
a minor dominant as its last structural chord, moving back to an F-major
tonic at the beginning of the chorus as follows: Cm7 Dm7 Cm7 Dm7 Em7 Fmaj7. The repetition of the Cm7 Dm7 pair resembles the neigh bor relationships occurring earlier in "El Gaucho" (mm. 5-8) between Fm7 and Gbmaj7. (The repeated pairs Ebm7 and Fbmaj7 in "Deluge," Cm7 and D|?maj7 in "Speak No Evil," and Cm7 and Dl>7 at the end of
"Iris" also have a similar pattern.)
Vamps of this type may also involve root motion by third, in place of the normative step. In "Armageddon" (Table 3c), in Bb minor, mm. 9-12 of the introduction and mm. 1-4 of the chorus present four vamplike repetitions of the tonic prolongation Bbm7 Gb7 Bbm7. The Gb7 is an example of an embellishing chord having many stepwise voice-leading
connections with the tonic. "E.S.P." (Example 3) features a middleground
neighbor chord, Ebmaj7, moving

Semitonal
to and from the tonic Fmaj7.

Transformations
Some above,
surface can be
pairs explained
and
of groups as semitonal
chords,
including transformations.
some At
discussed the end of
"Juju," the final chord, Bm7

semitonally into B7+5 at each
(m. 12), can be understood

repetition of the chorus.
as transformed
and No,"10
In "Yes
mm.
5 Fm7
6 Gbmaj7
7 Fm7
11
12 Dm7
13 Cm7
14 Dm7
15 Em7
1 Fmaj7
Gbmaj7 Et>maj7 Cm7
I (bVII) Vb
Example
ftVII)
1. "El Gaucho"
Example
2. "Speak No Evil"
306
mm.
1 E7-5
3 Fmaj7
5 E7-5
7 Ebmaj7 2p=
9 D7-5
10 Ebmaj7
11 E7-5
12 Fmaj7
y-b^F
N 3. "E.S.P' Example
Table 4
"E.S.P"
13 1st ending: Dm7 2nd ending: Dt>7 the opening

ing semitonally
14 G7 Gm7
15 Gm7 Dkn7 Gk7
16 Gknaj7 Fmaj7 an appoggiatura

as its resolution.
tonic chord appears as D7sus4,

into Dmaj7, which serves
chord slid
In "E.S.P,"
at the end of the first sixteen measures (Table 4), semi tonal transforma tion links three chords: G7 Gm7 Gknaj'7. At the end of the second six teen, the successions Db7 Gm7 Dkn7 and Gb7 Fmaj7 are semitonally
related. In two cases, a neighbor chord is derived by semitonal transfor
mation
from the chord that it embellishes. "Iris," mm. 13-16, has Db7 BW?maj7(9)/Dl? Db7, in which the neighboring motion is F-Fb-F and Ak-B W?-Ak' Also "Witch Hunt," mm. 21-23, has Akn7 Bbknaj7(add6)/ A\? Abm7, inwhich the neighboring motion isAk-Bk?-Ab and Eb-Fk-Ek
of smooth Shorter's voice by leading, nonfunctional foreground or not all whether progressions move voices are by governed semitone.
Most
Prefix and Suffix Incomplete Neighbors

An from important that of most surface feature that sets Shorter's composition harmonic is frequent style apart elabora
contemporaneous of
jazz two
tion by chromatic
many tional cases, a basic chromatic
prefix and suffix

progression or lower
incomplete
chords neighbor
neighbor
chords.
chords.12 In
by nonfunc occur These
is elaborated
upper
incomplete
either as a suffix to the first chord or as a prefix to the second chord, or both. The interface between the elaborating chords and their adjacent chords is frequently strikingly nonfunctional and disruptive of tonality. Such elaborations are not part of the bebop style.13
Measures 5-8 of "Fee-Fi-Fo-Fum" present the following progression:
Bk
Eb7 ->
D7 V/VI
Gm7 VI
Abmaj7 N
C7 V/V
F7 V
Bb7 I
(?> represents an applied substitute dominant)
307
1
D7
2
Gm Abmaj7
3
Bmaj7 D7
Example
4.
"Fee-Fi-Fo-Fum"
Here the Ahnaj7 is a phrygian-mode suffix incomplete neighbor that interfaces nonfunctionally with the following chord, in this case C7. Measures 5-11 of "El Gaucho" (Example 1) present a motion from minor tonic down to minor dominant with a middleground incomplete lower neighbor suffix following the tonic: Fm7 Ebmaj7 Cm7. This pro gression is further elaborated in the foreground by a repeated phrygian mode upper neighbor suffix to the tonic chord placed before the Etmaj7: Fm7 G?>maj7 Fm7 Gt>maj7 Ebmaj7 Cm7. The last three chords not only constitute a nonfunctional progression but also approach the dominant by equal interval transposition (three half-steps) downward. This kind of progression, part of a division of the octave into equal parts, does not occur (as far as I have been able to discover) as chords in direct succes
sion A in bebop similar compositions, obtains result and thus represents in "Fee-Fi-Fo-Fum," an mm. innovation.14 2-4 (Example 4),
where
in Bh, within a local prolongation of the submediant, the basic ascending motion I?NlII?V is elaborated by the attachment to the tonic chord of a phrygian-mode incomplete upper neighbor suffix. In the result ing progression, Gm7 Aknaj7 Bmaj7 D7, the dominant is approached by equal interval transposition (three half-steps) upward, again involving
chord types.
major-seventh
Shorter frequently elaborates a chord by approaching it through both upper and lower neighbor prefix chords. In mm. 2-4 of the introduction to "Black Nile" (Table 2a), the progression Gbmaj7 El?m7 Fm7 expands the phrygian prefix neighbor (Gbmaj7) to a phrygian double neighbor approach to Fm7. Again, there are equal interval transposition levels (three half-steps ascending) between the roots of the chords that precede Fm7: Cm7, El?m7, and Ghnaj7. In "Wild Flower," which is inD minor, the dominant is approached by the diatonic VI inmm. 1-4, followed by an unexpectedly chromatic lower neighbor: Bhmaj7 Ahm7 A7. In "E.S.P," the return from the first ending (m. 16) to the repeated opening (mm. 1-4) presents a similar pattern approaching the F tonic: Gbmaj7 E7-5 Fmaj7.
308
Embellishing
Some successions
Chords and Dividers

chords on the surface of Shorter's
of nonfunctional
compositions take the form of embellishing chords. The root of an embel lishing chord leaps to and/or from the root of the structural chord that it
embellishes, creating a surface chromatic progression from that is usually non
functional,
chords. Most
involving
such
a chromatic
are closed,
third relationship
moving
between
the two
patterns
and back
to the chord
that is embellished, thereby resembling an extended neighbor tone. The chorus of "Armageddon" (Table 3c) begins with such a progression: Bbm7 Gb7 Bbm7. Although the roots leap, the pitch-class content of the
chords can be seen as semitonally related.15 "Witch Hunt" is a C-minor
blues inwhich the chorus's usual I-IV-I opening progression is replaced by Cm7 Eb7 Cm7. Here the embellishing chord Eb7 is also semitonally
related to the tonic.
Another procedure involving third-related chord roots is the division of a bass leap of a fifth by a chromatic chord. The models for this procedure
are the usual standard events, tonal and in major and I-III-V in minor. In the I-IIlt-V as in are these literature, bebop, normally middleground are at times as well. in Shorter's it is their work, However, they in direct succession that characterizes In the Shorter's music. progressions mm. 3-5 (Table 3c), a progression from tonic
appearance chorus of
"Armageddon,"
(Bbm7) to subdominant (Ek7) is divided in the foreground by a chromatic chord: Bbm7 Gb7 Eb7. In "Prince of Darkness," mm. 1-7 (Example 5), the bass roots arpeggiate the G-minor tonic triad with parallel structures on each root: Gm7 Dm7 Bkm7 Gm7. The leap from dominant to tonic is divided by a chromatic mediant. Another case close to the foreground occurs inmm. 2-4 of "Fee-Fi-Fo-Fum": Gm7 Abmaj7 Bmaj7 D7, dis
cussed above, where, in the G-minor context, the Bmaj7 is an unexpected
chromatic mediant dividing the leap from tonic to dominant. Another pattern of root motion, related to the division of a bass leap,
occurs often enough to merit separate treatment. The downward bass
interval (which may be larger than a fifth) between the roots of two struc tural chords is traversed as follows: a downward skip to a dividing chord is followed by four or five stepwise descending roots, leading to, and
mm. 13 Gm7 Dm7 5 Bkn7 7 Gm7
V 5. "Prince
I of Darkness"
Example
309
mm.
5 Am7
6 Fm7 Bb7
7 Em7-5 Eb7
8 Dmaj7
=fc
III
Example 6.
VI
"Virgo"
mm.
1
Cm7 3
9
Eb7
11
Cm7
17
Gb7
18
F7
19
Fb7
20
21
22
23
24
G7
1
Cm7
Eb7 Abm7
Bbbmaj7/Ab Abm7
r\
I bill
n
I
*^
Example
bV
>
T
bill V bVI I
7. "Witch Hunt"
G7 Cmaj7 Am7 Gm7 E7
A7
Fti7sus
Em7 Djjm7 Dm7
Fmaj7
Amaj7
^^ tÎII 8. "Miyako"
Example
ending
on,
the
second
structural
chord.
The
examples In mm. 5-8
to follow
some
times omit an elaborative

the pattern is basically a
chord or chords (indicated by a hyphen),

foreground event. of "Virgo,"
but
inter
preted in F (Example 6), the following succession links III (Am7) and VI (Dmaj7): Am7 Fm7?Em7-5 Eb7 Dmaj7. Here, a downward skip of a third is followed by descent in half-steps. "Witch Hunt" (Example 7), tonic arpeggiation: I (m. 11 )?bill in C minor,16 exhibits a middleground takes this path from I to bill: The (m. 24). (m. 20)-V arpeggiation Cm7 Gb7 F7 Fb7 Eb7. Again, the final approach is by half-steps, but in this case the initial downward skip is a tri tone. In "Miyako," mm. 1-7 (Example 8), the final approach includes one whole-step: A7 F#7sus Em7 Ebm7 Dm7. Because the stepwise line is interrupted at the Dm7,
the pattern can be seen as complete at that point. However, the passage is
I-III-V arpeggiation, A7 (m. 1)Cmaj7 (m. 9) E7 part of amiddleground and (m. 12), extending the pattern to five stepwise roots connects I to III: A7 Ftt7sus Em7 Ebm7 Dm7 (G7) Cmaj7.
310
Harmonie Discussion
sarily involves
Characteristics
of theMiddleground
and Background
of themiddleground
consideration of how
and background of these pieces neces

tonality is established or attenuated.17
Three of the compositions have diatonic backgrounds, although their structure has little to do with a standard Urlinie. At the other melodic
extreme, we find several compositions with nontonic endings, which we
may understand in terms of tonal pairing, directional double-tonic complex, categories originally developed
nineteenth-century exotic variously tions, subdominant form structures ture, which music. background orientation, The remainder structures or of the involving division
tonality, and the for the study of

feature third rela These struc
compositions structural of the
equal a striking contrast with the usual a tonic-dominant axis. expresses
octave.
bebop
background
Diatonic
Backgrounds
Although their surfaces abound with the chromatic progressions dis cussed above, three of the compositions studied have diatonic background structures. Two, "Black Nile" and "Mahjong," are from 1964; the third, "Miyako," is from 1967. The opening of the introduction of "Black Nile," with its unordered equal interval approach to Fm7 (Cm7 Gbmaj7 Ebm7 Fm7?discussed
above), is quite ambiguous as to key and chordal functions. Upon reach
ing Fm7, mm. 4-8 of the introduction (Example 9) move through a circle-of-fifths including the phrygian bll to an authentic progression, cadence inD minor. This cadence includes the only V chord in the com
position; the substitute dominant, tonic. The bll, serves in cadences thereafter. The
bass
toward
line graph shows an upper and lower voice, both of which

the D-minor upper voice reiterates F-Eb-D with
drive
vary
ing chord structures (thus integrating the introduction with the chorus), while the lower presents the progression VI-bII-I four times, the last time within the final A section (not detailed in the graph). The tonal structure of the chorus of "Black Nile" shows an unusual emphasis on bll, as well as on the chords built on its fifth and third, VI and IV bll occurs as a chord in the introduction and in the bridge (mm. 20 and major-seventh 24), but otherwise it always contains the leading tone, giving it a certain
degree of dominant function, thereby countering the subdominant func
tion of the other structural chords. The first three iterations of VI-bII-I are varied in interesting ways. The bll is a major-seventh chord in the introduction, enabling its D tomove to Cjt in the cadential V chord lying between bll and I. In the first A section of the chorus, bll is the substitute dominant, and there is no V18 The third iteration of the progression cov ers the second A section and the bridge (B). Here, the move from VI to
311
2420
mm. 4 5 6 7 8 12 3 4 5 6 11 8 7 12 13 14 15 16 17 18 19 ExampleNile" "Black 9. Fm7 Bbmaj7 Bb7 Ebmaj7 Em7-5 A7 Dm Eb7 Dm Cm7 F7 Bbmaj7 Dm Eb7 Eb7 Dm Cm7 F7 Bbmaj7 Gm7 Am7 Ab7 Gm7 C7 Fm7 Bb7 Ebmaj7 Eb7 Dm 8 7 6 5 bll VI I 5 6 7 16 15 14 13 8 23 24 10 9 Example"Mahjong" 10.
22 21 20 19 18 17 12 11 10 9 4 3 2 1 mm. Fm7 Ebmaj7 Fm7 Ebmaj7 Dbmaj7 Ebmaj7Dbmaj7 Ebmaj7 D7 Ebm7 Ab7 Dbmaj7 Dbm7 Gb7 Fm7 Ebmaj7 Fm7
fer
as
bll is greatly elaborated. IV divides the interval between these chords, and inmm. 15-17 it is prolonged by an applied subdominant-substitute dominant group (Am7-Ab7). The bridge consists of themove from IV to bll, which is accomplished by a circle-of-fifths progression of II-V pair The progression in the final A sec ings (Gm7-C7-Fm7-Bb7-Ebmaj7). tion is the same as that of the first. in F "Mahjong" (Example 10) also has the progression I-VI-bII-I
minor, but it covers the whole tune, thus occurring only once. Ebmaj7
acts first as a lower neighbor chord prolonging I and then as a passing chord connecting to VI. The latter chord is first prolonged by Ebmaj7 as
an upper neighbor chord and then given a II-V-I cadence (mm. 18-19).
The D7 (m. 17) is an accented neighbor chord. After VI is prolonged, bll, the substitute dominant, is developed into a II-V group before progress ing to the final tonic. The substitute II-V (Dbm7 Gb7) is indicated in the
graph as "[IT V']." "Mahjong," like numerous other Shorter tunes, is an
1-24 ingenious variation of the twelve-bar blues (AAB) form. Measures are an augmentation of the form, with VI replacing IV in the second A
section, and the progression of mm. 17-20 serving as the harmonically
active first half of B. Measures 21-24 are the return to tonic of the second half of B. Measures 25-28 repeat the vamplike progression of mm. 21-24 as an added extension of the tonic. Shorter said of "Mahjong" that there was "nothing very technical musically in it" (Schiff 1985, 52). "Miyako" (Table 5) is the least settled of these three examples, as its
last chord is V, which as a half-cadence. The an actively structural rising melody serves one either authentic as part cadence, any of a turnaround in the middle sense of coming or, at the end, 13, has to rest. The at m.
progression,
that precludes in boldface, shown
I?ÎIII?V?I?II?V,
is surrounded
by II-V groups of various functions. ÎII is tonicized by a II-V pair in mm. 7-9 (square brackets enclose applied II-Vs). A series of three II-V pairs leads to IV at m. 21 (the G7 at m. 16 is a substitute dominant, bll). The final structural II-V pairings are prolonged by a chromatic lower neighbor pair inmm. 23-28. The presence of the multiple II-V groups,
especially in mm. 15-27, also serve connects "Miyako" to earlier bebop tunes that
similarly exploit them.

"Miyako" can as a reminder that harmonic innovation is not
the only feature that led to Shorter's reputation as a composer in this in his melodies and through-composed period. Motivic development
forms from ple In characterize "Miyako," 11a), their occupy second many of his (x), an opening three measures appearance, Two motives pentatonic a (Exam (y), gesture closing three measures each, with intervening. been drawn and com they have together gesture, compositions. and
in pressed (Example lib); they each now occupy only two measures direct succession, and motive (x) has reduced intervals. A longer motive is enlarged to occupy six in (Example lie), occupying four measures,
313
Table 5
"Miyako"
12 A7sus I 10 9 Cmaj7 Am7 rtii V 17 Ftm7-5 [II 25 Atm7 I 18 B7 V]-> 26 D?7
3 F#7sus
5 Em7
6 Ebm7
7 Dm7 [II 15 Abm7
8 G7 V] 16 G7
11 Gm7
12 Fmaj7 E7
13 Amaj7
14 Am7
[II
19 Em7b5 [II 27 Bm7
II
bll]
24 E7
20 A7 V]-> 28 E7
V
21 Dm7 IV
22 Cm7
23 Bm7
(II
chromatic
V)
neighbor
later appearances (Example 1 Id, e). The initial pitches of the three trans positional levels of this motive, B, Ctt, and E, form the inversion of motive is (y). Note also the variety of harmonization: none of these motives
harmonized also sions to form. and extends twice. Shorter's the same way craftsmanship exactly no sectional divi As a twenty-eight-measure jazz tune with no real cadence at the end, "Miyako" but representa is unique,
tive of Shorter's ability to compose outside

songs and bebop.19
the standard forms of popular
Alternatives
to Tonic-Dominant
Polarity in the ab
innovative
Shorter's use of embellishing

sence of any tonic-dominant
chords in the middleground

is one of the most
framework
features of his harmony. "Footprints" (1965) will

"Footprints"20 uses successive upper motive consists 12, mm. and lower
serve as an example.
embellishing chords as
themain prolongation
blues, blues chords, "Footprints" progression. as shown has
of its tonic: Cm7 E7 A7 Cm7. A twelve-bar minor

a bass I-IV-I the opening that expresses of these of an upward arpeggiation to subdominant in 1-8. The move
The motive in Example
mm. 5-6 is accomplished in a unique way by the bass in the upper voices of its arpeggiation: G3 and C4 are replaced by F3 and Bb3, producing a stack of three fourths and leaving the downbeat C3 as a pedal throughout
(fourths are an important motive in the melody, as well). Measures 9-10
314
are melodically
and
harmonically
chromatic,
accelerating
the harmonic
rhythm by a factor of eight. Taken by itself, the string of four chords inmm. 9-10 is not unusual. However, its thick chromatic content and rapid harmonic rhythm come
as a surprise after the static diatonicism of mm. 1-8. Working backward,
is preceded by its dominant, E7; the II-V group is realized as Ffm7-5 F7, using a substitute dominant in a pairing that normally toni cizes E minor, but by mixture here itmoves to E7. The first chord of the four (F)tm7-5) can be heard as the transcribers of the Real Book heard it, representing V7 of V (D7), a chord thatmight well appear at that location in a blues. The logic of themovement of A7 to Cm7 may be that of semi tonal transformation. Because each of the pitches of A7 can move by semitone into a pitch of Cm7, "the ear relegates the harmonic activity to the background" (Hindemith 1945, indicated by the root-progression 124), and the motion by semitone, like that of 7-8 and b6-5, connotes the A7
resolution. In explaining have analysts tions the usual by a harmonic developments in many of the nineteenth century, been Some some
that suggested tonic-dominant axis
late-nineteenth-century harmonic axis may have called a plagal axis).21 dominant structural emphasis
composi replaced of Short
tonic-subdominant
(also has
ens pieces may

(Example ever. The I-IV-I-IV-I, 13), bassline with
fit this interpretation. The

for example, no structural an The overall main indicates graph no structural V.
chorus of "Armageddon"
chord whatso of progression is on the plagal
harmonies IV and VI. The latter chord first serves as an embellishing chord (m. 2), and then as a divider of themovement from I to IV inm. 4. IV is prolonged by an upper neighbor bll substitute dominant, after which the progression returns through VI to I.An incomplete neighbor III leads
(a) A7sus mm. 1-3 7-9 Fii7sus Dm7
(b) 9-10 11-12 G7 Cmaj7 Cmaj7 Am7 Gm7 Fmaj7
(c) (d) (e) mm. Em7 4-7 D|:m7Dm7G7 13-1821-26 Amaj7 Am7 Gtfm7c _ F^ml~5 Dm7 Cm7 Bm7 E7 Ajfm7 mi
Example
11. "Miyako,"
melodic
motives
315
to IV,22 after which VI repeats its two functions in approaching the final tonic, which is, like IV, prolonged by an upper neighbor bll substitute
dominant. retrograde The progression as from is that m. 11 into the next The chorus to m. character 5 is of sub symmetrical, recalls "Armageddon" over dominant dominant of mm. form, 3-9. which plagal also emphasizes
the basic chords,
blues
especially
in its prebop
manifestations.
A similar structure underlies the chorus of "Deluge" (Table 3a), in Eb minor, which also lacks a dominant chord except in its introduction. the introduction presents a functional harmonic progression Although
based on V-I, the chorus does not. After a prolonged I, IV is given into a II-V a
substitute dominant neighbor chord inmm. 8-9 and 12-13 (indicated by

an arrow). to I. As VI, as a dominant seventh structure, seems is developed to prevail.
group inmm.
10 and 12, as in the bebop style, followed by a direct return

a plagal axis
in "Armageddon,"
"Yes and No" (Table 6) also emphasizes the plagal in itsmiddleground structure. The dominant is weakened by itsminor quality in the context of D major. Tonal Ambiguities
Some pieces with a strong an alternate sense of tonality center. nonetheless have nontonic
endings:
tonic by
the final chord is not the tonic, but it does not compete with
setting up tonal For example, "Yes
the
or No,"
clearly in a D tonality, ends with Em7. When

mm. 15 Cm7 Fm7 7 9 Cm7 F#m7-5 10 F7 E7
this chord appears at the

11 A7 Cm7
^*w ^
m
: $* ^
I EM EM I
^
Example
12. "Footprints"
mm.
10
11
12
13
14
15
16
Bbm7Gb7 Bbm7Gb7 Eb7 Fb7 Eb7 Gb7 Bbm7Abm7/Db Di>7Ei>7Gb7 Bbm7Gb7 Bbm7Cb7 Bbm7
I I
VI
VI
I IV IV
bll IV VI IV I I VI
Example
13. "Armageddon"
316
Table 6
"Yes and No"
1 Dmaj7 I
10 Gmaj7 IV
11 Bbmaj7 bVI
29 Am7 V
1 Dmaj7 I
Table 7
"Fee-Fi-Fo-Fum" A
12 3 Eb7 D7 Gm7 Abmaj7 Bmaj7 D7 B 9 A 17 18 Eb7 D7 Gm7 Abmaj7 19 Bmaj7 D7 10 12 11 Bb7 Eb7 13 Eb7
4 Dm7 G7 14
5 Eb7 D7
6 Gm7 Abmaj7 16 Am7 D7 22 24 Dbmaj7 C7
7 C7 F7
8 Bb7
15 Bbm7 Eb7 21 Eb7 D7
20 Dm7 G7
23 Cbmaj7
end of the second A section of the AABA form, it initiates a circle-of fifths progression that spans the bridge. At the end of the first and the final A sections, it leads back to the tonic chord. Thus, on the final chorus
it functions motion One to I. nontonic ending may be only a apparently so: that of "Fee-Fi-Fo in the manner of a half-cadence, as it no longer completes its
Fum"
minor.
(Table 7), which

The form
invites interpretation both

for jazz on tune, consisting The B
in Bb major
of three
and G
eight a pair
is unusual
measure
and blues
sections, ABA. The first A section spends mm.

quickly 15-16, to a cadence when a series Bb. of bebop-style
1-6 in G minor
emulates II-V
then moves until mm.
section chromatic
ings returns the music to G minor and the final A section. This section deviates from the first A section at m. 22, when the progression moves chromatically downward to cadence on Cbmaj7. In the mid-1960s, jazz chord on bll performers and composers began to use the major-seventh as a substitute for the tonic, especially in final cadences.23 Mark Levine calls this "moving a I chord up a half step" (1995, 292). Given that "Fee Fi-Fo-Fum" ends on bll of Bb, and thatmm. 8-14 behave like the begin ning of a blues in Bb, these together tip the scale in favor of that interpre
tation. Thus, the bll, representing I, is perhaps not a nontonic ending, at
least in the background, where the unresolved appoggiaturas making up the bll would be removed. Interpretation inG minor would give the final chord as Îlltt, definitely a nontonic ending. In fact, on each repetition of
317
Table 8
"Virgo" A
12 Fmaj7 B 9 Dm7 A 17
3 Bbm7 Eb7 Dm7-5 F:
4 7 5 6 8 Bb7 Amaj7 Am7 Fm7 Bb7 Em7-5 Eb7 Dmaj7 -> -> Vit? I nil-kl 14 Dm7 G7 bVI 15 Gm7 IIbll 16 Dbm7
11 10 Cm7 F7 Eb7 D7
12 13 Gm7 Ab7 Dbmaj7 -> t| 20 Amaj7

III?-\ ->
Gb7
18 Fmaj7 Bbm7 Eb7
19 Dm7-5 Bb7
-> I
21 Am7
VI
24 23 22 Fm7 Bb7 Em7-5 Eb7 Dm7 I (29) (Gm7 (forD.C.)
Dm: V?
Coda
bll 27 28 Dm7 E7+5 A7+5 V I I
Dm7 Dbmaj7+5
25 24 Cm7 F7
26 Bbmaj7
C7)
the chorus, the function of the Bmaj7 would presumably be an embel lishing chord connecting theV of m. 21 to the V of m. 1.The interaction between G minor and Bb here fits the category of "tonal pairing," the alternation between two keys a third apart, which nonetheless remain
separate.24
The idea of tonal pairing was developed

late-nineteenth-century music in which
as a means of understanding
between two key cen
"a tension
often a third apart" (Kinderman 1996, l)25 replaces standard monotonality. A related practice is that of directional tonality, in which, ters, most
after the establishment of one tonal center, a piece moves to another for
its conclusion. The main difference between tonal pairing and directional tonality is that in the former the music vacillates between the two keys frequently, whereas in the latter one key is established and thenmoves to
the music. other at the end. These concepts have some bearing on Shorter's
is an ABA form with equal "Virgo" (Table 8), like "Fee-Fi-Fo-Fum," on F It in sections. and (m. 1) and ends in and on begins eight-measure D minor (m. 28). The first phrase (mm. 1-4) moves from I to lilt (Fmaj7 to Amaj7). The lilt becomes litt to begin the second phrase (mm. 5-8), which closes on VI? (Am7 to Dmaj7), ending the first A section. At this point, the sense of F tonality has become rather tenuous, but it will be regained. VIA (Dmaj7) inm. 8 becomes Vt? (Dm7) inm. 9, and then bVI inm. 13, leading to the cadence on F at m. 17, the end of the B section,
318
having extended
is a substitute
the I?III?VI opening

dominant representing
to include II-bII-I, where

V, completing
the bll
a circle-of-fifths
approach to F (The tonicizations of the structural chords in "Virgo," most of which involve bll, are indicated by the arrows in Table 8.) In the
final A section, mm. 17-23 repeat mm. 1-7 and then cadence on Dm7,
which is given a five-measure coda closing with V-I inD minor. Although the first cadence on D atm. 8may briefly suggest D as an alternate tonic,
that tonic is not stabilized until the coda.26 Thus, "Virgo" serves as an
example of directional Although numerous

have been mentioned
tonality, beginning in F and ending inD minor. instances of equal interval transposition of chords
above, none of the pieces examined exhibits mid
dleground equal division of the octave in the manner of "Giant Steps."27 However, "Juju" (Example 14) comes close, by presenting an elaborated move from "tonic" B7+5 to "dominant" Fmaj7, followed by an immedi
ate return to tonic as Bm7. The B7+5 is treated as a whole-tone scale, but
gains its tonic status from its position at the beginning of the piece and from the stability it develops through its long duration (twenty-four beats). Fmaj7 serves as dominant because it takes the usual position of V both in the manner in which it is approached from the opening I and from its participation in the repeated "cadence" Fmaj7 Bm7. The root of Abmaj7 atm. 7 divides the interval between roots B and F in half, result ing in three out of four of the roots needed to divide the octave into four equal parts. The directionality of the progression stems from the 10-10 linear intervallic pattern between bass and melody that connects I and V. Part of the sense of resolution of the cadence is due to its unique 7-10
pair. " The liner notes to the first recording of "Juju" quote Shorter: 'Voo doo' is a Haitian version of 'juju,' the original African term for certain kinds of religious-magical ceremonies" (Hentoff 1964). The effect of the chordal pairing exemplified by Ab and Em inmm. 7-8, known as a hexa tonic pole, has been shown by Richard Cohn to have been described by numerous magical, informed weird ... writers uncanny" from (Cohn the past 2004, two 285). centuries Thus as "supernatural, does "Juju" express interval
itsmagic.
In addition, the cadential pairing of F and Bm, although
itmay
1
B7+5
5
Bb7+5
6
A7
7
Abmaj7
8
Em7
11 9
Fmaj7
12 10
Bm7
10
10
10
10
(10)
10
10
Example
14. "Juju"
319
8 (Eb-Cm) 129 11 10 34 Dmaj7 D7 Gm7 12 13 14 16 15 Bm7 Abmaj7 C?m7 B7-5 Em7 Cmaj7
Ct?m7 B7-5 Bm7/E
k):^f
r '"- Il# :||r lV_Li

V I (VI) III Example
r '^*
(V) (VI)
ik^r r
V I
#
(VI)
15. "Fall"
have wer
no better 1994), also
name seems
than Riemann's to my ear
Gegenleittonwechsel a similar to express
(Klumpenhou effect.28
"Fall" (Example 15) presents ambiguity in its tonal organization and at the local level. The chord at mm. 4 and 8 is not easily expressed by a chord symbol. The copyright deposit indicates the pitches shown and the symbols: (Eb7b5 C-6); the latter are written closely parenthesizes over the first beat of m. 4. (The Eb7 is in fact amajor-seventh chord.) On
the recording, sures 4 and qualities 8, along of both with mm. roots can be heard 16, at various melodic times. Mea har 12 and constitute and
monic interruptions in the flow of a progression that cadences inE minor. This progression is organized as a small AABA form, with theA sections presenting the cadential pattern V-I in E minor, with VI as a neighbor prefix toV Although the tonic chord is E minor, VI is taken from E major and V harmonizes Gl, both thereby suggesting a major context. The B section presents V-I inG (III), with variations in the chord structures: the V begins as Dmaj7, changing to D7 with a B^lmelody; and the G chord is minor, rather than the major usually associated with III in minor, although it has the expected root for III inE minor. The Bm7 at the begin ning of the third interruption (m. 12) could be considered to complete the tonic arpeggiation, I-III-V, and the Abmaj7 that follows itmight be considered as (till arpeggiating back to I. However, the interruptions have their own organization. The first three (mm. 4, 8, and 12) each include two chords progressing by descent of a minor third in the bass.
In each of these pairs of chords, the more structural chord is a major
seventh chord, matching the quality of the fourth interruption, Cmaj7, which is the final chord. These major-seventh chords appear in the order Ebmaj7 Abmaj7 Cmaj7, a series interpretable as upper and lower third embellishments of a centric structure on C. The tonicizing strength of the chromatic third relations between bill and I and bVI and I is generally understood to be less than that of the more usual fifth relations between V and I and IV and I.29Therefore, this interpretation would hardly seem able to account for the strong sense of coming to rest that the Cmaj7 produces as the final chord,30 nor would its position as VI of E minor. When Cmaj7 enters, it sounds to this listener as though the extended
320
Em7 was always merely its upper structure. Thus, the final chord may bring together the previously separate harmonic worlds of the E-minor music and its interruptions. Is this a double tonic complex? Is E really the
tonic of "Fall"? These questions are ultimately unanswerable.
Case Studies:
"Night Dreamer"
and "Orbits"
form in "Night Dreamer" (Example 16), from 1964, has an AA'BA which each section is four measures in length. Initially static melody and and a back harmony are balanced by dynamic motivic development ground level chromatic embellishing chord. In the graph of "Night Dreamer," the upper voice indicates three the middle line B4-Bb4-B4 strands, the top line D5-E5-D5, repeated
many times, and a lower line G4-Gb4-F^4-G4. Because of its consonant
support, I take B4 as the primary tone, but there is no descent as in a normal Urlinie.31 In the central line, the Bb4 neighbor tone, because it ascends, might be spelled as A|4, at least just before it returns to B4; however, the harmonic environment requires the flat spelling. The upper
and then lower return voices to their each expand the melodic The original At mm. fifth, 11-12, position. range by lower voice a whole-step movement and seems
to stretch the figure that descends

6-7, 6-7 and mm. an 9-11. augmented In mm.
from D4 as it appears inmm. 2-3, mm.

a perfect an extra of mm. fifth, note, 9-11, at mm. a major would
seventh.
covers the figure 2-3, and at mm. 9-11, by adding a the figure, transposition
have covered another major seventh, but from D4 it transfers back to the upper register, helping to lead back to the return of theA section. Although the second statement of the descending figure is simply a varied repeti tion, the extended third and fourth statements, with their new melodic
and harmonic rhythm, create a less obvious variation. This process both
gives a sense of direction

the motivic The chord sacaglias bass from and development line contains tonic
to the otherwise
for which numerous the Shorter's
static melody
melodies of
and illustrates
tetra
are known. the descending that has served The local
to dominant, since
repetitions same tetrachord
chaconnes
the Baroque
period.
pas dominant
D7 atm. 6 is given a chromatic suffix incomplete neighbor, Ebm7, which is developed into a II-V group: Ebm7-Ab7. The nonfunctional disconti (mm. nuity in the progression between Ab7 and the following Bm7/E 8-9) and the initiation of the longer pattern in the melody atm. 9 support the interpretation of the Bm7/E as an embellishing chord in relation to the tonic. The descending tetrachords, although repeatedly moving from
I to V, ing a seem surface static, not prolongation representing of the real tonic. harmonic For that motion, reason, but the represent structural
motion
is indicated as I to the embellishing chord and back to I.Here the embellishing chord is a neighbor chord in the traditional sense, support
321
16 14 15
bt* ?h. -
Gmaj7 Bb7 Ebmaj7 Gmaj7 D7 Bb7Ebmaj7D7
J: ** #
^=ft
12 11 10
>P*V #hp
Example Dreamer" 16. "Night

bJ#k?|^k? =?
?^?
Gmaj7 Bb7 Ebmaj7 D7 Gmaj7 Bb7 Gmaj7 D7 Ebmaj7 Bb7 Ebmaj7 D7 Ebm7 Ab7 Bm7/E
> 'k? ?
ing a long-range neighbor tone motion in the upper voice (D5-E5-D5). This kind of basic harmonic structure can be found frequently in Short er's compositions of the 1960s and represents one way of avoiding the
traditional tonic-dominant axis.
At m. 11, a passing chord of the same structure as the embellishing chord (Cm7/F) leads back to the tonic. The melody atm. 9 (B4-E5-Ctt5
B4-Gl4-F#4), a pentatonic subset, is transposed down a tritone at m. 11
at the same time the chord at m. 9 is trans (F^4-Bb4-G4-F^4-D4-C5) posed upward one half-step at m. 11 to produce the passing chord. This simultaneous transposition of different textural elements by differing in degrees opposite directions is an interesting feat of compositional skill.32 (B oth melodic statements have a further half-step descent appended,
and, up of as noted, an octave.) the last two notes of the second statement are transferred
John Coltrane was

the composition
still an important influence on Shorter at the time

Dreamer." Coltrane's "Giant Steps" was well
of "Night
known for its harmonic movement through keys separated by interval class 4, thereby dividing the octave into three equal parts. The keys of "Giant Steps" are B (Cb), G, and Eb. It begins with a single Bmaj7 fol lowed by V-I in G. Similarly, four half-steps lower, "Night Dreamer" begins with a single Gmaj7 followed by V-I in Eb, reproducing two of
the keys of "Giant Steps." In mm. 7-10 of "Night Dreamer," the progres
sion Ebm7-Ab7 melody

class
belong
belongs to the key of Db, while the Bm7/E (II/V) and its to the key of A. Db and A are also separated by interval
a more from 1966, subtle reference to "Giant Steps." through for an inter is a twenty-one-measure there is also evidence
4, perhaps constituting "Orbits" 17), (Example as its primary
composed
minor
piece with an introduction. On the whole,

tonality, although
"Orbits" presents G
pretation in F (major in the introduction, minor in the chorus). The mel ody of the introduction (which has no chords, only melody and bass and a phrygian neighbor line)33 alternates arpeggiations of F major chord, Gb major, ending on F, arpeggiated A4-F4-C4, suggesting an F tonality. The alternations are marked in Example 17. The bass line for
these measures, C3-A2-Ab2-G2, is basically neutral as to the question
of F versus G, although it ends on G. version of the previously discussed descending half-steps. The melodic final melodic interval, F4-C4, may to make a stack of fourths. C3-G2
materials in the chorus.
It also exemplifies an unharmonized downward bass leap followed by extremes of m. 1, Bb4-F4, and the be combined with the bass interval Two such stacks provide melodic is guided by
are shown in
The melody
an alternation
of the chorus, like that of the introduction,

between two harmonic structures. These
Example 18a as two nearly discrete stacks of fourths, marked group A and group B, which together exhaust the aggregate but share one pitch
323
Fm7 Dmaj7+5 Gm7 Dmaj7+5 Bbm7 Gm7 Dmaj7+5 Gm7 Fm7
I II IV-
Example "Orbits" 17.
Gm7 Dbmaj7+5 Ebmaj7 Ebm7 Cm7 Dbm7 D7 Gbmaj7 Abmaj7 Abm7 Gm7 Bbm7
Cs and Fs *emphasized
class (E). The melody selects pitches from the stacks, placing those shown in the lower register into its natural range. Not every note of the chorus is involved in stacked fourths, but such stacks appear frequently. Inm. 3, G4-D4-A3, taken from A, are followed immediately inm. 4 by from B. Similarly inm. 5, F5-C4 (A) are followed inm. Ab4-Db5-Gb5, 6 by Eb4-Ab4 and F#4-B4-E5 (B); inm. 9, C5-G4-D4 (A) are followed can inm. 10 by Db4-Gb4-Cb5 seen The to continue to alternation be (B). the end by including, for theA groups, chord tones not actually played in the melody, but present in the accompaniment: mm. 11-12 (C5-G4-D4 [A]/Eb4-Ab4-Db5 [B]), mm. 13-14 (C5-G4 [A]/Ctt4-F#4 [B]), and mm. 15-16 (C4-G3-D3 [A]/Eb4-Ab4-Db5 [B]); mm. 17-18 repeat 13-14, as do mm. 19-20. The final melody note and chord (m. 21) belong to group A, which is associated throughout with the two tonic candidates, F and G. Thus, theA and B groups, like the F and Gb triads in the introduction, represent tonic and nontonic functions, in which the usual interval class 5 relationship between dominant (or subdominant) and tonic is replaced by an interval class 1 neighboring relationship. The F and Gb triads, although not built in fourths, in fact belong to groups A and B, respec
tively.
At the beginning of the chorus, the fourth descent of the introduction is repeated in the bass line's opening progression from Gm7 to D7, I to V (mm. 1-5). D7 is preceded by Dknaj7+5 and Ebmaj7-Ebm7?an of embellishment chromatic example by prefix and suffix incomplete neighbor chords. The first is the unusual chord structure major seventh with augmented fifth, while the second undergoes semitonal transforma tion before resolving. A chromatic passing chord, Dbm7, leads from D7 to Cm7, which initiates the next structural progression, also a fourth descent in the bass, Cm7 toGm7, IV to I, a plagal cadence (mm. 7-11? shown as an ascending fifth in the graph). Gm7 is also embellished by chromatic prefix and suffix incomplete neighbor chords with semitonal transformation: Gbmaj7 and Aknaj7-Abm7. As indicated by my roman
numerals, these two progressions suggest a G-minor tonality. In mm.
12-13, however, a straightforward plagal cadence on Fminor (B bm7-Fm7)

(a)
(b) A
Dmaj7+5 Gm7(191)
^8=
Example
18. "Orbits": (a) alternating harmonic (b) G-minor cadence
structures and
325
appears as evidence that the F tonality of the introduction has not disap peared. The preceding Gm7 (m. 11) can also be interpreted as II in F, joining in subdominant function with the Bbm7. This F cadence is fol lowed by a (authentic?) cadence-like progression on G (Dmaj7+5 Gm7)34 atmm. 14-15, followed immediately by a repeat of the F cadence inmm.
16-17. and Two more (the statements last measure). of the G-minor The concurrent cadence roman ensue, numeral at mm. 18-19 20-21 interpreta
tions in G minor and F minor are shown below the bass staff in Example 17. Despite the G-minor cadence having had the last word, there has been in the constant support to the F tonality throughout the chorus melody form of Fs and Cs emphasized by duration or registral contour. These emphasized pitches are marked with asterisks in Example 17. Also, the
G-minor cadence cadence relate itself is not to the Gb-to-F unequivocal. to tonic nontonic Its strength functions and in the sense introduc of
tion: Example 18b shows that the upper voices of this progression enhar monically replicate the Gb to F triads when the Gm7, which has C, the
eleventh, tonics are in the melody, in present is also, the final as usual, cadence, given as are a ninth the (A). Thus, interval class the two 1 and
interval class 5 relationships. I give greater weight to G because of its position in the bass. "Orbits" suggests tonal pairing because of the integra tion of and alternation between the two tonalities. Conclusion A summary of the principles brought out in these interpretations of Shorter's music may be valuable at this point. An important preliminary
observation seems tional cases, intervals, not is that, in those cases lines where standard the main above and and them. formal harmonic clues As as to apply, not function, one must which the bass the chord on rhythm, fifths, provide structures context, thirds, practice to prolonga a result, in such of the bass a bass
rely include
location For
seconds.
example,
descending fifth at the end of a piece from a weak beat to a long-held chord on a strong beat will probably best be interpreted as a "dominant" "tonic" cadence even if the chord qualities do not agree with any standard
Context patterns. bass the tritone has leap even at the suggested end of such "Juju." lines chords. an In interpretation some contexts, in the case such as of an
opening progression,
to "subdominant." plete neighbor chords,
a descending
bass passing
fifth might
involve Because
be interpreted as "tonic"
incom chords, neighbor can the bass intervals
Stepwise or
be nondiatonic,
notes, nonfunctional
and because
the chord qualities can include nondiatonic

result between the elaborative chords
progressions an embellishing
and the surrounding chords. Bass motion

interval or creates chord.
of a third either divides a larger

Again, because of the possibil
ity of a nondiatonic bass note for the elaborative chord and the variability
326
of
the chord nonfunctional qualities, on the relative weighting style rests the nonfunctional although practices: the latter quite often predominates.
of
progressions standard there
often harmonic
result.
Shorter's
Background
is always structures
versus practice some of the former, emphasizing
the subdominant over the dominant, involving directional tonality or tonal pairing, or dividing the octave equally do not depend on nonfunc tional foregrounds; however, such foregrounds can be replicated at the background level and can contribute to tonal ambiguity. Some of the harmonic characteristics described belong to the bebop style: the repeated pairs of I-bII chords of "Deluge" and "Speak No Evil" differ from those of Thelonious Monk's "Well You Needn't" or Dizzy "A Night in Tunisia" only in that Shorter's blls are major Gillespie's seventh chords originating in the phrygian mode, while the bebop blls are
dominant sevenths arising from tritone substitution. Shorter uses II-V
groups, but they are relatively infrequent and not a leading characteristic of his style as they are in bebop, in which they are ubiquitous. The other
harmonic occur and characteristics outlined above techniques frequently to earlier innovations with in his music, and represent respect jazz styles, serve as the leading elements of his harmonic style. are present innovations in Shorter's of of these Most compositions
1964, calling into question whether they are truly the result of a broader evolutionary process.35 Although other jazz composers of the 1960s par ticipated in the expansion of harmonic possibilities, Shorter iswell known
as a leader among them, and at least some of the categories examined
above probably belong to him more than to others. A general study of jazz harmony in the 1960s or studies of other individual composers would help
to put Shorter's contributions in perspective.
327
NOTES
A version of this article at Chapel Music was presented at the 1998 meeting of the Society for I thank Steve Larson, Henry Martin, Hill, North Carolina. readers for their suggestions. and the anonymous this early period is the subject of Julien 2003. The present article 2003 ended, with Shorter's departure from the Jazz Messen
Theory Keith Waters, 1. The music of begins where
Julien
gers. 2. I thank Bertrand
who has been cataloging ?berall, copyright by jazz deposits access to Shorter's manuscripts for providing and for his general composers, advice and help with this article. are not limited to Shorter compositions. 3. Such discrepancies of popular Recordings differ from printed sources. In my sometimes songs and other jazz compositions the recording with performing musicians, is always taken as the author experience most widely it is disseminated and known itative source. This is perhaps because than any other medium and therefore has the most by a greater number of people to fix the identity of the music. For these reasons, I have given greatest power to the recording. also distrust written of jazz (Performers representations weight or need some that have mistakes and popular songs because they have seen many kind of adjustment.) 4. E.g., Shorter's to Nat Hentoff's response of writing method harmony" was "I don't listener 5. Strunk found 6. The can just about 1979 addresses in Larson anticipate what's this characterization of "the usual (1960) characterization like that approach because thereby, the going to come next." most directly, but support can also be 1988 and 1996. The harmonic style as "bebop." chords chains enables (defined of the mappings in Cohn 1997) and not its
1987 and
1998 and inMartin
of this period
will be referred to subsequently of majorand minor-seventh prevalence on a Tonnetz to produce chord successions in Strunk 2003a). clusters (defined reference function
7. My
to the montuno is with regard only to or its rhythms. Montuno in a performance in discussing which is described Steams by Marshall or Latin tradition in the early 1940s: "The montuno, inserted in any rhumba [actually in any Latin-oriented wish
its harmonic content, has many meanings, the rise to prominence ad lib passage, which
one of of the can be
if the soloists performance] to take a chorus, is often based on just one, or sometimes two, chords" (1956, on it this kind of montuno has one or two chords, 177). Because improvisation fit a chorus In the latter does not necessarily length, but can go on indefinitely. it is like a vamp.
respect, Montunos
The authentic forms are diatonic, e.g., no. 21 of 101 Cm G7 G7 Cm. Many (Maule?n 1999), which repeats the progression use two-chord Latin-influenced The first repeated progressions. compositions twelve measures of printed versions of Juan Tizol's "Caravan" show a simple C7-9, which Dizzy II-V group, Gm7-5 C7. bebop groups as a repeated in Tunisia" is closer to Shorter's usage with its Eb7 Dm and the first six measures of the chorus.
a neighbor note, here here, is a chord that harmonizes in the soprano or an inner voice. in the bass, but possibly see Strunk of other such wedge-shaped 9. For discussion 1996 and progressions, are different from the omnibus and other progressions 1999. These in discussed most often
is usually played by "A Night Gillespie's pair in a vamp introduction 8. A "neighbor chord," as used
328
in that they are not strictly chromatic, and they are 2004, particularly with linear intervallic patterns. always associated of "Yes and No," see Strunk 2003b. 10. For a graph and further discussion 11. In mm. the 13-16 of "Iris," the Real Book gives Db7 (til) Dbm (b6), although triad. The copyright minor sixth is not usually added to a minor deposit gives the Gauldin second chord perhaps 17 the Real Book may also be the result of bassist Carter's choice of notes. In mm. in a D-minor the Real Book transcription and 49 of "Wild Flower," context, gives on a minor seventh chord is not ordi the minor ninth extension Gm7-9, although narily used, sold edition recording. root. 12. Prefix 13. Certainly a cursory shows at least in bebop or earlier jazz styles. In these measures, the Aeber deposit gives Fm7, but the bass plays G on the gives F-, the copyright As a result, the transcribers heard the Ab as a minor ninth above the G embellishment in Larson 1996. figures are discussed in the Shorter compositions studied; appears frequently as to whether in other 1960s jazz compositions it happens as Amaj9. the bass note on the recording, Ron Carter By holding One unusual the Real Book's notation. chord structure given in justifies
and suffix
this procedure
investigation not nearly as often as in Shorter's music. As one that it does, although from dominant in Chick Corea's (1968), a progression (D|7) to "Steps" example, as an appoggiatura so the is elaborated chord to Gtm, tonic (Gfm) by Amaj7
to Amaj7 results. Some of the 1960s compositions of from Dt7 progression It appears that the technique occurs Gibbs also exhibit such progressions. Michael with increasing during the 1970s in the work of other composers frequency (e.g., but the extent to which this development is directly John McLaughlin), attribut able to Shorter is outside progressions the scope 14. Middleground of the octave appear fre in nineteenth-century classical music and also can be found European quently in American The bridge of Rodgers and Hart's "Have You Met popular music. tonicizes and Sid Garris's Miss Jones" (1938) Bb, Gb, and D, while Sy Oliver (early 1940s) tonicizes G in its A section, followed by Bb and Db "Opus One" involving in the bridge. Charlie Mariano's "When You Meet Her" (recorded Am7 F#m7 Ebm7 in a nonimprovised the progression section, 1960) includes "Forest Flower" the progression and Charles Lloyd's 1966) includes (recorded tonicizations Am7 Cm7 Ebm7, but in both cases the chords change relatively slowly. in some of the Shorter examples chords rapidity of change of chromatic on the part of improvisers. requires a new level of competence if included as a ninth on Gb7. 15. The Ab could be held in common Gbm7 The 16. Following most the graph of "Witch Hunt" uses no key signature, thus sources, the flats in the roman numerals. requiring 17. In the context of such short compositions structure, having no traditional Ursatz are necessarily and "background" used loosely. the terms "middleground" 18. "Black measure 19. Among Nile" is a relative rarity in Shorter's oeuvre: an AABA form with eight phrases. the other of this study. equal divisions
are through-composed: the following studied, compositions and "Orbits," "Prince of Darkness," "Fall," "Nefertiti," "Juju," "Iris," "El Gaucho," "E.S.P." has an AA form. Others have forms derived from the blues "Pinocchio." having bridges. in the sources mainly variations involve the content of mm. 9-10. This
or forms 20. Harmonic
329
content E+9, A+7
is as follows:
(three quarters
in the Library of Congress each); Real Book, D7,
E7+9, sold, Ft0, B7+9, A7+9+5(Eb7+ll) of the Real Book heard this that the transcribers It is interesting chords given. to the (mm. 9-10) as though it were a standard approach unexpected progression This simpli tonic through two dominants (V7 of V and the substitute dominant). fication is perhaps stand and are used to hear what we under an example of how we are conditioned to hearing, regardless of the actual sounds (and also an example because is understandable, it is to transcribe jazz). The mishearing
copyright deposit, F?7-5, F13, Db7 (six quarters each); Aeber no each); Leonard, (three quarters
of how difficult F#m7-5 and G7;
related to both Db7 is closely in common with D7, and E7+9 has much unnoticed. Of these, the last the two other chords were evidently however, the caden with the Cm7, chord, A7, is crucial, as it has no functional relationship tial goal.
21. See, e.g., Stein 1983. 22. The "III" is a II-V of VI over a dominant to the VI
referring indirectly pedal, thus possibly at that point. expected 23. E.g., "Tones for Joan's Bones" (1966) by Chick Corea is in D but ends on Ebmaj7. I by bll in all its cadences also replaces "Wild Flower" Shorter's except the last. from the in recordings of the substitution Levine 1995, 292-94, quotes examples 1980s The and ommends effect of a tonic unresolved. Miller and rec 1990s by Kenny Barron, McCoy Tyner, and Mulgrew 1 or 5 are in the melody. scale degrees that bll be substituted only when is that of appoggiaturas of the substitution applied to the lower voices chord with In earlier root or fifth
are left but the appoggiaturas in the melody, did it is that the the of stages likely appoggiaturas practice, defined resolve, and it thus can be related to the general practice of "side-slipping," to half step up or down movement as a "term coined by Jerry Coker referring away from what or harmonically" is given melodically 1991, 173). Side (Liebman return to the expected and from involves however, departure usually slipping, The latter practice is compa is not the case with the bll substitution. chord, which
tensions rable to the use of unresolved thirteenths, elevenths, (extensions?ninths, the of the upper voices does not change etc.) in upper voices. Lack of resolution removal of the bass root is a much function of the underlying chord, and although tonic its implied more radical step, the appoggiatura bll chord also represents resolution 24. and carries its function. the distinctions Stein for clarifying I am grateful to Deborah among tonal pairing, in double tonic complex directional (or progressive) tonality, and Robert Bailey's inMusic Institute for Advanced Studies her seminar at the 2006 Mannes Theory on the topic of chromaticism. follows. See also the discussion of directional tonality that
on the subject can be found on pp. 259-72. 25. A good bibliography it holds promise, 26. The Dm7 at the start of the B section, although back to F. as a tonic, but only begins a sequential progression such an equal division, "El Toro" (1961) does exhibit 27. Shorter's 175-87. in Julien 2003, discussed 28.
is not confirmed as
A-F-Db-A,
in the copyright deposit, of "Juju" in E, because, Itmay be that Shorter conceived it all chords but the first are given over an E pedal point. In that interpretation, to #111 (Abmaj7), the and descends starts on V (B7+5) dividing chromatically is thus a "half the next chord. The ending on Bm7 interval from V to I (Em7),
330
I have heard. With The E pedal point does not appear on any recording in B more compelling; but certainly, it, I find the interpretation "Juju" does present a degree of tonal ambiguity. and the changing 29. See Kopp 1995 for a history of chromatic mediants views of cadence." out 30. On their independent the recording, relations the bass with extends in the nineteenth century. the Cmaj7, and the last note played is C. The that Shorter may have originally conceived of this as a the tonic
suggests deposit copyright as the written bass line sustains B at the Cmaj7 chord. half-cadence, to hear a descent to 1 at m. 13, with a 2 implied on the Cm7/F 31. Itmight be possible as m. 13 is the beginning chord. This would be an unusually of the early descent, return of A. Descent neighbor at the end of the final A. The Bb to 1 would be expected 11 leads, as it has twice earlier, to B^ (3) at m. 13, thereby our expectation. The progression of the final A section is open-ended, fulfilling after the final cho leading back to the repetition of the chorus. On the recording, a coda over the four-chord rus, Shorter improvises 1-2; this coda vamp from mm. tone of m. fades 32. A mm. the idea of an open-ended lack of descent. out, supporting can be seen of a transposed similar reharmonization four-note motive 5-8. but the copyright deposit is not included structure, without does in "Juju,"
33. The Real not,
Book gives chords for the introduction, and no chords are played on the recording. and Leonard Aebersold editions.) with could begin augmented-fifth not be made.
("Orbits" chord
in the which
34. Note
also the major-seventh to follow the interpretations 35. Some of the characteristics Julien those 2003, although the pieces from 1964-67.
examples
to be present in the earlier pieces in studied feature greater usage of II-V groups than
WORKS CITED
1997. "Neo-Riemannian Parsimonious and Cohn, Richard. Trichords, Operations, Their Tonnetz Representations." Journal of Music Theory 41: 1-66. Tonal Signification in the Freudian Age." 2004. "Uncanny Resemblances: Journal of the American Musicological Society 57: 285-323. Robert. 2004. Gauldin, in Romantic Music." Hentoff, -. "The Theory Music of Chromatic Wedge and Practice 26: 1-22. Theory Spectrum for Art Blakey and the Jazz Messengers: Records. Progressions
-.
Nat. 1960. Liner notes The Big Beat. CA: Blue Note Hollywood, 1964. Liner notes toWayne 84182. Shorter, "Juju." Liberty BST/4BN rev. ed. New York: Associated Paul. 1945. Craft of Musical Hindemith, Composition, Music Publishers. "The Function Function of Non-functional of Harmonic Ph.D. diss., In The Harmony." Relations Jazz Educators 2001. Julien, Patricia. Journal 34: 52-56.
-. Early Park. Kinderman,
2003.
"The Structural
Compositions: William.
1959-1963." 1996.
University Second
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"Introduction."
Practice
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ed. William Century Tonality, of Nebraska Press. Klumpenhouwer, tions." Music
Kinderman
and Harald
Krebs.
Lincoln:
University
on the Use of Riemann 1994. "Some Remarks Transforma Henry. Theory Online 0/9. in of Chromatic 1995. "A Comprehensive Mediant Relations Theory Kopp, David. Ph.D. diss., Brandeis University. Music." Mid-Nineteenth-Century of Modern 1987. "Schenkerian Jazz." Ph.D. diss., University Steve. Larson, Analysis of Michigan. 1996. "Strict Use 10: 42-77. 1998. of Analytic Notation." Journal of Music Theory Pedagogy
-. -.
of Modern Jazz: Questions "Schenkerian about Method." Analysis 20: 209^-1. Theory Spectrum CA: Sher Music. 1995. The Jazz Theory Book. Petaluma, Levine, Mark. to Jazz Harmony and Melody. David. 1991. A Chromatic Rot Liebman, Approach tenburg: Advance Music. Music Martin, Henry. Jazz Studies Press. Rebeca. 1999. 101 Montunos. Maule?n, The Real Book, 5th ed. Author's personal information is available). Schiff, Ronnie Aebersold S., ed. Jazz. 1985. Wayne Petaluma, copy CA: Sher Music. publication; New Albany, Shorter. no publisher IN: Jamey Milwaukee, 1988. "Jazz Harmony: Parker A Syntactic Background." Lanham, Annual MD: Review Scarecrow of 4: 9-30. and Thematic Improvisation.
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(underground Jazz Classics.
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1990. Artist Transcriptions Shorter, Wayne. Wayne Saxophone: and Hal Leonard Publishing. WI: Third Earth Productions Steams, Marshall. New 1956. The Reprint. Stein, York: New
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Wayne Shorter Compositions

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Wayne Shorter Compositions

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Yale University Department of Music

NOTES ON HARMONY WAYNE SHORTER'S COMPOSITIONS,

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

? 2008 byYale University

Table Year 1964

(Blue Note BCT 84173)

(Blue Note BLP 4104/BST)

"E.S.P." "Iris" "El Gaucho" "Footprints"

(Blue Note BST 4BN 84232)

(Columbia 48849, CS9401/ CL2350) 1967 "Miyako"

(Blue Note BST 84297)

bia 52974, CL2732)

bia 46113, CS9594)

I proceed by first considering

foreground harmonic characteristics

extent only amatter of degree, with Shorter greatly developing

to bebop practice. This increase may be

Bhnaj71 52 F7 54 53 Bbmaj7+5 Bbm7/Eb

involve using common

use is to simply technique for example, chord types, extensions of a chord?such

fifth. In a bebop context, one might

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

and the Vamp by step,

chords with the bass moving

similarly to the montunos

bands of the 1940s but contain

the other.8 "Deluge"

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

phrygian-mode has two statements appears

through its first seven measures.

on progression on a C-minor times

(Table 3b), which

Fbmaj7 8 12 Bbb7 ->

4 Fl?maj7 10 15 14 Gbm7 [II bVII

7 Cm7 13 A7-5 14 Bkn7

c. "Armageddon" Introduction Chorus Introduction Chorus

neighbor chord, Ebmaj7, moving

to and from the tonic Fmaj7.

discussed the end of

"Juju," the final chord, Bm7

(m. 12), can be understood

Gbmaj7 Et>maj7 Cm7

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

15 Gm7 Dkn7 Gk7

16 Gknaj7 Fmaj7 an appoggiatura

tonic chord appears as D7sus4,

Prefix and Suffix Incomplete Neighbors

prefix and suffix

(?> represents an applied substitute dominant)

Chords and Dividers

Em7 Djjm7 Dm7

examples In mm. 5-8

times omit an elaborative

chord or chords (indicated by a hyphen),

and background of these pieces neces

tonality, and the for the study of

compositions structural of the

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

line graph shows an upper and lower voice, both of which

that precludes in boldface, shown

similarly exploit them.

12 A7sus I 10 9 Cmaj7 Am7 rtii V 17 Ftm7-5 [II 25 Atm7 I 18 B7 V]-> 26 D?7

7 Dm7 [II 15 Abm7

tive of Shorter's ability to compose outside