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Affective elements in Cantonese guqu Ip, Eliza Patricia 1997

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AFFECTIVE ELEMENTS IN CANTONESE  GUQU  by Eliza Patricia Ip B. Mus., The University of British Columbia,  1990  A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS in THE F A C U L T Y OF G R A D U A T E STUDIES (School of Music) We accept this thesis as conforming to the required standard  THE UNIVERSITY OF BRITISH COLUMBIA October 1997 © Eliza P. Ip,  1997  In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission.  School of Music The University of British Columbia Vancouver, Canada Date  October 15. 1997  Abstract Two "old melodies" (guqu)fromtraditional Cantonese instrumental repertoire, "The Grief of Zhaojun" (Zhaojun Yuan) and "Autumn Moon Overlooking the Han Palace" (Hangong Qiuyue) are assigned contrasting moods by Cantonese musicians: the former is associated with sorrowful sentiments; the latter, with bright and/or lively qualities. This study attempts to show that affective elements in Cantonese instrumental music intergrate ancient socio-philosophical theories with aspects of traditional performance practice. Chapter 1 presents the similarities between Confucian functionalist ideology and a number of heterophonic features. Chapter 2 introduces the manifestation of Daoist metaphysical philosophy through principles of heterophonic variation and a number of melodic characteristics. Chapter 3 contains some general aspects of traditional Cantonese instrumental music and the musical analysis. The musical analysis looks, within the context of Confucianism and Daoism, at the affective role of melodic embellishment techniques associated with heterophonic practices.  iii  Table of Contents  Abstract  ii  Table of Contents  iii  List of Examples  vi  List of Figures  vii  List of Tables  viii  Acknowledgments  ix  Chapter 1  The Coirfucian Background  1  Introduction  1  Socio-political Overview of Confucianism  2  Music in the Confucian Perspective  3  Socio-Musical Concepts in the Zhongyong  5  Chapter 2  The Daoist Perspective  11  Introduction  11  Metaphysical Concepts of Daoism  12  Daoist Principles in the Visual Arts and Music  14  Artistic Syncretization of Confucianism and Daoism  16  iv  Chapter 3  Cantonese Music  18  General Features of Cantonese Instrumental Music  18  Zhaojun Yuan and Hangong Qiuyue  23  Cantonese Modes and Moods  31  Musical Analysis  40  The "Neutral" Notes in Zhaojun Yuan  41  The "Crying" Motif in Zhaojun Yuan  43  Jiahua Techniques and Melodic Contour in Hangong Qiuyue  48  The Portamento in Hangong Qiuyue  50  The Inverted-Mordent Motif in Hangong Qiuyue  52  Conclusion  54  References  56  Discography  59  Appendix A  60  Appendix B  91  Appendix C  132  List of Examples Example 1. Skeletal Melodies  24  Example 2. Ancient Gong-shang System of Modes  33  Example 3. Cantonese Modes  34  Example 4. Temperament  37  Example 5. "Neutral" Intervals Within Yifanxian Tetrachords  38  Example 6. Addition of "Neutral" Notes " T i " and/or 'Ta"  42  Example 7. The "Crying" Motif  44  Example 8. Comparison of EmbeUishments at Cadence Points of Zhaojun Yuan and Hangong Qiuyue  44  Example 9. Syncopated Rhythm of the "Crying" Motif.  45  Example 10. "Consecutive Wailing" Motif.  46  Example 11. Jiahua Enhancing the Undulating Contour of the Melody  50  Example 12. Inverted-Mordent Motif Placed in the Introduction of Hangong Qiuyue 53 Example 13. Inverted-Mordent Motif Placed After a Portamento  54  List of Figures Figure 1. Silk Print Depicting the Site of Santan Yinyue {Hangong Qiuyue)  31  Figure 2. Occurrences of "Neutral" Pitches in Skeletal Melody of Zhaojun Yuan . 133 Figure 3. Occurrences of "Neutral" Pitches in Gaohu Transcription of Zhaojun Yuan Performed by Huang Rijin  133  Figure 4. Occurrences of "Neutral" Pitches Gaohu Transcription of Zhaojun Yuan Performed by Student at the Xinghai Conservatory of Music  134  Figure 5. Occurrences of "Neutral" Pitches in Gaohu Transcription of Zhaojun Yuan Performed by Huang Jinpei  135  List of Tables Table I. Comparison of "Neutral" Pitch Deviations Between Notation and Transcriptions as Percentages in Zhaojun Yuan  Acknowledgments This work would not have been possible without the guidance, support, patience, and inspiration of many people: my shifu, Professor Alan Thrasher, who has shown me invaluable understanding and whose lessons continually challenge me to understand the meaning in music; my committee member, Professor Michael Tenzer, whose thoughtful suggestions have given me indispensable aid; my informants, Professor Huang Jinpei and Yan Jun-ho, who shared with me their wealth of knowledge and insights about Cantonese music; the faculty and staff at the School of Music as well as the staff at the Music Library, who have shared their time, resources, and knowledge; my parents, Kau Kee Ip and Chi Ming Ip, who imparted to me their love of the Chinese culture; my husband, Larry Beach, who has given me substantial computer help; and my friend, Daniel Shiu, who has given me much editorial feedback.  This work is dedicated to my grandmother, Dana Amy Ford. Though recently departed, she will be remembered for living life with a courage that has yet to be matched by any of her grandchildren.  Chapter 1 The Confucian Background This process of producing musical sound is not as modern or sophisticated as its creators might claim: it is simply an extension of the general principle that music should express aspects of human organization or humanly conditioned perceptions of 'natural' organization. (Blacking 1973: 12) Introduction  Approximately 2500 years ago, Confucius suggested that the meaning of music extends beyond mere pitch, timbaL and rhythmic organization when he asked rhetorically, "When one talks repeatedly of music, does one really only mean bells and drums?" (Analects, trans, by Dawson, Book 17.9, 1993: 71).  1  Confucian philosophers  theorized that if social harmony and concordant music were interconnected, the regulation of both would secure a peaceful coexistence between the ruling elite and the citizenry; therefore, social and musical philosophies discussed in a number of Chinese classics display many parallels. In this chapter, I will attempt to show the ways in which Confucian views of an ideal collective society correlate with aspects of the heterophonic texture in traditional instrumental music. I will give a socio-political overview of Confucianism and discuss musicfromthe socio-philosophical perspective of the Confucian classics Yueji ('Record of Music') and Zhongyong ('Doctrine of the  Confucius is traditionally believed to have been born in 551 and died in 479 B.C. (Dawson 1993: xxxv). The identity of Lao Zi is historically unconfirmed, but the Daodejing, the book containing the core ideas of Daoism, is generally believed to have been written either around 300 BC or 600 BC For a detailed discussion on the matter, see Ellen M. Chen's book The Tao Te Ching, A New Translation with Commentary published in New York by Paragon House, 1989, pp. 4-18. 1  2 Mean').  Socio-political Overview of Confucianism  The ancient education and examination system was dominated by Confucian views. This system served as one of the few vehicles for social mobility, and also 2  provided a method of disseminating Confucian ideology into the countryside (Thrasher 1981: 22). Though Confucius influenced many facets of Chinese society to varying degrees, he did not formulate the socio-political doctrines traditionally linked to his name. Many had existed from earlier times; his achievements lie mainly in the synthesis of those ideas (Bauer 1976: 20).  Confucian views were recorded in a number of  Chinese classics compiled and edited by Mmself his disciples, and Chinese historians from the second half of the 1st millennium B.C. (Kan 1980: 246)  3  Confucius promoted a system of social organization according to his perception  2  Required for governmental employment, these examinations were in effect until 1905.  Milton Chiu summarizes the contents of the Confucian classics necessary for the education of government officials as follows: "These Six Disciplines were the studies of the Book of Poetry, the Book of History, the Book of Rites, the Book of Music, the Annals of Spring and Autumn, and the Book of Changes. The Book of Poetry was for reading, writing, and fostering of poetic ethos. The Book of History, which recorded the mythological origins and the history of ancient dynasties, taught the student to know his roots and identity. The Book of Rites, which recorded all the necessary rites, ceremonies, and etiquette, trained the students with proper behaviour and official duties. The Book of Music, the original of which was lost, has only several fragments left in the Book of Rites. It gave an account of the meaning and function of music in the court and office, which was to enhance the spirit of harmony in society. The Annals of Spring and Autumn, believed to be compiled and edited by Confucius himselffromthe archives of the State of Lu, contained the political and moral judgement of Confucius on the rule and character of kings from 722 B.C. to 481 B.C. It was used to teach the students moral philosophy and political science. The Book of Changes contained the commentaries of the sixty-four hexagrams and ten essays on the theory of cosmological change. It taught the student to understand the position and function of human beings in the universe" (Chiu 1984: 285-286). 3  3 of naturaUy-occiiiring hierarchal relationships. Wolfgang Bauer states that this theory is characterized by the ''uniform stabilization of inequality" (Bauer 1976: 22). In praxis, Confucian social hierarchy may be viewed as a pyramid-type structure: people at the top of the social hierarchy held the responsibility for rnaintaining the status quo (once it has been attained), while those below (ideally) accepted and performed the prescribed duties of and within their status. Ideologically, however, Confucianists attempted to promote an individual and collective awareness of a social harmony that originated with the Mandate of Heaven (which commands that humanity be ethical) which applied to all human social ranks equally. Confucianists did not view individuahsm as necessarily antithetical to collectivism Because they believed that the quest for unhindered individual freedom would foster antagonistic and secessionist tendencies, they promoted the idea that selfcultivation was the acquisition of virtue. Cooperation was valued over confrontation. These elements of Confucian social philosophy are reflected in Confucian musical philosophy. It is significant that to the present day, the word the Chinese use to refer to societal peace (he) is identical to the word for the concept of musical harmony (he).  Music in the Confucian Perspective  The Yueji ('Record of Music'), the twenty-seventh chapter of the Liji ('Record of Rites'), is a work included among the Confucian classics in the latter half of the second century. Its text deals with the ethical concerns of music. Through an examination of some ideas in the Yueji, the social functions of music (yue) and social  4 ritual/conduct (//') will be presented. The Chinese literati believed that emotions, when aroused (eitherfromwithout or from within) to unbalanced and unstable states, caused unruly behaviour. Thus, the Yueji describes these types of emotions in terms of dissonant musical qualities: (Therefore) music is the result of (diverse) changing sounds and the root of music rests in the (changing) states of mind as it is moved by things external. When the heart is sad, the sounds are harsh and unsupported (dying away). When the heart is pleased, the sounds are supported and tender; when it is joyful, the sounds are loud and scattered (variegated); when it is angry, the sounds are rough and violent; when it is loving, the sounds are mild and gentle. These six utterances (types of sounds) are not spontaneous but are caused by influences of things external. Therefore the rulers of the past were cautious with the things that influenced the minds (of their people). {Yueji, Ref. 37 1.2, trans, by Kaufmann, 1976: 32) Without the reins of ethical discipline and guidance, emotionally expressive music reflexively promotes social conditions which veer toward the path of disorder: When evil music influences men, evil spirits arise. When the evil character becomes manifest, disorderly music results. When correct music influences men, good spirits arise (in them). When the good character becomes manifest, correct harmonious music results. Cause and effect correspond. The tilings, round and angular, twisted and straight, each has its own character and it is in the nature of things that they influence each other according to their kind. (Yueji, Ref 37 11.14, trans, by Kaufmann, 1976: 39) Thus, the primary role of music is to generate ethical cohesion between the government and the citizenry rather than serve as a medium for individual artistic expression. As Alan R. Thrasher notes, the aesthetics of traditional Chinese music has been subordinate to ethical values since antiquity (Thrasher 1980: 88). The idea of absolute music, therefore, does not enter Confucian thinking.  5 However, yue ('music' in the philosophical sense) alone does not induce social harmony. The complementary concept of// ('conduct/propriety, ritual/ceremony') also plays a vital element in preserving and maintaining societal peace. On one level, // is a code of conduct which promotes mutual reverence and loyalty throughout the social spectrum; on another level, it is the agent which legitimizes and consolidates the stratification of societal hierarchy from governmental to kinship levels. Without yue, however, // is a purely ritualistic idea that does not contain enough ethical adhesiveness to retain its integrity: To unite and harmonize is the objective of music [yue], variance and discernment are the objectives of ceremony [//]. (People experience) mutual endearment (which arises) from harmony. From discernment comes mutual esteem. If music predominates, an unstable union can be observed; if ceremony predominates, a leaning toward dissociation can be noted. The purpose of music and ceremony is to harmonize the feelings of the people and to create balanced propriety to their outward expressions. (Yueji, Ref 37 1.15, trans, by ICaufmann, 1976: 34) Dai Shen-yu observes that yue is "mentioned side-by-side with //, [and] that Confucian thinkers have put a comparable premium on the auxiliary role of both, which consists of disciplinary effects upon the citizenry subject to political and social guidance" (Dai 1962: 17).  Socio-Musical C o n c e p t s in the  Zhongyong  The Confucian classic, Zhongyong ('Doctrine of the Mean'), suggests a modus operandi and a modus Vivendi for cultivating inner balance in order to effect  6 homeostatic social conditions externally (Chiu 1984: 222). The term "zhong" means 4  "centrality" and "equihbrium"; the term 'yong" means ''normality" and "consistency" (Chiu 1984: 221).  Bauer states that the three main tenets in the Zhongyong are "the  unification of all imaginable spheres, the harmonious balance of all contraries, but equally [simultaneously] the continued existence of 'layers' [relative positions within stratification] and differences" (Bauer 1976: 213).  I propose that these three concepts  are applied in aspects of heterophonic performance: first, the ''unification of all imaginable spheres" will be examined as a musical idea manifest in heterophonic-unison playing; second, the "continued existence of 'layers' " will be related to the musical concept of instrumental timbral differences; and third, the "harmonious balance of all contraries" will be discussed with respect to the spontaneous melodic embelhshment techniques characteristic of this texture. Though these principles will be examined separately, they are all interrelated in performance.  1. The ''unification of all imaginable spheres" is an idea which may be applied to both mdividual and collective levels. At the individual level, unification consists of the recognition that all emotional states are refracted from the original and natural state of zhong ('centrality'). Achieving inner emotional harmony consists of the equnibrium of different emotional states (Tu 1989: 7-8).  At the collective level, an individual  would be able to perceive simultaneously the influences and consequences of  Kaufmann states: "The Chung Yung [Zhongyong], 'Doctrine of the Mean,' is a treatise which, though originally a part of the Li Chi [Liji], has been usually treated as an independent work . . . The Chung Yung has been ascribed to the grandson of Confucius, courteously called Tzu Ssu [Zi Si]" (Kaufmann 1976: 62). 4  manoeuvring within interconnected relationships, both direct and indirect (Bond 1993: 57-58). Tu clarifies this idea with this geometric analogy: 5  Selfhood in creative transformation is the broadening and deepening 'embodiment' (t'i) of an everexpanding web of human relationships, which we can conceptualize as a series of concentric circles. As the process of 'embodiment' never ends, we never reach the outer rim of these concentric circles. (Tu 1989: 113) The feasibility of the 'Wification of all imaginable spheres" is premised upon the recognition that all members of society "agree to agree" as opposed to "agree to disagree" for the common good. I believe that the collective expression of a group identity as the result of and a means to induce social harmony is reflected, in one way, in the heterophonic-unison playing of traditional instrumental music. One passage in the Yueji which quotes the Shijing ('Book of Poetry') links harmony within social relations with "harmoniousness" in unison-playing: " 'A solemn tune arises and the ancestors have come to hear it.' Solemn means carefulness and the tune being performed in unison represents unity" (Yueji, Ref. 37 HI. 12, trans, by Kaufmann, 1976: 43).  This ancient practice of  heterophonic-unison playing, as illustrated in Richard Wilhelm's musical analysis of the line complexes in the / Ching (Yijing), may be viewed as the fundamental nature of social communications within Chinese collectivity: Just as an instrument vibrates in conjunction with an equally tuned instrument, the human being too, vibrates in accordance  This concept is a system of inter-connections in which individual relationships are not characterized (ideally) by co-dependency (which implies a merging process accompanied by the partial disintegration of individual identity) or interdependency (which does not imply remote interaction), but what Sun Long-ji terms "sodality" (Bond 1993: 58). 5  8 with that which transcends individual separation . . . In proceedingfromhere to what is told of the effects of music even in Chinese antiquity, we must understand that it is an attempt to express a remarkable experience; vibration in unison by two human beings will cause communication. (Wilhelm 1979: 65) Thus, heterophonic-unison playing is not only a display of external unity, but also a continuous effort toward mter-communication and interaction. Bond observes: Yang Kuo-shu has written extensively about the 'social orientation' of the Chinese. By using this term, he wishes to emphasize the importance that Chinese people attach to harmonizing the various interpersonal forces and social interests which are at work in any social situation. (Bond 1993: 66-67)  2. The "continued existence of 'layers' and differences" refers to the importance of stratification as a force of continxuty and stability. Relationships characterized by unity do not necessarily suggest equality: One of the five cardinal relationships in traditional Chinese thinking was that of husband to wife, with the wife playing handmaid to the dictates of her husband. 'A husband sings, the wife hums along', as one Chinese saying puts it. (Bond 1993: 45) Musically, this concept of heirarchy correlates with the significance of various timbres in traditional instrumental music. Thrasher states that heterophonic texture maintains distinctions through different timbres and melodic elaborations without jeopardizing overall cohesiveness (Thrasher 1993: 7). Confucianism holds that the timbre of each instrument represents a different  9 emotional state (Dai 1962: 15).  6  Jiang Jing notes that the aesthetic beauty of Chinese  melodies is partly "based on the variety in timbre of its every note" (Jiang 1991: 92) and the interaction among the timbres "produces a special tension and strain in the sound combinations of melody" (Jiang 1991: 95). The different timbres of the melody, though aesthetically integrated, are still theoretically bound to ethical considerations. In a social context, different timbres not only provide a sense of individual identity but also a sense of relation to and respect for the whole (Jiang 1991:94). I once heard Huang Jinpei explain to a group of Western-trained music students at the University of British Columbia Chinese Ensemble about proper heterophonic balance by describing the way in which he listens to heterophony: "Sometimes I want to hear the sanxian [plucked lute]. Sometimes I want to hear the yangqin [dulcimer]. Sometimes I want to hear the gaohu [fiddle]. I want to hear the parts. And I want to hear the whole thing altogether" (Huang 1993). Thus, Huang states that he should ideally have the luxury of beholding the entirety of the relationships while simultaneously exploring the various "flavours" unfolding within. Lawrence Witzleben also observes that in "ensemble playing [as observed in Shanghai], the ideal is a harmonious, seamless blending, but with individual parts constantly diverging and converging, emergingfromthe collective texture and receding back into it" (Witzleben 1987: 256).  In many ways, the existence of different timbres and heterophonic-unison  playing represent a musical manifestation of individual identities integrated with a group  Kaufmann lists the instruments' material and their attributes according the Yijing. stone is associated with strength; earth, devotion; bamboo, incitement; skin, danger as well as restfulness; wood, penetration; silk, light-giving properties; and metal, joyousness. (Kaufinann 1976: 157) 6  10 identity. In traditional Confucian-influenced tlrinking, unity and stability are not only the objectives of interaction, but also conditions which must be contantly maintained so that meaningful interaction can continue to take place.  3. The "harmonious balance of all contraries" refers to the ever-present dynamism inherent in diverse and stratified social relations. For the mdividuaL creative flexibility is required for the avoidance and negotiation of discordant situations which are characterized by the disintegration of ethics and propriety (Tu 1989: 29). In my view, the ornamentation processes in heterophony correlate with this zhongyong facet of creativity and conformity. The ethical context of ornamentation is mentioned in both the Yueji and Lunyu ('Analects'). In the Yueji, only the worthy individual is able to manipulate melodic embellishments conscientiously: "The noble man . . . shapes the sounds into music and regulates the ornaments" (Yueji, Ref. 37 n.23, trans, by Kaufmann, 1976: 40). The Lunyu describes the integration of ethical and aesthetic qualities in ornamented unison-playing: Confucius said: "The music (of old) begins in such a manner that all parts sound together (unison). Eventually there occurred more freedom (in the performance), but music still was in harmony, without interruption, up to the end (of the piece).' (Analects, Book 3.23, trans, by Dawson, 1993: 11) This type of self-directed freedom is relevant as both a social and musical concept. From an insider's perspective, the ideal course to take within the Chinese collective system lies at the heart of zhongyong ideas: find freedom in restraint and restraint in freedom.  11  Chapter 2 The Daoist Perspective  Introduction  While Confucianism is generally functionahst in nature, Daoism has a strong metaphysical component. Both philosophies, however, agree on the significance of "the Way" (Dao). When Confucius referred to the Dao, he meant the correct course of human affairs (Dawson 1993: xxiv-xxv).  7  In Daoism, however, the Dao was applied to  the all-encompassing principle and/or principles of Nature (Chiu 1984: 404): It [the Dao] could mean the cosmological theories of monism, dualism, and pluralism, and universism of Tao [Dao] . . . It could also mean the process of creation from production, division, and multiplication. It could also connote a mystery of Trinity: creation, destruction, and regeneration. However, whichever interpretation we want to take, to Lao Tzu [Lao Zi], Tao is the ultimate origin of all things, and Tao is the unifying principle penneating all things, which is what he wanted to emphasize in Tao Te Ching [Daodejing]. (Chiu 1984: 146) Lao Zi believed that for the nature of man to be more closely aligned with the creativity and dynamism of the universe, liberation of the intuitive mind from the limitations of the cognitive one was necessary. This desire to harmonize with Nature is also manifest at the artistic level. In order to explain the fusion of Daoist thought with aesthetics, I will discuss metaphysical concepts Daoism and its principles in the visual  Given the scope of this work, it is not feasible to comprehensively discuss the subject of the Dao in all aspects of Chinese philosophy. See Milton Chiu's book cited in the bibliography for an excellent study. 7  12 arts and music.  Metaphysical C o n c e p t s of Daoism  The Dao is a paradoxical concept because of the monistic nature of Daoist philosophy: Looked at, but cannot be seen— That is called the Invisible (yi). Listened to, but cannot be heard— That is called the Inaudible (hsi). Grasped at, but cannot be touched-That is called the Intangible (wei) . . . That is why it is called the Elusive: Meet it and you do not see its face; Follow it and you do not see its back. (Daodejing, Ch. 14, trans, by Lin, 1948:  101)  Daoists referred to this fusion of polar opposites as the yinyang principle. This idea indicates a dualism that is "not so much diametrical as indicative of a polar completion or equalization" (Willis 1987: 37).  The visual idea of yinyang also  symbolizes that opposites are not mutually exclusive, but relative to each other: In Chinese yin and yang literally mean the dark and sunny sides of a hill. They are symbolized in the Taoist [Daoist] iconography by the eight trigrams . . . of the / Ching [Yijing], and the familiar yin-yang disc divided into its S-shaped, symmetrical black and white segments which indicate the masculine and feminine, active and passive, positive and negative manifestations of nature and the physical universe. (Willis 1987: 37) Daoist thinkers attempted to seek the equihbrium between yin and yang so that they could fully participate in the creative processes of the universe (Willis 1987: 64). However, this type of participation, known as the practice ofwuwei ('doctrine of  13 inaction'), is not necessarily an active one. Rather than a validation of idleness in the fatalistic sense, wuwei is an idea that encourages spontaneous, natural action which "goes with the flow" (Wing 1986: 121).  Daoists equated the correct type of  spontaneity ('nonaction') with the proper state of mind: Pn] spite of the Taoist [Daoist] refusal to pose alternatives [make distinctions], the imperative 'Mirror clearly' [Nature] does distinguish a wrong kind of spontaneity, the surrender to passions which distort awareness, from the right kind, responsiveness in the impersonal calm when vision is most lucid. This is precisely the point of divergence between Taoism and the superficially similar cult of spontaneity in our own [Western] tradition of Romanticism, which values passion by its intensity however much it distorts reality. (Graham 1981: 14) Musically, the Daoists' awe of Nature is represented by the yin element of sound: silence. As a human delineation of time and space, music detracted from the conception of these two dimensional elements as a united force which mankind does not truly have dominion over. Hence, the ancient qin players believed that the perception of the inaudible rhythms of the universe (an enlightened state of mind) as fundamentally correlated to the silent reception and performance of music: Ch 'in [qin, Chinese zither] aesthetes would search for the ch'in player who performed without sound so that they might listen to him. This is one perspective from which to see the sage-musician, often pictured in landscape painting alone with his instrument, not playing and without an audience. (DeWoskin 1982: 141) As A. C. Graham points out, Daoism is involved with "a sense of man's littleness before an incomprehensible power" (Graham 1981: 18).  14 Daoist Principles in the Visual Arts and Music  Daoists criticized the rigidity of Confucian social doctrines, claiming that in Nature nothing remains static. Daoist artists attempted to emulate in calligraphy, painting, and sculpture their perception of spontaneous change in Nature: The Tao [Dao] which Taoism [Daoism] knows, and with which its art is concerned, is a seamless web of unbroken movement and change, filled with undulations, waves, patterns ofripplesand temporary 'standing waves' like a river . . . Every observer is himself an integral function of the web. It never stops, never turns back on itself [repeats itself exactly], and none of its patterns of which we can take conceptual snapshots are real in the sense of being permanent, even for the briefest moment of time. Like streaming clouds the objects and facts of our world are to the Taoist simply shapes and phases which last long enough in one general form for us to consider them as units . . . In a strong wind clouds change their shapes fast. In the slowest of the winds of the Tao the mountains and rocks of the earth change their shapes very slowly - but continuously and certainly. Men simply find it hard to observe the fact. (Rawson and Legeza 1977: 10) Though the creative principles described above apply to the visual arts (Thrasher 1997: 9), they are also manifest in aspects of traditional Chinese instrumental practice and melodic characteristics. Just as an ^determinate order exists within the creative processes of Nature, variation is an indispensable element in heterophonic performance practice. Thrasher offers three principles of heterophonic variation which are substantially interrelated in practice: idiomatic, interactive, and interpretive variations (Thrasher 1993: 9).  8  Idiomatic variation refers to the techniques specific to different instruments within the  These variation techniques were observed in traditional instrumental music of the Jiangnan region. They can also be applied to Cantonese instrumental music.  15 ensemble. Interactive variation "arises from the relationship of instruments to each other and the dynamic of their interaction" (Thrasher 1993: 10). Interpretive variation is concerned with stylistic aspects of performance: [Mstrumentahsts] attempt to vary performance details each time they play. This type of variation may be identified as 'interpretive', or even 'creative', because it is more individual in nature and is influenced by performers' moods. In practice, performers enliven melodies by smoothing rhythmic movements and creating twisting melodic contours. The old ideal, usually identified as 'covered and controlled' (hanxu), is traditionally interpreted to mean thatflowingand curving melodic variations be interesting but not overdone. Moderation is still a valued ideal in traditional expressive culture, and overly-showy performance is considered to be in bad taste. (Thrasher 1993: 13) The undulating contours described above correlate to the Daoist artists' attempts to reflect the indeterminate movements of Nature. Other melodic characteristics such as irregular melodic phrase lengths, variable cadence points, and rhythmic flexibility  9  correlate to the avoidance of rigid spatial organization in visual art: "they [aesthetics of visual art] deliberately avoidfixingconceptual 'stopping places', their total mobility can seem at first 'slippery', indefinite and elusive; but this was, to the Chinese, their essential quality" (Rawson and Legeza 1977: 21).  Examples of these musical characteristics may be seen in the transcriptions of the musical performances shown in Appendices A and B. 9  16 Artistic Syncretization of Confucianism a n d Daoism  Wing-tsit Chan states: 'Tt is often said that the average Chinese is one who wears a Confucian crown, so to speak, a Taoist [Daoist] robe, and Buddhist sandals" (Chan, qtd. in Chiu 1984: 379).  Thrasher states:  The Taoist [Daoist] perspective of creativity might then be characterized a including these major concepts: intuition, love of nature, and rejection of artificial form-giving devices. Although it seems that these qualities might be antithetical to Confucian view points (e.g., intuition vs. intellect, nature vs. filial piety and the social emphasis, etc.), in fact these qualities have a complementary relationship . . . due to the interchange of ideas between the two philosophies, it becomes more difficult to try to separate the Confucianfromthe Taoist influences on the arts. (Thrasher 1980: 85-86) As presented earlier, some of the concepts shared by both schools of thought include the interrelatedness and unity of all things, the valuation of harmony and stability, and the avoidance of extremes. I believe that there are two ideas that also play a significant role in traditional instrumental music: the cultivation of insight from the ability to sense the inconspicuous and the concept that art is not abstract. Both these ideas (in conjunction with the others listed) correlate to the ways in which Chinese musicians interpret the "spirit" of a musical work. The quyi ('song spirit') is suggested by the title. The musician's interpretation of the music is associated with variation (melodic embellishment) techniques which involve, in a sense, the ability to perform unseen notes. Witzleben observes that musical meaning, to insiders, is already embodied in the music and requires little enhancement in the form of performance choreography: Traditionally, Jiangnan sizhu musicians rarely use extraneous  motions or exaggerated facial expression while playing. In fact, in a series of photographs that I took of a group of performers, the prints appeared to be identical until I noticed that the performers' hands were in different positions on their instruments in each photograph. Such restraint is not forced or tense, and the need for restraint is rarely mentioned by sizhu musicians; it is simply that in traditional Chinese music, emotion is expressed through the music itself. Musicians have no need to 'act out' their playing . . . (Witzleben 1995:  132)  I, too, have noticed that my informants, Huang Jinpei and Yan Jun-ho, displayed a similar type of placidity in their performances, regardless of the mood of the piece. I am convinced that, in their minds, the quyi of the music was not an abstract idea but a concrete one adequately expressed within the music. Even Daoist art, with its strong metaphysical component, dismisses the idea of abstraction: [Water and air have been] used as an image for the pervading Tao [Dao]. Smoke and clouds reveal the shapes of the currents in air. Their wandering coils, billows and strands resemble those less easily visible among the vortices in currents of water. The energies intimewhich constitute the Tao are thus thought to be analogous to ~ but not identical with — the currents in water and air. The skilful Taoist [Daoist] harnesses himself to them and rides them. The great artist makes them visible in all sorts of ways. The essential point is that they are 'independent of form', although there can be no appearance of form without them. They are real in a sense which binds the subjectivity of the spectator to the objectivity of his world. There is, in Taoist art, no such thing as abstraction; for to create linear shapes which do not directly illustrate an objective world would be pointless. (Rawson and Legeza 1973: 17)  18  Chapter 3 Cantonese Music  In this chapter, I plan to discuss the affective elements in Cantonese instrumental music vvithin the context of Confucian and Daoist ideas. I will attempt to show that, to a large extent, the quyi ('song spirit') of a musical work consists of the relationship between its title, mode, and aspects of melodic embellishment. However, some general features of Cantonese instrumental music will first be given followed by the musical analysis.  General Features of Cantonese Instrumental Music  The city of Canton (Guangzhou), in the province of Guangdong, is located in the southern area of the Pearl River Delta. The Cantonese, in many respects, are unlike people in other parts of China: With a tradition of thinking for themselves, of not accepting easily the dictates of rulers far away to the north, the people of Canton have always had closer links with the outside world than most other Chinese people. Today, the Cantonese still retain a distinctive quality — they have their own cuisine, their own excitable approach to living, and their own racy, idiomatic dialect which is quite incomprehensible to Chinese speakersfromother regions. If China were compared to Europe, the Cantonese would be the Mediterranean people, the Sicilians or Southern Italians. Northern Chinese tend tofindthe Cantonese a noisy, passionate people. Some have explained away the Cantonese temperament by relating it to the city's climate, which is hot humid and damp for much of the year. (Lawrence 1980: 11-12)  19 Because the majority of people in Hong Kong are also Cantonese speakers, social and economical links between Canton and Hong Kong remain strong. That both locations serve as settings for Cantonese instrumental music is one example of their shared cultural heritage:  10  Around the beginning of the 20th century, both mstrumental music and opera songs were performed in the larger teahouses (chaguan) of Guangzhou and Hong Kong, a milieu similar to the venues for narrative song in Suzhou and 'silkbamboo' instrumental music in Shanghai. The teahouse tradition declined sharply in the South during the 1950s and Cantonese music is rarely heard in this environment. Vocal and mstrumental traditions survived best vvrithin the context of amateur societies. In Guangzhou, there were dozens of such societies. Most disappeared between the 1950s and 1980s; some are now being revived. In Hong Kong there were just as many, and these have survived well. (Huang and Thrasher 1993: 3) The following topics will be presented as background information to the musical analysis: instrumentation, the 68-beat model, the role of the skeletal melody, melodic embelhshment, the programmatic significance of Zhaojun Yuan and Hangong Qiuyue, and issues concerned with Cantonese modes. Traditional Cantonese instrumental music, a type of sizhu, developed in conjunction with Cantonese opera. Witzleben explains the term, "sizhu": Pt] is an ancient organological system in which instruments were classified according to the materials producing their sound. 'Silk' (si) instruments had silk strings, while 'bamboo' (zhu) instruments were mostly bamboo flutes . . . The term 'sizhu' has come to imply music of relatively low volume that is usually played indoors'. (Witzleben 1995: 2)  Cantonese instrumental music is also heard in amateur societies in places where a large overseas population is found. The majority of Chinese emigrating from China are from the Hong Kong/Canton area.  20 The Cantonese tradition uses combinations of Chinese wind and stringed instruments such as the dizi and xiao (flutes), the yangqin (dulcimer), the qinqin and sanxian (plucked lutes), and the gaohu and zhonghu (fiddles). The transcriptions examined in this study are based on the gaohu, a two-stringed fiddle. As the leadfiddle,the gaohu possesses a large degree of creative latitude during performance and therefore facilitates the study of affective elements associated with embellishment. Closely related to the construction of the erhu, the gaohu has a wooden neck and resonator.  11  The resonator has a snakeskin covering at one end. A horse-hair bow  is positioned between two steel strings which are tuned to g and d . In performance, 1  1  the instrument's two strings are vibrated by drawing the bow between them with pressure applied either toward or away from the torso. Whereas the resonator of the erhu is placed on the left leg, the gaohu is gripped between the knees for improved tone production. Cantonese musicians interviewed for this paper agree that the mellow quality of the lower-pitched erhu is appropriate for repertoire connoting unhappy moods, whereas the bright quality of the higher-pitched gaohu suits pieces suggestive of happier emotional states.  12  The music of the Cantonese tradition did not develop in complete isolation from  Lu Wencheng (1891-1981), an important Cantonese musician, is believed to have "adapted the standard erhu (from Shanghai music) by substituting a metal string for the traditional silk outside-string " (Jones 1995: 350). 11  Huang offered his own explanation for the Cantonese preference for the brighter tone of the gaohu: "The Cantonese people like joyful music. The gaohu sound is extroverted like the Cantonese people and good for that kind of music. There are not so many pieces that are sad because they do not want to be reminded that life is hard!" (Huang 1993). 12  21 other parts of China.  13  Thrasher observes:  Guangdong [Cantonese] xiaoqu ('short melody'), which is the newest of all traditions, is essentially an ensemble genre, comprised of adaptations of Jiangnan and Hakka musics, together with a very large number of newly-composed pieces dating from the 1920s onward. In this large repertoire (between three and four dozen pieces in regular performance), the 68-beat model is found in only a few pieces — though these are, nevertheless, among the best-known of all Cantonese instrumental music. (Thrasher 1989: 69-70) The 68-beat model originated from qupai ('named song') which were opera melodies which also functioned as instrumental interludes dating from the Yuan (12791368) and Ming (1368-1644) dynasties (Gao 1989: 4).  14  Though existing in many  forms throughout China, the 68-beat model is currently known by two names: Lao Liuban ('old 6 beat') and Da Baban ('great 8 beat'). Thrasher describes this structure: As preserved in both northern and Hakka zheng [zither] repertoires, Baban in fact has eight short sections (of eight beats each, plus an additional four beats). Liuban of the Jiangnan area, on the other hand, is most normally preserved in shorter variants. Lao Liuban is often 60 beats in length, though versions with only 52 beats are still known and performed by both Jiangnan and Hakka musicians. These versions vary in structural detail, but have six short sections (again of eight beats each, plus an additional four beats). Therefore, the possibility exists that, historically, Liuban and Baban were regional names for the six-section structure (of 52 beats) and eight-section structure (of 68 beats) respectfully. (Thrasher 1989: 73-74)  The Cantonese tradition was influenced by the Shanghai sizhu tradition because Cantonese musicians were employed in the music industry there during the first half of the century (Jones 1995: 344-345). 13  Gao explains: "In ancient times, people wrote the titles of music on paizi [which were announcement boards]. It is because of this practice that the name qupai (or paizi) emerged [for identification of the melodies themselves]" (Gao 1989: 4). 14  22 Musicians used these melodies as structural models for the growth of instrumental repertoire: 'In a manner not unlike the 12-bar blues form, some elements such as cadence tones and phrase lengths are more or lessfixed,while specific aspects of melody areflexible"(Thrasher 1989: 71). Performanceflexibilityis possible because the notation in the form of a skeletal melody (guganyin) serves mainly as a memory aid. Each musician in the ensemble memorizes and performs the same skeletal melody according to the three heterophonic variation principles outlined by Thrasher. Stephen Jones describes some general characteristics of the skeletal melody: The skeletal melody of instrumental music, particularly in the older genres, moves predominantly in equal note-values within 2/4 or 4/4 measures: quarter-note and eighth-note values dominate, with extended notes (half-notes or whole notes) at cadences. (Jones 1995: 127) The practice of ornamenting the basic melody is known as jiahua (literally, 'adding flowers'). The term hua ('flower' notes) refers to the ornamental notes which resultfromthe "addition or substitution of neighboring pitches and melodic interpolations" (Thrasher 1993: 9). No performances are exactly alike because no effort is made to memorize the spontaneously embellished version note for note. Sau Yau Chan notes that jiahua is an impulse which traditional musicians find difficult to explain: "singers and instrumentaUsts often fail to verbalize the actual uses of ga fa [Jiahua], nor can they distinguish between fa jem [huayin, "flower notes"] and skeletal notes when  23 they are asked to do so with the help of transcriptions" (Chan 1986: 219).  15  Nevertheless, jiahua is a crucial aspect of musical style. I believe that it also plays an important role in enhancing the affective elements of a musical work which will be discussed later in the musical analysis.  Zhaojun  Yuan and Hangong  Qiuyue  The two guqu ('old melodies'), Zhaojun Yuan ("The Grief of Zhaojun') and Hangong Qiuyue ('Autumn Moon Over the Han Palace'), originated from the sizhu repertoire associated with the 68-beat model.  16  As mentioned earlier, abstraction does  not enter Confucianist and Daoist thought. Therefore, I will give summaries of the two titles, Zhaojun Yuan and Hangong Qiuyue, to iUuminate the programmatic significance of the affective elements in the music. The complete skeletal melodies are provided in Example 1. Zhaojun Yuan ('The Grief of Zhaojun') has remained popular with the Cantonese people because it contains a moving account of altruistic sacrifice for the sake of securing national peace.  17  The foUowing is a paraphrase of the famous tragic  Chen Deju suggests that one factor which contributes to this difficulty is that composers sometimes write hua notes into the composition because of their familiarity with it as a performance practice (Chen 1957: 22). 15  Though known as "old melodies" it is difficult to pinpoint theirfirstappearance chronologically since most publications of this repertoire have existed from only the early 20th century. 16  Despite the fact that Cantonese people are unlike people of the North, pride in the collectively shared Chinese identity does not diminish. The Cantonese would equally share the humiliation of China under the rule of a foreign leader, as seen in the story of Zhaojun Yuan, with Chinese people in all parts of China. 17  24  Zhaojun Yuan 3=±  7—7  5  ?  if  Example la. Zhaojun Yuan Skeletal Melody  4.  Hangong Qiuyue  Example lb. Hangong Qiuyue Skeletal Melody  Hangong Qiuyue cont.  29  story of Zhaojun in folklore, as told by Arthur and Judith Burling (Burling 1953: 355356): Emperor Yuan Di (48-32 B.C.) desired to marry a bride and therefore commanded his subjects to proclaim throughout China that all beautiful girls between the ages of fifteen and twenty-one would have an opportunity to become the Empress. The Emperor then instructed the court painter to paint portraits of all the girls who arrived at the palace, and announced that the greatest beauty would be selected as his bride. The most exquisite face belonged to a girl named Zhaojun. Before the court artist painted her portrait, he told her that for a price, he could paint her in such a flattering manner that she would surely be chosen as the bride. Unfortunately, Zhaojun came from a family of modest means and could not pay the bribe. Therefore, the painter portrayed her as an unattractive girL and upon viewing the distorted portrait, the Emperor dismissed her candidacy as Empress. Though she remained in the Imperial Palace as a concubine, she never saw the Emperor. Around this time, the Tartar Khan ordered the Emperor of China to gfve him a bride. The Emperor planned to send him the most undesirable concubine and remembering the ugly portrait of Zhaojun, he selected her for the Tartar Khan. After all the appropriate arrangements for the transfer were completed, he saw her in person for the first time just as she was set to leave the Imperial Palace. Immediately, he fell wildly in love and offered to send another bride instead. The Tartar Khan would not accept an alternate bride, for he had seen her honestly depicted in another portrait sent to him by the same Emperor's court painter. The Tartar Khan then threatened to  30 declare war if the Emperor dared refuse him Zhaojun. Upon hearing this exchange between the two leaders, Zhaojun proclaimed that even though she loved the Emperor, she felt compelled to sacrifice herself for her country, for the Tartars had a stronger army than the Chinese. In a rage, the Emperor ordered the decapitation of the unscrupulous court painter. He dispatched camels with gold to the Tartar Khan, hoping the precious metals would be enough to tempt the foreign leader to return Zhaojun to him. The Tartar Khan was unswayed by the gesture and declared the great beauty as his queen. By the banks of the Amur River, Zhaojun was overwhelmed with sorrow and decided to take her own life. As she jumped into the river, she cried out her unwavering loyalty to the Emperor, announcing that she would wait for him in the next world. The Tartar Khan could not help but be moved by her conviction and decided not to attack China. However, he did not allow her body to be buried in her native soil; instead, he built her burial tomb by the Amur River's banks. According to some, verdant vegetation surrounds her resting place even though the rest of the vicinity is barren. In contrast, Hangong Qiuyue, ('Autumn Moon Over the Han Palace') also known as Santan Yinyue ('Three Ponds With Imprinted Moon') in Canton (Lin 1983: 47, Jones 1995: 358), describes the beautiful scene shown in the diagram in Figure 1. The following explains the site of Santan Yinyue in Hangzhou, China: At this beautiful site is a lake with a large man-made island. It was formed with the silt and mud dredged from the lake during the Song Dynasty more than 800 years  31  ago. The island is well known for its three bottle-shaped stone towers built in 1621 during the Ming Dynasty. On moonlit nights during the Mid-Autumn festival, people go there to light candles inside the towers and seal the small holes with tissue paper. The light reflected through each of the holes on the surface of the water resembles the moon. (Internet communications 1997)  Figure 1. Silk Print Depicting the Site of Santan Yinyue (Hangong Qiuyue)  Cantonese Modes and M o o d s  Kenneth J. DeWoskin draws attention to the psychological issues involved with musical perception: "Zuckerkandl, in his study of the psychology of human response to music . . . [argues that] what is aesthetically significant in music resides not in the individual tones, but in the relationship between one tone and another" (DeWoskin 1982: 11). This idea is relevant to the musical analysis of affective elements observed in Zhaojun Yuan and Hangong Qiuyue.  Therefore, I will attempt to show that the  affective associations assigned by Cantonese musicians to the three major Cantonese  modes are related to the modes' intervallic configurations. I will also attempt to show the ways in which modal and mood characteristics are influenced by Confucianist and Daoist ideas by discussing the following: affective associations of the ancient gongshang system of modes; structures and mood associations of the zhengxian, fanxian, and yifanxian modes; temperament issues; and philosophical influences within an affective-aesthetic context. Ancient Chinese thinkers sought the cosmological significance of music through numerology. Music scholars referred to the anhemitonic pentatonic scale as the Five Notes (wuyin). To them, the number "five"figuredprominently in Nature, and the five elements (earth, metaL wood, fire, and water) numerologically correlated to pentatonic scales based on thefirstfivenotes of the circle of fifths. Thus, the gong mode is the 18  pentatonic scale pattern which corresponds to and begins on "do"; shang, "re"; jiao, "mi"; zhi, "sol"; and yu, 'la". Example 2 shows these ancient modes. David Liang (Liang Ming-yueh) gives the ancient affective associations assigned to each mode: Most Ming dynasty ch'in [qin] handbooks contained short compositions called tiao-V [diaoyi], or 'the meaning of the mode' . . . Traditionally in ch 'in [qin] music each mode had a predetermined mood. For example, kung [gong] mode [dore-mi-sol-la] had broad and soft expressions; shang mode [remi-sol-la-do], emotional and sorrowful; chiao [jiao] mode [mi-sol-la-do-re], pure and lonely; chih [zhi] [sol-la-do-re-mi] mode, beautiful and tranquil; yiX [yu] mode [la-do-re-mi-sol], clear and bright. (Liang 1975: 173) l  For other extra-musical correlations to the gong-shang system of modes, see Walter Kaufmann's book, Musical References in the Chinese Classics, cited in the bibliography.  33  2a) GongDiao Gong -  0  Shang -  do 2b) Shang Diao  Jiao  0  Zhi 0  re  °  mi  sol  Yu  Gong  XT  la  do  ±  ze:  -9-  re 2c) Jiao Diao  mi  sol  la  do  re  mi 2d) Zhi Diao  sol  la  do  re  mi  la  do  re  mi  sol  do  re  mi  sol  la  * sol 2e) YuDiao  la  ^  Example 2. Ancient Gong-shang System of Modes  Since the Cantonese modes are different enoughfromthe ancient modes to warrant further discussion, I will introduce the structural pitches and affective features of the former. The three major pentatonic modes used in traditional Cantonese instrumental music are the zhengxian ('proper string'), fanxian ('reverse string'), and yifanxian ('ti-fa string'), shown in Example 3 .  19  The sigongxian (la-do-re-mi-sol) is also used in a few pieces. However, it does not have a conspicuous presence in Cantonese instrumental repertoire at present and will not be discussed in detail. 19  34 3 a) Zhengxian  _D_  0sol  la  do  re  mi  sol  sol  la  do  3b) Fanxian  id*  -&  do  re  mi  3 c) Yifanxian  sol  ti  do  re  fa  sol  Example 3. Cantonese Modes The first mode, zhengxian, is organized as "sol-la-do-re-mi". Thrasher describes some characteristics of the zhengxian as follows: The term zhengxian appears to have been borrowedfromthe Hakka tradition, zheng referring to calm and noble sentiments (which are believed to be reflected in mode). This particular mode is recognized as being the oldest and most common, in fact the 'parent mode'fromwhich the others have been derived. (Thrasher 1997: 2) That the ancient zhi mode (Ex. 2d) and the zhengxian mode (Ex. 3 a) bear a strong structural resemblance to each other and harbour similar affective associations is an interesting coincidence.  20  Huang described the second mode, fanxian, as being derivedfromzhengxian through a type of "transposition": Zhengxian is 'sol la do re mi.' Fanxian ['reverse string'] is 'do re mi sol la.' You move the 'sol la'fromthe beginning According to Jones, however, when the gaohu uses the zhengxian musical work, the effect is bright and lively (Jones 1995: 355).  35 of the zhengxian to its end. Then you have 'do re mi sol la' to make fanxian. Like transposition. So on the gaohu, you play zhengxian G A C D E [g a c d e ] and the fanxian G A B D E [g a b d e ]. Fanxian means reverse of zhengxian and so in ancient times, to go against 'right' [zheng] was bad. So a long time ago, many songs with fanxian were considered sad. Now, [that is] no longer [the case] in Cantonese music. (Huang 1993) 1  1  1  1  2  1  2  2  2  2  The finalis of both zhengxian and fanxian is g . This pitch is thought of as "sol" in 1  zhengxian whereas in fanxian it is thought of as "do". Thrasher states that "while melodies are rarely transposed, the aural impression is of a transposition to a fifth higher" (Thrasher 1997: 2). According to Jones, music in fanxian, like the zhengxian, also reflects a lively mood (Jones 1995: 355). Thrasher points out that the "majorsounding" fanxian mode has a tendency "to reflect a strong or joyful affective state" (Thrasher 1997: 2). The third Cantonese mode is the yifanxian mode.  21  The most conspicuous  identity marker of this mode is its two "neutral" pitches. The terms "yF and "fan" originate from an old system of notation known as gongchepu that is akin to the solfege system "YF in gongchepu notation corresponds to the solfege "ti", and "fan" to 'Ta." Hence, yifanxian is said to be the "ti-fa" mode. Huang explains the derivation of yifanxianfromzhengxian: The zhengxian is 'sol-la-do-re-mi.' Change the 'la' to 'ti' and then change the 'mi' to 'fa' and then you get 'sol-ti-do-re-fa.' That is the yifanxian. The 'ti' and the 'fa' are 'neutral' and so you get a perfectfifththere [between the two 'neutral' The intervallic configuration of this mode sometimes causes confusion with the uncommon mode sigongxian: "This 'minor-sounding' [yifanxian] mode, which is clearly derived from the first mode by a change of two internal intervals, is usually notated as sol-ti-do-re-fa . though sometimes notated (mistakenly) as la-do-re-mi-sol" (Thrasher 1997:2). 21  +  36 pitches]. The yifanxian always belongs to a song with sad feelings, like Zhaojun Yuan. (Huang 1993) Jones offers his explanation of the yifanxian mode's affective association by stating that the "neutral" notes create a sense of "tension" because of their upward gravitational effect: The musicians still perceive the expressive pivotal notes, the distinctive 'changed' ['neutral'] pitchesfromwhich the scale takes its name, as yi and fan, as 7/tii and 4/faT creating a tension with their upper degrees 1/do and 5/so|TJ: the plangent mood is unique. (Jones 1995: 355) This observation (of a "neutral" second harbouring an impression of tension), however, does not correlate to the patterns observed in this study. Rather, Huang identified the "neutral" third interval between "ti" and "sol" as well as 'Ta" and "re" as a significant factor in the musical suggestion of sorrow (Huang 1993). He states that the downward portamento between these "neutral" tJiird intervals (consisting of approximately 350 cents) creates an onomatopoeic effect suggesting sobbing sounds. The "neutral" third also occurs at times in the zhengxian and fanxian modes. In such instances, however, Chinese musicians aurally interpret this third according to its perceived function within the mode. Thrasher explains some of the psycho-aural issues relevant to this phenomenon,firstby clarifying some aspects of instrumental temperament: Local scholars say that Chaozhou and Cantonese musics are in 'seven-equal-tone' temperament (qi pingjun lu). I hope to convince you that the system is more sophisticated than merely 'seven-equal-tones'. I should further suggest that the modal systems of South China probably derivefromthe temperament of common-practice musical instruments, on  which small whole-step intervals mixed with three-quarterstep intervals are the rule. Stringed instruments that I have measured [such as the qinqiri] . . . show a remarkably consistent arrangement for both lower and upper tetrachords of the basic octave range: that is, one small whole-step (c.180 cents) followed by two three-quarter steps (c. 150-170). (Thrasher 1997: 4) He then explains aspects of these interpretations of the "neutral third" vvithin this temperament by referring to his measurements of the qinqin (plucked lute) in Example 4.  G  D  70O  A-20 A step B-60 (ti) VA step C  A t * .  E-30  £%  3  F+40  :(:  G(1200)  • same fret ^-perfect 4th & octave  Example 4. Temperament. Qinqin with pitch measurement. [Thrasher 1997]  Thrasher states: I have recently become absorbed by one perplexing question: how can the pitch at the second fret [of the qinqin] (Ex. 2b) [Ex. 4 in this paper] be said to represent a minor-sounding interval in yi/an (which musicians sometimes notate as la-do in relation to the open string) and to represent a majorsounding interval in fanxian (do-mi)? There is a 1/2 step difference! Most older performers of qinqin, yangqin and xiao with whom I have spoken deny altering this second-fret  38 pitch one way or the other during performance . . . I suggest that this seeming pitch discrepancy can be explained in terms of aural perception of how this interval functions within different modal contexts. Fret 2 is located at about 350 cents above the open string (Ex. 2b) [Ex. 4 in this paper], and sounds hke a large minor 3rd in relation to the open string pitch [equal-tempered m3: 300 cents]. However, when the pitch atfret2 is sounded together withfret1 (which is about 170 cents below) and withoutfret3, it assumes a quality more closely identified with a major 3rd [equal-tempered M3: 400 cents] — and which musicians very significantly notate do-re-mi. It is apparent to me that the difference in pitch function atfret2 is nothing more than a change of aural perception, resultingfromthe intermediary presence (or absence) of the pitch atfret1. For all its flexibility, this 'neutral third' must be seen as an essential characteristic of the music in South China. (Thrasher 1997: 5) In keeping with Thrasher's psycho-aural perceptions with regard to interval relationships within a mode, I suggest that the yifanxian mode is associated with sorrowful moods not only because of the alteration of two internal pitches but because this alteration gives rise to an increased number of conspicuous "neutral" intervals within each of the tetrachords, as shown in Example 5. yifanxian  —fVi—  +.  i sol  ti  do  re  fa  sol  II  I  I  II  I  "neutral" 3rd "neutral" 2nd  "neutral" 3rd "neutral" 2nd  Example 5. "Neutral" Intervals Within Yifanxian Tetrachords It is my feeling that the zhengxian and the fanxian modes are used to express similar moods in Cantonese music because they reflect aspects of natural order (and, therefore, orderly relationships) found in Confucian and Daoist metaphysical and  39 aesthetic ideas. The sequential derivation offanxian from zhengxian, as explained by Huang, correlates to the zhongyong idea of the flexibility required for harmony and balance, and the Daoist belief that natural order "operates by 'reversion' (anything that has gone far in one direction will inevitably move in the opposite direction)" (Shun 1995: 462). At an aesthetic level, I propose that the affective associations of modes are linked to the correlation between Confiician/Daoist ideas of interrelationships and the intervallic configurations of the modes. The affective states assigned to the Cantonese zhengxian (Ex. 3 a) and fanxian (Ex. 3b) are similar to the affective associations of the ancient zhi (Ex. 2d) and gong (Ex. 2a) modes (outlined by Liang) in one significant way: neither the two Cantonese nor the two ancient gong-shang modes suggest sorrowful moods. The fact that extra-musical correlations, such as the five elements, were applied to the Five Notes (wuyiri), indicates that the interrelationships among the anhemitonic pentatonic notes were perceived to reflect harmonious interrelationships at work in Nature. In my opinion, when intervallic interrelationships, philosophically perceived to be harmonious, are altered, affective associations are inevitably altered too. When a number of consonant major 2nds and minor 3rds in the zhengxian mode, which is associated with peaceful or lively sentiments, are reconfigured into "neutral" 2nds and 3rds in the yifanxian mode, the mood resulting from the transformation becomes in many respects antithetical to affective states commonly associated with the "proper string" (zhengxian).  40 Musical Analysis  The focus of this section is on some of the ways in which practices associated with melodic embelhshment, jiahua ('adding flowers'), enhance the sorrowful mood associated with Zhaojun Yuan and the lively mood in the traditional Cantonese Hangong Qiuyue. Analysis of affective elements in Zhaojun Yuan is based on a comparison of the skeletal melody found in the collection Xiange Bidu, published in 1917 by Qiu Hechou, with the transcriptions of three gaohu performances seen in Appendix A. I have transcribed the skeletal melodyfromthe old gongchepu system of notation into modern staff notation for comparative purposes. The order of the performances in Appendix A is as follows: Huang Rijin, of the faculty ensemble of the Xinghai Conservatory of Music in Guangzhou; a student ensemblefromthe same institution; and Professor Huang Jinpei, now residing in Vancouver.  22  The two Xinghai  ensembles perform a version in which measures ten to thirteen inclusive are missing. The foUowing discussion will cover the slow section for consistency, and therefore only the first 33 measures of the piece will be provided in the transcriptions. The skeletal melody of Hangong Qiuyue isfroma collection called Guoyue Xinsheng, published by Qiu Hechou in 1934.  23  Performances transcribed are listed in  the order they appear in Appendix B: Thefirstis based on a performancefromthe Puzi Hezou recording (78 r.p.m); the second, Wanxia Zhijing recording (33 ); the 1/3  Thefirsttwo performances were transcribedfromrecordings courtesy of Professor Alan Thrasher, and the third wasfrommy own fieldwork. 22  The transcriptions of Hangong Qiuyue are based on performances found on older recordings, severalfieldtapes courtesy of Professor Alan Thrasher, and some of my ownfieldtapes. 23  41 third, Yin He Hui recording (33 ); and the fourth, a performance in the traditional 1/3  lively Cantonese style by Huang Jinpei.  24  My principle informants are Huang Jinpei and  Yan Jun-Ho, the teacher (shifu) of Vancouver's Ngai Lum Music Society. The first part of the musical analysis explores the sorrowful mood in Zhaojun Yuan and includes two areas of discussion: the role of the "neutral" notes and the portamento element of the "crying" motif. The discussion on Hangong Qiuyue looks at the ways in which general melodic embellishment techniques, the portamento, and the inverted-mordent motif enhance its lively mood.  The "Neutral" Notes in Zhaojun  Yuan  Jonathan Stock points out that embelhshment practices influence the perception of a mode's intervallic configuration: Because hand positions differ from one mode to another, so too do the places where glissandi [portamento] and other fmgering-specific ornaments are inserted. The individuahty stemming from each mode's contrasting melodic distribution is thus reinforced for musician and listener alike by the equally unique patterns of ornamentation in each mode. (Stock 1993: 289) I will attempt to show the way musicians use this aspect of embelhshment as an affective element in Zhaojun Yuan. Evoking an atmosphere of tragedy is of paramount importance to the performance of Zhaojun Yuan. Through jiahua processes, the occurrence of the  1 have also transcribed a performance by Huang Jinpei, which I will refer to as the "tragic" Hangong Qiuyue. It has not been provided. Huang Jinpei stated to me that his performance, based on his impressions of Jiang Fengzhi's erhu interpretation, departs significantly from the skeletal melody of the lively Cantonese version. 24  42  "neutral" notes in the three transcribed performances significantly exceeds those notated in the skeletal melody as shown in the table and graphs in Appendix C .  25  Example 6  shows the spontaneous addition of "neutral" hua notes during performance to a melodic fragment in the skeletal melody that originally does not contain 'Ta" or "ti". 6a) Zhaojun Yuan — Skeletal Melody*  6b) Huang Rijin  1  _\ i—  6c) Xinghai Student  6d) Huang Jinpei  Example 6. Addition of "Neutral" Notes ' T i " and/or 'Ta" * Circled numbers represent measure number. Actual pitches performed are one octave higher in this and all subsequent examples.  Compared to the skeletal melody, almost every measure of the transcribed performances contains the characteristic "fa" and/or the "ti" notes of the yifanxian mode. According to Huang Jinpei, the increased occurrences of the distinct "neutral" notes of the yifanxian mode enhance the disquieting mood of Zhaojun Yuan. In my  Though none of the performances are identical, the tables and graphs show a surprising resemblance with regard to the proportions of the overall number of "neutral" notes performed.  43 view, this phenomenon also enhances the mood because it affords more opportunities for the musicians to draw attention to the "neutral" third intervals (within the yifanxian mode) with the portamento technique. The resulting aural impression, according to Huang Jinpei and Yan Jun-ho, represents onomatopoeic effects which imitate crying.  The "Crying" Motif in Zhaojun  Yuan  In practice, the traditional use of portamento reflects an aesthetic feature which has probably existed since antiquity. In qin (zither) aesthetics, it should induce a "sensation of flowing, of going on forever, an unbroken continuity" by ensuring that musical "movements are linked up together smoothly" (Gulik 1969: 113,115).  26  As an  onomatopoeic representation of crying, however, the effect is quite different. Joseph Lam cites one ancient qin piece, Case of the Lament of Empress Chen, which (like Zhaojun Yuan) expresses female tragedy: After being confined and ignored in the Changmen Palace, Chen Ahjiao [the Empress], who was once loved by Emperor Wu of the Han Dynasty, pleaded for [the writer] Sima Xiangru to write a rhymed essay (fu) on her behalf, which moved the emperor . . . the Wang masters of the Zhucheng school composed a piece on this subject, expressing women's complaints about their unhappy lives . . . The initial phrases have absorbed a techniquefromthe Eighteen Variations of Barbarian Pipe Music (Hujia shibapai), which utilizes an alternation between harmonics and shding pitches in the high register to express female sadness and anger. (Xu, qtd. in Lam, Lam's translation 1993: 359) Lam also quotes Liang Ming-yiieh's programmatic description of this qin piece:  The qin (zither), considered the highest development among all the Han instrumental traditions, is associated with court rituals and the refined musical expression of the literati (Thrasher 1980: 110).  44  The piece is through-composed--musical materials are not repeated~and is characterized by a continuous flow of new musical ideas that lacks definite concepts of either melody or theme. These ideas programmatjcally relate a feeling of lamentation, an ongoing depiction of sadness expressed in variegated shades. An unusually large portion of sliding techniques provide imitative descriptions that resemble grieving vocal inflections. The most significant ones are the large interval slides, [such] as major sixth and minor seventh, as well as the single-pitches and double-pitches sliding techniques. Furthermore, the tripletfinger-rolltechnique . . . appearing in the piece may be considered as a sound imitation of dropping tears or symbolic of a broken heart. (Liang, qtd. in Lam 1993: 359) As shown in Example 7, the rhythmic positioning of the initial note of the portamento, the "flower" note, occasionally occurs conspicuously on the main beat with a slight accent to intensify its onomatopoeic significance.  Zhaojun Yuan — Xinghai Student  Example 7. The "Crying" Motif  Further rhythmic destabilization occurs when the short but prominent "flower" note is followed by a quick portamento which produces the impression of a sudden lurching of the melodic contour downward. Example 8 illustrates this phenomenon with a comparison of the "flower" notes performed when approaching the cadence note "sol" in Zhaojun Yuan and Hangong Qiuyue.  45  8a) Zhaojun Yuan — Skeletal Melody  8e) Hangong Qiuyue — Skeletal Melody  ®  cadence note 8b) Huang Rijin  cadence note*  y  8f) Puzi Hezou i—\,  V  •^—f  8c) Xinghai Student  8g) Wanxia Zhijing  8d) Huang Jinpei  8h) Huang Jinpei  0 ' tf1  Example 8. Comparison of Embellishments at Cadence Points of Zhaojun Yuan and Hangong Qiuyue * Octave transposition is considered melodically the same as a perfect unison. Not only does the second (usually longer) note of the "crying" motif create a temporary caesura in the melodic flow, it also suggests a sense of uncertainty since the melodic continuity is interrupted at non-cadential locations such as phrase openings, as shown in Example 9:  46 9a) Zhaojun Yuan — Huang Rijin  .•3F  9b) Huang Jinpei  ifff  Example 9. Syncopated Rhythm of the "Crying" Motif.  Another technique used to enhance the onomatopoeic sobbing effect is what I will refer to as the "consecutive wailing" motif. This practice requires the placement of two such motifs in close proximity to each other. At times, they are placed side by side. If there are other notes between the "consecutive wailing" motif, they usually consist of no more than three pitches, as shown in Example 10. Other similarities concerning the "consecutive wailing" motif which are commonly observed in the transcriptions of Zhaojun Yuan include the following: first, the two consecutive intervals performed are generally of the same pitches, utilizing mostly the "ti" descending to "sol" ("neutral") interval of a third or the "fa" descending to "re" ("neutral") interval of a third; second, both the "consecutive wailing" motif and the "crying" motif utilize syncopation for additional mood enhancement; third, both motifs appear in various rhythmic values each time.  47  10a) Zhaojun Yuan — Huang Rijin (21)  * *& 10b) Huang Jinpei  Example 10. "Consecutive Wailing" Motif. That these are similar characteristics among all the Zhaojun Yuan performances transcribed suggest that, though the musicians do not embellish the melodies identically, stylistically they are similar. This tendency correlates to the Daoist idea that patterns in Nature are never repeated exactly (Rawson and Legeza 1973: 11) and to the Confucianist zhongyong concept that seeking the creative middle ground is the most harmonious. However, Bond suggests (from an outsider's perspective) that these characteristics decreases the Chinese people's ability to be creative in the Western manner: For the Chinese it [Western-style creativity] raises the dreaded spectre of luan, or chaos, and hence is not encouraged. Thus Chinese students are ideally suited for what the educational psychologist Donald Norman labelled 'additive andfine-tuning'approaches to learning. Neither adding to a core of existing knowledge nor honing one's established skills challenges what one has already mastered. Instead, it 'polishes the jade'. (Bond 1993: 25-26) I believe that this tendency to moderate and regulate musical creativity is consistent with the way the Chinese people moderate and regulate the expression of  48 emotion:  27  This muted strength of emotional feelings [referring to the Chinese predilection not to display emotional extremes] may result in the apparent moderation with which Chinese express emotions compared to Westerners. Certainly there are more rules surrounding the display of emotions in Chinese (and Japanese) culture. These rules may become so ingrained during socialization that, as adults the Chinese react less strongly to provocative events. They therefore appear more placid. This placidity is perfectly understandable against a cultural background which values respect for hierarchy, harmony in the family unit, and moderation in all things. Uninhibited emotional display is a disruptive and dangerous luxury that can ill be afforded. (Bond 1993: 41) Therefore, though the "crying motif' in Zhaojun Yuan plays a significant role in moodenhancement, its appearance is regulated. For example, it occurs no more than two times consecutively. Also, this motif has not been observed between any "neutral" thirds which do not occur naturally within the relative pitches of the yifanxian mode. If a single "crying" motif or a "consecutive wailing'' motif can economically express the immense depth of Zhaojun's grief in a concrete, recognizable way, then it will suffice.  28  Jiahua T e c h n i q u e s and Melodic Contour in Hangong  Qiuyue  In the traditional Cantonese version of Hangong Qiuyue, one function ofjiahua is to forward and maintain the wave-like contour of the melody by adding melodic and  Reluctance to depict intense emotion in Chinese visual art had a philosophical significance. In the painting tradition, the placid human facial expressions represented an emotional state which reflected the peaceful harmony of Nature. 27  1 noticed that when Huang Jinpei explained the meaning of Zhaojun Yuan, he did not emphasize her personal grief as the most important theme. Rather, he stated that the theme of "peace" (achieved by Zhaojun's sacrifice for the sake of China) is an equally significant one in the story. 28  49 rhythmic interest, thereby enhancing the lively mood. It can be observed again in the transcriptions that despite the amount and variety of melodic embelhshment employed, common features appear. Gao Houyong describes the general tendency of instrumental folk melodies to move continually forward and farihui (literally 'fold-return') (Gao 1981: 224).  The undulating contour of the embellished melodic line may, in one way,  be attributed to the tendency for the performers to follow an existing characteristic found within the skeletal melody: consecutive melodic notes do not usually ascend or descend solely in one direction for more than four notes in succession. An analysis of the transcriptions shows instances in which musicians manipulate these hua notes to form additional miniature "dips" and "waves" within the general movement of the melodic line. See Example 11. Rhythm also harbours "wave-like" tendencies. One effect of the rhythmic flexibility arisingfromthe addition of "flower" notes to the skeletal melody is the "ebbing" and "flowing" sensation suggested by the music: faster and slower note values are combined and/or alternated in a spontaneous manner. This rhythmic flexibility, which is integral to aesthetic values of Daoist art, along with an undulating melodic contour, play important affective and stylistic roles to enhance a sense of liveliness. In 29  conjunction with the intervallic features of the zhengxian mode, these melodic and rhythmic characteristics reinforce the title's programmatic significance.  Though these characteristics of melodic contour also appear in transcriptions of Zhaojun Yuan, they function more as a general stylistic quality than an affective one. In the Zhaojun Yuan the use of the "crying" motif, the yifanxian, and the programmatic title preclude any affective similarities to Hangong Qiuyue.  50  11a) Hangong Qiuyue — Skeletal Melody (17) -r 1 lb) Puzi Hezou  @ inverted-mordent motif  11c) Wanxia Zhijing Cl7  lid) YinHeHui 1 pyi—r"  inverted-mordent motifs  2  lie) Huang Jinpei  inverted-mordent motif Example 11. Jiahua Enhancing the Undulating Contour of the Melody.  The Portamento in Hangong  Qiuyue  Though Stock does not touch upon the socio-philosophical significance of the portamento, he nevertheless believes that it is aesthetically integrated with erhu music.  30  His observations can also be applied to gaohu music: See Stock's article "An Ethnomusicological Perspective on Musical Style, with Reference to Music for Chinese Two-Stringed Fiddles" cited in the bibliography for detailed examples of various decorative portamentos, many of which are found throughout my transcriptions in Appendices A and B. 3 0  51 These glissandi [portamentos], rather than merely the technical by-products of shifts necessary to reach certain pitches, are instead an integral decorative feature of Festival Night [erhu piece composed by Liu Tianhua in 1928] . . . even when they are physically unnecessary, performance style demands their inclusion. As I suggested . . . the performer's conception of musical style, forms a perspective upon which decisions regarding the addition of glissandi and other decorative techniques are based. (Stock 1993: 286) I feel that the portamento used in fiddle music is related to qin aesthetics.  31  The use of  the portamento in qin performance originates, according to K H . van Gulik, from Buddhism: When some Indian priests came to China they also brought lute-like instruments with them, and Chinese scholars studied these foreign instruments in connection with the Chinese lute [qin] ... A curious result of this direct Buddhist influence is the fact that among the better known ch 'in [qin] tunes there is one entitled Shih-t'an 'Buddhist Words' . . . The music of this tune is decidedly Indian, vibratos and glissandos reproducing the frequent melismas used in Buddhist polyphonic chant in China and Japan up to this day. (Gulik 1969: 51) As stated earlier, the function of the portamento in qin performance is to create an impression offlowinginterconnectedness (Gulik 1969: 113,115), a core socio-aesthetic concept of Confucian and Daoist philosophies. In my transcriptions, I have observed that the employment of the portamento near or at cadence points (Ex. 8f and 8h) and phrase beginnings is a common stylistic feature in all the transcriptions of Hangong Qiuyue as shown in Example 12.  32  As an ornamental feature, it serves to decorate  For a more complete discussion on qin aesthetics, see R.H. van Gulik's book, The Lore of the Chinese Lute, cited in the bibliography. The characteristic is also noted in Zhaojun Yuan. As noted earlier, however, the affective elements of the "crying" motif portamento mdyifanxian in Zhaojun Yuan are conspicuous enough  52 single notes. However, I believe that the portamento is employed in the vicinity of cadence points and their subsequent phrases to provide a sense of musical continuity by enhancing the wave-like character of the melodic contour. In Ex. 12a, the portamento gives a gentle "bending" impression to the cadence consisting of an octave transposition from g to G and aflowingsensation to the same cadence notes in Ex. 12b. The 1  portamentos at the beginnings of the subsequent phrases, between the pitches d and b 1  1  in Ex. 12a and between g and £ in Ex. 12b not only decorate the phrases' opening 2  notes but also diminishes the sensation of a disjunct melodic jump from the previous g 1  G cadence. Instances of the portamento used in varied but similar ways are seen at other cadence points in the transcriptions.  The Inverted-Mordent Motif in Hangong  Qiuyue  The inverted-mordent motif, shown in Examples lib, l i d , lie, 12a, 12b, 13a, and 13b, is a common melodic ornament. Its "micro"-undulating character complements the general melodic contour. I believe that its presence, or absence, also has relevance to the mood of a musical work. That Huang Jinpei performed the lively Hangong Qiuyue with this motif yet used it infrequently in his "tragic" rendition (inspired by Jiang Fengzhi's unique erhu interpretation), suggests to me that musicians may not associate this ornament with sorrowful sentiments.  33  When I asked Huang to  explain the musical elements which differentiate the mood of the "traditional" and the  to reinforce its general sorrowful mood. While I have transcribed Huang's performance of the "tragic" Hangong Qiuyue, it is not shown in the Appendices. 33  53 "tragic" Hangong Qiuyue, he cited a number of factors: the zhengxian mode (sol-lado-re-mi) of the former suggests a happier mood, whereas the sigongxian mode (la-dore-mi-sol) of the latter suggests a sadder one; also, while the faster tempo of the "traditional" rendition is associated with liveliness the slow tempo of the "tragic" rendition is associated with a more pensive atmosphere; finally, the use the "crying" motif is found in the "tragic" Hangong Qiuyue, but not in the "traditional" version, reinforcing the former's sorrowful mood (Huang 1993). Huang did not mention the inverted-mordent motif as a contributing factor to the lively quality of the Cantonese Hangong Qiuyue, but from analysis of the transcriptions, I am convinced that it has affective significance. The employment of this motif in Hangong Qiuyue, as seen in the transcriptions, considerably exceeds its usage in Zhaojun Yuan. It even appears as an ornament to the first note of the piece in two of the transcriptions, as shown in Example 12: 12a) Hangong Qiuyue — Wanxia Zhijing  f TryA  lr—-—ir—?-—f.  L  <fc-J-u  1  1  \-  r"1 -  r~~  f  —>—k—4£ ' > ' •  ' -£L  ;  ^  /  y  ...  ,—  12b) Yin He Hui -tt  /> 1  / *m Ur (fr  \  '  B r - au,  : 3  •  =f  J •  j *  * —  :  \  Example 12. Inverted-Mordent Motif Placed in the Introduction of Hangong Qiuyue In the transcriptions of the "traditional" version, I observed that the invertedmordent motif occasionally decorates portamentos placed between a minor 3rd. Placed after these portamentos, the inverted-mordent motif immediately increases the rhythmic  54  activity, thereby enhancing the forward motion of the melody, as shown in Example 13. It is significant that this motif is rarely placed after the "crying" motif portamento in Zhaojun Yuan}*  13 a) Hangong Qiuyue — Puzi Hezou  5 13b) Wanxia Zhijing ¥  *  3S:  f  r  a  2=  Example 13. Inverted-Mordent Motif Placed After a Portamento  Conclusion  In this study, I have attempted to show that creative processes concerned with affective elements in traditional Cantonese music incorporate a number of ancient philosophical ideas. Concepts concerned with collectivism and cosmological order, as seen in the Confucian classic, Zhongyong, and in Daoist philosophy, correlate to melodic characteristics, heterophonic texture, and variation principles. I believe that affective aspects of interpretive variation are grounded in socioaesthetic principles related to the ideas of harmony and discord. These Confucian/Daoist ideas have influenced affective musical characteristics which include  Among the four transcriptions of Zhaojun fifth measure of Huang Jinpei's performance.  Yuan in Appendix B, it occurs only once in the  55 the programmatic nature of titles, mode/temperament, melodic contours, and a number of ornamentation practices. In Zhaojun Yuan, musical characteristics which reinforce the affective associations of the title include the sad-sounding yifanxian and the "crying" motif. In particular, the "crying" motif affects the musical mood because it provides an onomatopoeic sobbing effect and a rhythmic disruption to the flow of the melodic line. In Hangong Qiuyue, use of the zhengxian mode in conjunction with general melodic embellishment techniques, the portamento, and the presence of the inverted-mordent motif contribute to the musical "spirit" of the title. Though the affective elements in this study are discussed separately, they are cohesively interrelated in practice.  56  References  Bauer, Wolfgang. China and the Search for Happiness. Trans. Michael Shaw. New York: The Seabury Press, 1976. Blacking, John. How Musical is Man? Seattle: University of Washington Press, 1973. Bond, Michael Harris. Beyond the Chinese Face. Hong Kong: Oxford UP, 1991. Burling, Arthur Hard and Judith Burling. Chinese Art. New York: Bonanza Books, 1953. Chan, Sau Yau. Improvisation in Cantonese Operatic Music. Diss. Pittsburgh U, 1986. Chen, Deju. Guangdong Yuequ De Goucheng [The Formation of Cantonese Pieces]. Guangzhou: Guangdong Renmin cbs, 1957. Chen, Ellen M. The Tao Te Ching. New York: Paragon House, 1989. Chiu, Milton M. The Tao of Chinese Religion. Lanham: UP of America, 1984. Dai Shen-yu. "The Confucian Philosophy of Music: A Theory in Jurisprudence" Chinese Culture. Vol. IV, No. 1: 9-24,1962. Dawson, Raymond, ed. and trans. Confucius: The Analects. Oxford: Oxford UP, 1993. DeWoskin, Kenneth J. A Song for One or Two: Music and the Concept of Art in Early China. Ann Arbor: U of Michigan P, 1982. Gao, Houyong. Minzu Qiyue Gailun [Outline of Chinese Instrumental Music]. Jiangsu Renmin cbs, 1981. Gao, Houyong. "On Qupai." Asian Music. 20.2: 4-20,  1989.  Graham, A. C , trans. Chuang-tzu: The Seven Inner Chapters and Other Writings from the Book Chuang-tzu. London: George Allen & Unwin, 1981. Gulik, R.H. Van The Lore of the Chinese Lute. Tokyo: Sophia University, 1969. Huang, Jinpei. Personal Interviews.  1993.  57 Huang, Jinpei, and Alan Thrasher. "Cantonese Music Societies of Vancouver: A Social and Historical Survey." Canadian Folk Music Journal. Vol.26: 31-38, 1993. Internet Communications. From: Jackma <jackma@pubhc.hz.zj.cn>. Date: Tue, 15 Jul 1997 22:04:44 +0800. Jiang, Jing. "The Influence of Traditional Chinese Music on Professional Instrumental Composition." Asian Music. 22.2: 83-96, 1991. Jones, Stephen. Folk Music of China: Living Instrumental Traditions. Oxford: Clarendon Press, 1995. Kaufmann, Walter. Musical References in the Chinese Classics. Detroit: Information Coordinators, Inc., 1976. Lam, Joseph S.C. "Analyses and Interpretations of Chinese Seven-string Zither Music: The Case of the Lament of Empress Chen." Ethnomusicology. 37.3: 353-383, 1992. Lawrence, Anthony. Canton and Guilin. Chicago: Rand McNally, 1980. Liang, David M.Y. " A Study of Tiao-I: The Meaning of the Mode." Asian Music 6.1-2: 173-188, 1975. Lin, Yutang. The Wisdom of Laotse. New York: Random House, 1948. Pian, Rulan Chao. "China, Section I: General Introduction." The New Grove Dictionary of Music and Musicians. Ed. Stanley Sadie. 20 vols. London: Macmillan, 1980. Qiu Hechou, ed. Xiange Bidu [Essential String and Vocal Music]. Guangzhou: 1917. Qiu Hechou, ed. Guoyue Xinsheng [The New Voice of National Music]. Hong Kong: 1934. Rawson, Philip, and Laszlo Legeza. Tao: The Chinese Philosophy of Time and Change. London: Thames and Hudson, 1973. Shun, Kwong-loi. "Chinese Philosophy." The Oxford Companion to Philosophy. Oxford: Oxford University Press: 130-132, 1995. Stock, Jonathan P. J. "An Ethnomusicological Perspective on Musical Style, with Reference to Music for Chinese Two-Stringed Fiddles." Journal of the Royal  58 Musical Association. 118.2: 276-299, 1993. Thrasher, Alan R. "The Sociology of Chinese Music: An Introduction." Asian Music. 12.2: 17-51, 1981. Thrasher, Alan R. Foundations of Chinese Music: A Study of Ethics and Aesthetics. Diss. Wesleyan University, 1980. Ann Arbor: UMI, 1983. Thrasher, Alan, R. "Structural Continuity in Chinese Sizhu: The Baban Model." Asian Music. 10.1: 92-114, 1989. Thrasher, Alan R. "Bianzou-Performance Variation Techniques in Jiangnan Sizhu." Chime Journal 6: 4-21, 1993. Thrasher, Alan R. Unpublished manuscript, 1997. Tu Wei-ming. Centrality and Commonality: An Essay on Confucian Religiousness. Albany: State U of New York P, 1989. Wilhelm, Richard. Lectures on the I Ching. Trans. Irene Eber. Princeton: Princeton UP, 1979. Willis, Ben. The Tao of Art: The Inner Meaning of Chinese Art and Philosophy. London: Century, 1987. Wing, R. L. The Tao of Power. New York: Doubleday, 1986. Witzleben, J. Lawrence. "Jiangnan Sizhu Music Clubs in Shanghai: Context, Concept and Identity." Ethnomusicology. 31.2: 240-260, 1987. Witzleben, J. Lawrence. "Silk and Bamboo " Music in Shanghai. Kent: Kent State University Press, 1995.  Discography  Puzi Hezou record (78 r.p.m) Wanxia Zhijing record (33 ) 1/3  Yin He Hui record (33 *) 1  Appendix A Contents of this appendix include the following: 1)  Zhaojun Yuan skeletal melody transcribed from p.p. 85-87 of Xiange Bidu, published by Qiu Hechou in 1917.  2)  Gaohu Transcription of Zhaojun Yuan performed by Huang Rijin.  3)  Gaohu Transcription of Zhaojun Yuan performed by a student from the Xinghai Conservatory of Music  4)  Gaohu Transcription of Zhaojun Yuan performed by Huang Jinpei.  Notes on the Transcriptions: 1) \ / = portamento 2) ^  = pitch is performed shghtly sharp  3) \|r' = pitch is performed shghtly flat 4) The "ti" and "fa" are "neutral." 5) All notes in the transcriptions are one octave lower than actual pitches.  61  ©  Zhaojun  Yuan —  W  2) Huang R i j i n /Ti  S k e l e t a l Melody  Recording  (M.M. c i r c a J =42)  3) X i n g h a i Student  Recording  5^1 (M.M. c i r c a J =50)  4) Huang J i n p e i  Recording  64  65  ©  67  69  73  77  78  80  81  i,  83  ©  =  v  r  ^  r  ^—*  D~' ^1—^?  \  K  \—  =3-  87  .90  s c r i p t i o n not provided,  s c r i p t i o n not provided.  91  Appendix B Contents of this appendix include the following: 1) Hangong Qiuyue skeletal melody transcribed from p.p. 149-151 in Guoyue Xinsheng published by Qiu Hechou in 1934. 2)  Gaohu Transcription of Hangong Qiuyue found in Puzi Hezou recording (78 r.p.m).  3)  Gaohu Transcription of Hangong Qiuyue found in Wanxia Zhijing recording (33 *). 1  4)  Gaohu Transcription of Hangong Qiuyue found in Yin He Hui recording (33 ).  4)  Gaohu Transcription of Hangong Qiuyue performed by Huang Jinpei..  1/}  Notes on the Transcriptions: 1) N / = portamento 2) t = pitch is performed slightly sharp 3) ^ = pitch is performed slightly flat 4) All notes in the transcriptions are one octave lower than actual pitches.  92  (M.M.  circa J  =92)  (M.M.  circa J  =48)  5) Huang Jinpei  (M.M.  circa J  Recording  =60)  93  ©  96  •98  ©  99  100  102  ® •—  /  t ' •  "  \  +  f'  *  1  »' r  l  f  105  - 107  i  108  109  110  112  113  115  117  120  121  122  123  ®  '  [  V  V—T#  lj-T.l-.--j  ~ ~  1 \  LJ  126  127  128  130  Fine  Rest of trans c r i p t i o n not provided.  132  Appendix C  Contents of this appendix include the occurrence of the "neutral" notes, "ti" and "fa", in one table and three graphs. The following have been tabulated: 1)  Occurrence of "neutral" notes in the skeletal melody of Zhaojun Yuan.  2) Occurrence of "neutral" notes in gaohu transcription of Zhaojun Yuan performed by Huang Rijin. 3)  Occurrence of "neutral" notes in gaohu transcription of Zhaojun Yuan performed by a student from the Xinghai Conservatory of Music  4)  Occurrence of "neutral" notes in gaohu transcription of Zhaojun Yuan performed by Huang Jinpei.  133  Table I. Comparison of "Neutral" Pitch Deviations Between Notation and Transcriptions as Percentages in Zhaojun Yuan Zhaojun Yuan  Occurrence of "neutral Fa"  Occurrence of "neutral Ti"  Percentage of "Fa's" in total number of "neutral" pitches  Percentage of "Ti's" in total number of "neutral" pitches  la) Skeletal Melody (Notated source)  26  14  65%  35%  lb) Teacher Ensemble (Transcriptions)  64  56  53%  47%  lc) Student Ensemble (Transcriptions)  84  65  56%  44%  Id) Huang Solo (Transcriptions)  79  72  52%  48%  30  CD  .Q  c/) CD  I " 20 —J  = CD  >  =  •*-'  "5. —  «5  CD  10  3 °  o  T—|—i—i—i—i—i—i—r—i—i—|—i—i—i—i—i—i—i—i—i—r i—i—i—i—i -  10  20  30  measure  Figure 2. Occurrences of "Neutral" Pitches in Skeletal Melody of Zhaojun Yuan • = fa; * = ti  134  0  10  20  30  measure  Figure 3. Occurrences o f TSfeutral" Pitches in Gaohu Transcription of Zhaojun Yuan Performed by Huang Rijin • = fa; * = ti  0  10  20  30  measure  Figure 4. Occurrences of "Neutral" Pitches Gaohu Transcription of Zhaojun Yuan Performed by Student at the Xinghai Conservatory of Music • = fa; * = ti  80  £ 8 6(M 11 > 2  1 8 =  o  204,  O T—T—I 1 1 1 1 1 1 ] 1 1 1 1 1 1 1 1 1 1 I I I 1 1 I 1 1 1 1 1 1 1 1 1 -  0  10  20  30  measure Figure 5. Occurrences of "Neutral" Pitches in Gaohu Transcription of Zhaojun Yuan Performed by Huang Jinpei • = fa; * = ti  


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