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The San Koten Honkyoku of the Kinko-Ryū : a study of traditional solo music for the Japanese vertical… Stanfield, Norman Allen 1977

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THE "SAN KOTEN HONKYOKU" OP THE KINKO-RYU: A STUDY OF TRADITIONAL SOLO MUSIC FOR THE JAPANESE VERTICAL END-BLOWN FLUTE— THE SHAKUHACHI by NORMAN ALLEN STANFIELD B.Musi, University of B r i t i s h Columbia, 1970 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF MUSIC in THE FACULTY OF GRADUATE STUDIES (Department of Music) We accept this thesis as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA October, 1977 © Norman Allen Stanfield, 1977 In presenting this thesis in pa r t i a l fulfillment of the requirements for an advanced degree at The University of Brit i s h Columbia, I agree that the Library shall make i t 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 Depart-ment or by his representatives. It i s understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. Department of Music The University of Br i t i s h Columbia 2075 Wesbrook Place Vancouver, Canada V6T 1W5 October, 1977 ABSTRACT The "San Koten Honkyoku" are three ("san") traditional ("hon") compositions ("kyoku") which are distinguished and venerated for their archetypical ("koten") characteristics. Of the many "schools" ("ryu") of musicians who claim proprie-torship or proprietary control of versions of these melodies, the Kinko-ryu has the strongest claim to h i s t o r i c i t y . Their medium of performance i s the "shakuhachi"—a bamboo, end-blown, ve r t i c a l flute—and their aesthetics i s founded on Zen Buddhism. The progenitor of the shakuhachi most l i k e l y originates from the Mesopotamian c i v i l i z a t i o n s of the fourth millennium B.C. After diffusion to China, the v e r t i c a l flute acquired a seminal role as the aural manifestation of the Chinese fun-damental pitch, "huang-chung". Some time later i t became a melody instrument in the court orchestras, suffering several recondite changes in nomenclature and popularity. When i t arrived in Japan as the Imperial "ch'ih pa" (Jp. shakuhachi) i t was in rapid decline, but during the 16th century i t re-emerged as an ignoble instrument played by Japanese mendicant Buddhists called "Komo-s5". The period between the decline i i i of the Imperial Court's shakuhachi and the rise of the Komo-so's v e r t i c a l flute i s a void for historians of the instru-ment, but i t i s suggested in this thesis that an ea r l i e r group of mendicant Buddhist priests/musicians, the "Mo-s5" biwa players, may have been the source of this renaissance. By the time of the Edo Period (1600-1868), the v e r t i -cal flute had passed from the hands of the Komo-so, through the merchant class who called i t the "Hitoyogiri" and a samurai clan who knew i t as the "Tenpuku", to a newly-emerged group comprised of "ronin" or masterless samurai who adopted the then-defunct Komo-so's way of l i f e in a manner that suited their aristocratic background. They called themselves "Komu-so", and their colorful history ranges from clandestine malevolence to Buddhist saintliness. In the 18th century, Kurosawa Kinko and his son (Kinko II, 1741-1811) and grandson (Kinko III, 1772-1816) advanced the positive aspects of the Komu-so's act i v i t y by assembling a unified repertoire and organizing an association of lay f l u t i s t s devoted to the pursuit of "Takedd"—the "Way" of the bamboo f l u t e — a process of self-enlightenment fashioned after Zen Buddhist precepts. Today, the music theory of the Kinko-ryu Honkyoku i s comprised of a basic system of rudiments tempered by complex iv performance practices which are only accessible through the oral/aural instruction of a sensei. His pedagogy i s designed to bring the student to a unified understanding of the many aspects of melodic detail by emphasizing their role in anima-ting the simple melodies outlined by the skeletal notation. Through a systematic analysis of the Kinko-ryu "San Koten Honkyoku", the present study has found that the theore-t i c a l principles of these compositions are clearly demonstra-ble. Their inherent pitches are derived from the Japanese "In" scale and exist in a hierarchy made manifest in tonal p r o c l i v i -ties which are naturally or deceptively resolved. The hierar-chies also determine the structures of the melodies by articu-lating their progress. The conclusion of this thesis draws together the soci-ology, history, melodic theory and melodic analyses of the Kinko-ryu shakuhachi and i t s Honkyoku by outlining their re-spective contributions to a unique musical expression of Zen Buddhism. TABLE OP CONTENTS PREFACE .. v i CHAPTER 1. The Kinko-ryu 1 2. A History of the Shakuhachi 36 3. Kinko-ryu Melodic Theory 85 4. San Koten Honkyoku Melodic Analysis 117 CONCLUSION 164 NOTES 167 APPENDICES A. Transcriptions 190 B. Senritsukei 223 C. Fingering Chart 229 D. Character Index 233 BIBLIOGRAPHY 256 v PREFACE My graduate studies, culminating with this thesis, were an amalgam of three seemingly disparate interests: flute playing, Buddhism and Japan. The meeting ground of these interests was the Shakuhachi, a ve r t i c a l flute which combines the magic of the flute sound with the essential s p i r i t of Buddhism and the fascinating temperament of traditional Japan. The preliminary groundwork for my f i e l d studies in Ja-pan was gratefully received from my graduate studies super-visor. Professor E l l i o t Weisgarber, with further assistance from Professor Shotaro Iida (Buddhist Studies). Since my re-turn from Japan, I must thank Professor Ming-Yueh Liang and Professor Donald McCorkle for their many invaluable comments and criticisms during the drafting of my thesis. I am also deeply indebted to Takeo Yamashiro, Zenryu Shirakawa, Michel Roffiaen, and Linda Bennett for their help during the actual preparation of my thesis. The zenith of my studies occurred in Japan, under the excellent instruction of Tanaka Yudo, Sensei in the Kinko-ryu, who taught me so much more than how to play the shakuhachi. v i v i i A renaissance figure who teaches as much by example as by pedagogy, his dedication to the highest principles of human endeavour was clearly evident in his devotion to "Takedo". During the same period, I also received a considerable amount of valuable information concerning the Meian-ha from Dr. Toyoaki Kojima Sensei. It i s hoped that this thesis w i l l serve as a temporary intermediary between the tradition as i t i s found in Japan, and the West which i s just discovering i t . Ideally, i t w i l l soon be replaced with the direct kind of experience between Sensei and students most valued by the Zen Buddhists: "extrinsic teachings, separate from exegetics no dependence on words and letters pointing directly to the human mind seeing into one's nature and attaining Buddhahood" Traditionally ascribed to Bodhidharma CHAPTER 1 THE KINKO-RYU 1:1 The Kinko-ryu Organization The Kinko-ryu i s a "school" of shakuhachi players foun-ded by Kurosawa Kinko (1710-1771). The usual translation of ryu as "school" i s clearly inadequate, but i t i s the only English word which approximates i t s meaning. One of the central facts of the Japanese people i s their particular sense of social relationships which i s derived from Chinese Confucian familial ethics tempered by medieval Japanese feudalism. In music c i r c l e s , this cultural pattern has been made manifest in "families" ("ryu") comprised of patriarchal teachers ("sensei") and " f i l i a l " students ("gakusei") who may be real or "adopted". The nature of this teacher-student re-lationship i s discussed in Chapter 3 (see 2:1). Kurosawa Kinko was followed by Kinko II, III, and IV, who were actual p a t r i l i n e a l descendants. However, Kinko IV was unable to succeed, so the ryu's leadership was passed on to an "adopted" student of Kinko III, a tradition that came to dominate the Kinko-ryu. This type of succession i s prone 1 2 to divisive factionalism with the result that the kinko-ryu has formed multiple branches and sub-branches. Although inter-necine conflicts have developed, the result of this dispersion has been an expanded community and a certain amount of freedom for students wishing to assert their musical independence. The basic tenor of the Kinko school i s very conservative, which acts both for and against i t . An emphasis on intense teacher-student relationships and a conservative repertoire tends to discourage prospective students, but i t s Zen Buddhist heritage and conscious conservation of traditional Japanese values more than compensate for such stringency. The Kinko-ryu i s comprised of laymen (upper and middle class) who usually pursue their ryu a c t i v i t i e s as an avocation, although some might argue that i t i s their profession which is an avocation, while shakuhachi-playing i s the central fact of their l i f e . The ryu i s an urban phenomenon with active centers in the Kanto (Tokyo) and Kansai (Osaka-Kyoto) area, the former being the place of the school's origin in the 18th century. Its two major branches stem from the leading students of Hisamatsu Fuyo" (the successor of Kinko III), Araki Kodo II and Yoshida Itcho. The more successful line of Kodo also d i -vided into several branches dominated by the lineages of Kawase Junsuke and Araki Kodo III, the former being less conservative than the l a t t e r . The total network of branches and sub-branches 3 i s so intricate that i t i s v i r t u a l l y impossible to outline. There are four other ryu besides the Kinko school. The Ikkan-ryu, a recondite school, i s conterminous with the Kodo branch of the Kinko-ryu and various sensei have claimed to be in both schools simultaneously. This school traces i t s h i s -tory back to Miyagi Ikkan who studied with Kinko I (Sato, 1966: 1,3). The most popular ryu i s the Tozan-ryu, founded by Nakao Tozan (1876-1956) in the Kansai area in 1906. His school i s strongly influenced by the West, as evidenced by i t s complex system of bureaucratic pedagogy similar to a national conser-vatory of music, and i t s readily available music literature and shakuhachi. Its repertoire i s extensive and varied but i t does not date before the founding of the school. The re-sult of this populist approach i s a membership far in excess of a l l the other ryu. When Araki Kodo II was active in the Tokyo area, Kondo Soetsu was replicating the same innovations in Osaka. His work resulted in the founding of the Chikuo-ryu with a reper-toire that u t i l i z e s the pre-1868 MFu-Ho-U" syllabary because of an early association with the Meian-ha (Gekkei, 1971:21). The Chikuo musicians use particularly long shakuhachi ("cho-kan") and perform in an intense, sotto voce tone augmented by a wide variety of subtle melodic embellishments. Finally, the Kinpu-ryu, an outgrowth of the Nezasa-ha, i s another 4 school which was founded at the turn of the century. Its musicians are also known for their use of chokan but their sound ideal i s more placid, consisting of long tones inter-polated with breath pulsations at regular intervals of two or three gentle bursts per second in the manner of an echo. Aside from the ryu, there are associations of shaku-hachi musicians called "ken" or "ha" which are usually asso-ciated with temples ('*ji"). These organizations usually con-s i s t of independant teachers and their students who may share the same repertoire but who retain their own "family" style. Some of these "families" (ryu) became quite established, such as the Kinpu-ryu. The two most famous ha are the Nezasa-ha in Tohoku (North-East Honshu Island, Japan) and the Meian-ha in Kyoto. The l a t t e r was established at Meian-ji in 1883 as the Meian Kyokai but the temple i t s e l f has a long tradition as the major focal point for the Komuso. Another organization is the "Ueda", which has deep roots in folk music. Although they are considered ignoble, I have encountered them in such prestigious recitals as the National Concerts ("Zenkoku Dai-kai") which are held in Meian-ji. 1:2 The Kinko-ryu Shakuhachi The shakuhachi* played by the Kinko-ryu are made from 5 a thick-walled type of bamboo called "odake", Phyllostacus Bambusoides (En. Whangee, from the Ch. Huang, as in Huang-chung Kuan, see 2:1). Because the root-end ("ne") i s i n -cluded in the cut, the word "nedake" i s used as a synonym (see Gekkei, 1971:18). However, among Kinko-ryu performers, the word "take" i s a more common synonym. The casual appearance of the f i n a l product i s deceptive because each instrument requires long hours of meticulous craftsmanship. The " b e l l " i s hewn from a dense knot of roots and bent by applying heat and pressure; the bore i s carefully lacquered to create a smooth wall and evenness of pitch; and the mouthpiece, or "utaguchi", i s hewn after a buffalo horn or tortoise-shell: insert: ("hasamigushi") has been placed i n i t . The instrument i s usually made in two pieces for reasons concerning tuning, but this expediency has one flaw, in that the bamboo i s weakened and therefore prone to s p l i t t i n g . For this reason, shakuhachi are dangerously susceptible to the surrounding humidity, and antique shakuhachi are extremely rare. Excellent photographs of the stages of construction may be seen in Bamboo (Austin, 1970:144-51), and the problems of construction are well outlined in "The Shakuhachi and the Kinko-Ryu Notation" (Berger, 1969:35-42). The three main types of shakuhachi construction are the 6 Kinko-ryu, Tozan-ryu, and Meian-ha models. There i s no uni-formity of construction in the Meian-ha type which reflects the casual organization of the association, but two features which are notable are that a l l of the shakuhachi are made in one piece and the ridges of the inner nodes are retained. The salient features that differentiate the Kinko and Tozan instruments were outlined by Berger (ibid.) and they may be summarized and supplemented in the following manner: 1. The distance between the thumb-hole and the fourth finger-hole i s 5.4 cm. in the Kinko shakuhachi and 3 cm. in the Tozan shakuhachi. A l l other holes, in the instruments of both schools, are 5.4 cm. from each other. 2. The diameter of the third finger-hole i s 1 cm. in the To-zan Shakuhachi and .9 cm. in the Kinko shakuhachi. A l l other holes in both instruments are 1 cm. in diameter. 3. The inner wall of the Kinko instrument i s entirely lac-quered, whereas the Tozan instrument has alternate layers of plaster of Paris and lacquer. 4. The decorative band around the ends of the joints i s usu-a l l y made of rattan in the Tozan school, and lacquered in the Kinko school. 5. The bore of the Tozan shakuhachi i s larger and flares at the end joint, whereas the Kinko shakuhachi constricts s l i g h t l y . 7 6. The hasamiguchi are shaped differently, as in Example 1. Example 1. The Kinko and Tozan Hasamiguchi 7. The blowing edge of the Tozan utaguchi i s shallower and wider than the Kinko, making the Tozan instrument much easier to play. Despite this fact, the Kinko-ryu retain their style of instrument because i t s "resistance" offers more of a challenge. The traditional range of the shakuhachi s l i g h t l y ex-ceeds two octaves. Example 2. Shakuhachi Traditional Range > yC=z h _ ^ . V i a A l l the chromatic notes within the traditional, ambitus can be played, but only five notes i n both the low (RO) and high (KAN) can be played "naturally", i.e., with the head in 8 a normal playing position. Example 3. Natural Shakuhachi Sounds a ^-v o a 7 aipj o L V; J a <J c ? f I i RO KAN The other pitches are sounded by lowering the head by degrees so that a "natural" pitch w i l l then sound a half-step lower ("raeri") or a whole step lower ("dai-meri"). The opposite motion (i.e.,raising the head) i s called "kari", and this i n -struction i s used to cancel meri or dai-meri indications. The term "shakuhachi" i s a truncated version of the more correct appellation "ichi-shaku, hachi-sun" (or "issha-ku, hassun") which means one foot, eight deci-feet, using the ancient Chinese units of measurement (i.e., multiples of ten as in the metric system). An isshakuhassun i s only one mem-ber of a consort of identical-looking v e r t i c a l flutes that vary only in size (see Ongaku Jiten, 1965-66, vol.5, "Kangakki"). Each instrument being one-half step different from the next, the name of the flutes and their lowest pitch can be i l l u s -trated in the following manner: 9 Example 4. Shakuhachi Consort Names f 7_ (? \ < Stab I / I I I I I I I I The only other instrument to exhibit this kind of con-sort arrangement i s the "shinobue", a rural flute. The ar-chaic Hitoyogiri, a prototype of the shakuhachi, and the Gagaku Shakuhachi were also b u i l t i n consorts as evidenced by chronicles and extant collections (Gekkei, 1971:18). Today, the most frequently used shakuhachi size i s the isshaku-hassun, although longer shakuhachi (chokan) were more often played in the past and are considered more appropriate for performances of Honkyoku (Weisgarber, 1968:316). Two other shakuhachi sizes have become common in the Kinko-ryu t r a d i t i o n ; the "isshaku-sansun" (a "tankan", or short shaku-hachi) and the "nishaku-sansun" (a chokan). Both instruments, tuned a Perfect Fourth higher and lower, r e s p e c t i v e l y , than the isshaku-hassun, are used i n Honkyoku t r i o s (see Example 5). Example 5. "Mukaiji Reibo" T r i o , F i n a l Cadence 1. Kumoi Choshi (Chokan) 2. Honte Choshi 3. Akebono Choshi (Tankan) 1:3 The Kinko-ryu Repertoire The r e p e r t o i r e of the Kinko-ryu i s comprised o f ap-proximately 200 melodic compositions ("kyoku") which are cate-gorized as e i t h e r "Honkyoku" ( i n t r i n s i c melodies), "Gaikyoku" ( e x t r i n s i c melodies), o r "Shinkyoku" (contemporary melodies). Honkyoku represent the core of the r e p e r t o i r e because o f t h e i r sacred and h i s t o r i c a l connotations; Gaikyoku are l a t e r a d d i -tions which are secular i n s p i r i t and context. Shinkyoku i s 11 comprised of music written in the 20th century but the r e l a -tively few compositions in this category tend to be thought of as extraneous to the Kinko-ryu corpus. While Honkyoku are self-contained compositions, Gai-kyoku are actually part-books for "Ji-uta" and "Danmono" ar-rangements. The l a t t e r are purely instrumental compositions while the former are medlies of songs with instrumental ac-companiment and interludes ("tegoto"), played without pause. The compositional structure of both genres i s heterophonic, with a lead koto melody "simultaneously varied" (Meyer, 1956: 234-46) by shamisen and/or shakuhachi (a later substitute for the kokyu (see Malm, 1959:175,55)) and, in the case of Jiuta, an interpolated vocal line (Adriaansz, 1973:226). In Danmono performances any combination of the instruments can be used (including individual solos) but Ji-uta performances always use the entire instrumental ensemble, usually referred to as "Sankyoku" (three-part melodies). The introduction of Gaikyoku to the repertoire of the Kinko-ryu i s credited to Araki Kodo II. (Kondo Soetsu, the founder of the Chikuo-ryu, attempted the same assimilation but to a lesser extent.) This new "populist" trend was promp-ted by a proscription of a l l Komuso a c t i v i t i e s in 1871, i n -cluding performances of Honkyoku. In an effort to sustain their ryu (or because they were no longer constrained by 12 traditional obligations), Kodo II and Kondo Soetsu incorporated the shakuhachi parts of the popular music of the time (mainly Jiuta) into their ryu systems of pedagogy and repertoire. His-tory has shown that this innovation was extremely successful, resulting in a continuously expanding repertoire of Sankyoku arrangements which currently number over one hundred. Gaikyoku has also prompted further experimentation, resulting i n Shin-kyoku which employ contemporary ensemble combinations and forms (see Toyataka, 1956), The Kinko-ryu Honkyoku consists of 28 "Dokuso" (solo melodies), 4 "Seiso" (heterophonic trios for three shakuhachi of unequal size), 4 "Juso" (polyphonic duets for two shakuhachi of equal size), and 2 "Fue-ond5" (polyphonic duets i n free canon for two equal-sized shakuhachi)• There are also several "un o f f i c i a l " Honkyoku written by anonymous composers and some newly-composed Honkyoku ("Sakkyoku") composed by famous shaku-hachi performers (Sato, 1966). The individual histories of the Honkyoku are from anony-mous sources which are unverifiable and appear to be based on hearsay (see Tanaka Giich i , 1956:303-307). Kinko I and II gathered the melodies from various temples as far away as To-hoku in the north and Kyushu in the south, although their major sources were Reiho-ji and Ichigetsu-ji, the two temples near Tokyo that they directed. They are to be credited with pro-1 3 digious memories, because their appropriations must have been by oral/aural transmission, and with impeccable diplomacy be-cause their sources doubtless claimed the traditional rights of exclusive possession. Each temple "owned" a small number of Honkyoku ( i f not just one), the origins of which seem to have been forgotten although the Komuso organization was less than a hundred years old. Many of the Honkyoku from different temples had the same name so appellations were devised to d i s -tinguish them from each other. Unfortunately, most of these appellations have meanings which have become lost and conse-quently can only be guessed at (see Kikkawa Eishi:,RCA Victor). The 28 Dokuso can be divided into six categories accor-ding to their common surname: 1. Kyorei: Shin Kyorei Kinsan Kyorei  Uchikae Kyorei  Shimotsuke Kyorei The word "Kyorei" i s comprised of "Kyo", the Japanese word for the Buddhist concept of no-thingness (Sk. sunyata), and "Rei", which roughly translates as " s p i r i t " or "soul". "Kinsan" may be an abbreviation for "Koto/Shamisen" i n d i -cating some unknown string music background; "Shimotsuke" i s an ancient province in Honshu; and "Uchi-kae" ("close-addendum" ) may be a reference to an interpolation of this 1 4 s p e c i f i c "Kyorei" i n t o a Komuso r i t u a l . Shin Kyorei w i l l be d e a l t with presently. 2. Reibo: Mukaiii Re ibo Yoshiya Reibo Koku Re ibo Igusa Reibo Ginrvu Koku (Reibo) Namima Reibo Kyo(to)_ Reibo Sokaku Reibo Izu Reibo Reibo Nagashi Kyushu Reibo The word "Reibo" c o n s i s t s of "Rei", "a small handbell", and "Bo", "yearning". Rei are used by Buddhists i n every country where Buddhism i s p r a c t i c e d . Although Rei are used to a r t i c u l a t e Buddhist services, the reference here i s to P'u hua (Fuke) who constantly rang h i s large Rei ( i . e . , "takti") during h i s supposed peregrinations through graveyards. A common synonym f o r Reibo i s "Renbo" which simply means "yearning". Kyoto, Izu and Kyushu are p l a c e -names. "Nagashi" ("to flow") means "mendicant musician"; "Namima" i s a synonym f o r "sea" ( i . e . , " k a i " , as i n "Mukai-j i " ) ; and "Sokaku" tra n s l a t e s as "nesting crane", a symbol of o l d age and wisdom. Other, more problematical t r a n s -l a t i o n s are: "Igusa" ("reed"), perhaps a truncated syno-nym f o r "ashi-bue" ("reed f l u t e " , see 2:1, "Wei-Yueh"); "Yoshiya" ("bucolic"); and "Ginryu" ("sound dragon"), an obtuse reference to the mythology which holds that the 1 5 4 flute could invoke "the sound of a dragon". 3• Sugagaki: Akita Sugagaki Koro Sugagaki Sanya Sugagaki Sayama Sugagaki "Sugagaki" i s a term found in Wagon and Gaku-so (Gagaku koto) music which refers to a melodic pattern played in a free, preludial style called "Kaki-awase". It also became the basis for later, metric compositions called "Shirabemono", performed on the koto. S t r i c t l y trans-lated, i t means "reed panpipes".^ Sanya Sugagaki i s par-t i c u l a r l y venerated as a Honkyoku almost as old as the San Koten Honkyoku. Although i t s name translates as "three valleys", the word may be an adaptation of the Buddhist Sanskrit term "samaja", meaning "gathering place". "Akita" and "Sayama" are place-names, and "Koro" ("tumble") may be an allusion to the "Ko-Ro, Ko-Ro" tech-nique or some other performance practice contained within i t s composition. 4. Shirabe: Hi, Fu, Mi Hachi Kaeshi Banshiki-cho combined in one Honkyoku "Shirabe" means "Prelude". Hi, Fu, Mi, Hachi. Kaeshi Shirabe (two combined Honkyoku) may refer to three steps of alms-16 begging ("takuhatsu") because i t translates as "one, two,, three; return the bowl". However, Hi, Fu, Mi probably refers to three constantly recurring tones in i t s melody 1 1 2 (i.e., d , g , and d ), while Hachi Kaeshi may be an o r i g i -nal takuhatsu melody.^ Although Banshiki-cho i s a tech-nical term in Gagaku music theory which denotes the Gagaku mode that begins on "b" (both the pitch and the mode do not appear i n the Honkyoku), i t s l i t e r a l translation i s shallow bowl transfer, "cho", ( or, more properly, "choshi" or "shirabe"), an obvious synonym for Hachi Kaeshi no 7 _ Shirabe. The "Banshiki-cho" Honkyoku melody explores the musical ambiance found in the two tetrachords bounded by 2 2 2 3 c - f and g -c . It i s only heard as a preamble to "Shin kyorei" and "Shika no Tone", the two most respected Hon-kyoku in the repertoire. 5• Kyoku: Takiochi no Kyoku Shizu no Kyoku Yugure no Kyoku Sagariha no Kyoku The word "Kyoku" i s a common term for "melody". "Takiochi" translates as "waterfall" ( l i t e r a l l y , "dragon flight") and "Yugure" means "evening". "Shizu" ("desiderative plan") may be an obtuse reference to religious awakening or taku-hatsu protocol, and "Sagari-ha" ("hanging leaves") may be an a l l u s i o n to short, low-pitched songs i n Nohgaku (Malm, 1963:29) or t h e i r r e l a t e d songs, Kami-gata, which use shamisen tunings of 2 P4*s (Malm, 1959:22). 6. S h i s h i : Sakae S h i s h i Meguro S h i s h i " S h i s h i " i s the mythical l i o n (an ancient symbol of v i r i l i t y ) , musically represented i n f o l k f e s t i v a l s by f l u t e s (shinobue) and drums (hayashi)• "Meguro" i s a place j u s t outside of Tokyo and "Sakae" means "prosp e r i t y " . 7. Ho-Sho-Su This composition has a unique t i t l e but i s s i m i l a r i n s t y l e to Sokaku Reibo and Shika no Tone which are program-matic ( i . e . , contain performance techniques that are sup-posedly onomatopoeic). The t r a n s l a t i o n , "Young Male Phoe-nix", i s an a l l u s i o n to the Chinese legend i n which s p e c i a l bamboo tuning tubes (Lu Kuan) were adjusted so they would reproduce the sound o f phoenix b i r d s (see 2:1). The Phoe-nix (a Yin symbol) and Dragon (a Yang symbol) represent complementary symbols of Imperial omniscience, and are us u a l l y associated with v e r t i c a l "Kuant" (i.e., v e r t i c a l bamboo p i p e s — e n d blown f l u t e , panpipe/, mouth organ) and h o r i z o n t a l "Kuan"' (transverse f l u t e s ) r e s p e c t i v e l y . The f i r s t , second, and seventh "genres" are considered sacred, while the t h i r d , f i f t h and s i x t h are secular ("Gaiten 1 8 Honkyoku"). The fourth "genre" consists of purely function-a l "preludes". Further research, beyond the scope of this thesis, may determine whether the melodies in each "genre" have a common compositional denominator, but a superficial examination reveals that they do not. The two Fue-ondo are Shika no Tone and Tsuru no Sugo-mori (a variation of 'Sokaku Reibo J). Tsuru no Sugomori (which also translates as "nesting cranes") i s more rhythmi-c a l l y constrained than Shika no T5ne and i s more responsorial than canonic. Shika no Tone i s held i n the highest regard by shakuhachi players and their audiences; Sato Harebi l i s t s i t as a "Hikyoku" (Esoteric Honkyoku) because i t i s the f i n a l and most sophisticated stage of learning and co-operation be-tween sensei and student. It i s a programmatic composition depicting two deer c a l l i n g to each other in Nara Park (a sym-bo l i c garden i n Nara that reproduces the deer park i n Sarnath (Benares), India, where Gautama Buddha gave his f i r s t sermon 8 after attaining enlightenment)• The Juso and Seiso are arrangements of related Dokuso. The Juso duets juxtapose different sections of their related Dokuso, each section having been a r b i t r a r i l y defined as "Hon-te" (original line) or "Kaede" (added l i n e ) . The resultant harmony i s coincidental because the lines never diverge from the same"key"(see "Dan-awase" in Malm, 1959:181-82). The 19 heterophony in the Seiso trios was achieved by transposing the Honte into two different tunings related to the size of the shakuhachi that performs them. The Seiso compositions only used fragments of related dokuso, chosen i n an arbitrary manner, whereas the Juso usually employed a l l the related do-kuso material. The t i t l e s of the duets and tr i o s are: Juso: Koku Reibo Seiso: Koku Reibo Koro Sugagaki Koro Sugagaki Ginryu Koku (Reibo) Mukaiji Reibo Akita Sugagaki Sakae Shishi The "u n o f f i c i a l " Honkyoku are: Kinuta Sugomori: a metric "shirabemono", usually preceded by one of two short preludes, Ashi no Shirabe (Reed (flute) Prelude) or Kotoji no Shirabe (Koto tuning-bridges Prelude). Akebono Sugagaki: a metric shirabemono in two sections (dan) played in Akebono (high) Choshi, performed on an isshaku-hassun. Sometimes the two dan are played simultaneously by two shakuhachi (i.e., Juso). Akebono Shirabe: a Prelude which i s an Akebono Choshi of Hi,  Fu, Mi, Hachi.:Kaeshi no Shirabe, performed on an isshaku-sansun. Nagai Shirabe: a Prelude (also named Kotobuki Shirabe) which i s a lengthy insert for a point about half-way into Hi, 2 0 Fu,Mi,,Hachi Kaeshi no Shirabe, making the l a t t e r almost twice as long ("Nagai"). Four Sakkyoku are Renritsu no Mai and T a i Hei Raku by Yoshida Itcho, and Yachiyo Sugomori and Tsuki no Kyoku by Araki Kodo I I . These two composers were students of Kodo I who helped c a r r y the t r a d i t i o n of shakuhachi p l a y i n g from the Edo Period to the M e i j i Period. There are two systems of c l a s s i f y i n g the Honkyoku reper-t o i r e — t h e pedagogical system (see Weisgarber, 1968:340) and the "Oraote ( I n t r i n s i c ) - - U r a ( E x t r i n s i c ) " c l a s s i f i c a t i o n s (see Sato, 1966). The l a t t e r system i s as follows: Koten Honkyoku: 1 Mukaiji Reibo 2 Koku Reibo 3 Shin Kyorei (with Banshiki no Shirabe) Oraote Honkyoku: Gyoso no Te: 4 Takiochi no W * u 7 Kyushu Re ibo J 5 A k i t a Sugagaki 8 Shizu no Kyoku 6 Koro Sugagaki 9 Kyo Reibo Shin no Te: 10 Kinsan Kyorei 15 Igusa Reibo 11 Yoshiya Reibo 16 Izu Reibo 12 Yugure no Kyoku 17 Reibo Nagashi 13 Sakae S h i s h i 18a Sokaku Reibo 14 Uchikae Kyorei 18b Tsuru no Sugomori Ura Honkyoku: 19/20 Akebono/Kumoi Choshi — Mukaiji Reibo 21/22 Akebono/Kumoi Choshi — Koku Reibo 23/24 Akebono/Kumoi Choshi — Koro Sugagaki 25/26 Akebono/Kumoi Choshi — Sakae Shishi 27 Sanya Sugagaki 31 Sayama Sugagaki 28 Shimotsuke Kyorei 32 Sagariha no Kyoku 30 Ginryu Koku 34 Ho Sho Su Hikyoku: 35 Shika no Tone Therefore, the traditional number of Honkyoku in this system i s 35 (18 Omote plus 17 Ura). This c l a s s i f i c a t i o n does not include the 2 Shirabe which are so integral to the t r a d i -tion that their existence i s assumed, and the 4 Juso which probably did not exist independent of their related dokuso u n t i l recently. The Pedagogical L i s t has 29 t i t l e s . It does not include the 4 Akebono and 4 Kumoi choshi (or the 4 Juso) but i t does include the 2 Shirabe. One important difference between the Omote-Ura Classification and the pedagogical l i s t i s that the la t t e r has a l l the Honkyoku arranged in the sequential order of learning. However, this sequence does not begin with easy pieces and progress through more d i f f i c u l t compositions. The rationale for i t s order would require considerable analysis, not within the parameters of this thesis, but i n i t i a l impres-sions suggest that the sequence i s arbitrary. The two classifications are basically alike, as in the following: Pedagogical L i s t Omote-Ura L i s t Shoden (basic tradition) 1 = (Hi, Fu, Mi...) Shoden (basic tradition) 2-7 = 4-9 Gyoso no Te Shoden (basic tradition) 8-11 = 1-3 Koten Honkyoku, plus Banshiki no Shirabe Chuden (intermediate " ) 12-28 = 10-18 Shin no Te Oden (advanced " ) 21-29 = 27-35 Ura Honkyoku The "San Koten Honkyoku", the focus of this thesis, are "Three Sacred Melodies" that are considered the oldest and most venerable Honkyoku in the repertoire. They were supposedly acquired by Kinko I i n 1729 i n Nagasaki, Kyushu—the major port of trade for the Dutch and Chinese merchants since i t s founding in 1570, and an important centre for cultural exchange. Be-cause most temples in Japan had versions of one or more of these three melodies in their small repertoires, i t may be assumed that Kinko I had travelled s p e c i f i c a l l y to Nagasaki in order to find the "true" San Koten Honkyoku. The most important Koten Honkyoku i s Shin Kyorei, the o "true" Kyorei,* supposedly composed by Chang Po, the f i r s t disciple of P*u hua (Fuke). It i s the only Koten Honkyoku that has i t s own specific prelude—Banshiki no Shirabe. The other two Koten Honkyoku are Koku Reibo (Sunyata Reibo) and Mukai-ji Reibo (the "Flute of the Foggy Sea" Reibo). Tradi-tion has i t that they were composed, or heard in a dream by Kyochiku, the f i r s t disciple of Kakushin, while he was r e s i -ding at Kokuzo-do temple in Ise Province. Mukai-ji may be a reference to the following legend quoted by Oga no Motomasa (1077-1138) in his Ryumeisho (see Harich-Schneider, 1973:254-262): "The dragon sound came from the sea. To hear his voice again, bamboo was cut and blown: in olden times five holes (Shakuhachi ?); in later times, seven (Ryuteki ?). The " j i " in Mukai-ji probably refers to the Chinese transverse, end-blown flute, "ch'ih" which was supposedly the aural symbol of the mythical water dragon (see Schafer, 1967: 217-221) and negative Yin. The Ryuteki was i t s opposite as the aural symbol of the "a i r dragon" (i.e., thunder during rain) and positive Yang. The extensive tradition of the an-cient Chinese "Lung-ti" and i t s Japanese counterpart, Ryuteki, in the later Heian Period i s well documented but nothing i s known about the repertoire of the "Ch'ih". It does not seem to have appeared in Japan as the " J i " (although i t s name can occasionally be encountered in l i t e r a r y settings such as the t i t l e , M u k a i - j i ) I t may be significant, however, that the water dragon legend comes from South China (ibid.), one of the possible origins of the shakuhachi (see 2:4:1). 24 Rather than being an i s o l a t e d phenomenon, Honkyoku are part of a t r a d i t i o n that has f l o u r i s h e d throughout Japanese music h i s t o r y — t h e "Prelude". Using t h i s Western terminology may d i s t u r b some readers, but, i n the next few pages, i t s de-notation w i l l be shown to be quite acceptable (see Meyer, 1959:239,247). For the purposes of t h i s t h e s i s , the follow-ing d e f i n i t i o n w i l l hold: a Prelude i s a "quasi-improvisation" based on the accordatura of a mode (and i t s " a f f e c t " ) . I t i s u s u a l l y arhythraic but examples of rhythmic preludes do e x i s t . The word "quasi-improvisation" i s used because a s k e l e t a l no-t a t i o n i s u t i l i z e d f o r each Prelude type but t h e i r performance i s interpreted i n a manner which allows the performer to impro-v i s e within the l i m i t a t i o n s imposed by h i s s k e l e t a l notation using the information he has acquired from o r a l / a u r a l t r a d i -t i o n . (The reader may be reminded of the "Free Preludes" f o r harpsichord by Louis Couperin which are, i n fact, remarkably s i m i l a r to Honkyoku and other Japanese Preludes.) There are two types of Preludes i n Japan (and the West): the fu n c t i o n a l Prelude and the independent P r e l u d e . T h e f o r -mer i s more t r a d i t i o n a l i n that i t always immediately precedes a rhythmically and a r c h i t e c t o n i c a l l y structured composition i n the same mode. In Gagaku, t h i s introductory music i s g e n e r a l l y referre d to as "Jo" (as i n "Jo, Ha, Kyu". See Malm, 1959:102). The wind musicians refer to their "Jo" music as "Jo-buki" or "Netori", the string players use the terms "Jo-hiki" or "Kaki-awase", and the percussionists denote their specialized "Jo" as "Uchi-awase" (Harich-Schneider, 1973:110,115-17). The popu-lar music of the Edo Period adopted several of the Gagaku func-t i o n a l i s t Preludes and named them "Mae-biki" (i.e., "Jo-hiki". See Malm, 1963:34-35) which precede Koto Kumiuta, and "Shirabe" which precede Koto Danmono (Adriaansz, 1965:65-67,219). Independent Preludes are a hybrid of the functional Pre-ludes in that they stand on their own and do not introduce other compositions. These have been coll e c t i v e l y called "Cho-shi" (see Chapter 4, Note 3). The kun-yomi (Japanese Reading) of the Chinese character for Choshi i s pronounced "Shirabe", which means "investigation" or "exploration", clearly implying the study of a given mode accordatura. The earliest Choshi were Gagaku "Jo-choshi", and "Ittchoshi" (Harich-Schneider, 1973:557). During the late Heian Period (987-1185), there are frequent references to songs, dances, and instrumental perfor-mances performed in the improvisatory style of the choshi (e.g., ibid., 1973:246). The Ryuteki, Wagon and Gakuso were the most popular mediums, and the many instruction books which survive from that period contain abundant Choshi (Harich-Schneider, 1973:193,263,272-73). Choshi also entered the Buddhist temples because the Emperors desired r i t u a l preludial music to accompany 26 requiems (see Garfias, 1965:22). During Japan's medieval period (1158-1600), the t r a d i -tion of Choshi was adopted by the Noh composers who wrote for the Nohkwan (Noh flu t e ) . From that repertoire come two extant Choshi: "O-Shirabe" and "So-shidai" ("the mendicant buddhist monk-style", as in Mo-so and Komu-so). By the time of the Edo Period (1600-1868), the Choshi genre had come of age with the development of the koto "Danmono" (also called "Shirabe-mono", see Adriaansz, 1965:10), a development of the Kagura Kaki-awase called "Sugagaki" (see Adriaansz, 1965:68), and the shakuhachi "Honkyoku" which may have sprung from the same source as the Nohkwan Choshi. Note that the Honkyoku category described as "Shirabe" (see Number 4 in the discussion concerning Honkyoku nomencla-ture outlined earlier in this chapter) i s comprised of "inde-pendent Preludes" which can be performed by themselves, but which usually precede other Honkyoku. The Meian-ha has two famous independent Preludes which also precede performances of other Meian-ha Honkyoku. They are called Choshi and Yamato  Choshi; they have never appeared in the Kinko-ryu repertoire. Nevertheless, they are the most frequently performed Honkyoku in Japan, and have been used in countless situations as proto-typical examples of the sound of the meditative shakuhachi. 27 1:4 The Kinko-ryu Musical Experience "The Japanese characteristic attitude towards music (is that i t is) used as a means towards an extra-musical end." (Harich-Schneider, 1973:515). This statement i s particularly true of the Honkyoku of a l l the various ryu. The "end" of the Honkyoku learning process (see 3:1) i s enlightenment, an "awakening of the consciousness" (De Ropp, 1968:21,51). The word "enlightenment" in this context i s often con-fused with the autonomous concept developed during the "Age of Enlightenment". Eighteenth century "enlightenment" was the "new" religion of Europe, founded on rational empiricism. The men of the Enlightenment foresaw no end to the t r i -umphant expansion of reason into a l l areas of social l i f e . But here too reason has foundered upon i t s oppo-site, upon the surd and unpredictable r e a l i t i e s . (The "enlightened" society) requires of man only that he per-form competently his own particular social function. (He) becomes identified with this function, and the rest of his being i s allowed to subsist as best i t can—usual-l y to be dropped below the surface of consciousness and forgotten. Barrett, 1958:35-36 Japanese Zen Buddhism, particularly during the Edo Peri-od (1600-1867) countered the problem of man as individual and man as a contributing member of a community by developing Budd-hist arts which were aimed at enlightening individual conscious-nesses while not disturbing the social order of the community. Previous to this period, the prerequisite to attaining enlight-28 enment was to "drop out" of society and join a Zen Buddhist establishment. This condition was revised and enlarged by the offering of two options: the individual could s t i l l aban-don society and join a monastery or, better yet, he could pur-sue the goals of Zen Buddhism by studying one of i t s arts while remaining an active member of the community and f u l f i l -l i n g his social responsibilities to his family and associates. There are two perspectives on this "social" option which offer a kind of parallax of the Buddhist arts. On the posi-tive side, this new development was an evolutionary process of social integration which allowed Zen Buddhism to be practised by laymen as well as by monks and clergy. This i s i n line with the basic doctrine of Mahayana Buddhism, the source of Zen Buddhism, which states that the "bodhisattva'' concept of enlightenment includes lay people as well as the "sangha" (the universal order of Buddhist monks). The prime example of this Mahayana doctrine i s found in the f i r s t century, A.D. Vimala-k X r t i Nirdesa Sutra (Jp. Yuimagyo) where the main character, VimalakTrti, i s a layman who exhibits a l l the characteristics of a bodhisattva. This sutra exerted a profound influence on Zen Buddhism and Japan (see Suzuki, 1959:410). The "social" option also offered an alternative to the harsh r e a l i t i e s of the Edo Period social order in Japan. "Nei-ther in his own home or anywhere else could the person do as he 29 pleased; and the extraordinary person was under the s u r v e i l -lance of zealous dependants whose constant duty was to reprove any breach of usage." (Hearn, 1904:158). These repressive conditions were p a r t i a l l y the result of the Tokugawa national policies of Bushido (Reischauer, 1958:617-18) and Shushigaku (Chu Hsi, Neo-Confucianism) which were s t r i c t systems of class ethics and morality (Sansom, 1943:509) that discouraged i n d i -vidual "eccentricities" while s t a b i l i z i n g Edo Japan's p o l i t i -cal and social order. Whereas the dissolute world of Ukiyo offered release for most urban Japanese, the Zen Buddhist arts were the solace of many upper class citizens (notably ronin) with the added advantage of being sanctioned by the government. 1:4:1 Zendo The "way" ("do") of meditation ("Zen") as a dis t i n c t sect of Buddhism was introduced to Kamakura Japan in the la t t e r half of the 12th century. At that time i t was in i t s sixth century of development from the time of i t s founder, Bodhidharma ( f l . 520), through the dominance of the Southern or Abrupt School of Hui-neng (638-713), the sixth patriarch, to the 9th century dynasty branches of Lin-chi (Jp. Rinzai) and Ts'ao-tung (Jp. Soto). After arduous pilgrimmages to China, E i s a i (1141-1215) established the former branch in Japan, followed by Dogen (1200-1253) who introduced the la t t e r . During the Kamakura and Muroraachi Periods, Rinzai-shu rose to the most dominant position in Japanese Buddhism because i t was o f f i c i a l l y en-dorsed by the military government. Later, however, Buddhism in general suffered a serious decline during the Tokugawa Period of rule (1600-1868) because of corrupt practices (par-t i c u l a r l y in the o f f i c i a l Rinzai sect) and the Tokugawa govern-ments' allegiance to Neo-Confucianism. One of the few excep-tions to this trend was Hakuin (1685-1768), "the founder of the modern Japanese Rinzai school of Zen" (Suzuki, 1927:254), who exerted a profound influence on a large segment of Japanese society. Most Rinzai masters trace their lineage dir e c t l y to Hakuin. The essence and goal of Zen i s the elimination of anguish (Jp. Ku; Sk. duhkha) by experiencing "self" realization, "ken-sho", through a unique emotional and intellectual catharsis, "satori". The realization per se i s resolutely ineffable but i t has been characterized as a discovery that the "self" i s immaterial (Jp. Kuy Sk. Sunyata) and impermanent (Jp. Mujo? Sk. Anitya) because psychological reality i s relative (Jp. Mujin Engi? Sk. Pratitya Samutpada). These facts are equally applicable to a l l "existents" (Matsunaga, 1969:7). This u l -timate knowledge (Jp. Hannya Haramita; Sk. Prajnaparamita) i s an awakened understanding of the true nature of "mind"—"mu-shin no shin"—the mind of no mind. 3 1 It i s the basic tenet of Zen Buddhism that Kensho i s not arrived at by dialectics because logic i s time-oriented and discriminative, while Kensho i s immediate and "non-dualistic" (Jp. Funij Sk. Advaita). The logic that does exist in Zen Buddhism i s always paradoxical in i t s conclu-sions. Therefore, enlightenment i s derived from intuition through action, "koi teki chokkan". The novitiate begins by learning Zazen—the act of con-centration and absorption. This i s done by assuming an advan-tageous posture and practicing passive meditation ("Shikan-- — 1 2 taza" of the Soto sub-sect) or active meditation (Rinzai sub-sect). Both practices are begun by developing the powers of concentration by studied breath control, a universal d i s -cipline in a l l societies that practice meditation. When the Rinzai novitiate has developed his a b i l i t y to concentrate, he i s then graduated to "mondo"—dialogues with his master over the understanding of a paradox in the form of a "koan" (e.g., "What i s the sound of one hand clapping?"). The discriminating i n t e l l e c t i s purposely brought to an i n -tense impasse called "daigijo". When the level of perplexity and concentration are most intense, the p o s s i b i l i t y (but not inevitability) of "awakening" i s created through an ecstatic dissolution of "s e l f " . Through the entire process, and long after, the guiding role of the Roshi i s cruc i a l . 32 The principles of Zendo may be summarized in the follow-ing four lines, usually attributed to Bodhidharma: A special transmission outside the scriptures No dependence upon words and letters Direct pointing to the soul of man Seeing into one's nature and the attainment of Buddha-hood 1:4:2 Takedo Zen Buddhism of a l l religions i s the one that most speci-f i c a l l y educates the aesthetic impulses, and for that reason alone i t i s a religion that engages the interest of a r t i s t s everywhere, even in the Western world. Read, 1967:19 Almost since the advent of Zen Buddhism, various d i s c i -plines outside of the Zen temples have adopted "the way of Zen" to great advantage. The f i r s t to do this in Japan were the military, who applied Zen discipline to the martial arts (e.g., bushido, kendo, judo, aikido); later, i t dominated almost every Japanese form of aesthetic expression, particularly in arts and crafts. In effect, a r t i s t i c expression came to be equated with religious expression so that the former was a manifestation (Jp. Suijaku; Sk, upaya) of the true nature of the lat t e r (Jp. Honji; Sk. prajfia; see Matsunaga, 1969:224-27). The essence of Zendo in the arts i s also "intuition in action". After developing immense powers of concentration and technical discipline under the guidance of a "sensei" (a master 33 teacher whose role i s the same as a Roshi), the art form be-comes a koan. The prerequisite paradox inherent in this koan is how to attain the "mind of no-mind" while consciously strug-gling with the technical elements of the art. While technical training i s of great importance, i t i s after a l l something a r t i f i c i a l l y , consciously, calcula-tingly added or acquired. Unless the mind that avails i t s e l f of the technical s k i l l somehow attunes i t s e l f to a state of the utmost f l u i d i t y or mobility, anything ac-quired or super-imposed lacks spontaneity of natural growth. This state prevails when the mind i s awakened to a satori. Suzuki, 1959:14-15 Successful intuition of the true nature of the mind and the s e l f may transpire during an a r t i s t i c action that i s sponta-neous, effortless, and "non-dualistic" (i.e., the a r t i s t i s unaware of the physical or mental distinction between himself and his medium). Failure results in the universal a r t i s t i c transgression—mimicry. The koan for the shakuhachi performer i s his instrument. In order to experience Kensho he must coincide three basic elements (Sanmi Ittai) of performance: 1. Gi—technique The : per forme reacquires lawless-• rudimentary - technique by perfecting Sankyoku and Gaikyoku (see 3:1). When he per-forms Honkyoku, his technical concerns are concentrated on per-formance practices (see 3:2) and correct breathing. (The l a t -ter discipline explains why flutes have always been the central 34 instrument in a l l countries that practice meditation.) The shakuhachi i s ideally suited to Zendo* because of the fundamen-t a l and rigorous emphasis on breath control required to play i t properly. Essentially, the performer must breathe from the diaphragm (Tanden). "The ancient Yoga concepts of anthropolo-gy and anatomy play a role, according to which the mind l i e s a handbreadth below the navel where the home of our true being is to be found." (Dumoulin, 1963:162). 2. Shin—mind The "set and setting" of the mind i s particularly d i f -f i c u l t to attain. The performer must have a tranquil (Jaku) 13 composure, contrary to such v i s i b l e displays of "heart-rending emotion" so common to Japanese (and Western) perfor-mers. In addition, he must enter a non-dualistic frame of mind by "non-doing" ("Mu-i"). In other words, he does not strive for success or attainment, because the very act i t s e l f i s d ivisive. Also, he performs in a "natural" (Shizen) man-ner. The sound of his shakuhachi may be rough and inconsis-tent because i t s "natural sound" (Shizen no Ne) i s "Sabi—un-pretentious or archaic imperfection, apparent simplicity or effortlessness in execution...and inexplicable elements that raise the "medium" in question to the rank of an a r t i s t i c pro-duction" (Suzuki, 1959:24). This last c r i t e r i a i s referred to as "Yugen", or "profound mystery", the highest aesthetic ideal 35 in Noh (Harich-Schneider, 1973:424-25). "Shizen no Kyoku" i s played in. a manner which i s seemingly improvisatory.: In es-sence, the use of many performance practice elements i s decided upon at random, particularly " k i a i " . A Sabi Honkyoku melody is austere ("Shibui") and aloof, often interpreted as l o n e l i -ness (Suzuki, 1959:253-57). For these reasons, Honkyoku do not lend themselves easily to audience appreciation;. •. 3. Ken—-the instantaneous moment of Satori Ken, l i t e r a l l y translated, means "sword". ManjusrT (Mon-ju), a common Buddhist deity, carries a sword in his right hand and a sutra in his l e f t , signifying two different kinds of knowledge. "The mountain flowers are spread out l i k e gold bro-cades. Here i s Manjusri striking right into your eyes." (Suzu-k i , 1955:199). Rather than attempt to define or categorize the "inner meaning" of "Ken", Lao-tzu has indirectly suggested the best explanation: "Those that speak do not know Those that know do not speak" Tao Te Ching, Chapter LVI CHAPTER 2 A History of the Shakuhachi Any history of Japanese music history i s troubled by circumstantial evidence, biased chronicles, and large gaps in chronological information. This i s particularly true of the history of the shakuhachi, which suggests a tradition that extends back to the fourth millennium B.C. Despite these adversities, a verisimilar history can be constructed from the meagre facts. A broad outline of the shakuhachi's history in Japan shows two periods of a c t i v i t y seperated by several hundred years of obscurity. The f i r s t period (7th to 9th centuries) is associated with the music of the Imperial Court, Gagaku, while the second period (13th century to the present) i s dominated by the lives of Buddhist mendicants and middle-class aesthetes. The prevalent view i s that each period of acti v i t y was i n i t i a t e d by the a r r i v a l of v e r t i c a l flutes from China, but only the f i r s t importation from T'ang Dynasty China (618-907) can be successfully accounted for. The 16th century v e r t i c a l flute may have been imported from Ming 36 Dynasty China (1368-1644) or the "Indonesian" islands, or i t may have been an indigenous renaissance. A l l three p o s s i b i -l i t i e s w i l l be discussed i n the next few pages. 2:1 Ch'ih-pa While there i s no doubt that the Gagaku end-blown ver-t i c a l f l u t e * and i t s Sino-Japanese nomenclature, "shakuhachi" came from China, i t s Chinese precursor, the "Ch'ih-pa", i s surrounded i n the same kind of semantic confusion that the l a t e r Japanese shakuhachi endured. Although Curt Sachs (1940 178-82) and S y b i l Marcuse (1975:575-77) have attempted to un-rave l the tangle of Chinese v e r t i c a l f l u t e etymology and or-ganology, the following pages r e l y more h e a v i l y on primary source materials and a greater range of d e t a i l e d information. The h i s t o r i c a l predominance of the Ch'ih-pa seems to be concentrated during the T*ang Dynasty (618-907). The word appears r a r e l y , i f at a l l , before or a f t e r t h i s period. Even during the T'ang Dynasty, i t eludes some contemporary commen-ta t o r s . Tuan An-chieh (c. 890) does not mention the Ch'ih-pa i n h i s comprehensive music t r e a t i s e Yvieh-fu Tsa-lu (Gimm, 1966), and Tanabe (1965-66:1,518) and Kishibe (1951:126) d i d not encounter t h i s instrument i n t h e i r study of T'ang Dynasty music sources. 38 Even the word i t s e l f i s somewhat of a mystery. Rather than translating as "vertical flute", the Japanese and Chinese nomenclature l i t e r a l l y means "1.8 feet". In the European-language studies of Japanese music, only Tanabe (1959:25) has suggested a possible explanation in the form of a correlation between the length of the Ch*ih-pa and the standard length of the Huang-chung bamboo tube. Josango (1971:7) offers a source which substantiates Tanabe's statement and leads to a f u l l explanation of the correlation mentioned above. Liu Hsu (887-946) noted in his records of the T'ang Dynasty, Chiu T'ang Shu (Liu, 1959:3338), that Emperor T'ai-tsung (r. 627-649) commissioned Lu t s ' a i (Jp. Rosai) to "retune the Lu Kuan", a task he performed using a Ch'ih-pa. The Lu Kuan were bamboo tubes (Kuan) constructed to sound the twelve standard pitches (Lu) within an octave. Their construction was acoustically determined by a s c i e n t i f i c process called "San-fen Sun-i Fa" (The law of diminution and augmentation by fractions of a third) which began with a funda-mental generating tone called "Huang-chung" (Yellow B e l l ) . This tone was i n i t i a l l y sounded on a bamboo tube of "auspi-cious" proportions and then "preserved" by tuning a b e l l (chung)2 with sympathetic vibrations passed on through a mono-chord (chu) from the Huang-chung Kuan (Needham and Robinson, 39 1962:173,186,199). The pitch of the Huang-chung was a subject of intense concern because i t s frequency was a symbol of cosmological sympathy as perceived by the governing authority embodied in the person of the emperor. This tradition stemmed from the ancient Chinese concept of "ch'i" which may be circuitously defined as "pneuraatos". The ch'i of earth ascends. The ch'i of heaven descends; Yang and Yin meet, Heaven and Earth interact Thus ( i t i s that) music unites the two. Shih Chi, "Yo Chi (3), adapted from Needham and Robinson, 1962:205. In ancient times the pre-historic shamans (Wu) and later Taoist sages used their respiratory faculties as meta-physical "barometers" of the omnipresent ch'i by blowing into a v e r t i c a l f l u t e . If their "wind" (Feng, i . e v personal ch'i) was "in tune" with the environmental ch'i they would produce the right "sound" (Ko). The assumption in this equa-tion i s that the dimensions of the Kuan were "auspicious" (i.e., correct). When the Ko (i.e., pitch) became identified as the imperial "Huang-chung" during the f i r s t millennium B.C., the Kuan's dimensions became particularly c r i t i c a l . The f i r s t descriptions of the dimensions of the Huang-chung Kuan date from the Ch'in and Han Dynasties (221 B.C.-40 220 A.D.) but for some unknown reason, only the length was discussed (see Needham and Robinson, 1962:212-13). The most complete discussion i s found in the Ch'ien Han Shu by Pan Ku (c. 32-92 A.D.), where i t is recorded that i t s length i s .9 feet (ch'ih) 3 and i t s volume equals 1 "Yo" (Dubs, 1938-44: 1,276). The Yo was a standard volume that could be occupied by a specific number of millet seeds, and i t was also an ab-stract form of pre-dynastic ve r t i c a l flute of the same name. The Yo v e r t i c a l flute (also pronounced Yuen) has been identified as one of the earliest instruments in Chinese music history, dating from the mythical Hsia Dynasty (2205-1766 B.C. See Legge, 1885:11,274) and even earlier (ibid., II,35-36). 4 By the time of the Chou Dynasty (1027-249 B.C.) i t s role as a music instrument was superceded by i t s function as a Huang-chung generator. The Shin Ching (Karlgren, 1950:24-25,161) and L i Chi (Couvreur, 1950:112,387;II:2,59) describe the Yo as a dancer's accoutrement in the Dance of Peace (Wen Wu) sym-bolozing p o l i t i c a l s t a b i l i t y , imperial authority, and cosmo-logical sympathy in the form of the o f f i c i a l Huang-chung Kuan. The Wen Wu dance and i t s paraphenalia survived into China's recent past ( c f . Van Aalst, 1884:31-33) allowing us to clearly 5 identify the Yo as an abstract form of a v e r t i c a l f l u t e . Suggesting that the Yo became abstracted does not lead to the conclusion that the ve r t i c a l flute as a music instrument 41 became extinct during the Chou Dynasty. Two passages in the L i Chi indicate that another flute called "Kuan" was paired with the Yo when discussing dance accoutrements (Couvreur, 1950:11:2,384-85) and accompaniments (ibid.. 11:2,59). Con-temporary Kuan, also called Pi>-li (Jp. H i c h i r i k i ) , are single, ve r t i c a l bamboo tubes with double reeds inserted in one end and finger-holes placed along the length of the body. A l -though there may appear to be an organological and semantic contradiction between the L i Chi Kuan (vertical, flute aero-phone with finger-holes, S-H 421.111.12), contemporary Kuan (vertical, double-reed aerophone with finger-holes, S-H 422. 111.2) and the Lu Kuan (vertical, flute aerophone without finger-holes, S-H 421.111.11), a resolution i s easily attained by re-defining "Kuan". (It should be noted that a l l three Kuan are indicated with the same Chinese character.) The beginnings of a new definition of "Kuan" are hinted at in a classic i l l u s t r a t i o n of a T'ang Dynasty court orchestra comprised of females (see Rowley, 1969). Seven of the orches-tra's eight pairs of instruments are identical, but the anoma-lous pair i s comprised of a ver t i c a l , double-reed instrument and a ve r t i c a l flute instrument (cfi Kishibe, 1965:116,fn.15). Obviously, the pairing of these instruments i s j u s t i f i e d in the fact that they are both v e r t i c a l , end-blown instruments made from a single tube of bamboo. 42 Further study of the Kuan shows that the Kuan music instrument mentioned i n the Chou Dynasty annals was exclu-sively a flute aerophone. In the Shih Chi (Karlgren, 1950: 245-46) and L i Chi (Couvreur, 1950:1:1,360;II:1,76,91-93) the Kuan i s paired with the "Hsiao" in enumerations of i n -strument pairs. Because these pairings are according to size (e.g., large and small mouth organ, Yu and Sheng; large A and small zither, Se and Ch'in) one may safely assume that Kuan and Hsiao are small and large varieties of the same instrument. However, the nature of the instrument i s open to two interpretations. The f i r s t interpretation i s the more tr a d i t i o n a l . There i s ample evidence dating from the Han Dynasty and earl i e r showing that the Hsiao were panpipes (i.e., several v e r t i c a l flutes arranged in sequence and joined together). Assuming that the Kuan and Hsiao are a pair, this substan-tiates the theory that the early Kuan were the flute type, but i t also suggests that Kuan were panpipes. There are many casual references to the fact that Hsiao had 16 to 24 pipes (Couvreur, 1950:11:1,76) and the Kuan had two pipes (Needham and Robinson, 1962:136,152) but a contemporary reference in the Chou-Li (Biot, 1851:11,34 and Chou L i , 1936:Ch.22,p.6) clearly states that the Kuan was a single tube. Further i n -vestigation reveals that Kuan were traditionally thought of 43 as paired, single flutes related according to the acoustical principle of "San-fen Sun-i Fa". Each "superior" (Yang) Kuan could generate an "inferior" (Yin) Kuan or "Thung" (Needham and Robinson, 1962:173). This duality i s reflected in the ex-pression "five sheng (pentatonic scale), six Lii (superior p i t -ches), 12 Kuan (12 pipes/notes)" (see Needham and Robinson, 1962:139). A second, less traditional interpretation could be that the Chou Dynasty Kuan and Hsiao were small and large v e r t i c a l flutes which became grouped into double and multiple panpipes by the time of the Han Dynasty. In contemporary Chinese par-lance, the word "Hsiao" means ve r t i c a l flute, while c l a r i f i -cation of this term i s offered in the dual nomenclatures "Tung; Hsiao" (vertical flute) and "P'ai Hsiao" (panpipes). Therefore, Kuan may be defined as an end-blown, v e r t i c a l bamboo wind instrument. In the Chou Dynasty i t was a flute aerophone that existed in two forms, without finger-holes (i.e., Lii Kuan) and with finger-holes (i.e., music instrument, as in "Yo and Kuan" and "Kuan- and Hsiao"). Both Kuan types were combined in the form of the "Yo" (a special Lu Kuan, "Huang-chung Kuan", which was also a music instrument). The double-reed Kuan has a foreign name, " P i - l i " , which could be inter-preted as a melding of the early Kuan construction with an imported sounding-device (i.e., a double-reed. See Garfias, 44 1965:Table 1). 6 During the Han Dynasty (206 B.C.-220 A.D.), China's expansive mood generated an intense amount of scholarship and creative act i v i t y fed by new contacts with Western, "foreign" cultures introduced via the newly-developed " s i l k road". One of the many a c t i v i t i e s i n i t i a t e d by this cultural effluence was the re-establishment of the Imperial Huang-chung, neglected during the dissolution of the Chou Dynasty. According to the author of Feng-su-t'ung (Ying Shao, c. 178 B.C.), Ch'iu Chung designed a flute he called " T i " and which seemed to have functioned in the same dual role as the Chou Dynasty Yo. During the Liang Dynasty (502-557), the T i be-came synonymous with a l l the Lu Kuan (see T'ung Tien by Tu Yu, 1935:746). The Chinese character for T i i s a combination of "bamboo" (tt, i.e. bamboo tube) and "source, median, mean" (^) . Its synonym, " T i " (also "Chn" ), i s a combination of "bamboo" and "purge or cleanse" suggesting that the T i was introduced to c l a r i f y and establish the "true" pitch of the Lu Kuan, especially the Huang-chung. The founding of the word " T i " was probably necessitated by the fact that the original word for "Huang-chung/music instrument" Kuan, "Yo", had lost i t s i n i t i a l meaning and had become a designate for a standard measure of volume and length (see Dubs, 1938-44:1,276-79). 45 Unfortunately, confusion arises from another meaning of " T i " which i s "horizontal flute". This definition even-tually became exclusive with the result that Chinese trans-verse flutes are now generally called T i , while v e r t i c a l flutes are referred to by another name, Tung Hsiao. I sus-pect that during the Han Dynasty, a transverse flute newly imported into China (see Gimm, 1966:427) and the newly de-signed v e r t i c a l flute became associated and named alike by virtue of the fact that they were both single-tube, flute aerophones. After the Han Dynasty, ve r t i c a l flutes could be general-ly referred to as "Kuan" (vertical, single-tube aerophone), "Hsiao" (vertical, flute aerophone) or " T i " (flute aerophone), but they did not have an all-inclusive (i.e., exclusive) no-menclature (i.e., a term which meant ve r t i c a l , single-tube, flute aerophone). By the time of the T'ang Dynasty (618-907), the three synonyms for v e r t i c a l flute had become completely diffuse. "Kuan" became an exclusive synonym for " P i - l i " , "Hsiao" re-ferred to "panpipes", and w T i " meant transverse flute even though two of i t s three qualifying adjectives suggested the meaning of v e r t i c a l f l u t e : Lung-ti (Jp. Ryu-teki) — a flute with a dragon's head carved on the mouthpiece symbolizing the office of the emperor;' Huang-ti (Jp. O-teki) — a flute which, sounds the Huang-chung; Heng-ti (Jp. O-teki) — a transverse Huang-chung flute. The nomenclatures that were eventually adopted for ver-t i c a l flutes were "Tung Hsiao" and "Ch'ih-pa". Organological-l y the duality of the terms probably stems from the difference in- their mouth-piece construction: The Tung Hsiao has a covering over the mouthpiece with a small opening over the blowing edge which limits the tonal f l e x i b i l i t y of the instru-ment (like a pipe in a P'ai Hsiao), while the Ch'ih-pa resem-bles the Japanese Shakuhachi in i t s open-throated mouthpiece, o allowing complete tonal f l e x i b i l i t y . Semantically, the Ch'ih-pa seems directly related to the Han Dynasty T i and Chou Dynasty Yo„ As mentioned earlier, the Ch'ih-pa was used by Lii t s ' a i to re-tune the Lii Kuan, a role strongly reminiscent of Ch'iu Chung's T i . The translation of Ch'ih-pa, "1.8 feet", i s probably a reference to the c r i t i c a l length that i s required for the "correct" Huang-chung Kuan, an obligatory element in the definitions of " T i " and "Yo".9 After the T'ang Dynasty, the term "Tung Hsiao" seems to have been generalized to include a l l v e r t i c a l flutes, i n -cluding those originally referred to as "Ch'ih-pa". Even the 47 Tung Hsiao instrument seems to have over-taken the Ch* ih-pa i n nation-wide po p u l a r i t y with one important exception. The southern coa s t a l c i t y of Amoy (in Fukien Province) retained many T'ang and Sung Dynasty t r a d i t i o n s which had migrated south to avoid the Mongol invasions of the 13th and 14th cen-t u r i e s (see Lieberman, 1971:1). One of these t r a d i t i o n s was orche s t r a l music c a l l e d "Nan-Kuan" (named a f t e r the "Southern Kuan" [see Notes, Ch.2:10]) which included a Ch'ih-pa f l u t e now c a l l e d "Tung Hsiao". In the next pages, I w i l l show that t h i s instrument may have had an important r o l e i n the develop-ment of the Japanese shakuhachi. 2:2 Indigenous Flutes Evidence for an indigenous v e r t i c a l f l u t e that may have contributed to the development of the shakuhachi i s scant, i f not non-existent. Although Tanabe (1963:18) presents the con-t r o v e r s i a l f l u t e held by a Haniwa figure from the Japanese Tu-muli Period (3rd to 7th century A.D.), i t i s most l i k e l y an Ishibue ("Stone f l u t e " ) — a stone ocarina or w h i s t l e . Second, a Kagura genre c a l l e d "Azuma Asobi", e n t e r t a i n ment music from the indigenous Japanese "barbarians" of the eastern provinces (ancient Azuma, now A i c h i and Shizuoka Pre-fectures), employed a "Chukuan" (middle-sized Kuan) — a term more common to v e r t i c a l f l u t e s than transverse f l u t e s (usually 48 called "teki" or "bue"). The "discovery" of this music in the 8th century by the more sophisticated Yamato Clan of the wes-tern provinces was followed by a peak of popularity in the 10th century, and then a rapid decline. By the Muromachi Period (1333-1573) the Chukwan had become unknown "and in performances of Azuma Asobi i t i s replaced by the Koma-bue (the nearest in size)" according to an entry in the 16th cen-tury Gagaku encyclopedia Taiqensho (Harich-Schneider, 1973: 392-93). Since then, no new information has come to l i g h t . The "Yamato-bue" ("ancient Japanese flute") has been associated with the Wagon in Kagura (music to accompany Japan's indigenous Shinto faith and i t s ceremonies) since the Yamato Period (400-645). Emperor Sui Wen-ti (581-604) of the Sui Dynasty (581-618) was informed of these two instruments by the f i r s t envoy sent from Japan some time between 581 and 600 (Theodore de Bary,et a l . , 1958:9). However, the Yamato-bue is transverse and i t i s generally considered to be an early importation from Korea (Harich-Schneider, 1973:10,12). Another transverse flute which i s traditionally con-sidered indigenous i s the instrument played by En no Gyoja (634-707), the patron saint of Japan's mendicant Buddhists and the founder of the Yamabushi. This legend i s told in a Gagaku dance called Somakusha, but recent research (see Harich-Schneider, 1973:163,fn.58) has found the origins of this dance 49 and legend in Central Asia via the imported entertainment of T'ang Dynasty China. A l l the available evidence to date seems to support Harich-Schneider's conclusion (ibid.., 1973:12) that flutes, v e r t i c a l or otherwise, were scarcely indigenous to Japan, i f at a l l . 2:3 Gagaku Shakuhachi During the Yamato Period (400-645) China was the well-spring of Japan's p r o l i f i c cultural naissance either directly or through Korean intermediaries. Music, no less than any other art or science, fascinated the Japanese from i t s f i r s t o f f i c i a l reception in 453 A.D. (Garfias, 1975:7) to the end of the Konin Period (794-894) when the last o f f i c i a l ambassa-dorial v i s i t to China was cancelled (Reischauer and Fairbank, 1958:506-507). This bridge of exchange was not re-opened un-t i l the Early Muromachi Period (1336-1477) vis-a-vis the Ming Dynasty (1368-1644) although there were furtive v i s i t s by merchants and pirates (ibid., 560-61) whenever China's turbu-lent era under the Mongols would allow i t . Therefore, Japan's early history f a l l s into two periods in which the f i r s t i s signaled by wholesale importation of Chinese culture followed by a long period of respite during which the Chinese influences 50 are assimilated before contact i s resumed. In 701 A.D., the Japanese court founded the Gagaku-ryo ("Office of Gagaku") in order to organize and codify the wealth of music coming from the T'ang Dynasty centres of music. It i s in this frenetic and exuberant milieu that the "Ch'ih-pa" arrived to become the Japanese "Shakuhachi" in the Imperial Court Orchestra, Gagaku. 2:3:1 Early Gagaku Shakuhachi (7th-8th Centuries) The earliest known references to the shakuhachi are as-sociated with Buddhist temples because they were the centre of Japan's new religious celebrations and concomitant court a c t i v i t i e s . Because many of these celebrations were unique events, many of these temples would immortalize their celebra-tions by retaining a l l the costumes, implements (including music instruments), and records for future posterity. Judging by the available material, their foresight has been amply jus-t i f i e d . Seventh century evidence of the shakuhachi's presence is associated with Horyu-ji temple, founded in 607 and most active during the Asuka (552-645) and Hakuho (645-710) Periods as a focal point for Japan's early Buddhist devotions. Within i t s confines are one extant shakuhachi (Tanabe, 1964:285-86) 51 and a small, sculptured "angel" (Tennin) playing a shakuhachi. The latt e r i s one of a group of six heavenly musicians (Aki-yama, 1966:v.2,pi.10 and p.186) placed on a canopy above the "Shaka Triad" in the main h a l l (Kondo) and probably dating from the Hakuho Period. The extant shakuhachi i s one of several extant instruments stored in the Treasure-house (Hoko) of Horyu-ji. During the eighth century the capital moved to Nara, where i t became the recipient of the majority of the Chinese importations. Not surprisingly, the evidence for the exis-tence of the Gagaku shakuhachi is strongest in this century. The most extensive proof comes from the Shoso-in which is the treasure-house connected to the Todai-ji temple, the Nara Period (710-794) equivalent of the earlier Horyu-ji. The extant evidence i s in the form of eight shakuhachi, four of. which- are. actually catalogued in the contemporary Shoso-in catalogue, Kemmotsucho (see Harich-Schneider, 1973:59? Jo-sango, 1971:7). They have been amply described by the Shoso-in Office (1967) and many commentators (e.g., Harich-Schneider, 1973:59-61), so they need not occupy us here. The Shoso-in also has a number of il l u s t r a t i o n s of shaku-hachi drawn on various objects within i t s collection. On the famous Dankyu Bow (Shoso-in Office, 1967:pls.192-99; Harich-Schneider, 1973:55-58) are line-drawings of two shakuhachi 52 players, one standing and one sitting, and a bucolic scene painted on a biwa kambachi (plectrum guard) contains a young man playing either an extra-long h i c h i r i k i (o-hichiriki?) or a shakuhachi (Shoso-in Office, 1967:pls.8,182) . Another iconographic source related to the Todai-ji i s an eight-sided bronze lamp b u i l t in c. 752 in front of the enormous temple. On four of i t s sides are "musical bodhisattva" (i.e., buddhist "saints"), one of whom is playing a shakuhachi.* 0 (The other three are playing ryuteki, "sho" fmouth organ], and "hachi" ([small cymbals] .) Two contemporary catalogues document the existence of the shakuhachi in various contexts. The inventory l i s t of the Saida i - j i temple, S a i d a i - j i Shizaicho (780) includes one mada-radake (mottled bamboo) shakuhachi for a late T'ang ensemble and eight shakuhachi for early T'ang ensembles (cf. Garfias, 1965:40,Table 2). Another catalogue, compiled by a "Grand Council" (Daijokan) and labelled Daijokanpu (809), l i s t s twelve "Togakushi" (masters of Togaku music) including a "Sha-kuhachi-shi" (Josango, 1971:7). Finally, a 12th century document, the Shinzei Kogaku Zu, is reputed to be a collection of drawings and anecdotes from Nara and early Heian times i l l u s t r a t i n g the many facets of contemporary Gagaku (Harich-Schneider, 1973:142-81; Garfias, 1975:fig.26-52). Line-drawings of a solitary shakuhachi player 53 (copied from the Dankyu Bow?) and a procession of musicians performing Rinyu-Gaku which includes a shakuhachi player add more evidence to the hypothesis that the shakuhachi was active during the 7th and 8th centuries. 2:3:2 Heian Gagaku Shakuhachi (9th-10th Centuries) During the Heian Period (794-1185) the Japanese began the assimilation and adaption of imported Chinese culture to suit their own national character. For the shakuhachi this process was an anethema. References to the instrument are so rare that one can only assume that i t did not survive the c u l -tural metamorphoses. A document from the 12th century, Ryumeisho (1133), con-tains a b r i e f anecdote stating that Sadayasu Shinno (870-924), one of the sons of Emperor Seiwa (r. 858-876) and a famous ryuteki (transverse flute) musician, attempted to revive the shakuhachi part to the Togaku Kangen composition, "Oshokun" (Josango, 1971:8).** Considering the time-gap between the anecdote and the actual event, and the fact that this anecdote does not appear in the other Ryuteki manuals written before the Ryumeisho, this curious piece of information i s not above suspicion. The author of the 10th century dictionary Wa Myo Ruiju 54 Sho, Minamoto no Shitagu, l i s t s the shakuhachi among related " o d d i t i e s " , 1 2 the "Yaku" ("a six-hole flute"), "Cho-teki" (long flute), "Chukwan" (middle-size flute, see 2:2) and "Tan-teki" (short flute, c f . Harich-Schneider, 1973:392-93, re: Taigensho entry for Chukwan). The entry for shakuhachi sim-ply states that i t i s opposite to the Tan-teki (Minamoto, 1968:v.l,p.289,595). Murasaki Shikibu, a courtier and novelist writing in the f i r s t years of the 11th century, vaguely mentions a "sakuhachi (sic) no teki" in her usually punctilious narrative, Genji  Monogatari ("Safflower", ch.6, see Josango, 1971:8). 1 3 Her obtuse reference most l i k e l y stemmed from i t s r a r i t y . Koma no Asakuzu noted in his Gagaku encyclopedia Zoku- Kyokunsho (1270) that in 1158 a party was held in a nobleman's house at which the shakuhachi was played, no doubt as a curio-s i t y . "It i s certain that in those l a s t days of Heian, the aristocratics surrounding the i l l - s t a r r e d Goshirakawa (r. 1155-1158) must have attained a rare a r t i s t i c perfection, before Heian f e l l " (Harich-Schneider, 1973:272). The revival of the shakuhachi probably played a part in this cultural effluence as a nostalgic reminder of greater times. These few anecdotes convey the fact that the shakuhachi had become v i r t u a l l y obsolete in the Heian Period. On the other hand, the "ryuteki" (also "oteki" and "yokobue") transverse 55 flute had become extremely popular. According to the Sandai-Jitsuroku, one of the f i r s t great ryuteki performers was Oto no Kiyogami (nee Seijo, f l . 833-850) who travelled to China (and died on the return voyage) in order to receive advance instruction in the T'ang flute (Harich-Schneider, 1973:102). Seijo i s the f i r s t name in a tradition of distinguished noble-men, mainly from the Minamoto clan who pursued the technique of the ryuteki. From the 11th century onwards, Gakunin (pro-fessional musicians of Gagaku) from the Oga clan inherited the reputation of s k i l l e d f l u t i s t s . The result of a l l this a c t i v i t y was a number of extensive writings in the ryuteki and related subjects (Harich-Schneider, 1973:191-212,253-263,274): Nanchiku-fu by Sadayasu Shinno (870-924) — not extant; Chochiku-fu by Minamoto no Hakuga (918-80); Kaichikusho by Oga no Koresue (1026-94); Ryumeisho by Oga no Motomasa (1077-1138). In conclusion, i t would seem that the transverse flute completely over-shadowed the shakuhachi when Gagaku and i t s instrumentarium became assimilated and adopted by the Heian aesthetes. No doubt the extensive tradition of the imported Chinese Lung-ti (Ryuteki) coupled with the early Japanese penchant for "wagon" and "teki" mentioned ea r l i e r (see 2:2) combined to establish this preference. After the f a l l of the Heian court the transverse flute was adopted by such diverse 56 concerns as Buddhist temples (as tuning standards, see Harich-Schneider, 1973:317,327) and folk ensembles (called "Hayashi", see ibid., 254,414). Certain echoes of the courtly transverse flute tradition also may have found i t s way into the later shakuhachi tradition, as w i l l be shown in Chapter 4 (see 4:1:2). 2:4 Medieval Shakuhachi Between the period of the Gagaku shakuhachi and the ad-vent of the Komuso shakuhachi l i e s several hundred years of clouded history concerning v e r t i c a l flutes. The period under discussion i s concomitant with the Kamakura (1185-1333) and Muromachi (1333-1573) Eras during which time Japan progressed through painful and disruptive changes from a monarchical to a feudal society. Not surprisingly, music in general reflected these changes so much that old forms disappeared or mutated while new genres appeared in transient and rapidly.changing forms. Essentially, the chroniclers of Japanese art music found the old Heian court music in acstate of attenuation, while the music of the new military class, Nohgaku, and the popular entertainments of the emerging merchant of "middle" clas captured their attention. Some of the confusion surrounding the shakuhachi's h i s -tory stems from i t s name. Originally, the word "shakuhachi" (Ch. "Ch'ih-pa") was a specific denotation for the imported Gagaku ve r t i c a l flute, but i t s later meaning became general-ized by Imperial chroniclers describing plebian v e r t i c a l flutes long after the Gagaku instrument became extinct. When the names of these latt e r flutes f i n a l l y became acknowledged (i.e., "Tenpuku" and "Hitoyogiri") the term "shakuhachi" disappeared u n t i l the advent of the Komuso who named their v e r t i c a l flute "shakuhachi". It is this f i n a l denotation which has come down to us in the present and which belies an h i s t o r i c a l continuity dating from the 7th century. The most important distinction between the Gagaku Shaku-hachi and Medieval Shakuhachi i s that the former was construc-ted with six holes (sounding the Chinese Ryo mode in the man-ner of the Chinese Ch* ih-pa) while the l a t t e r was b u i l t with 5 holes, placed to sound the indigenous Japanese music scale (Ritsu/Yo mode). This tradition has remained unchanged to the present. 2:4:1 Komo-so* Shakuhachi Throughout the history of Japan since i t s f i r s t contact with China, there has always been a maverick class of Japanese, the Buddhist mendicants. Their origins may be roughly traced to the 7th and 8th centuries when rural shamanism, loosely 58 associated with indigenous Shintoism, melded with Buddhism to create the "Ubasoku-zenji" (Buddhist laymen masters). They did not constitute one coherent class but instead were alike only in their quasi-Buddhist shamanism (Kitagawa, 1966:38-45). En no Gyoja, mentioned ea r l i e r (see 2:2), was their u n o f f i c i a l patron saint. During the Kamakura Period, when Japan was embroiled in constant c i v i l wars and people's lives were constantly d i s -rupted, the number of wandering ascetics increased dramatical-ly, declaring the a r r i v a l of "Mappo", (the third Buddhist cycle when the Buddha's teachings, and consequently the world, w i l l end), and paths to salvation. At this time, the mendi-cants were called "shonin" or " h i j i r i " , (the l a t t e r being a development within the Shingon Sect) and they had abandoned shaman practices some time e a r l i e r . Watanabe (1970:35-37) has only the highest regard for the "popular religi o n i s t s " but the author of the fourteenth century Tsurezuregusa (Essays in Idleness) speaks of the h i j i r i or "boroboro" (men of rags) i n a contemptuous tone (Keene, 1967:66,98-99). Remnants of this tradition s t i l l exist in the form of "Yamabushi", or Men of the Mountains. Prom the very beginning, the biwa played by blind (Budd-hist) priests (Mo-so) was a major element in the ubasoku t r a -dition. The origins of this genre are unknown, although 59 Haniwa figurines show that the biwa was extant in Japan's protohistorical period and chronicles such as the Koj i k i indicate kami (gods), emperors, and noblemen occasionally used string instruments during their shamanistic a c t i v i t i e s . During the Heian Period the Moso were loosely organized into a guild (be) and informally aligned with the Tendai Buddhist sect, but their basic roles as mendicants remained largely undisturbed. At f i r s t their music only consisted of sutra r e c i t a -tions with b r i e f interludes played on the biwa. For this reason, pre-reforra Buddhist chant (bombai) figures prominant-l y in their musical background, although accounts of their recitations described them as mystical incantations strongly reminiscent of resident Shinto shrine shamans (Mikanko) and their Imperial predecessors (Malm, 1959:42-43). When the shonin and populist Buddhist sects increased their a c t i v i t y during the violent Kamakura period, the Moso created unique vehicles for their eschatology i n the form of "Sekkyo-bushi", Buddhist ballad dramas, and "Saemon", Buddhist song-sermons. The most important of these narratives was the Heike -- monogatari which evolved into i t s own genre, the Heike -biwa. Their shaman a c t i v i t i e s were completely replaced by their evangelism. The succeeding Muromachi Period saw the development of 60 a group of ubasoku musicians who fashioned themselves after the Kamakura Mo-so. The "Komo-so", straw-mat (i.e., mendicant) priests, adopted the v e r t i c a l flute as a r i t u a l instrument for their "takuhatsu", religious alms-taking. Their movement does not seem to have lasted beyond 1600 (the beginning of the Edo Period) and contemporary references to them are scarce. Per-haps the f i r s t mention of their existence i s in the Sanjuniban  Shokunin Uta-awase (c. 1537) which contains a s l i g h t l y d i s -14 paraging "Waka" (3l-syllable poem) about "Komo no Shakuhachi" (Josango, 1971:9). Within f i f t y years the Komo-so were di s -placed by samurai and chonin (bourgeoisie) who adopted the ve r t i c a l flute as a medium of expression and entertainment. The reasons for this turn of events and the shakuhachi*s rapid rise through Japan's social classes w i l l be explained presently. The renaissance of the shakuhachi in the hands of the Komo-so has provoked a considerable amount of discussion about i t s origins. It i s generally accepted that the Medieval Shaku-hachi does not have a direct lineage to the Gagaku Shakuhachi and that i t was re-introduced from China some time in the 15th century. Impetus for the re-introduction theory stems from the legend of R5an, a Chinese migrant who emigrated to Japan in the Bummei Era (1469-86) and settled in U j i (just outside Kyoto) where he b u i l t a temple which he called Kyuko-an. It 61 i s said that he introduced the v e r t i c a l flute which was to become named the "Hitoyogiri" (single-section bamboo cut shakuhachi) one hundred years later. Kinko I i s supposed to have acquired four Honkyoku (see Tanaka, 1956:303-304) nearly 250 years later, and another legend has i t that Pao Fu (Hofuku), the f i r s t master of the Kinsen branch of the Kinko-ryu, founded a hermitage in U j i some 200 years ea r l i e r than Roan. Whatever the authenticity of these legends, i t i s interesting that U j i should be the common focal point. Tanabe (1954:218) says that according to tradition, Roan may have originally come from Foochow, a c i t y in Fukien Province. In a later book, Tanabe (1959:36) offers another clue by saying that "In 1392, the f i r s t ruler of Ming Dynasty China dispatched 36 families of the province of Fukien to the Ryukyu Islands to make the islanders conform to the manners of China." (At that time the Chinese introduced the "San-hsien" which was to emigrate to Japan in the 16th century to become the "Shamisen".), The Ryukyu Islands became a major trading link between the newly formed Ming Dynasty in China (1368-1644) and the expansive Ashikaga Shogunate (1336-1477, see Reischauer and Fairbank, 1958:331). Malm (1975) has of-ferred a fascinating glimpse of music exchange between China and Japan v i a Korean and Ryukuan intermediaries during the Edo Period (1600-1828) but the preceding 150 years have not 62 been well documented. Nevertheless, i t would seem e n t i r e l y possible that the v e r t i c a l f l u t e d i d f i n d i t s way t o Japan during the 15th century when contact between China and Japan reached the same i n t e n s i t y as i t had some seven hundred years e a r l i e r . Tanabe (1954:218) claims that the 15th century v e r t i c a l f l u t e probably came to Fukien Province from MIndo-China** (e.g., the Thai "khlui") or even " Indonesia** where the Arabian "nay" was probably introduced during the Moslem incursions (13th-15th centuries) to become the Indonesian " s u l i n g " H e may have come to t h i s conclusion, rather than suggesting that the shakuhachi o r i g i n a t e d with the native Chinese Tung Hsiao, be-cause the Tung Hsiao and Shakuhachi are so d i s s i m i l a r . How-ever, recent i n v e s t i g a t i o n s have revealed the existence of the Amoy Tung Hsiao which i s very s i m i l a r to the shakuhachi and which i s probably r e l a t e d to the T'ang Dynasty Ch'ih-pa (see 2:1). Amoy i s a major c i t y i n Fukien Province. In c o n t r a d i s t i n c t i o n to the theory of importation i s an indigenous theory o f development. Using a s c a t t e r i n g of o f t e n -quoted references, I would l i k e to suggest a d i r e c t r e l a t i o n -ship between the Komo-so and Mo-so v i s - a - v i s the v e r t i c a l f l u t e . In the 13 t h ce.itury, Koma no Chikazane reported i n h i s KySkunsho (1233) that b l i n d p r i e s t s (Shinhoshi) and Sarugaku performers (the predecessors of Nohgaku) played the shakuhachi (Josango, 1971:8). The author of Kojidan (1212), Minamoto no Daiken, related a legend that says the Ennin (nee Jikaku Daishi, 794-864) used the shakuhachi as a supplement to his Shomyo (Buddhist chant) practices and the author of Zoku- Kyokunsho (1270), Koma no Asakuza, recorded another uncon-firmed anecdote about the revival of the shakuhachi in 1158, already described in this chapter (ibid.). The 14th century literature seems to contain only one glancing reference. Emperor Godaigo (r. 1318-39), recoun-ting his years of exile in his diary, Yoshino-Shui (1336-39), mentions that one of his entourage played the shakuhachi (ibid.). It i s i n the 15th century that the references begin to proliferate, coincidentally during the same century that Roan is supposed to have arrived in Japan. Emperor Gokomatsu (r. 1392-1412) reported hearing "shakuhachi and haya-uta" (one of the forms in "Uta-awase" song festivals) in his Yama-shina Kyogen Kyorikki (1408, i b i d . ) . Prince Sadanari (nee Gosukoin, 1372-1456) noted i n his diary Kammongyoki (1417-1449) that he watched itinerant biwa and "flute" players taking part in Uta-awase (Harich-Schneider, 1973:411). Moving into the 16th century, we note that the Gagaku encyclopedia Taigensho has more information about the shaku-hachi than the 13th century encyclopedias, Kyokunsho and 64 Zoku-Kyokunsho Harich-Schneider, 1973:394). Finally, the most t e l l i n g evidence i s a picture of a Moso in the Shokunin Zuku-shi Uta-awase by Tosa Mitsunobu (1434-1525; see Harich-Schneider, 1973:pl.17b). At his feet l i e two v e r t i c a l flute types: panpipes (RitsushS) and a small shakuhachi (Dosho?). As thin as this evidence i s , I would li k e to propose that the Moso (nee Shinhoshi) of the Heian Tendai Sect (cf. Ennin) adopted two kinds of tuning devices for their biwa performances, the Ritsu-sho and Do-sho (a common synonym for shakuhachi). Unlike the Gagaku Shakuhachi, the tuning shaku-hachi would have been much simpler and smaller in construction (for portability) and tuned to the indigenous scale (Ritsu/Yo mode) more familiar to the Moso. Hence, the development of five finger-holes rather than six. No doubt the tuning notes used by the Moso became stylized, a tradition long established in the Gagaku tuning "preludes" called "Netori" and in the prelude improvisations performed by courtiers (cf. Genji- mohoqatari,:see Harich-Schneider, 1973:246). During the 15th and 16th centuries the Moso probably u t i l i z e d their stylized tuning preludes during their participation in the popular Uta-awase. Another group of Buddhist mendicants probably realized the value of the shakuhachi and i t s "preludes", and adopted i t as their own medium, naming themselves "Komo-so" to dis -tinguish themselves from the "Mo-so". 65 One f i n a l hypothesis can be drawn to support the above. The imported Fukien v e r t i c a l flute would have had six holes and an alien scale which would probably not have captured the interest of the Japanese, just as the Gagaku Shakuhachi did not. As mentioned earlier, the Komo-so seemed to have di s -appeared from 16th-century Japanese society after only f i f t y -odd years of existence. No reasons are given in contemporary literature but one can easily imagine that the development of the "Tenpuku", "Hitoyogiri", and "Fuke Shakuhachi" (to be d i s -cussed next) fostered the Komo-so's dissolution. The former ve r t i c a l flutes ( a l l simple variations on the shakuhachi) were played by samurai and chonin (bourgeoisie) who would insure that v e r t i c a l flutes be restricted to their class (the Komo-so were people from the lower class). In the l i g h t of Japan's r i g i d code of social ethics and their enforcement, particularly in the Edo Period, this restriction would be easy to impose. A second suggestion may be that Komo-so were one and the same with Mo-so, and the v e r t i c a l flute did not achieve an i n -dependant music and genre status u n t i l i t moved into the upper classes. 66 2:4:2 Tenpuku (16th Century) Rather than appearing on the main i s l a n d of Honshu, the Tenpuku ori g i n a t e d i n the southern i s l a n d of Kyushu. In the 9th century, the town of Dazaifu was established i n northern Kyushu to act as an administrative centre f o r the newly-emerging "Nine Southern Provinces". Between 901 and 903, Sugawara no Michizane, a renowned scholar and statesman, was v i r t u a l l y e x i l e d to Dazaifu a f t e r various a l t e r c a t i o n s at the court i n Kyoto. Despite the f a c t that he was only there f o r three years, h i s c u l t u r a l influence, p a r t i c u l a r l y i n music, i s . s t i l l f e l t i n the environs (Harich-Schneider, 1973:417). Some of the notable music genres from Northern Kyushu are the Chikuzen Moso-biwa (12th century) and the Tsukushi-goto (17th century). In the southern end of the i s l a n d , c u l t u r a l a c t i v i t y was dominated by the Shimadzu clan . In the 12th century, Shimadzu Tadahisa established the clan i n the southern province of Sat-suma. During the same century, the Shimadzu sponsored the Satsuma Moso with the i n t e n t i o n of using them as spies ..because of t h e i r unsuspicious demeanor and unhampered t r a d i t i o n of peregrinations allowing them to f r e e l y cross borders and over-hear conversations (Malm, 1959:135). The f i r s t mention of the "tenpuku" i s i n the 16th century. when Shimadzu Tadayoshi (1492-1568) encouraged the develop-ment of "lig h t classics" among his samurai retainers by i n -structing them to learn how to play the Satsuma-biwa and tenpuku. In 1587 the entire clan was disbanded and d i s s i -pated by Hideyoshi (1536-1598), with the result that nothing more was heard about the Tenpuku. In the only thorough study of the tenpuku, Shirao (1969:153-69) has concluded that very l i t t l e can be said with certainty about the instrument and i t s history. One reason for this unfortunate paucity of information may be that the disbanding of the clan just twenty years after Tada> yoshi's death may not have allowed enough time for the i n -strument to establish i t s e l f . Extant tenpuku resemble miniature shakuhachi, unlike hitoyogiri which are constructed with ornamental fixtures resembling ryuteki (Malm, 1959:155). The co-incidence of the Satsuma biwa and small v e r t i c a l flute i s worth noting in 1 7 the context of this chapter. 2:4:3 Hitoyogiri (Late 16th-l7th Centuries) The name "Hito-yo-giri" means "single section cut" be-cause the ve r t i c a l flute of the time was made of one section of bamboo with the mouthpiece cut obliquely on the bottom of the section. Like the shakuhachi, the nomenclature does not 68 a c t u a l l y name the instrument, but rather describes i t . I t was measured i n Japanese feet (shaku) and micro-inches (bu) rather than inches (sun), making i t shorter than i t s pre-decessor. The f l u t e existed i n many d i f f e r e n t s i z e s , so i t was also i d e n t i f i e d according to the lowest note i t sounded. For example,-a h i t o y o g i r i that sounded "A" was c a l l e d " o s h i k i -g i r i " . During the height of i t s popularity, i t was construc-ted i n the same manner as the h i c h i r i k i and S t e k i with s t r i p s of dark-colored wood or twine wrapped around i t s body between the finger-holes (Malm, 1959:155). Omori Sokun (1568-1625) i s the f i r s t major figu r e i n the h i s t o r y of the h i t o y o g i r i . He was o r i g i n a l l y i n the ser-v i c e of Nobunaga, u n t i l the l a t t e r * s death i n 1582, at which time Omori became a recluse playing the h i t o y o g i r i . His s k i l l became so highly reputed that the Emperor 'Goyozei (1586-1611) requested h i s presence and a set of h i s instruments. Omori compiled seven solo h i t o y o g i r i melodies, Tanteki Hidenfu (1608) which were supposedly quiet and i n t r o s p e c t i v e i n character. A l a t e r anonymous c o l l e c t i o n Ikanobori contained f i v e more compositions. I t has been impossible to reproduce the melodies with any c e r t a i n t y because there i s no way of knowing what the actual pitches of the notation s y l l a b a r y are. The t i t l e s do not appear i n any l a t e r repertoires of known shakuhachi music, including the Kinko-ryu (Josango, 1971:8). 69 According to the Doshokyoku, two "schools" of p l a y i n g developed, the Shusa-ryu and Nishimi-ryu; they performed with each other i n the same manner as the Uta-awase. I l l u s t r a t i o n s and explanations about h i t o y o g i r i players performing i n p a i r s (Fuku-awase) are found i n the Shichiku Shoshinshu (1664) and the J i n r i n Kimmo Zui (1689). In the Yamato Kosaku Eisho, the h i t o y o g i r i i s shown being played i n an ensemble c o n s i s t i n g of shamisen, taiko and ko-tsuzumi, accompanying a Bon-odori dance ( i b i d . ) . The h i t o y o g i r i reached the peak o f po p u l a r i t y during the Genroku Era (1688-1703) and then quickly f e l l i n t o d e c l i n e be-cause of a new b e r t i c a l f l u t e that was r a p i d l y becoming more popular — the la r g e r "Nedake" Shakuhachi played by the succes-sors of the Komo-so, the "Komu-so". 2:4:4 Komuso Shakuhachi (17th-19th Centuries) During the Momoyama Period (1573-1600), Japan was steeped i n n a t i o n a l warfare which generated a d i f f i c u l t s i t u a t i o n i n the following Edo Period (1600-1868). Thousands of samurai who had been t r a d i t i o n a l l y aligned to clans found themselves with-out employment because t h e i r clans had been defeated and d i s -banded. These "r3nin" constituted a dangerous, v o l a t i l e e l e -ment i n the e a r l y part of the Edo Period. A group of these 70 ronin took up the shakuhachi and became wandering mendicant musicians in the komosS tradition. However, they called themselves "Komu-s5" ("empty nothingness — priests") to differentiate themselves from the decidedly lower class of komoso*. The Komuso were alleged to be members of a radical Zen sect called the Fuke-shu, which was a l l i e d to the Rinzai-shu. They claimed that their founder was Kakushin (nee Shinji, Hotto-zenji, Hotto-emmyo-Kokushi) who lived in the early years of the Kamakura-jidai (i.e., 1207-1298). Between the years 1249 and 1254, he studied Buddhism in Sung Dynasty China in: much the same manner as E i s a i (1141-1215) and Dogen (1200-1253), the founders of Rinzai-shu and Soto-shu, respec-tively, in Japan. While in China, Kakushin studied with Wu-men Hui-k'ai (1184-1260) who had compiled the Wu-min Kuan (Mumonkan), a collection of Rinzai-shu koans that have become an integral part of Zen Buddhism in Japan (see Miura and Sasaki, 1966:199-203). A document written in 1779 (published in 1795) and en-t i t l e d "Kyotaku Denki" Kokujikai — a Commentary on the "Bio-graphy of Kyotaku" in Japanese — purported to be a history of the Fuke-shu. The author, Yamamoto Morihide, based his commentary on a copy of the biography, the original being "lost" (see Ongaku Jiten, Vol. XL, p.777). 71 Kakushin i s s a i d to have studied with Chang Ts'an (Cho-17 san), the 16th p a t r i a r c h of the Fuke sect i n China extending back to P'u-hua (Jp. Fuke), the source of the Fuke t r a d i t i o n and second generation from Ma-tsu Tao-i (Baso Doichi — 707-786). P'u -hua was one of the most e c c e n t r i c Ch*an (Zen) monks of T'ang Dynasty China as evidenced by the koans b u i l t around his a s s ociation with Lin-Chi (Rinzai, see Moore, 1967:106-107, fn.19). I t i s s a i d that he wandered through graveyards, f e i g n -ing madness and shaking a hand-bell (Jp. Rei), a common r i t u a l implement of Buddhism. At that time, Chang Po (Cho Haku) asked P'u-hua i f he might be h i s teacher, but P'u-hua refused. Unde-terred, Chang Po followed h i s master's footsteps, but instead of r i n g i n g a b e l l , he blew a s i n g l e note from a v e r t i c a l f l u t e . Renaming himself Hsixto ("Kyotaku"), he became the f i r s t p a t r i -arch of the P'u-hua-tsung (Fuke-shu). Kakushin supposedly met Chang Ts'an at Hu-kuo-ssu Temple where Wu-men was resident pat r i a r c h , and the two of them studied under Wu-m^ n together. One day, a f t e r hearing Chang Ts'an per-form a composition named a f t e r the f i r s t p a t r i a r c h , Kyotaku (or "Kyorei"), Kakushin asked to be i n i t i a t e d i n t o the se c t . A f t e r returning to Japan i n 1254, Kakushin founded S a i h o - j i Temple ( l a t e r c a l l e d Kokoku-ji) i n wakayama Prefee-72 ture where he resided for most of his remaining l i f e . Within i t s confines he allegedly b u i l t a small temple called Fuke-an for four Chinese lay disciples of Chang-Ts'an who had accom-panied Kakushin on his return voyage. One of the laymen, Pao Fu (Hofuku), i s said to have founded a hermitage at U j i some time later. The Kinsen branch of the Fuke-shu trace their origins to this source. Among Kakushin's Japanese disciples was Yoritake Ryoen (d. 1298) who became i n i t i a t e d in the way of the shakuhachi and renamed himself Kyochiku Zenji. He i s credited with i n i -t i a t i n g the traditions of the mendicant player/priests and composing "Mukai-ji" and "Koku-ji" (later called "Koku Reibo") after hearing them in a dream at Kokuzo-do Temple in Ise Pre-fecture. Many traditional historians confuse Yoritake Ryoen with another, later legendary figure named Roan. Kyochiku*s successor was Tengai Myoan who founded Kyo-reizan Meian-ji in the 13th century. Thereafter, Meian-ji became the head temple of the Komuso with the statue of Kyo-chiku enshrined within i t . Meian-ha's patriarchs are numbered from Kyochiku Zenji, so that the current "patriarch", Fukumoto Kansai Kyoan, i s 39th successor. In 1614, (Keicho 19), Tokugawa Ieyasu (1542-1616) sup-posedly issued a proclamation (okitegaki) which eventually became known as the Keicho Okitegaki. Under the b r i e f terms 73 of the proclamation, Komuso were allowed to "incorporate" and govern t h e i r own a f f a i r s . The o r i g i n a l document was destroyed i n a f i r e ; only copies e x i s t . A c r i t i c a l study of the above two documents conducted by Nakatsuka Chikuzen, who reported h i s findings i n an a r t i c l e en-t i t l e d Kinko-ryu Shakuhachi Shikan (cf. Tanabe Hisao, 1963:147-48). Nakatsuka was curious about the h i s t o r i c i t y of the "Kyo-taku Denki" Kokujikai, prompting him to v i s i t Kokoku-ji to study i t s archives. He found that Kyochiku Z e n j i and the shakuhachi were not mentioned i n Kakushin's writings.^- 9 He then discovered that during the Kamakura Period, Meian-ji d i d not e x i s t as a temple but as a h o s t e l f o r monks who were v i s i t i n g the greater temple complex, Tofuku-ji, wxthin which Meian-ji i s s i t u a t e d . F i n a l l y , Nakatsuka found d i s p a r i t i e s i n the various copies of the Keicho Okitegaki. His conclusion was that the Fuke-shu komuso organization was a c t u a l l y founded sometime during the 4th Tokugawa Shogun's (1651-1680) r e i g n . 2 0 A f t e r discounting the t r a d i t i o n a l h i s t o r y of the Komuso, hi s t o r i a n s have found i t almost impossible to provide an a l t e r -native based on new evidence. Conjecture on my part l e d me to the thought that the Komuso/ronin were ex-members of the S h i -madzu clan which was disbanded i n 1587. These warriors would have been f a m i l i a r with the v e r t i c a l f l u t e ( i . e . , Tenpuku) and the kind of underground a c t i v i t y performed by the Satsuma Moso. 74 This would also explain why Hitoyogiri melodies did not find their way into the Komuso (and then Kinko-ryu) repertoires, because the l a t t e r instrument and i t s music was clearly d i f -ferentiated from the music of the Tenpuku. There is no way of knowing what influence the Komoso exerted on the Komuso other than establishing a precedent, and supplying a ready-made nomenclature, "shakuhachi", to replace their own terra, "Tenpuku", which would have thrown suspicion on them. The Tokugawa government was aware of the newly-estab-lished sect and their suspicious origins. Nevertheless, they allowed the Meian temple organization to exist and p r o l i -ferate because i t was to the advantage of the government to exercise nominal control over the potentially dangerous ronin. In 1677, the government issued a "Reitatsu", an "order-in-council", formally organizing and restricting the growth and movement of the Komuso". Citizens other than "bushi" (an Edo Period synonym for the samurai class) were not allowed to join or to play the shakuhachi. Certification of the Komuso was drawn up and standardized and "passports" for unimpeded travel were issued. This l a s t stipulation stemmed from the far-ranging, extra-legal a c t i v i t i e s many of the ronin conducted as spies for the government. The role of clandestine spying became a major factor in the Komuso organization, so much so that they began wearing hats called "Tengai", which entirely 7 5 covered t h e i r heads (cf. Malm, 1959:pl.51). Although the " t r a d i t i o n " states that these hats symbolized metaphysical "emptiness" (sunyata), they were a c t u a l l y a disguise f o r the spies from the 18th century u n t i l the a b o l i t i o n of the move-ment i n 1871. Previous to t h i s time, t h e i r dress included a simple, shallow hat. This can be seen i n the i l l u s t r a t i o n of two Komuso playing i n front of a t y p i c a l urban house i n J i n r i n Kimmo Zui (1689; see Josango, 1971:12). The Komuso organization r a p i d l y expanded to other parts of Japan, e i t h e r because i t was to the government's advantage to expand t h e i r network of spies, or because the concept of wandering monks playing shakuhachi appealed to many d i s s o l u t e ronin. No doubt both reasons were current but the proportion of spies to sincere komuso w i l l never be known. Two temples which figured prominently i n the e a r l y dissemination o f the Komuso organization were Reiho-ji i n Ome and I c h i g e t s u - j i i n Musashi, both of which were close to Edo (Tokyo). Each temple would venerate the "San Koten Honkyoku" (Three Sacred Melodies) nnd add a few compositions drawn from the l o c a l i t y . A l l music was memorized and learned through an o r a l / a u r a l t r a d i t i o n . 2:4:5 Chonin Shakuhachi During the 18th century, the shakuhachi was adopted by 76 widely disparate groups of the urban "chonin" (bourgeoisie) class (see Josango, 1971:12-14). Despite the fact that the shakuhachi was supposedly religious in nature, i t became part of the world of the Japanese demimonde (Ukiyo). On the one hand, the instrument succeeded the weaker Hitoyogiri in "popular" music (Zokugaku) ensembles. More important, however, was the fact that Komuso became regular v i s i t o r s to the Ukiyo in order to spy for the government. The costume and legal immunity of the Komuso were often taken advantage of by the Edo "mafia". At this time, the Nedake Shakuhachi developed into i t s f i n a l form with rem-nants of the roots of the bamboo l e f t intact on the end of the instrument to become a deadly club. Moreover, the instru-ment became a synonym for f e l l a t i o , and to this day, women "of proper breeding" w i l l not even say the word "shakuhachi", 21 le t alone play the instrument. Diametrically opposite to the vulgarizing of the shakuhachi was a movement i n i t i a t e d by Kurosawa Kinko (1710-1771). Born in Fukuoka Province, Kyushu, into a samurai family attached to the Kuroda clan, Kinko I moved to the Tokyo area where he became the chief director of shakuhachi playing at Ichigetsu-ji and Reiho-ji. His most important contribution was the acquisition of several Honkyoku which he added to the repertoire of his own temples. In a l l , he enlarged their collection to a total of 21 t i t l e s . His son and successor added 6 more Honkyoku and arranged 4 Honkyoku into t r i o s . Kurosawa Kinko II (nee Koemon, 1747-1811), succeeded his father at the two temples and continued to propagate the repertoire compiled by his father and himself. Sometime during the latt e r part of Kinko I's l i f e , a clandestine move-ment at Reiho-ji was begun, supposedly by Kinko II, called "Suichikumei" — a system of instruction and c e r t i f i c a t i o n for laymen (ubasoku). Despite the pleadings of Reih5-ji of-f i c i a l s that their lay organization was harmless, the Tokugawa government issued Reitatsu in 1759 and 1774 reaffirming their proscription of laymen in the Fuke-shu. Therefore, a clan-destine movement of "Fuku-awase" (performances of shakuhachi music) was initiated, and in 1792 the school had 19 teachers including Kinko II. Kinko Kurosawa III (nee Masajiro, 1772-1816) did not succeed his father's place at the two temples but, instead, lived in Nihombashi, Tokyo, devoting himself entirely to playing the shakuhachi. His most famous student was Hisamatsu Fuyo, who w i l l be mentioned in context present-ly. The younger brother of Kinko III, Kurosawa Kinko IV (nee Otojiro, d. 1860) was apparently lacking in talent, so the Kinko patrilineage ended with him, but the ideals and reper-toire of the Kinko-ryu continued to flourish. However, the only concession made by the military government was to allow 78 men o t h e r t h a n s a m u r a i i n t o t h e r a n k s o f t h e Komuso* i n 1847. I n a p p o s i t i o n t o t h e K i n k o l i n e was t h e I k k a n - r y u l i n e , begun by M i y a g i I k k a n , a s t u d e n t o f K i n k o I . M i y a g i ' s s u c -c e s s o r was I k e d a I k k i (Senzuke) who a l s o s t u d i e d w i t h K i n k o I I . The l i n e a g e t h e n p a s s e d from I k e d a t o Yamada Jodo and t h e n t o Toyoda Kodo I ( K a t s u g o r o ) who was c o n t e m p o r a r y w i t h H i s a m a t s u Fuyo. These l a s t two " s e n s e i " ( t e a c h e r s ) were a c -t i v e j u s t p r i o r t o Japan's g r e a t w a t e r s h e d , t h e M e i j i R e s t o -r a t i o n . B e f o r e p r o c e e d i n g t o t h e s h a k u h a c h i i n t h e M e i j i E r a , i t i s i m p o r t a n t t o d i s c u s s t h e m o t i v a t i n g f o r c e t h a t s p a r k e d t h e e n t h u s i a s m o f so many B u d d h i s t laymen d u r i n g t h e 1 8 t h c e n t u r y ; Tokugawa urban s o c i e t y may be d i v i d e d i n t o two r o u g h l y -d e f i n e d g r o u p s . One group c o n s i s t e d o f members o f t h e a f f l u -e n t merchant c l a s s , d i s s o l u t e s a m u r a i , "demimonde" c h a r a c t e r s , and t h e l i k e who p o p u l a t e d and e n l i v e n e d t h e p l e a s u r e g u a r - : t e r s o f "UkiyO" ( f l o a t i n g w o r l d ) i n Edo, Osaka, Kyoto,. and' c o u n t l e s s m i n o r c e n t r e s a t c r o s s - r o a d s , and T o k a i d o h o s t e l s . The o t h e r group was c o m p r i s e d o f members Of t h e w a r r i o r and m i d d l e c l a s s w h o " a s p i r e d t o t h e l o f t y e t h i c s a n d : m o r a l i t y e n -couraged, by t h e b a k u f u (Tokugawa j u n t a ) ; T h i s i d e a l i s t i c code o f b e h a v i o r stemmed from a s t u d y o f " s h u j i " (Chu H s i , (1130-1200), a Sung D y n a s t y s c h o l a r : who c r e a t e d a r e n a i s s a n c e o f C o n f u c i a n s t u d i e s t h a t was e n t h u s i a s t i c a l l y a d o p t e d by t h e C h i n e s e and J a p a n e s e . The f i r s t i m p o r t a n t m a n i f e s t a t i o n t o a r i s e from t h i s a c t i v i t y was " b u s h i d o " — t h e way o f t h e war-r i o r . I t was d e v e l o p e d p a r t l y as an a r t i f i c i a l c o n t r o l o f th e t housands o f s a m u r a i who found t h e m s e l v e s a n a c h r o n i s t i c i n t h e i r s o c i e t y , and p a r t l y as a s i n c e r e a t t e m p t t o p r e s e n t t h e w a r r i o r s w i t h a new code t h a t t h e y c o u l d l i v e b y . Many townsmen f o l l o w e d s u i t so t h a t a group o f a r t s common t o b o t h groups a r o s e w h i c h were a n t i t h e t i c a l t o t h e U k i y o a r t s . The i d e a l i s t i c a r t s o f t h e s e p e o p l e were c o l l e c t i v e l y c a l l e d Do (Tao), b e c a u s e each a r t r e f l e c t e d t h e Zen B u d d h i s t emphasis on a p e r s o n a l s e a r c h f o r t h e way (Do) t o e n l i g h t e n m e n t . Many o f t h e a r t s were m a r t i a l - o r i e n t e d , s u c h as "kendo" ( t h e way o f t h e sword) and " j u d 5 " ( t h e way o f t h e w r e s t l e r ) , w h i l e o t h e r p o p u l a r a r t s were t h e t e a ceremony (Cha no Yu, o r " c h a -d o " ) , w r i t i n g and p a i n t i n g w i t h I n d i a Ink and a bamboo b r u s h ("shodo"), and f l o w e r a r r a n g i n g ("kado"), t o name o n l y a few. The p l a y i n g o f t h e s h a k u h a c h i became "Takedo", t h e way o f t h e bamboo f l u t e (see 4 : 3 ) . The immediate s o u r c e o f t h e a e s t h e t i c s i n h e r e n t i n e a c h Do was t h e a u s t e r e p r i n c i p l e s f o u n d i n A s h i k a g a a r t w i t h i t s m e l d i n g o f H e i a n s e n s i b i l i t y t o Zen m e t a p h y s i c s and f r u g a l i t y . D u r i n g t h e Tokugawa p e r i o d , t h e "Do" a r t s were i n f u s e d w i t h a m u l t i t u d e o f m o r a l o b l i g a t i o n s ( g i r i ) t o o n e s e l f and t o 80 one's sensei and peers which became the foundation of the Ryu, quasi-patrilineal organizations that were exclusive and often internecine despite their selfless ideals. 2:5 The Shakuhachi After the Meiji Restoration (1868) In a sweeping effort to eliminate the abuses of the pre-vious regime, the Meiji government disbanded and outlawed a l l itinerant music guilds including the Komuso. This prohibition, known as the "Meiji Proscription", only lasted ten years (1871-1881) but i t effectively ended the existence of the Komuso. On the other hand, the l i f t i n g of the prohibition was contingent on the Komuso temples allowing laymen to study their music and form lay organizations within their jurisdictions. In 1883, the most famous of these temples, Meian-ji, became the focal point for a new lay organization called "Meian Kyokai" headed by Prince Kujo. This democratization movement also allowed the many clandestine shakuhachi organizations and their inde-pendant teachers to come out of hiding. One of the central figures in the metamorphosis of the Komuso tradition was Araki Kodo II (nee Hanzaburo, then Chikuo), 1823-1908). He studied with Hisamatsu Fuyo and Toyoda Kodo I, allowing him to combine the teachings of the Ikkan and Kinko schools. In an effort to keep the tradition alive, he i n s t i -tuted a whole new body of literature called "Gaikyoku" (see 81 1:3) which incorporated the popular music of the time i n t o the established Kinko-ryu system of i n s t r u c t i o n and c e r t i f i -c a t i o n . The "Honkyoku" became e s o t e r i c i n that the n o v i t i a t e was only allowed to study them a f t e r gaining h i s t e c h n i c a l background playing Gaikyoku and h i s r e q u i s i t e respect of the sensei by e s t a b l i s h i n g a rapport. The shakuhachi had already been used i n popular music for some time but Araki Kodo II o f f e r r e d two incentives to draw attention to h i s own r e p e r t o i r e . F i r s t , he was more systematic i n h i s approach to t h e i r musical arrangements. In p a r t i c u l a r , he displaced the Kokyu i n the t r a d i t i o n a l Sankyoku ensemble (Kokyu", Koto, and Shamisen) by r e p l i c a t i n g i t s r o l e ; an arrangement which was highly successful as evidenced by the almost t o t a l lack of Kokyu i n today's t y p i c a l Sankyoku 22 ensemble. Second, he devised a rudimentary notation system which proved to be revolutionary for the shakuhachi (see 4:1:2). , Uehara Kyodo (1848-1913) and Kawase Junsuke (1870-1959) were two prominent students of Araki Kodo II who assured the shakuhachi a place i n modern Japan. Uehara Kyodo devised a system of rhythmic d i a c r i t i c a l signs for Kodo II's notation and published a book i n 1896 e n t i t l e d Zokugaku Senritsu Ko which contained a study of "Popular Music" theory p a r t l y based on h i s experiences with the shakuhachi. Kawase Junsuke founded a movement which eventually became a seperate branch 8 2 of the Kinko lineage devoted to the popu l a r i z i n g of the Kinko-ryu by publishing Uehara Kyodo's notated music (Harich-Schneider, 1973:591). Araki Kodo II was succeeded by h i s son, Araki Kodo III (nee Shinnosue). One of the l a t t e r ' s students was Notomi Judo (1895-1974) who was designated a National L i v i n g Treasure in 1963. His son and successor, Notomi Haruhiko, having died, he appointed Ikeda Kodo h i s successor. The lineage then ex-tended to the f i n a l and current successor, Tanaka Yudo (nee Motonobu). This p a r t i c u l a r l i n e of succession i s only one of many. The p r o l i f e r a t i o n of the Kinko school, and a l l the others as well, has resulted i n a tangled web of r e l a t i o n s h i p s and lineages which i s almost impossible to s a t i s f a c t o r i l y o u t l i n e . Rather than being discouraging, i t only points to further de-mocratization of the t r a d i t i o n and the f a s c i n a t i n g cross-f e r t i l i z a t i o n i t should produce. CHAPTER 3 KINKO-RYU MELODIC THEORY The traditional music theory of Honkyoku consists of ru-diments and performance practices taught in the light of "the Way of the Bamboo Flute", Takedo. Rudiments consist of basic information concerning the notation and fingerings, while per-formance practices are a more advanced stage of knowledge con-cerning the techniques and ethos ("Shin") of performing Honkyo-ku. The former i s readily available in print but the perfor-mance practices are only acquired from a "sensei" through o r a l / aural transmission. Therefore, rudiments w i l l be referred to as exoteric, while performance practices shall be described as esoteric. 3:1 Rudiments Beginner students are exclusively concerned with impro-ving, their understanding of rudiments by practicing progres-sively more d i f f i c u l t compositions from the Sankyoku l i t e r a -ture. Concommitant with the instruction is the gradual foun-ding of a student-teacher relationship acceptable to the sensei. 83 84 After attaining a prescribed level of rapport and technical proficiency (far above what is required for Honkyoku), the student graduates to Honkyoku. 3:1:1 Contemporary Sources For the purposes of this paper, three sources of rudi-ments have been u t i l i z e d . The most accessible source i s the Japanese-language publication Kinko-ryu Shakuhachi Kaisetsu by Judo Notomi (1968), a beginner's instruction manual for learning Gaikyoku. Second, the Honkyoku music per se i s a viable source for the ethnomusicologist who can extract rudiments and organize them in meaningful groups. After successfully completing the study of one Honkyoku, the student or "Hipkin's Ethnomusicolo-gist" (Hood, 1971:90-93) is "awarded" a copy of the score from which he has just learned. The more conservative and t r a d i -tional the sensei, the more authentic the student's copy. The author has collected a number of the Honkyoku, including the SKH studied in the following analyses, from Tanaka Yudo. Another source of music i s a published collection called Kinko-ryu Shakuhachi Honkyoku (ed., Sato Harebi, 1966), which contains the entire repertoire plus several precursors and an extensive glossary. Where the scores are at variance with the editor's version, alternate sequences once played by either 8 5 Kodo II, Ikeda Senzuke, or Yoshida Itcho have been d i a c r i t i -c a l l y added. Material found in this thesis originates from both the Tanaka Scores (henceforth called TS) and the Sato Scores (SS). In most respects they are identical. 3:1:2 Honkyoku Notation The notation of Honkyoku is essentially a tablature using solmization syllables supplemented by d i a c r i t i c a l marks (including rhythmic information). The notation vocabulary may be divided into three groups: 1. syllables which denote pitch; 2. syllables and "kanji" (Chinese characters) which indicate pitch repetition; 3. signs, syllables, numbers and kanji which are d i a c r i t i c a l . The syllables are derived from one of the syllabaries in the Japanese language, "katakana". In the following com-plete l i s t of notation syllables, underlined syllables are pitch repetition signals (see 3:1:2:2). ^ RA <) Rl 1W- RU RE Q RO / >^ HA C HI ^? U 3 KO 4" CHI HP TSU 86 The syllables are printed or handwritten in a semi-cursive style. For example, shakuhachi students not familiar with this style of writing are often confused by the s i m i l a r i -In the context of a l l the Japanese music notation sys-tems, shakuhachi solmization must be l i s t e d in the tablature solmizations rather than "shoka" solmizations. The former category consists of individual fingerings represented by s y l -lables while the latter represent various melodic c e l l s . Sho-ka were devised as a mnemonic aid which had to be mastered be-fore the student was allowed to actually play the given melody on his instrument. The individual shoka systems for a l l the wind instruments in Gagaku are supplemented with d i a c r i t i c a l tablature solmiza-tions but Nohkan shoka are not (Minagawa, 1957:194-95). The koto "shofu" and shamisen "kuchi-shamisen" shoka have become almost redundant since the inception of their tablature systems. Although the syllables in shakuhachi music represent definite fingerings rather than abstract melodic contours, they strong-ly resemble Gagaku shoka because of their marked similarity to the Gagaku Shoka vocabulary (see Garfias, 1965:68-71). According to Gekkei (1971:18-19), the earliest score of ty of the syllables TSU, Rl and U. TSv U 87 shakuhachi notation is dated Ansei 4 (1858) and originates from Meian-ji. It i s written in the older FU-HO-U solmiza-tion which was changed to the current RO-TSU-RE system after the Meiji Restoration (1861). Kodo II (1832-1908) is credi-ted with the origination of the lat t e r solmization. A com-parative chart of both systems i s shown in Malm (1959:271): the "Meian-ji" line i s pre-Meiji notation (note that RO should be HO) and the Kinko and Tozan lines (the l a t t e r copied the former) i s the post-Meiji solmization. Uehara Kyodo (1848-1:913) is credited with devising a complementary system of rhythmic notation based on "ura" and "oraote" "byoshi" (rhyth-mic apostrophes). The earliest extant notation for ve r t i c a l flute i s the Tanteki Hiden-fu (1608) by Omori Sokun, but there seems to be no direct connection between his solmization for hitoyogiri and the later shakuhachi notation (see Gekkei, 1971:19). D i a c r i t i c a l marks in shakuhachi music are mnemonic aids for recalling esoteric performance practices, special finger-ings, rhythms, pitch tessituras, and general melodic arabiti. Although they resemble Gagaku d i a c r i t i c a l marks such as the signs found in Hakuga's Chochiku-fu glossary (Harich-Schneider, 1973:212,319), they are strongly reminiscent of shomyo vocal techniques. For example, pitch o s c i l l a t i o n ("yuri") i s par-t i c u l a r l y common to shSmyo melodies (Malm, 1959:67). 88 The following l i s t has a l l the d i a c r i t i c a l marks for Honkyoku categorized according to their syllabic and kanji 2 symbols. The d i a c r i t i c a l numbers ("suji") that represent special fingerings are l i s t e d in Appendix C. , Syllables; / me(ri) — flattened pitch (i.e.,]? ) (Note: meri-kari ("temporary lowering") meri-komu ("permanent lowering")? 77. ka(ri) — normal pitch (i.e.,4p; % su(ri) — portamento glissando from a lower to a higher pitch; ko(mu) — portamento movement downwards to meri pitch (Note: 1) meri-komu Z*j yuri shakuri < 3 komi / tsuki 2 ) yuri-komu); pitch oscillations in logarithmic succes-sion; a single o s c i l l a t i o n downward (i.e., porta-mento mordent); hushed, excited breath pulsations (Because komi i s performed at meri pitch, this nota-tion i s sometimes seen as "merikomi"); hushed, excited interruptions of a tone pro-duced by shaking the shakuhachi against the Daw; ^ muraiki Kan j i ; tj? chu(meri) ^ dai(meri) g ro ZJ otsu 9 kan 7^ dai-kan Bff akarui * -chu akarui minna |7 u(tsu) o(su) 89 — sforzando breath a r t i c u l a t i o n . — flattened p i t c h by one h a l f tone (i.e.,[?) ( i . e . , same as meri); — fl a t t e n e d p i t c h by one whole tone (i.e.,bl?); 1 2 — lower octave (c - d )j — lower octave (c* - d 2 ) ; — higher octave ( c 2 - e^ 3) ; — highest notes ( d 3 - e ^ 3 ) ; 2 3 — r a i s e the p i t c h of c or c one whole tone (i.e.,X); 2 -s — r a i s e the p i t c h of c or c J one h a l f tone (i.e.,#). — perform c 2 " H A " before " R O " with one f u l l beat (byoshi)? — ("tap") inverted mordent (also seen as "utsu meru"); — ("press")Vmordent z e n j i hayaku — sempre accelerando dandan hayaku — progressively more accelerando hajime hayaku — "begin f a s t " (then ritardando) 90 3:1:2:1 Individual Pitch Notations The following survey of pitch notations i s confined to the "isshaku-hassun (i.e., "shakuhachi") because i t i s commonly understood to be the "standard" instrument. However, each no-tation within the Kinko-ryu tablature system refers to a speci-f i c fingering rather than a specific pitch. Therefore, music composed or arranged for different-sized shakuhachi must be transposed (see 1:2, Example 5). Because of the many significant differences, the nota-tions in both the SS and TS w i l l be outlined (see Examples 1 and 2). These differences mainly stem from Sato Harebi's ab-stract d i a c r i t i c a l marks which have replaced the standard signs. In the SS, a horizontal line across a syllable indicates "chu"-meri", while an oblique line across a syllable represents "meri". For example, the notations for C, B^, and Bb in the TS and SS appear as follows: c 91 Example 1. Ro Octave Pitch Notations — — •- — — 1 r- o —frr — _#s> < l < "s J--a-<D o o 7 *7 f i ^ . _ ^ * if--H- ^  — o i —— o T S s f c <; Meri RO and meri TSU tend to be ambiguous pitches but the s k i l f u l musicians play them as low in pitch as possible, resulting in the pitches "c" and "eb" respectively. The U notation fluctuates in pitch from a f l a t AI? to a G, depending on whether i t i s in an ascending or descending passage, re-spectively. When the c pitch i s in an ascending melodic movement i t i s notated HI. In practically a l l cases, i t c u l -2 minates in d ( a l l fingers off ) , appropriately marked akarui HI (i.e., "opened" HI). If c 2 i s followed by a lower pitch (usually U), i t i s notated RI. The c pitch i s also found in a whole-step progression from RO octave "c " to KAN octave d (a l l fingers down), referred to as "the break" in Western mu-92 2 s i c . In this case, c is notated HA (see Example 2). The reader may have noticed a curious discrepancy in the scale outlined by the "basic" (i.e., non-diacritically marked) syllables in the previous example. In a simplified form (and discounting the U syllable because i t i s a variant of A^ com-mon to both notation systems), the scale and syllables for both systems appear as follows: TS/SS TS D E*7 G A* C D SS D F G A C D These two scale forms w i l l be discussed at length in the next chapter (see 4:2). For now, i t can be stated that the TS tablature i s based on the In "Scale" while the SS tablature i s founded on the Yo "Scale" (i.e., the "natural" scale of the shakuhachi, see 1:2). The notations in the KAN octave are, for the most part, the same as those in the RO octave, except for the syllabic no-tations outlined in Example 2. Example 2. KAN Octave Pitch Notations with Alternates TS / \ O / ^ ' x £ 7 / SB E 9 93 9 \> a TS SS The top line i n Example 2 shows three forms of the HA-RO pattern which is essentially a cadence pattern. (Hence, the use of arrows in the patterns shown.) The pattern on the l e f t i s the standard notation?which: indicates standard fingerings and pitches. The pattern in the middle cal l s for the same p i t -ches, but with alternate fingerings which change the timbre of 2 the fi n a l d pitch. The pattern on the right has the same a l -ternate fingerings as the pattern in the middle (although the f i r s t HA i s not blown "meri") but i t i s over-blown into the next harmonic series, resulting in a descending "cadence" ending 3 3 on a d pitch which has a different timbre than the standard d 2 "3 produced by fingering akarui HI. Both the alternate d and d pitches are perceived by the Kinko musicians as "false" sounds which have the same impact as the "false" cadence in Western music. Another "false" pitch is produced by U in descending pas-1 sages. Although i t "sounds" g or g , i t s timbre i s markedly 1 2 different from the g or g pitch produced by fingering RE. 94 The alternate fingering for B!?2 shown on the right of the standard fingering (which i s the same in the RO octave), i s more "open-sounding" than the latte r . It i s also considered "false" even though i t i s considerably more "stable" than meri HI. 3:1:2:2 Pitch Repetition Notations Example 3 has representative examples of the three Kanji, RU, RA, and RO, and the three symbols, k i r i , o doriji, and naya-shi, which signal the repetition of the preceding pitch. Example 3. Pitch Repetition Notations The syllable RU, preceded by a lower grace note, may f o l -low TSU, CHI, or U, and i s performed in a hushed manner with a special fingering (see Weisgarber, 1968:324). Whereas "TSU-RU" 95 and "U-RU" seem to be natural combinations (see Garfias, 1965: 68), "CHI-U" is awkward and i s considered "deviant". Odoriji may follow any of the eight basic pitches and i t i s usually preceded by grace notes unique to the performer. For example, Goro Yamaguchi precedes od o r i j i by upper grace notes while Ta-naka Yudo adds "changing tones" before o d o r i j i . K i r i i s a special form of RU that follows akarui HI. KO(RO) i s a rapid t r i l l pattern that usually i s found on d pitch. When i t i s used on any other pitch, i t appears as a d i a c r i t i c a l mark with one consonant change, 21 ZJ (i.e., GORO). KORO i s an onomato-poeic term which i s sometimes pronounced "koro, koro, koro, ko-ro", etc., in rapid succession. Nayashi i s a special cadential figure that may follow RE or RO, acting as an iambic, "arsis-thesis" portamento cadence. It i s almost always preceded by g or d. There are three special notations which may be viewed as variants of nayashi: "yuri", "yuri-komu" and "hiku" (see Example 5). Yuri i s played as a sequence of slow, wide ;r Example 4. Nayashi Cadences also ?v<x. 96 n a y a s h i w h i c h a c c e l e r a t e a n d d i m i n u e n d o i n t o a" c o n t i n u o u s m e r i s o u n d t h a t i s t h e n s u b j e c t e d t o " t s u k i " ( s h a k i n g o f t h e i n s t . r u m e n t ) a n d " k o m i " ( b r e a t h s p a s m s ) , a n d t h e n a c a l m n a y a s h i t o t h e o r i g i n a l ( k a r i ) p i t c h , Y u r i - k o a m e n d s i n m e r i a n d . d o e s n o t i n v o l v e t h e f i n a l t s u k i , k o m i o r n a y a s h i . H i k u i s a n a y a -s h i i n r e v e r s e ; i t c a n a l s o b e f o l l o w e d b y . a n i n v e r t e d H i k u ( a s i n t h e r i g h t h a n d i l l u s t r a t i o n ) . E x a m p l e 5. N a y a s h i V a r i a n t s 97 3:1:2:3 Rhythm Notation Two elements are employed to delineate rhythm: v e r t i c a l lines and "byoshi" (rhythmic "commas"). Rhythm patterns are indicated by v e r t i c a l lines joining syllables within melodic c e l l s (senritsukei). Although the TS and SS use different line groups, the meanings are essentially the same, indicating one-half, one-quarter and one-eighth the value of a "beat" (in the following Example 6, one half note). Note that the f i n a l note always has the value of one complete "beat", giving each senritsukei a distinctive arsis-thesis, rhythmic cadence. A "beat" i s understood to be a "byoshi" which i s similar to the medieval Western "tactus". Its flu c -tuating value depends on the spontaneous feelings of the per-former. Therefore, the lines merely indicate the ratios of time values (see 3:2:3), Example 6 Line Patterns SS TS Rhythm 1. half-value: 2. quarter-value: 1 4 -1* 7 3. eighth-value: 98 The word "byoshi" i s also used to describe d i a c r i t i c a l marks that establish meter within the rhythmic groups deline-ated by the lines (see Berger, 1969:48-72). Strong beats (o-mote) are on the right side of syllables and weak beats (ura) are shown on the l e f t . A l l Honkyoku are in duple rhythm. The only byoshi found in TS are the omote-byoshi that elongate TSU in a common variation of TSU-RE (see Example 7). A l l other metric values are synonymous with the rhythmic ra-tios. Values which are one-half or one-quarter following values are weaker beats. y Example 7. TS byoshi (As in the tradition of the nayashi, a breath i s taken on the reprise, despite the fact that i t i s not notated.) In the SS, byoshi are used constantly, in contrast to their sparse presence in TS, although the time values are exact-l y the same in both scores. White byoshi are equal to one beat while black byoshi equal one-half beat, arid:combinations of the two can appear as Ura or Omote. Example 7 would appear in the SS as follows: 99 Example 8. SS byoshi 7 ^ One technical c r i t i c i s m may be made of the SS byoshi. Rather than progressing through a series of weak and strong beats, lined patterns are successions of weak beats followed by one strong beat (i.e., arsis-thesis cadences). For example, i f four syllables are joined by a single,line, the pulse would be v*v*N// rather than v/u/ . A more important crit i c i s m can be made on an aesthetic le v e l . The performers purposely interpret the rhythmic nota-tion in the most free manner possible and often stretch the rhythms to the point of almost altering their ratios. The TS notation allows for this necessary freedom by i t s sparcity, but the SS seemingly does not because of i t s pedantic.appear-ance. When Uehara Kyodo (Rokushiro) devised the byoshi dia-c r i t i c a l marks before the turn of the century, he designed them for Gaikyoku. Their later incursion into Honkyoku has been a mixed blessing. 100 4:1:3 Articulation In Western music, articulation in wind instruments i s achieved by beginning the sound of each note with a sharp release of a i r caused by a f r i c a t i v e action of the tongue. In effect, sounds are i n i t i a t e d by consonants such as wt(o6)". Articulation in shakuhachi music i s executed by pre-ceding an assigned pitch with an inverted mordent played in fast succession and i n i t i a t e d by an aspirate, "h" (see Berger, 1969:43). The upper note moving to the assigned pitch results in a finger slap which adds an imperceptible percussion. The inverted mordent sometimes does not even sound because of i t s rapidity. The following patterns in Example 9 i l l u s t r a t e common articulations for "natural" (kari) and "chromatic" (meri) notes (see Appendix III). The performer has the option of varying these patterns or omitting them altogether, depending on his spontaneous aesthetic impulses during a performance. Example 9. Articulations for Natural Notes KAN Octave \ 2 3 «/ S* 4 7 ?• 101 R O O c t a v e ft • o 1 2 3 4 5" 6 7 S K A N O c t a v e , p a t t e r n 1, i s i n b r a c k e t s b e c a u s e i t s e x e c u -t i o n i s s o c e n t r a l t o H o n k y o k u t h a t i t i s t h e o n l y i n s t a n c e o f a n o t a t e d a r t i c u l a t i o n , H A - R O ( s e e E x a m p l e 2). P a t t e r n s 4 a n d 7 a r e v a r i a n t s o f 3 a n d 6 r e s p e c t i v e l y . P a t t e r n 4 o c c u r s a t t h e e n d o f p h r a s e s , w h i l e P a t t e r n 3 u s u a l -l y o c c u r s i n i s o l a t e d p a s s a g e s . P a t t e r n 7 i s u s e d t o a r t i c u -l a t e t h e n o t a t i o n R l . P a t t e r n 8 i s o n l y a p p l i e d t o H I . E x a m p l e 10. A r t i c u l a t i o n s f o r C h r o m a t i c N o t e s i n B o t h O c t a v e s a l s o 8 v a 4-^ 9 so 11 \2 A l l t h e u p p e r c h a n g i n g n o t e s i n t h e s e p a t t e r n s a r e f l a t t e r i n p i t c h t h a n t h e i r n o r m a l , " f i n g e r e d " s o u n d , b e c a u s e t h e s e p a t t e r n s a r e p l a y e d i n m e r i p o s i t i o n . T h e a c t u a l p i t c h o f t h e u p p e r n o t e s i s c o n s i d e r e d i m m a t e r i a l . 102 Example 11. Dai-KAN Octave Articulations 9-The right hand index finger that covers hole 2 i s the only active element in this set, moving from an open to a closed position with a quick inverted mordent in-between. HA, and any notation in one-eighth value, i s not a r t i -culated with an inverted mordent: these two exceptions con-stitute notated articulation. Articulations within senritsukei are performed by soun-ding the upper changing note of the inverted mordent of each assigned pitch. Note that the portamento effect in the des-cending step-wise motions i s sometimes interrupted with "preg-nant" , split-second silences (kiai) just after each changing tone has sounded. These silences are optional according to the mood of the performer. 103 Example 12. Step-wise Melodic Articulations in Both Octaves also 8va — — — — — — — — — — — — — — — — — — There are several variations of the preceding maxims. Some of these variations are notated d i a c r i t i c a l l y while others are found in the oral/aural traditions. Diacritically-marked variations f a l l into two general groups. The f i r s t group i s comprised of single grace notes. "Osu" may denote upper or lower grace notes but "utsu" i s a l -ways a lower grace note pattern. Both are reminiscent of RU, RA and k i r i . Example 13 shows "osu" and "utsu" in their most common context. Example 13. Special Inner-phrase Articulations Variations of the o(su) and u(tsu) technique are used on RI, HI and U to create moments of heightened melodic ten-sion. The following examples (in Example 14) are the most common. Note the stylized o d o r i j i following the notated pitch and the two accelerando and one ritardando d i a c r i t i c a l indications. The "u(tsu)-meru" i s the same as nu(tsu)". (Note that the following example i s a stylized representation; the number of repeated pitches i s purely arbitrary.) Example 14. Special Inner-phrase Articulations T? I f f i *S 0 + *L * ~ * * ^- — 9 - * -*» - a - » m 0 m 0 m & pT b v b \> ID Iv en ii UA.VA<XUV» C a e c a I.) 3C_ P ft. -ft " * £ ft' -fr -fr -ft -M f * I I 1 ff> ,& l> 1> b I1i> k k ^ A— j ft j 5 f - f a r — & One other special effect, muraiki, can be l i s t e d with the preceding group because of i t s similar nature. It i s a technique involving explosive breath attacks (muraiki) and 105 violent shakuhachi motions (tsuki-yuri) (see Weisgarber, 1968; 317,321,326). Example 15. "Muraiki" 1 f r t t r T £ — ^ muraiki / kan, ka (kan octave, kari pitch) The second group of inner-phrase diacritically-marked articulations has "suri" in i t s format. The technique of suri i s a very sophisticated form of portamento phrasing with the fingers r o l l i n g o ff the holes? no actual articulation oc-curs. Example 16. "Suri" 1^ 4. The number of variants that are part of the oral/aural tradition i s incalculable because of their variety and number. The following examples are common to the San Koten Honkyoku. d hu Example 17. SKH Oral/Aural Inner-phrase Articulations ~TfUortTrVc<».l Actual ^ . 1 0 7 3:2 Performance Practices The multitudinous techniques of performing Honkyoku l i e within the realm of the oral/aural pedagogy of each sen-se i . They vary between teachers and even between performances of one teacher, so i t i s impossible to state inviolate rules regarding performance techniques. The practices outlined in the following pages are part of the repertoire of Tanaka Yudo, compiled in 1973. Performance techniques may be loosely categorized under the headings of inflection, amplitude, timbre and tempo. Each of these tonal characteristics w i l l be defined and de-scribed in the next pages. 3:2:1 Melodic Inflection The Japanese term for tonal inflection i s utaguchi, "song-mouth", which i s also synonymous with the mouthpiece of the shakuhachi. The technique involves a raising or lowering of the jaw which raises (kari) or lowers (meri) the pitch in a portamento manner.3 Hence, another term for this technique i s "meri-kari". Essentially, the inflections put the finger articulations into high r e l i e f . Melodic inflection i s one of the most distinctive cha-racteristics of Japanese vocal music, especially the slowly 108 paced forms. The source for this technique may be Shomyo, which has the most elaborate system of vocal ornamentations called "embai". Gagaku music also employs meri-kari tech-niques (Harich-Schneider, 1973:224), as do a l l the Shomyo-derived genres such as Noh and Biwa-gaku. One may even en-counter specialized meri-kari techniques in string and per-cussion techniques where select strings are pushed or squeezed in order to increase the tension of the plucked string or drum-head and raise the pitch. The SS has eleven types of melodic inflection by em-ploying nine abstract, d i a c r i t i c a l lines (see Sato, 1966: 9-10). Although Tanaka Yudo performs a l l these nuances, hi score has only one d i a c r i t i c a l mark (i.e., "meri-shita"). One can only acquire the knowledge of his other nuances by taking part in his aural/oral instruction. A l l melodic inflections are optional. That i s , the performer i s free to use them or not, depending on his aes-thetic inclinations at the very moment he i s performing. Like the SS byoshi, the SS notated melodic inflections tend to militate against this spontaneous musical behavior. In the following pages, the melodic inflections (in idealized form) w i l l be presented in three groups according to their basic direction: downward (meri); upward (suri); and combinations of both directions. The diagrams that pre 109 cede the explanations in each group are special staves with each li n e representing a half step, except the bottom line, which represents approximate time marked, in quarter-seconds. Note that the s o l i d black lines represent sound duration. The grace notes representing finger articulations are not placed on stave or leger lines because they may vary accor-ding to their context. Each diagram i s numbered for id e n t i -fication; on their l e f t i s drawn their representative SS dia-c r i t i c a l marks. Note that the size of the d i a c r i t i c a l marks i s quite small in relation to the syllables. For example, meri-kari between TSU and RO would appear as follows: 3:2:1:1 Meri In flections Example 18. Meri Inflections | 1 -T 1 J T 0 / 0. 3 H 5 1 1 1 1 ; r o I * 3 S 110 Graphs l a and lb i l l u s t r a t e two different examples of "meri-kari". This inflection i s so basic to shakuhachi that i t has acquired another name, "shakuri". The contour of graph l a i s slow and deliverate, a common technique of Kinko-ryu performers, whereas the meri-kari in graph lb i s rapid and almost inconsequential, a common performance practice in the Meian-ha. Graph 2 i s also an inner-phrase inflection, but i t i s a variation of meri-kari in that the kari i s non-existent. Graph 3, meri-komu, shows the f i n a l resolution of many sen-ritsukei. Malm singled out this technique as the most charac-t e r i s t i c sound of shakuhachi Honkyoku (1959:159-60). There are two variations of meri-komu that occur on d 1 and d pitches. One form i s a d i a c r i t i c a l mark called "meri-shita" while the other i s the kanji called "hiku" (see 3:1: 2:2). I l l Example 19. Meri-komu Variations r> —^ .. 4 — L — u 1 1 s V 1 ._<? 1 o 11 3:2:1:2 Suri Inflections Example 20. Suri Inflections 1 1 1 s 1 1 • 1 r- 1 1 » 0 l Z * H 5 ° i 2- 3 v s 3 i r I rA\—s « « 1 • O I 6 -7 ? As in the description of Meri inflections, Graphs 1 and 2 are inner-phrase inflections between two notes, while Graph 3 i s the inflection used at the end of particular phrases. Graph 1 i s an i l l u s t r a t i o n of "suri-kari"; in essence, i t i s an intentional emphasis of the upper changing tone be-112 tween two syllables. Graph 2 i l l u s t r a t e s a variation of "suri-kari" in which the kari i s replaced by a caesura of silence called " k i a i " . "The pause i s never a lessening of intensity, but on the con-trary, the projection of highest intensity into the empty space of the pause" (Harich-Schneider, 1973:435). Graph 3 i s a diagram of "suri-ageru", which i s performed as a decrescendo to an inaudible pitch. 3:2:1:3 Meri-Suri Combinations Example 21. Meri-Suri Combinations T j , , 1 1 — i ; : ~ : O i Z. 3 ¥ S ' o « * 3 *f ?J i T i 1 i r O 1 2 3 ¥ 5 113 Graphs 1 and 2 are inner-phrase inflections, while Graph 3 i s a phrase ending. Graph 1 shows a "meri-kari-suri-kari*' inflection which i s essentially a meri-kari tech-nique which has the following upper changing tone drawn out and emphasized. The suri-kari-meri-kari i s the exact oppo-si t e of the movement in Graph 1 and i t i s found far less fre -quently. Graph 3 i s a variation of suri-ageru called "meri-suri-ageru" which occurs on senritsukei endings. 3:2:1:4 Summary The following chart summarizes micro-tonal inflections and the notes that they follow. Certain inflections connect notes within senritsukei, while others are found at the end of senritsukei. Of this latter group, I have further divided the inflections into movements that proceed upward and downwards. Cohne-ctiVes Sevw-Vhsukei Eh.oLtlriqs Pttctas Doujiaujairci u c a c 3 <t <TT> -C3 ohVi) u d a' a2 b d 4 d t I 2 u c i' y < u 6 d d d. A - d •'" 1 1 4 3:2:2 Amplitude and Timbre Melodic inflection and metre i s supplemented by ampli-tude and timbre which are inextricably relative to each other. The most eloquent statement of this basic relation was composed by Malm: From a whispery, reedy piano, the sound swells to a ring-ing, metallic forte, only to sink back into a cotton-wrapped softness, ending with an almost inaudible grace note, seemingly as an after-thought. (1959:160) In other words, timbre becomes richer in harmonics as the ampli-tude increases, and vice versa. The Kinko-ryu performer does this with a highly sophisticated technique of adjusting the fo-cus of his a i r stream with his embouchure. Despite the extreme variety of amplitude and timbre, a few generalizations can be made. As the Honkyoku melody moves from low to high tessitura the dynamic level generally increases. Meri notes are performed with a soft, focused dynamic level which creates a muted timbre. Alternate fingerings (see Ex-ample 2) produce a different timbre although they are blown at the same dynamic level as pitches indicated by the standard f i n -gerings. Meri and Suri inflections are usually blown decrescen-do, especially in moments of " k i a i " . Melodic movements usually are played crescendo i f they progress to G or D,. Accelerando motifs like "yuri" are decrescendo figures, played l i k e fading 115 echoes. Final "theses" on G and D are played exactly as de-scribed by Malm above. 3:2:3 Tactus The tempo of a l l Honkyoku i s determined by "byoshi" (as i t i s understood in Shomyo practice) and "breath cadences". Shomyo and Shakuhachi "byoshi" have almost exactly the same meaning as the Gregorian Chant "tactus" (Apel, 1969:832). The tempo is sub-consciously determined by the heart-beat of the performer, and because the performer purposefully assumes a meditation posture (Zazen) when he performs, his pulse rate i s slower than usual. The dynamic tension that exists between the exertion of performing and the calmness of mind and body reflects the aggressive discipline encouraged by the Rinzai Zen sect. "Breath cadences" were f i r s t described by Malm (1972: 98) in order to account for the caesuras that occur at the end of phrases in Gagaku and Noh. The pauses are just long enough to take one deep breath but their exact time l i m i t i s almost impossible to notate because each breath i s unique. Small breaths may also occur within phrases but they are a l -ways taken "in-tempo". 116 In the SS, caesura and minor "in-tempo" breaths are i n d i -cated by short, horizontal dashes on the l e f t and right side, respectively, of a column of syllables. Only major caesura pauses are indicated in TS, using small c i r c l e s . 3:3 Conclusion The s k i l f u l performer of Honkyoku basically strives for "organic melody". That i s , melody which i s continually evol-ving and shifting from one dynamic state to another. This ba-sic principle of dynamism, aptly referred to as "becoming sound" by Smith (1969:248) i s the sublime aspiration of every Kinko-ryu musician (as well as every other ryu performer). The essential quality of organic Honkyoku i s expressed in a meticulous devotion to melodic d e t a i l . Within the l i m i -tations imposed by the rudiments and performance practices, the performer i s at liberty to modify any moment of the Honkyo-ku he i s performing to suit the immediate requirements of his aesthetic judgment about i t s "becoming-ness". To this end, the notation (as best exemplified by the Tanaka Yudo score) and oral/aural tradition i s eminently suited. The written music is purposely "skeletal" while the performance practices (i.e., the "flesh") are consciously designed to be fl e x i b l e . The words which describe the f u l l musical experience are "quasi-improvi-sation", CHAPTER 4 SAN KOTEN HONKYOKU MELODIC ANALYSIS 4;1 Introduction The hypothesis of the following analysis i s that the central element that governs Honkyoku melodies i s pitch hier-archy and pro c l i v i t y . * The hierarchy of a given pitch i s de-termined by i t s "tendency" (i.e., proclivity) to resolve to another specific pitch (see Meyer, 1956:34,54). Further, i f the resolution i s realized, the melodic movement i s considered "normative"; i f the tendency i s inhibited by a rhythmic caesura or a resolution to another, unexpected pitch, the movement i s perceived as "deviant". On an aesthetic level, these moments of deviancy "heighten listener expectations" and stimulate.af-fective tension (see Meyer, 1956:1-42). The preceding p r i n c i -ples are only understood at an intuitive level by members and followers of the Kinko-ryu, but their features are readily ap-parent when the written music i s analysed in the ligh t of the traditional oral and written elements of "Honkyoku music theory" (see Chapter 3). The melodic constituents of the Honkyoku melodies are 117 11.8 2 "senritsukei" ("melodic patterns"), phrases, and sentences. A l l the senritsukei used in this analysis are found in Appen-dix B where they have been arranged in "sets" according to their f i r s t note and shared, inherent melodic movement. In the following pages, the pitches which are u t i l i z e d in the San Koten Honkyoku (and Honkyoku in general) w i l l f i r s t be described in the framework common to recent Japanese music studies, a scale ("onkai") outlined in terms of i t s traditional modality ("senpo") and tonal transpositions ("choshi"). 3 Then their hierarchy and p r o c l i v i t y w i l l be defined by describing how they interact within their contexts (i.e., the melodic con-stituents) . Finally, the arrangement of the melodic constitu-ents of the San Koten Honkyoku w i l l be discussed with a view to describing possible melodic forms. The "sample" that has been examined for the purposes of this chapter i s the three Honkyoku, Mukaiji, Shin Kyorei, and Koku Reibo, which are collectively called the "San Koten Honkyo-ku", hereafter referred to as SKH. Generations of performers have acknowledged the SKH as the "three most venerable Honkyo-ku" in the entire repertoire (see Malm, 1959:161). In the f o l -lowing pages, numbers following references to any of the SKH refer to locations notated in the transcriptions in Appendix A. 119 4:2 San Koten Honkyoku Scale The SKH "practical scale", of a l l the SKH tones (see Hood, 1971:324), i s simply derived by cataloguing a l l the p i t -ches that are called for in the written music of the SKH. (The TS and SS are equal in this regard.) The following l i s t i n -cludes the frequency of their occurence, irrespective of octave placement: D E ^ F G A^ A B C 80 186 (14) 192 142 24 27 2 127 + (44) 171 (%) 9.5 22.2 1.7 22.9 16.9 2.9 3.2 .2 20.5 The bracketed numbers indicate pitches that are only heard as the f i r s t note in the portamento "nayashi" cadence (see 3:1:2:2). The A^ sum includes a l l pitches indicated by U and meri CHI. A perusal of the transcriptions in Appendix A and Exam-ples 2 to 21 in Chapter 3 shows that the notes E, F^, and C^ indicated in the notation equivalents drawn in Example 1 of Chapter 3 (i.e., "the theoretical scale", see Hood, 1971:324) do not exist in Honkyoku. These notes are most l i k e l y used in the Kinko-ryu Gaikyoku and Shinkyoku which share the same nota-tion. The note C* (as D^) also appears in the "Kumoi Choshi" 120 which w i l l be discussed in the next few pages. A l l authors are agreed that the "scale" of Honkyoku i s 4 "In", usually i l l u s t r a t e d as: D E^ (F) G A B 1 ' (C) D The bracketed notes indicate the two hennon. Comparing this u scale with the previous SKH practical scale, the notes A and B\ may be considered "foreign tones". Looking at the previous chart of the SKH pitch d i s t r i -bution, B^f can easily be seen as a "foreign tone" merely by i t s r a r i t y . However, the ample existence of A^ and A7* pitches, and the substantial majority of the former over the latter, i s problematical. One of these two tones must be a candidate for the nomenclature of "foreign tone" i f we are to formulate a heptatonic scale appropriate for the SKH. The notation used in the TS suggests the A ^  i s more ap-propriate than AH . A S shown in Example 1, the former does not require d i a c r i t i c a l information. (Note that the symmetrical equivalent of A** in the right hand, E^ , also does not have d i a c r i t i c a l information added to i t s notation). Example 1. TS Notation, Honkyoku Scale 121 When A^f (and F) i s called for in the TS notation, as i n the following example of the "natural" scale^ of the shaku-hachi (i.e., A and F are not blown "meri"), a special d i a c r i -t i c a l notation, KA (kari), i s required. Example 2. TS Notation, "Natural" Scale -<S3 a O ° ° O o ~~ .. o*"? r t ')\^2 h_ The A^ is so i n t r i n s i c to descending passages (see Ex-ample 1) in both the TS and SS notation systems that i t rates i t s own unique notation, U, (which i s never subject to "kari" alteration). Therefore, there are two notations which draw attention to A , men CHI and U. The preceding evidence suggests that the heptatonic scale of the SKH (and Honkyoku in general) i s : D E ^  (F) G A b B k (C; D The disparity between the In scales with I& and A*? can be easily explained by re-defining "scale" as "mode" (senpo). Assuming that the heptatonic In "scale" outlined by a l l authors (i.e., the scale with A*!) has a configuration of tones and semi-tones which i s basic to Japanese music written in that scale, i t may be labelled Kyu-senpo. Considering that hennon are never used for modal "tonics" (Adriaansz, 1973:31), the 122 following description can be established: Kyu-senpo S T T T S T T Sho-senpo T T T S T T S Kaku-senpo T S T T S T T Chi-senpo S T T S T T T U-senpo T S T T T S T Brpn represents "tone", while "S" represents "semi-tone". Assuming that the scale outlined for the SKH (i.e., the u scale containing A ) i s correct, the next step i s to decide which pitch in i t s arrangement i s the fundamental tone. The choice clearly centres on D and G because of the emphasis they receive,as outlined in the previous chapter. For example, these two notes are the only pitches which receive constant cadential emphasis with the use of "nayashi", "hiku" (see 3: 1:2:2), and "meri-shita" (see 3:2:1:1). If G i s the fundamental tone, the SKH mode w i l l be Kyu-senpo and appear as follows: G A b B b ' C D E * F G S T T T S T T If D i s the fundamental tone, the scale w i l l be Chi-senpo: D E F G A B C D S T T S T T T In the SKH, two factors in favor of G are i t s frequency, (i t occurs more than twice as often as D) and the three sets of finger articulations (see 4:1:3) which constantly emphasize i t s 123 presence. However, D receives more cadential treatment than Gy the nayashi cadence which signals a major cadential reso-lution occurs more often on D than G (44/13) and the major meri-komu inflections, hiku and raeri-sh-ifca, only occur after D. A l l three SKH end on D, after an anacrusis on G. Correlative evidence in favor of the D fundamental tone may be culled from several other examinations. A cursory study of the entire Kinko-ryu repertoire finds 20 Honkyoku (68%) that end on D in the same manner as the SKH. Another 7 Honkyoku end on G after cadencing on D. (Hi, Fu, Mi, Hachi Kaeshi no Shirabe best exemplifies this pattern with i t s "HA-RO, HA-RE" echoes in i t s f i n a l motifs.) Of the last three Honkyoku to be accounted for, Banshiki no Shirabe (ending on c*), and Sanya Sugagaki (ending on g*) have the following inherent scale structure: Example 3. Sanya Sugagaki Scale s_ o -k. 0 9 — & -» Finally, Sokaku Reibo (final cadence on d 1) has yet another, and unique, inherent scale system: Example 4. Sokaku Reibo Scale 1 2 4 The SKH scale with D fundamental tone f i t s the descrip-tion of the most popular In mode, Chi-senpo, according to K U -DO* s study. Also the natural scale of the shakuhachi with D fundamental tone i s the most popular Yo mode, Chi-senpo (Kita-hara, 1 9 6 6 : 2 8 2 ) . Finally, D i s used as the fundamental tone equivalent when the shakuhachi plays with the Koto and Sharaisen (Adriaansz, 1 9 7 3 : 4 7 2 ) . The equivalent modes are called "Honjoshi" in sha-kuhachi and koto music, and "Hirajoshi" in shamisen music; in each case the f i r s t word means "basic, premier". A l l the preceding evidence strongly suggests that the fundamental tone of the SKH (and Honkyoku in general) i s D . Therefore, the inherent scale system i s Chi-senpo^ and B -"J and A*T are foreign tones. The other scale, outlined on page 1 2 0 i s either an expedient but obtuse i l l u s t r a t i o n of the Honkyoku In "scale" per se,or an example of a common but mistaken as-sumption that the mode of Honkyoku i s Kyu-senpo. The scale found in Sanya Sugagaki i s Chi-senpo, G cho, (i.e., sojo), and in Sokaku Riebo, Kyu-senpo, D cho (i.e., ichikotsu-cho). The modality of Banshiki no Shirabe (see 1 : 3 , No. 4 ) may be explained as a Chi-senpo, D cho (i.e., ichikotsu-cho) Honkyoku which also explores the tensions created by s i -multaneously reiterating the two "leading tones", c and f . The 7 Honkyoku that end with D and then G are examples of 125 Honkyoku that end on a P5 inversion of the t y p i c a l G-D (RE-RO) P4 cadence. In other words, t h e i r f i n a l cadence, HA-RO, HA-RE i s a c t u a l l y RO-RE, D to G. Chi-senpo has exactly the same configuration as the "gamme plagale" o u t l i n e d by P ^ r i (1934:61). Several authors 7 have found t h i s mode to be l a b e l l e d "Iwato", but Malm, Garfias, Adriaansz and Harich-Schneider make no mention o f i t . Malm (1963:84) outlined Iwato drum patterns i n Kabuki Nagauta and Harich-Schneider (1973:594) implied an Iwato scale structure i n her diagrams of the In-senpS*. Weisgarber (1968:331) iden-t i f i e d the Iwato mode i n connection with one s p e c i f i c Honkyo-ku, Sanya Sugagaki, but he d i d not generalize i t s use. The standard Japanese reference, Ongaku J i t e n . defines Iwato as a genre of folk music, but no s p e c i f i c information i s given. Obviously, a thorough study of the Iwato senpo would reveal a v i t a l Japanese music system that has, u n t i l now, only been hinted at. The Honkyoku Chi-senpo i s manifest i n three d i f f e r e n t choshi (tunings): Akebono A B ^  C D E^ F G A Hon D E ^  F G A b B^ C D Kumoi G A* ' C D b E^ F G 126 The Chi-senpo A cho and G cho are found in the Honkyoku t r i o literature, and Sanya Sugagaki i s obviously composed in Kumoi choshi,although i t i s not specified in the t i t l e . A l l other Honkyoku are in "Hon choshi" (more properly, Honjoshi) except Sokaku Reibo, which i s the only Honkyoku composed in Kyu-senpo, D cho. Rather than dismissing G as inconsequential,now that D has been established as the fundamental tone, the evidence that is; in favor of G substantiates i t s importance in the am-bitus of the SKH senpo. Its special treatment i s i l l u s t r a t e d in Honkyoku melodic theory and i t s position, a Perfect Fourth above D and a Perfect F i f t h below D 1 can be interpreted as a "mid-way" point in the ambitus. The resulting "articulated" senpo creates a juxtaposed tetrachord and pentachord (see Ex-ample 5) which w i l l prove to be pertinent to the following discussion of pitch hierarchy. Example 5. Tetra-Pentachord Articulation 127 A l l other pitches (including "foreign tones") w i l l be shown to be aux i l l i a r y to this basic configuration. The elaborate emphasis given to c 2 and c 3 (i.e., three different notation syllables) suggests a tetra/tetrachord ar-ticulation juxtaposed on the tetra/pentachord configuration just outlined (see Goro, 1975:60-87). . Example 6. Tetrachord Articulation i — i 1 1 " I * » I „ 4:3 SKH Melodic Constituents After establishing the SKH senpo and i t s tonic and tetr a / pentachord configuration, the hierarchy and pr o c l i v i t y of the pitches can be determined by examining their manifestation, Honkyoku melodic constituents. 4:3:1 SKH Senritsukei Because the "various melodic germs (i.e., senritsukei) do not have definite names as they do in biwa music and some of the forms already studied," (Malm, 1959:162) several Western authors have taken i t upon themselves to catalogue and label 128 them. Weisgarber (1968:318) has in his possession a catalogue of some 300 or so senritsukei. On f i r s t hearing, Honkyoku senritsukei appear to be simi-lar to the stereotyped and modular senritsukei which are rep-resented by shoka (see 3:1:2). This impression i s reinforced by the slow tempo and the relatively few number of syllables in the notation, resulting in a limited number of syllables in each Honkyoku senritsukei. However, the variety of Honkyoku senritsukei that outline any given general melodic movement (see Appendix B:) and the presence of anomalies in those "sets'' belies any stereotypography. The stereotyped melodic behavior i s not among the senritsukei, but among the p r o c l i v i t i e s , and hierarchy of the pitches. The main distinguishing feature of senritsukei i s their cadential structure suggested by their iambic rhythm (see 3: 1:2:3), supplemented by performance practices such as the melo-dic inflections (see 3:2:1). In other words, each note in a senritsukei seems to cadence (i.e., resolve) to the last note in i t s series. The f i r s t fact to emerge from an examination of the sen-ritsukei in the SKH i s the large number which cadentially re-solve to D or G: 80 senritsukei end on G; 105 end on D; and 85 end on other notes. No SKH senritsukei begin with D, and only 6 begin with G. A l l 6 of the l a t t e r cadences end on D. 129 A closer study of D and G shows that they are comple-mented by "leading tones" from below (C to D, and F to G) and even from above (E ^  to D, and A^ to G). The leading tones from below are easily recognizable in the form of nayashi, but the "upper leading tones" (see Kicahara, 1966:282) are not readily apparent in the SKH senritsukei. However, their presence i s clearly evident in the context of "melodic i n f l e c -tions" (see 3:2:1). An examination of the examples (Chapter 3, Nos. 18-21) and the summary (3:2:1:4) shows that the meri and suri inflections are "anticipations" of the lower tone resolu-tion which normally follows. This process occurs on E^ and A^ (U and meri CHI), as well as A, and C (specifically on RI, which anticipates a resolution on a lower note, i.e., A^ (see 3:1:2:1)). Example 7 shows the matrix of the p r o c l i v i t i e s of a l l the notes just outlined in the previous paragraph. Note that C pointing to A** i s notated RI and the same C pointing to D can be notated HI or HA (see 3:1:2:1). The RI notation i s only found in the low (RO) octave. The HA notation represents C in the low octave and E^ in the high (KAN) octave (see 3:1: 2:1, Example 2). 1 3 0 Example 7. Tonal P r o c l i v i t i e s i 1—i 1 1 ' G AT" I 1—i 1 ' r G & When melodic movement within or between senritsukei re-solves the tension of a note by moving according to i t s pro-c l i v i t y , such movement may be called "normative". When the opposite occurs, i t may be referred to as "deviant". The f o l -lowing "sets" of downward and upward deviant movements are culled from the SKH senritsukei which exhibit more deviant movements than normative movements. This curious situation w i l l be explained in the next few pages. 131 SKH Deviant Upward Progressions: Deviant Movement Normative Movement 9 i/ 7 ^ 9 -This deviant melodic movement (also found in the RO oc-tave) i s the most common in Honkyoku. Note the esoteric interjection of F which is a leading tone of RE. 9—kr The TSU-U deviant melodic movement exists in a multitude of variant forms (see Appendix B l ) . f / V P - ? 4. The deviant HA i s marked "minna1* ("full value") so that i t s extended sound heightens the listener's expectations. 9-m 9-3: 132 In this case, the deviance i s not in the melodic progres-sion as such, but in the f i n a l sound of D. Instead of a standard fingering of RO, an alternate fingering i s sub-stituted which "sounds'* d 2 but with a s l i g h t l y different timbre which i s considered "deceptive" (as in "deceptive cadence", [[see Ghapter 3, Example 2} ). 9-fee / \ - C 7 The KORO figure i s almost as common as the meri TSU-RE figure. It i s always followed by a downward deviant re-solution of HA. f _ f ^ — f The deviant movement on the l e f t delays the resolution to RE (G) by va c i l l a t i n g from the low A ^ to regular A K The introduction of the foreign tone A...*} from the A^ serves to expand the melodic framework of the Honkyoku. Its most common context i s in the following "phrase" (Example 8). 133 Note how the i s "cancelled" almost immediately by the introduction of a normative melodic movement con-taming A . Example 8. KORO Resolution < In effect, a new tetrachord i s introduced into the pan-theon of Honkyoku tetrachords. 10 8. Example 9 . Honkyoku Tetrachords IT ~ 1 1 G A H i 1 e O j Examples of A ^ - A'] melodic movements can be seen in Koku Reibo, 2 7 - 2 9 , 4 5 - 4 7 , 53 -55 and 1 0 3 - 1 0 5 . K-7 —>9 rfc 7* <2_ This deviant movement i s quite rare (see Koku Reibo, 6 5 -6 6 ) . 1 3 4 9 . 9-The fingering for the in the deviant resolution i s a more •"open'' sound than the fingering for the in the right hand example (hence, the difference in notation), but the normative resolution for the former i s s t i l l A *T although i t never seems to occur.(see Koku Reibo, 65-66). SKH Deviant Downward Progressions: Deviant Movement also ^va. also 5vo-(5 3-«5 f — " j ? Normative Movement 9-by* ft 9-/ \ - 0 This deviant melodic progression usually follows another deviant progression, HA-(RO), in quick succession. In both cases, the HA i s "altered'' to heighten listener ex-pectation. It is also subject to variation in the f o l -lowing KORO resolution: 135 4 f- r \ : r / n s + (< 7-The meri CHI-U cadence shares the same characteristics as the HA-(RO) cadence in that the f i n a l note i s a "false** sound because i t i s a different timbre than the expected resolution. The U i s always "blown" as "meri" as possible so i t w i l l sound G, but i t s timbre i s markedly muted, whereas the G sounded by RE i s very open. f S "V / .-I ( r) 7 v. J i 0-This particular deviance i s very rare in the Honkyoku literature (see Koku Reibo 30-31, 56-57). It i s not brought into high r e l i e f like the foreign tone A \ (see SKH Deviant Upward Progressions, 7) so i t i s not con-sidered a moment of melodic expansion but a variation of the "meri-skita-" inflection. The preceding l i s t s of upward and downward deviances have not taken into account the variations that exist for each example, 136 Most of these variations take the form of rhythmic delays of resolution brought about by pitch repetition and rhythmic pauses (see 3:1:2:2 and 3:1:2:3). A perusal of Appendix B w i l l readily show the many forms that exist. The number of deviancies in the SKH far outweigh the normative movements, thereby creating a sense of constant ex-pectancy and interest on the part of the listener. 4:3:2 SKH Phrases Even though a l l senritsukei are cadential, the senritsu-kei that end on D or G seem to have a greater sense of "com-pleteness" or resolution than other senritsukei. This i s par-t i c u l a r l y obvious in the light of the special finger a r t i c u l a -tions (see 3:1:3), tonal dynamics (3:2:2) and cadential figures (3:1:2:2) which occur on D and G. Therefore, a group of sen-ritsukei which consist of cadential figures comprised of sub-sidiary tones and progressing through a sequence of normative and deviant pitch p r o c l i v i t i e s u n t i l they come to rest on D or G, may be called a "phrase" (a word used for the:purposes of, this thesis, but unknown to the Kinko-ryu). Each phrase, con-sisting of two or more senritsukei, follows on the heels of another phrase, resulting in the fact that D and G act as " p i -vot tones". 137 Practically a l l phrases begin with one of four " i n c i p i t s M or their variants. By far the most common i n c i p i t i s meri TSU-RE, followed by KO-RO. Although both contain pivot tones in their cadential movement, their melodic "deviancy" creates a sense of melodic tension that "demands" a resolution by one or more normative cadential movements to pivot tones in the following senritsukei. RO octave RI-U and i t s equivalent in the KAN octave, Hl-meri CHI, i s an i n c i p i t which i s a norma-tive melodic movement but which does not contain a pivot tone. These senritsukei, and their many variants (e.g., Shin Kyorei, 40,43,50,63,73), signal the beginning of a downward melodic progression to a G pivot tone. This also holds true for the fourth i n c i p i t , akarui HI. Although i t i s a normative senri-tsukei, i t s usual context i s between a phrase which has com-pleted i t s e l f and melodic progressions which move down to g* or g 2 (e.g., Koku Reibo, 60,82,87). Phrases end with normative melodic movements to pivot tones which are sometimes re-iterated to insure their sense of resolution (see 3:1:2:2). A second possible ending for phrases i s the "false cadence" which i s a deviant senritsukei where a normative senritsukei i s expected. The most common variety i s the meri TSU-RE senritsukei (see Example 10) and deviant resolutions based on HA-RO (see Example 11). 138 Example 10. Mukaiji, 29-32 Example 11. Shin Kyorei, 25-26 / • f Ll L L$ L * l > (=M——Vif be* *<* VA to 7 I i - T T I — \ — i — i — i bJ i * p — 1— 1 False cadences u s u a l l y act as "bridges" between phrases (e.g., Mukaiji, see Example 23, l i n e 2). Occasionally, HA and TSU occur i n i s o l a t i o n with no re s o l u t i o n at a l l (e.g., Mukaiji, 16-17,50-51). The tonal a f f e c t i s akin to the incompleted cadence which leaves the l i s t e n e r with a f e e l i n g of "suspen-sion" and expectation. 4:3:3 SKH Sentences It i s at the l e v e l of the sentence that "g" piv o t tones are d i r e c t l y r e l a t i v e to the more dominant "d" pi v o t tones, which represent the to n i c of Honkyoku modality. This r e l a t i o n -ship i s born out by the e a r l i e r discussion of Honkyoku modality 139 (4:2) and the relevant traditional melodic theory that sur-rounds the "d M tonic. A description of the construction of a typical Honkyoku sentence may be i l l u s t r a t e d by outlining the "themes" of the three Honkyoku in the SKH. Despite the capacity for p r o l i f i c variation, the actual sound materials of Honkyoku are quite limited, resulting in a sameness that permeates the entire repertoire (see Weisgarber, 1968:332). To counter-balance this homogeneity, each Honkyoku has a "theme" which i s unique.^ Although each theme has some generative melodic material which establishes "inter-opus norms" (see Meyer, 1956:140), they do not act as a point of departure for melodic development, but rather as unique sentences which individuate their respective Honkyoku. In the following Examples (14-16), the senritsukei are ill u s t r a t e d in their basic form, bereft of pitch repetitions and traditional performance practices. The context of the themes within their Honkyoku w i l l be shown in the next section concerning Honkyoku "forms". The Koku Reibo theme i s particularly distinctive for i t s conspicuous lack of "virtuosic" senritsukei and i t s uncommon symmetry. It i s also one of the longest themes in the Honkyoku repertoire, consisting of 22 senritsukei. 140 Example 12. Koku Reibo theme (see Koku Reibo, Appendix I, 1-21) / 1+, JSL 3 . - -r 6 7 y B. ± ID 16 17 I? ID 3 Sentence A i s almost exactly the same as Sentence B, with one minor exception. Both sentences are comprised of two phra-ses, a and b; the a*s are the same but B,b has one extra sen-ritsukei which adds a zenithal climax to the second sentence. The two phrases in C are codas, the second being more elaborate than the f i r s t , which fi n a l i z e Sentence B and the entire name-theme in general. The complete theme reflects a normative and uncomplica-ted approach to melodic progression, thereby establishing inter-opus norms for the rest of the composition and perhaps a l l Honkyoku in general, considering the special status of Koku Reibo. 141 The theme for Mukaiji i s one long sentence followed by three cadential phrases. The sentence i s a complex variation of "HA-RO" in a typical four note, two senritsukei phrase, e^-d, c-d (TSU-RO, HA-RO), which i s then "completed" by three short "codas" (i.e., phrases which are "cadences" for the previous sentence) that act as inter-opus norms confirming the normative resolution of TSU-RE and RI-U i n c i p i t and the resolution of HA-RO and TSU-RO f i n a l i s . (Note that KORO f i g -ures do not appear in this Honkyoku). Example 13. Mukaiji theme (see Mukaiji, Appendix I, 1-16) S V S C 7 + „ I + J I I f-~ /*? > — T / } JL— jn <Q Of * 10 (2-.0 *s9 13 w a -A-|6 1T 0~ IS -f-142 Shin: Kyorei's theme resembles Mukaiji in that i t i s also a complex variation of a simple normative senritsukei, HA—RO. However, i t i s placed within the context of a normative reso-lution of KORO. The f i r s t sentence contains the theme bracketed by distinctive TSU-RE-RO, normative senritsukei. The KORO f i g -ure in the theme i s reiterated f i r s t without the HA-RO variation but also without resolution, and then f i n a l l y with the normative resolution pattern. Example 14. Shin Kyorei theme (see Shin Kyorei, Appendix I, 1-16) 3 H A h- S € 7 ' 1 1 _ ' I i — 1 lo 12 0 + 14 IS 143 Like the theme in Mukaiji, the Shin Kyorei theme appears a second time but in the context of the normative resolution of a RI-U phrase. 4:4 San Koten Honkyoku Melodic Forms A study of Honkyoku "form" (see Meyer, 1956:45-47) may be drawn from traditional cues and melodic analyses. There are several elements of d i a c r i t i c a l information within each Honkyoku "score" which indirectly suggest large divisions. Further, the melodies can be analysed by defining their melo-dic constituents and comparing their configurations. 4:4:1 SKH Traditional Formal Indications Formal articulation in many Honkyoku may be seen i n the use of double bar lines (found in the new, printed repertoire of the Kinko-ryu and Meian-ha) and paired numbers that bracket sections of Honkyoku melody (found in SS and TS). Out of a total of 30 Honkyoku, 18 have double bar lines and 16 have paired number sections. No traditional explanation seems to exist for the func-tion of double bat lines,but the paired numbered sections are u t i l i z e d as esoteric variations. In the exoteric manuscript version of a Honkyoku the paired numbers are not in sequence, 144 so the performer has the option of playing the Honkyoku se-quentially i f he wishes to perform the esoteric version. This practice i s extremely rare. Koku Reibo i s articulated with four double bar lines and eight numbers forming five sections. The f i n a l section i s only one senritsukei long, so this Honkyoku i s essentially divided into four major units. Note that the four double bar line sec-tions and four large numbered sections do not coincide exactly. Example 15. Koku Reibo Sections Z 3 JL -HL- 1 T £ Re-arranged sequentially, the Honkyoku becomes: 3 * 1 In other words, sections II and IV are interchangeable but the divisions outlined by double bar lines are not disturbed. In both the TS and SS, part II i s called Zendan and part IV, Ko-dan, which mean "former section" and " l a t t e r section" respec-145 t i v e l y . Also, both sections have the added d i a c r i t i c a l i n -formation, Kawa-teru, which means the performer has an option of being accompanied at the unison by another shakuhachi. In the analyses to follow, parts II and IV w i l l be shown to be similar in melodic information. In Shin Kyorei there i s no over-lap between the double bar sections and numbered sections but the numerical sequence i s highly complex, resulting in repeated numbered sections in the esoteric arrangement. The original version appears in the following manner: Example 16. Shin Kyorei Sections 1 6 XL ill XL The esoteric re-arrangement has a curious symmetry: \TL ill Mukaiji has no double lines but i t does have numbered sections. The numbers are supplemented by syllables which are derived from the f i r s t six syllables of a didactic poem that i s universally known in Japan (see Nelson, 1966:1014). 146 Example 17. Mukaiji Sections 2. 3 TS. ro The esoteric version is: Sections II and III are interchangeable codas and they have similar melodic material. Further, section III i s a newly composed addendum—"ireko no te". The composer i s anonymous 4:4:2 SKH Formal Analyses The SKH sample has been analysed from comparative, architectonic and contour perspectives i n order to present three complementary pictures of SKH structures. 4:4:2:1 SKH Comparative Analysis Because Koku Reibo and Mukaiji exist in duet (seiso) and t r i o (juso) versions as well as solo (dokuso), several conclu-sions may be drawn by comparing the former with the l a t t e r . The Koku Reibo seiso (duet) i s constructed in four con-trasting parts (see Example 18), two of which are unison (A and D) and two of which are "Fuku-awase" (B/E and C/F). The 147 G section only c o n s i s t s of one s e n r i t s u k e i . The e n t i r e seiso i s a composite of most of the dokuso. (Note that the numbers i n Example 18 are the same numbers used to i d e n t i f y moments i n the dokuso t r a n s c r i p t i o n s i n Appendix I.) Two segments of the o r i g i n a l solo are missing: the repeat of the f i r s t sen-tence i n the theme and the sentence between the second num-bered section and the t h i r d double bar section ( i . e . , 54-59). Example 18. Koku Reibo Duet Sections OA ' 3% 6 0 0 -j6 a* gem i i . 53 /o6 IJ2 Using t h i s information i t i s p o s s i b l e to further c l a r i f y the structure of Koku Reibo as o u t l i n e d e a r l i e r . Example 19. Koku Reibo, Sections C l a r i f i e d ft .1 in D The Zendan (II) and Kodan (IV) are not only interchangeable but apparently are even symmetrical and complementary enough to have t h e i r i n t e r n a l parts interchangeable as w e l l . The t r i o (juso) versions of Koku Reibo and Mukaiji do 148 not f a l l into neat divisions. The following diagrams include wavy lines which i l l u s t r a t e those sections of the solos which are used in the t r i o s . Example 20. Trio Sections Koku Reibo 6 AAA* 71 "T 1» ^itX (ol (It H I Mukaiji 1 ? a« • " T i ?a H o —f US No consistent use of material i s obvious. For example, the Mukaiji theme appears both times but the Koku Reibo t r i o does not even contain the dokuso theme. Basically the t r i o s are constructed of perfunctory fragments which are mostly high-lights, of their respective solo Honkyoku. 4:4:2:2 SKH Architectonic Analysis Using a l l of the previous information regarding senritsu-kei, phrases, sentences, and traditional formal indications, i t i s possible to draw composite pictures of each of the SKH, i l l u s -149 trating their "architectonic structure" (i.e., form). In the diagrams to follow, a number of symbols w i l l be used which are defined, using the schematic theoretical diagram in Example 21, in the following manner: Example 21. Theoretical Melodic Line r 1 •f A N T ex. b c t T a, e a-b b-c c-d d-e melodic section indicated by a pair of ci r c l e d numbers double bar line phrase ending in an incomplete manner (e.g., false cadence) ^phrases (defined by " i n c i p i t " and f i n a l note) Incipits: T meri TSU-RE senritsukei t meri TSU (unresolved by RO) K KO-RO senritsukei R RI-U senritsukei (R) variation of RI-U senritsukei H akarui HI h HA (unresolved by RO) a-d sentence f phrase (d-e) which acts as a coda to the previous sentence a-b phrase, repeated exactly in another part of the Honkyoku b-c phrase, appearing in similar form in another part of the Honkyoku, identified by a capital l e t t e r 150 c-d phrase, repeated exactly in the related Trio a-e complete melodic line consisting of related sentences and codas h the number denotes the sentence Shin Kyorei 1. This line begins with a senritsukei (identified by a short, heavy, black line) which occurs seven times throughout the Honkyoku. Although i t creates a sense of unity, i t s occur-rences are highly varied contextually and are never identi-fied as symmetrical "brackets". The entire line i s the theme sentence (see 5:4:2:2) with the core of the sentence being a repeated, elaborate yuri-komu statement. 2. After a TSU-RE i n c i p i t (D), a dramatic variation of HA-RO (bracket 1) i s presented and then resolved with material similar to A, and then new cadential material (E). 3. Beginning with a TSU-RE i n c i p i t variant of D, melodic ma-t e r i a l vaguely similar to Line 1 i s presented, but in the context of a RI-U motif. 4. An incomplete TSU-RE i n c i p i t acts as a bridge between Lines 3 and 4, and introduces the RI-U motif from Line 3. What follows, however, i s new introductory material leading to a re-statement of the core of the theme. 5. Bridge. A single phrase introduces the three numbered para-meters which a l l have similar material reminiscent of B in Example 22. Shin Kyorei V t k 1 5L 3 a 1 9 «£||h , * i = , 0 1 7 A If'l 1 A *o .3.3. R X7 4 7-si 8 l 5i C i«| (JI BRIDGE LLK. t -3-33. I m 1 6 B 44 k ft) T df 13 f ? [ H 1 W J ft) T d 1 ! E 6 7f 7!fj k d a 77 31 V so \ 6 I a 6 k ! K > CO I 6? 152 Line 1. 5 and 6. These two interchangeable l i n e s contain s i m i l a r ma-t e r i a l which i s progressively made more complex. Between 59 and 62 there i s an elaborate TSU-RE motif which i s unique i n the e n t i r e r e p e r t o i r e . In the f i n a l sentence, . the melodic development reaches a penultimate climax at 55-56 where the performer i s admonished i n the SS to "seize the moment'* ("ki-o toru") which i s described as " t r a d i t i o n a l nothingness" ("oko mu"). Bracket 2 i s an extended coda introduced by KO-RO. 7. The e n t i r e l i n e i s an elaborate coda that completes the Honkyoku with c a d e n t i a l material s i m i l a r to motifs from Line 1. Mukaiji 1. A f t e r a short introduction, the theme and four codas are presented, followed by an unresolved "HA* s e n r i t s u k e i which acts as a bridge to the next l i n e . This e n t i r e l i n e has already been discussed at length (see 4:4:2:2). 2. An extremely long and complex sentence that i s b i - p a r t i t e i n form follows sentence 1. Their c e n t r a l motif (C) i s a melody i n arched form followed by two complementary co-das. The whole sentence i s completed by two cadences (A) which echo a major cadential formula found i n Line 1. A suspended TSU-RE cadence, ( t . . . ) , l i n k s Line 2 to the next Example 23. MukaiJi r ; v. 21 Ik 'nsjy D *3 3 i | T "(6 D w; o 1 h s 1 " I CO 154 sentence. Note the i r r e g u l a r occurrence of a s p e c i f i c TSU-RE s e n r i t s u k e i which appears eight times throughout the e n t i r e Honkyoku—four times i n Line 2, twice i n 5 and twice i n 6. This f i g u r e acts as a motif that constantly re-appears i n new contexts, c r e a t i n g a sense of unity. The dramatic "muraiki" s e n r i t s u k e i that received such prominance i n Shin Kyorei i s also used i n the second C motif i n t h i s sentence, c r e a t i n g a h i g h l y dramatic moment. 3. The theme i s re-introduced and repeated, but i n the con-text o f RI-U. I t i s completed by a coda s i m i l a r to the one found at the end of Line 1. 4. A simple l i n e containing two sentences which are both v a r i a t i o n s on thematic material presented i n Line 2. The second v a r i a t i o n , being more elaborate than the f i r s t , i s completed by an echo from Line 1 (A). 5 Bridge. This i s simply a RI-U s e n r i t s u k e i that creates a sense of over-lapping sentence structures between the numbered parameters i n 5 and 6. 5. This l i n e i s comprised of new material (E) which contains v a r i a t i o n s on RI-U s e n r i t s u k e i that seem to complete the e n t i r e Honkyoku. 6. The "Ireko no Te", which can exchange p o s i t i o n s with Line 5, i s also comprised of coda v a r i a t i o n s based on f a l l i n g s e n r i t s u k e i which are themselves v a r i a t i o n s on the basic 155 RI-U senritsukei. 7. The f i n a l closing cadences signal the end of the composi-tion. Koku Reibo Because Koku Reibo f a l l s so neatly into traditional and comparative parameters, the following resume w i l l be presented according to the sections outlined in 4:4:2:1. Letters i n d i -cate exactly repeated material within the t r i p a r t i t e sections. A. Theme (discussed in 4:4:2:2) B. After a TSU-RE i n c i p i t , contrasting melodic material i s introduced by a new i n c i p i t , RI-U. The two KORO codas at the end of Lines 4 and 5 are deviant resolutions in com-parison to the KORO resolutions presented in the theme. The curious suspension in Line 5, 30-32 re-appears in re-solved form in Line 13. The f i n a l senritsukei at the end of the third line are particularly cadential because of the s k i l f u l use of hiku. C. The f i r s t sentence and the immediately following phrase act as a bridge between B and C. The two KORO codag re-appear in new, deviant forms. Note the repeat signs in the second and third lines, and a similar sequence, writ-ten out instead of repeated, in the equivalent section (F) in Lines 18, 19 and 20. The f i n a l two lines (Koku Reibo, 54-59), already discussed in 4:4:2:1, disrupt the apparent Example 24. Koku Reibo 157 symmetry of the two t r i p a r t i t e divisions (A, B,C and D,E,F). Note that i t i s a direct repeat of the third and fourth phrases in B, but with one important difference—the sus-pended E at 32 i s f i n a l l y resolved. To add to the ambi-guity, this l i n e acts as a coda to the f i r s t t r i p a r t i t e division and a bridge between the two divisions. D. The f i r s t and second phrases constitute the penultimate climax preceding the climactic apogee in E. The next three phrases echo the closing phrases in A. E. The f i r s t half of the sentence i s an intense introduction to the climactic melodic material which occurs i n the se-cond half. The entire sentence i s unusually long and i s finalized by the dramatic TSU RO cadence/coda labelled "x". F. Mirroring section C in outline, section F i s a complex de-nouement with unique KORO figures which closely resemble the t r i l l i n European art music. g. The RE-RO cadence culminates the entire Honkyoku. One general comment can be made about the preceding i n -formation. At f i r s t glance, the analysis of the entire Hon-kyoku might lead one to assume that i t i s symmetrical. How-ever, a closer examination reveals that the apparent symmetry i s entirely disrupted by the melodic material that i s not re-peated. A rough graph of the contour of the melodic intensity (as a function of tessitura) i l l u s t r a t e s this fact. 1 5 8 Example 25. Koku Reibo Form 8 C 0 ' SECTION $ Although there are many repeated phrases, they are constantly presented in new contexts, discouraging the listener from ap-prehending large units in symmetrical repetitions. 4:4:2:3 SKH Contour Analysis One f i n a l study of the SKH may be drawn which presents an over-view. Using the pivot tones of each SKH and their f r e -quency of occurrence, each SKH may be seen in p r o f i l e . The pivot tones used in the diagrams (and numbered along the "y" axis) represent the basic pivot tones i n each senritsukei, not the actual number of pivot tones which would include pivot tone re-iterations in the form of repetitions. (One exception to this general rule i s the "nayashi" which have been included in a l l cases.) The following presentation invites comparison between SKH as well. The obvious conclusion one may draw from this form of analysis i s that there i s no particular form of repetition or symmetry in any of the Honkyoku, and no points Example 26. SKH Contour A n a l y s i s 160 of s i m i l a r i t y between the three Honkyoku. In p a r t i c u l a r , note the d i s p a r i t y that e x i s t s between the four major sections of Koku Reibo. 4:4:2:4 Summary Malm (1959:161) suggested that shakuhachi music was "rondo-like" and Weisgarber (1968:324) t a c i t l y supported h i s conclusion by developing the idea i n t o a " p r i n c i p l e of moti-v i c a l t e r n a t i o n " . However, a close examination of the SKH has shown that any formal elements such as melodic or thematic r e -p e t i t i o n , or t r a d i t i o n a l cues are i n c i d e n t a l to the many com-plex melodic events ( i . e . , normative and deviant cadences) which occur between p i t c h e s . What large a r c h i t e c t o n i c s t r u c -tures there are ( i . e . , phrases and sentences) are " l o s t " i n a maze of melodic d e t a i l , with no inherent r e l a t i o n s h i p s to each other. Touma (1971:41) alludes to the same conclusion when he states that "the sin g u l a r feature of (the form of Mid-dle Eastern "Maqam") i s that i t i s not b u i l t upon motifs, t h e i r elaboration, v a r i a t i o n and development but through a number of melodic passages of d i f f e r e n t length which r e a l i z e one or more tone-levels i n space and thus e s t a b l i s h the various phases i n the development". The "tone-levels" i n Honkyoku are sentences governed by 1 2 3 toni c tones (d , d , d ) and phrases governed by p i v o t tones. 161 The fundamental tones just i l l u s t r a t e d in the above analyses 1 are not a l l equally fundamental; d has a melodic p r o c l i v i t y to 2 2 1 1 d and d has an attraction to d . In effect, d x i s a "home 2 3 tone" and generative tone. Akarui HI (d and d seem to func-tion more as "peak tones" than as points of repose because they are always immediately followed by downward progressions. This corroborates with the general tendency of normative movements to point downwards and deviant movements which move upwards. As the Honkyoku melody rises in pitch, the degree of affective tension rises in the listener (see Meyer, 1956:139); hence the fact that d^ i s a generative tone. As the Honkyoku melody " f a l l s " through i t s series of normative resolutions, the degree of affective tension decreases u n t i l the melody reaches the point of absolute repose, d^ ". Hence, 6?" also can be considered a "home tone". This principle of affective tension relative to tessitura also applies to pivot tones (i.e., phrases) but not to senritsukei where the p r o c l i v i t i e s of individual pitches (e.g., upward moving leading tones) are the central musical ex-perience. 4:5 Conclusion The melodies of the San Koten Honkyoku are "composed" in the "Iwato" mode ("Chi-senpo") of the In "scale". Although 162 "d" i s the fundamental tone (Mcho") of the mode, d* i s the generative tone and point of absolute repose (i.e., "home 2 3 tonic") while d and d act as secondary "tonics" and "peak tones". The melodies are further delimited by tetrachords 1 1 2 2 and pentachords articulated by "pivot tones" (d , g , d , g , d 3) which get special cadential emphasis. A l l the other tones in the mode (i.e., c, e , f, a , b r) and "foreign" to the mode (a^, b*j) which comprise the rest of the Honkyoku tonal mate-r i a l , "gravitate" according to their respective p r o c l i v i t i e s . Tonal pro c l i v i t y functions on three different levels. At the most immediate level, senritsukei, each tone has a pro-c l i v i t y to another specific tone^ This level represents the most obvious aesthetic experience for the listener, because the slow tempo and deliberate melodic movements, supplemented by performance practices, bring the tonal p r o c l i v i t i e s and 1 their resolutions into the highest r e l i e f . On the next two levels, pivot tones delimiting phrases and fundamental tones delimiting sentences also act with p r o c l i v i t i e s . Because of the relationship of affective tension to tessitura, higher pivot tones gravitate to lower pivot tones, and higher funda-mental tones gravitate to lower fundamental tones. The "form" of the SKH melodies may be roughly described as "Fortspinnung" (see Apel, 1969:329) with occasional melodic 163 r e p e t i t i o n s that appear almost i n an a l e a t o r i c manner, rather than as points of macro-structural reference. CONCLUSION The Kinko-ryu i s a fraternity of musicians who share a common legacy and a deep commitment to i t s inherent philosophy and aesthetics. Its unique medium, the shakuhachi, and i t s oldest traditional music, Honkyoku, were designed to act as a vehicle for Zen Buddhist enlightenment in much the same manner as the "ox" in the famous "Ten Ox-herding Pictures" of Zen Buddhism (see Suzuki, 1961:363-376). Both the instrument and i t s music were adapted from previous traditions which had the roots of their meditative style within their h i s t o r i c a l de-velopment. The v e r t i c a l flute in ancient China and Japan has had a long and colorful history which has been most prominent when i t s function was meditative. Whether in the context of ancient Chinese Shamanism, Taoism, or Japanese Buddhism, i t has served as an expression of s p i r i t u a l harmony (whether achieved or longed for) between the inner and outer r e a l i t i e s of individu-a l s . Whenever i t has been relegated to a purely entertainment medium, i t has never flourished as well as i t has in i t s more meditative role. 164 165 Traditional Honkyoku melodic theory i s divided into two basic areas. The rudiments (i.e., the basic meaning of the symbols of notation) are exoteric information in that they can be acquired from many sources including printed information. However, the multitudinous performance practices which are ap-plied to the skeletal notation are esoteric in that they can only be acquired from a sensei. In this way, the h i s t o r i c a l continuity of the essential s p i r i t of their performance i s i n -sured. This s p i r i t i s reflected in the spontaneous freedom of interpretation that each performer i s allowed to bring to the music, resulting in a sense of improvisation despite the re-strictions of a notation. An analysis of the San Koten Honkyoku, a representative sample of the Honkyoku literature, has shown that they are through-composed (i.e., a-formal) because "the concept of a form involves abstraction and generalization" (Meyer, 1956:57) — a noetic frame of mind which i s unequivocally antithetical to Zen Buddhism. Honkyoku melodic events only function at an immediate architectonic level, "co-existing in an all-encompas-sing, but fluctuating, present" (Meyer, 1967:167). However, they are not aleatoric or fragmentary because each event i s intimately related to i t s immediate neighbour according to specific laws of modality. This system of immediacy i s re-ferred to by Zen Buddhists as "Inga-Inchinyo"—cause-and-166 effect oneness, a central concern of the phenomenologists (e.g., Pike, 1970) and existentialists in the West, and the meditative philosophies in the East. The quasi-improvisatory style of Honkyoku performance practices coalesce with another key Zen Buddhist concept— "mu-shin no shin" (the mind of no-mind). Ornamentation, am-plitude, timbre, and rhythmic idiosyncracies which are o b l i -gatory in lessons become optional and variable in performan-ces after the student has acquired this Zen Buddhist perspec-tive with the guidance of a Sensei. Those students who f a i l to do so become mimics, some of whom, however, develop the highest level of technical mastery and public adulation. How-ever, "mu-shin no shin" exists in inverse proportion to the level of self aggrandizement, resulting in few performers who exemplify and practice "the way of the bamboo flute"—Takedo. True Honkyoku performances are a solitary act of medita-tion, even in the occasional presence of an audience. It i s during these moments that the performer may catch a glimpse of Kensho, irrespective of a technically flawed or perfect performance. And, li k e Chikan Zenji's perception of "the clatter of a broken t i l e " (Ross, 1960:61-64), the listener may also experience Kensho i f his powers of meditation and understanding equal the moment. NOTES CHAPTER 1 1. Note that Japanese nouns do not have a plural form. 2. Through experimentation, Yoshio Kanamori (1969:459-^73)has discovered an extended range that includes 93 different kinds of sounds and more than a 3-octave ambitus. 3. Williams (1960:100) has found that the crane i s "the bird who carries away the souls of the dead in China", sugges-ting a shamanist influence. It i s interesting to compare the same ancient reverence for cranes in Europe. This fascination in the powers of the crane even extends to the use of the word "tibiae" in Renaissance music (see Arbeau, 1967:39). This word refers to the shin bone and legs of the crane, and small, ver-t i c a l flutes (as in "pipe and tabors"). "Tibia"is the Latin II II equivalent for Aulos. 4. The more common appearance of this term i s "Ryugin" (dragon sound), a mythological and shamanistic reference to the sound of thunder in rain clouds (an auspicious sign). Ryugin i s also a technical term for the Gagaku note',F1':"(i.e., shimomu). I wonder i f "Ginryu" i s an example of an early 167 168 scribe's e r r o r becoming sacrosanct t r a d i t i o n ? 5. The Chinese character f o r Suga ("£*) i s comprised o f the Chinese r a d i c a l s f o r "reed" (kusa r t ) and " v e r t i c a l f l u t e -pipe" (kuan ). The Chinese character "gaki" i s synonymous with "byo" which means "fence" but which i s a c t u a l l y a t e c h n i -c a l term f o r the l i n e a r arrangement of pipes i n pan-pipes (sho) and mouth organ (sho). 6. Preliminary study on my part has shown that the "Hachikaeshi" melody has the same rec u r r i n g notes as "Hi, Pu, Mi" but an octave higher ( i . e . , d 2 , g 2, d 3 ) . 7. Garfi a s (1975:143) writes that "Banshiki-cho i s per-haps the most evocative and expressive of the Togaku choshi. I t i s t r a d i t i o n a l l y associated with the season o f Autumn, which because of the-.decay of l i f e brought f o r t h i n the Spring i s valued as the season o f meditation and deeper a e s t h e t i c s e n t i -ments. Compositions i n t h i s choshi are selected f o r performance at Imperial and Noble funerals." Later he says that "much of the character of Banshiki-cho f o r both the fue and h i c h i r i k i l i e s i n the f a c t that almost every degree except the fundamen-t a l and f i f t h i s treated with some type o f embellishment." ( i b i d . , 144 ) . Both of these quotes are strongly reminiscent of the aesthetics surrounding Honkyoku and t h e i r melodic con-f i g u r a t i o n s . 8. "One o f the oldes t datable motifs i n Asian mythology 169 i s that of the l i s t e n i n g deer. I t appears i n the form of two deer flanking a p r i e s t on seals from Mohenjo-daro, e a r l i e r than 2000 B.C." "A Tibetan monk sa i d he believed Tibetan hunters had a c t u a l l y used music to a t t r a c t deer. Musical deer hunting i s a widespread p r a c t i c e i n A s i a . In every case (reported i n t h i s a r t i c l e ) , a musical instrument i s used for the same pur-pose: to imitate the deer's mating c a l l . " (Ellingson-Waugh, 1974:23-24). 9. The use of the word "true" may stem from the f a c t that the Kinko-ryu and Meian-ha Shin Kyorei are quite d i f f e r -ent. A s u p e r f i c i a l examination of the Meian-ha version r e a d i -l y uncovers the fac t that i t i s melodically s i m i l a r to the Kinko-ryu Banshiki-ch5 Honkyoku, but i n a s i m p l i f i e d form. 10. The e a r l i e s t names of the San Koten Honkyoku, and the names s t i l l u t i l i z e d by the Meian-ha, are Kyorei, Koku-ji and Mukai-ji. 11. Japan i s not the only Asian country to have func-t i o n a l and independent Prelude types. The most notable exam-ples of functional Preludes are the Indian "alap", Indonesian "buka", and Middle Eastern "Taqsim". S i g n i f i c a n t independent Preludes are the Persian "Avaz" (Nettl, 1972; Zonis, 1973), the Arabian independent "Taqsim" (Touma, 1971), and the Chinese "Tao-I" (Liang, 1975). The most important d i f f e r e n c e between 170 the Japanese and Chinese Preludes and the other Asian Preludes is that the former have a skeletal notation. 12. "Chikudo" i s the more grammatically correct term, because i t employs the on-yomi (Chinese) readings for both kanji, instead of mixing a kun-yomi (Japanese) reading (i.e., "Take") with an on-yomi reading (i.e., "Do"). However, "Take" seems more appropriate because i t i s a traditional synonym for "shakuhachi" among the Kinko-ryu musicians, and because the tradition of Honkyoku i s as indigenous to Japan as the word "Take". 13. A most interesting and curious: fact i s that the transliteration of "Shikan" i s "themeless" (i.e., non-struc-tural), while i t s l i t e r a l meaning i s "wandering flute". 14. Adriaansz (1973:227) brings this same point forward in his outline of koto performance practices. It should be noted that some of the techniques required for performing J3on-kyoku, particularly the movement of the head during "meri-kari" tonal inflections, militate against a perfectly "tran-qu i l " composure. However, i t has been my experience that a number of shakuhachi performers exploit these techniques for purely dramatic effect. Whether the drama of performance de-tracts from or enhances their musical expression w i l l be d i s -cussed in the Conclusion. CHAPTER 2 1. It may seem redundant to use the word "end-blown" in a description of v e r t i c a l or horizontal flutes, but there are flutes which are blown in the middle (see "The c l a s s i f i c a t i o n of the Flute," by Adolf Veenstra in Galpin Society Journal, Vol. XVII (1964), pp. 54-63). The Chinese "Ch'ih" (see Gimm, 1966:127) has had two forms: an end-blown transverse flute (S-H 421.121.12) and a middle-blown transverse flute with one end closed (S-H 421.121.32). The l a t t e r flute has a short, ve r t i c a l tube in the middle of a horizontal body which i s blown in the same manner as a v e r t i c a l flute. On either side of the duct are three finger-holes. The end-blown, transverse Ch'ih (e.g., Needham and Robin-son, 1962:146) may have been more common in later Chinese music as a " f o i l " for the end-blown transverse T i , (hence the t i t l e o f Mukai-ji rather than Mukai-ti)* 2. The meaning of "Huang" in "Huang-chung" may be de-rived from the name of the mythical "Yellow Emperor", Huang-ti (c. 2697 B.C.) who in i t i a t e d the founding of the fundamental tone by commissioning Ling Lun to find the note in "the West" (see Needham and Robinson, 1962.178-79), or i t may stem from 171 172 the color of the "chung" when i t was newly cast (Kuttner, 1965: 24). 3. In the Shih Chi by Ssu-ma Chien (145-90 B.C.), the length of the Yo i s usually recorded as 8.1 inches (ts'un), i.e., .81 feet (ch'ih). (See Chavannes, 1897:111,314 and Need-ham and Robinson, 1962:187.) 4. A study of the Chinese character for Yo reveals an interesting theory concerning i t s organology. The earliest Yo mentioned in the L i Chi (Legge, 1885:11,35-36); Couvreur, 1950: 1:2,736-37) i s described as a reed v e r t c i a l flute, HWei Yo". Later forms of the word Yo show i t associated with the bamboo radical (a grass rather than a reed, in the popular rather than botanical sense) implying that i t was assimilated into Chinese culture by making i t with a more indigenous material. This ety-mological change has been used by Josango (1971:7) to support Tanabe's diffusionist theories (see Tanabe, 1959:25) that the origin of the Chinese ver t i c a l flute i s in the ancient Middle East. In the fourth millennium B.C., the v e r t i c a l reed flute was recorded in Sumeria (Galpin, 1937:13-14) and Egypt (Farmer, 1957:268-69; Hickmann, 1961:180) where i t was called the "Sebi". The reed flute can s t i l l be found in the Arab countries as the "Nay" and in the outermost reaches of Moslem influence, Indo-nesia, where i t i s referred to as the "Suling" (Malm, 1967:22). Tanabe suggested two possible periodsoof- diffusion, both of 173 which are dependent on Alexander the Great's eastern conquests in the 4th century B.C. The ver t i c a l flute may have proceeded directly across central Asia via the Silk Road in the 4th cen-tury B.C., or i t may have f i r s t found i t s way into India, and then accompanied Indian Buddhist evangelists when they travel-led to China in the 1st century A.D. Although both theories are now suspect, the basic idea of West-East diffusion i s s t i l l considered v a l i d . Using Legge's date (Legge, 1885:11,35), the flute may have been imported not later than the 3rd millennium B.C., but, more probably, during the Hsia Dynasty (2nd millen-nium B.C.) . Another perspective of the Chinese character for Yo sug-gests a different definition. The lower half of the character can be interpreted as "three mouths" ( ooo) in one ( coo), blow-ing over three pipes ( ), i.e., panpipe, while the upper half suggests a r i t u a l sanction in the form of a "roof" (v / V s*), i.e., temple, sign. However, Morohashi (1955r-60:XII, 1159), one of the foremost authorities on Chinese character etymology, does not support this view. Finally, the Yo ve r t i c a l flute i s often described as having three finger-holes (as opposed to three pipes in the a-bove interpretation) which suggests a performance practice simi-l a r to the medieval European Pipe (as in Pipe and Tabor). Where-as the European Pipe and Tabor performers carried a drum stick 174 in their other hand, the Wen Wu dancers carried a pheasant feather, T i (see Schafer, 1963:111). 5. Neither the Wen Wu dance or i t s associated Yo i s found in Japanese court dance music (Bugaku) because they were incorporated in Chinese r i t u a l music (Ya Yueh) which was not imported into Japan. The latt e r only received Chinese secular and "foreign" music (see Malm, 1959:78 and Garfias, 1965:9-11). In the present-day Korean court orchestra (A-ak), the Yo appears as a three-hole ve r t i c a l flute called "Yak". However, the Wen Wu dance and symbolic Yo disappeared from the A-ak re-pertoire some time after the 8th century (Chang, 1969:291,318). 6. It i s interesting to compare the same confusion of information that surrounds the Greek "Aulos", supposedly impor-ted into Greece in the 1st millennium B.C., the same time period that saw the movement of the Yo from the Middle East into China. Although the f i n a l consensus was that the Aulos was a double-reed wind instrument, I wonder i f the original, "mistaken" d e f i -nition of Aulos as "fJLutes" might be re-investigated in the ligh t of the Kuan re-definition. 7. Needham and Robinson (1962:145(e)) describe a v e r t i c a l flute which they c a l l T i , dating from the Warring States Period (480-221 B.C.), with a dragon head on i t s mouthpiece. 8. Another distinction between the Tung hsiao and Ch'ih-pa that is usually cited i s the oblique cut on the blowing edge 175 of the mouthpiece. The former i s cut inward while the Ch'ih-pa i s cut outward. It has been my experience that the direc-tion of the cut i s moot. 9. Although the length of the Yo (.9 feet) seems to have remained consistent, the pitch of the Huang-chung and, there-fore, the length of the Huang-chung Kuan, was highly variable. Yang Yinniliou found " t h i r t y - f i v e pitch reforms, extending from the late Chou Period to the Ch'ing Dynasty, during which the pitch varied from d* 1 to a 1" (Pian, 1969:154). Some of the lengths of Huang-chung equivalents suggested by authors men-tioned in this paper are "1.8" (Liu Hsu), "3.8" (Tu Yu) and "2.4" (Ying Shao). 10. Sato Harebi (1966:1) describes the musical bodhi-sattvas as "Gigaku Bosatsu". Gigaku, a music genre which ac-companied dance-pantomimes, was imported by Mimashi (c. 7th cen-tury) from the ancient Chinese province of "Wu" (also "Kure" and "Go" in Japanese). Although the province's p o l i t i c a l fortunes waxed and waned, the dialect of the area, also named Wu, re- .'. mained extant allowing us to locate Wu in the v i c i n i t y of the lower Yangtze River around Nanking and Shanghai (Reischauer and Fairbank, 1958:60). The province of Wu i s co-incidentally the • traditional source of the most treasured species of bamboo, the "purple bamboo" (Kuretake) and "mottled bamboo" (Madaradake), (see Harich-Schneider 1973:61 and Schafer, 1963:133-34). Hence, 176 the frequent references to "southern bamboo" such as the t i t l e of Hakuga's major source, Nanchiku-fu. 11. It i s apparent that Harich-Schneider (1973:102,195) mis-translated this piece of information. 12. The relation may be interpreted as three lengths of vert i c a l flutes under the generic name of "Yaku" (Ch. Yo). 13. The passage in question was incorrectly translated by Waley (1960:110) as a "large flute". Kencho Suematsu (1974: 133) translates the passage as "A large h i c h i r i k i and a saku-hachi (sic) (two kinds of f l u t e ) . . . " . 14. "Flowers in f u l l bloom / should loathe / the unex-pected wind / of someone blowing and blowing; / a Komoso with his shakuhachi." (my translation). hanazakari m. <) fuku-tomo dare ka < •4-itofu-beki •h-kaze n i wa aranu R * < S * t iff-komo no shakuhachi St •b' is I s 15. This theory offers fresh support for Tanabe*s d i f -fusionist theories outlined in Note 4. 16. "With the collapse of the Ashikaga Shogunate as a central governing body in the Onin War (1467-77), i n i t i a t i v e in Ming trade was more and more assumed by certain daimyo houses in Kyushu." (Varley, 1973:96). No doubt the Shimadzu 177 was one of the daimyo concerned, necessitating the question, "Did the Tenpuku originate in China?". Again, the answer should probably be "no" in the l i g h t of my discussion regar-ding Mo-so and Komo-so. 17. Major sources of music and information concerning the hitoyogiri are: 1. Doshokyoku (1657), anon.; 2. Shichiku Taizen: Ikanobori (1687), anon, (see Ki s h i -be, 1960:160); 3. Shichiku Shoshinshu (1664) by Nakamura Sosan. 18. In the Japanese-English Buddhist Dictionary (1965: 159), the entry under "Kakushin" indicates that the shakuhachi teacher was Chang Hsiung (Cho Yu), the 15th patriarch. 19. Conterminous with the Kakushin legend i s a lesser-known myth concerning Kakua ( f l . 1180), a Buddhist priest and scholar of the Shingon Sect who studied Zen in China before Ei s a i (1141-1215), the traditional founder of Zen in Japan. Muju Ichien (1226-1312) recorded in his Shaseki-shu (Book of  Sand and Stone, 1279) that Kakua was such a recluse that his pilgrimmage to China and his subsequent learning went unre-corded. However, one piece of information has survived; Em-peror Takakura (r. 1168-1180) requested Kakua's presence as a tutor of Zen Buddhism, whereupon Kakua arrived at the court, blew a single note on a "flute", and then l e f t , never to be 178 heard from again. 20. Weisgarber (1968:314) cites 1642 as a founding date. 21. For this reason, the i l l u s t r a t i o n of a woman holding a shakuhachi in The Music and Musical Instruments of Japan (Pig-got, 1893:43) i s very curious. 22. Despite the popularity of the shakuhachi in the San-kyoku ensemble, i t has been my personal experience that the "transplant'' i s actually unsuccessful. The kokyu i s eminently compatible because i t shares many of the same characteristics of the shamisen (see Malm, 1975:163) and i t offers an excellent balance of sound in the ensemble. On the other hand, the sha-kuhachi i s barely audible in the l i v e performances and the pyro-techniques of performing Gaikyoku (especially the meri-kari notes which require almost constant bobbing of the head) are unnerving. Further, the traditional nuances are entirely lost in the scramble for notes. Other than the satisfaction of suc-cessfully completing a Gaikyoku performance, I have yet to be convinced of i t s aesthetic pleasure. 23. After having been introduced to Tanaka Sensei by Mr. Weisgarber, I was fortunate to study with him during the F a l l and Winter of 1972-73 in Kwansei Gakuin University (Nishi-nomiya, Japan). CHAPTER 3 1. The process of developing a rapport between sensei and student i s one of the most interesting aspects of Japanese sociology. The spectrum of relationships ranges from the un-pretentious homilies depicted by Malm (1959:170-77) to the sub-lime and yet pragmatic "mondo" related by Suzuki (1959:13-15). They a l l stem from the prototypical relationship of the Zen Master to his disciples in which his "medium i s the message". 2. The syllables theoretically have kanji equivalents but they are not recognized by the ryu. me(ri) () shaku(ri) ;]f| C) ka(ri) IJjjT L) tsu(ki) Jjj£. £ su(ri) f g l) yu(ri) f § ') ko(mu) ]7l $J mura-iki ko(mi) Z2L 3I Also, kanji equivalents exist for the two abstract sym-bols : Na(i)yashi Odoriji 3. One may find the technique of moving the head and jaw throughout the history of the Western flute, but only in the context of tuning—never as melodic ornamentation. 179 CHAPTER 4 1. After formulating this hypothesis from my own studies, I found a similar hypothesis (albeit with no supporting evidence) stated by Hornbostel (1975:50-51, 65-66) in his "Studien uber das Tonsystem und die Musik der Japaner", (1903), and found in Hornbostel Opera Omnia I (Martinus Nijhoff: The Hague, 1975). 2. Various authors have described the phenomenon of sen-ritsukei as: "melodic germs" (Malm, 1959:162); "melodic patterns" (Malm, 1963:64); "melodic c e l l s " (Weisgarber, 1968:319); "stereotyped interval units" (Kishibe, 1969:53); "stereotyped motives" (Harich-Schneider, 1973:333); "stereotyped mosaic" (Harich-Schneider, 1973:333). In the music theory vocabulary of Shomyo, vocal senritsu-kei are referred to as "kyokusetsu" ("vocales forraules", see "Bombai", 1930:106). 3. There i s some controversy surrounding the definitions of the words "onkai", "senpo", and "choshi". In the following pages, each word w i l l be introduced with detailed explanations. "Onkai i s a relatively new word coined by Japanese music 180 181 scholars to tr a n s l a t e the Western music term, "scale" (Ongaku  J i t e n , 1965-66:1,369). The four basic scales of Japanese music, Ritsu, Ryo, In and Yo, have t r a d i t i o n a l l y been l a b e l l e d as "senpo" (" c i r c u l a r law"), or simply "sen", which i s translated as "mode" (Ongaku  J i t e n , 1965-66:111,1626). The reason for t h i s nomenclature l i e s i n the fac t that each of the four scales can be modally permuted (e.g., Kitahara, 1966) and modally re l a t e d to each other (e.g., "Bombai", 1930:103-104). The modal "solfeggio" that i s used to i d e n t i f y note p o s i -tions i n any given mode i s adopted from Chinese nomenclature. It consists of two variant systems which are adapted to i n d i -v i d u a l scale systems. The Ryo senpo consists of the following s y l l a b l e s : Degree No.: 1 2 3 4 5 6 7 Degree Name: Kyu Sho Kaku hen-Chi Chi U hen-Kyu The Ritsu/Yo and In senpo mode degrees are l a b e l l e d : Degree No.,: 1 2 3 4 5 6 7 Degree Name: Kyu Sho ei-Sho Kaku Chi U ei-U The s y l l a b l e s that are preceded by " e i " or "hen" are c a l l e d "hennon". Their nomenclature i s adopted from Chinese ("pien"); but t h e i r function seems to d i f f e r from Chinese music and other Asian cultures that adopted Chinese music. Current d e f i n i t i o n s of rela t e d hennon range from Rulan Pian (1969:677), 182 who defined pien notes as secondary notes (see Yasser, 1932), to Tran Van Khe (1967:225), who found that Vietnamese hennon were exchange tones ("metaboles") which signaled a modal modu-lation he called metabolation (also see Reese, 1940:160-61). The definition of hennon in Japanese music i s currently understood to be as follows: They are used in conjunction with Japanese pentatonic scales, making Japanese scales essentially heptatonic, and they are never used as fundamental tones for modes (see Adriaansz, 1973:31-33) or as metaboles. (An excep-tion to the latt e r may exist in Shomyo which are essentially pentatonic. See Docho, 1969:73-120.) A second interpretation of their role as "exchange tones" can be posited without reference to Tran Van Khe's theory of metaboles. Assuming that the hennon are related to their lower neighbours (sho/ei-sho = E^/F, .and u/ei-u = B^/C), one can see their "exchange" roles in the "Miyako-bushi" system (see Kishibe, 1960:129). . . - .__ . The relationships shown by the arrows w i l l be described in this thesis as upper and lower leading tone cadences. Returning to the subject of definitions, the word which has provoked the most confusion i s "choshi". Even the anonymous 183 author of the entry for "choshi" i n Ongaku J i t e n (111,1876) did not supply the customary English t r a n s l a t i o n because of the obtuse understanding of t h i s term. Malm (1959, 1963:index) and Minagawa (1963:237) omitted t h i s c e n t r a l word i n t h e i r glossa-r i e s . I b e l i e v e that Harada (1963:962), Weisgarber (1968:325), and Harich-Schneider (1973:631) i n c o r r e c t l y t r a n s l a t e d "choshi" as "mode". Translations (some by inference) which are c l o s e r to the facts are supplied by Malm ("modulatory s c a l e " ; 1963:61), Adriaansz ("tuning scale"; 1973:484), and Masumoto ("tonality"; 1969:325). The words which are probably c l o s e s t to the meaning of "choshi" are "tonal transpositions" (as opposed to modal transpositions) c l e a r l y evident i n the following chart of Ryo-senpo and Ritsu-senpo "transpositions" (brackets i n d i c a t e hen-non). Ritsu Choshi oshiki-cho hyo jo banshiki-cho t a i s h i k i - c h o te* £ 3 T-t (•) f 1 1 184 Ryo Choshi sojo ichikotsu-cho suicho taishiki-cho i 1 1 ' fnt— /-• — fJt—.— ——- (») ,» r fr? r -f—1 1 — L v ,. t r T J 1 1 1 1 (Concerning the bracket around the in sojo choshi, see Harich-Schneider, 1973:128-129). Each of these scales i s identified by the name of i t s fun-damental tone ("cho" or "jo") which, in Western music, i s called the tonic. The names of a l l Japanese tones are immutable and in-dependent of modal or tonal transpositions, or octave placement. The reader should not confuse these scales with Western music modes. For example, the ill u s t r a t e d scale of oshiki-cho i s not the "re" mode of G Major Mode (see Apel, 1969:753 under "Scale, III") but rather the Kyu mode (i.e., "do" mode) of A Ritsu Mode (i.e., oshiki-cho, Ritsu-senpo). The difference between "cho" and "choshi" i s that the for-mer can be translated as "key" (e.g., the "key" of ichikotsu, 185 i.e., tonic = D), whereas the la t t e r ( l i t e r a l l y translated as "key off-spring") refers to the entire musical entity, whether i t be a scale or a composition. It i s interesting to note the transliteration of the kanji for the Zokugaku (Edo Period popular music) choshi nomenclature hints at extra-musical associations. The common choshi.are: Hira — common, standard Akebono — dawn Nakazora — mid-day Kumoi — sky, high noon Masumoto (1969:291-326) has suggested that extra-musical associations constitute part of the meanings of Gagaku choshi. Another relevant definition i s that of "senritsu", an elegant and ancient denotation for "melody". (A: more humble synonym i s "kyoku".) From this word are derived "senritsu-kei" and "senritsu-po" ("music theory"). 4. Both the In scale and the Fuke shakuhachi were i n d i -genous to urban Japan at about the same time (i.e., 16th cen-tury, see Adriaansz, 1965:9,33). I have wondered i f the Hito-yogiri and i t s music went the way of the extinct Tsukushi-goto because both genres did not adopt the "new" In scale, unlike the Fuke shakuhachi and Zoku-so. 5. The "natural" scale of the shakuhachi i s the "rural" scale, Yo-senpo, which has the same basic configuration as the 186 Gagaku scale, Ritsu-senpo. Several authors (e.g., Harada, 1963: 962) have suggested that only two scales actually exist in Japan, a "Sino-Japanese" scale (Yo/Ritsu-senpo and i t s variant, Ryo-senpo) and a "National" scale (In-senpo). The former proba-bly preceded the latte r because the In-senpo i s not heard of u n t i l the Edo Period. The Yo/Ritsu-senpo was the most popular scale during the golden age of Gagaku (Adriaansz, 1973:33) and may very well have been indigenous. The "Miyako-bushi" equivalent for Yo-senpo i s called Inaka-bushi, and appears in the following manner: • j f=^r — / [t ^ n ~ \ J S> <s 1 C7 6. Malm (1959:160-161) suggested the same conclusion in an obtuse footnote. His reference to the Home Tones D and A originates from the example labelled "figure 16" which i s a transposed transcription of the f i r s t seven senritsukei of Hi,  Fu, Mi, Hachi Kaeshi no Shirabe. The f i r s t bar (which should be notated an octave lower) i s written in three fla t s (i.e., Chi-senpo, D cho). The same bar i s then transposed down a perfect fourth to Chi-senpo IV, A cho, and the rest of the example continues in this same tuning, supposedly so that the In scale diagrammed below with two flats concurs with the mu-sic example. If the entire music example were transcribed 187 c o r r e c t l y , the text on page 161 would read, "Figure 16 i s the f i r s t phrase of a composition whose f i n a l p i t c h i s G.,.j D seems to p r e v a i l throughout. It might prove enlightening to forget the Japanese c l a s s i c a l theory of Yo and In scales and re-analyze Edo music on the bas i s of scales on what i s now considered to be the dominant p i t c h (D)". 7. Piggott, 1893:92,98; Hornbostel, 1903:39; Yasser, 1932:50; Peri, 1934:61; Sachs, 1943:125; Picken, 1954:590; Picken, 1957:146; Malm, 1963:84; Tran Van Khe, 1967:43; Weis-garber, 1968:331. 8. Examples of ambitus a r t i c u l a t e d by p i v o t tones are found i n Nohgaku and Biwagaku which, i n turn, were d i r e c t l y influenced by Shomyo music theory. In Nohgaku, the three pivot tones are l a b e l l e d "Jo" (low), "Chu" (middle) and "Ge" (high), and they are a Perfect 4th apart (Akira Tamba, 1968: 217). By comparing the melodic theories of the above genres with Honkyoku, a more d i r e c t l i n k may be uncovered between them. 9. There are two other types of rhythmic delays which can be used to delay the re s o l u t i o n of HA to RO. Both include the i n t e r j e c t i o n of RA. 188 0 — — N —J ' Jin — * y—± / (l 1 r v. J 1 1 (. 10. The purposeful interjection of a foreign tone (i.e., K\) into a Honkyoku may be interpreted as a "modulation", but the evidence does not support the use of this word (despite the fact that Honkyoku syllables may be chromatically altered to accomodate a movable "do"). The direct evidence i s very simple. The AS never re-places A , i t acts in conjunction with i t , creating a brief sense of melodic expansion. Two traditional facts also indicate that modulation does not exist in Honkyoku. First, the shakuhachi comes in a wide variety of sizes similar to the consorts of instruments in Renaissance Europe, but di f f e r i n g in that their sizes are one-half tone apart, amounting to approximately twenty sizes. Like the shinobue (Malm, 1963:99), this arrangement grew out of the need to accommodate any variation in "tunings" (Ryutaro Hattori, 1966:223), i.e., modulations from one key to another. Second, the Honkyoku duets are composed in a style called Fuku-awase, which i s almost exactly the same compositional procedure as Dangaeshi, a specialized form of Koto Uchi-awase (Adriaansz, 1973:16). Any two melodic lines of common tuning may be juxta-189 posed because they have an "unchanging melodic structure" (Malm, 1959:182), i.e., they do not modulate. In the Honkyoku duets, different melodic sections (not called "Dan", however) of the related solo are juxtaposed to form the duet version. 11. See "thematic germs" (Malm, 1959:162) and "theme mo-t i f s " in Persian avaz (Nettl, 1972:25-28). Neither of these concepts i s relevant to the idea of Honkyoku "themes" because the latt e r i s comprised of many "germs" or "motifs". APPENDIX A SAN KOTEN HONKYOKU TRANSCRIPTIONS The decision to transcribe these compositions in the following manner was arrived at through consideration of the nature of the music. Individual performances are subject to countless variables tempered by the Zen Buddhist sense of im-mediacy which dpes not judge one performance better than ano-ther. In fact, the aesthetics of "shibui" allow for sponta-neous melodic events which a new listener might interpret as mistakes. Therefore, a detailed transcription of any one performance runs counter to the "gestalt" of the music. The following transcriptions represent an ideal appli-cation of performance practice details taught by Tanaka Yudo. Melodic ornamentation and articulation have, been il l u s t r a t e d by juxtaposing them against the given notation;, the former were drawn with upward-turned flags, while the latter were drawn with downward-turned flags. Melodic inflections have been shown using heavy, black lines that follow a given note. The five-line staff has been u t i l i z e d in the following manner in order to i l l u s t r a t e the various inflections. (Note that " ' ' : • 1 9 0 191 the unusual key signature i s comprised i n a configuration that L avoids the suggestion of Ev Major.) The short, v e r t i c a l l i n e s placed at regular i n t e r v a l s along the bottom l i n e of the staves suggest a progression of time representing approximately 30 beats per minute. Tonal dynamics are so subtle that only a sonograph can do them jus-t i c e ; therefore, they have been omitted. The numbers found i n the top l i n e ( i . e . , Japanese notation) are added for re-ference purposes; the v e r t i c a l dashes on which they rest are major breath marks. T r i l l s are marked with a "+**. Mukaiji Reibo 192 194 195 197 it fin \ so ; JJ__ I J J SIC u o i J to. ID SIC" &A •n-u 15: 4 1 ^ 198 199 T P m 0 - _ 0 * • V-5 r>'. 1 0 \ ©0 a-II-IB . 4L t 201 202 1 Koku Reibo 203 204 205 207 208 209 210 211 Shin Kyorei 217 218 219 220 221 222 i APPENDIX B THE SAN KOTEN HONKYOKU SENRITSUKEI The following s e n r i t s u k e i (Total = 270) have been grouped according to t h e i r f i r s t and l a s t notes. The number at the top of each s e n r i t s u k e i indicates frequency of occur-rence. Those few anomalies which occur because of staggered breath marks have been corrected i n order to i l l u s t r a t e t h e i r o r i g i n a l forms. For example, a TSU-RE s e n r i t s u k e i that has been divided by a breath mark i s recorded i n the following pages under TSU-RE, rather than a singular TSU i n one place and a lone RE i n another. For the sake of conve-nience, SS notations have been employed. 223 224 225 CHI T + < < m e r i CHI t tr. *1 f i i f f f f f f 4 «p ^  ^ > ? >> V f # t Y + f ? 7 7 / j 2 1 226 U RE 5> '*? i- ? f RI ? V ? t> 1> t> ? 9 I t ? 1 ') 1 0 ? * ^ " <) T V ? i ? id. 227 HI 2 2 7 1 1 1 1 1 d d d d d c f f t t f t -3. 'i 1 0 ^ *> V f f 15 8 r d ,tl d d d tp* t>" ? B f i ? ?<*! 7 8 i ) #7 i f ' &* < * i\ It > d c?i t5fl d m e r i HI ^ * r i ^ 4 i £ ^ t_ d V d *"> 228 H A / \ /_\ /=\ /5\ /*\ /*\ /fA y^ v /*\ / \ s / \ s Dai - K A N H A 22. 3x ? 3L. ' A Ai u 6 o / . f t s/a\ 8/ \ 8/ \ / V / \ "7 S 3l-KORO 7 1 ? o ? 3 6 6 4 f 1 1 6 6 6 9 6 T ? ? ? ? APPENDIX C FINGERING CHART The holes in the shakuhachi are numbered one to five from bottom to top. D i a c r i t i c a l numbers (suji) usually i n -dicate open holes, while the other holes are assumed to be closed. constantly on the instrument, acting as braces. Kari fingerings are executed with the head and jaw in the normal playing position. Meri (or chu-meri) and dai-meri fingerings require the head and jaw to be lowered in order to lower the pitch to the required degree. For the sake of convenience, SS notation has been used. klofc to 5c«tk Note that Finger 2 in both l e f t and right hands remain 229 230 bo fro v ^ • e b ^ L ^ 'jo g k a r i ft ft ft ft 0 9 ft ft ft ft ft 0 •_ 0 0_ ft 0 meri ft ft (chu-meri) ft ft ft 6 e o _ _ dai-meri 9 ft 9 ft ) • • 0 ft ft 0 0 0 0 0 0 0 ft 0 0 0 ft ft ft ft ft 9 ft 9 e " e e 0 ft 0 0 8 (9) 0 9 9 0 e o 0 9 0 0 9 9 231 Kari Finger A r t i c u l a t i o n s also 8va & ti & 8 fc 3: • 0 9 t _ o - t §-o-« • o I 0 - 0-f • 0 - 0 - i t - 0 - » 0 - « - 0 0 0 9 -0-t 0 9 -0 -0 0 C-O-t § • 2° c-o-o 0 0 « - « - 0 0 0 o-o-o 0 o o o i o-f - 0 • Meri Finger A r t i c u l a t i o n s also 8va 1/ [ , 4 4 f l 4, fl -r - f 3 u — J.L (fc—T pJ bo p* y " t r — r < < t — 1 1 t-0-9 >1 v ft ft-0-ft 0 0 0 • _ 0 - i © 0 0 0 \ i i n i r • - 0 - i © 0 0 0 / \ 5 232 Special Fingering Sequences 9-A? ^ 5 * = 0 - JSZ 0 9 0 0 0 0 0 _9_ 0 • 0 e o 0-9-0 (repeated 0-0-9 J Notated Finger Articulations - — m s -p fcl * i 1_ >. H } t fl 9 kavt 0 9 9 9 9 9' i 9 4 - 4 1 — +0-9-0 0 0 0 0 - g^ 4 0 0 _9_ 0 9 0 >-0-< 0 9 9 * e-9-e 0 9 9 Vvxtrt US 9-9-9 N.B.; + and ^ signs above refer to the explanatory diagrams opposite. * 3 APPENDIX D CHARACTER INDEX 1. Names Throughout t h i s l i s t , a l l p r o f e s s i o n a l names ("Natori") have been underlined and placed i n front of the f u l l name, ( i . e . , n a t o r i , surname, personal name). For example, Hisa-matsu Fuyo appears as Fuyo, Hisamatsu Masagoro. Chang Hsiung Chang Po m . <e Chang Ts'an 5f # Chikan Z e n j i m n- m Ch'iu chung JX ff Dogen i i TE E i s a i En no Gyoja (Shokaku) '<k ft % 'h ft Ennin (Jikaku Daishi) I C S 3£ X gfP Fujiwara no Tokihara I I , 8 | f Fuyo, Hisamatsu Masagoro Godaigo Gokomatsu ^ 'h *& Gor5 Yamaguchi i d Lb • Goshirakawa ^ a /°J Gosukoin it ^ 233 234 G o y o z e i & B§ /& H a k u i n H i d e y o s h i , Toyotomi H u a n g - t i H u i - n e n g I k k a n , M i y a g i «, uemon — m ^ ±fe ^ ; ;& ftf PI I k k i , I k e d a Sensuke — BB <0J grj Ingyo i t , # I t c h o , Y o s h i d a Kozo — m ^ BB • m Jf = Jodo, Yamada Benzo $0 fi Lij S # M Judo, Notomi Kakua n M K a k u s h i n Kawase J u n s u k e )\\ m im m H i t o f u , K o j i m a T o y o a k i K i n k o I , Kurosawa K o h a c h i - .JE & s BB W * M yR ^ A H o t t o Ernmyo K o k u s h i K i n k o I I , Kurosawa Koemon m m w m m w * m yR m -m n H o t t o Z e n j i K i n k o I I I , Kurosawa M a s a j i r o m m n m W * m yR ft >x m H s i l t o (Kyotaku) K i n k o IV, Kurosawa O t o j i r o w * m yR & )k m Kodo I , Toyoda K a t s u g o r o m. m B3 m s. m *Kodo I I , A r a k i Hanzaburo * m j£ * ^ = m Kodo I I I , A r a k i S h i n n o s u e * ft: IfL * M 2. Bb Kodo, I k e d a l I yfi a Koma no A s a k u z u fe m M Koma no C h i k a z a n e fe i£ M Kondo S o e t s u TS: B T£ 1% K u j o M i c h i t a k a K & m. # 235 Kyoan, Fukumoto K a n s a i m. m * i * m M K y o c h i k u Z e n j i Kyodo, Uehara R o k u s h i r o m. M i g A E m L i n - c h i L i n g Lun i§ m L i u Hsu f i | * Lvi t s ' a i a Ma-tsu T a o - i -I 1 i t -M i m a s h i 3t Minamoto no D a i k e n M m m Minamoto no Hakuga M n m Minamoto no S h i t a g a u ;M m Muju I c h i e n M a — S S M u r a s a k i S h i k i b u ' W ^ Nakamura Sosan ^ ^ E. Nobunaga, Oda no Notomi H a r u h i k o m m & & 5ga no K o r e s u e x n it m Oga no Motomasa x n m Omori Sokun x m m m Oto no K i y o g a m i X F ># ± Pan Ku m m Pao Fu P'u-hua -ft Roan / Roan (a ^ Sadayasu S h i n n o ^ i* a i S e i j o ># ± S e i w a ># m Shimadzu T a d a h i s a Shimadzu T a d a y o s h i ) ^ u & ^ S : 236 S h i n j i S h u j i (Chii H s i ) I f Ssu-rna C h i e h H] ffi M Sugawara no M i c h i z a n e f JI 1 K S u i W e n - t i Pf * * T ' a i - t s u n g T a k a k u r a T e n g a i Myoan ^ ?h # Tokugawa l e y a s u 12§ Jl| ^  it Tosa M i t s u n o b u ± ft f t Tozan, Nakao R i n z o m LJJ ^ Jm 51* H Tu Yu tt ^ Tuan A n - c h i e h i£ 3? m Wu-men H u i - k ' a i M: H is M Yamamoto M o r i h i d e i_U * ft Y i n g Shao 6/7 Y o r i t a k e Ryoen ^ - t i " 7 • HI Yudo, Tanaka Motonobu s s 4s s M *Kodo I I was a l s o known as " C h i k u o " . 237 2 . M u s i c T i t l e s , Terms and P l a c e Names A number o f J a p a n e s e words i n t h i s l i s t do n o t match t h e i r c o u n t e r p a r t s i n t h e t e x t b e c a u s e t h e l a t t e r have dashes s e p e r a t i n g s y l l a b l e s ( e . g . , Komuso, Komu-so). The dashes have been added i n o r d e r t o c l a r i f y t h e r e l a t i o n s h i p o f c e r -t a i n words t o o t h e r , s i m i l a r words ( e . g . , Komu-so, Komo-so, Mo-so), o r t o c l a r i f y t h e i r meaning. A i c h i a i k i d o Akebono Akebono S h i r a b e b a k u f u * m B a n s h i k i B a n s h i k i no S h i r a b e (Cho) be Akebono S u g a g a k i m ^ i s A k i t a fX BB A k i t a S u g a g a k i *X BB m s A s h i no S h i r a b e a s h i b u e m m Azuma A s o b i Sc m n b i w a -fc e. Biwagaku I I I bombai B o n - o d o r i b o r o b o r o S: 510 bu 238 "hue ( f u e ) m • bugaku b u s h i M ± B u s h i d o ft ± it Bushu a 'Ji'l byo P b y o s h i ( h y o s h i ) Cha no Yu Chado ^ i i ch» i SI C h i c h ' i h ( f l u t e ) c h ' i h ( f o o t ) R c h ' i h - p a R A C h ' i e n Han Shu C h i k u o - r y u 1T « * C h i k u z e n - b i w a I i I I c h ' i n C h i u T'ang Shu m m * cho C h o c h i k u - f u ft n it chokan ft 1= c h o n i n BT A c h o s h i m y^-C h o - t e k i ft ® chu Chu 41 Chuden chukuan chung 239 D a i b u t s u K a i g o n - e x \k m 25 d a i g i j o * m. t i Da j o k a n p u X & t ft daimyo D a i Togaku Chugaku ^ m m * ^ Dan Edo (Tokyo) XL F (jf€ M ) ex-on i n -B e i - s h o e i - u embai f e n g Danawase d a n g a e s h i S I L Darikyu .§£ ^ danmono ' l£ *&> D a z a i f u * 3? m Do ( c h . Tao) i t Dokuso n m dosho Doshokyoku M H ffl F e n g - s u - t ' u n g a ^ i t "Fu-Ho-U u Fue-ondo ' A Fuke Fuke-an SOL s I t Fuke-shu ^ it m Fuku-awase Fukuoka F u n i 240 Gagaku m m Gagaku-ryo G a i k y o k u G a i t e n Honkyoku ^ n * ffl g a k i & (±1) Gakkaroku ^ ^ «! G a k u n i n 2£ A G a k u s e i Gakuso Ge T G e n j i M o n o g a t ^ r i "Suetsuma Hana" :M & wi m ^ m TE G i G i g a k u G i g a k u B o s a t s u ^ # Ri G i n r y u Q$ m G i n r y u Koku (Reibo ) Dt 1 I ^ ( f I ) g i r i Go Gyoso no Te Ha ( a s s o c i a t i o n ) )Jf< Ha (as i n J o Ha Kyu) m h a c h i H a c h i k a e s h i no S h i r a b e H I © p ^ H a k a t a n z Haniwa m m Hannya H a r a m i t t a t s s i t h a s a m i g u c h i m D h a y a s h i » h a y a - u t a ^ IK H e i k e - b i w a \T7 5=> 53= S=E - r E t e 241 Heike*\-monogatari Hon W. Wo II ^ h e n - c h i H o n j i - S u i j a k u m M 4t * ±fe g & hen-kyu H o n j o s h i "a" * PI ^ hennon Honkyoku H e n g - t i Honshu It © ' ' * 'j'H H i Fu M i , H a c h i k a e s h i no S h i r a b e Honte — ~ H i£ }S O P * ^ H i Fu M i Kyoku H o r y u - j i — - E. a s i # h i c h i r i k i h s i a o h i j i r i Hu-kuo-ssu H i k y o k u Huang H i r a - j o s h i huang-chung *F . m + n m • H i t o y o g i r i H u a n g - t i — m w m & Ho Sho Su h y o j o m w m ¥ P Hogaku h y o s h i Hoko I c h i g e t s u - j i 242 i c h i k o t s u 13 i c h i - s h a k u , h a c h i - s u n ( i s sh aku -h as s un) R A ^ I g u s a I g u s a R e i b o 1' f f I Ikkwan - m I k k a n - r y u I n I n a k a - b u s h i B3 # ^ ± -I n g a - I c h i n y o s m — ta i r e k o no t e A- v ^ ^ I s e I s s h a k u - s a n s u n - R E. ^ i s h i b u e I t t c h o s h i s i f Iwato I z u 3. I z u R e i b o S #t 3S ' J a k u j i ( f l u t e ) j i ( t e m p l e ) J i n r i n Kimmo Z u i A m su m E J i - u t a ife WK J o ( p r e l u d e ) J o (Noh terra) ± J o - b u k i ff qfc J o - c h o s h i ff P J o - h i k u ff 3$ j u d o it J u s o K a b u k i m m 1* Kayokyoku a z £ fi] Keicho Okitegaki : * * | Kemraotsucho i t * *&> ken Kendo m. m. Kensho J i , 14 K i a i Kinko-ryu ^ * 55SE Kinpu-ryu *s a ^ Kinsan Kyorei — is IS Kinsen Kinuta Sugomori ki-o toru ko koan 244 Kodan Kogaku " k o i t e k i chokkan" ft & a m K o j i d a n . * 9 WL K o j i k i K o k o k u - j i . PI m # K o k u - j i ^ ./ft Koku R e i b o Kokuzo-do M k o k y u . ^ Koma-bue r=j B5 & komoso « <1 komuso 3£ I i kondo " k o - r o , k o - r o " D a n a K o r o S u g a g a k i m ± i k o t e n k o t o K o t o b u k i S h i r a b e 5 * gl=l ^ K o t o j i no S h i r a b e W tt <£> P ^ k o - t s u z u m i k u ( a n g u i s h ) k u ( n o - t h i n g n e s s ) k u a n k u c h i - s h a m i s e n ' • '= kuden • • e Kumoi m' # kun-yomi aJi| ETD K u r e , Q K u r e t a k e ^ ft 245 Kuroda M ffl ft : Kyokunsho m. m & kyokusetsu mm Kyoreizan Meian-ji SS. S. LL1 8£ B f 3f "Kyotaku Denki" Kokujikai ^ m e is n =?= a? Kyoto Kyo(to) Reibo ^ ^ ^ « ' kyu (scale degree) IT Kyu (as in Jo Ha Kyu) Kyuko-an °R >i m Kyushu Kyushu Reibo A. 'J'H St IS L i Chi, "Ming T'ang Wei" *L K, m m. m. L i Chi, "Yueh Chi" Lu S Lu Kuan Liing-ti m m madaradake m n Mae-biki m ?l t Mappo Meguro Shishi § * 3BP Meian-ha m B f m Meian-ji m B f # Meian Kyokai a3, B§ t& Mikanko Miyako-bushi m ST5 mondo Monju (Sk. Manjusri) * 5* (also X I*) Moso 246 Mu-i. M u j i n E n g i 3ft ^ W S Mu j o 3ft ^ M u k a i - j i M u k a i j i R e i b o mu-shin no s h i n 3ft -fr co >t> M u s a s h i f t j g N a g a i S h i r a b e N a g a s a k i Nagauta N a k a z o r a Namima R e i b o >J£ i t i s Nan-Kuan . m m N a n c h i k u - f u N a t o r i £ IX 0 Nedake i s -,IT N e t o r i N ezasa-ha .£E >Jf< N i h o m b a s h i B * N i s h a k u - s a n s u n ~ R H TT" N i s h i m i - r y u ffi H 'A Noh Nohgaku Nohkwan N a r a O - d a i k o * * S£ odake m rr Oden o - h i c h i r i k i oko mu a * 3m A-A-247 Ome Omote Onin m c onkai W Ft On-yomi Osaka A US Oshiki St fit O s h i k i - g i r i ft Hi tD • O-shirabe A P Oshokun as m ,oteki P'ai Hsiao pien P i - l i P' u-hua-tsung ^ it ^ Rei i t Reibo i t Reibo Nagashi i t IS 3£ L R e i h o - j i it .yi # Reitatsu Rembo Renritsu no Mai J g $ 525 (7) ^ Rinyu-gaku # s ^ Rinzai-shu 8™ 7^ ^ r i t s u r i t s u k a n r i t s u s h o n m "Ro-Tsu-Re" • f£\ y ronin >£. A r o s h i 248 Ryo . S ryu /VIL ryugin I ^ Ryukyu m m Ryumeisho si m t> ryuteki ti m Sabi Saemon £ ffi n Sagariha no Kyoku T 0 m <75 & S a i d a i - j i Shizaicho a x # u m Saiho-ji ffi 77 # . Sakae Shishi * P ^ Sakkyoku ft "sakuhachi no teki" $ < ,. Ii *> oo ® samurai Sandai Jitsuroku H ft H ^ san-fen sun-i fa H # ? i & m Sanqo Yoroku = £1 ^ it San Koten Honkyoku = * A * ffl Sanjuniban Shokunin Uta-awase Sankyoku H ft Sanmi I t t a i EL 1±L — Sanya Sugagaki Sarugaku satori ' IS . I a Satsuma Sayama Sugagaki .. ft llj f S Se H Seiso S ekkyo-bu sh i 249 Sendai SenpS m Senritsukei m w m Senritsupo sensei ft ± ' ' shakuhachi R A Shakuhachi-shi R A m sharnisen E. tin t& Shaseki-shu >'> ^ M Sheng Shibui Shichiku Shoshinshu & ft w >t> m Shichiku Taizan: Ikanobori * ft * & m M Shih Chi • £ 15. Shih Ching Shika no Tone m. <n i i % Shikan-taza R m n & Shimabara & m Shimadzu S3 shimomu T 3& Shimotsuke Kyorei T I f I 1 shin Shin Kyorei M m. s Shin no Te A CO ^ Shinkyoku Iff ft shinobue Shingon-shu -s- -=-Shinhoshi a >4 Shinto i t Shinzei Kogaku Zu m m * mm 250 Shirabe f l ) ^ Shirabe-mono m *< %t> Shishi m * Shizen no Ne Shizu no Kyoku m m z ft Shizuoka sho (mouth organ) sho (pan-pipe) sh5 (scale degree) Shoden shodo I fi i t shofu Shogun ¥ shoka shokunin m A Shokunin Zukushi Uta-awase i A § L t ^ * shomyo shonin i§i A Shosoin IE ^ Shusa-ryu /JiL Shushigaku So so jo M m Sokaku Reibo I H I t I Sornakusha m M ^ So-shidai m >x m Soto-shu I F M 5^ Suga Sugagaki Suichikumei f!r . 251 s u i c h o 7K P s u j i ' S u i j a k u T a i H e i Raku x ¥ . n T a i g e n s h o 0 t a i k o t a i s h i k i X t a k e Takedo 1t it T a k i o c h i no Kyoku >^  j& ffle t a k u T a n t e k i H i d e n f u 1S tat t a t e b u e 1: m t e g o t o t e k i m T e n d a i - s h u • 7 T \ T e n g a i T e n n i n K A Tenpuku Thung m T i ( f e a t h e r ) 1 T i ( f l u t e ) t a k u h a t s u ft ft u Tanden ft B3 t a n k a n T a n - t e k i T o d a i - j i C A # T o f u k u - j i • He *I # Togaku T o g a k u s h i * 5$; gp 252 Tohoku JSC it T o k a i d o T o z a n - r y u m UJ m T s ' a o - t u n g T s u k i no Kyoku R <r> ffi T s u k u s h i T s u k u s h i - g o t o xa t s ' u n T s u r e z u r e g u s a m ^ T s u r u no Sugomori ti <7> m « Tung H s i a o m m T 1 u n q T i e n U U b a s o k u - z e n j i Uchi-awase Uchidome n m i t U c h i h a j i m e U c h i k a e K y o r e i fr ^ J35 Ueda U j i U k i y o U r a Uta-awase u t a g u c h i IX • Wa Myo R u i j u Sho Wagon waka Wakayama Wei Yo Wen Wu IP 253 Wu ( p r o v i n c e ) Yokobue Wu (shaman) Wu-men Kuan (Mumonkan) 3ft n m Y a Y i i e h Y o s h i n o - S h u i ^- ' i f it Y o s h i y a R e i b o f g ^ I Yu Y a c h i y o Sugomori A ^ ft m Yaku H~t t "j Yamabushi ill t£ Yamashina Kyogen k y o r i k k i LU' n W m a is, Yamato X %Q Yamato Kos a k u E i s h o x . *o m ^ # Yamoto-bue A *Q si-Yang Ft Yig Yo ( f l u t e ) 'agio' Yo ( s c a l e ) Yueh Y u e h - f u T s a - l i i m m m m Y i i e h Shu Yugen Yug u r e no Kyoku * * JZ ffl Yuimagyo Zazen Zen Zendan fiti is Zendo I i t Zenkoku D a i k a i X 3X Zokugaku Zokugaku Senritsu Ko m m m w' # Zoku-Kyokunsho ^ i£ SH t> Zokuso 255 3. Japanese H i s t o r i c a l Periods Jomon (from ca. 8000 B.C.) Yamato (300-710) Asuka (552-646) Hakuho (646-710) Nara (710-794) E a r l y Heian / Konin (794-897) ¥• & ft! m 5L. iZ Later Heian / Fujiwara (897-1185) ¥ $ m m m m) Kamakura (1185-1333) m a Muromachi (1333-1573) Bummei (1469-1486) Momoyama (1573-1600) m UJ Edo / Tokugawa (1600-1867) >r F Genroku (1688-1703) •ft i f e M e i j i (1868-1912) m te BIBLIOGRAPHY Adriaansz, Willem. The Kumiuta and Danmono Traditions of  Japanese Koto Music. (Ph.D. dissertation, U.C.L.A., 1965). Berkeley and Los Angeles: University of California Press, 1973. Akiyama Terukazu, ed. Genshoku Ninon no Bijutsu. Tokyo: Shoggan, 1966. Apel, W i l l i , ed. Harvard Dictionary of Music. 2nd edition. Cambridge, Mass.: Belknap Press of Harvard University Press, 1969. Arbeau, Thoinot. Orchesographie. Translated by M.S. Evans. New York: Dover, 1967. Austin, Robert. Bamboo. Tokyo: Weatherhill, 1970. Barrett, William. Irrational Man. New York: Doubleday, 1958. 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