BARTÓK AT HARVARD: AN INTRODUCTION TO CHROMATIC

POLYMODALITY AND TONAL CENTRICITY

by

Sun-Jung Kim

September 1, 2009

A dissertation submitted to the

Faculty of the Graduate School of
the University at Buffalo, State University of New York
in partial fulfillment of the requirements for the
degree of

Doctor of Philosophy

Department of Music
 UMI Number: 3372063

Copyright 2009 by
Kim, Sun-Jung

All rights reserved

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Copyright by

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ii
 ACKNOWLEGEMENTS

I wish to express a very special thank you to Dr. Martha Hyde, who has been

an astonishing and generous adviser, guiding me from my first the first year in

America to the completion of the Ph.D. I have nothing but the deepest gratitude for her

constant support, precious suggestion, and carefully editorial guidance. I would also

thanks also to Dr. Charles Smith for enormous interest in my dissertation and for acute

critique and comments. Many thanks also to Dr. Jeffrey Stadelman for agreeing to

serve on my committee and for his encouragement. I also greatly appreciate Kathleen

Marien for tremendous advice of writing advice and heartfelt encouragement. To my

colleagues, Gena, Denial, Hye-Kyoung, and Ji-Hyun, thank you for providing proof-

reading and warmhearted support. Min, thank you so much for an editorial help.

Finally, my deepest thanks, I give to my parents, Hyunk-Joong Kim and Hee-

Bin Lim, for their unconditional love and support, and also to my sisters, brothers, and

relatives. I dedicate this dissertation to my great parent, God, who provided me with

all the inspiration, ideas and perspective that I needed to fulfill my task. And finally,

many thanks to my brothers and sisters in God, who warmly encouraged and prayed

for me throughout this journey.

iii
 TABLE OF CONTENTS

ACKNOWLEDGMENTS ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ iii

ABSTRACT ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ v

CHAPTER 1. INTRODUCTION TO POLYMODALITY ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 1

CHAPTER 2. KEY SIGNATURES IN BARTÓK’S POLYMODAL MUSIC ∙∙∙∙∙∙∙∙∙ 22

2.1 Key Signatures in Hungarian Folk Music ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 29
2.2 Key Signatures in Bartók’s Mikrokosmos ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 50
2.3 Conclusion ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 96

CHAPTER 3. CADENCES IN BARTÓK’S POLYMODAL MUSIC∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 98

3.1 General Characteristics of Bartók’s Cadences ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 99
3.2 Bartók’s Melodic Cadences ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 120
3.3 Bartók’s Harmonic Cadences ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 137
3.4 Conclusion ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 158

CHAPTER 4. PLAGAL MODULATION IN BARTÓK’S POLYMODAL

MUSIC ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙160
4.1 Real Plagal Modulation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 165
4.2 Modal Plagal Modulation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 188
4.3 Conclusion ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 210

CHAPTER 5. CONCLUSION ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 212

SELECTED BIBLIOGRAPHY ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 218

iv
 ABSTRACT

This dissertation investigates Bartok’s polymodal language from the

perspective his new concept of tonality, referred as “polymodal chromaticism,” which

superposes or juxtaposes two or more modes with the same fundamental tone.

Bartok’s polymodal music is based on the pentatonic and various folk modal scales. In

particular, the pentatonic system in the Hungarian folk songs provides him with a rich

resource as well as unique musical system. In addition, Bartok’s compositional

principle of polymodality is further developed by his free use of various scales, which

ultimately lead to a new way of constructing phrases. Thus, his polymodal music

comprises several prominent and unique features. First, in his creative concept of the

key signature, he invents an unorthodox notational function for the key signature.

Secondly, his cadential forms are represented in both melodic and harmonic

configurations and are characterized by their distinctive modal features and bass-lines.

Bartok also effectively articulates sections of his forms by using new kinds of

cadences in different metrical positions. Finally, the unique formal structure, the

Hungarian plagal form, figures prominently in his polymodal music. The two

different plagal modulations, real plagal modulation and modal plagal modulation, are

developed in terms of this form. In these modulations, we notice certain recurring

patterns and the tonal motion of a descending fifth. This unique polymodal

phraseology is generated from Bartok’s great insight into the spirit of Hungarian folk

songs. Bartok seemed to intimately understand the properties of these songs, which he

eventually exploited in his chromatic musical language through his unique notation,

harmonizations and formal structures.

v
 INTRODUCTION:
BARTÓK’S POLYMODALITY

At the turn of the twentieth century, many composers began to challenge the

traditional tonal system in the exploration and development of unique compositional

languages, for what is commonly described as post-tonal music. Among these

experimental composers, in particular, the pitch organization of Bartók’s music has

been diversely disputed in terms of its tonality. 1 Indeed, many theorists have pointed

out that there is a certain undeniable centric tone in much of it. Thus, we must ask the

following questions: Why do we feel a sense of centricity in his music? What musical

factors create this tonal centricity? 2 My dissertation began with these questions, thus,

according to Bartók’s own statements, I will explore his highly innovative concept of

tonality, which he himself referred to as a system of “polymodal chromaticism.” I will

also investigate the various phraseological aspects found in his polymodal music.

1
For the comparison of different theoretical approaches to pitch organization in Bartók’s music, in
general, see the critical articles by: Mark D. Nelson “Folk Music and the ‘Free and Equal Treatment of
the Twelve Tones’: Aspects of Béla Bartók’s Synthetic Methods” College Music Symposium 27 (1987):
59-116; Malcolm Gillies, “Bartók Analysis and Authenticity,” Studia Musicologica (1995): 319-27;
Laszlo Somfai, “Perspectives of Bartók Studies in 1995,” Studia Musicologica (1995): 241-47; Ivan
Waldbauer “Theorist’s Views on Bartók from Edwin von der Null to Paul Wilson,” Studia
Musicologica (1996): 93-121; Elliott Antokoletz, “Theories of Pitch Organization in Bartók’s Music: A
Critical Evaluation,” International Journal of Musicology 7 (1998): 259-300.
2
According to Bartók’s statements, “tonality” simply refers to a tonal centricity not the narrower
traditional concept. In his interview with Malcolm Gillies in 1929, Bartók states that “in the works I
refer to tonality (in the broad sense of the word, of course) is not lacking, but at times is more or less
veiled either by idiosyncrasies of the harmonic texture or by temporary deviation in the melodic curves.”
See Malcolm Gillies, “A Conversation with Bartók: 1929,” The Musical Times 128 (1987): 556-57.
 Therefore, in the analysis of Bartók’s compositions, the question of tonality is

one of the more intriguing issues, which for years has been debated by theorists. 3

Some often have argued for opposing theoretical interpretations concerning the tonal

centricity of his music. 4 These contradictory musical perspectives invite us to return to

Bartók’s own statements about his compositional concepts. Beginning in February

1943, two years before he died, Bartók gave four lectures at Harvard University. In

these lectures, Bartók discusses the differences between the new Hungarian art music

and Western music. He goes on to provide an important insight into atonality,

polytonality, and polymodality in terms of Hungarian peasant music. First, he briefly

examines three kinds of terms related to his music. In no uncertain terms, he clarifies

the fact that his work, influenced by Hungarian peasant music, is built on a tonal basis,

but one that differs from the traditional concept of major-minor tonality.

3
Edwin von der Nüll, Béla Bartók: Ein Beitrag zur Morphologie der neuen Musik (Halle:
Mitteldeutsche Verlags-Actien-Gesellschaft, 1930); George Perle, “Symmetrical Formations in the
String Quartets of Béla Bartók,” Music Review 16 (1955): 300-12; Allen Forte, “Bartók’s ‘Serial’
Composition,” The Musical Quarterly 46/2 (1960): 233-45; Roy Travis, “Tonal Coherence in the First
Movement of Bartók’s Fourth String Quartet,” The Music Forum 2 (1970): 298-371; Peter Petersen,
Die Tonalität im Instrumental-Schaffen von Béla Bartók (Hamburg: Karl Dieter Wagner, 1971); János
Kárpáti, “Tonal Divergences of Melody and Harmony: A Characteristic Device in Bartók’s Musical
Language,” Studia Musicologica (1982): 373-80; Ivan F. Waldbauer, “Intellectual Construct and Tonal
Direction in Bartók’s ‘Divided Arpeggios,’” Studia Musicological 24 (1982): 527-36; Elliott
Antokoletz, The Music of Béla Bartók: A Study of Tonality and Progression in Twentieth-Century
Music (Berkeley and Los Angeles: University of California Press, 1984); Richard Cohn, “Inversional
Symmetry and Transpositional Combination in Bartók,” Music Theory Spectrum 10 (1988): 19-42;
Malcolm Gillies, Notation and Tonal Structure in Bartók’s Later Works (New York and London:
Garland Publishing, Inc., 1989); Charles D. Morrison, “Prolongation in the Final Movement of Bartók’s
String Quartet No. 4,” Music Theory Spectrum 13/2 (1991): 179-96; Paul Wilson, The Music of Béla
Bartók (New Haven: Yale University Press, 1992); István Németh G., “Bitonale und bimodale
Phänomene in den Klavierwerken Bartóks (1908-1926),” Studia Musicologica (2005): 257-94.
4
Representative theoretical research concerning tonal aspects includes: approaches to a tonal centered
structure (Edwin von der Nüll, Malcolm Gillies, Roy Travis, Charles Morrison), discussions of a bi- or
multiple-centered structures (János Kárpáti, József Ujfalussy, Ivan Waldbauer), applications of atonal
theory or axes of symmetry (Paul Wilson, Allen Forte, Richard Cohn, George Perle, Elliott Antokoletz).

2
 One point, in particular, I must again stress: Our peasant music, naturally, is
invariably tonal, although not always in sense that the inflexible major and
minor system is tonal. (An “atonal” folk-music, in my opinion, is unthinkable.)
Since we depend upon a tonal basis of this kind in our creative work, it is quite
self-evident that our works are quite pronouncedly tonal in type. I must admit,
however, that there was a time when I thought I was approaching a species of
twelve-tone music. Yet even in works of that period the absolute tonal
foundation is unmistakable. 5

In addition, in his essay of “Harvard Lectures,” Bartók emphasizes that atonal

music does not exist in our physical environment. 6 He explains that harmonics usually

accompany the sound of a single tone according to pre-determined acoustical

phenomena. Moreover, when we hear tones that follow an initial tone, we intuitively

seek their pitch relation with the initial or fundamental tone. Thus, he declares that

perfectly atonal music is actually not possible. On the other hand, Bartók defines

polytonality as the simultaneous use of different diatonic keys in two (bi-tonal) or

more parts (polytonal). 7 That is, in these keys, each part is supposed to develop an

independent tonal progression under its own tonal system. However, Bartók insists

that polytonality exists only in the score, thus strongly rejecting the possibility of any

aural recognition of polytonal music. He also doubted the effect of the simultaneous

use of two different keys.

Here, polytonality exists only for the eye when one looks at such music. But
our mental hearing again will select one key as a fundamental, and will project
the tones of the other keys in relation to the one selected. The parts in different

5
Béla Bartók, Béla Bartók Essays, ed. Benjamin Suchoff (New York: St. Martin’s Press, 1976; reprint,
Lincoln and London: University of Nebraska Press, 1992), 338-39.
6
Ibid., 365. Bartók states that the only exception is found in the Austrian atonal composer Josef Hauer
(1883-1959), in Suite no.7, op. 48 (1926), which demonstrates the sound of real atonal music. Bartók
also underlines the fact that Schoenberg’s music is not really atonal in these lectures.
7
Ibid.

3
 keys will be interpreted as consisting of altered tones of the chosen key.… And,
similarly, our hearing cannot perceive two or more different keys with two or
more different fundamental tones, as such; it will simplify matters by reducing
the maze of keys to one principal key. 8

Ironically, his statements have been occasionally misapprehended by theorists,

who take a bi-tonal approach to his music. Indeed, they have been used as evidence for

his belief in bitonality and the perceptual relationship between two keys with different

scale degrees. 9 However, this insistence by bi-tonal theorists is constructed on the

incorrect supposition that Bartók acknowledged his music as bitonal or polytonal.

Nowhere in the above quotation, does Bartók imply the existence of bitonality in his

music; rather he objects to the labels of bitonal or polytonal by pointing out their

unrealistic demands on the listener. In addition, the concept of bi-tonality consisting of

a primary and a secondary key is often confused with bimodality; that is, theorists who

adapt a bitonal approach often use concepts and features taken from Bartók’s

explanation of bimodality. 10 However, in his Harvard lectures, Bartók clearly

differentiates these terms. While bitonality has two different keys arranged in separate

parts, bimodality consists of two different modes sharing the same fundamental tone.

8
Ibid., 365-66.
9
In order to justify the bitonal elements found in Bartók’s Sonata, Ivan Waldbauer, in his article,
“Theorists’ Views on Bartók from Edvwin von der Null to Paul Wilson” Studia Musicologica (1996),
113, states that “The term bitonal element seems appropriate here, because the key of these
elements…is recognizably subordinated to the prevailing primary key, quite in keeping with Bartók’s
conception of bitonality (See Essays, p. 366).” However, in the reference provided by Waldbauer,
Bartók consistently explains the problems of advocating for atonality and polytonality.
10
János Kárpáti explains the phenomenon of a brief bitonal passage in Bartók’s String Quartet no. 3
based on Bartók’s statements concerning polymodality. See János Kárpáti, “Tonal Divergences of
Melody and Harmony: A Characteristic Device in Bartók’s Musical Language,” Studia Musicologica
(1982): 378-79.

4
 Here, we can question why a bitonal or polytonal approach has occurred in the

study of Bartók’s music and what musical aspects have driven this theoretical

approach. In his essays “Harvard Lectures,” Bartók also indicates that in his piece,

Bluebeard’s Castle and in Stravinsky’s Sacre, “The Dance of the Adolescents,” it is

possible to misinterpret bitonality or polytonality for bimodality or polymodality due

to their misleading notation. As illustrated in Example 1.1, although the music in both

cases seems to be either bitonal or polytonal, he emphasizes the fact that their pitch

organizations are certainly not either.

Incidentally, much of Stravinsky’s music, and also of my music, looks as if it

is bitonal or polytonal. Therefore, the pioneers of polytonality used to regard
Stravinsky as one of their fellow polytonalists. Stravinsky, however,
deliberately denies this circumstance, even in such exterior features as
orthography. 11

Example 1.1 Bartók’s Example 2 from his Bluebeard’s Castle

Especially Bartók’s seemingly bitonal passage (Example 1.1), provided in his

essay, is enlightening. The melody in the upper part and the chord in the lower appear

to be in different keys due to the exclusive use of accidentals. However, both parts

prolong an F-major eleventh chord, F–A–C–E –G –B , combining two voices, rather

than differentiating each voice in a polytonal texture. Indeed, this phenomenon is

11
Béla Bartók, Béla Bartók Essays, 366-67.

5
frequently found in his music and has often been regarded by theorists as an example

of bitonal or polytonal music. In addition, another misleading notation often occurs. In

several of his works, Bartók notates a bi-key signature, where each part has a different

key signature, rather than accidentals, as illustrated below in Example 1.2. 12

Example 1.2 Mikrokosmos, No. 70, “Melody against Double Notes”

However, Bartók proclaims that all the work in question is actually based on one

fundamental tone. 13 In the comparison of the three terms (atonality, polytonality, and

polymodality), he instead combines two different modes based on the same

fundamental tone. Thus, in the Harvard lectures, he introduces the new term

“polymodality,” in contrast to polytonality, in which several fundamental tones exist at

the same time.

To point out the essential difference between atonality, polytonality, and

polymodality, in a final word on this subject, we may say that atonal music
offers no fundamental tone at all, polytonality offers–or is supposed to offer–
several of them, and polymodality offers a single one. Therefore our music, I
mean the new Hungarian art music, is always based on a single fundamental
tone, in its sections as well as in its whole…. Polymodality is to be found
especially in my works… 14

12
These seemingly polytonal presentations actually show the unique application of a polymodal
compositional language. We will investigate the details of this phenomenon in Chapter 2, which are
classified into two types of key signatures according to their characteristics, the bi-key signature and the
absence of a key signature.
13
Béla Bartók, Béla Bartók Essays, 365-71.
14
Ibid., 370-71.

6
 In order to define his term “chromatic polymodality,” Bartók provides two

significant examples in his “Harvard Lectures.” Bartók first begins discussing the

concept of bimodality with two familiar minor scales in a minor mode, a natural minor

and a melodic minor. 15 As shown in Figure 1.1a (Example 3 in his essay), when two

minor scales of C-natural and C-melodic are superposed, there exists a kind of

bimodality, which produces the dissonant sounds of A and A , and B and B . 16

Likewise, the Phrygian and Lydian modes with the common fundamental tone, C, can

be used simultaneously in superposition. Figure 1.1b (Example 4 in his essay)

apparently illustrates a C-Phrygian mode, C-D -E -F-G-A -B -C, in the upper voice

without a key signature and a C-Lydian, C-D-E-F#-G-A-B-C, in the lower voice.

Figure 1.1 Bartók’s examples of bimodal scales

(a) Combination of C-melodic/natural minor scales

(b) Bimodality of C-Lydian/Phrygian modes

15
Ibid., 364.
16
Ibid., 367.

7
 Remarkably, this combination of Phrygian and Lydian based on the same

fundamental tone always contains twelve different notes. As Bartók emphasized in his

Harvard lectures, this polymodal construction provides a valid basis for each

seemingly chromatic note of twelve unlike the temporarily altered chromatic notes in

traditional tonal music. Thus, these chromatic notes in bimodality or polymodality do

not need to move or resolve other diatonic notes according to the rules of conventional

voice-leading; thus, they can be used freely and independently. As a result, he notes

that it is possible to make melodic chromaticism in polymodal music, in contrast to the

harmonic chromaticism found in nineteenth-century music. 17 Consequently, Bartók

creates chromatic polymodal music consisting of variously combined modes or scales

based on a common fundamental tone.

In combining various diatonic or chromatic modes, I found that there are three

categories of polymodality in his music. Among theme, Bartók mentions are two

categories of polymodality, as follows:

Before I go into details, I must recapitulate in regard to what results the

superposing of the various modes led us to. First, a kind of restricted bi-
modality or polymodality. Second, bi-modality led toward the use of diatonic
scales or scale portions filled out with chromaticized degrees which have a
totally new function. 18

Bartók’s above classification is very vague, and he does not provide any

examples. But we can derive the important fact that there are two possible polymodal

presentations superposing two or more modes. Specifically, while one method

17
Ibid., 376.
18
Ibid.

8
develops an inhibited bimodal or polymodal combination, the other creates a more

flexible chromatic polymodality. Firstly, an example of the first case can be easily

defined as stated above because, generally, each mode in polymodal music is

distinctively stated. Actually, Figure 1.1b, provided by Bartók, abstractly demonstrates

his restricted bi-modality, a C-Phrygian mode in the upper voice and a C-Lydian in the

lower. Likewise, Mikrokosmos No. 59 in Example 1.3, as seen below, clearly shows

the restricted bimodality of superposing two different modes based on the same

fundamental tone, F. That is, while the melody in the upper voice is in an F-Dorian or

F-Aeolian, F–G–A –B –C, the countermelody in the lower voice is in an F-Lydian,

F–G–A –B –C. The modes are developed separately in each voice, but retain the

same fundamental tone.

Example 1.3 Mikrokosmos No. 59, “Major and Minor”

In most of the restricted polymodality, two elemental modes are saliently

presented arranging each mode in a different voice. Thus, we are able to recognize

their modal identities. In addition, each mode in bimodality or polymodality need not

continue in the same part. For instance, No. 59 consists of three parts. A polymodal

arrangement at the beginning of No. 59, an F-Lydian in the lower and an F-minor in

the upper, is inverted in the second part, creating an F-minor in the lower and an F-

Lydian in the upper. Such an interexchange of modal arrangements is a frequently

9
used method in Bartók’s polymodal music. In the Harvard Lectures, Bartók directly

describes this characteristic principle of bimodal or polymodal music in more detail, as

follows:

We may say that music based on such principles can be labeled with a third
‘slogan’: bimodality, or polymodality….In our works, as well as in other
contemporary works, various methods and principles cross each other. For
instance, you cannot expect to find among our works one in which the upper
part continuously uses a certain mode and the lower part continuously uses
another mode. So if we say our art music is polymodal, this only means that
polymodality or bimodality appears in longer or shorter portions of our work,
sometimes only in single bars. So changes may succeed from bar to bar, or
even from beat to beat in a bar. 19

His statements inform us that he uses a bimodal or polymodal passage flexibly,

regardless of its length; thus it is possible that two polymodal scales can be employed

either briefly or at length. In fact, the change of the polymodal phenomena occurs in

section by section, as well as in the configuration of a modal mixture in a single bar.

These methods will be more thoroughly investigated in the following dissertation.

On the other hand, Bartók’s description of the second category of bimodality

or polymodality is more abstract and complex. In fact, it can be subcategorized into

two; “toward the use of a diatonic scale” and “use of scale portions filled-out with

chromaticized degrees.” Here we will first explore how polymodal music is developed

chromatically in a portion of a diatonic scale. In fact, this method is already

represented in Figure 1.1a by Bartók. As illustrated in Figure 1.1a, the G-tetrachord of

a C-minor scale is filled by chromatic notes when the G-tetrachord of a melodic minor,

G–A –B –C is subsequently followed by that of a natural minor, G–A–B–C.

19
Ibid., 370.

10
 Example 1.4 Improvisations on Hungarian Peasant Songs, No. IV, mm. 1–4

Likewise, Improvisations on Hungarian Peasant Songs, No. IV exemplifies

the second type of polymodality. No. IV is based on a folk song in a G-tonality, which

is represented in the lower voice. Example 1.4 illustrates the beginning of the piece,

mm. 1–4. In the first measure, a G-tetrachord is formed by two individual segments,

and is filled in with chromatic notes. These segments are actually from portions of two

different diatonic modes; one is G–A–B–C# of from a G-Lydian mode, and the other

is G– A –B –C from a G-Phrygian mode. Interestingly, in both examples of Figure

1.1a and Example 1.4, each segment of each scale is separately arranged according to

the melodic motion (an ascending or a descending motion). In other words, in

Example 1.4, the G-Lydian tetrachord is recurrently presented in an ascending melodic

motion, while the G-Phrygian tetrachord is in a descending one. In many examples of

Bartók’s polymodal music, he frequently provides an independent characteristic to

each elemental mode of polymodality depending on melodic motion. Moreover, in the

second subcategory in this type of polymodality, two complete diatonic scales are

superposed on one common fundamental tone, for instance, the C-Phrygian/Lydian

mode in Figure 1.1b. The superposition of the two scales provides twelve different

chromatic notes in polymodal music. We will further discuss this feature below.

11
 Example 1.5 Mikrokosmos, No. 41, “Melody with Accompaniment”

Bartók’s third type of bi-modality or polymodality demonstrates another

unique polymodal method that provides a new polymodal scale. Although Bartók does

not mention it specifically, I will separately classify this category as a third type of

polymodality not only because Bartók uses it frequently, but also because it differs

from the two other types. While restricted polymodality is mainly comprised of

diatonic modes (such as the five ecclesiastical modes, the major/minor scale, and the

pentatonic scale), the scales found in this third type are new and unconventional. For

example, in Mikrokosmos, No. 41, Bartók uses a unique kind of diatonic or non-

diatonic scale in a G-tonality. He expresses the principal scale of No. 41 as a “G major

with an augmented fourth and a minor seventh.” 20 Actually, these altered notes, C#

and F , originate in a G-Lydian and a G-Mixolydian mode, respectively. In fact, these

are the distinct characteristic notes of each mode and comprise a new modal scale, G-

A-B-C#-D-E-F -G. Indeed, as shown in Example 1.5, the melodic theme in No. 41

does not include the other chromatic notes C and F# at all, and exclusively uses the

notes C# and F in the melodic line. Thus, we conclude that the notes C# and F are

not altered notes of a traditional G major, but are independent scalar elements in the

20
Benjamin Suchoff, Bartók’s Mikrokosmos: Genesis, Pedagogy, and Style (Lanham: The Scarecrow
Press, 2002), 49.

12
new scale. 21 Therefore, I call this kind of modal scale a “composite polymode,”

following Suchoff’s terminology. 22

Unfortunately, Bartók does not clearly identify the modes used in his

polymodal music. Thus, many Bartókian scholars have tried to prescribe either

specific modes in terms of a composite polymode or explore all of his modal scales. In

this dissertation, however, I propose the existence of a more creative and flexible

conception of modal scales. In other words, Bartók’s modal scales are created based

on the simplest characteristic mode found in old Hungarian rural music– the

pentatonic. It is expanded to heptatonic diatonic modes and, ultimately, creates twelve

different notes in his polymodal system. Such a concept can be deduced from Bartók’s

own statements. In his Harvard Lectures, Bartók criticizes the musical phenomena of

opposites, the oversimplication and overcomplication found in the music of

contemporary composers, such as Alois Haba and I. Wesshous. 23 In the meantime, he

observes that the other fine arts, such as literature and painting, show a similar trend

toward simplification in a reaction to exaggeratedly complicated formulations

developed in the late-nineteenth century. In such a contemporary cultural milieu,

Bartók points out that these simplified trends can be seen in the paintings of Wassily

Kandinsky (1866–1944) and Piet Mondrian (1872–1944), who draw abstract

configurations using geometric lines, rather than realistically expressing the world. In

21
Likewise, Mikrokosmos, No. 58 is a contrapuntal work based on the scale, G-A-B -C#-D-E-F-G,
consisting of a minor third from a G-minor mode and an augmented fourth of a G-Lydian, in a G-minor
tonality. These examples will be analyzed in Chapter 2 in my discussion of Bartók’s key signatures.
22
Benjamin Suchoff, Bartók’s Mikrokosmos: Genesis, Pedagogy, and Style, 49.
23
Ibid., 354-61. Bartók states that the oversimplifed compositional styles are not very interesting
because of too much repetition without change. He also believes that the overcomplicated musical
styles realistically give too much information for the ear.

13
particular, through Mondrian’s pictures, Bartók discovers the fact that seemingly

simple drawings may be the products of very complicated creative processes. Figure

1.2 illustrates Bartók’s representation of Mondrian’s picture. 24

Figure 1.2 Bartók’s representation of Mondrian’s picture

In other words, Bartók realizes that simplified means can be an effective

compositional tool, and may better convey artistic expression. Thus, he explores the

great musical potential in the simple pentatonic system of rural music, rather than in

Wagner’s highly chromatic style. In fact, Bartók discovers that pentatonic melodies

can only imply one chord, G–B –D–F, but nonetheless provide the most innovative

harmonies.

Pentatonic melodies are very well imaginable with a most simple

harmonization, that is, with a single chord as a harmonic background. Such
kinds of harmonization, reduced to the extreme limit of simplification, should
be used only exceptionally, in well-chosen, appropriate portions of a work, or
else its exaggerated use would lead us to a monotonous oversimplification....
Melodies in such an archaic style can very well be provided also with the most
daring harmonies. It is an amazing phenomenon that just the archaic features
will admit of a much wider range of possibilities in harmonizing and treating

24
Ibid., 357-58.

14
 melodies or themes of the pentatonic kind, than would be the case with the
common major or minor scale melodies. 25

Indeed, in the process of accompanying these pentatonic melodies, Bartók

freely creates both simple pentatonic chords and various chromatic modal harmonies.

Although Mondrian uses simplified means, he carefully arranges these geometric

figures and colors in a pre-determined formal texture. Likewise, Bartók elaborately

arranges his diverse harmonies based on simple melodies according to a formal plan.

Consequently, according to his compositional philosophy, openness to flexibility and

freedom in using modal scales and harmonies allows more space for a creative

expression. 26

Accordingly, in the Harvard lectures, Bartók defines two categories of modes

as the basic elements in new Hungarian art music, as follows:

The anhemitone pentatonic scale, with its peculiar leaps because of the missing
second and sixth degrees, is the very opposite of the chromaticized heptatonic
scale used, for instance, in Wagner’s music. So we took it—quite
subconsciously—as the most suitable antidote for the hyperchromaticism of
Wagner and his followers. Thus, we had two different starting points for our
creative work: the modes of our rural melodies and the pentatonic scale of our
oldest music.” 27

25
Ibid., 373-74.
26
The philosophical principle of openness or flexibility is also related to the Chinese aesthetic of
openness in poetry, as follows: “In contemporary theory, openness means that a literary text is not an
enclosure of words, the messages of which are finite and limited, but a hermeneutic space constructed
with verbal signs capable of generating unlimited interpretations.” For more details, see Ming Dong Gu,
“Aesthetic Suggestiveness in Chinese Thought: A Symphony of Metaphysics and Aesthetics,”
Philosophy East &West 53/4 (2003): 490-513.
27
Béla Bartók, Béla Bartók Essays, 364.

15
 Firstly, Bartók strongly emphasizes the old Hungarian pentatonic scale (minor

third-major second-major second-minor third) because of its unique scalar structure

that lacks a semitone, as well as the archaic melodic features in the pentatonic system

due to the absence of the second and sixth degrees (Figure 1.3a). 28 As shown in Figure

1.3b, this Hungarian pentatonic scale actually is one of five different modes of the

pentatonic system and is commonly found in old Hungarian folk music. Indeed, this

pentatonic mode and its characteristics provide the basic for Bartók’s melodic

structures, as well as for his harmonic configurations.

Figure 1.3 Pentatonic scales

(a) Hungarian pentatonic scale

(b) Five different modes of a pentatonic scale

Secondly, in the modes of rural melodies similar to Hungarian peasant music,

Bartók discovers that there are primarily five popular ecclesiastical modes from the

Middle Ages–Dorian, Phrygian, Lydian, Mixolydian, and Aeolian. 29 In his

“Autobiography,” Bartók declares that these modal scales, including the pentatonic,

28
Bartók explains that the ‘Old’ Hungarian pentatonic music has very peculiar characteristics as a
branch of the great Central-Asiatic Turkish, Mongolian and Chinese pentatonic centre. See, Béla Bartók,
Béla Bartók Essays, 363-64, 371-75. More details of the melodic and harmonic features of the
Hungarian pentatonic system will be discussed in Chapter 3.
29
Ibid., 363.

16
significantly influenced his own compositions, allowing him to eventually move

beyond the restrictions of the traditional major-minor keys of tonal music.

The greater part of the collected treasure, and the more valuable part, was in
old ecclesiastical or old Greek modes, or based on more primitive (pentatonic)
scales…. It became clear to me that the old modes, which had been forgotten
in our music, had lost nothing of their vigour….This way of using the diatonic
scale brought freedom from the rigid use of the major and minor keys, and
eventually led to a new conception of the chromatic scale, every tone of which
came to be considered of equal value and could be used freely and
independently. 30

Interestingly, the pitch structure of the Hungarian pentatonic scale is closely

related to that of these five ecclesiastical modes. Specifically, there is an intimate

relationship between the pentatonic scale and the diatonic minor modes, as illustrated

in Figure 1.4. 31 On the one hand, the pentatonic scale can be described as a minor

scale without the second and sixth degrees; on the other hand, the three minor modes,

Dorian, Aeolian, and Phrygian, can be produced by variously adding these two notes

to the pentatonic. In addition, the Lydian and Mixolydian mode are regarded as a

variant of the pentatonic scale by changing the minor third to the major third.

30
Ibid., 410.
31
Suchoff also notes this relationship between the pentatonic and the five ecclesiastical modes in his
book, Bartók’s Mikrokosmos: Genesis, Pedagogy, and Sytle, 112.

17
 Figure 1.4 Scale structures of pentatonic and ecclesiastical modes in G-tonality

As noted by Suchoff in Bartók’s Mikrokosmos, Bartók demonstrates an

expanded concept of major and minor modes based on the initial third of a modal scale.

Thus, the Dorian, Aeolian, and Phrygian are minor modes, while the Lydian and

Mixolydian are major modes. He also uses this classification for all other

unconventional modes that originate in folk music. Thus, according to Bartók’s scale

principle, the conventional five church modes are divided basically into two scalar

groups, major and minor. Accordingly, he uses these major and minor modes more

flexibly than those used in traditional tonal music. In addition, beyond the concept of

the fixed major and minor thirds, Bartók proposes a unique configuration of triads

with a “double third” or a “neutral third,” one that simultaneously contains major and

minor thirds, for instance, D–F–F#–A. 32 In fact, this simultaneous use of major and

minor thirds originates in Hungarian folk music. The concept of the double third has

32
Béla Bartók, Béla Bartók Essays, 368.

18
broadly affected his polymodal music, for it provides a new way to classify major and

minor modes, as illustrated in Figure 1.5. Bartók frequently uses this triad with the

double third as a tonic chord, which in effect neutralizes the traditional major-minor

tonality.

Figure 1.5 Development of his modal concept

Dorian
Phrygian Minor modes
Aeolian
Pentatonic Major/minor polymode
Lydian
Mixolydian Major modes
Ionian

Thus, the superposition of two different modes in polymodality can eventually

produce all twelve pitch classes as the “ingredients” of the polymode. In polymodality,

each pitch classes in polymodality does not function the same as in traditional music.

In fact, in Bartók’s polymodal music, various pitch-class sets often containing from

ten to twelve pitch classes are derived from the various combinations of two modes. 33

Therefore, we observe a developmental process of the modal scale in his new concept

of polymodality: pentatonic modediatonic heptatonic modeexpanded major-minor

modestwelve-note chromatized scale. Indeed, Bartók freely creates a multitude of

diatonic or chromatic scales in one tonality through any polymodal combination

among the eight modes, for instance, C-Dorian, C-Phrygian, C-Lydian, C-Mixolydian,

C-Aeolian in a C-tonality. Thus, each scale degree relates primarily to its fundamental

33
István Németh illustrates all possible polymodal combinations from eight different notes to,
theoretically, thirteen notes in his article, “Bitonale und bimodale Phänomene in den Klavierwerken
Bartóks (1908-1926),” Studia Musicologica (2005): 274.

19
tone. Moreover, while Bartók allows chromatic notes to function as embellishments of

the tones of the mode, all mode tones are equally independent even if on the surface

they may appear dependent. (for example, in the C-major/minor neural triad, C-E -E -

G, oscillation between E and E does not comprise a neighbor tone embellishment,

rather both tones are equally independent in a C-polymodality.)

Bartók’s compositional principle of polymodality is further developed by his

free use of various scales, which ultimately leads to a new way of constructing phrases.

In order to understand how in his polymodal music, Bartók constructs phrases and

forms in one tonality, I will begin by investigating the prominent and unique features

that characterize this music, such as unorthodox key signatures, polymodal cadences,

plagal modulations and plagal forms.

In Chapter 2, I will begin by analyzing the notation of various key signatures

found in his Mikrokosmos, comparing them to those found in Hungarian folk music.

The notational functions of his newly invented key signatures will be explored, along

with his general concept of the key signature. Chapter 3, based on Bartók’s research

on Hungarian folk music, investigates his classification of melodic and harmonic

cadences derived from the pentatonic system. Each melodic and harmonic cadence is

then subcategorized according to its cadential figure or traits. Finally, in Chapter 4, I

focus on a unique formal structure, the Hungarian plagal form, which restates a theme

transposed down a perfect fifth. I also define modal plagal modulations, which occur

in this form, and investigate two different plagal modulations, real plagal modulation

and modal plagal modulation. By analyzing examples from Bartók’s music, we will,

thus discover the typical patterns of modal change in these plagal modulations.

20
 It is likely that the polymodal characteristics found in Bartók’s music can be

applied to the music of other composers who exploit modal scales as a primary means

for expanding traditional tonality. The plagal formal principle, in fact, provides a new

perspective for the analysis of the form of the twentieth century music.

21
 CHAPTER 2
Key Signatures in Bartók’s Polymodal Music

In order to conduct a theoretical study of Bartók’s polymodal music, it is

important to examine how he uses key signatures in his polymodal compositions. This

examination becomes a necessary process in identifying their tonality correctly and in

understanding the development of his new musical language, polymodal chromaticism,

discussed in Chapter 1. To express effectively his polymodal chromaticism, Bartók

created various unique key signatures and used them in his polymodal music. Among

these newly created key signatures, in particular, his ‘bi-key signature,’ for example,

is defined as the simultaneous use of two different key signatures, as shown in

Fourteen Bagatelles op. 6, no. 1 in 1908 (Example 2.1). Due to the appearance of the

bi-key signature, this piece has received much attention from a number of theorists. 34

Example 2.1 Fourteen Bagatelles op. 6, no. 1

34
For an approach to polymodal chromaticism, see Benjamin Suchoff, Bartók’s Mikrokosmos: Genesis,
Pedagogy, and Style. (Maryland: Scarecrow Press, Inc., 2004); László Somfai, “Desiderata Bartókiana:
A survey of missing links in Bartók studies,” International Journal of Musicology 9 (2000): 385-420;
Victoria Fischer, “Béla Bartók’s Fourteen Bagatelles op.6: Determining Performance Authenticity,”
Ph.D. diss., University of Texas at Austin, 1989. For a discussion of the symmetrical interval cyclic
property, see Elliott Antokoletz, “The musical language of Bartók’s 14 Bagatelles for Piano,” Tempo
137 (1981): 8-16. In addition, István Németh G. demonstrates all diverse discussions in terms of this
song in his article, “Bitonale und bimodale Phänomene in den Klavierwerken Bartóks (1908-1926),”
Studia Musicologica (2005): 277-79.

22
 Because of its distinguishing features and original nature, the bi-key signature

has been viewed as one defining characteristic of Bartók’s atonal music. His unique

notation of the bi-key signature reflects an attempt to move from a traditional tonal

system toward a new musical system. Interestingly, however, the notable

overemphasis on this remarkable notation has actually resulted in a misinterpretation

of Bartók’s original intention in his polymodal music, and it has also often

overshadowed his other newly invented key signatures. With this in mind, I proceed

with an in-depth study of Bartók’s polymodal music focusing especially on the

examination of his various notations of key signatures, which proves helpful for a

better understanding of this music. In addition, we need to look at his key signatures

more carefully in terms of his views concerning polymodal music, not only because

they reveal important features, but also because the conventional viewpoint of major-

minor key signatures could be an impediment in defining tonality in his polymodal

music. In fact, as seen in the case of the bi-key signature, the tonality of his polymodal

music has been frequently misleading for those who are entrenched in a traditional

tonal perspective. 35

Throughout Bartók’s compositions, we can look at two aspects of his use of

the key signature: his inconsistent application of key signatures and the creation of

new key signatures. His inconsistent application may have resulted from an evolving

change of view about its practical use. First, in his works, Bartók shows a continuous

fluctuation in his employment of the key signature. In fact, we can find the

inconsistent employment or disemployment of the key signature in his pieces

35
Béla Bartók, Béla Bartók Essays, ed. Benjamin Suchoff (Lincoln: University of Nebraska Press,
1993), 434.

23
composed in 1903–1904. For instance, Bartók used a key signature in Four Piano

Pieces (1903), but did not use one in Funeral March (1903) or in Rhapsody, op.1

(1904). After composing Bagatelles op. 6, no. 1, Bartók did not employ the key

signature for an extended period of time. We note their absence in many of his

compositions during 1908 – 1911, such as For Children (1908–09), Three Burlesques,

op. 8c (1908–10), Four Dirges, op. 9a (1909–10), and Allegro Barbaro (1911). Of

note, the use of the key signature reappears in The First Term at the Piano (1913) and

Fifteen Hungarian Peasant Songs (1914–18). In 1913, the employment of the key

signature or the lack there of can be seen in several consecutive compositions until

Mikrokosmos (1926–1939). 36

The reason for these inconsistencies might be deduced from his way of looking

at the use of the key signature in contemporary music. In his essay “Introduction to

Béla Bartók Masterpieces for the Piano,” Bartók raised the question regarding the

employment of traditional key signatures in twentieth century music and concluded

their illegitimacy in the process of composing his polymodal music. 37 Bartók held a

bold view of the use of the key signature in his work, Bagatelles op. 6, no. 1 (1908) as

shown in the following quotation:

Some additional explanations seem to be appropriate to the Bagatelles. The

first one bears a key signature of four sharps (as used for C sharp minor) in the
upper staff and of four flats (F minor) in the lower one. This half-serious, half-

36
We can again uncover the inconsistency between his assertion of the key signature and his application.
Bartók states the following: “After carrying the key signature principle ad absurdum in the first piece
[of the Bagatelles], I dropped its use in all the other Bagatelles and in most of my following works as
well;…” But he had notated the key signatures in many of his pieces since 1908. See Béla Bartók,
“Introduction to Béla Bartók Masterpieces for the Piano (1945),” Béla Bartók Essays, ed. Benjamin
Suchoff, trans. M. D. Calvocoressi (1976; Lincoln: University of Nebraska Press, 1993), 432-33.
37
Béla Bartók, Béla Bartók Eassys, ed. Benjamin Suchoff, 433.

24
 jesting procedure was used to demonstrate the absurdity of key signatures in
certain kinds of contemporary music…. The tonality of the first Bagatelle is, of
course, not a mixture of C sharp minor and F minor but simply a Phrygian
coloured C major. In spite of this it was quoted several times as an “early
example of bi-tonality” in the 1920’s when it was fashionable to talk about bi-
and poly-tonality.

We can observe that Bartók uses a bi-key signature, seen in Bagatelles no.1,

not as an example of bi-tonality, but rather to expose the irrationality of the traditional

key signature. According to Bartók, then, Bagatelles no. 1 does not follow the

traditional tonality of either C# minor or F minor or even a mixture of the two, as

indicated by the two key signatures in both staves, but rather a new tonality of C major,

which is not related to either of the written key signatures. In addition, he specifically

describes the tonality of the Bagatelles as “a Phrygian coloured C major,” which

actually infers a C-polymodality including the C-Phrygian mode. That is, Bartók

proposed that the tonality of Bagatelles op. 6, no. 1 is yet another newly created C-

polymodal tonality, neither the traditional C major tonality nor the simple bi-tonality

seemingly suggested by the two key signatures. Therefore, he concluded that the use

of traditional key signatures was both inappropriate and, ultimately, misleading with

regard to tonality in his contemporary polymodal music. Later in this chapter,

Bagatelles no.1 will be analyzed further with regard to the relation of notated key

signatures and tonality.

As described above, the inherent limitation of the traditional key signature

requires Bartók to invent a supplemental system for notating key signatures in his

chromatic polymodal music. Thus, research into the key signature is an inevitable

requirement in the study of his music. The main reason for this lies in my observation

25
that his polymodal music is based on several ecclesiastical or folk modes prevalent in

Hungarian peasant music and in the folk music of neighboring countries.

The unique key signatures invented by Bartók appear in many of his pieces in

Mikrokosmos, a composition for the piano beginner. The short pieces in Mikrokosmos

include many useful and valuable notations of key signatures devised for mostly

practical reasons in order to advance technique and to improve musicianship. These

notational methods are intimately related to the notational system that Bartók used

when collecting Hungarian peasant music and other folk music in his

ethnomusicological project.

First, we need to investigate the historical background and the developmental

process of his notational system. In particular, we will examine Bartók’s involvement

with folkloristic scholarly work and his adaptation of Krohn’s notational system in

transcribing Hungarian peasant music thorough Malcolm Gillies’s biographic research

and Benjamin Suchoff’s writings. 38 In 1907 Bartók started to lay down the foundation

of his work on folk music while collecting Hungarian folk melodies from the

Transylvanian area. He had been looking for a source of innovative and primitive

Hungarian styles to enhance the creative originality of his compositions. 39 Meanwhile,

during his travels to northern Hungary in 1904, as a pianist and composer, Bartók

38
Malcolm Gillies, “Bartók, Béla,” in Grove Music Online. Oxford Music Online,
http://www.oxfordmusiconline.com/subscriber/article/grove/music/40686 (accessed
Mar.5, 2009), and Bartók Remembered (New York: W.W.Norton, 1990). Benjamin
Suchoff, editor’s preface to The Hungarian Folk Song, by Béla Bartók (Albany:
State University of New York Press, 1981).
39
Malcolm Gillies states that the first two opus-numbered works, Rhapsody for piano, op.1 (1905) and
Scherzo for piano and orchestra, op. 2 (1904) are ungainly stylistic and structural amalgams of Brahms,
Strauss and Liszt, together with Hungarian identifiers. See Gillies’s “Bartók, Béla,” Grove Music
Online for more details.

26
happened to come across a Transylvanian-born nursemaid, Dósa Lidi, singing folk

songs. 40 The experience of primitive Hungarian art songs signified a landmark event

by stimulating Bartók’s interest in folk music and ultimately inspiring his unique

compositional style, polymodality. “Piros alma” [Red apple], a piece from that era,

was a significant example of notated melodies among the songs Bartók had heard

Dósa Lidi sing, as shown below in Example 2.2: 41

Example 2.2 Lidi Dósa’s “Piros alma” [Red apple]

The heading located to the right of the tune, “IV. Kibéd (Maros – Torda), Dósa

Lidi (18), 1904; B.,” demonstrates the concepts described above. First, “IV” refers to

the region of the Erdél musical dialect. 42 Next, the word, “Kibéd” indicates the name

of the village, and “Maros – Torda,” in parenthesis, indicates the name of the district

where the folklorists, Bartók, Garay, Kodály, Lajtha, Molnár, and Vikár, recorded the

40
Gillies, Bartók Remembered, 50-52. Gillies reproduced the interview with Dósa Lidi in 1971 in his
book.
41
This folk melody is used in Bartók’s Székely Folksong op. 34 for voice and piano (1904; Budapest,
1905).
42
Béla Bartók, The Hungarian Folk Song, ed. Benjamin Suchoff, trans. M. D. Calvocoressi (Albany:
State University of New York Press, 1981), 4-5. The whole of the Hungarian-speaking region is divided
into four dialect-regions by folklore collectors. Each region is distinguished by a musical feature. I, the
Trasdanubian region (south and west of the Danube); II, the Northern region (north of the Danube and
of the upper Tisza); III, the Tisza region, or region of the great Alföld; and IV, the region of the Erdély
musical dialect (the Bukovina belongs to this region). Each of these dialect-regions is represented by
Roman numerals.

27
Hungarian peasant music. The next words “Dósa Lidi (18), 1904; B.,” give the name

of the performer with her approximate age, followed by the year it was gathered; and

finally, the initial, “B,” indicates the collector of the folk song, Bartók. 43

In 1905, Bartók met Zoltán Kodály (1882–1967) in Budapest, a Hungarian

composer well-grounded in Hungarian folksong. They soon became personal friends

with like interests in Hungarian composition, as well as scholarly colleagues in the

work of collecting and publishing Hungarian peasant music. Eventually, in 1907,

Bartók travelled to Transylvania, Lidi Dósa’s homeland, to collect Hungarian folk

music. 44 Later, unlike Kodály, Bartók among other folklorists gradually expanded his

field of research into other counties, such as Romania and Slovakia in addition to his

preliminary work in Hungary. As Bartók grew as a comparative music folklorist, he

sought to establish a uniform notational system to supplement recorded folkloristic

songs in order to preserve collected original folk melodies, as well as effectively

classify folk songs during the years of 1909–1910. 45

According to Benjamin Suchoff, Kodály had recommended for Bartók’s folk

music notation the classification system of Ilmari Krohn (1867–1960), a Finnish

composer and folklorist. Bartók accepted his initial suggestions and created a modified

Krohn’s system, which lexically categorizes notations according to the end tone and

syllabic structure (the number of syllables) of each melodic section. It transposes

43
Ibid., 196. A detailed analysis of No. 331 appears later in this chapter.
44
In 1952, Transylvania became a principality under Turkish control, and the western and northwestern
parts of the country were made part of the Habsburg Empire as the “Kingdom of Hungary.” See
Benjamin Suchoff, editor’s preface to The Hungarian Folk Song, by Béla Bartók, xii-xiii.
45
For a detailed procedure and content of Bartók’s modified Krohn’s system, see Benjamin Suchoff,
editor’s preface to The Hungarian Folk Song, xxv, xxxiii-xxxv.

28
every folk melody to end on g1 regardless of the original vocal range of the song. The

influence of this notational system is frequently found in the musical examples in his

scholarly works and is, therefore, helpful in comparing melodic features among

various folk songs.

With this historical background, we now move on to investigate the actual key

signatures Bartók used in the notation of Hungarian folk songs. This investigation is

not only useful for the comparison of the use of the key signature, according to the

modified Krohn’s system, but also because it finds its relevance to the notation of the

key signature in his polymodal music. Therefore, we briefly touch upon Bartók’s

principle of reassigning the key signatures in his transcribed Hungarian folk songs and

then follow up by comparing them with various types of key signatures in his own

music.

2. 1 Key Signatures in Hungarian Folk Music

The Hungarian Folk Song (1981), written by Bartók and selected and edited by

Suchoff, includes a large number of Hungarian peasant songs assembled by six

collectors including Bartók, 46 and it provides us with some very interesting songs for

the study of key signatures. This book also illustrates the process of Bartók’s

development of the notational systems and categorization of various folk melodies

46
The listed Hungarian folk songs in The Hungarian Folk Song were collected by Béla Bartók, Ákos
Garay, Zoltán Kodály, László Lajtha, Antal Molnár, and Béla Vikár. See Béla Bartók, The Hungarian
Folk Song, 196.

29
with an ethnomusicologic approach. 47 Here, Bartók’s description of the key signature

is found under the small sub-heading, “Explanation of signs used,” above the 348

examples of Hungarian folk songs including their variants. He continues his

description as follows: “The key-signatures include only such signs as obtained

throughout a song.” 48 He does not provide any concrete examples or any specific

standards and, indeed, this brief explanation scarcely gives us insight into his use of

notated key signatures. However, according to my interpretation, based on the

configurations of key signatures used in his musical examples, only the pitches

consistently changed by an accidental throughout the example can be notated in the

key signature. This practice, of course, creates key signatures that are not conventional

in tonal music. Notwithstanding his somewhat vague language, it must be pointed out

that his explanation is more descriptive than the abstract and prescriptive nature of

notation in traditional tonal music. However, Bartók’s simple premise opens many

possibilities for the notational figures and interpretation of key signatures in his

polymodal music. Example 2.3 illustrates his simple guideline for the key signature

mentioned above.

47
It is one of the ethnomusicologic series published by the New York Bartók Archive Studies in
Musicology.
48
Bartók, The Hungarian Folk Song, 195.

30
 Example 2.3 Hungarian folk song, No. 31 “Nem loptam én életembe”
[Never in my life did I steal anything]

The folk song, No. 31 “Never in my life did I steal anything” notated by

Bartók, seen in Example 2.3, seems to show a C major key signature. However, even

though Bartók does not mark it as such, this piece has a cadence in G minor with the

cadential melodic figure, B –C–G. The note B is also flatted by an accidental in the

second to last measure. Seeing the B , the reader might speculate that Bartók does not

write the key signature of G minor (B + E ) in the music because the note B is not

flattened everywhere, as shown by the presence of the B natural in the first measure;

moreover, the note E is always natural throughout the song. This phenomenon is based

on his explanation of key signature notation.

Furthermore, in the seeming notation of a C major key signature, there is

actually another hidden perspective. The folk melody can be divided into two sections,

the first section, mm. 1–4, and the second section, mm. 5–8. Each division implies a

different mode based on the same fundamental tone G. The first section is G-

Mixolydian with no accidentals, G-A-B-C-D-E-F-G, which is characterized by the

major third, B , and minor seventh scale degrees, F . The second section is G-Dorian

represented by the minor third altered by the B accidental and the major sixth, E ,

G-A-B -C-D-E -F-G. Therefore, the tonality of the folk song is a G-tonality

31
consisting of G-Mixolydian and G-Dorian. Accordingly, the absence of a key

signature provides a notational flexibility, and it also facilitates modal change in his

polymodal music without the limitation of key signatures.

On the other hand, Bartók’s guideline for key signatures in terms of Hungarian

peasant music yields many unfamiliar types of key signatures in contrast to the

traditional ones. This method of deriving key signatures appears justifiable on the

basis of two primary reasons. First, Bartók’s principle of notating key signatures does

not come from a tonal relationship between keys. That is, while traditional key

signatures adhere to certain types and orders under the rule of the circle of fifths,

Bartók’s concept deviates from this and does not maintain a fixed musical notational

system. The traditional key signature is stereotyped within fifteen configurations

(excluding minor keys), from one to seven sharps or flat keys including C major; but it

is difficult to categorize the types of key signatures shown in Bartók’s music. The

second reason for the appearance of unfamiliar key signatures results from the

employment of various scales that originated in East European folk music. Bartók’s

work does not revolve only around traditional major or minor scales; rather, he

frequently uses the ecclesiastical modes, as well as non-diatonic scales and

amalgamations of both types of scales in music based on the same fundamental tone.

Therefore, such flexibility of notation becomes suitable for writing folk music and,

ultimately, chromatic polymodal music.

From among the key signatures of all 348 folk songs, including their variants

listed in The Hungarian Folk Song, I have classified the four types of key signatures,

which are most popular and distinctive in spite of the mode of music represented: 1)

32
the octave lowered F#-key signature; 2) the incomplete-diatonic E -key signature; 3)

the non-diatonic B -F# key signature; and 4) the absence of key signature. Here I will

generally explore representative musical examples in each of the four types of key

signatures. Later, I will investigate in more depth the relationship of key signatures in

the transcribed Hungarian folk music with that of Bartók’s own music. Let us begin

with the simplest key signature type, the octave lowered F#, used in Hungarian

peasant music, which has relatively minor changes when compared to traditional tonal

key signatures.

2.1.1. Octave Lowered F#-Key Signatures

Interestingly, all F#-key signatures used in the music examples of The

Hungarian Folk Song are an octave lower. Example 2.4 shows a frequently referenced

example corresponding to the first type of key signature in the notation of Hungarian

folk music.

Example 2.4 Hungarian folk song, No. 221, “Te kis lëány” [O you little maid]

The key signature of No. 221, “Te kis lëány” [O you little maid], which has an

isorhythmic melodic ending in all four tune-lines divided by a quarter rest, illustrates

33
the unusual F#-key signature; it is notated an octave below the traditional key

signature of G major or E minor. The octave lowered F#-key signature appears

frequently in his notation of folk songs because all folk melody is transposed to have a

common final on g1 according to the modified Krohn’s system, and because it is in a

more suitable vocal range than the conventionally notated F#-key signature. As a

result, the semitone lower note of g1, f1#, is used more, rather than f2#, as a leading

tone or a neighboring tone of note g1. Of note, the folk melody of No. 221 has the

note f1# twice, but it doesn’t include the octave higher note, f2#. Thus, Bartók lowers

the F#-key signature by an octave to indicate an altered real pitch. It also originates

from the notational concept of the Middle Ages in which the accidental was indicated

only by the note at the pitch specified, while the accidental or key signature in tonal

music applies to every note in octave equivalence. 49 Therefore, Bartók’s preference in

using the octave lowered F#-key signature allows us to further understand his brief

explanation of key signatures, whereby they include only such signs [at the pitch

specified] as applied throughout a song. In addition to No. 211, there are twenty five

other musical examples of the octave lowered F#-key signature in The Hungarian

Folk Song: Nos. 94, 108, 127, 135, 155, 161, 163, 172, 177, 182, 183, 185, 191, 205,

216, 221, 234b, 260a,264, 267, 278, 281, 289, 310, and 311.

49
Ian D. Bent, et al. “Notation,” in Grove Music Online Oxford Music Online,
http://www.oxfordmusiconline.com/subscriber/article/grove/music/20114 (accessed Mar. 2, 2009).

34
2.1.2 Incomplete-Diatonic E -Key Signatures

The second type of key signature discussed from The Hungarian Folk Song is

the incomplete-diatonic E -key signature. It is clear that this E -key signature is

unusual in traditional tonal music, but it appears to be the second most popular among

folklore collectors including Bartók himself. The use of this key signature is seen in as

many as twelve musical examples in The Hungarian Folk Song. The most commonly

cited musical examples of this type are found in Class C, which is classified as a

mixed style of Hungarian peasant melodies. 50 It also appears in more complex musical

phenomena than just the F#-key signature typically seen in the notation of folk music.

Of significant interest, the incomplete-diatonic E -key signature can be divided into

two categories in terms of traditional key signatures in tonal music: the incomplete G

minor E -key signature and the incomplete C minor E -key signature.

An instance of the first category is seen below in Example 2.5, No. 252, “Adj

el anyám” [Give me away], which illustrates the incomplete G minor E -key

signature—an E -key signature without B . As seen here, the B is sometimes notated

with either flatted B or natural B, while the note E is always flatted in the music.

Therefore, according to his notational direction, Bartók employs only the E as the

key signature in No. 252.

50
Bartók classified Hungarian folk songs into three classes according to various classification principles,
such as syllabic structure, rhythmic schema, and others of Bartók-System during 1934-1940: Class A,
old style melodies, Class B, new style melodies, and Class C, mixed style melodies. But some
subcategories of Class C later moved to Class A due to more refined rhythmic schemata. See Benjamin
Suchoff, editor’s preface to The Hungarian Folk Song, xl-xliii.

35
 Example 2.5 Hungarian folk song, No. 252, “Adj el anyám” [Give me away]

The folk song in Example 2.5 consists of four asymmetric phrases with the

melodic structure AABC designated by the melodic content of the folk song. For

instance, letters mark each tune-line divided by ending notes and indicated by a

complete or an incomplete boxed number, where the identical letter implies an

identical melodic content. No. 252 segregates into two parts, Part 1, mm. 1–8, and Part

2, mm. 9–15. Here in his comment on Part 2 of The Hungarian Folk Song, Bartók

points out the successive use of the notes B and B , a minor third and major third

above G, respectively, as the chromatic feature of this folk music. Such use of both a

diatonic and a chromatic altered note is vertically realized in a triad with “a doubled

third” (one minor, the other major), which is intimately connected to his concept of

major/minor polymodal music. 51 In No. 252, the return of the note B in measure 13

certainly renders the G minor tonality in the music. The simultaneous use of B and

B also appears in No. 276a, “Elvesztettem lovam” [I have lost my horse] with an E -

key signature as shown below in Example 2.6.

51
Béla Bartók, Béla Bartók Essays, ed. Benjamin Suchoff, 368. In Béla Bartók Essays, Bartók shows
examples from his Second String Quartet and “Wrestling” in Mikrokosmos vol. iv, No. 108.

36
 Example 2.6 Hungarian folk song, No. 276a, “Elvesztettem lovam”
[I have lost my horse]

In this second example of the incomplete G minor E -key signature, note B in

measure 3 is presented as a chromatic neighboring tone in the melodic figure C–B –C

transposed by a fourth above the melodic motive, G–F#–G in measure 1. Right after

measure 3, however, the B is changed to B , and the B is continuously used in the

cadences of measure 4 and 6. These caesuras of the second and third tune-lines are

marked by the figures 3 above notes B , which signify a minor third above a uniform

final g1, and they also emphasize the octave division of the G minor tonality that

articulates G–B –D–G as a tonic chord. My criteria for identifying emphasized

pitches require that they either begin or end a tune-line, that they generate their own

diminutions or that they are emphasized by a leaping motion. 52

In contrast, the second category of the E -key signature is an incomplete C

minor without B and A , according to its tonal designation. It is represented by E

alone without the B and the A in the key signature. Most incomplete E -key

signatures belong to this second category and appear in at least ten examples in The

Hungarian Folk Song. Most musical examples of the second category have a

52
The ordering of pitches in the octave division does not necessarily reflect their order in the music.

37
characteristic melodic division of an octave, descending skips G–E –C–G. Below, in

Example 2.7, Hungarian folk song No. 49 “Elmész ruzsám?” [Going, my love?] is an

interesting musical example containing the E -key signature as a type of incomplete C

minor key signature. The first two tune-lines clearly emphasize C and E . The third

tune-line emphasizes C and G through a leap, as does the fourth tune-line before it

concludes on G. 53 This piece demonstrates the polymodal property of folk songs with

the fundamental tone, G, from a C minor tonal perspective. In order to explore a G-

polymodality related to a C minor mode, we will approach this issue in terms of both

tonal and modal perspectives.

Example 2.7 Hungarian folk song, No. 49 “Elmész ruzsám?” [Going, my love?]

Unlike the first category of the E -key signature, the individual treatment of

the notes B and B from a C minor tonal perspective is revealed in Example 2.7.

Both notes in folk song No. 49 are used separately in each phrase: the natural B is

found twice in the first phrase, mm. 1–4, whereas, the B appears twice in the second

phrase, mm. 5–8, in the form of the melodic content structure of AABC. Careful

analysis of this folk song shows that there is a change of mode between the first and

53
Bartók transposes the folk melody of No. 49 by a major second above in his No. XXXXI, For
Children, and harmonizes it in an A-Phrygian tonality.

38
the second phrases due to the notes B and B . In the first melodic section A, the

repeated melodic motive consisting of an interval C–E and B reminds us of a

segment of the C harmonic minor, B –C–D–E , as the scale degrees 7^–11^–2^– 3^. In

particular, at the main caesura (the ending of the second tune-line) in measure 4, the

natural B enhances the character of this C minor mode as a leading tone. On the other

hand, in the third phrase, the note B is exchanged for B . The appearance of this note

on the strong beat in measure 6 plays an important role and provides a clue for the

change of mode from the C harmonic minor mode to the C natural minor mode. Here,

in the second phrase, a segment of the C natural minor, F–G–B –C–D, forms the

pentatonic melody. The segments of both C minor modes may be notated by a C-

minor key signature with B , E and A according to the conventional notation of key

signatures. But, No. 49 is represented by an E -key signature because of the use of

both notes B and B and the absence of note A in the music. 54

On the other hand, from a polymodal perspective, No. 49 could illustrate a G-

Phrygian polymodality consisting of the two different but incomplete G-modal scales

related to C minor. The G-Phrygian tonality in No. 49 is mainly found in the final

cadence on the final G and in the emphasized pitches within the folk melody, G–E –

C–G, which is the chord of the tonic in C minor. 55 Here, even though the characteristic

note of G-Phrygian, A , is not used in the music, the note G, the fifth degree of C

54
One might be tempted to identify a change to G-Dorian in m. 6, but this would be incorrect because
the major sixth from G to E , a characteristic interval for the Dorian mode, is absent.
55
More detail considerations of Phrygian modal music will be discussed in Chapters 3, which deals
with cadences in polymodal music.

39
minor, plays a role as the fundamental tone in a G-Phrygian tonality. In fact, in The

Hungarian Folk Song Bartók suggests this plausible interpretation with an incomplete

Phrygian scale based on the arpeggiated melodic frame, G–C–E –G, which is

extracted from certain types of the unusual scales seen in Hungarian folk music (for

instance, G-A( )-C-D-E -F-G). Thus, according to Bartók’s supposition, No. 49 can

be described as a G-tonality with an incomplete G-Phrygian scale. 56 In particular, in

No. 49, the two incomplete modes in G-Phrygian polymodality are represented

separately in each phrase as mentioned above: G-(A)-B-C-D-E -(F)-G in the first

phrase and G-(A )-B -C-D-E -(F)-G in the second phrase. 57 Through the exchange B

for B , a new G-modal scale is created, thus supplying the potential to produce a G-

polymodality. Indeed, the G-Phrygian polymodality actually corresponds to the

traditional key signature of C minor in tonal harmony, but it is represented by an E -

key signature in No. 49.

Furthermore, it is possible to consider a modal scale combined with segments

of scales related in polymodal mode in folk songs. These two modal scales in No. 49

can be regarded as combining two different G-tetrachords, G–(A) –B –C and G–(A

)–B –C, with a C-minor pentachord, C–D–E –F–G. In particular, the incomplete G-

modal scale in the first phrase, G-(A)-B-C-D-E -(F)-G, with the octave division G–C–

56
Suchoff, in his table of Hungarian folk song material, refers to the affinity between the Hungarian
folk songs No. 49 and No. 174 because both are based on an incomplete Phrygian scale, even though
they have different melodic structures and cadences in the melodic section. See Bartók’s The
Hungarian Folk Song, 350. For incomplete modal scales, see Bartók’s The Hungarian Folk Song, 54-55.
For example, No. 195 has an incomplete Phrygian scale, No. 226 an incomplete Dorian/Aeolian scale,
and No. 280 an incomplete Mixolydian scale.
57
The names of notes in parentheses indicate unused notes in the folk melody.

40
E –G, can be related to a specific scale form, which Bartók called a plagalized minor

scale or plagal form of minor tunes. 58 A case in point, this G-modal scale never

employs the notes B and A in any folk melody with an incomplete C-minor E -key

signature. The plagalized minor scale shown in Hungarian folk songs is a unique

variant of an authentic modal scale with octave division G-B/B -D-G, coupled with a

plagalized major scale, which is G-A-B-C-D-E-F-G with the octave division G-C-E-G.

The origin and characteristics of plagal forms of minor/major tunes will be further

investigated in relation to a melodic plagal cadence in Chapter 3.

After analyzing the two categories of the incomplete diatonic E -key signature,

above, it is interesting to observe common phenomena such as: the note E is always

flattened, but the note A never appears in Hungarian folk songs with an E -key

signature, while the note A is sometimes used. Thus, folklorists, including Bartók,

disregarded the need to put the A as well as the B in the key signature because the

B is not used or because the note B is frequently exchanged for B . Some of the

musical examples that replace B for B include: Nos. 49, 162, 226, and 252 in The

Hungarian Folk Song. The simultaneous use of the diatonic note and its chromatic

altered note is displayed with other notes in Hungarian folk songs. For example E and

E , A and A , and F and F#, as well as B and B are occasionally exchanged. Bartók

refers to this phenomenon as a “chromatic changing-note.” 59 Intriguingly, in the case

of the changing-notes B and B in Hungarian folk songs, there can be an exclusive

58
Bartók, The Hungarian Folk Song, 40-41, 53-55.
59
See Bartók, The Hungarian Folk Song, 55.

41
appearance of B in the second half of the music which uses the E -key signature.

Therefore, we often observe the change of mode in sections of these musical examples

listed above. Consequently, in Hungarian folk songs with an E -key signature, note E

is always flattened and note A is always natural, while note B is either flatted or

natural depending on the scale form of the particular folk song.

Until now, we have briefly explored E -key signatures dividing them into two

categories according to two interpretable conventional key signatures: the incomplete

G minor E -key signature and the incomplete C minor E -key signature. The

difference between these two categories is explained by the presence of a distinct

melodic structure. In the Hungarian folk songs with the incomplete G minor key

signature (E -key signature), the octave division is a descending G–D–B–G or G–D–

B –G, while in contrast, in music with the incomplete C minor key signature (E -key

signature), the octave division is a descending G–E –C–G. These occurrences result

from the traditional major-minor tonal system, which is established in functional

triadic chords such as tonic and dominant. As shown in examples of the G minor E -

key signature, the triadic octave division of the tonic, G–D–B/B –G, supports a

polymodal G-tonality as the frame of the melodic structure. On the other hand, the

descending octave division G–E –C–G, found in folk songs with the C minor E -key

signature, provides the tonic triad of C minor and constructs a polymodal C-tonality.

Therefore, in order to capture the flexible melodic character of these polymodal folk

songs, folklorists including Bartók use the E -key signature to create a flexible or

42
progressive notational system rather than following the inflexible conventional tonal

system.

2.1.3 Non-Diatonic B -F# Key Signatures

The third type of key signature used in Bartók’s transcriptions of Hungarian

folk songs is the non-diatonic B -F# key signature. The B -F# key signature, which

combines a flat with a sharp, is non-diatonic and is not used in traditional tonal music

even though it implies the ascending G-melodic minor scale, G-A-B -C-D-E -F#-G.

Three musical examples, Nos. 218a, 225b, and 299a in The Hungarian Folk Song, are

included in this third type of key signature, and they belong to Class C, mixed style

melodies of Hungarian folk songs. These folk songs with the non-diatonic B -F# key

signature demonstrate the triadic division of the G minor triad, G–B –D, in contrast to

the fourth-third ascending division, which I refer to as a plagal division, G–C–E , one

that is seen in much folk music with the E -key signature. In addition, in the

Hungarian folk songs with an F#-key signature, the F# is always lowered by an octave,

and it frequently occurs mainly in a major mode, where it functions as a leading tone.

In comparison with the non-diatonic B -F# key signature, while the accidental F# is

located an octave lower, as in the F#-key signature, it plays a role as a leading tone in

a cadential melodic figure of a minor mode. For instance, in his The Hungarian Folk

Song, Bartók describes No. 218a as having a B -F# key signature (Example 2.8) and

43
as being in a minor mode, 60 specifically the ascending G-melodic minor scale in tonal

music, G-A-B -C-D-E -F#-G. Another example, No. 225b, “Le van a szivem

láncolva” [My heart is in chains], is also in the G minor mode but lacks scale degree 6^

(E or E). In both G minor mode examples, folklorists including Bartók regard the F#

as an independent element of a G-modal scale. Thus, unlike the conventional key

signature, the key signatures of these G minor modes are notated with only the B and

F# because note F is always raised while E is not used in the music.

Example 2.8 Hungarian folk song, No. 218a, “-Hej, halászok” [Hey, fisherman]

In Example 2.8, No. 218a consists of four tune-lines indicated by brackets and

boxed numbers , 1 , , and it has seven-syllables in each tune-line so that the

music maintains isometric lines. It clearly shows the triadic division, G–B –D, in

melodic structure with the G minor mode scale, as mentioned above. On the other

hand, it can be depicted as a G-Dorian mode including a major seventh because the

Dorian sixth, E, is clearly used in the diatonic upper neighboring melodic motion, D–

E–D, in measure 2. Note, however, that in No. 218a the cadence on G minor is

60
Bartók, The Hungarian Folk Song, 62.

44
emphasized by the leading tone F# before the final G; thus, the G-melodic minor

tonality is more plausible than a G-Dorian.

A notable exception related to the B -F# key signature is the non-diatonic B -

C# key signature, which also appears in The Hungarian Folk Song. Here, the origin of

the accidental C# is similar to that of the accidental F#. As F# is frequently used as the

changing-note in a G major or minor mode, Bartók purported that C# as a changing-

note is usually reserved for the position before the note D, such as (D)–C#–D, when

(G)-F#-G is transposed by a fifth above. 61 For instance, the ending of No. 196, as

shown in Example 2.9, is a good musical example that shows instances of C#

functioning as a changing-note in the folk melody with the non-diatonic B -C# key

signature. Likewise, in another example, No. 299a, the accidental C# is also

represented as a changing-note in the folk melody. On the other hand, in No. 196 of

Example 2.9, it is interesting that in this folk melody the augmented second between

B –C# is frequently noted as a prominent feature. Bartók pointed out the appearance

of another augmented second E –F#, as well as a B –C#, as one of his Hungarian

music examples. He explained that these augmented seconds are created by an

augmented fourth G–C# in a minor mode scale, thus producing the augmented second

B –C#, or by a major seventh G–F# in major/minor mode producing an E –F#. In

addition, Bartók insisted that augmented seconds were influenced by the scales used

by the Máramaros Rumanians and in gypsy’ performances, and moreover, that they

61
Ibid., 55-56.

45
were not completely unknown in Hungarian peasant music. 62 Therefore, a non-

diatonic key signature is useful in representing the common accidentals employed

throughout folk melodies that have been influenced by other neighboring countries.

According to Bartók, both of these examples of non-diatonic key signatures belong to

a miscellaneous class of Hungarian folk song, Class C.

Example 2.9 Hungarian folk song No. 196 “Arra vigyázz őreg asszony”
[Have a care, Old woman]

2.1.4 Absence of a Key Signature

The fourth and final category found in Hungarian folk songs is represented by

the absence of a key signature. In fact, folklorists including Bartók do not notate the

key signature in many folk songs. Here we will briefly cite representative cases of its

absence. First, notice that some folk songs are obviously in a G major mode, but if the

note F# is not used, the collectors do not notate an F#-key signature. For instance, folk

song No. 176b, shown in Example 2.10, illustrates a G major mode through a triadic

division of a tonic chord, G–B–D, and the apparent endings 1^over I or 2^ over V in four

62
Ibid., 55.

46
tune-lines. Thus, No. 176b shows a G major scale without F#, G-A-B-C-D-E-(F#)-G.

This G-modal scale illustrates Bartók’s failure to annotate the F#-key signature in No.

176b.

Example 2.10 Hungarian folk song No. 176b, “Jóestét” [Good evening]

Most instances of the absence of a key signature are the result of Bartók’s

notational standard, indicated in The Hungarian Folk Song, in which only an

accidental(s) consistently assigned throughout a song can be in a key signature. For

instance, as shown in Example 2.10, even though this folk song is in a G major mode,

if there is no F# in it, the F#-key signature will not be notated. Likewise, the B -key

signature in a folk song is not notated in a G minor mode if the B note appears with a

chromatic altered note, B . Consequently, this feature explains another example of the

absence of key signatures as shown below in Example 2.11.

Example 2.11 Hungarian folk song No. 119, “Hej, édes anyám” [Hey, mother]

47
 In general, Bartók divides Hungarian folk tunes into three or four tune-lines,

depending on the number of lines of text. Each tune-line is allotted one line of text.

For example, No. 119 in Example 2.11, “Hej, édes anyám” [Hey, mother] reveals a

symmetric melodic structure consisting of four tune-lines, ABBvA (Bv is a varied B-

line). In folk song No. 119, Bartók employs a different mode for each tune-line. The

A-line of the first and fourth lines are in G-Dorian mode with the minor third, B , and

major sixth, E , while the B-line of the second line and Bv-line of the third line are in

G-Mixolydian mode with the major third, B , and minor seventh, F . Therefore, No.

119 has both a G-Dorian mode, including B , and a G-Mixolydian, including B ,

combined in one folk song. Additionally, the note C#, as a chromatic changing-note in

measures 1 and 10, is joined with the diatonic note C in the A-line. In fact, it functions

as a chromatic lower neighboring tone of D; thus, it does not affect the mode of the

folk song. Therefore, Example 2.11 demonstrates another instance of the absence of a

key signature due to the simultaneous use of B and B , even though half of the

melody is in a G minor mode.

From this fact, we can deduce a more important point. In his The Hungarian

Folk Song Bartók claims that, in general, some of these folk songs have certain

characteristics in which each tune-line has a different mode based on the same

fundamental tone:

In some tunes the A-lines (or, as the case may be, the A5 lines) are in the major
scale, whereas the B-lines are in the Mixolydian (No. 142). In the B-line of
tunes in the Dorian scale the third may be raised (No. 119). 63

63
Ibid., 40.

48
 Such a reference presumes that the discovery of the polymodal nature of

Hungarian folk songs influenced Bartók’s compositional style. Indeed, No. 119, in

Example 2.11, proves the inherent polymodal property of Hungarian folk songs

because the music is in G-Dorian and G-Mixolydian, as described above. This

polymodal feature can be found in other songs whereby the change of mode is

frequently accomplished by the employment of one or two accidentals. While No. 119

changes modes with the substitution of the notes B and B , another example, No.

142, shows the polymodal combination of a G major mode with F# and a G-

Mixolydian mode with F . Therefore, these polymodal examples may in part account

for Bartók’s recognition of the incongruence of conventional key signatures in

Hungarian folk music. Furthermore, he may have concluded that the conventional key

signature was, likewise, inappropriate to his own polymodal music. In addition, this

conclusion may derive from his concept of the exchange of chromatically altered notes

as an individual component of two independent modes, which produce polymodal

scales. 64 For instance, in Example 2.11, the two exchanged notes, B and B , are

introduced from two separate G-modal scales, G-Dorian and G-Mixolydian. It is

difficult to decide which key signature should be primary because in tonal music a key

signature generally projects only one primary scale. Therefore, in the polymodal folk

song, the key signature represents the common accidental(s) of various polymodal

scales, rather than one principal scale as in tonal music.

64
Bartók, Béla Bartók Eassys, 432-33.

49
 We have examined representative examples of the four types of key signature

notations in Hungarian folk songs: the octave lowered F#-key signature, the

incomplete E -key signature, the non-diatonic B -F# key signature, and finally the

absence of key signature. By analyzing these four types of key signatures, we

discovered the different perspectives of key signatures in modal/polymodal Hungarian

folk music, as well as their major differences in terms of conventional key signatures.

An analogy between Hungarian folk music and Bartók’s own music in terms of the

notation of key signature will be found in the following discussion, which uses as

examples short pieces of Bartók’s Mikrokosmos. These observations and facts will be

helpful in interpreting the unique key signatures used in Bartók’s polymodal music

and in moving toward more inclusive theoretical conclusions.

2.2 Key Signature in Bartók’s Mikrokosmos

Until now we have identified and evaluated four types of new key signatures

through musical examples contained in The Hungarian Folk Song notated according to

Bartók’s modified Krohn’s system. These types of key signatures are closely related to

those employed by Bartók in his own music. His Mikrokosmos possesses many of

these newly created key signatures and provides very useful pieces for investigating

Bartók’s conception of key signatures. Scholars have cited Mikrokosmos as a defining

collection; in the Preface of Mikrokosmos, Peter Bartók states that Béla Bartók put

many different styles into 153 short piano pieces under the apt title of Mikrokosmos–

50
each piece representing a small world. 65 Benjamin Suchoff points out in his Bartók’s

Mikrokosmos that this collection uses a variety of keys with greater emphasis on the

folk modes and nondiatonic scales rather than on the traditional Western major-minor

tonal system. 66 Thus, since Mikrokosmos contains compositions juxtaposing these

diverse scales and demonstrates similar key signatures, as revealed in Hungarian folk

songs, it provides a rich resource for Bartók’s polymodal musical language with a

particular emphasis on the newly invented key signatures. It in fact makes possible the

exploration of the representative characteristics of Bartók’s key signatures, thereby

providing a useful source for his concept of polymodality.

Delving deeper into the topic, my study will classify the diverse new key

signatures shown in Mikrokosmos into six types based on their notational

characteristics as compared to traditional key signatures:

1. Octave transposed key signature;

2. Discordant key signature;
3. Incomplete-diatonic key signature;
4. Non-diatonic key signature;
5. Bi-key signature;
6. Absence of key signature;

As shown by the categories above, we can appreciate the variety of key

signatures used in Mikrokosmos, as well as their connection to key signatures in

Hungarian peasant music. In addition, through analyzing selected pieces in

65
Peter Bartók, foreward to Mikrokosmos, by Béla Bartók (London: Boosey & Hawkes, 1987), 4.
66
Benjamin Suchoff, Bartók’s Mikrokosmos: Genesis, Pedagogy, and Style (Lanham: The Scarecrow
Press, 2002), 30. This book includes Bartók’s personal comments and theoretical opinions about each
short piece of Mikrokosmos.

51
Mikrokosmos, we can identify interesting manifestations and implications of key

signatures in Bartók’s polymodal music. I will discuss and compare each type of key

signature in relation to musical examples that correspond to the types presented in

Hungarian peasant songs. Through a comparative analysis, we will discover that the

key signatures in Mikrokosmos are more advanced variations than those of the

Hungarian folk song. Moreover, we will also find that Bartók’s creative concept of

key signature marks a departure from the established notational procedure, which

serves to develop his polymodal compositional style. However, the conventional

interpretation frequently masks polymodal tonality. Thus, a better understanding of his

concept of key signature must go beyond the conventional perspective in order to

correctly interpret key signatures as indicating specific tonalities in his polymodal

music.

2.2.1 Octave Transposed Key Signatures

The first type of key signature found in Mikrokosmos is the simplest type and

involves only a transposition of accidentals by an octave. Its configuration is similar to

the traditional key signature and is closely related to the first type of key signature in

Hungarian folk songs, the octave lowered F#. In this case, Bartók transposes certain

pitches by an octave lower or higher to adjust for a five-finger range, just as he

transposed key signatures in folk songs by an octave in order to adjust for a vocal

range and a final g1, as discussed above. In Mikrokosmos, there are many types of

52
octave-transposed key signatures other than the F#-key signature. These octave-

transposed key signatures are combined with other types of key signatures as listed in

Figure 2.1.

Figure 2.1 Various octave transposed key signatures invented by Bartók

in Mikrokosmos

As shown in Figure 2.1, in most of the first type of key signatures, the

accidentals F# and G# are represented by a transposed octave and are occasionally

combined with other types of key signature, for instance, the non-diatonic key

signature in No. 10 (Figure 2.1a) and the incomplete-diatonic key signature in No. 44

(Figure 2.1d).

Here, it would be a natural progression to begin with the octave lowered F#-

key signature because it is the simplest and most popular among the first type of key

signature found in Mikrokosmos, as well as in Hungarian folk songs. This signature

appears in various musical examples, such as Nos. 8, 15, 47, 76, 79, and 82. In

particular, Bartók explains the reason for the use of the octave lowered F#-key

signature in his comment on No. 8 as follows: 67

In the key signature it is more convenient to put the sharp on the same space as
the note. It is easier to see, too.

67
Ibid., 37.

53
 Thus, among the many octave lowered F#-key signatures, we will investigate

the octave lowered F#-key signature in No. 15, “Village Song” in Mikrokosmos. Here,

Bartók duplicates the melody in the right hand by a octave lower in the left hand. The

key signature in the right-hand part alone marks the octave lowered F#, while it

remains in the original position in the left hand part.

Example 2.12, Mikrokosmos No. 15, “Village Song”

No. 15 is in the key of G-major with an asymmetric structure and is divided,

first, into two semi-phrases and then into three semi-phrases ending with a half

cadence. The half cadence in the final phrase reflects the influence of Yugoslav folk

music. 68 If each melodic section or semi-phrase is indicated by a letter, the phrasing

structure of No. 15 can be described as AA5B5BA (A5 is moved up by a fifth from A)

in accordance with the principles of notation in the melodic structures of Hungarian

folk songs. In measure 4, the C# accidental is continuously used inside the melodic

68
Ibid., 126. Suchoff often states that forming a half-cadence ending on the dominant comes from
Yugoslav folk music in Bartók’s Mikrokosmos based on Bartók’s ethnomusicological research. See
Béla Bartók, Yugoslav Folk Music II, ed. Benjamin Suchoff (Albany: State University of New York
Press, 1978), 59-61.

54
section B5. Here, there are two possible views related to the explanation of these C#

notes, depending on the musical system: tonal or polymodal. First, in the tonal system,

the music in a G-major key modulates to D-major and then returns to G-major, ending

on the dominant. Thus, G-major is a principal key of No. 15, and the C# plays a role

as a leading-tone of D-major. On the other hand, we can interpret No. 15 as a G-

polymodal piece consisting of a G-major and G-Lydian, G-A-B-C#-D-E-F-G. 69

According to Bartók’s comments, he defines the tonality of No. 15 as “a sort of G-

major” with an altered fourth. 70 Here, even though he does not indicate specifically,

the “sort of G-major” signifies the G-Lydian, the mode that strongly implies a major

mode with an altered fourth. In addition, the C# is regarded as a chromatically altered

note, used simultaneously with the note C in the music, and it can be compared with

the changing-note phenomena found in Hungarian folk song. Interestingly, No. 15 is

developed by a change of pentachords, from the C-pentachord in the first melodic

section to the G-pentachord in the second melodic section, to the A-pentachord, D-

pentachord, C-pentachord, through transitions using a pivot note between melodic

sections. Thus, the note C# is interpreted either as a leading tone into a new key, D-

major, or as the colored note from the G-Lydian mode produced by a transposition a

fifth above of the C-pentachord of the first melodic section.

In conclusion, in No. 15, since only the octave lowered F# appears in the music,

Bartók uses the octave transposed F#-key signature for practical reasons, as mentioned

above, thereby not following conventional tonal notation.

69
Ibid., 124. In his analysis of No.15, Suchoff also indicates it as polymodal music created by C and C#:
G-major in all A melodic sections and G-Lydian in all B melodic sections.
70
Ibid., 39.

55
2.2.2 Discordant Key Signatures

The second type of key signature shown in Mikrokosmos is the “discordant key

signature,” one that has the same form as a traditional key signature, but implies a

different tonality from a key that is traditionally indicated in the major-minor tonal

system. Indeed, it is the most prevalent type of key signature among the six types used

in Bartók’s polymodal music. In comparison to traditional tonal music, the notational

principle of this key signature is very similar to that of the relationship of a relative

major and minor key. For example, three types of A minor scales (natural, harmonic,

and melodic) in an A-tonality are notated by the key signature of their relative major,

C major, as a parent key. Likewise, a D-Dorian mode in a D-tonality can be

represented by a C major key signature. From this perspective, all ecclesiastical

diatonic modes with a C major key signature belong to examples of discordant key

signatures. In addition, possible relative church modes in a G major parent key are

identified as: G-Ionian, A-Dorian, B-Phrygian, C-Lydian, D-Mixolydian, E-Aeolian.

These six modes can be represented by an F#-key signature. Thus, Figure 2.2 lists

each of the six relative modes according to the key signatures of fourteen parent keys.

Accordingly, we will analyze two examples, No. 47 and No. 45 in Mikrokosmos, with

the transposed F#-key signature as representative examples of the discordant key

signature. Here, a question arises from the discordant notated key signatures shown in

these two pieces. Is there any other relationship between a notated key signature and

polymodality? Thus, we will research a pattern of notated key signatures found among

them. This approach will be helpful for investigating another function of Bartók’s

56
concept of key signatures, one that is a referential means of defining tonality in his

polymodal music.

Figure 2.2 Parent keys and possible relative modes

Parent key (#s) Relative modes Parent key ( s) Relative modes

G-Ionian F-Ionian
A-Dorian G-Dorian
B-Phrygian A-Phrygian
G Major (1#) C-Lydian F Major (1 s) B -Lydian
D-Mixolydian C-Mixolydian
E-Aeolian D-Aeolian
D-Ionian B -Ionian
E-Dorian C-Dorian
F#-Phrygian D-Phrygian
D Major (2#s) G-Lydian B Major (2 s)
E -Lydian
A-Mixolydian F-Mixolydian
B-Aeolian G-Aeolian
A-Ionian E -Ionian
B-Dorian F-Dorian
C#-Phrygian G-Phrygian
A Major (3#s) D-Lydian E Major (3 s) A -Lydian
E-Mixolydian B -Mixolydian
F#-Aeolian C-Aeolian
E-Ionian A -Ionian
F#-Dorian B -Dorian
G#-Phrygian C-Phrygian
E Major (4#s) A-Lydian A Major (4 s)
D -Lydian
B-Mixolydian E -Mixolydian
C#-Aeolian F-Aeolian
B-Ionian D -Ionian
C#-Dorian E -Dorian
D#-Phrygian F-Phrygian
B Major (5#s) E-Lydian D Major (5 s) G -Lydian
F#-Mixolydian A -Mixolydian
G#-Aeolian B -Aeolian
F#-Ionian G -Ionian
G#-Dorian A -Dorian
A#-Phrygian B -Phrygian
F# Major (6#s) B-Lydian G Major (6 s)
C -Lydian
C#-Mixolydian D -Mixolydian
D#-Aeolian E -Aeolian
C#-Ionian C -Ionian
D#-Dorian D -Dorian
E#-Phrygian E -Phrygian
C# Major (7#s) F#-Lydian C Major (7 s)
F -Lydian
G#-Mixolydian G -Mixolydian
A#-Aeolian A -Aeolian

57
 Example 2.13 Mikrokosmos No. 47, “Big Fair”

Example 2.13, No. 47, “Big Fair,” also known as Country Fair, seems to be an

example of the octave lowered F#-key signature in Mikrokosmos. Like that of No. 15

in Example 2.12, Bartók notates the F#-key signature an octave lower only in the right

hand part to adjust for the five-finger range. In No. 47, the key signature would

normally indicate G major or E minor in traditional tonal music; but the tonality of No.

47 is an A-tonality that ends on a final A based on the polymodal scales A-Aeolian

and an A-Dorian. Although the F#-key signature indicates the G major mode, it does

not seem to be enough to support the G major traditional tonality because of the

58
repeated entrance of melodic figures with a descending fourth skip, A–E, and more

importantly, because of an absence of a tonic chord and the leading tone of G major,

F#. Moreover, the ostinato bass melodic figure that spans two measures, A–E–G–D,

strengthens an A-tonality rather than a G major tonality. Thus, Bartók uses the key

signature in a unique fashion in order to establish an A-tonality in No. 47, which

derives from its formal structure.

As in many other cases, the form of short pieces in Mikrokosmos is often

ternary. Likewise, No. 47 consists of three parts: Part A, mm. 1–13; Part B, mm. 14–

22; Part A´, mm. 23–34. Bartók constructs this ternary form through diverse inimitable

contrasts between parts in his polymodal music, unlike the contrasts of a key or a

melodic figure in traditional tonal music. First, Bartók incorporates different features

in each part that emphasizes different pitch material. Looking at the employment of F#

in No. 47, we find that F# is used exclusively in Part B, mm. 23–34. The first

appearance of F#, on the downbeat at the beginning of Part B, is accentuated by

sforzando; F# then continuously receives metrical stress with its re-entrance on the

downbeat in the melody or after a rest. Moreover, it is firmly repeated in neighboring

figures, where the F# is prolonged in both hands several times. Secondly, in No. 47,

there is the contrast of melodic figures between Part A and Part B. In contrast with the

stepwise figures around F# in Part B, Part A shows the pentatonic motivic figures

consisting of the third and fourth skips based on a partial pentatonic scale, D–E–G–A,

developing in contrary motion between the upper and lower voices. On the other hand,

the partial pentatonic scale can be interpreted as the pentatonic scale of A–(C)–D–E–G

in an A-minor mode (A-Aeolian or A-Dorian mode). By contrast, in part B, the F# is

59
accented dynamically and structurally as a Dorian sixth, a characteristic interval of an

A-Dorian. It constructs the E–F#–G–A melodic segment of an A-Dorian, which is

often found as the second part within an octave division of an A-Dorian. The third part,

Part A´, is developed with the same pitch material as Part A, but reverses the order of

the melodic entrances. In the cadential progression of No. 47, mm. 27–34, the

dynamic accent continuously projects the note A in the successive pentatonic melodic

figure, D–E–G–A. This pentatonic stretto drives the music excitingly toward a final A

in measure 34, repeatedly changing the metrical position of the note A and

establishing the A-tonality. In short, in order to contrast the formal structure of No. 47,

Bartók uses different modes in each part based on the same fundamental tone, A: A-

Aeolian in Part A, A-B-C-D-E-(F)-G-A, and A-Dorian in Part B, A-B-C-D-E-F#-G-A.

Here, even though the A-Aeolian in Part A is notated with a C major key

signature, Bartók effectively utilizes the F#-key signature in the polymodal music of

No. 47 according to the notational standard of key signatures found in Hungarian folk

songs. In other words, since Bartók does not use the note F(#) in Part A, the F#-key

signature has no influence on the A-Aeolian melodies in Part A, and it launches the A-

Dorian melodies in the second part, Part B. Thus, at first, the discordant F#-signature

creates some confusion from a traditional sense of key signatures; but we later realize

that the F#-key signature is selected for specific reasons by the composer. Based on

these fundamental arguments, Example 2.14 could be represented as a modified score

of the original, shown in Example 2.13 (according to the notation of a relative key

signature). This supports my argument concerning ternary form in Bartók’s polymodal

60
music. Here, an A-tonality consisting of an A-Aeolian and an A-Dorian illustrates an

example of a discordant key signature in A-polymodality.

Example 2.14 Mikrokosmos modified No. 47, “Big Fair”

Another example of a discordant key signature appears in No. 45, “Méditation”

in Bartók’s Mikrokosmos, which uses three flats. It can be divided into three parts

according to its musical texture: Part A, mm. 1–10, with phrasing structure of two

five-measure phrases; Part B, mm. 11–15; Part C, mm. 16–27, two six-measure

phrases. For the key of No. 45, Bartók provides pertinent comments about this key

61
signature. He remarks that “even though the key signature of the work is C minor, the

composition is in F minor with a major sixth.” 71 We can extract two important facts

from this observation. First, Bartók’s comment opens the possibility of a new

interpretation of the key signature, whereby the key or tonality of the piece can be

different than the notated traditional key signature. That is, it shows that his key

signature could be discordant and, therefore, not in agreement with the conventional

meaning. Secondly, an “F minor with a major sixth” in his comment actually becomes

the F-Dorian mode, F-G-A -B -C-D -E -F, because a major sixth is a characteristic

interval in a Dorian. Through his comment, we also see that he regards a Dorian mode

as a minor mode. It coincides with the presupposition, as mentioned in Chapter 1, that

Bartók considers any scale with an initial minor third to be in a minor mode.

In No. 45, the F minor mode tonality is evident in the prolongation of the tonic

chord in F minor (F-Aeolian) in the first and second phrases of Part A, mm.1–10,

exchanging the five measure melody in the upper for that in the lower voice. In his

music in a minor mode, Bartók frequently emphasizes the III chord. Likewise, in No.

45, Part B (mm. 11–15) is developed with the broken triadic figure of the A major

chord in F minor mode being inverted and transposed a third above the melody of the

first phrase, excluding the last two measures.

On the other hand, Bartók often uses new pitch material to distinguish the

formal division of each part. Such a compositional method for formal structure was

also found in the previous example, No. 47, with the first appearance of note F# as a

Dorian sixth in Part B. Likewise, in No. 45, the last two measures in Part B play a role

71
Ibid., 51.

62
 Example 2.15 Mikrokosmos No. 45 “Méditation”

in transitioning to Part C with a natural D (the Dorian sixth), and in introducing Part C

in F-Dorian mode. Interestingly, Suchoff also remarks, in his suggestions on No. 45 in

his Bartók’s Mikrokosmos, that the first appearance of a natural D in measure 14 is

important to the performer. 72 From his pedagogic comment, we can presume that

Suchoff might have wanted to warn piano students, who are typically used to

traditional tonal music, about the existence of the D natural in mm. 14–16 because the

modality of the music is explicitly changed from F-Aeolian to F-Dorian right before

Part C. Thus, we may now conclude that Part C is in the F-Dorian mode through a

transition with the note D , a Dorian sixth. In Part C, the note D continuously

appears and gives a subtle variation in color, and the recurring broken chords of the F
72
Ibid.

63
minor seventh chord in the last phrase, mm. 22–25, strengthen the F minor mode in

No. 45 despite the weak cadence on the median chord in the final measure. Therefore,

as Bartók mentions in his own comments, he deliberately arranges the two kinds of F-

minor mode, F-Aeolian and F-Dorian, using the D note in No. 45. For a flexible use

of these minor modes in the music, Bartók does not indicate D in the key signature,

even though the tonality of the music is in F minor. Accordingly, we could

conceivably re-notate No. 45, “Méditation,” in accordance with the conventional

notational custom, as shown below in Example 2.16.

Example 2.16 Mikrokosmos modified No. 45, “Méditation”

When comparing the difference between Example 2.15 and 2.16, in Example

2.16, the key signature of Part A is notated by F minor because it is based on F-

64
Aeolian; but in Part C, the key signature maintains Bartók’s original notation because

it is in the F-Dorian mode. Therefore, in the five measure transitional phrase in Part B,

the note D is represented with the natural accidental in the context of an F minor key

signature.

Here, through these two examples of discordant key signatures, No. 45 and No.

47, we can investigate the relationship between the notated key signatures and

polymodality. Again going back to his own comment about the mode of No. 45,

Bartók also stated that the mode in measure 16 returns to the former Dorian. Thus,

Bartók’s original idea about the mode of No. 45 is that of an F-Dorian, even though he

does not use a Dorian sixth in Part A. On this basis, we can deduce that Bartók might

have intended the three-flat key signature to imply an F-Dorian mode. Thus, he uses

the key signature of the parent key of the relative F-Dorian mode, E major, as shown

in Figure 2.2. Here, according to solfeggio, the note F can be called “re” in a three-flat

key, which can be the fundamental tone of the Dorian. Thus, we can speculate that in

No. 45 Bartók chose the three-flat key signature of E major as the referential

signature to notate the relative F-Dorian mode. Moreover, even though we hear it as F

minor, No. 45 can be regarded as F-Dorian because Part A, analyzed in F-Aeolian

above, illustrates the same melodic division as F-Dorian and is developed with

common notes between F-Aeolian and F-Dorian. Such confusion is the result of our

tonal training and familiarity with the traditional major/minor system.

Likewise, we discussed that No. 47 moves from A-Aeolian to A-Dorian with a

G major key signature notated in the composition. Bartók does not comment on the

key in No. 47, but I believe he actually implies an A-Dorian mode with a G major key

65
signature as the parent key in A-polymodal music. Therefore, Bartók notates the G

major key signature to indicate the A-Dorian mode in this music.

Through the discussion of these two pieces in Mikrokosmos we can find one

more interesting regular pattern of the discordant key signature when the mode is

changed from Aeolian to Dorian. Both Examples 2.14 and 2.16 are modified scores

that use the traditional notation of a key signature. Thus, we can see how the key

signature based on traditional tonal music is varied in polymodality according to the

change of mode. In Example 2.14, the key signatures of No. 47 are changed from an A

minor to an E minor in A-polymodality. Likewise, No. 45 in Example 2.16

demonstrates a change from an F minor key signature to a C minor in F-polymodality.

In these examples, the relationship of both parent keys is found where there is a

perfect fifth. In other words, when the mode changes from Aeolian to Dorian in both

pieces, the tonal motion goes up by a fifth even though the music maintains the same

fundamental tone in polymodality. The phenomenon of changing a parent key to a

fifth higher or lower occurs frequently in Bartók’s polymodal music in order to

provide contrast to the modal variation based on a common fundamental tone, as well

as to create a specific formal structure. Discordant key signatures appear in other

music by Bartók (as well as in Mikrokosmos), and it has become a common cause of

confusion when examining tonality in his polymodal music. Other types of tonal

motion in a parent key change using discordant key signatures will be discussed in

Chapter 4

66
2.2.3 Incomplete-Diatonic Key Signatures

The third type of key signature that Bartók uses in Mikrokosmos has a similar

origin to the second type of key signature in Hungarian folk songs, the incomplete-

diatonic E -key signature. As inferred from this terminology, the incomplete-diatonic

key signature tells us that some accidental(s) has been eliminated from the

conventional key signature, while a certain implied diatonic mode continues to operate

in the musical system. Comparing the incomplete-diatonic key signature in transcribed

Hungarian folk songs, which is limited to the E -key signature or the A -key

signature, with that in Mikrokosmos, we discover that Bartók takes this a step further

by inventing additional types in Mikrokosmos, such as an incomplete F#-G# of the E

major key and an incomplete C# of the A major key.

No. 44, “Contrary Motion,” in Mikrokosmos illustrates the incomplete-diatonic

key signature of E major in Piano I. In No. 44, Bartók composes a piece for two

pianos or four hands using different key signatures in each piano part. For several

reasons, both have the same tonality. First, Piano I and Piano II have the same final,

and Piano II is harmonically complementary to Piano I. Of note, Piano II is

considered to be a supplement of Piano I. Secondly, Piano II is felt to have no bearing

on the melodic motion indicated in the title of No. 44, while Piano I shows obvious

contrary motion. That is, Piano I projects contrary motion between the right and left

hands, but Piano II often demonstrates parallel motion by thirds between both parts.

Finally, Bartók also indicates in this commentary that Piano I can be played without

Piano II.

67
 Example 2.17 Mikrokosmos No. 44, “Contrary Motion”

Here, one notices that the key signature of Piano I uses only two sharps, an

octave lowered F#-G#, one invented by Bartók. In his comment, Bartók states that the

key signature in Piano I indicates the key of E even though it has only two accidentals,

F# and G#. In addition, he explains that he excluded the other two notes (C# and D#)

in the key signature because they are not used in the music. 73 Such a notational

criterion is compatible with that of the standard applied to Bartók’s The Hungarian

Folk Song in which only an accidental assigned to all notated pitches appears in the

given key signature. As shown in Example 2.17, in Piano I, the melody in each hand

stays within a five-finger range, E–B, and does not contain either C# or D#. As Bartók

explains, this makes it unnecessary to write the complete four sharp key signature in

Piano I. Thus, he notates an E major key signature with just two sharps, F#-G#.

73
Ibid., 50.

68
Moreover, the four sharp key signature of Piano II, the corresponding part of Piano I,

provides the basis for the incomplete F#-G# key signature in Piano I.

Indeed, No. 44 with the incomplete-diatonic F#-G# key signature in Piano I is

in the G-Phrygian mode. In particular, the final G in Piano I is repeatedly reinforced

with the appearance of G on the down beat and is developed further in neighboring

motions. Both Pianos I and II of No. 44 have a Phrygian cadence on G in the final

cadence. In Bartók’s polymodality, the Phrygian mode was originally regarded as a

kind of minor mode due to the initial minor third interval of the scale; but in No. 44,

the final cadence on G is supported by a major third G–B (Picardy third) in Piano II.

The Picardy third is frequently used in the final cadence of Bartók’s minor mode

music, and it serves to intensify the ending of the minor mode. Moreover, the G major

chord created by this Picardy third is prolonged as a tonic chord in the cadential phrase

in Piano II, mm. 13–16.

By contrast, based on the key signature of E major as a parent key, one might

raise two plausible but different interpretations of the tonality in No. 44 other than G-

Phrygian: E major and C# minor. First, in the case of an E major tonality, after the

prolongation of E major in the first phrase, the tonic E major chord occurs again in m.

9 in a short duration; but because it is not continuously supported by the tonic and

dominant chords of an E major key, the establishment of E major is weakened in the

remainder of music. Secondly, in the case of C minor, the tonic chord of the C# minor

tonality is used only as a passing chord in the prolongation of III in the first phrase.

Besides, a C# minor chord is not located on the strong beat in Bartók’s harmonization

of the Phrygian melody in the music. Even though it is plausible to consider the

69
prolongation of the G# major chord as a dominant in the cadential phrase, which ends

in a half cadence of C# minor, the functional tonic chord, C# minor, is equivocal in the

music, leading to closure on the dominant chord in the C#-minor tonality.

Therefore, we have covered the G#-Phrygian tonality of No. 44 with the

Phrygian melodic cadence of Piano I, A–G#, and with the final chord of Piano II, G#-

major. In addition, we can observe the second part of the piece engaging in a more

definitive G#-Phrygian tonality than any other. In this second part, Bartók represents

two unique Phrygian harmonic cadences. Prior to its entrance, Bartók uses first the

cadential phrase with vii – I, a modal cadence of the G#-Phrygian, in mm. 11–13, and

completes the music with the final cadence of vØ7 – I, a unique Phrygian cadence in a

G#-tonality that Bartók typically uses. Both chords, vii and vØ7, displayed in

cadences are characteristic Phrygian chords and appear in many other of Bartók’s

Phrygian music; thus, Phrygian chords will be examined in subsequent chapters. Such

phenomena in the employment of modal harmony reflect Bartók’s philosophy of

preserving the nature of the modal melody contained in Hungarian folk music.

Accordingly, the prolongation of the G major tonic chord in cadential phrases defines

the G-tonality more definitively with the Phrygian cadential melodic figures in Piano I

and the Phrygian harmonic cadences in Piano II. Thus, No. 44 in the G-Phrygian

tonality holds many remarkable Phrygian properties and provides useful information

about modal cadences. Through the examination of the incomplete F#-G# key

signature in No. 44, “Contrary Motion,” we can conclude that Bartók demonstrates a

G-Phrygian tonality with an incomplete E major key signature, as a parent key of a

70
relative G-Phrygian, combined with an octave lowered key signature in the right hand

part.

Another noteworthy piece with an incomplete-diatonic key signature, No. 50,

“Minuetto,” shows the C#-key signature invented by Bartók, as shown in Example

2.18. In the notational method of the conventional key signature, the accidental C# is

usually preceded by an accidental F#, and is not used alone. Moreover, for the notation

with three sharps, more sharps other than only C# are required. But No. 50 with the

C#-key signature is undoubtedly in an A-tonality based on the pentachord of the tonic

chord, which spans a five-finger range, A-B-C#-D-E. Because the third degree of the

tonic chord is always raised by the C#-key signature, the key of the music can be

defined as an A major tonality with the tonic chord of A major. In addition, Bartók’s

comment also verifies this fact, as follows: “the key of No. 50 is A major with altered

tones.” 74 We can see he composed it as an A major tonality, but it includes several

non-diatonic tones.

The Minuetto has ternary form, AA′BA′, divided into four melodic sections:

the melodic section A is found in mm. 1–4, the A′ is in mm. 5–8, the B is in mm. 9–12,

and the A′′ is in mm. 13–18. Bartók varies the texture of the musical form by

alternatively changing the order of the melodic entrance of two contrapuntal voices in

each melodic section, A, A′ and A′′, or by contrasting the melodic contours in melodic

sections. For instance, the melody of section A′′ is inverted from that of section A.

74
Ibid., 49.

71
 Example 2.18 Mikrokosmos No. 50, “Minuetto”

On the other hand, No.50 shows the polymodal pentachords comprised of an

A-Ionian, A–B–C#–D–E, and an A-Lydian, A–B–C#–D#–E. Here, it is interesting that

Bartók uses a poly-pentachord based on A with various related yet diverse techniques.

As Suchoff points out, Bartók often uses a different pentachord depending on melodic

motion as in the appearance of ascending or descending movement. 75 This inimitable

example is similar to a melodic minor scale, which has a different scale based on

whether it is ascending or descending. In other words, in measures 1–2 and 5–6, while

the ascending melody uses an A-Lydian modal scale, the descending melody uses an

A-Ionian. Likewise, such an application of the poly-pentachord is also revealed in the

inverted melodies in mm. 13–14 of the melodic section A′′. Meanwhile, the melodic

section B in mm. 9–12 exploits exclusively the A-Lydian pentachord regardless of

melodic motion. Finally, two different pentachords of the A poly-pentachord appear

75
Ibid., 53.

72
separately in each voice of the codetta in mm. 15–18. That is, the upper voice has the

A-Ionian pentachord, while the lower voice has the A-Lydian pentachord regardless of

the melodic motion. Therefore, as explored above, Bartók aptly and elaborately

assigns these two different modes based on the note A in upper/lower voices in

relation to the ascending or descending melodic motion, depending on formal textures.

In particular, No. 50 in an A major tonality demonstrates the unique

phenomenon of an incomplete key signature because of the simultaneous use of the

A-Lydian pentachord including the augmented fourth, D#, and the traditional A major

pentatchord. Both pentachords are treated as a major mode in Bartók’s system because

of the presence of the initial major third interval. The chromatically altered D# is setup

vertically several times with the note D creating a sharp dissonance, such as those

seen in measures 1, 5, 15 and 17. Such a chromatic feature, produced by the

superposition of two polymodal modes, is described by Bartók as “polymodal

chromaticism.” 76 Moreover, the use of both D and D# in No. 50 is deeply involved

with the notation of the C#-key signature, an incomplete key signature of A major. His

use of this signature without D# and G# in No. 50 is related to the notation used in his

transcribed Hungarian folk songs. In addition, the presence of both D and D# differs

from the case of a changing-note in the Hungarian folk songs, and it is more

meaningful in his polymodal music. The reason that Bartók does not write D# in this

key signature is because the altered note is derived from A-Lydian, and not temporally

used as a changing note. In addition, the G# is also not included in the key signature

because as the leading tone of A major, it does not appear in No. 50. Therefore, in No.

76
Béla Bartók, Béla Bartók Essays, 367, 376.

73
50, the incomplete-diatonic C#-key signature is properly employed in order to reflect

Bartók’s A major chromatic polymodality.

Until now we have focused on the origins and characteristics of Bartók’s

unique incomplete-diatonic key signatures through two examples from Mikrokosmos,

No. 44 and No. 50. We can conclude that these types of incomplete-diatonic key

signatures result from the changeable or unused accidental(s), which are eliminated

from a conventional key signature. We have seen, as stated above, that the principle of

notation is very similar to that of Hungarian folk songs. In addition, Bartók’s invented

key signatures are profoundly involved in his concept of polymodality, which

independently exploits several individual modes based on the same fundamental tone.

Finally, the incomplete key signature consists of common accidentals in polymodal

scales. Thus, because of its flexibility, it becomes a useful notational tool for his

polymodal music.

2.2.4 Non-Diatonic Key Signatures

We have discussed the three types of key signatures devised by Bartók

involving the diatonic modes, such as the five ecclesiastical modes, and the tonal

major or minor scales. In contrast to these types, the fourth type found in Mikrokosmos

is an unconventional key signature for non-diatonic modes, and it has a different

configuration from a traditional one.

Some non-diatonic key signatures appear to have the same configuration as

incomplete-diatonic key signatures, for insistence, a C#-key signature. In No. 50 of the

74
previous Example 2.18, the incomplete-diatonic C#-key signature indicated the A-

polymodality comprising A-Lydian and A-major, whereas two other examples of C#-

key signatures, No. 25 and No. 41 in Mikrokosmos, are non-diatonic, based on non-

diatonic scales starting on notes B and G respectively. Thus, these two short pieces

will be individually investigated and compared.

Example 2.19 Mikrokosmos No. 25, “Imitation and Inversion (2)”

75
 First, in Example 2.19 above, the C#-key signature of No. 25, “Imitation and

Inversion (2),” 77 in Mikrokosmos is non-diatonic, and it demonstrates a different

musical aspect from the case of an incomplete-diatonic one. Both parts of No. 25 start

with a statement of the B-diminished fifth pentachord, B–C#–D–E–F. They imitate

each other alternatively in strict canon at the octave. This B-pentachord progresses

continuously in an ascending or descending stepwise motion and establishes a B-

tonality in the music. In particular, the minor third B–D, embedded in the B-pentachod,

is consistently represented at the end of phrases as a cadential motive, which gives the

impression of a minor mode. In fact, Bartók points out in his comments that the mode

of the music has a “B minor feeling with a lowered fifth.” 78 In No. 25, he exclusively

uses a diminished fifth instead of a perfect fifth. Here, the use of the diminished fifth

interval, B–F, not only provides the B-minor mode with a special coloring, but it also

produces the non-diatonic C#-key signature (B minor key signature without the F#)

because of the lack of the note F# in the music.

As shown in Example 2.19, the music has an asymmetrical form (ABC),

consisting of three parts: Part A, mm. 1–20; Part B, mm. 21–34; Part C, mm. 35–46.

Of particular importance for dividing each part, there are two different endings either

on the fundamental tone, B, or on the fifth degree tone, F , which are both accented by

a sforzondo. At the end of Part B, the cadence on the fifth note, F , strongly mimics a

half cadence in traditional major-minor tonal music. This note F in measure 34 not

77
Here “inversion” has a different meaning from that of the Renaissance and Baroque period. Bartók
explains that inversion indicates the interchange of the position of two voices. See Béla Bartók, Note to
Mikrokosomos, vol.1, 35.
78
Benjamin Suchoff, Bartók’s Mikrokosmos, 42.

76
only closes Part B, but connects as an elision to the beginning of Part C. As seen in No.

25, Bartók uses one transitional note in the two places to connect parts, instead of

using transitional motives or phrases. This phenomenon also appears in other pieces in

Mikrokosmos, such as No. 42 and No. 59. At other times, he emphasizes different

pitch materials in Part B in order to provide a contrast with Part A. For instance, in No.

25, the second degree C# is prominently applied in Part B. Additionally, another

minor third, C#–E, is built on the second scale degree and maintains the pitch frame of

a minor third in contrapuntal imitation. In Part B, the minor third, C#–E, is prolonged

by another minor third, B–D, in a neighboring motion until the emergence of the

transitional note, F , between Parts B and C. In addition, Part B does not have the note

F , but this note does occur frequently in Part A and Part C, forming a diminished

fifth in the melody. Therefore, Bartók creates a different modal structure in Part A

with the diminished B-pentachord, while in Part B, he develops this B-tetrachord, B–

C#–D–E, with a distinct segmentation, implying a B-minor mode. 79 Accordingly, this

compositional method provides variety and unity to the perception of his B minor non-

diatonic polymodal music that uses a C#-key signature.

In Mikrokosmos, in Example 2.19, another non-diatonic C#-key signature

appears in No. 41, “Melody with Accompaniment.” While Bartók presents a non-

diatonic scale of a B-tonality with a C#-key signature, here, in No. 41, he uses another

unique application of a C#-key signature to represent a distinctive non-diatonic scale

based on the fundamental tone G. The G-tonality of No. 41 is established firmly by a

79
Suchoff inserts the diminished fifth B-pentachord as a pentachordal partition of the B-octatonic scale,
B-C#-D-E-F. See Benjamin Suchoff, Bartók’s Mikrokosmos, 125.

77
pedal tone G in the broken chordal figures of the left hand accompaniment, and it is

enhanced with a non-diatonic scale G-A-B-C#-D-E-F-G in the melody of the right

hand part.

Example 2.20 Mikrokosmos No. 41, “Melody with Accompaniment”

The interpretation of this G-non diatonic scale has brought up conflicting

points of view among scholars. Ernö Lendvai deals with it as an independent scale in

relation to an overtone series, calling it an acoustic or overtone scale. For example, the

scale C-D-E-F#-G-A-B -C is obtained from an overtone series based on C, which has

the same interval pattern as the scale in No. 41, G-A-B-C#-D-E-F-G. In fact, this

acoustic scale stands for one of the representative scales of Bartók’s language, and it is

found in his own music and that of other composers. 80 On the other hand, Suchoff

80
The mode known as an acoustic scale was used as a prominent scale source in Debussy’s works, such
as L’isle joyeuse and La mer. In addition, the acoustic scale is also notably used in Bartók’s finale of the
Sonata for Two Piano and Percussion (1937). See Ernő Lendvai, Béla Bartók: An Analysis of His Music
(London: Kahn & Averill, 1971), 67.

78
suggests that the scale in No. 41 is the first example of a polymode created by Bartók

in Mikrokosmos because it is comprised of the Lydian fourth, C#, and the Mixolydian

seventh, F . In the second interpretation, a G-polymode displays a slightly different

feature from polymodal scales used in No. 50, discussed above in Example 2.18.

While No. 50 in A-polymodality states both complete A-Lydian and A-Ionian modes,

the composite polymodal scale of No. 41 has only the characteristic intervals of G-

Lydian and G-Mixolydian modes. And the two modes of the G-Lydian and G-

Mixolydian are not independently articulated. In other words, the music of No. 41

employs only a G-polymode including an augmented fourth, C#, and a minor seventh,

F , but not both C and F#. On the other hand, Suchoff’s opinion is similar to

Bartók’s viewpoint. In his comment on No. 41, Bartók specifies that the tonality of the

music is in G major with an augmented fourth and a minor seventh. 81 That is, Bartók

explains this non-diatonic scale as a variation of a conventional major mode with

characteristic diatonic intervals. Thus, Suchoff points out each characteristic interval

of the scale, such as the Lydian forth and the Mixolydian seventh, from church or folk

modes, and he claims that this music is in a G-tonality. In addition, the tonality of No.

41 is further defined as a G-major mode because of an initial major third in its

polymodal scale.

Based on an alternative viewpoint, we need to look closely at how Bartók

individually arranges each characteristic interval in his music. In No. 41, the Lydian

fourth and Mixolydian seventh are stated together in the melody of the upper voice,

while the lower voice exclusively exploits the Lydian fourth within broken chord

81
Ibid., 49.

79
figures. As a result, Bartók segmentalizes the composite G-polymode scale and

separately assigns a B-pentachord, B–C#–D–E–F , to the upper voice, and a complete

G-Lydian pentachord, G–A–B–C#–D, to the lower voice. In addition, while the

Lydian fourth, C#, is presented in the lower voice as a chromatic lower neighboring

tone in the progression of broken chords over the pedal tone G, the melody of the

upper voice independently displays two characteristic notes, F and C#, and

emphasizes the interval F –C# combined consecutively.

Finally, we may derive an interpretation of non-diatonic key signatures by

exploring the two different examples that use the non-diatonic C#-key signature, No.

25 and No. 41 above. Interestingly, we saw that these C#-key signatures can be used

to represent diverse tonalities based on their non-diatonic scales, for instance, a B-

tonality or G-tonality. Bartók in fact created a new musical language with unusual

non-diatonic major or minor modal scales, including certain characteristic diatonic

intervals. These intervals, as independent degrees, give the unique color to major or

minor modes. Moreover, they are separately included in different segments, derived

from the non-diatonic scale, and they produce polymodal segments, occasionally

conflicting with segments of conventional modes (for instance, the B-minor tetrachord

versus the B-diminished pentachord in No. 25). Indeed, we investigated how these

polymodal segments are elaborately arranged in various formal textures. These

segments or scales are notated in non-diatonic key signatures as if they were used to

notate the non-diatonic Hungarian folk songs, as discussed above. Therefore, in order

to effectively develop the non-diatonic polymodal modes, the invention of the non-

80
diatonic key signature proves indispensable for Bartók in providing a notational

foundation for his polymodal language.

2.2.5 Bi-Key Signatures

The fifth type of key signature devised by Bartók in Mikrokosmos is a bi-key

or poly-key signature. In the beginning of Chapter 2, the bi-key signature was already

seen in Bartók’s Fourteen Bagatelles, op. 6, no. 1; it is also found in several other

pieces in Mikrokosmos. It signifies that in two part music, two different diatonic key

signatures are presented simultaneously in both staves. As discussed in the

introduction to Chapter 2, Bartók denotes an incorrect interpretation of his bi-key

signature in the Bagatelles no. 1, which many musicians have inappropriately

considered to be bi-tonal. Besides, he claims that the reason for using the bi-key

signature is to prove the absurdity of using tonal key signatures in his contemporary

polymodal music. 82 Furthermore, he denies the existence of bi-tonality or poly-

tonality in music because it is inaudible. In addition, he defines his music as

polymodal based on one fundamental tone, as stated below in his essay “Harvard

Lectures:”

Polytonality means the use of different diatonic keys in music of two or more
parts, each part in a special key…. Here, polytonality exists only for the eye
when one looks at such music. But our mental hearing again will select one
key as a fundamental key, and will project the tones of the other keys in

82
Béla Bartók, Béla Bartók Eassys, ed. Benjamin Suchoff, 433.

81
 relation to the one selected. The parts in different keys will be interpreted as
consisting of altered tones of the chosen key. 83

Polymodality offers a single one. Therefore our music, I mean the new
Hungarian art music, is always based on a single fundamental
tone…Polymodality is to be found especially in my works… 84

In justifying Bartók’s statements above, using a few musical examples we will

delve into the polymodal property, going beneath the exterior features of the bi-key

signature. We then will examine the probability of bi-modality in music containing the

bi-key signature. In addition, we will research the selection of the two key signatures

present in the bi-key signature and their relationship to each other in polymodal music.

We will also explore the arrangement of these key signatures and the reasons for

placing them in the upper or lower voice. Thus, before analyzing the Bagatelles, op.6,

no.1, the simpler example No. 70, “Melody against Double Notes” in Mikrokosmos,

will be studied to help us understand Bartók’s compositional style using the bi-key

signature in his polymodal music.

Example 2.21 Mikrokosmos No. 70, “Melody against Double Notes”

83
Ibid., 365-66.
84
Ibid., 370-71.

82
 Example 2.21 shows a portion of No. 70, the first four measures and the last

five measures, and illustrates the bi-key signature in which the B-major key signature

appears in the upper voice and the C-major key signature in the lower voice. In

general, based on this bi-key signature, we can presume that No. 70 has bi-tonality. In

this case, each voice should show an independent tonal harmonic language according

to the notated key signature. However, the upper voice in No. 70 fails to show either

the B major or G# minor tonal key as an independent tonality. Looking at the upper

voice, the pitch space is limited to the F#-pentachord of a five-finger space, F#-G#-

A#-B-C#, and neither tonic chord of either key is presented in the music. Thus, it is

difficult to say that the upper voice of No. 70 is in either a B- or G#-tonality. On the

other hand, the pitch space in the lower voice occupies the D-pentachord, D–E–F–G–

A. The D minor tonality is established repeatedly presenting the fundamental tone, D,

in a C major key signature, as a parent key. The perfect fifth interval, D-A, is

subsequently combined with the F# of the upper voice, which strengthens the tonic

sonority of D major. Therefore, here the two pentachords of both voices are not

considered as two individual tonalities provided by two key signatures, but rather as

83
united to each other in order to construct a D-major tonality. Moreover, such an

interpretation is supported by the final chord in the final cadence. The two perfect

fifths of both pentachords cooperate to form a major seventh chord, D–F#–A–C#, and

both are prolonged in the cadential phrase in mm. 22–24, making a chromatic

dissonance between the third degrees of each pentachord, F and F#. In addition,

Bartók’s comment on another example of the bi-key signature, No. 99, “Hands

Crossing,” definitively reveals his compositional conception of a bi-key signature

through the following pedagogic direction: “teacher shows combination of parts to

make scale or diminished seventh chord.” 85 Just as Bartók mentions the concept of the

combined scales of two voices, Suchoff also suggests that No. 70 is a D-polymodality

that joins D-Aeolian, D-E-F-G-A-B -C-D, with D-Lydian, D-E-F#-G#-A-B-C#-D

based on the pitch material used in the music. Thus, Suchoff’s suggestion seems

reasonable, since the D-Aeolian and D-Lydian modes reflect the primary four notes of

each pentachord, D-E-G-A in the lower voice and F#-G#-B-C# in the upper voice.

Here, Suchoff regards the note A# in the upper voice as enharmonically equivalent to

B in D-Aeolian. 86 However, since the note A# is used only twice as a passing or a

neighboring note in the upper voice, the D-Dorian is more persuasive for me as the

mode of the lower voice in the C major key signature, rather than the D-Aeolian. The

tetrachord, D-E-G-A, in the lower voice is also included in the D-Dorian. These two

tetrachords in two voices come from a pentatonic mode, and they are combined

85
Benjamin Suchoff, Bartók’s Mikrokosmos, 78.
86
Ibid., 130.

84
vertically in the chordal progression of both voices. 87 Such pentatonic tetrachords are

frequently used as a musical resource in much of Bartók’s polymodal music. They are

sometimes varied as broken fourth or third figures, for instance, as in No. 47. At other

times, they establish a neutral D-tonality without a third, as seen in No.70. The D-

polytonality of No. 70 is more obviously revealed when the key signature of the upper

staff is modified to a C major key signature, as shown in Example 2.22 below.

Example 2.22 Mikrokosmos modified No. 70, “Melody against Double Notes”

In the case of non-diatonic key signatures, we examined how two pentachords

derived from a non-diatonic mode are developed as polymodal segments, for instance

No. 41 of Example 2.20. Likewise, in No. 70, the D-polymodal scale of the

Lydian/Dorian modes is segregated into two separate pentachords, the D-pentachord

and the F#-pentachord in certain bi-modal plans. Thus, for a kind of polymodal

harmony, each pentachord is assigned to a different voice, such as a D-major seventh

and a E triad with a doubled third. Therefore, a bi-key signature is purposefully

87
These tetrachords represent the partition of one of five pentatonic modes, G–A–C–D–E, which are
popular in Eastern Russia and Central Asia. See Béla Bartók, Béla Bartók Essays, 364.

85
arranged to simplify the repetitive accidentals of divided pentachords, and it is used as

a convenient notational means in his polymodal music.

Based on previous research discovered in No. 70, the bi-key signature of

Fourteen Bagatelles no.1 should be evaluated again in terms of Bartók’s bi-modality

or polymodality. As illustrated in Example 2.23, the bi-key signature of this Bagatelle

consists of the C# minor (E major) and the F minor (A major) key signature.

However, Bartók insists that this Bagatelle’s tonality is simply a Phrygian coloured C

major in his “Introduction to Béla Bartók Masterpieces for the Piano” (1946). 88 Thus,

I propose it is based on a C-polymode created by the C-Phrygian and C-Lydian modes

in which a composite mode includes the characteristic intervals of a Phrygian and

Lydian mode. 89

Example 2.23 Fourteen Bagatelles op. 6, no. 1

88
Béla Bartók, Béla Bartók Essays, 432-33.
89
Suchoff also suggests that the music has the polymodal construction of C-Phrygian and C-Lydian.
See Benjamin Suchoff, Béla Bartók Essays, 115-17.

86
 Indeed, the Phrygian coloured C-major tonality of this Bagatelle is supported

by a recurrent flattened second degree, the characteristic interval of Phrygian, C#

(enharmonic, D ), with a continuous emphasis on the natural E in the upper voice.

First, a Phrygian coloured favor in a C-major tonality is mainly provided by the

frequent appearance of a minor second melodic interval both from C–D in the lower

voice, and from C–C# between the two voices. Moreover, this melodic cadential

figure is strengthened by a repeated descending stepwise pentachord, G–F–E –D –C,

in the lower voice and the music eventually arrives at a fundamental tone, C, in the

final cadence. In other words, the Phrygian second can be supplied by the cooperation

of both voices, either D in an F- minor key signature or as C# in a C# minor key

signature. In addition, the major third, E , in the upper voice takes priory with a long

note and metrical accent as the third of the C major tonality, while the E is briefly

represented in a descending C-minor pentachord in the lower voice. Therefore, in this

Bagatelle, no. 1, Bartók proposes the coloured major mode created by his unique

polymodal compositional methodology. The flavor of the C-Phrygian becomes clearer

when the original key signature of the upper voice is changed to the A major key

signature, the parent key of the C-Phrygian, as shown in Example 2.24 below.

Example 2.24 Modified Fourteen Bagatelles op.6, no.1

87
 As mentioned before, here we can bring up questions about Bartók’s

placement of the two key signatures used in Bagatelles, no.1. Why does he select the

two key signatures of A major and E major for this Phrygian coloured C major? Is

there any reason why the key signature of A major is notated in the lower staff?

Some of these answers would, in part, be already found in the polymodal scales and

chords constructed by both key signatures. In discussion of the previous examples in

No. 70, we discovered that the mode of the lower voice plays a primary role in

deciding the tonality of the music, as well as also providing a harmonic basis for the

upper voice. That is, the C major key signature in the lower staff is the parent key of

D-Dorian, and it provides the principal key of No. 70. Likewise, in the First Bagatelle,

the A major key signature of the lower staff affords a circumstance for the C-

Phrygian mode as a parent key in C-tonality, as shown in the table of Figure 2.2. Thus,

this key signature in the lower voice may be chosen for a C-Phrygian colored tonality,

including the C-Phrygian mode. On the other hand, the notation of an E major key

signature in the upper staff must be considered as subsequently deduced from the A

major key signature. In order to provide the greatest number of chromatic notes

88
possible, the key further from the A major must be selected as part of the bi-key

signature. Thus, based on a C-Phrygian polymodality, Bartók chooses the E major key

signature. As a result, this combination of two key signatures produces eleven

different chromatic notes, as illustrated in Figure 2.3 below.

Figure 2.3 possible notes in the bi-key signature

Such consequences might apply to the previous example of bi-key signature of

No. 70. As shown in Example 2.21, Bartók uses in No. 70 the B-major key signature

in the upper staff and the C-major key signature in the lower staff to develop a D-

polymodality. As the importance of the key signature in the lower staff was

emphasized before, the C-major key signature of the lower staff is now appropriately

selected to express not only the pentachord of the D-Dorian in the lower voice, but

also the principle key of the D-Dorian/Lydian polymodality. The combination of B

major and the C major key signatures opens the possibility of twelve different notes as

pitch material to his polymodal music and endows autonomy to each chromatically

altered note in D-polymodality. Because of this, Bartók frequently employs in

89
Mikrokosmos a polymodal scale combining the Phrygian with Lydian modes. 90 In

conclusion, he arranges two key signatures in a complementary relation to the twelve

chromatic tones in pieces using bi-key signatures. Thus, paradoxically, his bi-key

signature can be regarded as a device for his polymodal compositions, since the bi-key

signature provides a chromatic pitch collection that can develop a polymodal scale.

2.2.6 Absence of a Key Signature

In our previous discussion of Bartók’s use of key signatures, we found that key

signatures in his chromatic polymodal music carry different functions than that of

traditional key signatures. In his explanation of the bi-key signature in Bagatelles, op.6,

no.1, Bartók decisively addresses the incongruence of conventional key signatures in

conveying his contemporary music. Thus, as his following comments indicate, he did

not use them after composing Bagatelles, no. 1: 91

Some additional explanations seem to be appropriate to the Bagetelles. The

first one bears a key signature of four sharps (as used for C sharp minor) in the
upper staff and of four flats (F minor) in the lower one. This half-serious, half-
jesting procedure was used to demonstrate the absurdity of key signatures in
certain kinds of contemporary music. After carrying the key signature principle
ad absurdum in the first piece, I dropped its use in all the other Bagatelles and
in most of my following works as well.

My further study of the key signatures used in Mikrokosmos will be the

exploration of the pieces that omit any key signatures, which represents the sixth

90
According to Suchoff, Bartók composed much polymodal music based on a polymode that combined
Phrygian with Lydian modes, for example, Nos. 80, 86, 88 in Mikrokosmos.
91
Bartók, Béla Bartók Essays, 432-33.

90
category. We can classify the various aspects of the absence of a key signature into

three cases depending on how they are interpreted; thus, we will discuss three

representative examples in Mikrokosmos.

Example 2.25 Mikrokosmos No. 17, “Contrary Motion (1)”

The first example without a key signature may simply be interpreted as a C

major key signature. As shown in Example 2.25, No. 17, “Contrary Motion (1)” is in a

C- tonality. No. 17 has a symmetric ternary form with the melodic structure AA5BA

consisting of four phrases. The second phrase is transposed a fifth above the first

phrase, and in that process both C# and F# are produced in the lower melody.

Interestingly, the chromatically altered note, F#, appears repeatedly in the melody of

the lower voice, while no accidental appears in the upper voice. This augmented fourth,

C–F#, is the characteristic interval of a Lydian mode; thus, the C-Lydian mode

including the F# note is independently developed in the lower voice. Therefore, we

can say that two different modes are individually laid on each voice, and both

demonstrate a C-polymodality: a C major mode in the upper voice and a C-Lydian

mode in the lower voice. This example also provides good evidence for connecting the

91
absence of a key signature with the bi-key signature. This is because No. 17 could be

notated with a bi-key signature based on a notational standard: a C major key

signature in the upper voice and an F#-key signature in the lower, as shown in

Example 2.26. In short, No. 17 demonstrates C-polymodal music comprising C-major

and C-Lydian. In order to notate the chromatic C-major polymodality, Bartók uses the

C major key signature–not the absence of one.

Example 2.26 Modified Mikrokosmos No. 17, “Contrary Motion (1)”

The example of the second case, No. 59, “Major and Minor,” exemplifies the

F-tonality rather than the C-major tonality. Example 2.27 demonstrates only the first

half of the music, but the whole piece displays consistently altered notes without any

indication of a key signature. The pattern of these accidentals, in fact, indicates the F-

major or F-minor mode in each phrase. The major mode of No. 59 is the F-Lydian

mode based on the emphasis of an augmented fourth, B –F . This F-Lydian mode is

evidently distinguished by a cadence of the augmented fourth interval F–B in the first

part, while the F-minor mode is achieved by a minor third in the second part. In No.

59, Bartók separately assigns two independent F-pentachords to each voice in order to

contrast a major and minor mode: F-Aeolian and F-Lydian, F–G–A –B –C and F–G–

A–B–C, respectively.

92
 Example 2.27 Mikrokosmos No. 59, “Major and Minor”

No. 59 is divided into three parts according to the modal change of voices. As

indicated in the title of the music, each of the three parts represents the contrast of a

major and minor mode assigning them to different voices. For instance, in the first part,

mm.1–6, the major mode is located in the upper voice while the minor mode is in the

lower voice, whereas this pattern is reversed in the second part that begins in m. 7.

Bartók vertically arranges theses Lydian/minor polymodal F-pentachords in the piece,

which in turn introduces chromatic dissonance. The conflict between the B and B

happens on the strong beat in measures 3 and 4. Such vertical minor seconds or

sevenths create a highly discordant resonance.

Here Bartók does not notate the key signature because these two F-pentachords

include the notes that can coexist in only one key signature. Thus, this second case of

the absence of a key signature in Bartók’s music is related to the fourth type of key

signature found in the Hungarian folk songs, discussed earlier in Example 2.11.

Among the Hungarian folk songs, we mentioned that some pitches are often

chromatically varied in folk music as a changing-note, for insistence, from B –B, F–

93
F#, and C–C#. These exchanged notes led to the absence of key signatures in some of

the Hungarian folk songs. Likewise, Bartók cannot write the key signature using the

traditional orthography in some polymodal combinations based on the same

fundamental tone. Thus, he notates the F-polymodality of No. 59 with accidentals, not

with a conventional key signature.

No. 58 “In Oriental Style” demonstrates another aspect with regard to the

absence of a key signature in Bartók’s polymodal music. While two different diatonic

modes are fully stated completely in two previous examples, No. 58, appearing in

Example 2.28, shows a non-diatonic composite polymode, G-A-B -C#-D-E-F-G,

including simultaneously idiosyncratic intervals, such as a minor third and an

augmented fourth in contrapuntal melodies. 92 In addition, in No. 58, this non-diatonic

polymode is divided into three segments comprising either a tetrachord or a

pentachord, and each part is distinguished by a different segment of the scale: Part A,

G-pentachord, G–A–B –C#–D; Part B, B -pentachord, B –C#–D–E–F; and Part A´,

G-tetrachord, G–A–B –C#. All three parts are developed in canonic imitation at the

octave. In most of the melodies, the augmented fourth, C#, is emphasized repeatedly

with the augmented second between B and C#; the music ends as it arrives at the

consonant perfect fifth at an apparent half cadence.

Example 2.28 Mikrokosmos No. 58, “In Oriental Style”

92
No. 58 could be notated with a non-diatonic key signature, for example, a B -C# key signature, as
shown in the transcribed Hungarian folk song shown in Example 2.9.

94
 On the other hand, in his comments, Bartók explains that the scale of No. 58 is

based on a mode of a typical Oriental style, 93 which has a G minor tonality with a

minor third and an augmented fourth. He thus gives us important information about

the origin of the scale of No. 58. This polymode with a minor third and a Lydian

fourth based on the fundamental tone G can be borrowed from a non-diatonic

traditional folk mode. Suchoff adds a supplemental explanation about the scale Bartók’

uses in No. 58, as follows:

In 1913, Bartók collected the Arab folk music in North Africa. Characteristics
of this music, he found, are melodies formed of continuously repeated motives
of relatively few neighboring tones which include the interval of the
augmented second, e.g. G -A#, and 6/8 meter. 94

According to Suchoff, Bartók’s scale for No. 58 is influenced by Arab folk

music because of the frequent appearance of the augmented second, B -C#. Suchoff’s
93
Suchoff, Bartók’s Mikrokosmos, 57.
94
Ibid., 57.

95
treatment of the scale as a foreign mode is also supported by Bartók’s “Harvard

Lectures.” In this essay, Bartók illustrates the three kinds of unknown modes from

modal music, and here the third unknown modal scale is G-A-B -C#-D-E-F. This is

exactly the same scale structure used in No. 58. In fact, in No. 58, he continuously

depicts the scales as having linear augmented seconds which invites speculation about

their oriental origins. 95 In addition, he continuously explains that when the fourth

degree is raised in a minor mode, the augmented second interval is produced, as seen

in a few examples of the mixed Hungarian folk song (Example 2.11). These folk

melodies are also similar to the scale used by the Máramaros Rumanians. 96 Therefore,

the scale of No. 58 in a minor mode with a Lydian fourth can be considered as a non-

diatonic folk mode. Finally, due to this non-diatonic folk modal scale or polymode,

Bartók in his music disregards the use of the traditional tonal key signature.

2. 3 Conclusion

We have examined the six types of key signatures in Bartók’s Mikrokosmos as

notationally related to Hungarian folk music. We also discovered that Bartók’s key

signatures were deeply influenced by its notational principles. In addition, his unique

notational principles lead to quite different conclusions with regard to interpreting the

tonality of his polymodal music. For instance, in the case of the F#-key signature, it

95
Bartók, Béla Bartók Essays, 363.
96
Bartók, The Hungarian Folk Song, 55. Moreover, he proclaims that the folk scale, including the two
augmented seconds, does not appear in Hungarian peasant music.

96
usually indicates G-major or E-minor in traditional major-minor music; however, in

his pieces, we explored its use in representing the C-Lydian mode, or A-Dorian as a

discordant key signature. In particular, in the case of the C#-key signature, one of his

invented key signatures, we saw that it is interpreted either as an incomplete D-major

key signature, an incomplete A-major, or a non-diatonic key signature. Therefore,

through the comparison of these diverse interpretations, it can be concluded that in his

polymodal music Bartók considered each characteristic interval to be based on a

certain mode as a musical ingredient that comprises a diatonic or non-diatonic scale.

Because his musical notation is limited by the conventional orthography of the

key signature, Bartók is forced to break with this traditional notation in order to write

his polymodal music. His creative notation is a useful means of giving chromatic notes

independent meaning and, thus, fruitfully expressing polymodal music in various

formal textures. Therefore, we have learned that in order to interpret Bartók’s key

signatures correctly, they must be investigated in terms of their complex polymodal

features. In other words, the tonality has to be defined based on his concept of the key

signature. Furthermore, the study of his new notation provides us with an additional

means for studying other chromatic polymodal music.

97
 CHAPTER 3
Cadences in Bartók’s Polymodal Music

In studies of traditional tonal music, musicians have expected to define the key

or tonality through several kinds of external signs, such as key signature, scale, final or

cadence. To identify tonality in Bartók’s polymodal music, these traditional musical

signs can also be used. As discussed previously, his polymodal music is built on

different modes or composite polymodes that are based on one fundamental tone.

These signs, however, need to be interpreted in the context of Bartók’s unique

compositional language. Thus, in order to properly define tonality in Bartók’s

polymodal music, we examined in chapter 2 his key signatures in terms of polymodal

scales. In this chapter, we turn our attention to Bartók’s use of a cadence to punctuate

formal phrases and as a means to define tonality. This chapter also investigates

features of his cadential formulas based on diverse polymodal modes. Thus, I will

divide the cadences used in his polymodal music into two types, the melodic and

harmonic, and then categorize each type according to its musical features and relative

degree of finality. In addition, I will discuss how the cadences in his polymodal music

articulate discrete phrases, and how they are prepared by various harmonies and

melodic figures.

Before classifying each type of cadence, I first discuss the general properties

that Bartók describes in his own writings, and then provide representative examples

from his polymodal music. In Bartók’s study of Hungarian folk songs, he mentions

several specific cadential types when explaining specific cadential figures. Thus, in

98
studying and categorizing his cadences, I will make use of his taxonomy and terms as

much as possible. Through these investigations of his cadences, we discover how he

achieves phrasal articulation in a polymodal tonality by using new modal or

polymodal cadences and, furthermore, how he expands the conventional major-minor

tonality to accommodate his new compositional language.

3.1 General Characteristics of Bartók’s Cadences

Bartók’s concept of cadences, which was influenced by Eastern European folk

music, is apparent from his comments on new Hungarian art music. In his essay “The

Folk Songs of Hungary,” in 1928, Bartók explains the general characteristics of

melodic lines based on tonal modes, such as the five ecclesiastical modes (Dorian,

Phrygian, Lydian, Mixolydian, and Aeolian), the oriental modes, and a kind of

pentatonic mode. Among these general characteristics, he especially emphasizes the

different functions of the fifth scale degree in various folk melodies, which differ from

that of the conventional major or minor modes. Furthermore, in the following

comments, he proclaims that the functional dominant–tonic cadence cannot exist in

new Hungarian art music:

In the majority of these tonal modes the fifth degree in general does not play
that dominant part which we can observe in the case of the fifth degree of the
major or minor scale. This circumstance has exerted an important influence on
our harmonic processes—that reciprocity of effect between tonic and dominant
so familiar to us in older art music must here give up much of its sovereignty.
In these pentatonic scales the third, fifth and seventh are of equal rank and

99
 importance; since the second degree and the major seventh are missing, the

trite dominant–tonic cadence is not possible. 97

As described above, his statement of the general features found in folk melodies

provides us with significant information for understanding the melodic/harmonic

language of his cadences.

Musical phenomena revealed in Bartók’s cadences are closely related to the

pentatonic system because, as discussed in Chapter 1, the tonal modes used in his

polymodal music mostly derive from the Hungarian pentatonic scale. Thus, let us start

with the basic structure of the pentatonic scale used in most Hungarian folk music.

Bartók represents this pentatonic scale as g1-b1 -c2-d2-f2, an octave segment without a

semitone. 98 This Hungarian pentatonic mode, here based on a final G, does not have

the second, sixth, and seventh degrees of a traditional tonal diatonic mode, as shown in

Figure 3.1.

Figure 3.1 Representation of Hungarian pentatonic scale

^ ^ ^ ^ ^
` 1 3 4 5 7

As observed by Bartók in his essay, these missing scale degrees lead to many

atypical harmonic circumstances. First, the lack of the major seventh degree means the

97
Béla Bartók, Béla Bartók Eassys, ed. Benjamin Suchoff (New York: St. Martin’s Press, 1976; reprint.
Lincoln: University of Nebraska Press, 1993), 333-34.
98
Ibid., 364. In his essays, Bartók’s pentatonic scale is always presented starting on G according to the
modified Krohn’s system.

100
absence of a leading-tone and, consequently, undermines the essential function of a

dominant chord. Since a major dominant triad chord cannot be constructed, the

authentic cadence of dominant–tonic found in tonal music ultimately becomes

impossible in folk music. Likewise, the absence of a leading-tone in pentatonic folk

music also happens in other kinds of folk music based on tonal modes, such as the

ecclesiastical modes. For the same reason as seen above, folk music in tonal modes

also cannot comprise a dominant–tonic cadence. In addition, Bartók states that even

though the major scale appears in Hungarian folk songs, it does not have the same

relation of dominant–tonic as in traditional tonal music. Thus, he claims that there is a

clear distinction between the fifth degree in folk music and the dominant in tonal

music, as shown below:

There are some old melodies in the Mixolydian mode, and even a few in major,
either of which might have been derived from the primitive pentatonic scale by
changing the original minor third and seventh to major. But this major scale
possesses a wholly different character from the scale of Western Europe, the
distinguishing feature being that the leading of the melody does not indicate
the tonic–dominant connection. 99

Moreover, the absence of the major seventh, as the missing third of the

dominant chord, affects the configuration of the half cadence ending on the dominant.

There are many half cadences in Bartók’s music, which have been influenced by

Yugoslavian folk music. The various musical aspects of these half cadences shown in

his polymodal music will be discussed later in this chapter.

99
Ibid,, 85.

101
 Secondly, while the second and sixth degrees do not appear in the pentatonic

scale, they do frequently appear as passing notes or grace notes on weak beats. 100 In

addition, the missing second degree also has an effect on the function of the dominant

chord in several respects. In one respect, the absence of the second degree as the fifth

of the dominant makes it impossible to form a complete dominant chord. In another

respect, in tonal music a supertonic chord often prepares and precedes the dominant

chord; but, in pentatonic folk music, the supertonic chord cannot function as a

dominant preparation since the second degree is omitted. In addition, the omission of

the second degree makes it impossible for using it as the rook of a secondary dominant

chord. On the other hand, according to Bartók’s research, the fourth degree in the

pentatonic mode is often presented as a passing tone in folk melodies. 101 However, I

have found that the fourth degree often creates a specific cadential melodic figure in

the cadences of Hungarian folk music. In fact, it has a significant structural authority

in his harmonic progressions. Thus, there will be further discussion of the fourth

degree in plagal melodic and harmonic cadences later in this chapter, as well as a

discussion in Chapter 4 of plagal form.

Accordingly, as the function of the dominant chord is weakened by these

missing notes, Bartók suggests a possible cadential formula, called “Hungarian

cadence,” instead of the dominant–tonic cadence as illustrated below: 102

100
Ibid., 74.
101
Ibid., 371-72.
102
Ibid,, 334.

102
 Figure 3.2 Bartók’s example for a cadence

Here, Bartók explains that the first chord can resolve to the following chord with the

same melodic notes. It underlines a sort of melodic cadence moving from scale degree

seven, F, to tonic, G, in the lowest voice, while other notes are stationing. From a tonal

perspective, it harmonically projects the progression III64 to i. In fact, in his polymodal

cadences, Bartók does frequently use this kind of ascending/descending melodic

leading-tone figure. For example, the seventh scale degree or the second scale degree

goes to the tonic by a whole or half step depending on the modal scale. Such formulas

for a melodic cadence appear repeatedly in his music that projects a contrapuntal

texture. In addition, these melodic cadential motions remind us of the melodic

resolution of the lower leading tone in liturgical modal music of the Middle Ages and

the Renaissance. In his music, Bartók further develops these melodic cadential

formulas with a final chord, using a linear approach, rather than a harmonic cadential

progression; for instance, in a cadence, while a note is sustained in one voice, the

melodic cadential motion occurs in the other voice, as shown in Figure 3.2.

On the other hand, there is another characteristic cadence in his polymodal

music. Bartók uses a neutral cadence on the neutral tonic chord, either with a doubled

third or without any third degree. 103 This neutral cadence arises in the use of his

103
The double third indicates that a major and minor third is superimposed on one chord. More detailed
discussion and examples appear in Chapter 2. Bartók also called the double third a neutral third.
Therefore, the triad with a neutral third becomes a neutral triad.

103
polymodal scale, while a neutral cadence on a dominant is produced from a missing

major seventh of the pentatonic scale. Likewise, Suchoff explains the conceptual

background of this neutral cadence on the tonic in his discussion of Mikorkosmos No.

94, “Once Upon a Time…” Here, Suchoff suggests that the neutral cadence on the

tonic without the major or minor third of No. 94 is regarded as the resolution of the

polymodal juxtaposition of C-major and C-minor scales, as illustrated in Example 3.1a:

major (C-Lydidan) in the lower voice and minor (C-Dorian) in the upper voice. 104

Also No. 108, “Wrestling” in Example 3.1b exemplifies another type of neutral

cadence with a double third in the final. These neutral cadences are a new cadential

feature in his polymodal music together with a half cadence without the third. These

neutral cadences also demonstrate Bartók’s attempt to expand conventional tonal

language from a major-minor tonality to his polymodal compositional phraseology.

Example 3.1 Bartók’s neutral cadences on the tonic

(a) Mikrokosmos No. 94, “Once Upon a Time…”

(b) Mikorkosmos No. 108, “Wrestling”

104
Benjamin Suchoff, Bartók’s Mikrokosmos: Genesis, Pedagogy, and Style (Lanham: The Scarecrow
Press, 2002), 133.

104
3.1.1 Dissonance in Cadences

Noticeably, Bartók also creates a new theory about consonance and dissonance

that derives directly from pentatonic folk music. Here, the use of the dissonant interval

in the final chord of the cadence actually represents a consonance. In his essay

“Harvard Lectures,” Bartók again emphasizes that due to the different role of the

dominant in pentatonic folk music, the tonic, third, fifth, and seventh degrees have

equal importance and weight in the pentatonic mode in contrast to traditional tonal

music. But, here he adds that, based on the equal importance of the pentatonic scale

degrees, the conceptual definition of the consonant interval is radically expanded to

include the conventionally dissonant interval of a seventh, in pentatonic folk melodies,

as follows: 105

The pentatonic scale, besides melodic impulses, gave us harmonic suggestions.

The tonic–dominant relations,…already are less distinct or are blurred in the
modes. But in the pentatonic scale they simply disappear, because there is no
dominant at all in the commonly-accepted harmonic sense of the word. Four of
the five degrees, that is, the fundamental tone, third, fifth, and seventh are
almost equal in their weight… and the seventh assumes the character of a
consonance.

As described above, Bartók regards the seventh as well as the third and fifth as

consonant intervals. In addition, another reason for considering the seventh as a

consonant, according to Bartók, is because there is no regular resolution of this

interval in Hungarian folk songs. In fact, he also declares that this resolution cannot

take place in pentatonic music due to the absence of the sixth degree in the Hungarian

105
Ibid., 371-73.

105
pentatonic scale. 106 Accordingly, Bartók considers the seventh chord, including the

minor seventh, as a consonant chord, which does not need to resolve. Thus, he

normally uses them as the final chord of his polymodal music, just as the traditional

major-minor system employs the most stable chord to conclude its cadences. Indeed,

Bartók exploits diverse dissonant seventh chords as the final chord in a cadence, for

instance, both the minor and major seventh chords. Here, our discussion will now

focus on the consonant cadential seventh chords, specifically the minor and the major

seventh chords.

The first example of a cadential seventh chord is the minor seventh chord,

which is the most prevalent seventh chord found in both Hungarian folk music and

Bartók’s own music. The minor seventh chord comes directly from the Hungarian

pentatonic scale, g1–b1 –c2–d2–f2. In his essay “The Influence of Peasant Music on

Modern Music” (1931), Bartók consistently claims that the minor seventh chord, as a

new consonant chord in Eastern European peasant music, sounds to them as a familiar

consonance, as follows:

Similarly, the strange turnings of melodies in our Eastern European music

showed us new ways of harmonization. For instance the new chord of the
seventh which we use as a concord may be traced back to the fact that in our
folk melodies of a pentatonic character the seventh appears as an interval of
equal importance with the third and the fifth. We so often heard these intervals
as of equal value in the succession, that nothing was more natural than that we
should try to make them sound of equal importance when used
simultaneously. 107

106
Ibid., 335.
107
Ibid., 342-43.

106
 The minor seventh chord introduced from the pentatonic is presented as either

a linear succession or a chordal configuration. First, as a linear succession, the minor

seventh chord frequently appears in descending broken thirds of the minor seventh, f2–

d2–b1 –g1 and in much Hungarian folk music, it often provides a structural frame for

melodic lines. Example 3.2 illustrates descending broken thirds of the minor seventh

at the beginning and the end of one Hungarian folk song.

Example 3.2 Hungarian folk song No. 80, Tolfosztóban voltam az este
[I went to the feather-trimming last night]

As shown in No. 80 of Example 3.2, the minor seventh chords start on the F on

the down beat in measures 2 and 7–8, clearly displaying the descending melodic line

of the broken third. In its second occurrence, a short passing tone A appears on the

weak part of a beat (m. 8). These descending melodic lines of the minor seventh chord

are predominantly found in the beginning or ending tune-line of folk songs. See, for

example, Nos. 41, 114, 259 and 275b of the Hungarian folk songs, where they

emphasize characteristics of the Hungarian pentatonic. Thus, the minor seventh chord

is projected in this kind of linear unfolding to support the consonant character of the

minor seventh. On the other hand, in his works, Bartók not only develops the minor

seventh chord as a linear motive, but also used it as a vertical harmony for the final

107
chord. In his “Harvard Lectures”, Bartók exemplifies the application of the minor

seventh chord, the F#-minor seventh chord of Suite no. 2, op. 4 for orchestra, as

illustrated in Example 3.3. Example 3.3a demonstrates a descending linear succession

of the F#-minor seventh chord used as the principal motive, in which the minor

seventh, E, is highlighted by an accent on the down beat. In addition, Example 3.3b

displays the vertical use of the F#-minor seventh chord as the final chord of the

movement. Here, he amplifies this chordal presentation of the minor seventh chord as

“a vertical projection of the previous horizontal form” and as “a consonant chord even

without a necessarily logical preparation” or a resolution. 108 Therefore, there are many

examples of a final minor seventh chord in Bartók’s Mikrokosmos. (See, for example,

No. 56, “Melody in Tenths” and No. 66, “Melody Divided.”) Indeed, he deals with the

minor seventh chord, originated from the Hungarian folk songs, as a consonant chord

in much of his music without any of the strict metrical or harmonic requirement found

in the traditional tonal system.

Example 3.3 (a) The principal motive of minor seventh chord and
(b) The final chord of Bartók’s Suite no. 2, op. 4 for orchestra

The second example of a dissonant final chord is the major seventh chord. In

his essay, Bartók does not explicitly mention the use of the major seventh as a

consonant chord, but it is clearly employed as one of several characteristic chords, just

108
Ibid., 335.

108
as often as the minor seventh. 109 It apparently originated from Stefi Geyer’s

leitmotif, 110 which consisted of a linear statement of a major seventh chord, D–F#–A–

C#, it first appeared in Bartók’s First Violin Concerto (1907–8). 111 The leitmotif of the

major seventh chord subsequently is used in the “Dedication” piece of his Ten Easy

Piano Pieces, which is actually dedicated to Stefi Geyer, as well as in other works by

Bartók, as shown in Example 3.4.

Example 3.4 Various uses of the major seventh chord

(a) Linear motif in “Dedication” (b) Vertical major seventh chord

in “Dedication”

(c) The major seventh final chord in Mikrokosmos No. 70, “Melody against
Double Notes”

109
Benjamin Suchoff points out that it is one of the significant tetrachords. See Benjamin Suchoff,
Bartók’s Mikrokosmos: Genesis, Pedagogy, and Style (Lanham: The Scarecrow Press, 2002), 120.
110
Jürg Stenxi, “Geyer, Stefi.” In Grove Music Online. Oxford Music Online.
http://www.oxfordmusiconline.com/subscriber/article/grove/music/11008 (accessed April 14, 2009).
Stefi Geyer is a Swiss violinist of Hungarian origin who inspired Bartók’s creative passion.
111
Alicja Irena Usarek, “Bartók’s 1907 ‘Violin Concerto’: in the spirit of ‘Tristan’ (love, desire, and
peasantry as motifs expressing Bartók’s relationship with Stefi Geyer),” International Journal of
Musicology 7 (1998): 301-19.

109
 Example 3.4a shows the leitmotif of Stefi Geyer in the linear succession of

ascending thirds, D–F#–A–C#, at the beginning of “Dedication.” On the other hand,

the final cadence of Example 3.4b is interesting in that it displays a chordal motion

from the B -major ninth chord to the D major. Here, while the fifth, D–A, of the

penultimate B -major seventh chord is sustained in common, the upper voice has a

melodic cadence, C#–D, that moves to the tonic chord of a D-tonality without

resolving the seventh, A.

On the other hand, in Example 3.4c, the D-major seventh chord shows another

case of the final chord. This D-major seventh chord from Mikrokosmos No. 70,

“Melody against Double Notes,” results from the separate arrangement of two

different pentachord segments of a D-polymodal scale combined with a D-Aeolian and

a D-Lydian mode. Through an analysis of these examples in Chapter 2, we discovered

that in his polymodal music, assigning different modes based on one fundamental tone

in each voice is one of Bartók’s characteristic compositional methods. In other words,

Bartók individually disposes a D-pentachord of the D-Aeolian mode, D–E–F–G–A in

the lower voice and an F#-pentachord of the D-Lydian mode, F#–G#–A–B–C# in the

upper voice. 112 Thus, eventually at the cadence, the D-major seventh final chord is

created from the union of the fifths of each pentachord, as shown in the last measure

of Example 3.4c. In short, through the seventh chords seen in Example 3.3 and

Example 3.4, we can conclude that Bartók treats the major seventh as well as the

112
The polymodality of No. 70 was dealt with in detail in the examination of the bi-key signature in
Chapter 2.

110
minor seventh chord as consonant in his polymodal music because of his concept of

the consonant seventh interval in the pentatonic scale.

Bartók, however, considers other intervals besides the seventh as consonant in

the pentatonic scale. Moreover, based on his new theories, he creates new chords

consisting of five pentatonic pitches and uses them as cadential consonant chords. In

his 1933 essay “Hungarian Folk Music,” Bartók declares “any intervallic relationship

among the five degrees is a consonant one,” as seen below:

A further peculiarity of this [pentatonic] scale is that not only the third and
fifth have to be considered as consonances, but the interval of the seventh, too.
On the whole, any intervallic relationship among the five degrees is a
consonant one. 113

In folk music based on the Hungarian pentatonic mode, a melodic leap of a

fourth becomes a remarkably distinct intervallic motion. This interval is frequently

found in the melodic lines of both Hungarian folk music and Bartók’s own music, as

shown in Example 3.5. The old Hungarian folk song, No. 33b (Example 3.5a)

obediently displays melodic leaps of the fourth in the first half of the melody: G–D

and C–G. In folk melodies, these fourth intervals usually have a descending motion

and symmetrically divide the octave segment of the Hungarian pentatonic scale into

two tetrachords using a major second between them as an axis. For example, the G-

pentatonic in No. 33b is split into G–D and C–G in descending motion, as shown in

Example 3.5a. 114 Likewise, Example 3.5b demonstrates that both voices of

113
Béla Bartók, Béla Bartók Eassys, 74.
114
In his essay, Bartók exemplifies this kind of symmetrical division of the pentatonic scale with
another old Hungarian melody and Kodaly’s Sonata for Cello and Piano, op. 4. See Béla Bartók, Béla

111
Mikrokosmos No. 47 also begin with motivic figures of descending fourths, A–E and

G–D, in the A-Dorian mode. 115

Example 3.5 Melodic skips of the perfect fourth

(a) In Bartók’s The Hungarian Folk Song, No. 33b

(b) In Bartók’s Mikrokosmos No. 47, “Big Fair,” mm. 1–5

In fact, the importance of this fourth melodic skip is similar to that of the third

skip in the melodic lines of both Hungarian folk songs and Bartók’s own music. If the

triadic melodic contour is related to the minor seventh chord based on the pentatonic

scale, the musical phenomenon of the fourth skip is derived from the pitch structure of

the pentatonic scale used in old Hungarian melodies. 116 The interval of a fourth is

Bartók Essays, 336. In No. 33b, the F in m.3 represents a passing tone and is not part of the pentatonic
scale; likewise, the A and F# in m. 7 represent a passing tone and neighbor tone, respectively.
115
An analysis of Mikrokosmos No. 47 in Chapter 2 further described it as an example of the discordant
key signature.
116
Ibid., 336-38, 422.

112
closely associated with the interval content of the pentatonic scale. According to Allen

Forte, the name of the set class of the pentatonic scale is 5-35, represented by a prime

form [0,2,4,7,9] and by an interval vector [032140]. 117 The numbers 2 and 1 of the

third and the fourth column in this interval vector describe the two minor thirds and

one major third that are embedded in the pentatonic scale. The number 4 in the fifth

column indicates that four perfect fourths or perfect fifths are contained in the

pentatonic scale. Here, in comparing the contents of the third and fourth intervals,

while the scale contains three thirds (major and minor), there are a larger number of

perfect fourths, 4. Thus, the fourth is the most plentiful interval in the pentatonic scale.

Figure 3.3 illustrates these four fourths embedded in the pentatonic scale: F–D, G–C,

C–F, and D–G. The use of fourth skips points out this special characteristic in

pentatonic music and in Bartók’s own composition.

Figure 3.3 Fourth intervals in the Hungarian pentatonic scale

Moreover, the musical element of the leap of a fourth plays an important role

as a resource for Bartók’s characteristic dissonant chords, which combine vertically

either fourths (quartal harmony) or augmented fourths. These dissonant chords are

frequently used as a consonant chord in Bartók’s polymodal music creating a new

harmonic vocabulary. First of all, in his essay, “The Folk Songs of Hungary” (1928),

117
Allen Forte, The Structure of Atonal Music (New Haven and London: Yale University Press, 1973),
180.

113
Bartók brings up the concept of a fourth-chord as a consonant chord and introduces its

inversions with examples, as shown in Figure 3.4:

The frequent repetition of this remarkable skip occasioned the construction of

the simplest fourth-chord (which was filled in to be completed as a consonant
chord) and its inversions. 118

Figure 3.4 Fourth chord and its inversions

(a) Fourth chord in G-pentatonic scale

(b) Bartók’s example of the fourth chord and its inversions

As shown in the first measure of Figure 3.4b, Bartók demonstrates the simple

example of the fourth chord, which is built on the final G in the G-pentatonic scale.

His example in Figure 3.4b is the only possible fourth chord contained in the G-

pentatonic scale, G–C–F, as illustrated in Figure 3.4a. As mentioned above, the

seventh note of the fourth chord, F, does not need to be resolved to the sixth, E (which

is not part of the scale). In addition, Bartók continues to present three different

positions or inversions of the fourth chord similar to the inversions of tonal chords,

thereby emphasizing the character of the fourth chord as a consonance. It is interesting

118
Béla Bartók, Béla Bartók Essays, 336.

114
that the order of its inversions follows a descending motion from the tonic, GFC,

as if the descending motion in a pentatonic melody has priority over one that ascends.

That is, in Figure 3.4b, first, the order of its three positions is a root position as

indicated by the letter A above staff, the first inversion (B), and then the second

inversion (C). Thus, the second inversion has the same configuration as the first

inversion. Nevertheless, Bartók does not use the terms “root position,” “first inversion”

or “second inversion” to describe the three fourth chords. Rather, he indicates each

inversion as the A chord or B chord. Thus, he does not distinguish each position of the

fourth chord in terms of harmonic stability or function. Therefore, in music based on

the pentatonic scale, these fourth chords can be treated equally. Figure 3.5 shows all

inversions of the fourth chord marked by Roman numerals and a figured bass. Three

positions of the fourth chord are frequently utilized with a vertical or linear

configuration in Bartók’s music. The B chord is used as the final cadential chord in

Bartók’s String Quartet no. 1, 119 whereas the A chord built on B is used as a

sustained chord supporting the folk melody in mm. 11–17 of the third movement of

Improvisations on Hungarian Peasant Songs, op. 20, as illustrated in Example 3.6.

Figure 3.5 The inversions of the fourth chord with figured bass

7 5 5
I4 I2 I4

119
Ibid.

115
 Example 3.6 The fourth chord in Mvt. III of Improvisations
on Hungarian Peasant Songs, op. 20

10 14

In addition, in his essay, “The Folk Songs of Hungary,” Bartók continuously

mentions the possibility of the new harmonic chords influenced by Hungarian and

other folk music. For example, he creates augmented fourth (or the diminished fifth)

chords as follows: 120

There are many similar harmonic inspirations we owe to the latent harmonies
contained in the peasant songs of ours, but I shall content myself with calling
attention to one more only. Rumanian and Slovak folk songs show a highly
interesting treatment of the tritone (the first, in a sort of Mixolydian mode with
minor sixth, the others, in a Lydian mode) as may be seen in the following
examples:

Moreover, Bartók explains that these chords can be used freely without any harmonic

restrictions. This is due to the fact that every note in these fourth chords is not a

120
Ibid., 336-38.

116
temporally altered unstable or dissonant note, but an element of diatonic or non-

diatonic scales used in Rumanian and Slovak folk songs. Therefore, Bartók freely

applies them to his compositional method.

We now will look at the use of the fifth chord as another consonant chord in

Bartók’s music, which is produced by superimposing two perfect fifths. He briefly

mentions the existence of the fifth chord in his essay, “Analysis of the Second

Concerto for Piano and Orchestra.” Just as paralleled fifths frequently occur in many

of his works, so too does Bartók often use fifth chords in parallel motion. As shown in

Example 3.7, they occur at the beginning of the second movement of the Second

Concerto for Piano and Orchestra. 121 Here in order to give contrast to each part, the

parallel fifth chords in both unfold in contrary motion, giving more independent

character to both hands. This symmetrical musical texture created by both hands may

be one of Bartók’s unique compositional rules frequently applied, in particular, to

music containing the parallel motion of perfect intervals.

Example 3.7 Second Concerto for Piano and Orchestra, Mvt. II

On the other hand, the fifth chord also occurs as the final chord in the cadence

of Mikrokosmos No. 61, “Pentatonic Melody.” Commenting on No. 61, Bartók states

121
Ibid., 422.

117
that “this is in the key of A minor although it ends on tonic and dominant fifths of C, a

common ending in old music.” 122 Indeed, in spite of the concluding pedal tone on the

third above A, C, the melody of No. 61 is based on an A-pentatonic scale, A–C–D–E–

G, with a fundamental tone A. Here, in the codetta of No. 61, shown in Example 3.8,

two contrasting pentachords that omit the third are assigned to each voice: C–D–F#–G

in the lower voice, G–A–C–D in the upper voice. The melody of each phrase consists

of pentatonic motivic figures, excluding the third of each pentachord, such as G–A–C

or A–C–D, and each avoids the traditionally predominant triadic figure. In addition,

the two voices in mm. 30–33 unfold in contrary motion and actually display an

inversionally symmetric structure with the axis, G (C–G–D).

Example 3.8 Mikrokosmos No. 61, “Pentatonic Melody,” codetta

The consonant character of the C-fifth chord, C–G–D, is well represented in

the final cadence of No. 61. As Bartók indicates in his comments, its final cadence

shows a dominant-tonic relation on C, G–C, in measure 33, and this harmonic

relationship strengthens the finality of the C-fifth chord.

122
Suchoff, Bartók’s Mikrokosmos: Genesis, Pedagogy, and Style, 58.

118
 Figure 3.6 The relation between the pentatonic scale and its chords

(a) A-pentatonic scale derived from the circle of fifth series

(b) Pentatonic chords based on an A-pentatonic scale

In the mean time, the pitch structure of a fifth chord is intimately related to that

of a fourth chord. Namely, both chords have the same pitches but are verticalized

differently. For instance, the C-fifth chord, C–G–D, used in Example 3.8, can be

rewritten as a D-fourth chord, D–G–C. Therefore, the consonant quality of a fifth

chord may be derived from that of the fourth chord. As mentioned in the discussion of

a fourth chord, both fourth and fifth chords are predicated on the pentatonic scale,

since the structure of pentatonic scale can be generated from a circle of fifths. In this

series, any successive three notes constructed vertically becomes a fourth or a fifth

chord depending on the direction, as shown in Figure 3.6a: three descending notes

create a fourth chord, indicated by “x”, while three ascending notes make a fifth chord,

indicated by “y.” Bartók also creates various other pentatonic chords from the

pentatonic scale. Thus, he develops harmonic diversity in his music using these chords

as a consonance. Figure 3.6b demonstrates the possible pentatonic chords and their

inversions from an A-pentatonic scale.

119
 We now have investigated several general characteristics of Bartók’s cadences

derived from the structure of the pentatonic scale and have found that some tonal

conventions no longer pertain to the new Hungarian art music. For instance, the

traditional authority of the dominant is weakened due to the absence of the leading

tone, and the concept of consonant intervals is extraordinarily expanded. In addition,

in Bartók’s music, the five representative dissonant chords (a minor and a major

seventh chord, a fourth chord, an augmented fourth chord, and a fifth chord) can all be

used as consonance chords, especially in cadences. Thus, even though these cadential

characteristics frequently produce tonal ambiguity in his polymodal music, these

unconventional applications based on tonal modes bring together the various melodic

and harmonic possibilities of cadential formulas. Thus, our research will first look at

the melodic cadential formula used in Bartók’s polymodal music. On the other hand,

just as the notation of Bartók’s key signatures derives from that of Hungarian folk

music, his melodic cadential forms are related to that of old Hungarian folk songs.

Therefore, we will examine his melodic cadential terms found in his own research of

Hungarian folk songs and will theoretically classify, using his own terms, the types of

melodic cadential forms that appear in his polymodal music.

3.2 Bartók’s Melodic Cadences

Bartók categorizes Hungarian folk songs based on diverse features, such as

melodic structure (form), number of text-lines, syllabic structure (the number of

120
syllables in a line), cadence and so on. 123 Among these categories, his classification by

cadence is not actually based on the types of cadential formulas, but rather on the

patterns of the ending notes of tune-lines. Thus, it is not enough to understand only his

concept of cadence. Notably, however, he denotes two kinds of cadential forms in his

explanation of the characteristics of Hungarian folk melodies: the authentic and plagal

cadences. Bartók does not precisely describe these cadences as either melodic or

harmonic, but instead, describes them in terms of certain melodic figures in the folk

songs and in his own music. 124 In addition, Bartók often uses these melodic cadential

forms accompanied by harmonies. Thus, among the miscellaneous melodic cadence

types found in Hungarian folk songs, we will focus, in particular, on the authentic and

plagal cadences. He defines his terms by exploring their theoretical background and

traits. In addition, by analyzing musical examples that use both types of cadence in his

music, we will understand better how each melodic cadence is harmonized. Thus, in

turn, it will allow us to determine if there are differences between them in their

degrees of finality.

First, we will explore the evidential sources revealed in Bartók’s own

description of these cadences before defining each one. In his research on Hungarian

folk songs, he categorizes the styles of Hungarian folk songs into an old style (Class

A), a new style (Class B), and a mixed style (Class C). He depicts the musical form of

123
Béla Bartók, The Hungarian Folk Song, ed. Benjamin Suchoff (Albany: State University of New
York Press, 1981), 4-11.
124
Bartók sporadically mentions cadential formulas in several places in the books, The Hungarain Folk
Song and Béla Bartók Essays. The authentic and plagal cadences are mostly described as both melodic
and harmonic, but, the phrygian cadence is only stated as a melodic form. While authentic and plagal
cadences are employed most, a phrygian melodic cadence is only used occasionally because it is a
characteristic feature of the Rumanian musical dialect and rarely appears in Hungarian folk songs.

121
each folk song by capital letters according to the melodic contents of four tune-lines,

for instance, AABA, AA5BA (A5 is transposed by a fifth above A), or ABBA and so

on, as mentioned in Chapter 2. In his explanation of the new style (Class B), he

proposes prototypes of the cadential melodic figures illustrated by the ending of each

A and B tune-line. Here, the cadential patterns in the A-line are important because

they are frequently located at a final cadence in the new style, ending on the tonic note,

G. Figure 3.7 illustrates, by then order of frequency, the diverse cadential patterns

presented in the final measures of an A-line. 125 It is interesting to note that cadential

patterns consisting of the dominant-tonic, D–G, are uncommon in folk songs, as

indicated in Figure 3.7a-5 and 3.7a-6. Moreover, as illustrated in Figure 3.7b, and

elsewhere, there are other atypical ending patterns in an A-line. Here, Bartók explains

that both Figure 3.7b-2, a leading-tone to a tonic, and 3.7b-3, a dominant to a tonic,

are the more exceptional endings of an A-line. He presumes these tonal endings are

influenced by other geographic cultures. It is also important to show the lack of tonal

function in Hungarian folk songs, which is ultimately associated with the deterioration

of the function of the dominant in pentatonic folk music.

In his descriptions of these melodic cadential patterns, Bartók fully specifies

only two types of cadences, labeling the cadential figure, 3^ – 1^, seen in Figure 3.7a-2,

as an authentic form, and the cadential figure, 4^– 1^, as a plagal form, seen in Figure

3.7a-4. These two cadential forms (an authentic and plagal) are closely related to the

distinctive melodic forms in Hungarian folk songs. In fact, he first mentions the

125
Bartók, The Hungarian Folk Song, 48-49.

122
melodic authentic and plagal cadences in Hungarian folk song when he defines the

plagal form of a tune as a variant of a seemingly authentic form. 126

Figure 3.7 various melodic cadential patterns in Hungarian folk songs

(a) Cadential patterns of the final measures in an A-line

(b) Other cadential patterns of the final measures in an A-line

First, in order to investigate these cadences, we need to look at their

terminological sources and the relationship between cadences and melodic forms.

Bartók also begins with the origin of the terms of cadences and forms. He explains

they are borrowed from the terminology of the church modes used during the Middle

Ages and the Renaissance. In general, these church modes are largely divided into two

kinds: authentic and plagal. Figure 3.8 lists the eight church modes, in which four

authentic modes are in the column on the left and four plagal modes are in the column

on the right. In Figure 3.8, the paired modes are shown on the same staff and the final

of each is indicated by a square note. 127

126
Ibid., 41.
127
Harold S. Powers, et al. “Mode.” In Grove Music Online. Oxford Music Online.
http://www.oxfordmusiconline.com/subscriber/article/grove/music/43718pg2 ( accessed April 27,
2009).

123
 Figure 3.8 Authentic and plagal modes of church modes

In Figure 3.8, the authentic and its corresponding plagal mode have the same

final, but a different ambitus. In other words, both modes have an octave range, but the

range of the plagal mode is a fourth below the final of the corresponding authentic

mode. Thus, the plagal mode starts on the fifth degree of the authentic mode. The

divisions of these octave species are marked by slurs; the division of the authentic

modes consists of an ordered species of the fifth and fourth, while the division of the

plagal modes is the opposite, consisting of the fourth and then the fifth. Therefore,

when an authentic mode changes to a plagal, the octave division is modified from a

fifth-fourth to a fourth-fifth. Bartók names this kind of change as the “plagalizing” of a

mode–for example, a change from Dorian to Hypodorian. In addition, he uses this idea

of “plagalizing” a mode to explain the otherwise strange scales found in the Hungarian

folk songs. Moreover, he further accounts for the relationship between folk songs in

term of authentic and plagal forms. First, the “plagalizing” of the scale is used to

124
explain some of the seemingly strange scales based on an octave division of G–C–E –

G, such as G-A -B-C-D-E -F-G, or G-A-B-C-D-E -F-G, as shown in Figure 3.9. 128

According to Bartók, these two scales are plagalized from the C-minor scales. In other

words, the G-A -B-C-D-E -F-G is shifted by a fourth below the C harmonic minor,

C-D-E -F-G-A -B -C (Figure 3.9a), and the G-A-B-C-D-E -F-G is shifted from the

C melodic minor, C-D-E -F-G-A -B -C (Figure 3.9b), as illustrated below in Figure

3.9.

Figure 3.9 Plagalized minor and major scales

Likewise, he regards another scale, G-A-B-C-D-E-F-G, based on the octave

division of G–C–E–G, as plagalized from the C major scale, as shown in Figure 3.10.

128
Bartók, The Hungarian Folk Song, 53-54.

125
 Figure 3.10 Plagalized major scales

Interestingly, this plagalized major scale is the same as the authentic mode of the G-

Mixolydian, but it has a different octave division, G–C–E–G, rather than the authentic,

G–B–D–G. This octave division is derived from the octave species of a plagal mode, a

fourth-fifth. Thus, Bartók defines this scale as a “plagal form” of G-Mixolydian,

concluding that it is produced in the process of “plagalizing” the C major scale. 129 In

other words, there are two kinds of melodic forms in G-Mixolydian folk tunes: one is

an authentic with the octave division of G–B–D–G, and the other is a plagal with the

division of G–C–E–G.

The concept of these two melodic forms not only provides an important tool in

clarifying the relationship between some Hungarian folk songs, but also explains the

origin of two melodic cadences. Indeed, in his research of Hungarian folk songs, we

continue to specify the relationship between folk songs in terms of authentic and

plagal forms. That is, they appear to be melodically different and have different texts,

but they are actually very similar in melodic content. The octave divisions of both

songs are distinctive, based on a common final. Thus, Bartók states that these folk

129
Here, his plagal form in Hungarian folk songs has to be distinguished from the plagal mode in the
ecclesiastical modes because Bartók’s concept of the plagal Mixolydian is different than the plagal
mode of the Mixolydian (Hypomixolydian). Both scales have an octave division of fourth-fifth, but the
plagal G-Mixolydian has the same octave species as an authentic, while the mode of Hypomixolydian
starts on fourth lower than the final G.

126
tunes are related and can generally be distinguished by their octave divisions. For

example, in a G-tonality, while folk songs based on the octave division of G–B–D–G

or G–B –D–G are authentic forms, those with the octave division of G–C–E–G or G–

C–E –G constitute plagal forms. Here, I will call the octave division of a plagal form

a “plagal division:” for instance, G–C–E–G in a major mode and G–C–E –G in a

minor.

Bartók exemplifies the relationship between authentic and plagal modal forms

with several musical examples, for instance, No. 93b and No. 93c, in The Hungarian

Folk Song. 130 As illustrated in Example 3.9, both Nos. 93b and 93c do not look

identical because of dissimilar initial melodies and cadences. In addition, the melody

of No. 93b is a G-Mixolydian with a main caesura (the ending note of the second tune-

line) 5 , while No. 93c is a G-major mode with a main caesura 2 . However, if the

melody of No.93b is transposed down by a fourth (not shown in Example 3.9), it will

clearly show that both melodies are very similar to each other due to a similar melodic

content. Both melodic structures are also the same, ABBA, and, in particular, the

second tune-lines are both exactly the same. Here, we can infer the relationship

between both folk songs by comparing the cadences in the first and fourth tune-lines

of both. First, these first and fourth endings of No. 93b show a fourth descending

cadential figure, from the fourth degree to the tonic, C–G, as a “plagal melodic

cadential form.” Whereas, those of No. 93c represent a third descending cadential

figure, from the third degree to the tonic, B–G, as an “authentic melodic cadential

form.”

130
Bartók, The Hungarian Folk Song, 40-41.

127
 Example 3.9 Hungarian folk songs in terms of authentic and plagal

(a) No. 93b, Jaj de sokat arattam a nyáron [Alas, long have I reaped in
summer]

(b) No. 93c, A vacsárcsi halastó, halastó [In the stewpond, stewpond at
Vacsárcsi]

Example 3.10 No. 93b with modified endings

Indeed, for a more visible comparison, Bartók suggests that the cadential figure

of No. 93b, C–G, is changed to E–C, as indicated by the squares in Example 3.10. The

modified melody of No. 93b in Example 3.10 obviously demonstrates a close

relationship to No. 93c but with a slight melodic variation. Thus, we notice that No.

93b, with modified endings, is similar to a melody transposed by a fourth higher than

128
No. 93c, as illustrated in Example 3.10. In addition, to grasp the terminological

relation between these forms and cadences, we need to discuss one more characteristic

of No. 93b using Bartók’s terms, authentic and plagal. In the melodic line of the

original No.93b, the main notes are repeatedly displayed on strong downbeats or in the

arpeggio figures, which divide the octave segment into G–C–E–G, 1^–4^–6^–8^ in a G-

tonality. This partition is a subdivided configuration from the octave species of the

fourth-fifth in a plagal mode, as mentioned above. Thus, Bartók generalizes that a tune

with this melodic structure, No. 93b, is a plagal form, in contrast to an authentic form,

No. 93c, in which its octave division is G–B–D–G, 1^–3^–5^–8^ in a G-tonality. 131

Therefore, in accordance with these two different octave divisions, two distinct

melodic cadential forms are derived. The ending of the descending third, 3^ – 1^, is

called “authentic melodic cadential form” and is related to the octave division of an

authentic tune form. Likewise, the descending fourth, 4^–1^ , is called a “plagal

cadential form,” originating from an octave division of a plagal tune form. This form

is found relatively frequently in plagal form folk tunes.

Now we will investigate how Bartók develops and harmonizes these melodic

cadences in his music. First, we will examine the harmonization of authentic melodic

cadential forms. We see that he adds harmony to No. 93b in No. 4 of his Twenty

Hungarian Folk Songs (1906). In No. 4, “In the Summer Fields,” he modifies the

original folk melody of No. 93b in a plagal G-Mixolydian to a D-minor authentic

131
The change from an authentic to a plagal form in one melody is frequently found in many Hungarian
folk songs. According to a traditional tonal perspective, when the transformation from an authentic to a
plagal form occurs in a single tune, the music usually modulates to a new key in music. This musical
phenomenon will be treated in Chapter 4.

129
mode. Thus, a plagal cadential figure is changed to an authentic. Since this song has

the melodic content of ABBA, as shown in Example 3.11, the cadences in both the

first and last melodic sections have the harmonization of an authentic cadential figure.

Example 3.11 illustrates the harmonization of an authentic melodic cadence, F–D, in a

D-Aeolian mode. This authentic cadence consisting of 3^–1^ is supported by a tonic

chord, a D-minor triad, and establishes a D minor tonality with a dominant chord in

the penultimate measure. This harmonization of an authentic melodic cadence with a

tonic chord is also found in many other musical examples, such as No. 6, “Deceived in

Love,” in Twenty Hungarian Folk Songs.

Example 3.11 Harmonization of the authentic melodic cadence

in No. 4 of Twenty Hungarian Folk Songs (1906)

V i –

In his music, however, Bartók harmonizes the authentic melodic cadence using

another chord besides the tonic. For instance, an authentic melodic cadential figure is

found in Mikrokosomos No. 43, “In Hungarian Style.” It is composed for two pianos,

with the second piano providing an harmonic accompaniment, while the first piano is

predominantly performed in unison. It is in the D-minor mode (D-Dorian) and the

melodic content is AA5BA. As indicated in its melodic content, the first and fourth

130
melodic sections have the same melody, which includes an authentic melodic cadence.

Interestingly, each time Bartók harmonizes these authentic cadences differently. That

is, in the final cadence, the authentic melodic cadence is harmonized by a tonic chord,

which is the most frequently used harmony in the authentic, whereas, in the second

measure, it is supported by a subdominant chord, IV7. As shown in Example 3.12,

Bartók uses different harmonies in the authentic melodic cadences to give them

variety.

Example 3.12 Harmonization of the authentic melodic cadence in No. 43,

“In Hungarian Style” in Mikrokosmos

(a) Cadence in mm. 1 – 2 (b) Cadence in mm. 7 – 8

i IV7 v i

Moreover, in No. 43, Bartók’s placement of diverse harmonizations is

noteworthy. He arranges two authentic melodic cadences in different metrical

positions. For instance, one is harmonized with a subdominant chord in the first

melodic section and the other with a tonic in the final cadence. This cadential

phenomenon indicates that he is varying the degree of finality of the authentic melodic

cadences through their harmonization. The cadential formula shown in the final

131
cadence will be further examined in terms of an authentic harmonic cadence later in

this chapter.

Example 3.13 Plagal melodic cadences

(a) No. 94, “Once Upon a Time…” in Mikrokosmos

(b) No. 3b, “The Horse-thief” in Twenty Hungarian Folk Songs (1906)

iv I

On the other hand, he frequently uses another melodic cadence, the plagal, as a

primary melodic cadential form. Often in Bartók’s music, the descending fourth

melodic figure of a plagal melodic cadence has as strong finality as an authentic

cadence. Example 3.13 shows representative examples of plagal melodic cadences.

First, sometimes the descending fourth figure of a plagal melodic cadence is expanded

to a melodic cadence consisting of three notes combined with an upper or lower

incomplete neighboring note, for instance, 3^–4^–1^ or 5^–4^–1^. The cadential phrase of

Example 3.13a is one such example. Example 3.13a shows a C-polymodal ending

132
consisting of a C-Lydian and a C-Aeolian mode in a final cadence of No. 94. Here, the

plagal cadential figures in a codetta result from adding a lower incomplete

neighboring tone to a plagal melodic figure. This melodic figure is repeated three

times in both parts. Thus, the music projects the finality of a C-tonality with the final

cadential figure, E –F–C, without any chordal support. Interestingly, the polymodal

tension between the major mode of a C-Lydian and a C-minor mode is compromised

with a tonic chord that omits the third (the neutral chord) in the final cadence. In

addition, Example 3.13(b) represents the most frequent case of the plagal melodic

cadential form, which is harmonized by a subdominant–tonic. 132 In the final cadence

of No. 3b in Example 3.13b, a plagal melodic cadence is supported by iv–I in D-

Dorian/Aeolian polymodal music. The final tonic chord in a D-Aeolian is modified by

the Picardy third to a major tonic chord. This specific harmonization of a plagal

melodic cadence will be dealt with later.

Example 3.14 exemplifies another harmonization of the plagal melodic

cadence. No. XIII, [A lad was killed] in For Children, provides us with various

harmonizations of this cadence. In No. XIII, the Hungarian folk melody with a plagal

melodic cadence is presented twice in D-Dorian/Aeolian polymodality: the second

cadence places the melody in the lower voice. In the first part, this folk melody

appears in the lower voice, while in the second part, it occurs in the upper. Thus,

Example 3.14 illustrates two kinds of harmonization for the plagal melodic cadences.

Firstly, the plagal melodic figure in the lower voice in mm. 7–9 is harmonized by IV7

132
In this harmonization of plagal cadence, the phenomenon of contrary octaves is noticed in between
the melody and bass parts.

133
 ø
– vi 65 progression (Example 3.14a). It is interesting that in the intermediate cadence,

Bartók creates a sort of deceptive cadence using unique Dorian chords, a major-minor

seventh chord of the fourth and a half-diminished submediant chord in a D-Dorian. 133

In the final cadence, the harmonization of the plagal melodic figure displays the vii74 –

i/I progression (Example 3.14b). Here, he uses the fourth chord as the penultimate

chord and ends on a neutral tonic chord. Thus, it produces a relatively stronger

finality in the final cadence by using the voice-leadings, B –A in the tenor and C#–D

in the bass. Therefore, Bartók effectively arranges the degree of finality in the

harmonizations of plagal melodic cadences in a D-minor polymodality.

Example 3.14 Plagal melodic cadences in No. XIII, For Children

(a) In mm. 7–10 (b) In mm. 16–18

ø6
IV7 vi 5 vii74 i/I

Indeed, the plagal melodic cadence is frequently used in minor modes in

Bartók’s music as well as occasionally in Mixolydian. 134 It may also be influenced by

a primary appearance of the fourth skip in the minor mode in Hungarian pentatonic

133
The characteristic notes and chords in each mode will be discussed later in this chapter.
134
In general, the minor modes produced from a Hungarian pentatonic scale indicate Dorian, Aeolian,
and Phrygian modes, as discussed in Chapter 1. Bartók expands the concept of minor mode scales to all
scales that include the initial minor third interval. The plagal melodic cadence is found relatively often
in these minor modes (No.XIV, No.XXXIV) and also the Mixolydian mode (No. XVIII). For the plagal
cadence in the Mixolydian mode, see Lori Burns’s Bach’s Modal Chorales (Stuyvesant, NY: Pendragon
Press, 1995), 49-50.

134
music. Therefore, the plagal melodic cadence is often used independently, without

following the authentic, and it plays a role in creating finality in polymodal music by

varying its quality and modal flavor.

Interestingly, Bartók uses both an authentic and plagal melodic cadence

consecutively in his music. For Children, No. XIV, “The poor lads of Csanád,”

provides a good example. No. XIV is in a D minor polymodal mode, even though no

key signature is indicated, as shown in Example 3.15. 135 Here, we can notice that

Bartók notates the note B , a minor sixth, in the first five measures, whereas, he uses

the note B , a Dorian sixth, in two cadential phrases, mm. 6–8 and mm.10–12.

Therefore, the tonality of No. XIV is considered to be a D-minor polymodality, which

combines a D-Aeolian with a D-Dorian. No. XIV is divided into three parts with the

formal structure of ABB. In part B, the plagal melodic cadence, (A)–G–D, occurs after

the authentic melodic cadence, (A)–F–D, in the upper voice of the two cadential

phrases. Unlike traditional tonal harmony, which gives more tonal authority to an

authentic cadence, in No. XIV Bartók provides more harmonic weight to the plagal

melodic cadence with a unique harmonization. The same harmonization occurs in the

two appearances of both melodic cadences in part B. The subdominant seventh chord

supports the authentic melodic cadence and is suspended until the penultimate chord

of the final cadence. This major subdominant seventh chord is from the D-Dorian

mode and is again firmly stated on the downbeat of the last measure, accomplishing

the final cadence with the plagal melodic cadence over IV7 – i.
135
Here, we can assume the reason for the absence of a key signature in No. XIV is because of the
simultaneous use of both B and B . The absence of key signatures as one of six types in Bartók’s
polymodal music was discussed in Chapter 2.

135
 Example 3.15 No. XIV, “The poor lads of Csanád” in For Children

On the other hand, Bartók also shows distinct harmonizations of the same

plagal melodic figures in Part A (m. 2) and Part B (m. 12). His demonstration of the

distinct harmonization of a plagal melodic cadence depends on metrical position,

which differentiates the function of this cadence in modal harmony. 136 In other words,

even though he uses the same melodic figure, the plagal melodic cadence in measure 2

is harmonized with iio6 – i, while that in the final measure is harmonized with IV7 – i

in a D-minor polymodality. Indeed, this plagal harmonic cadence of IV7 – i

strengthens the final feeling of No. XIV with the plagal melodic cadence.

136
In No. 43, “In Hungarian Style” in Mikrokosmos, we already saw that Bartók uses
different harmonizations of an authentic cadence depending on metrical position, as
shown in Example 3.12.

136
 We defined and explored Bartók’s two unique melodic cadential forms,

authentic and plagal. Both melodic cadences are frequently found and individually

used in Hungarian folk songs, as well as in his own music. In his polymodal music, in

particular, they are sometimes developed in a linear progression and are often

harmonized. In his harmonizations of both melodic cadences, Bartók distinguishes

each one with a distinct harmony and varies their finality by arranging them in

different metrical positions. Thus, we will further examine the harmonic as well as the

melodic cadence and classify the types of harmonic cadences found in Bartók’s

polymodal music.

3.3 Bartók’s Harmonic Cadences

As we discussed in the beginning of Chapter 3, pentatonic folk music provides

a new kind of harmonic phraseology in Hungarian art music. Here, the absence of the

major seventh degree weakens the dominant function, and, intervals dissonant in

conventional tonal harmony are treated as consonances. Thus, based on this new

concept of chromatic modal harmony, Bartók states several times in his essays that

there is no longer a strong dominant–tonic cadence in new Hungarian art music. 137

These facts lead to several questions related to the cadences he used in his polymodal

music. How does Bartók articulate a musical phrase, a section, or a composition

without depending solely on the dominant–tonic cadence? Are there any substitutes

for this kind of cadence? If other cadences are used in his music, which chord does he

137
See, for example, Bartók, Béla Bartók Essays, 334.

137
employ as the penultimate chord before the tonic? How does Bartók develop the

cadential progression to intensify the finality in these penultimate chords? Is there any

difference of finality among his harmonic cadences? Thus, we will examine the

diverse harmonic cadences found in his polymodal music with these questions in mind,

and we will also categorize the various types. In addition, in order to investigate the

use of his cadences, we will explore the formulation of their configurations.

Remarkably, he uses unique chords in the cadences of his polymodal music, based on

certain church modal scales. Thus, in particular, we will need to look at all types of

characteristic notes and chords in each mode. Therefore, first, we will define and

determine the characteristic intervals in each mode (see Figure 3.11).

Figure 3.11 Characteristic intervals in each mode

Modes Characteristic intervals

Dorian m3, M6, m7
Phrygian m2, m3, m7
Lydian M3, A4, M7
Mixolydian M3, M6, m7
Aeolian m3, m6, m7
Ionian M3, M6, M7

Each ecclesiastical mode has generally been distinguished by characteristic

intervals embedded in its modal scale. First, as mentioned in Chapter 1, the initial third

is an important defining interval in dividing the major and minor modes. Moreover,

these modes can be differentiated by intervals other than the third. Thus, in order to

compare these scale structures, the characteristic intervals of the most frequently used

138
modes in Bartók’s music are listed in Figure 3.11, and the primary characteristic

interval is indicated in bold letters. Here, some modes obviously have distinctive

intervals, such as the Phrygian second or Lydian fourth because they are unique

among all the modes. Some characteristic intervals, however, are not obvious. For

instance, in comparing the Dorian and Aeolian modal scales, the interval of a sixth can

come to serve as a defining interval, although both are very similar. Likewise, in a

comparison of the Mixolydian and Ionian modes, even though they have a similar

structure, based on major third and sixth intervals, the interval of a seventh can

actually serve as a characteristic interval. In fact, these characteristic intervals have

been occasionally mentioned by music scholars, for example, the Dorian sixth (M6),

and Phrygian second (m2); thus, we will continue to use this terminology to explain

the character of Bartók’s harmonic cadences. These characteristic intervals (or notes)

will later provide an important criterion for distinguishing each harmonic cadence.

Each mode containing these intervals also has a unique characteristic or

defining chord. A characteristic chord is frequently used to express the flavor of its

corresponding mode; for instance, the minor tonic gives a minor mode feeling in a

minor mode. Also, it is very useful to identify the modes in Bartók’s polymodal music.

In order to easily compare triadic chords of each mode, Figure 3.12 illustrates the

triads of the four less familiar modes with Roman numerals. In addition, Figure 3.13

represents the table listing the characteristic chords in the six modes, including the

Aeolian and Ionian.

139
 Figure 3.12 Triads of each mode with Roman numerals

Figure 3.13 Characteristic chords in modes

Modes Characteristic chords

Dorian i, III, IV, vi°, VII
Phrygian i, II, III, v°, VI, VII
Lydian I, II, #IV°, vii
Mixolydian I, iii°, IV, v, VII
Aeolian i, ii°, iv, v
Ionian I, IV, V, vii°

The characteristic chords in each mode shown in Figure 3.13 are selected

based on their characteristic intervals. Some other chords are also characteristic, but I

have listed only the chords that Bartók frequently uses in his polymodal music. In

order to reflect the natural flavor of the original mode, he primarily uses

corresponding characteristic chords in each mode other than modified ones. This is in

contrast to the frequent use of the modified dominant, from minor to major, found in

140
traditional music in a minor key. Occasionally, he does use a mixture of the minor and

major triad in music based on his concept of the neutral triadic chord. 138 However, he

frequently avoids emphasizing the dominant function. Thus, he freely employs the

chords listed above in his music and endeavors to give them independence in the

harmonic progression. In addition, according to Bartók, since all scale degrees of the

pentatonic scale have equivalent weight, it is natural that the harmonic authority of the

dominant be distributed to other scale degrees. Thus, Bartók produces other types of

harmonic cadences created by chords based on the property of pentatonic and tonal

modes, while only the dominant has a primary role in the cadence of traditional tonal

music. For example, he often forms unconventional cadences, combining chords, such

as the subtonic, or supertonic with the tonic. Therefore, many diverse unique cadential

forms are found in his polymodal music.

Next, we will examine the classification of these harmonic cadential forms.

First, we observe that the conventional method of categorizing his harmonic cadences

is not adequate to explain the features represented in his various cadences. For

example, traditional authentic cadences are, of course, found in his music, but they

represent a comparatively smaller portion of all the types of his cadential forms

because they do not exactly follow the cadential formula of a major triad dominant–

tonic. On the other hand, another controversial issue emerges in the classification of

these types. Since Abbé Vogler presented the types of modal cadence using Roman-

numerals in his Choral-System (1800), it has been used conventionally to notate

138
The concept of the neutral chord is discussed in pages 7-8 of Chapter 3.

141
cadential types. 139 This notational system does not fully represent the character of

cadential types, since it mainly focuses on the progression of root position chord,

rather than on the functions of voice-leading. For example, in this Roman-numeral

system, the cadences V65–I and vii–I are categorized as distinctive types because they

consist of different elements. However, from a functional harmonic perspective, both

cadential progressions not only have the same bass-line, 7^ – 1^, but they also carry

equivalent functions. That is, the progression of both cadences contains the same

strong voice-leadings, in which two tendency tones resolve to elements of the tonic

chord, from the leading-tone to the tonic and from the fourth degree to the third.

Therefore, Charles Smith defines the major seventh degree (leading-tone) as the

functional note in these kinds of cadential progressions and recommends the

functional notation emphasize the bass-line rather than a Roman numeral symbol. 140 I

will accept this premise and apply it to the classification of Bartók’s cadences, rather

than using the more problematic Roman-numeral system. For instance, in the authentic

cadence, the dominant or tonic are often employed as a neutral chord due to the

properties of polymodal music. Thus, even though it appears to represent the cadential

progression of dominant–tonic, it does not have as strong a voice-leading, as, for

example, leading-tone to tonic. Moreover, in many of Bartók authentic cadences, the

minor dominant chord is frequently used in minor modes, such as Dorian and Aeolian.

139
Abbé Georg Joseph Vogler, Choral-System (Copenhagen, 1800).
140
Charles Smith points out the problems of Roman numeral notation, which emphasizes the root, thus
proposing a “function(Bass) notation” focusing on the bass-line as an alternative. See Charles J. Smith,
“The Love of Fundamentals is the Root of All Evil: Alternatives to Harmonic Fundamentalism,” A
Composition As A Problem V (2008), Proceedings of the Fifth International Conference on Music
Theory, Estonian Academy of Music and Theatre, Tallinn, 2006: 5-24
.

142
Thus, these cadences could be emphasized either by a dominant-tonic or the minor

seventh-tonic in the bass. Here, the cadence with a bass-line of minor seventh-tonic

has to be treated differently. The reason for this is that the minor seventh degree

represents the primary characteristic note in Bartók’s minor mode music, while the

major seventh is an important note in traditional major mode music. Accordingly, in

this dissertation, we will categorize Bartók’s cadences according to both bass-lines

and characteristic notes of each mode. Thus, I begin first by selecting the five

prevalent kinds of bass-lines in his cadences and making a list of all the possible

church modes containing a corresponding bass-line, as illustrated below in Figure 3.14.

Figure 3.14 Possible modes in six bass-lines

Bass-lines Modes
^ ^
5– 1 Dorian, Phrygian, Lydian, Mixolydian, Aeolian, Ionian
^ ^
7– 1 Dorian, Phrygian, Mixolydian, Aeolian
7^ – 1^ Lydian, Ionian
2^ – 1^ Phrygian
2^ – 1^ Dorian, Lydian, Mixolydian, Aeolian, Ionian
4^ – 1^ Dorian, Phrygian, Mixolydian, Aeolian, Ionian

Secondly, since some base-lines appear in more than one mode, we need to

decide which mode can appropriately stand for each unique bass-line. Thus, the

representative mode can be chosen based on the characteristic notes of each mode, as

illustrated above in Figure 3.12. Since the bass-line, 2^–1^, obviously occurs only in

the Phrygian mode, it could be called a phrygian cadence. Likewise, the bass-line of

7^–1^, is called either a Lydian or an Ionian cadence. However, since an Ionian mode is

143
usually characterized by a bass-line of the dominant-tonic as an authentic cadence, the

Lydian cadence would be the more appropriate name. Likewise, another bass-line,

7^–1^, is called a Mixolydian cadence due to the strong characteristic note of a minor

seventh in the Mixolydian mode in contrast to the Ionian (major), as also mentioned

above. On the other hand, as the remaining three bass-lines of the six types in Figure

3.14, are involved in many modes, we will use general names to indicate them. First,

the dominant-tonic bass-line is called the authentic cadence both when the cadential

progression over this bass-line has voice-leading from the major or minor seventh to

the tonic and also when the penultimate dominant chord or the tonic is a neutral chord.

Second, the bass-line of the subdominant-tonic will be named the plagal cadence

because it is in accordance with the bass-line of the traditional plagal cadence. Finally,

I will label the last type of bass-line, the second-tonic, as the Dorian although it is

included in all modes other than the Phrygian. Therefore, in Bartók’s polymodal music,

the six types of cadence are classified in terms of the specific name of each type.

Figure 3.15 The six types of cadences and their bass-lines

Bass-lines The Types of cadences

^ ^
5– 1 Authentic cadence
7^ – 1^ Mixolydian cadence
7^ – 1^ Lydian cadence
2^ – 1^ Phrygian cadence
2^ – 1^ Dorian or modal cadence
4^ – 1^ Plagal cadence

144
Figure 3.15 summarizes the list of cadential types according to their bass-line. We will

now investigate the four most prevalent types of cadential forms (authentic, plagal,

phrygian, and mixolydian cadences) among the six types, using examples from

Bartók’s short piano pieces; we then will explore how he achieves different degrees of

finality in these cadences.

3.3.1 Bartók’s harmonic authentic cadences (5^ – 1^)

Like the authentic cadences used in much traditional tonal music, there are

many cadences consisting of dominant and tonic chords in Bartók’s music. Here, his

authentic harmonic cadence emphasizes the bass-line of dominant-tonic, 5^ – 1^, in

regardless of the quality of these chords. The reason for that is because in both

Hungarian folk songs and this polymodal music Bartók’s authentic cadential

progression is not fully dependent on the major seventh degree. Therefore, several

distinctive features are presented in his authentic cadences due to the absence of the

major seventh, such as v–i , vm7–I, v°7–i, or a neutral V(or v)–I. Some traditional

authentic cadences are, of course, used in his music as well. However, we will

examine primarily those cadences, particularly in his polymodal music, that use

cadences other than the traditional tonal authentic cadence.

Firstly, in an authentic cadence Bartók frequently uses the neutral dominant,

which has either no third or a doubled third, often found in many contrapuntal

compositions, as shown in Example 3.16.

145
 Example 3.16 Mikrokosmos No. 50, “Minuetto”

II6 ii V6-5 I

Example 3.16 illustrates the final cadence of No. 50, “Minuetto.” As discussed in

Chapter 2, even though the key signature is represented only by C#, it is actually an

incomplete A major key signature. Thus, it is a type of A major based on an A-

polymodal scale of an A-Lydian/Ionian. In the last three measures, the cadential

progression may be conventionally analyzed as II6–ii–V6-5–I. Although the dominant

chord does not have a major third (G#), the leading-tone of an A-major mode, the final

cadence establishes an A-tonality with the bass-line 5^ – 1^.

Secondly, Bartók frequently uses the dominant minor seventh chord (mm7) in

the authentic cadence; in contrast, the dominant in a minor mode is usually

transformed to a major chord in traditional tonal music. The use of a dominant minor

seventh chord mainly occurs in his minor modes because in his polymodal music he

revives the character of the church modes implied in Hungarian folk songs. His use of

the minor seventh chord in an authentic cadence is illustrated in Example 3.17.

146
 Example 3.17 Mikrokosmos No. 127, “New Hungarian Folk Song”

vm7 I

No. 127, “New Hungarian Folk Song,” is in a B minor tonality, based on the

pentatonic mode. In the codetta of No. 127, the cadential melodic motif, one measure

in length, is repeated three times by the piano. In particular, the bass-line of an

authentic cadence, F#–B, is also repetitively presented in an ascending motion and

prepares the final authentic cadence, which is harmonized by vm7–I. It is interesting to

investigate how Bartók distinguishes these repeated cadential bass-lines in this codetta.

In fact, the harmonization of the second bass-line F#–B, in mm. 26–27, is different

from the bass-line of the final cadence in mm. 27–28, as illustrated in Example 3.17.

In fact, the note D# in the penultimate chords of the cadence in m. 26 is changed to the

note E in m. 27. This note E is the minor seventh of the dominant and goes to the D#

of the major tonic chord in the final cadence, while the note D# over the fifth degree in

m. 26 proceeds to the next major tonic chord, a B-major triad. In order to make a

stronger final cadence, Bartók arranges the dominant minor seventh before the major

tonic chord, accomplishing a half step voice-leading, E to C#. In fact, as mentioned

earlier, he states that in Hungarian folk songs the minor seventh does not need to

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resolve due to its consonant sound; but he nonetheless often shows the resolution from

a minor seventh of dominant to a third of tonic, as illustrated in Example 3.18. In

addition, he applies this kind of voice-leading to give finality in his authentic cadence.

Example 3.18 Fifteen Hungarian Peasant Songs No. 8

G: vm7 i

Remarkably, we will look at the authentic cadence consisting of the diminished

dominant seventh-tonic. It is the most unique cadential form among his authentic

cadences. It usually occurs in a Phrygian mode because the diminished dominant

seventh is one of the characteristic chords contained in the Phrygian mode, as

demonstrated in Figure 3.13. This use of the chord built on the dominant of the

Phrygian was restricted in conventional harmony because of the instability of the root,

B. However, Bartók intentionally uses this chord in several of his polymodal pieces to

provide the unique color of the Phrygian mode.

No. 44 in Example 3.19 was discussed in Chapter 2 as an example of an octave

lowered incomplete E-major key signature. In addition, we saw that No. 44 is a G#-

Phrygian using an E-major key signature as its parent key. Thus, as shown in Example

3.19, No. 44 illustrates the authentic cadence comprised of a diminished dominant

seventh and a tonic chord, v°7–I, in the final cadence. In the penultimate measure, the

G on the second beat of Piano I is preceded by the G on the down beat, and they are

148
extended in the neighboring motions of G until the final measure. However, both notes

A and F# in Piano I are combined with the notes D# and C# in Piano II and form the

diminished seventh chord, D#–F#–A–C. The strong descending fifth interval of the

bass strengthens the final cadence in a G-Phrygian tonality.

Example 3.19 Mikrokosmos No. 44, “Contrary Motion”

v°7 I

3.3.2 Bartók’s plagal harmonic cadences (4^ – 1^)

As already noted in the discussion of Bartók’s melodic cadences, the plagal

melodic figure appears as a descending fourth interval in the upper voice. Here the

harmonic plagal cadence is determined by the bass-line of 4^ – 1^ regardless of a

different notation by traditional Roman numerals. We also discovered that this

melodic cadence is often harmonized by a subdominant-tonic. In contrast to the

traditional plagal cadence, there are distinctive characteristics in Bartók’s plagal

harmonic cadences. In his polymodal music, the plagal cadence is mostly used

independently in the final cadence. In addition, it occurs with as much frequency as

149
the authentic cadence, in particular in the minor and Mixolydian modes, with the

remarkable plagal melodic cadence. Therefore, we will explore the unique features

shown in his plagal harmonic cadences.

Example 3.20 Plagal cadences created by supertonic chords

(a) Mikrokosmos No. 28 (b) Fifteen Hungarian Peasant Songs No.8

II6 I ii65 i

Before analyzing plagal harmonic cadences of a subdominant-tonic, we will

first look at examples of the different harmonization of this bass-line, such as II6–I,

ii6–I or ii65–i. No. 28, “Canon at the Octave,” in Example 3.20a, in E-Phrygian, is

developed by contrapuntal imitation. A fourth descending bass-line appears in the

cadence. However, in the final cadence, mm. 12–14, Bartók supports the Phrygian

melodic cadence, a flattened second-tonic, in the upper voice with the fourth

descending melodic figure, a fourth-tonic, in the bass. Likewise, Example 3.20b shows

another harmonization of the bass-line of a fourth-tonic using a supertonic chord. No.8

in Example 3.20b is G-polymodal music consisting of a Dorian and an Aeolian. Thus,

Bartók uses the half-diminished seventh chord of the second degree in G-Aeolian.

Here the seventh of this chord remains on the tonic as the common note between both

chords. In particular, in Fifteen Hungarian Peasant Songs, No. 8, while the cadence,

ii65 – i is used in the middle of the piece, mm. 11–12, as shown in Example 3.20b, the

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vm7–i is employed in the final cadence in order to differentiate their cadential finality,

in spite of accompanying the same melody (not shown).

In his cadences, there are various harmonic progressions of subdominant-tonic,

such as iv–i, iv–I, IV7–i, or IV7–I, based on the bass-line of 4^ – 1^, which are produced

by a mixture of modes in polymodal music. In these plagal harmonic cadences, an

interesting cadential progression is found, which is harmonized over the bass voice-

leading, 5^–4^–1^.

Example 3.21 No. 1, “Far Behind I Left My Country”

in Twenty Hungarian Folksongs for voice and piano

(a) The interior cadence (b) The final cadence

V9 i I III6 iv9 I

Here, we will explore one example, Example 3.21b, which displays the final

cadence of No. 1 in Twenty Hungarian Folksongs for voice and piano (1906). In the

penultimate measure, the minor subdominant seventh chord is preceded by a flattened

third chord over the fifth degree in a C-minor mode, as illustrated in Example 3.21b.

On the other hand, this flattened third chord, III, could also be interpreted as a

secondary flattened major seventh of the subdominant, VII

/iv, which actually

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reinforces the following subdominant chord. This is explained by the fact that there

are many minor seventh-tonic cadences, a Mixolydian cadence, in his polymodal

music. Moreover, in No. 1 (Example 3.21a), Bartók uses an authentic cadence in the

middle of the piece, in contrast to his arrangement of the plagal cadence in the final

cadence, as shown in Example 3.20. In particular, this cadence is noteworthy both

because this authentic cadence, which is constructed by a major dominant-tonic, is

located on a weaker metrical position, and because this plagal cadence is also

harmonized with the same melody in the final cadence. This kind of harmonic

VII6
cadential progression of /iv–iv–i or III6–iv–I is also found in the plagal cadence

of No. 3a in Twenty Hungarian Folksongs (Example 3.20b). Therefore, as noted above,

his use of these plagal cadences demonstrates the autonomous treatment of the

subdominant in his polymodal music.

3.3.3 Bartók’s Phrygian Harmonic Cadences ( 2^ – 1^ and 7^ – 1^)

The terms used to define the Phrygian cadence have become confused and

inconsistent for the following reasons. First, while the authentic and plagal cadences

are defined by their bass motions, the Phrygian cadence is defined by the motion of its

soprano-line rather than by its harmony. In addition, the Phrygian cadence is

frequently interpreted traditionally as a kind of half cadence ending on the

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dominant. 141 Likewise, we refer to this cadence as Phrygian because of its flattened

second to the tonic. However, we will also consider the bass-line because the

characteristics of a Phrygian cadence are also historically related with the bass-line 7^

– 1^ in modal music.142 Therefore, both Phrygian leading-tones, the flattened second

and seventh degrees, have to be considered as an important factor in identifying the

Phrygian mode. Thus, in examining the Phrygian cadence I will focus on both the

soprano and bass-lines. We will deal with Phrygian cadences in two forms: 2^ – 1^ in

the soprano and 7^–1^ in the bass, or 7^–1^ in the soprano and 2^–1^ in the bass. 143 But

in pieces based on a Phrygian mode, Bartók creatively makes several cadences over

various other bass-lines. These types of cadences, found in his music, will be

classified according to each bass-line and explored in each corresponding cadential

type.

The first case is that of the Phrygian melodic cadential figure, 2^–1^, which is

harmonized by vii–I over the bass-line 7^ – 1^; this first case represents the traditional

141
Abbé Vogler, Choral-System (Copenhagen, 1800). Like many theorists defining a Phrygian tonality,
Abbé Vogler believed that the mode can be identified by its cadential formula. He asserted that the
Phrygian mode could only have plagal cadences. For example, it has a progression from a D minor
chord to an E major in the E-Phrygian mode, and he indicates the E major chord as a dominant. V.
142
Robert Gauldin illustrates two kinds of Phrygian cadences ending on the final E in the style of
sixteenth century counterpoint. One is the customary Phrygian cadence of F-E in the soprano and D-E
in the bass, and the other is F-E in the bass and D-E in the soprano. Robert Gauldin, A Practical
Approach to Sixteenth-century Counterpoint (Prospect Heights, Illinois: Waveland Press, Inc., 1985),
32, 87-88.
143
In some of Bartók’s Phrygian music, there are examples where the bass-line of a flattened second to
a tonic occurs, occasionally combining with other kinds of soprano lines. We can include this case as a
Phrygian harmonic cadence because of its strong Phrygian bass-line. For example, in the final cadence
of No.56 of Mikrokosmos the plagal melodic figure of a descending fourth occurs in the upper voice
and is supported by the harmonic progression of II-i7. However, we will not examine this case here.

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Phrygian cadence. It is frequently found in Bartók’s Phrygian mode. Example 3.22

exemplifies this kind of a Phrygian cadence. No. 128, “Stamping Dance,” is in a G-

polymodality that ends in a G-Phrygian mode. The final Phrygian cadence has two

cadential voice-leadings with upper and lower leading-tones. In particular, a repetitive

motif of the minor second, A –G, is supported by the prolongation of vii7 in the

codetta of No. 128. It is very similar in the function to the dominant frequently

prolonged in a traditional cadential phrase. In the prolongation of the flattened

seventh chord, a minor tonic seventh is inserted as the lower neighboring chord.

Moreover, the linear resolution from the flattened minor seventh to the tonic, using

two leading tone voice-leading (A –G and F–G), strengthens the cadential function of

vii.

Example 3.22 Mikrokosmos No. 128, “Stamping Dance”

vii7 i vii7 I

The second case of a Phrygian harmonic cadence, 7^–1^ in the soprano and 2^–1^

in the bass, appears in No. XXXXI in For Children. It is based on an old Hungarian

folk song in a Phrygian mode, as shown in Example 3.23, which was analyzed as an

incomplete Phrygian scale with a plagal division, G–C–E–G, in Chapter 2. Bartók

transposes this melody up by a major second and uses it in No. XXXI. In addition,

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although Bartók does not notate the key signature here, it is an A-Phrygian tonality

due to the repeated appearance of the accidental B and the plagal division, A–D–F–A,

which implies a tonic chord in D minor key. In other words, this A-Phrygian melody

appears with a key signature that indicates a D minor (F major) as its parent key

(Figure 2.2 in Chapter 2).

Example 3.23 in Hungarian Folk Song, No. 49 Elmész ruzsám?

[Going, my love?]

Example 3.24 illustrates the Phrygian harmonic cadence built on the bass-line

2^–1^, which is produced in the harmonic progression of vø43–i in an A-Phrygian

tonality. As shown in Example 3. 24, in the cadential progression that spans mm. 33–

38, Bartók creatively arranges the triadic broken chord in the left hand following the

corresponding melody in the right hand. For instance, the F major chord in the left

hand in measure 35 should be combined with the melody in measure 34; likewise, the

G minor chord in the left hand in mm. 36–37 goes with the E–D–G melody in the right

hand. Thus, the characteristic Phrygian chord, the inverted half-diminished dominant

chord, occurs before the tonic. Therefore, this Phrygian cadence in mm. 36–38 shows

the soprano-line of the flattened seventh-tonic, G–A, harmonized by vø43– i over the

voice-leading B –A.

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 Example 3.24 For Children No. XXXXI, “[Do you go, darling?]”

In this interior cadence, Bartók uses only one leading-tone progression, B –A

in vø43– i, as shown in Figure 3.16a, in contrast to the vø43– I; thus the latter cadence has

a stronger voice-leading because of its two tendency tones (B A, DC#), as shown

in Figure 3.16b, and it is often used as the final cadence. 144 Thus, Bartók efficiently

creates the cadential function in a Phrygian mode, using the Phrygian characteristic

chord, the diminished seventh chord of the dominant.

Figure 3.16 Voice-leadings of the Phrygian cadence in vø43– i and vø43– I

(a) vø43–i (b) vø43–I

G ——— A G ——— A
E ——— E E ——— E
D ——— C D ——— C#
B ——— A B ——— A

3.3.4 Bartók’s Mixolydian Harmonic Cadence

The term “Mixolydian cadence” is a newly defined cadence in this dissertation,

not only because Bartók frequently uses it in his polymodal music, but also because it

144 ^ ^
In No.12 of Fifteen Hungarian Peasant Songs, Bartók uses the harmonic cadence vø43–I over 7–1 in
the final cadence.

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often shows strong finality in its cadential progression. As defined above, it

emphasizes the bass-line 7^–1^ regardless of the type of penultimate chord of the

cadence. The flattened seventh-tonic bass-line is frequently found in the Phrygian

cadence as well, which was examined in our earlier discussion of the Phrygian

cadence. Thus, we will now focus on the Mixolydian cadence as it occurs in other

modes, such as Dorian, Aeolian, and Mixolydian. This cadence is usually harmonized

by the flattened seventh chord and tonic chord, VII–i, VII7–i, VII–I, or VII7–I.

Example 3.25 illustrates the Mixolydian cadence harmonized by VII–i over

the bass-line 7^–1^. No. X, [Walachian Game], is in an A-Aeolian/Dorian polymode.

As shown in Example 3.25, the notes G and A in the bass are accented and

emphasized by the progression of 7^ – 1^, while the note B goes down to the tonic in

the upper voice. Thus, in the cadence of the first section, this Mixolydian cadence is

harmonized by VII7–i in mm. 19–20. The seventh of the flattened seventh chord is

resolved down to the fifth of the tonic.

Example 3.25 For Children No. X, [Walachian Game]

V7 i

Another example of the Mixolydian cadence appears in the final cadence of

No. XVIII, [In the Harbor of Nagyvárad]. This music is based on a Hungarian folk

song in a Mixolydian mode, but Bartók’s accompaniment (upper voice) transforms

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this melody into a G-Ionian/Mixolydian polymode, by using several modal mixture

chords. As illustrated in Example 3.26, the cadential melody projects a plagal melodic

form, G–D, in the lower part and is harmonized by the chords IV– VII–I.

Example 3.26 For Children No. XVIII, [In the Harbor of Nagyvárad]

IV VII I

As this example shows, Bartók distinguishes between the different harmonizations of

the Mixolydian cadence. For instance, while the harmonization of VII–i appears as

an the interior cadence, the harmonization of VII–I supports the final cadence.

3.4. Conclusion

Due to the structure of the Hungarian pentatonic mode, new Hungarian art

music based on this mode has no major seventh degree (that is, no leading-tone). Thus,

because the strong tonal authority of the dominant is weakened, the harmonic

cadential supremacy of the traditional dominant is distributed to other scale degrees,

such as the subdominant and subtonic. We also found that this phenomenon is

represented in both melodic and harmonic features in Bartók’s polymodal music. Thus,

we defined two kinds of melodic cadential forms, authentic and plagal, based on

Hungarian folk melodic forms; and we investigated Bartók’s use of them in his own

158
music. Moreover, we also categorized his harmonic cadences into six types, authentic,

plagal, Phrygian, Mixolydian, Lydian, and Dorian; this categorization was based on

their characteristic notes and bass-lines. In this dissertation, we discussed the four

most frequently used types of harmonic cadences (authentic, plagal, Phrygian, and

Mixolydian). Some of Bartók’s harmonic cadences do not appear in traditional tonal

music. The new ones he created utilize characteristic modal harmonies, but are

transformed by his chromatic polymodal music. Bartók also effectively delineates

sections of his forms by using his new cadences in different metrical positions, thereby

creating different cadential strengths. Consequently, he is able to preserve the various

characteristics of the original church modes and to successfully develop the chromatic

polymodal phraseology in his music.

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 CHAPTER 4
Plagal Modulation in Bartók’s Polymodal Music

In Chapters 2 and 3, we discovered that the newly created key signatures and

cadences in Bartók’s polymodal music are related to Hungarian folk songs. We also

learned that the melodic and harmonic peculiarities of his music are the result of the

Hungarian pentatonic system. In his essay, “The Folk Songs of Hungary,” he states

that the influence of the pentatonic system on Hungarian art music is actually very

extensive, including the structure of the melodies, the rhythm, and many other

characteristics. 145 Thus, in this Chapter, we will examine the characteristic formal

features of Hungarian folk songs that Bartók uses in his music. He summarizes the two

most typical formal features of old Hungarian folk songs as follows: four isometric

melodic lines with differing melodic content and with a descending structure in each.

In fact, in Hungarian peasant songs, Bartók has observed that often the first half of the

melody generally develops in the upper half of the scale, while the second half of the

melody often is restricted to the lower half of the scale, ending on the tonic. 146

Significantly, in these descending structural folk tunes, he specially identifies a unique

Hungarian form as follows:

145
In this essay, he also proclaims that “I must again emphasize that this ‘Old’ Hungarian pentatonic
system does not consist only of the use of a certain pentatonic scale, but also of a certain form-giving
structure and other peculiarities.” See Béla Bartók, Béla Bartók Eassys, ed. Benjamin Suchoff (1976;
Lincoln: University of Nebraska Press, 1993), 334-36, 371-73.
146
Ibid., 74.

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 In such tunes, a special form of this structure can be seen where the second
half of the melody is an approximate [italics added] repetition of the first half,
a fifth lower. 147

In addition, Bartók further describes this form in another place in his essay

“Hungarian Peasant Music” using six Hungarian folk songs. He also declares that he

has actually applied this form to his music. Example 4.1 illustrates one of the

examples of this Hungarian formal structure that appears in his essay.

Exx. 22–27 show a content structure which has to be especially pointed out;
the second half of the melodies (the third and fourth melody sections) is
approximately the repetition of the first half (first and second melody sections),
lower by a fifth. We meet the same form, although not the same melodies,
rather frequently in the Slovak and Moravian material. Other examples of
similar form structure are No. XX of my piano pieces For Children and No.12
of my piano piece Fifteen Hungarian Peasant Songs. 148

Example 4.1 Example 24 in “Hungarian Peasant Music”

In The Hungarian Folk Song, Bartók more accurately explains this form. In

general, he categorizes the quaternary old Hungarian folk songs according to the

147
Ibid., 177.
148
Ibid., 306. His piano pieces, No. XX in For Children and No.12 in Fifteen Hungarian Peasant
Songs are analyzed as examples of plagal modulation later in this chapter.

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structure of the melodic content. He symbolizes this form as consisting of two content

structures, A5B5AB (A5 is transposed a fifth higher than A) and A5Av5AAv (Av is

slightly varied at the end of the A-line).

A5B5AB is a remarkable structure, particularly characteristic of Hungarian

peasant music. Here the first and second lines are similar to the third and fourth
respectively, but a fifth higher. … Closely connected with A5B5AB is the form
A5Av5AAv. Here the first two periods—which the third and fourth lines repeat
a fifth lower. For the purpose of simplification, both these forms are given as
A5B5AB in our statistics.… In the tunes belonging to Class C are to be
encountered rhythmically modified (heterometric) forms of structure A5B5AB.
These appear also in materials from Slovakia, both in tunes originally
borrowed from Hungary and in native tunes. But this may be held to be a
specifically Hungarian structure, especially in its isometric pentatonic form. 149

As he describes above, Bartók defines this form as characteristically Hungarian,

specifically found in the isometric pentatonic form. 150 In fact, it is discovered mainly

in Class A, the old style of Hungarian peasant music (Nos. 21, 24, 27, 30, 32, 40, 42,

56, 65, 67, 71a, 72, 73, and 74a), and infrequently in Class C, other tunes in Hungarian

peasant music (Mixed Class, Nos. 167, 242, 243, 244, 245, 261, and 302). It has

normally two melodic contents, A5B5AB and A5Av5AAv, however, there are other

melodic contents in his musical examples, such as A5B5AvA and A5A5AA. Thus, in

some of Bartók’s examples of this Hungarian form, A5B5AvA, occasionally the first

phrase is not entirely repeated in the second phrase, but is partly imitated and has a

approximate relationship to itself, lowered by a fifth. In other words, this form actually

149
Béla Bartók, The Hungarian Folk Song, ed. Benjamin Suchoff, trans. M. D. Calvocoressi (Albany:
State University of New York Pres, 1981), 22.
150
Moreover, Bartók hypothesizes that this form may be the initial structural scheme of Hungarian
peasant tunes because it (A5B5AB or A5A5vAAv) has been developed from the original two-line tune
(AA or AB) and expanded through a repetition a fifth lower. See Béla Bartók, The Hungarian Folk
Song, 22.

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emphasizes the descending fifth relationship between the two phrases, rather than or

whether or not the two phrases are identical. This Hungarian formal structure is

recurrently found in the musical examples of Bartók’s The Hungarian Folk Song and

is used in his own polymodal music. Therefore, I will call this form the “Hungarian

plagal form.”

Example 4.1, as shown above, has a melodic content of A5B5AB based on an

ornamented G-pentatonic scale. The second half of the folk song is exactly repeated a

fifth lower than the first half of the tune. Thus, the voice range of the first phrase, from

g2 to c2 (G–F#–E–D–C), is transposed to that of the second phrase, from c2 to f1 (C–

B–A–G–F). Figure 4.1 clearly demonstrates the strong relationship between the

identical pitch structures and centering ending notes of each phrase, which are

indicated by the white notes.

Figure 4.1 Voice range relation in the folk songs of Example 4.1

Interestingly, in this process, we notice that both notes F# and F are used

simultaneously and that each note is separately arranged as the main component in

each phrase. Moreover, such a substitution of the chromatic altered note F# for F

often symbolizes the arrival of a new mode in the system, just as in tonal music, where

one key modulates to another. In addition, in order to decide where the new mode

begins and cadences, we need knowledge of the melodic figures and cadences of each

mode, as discussed in Chapters 2 and 3. Therefore, in this dissertation, I will call this

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modal modulation (by a fifth lower) “plagal modulation,” in contrast to traditional

tonal modulation. Plagal modulation is repeatedly found in the Hungarian plagal form

and is sometimes revealed in various other formal structures. Thus, in Chapter 4, we

will first define theoretically the types of “plagal modulation” found in Hungarian folk

songs and then investigate this musical phenomenon as the characteristic formal

device in Bartók’s polymodal music.

Plagal modulation is a kind of modal modulation, in contrast to traditional

tonal modulation. In order to define this new concept, it is helpful, first of all, to

compare modal modulation with traditional modulation. In typical tonal modulation,

an initial key is normally moved to a closely related key, such as to a fifth higher or a

relative major or minor key. On the other hand, in modal modulation, an initial mode

is also commonly changed to a closely related mode. First we need, however, to

examine which modes are most closely related in the modal system and how the

special relationship between them is determined. Thus, in this modal perspective, we

will clarify the relationship of these modes considering both the similarity of the

modal scale structure and the number of harmonic pivot chords. In addition, in

Hungarian folk songs and Bartók’s music, we will discover that the mode is constantly

modulated in two ways. First, the initial mode is modulated to a fourth higher in the

same mode, D-Dorian to G-Dorian, as in tonal music, C major goes to G major. The

second way occurs with more frequency. An initial mode is transformed to its plagal

mode based on the same tonic, D-Ionian to D-Mixolydian. 151 Changing an initial

151
Bertrand Bronson also describes the Ionian mode going to the Mixolydian as being one of the most
closely related modal patterns when both modes share a single referential note, thus showing a plagal

164
mode to another mode with the same tonic can be compared to a modulation to the

parallel major or minor key in tonal music (for example, C major to C minor). In these

two kinds of modal modulations, if the tonal motion of a fifth below (or a fourth above)

occurs, we call this modal modulation “plagal modulation.” In order to better

understand plagal modulation, we will categorize it into two specific types: “real

plagal modulation” and “modal plagal modulation.” In this dissertation, we will

generalize these patterns of modulation and investigate examples focusing on the

plagal modulations found in Hungarian folk songs and in Bartók’s polymodal music.

4.1 Real Plagal Modulation

In real plagal modulation, when the first half of a melody is transposed to the

fourth higher or the fifth lower in the second half, the modal center can be shifted to

the fourth higher in the same mode, for example, D-Dorian to G-Dorian. This plagal

modulation to its fourth degree in the same mode is called a “real plagal modulation.”

For instance, Bartók’s example in The Hungarian Folk Song (Example 4.1) can be

interpreted as real plagal modulation from its initial mode, D-Mixolydian, to a fifth

lower mode, G-Mixolydian, through the exact repetition a fifth lower. In order to

understand the nature of plagal modulation, we must ask why this modulation goes to

the fourth higher (or the fifth lower) in Hungarian folk songs, unlike the fifth higher in

traditional modulation, and also which musical factors in Hungarian folk songs

relationship. See Bertrand Bronson, “Folksong and the Modes,” The Musical Quarterly 32, no.1 (1946),
37-49.

165
produce this characteristic modulation. The answer returns us to the origin of this

modulation. Bartók conjectured that this repetition by a fifth lower came from the old

Hungarian instruments, which were tuned in fifths. Thus, the formal structure of the

Hungarian plagal form was created by approximately repeating the melody transposed

down a fifth. Moreover, as mentioned above, the characteristic of the descending

direction of old Hungarian folk music greatly affects this formal structure. In fact, real

plagal modulation is closely associated to this descending melodic structure. That is,

the first half of the tune is placed mainly in the upper part of the octave, while the

second half mostly occupies the lower part of the octave. Remarkably, this occurrence

can be observed in many Hungarian folk songs. Moreover, the descending melodic

structure ultimately provides an environment of approximate repetition by a fifth

below and also occasionally produces the Hungarian plagal form with several melodic

contents, such as A5B5AB and A5Av5AAv and so on.

Figure 4.2 Modulation in D-Dorian

Figure 4.2 abstractly illustrates the comparative aspects of modulation in D-

Dorian mode in terms of either the descending or ascending melodic structures. In

these two melodic structures of D-Dorian, each square bracket denotes the lower and

upper part pentachords of an octave. The white notes indicate the cadential notes in

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each phrase. As also shown in Figure 4.2, both D-modal scale structures show the

dominant-tonic relationship, but they have a different melodic distribution according

to their melodic direction. In other words, in D-Dorian mode, although the modal

center in both cases can be changed from the A to D, the melodic structure of the

descending direction only allows the modulation of a fifth below. Thus, as Bartók

pointed out above, we see that the Hungarian plagal form is a derivation of a

descending melodic structure. In many cases of this form, the upper or lower pitch

segments of the octave are frequently extended in the fifth-tonic frame. Moreover, real

plagal modulation, a fifth below in the same mode, is recurrently found in the melody

of the Hungarian plagal form “exactly” repeated a fifth below; occasionally, in a

variant of this form, there is an underlying melodic content of A5B5AB.

4.1.1 The Pattern of Real Plagal Modulation

Real plagal modulation generates a certain pattern of modes when any initial

mode changes to a new one a fifth below in the same mode. Through this modulation,

both modes share a tetrachord, the first four notes of the initial modal scale or the last

four notes of the new modal scale. For instance, in the modulation of D-Dorian to G-

Dorian, the first tetrachord of D-Dorian, D–E–F–G, becomes the last tetrachord of G-

Dorian, as shown in Figure 4.3.

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 Figure 4.3 The common tetrachords in real plagal modulation

In Figure 4.3, the scales in relation to real plagal modulation have six notes in

common. Specifically, only one note, B , in D-Dorian is transformed to B in G-

Dorian, which is interesting in that the uncommon note, B , is the characteristic note

of a Dorian mode, a Dorian sixth, in the initial mode, and it changes to the minor third

interval, B , of a new key. Thus, this single chromatic altered note, B , often plays an

important role as a modulatory sign for the arrival of the mode a fifth below and

repeatedly applies to this new mode. Therefore, we can rewrite the G-Dorian in Figure

4.3 as a modal scale in a B -key signature (or F-major key signature as a parent key of

the G-Dorian mode), 152 as displayed below in Figure 4.4.

Figure 4.4 Real plagal modulation, D-Dorian to G-Dorian

Figure 4.4 illustrates that when real plagal modulation occurs from D-Dorian

to G-Dorian, the traditional key signatures also move to the fifth lower from a C major

key signature to an F major. This fact also establishes a theory that real plagal

152
We discussed the relationship between the parent key and their modes in Chapter 3.

168
modulation is usually accompanied by a descending fifth tonal motion. Thus, we can

adapt this theory of tonal motion to any mode. Figure 4.5 demonstrates that in real

plagal modulation, any initial mode in a C major key signature can be changed to its

fourth degree mode in an F major key signature. In fact, the relationship of these key

signatures, exhibited in Figure 4.5, is in a descending fifth tonal motion, as discussed

above.

Figure 4.5 Real plagal modulation using a C major to an F major key signature

169
 Figure 4.6 Dorian modes and their key signatures

Thus, in Figure 4.5, we notice that real plagal modulation in any mode has the

relationship of the descending fifth in its key signature as well. In addition, this pattern

is extended to twelve different key signatures. For instance, the pattern of real

modulation in Dorian modes is as follows: D-DorianG-DorianC-DorianF-

DorianB DorianE -DorianA -Dorian (G#-Dorian)C#-DorianF#-

DorianB-DorianE-DorianA-DorianD-Dorian, as shown above in Figure 4.6.

This pattern shows the cycle of real plagal modulation because the initial D-Dorian

returns through repeated modulation. In addition, all twelve Dorian modes shown in

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Figure 4.7, also seen below, illustrate the circle of the perfect fourth in relation to their

key signatures.

Figure 4.7 Circle of Dorian modes and their key signatures

D-Dorian
A-Dorian G-Dorian
(1 #) (1 )

E-Dorian
(2 #s) C-Dorian
(2 s)

B-Dorian
(3 #s) F-Dorian (3 s)

F#-Dorian Bb-Dorian
(4 #s) (4 s)

C#-Dorian Eb-Dorian
(5 #s) (5 s)
Ab-Dorian
G#-Dorian
(6 s/6 #s)

In Figure 4.7, the circle of the Dorian modes in twelve different key signatures

is that of an ascending perfect fourth. When any Dorian mode goes up a perfect fourth

(or down a perfect fifth), a flat is added to the previous key signature, or a sharp is

extracted from the previous key signature, in contrast to that of the circle of perfect

fifths. Thus, in Bartók’s polymodal music, this pattern of real plagal modulation is

171
normally predictable. Now we will look at several representative musical examples of

real plagal modulation.

4.1.2 Real Plagal Modulation in Bartók’s Polymodal Music

In much of Bartók’s music based on Hungarian folk songs, the whole folk

melody is used as the main theme, which is accompanied by chromatic modal

harmonies. Among his harmonized pieces, we find musical examples employing his

technique of real plagal modulation, in particular, in the Hungarian plagal form.

Through these musical examples, we will observe how Bartók realizes this technical

device and develops it in his polymodal music. Thus, we will first analyze two

examples of real plagal modulation found in the Hungarian plagal form, The First

Term at the Piano, no. 15, “Wedding Song” (1913) and Fifteen Hungarian Peasant

Songs, no. 12 (1914–1918). Then we will explore another example of real plagal

modulation, Hungarian Folksongs for voice and piano, No. 3a (1906), with the

underlying melodic structure A5B5AB.

When Bartók was a professor of piano at the Budapest Academy of Music, he

composed his first example of real plagal modulation, The First Term at the Piano, is

an introductory pedagogical work. No. 15, “Wedding Song” [The cart rattle], is based

on a widely known Hungarian folk song. 153 According to Bartók, the text of this song

describes the arrival of the cart at the bride’s house, to bring her and her dowry to the

153
Benjamin Suchoff, Introduction to Piano Music of Béla Bartók, Series II (New York: Dover
Publications, Inc., 1981), xxiii-xxiv.

172
bridegroom’s. 154 In addition, Bartók assigns the Hungarian folk song, No. 243, to

Class C (Mixed Style) due to the syllabic structure of 5+5, 6, 5+5, 6, (also indicated by

Bartók as z+z Z z+z Z); but he states that it might also be placed in Class A due to its

pentatonic structure. Example 4.2 illustrates the original folk melody for No. 15, as

seen below.

Example 4.2 In Hungarian Folk Song, No. 243, Zörög a kocsi

[The cattle rattle]

No. 243 consists of double-line melodic sections with the melodic structure of

A5B5AB. The first melodic section in mm. 1–6 is exactly repeated at a fifth lower in

the second melodic section. Thus, it displays the strict Hungarian plagal formal

structure. The first melodic section is in D-Aeolian starting on the final, G, and ending

on a fifth degree, D, while the second is in G-minor mode (Aeolian or Dorian),

starting on the fourth degree, C, and closing on the final G. Thus, this folk song can be

interpreted as a modulation from D-Aeolian to G-Aeolian, which accounts for the

exact repetition in a descending melodic structure. Due to the limited melodic range of

the pentachord, however, it might have other interpretations of modes of each melodic

section: either from G-Dorian to G-Aeolian based on the same fundamental tone or,

154
Béla Bartók, The Hungarian Folk Song, 211.

173
less possibly, G-Dorian without modulation in a G-tonality. 155 Thus, these various

possibilities of interpretation in the pentatonic system become an interesting means of

exploring Bartók’s harmonization of this melody. In fact, in No. 243, the first note, C,

on the downbeat of the second melodic section appears recurrently and emphasizes the

interval of a fifth between the first and second melodic sections, GC. Besides, since

both melodic sections are strongly closed by plagal melodic figures in each cadence,

Bartók has clearly utilized real plagal modulation in the first part of No. 15 in The

First Term of the Piano, as shown in Example 4.3.

Example 4.3 No. 15, “Wedding Song” of The First Term of the Piano,
mm. 1–6

6 6
D-Aeolian: V i iv4 i
6 6
G-Aeolian: v iv V i iv4 i

As exhibited in Example 4.3, Bartók arranges the folk melody in the lower

voice in the first part of this piece, mm. 1–6, using a G minor key signature. In the

original folk song, since the modality is a G minor mode (G-Dorian or G-Aeolian), the

notation of a G minor key signature seems very appropriate for its harmonization. As

discussed above, the first folk melodic section, mm. 1–3, transposed by a fifth above

155
The modal interpretation of G-Dorian in No. 243 is relatively weak because the second melodic
section does not really have a characteristic Dorian melodic figure including a Dorian sixth, E . In
addition, another interpretation of the modulation of D minor to G minor is also possible, but the folk
melody does not have a leading tone, rather it shows the pentatonic melodic figure. Moreover, the
harmonization of this melody does not show strong dominant function as seen in No. 15.

174
the second one, reveals the note E , the major second in D-Aeolian, D-E -F-G-A-B -

C-D. This chromatically altered note, E , repeatedly appears not only in the melody of

the lower voice, but also in its harmonization in the upper voice in the first melodic

section. Thus, it supports the D-Aeolian mode with a melodic plagal cadence, G–D,

and a temporary tonicization such as V–i6 in mm.1–2. On the other hand, in the second

melodic section, mm. 4–6, the note E is changed to E , the minor sixth interval in G-

Aeolian, G-A-B -C-D-E -F-G. The original folk melody of the second melodic

section does not include the sixth degree of G-Aeolian, but the harmonized melody

uses the minor subdominant chord including E , characteristic of an Aeolian,

strengthening the G-Aeolian modality. Therefore, the note E and minor subdominant

chord are modulatory symbols in this change from D-Aeolian to G-Aeolian. In

particular, the minor subdominant chord is presented as the first chord of the second

melodic section emphasizing the modal transition. In this real plagal modulation, the

ending tonic chord of the D-Aeolian in measure three is a pivot chord of the minor

dominant of the G-Aeolian, which prepares this modulation for the minor

subdominant chord, C–E –G. As shown below, Figure 4.9 illustrates the harmonic

relation between Dorian and Aeolian and represents possible pivot chords in bold

letters. In addition, the second melodic section is also articulated by the melodic plagal

cadences, C–G in G-Aeolian, and is harmonized by iv64–i at the end of the first part.

Figure 4.8 The harmonic relationship in D-Aeolian and G-Aeolian

D-Aeolian i ii° III iv v VI VII

G-Aeolian v VI VII i ii° III Iv

175
 On the other hand, the second part of No. 15 represents a different modulatory

phenomenon in the same modal modulation of the first part. In the second part of the

music, as shown below in Example 4.4, the folk melody is arranged in the upper voice

and begins with the same harmonization in D-Aeolian as in the previous part.

Example 4.4 No. 15, “Wedding Song” of The First Term of the Piano,
mm. 7–12

6 6
D-Aeolian: iv V i IV IV i
6 6
G-Aeolian: v IV5 V i IV iv i

In mm. 8–9 of the second part, the minor subdominant chord, G–B –D, in the

first part is changed to the major subdominant chord, G–B –D. This major

subdominant is interpreted as a mixture of the D-Dorian mode, D-E -F-G-A-B -C-D.

In addition, this modal mixture harmony is actually provided by the Dorian property

inherent in the original folk melody without a sixth note. That is, the Hungarian

pentatonic original folk melody without second and sixth degrees allows the

harmonization in D-Dorian as well as D-Aeolian. The table exhibited in Figure 4.9

illustrates the close relationship between D-Dorian and D-Aeolian in harmony. Here,

Bartók brings the modal mixture of a subdominant (IV and iv) into this pentatonic folk

melody in order to give variety to the second statement.

176
 Figure 4.9 The harmonic relationship between D-Dorian and D-Aeolian

D-Dorian i ii III IV v vi° VII

D-Aeolian i ii° III iv v VI VII

Likewise, in the following melodic section, mm. 10–11, the temporary G-

Dorian modal mixture of a subdominant chord is continued in G-Aeolian. In other

words, while the first chord, the minor subdominant, in the second melodic section

shows the modulation to G-Aeolian as a modulatory sign, the first chord of the last

melodic section begins with the subdominant seventh of G-Dorian. Two chromatic

altered notes, E and B , in the first chord are characteristic notes of G-Dorian, G-A-B

-C-D-E -F-G, and the major subdominant, C–E –G, in m.11 also identifies G-Dorian

with a major sixth degree, E . In the final measure, these G-Dorian modal mixtures

return to the cadence in the G-Aeolian mode, which is the plagal harmonic cadence.

Therefore, in the second part, the development of the modal modulation can be

summarized as follows: D-Aeolian D-Dorian (modal mixture)G-Dorian (modal

mixture)G-Aeolian. In addition, we can compare the final cadence to that of the first

part in m. 6. While the melodic plagal cadence of the first part is harmonized by iv64–i,

the final cadence has a strong cadential bass line of iv–i. Thus, with various modal

harmonies, Bartók not only differentiates the final degree of each part, but also varies

the original folk melody at each statement. In the meantime, real plagal modulation is

an important formal device in connecting D-Aeolian and G-Aeolian through D-Dorian

to G-Dorian.

177
 Example 4.5 The folk melodies of No. 12 in Fifteen Hungarian Peasant Songs

(a) The original folk melody, No. 261, Dunaparton van egy malom [By the
Danube there’s a mill]

(b) The main melody of No. 12

Our following example of real plagal modulation is found in No.12 of Fifteen

Hungarian Peasant Songs. As the title indicates, Bartók also bases this piece on a folk

song, which is transcribed as No. 261 in his The Hungarian Folk Song. 156 In fact, No.

12 in Fifteen Hungarian Peasant Songs exemplifies a structure similar to the

Hungarian plagal form, A5B5AB, found in Bartók’s essay and discussed at the

beginning of this chapter. In addition, although the original folk song is categorized

under Class C (Mixed Style), Bartók comments that the folk song in Example 4.5a

also could be placed into Class A (Old Hungarian style) due to its pentatonic scale, as

seen in our first example of real plagal modulation. In No.12, Bartók uses a modified

156
Béla Bartók, The Hungarian Folk Song, 332.

178
folk melody instead of the original one. Example 4.5 shows the difference between the

original folk melody (Example 4.5a) and the thematic folk melody (Example 4.5b).

In No. 12, Bartók first transposes the original folk melody a major second

above in the main melody. However, he simplifies the original folk melody, repeatedly

using the melodic figure in the first measure as the motif in No. 12. This simplified

melody manifests the repetitive formal texture of a fifth below, retaining both the

syllabic structure, 8+11, 8+11, and a combined meter of triple and duple. Even though

the melodic figure in m.7 of No.12 pertains to the first melodic section, mm.1–5, we

clearly see the strict repetition at a fifth below found in the Hungarian plagal formal

structure, A5B5AB. On the other hand, the folk melody of No. 12 is notated without a

key signature, but it is in E-Phrygian and A-Phrygian modes. The structural frame of

each melodic section generally shows the descending perfect fourths, A–[G]–F–E in

the first section and D–[C]–B –A in the second, rather than fifths. 157 In addition, both

melodic sections have Phrygian melodic cadences, F–D–E in the first melodic section

and G–B –A in the second. In fact, the thematic melody of No.12 shows a real plagal

modulation from E-Phrygian to A-Phrygian mode through a strict repetition at a fifth

below. We now will go on to examine how Bartók harmonizes each melodic section in

different modalities and which modulatory technique he uses.

157
In the folk melody of No. 12, the note G# in the first melodic section and C# in the second section do
not function as diatonic tones, but as the chromatic incomplete neighboring tones in E-Phrygian and A-
Phrygian modes, respectively.

179
 Example 4.6 The first part of No. 12 in Fifteen Hungarian Peasant Songs

4 6 4 7 ø6 7
E-Phrygian: iv I -2 iv I3 iv II v5 VI VII I
7
A-Phrygian: IV V

4 6 6 7 7
A-Phrygian: vii I -2 iv V vii I III VI VII I

The first part of the piece, mm. 1–10, as displayed above in Example 4.6, is

divided into two melodic sections based on the melodic content of the folk song,

A5B5AB, and each section is also subdivided by the syllabic structure of the original

song, two plus three measures. The relationship of a fifth below is emphasized by the

initial notes of both sections, A and D, which both occur on down beats (mm.1 and 6).

They also are both supported by complete sforzando chords. In addition, in the first

measure of each section, the notes G# and C#, as chromatic incomplete neighboring

tones, embellish the descending perfect fourth intervals, A–E and D–A, respectively.

These neighboring tones combined with the next notes are harmonized by major tonic

seventh chords in mm.1–2 and 6–7, as indicated by the Roman numerals below the

staves in Example 4.6. In the first section, these tonic chords are developed as

consonant chords with either neighboring or passing motions, and they articulate the

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first tune-line in mm.1–2. 158 Moreover, this E major tonic chord, modified by a

Picardy third, formulates the cadences at the end of each section. 159 The cadence of

each section in the first part shows the different harmonic progressions in a Phrygian

mode. First, in mm. 4–5, the characteristic Phrygian dominant, B-half-diminish chord,

in E-Phrygian mode receives a rhythmic accent as a syncopation. This chord normally

goes to a tonic chord in an authentic harmonic cadence over a bass-line of a fifth-tonic,

but here two passing chords, VI and VII, are inserted between the dominant and

tonic. By contrast, in the cadence of the second section, mm. 9–10, the chord III7 is

used as the secondary dominant of VI, instead of the diminished dominant in the first

section, and thereby enhances the Mixolydian harmonic cadence in A-Phrygian,

within the same cadential progression, VI– VII–I. Thus, as discussed above, the first

melodic section in mm. 1–5 is in E-Phrygian mode and the second in mm.6–10 is in

A-Phrygian mode. The E-Phrygian mode is modulated by a pivot chord to the A-

Phrygian. On the other hand, the tonic chords in the E-Phrygian and A-Phrygian may

be regarded as dominant chords in an A minor or D-minor key. However, they do not

function as the dominant harmony at the beginning of each section as well as in later

cadences; rather these chords give a sense of arrival in the cadential progressions.

Specifically, in the second melodic section, Bartók borrows a one measure melody

from the first section and inserts it after the fifth lower melodic figure in m.7. The

harmonic progression in these two measures, vii–I–I42–iv6–V, in A-Phrygian, weakens

the assumption that these tonic chords have to be interpreted as dominant.

158
We already discussed the employment of various dissonant chords in cadential phrases in Chapter 3.
159
In minor modes of Bartók’s polymodal music, the minor tonic chord is frequently modified to the
major tonic chord by a Picardy third.

181
 Example 4.7 The second part of No. 12 in Fifteen Hungarian Peasant Songs

In the second part of this piece, mm.11–20, as shown in Example 4.7, the folk

melody is placed in the lower voice. As compared with the first part, the

harmonization in the second part is simplified, but it nonetheless demonstrates a

distinct musical technique, a rhythmic anticipation. 160 Remarkably, in measure 17–19,

there is a strange chordal arrangement such that the triads in the upper voice, F–A–B,

and B –D–E, are not synchronized with the melody of the lower voice. As illustrated

in Example 4.8, these two chords are actually rhythmic anticipation chords,

proceeding one beat before the melody that they accompany. That is, the first chord,

F–A–B is harmonized with the D–C#–A melody in the lower part, in m.18, not with

the A–G#–E in m.17. Likewise, the second chord, B –D–E, is harmonized with the

G–A–B –G melody. Thus, the chord in m. 18 is a B-half diminished seventh, B–D–F–

A, which is interpreted as the modal mixture, iiø65, of the relative mode, A-Aeolian.

160
According to Grove Dictionary, the rhythmic anticipation is defined as follows: “an anticipation
term has been extended to include the notion of ‘rhythmic anticipation’, whereby the entire harmony on
a strong beat is stated on the preceding weak beat.” William Drabkin. “Non-harmonic note,” in Grove
Music Online. Oxford Music Online.
http://www.oxfordmusiconline.com/subscriber/article/grove/music/20039 (accessed July 29, 2009).

182
Likewise, the next chord is an E-half diminished seventh, which is the characteristic

diminished dominant chord in A-Phrygian.

Example 4.8 The rhythmic anticipation in mm. 16–20

(a) Original score

(b) Modified score

6 ø6 ø6
A-Phrygian: iv I V ii5 v 5 I

Therefore, the modified score illustrated above in Example 4.8b clearly

demonstrates this harmonic interpretation, in contrast to the original score shown in

Example 4.8a. This rhythmic anticipation also briefly appears in m. 13. Bartók gives a

rhythmic variation in a more or less simple harmonic progression. 161 In short, in No.12,

Bartók uses real plagal modulation from E-Phrygian to A-Phrygian using the dominant

pivot chord. In two presentations of the folk melody of No.12, each mode is

established by the characteristic Phrygian cadence, which is a Phrygian melodic

ˆ ˆ
cadential figure, 2–1, supported by the harmonic progression of VII–I. These

harmonic progressions are generally preceded by the Phrygian melodic figures but, in

161
Such rhythmic anticipation was already discovered in mm. 30-38 of No. XXXXI in For Children. It
was analyzed in the section on the Phrygian cadence in Chapter 3.

183
each cadence, Bartók makes the cadential progression distinctive by using various

modal harmonizations and unusual rhythmic anticipations.

Our third example of real plagal modulation, No.3a in Hungarian Folksongs

for voice and piano (1906), is a unique instantiation due to its formal structure. It

carries the Hungarian plagal form not by an exact or inexact repetition at a fifth below,

but rather by an “underlying A5B5AB melodic structure.” 162 While the usual

Hungarian plagal form has an approximate repetition at a fifth below in an A5B5AB

structure, the “underlying A5B5AB structure” actually implies the fifth lower relation

between the melodic sections, in spite of the melodic content such as ABCD, ABBC

or AB5CB. This structure also typically repeats only a part of the first melodic section,

frequently a cadential figure, a fifth lower. There are five musical examples of the

underlying A5B5AB structure in The Hungarian Folk Song: Nos. 27, 29, 30, 54a, and

57. Our example, No.3a in Hungarian Folksongs for voice and piano (1906), is based

on Bartók’s transcribed folk melody, No. 29, as illustrated below in Example 4.9.

Example 4.9 In The Hungarian Folk Song, No. 29, Fehér László lovat lopott
[Fehér László stole a horse]

162
Béla Bartók, The Hungarian Folk Song, 343. The editor of this book, Benjamin Suchoff, provides
the tabulation of Hungarian folk song material in appendix III. In particular, he states that the section of
remarks is extracted from Bartók’s comments on the examples and Zoltán Kodály’s annotation. In his
remarks on several Hungarian folk songs, we can find the descriptions on the underlying A5B5AB
structure.

184
 The melodic content structure of No. 29 shows ABCD, in which each tune-line

has a different melody content, but both project a fifth lower relationship. First, No. 29

begins with the distinguishing fourth skip, D–G, and ends with the plagal melodic

cadence, C–G. These two perfect fourth intervals actually supply the pentatonic

division of an octave, G–B –C–D–F–G, and represent a fifth lower relationship, G–

DC–G. Moreover, in the first melodic section, mm. 1–4, the voice range is mainly

assigned to a perfect fourth, D–E–F–G; thus the main caesura on D in m. 4 can be

interpreted as the final of the D-Dorian or D-Aeolian mode. In the second section, the

octave division of G–B –D–G, based on the G-pentatonic melody, indicates that it is

in the G-Dorian or G-Aeolian mode. Thus, there are two possible real plagal

modulations found in this folk melody, D-Dorian to G-Dorian or D-Aeolian to G-

Aeolian. Such real plagal modulations are clearer in the harmonization of this melody.

In No. 3a, “The Horse-thief,” Bartók transposes this folk melody down a perfect

fourth, as shown below in Example 4.10, and he harmonizes it using an Aeolian mode

rather than a Dorian. In addition, although he uses a B -key signature, the first section

repeatedly uses the accidental B (in mm. 1–2 and the cadence on A); thus, a real

plagal modulation occurs from A-Aeolian to D-Aeolian mode.

Example 4.10 The transposed folk melody in No. 3a, “The Horse-thief”

185
 In No. 3a, as shown above in Example 4.10, Bartók adapts the transcribed

original melody in his polymodal music to a specific rhythm and mode. First, the

flexible meter of the original melody, Parlando, which reflects the rhythm of words, is

changed to a combined meter of triple and duple that includes fermatas. Secondly, in

comparing both melodies, it is interesting that both have the same key signature even

though Bartók’s is transposed down a fourth. The reason for this is because his

standard for key signature notation is different. While the original melody is

transcribed according to his standard of notation, the transposed melody is written in

the traditional way. In other words, even though the original melody has a real plagal

modulation, D-Aeolian to G-Aeolian, he uses a B -key signature; this key signature is

the equivalent of an F major key signature as a parent key of D-Aeolian, due to the

note E in the first melodic section. That is, the key signatures for folk songs are

notated only by common accidentals throughout. 163 Thus, the phenomenon of the

same key signature for both of these pieces is explained as follows: the key signature

of the original melody in Example 4.9 is represented by the mode of the first melodic

section, whereas that of No.3a in Example 4.10 is revealed by the mode of the second

melodic section. In short, the B -key signature symbolizes the D-Aeolian mode in

both melodies.

163
Bartók’s standard key signature notation in transcribed Hungarian folk songs was explained in
Chapter 2.

186
 Example 4.11 No. 3a, “The Horse-thief” in Hungarian Folksongs

4 ø7
A-Aeolian: i iv - VI2 iv ii i
D-Aeolian: v

4
A-Aeolian: (i) VI2
4 6 6
D-Aeolian: (v) III2 i III iv I

Now we will briefly examine how in No. 3a, Bartók develops real modulation

from A-Aeolian to D-Aeolian mode. As illustrated above in Example 4.11, the lower

voice of the piano duplicates the folk melody an octave below, which is accompanied

by static harmonies in the upper piano part. The exclusive use of B in the first section

and the strong penultimate chord including B in the final cadence of the music

demonstrate the salient modal difference between the A-Aeolian and D-Aeolian

modes. In general, the modulation to the subdominant mode is achieved by the pivot

chords, i to v and VII to III, among the four possible pivot chords in modes related

by a fourth (Figure 4.8). In addition, while the first section ends with a short Dorian

cadence, iiø7–i, the final cadence uses a plagal harmonic cadence, iv–i, which is

strengthened by dynamics and longer note values. In the final cadence, the note A in

187
the penultimate chord is an accented non-harmonic tone (an appoggiatura), and the

major sixth, E, is added to this subdominant chord. 164

Until now we have investigated the musical phenomena of real plagal

modulation in Bartók’s music based on Hungarian folk melodies; now we turn our

attention to “modal plagal modulation,” which is more prevalent in his polymodal

music. Thus, we will first clarify its conceptual definition and then explore the

characteristics Bartók exploits in his music based on the Hungarian folk songs.

4.2 Modal Plagal Modulation

We learned that the Hungarian plagal form is closely related to real plagal

modulation because of the fifth lowered repetition. Likewise, in this form, Bartók

frequently uses the technique of modal plagal modulation. Although modal plagal

modulation also shows a fifth lowered relationship between the first and second

melodic sections, it does have several distinctive features. First, while real plagal

modulation occurs between two separate melodic sections based on two different

finals, for example, D-Dorian and G-Dorian, modal plagal modulation emphasizes the

same final in both of the modally related sections, for example, D-Dorian and D-

Aeolian. Secondly, while in real plagal modulation, the first section is articulated by a

strong cadence on the fifth scale degree, in modal plagal modulation, the first second

164
The note E can be interpreted as the root of the supertonic seventh chord (II65), but this kind of chord
configuration is frequently regarded as the subdominant chord with a major sixth interval due to the
bass note of fourth scale degree. In particular, this interpretation is strengthened by the bass-line of the
plagal cadence in the final cadence.

188
has a relatively weak cadence, for example, ending on scale degree three or on the

dominant as a half cadence. Thus, this modulation is found more often in an

underlying A5B5AB structure than in the Hungarian plagal form, such as restricted

A5B5AB or A5Av5AAv.

Without doubt, polymodal music based on a common final is the most salient

characteristic of Bartók’s music. Moreover, other than the descending direction, this

characteristic carries the true spirit of Hungarian folk songs, as discussed above. In

fact, he considers this Hungarian characteristic to be highly significant and thus

elaborately rearranges the folk melodies in his own work in order to further develop

this formal structure of the common final or tonic.

I had, of course, a very definite feeling about certain directions to take, but at
the time of the work I did not care about the designations which would apply to
those directions or to their sources. This attitude does not mean that I
composed without … set plans and without sufficient control. The plans were
concerned with the spirit of the new work and with technical problems (for
instance, formal structure involved by the spirit of the work), all more or less
instinctively felt... 165

Here Bartók makes clear that his compositional direction is in realizing the

spirit of the work, which is found in several features, such as formal structure. In fact,

his concern with preserving the original formal structure of the Hungarian folk songs,

A5B5AB, is revealed in his remark about Lizst’s 13th Hungarian Rhapsody as follows:

In the above-mentioned Rhapsody by Liszt this tune, in the following altered

form:

165
Béla Bartók, Béla Bartók Essays, 376.

189
 becomes the second theme of the Allegro section. The last bar introduces, very
illogically, an ending on E flat. This distortion—also imputable, without doubt,
to gipsy [sic] practice—arises from an incapacity to understand or to feel the
structure of the tune, and utterly spoils the satisfactory effect produced by the
real ending on G, the structure being A5B5AB. It also tends arbitrarily to
imitate, in the 4th (B) line, the not unusual alteration of the main caesura (2nd
line) from 5 into 3 ; and in consequence, one of the main pillars of the
structure—the final note of the 4th line—is knocked down. 166

In these remarks, Bartók indicates that because of Liszt’s inadequate

understanding of the thematic structure, he improperly alters the original formal

structure, thus impairing the spirit of the original work. In order to justify such a

critical statement about Liszt’s treatment of the Hungarian folk song, it will be useful

to compare Liszt’s altered form to that of the original. In fact, in his remarks in The

Hungarian Folk Song, Bartók evaluates Liszt’s thematic melody in terms of the

original folk song, No. 73. Pointing out the difference between them, Bartók suggests

that the second melodic section transcribed by Színi (Example 4.12b) is reasonable,

while Kódaly’s is less so (Example 4.12a). 167 According to Bartók’s classification, No.

73 has the melodic content structure of A5A5vAAv. Indeed, Színi’s transcription more

clearly represents the Hungarian plagal formal structure of the original folk song.

166
Béla Bartók, The Hungarian Folk Song, 201-02.
167
Ibid., 202. In Károly Színi’s collection, A Magyar nép dalai és dallamai, there are 136 Hungarian
peasant tunes. In Bartók’s The Hungarian Folk Song, whenever the same tune or variants are mentioned,
he frequently cites a number from Színi’s collection as a reference for further comparative investigation.

190
 Example 4.12 Hungarian folk song, No. 73, “Akkor szép az erdö, mikor zöld”
[Lovely is the forest when it is green]

(a) Zoltán Kódaly’s transcription

(b) Károly Színi’s transcription of the second melodic section

(c) Liszt’s second theme of the Allegro in Hungarian Rhapsody no.13

In Example 4.12a, as Bartók indicated above, since the ending on 3 in the

second tune-line in Hungarian plagal form is unusual, the last two measures vary from

the original ones in order to end on the tonic G. On the other hand, Liszt’s altered form,

as shown in Example 4.12c, illustrates the exact repetition at a fifth below between the

two melodic sections and, consequently, the final of the first section, B , is changed to

E in the second section. This strict repetition seems to adhere to the Hungarian plagal

formal structure. However, this altered final, E , and the subsequent modification of

the melody affect the basic characteristics inherent in Hungarian folk music, such as

melodic structure and tonality. In other words, Liszt’s altered theme closes in E major

191
with a neighboring motion. However, the original folk song is essentially in G-

Phrygian mode. That is, in Example 4.12a, the original melody, ending on G, uses an

incomplete E major-key signature, a parent key of G-Phrygian. 168 In addition, the

final cadence is a melodic plagal cadence on G, which strengthens the G-tonality in

both Examples 4.12a and b. Thus, Bartók emphasizes the G-tonality of the folk songs,

as well as the descending structure in its repetition a fifth lower. In fact, it arises from

his consideration of the polymodal characteristics inherent in Hungarian folk songs.

Remarkably, Bartók uses various harmonizations based on a flexible pentatonic folk

melody and frequently employs polymodally related modes based on the same final G.

For instance, the original folk melody, No. 73 (Example 4.12a), can be harmonized in

different juxtaposed modes, such as G-Aeolian or G-Phrygian. In other words, the first

melodic section can be in G-Aeolian mode, G-A-B -C-D-E -F-G, because of the

absence of the note A , whereas the second section can be in G-Phrygian, G-A -B -C-

D-E -F-G. Thus, in No.73, a modal change can occur from G-Aeolian to G-Phrygian

based on the same final. In addition to this example of potentially polymodal music,

the following folk song gives more evidence of a polymodal formal structure, as

illustrated in Example 4.13.

168
This incomplete key signature without B is produced from the notes B as a chromatic neighboring
tone in m. 1 and in m. 4. The musical phenomena of an incomplete key signature and its interpretation,
found in transcribed Hungarian folk songs and Bartók’s music, were investigated in Chapter 2.

192
 Example 4.13 Hungarian folk song, No. 142, “Ha csakugyan, csakugyan”
[If indeed, if indeed]

Although No. 142 consists of four tune-lines with the melodic content, ABBvA,

it can be divided into three parts according to the mode of each tune-line: in mm. 1–3,

G-Ionian mode; in mm. 4–8, G-Mixolydian; and in mm. 9–11, G-Ionian mode. This

fact is made manifest by the exclusively individual use of two accidentals, F# in G-

Ionian mode, and F in a G-Mixolydian mode. Thus, in No. 142, we see that the G-

Ionian modulates to the G-Mixolyidan. It is similar to the principle of modulation to

parallel keys in traditional tonal music, for instance, G major to G minor or vice verse.

Indeed, such modal modulation is commonly found in Bartók’s polymodal music, as

well as in Hungarian folk songs. In this dissertation, we call this kind of modulation

“modal plagal modulation.” We now will notionally define this modulation and

investigate its general features through a more theoretical approach.

193
4.2.1 The Patterns of Modal Plagal Modulation

We might question whether or not there is any relationship or pattern between

modes in terms of modal plagal modulation. Indeed, first, we find certain patterns in

modal plagal modulation as follows: Ionian to Mixolydian, Mixolydian to Dorian,

Dorian to Aeolian, and Aeolian to Phrygian mode. Interestingly, the two modes in

each pattern are plagally related. For example, the plagal mode of an Ionian has the

same octave species as a Mixolydian except for its octave division. Therefore,

theoretically speaking, in modal plagal modulation, an initial mode is transformed to

its plagal mode based on the same final. For instance, we will now examine the

modulation of D-Dorian to D-Aeolian mode. The plagal mode of the D-Dorian

represents the hypodorian scale, A-B-C-D-E-F-G-A. The octave species of this plagal

mode can transform to the modal scale beginning on the final of the authentic mode, D,

D-E-F-G-A-B -C-D, which is D-Aeolian mode. In this process, the octave species of a

fourth-fifth in this plagal mode can also be flexibly changed either to the octave

species of a fifth-fourth or not. Comparing the modal scales of D-Dorian and D-

Aeolian, we notice that they are very close to each other with the only difference of B

and B , as illustrated below in Figure 4.10. Thus, the D-Dorian and D-Aeolian modes

are also closely related in harmony and this fact provides many possibilities for

moving between these modes using any of four pivot chords: i, III, vm, VII (Figure

4.9). These kinds of close relationships are continuously revealed between two

plagally related modes, as exhibited in Figure 4.11. Pivot chords are indicated in bold

boxes in Figure 4.11.

194
 Figure 4.10 The relationship of D-Dorian and D-Aeolian

Figure 4.11 The chordal relationship between plagally related modes in D-tonality

D-Lydian I II iii #IV° V vi Vii

D-Ionian I ii III IV V vi vii°
D-Mixolydian I ii iii° IV vm vi VII
D-Dorian i ii III IV vm vi° VII
D-Aeolian i ii° III iv vm VI VII
D-Phrygian i II III iv v° VI vii

Moreover, the tonal motion of a descending fifth or an ascending fourth is

represented when modal plagal modulation occurs in such patterns. For instance, in

the modal plagal modulation of D-Dorian to D-Aeolian, there is a descending fifth

tonal motion. Therefore, D-Dorian is in C major key signature, while D-Aeolian is in

F major key signature. This tonal motion of the descending fifth has already been

discussed in real plagal modulation. In real plagal modulation, the final is changed by

a fifth lower, whereas, in modal plagal modulation, even though the tonal motion is a

descending fifth, the final is the same. Thus, the transformation “modal plagal

modulation,” is one of the two possible plagal modulations. Theoretically, this modal

plagal modulation is linked by the seven modes built on the same tonic, as follows:

LydianIonianMixolydian IonianMixolydianDorianAeolian Phrygian

195
Locrian. Figure 4.12 illustrates how the patterns of modal plagal modulation are

produced in seven modes of the D-tonality and the relationships to their key signatures.

Figure 4.12 The relationship of seven modes and their key signatures in D-tonality

In addition, Figure 4.13 presents the semi-circle of these plagally related

modes of D-tonality in modal plagal modulation. As illustrated in Figure 4.13, the D-

Lydian is not connected with D-Locrian, and this phenomenon appears in all of the

twelve different tonalities included D-tonality. In fact, the fifth descending tonal

motion only operates in the consecutive series of seven modes based on the same tonic

because the nature of each modal scale consists of seven diatonic notes. Therefore,

now we will delve practically into these properties of modal plagal modulation found

in Bartók’s polymodal works.

196
 Figure 4.13 The plagal relationship of the seven modes and their key signatures

D-Dorian

D-Mixolydian D-Aeolian
(1 #) (1 )

D-Ionian D-Phrygian
(2 #s) (2 s)

D-Lydian D-Locrian
(3 #s) (3 s)

4.2.2 Modal Plagal Modulation in Bartók’s Polymodal Music

While real plagal modulation is mostly observed in folk songs of the strict

Hungarian plagal formal structure, modal plagal modulation occurs in more various

formal structures such as a strict or flexible Hungarian plagal form, an underlying

A5B5AB structure, or a form in A5A traces. In the tabulation of Hungarian folk song

material in The Hungarian Folk Song, we notice the new formal structure of A5A

traces. 169 This structure seems to indicate that the second melodic section is repeated

at a fifth below with the same melodic content. Actually, however, it implies a more

inclusive and extended formal concept. In other words, these three categories all share

169
Béla Bartók, The Hungarian Folk Song, 342-59.

197
the relationship of a fifth lower within two melodic sections. However, the Hungarian

plagal form shows an approximate repetition with a few differences: whereas in the

underlying A5B5AB structure, only the segment of melodic section and cadence are

repeated, not the whole melody. In the case of the structure of A5A traces, the

principle of a repetition becomes looser, and the melodic figure and rhythm of both

melodic sections can even be dissimilar to each other, but both have a fifth related

pitch structure. However, occasionally it is difficult to discriminate one formal

structural category from another. In The Hungarian Folk Song, there are thirty-five

musical examples of these A5A traces, while the underlying A5B5AB structure is

found in only five examples. Indeed, many examples of modal plagal modulation are

found in A5A traces. Therefore, we will analyze Bartók’s three pieces based on

Hungarian folk songs that use these formal structures. We will first examine the

original folk melody and then investigate characteristics of modal plagal modulation

used in his polymodal music.

Our first example is Bartók’s Four Old Hungarian Folk Songs for male chorus

(1910–1912), No. 4, based on No. 67 in The Hungarian Folk Song. No. 67 in Example

4.14 belongs to the old Hungarian style, Class A, based on a pentatonic mode. The

four eleven-syllabic tune-lines are isorhythmic. The tempo of this folk song represents

a tempo guisto rhythm. In the rhythmic development of Hungarian folk songs, there

are three stages in the evolution of a tempo guisto; No. 67 indicates the first stage–

strict rhythm, comprised of equal values for dancing or marching. 170 This song has a

170
Ibid., 9.

198
unique rhythmic pattern of triple+duple+duple, which is retained in No. 4 in Four Old

Hungarian Folk Songs.

Example 4.14 In The Hungarian Folk Song, No. 67 “Béreslegény” [Farm-boy]

As illustrated in Example 4.14, No. 67 has a melodic content of A5B5AB. In

his remarks about this example, however, Bartók states that it really represents an

A5A5vAAv content structure (Av means an A-line with varied ending). No. 67 has a

strict Hungarian plagal form, in which the melody of the first section is exactly

repeated at a fifth below. As is typical of many pentatonic folk melodies, the

descending perfect fourth skips, G–D and C–G, are saliently repeated and these

intervals emphasize the finals of each melodic section, D and G, respectively. In

addition, while the first melodic section has no B , in the second section, the note B

is frequently used as an ending note of the third tune-line, as well as a lower

neighboring tone. Thus, in the first melodic section, the absence of the note B

provides two possible interpretations of modality, D-Aeolian, D-E-F-G-A-(B )-C-D

or D-Dorian, D-E-F-G-A-(B)-C-D, in a D-tonality. Likewise, in the second section,

the exclusive use of the note B and the omission of the sixth degree in a G-tonality,

199
also proposes two possible modalities, G-Aeolian, G-A-B -C-D-(E )-F-G, or G-

Dorian, G-A-B -C-D-(E )-F-G. Thus, two kinds of real plagal modulations can occur

in No. 67, D-Dorian to G-Dorian or D-Aeolian to G-Aeolian. Interestingly, however,

in the first part of No. 4, mm. 1–12, Four Old Hungarian Folk Songs, instead of these

real plagal modulations, Bartók uses modal plagal modulation from G-Mixolydian

mode to G-Dorian based on the same tonic, G. That is, the harmonization of this

melody does not support a D-tonality in the first melodic section, but rather sustains a

G-tonality in both melodic sections. Example 4.15 illustrates Bartók’s harmonization

and progression of the first melodic section in G-Mixolydian mode, G-A-B-C-D-E-F-

G.

Example 4.15 The first melodic section, No. 4, Four Old Hungarian Folk Songs

4 4 4 4 4 4 6 4
G-Mixolydian: I2 - VII I2 - VII I2 - I2 - VII I2 - VII I2 v5 I2

Although the key signature of No. 4 is F major, repeatedly in the first section,

the note B appears in the three lower voices; thus, the tonic of G-Mixolydian mode,

G–B –D, recurrently appears. In addition, the harmonization of the folk melody shows

a static motion over the pedal tone, F, and the tonic chord is prolonged in a plagal

progression of I42– VII–I42. The ending of the first melodic section has a weak cadence

200
of VII–I42–vm65– I42 in G-tonality because there is no strong voice-leading between the

two cadential chords. The exclusive use of the note B is directly changed to the B in

the first chord of the second melodic section in G-Dorian mode as shown in Example

4.16.

Example 4.16 The second melodic section, No. 4, Four Old Hungarian Folk Songs

6 6
G-Mixolydian: IV5 ( i5 )
6 6 4 4 6
G-Dorian: IV5 i5 IV - IV i3 IV2 III IV4 ( VII) i

In the second melodic section, the note B in measure seven is a modulatory

sign from G-Mixolydian to G-Dorian. In the second section, in contrast to the first

section, we find the use of the notes B and E . These two notes provide the

distinctive coloring of G-Dorian mode because they are characteristic notes of the

Dorian mode, the minor third and major sixth. In addition, there are four pivot-chords,

ii, IV, vm, and VII, between the G-Mixolydian and G-Dorian modes. However,

Bartók moves directly from G-Mixolydian to G-Dorian mode using a major-minor

subdominant seventh, IV7, on the first beat of the second section. In this melodic

section, the cadence also has a weaker progression—a neutral flattened seventh to a

minor tonic chord over the pedal tone, G—because of an interior cadence. However,

the G minor final chord in m. 12 firmly establishes a G-tonality. Thus, in No. 4,

201
Bartók uses a direct modulation for a modal plagal modulation from G-Mixolydian to

G-Dorian mode. On the other hand, when the G-Mixolydian modulates to the G-

Dorian, the key signature of each melodic section usually moves from C major to F

major, which shows the tonal motion of a descending fifth. Here, in the beginning of

the music, Bartók notates an F major key signature, which is the parent key of G-

Dorian. As mentioned above, while the key signature of Hungarian folk music

frequently represents the mode of the first melodic section, in No. 4, the key signature

is closely related to the modality of the second melodic section.

The second example of modal plagal modulation is found in No. 8 of Fifteen

Hungarian Peasant Songs (1914–18), which is based on Hungarian folk song, No. 18,

which has a formal structure of A5A traces. As illustrated in Example 4.17, this folk

song actually has an AAvBBv melodic content based on the pentatonic scale, but

according to the table provided by Suchoff, the first and second melodic sections have

a fifth lower relationship. 171 In fact, even though the melodies between the two

melodic sections are not exactly repeated a fifth lower, the pitches on the strong

metrical positions and the general melodic contour reveal the fifth relation. For

instance, in the second measure of each section, the fourth descending skip, F–C, in m.

2 is transposed to B –F in m. 8 by a fifth lower. In addition, the pitches, G and F, on

the downbeats of the fourth and fifth measures in the first section also move down to

pitches a fifth lower, C and B , in the second section. Moreover, the old Hungarian

folk song, No. 18, also has a descending contour because the vocal range of the sixth

interval is transposed from G–F–E–D–C–B in the first melodic section to D–C–B –

171
Ibid., 342.

202
A–G–F in the second section. However, this folk melody is unusual because of the

main caesura (the second tune-line ending) on 3. Indeed, it is difficult to develop real

plagal modulation in terms of this melody because the modality of the first melodic

section cannot be strongly established on the fifth degree, D.

Example 4.17 In The Hungarian Folk Song, No. 18, “Fölmëntem a szilvafára”
[Climbing the plum-tree]

On the other hand, at the endings of the four tune-lines and on the down beats,

the note B is continuously emphasized and gives the coloring of G-minor mode. Thus,

the folk song can be interpreted as either G-Dorian or G-Aeolian depending on its

sixth interval. Indeed, in No. 8, Fifteen Hungarian Peasant Songs, Bartók uses modal

plagal modulation from a Dorian to an Aeolian mode preserving the G-tonality. In

much of his polymodal music in a minor mode, a Dorian mode is frequently

exchanged for an Aeolian. They have all common tones except for the sixth degree of

each mode, and they both are also abundantly used in Hungarian pentatonic music of a

minor mode. Thus, in his polymodal system, in order to connect these two modes,

Bartók commonly uses modal plagal modulation from a Dorian mode to an Aeolian,

rather than from an Aeolian to a Dorian. The reason for this is due to the descending

melodic structure of Hungarian folk songs. In other words, the second melodic section

is generally in the lower part of an octave. The first melodic section in a minor mode

203
has a relatively greater chance to include the natural e2 note, the sixth upper note from

the final g1, while the second section often has a vocal range from f1 to d2 or without a

sixth degree in a G-pentatonic melody. Thus, in many cases of modal modulation,

modal plagal modulation from a Dorian to an Aeolian mode appears more frequently

in Bartók’s polymodal music based on Hungarian folk songs. Now we will investigate

this modulation, exploring Bartók’s harmonic accompaniments for this folk song, as

illustrated in Example 4.18.

Example 4.18 No. 8, Fifteen Hungarian Peasant Songs

4
G-Dorian: i IV3 v i ( Vi)
6ø 6
G-Aeolian: v VI ii5 VI4

7 7
G-Dorian: i IV III i
6ø
G-Aeolian: ii5 i

G-Dorian: ( vi)
7 7 7
G-Aeolian: V / vi vi vi VI - N vm i

204
 In Example 4.18, Bartók simplifies the original melody, No. 18, probably to

accommodate the piano. He harmonizes this folk melody in No. 8 using two

polymodally related minor modes, G-Dorian and G-Aeolian. As usual, the first

melodic section is harmonized in G-Dorian mode and the second section in G-Aeolian.

This fact is discovered in the prominent appearance of the note E in the second

melodic sections, mm. 7–12, and mm. 19–24. In No. 8, there are two statements of the

folk melody. Each statement of the second section presents the exclusive use of E . In

this modulation, the note E , the minor sixth in G-Aeolian, is a modulatory sign in an

F major key signature. Thus, the tonal motion of the descending fifth occurs from F

major to B major. In addition, the characteristic chords of the Aeolian such as ii65ø and

VI also provide modal color. In fact, the first statement of the second melodic section

is mainly harmonized by these characteristic chords.

In the first melodic section, a cadential progression shows a modally deceptive

cadence, v– VI, in mm. 5–6, while the first section typically has a strong or weak

cadence on the fifth degree in real plagal modulation. This deceptive cadence in the

first section is rearranged in the second statement, mm. 17–18, and the flattened sixth

chord is harmonically reinforced by a secondary dominant of the flattened sixth.

Moreover, there are four pivot chords– i, III, vm, and VII–between the Dorian and

Aeolian based on the same final. But, No. 18 uses direct modulation with a modal

mixture of the flattened sixth chord, a characteristic chord of G-Aeolian, to move from

G-Dorian to G-Aeolian. Here, the Aeolian modal mixture chord, VI (m. 6), is

combined with a penultimate dominant chord and comprises the deceptive cadence

over a bass-line from the flattened sixth to the fifth. On the other hand, in the second

205
melodic section, the cadences in the first section become stronger. In the first

statement of the melody, the cadence of the second section (mm. 11–12), is a plagal
ˆ ˆ
harmonic cadence, ii65ø –i, over the bass-line of 4 –1, using the diminished supertonic

seventh chord, one of characteristic Aeolian chords. By contrast, in the final cadence

of No. 8 (mm. 23–24), the cadential progression has an authentic cadence, vm7–i, in

G-Aeolian; it displays the familiar progression found in traditional minor tonal music

by employing a Neapolitan chord before a dominant. Furthermore, the Neapolitan

chord is harmonically emphasized by the prolonged flattened sixth seventh chord as a

secondary dominant chord in mm. 18–21. In this final cadence, the minor dominant

seventh chord is used before the tonic, but the G-tonality is established by the
ˆ ˆ
resolution of the seventh, C to B , and the bass-line of 5–1.

As our third example, we will now investigate modal plagal modulation in

Bartók’s No. XVI, For Children (1908–09). This piece is also based on the Hungarian

folk song No. 31 in The Hungarian Folk Song. It belongs to an old Hungarian style in

pentatonic melody. Although No. 31 has an ABCD melodic content structure, it is

classified into the form of A5A traces according to Suchoff’s table. Due to a distinct

melodic figure and rhythm, the first melodic section seems quite dissimilar to the

second. However, there is a fifth lower relationship between the beginning of the first

melodic section and that of the second section, prolongation of D to that of G.

Likewise, the cadence of the first section, D, occurs on G, a fifth lower. Such a

relationship is more clearly verified in the folk melody used in Bartók’s No. XVI, as

illustrated in Example 4.19. In his own music, Bartók modifies the notes at the

206
beginning of the fourth tune-lines of the original, from B –C to D–D, thus

emphasizing the fifth relationship of A to D.

Example 4.19 The thematic material of No. XVI, For Children

(a) In The Hungarian Folk Song, No. 31 Nem loptam én életembe

[Never in my life did I steal anything]

(b) Bartók’s theme of No. XVI

On the other hand, in No. 31, the accidental B appears in the second melodic

section of the folk song, while the note B natural occurs in the first. In addition, the

pitch range of the first section remains B–C–D–E–F–G, while that of the second

section occupies an octave, G-(A)-B -C-D-E-F-G. Thus, we can find a familiar

pattern in this folk song such that the first melodic section is in G-Mixolydian mode,

G-(A)-B-C-D-E-F-G, and the second section is in G-Dorian, G-(A)-B -C-D-E-F-G.

Indeed, in No. XVI, Bartók harmonizes this folk melody using plagally related modes,

and develops modal plagal modulation, thus, projecting these underlying melodic

structures onto his own music.

207
 Interestingly, comparing the first measure of the original to that of Bartók’s,

there is one important pitch change, from B to C. Through this modification, Bartók

transforms the G-Mixolydian modal melody in the original to D-Dorian in No. XVI,

harmonizing the first measure with a G minor chord. In addition, the note E , sixth of

the G-Aeolian is exclusively employed in the second melodic section of No. XVI and

gives a coloring to the G-Aeolian. Thus, the polymodal structure of the original

melody, G-Mixolydian to G-Dorian is transformed to the melodic structure of G-

Dorian to G-Aeolian in No. XVI, as displayed below in Example 4.21.

Example 4.21 No. XVI [I never stole in my whole life], For Children

7 6
G-Dorian: i vm vi° i VII (I) VI (I ) V IV III
7
G-Aeolian: III VII

G-Dorian: IV III
6-5 7 6-5
G-Aeolian: i VII i vm i III VII i VII i vm i

In Example 4.21, Bartók constructs a ternary form in No. XVI by repeating the

second melodic section of the original folk melody. That is, the melodic content

structure of No. XVI is represented as ABCDCD. In fact, the repeated second section

in mm. 9–12 has exactly the same harmonization. In No. XVI, Bartók uses more

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various modal mixtures in harmonizing the melody. First, as mentioned above, the

music begins on the G minor tonic chord in G-Dorian and is prolonged in the first two

measures. In measure three, this Dorian tonic chord is modally changed to a major

tonic in a plagally related mode, G-Mixolydian. This first melodic section ends with a

strong major dominant chord. In the next measure, the music surprisingly moves to a

major subdominant chord, IV, which is a pivot chord of the G-Mixolydian and G-

Dorian and temporarily returns to G-Dorian. Following this chord, however, the

second melodic section is developed in a harmonic progression of G-Aeolian, III–

VII7–i, in mm. 6–7; thus using a pivot chord III, it modulates from G-Dorian to G-

Aeolian. The G-Aeolian mode is confirmed by an authentic cadence on the final. Here,

the melody of the second melodic section begins with a major subdominant of G-

Dorian mode, instead of a minor subdominant of G-Aeolian. The employment of this

major subdominant, C–E –G, probably is used to avoid a possible voice-leading of an

augmented second between F# in the last chord of the first section and E in the minor

subdominant of the first chord of the second melodic section. Thus, in No. XVI, we

notice Bartók seeks various modal changes in plagally connected modes and delays

modal plagal modulation until after the first chord in the second section.

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4.3 Conclusion

We have discovered that Bartók uses plagal modulation to construct a variety

of musical forms in his polymodal music. This plagal modulation is closely related to

the Hungarian plagal form in folk songs. In fact, we found many examples of it in his

music based on this folk form. The modulation is divided into two types according to

the characteristics of modulation, real plagal modulation and modal plagal modulation.

We noticed that there are certain patterns in these two plagal modulations. We also

know that the tonal motion of a descending fifth occurs in both plagal modulations.

While we mostly investigated his music based on the Hungarian folk song, this

modulation also occurs in his polymodal music, which is not built on Hungarian folk

songs. Example 4.22 illustrates the modal plagal modulation used in No. 68 in

Mikrokosmos.

Example 4.22 Piano II in No. 68 “Hungarian Dance” in Mikrokosmos

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 No. 68 is composed for two pianos and Example 4.22 only shows the part of

Piano II. As shown in Example 4.22, No. 68 is simply in a D major mode with an

octave lowered D major key signature. However, in measure eight, we suddenly notice

a modulatory sign, C . This chromatically altered note is repeated in the following

melody until m. 12 supported by a repeating tonic chord in the lower part. Thus, No.

68 modulates from D-Ionian to D-Mixolydian, while Piano I shows a steady D major

tonality. In conclusion, while plagal modulation originated in the formal structure of

the Hungarian plagal form, Bartók ultimately exploited it in music not based on this

form. This unique plagal formulation was generated from Bartók’s insight into the

spirit of Hungarian folk melodies. Bartók seemed to intimately understand the

properties of these songs, which he eventually exploited in his contemporary

chromatic musical language through his unique harmonizations and formal structures.

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 CHAPTER 5
Conclusion

In this dissertation, we investigated Bartok’s polymodal language from the

perspective of his new concept of tonality, which is based on the pentatonic and

various modal scales, rather than on the conventional major and minor scales. These

scales, originating in old Hungarian folk music, provided him with a rich resource as

well as a unique musical system. In particular, the pentatonic system has characteristic

melodic features and a unique structure that does not rely on the traditional tonic-

dominant relationship. Thus, Bartok created his own chromatic polymodal language,

which superposes or juxtaposes two or more modes based on the same fundamental

tone. In the process of constructing this musical phraseology, Bartok creates various

key signatures, melodic or harmonic cadential formulas, and plagal modulations.

Thus, in Chapter 1, we first explored the theoretical meaning of his

polymodality and how he expands the concept of tonality from pentatonicism to

chromatic polymodality that is based on one fundamental tone. In other words, while

Schenker accommodates only the major and minor modes in a single tonality, Bartok

comprehensively integrates all diatonic ecclesiastical modes, as well a non-diatonic

modes, into a one centric tonality that exploits a polymodal phraseology. This process

of synthesizing modal scales allows him to change the function of freely and

independently chromatized tones. In his analyzing chromatic polymodal music, this

new concept of tonality must be reexamined to understand Bartok’s unique

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compositional techniques. Thus, in Chapter 2, the unique notations of Bartok’s key

signatures were discussed in order to properly define tonality in his music. We

classified Bartok’s newly invented key signatures into six types according to their

notational characteristics and explored the use of each type through his musical

examples. Moreover, we also recognized that the notation of these key signatures is

closely related to the notation of Hungarian folk songs, which he adapted to

polymodal compositions. In order to understand how he constructs tonality, in Chapter

3, we investigated the articulation and interrelation of a section of a piece through

various cadential forms. Because of the influence of melodic cadential figures in

Hungarian folk songs, Bartok’s cadences can be largely divided into two types,

melodic and harmonic. We also discovered that he employs diverse harmonic

cadential forms, often consisting of experimental harmonies, which are regarded as

consonant chords as dictated by the pentatonic system. But, this phenomenon

occasionally produces tonal ambiguity in Bartok’s polymodal music. In Chapter 4, we

established that Bartok’s modal modulation, called “plagal modulation,” frequently

occurs in the characteristic melodic forms of Hungarian folk music, in which the first

half of the melody is approximately repeated a fifth lower in the second half of the

melody. According to the portion or degree of repetition, this modulation can be

classified into real and modal plagal modulation. Real plagal modulation always

occurs in the melodies of Hungarian plagal form and moves to the fifth below in the

same mode, while in modal plagal modulation, the mode is changed to its plagally

related mode based on the common fundamental tone. We also noticed that when

plagal modulation occurs, the tonal motion can also descend to the fifth. And specially,

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in modal plagal modulation, there are certain patterns in the change of mode:

LydianIonianMixolydianDorian AeolianPhrygian mode. Moreover,

modulation is primarily present in the modulatory patterns in terms of minor modes.

This modulation is also used in some of Bartok’s music that is not based on folk

melodies; thus, it can be found, in general, in other polymodal pieces.

At the same time, we must question why plagal modulationoccurs much more

frequently in the minor modes of polymodal music than in traditional tonal music in

the minor mode. In fact, in traditional tonal music, the modulation of the tonic key to

the subdominant in a minor mode is relatively infrequent. In this type of modulation,

there is no strong pivot chord that can function as a dominant preparation; thus, the

initial tonic chord usually plays a direct role as the dominant in the new subdominant

key. Another answer involves configuration of the dominant chord with the leading-

tone. For instance, when A minor modulates to D minor, only one note differs between

the two natural minor scales; but when they make a strong cadence using a dominant-

tonic progression in the new key, three notes need to be changed, as follows: G#

(leading-tone of A minor)G, BB (minor sixth of D minor), CC# (leading-tone

of D minor). Thus, in tonal music, it is relatively difficult to establish the new key on

the fifth lowered scale degree. However, in the analysis of his polymodal music in

Chapter 4, we observed that the function of the dominant is weakened; thus plagal

modulation occurs in various cadential modal harmonic or melodic progressions.

Importantly, plagal modulation, in particular modal plagal modulation, is

actually an inherent characteristic of polymodal phraseology. As discussed in Chapter

1, polymodal music always contains a polymodal section, either briefly or at length.

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Bartok effectively uses this modulation to provide textural variety and contrast, while

changing to a closely related mode. Furthermore, in polymodal music, the modulation

between these plagally related modes also provides a tonal unity that is based on the

same fundamental tone.

Figure 5.1 Comparison of tonal motions by key signature

C major
F major G major
(1 ) (1 #)

B major Major-
(2 s) tonanior D major
Tonal (2 #s)
modulation

E major
(3 s) A major (3 #s)

Plagal
modulation

A major E major
(4 s) (4 #s)

D major B major
(5 s) G major (5 #s)
F# major
(6 s/6 #s)

In addition, the tonal motion of a descending fifth tells us an important fact in

that it is the opposite of an ascending fifth, that characterizes the traditional major-

minor system. That is, in tonal music, while a clockwise motion of the circle of fifths

predominates in polymodal music, a counter-clockwise motion is also activated, as

215
illustrated in Figure 5.1. We normally investigate modulation in Bartok’s polymodal

music according to the pattern of modal plagal modulation, as shown in Figure 4.13;

however, more research is needed in order to further understand the opposite motion

that dominates modal modulation. 172

Remarkably, in this dissertation, we noticed that Bartok focuses on the spirit of

Hungarian folk music, continuously expressing the inherent nature of folk music in his

harmonizations and formal textures. In fact, we frequently found a close relationship

between his music and Hungarian folk songs through our analysis of each polymodal

compositional method. Interestingly, Bartok’s first transcription in 1904 of an old

Hungarian folk melody, seen below in Example 5.1, includes all of his polymodal

characteristics: a unique notation of key signature, cadence, and plagal modulation. 173

Example 5.1 Hungarian folk song, “Piros alma” [Red apple]

This song has an asymmetric melodic content structure, ABC, and is divided

into three melodic sections, mm. 1-2, mm. 3-4, and mm. 5-7. It also is notated by a B

-key signature. The key signature in a folk song typically indicates the mode of first

melodic section, as we discussed in Chapter 2; thus the first section of the melody is in

172
We discussed this opposite tonal motion of plagal modulation in Chapter 2 with two examples,
Mikrokosmos No. 45 and No. 47.
173
The historical background of this song was discussed in Chapter 2.

216
G-Dorian. In addition, it shows a modal change from a G-Dorian to a G-Aeolian due

to the fist appearance of an E in the third melodic section. Also, the plagal melodic

cadence strengthens the ending on G. Consequently, the tonal motion in this folk tune

is changed from a B -key signature (D minor key signature) to a B -E (G minor key

signature). Thus, we discover that this is a G-Dorian/Aeolian polymodal folk song

with a modal plagal modulation. These polymodal characteristics undoubtly provided

new inspiration to the young composer Bartok, for they are directly reflected in his

polymodal compositional style. Thus, we can discover the likely origins of his new

compositional language.

In conclusion, through the theoretical analysis of his polymodal music, we

notice that Bartok exploits forgotten pentatonic and church modes in his contemporary

musical language through his creative adaptation of Hungarian folk music. In addition,

Bartok does not merely seek the basis for diatonic and chromatic notes in polymodal

combinations, but he creates a unique polymodal phraseology using conventional

musical means, such as key signature, cadence and modulation, thus creating his own

musical space. His innovative attempt to expand tonality no doubt provides a fertile

resource for other composers and theorists who also seek to invent or understand new

kinds of tonality in post-tonal music.

217
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