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Article

Jacobus Kloppers
Man and Nature/ L'homme et la nature, vol. 3, 1984, p. 131-162.



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"Musical Rhetoric and Other Symbols of Communication in Bach's Organ Music"
9. Musical Rhetoric and Other Symbols
of Communication in
Bach's Organ Music
1
This paper illustrates certain communicative devices in Bach's organ
music. Such devices are usually designated by the term 'symbol.' This
term is employed in the present paper in the broadest sense; it denotes a
means to communicate something directly and indirectly. This pro-
viso is necessary since the word is most frequently used in a restricted
sense to indicate an indirect form of musical communication, i.e., a
musical sign which, representing something beyond itself, requires
familiarity and abstract decoding before it is understood. In itself such a
sign would be more or less neutral and the idea, which it represents,
understood in the abstract, rather than experienced. There are, however,
musical signs (symbols in a wider sense) which communicate ideas that
do not require decoding. Concepts such as 'high,' low,' 'fast,' 'slow,' 'fear,'
'joy,' 'contrast,' 'repetition' and 'climax' have been experimentally proven
to be directly visualized or experienced through musical sound without
the need for any additional decoding or translation in the abstract.
It will be demonstrated that Bach's organ music makes use of both
forms of communication: the direct manner employed in musical
rhetoric, as well as the indirect process of rather esoteric symbols.
Musical rhetoric will be illustrated by means of two of Bach's 'free' (text-
less) organ works, the other symbols by means of the textual chorale
preludes (hymn arrangements). The chorale preludes will demonstrate
that Bach usually transmits an idea in both ways simultaneously:
through rhetoric and the creation of moods, as well as through the hid-
MAN AND NATURE / L'HOMME ET LA NATURE I I I / 1984
0824-3298/84/03OO-OI31 $01.25/CS.E.CS. /S.CE.D.S.
132
den symbols of number, allegory, etc.. The paper will not attempt to
prove the same duality for the free, textless organ music (Preludes,
Fugues, Toccatas, etc.). Attempts have been made to discover various
hidden symbols in Bach's keyboard Preludes and Fugues (semantics of
number, number cabalistics, structural symbolism), but, although in-
teresting statistics have emerged, the results remain somewhat
speculative in the absence of any contextual reference (text association,
liturgical context, etc.). The exception may be the 'St. Anne's organ
Prelude and Fugue (BWV 552) which act respectively as introduction to
and conclusion of a set of liturgical chorale preludes (cf. below).
Essential for an understanding of the embodiment of symbols in Bach's
organ music is a historical perspective. A brief survey will be given of the
musical tradition and musical concepts from which such a practice
sprung.
Finally, the paper does not intend to explain Bach's music completely
in terms of rhetoric and other symbols or to suggest that symbols are pre-
sent or equally prominent in each work. His music is, foremost, music to
be enjoyed and analyzed in musical terms: theory, harmony, counter-
point, style, ornamentation and musical form. Rather the paper il-
lustrates the extent to which these musical means were influenced by
various non-musical symbolic concepts and that the idea of 'absolute
music' or pure music' needs some qualification as far as Bach is con-
cerned. With few exceptions his music was not written for aesthetic con-
templation solely, but to fulfil a specific function. His sacred music served
a didactic purpose within the Lutheran liturgical tradition. Although
some of his later music moved in a more abstract direction, Bach did not
subscribe to the notion of 'autonomous' or 'absolute' music which was
later developed in the Classic era. Those who prefer to interpret Bach's
music as absolute and non-referential are, nevertheless, correct in one
regard: even when he applied rhetorical concepts within the traditional
learned music style, the tonal means and sound impressions of his music
remain intrinsically musical and musically satisfying.
I Musical rhetoric in Bach's organ music
Since rhetoric is no longer practised widely or taught in our schools as a
formal subject, a brief exposition of this art and its general application to
music might clarify the subject matter.
Rhetoric is 'the art of using language so as to persuade or influence
others; the body of rules to be observed by a speaker or writer in order
133
that he may express himself with eloquence' (OED). It must be based on
logic and dialectics yet it must also appeal to the emoti ons and passions
of the hearers. The power of persuasion has undoubtedl y been realized
and intuitively practiced since the beginning of human history; it was
formally recognized in the earliest Greek writings, it developed into a
formal art during the Greek classical period, and it was refined by
Aristotle, Cicero, Quintilian and others.
This art comprises four stages (Note: The following rhetorical ter-
minology is that used in Germany during the times of Bach and deviates
somewhat from Quintilian's and other writers' of Anti qui ty):
1) the collecting or finding of facts or material (Inventio); several resources,
guidelines (loci topici') exist for this purpose
2) the orderly arrangement, disposition of the material collected (Dispositio,
Elaboratio): Exordium (introduction), Narratio (narration), Propositio (state-
ment of view), Confirmatio and Confutatio (confirmation of view and refuta-
tion of opposite views by means of analysis), Peroratio (conclusion)
3) the use of the right words and emotional decoration or presentation of the facts
(Decoratio, Ornatus), the creation of moods by means of more than 160 dif-
ferent tropes and figures, e.g., repetition, exclamation, rhetorical question,
hyperbole, antithesis, emphasis, etc.
4) the memorizing and delivery of speech, the manner of presentation (Memoria;
Elocutio, Pronuntiatio, Actio), by means of the proper articulation, emphasis,
gestures and emotional involvement
2
Music and rhetoric inherently have much in common. They
1) need time to be presented
2) consist of continual changes in their sound elements
3) have a beginning, logical continuation and peroration
4) employ rhythm, tempo, the pause, dynamics, repetition and antithesis
5) make use of the law of 'extending parts': statement, statement, extended state-
ment
6) use analogical formulas, e.g., the comma ('imperfect' = half-cadence or in-
complete cadence in music), semicolon (fermata), period ('perfect' cadence,
complete cadence), exclamation mark (deceptive cadence, interrupted chord)
7) need a reciter or orator (recitalist, performer)
134
8) make use of moods and emotions
9) need articulation, phrasing and emphasis
3
Translated into musical terms the four stages of rhetoric as they ap-
peared during the times of Bach were:
1) the finding of a musical idea or motif. In textual music the words can serve as a
guide with regard to the spirit of the work and the nature of the motifs and
themes to be used.
4
Several loci topici' (literally 'places' to find material for a
musical 'topic') were suggested by Mattheson, a contemporary of Bach.
5
2) the arrangement or disposition of the musical ideas.
Mattheson again quoted the arrangement of rhetoric as model:
6
Exordium Introduction (to main theme, e.g., by motifs)
Narratio Narration (where applicable)
Propositio Statement of main idea or theme
Confirmatio, Development and analysis of the main theme by means of
Confutatio motif-fractionation; refutation of new and contrary themes,
motifs, keys, dissonants; confirmation of main idea and key
Peroratio Conclusion
This disposition proves to be very similar to the later Sonata-form-idea so
often used in the first movement of the Classic sonata and symphony.
3) Decoratio, the emotional presentation of the ideas, the creation of moods by
means of music.
7
Apart from certain purely musical means like key-
relationships,
8
intervals,
9
rhythms,
10
tempi,
11
and embellishments,
12
the dif-
ferent tropes and figures were translated into music where possible, thus
creating approximately eighty-two different musical tropes and figures (sub-
divided into grammatical, pictorial and affective figures)
13
see Addendum I.
4) Elocutio, the presentation or recital of music itself. Like rhetoric, emotional in-
volvement is required in music, also the right amount of emphasis, clarity of
articulation and meaningful gestures. The latter are to a great extent composed
in the music, but the performer has to give expression to these without affecta-
tion.
14
The practice of music as a rhetorical art duri ng the time of Bach drew
its essential impulse from the still predomi nantl y theocentric phi l osophy
135
of the early eighteenth century. Music served to instruct the listener
(religious instruction in the case of church music, as will be illustrated
later),
15
but relied on a long tradition of musical persuasion.
The psychological and therapeutic use of music was known and prac-
ticed in the East and Asia Minor during the second millenium B.C. (e.g.,
David's music for Saul) and further cultivated in Greece by Pythagoras
and others. The Greek Musike did not denote pure music but a complete
integration of word, musical sound and dance.
16
Its influence was such
that it was regarded as a powerful ethical force. Plato gave final shape to
this concept in his so-called Ethos-doctrine. Certain music and musical
instruments were regarded as morally uplifting and were recommended
for pedagogical purposes; others, associated with intoxication, orgies
and eroticism, were regarded as decadent and prohibited in schools. This
Ethos-doctrine was based on the concept of mood (affectus), on Hip-
pocrates' doctrine of the four temperaments and on the prevailing
speculative cosmic theories (see below pages 152-54). It was upheld
during the medieval period (although music no longer formed an integral
part of the dance but showed an increasing independence from the text as
it developed polyphonically), but translated into Christian terms. The
Church encouraged sacred music and discouraged secular music,
especially the rhythmic dances of the jugglers. Renaissance humanism,
with its interest in and imitation of nature and human nature (imitatio
naturae included the physical and psychic qualities of man), contributed
to a renewed study of the influence of music on human nature, but the
emphasis shifted: the musical Ethos-doctrine was transformed into the
sixteenth century doctrine of moods (Glarean, 1547; Zarlino, 1558)
which dominated the musical thinking of the next two centuries. It was a
change in emphasis, from the ethical to the more psychological influence
of music.
17
Coupled to this was the Renaissance emphasis on textual
clarity, an endeavour to integrate music and words. Textual music of the
Musica Reservata (sixteenth-century polyphonic music following J osquin
Desprez) endeavoured to match the syntax of the words and simul-
taneously capture its mood, becoming more rhetorical in essence.
18
The spiritual climate of the Counter-Reformation, as embodied in the
Council of Trent (1545-1563) and the creation of the Order of the J esuits,
further contributed to a rhetorical emphasis in music at a time when
Italy became the new centre of musical development. With its renewed
emphasis on the transcendental and on the sinfulness of human nature,
the Church actively promoted art which stirred the human conscience
and focused on an eternal destiny. The arts became didactic in purpose.
This dramatically strengthened the already rhetorical element in six-
136
teenth century music. Instead of the Renaissance ideal of balance bet-
ween text and music, the text dominated music during the Baroque era
(ca. 1560-1740); the emotional restraint and the moderate moods
displayed in the music of the Renaissance gave way to the most extreme,
contrasting moods hate, love, exultation, depression, etc. which
shocked the listener into attentiveness.
19
(This change in the concept and
purpose of art was later viewed as a decadent phase of the Renaissance
and labelled as 'exaggerated/ 'bizarre/ 'extreme/ 'baroque' by the
philosophers of the eighteenth-century Enlightenment.)
20
The founda-
tions for a rhetorical concept of music were completed with the develop-
ment of the monody (accompanied solo song by means of a harmonized,
figured bass or basso continuo) around 1600, the accompanied musical
recitative (which is an imitation in music of natural speech),
21
and the
new antiphonal style of music of the Gabrielis and the concerto grosso
(which created dialogues between vocal or instrumental groups). In Italy
rhetoric was applied more intuitively than in Germany where theorists
had been discussing and documenting its musical application since the
late 1500s. Music became in theory a musica poetica,
22
a discipline of
rhetoric rather than of mathematics (as it had been in the Ancient and
Medieval period, as will be later illustrated). A diagram may illustrate
the relation of subjects within the German school system in which Bach
was instructed in Luneburg (see Addendum II): theology forms the pin-
nacle of this educational pyramid, the subject which gives perspective to
all study. Micro- and macrocosmos are seen as the creation of God, the
purpose of existence being the glorification of God. All subjects acquire a
meaningful relation within God's order. Music becomes instrumental as a
discipline of rhetoric to instruct, to communicate, to convert.
23
With rhetoric as an important approach to musical composition, com-
posers continued and intensified the late-Renaissance trend of creating
moods through increasing translation of various tropes and figures of
speech into music. Even the structure of a speech (Dispositio) was
adopted, leading to the concept of Klang-Rede ('musical speech') in
Bach's time with regard to instrumental music.
24
The various theoretical
treatises from the late sixteenth to the middle of the eighteenth century
demonstrate an increasing dominance of rhetoric over music.
25
Analysis
of Baroque music itself confirms this trend. This dominance was broken
only by eighteenth-century naturalistic philosophy, which seriously
challenged a strictly Biblical philosophy and rejected the complex sym-
bolism and transcendentalism of Baroque art (see also Scheibe's critique
of Bach, later in this paper).
26
This resulted in the new classical concept
of an 'autonomous music' (Goethe),
27
music no longer dominated by the
text or other extra-musical influences (e.g., Mozart's comments on
137
music, especially the opera).
28
A rhetorical concept of music nevertheless
lingered on through the early Classics and Beethoven.
Bach's own world view was rooted in the orthodox theology of the
Lutheran Church, even if it was a view influenced by pietism and the new
currents of rationalism, thus showing discrepancies of which he was un-
conscious (as Blankenburg and Blume have illustrated).
29
His Christian
philosophy is revealed in various ways. In the tradition of Luther, music
always had to be functional. Whether religious or secular it appeared
under the heading 'Soli Deo Gloria.'
30
Music thus dedicated to the glory
of God did not know the boundaries between sacred and secular; only
the text put it into one of these categories. Perhaps for that reason Bach
adopted many of his secular cantatas as sacred cantatas and vice versa
without regarding this as sacrilege. He wrote in his 'Grundlicher Unter-
richt des Generalbasses,' 1738: 'Like all music the thorough-bass should
have no other aim, end or motivation, than to be to the glory of God and
the recreation of the human spirit. If this is not taken into consideration,
we do not have real music but an infernal noise.'
31
This Christian world
view remains uncompromised by Bach's seemingly contradictory ac-
tions, e.g., his ill-temper, his personal clashes with his employers, even
his resentment against his unenviable church position in Leipzig, for it
transcends the sphere of human weakness.
32
What Bach meant by 'the
recreation of the human spirit' is spelt out clearly in the foreword to his
Orgelbiichlein: 'Dem hchsten Gott allein zu Ehren, dem Nchsten,
draus sich zu belehren.' It is significant that he used the biblical words
'Nchsten' (fellowman) and l>elehren' ([self]-'instrucf by means of the
music). The didactic nature of his music, embodied in rhetoric and sym-
bolism, is a direct expression of his Christian philosophy.
The rhetorical quality of Bach's music is not only to be verified by
musical analysis but supported by the testimony of his contemporaries.
J ohann Nikolaus Forkel, the composer's first biographer (1802), who
received first-hand information about Bach and his views from Bach's
sons, described the composer as 'the greatest musical poet and the
greatest musical speaker in musical history.'
33
He reported that Bach
regarded music as a complete language,' the individual Voices' (the in-
strumental or vocal parts in a composition) as 'persons conversing with
one another,' listening to one another and trying to contribute to the
'conversation' in a meaningful way. Apart from his training in musical
rhetoric at school, Bach became in later years a personal friend of J ohann
Abraham Birnbaum, professor in Rhetoric at the University of Leipzig.
Birnbaum, in mentioning their various discussions on the relationship
between the two arts, wrote: 'Bach was so knowledgeable in the sphere of
the similarities which exist between the two arts, as well as in the similar
138
mode and method of composition, that one not only enjoyed listening to
him when he pointed this out in a discussion, but one can only admire
the clever application thereof in his compositions.'
34
Equally interesting is
the account of one of Bach's pupuls, J .G. Ziegler, in 1746, that Bach in-
structed him not to play the 'Lieder' so superficially but according to the
'mood of the text.'
35
The affective, persuasive character of much of his
music, whether religious or secular, vocal or instrumental, can be
verified through analyses. His St. John's and St. Matthew Passion
display this rhetorical, didactic trend throughout, confronting the
listener with the religious implications of the events by means of subjec-
tive application.
In this regard Bach could draw on a rich heritage of musical composi-
tion based on rhetoric, from the Musica Reservata, Monteverdi, Schutz
to Buxtehude, Kuhnau and others. This tradition, which is also described
in the musical treatises mentioned, is an important aid in the analysis of
Bach's music. The mood is generally detectable throughout the text in the
tropes and figures, key relationship, metre, rhythms, tempo, intervals
and dynamics associated with different moods. In textual works the
aspect of 'tone painting' and other descriptive means is of importance.
The fact that we deal with relatively objective criteria for analysis of
music in Bach's time is also due to the sociological framework within
which this music was written.
36
The composer did not write on the spur
of the moment, neither did he display his own changing emotions, but
was required (by the court or church) to write music for a specific occa-
sion. The mood was clearly defined by the occasion or the text
(something objective with which the composer had to empathize) and he
could draw on a general musical vocabulary to achieve this. This is not
to suggest that Bach wrote music in a textbook fashion, neither that his
music can ever be fully explained and its subtleties captured and de-
scribed by any analyses.
Two examples from Bach's 'free' (non-textual) organ works might serve
to illustrate the rhetorical character of his music: the G Minor Fantasia
BWV 542 and the 'Dorian Toccata' BWV 538.
37
The G Minor Fantasia shows a certain affinity to the St. Johns Passion
which was composed around the same time. It displays a similar exulta-
tion mixed with deep sorrow expressed by the opening chorus of the Pas-
sion. It starts with similar repeating exclamations (Exclamatio,
Anaphora, Ex. 1), which are converted into an instrumental recitative (a
free musical narrative supported by occasional chords; measure 1 ff.,
Ex. 2).
Melodic and harmonic dissonances are employed (Saltus duriusculus,
Parrhesia). This is followed by a sequence of repeated and extended
motifs (Ex. 3, m. 4-7), an accumulation of ideas and a concluding Seufzer
(a descending two-note motif expressing 'sighing/ m. 8-9, Ex. 4).
This epic recitative is followed by a contrasting, introverted section in
linear counterpoint (horizontal lines of music instead of vertical chords)
as a somber 'comment/ The already described 'art of discussion between
voice parts' (A, B, C; on a melodiously dissonant bass, D) is cleverly
employed (Ex. 5, m. 9
2
-14
1
). The same motifs are used or extended in a
discursive way by the various voice parts, and a wealth of figures such as
Anaphora, Aposiopesis, Antitheton, Metalepsis, Passus- and Saltus
duriusculus is displayed. It ends with a statement (a descending two-note
'sighing motif) similar to measures 8-9 (Epistrophe, Ex. 6, m. 13-14).
This contrapuntal section is followed by an agitated continuation of the
harmonic recitative with a further display of exclamations, dissonant
chords, extension and repetition of ideas (Ex. 7, 8), deceptive cadences
and climaxes (e.g., Ex. 8, 9). The figures Exclamatio, Parrhesia, Saltus
duriusculus, Anaphora, Paronomasia, Ellipsis, and Gradatio pre-
dominate.
Another contrasting 'discussion' section in counterpoint follows (m.
25-31). After this the highly dramatic recitative is continued, employing
the same affective figures as before (e.g., m. 35ff: (1) Gradatio, (ii)
Pleonasmus, (iii) Ellipsis, (iv) Congeries, (v) Pathopoiia/Parrhesia, (vi)
Suspensio, Dubitatio, Ex. 10).
It is only in the final affirmative major chord that the intense, dramatic
tension is resolved.
In a completely different vein, rhetoric is used in Bach's 'Dorian Toc-
cata.' This piece employs more abstract, eloquent musical motifs than the
highly dramatic, affective ones of the Fantasia just discussed. It is a par-
ticularly interesting work: an oratory in dialogue form. The musical
'debate' is brought about by a continuous change between the two
manuals, which were minutely indicated by Bach. Organ dialogues were
very popular even before Bach, but this dialogue is unique in its logical
and dialectical lay-out; it uses both the structure of speech (Dispositio)
and a wealth of rhetorical figures. The usual rhetorical arrangement (in-
troduction, statement of main idea, refutation of contrary ideas, analysis
and confirmation of main idea, peroration) is followed, but clad in
dialogue-style. Instead of the main speaker (A) quoting and refuting op-
posite views, these views are presented by a second speaker (B),
represented through the contrasting registration of the second organ
manual.
A starts off by developing the main thesis from a simple motif of alter-
nating notes, x (Anaphora, Paronomasia, Ex. 11).
In bar 5 this statement appears in the bass and is reinforced by emphatic
chordal accompaniment (y) in the upper voices (Emphasis, m. 5-7,
Ex. 12).
In bar 7 the now emphasized argument is extended (y +) with the addi-
tion of a pre-beat chord and the Propositio concluded with a firm
cadence in measure 13 (Ex. 13).
B starts out by quoting the emphasized premise and then inverting it (tur-
ning it upside-down with the emphatic chordal motif, y +, in the bass)
e.g., m. 15,16 (Ex. 14). Such double counterpoint was seen as an impor-
tant means of creating antithesis or Antitheton by Bach's contemporary,
Mattheson.
B proceeds by quoting the concluding remarks of A (see m. 10
4
-13
3
, Ex.
13) but extending them (adding another preceding chord to y), which has
the effect of exaggeration, generalization (Paronomasia, Mimesis,
Epistrophe, Ex. 15, m. 18
2
- 20
1
).
A's reply consists of a parodie quotation and echoing of this exaggeration
(y ++) alternating between the right and left hand (Anaphora, Mimesis,
Dialogismus, m. 20
1
ff. see Ex. 16).
B now picks up A's introductory 'words' (m. 1-4) but in inverted form (in-
verting the two lines; Antitheton, m. 25-29, Ex. 17).
A reaffirms the main thesis by variation and extension (Anaphora,
Variatio, Paronomasia), despite opposing interjections from the other
who turns the emphatic motif upside down (the ascending motif, A, is
changed into a descending one; Mimesis, Antitheton, Exclamatio, m.
29-35, Ex. 18).
A continues and concludes in a firm cadence (m. 34-37
1
, Ex. 19).
B now quotes a small subsidiary section of the last part (see motif q, m.
34-35, Ex. 19). This incomplete quotation (Anaphora, bars 37ff.) is im-
mediately countered by A on a lower pitch (Antitheton, Ex. 20). B never-
theless persists and ends with exactly the same emphatic cadence (m. 43,
Epistrophe) as the one A used (m. 36, Ex. 21).
A proceeds to extend the initial proposition (adding three preceding
notes to the alternating motif x of m. 1 ff.; m. 43, Ex. 22) despite an inter-
jection by B who repeats it on a lower pitch (Paronomasia, Mimesis, m.
43-47, Ex. 23).
A now strengthens the main proposition by analysis (fractionation of the
main idea into smaller motifs of nine notes, then four notes
Distributio, Ex. 24), variation and emphasis (Variatio, Emphasis), m.
47-66.
When B's former argument, q, is quoted (cf. Ex. 20), B interrupts A and
maintains this viewpoint, ending with the same words (cadence) as
before (Antitheton, Emphasis, Epistrophe, m. 66-73).
A repeats the extended thesis, but is directly confronted by B with
repetitions of these motifs on a different pitch (m. 76
3
ff., Ex. 25) and
then even interrupted before completion (m. 78). At this point A and B
speak simultaneously, repeating their words/ This heated debate leads
to an accumulation of the same viewpoints (Congeries, m. 78 ff.) in an
ascending sequence, leading to the climax (Gradatio, Ex. 26), in which A
simply 'talks B down' (Pleonasmus, m. 81, Ex. 27).
A follows this up by a spirited confirmation of the main thesis with new
extensions and analyses (fractionation of motifs), reaching a victorious
climax (m. 90 ff., Ex. 28) symbolized by a change from D minor to D ma-
jor (m. 94
3
), the key associated by Mattheson with victory, jubilation
and aggressiveness.
Assured of success, A concludes with strong, emphatic repetitions of the
initial alternating motif, x, extended by an ascending, leaping interval
(Congeries, Emphasis, Ex. 29).
151
Bach's 'Dorian Toccata and the G minor Fantasia are only two illustra-
tions of the idea of a purely musical, instrumental Klang-Rede in the late-
Baroque. As Mattheson wrote (1722): 'Although instrumental works do
not employ actual words, nevertheless even the most free and indepen-
dent works ('Concerten') should contain an expression, an intelligent
content, so that they always have something to say and also speak
words.'
38
The idea, sometimes encountered, that Bach's organ music is essential-
ly unemotional, abstract, 'pure music,' music based on pure musical
form and development' to be played without affect, fails to recognize the
philosophical and compositional concepts from which these works
originated. But it must be kept in mind that the emotion called for in
these works differs from the Storm and Stress of Romantic music. It calls
for careful analysis and recognition of the inherent mood of the work.
This mood does not change continually as in Romantic music, but re-
mains (apart from subtle shadings) constant for a prelude, fantasia,
fugue, choral prelude unless a change in style, tempo, dynamics, etc., oc-
curs. An affective involvement of the player is required to project the
mood to the listener.
II. Other symbols in Bach's Organ Music
There are other communication symbols in Bach's music which transcend
the dialectical, logical, ethical and psychic levels of rhetoric. They occur
especially in his textual organ music, i.e., chorale preludes (hymn ar-
rangements). The employment of these symbols by Bach is equally
rooted in his Christian world view and can equally be traced back to con-
cepts dating from the pre-Christian era. They range from fairly direct
symbols also employed in rhetoric, such as allegory and imitation, to the
more abstract or esoteric ones of emblems, semantics of number and
number cabalistics.
39
1. Allegory, comprising an association of extra-musical contents with
musical signs, can be understood by the hearer mainly from the 'sen-
suous' effect: Tall,' 'plunge,' but also 'abyss,' 'sin,' 'damnation' by
descending voices, stepwise or by leaps; light' and 'dark,' 'heaven' and
'hell' by contrasting high and low registers; length,' 'effort,' 'hardship'
by sustained rhythms in contrast to the quick rhythms for 'hurry,' 'fly-
ing,' 'rapture.' Descriptive allegory can also be classified under the
rhetorical 'hypotyposis'-figure and other figures like Antitheton,
152
Passus- and Saltus duriusculus, Ellipsis, Anabasis, Katabasis, Cir-
culatio.
2. Imitation is the direct copying in music of sounds and noises (chime of
bells, birdsong, storm, knocking, etc.).
3. Emblematical, visual symbols are musical signs which translate word-
content into tonal figures in a manner which cannot simply be
understood from the sensuous effect of those tonal figures, but must be
consciously 'known' (or 'seen' in notation); for example: the countless
use of the raised tone sign (sharp) in Bach's Kreuzstabkantata (the
Christian bearing of the cross'), as the German word for sharp is
'Kreuz' (in English 'cross' and 'sharp' would never be associated); the
use of the note G (or Sol in medieval times) for the Latin word 'sol'
('sun'); 'nox' ('night'), represented by blackened notes, etc.
4. Semantics of number consists in the translation of ideas into musical
signs by means of numerical symbols, e.g., seven for Creator and crea-
tion, beginning and end; twelve for Church, disciples, congregation;
three for Trinity, perfection, the transcendental, etc.
5. Number cabalistics consists of the translation of alphabetical letters in-
to numbers, thus allowing composers to write words or their own
names in music by means of the number of notes used in a theme,
motif, or entire work or the number of bars used (e.g., Bach = 14, J .S.
Bach = 41).
This tradition of visual, mathematical 'musical symbolism' can be
traced back to Antiquity.
40
In the ancient Chinese, Babylonian and
Egyptian cultures a cosmology of music was developed which was rooted
in religious concepts and in the symbolism of number. Musical intervals
were expressed in terms of numbers, e.g., the octave being 1:2, the fifth
2:3, the fourth 3:4, etc. These numbers were derived not only from the
division of an open lute string in the ratio 1:2, 2:3, 3:4, but they also cor-
respond with the numbers of the natural harmonics ('upper partial tones')
obtained by 'overblowing' a wind instrument. In a more speculative
way distances between celestial bodies and the relation between the
human soul and body were linked together, laying the foundation for a
cosmology of music based on number. Consequently, certain intervals
influence the human soul, but so do celestial bodies. Stars and planets,
moving in a harmonious geometric relation to one another, also create a
celestial harmony which is inaudible to the restricted human ear. This
concept of a musica mundana (celestial harmony) was further developed
by Pythagoras and the Greek theoreticians as a counterpart to the equal-
153
ly speculative musica humana (the 'harmony between soul and body')
and the musica instrumentalis (audible music, 'music' in the sense we use
the term). The audible music thus became a microcosmic image of a
divine creation, a link between this visible world and the transcendental,
powerful as an ethical force to uplift or corrupt man by means of the con-
cept of musica humana. This speculative, mathematical basis of music
became the rather vague motivation for Plato's Ethos-doctrine. Numbers
acquired a magic, symbolic meaning not to be tampered with.
Pythagoras tried to calculate all intervals by means of the numbers one
to four, since 1 + 2 + 3 + 4 = 10, and ten is a perfect number. This
might also explain the initial use of only four strings on the Greek lyre
and of four-note scales (tetrachords) as basic units. An increase in the
number of strings on a musical instrument was regarded as sacrilege.
This symbolism of numbers existed also in the ancient J ewish culture and
religion; the idea of the creation as something harmonious which sings
and praises the Lord partly accounts for the wealth of symbolism in the
Old Testament.
With the Christian era these ancient speculative concepts were adopted
and explained in Christian terms in the Alexandrian theology. As in
Greece and Rome, music remained a discipline of mathematics in the
medieval system of the seven Artes librales (the mathematical sciences
constituting the Quadrivium being Geometry, Arithmetic, Astronomy
and Music; the linguistic subjects constituting the Trivium being Gram-
mar, Dialectics and Rhetoric). In Biblical symbolism the number three is
seen as perfect; with the introduction of rhythmic modes in the twelfth
century only triple metre and threefold subdivisions of note values were
used. When binary rhythm is introduced in the fourteenth century, it is
seen as part of the secular tendencies of the Ars Nova and is censured by
the church, since the number two is 'imperfect,' hence of a 'wordly'
nature. The use of semantics and other forms of musical symbolism is re-
tained in the Renaissance in the form of riddle canons and other man-
neristic devices (e.g., Ockeghem), and is combined with sound imitation
(the new rationalistic imitatio naturae) and the creation of moods
(especially following J osquin in the early sixteenth century).
41
When music became a discipline of rhetoric (part of the linguistic
sciences) during the Baroque, the art of musical symbolism, semantics,
imitation and a cabalistics of number did not die out; it received new
stimulus from the renewed emphasis in the arts on the metaphysical and
the transcendental. The seventeenth century theoreticians (such as
Mersenne
42
and Kircher
43
), therefore, still conveyed the ancient
speculative concept of a musical cosmology (Musica mundana), of a
celestial, inaudible harmony based on number. Similarly, composers and
154
theoreticians display a profound knowledge of the traditional symbolic
arts. In the introductions to his compositions and an unpublished treatise
Bach stressed the functionalism of music in terms of a deeper symbolism.
According to Blume, music that reflects in its number and rule the divine
world order, that is based on the harmonia aeterna and laws of nature, is
for Bach real functional music which deserves to exist. In his 'Instruction
in Figured Bass' Bach describes musical harmony built on the
Generalbass in terms of such religious symbolism (see above). Studies of
various treatises by contemporaries of Bach like Werckmeister
44
have
revealed a musical practice still actively employing musical symbolism.
Analyses of Bach's textual music, and more recently of his purely in-
strumental compositions, have indicated a wealth of latent symbolism,
semantics and cabalistics of number, allegory and imitation.
In his Clavierubung, 3rd Part, consisting of various organ choral
preludes based on hymns from the regular Lutheran Communion service,
Bach uses as framework a Trinitarian' Prelude and Fugue (the 'St.
Anne's,' BWV 552): the majestic Prelude is based on three themes, the
Fugue on three which are cleverly interlocked. In the Credo of the B
minor Mass Bach uses the word Credo 7x7 = 49 times, in unum Deum 7
x 12 = 84 times; at the end of the fugue Patrem omnipotentem Bach
significantly adds the number of bars (84).
45
He not only wrote his own
name by using the German note names B-A-C-H (B flat-A-C-B) but, in
the tradition of Werckmeister, Picander and J .J . Schmidt, did so by
means of number cabalistics (as Friedrich Smend
46
has shown by exten-
sive analysis and research). In the Orgelbchlein a combination of sym-
bols, allegory, imitation and semantics of number is used: allegory in the
form of associative motifs, e.g., 'rocking-,' 'fall-' and 'damnation-,'
'ascension-' and 'descension-' motifs; imitation by means of 'knocking-,'
'trembling-,' 'trumpet-' motifs; semantics of number (e.g., twelve to sym-
bolize the Old Year in Das alte Jahr vergangen ist); symbolism, e.g.,
strict imitation or canon as symbol of 'following,' 'obedience,' 'bondage,'
'captivity.'
Significant for an understanding of Bach's music is that, no matter how
spontaneous or inspired it sounds, behind the seemingly musical con-
struction and the psychological aspect of mood creation, there exists a
structure of a more abstract nature. The two levels of communication,
the affective and more abstract symbolism, usually complement one
another. A rendering of his music should therefore not be restricted to a
purely emotional level, or become a purely abstract reflection of a ra-
tional art. It should recognize this kind of Baroque Gesamtkunstwerk
(total, integrated work of art), which relied on century-old concepts, and
which is rooted in Bach's musical philosophy. That Bach was attacked
155
during the late 1730's by the younger J ohann Adolph Scheibe,
47
a fervent
supporter of the new purely naturalistic aesthetics of the Enlightenment,
is evidence of Bach's traditional ideas. In the spirit of the new generation
he denounced Bach's symbolism and metaphysical emphasis and urged
him to follow the new naturalistic ideal, to express his own natural emo-
tions in an uncomplicated musical style, instead of reflecting a
speculative, transcendental world or creating a prescribed mood by
means of complex music.
Two short examples of Easter music from the Orgelbuchlein may serve
to illustrate the combination of mood and more abstract symbolism in
his chorale preludes:
1. Erschienen ist der herrliche Tag
The glorious day has come, for which no man can be joyful enough:
Christ, our Lord triumphs today and carries with him all his enemies in
captivity. Alleluia!' The metaphor is the one used by the apostle Paul
to portray Christ's triumph over death and damnation. The enemy, in
accordance with Roman custom, is tied to the victor's chariot for a
triumphant procession through the city. Bach unites symbolism and
mood very effectively. As symbol he uses a canon (strict voice imita-
tion) between the upper voice and the bass. In effect the bass is 'tied' to
the upper voice and 'dragged' along at a fixed distance. The metaphor
of the 'captive' enemy becomes completely clear in this context.
Simultaneously the basic mood of triumph is created by the use of a
pompous, anapestic rhythm-motif (short-short-long) in the central
voice parts and the triumphant climax in the change to D major (tierce
de Picardie) in the final cadence (Ex. 30).
156
This example clearly illustrates the difference in communication level
between direct and indirect symbols. While the triumphant mood of the
music is directly experienced by the listener, the symbol of 'capitivity' re-
quires familiarity with and decoding within the Lutheran theology. The
same applies to the next example.
2. Jesus, Christus, unser Heiland
'J esus Christ, our Redeemer, who has triumphed over death, is risen
and has taken death into capitivity. Alleluia!' The celebrative mood is
captured by the subdivision of the 4/4- into 12/8-metre by means of
triplets. A change from basic binary to triple note values was often
used before Bach (by Schutz, e.g.) to capture, portray and symbolize
something of the blissfulness and joy of the heavenly, ethereal and
perfect. Apart from the basic mood and the use of semantics of
number, the resurrection itself is portrayed allegorically by a
dynamically ascending, leaping interval. This resurrection-motif of
two ascending notes occurs in all the voice parts and in various inter-
vals ranging from the second to the full octave. It is most effective
because of the emphasis on the second, 'off-beat' note which is tied to
the next group of notes (Ex. 31).
In conclusion, recognition of the rhetorical and other symbolic aspects
of Bach's organ music is not only a matter of importance to the music
157
historian. For the listener it means a keener perception of Bach's musical
idiom as well as added enjoyment; for the performer, an appropriately
rational-affective rendering with its implications for articulation, or-
namentation, choice of timbre, dynamics, tempo and agogics.
J ACOBUS KLOPPERS
The King's College, Edmonton
Addendum I
Some of the approximately 82 different musical tropes and figures developed from the six-
teenth to eighteenth centuries:
Grammatical and pictorial figures:
Anabasis:
Circulatio:
Katabasis:
Hypotyposis:
Passus duriusculus:
Saltus duriusculus:
Ascending scale (e.g., 'ascension of Christ')
Circulating movement (e.g., revolving movement, 'encircle-
ment')
Descending scale (e.g., 'descent,' 'depression,' 'humiliation')
Tone painting (imitation in music of sounds, movements,
gestures of specific qualities of an object)
A dissonant melodic progression (e.g., the tritone)
Dissonant interval (e.g., diminished and augmented intervals)
Affective figures:
Anaphora (Repetition) and other kinds of repetition:
Extended (Paronomasia), emphatic (Epanalepsis), varied
(Variatio), divergent (Polyptoton), with similar phrase endings
(Epistrophe)
Antitheton:
Aposiopesis:
Congeries:
Antithesis (any musical contrast, e.g., inversion of a motif)
General pause, silence (to depict death, sighing, deep sorrow,
awe)
Accumulation of the same idea
158
Dialogismus: Musical dialogue (e.g., the antiphonal style, concerto grosso,
organ dialogues)
Distributor 'Analysis' of the main idea, the fractionation of a theme into
small motifs
Dubitatio: Expression of doubt and uncertainty (e.g., dubious modulation,
sudden standstill)
Ellipsis: Ellipse, a 'wrong conclusion' (illogical progression, disruption of
an idea, deceptive cadence)
Emphasis: Emphasis (accent, an emphatic chord)
Exclamatio: Musical exclamation, e.g., by means of a note or chord that is
not sustained but broken off
Gradatio, Climax: Musical climax, e.g., by parallel ascending voices
Hyperbaton: 'Wrong order' of notes, 'distortion' of a theme or motif because of
excitement
Hyperbol: Hyperbole, exaggeration in music
Interrogate: Question or rhetorical question (e.g., an ascending appogiatura
in a half-cadence)
Metalepsis: Premature conclusion (premature entry of a voice or motif)
Mimesis: Ridicule in music (e.g., repetition in a dialogue at a different
pitch level)
Parrhesia: Harsh expression of rage, conflict, anguish, pain by means of
dissonants and dissonant chord-progressions
Pleonasmus: A redundant repetition of an idea because of emotional involve-
ment
Polysyndeton: Postponement of the final cadence
Tmesis: Disruption of a melodic line by inserting rests (as an expression
of deep sorrow and sighing)
159
Addendum II
The educational system in Germany during the Baroque period:
1 Research on musical rhetoric and symbolism was pioneered by German
musicologist Arnold Schering at the beginning of this century. What had been
earlier considered as Bach's unique musical vocabulary for conveying textual ideas
(by, e.g., Albert Schweitzer), proved to be a Vocabulary' of musical rhetoric wide-
ly used since the sixteenth century, and of an ancient musical symbolism still alive
in Bach's time. More than 200 treatises from the sixteenth to the eighteenth century
provided a theoretical basis for subsequent musical analyses by Schering and
others. A complete list of published research on this subject is beyond the scope of
this paper. For Bach, cf., e.g., Albert Schweitzer, Johann Sebastian Bach (Leipzig,
1908; reprint Wiesbaden: Breitkopf und Hartel, 1960); Rudolf Wustmann,
Tonartensymbolik zu Bachs Zeit,' in Bach-Jahrbuch (1911), pp. 60 ff.; Arnold
Schering, 'Die Lehre von den musikalischen Figuren im 17. und 18. Jahrhundert,' in
Kirchenmusikalisches Handbuch (1908), pp. 108ff.; also, 'Bach und das Symbol,' in
Bach Jahrbuch (1937), pp. 83-95; Hans-Heinrich Unger, Die Beziehungen zwischen
Musik und Rhetorik im 16.-18. Jahrhundert (Wurzburg: Konrad Triltsch, 1941;
reprint Hildesheim: George Olms, 1969); Friedrich Blume, 'J-S. Bach,' in Die Musik
in Geschichte und Gegenwart, vol. 1 (1949-51), pp. 962ff.; Arnold Schmitz, Die
Bildlichkeit der wortgebundenen Musik J.S. Bachs (Mainz: B. Schott, 1950);
Jacobus Kloppers, Die Interpretation und Wiedergabe der Orgelwerke Bachs: Ein
Beitrag zur Bestimmung von Stilgerechten Prinzipien (Ph.D. Dissertation, J.W.
Goethe University, Frankfurt/Main, 1965; distributed by Barenreiter Antiquariat,
Kassel); Timothy Albrecht, Musical Rhetoric in Selected Organ Works of Johann
Sebastian Bach (Dissertation, University of Rochester, 1978); Warren Kirkendale,
'Ciceronians versus Aristotelians on the Ricercar as Exordium, from Bembo to
Bach,' Journal of the American Musicological Society, 32 (1979), 1-44; Ursula
Kirkendale, The Source for Bach's "Musical Offering": The "Institutio Oratoria" of
Quintilian,' Journal of the American Musicological Society, 33 (1980), 88-141.
2 Cf. Heinrich Lausberg, Handbuch der literarischen Rhetorik: Eine Grundlegung der
Literaturwissenschaft (Munich: M. Hueber, 1960), pp. 140ff.; Edward P.J. Corbett,
Classical Rhetoric for the Modern Student (New York: Oxford University Press,
1971), pp. 3ff.; Unger, op. cit., p. 3.
3 Ibid., pp. 17-20.
4 Athanasius Kircher, Musurgia Universalis (Rome: Francesco Corbelletti, 1650;
reprint Hildesheim: George Olms, 1970), vol. 1, liber 5, cap. 19.
5 Johann Mattheson, Der vollkommene Capellmeister (Hamburg: Christian Herold,
1739), pp. 121-32.
6 Ibid., pp. 235-36.
7 Cf. Unger, pp. 99-109; Kloppers, pp. 126-75.
8 Cf. Johann Mattheson, Dos Neu-Erffnete Orchestre (Hamburg: Schillers Erben,
1713), pp. 232-51; also Rita K. Steblin, Key Characteristics in the eighteenth and
early nineteenth centuries: A historical approach (Thesis, University of Illinois at
Urbana-Champaign, 1981), pp. 63-86.
161
9 J ohann Kirnberger, Die Kunst des reinen Satzes (Berlin and Knigsberg: Decker &
Hartung, 1774-1779), Vol. 2, pp. 102-104; J ohann J oachim Quantz, Versuch einer
Anweisung die Flute traversire zu Spielen (Berlin, 1752; reprint Kassel:
Barenreiter, 1953), chapter 11 16.
10 Kirnberger, vol. 2, pp. 105ff.; Quantz, chapter 11 16; Mattheson, Capellmeister,
pp. 160-70.
11 Kirnberger, p. 106; Friedrich W. Marpurg, Anleitung zum Clavierspielen (Berlin:
Haude und Spener, 1765), p. 16.
12 Friedrich W. Marpurg, Historisch-Kritische Beytrge zur Aufnahme der Musik
(Berlin: Schtzens Witwe, 1757), p. 120.
13 Cf. Unger, pp. 63-96 for a complete list and description of these sources; also Ar-
nold Schmitz, 'Figuren, musikalisch-rhetorische,' in Die Musik in Geschichte und
Gegenwart, d. Friedrich Blume, 4 (Kassel: Barenreiter, 1955), 176-83.
14 Cf. Unger, pp. 112-18.
15 Cf. Friedrich Blume, Renaissance and Baroque Music: A Comprehensive Survey
(translation of two of Blume's German articles by M.D. Herter Norton; New York:
W.W. Norton, 1967), pp. 89-92.
16 J oseph Muller-Blattau, Das Verhltnis von Wort und Ton in der Geschichte der
Musik (Stuttgart: Metzler, 1952), p. 12.
17 Kurt Huber, Musiksthetik (Ettal: Buch-Kunstverlag, 1954), pp. 45-47; Unger, p. 24.
18 Cf. also Mller-Blattau, p. 23.
19 Cf. Blume, Renaissance and Baroque Music, pp. 90-93.
20 Cf. ibid., p. 89.
21 Cf. also Egert Phlmann, 'Antikenverstndnis und Antikenmissverstndnis in der
Operntheorie der Florentiner Camerata,' Die Musikforschung (1969), pp. 5-13.
22 Cf. Kurt Gudewill, 'Heinrich Schutz,' Die Musik in Geschichte und Gegenwart, ed.
Friedrich Blume, 12 (Kassel: Barenreiter, 1965), pp. 213-14; H.H. Eggebrecht,
Heinrich Schutz: Musicus Poeticus (Gttingen: Van den Hoeck und Ruprecht,
1959); H.H. Eggebrecht, 'Zum Figur-Begriff der Musica Poetica,' Archiv fur
Musikwissenschaft, 16 (1959), 57-69.
23 Cf. Adelheid Beckmann, Motive und Formen der deutschen Lyrik des 17
Jahrhunderts und ihre Entsprechungen in der franzsischen Lyrik seit Ronsard
(Tubingen: M. Niemeyer, 1960), pp. 20, 30, 89-90, 130-31; cf. also Erich Trunz,
Weltbild und Dichtung im deutschen Barock,' Aus der Welt des Barock, ed.
Richard Alewyn (Stuttgart: Metzler, 1957), pp. 19-20, 30-31.
24 Cf. Mattheson, Capellmeister, chapter 13 61, p. 103 29; J ohann Mattheson,
Critica Musica, vol. 1 (Hamburg: im Selbstverlag, 1722), p. 199.
25 For a comprehensive list, cf. Unger, pp. 156-159 and Schmitz, 'Figuren,' pp. 176-77.
26 Verbal rhetoric underwent in itself a classicist transformation in Germany after
1700. Under the influence of Leibniz, Thomasius, Hallbauer, Gottsched and others
it assumed greater clarity, directness and simplicity. Cf. Ursula Sttzer, Deutsche
Redekunst im 17. und 18. Jahrhundert (Halle/Saale: M. Niemeyer, 1962), pp.
73-77, 90, 184-203.
27 Cf. Blume, Renaissance and Baroque Music, pp. 111-12.
28 Mozart wrote in 1781: I n the opera poetry should become the obedient daughter
of music. ...' Cf. Friedrich Blume, Wolfgang Amadeus Mozart,' Die Musik in
Geschichte und Gegenwart, d. Friedrich Blume, 9 (Kassel: Brenreiter, 1961), 791,
795.
29 Cf. Friedrich Blume, 'Die Musik des Barock in Deutschland,' Syntagma
Musicologicum, ed. Martin Ruhnke (Kassel: Brenreiter, 1963), pp. 195-96;
Friedrich Blume, 'J .S. Bach,' Die Musik in Geschichte und Gegenwart, d. Friedrich
Blume (Kassel: Brenreiter, 1949), p. 103; Walther Blankenburg, 'Bach und die
Aufklrung/ Bach-Gedenkschrift, ed. Karl Matthaei (Zurich: Atlantis, 1950), p. 31.
30 Cf. Blume, 'Die Musik des Barock in Deutschland,' p. 195.
31 Printed in Philipp Spitta, J.S. Bach, 5th edition (Wiesbaden: Breitkopf und Hrtel,
1962), vol. 2, pp. 915-16.
32 Cf. the controversy following Blume's 'new Bach concept': Friedrich Blume,
Umrisse eines neuen Bach-Bildes,' Musica (1962), pp. 169-76.
33 J ohann Nicolaus Forkel, J.S. Bach: Leben, Kunst und Kunstwerke (Leipzig: Hoff-
meister und Kuhnel, 1802), pp. 24-25.
34 Birnbaum mentioned this in his defence of Bach against Scheibe, who favoured the
new eighteenth century rationalistic and naturalistic tendencies in rhetoric and
musical composition. Bach's musical rhetoric, which included various archaic
tropes and figures and a complex religious symbolism, was unacceptable to
Scheibe. Cf. J ohann Adolph Scheibe, Critischer Musikus, 2nd edition (Leipzig:
Breitkopf, 1745), p. 997.
35 Cf. Blume, 'J .S. Bach,' p. 1028.
36 Cf. Wilibald Gurlitt, 'Musik und Rhetorik: Hinweise auf ihre geschichtliche
Grundlageeinheit,' Helicon Revue internationale de la literature, 5 (1944), 69.
37 Cf. also Kloppers, pp. 78-90, 113-21.
38 Mattheson, Critica Musica, vol. 1, p. 199.
39 As summarized in Blume, Renaissance and Baroque Music, pp. 112-16; also Blume,
'J .S. Bach,' pp. 1030-31.
40 See, i.e., Huber, pp. 45-47.
41 Karl H. Wrner, Geschichte der Musik (Gottingen: Van den Hoeck und Ruprecht,
1965), pp. 147-149; cf. also Blume, Renaissance and Baroque Music, pp. 5, 6, 10.
42 Marin Mersenne, Harmonie Universelle (Paris, 1636; reprint edition, Paris: Centre
national de la recherche scientifique, 1963).
43 Kircher, Musurgia Universalis.
44 Andreas Werckmeister, Musicalische Paradoxal-Discourse oder Ungemeine
Vorstellungen ... (Quedlinburg: T.P. Calvisius, 1707).
45 Blume, 'J .S. Bach,' p. 1030.
46 Cf. especially Friedrich Smend, J.S. Bach bei seinem Namen gerufen: Eine
Noteninschrift und ihre Deutung (Kassel: Brenreiter, 1950).
47 Scheibe, p. 890.