UNIVERSITY OF CINCINNATI Date:___________________

I, _________________________________________________________, hereby submit this work as part of the requirements for the degree of:

in:

It is entitled:

This work and its defense approved by:

Chair: _______________________________ _______________________________ _______________________________ _______________________________ _______________________________

Sonata for Alto Saxophone and Piano by Phil Woods:

An Improvisation-Specific Performer’s Guide

A doctoral document submitted to the

Graduate School

of the University of Cincinnati

In partial fulfillment of the

requirements for the degree of

DOCTOR OF MUSICAL ARTS

In the Performance Studies Division

of the College-Conservatory of Music

By

JEREMY LONG

August, 2008

B.M., University of Kentucky, 1999

M.M., University of Cincinnati College-Conservatory of Music, 2002

Committee Chair: Mr. James Bunte

Copyright © 2008 by Jeremy Long

All rights reserved

iii

ABSTRACT

Sonata for Alto Saxophone and Piano by Phil Woods combines Western classical and

jazz traditions, including improvisation. A crossover work in this style creates unique challenges

for the performer because it requires the person to have experience in both performance

practices. The research on musical works in this style is limited. Furthermore, the research on

the sections of improvisation found in this sonata is limited to general performance

considerations. In my own study of this work, and due to the performance problems commonly

associated with the improvisation sections, I found that there is a need for a more detailed

analysis focusing on how to practice, develop, and perform the improvised solos in this sonata.

This document, therefore, is a performer’s guide to the sections of improvisation found in

the 1997 revised edition of Sonata for Alto Saxophone and Piano by Phil Woods. This guide

will aid in the successful rehearsal and performance of well developed improvised solos that are

solidly based in the harmony, and that incorporate melodies and rhythms found in the sonata.

For each movement the harmony is analyzed to determine one or more scales that are commonly

used with each chord. Second, I wrote exercises based on methods found in The Jazz Theory

Book by Levine, A Creative Approach to Practicing Jazz by David Baker, Inside Improvisation,

vol. 1 and 2 by Jerry Bergonzi, The Jazz Handbook by Jamey Aebersold, How to Practice Jazz

by Jerry Coker, The Modern Sound: A Step Beyond Linear Improvisation by Walt Weiskopf, and

a guide-tone exercise by Brad Goode. Finally, I composed example solos for the first and third

movements that not only incorporated the scales, arpeggios, and exercises, but that are also based

on the themes, rhythmic ideas, and the harmony of each movement.

iv

CONTENTS

LIST OF FIGURES AND MUSICAL EXAMPLES.......................................................................v

Chapter

I. INTRODUCTION ...............................................................................................................1

Background

II. MOVEMENT I ....................................................................................................................4

III. MOVEMENT II .................................................................................................................30

IV. MOVEMENT III ...............................................................................................................33

V. MOVEMENT IV ...............................................................................................................53

VI. CONCLUSION ..................................................................................................................55

BIBLIOGRAPHY ..........................................................................................................................57

v

LIST OF FIGURES AND MUSICAL EXAMPLES

Figure

1.1, Scale chart ............................................................................................................................9

Example

1.1, Exercise with arpeggios ........................................................................................................6

1.2, Solo based on arpeggios .......................................................................................................8

2.1, Scale exercise based on Aebersold’s method .....................................................................13

2.2, Continuous Scale Exercise using quarter notes ..................................................................15

2.3, Continuous Scale Exercise with eighth notes and quarter notes ........................................16

3.1, Guide-tone line ...................................................................................................................18

3.2, Solo based on the guide-tone line .......................................................................................19

4.1, Woods sonata, m. 52 ..........................................................................................................20

4.2, Exercise using m. 52 motive ..............................................................................................21

5, Movement I example solo .....................................................................................................23

6.1, Woods sonata, mm. 100-103 ..............................................................................................24

6.2, Woods sonata, mm. 73-76 ..................................................................................................25

6.3, Woods sonata, mm. 47-48 ..................................................................................................25

7, Example solo with scale annotations .....................................................................................27

8.1, Bb7sus triad pairs ...............................................................................................................31

8.2, Triad pairs for B7sus, C7sus ..............................................................................................31

9.1, Piano, mm. 30-37 ...............................................................................................................34

9.2, Piano, mm. 42-45 ...............................................................................................................38

9.3, Piano, m. 53 ........................................................................................................................36

vi

10, Improvisation section chords, mm. 30-53 ...........................................................................35

11, Arpeggio exercise ................................................................................................................37

12, Scale exercise ......................................................................................................................40

13.1, Diatonic seventh chord examples .....................................................................................43

13.2, Diatonic 7th

Chord Pattern No. 2 through harmony .........................................................44

14.1, Movement III example solo .............................................................................................46

14.2, Five motives found in the example solo ...........................................................................47

15, Piano, m. 4 ...........................................................................................................................53

1

CHAPTER I

INTRODUCTION

Crossover music that combines Western classical and jazz traditions creates unique

challenges for the performer when the music requires improvisation. In general, the performance

level of the improvisation is weaker than the performance of the written sections of music.

Artists are usually well prepared to rehearse and perform the written sections of music; however,

many times they lack the knowledge and experience to successfully rehearse and perform a well

developed improvised solo that not only incorporates the melodic, rhythmic, and harmonic

language of the piece, but also creates a dialogue between the soloist and the other members of

the ensemble.

The research into crossover music for saxophone is limited. I found only two

dissertations that analyzed saxophone works that mix Western classical traditions and jazz

improvisation, “A Performer’s Analysis of Phil Woods’ Sonata for Alto Saxophone and Piano”

by David Brennan, and “Crossover considerations: Performing three works by Ludmila Ulehla,

Phil Woods and Bill Dobbins” by John Mark Perrine. Brennan’s dissertation on Woods’s sonata

is thoroughly researched, yet the coverage of the improvisational sections is limited. He gives

general suggestions that are helpful, such as recommending standard scales for improvising,

explanation of slash chords, and rehearsal techniques that recommend that “the saxophonist must

first internalize the chord changes” to have a basis of melodic material in which to draw from

when improvising;1 however, his analysis of the work focuses much more on the written music

than the sections of improvisation.

1 David Brennan, “A Performer’s Analysis of Phil Woods’ Sonata for Alto Saxophone and Piano” (DMA diss.,

2

This document, therefore, is a performer’s guide to the sections of improvisation found in

the 1997 revised edition of Sonata for Alto Saxophone and Piano by Phil Woods. Due to the

performance problems associated with these sections, this guide will aid in the successful

rehearsal and performance of well developed improvised solos that are solidly based in the

harmony, and that incorporate melodies and rhythms found in the sonata. For each movement

with chord symbols, Mark Levine’s The Jazz Theory Book was used to analyze the harmony and

to determine one or more scales that are commonly used with each chord. Second, I wrote

exercises to expand on Brennan’s suggestion to “internalize the chord changes,” based on

methods found in The Jazz Theory Book by Levine, A Creative Approach to Practicing Jazz by

David Baker, Inside Improvisation, vol. 1 and 2 by Jerry Bergonzi, The Jazz Handbook by Jamey

Aebersold, How to Practice Jazz by Jerry Coker, The Modern Sound: A Step Beyond Linear

Improvisation by Walt Weiskopf, and a guide-tone exercise by Brad Goode. Finally, I composed

example solos for the first and third movements that not only incorporated the scales, arpeggios,

and exercises, but that are also based on the themes, rhythmic ideas, and the harmony of each

movement.

Background

Phil Woods’s contemporary classical compositions are known for blending aspects from

both the classical and jazz traditions, which is understandable due to the fact he is an

internationally known jazz alto saxophonist. Surprisingly though, improvisation was not

included in the original version of his sonata, which was then entitled, Four Moods for Alto

Saxophone, Piano, and Bass. This sonata was written for Victor Morosco’s saxophone solo

recital at Carnegie Hall in 1962.2

2 Ibid., 72.

3

In 1974, at the request of Morosco, Woods omitted the bass part and included two

improvised solo sections in the first movement, one for saxophone and one for piano. He also

changed the title to Sonata for Alto Saxophone and Piano. It was not until 1994 that he added

more sections of improvisation for the saxophone in the other three movements.3 I used the

revised edition, which was published in 1997 by Advance Music, for this document.

3 Ibid.

4

CHAPTER II

MOVEMENT I

The style of a work is one of the first characteristics to consider when improvising a solo.

Phil Woods offers no suggestion of style in the first movement except for “faster” in m. 36 and

“jazz legato” in m. 52. The revised edition of the piece does include “Notes on Interpretation

and Performance” by Morosco, which provides some guidance to the style. He suggests a

“definite jazz feeling for articulation and rhythm” beginning at m. 36 in the first movement.4 It

seems that the style of the first movement, at least from m. 36, should include swing-eighth notes

when only considering the above information; however, Morosco and saxophonist John Harle

have both recorded the work playing a combination of even and swing eighth notes up to m. 100.

The sonata is on Morosco’s Double Exposure and Harle’s Plays. In both recordings, they play

even eighths during the sections in common time and swing eighths for the sections in ¾.

In my opinion, the composer is leaving the style choice open and up to the performer.

Measures 36 through 100 could be played with either swing or even eighth notes, or a

combination of both as recorded by Morosco and Harle. This still leaves the performer with the

question of what style to use for the improvisation section, mm. 100-117. I would suggest a

swing style for the entire improvisation section no matter what style the performer chooses to use

beginning at m. 36. The swing style will contrast the straight-eighth note style of the

improvisation section in the third movement.

Harmony is the next and possibly the most important aspect to be considered when

improvising. Improvisation is viewed by most to be the act of composing music as it is being

4 Victor Morosco, “Notes on Interpretation and Performance,” notes to Sonata by Phil Woods (Germany:

Advance Music, 1997), 2.

5

performed. Careful study of the harmony is imperative for the performer to be able to improvise

a solo that is solidly based on the harmony.

The first improvisation section, beginning in m. 100, is sixteen measures in length and is

divided into four four-measure phrases. The first two phrases are in D minor, the third is in F,

the relative major, and the last phrase is in D, the parallel major. The harmonic rhythm moves

quickly throughout each section, yet improvising is not as difficult as in a tune that moves

through multiple key centers because all four phrases are related to either D minor or D major.

For instance, the first two phrases contain two chords per measure, although each phrase contains

the same descending chromatic tetrachord in D minor, D-C#-C-B-Bb-(E)-A, with the E

functioning as a V/V in D minor. The third phrase begins in F and modulates to D major as

shown by the following Roman numeral analysis:

F: ii7 – iii7 – IV (maj7) – vii (m7b5)/V – ii7 – ii4/2 –

D: iv4/2 – ii7 – V7 – I.

Furthermore, the fourth phrase only contains alternating D and Bb major chords, I and bVI. A

bVI chord in major is a borrowed chord from a minor key and usually has a predominant

function; however, here the Bb major chord is functioning as a chord prolonging the major tonic

chord, D.

There are many ways to learn the harmony for improvising. The following suggestions

and exercises will give the performer a solid understanding of the harmony. First, the

saxophonist should play the written piano part from the improvisation section. Then, the person

should practice exercises from Jamey Aebersold’s article, “Practice Procedure for Memorizing

Scales and Chords to any Song” found in his Jazz Handbook.5 Begin by playing only the roots

5 Jamey Aebersold, “Practice Procedure for Memorizing Scales and Chords to any Song,” in Jazz Handbook

[book on-line] (New Albany, IN: Jamey Aebersold Jazz, INC., 2000, accessed February 2008); available from

http://www.jazzbooks.com/miva/documents/handbook/09_tips_for_new_tunes.pdf ; Internet.

6

of each chord, then add the third and the fifth of every chord, and finally, add either the sixth or

seventh of each chord. All of these exercises should mainly be played on the saxophone in the

transposed key from the solo part. Note that many of the chord symbols do not include a six or

seven suffix.6 For instance, the Bb major chord symbol on beat one of m. 102 does not include a

7 suffix, even though the seventh of the chord, C concert, is included in the written piano part.

The sixth is included in the D minor chord on beat one of m. 104, but a six is missing from the

chord symbol. Even though these chord symbols do not match the chords provided by the

composer, it is standard in jazz improvisation to add other extensions to the written chord

symbols, such as sixths, sevenths, ninths, elevenths, and thirteenths.

In ex. 1.1, I have composed an exercise based on only the root, third, fifth, and sixth or

seventh of each chord.

Example 1.1: Arpeggio exercise.

Since slash chords are an integral part of this solo section, not all of the arpeggios are in root

6 If the performer is not familiar with chord symbols written in pop notation, then I recommend p. ix of Levine’s

Jazz Theory Book or “Nomenclature” from Aebersold’s Jazz Handbook.

7

position. The appropriate inversions were used to incorporate the descending chromatic

tetrachords in the first two phrases and the slash chord on beat three in m. 11. The performer

should be aware that the G-7 on beat one of m. 11 should be a C7sus chord because there is an

Eb concert bass note in the piano part (see m. 110 of the piano part). The C7sus, however, was

not incorporated into the exercise since it is very similar to G-7 because C7sus may also be

represented by G-7/C. The exercise should be played with a metronome on all four beats and

then on beats two and four until the tempo of the fast section of the first movement is reached.

The eighth notes should be played in a swing style. Articulation is not indicated, but it should be

in a connected jazz style and not choppy.

After the saxophonist is comfortable with ex. 1.1, they should improvise a solo limited to

the notes from the arpeggios. I suggest playing the arpeggios in all of the possible inversions.

For example, play all of the chords ascending in first, second, and third inversions, then play

them descending in all inversions. It may also help to think of the arpeggios as digital patterns as

Jerry Bergonzi suggests in Inside Improvisation – Melodic Structures, vol.1. Therefore, the

ascending arpeggios would become 1357, 3571, 5713, 7135, and the descending patterns would

become 7531, 1753, 3175, and 5317. Replace the 7 with a 6 for each of the digital patterns for

the Dmin chords in mm. 100 and 104 of the sonata. The sixth is not included in the piano

voicing in m. 100; however, it has the same function as the chord in m. 104, which does include

the sixth. Bergonzi also suggests using any permutation of the 1357 digitals pattern, such as

5317, 3715, and so forth.7

Of course, there are many permutations of 1357(6), which give the soloist many

possibilities to choose from. I have composed an exercise, shown in ex. 1.2, which demonstrates

7 Jerry Bergonzi, Inside Improvisation – Melodic Structures, vol. 1 (Germany: Advance Music, 1992), 10.

8

one possibility. I only use notes from the arpeggios, but I also use Bergonzi’s method of editing,

where all four notes of the chord are not always included.8 The simple act of deleting notes

creates rhythmic interest and makes the exercise sound more like an improvised solo. This

method of practicing the chord progression is also valuable because any solo created with this

method contains all chord tones, thus the solo will always be harmonically sound.

Example 1.2: Solo based on arpeggios.

Improvising using arpeggios is an excellent exercise to develop melodic ideas based on

the harmony. Improvising using scales is another way to create harmonically sound ideas that

are more conjunct, which contrasts the more disjunct melodies created from arpeggios. Each

chord has at least one possible corresponding scale. Since there are only three key areas, many

of the scale choices will either be related to the D jazz melodic minor,9 D harmonic minor, F

major, or D major scales, allowing the performer to use the same scale for more than one chord,

8 Ibid., 39-40.

9 The jazz melodic minor scale is the ascending form of the melodic minor scale played both ascending and

descending, thus D jazz melodic minor would be, D-E-F-G-A-B-C#, ascending and descending.

9

which makes improvising easier. For example, Bb Lydian and G Dorian are modes of F major,

B Locrian #2 is a mode of D jazz melodic minor, and the A 5th

mode of harmonic minor scale is

the D harmonic minor scale beginning on the note A. Figure 1.1 is a list of the commonly used

scales for chords found in the improvisation section – it does not include every possible scale

choice.

Figure 1.1: Scale chart.

Chord 1st Scale Choice 2nd Scale Choice 3rd Scale Choice

D- D Jazz Melodic Minor D Minor 6 Pentatonic

A7(b9) A 5th mode/harm min A 5th mode/harm min bebop A Altered

D-/C D Dorian D Dorian Bebop D Minor Pentatonic

Bmin7(b5) B Locrian #2 B Locrian G Dominant Bebop

BbMaj7 Bb Lydian Bb major Bb Major Pentatonic

E7(b9) E Dominant Diminished E 5th mode/harm min E Altered

E-7 E Dorian E Dorian Bebop E Minor Pentatonic

C# Dim7 C# Diminished (Octatonic) A Dominant Diminished

G-7 or G-7/F G Dorian G Dorian Bebop G Minor Pentatonic

A-7 A Dorian A Dorian Bebop A Minor Pentatonic

DMaj7 D Major D Lydian D Major Pentatonic

The most common scale choices include the Dorian mode for a minor seven chord,

diminished scale for a diminished seven chord, a major scale for a major chord, and the jazz

melodic minor scale for a minor six chord. Brennan only suggests D Dorian for the D minor

chords in mm. 100 and 104. Dorian, however, should not be the first and definitely not the only

scale choice for these two chords because they are functioning as tonic minor chords, not as

predominant ii7 chords.

Scale choices may also be determined by the melody. Measures 52-99 are based on the

same chord progression as the improvisation section at m. 100. The most common scale used in

the written section between mm. 52-99 is the D jazz melodic minor scale. Specifically, mm. 52-

54, 56-61, 68-69, 72-73, 84-85 are all based on this scale, but the chord is not always Dmin. For

10

example, when the scale is used with a Bmin7(b5) chord, as in the second half of m. 53, then the

melody could be analyzed as being derived from the B Locrian #2 scale,10

which is the sixth

mode of D jazz melodic minor. As for the Bb major chords, the Lydian mode should be the first

choice (see fig. 1.1) instead of the Bb major scale because Woods’s melodies are derived from

the Lydian mode in almost every instance of the chord – see mm. 54, 70, and 97 of the sonata.

Dominant chords in jazz are very flexible due to the fact that there are a number of

possible extensions and combinations of those extensions which are not always indicated by the

chord symbol. All of the dominant chord symbols in the saxophone part and the corresponding

voicings in the piano part in the improvisation section include a flat ninth, 7(b9), but no

thirteenth, either natural or flat. Thus, there are many scale possibilities, from scales with a b9

and natural 13 such as dominant diminished,11

to scales with a b9 and b13 like the fifth mode of

harmonic minor. The soloist can reduce the number of choices with three determining factors,

the function of the chord, how the chord is resolved, and the melody associated with the chord.

The A7(b9) chords in mm. 100, 103, and 107 all have a dominant function, resolve to D

minor, and have corresponding parts in the melody earlier in the sonata that contain the note F.

As a result, scales with an F and not F# would be the likely choices because a dominant chord in

a minor key almost always contains the b13 and the melody in mm. 52, 55, 59, and 68 in the

sonata all contain F naturals in combination with chords with a dominant function. The A 5th

mode/harmonic minor scale is a good choice because it matches the melodic language of the

movement and is based on D harmonic minor. The scale is spelled, A – Bb – C# – D – E – F –

G, which includes not only the root, third, fifth, and seventh, but also the flat ninth and flat

10

The B Locrian #2 scale is B – C# – D – E – F – G – A.

11

The dominant diminished scale is another name for the octatonic scale beginning with a half step, H W H W

H W H.

11

thirteenth. The A altered scale is also a valid choice because it fits an altered dominant chord

with a b13 and b9; however, it also contains the sharp ninth, sharp eleventh, and no fifth, and as

a consequence of these non-diatonic notes, it does not fit the melodic language of the movement.

The A7 chord in m. 111 has more choices than just scales that contain the b13 because it

resolves to D major. Dominant chords that resolve to a major chord, in general, can include any

variation of natural and altered extensions. In this case, the chord symbol from the sonata is A7,

which matches the natural nine scale degrees found in mm. 63, 79, and 95 of the melody;

however, in the improvisation section, the piano part includes a flat ninth and no thirteenth (the

chord should then read, A7[b9]). Thus, the soloist can either use the 5th

mode/harmonic minor,

altered, or the dominant diminished scale.12

I chose dominant diminished for the exercise shown

in ex. 2.1 to add contrast to the previous altered dominant chords. Of course, if the accompanist

is not going to adhere to the written piano part, this is something that should be discussed, or if

the pianist is sensitive to these issues, then they will make these decisions while accompanying

the soloist.

The last dominant seventh chord to consider is the E7(b9) chord in mm. 102 and 106. An

E7 chord in D is a secondary dominant because its function is to tonicize the dominant chord; in

this case it is followed by Emin7 and then the dominant chord, A7. The fourth mode of jazz

melodic minor, Lydian dominant is the common scale choice for a V/V chord because it includes

all natural extensions and the sharp eleventh. The E7 chords in this movement, however, include

a flat ninth, do not resolve to A minor, and there are no examples of the composer using either a

natural or flat thirteenth in the melody – except for m. 90 where the C is included in an ascending

chromatic line. Thus, allowing the soloist to again choose from any of the three altered dominant

scales previously listed. I chose E dominant diminished for this chord, as shown in ex. 2.1, to

12

The A dominant diminished scale is, A – Bb – C – C# – D# – E – F# – G.

12

add contrast to the other dominant scale choices. Also, I prefer the C# in the E dominant

diminished scale because it is diatonic to D tonic minor.

I composed a scale exercise shown in ex. 2.1 using techniques found in Aebersold’s

article, “Practice Procedure for Memorizing Scales and Chords to any Song.”13

The scales are

written in sixteenth notes to cover the entire scale in relation to the harmonic rhythm. The

saxophonist should practice the exercise with a metronome and only tongue the first note of each

scale. Then, the saxophonist may add other articulation patterns as they see fit.

13

Aebersold, “Practice Procedure for Memorizing Scales and Chords to any Song,” in Jazz Handbook; Internet.

13

Example 2.1: Scale exercise based on Aebersold’s method.

Mark Levine’s Continuous Scale Exercise is an excellent way to bridge the gap between

the previous exercise of simply playing scales and improvising melodies using scales. The first

step is to select the scales to be used, as done in ex. 2.1. The second step is to use these scales to

create melodies that move in a stepwise motion in quarter notes, eighth notes, or any other

14

rhythm that do not restart at the root for every chord change, but continue from where the

previous scale ended. According to Levine, “The beauty of this exercise is twofold”:

1) It trains you to start each new scale wherever the last chord

dropped you off, rather than jumping back to the root, which is too

easy.

2) Most important, you learn how to link the scales together. You’ll

get experience in creating long flowing lines. Practicing this

exercise also equalizes the importance of each note in every scale,

and helps you get rid of “root bias,” or always thinking of the root

of a scale first.”14

Example 2.2 illustrates one possible version of the Continuous Scale Exercise as applied

to the first movement using only quarter notes. Many of the features of Levine’s method are

demonstrated in this example, such as linking all the scales linearly, use of sequence, and use of

common tones between different chords. The scales are continuously linked throughout the

exercise and only occasionally do they begin with the root. Levine writes of how important

sequence is, and of how Joe Henderson, Herbie Hancock, Freddie Hubbard, and others are

“masters of the device.”15

Measures six and seven are sequences of m. 5, and the melodic line in

mm. 15-16 is a sequence of mm. 13-14 (see ex. 2.2). Levine also writes of how “common tones,

or notes that belong to two or more consecutive chords,” may be used to create “more space and

less chromaticism.”16

For example, the note D fits all four chords in mm. 9-10 in ex. 2.2, and the

note C fits the first three chords of those measures.

14

Mark Levine, The Jazz Theory Book (Petaluma, CA: Sher Music Company, 1995), 122.

15

Ibid., 127.

16

Ibid., 155.

15

Example 2.2: Continuous Scale Exercise using quarter notes.

Many times the melodies created by the multiple scales in ex. 2.2 collectively create a

particular scale, which is a defining characteristic of this particular harmonic progression. For

instance, in the first two measures, the four scales, D jazz melodic minor, A 5th

mode/harm min,

D Dorian, and B Locrian #2, that are used to create the descending melodic line collectively

create a one octave D harmonic minor scale. Also, in mm. 11-12, three scales (G Dorian, E

Dorian, and A dominant diminished) are used to create a descending C# diminished scale.

Example 2.3 illustrates an exercise I composed using a combination of Levine’s

Continuous Scale Exercise and Bergonzi’s method of editing. In this exercise, quarter and eighth

note rhythms, including rests, are used in various combinations, but the melodies are still limited

to a stepwise motion only, which forces the improviser to choose only adjacent scale degrees,

creating a coherent melodic line that is solidly based in the harmony.

Melodic sequences play an even larger role in ex. 2.3. Motives are melodically

sequenced and developed to build tension and to articulate the climax points (marked with an

16

asterisk (*) above mm. 23, 28). Three motives are developed in ex. 2.3, motives a-c. Motive a is

developed in mm. 18-23. Motive b is introduced in m. 23 – coinciding with the first climax

point (*) – and is subsequently developed in mm. 23-27. Motive c is then introduced in m. 28,

coinciding with the final climax point (*) and is then developed throughout the last four

measures (mm. 29-32).

Example 2.3: Continuous Scale Exercise with eighth notes and quarter notes.

One aspect of Levine’s scale exercise that is not covered is the treatment of non-chord

tones. He suggests only choosing scales that contain no non-chord tones, or what he calls

“avoid” notes. For instance, the fourth degree of the Mixolydian and Ionian modes, when used

with a dominant and major chord respectively, is an “avoid” note because the fourth is only a

chord tone if it is raised a semitone, which is labeled as #4, b5, or #11. Two of the scales chosen

for the first movement, D major and A 5th

mode/harm minor, contain non-chord tones. The rest

of the scales, dominant diminished, jazz melodic minor, Dorian, Lydian, and Locrian #2, do not.

17

For example, if B Locrian was chosen for Bmin7(b5), then C would be the “avoid” note because

a flat ninth is not a possible extension for a min7(b5) chord.

Practicing “avoid” notes should not be avoided, just not played without resolving the

tension. In general, they are used as either passing tones or lower and upper neighbor tones on

weak parts of the measure. All of the non-chord tones in ex. 2.3 are treated in this manner and

labeled with “N.C.” above the note-head. If a non-chord tone is played on a strong beat, then it

is usually resolved by step. Many Charlie Parker solos contain brilliant examples of non-chord

tone resolution. Even at three-hundred beats per minute, many of his eighth note lines placed

chord tones on the downbeats and non-chord tones on the upbeats.

Levine’s scale exercise is an excellent way to help the soloist combine their knowledge of

the chords and scales of the improvisation section in a logical and musical way. Another

exercise that achieves this, as well as considers voice-leading, is a guide-tone line exercise by

Brad Goode, who is a Professor of Jazz Studies at the University of Colorado at Boulder. A

guide-tone line is created by connecting one chord member to the next to create a melodic line

derived from a specific harmonic progression. There are multiple guide-tone line possibilities

for a specific harmonic progression. Goode’s exercise, like Levine’s scale exercise, sets limits

that not only create a guide-tone line, but more importantly forces the improviser to choose the

closest note for the next chord as determined by a set of rules. If played with a metronome, then

the exercise tests the recall time of the soloist as well.

The first step in Goode’s exercise is to select which chord tones will be used, 1-3-5-7 or

1-3-5-7-9 or 1-3-5-7-9-13, and so forth. Then, select a starting pitch for the first chord. Finally,

use the following four rules to determine the next note:

1. Stay on the same pitch

2. Descend a semitone

18

3. Descend a whole step

4. Ascend a semitone.

If the note does not fit the chord, then move to the next rule until a note is found, but always start

with the first rule for each new chord.

One possible scenario is shown in ex. 3.1. First, I chose only to use 1-3-5-7(6) of each

chord. Second, I chose the root as my starting pitch for the first chord. D is not a chord tone in

the next chord, so using rule #2, the pitch was lowered a semitone to C#, which is the third of

A7(b9). Rule #2 was used for the next three chord changes until the Bb in m. 3 where rule #3

was used to descend a whole step to G#, which is the third of E7(b9). Rule #4 was used between

the notes C# in m. 8 to the D in m. 9, thus all four rules were utilized for this particular guide-

tone line. There are three other possible guide-tone lines for this progression beginning with the

third, fifth, and sixth of Dmin, F, A, and B; however, other extensions could be included to

create other possibilities.

Example 3.1: Guide-tone line.

19

The melodic lines created by the guide-tone exercise may also be used as a guide for an

improvised solo. In ex. 3.2, I composed a solo using the guide-tone line from ex. 3.1 that

essentially embellishes it as an accomplished soloist such as Charlie Parker would embellish a

simple popular melody. The most important pitches are from the original line and the other

added pitches and rhythms used as ornamentation.

Example 3.2: Solo based on the guide-tone line.

According to Victor Morosco, “The section from m. 100 to m. 115 … is a part of the

entire work and utilizing thematic, rhythmic, and harmonic material found throughout the

movement is suggested.”17

After the saxophonist is comfortable with the harmony and can

easily play the scales, arpeggios, and guide-tone lines outlining the harmony, then they should

use an exercise from A Creative Approach to Practicing Jazz by David Baker to incorporate the

material from the first movement as Morosco suggests.

17

Morosco, 2.

20

The exercise found in chapter ten of Baker’s book, “A Practice Technique for Using

Bebop Tunes as a Tool for Learning and Internalizing the Bebop Language,” directs the

improviser to incorporate motives from the melody of a piece to be used as melodic material to

develop in the improvisation section. For example, if a motive from the melody fits a Dmin7

chord, then the motive may be played over any Dmin7 chord in the chord changes. Also, the

motive may be transposed to fit any min7 chord in the harmony, such as down a fifth to Gmin7

or up a minor third to Fmin7.18

The five note motive found in the sonata, m. 52, on beats one and two is an excellent

excerpt of the melody to be used for the Baker exercise because it is taken from the melody, it

outlines the harmony, and it is rhythmically interesting.

Example 4.1: Woods sonata, m. 52.

Measure 52 is where Woods begins using the harmonic progression found in the improvisation

section, thus making it simple to find motives that fit the harmony. In this case, the first chord in

m. 52 is D-; therefore, the motive represented by scale degrees of the D jazz melodic minor scale

would be, 2-1-5-3-2. The improviser could play this motive wherever there is a Dmin6 or

Dmin7 chord because the motive does not contain the sixth or seventh scale degrees (see ex.

4.1).

The motive, in fact, may be played over any chord in the entire harmonic progression

except for C# diminished. If it is transposed up a whole step it will fit E-7, up a perfect fourth,

18

David Baker, A Creative Approach to Practicing Jazz (New Albany, IN: Jamey Aebersold Jazz, INC., 1994),

39-43.

21

G-7, and up a perfect fifth, A-7. It fits Bb major without transposing, so the same notes

represented by scale degrees of the Bb Lydian mode are, 4-3-7-5-4. It also fits Bmin7(b5)

without transposing. The scale degrees of the B Locrian #2 scale would also be, 4-3-7-5-4, even

though they are two different scales. The motive transposed up a major third also fits D major

using the D Lydian mode (see ex. 4.2).

Finding the correct transposition of the motive to fit altered dominant chords, such as

A7(b9), is more difficult. One way, is to use the altered scale since it is the seventh mode of jazz

melodic minor, thus giving the improviser a minor key to relate to the minor motive in m. 52.

The A altered scale is the seventh mode of Bb jazz melodic minor. The original digital pattern of

2-1-5-3-2 as related to Bb minor is, C-Bb-F-Db-C, which are the following chord members of an

A altered dominant chord: sharp ninth, flat ninth, flat thirteenth, third, and sharp ninth.

Therefore, the motive in the correct transposition contains all the information for an altered

dominant chord in four notes.

Example 4.2: Exercise using m. 52 motive.

22

The saxophonist should improvise a solo using the motive from m. 52, but also find other

motives that can be used in this way. In doing so the improviser will not only learn to

incorporate material from the movement into their solo, but they will also train themselves to

incorporate more melodic development into their improvisations. Just as developing melodic

material is arguably one of the most important aspects of composition, melodic development in

improvisation is just as important since an improvised solo is also a composition. The main goal

is not to regurgitate pre-practiced melodies in a sterile way, but to be more successful at

developing any motive or melodic idea that comes to mind while improvising.

For the last exercise of the first movement, I combined all of the previous exercises,

scales, arpeggios, and other material to compose an example improvised solo. First, I recorded

myself improvising in mm. 100-117 in order to keep a sense of spontaneity in the solo and to see

if any of the pre-practiced material would be incorporated. Then I edited the solo to accomplish

my end-goal, which was to compose a solo that not only incorporated the scales, arpeggios, and

exercises, but that was also based on the themes, rhythmic ideas, and the harmony of the

movement. This solo is shown in ex. 5.

23

Example 5: Movement I example solo.

Examples of the salient features of the entire solo are found in the first four measures.

Melodic and rhythmic motives from the sonata, melodies shaped by a guide-tone line, and scalar

based melodies are all included. In the first measure, the F ends the ascending melodic line of

the melody that begins in m. 99, and the double-time line in beats three and four is a quote from

24

m. 51 of the sonata – this is another motive similar to the one in ex. 4.2 that would be beneficial

to practice through the harmony. The D Dorian scalar figure in m. 2 uses the same rhythm from

m. 48 in the sonata. Finally, the first four measures are essentially an embellishment of the

guide-tone line given by the composer in mm.100-103 of the sonata, which is shown in ex. 6.1.

Example 6.1: mm. 100-103.

Woods’s line is similar in shape and stresses the same chord tones as the first four measures of

the example solo. The first measure of examples 5 and 6.1 both begin with the note F, and C# is

the lowest note. In the next measure, ex. 5 does begin with E, but the following notes D, C, B,

and D again are also found in the second measure of ex. 6.1. The third measure of each example

is very similar; however, the rhythm is completely different. The notes in ex. 6.1 are essentially

syncopated in ex. 5. with a few additions. The note G begins the fourth measure of each

example, although the guide-tone line is extended in ex. 5. The last two eighth notes in m. 3 are

tonally sequenced by the last two eighths in m. 4, which in turn are tonally sequenced with one

added eighth note in the end of m. 5. The guide-tone line is therefore G – F – E – D.

The next phrase in ex. 5, mm. 6-9, is an embellishment of mm. 73-76 of the sonata. In the

sonata, there are two separate guide-tone lines, the top one being the accented notes, and the

bottom one beginning with G in m. 74, moving through G#, A#, B, C, and then ending with the

C# in m. 75 (see ex. 6.2).

25

Example 6.2: mm. 73-76.

The phrase from my composed solo in ex. 5 emphasizes the guide-tone line pair and embellishes

them with syncopation. The phrase ends, just as the phrase from the sonata does, with the notes

C and Bb, which are the sharp ninth and flat ninth over A7(b9). Throughout the first movement,

Woods regularly emphasizes the sharp ninth and flat ninth chord extensions, as shown by the use

of the notes C and Bb over the A7(b9) harmony in mm. 55, 71, and 75 of the sonata. This

emphasis is reflected not only in mm. 8 of the example solo, but also in mm. 12, 20, 24, and 28

(see ex. 5).

Other references in the example solo of melodic and rhythmic ideas from the sonata are

found in mm. 21-22 and mm. 13-12. The melody from m. 84 to beat four of m. 85 in the sonata

is referenced in mm. 21-22 (see ex. 5), which is also related to the first half of Woods’s guide-

tone line (see ex. 6.1). Measures 13-14 in the example solo, on the other hand, use the exact

rhythm, and not the melody from m. 47 to beat three of m. 48 in the sonata (see ex. 6.3).

Example 6.3: mm. 47-48.

All of the double-time passages in the example solo are written in a bebop style, which is

similar to the bebop style of mm. 51-67 in the first movement. These double-time passages in

ex. 5 are not specifically based on any melodic material found in the sonata, although they are

still linked with the sonata by style. This is yet another way to incorporate Morosco’s suggestion

26

for the improviser to make a conscious effort to base their improvisation on Woods’s

composition. In doing so, the solo will not only be linked to the sonata, but also to Woods’s

playing style as well. Using bebop scales is an easy way to begin improvising in a bebop style.

All of the double-time lines in the example solo, except for m. 12, employ either the

dominant bebop19

or Dorian bebop20

scale (see ex. 7). The double-time line in m. 1 is a quote

from m. 52 of the sonata and is based on the A dominant bebop scale. However, it is somewhat

of a hybrid scale in that: it is a mixture of the A 5th

mode/harm minor scale and the A dominant

bebop scale because of the F natural. The double-time line in m. 11 is based on the G Dorian

bebop scale and incorporates the leading tone, F#. In m. 18, the G dominant bebop scale is used

in the double-time line over both D-/C and Bmin7(b5). Finally, the line in m. 28, which is from

a Bill Evans solo recorded on Cannonball Adderley’s composition Minority, employs the C

dominant bebop scale over the E-7 to A7(b9). The inclusion of the Bb over the E-7 chord, which

has a B natural, implies a ii chord common to a minor ii-V, Emin7(b5). Using a C dominant

bebop scale over an Emin7(b5) is identical to the relationship between the G dominant bebop

scale and Bmin7(b5) in m. 18. Furthermore, the Bb on beat two of m. 28 anticipates the flat-

ninth of A7(b9), Bb. The Bill Evans phrase ends with the sharp ninth, flat ninth, and sharp

eleventh chord members of A7, which is again similar to many of the melodies found in the first

movement of the sonata.

Many of the scales listed in figure 1.1 were used in the example improvised solo (see ex.

7).

19

The dominant bebop scale is an eight note scale that is a major scale with both the natural and flat seventh

scale degrees, therefore, the scale in C is, C – D – E – F – G – A – Bb – B.

20

The Dorian bebop scale is the Dorian mode with the major third as well, there fore, the scale in G is, G – A –

Bb – B – C – D – E – F, which is also the C dominant bebop scale beginning on G.

27

Example 7: Movement I example solo with scale annotations.

In ex. 7, note, that even though multiple scales are used concurrently, many times the resulting

melodic line can be analyzed as one scale that is usually diatonic to D minor – as my analysis of

the harmony demonstrated when I covered scale choices. In mm. 4-6, the phrase only contains

notes diatonic to D minor even though it consists of six different scales, A altered, D jazz

28

melodic minor, C# diminished, D Dorian, B Locrian, and Bb major. In mm. 18-19, the sixteenth

note line could be analyzed as G dominant bebop, even though it could also be analyzed as a

combination of three scales, D Dorian, G dominant bebop, and Bb Lydian. Also, the melody in

mm. 25-27 could be analyzed as only notes from the D Aeolian mode, even though it is a

combination of four modes, G Dorian, A Dorian, Bb Lydian, and B Locrian.

Measures 25-27, 23-24, and 17-19 of ex. 7 are three examples of using Levine’s

Continuous Scale Exercise to create a single melodic phrase through combining multiple scales.

In addition to improvising scalar lines that move in a step-wise motion (see ex. 2.2-2.3); Levine’s

scale exercise also works with other patterns such as scales that move in thirds, fourths, or some

other recurring pattern.21

In mm. 25-27, the pattern is up a fourth, down a fourth, then down a

step in the respective scale. In mm. 23-24, the pattern is up a third, down a third, then up a step

using the E dominant diminished scale and E Dorian mode. The last phrase, mm. 17-19, does

not use a specific pattern; however, the fact that the phrase is stretched through four different

chords by melodically linking them together is also reminiscent of Levine’s scale exercise.

Examples of the D and Bb major scales and Lydian modes are shown in mm. 29-32,

where the key modulates to the parallel major. The line in m. 29, which ends the Bill Evans

phrase from m. 28, is a favorite Charlie Parker phrase that is derived from the major scale.

When Parker played this melody it usually ended the phrase outlining the fifth, third, seventh,

and sixth chord tones of the tonic chord. Measure 30 is a real sequence of m. 29 in

augmentation. The next two measures use the Lydian mode in different ways. Measure 31 is a

restatement of the Parker melody with an added G#, fourth scale degree of D Lydian. The G# is

an appoggiatura on a weak beat because it is approached by leap and left by step on the second

half of beat three, which makes the note less pronounced than the E in the next measure. More

21

Levine, 124-127.

29

emphasis is placed on the E, which is the fourth scale degree of Bb Lydian, because it is left

unresolved and is the last note of the solo.

The last section of improvisation in the first movement is the piano solo in mm. 134-149.

There is some question as to the function of the saxophone during this section because chord

changes are given in the saxophone part for the entire section, as well as a melody line to be

played the last time at m. 142. Morosco suggests that “the saxophonist may join in whenever he

desires to do so. However, it should be remembered that the pianist is the dominant soloist

here.”22

I suggest the saxophonist play less active improvised counter melodies such as guide-

tone lines that emphasize certain chord members such as thirds, sevenths, ninths, and thirteenths.

At first, the lines could be less active rhythmically using whole notes, half notes, and other

unobtrusive rhythms that function as backgrounds. Then, the line could become more

rhythmically active and not only accompany the piano solo, but also interact and create a

dialogue with the pianist. The saxophonist should use the guide-tone line exercise from

exercises 3.1-3.2 to develop counter-melodies in this style.

22

Morosco, 2.

30

CHAPTER III

MOVEMENT II

The second movement of Woods’s sonata has very little improvisation. There are three

fermatas in mm. 67-68 with no chord symbols with a note from the composer that directs the

player to “…think Free Jazz à la Eric Dolphy. Let yourself go crazy!”23

Obviously, the player

could go crazy and play what ever they felt. Or, they could use the chords in the piano part as a

guide. Chord symbols that reflect the piano part would therefore be read Bb7sus, B7sus, and

C7sus as transposed for alto saxophone. The “sus” symbol represents a chord where the fourth

scale degree replaces the third. In popular styles of music, many times, the suspension does not

resolve down by step to give the chord what Levine calls a “floating quality.”24

The sus chord shares the same mode as a dominant seventh chord, Mixolydian.25

Jamey

Aebersold suggests using the following scales with a sus chord: Mixolydian, dominant bebop,

and major pentatonic built on the b7, which in Bb would be, Ab-Bb-C-Eb-F.26

The first two

scales are also used with dominant seventh chords, the only difference is how one uses the scales

because the fourth scale degree is no longer an “avoid” note.27

Aebersold suggests not to

“emphasize the third” of a sus chord,28

the note D with Bb7sus for instance. However, Levine

states that “jazz pianists often include the 3rd

in sus chords” and gives Wynton Kelly’s

23

Phil Woods, Sonata for Alto Saxophone and Piano, rev. ed., saxophone solo part (Germany: Advance Music,

1997), 5.

24

Levine, 43.

25

Ibid.

26

Jamey Aebersold, “The Scale Syllabus,” in Jazz Handbook [book on-line] (New Albany, IN: Jamey

Aebersold Jazz, INC., 2000, accessed March 2008); available from

http://www.jazzbooks.com/miva/documents/handbook/13_scale_syllabus.pdf; Internet.

27

Levine, 43.

28

Aebersold, “The Scale Syllabus,” in Jazz Handbook; Internet.

31

performance at the beginning of Mile Davis’ recording of Someday My Prince Will Come as an

example.29

Also, there is such a voicing in the piano part in m. 53 of the third movement (see ex.

10.2). Therefore, the performer has the same scale options as with a dominant seventh chord

with natural extensions in mm. 67-68 of the second movement.

Walt Weiskopf’s book, Intervallic Improvisation – The Modern Sound, will train the

improviser to play in a more contemporary style that will contrast the more bebop style of the

first movement. Weiskopf’s method essentially selects two triads that fit a particular chord and

then mixes them to create a non-linear melodic shape. This is achieved by alternating the triads

and their inversions, root/root, first inversion/first inversion, et cetera.30

For example, Ab major

and Bb major triads match a Bb7sus chord resulting in the pattern shown in ex. 8.1.

Example 8.1: Triad pair Bb, C.

The saxophonist should then practice the triad pairs that fit B7sus and C7sus, which are A and B

major triads for the former, and Bb and C major triads for the latter (see ex. 8.2).

Example 8.2: Triad pairs for B7sus, C7sus.

29

Levine, 46.

30

Walt Weiskopf, Intervallic Improvisation – The Modern Sound (New Albany, IN: Jamey Aebersold Jazz,

INC., 1995), 5-7.

32

After the triad pairs are mastered, the saxophonist should mix other scales, such as dominant

bebop, with patterns based on the triad pairs and then, “Go crazy!”31

31

Woods, Sonata, 5.

33

CHAPTER IV

MOVEMENT III

Unlike the first movement, Woods specifies even eighth notes in the third movement.

This contrasts the swing style of the improvisation section in the first movement. Also, Woods

wrote a more rhythmically specific piano accompaniment for the third movement to capture the

change in style – Morosco suggests that the pianist may move away from this as they see fit or

just repeat the pattern as written.32

A time change to 5/4 also contributes to the change in style.

The third movement is in a minor key as was the first; however, it is modal whereas the

first movement was tonic minor. A modal tune in a minor key, Dorian in this case, has a distinct

harmonic contrast to a tune in tonic minor. Tonic minor chords include minor sixth or minor

with a major seven, whereas modal tunes that are in a minor key are usually based on the Dorian

mode which has a flat seven. The flat seven is always used in the written piano accompaniment

(mm. 30-37 of the piano part from the sonata are shown in ex. 9.1). I added the chord changes

from the alto saxophone part, but transposed them to concert pitch. What is immediately

noticeable is that the Eb bass note in the beginning of each measure between mm. 34-37 does not

match the Bb-7 chord symbol. Woods is merely using Bb-7 in place of the actual chord symbol

Eb7sus, which is essentially the same chord. If Woods’s chord symbols are used, then the flat

seven of every minor seven chord is utilized, F in the first four measures, and alternating notes

Ab and Db in each of the next four measures (see ex. 9.1).

32

Morosco, 2.

34

Example 9.1: Piano, mm. 30-37.

The harmonic rhythm of this movement is much slower than the first movement. The

improvisation section, mm. 30-53, is divided into five four measure phrases that are repeated.

There is also a four measure coda that ends with a fermata (see ex. 10). Three of those phrases

use only one chord, E-7. The static harmonic rhythm is similar to other modal jazz compositions

in minor, such as John Coltrane’s Impressions, Woody Shaw’s Little Red Fantasy, and Herbie

Hancock’s One Finger Snap, where there are stretches of one chord for four or more measures.

The harmonic rhythm is quicker in the second phrase, mm. 34-37, with alternating G-7 and C-7

chords, but the chord change is repeated for four measures. The third phrase, mm. 42-45, has a

very quick harmonic rhythm with two chords for each measure that move down by fifths.

35

Example 10: Chords for the improvisation section, mm. 30-53.

There are two incorrect chords in this improvisation section. In m. 44 of the saxophone

part, the D7 on beat three should be a D7sus or A-7/D because the chord in the piano part

contains the fourth scale degree, Bb concert, and not the third, A concert (see ex. 9.2). Also, the

A9 in m. 53 should be A9sus (add C#) because the piano part contains the fourth scale degree, F

concert, in the left hand, and the third, C#, in the right (see ex. 9.3).

36

Example 9.3: Piano, m. 53.

I also edited the first ending to read “open” and the second ending to read “last time” because I

am suggesting that the soloist repeat the section more than one time.

As in the first movement, one should practice only the chord tones as a first step toward

learning the harmony. In much of the arpeggio exercise for this movement (see ex. 11), many

more chord tones are utilized due to the slower harmonic rhythm – at least for the first, second,

and fourth phrases. In the measures with E-7, for example, there is enough time to play the root,

third, fifth, seven, ninth, eleventh, and in mm. 9-12, the thirteenth. These are all valid notes to

emphasis over E-7 because the Dorian mode does not contain any avoid notes. On the other

hand, the G-7 chord only lasts for two beats and the C-7 chord for three in mm. 5-8, thus less

chord tones are covered; although, this does not relegate the improviser to always beginning with

the root. One should also begin arpeggio exercises with other chord tones such as the third or

seventh.

37

Example 11, Arpeggio exercise.

The chord symbols in the third movement are somewhat clearer with the addition of the 7

on the minor seven chords; however, the upper extensions used in the third phrase are

incomplete. For instance, the chords beginning on beat four of mm. 42 and 43 are listed as

F#7b9 and E7b9 in the saxophone part even though the piano part contains a natural thirteenth on

beat four and a flat thirteenth on beat five of both measures (see ex. 9.2). Also note in m. 45 that

all versions of the ninth are given in the first three beats, sharp ninth, natural ninth, and flat ninth

(see ex. 9.2) even though the chord given in the saxophone part is C7. All in all, it becomes

38

difficult to navigate all of the chromaticism not only because the chord symbols are incomplete,

but also because of the quick movement of the harmony.

Example 9.2: Piano, mm. 42-45.

Because there is a great deal of chromaticism in the piano part, I chose to treat all of the

dominant chords in question the same way, as altered dominant chords with a sharp fifth and

sharp ninth, 7(#9 #5). If all of the altered dominant chords use the same extensions, then the

improviser can easily link the chord changes together with real sequences as shown in ex. 11,

mm. 13-15. In m. 13, the root, third, sharp fifth, and seventh of F#7 resolve to the root, third,

sharp fifth, seventh, and sharp ninth of B7 in m. 14. The arpeggios from these two chords are

then sequenced down a whole step beginning on beat four in m. 14 with E7 and ending with the

A7 chord in the next measure. The C7 chord in m. 45, however, was not altered because it is

functioning as a predominant chord in E minor, bVI. The bVI chord in minor usually contains

all natural extensions except for the sharp eleventh, which is the arpeggio shown in ex. 11, m. 16.

After the saxophonist is comfortable with the arpeggios, they should then improvise with

only the notes from the arpeggios, as was demonstrated in the first movement. As shown in ex.

1.2, all of the inversions of the chords should be explored. At that point, they should then begin

practicing the scales that fit the chords.

Since the harmonic rhythm is slower in much of this solo section from the third

movement, the soloist needs to have various scales at their disposal to sustain an interesting solo

39

that has many contrasting ideas. In addition to Dorian, other scales can be used in this

movement, such as various pentatonic, altered, Dorian bebop, and Lydian dominant scales.

Minor seven chords dominate most of the harmony and the Dorian mode becomes

mundane from overuse. Pentatonic and Dorian bebop are other scales that can add contrast to

the Dorian mode in two different ways. Levine characterized the use of pentatonics well when

he wrote:

Pentatonic scales give music a greater feeling of space. Constructed of

whole steps and minor 3rds only, with no half steps, pentatonic scales lack

the chromaticism of other scales. More air, space, and light enter the

music when you play this larger-interval scale.33

The minor pentatonic scale34

is commonly paired with a minor seven chord. Melodies derived

from pentatonic scales are more disjunct compared to melodies derived from Dorian bebop

scales, which are much more conjunct. The Dorian mode is obviously conjunct because it is a

mode consisting of whole steps and half steps, however, the Dorian bebop scale adds one

chromatic passing tone between the third and fourth scale degrees,35

which aids the improviser in

creating melodies that are very conjunct and rhythmically sound by consistently placing the same

chord tones the downbeats throughout multiple octaves.

The scale exercise shown in ex. 12 incorporates all of the suggested scales including the

Dorian bebop and minor pentatonic scales. Note, that the Dorian bebop scales are always written

descending because that is how they commonly occur. The E Dorian bebop scale is shown in

mm. 3-4, 11-12, and the G and C Dorian bebop scales are shown in m. 6 (see ex. 12). As for the

minor pentatonic scales, I incorporated scales based on the root and on the fifth. For example, E

33

Levine, 194.

34

A minor pentatonic scale is based on -3, W, W, -3 intervals or the 1st, 3

rd, 4

th, 5

th, 7

th, degrees of the Dorian

mode. Thus, E minor pentatonic would be E, G, A, B, D.

35

Levine, 174.

40

minor pentatonic is shown in mm. 17 and 19, and B minor pentatonic is shown in mm. 18 and

20, even though the harmony is still Emin7. The B minor pentatonic scale contains the ninth and

eleventh upper extensions of Emin7. In mm. 5-8, one could use G and C minor pentatonic;

however, I chose to use G minor pentatonic throughout mm. 7-8 because all notes in the scale are

common tones between both chords, thus allowing the soloist to only think of one scale.

Example 12: Scale exercise.

41

All of the scales in mm. 13-16 in ex. 12 match the arpeggio exercise (see ex. 11). For

example, Locrian matches the first chord in m. 13, C#min7(b5), and the altered scale matches all

of the altered dominant chords. It is an alternative to fifth mode of harmonic minor as both

scales fit the same type of altered dominant chord, the difference being that the altered scale

contains no non-chord tones and all of the possible alterations, b9, #9, #11, b13 (#5).36

As for the

A-7/D chord, I used A Dorian, and for the C7 chord I used C Lydian dominant.

Internationally recognized jazz educator and saxophonist Jerry Coker has a method for

practicing difficult chord changes he calls “fermata practice.”37

Each chord of a harmonic

progression is practiced out of time with a drone or chord in the background. This exercise is

perfect for any set of chord changes, but more specifically, difficult changes that are in an

unfamiliar key or that have a very quick harmonic rhythm. This exercise should be used for the

third phrase in the sonata, mm. 42-45. The soloist should play the scales suggested for this

section out of time listening closely to how each scale degree fits or does not fit the chord. One

should classify each scale degree from more consonant to more dissonant to become more

familiar with the difference between more consonant chord tones such as the root and fifth, as

compared to more dissonant chord tones such as the flat ninth and flat thirteenth.

The saxophonist should compose a scale exercise using Levine’s Continuous Scale

Exercise as I did for the first movement. Another excellent aid for internalizing the changes is

composing an exercise based on diatonic seventh patterns, or what Levine calls “7th

Chord

Sequences.”38

These sequences are derived from the scales used in this movement and are one

36

Ibid., 70.

37

Jerry Coker, How to Practice Jazz (New Albany, IN: Jamey Aebersold Jazz, INC., 1990), 22-23.

38

Levine, 150.

42

more piece of jazz vocabulary to incorporate into an improvised solo; because, according to

Levine, “Like triads, their presence in a solo stabilizes the harmony and imparts a sense of

structure.”39

He cites solos that contain these sequences, such as Coltrane’s solo on Milestones

from Miles Davis’s recording of the same name on Columbia, Herbie Hancock’s solo on All of

You from Davis’s The Complete Concert 1964 (Columbia), and Wayne Shorter’s The Big Push

from The Soothsayer (Blue Note).40

Seventh chord sequences are essentially based on the diatonic seventh chords derived

from a scale. For example, the E Dorian mode contains seven different seventh chords built on

each scale degree, Emin7, F#min7, GMaj7, A7, Bmin7, C#min7(b5), and DMaj7. The exercise

shown in ex. 13.1a incorporates all of the seventh chords derived from E Dorian as applied to the

full range of the saxophone in eighth notes ascending and descending. Pattern #1 groups the

ascending forms of the seventh chords first to a high F#, then all of the descending seventh

chords down to low B, and then finishes by ascending to the root. Levine also suggests

alternating the seventh chords, one ascending followed by one descending. This pattern is also

shown in ex. 13.1a (pattern #2) and covers the full range of the saxophone.

39

Ibid. 40

Ibid., 150-151.

43

Example 13.1a, Diatonic seventh chords of E Dorian.

Seventh chord sequences may also be derived from the jazz melodic minor scale, which works

well with the phrase of altered dominants in this movement. The diatonic seventh chords derived

from the B altered scale are shown in ex. 13.1b, mm. 28-31. The seventh chords that result are

as follows: Bmin7(b5), Cmin(maj7), Dmin7, EbMaj7(#5), F7, G7, and Amin7(b5).

44

Example 13.1b: Diatonic seventh chords of the B altered scale.

After the saxophonist masters these seventh chord sequences in all keys of the movement,

they should then practice each pattern in time through the chord changes, which is very similar to

the Continuous Scale Exercise. The exercise shown in ex. 13.2. is based on pattern #2; however,

the pattern does not restart from the root of each chord change, the pattern continues through

each change.

Example 13.2, Diatonic Seventh Pattern #2 applied to mm. 30-49.

For instance, the descending GMaj7 chord derived from E Dorian at the end of m. 4 is followed

by an ascending FMaj7 chord derived from G Dorian in m. 5. This chord is then followed by an

45

F7 descending chord which is derived from C Dorian. The diatonic seventh chord exercise uses

chords derived from scales to force the improviser to pick the closest notes for each chord

change to break any habits of emphasizing the same chord tones or playing the same phrase on a

certain chord, just as the Continuous Scale Exercise does with scales. In the end, the soloist is

more familiar with all of the chord tones and it trains the person to create longer lines that are

melodically linked through multiple chord changes.

More than half of the exercise in ex. 13.2 adheres to the ascending or descending four

note seventh chords even though the movement is in 5/4. However, in mm. 13-end, the meter

takes precedence to show other options to the exercise, so there are only two of the four notes

used in some cases to add contrast to the melodic shape. The soloist should also experiment with

omitting notes to add rhythmic variety as shown in ex. 1.2. According to Levine, if the pattern is

“played too often in a solo, they can also get pretty boring.” He continues with the suggestion to

“be rhythmically inventive, and see if you can find ways to transform these exercises into

music.”41

Listening to the examples Levine suggests, by Coltrane, Hancock, and Shorter, would

also give the soloist ideas for using seventh chord sequences musically.42

As with the first movement, I composed an example improvised solo for the third

movement that not only incorporates the scales, arpeggios, and exercises, but that is also based

on the themes, rhythmic ideas, and the harmony of the third movement. I used the same method

for composing the solo as was used for the first movement. First, I practiced all of the exercises

covered for this movement. Second, I recorded myself improvising with the written piano

accompaniment. Finally, I edited the solo to fit the parameters discussed here. The result was a

solo that is essentially a mix of melodic and rhythmic material derived through analysis of the

41

Ibid., 154.

42

Ibid., 150-51.

46

composed material from the third movement, and from the exercises (ex. 11-13.2). This solo is

shown in ex. 14.1.

Example 14.1: Movement III example solo.

47

Five motives from the third movement were incorporated throughout the example

improvised solo. Each motive was embellished and developed melodically and/or rhythmically

by using the exercises shown in examples 11-13.2.

Motive a (ex. 14.2a) is from mm. 28-29 in the saxophone part of the sonata, two

measures before the improvisation section begins.

Example 14.2a: motive a, alto, mm. 28-29.

Motive a appears in retrograde in m. 1 of the example solo, functioning as an answer to the

original statement two measures earlier, and then it also appears, as written, in m. 2; however, in

both measures it occurs 1 ½ beats earlier than the original. Beginning in m. 3, the first two

phrases are combined and embellished with an added note to emphasize the ninth, F#. Motive a

is then tonally sequenced in m. 5 where the F# changes to an F natural, the flat seventh of

Gmin7, D is unchanged, and the preceding C# and B are lowered by a half step to C and Bb, the

flat seventh of Cmin7. The development of motive a ends in mm. 6-7 with two phrases based on

mm. 3-4. Both phases use the G minor pentatonic scale for melodic embellishment, along with

48

compound rhythms to increase the forward motion that is continued with the double-time phrase

that follows.

The strictly rhythmic embellishment of motive b quickly follows in mm. 10-11 (ex. 14.1)

after the double-time bebop phrase. Motive b occurs throughout the third movement in the piano

and the saxophone. It is closely related to motive a in the fact that they both begin and end with

the notes F and D concert and are derived from concert G Dorian.

Example 14.2b: motive b, piano, m. 30.

Three different rhythmic variations of motive b occur in mm. 10-11 – the first variation being in

diminution and the rest becoming increasingly more syncopated.

There is a version of motive b transposed up a perfect fourth in m. 35-36 of ex. 14.1. The

differences are that there are two chords in the harmony, A-7/D and C#7(#9), not just E-7, and

that the fourth note of the phrase is raised a half step, changing the note to a leading tone which

implies tonic minor not Dorian.

Variations of motive c appear in two phrases of the example solo, mm. 14-15 and mm.

33-35.

Example 14.2c: motive c, alto, mm. 14.

The motive is only melodically embellished in the first of the two phrases, where the rhythm is

unchanged but all notes are different except for the note G. The other notes are derived from the

suggested scales, which are A Dorian for A-7/D and altered for all the others. These scales are

49

ideal since the improviser does not have to be concerned with non-chord tones and can

concentrate solely on the melodic line. In this case, there are two melodic lines that begin in m.

13. The top line is the note G that does not change. The bottom line begins on beat two of m. 13

with the note A and ascends chromatically to the D on beat four of m. 15 (see ex. 14.1).

In the second phrase, mm. 33-35, both the rhythmic and melodic material of motive c are

embellished. Each measure begins with the original rhythm, but each ends with a different one.

These endings are based on the fifth mode of harmonic minor scales and not altered because of

the inclusion of the fifth of F#7(b9) and E7(b9). The material could also have been derived from

dominant diminished due to the exclusion of the thirteenth of F#7(b9) and E7(b9). According to

Levine, the dominant diminished scale is usually paired with the chord symbol 7(b9).43

However,

in this case both the natural and flat thirteenth of F#7(b9) and E7(b9) appear in the piano part

(ex. 10.1), so altered, dominant diminished, and fifth mode of harmonic minor are all appropriate

choices.

Motive d is part of the principal melody of the entire movement in mm. 3-7 of the alto

part.

Example 14.2d: motive d, alto, m. 5.

Defining characteristics include the blue note, A#, resolving to A, the sixteenth note-triplet turns,

and the overall descending melodic shape in diatonic thirds in E minor. The blue note, A#,

creates dissonance that is then resolved through A on beat three, G on beat four, F# on beat five,

and then E on beat one of m. 6. A very similar guide-tone line is used in mm. 29-32 of the

43

Ibid., 81.

50

example solo (ex. 14.1), although the resolution is delayed. The A#-A motion is repeated in

different rhythmic patterns between mm. 29-31 creating a great deal of intensity and forward

motion, which is not resolved until m. 32 where an unaltered fragment of motive d appears.

Complete restatements of motive d appear in mm. 37 and 40 of the solo. Quoting the melody

toward the end of an improvised solo is a way to resolve tension and to signal the end of a solo.

Motive e is from mm. 23-25 of the sonata in the saxophone part.

Example 14.2e: motive e, alto, mm. 23-25.

It is an ascending B dominant diminished scale in quarter notes. Only the melodic shape and

quarter notes are incorporated in m. 39 of the example solo. Instead, an E minor pentatonic scale

is used to match the Emin7 chord and to link the last to statements of motive d (ex. 14.1).

The rest of the example solo (ex. 14.1) is derived solely from the suggested scales,

arpeggios, and seventh chord sequences found in ex. 11-13.2. Highlights of these phrases include

three based on the Dorian bebop scale, three created from spinning-out a small motive derived

from the particular scale, and four based on sequences derived from diatonic triads and seventh

chords.

The three phrases based on the Dorian bebop scale all begin with the same motive in

three different keys. In m. 8, the first chord is Gmin7, thus the bebop scale is G Dorian bebop.

The melodic shape of the first five notes of the bebop line is similar to what David Baker calls an

enclosure. An enclosure is created when two notes precede a chord tone, one a half step above

and one a half step below. 44

In ex. 14.1, however, there are four notes that precede and enclose

44

David Baker, How to Play Bebop, vol. 1 (Van Nuys, CA: Alfred Publishing Co., Inc., 1985), 7.

51

the chord tone, Bb, on beat two, G# and A below and B and C above. The phrase continues with

the notes, Bb-C-D-F or 3-4-5-7, which are the defining notes of the minor pentatonic phrase

three measures earlier (mm. 5-7). The very same bebop phrase, in double-time, is found in m.

19, although it is based on the E Dorian bebop scale. The last instance of the bebop phrase is in

m. 25, however, this time it is in eighth note triplets and is based on the C Dorian bebop scale,

but it still ends with the four note motive, Eb-F-G-Bb or 3-4-5-7.

The last two bebop phrases in mm. 19 and 25 end with material created by spinning-out a

small scalar based motive. In m. 19, for instance, the descending perfect fourth beginning with

F# on beat three is tonally sequenced up a step in E Dorian beginning with the note G on beat

four, then the motive is changed to down a fourth, up a step, beginning with A on beat five, and

then again beginning with the B in m. 20. A similar sequence is used in mm. 26-27, although

instead of down a fourth, up a step, the sequence is down a third (major or minor), up a step.

Also, the sequence is applied to interchanging chords, Gmin7 and Cmin7, which easily works

because E or Eb is the only note difference between the two chords. The next phrase, mm. 28-

29, is a combination of the two sequences; m. 28 uses fourths and m. 29 uses thirds.

The Weiskopf triad pair theory applied in the second movement is also applied here in

the double-time phrase beginning in m. 12 and ending on beat one of m. 13. The line from beat

three to the end is based on a pair of major triads. The harmony is Emin7, thus A and G major

triads are derived from the E Dorian mode. The sequence starts with an A major triad in first

inversion (3-5-1-3), followed by a descending G major triad in first inversion (3-1-5-3). This

sequence is then applied to both triads in root position beginning on beat five and ending on beat

one of m. 13.

52

The phrase beginning with the pickup to m. 23 and ending in m. 25 is constructed of

triadic and seventh chord sequences derived from the E and G Dorian modes. The following

diatonic triads found in m. 23 are derived from E Dorian: A major, G major, F# minor, E minor.

The E minor triad is elided with the first seventh chord, C#min7(b5), which ends on the first beat

of m. 24. The descending stepwise root movement of the triads in m. 23 is continued with the

following diatonic seventh chords to E Dorian in mm. 24-25: C#min7(b5), Bmin7, A7. The line

ends in m. 25 with one seventh chord derived from G Dorian, Gmin7.

The last phrase based on seventh chords is in m. 16. The measure begins with an

Emin7(b5) chord which outline the third, fifth, flat seventh, and ninth of C7. An Amin7(b5)

chord follows, beginning on beat three, which outlines the same chord tones of F7, however, the

chord is actually the a tritone substitution of F7, B7(b9). Thus, the chord tones outlined are the

seventh, flat ninth, third, and flat thirteenth. Just as an improviser may choose different scale

degrees to emphasize certain chord tones, diatonic chords, whether triads or seventh chords, may

also be used in the same way. Thus, the diatonic seventh chords chosen in m. 16 emphasize the

upper-extensions of the harmony.

53

CHAPTER V

MOVEMENT IV

There are only a few instances of improvisation in the fourth movement, two measures in

the beginning, the last two measures of the cadenza, and the section that follows the cadenza,

mm. 110-113. As with the second movement, there are no chord symbols, but only guidelines

given for the areas of improvisation. Guidelines like, “improvise using harmonics,” “growls and

extreme harmonics,” and “improvise overtones” only give the improviser a general idea to

follow.45

However, more specific information is given in the score. For instance, melodies and

harmonies that accompany these sections may be used to give more specific ideas to the soloist.

The chords found in mm. 4-5 of the piano part, for instance, give harmonic grounding in

the phrase “improvise using harmonics.” If those two measures were analyzed as one minor

seventh chord placed on top of another minor seventh chord, then the chord symbol would read

in concert pitch, Emin7 directly over Bbmin7 (see ex. 15).

Example 15: Piano, m. 4.

Collectively, the two chords contain eight different pitches, which if organized linearly make up

the Bb dominant diminished scale, Bb-B-C#-D-E-F-G-Ab. Morosco suggests playing the “blues

motif in measure 2 two octaves higher”46

which does continue the style of the movement.

45

Woods, Sonata, 9.

46

Morosco, 2.

54

However, knowing that both chords collectively create a concert Bb dominant diminished scale

gives the improviser much more material to choose from than just a concert Bb blues scale. In

addition, it also allows them to play “freely,” as the movement dictates.

The “repeat ad lib.” section between m. 110 and 113 is another section based on the blues

motif in m. 2, this time played repeatedly in the right hand of the piano. Even though there are

no poly-chords in this section, the appearance of the blues motif in Bb mixed with the D

chromatic scale in the left hand, also lends itself to the Bb dominant diminished scale because of

the mixing of the major and minor third scale degrees. Of course, the Bb blues scale would also

be appropriate.

The blues scale would also lend itself to the end of the cadenza due to the notes given,

but there are other possibilities for improvising a cadenza. First, cadenzas in a jazz style are

often based on the chord progression, although there are no chord symbols given. Finally, the

cadenza could be based on melodic material found in the movement, which is how the written

part of the cadenza begins. The soloist could then develop that material however they chose, and

could also include “growls and extreme harmonics” as directed in m. 108. One recent example

of this is Branford Marsalis’ improvised cadenza on Ibert’s Concertino da Camera, which is

recorded on Creation. He starts with the written cadenza and then transitions to his own

improvised material that is based loosely on what Ibert composed. However the improviser

chooses to play the cadenza, the solo should be grounded in the harmony, style, and/or melodic

language of the section.

55

CHAPTER VI

CONCLUSION

This performer’s guide is essentially a pedagogical tool to be used by the saxophonist

with little or no experience in jazz improvisation who is looking for analytical tools to begin

practicing this performance technique in a crossover work. For those who have no experience

using material such as scales, chords, and/or ideas from the piece to improvise a solo in a work

such as this, it can be an overwhelming experience. And, as in many artistic endeavors,

acquiring the resources to improvise only comes after much repetition and memorization to build

a jazz vocabulary on which to draw from when playing an improvised solo. However, the

reward of practicing this art form for many months is being able to use it as another means for

artistic expression.

The guide may also be of interest to the experienced improviser who will use it to explore

new ways of improvising a solo in a crossover work of this nature. The exercises are written in a

way to help the saxophonist create solos that are grounded in the style of this work by using the

harmonic and melodic language used by Woods. Hopefully, there will be at least one or more

ideas in the guide that is new to even the experienced improviser.

Most importantly, this guide is written in a way to be used with any work in this genre

that contains improvisation. It is my intent that this guide will help those saxophonists who

would not otherwise perform a crossover work in the style of the Woods sonata due to the

sections of improvisation. Performance of this work and others in this genre, such as the sonatas

written by Bill Dobbins and Ramon Ricker, will stimulate “the growing interest in crossing the

56

boundaries between jazz and classical music,”47

which is extremely important to any saxophonist

striving to fully develop their musical potential.

47

Ramon Ricker, Jazz Sonata (Germany: Advance Music, 1994).

57

BIBLIOGRAPHY

Aebersold, Jamey. Jazz Handbook. New Albany, IN: Jamey Aebersold Jazz, INC., 2000.

Baker, David N. A Creative Approach to Practicing Jazz. New Albany, IN: Jamey Aebersold

Jazz, INC., 1994.

Bergonzi, Jerry. Inside Improvisation – Melodic Structures, vol. 1. Germany: Advance Music,

1992.

____________. Inside Improvisation – Pentatonics, vol. 2. Germany: Advance Music, 1994.

Brennan, David. “A Performer’s Analysis of Phil Woods’ Sonata for Alto Saxophone and

Piano.” DMA diss., University of California, Los Angeles, 2004.

Coker, Jerry. How to Practice Jazz. New Albany, IN: Jamey Aebersold Jazz, INC., 1990.

DeGreg, Phil. Jazz Keyboard Harmony. New Albany, IN: Jamey Aebersold Jazz, INC., 1994.

Dobbins, Bill. Sonata for Soprano or Tenor Saxophone and Piano. Germany: Advance Music,

1991.

Levine, Mark. The Jazz Theory Book. Petaluma, CA: Sher Music Company, 1995.

Liebman, David and Philippe Roche. David Liebman Solos. New Albany, IN: Jamey Aebersold

Jazz, INC., 1990.

Morosco, Victor. “Notes Interpretation and Performance.” Notes to Sonata for Alto Saxophone

and Piano, rev. ed. Germany: Advance Music, 1997.

Perrine, John Mark. “Crossover considerations: Performing three works by Ludmila Ulehla, Phil

Woods and Bill Dobbins.” DMA diss., Louisiana State University, 2002.

Ricker, Ramon. Jazz Sonata. Germany: Advance Music, 1994.

Sancho-Velazquez, Angeles. “The legacy of genius: Improvisation, Romantic imagination, and

the Western musical canon, Ph.D. dissertation.” Ph.D. diss., University of California, Los

Angeles, 2001.

Weiskopf, Walt and Ramon Ricker. The Augmented Scale in Jazz. New Albany, IN: Jamey

Aebersold Jazz, INC., 1993.

Woods, Phil. Sonata for Alto Saxophone and Piano, rev. ed. Germany: Advance Music, 1997.