5.

1 Introduction

In the previous chapter, practical applications of the Tone Clock were demonstrated,
concluding that it can serve as a useful tool to embed twelve-tone techniques in the
improvisational languages of contemporary jazz artists. In this chapter, I will discuss a
compositional technique that also contains serial elements, yet with more obvious tonal
references: Messiaen’s modes of limited transposition.

As well as composing an impressive oeuvre, Messiaen disseminated his theories

and practices in a large number of publications, such as the seven volumes of the
comprehensive Traité de rythme, de couleur, et d’ornithologie (1949-1992) and the
earlier1 and more compact Technique de mon langage musical (1956), in which he
explained his modes of limited transposition for the first time.

Organist and theorist Vincent Benitez (2008) explains that Messiaen’s modes of
limited transposition, devised in 1929, originated from his improvisation classes with
composer-organist Marcel Dupré, which implied the application of unconventional
modalities as part of the Catholic liturgy. Benitez also claims a close relationship
between Messiaen’s abilities as an improviser and the applications of the modes in his
compositions, because in a number of passages he examined, “the harmonies lie
comfortably in the hands, suggesting that they emerged from Messiaen’s
improvisations” (Benitez 2008: 135).

The first time I became acquainted with Messiaen’s modes of limited

transposition was in my days as a saxophone student, practicing Guy Lacour’s 28
Etudes pour saxophone sur les modes à transpositions limitées d'Olivier Messiaen
(Lacour 1972). Lacour arranged the transpositions of all seven modes into
comprehensive exercises that caught my interest by their mysterious sounds. However,
presenting a book with technical exercises to enhance the dexterity of saxophone
players, Lacour did not explain the theoretical or aesthetical context of these modes
within the complex musical universe of Messiaen, nor its possible application to (jazz)
improvisation.

In the context of this study, I will neither examine the role of the modes in
Messiaen’s oeuvre, nor his practices as an improviser. My fascination with Messiaen’s
modes concerns their options for (composing) improvisers to transcend conventional
tonal practices. In section 1.4.4, I mentioned as my motivation for this study that I was
unhappy with my writing and improvisations. Can operations with Messiaen’s modes
satisfy my need for innovative harmonic issues as alternatives to my practices with the
tonal system? Just like the twelve-tone related techniques in chapter 4, I consider the
operations with Messiaen’s modes, discussed in this chapter as practical tools with the
potential to help (composing) improvisers enriching their artistic palette. Since the focus
in this study is mainly on the melodic and harmonic applications, other compositional
techniques developed and discussed by Messiaen, such as his comprehensive
approach to rhythm, will only receive limited attention.

The layout of this chapter is as follows. After an outline of Messiaen's basic

theory in subchapter 5.2, subchapter 5.3 displays interval analyses of all modes
followed by examples of basic mode embellishments. In subchapter 5.4, I discuss
applications of Messiaen’s modes of limited transposition in the jazz practices of
guitarist Nelson Veras, baritone saxophonist Bo van der Werf, tenor saxophonist Jasper
Blom, and soprano saxophonist Steve Lacy. Instead of presenting a historic overview of
jazz artists who applied Messiaen’s modes in their compositions and improvisations, for
instance from guitarist Jim Hall’s composition “Two’s Blues” on the LP Concierto (1975),
via drummer Bill Stewart’s compositions on the CD Telepathy (1997), to pianist Pablo
Held’s improvisations such as in “Gray” on Sebastian Gille’s CD Anthem (2011), I
decided to focus on the works of Veras, Van der Werf, Blom, and Lacy, because, in
their compositions and improvisations, and in the relationships between them, they
show a diversity of applications of all of Messiaen’s modes that are relevant in the
context of this study.

Then, in subchapter 5.5, I will discuss a number of examples of my own

applications of Messiaen’s modes. Questions that will be dealt with are: How do my
works relate to Messiaen’s ideas and to the works discussed in subchapter 5.4, and
how do they contribute to my research aim to investigate techniques helping
(composing) improvisers to move beyond their usual tonal practices? Subchapter 5.6
contains a generative compendium of melodic patterns, meant to serve other musicians
as a point of departure for creating their own variations. In subchapter 5.7, the
operations with Messiaen’s musical techniques in this chapter will be evaluated in the
context of my principal research question and the methods discussed in chapters 3 and
4.

next >
ex 5.2.2.4

5.2.3 Third mode (M3)

Structure of M3
Messiaen divides his third mode of limited transposition (M3) into three symmetrical
groups of four notes (each). It has four possible transpositions. Messiaen refers to this
mode as “the chord of the augmented fifth” (Messiaen 1956: 60). M1 (the whole-tone
scale) is embedded in this nine-tone scale.

ex 5.2.4.3

In the following example, the operations “skip 2 notes”, “skip 6 notes”, and “skip 4 notes”
work well to illustrate the characteristic sound of M4. They all result in two segments
containing dyads with dissimilar intervals. In the first and second lines they are ordered
a–a–a–b, in the third line they are ordered a–a–b–a.
ex 5.2.5.4

5.2.6 Sixth mode (M6)

Structure of M6
According to Messiaen, his sixth mode is formed with two segments of five notes. Each
group contains two major seconds followed by two minor seconds.
ex 5.2.7.2

Embellishments of M7
Operation “skip 4 notes” results in a succession of similar intervals of augmented
fourths within two segments at the distance of an augmented fourth.
ex 5.2.2
In order to make the embellishments in the following sections sound less predictable, I
will randomly add variations to them, by alternating the ascending and descending
directions of the lines and the dyads.
ex 5.2.1.2

Embellishments of M1
The following examples display the “skip 1 note”, “skip 2 notes”, “skip 3 notes”, and
“skip 4 notes” operations on all (accentuated) degrees of the basic mode. They result in
successions of similar intervals, respectively major thirds, augmented fourths,
augmented fifths, and minor sevenths. In bars 1–2, and in bars 7–8, all intervals are
played in ascending direction. In bars 3–4, and 5–6, the intervals are played in
alternating ascending and descending directions. The successions of six similar
intervals emphasize the characteristic symmetry of the whole-tone scale and its tonal
color of the augmented chord (see section 5.6.1).

ex 5.2.3.1

Interval analysis reveals that two ways of grouping the segments are possible. The first
line reflects Messiaen’s division shown above, displaying three 2+1+1 tetrachords, with
every next tetrachord starting on the last note of the preceding one. The second line
shows that, without repeating the root note, it can also be considered as a sequence of
three 2+1 trichords at distances of major third intervals.
ex 5.2.4.2
 

Embellishments of M4
Operation “skip 3 notes” perfectly illustrates the symmetry of CM4: two symmetrical
segments at an augmented fourth distance, both containing a succession of dyads with
the same augmented fourth intervals.

ex 5.2.6.2

Embellishments of M6
The next succession of dyads with similar intervals of augmented fourths inside two
segments at an augmented fourth distance results from operation “skip 3 notes”.
ex 5.2.6.4

5.2.7 Seventh mode (M7)

Structure of M7
With ten pitches, the seventh mode contains the largest number of pitches of all modes.
It is only two pitches away from being a chromatic scale. According to Messiaen it is
formed with two groups of six notes. Each group displays the intervallic structure of
three minor seconds, followed by one major second and another minor second.

ex 5.2.7.4
To summarize the exposition of Messiaen’s seven modes, both the interval analyses
and the embellishments of the modes illustrate Messiaen’s notion of the “charm of
impossibilities” (Messiaen 1956: 58). With this term, he indicates the “strange charm” of
the modes due to their limited transpositional possibilities. However, this does not mean
that the sound of the modes becomes more interesting when the amount of their
transpositions is smaller. Certainly, M1 (two transpositions), M2 (three transpositions),
and M3 (four transpositions) have strong characteristics. However, in my opinion, the
same goes for (the embellishments of) M4, M5, and M6, which contrasts with
Messiaen’s statement that they are “transposable six times, and presenting less
interest, for the very reason of their too great number of transpositions” (Messiaen 1956:
58). In the case of M7, I consider the large amount of pitches, rather than the numerous
possible transpositions, as the main reason for being less interesting.
Based on my musical experiments and experience, I maintain that my examples
of mode embellishments manage to create a form of “strange charm” even to the less
interesting modes; besides, they also enhance the charm of the less transposable ones.
Therefore, in my predominantly melodic approach to Messiaen’s modes, embellishment
techniques are as important as the numbers of possible transpositions.
The interval analyses I have added as an alternative to Messiaen’s expositions of
the modes are meant to mark the segments they are formed with more precisely. Thus,
the symmetry of their segments, responsible for their characteristic tonal ambiguities, is
illustrated more clearly, helping the musician to either emphasize the various tonalities
or to leave them aside. After all, according to Messiaen, his modes are “at once in the
atmosphere of several tonalities, without polytonality, the composer being free to give
predominance to one of the tonalities or to leave the tonal impression unsettled”
(Messiaen 1956: 58).

The following subchapter discusses applications of Messiaen’s modes by four

(composing) improvisers introduced in subchapter 5.1. How do Veras, Van der Werf,
Blom, and Lacy use the modes, and how do they treat the tonal ambiguities? Rather
than present a kind of historic overview, I have selected their works because they show
melodic applications of one or a limited number of modes in a way that connects to the
predominantly melodic approach to improvisation that is the subject of this study.
Moreover, taken together, the following four examples show applications of all seven
modes.

next >

5.2.1 First mode (M1)

Structure of M1
The first mode of limited transposition (M1) is formed with six groups of two notes.
Messiaen explains that M1 has two transpositions. In the following example, its basic
form starting on the note c, is called the first transposition. The second is its
transpositionup a minor second. The next transpositions are irrelevant because they
would contain the same notes as the first and the second transposition.

ex 5.2.1.3

5.2.2 Second mode (M2)

Structure of M2
Messiaen’s second mode of limited transposition (M2) has three transpositions. It is
formed with four symmetrical groups of three notes (each). Thus, M2 displays four
trichords, themselves divided into two intervals: a minor second and a major second.

ex 5.2.2.3

Next, the operations “skip 2 notes”, “skip 4 notes”, and “skip 6 notes” result in segments
containing dyads with dissimilar intervals: a perfect fourth (5) and a major third (4), a
perfect fifth (7) and a minor sixth (8), and a minor seventh (10) and a major seventh
(11). Because of these dissimilar intervals and their irregular directions, the following
mode embellishments could sound less predictable than the ones in the example
above.
ex 5.2.3.3
In the following lines, the operations “skip 3 notes”, “skip 4 notes”, “skip 6 notes”, and
"skip 7 notes”, result in segments containing combinations of dissimilar intervals.
Augmented and perfect fourths, perfect and diminished fifths, minor sevenths and major
sixths, and major and minor sevenths, appear in different orderings: a–b–b in bars 1
and 3; a–b–a in bars 2 and 4. The combination of these larger intervals with their
specific orderings highlights the interesting structure of this mode that, constructed of
three symmetric segments, includes the minor and major thirds as well as the minor and
major sevenths on the “root notes” of the parallel segments.

ex 5.2.4.1
Interval analysis of this mode without repetition of the initial note reveals two tetrachords
with the similar intervallic construction 1+1+3, two minor seconds and a minor third, at
the distance of an augmented fourth.
ex 5.2.5.1

The following interval analysis of this mode without the initial note repeated reveals two
1+4 trichords at the distance of an augmented fourth.
ex 5.2.5.3
Operations “skip 1 note” and “skip 2 notes” result in the interval groupings of perfect
fourths and major seconds, and major seventh and minor sixths, both in the order a-a-b.
The third line shows combinations of perfect fifths and minor sevenths in the order a-b-
a.
ex 5.2.6.1

Interval analysis of the sixth mode without repetition of the initial note displays two
2+2+1 tetrachords at the distance of an augmented fourth (6). In other words,
Messiaen’s mode M6 displays the first tetrachords of the C and the F♯ major scales.

ex 5.2.7.3

The following example shows how operation “skip 2 notes” results into two segments
containing successions of dyads with minor and major thirds in the order a-b-b-b-a. In
the second bar “skip 7 notes” creates successions of major sixths and minor sevenths in
the order a-b-a-b-a.
ex 5.2.1

The exposition of his “own modes of limited transposition” (Messiaen 1992 VII:
50) is only one of Messiaen’s compositional techniques. Their potential for application
by (composing) improvisers will become evident from the practical examples discussed
in this chapter. Other techniques such as extended rhythms and operations with “non-
retrogradable rhythms” (rhythmic palindromes: rhythms that, played from right to left,
sound the same as played from left to right) will be less apparent. Looking back to the
concepts of “playing outside the chords” and “creating intended harmonic vagueness,”
introduced as potential techniques to develop the improviser’s personal sound in
chapters 1 and 2 of this study, the important question is how these operations with
Messiaen’s modes can enhance the practices of (composing) improvisers.

The arrangement of this subchapter is as follows. Sections 5.2.1 – 5.2.7 are

meant to expose the structures of Messiaen’s modes. Each section displays the basic
mode followed by an analysis of its intervallic and segmental structure. This is followed
by examples of so-called “mode embellishments” which I define here as scale
variations. Dividing the scales into dyads with intervals that can be gradually increased
(starting with thirds, then fourths, fifths, etcetera), could be applied effectively to study
the individual colors of Messiaen’s modes. I connect each degree of the mode to the
one that is a fixed number of steps higher or lower. Put in its simplest form, I call these
embellishments “skip 1 note”, “skip 2 notes”, “skip 3 notes”, etcetera.
The following example illustrates the application of the “skip 1 note”
embellishment to CM3, resulting in three segments at a major third (4) distance, each
containing a combination of a minor third (3), a major second (2), and again a minor
third (3). Regarding the notation, the intervals within the dyads are written above the
staff, unless all intervals are similar. In the latter case, they are omitted. The intervals
between the segments are written under the staff. The degrees of the basic modes are
always accentuated.
ex 5.2.1.1
M1 can be identified as the whole tone scale. It is also embedded in the modes M3 and
M6 (see 5.2.3 and 5.2.6).
Interval analysis shows that there are two ways to divide M1 into two symmetrical
segments. Instead of Messiaen’s six groups of two notes, two groups of four notes are
marked in the first line, still matching his principle of “the last note of a group always
being common with the first of the following group” (Messiaen 1956: 58). The second
line displays M1 as two separate trichords, arranged at the distance of an augmented
fourth, without repetition of the root note c.
ex 5.2.2.1
Among jazz improvisers, Messiaen’s second mode is widely known as the octatonic
(eight-tone) scale, or as the diminished scale ordered in a succession of minor and
major seconds (the so-called “half-tone–whole-tone” ordering). In the first line of the
following example, interval analysis reveals four overlapping 1+2 trichords, steered by
intervals of minor thirds, with every next group starting on the last note of the preceding
one. In the second line the eight-tone scale is divided into two segments of 1+2+1
tetrachords at a tritone distance. Both lines clearly express the symmetry of this mode.
ex 5.2.3.2

Embellishments of M3
M3 allows the improviser a large variety of scale embellishments. The operations “skip 2
notes” and “skip 5 notes” result in three segments at a major third (4) distance, each
containing three dyads with similar intervals: major thirds, and their inversions, minor
sixths.

ex 5.2.3.4

5.2.4 Fourth mode (M4)

Structure of M4
Messiaen relates his modes M4, M5, M6 and M7 to the interval of the augmented
fourth: “These modes are transposable six times, like the interval of the augmented
fourth” (Messiaen 1956: 61). Each of these four modes can be divided into two
symmetrical groups, an augmented fourth interval apart. Messiaen divides M4 into two
groups of five notes as follows.
ex 5.2.5.2

Embellishments of M5
Operation “skip 2 notes” in the following example demonstrates the symmetry of M5.
Just as in section 5.2.4 two symmetrical segments appear at an augmented fourth
distance, both containing a succession of dyads with the same intervals.

ex 5.2.7.1

Interval analysis of the mode without repetition of the initial note displays two groups of
five notes at a distance of an augmented fourth interval. Each of the two groups
consists of three minor seconds and one major second.
ex 5.2.4.4

5.2.5 Fifth mode (M5)

Structure of M5
The fifth mode of limited transposition (M5) is the same as the fourth, but with the third
and the seventh note omitted. According to Messiaen, it is formed with two groups of
four notes as follows.
ex 5.2.6.3

The application of operation ”skip 1 note” on CM6 creates the most complicated interval
collection so far: both segments, arranged at the distance of an augmented fourth (6), in
the first line of the following example contain dyads with intervals of a major third, two
minor thirds, and a major second in the order a-b-c-b. Operation “skip 2 notes” executed
in the second line creates two segments containing two perfect fourths and two major
thirds in the order a-b-b-a. By manipulating the directions of the intervals, both lines
manage to obscure the bare symmetric structure of CM6.
5.2 Messiaen’s seven modes of limited transposition
Throughout his career as a composer and educator, Messiaen has explained his modes
of limited transposition in a number of publications, the first being Technique de mon
langage musical (1956). Meant for the students who wanted to get acquainted with his
works, the “little theory” is accompanied by a second volume with musical examples
quoted from his own works. In chapter XVI Messiaen exposes the “mechanism” of his
seven modes of limited transposition that “can be used melodically, and especially
harmonically, melody and harmonies never leaving the notes of the mode” (Satterfield in
Messiaen 1956: 58).

In volume VII of his impressive Traité de rythme, de couleur, et d’ornithologie

(1992) Messiaen provides more detailed information on the structures and applications
of modes 2, 3, 4, and 6. He explains that his modes of limited transposition have
nothing to do with tonalities, neither with rows, nor with (his detailed expositions of)
Chinese, Hindu, Greek, and church modes, claiming that “the chords that can be formed
with the modes have to be thought and read modally, and not following the rules of
classical harmony” (Messiaen 1992: 50, my translation). Rather than in terms of tonic
and dominant, or serial principles, he defines them as “colors, harmonic colors. Every
mode […] has its particular color, due to that actual impression of a closed door, or a
closed circuit, and also to the different combinations of sounds which cause its limited
number of transpositions” (Messiaen 1992: 51, my translation).
 

How does the concept of limited transposition work? In contrast with conventional
diatonic scales and modes, occurring in twelve possible transpositions, the options of
transposing Messiaen’s modes are restricted, because beyond a certain number of
transpositions the same notes will sound again. For instance, as shown in the following
example, taking CM2 (“M2” refers to the second mode, while the “C” indicates the first
note of the mode) with its three possible transpositions (bars 1–3), the fourth
transposition (bar 4) displays exactly the same notes as the first, while the fifth (bar 5)
will give exactly the same notes as the second (bar 2).
ex 5.2.2.2

Embellishments of M2
Both the symmetry of M2 and its tonal color of the diminished chord are illustrated in the
following lines. All of the operations, “skip 1 note”, “skip 3 notes”, and “skip 5 notes”,
divide the mode into four symmetric segments at a minor third distance. Each segment
contains two dyads with similar intervals: minor thirds, augmented fourths, and major
sixths. In order to avoid a predictable sound, I randomly modified the directions of the
dyads and the lines.
ex 5.3.2.4
“Calcutta” (Bo van der Werf) – alto saxophone solo fragment

The next example shows the first half of Van der Werf’s baritone saxophone solo,
played on the second solo form. The accompanying chords are the same as in the first
solo form, but now the chords are played twice as fast, and strongly punctuated. In
contrast with the predominant chord-scale approach in the alto solo, Van der Werf plays
a loose application of F♯M2 as an overall superimposition on the complex rhythmic and
harmonic structure accompanying his solo.
The encircled passages in the transcription mark the fragments containing F♯M2
patterns with zero or few notes added to the basic mode. These additions are either
chromatic passing tones, such as the notes d and b in bar 3, or notes added
intentionally such as the note d in bar 7, g in bar 17, and b in bars 18 and 19.
♯

The brackets above selected groups of notes mark the tonal colors appearing
alongside the basic F♯M2 mode. These excursions outside the mode are the result of
Van der Werf sparsely adding neighboring notes. Because of this, the notes within the
brackets sometimes overlap the encircled fragments.
ex 5.3.3.1
“Let’s Give This Tree A Little Friend” (Jasper Blom) – mini score first section

Further on, the solo section of Blom’s composition is introduced by a “break” played in
unison and octaves by the saxophone section. This line is a “skip 1 note” embellishment
of A♭M3 (see ex 5.2.1). The final chord E♭maj7 is built on the fifth degree of A♭M3.
#5 (add#9)

example 5.3.3.5
“Let’s Give This Tree A Little Friend” (Jasper Blom) – saxophones repeating the main
theme

Evaluation
Both in the composed and in the improvised parts, “Let’s Give This Tree A Little Friend”
demonstrates how the ambiguous tonalities in Messiaen’s third mode can be used to
create adventurous musical content. The construction of the composed parts is kept
relatively simple in comparison to Van der Werf’s “Calcutta”, and the operations with M3
and M6 are quite basic. As an addition to Messiaen’s compositional techniques applied
by Van der Werf, Blom demonstrates the creating of parallel harmonies, by stacking
parallel successions of notes along the order of the modes. In his first tenor saxophone
solo he shows obvious operations with M3, highlighting the mode’s characteristic
ambiguous harmonic content. Altogether he manages to create an unconventional
musical space incorporating a clear relation between the composed and the improvised
parts of his piece.
ex 5.3.1.1.3 Nelson Veras third example

After these technical demonstrations, Veras discusses his aesthetic approach to the
Messiaen modes, which is principally melody-oriented. As he explains during the
workshop: “I like the sound of these modes melodically. I like them harmonically too but
I like just the melodies that can appear. … Actually I avoid the symmetry of it. I try to not
play, say, all the time like…” plays the following two sequences.

ex 5.3.1.2.1 Nelson Veras sixth example

Then, as shown in bars 1–3 of the next example, he plays the same mode, but now
starting on the last note, to create a Bm tonality. The lines in bars 4–5 and in bars 6–10
show embellishments of Bm. Despite their increasing complexity, Veras almost never
leaves the notes of the mode. The note d in bar 10 is the only exception.
♯

ex 5.3.3.2
“Let’s Give This Tree A Little Friend” (Jasper Blom) – break by saxophones

After this break, the saxophone quartet repeats the first line of the main melody, as a
“send-off” to Blom’s unaccompanied solo. The line is now arranged in a parallel
harmony of five stacked layers of CM3, each starting on different positions of the
mode2. These positions are marked above the brackets. They refer to the three implied
tonalities of C, E, and A♭ within CM3. Only in the alto saxophone and first tenor
saxophone parts do the lines start on the root notes of these tonalities. In all other parts
the lines are marked after the root notes that are closest to the first note of the line.

ex 5.3.3.4
“Let’s Give This Tree A Little Friend” (Jasper Blom) – tenor saxophone solo first
fragment

After this solo the saxophones repeat the main theme, again arranged in a five-part
parallel harmony. In bars 1–3 all lines are again samples of CM3, starting from different
positions in the mode. This also goes for the descending line in bars 6–7. The
descending line in bars 4–5, however, breaks the overall unity of CM3. By playing EM3
(encircled) the baritone saxophone persists, but the parts of the remaining four
saxophones play parallel harmonies with AM3, starting from different positions in the
mode.
5.3.4. Steve Lacy “Prayer”
In his composition “Prayer,” soprano saxophonist and composer Steve Lacy combines
transpositions of M3 and M5 in an arrangement for sextet, plus two vocalists reciting a
poem written by Galway Kinnell, on the CD Anthem (1990).
In bars 1–4 the three horns play the triads Db, Eb, and F . Together the notes
#11(omit5)

in these bars form the mode DbM3(add b ). The two-bar ostinato by piano and bass can
♭

be considered an incomplete representation of DbM3 (add b ). Its missing notes f, g, a,

♭

and b, are played by the horns.

 In bars 5–8 a two-part harmony line by the saxophones and the two vocalists
exposes the main melody using notes from mode CM5(add b ). The trombone now
♭

plays a contrapuntal line in which a chromatic succession between the notes g and b♭

leads to bar 8 where he plays the first half of CM5.

In bars 9–12 the vocalists continue their melody with CM5 in alternating orders
and directions, emphasizing the symmetry of the melody line in which the second half is
the inversion of the first line transposed up an octave. The soprano saxophone and the
trombone play contrapuntal lines that again represent DbM3(add b ), now with the
♭

addition of the note g .

♭

ex 5.3.4.2 "Prayer" (Steve Lacy - soprano sax solo fragment)

Evaluation
Compared to the comprehensive compositions by Van der Werf (2006) and Blom
(2014), Lacy creates a convincing result with limited means, and with a small line-up. By
means of the many repetitions of the mode, he evokes an almost spiritual atmosphere.
Lacy’s dividing of the mode between the horns and the rhythm section, thereby
considering the latter as the complement of the incomplete D♭M3(add b ) in the horn
♭

section, is an interesting compositional operation. Even more convincing are his

contrapuntal lines, particularly the trombone line in bars 9–12, displaying a contrast with
the straightforward mode pattern in the soprano saxophone part. Further on, the first
fragment of Lacy’s improvisation shows a deliberate selection of notes from D♭M3,
creating an unconventional superimposition on the D♭-pedal point played by the rhythm
section.

ex 5.3.1.1.2 Nelson Veras second example

 
In bars 1–2 of the next example, Veras plays the embedded b whole tone scale. BM3
matches here with BM1 as discussed in sections 5.2.1 and 5.2.3. Finally, in bars 3–4 he
plays a sequence of embedded minor triads, starting with F#m and ending on Bm, the
root of BM3. With this example, he shows that minor triads can be built both on the
roots of the three implied tonal centers, and on the preceding notes in the mode. The C
minor chord in bar 4 is marked with an asterisk because it is foreign to mode BM3.

ex 5.3.1.1.4 Nelson Veras fourth example

Veras continues, ”I try just to see where it takes me plays bars 1–5 of the following
examples and what kind of colors I can find plays bars 6–22.” There is a noticeable
difference between these two fragments. In bars 1–5 Veras strictly keeps to the notes in
the mode. Only in the last bar does he add the note c, which is foreign to the mode,
evoking the sound of Cm. Then, in bars 6–22 he continues playing the note c, and
combines this with two other notes that are not in the mode: e and a . The notes that
♭

sound outside the mode are marked by an asterisk. Together these notes form the
augmented triad c –e–g , sounding a minor second above the basic triad b–e –g of the
♯ ♭

mode. It could be considered as a tritone substitute of its F# dominant-seventh chord.

Furthermore, in bars 6–22 five three-voice harmonies appear. Two of these, in bars 12
and 16, can be identified as B diminished and Bm triads. The others are the incomplete
F#maj /A# chord in bar 8, and two cluster chords in bars 7 and 10 that can both be
(omit5)

regarded as first rotations of 1+5 trichords.

ex 5.3.1.1.5 Nelson Veras fifth example

With his application of BM3 that combines an intelligent usage of the mode with a
deeply embodied knowledge of functional harmony, Veras manages to create
unconventional melodic lines that evoke an intended harmonic vagueness. Admittedly,
he occasionally leaves the mode. As such, he seems to act in conflict with Messiaen’s
intentions as discussed in subchapter 5.2, of “never leaving the notes of the mode.”
However, I agree with Veras that these “false” notes are acceptable both from an
aesthetic perspective (“they sound good in the line”) as well as from the perspective of
the jazz improviser: risk-taking is an important part of the improvisational practice. Thus,
Veras’ approach convincingly proves the potential of M3 in the context of the subject of
my research.

5.3.1.2 M6
Veras’ approach in subsection 5.3.1.1 is also obvious in his operations with M6 as
shown in the following examples. First, he demonstrates his tactic named “everything
you do on this one, you can do a raised four above.” After exposing the basic mode
CM6 he illustrates its characteristic sound, playing a sequence of tetrachords at
distances of an augmented fourth (6).

ex 5.3.1.3.2 Nelson Veras tenth example

In the next example Veras introduces the G7b9 chord, as a parallel to the Db tonality in
the example above. The resulting line shows an advanced blending of the tonalities D ♭,
G, and Bm. The D♭ chord appears both as a major seventh and a dominant seventh
chord. With F minor and Bm considered as the third degrees of D ♭maj7 and Gmaj7, the
following line strictly covers these two tonalities appearing at a tritone distance in CM4.
ex 5.3.2.1
The next example shows the bass melodies in sections A and B. They are different from
the solo form above, and arranged in a non-retrogradable rhythm: section B contains
the retrograde of the rhythmic structure of section A. Both sections are identical, except
the encircled notes. The bass line as a whole contains seven fragments in which seven
Messiaen modes can be identified, reflecting a symmetrical structure in this part. C#M4
and GM4 contain the same notes, just like F#M7 and CM7. The first two modes of A
and the last two modes of B do not match, but the third and fourth of A and the first and
second of B do.
[A] C♯M4 – C♯M7 – C♯M4 – GM4         [B] GM4 (continued) – GM4 – F♯M7 – CM7
ex 5.3.2.2 “Calcutta” (Bo van der Werf) - bass line

The melody lines in section A and B contain fragments of chromatic scales. Although
these fragments imply transpositions of all of Messiaen modes, it does not make sense
to mark them individually. Therefore, I rather consider them as incomplete chromatic
scales. In the following example I have subdivided section A into parts of roughly two
bars, each displaying distinct fragments. The range between the lowest and the highest
note of each fragment is marked above the brackets. Listing the intervals between the
lowest and the highest notes displays another symmetric structure. From the first to the
last line in section A, the intervals are getting larger. From the first to the last line of
section B, the intervals are getting smaller, in both sections by groupings of two, one,
and two lines. The axis of the symmetry is between bars 10 and 11.
Résumé
So far, the analyses in this subchapter have disclosed various applications of M2, M3,
M4, M5, and M6. M6 was announced quite often, but only sparsely applied. Veras
showed a useful approach to M6 in his improvisation examples, Blom applied it in his
contrapuntal lines, and in Van der Werf’s piece it got sporadic applications both in the
composition and in the alto saxophone solo. The most frequently applied was M3. Veras
and Blom referred to its implied minor, diminished, major, and augmented triads and
seventh chords. The aesthetic qualities of M4, and particularly M5, were emphasized by
their repetitive applications in Lacy’s piece. M7 could be found in Van der Werf’s
composed bass line as a result of notes added to M4.
However different the compositions and solos, they all illustrate the potential of
Messiaen’s modes to be applied as advanced operations for (composing) improvisers
creating less conventional musical spaces. Yet, it should be noted that, in the strict
sense, the addition of notes outside the actual modes, found in all pieces analyzed
here, does not match Messiaen’s original aim of “never leaving the notes of the modes.”
Although I advise my students to avoid the addition of “foreign” notes as much as
possible (see section 5.3.2), I simply cannot disapprove of these additions in the
practices of (composing) improvisers applying the modes to create fresh and
meaningful musical content, combining the modes explicitly or intuitively with their
conventional improvisational languages.
Unfortunately, operations with basic or advanced mode embellishments,
highlighting the splendor of the modes, are rare in the music analyzed so far. Only the
operation “skip 1 note” could be identified in Blom’s saxophone section’s riff
accompanying his solo. There, Blom is also the only one creating parallel harmonies
with the modes.
In the next subchapter I will display my applications of mode embellishments and
parallel harmonies, as well as a more comprehensive application of Messiaen’s sixth
mode in some of my own compositions and improvisations.
Messiaen would have probably disliked the way jazz musicians run off with the
contrived applications of his modes. In the examples so far, they are mainly
commended for their ambiguous tonal colors, facilitating (composing) improvisers to
connect them freely to various environments. He may even have denounced these
connections as they contain the possible danger of “pan-tonality”, an interpretation of
twelve-tone music in which, instead of all twelve pitches, all keys are equally important. I
dare to counter this possible objection by quoting John Satterfield’s words in his
“Introduction to the English Translation” of Messiaen’s Technique de mon langage
musical: “The cataloguing and explanation of methods of building tonal structures may
strike a creative response in a student or mature composer” (Satterfield in Messiaen
1956: 3). I consider the actual interventions with Messiaen’s modes as typical
responses by creative jazz artists, founded on their traditions and broadening their
artistic palette by adapting elements from surrounding musical worlds. This reflects my
view of jazz music, expressed earlier in subchapter 1.2, acting as a guesthouse in which
elements from other musical worlds are welcomed.
next >

5.3 Applications of Messiaen’s modes in jazz

5.3.1 Master Class by Nelson Veras

An interesting blend of intuitive and well-informed applications of Messiaen's modes M3,
M6, and M4 was demonstrated during a master class by Brazilian guitarist Nelson
Veras at the Conservatory of Amsterdam on November 27, 2009. Veras strikes me as a
creative improviser who, as he mentioned during his master class “is constantly looking
for new ways to surprise himself.” The following sections examine a number of the lines
he played, instantaneously responding to the questions by students attending this
master class.

5.3.1.1 M3

Veras first plays BM3, Messiaen’s third mode starting from the root note b. In bars 1–3
of the example below he plays a succession of intervals of fifths and augmented
fourths3, resulting from the operation “skip 4 notes” (see section 5.2.3), and ends with a
conventionally arpeggiated Bm7 chord. Next, in bars 4–6, he illustrates the ambiguous
tonal color of this mode by firstly extending the Bm7 chord before changing it into a B
major triad at the end. Both tonal colors are implied in BM3 (see sections 5.2.3 and
5.6.3).

ex 5.3.1.1.1 Nelson Veras first example

In the following example Veras demonstrates how M3 can be considered as a sequence

of three parallel tonal centers at distances of a major third. Due to this partition of the
mode he explains that, without leaving the notes of the mode, “everything you do, you
can do a major third above or below.”
In bars 1–2 he plays the three implied minor seventh chords Bm7, Ebm7, and
Gm7. Bars 3–6 display symmetrical four-note patterns (2+2+1 tetrachords) at major
third distances in alternating directions. In bars 3–4 interval analyses reveal a sequence
of six 2+2+1 tetrachords, and in bars 3–6 a sequence of six 2+2+5 tetrachords. In bar 7
he plays a sequence of major seventh chords. All pitches in the examples below belong
to mode BM3.
ex 5.3.1.2.2 Nelson Veras seventh example

 
Taking the note b as a pivot and building a B minor tonality on it, Veras inventively
solves the “problem” of the two separate fragments from the tonalities of C and F# by
merging them into one scale with a B minor tonal color.

5.3.1.3 M4
In the following examples, Veras demonstrates his operations with M4. After his
exposition of CM4, he plays the mode up and down in bars 1–2. By stretching the notes
b in bar 1, and g in bar 2, he suggests the presence of the harmonic dominant on the
♯

fifth, sounding as the characteristic ending of the C major or minor harmonic scale: g–
g –b–c. The fragment of the mode he plays in bars 3–5 continues to illustrate this tonal
♯

reference inside M4: the dominant-seventh chord with tension notes b9 and #11. It is
resolving to the note c because since the minor or major third is lacking, it is not
possible to create a conventional C chord. The notes under the bracket represent the
scale of g mixolydian with passing notes between the root and the seventh and between
the fourth and fifth degrees of the chord.
ex 5.3.1.3.1 Nelson Veras eighth example

Veras played the following lines to highlight the chords that are implied in CM4 as a kind
of compensation for the “missing” C chord. In the first bar it is D♭maj7, and in bars 3–7 it
is Bm. Bar 2 contains the root, the second, and the major seventh, representing a (very)
incomplete C chord.
ex 5.3.1.3.3 Nelson Veras eleventh example

Evaluation
Veras offers instructive practical examples of improvising with M3, M6, and M4. He
clearly shows their tonal ambiguities by concentrating on diatonic structures embedded
in the modes as well as by picking various pivot notes as temporal tonal centers in order
to simulate harmonic cadences. With his emphatic melodic approach of the modes, he
convincingly demonstrates how he profits from their “soft guidance” to arrive at
surprising tonal colors. I consider his sparse additions of “foreign” notes to the actual
modes, resulting from his intuitive approach to improvisation, as acceptable operations
from an aesthetic point of view, for instance in order to make lines sound less
predictable, or to avoid the obvious symmetry of the mode. Thus, his applications of
Messiaen’s modes M3, M6, and M4 show their potential to help (composing)
improvisers move beyond the obsolete tracks of conventional harmony. Conversely,
objections could be raised against the fact that his lines, however instructive and useful
they are, only show one side of the coin. Freely scattering his applications of the actual
modes, he does not limit them to any context of a composition or a set of chord
changes. This particular aspect, the use of Messiaen’s modes in jazz compositions and
the interactions of the improvisations with the composed material, will be addressed in
section 5.3.2.

5.3.2 “Calcutta” (Bo van der Werf)

Baritone saxophonist and composer Bo van der Werf is widely known for his use of
Messiaen’s compositional techniques in his writings for the ensemble Octurn, and in his
improvisations. A recording of his piece “Calcutta” on the CD 21 emanations (2006)
shows examples of multiple applications.
This section will first discuss the harmonic structure of "Calcutta" in relation to
Van der Werf’s intended applications of Messiaen’s modes M2 and M6. Next, the
contrapuntal bass and melody lines will be analyzed in relation to these modes. Finally,
fragments of the alto saxophone and Van der Werf’s own solo on the baritone
saxophone will be investigated.
“Calcutta” is based on the following rhythmic structure that contains two “non-
retrogradable rhythms.” Messiaen coined this term for rhythmic palindromes: rhythmic
sequences that, repeated in reverse order, sound the same. These are the non-
retrogradable sequences in “Calcutta”:
a–b: 7/8 – 3/4 – 7/8 – 2/4 – 2/4 – 7/8 – 3/4 – 7/8
c–d: 3/4 – 7/8 – 3/4 – 7/8 – 3/4
The following example shows the first solo form, underlying the solos by the alto
saxophonist and the guitarist. The upper staff exposes the tetra-chords that are
continued throughout the tune, with the associated chord symbols written above them.
The lower staff displays the bass notes of these chords with, written above them, Van
der Werf's chord symbols or Messiaen modes M2 and M6. Van der Werf indicates that it
is up to the soloist which of the lines to pick, but that his principal reference should be
the succession of tetrachords notated in the upper staff and their relation to the bass
notes.
In bars 3, 4, 6, 15, 18, 20, 21, 24, and 26 all pitches can be identified as
members of various transpositions of M2. Bars 12, 20, and 22 contain one note that is
not in the transpositions of the present M2: the fourth note from the root (add 11). In
bars 7, 16 and 17 all pitches belong to various transpositions of M6.
ex 5.3.2.3 “Calcutta” (Bo van der Werf) - melody

The next example shows the transcription of the first half of the alto saxophone solo by
Guillaume Orti over the first solo form as shown in example 5.3.2.1.
 As noticed before, the solos can be based on both distinct accompanying lines in
solo section A, but the principal reference should be the succession of tetrachords in the
upper staff and their relation to the bass notes (example 5.3.2.1). Analysis of section A
above confirmed a close connection between the pitches in the tetrachords and the
transpositions of M2 and M6 indicated above the lower staff. In most cases, all notes
belong to the actual mode, while only in a few cases are other notes added. How does
Orti’s solo respond to the demands and the actual structure of this solo section?
The thirteen encircled passages show solo fragments in which the notes can be
connected to an actual transposition of M2 or M6. Of the nine passages that contain
transpositions of M2, seven match Van der Werf's suggestion written in the lower staff
(example 5.3.2.1). These passages are marked with an asterisk. Four passages contain
transpositions of M6, of which only one, marked with the asterisk in bar 16, matches the
composer’s suggestion. The remaining bars contain melodic ornamentations of the
chords written above them. In bars with the chords written in normal format, all notes fit
in the actual chord. In bars with the chords written in cue notes, one or more notes
sound outside the written chords.
Thus, in connection to Van der Werf’s arrangement of the solo section, Orti’s solo
contains a mix of Messiaen’s modes and conventional chord ornamentations, both
elements displaying variable grades of discipline. Just like Veras, both Van der Werf in
his composed part, and Orti in his solo, take the freedom to occasionally leave
Messiaen’s modes. Orti applies the same principle to the stated chord symbols, which
creates a sound as if he is slightly playing outside the chords.
The operations above connect well to the usual practice of the jazz artist, whose
principal goal is to instantly create musical lines that are meaningful in the context of
their actual musical environment. Just like tonal ornamentations – tonal, and non-tonal
superimpositions on conventional chord changes – these creative applications of
Messiaen’s modes appear to be a useful tool, helping (composing) improvisers to
broaden their artistic horizon.
ex 5.3.2.5
“Calcutta” (Bo van der Werf) – baritone sax solo fragment

Evaluation
“Calcutta” is a complex piece in which a variety of Messiaen’s techniques can be found,
both in the composed and improvised parts. In his accompanying text “About
‘CALCUTTA’”, Van der Werf explains that the piece is based on two modes, M2 and
M6, “but the main reference for soloing should be the written chords (four notes-chords
and their relation with the bass).” Furthermore, he employs non-retrogradable rhythms
in connection with symmetric melodic structures.

How do my analyses relate to the mentioned operations with M2 and M6? First,
in the composed parts it is striking that, in contrast to the apparent presence of M2 and
M6 in the majority of the chords, the bass melody rather uses M4 and M7. Second, by
the abundance of notes added in the melody lines of A and B, these should rather be
analyzed as (fragments of) chromatic scales. Third, concerning the solos, Orti plays
embellishments of various transpositions of M2, but his embellishments of M6 are
sporadic. Since during his solo the chords are played at half tempo, he succeeds to
apply a chord-scale approach, matching the complex harmonic structure. His
embellishments navigate between the written chords and the transpositions of the
relevant modes. Van der Werf’s solo takes M2 as its point of departure for excursions to
implied and neighboring harmonies by adding foreign notes to the mode. Thus, he
displays an inside-outside-inside approach to the mode. Within the context of this study,
this can be considered as another interesting tool to transcend the conventional chord-
scale approach.
In addition to what has been said about the operations by Veras and Orti, Van
der Werf adds a next step into the creative application of Messiaen’s modes. Veras
quite simply demonstrated the content and structure of M3, M4, and M6, with sparse
additions of notes outside of the original modes. Orti’s solo displayed the form of a
chord-scale approach by obvious references to Van der Werf’s composed structures.
But he also felt free to creatively embed notes that were outside the chords or outside
the modes. The same freedom Van der Werf took in the composed parts of “Calcutta,”
that is, to embed “foreign” notes alongside the original notes of the modes, is also
present in his improvisation. In my opinion, his application of M2 convincingly illustrates
how the combination of a strictly arranged mode and a freely creative approach
facilitates a composing improviser to enrich the jazz idiom in a convincing way.
It should however be noted that adding too many notes to the basic transposition
of a mode could cause problems. The more notes that are added to the original mode –
adding two notes to M7, three to M3, or four notes to M2 or M6, changes these modes
into twelve-tone rows – the more its symmetry and thereby its characteristic sound
tends to be obscured. Although I am not arguing in favor of a strict approach to any of
Messiaen’s modes and although I do not have objections to improvisational operations
with twelve-tone scales (see chapter 4), I advise students who employ these modes in
their compositions or improvisations to avoid (or to only sparsely apply) the addition of
extra notes.
ex 5.3.3.3
“Let’s Give This Tree A Little Friend” (Jasper Blom) – “send off” to the tenor saxophone
solo

The following example shows a transcription of Blom’s first unaccompanied solo

fragment. This passage as a whole can be considered an embellishment of CM3,
illustrating its various characteristic tonal colors. The brackets above the staff indicate
which of the three “basic tonalities” actually dominates the line: C, E, or Ab. The parts
that are encircled mark the chords that are evoked in Blom's lines.
Bars 1–8 contain repetitions and variations of a limited fragment of CM3. The
whole and half notes at the end of the fragment express the tonal anchors G and F#.
The tonal color of Gmaj7 is confirmed in bar 8. The line in bars 9–10 is disjointed
#5

because two foreign notes, f and d are added. Both notes serve as chromatic passing
♭

notes. Because of the forceful ending on the a , this line is marked AbM3.
♭

Just as in bars 1–8, Blom’s line in bars 11–18 never leaves the M3 mode. Due to
the strong presence of once again the a , this time as a fortissimo-played initial note,
♭

bars 11–16a are marked as AbM3. In bars 16b–19, as a result of playing “false
fingerings”, the "foreign" notes a and f are added to the line that is originally based on
EM3.

The encircled parts indicate a number of chords that can be identified in Blom’s
embellishments of M3. After the tonal color of Gmaj7 in bar 8, bars 11–19 show a
#5

variety of chords constructed on the three basic roots: Abmaj7; Cm ); Em, Em7,
maj7(add#11

Emin , and Emaj7 . Beside these, the G augmented tonal color sounds again.
maj7 add4
ex 5.3.4.1
“Prayer” (Steve Lacy) – introduction and theme

The D♭M3 mode also determines the sparse notes in the following first fragment of
Lacy’s soprano saxophone solo. Here, by omitting the notes e, g, and c, he uses only
six of the nine possible notes: d –e –f– a –a–b, evoking the augmented tonal color of
♭ ♭ ♭

D♭7 .
#5

5.3.3 Jasper Blom “Let’s Give This Tree A Little Friend”

In his composition “Let’s Give This Tree A Little Friend” (2014) for saxophone quartet
and big band, saxophonist and composer Jasper Blom applies combinations of different
transpositions of M3 and M6 in layers of contrapuntal lines. The following example
displays the first sixteen bars of the melody that is formed by stacking five layers upon
each other. Every time this section is repeated, another group of instruments is added.
Piano, bass and drums (not notated) start off with a descending line constructed
with mode transposition EM6 (with the note c added), followed by an ascending line
♯

constructed with EbM6. At the first repetition, the baritone saxophone and the bass
trombone play a contrapuntal line of EbM6 (ascending) and EM6 (descending). At the
second half of this first repetition, first and second trombones enter their parts with
contrapuntal lines that contain fragments of FM3 (a added) and AM3 (f added). Next,
♭ ♯

both the saxophone quartet (not notated in this score) and the saxophone section of the
big band appear. The alto and baritone saxophones play four different groups of four
notes that are arranged in intervals of major thirds and perfect fifths. Each group can be
related to a distinct transposition of M3: GbM3 in bars 1–2; BbM3 in bars 3–4 and 5–6;
BM3 in bar 7; and AbM3 in bar 8.
The soprano and alto saxophones and the fourth and fifth trumpets expose the
main melody which contains two transpositions of M3, in three short fragments and in
prime forms: EM3 in bars 1–3; AM3 in bars 4–5; and again EM3 in bars 6–7. Because
AM3 belongs to the same mode as FM3, the melody can be considered as a
construction of two transpositions of M3 at a minor second distance. Thus, it reflects the
structure of the rhythm section and the lowest horns, but with EM3 and FM3 instead of
EbM3 and EM3.