Y I Z H A K SADAI

Rubin Academy of Music

Tel-Aviv University '
HARMONY
I N ITS SYSTEMIC
AND
PHENOMENOLOGICAL
Translated by J. Davis and M. Shlesinger ASPECTS

YANETZ Ltd., Jerusalem

 ERRATA

page 123,line 5: for on the same degree read of the same degree

page 175, line 5: far In the above passages (Exs. 377,378) r e d In

the above passage (Ex. 378)

page 208, Example 460: for T - SD - T r e d T - SD - D

page 210, Example 466, second bar: for It r e d 11,

page 211, last two lines: for compared with two bars (bars 19-
20) read compared with one bar (bar 19)

page 566, last example: for a. r e d C.

page 566,last example, last chord: r e d a-flat (in the alto part)

page 579, line 8: for Edition le Rideau Rouge read Ehtions lc

Rideau Rouge
 Contents

Foreword XIX
Preface XXI
Introduction XXIII

1 The Tonal System

1.1 TO THE TEACHER
1.2 TONALITY
J
1.3 STATIC TONES AND DYNAMIC TONES
1.4 TONAL CODE
1.5 TONAL TENSION
1.6 MELODIC DUCTUS
' \

2 Primary Melodic Patterns

2.1 TO THE TEACHER
2.2 PRIMARY MELODIC PATTERNS
2.2.1 Basic Patterns
2.2.2 Expanded Patterns
2.3 MELODIC FRAMEWORK
2.4 MELODIC POLYPHONY
2.5 FURTHER CONSIDERATIONS REGARDING
MELODIC STRUCTURING

3 Primary Concepts in Harmony

3.1 THE CHORD
3.2 FUNCTIONAL HARMONY
3.3 THE TRIAD
3.3.1 Positions
3.3.2 Types of Triads, Dissonant Chords
 CONTENTS

I
3.4 FUNDAMENTAL (ROOT POSITION) CHORD,
INVERSIONS 8 Main Degree Sixth chords 49

3.5 SYMBOLIC PRESENTATION O F CHORDS 49

8.1 [GENERAL]'
8.2 CONNECTION OF MAlN DEGREE SIXTH CHORDS 50
50
4 Some Notions Related to Functionality
8.3 FURTHER CONSIDERATIONS

4.1 T O THE TEACHER Nonchord Tones

4.2 THE DEGREE
4.3 TRIADS IN THE MAJOR AND MINOR SCALES 9.1 T O THE TEACHER
4.4 HARMONIC FUNCTIONS 9.2 DESCRIPTION AND DEFINITION O F
THE NONCHORD T O N E
4.4.1 [General]*
4.4.2 Representatives 9.3 TYPES OF NONCHORD TONES
4.4.3 Functional Gene, Functional Significance 9.4 FURTHER CONSIDERATIONS
4.5 PROOF OF TONALITY BY MEANS OF MAlN DEGREES

i 4.5.1 The Tonality of a Major Key

4.5.2 The Tonality of a Minor Key
10 The Dominant Seventh Chord
10.1 T O THE TEACHER

5 Chord Construction for Choir J

10.2 THE SEVENTH CHORD
10.2.1 Structure, Positions
10.2.2 Inversions
5.1 [GENERAL]' 32 + 10.2.3 Symbolic Presentation
5.2 THE CHOIR 34
103 THE DOMINANT SEVENTH CHORD AND ITS INVERSIONS 69
5.3 TRIAD CONSTRUCTION FOR CHOIR, TRIAD POSITIONS 34 a

I 10.3.1 [General] * 69
10.3.2 Resolutions 69

I
I
6 s o m e Notions Related to Connection o f chords n 10.3.3
10.3.4
The Status of V, in Various Musical Styles
Tonal Considerations
71
75
6.1 T O THE TEACHER
6.2 DEFINITIONS
6.3 PRINCIPLES O F VOICE LEADING 11 The Functional Gene o f Secondary Degree Triads 76
6.4 NORMATIVE HARMONIC INTERVALS IN FUNCTIONAL 76
11.1 (GENERAL].
HARMONY 11.2 DETERMINATION OF THE FUNCTIONAL GENE O F
6.5 TREATMENT O F PERFECT CONSONANCES SECONDARY DEGREE TRIADS 76
77
1 7 Connection o f Main Degree Triads
11.3 FURTHER CONSIDERATIONS REGARDING V1 AND 111

7.1 [GENERAL]' 12 Chord Succession in Functional Harmony 80

I 7.2 CONNECTION O F TRIADS SEPARATED BY 12.1 T O THE TEACHER

A FOURTH (OR A FIFTH) 12.2' [GENERAL].
7.3 CONNECTION O F TRIADS SEPARATED BY A SECOND .12.3 THE ROOT O F INTERVALS
1 7.4 HARMONIC RHYTHM, CONNECTION OF TRIADS O N 12.4 ADDITIONAL CHORDAL STRUCTURES
I THE SAME DEGREE 12.5 ALTERED CHORDS, SYMBOLIC PRESENTATION
This section is not headlined in its respective chapter * This section is not headlined in as respective chaptn.
 CONTENTS

12.6 SOME CONSIDERATIONS REGARDING

CHORD SUCCESSION 16 Sixth Chords o f 11, 111, YI
12.7 HARMONIC PROGRESSION
16.1 [GENERAL]'
12.7.1 Definition 86 16.2 n,
12.7.2 Types of Harmonic Progressions 87 16.3 III~
12.7.3 Characterization of the Various Harmonic
Progressions 89 16.4 VI,
12.7.4 Guidelines for the Use of the Various Harmonic
Progressions
12.7.5 Further Demonstration of the Principles
90
17 Six-Four Chords
Presented in 12.7.4 111 17.1 [GENERAL].
17.2 OPENING CADENTIAL SIX-FOUR CHORD, CLOSING
CADENTIAL SIX-FOUR CHORD
13 Some Remarks Concerning the Bass 17.3 NON-CADENTIAL SIX-FOUR CHORDS

13.1 T O THE TEACHER 117

13.2 [GENERAL].
13.3 COORDINATION OF BASS PROGRESSION WITH CHORDAL
118 18 Seventh Chordr on I, 11, 111, IV, VI, VII

STRUCTURES 118 18.1 CLASSIFICATION AND DESIGNATION OF SEVENTH

13.4 DIRECTION OF THE BASS PROGRESSION, IMAGINARY J CHORDS
ORGAN POINT IN THE BASS 124 18.2 HISTORICAL-STYLISTIC BACKGROUND
13.5 THE INFLUENCE OF REGISTER ON THE ROLE OF THE ; 18.3 TREATMENT OF SEVENTH CHORDS -PREPARATION,
LOWEST PART - REAL BASS, TENOR-BASS 128 RESOLUTION
'18.4 HARMONIC PROGRESSION WITH REGARD T O SEVENTH
CHORDS
18.5 SPECIFIC TRAITS OF THE VARIOUS SEVENTH CHORDS
14 Cadences 117
VII, in Major
14.1 (GENERAL]' VII, in Minor
14.2 TYPES OF CADENCES 111, in Minor
14.2.1 Authentic Cadence I, in Minor
14.2.2 Plagal Cadence I, in Major
14.2.3 Deceptive Cadence IV, in Major
14.2.4 Dominant Half Cadence, Phryg~anCadence The Remaining Seventh Chords - IV, in Minor,
14.2.5 Subdominant Half Cadence VI, in Major and in Minor, 111, in Major
14.3 CONCLUSION 18.6 (GENERAL].

15 Dissonant Triads - VII (VII,), I11 in Minor

19 The Dominant Ninth Chord, the Dominant
Thirteenth Chord
145

15.1 T O THE TEACHER 19.1 THE NINTH CHORD

15.2 THE DIMINISHED TRIAD 19.1.1 [General]'
15.3 THE AUGMENTED TRIAD 19.1.2 The Dominant Ninth Chord
This section IS not headlined in its respective chapter. This section is not headlined in its respecrive chapter.
 CONTENTS

19.2 THE DOMINANT THIRTEENTH CHORD 195 22.6 THE ROLE OF THE VARIOUS VOICES IN
THE CHORALE TEXTURE
20 Some Further Considerations 22.7 DEVIATION FROM THE NORMS OF
CHORD CONSTRUCTION
Regarding Functionality 200 .
22.8 INVENTORY OF CHORDS
1
1,
20.1 TO THE TEACHER
20.2 FUNCTIONALLY SIGNIFICANT CHORDS,
22.9 SECONDARY DOMINANTS
22.10 MODULATIONS
CHORDS DEVOID OF FUNCTIONAL SIGNIFICANCE 22.11 HARMONIC RHYTHM, RHYTHM OF THE BASS
,I 20.3 FUNCTIONAL SUCCESSIONS 22.11.1 Deceleration
20.3.1 Functional Cycle 22.11.2 Acceleration
20.3.2 Deceptive Functional Cycle 22.12 EIGHTH NOTES IN THE BACH CHORALES
20.3.3 Open Functional Cycle, Open Deceptive
Funcdonal Cycle 22.12.1 Eighth Notes in a Rhythmic-Agogic Role
20.3.4 Non-Cyclic Succession 22.12.2 Eighth Notes in a Melodic Role
22.12.3 Eighth Notes in a Harmonic Role
20.4 THE ROLE OF THE VARIOUS FUNCTIONAL
SUCCESSIONS IN THE STRUCTURING OF FORM 22.13 THE STYLISTIC SCOPE OF THE BACH CHORALES

I 22.13.1
22.13.2
Diatonic chorales
Chromatic-Diachromic Chorales

I
2 1 Modulatory Processes 3
22.13.3
22.13.4
Modal Chorales
Meter as a Stylistic Feature
21.1 MODULATORY PROCESS 214 22.14 SOME COMPOSITIONAL CONSIDERATIONS
21.2 MODULATION, DEVIATION, TONICALIZATION 214
* 22.14.1 Cadenual Variants
21.3
21.4
SECONDARY DOMINANTS
TYPES OF MELODIC PROGRESSION,
219 -. 22.14.2 AMovement
Specific Case of Eighth Note
Organization
TYPES OF MODULATION 221 22.15 SOME PROBLEUATIC CHORALES
21.5 SOME GUIDELINES FOR THE EXECUTION OF
DIATONIC MODULATION 224
23 Melodic Minor Scale
23.1 TO THE TEACHER

1 22 Chorale Harmonization in The Style of Bach 231

23.2 EXPANSION OF TONAL MATERIAL
23.3 THE MELODIC MINOR SCALE
I 22.1 TO THE TEACHER
23.3.1 Directional Tones
22.2 SOME POINTS OF STYLISTICREFERENCE IN 23.3.2 Raised Sixth and Natural Seventh Tones as
1 THE BACH CHORALES Non-Directional Tones
\ 22.3 CADENCES IN THE BACH CHORALES 23.3.3 Modal Balance
23.3.4 Cross Relation
22.3.1 Authentic Cadences 23.3.5 Chords Generated by the Melodic Minor Scale
22.3.2 Dominant Half Cadences . 23.3.6 Modulation Using the Melodic Minor Scale
22.3.3 Plagal Cadences
22.3.4 Subdominant Half Cadences

I
22.3.5
22.4 OPENINGS
Deceptive Cadences 24 Minorhation of the Major Scale,
Lowered Sixth Tone
I 22.5 THE BRIDGE
I
XIV CONTENTS CONTENTS

24.1 TO THE TEACHER 329 27.6 FURTHER EXAMPLES OF MINORIZATION AND

24.2 THE PROCESS OF MINORIZATION 329 NEUTRALIZATION
24.3 LOWERED SIXTH TONE - CHORDS RESULTING
FROM ITS USE
24.3.1 [General]*
330
330
28 Simultaneous Use o f Raised ~ o o r t h Tone
and Lowered Tones
24.3.2 Specific Traits of the Various Chords 332
24.3.3 Treatment of the Lowered Sixth Tone 340 28.1 TO THE TEACHER
24.4 NEUTRALIZATION OF ALTERED TONES 341 28.2 CHORDS GENERATED BY THE RAISED FOURTH
24.4.1 Ways of Neutralizing Altered Tones 34 1 TONE AND LOWERED TONES
24.4.2 Neutralization by Means of Neutral Chords 342 28.2.1 Chords with a Diminished Third
(or an Augmented Sixth)
28.2.2 Chords Which D o Not Include a Diminished Third
25 Further Minorization - Lowered Seventh Tone
25.1 TO THE TEACHER 29 Lowered Second Tone
GENE OF ALTERED CHORDS
25.2 THE F U N ~ O N A L
29.1 TO THE TEACHER
25.3 CHARACTERISTICS OF THE LOWERED 29.2 A HIERARCHY OF THE VARIOUS DEGREES
SEVENTH TONE
OF MINORIZATION
25.4. CHORDS GENERATED BY THE LOWEWD
' 29.3 CHARACTERISTICS OF THE LOWERED SECOND TONE
SEVENTH TONE 29.4 CHORDS GENERATED BY THE LOWERED SECOND TONE
25.5 TREATMENT OF THE LOWERED SEVENTH TONE
29.5 MELODIC TREATMENT OF THE LOWERED SECOND TONE

-.
29.6 MODULATION UTILIZING CHORDS CONTAINING

26
'
THE LOWERED SECOND TONE
Neutralization Using Raised Fourth Tone in
Major
.26.1 TO THE TEACHER
30 Lowered Fifth Tone
26.2 NEUTRALIZATION BY MEANS OF CONTRASTIVE 30.1 TO THE TEACHER
ALTERED TONES 30.2 ENHARMONY
26.3 RAISED FOURTH TONE IN MAJOR 30.3 ENHARMONIZATION OF THE "TWELVE-TONE MAJOR
26.4 CHORDS GENERATED BY THE RAISED FOURTH TONE SCALE" - LOWERED FIFTH TONE
26.4.1 Chords Whose Functional Gene is Not Impaired 30.4 CHARACTERISTICS OF THE LOWERED FIFTH TONE
26.4.2 Chords Devoid of Functional Gene 30.5 CHORDS GENERATED BY THE LOWERED FIFTH TONE
26.5 TREATMENT OF THE RAISED FOURTH TONE 30.6 [AN ADDITIONAL EXAMPLE ILLUSTRATING THE USE
OF ALL LOWERED TONES]'

27 Minorhation Reaching the Minor Scale

30.7 MELODIC TREATMENT OF THE LOWERED FIFTH TONE

27.1
27.2
TO THE TEACHER
REMOTE FUNCTIONAL CYCLE
3 1 Total Chrornatiution and
Secondary Subdominants
Enharmonization,

27.3 CHARACTERISTICS OF THE LOWERED THIRD TONE

27.4 CHORDS GENERATED BY THE LOWERED THIRD TONE 31.1 TO THE TEACHER
27.5 TREATMENT OF THE LOWERED THIRD TONE 31.2 THE "TWO-WAY" CHROMATIC SCALE
* This section is not headlined in its respective chapter. This section is not headlined in its respective chapter.
 CONTENTS XVIl 1
CONTENTS

I
31.2.1 Enharmonization of Lowered Sixth, Seventh, 34.3.1 The Role of Harmonic Variation in the 1
Third, and Second Tones in Major
Formation of the Period 483 1
450 34.3.2 Some Other Aspects of Harmonic Variation
31.2.2 Chromatization of the Minor Scale and 484 I
Enharmonization of its Altered Tones 451
31.3 ENHARMONIZATION O F UNALTERED TONES IN
MAJOR AND MINOR SCALES 453
35 Mod, Harmony

31.4 MELODIC TREATMENT OF THE NEW ALTERED TONES 35.1 [GENERAL]. 493
458
31.5 SECONDARY SUBDOMINANTS 35.2 PARALLEL ORGANUM, TEXTURE OF PARALLEL CHORDS 493
458
35.3 MODAL HARMONY IN THE RENAISSANCE -
MELODIC DUCTUS, HARMONIC DUCTUS 494
32 Chromatic and Enharmonic Modulatory Processes 41 35.4 FUNCTIONALITY IN MODAL HARMONY
35.5 MODAL HARMONY IN POST-RENAISSANCE MUSIC
497
498
32.1 T O THE TEACHER 461
32.2 [GENERAL]'
32.3 CHROMATIC MODULATION
461
46 1
36 Some Extensions of the Tertian Principle
32.3.1 Modulat~onThrough V, of the Target Key 462 36.1 CHORDS CREATED BY THE USE O F ADDED TONES 503 1
32.3.2 Modulation Through a Series of Chromatic Progressions 465 36.2 CHORDAL STRATA 507 1
32.4 ENHARMONIC MODULATION 467 36.3 POLYCHORDS sw 1
32.4.1 Modulations Based on the Enharmonic Interpretation of
1
a Given Chord
32.4.2 Modulations Based on the Enharmonic Interpretation of a
468 3 .7 Ultimate Chord Structures Generated by
Tertian Principle, Basic Chords in Jazz
the
511
I
1
.
Tone (or Tones) in a Chord Not Prone to i 1
Enharmonic Interpretation
32.5 OFFSETTING ASCENDING MODULATIONS WITH
470
-. 37.1
37.2
T O THE TEACHER
THE NINTH CHORD IN ITS VARIOUS FORMS
511
512
DESCENDING MODULATIONS, AND VICE VERSA 472 37.3 THE ELEVENTH CHORD 513

33 Wandering
- Chords. Harmonv in Late
Romantic Music
37.4
37.5
37.6
THE THIRTEENTH CHORD IN ITS VARIOUS FORMS
HETEROGENEOUS CHORDS
FUNCTIONALITY IN THE HARMONY OF JAZZ
515
517
520

33.1 TO THE TEACHER 473

33.2 WANDERING CHORDS 473 38 Paratonal Harmony
33.2.1 Wandering Chords in Classical and
Early Romantic Music 474
38.1 [GENERAL]' 521 1
33.2.2 Wandering Chords in Late Romantic Music 476 38.2 CHORDS CONSTRUCTED O N FOURTHS OR SECONDS 521 1
38.3 FUNCTIONALIN IN PARATONAL HARMONY 526 I
33.3 SOME FURTHER CONSIDERATIONS REGARDING
HARMONY IN LATE ROMANTIC MUSIC 478
39 Hindemith's Theory o f Tonality, Free Atonality 529 I
34 Harmony and Voice Leading, Harmonic Variation 480 39.1 HINDEMITH'S THEORY OF TONALITY
39.1.1 The Epistemolog~cal~ a c k ~ r o u n d
34.1 HARMONY AND VOICE LEADING
39.1.2 Methodological Procedure
34.2 THE REITERATION-VARIATION PRINCIPLE
39.2 ATONAL FIELD, FREE ATONALITY
34.3 HARMONIC VARIATION
This secnon is nor headlined in its respective chapter.
* This section is not headlined in its respective chapter.
 CONTENTS

40 Harmony in Serial Music

40.1 [GENERAL]'
40.2 SERIALISM, DODECAPHONY
40.3 TONAL NON-DODECAPHONIC SERIALISM,
TONAL DODECAPHONIC SERIALISM
Foreword
40.4 ATONAL DODECAPHONIC SERIALISM
40.5 HARMONY IN ATONAL SERIAL MUSIC
40.5.1 "Functionality"
40.5.2 Harmonic Tension
40.5.3 Generation and Use of Chords in
Dodecaphonic Serial Music
40.5.4 The Octave in Dodecaphonic Serial Music
40.6 CONSIDERATION OF CERTAIN FACTORS IMPLIED
BY SERIALISM, IN TONAL MUSIC

41 Harmony in Post-Serial Music

41.1 [GENERAL].
41.2 KLANGFARBENHARMONIE
41.3 HARMONY OF CLUSTERS
i
This book purports to present harmony from various vantage points. Some
Appendix (Harmonic Sentences Generated by a parts of the book present the self-generative1 aspects of the tonal system, thus
Computer) making it possible to explain and perceive certain phenomena related to tonal

i
560
Index o f Musical Examples 568
harmony as emanating from an inner structural nece~sity.~ Other parts deal
Index o f Subjects, Terms, and Names 571
with technical problems, compositional problems, stylistic problems, and
Acknowledgments problems of a rather phenomenological3 nature.
579
It is worth mentioning in connection with this last point that the
theoretical apparatus proposed here was constructed through a process of
persistent and thorough phenomenological observation of the musical
phenomena to which it refers.
It is true that in some cases, the statements that we propose d o emanate
from purely theoretical developments. Nevertheless, these statements (as op-
posed to some other theories, which do not take into consideration
phenomenology of perception) tend to explain musical phenomena as they are
perceived by the musical ear.

i See Chaps. 1, 2, 23-31.

See, for instance, 10.1; 26.1; 28.1.
* Thls section 1s not headlined in its respective chapter. ' See, for instance, 2.2.2.3; 9.4; 13.4.2; 13.5; 41.2.

XIX
XX FORE WORD

Some sections of the book g o into great detail. These sections d o not
constitute catalog lists of chords4, as they may appear on the surface to do.
They illustrate self-generative processes and attempt to demonstrate
inductively the effectiveness of a certain deductiveS approach.
There are also, however, those sections wherein some of the information is
presented "between the lines", as it were. In the latter, the reader will b e
Preface
called upon to draw his o w n conclusions from the available data.
This approach, which creates a certain external quantitative disproportion
between subjects of virtually identical importance, facilitates the inclusion of a
great deal of material - from organum to conte~nporarymusic (including
light music and jazz) - in a rather restricted framework, without detracting
from its basic integrity.
- .
A rather far-reaching numeration of the sections and subsections of each
chapter is used - mainly to allow a precise indication of the places to which
the reader is referred.
T o a number of chapters an introductory paragraph has been added. These
paragraphs bear the title "To the Teacher", as they deal with problems which
sometimes require information not yet acquired by the student reader.
"'
However, as these introductions purport to illuminate their respective WHAT is phenomenology?" W i t h these words Merleau-Ponty opens his
chapters, it is recommended that all readers peruse them. book fitnorne'nologie de la perception. '
T h e principles set forth in this book in connection with tonal harmony ,I...] It tries to give a direct description of our experience
as it is, without taking account of its psychological ori in and the causal
have been tested on a computer, which generated harmonic sentences6 in 8:
explanations which the scientist, the historian or the socio ogist may be able
accordance with them. Some of these sentences are presented in a separate to provide. [...I All my knowledge of the world, even my scientific
appendix. knowledge, is gained from my own articular point of view, or from some
experience of the world without wkch the symbols of science would be
Exercises w i l l be published in a separate booklet.
...I To return to things themselves is to return to that world
which prece cles knowledge, of which knowledge always SPEAKS, and in
me"ing1es"
relation to which every scientific schematization is an abstract and
derivative sign-language, as is geogra hy in relation to the countryside in
R
which we have learnt beforehand w at a forest, a prairie or a river is.'

The current approach to music theory is fundamentally antiphenomeno-

logical, which is not in the least surprising. W e are presently at the height of
an era during which the ritual surrounding scientism and technological equip-
Some technical discussions of these chords are of the utmost imporcance in illustrating ment has become an inseparable part of man's general orientation, even to the
certain regularities inherent in the tonal system (see, for instance, 23.3.5.2.13; 30.5.5). point of becoming part of the underlying ideology of a certain type of art.
' The combination of this approach and one which is basically phenomenological (see
Preface) did not create any conflicts for us, either methodological or practical.
The term sentence (as distinguished from phrase) is used in this book to indicate a se- Maurice Merleau-Ponty, Phlnominologie de la perception, Paris, Gallirnard, 1945; the
quence of chords devoid of rhythm and thematic features. quotation is taken from the English version fienomenology ofPercepfion, London. Routledge
& Kegan Paul Lcd., 1%2.

XXI
 XXIl PREFACE

It is therefore not surprising that in the spiritual climate prevailing in our

times, statements such as those of Merleau-Ponty are sometimes received with
a degree of cynicism and sarcasm.
.
Instead of striving "to return to things themselves", as Merleau-Ponty puts
it, instead of delving into the core of music and instead of trying to construct Introduction
from within the core a theory which would explain music in its perceptive
sense - as it is heard and as it affects man - contemporary theoreticians
depend on statistics and computers; they use mathematical models and (To the Teacher)
construct abstract theories in an attempt to explain matters which cannot be
thus explained.

I don't have anything whatsoever against computers2,but rather against the

false confidence which they endow upon a whole generation of young
musicians, fascinated by the window display; I feel that one should beware
of introducing these young musicians to corridors that will soon afterwards
be barred by Markoff chains, with the necessity of giving asswords in
FORTRAN or ALGOL. J...] without a phenomenology [..J
there is no
means whatsoever of war ing off drearnef; who wish to invent combina-
tions of parameters without concern for characteristic features".'

Harmony studies today are not popular, neither with students nor with the
teachers and those responsible for curriculum planning at academies and
universities. There is an apparent trend toward minimizing harmony studies,
to the point of teaching only the general concepts. The underlying causes are
numerous: some have to do with the essence of harmony instruction, while
others stem from the musical developments of the past fifty years. At this stage,
we should like to touch upon the former.
We shall initially deal with the gap and incompatibility between harmony
as taught at the academies ("academic harmonyn) and harmony as revealed in
actual musical composition.
Let us suppose that we.were to ask a "good" student to transcribe for piano
See Foreword, penultimate paragraph. (This footnote is our own.) the first four bars of the Saraband from the D Minor Partita for Solo Violin by
' Pierre Schaeffer, La musique et les ordinateurs, Revue musicale,
I No. 268-269; the quota-
tion is taken from the English version Music and Computers, Revue musicale, 1971, pp. 67,75.
Bach.

XXIII
 XXIV
INTRODUCTlON xxv
Instead of the original (Ex. I), the result would probably be something like
The excerpt below (Ex. IV), for instance, appears visually to consist of the
Ex. 11, whereas it should be like Ex. 111.
following harmonies in F major2: the first chord VI, the second V6 (or VII),
EXAMPLE I Bach: Partita II for Solo Violin, Saraband - and the third I. While this may appear to be the correct analysis, the excerpt
SOUNDS somewhat different.

EXAMPLE N Schumann: Album fur die Jugend, Op. 68, No. 42

Sostenuto

EXAMPLE I1

EXAMPLE 111 Due to the high register - and other factors, as well - the lower tone of
the first chord (Ex. IV) does not sound like a true root, but rather like a tone
meant go add "color". Thus, the first chord is heard more as a kind of I in F
major1 (I with an added tone - the lower one) than as VI. Consequently, we
tend to +ear I-V,I (in F major), which represents one of the most common
idioms in functional harmony, and not VI-V6-I (which is rather atypical for
an
chnngid bass Schurnann's intention to make us hear the first chord in the way described
What student, familiar with the accepted rules of harmony, would have here becomes evident, at last, from the dynamic emphasis given to the tone F
dared, for instance, to double the seventh in the third chord of the third bar (the F is marked forte while the D in the lower voice is marked piano5).
(Ex. HI), and who would have thought of changing Bach's original "bass"
line (by putting ~ b - Dinstead of ~ b - A ) in the last two chords?
The word "bass" has been written in inverted commas since the tones Eb-
A do not constitute a boss but a tenor-boss' (a kind of tenor) and cannot, The piece is written in F major, not in D minor.
therefore, appear in the lower register. ' Referring to the beginning of a piece (see 22.2; 22.4).
In the following excerpt (Ex. V), on the other hand, the first chord sounds like a real
The distinction between these two entities - bars and tenor-bass - for in- VI. This is due primarily to the placement of the bass in the lower register, and the replace-
stance, has not been properly deliberated at the academies, and it is therefore ment of V, with V,. (The chord succession VI-V,-I is more characteristic of an opening - see
Footnote 3 - than the succession VI-VJ.)
doubtful whether the reader will, at this stage, be capable of correctly apprais-
ing the importance of this subtle distinction. l Before proceeding to specific il-
lustrations. we would like to point out that changing the register of the lowest
part without distinguishing between a b a s and a tenor-bas is apt to alter and
even distort the harmonic content.'

' See 13.5. According to Schurnann's manuscript - see Robert Schumann, AIburn I jbr Pinno, New
York, Edwin F. Kalmus.
XXVI 1NTRODUCTlON XXVII

The following excerpt, from the motion picture U n homme et unefemme6, EXAMPLE VII Chopin: Mazurka, Op. 67, No. 4
will serve as an additional example in demonstrating the importance of bass legretto
placement (Ex. VI).

EXAMPLE VI Lai: Un homme et une femme

..
Moderato

A student, asked to identify the harmonies in the above excerpt (Ex. VII),
would most probably reply I-V,-I. Accordingly, the passage could be
If we decide to raise the bass of the above chord (Ex. VI) by an octave presented in the following way (Ex. VIII).
without changing the character of the chord, we should add a fifth (C) to the
EXAMPLE VIII
:-LA1 4
chord. The result would be $instead of & Allenreno

In the context at hand, the chord and the chord create

harmonies of a different character despite the fact that the classification of the

two chords is identical. O n the other hand, the chord p:-- -

0
and the
However, the harmonic content of the passage at hand is different. The
chord /i? % create an almost identical effect despite the fact that they tone A appearing on the first beat of the first bar in the bass is prolonged in our
interior-mental hearing until the third bar (and further on); hence, the passage
are structurally disparate. is heard in the following way (Ex. IX).

The conventional analytic approach as taught in the academies is based EXAMPLE IX

primarily upon depiction of the WRITTEN content of a composition by means
of symbols and concepts inherent to the accepted analytic code.' This analysis,
however, which describes mainly what is SEEN, does not always succeed in
describing what is HEARD~ - the perceptual musical essence.
Let us illustrate this claim with the following excerpt (Ex. VII).

Some alterations have been introduced to facilitate illustration of the problem.

In functional harmony, for instance, the accepted code is based on the tertian principle.
Some semiologists use for this distinction the notions niveau neutre and esthbique (see
The sustained sounding of the tone A is the consequence of an audio-
Jean-Jacques Nartiez, Fondaments d i n e simiologie de la musique, Paris, Union Gtnkrale psychological factor which w e have termed additive hearing, a factor to which
d'frditions, 1975). one relates in a strictly phenomenological fashion.
xxvlll INTRODUCTION

In the following piece by Schumann (Ex. X), we shall attempt to The encircled chord in bar 13 is visually interpreted as a triad (G minor)
demonstrate once again the importance of a phenomenological attitude with a nonchord tone C (Ex. X). This phenomenon, one of the most frequent
toward harmonic analysis. idiomatic expressions in functional harmony, does not constitute an analytic
problem since the definition of nonchord tone usually represents an adequate
EXAMPLE X Schumann: Album fur die Jugend, Op. 68, No. 41 depiction of the harmonic entity in the auditory-perceptual sense. However,
In mod0 popolare the case at hand is different.
The tone C in the above chord is not heard exactly as a nonchord tone, but
rather as a CHORD TONE (despite the fact that the combination G-C-D does
not appear in the catalog of tertian chords).
The Bb (following the C) could be deleted, in the context at hand,
without damaging the essential harmony (Ex. XI). The C , on the other hand,
could not be omitted without adversely affecting the character of the chord
(Ex. XII). (The passage in question - Ex. X, bar 13 - may be heard, in its
specific context, as presented in Ex. XI, but not as it appears in Ex. ~ 1 1 . ) ~
EXAMPLE XI

EXAMPLE XI1

The illustrations given until now may well stimulate a desire to change the
existent paradigm of academic analysis, in addition to instigating a search for a
more efficient methodology, nurtured perhaps on a "phenomenological
epistemologyn.

In order to understand thoroughly the nature of this subde problem, we suggest that the
reader play, first of all, the entire piece (Ex.X). After that, we recommend that he play - in
the order indicated here - Ex. X (bars 13-14), Ex.XII, and Ex. XI, and compare each of the
last two examples with the original excerpt (Ex.X, bars 13-14). .
xxx INTRODUCTION INTRODUCTION XXxI

Academic harmony, dlvorced from the reality of living music, is not the The following excerpt (Ex. XVII) is taken from Schoenbergls Harmonie-
result of "excessive rationalization", as many tend to think, but rather of an lehre (the English versionI2 has been used here).
uncritical and uncriticized approach - one which relates almost blindly to
EXAMPLE X V I I
time-honored beliefs, norms and rules, however often incorrect. W e shall at- EXAMPLE XVIII
tempt to substantiate this claim with a number of examples taken from the
best-known books on harmony.
In Piston's H a r m ~ n y ' ~we find the following example (Ex. XIII).
EXAMPLE XI11 EXAMPLE XIV
A

Schoenberg explains the passage presented in Ex. XVII in the following

A minor:
I11 words:

But whether it is regarded as a VII (of G minor) or as a V, it [the first chord]

The chord connection offered in Ex. XIII is not very acceptable to the weakens the following dominant, since it contains its weightiest elements:
musically sensitive and developed ear. III in minor is a strongly dominant the rising and falling leading tones. Moreover VII is generally a subsititute
chord. One expects, therefore, to hear VI, when following this chord, as a 'for V, so that the fundamental progression here is VII (= V), I, V, I, which
tonic chord and not as a subdominant one, i.e., with a DOUBLED ~ I R D- as is not very interesting.
+
presented in Ex. XIV - and not with a doubled root.
Schoenberg's explanation is utterly erroneous. It emanates from an
As a result of the voice leading used by Piston, the two chords presented in
uncritical aCproach to inaccurate assumptions; confusion is the inevitable
Ex. XIII tend to be more readily interpreted in C major than in A minor (see
result.
Ex. XV). The voice leading used in Ex. XIV, on the other hand, proves that
VII can assume either of TWO functional significances: dominant OR SUB-
the chords in question are in A minor (see Ex. XVI)."
DOMINANT- not only dominant as is generally accepted. When it appears as
EXAMPLE XV EXAMPLE XVI a four-three chord in seventh position or as a two chord in fifth position, two
important subdominant tones control the outer voices. Consequently, we
perceive the chord @&% in C minor as a kind of IIf with a founh instead of a
?F
fiffh, i.e., as a clearly * SUBDOMINANT chord and in no way as a dominant
chord. In other inversions and positions - when the leading tone appears in
one of the outer voices - VII is a dominant chord (see 18.5.2; 18.5.3).
(C major) 1 (A minor) The above issue is clearly demonstrated in Ex. XVIII, in which the VII!
constitutes a dominant harmony whereas the VII: is perceived as a sub-
One may reasonably presume the error in Piston's example to be the conse- dominant forming a kind of plagal cadence.
quence of an uncritical reliance upon the rule that in major and minor triads
the root must be doubled.

lo Walter Piston, Harmony, New York, W. W. Norton & Compay Inc., 1962, third edition,
p. 20. l2 Arnold Schoenberg, Theory of Harmony, New York, Philosophical Library, 1948,
See 15.3. p. 194.
XxxU INTRODUCTION
INTRODUCTION XXxIII

In light of the above, the example given by Schoenberg (Ex. XVII)

Persichetti's proposition is not as correct as it appears to be. The compati-
assumes an entirely different significance. The VII: is not a dominant chord
bility between the musical examples illustrating this proposition and the pro-
(a substitute for V, as Schoenberg states), but rather an emphatically sub-
position itself does not affirm the validity of the latter, i.e., a causal relation-
dominant chord (a substitute for 11:); the I: and the V represent the domi-
ship between the consonance or hssonance of the surroundings and the
nant, while the I is the tonic. The correct interpretation of the passage is
consonance or dissonance of the perfect fourth. The compatibility of the
therefore in Ex. XIX, and not in Ex. XX, as Schoenberg's remarks lead
proposition with the musical illustrations is accidental, resulting from a
us to believe.
different set of factors than those proposed by Persichetti.
EXAMPLE XM EXAMPLE XX
The following are Persichetti's two examples, each ending with a fourth,
but this time with a different one, (Exs. XXIII, XXIV).

EXAMPLE XXIII

In order to illustrate the formation of incorrect theories and generaliza-

EXAI~PLEXXIV
tions which at a cursory glance seem correct, a passage from Persichetti's [Andante]
Twentieth Century Harmony13 will be used.
The author states: "The perfect fourth sounds consonant in dissonant sur-
roundings and dissonant in consonant surroundings." The following two illus-
trations accompany thls statement (Exs. XXI, XXII).

EXAMPLE XXI
Andante
Persichetti's consonant fourth (Ex. XXI) has been replaced in Ex. XXIII
by a rather DISSONANT fourth, while the dissonant fourth (Ex. XXII) has
K
been replaced by a CONSONANT one (Ex. XXIV). In both cases Persichetti's
determining factor - the consonance or dissonance of the surroundings - has
EXAMPLE XXIl been left UNCHANGED.
The dissonance of the fourth (Ex. XXII) does not stem from the fourth
itself nor from the consonance of the surroundings, as stated.by Persichetti, but
rather from the leap in the upper voice; the Fh collides with the F# which
precedes in the lower voice, and this collision is the factor responsible for the
perception of the fourth as dissonant. This can be further demonstrated by
replacing the fourth C-F with the third D-F (Ex. XXV); this third is at least
" Vincent Persichetti, Twentieth Century Harmony, New York, W. W. Norton & Com-
pany Inc., 1%1, p. 15. as dissonant as the fourth was.
XXXIV INTRODUCTION XXXV

EXAMPLE XXV The study program that we have suggested (from organum to Boulez) is
very comprehensive, requiring a great deal of time, so that of necessity it must
be condensed and some of the styles omitted. However, those styles which are
studied should be examined in depth from a COMPOSITIONAL point of view
and not with a historical-archival outlook.
The harmonization of a Bach chorale, for example, could easily be an exer-
cise in voice leading; this same harmonization could, however, also be a corn-
Literature on music theory does not lack in fallacious propositions such as
positional exercise - all depending on the approach.14 We should like to
those cited above. In some instances the flaws are not easily hscerned since the
demonstrate our attitude to this issue by offering some examples.
musical illustrations accompanying the proposition seem to verify the point
The following chorale harmonization (realized by one of the author's
being made. However, in many cases the connection between the example and
students) exemplifies, for instance, a compositional approach to the organiza-
the statement is not causal but circumstantial, and it can easily. be proven that
tion of harmonic tension (Ex. XXVI).
for any assumption - even the most absurd - at least one appropriate exam-
ple can be found by way of "proof ".
EXAMPLE XXVI N. Amir: An Wassefliissen Babylon'
A correct approach to teaching harmony (from the very first stages) should
develop the fundamental auditory qualities indispensable to a musician. A
musical education geared to these lines will produce that type of musician who
knows and hears what tone belongs where, what chord should appear in a
given
- context, what is mandatory, and what is inconsistent. (This is relevant
not only to orientation in functional harmony, but also to contextual orienta-
tion in any musical style.)
Our teaching experience shows that those students who have acquired a
solid grounding in harmony adapt rapidly to any style - from the various
types of jazz to the most progressive avant-garde types of music. Such students
understand, for instance, why a certain octave doubling seems fitting for
Thelonius Monk and not for Oscar Peterson, or is in keeping with Stravinsky
but not with Schoenberg. They have developed a feeling for integrity of style,
clear sonority and musical coherence in addition to an analytic approach
whch facilitates the analysis of musical happenings even in contempo-
rary music (with regard
- to some of which, many content themselves with
counting the notes in the different series).
Contrary to prevalent opinion, we find that the study of composition
should be based primarily on the study of existent styles for which we possess
some established musical criteria (from organum through Palestrina and
Monteverdi, Bach, Mozart, Schubert, etc., up until Webern and Boulez). u I "I ' I .! I I r "I
- ,
Again in contrast to the prevailing opinion, which holds that the study and 'See PoomoLe 15. I ' W ' I '
(cont.)
absorption of a large variety of styles has an obstructing influence on creative
originality, we believe that the best and safest way to cultivate independent and
I' See Chap. 22.
original style (except in the case of extraordinary talents) is to become l5 The chorale melody is extracted from the collection of J. S. Bach's chorales. (This
thoroughly farmliar with as many styles as possible. footnote refers to Exs. XXVI, XXVII, XXIX.)
S w W
5-3 4
0 g-
- 4 - s
" ;n
5
0 e*.
$ p&g
E s4s r - 4

;'3
>0" "C
J-2 n
ua 5
a
. 2 S 5.
g n sbj
" 3 0
$ "El 3
5.
Q-El 5 . 3
g, 0 s
2. a;. fi
5ge5
5.ma 2
e &';n
0e.w 3
3 E;
2."
g g-r5
z.5 R'
% 0 0
8: 3
3 y o
5. r
5' " El
P-F5.
 d THE TONAL
SYSTEM

1.1 TQ THE TEACHER

T o q a l i ~is presented in this chapter primarily as a musical phenomenon
rather than a theoretical concept. The foremost objective is to demonstrate
tonality insofar as possible and only then to attempt an explanation of the
mechanism behind it.
The theoretical apparatus we propose in relation to the tonal system' makes
possible an explanation of relatively complex musical phenomelia by means of
relatively few and simple perception-oriented concepts.
Dividing the tones of the major and minor scales into dynamic tones and
static tones, for instance, is of course neither new nor original. Nevertheless,
most of those who have previously used these concepts failed to point out the
range of implications inherent to their usage. In other words, they did not
sufficiently develop the theoretical apparatus required for a deeper under-
standing of the structure of the tonal system.

' A distinction must be made between the tonal system, implying tonality in connection
with the major and minor modes, and tonality as a more general concept - pointing to the
presence of a tonal center (not necessarily in the framework of a major or a minor mode).(We
shall sometimes use the terms major mode or minor mode, instead of major scale or minor scale, to
imply some functional qualities relative to the respective scale.)
2 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS THE T O N A L SYSTEM 3

The fact that B pulls towards C rather than the reverse (Ex. I), gives a dif-
In striving to present the tonal system as the generator of various musical
ferent sigruficance to each of these two tones. B is an active, dynamic tone,
phenomena and processes, we feel it is of the utmost importance to emphasize
demanding resolution (see 1.3.2; 1.4) whereas C is a stable, static tone which
the part of such primary concepts as tonal code. The reader will come to realize I
constitutes a resolution (see 1.3.1). The C may move but it need not necessarily
further on that such notions as primary melodicpatterns (see 2.2), resolutions of
do so, whereas the B tends to move and reach C sooner or later.
certain chords, doublings, functional progressions, cadences, and many others
The feeling of C being a tonal center in C major is an outcome of the
which we regard as "natural phenomena" (resulting from musical instinct
degree of aspiration of each of the tones of C major to move (see 1.4).
rather than theoretical speculations) emanate in fact from the most primary
Therefore, we may state that TONALITY CONSTITUTES THE ORGANIZATION OF
code of the tonal system - the tonal code (see 1.4). This code, which is
A GIVEN NUMBER OF TONES IN A MANNER WHICH CREATES AMONG THEM DIF-
INTUITIVELY discovered and assimilated by anyone familiar with the music of
FERENCES OF KINETIC POTENTIAL. The tonal center (called tonic in the major
the tonal system, serves as a kind of compass enabling ~ r i e n t a t i o n . ~
and minor scales) is the tone having the lowest kinetic potential - the tone
A similar idea was formulated by Chomsky in connection with naturd
towards which the other tones of the scale gravitate.
languages:
Tout se passe comme si le sujet parlant, inventant en quelque sorte sa langue
au fur et h rnesure qu'il s'emrime ou la redtcouvrant au fur et A mesure au'il
l'entend parler autour de lui, avait assirnil6 n sa propre substance pensante un 1.3 STATIC TONES AND DYNAMIC TONES
stkme cohtrent de rkgles, un code genitique [italicized by Piaget3], qui The tones of the major and minor5 scales may be divided into two groups
k r m i n e li son tour l'interprctation shantique d'un ensemble i n d t b i de
phrases rtelles, exprimbes ou entendues. Tout se passe en d'autres termes, according to their kinetic potential: static tones and dynamic tones.
comme s'il disposait d'une ((grammairegtntratricen de sa propre langue.' ,
1.3.1 Static Tones
1.2 TONALITY TheGtatic tones are the first, third, and fifth tones of the major and minor
If we wish to continue the following melody (Ex. I), we shall sooner or scales (the tones comprising the first degree triad - see 3.3; 4.2). These tones
later be "obliged" to use the tone C (marked with parentheses). have rdlati'vely low kinetic potential. They serve as points of resolution for the
dynamic tones (see 1.4) and constitute the stabilizing element of tonality
EXAMLE 1 I. (Ex. 2).

-
EXAMPLE 2 The static tones in C major
I . . 3 5

The word "obliged" appears in inverted commas since the need which it
expresses does not stem from any theoretical requirement, but rather from a
most basic musical instinct ingrained in almost every person raised on the first degree triad
music of the tonal system. The aspiration of B (marked with an x ) to reach C
in C major (Ex. 1) - while C does not pull towards B - emanates from the .1.3.2 Dynamic Tones
rather amazing phenomenon of tonal center which is a primary datum in tonal
The dynamic tones are the second, fourth, sixth, and seventh tones of the
music (see 12.3). major and minor scales (Ex. 3). These tones have high kinetic potential and
demand resolution (see 1.4).
Many of the analogies drawn between the scale in tonal music and the series in atonal
music are misconceived in this respect (see Chap. 40, Footnote 10; and 40.5.1).
' This quotation is taken from Jean Piaget, L e structuralijme, Presses Universitaires de Any allusion to minor scale in this text is a reference to the harmonic minor scale, unless
France, 1972, p. 69. otherwise indicated (see Chap. 23).
' Noam Chomsky, De quelques constantes de la theorie linguistique, Diogtne, No. 51, p.
14. (This reference is given by Piaget - see Foomote 3.)
4 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS THE TONAL SYSTEU 5

tables are turned. The tense tone is now C (marked with. an x) while B
EXAMPLE 3 The dynamic tones in C major
A 7 d k 7 (marked with a + ) serves as a tone of resolution. The C relates here to B as a
fourth tone to a third tone, i.e., as a dynamic tone to a static tone, and not as a
static tone to a dynamic tone (as the eighth tone to the seventh tone) as was the
case in Ex. 1.
1.4 TONAL CODE
EXAMPLE 6 Chorale St. Antoni'
The dynamic tones are drawn to the nearest static tone as follows: the sec-
ond tone is drawn to the first tone (to the third as well in the case of the minor
scale); the fourth to the third; the sixth to the fifth; the seventh to the eighth6 U Y ' I
See P o ~ n o t s8.
(first6) - Exs. 4, 5.

EXAMPLE 4 Resolution of the dynamic tones in C major

1.6 MELODIC DUCTUS
Melodic ductus9 expresses the characteristic movement of the tones of a given
model0 - comprising meter and rhythm. (It is based, in the major and minor
modes, on a number of predetermined progressions resulting from the
EXAMPLE 5 Resolution of the dvnamic tones in A minor
gravitational forces between the dynamic and the static tones.)
Melodic ductus constitutes one of the most decisive factors in determining
tonality (a group of tones without melodic ductus cannot express an un-
equivpcal tonality).
If we consider the four tones in Ex. 7, for instance, disregarding the order
The above melodic progressions (Exs. 4, 5), which emanate from the in whi& they appear, we shall see that they can express more than one
gravitational forces between the dynamic tones and the static tones, constitute tonality.
the deepest and most primary code of the tonal system; we will name this code
the tonal code. EXAMPLE 7

1.5 TONAL TENSION

The tonal code creates an important factor: tonal tension7, resulting from Each of the following five excerpts (Exs. 8-12) is built entirely on the four
differences in the kinetic potentials7 of the various tones of the scale. tones of Ex. 7. Example 8 is in G major, Ex. 9 in C major, Ex. 10 in A
Examination of Ex. 1 reveals that the tone B is tense. The tension which Aeolian, Ex. 11 in F Lydian, and Ex. 12 in E minor. l1 The tonality of each of
we sense, however, is not inherent to the tone itself. It results from the these excerpts is established only by means of melodic ductus.
DIFFERENCE IN KINETIC POTENTIALS of the tones B and C, the B relatikg to
the C as the seventh tone to the eighth. In the following passage (Ex. 6) the This melody (Ex. 6) - appearing in Haydn's Divertimento in Bb major - is given' here
in G major for purposes of illustration.
This concept (as defined a n d explained here) is proposed by the author.
The tones of the major and minor scales are usually numbered from 1 to 7. Number 8 'O The reference here is not only to the major and minor modes (i.e. the major and minor
(referring to the first tone) indicates here that the seventh tone moves to the first tone of the
scales), but to other modes as well (see 35.3.2).
scale by an ascending minor second rather than by a descending major seventh.
" The tonality attributed to Exs. 11, 12 is less unequivocal than that attributed to Exs.
' The terms tonal tension and kinetic potential are used here to allow a certain analogy 8-10.
between the musical tension ingrained in tonality and electrical tension, defined as the dif-
ference between potentials (see Chap. 40, Footnote 13).
6 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 8 A melody in G major

PRIMARY MELODIC
EXAMPLE 9 A melody in C maior PATTERNS

EXAMPLE 10 A melody in A Aeolian

EXAMPLE 11 A melody in F Lydian*

EXAMPLE 12 A melody in E minof

2.1 TO THE TEACHER

This chapter represents a further step in the development of the theoretical
apparatus related to the tonal system. The melodic ductus of the major and
minor modes is presented here in its most concentrated and crystallized form
- in six primary melodic patterns which are in fact the essential raw material
of most of the melodic lines subject to the tonal system. It will be shown, in
other words, that the above-mentioned melodic lines are constructed, for the
most part, from six welldefined and predetermined melodic patterns.
In this matter also, we have remained faithful to our basic ideology, which
states that all musical' activity (including theoretical) must be based on the
sense of musical hearing. This approach has forced us to use expandedpatterns,
two of which - ornamental pattern and imaginary organ point - purport to
depict in terms of what is HEARD that which the basic patterns can only
describe in terms of what is SEEN (see Introduction, Foomote 8).
10 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PRIMARY MELODIC PATTERNS

EXAMPLE I 6 Chorale No. 50 (F majorl EXAMPLE 22 Chorale No. 32 (A major)

w I C.P. P.P. m

, C.P. , 1
C.P. I
EXAMPLE 23 Chorale No. 202 (D major)

EXAMPLE 17 Chorale No. 6 IF major)

'YE-' C.P.

V
I P.P. , F.P. , The hsic patterns are manifested in some cases as pertinent units at the
perceptive level.
There are other cases, however, in whlch these patterns are not perceived
EXAMPLE 18 Chorale No. 30 (Eminor)
as pertinent units, due to the prominence of other organizational principles -
the rhythmic-thematic organization of the melody (Ex. 24), the distribution of
557 F.P.' r C.P. I.
the melody across separate differentiated registers (Ex. 38), e t ~ . ~
In the following excerpt, for instance, neither the connective pattern Bb-A-
I P.P. , , C.P. , G nor the prolongational pattern G-F#-G is manrfested as a pertinent unit at
the ~ r c e p t i v elevel (Ex. 24, bar 1). This is due mainly to the prominence of
the tones A-G-F# (marked with an x above the notes), which attain the status
EXAMPLE 19 Chorale No. 41 (C major) of a mbtivic feature.
I F.P. ' 'TK'
EXAMPLE 24 Chorale No. 7 2 (G minor)
-
, P.P. , P.P.

, C.P. ,, P.P. ,
EXAMPLE 20 Chorale No. 60 (D major)

The motivic organization of the excerpt in question - indicated above the

notes (Ex. 24) - is not in contradiction with the presence of the connective
and prolongational patterns - marked below the notes (Ex. 24). We should,
, P.P. , however, distinguish between the various levels of melodic organization -
the level of basic melodic patterns and other levels, such as the level of motivic
EXAMPLE 2 1 Chorale No. 68 (F major)
organization - and bear in mind that one of them may sometimes be more
prominent than the other.

It seems almost impossible to enumerate all the factors likely to determine the way in
which we perceive a melody. Furthermore, the same melody may sometimes be perceived in
several diflerent ways by the same listener (Exs.32-35).
12 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PRIMARY MELODIC PATTERNS 13

2.2.2 Expanded Patterns 2 2 . 2 2 ORNAMENTAL PA?TERN (O.P.)

The reader interested in a perception-oriented analysis will refuse to An ornamental pattern consists of one or more tones of relatively short
analyze the following passage (Ex. 25) on the basis of the basic patterns alone duration, embellishing a tone - usually a dynamic tone. The embellished
(although this is technically feasible). dynamic tone generally appears in a connective or in a prolongational pattern.
Thus, the ornamental pattern - including the embellishing tones and the
EXAMPLE 25 Chorale No. 5 (G major) embellished 'tone - usually creates an expanded form of connective or
prolongational pattern (Exs. 28, 29 - marked with an x).

EXAMPLE 28 Chorale No. 28 (B minor)

The analysis given in Ex. 25 is unsatisfactory for a musically oriented ear.

In this passage neither the connective pattern D-C-B (marked above the notes)
nor the prolongational pattern B-C-B (marked below the notes) is really
heard as such. The tone C appearing at the beginning of the last bar continues
to sound in our interior-mental hearing until its reappearance (following the EXAMPLE 29 Chorale No. 271 (Eminor)
B). Consequently, the tone B - appearing between the C in the last bar and
its reappearance - is not perceived as a constituent of the connective and
prolongational patterns presented in Ex. 25, but rather as a tone prolonging I
I C.P. ', I P.P. I
the C (see 2.2.2.2).
In order to analyze such passages as the above, while considering percep- -+
tion, several additional patterns must be introduced - the expanded patterns -.
2.2.2.3. IMAGINARY ORGAN POINT (1.O.P.)
(derived from the basic patterns by means of transformations). There are circumstances in which certain tones of a melody may produce
in our interior-mental hearing the effect of an organ point ( a prolonged
tone).5 This organ point is not an objective phenomenon, but rather one of a
2.2.2 1 EXPANDED FORMATIONAL PATTERN (E.F.P.) subjective nature. W e shall call it imaginary o r p n point.
This pattern consists of two static tones, separated by a dynamic tone An imaginary organ point is generally produced when a metrically ac-
located a second apart from one of the static tones and more than a major sec- cented tone is departed (usually by descent) and then returned t ~ The . ~
ond apart from the other (Exs. 26, 27 - marked with an x). imaginary organ point begins with the appearance of the accented tone and
continues in our mental hearing until the reappearance of the same tone.
EXAMPLE 26 Chorale No. 65 (G major) The imaginary organ point, w h c h we may consider as a particular type of
prolongational pattern, creates a kind of two-part polyphony which we shall
call melodic polyphony (see 2.4). The organ point tone constitutes one of the two
parts of this polyphony - usually the upper part - while the intervening
tones constitute the other part.

EXAMPLE 27 Chorale No. 37 [A minor)

Additive hearing enables us to hear, in addition to the a c ~ a l l ysounding tones, tones
which are not actually sounded. This can happen, of course, only under specific contextual
conditions (see Introduction, Exs. VII-IX).
An imaginary organ point may also appear, in certain cases, when a tone a second above
or below the initial tone of departure replaces its reiteration.
 14 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PRMARY MELODIC PATTERNS

The following excerpt (Ex. 30) represents a typical case of imaginary

EXAMPLE 33a h
organ point.

EXAMPLE 30 Chorale No. 1 4 (G major)

EXAMPLE 33b A

The tone G in the first bar continues to sound in our interior-mental hear-
ing until its reappearance in the second bar. The tones F#, E, and D (appearing
between the G in the first bar and the G in the second bar) create a kind of The following excerpt (Ex. 34) can also be interpreted in two different
prolongational pattern with the two G's. The passage in question therefore ways (referring mainly to the imaginary organ point), depending on the key
sounds as follows (Ex. 31). in which we interpret the melody.

EXAMPLE 31
EXAMPLE 34 Chorale No. 3 1 -

I The above melody (Ex. 34) can be interpreted in two different keys -
It is worth noting that the imaginary organ point is subject to personal
either in C major or in A minor. While the tone C can be perceived as an
interpretation, to the extent that the SAME PERSON may interpret the SAME
! imagin*y organ point in relation to C major (Ex. 35a) this tone hardly
I
j
MELODY in several DIFFERENT WAYS.
produces such an effect in relation to A minor (Ex. 35b).
W e shall illustrate this claim with the following excerpt (Ex. 32).

EXAMPLE 32 Chorale No. 47 (Dminor) EXAMPLE 35a C major

h

The above melody (Ex. 32) may be interpreted in two different ways, EXAMPLE 35b A minor

I depending on the tone concentrated upon. While the interpretation of the A as

an imaginary organ point is rooted in our concentration on the tone A (Ex.
33a), the interpretation of the F as an imaginary organ point results from the
\ concentration of our hearing on the F (Ex. 33b).
16 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PRIMARY MELODIC PATTERNS

EXAMPE 37a Bach: Nun danket alle Gott (A majof)

2.3 MELODIC FRAMEWORK
Melodic lines may be divided into three categories according to the
number of different static tones appearing in the melody:
a. melodicfield - a framework in which all three static tones are present
(Exs. 16-19);
b. melodic cell - a framework in which only two of the three static tones
are present (Exs. 20, 21);
c. melodic pivot - a framework which includes only one of the three static
EXAMPLE 37b (Emajor) r 5
tones (Exs. 22, 23).
While the melodic field usually expresses one tonality only, the melodic cell
and the melodic pivot can generally be assigned several tonal interpretations and
may be harmonized in more than one key. The chorale melody in Ex. 21, for
instance - constituting a melodic cell - is presented below in two difTerent
keys: in F major (Ex. 36a) and in D minor (Ex. 36b), while the melody given
in Ex. 22 - constituting a melodic pivot - is harmonized in three different
keys: in A major (Ex. 37a), in E major (Ex. 37b), and in C# minor (Ex.
37c). EX&LE 37c (C-sharp minor) ,

EXAMPLE 36a Bach: Wenn wir in hachsten Naten sein (F major)

2.4 MELODIC POLYPHONY

We have termed the type of two-part polyphony found in the imaginary
organ point melodic polyphony (see 2.2.2.3). Before attempting to apply primary
melolc patterns to an analysis of instrumental music (see 2.5), we ought to
EXAMPLE 36b iD minor) take a look at a more highly developed form of melodic polyphony (Ex. 38).

EXAMPLE 38 Bach: Partita I1 for Solo Violin, Chaconne

 I 18 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PRIMARY MELODIC PATTERNS

EXAMPLE 38 (continued) EXAMPLE 40b

<
i rn - r I P.P. T I1 F.P. " C.P. I

Example 38 represents a typical case of melodic polyphony (the upper and

lower parts are notated with upper and lower stems, respectively).

The D in the third bar (Ex. 39, marked with an x) does not belong to either
of the two voices isolated in Ex. 40b. It should have been resolved to c#, but
it remains without resolution in the first phrase (until the end of the fourth
bar). This creates a tension which requires resolution. The purpose of the fifth
2.5 FURTHER CONSIDERATIONS REGARDING and sixth bars is to resolve the tension created by the unresolved D in the first
MELODIC STRUCTURING phrase. The fifth bar begins with a D, thereby creating a link with the D in the
The first four bars of the following melody (Ex. 39) represent two-part third bar. This D is ornamented throughout the fifth bar and is resolved (to
melodic polyphony - as shown in Ex. 40a. Each of the two parts - notated C#) in the sixth bar. The fact that the C# is immediately prededed by a B#
in Ex. 40a with upper or lower stems, respectively - is composed of basic furthe; enhances the demand for and anticipation of the C # . As a result, this
primary melodic patterns, as shown in Ex. 40b. Ctf , anticipated since the third bar, is heard as a very desirable, significant, and
refreshihg tone.
The seventh and eighth bars play a role similar to that of the fifth and sixth
EXAMPLE 39 Mozart: Piano Concerto, K . 488 (upper part) bars. Another look at the first four bars reveals that the tone A in the third bar
is too short (a sixteenth note) to provide a satisfactory resolution for the B in
the second bar. This B then remains unresolved and the function of the seventh
and eighth bars is to provide this tone with a resolution. From the beginning
of the seventh bar until the beginning of the eighth bar the B is heard in an
embellished form (as was the D in the fifth bar). Only at the end of the eighth
bar does the much desired tone of resolution appear: the tone Ah, preceded by
an A # , which further augments the anticipatory tension.
The first four bars end with an unresolved E#.The resolution of this E# is
provided by the last four bars (bars 9-12), more precisely by the F#'s in bars 11
and 12. The Gh's in bars 9 and 10 create a great deal of tension and aspire to be
resolved by F#. Hence, these Gh's intensify the need for ~ f (firsti felt with the
appearance of E# in the fourth bar) and therefore fLlfill a role analogous to
I EXAMPLE 40a
that of the B# in the sixth bar (this B# increases the demand for the C # ,
originally created by the D in the third bar).
Following (Ex. 41) is a schematic description of the entire passage (see 2.1,
last paragraph).
 HARMONY 1N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 41
I I I I I

3 PRIMARY CONCEPTS
IN HARMONY

3.1 THE CHORD

T+ simultaneous appearance of three or more tones, at least two of which
are different in name (excluding enharmony), is called a chord. One may at
first qufstion such a definition, since it is so broad as to include even noise. It is
worth noting, however, that chordal structures vary according to style, and
that a'chord of Bach is accordingly as much a chord as is a cluster1 of Penderecki.

3.2 FUNCTIONAL HARMONY

W e shall use the term functional harmonyZ to denote the harmony founded
on the tonal system - with all it implies (tonal code, etc.). Functional har-
mony refers.primarily to music composed from Bach to D e b ~ s s y W . ~ e can
easily conclude, then, that the definition of chord given in 3.1 is much too
broad as far as functional harmony is concerned. In the period of functional
harmony a cluster, for instance, was not considered a chord, since such com-
binations of tones were unacceptable in this period.

' A cluster is a chord composed of every existent tone within a given interval (see 41.3).
As distinguished, for instance, from modal harmony (see Chap. 35).
' A . These two composers are named as historic symbols and not as indications of precise
dates.
B. Functional harmony is still used today, mostly in light music and in a certain type of
jazz (see Exs. 178, 184, 186, 187, 246, 267, 276, 277, 350, 990, 991, 1207, 1212, 1214-1219).
22 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PRl!M.qRY CONCEPTS IN HARMONY

Functional harmony is based on a relatively small number of chords

minor triad - composed of a root, a minor third, and a perfect fifth
generated by a fixed intervalic principle: the lertian principle. Chords generated
(Ex. 44,b);
by the tertian principle are composed, in their fundamental form (see 3.4), of
diminished triad - composed of a root, a minor third, and a diminished
tones between which is the interval of a third - major, minor, or &minished4.
fifth (Ex. 44,c);
(An augmented third is not among the intervals related to the tertian prin- '
augmented triad - composed of a root, a major third, and an augmented
ciple.)
fifth (Ex. 44,d).

EXAMPLE 44 The four types of triads

3.3 THE TRIAD
A triad is a chord composed of three tones, relating to each other as fol-
lows:
major minor diminished augmented
root - the lowest of the three tones forming the chord;
third - the tone which forms a third (or tenth) with the root;
f i j h - the tone which forms a fifth (or twelfth) with the root.
3.3.2.2 Any chord which contains one or more dissonant intervals (a seventh,
The following illustrates two forms of the same triad (Exs. 42-a,b). a second, a diminished or an augmented interval) is a dissonant chord. The
diminished and augmented triads are, therefore, dissonant chords (because of
EXAMPLE 42 EXAMPLE 43 the diminished or augmented fifth which they encompass).
A

3.4 FUNDAMENTAL (ROOT POSITION) CHORD,

INVERSIONS
3.3.1 Positions Any chord whose root appears in the bass is a fundamental chord. Any chord
whose root does not appear in the bass is an inversion. The difTerent inversions
The position of a chord is determined by the interval formed between its
are determined by the tone of the chord appearing in the bass. The number of
root (not necessarily the bass5) and the tone appearing in the highest part. Ac-
possible inversions is, therefore, dependent on the number of tones comprising
cordingly, chord a in Ex. 42 is in fifth position and chord b in third position.
the fundamental chord (doublings are not taken into account - see 5.3.1.1).
In cases where the root is doubled (see 5.3.1.1), the triad may also appear in
~ c c o r d i n g l ~the
, triad has two inversions:
octave position (Ex. 43).
first inversion - wherein the third is in the bass;
second inversion - wherein the fifth is in the bass.
3.3.2 Types of Triads, Dissonant Chords
3.3.2.1 There are four types of mads (defined by the size of the third and The first inversion may appear in the octave or fifth position6 (Exs. 45-a,b)
the fifth): while the second inversion may appear in the third or octave position7 (Exs.
major triad - composed of a root, a major third, and a perfect fifth
46-a,b) .
(Ex. 44,a);
In four-voice texture (see Doubling - 5.3.1.1) this chord may also appear in third posi-
tion if the third is doubled.
' Chords which include a diminished third will be discussed further on (see 28.2.1). ' In four-voice texture (see Doubling - 5.3.1.1) this chord may also appear in fifth posi-
See Inversions - 3.4. tion if the fifth is doubled.
24 H . ~ R M O N Y I N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 45 First inversion EXAMPLE 46 Second inversion

.a. b. 2

Bve pas. 5th pas. CI 3rd pos. 8ve pos.

4 SOME NOTIONS
3.5 SYMBOLIC PRESENTATION OF CHORDS
RELATED TO
The digits used in symbolic presentation of chords are in accordance with
the intervals formed between the BASS TONE (not necessarily the root) and
FUNCTIONALITY
each of the upper tones.s These digits, situated one above the other, denote the
different intervals - from the smallest to the largest in the framework of an
octave.g
The symbolic presentation of a triad (regardless of its position) will,
:,
therefore, be since an interval of a third (or tenth) and an interval of a fifth
(or twelfth) separate the bass tone from the respective upper tones. The sym-
bolic presentation of the first inversion will be $ and that of the second inver-
z.
sion For the sake of brevity the digit 3 was eventually deleted, except in
special cases. Instead of :, -
5 alone appears, and 6 replaces !.
In keeping with this symbolic presentation, the triad and its inversions are
4
called:
4.1. T.0 THE TEACHER
triad -fifth chord (5);
We sometimes come across musical concepts, the definition and explana-
first inversion - sixth chord ( 6 ) ;
tion of which are faulty. These flaws may result in serious consequences, to the
second inversion - six-four chord (2).
extent of clouding the distinctions among various musical phenomena.
One of the frequently misunderstood concepts is that of harmonic function.
The inadequate grasp of this concept is due to the many faulty explanations
and definitions assigned to it. Attempts a: defining harmonic function often
lead to a typical error of a semantic nature: instead of being described and ex-
plained through observation of its musical essence, harmonic function is at-
tributed with extraneous connotations, related to the term "function" in
general in contexts where it implies dependence, specific roles, etc. While
these features d o exist in harmonic function, they would not suffice in conveying
the full significance of this concept.
O n the other hand, the idea of "stages in a particular basic harmonic
developmentv, expressed in 4.4.1, facilitates a fuller and more profound
understanding of the concept. The reader versed in linguistics will immediate-
This system, established during the baroque period, is called thorough bass (basso continuo).
In certain instances, symbolic presentauon of chord intervals exceeds the boundaries of an ly see that the above idea clearly expresses the basically syntagmatic essence of
octave (see 19.2). the functional cycle, i.e., the syntagmatic nature of the relationship between
 26 I4.4RMO.V\' I?! 1T.T SYSTEMIC AND PHENOMENOLOCICAL ASPECTS SO,UE NOTlONS RELATED TO FUNCTIONALITY 27

the functional cycle's constituents (referring to T, SD, and D). He will also EXAMPLE 47 The triads generated by the C major scale
realize that the paradigmatic axis expresses the relationship between the various
representatives of a given function (see 4.4.2; 11.2). The "two-dimensional"
grasp of the functional cycle (referring to the syntagmatic and paradigmatic
axes) with all it implies, facilitates the explanation and deeper comprehension
of various harmonic phenomena which will be discussed at a later time (see, EXAMPLE 48 The triads generated by the A minor scale
for instance, 25.2; 2.7.2).
By becoming familiar with Chaps. 11, 20 (especially Chap. 20), one comes
to realize also that it is difficult to grasp the true significance of harmonic func-
tions without discerning the difference between two notions: harmonic function
and POTENTIAL representative of harmonic function (such as the difference
between a chord of subdominant significance and a chord with a subdominant 4.4 HARMONIC FUNCTIONS
gene but DEVOID OF SUBDOMINANT SIGNIFICANCE).
The above highlights the need for the revision and re-editing of some basic 4.4.1 The term harmonic firnction refers here primarily to each of the main
notions. It also points to the relation between the correct understanding of the stages in a particular basic harmonic development.'
above concepts and the correct and deeper understanding of real musical Four main stages, in a defined order, mark this development:
events (see 20.4). first stage - tonic (T);
,second stage - subdominant (SD);
third stage - dominant (D);
4.2 THE DEGREE fpurth stage - tonic (T).
A degree is a chord whose root constitutes one of the tones of a given scale. . Th,; sequence tonic-subdominunt-dominant-tonic is called functional cycle (or in
The various degrees will henceforth be designated by roman numerals from I certain cases, deceptive @nctional cycle).2
to VII, in accordance with the seven tones of the major or minor scales. In F Each harmonic.function - tonic, subdominant, and dominant - has a dif-
major, for instance, II, denotes the chord G - ~ b -D; 11, denotes the chord Bb - ferent degree of kinetic tendency, for which reason different functions express
D-G, and 11: denotes the chord D-G-Bb . The roman numeral I1 indicates that different degrees of tension.
the root of the chord is G (the second tone of the scale) while the numbers 5 , 6 , The tonic is "slack", without t e n ~ i o n .It~ makes continuation possible
:, which appear beside the roman numeral, determine which tone of the chord without demanding it. When it appears as the last stage of a functional cycle it
appears in the bass (be it the root, the third, or the fifth), i.e., the inversion of resolves the tension produced by the subdominant and the dominant.
the chord. The subdominant, on the other hand, has strong kinetic tendencies which not
only allow continuation, but demand movement - usually to a function of
even greater kinetic energy and tension: the dominant.
4.3 TRIADS IN THE MAJOR AND MINOR SCALES The dominant is the most tense of all harmonic functions. It acts somewhat as
a target for the entire harmonic development and is, in a sense, a focal point
The major and minor scales generate between them all four types of triads
for all harmonic tensions. It aspires to one fixed destination - the tonic, which
(major, minor, diminished, and augmented). The major scale produces three
closes the functional cycle.
major triads (I, IV, V), three minor triads (11, 111, VI), and one diminished triad
(VII) - Ex. 47. The minor scale (see Chap. 1, Footnote 5) produces two
For a fuller understanding o f this definition, see Chaps. 11, 20; and 4.1.
minor triads (I and IV), two major triads (V and VI), two diminished triads (I1 See 20.3.1; 20.3.2.
and VII), and one augmented triad (111) - Ex. 48. ' In certain instances, a tonic appearing at the BEGINNING of a functional cycle may cre-
ate a certain tension which c d s for a resolution (see Chap. 25, Footnote 5):
 28 HARMONY IN ITS SYSTEMlC AND PHENOiUENOLOCICAL ASPECTS SOME NOTIONS RELATED TO FUNCTIONALITY 29

4.4.2 Representatives dominant) is more tense, while the third chord (representing the dominant) is
the most tense.
Each harmonic function can be represented by means of various chords
(degrees of the major and minor scales). Each degree POT EN TI ALLY^ represents
4.4.3 Functional Gene, Functional Significance
a certain function (at least one). The potential representative capacity of the .
It is obvious from 4.4.2 that harmonic functions can be represented not
I various degrees is, however, not identical. There are chords whose potential
functional characteristic (referring to firnctional gene - see 4.4.3.1) is more
well-defined (unequivocal) and there are those whose potential functional
only by the main degrees but also by other degrees (from among the second-
ary representatives).
characteristic is vaguer (weaker). At this stage, it is worth clarifying an additional matter: main degrees d o

I According to the potential representative capacity of the various chords,

we shall divide the seven degrees of the major and minor scales into two
not necessarily assume functional signiJicance (see 4.4.3.2). This mainly depends
on contextual conditions, which will be discussed in Chap. 20. A lack of
groups: main representatives (main degrees) and secondary representatives (second- regard for the fact that the functional characteristics of the different degrees

1 ary degrees).
The following are the main5 representatives of the harmonic functions.
are POTENTIAL characteristics, WHICH ARE NOT necessarily "REALIZED",
may lead to a mistaken identification of the main degrees and the functions
which they can represent. It is common to refer, for example, to "sub-
! dominant" instead of to "IV". Such substitutions of one term for another are
FUNCTION: T SD D liable to cause confusion and rni~com~rehension of harmonic entities. In order
MAIN to avoid these pitfalls, we shall make use of two different notions: functional
REPRESENTATIVE: I IV V gene6,(see 4.4.3.1) and functional significance (see 4.4.3.2).

4.4.3.1, FUNCTIONAL GENE

The degrees I, IV, and V are main representatives and are called main
degrees. The degrees 11, 111, VI, and VII are secondary representatives and are This term refers to a POTENTIAL functional quality inherent to the chord.
called secondary degrees. ' I has a &nic gene; IV has a subdominant gene; V has a dominant gene.
The following passage (Ex. 49) represents a functional cycle by means of
the main degrees. 4.4.3.2 FUNCTTONAL SIGNIFICANCE
This quality, expressing the "realization" of a functional gene, is not
EXAMPLE 49
inherent to the chord. It stems only from the musical context in which the
chord appears. A chord does not always have functional significance, since its
functional gene is not always realized. In those cases in which the functional
gene is not realized, the chord is devoid of functional significance (see 20.2.2).
It is worth mentioning that there are also cases in which contextual condi-
tions are apt to endow a chord with junctional significance which is inconsistent
with its functional gene. Let it sunlce to mention at this stage the deceptive
cadence ending in V-IF; the IV, assumes in this case tonic significance despite
the fact that it carries a subdominant gene (see 14.2.3).
I The first and last chords of the above passage (Ex. 49) are the most "slack"
(these chords represent the tonic). The second chord (representing the sub-
The term gene has been borrowed from biology in order to point out the existence of
certain POTENTIAL characteristic features inherent to the chord. These features, however (as
' See 4.4.3. with the biological gene), may or may not be "realized" - depending on contextual factors
The secondary representatives (secondary degrees) will be discussed in Chap. 11. EXTERIORto the chord. (The chord may or may not assumefunctionalsign$mnce accordingly.)
30 H . ~ R M O N Y I N ITS SYSTEMIC A.VD PHENOMEVOLOCICAL ASPECTS SOME NOTIONS RELATED T O FUNCTIONALITY

4.5 PROOF OF TONALITY BY MEANS OF MAIN DEGREES EXAMPLE 5 5 EXAMPLE 5 6

4.5.1 The Tonality of a Major Key

The three main degrees of a major scale constitute major triads (the only
major triads in the major scale - see 4.3).
A single major triad (or one of its inversions) cannot determine a specific
key. With the material now available (main degrees only) an isolated major I V I V I N I v I
triad can be interpreted in three different major keys. Thus, the chord C-E-G
might be I in C major (Ex. 50), IV in G major (Ex. 51), or V in F major
(Ex. 52). The absence of a Bh (or ~ b in) the first two chords of Exs. 53, 54 makes it
impossible to specify whether these two chords belong to C major or t o F ma-
EXAMPLE 5 0 EXAMPLE 51
jor. In Exs. 55, 56 the absence of an F#(or Fb) in the first two chords, similarly
prevents the determination of their key.
T w o major chords separated by a second, on the other hand, point un-
equivocally to the key involved. As an example, let us take the chords F-A-C
and G-B-D. The tone F proves that these chords belong to no major key con-
taining sharps, while the tone B indicates that they belong to no major key
containing flats. These chords then belong to a major key containing neither
EXAMPLE 5 2 sharps nor flats: C major.
It follbws, then, that the presence of the fourth and seventh tones of the
scale is necessary, at this stage, for establishing the tonality of a major key.'
This can be attained at this stage only by means of the fourth and fifth degrees
(the two main degrees which contain the fourth and seventh tones of the scale,
respectively).

T w o major triads separated by a fourth (or fifth) are likewise incapable of 4.5.2 The Tonality of a Minor Key
defining a key. The chords C-E-G and F-A-C might pertain to either of two Proof of tonality of a minor key is simpler. T w o triads at a distance of a
different keys - C major as I and IV (Ex. 53) or F major as V and I (Ex. 54). fourth (or fifth), whether one of them is major or both of them are minor, are
The same applies to the chords C-E-G and G-B-D; they can be interpreted as I capable of establishing tonality.s The chords A-C-E and D-F-A, for example,
and V in C major (Ex. 55) or as 1V and I in G major (Ex. 56). cannot appear in D minor (because of the CP). These two chords, therefore (at
the present stages), can only be interpreted in A minor. The chords A-C-E and
EXAMPLE 5 3 EXAMPLE 54 E-G#-B cannot be in E major (because of the Ch).8 They too are, therefore,
interpreted in A minor.

It is worth noting that tonality may often be established on the basis of other factors such
as melodic ductus, rhythmic and metric conditions o f the chords, etc.
Presupposing the use of main degrees only, with no alterations other than the leading
tone.
 CHORD CONSTRUCTION FOR CHOlR

5 CHORD
CONSTRUCTION
FOR CHOIR
EXAMPLE 58 , I .

5.1 Harmony may be transmitted through various instrumental media:

keyboard instruments, choir, symphonic orchestra, etc.'
In this book, we shall focus primarily on the choir and the piano. In the
former, the texture is of four voices, while in the latter, it is variable, so that
the number of tones composing the ddferent chords is undefined.
The above may be illustrated by the partita 0 Gott, dufromrner Gott from
, the Chorale Variations by Bach. In Ex. 57, the original version is presented as
written for the organ; the number of tones composing the different chords is
not fixed and the texture varies. In Ex. 58, on the other hand, the partita is ar-
ranged in a consistent four-voice choral texture.

EXAMPLE 57 Bach: 0 Gott. du frommer Cott

' Every instrument or group of instruments presents a specific set of problems, related
malnly to the field of orchestration. 'This paasage can not be properly realizedin four voices.
 H.dRMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS CHORD CONSTRUCTION FOR CHOIR

5.2 THE CHOIR 5.3.1.1 DOUBLING

The choral ensemble we shall use is based on four voices: two female The solution to the problem exposed in 5.3.1 lies in the doubling (addition)
(soprano and alto) and two male (tenor and bass). The range of each of these is ! of one of the chord tones, at the unison or one of the higher octaves.
given in Ex. 59.' At the present stage, in a main degree triad, only the root will be doubled.
At later stages, the choice of the most suitable tone for doubling will be deter-
mined by considering contextual factors (see, for instance, 23.3.5.1).
EXAMPLE 59 The range of the voices
or)'
5.3.1.2 DISTRIBUTION OF THE TRIAD TONES
The root appears in the bass. The other tones (third, fifth, and doubled
soprano
U
alto tenor* (8) bass
root) appear in the upper voices in any order (Ex. 64).
'See Poornote 3.
5.3.1.3 The following should be avoided4:
a. intervals larger than an octave between soprano and alto and between
The four voices of the choir will be notated, for the sake of convenience, alto and tenor (Exs. 61-a,b); between tenor and bass, any interval may be used
on two staves: the soprano and alto on the upper staff, the tenor and bass on - not exceeding two octaves;
the lower staff (Ex. 60). b. voice nossing - a disruption of the natural voice order (placing the tenor
highqr than the alto, for instance - Ex. 62).
EXAMPLE 60
A I somano EXAMPLE 62

II
bass

intervals larger than an octave voice crossing

5.3 TRIAD CONSTRUCTION FOR CHOIR, 5.3.2 Triad Positions

TRIAD POSITIONS 5.3.2.1 It was stated in 3.3.1 that the position of a chord is determined by the
5.3.1 The construction of a triad for a choir presents a problem: how to interval formed between its root and the tone of the highest part (the soprano
distribute three tones among four voices. in the case of a mixed four-voice choir).
A triad can, therefore, appear in three positions:
As we are dealing with the human voice, it is impossible to determine the precise range. a. octave position - when the doubled root appears in the soprano
The ranges given in Ex. 59 represent an average for voices which are not highly trained. (Ex. 63,a);
'A. it is customary to write the tenor voice on the G clef also, in which case the notation b. third position - when the t h r d appears in the soprano (Ex. 63,b);
is an octave higher (Ex. 59).
B. In the higher register the tenor sometimes sounds an octave higher than written on the c. Iifth position - when the fifth appears in the soprano (Ex. 63,c).
F clef.
' This applies not only to triads, but to other chords as well (see 22.7).
\ 36 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

I
EXAMPLE 63

SOME NOTIONS
Bve pos. 3rd pos. 5th pos
RELATED TO
CONNECTION OF
5.3.22 OPEN AND CLOSED POSITIONS 'CHORDS
These posi.tions are determined by the interval between the soprano and the
tenor. When the interval is less than an octave, the chord is in closed position.
When it is greater than an octave, the chord is in open po~ition.~
Hence, a triad may appear in six different forms: closed third position (Ex.
64,a), closed fifth position (Ex. 64,b), closed octave position (Ex. 64,c), open
third position (Ex. 64,d), open fifth position (Ex. 64,e), and open octave posi-
tion (Ex. 64,f ).

6.1 T ~ THE
' TEACHER
EXAMPLE 64
The .mawrial treated in this chapter is - for the most part - disliked by
teachers and students alike, and not without reason. It is difficult to become
interested in this subject matter with its endless do's and don'ts when the
background for their formulation has not been explained.
In connection with this point we would like to dwell briefly upon the

\ ,. word forbidden. Used uncritically, it is liable to cause misconceptions with

regard to the status and purpose of the theory of music.
'i, closed position open position
Prohibition is a consequence of desirability. Hence, the use of the word
forbidden is legitimate only in connection with laws expressing desirability,
i.e., social laws.
In the domain of scientific laws, the word farbidden is meaningless. No
physical law, for instance, can be formulated using the word forbidden, because
the laws of physics do not forbid or permit anything.
The propositions of music theory are not unequivocal in this sense. In one
respect, they resemble social laws when they express desirability, while in
'
An intermediate position - semi-open or semi-closed - can be formed when the interval
another respect they resemble scientific laws when relating to a music, created
between the soprano andthe tenor is an octave. This may occur in a triad in which a tone prior to the formulation of the theoretical propositions and not subsequent to
[I other than the root is doubled. their formulation.
38 HARMONY IN ITS SYSTENIC AND PHENOMENOLOC~CAL ASPECTS SOME .VOTIONS RELATED TO CONNECTION OF CHORDS 39

In any case, the use of the word forbidden can be justified only in the first
Similar motion - progression of a number of voices by different intervals in the
instance, i.e., when composers decide to deal with certain phenomena ac-
same direction (Exs. 66,a-c).
cording to a set of predetermined principles.
Let us take, for example, the case of parallel fifths. The avoidance of paral- EXAMPLE 66 Similar motion
lel fifths probably resulted from the desire to become free of certain stylistic
traits which had characterized organum (see 35.2). Composers decided a priori to
avoid parallel fifths (they forbade themselves the use of parallel fifths) for
which reason "parallel fifths are forbidden" is justified in connection with cer-
tain types of music. Contrary motion -progression of two voices in opposite directions (Exs. 67-
.-
Yet, it is worth noting that the absence of parallel fifths in preclassical, clas- a,b).
sical, and romantic music created a kind of auditive allergy to their appearance EXAMPLE 67 Contrary motion
in these styles (their appearance in any of the above styles would tend to be
considered foreign, sometimes disrupting the organic unity of the stylistic
framework). Needless to say, this is purely the result of conditioning (being
unaccustomed to hearing parallel fifths in these styles).
Oblique motion -progression of two voices wherein one voice remains in
place (progresses a prime) while the other ascends or descends (Exs. 68,a-c).

EXAMPLE 68 Oblique motion

6.2 DEFINITIONS
Chord succession - selection of chords and determination of the order in which
they are to appear (see Chap. 12).

Chord connection - execution of a transition between two consecutive chords. Parallel intervals - consecutive appearance of two identical harmonic intervals
(formed by two voices in parallel mction) - EXS. 65,a-d.
Voice leading - determining the progression of the voices from one chord to
' another. Hidden interval - interval entered by similar motion with a leap in the upper
voice (Exs. 69, a-c).
Step - progression of a major or minor second.

Leap - progression of an interval greater than a major second.

Parallel motion - progression of a number of voices (ascending or descending

hidden 5th hidden 7ih hidden Eve
- not staying in place) by the same interval, in the same direction (Exs. 65,
ad).
Preparation (interval preparation) - entry into a given interval by means of
oblique motion (Exs. 70,a-c).
EXAMPLE 65 Parallel motion, p a r d e l intervals
EXAMPLE 70 Prepared intervals

parallel 5ths parallel 7ths

pjepared 7/h prepared 5th prepared Eve

40 H.iRMONY IN ITS SYSTEMIC AND PHENOMENOLOGlCAL ASPECTS SOME NOTIONS RELATED T O CONNECTION OF CHORDS 41

6.3 PRINCIPLES OF VOICE LEADING A. It represents a motivlc feature of the melody.

In connecting two chords, it is best to lead the voices by the shortest pos-
B. The above is a case of melodic polyphony (the Ab does not proceed to D
but to the G in the next bar, just as the D does not progress to G but to the C
sible course. Dissonant leaps (including augmented or diminished intervals)
in the next bar).
are to be avoided, except for some instances in the bass (see Chap. 8, Footnote '

2).
The above refers to a four-voice texture in which the upper voice (the
soprano) does not constitute an independent melody. This texture might be 6.4 NORMATIVE HARMONIC INTERVALS IN
regarded as the harmonic accompaniment of a hypothetical melody - which FUNCTIONAL HARMONY
would constitute an additional voice in this case - (Ex. 71).
The normative harmonic intervals in functional harmony are the imperfect
consonances (thirds and sixths).
EXAMPLE 71 Franck: Sonata for Violin and Piano (the piano part)
Alleweno ben moderato When the harmony of a simple melody is represented by two voices
!
1
instead of four, parallel sixths or thirds are most commonly used (Ex. 7 4 ,
rather than fifths, fourths, seconds, or sevenths (Ex. 75).

EXAMPLE 74 Au clair d e la lune in parallel sixths

EXAMPLE 7 2 Franck: Sonata for Violin and Piano (the violin part)
Allegretto hen moderato
A,, JJ .-
EXAMPLE 75 Au clair de la lune in parallel fourths

L
Example 71, for instance, constitutes the harmonic accompaniment of the
melody given in Ex. 72.
The following passage (Ex. 73), on the other hand, exemplifies a texture
whose upper voice constitutes in fact an independent melody. Imperfect consonances represent the normative harmonic tension in func-
tional harmony1 (they are the most suitable intervals for transmitting harmony
of neutral character in two-voice texture). Any digression towards the disso-
EXAMPLE 73,
nant intervals or the perfect consonances constitutes a violation of this norm
and demands preparation2.

' Normative harmonic tension is an important factor in the characterization o f a musical

style. The appearance of parallel thirds or sixths in a work such as T o the Victims of Hiroshima:
I Threnody by Penderecki, for instance, in which the normative harmonic tension is that of the
\! cluster (see 41.3), would undoubtedly arouse in the listener the same feeling of stylistic in-
congruity (because of the sharp digression from the accepted norms) as would the appearance
The diminished fifth ACD in the upper voice (Ex. 73) is acceptable for two
reasons. ' of a cluster in a piece by Mozart.
See 6.5.4; 18.3.1.
42 H.~R.MO.VY IN ITS S Y S T ~ I CA N D PHENOMENOLOGICAL ASPECTS SOME N O n O N S RELATED T O CONNECTION OF CHORDS

EXAMPLE 79
6.5 TREATMENT OF THE PERFECT CONSONANCES
(PRIME, OCTAVE, FIFTH)^
6.5.1 Parallel primes, octaves, and fifths (as well as twelfths) between any ,

two voices are forbidden4 (Exs. 77,a-c). This does not apply to cases in which
one (or both) of the fifths is diminished (Exs. 78,a-c).
acceplable parallel 5 t h ~ acceptable parallel 51hs 'avoided p h r a ~ l e5rhs'
~
EXAMPLE 77
An effect of parallel fifths or octaves (even when they are not actually
present) is liable to result from the appearance of two consecutive chords, both
of which are in octave or fifth position (Exs. 80-a,b) - see Footnote 4, C.

EXAMPLE 80

I
parallel primes parallel Eves I parallel 5ths

EXAMPLE 78 Acceptable parallel fifths

an effect of parallel Mhs QI effect 'of parallel 8ves

6.5.2 Hidden fifths and octaves are to be avoided, especially between the bass
The ~arallelfifihs in Ex. 78 are acceptable, on the condition that they are and the'sopranoJ (Exs. 83-a,b).
not formed between the outer voices (bass and soprano). Accordingly, the
parallel fifths in Exs. 79-a,b are acceptable, while those in Ex. 79,c are to be
Aoided.

Regarding the treatment of the fourth, see 17.1; 17.3.

' A.See 6.1.
B. This excludes certain instances of fifths to be dealt with further on (see
28.2.1.1.5). hidden 8ve hidden 5th
C. W e are tolerant towards the appearance of parallel fifths which d o not produce the
"effect of parallel fifths". Parallel fifths of this type appear, for instance, in the following pas- Our sensitivity to the perfect consonant intervals (as also to dissonant intervals) is more
sage (Ex. 76). O n the other hand, we have reservations regarding the effect of parallel fifths acute when they appear in the outer voices (between the bass and the soprano). Hidden
and octaves, even without the actual appearance of these intervals (Exs. 80-a,b). fifths and octaves between any pair of voices other than bass and soprano are quite common
EXAMPLE 7 8 Parallel fifths which do "01 produce the 'cfrecl or psrallel fifths' (Exs. 81, 82).
EXAMPLE 82 Bach: An W~rcrjltinmBabylon

D. Parallel fifths appeared, at a later period, in a certain type of texture (similar to that of
W
organum) used in jazz (Exs. 275, 1228, 1229).
44 H.4RMONY I N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

6.5.3 Entry into or exit from a prime in similar motion is not desirable. Ac-
cordingly, the chord connections presented in Exs. 84-c,d are considered
better than those given in Exs. 84a,b.

EXAMPLE 84
CONNECTION OF
MAIN DEGREE
TRIADS
6.5.4 The best way of entering a perfect consonance is by oblique motion,
i.e., with preparation (Exs. 85-c,d), while certain harmony textbooks recom- 7.1 This chapter and the following one are devoted to the treatment of actual
mend the use of contrary motion for this purpose (Exs. 85-a,b). connection of chords. In this regard it should be remembered that at the mo-
ment we are not dealing with harmonic problems per se', but with technical
EXAMPLE 85 problems preliminary to the study of harmony.

7.2 CONNECTION OF TRIADS SEPARATED BY A

FOURTH (OR A FIFTH) - I-IV; IV-I; I-V; V-I
The fifths in Exs. 85-c,d produce a softer effect than those in Exs. 85-a,b.
The chord connections below (Exs. 86, 87) are accomplished by leading
O n the whole, it may be asserted that the treatment of perfect consonances the voices by the shortest possible course: the bass leaps a fourth or a fifth, one
i? functional harmony is similar to the treatment of dissonant intervals (as will voice stays in place2, the two remaining voices move stepwise in parallel mo-
be shown later on): neither parallel fifths and octaves nor parallel seconds and tion.
sevenths usually appear. The proper entry to seconds and sevenths is by ob-
lique motion (with preparation); the same holds true for the perfect con- EXAMPLE 86 . .
sonances. Oblique motion in these two cases is intended to prepare the digres-
sion from the imperfect consonant intervals, which - as stated above - repre-
sent the normative harmonic tension in functional harmony.

See, for instance, Chap. 12.

.- of tone (the C in Exs. 86,a-f and the G in Exs. 87,a-f ) is called a
This type common lonc
(it is common to both 'chords).
46 HARMONY IIV ITS SYSTEMIC AiVD PHENOMENOLOGICAL ASPECTS CON.VECT1ON OF MAlN DECREE TRIADS

EXAMPLE 87 EXAMPLE 90

The-following illustrates several additional ways of connecting two chords

separated by a fourth (Exs. 88,a-d).

EXAMPLE 88

7.4 HARMONIC RHYTHM, CONNECTION OF TRIADS

QN THE SAME DEGREE (I-I; IV-IV; V-V)
7.4.1 The chords, or to be more precise, the degrees in functional harmony
change-'at a more or less fixed rhythm3 This rhythm, in accordance with
which.thqdegrees change, is called harmonic rhythm. The harmonic rhythm in
7.3 CONNECTION OF TR'IADS SEPARATED BY the following passage (Ex. 91), for instance, is based on a unit of three quarter
A SECOND (IV-V; V-IV) notes.
, T w o triads separated by a second have no tones in common. Leading the EXAMPLE 91 Chopin: Mazurka, Op. 17, No. 2
voices by the shortest route (with all four progressing in parallel motion)
results in parallel fifths and octaves (Ex. 89). T o avoid this, the three upper
voices (soprano, alto, and tenor) are usually led in contrary motion to the bass ,

- by the shortest course: one voice leaps a third, while the other two move
stepw ise (Exs. 90,a-1).

I 1v - VII I11------
EXAMPLE 89
n I I

IV v
parallel Bves and 5 t h ~
Especially in music whose meter is prominent (music o f a dance-like character, for in-
stance).
48 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS

7.4.2 The succession of two chords whlch constitute the same degree usually
causes a slowing down of the harmonic rhythm. This deceleration, which
dilutes the harmonic information, is generally compensated on the melodic
level - by introducing a new tone in the upper voice.
In connecting two triads which constitute the same degree, a new tone is,
0 MAIN DEGREE
therefore, usually introduced in the soprano; the bass remains in place or leaps
an octave; the tenor and the alto complete the chord (Exs. 92,a-1).
SIXTH CHORDS
EXAMPLE 92

8.1 The sixth chord, as stated in 3.5, constitutes the triad's first inversion,
i.e., it'kepresents a triad whose third is in the bass.
W.hilqin the triad the root is doubled (see 5.3.1.1), in sixth chords of the
main degrees the root or the fifth may be doubled (at the present stage the
In the following passage (Ex. 93) the harmonic rhythm is based on a unit of third will not be doubled). Hence, a sixth chord can appear in two positions
one bar. Thus, the chords within each bar may remain unchanged, even only: fifth position or octave position.' A sixth chord can, therefore, assume
though they constitute the same degree. four forms: octave position with root or fifth doubled and fifth position with
root or fifth doubled (Exs. 94,ad).
EXAMPLE 93 Schuben: Mass in G major
Allemo moderato
EXAMPLE 94

1 1 1
octave position flfth position

' A sixth chord cannot appear in third position as yet, since the third is in the bass and
should not be doubled.
 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MAIN DEGREE SIXTH CHORDS 51

8.2 CONNECTION OF MAIN DEGREE SIXTH CHORDS 8.3.1 Sixth chords are usually tenser than triads, possessing a higher degree of
Following are all the possible successions between any two chords of those kinetic potential (Ex. 97). They are, therefore, particularly suited for places
which are now at our disposal. I
where the harmonic flow needs a "push". Thus, phrases are not ordinarily
ended with a sixth chord.

EXAMPLE 97 Handel: Belshazzar

1,-IV,; 16-v6; IV-I; IV,-v,; v6-16; v6-Iv6.

6
*See Footnote 2.

It is worth practicing the above chord successions in all possible forms in

order to gain technical control of voice leading.
The following, for instance, illustrates several ways of connecting I-I,
(Exs. %,a-f ). (Gminor) V6 I- IV, v

EXAMPLE 96
8.3.2 By using sixth chords and triads on the main degrees, one may create a
bass Tine whlch includes all of the scale tones except the second. Thus, scale-
like passages (ascending or descending seconds) can occur in the bass, render-
ing it &ore melodious. These scale-like passages also produce kinetic energy
which increases with every step. This energy can be halted by interrupting the
stepwise motion - by means of a leap3 (Ex. 98).

EXAMPLE 98 I I I I I

8.3 FURTHER CONSIDERATIONS

The use of sixth chords creates two results:
a. harmonic tension (see 8.3.1);
b. a more developed bass line (see 8.3.2).

These chord successions (referring to IV-V, and V,-IV) necessitate the leap of a tritone in
the bass. This tritone should appear in the form of a diminished fifth (Exs. 95-a,b) and not of
an augmented fourth (Exs. 95-c,d), in order to enable a more natural melodic continuation.
EXAMPLE 95

---. -- --. .....-- .

3 The structure of the bass line and its relationship to harmony is discussed in Chap. 13.
 NONCHORD TONES

EXAMPLE 100

NONCHORD
TONES
We cannot accept the harmonization presented above (Ex. loo), and are
inclined to assume that the reader cannot accept it either. O n the other hand, if
we were to harmonize this passage intuitively, the result would be something
like the following (Ex. 101).

EXAMPLE 101 \.

1 I Iv
i
see Foettnote 1.
9.1 TO THE TEACHER
\ If we were to state that a nonchord (nonharmonic) tone is simply a tone As a 'Eonsequence of the above harmonization (Ex. IOI), certain tones in
1 that sounds like a nonchord tone, we would be uttering a truth which ought the soprano (and alto) are not components of the chord (the tones in
not to be taken lightly. This "definition", reflecting a perception-oriented at- parentheses). These are called nonchord tones (the more common term is non-
i
titude, covers some subtle matters (revealed, for instance, in 9.4) which are not harmonic tones). .
1,
! covered by the formal definition given in 9.2. A nonchord tone is one which does not belong to the tones which
comprise the chord (chord tones referring in functional harmony to the tones
generated by the tertian p r i n ~ i p l e ) . ~
Nonchord tones d o not necessarily appear exclusively in the upper voice.
9.2 DESCRIPTION AND DEFINITION OF THE They may appear in any voice, and in several voices simultaneously.
NONCHORD TONE
I

I If the following melody (Ex. 99) were to be harmonized using the data
presently at our disposal, the result would be similar to that given i n Ex. 100.
' See the Dominant Seventh Chord and Its Inversions- 10.3. (This footnote refers to
Exs. 101, 105,d; 107, 111, 123, 125, 129,b; 138.)
There are cases in which tones forming tertian chords behave as NONCHORD TONES.
This results mainly from the harmonic rhythm (the tones E and C in the second bar of Ex. 101.
EXAMPLE 99 and the tones C# and A in the second bar of Ex. 108 represent typical cases of such nonchord
Mozart: String Quartet, K. 157 (first violin part)
A Allegro
tones) as well as from other contextual conditions (Ex. 138 - the first A in the upper part of
bar 5). It is, however, worth noting that the opposite case exists as well; tones which are not
generated by the tertian principle sometimes behave as chord tones (see Ex. 137; Introduction,
Ex. X).
54 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS :VOR'CHORD TONES 55

9.3 TYPES OF NONCHORD TONES Example 102,d - a descending passing tone in the bass with a change in
Nonchord tones are divided into two groups (A and B) on the basis of degree (I-IV,).
their harmonic prominence. Example 102,e - two descending passing tones (parallel passing tones) in
' the alto and the bass with a change in degree (I-I\).
A; This group contains tones appearing after the initial striking of the
Example 102,f - two ascending passing tones (the bass and the soprano)
chord.
without change of degree (I-I,).
B. This group contains tones appearing with the initial striking of the
Example 102,g - two contrary passing tones (an ascending passing tone in
chord.
the soprano and a descending passing tone in the bass) without change of
The duration of a nonchord tone is in both cases (A. and B.) shorter than degree (I6-I).
the duration of the chord.
Following are some further illustrations (Exs. 103, 104).
9.3.1 Nonchord Tones Belonging to Group A EXAMPLE 1 0 3 D. Scarlatti: Sonata, L. 4 1 3

9.3.1.1 PASSING T O N E
Entered by a second, exited by a second in the same direction as the
entrance (Exs. 102,a-g).

EXAMPLE 102 Passing tones

EXAMPLE 1 0 4 Bach: Lobt Gott, ihr Christen, allzugleich

9.3.1.2 CHANGING (AUXILIARY) T O N E

Entered by a second, exited by a second (the same type of second) in
opposite directions. Therefore, the changing tone returns to the tone from
which it came (Exs. 105,a-d).

EXAMPLE 1 0 5 Changing tones

Example 102,a shows an ascending passing tone in the soprano without
change of degree ('-4).
Example 102,b - an ascending passing tone in the alto with a change in
degree (I-V,).
Example 102,c - a descending passing tone in the tenor with a change in
degree (I6-IV).
I IIV, 'I I I- 'y I
'See Footnote 1 .
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS NONCHORD TONES
I
Example 105,a shows a lower changing tone in the soprano without
9.3.1.3 ANTICIPATORY TONE (ANTICIPATION)
change of chord.
Example 105,b - a lower changing tone in the alto with change of chord Entered by a second, exited by a prime (Exs. 109-111).
- (I-Iv6).
Anticipatory tones
Example 105,c - two upper changing tones (parallel changing tones) in EXAMPLE 109
1 the soprano and the tenor.
i Example 105,d - three changing tones: two upper (in the soprano and the
alto) and one lower (in the bass). These three changing tones (Ex. 105,d) form
a kind of "changing chord".'
i
Following are some other examples (Exs. 106-108).

I EXAMPLE 1 0 6 Beethoven: Piano Sonata, Op. 14. No. I EXAMPLE 110 Bach: Das wohltemperierte Klavier, 11, Fuga No. 22
Allegretto

1
I
i

1
1
j

EXAMPLE 11 1 Beethoven: Piano Sonata, Op. 49, No. 2

!. EXAMPLE 1 0 7 Kreisler: Caprice Viennois, Op. 2
1 . [Andante con mot01 Pih lent0 T ~ ~ Ddi Omenuetto

9.3.1.4 ESCAPING TONE (BCHAPPBE)

Entered by a second, exited by a leap in the opposite direction (Exs. 112-
114).
EXAMPLE 108 Mozart: Piano Sonata, X 331
Andante grazioso
EXAMPLE 112 Escaping tones
60 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS NONCHORD TONES

9.3.2 Nonchord T o n e s Belonging t o G r o u p B EXANIPLE 123 Brahms: Horn Trio, Op. 40

9.3.2.1 ACCENTED PASSING TONE

Similar to the unaccented passing tone, except for the fact that it appears . dolce, e s p r . I
simultaneously with the chord (Exs. 120, 121).

EXAMPLE 120 Accented passing tone 1 21 dolce ( I I I

See Poolnote 1. V7 v!'

9.3.2.3 SUSPENDED TONE (SUSPENSION)

Entered by a prime, exited by a second, usually in descent (Exs. 124-a,b).
EXAMPLE 121 Bach: Liebster Jesu, wir sind hier The duration of the tone from which the suspension is entered must be iden-
tical cx longer than the suspension itself; otherwise, if the preceding tone is
of shorter duration, a different type of nonchord tone comes into being (Ex.
124,~). i

' -.
EXAMPLE 124 Suspended tones (a., b.1

9.3.2.2 ACCENTED CHANGING TONE

Similar to the changing tone (unaccented), except for the fact that it
appears simultaneously with the chord (Exs. 122, 123).
I
lv- v- v-

EXAMPLE 122 Accented changing tone In Ex. 124,c, the tone C (marked with an x) does not constitute a suspen-
n I sion, since the note preceding it (C in the first bar) is of shorter duration. The
C in the first bar is an anticipation, while the C in the second bar is an ac-
cented passing tone.
Following are some additional examples of suspended tones (Exs. 125-128).
62 HARMONY 1W
. ITS SYSTJMIC AND PHENOMENOLOGICAL ASPECTS NONCHORD TONES

EXAMPLE 125 Schubert: Piano Sonata, Op. 78, Scherzo 9.3.2.4 APPOGGIATURA TONE
Allegretto
Entered by a leap, exited by a second, usually in descent (Exs. 129-132).

EXAMPLE 129 Appoggiatura tones

See Footnote 1. I

EXAMPLE 126 Verdi: Rigoletto Sea Footnote I. V I --- rv- v,*-

EXAMPLE 130 Schumann: Kinder-Sonate,Op. 118 a
Piuttosto lent0

EXAM& 131 Mozart: Piano Sonata, K. 332

EXAMPLE 127 Mozart: Variations, K. 265

EXAMPLE 132 Schubert: Piano Sonata, Op. 42, Scherzo

EXAMPLE 128 Bach: Schaut, ihr Siinder

The tones of Group A are mostly melodic in character and cause almost no
intensification of the harmonic tension (because of their appearance after the
chord is struck). The tones of Group B, on the other hand, result mainly in the
64 HARMONY IN I T S SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS NONCHORD T O N E S

intensification of harmonic tension. The appearance of a number of these 9.4 FURTHER CONSIDERATIONS
simultaneously is apt to amplify the harmonic tension considerably (Exs. 133-
136). The distinction between chord tones and nonchord tones is not merely a matter
of d e f i n i t i ~ n . ~
EXAMPLE 133 Beethoven: Piano Sonata, Op. 2 , No. 1 As early as the Introduction, an example was given in which formal defini-
tions did not apply, the deciding factor being one's sense of hearing (Ex. X).
Following are two further illustrations of the discrepancy between that which
is SEEN i.e., covered by definitions, and that which is HEARD (Exs. 137, 138).

EXAMPLE 137 Chopin: Mazurka, Op. 7, No. 1

Vivace

EXAMPLE 1 3 4 R. Strauss: Allerseelen, Op. 10, No. 8

Tranquillo

The ELI in Ex. 137 (marked with an x) does not sound llke a nonchord
tone, k t rather like a constituent of the chord, despite the fact that the com-
bination ~ b - F - ~ b - D - ~ hdoes not represent a tertian chord. The sensation that
Eb is a Ehord tone is caused here by the musical context.
T h e thkd bar: (Ex. 137) is a kind of sequence to the second bar and the first
bar. Accordingly, the EL1 in the third bar is analogous to the D in the first bar
EXAMPLE 135 Chorale cadence and to the A in the second bar. These two tones ( D and A) are undoubtedly
fi chord tones in their respective contexts. The sequential process creates a kind
of conditioning, as a result of which we tend to relate to the Eb in the same
way we relate to the tones D and A. Consequently, the ~h is perceived as a
CHORD TONE in this instance, even though the combination, Bb-F-Bb-D-Eh
does not fit in the catalogue of tertian chords.

The following passage (Ex. 138) represents another case.

EXAMPLE 136 Bach: Fugue in A minor

Fantasia EXAMPLE 138 Beethoven: Piano Sonata, Op. 10 No. 3, Minuet
66 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOCICAL ASPECTS

The tone G in the fifth bar (marked with an x) creates a prototypic visual
impression of a lower changing tone (Ex. 138). A closer study of the text will
prove, however, that this G is not foreign to the chord (a changing tone) but is
in fact a chord tone.'
Because of the sequential process, the above G sounds retro-auditively
analogous to F# in the sixth bar, i.e., like a CHORD TONE. In the same vein one
0THE DOMINANT
may argue that the tone A at the beginning of the fifth bar behaves somewhat
analogously to the G at the beginning of the sixth bar, i.e., as a NONCHORD
SEVENTH CHORD
TONE (although it theoretically constitutes the root of the chord C#-E-A).~
In the following example (constituting a sort of "deep structuren3 of the up-
per voice of Ex. 138) the notes in parentheses are those which behave in Ex.
138 as nonchord tones (Ex. 139).4

EXAMPLE 139

' See Footnote 5 .

10.1 TO THE TEACHER

Every teacher of harmony is familiar with the multitude of rules customari-
ly taught in connection with the resolution of the dominant seventh chord and
i its inversions - rules such as: the diminished fifth is resolved to a third; the
augmented fourth to a sixth; the dominant seventh chord to an incomplete I
(with a tripled root and no fifth); the incomplete dominant seventh chord to a
complete I; V, t o I,; etc., etc.
The common resolution of the dominant seventh chord and its inversions is
' This linguistic term seems to be quite appropriate for the present purpose, since it ex-
explained here on the basis of the tonal code (see 1.4). The student need not
presses in linguistics (disregarding the semantic aspect) a notion which is similar to the idea
expressed here. (One can say, therefore, that the upper voice of Ex. 135 represents a "surfdce learn any new rules. H e will merely discover that all those mentioned above,
structure" form of Ex. 139 - see also 2.1, last paragraph.) in addition to many others - such as that which states that the resolution of V,
i
W e relate to the F# (marked with an x -Ex. 139) as to a nonchord tone since the six- to VI requires a doubling of the third (Ex. 161) - are part and parcel of one
four chord in Ex. 138 behaves as a V with two nonchord tones: F# and D (see Cadential
Six-Four Chord - 17.2). single principle: the resolution of dynamic tones to static tones.
The C# (marked with brackets - Ex. 139) is not part of the "deep structure" of the The importance of this approach lies not only in its immediate effec-
melody of Ex. 138, although it acts there as a chord tone. tiveness, but mainly in that it demonstrates the embodiment of the tonal code
68 HARMONY 1N ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS THE DOMINANT SEVENTH CHORD

at different levels of musical structuration. (The embodiment of this code has 10.2.3 Symbolic Presentation
already been demonstrated in connection with the melodic level - see Chaps.
:
The full symbolic presentation of a seventh chord is 3 , abbreviated2 to 7.
1, 2.)
z.
The full notation of the first inversion is , abbreviated2 to This chord is
3
called, accor&ngly, a six-jive chord.
10.2 THE SEVENTH CHORD 3
:
The full notation of the second inversion is 46 , abbreviated2 to (four-three3
chord).
10.2.1 Structure, Positions The full notation of the third inversion is 46 , abbreviated2 to 2. This chord
is called a two chord.
The seventh chord is composed of four tones: root, third, fifth, and
Each of the above chords can appear in three different positions:
seventh. It can, therefore, appear in three positions: third position, fifth posi-
tion, and seventh position (Ex. 140,a). six-five chord - in octave, fifth, or seventh positions (Ex. 141,a);
A seventh chord can also appear without a fifth, with a doubled root. It is four-three chord - in octave, third, or seventh positions (Ex. 141,b);
then called an incomplete seventh chord and it may appear in third, seventh, or two chord - in octave, third, or fifth positions (Ex. 1 4 1 , ~ ) .
octave positions (Ex. 140,b).

EXAMPLE 140 10.3 THE DOMINANT SEVENTH CHORD AND ITS

INVERSIONS
10.3.1 Of the various seventh chords, one of the most frequently used is that
which appears on V. It is composed of a root, a major third, a ~ e r f e cfifth,
t and
a migor seventh. Its notation is V7,and it is called a dominant seventh chord.

camplace wvantb chord incomplete ae*snth chard ' \

10.3.2 Resolutions
10.2.2 Inversions The dominant seventh chord and its inversions are dissonant chords since
each contains two dissonant intervals: a seventh or second (created between
The seventh chord has three inversions1: first inversion, in which the third
the root and the seventh) and a tritone (found between the third and the
is in the bass; second inversion, in which the fifth is in the bass; third inversion,
seventh). Since these chords are dissonant, they call for resolution.
in which the seventh is in the bass (Exs. 141,a-c).

EXAMPLE 141 10.3.2.1 The resolving chord, at the present stage, will be I in accordance
a. first inversion b. second inversion C. third inversion with the following rules.
(third in bass) (fifth in bass) (seventh in bassl
A. Every dynamic tone included in V7 (or its inversions) will be resolved in
accordance with this trait. (The second scale tone is resolved to the first, the
(1 Bve pos. I 5th pos. I 7th pos. 1 (
8ve poo. 3rd pos. [7th'pos. 11 Bve pas. [ 3rd pos. ( 5th pos. [( fourth to the third, and the seventh to the eighth - see 1.4.)
B. When the root of V7 (a static tone) is in the bass, it moves to the root of
I; when it appears in any other voice it stays in place.
six-5va chord (2) twochord (2)
The abbreviated notation is the most commonly used (see 3.5).

' The incomplete seventh chord does not usually appear in inversion. ' The number 6, rather than the 3, is omitted to distinguish the notation of this chord
from that of the six-four chord (i) which is the second inversion of a triad (see 3.5).
 2, z 6
a 8 5 2 Y
yl
R F FI ~ . ~
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0 73
r 2 E &2
n 0 4
;gag 0" 2.
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* o z 1 -a
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 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS THE DOMINANT SEVENTH CHORD

EXAMPLE 147 Bach: Wir Christenleut' EXAMPLE 151 Bach: Aus tiefer Not schrei' ich zu dir
I I
L m

It should be noted, however, that Bach did use the inversions of V7 (V, and V7 attained the status of an independent chord, i.e., with the seventh as a
V2)4 as independent chords, i.e., with the seventh as a chord tone (Exs.148-151) chord tone, mainly in classical music (Exs. 152-154).
- unlike the V7 itself, in which the seventh appears usually as a passing tone.

EXAMPLE 148 Bach: Das wohltemperierte Klavier, I , Praludium No. 1. EXAMPLE 152 Mozart: Piano Sonata. K . 547a

'See Footnot0 5.
v: 1

EXAMPLE 149 Bach: Kommt her zu mir, soricht Gottes Sohn

EXAMPLE 153 Beethoven: String Quartet, Op. 18, No. 2

EXAMPLE 150 Bach: Herzlich tut mich verlangen

EXAMPLE 154 Haydn. Piano Sonata, Hob. XVI: 35

Bach hardly ever used V: (see 22.8).

' This excerpt (Ex. 148) is presented here in a five-voice choral texture.
 74 H.iRMO.Vl' IN ITS SYSTEMIC AND PHENOMENOLOC1CAL ASPECTS THE D O M I N A h T SEVENTH C H O R D

The inversions of V, also abound in classical and romantic music (Exs. 155- EXAMPLE 158 Mozart: Piano Quartet, K. 478
160).
I
EXAMPLE 155 Mozart: Die Wiener Sonatinen, K. Anh. 229. No. 1

EXAMPLE 159 Beethoven: Piano Sonata, Op. 13

EXAMPLE 156 Schubert: Piano Trio. Op. 99

t' Allegro moderato

EXAMPLE 160 Schumann: Piano Concerto, Op. 54

Allegro affettuoso

10.3.4 Tonal Considerations

The dominant seventh chord and its inversions are effective in establishing
EXAMPLE 157 Beethoven: Piano Concerto No. 1, OR. 15
tonality, as they contain the fourth and seventh tones of the scale (see 4.5.1).
/.
A
Allegro con brio
.'
 THE FUNCTIONAL GENE OF SECONDARY DEGREE TRIADS 77

111 (E-G-B)' has no tones in common with IV, two tones in common with
V (G and B)', and two tones in common with I (E and G)'. It can, therefore,
represent the tonic2 or the dominant (see 11.3).
VI (A-C-E)' has no tones in common with V, two tones in common with
IV (A and C)', and two tones in common with I ( C and E)'. Hence, VI can
also represent two functions: the subdominant or the tonic (see 11.3).
FUNCTIONAL GENE VII (B-D-F)' has no tones in common with I, one tone in common with IV
(F)', and two tones in common with V (B and D)'. It therefore represents the
OF SECONDARY dominant, although in some circumstances it can also represent the subdomi-
nant (see 15.2.1.2).

DEGREE TRIADS Following are the various representatives of the respective harmonic func-
tions.

FUNCTION : T SD D

MAIN
REPRESENTATIVE :

SECONDARY
REPRESENTATIVES: VI I1 VII
111 VI 1x1
(VII )
11.1 So far, we have dealt only with chords on main degrees (I, IV, V). We
shall now proceed to examine the secondary degrees. The above table constitutes a typical syntagmatic-paradigmatic model ex-
Before embarking on a detailed study of these (see Chaps. 15, 16), we shall pressing - on the horizontal axis - the syntagmatic relationship between the
dwell on several traits of a general character. various functions (T, SD, D) and - on the vertical axis - the paradigmatic
relationship between the various representatives of a given function (see 4.1).
11.2 DETERMINATION OF THE FUNCTIONAL GENE
1 OF SECONDARY DEGREE TRIADS 11.3 FURTHER CONSIDERATIONS REGARDING
I VI A N D 111
As stated in Chap. 4, the secondary degrees are also potentially capable of
representing harmonic functions (T, SD, D), although in a weaker form than One may well wonder how it is possible in each instance to determine the

i '
that of the main degrees (see .4.4.2).
The functional gene of a secondary degree is determined by the greatest
number of tones a given degree has in common with one of the main degrees.
function represented by VI or 111, bearing in mind that each of these degrees
carries TWO DIFFERENTfunctional genes. In order to determine the harmonic
function of the degrees in question we must consider contextual factors, as

/ I1 (D-F-A)' has no tones in common with I, one tone in common with V

(D)', and two tones in common with IV (F and A)'. II, accordingly, repre-
demonstrated in the following sections.

11.3.1 Let us examine the following two examples (Exs. 161, 162).

I
sents the su~d.ominant.
.
I' ' C major serves here as a point of reference. This applies to 111 in major (111 in minor is discussed in 15.1; 15.3)
78 HARA4ONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS THE FIJNCTIONAL GENE OF SECONDARY DEGREE TRIADS 79

EXAMPLE 161 b. doubling of the root (a subdominant tone) - in contrast with the doub-
ling of the third (Ex. 161) which is a tonic tone;
c. appearance of the chord in octave position (further stressing the sub-
dominant tone).

11.3.2 The following two examples deal with 111 (Exs. 163, 164).

EXAMPLE 163

EXAMPLE 1 6 2
A

EXAMPLE 164

The VI in Ex. 161 represents the tonic while in Ex. 162 it represents the
subdominant. This seems true not only in theory (see below) but auditively as
well.
The VI in Ex. 161 replaces I, and serves as a resolution (albeit only partial
and weaker than that which might have been provided by I) for the tensions
accumulated up to the V,. In Ex. 162, on the other hand, the VI provides no
resolution of tension. Rather, it replaces IV, creating subdominant tension in In Ex. 163, the III provides partial resolution of the tensions accumulated
itself. until the V, and embodies a rather tonic character. In Ex. 164, on the other
It should be added here that the tonic character of the VI in Ex. 161 results hand, the I11 demands resolution, since it represents the dominant.
not only from the placement of the chord in the functional cycle (the VI ap- The prominence of the tonic gene in Ex. 163 and of the dominant gene in
pears after a functional succession of tonic-subdominant-dominant), but also Ex. 164 is caused, in each instance, by two separate factors: the respective
from the doubling of the third3 (the principal tonic tone of the scale) and from placement of the III in the functional cycle (A.), and the position of the chord
the appearance of the third in the upper voice. - the tone appearing in the upper voice (B.).
Similarly, the prominence of the subdominant gene of the VI (Ex. 162) is A. In Ex. 163, the 111 appears after a progression of tonic-subdominant-
due to the following three factors: dominant, whereas in Ex. 364 it follows a progression of tonic-subdominant,
a. placement of the VI in the functional cycle (preceded by tonic and fol- and is itself followed by a dominant chord.
lowed by dominant and tonic); B. The tone B in the upper voice (Ex. 164) highlights the dominant gene
of the III as opposed to the G4 (EX.163) which gives the 111 a more tonic
' A. See 14.2.3; 12.7.4.3.1.2. quality.
B. Thcdoubling of the third in the VI also stems from the resolution of V7 in accor-
dance with the tonal code (see 10.1; 10.3.21). Although this tone is dominant, it may sometimes assume a tonic quality (when it ap-
C. The doubling of a given tone of the chord will henceforth also take contextual factors pears in 1 for instance). The tone B, on the other hand, is of an unequivocally dominant
into account (see, for instance, 23.3.5.1; 30.5.5). nature.
 C H O R D SUCCESSION IN FUNCTlONAL HARMONY 81

Chomsky's statements are mirrored to a remarkable extent in our approach

and our attitude toward the material presented in this chapter. W e presuppose
an intuitive knowledge of a given music, much the same as the intuitive
knowledge presupposed by linguists. Like linguists, who take for granted a
- CHORD SUCCESSION faculty enabling one to distinguish between "grammatical" and "ungram-
matical" (between sentences and non-sentences), we take for granted that one
IN FUNCTIONAL is capable of distinguishing between "musical" and "non-musical" within the
framework of a given style. The principles presented in this chapter in connec-

HARMONY tion with chord succession can be considered the BASIS of a sort of generative
grammar. W e have assumed that these principles can generate ONLY sentences
(harmonic sentences) acceptable as "MUSICAL" by those who have been raised
on the music of the tonal system (although not all sentences acceptable as
'
6
musical"). Our last assumption has been verified by means of a computer
which generated harmonic sentences (see Foreword, Footnote 6) by applying
the rules presented in this chapter. All these were proved acceptable as
41
MUSICAL" (some of them are cited, by way of example, in a separate appen-
12.1 TO THE TEACHER
dix at the end of this book).
The present chapter deals with the principles of chord succession1 in func-
tional harmony. These principles - which constitute one of the most impor- The principles set forth in this chapter do not merely serve to explain a
tant elements of our theoretical framework - hold an epistemological status large portion of existing music. Beyond this, they serve for the construction of
similar to that of linguistic grammar. a firm method which has already proven effective and suitable for teaching
purposes. By following these principles one may arrive at correct chord suc-
The fundamental aim in the linguistic analysis of a language LZis to separate cessions, even with the most complex chordal structures found in functional
the grammatical sequences which are the sentences of L from the unprammatical harmony.
sequences which -are not sentences of L and to study the strucke of the
grammatical sequences. [.. I One way to test the adequacy of a grammar Take, for example, chords with an augmented sixth. The numerous successions
~ r o ~ o s efor
d L is to determine whether or not the sequences that it generates found in relation to these chords in the works of such composers as Franck,
are actually grammatical, i.e., acceptable to a native speaker, etc. [...I For Reger, and Wagner, to mention only a few - successions which may be ar-
the purposes of this discussion, however, suppose that we assume INTUmVE rived at through the principles proposed here (see Chap. 28) - are hardly
KNOWLEDGE of the grammatical sentences of En lish and ask what sort of
!
grammar will be able to do the job of producing t ese in some effective and
illuminating way. We thus face a familiar task of explication of some in-
even mentioned in harmony textbooks, except, perhaps, as isolated instances,
usually divorced from any firm theoretical framework which could serve as a
tuitive conce t in this case, the concept "grammatical in English," and frame of reference.
more generaPy,he concept "grammatical." Notice that in order to set the
aims of grammar significantly it is suff~cientto assume a partial knowledge In order to illustrate the broad spectrum of harmonic progression, we have
of sentences and non-sentences. That is, we may assume for this discussion found it necessary to use (for this purpose only) chords which have not yet
that certain sequences of phonemes are definitely SENTENCES, and that
certain other sequences are definitely NON-SENTENCES.~ been examined closely. W e shall discuss them later in greater detail.
It is advisable that the teacher present at first only a part of the material of
See 6.2. this chapter. Thus, for instance, the last two paragraphs of 12.7.4.3.1.1 and the
The "language L" in our case is the music of the tonal system. (This footnote is our sections 12.7.4.3.1.3 and 12.7.4.4.3 could be presented at a later time - in con-
own.)
' Noam Chomsky, Syntactic Structures, The Hague, Mouton 1969, pp. 13-14. (Emphasisin nection with Chaps. 16, 17, and 18.
capital letters is our own.) (Thls remark, in its general sense, also applies to the next chapter.)
82 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD S[!CCESSION IN FUNCTIONAL HARMONY

The root stands out in certain intervals more than in others: in the perfect
12.2 In the previous chapter w e introduced the secondary degrees. These, in
fifth (the lower tone), in the perfect fourth (the upper tone), in the minor and
addition to other factors which will be introduced later, place a considerable
major thirds (the lower tone), in the minor and major sixths (the upper tone).
number of chords at our disposal. In this respect we will deal in the present
In the remaining intervals (the second, the seventh, and the tritone), the root is
chapter with a subject of 'utmost importance: the PRINCIPLES GOVERNING
not as conspicuous, although it may be identified in certain contextual condi-
CHORD SUCCESSION 4.
tions.
For a deeper and fuller understanding of these principles w e must first
One of the first to dwell o n the concept of root in connection with intervals
dwell upon both the phenomenon of the root in intervals (see 12.3) and chor-
was Hindemith, his faulty explanations of it notwithstanding. Hindemith
dal structures which have not yet been presented5 (see 12.4).
based his explanation of root upon the phenomenon of combination tones (see
39.1). At this point, we merely wish to note that combination tones are created
12.3 THE R O O T OF INTERVALS in harmonic intervals only, i.e., those formed between two tones appearing
simultaneously. O n the other hand, the root is manifested - as we have
If we examine an interval, such as a perfect fifth or a third, with an ear
already seen - in melodic intervals as well, i.e., those formed between two
oriented to the tonal system, we discover that in a certain sense, one of the two
consecutive tones. Furthermore, the sensation of the root is not manifested in
tones of the interval behaves as a tonal center. This tone exerts a gravitational
d l musical systems (see Footnote 6), whereas combination tones are a universal
force upon the other tone of the interval - not unlike the tonal center which
phenomenon.
exerts a gravitational force upon the other tones within its tonal field.
We may assume, therefore, that the root of intervals (not unlike the tonal
In the following two examples, for instance, the C is the attracting tone
center) is a psycho-musical phenomenon to be explained on the basis of
while G (in Ex. 165) and E (in Ex. 166) are pulled toward it. The endings on
musical ACCULTURATION, and NOT an acoustic phenomenon to be explained
G (Ex. 165) and on E (Ex. 166) require a continuation in a sense, because of
by physical conccpts.
the attraction of these tones to C (marked with parentheses).

12.4 ADDITIONAL CHORDAL STRUCTURES

EXAMPLE 165 \
So far we have dealt with two kinds of fundamental chords: the triad and
the seventh chord. W e presented four different types of triads: major, minor,
diminished, and augmented - as opposed to a single seventh chord: the domi-
EXAMPLE 166 nant seventh chord.
Following is a more comprehensive list of the varieties of seventh chords
used in functional harmony1:
a. those following the pattern of the seventh chord appearing on I in ma-
jors (C-E-G-B);
The attracting tone is the root (supported tone) of the interval whlle the at- b. those following the pattern of the seventh chord appearing on II in ma-
tracted tone is the complemehtary tone (supporting tone). The tones G and E jor ( c - ~ b - G - ~ b ) ;
(Exs. 165, 166) support the C; these are, therefore, complementary tones, c. those following the pattern of the seventh chord appearing on V in ma-
whereas the C is a root.6 I jor (C-E-G-Bb );

' Within the framework of functional harmony. ' A. All of the seventh chords presented here are constructed on the tone C.
See 12;1,' penultimate paragraph. , B. The names of these chords are given in 18.1.
The sensation of the root as described here is manifested especially in relation to the tonal "In major" and "in minor" refer to the major and minor scales, respect~vel~.
system (there are other systems in which it may be manifested differently, or not at all).
84 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN F U N C R O N A L HARMONY

d. those following the pattern of the seventh chord appearing on VII in in C # major - V4b ;
2h
major (C-Eb-Gb-Bb); in D major - 1 ~ 4 2; ~
e. those following the pattern of the seventh chord appearing on I in
minor8 (GEb-G-B); in ~b major - 111:~ ;
6h
f, those following the pattern of the seventh chord appearing on I11 in in G# minor - 1;; .
minor (C-E-G#-B);
g. those following the pattern of the seventh chord appearing on VII in A further example: the symbol I $ in C major represents the chord ~ b - c # -
minor (C-Eb-Gb-Bbb). ~ b 4 In. Ebmajor, on the other hand, the same chord would be represented by
the symbol V12#.

Henceforth, the symbolic presentation of the various chords in the text is in

accordance with C major or A minor (depending on the case at hand), unless
12.5 ALTERED CHORDS, SYMBOLIC PRESENTATION otherwise indicated.
12.5.1 The chords listed in 12.4 appear at one time or another on every tone The accidental referring to the leading tone in minor (G# in A minor, for
of the major and minor scales and even on each tone of the chromatic scale (in example) will usually be omitted.
the framework of a given key - see Chap. 31). Thus, for example, in C major
it is possible to find each of these seventh chords constructed on the tone C.
This would necessitate the use of non-scale tones (tones not belonging to the 12.6 SOME CONSIDERATIONS REGARDING CHORD
scale), called altered tones. SUCCESSION
Chords containing altered tones are known as altered chords. Let us assume that the number of chords which may be constructed on a
given tone (all triads and their inversions, all seventh chords and their inver-
sions, and all other chords which have not yet been mentioned, but which ap-
12.5.2 The symbolic presentation of altered chords is based on the following
pear within the framework of functional harmony) is approximately sixty.
principles.
If we also take into account that in the late romantic style all twelve tones
A. An accidental (#,x , b, bb) appearing to the right of any digit indicates an of the chromatic scale were used, we may conclude that the total number of
alteration of the chord tone referred to by that digit. chords available within the framework of functional harmony approximates
B. An accidental appearing with no accompanying digit refers to the third 720 (12 x 60). The total number of successions of two different chords is then
above the bass. 720 x 719 = 517,680, and the total number of sequences of eight different
C . An accidental appearing next to the digit 1 refers to an alteration of the chords is = 69 x lo2'. l1
bass tone.g Some of the above sequences are feasible w h l e others are not.12 By
'6
feasible" we do not mean to say that the chords are connected in accordance
This systeh of notation, using 1 to mark the bass when altered, makes pos-
with the rules of chord connection (see Chap. 6). Rather, we refer to the fact
sible the symbolic presentation of any chord in a given key using roman
that the given chords may follow each other - without regard for the manner
numerals, digits, and accidentals.
in which they are connected (see 6.2).
The following is an illustration of the use of this system of symbolic presen-
tation on the chord F#-G-~b-D in various keyslo:
" The total number of sequences increases very sharply with the increase in the number of
chords in the sequence.
The u$e,of the digit 1 is proposed by the author. 6 4 6 64
By "feasible" we refer to sequences which are acceptable within a given scyle. The same
'OA chord whose notation is 2 may bc given an expanded notation (f, q, 42. :, :.:, :
or ) applies in reverse: that which is unacceptable, uncustomary within a given style, being a sharp
in those cases when an accidental appears beside each additional digit (any digit escept 2 in digression from the given style, is considered unfeasible (see 12.1).
this case).
86 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTIONAL HARMONY

The preceding numerical illustration is ample proof that there is no way of EXAMPLE 168
approaching the ~ r o b l e mof chord succession by memorizing each and every
feasible succession of chords. We look, therefore, for some principles that
might explain the fundamental regularity underlying chord succession in func-
tional harmony.

12.7 HARMONIC PROGRESSION

/harmonic progressions
! I - - - I
I
I

The key concept of the principles of chord succession is the concept of har-
monic progression.

12.7.1 Definition 12.7.2 Types of Harmonic Progression

A harmonic progression is the interval formed between the ROOTS (not There are four main types of harmonic progression, classified according to
necessarily the BASS TONES)of two consecutive chords (Ex. 167). the interval represented by each of them, i.e., the interval formed between the
roots of two consecutive chords.14
EXAMPLE 167

12.7.2.1 DYNAMIC PROGRESSION

A fourth (either perfect or augmented) in ascent or a third (either major or
minor) in descent (Ex. 169).

EXAMPLE 189

- -
! harmonic progressions I ! I I
I

The harmonic progressions in the above passage (Ex. 176) are: ascending
: dynamic harmonic promessions I

major second, ascending perfect fourth, descending minor third, descending

major third, descending minor third, ascending perfect fourth, descending
perfect fifth, ascending perfect fourth."
The following passage (Ex. 168) represents the harmonic progressions
formed in Ex. 167 by means of other (different) chords.
" W e shall not discuss harmonic progressions of augmented or diminished intervals (ex-

.. cept the tritone), since they are relatively rare. These harmonic progressions are usually
'"hese intervals may be replaced by xheir inversions in the opposite direction (a formed in relation to a seventh chord, patterned on the seventh chord whlch appears on VII in
descending fifth instead of an ascending fourth, for instance). minor (see 12.7.4.4.3; 18.5.3).
 HARMONY 1N ITS SYSTEMIC AND PHENOMENOLOCICAL ASPECTS CHORD SUCCESSlON IN FUNCTIONAL HARMONY

12.7.2.2 STATIC PROGRESSION EXAMPLE 172

A fifth (either perfect or diminished) in ascent or a third (either major or

minor) in ascent (Ex. 170).

EXAMPLE 170
I
! deceutive harmonic ~romessions I I

I
I -
static harmonic progressions
11 I
I
!
12.7.3 Characterization of the Various
Harmonic Progressions
12.7.3.1 The dynamic progression produces a sensation of harmonic
dynamism.
12.7.2.3 ACCENTUATED PROGRESSION In intervals such as C-F or C-A - produced between the roots of two
A second (either major or minor) in ascent or in descent (Ex. 171). consecutive chords which create a dynamic progression (I-IV or I-VI in C ma-
jor) - the respective roots (see 12.3) are F and A, i.e. (in both cases) the root
EXAMPLE 171 of the S E C ~ N D chord." As a result, the dynamic progression centers the tonal
gravitational forces in the second chord, in a way, thus inducing a sensation of
harmonic progress.
It must, however, be added that the harmonic progression of an ascending
fourth differs both in character and in function from that of a descending third.
It is weightier than that of a descending third and may therefore fulfill struc-
tural rolcs; it is useful, for instance, in cadences or in the resolution of dissonant

-
I accentuated harmonic progressions I
I
chords, as we shall see further on. The harmonic progression of a descending

--
I I I I I I
third, on the other hand, is not assigned roles of a structural importance; it is
I
C -
I
1
V 0
k
J
I
V 0
L

,
h -
I
I
not effective in strong cadences16, nor can it serve, for example, as an effective
resolution for strongly dissonant chords (see 18.5.4).

12.7.2.4 DECEPTIVE PROGRESSION

l J This is not so in the case of the ascending augmented fourth, since this interval does not

A perfect prime (Exs. 172,ai). incorporate a clearly manifested root. However, the progression of an ascending augmented
fourth usually appears in a context of harmonic sequences in which perfect fourths are used
(for example: 7 .r . .. .- .. g). As a result of the sequential
process, the augmented fourth is regarded in such cases in the same manner as the perfect
fourth. i.e., as an interval whose root is its upper tone.
l6 The succession 111-1 does not appear in authentic cadences, for example, as a replacement
for V-I (see 14.2.1).
 90 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTiONAL HARMONY 91

12.7.3.2 The static progression produces at times a sensation of harmonic The following two excerpts, for instance (Exs. 173, 174), are based on the
inertia and immobility. (This probably results from the fact that the root of the harmonic progression of an ascending fourth only. In this connection, it
FIRST chord constitutes the root of the interval formed between it and the root should be noted that the chords in these two passages are mostly DIFFERENT,
of the second chord.) despite the fact that the degrees are identical in both (see 12.7.4).

12.7.3.3 In the accentuated progression, the relationship between the roots of

EXAMPLE 173
the two chords is acute (unclear with regard to the root in the interval formed
between the two roots). This creates the feeling of a progression of super-
dynamic quality.

12.7.3.4 The deceptive progression does not constitute a harmonic progres-

sion in the full sense of the word, since the roots of the two chords involved
are identical.
I harmonic progressions of an ascending f&th l
I

I
-I
I
k
I I
I

I
1

R
--
I
I
-- I

I I
12.7.4 Guidelines for the Use o f the Various I 1 I J I

Harmonic Progressions
In order to illustrate the full scope of the concept of harmonic progression,
we may state that the dynamic progression, for instance, encompasses 14,400
chord successions. According to this progression, any chord (from among the EXAMPLE 174

60 chords mentioned in 12.6) whose root is, for example, C, can be followed
by any one of the chords whose root is F, F#, A , or ~b (60 chords on each
tone) - a total of 14,400 chord s u ~ c e s s i o n s . ~ ~
Having assimilated the concept of harmonic progression, we may approach
the principles of chord succession in functional harmony18 - i.e. the way in
which the various harmonic progressions are used.
I,harmonic progressions of an ascending fourth I

12.7.4.1 DYNAMIC PROGRESSION

This progression has left its mark on the basic character of chord succession
i I

I
I -r
I
I

-
I

I
I
I
I
I
1

I
1
I
-
J
1

--
I
I
-
1

in functional harmony. It has become a "~tandard"'~progression to be used

without restrictions.I7

We may further add that harmonic sentences (see Foreword, Footnote 6)

i l7It should be noted chat chord succession is also dependent upon other factors (in addition
like the above may serve as harmonic background for various melodies. The
1 to harmonic progression). These will be considered later (see. for instance. Chap. 13). following harmonic sentence (Ex. 175), for instance (also based exclusively on
These prihc?ples do not refer to modal h r m o n y (see 35.4). harmonic progression of an ascending fourth), constitutes the harmonic
' 9 T o a cer& extent, static and accentuated progressions constitute a digression from tne backdrop for thousands of passages starting with the baroque period and
)1 "standard" determined by the dynamic progression and thus necessitate compensation (see
12.7.4.2; 12.7,.4.3.2; 12.7.4.4.1) or other specific conditions (see 12.7.4.4.2;12.7.4.4.3). leading through contemporary songs (Exs. 176-178).
 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS CHORD SUCCESSlON 1N FUNCTIONAL HARMONY

EXAMPLE 175 EXAMPLE 178 Lai: Killy

I (A minorl
- 0 8 u
I
I IVl VII, 111, Vl7 14m
: V3 I
I I
I harmonic progressions of an ascending fourth 0

The passage presented in Ex. 178 constitutes a "deletion transforrnati~n"~~ of

the basic harmonic sentence ("kernel ~enlence"*~)presented in Ex. 175. This
EXAMPLE 176 Vivaldi: Concerto grosso, Op. 3, No. 8 transformation (which appears only in the score - not on the record) consists
of skipping over the seventh chord C-E-G-B between the second and third
chords; it is compensated r h y t h c a l l y by presenting the second chord at an
unexpected spot and for a longer duration than the other chords. As a result, a
certain vitality is conferred on these somewhat trite progressions of ascending
fourths, without obscuring their basic character.
\I'
(A minor)

1v
I

-v11, - 111,
1 -

r
1 I

I
I

VI,
r
- II&
'-
r The following examples serve further to illustrate dynamic progression
(Exs. 179-184).
va I

EXAMPLE 179 Bach: Das wohltemperierte Klavier, I, Priiludium No. 1'

EXAMPLE 177 Mozart: Piano Concerto, K. 453

(Dminorl
- -
ff Y
IV, VII, bidL -
111,

This excerpt is presented here in a Rve-voice choral texture.

In the linguistic sense.

 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS C H O R D SUCCESSION IN FUNCTIONAL HARMONY 95

EXAMPLE 180 Chopin: Mazurka, Op. 6, No. 4 EXAMPLE 182 Beethoven: Piano Sonata. OD. 2. No. 1

major'(^^:) IV2 j 11, : v: I I

I IV : VII-b-111,, :VIP i~, j vt(-7- I ; dynamic harmonic progressi<ns I I

dynamic harmonic progressions : I

I I
,

EXAMPLE 183 Schuben: Friihlingstraum

EXAMPLE 181 Mozart: Piano Sonata, K. 545

: dynamic harmonjc progressions I

I
- A,
I I
: dynamic harmonic progressions
=:)'I :
m
I
I8
I
-- \
II
m
I

EXAMPLE 184 D. Brubeck: Bossa Nova U.S.A.

I I'

; VI6 I1 i V6 I I

I dynamic harmonic progressions I I (IV VII - ; III - VI - ; 11 ,

dynamic harmonic progressions : I
98 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTIONAL HARMONY

The examples below illustrate a static progression followed by an accen- EXAMPLE 192 Corelli: Concerto grosso, Op. 6, No. 8
mated progression as compensation2' (Exs.188-196).

EXAMPLE 188 Schubert: Impromptu, Op. 90, No. 4

I
I
r v
^. I
I
I
.
I
U I
I
I
1 _.
I I/ I 1 , I I I
IG minor)

EXAMPLE 193 D. Scarlatti: Sonata. L. 413

I III-IV

EXAMPLE 189 Bach: Nun lob', mein' Seel', den Herren

EXAMPLE 194 Gluck: Iphigbnie

. - en Aulide
Andante 1, I h l
EXAMPLE 190 Schubert: Fantasy, Op. 15-

i
EXAMPLE 195 Mozart: Symphony No. 35, K. 385

EXAMPLE 191 Chopin: Mazurka, Op. 6, No 3

IA major)
..
9
I- Vs-,\- v1;-
100 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTIONAL HARMONY

EXAMPLE 196 Beethoven: Piano Sonata, Op. 109 EXAMPLE 199 Schumann: Kinderszenen, Op. 15, No. 1

12.7.4.3 ACCENTUATED PROGRESSION EXAMPLE 200 Bach: Nun bitten wir den heiligen Geist
12.7.4.3.1 There are four main cases when the use of an accentuated
progression is unrestrictedlg: IV-V, V-VI, 1-11, and VI-V .

12.7.4.3.1.1 The succession IV-V expresses the functional progression of

subdominant-dominant, using the main representatives of these functions, and
is therefore considered a "standard" harmonic progression - as the dynamic
progression (Exs. 197-201).

EXAMPLE 197 Bach: 0 Ewigkeit, du Donnerwort f i EXAMPLE 201 H. Brubeck: Theme for June

EXAMPLE 198 Schubert: Impromptu, Op. 90, No. 4 Our assertion concerning IV-V applies to other chord successions follow-
ing the IV-V pattern (see Secondary Dominants - 21.3) and to chord succes-
sions in which one (or both) of these chords is represented by another chord,
defined as its replacement: 11, or 11: as a replacement for IV (see 16.2; 18.5.1); 111,
or I: as areplacement for V (see 16.3; 17.2).
Hence, such successions as IV-I:, II($-Ii, II($-1116,and IV-111, are considered
"standard" harmonic progressions which do not call for any compensation
despite their being static or accentuated progressions (Exs. 321-323, 325, 335,
338, 339).
 I
CHORD SUCCESSION IN FUNCTIONAL HARMONY
1 102 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

12.7.4.3.1.2 The succession V-VI is also considered "standard" in certain EXAMPLE 205 Bach: 1st Gott mein Schild und Helfersmann
conditions. VI following V usually assumes a tonic significance, for which
reason it generally appears with a doubled third (see 11.3.1). This doubled
third assumes, to some extent, the quality of a kind of root in this context.
Consequently, the succession V-VI (when VI appears with a doubled third)
creates a feeling of a sort of dynamic progression, and the effect of the accen-
tuated progression is weakened (Exs. 202-206, 294-296).

EXAMPLE 202 Handel: Messiah

EXAMPLE 206 Beethoven: String Quartet, Op. 18, No. 4
Allegro-ma non tanto - . -
(

EXAMPLE 203 Beethoven: Piano Concerto No. 5. Op. 73

Adagio un poco mosso
12.7.4.3.1.3 1-11 is especially common in connection with the following chord
successions: I(,,-II&, 1-11,, I,-11, (in major and minor) - Exs. 207-209 - and
1,-IIS in major (Ex. 210).24

EXAMPLE 207 Beethoven, Piano Concerto No. 1. Op. 15

\
I
I EXAMPLE 204 Mozart: Die Zauberflate
A , Larghetto , , -
EXAMPLE 208 Bach: Panita I1 for Solo Violin, Chaconne

I- 112

'' See also Exs. 282, 299, 318, 320, 356-358, 362-364.
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTIONAL HARMONY 105 "

EXAMPLE 2 0 9 Bach: Du grosser Schmerzensmann EXAMPW 2 1 2 Grieg: Lyric Pieces, Op. 65. No. 5

IV I11 VI

EXAMPLE 2 1 0 Beethoven: Piano Concerto No. 4, Op. 58 Moderato e con

--. intima espressione . ---
EXAMPLE 2 1 3 Schumann: Album fur die .luqend, Op. 68, No. 27

EXAMPLE 2 1 4 Tchaikovsky: Symphony No. 2, Op. 17

The succession VI-V is generally used to represent the subdomi-
12.7.4.3.1.4
nant in a weaker form (by a less unequivocal chord - see 11.2) - Ex. 211.

EXAMPLE 211 Beethoven: String Quartet. Op. 59,AT

No. 1 I
12.7.4.4 STATIC OR ACCENTUATED PROGRESSION N O T IN
ACCORDANCE WITH 12.7.4.2 OR 12.7.4.3
12.7.4.4.1 A succession of three chords which form any harmonic progression
may be used, on the condition that the first and third chords represent the same
degree. A three-chord succession of this type will henceforth be called an a-b-a
12.7.4.3.2 An accentuated progression may be c ~ m ~ e n s a t e dby
' ~ a static pattern.25
progression following it (Exs. 212-214). Nonetheless, this combination is far The most frequently used forms of this pattern are: I(,,-VII,-I,,,, I-V-I, and
less common than the one discussed in 12.7.4.2 (a static progression followed I-IV-I (Exs. 215-220).
by an accentuated progression).
'5 The two a's do not necessarily refer to the same chord, but to the same degree, i.e., the
same root.
106 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTlONAL HARMONY

EXAMPLE 215 Schumann: Album jiir die Jugend, Op. 68, No. 4 EXAMPLE 219 Brahms: Variations, Op. 56

1 VII, I, VII, I I IV I
a-b- a a b-a
a-b-a
EXAMPLE 220 Chopin: Mazurka, Op. 30, No. 3
EXAMPLE 216 Bach: Gott lebet noch

a-b-a a-b-a

EXAMPLE 217 Mozart: Piano Sonata, K. 545 The following passages illustrate some additional forms of a-b-a pattern
Allegro
I
rn
I
I
I - I-:
-r (Exs. 221-226).

EXAMPLE 221 Mozart: Piano Sonata, K. 279

EXAMPLE 218 Beethoven: Romanze, Op. 40

EXAMPLE 222 Beethoven: Variations, Gr. 191

a-b-a 9
a-b-a
108 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION iN FUNCTIONAL HARMONY I09

EXAMPLE 2 2 3 Bach: Es ist gewisslich an der Zeit The a-b-a pattern includes a static progression or two accentuated progres-
sions. These progressions are compensated by the fact that they cause the
prolongation of a given degree (the a-b-a pattern constitutes a prolongation of
the a degree).

12.7.4.4.2 Static or accentuated progressions can be found without compen-

sation, in sequential passages (Exs. 227, 228).
v% I vp 1 IIIo, I
a-b-a a-b-a EXAMPLE 227 Chopin: Mazurka, Op. 6, No. 1

EXAMPLE 224 Grieg: Peer Gynt suite, Op. 4 6

I VI- I - EXAMPLE 228 Weber: Der Freischiitz

a b-a

EXAMPLE 225 Bizet: Carmen

I VII n~ I I ~ v IV~
LrJ \+ +
12.7.4.4.3 The use of non-cadential six-four chords (see 17.3) and seventh
chords patterned on those appearing on VII in minor (see 18.5.3) is
I 11:- I unrestricted. They may be preceded and/or followed by chords forming
a b-a together kith them any harmonic progression whatsoever (Exs. 229-233).

EXAMPLE 2 2 6 Schumann: Album f i r die Jugend, Op. 6 8 , No. 19

EXAMPLE 229 Bach: Herzlich tut mich ~ e r l a n g e n ~

i
a-b- a v* v1: VII,
a ------ b -a
110 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS C H O R D SUCCESSION IN FUNCTIONAL HARMONY

EXAMPLE 2 3 0 ' Schubert: String Quartet No. 14 12.7.4.5 DECEPTIVE PROGRESSION

The use of this progression is unrestricted (Exs. 234-236).

EXAMPLE 234 Bach: Wo sol1 ichfliehen hinA

I 111: v:

EXAMPLE 231
Molto lento
-
Schumann: Album f i r die Jusend.. OD.
. 6 8 . No. 30

EXAMPLE 2 3 5 Bach: fieuet euch, ihr Christen

EXAMPLE 2 3 2 Gluck: Orfeo ed Euridice

Moderato k L
EXAMPLE 2 3 6 Schumann: Albumblatter, Op. 124, No. 16

I, mI:@- v;,
14
-I W1;h 1:

EXAMPLE 233 Bach: Christ ist erstanden

12.7.5 Further Demonstration o f the Principles Presented in 12.7.4
Below is a harmonic analysis (following the principles presented in 12.7.4)
of ten passages (Exs. 237-246).26These passages contain a total of 99 chord
succession^.^^ Three of these do not behave according to the stated prin-
ciples of chord succession.

" These examples were collected at random.

'' A consecutive appearance of the same chord, with no change in position, has not been
regarded as a chord succession.
112 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTIONAL HARMONY

The various harmonic progressions are represented by the following symbols: EXAMPLE 239 Gluck: Iphigbnie en Aulide

f - dynamic progression;
I - static progression;
- accentuated progression;
- - deceptive progression;
a-ba - a-b-a pattern;
0 (two chord symbols in a rectangle) - correct progression in accordance
I- v- I, IV I, v: I vt-v7-I-
with 12.7.4.3.1;
(one chord symbol in a square) - correct progression in accordance with
a- b --- a
a-
a-b-a
b- a a-b a -
12.7.4.4.3;
@- accentuated progression not in accordance with 12.7.4;
6- static progression not in accordance with 12.7.4.
EXAMPLE 237 Bach: Es stehn vor Cottes Throne

I
EXAMPLE 240 Tchaikovsky: Symphony No. 6, Op. 74

EXAMPLE 238 Mozart: Die Zauberflijte

114 HARMONY I& ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORD SUCCESSION IN FUNCTIONAL HARMONY

EXAMPLE 241 Viotti: Violin Concerto No. 22

f i Moderato
EXAMPLE 243 Handel: Suite VII, Passacaglia
A l l e s o moderato --
I / I " i
I - I -I,-I
a-b
v8- - V# I
a
- V$ -v#
a-b

EXAMPLE 244 Mendelssohn: Piano Trio, Op. 49

i
EXAMPLE 242 Chopin: Mazurka, Op. 24, No. 3

a-b- a
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 244 (continued)

3
.ex !- SOME REMARKS
CONCERNING
\t'7
I
t1 tv-v; tI
THE BASS
D minor F major

EXAMPLE 245 Gershwin: Rhapsody in Blue

13.1 TO THE TEACHER

The bass, the importance of which is acknowledged by every musician, has
for some reason not been dealt with sufficiently in harmony textbooks. The
present chapter represents, as far as we know, the first attempt to devote to this
subject the attention it merits and to illuminate its various aspects (adaptation
of the bass progression to the chordal structures, imaginary organ point, and
the influence of register on the role of the lowest part - real bass, tenor-bass).
Having read the present chapter, the reader will realize that some of the
conventional remarks concerning the bass (e.g., "the bass must be melodious
in order to obtain correct harmony", etc.) are essentially meaningless.
EXAMPLE 246 Evans: Waltz for Debby The "correctness" of harmony is not dependent on the melodiousness of
Leggero the bass1, but rather on chord succession and on the COORDINATION OF THE
BASS PROGRESSION WITH THE CHORDAL STRUCTURES (see 13.3).
The imaginary organ point in the bass and the influence of register in
determining the role of the bass are indeed subtle factors, but they are of such

'
The word melody connotes traits which are generally not characteristic of the bass line
(the melodic criteria for the bass are different from those for the soprano, for instance, or for
the tenor). Moreover, the melodic structure of the bass is largely determined by REGISTER, i.e.,
by whether the lowest part represents a real !lass or a tenor-bass (see 13.5).
118 HARMONY IN ITS SYSTEMIC A N D PHENOMEhOLOCICAL ASPECTS SOME REMARKS CONCERNING THE BASS 119

vital importance2 that it is surprising that they have not been discussed (to the Cases in which the inversion behaves as a fundamental chord, however (11,,
best of our knowledge) in existing harmony textbooks. II;, III,, cadential I!, etc. - Exs. 249,ad), are exceptions to this (see 16.2:
18.5.1; 16.3; 17.2), as are the following, which have been accepted as
13.2 The present chapter deals with some characteristics of the bass. O f these, legitimate: I,-IV,; IV,-I,; I,-V,; I,-Vg; VI-I, (Exs. 250,a-e; 251-256).
one of the most important is the relationship between bass progression and clror-
dal structure. The principles presented below in this connection (see 13.3) are
not synonymous with those of chord succession; they constitute an additional EXAMPLE 249

factor and a further condition for ensuring proper harmonic flow.

13.3 COORDINATION OF BASS PROGRESSION

WITH CHORDAL STRUCTURES3
13.3.1 When the bass leaps a fourth or a fifth, both chords are usually
FUNDAMENTAL (see 3.4) - Exs. 247,ad.

EXAMPLE 247
A a. . b. , . C. d.

EXAMPLE 250
A leap of a fourth or a fifth in the bass, from one inversion to another or A a. I I I

from any fundamental chord to an inversion or vice versa is apt to impair the
basic character of the harmonic flow in functional harmony (Exs. 248,a-c).

EXAMPLE 248
A a. I , b. + I C. i I

3
. -..
The understanding of these aspects of the bass is vital to the appreciation of problems o f
orchestration and arrangement, for instance.
'
See also Chap. 20.
 120 HARMONY IN IT." SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS SOME REMARKS C O N C E R N I N G THE BASS

J
EXAMPLE 251 Bach: 0 Haupt voll Blur und Wunden - EXAMPLE 255 Bach: Allein zu dir, Herr Jesu Christ

(A major)

\
EXAMPLE 252 Bach: An Wasserfliissen Babylon EXAMPLE 258 Mozart: Symphony No. 36, K. 425
Allepo spiritoso

EXAMPLE 253 Beethoven: Piano Sonata, Op. 2, No. 1

13.3.2 When the bass leaps a third, at least one of the two chords is usually
fundamental. The accepted chord successions are therefore: two fundamental
chords, a fundamental chord and an inversion, an inversion and a fundamental
chord (Exs. 257,a-m4).

EXAMPLE 257

EXAMPLE 254 Schuben: Mass, Op. 141

Allepo vivace

' W e have not included additional succesions of an inversion and a fundamental chord
(Ex. 257), since these create either a static or an accentuated harmonic progression, demanding
compensation (see 12.7.4).
124 H . i R M O N Y IN i T S SYSTEVlC AND PHHENOMENOLOGICAL ASPECTS SOME REMARKS CONCERNING THE BASS

13.4 DIRECTION OF THE BASS PROGRESSION, EXAMPLE 264 Bach: Das wohltemperierte Klavier, I , Praludium N o . 2
r I.O.P.
IMAGINARY ORGAN POINT IN THE BASS
13.4.1 We shall now turn to another problem related to the bass line: the
choices between a progression of a fourth and that of a fifth and between a
progression of a third and that of a sixth in the oppositt: direction. This
problem has a "ready-made" academic solution - leading the bass by the
shortest possible course, thereby preferring a fourth to a fifth and a third to a
sixth, except in those instances where the melodic line demands a different
interval. This approach, based on melodic considerations, has become so deep-
ly ingrained that it is rather difficult to realize how extensively the direction of The bass in the following passage (Ex. 265) constitutes two-part melodic
polyphony. The tone C , which forms an imaginary organ point, constitutes
the bass progression influences HARMONY (see 13.4.3).
the lower of these two parts and is therefore perceived as a real bass. The tones
A , F, and G, on the other hand, form the upper of these two parts, hence
13.4.2 Imaginary Organ Point in the Bass sounding like a kind of tenor.
While the imaginary organ point in an upper voice is usually created by
EXAMPLE 285
departure from an accented tone in DESCENT (see 2.2.2.3), the effect of an
imaginary organ point in the bass is generally created by an ascending depar-
ture from an accented tone.
Each of the following excerpts (Exs. 263, 264) illustrates the simultaneous
appearance of two imaginary organ points - one in the upper voice, the other
in the bass.

EXAMPLE 263 Chopin: Etude, Op. 25, No. 1

Allegro sostenuto
The tenor-like quality of the tones A, F, and G (Ex. 265) causes a weaken-
I.O.P. ing of the cadential power of the above passage in comparison with the er-
r I
A . I R b R b cerpt cited in Ex. 266. In the latter, each bass tone as:umes the role of a real
bass, thereby rendering the excerpt more powerful in cadential quality (see
Chap. 14).

EXAMPLE 268

I I.O.P. I

The problem dealt with here will become clearer in light of the following
passage (Ex. 267).
126 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECT.S SOME REMARKS CONCERNING THE BASS 127

EXAMPLE 267 Youmans: Tea for T w o It is not difficult to perceive to what extent the original harmony (Ex. 267)
* .
differs from that cited in Ex. 270.

13.4.3 The examples presented in 13.4.2 undoubtedly prove the importance

of the question raised in 13.4.1 regarding the direction of the bass progression
(preferring a fourth to a fifth or a third to a axth in the opposite direction).
The harmonic distortion in Ex. 270 was caused, as shown, by a change in the
direction of the bass progression (replacing an ascending sixth with a
The real bass of the above passage is given in Ex. 268, and the harmony descending third).
resulting from this bass, in Ex. 269. Summarizing, then, a descending progression in the bass emphasizes the
lower tone (it usually gives it the quality of a real bass) while an ascending
progression is apt to create the effect of an imaginary organ point, reducing
EXAMPLE 268
the bass-harmonic value of the tones included between the two tones which
form the imaginary organ point.
This explains, for instance, why composers usually prefer a descending fifth
to an ascending fourth in a final cadence (Ex. 271) except in those cases where
EXAMPLE 289 the fourth is preceded by a descending octave (Ex. 272).
*

EXAMPLE 271 Haydn: Piano Sonata, Hob. XVI: 44

Due to the creation of melodic polyphony, the tones ~b and F (marked in

parentheses - Ex. 268) assume a tenor role rather than a bass role. Hence, the
lowering of the F by an octave (preferring a progression of a descending third
over a progression of an ascending sixth) creates a severe distortion of the har-
monic character of the passage (Ex. 270). This distortion stems from the fact EXAMPLE 272 Mozart: Die Wiener Sonatinen, K . Anh. 229, No. 4, Minuet
that a tone having a TENOR role has assumed the role of a bass - referring to
the F (Ex.270).

EXAMPLE 2 7 0
 I
128 t1ARMOKY '\I, I T S SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS SOME REMARKS CONCERNING T H E BASS

13.5 THE INFLUENCE OF REGISTER ON THE ROLE OF EXAMPLE 275

THE LOWEST PART - REAL BASS, TENOR-BASS9 - Moderato

It has been shown in the Introduction that the lowest part does not always
assume the quality of a bass (Exs. 1-111).
In attempting to delve more deeply into this phenomenon, it is worth ex-
amining the following passages (Exs. 273-280).
P.. . I ..
II
4 CD I -
ff
I I-

Suppose Jobim's Samba de uma nota so' is rendered in the following form
(Ex. 273).

EXAMPLE 273 Jobim: Samba de uma nota so' t The question arises, then, as to the true essence of the line D-Db-C-B
Moderato (Ex. 273). This line - not unlike the progression ~ b - A in the Saraband by
Bach (see Introduction, Ex. I) - is not a real bass, but a tenor-bass9 (a deceptive
bass).
A tenor-bass can express the harmony of a given passage just as adequately
as a real bass, providing it appears in the T E N O R register (the middle range of
the piano) and not in the lower register (approriate for a real bass only). It is
worth noting that a real bass is distinguished from a tenor-bass not only by its
register but also by its melodic character. While it is difficult to define the
The line D-Db-C-B is not a bass and cannot fulfill the role of a bass despite
melodic qualities of a basslo, it is not difficult to sense the disparity between
the fact that it represents the lowest part. T o prove this point, we shall double
them and the melodic qualities of a tenor, for instance.
this line in the lower register (Ex. 274).

i
The following excerpt (Ex. 276)11, illustrating the correlation between che
EXAMPLE 274 melodic character of the lowest part and the register in which this part ap-
pears, will clarify this matter.

EXAMPLE 276 You Look Good to Me'

In listening to the original passage (Ex. 273), one "hears" (due to additive
hearing) the following tones is being the bass: E-Eb-D-Db (and not: D-Db-C-
'See Footnote 11. [cont.)
B) - Ex. 275.

lo The melodic character of the bass depends on the general musical nature of the passage.
3 " This example, reduced for piano by the author, is extracted from the record We Get
This concept is proposed by thc author Requests by the Oscar Peterson Trio, Verve, AN 68-17.
130 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SOME REMARKS CONCERNING THE BASS 131

EXAMPLE 276 (continued) An erroneous comprehension of the significance of the lowest part (a lack
of distinction between a tenor-bass and a real b a s ) is liable to cause severe
musical distortions. This is liable to occur when arranging a piano piece for an
instrumental ensemble or adapting an ensemble piece for the piano, i.e., when
the register of the lowest part is changed. The following passages (Exs. 277-
280), based on the theme from the motion picture Laura, illustrate this.

EXAMPLE 277 Raksin: Laura

The tone E (the lowest tone of the final chord) is a tenor-bass tone and not a
real bass (Ex. 277). Therefore, it cannot appear in the lower register without
changing the character of the chord (Ex. 278). The real bass of this chord is
C.I3 This tone, however, may appear only in the LOWER register, i.e., in the
register reserved for a real bass (Ex. 279). Presenting the C in the higher
register would cause a change in the character of the chord (Ex. 280), no less
considerable than that caused in Ex. 278 by ;he appearance of the E in the
The first eight bars, repeated with slight harmonic variations, assume dif- lower register.
ferent significances in each of the two instances. The first time (bars 1-8), the
lowest part appears in a relatively high register.]*It behaves as a kind of tenor
EXAMPLE 278
and is accordingly given a melodic line (based on seconds) which is more Andante
characteristic of a tenor than of a real bass. The part in question constitutes a
tenor-bass. With the reiteration (bars 9-16), the situation is different. Here the
lowest part appears in the lower register and is accordingly given a melodic
line befitting a real bass: leaps of fourths and fifths, as opposed to seconds in
bars 1-8 (see also Ex. 991).
If one plays the bass of the first eight bars an octave lower and the bass of
the next eight bars an octave higher and compares the result with the bass line
(p!! I
- I

--
L I
IL\ I
; Z I1 , . II ,
. I I I, 7 I '

of the original passage, one may grasp the link between the MELODIC STRUC- id-
TURE of the lowest part and the REGISTER in which this part appears.

..
Since this part is performed on a doublo. bass, it tends to sound more tense (as though an
I2
octave higher) than it does on the piano. This tone is heard additively.
132 H..IXMOh'Y I N ITS SYSTCUIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 279
Andante
, ,Ivihraphonel I

4~CADENCES
d

EXAMPLE 280
Andante

14.1 A harmonic cadence is a sequence of chords expressing the end of a

phrase.
Linguists divide utterances into defined syntactical units. This division into
units, such as the sentence, and the distinction among various types of
sentences (interrogative, declarative, etc.) and among their various compo-
nents, facilitate clarity and precision in communicating and comprehending
transmitted information.
Similarly, musical syntax (referring mainly to music based on functional
harmony) divides musical utterances into formal-syntactical units such as the
period, the phrase, the motif, etc. The phrases are defined and separated from
one another by various cadences, just as linguistic sentences are separated by
means of punctuation.

14.2 TYPES OF CADENCES

14.2.1 Authentic Cadence

This cadence ends in V-I' (Exs. 281-284). The V is usually2 preceded by a
subdominant chord (IV, 11, or VI). A cadential six-four chord (I:)3 may be
inserted between the subdominant chord and the V (Exs. 281,d-f; 284).

' The last two chords of the cadence usually appear as fundamental chords (see Chap. 20).
An authentic cadence without a subdominant chord 1s presented in Ess. 336, 337.
See 17.2.
I 134 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS I:C DENCES
'I
t
EXAMPLE 28 1 Authentic cadences EXAMPLE 284 Bach: Das wohltemperier&Klavier.I, Praludium No. 6
a I-- I -1. I I

. authentic cadence

The authentic cadence has the most forceful finalizing capacity. It is useful,
therefore, in complementing non-authentic cadcnccs appcari~lgin p r c c e d i r ~ ~
phrases (see 14.2.3; 14.2.4), as well as at the end of a piece.
An authentic cadence can, however, express different gradations of finality,
depending upon the metrical conditions in which the chords appear and upon
the position in which the final chord appears. (The most decisive ending is that
in which the final chord appears in octave position at the beginning of the
bar.)
I EXAMPLE 282 Haydn: Piano Sonata, Hob. XVI: 33

14.2.2 Plagal Cadence

This cadence ends in IV-I (or 112-1 - Exs. 287, 368). W c shall distinguish
between a perfect plagal cadence and an imperfrct plagal cadence.
The perfect plagal cadence is constructed according to the pattern V-I-IV-I.
Thus, it represents an authentic ending (V-I) prolonged by a plagal ending
(IV-I) - Em. 285, 286.
authentic cadence
The imperfect plagal cadence, on the other hand, is based on a shorter pat-
tern: V-IV-I (Exs. 288-a,b; 289).

I EXAMPLE 283
A Ausmo -
Brahms: Piano Sonata. Op. 1
EXAMPLE 285 Perfect plagal cadence
136 HARMONY lh' JTS SYSTEMIC AND I'HENOMENOLOGICAL ASPECTS

EXAMPLE 2 8 8 Schumann: Albumblatter, Op. 124, No. 6 T h e plagal cadence - as an independent cadence - appears mostly in con-
Non gresto nection with harmony of a rather modal character (see Chap. 35). In func-
tional harmony it appears
-- chiefly as a kind of transformation of the authentic
cadence. Hence, its role as an independent cadence is weakened.
In a perfect plagal cadence, IV appears in an a-b-a pattern, i.e., as a pro-
longation of I. This cadence may then be regarded as authentic, having an a-b-
a prolongation of its final chord (I-IV-I).' A similar situation also occurs
v I- IV- -1 in the imperfect plagal cadence. Here, the IV, which appears after V, sounds
perfect plagal cadence rather like a kind of appogsiatura chord to 1. T h e sequence V-IV-I (Ex. 288,a)
sounds somewhat like V-IV>I (Ex. 288,b), i.e., as an authentic cadence with
EXAMPLE 2 8 7 Rimsky-Korsakov: Snow Maiden an accented changing tone and an appoggiatura to I.
In the following passage, o n the other hand (Ex. 290) the succession IV-I
assumes a more independent cadential role. This is due in part to the absence of
a fundamental V before the IV.
EXAMPLE 2 9 0 Bach: Herzlich lieb hab'ich dich, o Herr

11; I
plagd cadence

EXAMPLE 2 8 8 Imperfect plagal cadences

plagnl cadence

14.2.3 Deceptive Cadence

This cadence ends on a chord different from I, which assumes a tonic
significance. T h e chord in question is immediately preceded by V (Exs. 291-
293).
EXAMPLE 291 Deceptive cadence

EXAMPLE 2 8 9 Bach: Mit Fried' und Freud' ich fahr' dahin

i imperfect plagal cadence

After an authentic cadence appearing at the end of a piece, therc is sometimes a digres-
sion to IV of a more significant duration. T h e primary role of thc IV in thcsc instances is t o
oflset certain dominant elements which had appeared previously.
 , 138 H.4RMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS
!
CADENCES

EXAMPLE 2 9 2 Deceptive cadence EXAMPLE 2 9 3 Deceptive cadence EXAMPLE 2 9 5 Bach: Christ lag in Todesbanden

- C/
ID minor, VI 111: ~4 l8
deceptive cadence authentic cadence

In a deceptive cadence ending on VI it is necessary to double the third of EXAMPLE 2 9 8 Schumam: Piano Quintet, Op. 44
i the VI ( E x 291). since this doubling gives the VI a tonic significance (see
11.3.1; 12.7.4.3.1.2).
1

The in Ex. 292 sounds like a tonic (a kind of VI u ~ i t ha sixth itlstead q f a (

I
l
~ f i h ) due
, to the following two factors:
a. the placement of the chord (following I-IV-V, i.e. where I is expected);
b. the doubling of the fifth, which constitutes the main tonic tone.
I V! VI

I The above factors supersede the subdotninant gene ingrained in IV, and
endow the chord with tonic significance, despite the fact that it carries no
deceptive cadence
J

tonic gene' (see also Ex. 297).

1

I The deceptive cadence constitutes a kind of escape from the real ending
(the onc which terminates with I). It thercforc dcmands a complcmentar):
passage which, sooner or later, ends with an authentic or a plagal cadence
( ( E r r 294-297).
I
authentic cadence
EXAMPLE 2 9 4 Mozart: String Quintet, K. 516, Minuet

EXAMPLE 2 9 7 Handel: Judas Maccabeus

-v; VI
decepttve cadence
-
Vl
d
I
authentic cadence

See also 25.2. (deceptive cadence) (authentic cadence)

'I,
I
 1 140 HARMONY IN I T S SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS CADENCES
I

/
:I
14.2.4 Dominant Half Cadence, Phrygian Cadence EXAMPLE 300 Beethoven: Piano Sonata, Op. 2, No. 1
Adagio

I 'i
14.2.4.1 The dominant half cadence ends on V or on 1:-V (see Opening
Cadential Six-Four Chord - 17.2). The Y or the 1: is preceded by 11, IV, or I
(Exs. 298301, 331-333).
The dominant half cadence is the most dynamic, the tensest, and the most
1
I open of all cadences (see 14.3). It provides the unit in which it is found with
I I
the quality of an inconclusive phrase - one which calls for a continuation.
The sequence completing the dominant half cadence usually ends with' an
)I authentic cadence ( E x . 300, 301), although it may sometimes end in another
cadence as well.
dominant hdlf cadence

/ EXAMPLJ3 298 Bach: Es woll' unr Gou geniidig rein -

3- - 1-

-
authentic cadence

I V#
dominant half cadence
EXAMPLE 301 Schumann: Album fur die Jugend, O p . 6 8 , No. 2 4
Con gaia espressione

-
IV
-
V#
dominant h a y cadence dominant hllf cadence

1, EXAMPLE 299 Beethoven: Piano sonata, Op. 49, No. 1

(I) 1'1, 16, Vd

dominant half cadence
/
-
v, I
authentic cadence
142 HARMONY 1N ITS SYSTEMIC AND PHENOMENOLOClCAL ASPECTS CADENCES 143

14.2.4.2 A dominant half cadence ending in IV,-V or 11;-V IN MINOR is Esample 304 does not end in C major as may appcar to thc incsperi-
called a Phrygian cadence (Exs. 302, 303). This name refers to the minor second enced student, but in G major (I,?-IV). This is especially evident in the
progression in the bass (created by the chord succession IV'-V or 114,-V) which melodic progression of the soprano8 (in the fact that thc B is not resolvcd by C
characterizes the Phrygian mode. but rather leaps co G).'

EXAMPLE 302 Bach: Ich hub' mein' Such' Gott heimgestellt The two excerpts below (Exs. 305, 306) illustrate further forms of sub-
A I rn dominant half cadence.

EXAMPLE 305 S c h u m a ~ Album

: fur die Jugend, Op. 6 8 , No. 42

I
IG minor)

Phryglan cadence

EXAMPLE 303 Bach: Vater unser im Himmelreich

. I-IV-
subdominont'half cadence

EXAMPLE 306 Beethoven: Piano Sonata, Op. 10, No. 2

Phrygian cadence

14.2.5 Subdominant Half cadence6

This cadence, which is relatively rare, ends on IV, preceded by I (Ex.
304). '
EXAMPLE 304 Bach: Aus meines Herzens Grunde

, /
authentic cadence

(G major) Q 7b IV/
subdominant half cadence

This concept is proposed by the autkbr.

' See 22.3.4. We are sensitive to the irresolution of a leading tone, especially in the highest volce.
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

,
14.3 CONCLUSION
Different harmonic cadences provide the phrase with different degrees of '
!\ dynamism, effecting contrasts of a formal-dialectical nature.
I
Accordingly, the harmonic cadences may be divided into three categories: DISSONANT T R I A D S
l a. open cadences - providing the phrase with a relatively high degree of
1 dynamism and calling for a continuation; - V I I (VII~)' 9
b. semi-open cadences - also demanding continuation, but usually conveying

1
/J
a lower degree of dynamism than do open cadences;
c. closed cadences - producing a static character. I
I11 I N M I N O R
The first category may be said to include the two halfcadences: the domi-
nant half cadence and the subdominant half cadence; the second category
includes the various deceptive cadences; the third category includes all authen-
tic and plagal cadences.

15.1 T O THE TEACHER

! This introduction serves to show some deductive aspects of our methodo-
logical strategy.*
We intend to demonstrate that the explanations offered in relation to the
material dealt with in this chapter are logically drawn conclusions based on
data already available to the reader. We shall illustrate this with the ex~lana-
, tions offered concerning 111 in minor.
The necessity of doubling the third in VI, when preceded by 111 in minor
- a necessity which, incidentally, contradicts the conventional rules which
state that in a major triad the root must be doubled (see Introduction, Ex.
XIII) - does not emanate only from our tonally oriented ear. It also evolves as
a logical consequence of the following considerations.
A. III may represent the tonic or the dominant (see 11.2).
, B. VI may represent the subdominant or the tonic (see 11.2).
C. III in minor is an augmented triad, i.e., a dissonant chord.

' 11,
in minor is discussed in 16.2.
The material discussed in chis chapter constitutes a relatively simple means of illustration.
146 1f.iRMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS DISSONANT TRIADS - VII, I11 IN MINOR 147

As a dissonant chord, 111 in minor is not apt to be interpreted as a tonic, but In Ex. 308 the diminished triad is tolerable thanks mainly to the condition-
rather as a dominant. Thus, VI, following 111 in minor cannot be a subdomi- ing created by the sequential process. Our anticipation of a diminished chord,
nant, but must be a tonic. due to the sequential process, serves as a kind of "preparation" for the dis-
With this in mind (as well as the explanations regarding means of sonance of the chord.
highlighting one of the functional genes ingrained in VI - see 11.3.1), one However, another type of preparation is also worthy of mention: entry
may surmise that in VI - when following III in minor - the third (or fifth) into the dissonant tone of the chord (i.e., into the fifth) by a prime (i.e., by
and not the root must be doubled. preparation - see 18.3.1). Moreover, this tone is RESOLVED in the following
chord - Bb is resolved by a descending second to A (see 18.3.2).
15.2 THE DIMINISHED TRIAD t

The tntone found in this chord creates a rather incisive ~ o n o r i t yPlacing

.~ 15.2.1 Diminished Triad in First Inversion
the root of the diminished chord in the bass and doubling it serve only to stress The only tone of the diminished triad which forms consonant intervals
the tritone and to sharpen the sonority further (Ex. 307,b).4 with the other tones of the triad is the third. If this tone is emphasized, the
sonority of the chord will be mellower. This emphasis may be achieved by
EXAMPLE 307 placing the third in the bass and doubling it. Hence, the diminished chord
b. usually appears as a sixth chord with doubled third rather than as a triad
(Exs. 309-a,b).

EXAMPLE 309

intensified
dissonance

The diminished triad (as a fundamental chord) is, therefore, used rarely -
mainly in passages of a sequential nature (Ex. 308).

EXAMPLE 308 Mozart: Die Zauberjlote

Allegro assai
15.2.1.1. PROPER TREATMENT OF A SIXTH CHORD
WITH A DOUBLED THIRD
Sixth chords with a doubled thlrd are quite common, as we shall see
further on (see Chap. 16). It should be noted, however, that these chords are
less common in fifth position (a sixth chord with a doubled third in fifth posi-
tion produces an uncharacteristic sonority in the context of functional har-
dim. triad mony).
The entry into and exit from the doubled third are usually in contrary mo-
'
A V,, for example, has a milder sonority than that of a diminished triad, despite the fact tion (Ex. 310).
that it includes a seventh in addition to the tritone, i.e., two dissonant intervals. This goes to
prove that the introduction of dissonant tones to an already dissonant chord sometimes
produces the i n i x p e a e d effect of lessening the dissonance (softening the sonority) rather than created by the chord of Ex. 307,a. This intensification, resulting from the doubling of the root,
intensifying it. may possibly be a consequence of the dissonance formed between the second overtone of the
The chord cited in Ex. 307,b, for instance, creates a more incisive sonority than that bass tone (F1) and the fifth of the chord (F).
148 If.3RMVNY IN I T S S Y S T E U I C A N D W E A ' O M E N O L O C I C A L A S P E C T S DISSONANT TRIADS - V11, Ill IiV MINOR

15.2.1.2 VII, EXAMPLE 313 Bach: Nun bitten w i r den heiligen Geist
Being a diminished triad, VII usually appears in first inversion (as VII,)
with a doubled third. VII, with a doubled third usually appears in octave or
third position (Exs. 309-a,b). VII, may also appear in fifth position, but it is
the fifth - usually in the tenor - rather than the third that is tnen doubled
(Exs. 311, 312).
VII, usually appears between I and I6 - forming an a-b-a pattcrn (Exs. 310-
312). However, VII, can also be preceded by IV, when followed by I
(Ex. 313). In such cases the succession VII,-I does not demand compensation
(although it represents an accentuated progression) since the VII, is The chord successions VI16-V, and VI1,-V, (Exs. 314-a,b) produce an in-
interpreted, in this instance, as an evident substitute for V. congruity between the bass progression and the chordal structures (see 13.3.1;
13.3.2), for which reason they are rather infrequent in functional harmony
EXAMPLE 310 Mozart: Requiem (despite the fact that they constitute dynamic harmonic progressions).
However, when VII, appears in fifth position with doubled fifth, i t s domi-
nant gene is weakened. Placing the fifth (the main subdominant tone) in the
( soprano and doubling it lend the VII, a certain subdominant shading which
transforms the chord into a kind of 11, i.e., into a kind of fundamental chord
(Ess. 315-a,b). Under these circumstances the progression VII,-V represents a
chord succession of two fundamental chords, as it were, and consequently, it is
fairly common (Ex. 315,a).

EXAMPLE 31 1 Bach: Das neuaeborne Kindelein EXAMPLE 3 14 EXAMPLE 315 .

I
I I I VII, V v11, V6 VII, v VII, v,
a-b-a (SD Dl (SD D)

EXAMPLE 312 Mozart: Piano Concerto, K. 488

In Exs. 315-a,b, for instance, the VII, tends to sound like a subdominant
chord (a replacement of sorts for 11), and the chord successions VII,-V and
VI1,-V, are acceptable as correct, despite the apparent incongruity between the
bass progression and the chordal structures (see 13.3.1; 13.3.2).
In Exs. 314-a,b, on the other hand, the same chord successions seem less ac-
ceptable. VII, does not appear here as a replacement for 11, for which reason
I VII,
a -b ------a
150 H9RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

the incongruity between the bass progression and the chordal structures is
more blatant. It is worth noting, however, that the chord successions presented
in Exs. 314-a,b would seem more acceptable if V were replaced with V,, and I
V, with V:.
The chord succession VII,-111 mainly appears in sequential passages
(Ex. 181).
1
I SIXTH CHORDS

15.3 THE AUGMENTED TRIAD (111 IN MINOR)

The augmented triad is a dissonant chord. Hence, it cannot be interpreted
as a tonic. It follows then that 111 in minor is unequivocally a dominant chord,
rather than ambiguously tonic or dominant, as is 111 in major.
Therefore, VI following III cannot be subdominant but must rather be
tonic.' Consequently, it is more desirable to double the third or the fifth in VI
following I11 in minor (Exs. 316-a,b) rather than the root (Ex. 3 1 6 , ~ ) . ~

EXAMPLE 3 18

I 16.1 Sixth chords of secondary degrees are no less important than sixth
chords of the main degrees. However, whereas those of the main degrees are
all treated more or less alike, the treatment of the sixth chords of the second-
ary degrees varies with each chord according to its specific features.

16.2 11,
II often appears in first inversion - as a sixth chord with a doubled third
I (or as a six-five chord - see 18.5.1). Under these circumstances, its subdomi-
nant gene is strengthened and the chord itself approximates IV. 11, with a
doubled third differs from IV in only one tone, and some tend to regard it as a
kind of IV iuith a sixth instead of a fifth.
W e shall regard 11, (with doubled third) as a fundamental chord. It follows
then, that the chord succession 1-11, (Ex. 320) is correct, desplte the leap of a
fourth in the bass. (This chord succession ought to be regarded as a succession
of two fundamental chords, rather than a fundamental chord and an inversion
- see 13.3.1).
' This does not apply to some cases in which specific conrextual conditions give a sub- II, with a doubled third usually appears in octave or third position (see
dominant sigMcance co VI, even when the VI follows a dominant chord - V, for instance 15.2.1.1). When II, appears in fifth position, the fifth (rather than the third) is
(see Ex, 1157).
See Introduction, Exs. XIII-XVI.
usually doubled.
152 If.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SI.Y.rH C H O R D S OF II. 111, VI

T h e use of 11, (instead of 11,) is more common in minor, and not without EXAMPLE 3 2 0 Mozart: Symphonie concertante, K. 364
reason. While in major 11 can also appear as a triad, this does not generally ap-
ply to minor, since there 11 constitutes a diminished triad (see 15.2.1). Hence,
the common way to represent II in minor is by II, (or II, and its inversions -
see 18.5.1).'
T h e third in II, in minor is doubled for t w o reasons:
a. in order to emphasize the subdominant gene of the chord:
b. in order t o soften the tritone (see 15.2.1).
The following (Exs. 317-320) illustrates 11, in major and in minor. 16.3 111,
This chord may appear with either of t w o different doublings: the third or
EXAMPLE 3 1 7 Schumann: Kinderszenen, Op. 15, NO. 6
the root. III, with a doubled third may be regarded as a kind of V with a sixth
instead of a fiffh, i.e., as a fundamental chord (Exs. 321-323, 325).
W h e n 1116 (with a doubled third) is followed by VI, the VI represents the
tonic, for which reason it should appear with a doubled third (or a doubled
fifth), rather than a doubled root (Ex. 323).'

EXAMPLE 321 Bach: Christ ist erstanden

A

EXAMPLE 3 1 8 Haydn: Piano Sonata, Hob. XVI: 34

Adagio

EXAMPLE 3 2 2 R. Strauss: Zueignung, Op. 10, No. 1

1
..
fi Moderato
"I
a
v
i
I Y
I
a.
I
I
a

, I
I

I
I
I
,
.
a
r
I
I

1
EXAMPLE 3 1 9 Bach: Wer weiss, wie nahe mir

(F major) d-
(IV ) 7 r
..
3 The dominant shading of 111, gives this chord succession a quality somcwhat like that
' 112 in minor is rare. found in a deceptive cadence.
1
154 H.iR,tfO.VY I.V ITS SYSTEMIC Ah'D PHEiVOMENOLOCICAL ASPECTS SIXTH CHORDS OF 11. 111, VI 18

EXAMPLE 323 Bach: Ouverture nuch franzasischer Art, Passepied I Doubling the root of 111, in major gives this chord a somewhat modal4
character, devoid of any defined functional quality (Ex. 326). The same
doubling in minor gives 111, a dominant shading (since the chord is dissonant
- see 15.3).

EXAMPLE 326 Chouin: Ballade No. 2. On. 38

The succession 111,-I - when 111, appears with doubled third in octave
position, and I in third position (Ex. 324,a) - is unsatisfactory. Due to the
progression of a fourth in the bass, this succession tends to be perceived as a
succession of two fundamental chords: V (with a sixth instead o f a f j i h ) and I . As
a result, the sixth which appears instead of a fifth in 111, calls for a progression
to the same tone to which the fifth should have progressed, i.e., to the first
The fifth of 111, constitutes the leading tone. The latter is characterized by a
tone of the scale.'
highly dynamic quality for which reason it should not be doubled.
The chord connection of 111,-I as it appears in Exs. 324,b and 325 is
therefore more satisfactory than that offered in Ex. 324,a.
16.4 VI,
EXAMPLE 324 This chord is less common than the other sixth chords. It usually appears as
a. I I b. I
a I with a sixth instead o f a f j i h , and it is often found in places where the first
tone of the scale appears as an organ point in the bass (Ex. 330).
Doubling the fifth or the third bestows a tonic quality on the chord, while
doubling the root gives it a subdominant shading (Exs. 327-330).

EXAMPLE 327 Mozart: Piano Sonata, K. 333

Allegro

i
EXAMPLE 325 Schumann: Album fur die Jugend. Op. 68, No. 9

VI, -

.. (11 I I
3

' In this connection see also The Dominant Thlrteenrh Chord - 19.2. See Chap. 35.
 Ii.4RMOSY IIV ITS SYSTEWIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 3 2 8 Mozart: Symphony No. 38, K. 504

7 SIX-FOUR
CHORDS
EXAMPLE 3 2 9 Chopin: Prelude Op. 28, No. 20

EXAMPLE 330 Chopin: Mazurka, Op. 17, No. 4

A Lent0 ma non tromn

17.1 As stated in 3.5, the six-four chord is the second inversion of the triad.
The characteristic interval of this chord is the fourth, which is considered dis-
sonant when it appears between the bass and one of the upper voices, i.e.,
when it is not covered from below.' Hence, the six-four chord is considered
dissonant.
One must distinguish between two types of six-four chords: cadential six-
four chord and non-cadenlial six-four chord.

17.2 O P E N I N G C A D E N T I A L SIX-FOUR C H O R D ,
C L O S I N G C A D E N T I A L SIX-FOUR C H O R D
The cadential six-four chord is characterized by the following traits.
A. It is the second inversion of the triad on I (i.e., it constitutes I:).
B. It appears in the cadence in a metrically accented position (on the first
or third beat in duple meter or sometimes on the second beat in triple meter).

' The consideration of the fourth as a dissonant interval stems mainly from the music of the
sixteenth century, although it may already be found in some theoretical writings of the
fifteenth century.
 I
158 H.-IRMONY IN I T S S Y S T E M I C A N D P H E N O M W O L O C l C A L A S P E C T S SIX-FOUR C H O R D S

C. It is followed by V (either as V, or as V,) and is preceded by a sub- EXAMPLE 334 Schumann: Waldszenen, Op. 82, No. 6
dominant chord or (less frequently) by I.
D. Its fifth, the bass tone, is usually doubled.
Although structurally related to the first degree, the cadential six-four
chord is not a tonic chord, but rather a dominant one. In context, it sounds llke
a sort of V with two nonchord tones: afourth instead o f a third and a sixth instead o f a
f i h . Consequently, the tone usually perceived as the root of the cadential six-
four chord is the fifth (i.e., the bass).
A distinction must be drawn between two types of cadential siu-four
chords: opening cadential six-four chord and closing cadential six-four chord. The first
EXAMPLE 335 Beethoven: Piano Sonata, Op. 27, No. 2
type appears in connection with the dominant half cadence (Exs. 331-333),
whereas the second is linked with the authentic (or deceptive) cadence (Exs.
334-339).

EXAMPLE 331 Mozart: Piano Concerto, K. 4 8 8

(IV- 1 1: ----- vx-------

EXAMPLE 336 Glinka: Variations on a Scottish Theme

EXAMPLE 332 Mozart: Piano Concerto, K. 488

i
(Iv) 12
EXAMPLE 337 Beethoven: Piano Sonata, Op. 14, No. 1
EXAMPLE 333 Beethoven: String Quartet, Op. 18, No. 1

I /' / <

(1) 1: vg I
160 H.4RMO.VY 1.V ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SIX-FOL'R CHORDS

EXAMPLE 338 Mozart: Variations. K. 180 EXAMPLE 341 Preparation of the fourth in the six-four chord

EXAMPLE 339 Handel: Suite X. Minuet EXAMPLE 3 4 2 Resolution of the fourth in the six-four chord

17.3 NON-CADENTIAL SIX-FOUR CHORDS EXAMPLE 3 4 3 Haydn: Piano Sonata. Hob. XVI: 35
Unlike the cadential six-four chord, which appears only on I, the non-
Allesro con brio b, -
cadential six-four chord may appear on any degree (including I).
Being dissonant (see 17.1), the non-cadential six-four chord demands
preparation and resolution.
Both in entering the non-cadential six-four chord and in departing from it,
one of the tones comprising the fourth (formed between the BASS^ and one of
the upper voices) stays in place ("moves" a prime), while the other tone
moves stepwise (Exs. 341-346). In cases of departure from a six-four chord
with the bass remaining in place, the tone representing the fourth above the EXAMPLE 3 4 4 Brahms: Symphony No. 1, Op. 68
bass usually descends (Exs. 342,a; 343). Allegro non troppo ma con brio

The word BASS is stressed since a fourth may also be formed, in a six-four chord,
between two voices other than the bass. This may occur when the bass is doubled (Ex. 340).
EXAMPLE 3 4 0
 1
162 H.-IRMONY IN ITS S Y S T E M I C AND P H E N O M E N O L O G I C A L A S P E C T S SIX-FOUR CHORDS

EXAMPLE 345 Mendelssohn: Symphony No. 4, Op. 90

Allegro vivace

The most usual doubling - in a non-cadential six-four chord is that of the fith
(the bass tone), as in a cadential six-four chord.
The non-cadential six-four chord usually embodies a weaker functional-
EXAMPLE 348 Beethoven: Piano Concerto No. 1, Op. 15
I harmonic quality than that of a triad or a sixth chord. It frequently acts like a
AUeero con brio group of passing and/or changing tones, i.e., as apassing chord or changing chord,
for which reason it is mainly regarded- as a chord which manifests melodic
rather than harmonic qualities.
Due to its specific characteristics, the non-cadential six-four chord may be
i preceded and followed by any chord (creating with it any sort of harmonic
progression - see 12.7.4.4.3).
However, the succession of two chords which constitute the second inver-
In some instances the bass of a non-cadential six-four chord is entered and sion of a triad and/or the second inversion of a seventh chord (64 - 6.4, 43-394 . 64-394 .
departed from by a leap. This occurs in successions of chords of the same :-6,) is not customary.
degree (Exs. 347, 348).

EXAMPLE 347 Beethoven: Variations, OD. 120

EXAMPLE 348 Tchaikovskv: Euuene h e g i n

 SEVENTH CHORDS ON I, 11, 111, IV, V I , VII

f. augmented-major seventh chord - found on I11 in minor (Ex. 349,f);

g. diminished-diminished seventh chord - found on VII in minor (Ex. 349,g).

8SEVENTH CHORDS EXAMPLE 349 The seventh chords generated by the major and minor scales

O N I, 11, 111, maj.-maj. min-min. maj.-min. dim.-min. min.-maj. aug..maj. dim.-dim.

IV, VI, V I I 18.2 HISTORICAL-STYLISTIC BACKGROUND

The assertion that seventh chords reached the status of independent chords
mainly at a relatively late stage in the tonal period is incorrect.' A number
of seventh chords had already reached this status in the baroque p e r i ~ d In.~
the rnusic of Bach we may find independent sct)errtll rlrords, just as wc may en-
counter, in the romantic period, "seventh chords" which are not independent.
but simply the result of the use of nonchord tones. In any case, the relegation
of a chord to the category of independent seventh chont or triads with
a nonchord tone cannot be based on the date on which the music was composed,
18.1 CLASSIFICATION AND DESIGNATION but on the musical context within which the chord appear^.^
OF SEVENTH CHORDS Seventh chords do appear clearly and unequivocally in a considerable por-
The various seventh chords are designated according to the type of triad tion of light music. The following excerpt, for instance, illustrates their
and the size of the seventh which they contain.' Accordingly, V,, for instance, idiomatic use (Ex. 350).
is termed a major-minor seventh chord (since it contains a major triad and a minor
EXAMPLE 350 Lai: 13 jours en France
seventh).
The major and minor scales generate a total of seven varieties of seventh
chords (Es. 349)':
seventh chord - found on I and IV in major and VI in minor
a. maic~r-~nqior
(Ex. 349,a);
b. minor-minor seventh chord - found on 11, III, and VI in major and IV in
minor (Ex. 349,b);
c. mnjor-minor seventh chord - found on V in both major and minor (Ex.
349,c);
d. diminished-minor seventh chord - found on VII in major and I1 in minor
(Ex. 349,d); ' This assertion stems from a tendency to explain harmonic development in a schematic
manner.
e. minor-major seventh chord - found on I in minor (Ex. 349,e); T e shall not concern ourselves with occasional seventh chords which appeared before
the formation of the tonal system.
J:

In connection with the designation of seventh chords, there exist small differences in ter- ' As early as the time of J. S. Bach, idiomatic harmonic sequences containing seventh
minology. I chords were formed; these sequences later appeared in the music of Mozart, Beethoven,
All the chords in Ex. 349 are built on the tone C. Chopin, and others (see, for instance Exs. 176-178, 370-375).
166 HARMONY IN ITS SYSTEMIC AND PHENOMWOLOCICAL ASPECTS SEVENTH CHORDS ON I, 11, Ill, IV, VI, Vll

18.3 TREATMENT OF SEVENTH CHORDS - EXAMPLE 353 Bach: Das wohltemperierte Mavier, I , Praludium N o . 1
A
PREPARATION, RESOLUTION
Seventh chords are dissonant chord^.^ As such, they demand preparation
and resolution. (This does not apply to seventh chords preceded or followed
by a chord representing the same degree.)

18.3.1 Preparation
Entrance to the seventh of the seventh chord or its inversions is usually
achieved by a prime (Exs. 352-a, b), not unlike the treatment of the suspen-
sion.
The treatment of the major-minor seventh chord and the diminished-
diminished seventh chord is more liberal in this respect. Here, the seventh may
12 V1, 113 I:%
be entered also by a second, chromatically, or even by a leap (see 18.5.3). -1- a diminished-diminiled seventh chard (see 18.3.11.

18.3.2 Resolution
18.4 HARMONIC PROGRESSION WITH
The seventh descends by a second (Exs. 352,a). In certain rare instances it
REGARD TO SEVENTH CHORDS
stays in place ("moves" by a prime). This type of resolution is known as apas-
sive resolution (Ex. 352,b). Seventh chords usually- appear
-- in connection with a dynamic harmonic
progression. The most frequent and characteristic harmonic progression using
EXAMPLE 352 seventh chords and their inversions is that of a rising fourth (Exs. 175-178,
350). (The combination of a static and an accentuated harmonic progression,
for instance, in connection with three seventh chords is rather rare.)
passlve
p r r a i o o mparati- ,,u,i,
- -
A
t-
I
18.5 SPECIFIC TRAITS OF THE VARIOUS
I
SEVENTH CHORDS

18.5.1 11,
18.3.3 The following excerpt (Ex. 353)' serves to illustrate preparation and This chord, which contains the triad of IV, manifests qualities which are
resolution of seventh chords. subdominant par excellence. (It acts somewhat as the foremost representative of
the subdominant function.)
A seventh chord containing a diminished triad is sometimes less dissonant than the The following excerpts (Exs. 354-361) illustrate 11, in major and in minor.
diminished triad itself. Compare, for Instance, each o f the following seventh chords
(Ers. 351,a-c) with the diminished triad (or triads) beside it.
EXAMPLE 354 Bach: Das wohltemperierte Klavier, I , Priiludium N o . 1

' For the sake of illustration, the excerpt is presented here in five-voice choral texture.
 1f.iRMO.VY IN 1TS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS SEVENTH CHORDS O N I. 11, III, IV, V l , VlI

EXAMPLE 354 (continued)

EXAMPLE 355 Mozart: String Quartet, K. 465, Minuet

EXAMPLE 358 Chopin: Ballade No. 1 , Op. 23

EXAMPLE 356 Bach: Du grosser Schmerzensmann EXAMPLE 3 5 9 Lalo: Symphonie espagnole,

. . Op. 2 1
AUegro non troppo

EXAMPLE 357 Mozart: Symphonie concertante, K. 3 6 4

EXAMPLE 360 Schubert: Der Atlas

A , Poco allegro

I,, 1
170 H.4RMONY IN I T S S Y S T E M I C A N D P H W O M E N O L O C I C A L A S P E C T S S E V E N T H C H O R D S O N 1, 11, 111, I V , V11

EXAMPLE 384 Bach: Wie schon leuchtet der Moraenstern

fC major)
(I61 !I' w

EXAMPLE 385 Leclair: Sonata for Violin and Piano, Gavotte

112. This chord is of a marked subdominant quality - it constitutes a sort

of I V ivith an added sixth. 11: behaves - not unlike 11, - as a chord whose root
is in the bass, i.e., as a fundamental chord, rather than an inversion. Its ap-
pearance in conjunction with a plagal cadence (Exs. 287, 368) also attests to its
being a sort of IV with an added sixth (Exs. 362-368). EXAMPLE 368 Mendelssohn: Symphony No. 5, Op. 107

EXAMPLE 38z Glinka: Russlan and Ludmilla

EXAMPLE 363 Schumann: Kinderszenen, Op. 15, No. 13

I
 H..1R,\fONY 1.V ITS SYSTEWIC rLVD PHENOMENOLOCICAL ASPECTS SEVLVTH CHORDS ON I, I!, 111, IV, VI, VI1

EXAMPLE 388
,Allegretto, -
DvofBk: Legenden. Op. 59, No. 1
I , - I , - , I
-
F'

11:. This chord is the least frequent among the inversions of 11,. Its func-
EXAMPLE 371 Rossini: I1 barbiere di Siviqlia
tional gene is weak (by comparison with II, and 112) and it therefore cannot
represent the subdominant function effectively except when it appears in con-
junction with other subdominant chords (Exs. 365, 369).
114, is more useful in minor. This is partly due to its appearance in the
Phrygian cadence (see Ex. 303).

EXAMPLE 369 Beethoven: Piano Sonata, Op. 14, No. 2

EXAMPLE 372 Mozart: Symphony No. 40, K. 550

11,. This chord is quite common. However, unlike 11, and 112, which ap-
pear in cadences, among other places, and which, therefore, tend to assume
functional significance (see 20.2.1), II, is not found in cadential contexts. It
usually appears at the beginning of a phrase, primarily in connection with the
harmonic idiom I-11,-V6,-I (Exs. 370-375).

1 EXAMPLE 370 Bach: Das wohltemperierte Klavier, I , Praludium No. 1

 g
=2-a a5 . ~
g
. sa%-
4 %
" ag 3-h
0
z-0 3 2.g
0 3-0
D O g 5 2
=, ,
323 0
-=-+ %e, E
e, *. E.
3 $2 z a, ~M "
0
re, L m~ go 2m" . -
F.
- 3 F3 3 : z
2 2, ' '&
:.og0"y
-42 Lg2 w
CD 4
g ec $ R ~ s
23" >g
z. g 5 2
3.2 rS
3-4
E q - 5g
w -. %
&.a 3 e
0

gm r: gG
o g - . E g -
2 . 3 g Q+. 5'
C - n z
g 0 zw 7-

w
g-2' 5' 2
,et g- 5 !$EL
0 3 5.:
ss3 &
; 3 e,
176 H.4K.UONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SEL'ENTH CHORDS ON I , 11, 111, I V , VI, VII 17

These three tones (the third, fifth, and seventh) which constitute a triad of VII, usually appears between V7 and VI and in most of these instances it as-
II, tend, under certain circumstances, to become conspicuous as an independent sumes the significance of a sort of VI with three suspended tones (Exs. 382,
units and thereby to endow the VII, with a subdominant quality par excellence. 383).
This is most apt to occur when the leading tone (representing the root of
VII,) does not appear in an outer voice (soprano or bass), i.e., when VII, ap- EXAMPLE 382 Mendelssohn: Lieder ohne Worte. OD. 38. No. 4
pears in one of its inversions, in a position other than the octave.
In Exs. 380, 381, for instance, VII; and VII: assume a characteristically sub-
dominant quality. In Ex. 377, on the other hand, VII, assumes a dominant
shading, due mainly to the fact that the leading tone is in the bass.

EXAMPLE 380 Grieg: From Holberg's Time Suite, Op. 40, Gavotte v, VII, Vl

EXAMPLE 383 Mozart: Die Zauber-ote

EXAMPLE 3 8 1 Mussorgsky: Boris Godunov

18.5.3 VII, in Minor

The diminished-diminished seventh chord and its inversions are identical in
structure - if we regard the minor third and the augmented second as iden-
tical intervals (Exs. 384,a-d).

EXAMPLE 384

7 60
111 5
This is due, inter alia, to the prominence of the perfect fifth, between the third and the
seventh of the chord, over the diminished fifth between the root and the fifth (Es.379).
Because of the prominence of this perfect fifth, the third of VII, (which constitutes the root of
Each of the above four chords (Exs. 384,a-d) may be interprctec! cnhar-
the perfect fifth) tends, under certain circumstances, to sound as the root of the chord. In these monically9 - providing i t appears as an isolated chord, detached from any
instances, thepriginal root sounds like a sort of tone added to the chord - a tone added to 11 - musical context - as a seventh chord, a six-five chord, a four-three chord, or a
(see 36.1.1). . .. two chord (Exs. 385,a-d).
e x A M P u 378 *

See 30.2.
 HAR,UONY IN ITS SYSTEUIC AND PHENOMENOLOGICAL ASPECTS
? SEVENTH CHORDS O N I, 11. IIL, LV, V I , VII

EXAMPLE 3 8 5 EXAMPLE 3 8 6 Bach: Herzliebster Jesu, was hast du

EXAMPLE 3 8 7 Mozart: Sonata for Piano and Violin, K . 379

Allemo

Because of its particular structure, it is difficult to determine auditively the

root of the diminisheddiminished seventh chord.'' Each of its four con-
stituent tones might be interpreted as its root when the chord is isolated from a
definite musical context.
EXAMPLE 3 8 8 Mozart: String Quintet, K. 406
Hence, the treatment of the diminished-diminished seventh chord and its
inversions is free as far as harmonic progression is concerned. The chord at
hand (and its inversions) may be preceded and followed by a chord forming
with it any harmonic progression whatsoever (see 12.7.4.4.3).
For the same reason, no preparation is demanded for the seventh in the
diminished-diminished seventh chord and its inversions (see 18.3.1). The
seventh in these chords may be entered either stepwise (Exs. 386-393) or by a
leap (Exs. 387-389), but it may, of course, also be entered by a prime, i.e., by
preparation (Ex. 394).
The statements regarding the functional characteristics of VII, in major
also apply to VII, in minor. EXAMPLE 3 8 9 Cluck: Iphigbnie en Aulide
A , Grazioso, non hoppo lento

'O Some regard VII, in minor as a V, without a root. W e are perfectly aware that, in cer-

tain cases, one tends to hear addtively some tones which do not actually exist in the chord
(see, for instanCe: Introduction, Exs.VI1-IX). As a result, we concede that this is also feasible
in the case of VII; which. IN CERTAIN CASES* might indeed sound like a V, without a root.
However, the conditions in which this occurs are so vague as.to defy precise definition.
 180 H.iR.MONY I.V ITS SYSTEbtIC AND PHENOMENOLOGICAL ASPECTS SEVENTH CHORDS ON I, !I, III, IV, VI. VII

EXAMPLE 3 9 0 Mozart: Requiem 18.5.4 111, in Minor

Alleso assai
The augmented-major seventh chord is a chord of intensified dissonance as
the result of the augmented triad on the one hand and the major seventh on the
other hand (a major seventh is rather more dissonant than a minor one).
The augmented-major seventh chord appears chiefly as a fundamental
chord (its inversions are rather rare).
The usual resolution of 111, is to VI (Ex. 394).

EXAMPLE 3 9 4 EXAMPLE 3 9 5
EXAMPLE 391 Haydn: Die Jahreszeiten

(
1 1 I
(G minor) ~11:~ unmlisfaclory resolution

EXAMPLE 392 Haydn: String Quartet, Hob. 111: 68

Allegro spirituoso
The doubling of the third in VI (Ex. 394) is due to two factors:
a. the resolution of the seventh and the fifth (the leading tone);
b. functional considerations: 111, is a dominant chord (it cannot be a tonic
chord since it is dissonant - see 4.4.1).
VI, when following a dominant chord, can only be a tonic" chord (hence,
the doubling of the third is mandatory).
The resolution of 111, to I is unsatisfactory. Proper voice leading will result
in I with a tripled root and a third, with no fifth, effecting a sudden weakening
of tension (Ex. 395).
The sensation of a sudden decline in tension (Ex. 395) is also caused by the
EXAMPLE 3 9 3 Weber: Piano Sonata No. 4, Op. 70 harmonic progression of a descending third which is less effective in resolving
I Presto vivace ed energico . .
chords of marked dissonance (the most effective harmonic progression in such
cases is an ascending fourth - see 12.7.3.1).

" See Chap. 15, Footnote 5.

 182 H.4RMO.VY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SEVENTH CHORDS ON I, 11, 111, IV, VI. VII
\
111, is often resolved to I6 (Exs. 396-398). In these cases, however, the 111, 18.5.5 I, in Minor
does not behave as an independent chord but rather as a I, with nonchord
This chord is rare, probably because of some contradictory tendencies
tones. Consequently, the succession 111,-I, makes it possible to enter the
which it entails. Its seventh should descend by a second (by virtue of its being a
seventh of the 111, by a leap as well (in which case the seventh is regarded as an
seventh) while, on the other hand, it also constitutes a leading- tone; as such, it
appoggiatura to I, - Ex. 398).
tends to ascend by a second.I2
\ A passive resolution of the seventh (see 18.3.2) is not effective in this case,
! EXAMPLE 396 Rimsky-Korsakov: The Tsar's Bride because of the high degree of dissonance of the chord (a minor-major seventh
chord contains an augmented triad - formed between the third, fifth, and
e seventh of the chord - and a major seventh).
In Ex. 399 the seventh is resolved upwards, following its inclination as a
leading tone. In Ex. 400, on the other hand, the seventh is "resolved"
downward^.'^ The resulting progression of an augmented second is not
disruptive here, both because of the large number of voices in the chord and
because the chords appear in broken (arpeggio) form.

EXAMPLE 399 Schumann: Waldszenen, Op. 82, No. 1

Non troppo presto I

EXAMPLE 397 Mozart: Symphonie concenante, K. 364

~
I - - ,- -
I r T r - f - - f
1 I
I
1 1 1 -

EXAMPLE 400 Bach: Fugue in A minor

'I
EXAMPLE 398 Beethoven: String Quartet, Op. 18. No. 1
Adagio affettuoso ed a p p a s a t o

IZ The seventh cannot descend by a second for yet another reason: it creates an interval of
an augmented second with the sixth tone of the scale. (Example 400 is an exception.)
184 H.iRMONY IN ITS SYSTEUIC AND PHENOMENOLOGICAL ASPECTS SEVENTH CHORDS O N I, 11, Ill. IV. VI, VII

18.5.6 I, in Major EXAMPLE 4 0 4 Grieg: From Holberg's Time Suite, Op. 4 0 , Musette
[Alle,c!rettol Poco pi8 moss0
This chord is rather rare, due to the same factors mentioned in connection
with I, in minor.
Because of the problems involved in resolving the seventh of I, there is a
tendency to interpret the major-major seventh chord as IV, in major (Ex. 401)
or as VI, in minor (Ex. 402) rather than as I, in major.
The continuations provided for the major-major seventh chord in Exs. 401,
402 are more natural than the one provided in Ex. 403. While the tone F in
IV4, (Ex. 403) proves that the chord preceding it belongs neither to G major
nor to E minor (keys including an F#), the chord in question (I,) sounds A I , , , I I
somewhat foreign to C major (it tends to sound like a IIIZtl in A minor - see
23.3.5.2.9).

EXAMPLE 401 EXAMPLE 4 0 2

( k F F ~ F I - I ' -J
(IV, v11: 111,)

18.5.7 IV, in Major

This chord usually appears in connection with sequential progressions
(Exs. 404, 416). In other contexts it generally behaves as a kind of II, or II?
with a nonchord tone (Exs. 405-409).
EXAMPLE 4 0 3 In the first instance (in connection with 116) IV, usually appears as an in-
complete chord (without the fifth) with the seventh behaving as a suspended
tone or an appoggiatura (Exs. 405,406). In the second instance (in connection
with 11:) it appears as a complete chord (Exs. 408, 409).

EXAMPLE 4 0 5 Haydn: String Quartet. Hob. 111: 3 4

The fact that a major-major seventh chord constitutes a I, in major is usu-

(
ally proven by using the chord in connection with sequential passages of con-
siderable length (Exs. 404, 416).
 SEVENTH CHORDS ON I , 11. 111, IV, VI, VII
\ 186 H.-IRMO.VY IN ITS SYSTEMIC AND PHWOMENOLOCICAL ASPECTS

EXAMPLE 409 Schubert: Moments musicaux. OD. 94, No. 6

EXAMPLE 406 Schubert: Impromptu, Op. 90, No. 1
Allearo molto moderato

.-
b 'I" rr '
I
I
I
I
I \

18.5.8 The Remaining Seventh Chords - IV7 in Minor,

'VI, in Major and in Minor, 1117 in Major
These chords and their inversions require no special treatment.I3 They ap-
pear mainly in connection with sequential progressions (Exs. 350, 404, 416).
Below are some examples of these chords in other contexts:
IV, in minor - Exs. 410, 411;
VI, in major - Exs. 412, 413;
VI, in minor - Ex. 414;
EXAMPLE 407 Bruch: Violin Concerto, Op. 26 111, in major - (Ex. 415).

EXAMPLE 410 Bach: Herzliebster Jesu, was hast du

EXAMPLE 41 1 Bach: Partita I for Solo Violin, Saraband

EXAMPLE 408 Schumann: Album f i r die Jugend, Op. 68, No. 30
Molto lent0

" Their use is, of course, subject t o the principles of chord succession and to the prepara-
tion and resolution of the seventh.
 SEC'ENTH C H O R D S O N I , II, Ill, I V , V l . VII
188 H.IRMONY 1N ITS SYSTEMIC A N D P H E N O M E N O L O G I C A L ASPECTS

EXAMPLE 412 Bach: Jesu, meiner Seelen Wonne EXAMPLE 415 Bach: Herr, wie du willst, so schick's mit mir
I h m

EXAMPLE 413 Handel: Samson

Allepro moderato
18.6 When seventh chords are presented in sequential progressions based on
an ascending fourth, they usually appear alternately as a completr chord and an
incomplete chord (Exs. 175, 416).

EXAMPLE 410 Haydn: Symphony, H o b I : 104

Allegro

EXAMPLE 414 Lalo: Symphonie espagnole, Op. 2 1

, , ' I
VII, -111, -VI, -

9 VI, -
 THE DOMINANT NINTH CHORD, THE DOMINANT THIRTEENTH CHORD

19.1.2 The Dominant Ninth Chord

1- P0 THE DOMINANT
,*
The use of ninth chords is rather limited, both in classical and in romantic
music.
In the framework of these styles, ninth chords appear mainly on V and the
ninth often behaves as a nonchord tone - a passing tone, changing tone, etc.
NINTH CHORD, - (Exs. 418-420).'

THE DOMINANT .
EXAMPLE 418 Mendelssohn: Lieder ohne Worte, Op. 3 0 , No. 4
Agitato e con fuoco

THIRTEENTH
CHORD

EXAMPLE 4 1 9 Chopin: Mazurka, Op. 1 7 , No. 2

Lento ma non hoppo
h w

19.1 THE NINTH CHORD

19.1.1 If the triad is regarded as a primary chordal structure embodying the
teman principle and as a point of origin for the structuring of other chords in
functional harmony, then the seventh chord may be considered a more highly
developed structure (of four tones, instead of the three of the triad). A similar
line of development can be found with respect to the seventh chord. By add- EXAMPLE 420 Mendelssohn: Lieder ohne Worte, Op. 6 2 , No. 4
ing an additional tone a third higher than the seventh, a new chord is formed
consisting of a root, third, fifth, seventh, and ninth. The term used to denote
this chord is ninth chord, derived from the interval formed between the root and
the ninth; the chord is designated by the digit 9 (Ex. 417).

EXAMPLE 4 1 7

In later perlods, especially m jazz and light music, nlnth chords are found In various
lntervalic structures and on various degrees - not unl~keseventh chords - (see 37.2).
192 H . ~ R M O N Y I N I T S SYSTEMIC AND PHENOMENOLOGICAL ASPECTS THE DOMINANT NINTH CHORD, THE DOMINANT THIRTEENTH CHORD

Examples 418-420 d o not illustrate V,, but rather a Y with a ninth as a EXAMPLE 425 Franck: Variations symphoniques
. -
lone (for which reason the 9 appears in inverted commas).
noncltord [Poco allegro1 PiB lento

The following passages (Exs. 421-425), on the other hand, are examples of
genuine ninth chords.

EXAMPLE 421 Beethoven: Piano Sonata, Op. 90

Con vivacita

In four-voice texture, the dominant ninth chord usually appears without its
fifth and the ninth is usually situated in the higher voice (Exs. 426-a,b).

EXAMPLE 426
EXAMPLE 422 Haydn: String Quartet, Hob. 111: 38

v9 V(%,
(C major) iC minor1

A ninth chord without the fifth ~0n~titUtes a borderline case between

chords structured on the tertian principle and those structured otherwise. W e
may explain the combination G-B-F-A, for instance (Ex. 426,a), not only on
the basis of the tertian principle but also on a second-based principle (F, G, A,
EXAMPLE 423 Franck: Sonata for Violin and Piano B). This is apparently the reason that the dominant ninth chord is rarely found
Allegretto ben moderato I
in its theoretically feasible inversions. (Ninth chord inversions are liable to
blur the tertian principle - giving the sensation of a second-based principle of
chord generation, which is foreign to functional harmony.)
The following passage (Ex. 427) presents a dominant ninth chord in third
inversion2, i.e., Vi:.

EXAMPLE 427 Schumann: Kinderszenen, Op. 1 5 , No. 2

EXAMPLE 424 Beethoven: Symphony No. 9, Op. 125

(
This inversion is calculated according to a chord cornposcd o f four tones (a ninth chord
without a fifth). In case o f a nth chord with a fifth the: chord in question will constitute a
fourth inversion.
194 HARMONY IN ITS SYSTEUIC AND PHENOMENOL.OCICAL ASPECTS
THE DOMINANT NINTH CHORD, THE DOMINANT THIRTEEiVTH CHORD 195

The ninth of the ninth chord is usually prepared, i.e., it is entered by a 19.2 THE DOMINANT THIRTEENTH CHORD
prime (Exs. 428-a,b). However, there are cases in which the ninth is not The thirteenth chord appears mainly on V in classical and romantic music,
prepared. This usually occurs when the ninth acts as a nonchord tone or when not unlike the ninth chord.3
the chord preceding the V9 constitutes a V (Ex. 4 2 8 , ~ ) . The dominant thirteenth chord is derived from V,. It was formed by replacing
the fifth of V7, which appeared in this case in the upper voice, by a sixth
EXAMPLE 428 resulting from the appearance of a changing tone in the upper voice (Ex. 430).

In Ex.428,~the leap to the tone A is acceptable since this tone acts as a

nonchord tone. Furthermore, its appearance does not cause any change of The changing tone in Ex. 430 (the sixth marked with an x) was eventually
degree. frozen into position, forming an independent chord - the thirteenth chord,
In the resolution of V9, the ninth descends a second (Exs. 429-a,b; d-f) or which usually appears with the sixth (referring to the thirteenth) in the upper
remains in place (Ex. 4 2 9 , ~ )It. may also leap, providing the next chord con- voice4.
stitutes a V (Ex. 423). Because of the appearance of the sixth in the upper voice (above the
seventh), this tone is designated by the number 13 rather than 6. The nota-
EXAMPLE 429 Resolution of V9 q
tion of the thirteenth chord is, therefore v (abbreviated to V ',j) and not V',.
The resolution of V',3is I, VI, or 1116 - similar to the resolution of V7 -
(Exs. 431,a-f). The seventh of V:3descends a second, the third ascends a second
- according to the tonal code. One might expect the thirteenth to stay in
place, since it constitutes a static tone (the third scale tone). This is not the case,
however. Rather than staying in place, the thirteenth leaps downwards by a
third to the first scale tone. This progression of the thirteenth takes place for
the following .reasons.
A. The thrteenth, as mentioned above, is derived from the fifth of V,. It
replaces this fifth and behaves accordingly. As the fifth of the V7 should have
progressed to the first scale tone (the second scale tone progresses to the first),
the thrteenth progresses to this tone in its stead.5

( C minor)
' See 37.4.
Yt
.. v,;, v,;) I This is due to the fact that the V,, from which this chord was derived, appeared in fifth
position (Ex. 430).
A similar case is found in connection with 111, (see Exs. 324-a,b).
196 H A R M O N Y IN ITS SYSTEMIC A N D PHENOMEhfOLOCICAL ASPECTS T H E D O M I N A N T NINTH C H O R D , T H E D O M I N A N T THIRTEENTH C H O R D
197

B. If the thirteenth stayed in place, the resultant I would have a doubled EXAMPLE 433 Delibes: Bonjour, Suzon
Allegretto vivo
third. This doubling of the third would increase the tension in a chord which
should constitute a resolution (one which should be relatively free of t e n ~ i o n ) . ~

EXAMPLE 431 Resolution of ':V

EXAMPLE 434 Chopin: Mazurka, Op. 30, NO. 2

I
EXAMPLE 435 Schumann: Kinderszenen, Op. 15, No. 7

The following passages (Exs. 432-440) illustrate the formative stages of the
dominant thirteenth chord, i.e., the stages of its development from V,.

EXAMPLE 432
- C h o ~ i n :Mazurka, OD. 33, No 3
Semplice
A >,
i
'
---
~
(C major1 '
v, -13-

EXAMPLE 436 Beethoven: Piano Concerto No. 3 , Op. 37

, %

There are, however, Instances In whlch the third in the I 1s doubled as a result of spec~fic
contextual cond~tions(Exs 438, 1071).
198 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS T H E DOMI;\IANT NINTH C H O R D , THE DOMINANT THIRTEENTH CHORD

EXAMPLE 437a Chopin: Ballade No. 1, Op. 23 EXAMPLE 4 4 0 Wolf: Nimmersatte Liebe
. Moderato

As may be observed in the above examples, V1,3is mainly characterized by

EXAMPLE 4 3 7 b Chopin: BaUade No. 1, Op. 23
the leap of a descending third in the upper part, during its resolution (this leap
is sometimes bridged by a passing tone). Due to this characteristic leap, a V v
may be perceived in Ex. 437a, for instance, though in fact a somewhat dif-
ferent chord is formed (a real V',3 appears in Ex. 43713).

The unusual resolution of Vh3in Ex. 438 (doubling the third of I) results
mainly from the tendency to create a prolongation (a kind of imaginary organ
point) of the FH in the melody. Doubling the third of I also prevents a sensa-
tion of definite resolution, which in the case at hand would close the way for a
continuation.
EXAMPLE 4 3 8 Ranck: Symphony
[Allegro] Poco pi6 lent; - -
l"-i' ,--F--l

V',' -

EXAMPLE 4 3 9 Reger: Aus rneinem Tagebuche, 11, Op. 8 2 , No. 7

 "I"-
i
i
/ SOME FURTHER CONSlDERATlONS RECARDING F U N C n O N A L l T Y 20 1
i
Relating to concepts like f;lnctionally significant chord and cllord devoid offunc-

i
tional significance as definitions makes it possible to resolve immediately the ap-

0SOME FURTHER i
parent paradox between the fixed succession of functions in the functional
cycle (tonic-subdominant-dominant-tonic) and such fairly common chord
successions as I-V, V-IV, and others.'
The material presented in this chapter is closely linked to that discussed in
CONSIDERATIONS iI Chap. 13 (see 20.4).

REGARDING 1
i 20.2 FUNCTIONALLY SIGNIFICANT CHORDS,
FUNCTIONALITY CHORDS DEVOID OF FUNCTIONAL SIGNIFICANCE
II In Chap. 4 we mentioned the functional gene inherent in the chord (see
4.4.3.1). W e used such expressions as a chordpossessing a dominant gene and stated

i that the realization or non-realization of a functional gene depends on contex-

tual factors (see 4.4.3.2). This issue (the realization or non-realization of func-

II tional genes) will be discussed in the present chapter.

The chords of a harmonic phrase can be divided into two groups on the
basis of the above:
, a.-chords whose functional gene is realized -functionally signijc~ntchords
i (see 20.2.1);
b. chords whose functional gene remains unrealized - chords devoid offunc-
tional signijicance (see 20.2.2).

' It may be said at this point - in order to resolve this "paradox" - that IV following V
20.1 TO THE TEACHER is not of subdominant significance and/or that V preceding IV is not of dominant significance.
One of these chords (only one) may assume functional significance (though it need not neces-
The purpose of the present chapter is to clarify the differences between two sarily do so) in accordance with its functional gene. In Ex. 441, for instance, the V - although
basic concepts, as yet not sufficiently distinguished: functionally signijcant chord followed by IV - is of dominant significance. The 1V following the V, on the other hand, has
and chord devoid of4nctional significance (see 4.4.3). no subdominant significance; it assumes-roNlc significance in this case (not in keeping with its
functional gene) as a result of contextual factors (see also 14.2.3, Ex. 292). In Ex. 442, on the
A deeper understanding of these two concepts seems to us especially impor- other hand, the V preceding the IV, is devoid of functional significance. (This V, in the case at
tant, since it facilitates an understanding of the essence of the various hand, assumes the role of prolonging the.subdominant function - see 20.2.2.)
functional-harmonic successions (with reference to functional cycle and deceptive EXAMPLE 112
functional cycle) and the influence of the differences between them on the struc-
turing of musical form (see 20.4).
Despite the fact that the concepts discussed in the present chapter express
subject matter which is usually well grasped musically, it seems wise to relate
I Ill IV 11 1: v IV I
! I IV v IV.- v- 1
to them as DEFINITIONS, at least at the beginning. T-SD- D- T- T-SD D-T
202 1f.IRMUNY IN ITS SYSTEMIC AND PH&'OMENOLOGICAL ASPECTS SOME FURTHER CONSIDERATfONS REGARDING FUNCTIONALITY

20.2.1 Functionally Significant Chords EXAMPLE 444

A chord may assume functional significance under the following circum-

stances:
a. when its root appears in the bass (not applying to such chords as II,, III,,
II!, and cadential six-four chord, whose functional gene is strengthened by the
very fact that they constitute inversions - see 16.2; 16.3; 17.2; 18.5.1);
b. when the chord is somewhat emphasized - usually as the result of a leap I v, IV, 16, 11;
I
11, v, - 1
to or from its bass tone or the appearance of the chord in a metrically accented T - - - - - - - - - - - - SD- D- T
position; 1
c. when both a chord bearing a subdominant gene and a chord bearing a
The chords appearing between the first chord and the last chord in Ex. 443
dominant gene are present in the phrase; when both fulfill the conditions
prolong the tonic function, represened by the first and last chords (they are
stated above (a. and b.); when these chords appear in the proper functional
prolongational chords, devoid of functional significance). In Ex. 444, on the other
order (i.e. the dominant chord following the subdominant one).
hand, the second, third, and fourth chords (V,, IV,, I:) connect the tonic and
Let us assume that a V fulfills the first and second conditions (a. and b. i the subdominant (they are connective chords, also devoid of functional signifi-
above). If it is not preceded by a subdominant chord which also fulfills these cance).
two conditions, the V in question does not take on functional significance.
Wm

20.2.2 Chords Devoid of Functional Significance 20.3 FUNCTIONAL SUCCESSIONS

A chord devoid of functional significance is one which does not fulfill the The definition offered in 4.4 for functional cycle has thus far provided only a
conditions enumerated in 20.2.1. Such a chord usually constitutes an inversion explanation of this concept. This results from the fact that the concept
or appears in a context not conducive to its harmonic prominence. I of harmonic function has not yet been sufficiently clarified.
A chord devoid of functional significance usually fulfills one of the follow- Having distinguished between functionally signj5cant chord and chord devoid of
ing two roles: prolongation of a given function (Ex. 443) or connection of functional significance we may now proceed to define the various functional suc-
two functions - usually the tonic and the subdominant (Ex. 444). In the cessions, including the functional cycle.
former case the chord is called a prolongational chord while in the latter it is cal-
led a connective chord.2 I 20.3.1 Functional Cycle
The term firnctional cycle will henceforth designate the tonic-subdominant-
EXAMPLE 443 , , 1 1 1 1 dominant-tonic succession, but ONLY when this succession is represented by
firnctionally signif;cant chords.
The chords representing the functions of the functional cycle need not ap-
pear consecutively, i.e., immediately following each other. Each of the func-
tions may be extended by prolongational chords. Moreover, connective chords may
also intervene between two consecutive functions. Such chords are especially
common between the tonic and the subdominant (Ex. 444). O n the other
hand, the transition between the subdominant and the dominant and between
the dominant and the tonic is usually achieved directly, without connective
Prolongariond chords will be designated by a straight line (-), connective chords by a chords.
dotted line (-----.).
204 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SOME FURTHER CONSIDERATIONS REGARDING FUNCTIONALITY

Functional cycles are illustrated below, using excerpts from the Bach EXAMPLE 449 Bach: 0 Haupt voll Blut und Wunden
chorales (Exs. 445-452).
EXAMPLE 445 Bach: Nun bitten wir den heiligen Geist

I
U '
I IV I, IV~V; I n! v I
T SD-D-T

EXAMPLE 450 Bach: Ich danke dir, o Gott, in deinem Throne

EXAMF'LE 446 Bach: Der Tag, der ist so f r e u d ~ r e i c h

-
** I I, VI, VII, 111 -I IIVII I 11; V# I

I VI IV I1 VII, I IV v w
1
T SD-D- T

T SD-D-T
EXAMPLE 451 Bach: Christ, unser Herr, zum Jordan kam
EXAMPLE 447 Bach: 0 Ewigkeit, du Donnerwort fi A I I h r h , fi

I I V ~ , , VII 11 VI 116 V# 1
T- - ----- -- --- - - - - SD-D- T

Bach: Wenn wir in hachsten Naten sein EXAMPLE 452 Bach: An WasserfliissenBabvlon
EXAMPLE 448

I IV,, v, I v IV, v: I 11: v -w1 I IV v VI v, 11 v7 r

T SD-D- T T SD' D-T
'See Exs. 1157, 1158.
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOCICAL ASPECTS SOME FURTHER C O N S I D E R A n O N S REGARDlNC FUNCTIONALITY

20.3.2 Deceptive Functional Cycle EXAMPLE 456 Bach: Vom Himmel hoch, da komm' ich her,
There are cases in which the tonic-subdominant-dominant-tonic succession is
represented by chords devoid of functional signif;cance, i.e., by chords of the ap-
propriate functional gene which, however, remains unrealized (see 20.2). This.
type of succession will be called a deceptive functional cycle (Exs. 453, 454).
I w
EXAMPLE 453 EXAMPLE 454
I v vI,Iv:$ v I, IV VII, I
t sd-d-t

20.3.3 O p e n Functional Cycle, O p e n Deceptive

-P-
I I
Functional Cycle
The functional cycle and the deceptive functional cycle sometimes appear
I 11, V! I
t s d d t I IV, v: . I
with the tonic missing at the beginnning or end of the cycle. We shall call such
t s d d t a succession an open functional cycle or an open deceptivefunctional cycle, as the case
may be.
The tonic-subdominant-dominant-tonic succession will, in the case of a Each of these may appear in the following two forms:
deceptive functional cycle, be designated by italic letters (t-sd-d-t) instead of a:+eginning on the subdominant and ending on the tonic (SD-D-T or sd-
capitals (T-SD-D-T). d-t) - Exs. 457-459;
The deceptive functional cycle constitutes, in effect, a prolongation of the b. beginning on the tonic and ending on the dominant (T-SD-D or t-sd-d)
tonic. Hence, it may also appear as a portion of a genuine functional cycle - Exs. 460, 461.
(Ex. 455).
EXAMPLE 457 Schumann: Fmchingsschwank aus Wien, Op. 26, No. 2

EXAMPLE 455

I
I 111 v; I 11; v 1
t s d d t EXAMPLE 458 Schumann: A l b u m f i r die Jugend, Op. 68, No. 2 1
T SD-D-T Lento e con espression

The different "functions" of the deceptive functional cycle may also be

prolonged, as is the case with the various functions of the genuine functional
cycle (Ex. 456).
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS ' SOME FURTHER CONSIDERATIONS REGARDING FUNCTIONALITY

EXAMPLE 4 5 9 Berg: Piano Sonata, Op. 1 EXAMPLE 4 6 2 Bach: Nun danket ,alle Gott

absence of a chord pas:essing a dominant gene

EXAMPLE 4 6 0 Bach: Wo sol1 ich fliehen hin I EXAMPLE 4 6 3 Bach: Wir Christenleut'

I VR 1
,
T SD-T &
- absence of a cho'rd possessing
a subdominant gene
EXAMPLE 4 6 1 Bach: Ach Gott, vom Himmel sieh' darein -
EXAMPLE 464 Bach: Vater unser im Himmelreich

I v;$ I I I 1: vfl I1
20.3.4 Non-Cyclic Succession absence of a chord pssessi;g a subdominant gene

There are also cases in which the chord succession of a certain phrase con-
EXAMPLE 4 6 5 I
stitutes neither a genuine functional cycle nor a deceptive functional cycle
(open or closed). The reasons for this vary: absence of a chord possessing a
subdominant or dominant gene (Exs. 462-464) or an upset in the order of func-
tional succession - e.g. dominant-gene chord preceding a subdominant-gene
chord (Ex. 465).
This type of harmonic succession usually constitutes a prolongation of the
tonic. However, contrary to the deceptive functional cycle, it does not evoke
the feeling of a functional succession which is basically cyclic. We shalI call it a
subdominant-gene chord preceded
non-cyclic succession (Em. 462-465). by a dominant-gene chord
 I
21O HARMONY IN ITS SYSTl3fIC AND PHENOMENOLOGICAL ASPECTS \ SOME FURTHER CONSIDERATIONS REGARDING FUNCTIONALITY

20.4 THE ROLE OF THE VARIOUS FUNCTIONAL The first four bars constitute a deceptivefunctional cycle. A genuine functional
SUCCESSIONS IN THE STRUCTURING OF FORM I cycle first appears in bars 17-19. It should, however, be noted that this func-
tional cycle is not particularly capable of hnctional representation either, since
The disparities between the real functional cycle, the deceptive functional
cycle, and the non-cyclic succession are mainly exploited in the structuring of. /i the bass in bars 1-19 essentially constitutes a descending scale.' The stepwise
motion in the bass weakens the functional significance of the II, (bar 17),
musical form. The deceptive functional cycle is usually used at the beginning
thereby also weakening the entire functional cycle (bars 17-19) - see further
of a composition. The genuine functional cycle, on tFie other hand, is usually I
on.
found in endings or other laces of articular structural importance. I The main functional cycle of the piece at hand appears between bars 19 and
It is worth mentioning that not every functional succession of a given type I
[
35 as follows: the tonic appears in bars 19-20; the subdominant in bars 21-23;
represents the functions with the same degree
- of forcefulness (differences exist
the dominant in bars 24-31; the tonic in bars 32-35.
among the various genuine functional cycles and also among the various
The difference in power between the above functional cycle (bars 19-35)
deceptive functional cycles). These differences, caused by a great many factors
\. and the previous one (bars 17-19) lies in the following factors.
- such as the register of the bass, the duration of the various chords, and other
contextual conditions - are also exploited in the structuring of form, as may I 1) BASS REGISTER. The bass in the first functional cycle (bars 17-19)
I
be seen in the following piece3 (Ex. 466). I
appears in a relatively high register as compared with the bass of the second
functional cycle, thus strengthening the second functional cycle (see also 13.5,
EXAMPLE 466 Bach: Das wohltemperierte Havier, I, Priiludium No. 1 Ex. 276). It is worth noting- in this connection that the bass of the deceptive
functional cycle (bars 1-4) appears in a still higher register.
T h y ~ w see
e that the power of the various functional cycles increases as the
I I, v: I VI, II:$ v, I, VI, I1i v bass register is lowered. '

iI 2) BASS EXPOSURE. In Chap. 13 we observed that a bass exposed from

below is 'more prominent than a bass which is covered from below.'
i In the case at hand, the bass tones of the second functional cycle (F, F#, ~ b ,
I
; G, C - bars 21-35) are exposed from below (these are the lowest tones of the
1I ' entire piece) while the D of the previous functional cycle (bar 17) is covered
from below (by the tones appearing further on).

3) DURATION OF THE VARIOUS FUNCTIONS. The difference in duration

between the first and second functional cycles is very conspicuous (the dura-
tions allotted to the various functions in the second functional cycle are much
more considerable than those allotted to the functions of the first cycle). The
subdominant of the second cycle is three bars long (bars 21-23) while that of
the first is only one bar in length (bar 17). The dominant of the second cycle is
eight bars long (bars 24-31) w h l e in the first cycle it is only one bar in length
(bar 18). Finally, the tonic is four bars long (bars 32-35) compared with two
bars (bars 19-20) in the first cycle.

"he D in bar 10 &d the G in bar 18 form a kind of prolongation of the scale-lik; passage
' The harmonic content of this piece is presented by means of the bass and the symbolic of the bass, i.e., a kind of melodic polyphony.
designation of the chords (Ex. 466). See 13.4.3.
 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGlCAL ASPECTS SOME FURTHER CONSIDERATIONS REGARDING FUNCTIONALITY

4) PREPARATION OF THE SUBDOMINANT AND THE DOMINANT. The The chord introduced in these editions7 (Ex. 467, bar 2) not only detracts
functions of the second cycle (referring to the subdominant and the dominant) from the functional value of the dominant; it also mars the formal structure of
constitute resolutions of a certain tension. This tension, which will be ex- the piece. It upsets the balance between accented bar and unaccented bar and
amined further on, intensifies the demand and need for the appearance
.- of these creates, a feeling somewhat similar to that which occurs when a jazz player,
functions, thereby rendering them more important than the same functions'in . during an improvisation, adds a superfluous bar.
the first cycle, which did not have this type of preparation.
For instance, I,b in bar 20. -prepares the subdominant in bar 21. This W e trust it is not difficult to appreciate the importance of basing harmonic
-
preparation lies in the expectation of the IV - an expectation rooted in the analysis upon an understanding of the structural-formal roles of the functional
need of the I,b to be resolved to IV (I7bbeing a secondary dominant of IV - successions examined in this chapter (functional cycle, deceptive functional cycle,
see 21.3). and non-cyclic succession).
This type of preparation - by creating conditions of anticipation - is also
used in connection with the dominant. The diminishedthird in the bass,
between the F# and the ~b (bars 22-23), undoubtedly alludes to the ap-
pearance of the dominant in bar 24.6 . .
The aforementioned &minished third progression, however, has often been
misinterpreted. Certain editors, for instance, who were apparently surprised
by this "strange" progression, found it necessary to neutralize it by inserting
an additional chord between the and the ~ b In. some editions7, the passage
in question appears as follows (Ex. 467).

EXAMPLE 467 Bach: Das wohltemperierte Klavier, I , Priiludium N o . 1

I I , I
\ /
inserted bar

The F # and the Ab constitute leading tones to G (a leading tone from below and a leading
tone from above).
' A. Well-Tempered Clavichord, edited by Carl Czerny, New York, G. Schirmer Inc.
B. Le chvecin bien femptrl, edited by Louis Kohler, Henry Littoff's Verlag.
 MODUL.4 TORY PROCESSES 215

material, for instance). The establishment and duration of the new key are
relatively irnportantn2
The modulatory processes presented below serve to create essential
Ll MODULATORY thematic contrasts3, for which reason they constitute modulations (Exs. 468,
469).

PROCESSES EXAMPLE 468

Alleero con brio
Beethoven: Piano Sonata, Op. 53

C major

C m ? modulatory section
21.1 MODULATORY PROCESS
The process of transition from one key (one tonal center1) to another will,
in this book, be called modulatory process.'
While the conventional term for this process is modulation, we shall employ
this term to express a somewhat different conceptual content: that of the term
modulatory process - as defined above - with the adltion of a certain formal
implication (see 21.2.1).

21.2 MODULATION, DEVIATION, TONICALIZATION

The transition from one key to another may serve various formal purposes.
Accordingly, we shall distinguish between three categories of modulatory
processes: modulation, deviation, and tonicalization.

21.2.1 Modulation
This term will cover a modulatory process in which the new key is used for
creating an essential formal contrast (the presentation of new thematic

For the interchange of modes on the same tonic (a transition from C major to C minor, 2 Relative to the general context.
for example, or vice versa) we suggest the term modation (from the word mode). 3 Examine the text of the entire piece.
216 HARMONY IN ITS SYSTEMIC AND PHENOMWOLOGICAL ASPECTS MODULATORY PROCESSES

EXAMPLE 468 (continued) 21.2.2 Deviation

T h s term will be appropriate for a modulatory process which does not
imply a thematic contrast of formal-structural importance. As a result, the
duration of the key reached is considerably shorter2 than in the case of modula-
tion (Exs. 470, 471).

EXAMP-LE 470 Beethoven: String Quartet, Op. 18. No. 3

U I
D major - FI minor -
"

EXAMPLE 471 Chopin: Mazurka, Op. 7, No. 2

Vivo ma non troppo

- E major

A minor

ab major
- I I
E minor A minor

21.2.3 Tonicalization
This occurs whei one of the degrees (altered or unaltered, other than I)
E major becomes a tonic in a rather allusive manner - without the appearance of a
cadence. Tonicalization is usually achieved by means of a secondary dominant
(see 21.3).
The following two excerpts (Exs. 472, 473) illustrate tonicalization - for
which reason the evoked keys are marked with inverted commas (Exs.472,
473).
I / -
E major
218 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGlCAL ASPECTS M O D U L A M R Y PROCESSES

EXAMPLE 472 Beethoven: Piano Sonata, OD. 10. No. 3. Minuet

21.3 SECONDARY DOMINANTS~
A secondary dominant is an altered chord which relates to the chord
following it as a dominant to a tonic.
In Ex. 474 the chord A-C#-E-G appears in C major as a secondary domi-
nant of II whereas in Ex. 475 the same chord appears in G major as a secondary
dominant of V.

EXAMPLE 474

EXAMPLE 473 Chouin: Mazurka. OD. 59. No. 1

A minor "C major"

While the relationship between the secondary dominant and the chord fol-
lowing it is of dominant to tonic, this does not necessitate the relationship of
"C major" - "E major" A minor V-I between the two chords. A relationship of dominant to tonic may also be
expressed by the degree relationship of V-VI or V-III.
Let us take, for example, the chord C-E-G-Bb in A minor. This chord can
In summation, we may say that the term modulatoryprocess is confined to ex- be a secondary dominant of VI - expressing the relationship of V-I (Ex. 476);
pressing the transition from one key to another, without referring to the com- it can, however, also be a secondary dominant of IV or I, expressing the
positional aims which this transition serves. O n the other hand, each of the relationship of V-VI or V-111 (Exs. 477, 478).
terms modulation, deviation, and tonicalization - in addition to indicating transi-
tion from one key to another - expresses more or less definite formal implica- This term will here be clarified only insofar as necessary for the explanation of certain
tions. phenomena related to it (tonicalization, for instance). It will be examined at greater depth
later, in connection with altered chords.
220 HARMONY IN ITS SYSTEMIC AND PH~'0MENOLOCICAL ASPECTS MODULATORY PROCESSES

EXAMPLE 4 7 6 EXAMPLE 479

n

13
d- VII
11
I
v I

In Ex. 479, for instance, the 1:1

constitutes a secondary dominant of 11, pat-
EXAMPLE 4 7 7 terned on the VII-I relationship.
A secondary dominant will henceforth be designated by d- .
The numerals above the arrow will denote the chords according to the
main key; the numerals beneath the arrow will denote the degree relationship
between the secondary dominant and the chord following it - V-I, VII-I, etc.
(Exs. 474-479).
A secondary dominant usually brings about the tonicalization of some
degr-(other than I). It constitutes a major triad or a major-minor seventh
chord (in case of a V-I, V-VI, or V-I11 degree relationship) or a diminished
triad, a diminished-diminished seventh chord, or a diminished-minor5 seventh
chord (in case of a VII-I degree relationship) or one of their inversions.
EXAMPLE 4 7 8
The altered tones included in a secondary dominant are usually treated in
accordance with their respective functions in the key evoked by the second-
ary dominant, i.e., in that key in which the secondary dominant constitutes a
main dominant.
For example, the chord A-a-E-G in C major (as secondary dominant of
- 11) will be treated as in D minor; thus, C#will be resolved to D, G to F, etc.

21.4 TYPES OF MELODIC PROGRESSION,

TYPES OF MODULATION^
A dominant-tonic relationship can also be expressed by the degree Modulations are usually categorized on the basis of the type of melodic
relationship VII-I, in which case the VII usually appears as a diminished- progression by which they are carried out (see 21.4.2).
diminished5 seventh chord or one of its inversions (Ex. 479).

With reference to modulatory proms. The word modulation is used here for the sake of
brevity. The reader will understand from the context in which cases the term "modulation"
A diminished-minor seventh chord is rarely used as a secondary dominant (because it refers generically to any modulatory process and in which cases it refers specifically to modula-
tends to be interpreted as 11, in minor - see 18.5.2). tion as defined in 21.2.1 (in the latter the word "modulation" will be italicized).
222 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOClCAL ASPECTS MODULATORY PROCESSES 223

21.4.1 Types of Melodic Progression The following modulation from C major to E minor (Ex. 480) is carried
Four types of melodic progression may be distinguished. out by means of the common chord A-C-E.

EXAMPLE 480
21.4.1.1 DIATONIC PROGRESSION
A progression between two tones, neither of which is altered.

21.4.1.2 CHROMATIC PROGRESSION.

A progression of an augmented prime (c-c#, B-Bb, etc.).

C major E minor

A non-chromatic (and non-enharmonic) progression .between two tones,

one of which is altered (examples in C major: C-Db, F-G#, ~ b - G ,etc.). 21.4.2.2 CHROMATIC MODULATION
This modulation is carried out by means of one or more chromatic
21.4.1.4 ENHARMONIC PROGRESSION progressions (see 32.3).
The modulation from C major to D minor (Ex. 481) is achieved by means
A progression between two tones of identical pitch and different names -
of th-hromatic progression C-c#. This progression ( C - a ) plays a double
see 30.2 - (examples: C-B#, G # - ~ b Fb-Dx,
, etc.).
role: first, it releases our auditory orientation from the gravitational forces of
the C major tonal field; second, it transfers this orientation to the tonal field of
D minor.
21.4.2 Types of Modulation
There are four basic types of modulation6, according to the four types of
melodic progression defined in 21.4.1: diatonic modulation, chromatic modulation,
diachromic rnodukation7, and enharmonic modulation.
In addition to the above four types of modulation, another type is worthy
of mention: combined modulation carried out by the simultaneous use of two or
more different types of melodic progression (see 21.4.2.4, last paragraph).
, / \

C major D minor
21.4.2.1 DIATONIC MODULATION
This modulation, based on diatonic progressions, is carried out by means of
a common (pivot) chord - one which belongs both to the key from which the 21.4.2.3 DIACHROMIC MODULATION '
modulation begins (initial key) and the key in which it terminates (target key) This modulation is carried out by means of one or more diachromic
- see 21.5. progressions (with regard to the initial key).
The modulation from C major to Db major (Ex. 482) is carried out by
' This concept is proposed by the author. means of the diachromic progressions C-Db and C-Bb.
224 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MODULATORY PROCESSES 225

EXAMPLE 482 - the initial key is C major, for example, it is possible to modulate to A minor
(difference of zero accidentals), G major and E minor (difference of one
sharp), F major and D minor (difference of one flat), D major and B minor
(difference of two sharps), Bb major (difTerence of two flats), and to Bb minor

--
(difference of five flats).
It is advisable, for the sake ofpractice, to execute l a t o n i c modulations in the
I I I k I following five stageslo:
I
C major ~b major a. enumeration of the common chords (see 21.5.1);
b. selection of a common chord (see 21.5.2);
21.4.2.4 ENHARMONIC MODULATION c. fixation of the common chord (see 21.5.3);
This modulation is carried out by one or more enharmonic progressions d. proving the common chord's &iliation to the initial key (see 21.5.4);
(see 32.4). e. proving the common chord's affiliation to the target key (see 21.5.5).
The modulation from F major to E minor (Ex. 483) is carried out by the
enharmonic progression Bb -A# (second bar, alto).
In fact, the modulation presented in Ex. 483 is a combined modulation, rather 21.5.1 Enumeration of the Common Chords
than a purely enharmonic one. The term combined modulation refers here to the Let us take, for example, the keys of C major and E minor. The chords
fact that the modulation is carried out by means of two different types of common to both keys are:
melodic progression: an enharmonic 'progression ( ~ b - A # in the alto) and a e
diachromic progression (G-F# in the upper voice). C major E minor

The remaining degrees of E minor contain F# and/or a,for which reason

they d o not constitute common chords with C major.

F major
. Em i ~ r
Y
I
21.5.2 Selection of a Common Chord
Common chords are not all equally appropriate for the execution of a
modulation. For example, the use of I in the target key as a common chord
21.5 'SOME GUIDELINES FOR THE EXECUTION creates a priori a rather static quality. l1 In fact, it is sometimes apt to give the
OF DIATONIC MODULATION *
A diatonic modulation (see 21.4.2.1) can only be carried out between two B. A modulation from a major key to a minor key situated a perfect fifth higher or from
a minor key to a major key situated a perfect fifth lower is not feasible by means of a common
keys whose key signatures differ by zero, one, two, or fiveg accidentals. When chord, although the difference between the key signatures of these keys is two signs. This
restriction also applies to two minor keys separated by a major second (see 23.3.6, Ex. 871).
Only this type of modulation will be dealt with in detail in this chapter (see also 23.3.6). lo These guidelines relate primarily to a modulntion within a single harmonic sentence.

A. When the daerence in signs of key signature is five, at least one of the two keys After I of the target key, there is nothing left to present, except a cadence (this will be
(initial or target or both) is minor. discussed further on).
226 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MODUL4TOR Y PROCESSES

impression that the target is appearing prematurely, hindering the buildup of EXAMPLE 485
tension in anticipation of its appearance and detracting from the efforts put
forth to reach it.12
Yet there are many cases in which the modulation does take place using the.
I of the target key as a common chord. However, in these instances the form
(i.e., the inversion and position) and metrical conditions in which the I appears
do not detract later on - when it reappears in the cadence - from its value as
(V = VI)
a target.
In light of the above, the use of V of the target key as a common chord re-
quires a deceptive cadence - preventing the premature appearance of I.
All that has been said so far should suffice to clarify that the common 21.5.3 Fixation of a Common Chord
chords best suited for modulation are usually the subdominant chords of the By fixation ofa chord, we refer to the determination of the whole range of
target key. factors which define the form in which a given chord appears: its inversion,
It should, flrthermore, be noted that a common chord, which constitutes V position, and doubled tone. These factors (each of them separately and all of
in the initial key, requires cautious treatment as well. V is by nature a tense them together) depend, in the case of a common chord, on other factors, such
chord which pulls towards I or another representative of the tonic. Its diver- as: the relation between the initial key and the target key, the function which
sion to another key (when it constitutes a common chord in a modulation) is the common chord hlfills in each of these keys, etc. (see also 23.3.6).
liable to cause the sensation of an acute deviation. However, the degree of
gravitation of V to the tonic may vary. When V assumes a dominant signifi-
cance (see 20.2.1), it is strongly attracted to the tonic (Ex. 484). Under other 21.5.4 'proving the Affiliation of a Common Chord
circumstances, though, its attraction to the tonic may be weaker and its arrival t o ,the Initial Key
at the tonic may not be essential. In such cases it is possible to use V of the
The process of proving the afT11iationof a common chord to the initial key
initial key as a common chord in modulation (Ex. 485).
involves the use of several chords capable of aff~rmingthe tonality of the initial
key without overemphasizing it. Thus, the section representing the initial key
ought to have a relatively low degree of functional harmonic power in com-
EXAMPLE 484 parison with the section representing the target key (see below).1°

21.5.5 Proving the Affiliation of a Common Chord

t o the Target Key
This is achieved by means of a section in the target key which joins up with
the common chord. The nature of this section (its functional power, for ex-
ample) depends on the formal role of the modulatory process (i.e., whether it
constitutes a modulation, a deviation, or a tonicalization).
In case of a modulation, the section in question should have a relatively high
functional capacity, i.e., it ought to constitute a functional cycle (usually ex-
l2 Let us return, for example, to the Mozart Piano Concerto (Ex. 39) and try to assess the
value of the tones C#in bar 6, A in bar 8, and F# in bars 11-12, if they had appeared earlier. pressed by a strong cadence).
228 HARMONY IN ITS SYSTEMIC AND PHU\rOMENOLOCICAL ASPECTS MODULATORY PROCESSES 229

The limited functional power of the section appearing in the initial key Example 486 represents a modulatory process. The transition from ~b ma-
(see 21.5.4) and the difference in this respect between this section and the sec- jor to Bb minor is achieved by means o f a sequential process, because of which
tion appearing in the target key not only facilitate a release from the the appearance of Bb minor in bar 4 does not induce the feeling of a target. On
gravitational forces of the initial key and an entry into the gravitational field the contrary, the sequential process (which is undoubtedly one of the most
of the target key, but also make it possible to relate to the target key as an efficient means of auditory conditioning) makes the Bb minor key seem as
"ultimate" O n the other hand, the appearance
.-
in the initial key of a ephemeral as the Ab major key - soon to be abandoned by prolonging the se-
passage of high functional power (a cadence as strong or stronger than that ap- quential process (as illustrated in Ex. 487).
pearing in the target key) is liable to create the sensation that the target key is
merely temporary. (If, for instance, the initial key is abandoned after a strong EXAMPLE 487
cadence, what is to prevent yet another departure after another cadence of
similar strength?)I3
In this connection, it should be noted that one of the factors involved in our
auditory orientation is that of psychological conditioning, rooted in mu-
sical events of the immediate past.14
We shall illustrate this idea with the following excerpt (Ex. 486).

EXAMPLE 486 Beethoven: Piano Sonata, Op. 2, No. 1, Minuet

It is not'surprising, therefore, that Beethoven saw fit to reinforce that Bb

minor key by a continual repetition of the motif in bars 5-10 (Ex. 486). The
~b major ~bminor
reiterations of this motif establish the Bb minor key to the point of removing
any of the feeling of tonal uncertainty evoked by the sequential process.

21.5.6 Some Examples of Diatonic Modulation

W e shall conclude this chapter with several examples of diatonic modula-
tion (Exs. 488-492).

EXAMPLE 488

We would like to stress again that the remarks offered here relate to modulations which
take place within the framework of single harmonic sentences only, and that the Situation may
change completely when modulatory processes are regarded in the framework of a whole
composition. In the latter instance, the initial key may constitute the main key of the piece, in
which case it is quite natural for it to be reinforced much more than the target key. It goes
without saying that the target key does not constitUte an "ultimate goal" under such condi-
tions.
l4 See also Ex. 137.
c major (V1= 11) G major
W) HARMONY IN ITS S Y S T W I C AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 4 8 9

HARMONIZATION
c major (V16 =1%) E minor I N THE
EXAMPLE 4 9 0 STYLE O F BACH

. C major (HI =IV) B minor

EXAMPLE 4 9 1 I
22.1 TO THE TEACHER
This chapter constitutes an introduction to the style of the Bach chorales.
We believe, however, that the general lines presented here can be extrapolated
and utilized in approaching other styles as well.
As we see it (this has already been pointed out in the Introduction), the
main purpose of the study of specific styles is the development of the student's
A minor (VI =Y,,I ~b minor basic qualities and abilities - such as a sense of stylistic integrity, harmonic
orientation, compositional skill, etc.
EXAMPLE 4 9 2 As for the development of a sense of stylistic coherence, our teaching ex-
perience has led us to assume that a PROFOUNDstudy of certain musical styles1
(with regard to whlch there exist established esthetic criteria) leads to a
development of this ability IN GENERAL, i.e., with regard to any existent style
or any style yet to evolve.
The meaning which we attribute to "harmonic orientation" (within the

. A minor (V#=VI) GR
.
minor
framework of a given style) will be clarified by means of an example.

On the basis of a suitable didactic approach.

232 HARMONY IN ITS SYSTEUIC AND PHENOMENOLOCICAL ASPECTS CHORALE HARMONIZATION IN T H E STYLE OF BACH

In one of the entrance examinations at the Music Academf, the applicants EXAMPLE 4 9 6
were asked to supply the inner voices of the following passage (Ex. 493).

EXAMPLE 4 9 3 , fi

The error committed in Ex. 494 (which may seem trivial to those not suf-
ficiently accustomed to this type of auditory discernment) is an error of judg-
ment, indicating a certain type of insensitivity in one's harmonic hearing.
An intuitive knowledge of a given style is a prerequisite for undertaking a
Some of the candidates offered the solution presented in Ex. 494, while w e
profound study of that style. One of the most important factors in this connec-
were, in fact, referring to the solution presented in Ex. 495.
tion is a familiarity with certain musical fragments which have attained the
status of idiomatic expressions.
When it comes to the harmonization of a chorale in the style of Bach, for
example, familiarity with certain cadences is prerequisite. Any replacement for
the cadences customarily used by Bach is liable to alter the most characteristic
stylistic traits and, thus, to produce an acute deviation from the stylistic norms
(see 22.2).
The reader must not conclude from this that the harmonization of a chorale
in the style of Bach is merely a matter of "collages" and combination of
various idiomatic expressions. Familiarity with the idiomatic expressions is an
essential condition, but it is not sufficient; it is not a goal
- in itself, but rather a
EXAMPLE 4 9 5 A
means of achieving the goals depicted above (22.1, second paragraph).
The compositional approach to idiomatic expressions will be examined in
22.14.

22.2 S O M E P O I N T S O F STYLISTIC R E F E R E N C E IN T H E
BACH C H O R A L E S
The present chapter is devoted to the harmonization of chorales in the style
of Bach.
The passage presented in Ex. 494 gravitates towards A minor rather than C T o become familiar with this style, we shall first approach the constituents
major. The B in the alto (marked with an x) - even though it has only the of a chorale phrase. W e shall distinguish between an opening - the beginning
duration of an eighth note - creates a first inversion of a diminished-minor of a phrase (see 22.4), a cadence - the ending of a phrase2 (see 22.3), and a
seventh chord, which tends to be interpreted as 11: in A minor (Ex. 496) rather
than VII! in C major (see 18.5.2). ' The sign indicating the end of a phrase is the fermata, appearing over the soprano and
under the bass of the final chord of the phrase.
234 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS C H O R A L E HARMONIZATION IN T H E STYLZ OF BACH 235

bridge - the section appearing between the opening and the cadence (see The two cadences in Exs. 498-a,b - which at a glance are almost identical,
22.5). constitute musically two entirely disparate matters. The change which takes
The following passage (Ex. 497) exemplifies these three units. place in Ex. 498,b (a passing- tone in the alto) not only detracts from the
idiomatic-stylistic nature of the Bach expression; it also intederes with its
EXAMPLE 4 9 7 Lass, o Herr, dein Ohr sich neigen cadential power.
A

22.3 CADENCES IN THE BACH CHORALES

The cadences in the Bach chorales constitute, in most part, idiomatic ex-
pressions. The most common are the authentic cadence and the dominant half

opening
," cadence
cadence, but there are others as well: the plagal cadence, the subdominant half
cadence, and the deceptive cadence.
We shall enumerate the main fixed cadences on the basis of the above clas-
In some of the above-mentioned units - especially in the cadence - there sification (authentic cadence, dominant half cadence, etc.) and on the basis of
evolved certain patterns of almost constant harmonic (and melo-rhythmic) the melodc patterns appearing in the chorale melody (in the soprano), chord
structure. These patterns, which have an outstanding capacity for stylistic s . cadences are presented in C ma-
successions, and rhythmic c ~ ~ g u r a t i o nThe
characterization, constitute IDlOMAllC expressions, quite similar to linguistic jor (or C minor). Each cadence begins on the first beat of a four-quarter bar,
idioms (constituting ready-made utterances). unless otherwise indicated.
As a result, the patterns in question must be quoted VERBAnM; otherwise,
their idiomatic qualities and capacity of stylistic characterization can be
22.3.1 Authentic cadences4
seriously affected (by even the smallest change).
Let us first examine an example of linguistic idiom in order to illustrate the
22.3.1.1 CHORALE MELODY PATTERNS: Exs. 499,ad
possible result of an inaccurate use of idiomatic expression. If we replace
EXAMPLB 488
"learning by heart" with "learning by the heart", we not only detract from
the idiomatic quality of the expression "by heart"; more important, we also
alter the meaning. T o translate this example into music, let us examine a
cadence by Bach (Ex. 498,a) and the same cadence, slightly altered (Ex. Four- Voice Realizations:
498,b). A. Exs. 500-505
B. Exs. 506-512

Ex. 500 Ex. 501 Ex. 502

w G
'
It is noteworthy that in certain cases the bridge is omitted (Ex. 745) and that there are
also cases in which the phrase is short to the point of containing merely an opening (Exs. 735,
748).
 H.4RMOiVY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS I
CHORALE HARMONIZATION IN THE STYLE O F BACH 237

Ex. 503 Ex. 504 Kx. 505 rhythm, except in special circumstances (V in the cadence, for instance) in
which a tone might also last a half note (see 22.11).

I Ex. 506
w

Ex. 507
w

Ex. 508 Ex. 509

A
O n the basis of the above, we shall try to harmonize the following passage
(Ex. 513).

EXAMPLE 513

A I fi h I G m fi

If we put an F in the bass under the two eighth notes (E, D), we cannot use
a cadence from Group A, since such a cadence following the F in the bass
would cause a repetition of this tone, thus slowing down the basic rhythm of
change of the bass tones in Bach chorales (Ex. 514). The remaining possiblity,
then, is to use a cadence belonging to Group B (Ex. 515). O n the other hand,
if we place an E in the bass under the two eighth notes (E, D), we may
Ex. 510 Ex. 511 Ex. 512 poceed to use a cadence from Group A (Ex. 516) or a cadence from Group B
(Ex. 517). (The choice in this case will rest on other contextual conditions.)

Ex. 514
- Ex. 515

The cadences in Exs. 501-505 constitute a rhythmic variant of the cadence

presented in Ex. 500 (these create more intensified movement than does the !
cadence presented in Ex. 500).
The cadences of Group B (Exs. 506-512) are harmonically different from
those of Group A (Exs. 500-505). While the latter (those of Group A) include
the subdominant, there is no subdominant in the cadences of Group B. As a
result, a difference is also produced in the bass line; a half note G appears
Ex. 516
. - m
Ex. 517
h

instead of a quarter note each for F and G. This difference can serve as a sup-
plementary indication in selecting the cadence - deciding whether to use one k

of those in Group A or one of those in Group B. 1

In proceeding to clarify the above issue, we should bear in mind that the
i
bass tones in the Bach chorales change at a quarter note (or eighth note) 1
t
I
!
238 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOClCAL ASPECTS CHORALE HARMONlZATlON IN THE STYLE OF BACH

22.3.1.2 CHORALE MELODY PATTERN : Ex. 518 Ex. 523 f i EX. 524 fi EX. 525
EXAMPLE 518
a

Four-Voice Realizations:
A. Ex. 519
B. Ex. 520
C. Ex. 521
Ex. 526 m Ex. 527 Ex. 528
1 m
Ex. 519 EX. 520 Bx. 521
a

Ex. 529 fi
Ex. 530
22.3.1.3 CHORALE MELODY PATTERNS: Exs. 522,a-d
E W L K 522

E.

The cadences presented in this section (22.3.1.3) end in Iin third position.
As a result, they are weaker than the cadences presented in 22.3.1.1 and
22.3.1.2 (ending in Iin octave position), for which reason they do not appear
in the find phrase of the chorale. Ex. 531 Ex. 532
A m A fi

Four-Voice Realizations:
A. Exs. 523-525
B. Ex. 526
C. Exs. 527-528
D. Ex. 529
E. Ex. 530 The cadence of Group B (Ex. 526) hffers from the cadences of Group A in
F. Ex. 531 that it lacks a subdominant chord.
G. Ex. 532 The cadences of Group C (Exs. 527,528) are more dynamic and more tense
240 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOCICAL ASPECTS CHORALE HARMONIZATlON IN T H E STYLE OF BACH 241

than those of Groups A and B. These cadences manifest rather melodic of the third in I - a doubling not customary in chorales in the last chord of a
qualities (unlike those of Groups A and B, which embody harmonic- phrase.
functional characteristics), for which reason they endow the phrases in which
they appear with a relatively weak ending, demanding continuation. 22.3.1.5 CHORALE MELODY PATTERNS : Exs. 537,a-c
The cadence presented in D (Ex. 529) is the weakest. The IV, with a -Id 537
-
doubled third enhances the melodic character of the cadence, thereby lessening ,, a. h b. h C., h

its harmonic-cadential power.

r = r i : i CB " - : ~ w
As we shall see further on, there are cases in the Bach chorales in which dif-
ferent phrases end with the same chorale melody. pattern.
- In such instances, it The above patterns (Exs. 537,a-c) are very common in the Bach chorales,
seems best to use different cadences (for identical chorale melody patterns) and and the number of cadences related to them is considerable.
to plan the order of their appearance in accordance with their cadential power.
It would be neither convincing nor logical to present, for example, a strong Four-Voice Realizations:
cadence at the middle of a chorale and a weak cadence at the end (see 22.14.1). A. Exs. 538,539
B. Exs. 540-542
C. Ex. 543
22.3.1.4 CHORALE MELODY PATTERNS: Exs. 533-a,b D. Ex. 544
8UMPX.E 533
E. Exs. 545-548
F. Exs. 549,550
G. Exs. 551-553
Four-Voice Realizations: H. Exs. 554,555
A. Exs. 534,535 I. Exs. 556,557
B. Ex. 536
Ex. 538 Ex. 539 Ex. 540
Ex. 534 Ex. 535 Ex. 538
h h

Ex. 541 Ex. 542 Ex. 543

The cadence in Ex. 534 has a harmonic structure identical to that of the
cadence in Ex. 500. While the chord succession is the same in both (IIgV-I),
the chord connections differ.
In Ex. 534 one cannot use a seventh as a passing tone in V, as was the case
in Ex. 500. This is due to the fact that such a seventh would cause a doubling
 F

HARMONY IN ITS SYSTEMIC AND PHENOMWOLOCICAL ASPECTS CHORALE HARMONIZATION IN T H E STYLE OF BACH 243

Ex. 544 Ex. 545 Ex. 555 Ex. 556 Ex. 557
h h

22.3.1.6 CHORALE MELODY PATTERNS : Exs. 558,a-c

EXAMPLE sw

The above patterns (Exs. 558,a-c) are also common in the 13ach chorales.
The abundance of cadences related to these patterns has weakened the
idiomatic quality of some of them.

Four- Voice Realizations:

A. Ex. 559
Ex. 549 Ex. 550 Ex. 551
B. Exs. 560-563
C. Ex. 564
D. Ex. 565
E. Ex. 566
F. Exs. 567-571
G. Exs. 572-574
H. Exs. 575,576
I. Exs. 577,578

Ex. 552 Ex. 553 Ex. 554

I I h
Ex. 559 Ex. 500 Ex. 561 Ex. 562

I
244 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF EACH

Ex. 563 Ex. 564 Ex. 565 Ex. 575 Ex. 576
A I I I ,f? A I I ?
A I ? I

U w w w

Ex. 577 Ex. 578

Ex. 586 Ex. 587 Ex. 568 A I I

I G I w

Ex. 569 Ex. 570 Ex. 571 22.3.1.7 CHORALE MELODY PA'TTERNS: Exs. 579-a,b
* 1 I I E W L B 570

Four- Voice Realizations:

A. Exs. 580,581
B. Ex. 582
C. Exs. 583, 584

Ex. 572 Ex. 573 Ex. 574 Ex. 580 Ex. 581 Ex. 582
A 1 I I 1 I '? .h
 CHORALE HARMONIZATION IN THE STYLE OF BACH
246 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOC~CAL ASPECTS

Ex. 583 Ex. 584 22.3.1.9 CHORALE MELODY PATTERNS : Exs. 591,a-c
SU.YPLH 591

Four- Voice Realizations:

A. Exs. 592-594
B. EXS. 595-597
C. Exs. 598-601
D. Exs. 602,603
22.3.1.8 CHORALE MELODY PATTERNS: Exs. 585,ai
EXAMPLE 685
E. Exs. 604-607
F. Exs. 608,609
G. Ex. 610

\
1
Four- Voice Realizations:
A. Ex. 586
Ex. 592
h
Ex. 593 Ex. 594 -
B. Exs. 587,588
C. Ex. 589
D Ex. 590

8
h
,
Ex. 588 Ex. 587 fi Ex. 588

Ex. 595 Ex. 596 Ex. 597

Ex. 589 Ex. 590

, m ,
Ex. 598 Ex. 599 Ex. 600
rn
 CHORALE HARMONIZATION IN T H E STYLE OF BACH
f HARMONY I N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
248
/ Ex. 812 Ex. 613 Ex. 814
I h m
Ex. 601 Ex. 802 Ex. 603 A

1
Ex. 604 Ex. 605 Ex..606 Ex. 615 Ex. 616 Ex. 617

j Ex. 610

, 1.
1 F. G.

22.3.1.10 CHORALE MELODY PATTERNS: Exs. 611,a-e

Ex. 621 Ex. 622

A A

Four- Voice Realizations:

A. Exs. 612-614
B. Exs. 615-617
C. Exs. 618,619
D. Exs. 620,621
E. Ex. 622
250 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS ! CHORALE HARMONIZATJON IN T H E STYLE OF BACH

I
Ex. 632
22.3.2 Dominant Half cadences5

22.3.2.1 CHORALE MELODY PATTERNS: Exs. 623,a-e j

I
j
see Poornom 8. I

Four - Voice Realizatiotls:

A. Exs. 624-630
B. Exs. 631-633 i
1
Ex. 636 Ex. 638

C. Exs.
D. Ex.
E. Ex.
F. Ex.

Ex. 624
634,635
636
637
638

Ex. 625 Ex. 627

iI
D.
I
1
w

22.3.2.2 CHORALE MELODY PATTERNS : Exs. 639,a-c

EXAMPLE 038

Four- Voice Realizations:

A. Ex. 640
B. Exs. 641,642
C. Ex. 643

Ex. 641 Ex. 642 Ex. 643

B.
See 14.2.4.
A bar line will usually indicite, henceforth, that the tone immediately following appears
on an accented position, i.e., on the first or (more often) on the third beat - not necessarily on
the first one.
w
252 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

22.3.2.3 CHORALE MELODY PATTERNS: Exs. 644-a,b 22.3.2.5 CHORALE MELODY PATTER.N : Ex. 652
IIx*MPLgeu B m 862

Four- Voice Realizations: Four- Voice Realizations:

A. Ex. 645 Exs. 653,654
B. Exs. 646,647

Ex. 653 Ex. 654

Ex. 645 Ex. 648 Ex. 647

22.3.2.6 CHORALE MELODY PATTERNS: Exs. 655-a,b

22.3.2.4 CHORALE MELODY PATTERN : Ex. 648
lUYPLl84a

Four-Voice Realizations:
Four-Voice Realizations:
A. Ex. 656
A. Ex. 649
B. Ex. 650 B. Ex. 657
C. Ex. 658
C. Ex. 651

Ex. 840 Ex. 650 Ex. 651 Ex. 656 Ex. 657 Ex. 658

A,.. B. C.
256 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS
CHORALE HARMONIZATION IN THE STYLE OF EACH

Four-Voice Realizations:
A. Ex. 674 Ex. 880 Ex. 881
B. Exs. 675, 676

Ex. 874 Ex. 675 Ex. 878

22.3.4 Subdominant Half Cadencess

22.3.4.1 CHORALE MELODY PATTERNS: Exs. 682,ad

lWWlll882
*The chord in brackets is included m indicata the contea.

Four-Voice Realizations:
22.3.3.2 CHORALE MELODY PATTERNS: Exs. 677,a-c
A. Exs. 683-685
BUMP= 077
B. Exs. 686-688

Four-Voice Realizations: Ex. 883 Ex. 684 Ex. 885

I h I
A. Ex. 678
B. Ex. 679
C. Exs. 680,681

Ex. 878 Ex. 879

m Ex. 888 Ex. 687 Ex. 6?8'
I I fi I rn

See 14.2.5.
258 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE H A R M O N ~ Z A T I O N IN THE STYLE OF BACH 259

22.3.4.2 CHORALE MELODY PATTERNS : Exs 689-a,b deceptive cadences did not attain the status of idiomatic expressions (a status
lUUsld 889 attained by most of the other cadences).

22.3.5.1 CHORALE MELODY PATTERNS : Exs.694,ax

Four- Voice Realizations: xxNmLI( 8W
A. Exs. 690,691
B. Ex. 692
C. Ex. 693
Four-Voice Realizations:
A. Ex. 695
Ex. 800 Kx. 601 Ex. 692
B. Exs. 6%, 697

Ex. 805 Ex. 606 Ex. 807

A I e

Examples 683-693 do not represent V-I in F major (as they may appear to
do at first sight), but I-IV in C major. This is proven by the melodic progres-
sion d x h e upper voice, as well as by the doubling of the E (Exs. 686-688,691,
693).In the case of F major the tone E would have assumed the role of a
leading tone. As such, it would have had to progress to F rather than C - 22.3.5.2 CHORALE MELODY PATTERN : Ex. 698
especially with the tone in question appearing in the UPPER VOICE - and it EXAMPLE 808

should not have been doubled.

While the progression E-C in the upper voice and the doubling of the E
rule out the key of F major, they evoke the key of C major, by embodying the
Four-Voice Realizations:
melodlc ductus of the latter (the progression E-C constitutes a formational pat-
A. Ex. 699
tern in C major - see 2.2.1.1) and by doubling one of its static tones - the E
- see 1.3.1. B. Ex. 700

Ex. 690 Ex. 700

22.3.5 Deceptive Cadences9 . I h h

Deceptive cadences in Bach chorales are relatively rare. This mainly stems
from the fact that' the chorale melody patterns related to these cadences may
almost always1° be harmonized by one of the authentic cadences. As a result,

See 14.23.
lo With the exception of the pattern presented in Ex. 705.
260 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS CHORALE HARMOMZATION IN T H E STYLE OF EACH

22.3.5.3 CHORALE MELODY PATTERN: Ex. 701 22.3.5.5 CHORALE MELODY PATTERN : Ex. 705
BMMPLH 701

Four-Voice Realization: Four-Voice Realization:

Ex. 702

Ex. 702 - rn
Ex. 706

Ex. 706 , m

w
'Sea Footnote 11.

22.3.5.4 CHORALE MELODY PATTERN: Ex. 703

22.4 O P E N I N G S
Fixed chord successions also appear in the opening section of the phrases in
the Bach chorales. We shall enumerate several two-chord successiom and several
openings (of more than two chords) which have evolved from these successions.
The openings below are especially characteristic of the &st phrase of the
Four-Voice Realization: chorales. l 2
Ex. 704

Ex. 704
22.4.1 Two-Chord Succession: 1-1

OPENINGS:

A. I-I-V6-I (Exs. 707-712)

A. The openings of the other phrases are not as fixed.

In this cadence (Ex. 702) the VI appears exceptionally with a doubled root instead of a
" B. We shall limit ourselves to establishing the chord successions only, without specify-
doubled third. (The cadence in question ends the sixth phrase of chorale No. 211). ing the chorale melody patterns.
262 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

EXAMPLE 707 Bach: Zeuch ein zu deinen Toren EXAMPLE 711 Bach: Wer nur den lieben Cott I&st

EXAMPLE 712 Bach: Was Gott tut, d m ist wohlgetan

EXAMPLE 708 Bach: Hast du denn. Jesu. dein Anaesicht

EXAMPLE 709 Bach: AUes ist an Gottes Segen

EXAMPLE 71 3 Bach: Valet will ich dir geben A

EXAMPLE 7 1 0 Bach: Herr Jesu Christ, dich zu uns wend' EXAMPLR 714 Bach: Ach Gott, wie munches Herzeleid
h

Ill l 1 C
=- ; 1 ;
 CHORALE' HARMONIZATION IN THE STYLE OF EACH
264 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

22.4.2 Two-Chord Succession: 1-1,

OPENINGS:
EXAMPLE 715 Bach: Aus meines Henens G ~ n d e
A. I-IcI (Exs. 719-727)

EXAMPLE 719 Bach: Als vierzig Tag' nach Ostem

EXAMPLE 716 Bach: Mach's mit mir, Gott, nach deiner Giit'

EXAMPLE 7 2 0 Bach: Valet will ich dir g e b m A

EXAMPLE 717 Bach: 0 Ewigkeit, du Donnewort . fi EXAMPLE 721 Bach: Gottlob, es geht nunmehr zu Ende

I I VII, I,

EXAMPLE 718 Bach: Es spncht der Unweisen Mund a

EXARVLE 722 Bach: Ach w a s sdl ich SCtnder machen -
266 HARMONY IN ITS SYSTEMIC A N D PHENOMENOJ LOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

EXAMPLE 723 Bach: Singt dern H e m ein neues Lied EXAMPLE 727 Bach: Das neugeborne Kindelein

EXAMPLE 724 Bach: Lobet den Herren, denn er ist sehr

EXAMPLE 728 Bach: Ist Cott mein Schild und Helfersmann

I IC minnrl I I

EXAMPLE 725 Bach: Warum betrlibst du dich. mein Herz

EXAMPLE 729 Bach: Wer nur den lieben Gott l k s t

EXAMPLE 728 Bach: Es k t gewisslich an der Zeit a EXAMPLE 730 Bach: Seelen-Briiutigam -
 268 HARMONY 1N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

EXAMPLE 731 Bach: Jesu, der du meine Seele EXAMPLE 735 Bach: Wer Gott vertraut, hat wohl gebaut

1 22.4.3 Two-Chord succession: I-VI

EXAMPLE 7 3 6 Bach: Wer n w den lieben Gott l&st
I
OPENINGS:
i'
A. I-VI-V-I (Exs. 732-736)
I
;I EXAMPLE 732 Bach: Dmuntre dich, mein schwacher Geist -

I &
I V I V I
EXAMPLE 7 3 7 Bach: Nun lob', mein' Seel', den Herren
h
EXAMPLE 7 3 3 Bach: Ermuntre dich, mein schwacher Geist-

EXAMPLE 7 3 4 Bach: Als der giitige Gott EXAMPLE 738 Bach: 0 Herre Gott, dein gbttlich W L ~
 HARMONY IN ITS S Y S T m l C AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

EXAMPLE 739 Bach: Jesu, meines Herzens Freud' EXAMPLE 742 Bach: Freu' dich sehr, o meine Seele
b

i
I

I
1
\
I In Exs. 737,738 the static harmonic -progression VI-III is compensated by an
-

accentuated progression. In Ex. 739, on the other hand, it creates an a-ba pat- EXAMPLE 743 ~ a c h Jesu
: Leiden, Pein und Tad-
tern (VI-III-VI) with the chord following it.

EXAMPLE 740 Bach: Ich dnnk' dir, lieber Herre

EXAMPLE 744 Bach: Schmficke dich, o liebe Seele

1 EXAMPLE 741 Bach: Alle ~ e n s c h e nmiissen sterben

EXAMPLE 745 Bach: Jesu Leiden, Pein und Tod

I1 22.4.4 Two-Chord Succession: I-V

I

OPENINGS:

A. I- V-16, (Exs. 742,743)

272 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
CHORALE HARMONIZATION IN THE STYLE OF BACH

22.4.5 Two-Chord Succession: I-V, EXAMPLE 740 Bach: Wie schbn leuchtet der Morgenstern

OPENINGS:

A. I-VcI (Exs. 746-754)

EXAMPLE 746 Bach: Reu' dich sehr, o meine Seele

EXAMPLE 750 Bach: Schaut, ihr Slinder

(G minor)
I v:, I ,
I

EXAMPLE 747 Bach: Vater unser im Himmelreich

EXAMPLE 751 Bach: Nun danket alle Got1 fi

EXAMPLE 748 Bach: Ach wi~nichtig,ach wie flfichtig EXAMPLE 752 Bach: Cott hat das Evmgelium
274 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF EACH

EXAMPLE 753 Bach: Sei gegrlisset, Jesu giitig EXAMPLE 757 Bach: Keinen hat Gott verlossen
h

EXAMPLE 754 Bach: Do der Herr Christ zu Tische sass

fi
EXAMPLE 758 Bach: Nun bitten wir den heiligen Geist -

22.4.6 Two-Chord Succession: VI-I,

EXAMPLE 755 Bach: Es ist das Heil urn kommen her Of the two-chord successions which do not begin with I, the succession VI-I,
is the most common.

OPENING:
The succession VI-I, appears mainly in the opening VI-I,-IV, in which
case the VI assumes tonic significance (Exs. 759-762).
' I '
I v, v I

EXAMPLE 758 Bach: Lobt Gott, ihr Christen, alhgleich EXAMPLE ,759 Bach: AUein zu dir, Herr Jesu Christ
I I w m
276 HARMONY IN ITS SYSTEMIC AND PHEVOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN T H E STYLE OF BACH 277

EXAMPLE 7 6 0 Bach: Ach lieben Christen, seid getrost nite melodic role. The role of the bass is, first and foremost, that of expressing
the harmony. The tenor is usually assigned a melodic role (Bach treats it as a
sort of "male soprano9'). This voice is usually in the high register, which
further underlines its melodic activity.
In contrast to the tenor, the alto generally fulfills a more harmonic role and
it may be regarded as a sort of "female bass". However, while the role of the
bass consists mainly of providing the harmonic-functional meaning of the
chords, the role of the alto is expressed mainly in structuring the chords. When
a tone is needed in a certain chord and cannot be reached by one of the other
EXAMPLE 7 6 1 Bach: Was mein Cott will, d m g'scheh' voices, the alto is assigned the task of filling in this tone (even when the
progression required for this purpose is rather unattractive melodically).
In this respect, it is important to add that the particular placement of the
voices (presenting the tenor in a conspicuous register and the alto in a less
prominent one) may cover for the melodic flaws of the alto (it causes us to
regard the latter as a voice whose main function is the filling of chords, i.e.,
supplying the missing tones).
This manner of relating to the voices (putting the tenor in a high register)
also accounts for the fact that a considerable part of the chords of Bach
EXAMPLE 7 6 2 Bach: War' Gott nicht mit uns diese Zeit , chorales appear in closed position.
T o get a clearer picture of the above, with regard to the roles of the voices
in the Bach chorales, let us re-examine the first cadence (Ex. 500). The
melodic role of the soprano and the harmonic role of the bass in this example
are clearly apparent; the melodiousness of the tenor is also prominent. In this
instance, the melodic sparseness of the alto is due to its HARMONIC role:
structuring the last chord, i.e., supplying its missing tone.I3

22.5 THE BRIDGE

22.7 DEVIATION FROM THE NORMS OF CHORD
As stated, the bridge appears between the opening and the cadence. O n the CONSTRUCTION - INTERVALS GREATER THAN
basis of the cadences and openings discussed thus far, we can deduce that the AN OCTAVE BETWEEN NEIGHBORING VOICES,
bridge is a relatively short segment. It is usually composed of between one and VOICE CROSSING
four chords (see Ex. 497).'
In his chorales, Bach often deviates from the accepted norms applied to
intervals between neighboring voices. He makes use of voice crossing lsee
22.6 THE ROLE OF THE VARIOUS VOICES IN 5.3.1.3), especially between the alto and the tenor (Exs. 763-766), as well as of
THE CHORALE TEXTURE intervals greater than an octave between these two voices (Ex. 767). These
Bach assigns each of the voices in the chorale a fairly well-defined role.
The soprano conveys the melody of the chorale and is therefore given a defi- A complete triad is more euphonious than a triad with a tripled root and no fifth.
278 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE O F BACH

two types of deviation may also be found, though less often, between the alto EXAMPLE 787 Bach: Herr Jesu Christ, du hachstes Gut
and the soprano (Exs. 768, 769).

EXAMPLE 783 Bach: Wamm sollt' ich mich denn grilmen

EXAMPLE 78'8 Bach: 0 Welt, sieh hier dein Leben

EXAMPLE 784 Bach: Nicht so traurig, nicht so sehr

r? I

EXAMPLE 780 Bach: Was Cott cut, das ist wohlgetan

EXAMPLE 765 Bach: Auf meinen lieben Gott

The reasons for such deviations from the norms are mainly melodic,
although they also influence the sonority of chords.

EXAMPLE 788 Bach: Freu' dich sehr, o rneine Seele

22.8 INVENTORY O F CHORDS

The most common chords in the Bach chorales are the triad and the sixth
chord. (The conspicuous differences in harmonic tensions in the chorales are
due primarily to the appearance of nonchord tones in metrically accented
places.)
280 H.4RMONY IN I T S SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE H.4RMONIZATlON IN T H E STYLE OF BACH

Of the various seventh chords, the most frequent are the diminished- EXAMPLE 772 Bach: Ach Cott, vom Himmel sieh' darein
diminished seventh chord, the major-minor seventh chord (the latter usually in
first or third inversion), the diminished-minor seventh chord, and the minor-
minor seventh chord.
Certain chords, although common in the music of the classical period, are
quite rare and atypical of the music of Bach: V!, for instance (introduced by us
in Ex. 770), instead of which Bach generally uses VII, (Ex. 771). (A minor) -
I V ~ , V#
VII I
EXAMPLE 770 A

EXAMPLE 773 Bach: Ermuntre dich, mein schwacher Geist ,

w
v:
IV~, v-3 ' w
EXAMPLE 771 Bach: 0 Ewigkeit, du Donnerwort
VII I

EXAMPLE 774 Bach: Es woll' uns Gott genlidig sein

Six-four chords are also atypical, except for the closing cadential six-four
chord (see 17.2). 1113 IV
VII- I

22.9 SECONDARY DOMINANTS EXAMPLE 775 Bach: Herzlich lieb hab' ich dich. o Herr

Of the various secondary dominants (see 21.3), the type most common in
the Bach chorales is that represented by the diminished-diminished seventh
chord. In this case, the tone of the secondary dominant, acting as a leading
tone in relation to the chord following it, usually appears in the bass; this tone
is generally entered by an ascending chromatic progression (Exs. 772-774), or
by a descending diminished fifth or diminished fourth (Exs. 775-777).
282 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN T H E STYLE OF BACH

EXAMPLE 778 Bach: Wer nur den lieben Gott lasst walten EXAMPLE 779 Bach: In dich hob' ich gehoffet, Herr
I 1 8 h

EXAMPLE 780 Bach: Von Gott will ich nicht lassen

EXAMPLE 777 Bach: Was frag' ich nach der Welt
m

EXAMPLE 781 Bach: Gottlob, es geht nunmehr zu Ende A

The above-mentioned progressions in the bass (an ascending chromatic

progression or a descending diminished fifth or diminished fourth), are also
used in connection with other types
.-
of secondary dominants: a major suah
chord as well as a major-minor six-five chord - i.e. the first inversion of a
major-minor seventh chord - (Exs. 778-782).

EXAMPLE 778 Bach: Ach bleib bei uns, Herr Jesu Christ EXAMPLE 782 Bach: Sei gegrtisset, Jesu gfitig fi
284 HARMONY IN ITS SYSTEWIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

Of the remaining types of secondary dominants (which are rather uncom- EXAMPLE 786 Bach: Ich dank' dir, lieber Heme
mon in the Bach chorales), we shall mention here the third inversion of the
major-minor seventh chord (Exs. 783, 784).

EXAMPLE 783 Bach: Christw, der ist mein Leben

u A major
'. E minor
W'

22.11 HARMONIC RHYTHM, RHYTHM OF THE BASS

The harmony of the Bach chorales usually changes with each quarter note.
(This harmonic rhythm - see 7.4.1 - results mainly from the rhythm of the
EXAMPLE 784 Bach: Freuet euch, ihr Christen alle
I I ,
chorale melody, which also progresses mostly in quarter notes.)
There are, however, some instances in which the harmonic rhythm is
slowed down (see 22.11. I), and other instances (less frequent) in which it is ac-
celerated (see 22.11 2 ) .

22.1 1.1 Deceleration

We shall point out three cases in which the harmonic rhythm changes
more slowly than in quarter notes.14

22.10 MODULATIONS
Modulations in the Bach chorales are generally diatonic (Ex. 785) or 22.11.1.1 A SUCCESSIVE REPETITION OF I
chromatic (Ex. 786); there are no enharmonic modulations. This is usually found at the beginning of the first phrase of the chorale (see
22.4.1), and is carried out in one of the following ways:
EXAMPLE 785 Bach: Wer nur den lieben Gott l h s t a. a repetition of the same chord, with the chord position remaining
unchanged (Exs. 707-709, 714, 715, 718);
b. a repetition of the same chord - sometimes with passing or changing
tones - involving an alteration of the soprano tone (Exs. 711-713, 716, 717);
c. a succession of a triad and a sixth chord (Exs. 720-7311.
' 4 w w
1\ /
l4 This slowing down of the harmonic rhythm appears mainly in the opening and in the
D major ( I V = V I ) B m;nor ( 1 ~ ~ 1 ) D &or
cadence.
286 HARMONY IN ITS SYSTIXIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH 287

22.11.1.2 A HALF NOTE DURATION OF V the tenor. As a result, the V2 in question does not constitute a necessity; the
This occurs mainly in authentic cadences (Exs. 506-512). transition from IV to I, could also have been carried out without the V,
between .these two chords (Ex. 788).

22.11.1.3 A HALF NOTE DURATION OF IV

EXAMPLE 788
This usually occurs in plagal cadences (Exs. 674-676,678).

(
22.11.2 Acceleration
An acceleration of the harmonic rhythm (chords changing at eighth note
pace) occurs less frequently than deceleration, as has already been stated (see
22.11).

22.11.2.1 EIGHTH NOTE HARMONIC RHYTHM WITH STATIONARY A chord change on an eighth note rhythm usually takes place with regard
OR STEPWISE BASS to the following chord successions:
Because of the regular harmonic changes on quarter notes, one of the two a. I(,)-VII,-I~,) (Ex. 789);
eighth note chords in an eighth note harmonic.rhythm usually tends to be b. IVKVz-I (EX. 790);
regarded as a chord - devoid of harmonic significance - created as it were
C. I,-11;-V (EX. 791).
by the appearance of passing and/or changing tones (Ex. 787).
In the chord successions listed above, most of the voices (especially the
bass) move by seconds.I6
EXAMPLE 787 Bach: E r m u n t ~dich, mein schwacher Geist ,

EXAMPLE 789 Bach: Verleih' uns Meden gnMiglich

In Ex. 787, for instance (at the point marked with an x), we do not
perceive the harmony changing with each eighth note (IV-V2)l5; rather, we
hear a IV with a passing tone in the soprano and alto, and an anticipation in

These chords are symbolized in accordance with D major. l6 In some cases, one of the upper voices (tenor, alto, or soprano) stays in place.
288 H.iRMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN T H E STYLE OF BACH

EXAMPLE 790 Bach: Mach's mit mir, Gott, nach deiner Giit' ) EXAMPLE 7 9 3 Bach: Herr, i d habe missgehandellt

EXAMPLE 7 9 4 Bach: Ach was sol1 ich Siinder machen

EXAMPLE 791 Bach: Erbann' dich mein, o Herre Gott

22.11.3 T o conclude, the basic harmonic rhythm in the Bach chorales is

based on quarter notes. Hence, the basic progression of the bass is also in
22.11.2.2 EIGHTH NOTE HARMONIC RHYTHM WITH quarter notes, although there are many instances of eighth notes. However,
THE BASS MOVING BY LEAPS
when two eighth notes replace a quarter note in the bass, one of them is usual-
Eighth note harmonic rhythm with the bass moving by leaps, occurs ''
ly a passing or changing tone, or the bass tone of a passing chord or changing
mainly in cadences (Ex. 792, 793), but it is sometimes also found in the bridge chord.
(Ex. 794).

22.12 EIGHTH NOTES IN THE BACH CHORALES

EXAMPLE 792 Bach: Christ lag in Todesbanden The eighth notes in the Bach chorales fulfill three main roles:
A I 1 I
a. a rhythmic-agogic role (see 22.12.1);
b. a melodic role (see 22.12.2);
c. a harmonic role (see 22.12.3).

" Except for the instances mentioned in 22.11.2.2.

290 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH

22.12.1 Eighth Notes in a Rhythmic-Agogic Role EXAMPLE 797

In discussing the rhythmic-agogic role of eighth notes, we refer primarily
to the agogic factor, which determines the phrasing of a given unit.
The division of a quarter note into two eighth notes intensifies the kinetic
qualities of the divided quarter note. The difference between the kinetic
qualities of a quarter note and those of two eighth notes becomes an important
factor in the phrasing. This idea will be illustrated by means of the following The phrasing presented in Ex. 797, strange though it may seem, can evolve
excerpt (Ex. 795). quite naturally from the following harmonization (Ex. 798).

EXAMPLE 795 Freu' dich sehr, o meine SeeIe EXAMPLE 798

Suppose one considers taking a breath (even imaginary) &tween the A at

the end of the first bar and the G at the beginning of the second bar (Ex. 795).
The rhythm resulting from Bach's harmonization (Ex. 796) precludes such a
breath, since the eighth notes in the tenor render the tone A in the soprano so
highly kinetic that it becomes impossible to breathe after it (Ex. 796).
As shown, one of the main roles of the eighth notes is to phrase the chorale
melody. Any use of eighth notes without taking this factor into account may
blur the melodic profile of the chorale melody.
EXAMPLE 796 Bach: neu' dich sehr, o meine Seele

22.12.2 Eighth Notes in a Melodic Role

Eighth notes also fulfill an important melodic role in the Bach chorales. This
is m d e s t e d first and foremost in the chorale melody itself (Exs. 799, 800).

EXAMPLE 799 Allein zu dir. Herr Jesu Christ

By appropriate use of eighth notes, one can produce almost any phrasing
- even the most unexpected. Who would imagine, for instance, the excerpt
given in Ex. 795 with the phrasing presented in Ex. 7971
292 HARMONY IN ITS SYSTENIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF BACH 293

EXAMPLE 800 Nicht so traurig, nicht so sehr 22.12.3 Eighth Notes in a Harmonic Role
The harmonic role of eighth notes in the Bach chorales may be divided
into two separate categories:
a. active involvement in the harmonization of the chorale melody;
b. involvement in intensifying
. - the harmonic tension.
Furthermore, the melo-rhythmic structure of the chorale melody has a con-
siderable influence on the rhythm (thereby also influencing the melody) of the The following passage (Ex. 803) illustrates the first category (a. above).
other voices. The eighth notes in the alto, tenor, and bass (in the place marked with an x)
In the following passage, for instance (Ex. 801), one may clearly discern serve to harmonize the two eighth notes of the soprano. (This harmonic role
this influence of the chorale melody on the melo-rhythmic structure of the of the eighth notes in question is, however, not in contradiction with the
tenor and the alto. (The tenor part represents an ornamented version of the melodic role which they fulfill at the same time - see 22.12.4).
chorale melody, as marked in Ex. 801.)

EXAMPLE 803 Bach: Allein zu dir, Herr Jesu Christ

EXAMPLE 801 Bach: Allein zu dir, Herr Jesu Christ n I

The following excerpt, on the other hand (Ex. 804), illustrates the second
In the following excerpt the eighth notes in the tenor also fulfill a typically category (b. above). The eighth notes in the bass (marked with an x) intensify
melodic role (Ex. 802). the harmonic tension.

EXAMPLE 802 Bach: An Wasserfliissen Babylon EXAMPLE 804 Bach: Aus meines Herzens Grunde -
 I 292 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
8 I
CHORALE HARMONIZATION I N T H E STYLE OF BACH 293

EXAMPLE 800 Nicht so tmurig, nicht so sehr 22.12.3 Eighth Notes in a Harmonic Role
The harmonic role of eighth notes in the Bach chorales may be divided
into two separate categories:
a. active involvement in the harmonization of the chorale melody;
b. involvement in intensifying the harmonic tension.
I Furthermore, the melo-rhythmic structure of the chorale melody has a con-
siderable inf-luence on the rhythm (thereby also influencing the melody) of the The following passage (Ex. 803) illustrates the first category (a. above).
I other voices. The eighth notes in the alto, tenor, and bass (in the place marked with an x)
!
In the following passage, for instance (Ex. 801), one may clearly discern serve to harmonize the two eighth notes of the soprano. (This harmonic role
this influence of the chorale melody on the melo-rhythmic structure of the of the eighth notes in question is, however, not in contradiction with the
tenor and the alto. (The tenor part represents an ornamented version of the melodic role which they fulfill at the same time - see 22.12.4).
chorale melody, as marked in Ex. 801.)
I
EXAMPLE 803 Bach: AlIein zu dir, Herr Jesu Christ
1 EXAMPLE 801 Bach: Allein zu dir, Herr Jesu Christ

The following excerpt, on the other hand (Ex. 804), illustrates the second
1
In the following excerpt the eighth notes in the tenor also fulfill a typically category (b. above). The eighth notes in the bass (marked with an x) intensify
melodic role (Ex. 802). the harmonic tension.
\

EXAMPIS 802 Bach: An Wasserfliissen Babylon EXAMPLE 804 Bach: Aus rneines Herzens Gmnde
)
294 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN T H E STYLE O F BACH

22.12.4 At times eighth notes fulfill several different roles simultaneously: a EXAMPLE 806 Bach: Ach Gott. vom Himmel sieh' darein
rhythmic-agogic role, a melodic role, and a harmonic role (Ex. 803).
It is difficult to provide precise formulas for the correct use of eighth notes;
we nevertheless believe that the points made here are apt to throw l& on the
subject and to free the student from the common practice of using eighth notes
wherever technically possible, without taking other factors into consideration.

22.13 THE STYLISTIC SCOPE, OF THE

BACH CHORALES 22.13.2 Chromatic-Diachromic Chorales l8
The stylistic range of the Bach chorales is fairly broad. The chorales may The chorales included in thls category are more expressive than the
be roughly divided into three main groups: diatonic chorales and at times even somewhat dramatic19 (Exs. 808-810).
a. diatonic chorales (see 22.13.1);
b. chrornatic-diachromic chorale^'^ (see 22.13.2);
c. modal chorales (see 22.13.3). : EXAMPIS 808 Bach: Herzliebster Jesu, w u h u t du
I . m
The meaning of the terms used above is more stylistic than technical.
Diatonic chorale, for example, does not necessarily refer to a chorale in which
there are no chromatic progressions, but rather to a certain style in which
chromaticism is not a central characteristic.

22.13.1 Diatonic Chorales

These chorales constitute a normative criterion, in a certain sense, for the
Bach chorale style. They represent the "standard" to which we compare the
l9 It should, however, also be noted that Bach sometimes attains expressiveness ind drama
stylistic deviations in either the chromatic or the modal direction (Exs. 805, by the simplest means (Ex. 807).
806).

BxAMPtll 807 Bsch: Hmlich licb hob' W dich, o Hew

n , 1 1 1 1 - I I " I 1 1 , -
EXAMPLg 805 Bach: 0 Herre Gott, dein gbttlich Wort

See 21.4.1.2; 21.4.1.3.

296 H.4RMONY IN ITS SYSTEMIC AND PHUJOMENOLOGICAL ASPECTS
I CHORALE HARMONIZATION IN THE STYLE OF BACH 297

EXAMPLE 8 0 9 Bach: Herzlich rut rnich verlangen 1' EXAMPLE 8 1 2 Bach: Christ, unser Herr, zum Jordan karn

EXAMPLE 8 1 0 Bach: Es ist genug EXAMPLE 813 Bach: Herr Gott. dich loben wir
h

22.13.4 Meter as a Stylistic Feature

22.13.3 Modal Chorales
The chorales are generally written in fourquarter meter. However, the
These chorales are primarily characterized by the modal quality of the
existence of chorales which are written in threequarter meter is also worthy
chorale melody (Exs. 811-813). Modal chorales sometimes involve special
of mention; some of these differ basically in character from those written in
problems in harmonization, stemming primarily from the clash between the
fourquarter meter. The following excerpts, for instance (Exs. 814-816), are
modal characteristics of the chorale melody and the harmonic requirements of
characterized in part by the clear absence of eighth note movement.
the tonal system (see 22.15).

EXAMPiE 814 Bach: Nun lob', mein' Seel', den Herren

EXAMPLE 81 1 Bach: Von Gott will ich nicht lassen
 298 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOClCAL A S P E m S CHORALE HARMONIZATION IN T H E STYLE O F BACH
1 299

EXAMPLE 815 Bach: Ach Gott, wie munches Herzeleid EXAMPLE 817 Bach: Christus, der uns selio macht

I
EXAMPLE 816 Bach: Weg, mein Herz, mit den Gedanken

22.14 SOME COMPOSITIONAL CONSIDERATIONS

All that has been said thus far in connection with the Bach chorales may
\
I
serve as a guideline in approaching harmonization and compositional planning
of the chorale. W e refer, for example, to the practice of varying cadences by
planning the degree of their respective power, to the planning of the eighth
note movement, modulations (distance from the main key, means of The first cadence of the above chorale (Ex. 817) is more dynamic than the
j1 modulating, etc.), tension of the chords, the registers of the various voices, and second (both of them end in the chorale melody pattern D-C-B). This is
SO on.
manifested by several factors: the eighth note progression in the tenor and bass
as opposed to the quarter notes in the second cadence; the stepwise progression
I 22.14.1 Cadentid Variants
in the bass as opposed to the leaps in the second cadence; the inverted IV (IV,)
as opposed to its appearance as a hndamental chord in the second cadence; the
The following chorale (Ex. 817) illustrates the planning of cadences. dissonance of the penultimate chord as opposed to the consonance of this chord
i
h R
< 5' 3.13 13 5' 5.
rn o a L2-T-~ O e e
L ~ ~ m 2 ~
y z~n eg
E 2n6 .F2 i3 E
- 3o r
8 3s 5 . " P
Q "=;'"a > g
CP
g; $ 8 . s" R"W' We3 Oa OPq gE-a
s.~;.; 3 a x n
0
~ g - F5 d~Q g -. n
m n e D ap%-g.zg-
x Xa 2 5.2 &35.g-
X n c
x S "~ +B.R n
Ca5.E a El'
-?3pg g gc. 00% O P0
5 " "
32 8 nor4g$
0 ag, r&! $.g;
3 5.13 a%;.
% 9 g,,, L,g r
,
g q g z 0 5'
$- 5' a g a3
L~~~ ?
&a d;l%- n
02: g 2.
.
" 3 2 m.84 %
% tag,^
s.Ej-g- P
g g "
,8* 3 +e:
k s n
o " g
= I ~ W
$a:? aa
0 ? S e w o^
 HARMONY IN ITS SYSTIXIC AND PHENOMENOLOGICAL ASPECTS CHORALE HARMONIZATION IN THE STYLE OF EACH

22.15 SOME PROBLEMATIC CHORALES The harmonization resulting from the introduction of the ~b would
therefore be approximately as follows (Ex. 823).
The following passage (Ex. 821) is a bit problematic. It is marked by a
somewhat sharp modulation (to A minor), as well as by some rather atypical
traits: a leap of a fourth in the bass (E-A) from a sixth chord to a fundamental EXAMPLE 823
chord, eighth note progression in the tenor (in this specific context the D is
rather atypical both harmonically and rhythmically), etc. (Ex. 821).

EXANIPLE 821 Bach: Gelobet seist du, Jesu Christ

Following is the harmonization of the complete chorale melody, realized

by one of the author's studentsZ0(Ex. 824). W e should llke to draw attention
in thls harmonization to the eighth note movement as well as to certain doubl-
i n g ~in the fourth phrase (marked by [ ).
The particularities mentioned in connection with the above passage (Ex.
821) result mainly from the modal character of the chorale melody (see EXAMPLE 824 D . Camel: Gelobet seist du, Jesu Christ
22.13.3).
The following (Ex. 822) represents another version of Ex. 821.

EXAMPLE 822 Bach: Gelobet seist du, Jesu Christ

, fi

In the framework of the standard style of Bach chorales (see 22.13.1), a w I

w
modulation from G major to C major (Ex. 822) would require the introduc- (cont.)
tion of an Fb as soon as possible. The most appropriate place for it would be See also Introduction. Exs. XXW-XXIX.
the place in which the A appears in the chorale melody.
304 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 824 (continued)

MINOR
SCALE

23.1 TO THE TEACHER

This chapter is intended to present a certain approach and certain principles
related to altered tones.
The use of the melodic minor scale as a starting point in approaching this
topic seems important to us, since it exemplifies a way of treating altered tones
(directional tones constitute in a sense altered tones) which is based on a clearly
defined melodic ductus (stemming, in this case, from the differences between
the ascending and descending forms of the melodic minor scale).
We believe that the approach set forth in this chapter with regard to the
treatment of directional tones (see 23.3.1) and the chords resulting from their
use may well constitute a solid basis for understanding the proper treatment of
altered tones and altered chords in general.
More than that, we believe that this approach also educates one to relate
to a chord not only as an abstract symbol (referring to symbolic presentation
of chords - see 3.5; 12.5.2), but also as something concrete1 - any constituent
factor of which (inversion, position, doubling, register, etc.) may well deter-
mine its harmonic significance.

' In keeping, to a certain extent, with the basic sense given by Pierre Schaeffer to musique
conne'te, as opposed to, "musique absuaite".
306 HARMONY IN ITS SYSTEUlC AND PHWOMENOLOCICAL ASPECTS MELODIC MINOR SCALE

A musician trained in this type of approach hears that the chord G-B-D 23.3 THE MELODIC MINOR SCALE
with a doubled fifth, for instance, and the same chord with a doubled root or The melodic minor scale differs from the harmonic minor scale in that it
doubled thud, manifest DIFFERENTtonal tendencies (see 23.3.5.1). includes two additional tones: a raised sixth tone - when the scale tones are in
ascending order (Ex. 826,a), and a natural seventh tone - when the scale tones
are in descending order (Ex. 826,b).
23.2 EXPANSION OF TONAL MATERIAL
EXAMPLE 8 2 8
The tonal material at our disposal, w h c h until now has been h i t e d to the A a. b.
seven tones of the major and harmonic minor scales, will. gradually be ex-
panded to include all twelve tones. The additional non-scale tones are called
altered tones (see 12.5).
Altered tones came about as a result of the differences between the major
and the pure minor scales, among other factors. These two scales, when built 23.3.1 Directional Tones
on the same tone, dlffer from each other by their third, sixth, and seventh In a sense, the raised sixth and natural seventh tones of the melodic minor
tones (Exs.825a, 825b). scale constitute altered tones (in relation to the harmonic minor scale) while,
in a different sense, they are unaltered, since they belong to the basic tonal
EXAMPLE 825a C major scale material of a well-defmed tonal framework3, which defines their movements
n on the basis of a determined and fixed melodc ductus.
The raised sixth tone and the natural seventh tone are tendentious tones,
I
I
each aspiring to reach a certain scale tone by a predefined route - a route ex-
EXAMPLE 825b C pure -or scale
pressing the melodic ductus of the melodic minor scale.
The raised sixth tone moves to the raised seventh tone (the leadmg tone) en
route to the eighth tone (Ex. 826,a). The natural seventh tone moves to the
natural sixth tone en route to the fifth tone (Ex. 826,b). Each of the above
tones can appear for an unlimited duration, i.e., in several consecutive chords
The above-mentioned differences between the major scale and the pure (Ex. 827).
minor scale probably became a prime factor in the generative process of
altered tones. The mutual influences and the reflections of each of these scales EXAMPLE 827
upon the other created a series of transformations in both of them, as we shall A

see in the coming chapters.

The first stage in this transformational process is the penetration of major
tones into the pure mirior scale. As a result, the harmonic minor and melodic
minor scales came into beingU2The latter will be our concern in the present
chapter.

We shall call the two tones in question (the raised sixth tone and the
natural seventh tone) directional, since they direct the melodic flow to predeter-
A. These two scales have a more major shading than the pure minor scale. mined points, as has already been shown.
B. Minor pietes of the baroque period end usually on a major triad on I. In such cases an
additional element of the major scale -the third tone - is transferred to the minor scale (see
31.2.2.1). ' Referring to the melodic minor scale.
308 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MELODIC MINOR SCALE 309

23.3.1.1 ENTRY INTO THE DIRECTIONAL TONES III,(U (see 23.3.2; 23.3.5.2.2). The progression marked e appears in a more ex-
The raised sixth tone is usually entered from the fifth tone while the natural tended tonal framework (it hinders the melodic ductus of the melodic minor
seventh tone is usually entered from the eighth (first) tone. Other progressions mode). The progressions marked f and g are liable to blur the tonality. The
do exist, but they are less common and should be used cautiously since they. one marked h disturbs the melodic ductus of the melodic minor mode.
might lead to tonal ambiguity4 (see 23.3.1.1.1; 23.3.1.1.2).
23.3.1.2 DOUBLING
23.3.1.1.1 Entry into the Raised Sixth Tone Directional tones, llke other altered tones, are tendentious, somewhat the
same as the leading tone. They are, therefore, NOT DOUBLED (doubling these
The progressions presented below (Ex. 828) are marked from a to h, on the
tones is liable to create a certain tonal imbalance, tonal ambiguity and, finally,
basis of the extent to whlch they characterize the melodic minor mode.
even parallel octaves).
The natural sixth tone, when following the natural seventh tone, acts as a
EXAMPLE 828
a. b. c. d. e. f. h. directional tone (aspiring to arrive at the fifth tone), and therefore should
preferably not be doubled. In the event that it is not entered from the natural
seventh tone, the natural sixth tone DOES NOT constitute a directional tone
and may be freely doubled.
The progressions marked a, b, and c are characteristic. The progressions
marked d and e are rare (the progression marked e is found only in descent).
The progression marked f appears in a tonal framework based on a more 23.3.2 Raised Sixth and Natural Seventh Tones
highly developed chromaticism (it blurs the character of the melodic minor as Non-Directional Tones
mode). The progression marked g disrupts the melodic ductus of the melodic It is worth mentioning that not every natural seventh tone and not every
minor mode (a natural seventh tone tends to move to the natural sixth tone, en raised sixth tone is a directional tone. There are many instances in which these
route to the fifth tone). The progression marked h disturbs the balance of the tones appear in other contextual conditions (in the framework of a melodic
meiodic line, for w h c h reason it is not useful (an ascending leap into the ductus other than that of the melodic minor mode), demanding different treat-
leading tone or into a raised altered tone is apt to unbalance the melodic line). ment (both with regard to melodic progression and to doubling). This occurs
primarily in passages where the tonicalization of a certain degree which
23.3.1.1.2 Entry into the Natural Seventh Tone includes one of these tones t&es place (Ex. 830).
The progressions in Ex. 829 are also marked from a to h, on the basis of the
extent to which they characterize the melodic minor mode. EXAMPLE 830 Chopin: Mazurka, Op. 6, No. 1

The progressions marked a, b, and c are characteristic. The progression

marked d is rare - it appears mainly in connection with the tonicalization of
In the above passage, for instance (Ex. 830), the tone E in the bass (third
bar) is not a directional tone. It plays a role in the tonicalization of III,fi)(Ama-
It must be stressed that the correct melodic treatment of altered tones in general, and of
directional tones in particular, is a prerequisite of tonal clarity. Incorrect melodic progressions jor), for which reason it progresses to A (instead of to D and then to C#).
may blur the tonality entirely.
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MELODIC MINOR SCALE

23.3.3 Modal Balance EXAMF'LE 833 Bach: 0 Traurigkeit

The raised sixth tone of the melodic minor scale creates a major shading -
while the natural seventh tone produces a minor one. The prolonged use of
one of these tones (only one of them) is consequently liable to undermine the
basic nature of the minor mode, by producing a hyper-major or hyper-minor
quality. To avoid this, one must balance the use of one of the directional tones
- by using the other directional tone as well. The raised sixth tone and the
natural seventh tone neutralize each other (using both of them ensures a proper
modal balance).5
23.3.4 Cross Relation
The somewhat unbalanced modal quality of the following passage (Ex.
831) - resulting from the appearance of the raised sixth tone - may be A tone and its alteration, appearing one after the other, are usually brought
compensated by introducing the natural seventh tone (Ex. 832). in the same voice (Ex. 834,a), i.e., by a chromatic progression6and not in two
different voices. The relationship formed between a tone and its alteration, ap-
pearing consecutively in two DIFFERENTVOICES, is called a noa relation
EXAMPLE 831 (Ex. 834,b).

EXAMPLE 834

EXAMPLE 832 1
Cross relations are usually avoided in the framework of functional har-
mony' except between two chords, of which the second is a diminished-
diminished seventh chord (Ex. 835).

EXAMPLE 835

A superb modal balance, using both of the directional tones, is illustrated in

the following passage (Ex. 833). The raised sixth tone (F#) is neutralized by
the natural seventh tone (GI), appearing first in the bass and then in the alto.
We cannot make use of chromatic progressions for the time being because of the fixed
progressions of the directional tones.
' Cross relations do appear, on the other hand, in a certain type of light music (mainly that
' See 24.4; 26.2; 26.3.
I of a modal character).
 MELODIC MINOR SCALE 313
312 H.-IRMONY
IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

We shall now demonstrate another way of tonal proof, based on

23.3.5 Chords Generated by the Melodic Minor Scale DOUBLING.
The melodic minor scale places fifteen additional chords at our disposal: six Let us take, for example, the chord G-B-D. When this chord appears in a
triads and nine seventh chords (Ex. 836). three-voice texture - one in which no doubling is possible - it can be
interpreted (in the framework of our data at the present stage) in the following
EXAMPLE 8 3 8 keys: C major and minor, D major and melodic minor, E melodic minor, G
major, A melodic minor, and B minor.
We shall imme&ately see, though, that doubling one tone or another is
liable to limit the number of keys in which this chord may appear and may
even be a vital factor in determining the key.
When the chord G-B-D appears with doubled root, for example, it cannot
be relegated to A minor, since its doubled root constitutes a directional tone.
The following passage, for instance (Ex. 838), is not in keeping with A minor
because of the doubled G and because of the progression G-A in the tenor - a
progression which is contrary to the melodic ductus of A melodic minor.9

23.3.5.1 TONAL INTERPRETATION EXAMPLE 838

Because of their very structure, the above chords (Ex. 836) do not tend to
be regarded as belonging to A minor. Each tends to be interpreted in various
keys, remote at times from A minor. Hence, these chords' affiliation to A
minor must be established. This may be done by correct melodic treatment of
the directional tones and by doubling the appropriate tone in the chord.
Let us take, for example, the chord D-F#-A-C. This chord tends to be im-
mediately interpreted as V, of G major or G minor. Proving that the above O n the other hand, when the chord G-B-D appears with a doubled fifth it
chord belongs to A minor calls for correct melodic treatment of the tone F$- cannot be interpreted in E melodic minor (since in this case the fifth of this
by continuing the melodc flow from F# to G # en ~ ioute to A (Ex. 837). chord constitutes a directional tone). The chances of its appearing in C major
or minor decrease, while the probability of its belonging to A melodic minor
EXAMPLE 837
A
increases (Ex. 839).

EXAMPLE 839

The above excerpt (Ex. 837) illustrates the tonal proof of a chord, by treat-
ment of a directional tone in accordance with the ductus of the melohc minor
mode. A. This distinction requires a certain sensitivity (an ear trained in this direction).
B. The reader will discern this more readily by comparing the excerpt at hand (Ex. 838)
with that in Ex. 839.
In G major or G minor, the F# should have progressed to G.
314 HARMONY IN ITS SYSTEh4IC AND PHENOMENOLOGICAL ASPECTS MELODIC MINOR SCALE

When the chord G-B-D appears with a doubled third, it cannot be 23.3.5.2.2 Illjw
relegated to C major, for instance, since the doubled third constitutes a leading This chord appears chiefly in the following contexts:
tone in that key. It would be relegated more readily to B minor (Ex. 840).
a. in the idiom I-111-IV (Ex. 842) or VI-111-IV (Exs. 842-844);
EXAMPLE 840 b. in condtions of tonicalization (Exs. 830, 845, 866).
In the first case (a.), the natural seventh tone acts as a directional tone. In
the second case (b.), it is not a directional tone and may be treated freely.

EXAMPLE 842 Glinka: A Life for the Tsar

From the above facts, we realize that such "trivial" matters as incorrect
doubling, melodic progression in one of the voices not in accordance with the
appropriate melodic ductus, and other such details, which are not always ac-
corded the attention they merit, are apt to have far-reaching consequences.

23.3.5.2 SPECIFIC TRAITS OF T H E VARIOUS CHORDS

We shall now survey the chords generated by the melodic minor scale,
dwelling on the characteristic features of each. The symbolic presentation of
the various chords with regard to their altered tones refers to A minor. EXAMPLE 843 Mozart: Requiem

23.3.5.2.1 1I5#
The directional tone included in this chord renders it more highly
dynamic in comparison with IISII,for instance, despite the fact that the latter is
a dissonant chord (a diminished triad).
One may conclude, therefore, that the tension ingrained in a certain chord
is not only the result of the chord's structure, but mainly the consequence of VI - mb- IV-
the tonal-functional significance of the chord's component tones (Ex. 841) -
see also 40.5.2.
EXAMPLE 844 Cosuard: Ballade
EXAMPLE 841
316 HARMONY IN ITS SYSTEMIC AND PHENOMEVOLOCICAL ASPECTS 1 MELODIC MINOR SCALE 317
i
EXAMPLE 845 Chopin: Mazurka, Op. 67, No. 2
I When the chord in question appears in first inversion - as V&,- it is usual-
I
Ii ly found in connection with a descending scale-like passage i i ;he bass. The
natural seventh tone acts as a directional tone in this case and is treated as such
(Exs. 848, 849).

EXAMPLE 848 Handel: Judas Maccabeus

This chord, U e II,#, appears where there is a tendency toward kinetic

intensification. It is especially effective in first inversion, i.e., as.IV$ (Ex. 846).

EXAMPLE 846 Bach: Herzliebster Jesu, was hast du verbrochen EXAMPLE 849 Mozart: Don Giovanni
1 , a
,
rn
I \
1 . -
I A r
-
r
I
-
r
I
I
#.
,-
,
I
m
I I
I
- 7
I
I
-
I
I
I

This chord cannot represent the dominant, since i t lacks a leading tone (see
25.2). As a fundamental chord, it appears mainly in passages of a modal
character. In this instance, the natural seventh tone does not act as a directional
tone and it is treated freely in the melodic sense (Ex. 847).

EXAMPLE 847 Tchaikovsky: Mazeppa

I
1 Since this chord constitutes a diminished triad, it appears mainly in first
inversion. In most instances it assumes the significance of 1with a sixth instead of
\ a f i h - the sixth acting as a passing tone (Ex. 850).
:
 HARMONY IN ITS SYSTJWlC AND PHENOMENOLOGICAL ASPECTS MELODIC MINOR SCALE 319

EXAMPLE 8 5 0 EXAMPLE 8 5 3 Beethoven: Piano Sonata, Op. 90

A a ., Con vivacita e sempre con sentimento ed espressione

See Footnote 11.

Vqev'

This chord appears with a doubling of either the fifth or the third. The
root is a directional tone, for which reason it is not suitable for doubling (Exs. There are, however, many cases in which VII(lII)appears with a doubled
851-853). root, but this usually occurs when the chord in question appears in connection
EXAMPLE 851 Mussorgsky: ghovantchina
with tonicalization of III, i.e., as a secondary dominant of 111 (Ex 854).
a Moderato, non troppo lent0

EXAMPLE 8 5 4 ~chumann:Album F r die Jugend, O p . 6 8 , No. 6

EXAMPLE 852 Verdi: Requiem

i 23.3.5.2.7 I,(b,
Whereas I,# is not used (for reasons explained in 18.5.5), I,(h) is a useful
chord. The resolution of its seventh by descent is not only possible (unlike the
seventh of I,#) but even mandatory, for yet another reason: the seventh of the
chord constitutes a natural seventh tone which tends to descend stepwise (Exs.
855, 856).
The chord in question usually appears in third inversion, as I& (Ex. 856).
1 1 1 +
\P' " a. I I - 7
4
1
1
I
See Footnote 10.

I' The doubled tone in the VII,$ (Ex.853) is the fifth. The octaves in the bass constitute a
lo This chord does not constitute ~ q ( but
, VII,Mwith an organ point in the upper voice doubling in the instrumental rather than the harmonic sense. These octaves are similar to
(Ex.852). those formed between the celli and the double basses in the classical .orchestra.
320 HARMONY IN ITS SYSTUMIC AND PHENOMENOLOGICAL ASPECTS MELODIC MINOR SCALE

EXAMPLE 855 Brahms: Intermezzo, Op. 117, No. 2 EXAMPLE 857

Andante non troppo e con molto espressione

EXAMPLE 858

EXAMPLE 856 Franck: Prelude, chorale and fugue

[Moderato] Poco pid lento

23.3.5.2.9 Ill:,,
There are no particular technical difficulties involved in using this chord
(Ex. 859); it is, however, not very useful (III,hl usually appears without a
seventh).

EXAMPLE 859 Verdi: Aida

In this chord, two tones must be resolved: the seventh and the fifth, which
constitutes a directional tone. However, these two tones cannot be resolved
simultaneously for the reasons offered below.
Let us take, for example, the chord B-D-F#-A (in A minor). Leading the
fifth (F#)to G#does not allow for the resolution of the seventh. Resolving the
I A minor)
~
seventh under these circumstances would result in a doubling of the leading
tone (in the event that the seventh is resolved to G#) or in the formation of a
chord containing both G# and ~h (in the event that the seventh is resolved to
Gb). Leading the fifth to G# while leaving the seventh in place would result in
I,#(or one of its inversions), which is practically not in use (see 18.5.5).
' T h e natural conclusion, therefore, is that the seventh ought to be resolved
w M e the fifth remains in place (to be resolved later - Ex. 857), or that these
tones should both be left in place (giving the seventh a passive resolution and
resolving the fifth later - Ex. 858).
322 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MELODIC MINOR SCALE 323

23.3.5.2.10 IVj 23.3.5.2.12 VI;

6
This chord appears mainly in first inversion (as Will) because of the Being a diminished-minor seventh chord, VIi# tends to be interpreted as 117
tendency to put the raised sixth tone in the bass. The seventh descends; the in minor (or VII, in major). The fact that it represents VI:# in minor is verified
third progresses to the leading tone in the next chord (Ex. 860), or at a later. by leading the root of the chord to the leading tone (Exs. 862, 863).
time.

EXAMPLE 862 Schubert: Piano Sonata. On. 7 R

EXAMPLE 860 Bach: Als vierzig Tag' nach Ostem

VIh -

EXAMPLE 863 Gounod: Faust

This chord is rarely used. It appears mainly in music of a neo-modal
character. Hence, the natural seventh tone included in this chord is not always
handled in accordance with the ductus of the melodic minor mode (Ex. 861).
V(;I)cannot represent the dominant, since it lacks a leading tone (see 25.2).

EXAMPLE 861 Desmond: Take Five

23.3.5.2.13 VII(T4,
This chord tends to be interpreted as V,, since it constitutes a major-minor
seventh chord. The chord G-B-D-F, for example, tends to be more readily
interpreted as V7 in C major (or C minor) than as VII& in A minor. Ascer-
taining that this chord belongs to A minor poses certain problems, since it
cannot be followed directly by a chord containing G# (to establish that it
belongs to A minor) or F# (whch would initially indicate that the chord G-B-
D-F is not in C major and subsequently - when the F# proceeds to G#- that
it belongs to A minor). The proof of tonality in this case must be founded on a
planned fixation of the chord - placing certain tones in the bass and in the
soprano (see 21.5.3) - and on careful planning of the melodic progressions in
the various voices (Ex. 864).
324 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
MELODIC MINOR SCALE 325

True, proving that the first two chords in Ex. 864 do not belong to C ma-
EXAMPLE 884
jor is not the same as proving that they d o belong to A minor. The chords G-
D-B-F and G-C-E-B may also be relegated t o D melodic minor, providing
the B progresses to C # and the C to Bb (Ex.865).

EXAMPLE 865

The tonal proof of the chord in question (G-B-D-F) is achieved in the

above passage (Ex. 864) in two stages:
a. proving that the chord does not belong to C major;
b. proving that it does belong to A minor.
It is only in the third chord of Ex. 864 that it begins to become apparent
The first stage of proof (a,) is established by virtue of the following facts, that the first two chords belong to A minor (the second stage of the tonal
which are partially linked with the specific fixation of the chord. proof). This is obtained by the fact that the B in the soprano moves to A rather
than to C (in the case of C major) or to C # (in the case of D minor).
1) PLACING THE ROOT OF THE CHORD IN THE BASS. The G-G
progression (leaving the G in place) is common in C major, in connection VIIbq)may also appear in connection with the tonicalization of III (similar
with the chord G-B-D-F, only in one of the upper voices (tenor, alto, or to VIIQy without a seventh), in which case the natural seventh tone is treated
soprano) but NOT IN THE BASS. The customary and characteristic bass freely (Ex. 866).
progressions, in connection with this chord, in C major, are: G-C, G-A, or G-
E - from the root of V, to the root of I, VI, or III. The fixation of the chord EXAMPLE 868 Schubert: Sonata for Piano and Violin, Op. 137, No. 3
(presenting it as a fundamental chord), then, which makes the G-G progres- Alleero moderato

sion possible IN THE BASS, serves as one of the factors indicating that the
chord at hand is not in C major.

2) PLACING THE THIRD OF THE CHORD IN THE SOPRANO. The tone B

tends in C major to progress towards C (regardless of whether the chord G-B-
D-F is resolved to I or to VI). The fact that B does not progress.to C raises
doubts as to whether the chord does in fact belong to C major, especially since
this B appears IN THE SOPRANO (we are much more sensitive to the IG minor) -
Wh' II\,q, VIIZkl I14,q)
irresolution of a leading tone in the highest voice than in an inner voice).

3) THE RESOLUTION OF THE CHORD. The fact that the chord G-D-B-F is
followed by the chord G-C-E-B also decreases the chances of these two
chords' belonging to C major. This is due to the fact.that the chord G-C-E-B
does not tend to be interpreted as I: (I, and its inversions are rather rare - see
18.5.6).

Let us now examine the second stage of the proof (b.).

326 HARMONY IN ITS SYSTEMIC AND PHWVOMENOLOCICAL ASPECTS MELODIC MINOR SCALE 327

23.3.5.2.1 4 V I I ~ ~ EXAMPLE 868

This chord creates a specific problem: the seventh must descend (being a
seventh) but on the other hand it must ascend (being a directional tone). A
passive resolution (leaving the seventh in place and resolving it later as a direc-
tional tone) is not feasible in this case, since the root of the chord as well con-
stitutes a directional tone which requires resolution. Leaving the seventh in
place and resolving the root results in a chord which contains a raised sixth
tone and a natural sixth tone - a chord not within the range of the chords
with which we are dealing at present (Exs. 867-a,b). 23.3.6 Modulation Using the Melodic Minor Scale
The melodic minor scale makes possible some very interesting and varied
EXAMPLE 867 modulations. Let us take, for example, modulations by means of a common
A a. b. chord, from C major to D minor. While the use of D harmonic minor places
one common chord at our disposal (II =I), the use of D melodic minor avails
us of seven such chords:
C major D melodic minor

The only resolution feasible (theorectically) is the simultaneous resolution

of both directional tones, while ignoring the resolution of the seventh as a sev-
enth (Ex. 868).

The fixation of a common chord which includes a directional tone requires

EXAMPLE 868 that certain factors - which do not exist in connection with chords without
directional tones - be taken into consideration. Any doubling of a directional
tone must be avoided and its predetermined melodic continuation must be
considered. Accordingly, it must be decided in which voice the directional
tone should appear (on the basis of the general melodic tendencies of the
voices).
As an example of a common chord of C major and D melodic minor, let us
take the chord C-E-G (I =VIIIh).The root is not doubled in this chord, since it
constitutes a directional tone in the target key. The possible doublings then are
either the third or the fifth. Before deciding on one of these, we ought to
23.3.5.2.15 VII$ decide which chord will follow the common chord.
In this chord it is the leading tone which must be resolved first. The In order to establish that the chord C-E-G is a common chord, we must put
seventh must remain in place, to be resolved later. as a directional tone after it a chord which includes at least one tone which does not appear in C
(Ex. 869). major. The possibilities (in the case of D minor) are Bb and/or c#.Since the
328 HARMONY IN I T S SYSTEMIC AND P H E N O M W O L O C i C A L ASPECTS

tone C in the common chord must progress to Bb (it is a directional tone in D

minor), the chords which might directly follow the common chord are IV6 or
114, (VI and VII,# are not very feasible, because of voice-leading factors). If the
common chord is followed by IV6 it is best to put the common chord in fifth
position with a doubled fifth12 (Ex. 870).

OF THE
MAJOR SCALE,
LOWERED
c major (I = VI$,u) D minor
SIXTH TONE
The practice of modulations from one minor key to another, using a com-
mon chord which includes a directional tone in the initial key and a direc-
tional tone in the target
- key, is both interesting- and beneficial. Let us take, for
example, a modulation from A minor to G minor, using the common chord
C-E-G (III(,h)=IVh)- Ex. 871. In this chord, the tone G is a directional tone in
the initial key, while the tone E is a duectional tone in the target key. In using
common chords like this one, both tones must be taken into account, each of 24.1 TO THE TEACHER
them having its own melodic tendency. This and the following chapters attempt to present altered tones as the out-
proving-that the common chord belongs to the initial key and later to the come of a transformational process provoked by the characteristic differences
target key is based on the principles presented in 21.5.4 and 21.5.5. between the major and pure minor scales (see 23.2).
Among the principles suggested for dealing with altered tones we find the
EXAMPLE 871 process of neutralization, partially discussed in this chapter. This process is
n I I I I I .
presented not only as a theoretical principle, but also as a musical matter tested
on the auditory level.

. A minor
I\

(I1Ish= tVb) G minor

/
24.2 THE PROCESS OF MINORIZATION
In the previous chapter, it was stated that one of the main generators of
altered tones is the contrast between the major and the pure minor scales. Ac-
cordingly, the harmonic and melodic minor scales (the last in ascension) may
l2 This position and doubling are proposed because of voice-leading factors. be regarded as resulting from the transfer of major elements (referring to the
raised sixth and seventh tones) to the pure minor scale. This process has as its
 H.iRMO.VY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
! LOWERED SIXTH TONE
1.
EXAMPLE 874 1. 24.3.2.2 IVb
This chord poses no particular technical problems (Exs. 877-883, 899).

EXAMPLE 877 Schumann: Nichts Schbneres, Op. 36, No. 3

'See Footnote 2. . I
IV Ilk 11, VIIjb IV, 11: VI Ivfb 11 Ivb

24.3.2 Specific Traits of the Various Chords

24.3.2.1 IISb
Being a diminished triad, this chord should be used in first inversion (Exs.
875, 876).

EXAMPLE 878 R. Strauss: Zueignung, Op. 10, No. 1

EXAMPLE 875 Schubert: Halt

EXAMPLE 878 Franck: Nocturne EXAMPLE 879 Schumann: Kinderszenen, Op. 15, No. 7
..
bent01 Poco piu lento Lento, con gran espressione

IC major)
'See 26.3.
 -
334 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SIXTH T O N E

EXAMPLE 880
A , Presto ,
Mendelssohn: Lieder ohne Worte, Op. 85, No. 3
- EXAMPLE 8 8 4
. .
Brahms: Violin Concerto. OD. 77
Alleero non trouuo h e .&A br 174 h 1 ha.

EXANIPLE 881 Bach: Herzliebster Jesu, was hast du

EXAMPLE 885 Grieg: Nocturne, Op. 5 4

Andante 2.-

I
'See 26.3.

EXAMPLE 882 Wolf: Zur Ruh, zur Ruh

, Lentissirno

EXAMPLE 8 8 6 Reger: Das Briiderchen, Op. 76, No. 53

EXAMPLE 883 Rimsky-Korsakov: A Song of India

Andantino

EXAMPLE 887 R e ~ e r Furchthdschen.

: OD. 76. No. 5 5

1v:'
24.3.2.3 VI,,
Being dissonant, this chord has a subdominant rather than a tonic shading.
Nonetheless, one should avoid doubling the root since it is an altered tone
(Exs. 884-887).
 LOWERED SIXTH TOONE
336 HARMONY IN ITS SYSTE~UIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 8 9 1 Schumann: Er, der Herrlichste von Allen, Op. 42, No. 2
24.3.2.4 II;, A , megro
This chord poses no particular technical problems (Exs. 887-893, 899).

EXAMPLE 8 8 8 Wolf: Schlafendes Jesuskind

Sostenuto

EXAMPLE 8 8 9 Wolf: In dem Schatten meiner Locken

, . Lemero, delicato. non presto

EXAMPLE 8 9 2 Beethoven: Symphony No. 1, Op. 21

Allegro con brio

EXAMPLE 8 9 0 Schubert: Der Striimische Morgen

EXAMPLE 8 9 3 Schumann: Piano Quintet, Op. 44

338 HARMONY IN ITS SYSTEUIC AND PHENOMENOLOGICAL ASPECTS LOWERED SIXTH TONE

24.3.2.5 IV: EXAMPLE 895

The minor-major seventh chord has appeared thus far only as I, in minor.
There was no point in elaborating on the latter, since I, in minor i s practically
not in use (see 18.5.5). O n the other hand, IVZ in major is quite useful. The.
seventh is not a leading tone (as is the case with I, in minor) and can be
resolved in the customary manner. It should be added here, however, that a
minor-major seventh chord (llke the augmented-major seventh chord) appears
mainly as a fundamental chord.3 It usually appears in seventh position and
generally acts as a kind of IIf or 11; with a nonchord tone, not unlike the EXAMPLE 896
unaltered IV, (Ex. 894).

EXAMPU 894 Bruch: Violin Concerto, Op. 26

24.3.2.7 VII,,
This chord may be used on the basis of the guidelines offered in connection
with VII, in minor (Exs. 897-899) - see 18.5.3.

EXAMPLE 897 Bach: Herr, ich habe missgehandelt

fi

The augmented-major seventh chord is already familiar to us from the

minor scale, where it appears as III, (see 18.5.4). The tonal significance of the
augmented-major seventh chord is reflected in its resolution. Following are
two resolutions of the chord Ab-C-E-G; in the first (Ex. 895), the chord in
question represents VI;b in C major, whle in the second (Ex. 896), it con-
stitutes III, in F minor. The augmented-major seventh chord usually does not
appear in its inversions (see 18.5.4). EXAMPLE 898 Schumann: Novellette, Op. 21, No. 4

In this connection, it should be noted that these two chords - the minor-major seventh
chord and the augmented-major seventh chord - manifest a more dissonant quality than the
other types of seventh chords. Both of these chords include an augmented fifth and a major
seventh (in the augmented-major seventh chord, the augmented fifth is created between the
root and the fifth, whereas in the minor-major seventh chord it is created between the third
and the seventh).
340 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SIXTH TONE

EXAMPLE 899 Schubert: Mass in E-flat major

24.3.3.3 DOUBLING

i
The lowered sixth tone must not be doubled (see 23.3.1.2), except in some
cases in which it constitutes the root of a major triad.

24.4 NEUTRALIZATION OF ALTERED T O N E S

Altered tones are foreign to the basic structure of a given mode (see 12.5),
and are liable to blur the tonal clarity and modal quality if suitable precautions
24.3.3 Treatment o f the Lowered Sixth Tone are not taken. Thus, a prolonged use of the lowered sixth tone, for example, is
liable to undermine in certain circumstances the major character of the major
24.3.3.1 ENTRY INTO THE LOWERED SIXTH TONE mode (Ex. 901).
The lowered sixth tone is usually entered chromatically from the natural
EXAMPLE 901
sixth tone. This chromatic progresscon constitutes a part of the melodic ductus
of a major mode, and can therefore play an important role in the process of
proving and clarifying tonality.
The following progressions are found as well (Exs. 900,a-c).

EXAMPLE 900
A a. b.
The cadential six-four chord in Ex. 901 does not sound as one would an-
ticipate, namely like a MINOR six-four chord en&ng the excerpt in C minor).
The appearance of such a major six-four chord, instead of a minor one, would
Entry into the lowered sixth tone from a tone with which it forms a disso- be rather disruptive (in a context of classical music5, for example) - because
nant leap - the second tone, the third tone, or the natural seventh tone - is of the appearance of Eh afier a rather prolonged Ab, i.e., because of a direct
rare. transition fiom a quite pronounced minor region to a major one.
T o make this transition less abrupt, one must follow a procedure which we
24.3.3.2 EXIT FROM THE LOWERED SIXTH TONE shall call neutralization of altered tones.
Every altered tone has a clearly defined melodic tendency: a raised tone
aspires to ascend by a minor second (it acts as a lealng tone to the tone which 24.4.1 Ways o f Neutralizing Altered Tones
succeeds it) while a lowered tone aspires to descend by a minor second. This Neutralization of lowered altered tones may be accomplished by two dif-
tendency is especially apparent when the altered tone is entered chromatically. ferent methods:
Thus, the lowered sixth tone usually descends to the fifth tone, particularly
when it is entered by chromatic progression. When the lowered sixth tone is a. by inserting neutral chords6 between the minor region and the major
not entered chromatically, the exit from it may also be to other tones - the region (see 24.4.2);
fourth or eighth tone (Ex. 899) - but not to the natural sixth tone4. b. by using raised altered tones - contrastive altered tones6 (see Chap. 26).'
-

Phenomena of this nature characterize some of the light music of recent years (especially
This progression is atypical of the melodic ductus relating to the set of tones at hand. It is light music of a modal quality).
found, however, in the framework of a broader set of tones - usually in connection with two This concept is proposed by the author.
chords, the second of which contains a raised fourth tone (see, for instance, Ex. 988, bar 9). ' A similar problem was presented in connection with the melodic minor scale (see 23.3.3).
342 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

24.4.2 Neutralization by Means of Neutral Chords

A neutral chord, in the present context, is one that includes no tones which
can be unequivocally attributed either to the major or t o the minor mode, i.e.,
one which may be associated with either of them. Such a chord can be a o r v,)
a VIIo,.
Let us now return to Ex. 901 and attempt a neutralization by inserting V,
between the Ab appearing in IIzb and the E in I, i.e., by taking out the 16,
MINORIZATION -
(Ex. 902)8.
LOWERED
EXAMPLE 902
SEVENTH TONE

T h e transition from Ab (in IIZb) to E (in I) is less abrupt in Ex. 902 than in
Ex. 901, although it is still not entirely satisfactory. The distance between the
two chords (IIib and I) is still too small. We shall try, therefore, to delay the
appearance of the E, mainly by attempting a prolongation of V (Ex. 903).
The smoothest and most convincing transition from the minor subdomi-
nant region to the major region appears in Ex. 903 (in comparison with the
25.1 TO THE TEACHER
other passages appearing in Exs. 901 and 902).This is due to the fact that the
total duration of neutral chords has been increased. Instead of a half bar in Ex. The present chapter deals with a further stage of minorization of the major
902, two bars of neutral chords appear in Ex. 903. scale, as well as with certain problems related to functionality.
The explanation of the functional significance of altered chords in the
EXAMPLE 903 framework of three functions only (tonic, subdominant, and dominant) neces-
sitates the expansion of the set of concepts related to functionality. Attempts
to depict the functional significance of altered chords by use of additional
"functions", such as altered mediant, submediant, supertonic, and subtonic have not

proven successful, as n o suitable functional frameworki has been proposed for

"he
I
r P --
--.-.---r
-

neutral chords
-

chords are in different metric positons because of a change in the number of chords
these "functions". O n the other hand, the notion chord devoid offunctionalgene,
with all it implies (the possibility that the context attributes a functional

' Referring to a functional framework in which the mediant, for instance, would appear
on a definite position on the syntagmatic axis - as does the subdominant, for example, in the
(Ex.902). functional framework based on tonic, subdominant, and dominant (see 4.1; 11.2, last
paragraph).
344 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SEVENTH TONE

quality to such a chord) seems apt to provide a suitable explanation of many

of the altered chords - within the framework of only three functions (tonic,
Allegro con brio -
EXAMPLE 904 Beethoven: Piano Sonata, Op. 53 n

subdominant, and dominant).

25.2 THE FUNCTIONAL GENE OF ALTERED CHORDS

Certain altered tones pose problems in regard to the functional interpreta-
tion of the chords in which they appear. In some chords the functional gene
remains unimpaired: subdominant chords, for instance (we have already seen
that a lowered sixth tone does not impair the subdominant gene - of the chords
in which it appears - see 24.3). There are, on the other hand, certain other
chords, in which the hnctional gene is liable to be impaired by certain altera-
tions. The chords most sensitive to alteration are those with a dominant gene.
The dominant quality of these chords may be damaged by certain alterations
- chiefly when these affect the fourth and/or the seventh tone of the scale.2
In certain cases, the functional gene of a tonic chord may also be impaired
by alteration.
A chord in which the functional gene has been impaired by alteration is a
chord devoid offirnctional gene.3 It is important to add that a chord devoid of
functional gene may assume IN CONTEXT a certain functional coloring,
without the functional characteristic existing in the chord in a genetic-potential
form. In this case, the surroundings grant the chord devoid of a functional
gene that primary functional characteristic which exists in chords not devoid
of functional gene.
- The only difference is that in the case of a chord devoid of
functional gene, this functional characteristic is not a constant feature of the
chord (it is likely to vary according to the context). The same chord that as-
sumes subdominant shading in one context may assume dominant shading in
another context.
Take as an example the chord Bb-D-F in C major (VII,b). Due to the
alteration of the leading tone, the dominant gene is impaired and the chord is
devoid of functional gene. The following excerpts (Exs. 904, 905) show, EXAMPLE 905
however, that the chord in question may assume certain functional colorings
through the influence of contextual factors.

Alteration of the seventh tone prevents the embodiment of the most decisive dominant
feature - inherent to the leading tone; furthermore, alteration of the fourth (and/or the
seventh) tone prcvents the formation o f a mtone - between the fourth and seventh tones -
which is one of the most characteristic features o f certain dominant chords (V, and VII) and
one of the most important factors in asserting tonality (see 4.5.1).
One must make a clear distinction between a chord devoid offunctional gene and a chord
devoid of functional sign;+nce (see 4.4.3).
346 H.iRMONY 1N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOll'ERED SEVENTH T O N E 347

W h l e in Ex. 904 the VIIIb tends to be heard as having a rather subdomi- 25.4.1.1 III,b
nant shading, the VII,b in Ex. 905 tends to be heard as having a dominant In principle, this chord can appear as a secondary dominant to IV (or IVb)
quality. (In the last example the III:~, following the VII,b, is heard as a tonic in - Exs. 907, 908 - but i t is nevertheless used only rarely. Being a diminished
C major - see 27.2, Exs. 954, 955.) triad, it must appear in first inversion (as a sixth chord). However, unlike
A chord devoid of functional gene may also assume&nctional significance, if other chords of its type (first inversions of other diminished triads) the chord at
the functional characteristic assumed from the context is REALIZED (as stated in hand almost never appears in fifth position, since in such a case the fifth is
20.2.1). customarily doubled, while in IIISb the fifth is altered, and consequently must
It should be noted that chords devoid of functional gene are more remote not be doubled (see 25.5).
from their respective keys, than are altered chords whose functional gene is not
impaired. The former sometimes appear in connection with tonicalization of
EXAMPLE 907
altered degrees, thus effecting a further expansion of the tonal system.

25.3 CHARACTERISTICS OF THE LOWERED

SEVENTH TONE
The lowered seventh tone fulfills a different role than does the lowered
sixth tone. While the lowered sixth tone generates chords possessing a defined
(subdominant) functional gene and, hence, also a relatively high degree of
tonal stability, the lowered seventh tone embodies more dynamic qualities. EXAMPLE 908 Brahms: Intermezzo, Op. 118, No. 2
Chords in which it appears are usually devoid of functional gene, as a result of Andante teneramente
which they possess a relatively low degree of tonal stablility.
One of the tasks of the lowered seventh tone is to divert the harmohic flow
to the major or minor subdominant region, usually by means of a secondary
dominant (see below).

25.4 CHORDS GENERATED BY THE

LOWERED SEVENTH TONE
25.4.1.2 Vb
25.4.1 The lowered seventh tone (and the lowered sixth tone) ~ i e l d seight
chords: three triads and five seventh chords Ex. 906). This chord is devoid of functional gene, for which reason it is rarely used.
It appears chiefly in connection with tonicalization, modulation, or wandering
chords (see 33.2) - Exs. 909, 968.
EXAMPLE 908

Doubling the third and omitting the fifth in this chord produce (due to specific contex-
tual conditions) an elegant voice ledding and euphonious sonority (Ex. 907).
348 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SEVENTH TONE 349
I
EXAMPLE 909
Andantino
Mendelssohn: Elijah Inusudy appears in connection with the idiomatic pattern I-I,~-IV$VII
I (or one of its variant^).^ This idiomatic succession, characterized by the ap-
!-
pearance of an organ point in the bass, is found mainly at the beginning of a
piece. (It constitutes a kind of opening pattern consisting of a deceptive func-
tional cycle prolonging the tonic - Exs. 914-917).

EXAMPLE 912 Chopin: Mazurka, Op. 7, No. 2

vivo ma non Goppo
.--. 1-

25.4.1.3 VIIIb
This chord is also devoid of functional gene. It appears primarily in
connection with sequential progressions (Exs. 904, 910).

EXAMPLE 910 Reger: Variations, Op. 132a (fmt piano part)

EXAMPLE 913 Chopin: Mazurka, Op. 17, No. 1

This chord is the most useful of the chords presented in Ex. 906. Despite
the fact that it is altered, dissonant, and used mostly as a secondary dominant
of IV (or IVb) - Exs. 912-923 - this chord retains its tonic gene, especially
when it appears at the beginningS of a functional cycle (or of a deceptive I A. The chord of this pattern, in fact, constitutes chordal strata of I and VIIn
(see 36.2), although it is represented symbolically as a fourth inversion of VIITb.
functional cycle). B. This idiomatic pattern rarely appears in minor (see Ex. 911).

One must differentiate between a tonic appearing at the end of a functional cycle, which
must be represented by a consonant chord, and a tonic appearing at the beginning of a func-
tional cycle; the latter can also be represented by certain dissonant chords, such as 1%.(By con-
sonant chord - in relation to the tonic appearing at the end of a functional cycle - we do not
necessarily mean a chord which contains no dissonant intervals; what is meant here is that the
chord must sound consonant in its context. In jazz,for instance, the tonic chord at the end of a
functional cycle generally sounds consonant, although it often contains dissonant intervals.)
350 H.-IRMONY IN ITS SYSTCUIC AND PHENOMENOLOGICAL ASPECTS LOWERED SEVENTH TONE 351

EXAMPLE 9 1 4 Schurnann: Piano Quintet, Op. 44 Among the inversions of I, , the third is most common (Exs. 918-923). This
chord (13) usually appears in the following pattern: I-V6-I:b-IV6 (Exs. 921-
923).
EXAMPLE 9 1 8 Beethoven: Piano Sonata, Op. 2, No. 2

EXAMPLE 9 1 5 Mozart: Piano Sonata, K. 332

i EXAMPLE 9 1 9
Animato
Dvoiak: Legenden, Op. 5 9 , No. 4

EXAMPLE 9 1 6 Mozart: Piano Concerto, K. 488

., Allem0
I:b

EXAMPLE 9 2 0 Gluck: Le cadi dupe

EXAMPLE 9 1 7 Mozart: Symphonie concertante, K. 364

Allegro mae>toso-

EXAMPLE 921 Beethoven: String Quartet, Op. 18, No. 2

352 HARMONY IN ITS SYSTUMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SEVENTH TONE

EXAMPLE 922 Beethoven: Piano Sonata, OD. 53 EXAMPLE 924

Allegro con brio

EXAMPLE 9 2 5

The passage presented in Ex. 924 sounds more natural and more convincing
than that in Ex. 925, mainly because the former is continued on the basis of D
minor - the key in which the chord E-G-Bb-D is most apt to be perceived by
EXAMPLg 923 Schubert: Piano Trio, Op. 99 . . virtue of its structure. Accordingly, III$ usually assumes the role of secondary
subdominants of II (Exs. 926, 927), but may appear in other contexts as well
(Ex. 928). 4
III$ usually appears in second inversion (as III:,), thus making possible the
presentation of the lowered seventh tone in the bass (Exs. 924-928).

. .,
EXAMPLE 9 2 8
..
Schumann: Widmung, Op. 25, No. 1

25.4.1.5 IIIib
This chord may theoretically act as a secondary dominant of IV (patterned
on the chord succession VI1,-I). However, since it constitutes a diminished-
minor seventh chord, it tends to be interpreted as 11, in minor (see 18.5.2). The
chord E-GBb-D, for instance, tends to be heard as 11, in D minor (Ex. 924), ' This progression (GC) seems more logical in C major than the progression G-F
rather than as a secondary dominant of IV in C major (Ex. 925). (Ex.925).
See 31.5.
a c s
P p r H Cn
,e&+ P
E 8 gg g
2 g 0 ,
a y&o $m FM S
g a s. fs*
J o n "
2 Z . O2 e
ci Z, sa
g".- 2
- P 2.
a
"%E!o,2.
.,
0 -
z-gg3 "Z l
=1
O o ti, a.
eS-g g
3.2 ", e
,gM " "2 "r n
8 g, g"z
n -
-g. g g g
T a Z'
g! a8
'-',"

0 5. "
Ern a
356 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 932

USING 'RAISED
25.4.2 Of those chords which are devoid of functional gene, the most useful
FOURTH TONE
are major and minor triads. The seventh chords are rare, with the exception of
major-minor seventh chords and diminisheddirninished seventh chords which I N MAJOR
do appear - mainly as secondary dominants.

25.5 TREATMENT OF THE LOWERED SEVENTH TONE

The lowered seventh tone may be entered from any tone with which it
does not form a dissonant leap.1° However, the most typical entrance to this
26.1 TO THE TEACHER
tone is by a chromatic progression or a descending major second, i.e., from the
natural seventh or the first tone of the scale. W e stated in Chap. 24 that neutralization of lowered altered tones may be
The exit from the lowered seventh tone is usually by a descending second, achieved by using raised altered tones - contrastive altered tones.' This type of
i.e., to the natural or lowered sixth tone. In the case of tonicalization or neutralization - resulting from the need to maintain tonal equilibrium -
wandering chords (see 33.2), the lowered seventh tone may also be led to the represents a self-regulating process of the tonal system (in a purely structuralistic
leading tone - by chromatic progression (Exs. 968, 988). sense).
The lowered seventh tone must not be doubled, except in cases in which it The introduction of lowered sixth and seventh tones into the major scale
constitutes the root of a major or minor triad (Exs. 904, 910). constitutes a transformation which causes a certain disequilibrium. The "self-
adaptation" of the tonal system to this disequilibrium is generally achieved by
neutralization (a kind of regulating process) resulting in the introduction of
contrastive altered tones into the major scale.'
One of the most useful and effective contrastive altered tones is the raised
fourth tone, discussed in the present chapter (see also 28.1).

See 24.4.1.
For didactic reasons, only the raised fourth tone will be discussed in this chapter. Exam-
ple 933, also containing raised altered tones other than the raised fourth tone, is presented only
to demonstrate the principle of neutralization in a more general scope. (Almost any tonal
composition can serve to illustrate the principle of neutralization, providing it indudes altered
'O Although the lowered seventh tone in Ex. 910 is entered by a diminished fifth, this does tones and providing we relate to the principle of neutralization in its full scope and signifi-
not have any adverse effect, due to the sequential and somewhat modal nature of the passage. cance - see, for instance, 34.3.2.6).
358 HrlRMONY 1N IT.< SYSTl341C AND PHENOMENOLOGICAL ASPECTS NE\rEL;'rRALIZATlON USING RAISED FOURTH T O N E IN MAJOR 359

26.2 NEUTRALIZATION BY MEANS OF CONTRASTIVE The tones F#, c#,and G#, which constitute raised tones in C major (Ex.
ALTERED TONES 933), neutralize the lowered tones Eb and Bb. One can assert that these
altered tones appear in connection with tonicalization of tones other than C -
W e observed in Chap. 24 that lowered altered tones are liable under cer-
namely G, D, and A. This statement, however, in no way contradicts the fact
tain circumstances to upset the tonal balance if they are not neutralized (see that the altered tones in question also relate to a main key - C major.
24.4). T w o methods of neutralization were mentioned in 24.4.1: by means of Altered tones neutralizing other altered tones - as explained above - will
neutral chords (a.); by means of contrastive altered tones (b.).
henceforth be called contrastive altered tones.
It is worth noting that neutralization by means of contrastive altered tones
represents a broader principle - applying not only to lowered altered tones
but also to raised altered tones. (The latter as well are liable to upset the tonal 26.3 RAISED FOURTH TONE IN MAJOR
balance.) This principle may be formulated as follows: LOWERED ALTERED
TONES CAN BE NEUTRALIZED BY RAISED ALTERED TONES AND VICE VERSA -
The altered tone most suitable for neutralizing lowered altered tones is the
RAISED ALTERED TONES CAN BE NEUTRALIZED BY LOWERED ALTERED TONES
raised fourth tone. This tone, which effects a hypermajorization of the major
(Ex. 933). scale (rendering its intervalic structure similar to that of the Lydian mode) can
effectively neutralize minor elements which evolve from the use of lowered
tones (Exs. 879, 881, 884, 908, 914, 926, 927, 935-938, 943-945, 951).
EXAMPLE 933 Schumann: Piano Sonata, Op. 22
Andantino It is worth mentioning, however, that the raised fourth tone does not ap-
pear only in the role of a contrastive altered tone; some of the musical excerpts
included here illustrate it in other circumstances (Exs. 940-942, 947, 948,953).

26.4 CHORDS GENERATED BY THE

RAISED FOURTH TONE4
The use of the raised fourth tone yields seven chords: three triads and four
seventh chords (Ex. 934).

EXAMPLE 934

26.4.1 Chords Whose Functional Gene

Is Not Impaired - I1'#7', IV'$
Among the chords resented in Ex. 934, those whose functional gene is not
impaired by the alteration of the fourth tone are I I ' ~and IV$. These chords

The modal balance discussed in 23.3.3 constitutes a specific example of this principle. ' Without the use of lowered tones.
 NEUTRALIZATION USING RAISED FOURTH T O N E IN MAJOR
360 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 938 Schumann: Seit ich ihn gesehen, Op. 42, No. 1
usually assume the role of a secondary dominant to V (IF$)relates to V as V to Larnhettn
I; IV'$ relates to V as VII to I).5
The raised fourth tone generally appears in the bass. As a result, usually 15'
appears in first inversion - as 1; (Ex.935, 936, 940, 941) while IViI usually
appears as a fundamental chord6 (Exs. 937-939, 942).

EXAMPLE 935 Schubert: Im Dorfe

. Poco lento

EXAMPLE 937 Mozart: Reauiem

EXAMPLE 938 Schumann: Helft mir, ihr Schwestem, Op. 42, No. 5
. Presto .

. .

The V is often preceded by 1:.

The raised fourth tone does not appear in the bass in connection with IV,#without a
seventh, since this chord (being a diminished triad) usually appears in first inversion (Exs.947,
948).
366 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS NEUTRALIZATION USING RAlSED FOURTH TONE IN MAJOR 367

26.5 TREATMENT OF THE RAISED FOURTH TONE EXAMPLE 953 Mozart: Piano Concerto, K. 488

26.5.1 Entry into the Raised Fourth Tone

The raised fourth tone is usually entered from the natural fourth tone, i.e., .
by a chromatic progression (Ex. 952,a), although it may be entered from other
tones as well (Exs. 952,b-e).

EXAMPLE 952
a. b. C. d. e. f. 9.

The progression in Ex. 952,e is generally used as a diminished fifth (not as

an augmented fourth) in the bass.
The progressions in Exs. 952-f,g are almost nonexistent. The raised fourth
tone usually functions as a kind of leading tone to one of the tones of the subse-
quent chord. As a result, any ascending leap into it (Ex. 952,f) is usually
avoided (see 23.3.1.1.1).
A leap from the leading tone to the raised fourth tone (Ex. 952,g), on the
other hand, might upset the tonality completely.

26.5.2 Exit from the Raised Fourth Tone

The most common exit from the raised fourth tone is to the fifth tone (Exs.
936-943, 945, 947).
In certain instances, however, the raised fourth tone progresses to the
natural fourth tone, contrary to its natural inclination. This usually occurs
when the natural fourth tone constitutes the seventh of V, (Exs. 944, 950, 953)
or one of the tones of a diminisheddiminished seventh chord (Ex. 951) or a
diminished-minor seventh chord (Exs. 946; 990, bars 24-25).
In these cases, the raised fourth tone is usually entered from the fifth tone.

26.5.3 Doubling
The raised fourth tone must never be doubled.
 MINORIZATION REACHING THE MINOR SCALE 369

a. modulations to keys which are in the descending direction of the cycle

of fifths, by using an altered chord in the initial key - such as from C major to

I L ( MINORIZATION Db major by means of the chord Ab-C-~b( IV$ = V );

b. modulations in the ascending direction of the cycle of fifths, by using
an altered chord of the target key - such as from C major to B major by
REACHING THE means of the chord G-B-D ( V = VI:~);
c. modulations in both directions of the cycle of fifths, by means of a
chord which is altered in both keys - such as a modulation from C major to
MINOR SCALE Gb major by means of the chord Ab-C-Eb ( v I : ~ = I I ~ )or~ from C major to F#
major by means of the chord D-F#-A (II#=vI:\)'.

27.2 REMOTE FUNCTIONAL CYCLE

The expansion of the spectrum of altered tones necessitates a further
broadening of the set of concepts associated with functionality.
In this regard we shall now present a new concept: remote functional cycle2
(or deceptive remote fitnctional cycle, as the case may be).
The above concept refers to a functional cycle which includes altered
chords, one of which - representing a given function - undergoes a process
of tonicalization. This chord is, therefore, interpreted in two different ways: as
a momentary tonic in the key represented by its tonicalization, and as a
27.1 TO THE TEACHER representative of another function (or tonic - Exs. 905, 954) in the main key.
In a remote functional cycle at least two functions are represented by
The present chapter deals with the lowered third tone, which creates the altered chords (Exs. 905, 954, 956).
most marked stage in the process of rninorization.
In order to illustrate the material treated in this chapter w i t h as broad a
stylistic spectrum as possible, we have included songs of Gilbert B~caudand
Francis Lai along with excerpts from Mozart and Beethoven. A comparative
study of these examples will show that the theoretical framework presented in
connection with the material at hand is not restricted to any particular style
(classical or romantic music, for example), but rather expresses some structural
characteristics of the tonal system.
It should further be mentioned that the chords discussed in the last four
chapters enable the realization of modulatory processes to keys further than
those which might have been reached until now. These modulatory processes
may be achieved by using another type of common chord - the altered "com-
mon" chord. The use of an altered common chord enables the execution of the
following modulations: This modulation requires the use of the raised fourth tone.
This concept is proposed by the author.
370 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS M1,VORlZATlON REACHING THE MINOR SCALE 371'

The first four chords in Ex. 954 constitute a deceptive remote functional particular case3 as a tonic in C major, then Eb-G-~b acts as a dominant in C
cycle in C major. In this functional cycle the fourth chord - which is an major - even though it is devoid of functional gene in this key because of the
altered chord in C major - is tonicalized ( ~ major).
b As a result, this chord alteration of the leading tone.)
may be regarded as acting in two different ways at the same time: as I (i.e., the We shall try to clarify this issue further, using the harmonic sentences
tonic in ~b major) and as VI$ (which assumes a tonic shading in C major). presented in Exs. 955,ad, which illustrate various ways of representing the
O n the basis of the equation: tonic of ~b major = tonic of C major3, we functional cycle T-SD-D-T.
tend to hear the chord ~ b - G - ~ as b a dominant in. C major, among other
Example 955,a constitutes a basic ("kernel") sentence representing the
things. (If E ~ - G - Bis~ a dominant of Ab major and if Ab major acts, in this
functional cycle by means of main degrees. Each of the following sentences
(Exs. 955,b-d) represents a definite stage of a transformational process, which
EXAMPLE 955
may plausibly demonstrate the relationship between the first four chords of
Ex. 954 and the basic sentence (Ex. 955,a).
The first transformation (Ex. 955,b) consists of substituting VI for the final
I of Ex. 955,a. The second transformation (Ex. 955,c) consists of replacing the
V of Ex. 955,b with III, while the last transformation (Ex. 955,d) clearly repre-
sents the respective replacement of the IV, In, and VI of Ex. 955,c by IVb, III;~,
and VI$. (The latter three chords appear in Ex. 954.)
The case represented by the following excerpt (Ex. 956) is somewhat more
complex.

EXAMPLE 956 Schubert: Auf dem Flusse

. Lento

ID! minor: 'd

\v s.
I
I U
I

I
b s
I

I
I
"I. I

'
This explanation takes into account specific contextual factors; one must, therefore, be
wary of applying it to other cases.
372 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS M1,VORIZATIO.V REACHING THE MINOR SCALE

The D# triad in bar 8 - constituting in E minor an altered chord which EXAMPLE 958
has undergone a process.of tonicalization - represents, in the framework of a
remote functional cycle, the dominant of E minor. (This dominant is
prolonged by a V of E minor in bar 9.) Accordingly, the minor six-four chord
and the major-minor seventh chord on A# (bars 5-7) - which constitute the
dominant of D# minor - represent the subdominant of E minor (Ex. 956).

27.3 CHARACTERISTICS OF THE

LO'WERED THIRD TONE
The lowered t h r d tone gives the major scale a more definite minor quality
than that created by the lowered sixth and seventh tones. The use of this tone
27.4.1 Ib
(in addition to the lowered sixth and seventh tones) provides the major scale
with tonal material which is almost4 identical to that of the melodic minor This chord usually serves to reflect clearly the contrast between major and
scale. The tones given in Ex. 957, for instance, appear both in C major minor. This contrast is generally expressed by an immediate repetition of a
(minorized) and in C melodic minor.4 The difllerence between these two scales major motif (or another unit) in the minor version (Exs. 959-962).
is manifested mainly in the melodic ductus of each of them (especially in the
way altered tones are treated).
EXAMPLE 959 Schubert: Moments musicaux, Op. 9 4 , No. 1
Moderato
EXAMPLE 957

27.4 CHORDS GENERATED BY THE

LOWERED THIRD TONE
The addition of the lowered third tone to the lowered sixth and seventh EXAMPLE 960 Mozart:Piano Sonata, K. 3 3 2
Allemo
tones paves the way for the formation of thirteen chords: five triads and eight
seventh chords (Ex. 958).

'
The third tone which forms a major third with the first tone of the scale does not appear
in the melodic minor scale.
374 H.<R;\IO.VY 1.V ITS SY.STEUIC AiVD PHEh'OMENOLOGICAL ASPECTS MINORIZATION REACHING THE MlNOR SCALE 375

EXAMPLE 981 Beethoven: Piano Sonata. OD. 53 The presentation of Ib in proximity to It\, under circumstances other than
the reiteration of a major motif in the minor version usually involves a process
of neutralization, to soften the clash between major and minor (Ex. 963).

EXAMPLE 963 Beethoven: String Quartet, Op. 18, No. 1

The Is in bar 9 (Ex. 963) involves two processes of neutralization:

a. to avoid a clash between it and the C major section preceding it;
b. to avoid a clash between it and the C major section following it.
The first process of neutralization (a.) - bars 7-8 - applies the method of

Larghetto -
EXAMPLE 962 Beethoven: Symphony No. 2, Op. 36 neutral chords (see 24.4.1, a.) by using VII. In this connection it should be
noted that the pause in bar 8 plays an important role. During this pause we still
hear5 the neutral chord (VII) which appeared in bar 7 . Thus, the pause
prolongs the effect of the neutral chord and, thereby, intensifies the process of
neutralization.
The second process of neutralization (b.) - bars 11-12 - exploits the
method of contrastive altered tones (see 24.4.1, b.). While the F# in bar 11
behaves somewhat l h e Gb (it progresses to Fb), the ~b in the following chord
acts like D# (it progresses to Eb) - hence acting as a contrastive altered tone,
as it were (a raised second tone - see 27.5).
The following passage (Ex. 964) further illustrates the use of a pause as a
means of intensifying the process of neutralization. The pause in bar 4
prolongs in one's mind5 the neutral tone G which appears in bar 3, thereby
increasing the distance between the Irh,in bar 3 and the Ib in bar 5.

' This is another instance of additive hearing.

376 . HARMONY liV ITS SYSTEMIC AND PHENOMENOLOGICAL A S P E C T S MINORIZATION REACHlNC THE MINOR SCALE

EXAMPLE 964 Schubert: Die Post

Presto ma non troppo
This chord appears mostly in connection with processes of tonicalization
(Ex. 967, bars 3-6) and in connection with wandering chords7 (Exs. 967, bar 7;
968, bar 6).

EXAMPLE 967 Schumann: Der ~ i m m dhat eine Thrange geweint, Op. 37, No. I
. Semolice

27.4.2 HI,,
This chord acts in a manner similar to that of 111 in minor. However, IIIIb
is less often used (Exs. 965, 966).

EXAMPLE 965 Tchaikovsky: The Swallow

Allewo moderato

EXAMPLE 966 Havdn: Aria from Paisiello's La frascatana'

See Pootnota 6.
I116b

The reader interested in derails regarding the origins of this excerpt (Ex. 966) is referred
to Joseph Haydn, Arien fiir Sopran, Haydn-Mozart Presse, No. 81A, Preface. ' See 33.2.
378 H.iRMO.VY IN ITS SYSTEMIC AND PHENOMEh'OLOGICAL ASPECTS M1,VORlZATION REACHlNG THE MINOR SCALE

EXAMPLE 968 Schubert: Moments musicaux, Op. 94,No. 1

111:l- ' I IV- v- I

The following passage (Ex. 969) illustrates III$ in connection with a broad
process of tonicalization.

EXAMPLE 969 Schubert: 'String Quintet, Op. 163

Allemo ma non troppo

27.4.4 VI,,
This chord appears mainly in first inversion (as VIf ) since it constitutes a
diminished triad. From the point of view of its structure it could constitute a
secondary dominant of VIIlb, but the latter does not generally lend itself to
tonicalization by means of its dominant (see Exs. 904, 910). VI,b appears, then,
in circumstances other than that of a secondary dominant of VIIlb (Ex. 970).

EXAMPLE 970
 H.4RMONY 1,V ITS SYSTEMIC A N D PHENOMENOLOCICa4L ASI'ECTS MINORIZATION REACHING THE MINOR SCALE

27.4.9 1112
This chord appears primarily in sequential passages (Exs. 975, 989, 991).
Example 976 illustrates it in a different context.

EXAMPLE 975 Mozart: Piano Sonata, K. 332

Allegro

EXAMPLE 978

II + etc. II

IV,b has gained particular distinction in the blues. It appears there in an a-b-a
pattern, between I and I, thereby assuming a fairly definite idiomatic character
(Ex. 979).
EXAMPLE 976

EXAMPLE 979 Handy: The St. Louis Blues

27.4.10 IV7,
O n the basis of what has been said regarding VI,, (see 27.4.4) one may
conclude that IV,,, is rarely used as a secondary dominant of VII ,b . The chord 27.4.11 lvlb
in question usually precedes one of the forms of IIi;L or I V (Exs.
~ ~ 977, 978). This chord appears mainly in sequential passages (Exs. 975, 989-991).
3 84 H.+RMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS MINORIZATION REACHING THE MINOR SCALE 385

27.4.12 VI;, 27.4.13 V I ~

This chord, being diminished-minor, tends to be heard as 11, in minor (or This chord is less useful than V I : ~(without the seventh). It appears mainly
VII, in major). The chord A-C-~b-G, for instance, tends for reasons of its in sequential passages; consequently, the fifth is often omitted9 (Exs. 975,989-
structure to be heard as II, in G minor (Ex. 980) or as VII, in ~b major 991).
(Ex. 981), rather than VIib in C major. The fact that the chord at hand
belongs to the key in which it is supposed to represent VIib is best proven by
following it with a chord which contains a lowered sixth tone reached 27.5 TREATMENT OF THE LOWERED THIRD TONE
chromaticallys (Ex. 982). The lowered t h r d tone is a static tone (by virtue of its being the third tone
of the scale) despite the fact that it is altered. As a result, its melodic treatment
EXAMPLE 9 8 0 and its treatment with regard to doubling- are freer than those accorded to the
-
other altered tones. It may be entered from and exited to almost any tone (ex-
cept those with which it forms a dissonant leap).
Nonetheless, a progression from the lowered third tone to the natural third
tone (Exs. 963, 971, 976, 979, 983) may seem somewhat surprising, since it
contradicts the basic melodic tendency of lowered altered tones (lowered
tones tend to descend by a step, so that the lowered third tone should progress
to the second tone and not to the natural third tone). This also raises the ques-
tion of whether the lowered third tone, when progressing to the natural third
EXAMPLE 9 8 1 tone, should not be notated as a raised second tone. From a melodic stand-
point, this progression constitutes a borderline case and the verdict regarding
notation should be based on HARMONIC considerations.

-
VII,
In the next passage, for instance (Ex. 983), the situation is clear. The use of
AH (raised second tone) rather than ~b (lowered third tone) would distort the
harmonic significance of the chord in bar 2.

EXAMPLE 9 8 3 Rimsky-Korsakov: A Song of India

Andantino
EXAMPLE 9 8 2

See 24.3.3.1. See 18.6.

386 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL A S P E C T S MINORIZATION REACHING THE MINOR SCALE 387

The following examples (Exs. 984-986) represent less clear-cut situations. 27.6.1 In the following passage (Ex. 987) a process of minorization begins
The notation presented in Ex. 984,a is incorrect (that presented in Ex. 984,b with the appearance of IV:? in bar 2 (see 28.2.2.1)." This process gradually
is the correct one). In Ex. 985 both notations are correct even though two expands, the lowered tones appearing one after the other: Ab (lowered third
different chords are theoretically created (IV,b in Ex. 985,a; 116,~ in Ex. tone) in bar 4; ~b (lowered sixth tone) in bar 5; IV$ again in bar 6; a
985,b). The notation presented in Ex. 986,b is preferable to that presented lowered seventh tone (Eb) in bar 7, repeated in bar 10. The process of
in Ex. 986,a. minorization reaches a climax in bar 11, with the appearance of Gb (lowered
second tone - see Chap. 29).
A process of neutralization is carried out by the F# in bars 7-8 and the Bh's
.a.
EXAMPLE 984
b.
in bars 2,6,7,9. (These raised first and fourth tones act as contrastive altered
tones.)

EXAMPLE 987 Brahms: Svmuhonv No. 3. OD. 90

EXAMPLE 985
A a. b.

. a.
EXAMPLE 986
b.

27.6 FURTHER EXAMPLES OF MINORIZATION

AND NEUTRALIZATION
We shall conclude this chapter with several examples illustrating the 'O Symbolic presentation of the chords is in accordance with the key of the piece (not in
material presented in the last four chapters (Exs. 987-991). accordance with C major).
 388 HARMONY I N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MIMORIZATION REACHING THE MINOR SCALE
1

I
27.6.2 The following passage (Ex. 988) also illustrates a process of minoriza- EXAMPLE 989 Mozart: Piano Cancerto, K. 453
tion, using the chords discussed in the last four chapters. A process of Allegro

neutralization is achieved by introducing a raised fourth tone in bar 9.

EXAMPLE 988 Beethoven: Symphony No. 1, Op. 21

Allegro con brio

(D major)

27.6.3 The following three passages (Exs. 989-991) illustrate minorization

processes mainly based on harmwic sequences, using altered seventh chords
7 7
(1vZb-VII:~-111;t-VI; t ) . I 1 Also worth mentioning is the appearance of a raised
fourth tone in each of the three excerpts. This raised fourth tone acts mainly as
a contrastive altered tone carrying out a process of neutralization.

" The symbolic presentation of the chords mentioned is in accordance with C major.
 392 H.~RMONY
IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

With regard to neutralization, let us dwell for a moment on the song of

, Bkcaud (Ex. 991). Neutralization is based here on the two methods mentioned
1
I
in 24.4.1, i.e., on the use of neutral chords and on the use of contrastive altered
tones. While the former method is achieved by prolonging the V in bars 23-
24, the second one is carried out by the use of a raised fourth tone - Bh- in
/ 1
bar 22. This Bh appears for the first time in I v (bar
9b
the second time in 117 (bar 22, lower staves).1°
~ 22, upper staves) and for
USE OF RAISED
4
W e should like to mention an additional point concerning BCcaud's song:
j
I
the harmonic variants which appear in the second part (bars 9-24). In bars 9-
10 the chord succession in the first time (upper staves) is IV-V. In the repeti-
FOURTH TONE AND
tion, however (lower staves), a different chord succession appears: 11,-V,. A
LOWERED TONES
I similar variant also occurs in bars 22-23. In the first instance (upper staves) the
chord succession is IV$-v:,
II;~-V:_~. lo
, while in the second instance (lower staves) it is

Once again, we observe that the bass having the lesser harmonic value (a

! stepwise progression) appears earlier, i.e., the first time (upper staves: bars 9-10
- IV-V; bars 22-23 - 1~::-v:-,), and that the bass having the greater har-
monic value (a leap of a fourth) appears later, i.e., the second time (lower
9b
staves: bars 9-10 --11,-V,; bars 22-23 - 11: -V:-3).
It is worth noting at this point that hardonic variants of this type, which
do not always receive the attention they merit, are often of the utmost strut-
) turd importance.
28.1 TO THE TEACHER
In this chapter we shall continue to demonstrate the formation of important
new chords in the light of a basically self-generative process.
So far we have demonstrated a transformational process in the major scale
(minorization, introducing the lowered sixth, seventh, and third tones) as well
as a self-regulating process (neutralization, introducing the raised fourth tone -
see 26.1). The above-mentioned lowered tones and the raised fourth tone have
thus far been treated separately and have not appeared in the same chord. In
this chapter, we shall deal with the simultaneous use of both.
This methodological procedure - consisting of the simultaneous combina-
tion of altered tones which had until now appeared only separately - results,
among other things, in the chords which are known as chords with an augmented
sixth. Chords with an augmented sixth are thus presented as a phenomenon
created basically by a self-generative process of the tonal system, i.e., a
phenomenon which is the self-requisite outcome of a,process of transformation
(minorization) and self-regulation (neutralization).
394 H.-IR;UONY 1.V ITS SYSTEMIC A N D PHENOMENOLOGlCAL ,4SPECTS SIMULTANEOUS USE OF RAISED FOURTH TONE A N D LOWERED TONES 395

It should be added that the number of chords with an augmented sixth ob- Most of the above chords (Ex. 992) manifest a relatively high degree of
tained by the simultaneous joining of lowered tones and a raised fourth tone in tonal clarity and stability2, due to the fact that the neutralization of the
major, or by the use of a raised fourth tone in minor', is greater than that lowered tones by a raised fourth tone is realized within the chords themselves.
customarily attributed to this group of chords in other books on harmony. The Thus, most of the chords in quesaon2 can be used without endangering tonal
famous opening chord of Tristan und Isolde, for instance, which we shall discuss equilibrium.
here (see 28.2.1.2.1), is not usually presented in the framework of chords with The chords presented in this chapter do not involve principles other than
an augmented sixth (as. an INDEPENDENT CHORD). those already presented (i.e., chord succession, correct treatment of altered
tones, etc.).
The musical examples included in this chapter illustrate the use of the
chord; treated here in both major and minor keys. In the paragraph headings,
however, the symbolic presentation of the various chords is in accordance 28.2.1 Chords with a Diminished Third
with the major scale only (C major). (or an Augmented Sixth)
Chords in which a lowered sixth tone and a raised fourth tone appear, con-
tain a diminished third or an augmented sixth. These chords are: 112,
'Ib 7b I#'
16'
28.2 CHORDS GENERATED BY THE RAISED IV;$, V I I ~and
~ , VII;!.
FOURTH TONE AND LOWERED TONES
Simultaneous use of the raised fourth tone and the lowered sixth, seventh,
and/or third tones inmajor produces eleven chords: three triads and eight 28.2.1.1 CHORDS WITH A SUBDOMINANT GENE;
THE MAIN CHORDS WITH AN AUGMENTED SIXTH:
seventh chords (Ex. 992).
"ITALIAN SIXTH CHORD", "GERMAN SIX-FIVE CHORD",
"FRENCH FOUR-THREE CHORD"
EXAMPLE 992
O f the chords which include a diminished third, the most useful are ;hose
whose hnctional gene is not impaired following alteration - i.e., the sub-
dominant chords ( I , I ' and I d b).
$ '#'
These chords usually appear with tfe ~ . o w r m s~xmTO EI IN THE aass.
i.e., in the following inversions: I I in
3 7 ,
~ second inversion (as II;J; II5b in second
61 #
inversion (as 11: ); IV!# in first inversion (as IV~!); 1V7b in first inversion (as
6# 7b 6E I#
IVg ); mb inIbfirst inversion (as IV;:).
Each oi'the above five chords contains an AUGMENTED SIXTH created
between the bass and the raised fourth tone - appearing in one of the upper
voices. This augmented sixth (which sounds enharmonically like a minor
All of the chords given in Ex. 992, except I d # , also appear in C minor in seventh) gives the chords in which it appears a particular character; as a result,
which a raised fourth tone is introduced.' (These chords follow in minor the these. chords have been labeled chords with an augmented sixth.
same rules which apply to their use in major.)

A raised fourth tone is quite often introduced in minor. In some instance. this tone also With the exception of those chords in which the functional gene is impaired by altera-
acts as a contrastive altered tone - neutralizing a lowered second tone (Ex.1014) or a lowered don (referring to V i r , to V I I : ~ , to VII;:, and to ~ 1 1 8 ) .
fifth tone. A natural sixth tone in minor.
396 HARMO.VY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS
/ I l M l i L T l N E 0 U . S USE OF RAISED FOURTH T O N E A N D LOWERED T O N E S

Three of the five chords in question (the most useful of them) have been 28.2.1.1.2 1V;p"
given special designations: I V ; ~- augmented sixth chord (also "Italian sixth
a# an As stated above, t h s chord appears mainly in first inversion - as an
chord"); IV;i - augmented six-five chord (also "German six-five chord"); 11:
augmented sixth chord. The best doubling would be that of the fifth, since the
- augmented four-three chord (also "French four-three chord"). lb .
other tones are altered (Exs. 995-1000).
The chords at hand also appear in inversions other than those mentioned
Examples 995,a-f illustrate several continuations following IV$.
above, i.e., with the lowered sixth tone not necessarily in the bass. In these in-
stances however, the characteristic interval of the chord still remains the
:
augmented sixth (not the diminished third). AMPLE 995
n h.

28.2.1.1.1 11%
This chord almost never appears in four-voice texture, since doubling of
one of its tones brings about a considerable intensification of the dissonance. It
. three-voice texture (Exs. 993,
generally appears in second inversion (as 114611) in
lb
994).

EXAMPLE 993 Wolf: Der Knabe und das Immlein

Moderato, d e l i c a y = - > EXAMPLE 996 Schuman.: Weh, wie zornig ist das Miidchen, O p . 138, No. 7
A 8 Non oresto, molt0 marcato

EXAMPLE 994 Wolf:Das verlassene Migdlein

EXANIPLE 997 Beethoven: Piano Sonata, Op. 78

Allear0 vivace

' This chord must be distinguished from the first inversion of an augmented triad.
 398 HARMONY IN ITS SYSTEMlC A N D PHENOMENOLOGICAL ASPECTS SIMULTANEOUS USE OF RAlSED FOURTH TONE AND LOWERED TONES
I
EXAMPLE 998 Schubert: Trockne Blumen Mozart: Piano Sonata, K. 533
Lento assai
EXAMPLE 1000 b*

28.2.1 .I .3 11;
-
This chord usually appears in second inversion as an a ~ ~ m e n t e d f o u r - t h r e e
chord (Bxs. 1003-1006), but it is $so usefvl as a fundamental chord. It should be
noted in this connection that I I y and I I have ~ an identical intervalic struc-
ture, from an enharmonic standpoint. ~ h f i s for , instance, the chord D-F#-~b-
~ C major) constitutes an enharmonic equivalent of the chord D-F# -
C ( I #I in
G# ( I I l i n F# major). T h e different continuations of these two chords are
illustrated &low (Exs. 1001,a-c; 1002-a,b).

EXAMPLE 1001 C major A

EXAMPLE 999 Beethoven: Piano Trio, Op. 1, No. 3

Allegro c o brio
~

EXAMPLE 1002 F-sharp major

400 HARMONY IN ITS SYSTEh4IC AND PHENOMENOLOGICAL ASPECTS SIMULTANEOUS USE OF RAISED FOURTH TONE AND LOWERED TONES

EXAMPLE 1003 Beethoven: Piano Sonata, Op. 13 28.2.1.1.4 1%'

. Allemo
In first inversion this chord constitutes an enharmonic equivalent of V1:
in minor. Since V1q generally appears in thirteenth position (see 19.2), the
68
IV: appears in first inversion (as IV;) in seventh position - to retain
(edbarmonically) the intervaIic structure to which we are accustomed -
(Ex. 1007).

EXAMPLE 1007
A

EXAMPLE 1004 Beethoven: Piano Sonata, Op. 7

Larzo, con mand' esuressione

28.2.1.1.5 IV(
This chord and its inversions enharmonically constitute chords modeled on
the major-minor seventh chord (or its inversions). As stated, the chord at hand
EXAMPLE 1005 Chopin: Prelude, Op. 28, No. 20 appears mainly in first inversion - as an augmented six-five chord.
6
Largo ,< The examples below (Exr. 1008,a-f) illustrate several continuations of I V ~ .
The parallel fifths in Ex. 1008,b are commonly accepted, especially when they
appear between the bass and the tenor (see also Ex. 1010).

EXAMPLE 1008

EXAMPLE 1008 Schubert: Pian@Sonata, Op. 120

Andante

6
Following are some additional illustrations of IV$ (Exs. 1009-1013).
402 H.iR:UOAW IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SIM1:LTANEOUS USE OF RAISED FOURTH TONE AND LOWERED TONES

EXAMPLE 1 0 0 9 Mozart: Die Entfiihrung aus dem Serail EXAMPLE 1 0 1 2 Schumann: Kinderszenen, O p . 15, No. 9

I
EXAMPLE 1 0 1 3 Wolf: Verborgenheit
Moderato, con intimo sentimento

Franck: Symphony
-
EXAMPLE 1 0 1 0
Lento

7b
T h e following excerpt illustratesIVb as a fundamental chord (Ex. 1014).
1#

EXANIPLE 1 0 1 4 Lalo: Syrnphonie espagnole, O p . 2 1

AUegro non troppo
EXAMPLE 101 1 Schubert: Die Post
Presto ma non troppo
f
404 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOCICAL ASPECTS
/ IIMULTANEOUS USE OF RAISED FOURTH TONE A N D LOWERED TONES 405

28.2.1.2 CHORDS DEVOID O F FUNCTIONAL GENE

7b
The chords resented in this section - V I I ~ $and VII - are less common
I In relation to the passage presented in Ex. 1015 it should be noted that
the harmony of the second bar is often interpreted as 114a# with an appog-
3
than those discussed in the previous one (see 28.2.1.1). While the latter may giatura (G#) rather than as VII,~!.6 This widespread interpretation does not
1 seem correct to us, because of the rather big difference in duration of the
be found in both romantic and classical music (and at times in pre-classical
music as well), the stylistic framework of the chords discussed in the present G# and the A (we estimate that the short duration of the A prevents its
section is limited mainly to late romantic music. This is due to the fact that the sounding like a chord tone in this particular context).
chords in question a r e devoid of functional- gene (as a result of alteration), This seems an apt opportunity to point out a certain contradiction found in
rendering the establishment of their tonal afiliations more difficult. (The tonal some books between the interpretation assigned to the second bar and that as-
framework of late romantic music is broader than that of classical music, so signed to the first bar (Ex. 1015). In Piston's Harmony7, for instance, the first
that a greater variety of means is available for clarifying the tonal affiliations of bar is interpreted as VI. Hence, Piston attributes the status of a chord tone to
altered chords - including those devoid of hnctional gene.) the F rather than to the E. The only question is, why did he assign a different
status to the G# in the second bar (he interprets the harmony of this bar as II:66
with G# as an appoggiatura)? Isn't the G# of the second bar basically
analogous to the F in the first bar?

This chord belongs in a certain sense to the group of chords presented in The following two passages (Exs. 1016, 1017) constitute further illustration
6# 6U
the previous section (28.2.1.1). It usually appears in third inversion (as VIIib) of VII;b.
and generally assumes a subdominant shading, although it is devoid of func-
tional gene (Exs. 1015-1017). EXAMPLE 1016 Franck: Variations svmohoniaues
z r - x---
6# [Poco allegro1 Piit lento
In accordance with the augmented sixth included in VII;b, we may label
this chord an augmented two chord, thus rounding off the group of chords
presented in 28.2.1.1.5 The chord in question appears mainly in minor, i.e., as
VII$ - 6
One of the best examples of an augmented two chord is undoubtedly the
famous opening chord of Tristan und Isolde (Ex. 1015).

EXAMPLE 1015 Wagner: M t a n und Isolde

EXAMPLE 101.7 Liszt: Via Grucis

Andante ma pot

* The augmented six-five chord and the augmentedfour-three chord represent the first and second
inversions of a seventh chord. The augmented two chord represents the missing third inversion.
Symbolic presentation of chords is in accordance with A minor.
' Walter Piston, Harmony, New York, W .W. Norton & Company Inc., 1962, third edi-
tion, p. 306.
406 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS SIMULTANEOUS USE OF RAISED FOURTH TONE AND LOWERED TONES

EXAMPLE 1017 (continued) EXAMPLE 1 0 2 0 C major

28.2.2 Chords Which D o Not Include a Diminished Third

28.2.1.2.2 ~112 28.2.2.1 CHORDS WITH A SUBDOMINANT GENE - IV:~
This chord is an enharmonic equivalent of V'! in minor, for which reason it There is only one chord in this category: IV:$ . This chord appears in
appears mainly in fifth position. In addition, the chord in question tends to b; virtually every style, from baroque to late romantic music, especially as a
interpreted in other keys. Thus, the chord ~ b - D - F # - ~ bfor
, example (VII;! secondary dominant of V (or I:).
in C major), is more apt to be interpreted as,^:(
in ~b major (Ex. 1018) or The frequency of its use lies in two factors:
as III:~ in G minors (Ex. 1019), than as VII:! in C major. 7b
The appearance of this chord in C major (being interpreted as VII;!) re- A. It is a duninisheddiminished seventh chord and may therefore be
quires a fairly extensive process of tonal clarification (Ex. 1020). preceded and followed by chords with which it creates any harmonic progres-
sion (see 12.7.4.4.3).
B. Its subdominant gene is not impaired by the alterations.
EXAMPLE 1 0 1 8 E-flat major
I V : ~ appears mainly as a fundamental chord, i.e., with the raised fourth
tone in the bass (Exs. 1021-1026). The chord at hand is very useful, inter alia,
before I:, announcing the beginning of a cadenza in a concerto (Ex. 1026).
Examples 1021,a-f illustrate various continuations following IV:~.

EXAMPLE 1021
EXAMPLE 1 0 1 9 G minor
A a. b.

8 See 29.4.11.
 SIMULTANEOUS USE OF RAlSED FOURTH T O N E AND LOWERED TONES
H.iRMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
408
EXAMPLE 1026 Mozart: Piano Concerto, K. 453
AUem
EXAMPLE 1022 Mozart: Don Giovanni

The inversions of IV$ are quite useful as well (Exs. 1027-1029).

The second inversion (IV:~)appears mainly in connection with the chord
succession I-IV$-I (Exs. 987, 1028).
EXAMPLE 1023 Beethoven: Piano Sonata, Op. 31, No. 3
EXAMPLE 1027
a. b.

EXAMPLE 1024 Schubert: Waltz, Op. 9, No. 29

EXAMPLE 1029 Kern: 01' Man River

EXAMPLE 1025 Foster: Old Folks at H ~ m e
410 H.-IRMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

28.2.2.2 CHORDS DEVOID OF FUNCTIONAL GENE

28.2.2.2.1 v;'
This chord is not used, since it poses problems of resolution. The seventh
cannot be resolved downward, since this resolution contradicts its melodic
tendency as a raised fourth tone. The chord in question may appear, however,
in contexts in which the seventh acts as a nonchord tone; in these instances it is
resolved upward.
SECOND TONE

This chord requires, a fairly extensive process of tonal clarification (Ex.

1030).

EXAMPLE 1030
A

B.l TO THE TEACHER

The lowered second tone is usually associated with a single chord: the
Neapolifan chord (see 29.4.1). In the present chapter, on the other hand, eighteen
chords are presented in connection with the lowered second tone. This has
been done not only for methodological reasons, but for pedagogical reasons as
well, as the sort of 'material treated here may contribute greatly to the
development of the student's orientation in matters of tonal relationships.

29.2 A HIERARCHY OF THE VARIOUS

DEGREES OF MINORIZATION
The various degrees of minorization and majorization which result from
the introduction ofthe lowered altered tones into-the major scale and from the
use of the raised fourth tone may be described by taking the structure of the
412 H.-IRMOIVY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOlVERED SECOND T O N E 413

various church modes as points of reference.' Following - are seven modes ing the natural fourth tone, has an intervalic structure identical to that of the
constructed on the tone F2, arranged from the most major to the most minor Lydian mode (this mode is more major than the pure major scale). A major
(Exs. 1031,a-g). scale with a lowered seventh tone replacing the natural seventh tone, is iden-
tical to the Mixolydian mode (this mode is more minor than the pure major
EXAMPLE 1031 scale). A major scale with lowered seventh and third tones replacing the
a. Lydian mode respective natural tones, is identical to the Dorian mode, and so on.

b. Ionian mode 29.3 CHARACTERISTICS OF THE LOWERED

SECOND TONE
j , C. Mixolydian mode The lowered second tone usually causes pronounced minorization (it grants
the major and minor scales a rather Phrygian quality'). This minorization
usually demands neutralization. In this regard, it should be noted that the ex-
d. Dorian mode tent of neutralization required in minor is less than that required in major. (In
the former, the lowered second tone causes minorization by one degree; in
:d the latter - when the second lowered tone appears together with lowered
I A f?. Aeolian mode sixth, seventh, and third tones - it causes minorization by four degree^.^)

i , f. Phrygian mode 29.4 CHORDS GENERATED BY THE

LOWERED SECOND TONE
j , 9. Locrian mode The lowered second tone (together with. the lowered sixth, seventh, and/
or third tones) generates eighteen chords: six triads and twelve seventh chords
(Ex. 1032).

EXAMPLE 1032
Obviously, the extent of the minor character of each of the above modes
(Exs. 1031,a-g) is determined by the number of minor intervals formed
between the first tone of the mode (finalis) and its other tones. The more minor
a mode, the greater the number of minor (and diminished) intervals between
its first tone and its other tones. A major scale with a raised fourth tone replac-

'
This comparison (between the various sets of tones resulting from the minorization of
the major scale, on the one hand, and the various church modes on the other) applies to inter-
valic structure only, not involving melodic ductus or harmonic functionality (see 35.3).
These modes are built on the tone F to show that the degree of minorization of each of
them in this case depends on the number of flats; every additional degree of minorization in
Exs. 1031,a-g involves the appearance of an additional flat. ' See 29.2.
414 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SECOND TONE

The chords in Ex. 1032 do not tend to be attributed to C major or C mi- EXAMPLE 1035 Beethoven: Piano Sonata, Op. 57
nor - in both of which the Db represents an altered tone - but rather to Assai allegro / A

other keys, in which the Db constitutes an unaltered tone (F minor, Bb minor,

Ab major;etc.). Proving that the chords at hand belong to C major (or minor)
is diE~cult.and in many instances this "proof" is achieved by no other means
than a modulatory process (from one of the keys containing D b ) to C major.
A clear exception to t h s is the chord D ~ - F - A ~which
, has assumed a defi-
nite role as 11;:fin major (or as IIIb in &nor). This chord has acquired a
special status among the altered chords discussed in thls chapter as well as a
special name: Neapolitan chord (see 29.4.1). Because of its particular character,
the above chord will be dealt with first.

29.4.1 Neapolitan Chord

This chord is very useful and its tonal identity is easily asserted, despite the
fact that the chord is altered. It usually appears in a context of fairly set chord
successions, some of them idiomatic.
The Neapolitan chord appears m d y in first inversion (as I I in ~ major
~ or EXAMPLE 1036 Beethoven: Strina Quartet. OD. 59. No. 2
as IIsb in minor) - see 29.4.1.1. As a fundamental chord, it appears mostly in
minor (Exs. 1033-1036), sometimes even in a context of tonicdization (Exs.
1035, 1036).

EXAMPLE 1033 Chopin: Prelude, Op. 28, No. 20

6 .
The following passage (Ex. 1037) illustrates 11;: m major.

EXAMPLE 1037 Grieg: Sonata for Violin and Piano, Op. 8

. AUenro molto vivace

l1,b

EXAMPLE 1034 Beethoven: Piano Sonata, Op. 31, No. 2

416 H.4RMO.W' IN ITS SYSTEMlC AND PHENOMENOLOGICAL ASPECTS
LOWERED SECOND TONE 4 17

29.4.1.1 NEAPOLITAN SIXTH CHORD (llfb

IN MAJOR, IN MINOR)
In Ex. 1039 the characteristic feature is the diminished third progression in
The Neapolitan chord embodies strongly subdominant characteristics and the upper voice. This progression, which contradicts the melodic tendency of
behaves in a way similar to the unaltered 11. T o emphasize its subdominant the lowered second tone (see 29.5) has come to be regarded as idiomatic,
gene, it is commonly used in first inversion with a doubled third (not unllke especially in a texture which constitutes the accompaniment of a melody (see
the unaltered 11,). Hence, its bass tone behaves like a root (see 16.2). The 6.3).
Neapolitan axth chord, like every sixth chord with a doubled third, appears The following excerpts (Exs. 1040-1044) dustrate different uses of in
mostly in octave or third position (see 15.2.1.1). minor.

EXAMPLE 1040 Beethoven: Piano Sonata, Op. 27, No. 2

29.4.1.I. 1 IZsb in Minor
AS the lowered second tone tends to descend by a minor second (see 29.5),
this chord is most likely to, be followed by one including the first tone of the
scale. The latter must be a dominant chord, creating a functional succession of
subdominant-dominant (Ex. 1038,a), or a chord prolonging the subdominant
function represented by the ' ~ e a ~ o l i t asixth
n chord (Exs. 1038-b,c).

EXAMPLE 1038

EXAMPLE 1 W1 Beethoven: Violin Concerto, Op. 61

Allegro ma non troppo
The chord succession presented in Ex. 1038,a is the most common. The IVlfl
in Ex. 1038,b plays a neutralizing role (the raised fourth tone neutralizes the
lowered second tone).
The following passage (Ex. 1039) demonstrates another chord succession.

EXAMPLE 1039
 HARMONY IN ITS SYSTEWC AND PHENOMENOLOGICAL ASPECTS LOWERED SECOND TONE 419

EXAMPLE 1042 Mendelssohn: Piano Trio, Op. 49 by transposing the excerpts given in Exs. 1038, 1039 from A minor to A major
Molto allegro ed agitate (Exs. 1045,a-d)4.

EXAMPLE 1045

(A minor)

EXAMPLE 1043 Chooin: Waltz. OD. 34. No. 2

In order to have the Neapolitan chord of Exs. 1045,ad end convincingly in

EXAMPLE 1044 Chopin:Etude, Op. 10, No. 6
a major chord on I, it is necessary to follow it with a process of neutralization
by means of both contrastive altered tones (see 26.2) and neutral chords (see 24.4.2).
Let us therefore attempt to follow the 1 1 % ~with a chord containing a
contrastive tone - the raised fourth tone. The transition from the Neapolitan
sixth chord to IV:# (Ex. 1045,b) is rather acute because of the appearance of
the natural third tone (C#in the IV:#) following the lowered sixth and second
tones (Fb and Bb in the Neapolitan sixth chord). It would therefore be
preferable to follow 11tb with I V ~ $instead of IV:~(EX. 1046).'

EXAMPLE 1048

29.4.1.1.2 11f6 in Major

The Neapolitan chord in major requiresa process of neutralization, much Examples 1045,a-c constitute transpositions of Exs. 1038,a-c, respectively; Ex. 1045,d is a
more than the Neapolitan chord in minor. W e shall demonstrate this last fact transposition of Ex. 1039.
Symbolic presentation of chords is in accordance with A major.
 LO II'ERED SECOND TONE
420 H.4RMONY IN ITS SYSTLUIC AND PHENOMENOLOGICAL ASPECTS

The solution proposed in Ex. 1046 is much better than that in Ex. 1045,b. EXAMPLE 1049 Mozart: Piano Concerto, K. 453
Allrorn
However, the I$# in Ex. 1046 is also somewhat acute, due to the lack of neutral
chords (see 24.4.2).
The solution proposed below (Ex. 1047) does not seem adequate either. A
neutral chord (V) does appear, but it is rather insufflcient to create an effective
process of neutralization.

EXAMPLE 1047

In the following excerpt (Ex. 1048) the process of neutralization is ex-

panded. In addtion to the contrastive altered tone (a raised fourth tone in the
IVD )', three neutral chords are presented: V:, V:, and his expansion of
the neutralization process by means of neutral chords clearly effects a more
organic integration of the Neapolitan chord into the major mode.

EXAAQLE 1048

In the chord succession Hib- I V : ~(Exs. 1048, 1049)8,the lowered sixth tone
An expanded process of neutralization by means of neutral chords appears progresses to the natural sixth tone (rather than to the fifth tone),
in the following passage (Ex. 1049). T h s neutralization is created by spreading contradicting its melodic t e n d e n ~ y .As
~ a result, this lowered sixth tone as-
the dominant over six bars (bars 3-8).' sumes, in a sense, the role of a raised fifth tone as it were - i.e., that of a
contrastive altered tone intensifying the process of neutralization.
The first chord refers to V with a suspended tone, while the third one refers to I with
three appoggiatura tones.
' While some other chords (marked with parentheses) also appear in these bars (in the
Symbolic presentation of chords is in accordance with C major.
orchestral part), they clearly behave as prolongational chords of the dominant. (Symbolic
See Chap. 24, Footnote 4.
presentation of chords refers to the full score.)
422 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOCICAL ASPECTS LOWERED SECOND TONE

29.4.2 II,b EXAMPLE 1052

This chord tends to be interpreted as In in minor or as VI,b in major. The
chord Db-F-A, therefore, tends to be heard as belonging to either ~b minor or
F major, but not to C major. Proving that it belongs to C major demands a
cautious tond treatment (Exs. 1050, 1051).

EXAMPLE 1050

29.4.4 vtb
T h s chord mainly appears as a secondary dominant to V I : ~(Ex. 1053),but
may also appear in other contexts (Ex. 1054).
It should be noted that the root, rather than the thlrd, must be doubled in
this chord, unlike in other diminished triads, since the root constitutes the only
unaltered tone. For the same reason, the root may appear in the bass (in which
case the chord appears as a fundamental chord - again, unlike other
EXAMPLE 1051 diminished triads whlch usually appear in first inversion - see 15.2.1).

EXAMPLE 1053

29.4.3 v,b
Doubling any tone in this chord results in a sonority which is rather
atypical in functional harmony. For this reason the use of this chord is
EXAMPLE 1054
problematic. The chord in question may be used in a context in which one of
its tones - usually the doubled root, albeit paradoxically - acts as a nonchord
tone. In Ex. 1052, for instance, the chord at hand sounds like Vib with a
nonchord tone (octave instead of seventh). The tone G in the tenor is
perceived more readily as a nonchord tone (an appoggiatura) than as a chord
tone.
V,b may also appear in a three-voice texture, not unlike (see 28.2.1.1.1).
424 If.-IRMO.VY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS LOWERED SECOND T O N E 425 ',

29.4.5 VIIb EXAMPLE 1057

T h s chord tends to be interpreted as IVf#in major (or as IV,# in minor).

The chord B-Db-F, for instance, tends to be heard as IVk in F major (or as
IV,h in F minor), but not as VIIb in C major. The best way of establishing the
tonal identity of thls chord (as VIIb) is to present it in a harmonic context
which includes a raised fourth tone (Ex. 1055).
VlIb usually appears in first inversion (as VII$, ) so as to create an
augmented sixth instead of a diminished third (see 28.2.1.1).
EXAMPLE 1058 Debussy: De fleurs
Lento e m e s t o y
EXAMPLE 1055

29.4.7 II:b
29.4.6 VII~ This chord tends to be heard as 111, in minor (or VIyb in major). Thus, the
This chord tends naturally to be interpreted as I or IV in minor, but not as chord Db-F-A-C tends to be heard as In, in Bb minor or VI:b in F major.
VIIkb in majoi. The chord ~b-Db-F,for example, tends to be heard either as I However, its position in C major is relatively easily established since its sub-
in ~b minor or IV in F minor, but not as VII!~ in C major. The tonal identity dominant gene is not impaired by the alteration (Ex. 1059).
of t h s chord (as VII!~)may be established by inserting the chord within a pas-
sage of subdominant chords (Ex; 1056) or within the rather idiomatic sequen-
tial progression I-V6VIIg-IV, (Ex. 1057).
The passage presented in Ex. 1058 illustrates the use of VIIkb in connection
with modal harmony (see 35.5).

EXAMPLE 1056
A

29.4.8 11ib
This chord, which tepds to be heard as IV, in major or VI, in minor, can
easily be interpreted as II;b , since its subdominant gene is not impaired by the
alterations (Ex. 1060).
426 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LO IVERED SECOND T O N E

EXAMPLE 1 0 6 0 EXAMPLE 1 0 6 2

29.4.9 III,,
EXAMPLE 1063
The &minished third between the fifth and the seventh of this chord tends
to be heard as a major second. Because of this, the chord at hand (in its fun-
damental form) is heard as the first inversion of a diminished-minor seventh
chord and tends to be interpreted (when isolated from any musical context) as
iIt in minor. The chord E-G-B-~b,for instance, sounds the same as the chord
E-G-B-C# and therefore tends to be regarded as 11: in B minor and not as III,b
in C major. In the following passage, for instance (Ex. 1061), the6 ~b tends to
be heard as c#, even after the appearance of the C in the VIfb.

EXAMPLE 1 0 8 4 Mozart: Piano Concerto, K. 453 , -

EXAMPLE 1 0 6 1

EXAMPLE 1065 Schumann: Piano Concerto, Op. 54

Allegro
Since the chord at hand constitutes a diminished-diminished seventh
chord, it is not difficult to create contextual conditions which would affirm its
affinity to that key in which it represents III:~ (Exs. 1062-1065). Nonetheless,
it should be mentioned that thls is not the result of any functional charac-
teristics inherent to the chord but of its S T R U ~ U R E(a drrninished-diminished
seventh chord can be proven to "belong" to almost any key - see 18.5.3).
 H.4RMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL A S P E C T S LOWERED SECOND T O N E

EXAMPLE 1068

I T h s chord constitutes an enharmonic eauivalent of V?3 in minor. Because

' ib
of this, it is most commonly used as a fundkental chord fifth position (the i
f;fth is enharmonically heard as a thirteenth, so that it tends to be placed in the .
I upper voice). The chord at hand may appear as a secondary dominant of VI$
i (EX. 1066).

I
I EXAMPLE 1066 EXAMPLE 1069 Schubert: String Quintet, Op. 163

II
29.4.12 III$
EXAMPLE 1070 DvofBk: Legenden, Op. 59, No. 4
T h s chord appears mainly as a secondary dominant of V I : ~ (Ex. 1067). / 1
j ~ o l t omaestoso

29.4.14 v:bb
This chord tends to be heard as 11, in minor, since it constitutes a
diminished-minor seventh chord. Despite this fact, and despite the fact that it
29.4.13 VJ, is devoid of functional gene in the key in which it is supposed to represent v$.,
This chord may appear as a dominant in a cadence, but it gives the its tonal identity may be proven rather easily (Ex. 1071, 1072).
cadence a less decisive character than does V&,(Exs. 1068-a,b). The chord in The chord at hand also appears in connection with modal harmony (Ex.
question i s also useful in second inversion - as ~6
(Exs. 1069, 1070). 1072).
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS LOWERED SECOND TONE 431

7b
EXAMPLE 1071 1 29-4-16 V I I ~and VII()
These chords tend to be heard as IVZ in major or IV, in minor, respective-
ly. Proving their identity (as ~ 1 1 and
1 ~ VII;) demands a cautious and rather
prolonged tonal treatment (Exs. 1074, 1075).

EXAMPLE 1074

EXAMPLE 1072 Debussy: Beau Soir

29.4.15 VIIZ and V I I ~ ~

i.
1I
These chords belong to the group of chords with a diminished third (or an
augmented sixth). As a result, the former tends to be heard as IV; in major,
I
7b Il!
and the latter as either IVkgin major or IV;Hin minor. Despite this tendency,
the identity of the chords at hand (as VIIa and V I I ~may
~ ) be relatively easily 1
established, since they may assume in context a rather clear subdominant
quality. Since VIIl in first inversion constitutes an enharmonic equivalent of 29.5 MELODIC TREATMENT OF THE LOWERED
V1: in minor, it is usually used in this inversion In seventh position (Ex. SECOND TONE
1073). 1 From a melodic standpoint, the lowered second tone behaves like the
I lowered sixth tone. It is usually exited by a descending second, except in the
EXAMPLE 1073 following two cases:
A. When the lowered second tone appears in the bass, it may also leap to
the fifth tone, which appears
-- as the root of V. In this instance, the lowered
second tone is belatedly resolved to the first tone, usually in I following V, so
that it creates a kind of melodic polyphony in the bass (Ex. 1073).
B. When the lowered second tone appears in another voice (most com-
monly the upper voice) it may progress to the seventh tone by a diminished
432 HARMONY IN ITS SYSTEUIC AND PHENOMWOLOGICAL ASPECTS LOII'ERED SECOND TONE

third. In t h ~ sinstance also, it is belatedly resolved to the first scale tone, appear- 29.6.2 Modulation Utilizing the Neapolitan Chord o f
ing after the leading tone (Ex. 1039). the Initial Key
By utilizing the Neapolitan chord of the initial key one can modulate to a
distance of up to seven fifths downwards. The Neapolitan chord of C major,
29.6 MODULATION UTILIZING CHORDS CONTAINING for instance, constitutes V in Gb major (Ex. 1078).
THE LOWERED SECOND TONE
Chords containing the lowered second tone may be effectively exploited EXAMPLE 1078
A

for the execution of distant modulations. W e shall demonstrate this through

several examples using the Neapolitan chord.1°

29.6.1 Modulation Utilizing the Neapolitan Chord o f

I
the Target Key
\
T '
P
In this manner one may modulate to a distance of up to seven fifths c major ( 1 1 5 =V ) b
G major

upwards. Example 1076 illustrates a modulation from C major to F#minor, us-

ing the chord B-D-G as a common chord ( V, = II,,,). In Ex. 1077, the chord
F#-A-D is used as a common chord between C major and C# major (II$=II{~.

EXAMPLE 1078

\
-
'
tt -
C major (V6= ]Ibb) F#minor

EXAMPLE 1077

\
* /\

c major (II$= II{q) C# major

lo The reader interested in practical exercises should attempt to carry out modulations by
means of each of the chords presented in this chapter.
 LOWERED FIFTH TONE

30.2 ENHARMONY
The application of different names to two tones of identical pitch (or two
tones constituting the interval of an octave) is called enharmony (see 21.4.1.4).
The enharmonic relation between two tones may be direct (when the two
tones appear consecutively, without intervening tones) - Ex. 1079 - or in-

FIFTH TONE direct (when the two enharmonic tones are separated by other tones) - Ex.
1080.

EXAMPLE 1079

EXAMPLE 1080

The use of enharmony is dictated mainly by melodic or harmonic con-

siderations (see 32.4). Quite frequently, however, our ear tends to interpret
certain tones enharmonically for reasons of convenience. Thus, for instance,
we often prefer to hear E rather than Fb, even when the melodic or harmonic
factors do not jusnfy it (Exs. 1081, 1082).

30.1 TO THE TEACHER EXAMPLE 1081

h I I
This chapter presents the last possible step in the expansion of the process of
minorization. With the appearance of the lowered fifth tone in the major and
minor scales the process of rninorization reaches its utmost limits, beyond
which another process begins: the process of enharmonization.
From a pedagogical standpoint, the material discussed in this chapter cons-
titutes a further contribution to the development of the student's orientation in
matters of tonal relationship. In this connection we intend to show, among
EXAMPLE 1082
other things, that the tonal identity of the most far-reaching altered chords can A

be established by relatively simpli means - such as appropriate doublings (see

30.5.5).

' Lowering of the first or fourth tones in the major scale results in enharmonization of the
seventh or third tones respectively (see 31.3).
436 H.-lR:UONY IN ITS SYSTLVIC AND PHENOMENOLOGICAL ASPECTS
LOWERED FIFTH TONE 437

i
The passage presented in Ex. 1081 actually sounds llke the one given in Ex. instability, caused mainly by the duninished fifih between the first and the fifth
1082. In the third chord we tend to hear the tones F#-A#-E-G# (Ex. 1082) tones of the mode. The Lonianfifh (referring to a lowered fifth tone in major
instead of Gb-~b-~b-Ab (Ex. 1081), since our ear prefers more convenient tones or in minor scales) is apt to create a kind of tonal instability, for which reason
(E rather than Fb). Hence, we hear a modulation to E'minor (Ex. 1082) rather its use is rather rare, in comparison with other lowered tones. One way of ef-
than to ~b minor (Ex. 1081). fectively integrating the lowered fifth tone in its respective key is to bring it
i
into an enharmonic relationship (direct or indirect) with the raised fourth tone
- whlch embodies a closer tonal relationship with its respective key
30.3 ENHARMONIZATION OF THE " TWELVE-TONE (Ex. 1084).
MAJOR SCALE"2 - LOWERED FIFTH TONE
The addition of the lowered second tone to the other altered tones of the
major scale results in a "major scale of twelve tones". This scale constitutes a
I EXAMPLE 1084

tonal-functional framework based on a melodic ductus which still

characterizes a major mode (Ex. 1083).2

EXAMPLE 1083

30.5 CHORDS GENERATED BY THE

The introduction of the lowered fifth tone into the set of tones presented in LOWERED FIFTH TONE
Ex. 1083 involves a new process: the enharmonization of the "twelve-tone The lowered fifth tone (together with the lowered sixth, seventh, third,
major scale", i.e., the transformation of this scale from a "one-way" chro- and/or second tones) generates eighteen chords: six triads and twelve seventh
matic scale to a "two-way" chromatic scale. The beginning of this process is chords (Ex. 1085).3
expressed by giving an enharmonic equivalent to the raised fourth tone -
by a lowered frfth tone.

30.4 CHARACTERISTICS OF THE LOWERED FIFTH TONE

The lowered fifih tone (together with the other lowered tones) endows the
major scale with a quality characterizing the intervalic structure of the Locrian
mode, which, as shown in the previous chapter, is the most minor of all church
modes (see Ex. 1031). It should be mentioned, however, that the Locrian
mode is noted not only for its intensified minor qualities, but also for its tonal

We ought to distinguish between a "twelve-tone major scale" resulting from minorization

and neutralization of minor elements and embodying the basic characteristics of a major mode,
and other twelve-tone scales, such as a "fwelve-tone minor scale", for instance, embodying
' A. Chords of Ex. 1085, which do not contain E(\) can also be considered as belonging
to C minor.
characteristics of a minor mode (see 31.2.2) or a twelve-tone scale embodying atonal
characteristics (see 40.4).
I B. Chords containing an augmented third (E-Gb-B,
(see 3.2).
for instance) are not discussed here
 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS LOWERED FIFTH T O N E

30.5.1 ISb EXAMPLE 1089 Schumann: Piano Sonata, Op. 22

Andantino
This chord (like other chords having the same intervalic structure - I I ~ ~
and Vsb) is of limited use, as doubling one of its tones creates a dissonance
deviating from the norms accepted in functional harmony. The chord in ques2
tion may appear in three-voice texture or with its root doubled in unison
(Ex. 1086).
i
EXAMPLE 1086

Example 1088 represents an idiomatic chord succession commonly used in

a certain type of light music (see Ex. 1029). In this case, the lowered fifth tone
is often notated as a raised fourth tone; the chord which results constitutes a
kind of IV$ without a fourth4. Despite the fact that from a theoretical
s ~ d p o i n it
t may be more convenient to explain the chord in question as
Ikb than as without a fourth4, one can easlly tolerate its being notated
30.5.2 ltb with a raised fourth tone since this tone is more closely related to the
Unlike other diminished triads, which usually appear in first inversion respective key than is the lowered fifth tone, and we sometimes tend to
with a doubled third, libmay appear as a fundamental chord or as a sixth chord hear a raised fourth tone in this cases.
- in both cases with a doubled root. This is due to the fact that the root of the
chord at hand represents the tonic and that it constitutes the only unaltered
I
tone of the chord. The third and fifth of the chord usually appear as passing 30.5.3 111%
tones, and tonal proof is relatively simple (Exs. 1087-1089). This chord, characterized by a diminished third, tends to be heard as IV\#in
'

major or IVIBinminor. The chord E-Gb-Bb accordingly tends to be interpreted

EXAMPLE 1087
asIV&inBb major (or IVIkin Bb minor) but not as 111tbinC major. By taking
the appropriate steps, it can, however, be brought into somewhat closer af-
finity to C major, thereby affirming its identity as Unlike~V\#,which ap-
pears mainly in first inversion with a doubled fifth, the chord at hand should
- for tonal reasons - appear as a fundamental chord with a doubled root6
(Ex. 1090).

EXAMPLE 1088

Rderring to the fourth above the bass.

Referring to diminished-diminished seventh chord, which can be subject to different tonal
interpretations, due to its specific structure (see 18.5.3).
The root constitutes the only unaltered tone in this chord.
440 HARMONY IN ITS SYSTEMIC AND PHENOMEh'OLOGlCAL ASPECTS LOI'VERED FlFTH TONE

EXAMPLE 1090 fifth. Doubling the fifth proves that the chord at hand is not 1112 in minor -
in which doubling the fifth would mean doubling the leading tone. Further-
more, the fifth is the only unaltered tone (in relation to the key in whch the
chord is supposed to be ~ 6 , $ )SO, that doubling it is absolutely decisive in
establishing the identity of the chord as V$(EX. 1093).

EXAMF'LE 1093
A I I I I

This chord tends to be heard as I or IV in minor and has no tendency what-

Sb.
soever to be heard asIllfbinmajor, malnly because all its tones are altered. It is,
however, not difticult to imagne its appearance in late romantic music with a
certain modal shading (Exs. 1091, 1092).

EXAMPLE 1091 sb
30.5.6 V?,
This chord usually appears when the Neapolitan chord is tonicalized or in
connection with harmony of a modal character (Exs. 1094, 1095).

EXAMPLE 1092 Debussy: Beau Soir

Andante ma non troppo

EXAMPLE 1095 Puccini: Tosca I

Andante lento appassionato

30.5.5 Vtb
This chord tends to be heard as III in minor. In order to show that it is, in
fact, V$in major, it must appear in second inversion (as vZ~)with a doubled
442 H.4RMONY IN ITS S Y S T W I C AND PHEN0ME;VOLOClCAL ASPECTS LOIVERED FIFTH TONE

30.5.7 EXAMPLE 1098

This chord, characterized by a diminished thrd, tends to be heard as 11; in

major (or II; in minor). It appears mainly as a kind of secondary dominant of
IV (Ex. lo%), or more precisely, as a secondary subdominant of VII,b(see .
31.5).

EXAMPLE 1096

30.5.10 111k
7b
This chord tends to be heard as IV;# in major (or IViI in minor) because of
the diminished t p d . Proving its relationship to the key in which it is sup-
posed to be IIIsb usually demands a process of a somewhat modulatory
character (Ex. 1b99).

EXAMPLE 1099

30.5.8 I:!
b
Despite the fact that this chord tends to be heard as 11, in minor, no special
dificulties are involved in establishing its identity as I; (Ex. 1097).

EXAMPLE 1097

7
30.5.11 1 1 1 ~ ~
!I,
This chord is more readily perceived as I, in minor or 1V;I in major.'
However, no special difficulties arise in proving its identity as IIIZ,(Ex. 1100).
Ib

EXAMPLE 1 100

b
This chord tends to be perceived as I V in ~ major (because of the
dirninishfd third). Proving its relationship to the key in which it is supposed
to be 1II;b demands a careful and skillful tonal treatment (Ex. 1098). As the
chord at hand constitutes, in its first inversion, an enharmonic equivalent of
V:J in minor, it appears as I I I ~in seventh position. ' The second interpretation is perhaps more natural, since I, in minor is generally not in
lb use (see 18.5.5).
444 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS i LOWERED FIFTH TONE

7b
30.5.12 111;'' EXAMPLE 1103
lb
Thls chord tends to be heard as II, in major (or IV, in mingr). Since all of
its tones are altered in the key in which it is supposed to be 1n;b the proof of its 6I
tonal identity is difficult, sometimes demanding the use db r a modulatory .
process (Ex. 1101).

EXAMPLE 1101

30.5.15 VI,b
The diminished third formed between the fifth and the seventh of this
chord tends to be heard as a major second. Therefore, the chord at hand tends
to be interpreted as 11: in minor, especially when it is isolated from a tonal
context. In the following passage, for instance (Ex. 1104), the Gb tends to be
heard as Fft, although it progresses to Fh. This is due not only to the specific
structure of the chord in which the Gb appears, but also to the fact that i is
more closely related to C major, than is Gb.

T h s chord tends to be interpreted as III, in minor. Proving that it con-

stitutes VHrequires a cautious and quite prolonged treatment (Ex. 1102). EXAMPLE
A
1104
. ,

EXAMPLE 1102

By virtue of its structure, this chord may appear as a secondary dominant

of VIIib. However, since the latter does not often appear in a context of
tonicalization, the use of the chord in question as a secondary dominant is
30.5.14 V$ rather restricted. The fact that VI$ constitutes a dminisheddiminished
lb
This char; tends to be heard as IV, in major or VI, in minor. Proving its 1 I
seventh chord and is enharmonically equivalent to IV$ enables its presentation
identity as Vibis d;ff~cult,usually requiring no less than a modulatory process !l in various other contexts which prove its tonal identity as VI$ more naturally
lb
(Ex. 1103). I
than does its appearance as a secondary dominant of V I I ? ~(Ex. 1105).
1
I
 H.4RMOA'Y IN ITS SYSTEMIC AND PHENOMENOLOGICAL. ASPECTS LOWERED FIFTH TONE

EXAMPLE 1105 Vivo ma non

EXAMPLE 1107 Chopin: Mazurka, Op. 7, No. 2
tronoo

30.5.17 V I : ~ EXAMPLE 1108 Liszt: Piano Concerto No. 2

As this chord constitutes an enharmonic equivalent of VJ; in minor, it is Adagio sostenuto assai

most often presented in fifth position. Its tonal proof is relatively simple,
providing it appears as a secondary dominant of the Neapolitan chord
(Ex. 1106).

EXANIPLE 1106

30i6 The following passage (Ex. 1109) illustrates the use of all lowered tones
(including the lowered first tone).

EXAMPLE 1109 Beethoven: Symphony No. 1, Op. 21

Allegro molto e vivace

7b
30.5.18 VI;!
This chord is also chiefly unlized as a secondary dominant to the
Neapolitan chord (Ex.11107)8.It also appears in various enharmonic contexts
facilitating the proof of its tonal identity (Ex. 1108).

In Ex. 1107, the chord in question appears in minor, for which reason it constitutes VI,
76
and not VI it.
448 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS

EXAMPLE 1109 (continued)

31 TOTAL
CHROMATIZATION
AND
ENHARMONIZATION,
SECONDARY
SUBDOMINANTS

31.1 TO THE TEACHER

The present chapter represents the last possible expansion of the tonal
material in the framework of the tonal system.
The number of chords generated by the new tonal material is very large; so
large, in fact, that there is no possibility of discussing each and every chord, as
was done in previous chapters. W e do feel, however, that the knowledge
30.7 MELODIC TREATMENT OF THE gained fiom previous chapters will enable the reader to understand and master
LOWrERED FIFTH TONE the new material, despite the lack of such an itemization.
The lowered fifth tone may be entered from any tone, except those with The concept of secondary subdominant, presented here as a parallel to secondary
which it forms a dissonant leap (or diminished third). An exception to this is a dominant, is apt to facilitate a deeper understanding of certain phenomena con-
leap of a diminished frfh; ths progression usually appears in the bass. nected with altered chords.
The exit from the lowered fifth tone is.usually to the fourth tone, but it The musical examples included in this chapter illustrate, among other
may also be to any other tone with which the lowered fifth tone forms a con- things, the principle of neutralization by contrastive altered tones in its most
sonant interval as well as to the raised fourth tone. developed form; raised altered tones appear beside lowered altered tones,
creating a process of mutual neutralization.
450 H.IRMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS TOTAL CHROMATIZATION AND ENHARMONIZARON 451

31.2 THE "TWO-WAY" CHROMATIC SCALE Chords containing altered tones presented in this section may assume many
different roles; they may appear as secondary dominants or secondary sub-
In the previous chapter we mentioned the process of enharmonization in
dominants (see 31.5) to one of the altered or unaltered degrees, as temporary
reference to the relationship between the lowered fifth tone and the raised
tonics, or as wandering chords (see 33.2). The following passage (Ex. 1112) il-
fourth tone. In the present chapter we shall deal with the enharmonization of
lustrates some of these chords.
all altered tones in the major scale as well as the chromatization and enhar-
monization of the minor scale. The resulting by-product is a "two-way"
chromatic scale1, embodying the basic characteristics of the tonal system.
EXAMPLE 11 12 Liszt: Etude No. 9

31.2.1 Enharmonization o f Lowered Sixth, Seventh, Third,

and Second Tones in Major
The use of an enharmonic equivalent to all four of the above lowered tones
results in four additional altered tones: raised fifth tone (enharmonic
equivalent of the lowered sixth tone), raised sixth tone (equivalent to the
lowered seventh tone), raised second tone (equivalent to the lowered third
tone), and raised first tone (equivalent to the lowered second tone).
The above raised tones (in various combinations with unaltered tones and
lowered altered tones) 'produce a large number of chords. Below are some ex-
amples of such chords - all of them relating to C major (Ex. 1111).

EXAMPLE 111 1

31.2.2 Chromatization o f the Minor Scale and

Enharmonization o f its Altered Tones

31.2.2.1 RAISED THIRD TONE IN MINOR

' Lowered altered tones form a DESCENDING chromatic scale, i.e., a "one way" chromatic In order to complete the chromatization of the minor scale, the raised third
scale (Ex. 1110a). Raised altered tones, on the other hand, form an ASCENDING chromatic scale tone (or lowered fourth tone) must be added to the altered tones dscussed thus
(Ex. 1110b), thus producing - together with the lowered altered tones - a "two way" far.
chromatic scale.
The raised third tone has already been mentioned - in Chap. 23, Footnote
2, B - in connection with the final chord (I#) of baroque cadences. In such a
EXlMPLE 11 1 0 .

context, this tone is called a Picardy third (Ex. 1113).

EXAMPLE lllOb
The raised third tone also appears, inter alia, in 1i and in III:~(which usually
assume the role of secolidary dominant to IV - Ex. 1114).
 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS T O T A L CHROMATIZATION AND ENHARMONIZATION

EXAMPLE 1113 Bach: Fugue in A minor EXAMPLE 1115 Reger: Aus meinem Tagebuche, Op. 82, 11, No. 2
YI

EXAMPLE 11 14 Grieg: Piano Concerto, Op. 16

-_
Allegro molto moderato

31.2.2.2 ENHARMONIZATION O F ALTERED TONES IN MINOR

Enharmonization of the altered tones discussed thus far - in relation to the
pure minor scale - results in four additional altered tones: lowered first tone
(as enharmonic equivalent of the raised seventh tone), lowered seventh tone
(as enharmonic equivalent of the raised sixth tone), lowered fourth tone (as 31.3 ENHARMONIZATION OF UNALTERED TONES IN
enharmonic equivalent of the raised third tone), and raised first tone (as enhar- MAJOR AND MINOR SCALES
monic equivalent of the lowered second tone).* These altered tones appear in
The final stage in the expansional process of alteration is enharmonization
passages of fairly expanded tonality - in connection with tonicalization,
of unaltered tones in the major and minor scales, i.e., introduction of lowered
wandering chords (see 33.2), etc. - Ex. 1115.
first, lowered fourth, raised third, and raised seventh tones in the major scale
- as enharmonic equivalents of natural (unaltered) seventh, third, fourth, and
The lowered fifth tone has already been presented as an enharmonic equivalent of the
first tones (Ex. 1116) - as well as introduction of raised second, lowered
raised fourth tone (see Chap. 30). third, lowered sixth, and raised fifth tones in the minor scale (Ex. 1117).
458 HARMO.VY I N ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS TO%4L CHROMA TIZATION AND ENHARMONIZATION

EXAMPLE 1 1 17 (continued) EXAMPLE 1119 Lalo: Symphonie espagnole, Op. 21

Allegro non troppo

31.4 MELODIC TREATMENT OF THE

NEW ALTERED TONES
The melohc treatment of the new altered tones is usually in accordance
with the principles generally applied in conjunction with the lowered tones
discussed in the previous chapters and with the .raised fourth tone. Entry into
and exit &om the new altered tones is accomplished according to the above-
mentioned principles, while considering contextual conditions.

31.5 SECONDARY SUBDOMINANTS

A secondary subdominant3 is a chord which behaves in a way comparable to
that of a secondary dominant (see 21.3). It represents a chord (usually altered4)
which manifests subdominant characteristics in relation to one of the (altered
or unaltered) degrees, except I.5 A secondary subdominant generally con-
stitutes a diminished-minor seventh chord - interpreted as 11, in minor (Exs. EXAMPLE 1120 Mendelssohn: Hochzeitsmarsch
1119-1121) - or one of the chords with an augmented sixth: the Italian6, Allegro vivace 1 1 .

German6, or French6 (Ex. lJ22). It generally appears in connection with

tonicalization (see 21.2.3), thus usually involving the appearance of a secon-
dary dominant . ; well (Exs. 1118-1122).

This concept is proposed by the author.

VII, in major is 9 exception. Thls chord tends to be perceived as 11, in the relative
minor key, so it may appear as a secondary subdominant of VI, even though it is unaltered
(Ex. 1119).
'
o hi; is not in contradiction with the fact that a chord representing a secondary subdomi-
nant to a degree other than I may also be a non-secondary subdominant, i.e., a subdominant in
relation to I. In the following excerpt, for instance (Ex. 1118). I16r in the first bar appears as
a secondary subdominant of VI, whereas in the second bar the same chord acts as a non-
EXAMPLE 112 1
Andante - Mozart: Requiem
. -
secondary subdominant, i.e., as a subdominant in relation to I.
EXAMPLE 1118

See 28.2.1.1.
 I
460 H.4RMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS

AND ENHARMONIC
MODULATORY
PROCESSES

32.1 TO THE TEACHER

This chapter deals chiefly with the technical aspects of chromatic and
enharmonic modulatory processes (taking for granted that the reader is
familiar with the principles presented in Chap. 21). The outlines offered in
relation to chromatic modulation in 32.3.1 must not be considered hard and
fast rules, but rather an attempt to demonstrate the applicability of certain
technical procedures.
The reader interested in practicing this material should execute chromatic
and enharmonic modulations in as many different and varied forms as possible,
basing each of them on the principles presented in Chap. 21.
In Ex. 1119, the VII, constitutes a secondary subdominant of VI. In Ex. Diachromic modulation will not be included here.
1120, the I V constitutes
~ a secondary subdominant of 111.' In Ex. 1131, the
.'
111:~constitutes a secondary subdominant of 111, $ Ex. 1122, the IV: con- I

stitutes a secondary subdominant of IIbShlwhileVIjl constitutes a sec8ndary 32.2 The chromatic and enharmonic modulatory processes defrned in Chap.
subdominant of V., 21, have not yet been discussed from a technical standpoint. At the present
stage, following the widest expansion of the tonal material, we may proceed
to treat these modulatory processes without restriction.'

32.3 CHROMATIC MODULATION

Chromatic modulation is executed by a chromatic progression (or progres-
sions) appearing between two consecutive chords, the second of which usually

' Symbolic presentation of chords is in accordance with the key of the piece. Referring to restrictions originating in the tonal material.

461

-- --
 462 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHROMATIC AND ENHARMOhr1C MODULATORY PROCESSES
I.

constitutes the dominant of the target key or a secondary dominant in the EXAMPLE 1125 Modulation from C major to E-flat major
target key.
In providing a technical demonstration of this process, we shall base the
modulations in 32.3.1 on a set harmonic sentence (see Foreword, Footnote 6 ) .

32.3.1 Modulation Through V, of the Target Key

The modulations presented in this section will be based on a fixed har- I v; I 1v I1 VII, v7 VI 11,
* 1: v I
v
C major E-b major (fixed section1
monic sentence in the target key: V7-VI-11:-1:-V-I.
The chromatic progression will usually occur between one of the initial
key chords and the first chord of the target key fixed sentence, i.e., the V7. In
EXAMPLE'1128 Modulation from C major to E minor
this case, the best way to execute transition from the initial key to the target
key is to enter the third of the V7 in the target key by a prime or by an
ascending chromatic progression and to place the'third of the V7 in the upper
voice.
In this way, modulation may be carried out fiom any major key to any ma-
jor or minor-key whose tonic forms any of the following types of intervals
(counting upwards) with the tonic of the initial key: diminished, minor, I v: I IV I1 VII, vi VI 11, v 1: Vg 1
C major E minor @md section)
perfect, or major. From C major, for instance, one can modulate to Db, to D,
to Eb, to E,to F, to ~ bto,G, to Ab, to A, to Bb, and to B (major ,Dr minor) -
Exs. 1123-1133.
EXAMPLE 1127 Modulation from C major to F major
EXAMPLE 1123 Modulation from C major to D-flat major

\I v 111 \v, VI 11, I: v I

I v; I IV v7 VI 11, 1: v I C major . P major (fixed sectionl

\ , \

C major ~b major (fixed section1

EXAMPLE 1124 Modulation from C major to D minor EXANIPLE 1128 Modulation from C major to Gflat minor
A

I
\
v:
C major
I v; vr 11, 1:
D minor (fixed section)
Vp 1 I V I
.
C major
VI IV Vi VI 11, 1: V,h,
~b minor (fixed section1
1,
466 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS C H R O M A T I C A N D ENHARMONIC M O D U L A T O R Y PROCESSES

EXAMPLE 1135 Chopin: Mazurka, Op. 17, No. 2 32.4 ENHARMONIC MODULATION
Lento ma non hoppo
As stated in 21.4.2.4, enharmonic modulation is based on an enharmonic
interpretation of one or more tones. This interpretation may be the result of
melodic factors (Ex.1136) or harmonic considerations (Ex.1137), as stated in
30.2.

modulatory secfton
'E mina

In Ex. 1136, the soprano tone of the third chord is interpreted as a G#

because of its progression to A, i.e., due to a melocLc consideration.
In Ex. 1137, the soprano tone of the fourth chord is also interpreted as a G#,
this time in contradiction to its melodic tendency (G# should move to A, as
in Ex. 1136, and not to Gb ). The interpretation of the tone in question as a G#
is here due to a purely harmonic factor - namely, the intervalic structure of
the fourth chord.

T w o types of enharmonic modulations will be discussed at present:

a. modulations based on the enharmonic interpretation of a given chord,
subject to one or more enharmonic interpretations by virtue of its particular
structure (see 32.4.1);
b. modulations based on the enharmonic interpretation of a tone (or
tones), in a chord which by virtue of its structure is not prone to enharmonic
interpretations (see 32.4.2).
nr

P r

0 a
$8
pt, E!2
0B O5P' o a
TO
' B 8 "
5
8 .g m$
ze.
8 9 ? &
Ef- - 0
s, Z P
0 - -- -, .g3
"B

g .x -T
470 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS CHROMATIC AND ENHARMONIC MODULATORY PROCESSES

Of the altered chords prone to enharmonic interpretation by virtue of their EXAMPLE 1146 Chopin: Mazurka Op. 7, No. 4
7b Presto ma non troppo
structure, we shall dwell only on IV:#,which, as we know, represents in its first
inversion an enharmonic equivalent of V, (Ex. 1144).

EXAMPLE 1144 Modulation from C mejor to D-flat major

I
~b major A Aajor

w
- I I V : ~ I V ~ : IV# V, VII* VI I I ~ v I IV: I
C major ~b major
A major A b major

32.4.2 Modulations Based on Enharmonic Interpretation o f

EXANIPLE 1147 Schumann: Widmung,Op. 25, No. I
a Tone (or Tones) in a Chord Not Prone to .. Wewo
Enharmonic Interpretation
There is a rather large variety of possible enharmonic modulations based on
the enharmonic interpretation of tones in a chord not structurally prone to
enharmonic interpretations (Exs. 1145-1148).

E major
EXAMPLE 1145 Modulation h m A minor to C minor

I II? ,
- '
V;#

A minor
IV,
'.
1:

C minor
1
/ .E major A b major
(cont.)
472 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 1147 (continued)

33 WANDERING
CHORDS,
HARMONY I N LATE
EXAMPLE 1148 Chopin: Nocturne, Op. 9,NO. 1
ROMANTIC MUSIC

UL " /

~b major D major

33.1 TO THE TEACHER

32.5 OFFSETTTING ASCENDING MODULATIONS WITH
The purpose of this chapter is threefold:
DESCENDING MODULATIONS, AND VICE VERSA
In discussing modal balance (see 23.3.3) and neutralization by contrastive a. to present chromatization at the peak of its development;
altered tones (see 26.2), we stated that lowered tones may be balanced by b. to illuminate wandering chords &om different vantage points
raised tones and vice versa. Tonal balance constitutes a broader principle, (presenting them as a vitalizing element of tonality in classical music, for ex-
ample, and as an unstabilizing element of tonality in late romantic music);
which is also manifested in connection with modulations.
Modulations in the ascending direction of the cycle of fLfths requue c. to point out some factors which eventually caused disintegration of
modulations in the descending direction of the cycle of fifihs and vice versa. tonality.
The first type of modulation brings about the appearance of raised tones (in
relation to the initial key) - tones which must be balanced by lowered tones
(included in keys whose tonic is found in the descending diiection of the cycle 33.2 WANDERING CHORDS
of fifths). When the initial key is C major, for example, and there have been Wandering chords1 are altered chords which effect a temporary blurring of
modulations to A major, E major, B major, etc., it may be assumed that tonality. They create ari environment of undefined tonality or one in which
modulations to such keys as F major, ~b major, Eb major, etc., will eventually tonal centers shift at a pace which prevents their taking form, however
appear; and vice versa: if modulations in the descending direction of the cycle briefly.
of fifths appear first, modulations in the ascending order of the cycle of fifths
may eventually be expected. This is demonstrated in almost any tonal com- This term appears in the plural (wandering chords rather than wandering chord) since it is
position, especially those of the romantic period (in pieces by Schubert, inevitably linked with a series of chords rather than a single chord.
Schurnann, Chopin, etc.).
 474 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS WANDERING CHORDS, HARMONY IN LATE ROMANTIC MUSIC 475
1

The class of wandering chords includes mainly major-minor seventh tonality if the latter is taken in its broader sense. In classical and early romantic
chords, diminished-diminished seventh chords, diminished-minor seventh music wandering chords usually serve to create a contrast to chords wh~chare
i
i
chords, and augmented triads. These chords usually appear in connection with particularly static (the latter precede or follow the wandering chords). In Ex.
486, for instance, the wandering chords (bars 1-4) give way to the appearance
chromatic progressions, as well as in connection with a sequential process
(Exs. 1149, 1150). of a passage of particularly static harmony (bars 5-10). The reverse - wander-
I ing chords following a particularly static harmony - is also found (Ex. 1151)*.
d EXAMPLE 1149 Chopin: Mazurka, Op. 6, N . 1

EXAMPLE 1151 Mozart: Symphony No. 40, K. 550

/ S "
wandering chords
EXAMPLE 1150 Chopin: Mazurka, Op. 67, No. 2

.
wmdering chords

33.2.1 Wandering Chords in Classsical and Early

Romantic Music A. The passage given in Ex. 1151 is conveyed by the melodic part and the bass only
(bars 1-24).
Wandering chords, which usually cause an almost complete temporary B. he melodic line appearing in bars 25-32 (Ex. 1151) expresses wandering chordc iri an
blurring of tonality, do not necessarily constitute a factor destructive to implicit way.
1 476 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS WANDERING CHORDS. HARMONY IN LATE ROMANTIC MUSIC

KXANIPLE 1151 (continued) EXAMPLE 1152 Wagner: Die Walkiire

[wandering chordsl'
'See Footnote 2, B.

)
'
Wandering chords in classical music (and in some of the romantic music)
play a fairly definite role in tonal and formal structuring. They appear mostly
in sections of a dynamic quality (in transitions, development sections, etc.) and

i in places where it is necessary to offset harmonies of a rather static nature.

Thus, a further dimension is added - one which expresses the various degrees
of tonal dynamism in a composition. This dimension, however, exists only in
EXAMPLE 1153 Franck: Prelude, Chorale and Fugue
that music which contains a relatively small number of wandering chords, ap- Poco allegro
0i pearing in conjunction with non-wandering chords, i.e., in classical and early
romantic music. We may thus consider this kind of wandering chords as being
a vitalizing element, rather than a destructive element, with respect to
tonality.

33.2.2 Wandering- Chords' in Late Romantic Music

Wandering chords gradually became more and more prominent, so that by
the late romantic period they had achieved priority over non-wandering
chords. In certain compositions of Wagner or Reger, for instance, wandering
chords become a primary component of the harmony while the non-
wandering chords become a component of secondary importance ( E n . 1152,
1153).
478 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS WANDERING CHORDS, HARMONY IN LAtZ ROMANTIC MUSIC

33.3 SOME FURTHER CONSIDERATIONS REGARDING

HARMONY IN LATE ROMANTIC MUSIC
The musical development of the late romantic period was not one-sided,
nor was it limited to the tonal dimension (in which it created vague
relationships between the chords). Chordal structures were also beginning to
change. As a result of the change in the relationshp between chord tones and
nonchord tones, the tertian principle gradually began to collapse. Certain com-
binations, which might have been explained as tutian chords with nonchord tones,
gradually attained the status of independent chords (see 36.1.3).
Such harmonic phenomena (whch can still be considered as related in a
way to the tertian principle) constitute the final stage in the development of EXAMPLE 1156 Berg: Wozzeck
functional harmony. They are found in late romantic music, as well as in some
post-romantic works (Exs. 1154-1156) - see also 38.1.

EXAMPLE 1154 Liszt: Via h c i s

Now is the time to mention that dong with that harmony whose develop-
ment brought about the complete disintegration of tonality and a conscious
EXAMPLE 1155 Zemlinsky: Und kehrt er einst heim, Op. 13, No. 5 codiontation with the realm of atonality (see Chap. 40), there were other har-
Molto moderato, commosgo
monic phenomena, different in some respects from those discussed thus far,
whose development led in other directions. We are referring here mainly to
modal harmony (see Chap. 35) and the harmony of jazz (see Chap. 37).3

"These have not been &scussed thus far, for didactic reasons.
 i
I HARMONY AND VOICE LEADING, HARMONIC VARIATION

EXAMPLE 1157 Bach: An Wasseflilssen Babylon

34 HARMONY AND
I
(I'

\
t VOICE LEADING, I ' hidddn ociave

HARMONIC IV VI 11,

i VARIATION
(SD 1

EXAMPLE 1158 -
i
1

it 34.1 HARMONY A N D VOICE LEADING The tenor line in Ex. 1157 would undoubtedly be more melodic if a G ap-
Harmony and voice leading are two closely related and inseparable en- peared instead of the E in the first bar, i.e., if the third were doubled in the VI,
as is the case in Ex. 1158.
\ tities. The relationships between harmony and voice leading are complex,
creating a considerable amount of controversy. (with regard Furthermore, the appearance of the E (instead of G) creates a hidden octave
\ . - to both analysis between the tenor and the bass - or more than that, the successive appearance
and methods of instruction). Our opinion in relation to this matter is - in
contrast to the commonly accepted approach which attempts to explain of a fifth and an octave (the latter entered in similar motion) which incidentally
i 6
' contradicts the most basic voice-leading principles.
everything" (including phenomena which are harmonic, par excellence) from
1
a melodic (voice leadmg) standpoint - that the TI-EORY related to harmony Yet, it seems that the E (rather than the G) was used in Ex. 1157 for
is much more effective than the THEORY of melody (or counterpoint). HARMONIC (and not melodic) reasons. The VI in which this E appears is not
Problems which are in essence melodic-contrapuntalmay sometimes be under- a tonic chord (although it follows V), but a typically subdominant chord. We
;I stood and solved within the scope of the theory of harmony, whereas the have before us (as was already pointed out in connection with this passage in
theory of counterpoint' (or voice leading) - if it exists at all - has not Ex. 452) a functional cycle, the subdominant of which is represented by three
chords: IV, VI, and 11,. It is the assignment of subdominant significance to the
1 proven effective in explaining HARMONIC phen~mena.~
W e shall clarlfy this point by means of the following excerpt (Ex. 1157). VI - demanding a doubling of the E (rather than the G) in ths chord - that
causes the appearance of the E in the tenor.
W e refer to a notion which should be distinguished from the CONTRAPUNTAL Thus, it is demonstrated that we can explain the melodic line of the tenor
; \'I TECHNIQUE(as a compo~itiondpractice). (referring to the E) on the basis of functionality, i.e., within the THEORY OF
I' We perfectly agree that one can resolve practical problems of harmony by using HARMONY. On the other hand, it seems rather di&cult to provide an explana-
contrapuntal techniques; however, we should like to stress again that the reference here is to
the THEORY of counterpoint, and not to the use of its techniques. tion of the tenor melodic line (or the hidden octave) within the scope of a
\ theory of voice leading or counterpoint.

I
482 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HARMONY AND VOICE LEADING, HARMONIC VARIATION 483

Summarizing, then, voice leading is subject to purely harmonic factors - tactic units (in this case it appears mostly in cadences - see 34.3.1) as well as
involving doubling, the fmation of a chord, the characteristics of the bass (see an element which creates musical contrasts of various qualities (see 34.3.2).
Chap. 13) - and melodic ductus. Its foremost role is expressing the harmonic
entity of.the various chords while reflecting the basic structural character-.
34.3.1 T h e Role o f Harmonic Variation in
istics of the tonal system.
the Formation o f the Period
One of the syntactic units resulting from harmonic variation is the period,
i.e., a unit composed of two phrases having similar melo-rhythmic structure
34.2 T H E REITERATION-VARIATION PRINCIPLE but ending with different cadences. One of the most frequent types of period is
The forms of classical and romantic music are primarily based on the prin- that in which the first (opening) phrase ends with a dominant half cadence,
ciple of repetition, i.e., the repetition of whole phrases, motives, or other while the second (closing) phrase ends with an authentic cadence (Exs. 300,
units. This principle - applied to certain segments (both long and short) - 301, 1159, 1160).
creates two potential possibilities:
a. the formation of certain points of reference, which facilitate musical EXAMPLE 1159 Mozart: Piarxo Sonata, K. 331
perception and orientation (e.g., repeated units are more easily grasped and
more readily memorized);
b. the formation of a certain static quality, inherent to repetition per se.
It is worth noting, however, that the reiteration of a given unit is not
necessarily literal. It usually involves the retention of some elements3 along
with changes in others. This kind of repetition is clearly manifested, for exam-
ple, in the various sequential processes in which one factor - the basic
rhythrmc pattern of the sequence - is usually fully retained while another fac- dominant half cadence

tor - the melodic pattern of the sequence - is retained only pamally (the
respective intervals of the repeated pattern are not changed during the various
repetitions4, while the pitch is changed with each repetition, due to transposi-
tion).
Among the various elements involved in the reiteration-variation princi-
ple, harmony is of great importance (see 34.3).
21, 1: v, I
authentic mdmce

34.3 HARMONIC VARIATION

EXAMPLE 1160 Schumann: Piano Concerto, Op. 54
Harmonic variation is used in various ways and for various purposes. It acts Allegro affettuoso
as an important factor in determining the formal function of the various syn-

' Referring to pitch, rhythm, timbre, etc.

Certain intervals may change by a half tone. For instance, a minor third may appear in
lace of a major third (or vice versa).
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HARMONY AND VOICE LEADING, HARMONIC VARIATION 485

EXAMPLE 1160 (continued) I EXAMPLE llel Bach: Es kt oenuo

dominant half cadence I

\ l X V J

authentic cadence.

'
There is an essential difference between a period and a repeated phrase (a unit
created by the precise repetition of a phrase without cadential changes) despite
the great similarity between them. The dialectic character of the pried -
resulting from the cadential contrast - is lacking in the repeated phrase, due
to the lack of harmonic variation.

i
I
34.3.2 Some Other Aspects of Harmonic Variation 1 34.3.2.2 In Schumann's Op. 68, No. 41, on the other hand (see Introduction,
Harmonic variation is not limited to the structuring of defined units alone
(such as the period). When applied to the repetition of a melodic segment, it
i
'
Ex. X), the harmonic variants create a contrast of a rather poetic quality. The
expressiveness reaches its peak at the thirteenth bar where the beginning of the
can create a broad range of musical contrasts (which may only be I piece appears in a different harmonization.
I
described metaphorically).
34.3.2.3 The following passage (Ex. 1162) demonstrates the capacity of har-
34.3.2.1 It is diff~cultto conceive of a stronger and more dramatic musical monic variation to arouse a feeling of musical dialogue.
contrast than that produced, for instance, by the different harmonizations as- The contrast between the first four bars of this passage (bars 1-4) and the
signed to identical chorale melody phrases in the Bach chorale Es ist genug last four bars (bars 5-8) is primarily due to the Mference in the harmonic
(Ex. 1161). (The first three, seventh, and ninth phrases are repeated with har- progressions (the first four bars are based on static harmonic progression; the
monic variations.) last four on dynamic harmonic progression).
488 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
HARMONY AND VOICE LEADING, HARMONIC VARIATION 489

EXAMPLE 1 1 8 5 McHugh: Don't Blame Me (piano interpretation by G. Shearing)

The melody in Ex. 1166 - repeated almost literally (Exs. 1167, 1168) - is
a. Lento , I
J I composed of two two-bar segments. The first segment (bars 1-2) is in C ma-
jor, whereas the second segment (bars 3-4) is in G major. Schumann har-
monizes this melody the first time as follows (Ex. 1167).

EXAMPLE 1 1 8 7 Schumann:Album fiir die Jugend, Op. 6 8 , N o . 2 I

Lento e con espressione

The tone F, appearing in the third and fourth bars (rather than F#, as ex-
pected in the third bar) does not give these two ban the tonal meaning of C
major, as may appear; rather, they assume the tonality of G major (G major
which has undergone minorization, or a sort ofMixolydian G). The tonality of
G major (rather than C major) is established not only by the melodic ductus of
the upper voice, but also by the contextual conditions in which the harmony
appears.
The six-four chord D-G-B in the third bar is perceived as a cadential six-
four chord in G major, due to its placement in relation to the upper voice and
the melodic structure of the latter. Consequently, one expects to hear the fol-
lowing A in the upper voice, within the harmony of a D major triad (vnin G
major), and the final G, within the harmony of a G major triad (I in G major).
34.3.2.6 More "cal~ulated"~use of harmonic variation is found in the fol- This expectation, which stems mainly from a psychological need to complete a
lowing piece (Exs. 1166-1168). basic pattern - referring to Gestalt, as used in psychology (the sequence I!-V#l-
I,,,constitutes a kind of "Gestalt")-causes us to interpret any other two chords
appearing instead of the above qn and 4,) (includmg chords which are
Schumann: Album fir die Jugend, Op. 68, No. 21 (upper part)
interpreted at first glance as belonging to other keys - Ex. 1167) as replace-
EXAMPLE 1 1 8 8
Lento e con espressione ments of Yt)and I,, i.e., as chords expressing the dominant-tonic succession in
I
G major.6
Comprehension of the passage at hand (Ex. 1167) is apt to prove helpful in
\ / \ J understanding its continuation (Ex. 1168). The melody presented in Ex. 1166
C major G major
(with an alteration of the last tone) appears for the second time with the fol-
lowing harmonization (Ex. 1168).
The word "calculated" appears in inverted commas because this passage was written on
the basis of an IMPROVISATIONon a theme from Fidelio by Beethoven. Symbolic presentation of chords is in accordance with G major.
490 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
I HARMONY A N D VOICE LEADING. HARMONlC VARIATION

EXAMPLE 1168 Schumann: Album fiir die Jugend, Op. 68, No. 21
Lento e cox

.
C major
J

I
The first two bars of the above passage (Ex. 1168) are in C major (produc-
ing a kind of deceptive cadence). The other two bars (bars 3-4), on the other
hand, raise a certain tonal problem. Despite the appearance of G#in the final
chord, this passage is interpreted as being in G major, and not in A minor (or
E major) as may appear to be the case. The dirninisheddiminished seventh
chord appearing on Dff, after the I:, hints at a deceptive cadence.' Hence, we I

anticipate VI.This anticipation is so strong that it causes us to hear any chord

at this point (including VII) as a substitute forVI(s~Thesequence I:-Vitl-VI#, in
this case, is interpreted, therefore, as a sort of deceptive cadence in G major
and not as a dominant half cadence in A minor.6
A closer study of the reasons for the appearance of the i in VIs will show
that this tone (constituting a raised second tone) is introduced as a contrastive
altered tone for the F (Fh,- lowered seventh tone) which appears in an I
analogous position in the fourth bar in Ex. 1167, where it effects minorization.
The tone D# (Ex. 1168, bar 3) also plays a role similar to that of the G#. It ap-
pears at a point analogous to that of another F(t))in EX.1167, thus also acting
as a contrastive altered tone (see 26.1). The beginning of the above mazurka (Ex. 1169) has already been presented
! in the Introduction (Ex. VII).
34.3.2.7 We shall conclude this chapter with an excerpt which is both One of the characteristic features of this mazurka is its chorhl strata (see
interesting and problematic (Ex. 1169). I
36.2) which appear either de facto (Ex. 1169, bar 3) or by means of an
imaginary organ point in the bass (see Introduction, Ex. VII).
EXAMPLE 1169 Chopin: Mazurka, Op. 67, No. 4 1 The first three bars after the second ending (bars 18-20) may then create a
problem. The question is: what is the true bass in these three bars (which tone
I do we hear on the first quarter of each bar, where a pause is inclcated)? Is it E,
i
i
or does the A &om the previous bar (bar 17) continue to sound as an
imaginary organ point until bar 21?
The answer to this question is not simple, since the passage at hand would
sound equally good harmonically, whether we insert an E in the bass (Ex.
' The basic pattern (in the Gestalt sense) is I!-V:I -Vl,s, in this case. i 1170) or an A (Ex. 1171).
t
 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

33 MODAL HARMONY
EXAMPLE 1171
r .I U
(three-bm unit)
J - [one-bar unit)

35.1 The concept of modal harmony encompasses a broad stylistic range,

embracing the harmonic styles of different periods, from before the Renais-
: sance up to our own time. While the purpose of the present chapter is to
(four-bar unit)
survey this stylistic range as far as possible our intention is to present modal
Upon looking at the continuation of the passage (Ex. 1169, bars 22-25) we harmony only in general terms.'
find that this continuation constitutes a sequential restatement of the previous
four bars (bars 18-21). In bars 22-25 the harmony changes after three bars,
thereby forming units of three bars and one bar. Since the creation of a se- 35.2 PARALLEL ORGANUM, TEXTURE OF PARALLEL
quence of a four-bar unit with three bars and one bar is not common, one may CHORDS
deduce that the correct harmonic interpretation of bars 18-21 is that offered in The first burgeonings of modal harmony may be found as early as the
Ex. 1170 (the harmonic rhythm here, as in bars 22-25, creates units of three parallel organum of the ninth and tenth centuries. The harmonic character of
bars and one bar, as opposed to a unit of four bars in Ex. 1171). Yet if we this organum is manifested mainly in the fixed and unchanging stucnue of the
examine the beginning of the passage (Ex. 1169) we shall discover an ad- chords (based on a fifth or a fourth with some doublings in octaves) and in the
ditional fact. The first four bars (bars 1-4) are repeated with a harmonic varia- ~arallelmotion of the voices - resulting in (or from) the unchanging struc-
tion in bars 9-12. In the first instance (bars 1-4) the passage constitutes a unit of ture of the chords (Ex. 1172).
!
four bars (the A in the bass continues as an imaginary organ point in the se-
cond bar as well) whereas in the second instance (bars 9-12) the -passage - is
EXAMPLE 1172 Parallel Organum (from Musica enchiriadis)

-
divided - regarding harmonic rhythm - into three. bars Ad one bar. -
- - -
-- -
C + + r
----
o
This fact can undoubtedly shed new light on the passage between bars 18 --
a
---
a
A
- I 0
-
a
m
I

and 21. The reader who opted for the interpretation proposed in Ex. 1170 will
t
k
I

*
I -
a
0
I -
m
--
I - I

*
I
0 0
-a
now opt, perhaps, for the one given in Ex. 1171, i.e., a sequence of four bars
vis-6-vis three bars and one bar - in keeping with the four bars at the begin-
ning of Ex. 1169 (bars 1-4) vis-ri-vis the three bars and the one bar (bars 9-12).$

Problems of this nature may be enlightened by some theoretical considerations and

procedures proposed by Ruwet (see Nicolas Ruwet, hngage, musique, poisie, Paris, Editions A separate book would be needed for a full treatment of this subject.
du Seuil, 1972, pp. 135-148). t
493
 494 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS MODAL HARMONY 495

The initial texture of organum eventually disappeared. While we do en- Let us take, for example, the Dorian and Phrygian modes. The Dorian
counter a similar texture in later music2, tliis is mostly in connection with intervalic structure is characterized by the sixth tone of the mode, whereas the
other more developed and complex chords. Thls texture is called parallel chords Phrygian is characterized by the second tone. These tones, crucial to defining
and generally reflects certain modal traits (Ex. 1173). the intervalic structure of the Dorian and Phrygian modes, are rather unim-
portant in embodying their respective melodic durti (Exs. 1174, 1175).
EXAMPLE 1173 Debussy: Prelude, I,No. 12
Moderato EXAMPLE 1174 Kyrieb, Dorian mode

35.3 MODAL HARMONY IN THE RENAISSANCE -

MELODIC DUCTS, HARMONIC DUCTUS
35.3.1 Notwithstanding the great importance we attribute to the
polyphonic-contrapuntal factor in Renaissance music, we cannot overlook the
EXAMPLE 1175 Kyrieg, Phrygian mode
harmonic aspect of thls music (which is manifested even in compositions of the
most highly developed contrapuntal t e x t ~ r e ) . ~
The fact that Renaissance composers did not approach the harmonic aspect
with predetermined terms or abstract symbols (as did composers of the tonal
system) does not contradict the fact that the harmonic element, as such, does
exist in their compositions (in a form more hghly developed than we may
have assumed).

35.3.2 Melodic Ductus The tone B, which characterizes the intervalic structure of 'the Dorian
mode, proves to be very important in the melodic ductus of the PHRYGIAN
The intervalic structure of a mode does not constitute a sufficient indicator mode (Ex. 1175) and rather insignificant in the melodic ductus of the Dorian
for determining the real nature of the assumed mode. The modal significance mode (Ex. 1174). Such is also the case with the tone F. This tone, typifjlng
of a given series of tones depends first and foremost upon fknctiond factors - the intervalic structure of the Phrygian mode, appears as an insigdicant tone
such as the melodic ductus (which differs in each mode) - rather than upon in the melodic ductus of this mode (Ex. 1175) but as a rather important tone in
the intervdic structure of the n i d e (see 1.6). the melodic duaus of the DOIUAN mode (Ex. 1174).

Frequently in twentieth century music.

' Theoretical literature has not devoted sufficient attention to the harmonic aspect of This excerpt is taken from a book of examples of Gregorian chant, compiled by Gustave
Renaissance music. Soderlund, New York, Appleton-Century-Crofts. (This foomote refers to Exs. 1174,1175).
496 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS
MODAL HARMONY 497

35.3.3 Harmonic Ductus EXAMPLE 1178 Dorian mode on G b

The music of the Renaissance reflects a harmonic functionality not unlike
the music of the tonal system. Thls functionality, which we shall call harmonic
dudus" differs in each mode, as does the melodic ductus (see 35.3.2). There are ,

certain chord successions which are particularly characteristic of one mode and
not another, just as there are certain melodic progressions which characterize (
one mode and not another (see 35.3.2). Certain chord successions characteristic See Footnote 8.
of the Mixolydian mode (Ex. 1176), do not characterize the Dorian mode, for
instance (Ex. 1177). By comparing the above passage (Ex. 1178) with that presented in Ex.
1 1 7 and then with that in Ex. 1179 (written originally in the Dorian mode),
EXAMPLE: 1176 Palestrina: Hodie Christus natus est one may well grasp (albeit intuitively), if not the fundamental lines of the
1 I
A
Dorian ductus, then at least the essence of harmonic ductus as a general concept.

EXAMPLE 1179 PalesPina: Adoramus te Christe, Dorian mode on G*

EXAMPLE 1 177 -I
See Pootnota 8.

35.4 FUNCTIONALITY' IN MODAL HARMONY

As one may surmise on the basis of what has been said thus far, functionality
of modal harmony is more complex (depending on subtler factors) than that of
'See Footnote 6.
functional harmony (see 3.2). In tackling thls problem in the present
framework1, we shall take note of the most important and general facts, on the
The passage presented in Ex. 1177 is in keeping with the intervalic structure basis of concepts familiar to the reader from the realm of hctional harmony.
of the Dorian mode (transposed to G)6,but it is not in the Dorian.mode, since It may generally be said that modal harmony is based primarily on chord
the chord succession (while characteristic of the Mixolydian mode) is not successions which constitute static progressions, accentuated progressions, and
characteristic of this mode. In demonstrating this issue we shall present, for the a - b a patterns. Dynamic progressions appear mainly in cadential positions, in
sake of comparison, the soprano melody of Ex. 1177, harmonized in accor- the music of the'Renaissance; they may be considered as constituting a starting
dance with the harmonic ductus of the Dorian6 mode (Ex. 1178). point in the formation of the functionality of the tonal system (Ex. 1180).

This concept is proposed by the author. 'While the term harmonic ductus, which relates mainly to the music of the Renaissance, ex-
The Eb - corresponding to Bb in the non-mansposed Dorian mode - is frequently presses functional qualities which vary from one mode to another, the termf;nbionality, as
used. used here, relates to a rather wider stylistic scope and expresses qualities of a more general
character, i.e., qualities which do not vary from one mode to another.
 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS MODAL HARMONY

EXAMPLE 1 180 Palestrina: Veni Sancte Spiritus

A

The somewhat modal character of the above passage (Ex. 1181) is

manifested in each of the three factors (a., b., c.) mentioned in 35.4.
A. The melodic ductus difTers from that of F major. This becomes ob-
vious as early as the second bar, in the treatment accorded to the leading tone.
In summation, modal harmony is characterized m d y by the following Ths tone (E) behaves here as a static tone as it were, due to its irresolution to F
factors: - along the whole passage, whlle appearing on an accented metric position.
As a result of this and of the emphasis given to the tone C (the passage in ques-
a. tonal medium (i.e., the mode);
tion begins on C and ends on C), there is a tendency to interpret the whole
b. texture (parallel chords) - does not relate to Renaissance music;
passage m a hypoionian mode on F.
c. harmonic progression (static, accentuated, a-6-a pattern).
B. The texture of parallel chords (which has been mentioned as a
characteristically modal quality) is also manifested to a certain extent - in the
identical rhythm of the voices and in the parallel motion of some of them. This
35.5 MODAL HARMONY IN POST-RENAISSANCE MUSIC type of texture (in which the voices move at the same rhythm) has come to be
Modal qualities did not cease to appear at the end of the Renaissance. known as block texture (or block harmony).
Modd harmony survived side by side with non-modal harmony throughout C. Chord succession is based on static progression, accentuated progres-
vimally the entire history of music, although its dimensions and character dif- sion, and an a-b-a pattern (a dynamic progression appears only at the end).
fered in various periods.
Below we shall demonstrate certain modal traits in romantic music and 35.5.2 The passage below (Ex. 1182) also constitutes a typical example of
music of the twentieth century. modal harmony.

35.5.1 Let us take, for example, the following excerpt (Ex. 1181).

EXAMPLE 1182 Mussorgsky: Pictures from an Exhibition

Allegro giusto, nel mod0 mssico; senza allegrezza, ma poco sostenuto
EXAMPLE 118 1 Chopin: Mazurka, Op. 68, No. 3
Allegro ma non troppo I YS,
 MODAL HARMONY
500 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

The melodic ductus of the passage cited in Ex. 1182 is not characteristic of
Bb major, but rather of a hypoionian mode on ~b (or a pentatonic mode),
primarily because of the prominence of the tone F (the F constitutes the
highest and lowest tone of the melody) and because of the irresolution of the
tone C (marked with an x).
Block texture, defined as being typical of modal harmony, is also
manifested in this passage.
35.5.4 Modal harmony has assumed a new form of expression in a certain
35.5.3 In the following excerpt (Ex. 1183) the modal character is manifested
by each of the three factors enumerated in 35.4. In the first four bars it is type of light music - especially inkpop.One of the origins of this music is to
manifested by the textural quality8; in the following eight bars, by the modal be found in the songs of the Beatles.
nature of the melody; and in the final eight bars, by the harmonic progres- The harmonic character of these songs
- is in strong- contrast to that which
sions. had previously dominated light music. This contrast is apparent in the release
fiom certain harmonic progressions characterizing light music of the first half
EXAMPLE 1183 Chopin: Mazurka, Op. 24, No. 2 - of the twentieth century (the harmonic progression of: ascendmg fourth, for
example) and their replacement with others (static progression, accentuated
progression, and a-bd pattern) - Exs. 1184-1186.

EXAMPLE 1184 Lennon 8 McCartney: Polythene Pam

Medium tempo To Coda A

The parallel fifths in the lower staff also embody some modal characteristics.
502 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 1184 (continued)

I

OF THE
coda
D.C. I I ~ Coda
TERTIAN
PRINCIPLE
Plav 8 times ad lib. d t a r or ~ianosolo on these harmonies

36.1 CHORDS CREATED BY THE

USE OF ADDED TONES

36.1.1 Added Tone

An added tone is a tone which appears within a chord in addition to the
chord tones generated by the tertian principle. Unlike a nonchord tone,
EXAMPLE 1 1 8 5 Lennon 6 McCartney: Eight Days a Week however, which assumes rhythmic and metric conditions different from those
Moderato k
of the chord tones (see Chap. 9), an added tone assumes the same rhythmic and
metric conditions as the chord tones. An added tone is usually perceived as a
tone lending a certain shading to the chord to which it is added.

36.1.2 As early as classical music there are instances of chords containing ad-
ded tones (Ex. 1187).

EXAMPLE 1187 Beethoven: Symphony No. 5, Op. 67

Allegro con brio
EXAMPLE 1186 Lennon 6 McCartney: Michelle
Moderato

I
IF minor)
 SOME EXTENSIONS OF T H E TERTIAN PRINCIPLE 505
504 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

The following passage, taken from the author's Impressions d'un choral for
The second and sixth chords in the previous passage (Ex. 1187) constitute 11,
harpsichord, illustrates chords, created by the use of added tones (Ex. 1190).
with an added tone - Cl (the tone C assumes rhythmic and memc conditions
identical to those of the other tones of the chord). EXAMPLE 1190 Sadai: Impressions d'un choral

The following two excerpts (Ex. 1188-1189) also illustrate chords which
. . =a99 I

incorporate an added tone (the encircled tone). In Ex. 1188, the chords in
question constitute IV with an added tone G2, and II, with an added tone Btl;
in EX. 1189 the chord in question represents a IV$, with an added tone C'.

EXAMPLE 1 1 8 8 Schumann: Piano Quintet, Op. 44

See Footnote 2. The above passage (Ex. 1190), based on the chorale 0 Haupt voll Blut und
Wunden by Bach, was created by introducing added tones to chords of tertian
EXAMPLE 1189 Brahms: Variations, Op. 56a structure. These added tones do-notalter the functional significance of the ter-
tian chords; they only lend them a certain shading.

The following excerpt illustrates a somewhat different situation (Ex. 1191).

While each of the five chords can be explained as a seventh chord (or a four-
three chord) with an added tone, the added tones sound like chord tones,
rather than tones adding color.
It is also worth noting that each bar of the melody is composed only of the
tones of the chord accompanying it in that bar, except for the tone C#in the
third bar (Ex. 1191).

EXAMPLE 1 19 1 Dallapiccola: V o b di notte

36.1.3 Chords including added tones have become a basic harmonic
component in certain works created in the first half of the twentieth century.
While these compositions are based primarily on chords whose structure is still
rooted in the tertian principle, the use of the chords is rather different than in
functional harmony.

' While this chord could theoretically be regarded as an inversion of a ninth chord on C,
it sounds rather different in the context at hand.
The tone G (Ex. 1188) does not appear in all scores. ~ l t h o u apparently
~h introduced as
-
the result of a printing error - in the score of Edition Eulenburg the tone in question il-
lustrates a typical case of added tone.
506 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS SOME EXTENSIONS OF THE TERTIAN PRINCIPLE

EXAMPLE 1191 Icontinued) A EXAMPLE 1 1 9 4 Stravinsky: Symphony in Three Movements

Agitato ma sempre I'istesso tempo

36.2 CHORDAL STRATA

The next passage (Ex. 1192) illustrates chords with added tones in a more
By chordal strata we refer to the simultaneous appearance of two different
obvious manner (the added tones are situated in the lower staff ). .
chords, one of which constitutes an organ point. The chord constituting the
organ point is sometimes represented by only one or two of its constituent
EXAMPLE 1 1 9 2 Debussy: Prelude, 11,No. 12 tones (Ex. 1195).
Schenando

EXAMPLE 1 1 9 5 Schumann: Album fir die Jugend, Op. 6 8 , No. 18

Allegro ma non troppo

The following two excerpts (Exs. 1193, 1194) are taken from works by
Stravinsky. Example 1193 constitutes a sort of four-three chord (F-Bb-D-Ab)
with the added tone ~ b whereas
, Ex. 1194 represents a major triad on Db with
two added tones, Bb and Eb. The second chord of the first bar and the first chord of the second bar (Ex.
1195) are characteristic of chordal strata. Chordal strata are formed in the first
bar by the simultaneous appearance of I and IV (or II,), and in the second bar
EXAMPLE 1 1 9 3 Stravinsky: Symphonies of Wind Instruments by the simultane~usappearance of I and V,. Both of these instances may also
be theoretically explained as chords with an added tone: in the first case, as IV;
(or II,) with an added tone G in the tenor and in the second case, as V, with an
added tone C in the bass. Musically, however, this explanation does not hold
true. The most prominent feature of this passage is the organ point in the bass
and the tenor, creating the sensation of I, lasting throughout the entire passage.
As a result, we hear chordal strata rather than chords with added tones.
508 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS SOhfE EXTENSIONS OF THE TERTlAN PRINCIPLE

Chordal strata are also illustrated in the following excerpt (Ex. 1196). In 36.3 POLYCHORDS
the third and fifth bars we hear chordal strata of I and V, rather &an V, with an
A polyrhord results &om the simultaneous appearance of more than one
added tone E in the bass, for reasons similar to those mentioned in relation to
chord (usually two), each of which more or less retains its characteristic traits
Ex. 1195.
(a polychord texture does not sound entirely homogenous, but usually like the
EXAMPLE 1196 Chopin: Mazurka, Op. 6, No. 3
joining of two DIFFERENT chords).
A polychord differs fiom chordal strata in two respects.

I The following two passages (Exs. 1197, 1198) illustrate polytonal chordal
A. It is not the byproduct of the appearance of an organ point.
B. The chords composing it usually appear in their entirety.
The following excerpts (Exs. 1199-1201) illustrate typical cases of
polychords (the chords forming the polychords are presented in two separate
staves).

strata: in Ex. 1197 - between the G major chord and the chords of ~ b m a j o r , EXAMPLE 1199 Debussy: Prelude, 11, No. 1
~b major, and E major; in Ex. 1198 - between the chord in the two lower
staves and the two alternating chords in the two upper staves.

EXAMPLE 1197 Str Three Movements

EXAMPLE 1200 Schuman: Three-ScoreSet. II

EXAMPLE 1198 Berg: Woezeck

Quasi tampo I (J-ca 52)
510 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

EXAMPLE 1201 Stravinsky: Le sacre du printemps

Temuo eiusto

3/ ULTIMATE CHORD
STRUCTURES
The following (Exs. 12021204) are taken from Le cande'labre d sept branches
by Milhaud.
GENERATED
EXAMPLE 1 2 0 2 Milhaud: Le cand4abre h sept branches, No. 5
, (J=Ioo) ,
BY THE TERTIAN
PRINCIPLE,
BASIC CHORDS
EXAMPLE 1 2 0 3 Milhaud: Le candaubre h sept branches, No. 4
I N JAZZ
(

EXAMPLE 1 2 0 4 Milhaud: Le canddabre d sept branches, No. 7

37.1 TO THE TEACHER
The chords presented in this chapter constitute, inter alia, basic material in
the harmony of traditional jazz. The purpose is to demonstrate that the har-
mony of jazz (in its essence) is largely subject to the principles of hnctional
harmony, both with regard to the structure of chords (based on the tertian
pr&iple) and with regard to functionality (harmonic progressions, hnctional
successions, etc.). Our intention, however, is not to deal with the rudiments of
jazz1 but only to demonstrate the principles of hnctional harmony in a
In Ex. 1202, polychords are formed between six-four chords; in Ex. 1203, a broader stylistic scope.
polychord is formed between two seventh chords in third inversion; in Ex.
1204 (first bar), between a triad of G major and a sixth chord of F# minor. ' This would necessitate an entirely different framework.
511
512 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECX
BASIC CHORDS IN JAZZ 513

37.2 THE NINTH CHORD IN ITS VARIOUS FORMS 1 -(Ex. 1207), does not sound like a ninth chord in fifih position but rather like a
It has been said in connection with the dominant ninth chord that it polychord, composed of the chords C-G-E and B-D-G. This is mainly due to
generally appears in ninth position and as a fundamental chord (see 19.1.2). the fact that the ninth appears in an inner voice and the tone G is doubled.
The ninth chord gradually gained a more "honorable" status and began a p .
pearing (especially in light music and jazz) on every degree (altered and EXAMPLE 1207 McHugh: Don't Blame Me (Piano interpretation by G. Shearing)
nonaltered alike) and in every position - not necessarily in ninth position.
The fifth, which had generally been deleted in four-part texture, also began to
appear (Ex. 1205).

EXAMPLE 1205 Faur6: Apr&s un r&ve

I
, Andantino
,

37.3 THE ELEVENTH CHORD

The addition of a third above the ninth of the ninth chord produces an
eleventh chord (Exs. 1208,ad).

EXAMPLE 1208
a. b. c. d.

The following (Exs. 1206,a-g) illustrates various types of ninth chords

(differing with regard to intervalic structure).

The eleventh chord usually does not appear in its inversions since it is
generally grasped as a chord constructed according to the tertian principle
only when the chord appears with the root in the bass and when most of its
tones appear in the order dictated by the tea& principle.
The presentation of the eleventh chord in inversions may produce chords
constructed in accordance with a non-tertian principle (a principle based on
seconds, for example - see 38.2.2). The tones of the chord presented in Ex.
Nonetheless, it should once again be mentioned that in most cases, the 1209,a, for instance, might be arranged by intervals of seconds, were we to
ninth chord may be perceived as such only when the chord appears in ninth present the chord in the third inversion - i.e., with the seventh in the bass
position. When the chord is given in other positions, the ninth is apt to sound (Ex. 1209,b).
like an added tone (see 36.1.1), i.e., like a tone which adds a certain shading to
the seventh chord to which it is added.
A ninth chord which does not appear in ninth position may even sound
like a polychord at times. The first chord in the following passage, for instance
514 HARMONY IN ITS SYSTEMIC A M ) PHENOMENOLOGICAL ASPECTS BASIC CHORDS IN JAZZ

Due to the large number of its constituent tones, the eleventh chord tends 37.4 THE THIRTEENTH CHORD IN ITS
at times to be as a polychord. VARIOUS FORMS
The following, for instance (Ex. 1210), constitutes a borderline case
The V',3 discussed in 19.2 differs from the thirteenth chords presented here.
between an eleventh chord and a polychord (composed of a major triad on G
While the former results from a melohc process (replacing the fifth of V,by a
and an augmented six chord on A). A G e r e n t distribution of the same tones,
sixth), the latter are created by a further extensicn of the tertian principle2-
however, can produce a more unequivocal sensation of an eleventh chord (Ex.
consisting of the addition of a third above the eleventh of an eleventh chord.
1211). The appearance of the larger intervals in the low register and the small
The thirteenth chords referred to in the present section may appear,
intervals in a higher one - an arrangement of tones in keeping with the model
therefore, on any degree (not only on V), as well as with the fifth3, the ninth,
set out by the overtone series (the interval between two successive overtones
and the eleventh (Exs. 1213,ad).
becomes gradually smaller as the overtones become higher) - results in a
greater degree of homogeneity (Ex. 1211).
EXAMPLE 1 2 1 3
EXAMPLE 1 2 1 0 a. b. c. d.

The chords referred to in Ex. 1213 are not always perceived as thirteenth
EXAMF'LE 121 1 Gershwin: Rha~sodvin Blue chords; they may also be perceived as other chords with added tones, or as
polychords - depending on the position of the chord, on doublings, on the
size of the intervals between the various voices, and on other contextual con&-
tions, such as bass progression, etc.
The following excerpts illustrate thirteenth chords (Exs. 1214-1216).

EXAMPLE 1 2 1 4 ' Arlen: Over the Rainbow (uiano internretation bv G. Shearinal

Moderato I

In the following passage (Ex. 1212) the last chord sounds like an eleventh
chord (rather than a polychord), on account of the leap of a fourth in the bass
(this leap causes the tone C to sound llke the only root in the chord).

EXAMPLE 1 2 1 2 D. Brubeck: Strange Meadow Lark

m a

The thirteenth chord represents the ultimate possible chord structure generated by the
tertian principle (the appearance of an additional third above the thirteenth results in the reap-
pearance of the root - or in the appearance of a tone which constitutes an alteration of the
root).
This tone does not appear in V$3 (see 19.2).
516 HARMONY IN ITS SYS7'EMIC AND PHENOMENOLOGICAL ASPECTS BASIC CHORDS IN JAZZ

-LE 1 2 I5 Grusin: The Folks EXAMPLE 1218 D. Brubeck: Strange Meadow Lark
Lento
Free rubato

.See Heterogeneous Chords - 37.5.

O n the other hand, the first chord of the following passage (Ex. 1219)
EXAMPLE 1218 Evans: Very Early
Moderato sounds like a polychord composed of two chords, each of which includes an
added tone - even though this polychord may theoretically be explained as a
thirteenth chord without a seventh. The two chords comprising the polychord
in question are F-C-A (on the lower staff) and B-D-G-B (on the upper st&).
The tone G on the lower staff sounds like a tone added to the chord F-C-A
while the tone A on the upper staff sounds like a tone added to the chord B-D-
G-B. It should be noted that these two tones sound ADDED even though each
of them may theoretically be regarded as a chord tone within the other chord
(the A in the upper st&may be interpreted as a chord tone in the chord F-C-
While the above excerpts ,(Exs. 1214-1216) illustrate red thirteenth chords, A while the tone G on the lower st& may be explained as a chord tone in the
the following (Exs. 1217-1219) represent some different cases. chord B-D-G).
In the excerpt below, for instance (EX. 1217), the chord marked I$3btends
to sound like a ninth chord with an added tone, C, rather than a thirteenth EXAMPLE 1219 D. Brubeck: hrerybody's.Jumpin'
Easy swing
chord.
EXAMPLE 1217 Peterson: Canadians Suite, No. 6

j ;
d 5 5 .
w

37.5 HETEROGENEOUS CHORDS

A heterogeneous chord4is one which includes two types of thirds and/or two
types of sevenths and/or two types of ninths, etc. - one minor and one major.
The last chord of the following excerpt (Ex. 1218) represents a borderline
case between a thirteenth chord and a polychord. This concept is proposed by the author..
518 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS BASIC CHORDS IN JAZZ 519

Heterogeneous chords were originally formed by the use of nonchord Heterogeneous chords in jazz are usually dominant chords (or chords con-
tones (Exs. 1220-1222). stituting secondary dominants). One of the basic chords in this group con-
stitutes a major-minor seventh chord with an additional, minor, third - the
EXAMPLE 1220 Smetana: Dreams No.3 minor third appearing in the upper voice (Exs. 1224,a; 1225). This chord ap-
(Moderato e ruhato) Pi* Gvo parently developed from V9bwith a changing tone, which eventually attained
the status of a chord tone, in the upper voice (Ex. 1224,b).

EXAMPLE 1224 ,

EXAI@LE 1221 Chopin: Mazurka, Op. 59, No. 1

i
EXAMPLE 1225 Gershwin: Rhapsody in Blue
Meno mosso e poco schelzando

(
EXAMPLE 1222 Bartbk: Mikrokosmos,VI, No. 151
8- - - - - - - - - - - -

Another basic heterogeneous chord is the major-minor seventh chord with

an additional, major, seventh - the latter in the upper voice (Ex. 1226,a).This
chord eventually developed from the transformation of a changing tone into a
chord tone (Ex. 1226,b).

EXAMPLE 1226 ,
Heterogeneous chords are quite common in jazz. They came about
through the influence of the blues mode, which includes two types of thirds,
two types of fourths, two types of sixths, and two types of sevenths between its
first tone (the tonic) and the other tones respectively, appearing above it (Ex.
1223).

EXAMPLE 1223 Blues mode on C

n Additional tones were gradually added to the major-minor seventh chord
with an additional, minor, third: a minor ninth; a minor thirteenth; a minor
520 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

thteenth and a major thirteenth; two thirteenths and two sevenths; two
thirteenths, two sevenths, and a minor ninth; two thirteenths, two sevenths,
and two ninths; etc. (Exs. 1227,a-f).

EXAMPLE 1227
a. b. c. d. e. f.
HARMONY

37.6 FUNCTIONALITY IN THE HARMONY OF JAZZ

The harmony of traditional jazz is based mostly on principles of functional
harmony (see 12.7.4). It should, however, be noted that jazz also includes
chord successions which constitute a texture of parallel chords (see 35.2).
These progressions are not based on harmonic principles (they evolve rather
through the influence of melodic factors, not unlike organum) and the princi- 38.1 The period of transition from functional harmony to atonal harmony is
ples of chord succession do not apply to them (Exs. 1228, 1229). relatively short, but not without interest.
The harmony which evolved during this period is not based only on tertian
chords; chords generated by the interval of a fourth or a second, and chords
EXAMPLE 1228 McHugh: Don't Blame Me (piano interpretation by G.Shearing)
built on various sons of intervals used simultaneously, began to appear as well.
The harmony referred to here is not atonal - in the sense attributed to th~s
term in relation to some pieces by Schoenberg, for instance. It rather manifests
some tonal features, although it radically differs from f u n c t i o ~ lharmony. We
shall caIl it paratonal harmony.

EXAMPLE 1229 D. Brubeck: Strange Meadow Lurk

38.2 CHORDS CONSTRUCTED ON
Free rubato FOURTHS OR SECONDS
The chords referred to in this section are not tertian chords, the tones of
which are arranged incidentally according to intervals of fourths or seconds, as
is the case with the second chord of Ex. 1230, but rather chords' which are
INTENTIONALLYconstructed of intervals of fourths or seconds - for the ex-
press purpose of "breaking free" of the tertian principle and the functionality
associated with it.
522 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS P A R A 7 0 N A L HARMONY

EXAMPLE 1 2 3 0 Lalo: Symphonic espagnole, Op. 21 EXAMPLE 1232 Ives: The Cage
Allemo non t r o ~ ~ o

E.XAMPLE 1233 Berg: Wozzeck

Prestissimo Ps , I

38.2.1 Chords ~enerated by the Interval of a Fourth

We ought to distinguish between two types of chords constructed of
fourths - those composed solely of perfect fourths (see 38.2.1.1) and those
whlch include fourths of any type (see 38.2.1.2).

38.2.1.1 CHORDS CONSTRUCTED OF PERFECT

FOURTHS (Exs. 1231,a-d)

EXAMPLE 1231 38.2.1.1.2 Inversions

a. b. The principle of chord inversion, familiar to us from tertian chords, may
also be applied to chords generated by the interval of a fourth. Unlike tertian
chords, however - in relation to which the principle of chord inversion
generates a series of chords generally having an IDENTICAL root (this is one of
the rudimentary features of tertian harmony) - this principle, when applied
38.2.1.1.I Some of the chords presented in Ex. 1231 are marked by a.certain to chords based on the interval of a fourth, produces a series of chords, the root
instability, stemming mainly from the fact that their root is difficult to iden- of which (if at all perceptible as such) varies with each inversion (Exs. 1234,a-
tlfy. If there is a certain tendency to hear any given tone of these chords as a dl.
root, it is usually not the lowest tone. This fact (that it is actually a tone other
than the bass which constitutes the root) might explain, to a certain extent, the
EXAMPLE 1234
chords' instability, as well as their dynamic quality. The use of chords contain-
ing only perfect fourths usually results in a texture ofparallel chortLr (Exs.1232,
1233).
524 HARMONY IN ITS SYSTEMIC AND PHWOMENOLOCICAL ASPECTS PARATONAL HARMONY 525

In the "fLndamenta1" chord (Ex. 1234,a) the root is ~b (?); in the first EXAMPLE 1236 Bart6k: Mikrokosmos, VI, No. 144
Molto adagio, mesto T
inversion (Ex.1234,b) the root is F1;in the second inversion (Ex. 1234,~)it is
~ b ' ; in the third inversion (Ex. 1234,d) the root is ~b'.

38.21.2 CHORDS CONTAINING DIMINISHED AND/OR

AUGMENTED FOURTHS (Exs. 1235,a-h)

EXAMPLE 1235
b. C. d.

The chords presented above (Exs. 1235,a-h) are characterized by their great
variety. Some of them sound enharmonically like certain tertian chords (Exs.
1235a,e,g,h). Chords like these must be considered in relation to their musical
context.

38.2.2 Chords Generated by the Interval o f a Second

The chords included in this section are constructed of intervals of a second.
When the seconds appear one above the other (when the chord is "fundamen- 38.2.2.3 CHORDS CONSTRUCTED OF MAJOR AND MINOR SECONDS
tal" and when it appears in "closed" position) it is called a clu~ter.~Second- It is difXcult to deterrriine the root in these chords (depending on the
based chords may include major and/or minor seconds, on the basis of which specific structure of each and every chord).
they may be divided into three categories. The clusters in the two following passages (Exs. 1237a, 1237b) are diat0nic.l
They appear in a paratonal context and are distinct from atonal clusters3.

38.2.2.1 CHORDS CONSTRUCTED OF MAJOR SECONDS

EXAMPLE 1237a Ives: Majority
In a chord constructed of three tones, the root is the lowest tone. In chords
of more than three tones, the root is undefined.

38.2.2.2 CHORDS CONSTRUCTED OF MINOR SECONDS

In these chords the root is undefined (Ex. 1236).
.
The root of this chord is the root of the fifth included in the chord.
One must distinguish between a diatoniccluster, composed of the "white key tones" of the
piano, and a chromtic clucter, which include all the tones within a given interval (see 41.3) ' These will be discussed in 41.3.
526 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS PARATONAL HARMONY 527

.
EXAMPLE 1237b Ives: Majority
Lento
EXAMPLE 123833 Berg: Wozkeck
Lento

EXAMPLE 1239 Berg: Violin Concerto

Quasi a tempo I (AllGgro rubat.)

38.3 FUNCTIONALITY IN PARATONAL HARMONY

Paratonal harmony is not subject to a predetermined functionality. It is
based on idiolecticfirnctionalities, expressing the personal style of each composer,
and varying from one composer to another.
The content we assign to the concept idiolecticfirnctionalityincludes a large
number of factors - much subtler than those appearing on the surface. We ac-
tually refer to the whole set of factors responsible for the fact that a given se-
quence of chords, for instance, does or does not create the feeling of being an
organic harmonic sentence.
I&olectic functionality must, however, be hstinguished from com-
positional processes per se,.although the distinction between functionality and
EXAMPLE 1240 Berg: Wozzeck
compositional processes is less -clear in paratonal harmony than in functional
harmony (in whichfitnctionality dearly constitutes a pre-compositional datum);
Some idiolectic functionalities have proven most convincing, although it
seems difficult to explain the mechanism behind them (Exs. 1238-1240).

EXAMPLE, 1238a Berg: Wozzeck

Lentissirno, ma commosso
 HARMONY IN ITS SYSTEMIC AND P H E N O ~ L O C I C A LASPECTS I :

The power of the functionality of the excerpts cited in Exs. 1238-1240 is

manifested, inter alia, in the fact that one can hardly change a single tone
without destroying the basic nature of the passage. One should beware,
however, of explaining the functionality at hand on the basis of some obvious .
facts discovered at first sight. Saying, for instance, that the second chord of Ex.
1240 results from leadmg the first chord tones by half a tone lower or higher,
39 HINDEMITH'S
explains nothing of the functionality behind ths chord succession, so
characteristic of Berg. Reducing idiolectic functionalities to this kind of con-
THEORY
sideration is the same as trying to explain the functionality of functional har-
mony on the basis of several voice-leading rules.
OF TONALITY,
FREE ATONALITY

39.1 HINDEMITH'S THEORY OF TONALITY

Before we bid farewell to tonal music and all that it entails and pass on to
atonal music, we should like to dwell briefly upon a particular type of
tonality, conceived by Hindemith.'
Hindemith's theory of tonality was formulated primarily with the inten-
tion of "putting in order" the music of the turn of the century - music in
which tonallty was steadily disintegrating.
We do not intend to present here the entire scope of this theory nor to
point out all of its theoretical and musical flaws. We shall not enlarge upon the
contradiction to be found in the theoreticd arguments nor upon other
discrepancies - such as the determination of the root in a minor third, for ex-
ample - since these are only of secondary importance. Rather, we should like
to point out some main pitfdls which stem from a certain type of orientation
and from a certain approach to music theory in general, so as to cast light upon
similar flaws found in other comprehensive theories, structured upon notions
which have not been defined on the basis of a phenomenological experience.

Paul Hindemith, Craft ofMwunca1

Composition (Vol.I ) , London,Schott, 1948.
530 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HINDEMlTH'S THEORY OF TONALITY, FREE ATONALITY 531

39.1.1 The Epistemologicd Background

- (such as should be expected, according to Hindemith) in the sensation of the
" BEAUTY" of the interval.'
Hindemith's "tonality", as presented in his book1, is rooted in a desire to
create a comprehensive theory which would explain all of tonal music.2 Further on, Hindemith (probably inspired by Leibnitz) arrives at the fol-
Hindemith goes to great lengths to present a theory which appears to be as lowing conclusion: "This basic fact of our hearing process reveals to us how
scientific and objective as possible. T o this end, he adopts a physical starting closely related are number and beauty, mathematics and art."'
point and bases his theory chiefly upon two acoustic phenomenk: overtones and Who can remain level-headed after such captivating rhetoric, bordering on
mysticism of the most precarious sort?
combination tones.
However, instead of evidence based upon operative experimental
procedures, as required of such an attitude, we find arguments of a rather
questionable variety. On pp. 23-24, for instance, we read: "But the ear is llke a 39.1.2 M e t h o d o l o g i d Procedure
fabulous sieve, that not only sorts what it receives into large and small, but Through various manipulations (see below) Hindemith formulates the
measures it exactly."' basic concepts of his theory.
Our ear is not an instrument of precise measurement, as implied in
Hindemith's assertion, but one which operates in a non-linear manner, par ex-
cellence, following its own laws, which arc far more complex than one might 39.1.2.1 SERIES 1
imagine. ' Series 1 constitutes a key concept of Hindemith's theory. Hindemith arrives
The next claim made by Hindemith - in which he states: "It [the ear]
at this series by applying the following rule, presented on p. 34. "To arrive at
hears simple ratios as beautiful and correct sounds, and it recognizes perfectly
each new tone of the scale, divide the vibration-number of each overtone suc-
that the purity of the octave, the fifth, or the fourth is clouded when the
cessively by the order-numbers of the preceding tones in the series.'"
proportions of length or vibration frequency are not in the ratios of 1 2 , 2:3,
Having read, on p. 33, that "I shall simply follow the suggestions which to
or 3:4"' - is also without sufficient foundation.
the understanding ear lie hidden in the overtone series, and shall thus arrive at
Hindemith, who attempts to explain the sensation of the "beauty" of inter-
a simple and natural construction of the scale"', who would dare suspect that
vals on a mathematical basis, fails to bring - into account, inter alia, the fact these manipulations are not dictated by the musical instinct and do not stand
that the tempered system, for example, on which western music is based, is
up to the test of musical hearing?
constructed upon intervals whose frequency ratio is (l;i;)".
The frequency
However, series 1 (Ex. 1241), which was created with the intention of ex-
ratio of ALL INTERVALS in the tempered system, except for the octave,
plaining the degree of relationship of each of the tones of the ch~omaticscale
constitutes, therefore, an irrational number.' he
temperid fifth may (IF)', to the tonic, is somewhat in contradiction to musical reality.
perhaps sound a bit different from the natural fifth 3:2 but by no means less
"
pleasing" than the perfect fifth. But note that the transition from a simple
ratio, 32, to a highly complex one, ('il;)', does not result in any changes EXAMPLE 1241 Hindemith's Series 1

Hindemith explains "tonally" even works which.are in fact atonal (see the analysis of 'According to Hindemith's assertion (inspired, incidentally, by Pythagoras), all intervals
the Klavierstuck Op. 33a by Schoenberg - op. cit., p. 217). of the tempered system (aside from the octave) should sound EQUALLY "beaudful" since each
'
See, for instance, Pierre Schaeffer, TraitC des objets rnusicaux, Paris. Editions du Seuil, of them constitutes an irrational frequency ratio. (We make use of this mathematical
1966. demonstration, which is rather theoretical, to avoid itemization of particular cases - although
' (v)n#$ (where n#12 k and p, q, n, k are natural numbers). the latter might be more convincing from a practical standpoint.)
532 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HINDEMITH'S THEORY OF TONALITY, FREE ATONALITY 533

A mere glance at series I (Ex. 1241) is enough to evoke some ques- Rather than delving into theoretical explanations, let us proceed directly to
tions: Are the tones A and E in fact closer to C in C minor than are Ab and the analysis of the Sinfonia in F minor by Bach, presented by Hindemith
~ b Obviously,
? that which applies to C major, for instance, does not apply to himself1 on the basis of his theory (Ex. 1243).
C minor.6 A similar question also arises in connection with the tone D. Is it in
fact less closely related to C - in C major6, for instance - than are the tones EXAMPLE 1243 Bach: Sinfonia M
~b and ~b ?

39.1.2.2 CHORD CLASSIFICATION

Another point we would like to raise in relation to Hindemith's theory has
to do with chord classification. Hindemith's division of the chords into two ! degree progression given by Hindemith j I l l
groups (Group A, containing all those chords which do not include a tritone, I l l 8

and Group B, which contains all those chords which do) and the subdivision
-
-
I
1
(
I
I
4
r
I

into twelve subgroups, also do not stand up to the test of auditory experience. : degree progression given by us I

If we ignore obvious cases, we observe that this classification does not con- -
1
d
- 1
-
1 I
I
I
L
0.
stitute a genuine representation of the Merences in tension between the
various chords.
Take, for example, the following two chords (Exs. 1242-a,b). Despite the According to Hindemith, the degree progression in the above excerpt is F,
fact that according to Hindernith's theory the chord in Ex. 1242,b is con- Eb, Eb, Bb, F, ~ b C,, F (Ex. 1243). It seems inconceivable that any musician
sidered more tense than the chord in Ex.l242,a(Hindemith attributes the chord would accept this interpretation, and one wonders how so fine a musician as
marked b to Group IV,, while the chord marked a is attributed to Group nb,), Hindemith "heard" such a strange degree progression and "did not hear" the
it is dif-ficult to accept that the chord in Ex. 1242,b SOUNDS more tense than true one (Ex. 1243, lower staff)'? W e have no doubt that in this case
the one given in Ex. 1242,a. Hindemith was not listening through hls powers of hearing but through his
theory which, as we have already seen, is suspected of having some basic
EXAMPLE 1242
drawbacks.

I In connnection with the Bach Sinfonia (Ex. 1243) it should be noted that
some of the tones which are perceived as roots do not actually appear in the
score. Rather, we become conscious of them through our powers of additive
hearing.
In the theory of Hindemith and other similar "objective-scientif~c"
theories, however, there is no place for additive hearing. Such theories can
relate only to that whch is seen (that which is written) and not always to that
39.1.2.3 DEGREE PROGRESSION which is heard.
One final point which we should like to raise in connection with
Hindemith's theory relates to the nature of its references to degree progression. A. This degree progression represents the chord succession I-V& -[I~~,J-Iv~~-Iv;s,-I~-Iv-
Vh-1 which manifests itself in an implicit way through the two-part texture of the Sinfonia
(Ex. 1243). .
One must bear in mind that the theory proposed by Hindemith purports to explain 8. The last' beat of the first bar does not unambiguously evoke a single root, for which
every category of music based on tonal principles - including music o f the tonal system, i.e., reason the tone F (Ex. 1243) and the chord symbol I,!:, (Footnote 7, A) are marked with
music based on the major and the minor modes. bradtets.
 HINDEMITH'S THEORY OF TONALITY, FREE ATONALITY 535

39.2 ATONAL FIELD, FREE ATONALITY EXAMPLE 1245 Hindemith: Ludus tondis, Fuga N o . 1 1

39.2.1 An atonal field is created by a group of tones, arranged so as not to

form any clear tonal center.

39.2.2 By free atonality we refer to that stage of atonality which preceded

dodecaphonic serialism (see 40.4). Free atonality differs from the atonality of
dodecaphonic serialism in that it does not stem fiom atonal intents based on
clearly defined and predetermined principles (Exs. 1244-1246).
The following passage (Ex. 1244) is an illustration of atonality pm excel-
lence, even though it is constructed primarily on two fixed chords. The
atonality in this case mainly derives from the difficulty in idzntifying the root
in each of the chords at hand. While the root of the first chord (A-F#-B) is
apparently B ( I ) and that of the second chord (G-C-F) is F (?), these tones are
not conspicuous for their unequivocal root characteristics. Furthermore, it
seems impossible to determine the root in the polychord created by the above-
mentioned chords, because of the tritone created between the "roots" (B and
F) of the two chords comprising the polychord.

EXAMPLE 1244 Schoenberg: Sechs kleine Kfavierstiicke, O p . 19, No. 6

Lentissimo

1
It has been said by some musicians that the difference between the music of
Hindemith and that of Schoenberg from the standpoint of TONALITY lies in
the first and last chords alone. T o illustrate t h s point, we present a collage
(Ex. 1246) combining excerpts from Drei Klavierstucke, Op. 11, No. 1 by
Schoenberg and a passage from Fugue No. 11 from Ludus tonalis by
Hindemith.'
EXAMPLE 1248

I Is the above collage (Ex. li46) not organic enough from the tonal (or
atonal) standpoint?
The following passage by Hindemith (Ex. 1245) represents in fact fiee
atonality (although it could probably be explained as "tonal" on the basis of
* The section marked with an x is from Hindemith's fugue, while the sections preceding
the composer's own theory - see 39.1). and following it are by Schoenberg.
 HARMONY IN SERIAL MUSIC 537

The tones of a serial piece, for instance, appear in an order which is deter-
mined by the tone series (or one of its transformations3).
Serialism does not imply a definite number of tones; it may be applied to
any number - not necessarily twelve.

40.2.2 Dodecaphony
SERIAL MUSIC Dodecaphony involves the application of all twelve tones of the chromatic
scale. In the sense given to it here4, dodecaphony does not necessarily imply
atonality or serialism4- and may, therefore, be tonal or atonal, serial or non-
serial (just as serialism may be tonal or atonal, dodecaphonic or non-
dodecaphonic).

40.3 TONAL NON-DODECAPHONIC SERIALISM,

TONAL DODECAPHONIC SERIALISM

I
i 40.1 Atonality, introduced in the previous chapter in connection with j e e
The present section is mainly presented for didactic reasons - to enable a
more complete view of atonal dodecaphonic serialism (see 40.4).
atonality (see 39.2), gradually developed to a point where it gained "official
1
recognition", especially in connection with serial dodecaphonic music (see 40.3.1 Tonal Non-Dodecaphonic Serialism
40.4). Before dwelling on the latter, we shall separately dwell on each of its Serialism - if taken in its largest sense - is not a new phenomenon,
constituents: serialism and dodecaphony. related to serial music alone. A prime manifestation of the series' essence is
found in various musical styles, as well as in a certain genre of pieces such as
the passacaglia, for instance (founded on a "series" of chords).
i 40.2 SERIALISM, DODECAPHONY' The following examples (Exs. 1247-1250) - constituting tonal, non-
dodecaphonic music - illustrate some "serialistic" manifestations.
I 40.2.1 Serialism
i Serialism implies the application of a fixed order in the successivity of a
i- EXAMPLE 1247 Bart6k: Mikrokosmos, I , N o . 7 (upper part)
number of elements, arranged within the framework of a series - known also oriaind series

as a set. There are four basic types of series, each of them representing one of
the basic tone characteristics: tone series, related to pitch2; rhythmic series, related
to duration; dynamic series, related to loudness; and timbre series, related to tone Y
/
' \.---.-//--
original series
original series
j quality. '
i
1
' These notions are presented here in a most brief and condensed form - mainly to enable
a view of some harmonic aspects of atonal music. Thereader interested in going more deeply retrograde
into the subject is referred to 'the foIlowing books: George Perle, S h l Composirion and
1 Atonality,Berkeley,University of California Press, 1%7; Reginald Smith Brindle, Serial Music,
' Referring to inversion, retrograde, etc. (see Footnotes 1, 5).
London, Oxford University Press, 1966.
W e shall not enter into a more detailed terminology, so as to differentiate between no- ' Not in accordance with the commonly accepted definition, which ties dodecaphony
dons like pitch, pitch class, etc. (see Footnote 1). with serialism.

i 536
538 HARMONY IN ITS SYSTEMIC AND PHWOMENOLOCICAL ASPECTS HARMONY IN SERIAL MUSIC 539

The piece presented in Ex. 1247 is based on a seven-tone series spread over 40.3.2 Tonal Dodecaphonic Serialism
the first four bars (bars 1-4). Bars 5-7 constitute a repetition of the series; bars Dodecaphony and serialism - even when appearing together - do not
7-11 present the series in retrogradeS (the tone F in bar 10 is not included necessarily imply atonality.
in the series); bars 11-14 (from the B in bar 11 until the end) constitute a The following passage, for instance (Ex. 1251), clearly manifests some
reiteration of the original series. tonal features - in spite of its being based on a twelve-tone series (A#, B, Eb,
The following excerpts (Exs. 1248-1250) illustrate a more sophisticated , D, ~ b F,, G, C, A, E).
~ b Ab,
case. If we remove from Ex. 1248 the ornamental tones (as shown in Ex. 1249),
we obtain (in major instead of minor) the "melodic version" of Ex. 1250. EXAMPLE 1251 Dallapiccola: Ouaderno musicale di Annulibera, No. 1
Quasi lenta

EXAMPLE 1248 Beethoven: Piano Sonata, Op. 2, No. 1 (upper part)

. . . .I . . simile I I I molco dim. I

40.4 ATONAL DODECAPHONIC SERIALISM

Having seen that atonality, dodecaphony, and serialism may exist indepen-
dent of each other, we shall examine the causes which eventually brought
about their coalescence.
Free atonality (see 39.2.2), which may be considered a starting point in the
transition from tonahty to atonal dodecaphonic serialism, was created without
the support of any explicit operational directives. A more close examination of
atonality reveals, however, that it involves quite naturally the application of
EXAMPLE 1250 Beethoven: Piano Sonata, Op. 2, No. 1 (upper part) both dodecaphony and serialism.
An ideal atonal field requires that its component tones have equal kinetic
tendencies (as far as possible), preventing any dfferences of kinetic potential
(see 1.2). This principle of "equality" between the tones (inherent to
atonality) may be effectively carried out by two means: dodecaphony and
serialism. The application of dodecaphony ensures the use of all twelve tones
Relationships like that found between the arpeggio tones of Ex. 1250 and - thus preventing potential "discrimination" between those tones which
their melocLc presentation (Ex. 1248) are characteristic of some serial pieces, in might not have been used and those which aren6Serialism, on the other hand
which the chords are generated from the same tone series from which the - when implying dodecaphony - ensures that any given tone of the
melody is derived (see 40.5.3).
It has been demonstrated thus far that some tones which are not acnrally used may, in
Retrograde motion, quite common in serial music, is formed by presenting the elements some instances, be most sigmf~cant.(In Ex. 1243, for instance, some of the tones representing
of the original series in reverse order: from end to start. the roots do not actually appear.)
540 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS HARMONY IN SERIAL MUSIC 541

chromatic scale will re-appear7 only after the other eleven tones have appeared The task of "functionality" in serial harmony is thus reduced mainly to
- thus creating optimal conditions of equality among the twelve tones of the preventing the formation of certain sonorities- atypical of atonal harmony -
chromatic scale. such as chordr evoking tonality, octave doubling (see 40.5.4), and others.12

40.5.2 Harmonic Tension

40.5 HARMONY IN ATONAL SERIAL MUSIC Before we proceed to deal with harmonic tension in atonal serial music, we
shall summarize the factors which create harmonic tension in tonal music.
40.5.1 "Functionality"
These factors are:
The concept of harmony alters basically when appearing in connection with
atonal music. Functionality8, one of the prime components of tonal harmony, a. differences in kinetic potential among various tones of the scale;
rooted in the tendency of the tones to move in accordance with definite I b. M e r e s in intervalic structure among the various chords;
gravitational forces, is missing from atonal music. Instead, we find a different c. differences in the degree of chordal density (differences in the number of
kind of "functionality" - in serial music - resulting primarily from the re- tones included in each chord).
quirement that the order in which the tones of the various series appear be It is worth noting that real harmonic tension is created mainly by the first
strictly retained, i.e., a functionality based upon the "tendency" of the nth tone factor (a.) rather than either of the other two factors. In comparing, for in-
of the series to move towards the tone n + 1). I
stance, the two chords presented in Ex. 1252, when detached from any given
It is worth noting, however, that this tendency of the tones to move in tonal framework, we obsenre that the chord marked a is more dissonant - by
serial music (from the nth tone of the series to the tone n + 1) ddfers essentially virtue of its structure - than the chord marked b.
from the lunetic tendencies ingrained,
- for instance, in the tones of a tonal
piece. While in tonal music the tendency of the tones to move results in a
codeg which is INTUITIVELYassimilated by virtually anyone familiar with this .
EXAMPLE 1252
a. b.
musiclo, serialism - which determines precisely which tone should follow
which and which chord should follow whichll does not succeed in
'- I
establishing such a code (with regard to the effectiveness of auditory orien-
tation). lo

Our above assertion may, however, weaken if we compare the same two
' Not applying to immediate repetitions of a tone, nor to repetitions caused by a aill. chords (Exs. 1252-a,b) within a defirite tonal frame of reference. In C major,
This term is used here in in largest sense (see also 35.3.3; 35.4; 38.3). for instance, the chord marked b sounds more tense than the one marked a.
See 1.1; 1.4.
This fact - that in the context of C major, the chord marked b sounds more
lo While a person familiar with the music of the tonal system senses the tendency of the
tones to move in accordance with the tonal code (every musical child, for example, senses the tense than the chord marked a - is rooted in the manifestation of the former as
tendency of the leading tone to ascend, even in a piece which he hears for the first tixpe), in having dominant qualities, i.e., in the functional orientation of our hearing.
atonal music the sensation of any tendency of the tones to move - in accordance with Such an auditory orientation does not exist in atonal music, due to the lack of
serialistic principles - is doubtful even in the case of excellent musicians.
the first factor (a. listed above).
" Serialism is expanded in some instances to the point of predetermining not only the suc- !I

cession of the tones of a composition, but also the duration of the tones, their dynamic values,
and their timbre. This type of serialism (known a. total serialinn) is found, for instance, in Stw- -
IZ These kinds of sonorities creating an incongruity with the style of a given piece - do
tures for two pianos by Boulez. (An analysis of this work is presented by Gyorgy Ligeti in Die appear sometimes (mainly in compositions based on total serialism - see Footnote 11) as a
Reihe No. 4, Wien, Universal Edition, 1958.) result of an automatic application of serial procedures.
 I
542 HARMONY IN ITS SYSTEMIC A N D PHENOMENOLOGICAL ASPECTS HARMONY IN SERIAL MUSIC 543

It follows, then (although paradoxically), that harmonic tension in atonal chords may include any number of tones, fiom a mere two to all twelve. The
music is rather limited - in comparison with that of tonal music." fewer tones the chord includes, the greater the distance between the ap-
W e might illustrate the above by the following, two excerpts (Exs. 1253, pearance of a given tone of the series and its reiteration. This distance is
1254). I
therefore inversely related to the number of tones in the various chords. In a
EXAMPLE 1 2 5 3 Schoenberg: String Quartet No. 4, Op. 3 7
chord composed of a11 twelve tones, for example, at least one of its tones is
Allegro molto; energico repeated imme&ately &er the appearance of the chord.
In Schoenberg's Fourth String Quartet, for instance (Ex. 1255), the twelve-
tone series is distributed between the melody and its accompaniment (chords
of three tones each) in a way which provides optimal &stance between the ap-
pearance of each tone of the series and its reiteration (Ex. 1255)14.

EXAMPLE 1255 Schoenberg: String Quartet No. 4, Op. 37

Allemo molto; energico
EXAMPLE 1 2 5 4 Bach: Es ist genug

Listening to the above two excerpts (Exs. 1253, 1254), one observes that I
the harmonic tension emanating from the Bach chorale is - in a certain sense 1,

- higher than the tension emanating from the passage by Schoenberg

(although the number of dissonant intervals is much larger in Schoenberg's ex-
cerpt). The sense of tension in the chorale by Bach emanates mainly from the
manifestation of some tonal characteristics, i.e., of the first factor (a.). vn vn~ IX x ' XI-

The twelve-tone series (Ex. 1255) appears in the melody (upper staff).
40.5.3 Generation and Use o f Chords in Dodecaphonic Chord I is composed of tones 4, 5, and 6; it could not include tones 1, 2,
Serial Music and 3, since tone 1 (D) appears at the same time in the melody (see 40.5.4).
The chords of serial music are not constructed according to a fixed inter- Chords I1 and 111 include the remaining tones of the series (7, 8, 9, 10, 11,
valic principle (such as the tertian principle), but rather according to the inter- and 12).
vals of the series (in its original form anaits various transformations). These I Chord IV cannot include tones 1, 2, and 3, since tone 3 (A) appears at the
same time in the melody (see 40.5.4). For the same reason, this chord cannot
I' In comparing harmonic tension to electrical tension, we might say that in atonal music
the potentials are high but the differences between them are small, while in tonal music the l4 The numerals, from 1 to 12, denote the order of tones in the series; the roman numerals,
potentials are lower but the differences between them are greater. fiom I to XI, denote the chords in order of appearance.
544 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HARMONY IN S E R W MUSIC 545

include the tones 4, 5, and 6 - since tone 4 (Bb) appears in the melody im- Nevertheless, it is worth mentioning that there are cases of dodecaphonic
mediately after the appearance of the chord. The most suitable tones, then, are serial music, in which the octave does appear - as both a harmonic and a
7, 8, and 9 which have already appeared in chord 11 (chord IV is a sort of melodic interval. One should note, however, that these cases usually manifest
"inversion" of chord n). some tonal features (Exs. 1257a, 1257b, 1258).
Chord V cannot include the tones 1, 2, and 3, nor the tones 4, 5, and 6,
because tones 3 and 4 (A and ~ b appear
) nearby in the melody. Since tones 7,
8, and 9 appear in the previous chord (IV), the only available tones are 10, 11,
and 12 (which appeared in chord In). EXAMBLE 1257a Schoenberg: Piano Concerto, Op. 42
Chord VI may finally make use of tones 1, 2, and 3, since these tones,
which have already appeared in the melody, are now at a reasonable distance
from the chord in question.
Chord VII is composed of tones 10, 11, and 12 - which have already ap-
peared in chords In and V; this chord could not have included tones 4,5, and 6
(since tone 6 appears nearby in the melody), nor tones 7, 8, and 9 (since tone 7
appears at the same time in the melody).
Chords W I , IX, X, and XI present, alternately, tones 1, 2, 3 and 4, 5, 6.

40.5.4 The Octave in Dodecaphonic Serial Music

Atonality - based on "equality of rights" among the tones (see 40.4) -
implies chords which contain no doublings. Doubling of one (or more) of the
tones not only defeats the principle of "equality"; when applied to relatively
tense chords, it may impair the homogeneity and sonority of the chords, and
may even cause a certain feeling of "impurity" - similar to that which may
EXAMPLE 1257b Schoenberg: Piano, Concerto, Op. 42
be caused, for example, by the doubling of a leading tone or a seventh in
chords subject to functional harmony.
The doublings in the following chords, for instance (Exs. 1256-a,b), are not
characteristic of atonal harmony (they interfere with the "equality" of the
tones and with their respective independence).

EXAMPLE 1256
546 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HARMONY IN SERIAL N S I C

EXAMPLE 1258 Schoenberg: Violin Concerto, Op. 36

In comparing the above passage (Ex. 1259) with the Fourth String Quartet,
for instance (Ex. 1255), one observes that the chords in the latter fulfill a
rhythmic rather than harmonic role1', as opposed to those of the Violin
Concerto, which - while associated with a texture of a rather contrapuntal
character - fulfill a harmonic role par exellence.

40.6 CONSIDERATION O F CERTAIN FACTORS

IMPLIED BY SERIALISM, IN TONAL MUSIC
We shall close this chapter by considering certain factors inherent to
serialism - the no doubling principle and the adherence to the "jeshness" of the
tones - in relation to tonal music.

40.6.1 The principle of no doubling, inherent to the idiom of atonal serial

The Violin Concerto (cited above) seems to be, by the way, one of the few music, may also be effectively applied to certain tonal chords of high density and
serial compositons by Schoenberg in which the harmonic entity is truly tension. W e shall try to demonstrate this issue by using the following excerpt,
realized (see Ex. 1259). from the realm of jazz - usually played more or less as follows (Ex. 1260).

EXAMPLE 1260 Timmons: Mourning

EXAMPLE 1259 Schoenberg: Violin Concerto, Op. 36
Poco allegro

IJ Chord succession seems -from a harmonic standpoint - somewhat arbitrary (even

though it r d t s from the application of quite logical serial procedures - see 40.5.3).
 548 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HARMONY IN SERIAL. MUSIC 549

Some of the doublings in the previous passage (Ex. 1260) detract from the twice in the same voice) seems to detract from the freshness of the ~ b othe
f se-
harmonic tension of their respective chords - the doublings of the F, for in- cond entry (immelately following the Bb in the lower voice).
stance (marked in Ex. 1260). It may appear then, at first sight, that the passages presented in Exs. 1263a,
I
In the following excerpt, on the other hand (Ex. 1261), the situation dif- 1263b (referring to the sixth bar in each example) give greater stress and better
fers. The doublings appearing in Ex. 1260 are removed and one of each of the preparation to the second entry of the theme.
1 doubled F's is replaced by another tone. One F of the thud chord, for instance
I - the upper one - is replaced with a G . (This G not only adds tension to the 1 EXAMPLE 1283a
chord; it also refreshes the somewhat used F of the final chord by relating to

I
I
it, as it were, as a kind of appoggiatura.)

EXAMPLE 1261
EXAMPLE 126333

A closer examination of the whole fugue reveals, however, that the solu-
40.6.2 The adherence to the "fieshness" of the tones in dodecaphonic serial tions presented in Exs. 1263a, 1263b are LOCAL solutions which take into
music - emanating from the avoidance of any reiteration of a tone until the account the local problem only, while ignoring (and detracting from) other
remaining eleven have appeared - constitutes a principle which may also be factors, such as the strategy of the thematic organization, etc.
applied to other types of music. It becomes evident, then, that the original version by Bach constitutes the
best solution.
Among those tones to which we are particularly sensitive with respect to The following passage (Ex. 1264) serves to illustrate a similar case.
fieshness is the first tone of the entries of a fugue. W e believe the best "text-
book'' for the proper handling of this problem to be Das tuolhtemperierte la vier EXAMPLE 1284 Bach:. Das wohltem~erierteMavier. I . Funa No. 18
by Bach. This collection, however, also includes some cases which may appear
AT FIRSTGLANCE to pose a certain problem (Ex. 1262).

EXAMPLE 1262 Bach: Das wohltemperierte Kluvier, 11, Fuga No. 7

The first tone of the second entry ( ~ -b Ex. 1262, bar 7) does not seem to
sound particularly fresh (even if we take changes of register in the harpsichord
into account). The ~b in bar 6, in the lower voice (having already appeared
550 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS

It seems, at first sight, that the entry of the theme in the tenor (beginning
with a D# in the third bar) fades, to a certain extent, into the D#minor cadence
(Ex. 1264). Accordingly, it appears that this entry would have been more ef-
fective if the theme were to begin with C#instead of D#, i.e., if it had been
presented in its real form, instead of its tonal-form (Ex. 1265)16.

POST-SERIAL
MUSIC

41.1 Music following serialism developed in many different (often opposite)

directions: from total automation on the one hand to the improvisation which
gave rise to aleatoric music on the other hand.
Harmony (in its broader sense) is also manifested, to various extents, in
post-serial music. Although it is difficult to isolate it as an element to be dealt
However, a closer examination of the above two excerpts (Exs. 1264,1265) with separately, we shall endeavor to present some points related to it.
reveals that the conclusion at which we arrived is not unequivocal; it holds
true regarding the first tone of the theme only (C#in Ex. 1265, and in Ex.
1264) and does not hold true with regard to the theme as a whole. The seconds
relationship between the D#of the cadence and the d - ~ # ~ r o ~ r e s sopening
ion 41.2 I UANGFARBENHARMONIE
the theme (Ex. 1265) tends to swallow up the entry of the tenor, thus
One of the characteristics of post-serial harmony (referring to harmony in
detracting from its effectiveness. O n the other hand, the third D#-B#(EX.
its broadest possible sense) is its firm link with timbre.
1264) tends to bring out this entry.
The chord (this sometimes refers. to a cross-section of the tonal mass at a
One may easily conclude, on the basis of the examples presented in t h s sec- certain point in its flow) often assumes its essential characteristics from a cer-
tion, that adherence to the freshness of the tones - as to any other principle in tain combination of timbres (as well as such additional factors as register,
music - must be examined in each case on its own merits, taking into con- loudness, etc.) .
sideration stylistic factors and contextual conditions. Such chords - which we would define as a synthesis ofpitch-relations and
timbre relations - form what p-ight be called Klangfarbenharmoniel.

l6 A modiftcadon is introduced in the upper voice (Ex. 1265) to avoid the formation of an This concept, proposed by the author, is named after the well-known notion of
unprepared six-four chord. Kkandarbenmelodie.
552 HARMONY IN ITS SYSTEMIC AND PHENOMENOLOGICAL ASPECTS HARMONY IN POST-SERIAL MUSIC 553

In Klangfarbenharmonie any change in one of the factors which we have T w o main types of clusters are found in cluster pieces: static cluster, formed
enumerated (timbre, register, loudness, etc.) more usually results in an essential by the simultaneous appearance of its component tones (Ex. 1267), and dynamic
change of the HARMONIC essence - even though the intervalic structure of cluster, formed by the melodic activity of several voices (Ex. 1268) - pp. 555-
the chords remains unaltered. 557.
In Ex. 1266 (p. 554, for instance, a basic change of the harmonic entity is It should be noted that the difference between two clusters such as those
produced by a change in the orchestration of the same chord (wind instru- presented in Exs. 1267, 1268, is sometimes more apparent visually than
ments against strings). auditively. Because of the special and extreme conditions - inherent to the
Harmonic changes such as this caused by changes in orchestration or other tonal material - it is not always possible to distingush between certain types
factors, may also develop in simpler chords (those of functional harmony, for of static clusters and certain types of dynamic clusters. The distinction is all the
e ~ a r n p l e )Yet
. ~ it seems that we are less sensitive to such changes in chords sub- more difficult when it comes to the various dynamic clusters (not to mention
ject to functional harmony. It may reasonably be assumed that a dominant the deciphering of the various voice progressions).
seventh chord, for instance, will be perceived as a dominant seventh chord in
virtually any orchestration and register. This is probably due to the fact that 41.3.2 Clusters are still used in different forms and in various contexts (see
such a chord - unlike sonoric events of a unique and ephemeral structure - 38.2.2.3).
represents (in any of its possible concrete realizations) some constant (systemic) The following passage, for instance (Ex. 1269), illustrates a harmony of
features to which we may relate in the "abstract" (referring to the structure of polyclusters, formed by the simultaneous appearance of two clusters, each of
the chord - symbolized by 7, to its degree - symbolized by V , and to itsfunc- which contains five tones.
tional gene - symbolized by D).
EXAMPLE 1289 Sadai: Anagram for orchestxa and tape
(Chorale) I

41.3 HARMONY OF CLUSTERS '

41.3.1 Post-serial music created a new type of harmony, based on clusters -

mainly chromatic (see chap. 38, Footnote 2).
The full cluster - one which includes at least twelve3 different tones, within
the interval of a major seventh - constitutes the most dense chord theoretical-
ly conceivable (aside from white noise). It seems, howe,ver, that clusters like the
above-mentioned - when used as essential tone material - do not constitute
an optimal medium for conveying extensive and detailed harmonic informa-
tion (the "ideal" cluster - one in which each of its tones is sounded at an
equal loudness - is perceived as "one tone" of a great mass and undefined
pitch). Hence, other elements such as timbre, register, and dynamics have been Another attempt is the combination of very dense chords (quasi-clusters)
highlighted, in a new genre of compositions - cluster pieces. with chords reflecting a tonal quality. A prime example of this may be found
in Ligeti7s Continuum for harpsichord (Ex. 1270)4- see pp. 558, 559.
We believe that the above-mentioned example - w l c h returns us to a
The influence df the bass register on the harmonicsignificance of chords has already been major triad - may serve as food. for thought and as a stimulant for fruidul
discussed - in 13.5, for example. creativity.
'
There are also clusters built on intervals smaller than a half tone. A511 cluster, built on the
interval of a quarter tone, for instance, includes twenty four different tones in the framework
of a major seventh (Ex. 1267, p. 555). ' Chords reflecting a tonal quality are marked with brackets (Ex. 1270).
EXAMPLE 1267 Penderecki: To the Victims of Himshima: Threnody
s.p. ord - - - - - - - - - - - - - - - - - - - - -- - - - - - -
EXAMPLE 1270 Lineti: Continuum
-
Prestissimo
 APPENDIX

Appendix 1. Sentences Including Triads, Sixth Chords, Cadential Six-Four

Chord, and Dominant Seventh Chord

Harmonic Sentences
Generated by a Computer

The harmonic sentences included in this appendix were produced by a

FORTRAN program written by Mrs. M. Balaban as part of an M. Sc. thesis in
the Computer Science Department of the Weizmann Institute of Science. This
program, which was run on an IBM-3701165 computer, simulated a chord-by-
chord synthesis of harmonic sentences on the basis of the rules of harmonic
progression presented in this book as well as some general and ad hoc rules of
chord construction, voice leading, etc.
It took some time to realize that a program of this nature cannot constitute
an efficient research tool. While such a program can corroborate a musical
theory, it cannot be used to analyze or explain it; the main disadvantage is the
lack of a model of the underlying theory which could formally represent the
basic concepts of functional harmony.
Since there is no generally accepted well-defined theory of tonal music, the
decision taken was to build a new system, intended to serve as a basis for such a
formalized theory. As such, the system clearly must be very general, flexible,
and simple. Accordingly, it must assume only an initial knowledge base,
which would include no more than the most primary elements of tonal music,
but which could be enlarged by an appropriate formalized theory.
The model chosen is declarative in nature, and includes some ideas from
semantic networks and attribute grammars. The system will be applied
through synthesis or analysis of various elements such as the harmonic sentence,
with the additional aim of dealing with Bach chorales. Implementation is
through QLISP, a very high-level, interactive, LISP-based language designed
for the development of large-scale experimental systems. The system uses such
advanced QLISP features as pattern-matching function call, deducti've reason-
ing, high-level data types (sets, bags), and a large associative memory.
 I
APPENDIX APPENDIX 565

C. (continued) 5. Sentences Using Lowered Sixth and Seventh Tones in Major

., C) 8
- -
, r*
I
..v 4
- T r
- -
4+

6. Sentences Using Lowered Sixth, Seventh, and Third Tones

in Major
4. Sentences Using Lowered Sixth Tone in Major
 1,VDEX OF MUSICAL EXAMPLES 569

1148-1150, 1162, 1169, 1181, Lai, F., VI, 178, 350, 990
1183, 1196, 1221 Lalo, E., 359, 414, 1014, 1119, 1230
Corelli, A,, 114, 192 Leclair, J. M., 365
Coquard, A., 844 Lcnnon, J., 1184-1186
Index of Musical Examples Ligeti, G., 1268, 1270
Dallapiccola, L., 1191, 1251
Debussy, C., 1058, 1072, 1092, 1163, Liszt, F., 1017, 1108, 1112, 1154
1173, 1192, 1199 McCartney, P., 1184-1186
Delibes, L., 433 McHugh, J., 1165, 1207, 1228
Desmond, P., 861 Mcndelssohn, Bartholdy, F., 244,345,
Dvoi5k, A., 368, 919, 1070 366, 382, 418, 420,880, 909, 947,
Number reference refers to the example, not the page.
Evans, B., 246, 1216 1042, 1120
Aharoni, D., XXVII, XXVIII Faurk, G., 1205 Milhaud, D., 1202-1204
Beethoven, L. V., 106, 111, 133, 138,
Foster, S. C., 1025 M o ~ a r t W.
, A., 39, 99, 108, 116, 127,
Amir, N., XXVI, XXIX 153, 157, 159, 182, 196, 203, 206,
Arlen, H., 1214 Franck, C., 71, 72, 423, 425, 438, 856, 131, 152, 155, 158, 177, 181, 195,
207, 210, 211, 218, 222, 253, 299,
876, 1010, 1016, 1117, 1153 204, 217, 221, 238, 256, 272, 294,
Bach, J. S., I, 36a, 37a, 38, 57, 81, 82, 308, 310, 312, 320, 327, 328, 331,
104, 110, 121, 128, 136, 146-151, Gershwin, G., 245, 1211, 1225 332, 338, 355, 357, 362, 372, 373,
179, 189, 197, 200, 205, 208, 209, Glinka, M. I., 336, 367, 842 383, 387, 388, 390, 397, 843, 849,
216, 223, 229, 233-235, 237, 251, Gluck, C., 194, 232, 239, 389, 920 915-917, 937, 942, 948, 953, 960,
252, 255, 264, 284, 289, 290, 295, Gounod, C., 863 971, 975, 989, 1000, 1009, 1022,
298, 302-304, 311, 313, 319, 321, Grieg, E., 212, 224, 380, 404, 885, 1026, 1049, 1064, 1121, 1151,
1W U
323, 353, 354, 356, 361, 364, 370, 1037, 1114 1159
386, 400, 410-412, 415, 445-452, Berg, A., 459, 1156,1198,1233,1238- Grusin, D., 1215 Mussorgsky, M. P., 381, 851, 1182
456, 460-464, 466, 467, 497, 498, 1240
Bizet, G., 225 Handel, G. F., 97, 202, 243, 297, 339, Nardini, P., 117
500-512, 514521, 523-532, 534- 413, 848
536, 538-557, 559-578, 580-584, Brahms, J., 123, 219, 283, 344, 855,
884, 908, 977, 987, 1189 Handy, W. C., 930, 979 Palestrina, G., 1176, 1179, 1180
586-590, 592-610, 612-622, 624- Haydn, J., 113, 154, 271, 282, 318, Penderecki, K., 1267
638, 640-643, 645-647, 649-651, Brubeck, D., 184, 1212, 1218, 1219,
1229 343, 374, 391, 392, 405, 416, 422, Peterson, O., 1217
653, 654, 656-658, 660, 661, 663-
Brubeck, H., 201 966 Prokofiev, S., 119
668, 670;672, 674-676, 678-681,
Bruch, M., 407, 894, 939 Herval, F., 186 Puccini,G., 1095
683-688, 690-693, 695-697, 699, Purcell, E., 940
Hindernith, P., 1245
700, 702, 704, 706, 707-769, 771- Carmel, D., 824 Hursel, M., 186
787, 789-794, 796, 801-822, 833, Chopin, F., VII, 91, 137, 180, 191, Raksin, D., 277
846, 860, 881, 897, 1113, 1157, 220, 227, 242, 263, 326, 329, 330, Ives, C., 1232, 1237a, 1237b Reger, M.,439, 886, 887, 910, 1115,
1161, 1243, 1254, 1262, 1264 358, 375, 419, 432, 434, 437a, 1164
Jobim, A. C., 273
Barritre, A., 187 437b, 469, 471, 473, 830, 845, Rimsky-Korsakov, N., 287, 396, 883,
Bartbk, B., 1222, 1236, 1247 911-913, 927, 1005, 1033, 1043, Kern, J., 1029 983
Bkaud, G., 991 1044, 1107, 1122, 1135, 1146, Kreisler, F., 107 Rossini, G., 371, 941
570 INDEX OF MUSICAL EXAMPLES

Sadai, Y., 1190, 1266, 1269 Slnetana, B., 1220

Scarlatti, D., 103, 193 Strauss, R., 134, 322, 878, 1116
Schocnberg, A., 1244, 1253, 1255, Stravinsky, I., 1193, 1194, 1197, 1201
1257-1259 Index of Subjects,
Tilnmons, B., 1260
Schubcrt' F'' 93' 125' 132' 156'
188, 190, 198, 230, 254, 360, 378,
Tchaikovsky, P. I., 214, 240, 348, 847, Terms, and Names
n ~ c

923, 935, 956, 959, 964, 968, 969, Vcrdi, G., 126, 852, 859
998, 1006, 1011, 1024, 1028, 1069 Viotti, J. B., 241
Schu~nan,W., 1200 Vivaldi, A., 176
Schulnann, R., IV, X, 130, 160, 199, The more important references are given in italic numbers.
Wagner, R., 1015, 1152
213, 215, 226, 231, 236, 286, 296,
Weber, C. M., 228, 393
301, 305, 317, 325, 334, 363, 399,
Wolf. H., 440, 882, 888, a-6-0 pattern, 105-109, 112, 137, 148, Augmented four-three chord, 396,
408, 427, 435, 457, 458, 854, 877,
994, 1013 270, 497, 498, 501 399, 404
879, 891, 893,.898, 914, 926, 929,
Accidental, 84-85 Augmented-major seventh chord,
Added tone, 503-508, 515 165, 181, 338
Additive hearing, XXVII, 13, 128, Augmented six-five chord, 396, 401,
131, 178, 375, 533 404
Aeolian mode, 5 Augmented sixth, 395, 424
Agogic, 290, 294 chord(s) with an, 81, 393, 395-407
Aleatoric music, 551 458
ALGOL, XXII Augmented sixth chord, 396, 397,
Altered chords, 84, 219, 305-477 Augmented third, 22, 437
Altered tones, 84, 221, 305-477 Augmented triad, 23, 26, 145, 150,
Alto, 34, 35, 46, 48, 277, 278 468, 474
Analytic code, XXVI Augmented two chord, 104
Anticipation (anticipatory tone), 57, Automation, 551
61 Auxiliary tone, see Changing tone
Appoggiatura chord, 137
Appoggiatura tone (appoggiatura), Bach, J.S., XXIII, XXXIV, XXXV,
63, 137, 175, 182, 185, 405, 420, 9, 21, 71, 72, 165, 231-303, 533,
422, 548 548
Arrangement, arranging, 118, 131 Balaban, M., 560
Atonal dodecaphonic serialism, 539- Basic melodic patterns, 7, 8, 9, 11, 12
547 Bass, bass progression, XXIV-XXVI,
Atonal field, 534, 539 22-24, 26, 34, 35, 42, 43, 45, 46,
Atonality, 479, 534, 536, 539-547 48-51, 68, 69, 84, 86, 117-131,
free, 534 142, 149, 157, 202, 210, 211, 236,
572 INDEX OF SUBJECTS, TERMS, A N D NAMES INDEX OF SUBJECTS, TERMS, A N D NAMES 573

237, 277, 280, 282, 288, 289, 323, 465, 474 Directional tone(s), 305, 307, 311, Expanded formational pattern, 7, 8,
324, 360, 366, 392, 395, 401, 407, Chromatic scale, 84, 85, 537 316-318, 320, 326-328 12
431, 448, 515 Chromatization, 450, 451, 473 Dissonance, XXXII, XXXIII, 157, Expanded melodic patterns, 12
Basso continuo. see Thorough bass Cluster, 21, 41, 524, 552, 553 181, 396, 438
Beatles, 501 Combination tone, 83, 530 Dissonant chord, 22, 23, 69, 145-147, Finalis, 412
Bkcaud, G., 368, 392 Common (pivot) chord, 22, 223, 225, 150, 160,166, 181, 334, 338, 348 Fixation of chord, 227, 323
Beethoven, L. W., 165, 368, 488 226, 227, 327, 328, 368, 432 Dodecaphonic serialism, 534, 537, Formational pattern, 8, 258
Berg, A., 528 Common tone, 45, 46, 76 539-547 Fourth-based chords, 521-524
Blues harmony, 354, 383 Compensation, 90, 96, 98, 101, 104, Dodecaphony, 536-547 FORTRAN, XXII, 560
Blues mode, 518 109, 123, 148, 270 Dominant, 27, 29, 77-79, 145, 146, Franck, C., 81
Block texture, 499, 500 Computer, XX, XXII, 81, 560 219, 344, 346, 370-372, 462 Free tone, 59
Boulez, P.. XXXIV, 540 Conditioning, 65, 147, 228 Dominant chord, 150, 181, 519 French four-three chord, 395, 396,
Bridge, 234, 276, 288 Connective chords, 202, 203 Dominant ninth chord, 191-194 458
Connective pattern, 9, 13 Dominant seventh chord, 53, 67, 69- Functiond cycle, 25-28, 78, 79, 200,
Cadence, 2, 89, 133-144, 227, 233, Constant feature, 552 201, 203, 204, 206-208, 210-213,
75
235-241, 243, 250, 254, 257-260 Contrastive altered tone(s), 341, 357-
1
348, 371, 481
Dominant thirteenth chord, 154, 195,
authentic, 89, 133-135, 137, 138, 359, 375, 388, 392, 394, 419, 421, deceptive, 27, 200, 206, 208, 210,
196
140, 144, 158, 235, 286, 483 449, 472, 490 Dorian mode, 413, 495-497 211, 213
deceptive, 29, 137, 138, 153, 158, Counterpoint, 480, 481 open, 207, 208
Doubling, 2, 23, 35, 49, 68, 78, 79,
226, 235, 258, 259, 380, 490 Cross relation, 311, 331 open deceptive, 207, 208
102, 138, 145-155, 158, 1.60, 163,
dominant half, 140, 142, 144, 235, Cycle of fifths, 369, 472 remote, 369, 372
181, 196, 227, 240, 241, 258, 260,
250, 483 remote deceptive, 369, 370
303, 305, 309, 313, 314, 318, 319,
subdominant half, 142-144,. 235, Debussy, C., 21 I Functional gene, 28, 29, 76, 77, 146,
327, 328, 331, 334. 341, 347, 356,
257 Dcep structure, 8, 66 175, 201, 202, 206
366, 385, 396, 397, 416, 422, 434,
plagal, 135-137, 144, 170, 235, 255, Deviation, 214, 217, 227 chords devoid of, 343, 344, 354,
438, 439, 440, 441, 481, 493, 515,
286 Diachromic progression, 222, 223 355, 365, 404, 410, 429
544, 547, 548
Chorale, Bach chorales, 9, 231-303, Diatonic progression, 222 Functional harmony, 21, 22, 41, 44,
Dynamic tone(s), 1, 3-5, 8, 9, 12, 13,
484, 505 Dirninisheddiminished seventh f 47, 53, 82, 85, 96, 118, 122, 147,
67, 69
Chord, 21, 551 chord, 165, 166, 177, 178, 220, 221, 149, 190, 193, 311, 422, 438, 478,
Chordal strata, 349, 507-509 280, 311, 356, 366, 407, 426, 439, Eleventh chord, 513, 514 511, 520, 521, 552
polytonal, 508 445, 468, 474, 490 Enharmonic equivalent, 177, 395, Functiond significance, XXXI , 29,
Chord connection, 38, 45-48, 50, 85, Diminished-minor seventh chord, 399, 401, 406, 428, 430, 436, 437, 201, 202, 346
154, 240 164, 174, 220, 221, 232, 280, 323, 442, 445, 446, 450, 452, 453 chords devoid of, 29, 200-203, 206,
Chord succession, 38, 80-116, 118, 352, 366, 384, 426, 429, 474 Enharmonic interpretation, 446, 467- 344
187, 240, 395, 499, 520 Diminished third, 22, 395, 396, 439, I 470 Functionality, 25, 200, 343, 369, 412,
Chord tone, XXIX, 53, 65, 405, 478, 442, 443, 445 Enharmonic progression, 222, 224 540
503 Diminished triad, 23, 26, 146-148, Enharmonization, 434, 436, 449-453 idiolectic, 526
Chromatic progression, 222, 223,280, 166, 221, 317, 332, 347, 379, 423, Enharmony, 21, 435 in the harmony of jazz, 520
294, 311, 330, 340, 356, 366, 462, 438 Escaping tone (Cchapte), 57 in modal harmony, 496, 497
 INDEX OF SUBJECTS. TERMS, A N D NAMES INDE.Y OF SUBJECTS, TERMS, AND NAMES 575

in paratonal harmony, 526 Heterogeneous chord, 517 130, 151, 162, 166, 178, 182, 194, Minorization, 329-392, 393, 41 1-448,
in atonal harmony, 540, 541 Hidden interval, 39 195, 199, 202, 288, 308, 366, 392, 489
Functionally significant chord(s), Hidden fifth, 43 514 Mixolydian mode, 413, 489, 496
200-203 Hidden octave, 43, 481 Leibnitz, G. W., 531 Modal balance, 310, 358, 472
Fundamental (root position) chord, Hindernith, P., 83, 529-533, 535 Ligeti, G., 540, 553 Modal character, modal quality, 96,
23, 118, 119, 121, 123, 133, 146, Hypoionian mode, 499, 500 Light music, 21, 96, 165, 191, 311, 122, 137, 155, 296, 302, 311, 316,
149, 151, 154, 170, 181, 316, 338, 341, 439 . 322, 341, 440, 441
360, 399, 407, 414, 428, 438, 439, Idiom, 96, 165, 233, 234, 259, 315, Linguistics, 8, 25, 66, 80, 93, 133, 234 Modal harmony, 90, 424, 429, 479,
512 330, 349, 383, 414, 417, 439 LISP, 560 493-502
Imperfect consonances, 41, 44 Locrian mode, 436 Modation, 214
Generative grammar, 81 Incomplete chord, 67,68,70, 185,189 Lowered fifth tone, 394, 434-448 Modulation, modulatory process,
Generative process, 306 Independent chord, 73, 165, 182, 195, Lowered first tone, 447 214-230,284, 327, 328, 354, 368,
German six-five chord, 395, 396, 458 394, 478 Lowered second tone, 387, 394, 41 1- 369, 414, 432, 433, 436, 444, 472
Gestak. 489, 490 Initial key, 222, 224-228, 369, 433, 433, 450 diachromic, 222, 223
Gregorian chant, 495 462 Lowered seventh tone, 343-3.56, 357, diatonic, 222, 224-230, 284
Intuitive, intuitively, 2; 53, 81, 233, 372, 393, 450 chromatic, 222, 223, 284, 461-466
Harmonic ductus, 494, 496, 497 540 Lowered sixth tone, 329-341, 344, enharmonic, 222, 224, 284, 461,
Harmonic function, 25, 27, 76, 77, Inversion, 23, 24, 26, 68, 69, 118, 119, 346, 356, 357, 372, 393, 395, 450 467-471
203 121-123, 170, 172, 177, 178, 181, Lowered third tone, 368-392, 393, Monk, T., XXXIV
Harmonic progression, 81, 86, 87, 89- 193, 202, 220, 226, 227, 305, 338, Monteverdi, C., XXXIV
450
91, 101, 105. 109, 112, 485, 498, 360, 363, 395, 396, 409, 513, 523, Lydian mode, 359, 413 Mozart, W. A., XXXIV, 41, 165, 368
500, 501 544 Musique connite, 305
accentuated, 88, 90, 96, 98, 100- Irrational number, 530 Main degrees, 28-31, 49-51, 76, 151,
102, 104, 105, 109, 112, 123, 167, Italian sixth chord, 395, 458 371 Natural language, 2
497, 501 Major-minor seventh chord, 164,166, Nattiez, J.-J., XXVI
deceptive, 88, 90, 111, 112 Jazz, 21, 42, 191, 479, 511-520 221, 282, 474, 519 . Neapolitan chord, 411, 414-421, 432,
dynamic, 87, 89, 90, 93, 96, 100, Mediant, 343 433, 441, 446
102, 112, 167, 485, 497 Kernel sentence, 93, 371 Melodic ductus, 5, 7, 31, 258, 305, Neutrd chord, 341,342,358,375 392,
static, 88, 90, 96, 105, 109, 112, 122, Kernel string, 8 307-309, 312, 340, 372, 412, 436, 419, 420
123, 167, 331, 485, 497, 501 Kinetic energy, 51 494, 495, 499, 500 Neutralization, 310, 341, 342, 357-
Harmonic rhythm, 47, 48, 285, 286, Kinetic potential, 3, 4, 51, 539,. 541 Melodic minor scale, 305-328, 329, 359, 375, 387, 388, 392-395, 413,
288, 289, 492 Klangfarbenharmonie, 551, 552 372 416, 419-421, 472
Harmonic sentence, XX, 81, 91, 225, Klangfarbenmelodie, 551 Melodic polyphony, 8, 13, 17, 18, 41, Ninth chord, 190, 191, 193, 194, 504,
228, 560 123, 125, 126, 211, 431 512, 513, 516
Harmonic tension, XXXVI, 27, 41, Lai, F., 368 Merleau-Panty, M., XXI, XXII Nonchord (nonharmonic) tone(s),
44,51,63, 181, 196,279, 293, 541, Leading tone, 85, 143, 155, 181, 183, Minor-major seventh chord, 164, 183, 52-66, 158, 165, 182, 185, 191,
542, 548 212, 258, 307, 309, 314, 316, 322- 338 192, 194, 279, 338, 410, 422, 478,
Harmonic variation, 130, 392, 482- 324, 340, 356, 366, 441, 499, 540 Milhaud, D., 510 503, 518
485, 488 Leap, 38, 51, 57-59, 63, 118, 121, 122, Minor-minor seventh chord, 164, 280 Non-cyclic succession, 208, 213
 NDEX OF SUBJECTS, TERMS, A N D NAMES INDEX OF SUBJECTS, TERMS, A N D NAMES 5-77

Oblique motion, 39, 44 Pitch class, 536 Root, 22, 24, 35, 36, 49,68, 69, 86, 89, cadential, 133, 140, 157-160, 280
Open cadence(s), 144 Pivot chord, see Common chord 90, 102, 105, 145-147, 158, 170, non-cadential, 109, 157, 160-163
Opening(s),XXV, 233,234, 261, 285, Polychord, 509, 512-517, 534 176, 178, 190, 202, 327, 341, 356, Sixth chord, 24, 49-51, 123, 147, 151,
349 Polycluster, 553 416, 438, 439, 514, 522-525, 533, 155, 279
Organ point, 155, 507, 509 Pop music, 501 534 Soderlund, G., 495
imaginary, 7, 13-15, 117, 124, 125, Position (chord position), 22, 35, 49, of intervals, 82, 83, 176 Soprano, upper voice, 34, 35, 36, 40,
127, 199, 491, 492 68, 69, 71, 79, 135, 226, 227, 305 Root position, see Fundamental chord 42, 48, 117, 124, 143, 149, 233,
Organum, XX, XXXIV, 494, 520 closed, 36 Ruwet, N., 492 235, 258, 276-278, 324
493 open, 36 Static tone(s), 1, 3-5, 8, 9, 12, 16, 67,
Ornamental pattern, 7, 13 Post-serial music, 551-559 Schaeffer, P., XXII, 305, 530 69, 195, 258, 385, 499
Overtones, overtone series, 147, 514, Preparation, 212 Schoenberg, A . , XXXI, XXXII, 521, Step, 38, 51
530, 531 of interval, 39, 41, 44 530, 535, 542, 546 Stravinsk~,I., XXXIV
of chord, 147, 160, 166, 178, 194 Schubert, F., XXXIV, 472 Structuralism, 357
Palestrina, G., XXXIV Primary melodic patterns, 2, 7, 8, 17 Schumann, R., 472, 489 Subdominant, XXXI, XXXII, 27-29,
Paradigmatic, 26, 77 Prolongational chord(s), 202, 203 Second-based chords, 521, 524, 525 77, 79, 104, 146, 149, 150-152,
Parallel chords, 493, 494, 498 Prolongational pattern, 9, 13 Secondary degrees, 28, 76, 82, 151 155, 167, 170, 172, 175, 176, 201-
Parallel fifths, 38, 42-44, 46, 401 Pythagoras, 531 Secondary dominant, 2l7, 219-221, 203, 207, 208, 211, 212, 236, 330,
Parallel intervals, 39 280, 282, 284, 319, 347, 348, 352, 344, 346, 458, 481
Parallel motion, 38, 493 QLISP, 560. 355, 356, 360, 379, 382, 407, 423, chord($), XXX, 133, 158, 226,
Parallel octaves, 42, 44, 309 428, 442, 445, 446, 449, 451, 519 330, 331, 334, 395, 404, 416, 481
Parallel primes, 42 Raised first tone, 450 Secondary subdominant, 353, 442, Submediant, 343
Paratonal harmony, 521-528 Raised fifth tone, 450 449, 451, 458 Subtonic, 343
Passing tone, 54, 55, 191, 199, 235, Raised fourth tone, 357-367, 369, 388, Self-generative Supertonic, 343
286, 317 392, 393-395, 416, 419, 420, 424, aspect, XIX Surface structure, 66
accented, 60 436, 437, 439, 448, 450, 452 process, 393 Suspended tone (suspension), 61,166,
Penderecki, K., 21, 41 Raised second tone, 450 Self-regulating process, 357, 393, 185, 420
Perfect consonances, 41, 42, 44 Raised sixth tone, 450 Sequential Symbolic presentation of chords, 24,
Period, 483, 484 Raised thlrd tone in minor, 451, 452 passage, 109, 150, 175, 184, 382, 69, 84, 85
Persichetti, V., XXXII, XXXIII Range of voices, 34 383, 385, 492 Syntagmatic, 25, 26, 77, 343
Peterson, O., XXXIV, 129 Reger, M., 81, 476 process, 65, 89, 147, 229, 474, 482 Systemic feature, 552
Phenomenology, XIX, XXI. XXII, Register, 34, 117, 128-131, 210, 211, progression, 185, 187, 189, 348, 424
XXVIII, XXIX, 529 277, 305, 514, 551, 552 Serialism, 536-547, 551 Tempered system, 530, 531
Phrygian, 413 Reiteration-variation principle; 482 atonal dodecaphonic, 539 Tenor, 34-36, 117, 125, 277, 401
cadence, 142, 172 Renaissance music, 494, 496498 tonal dodecaphonic, 539 Tenor-bass, 117, 128-131
mode, 142, 495 Resolution of chords, 89, 160, 166, tonal non-dodecaphonic, 537 Tertian chord(s), 53, 65, 478
Piaget, J., 2 181, 182, 194-196, 199 total, 540, 541 Tertian principle, 22, 53, 190, 193,
Picardy third, 451 passive, 166, 183 Series, 536, 538-540, 542, 543 478, 503, 511, 513, 515, 521, 542
Piston, W., XXX, 405 Retrograde motion, 537, 538 Similar motion, 39, 44, 481 Thorough bass, 24
Pitch, 182, 536 Riemenschneider, A., 9 Six-four chord, 24, 157-163, 280, 550 Thirteenth chord, 195, 515-517
 INDEX OF SUBJECTS, TERMS, . A N D NAMES Acknowledgments
Timbre, 482, 536, 551, 552 Tonicalization, 214, 217-219, 227, Permission to reprint music examples is gratefully acknowledged as follows:
Tond balance, tonal equilibrium, 357, 308, 309, 315, 319, 325, 359, 378,
358, 395, 472 379, 458, 465 Alain BBvrihre Francis Lai
Tonal center, 1, 2, 82, 214, 473, 534 Transformation, 12, 93, 137, 357, 371, Ma uic 13jours en Frame
Used by permission of Intersong, Paris. Killy
Tonal code, 2, 4, 21, 67, 68, 78, 195 393 O 1%8 Editions Saravah, Paris.
Gilbert Bkaud
Tonal interpretation, 5, 312-314 conjoining, 8 B maintenant Gyorgy Ligeti
Tonal system, 1, 2, 4, 7, 21, 81, 165, .deletion, 93 @ 1%2 Edition Ie Ridau Rouge, Puis. Apparitions
Used by permission of Universal Edition A.G.
357, 393, 494, 496, 497 embedding, 8 B6la B a 6 k Continuum
Mikrokoms, VI, No. 144 0- 1970 B. Schott's S h e , Mainz. Used by
Tonal tension, 4, 8 Transformational process, 8, 371, 393 Mikrokosmos, I, No. 7 permission of publirhcn B. Schotti Sohne.
Tonality, 1-3, 5, 473-476, 479, 529, Tritone, 50, 69, 146, 152, 344, 532 Used by emission of Bwsey & Hawkes
Music PubLhen Ltd, London. J. Lemon & P. McCvtney
535 Albln Berg
Eight Days a Week
Hindemith's theory of, 529-533 Voice crossing, 35, 277 O 1%4 Northern Songs Limited, for the
Violin Concerto world.
proof of, establishing of, 30, 31, Voice leading, 38, 40, 181, 328, 347, Wozzcck Mickelle
Uwd by permission of Univeml Edition A.G. O 1%5 Northern Songs Limited, for the
227, 312, 313, 323-325, 340, 384, 480-482 world.
406, 438, 444, 446 Luigi Dallapiccola Polythene Pam
Wandering chords, 347, 377, 451, Volo di notre @ 1%9 Northern Songs Limited, for the
Tonic, 3, 27, 28, 77-79, 145, 150, 153, Used by permission of Universal Edition A.G. world.
155, 181, 202, 203, 206-208, 211, 452, 473-476 Quade&-murimk di Annalibcra
J. McHugh
Used by permission of Edizioni Suvini Za-
217, 219, 369-371, 438, 531 Wagner, R., 81 boni, Milano. Don't Blame Me
Webern, A., XXXIV @ Unart Music Corp.
Tonic significance, 29, 102, 137, 201, Paul D u m o n d
Yizhak Sadai
275 Weizman Institute of Science, 560 Take Five
Anagram
Copyright @ 1%0 and 1%1 by Dcrry Music
Impressions d'un choral
Co. RClude d Jhsalcm
Used by permission of Israeli Music Publica-
Bi Evans tions Ltd., Tel-Aviv.
Waltz j i r Debby
TRO - @ Copyright 1%4 & 1%5 Acorn Arnold Schoenberg
Piano Concerto
Music Corp., New York, N. Y. Used by per-
mission. Copyright O 1939 by G. Schirmer Inc. Used
by emission.
George Gerahwin s e c t Kleine Klauierst~kke, Op. 19, No. 6
Rhapsody in Blue Used by permission of Universal Edition A.G.
Copyright MCMXXVn by Hums Inc., New Suing Quartet No. 4
York. Copyright @ 1939 by G. Schirmer Inc. Used
Paul Hiidemith by ermission.
Ludw f0nali3 Viofin Concerto
@ 1943 Schotc & Co.Ltd, London Used by Copyright O 1939 by G. S c h i i e r Inc. Used
permission of publishers B. Schon's Sohne. by permission.
William Schuman
M. H d & P. H e r d Three-Score Set
Adieu jolic a n d y Copyright @ 1943 by G. Schirmer Inc. Used
O 1969 Babw, Neuily. by permission.