HANDBOOK

OF
HARMONIC

LELAND SMITH
Department of Music

Stanford University
 X-1

DONATION
OL 3 5109 90 3 84

Handbook
of
Harmonic Analysis

Ç: I

IV 1 V JL
V ,I=I¥, V ,VI=I, y a---- I

m 1 i

Leland Smith
Stanford University
 '^ÎOi í,
JO

© 1963, 1979 by Leland Smith

A^l Rights Reserved

San Andreas Press

3732 Lagrma Avenue
Palo Alto, Calif. 94306
 Preface

This book is intended for use by any serious student of

music theory. It presumes the sort of general knowledge of
theory that is usually learned ^by the end of a first or second year
college harmony course. While in fact this material has been used
by second year students it has also proved very useful in
advanced graduate seminars in harmonic analysis.

The general layout of the book is designed to fit a one

semester or two quarter music theory course. If it is used with
advanced students it might be possible to covet the material in
just one quarter. Perhaps the ideal use of this book would bë in
conjunction with second or third year studies in elementary tonal
coiiiposition, counterpoint, and keyboard harmony, etc., in a
course which would hover an entire school year.

It must be emphasized that the .success of any study in

music theory is highly dependent on the student's on-going
development of experience in listening and perforining music. A
teôhnical desbription or explanation of a musical event will be
meanihgléâs unless the student can See a clear connection between
the description and » some internal musical, experience. Much
listening to music of all styles is important, but even more
important is performance. It is through performance that the
student gains a "one to one" relationship with music. It is this
kind of relationship which is necessary for the complete grasp of
the functional significance of any harmonic progression.

i
 A Note on this Publication

This book is probably the first book on music ever typeset

by completely computerized means. The master sheets were
prepared at the Stanford University Center .for Computer Research
in Music and Acoustics using the ^Digital Equipment Corporation
KLIO computer system ,of the Stanford Artificial Intelligence
Project. The main text was assembled by means of a typesetting
program called PUB. Tlje principal typeface used is a revised
Meteor font.

All the musical examples and analytical diagrams were

prepared by the MS music typesetting program developed by this
author over the past few years. This» program allows the rapid
preparatiop of all conveptional musical material asi well as the
possibility of the, creation of a wide variety of special symbols.
The master sheets were printed at double mze. on a Varian Statos
electrostatic plotting device. These sheets were then photo-
reduced for standard lithographic printing.
/ a.

The programs used for this publipation werQ de.valoped by

many people but the author-wishes to give special thanks to a feiy
whose Contributions "w/ere outstanding/ These Include Lester
Earnest, Martin Frost', Hans »MOravec, and Ctement Smith.
{ »
Leland Smith, August 197jH*

* »

ii
 Table of Contents

Chapter Page

I Introduction 1

II Üiatónic Functions 8
Scales and Tonality
Harmonic Functions
Substitute Functions * «

III Simple Secondary'Functions 29

Functional and Non-functional Chromaticism
Pivot Chords -,

IV Functions of the Minor . .. .40

Major-minor Interchangeability
Augmented,Sixth and other Chromatic Chords .
1 •
V Extended Tonicization 66
Added Levels of Tonjc Function
Pivotal Tonics
Control ToniQs

VI Alternating Progressions and Indirect Relationships 71

Simultaneous FüActions
f <*■ 'V ^

VII Modulation * , 88
Movements pf Basip Tonics
•».

VIII Summary , of Procedures , 102

Six General Steps ¡
1»
IX The Complete Musical Movement: Mozart 107

X The Complete Musical Movement: Wagner . 129

XI Tonal Dissolution:. Conclusion 149

iii
 Portions of the following works are analyzed in the text:

Bach, J. S. Chorales (from 371 Four-Part Chorales)

#106 - p.33; #60 - p.36; #6 - p.36; #85 - p.37;
#28 - p.42
Partita #6, in G - p.23; Invention #,A, in, d - p.66j
''1

Beethoven Sonata in d. Op.31,#2 -.p.l9

Diabelli Variations, Op. 120 - p.81

Berlioz Fantastic Symphony - p.77

Brahms Romance, 0p.ll8,#5 - p.21

Chopin Mazurka, Op.69,#3 - p‘.72 ^

Debussy Prelude I fbr Piano - p.fÖ3 ” ''

Prelude II for Piano - p.l64
. , t
Dvorak New World Symphony- p.79, '
*

Haydn Sonata in E - p.32

1 « Í.
Mozart Sonata in F, K.189c(280)^-p.l2
Sonata in A, K.30bi(331) - p.22
Sonata in a, K.300d(310) - p.31
Sonata in Eb, K.189g(282) - p.%X
Sonata in D, K^.676 - p.64
Sonata in A, K.300i(331) - p.89,92
*Sonata in D, K.205<)(284) - p:ö4
*Sonata in F, K.300fc(3^2) - p.96
^Sonata in C, K.189d(279) - p.98
Sonatá in F, K.663-.-'p.30,l07 "

'Musorgsky Boris Godounov - p. 162

sSchoenberg Kammersymphonic, Op.9'-- p.l64-

Schubert Sonata in Bb - p.26
Meeres Stille, 0p.3,#2 - p.46
Sonata in A - p.51
Quintet in C, Op. 163 - p.74
*Quintet in C, Op. 163 - p.99

Wagner *Tristan und Isolde - p.l29

Parsifal - p.l67

The (*) indicates that the music is not provided in the text.

V
 1

CHAPTER I

INTRODUCTION

Except possibly for the works of. a few composers overcome

by a theoretical bent, music has always been written from the
poipt of view that the proof is in the hearing — the ear being fhe
final arbiter. Of course, we all know that the' ear is sipiply ,thp
receptor of sounds and tljat what we mean when we say a musical
passage "sounds wrong" is that it includes çjlejiients whicJi,.our
minds are unable to accept in terms of the musical conventions
which we know or can conceive of. It is obvious that any one,
isolated note sounds neither- right nor ’ wrong/ For that matter,
those^ well acquainted with 20th-century music would hesitate to*
apply "right" or "wrong" to even a fairly large number of notes,,
produced either melodically or harmonically. "Rightness" or/
comprehensibility is really found only in. complete« musical
passages or phrasés. The phrase, or even the whole piece, will be'
insufficient, however, if the listener has not established iat least
solne backlog of experience in hearing music of the-same general
style. Í

V Becaujse of the tremendous backlog of experience in hearing

music based on trfadic tonal, harmony, almost everyone who has
grown up during the last fifty to one hundred years in contact
with western culture is well acquainted with the- conventions
established by music composed from the time of the late 17th
century to the early 20th century. Comparatively abruptly,
17th-century composers established, from the implications of the
earlier modal procedures,» the bases fór the tonal system. This
tonal system proved to have possibilities vast enough to intrigue
the best musicians for almost three hundred years. Then, in turn,
the latest implications of tonality gave rise to the 20th-century
tendency away from the necessities of tonal harmony. ’
 2

Although, strictly speaking, the term "atonal" can he applied

to some 20th-century music, its use should be frowned upon
because it seems to imply a lack of organization. Since
contemporary music has transciended tonality and depends on
clear organization as much or more than earlier music, a more
positive word, "contextual", is preferred. The particular context,
aá estáblished bÿ the consistent usé of the basic eleriient§ in each
piece', seems to have Replaced thè role of thè tonal' center. Thus
Stravinsky can use triads and diatonic scaled "atonally" (i.e., in a
manner -outside the realm of functional tonal harhiony) and be-
found to follow basic procedures remarkably similar to those
followed by Schoenberg in his use bf siùgle series of noh-diatonic
intervals.

Only now, when the »procedure^ of functional harmony

have clearly outlived their usefulness as the primary basis for
musical organization fdr sef ious composers, do we seem to- be able
to form consistent views concerning* the purely musical^
significance of togal harmonic progressions.* As we. might expect,
beginnings were tìiade- -in. this kind' of thinking, just at the time
when the .demise of functional harmony became assured. In *1906
Schoenberg composed his Kammersyiaphonie, Op.9; which carried
tonality to what was nearly its farthest extreme, and in the same-
year Heinrich Schenker published Harmony (or New Musical
theories and Fhantàsies by an Artist), the first of his group of
highly influential works that brought to the fore the realization
that'music was much nidre than a series of isolated progressions
and modulations.

In retrospect; we can now see- (or hear) that the era. of

toftality was, in a senàe, an era of monotonality: We seO that. th‘é
concept of modulation: is best .considered in relative, terms and
that-virtually all music was intuitively written with.'a view*to

\ ^
* This is not to imply, that music based, on fujictional tonal
harmony, written in the tonal era, has lost, or ever will lose its
vitality.
 3

large-scale tonal unity, the exceptions being nearly all in the

realm of operatic or dramatic music. Very useful in this regard is
Schenker's term "tonicization"; i.e., to create on a tone, other than
the originad tonic, a temporary tonic function which plays only a
secondary role with regard to the basic tonic. Thus modulation
might be said .to to be tonicization on the largest scale. However,
Roger Sessions has pointed out* tha^ a reasonable basis for
differentiating between these two terms lies in the examination
of the structure of a piece of music and the comparison of the
larger hairmonic movements with the harmonic details.
Modulation is movement to a new musical area;, tonicization js
movement within a single musical area.

While form and the larger aspects of harmony will also be

dealt with, the main body of this handbook will treat problems
that arise within, unified areas of pieces. The relationships within
a single tonal area, even though quite complex, can usually be
grasped — up tö the point where tonality is destroyed. However,
when the large-scale harmonic movements of a long work are
highly complicated, it becomes nearly impossible for even the best
musicians to follow all the functional relationships. It seems
doubtful thqt composers have ever expected their audience to
grasp some of the largest relationships in anything more than the
most general terms. These relationships are present, but their
significance seems subtly different in kind from those found
within the various unified sections of a long work. (An extreme
example: Parsifal begins in Ab and ends, hours later, in the same
key.)

W'e have been conditioned to expect rather specific things in

a piece of music once we are presented with any smâll group' of
recognized relationships. When an expected pattern is broken, we

* Roger Sessions, Harmonic Practice, Harcourt Brace, New York,

1961.
 4

have learned to he especially wary for the ultimate, even if long

delayed, return to the pattern. Or, if à piece begins with elements
that are juxtaposed in a manner new to us, we seek a
rBttospective justification for the opening. All comprehension of
music is based on the listener's ability to relate what has gone
before With what is momentarily at hand and with what he
expects (or knows) is coming. One reason we can understand on
first hearing a tonal work that is new to us is because at almost
any given point we need concern ourselves with a relatively
small number of alternatives as to What will happen next. Since
tonal music is based on conventions most of us have assimilated in
childhood, it niight be said that at this time in our dulture no
adult really ever hears such a piece for the first time.

However, it is only whën a musical phrase is complete that

we can hope to grasp the true implications of the various parts of
the phrase. Likewise, it is only when a piece or movement is
ended that we are presented with all the facts and are then able to
receive the full impact of the work. For these reasons, harmonic
functions can ilever be studied in a vertical sense. The chords
themselves are vertical occurrences but the harmonic functions
exist only in the horizontal presentation of series of chords.
When we are attempting to ascertàin the function of a particular
chord, we must look (or listen) both forward and backward.
Composers always have particular goals in mind and only after
these goals are achieved can we detect the specific justifications
for the harmonic means used. That it is valuable, either as listener
or performer, to be completely aware of these processes seems
obvious. For a composer, even though he uses nothing of
functional tonality in his work, high awareness of tonal processes
is even more valuable, in that it may help him develop insight
into the most basic factors of the art factors which transcend
the special conventions of tonality. Perhaps, analysis can never
teach anyône anything about music that he does not already grasp
in sòme intuitive manner, but it can help develop a vocabulary
for the expression and consideration of these intuitions.
 6

The approach to analysis to he presented on the following

pages will consider harmonic factors almost exclusively. Of
course, it is never possible to fully appreciate the role of harmony
when it is isolated and studied by itself. In fact, harmony can
hardly be said to exist, in a musical sense, apart from the melodic
and rhythmic factors which project it. While these factors
certainly cannot be ignored, no attempt will be made here to offer
any consistent method of analyzing them. Because music is made
up of a multiplicity of events that move in time, it is impossible
to speak of all of the various elements simultaneously. Due-tb the
limitations of verbal expression, each aspect of music must be
dealt with separately, the final synthesis being extraverbal and
unique with each individual. Nor will acoustical justifications 'of
harmonic functions be treated in any detail. This latter subject
haa been discussed in iseveral volumes — with notable Tack of
success.

Harmonic functions will be considered as occurring on

various "levels^", and maintai^ing a clear distinction between
these levels will be seen as a highly problematic aspect of analysis.
The use of the traditional names for the harmonies on the various
scale degrees, other than tonic, subdominant and dominant, will
generally be avoided. The Roman numerals are preferred as a
direct and immediate indication of the relative positions of
harmoniesi The words note, tone and- pitch will be used
interchangeably. Key and tonality will Sërve as synonymá;
however, the word tonic will have many meanings. We speak of
a basic tonic (or main key), a temporary tonic (or supplementary
key), a tonic note (the first note of a key's scale), etc. Individual
notes will be referred to by capital letters (e.g., F, A, C); tonalities
will appear as underlined letters, capitals for major and lower case
letters for minor (e.g., B¿, D, f¿, g). The word function is used
mainly in the special sense herein developed; i.e., thé function of a
chord is usuedly dependent upon the interval relation of its* root
to' the tonic note. Also, a functional chofd is one which plays ù
truly harmonic role aiid has a noticeable influence on the
 6

harmonic movement. Other uses of this word will be defined as

they appear.

Generally speaking, every note of a piece should be related

in some way to the harmonic functions. It is essential that each
note be examined with regard to its potentially chordal or
auxiliary role. Related to this is the problem of "contrapuntal
chords", passing chords without harmonic function. Thëre are
situations where chords (usually in first inversion) have no
functional role but rather appear as a cohtinuous parallël motion
from one functional chord to finally another. (See the opening of
the finale of Beethoven's Sonata in C, 0p.2j #3.) In a certain sense,
some chords (particularly | chords) that occur in passages where
the outer voices move in a simple stepwise manner hiay be
considered aS passing chords. HoweVer', in most* causes the choice
of notes for the details of the inner parts is dictated primarily by
considerations of harmony rather than counterpoint. The conGept
of contrapuntal chords must often be takèn into account, but
almost always as an extension of the principles guiàirig the use of
auxiliary notes.

In developing any "formula" for harmonic analysis, it must

always be remembered that while music exists as a specific series
of events, the listener rarely concentrates« to the point of hearing
every note. More important, the relationships between the notes
are rarely heard in exactly the same way twice. This is especially
true in so-called "wandering" or "roving" passages. The creation
of consistent means of accounting for the possible variations in
hearing would-^call- for an exhaustive study of the role of the
levels of harmonic function in relatiqn to the complex levels of
rhythmic and melodic occurrences. Clearly an understanding of
the implications of harmonic, functions is prerequisite to the
formulation of an approach to the complete piece of music that
 7

gives an undistorted view of the piece and yet remains flexible

enough to admit the possible variants in individual perception.
The graphing of these functional implications will not always
present a simple picture. It will generally be simple or complex in
relation to the music it is representing. To strive overly for
simplicity in analysis is to forget that even the simplest four-bar
phrase in Mozart is made up of acoustical and psychological
relationships that, if all were recounted, would stagger the mind.

f
 8

CHAPTER II

DIATONIC FUNCTIONS

Scales and Tonality

A paiticular tonality is définëd by a few essential interval

relations in any succession of tones. Paradoxically, in the music
here to be dealt with, the tonal center itself is not a note that
need figure in any of the essential intervals. In fact, an unheard
note on the tonal center may achieve its role through a kind of
mhsical default, wherein all other possibilities are ruled out. First
of all it must be realized that in tonal music the minor mode has
no separate existence, but represents merely a fairly consistently
applied group of alterations — flattings — of certain parts of the
ihajor mode. These alterable parts of the major scale are the 7th,
6th, 3rd, and even the 2nd (most often as the root of the
"Neapolitan" chord or as a non-chord auxiliary).

Example 1

123456717654321

-(I7)p4)p-.

Ç; Major-minor

The remaining notes, the 6th, 4th and 1st, can never be
altered, as functional tones,* without causing at least a tendency
to shift tonal centers. (It should be noted that chromatically
raising any note of the major scala causes some tendency to shift
tonality. See following chapters.) However, the presence of a

* See page 49 regarding the exception of the Augmented Sixth

Chord.
 9

potential 1st, 4th and 5th may still he tonally inconclusive

without the appearahce of the leading tone — major 7th of the
scale. In minor keys especially, the lowered 7th may oftén be
heard, but — in the broadest sense — almost always, as a
descending auxiliary tone.

Example 2

Auxiliary tones, will

often be markéd x.

c: I Vg IV^ I| Vfc, I

When the b7th degree appfears as a chord tone and is not, in

some sense, passing downward toward the 6th, the tonal center
tends to shift.

Example 3

I Vg I
c:------ f:
 10

Continuing this approach, we find that the tritone

(augmented 4th or diminished 5th) may be thought of- as the
tonality-defining interval, since its presence between the 4th and
7th is unique in relation to all the other intervals found between
the degrees of a major scale.

Example 4
Two minor Five major Four minor
seconds seconds thirds'

Three Major Six Perfect One Tritone

thirds fourths

However, one more note miist be involved so that we may

be made aware of the particular role of each part of the tritone.
Since, in a maJor key, one or the other of the parts pf a tritone
must be the unalterable 4th of the scale, the whole step above it
must be the equally unalterable 6th.

Example 6

/\=half step =wholë step =tritone

=S5=
 11

It follows that when a note is heard a half-step above either

part of a tritone, it must be the tonió.

Example 6

r^.^. I b
?o-=l
^ä=

Thus, in the major mode, we have two groups of three notes,

either of which may suffice to define a tonal center — the 1st,
4th, and 7th, or the 6th, 4th, and 7th. It must be noted that these
intervals neëdt not occur between adjacent tones only. Other less
critical notes may separate these scale degrees within a melodic
unit. An important thing to reipember is that the tritones formed
as the result of the alterations (flattings) that create the minor
scale do not serye^the same purpose of tonic definition. Of course,
composers^.often take advantage of this obvious possibility of
ambiguity in order to shift tonics. The "altered" notes in the
original key become "unaltered" notes in the new key, etc. ,

Example’7

of a somewhat chromeitic line might be ascertained. Among the

notes heard in, measure 17 and the first two beats of measure 18,
two tritone relations may be found — Ab-D and F-B.
 12

Example 8. Mozart, Sonata in F, K.189e (280), first moyement.

It is clear that Ab-D cannot be thfe critical tritôttè,‘since the

a whole step above D, rules out Eb hs tônib. The context of the
pässage m’akes it doiibtful that "ill? ^ couíd be interpreted a's "Gÿ,
because the Gli is a hormal goal for the Hatted sixth in C' Major-
minor. No such’ problems come with the interpretation of (G)-F-
B-(C) as the tonic-defining intervals, and so C is the tonic at that
point. It should be seen that there is no reason to indicate, the
tritone relation between notes such as the E and Bb 9f measure 18.
The Etj becomes altered’ to Eb and' unless therejs some reason to call
the Eb now Djt, there is no toriic-defining element .present, but
rather a move into the minor mode. The same .line’^f thought will
^PPly to the rest of the passage, due to its séc^uentiaT nature.

The preceding discussion has been in terms of a succession of

tones '»-a melodic liiie. Thé^ same things proVe to be true when
dealing’ with the interval delations in chord progressions, since
chdrâs, in tonal music, may be thought of as simultaneous vertical
occurrences of scale parts. Éirèry chord progression is
inextricably bound up with linear implications; chords grow out
of the verticalization of melodic combinations and melodies are
directed so as to serve the purposes of particular chord

•
 13

progressions. Since music never exists in a static form/^tlie linear

impulse — the impulse tp move forward ■— is always
predominant. Howeven early in; the history of tonal music the
relationships of the yertipal eleinents became so cpnven tignai that
their abstract manifestations were clear to all.. Strike any
dominant 7th chord before even the most untrained listeners and
they will be able to sing back the notes of the exÿèctkd tonic
chord, but without any particular regard for voice leading
between the two chôftts. Thüs^ in Tohâl musió the simple melodic
impulse must share primacy With the impulse of the harmonic
progression.

Harmonic Functions

Harmonic functions are the basic relationships between the

chords — the relationships of the roots. It is not inferred that the
roots ai*e to be heard as a kind of imagined ba§s line. Npyertheless,
the root§ migh|^rbe called the generating tones of each chprd, in
that the relationships of the rppts to the topic pote, uspally, give
fair .representation, of each phord's^ functiopf Ghprds seem to be
less stable^ — that is, they tend to move on to other chorada --
when„the 3rd, 6th, or ^th appears in the bass. Ip façt,. the. simple
position (rwith the 6th in the bass) most often has po independent
existence.* U;|ually the upper two notes of such ft chord ac^ as
appoggiaturas or neighboring notes tQ a follpwing.chord.« ^
Ëjiamplè 9 >•1
i*

Note ?that this is the If' *■«

opposite
situation frcxn that wherein» a
sustained basii pedal point may
have .little or> no- influence» ou,,
the details of harmonic function.

* See section on substitute functions, page 16.

 Another frequent usage of the | chord occurs when the bass,
and perhaps other notes, move in a stepwise manner. Aside from
chords moving in complete parallelisnl, this passing ^ chórd is the
main formation that cap’ be called a ^'contrapuntal'* chord j^rather
consistently.
s
Example ip

^ or course'bliofds in othef positions may be found in similar

usage; but the basic átíoüstícal situation caused by the interval of
the 4th With the báss has apparently led cori^ppsers away from a
freer use of the | chord. It mffst be remembered that therp will
alwaj^;^ be some exceptions to the general rules'given Here. One
prömineht exception in regard to the use of ^ chords occurs when
the lo'^est* voice Is* serving in a primarily melodiir roìé. Iri this
sort Pf sii;uation the loWest voicé may sometimes* Work as a kind
of "misplaced"‘sopranP, with the true bass line being only implied.
Also it is not really rare to find a V chord in the | position,, but
then the bass will usually move in a stepwise manner. (See next
example.) In some rather chromatic situations it may be best to
give the4 f' position functional status equal to that of other
^ 's»

positions.' This may occur, when the usual resolution of the |

chord does hot appeâr oï* when the chord acts as a pivot to a new
tonic.
 16

Example 11

I^ be?
TI :■ II
■ _____ «1______ ■ ■It
^------ ‘
---- _n--------- -O--------- H » ------ O-----------LI

£• I IV (If)
rlV(|) V(|) I

In speaking of functions, the cardinal principle to remember

is that it is only the context that determines the function of. each
chord. When the context remains uninfluenced by the appearance
of chromaticism,* the functions are usually self-evident;, the
labels applied by numbering the scale degrees of the roots, usually
give indication of the functions.

Example 12

The two main problems that must be faced in diatonic

situations have to do with substitute functions and the
distinction between chord tones and consonant non-chord tones.
Once the concept of substitute functions is understood, the

* Since the normal usage of the minor mode includes much

chromaticism, the following discussion will geherally refer to
situations in the major.
 16

differentiation between chord and non-chord tones should offer

little difficulty (until we reach music written near the end of the
tonal era). When doubt occurs, the simplest choice (that is, the
one closest to the most common progression) is usually the right
one.

Substitute Functions

Substitute functions occur in those situations where the

notes of one chord are found in a context that indicates the
function of another chord. The intuitive use of substitute
functions^ may havé grown out of à need for a'kind of process of
abbreviation that could be applied to both harmoftic and melodic
situations, [usiially the* domihant funbtion is involved^ The VII
chord often carries a dominant feeiing^iî3~ci5ïïb?cœnMd6red as an
abbreviated V?. The small s following a Roman numeral gives
indicatiou of substitute function.

Example 13

(vn)
When the 13th of an incomplete V chord leaps directly to
the tonic a 3rd below, ■*
weV may often consider it to be an
abbreviation of a three-note scale movement*
f . .

* Concerning these "l^rqzen" accessory topes see Roger Sessions,

Harmonic Practice, pp.224-231.
 17

Example 14

Abbreviations depend on their context for specificity and so

are somewhat more subtle than their sources. The VIII) 7 chord is
almost always heard as an abbreviated V[)9. But in this
abbreviated form it can function as the dominant to any of four
different tonics, depending only on where the composer leads it.

Example 16

1222
1>J. J i
-f---- #1^
Z2I

7-^ u
h J: iJ.
i J
? 32
Sh—

Q: Vs I P=Vs I Gb: Vs I A: \
(vnt?) (vnt?) etc.

Similarly, even the II triad in "the minor may sometimes be

■f
heard as the upper three notes of an incomplete Vbs.

Example 16
m--1
__^
Í. 1 -c
)•_______

"f9-
f-1.........

£= I Vs I
(n)
 18

When the diminished 7th chord appears in its 2nd inversion

(VIIj,^) and moves to I in root position, the strong bass movement
from 4 to 1 gives the impression of a piagai cadence. In such a
case VII seems to be substituting for IV.

Example 17

r
Ç: IVs I

Likewise, the Vll\>7 may gain something of the subdominant

function when it moves ffom its 3rd inversion to the root
position of the dominant qr tonic. ^

Example 18

r s I
Íi

Another important substitution for the dominant function

is the tonic § chord. This usually is heard, as ^ abbreviation of
the conventional formula, I®-V. Quite often a^ composer will
bring the music to the chord, but head off in another direction
before taking the time for the resolution to__ the V. The best
example of this comè;^ at the- beginning of the Çlassic concerto
cadenza. In some raré instances the muscle "will continue directly
to the tonic in root position or 1st inversion; (See next example.)
Example 19. Beethoven, Sonata in d, 0p.31,#2, first movement.

The case of the IH chord of the major implying the Vis or l7

presents a somewhat,-different problem. In completely diatonic
.situations the III chord seems "stronger" than only the VII.
Probably this is partly due to the identification of its root and 3rd
with, thp 1 cjiord -and its 3rd and 6th, with the V chord. The
existence of this .triad as a. true III function (i.e., not as a
substitute Tor? V or J) is fairly rare outside of sequential patterns
with 4t|i or*6th related roots (see Example I3). When the root of
III, appearing in a melodic role, moves to I, III frequently carries a
dominant function.

Example 20 I

(mg, but really V13)

 20

The III as a substitute continuation of I is sometijnes found

in the I-III-IV progression.

Examples 21a, 21b

I
j
r In Example» 21a and 21b the functions ihvolved are cleárly
I
similar, sincë thè B sounds as a passing'note, en foute to A,-in both
cases. However, with the same upper parts' and a new bass line
¡ (Examples 22a and 22b) the substitute character-of the III tends tb
I disappear. Nôw, due to the^strengtM of the 5th deilcent in the bass,
i three functions might be heard ihstéad'of tWö: ÍKe tied-ovef C
I can be heafd as a suspension with the following B äs its
* resolution. ' *

Examples 22a, 22b

 21

The very special effect of the ascending 3rd progression

may be seen as an occasional characteristic of Brahms' work.

Example 23. Brahms, Romance, 0p.ll8,#6

Any two-note chord (or even a single note) can be a

substitute functioñ whose numeral' designation depends entirely
on the contekt. In two-part ional counterpoint the clearly
implied roots of chòrds are very often omitted. When doubt does
a!rise in such music, usually the analysis which shows the
simplest,^ most conventional progression, or one which is' párt of
an established patterà oi* sequence, is the right one.

Example 24

áh P..< rVs.......^ I
G: I V
(never III|)

Quite subtle is the relationship between JI, especially II |,

and IV. It is clear that whep the II iji root position moves to V its
function will not be confused with that of IV.» However, in
cadential formulas the sense of II | or IJe is certairily heard as
subdominant — with the root of II being heard usually as an
anticipation, added 6th, or passing töne. ’
 22

Example 26

e^ I« iVs V I
In cases as above, where the bass (and often the sopranb too)
moves stepwise, the problem of harmony versus counterpoint
presents one of its most perplexing facets. In Example 26 it is
completely possible to'conceive of the entire IÏ| as a passing chord
between the 16 and the V. It is arg|^ued by some that all harmonies
that occur over stepwise hasp, movement (excepting those that
come at the high or low point of such movement) have no
functioned significance. If this view is accepted, some distinction
(though not a hard and fast one) must be made between the
\ "structural" ( and | "com^apuntal” chords / of a progression. In
situations including chromatic alteration the problem *is often
simplified, since in most cases the alterations serve to lead our
attention to the main chords.

The following examples-s^rve to illustrate that the context

is the chief consideration in designating the relative importance
of chords. *

Example 26. Mozart, Sonata in A, k.300i (331)

'(trio)

D: IV V l6 I
 Heard alone, the above is a simple D: IV-V-I progression; but
heard in its continuing context (Example 27) the 1 chord
retrospectively becomes a pseudo | chord. Because of the use of
the A pedal at the starred (*) points and the fact that each of the
two-bar groups presents the A chord on the strong beats, the F#
and D of the D chord, even when moved to the bass, are heard as
auxiliaries to E and C# of the A chord.

Example 27

Despite the two-part presentation, the essential movement

of the following passage from Bach's Partita #6 is clearly heard as
a descending series of chords; Vl-V-iy-lll-ll. Needless to say, the
progression found in the details (Vl-11 | V7-I | IV-VII | III7-VI | II)
does exist. But the context causes us to hear the alternate chords
(II,I,VII,VI) as subsidiary to the other chords. The fact that VI-V-
IV-III-II hardly constitutes an exciting harmonic progression does
not alter our hearing of this passage. It must be understood that,
in the largest sense, this passage gives us a movement from VI to
II. In relative terms, the main harmonies in between are passing
chords, each elaborated by chords at the 4th above. However, the
particular effect of the example depends on the- functions of all
the harmonic details — VI-II V7-I — etc.
 24

Example 28. Bach, Partita #6, Praeamhulum

Undoubtedly the internal structure of this passage may be

heard on many different levels. The number of levels may vary
but, generally, the use of three in an analysis will suffice to give
a clear picture of the way in which a piece can be heard. The
primary level of this sort of analysis will indicate the key of the
particular area of the piece under consideration. The secondary
level will show the larger harmonic motions within the area, and «
the tertiary level will give virtually all the harmonic details. The
middle level will offer the greatest problems, since it is listening
at this level (i.e., not concentrating on every detail and, at the
same time, maintaining a harmonic awareness of more than just
the end points) that the most variety occurs. In returning to the
example from the Partita we see that the first level may be
considered for now as C: I. Because of the clear stepwise descent
of the bass from first beat to first beat of each bar, which is
concluded only on the low D, we can say that the movement on
the second level is simply VI-II (or alternatively, because of the
patterns of the upper part, the passage may be heard in two-bar
groups — VI-I, IV-VI, II). The third level offers — without goihg
into the details of minute chord inversions — the analysis given
under the example. Putting the three levels together we have:
 26

Figure 28

1. C:I------------------------------------------------
2. VI----------------------— n (or 2.VI-- -I IV - --VI n)
3. VI n Vt I IV vn HI7 VI

r r r r r r r r
1. The key is established (although the I chord
occupies no prominent position).
2. The main movement within the key is from
VI to II (or the alternative given above).
3. The details of harmonic elaboration are given.

For a somewhat more complicated example we turn to a

passage from Schubert's Piano Sonata in B\> (fourth movement,
measure 86).

Example 29
(Allegro, ma non troppo)

1
1*------- J- - - - , 1 ' «
'"Y~
--P
«
-----7 ^..7-
—~m
 26

Here the first level gives us F: 1. In cases where the second

level becomes quite subtle, it is often advisable to bypass it and
return later from the third level. The third level offers no more
problems than did the Bach example. Here the progression is:

Figure 29a

Although this passage certainly does not sound "weak", all

the direct progressions in the first four bars are by 2nds and 3rds.
If we apply the concept of substitute functions to the 3rd
relations, the situation becomes more clear. Thps III may serve for
I and VI may serve for IV. The II | is non-functional, since its
upper two notes resolve stepwise to the final VI. This may be
indicated:

Figure 29b
F: I -- If- V7 VI —

However, the descending figure of two notes in the soprano

in each of the last four bars draws one's attention to the last note
and chord in each bar. The first beat in each of these bars may be
considered a kind of harmonized appoggiatura, even though the
bass does not always move in a stepwise manner. Now:

Figure 29c
F: I IV I V7 VI

becomes our second level. The three levels together form:

 27

Figure 29d

1 F: I----------------------------------------
2. I- IV-- I-- V7-- VI--
3. i-| in iv| VI I |m vJnf VI

■ r r r r r r r r r
In the foregoing discussion, the word "levels" is used in full
realization that its use in this connection could become confused
with its use in the overlapping and somewhat similar realm of
pure harmonic functions. Decisions concerning the broader
structural levels heard in a piece will generally be much less
specific than those concerning the levels of harmonic function. In
the former category, the totality of a piece must be dealt with; in
the latter, one must deal primarily with an abstraction of the
relations between the vertical occurrences of a piece — i.e.,
harmony. It is believed that the development of consistent
terminology for the discussion of harmonic functions must
supercede the total analysis of music. In the following chapters,
"levels" will be used with regard to harmonic functions.
 28

Exercises for Chapter II

I. Write out the following passages. Show each tritone

relationship and indicate the half or whole steps on
either side of the tritone. From this, ascertain the
various temporary tonics involved. Follow the form
used in Example 8 on page 12.

From the Mozart Sonatas:

1. Sonata in Bb, K.189f(281), first movement, bar 48 to

first note of bar 64 (both hands).

2. Sonata in a, K.300d(310), last movement, bars 62-69

(right hand only).

3. Phantasie (nr.4) in c, K.476, six bars, starting

from 12 before Andantino (both hands).

4. Sonata in C, K.646, first movement, bars 29-42

(right hand only).

II. Analyze the following diatonic passages. Show all

substitute functions and "passing" or "contrapuntal"
chords.

From the 371 Chorales of Bach:

1. Chorale 1, first 10 bars

2. Chorale 6, first 6 bars
3. Chorale 14, first 6 bars
4. Chorale 126, first 4 bars
6. Chorale 209, last 6 bars

From the Mozart Sonatas-.

6. Sonata in G, K.189h(283), first movement, bars 1-10

7. Sonata in G, K.189h(283), second movement, bars 1-4
8. Sonata in C, K.646, third movement, last 10 bars
9. Sonata in D, K.284c(311), second movement, bars 1-11
 29

CHAPTER III

SIMPLE SECONDARY FUNCTIONS

Functional and Non-Functional Chromaticism

Chromaticism in tonal music generally falls into two

categories which may be labeled functional and non-functional.
Under the first of these headings come all those alterations which
contribute to even brief movement to a new tonal center. Non
functional chromaticism occurs mainly as the conventional
flattings of the minor mode, or as the sharping of decorative
lower neighboring notes or appoggiaturas which usually create or
imply at least momentary dissonance. Sometimes it may be
difficult to recognize non-functional sharping when it occurs in a
scale line that parallels some conventional tonal scale. But almost
always the context of the scale will clearly show the role of the
chromatic note.

Example 30
non-functional ft functional #

Occasionally the fifth of a chord will be raised, producing an

augmented triad. This chromaticism is usually non-functional
unless the following music makes the augmented triad work as a
substitute dominant to some new tonic. Most often the sharped
 30

note of an augmented triad appears as a kind of "frozen" chromatic

passing or neighboring note.*

The non-functional alterations do not influence either the

tonality or the harmonic functions within the tonality. But in
the sense that entire chords can sometimes have primarily
contrapuntal (or decorative) significance, as discussed earlier, the
two categories of chromaticism overlap to a certain extent.

Functional chromaticism may occur on either chord or non

chord tones and necessarily defines a new tonal area. Examples of
functional chromaticism appearing as non-chord tones follow. A
single chord may sometimes be caused to sound like a new tonic
(or other function within a new tonic) by means of the scalar use
of functional chromaticism. There need not be any "progression"
in the new tonic whatsoever.

Example 32 .functional alteration of passing note ,

. JjJJ JJJ .71 i mm

w----------------------------- ----------
—

^^8 ^-----------------------
1 0...... . K-----------
1 ”. ...... -n: Al.
^ ■ —0---

C: I--------- IV------- G:

* See last full bar of Example 114 and also page 165. Related to
this is the problem of the augmented sixth chord (see page 49).
 \
31

In the next example the feeling of the dominant of F is

clear until the last second.

Example 33. Mozart, Sonata in a, K.300d(310)

The first F#, as the lower neighbor to G is non-functionally

altered; but when F}f appears as part of a descending scale, then Flq
loses its tonic potential and the enharmonic spelling of the C7
chord becomes justified even before the B chord is heard. By
altering this scale note, Mozart causes V of F to take on new
meaning as an augmented sixth chord in e. The dominant function
of the final B is clear.

No matter how brief the occurrence of functional

chromaticism, the implication is that a new tonic is being
approached. When this occurs on a much larger scale, establishing
one of the important sections of a piece, we say that modulation
has taken place; but when this kind of chromaticism leads only to
a temporary tonic, serving to strengthen it in relation to the main
tonic, we say that tonicization has taken place. Tonicization
covers a very wide range of situations. It is by this process that
great harmonic variety within general tonal unity is possible.
However, it must be emphasized that, since the problem of
harmony versus counterpoint is often involved, no strict rules
concerning tonicization can ever be established. In the following
examples the frequent conflict between functional and non
functional chromaticism is presented. In these cases the end result
is to strengthen the dominant and yet maintain its supporting role
in relation to the tonic. The same process may also appear with
regard to the chords on other scale degrees.
 32

Example 34. Haydn, Sonata in E, (Edition Peters, #40)

Here the A# in the bass is a chromatic passing tone between

the 4th and 6th degrees of E. The conflict with the Atj above it
intensifies the non-functional role of the alteration. Situations
such as this occur frequently in Haydn, and especially in C. P. E.
Bach.

Example 36. Mozart, Sonata in Eb, K.189g(282)

In the last two measures above, the bass line certainly

tonicizes F (note the melodic and harmonic tritone, Bb-E).
However, the conflict with the auxiliary Eb of the upper part
minimizes the functional role of the bass. Then, too, the direct
movement of Et] to F might be taken as an appoggiatura from a
weak to a strong beat. The earlier Eb, even though appearing in a
chromatic passing movement, also has an appreciable tonicizing
function because of the implied diminished 7th chord (Vs of F) at
that point. In this kind of example the specific analytical
conclusions will depend on the degree of the individual's concern
with detail and with the rhythmic and melodic factors which are
beyond the scope of this book.
 33

The simplest form of tonicization occurs when a single note

of a chord or line is altered so as to play the part of either the
leading tone or 4th degree of a new key. It is possible, however,
to tonicize a tone without any chromatic alteration whatever; but
usually this is not very definitive unless considerable repetition
of a motif takes place and the implication of chromatic change is
felt.

Example 36

C: V I (G: tonicized)

Tonicization and Pivot Chords

Tonicized functions will be indicated in the following

manner:
Example 37. Bach, Chorale 106

Cr ^ p.^
 34

Figure 37a

A: I
T „(E)
V

I V Ig V I V I

The highest level in Figure 37a will not be dealt with for
the present, since it will show only modulations; i.e., the largest
relationships of basic tonics. The enclosed, middle level shows the
relationships of the temporary tonics, and the lowest level the
specific function of each chord.

Pivot Chords

In most cases of tonicization one or more pivot chords will

be present. A pivot chord will function simultaneously in both
the old and new tonics. In Example 37, the chord on the first beat
of bar 2 functions both as I of I and IV of V. This may be
represented:

Figure 37b

A: I--- ------------------------------
I— V---------------
I V V lii^iv, V i [P
r r r r r r r
The horizontal bracket and the "equals" sign (=) indicate
that both Roman numerals represent the same chord. It is possible
that a whole group of chords may function, retrospectively, in
two different keys. However, generally it is most practical to be
concerned only with the last chord before the introduction of
functional chromaticism (see page 67 also).
 36

Often a tonicization will be started by an altered passing

tone (as in the Mozart example, page 31). In such cases, either the
preceding harmony or the one under the passing tone may form
the pivot chord.

Example 38. Bach, Chorale 50 (second phrase)

In alien meinen Taten.

r\
J J.j J 3
f tf

________
functional ly _
altered passing tone

Figure 38

F: I----------------------------^ F: I
I---------- V------------------ 1 V

i-j-^iV=ii Viln^ Vs i'

6 v,m=vi,
'' ■“•7 Vs
I Ej »S ^I
^ (VHg)

r r r r r rr rr r r r r r
The first analysis is preferred, since it offers more common
progressions in both of the middle ground tonics.

Frequently a flatted 7th will appear with a tonic that has

just been preceded by its dominant. Even though the new scale
note is present in the tonic itself, that chord will be the pivot
chord because it is at once a new dominant and the clear goal of
the preceding dominant. The lb 7* may be indicated as Is, so as to
show that the chord is substituting for a true tonic effect.

* For brevity, most functions will be listed in root position rather

than in terms of any specific inversions.
 36

Example 39, Bach, Chorale 6

Christus, der ist mein Leben.

J 1 J . Ml
tt
iuC!_ _ 1_ _ _
J 1 J

r i r
i i i i. J i .

r rT r f ■— —

Figure 39

F: I
1T TST
IV 1T
l-\-
V i^s- l Iz IVj V—— I
dk)

r r r r r r r
lb 7 is usually a pivot to a tonic on IV, hence Is=V7 of IV.
Since Vllb? is often a substitute for Vz, then it follows that a
diminished chord can, under some circumstances, serve as Is even
though the tonic note itself is not present. In the next example,
the Db of the bass might have been replaced by C without altering
the basic functions of the harmonies.

Example 40

ir-JjJa - —hJ— M'

---p-
-r^ J ZZ.J--- cj r r ^ r
(or C) i .. . ^
m
 37

Figure 40

C: I
I— — IV—— I-------------
,I=IV|V 1 I 1
I IV Vs V iIs=Vs,
(vni,,)
il rr r r r r
Tonicization may occur without the presence of a pivot
chord. A direct chromatic relationship, such as the A to A# of the
following example, usually rules out any pivotal function.

Example 41. Bach, Chorale 86

E: I-
The vertical wavy
line (\) will indicate
- (Vs) I IV V the absence of a
pivot chord.

r T"'r’"r r- r r
In the above example and figure is a particularly clear case
of a chord (Vs in parentheses) which appears as the result of
stepwise motion and has only small functional significance. The
skip in the soprano from the E up to the B causes the entire
measure to be heard as a single function.
 38

In the following example, the ideas of tonicization and mere

non-functional alteration of primary function tend to merge.

Example 42

The Bb and F}{ may be called either chromatic passing tones

ot tones which change the functions of the chords in question. In
the first instance our analysis would give:

Figure 42a
C: I
I

The second point of view gives:

Figure 42b
C: 1

Neither of these results is completely satisfactory. A

mixture of the two might be given, because the 4th of a scale
seems a weaker tonic-determining factor than the leading tone,
and the last chord of a phrase usually takes on more importance
than the middle chords. Thus:
 39

Figure 42c
C: I-------
I---------------- V

I V(,_)|IVSVs I 1
r r-r r r r
One should not be overly concerned with such details
unless the music indicates that the composer was intent on
directing the listener's attention to them. In most cases the actual
duration of an alteration and its position in the phrase might be
good bases for decisions. For example, if the proper scale degree
were involved, an altered note which was twice as long as its
preceding unaltered form in the same chord would tend to change
the chord's function.

Exercises for Chapter III

Analyze the following works in the manner demonstrated

by Figures 38-41.

From the 371 Chorales of Bach:

1. Chorale 18
2. Chorale 29
3. Chorale 131
4. Chorale 188

6. Bach, Two-Part Invention #1, in C, first 9 bars

and first note of bar 10.
6. Bach, Two-Part Invention #10, in G, complete work.
7. Bach, Two-Part Invention #14, in Bb, first 6 bars
and last 8 bars.
8. Chopin, Prelude in G, Op.28 #3, complete work.
 40

CHAPTER IV

FUNCTIONS OF THE MINOR

Major-minor Interchangeability

As stated earlier, minor scales will be treated as existing as

the result of a fairly consistent set of alterations of the parallel
major scales (see page 8 and following). While minor scales may
not have originated in this way, it is probable that their use in
tonal music may best be approached from this point of view. Two
alterations suffice to give the complete impression of minor
harmony — the flatted third and the flatted sixth. In some cases,
even the sixth need not be altered. However, if the sixth degree
is lingered upon, the minor effect will be weakened unless it has
been flatted. Conversely, the \>6 may be found in proximity to the
t|3 without completely destroying the major quality.

When the third or sixth of a scale is flatted and appears as

the third of a chord, there is most often no change in the function
of the chord. The flatted seventh of the scale can change the
function of the V chord, especially if it is used in some ascending
manner. It is rare that a real Vbs chord is heard in a position of
structural importance. When it exists, the Vbs usually loses its
"dominant" function, unless the composer has made a special effort
to impress upon the listener that the "leading tone" is to be a
whole step below the tonic note. However, it is only by
examining the whole of a phrase that one can ascertain whether a
chord containing the flatted seventh of the scale is functioning
exclusively in the original minor key or rather dually in that key
and the relative major, or some other closely related key. It
should Ije mentioned that the "closeness" of any two keys to one
another depends largely on just how much their scales have in
common, or sometimes potentially have in common. (By this is
meant, the conventional ascending and descending forms of minor
 41

scales must both be considered.) Thus C is a little "closer" to G than

it is to a, because only one note (the 4th) of the C scale must be
altered to produce the G scale, but two notes (the 4th and 5th)
must be altered to produce the ascending form of the a scale.

Example 43
g 5- - -(#) a:--------- it)
V
/iL\ ^ ^ '/lU ' / _u_y_____
iJ .e- o ® ^ Q Tl ^ ''IT'''
C:---------(tl) C:---------(tl tl)
On the other hand, C is somewhat "closer" to a than a is to e
or E. After an a tonic is established, C may be tonicized merely by
means of elements already found in the conventional descending
form of the a scale; whereas the e or E scale requires at least D}t for
its establishment.

Example 44

(to
a:----------- (i (tf)----------------------
bo «le40a
IT
m
q:
jn ~rr o- n—rr-O
no changss:
C:------------ (4) (tl)---------------------------------- e: -(#) (§- -i) 0i)

In music where there is much major-minor alteration,

almost any keys may be directly related. As to the problem of
"close" or "far", the absolute number of chromatic changes
required to establish a new key will not be so important as the
question of just what role the altered notes play in each of the
scales involved. The problem of the larger relationships between
keys will be dealt with in subsequent chapters.

When we truly have a group of functions based on the

natural minor scale (i.e., third, sixth, and seventh degrees flatted
both ascending and descending), we may say that the harmony
formed therefrom is modal. Following is an example of modal and
tonal treatments of the same melodic fragment.
Examples 46a,b. Bach, Chorale 28
Nun komm, der Heiden Heiland.
(first phrase) (1 a St phrase) ,

\l\\J j j jn j J
HX-J b. r-
" J
\,} itcu
The analysis of the first phrase is as follows:

Figure 45a , b: I

I---- ^ ..—
I IV v^31 VI |n VJ3I 11

r r r cj r u
The k|3 in the third chord must be indicated, since it is a
deviation from the norm. The is shown in the second bar, since
the V now becomes a true tonal dominant. (The second chord may
be analyzed either as 11 or IV; in any case, the function is
subdominant.) The last phrase gives:*

Figure 46b 1
b: 1----------
I V------------- — I ^ . ....
' I=IV,V I(|,3^vi,n=ttvi,|v()t3)i V

r r r LJ c_r r r
We hear much more harmonic activity in this phrase, so our

* Note that the auxiliary tone E (instead of E#)weakens the tonic

effect of the f# chord. It seems to refer back to the modal V of the
first phrase.
 43

diagram becomes more complicated. It might be argued that the

last eighth note of bar 1 does not form a new function. There is in
the alto, however, a very distinctive leap of a 4th across the bar
line which tends to make us hear the B as a chord note. A broader
interpretation of this passage, based on the stepwise movement of
the outer voices at this point, would lead us to the omission of
both the last eighth of bar 1 and the first eighth of bar 2 as
structural chords. Thus:

Figure 45b2
b: I
I V I
I=IV, V I VI I ,IV=I, V 1^3

Either of these two analyses of the last phrase is acceptable,

the choice depending on how much detail is desired. The
important thing is that the details be comprehended. Many
examples of modality may be found in 19th-century music,
especially in the works of Chopin (see Mazurka #16, Op.24, #2,
second section, Lydian mode; Mazurka #26, 0p.41, #1, Phrygian
mode.) These self-conscious exoticisms might be called "modal
tonality" (as opposed to major-minor tonality) and are most often
presented as clear deviations from the norm. The functions of the
various modally-formed chords are no different, but these chords
can serve as direct pivots to tonal areas which might be more
distant from an ordinary major-minor tonality.
 44

It will be seen that any degi-ee of either a major or minor

scale may be tonicized. Usually the new tonics will be major or
minor depending on the normal forms of the various triads in the
original tonic. When the original key is major, II, III and VI will
most often be tonicized as minor keys, while IV and V will be
major. VII will rarely be tonicized, since it presents a diminished
chord in the home key. (The chord built on the leading tone of C
major is B, D, Ft].) On the other hand, VII frequently appears as a
tonic goal when the first key is minor. (The chord built on the
seventh tone of the c minor scale is Bb, D, F.) With a minor scale
we have III, VI, and VII forming major tonics, and IV and V minor
tonics. Since the chord on the second degree of the minor scale is
normally diminished, II now becomes rare as a tonic, whereas the
major tonic on bll, the Phrygian second, is often used. (See
Beethoven, Sonata #23 in f, Op.67, opening bars; Sonata #29 in
Bb, Op. 106, third movement.) In actual practice, especially in the
music of the 19th century, the major and minor elements are
freely interchangeable.

From this point on, the distinction between major and

minor tonics in the upper two levels of an analysis will be
indicated by the use of upper and lower case Roman numerals
respectively. The functions within the tonics (the lowest level of
an analysis) will continue to be shown by upper case numerals.
Non-functional alterations, such as the "tierce de Picardie" (Ijts in
the minor), may be shown in the usual fashion.

However, when a temporary tonic appears as major after

the preceding music leads one to expect a minor tonic, certain
problems are sometimes raised. Often such chords are experienced
as dominant functions to chords more closely related to the scale
of the original key, as in bar 8 following (see also Chapter V).
Example 46. Schubert, Meeres Stille, Op.3, #2

Figure 46

C: © ®
T :::
JUU ~
vx
I- V I- n V Vs I Vs I

On the next page is a complete table of indications for the

possible temporary tonics that might be found in direct relation
to a basic tonic of C major. Change the appropriate accidentals
when dealing with other basic tonics.
 46

Figure 47

iv V 1»VI
i»vn i» vu

Vn vii
Group 1 lists the tonic chords available from the resource
o e unaltered C scale. The second group includes tonic chord
hat are available as the result of flatting any of the original seal,
degrees except the 1st, 4th and 5th; hence, c minor. (The bvii. bb

Vopening of Mozart's Quartet in C

K.466.) Group 3 is set apart because it includes the less commor
temporary tonics, all of which involve either flatting or sharping
of the 1st, 4th or 6th of the original scale in order to produce the
new tonic chord. These chords, even when surely approached as
onics often prove to be working as dominant or subdominant
v?ew tonification of iii following) from the largest point of

Example 48

* This type of progression will be treated

the section on added levels of tonicization somewhat differently in
in Chapter V.
 47

Figure 48

r r r r r r r'
It will be noted that there is no temporary tonic listed in
Figure 47 that has as its root a sharping of any part of the
original tonic major scale or a flatting of the 1st, 4th or 5th
degrees. It is very difficult to make a case for the existence of
such a direct relationship of tonics. (See Chapter VI, Alternating
Progressions.)

Pivot Chords in the Minor

Because of the ambiguities inherent in the minor scale

certain problems can occur in regard to pivot chords. In Example
49a the ascending form of the minor scale produces a chord (IVti)
which can, in a slightly different context (Example 49b), lead to
a brief new tonicization of VII.

Example 49

d J 1,] ihJ J J I l-j - , ----- i-rl-, ------

-£.__ cJ__ L_

1 — ^ 1- rp : 7— ^ DC. ^^-----■
pr rm ^
fp tjm
m----•
r [ TI J__ J-cjr
Ad A J J ___A y
1 ________
2

/ * m — *-------------
J

H—- T- - ■ - r H - 'r------
•I- \rp
r -----r—
1 r—— p- m I
-----
^ \—--- 1---1— '
c: i------------ c: i

F
I IV , V I V 7 iJ.
I
WAX
■\7¥f

,IV=V, ,i=vn,iv V
X
:
 48

In the minor, a direct progression from III (with the flatted

fifth) to V (with the raised third) is somewhat rare. However
the next example may be analyzed in this way because no real
tonicization of III is involved.

Example and Figure 60

1 ,

I V VI m IV V I V VI m V I
(bS) (li3)
The III chord may be called a pivot in the minor so long as
the conventions regarding the usage of the various forms of the
minor scale are followed. In the next example the pivot to III as a
tonic is the III chord itself since the chord appears in a context
completely compatible with both c and However the return
from III to i as the middle-ground tonic involves an abrupt
chromatic shift. Thus no pivot is shown.

Example and Figure 51

• TTT _ Z
1 111 1

I VI m=i
11
IV V
I 1 V
I
 49

Augmented Sixth Chords

It is now clear that chromatic alteration in a chord very

often changes its function. This will most often he true when the
alteration involves the 1st, 4th, 5th or 7th degree of the scale, or
when it occurs within a phrase rather than at its end. As stated
before, every judgment must be based on the whole of any
particular context under consideration.

The alterations that go into making chords of the augmented

sixth (A6) give us a special case. Such chords evolved as separate
entities from the practice of "freezing" the chromatic passing tone
between the 4th and 6th of the scale. When these chords are used
in their conventional manner and within a single tonality, they
give us an exception to the rule that the 4th of a scale, as a chord
tone, may not be altered without causing a shift of tonics. The
traditional names for the three most common augmented sixth
chords are as follows:

Example 62

,It6 G6 F6
/f) +to
1^0 - - - - - -
it o
—iT-P------------
0. . . . . . . . . .
7
Italian 6^^ German 6^*^ French 6^^

Strictly speaking, they should be indicated thus for a major

key such as C:

It6=ivf* G6=W|?! Fe=n i

■ n 1.1 l.f

It will generally suffice to refer to them all in the

abbreviated manner, A6. When they actually are used as
augmented sixth chords, they almost always have primarily
 50

contrapuntal significance, the outer voices expanding by half step

movement.
(x)
Example 63
?--------- -i

C; (A6) (l6 ) V I
4
However, since they are so often used as a means of
tonicizing new areas (see Example 33), it is usually advisable to
make their presence clear in an analysis. The augmented sixth
interval creates a situation wherein the dominant tends to be
tonicized (Example 63, Fjt leads to G) and at the same time a tonic
role for the dominant is weakened by the effect of presenting its
2nd as flatted (Ab to G). The actual result is that added strength is
given to the dominant role of the final "resolution" of the A6
chord, since the flatted note is most easily taken as the b6 of the
original tonic. Thus, augmented sixth chords will be said to
function as part of a tonic a major 3rd above the lower member of
the augmented sixth interval (see Example 63).

Because the G6 chord presents the identical acoustical

situation as an ordinary dominant 7th chord (i.e., major 3rd,
minor 3rd, minor 3rd), its enharmonic form will often be used as
a means to move rapidly to a relatively distant tonic.

Example 64
 61

Even without recourse to enharmonic change, the F6 chord

may work as the V|,^ structure of the original key's dominant (see
Example 62). One notable use of the occurs at the end of
Schubert's Quintet in C, Op. 163.

Example 66

In this particular case it might be inferred (perhaps

fancifully) that this chord is used to point in the subdominant
direction, a tradition of long standing for endings. Thus:

C:
might imply IV- I
V4=F6
I n I

r
For a stronger example, this time employing the G6, we
r
turn to Schubert's posthumous Sonata in A. Here, there is little
possibility of confusion with an altered V, since there is no root
of V present.

Example 66 Sva -1
8va n ''44^
iM -n rn rni-^
r .J#
——

---------------------
pp ^
- ^ -I -~'~F if ^
r-i—Hi '“j L * ^r~A
etc.
 52

Of the two following possible analyses, the second is better.

In the first, we assume that since the F is omitted at (*), an E,
though not present, might be implied. (Even so, this would give
the sound of the subdominant's F6.) In the second, we more
reasonably assume that the F persists in the memory and that the
context does not lead us to interpret the chord Bb-D-F-G# as an
inversion of A: Vllj,^.

Figure 66

4: I----- I-------
I- I- — IV- — I
or
I- bn Vs I I- bn=bvi G6 V= I
-fi, ^*oot)
,---------
(V|^7jno
11 11

It should be pointed out again that no chord may be

evaluated until all its parts have been heard. However, no set
rules can be given for this; as usual, the context must be the
determining factor. In the Schubert Sonata, the Bb chord fills a
measure and a quarter before the appearance of the G#. Thus the
relatively simple progression of I to bll has time to be accepted
before the function is altered by the addition of a- fourth pitch.
Such particulars are certainly open to varying interpretations. In
both of these Schubert pieces, such ambiguous procedures are
possible because of the extremely firm establishment of the main
tonic in the preceding passages.

A ca^e with some similarity is presented in the Prelude #23

in F of Chopin, where an Eb is found in the final arpeggiated
chord. This Eb is usually heard merely as an intensification of the
already present 7th partial of the bass note's overtone series.
However, it is undeniable that some tendency toward the
subdominant, a tonal area which is almost completely neglected in
the piece, is heard. At the end of a piece devoted to almost
nothing more than figuration on I and V, this Eb comes as a
welcome bit of feuitasy.
'V
 63

Exaip.ple 67. Ghopin, Prelude, Op.28, #23

And then there is the standard "Blues" progression:

Example 68

—^

-A-_______ ___ .. 1 n1 I
fT ^
■ i— H.

I
T rtr T
iV X

T — ■\7‘ T T T
I —

Many variants of the main A6 chords may be found in later

tonal music. But once they are recognized for what they are, they
should cause no difficulties in an analysis. Similarly, there are
many chromatic variants of the dominant, subdominant (the A6 is
one!), and other functions, except for the 1 function.* Various

? But remember that there is always the potential of a change of

function when any chromaticism is introduced.
 64

notes may be added to tonic function, and the root may even be
omitted, but if the root or 6th are altered, the tonic function
becomes dubious.

Chromaticism has always caused composers trouble with

notation. The augmented sixth and diminished seventh chords in
particular have raised problems, because of the ambiguity of the
situations in which they are often found. Composers cannot be
totally consistent in notating such chords when enharmonic
eq[uivalence is involved. It will always be necessary to determine
the function or functions of chromatic chords by studying their
surroundipgs rather than by taking their notation at face value.
 65

Exercises for Chapter IV

.Analyze the following works. Show the distinctions between

major and minor tonics through the use of upper and lower case
numerals on the two highest levels of the analyses.
0

From the(371 Chorales of Bach:*

1. Chorale 11, up to the 3/4.

2. Chorale 37, all.
-3. Chorale 47 A

-.4. Chorale 94
6. Chorale 223

From the Sonatas of Mozart:

6. Sonata in D, K.206b (284), last movement. Variation VIL

7. Sonata in a, K.300d (310), first movement, 24 bars

starting at recapitulation. (In cases where there are
many suspensions and appoggiaturas it is usually best
to write out a chordal reduction of the passage before
working out the analysis.)
.r
8. Sonata in C, K.300h (330), second movement, first 20 bars.

Firom the Preludes, Op.28, of Chopin:

9. Prelude 1, in C
10. Prelude 6, in b
11. Prelude 20, in c

* Note that all bass lines in the Bach Chorales are probably
intended to be doubled at the octave below. Hence, even if the
notation of the bass part crosses above the tenor part, the bass
part remains the true bass.

V
 66

CHAPTER V

EXTENDED TONICIZATION

Added Levels of Tonic Function

Almost by definition, music of*the tonal era depends on the

listener's strong memory of a basic tonic. The basic tonic is a
cohesive force which sets limits and acts as a reference point for
all types of harmonic movement. Even modulation within a
movement never really destroys this reference point; it merely
sets up a foremost subsidiary point. When tonicization becomes
greatly extended, the same effect is produced on a somewhat
smaller scale. The difference between extended tonicization and
modulation lies in the role the particular passage is playing in
relation to the whole. There is much music wherein these two
concepts tend to overlap, but in the main, composers of the music
here under consideration have been so intent upon formal clarity
that the dependent character of tonicization, even when
extended, is maintained.

This important facet of tonal music may be represented by

added levels of tonicization in the middle area of the analytical
diagram. These added levels occur when, within a temporary
tonic area, again a new tonic is approached. A simple example of
this follows. The basic key of C is understood to be well
established both before and after the example.

Example 69

o a 3n
o d' P c} ^
d o- a ~a
-6- .c. j :.

DC
~n~
XX
 57

Figure 69a

C: I

I--- V I
I V I
I ,vi=n, V I V ,vi=n, v i vi,n^vi, n v i ,n=vi,n v i
XX

The D area at (xx) appears in direct relationship only with

the G (or tonicized V) area. Even though every numeral that
appears in the middle area of an analysis is understood to be a
tonic (i.e., working as a "I"), a new I is placed under the first
presentation of V as a tonic in order that the interval of the
subsequent movement to D (i.e., the dominant relation to G), is
readily apparent. Similarly, another I appears when the
progression returns to G as the tonic. In the previous example it
will be noted that the tonicized D was specifically major. This
new I contains F# — not a functional probability in terms of the
original C, but completely compatible with the G scale.

This may be made even more clear if we set up what will be

called tonic guide tones. These represent, in musical notation, the
elements that appear in the middle area of the analysis.

Figure 69b

Tonic Guide Tones

C: I

I----V I-
I—V—I
 58

The tonics which are most closely related (see table on page
46) are connected by horizontal bars. The black notes may be
added to show the mode of each tonic. When dealing with very
complex progressions, it may often prove quite helpful to sketch
out the tonic guide tones previous to making any final decisions
concerning the particular relationships of the temporary tonics.

If some of the notes of Example 69 are altered so that we

arrive at d minor, instead of major, its role as the tonicized V of G
is greatly weakened. Voice leading is important in establishing
the d area. The B and Cjt, 6th and 7th scale degrees, appear in
ascending lines, the Bb and Cb in descending lines.

Example 60
X
rf--------- ---■
—r. ---«
-
rJ __11__
^ ®® -^nr:—-o' Tir.—^^ r- o © o

. n. j2 . . JC. . j : ■ b© ■ -e ■
o----- ^ 1 __C( ' T- 11__
—7—n----- ^ C ^ I ...
- o---------© ..^
___ Li
—s ------- Wri —©

Now, since the I chord of d does not disturb the material of

the original scale, it is heard in direct relation to C.

Figure 60

a____
Tonic Guide Tones ^__ Li o •
0

------------ s

C: I ------
I— V------------ ii---------------- V-------- I
I ,vi=n, V I V ,vi=n, v i vi n y^3=n, v i ,n=^vi, n v i
 69

Very often there will be no clearcut procedure that may be

followed when analyzing situations similar to the next example.
At (*), the change of mode on the G root makes varying
interpretations of the function of the d tonic possible.

Example 61
^________[?■ 1

-ffb—I____,..ii ----n --- ^

"r,
-\LU—___H UU___^ UP o
---- D af— o_ ----©----

. ^ . J2 . ^ . -O . ^: • ^ • -€ ■ hn
• /X
,
*!■ ..------ ----ri----
- y r- ___d ---K
-------------u----------- e) _____ _______ cJ ^" c —n —
—© ..... ha —e

Figure 61a

Tonic Guide Tones

C: I
I--- V--------------- ii---------------- V---------- I
I ,yi=n(^s)V I Y(m=m,'v i VI n yi,3=n, v i ,n^vi, n v i
Figure 61b
-f

m
Tonic Guide Tones V m_____
1
S
......... —------ 1&*" ------------- Tr ■ ■

C: I
I— V--------------------------------------- ------------- I-----------
i—.. V--...... I
I ,vi=n, V I V ,vi=n, v i vi n ,v=n, v i ,n=vi,n v i
* When a tonic changes mode for more than the duration of
an occasional chord, the change may appear superimposed on
the continuous line running from the original occurrence
of the tonic.
 60

Figure 61c
-4~i-Ti—3
Tonic Guide Tones 2
------------

C: I

11
,
-
:

IV

I ,vi=n, V I V ,vi=n, v i vi n ,v=n, v i ,n=vi, n v i

* Here the tonic is shown as subsidiary to d. Thjs
interpretation might be preferred if the duration of
the g tonic area were quite short in relation to the
following d area (see Example 64).

Notice that the above examples were, for the purposes of

illustration, presented without varied rhythm. As always, in
more complex situations, the relations between harmony, melody,
and rhythm will combine to offer a basis for a more specific
analytical interpretation. However, it must be emphasized that
the main profit to the serious musician is found in the process of
wrestling with such problematical decisions. The final decision
need not be considered the only right one, but rather as the most
clarifying of the actual effect of the music on the individual.

An extreme example of added levels of tonicization (and it

is often heard) is the progression through the "circle of fifths".

Example 62
 61

Figure 62 b:
be
i _
\h
L

A— —^
—V'-

■' i.

C: I

* When many levels

of tonics appear, the
letter names of the
various keys should
be addecL to avoid
confusion.

Example 63

.---- -I----±.----

— -j :____________lii ^ r
111> -IL “i n k p
- qr—■jfC^—

9- jf
2. /2. et«Z.
i j2.
3 f■3 p
SffK—h
■ r ------ *-5----- *7 V ------- j_
—.dL----- -^____ : n—'
3—fr 1
^____ >
•?—
 62

These diagrams may appear somewhat unwieldy, but they

have the advantage of giving clear pictures, in intervallic terms,
of the relationships involved.

Occasionally a very rapid movement through part of the

circle of fifths, or the successive use of 7th chords, will cause
certain elements of a progression to stand in relief.

Figure 64

a ZM

C: I

In the above diagram, the abrupt skip down to a third level

of tonics (which resolves to a I on the second level) accurately
parallels the effect of the example. Notice the problems created by
the use of a string of diminished chords over a basically chromatic
line. Such situations may be analyzed as substitutes for the "circle
of fifths" progression, but generally it is best to consider all but
the first and last chords of the string as parallel-moving passing
 63

chords (see Bach, Partita #2 in B\), Gigue; Mozart, Fantasy in C,

K.394). However, in 19th-century music, details of voice leading
(especially the melodic skips) often tend to give functional
importance to the inner chords of strings of diminished chords
•(see Chopin, Etude in E, Op. 10,#3, measure 38, etc.; Liszt,
Transcendental Etude #6, "Mazeppa", beginning).

Most often the return to the main tonic will not be made by
the same route as was the departure. When this happens, a pivotal
tonic hiay appear in the middle area of the analysis (see below at
the sign *).

Example 66

Figure 65

F: I-
 64

Example 66. Mozart, Sonata in D, K.676, 2nd movement.

21) (Adagio)
rf¥---------------rfttr-
9 jtp r ,M— ------------------WVi• -h^m
..^ 1 i=^

bJ—
O: "Irt—^—;—1— |-:r....
—r —
^ 4b-------
i------- — N-
y ^ Im ^... P-------- 1
 66

The exact location of the pivotal tonic will usually depend

on the association of the particular means of presenting a given
harmonic function with earlier presentation of the same function.
In other words, the return to the chord of departure, even with
the same function on the lowest level, can be inconclusive until
we also return to the same melodic and rhythmic presentation of
that function. In Example 66 the f}t chord at (*) has a tonic
function, but f| as a tonic of the middle area is still subsidiary to
another tonic (D) until the return of the original material.

Figure 66
itl ^ itf
p-.ip qg t=iMi "J_
if.
i VI-^
1 Vi—-
I ------------------------------------------------------------------
ii V I ii iii 1_1
MVsI^Vs,Is =V, ><|lill|v| lM|v|l IV C6
Vs IV V I

r r r- r r r-
VH7 (ivs i|„)
+

..(e)
11 ..(ftt)
1 11
^n|v|I!> n|v|lIVG6
V I

r r- r r r
The middle area of the first analysis is preferred at (+),
because the tonic chord of f| is completely consistent with the
scale of D, and there are no other factors that might deter one
from hearing the passage as a stepwise progression of tonics (I, ii,
iii). If, for any reason, it seems undesirable to show a piyot in
cases where two or more levels of tonics are involved, the wavy
vertical line (|) might be used to show the lack of continuity
along any given level (see Figure 71). However, it rarely
happens that a logibal connection between tonics cannot be made.
 66
1
Control Tonics
1
1
An extension of the previous line of thought will serve
well when considering the following analysis of music typical of
the work of Bach.

Example 67. Bach, Invention No.4 in d. I

1
I
I
I
i
I
I
I
I
I
I
38) (44)

m
I
 67

Figure 67a. Bach, Invention No.4 in d (bars 7-46).

Tonic Guide Tones

i- i
@
,
_1_ =ffl .. T ...(a)
1 Ui i

I^Vu is v|,I=VI,
i.

I Ul IV
,I=VI, n V I n V I IV V I IVV I— V I V

m _V
j JL
iii' i VI i
etc.
ii- VI-

(VI vn I n) IVVVI i=n

ivv V I vi=l. V I

The location of the pivot (at +) is arbitrary, because the

following twelve bars are based on the descending form of the d
scale — which is identical with the F scale. If it seems necessary
to specify the dual function of such progressions, the following
method is suggested. The retrospective functions in F are circled
to keep them distinct from the earlier perceived d functions.

Figure 67b
 68

The form of this work is defined mainly by a gtoup of

cadential formulas. The strength of the points of definition is
greatly enhanced by the fact that each cadence offers us a new
tonal center. However, due to the exclusive use of a single set of
motives and the brevity of the piece, modulation (as it is known
in the main body of tonal music) does not occur. The larger
harmonic movement of this piece is certainly heard as a series of
tonics, whose relations to the main, beginning tonic are at least as
strong as their relations to one another. Thus, even though a
appears first as iii of F, it is finally established as an equal of F (in
relation to d) by the occurrence of the well-prepared cadence at
bar 38. Please note, however, that a's role as something more than
a transient tonic of the F scale is not too definite until the point
of cadence. To emphasize these, varying levels of relationships
among the tonics, we must start at the beginning of our diagram
with two levels in the middle ground, so that when a temporary
tonic is somehow given greater status and becomes what may be
called a control tonic, this change will appear in a consistent
form. In the above analysis note that on the highest level of
tonicization the progre;§s from i to.Ill to v coincides exactly with
the full cadences. However, F and a are first tonicized well before
the cadences (this shows on the second level of tonicization). The
numerals of the control tonics will be underlined.

The use of Strong cadences is not the only method which can
give a temporary tonic the status of a control tonic. Another
favorite method is the clear presentation, in some new tonid, of
material (either old or new) of relatively great importance; e.g.,
in the Bach Invention, the return to the original d as the control
tonic is defined by the return of the opening statement (bar 44),
rather than by a full cadence. The presentation should be long
enough so that the new tonic may be heard as independent beyond
the extent of simple tonicization. The functions under a control
tonic established in this manner need not include a strong
cadence. The music might then progress smoothly to yet another
control tonic. If the important factors of the music seem to
 69

warrant its independence, a new control tonic might even appear

as a lower level of tonicization, below an old control tonic (see
next chapter, Schubert example).

Much music can best be analyzed in terms of series of

control tonics, the term "modulation" being reserved for a shift of
the basic tonic. No set rule can be given as to when it is advisable
to use an extra, higher level of indications in the middle area of
the analytical diagram. Any variant of the basic diagram is
acceptable just so long as it contributes to the understanding of
the music under consideration.

It is very evident that as the complexity of harmony

increases there is usually a corresponding increase in the
ambiguity of individual harmonic functions as they relate to the
whole. This is, of course, the reason for the particular effect of
late "Romantic" and "Impressionistic" harmony, and also the
source of the ultimate breakdown of functional tonality as a
meaningful system. When every harmonic function becomes
ambiguous, then something other than a tonal center (as defined
by harmonic functions) must take over as the prime cohesive
force (see last chapter). It is significant that in music of the
Classical era the more complex harmonic progressions are most
often relegated to developmental passages — passages that depend
greatly on motivic continuity. In such instances, it is common to
hear a series of tonics which seem to relate only to their
immediate surroundings. (It is possible for even the original tonic
of a developmental section to reappear for a considerable time
without its having any direct functional relationship with its
earlier presentation.) The analysis of an extended developmental
passage will show continually added levels in the middle ground,
the return to a single level being conditioned by the reappearance
 70

of familiar, stable material in its proper key. This traditionally

happens at the point of recapitulation in the sonata form.*

Exercises for Chapter V

Analyze the following works:

From the 371 Chorales of Bach:

1. Chorale 21
2. Chorale 92
3. Chorale 200
4. Chorale 231
6. Chorale 279

From the Two-Part Inventions of Bach:

6. Invention 11, in g
7. Invention 12, in A
8. Invention 13, in a

From the Well-Tempered Clavier, First Book, Bach:

9. Fugue I, in C
10. Fughe X, in e

From the Preludes, Op.28, of Chopin:

11. Prelude 6, in D
12. Prelude 22, in g

* Among the numerous exceptions to the above statements are the

first movement recapitulations of Mozart's Sonatas in D,
K.284c(311) and in C, K.646. In the first of these, the
recapitulation begins with the material of the segond key area,
but now heard in D instead of A. The recapitulation of the C
sonata offers the original opening material, but in the
subdominant, F.
 71

CHAPTER VI

AETERNATING PROGRESSIONS AND INDIRECT RELATIONSHIPS

The simplest form of alternating progression is that in

which a particular chord is approached from two points of view
with regard to its harmonic function. In most cases there is not
the slightest doubt as to the primary function (usually dominant)
of the final chord.

Example 68

Figure 68

Here the delayed resolution of the D7th chord to its tonic, G,

may be shown as above. The primarily dominant function of the
G chord is ensured by the immediately preceding subdominant
(II function. Thus the G major chord is tonicized by the second
bi
chord ajid "dominantized" by the third chord, tjie last relationship
iu the series being the most influential. Here, once more, the
voice-leading or contrapuntal element becomes relevant and, from
a broad point of view, the bass notes F}t, Ab, and G form a kind of
cajnbiata, figure which minimizes the effect of the D7th chord as a
 72

dominant.* In detail, however,, the above example does offer us

the musical effect indicated by the analysis.

Similar progressions Occur in the Mazurka No.38, 0p.59,#3,

of Chopin (measures 16-24):

Example 69a

As the progressions under study become more complex, the

following method for clarifying the relationships may be used.
The horizontal bars connecting various parts of the Chordal
Reduction serve the purpose of showing which of the harmonies
may be directly related to one another. On any given level, the
horizontal har coniiects chords which all serve the same
teniporary tonic. It should be noted that sometimes a chord Of
substitute function will be found on a given tonic's bar even
though the chord is at the same time more clearly related to
another tonic. These Chordal Reductions are hot to be confused

Many books on harmony would call this D7 chord simply II#3.

This seems like an oversimplification. A dividing line must be
drawn somewhere in these matters; in this book the sharped 4th
ahd 6th degrees of the scale will only be admitted as "functional"
when they are part of' augmented sixth or augmented fifth
chords.
 73

with the diagrams outlining Tonic Guide Tones. Tonic Guide Tones
will be used solely as a means of clarifying relationships among
the tonics involved in any progression. (See page 67.)

Figure 69

Chordal Reduction

Here the control tonic of III (A) has been established. The
section in A is far too brief to warrant the use of the term
"modulation". In measure 17 the G and the clearly implied form
a tritone which is most readily heard as dominant to D. However,
measure 18 first offers us a 7th .chord on B — this heard as
dominant to E. Then follows a d minor chord, the logical result of
measure 17. In measure 19 is heard an E7th chord (over a tonic A
pedal) which is a substitute for the simple tonic expected after
the B7th chord. At measure 21 things become a little more
complex. The last chord contains an A#, which could be
interpreted merely as a chromatic passing note, but which
certainly does tend to tonicize the following B (as the sixth
 74

degree, normally a minor tonic, of D), which then functions as it

did earlier. At the end of measure 22, the tonic expected after the
A7th chord of four beats back is replaced by the 11 i of A.
til

Since the successive functions in such music sometimes bear

only a secondary relation to each other, very skillful voice
leading, as in the Chopin example, is necessary in order that the
progression remains clear. From one point of view, there is no
doubt at all that this passage can be interpreted as a chromatic
"working out" of the A chord.

Example 69b. (Reduction of Example 69a. The doubling of the

highest part at the octave below is omitted.)

However, the particular form the chromaticism takes in this

Mazurka also gives the unmistakable impression of a series of
varied harmonic functions.

For more examples of chords which have both contrapuntal

and harmonic' significance we will turn to the opening of
Schubert's Quintet in C, Op. 163.
 76

Example and Figure 70. Schubert, String Quintet in C, Op. 163

(Reduction of measures 1-26.)

@ © ® ® ®
snr y-

C: I
_L /ii- I
a. m-
V II n- V n I- =n, V I n V I ,vi=iv,u G6 v .
-f I I
C: I
I _u------ X—I-
b. I V- i V- i I-+- m-
,i=iv,Vs,iv=i,v I n^v,i=v, n=i=iv, Vs,rv=i=n, v i n v i ,vi=iv, Ge Vg V

JD
Complete diminished 7th chords (at bars 4 and 13) are often
used non-functionally, as multiple neighboring notes. Taking this
point of view, Figure 70a treats most of the altered chords as
purely contrapuntal. Thus the harmonic movement remains quite
simple and without any new tonicization until the end of the
excerpt. This is very likely the way the music is heard (and
intended to be heard).

As we come to know the piece rather well, especially as

regards the violoncellos' repetition of the opening theme at bar 33
(see Example 71), we may feel that the various altered chords in
the first part also carry a potential of having functional
implications. Any given listener may not always hea|- this
example in the same way, even if he has memorized it. While the
main purpose of our analyses is to show how the harmony of a
piece is most simply heard, we should also try to provide for
other, less simple possibilities that may be inherent in the music.
 76

Figure 70b shows the implications of the various altered

chords. The diminished chord at bar 13 is shown as d: Vs of V
(Ab=G#) simply because of its being in a position analogous to that
of the first diminished chord, bar 4. Bar 13 has, of course, at the
same time the role of Vs of C. This is demonstrated by the
indications below the second analysis. Thereby the symmetry of
the first and second phrases is clearly shown. At (*) three
functions are given for the d minor harmony. They represent, 1)
its relation to the previous function, 2) its present function, as
defined by a new statement of the main motive, and 3) its relation
to the following function. Such triple indications should be used
sparingly, since they could easily obscure the most important
elements of a progression.

Perhaps Schubert wished to prove that these altered chords

could have harmonic functions, since his varied restatement of
the opening gives the following progression.

Example 71. Schubert, Quintet in C, Op. 163

(Reduction of bars 33-46)

X i*
@ fz • / -------
@ @ @
^ ■■ —¥------ —Ti—— —
Tfr\ ^ liti___ K .
ITT : ■
viy -,1^3 ______ I'i——
■

Figure 71

C: I
T ^ li T
T 17 \ 1 <r
IV u
; 1 V
,I=IV, IVs ,I=IV, F6 V I-=IV, IVs ,vi=iv, V I

Now, the first diminished chord is certainly working as a

tonicizing agent to G. The three chords found in measures 40 to
44 give the effect of a deceptive progression in a, the final chord
of the group being also subdominant in terms of what follows.
Note that no pivotal tohic is used when the control tonic returns
 77

Note that no pivotal tonic is used when the control tonic returns
to I. It is felt that the time spent under the control tonic of u
is of such relatively brief duration that C could scarcely be heard
as a tonicized VII. However, some other piece with a different
presentation of a similar progression might be analyzed rather
differently.

In the March to the Scaffold from Berlioz' Fantastic

Symphony occurs a passage that has puzzled many musicians. Its
dramatic effect is highly dynamic and specific, but its musical
justification has been difficult. The problem arises from the
alternation of the tonic g minor harmony and the Db chord. It
might seem that the closest link between these tritone-related
minor and major chords would be found at the fourth above the
tonic, or c minor. Thus the relationship could be shown:

Figure 72

I=Vl?3, I’D |V|>3=I| etc.

(.g) (Db) (g)

However, the composer does not seem to take this view of

the relationship (nor does he treat Db in this manner when it
appears a few moments earlier). The alternation of chords
continues until Db is almost heard as a new and functionally
unrelated tonic. But, as the drive of the passage subsides, it
progresses to Eb7 and thence to a tutti chord, at which time the
previous happenings may be reassessed. The analysis following
the example represents the result of this reassessment. There is
inadequate basis for choice until the end of the passage.
 78

Example and Figure 73. Berlioz, Fantastic Symphony

(Reduced from the fourth movement)

Tonic Guide Tones

Below the main body of the analysis is shown the separate

movement of each of the two alternating progressions. The one in
g is quite simple; in fact, the whole g chord acts as a pedal until
the augmented sixth chord leads to the dominant. The progression
begun by the Db chord is listed under an tonic because, in view
of the ultimate hearing of the Eb7 (enharmonic), ^yb is the most
direct connecting link to g, even though the 1 of Ab is not used.
The functions listed in parentheses might be interpreted as
chromatic elaboration of the Db chord (see Example 70). Thus the
overall progress from the Db chord is likewise simple — Ab: IV...V,
wherein the V serves doubly as the G6 of g. Notice that in all this
the possibility of treating the Db chord as a bV or relationship
in g is avoided. A true direct relation of the tritone between two
tonics tends to destroy both of them. Such a relationship would
merely constitute a juxtaposition of keys whose tonic chords
were incompatible except as they both served as subsidiaries to a
third tonic (see page 46).
 79

Following is the well-known introduction to the second

movement of Dvorak's New World Symphony. The notation here
differs enharmonically from the original.

Example and Figure 74

id______bfe iU , ki
Largo , ^ I biB;
— ------------BiJlS
1
■L'X’ -----^—Pile 1^- 1
-91-------- ---- "kH --------
ti . ^ 'l hr. 1
Q--------
H, /T)___ilzS __ ^In?: . • ' V ‘ • o--------
^ L —'
i-------uiL“^ -TTTT------ rc-------
k ■ST ^ -^ It :7 '1 ^

P
__
PPP

-Q_____
y
XL
L
■ic
J jlTf 'j
V. 1/____^ 11
■It r 1

Tonic Guide Tones

Even though the movement proper is in Db, the key at the

beginning, as listed on the highest level, is E. This represents a
continuation of the e of the first movement. The tritone relation
between two major chords (E and Bb) is usually heard as V-bll or
vice versa, the former being used in this case because of the
positions of the two chords, V|-bll6, and because of the
subsequent harmonic developments. By the time we reach the
third measure we are sure that the E chord was working as a
dominant to A.
 80

Example 75a
5

4
.............. ::
..‘C
5------------ b ?— -------- -—ft
—-jf' M________
X ----- l S_________
........
_ 9- :7 _c

(A:V bHg V------- I VI)

However, the Db chord which broke the continuity is most

simply heard as dominant to A's sixth degree, f}t. It must be noted
that the absence of emphasis in the first two bars makes
immediate recognition of the functions of all but the first tonic E
very difficult. Until more is heard any chord may be dominant,
subdominant, or tonic, etc. When the phrase is complete — and
thus has developed points of emphasis — these distantly related
chords are retrospectively assigned functions in terms of the end
results. The chord serves as VI to A (Example 76a); fjj is
tonicized by the progression from the fourth to the sixth chord
(Example 76c); and the f}t chord is IVbbs (gb) to Db (Example 76b).
A has been tonicized by the first three chords, but the A chord
also seryes as bbVI (Bbb) to Db (Example 76b).

Example 76b

m m
KICZ bo-

(Db: I bbvi rVbbsCne) i)

bbs
Example 76c
1
fM
* I-__________ T+iFt-
' y Ti v.rj _____ " r«'

(f|: V ---------- l)
 81

The later appearances of this material in the movement are

somewhat simpler because they both begin and end in Db.

Example and Figure 76

ruDnid) - - Cg n

In the twentieth of Beethoven's Diabelli Variations, Op. 120,

the listener is frequently kept in doubt as to whether or not the
chromaticism is functional. The slow, regular rhythm and the
constant use of free imitation makes it difficult to specify a
functional or non-functional role for every note. Notes such as
the of bar 4, which had virtually no functional significance
earlier in the work (see Variation I, bars 4 and 6), now share
equal status, timewise, with some of the most clearly functional
notes. Another factor which creates doubt is the occasional use of
notes in the upper voices which may have double significance as
both dissonant pedal points and true chord tones (see bars 5, 7,
etc.). The voice leading is extremely carefully worked out —
every chromatic change has its logical linear result. However, the
harmonic implications of the combinations of the lines may be
experienced on their own plane. Of course, it must never be
forgotten that particular harmonic functions never have a real
existence apart from the total music which produces them. The
alternating functions in this variation certainly grow out of a
mode of thought that considers all musical factors simultaneously.
 82

Example 77. Beethoven, Diabelli Variations, Op. 120

 83

From the broadest point of view, all the altered notes in

bars 4-8 and 17-20 may be taken as non-functional elaborations
of the dominant. (The same is true for bars 21-24, but with a
different tonic.) In bars 2 and 3 the bass is melodic, so there need
be no question of a ^ chord.

Figure 77a

T
Xs)
1
/X/W" V

As the variation continues, we are faced with progressions

which do not respond so well to this approach. The chords of each
dotted half-note seem to acquire much more separate significance.
With this in mind, we might make an alternative (but not
necessarily "better") analysis of the above discussed measures. Let
us consider that Ab=G}f in bar 4 and that the Gt| of bars 4, 6, and 7
(and 17, 18, and 19) is an intermittent pedal point within the d
minor chord. Now the elaborations are shown as functional under
ii (d), concluding in each case with a C half-cadence.

Figure 77b

I------ ii I ii I ii I
V---- i V---- i
I- - ,Vs=Vs„Is=Vs, ,i=n,v||AA/^|Vg I x'-|Vs,i=n,(orV) I v||

r r G ped------ 1 r r rr rr^-rr
1------ped--------1 rr
ped-------------------------------- 1

For the sake of simplicity, the first diagram (Figure 77a)

will be used in the complete analysis.
 84

The motive heard in bars 17-20 is continued in bars 21-24

eis an elaboration of a diminished 7th chord. There is little basis
for settling on any one tonic, although d or f would seem to be
indicated by the notation. For the final analysis, f will be chosen
because the tonics involved in the last part of the variation all
stand in simple relation to that tonic.

All the subtleties of the alternating progressions at bars 9-

13 and 26-28 would be difficult to express. In the first phrase
the approach to d as a temporary tonic seems clear-, and that this d
should become major and the dominant to G is quite conventional.
The unexpected appearance of the C chord at bars 11 and 12 has
the effect of prematurely wrenching away the tonic role of d.
Because of the alien surroundings, this C chord is most
immediately heard as a sudden return to the I which might have
been expected after the clear V of bar 8. Then the C chord works
as a quite normal pivot to a full cadence on V (G), which may be
listed briefly as a new control tonic at bar 16.

Figure 77c
(G)IV

V- I
(I
-----s
 85

The second phrase including alternating progressions is

more difficult. At measure 26 the bb| eventually assumes three
important functions. One of these, II of Ab, does not become
apparent until bar 27, however. The E\>7 chord of measures 27
and 28 might have been listed only as the G6 function of g, since
there are no other chords following which bear direct
relationship to it. The earlier bb| chord does form, however, a
conventional preparation for the function of Eb as the dominant
of Ab. Thus, these two functions of the Eb7 chord can be shown in
alternation with the G6 of bb.

Figure 77d
(f) Vs iv(oris) IV nYs
(^) G6 G6 Vs
♦ ts ■ \h : '"1
11#. ,J3 g____ is Li- O'
ITW- Irr Liz Li; ^ It c
^ 1 i 'll
---- tr ------ ^ r,
'__ __ _____ k
(a=bb)' r c
|G6 V« 06 Vs
■
G6 G6
( U) n_______ _ n V V (^)Vs I
s
(Ab)
@ ® @

It may be noticed that after the first few bars in this

Beethoven variation, very few simple tonic functions (i.e.,' not
substitutes for tonics) are heard. Only the tonics at bars 15-16
and at the end are decisive. In the last 12 bars, even most of the
dominant functions are presented by substitutes. It will be found
that most of the harmonic vagueness of later tonal music is
attributable to a low percentage of simple tonic (or even
 86

dominant) functions within rapidly changing temporary tonic

areas.

Despite the complications, our analysis will show the

simplicity of the largest harmonic design in this variation. All
the alternating progressions, substitute functions, and what have
you, serve only as very special elaboration of the various
temporary tonics, which in turn contribute to the definition of
the control tonics I V I iv I.

Figure 77e. The complete variation.

. (f)
iv—
IV) I- iv; 1
[<I) V,Is=Vs,-

r r r--
.o-

--'x Z .0 --9/'""S"
70

#4 ■s------ 5*------ 9— -^9— rr~: -7-^ ■7^

—t
r. —r: —r

The square notes indicate control tonics.

 87

In this chapter many new elements have been added to the

analytical diagram. One must always be on guard against
overloading the analysis with non-essential detail. When new,
and possibly confusing indications are added to the basic diagram,
great care should be taken that the music under consideration
really warrants their use. Especially for the performer, the
potential danger of too much attention to detail in analysis is
probably greater than the danger of over-simplification.

Exercises for Chapter VI

Analyze the following works. Although a great deal of

chromaticism is involved in these excerpts, not all of them
contain alternating progressions.

1. Chopin, Mazurka #1, in f#, Op.6, #1, first 16 bars.

2. Chopin, Mazurka #6, in a, Op.7, #2, first 32 bars.

3. Chopin, Mazurka #11, in e. Op. 17, #2, first 24 bars.

4. Chopin, Mazurka #49, in f, Op.68, #4, all.

■f

6. Chopin, Prelude in e, Op.28, #4, all.

6. Chopin, Prelude in f#, Op.28, #8, all.

7. Chopin, Prelude in f, Op.28, #18, all.

 88

CHAPTER VII

MODULATION

In this book the term "modulation" has been reserved for

use in connection with the movement of basic tonics on the
highest level. The term is not meant to define the process of
moving to a new tonic; modulation will refer to the state of
having moved to a new basic tonic. (For example, we will speak
of music as having modulated, but we Will not say that music is
modulating.) The means of getting to a new tonic or the duration
of the process will not be the most important influences on the
decision as to whether or not a modulation has taken place.
Rather, it is how the new tonic, once attained, is used that is of
the greatest importance.

The new tonic must become, in relative terms, truly a basic

tonic. Thus modulation might occur in any formal scheme, just so
long as a change of the basic tonic is involved. The uses of a new
tonic that constitute modulation cover a wide variety of
situations and will often be open to question. Probably the
clearest modulations include new melodic material of considerable
length — perhaps even in a new tempo and/of meter. There is
every conceivable gradation between such cases and those where
the modulation borders on being merely an elaborated cadence or
extended tonicization.

Reference to some of Mozart's Piano Sonatas may help to

clarify these points. Very many Mozart movements are in some
kind of sonata form which usually includes very clear
modulations of basic tonics. The first movement (variations) of
the Sonata in A, K.300i(331), contains neither modulations nor
varied control tonics. The Finale (AJJa turca) has one simple
modulation and return. This section of 32 bars (repeated) in the
 89

tonic on vi (f|) presents new, contrasting material. The

movement to a temporary tonic on A about two-thirds of the way
through this section by no means represents a return to the
original key on the highest level. This bit in A is surrounded by,
and completely dependent on, fg. The modulation back to A is
effected by the return of previously heard material associated
with that key. The Menuetto, however, has more complex tonic
movements and is in what might be called (and this is true of
many menuets, scherzos, etc.) a miniature sonata form. In this
movement, at measure 11, entirely new material is presented in
the dominant key.

Example 78. Mozart, Sonata in A, K,300i(331), Menuetto

.1
 ■•h» -T''* r T
Pr T Ul£j^ f F ^
tk- La*
‘
cresc.
•'"rfT^r
P
bJ
----------

(A)

(d)
IV- -W-) I IV-
V
V .i=y-
i=n. G6* V I
vi=n. s___ I
(I|) (I|)
 91

4='
- d" ^ . _A__
_ZE
■
—zr i --------------- (®---- d---- —

The square, black notes indicate basic tonics.

The above is certainly a borderline case. It would not be

considered as a modulation except for the independence of bars 11
to 18, which form a unit with importance almost equal to that of
the first ten bars. What makes this a dubious example of
modulation is the lack of harmonic variety in the E section. There
are no new temporary tonics; in fact, there is only one chord that
does not function as I or V. An only slightly broader view would
be necessary to call the movement to E a change of control tonics
in the level of the middle ground.

After the double bar, we have a brief development section

freely based on the material of bars 6 to 10. Since there is no local
reference to A at the double bar, the following progressions are
shown as dependent on a basic tonic of e. Under this basic tonic
are control tonics of b (v) and a (iv), this latter becoming major
and then the basic tonic upon the return of the original material
(measure 31).

The status of the functions after the double bar (measure

19) naturally are somewhat different when the repeat is taken.
In fact, the three notes, E-F#-G, can easily be heard as the
 92

extension of the final A chord, so that it becomes the dominant

function of D. But then D's vi (b) may be immediately heard in
direct relation to the basic tonic, A. We must not forget, however,
that when music is repeated literally, the functions of the
opening measures, the second time through, take on a dual aspect.
At once we realize we are taking a fresh start (or continuing once
again from earlier material) and, at the same time, we are
continuing on from the final part of the section. Only briefly do
repeats influence our comprehension of the functional details.
But the influence on the background elements can be more far-
reaching. It is enough that tho diagram above shows only the
differences caused by the repeat.

The movement to the D of the Trio constitutes a modulation

of a different sort. This Trio* is actually a separate, self-contained
piece. This is usually the case in this type of work, even when a
passage of retransition to the Menuetto might be added at the end
of the Trio. Within this Mozart Trio it is best to consider that
there are no real modulations. The main reason for taking this
position is that even though the dominant (A) becomes a strong
control tonic, the passage using this key presents no important
independent material but merely repeats two cadential formulas.

Figure 79. Mozart, Sonata in A, K.300i(331), 2nd movement Trio

D:l
® ® ® ®
V-
"I- IV—S I—V-) I— V-

I—w I=IV vd)vivv(i) VI—V inv i=v I etc. I=IV

repeat of
first section

* Because of space considerations the music for some of the longer

examples under discussion will not appear in the text. Hownver,
it is essential that the scores here dealt with be at hand for
reference when the analytical diagrams are studied.
 93

@
(e)

H
I-?
VI (C)
<!

I- ..(d)
IV7--------Lii-
I --- vi; i—
I V lyKVsj I (V) I=V-
II
-=IVV I=V G6
1I
IB-

1-
\=T
1^

(d)

IV IIV V(I) VIV V- -IV (i)nv IIV I n V IIVV

n

(17)

repeat of
second section

Tonic Guide Tones

■ S---/• K 3— ~d-----
d U
■
J[
In the foregoing diagram note that A is first shown as the
control tonic at the point at which the various factors of the
music reach A as a goal. What follows is an extension; e appears as
the control tonic over its dominant chord because the "head" of
the opening material is there restated. C appears as the control
tonic immediately upon presentation of the new material in that
key.

The e control tonic at measure 17 becomes ii of D rather than

remaining as v of A, because A never is heard as anything more
 94

than the the elaborated dominant of D. The repeat becomes

important here too. After once having heard the A7 chord at
measure 16 proceed to the D chord when the first section of the
Trio is repeated, the subsequent moveitient to the B7 chord sounds
like a sudden digression to the ii (e) area. This situation is only
slightly different from that found at the first double bar in the
Menuetto. There, the independence of the material in the
dominant key, and especially the absence of a 7th chord just
before the repeat, are the factors which put this music on the
other side of the admittedly academic dividing line.

The next movement to be considered, the Rondeaii en

Polonaise from Mozart's Sonata in D, K.206b(284), contains a
simple modulation and some firmly established control tonics. In
the following analysis some sections are condensed to save space.

Figure 80a. Mozart, Sonata in D, K.206b(284),’

Rondeau en Polonaise

A: I-
©
I-------- I I—
(i>-@ iyi=n I IV IV I n V i=v I
 96

Tonic Guide Tones

The black square notes indicate basic tonics.

The white square notes indicate the control
tonics within each basic tonic area.

There is a cadence on a new tonic of E at bar 26. E is shown

here as a control tonic rather than a modulation because of the
relative brevity of its use after the cadence (six bars out of the
first thirty of the piece), and because its repetitious character
gives it the sound of an extended cadence formula. The new tonic
at bar 47 (^) is completely independent and so is shown as a
modulation, despite its brevity.

Treatment of the following music in D is open to varying

opinion. It has been listed as a new control tonic on D (VI in fg)
for two reasons: first, the music present at bar 63 has already
been heard as continuation, and then transition material (see bar
17); second, no clear reference is made back to the original basic
tonic with material that was in that key (A), or with new
material, until bar 70. The first control tonic at bar 63 is shown
as Y rather than simply VI, so that the latter one at bar 61,
may appear on the same horizontal line. This way the lower two
levels of the middle ground at bars 63-64 are the exact parallel of
 96

17-28. It is especially important that the diagram makes clear the

similarities of such parallel passages. If the movement to D is
taken as a modulation, the diagran; appears simpler, but then
perhaps some of the subtlety of this work's large harmonic
structure is missed.

Figure 80b (upper levels only)

i IV i I V-----^ I—V I

The analysis given in Figure 80a is preferred.

In both the first and last movements of Mozart's Sonata in F,

K.300k(332), we find what is commonly called a transition
section linking the two main parts of the exposition. In each case
the material of the transition follows a full close in F, is new, and
starts out clearly in d. However, d proves to be only a step on the
way to C. Such transitions should be analyzed under the basic
tonic of departure, the new basic tonic appearing only when a
clear goal is reached.

Figure 81a. Mozart, Sonata in F, K.300k(332)

first movement.

F=I-
VI-
y.- ^ri-
VI- i- vii- i
IGXS)I I Vs— ■=n, VI-- G6-
etc.
 97

Figure 81b. Third movement.

-Jr—
i?rr^
vu 1 1 >?_________
o, w
1^ H

The second pivot involving tonics might have appeared as

early as bar 40, thus bringing out the role of d as ii of C.
However, C as a control tonic should not appear before bar 41,
where a varied form of the material of bar 36 is presented (see
Figure 81b).

Figure 81c
(40)
F:I

In both movements above, the material of the transitions

was of moderate duration and had no especial thematic connection
with what followed. Notice that C in its first tonic appearance in
the first movement was minor, but when it became the basic
tonic, it then was major. In the third movement this process is
reversed. However, since the music changes to major not long
 98

after, the minor indication might show only in the middle

ground. For example:

y(C)

i----------- 4--------------

In the first movement of the Sonata in C, K.189d(279), the

first basic tonic area closes with a half-cadence. The following
new material, while not in the dominant key, does lead quickly
and without break to the dominant. Other decisive factors here
are that the last two quarter-notes (D’s) of bar 16 (which belong
to the new material) are heard as a continuation of the G chord
which closed the first section, and that the beginning of the
phrase that contains the reappearance of the G chord, now as 1
(bar 20), is elided with the end of the previous phrase.

Figure 82a. Mozart, Sonata in C, K.189d(279)

first movement.

(16) (20)
£:l I V
— vi I ii---- I-----^-------
I--------
0-0 |V=I|
V I

In the recapitulation this area should be analyzed a little

differently, because a control tonic of G is established just before
the new material appears. The C recurs as the control tonic
immediately upon presentation of the material of the second key
area (at *).
 99

Figure 82b

C: I-
*
i---- ^ V-
V----- —
IV— I
7
’ -
V u-

V T-TV V T ■ jv-j— ^i=n^ V—1—I

f r pr
A great extension of the situation just discussed is found in
Schubert's Quintet in C, Op. 163, first movement. The full
exposition clearly ends in G (followed by a single transitional 7th
chord), but the first key heard in the exposition’s second group is
The second group is preceded by an eleven-bar passage over a
G pedal note. Because of the absence of any simple V-I progression
in G in these eleven bars, G manages to maintain its role as
dominant to the basic tonic of C. It would be quite normal for the
music to continue at this point with G being heard immediately in
both the roles of control tonic and basic tonic. However, when
the second 'cello descends chromatically from G at bar 69, we may
well expect the goal to be a C chord rather than the Eb chord,
since the last heard G chord still had a dominant quality relative
to the control tonic C. (G had been tonicized, but only as the fifth
degree of C. Even the eleven-bar prolongation of G fails to give it
the status of a control tonic.)

Once ^ is reached, the total texture leaves no doubt that we

are in an entirely new realm. The next tonal movements again
raise a question regarding the location of the control tonic. C, as
the tonic VI of is touched upon at bar 71, and once more* G
sounds as a tonic at bar 79 — but still mainly as a secondary
 100

element. The whole process is repeated and then finally, at bar

100, G assumes a primary tonic role. Nevertheless, the whole
second section of the exposition may be analyzed under a single
basic tonic, because the unified character of the thematic material
gives the G goal of all the harmonic movement of the section
strong predominance. The upper levels of a condensed analysis of
this music follow.

Figure 83. Schubert, String Quintet in C, Op. 163

first movement.

C: I--------- V
I bm (bvi------------------------------- ) i yi 1-
- “i t ; 52 (c )—,_i =i <•> <G)
(B> I y,nni , I iV) I
(G)^ (Eb) (G)

1 'T^
—---------
---- ■ m:
“iff
-----
-vw--------- r'■7— ^-- —1 —1 - H____ ::3
1

The important thing in an analysis is to show indications

which parallel the actual progress of the music, not only on the
small, or point-to-point level, but also on the structurally higher
section-to-section level. In the diagram above, when ^ first
appears it is directly related to C as bill- The new thematic
material, however, gives ^ a stronger role as the bVl relation to
G. It is true that there is no way of knowing this on first
hearing. The large structure of a work is fully grasped only upon
reflection after the music, is ended. This in no way undermines
the affective quality of harmonic "surprises" during subsequent
hearings, whether they be found in the functional details or in
the movements of the tonics. On the contrary, the affect of the
 101

music can only begin to be fully appreciated when the

relationship of all the parts to the whole is sensed -- even if only
intuitively.

Continuing with the above analysis, at bar 71 C appears as

VI of There is no direct connection between the role of this
tonic C and the tonic of the movement's opening. The full cadence
on G establishes a control tonic on the dominant of C (bar 79).
After the entire progression is repeated, the control tonic on G
continues and thus becomes a factor on the same level as When
this happens, a pivotal movement puts G's tonic function on the
uppermost level of the middle ground.

Exercises for Chapter VII

Analyze the following. Some of the listed works need not be

thought of as involving true modulation.

From the Sonatas of Mozart:

1. Sonata in C, K.189d(279), second movement, to the double bar.

2. Sonata in F, K.189e(280), finale (Presto), to the double bar
3. Sonata in Eb, K.189g(282), Menuetto I, all.
4. Sonata in Eb, K.189g(282), Menuetto II, all.
6. Sonata in a, K.300d(310), first movement, to the double bar.
6. Sonata in Bb, K316c(333), finale (Allegretto), first 36 bars.
7. Sonata in D, K.576, first movement up to the double bar.

From the Mazurkas of Chopin:

8. Mazurka No. 11 in e, 0p.l7,#2, all.

9. Mazurka No. 14 in g, Op.24,#l, all.
10. Mazurka No.22 in gjf, 0p.33,#l, all.
11. Mazurka No.27 in e, 0p.41,#2, all.
12. Mazurka No.34 in C, Op.66,#2, all.
 102

CHAPTER VIII

SUMMARY OF PROCEDURES

The analytical procedures exhibited in the earlier chapters

should prove sufficient for dealing with the harmonic
implications of any truly tonal music. There is no reason why the
details of diagramming should riot be changed to fit any particular
situation. What is of the Utmost importance is that the diagram
symbolically represents the listener's view of the significant
harmonic events of a piece of music. The diagram h^s two
essential facets which cannot exist without one another;
horizontally it shows, in intervallic terms, the movement of each
harmonic function to the next, and vertically it shows the tonal
basis for the relationsriip of these functions. The underlyirig
factors of tonal harmony are so stereotyped that musical intuition
(based, of course, on perceptive experience) and knowledge of the
technology of harmony are all that are necessary as prerequisites
for the harmonic analysis of tonal music.

To catalogue the functions of all possible two-chord

progressions would constitute a needless waste of space. A few
general rules will give the musician ample means for adequately
grasping the various functifanal relationships in tonal music.

First, the distinction between chord and non-chord tones

must be made. The bases for this distinctibn can usually be found
in the muiSie itself. Care should be taken to avoid the opposite
pitfalls of "discovering" too few or too many chordal changes. If
there is doubt about the precise definitiori of a chord, the possible
alternatives should appear in the analysis, even if some verbal
explanation is necessary. (However, footnotes, etc. should kept at
a minimum, since the main point of such a graphic analysis is that
it can express the functions of a harmonic progressiori much more
clearly than can words.)
 103

Second, after each chord is clearly defined, it must he

ascertained whether it is working as its specific relation to the
key which contains it would indicate, or whether the context
causes it to serve as a substitute for another function in that or
another key. When dealing with interpretation of context, the
only reliable aid for making decisions is a large backlog of
listening experience in music of the style under consideration.

Third, every chromatic alteration of the particular scale in

use at any given time must be understood as functional or non
functional. If an altered note is non-chordal, does the context
allow that this note be heard as part of a scale with a new tonic
(functional chromaticism), or is it apparent that the alteration
does not influence the scale but merely decorates a single note
(non-functional chromaticism)? Do not forget that the flattings
(of either chord or non-chord notes) which produce minor scales
are non-functional unless they are used as the 1st, 4th, or 5th of a
new tonic. When any chord tone is sharped, does this constitute a
"correction" of an alteration of the minor mode, or does the
chromaticism effect the 1st, 4th, or 6th of the tonic? If the
former is the case, does the context cause the resulting chord to
be heard as some function of a new tonic?

One must always be on the lookout for the conventional

alterations that form the augmented sixth chords. In these special
cases, the raised 4th of the scale is admissible without the
introduction of a new tonic. The augmented sixth often appears
enharmonically as a minor 7th, so frequently a composer’s
notation is not to be trusted. Most difficult to deal with in this
realm are alternating progressions. If the chromaticism involved
in a passage cannot be resolved into a single key for more than
one chord at a time, then it is likely that some goal is being
approached from more than one harmonic direction.

Fourth, as new tonics are established, it is necessary to

decide what relationship the various temporary tonics bear to
 104

each other. As we get further a Way from the foreground of tonal

experience (those specific functions appearing on the bottom line
of the analytical diagram)-, the more important becomes the larger
context of the music ih giving us clues for satisfactory decisions.
In a lafge section of hiusic, if the various tonic triads involved
(middle ground) all include only notes of the section's original,
unaltered scale, be it major or minor, most often the tonics will be
heard in direct relation with one another. If, however, the new
tonic triads include notes which are altered (b or #) from the
original scale, then the possibility of the tonics being only
secondarily related becomes much greater. If the root of any new
tonic triad represents an alteration of the 1st, 4th, or 6th of the
original scale (excepting enharmonic change), then the
relationship of the tonics is surely indirect. When the situation
becomes complex, confusion may be avoided by setting up Tonic
Guide Tones for the passage in question (see pages 46 and 67).

Fifth, once the relationships of the various temporary tonics

are established, then it hiust be decided which among them emerge
as control tonics or even become now basic tonics on a par with
the original tonic (modulation). For a great many pieces there
will be no need to show control tonics, since they will coincide at
all times with the basic tonics which appear on the highest level.
When they add to the clarity of an analysis, new control tonics
will usually appear at the beginnings of phrases (because specific
material is presented in a new tonic) or at the endings of phrases
(because some kind of strong cadence defines a harmonic goal). If
used properly, the concept of control tonics should give the
musician the means to outline clearly large harmonic movement
(goals and points of departure) within larger basic tonic areas.

Sixth, the largest possible harmonic movements,

modulations, usually depend strongly on melodic and rhythmic
factors for their definition. However, the most important
harmonic factor involved in modulation is that the original basic
tonic no longer is a direct influence on the middle ground
 106

movdments of control tonics or simple temporary tonics. If the

original tonic no longer appears in any important way as a
temporary tonic and the musical material is not that associated
with the original tonic, then modulation most likely has occurred.
It often happens that the musical material associated with the
original tonic will be used again after modulation (see especially
the sonata form movements of Haydn). When this happens, the
harmonic factors usually are so clear as to leave no doubt about
the modulation.

The analytical procedures just summarized should not

necessarily be applied in the order given above, which leads one
from the details of a piece to the whole. Most musicians can
readily deal with the first three of these general procedures on an
intuitive level. Actually, it is probably best to use an approach
which begins with the largest relationships in a piece and works
by steps to the details — and then to retrace these steps, to make
sure that the analysis of the details really does support the
interpretation of the larger movements. This way, harmonic
goals on each level are dealt with first and then the means of
achieving these goals are defined. As the means are defined, the
goals and their relations to one another take on added
significance. The writing out of an analysis is probably best done
in a somewhat haphazard manner. The elements which seem most
certain should go down first, regardless of their chronological
order in the music — but even these first decisions must be left
open to constant revision. As the details expand the diagram, the
earlier perceptions will either be enhanced or weakened. Never
be afraid to show alternative interpretations. It is only by
maintaining an open mind (even when the situation is only
mildly problematical) that the vital force of the music in the mind
of the individual may be sustained.

In the following chapters, two relatively large pieces will

be analyzed — the slow movement of Mozart's Piano Sonata in F,
 106

K.633, and (inevitably) the Prelude to Tristan und Isolde of

Wagner. It is hoped that by this means the broad and perhaps
unsystematic use of these ahalytical procedures will be made
clear.
 107

CHAPTER IX

THE COMPLETE MUSICAL MOVEMENT: MOZART

Sonata form is readily apparent in the Andante of Mozart's

Sonata in F, K.633.* The exposition occupies the first forty-six
measures, the development the next twenty-six, and the
recapitulation the last fifty. The recapitulation is actually
shortened by four bars (compare bars 8-13 with 83-84) and then
concludes with an eight-bar coda. The beginnings and endings of
these three largest sections are quite clear tonally. At first we
will speak of the various tonalities by their letter names, their
functional relationships coming later. The exposition opens in ^
and closes in F. The development section starts with an incomplete
chord which serves as a pivot from F to d and finally arrives at
the dominant of The recapitulation starts and finishes in
This very "normal" tonal framework may be outlined as follows:

Figure 84

I I I V I I

This is only the beginning; the indications for the largest

framework will be a little different when we are done. The
structure of the exposition is easily heard. Tonally, there is one
large division at measure 23; that is, we find a new beginning in a
new key at 23. (There was a new beginning at bar 11, but this

* Mozart apparently never wrote a third movement to this sonata.

In order to make it a complete work, it has often been published
with the separate Rondo in F, K.494. For this reason it does not
appear in some "complete" editions of Mozart Piano Sonatas. The
music is given on the following page.
108
110
Ill
112
 113

stayed in the original tonic.) Melodically, the main opening

motive is heard all the way into the phrase which ends at bar 33.
At the same point begins the "closing" material — the first
completely new, extensive melodic material since the beginning
of the Andante. Thus a diagram which shows these two facets
would appear:

Figure 86a
A B
® ® ®

Tonal II Bi? F F
IT '

I I I I
Melodic a a a’ b

It is generally felt that the tonal divisions, especially in

Classic music, are decisive. The melodic element will often be
touched upon, since it frequently will help to determine the
significance of some harmonic factors, even though the general
melodic organization may sometimes be at variance with the tonal
scheme.

Notice that the "A" section of the exposition does not end in
Bb, thus:

Figure 86b
B

Tonal _________\______

I I I
Melodic a’ b
 114

However, in the recapitulation the changes give:

Figure 86c
A B
(§)
Tonal Bt>
I V I I I I
Melodic a a a’ b coda

This movement's development section, as often is the case,

seems to be made up of a series of sequences. This prime
organizational feature will give us a key to the rather complex
harmonic relationships to be found here.* The first eight measures
form a group which may be divided in half, each half having two
2-bar units. The movement here is:

Figure 87a

d---- -------- > g

4 bars 4 bars

Following this is a 4-bar group (2+2) with an added bar (or

it could be called two 3-bar groups, elided in the middle).

Figure 87b

Of course, ^ definitely
sounds like the dominant
K------- ^
of d in such surroundings.
2 bars 2 bars

* It is almost inevitable that when harmonic relationships become

complex, the primary basis of organization tends to shift from
tonal functions to motivic usages.
 116

The next section (bars 60-72) presents a masterful

combination of the melodic material first heard in bars 6-7 and
the harmonic progression of bars 19-21. The complications of this
section are increased by the fact that the melodic and tonal
groupings do not coincide.

Figure 87c

Already we have been forced to consider the development

sedtion in much greater detail than the rest of the movement.
There are many complex relationships in the exposition, but the
overall harmonic direction is much more clear there than it is in
the development. The idea is to study the music in as large units
as are practical at each step. Now the tonal areas of the whole
piece appear roughly as follows:

Figure 88a

—Dev- A B+coda
(T) @ (is) @ @ @ @

||’5^——III'——- - - j—: |
V I l__V|i V I V I

It should be clear by this point that modulations have been

achieved at bars 23 and 73. There is insufficient stability in the
development section to consider the presence of any new basic
tonic. A sketch of the largest functional relationships then
shows:
 116

Figure 88b
B +coda

Bb: ; I----> V

Now, to.continue to follow our procedures in reverse order,

we will study the music for control tonics. In the exposition and
recapitulation there seems no reason to show control tonics, since
the basic tonics always serve th^t purpose. In the development
section, F may be the point of departure but it certainly is not a
consistent basis for the harmonic movements. By referring to
Figures 87a and 87b, we see that d seems to "bracket" this
section's first thirteen bars. Then in the last part of the
development (Figure 87c) g seems most prevalent. Thus we
might reduce all the other tonalities of the development to
functions within these two control tonics.

Figure 89a. Main Tonic Guide Tones in development section

(some details omitted).

The substitute for d: I (an F octave) is heard

as the pickup to bar 60. A new control tonic
appears immediately because of the abrupt
use of new material.
 117

All that is left in this regard is to point out that d grows out
of the basic tonic F of the exposition and then g grows out of the
cbntrol tonic d.

Figure 89b

5I
< >

• (d)
VI I
1
i
V I

The temporary tonics found in the first eighteen bars of the

movement appear in a straightforward manner. Measure 19
works as the dominant of the F chord which precedes it and also
as subdominant to the g chord of measure 21, which in turn is 11
of the coming tonic F. (The simplest pivots will be omitted.)

Figure 90

©@@ @®@® r—®

Bt: I
I V I---- V I V I-----V
I ii I

In the F section of the exposition things are a little more

complex. The chromaticism of the first four bars (23-26) is all
non-functional as far as F is concerned. Likewise, measures 31-33
are clear.

Figure 91a
®-@ ®~®
(F)
B!^:V
I I
 118

Measures 27 and 28 contain a diminished chord which could

be a substitute for any of a number of dominants; so final decision
on the temporary tonic at that point must wait until the
surrounding details are studied. However, the most immediate
impression is that this chord is a dominant substitute for either g
(ii) or ^ (IV). The next chord, eb|, does little to clarify the
situation, especially since it in turn is followed by a new
diminished chord. Considering the bass line, it might be said that
this ^ is a "passing chord".

Example 91

Even though the linear element is so strong, it seems to be

avoiding the issue to pass over such a dramatic turn so lightly.
Looking ahead a little, it may be noticed that the last diminished
chord (measure 30), while being a dominant function to the
preceding eb, proves to be working as substitute for the dominant
to C, leading eventually to a C7th chord (tonic substitute) in bar
32. Now we have:

Figure 9 lb

Returning to the eb| chord, its simplest designation is that

of a dominant substitute in eb. This key is rather remote from F
but not quite so "far" from g or (which are possible tonics for
measure 28). If the first of these, g, is chosen, then we have:
 119

Figure 91c
f)
—y------
J\
/W-^ ■ ••
............. [.'!!___________________
75..........
#
■inT—c #
________cJ

@Hg)@Mg)@ @ @@@

It is perhaps more convincing if is taken as the tonic

realm of the diminished chord of bars 27-28. Then the eb| chord
has a broader role. In the largest sense, it might be considered as
an appoggiatura (IV ^ with delayed resolution) to the Bb chord of
bar 31. However, this eb chord still stands in the relation of I^ to
VII^ with the following chord. With these things in mind, it
would be well here to fill out the bottom level of detailed
functions in our analysis of this section.

Figure 92
(F)I V 1 IV V I
1

1
1

\
___

___kc
-------s ---------1
.... ^ T-n
:c ■------K---- ke ------ ^
[----------G
------o
(Bb)Vs Is V
(C)Vs IV Is
 120

There are just a few more temporary tonics in the

exposition — at bar 39, Ab (bill), at bar 44, d (vi), and C (V).

We already have the main temporary tonics and the control

tonics in the development section. Now the details of the middle
ground will be added to the material presented in Figures 89a and
89b. The incomplete chord at bar 47 acts as a pivot between F and
d.

Figure 93a. First half of development section.

Bb: V

Notice in particular, at bars 66-67 and 67-69, the repetition

of i - iv - V as a progression of tonics.

The last part of this development section is of such

complexity that the details of the middle ground cannot well be
isolated from the somewhat ambiguous foreground. As stated
earlier, this passage is based on the harmonic progression found in
bars 19-21 of the exposition. In that earlier presentation there is
no problem of analysis when it is noted that El] is a conventional
raised sixth degree of the ascending g scale.

Figure 93b

(F)
Bb: V
T
1 ••
11 T
i

I V7 i=n
V
1 1
 121

The harmony of bars 60-62 is quite similar, but now

moving from d and employing three-note substitutes for the
seventh chords.

Figure 93c
(d)V Is n
— H ■’j
^ —
(£) IVs Vs I
(F) ® @
Bt>: V—--------- ^
vi^d)
IV
i—
V Is n=iVs Vs I
1?j
Taking only the primary chords of the next bars, we find
the same progression, now in c:

Figure 93d
(c)IV7_V7l
f\ 1 1 g

ZE.__ \in
Jn________ . S jr.

(F)
Bb: V

Next, the progression is expanded to three seventh chords in

a row. Following the previous analyses, we can only assume that
this represents an overlapping of an implied tonicization of f and a
real one of g.
 122

(1)1^ V7
Figure 93e

@ (g)IV7 V7 I

r7(d)

7^(c)
^ (f) v<g>
IV
IV7 V7=IV7 V7 I
lJ____ij
There is no doubt that the material thus far presented on
this passage gives a fair picture of the essential movement of the
harmony and would make a relatively uncluttered analysis.
Unfortunately, this degree of simplicity is achieved only by
omitting mention of the subtle changes which occur at the ends of
many of the measures. When these are taken into account, we
find several pivot chords and justification for showing some more
brief tonicizations.

First, in bars 63 and 64, it might be said that the root of

each beginning harmony is tonicized by the previous eighth note.
Below the analysis the earlier simple view is presented.

Figure 93f (g)

r c_r r Lj* r-
(c QCTv t -------------- V?—^
 123

Because of the slight changes in the presentation of the

motive in bars 66-69, we now find somewhat different harmonic
details. The harmony of bar 66 is first heard as c: I, the disjunctly
approached Ab at the end changing the function to Viz.
Continuing on this basis, bar 66 will give c: II acting at same time
as f: 1:1 VI, which then becomes f: IVz at the end of the bar. (Note
that a Bb7 chord rarely can be truly functional in c.) Bar 67 then
has f: bVII to Vz, which works equally well as g: tjVI to IVz. This
leads to g: #VIIz to Vz in 68 and then I at the beginning of bar 69.

(f)vi IV7 vn V7

(g)vi 1V7 vn V7
However, it hardly seems necessary to show these changes
of t|VI to IVz, etc. in bars 66-68, the root of each seventh chord
being delayed until the last eighth note. But if the same reasoning
is applied to the slightly different structures of bars 66 and 69,
what is first h^ard clearly as a minor I chord then is "completed"
as IVz of a major key. Thus a momentary tonic of ^ is implied,
overlapping with the c of bar 66 and the f of bars 66-67.

Figure 93h
if) IV7 V7 (Bb)IV7 V7
(c) VI,
m

(Eb)
~ , i^ , ™ I VI7
IV7 I I

(F)
I I
Bb: V
•(d)
VI
iv ig'>
— (c) (Bb)
IV —
(Eb) ;|=‘- m
m IV
(f)
SsL
I Vl7=IV7 Y^=W^ V7=IV7 V7 I Vl7=IV7 V7
I__J l J______ j i_!___ j I___ J
ru
r- r r-
 124

The difficulty in analyzing this last half of the development

section stems mainly from the ambiguity of function in the long
string of ascending seventh chords. Even though a satisfactory
analysis of the tonal bases can be worked out here, it is obvious
that our comprehension of such passages depends greatly on the
much less problematical element of motivic continuity. It will be
seen later how the functional ambiguity of late 19th-century
music led to a situation wherein the motivic or, more broadly
speaking, contextual element took over the primary
organizational role from tonal harmony.

The recapitulation of this Mozart movement offers no hew

complications. The few new tonics can easily be identified.

It will be noticed that most of the work on the role of the

piece's more complex chromaticism has been assumed during the
preceding discussion. This can hardly be otherwise, even when
approaching a work from the largest view first. The more
complicated the details are, the more difficult it usually becomes
to form an immediate view of the larger tonal movements. The
same will often prove true concerning the other of the first three
analytical procedures outlined in Chapter VIII. What questions
that may be left in this area will probably be covered in the
discussion which follows the complete analysis of the movement.

Figure 94. Mozart, Sonata in F, K.533,

second movement (Andante).

l(Vs)l=IV V i=v(iv) V I n Vs I n viv i=v

vi=n V II
-See bars(T)-(^-

r r r r p-l t rrr
 126

-------------------------- -T- LTTT

^ (Ab)
VIU, 1 1-------1------------
„,(Db) .[=
1 IV-'— VI)
I(v) (v) I (v) I (v> -I (Vs)- — I=VI V- ^i=v w=bn^ V I n V
11
r r-r r r-r'l^r-r
V-
I- vi— V- • (d)
VI-
(Bb)
i- VI iv-^
I- VI
uv i=n V. ,Is=Vs, V
(ij)
I HI V
1
I = Is V I V I=Is
1___ ^
 126

IVIVI- V-
i
5-15-

(c) (Bb)
i m
m-(EL)i^(f) ^(sl
^

Is Vs u=y 1 VI=IV V=IV V=IV I VI=IV I=IV Is=V-

II II
(see 0-(l^)
c:(jv------V—O

; ^S'> IV- ii I-
u- -VI
i VI- I— vi
V=IV
i=n
II / see In i=niVs® I
in Vs Vs II Vs=Vs i=n V IV IV
23W4? (Coda)
V

Tonic Guide Tones

\h
0
etc. 1•
V 1 1/ ^
. u
fm
vV ^ * ------- a

«j —C fJ '
n\>d 7^
t ::
■

etc. 0
../on @
Xy i .b#
b• ^ 1
'—\r ■ _itra_a_i# i'

L
7^
m
—r- T
(Coda)

Space does not permit discussion of all the problematical

details, but a few things should be pointed out. Many more chords
of weak structural nature might be enclosed by parentheses (see
bar 1), but to do this aspect full justice a complete rhythmical
 127

analysis would be necessary. The linear element, especially in the

bass, is another factor which has been largely neglected but
which certainly contributes to the relative value of the function
of the chords. (Note the bass ascent from bar 3; F-G-A-Bb-C-D-
Eb“F, etc.)

At bars 24 and 26 there is no question of a ^ chord, since the

bass is melodic. At bar 29 its melodic role is much weaker. From
bar 33 to bar 38 we have a prolonged F cadence with
"contrapuntal" decorating functions. The functions listed on the
third beats of bars 37 and 38 are formed by the implications of the
lines. Notice especially the details of the line in bar 37; it is
almost the same in beirs 60 and 62. In these latter cases, however,
some ambiguity results, since it is a little difficult to specify all
the chord tones. The thrice repeated cambiata figure first gives
the impression of defining chord tones at intervals of the fourth.
However, the primary note of the last cambiata in each case is
itself an emphasized appoggiatura to the next to last note of the
bar. Thus these two measures present the F7 chord unless they
are viewed as inverted positions of the dominant ninth chord.

Naturally, if the repeat of the second section is considered,

there would be a small change on the highest line of the middle
ground. The d control tonic at bar 47 might read iii (of the basic
tonic Bb) the second time through. Everything below that line
would remain the same.

Many more harmonic relationships lie in the piece than are

expressed in our large dieigram, but this process of creating an
analysis may be adapted to whatever scale of detail might be
desired. It is hoped that this process will instill the individual
with a heightened awareness of the music, thereby clearing the
way for the comprehension of the work's full intellectual and
emotional potential.
 128

Exercises for Chapter IX

Analyze the following movements from the Sonatas of Mozart

1. Sonata in Bb, K.189f(281), last movement (Rondo).

2. Sonata in a, K.300d(310), first movement.

3. Sonata in F, K.300k(332), last movement.

4. Sonata in c, K.467, second movement.

5. Sonata in D, K.676, first movement.

/
 129

CHAPTER X

THE COMPLETE MUSICAL MOVEMENT: WAGNER

It is undoubtedly Wagner's intention to leave many things

in the harmony of the Prelude to Tristan und Isolde ambiguous
and unresolved. In this case ambiguity is a positive value which
is used in a specific manner to convey the particular attitudes of
the opera — attitudes of mystery and unfulfilled desire. (These
same attitudes permeate much 19th-century art.) On every level
things are relatively difficult to pin down. Which are chord
notes and which are non-chord notes? When is the ever-present
chromaticism functional and when non-functional? What tonic is
really being defined at any given time? Etc., etc.

The first three unaccompanied notes give us no immediate

clue to any function. In the second measure the situation is still
doubtful. There, the famous "Tristan" chord appears. Our first
hope of understanding the tonal roles of the sounds thus far heard
pomes in measure 3 with the easily recognized, dominant
functioning, E7 chord. As we scan the score ahead, we find very
few simple triads in rhythmically strong positions and virtually
Tio direct dominant-tonic relationships. Thus the various
temporary tonics tend to be somewhat obscured. Although the
overall key of a-A generally seems to persist, there are rather few
A chords and the Prelude finally establishes the dominant of c at
the end. (Of course, the Prelude is, in the largest sense, only a
part of a vast and continuous work.) So with this music, it is best
to assume very little beyond the fact that, in consideration of its
historical position, it is ultimately based on the conventions of
functional tonality. (Thus all the "structural" vertical
occurrences must be based on superimposed thirds, etc.)

To approach this work leading from the largest to the small

 130

units may give a little more difficulty than was found with the
Mozart Sonata, since there seems here to be such a great emphasis
on detail. And, to be sure, many of the large units may be hard to
relate to without first grasping the details which form them. In
fact, the same problem was faced in Mozart's development section,
where the harmonic details became so involved that the
particular tonality of the background tended to lose its
importance. However, from the widest view, a few things in the
Prelude can easily be noted: the A-B-A, or arch form — especially
the return to the opening material during and following the
climax at bars 82-84, etc., and the dominant pedal notes, E at bars
63-70 and G at 100-111.

Figure 95
A , B 1 A

1 I V------- ‘
--------
V-------

Referring back to details, we have noticed the first clear

function in the piece (in measure 3) to be the dominant of a; and
then looking (and of course, always listening) a little beyond, we
see the dominant of Ç in measure 7. At this point it should begin
to be clear that, in this piece, the various tonics of the upper two
levels of our analysis probably will be defined almost entirely by
functions other than tonic on the lowest level.
/

For the definition of 1;he middle ground tonics, it is always

well to look for clues in the phrase structure, as it is outlined by
rhythmic and melodic occurrences and their orchestration, in
addition to considering the harmonic end points. The "A" section
of the form, the first 17 bars, is a sort of introduction made up of
a freely sequential series of utterances leading to a strong
deceptive cadence in a. These first short phrases will be dealt
with later. The first division in the "B" section is marked by the
melodic chromatic scale, rhythmic agitation, and an authentic
 131

feminine cadenee on A at measure 24. At measure 36 the division

is defined by the cadence on d and the following abrupt change of
orchestration, etc. Again a phrase ends with a deceptive cadence,
this time in c| at bar 44. The next, somewhat longer, section
elides with the E pedal at bar 63. Thus far we have:

Figure 96a
A I __ B

Starting at 63 we have new material which is combined

with a varied form of the introduction material, leading again to
an a deceptive cadence at bar 74. The phrases are elided once more
and the new one extends to the brief recurrence of the dominant
pedal at 84. The next phrase really begins back at bar 80, but it
does not emerge as independent until bar 84, where the original
character of the "A" section (or introduction) is apparent. This
material is at first somewhat compressed and leads to the familiar
a deceptive cadence at measure 94. The next short phrase, using
material from the "B" section, arrives on the dominant G of the
timpani in bar 100. The rest of the music is an extension of that
arrival. More detail, or less, might have been considered for this
step of the analysis, but the overall result would be just about the
same. For the whole Prelude we have at this point:

Figure 96b

B A

@ @ @ (g
\v/ VI
 132

The previous diagram indicates the tonics of arrival. These

will not necessarily be related directly to one another in the final
analysis. Obviously, the large form of this piece does not depend
strongly on the contrast of basic tonalities. The preponderance of
a-A, at least as the controlling tonality of the main goals, is clear.
However, the harmony wanders rather far afield between the
various end points, so it would be premature to consider that
these points are directly related. Let us now concern ourselves
with the harmonic details and the tonic definitions on the
smallest scale.

The opening eleven bars consist of a free sequence in three

parts, each ending with a 7th chord — E7, G7, B7. There is no
reason to suspect anything other than dominant function for any
of these chords, so we may express them as 0, Q, E, thus defining
as tonics the parts of the a minor triad. This, and the deceptive
cadence at 17, establishes a, perhaps indirectly, but nonetheless
firmly.

Figure 97

@ @ ® ®@
a: i------------ --------
i——m-------V-------- i--------
—.V-------- VI

In dealing with the other harmonies in the section, we must

give primary consideration to the melodic device of the
appoggiatura. The most obvious appoggiaturas occur on each of
the abovejmentioned 7th chords. The roles of all the other notes
tend to become clear when we realize that most of the melodic
chord tones are preceded by appoggiaturas, some of which last
many times longer than the note of resolution. At the beginning,
every other note in the main melodic parts is an appoggiatura.
The opening bars might be condensed thus:
 133

Example 98

*In a broader sense,

this entire chord is
an appoggiatura.
(See page 49).

Figure 98
a: i
i
1 F6* V
A similar process occurs in measures 4-7, but here the
second note (G#) should read Ab in order that it be an appoggiatura
to Gli. However, the G# and the preceding B are heard as an
incomplete continuation of the E7 chord. Looking backward, the
Git is a chord note; looking forward, it is a non-chord note.
Carrying this point of view even further, it will be noted that if
the Ab of bar 6 is considered as Gjt, then the first sound of that bar
may be heard as the incomplete extension to the 9th of the E7th
chord. Thus the highest note, B, also has a double role as both a
chord and non-chord note. One possible way of showing this sort
of thing follows:
Figure 99 @ @ © @ ®
a: i
-n
Ì m —

Ì^ F6 V
Vs)------i

The third phrase of the introduction works a little

differently, since its goal (the B7 chord) is a major third higher
than the preceding goal. (The first two goals, E7 and G7, were
separated by a minor third.) The second note of the phrase, B, is
now a simple chord note which is followed by two chromatic
passing notes. The shift to the next tonic is delayed until the end
of bar 10. The sound at the beginning of bar 10 is quite acceptable
t>6 ,
as C: Il4 (Gÿ=Ab). In terms of what follows, however, both the D
 V

134

and Dii are non-chord tones leading upward to E, and the F is a

long appoggiatura going downward to E. The resultant chord
notes then are C-E-Gji-E, or tiVljis of the E tonic. Such action
becomes commonplace in this piece. When the passage of bars 10-
11 is echoed, it is analyzed only in its latter role.
figure 100 (f) ® ® @
a: i- - - - - - - - - - -
TTT \T _ •
1

V-|—1 j VI 1 V1 VI
V- VI

The next section, now with a continuous melodic line,

offers new problems. Now all the tonicizatiohs come more
rapidly. The progress of the music from 17 to 19 seems to be
toward G as the dominant of C, and then on to d as vi of F at 21.
Then the dominant of d ascends to the dominant of e at 23, which
in turn becomes major and the dominant of A.

Figure 101
(a)VI (A)v I

«
1/ • . •
X * -D f#
TfT\ ^ . 4
? --------------

■
 136

Notice the pattem of the uppermost line of temporary tonics

in the analysis up until bar 24.

Figure 102

I i in Vi i I in iv V I

In the next phrase, E persists until 31, where the dominant

of D is heard. Bars 32-36 are highly chromatic in the
accompanying parts, but the melodic line is the same as that found
at 17-21. The key points of the harmony show this passage to be
only a slightly varied form of the earlier material.

Figure 103

I— IV
VI
, (d)
-------- V I

On the lowest level, d regains its role as VI of F, since the

next* progression is most simply F: F6-V (bars 36-38). This echo
like passage is repeated a step higher (g: F6-V). Then a variant of
it tonicizes the next step, a, by juxtaposing the F6 of a with the
dominant of E (40-42). A diminished substitute for the dominant
of E takes on a new root in bar 43 and thus bècomes the dominant
of c|. But the phrase ends, as we have come to expect, deceptively
on VI of c| — which, of course, is an A major chord.
 136

Figure 104
(A)F6______ I
(_F)VI F6 V f" (E)
V
a
1 q ib> L,qTt ■yj
_G/r ----
Ai ^_ cJ ... .Hy
1^ cJ
1
O VO ^ ST n ~o Í -s
g)F6 \ Î

(çÿ)Vs V VI
@ ® ® ® @
a: i--------------------

This is a remarkable passage in that it does not contain a

single tonic or tonic substitute function on the bottom level until
the very end, and yet the relationships of the middle level tonici^
are finally clear. Its unusual effectiveness is greatly enhanced by
the fact that when the A major chord, which was set up as the
expected ultimate goal by the sequential nature of the passage,
finally appears, it must be -- from the narrowest point of view —
part of a deceptive cadencé. That this A chord seems to have a
tonic function, despite the downward-moving Dÿ appoggiatura, is
further made clear by the following recurrence of the material of
bars 25-30 — material which there had likewise followed an A: I
function.

This next section, measures 45 to 62, being an expansion of

an earlier phrase, has some new temporary tonics added to the
 137

already familiar ones. Once again E is the tonic for six bars, up to
measure 50. The movement toward D in bar 61 leads on to free
sequences, (62-56), which arrive on a B7 — E7 — C}t7 — D
progression in 57-68. These last might be expressed:

E A----------
I vi----
V V V VI

In order to indicate the manifold tonic relationships of the

preceding sequencing passage, the various details must be
considered. All the chromaticism of the main melodic line in bars
62-64 is non-functional if the line is considered as in A.
However, from 66 to 68 the line begins with elements of the E
scale and then returns to the A scale: (A —• E —->A). But the first
three bars of the main line, bars 61-53, also may be considered in
the D scale. Thus, (D —> E —->A). When we decide which of the
chromatic elements of the other voices are functional and which
are non-functional, this last view will be reinforced.

Example 106

dE
É T

r
 138

Example 106b. Harmonic reduction.

Figure 106a

a: i---------- 1--------------- I I

This portrays the basic progression which will be used in

the final analysis, but the effect of the chromatic inner voice
should not / be entirely ignored. If the notes Dit, E}f, and G
(enharmonic F double-sharp) of 63-66 are taken as functional
leading tones, the analysis shows the same general picture but
with more tonicizations.
 ^4

139

-----j-jr—p-J

«J P’ r
°
r1 tfP 1 if?__^ '' 1

The next music is a variant of the material originally

presented in bars 17-20 and 32-36. There seems little that is
problematical about the chromaticism of this passage. Notice that
the tonics on the highest level of the middle ground outline an a
minor chord, V - tilll - I.

figure 106

a: 1-

Tonic Guide Tones

 140

The following E pedal point maintains a powerful dominant

function (bars 63-70). The harmonies which support the
ascending scale of high points in the main line will appear in
parentheses in the final analysis. Note in the orchestration that
the oboes and English horn are reserved a few bars for the first
reappearance of the "desire" motive (at 66-67) since the opening
of the work. The large sense of the progression in the bars of 63-
74 is the same as at the beginning:

ACE A-----
V V V V VI

This passage can be considered as a kind of preipature

récapitulation; premature, because even though the opening
motive and progression are present, the extreme turbulence of the
string parts creates a texture far different from that found in the
opening and again at bar 84.

Though the C in bar 70, just before the double bar, might be
considered a chromatic passing tone, it is, by analogy with the
opening of the piece, an integral part of an F6 (French sixth)
function in C. Thus the preceding B may be considered either a
part of a Vs of A or an appoggiatura to the note C. Notice in the
following analysis of bars 70-74 how this ambiguity is indicated.
(See also Figures 99 and 100.)
 141

Figure 107
(Ç) F6VIVs

Beginning in bar 74 we have again another variant of the

material of 17-26. C is the most important tonic until the middle
of bar 76. The music in bars 76-84 goes out on a harmonic "limb"
from which it escapes in a most remarkable manner. The C roll in
the timpani at 76 perhaps weakens the functional possibilities of
the woodwind's Cÿ. However, d will be listed as tonic at that
point, since most of the other parts are also pulling away from the
C tonic. The chord of the first half of bar 77 is assumed to be C-
Eb-G-Bb, the A of the main line being a lower neighbor note. The
same point of view gives us C-Eb-Gb-Bb on the first quarter-note
of bar 79. However, at 80 the Eb moves to a held D in the horn
part, so at this point the Eb is best considered an appoggiatura.
The orchestration should always be checked for such details. The
following example gives the bass and chord outline of bars 76-84.

/
Example 108
 143

In Example 108, even though the movement toward the

tonicization of Bb in bars 77 and 78 is quite strong, the following
function of Bb as the dominant of eb is much more extensive.
Hence the immediate shift to eb as a higher tonic at 78. It is by-
means of the large percentage of substitute functions in bars 76 to
78 that Wagner is able to move so smoothly from C to eb. The
master stroke comes in bars 83 and 84, where Wagner changes the
Ab of the II chord of eb into a Gjt appoggiatura which moves to the
chord note A of the F6 of a.* At this point the only link between
eb and a (minor tonics a tritone apart!) is through the tonicization
of the dominant of a, which is achieved by means of the
alternative interpretation of the F6 chord as an altered dominant
of E (E=Fb, bll of eb). An F6 chord may always be considered in
this light (see page 61), but it is rare when the whole sense of a
progression depends on such a double, or, considering the
enharmonic Ab=G^i, triple meaning. There are many similar
situations throughout the opera. The power of the "Tristan
chord" lies not in any particular static vertical quality but in the
multitude of tonics which it may involve, depending on the roles
of its various notes as chord or non-chord tones. (Note bars 89
and 101.)

After a few bars which parallel the Prelude's opening,

niaterial taken from 36-40 is interjected before the reappearance
of the familiar a deceptive cadence at 94.

Figure 109
® @ @ @
a: 1
.(d) ' Ì •
i------ -------
„(F) . (ff) (a)
1 in 1V-®— V >=
i V— i—)
,Vs=llVI, F6 V ^ F6 V ^F6 V—t ;=IV VI
|tl 1

* Recall the less striking but similar situation at bar 70 and

likewise earlier in the piece, measures 6 and 10. See pages 140 and
133-134.
 0

144

It is seen above that measure 89 offers another "escape"

from the "Tristan chord". There are no non-chord tones in this
usage and the F6 function comes on a new bass note.

In bar 94 begins a last and fragmented form of the material

of 17-24. The C quality is maintained, even through a return of
the Prelude's opening three bars with only two notes changed.

Figure 110

(105) (111]
a: i— |c:i-

i in . (f) (g) .(c)

(C) IV----------------- V — 1----------

i V i

,VI=IV, :n ;Vs<(F6)Vs In ,(Vs )=G6,

n F6

At 101 we have seen new contrapuntal roles for the

members of the "Tristan chord". Here the D# became Eb, a long
chromatic passing note to D. Wagner has written G}f, but Ab
would have been more consistent with the present function as a
diminished substitute for the dominant of c.

The use in this work of the contrapuntal potential of the

various parts of chords (especially chords that are more than
simple triads, such as the augmented sixth chords) drives home
the point that sound structures may come to depend mainly on
usage, or total context, for their functional definition. This music
cannot be taken for granted or "understood" instantaneously as it
falls upon the dars. It is only through reflecting upon the
relationships of the many goals, and the detailed means used to
achieve them, that the sounds are "understood" in a musical sense.
Most of us know this intuitively, but in analyzing a work such as
the Tristan Prelude we are forced to become acutely aware of the
process of musical understanding.
 146

(The complete analysis of Wagner's Prelude to Tristan und Isolde

follows on the next two pages.)
 Figure 111. Wagner, Prelude to Tristan und Isolde.

©
a: i-----------------------------------
® ® @

@ @ @ @

(57)

(D)
IV
. =„(B) , (E)
I- VI \ V— I------ IV----------
I-----vi-
•,IV=V- V VI ;v ,is=Vs,

(ivir r p

(60) (63)
1
 147 •4

1
>-

Tonic Guide Tones

)
r P ,f=T
rlX
P =^-'f
=—— ------------ r- ' r ' ' r:
^-------------------

FT
1

1®

©
#=
---- p—
--------- 6 e,
?
Ji .... ^
z:±---------- ^
c.
---- -
©
(9^
 148
*

Exercises for Chapter X.

Analyze the following works. Be sure that the audible

patterns of harmonic progression on all levels (the
sequences, that is) are clearly indicated.

1. Brahms, Capriccio in d, 0p.ll6,#l.

2. Brahms, Capriccio in g, Op.ll6,#3.

3. Brahms, Intermezzo in E, 0p.ll6,#6.

4. Brahms, Intermezzo in bb, Op.ll7,#2.

6. Brahms, Intermezzo in eb, Op.ll8,#6.

6. Wagner, Tannhauser, Act I, Scene 1.

(Venusberg music)
 149

CHAPTER XI

TONAL DISSOLUTION: CONCLUSION

Musical meaning is conveyed by particular uses of musical

conventions which are either known in advance and apply to a
large body of works, or are learned in the course of an individual
work itself. Evolution seems to be able to push forward the
"known" conventions only to a certain point -- then a revolution
is necessary to make the final break into an area where fresh
nuances of expression are possible. Try as they may, however,
revolutionaries are never able to make a complete break with
their past. Their most important accomplishment is that they
bring to the fore a reassessment of older values. The radical shift
of emphasis seems to the casual observer like a complete rejection
of the status quo. Indeed, at the moment* of revolution a certain
amount of chaos seems to exist. In this brief time it is common to
find experimental probes in every direction that seem to have
little relation to each other beyond the fact that they, in some
striking fashion, are all unlike the immediate past.

Eras of musical revolution are especially difficult for the

most gifted composers, because their audience cannot yet be
expected to have assimilated the significant elements of the
musical re-evaluation which these composers are guiding.
However, it is inevitable (just so long as the new music is
actually performed) that a "revolutionary" composer's audience
will gradually become aware of the salient features of the new
style. This is true because the individual members of the audience
are, after all, a part of the same general musical culture as is the
composer. The bases of his musical thought, no matter what his
creativity might add, are common to all the sophisticated members
of his society.

* The length of this "moment" depends on many factors —

especially the talents of the individuals directly involved.
 Q
160

Many musicians have felt that the seeds of tonal dissolution

were present in the basic premises of functional harmony. Once
such a form of tonality came into general use, the inherent
possibilities of significant relationships between tonalities were
brought to the fore. The only convincing means of moving from
tonic to tonic is through the introduction of functional
chromaticism. But this process is both constructive and
destructive. It establishes or emphasizes new tonal centers and, in
so doing, naturally undermines old ones. Most often in tonal
music the chromaticism is so applied as to throw the balance
strongly in the constructive direction. That is, the new tonics are
supplementary in nature (even when the result of modulation)
and serve as massive elaboration of one basic tonic. Already in the
middle of the 19th century, however, the midpoint of this balance
was being approached. Without a great deal of motivic unity and
the frequent use of harmonic sequences, some of the music of that
time might truly have been as chaotic as a few of the
contemporary critics believed it to be.

As more and more dramatic harmonic relationships were

sought, the more apparent it was that tonality, as the all-
important unifying force, was becoming inadequate. The tonal
center shifted so soon and so often that it no longer provided a
useful point of departure; or (and even more important) the linear
elements began to be combined in such a manner as to create
constant doubt concerning a specific harmonic function at any
given point. As motivic values increased in importance, the
distinctions between functional versus non-functional
chromaticism and chord versus non-chord notes became arbitrary.
The implications of tonality replaced the reality of tonality. If
new music was to retain its vitality, nothing was left at this
point but to call upon a new basic unifying concept. The word
"contextuality" seems best to describe this concept as it exists in
music that is truly of the 20th century.
 161

To greatly over-simplify the case, it might be said that the

early composers of this new music generally embarked on one of
two main routes. These might be characterized by the terms
"diatonicism" and "chromaticism".** The "diatonic" composers
(often of the "French" school) tended to use unaltered tonal scales
and chords built on thirds as their materials. Chromaticism
existed mainly in terms of juxtapositions or combinations of
diatonic units (polytonality), and although there were many
references to conventional functional harmony, the particular
uses of the overall material were clearly the most important bases
of unity.** The "chromatic" composers (mainly of the "German"
school), on the other hand, developed the idea of the freely
existing motive. The lines containing such motives often
resembled late 19th-century lines, but when put in combination
with one another, there was little pretense of underlying chords
built on thirds which might give clear definition to specific tonic
areas. Any chord structure could be used just so long as it had
motivic value or proved to be no more than the vertical result of
several significant lines. Here again, the use of the material — the
context — was the main basis of organization.

With the aid of examples from Musorgsky's Boris Godounov

(1874) and Wagner's Parsifal (1882), we shall discuss some of the
problems which must be faced when analyzing the music which
made these early 20th-century "schools" possible. Then we will
conclude with a discussion of excerpts from music representative
of the end of tonal evolution; Debussy's Preludes for Piano
(c.1908) and the Kammersymphonie, Op.9, (1906) of Schoenberg.

By the middle of the 20th century, the distinctions between

these two types of composers were well on the way toward
vanishing.

* For very good examples of this style see the piano pieces
Saudades do Brasil, written by Darius Milhaud in the early
nineteen twenties.
 162

The greatly increased dramatic (in the literary sense) use of

music in the second half of the 19th century was a primary factbr
in the rapid demise of functional harmony. In the following
excerpt from Boris, Musorgsky creates "dream" music by at first
avoiding the clear "reality" of specific harmonic function. There
is also much "tone painting" apart from the functional element.
The stepwise staccato quarter-notes = a "long ... staircase". The
ascending triads = "led me to a tower". The low, rolling notes =
"the crowd (below) ... thronged the square". The staccato
sixteenths = "mocking laughter".
 163

Example 112. Musorgsky, Boris Godounov, Act I, Scene 1

(Chester piano score, pp.49-60)
 164

The staccato scale lines (bars 1-3, 4-6) fit in well with the
pseudo-modal procedures established from the beginning of the
opera. However, there are no direct functional relationships
among the chords which accompany these scales. Unless one
considers the lowering of the leading tone as non-functional
chromaticism (and there is no particular reason for doing so here),
there are no pivot chords. Thus, because of the whole step motion
down from the root, each of these major chords after the first one
is most easily heard as dominant in function. Note the tritone
relations between the third of each chord and its following weak-
beat quarter-note. But Since the harmony does not I'eturn to the
point from whence it came, the resulting third relations lose
significance as elements which can contribute to any particular
basic tonic.

The sequential nature of the passage makes its "form" easy to

grasp in spite of the constant moving on to new places which
tends to negate the functional relationships. In the following
analysis of the first five bars, a basic tonic on the highest level
seems superfluous and so is omitted. Control tonics are listed at
the end points of the phrase units, since they stand out in special
relief. At bar 4 we return to a I in the middle ground because we
begin eigain from an already heard chord.

Figure 112a
 166

At bar 6 it might be ventured that the "dream" begins to

become a "reality" for Gregory. Here the functions are much
clearer. But as Gregory's narration reaches the description of the
mocking of the crowd, "reality" once more disintegrates — into a
chord structure with a whole-tone potential. The chord for bars
10 and 11 may be taken as C-E-G^t, with D and F# as appoggiaturas.
One function this chord can have is Vs of the a minor chord which
comes in bar 14. This notion gets some support from the fact that
there are no bass notes between the low E in bar 12 and the A-E
fifth of bar 14. The functional connection between the
augmented chord and the previous music is quite weak. With the
enharmonic alteration of all flatted notes in bar 9 we have chords
which, with a charitable outlook, could be considered as
tonicizing the dominant of a.

Figure 112b

@ @ @
a: 1- (C)
(V-
----- m
(n A6
(Vs)
I=VI IVr
b3
(»5) (C ped.)- -4

On the other hand, it is more reasonable to take the Fb of bar

9 as a chromatic passing note in an area which has strong
orientation toward bb. Then if we reverse our position on bar 10
and take E-G# as neighboring notes to D-F#, the chord for that bar
may be read enharmonically Ab-C-Ebb-Gb, or the altered dominant
of Db. This is useful, since Db is the control tonic which appeared
at the end of Figure 112a. The elements of the possible a control
tonic appear directly below the analysis of the Db functions. C
becomes a new and independent control tonic at the end of the
excerpt.
 166

Figure 112c

The eonbiguity of many of the progressions in this excerpt

makes possible the derivation of many other dubious functions. It
should be clear that the primary basis of organization in this
passage is hardly any longer functional harmony. In the first five
bars the pattern of third relations seems ascendent. The
particular' temporary tonics and their relationship to any basic
tonic are important only in that they continually lead away from
the possibility of a simple functional return to the point of
departure. In bars 6 to 16 the interval of the third is handled in a
broader fashion. The bass at first descends by thirds, the fourth
leap being reserved for the phrase ending. The highest part spans
the third Ab-C twice, the C persisting as a pedal point from bar 8
through to its tonic role at the end. However, the fact that
chords such as those of the excerpt usually do have functional
significance (and Musorgsky's audience certainly assumed this
intuitively) contributes greatly to the effect of the passage.
 167

in Pkrsifal, Wagner has extended the technique of

functional ambiguity which we have studied in connection with
Tristan und Isolde. In our coming example from the opening of
the Third Act of Parsifal, we are placed in almost continual doubt
as to the specific role of each note. It is the rule rather than the
exception that notes may be heard as both chord and non-chord
tones at once. Especially noticeable are the long suspensions
whoise relative consonance often forms independent chords with
distant functions. The very slow tempo leaves us lingering on
these "non-chord" chords, so that it is quite possible to lose
entirely the sense of harmonic direction. And when we come to
know the music well enough to maintain our harmonic
orientation, we realize that the specific functions are hardly
important and that ultimately our sense of direction is preserved
rather by our understanding of the particular means of handling
the functional ambiguity.

The first of the analyses given below (Figure 113a) is based

on the slowest possible harmonic rhythm that may be heard in
this music. The functions given are those of the chords at the
various points of resolution. It is only by studying the whole
example carefully that we can feel sure about just where the
points of resolution really fall. We are reasonably safe in
assuming that all of Wagner's functional chords will be based on
thirds. In addition, we must realize that our diatonic-based
system of notation is outmoded for music like this and that
enharmonic equivalence must always be taken into consideration.
Proceeding with these things in mind, we see that, from the broad
point of view, the essential harmony changes no more quickly
than the time of a half-note — and sometimes even more slowly
than that. In the second measure, the leap in the bass makes both
parts of the tritone stand out as chord notes, the preceding
Gb(=Fjt) being an upward-resolving suspension. The soprano's E-
F-Bb work the same way, the pattern of half-note harmony with
quarter-note overall movement thereby being well established.
 168

In two spots, the traditions regarding leaps away from non

chord tones are stretched somewhat. At bars 6 ^and 8 the
diminished octave skip in the bass almost leads one to hear both
notes of the interval as chord tones. Then the chord formed by
the suspensions above the low half-notes would seem to have
functional significance (see second analysis. Figure 113b).
However, when the upper three notes resolve, it becomes clear
that, in the largest sense, the diminished octave was merely a
displaced chromatic scale movement and that the substitution of a
sharp on the first note in each case (Eb=Djt, F=E#) would make this
clear — to the eye at least. These spots are further complicated
because they represent a change in the manner of dealing with
this pattern of a long note moving to a short note on the next
degree, followed by a leap. But when studying the music in terms
of most of the detail (Figure 113b), it is seen that several
interpretations of this pattern are possible.
 169
t

Example 113. Wagner, Parsifal, Act III, bars 1 to 11

 160

Figures 113a, b, and c. Wagner, Parsifal, Act III, bafs 1 to 11

@ @ @
 161
t
 162

Figure 113c sets forth the main elements of a possible

interpretation which is perhaps obscured by the details in the
other two analyses. The analysis in Figure 113b does not really
give a clear picture of how this music is finally heard. If all these
contrapuntally-achieved chords were really taken as functional
harmony, the music would be very difficult to follow in the tonal
sense. However, once the "Wagnerian method" is understood, the
factors shown in Figures 113a and 113b stand out in their proper
relief.

These examples from Musorgsky and Wagner have shown us

two methods by which functional ambiguity may be created.
Something of both methods were found in each example, but with
Musorgsky it was mainly a case of rapidly juxtaposing chords
which contained incompatible chromaticism and supported ho
single tonic. With Wagner it was mainly a case of using chromatic
counterpoint in such a way as to give little hint in the details
about the specific structure of many chords — thereby keeping
most of the functions in doubt.

Almost all of Debussy's music is truly tonal, but in his later

works there are many areas which no longer depend on harmonic
functions for their basis of organization. It is rare, however, that
Debussy transcends tonality by means of extending the
"Wagnerian method" (although, in his own way, he uses the
"method" a great deal — as, for example, in the opening section of
The Afternoon of a Faune"). When tonality is dispensed with in
his work, it is usually by hieans of presenting successions of
functionally unrelated chords, or by such means as his occasional
use of the whole-tone scale, wherein the "roots" of the various
chords employed have significance only in their contextual sense.
In the first four bars of the following passage, the Bb chord is the
 163

contextual rather than the tonal center. Roman numerals could be

applied to the various parallel-moving chords, but they would
have no meaning in the sense that they have been used up to now.
Harmony produced by exact parallelism is almost always non
functional (see pages 62-63). In this Prelude the music continues
after our example with ^ as a true tonal center.

Example 114. Debussy, Prelude 1 (...Danseuses de Delphes)

(11 bars from the end)
 164

In Debussy's Prelude II, functional tonality plays no more

than a distantly associative role. All of this work, except for five
pentatonic measures, is based on a single whole-tone scale, used so
as to establish a contextual center of C-E with a low Bb in
support.

Example 115. Debussy, Prelude II (...Voiles)

(first 6 bcirs, last 2 bars)

With Schoenberg the situation is reversed. Almost all the

music he wrote in his last forty-five years (1906-1961) is
outside the realm of functional tonality. But his beginnings were
firnily rooted in the "Wagnerian method", as evidenced by the
example on page 166 froip his Kammersymphonie (1906),
composed when he was a young man. An entire book could be
written on the amazing extension of tonality found in this piece.
The given example is one of the "simpler" parts of the work and
yet there could be many alternative interpretations added to the
analysis offered. Picking out which of the notes are chord tones is
frequently problematical (e.g., see bars 10-11 of the example).
 166

Sometimes the harmony changes before a chord built on thirds can

appear;* at bars 6 and 6 the chords containing unresolved or
"frozen" accessory tones could be explained as 11th chords.
However, there is so much of this kind of thing that the make-up
of the chords is often obscured. Example 118 gives a possible
chordal condensation of the music. Many of the specific decisions
in this matter are arbitrary. When playing over the music, the
ear sometimes seems to tell you two things at once. Much of the
chromaticism present is in terms of appoggiaturas and traditional
major-minor alterations (non-functional). Especially prevalent is
chromaticism in terms of augmenting and diminishing the fifth of
dominant-function chords. This latter situation produces a chord
with a whole-tone potential which has a far greater ambiguity
than even the diminished seventh chord.

Example 116

In fact, when a whole-tone chord is found in highly

chromatic surroundings, the ambiguity is total. Considered as a
doubly altered dominant ninth chord, any of a whole-tone chord's
six notes can be the root. Or considered as an extended form of
augmented sixth chord, it may resolve to any of six dominants.
6+6=12! The role of chromaticism in a whole-tone chord is left in
doubt until other parts of the progression are heard. When the
progression offers nothing to clarify this role, then the chord can
have no tonal function. This point is almost reached in the
example under study.

* Note also the "fourth" chord at the beginning of the work, etc.
 166

Example 117. Schoenberg, Kammersymphonie, Op.9

viel langsamer als

das I. Zeitmass
(J=c.l04-U4) @ @

©
m

rrr^ \P
iig » * * iWJ4
i f
r
 167

Example 118. Chordal reduction

E:IV- © @ 0 ©

= chords
with whole-tone
potential.
 168

In measure 1, the A major ^ chord is probably best called a

Vs — although such substitute functions cannot be assumed as
surely here as with earlier music. The Fj{ may be taken to change
the function or it may be taken as an added sixth, a "frozen"
accessory tone. Ih older music, the effect of the added sixth
appears often with non-tonic chords (e.g., Il6=lV+6, VIl6=ii+6,
III|=V+6 or Vi3, etc.), but it is not until the late 19th century that
the tonic with the added sixth is used as a relatively stable chord.
A similar problem occurs with the E (major or minor?) chotd in
bar 11.

The functions of detail (there are several possible

interpretations) in bars 1 and 2 seem weak in comparison to the
slower, main harmonic movements, and so are placed in
parentheses. In bar 2 the possible (even probable) dominant or G6
function of the chord is not immediately realized, so the Ct| may be
heard as the lower neighboring note to C}t (see also page 64).
There is no sure way of ascertaining the functions in bars 6 and 6.
The Ab-Db progression may be heard as V-I almost as easily as
Ab: I-IV. This latter intrepretation seems best, however, since ^
is closer to the altered dominant of which appears in bars 4
and 7. The cadence from bar 7 to bar 8 (and at the end) is
reminiscent of that noted in Schubert's Piano Sonata in A (see
page 51). The tendency toward the subdominant is unmistakable,
although in a texture as rich as Schoenberg's, the presence of a
lowered seventh in a tonic (or any other) chord does not
necessarily influence its function. (This is just one more bit of
ambiguity.) However, the subdominant tendency is also an
important element in the over-all design of the entire work; the
first of the largest formal units opens in E, moves finally to A, and
then closes there. (It is curious to note that this same interval
relationship plays an important part in Schoenberg's twelve-tone
works.)

The designation of temporary tonics in bars 9 to 11 is highly

arbitrary. The highest melodic line seems to have a d quality, but *
 169

the other voices form harmonies, most of which are only

indirectly related to d. Perhaps a main source of ambiguity in this
fragment is the large number of whole-tone-potential chords
(marked with a circled x in the analysis). They all can be derived
from the same whole-tone scale and thus are all possible dominant
functions to A ... or B (or could they be augmented sixth chords in
D?) However, because of their vertical positions, some of the
forms* of this whole-tone chord can be heard quite readily as
dominants of ^ or G. After listening to the example several
times, it is possible to hear as an important relationship the
movement of A-^-A, wherein the Eb is the bll of D; or in
functional terms: A: t
I-IV-I »

bn
In bar 4 the dominant of ^ (or is it A6 of D?) grows out of f| (or
is the melodic D# more than an added sixth?), but the melodic line
in the following bars emphasizes the D-A relationship almost in
spite of the harmony.

It is significant that ^ somehow seems linked with D in this

excerpt. As pointed out earlier, a direct tritone relationship
between two tonics is difficult to achieve in any functional sense
(see page 46). In order to bring about this relationship, even
indirectly, a rather complex texture is necessary. (Conversely,
the simplest way to ensure "atonality" is through the liberal use
of tritones.) However, as the texture increases in complexity, the
relative value of tonal functions in the music decreases and what
was a means (the context) of clarifying and elaborating the
functions becomes an end (replacing tonality).

While it is true that there is much 20th-century music in

the new idiom which uses chords built on thirds and which even
has an occasional functional progression, it is generally worse
than useless to analyze this music from a tonal point of view.
Almost any relationships can be gleaned from any such music, but
how valuable are answers (even right ones) when the questions
 170

are wrong? Even music such as that of the Schoenberg example

might better be analyzed in contextual terms — a basic element of
the context being ambiguous tonal references based on chords
whose specific constitution is frequently unclear. Procedures for
the analysis of contextual music will not likely become fully
developed until composers have finally explored, in their
intuitive manner, all the most fruitful potentials of this basis of
organization. However, in the tonal music which stylistically
precedes the 20th century, the application of the principlqp of
analysis here set forth should give the musician a clear
understanding of the harmonic role of each sound structure in the
musical continuum. The primary purpose of this study is to
increase the awareness of just what particular progressions
within the tonal conventions produce what mu;sical effects on tjie
individual. It must again be emphasized that tonal music is made
up of a great deal more than harmony alone, but all else is
essentially rhythmic and melodic elaboration of the funptiqnal
harmonic relationships. It is mainly by means of the great variety
and subtlety of these relationships that this music is ablp to
express such a wide range of human emotions.
 171

Exercises for Chapter XI.

Analyze the following works. Show alternatives in

ambiguous passages.

1. Chausson, L'Aveu (Song), Op. 13,#3

2. Franck, String Quartet, Introduction to

first movement.

3. Debussy, L'Apr^s-midi d'un faune

(This could be made into several projects.)

4. Debussy, Preludes, Book I, #IV

(... "Les sons ... du soir")

6. Ravel, Vaises nobles et sentimentales,

#VIII (Epilogue)

6. Strauss, Fruehlingsfeier (Song), 0p.56,#6

7. Berg, Dem Schmerz sein Recht (Song), 0p.2,#l

8. Schoenberg, Verklaerte Nacht, from 6 bars before P

('cello melody) to 1 bar before R.

9. Scriabin, Po6me, 0p.69,#l

 172

Index

alternating progressions 71
ambiguity 47, 52, 69, 129, 156-167, 162,
166, 168-169
augmented sixth 49-61, 72, 78, 103, 165

Bach, C.P.E. 32
Bach, J.S. 23-25, 33, 36-36, 42, 56, 63, 66-68
Beethoven 6, 19, 44, 81-86
Berlioz 77-78
bracket 34
Brahms 21

Chopin 43, 62, 63, 72-74

chromaticism 29, 31, 64, 74, 161, 164-166
circle of fifths 60-62
contextual 2, 124, 150-161, 162-164, 169-170
contrapuntal chords 6, 14, 22, 60, 75, 127, 144
control tonics 66, 69, 73, 77, 86, 91, 94, 104,
116-117

Debussy 162
diagram 34, 69
diatonic 8, 16, 161
diminished chords 17-18, 32, 52, 62, 76-76, 118
Dvorak 79-81

flatted seventh 35, 52

functions 4-6, 13, 16

Haydn 32

inversions of chords 36

leading tone 9, 33, 38, 40

levels 6, 6, 24-27, 34, 44, 66-63, 68-69,
72-73, 100-101
Liszt 63
 173

major mode 10
Milhaud, Darius 161
minor mode 8, 11, 16, 40, 47-48, 103
modal 1, 41, 43
modulation 2-3,66, 68-69, 73, 88, 104-106
monotonality 2
Mozart 12, 22, 31-32, 46, 63-66, 70, 88-99,
107-127, 130
Musbrgsky 162

Neapolitan chord 8

parallelism 62, 163

passing chords 6, 118
pivot chords 34, 37, 47-48, 63, 66, 67
plagal cadence 18

roots 13

scales 8, 103
Schenker, Heinrich 2
Schoenberg 2, 164
Schubert 26-27, 46, 61-62, 76-77, 99-101
Sessions, Roger 3, 16
six-four chords 6, 13-16, 18-19, 23
sonata form 70, 88-94, 107
Stravinsky 2
subdominant 21, 61-62, 168
substitute functions 16-23, 26, 29, 36, 62, 72,
86, 103, 118, 121

tonality 6, 8
tonic groups 46
tonic guide tones 67-68, 73, 104
tonicization 3, 31-38, 66
transition sections 96-98
tritone 10-11, 32, 73, 78-79, 143, 169

Wagner 3, 129, 167

wavy line 37, 66
whole-tone 166, 166