STRUCTURAL FUNCTIONS -OF HARMONY ae ARNOLD SCHOENBERG Revised Edition with Corrections Edited by Leosanp SriFirst published in 1954 by Williams and Norgate Limited. ‘Second (revised) edition 1969 published by Ernest Benn Limited CONTENTS Fit pubis in Faber Paperbacks in 1983 by Reber ond Feber Limited 3 Quen Square Landon WEIN 3AU lec rcinkecear ce Prine in Cra Briain by Bois ao ran Since Farce te Pe cone tga, Bertcots Pacrace to ves Pair Ranch aia AUl rights reserved Br ‘Use oF tis Book FoR TEACHING AND Reieesieroe ry ight © 1954, 1969 by Nuria Schoenberg Nono, Ronald Schoenberg, 1 STRUCTURAL Functions OF HARMONY Caprisht © sf ine 6 MIE sieceveay Hasators (A Duser Tercaereacie TION) 4 Part-Leading 4 Dissonances and Their Treatment 4 Root Progressions 6 The Minor Tonality : Establishment of Tonality u CONDITIONS OF sate The Cadence I u Fig eon te hor tno 0 ts The {Chord of the Cadence : Rescate tact atetmeted | MY thet Gaiss: Oar Cade 4 See ats iis 2 ne UI Sussrvutes avo Regions 6 Slag sme ig lap recep oa Derivation of the Substitutes 15, Serecivedon of Subetmares 8 Beco - Introduction of Regions ar Bee Becta % Functional Limitations of Artificial Dominants 28 ‘The Cadence II (enriched) 29 BE cree x biocon - Repos Tl a 'V TRANSFORMATIONS 35 Transformations of the Second Degree 35 British Library Cataloguing in Publication Data Transformations of Other Degrees inthe Tonic Region 38 Schocabeg, arnold eee i Frese fuactons of baron —2oe a a Sra Saree i 1, Harmony VIE Lerercnanceapinrry of Major AND Muvon LTide "Th Stein, Leonaea fea Mace, Saxon ai Oa 781.3 MT50 y-Maor REGIONS) 5I Regions III (Major) 5 eons, Tonic Minor Region 3‘CONTENTS Subdominant Minor Region 34 Five-Minor Region (v) 56 ACKNOWLEDGEMENT VIII Inpmmect sur Ctose Retavions (Mepiaxr Majox, Suastepiant Major, Fiat Mrpiawr I map been constantly dissatisfied with the knowledge of har- Major’ anD Minox, FLAT Summeoianr Major mony of my students of composition at the University of np Minor 57, California, Los Angeles. To remedy this shortcoming I Regions IV 37 instituted a new class to which the conventional. harmony Major 37 teaching should be the prerequisite: Srauctuna. Functioxs ‘Minor 2 oF Hanwowy. At this time (1939) a young former student Remotely Related Intermediate Regions 65 of mine, Leonard Stein, had already become my assistant IX Ciassinicarion of Retamionsir 68 and remained in this capacity for the next three years. Regions in Major 68 Thus naturally when I started co write the present book I Regions in Minor’ 75 could not select one better to help me express my ideas. He X Exvennen Tonatrry (Examputs rroM Muscat had observed the development of these ideas from the very Lrreraturs) 76 beginning and had watched me struggling with their formula XI Procaessions rox Various Compostrionat Pur- tion. Poses 114 Twas not wrong in this selection, While perhaps a perfec- Sentence 114 tionist might have tortured me with corrections of my English, Period 112 upsetting the flow of ideas, he had the patience to let me pro- Codetta 138 ounce my sentences in their rudest forms if only they expressed Contrasting Middle Section 120 theideaclearly. Ofcourse the gravest grammatical errors had 125 tobe eliminated, but the polishing of the style could be post- 134 poned. 157 In spite of the preliminary work done in classes and Mr. ‘Transition 138 Stein’s collection of notes and examples at this time, the real aes (Elaboration) 245 writing and frequent rewriting ofthe book demanded nearly log Hatmany a “4 two years. The extreme number of examples necesary for ibe Be-Called “Free Forms cErocn 2 _ illustrating and clarifying every problem; the application of XII Apottossax EvaLuarion oF « DionvsiaN EPOCH 192 the theories in the analysis ofthe examples from literature and Grossary ann Taste oF Decrees 197 the inevitable work of writing and copying are indications of os, 198 Mr. Stein’s share in the production of this book. eee 190 se with pleasure this opportunity wo thank him for his intelligent, careful, assiduous and discriminating assistance. ARNOLD SCHOENBERG 28 March 1948PREFACE TO THE REVISED EDITION Tue REISSUANCE OF Structural Functions of Harmony some fifteen years after its first publication isan important event for a number of reasons: not only does it permit the correction ‘of numerous errors and the inclusion of a much-needed index for accessibility of material, but, more importantly, it offers jn the definitive statement of a central musical problem by fone of the great creative minds of our time. Appropriately this new edition arrives ac a time—eighteen years after its author's death—when Schoenberg's towering influence and authority as composer and theorist have become widely ac- ‘cepted. In fact, his words have greater pertinence today, and for a wider public, than they ever had during his lifetime, Structural Functions can be studied not only as a practical guide in harmonic technique and analysis but, at the same time, as a document of the evolution of Schoenberg's own musical philosophy. In the course of this work one can trace the basic presentation of harmonic principles, their enlarge- ‘meat into a unified system of monotonality which, in turn, is applied to the examination of various kinds of musical forms from the eighteenth century to the twentieth, leading, logically and inevitably, oa consideration of their relevance to twelve- tone composition. Schoenberg's statement in the last chapter (“Apollonian Evaluation of a Dionysian Epoch”): ‘One day there will be a theory which abstracts rules from these [twelve-tone] compositions. Certainly, the structural evaluation of these sounds will again be based on their functional potential not only has a prophetic ring in our contemporary theory and Practice, but also emphasizes his evolutionary concept of musical composition. As has been noted elsewhere, this work is the result of Schoenberg's teaching in an American university. It includes “Although Sehoenberg himsel originally wanted to have eis tat chapter 9 fest and ess overruled by the fst pablaher t whom he submited the cri the pres ore ey not mately alter the inherent conse lenets Tending frm the 3STRUCTURAL FUNCTIONS OF HARMONY material collected by his students in class, much of which he improvised on the spot. Discovering then (1936-43) that his students were poorly prepared, he compiled a number of basic texts in harmony, counterpoint, aad composition in an at tempt to correct their deficiency.? These texts, therefore, strongly emphasize training in fundamentals and can be used by beginners in musical theory; but they also pose new con- cepts and interpretations which challenge musicians at any stage of their development. Structural Functions stands in direct lineal descent from Schoenberg's first great text, his Harmoniclehre® Acquaint- lance with this earlier book #s of inestimable value for 4 thor ‘ough understanding of the later text, although Schoenberg. realizing that a complete translation of Harmonielehre was not available, undertook a condensation of some of its basic principles in Chapter II of the present work. Among these principles the most important is the concept of root progres- sions. This is the foundation of Schoenberg's explanation of all harmony progressions, involving altered chords as well as simple triads, Starting with this basic assumption, itis applied at first to diatonic harmony, then to chords constructed with substitute tones (Chapcer 111), to transformacions (Chapter V), and finally to vagrant harmonies (Chapter VI). Te is rec- ‘ommended that one studies alterations of chords in this order before proceeding to the study of regions. The regions in minor, particularly (see Chapter 1Y), involve the use ofaltered chords before their elaboration in succeeding chapters. The other main derivation of altered chords, that of tonic minor and subdominant minor, which plays an important part in the Harmonielehre, is now incorporated into the discussion of “Interchangeability of Major and Minor” (Chapter VI). tis this very change of interpretation, from chord deriva- tion to region, which distinguishes Structural Functions from the Harmonielehre and is its main point of depstrterre. What rat Functions of Harmony hese works Incase: Madels fo imporition (Scene), Posnury Extras én Counter: fefot (Faber and Faber, 1969), and Pusdomanials of Musial Comporion {feaber tnd Faber, 6 MOrginaty published in yrs, subsequentty revine in 1948 and reprinted fn 198 [Univeral Ets, Vienna) fe hi heen porsally cesta nto Eg Under che Se, Theory of Harmony (Phitanyhical Litary, New York 16) ‘PREFACE TO THE REVISED EDITION appeared as modulation in the Harmonielehre (and in most other treatises on harmony as well) now becomes part of a unified concept of monotonality (see p. 19 for a complete ex planation), so thac instead of measuring distances from key t0 key (by their relationship within he circle of fifths) a single tonality (tonic) is accepted as the center of all harmonic move- ‘ment to and from its various regions. Although Schoenberg hhad for many years employed terms associated with regions, he did not appiy them consistently until his Models for Beginners in Composition in igqa: in its Glossary there is a dehnition of regions which is essentially the one found in Structural Functions, However, it is only in the latter work that Schoenberg provides a thorough explanation of their relationships, principally in the “Chart of the Regions" (pp. 20 and 30) and in “Classification of Relationship” (Chapter IX). Admittedly, the theory is not complete; Schoenberg, as was his usual custom, postulated certain hypotheses regarding the main problem of key relationships within a composition — how, in fact, harmony functions in determining the structure of a piece. Of the relationships between the regions many, but not all, are explored, at frst in four-part harmony. Moreover, when the regions are later applied to the analysis of examples from literature, many instances occur where other explanations of regions could bbe given. An examination of the classification of regions (Chapter IX) shows the difficulty of finding simple analyses for indirect ane remote relationships. This results from a umber of causes—the effect of enharmonic changes, the Approach to regions from “flats or sharps,” the interchange- ability of major and minor, etc.—so that more than one region at a time may be valid. Further ambiguities may be Drought about by the multiple meanings of transformations, Vagrant harmonies, and other altered chords. It is suggested that theorists and students search for other solutions to these Problems of regions. In cases where the relationships move very rapidly, as in the Durchfiikrung [Development section] or among the So-called “free forms" (see Chapter XI), only the concept of roving harmony is applicable (sce p. 164). Although he seem- ingly avoids the issue of regions, Schoenberg does not claim xiSTRUCTURAL FUNCTIONS OF HARMONY. that this theory will explain every relationship (see his state- ‘ment on p. xii). Instead, as he had done in his other theoretical ‘writings, he advances certain concepts which can be absorbed by anyone who is able to master the basic ideas of musical relationships and is not merely satisfied with superficial defini tions or attracted by the ephemeral qualities of music. It may be true, as some critics claim, that Schoenberg is essentially a preserver of traditional values rather than the revolutionary he is popularly supposed 10 be. Unlike most preservers of the past, however, who only seck, by historical or stylistic references, to codify theory within a closed system, his con- ‘cepts, though rooted in tradition, are vital to our time because they derive from the resources of an everenquiring and constantly growing musical intellect. Thus, above all, Struc- tural Functions should be approached as a challenge to the musician who wishes to deepen and enrich the understanding and practice of his craft. Leonanp STEN Los Angeles, California, 1960 EDITOR'S PREFACE TO THE FIRST EDITION Warrren in the last years of Schoenberg's life, Structural Functions of Harmony represents the master’s final thoughts on “traditional” harmony, and sums up all his conclusions on the subject subsequent to the Harmanielehre, ‘There is no need for me to stress the value and importance of this work; the reader will be able to appreciate this for himself. Having been entrusted by Mrs. Schoenberg with the task of preparing the book for publication, I need only explain the extent of such “editing” as has been done. This has mainly consisted of purely grammatical alterations designed to make easier reading here and there, without altering Schoenberg’s thought in any way. In addition some explanatory phrases have been interpolated; these are enclosed in square brackets. Schoen- berg’s prose style was always extremely compressed, even clliptical; and these interpolations are merely designed to bring out the meaning more easily. ‘The remaining problem is that of the technical terms used. Many of these were devised by Schoenberg himself, and do not correspond to the normal American or English usages; as Mrs, Schoenberg says: “He was striving sometimes for days to find the right expression if he felt that many of the usual terms were misleading and erroneous and did not correspond to the meaning”. In these circumstances, and also in view of the fact that the book is designed for both ‘American and English readers, whose musical nomenclature often varies considerably from each other's, clearly the right course is to leave Schoenberg's musical terms without alter- ation, and to provide an explanatory glossary of those terms which differ from either American or English usage. This will be found on p. 197. Tn conclusion, I would draw the reader’s special attention to the Chart of the Regions (p. 20); thorough mastery of the symbols contained in this chart is essential for the understand ig ofthe analyses in the latter part of the book. In particular, 3tisimportant to remember Schoenberg's practice, following the itiSTRUCTURAL FUNCTIONS OF HARMONY normal German usage, of writing the names of major keys i capitals and of minor keys in small letters, without an; explanatory “ major” or “minor”—thos Fee F major; f=! minor; 8D—may occasionally proceed is conflict with the theory of root progressions, This is one c the short-comings of every theory—and this theory. canno claim to be an exception; no theory cen exclude everythin that is wrong, poor, or even detestable, or include everythin. thatis right, good, or beautiful ‘The best { can aim at is to recommend such prucedures 9 will seldom be wrong, to draw: the attention of the student ¢ the fact that there are distinctions to be made, and to give som advice as to how the evaluition of harmonic progression will help him to recognize his own shortcomings. 1 Se p18 and pet chapter IM. GrapterV Degree” means the rot and ths hurd conseuct ou a degree of the tyes ft cae, eah of wh the one let tae ef alla gras ™ (heehee, Hames, 350 Thy af Hay, See Chapter UI xvi STRUCTURAL FUNCTIONS OF HARMONYPUBLISHER'S NOTE Cravaty connections that could not be accommodated in th body of the text have beett placed in an Appendix (p. 198 “An asterisk in the margin of the text indicates that addition ‘material will be found in the Appendix. CHAPTER 1 STRUCTURAL FUNCTIONS OF HARMONY standing alone is entirely indefini An meaning; i may be the tonic af one tonality or one degree of in its harmonic several others, The addition of one or more other tiads can restrict its meaning to a lesscr number of tonalities. A certain forder promotes such a succesion of chords to the function of a progression. ‘A-succession is aimless; a progression aims for a definite goal. Whether such a goal may be reached depends on the contina- ation. It might promote this aim; it might counteract i A progression has the function of establishing or contradicting. fa tonality. The combination of harmonies of which a pro- gression consists depends on its purpose—whether it is estab- lishment, modulation, transition, contrast, or reaffirmation. ‘A succession of chords may be funcionless, neither expressing an unmistakable tonality nor requiring a definite continuation. Such successions are frequently used in descriptive music (see Ex. 1). 9 ee ,Peclude. 5) Lohengrin Hin bendanit tert mers 4 acre 4), Gétterdimmerung 9) Gotterdstomerang A) Segbert Arm Meee es2 STRUCTURAL FUNCTIONS OF HARMONY The harmony of popular music often consists only of a mer interchange of tonic and dominant (Ex. 2), in higher form conchided by a cadence. Though a mere interchange Primitive, it still has the function of expressing a tonality Ex, 3 illustrates beginnings with mere interchange of I-IV , and even I-IV of the submediant region.” 4), Schumann: Piano Quintet 2) Beethoven: Sonats,Op57 if i tm Le 6) Beethoven: Quarte,0p.59}2. 4) Brahms: In stiller Nacht (Gesinge fie Chor) Ou # 5 I 1H nT owt “See CHART OF THE REGIONS, p.25 (om The centripetal function of progresions is exerted by stoppin centrifugal tendencies, i.c., By establishing a tonality throug’ the conquest of its contradictory elements. ‘Modilation promotes centrifugal tendencies by loosenin: the bonds of affirmative elements." If a modulation leads t 4 Por the reins, see Chapter I Pe Blemena which allem or defini tonality.) STRUCTURAL FUNCTIONS OF HARMONY 3 another region oF tonality, cadential progressions may establish this region. This occurs in subsections, preliminary endings, Contrasting additions of subordinate themes, connecting passages with the purpose of co-ordination and subordination, Fansitions, ancl in modulatory sections of scherzos, sonatas, honies, tc. Roving harmony is often to be observed in modulatory sec- tions—for example, in fantasies, recitatives, ete.! The differ- fence between a modulation and roving harmony is illus- trated in Ex. 4. Evidently in Ex. 4b, cd, no succession of three chords can unmistakably express a region or a tonality. 2), Modulation 2), Roving ef ern * See The So-called "Free Forms, pf_ CHAPTER 11 PRINCIPLES OF HARMONY (A Brief Recapitulation) Hazaony teaches: Firstly, the constitution of chords, that is, which tones anc! hhow many of them can be sounded simultaneously in order t produce consonances and the traditional dissonances: triads seventh chords, ninth chords, ete., and their inversions. Secondly, te manner in whieh cherds should be used in succession: 0 accompany melodies and themes; to contr! the relation between main and subordinate voices; 1 es tablish a tonality at the beginning and at the end (eadence) fr, on the other hand, to abandon a tonality (modulation anc remodalation) Whether the chords built on the seven tones of the major scale appear 3: triads, seventh chords, ninth chords, etc., or as their invenions, they will always be referred to according to their rot, ic., as first degree (1), second degree (11), third degree (MIN), ee. 9), Triads of C-major 8) Sevesth Chords eR ae 2, Nh ert SSS To Mp ty My Va Vig o PART LEADING When connecting chords it is advisable that each of the four voices (soprano, alto, tenor and bass, generally used to present harmonic successions) should move mo more than necessary.! Accordingly large leaps are avoided, and if two chords have a tone in common it should, if possible, be held over in the same voice 3% Sie gehorchen dem Guate des nihaten Wests” (Ther aber the tt of th shorter way), Anton Brickner taught hin ina atthe Viena Uasvem + PRINCIPLES OF MaRMOxY 5 ‘This advice is sufficient to avoid the greatest miakes in part leading, though special precautions are necessary to avoid ‘or hidden parallel octaves or fifths. Contrary rather than parallel motion is recommended. DISONANGES AND THEIR TREATMENT While consonances such as simple triads, if fauley parallels ‘are avoided, can be connected unrestrictedly, dissonances require special treatment, In a seventh chord the dissonance usually descends one step to become the third or fifth of the following harmony, or is held over to become its octave. ‘Treatment of Dissonsnces a 2. °, Ifninth chords arc used, a similar treatment of both seventh and ninth is necessary, ‘ooTER Voices ‘Of greatest importance is the construction of the two outer \wpiees, soprano and bass, Leaps and successions of leaps which ttadition calls unmelodic should be avoided; both voices need Fiot become melodies, but should possess as much variety as Ponible without violating the rules of part-leading. In the bbass, which one might rightfully call the “second melody ", G-chords, $-chords, j-chords, {chords and achords should frequently 'be used in place of root positions of triads and seventh chords. But the {-chord, when not a mere passing should be reserved for the é-chord of the cadence". Passing $-Chorde op frChond af the Cadence » J eo 1 Remember: in a 2-chord the dissonance is in the bass, and Must accordingly descend to a f-chord, =6 STRUCTURAL FUNCTIONS OF HARMONY PRINCIPLES OF HARMUNY 7 A third down: Seeding: 38 Dow 5 A o 2 0 Pf # c elas ROOT PROGRESSIONS Tw wwe my Wen wu WY vagvy Note: there is a difference between the bass of a chord anc (a) Deséending progressions:! its root. In a 6-chord the third is in the bass; in a {-chord thy) A fourth down: Sepa Descending Progressions: 2 Up 4 yo) aaae nt Ga rags Se oa ‘The structral meaning ofa harmony depends excuivels (8) A tind up: Descending: Progressions: 3° Up upon the degree of thescale. ‘The appearance of the third, fifth 5, ig Froaremiens SY ‘orseventh in the bass serves only for greater variety in the “ 3 “ second melody”. Structural functions are exerted by rec! progressions There are three kinds of root progressions (1) Stang or ascending progressions:! wth my WW (a) A fourth up, identical with a fifth down: (3) Superstrong progressions :? Ascending Progressions: 413 Up {a) One sep up * ee op» Supersio ag Frosreslons: Step Up 2, 2 o Wo Mem ap Vay va 1h msgs lca grat Hang in he oo he hr a lyw WY repre When the rotates sforth ap these nte se eter Satzreded, becoming ony the of the vecnd ho Inthe cae ul here _.TRSY do not pases the conqusring power of the ekandng programs, On the feeeuina eda the roma oem ceria centre, GR he rane se Mise of tee snes) TA cond. * eee peep me | piteeeh mM E NS 9 Sad tel epee ee Wein Soe ee AMER ATE ca re BS ict Mercte'y aed se Seg ihe oe ore chard an ng, late Hamers pe igo. Than sf Harmony. p89SSS SS 8 STRUCTURAL FUNCTIONS OF HARMONY PRINCIPLES OF HARMONY 9 (b) One step down: rogressions V-VI, V-=IV (HEIV, HEII).! Traditionally, . Sup Down ; Pimthe progression V-IV, IV appears as a 6-chord, and the progresiion V-VI is seldom used otherwise than from one Foot position to another. ate, og Deets Progress oe wo “ Ascending ” progressions can be used without restrietior but the danger of monotony, as, for example, in the citele consecutive fifths, must be kept under control. Circle of Fits ere Superstrong progrestious may be considered too strong for continuous use. md | ‘THE MINOR TONALITY : 44. Ld) — ‘Our two main tonalities, major and minor, derive histarically na aw from the church modes. The contents of the three rvajoilike ———___ modescfonian, Lydian and Mixolydian—are concentrated in the one major tonality, and the contents of the three minor like modes—Dorian, Phrygian and Acolian—in the same manner, are concentrated in the miner. oy, Maite Modes “ Descending ” progressions, while sometimes appearing as: mere interchange (I-V-V-I, I-IV-1V-I), are better used is combinations of three chords which, like I-V=VI or F-HI-VI. result in a strong progression (see especially Ex. 17 ¢) Lydon ‘Descending + Ascending Progressions % Peas TS 10. Mixalyaian SS » Borate Moves Pyeian Se Aetllan (Minor Seale) Because of this origin, the minor tonality consists of two $e leeme: ‘The ies of the descending form do not difer ‘Superstrong progressions often appear as decepine! (i.e, false? TOM those of the relative major scale. ‘The ascending, form progressions, generally when the first chord isa dominant (ot UBstitutes for its natural seventh tone a icading tone a hate se ecartifcial demisant,” ete; see Chapter II1), in ti MP higher, Often, to lead more smoothly to the substitute Tie tre.“ doceplve cadence" should be replaced by deceptive pepessis, SOME Romaa mimerai448, ¥, HH, 4H, cacy indicate that the chords are «ince there fp cadence the supetrang peogreaion avonds a cadence ‘Mlened shrough the use of submit hones . __ aa 10 STRUCTURAL FUNCTIONS OF HARMONY PRINCIPLES OF HARMONY n seventh tone, the natural sixth fone aso replaced bya 10% age (ts necessity ether tobe held over ort fl) and a hall'step higher. dusnd Sty of the leading tone to rise isthe cause of some Siete Togs olen ® 5 3 é Aeclian = diminished steps are traditionally considered =e ps Rs | unmelodic In Ex. 2g & number of progressions ate illustrated, 2p Ascending Sele #1 Descending Bale 2D, Dative rom Major Sone {ip BSS al Set Ses 1), Ascending Progressions Dp Substitute Tones of -Misor ops Ube a Ascending and descending scale forms (sixth and seveath = tones) should not be intermixed, but kept apart to avoid 7 i 4 a, b).. By convention this function of the chord has acquire: such prominence that it is often misleading if a $-chord ‘especially on a degree other than I, appears in another ‘contex (see Ex. 27¢,d). a ( ‘THE HALF CADENCE: OTHER CADENCES Half cadences bring forth all degrees belonging to a full cadence, but, instead of proceeding to I, stop on V: eg. IV-V, II-V or VI-V. 19), Half Cadences » $Chont of Cader ) Trepared » prepared %, a i iy wk ww twowh ov iv mw v Plagal cadences, IV=1 or Il-I, and the phrygi TI-IIH (or #4), are only a means of stylistic expression and arc structurally of no importance. CHAPTER TI SUBSTITUTES AND REGIONS DERIVATION OF THE suasnrTUTest sJust as the substtate tones in the minor scale are derived from the Aeolian mode, several other substitutes are derived from the remaining modes. They may belong to an ascending scale--like the artificial leading (seventh) tones of Dorian, Mixolydian, Acolian and occasionally also Phrygian—or to a descending scale—like the minor sixth in Dorian and the perfect fourth in Lydian. Derivation of Substitute Toes ia C ma DDeae @), Ascending Substitutes Substitute Tones in A major y ie ABS 9) Dorian 2 Acolizn ‘Ascending Substitutes 4. Borrowed” tone or notes] 156 STRUCTURAL FUNCTIONS OF HARMONY Descending iy, Ascending Substitutes Sebsule eS In Ex. 99 the modes and their substitutes are shown in Bane at ae neal a comity oases Digan, wearing toe [tcingl oe Wad ee wiads, they produce “ artificial” major triads and “ arti Grint Soman seventh chords (Beye a8) Sudan for [altering] the fifth changes minor triads to “ artificial diminished triads (0c), commonly used with an added sevent!: Reese deities cals cd eens) epemen tee icdinck eral aos Coord artificial minor triad on V.2(30g). eae. 8 peait Sess 9 Dinetar Te 20. Selby leper Para errr eral 4 4) Augmented Triads) Diminished Sevenths =.) a) a) wovt’w woe om oF me ow we Artificial dominants, arificial dominant seventh chords, and artifical diminished seventh chords are normally usec in progressions according to the models V-1, V-VI and V-IV, i.e. the authentic leap a fourth up and the two superstrons progressions, a second up and down. This is because their thirds are leading tones. 1 The seventh of dininie seveah chard will treated here athe ind of» tink chord whose rtm cenitcd gee Caper V. Tranworstio 7A dominant ix a jor triad. I a minor third replaces the natural third vhs teiad mat be ealed eon (2). (bebe = #8} 3 ~—h SUBSTITUTES AND REGIONS y ‘Avtificial Dominants (VI, OVI, YAN) The artificial minor chord on V_ preferably follows the ‘model of IV—-V in minor. But '¥-# (Ex. 32c) or FIV (32d) will also be found. ay Mote 2 ° mle v cee on Yq WY 7 wow byt Diminished iads, in the roth century, appear more frequently with the added minor seventh. The same is true ofthe artificial diminished triads on LJI, which forms successions resembling II-V, II-I and II-III of minor. 3 @ », 4, eo yt wen) uv 48 STRUCTURAL FUNCTIONS OF HARMONY The artificial dominant on II is the first of the transformation: of this degree {sce Chapter V) which are much in use, especi- ally in cadences, where they introduce either I$ or V3. 4®@ 0 a ° di ole, lo fi maf dv v2 ay INTRODUCTION OF sUBSTFTUTES Tones foreign to the scale can be introduced either quai iatonically or chromatically, Both procedures are melodic improvements of the part-leading and seldom involve a change of the degree. Quasi-diatonic introduction is best carried out in a way lar to the introduction of the seventh and sixth tones in the minor. ‘The substitute seventh tone is a leading tone and mus ascend to the eighth tone [octave]. A substitate sixth ton should not lead to @ natural sixth or seventh tone, nor should a natural sixth or seventh tone be followed by a substiture sixth oF seventh tone. Substitute tones are ‘neutralized’ by ascending, natural tones by descending (35¢). However, the natural sixth tone is combined with the substitute seventh in a diminished seventh chord (36e) Neutralization 9, o SUBSTITUTES AND REGIONS 19 30, REGIONS 1 Only four ascending and one descending leading tones ‘were used in the modes (cf. p.15). These and other substitutes are derived from the relation of a tonality to segments of it ‘which are carried out like independent tonalities: the regions, ‘This consideration serves to provide a more profound under- standing of the unity in the harmony of a piece. Tntermixing of substitute tones and chords with otherwise diatonic progressions, even in non-cadential segments, was considered by former theorists as modulation. ‘This is a narrow and, therefore, obsolete concept of tonality. One should not speak of modulation unless a tonality has been abandoned definitely and for a considerable time, and another tonality hhas been established harmonically as well as thematically. ‘The concept of regions is « logical consequence of the prin- ciple of monotonality. According to this principle, every digres- sion from the tonic is considered to be still within the tonality, ‘whether direetly or indirectly, closely or remotely related. In other words, there is only one malty in a piece, and every seg- ment formerly considered as another tonality is only a region, ‘harmonic contrast within that tonality lity includes modulation—movement towards another me and even establishment of that mode. But it these deviations as regions of the tonality, sub- ee the central power of a tonic. Thus comprehension i a unity within a piece is achieved. in gh the following chart the regions are presented by symbols an order which indicates their relationship.20 STRUCTURAL FUNCTIONS OF HARMONY : ri Gaanr or tie Reoions fen mm [> bmp a ue . a ‘on tare suo Sm g i com osm [ox t+] be bm tea Show — ast S/TM (i grey SIT dor [sD] sd dsm bam 5/Tem 7 mee Anageviarions ons Nespas 3 bee > 2 cles : TM RRS major 3 - fa binediant jar {yet medlaat mars ive fetiaat maor [2 te i capa rf wo mr ks the namie somior el Rgey ‘The first symbol always indicates the relation to the tonic. ‘The second symbol shows the relation to the region indieatedt by the first symbol. Thus: Mm reads "mediant_major's ‘mediant minor*(in C, a minor region on g#); SMsma reads “submediant major’s submediant minor” (i, a minor region ‘on £2); psmSM reads “flat submediane minor's submediant major” (in © a major region un Fp), cte “The tonics of the egioas of © major are presented below, corresponding t@ the relations shown in the preceding chart. S q 4 q q p FE EO SO BE BP ob SUBSTITUTES. AND REGIONS a ‘The regions closest related to a tonic are those in the centre of the chart: dominant region (D), subdominant region (SD), submediant region (sma) anid tonic minor region (¢). In Chapter IX the regions are classified as: 1. Clote and Direct; IL Indirect but Close; IIJ. Indirect; IV. Indirect and Remote; V. Distant. "_ReTRODUGTION OF REGIONS Among the regions which resembie the modes, three are major-like (T, D, SD) and three minor-like (dor, m, sm). The minor-like regions substitute [alter] those tones which make them similar to relative minor (sm), @, Dorian yy22 STRUCTURAL FUNCTIONS OF HARMONY Similarly, the major-like regions replace natural tones \'s, substitutes, in order to simulate major tonalities. 4), Subdemicant 2) Dominant 30. Dre +t io a Hv Sra ry @u vi Modulation from one region to another—after neutrali-a tion of cross-related tones has been carried out—is based on at least one harmeny chord} common to both regions. Whether i region has to be established by a cadence depends on is compositorial purpose. Substitute tones alone, however, will seldom suffice to establish it distinctly. Three or more of the characteristics of a region should be present. In every othe: respect the advice given for the quasi-diatonic introduction ‘of substitutes (cf. p. 18) applies here also, Iwwy w In Ex. 41 substitutes are used without the establishment of 2 region. Here, they merely produce enrichment by enhancing the part-leading. Ex. gif, which consists of the same root progressions as 41¢, does not use any substitutes, and thus illustrates how effective substitutes are in enriching the harmony. In these examples (at x) chromatic progressions are used occasionally, especially in order to facilitate melodi: partleading. zz .. SUBSTITUTES AND REGIONS 23 », ‘ Piypips eowviw 4, » x id gleileo Te weve oe vt irr asthaut substitutes eesti | dieu (es ‘CHROMATIC PROCEDURE. tic ascent produces upward leadin, 5 chi fe produces up\ ig tones; chro- ale descent produces downward leading tones. eee i ee I ee24 STRUCTURAL FUNCTIONS OF HARMONY 4, 42. $ 2 i+ vu 0 ® », a a @w iim In C major, the ascending leading tones from f {© § 0 * land ¢ to d should be written respectively Ff, g& and ef » fot gb, ab and dp. Similarly, the descending leading tone Tot be written bp between b and a, ep between € and 4 ‘Bp between a and g and dp between d and ¢. But betwoss and f the notation should preferably be accommodates fhe tonality and key signature; the f of Ex. 43) is preferable to the gp of 43a ®, a one ats Be a3 rr If remote transformations!of a seventh chord are used, 2: ge and 43d, ef might be written instead of But in tonal $3e many sharps or flats the notation is often simplified rahe Togially, irrespective of the harmonic meaning. In 42b." ~ the of in the bass is evidently the third of 1V of ma and! Mould be senseless t0 spoil the recognizability of the chord pedantcally writing dp. It is advisable not to contradic: Feysignature, and in more remote regions chromatic Sagutes should be written as ifthe key-signature were chan Note the changing notation of the same pitch at ++ (Bx intl ma vet + See Chapter V, Trensicmasions SUBSTITUTES AND REGIONS 25 Chromatic procedure, if it does not alter the hi Iie fe ribs, a prcly boil tog Pyrof the parc-leadiny. Ic is uscless if it does not render the progressions smooth. , Tn Bx. 46 chromati i I yomatic procedures, though in the form of erred cadences, express nothing else than the (onic region. Half-Cadence Thee) * Aled d\n ie rave ow eee ae aT 7. HallCadence Boge dd. Ings, 147 Sntroduction of various regions 10 the tonic is illustrated. oe ae26 STRUCTURAL FUNCTIONS OF HARMONY we 2 a. ww Vmun # Vv copter 12 Ale Og a 7 ht “ rae ad MEL @lv vy @ve ¥ Fao ah tat tate, Bah vu ee ne th atv uf spy ‘eingPTe ' In Ex. 47a, IV of T is identical with VI of sma; accordingly ‘V of sm (at x) can follow, as the g of the beginning has been neutralized. After this the harmonies are registered! in sm, Until Tof sm (at 4) is considered as VI of T. The return to Tis then carried out through #.. The cadence in this case is Tather rich because of the long extension of sa it uses suc- Sessively #7, tz, 11 and +: __ In 47b the problem of moving from SD to D is carried out lyin order to introduce one harmony common to both; Mof8D=11 of D (at x). Dor to m, as in 47i, isa longer way than one might suspect, there are not many characteristic harmonies in com- ‘mon. The same is true of all regions whose tonics are only ia Sep apart: SD to D, D to sm, etc. (See Kemotely Related fermediate Regions. p. 656) Basmonies in which one or more natural or sbitte ‘ean be employed as ascending or descending leading Terai COmsidered most characteristic. For this reason, in OFT must at once be considered as VII of dor. cay EPles which end in the tonality with which they began Icey Sotsidered as nied cadens, even if several regions asic ia considered as being temporarily in hat region}| substiute” tones follow their natural tendency, can jo 28 STRUCTURAL FUNCTIONS OF HARMONY have been passed through. Examples which do not return \ the tonality of the beginning are modulations, re Rane. r 476 d, € Ie i i ii Te he mee wo of cae Tat ning ring ‘A dominant with the futiction of VI must bea major triad yy substitute harmonies. in Ex. 47f, g ant ‘whose third is either natural or introduced quasi-diatonically Pee a SUBSTITUTES AND REGIONS ey sto the same regions are carried out, icc (Ck. p. 18). Accordingly the quasidiatonically introduce’ of dor. In some cases tinformatons have fone ‘artificial dominants on if, ITI, VI and VII (“substituting + in Exs. 46-48) which will be discussed Incr a major third and, in the case of VII, a perfect fifth also, and on I (adding « minor seventh) can function like V1 (or V-V1) within their regions (atx in Ex. 48). In contrast 10 this, an aruificial dominant whose major third is chromatia! introduced is functionally not a dominant, and the degree fourth sbove it is not the tonic of any region (at x in Ex. 48) itt rrr e a FI aia) ae ae S"Sivwwwasw ee oe FY 4 Te. w Ve ow mt wo, area iter respect relish docntsanigt ORLA toc gress a5 if'no alteration had occurred, i.e. according to ibe models V-1, V-VI, V-IV, Other progressions may appa’ free composition in order (o express some formal or emotio=\ Purpose; thus, one may find in masterworks a chromaticall produced V leading to a final I as if the former were 2 1<:! ‘dominant. But such deviations cannot be tolerated in bs: hharmonic examptes,= CHAPTER IV REGIONS IN MINOR REGIONS 1 Im establishing the relationships among the reiions iy minor,! it must be kept in mind that the minor tonality i a residue of one of the modes, the Aeolian. As such, i use> the seven tones of the diatonic (Ionian) scale, and produces al its charactenstic differences by means of substitutes. 2 mere stylistic convention, it had acquired the emoticia] quality of sadness in the vocabulary of the classical composer, in spite of the many gay folk-songs in minor-like modes From the standpoint of structural functions, « minor (nie does not maintain as direct a control over ils regions a major tonic. Thus the number of direetly related regions is small, and modulation to indirectly related regions through is relative major (M), tonic major (T}, dominant (D), etc, is definitely more remote Cnasr or mz Recions iw Mivor?® att? [v D jn iM M = + 7) tem Hem m SM | [3 con G e EB ct cf e fo +» _al At rt Peed linn a While a major tonality, ic the tonic, has at least the power of a dominant over its subdominant, such a power is denicd to the tonic of a minor tonality; a dominant most be a major triad (sce p. 16). 2 See Claslication of Regions in Minor 5 He seeratone pe - Sih erm" muperieie (GPE saints sha, the root of thi region Best Bit obar the ane Correspondngy he ent mb SShrsbuet fer indaing hat erste tis eon hwo Bf bb te tonic a oe 30 [REGIONS IN MINOR, 3 ofthe regions in the chart of minar is the reverse Tae rer vor (ee. 20). Inspite of the close relations, Ei ogee (from minor 10 major key) reqs : ol neutralization Fae aaa tne cenre of the cart must be con Aga he closest related. Nevertheless in masterworks the saat of binary of ternary forms will just as often end on Pant (D) as on v [a minor triad on the fifth degree], ly if 2 repetition is demanded to whose tonic 4 cnt leads more powerfully. Obviously the regions on GePright side of the chart arc even more distantly related than those in major on the same side. the examples, 49 a—e, demonstrate passing through the following regions: M, v, sd, D, SM and T. ¥ Hin Ex. 4ga I of v is avoided through the deceptive progres: sion to VI of v (at , ms. 4), thus facilitating the turn to M. ‘Registration ” of harmonies in two or more regions (cf. p. 27) ‘explains their relationship. In ggb the diminished 7th chord {in ms. 2) is repeated in a different natation in ms. 9 with a different meaning, a procedure very often used in ihis and following examples, not only for instructional but also for structural purposes; the multiple use of such harmonies has @ smoother effect. c Tn 4od the diminished 7th chord in ms. 5 (2<) is " registered” fn three regions; this is not uncommon for diminished 7th chord, Fl =she stsl dd ssly Oe eae Ye vi m+ we Biever aa Brit bbe ny tnt MNP pees Sy oer Oot ihe tep+ # vw d, moo 3 pt awoe g viw CS exis t t ? Me Sl ww et ee ay wre. er“eo + FeaveQi&ie oe vu CHAPTER V ‘TRANSFORMATIONS and greater variety of harmony are based on the nship between a tonality and its regions, on the sub- nt which are produced in the harmonies through the ‘of this relationship, and on the possibility of using nies in a manner different from their original derivations. ‘such chords deserve the name vagrant harmonies because n to wander nomadically between regions, if not es, without ever settling down. Nevertheless, every le El Sis. #8 a =e tion” [altered chord) must be registered as @ ng to one of the regions; thus, even seemingly will prove to be normal. «TIONS OF THE SECOND DEGREE (11) ssforreations” of the second degree result from the of D, SD and se (for subdominant minor see Vil). Under the influence of D, the [minor] third ibsttuted for, as discussed under Arifcial Dorainants by 2 major third. Substituting for the fifth of TI a tone (Of t produces a diminished triad. Most of these tions are employed as seventh and ninth chords. t oF ‘Sc both D and sd are operative. The same is the cand f, while g, the Neapolizan sixth chord, is (unchanged from sd where it is a natural VI. All the @, end f are basically ninth chords, though in their the root is omitted. Diminished’ seventh chords, re formerly considered seventh chords on natural ling tones. Accordingly a diminished seventh © minor (b-d-f-a}) would be considered to be on ‘worse, 50d would be considered as based on a d” root (ff), an asumption which must be ad 88 nonsensical. Besides the progressions VII-I and Bi Hook like deceptive progressions, while their function TEVis truly authentic. Registering every diminished 356 STRUCTURAL FUNGTIONS OF HARMONY seventh chord as a ninth chord on TI (or V, or any other Segre), root omitted, prevents it being wied as a Jachor seers and enforces consciousness of the structural functions of the root progressions. Kaigs tones can again be introduced either quas-dia tonically ot chromatically asin the following examples. *, a 4 - ST 2 Tea) Several forms of these transformations can be used in suse cent Ghromatic progressions are fefpful here. Change creation is sometimes advisable but should not obscure the reference to the degree of the scale, °, Nek Some 2 2, ‘| “The tones of the Neapolitan sixth chord appear occasions in root position. Te will then be called the Nespalion ariel (at *)- » » yevooav ® # 1s HV See 37 : ant of their fanetional similarity to the dominant dominants, transformations aj : ions appear most ressions after the models of V-1 ae et ot a Weve i © a © oP WE ef3B STRUCTURAL FUNCTIONS OF HARMONY 2, TRANSFORMATIONS a ie Progressions (¢-1y) 20) wera rw ke bb ey In 54a (*) observe the progréssion eb to e4. As eb is the ninth of TT, it should either descend or be sustained like 54e (*), ‘where it prepares the third of a minor tonic. But if @ major tonic follows it is necessary to use a silent enharmonic change treating the ep as ifit were df. In 54b (*) the succession from # (Neapolitan sixth} to 1)! ‘of the tonic minor obscures the tonie major, but might be usable in long examples. ‘Tn 54c (at *) a Ht derived from sd is followed by a natural TU,—a very harsh progression, because IIT, as T of the medion region, is very fortign to sd’ (see Cuart oF THE REDIO%S, p.20). -TRANSEORMATIONS OF OTHER DEGREES IN THE TONIC REGION Tn Bx. 55 the transformations applied to II are now applied to I, 11, IV, V, Vi, and VU. Some forms are unusable, at fest glance, “Others which also endanger the tonality migit be usable under certain compositional assumptions. Here are examined only ce most important progressions, according to the models of V-I, V-VI, and V-1V. = B | Geren) wre) © Sapgrsrong(t—vip) ‘Gee ad) 55. “ ¥, awoe vl we ww evaluate the methods of using these transforma- fing restrictions must be followed. formation does not change the degree, but some f it do scem ireconclably remote. The most decisive inst the introduction of such chords is generally are not “borrowed” from closely” related for instance, the Neapolitan of II. There is no42 STRUCTURAL FUNCTIONS OF HARMONY lose region containing a eb which justifies a Neapolitan on I ‘Ex. 55a (at *). The Neapolitans in 55¢ and d, (at *), on TV and V, may besimilanly evaluated. Because they are so remote, it is also difficult to introduce and resolve the Neapolitans on I, IV and V (Ex. 2a, b, ¢). ‘The same applies to all transformations of f, [V and V which substitute a diminished fifth Sor a perfect fifth, (see Ex. 62d at*). Its, of course, not impossible to reconcile the remoteness of such harmonies by an appropriate continuation, as in Gad, 58a, b, etc. Ex. 56c and d show that the Neapolitan sixth ‘on IT can follow, which is entirely acceptable. Traditionally, however, transformations which substitute the diminished fifth for the perfect fifth, tend to be followed by a major triad, according to the model of II-V in minor (62e).. To sum up, the following advice may be given. A succession of two harmonies which appear in remotely and indirectly related regions often produces the effect of intolerable harshness (see Remotely Related Intermediate Regions, p. 65), as, for instance, Ex. 56b( «+ ) and 5gd (x x). ‘The transformation ‘of Tin 56b first appears in the natural triads of the Neapolitan region (Dp), while the minor triad on d might be understood as Lof dor, The other case (59d) can be similarly judged. Neapolitan sixths en VI and VII (Ex. 60, 61) lead to S-chords of V and VI respectively (or to the dominants on to Which they resolve). This can be misleading, on account of the traditional meaning of a {-chord. But Ex. 6od, ¢, f and 61e, fg, show that itis not too difficult to counteract this tendency. ‘AT of any region introduced by a transformation of V (Ex. 58b) will not function as a tonic and requires a continuation which will reaffirm it. Tn cases like Ex. 57e, an enharmonic change in notation, (ab instead of gf at *), disregarding the derivation, is advisable. ‘Transformations like the preceding can be built on all degrees of all regions. Many of these forms might duplicate forms of less remote regions. Even so the number of cases would be immense. This excludes a thorough evaluation of them some progressions might be impossible, others might be “ dangerous but passable”. In Ex. 63 transformations in minor are illustrated and one ‘example of their application is added (63h). The principles “TRANSFORMATIONS 8 of their evaluation and the restrictions to be followed do not Aiffer from those of the major key. ‘Transformations ia Minor », 2 2 Pye y Hye 1 a's ifm eeCHAPTER VI VAGRANT HARMONIES VAGRANT HARMONTES Many of the transformations are vagrant harmonies because of their constitution (diminished sevenths, augmented triads, augmented §-chords and chords, etc.), and also because of their mattipte meening. ‘There exist only three diminished seventh chords and four augmented triads. Accordingly every diminished seventh ‘chord belongs to at least eight tonalities or regions, and every augmented triad belongs, in the same manner, to six tonalities or regions. 2), Dirinshed 78 Chords “| % oF without the roo, prod chords which sre Produces another boEs Sy mater 3 OY emtin Ex » By an enharmonic change in their notation, augmented {- and {chords can become dominant seventh chords , and vice versa (see Ex. 6g¢ and Ex.65a at x). Augmented 2x dominant 7 ( 3, bw “| a @iw He ev 1 ye OP, AtakVAORANT HARMONIES 7 ‘ 46 STRUCTURAL PUNCTIONS OF HARMONY & bo [pope 1 |e yeu es de veav dl * Change of interpretation—whether or not based oa the chord cconstitution—means change of the degree. From the standpoint ‘of structural functions only the roo ofthe progression is decisive But emotional or compositional conditions often require strong contrasts friction or sudden change. ‘An example of « surprise modulation can be seen in Ex. 68, from Beethoven's Bighth Symphony, The tone dp, fist derived from ad, is later interpreted as e#, V of &# minor, Beethoven: Symphony No.8 GHP Movement) 1. s 4 To base a modulation or a change of region solely on the altered interpretation of one single chord is sometimes harsh, sometimes unconvincing, as, for instance, at x in Ex. 65a, b,c ‘The Neapolitan sixth chord is, in fact, the first inversion of @ major triad. Tts progressions, H-V and ##-I, can be imitated ‘on every sixth chord of a natural or artificial major triad (at in Ex. 69). 4, » 1 ay 1) au ation has been systematically warked ou by Max Reger 10? Beltnage ur Noaulatinslehre, 903