Harmony, Function, and the Structure of Tonal Music

A personal exploration

By

James M Bruce

jim42bet@btinternet.com

If ever a musician employed the most hidden secrets of

harmony with the most skilled artistry, it was certainly Bach.

J F Agricola, 1754

Foreword

I received some formal elementary education in what is traditionally known as music

theory but not in any theory of harmony other than the descriptive naming of chords.
When I first came across augmented sixth chords I was puzzled as to how to describe
them. I soon discovered that I was not the only one puzzled. It appeared that for some
time they had been an enigma. In the literature I found seemingly contradictory
statements such as: they are Subdominant, they are Dominant, they are pre-dominant,
they are leading-note chords, even they are not chords at all. I did not find a rational
explanation and I began to realise that I had not received a fundamental rational
explanation for harmony in music. This was the stimulus for a self-led exploration
into harmony. Cost has restricted my exploration. My lack of education and
experience in this area and my limited access to publications will have imposed
limitations as to what I could achieve. But this was my exploration and I have
discovered wonderful things about music that have led me to develop a personal and,
to me, useful model of harmony. I reasoned that harmony and our tonal music system
could only arise from two things: the harmonic series and us. The question is how do
they arise from these? This essay gives my view on harmony and the source and
structure of tonal music. Much of it may have been said and understood before but not
by me. It is a personal investigation that has provided me with an explanation of
harmony, harmonic function, and the structure of tonal music. My approach stems
from nature and the notion that nature uses simple and efficient processes that, though
maybe beyond our full comprehension, are within the power and scope of our
imagination.

July, 2015
 CONTENTS

Foreword

Abstract

[1] The harmonic series

[2] Templates in the mind

[3] We are part of music

[4] The pure tone harmonic

[5] The musical tone and functional harmony

[6] A simple calculus for function

[7] Derivation of a structure for tonal music

[8] Do we have other templates?

[9] Pitch Perception

[10] Prolongation of harmonic function

[11] Functional harmony

[12] Functional regression?

[13] The Harmonic Helix

[14] Example 1. Strauss, Deutsche Motette, op. 62

[15] Example 2. Schoenberg, Verklärte Nacht, op. 4.

[16] Example 3. Bach, Allemande, Cello Suite No. 1, BWV 1007.

[17] Example 4. Analysis by Rameau.

[18] Experimental composition.

[19] Is there another way to view harmony?

[20] Conclusions

References

2
 Abstract

The harmonic series and our psycho-acoustic system are seen as the logical
foundations of music. Our psycho-acoustic system appears to have a flexible loose-fit
template based on the harmonic series. Because of this I believe that we are an
inseparable part of music. Harmony and function are derived from the harmonic series
as perceived by us. A hierarchical structure for the twelve-tone musical system is
proposed, based consistently on harmony and function. The structure rises from the
pure harmonic tone through the musical tone, major triad, major scale, and more
speculative modulation groups of increasing order. These groups are seen as harmonic
objects with function and tonal centricity. Function, a fundamental emergent property
of music, is attached to pitch for a given tonal centre and is extended consistently to
each tone of the chromatic scale. Functional harmonic progression, equi-functional
progression, and prolongation of function are identified. Harmony is shown to be so
pervasive that it can be seen as a cascade rather than a single path. The minor triad,
augmented sixth, and other chords are discussed with reference to the harmonic series
and the way our psycho-acoustic system is observed to process complex sounds.

[1] The harmonic series

[1.1] In the everyday sense of the word, what is necessary for harmony? Some
common ground would seem to be necessary to allow agreement, compatibility, or
simply tolerance of difference. I believe, as did Helmholtz (1885), that the common
ground for harmony in music is the harmonic series. The agreement and compatibility
occurs between the harmonics of musical tones. The tolerance of approximate pitch is
due to our psycho-acoustic system (PAS). This happens as we are listening, during the
time-span of our short-term musical memory.

[1.2] Vibrating objects set up pressure waves in the air that are detected mechanically
by our ears. Our neurological system then takes over and sends signals to the brain
where they are processed and perceived as sensations of sound. Some natural sounds
and especially musical sounds are composed of a fundamental frequency or pitch and
associated higher frequencies known as harmonics or partials. Our PAS has evolved to
deal with this phenomenon over millions of years. Beament (2005, p38) also tells us
that our PAS evolved to handle transient sounds typically less than 0.2 seconds
duration, equivalent to more than 300 per minute. So it is not surprising that we can
cope with a multiplicity of simultaneous fast-changing frequencies or pitches.

[1.3] Most natural objects vibrate in such a way as to create higher frequency
inharmonic partials but we may still perceive a fundamental pitch. This is why church
bells, for example, are poor at harmony but can produce acceptable melodies. Musical
tones produced by pitched musical instruments comprise partials or pure tones that are
more or less harmonic. The harmonicity of variable-pitch musical instruments has
been greatly improved over the past few centuries so that they can produce
compatible harmonics and acceptable harmony (Beament 2005, p35).

[1.4] For stringed instruments, such as the violin, guitar, and piano, the strings vibrate
in various configurations. This is a natural physical phenomenon, as we will see, we
can also express it mathematically. Nodes that divide the string into vibrating sections
are automatically produced at regular intervals along a string. Nodes are also

3
produced in wind instruments but they are easier to visualise in strings. Because a
string vibrates between two fixed ends the nodes are constrained so that only an
integer number of half-waves are formed. A string with good harmonicity vibrates
simultaneously as a whole, in two equal parts, in three, and four, etc. Since the
frequency of vibration is inversely proportional to the vibrating length of the string we
find that the musical tone sounded has a set of simultaneous frequencies known as the
harmonic series. This can be expressed mathematically. If the lowest or fundamental
frequency is f then the mathemmatical, ideal harmonic series is:

1f, 2f, 3f, 4f, 5f… Where the numbers indicate integer multiples of the
fundamental frequency.

[1.5] Normally a string will vibrate simultaneously at many frequencies so that many
harmonics are produced. The higher the harmonic the more likely it is that the relative
amplitude, or strength of the sound, will progressively diminish. Some researchers use
harmonics only up to the 7th, 9th, or 11th in their calculations. The assumption being
that we can probably discount higher harmonics of musical tones because the
amplitudes will normally be small. Musical instruments also produce a distribution of
frequencies that may be inharmonic but are typically much weaker than the
fundamental and its harmonics.

[1.6] Halving the string length doubles the frequency and this gives a tone an octave
higher. Thus 2f, 4f, 8f, 16f, and so on, create successive octaves of the fundamental
frequency f. These tones, starting with the fundamental, are called the 1st, 2nd, 4th, 8th,
and 16th harmonics. The 3rd harmonic produces an interval of a perfect fifth with the
2nd harmonic; the 5th produces an interval of a major third with the 4th.

[1.7] Most of the lower harmonics can be closely approximated with pitches of the
equally-tempered scale (ETS). In the ETS the pitch frequency of each semitone is a
constant multiple of the preceding frequency. The ratio for a semitone is 21/12 = 1.059.
This leads to an imperfect matching of an arithmetic series (the harmonic series) to a
geometric series (the ETS). Our PAS shows tolerance and finds the ETS satisfactory
for practical musical purposes. Harrison (2010, p238) appears to think that tempering
obscures or destroys the acoustic foundations of harmony. Perhaps this is why he pays
little attention to the harmonic series, the source of harmony and function. Inharmonic
partials may also be considered as a multiple of the fundamental, for example: 5.06f
or, if the fundamental were C, as 5.06C. This has a pitch of E on the ETS. I shall
assume octave equivalence throughout, although this assumption may be challenged.
The only justification I offer is that it appears to be satisfactory. Parncutt (1989,
pp47,62) says that musical tones exhibit octave ambiguity. Where register is
considered it will be clear from the context.

[1.8] When the musical tone C is sounded, a set of pure tone frequencies, or pitches,
are produced as harmonics. I believe that it is the sounded musical tone, as a set of
pure tone harmonics, and the autonomous processes of our PAS that enable sensations
of harmony and function: Subdominant, Tonic, and Dominant. This will be developed
later. Periodicity, the reciprocal of frequency, may be processed by the PAS but
frequency is easier to conceptualise and I have found it adequate.

4
[2] Templates in the mind

[2.1] Perhaps this is a strange heading but it is something I need to discuss before
taking up harmonics again. My assumption is that we have evolved an autonomous
subconscious mind and a conscious mind. These two minds interact. To save time the
subconscious mind has evolved the ability to create templates for things in the world
so that it can rapidly recognise those that are met frequently. Necessarily, and for
efficiency, a template will be as simple, flexible, and as loose a fit as possible,
consistent with biological effectiveness. Necessarily, because we often meet
essentially the same things that are, however, different in detail. For safety, for
example: auto-mobiles, as a class, must be quickly recognised from many
perspectives. As well as complex visual and aural templates for things encountered,
elementary things like lines, squares, triangles, and circles will have templates in the
modern mind. But the templates will have evolved to be the minimum necessary for
effectiveness. We recognise triangular shapes even with rounded corners and curved
sides. So we should not be surprised to learn later that we tolerate approximations in
music too.

[2.2] Our need to apprehend sound will have influenced the evolution of our mind as
a tool-kit. Our musical templates may be peculiar to the individual and learned, but
only a by a mind with that evolved capability. We have the basic tool-kit for sound but
to interpret music the subconscious may have to learn as we go. In addition to
templates, we have a short-term musical memory of 2 to 5 seconds (Parncutt 1989,
p28). The great majority of us can also hold a melody in our long-term memory and
produce it even years later, often in the key that we heard it. So the subconscious can
remember pitch, sequence, and temporal distribution of sounds. We observe the
effects of memory despite not knowing what it is or how it works.

[2.3] Given our evolved templates for sound and for music, I believe that we are
consequently an inseparable part of music. I do not know what our templates are or
how they work and quite possibly this is beyond anyone’s current conception. I
believe, however, that our mind interprets musical sounds as if it had a loose-fit
template based on the harmonic series. All theories are provisional. Newton’s theory
of gravity is such a model; he did not know what gravity is. But this does not prevent
the effective use of his theory. Similarly, not knowing how our mind works need not
stop us from proposing a theory and finding out if its consequences are useful.
Besides, my prime interest is in a theory of functional harmony, not in how the mind
works.

[2.4] The sounds of music enter our ears as many simultaneous and sequential
harmonics. What we become aware of is organised into music and sensations that we
find difficult to define, such as: pleasure, surprise, interest, and other emotions. So
harmonics are indisputably a fundamental part of music. Theoretically all musical
tones contain all the pure tones. But the strength of the harmonics in the series
diminishes rapidly so we may not sense or use most of them. Our PAS will also be
economical with the size of its template and as loose with its requirements for fit as
consistent with effectiveness. That there is something in us that is turning the
harmonics into the sensation of music is also not debatable. We may not know what it
is, or how it does it, but this does not make it mythical or mystical; it happens; it is

5
physical. It is neither whimsical nor futile to look for, or to speculate on, the process
and its consequences.

[3] We are part of music

[3.1] Mechanical vibrations in musical instruments set up a train of pressure waves in

the air. Within a certain range of frequency or pitch our ears respond to these. This
sensory stimulation is processed by our autonomous subconscious PAS with its
templates. This system presents to our conscious awareness a perception of music. So
it is clear that we are an important part of the process that culminates in our
perception of music. The evolution and development of our PAS is key to our
perception and appreciation of music. We are an integral part of music.

[4] The pure tone harmonic

[4.1] A harmonic is a single frequency or pitch, a pure tone. The pure tone is the
quantum of pitched sound because it is not divisible into smaller components. A
solitary pure tone would rarely occur in nature although we can approximate them
using technology. We know, therefore, that we can hear and perceive the pitch of a
single pure tone. This may be the basis of an elementary template in the subconscious
mind. But because pure tones naturally occur together (as harmonics in the musical
tone) our PAS has evolved to deal with many pure tones simultaneously. In music, at
least, it appears to aggregate them in some way, with an economical template, before
presentation to our consciousness. I believe we have a loose-fit template based on the
harmonic series.

[4.2] We will write the pure tone of pitch C as <C>, reserving C to indicate the
musical tone shown by a note on a music score in the conventional sense. For our
purposes, we will think of a musical tone as a harmonic series with the strength of its
harmonics typically reducing quite rapidly as the harmonic number increases.
Different instruments produce different distributions of harmonic strengths and
extraneous frequencies. The clarinet, for example, produces the odd-numbered
harmonics with greater amplitude, giving it its characteristic timbre.

[5] The musical tone and functional harmony

[5.1] For millennia we may have perceived the musical tone as an indivisible natural
sound. Now we know that a musical tone can be thought of as a harmonic series of
pure tone pitches sounding simultaneously. Using the pitches of the ETS we can
write, approximately anyway, the first ten pitches of the harmonic series for C as:

C = <C, C, G, C, E, G, B, C, D, E>

[5.2] There are harmonic series for all fundamental pitches so how does a musical
structure arise from this infinity of musical and pure tones. It appears that pure tone
harmonics are combined by our PAS to form chords of pure tone that we perceive as
musical tones (Beament 2005, pp38,45, Parncutt 1989, p29, Yost 2009). When
presented with a complex sound our PAS does not necessarily know which harmonics
are associated with each other; it has to work this out.

6
[5.3] Beament (2005, pp42,45) tells us that we perceive the sensation of the
fundamental pitch and another sensation caused by the combination of the harmonics
that I shall call the harmonic texture. For example: the C major and C minor triads,
and the C7 chord may all give the same fundamental pitch sensation of <C> but the
harmonic texture differentiates the sensations. Some people also learn to hear the
individual musical tones of a chord. In my thinking I differentiate the harmonic
texture from timbre but, since I do not know exactly what either is, I might be wrong.
Fortunately this has no impact on the conclusions presented here. Beament (2005,
p51) said that the 7th harmonic, and higher, typically creates buzz and hiss. This
suggests that the clear sensation of a musical tone may be produced using only the
first three harmonic pitch classes <C>, <G>, and <E>. We may have developed a
template for the harmonic series based on this simplification.

[5.4] Our PAS assimilates the pure tones of the harmonic series to present to our
conscious mind a musical tone as a single pitch sensation, the fundamental. Beament
(2005, p46) says that we could think of the fundamental as a narrow pitch band due to
the varying harmonics in real sounds. This suggests that our PAS is tolerant of
imprecision because it is inherent in real sounds. We identify the musical tone
according to the pitch of its fundamental. Therefore, I believe that the harmonic series
and this autonomous process are the basis of harmony and function. We shall see later
that for the musical tone C with lower harmonics <C, E, G, B> that E, G, and B all
have Dominant function if the fundamental <C> is Tonic. In the harmonic series
function is already present, giving the direction of pitch assimilation. The directional
assimilation process is the prototype for functional harmonic progression. Functional
assimilation of pitches seems to be something that we do to simplify reality. Harrison
(2010, p307) noted “the perception in North America that function is something brittle
and useless.” On the contrary, I believe that function is a basic structural feature of
tonal music. It is inherent in the musical tone and our process of assimilating it.
Without the action of our PAS the musical tone would simply be what it is, an ordered
sequence of pure tone pitches. Function is not something that we consciously impose
on music it is already there when music is presented to our awareness. It is an
unavoidable, unequivocal, fundamental property of tonal music, and a confirmation
that we are a part of music.

[5.5] Clearly we discriminate between higher and lower pitch but how do we manage
to relate different specific pitches to produce a system of tonal music? If our PAS used
the first two harmonics of a musical tone as a template then we would have a set of
tones separated by octaves. Such a group of tones might suffice for musical sounds
but falls far short of our current musical scheme of twelve tones and would fail to
have any linked relationship with other pitch classes. The octave is a vital part of our
music but would only provide a system with a large pitch interval and no functional
structure.

[5.6] Consider the musical tone C and its pure tone fundamental <C>. Our PAS
would perceive, at some time, that the musical tone F was in harmony with C. The
musical tone we call F has <C> as its third harmonic, the lowest possible pitch other
than an <F>. Similarly it would perceive G in relation to C. The entire harmonic
series for C fits exactly over every third harmonic of F, and G does the same in C. It is
as if C were coming home to a favourite armchair. It is the best fit possible other than
the unison and octave, and significantly it provides a linking relationship between

7
pitch classes. When I first saw the harmonic series of C I was surprised that F, the
important Subdominant tone, did not appear on published lists until the 21st harmonic.
This is probably too weak a harmonic of a normal musical tone to be perceived. The
harmonic <F>, therefore, appears as a weak part of C but <C> is a strong part of F,
just as <G> is of C.

[5.7] From this we can see that the first three pure tones of the harmonic series
provide a pattern of pitches that links musical tones. This pattern defines the structure
of our tonal music. The pattern providing the linking relationship is the interval of the
perfect fifth. We see that the perfect fifth is inherent in nature and the simplest
possible pattern that offers a systematic linking relationship between pitch classes.
The pitch that has the same relationship with C, as C has with F, is G. The pitch <C>
lies within F, and <G> lies within C. Extending this relation produces what we call the
circle of fifths in pitch class. The circle of fifths defines the relationship between all
twelve tones of our ETS chromatic scale, in the strongest functional harmonic order; a
simple derivation from the harmonic series.

[5.8] Risking over-simplification, I think that the 3rd harmonic is used as the basis of
a pitch relationship by our PAS because it is the lowest harmonic that links the
greatest number of pitch classes. These are represented by the 12 pitch classes of the
tones of the ETS chromatic scale. This phenomenon is possible courtesy of a closely
approximate mathematical coincidence and our tolerance of imprecision in pitch. The
2nd harmonic cannot produce a link to other pitch classes. It will produce only octaves.
Using the 5th harmonic of C produces only three linked pitch classes, A(G#), C, and
E. These three pitches form one of the four distinct augmented triads with major third
intervals. The major third is, however, an important and ubiquitous harmonic
progression. It is used, often with the augmented triad in modulation, to leap 120
degrees around the circles of fifths and minor seconds, the latter being the chromatic
scale. Using the weaker 7th, <B>, harmonic of C produces a cycle of only six linked
pitch classes. This group of six is one of the two distinct whole-tone scales. The 3rd
harmonic is, therefore, the lowest and strongest of the significant natural harmonics
that provides the largest set of related pitch classes. Besides, we shall see shortly that
the augmented triads and the whole-tone scales, with functional harmony at their
origin, exist as functional cycles contained within the circles of fifths and minor
seconds.

[5.9] Let us look more closely at the primitive group of musical tones FCG. C
progresses harmonically to F because all of the harmonics of C can be assimilated to
the 3rd harmonic of F, and its integer multiples. We call this harmonic progression by
perfect fifth. It is the primitive and strongest harmonic progression and the origin of
our twelve-tone system. C can also progress more weakly to D as the 7th harmonic.
Similarly, F with its harmonics can progress to G because F is the 7th harmonic of G.
This is progression by major second. We have seen that G progresses to C by perfect
fifth. The weaker harmonic progression from F to G creates asymmetry. C is
distinguished by being the only tone in our primitive group to progress (to F) by
perfect fifth and to assimilate (from G) by perfect fifth. I believe that this is the origin
of tonal centricity. Each tone functions differently as a channel for harmonic
progression within the group. FCG is not, however, just a primitive group for the
development of our twelve-tone system and tonality; I believe it is also a primitive
group for functional harmonic progression. A process, in our PAS, is operating to

8
produce the harmonic progression of one musical tone into another similar to that
used to assimilate the harmonic series to a single fundamental pitch.

[5.10] I reserve bold capital letters T (Tonic), S (Subdominant), and D (Dominant) to

indicate harmonic function. Although I use the traditional terms for the functions they
are defined by harmonic progression not by the diatonic scale degrees: one, four, and
five. Scale degree does not define function; pitch defines function for a given tonal
centre. Function is already assigned to pitches by virtue of fundamental harmonic
relationships before a scale is even defined. The primitive function cycle is TSDT. We
recognise this as our typical strong cadence. It seems that we get so much from so
little.

[5.11] It is a simple extension from our primitive group to allocate function around
the circle of fifths (Figure 1). Also shown is the chromatic scale around the outer ring
of Figure 1. For a C tonal centre, Figure 1 generalises the allocation of function to all
scale degrees. I retain the T, S, and D nomenclature, it would be difficult to change
this established custom. This is quite consistent with the accepted notions of
secondary Dominants and parallel Tonic substitution. Circumnavigation is the only
way to return to the same tone using only perfect fifth or minor-second harmonic
progression. For a more flexible development of harmony and modulation in our
western music it is essential that we have other means of progression; fortunately, we
do.

9
[5.12] Harrison (2010, p24) says that diatonicism is largely responsible for our ability
to perceive harmonic function and tonal centricity. I believe that the inverse of this
statement is nearer the truth. The development above shows that harmony, harmonic
progression, function, cadence, and tonal centricity are all progeny of the harmonic
series, and, as we shall see later, so is the major scale. The major scale appears as one
level in a structural hierarchy but harmony and function are more primitive features of
music than the scale. Diatonicism is simply a description of the way we label the
musical tones of a major scale. It appears to me to be neither responsible for nor
explaining anything. Harrison (2010, p35) says that the chromatic scale can be
thought of as a combination major and minor. But why would one think in that way?
What would be the benefits? The chromatic scale derives from the harmonic series
without consideration of major or minor. It is the minor scales that are synthesised
from the chromatic scale, not vice versa. I will often refer to Harrison (2010) to
illustrate that, even in the 21st century, different and sometimes colliding views and
conclusions exist on scales and harmonic function. Harrison (2010) is the latest book
with harmonic function in the title that I have read.

[5.13] When we sense expectation of harmonic continuation in music, is it function

or pitch that we expect? Maybe both, but function appears to be the more fundamental
organising structure with the consequence that different pitch classes can be grouped
as having the same function. For example, we shall see later that the close relationship
between C and A (expressed often using major and minor) exists because they have
common lower harmonics, each is an acceptable approximation of a lower harmonic
of the other, and they have the same function. No matter what the tonal centre, even if
there is no discernible tonal centre, they share a common harmonic function.

[5.14] The potential loose fit of subconscious templates enables us to compromise

and tolerate approximation in pitch. This is exemplified by the human invention of the
mathematical structure of the equally-tempered scale. This allows the simplification
of a spiral of fifths to a circle. This was a conscious mathematical development in
music that is extremely useful. It is an acceptable compromise that liberates tones
with enharmony (assumed throughout here). We now understand musical pitch to be
more flexible than previously thought. The cyclic extension, throughout our twelve-
tone system, of the functions S, T, and D in Figure 1 allows us to apply consistently a
generalised notion of structural functional harmony. The cyclic distribution of
function also applies to the tones of each augmented triad and the whole-tone scales.

[5.15] I cannot explain why we perceive a satisfaction or pleasure in the harmony of

the perfect fifth, or any other progression. We may not understand this until we know
more about the brain. I have no doubt that we will eventually understand this.

[5.16] The simultaneous sounding of some of the lower harmonics in a series

produces a strong fundamental pitch sensation and harmonic texture (Beament 2005,
p45, Yost, 2009.) The idea of fundamentals and harmonics being assimilated into, and
reinforcing, another fundamental and its harmonics will be important later in our
discussion.

10
[6] A simple calculus for function

[6.1] We may come across expressions such as Dominant of Dominant, or D of D.

This section presents a simple calculus to determine the resultant function of such
expressions relative to the initial tonal centre. If we assign the integer values for
function as T = 0, S = 1, and D = 2 we can calculate the resultant function of
combinations or chains of function. The formula is:

Integer value of resultant function = (sum of the function integer values)mod(3)

where mod(3) is a process that produces the remainder after dividing by 3. Thus:

D of D is interpreted as D + D = 2 + 2 = 4mod(3) = 1 = S

S of S = 2mod(3) = 2 = D

An example in even more compact form is:

DSSD = 6mod(3) = 0 = T

[6.2] All T functions, including the implied trailing T, can be omitted as they have
zero value. Furthermore, the order of functions is immaterial, the same total and
function result so that:

DSD = SDD =DDS = D

[7] Derivation of a structure for tonal music

[7.1] Sounding only the three lower harmonics of different pitch of a harmonic series
is sufficient to produce a strong sense of a musical tone. The application of the
template of the perfect fifth above and below the tone C produced the primitive
functional group of overlapping musical tones FCG, and this has been extended to
produce the circle of fifths, our complete tonal system.

[7.2] The close-order major triad mimics, at the musical level, the 4th, 5th, and 6th
harmonics of the harmonic series of its fundamental. The first six harmonics of C are
<CCGCEG>. Our PAS presents the simple arrangement, CEG, to us as a pleasing
harmonious sound. It would seem that we are simply and economically using a
harmonic template at the musical level to strengthen the harmonics and hence the
sensation of fundamental pitch, and to enrich the sensation of the harmonic texture.
The major triad contains the intervals of perfect fifth, major third, and minor third, all
appearing naturally in the harmonic series. These intervals form the basis of the
Harmonic Terrain introduced later. Should remove minor third. I think the major triad
is the superposition of major 3rd and perfect 5th, the minor 3rd is an artefact.
[7.3] The functional major triads FAC, CEG, and GBD can now be seen as musical
enhancements. The tonal overlapping of the triads preserves the overlapping pattern
of the musical tones in our primitive group FCG. Just as the musical tone is a stronger
and richer expression of a harmonic so the major triads are stronger and richer
expressions of the musical tones F, C, and G in our primitive group. For example: in
CEG the harmonics <E> and <G> are promoted in strength to musical tones with their

11
own harmonics. This may reinforce the sensation of the fundamental or tonic pitch
while adding to the richness of the harmonic texture.

[7.4] The three major triads concatenate and overlap to form the major scale. We will
now use a more compact notation for the musical major triad. Thus:

(C) = CEG, (F) = FAC and so on.

[7.5] Gustin (1969) envisioned a hierarchy of levels for the harmonic structure of
music based on tonality and demonstrated how this might be applied in analysis. She
said that we could combine major scales and minor scales to form higher order scales.
She showed examples of how this might be applied in analysis.

[7.6] In the present development of a hierarchical structure for tonal music the first
level is the musical quantum, the pure tone harmonic. Pure tones are grouped
naturally to form harmonic series that we perceive as musical tones, the second level.
The musical tones group to form major triads, the third level. The major triads group
to form major scales, the fourth level. I have confidence in this idea for the source of
the major scale, this has been known for a long time. This seems to set tonal music
firmly on the foundation of the harmonic series. What follows is more speculative. Do
major scales group to form a higher level entity for which we have, as yet, no name?
A common factor, at every level, is that a group would have a perceived tonal centre.
We may imagine that this idea could even give tonal centricity to large musical works.

[7.7] We now write the major scale [C] as:

[C] = (F)(C)(G) = FACEGBD

This shows clearly how the scale is formed from three overlapping concatenated
triads. The triads are formed on the members of our primitive group and are known as
the Subdominant, Tonic, and Dominant triads. The major scale is the first group in our
structure that enables all functional harmonic progressions between the triads. The
pattern is that of our primitive functional group; now it is a triad of functional triads.

[7.8] Now we apply the same process to concatenate three overlapping major scales
into one group. It is not difficult, even expected, to see that the scales

[F] = (B)(F)(C) and [G] = (C)(G)(D) each overlap the scale [C] = (F)(C)(G).

We now define a first-order modulation group of three concatenated overlapping

scales

{C} = [F][C][G] = (B)(F)(C)(G)(D)

[7.9] This first-order modulation group, a triad of major scales, is a minimum

modulation group because it is the first group to have the potential of modulation
from the key of C major to the other keys F and G major. It is identical to
Hauptmann’s triad of keys discussed by Harrison (2010, p225). By analogy with the
previous groups we may think of this group as having the tonal centre C and the three
scales of the group, [F], [C], and [G], as having S, T, and D function. This

12
consistently extends the idea of function in music through musical tones and triads to
major scales. Harmonic progression and modulation express function at different
levels in our hierarchy. In this context modulation is seen as a higher level equivalent
of tonal and triadic functional harmonic progression. We could cover the entire circle
of fifths with four first-order modulation groups each of three major scales. These
four groups would be {C}, {A}, {G}, and {E}. With C as global tonal centre these
four groups all have T function. This is exemplified by the well-used minor third
modulation between C major and A minor keys. These modulations are equi-
functional, meaning: having the same function. This is a distinct form of harmonic
progression where there is no change of function. We will meet this later.

[7.10] The first three different pitches of a harmonic series form a musical tone. The
three corresponding musical tones form a triad, three triads form a scale, and three
scales form a first-order modulation group. More speculatively, what would we expect
to find above a first-order modulation group? Following our pattern we would expect
to find a second-order modulation group containing three concatenated first-order
modulation groups.

[7.11] Using the same process we concatenate and overlap three first-order
modulation groups to yield a second-order modulation group:

|C| = {F}{C}{G} = [B] [F] [C] [G] [D] = (E)(B)(F)(C)(G)(D)(A)

We can see this second-order modulation group as a triad of first-order modulation

groups, five major scales, or seven triads. It still has its tonal centre on C and now
allows modulation between the three first-order groups encompassing five major
scales. The second-order group has function preserved within it by the three first-
order groups. This second-order modulation group contains all the musical tones of
the harmonic minor scales of B, D, E, G, and B.

[7.12] Schenker’s C major-minor scale listed by Hyer (2010, p739) has exactly the
same tones as the second-order modulation group |B| although there is disagreement
on the group’s tonal centre. It requires a third-order modulation group to contain the
scales of C major and C minor with C as Tonic. Schenker's C major-minor scale
appears to be modes and scales superimposed. This may have been motivated by
intuition or, perhaps, a target set of tones. Nevertheless, it is an interesting
convergence or coincidence.

[7.13] The same structural process on the primitive FCG pattern may be applied to the
next stage. This gives a third-order modulation group that is a functional group of
seven major scales:

*C* = |F| |C| |G| = [E][B][F] [C] [G] [D] [A]

This group contains all twelve tones of the chromatic scale and, therefore, all lower
order groups and all scales. We could continue by like increments to higher groups but
nothing new would be revealed. We have just described a functional harmonic
structure for tonal music based on the harmonic series and the derived primitive
functional group FCG. The idea of tonal centricity is maintained.

13
[7.14] In this development, so far, we have consistently used the strongest functional
fifth progression which may not give the shortest modulation pathway between some
keys. We have also discussed the equi-functional minor third progression as a means
of efficient modulation. We can consider a similar process, using the functional major
third progression, to arrive at a group that will consist of three second-order
modulation groups. This functional third-order group with its three concatenated
overlapping members is:

*C* = |A| |C| |E|

This group covers the complete circle of fifths and provides different modulation
pathways. We need seek no higher order groups. The third-order modulation group
*C* encompasses all musical tones, triads, scales, and the first and second-order
modulation groups with <C> as the tonal centre. There are twelve identical structures
each with one of the twelve chromatic notes as its tonal centre. This is the entire
structure of tonal music developed according to nature’s simple pattern based on the
harmonic series and its inherent function. Consistently, we describe the three second-
order modulation groups, |A|, |C| and |E|, as having S, T, and D functions. The notion
of function is, therefore, maintained throughout. The augmented triad ACE is often
used for modulation purposes.

[7.15] Function is pervasive in tonal music. For a tonal centre C the three sets of four
notes, always allowing for enharmony, grouped by function in Figure 1 are shown in
Table 1.

Table 1. Functions of the three sets of four notes for a tonal centre C

Function Tones
S A B D F
T C E G A
D E G B D

[7.16] In Table 1 the tones in each row form the diminished seventh chords. There are
only three distinct diminished seventh chords and they have S, T, and D function
within a tonal context. The diminished seventh chord has many potential
fundamentals and is cyclical. It can be entered, in harmony, as having one
fundamental and left as having another. The effective fundamentals, however, may not
be those of the sounded tones of the chord. For example: there are four virtual
fundamentals of the S function diminished seventh chord A(G#)BDF. These are
<E>, <G>, <B>, and <D>, the pitches of the D function diminished seventh chord.
These four un-sounded fundamentals are known as virtual fundamentals but can be
perceived as equal in musical importance to real or sounded fundamentals. For
example: the close order major triad CEG has a sounded fundamental, so we call the
fundamental real. Virtual fundamentals are not sounded but they are observed
electrically to be present in the brain. They are, therefore, perceived as real. This is
another example of our PAS being part of music. The plurality of potential
fundamentals enhances the ambiguity of the diminished seventh chord and its well-
known use as a pivot chord for modulation.

14
15
Figure 2 Harmonic Terrain
[7.17] The function cycle is a pervasive motif within the structure of tonal music. It is
an emergent phenomenon and lies close to the heart of harmony and tonal centricity.

[7.18] At one time I thought I would like to create a diagram of harmony, without
having any idea of what this might be. The idea of treating intervals as vectors came
to mind, with triads and chords taking the form of vector sums. I took the intervals CE
and EG as orthogonal vectors. I was thinking of CE as 4 semitones and EG as 3
semitones. I saw immediately that this did not lead to any vector interpretation but it
led to something else. Continued extension of the diagram led to the Harmonic
Terrain shown in Figure 2. It turns out that placing one tone at an intersection of the
lattice sets the complete pattern. The tones on the Harmonic Terrain are to be taken as
pitch class and enharmonic.

[7.19] I discovered later that the Harmonic Terrain is called a tonnetz. It is similar to
the tonnetz of Hostinský referred to by Hyer (2010, p737) and that of Riemann,
referred to by Rehding (2008, p48 et seq.) An elementary section of the Harmonic
Terrain is shown in Figure 3.

[7.20] On the Harmonic Terrain the main diagonals, falling from left to right, contain
circles of fifths. The rising main diagonals contain chromatic twelve-tone scales. We
can imagine the elementary section wrapped both vertically and horizontally to form a
torus in three dimensions. The main diagonals each twist four times around the torus
visiting each tone once. One has a right-hand twist, the other a left-hand twist. The
steeper diagonals on the Harmonic Terrain reveal the two distinct whole-tone scales.
That these fundamental musical objects, all ordered functionally, appear on a simple
geometry is intriguing. Chords of different kind are represented by a unique shape on
the Harmonic Terrain. Some shapes of common chords are illustrated in Figure 4.
Rehding (2008, p50) noted how easily harmonic relations could be visualised on
Riemann’s grid independently of the diatonic scale and was struck by the sheer
number of possible harmonic movements. So why did he then say, because of this,
that it does not explain anything? Would he have been more receptive if it had offered
less? He misses the point; it is precisely the ubiquity and structure of harmony that is
explained.

16
17
[7.21] The rows of the elementary section of the Harmonic Terrain are the four
distinct augmented chords and the columns are the three distinct diminished seventh
chords. What a compact arrangement it is. I sensed an association of the columns of
the elementary section with the harmonic functions D, T, and S but I could not
initially rationalise this intuition. Later, after I had developed my ideas on function
that led me to a structure for tonal music, I saw that the two approaches, one
hierarchical the other topological, supported each other. They were two different but
compatible ways of looking at the twelve-tone system. Like slicing an onion in
different ways, this reveals different internal patterns of the same object. I felt that this
strengthened the case for extending function around the circle of fifths, and cyclically
across the columns of the Harmonic Terrain, and supported the idea of function as a
primitive property. Functional labelling of the columns of the Harmonic Terrain
depends of course on the tonal centre. The four tones in each column in Figure 5 take
on the same harmonic function just as we saw on the circle of fifths.

[7.22] That harmonic function also cycles through the chromatic scale is easily seen
on the Harmonic Terrain because the chromatic scale is ordered along a diagonal. So
function is allocated to the chromatic tones as in Table 2, in agreement with Figure 1.
The circle of fifths and the chromatic scale are the only cyclic twelve-tone groups that
exhibit functional cycling in this way.

Table 2. Functions of the tones of the chromatic scale

with tonal centre C

C C D D E F F G G A A B
D E G A B
T D S T D S T D S T D S

[7.23] Table 3 summarises the derived hierarchical structure for tonal music. Within
our twelve-tone system function is associated with the pitch of the harmonics,
fundamentals, and tonal centres of tones, triads, chords, scales, and higher groups. In
many instances triads and chords have clear fundamental pitches and we attach the

18
function to these triads and chords. It is, however, the fundamental pitch of these
musical objects that carries function, not the assemblies; chords with the same
fundamental pitch will exhibit the same function relative to a tonal centre. The
sensation of chord function is experienced because the individual tones, and their
harmonics, are assimilated harmonically and functionally to the fundamental of the
chord. Depending on its composition a chord will sound more or less harmonious. We
shall see later that the cadential six-four chord can have an effective D function
fundamental although the apparent triadic origin would imply T function. The
apparent function for a chord depends on its perceived effective fundamental, real or
virtual, and that may depend on context.

[7.24] Harrison (2010, p50) says that triads and chords have multifunction depending
on their constituent tones. For a C tonal centre, he also says that E expresses T
function unambiguously and authoritatively under any circumstances. I agree that
chords may contain tones of different function but I do not accept for a tonal centre C
that E has anything other than D function. E has D function even as a component of
the tonic triad CEG, even as a harmonic of the musical tone C. Because the Tonic
major triad is the only one that contains E, Harrison decided that E must express T
function. But, recoiling from the idea that the fifth degree (his defining degree for D
function) switches from D to T function within the Tonic triad, Harrison (2010, p55)
says that it becomes functionally inert. Harrison (2010, p40) also says that B
certainly indicates a local S function or attitude in a C major context. (The term,
attitude, is used metaphorically within Harrison’s dualist theory.) I disagree, a
fundamental B has D function for a C tonal centre.

[7.25] Within Harrison’s dualist theory flattening is equated with subdominance. It is

true that we may view all S tones as flattened T tones in the chromatic scale, but B is
doubly flattened from C. I can go along only so far with Harrison (2010, p42) when
he says: “harmonic function resides in the scale degrees that make up chords.
Analysis, then, involves an…act of dissolving a chord, of disassembling it into scale-
degree components.” To do this, however, it is necessary to allocate function
correctly. Harrison thinks that function arises from the scale degree although he seems
to be not altogether comfortable with this (2010, p44 et seq.). I think that, for a given

19
tonal centre, function arises from the fundamental pitch of a musical tone. These two
views are not the same. For example: the third degree has different function in the
major and minor keys. Harrison (2010, pp55,56) says that the second degree of a scale
(major and minor) is entirely dedicated to D function and even describes it as a unique
D entity. So far as I understand Harrison, I must disagree. The second degree of a
major scale has S function; it is a well-known Subdominant substitution. I also
disagree with Harrison (2010, p53) when he says that it need not be doubted that the
sixth degree of the major scale communicates the S function. Within the scheme
proposed here it has T function; the sixth degree of a major scale is well-known as a
Tonic parallel or substitute.

[7.26] Harrison (2010, p285) is astounded that Riemann should assign the possibility
of T function to the chords EGC# and C#EGA within the context of a C tonal centre.
A look at the Harmonic Terrain in Figure 2 will confirm that Riemann has it right. The
salient function for these chords is T. Unfortunately, Harrison does not tell us why
Riemann is wrong or what function he thinks these chords ought to have.

[7.27] Harrison (2010, p52) asserts that functions have modal preferences. But,
apparently realising the difficulties inherent in this notion, says: “….I understand
Tonic function to be modally neutral and able to express major and minor tonalities
with equal competence, as befits a central element in a three-termed dualism. The
non-Tonic functions, however, have decided modal preferences.” This leaves me
bewildered especially when he says later on the same page: “Despite the preferences
that functions show for certain modes, they are able to express their function in the
opposite mode, although with some loss of power”. Harrison (2010, p52) sees the
recognized cadential strength of the major 7th degree in the Dominant seventh chord
when used in minor mode as an example of functional preference for mode. I could
hardly disagree more but I will postpone my explanation until later in section [9]. It
should be abundantly clear by now that Harrison’s view of function is remote from
mine.

[7.28] The above discussion illustrates divergence of theoretical opinions as regards

harmonic function. These are especially acute when the acoustic phenomenon of the
harmonic series, the foundation of music, is disregarded or dismissed. I am not
implying that musicians, listeners, or composers need to understand or even know
about the harmonic series; a scenic route may be planned, enjoyed, and a car well-
driven without any knowledge of thermodynamics or mechanical technology.

[8] Do We Have Other Templates?

[8.1] Earlier I discussed the harmonic series of a musical tone and that our PAS has
developed a template for it. At least, our PAS appears to process musical sounds as if
it had a template. This leads me to speculate on the possibility of other templates for
other musical structures. Parncutt (1989, p49) says that our perception of music is
seen as a process of pattern recognition based on familiarity.

[8.2] The next level up from the musical tone is the pervasive major triad. I have
assumed that we use the harmonic series as a template for the major triad. But could
our PAS have developed, through experience, a template based directly on the major
triad? For CEG the first six partials would be <C, E, G, C, E, G>. This template has

20
the same set of pitch-classes as the first six of the harmonic series for C. It is only the
2nd harmonic that is different, an <E> for a <C>. It is more compact in pitch range
than the harmonic series and the partials have a different array of relative strengths so
the harmonic texture would be different from that of a musical tone. Clearly it would
have a strong C fundamental; it also contains sequences of first and second inversions
of the major triad.

[8.3] We may be capable of forming templates for other musical structures such as
the major scale and minor triad. These could be developed at the autonomous level
and at the level of awareness. How else could some of us be able to sing them?

[9] Pitch Perception

[9.1] Harmony appears in music because of the structure of the harmonic series. Two
or more musical tones will harmonise only if they have harmonics in common; this is
offered as a rule not simply an idea. This seems to me to be almost tautological but
apart from a relatively few, such as Helmholtz (1885) and Parncutt (1989), it seems
hardly to be considered in music theory. Riemann, in Rehding (2008, p8), even wrote:
“I have finally liberated myself fully from the legitimation of the principles of
harmony through acoustical phenomena.” I intend to show, however, that harmony
works through acoustic harmonics as processed by our PAS. Rehding (2008, p32)
wrote that acoustical data are of virtually no importance to tonal theory in the current
age. In contrast to this the structure developed above for our tonal system is wholly
based on the acoustic harmonic series and our PAS. What else could it be based on?

[9.2] Before I develop how I think harmony works I need to say something about our
perception of pitch and harmonics. We do not need to hear many harmonics of a series
to perceive the sensation of fundamental pitch. We do not even need to have the
fundamental present in the sound. Yost (2009) describes how to calculate the missing
fundamental of a set of harmonic and inharmonic partials. He says that the harmonics
contributing the most to the perceived fundamental pitch of complex harmonic sounds
are roughly in the general region of the 5th harmonic and below. He reports that, in this
dominance region, one of the harmonics of a perceived missing fundamental pitch
appears to lock on to one of the partials present in a complex sound. This does not
wholly exclude the possibility of somewhat higher harmonics from locking on, only
that there appears to be a dominance region.

[9.3] Yost (2009) says that if a harmonic of a complex sound is mistuned by 8% or

more it will be perceived as a separate pitch. The mistuned harmonic pops out
separately from the fundamental pitch of the harmonic series. If the frequency of a
partial is within 8% of a harmonic of the fundamental it appears to fuse to that
harmonic to sustain the perception of the fundamental pitch. This shows that the idea
of a loose-fit template is in keeping with experimental observation. The 8% can be
seen as a tolerance for fusing inharmonic partials with the harmonics to produce the
fundamental pitch sensation. This tolerance should not be confused with the much
finer pitch discrimination in the simpler experimental condition when two isolated
tones are heard consecutively. We can think of a fundamental pitch as effectively
absorbing or assimilating pure tones that are its harmonics and those that lie within
8% of its harmonics. It may not, however, always do so to produce grace or pleasure.

21
[9.4] I wonder if the 8% tolerance, for fusing to a harmonic, is a limitation due to the
physicality of our auditory system that prevents us from perceiving the world as it
really is, or whether it is a naturally evolved simplification, part of our PAS, to give
optimal effectiveness and hence maximise biological fitness. The latter would suggest
that the 8% tolerance was not a forced limitation but a biological advantage. We shall
see later that this tolerance allows us to perceive the minor triad as having a
fundamental pitch.

[9.5] Yost (2009) showed data that supports his conclusion that as long as a set of
harmonics had components below about the 10th harmonic then discrimination of a
missing fundamental pitch was very good. He reported a steep transition to poor
discrimination when only harmonics above the 10th were present. He, therefore, does
not preclude some discrimination of harmonics or contribution to the fundamental
pitch from above this range. Parncutt (1989, p89) used the first ten harmonics in his
model. Beament (2005, p38) said that strongly bowed tones of the violin family might
have twenty harmonics or more but that the 7th harmonic and beyond typically create
some buzz or hiss depending on the register. He confirms that higher harmonics can
contribute to the fundamental pitch.

[9.6] All partials greater than N(1-x)f will fuse to harmonics of the fundamental f if:

N(1+x) > (N+1)(1-x)

Where N is the number of a harmonic of the fundamental f and x is the fusing

tolerance, maximum 8%. This reduces to:

N > (1-x)/ 2x

which gives

N > 5.75, nominally the 6th harmonic for x = 0.08 = 8%.

[9.7] This means that all partials greater than 6(1-0.08)f = 5.52f will fuse to, or equate
with, the nearest harmonic of the fundamental. A partial less than this may fuse with a
harmonic if it is within the 8% tolerance. Alternatively it may equate with or be
locked on to a harmonic. Perhaps this is the reason why there appears to be a so-called
dominance region for lock-on where N is typically less than 6. Partials less than 5.52f
will fuse to the Nth harmonic of the fundamental frequency if they lie within the
range:

N(1-x) f to N(1+x)f, for N < 6

[9.8] The pitch ratio for an ETS semitone is 21/12 = 1.059. Since this is less than 1.08
partials that are a semitone greater or less than Nf for N < 6 will fuse to the Nth
harmonic of the fundamental. Partials that are a whole tone (ratio = 1.122) greater or
less will not fuse to the Nth harmonic. Where the partial is a whole tone greater than
the 5th harmonic it will fuse to the 6th harmonic. Otherwise the partial will not fuse and
will be perceived as a separated tone. The ratio 1.08 is just less than the geometric
mean (1.09) of a semitone and a whole tone.

22
[9.9] I calculate that, with an 8% tolerance, harmonics above the 12th may not be
uniquely resolved and this effect could well be apparent around the 10th harmonic of
the perceived missing fundamental depending on the particular set of inharmonic
partials. Yost says that ‘for a harmonic complex, harmonics above about the 10th are
no longer resolved by the auditory periphery.’ Table 4 shows the range of unique
resolution of inharmonic partials for harmonics around the 10th. As the harmonic
number increases the bandwidth for unique resolution diminishes until it is non-
existent at the 13th harmonic.

Table 4. Range for the unique resolution of an inharmonic

partial harmonic of a fundamental

Nth Range of unique resolution Resolution bandwidth

harmonic
7 6.48 - 7.36 0.88
8 7.56 - 8.28 0.72
9 8.64 - 9.20 0.56
10 9.72 - 10.12 0.40
11 10.80 - 11.04 0.24
12 11.88 - 11.96 0.08
13 12.96 - 12.88 none

[9.10] Using the above relationships I have calculated a set of potential fundamental
pitches using all of the uniquely resolvable harmonics for the musical major triad
CEG. Each fundamental pitch depends on which harmonic number is locked on. Table
5 shows the results of the calculation. The required fusing tolerance is shown and
does not exceed the observed limit of 8.0%. The fundamentals of the musical tones of
the triad are calculated using the ETS and the harmonics are calculated according to
the harmonic series. This produces discrepancies between harmonics and musical
tones of nominally the same pitch. The sound of ETS music has built-in impurity that
is tolerated by our PAS.

Table 5. Potential fundamental pitches for the major triad CEG

Fundamental Lock-on pitch and Required fusing Fundamental

pitch harmonic tolerance (%) kind
C C on 4 0.8 real
E E on 4 5.9 real
A E on 6 5.0 virtual
F E on 7 8.0 virtual
G G on 8 6.8 real
For the first inversion EGC
F E on 7 4.1 virtual

23
[9.11] The tolerance required to fit every partial onto the harmonic series for C is
calculated as 0.8%. This is the minimum tolerance required dictated by the need to
fuse the ETS pitch E with the 5th harmonic (nominally E) of a C fundamental pitch.
The discrepancy is small and well within 8% but illustrates the inherent inharmonicity
of ETS tones. Although C would seem to be the strongest fundamental, the others, E,
A, F, and G, are potential fundamentals for the purposes of harmonic progression. It
is possible that they may be activated by context. By context I mean the neighbouring
harmonies and fundamentals in the music. Not all of the lock-on harmonics lie within
the dominance zone but all are less than the 10th, and all require a fusing tolerance
within 8%.

[9.12] Table 5 also shows a potential fundamental for the first inversion triad EGC.
Assuming the bass E to lock on to the 7th harmonic of F we find a required fusing
tolerance of 4.1% to give a potential virtual fundamental F. This is considerably
smaller than the 8.0% needed for the triad in root position. This shows that F can be
a much stronger virtual fundamental for the triad in first inversion. This would allow
the strongest progression by fifth to a B fundamental. The functional harmonic
progression to B may be sensed or analysed as a minor second but the progression
may be strengthened by the movement of the virtual F to B below the musical
surface. Harmonic progression by fifth, F to B, is given as the strongest functional
progression by Balsach (1997). The second strongest is given as the minor second, C
to B, sometimes known as the Phrygian cadence. The Neapolitan sixth chord has this
first inversion form but on the 2nd scale degree. I see this analysis as persuasive
justification for the form of the Neapolitan sixth and of its typical harmonic progress
to the tonic. With C as tonic the Neapolitan sixth, FAD, would have a virtual
fundamental G which would strengthen a progression to C. Augmented sixth chords
use the same progression, sometimes real and sometimes virtual.

[9.13] From the discussion above it seems possible that the major, minor, augmented,
and diminished triads might all fuse to a harmonic series. The results of fitting to a
harmonic series with the bass note as fundamental are shown in Table 6 and show that
the required tolerances for fusing are all less than 8%. Of course the quality or the
harmonic texture distinguishes the sensations of the various triads even though they
have the same fundamental pitch.

Table 6. The required fusing tolerance for ETS musical triads to a

harmonic series with the bass note as fundamental

ETS musical triad Required fusing

tolerance (%)
major 0.8
augmented 5.0
minor 5.2
diminished 6.1

24
[9.14] Table 6 was produced using the bass note of each triad as the fundamental
tone. There are, however, complications. A more detailed examination of the
diminished triad reveals that other fundamentals are possible with a lower fusing
tolerance. The results are summarised in Table 7 using the diminished triad ACE as
an example.

[9.15] Table 7 shows that there are five potential fundamentals for a diminished triad
such that it conforms to a loose-fit harmonic series template. The diminished triad
typically arises from the 7th degree of a scale (the scale of B here) and is taken by
many music theorists to have D function, which it would have with the virtual
fundamentals active. If, due to context, A were the active fundamental then it would
be real and have S function. All the sounded tones have S function. Fundamentals D
and B stretch the boundaries of the dominance region but a weaker fundamental can
still exist even if no partials lie in the dominance region. The B fundamental has the
second lowest fusing tolerance and the real fundamental A has the highest. The virtual
fundamental F has the lowest fusing tolerance. This diminished triad could appear to
progress to the Tonic B. The perceived virtual fundamental F would complete the
functional harmonic progression SDT. It would act as a bridge between the S function
diminished triad and the Tonic. This, however, happens below the surface of the
written and sounded score. It is our PAS that has created our perception of the virtual
fundamental. We are part of music.

Table 7. Potential fundamental pitches for

the diminished triad ACE

Fundamental Lock-on note and Required fusing Fundamental

pitch harmonic tolerance (%) kind
A A on 4 6.1 real
F A on 5 1.1 virtual
A C on 5 5.2 virtual
D A on 6 6.1 virtual
B A on 7 4.1 virtual

[9.16] We will now look closer at the minor triad with ACE as an exemplar. Table 8
shows that it is possible to have C as a fundamental provided that the C locked on to
the 8th harmonic. This would still be acceptable to Yost (2009). He said that as long as
a set of harmonics had components below about the 10th harmonic then discrimination
of the missing fundamental pitch was very good. We should also remember that A, C,
and E are sounded as musical tones so the sensation of the fundamental will be
stronger than if they were heard only as discrete harmonics. F is a potential virtual
fundamental. The minor triad is processed by our PAS as a major triad to produce the
sensation of fundamental pitch. The 8% tolerance of pitch used more than delete
accommodates this. I believe that the harmonic series is the template used by our PAS
for both major and minor triads to produce a fundamental pitch. If not, what else?
Based on the lowest required fusing tolerance and the dominance region, the strongest
candidate for the fundamental of the minor triad is the same as for the major triad. But
the harmonic texture of the minor triad is processed by our PAS to produce the
characteristic minor sensation.

25
 Table 8. Potential fundamental pitches for the
minor triad ACE and CEA.

Chord Fundamental Lock-on note and Required Fundamental

pitch harmonic fusing kind
tolerance (%)
A A on 4 5.2 real
F A on 5 6.8 virtual
ACE
F C on 6 5.9 virtual
C C on 8 4.1 real
F C on 3 5.9 virtual
CEA C C on 4 4.1 real
A E on 6 5.2 real

[9.17] I have included the analysis for CEA in Table 8. This is known to be a
potentially ambiguous chord, it might be a first inversion A minor triad or a sixth
chord of C. Based on the lowest required fusing tolerance and the dominance region
the strongest fundamental would be C. In aural reality the musical context could be
decisive.

[9.18] Results of analysis are shown in Table 9 for the second inversion major triad
GCE. The fundamental C has by far the lowest required fusing tolerance, 0.8%. With
G locking on the 4th harmonic the chord still falls within the 8% tolerance so that G
could be perceived as a fundamental. GCE would then be perceived as a doubly-
strained GBF chord. There has been theoretical argument as regards the cadential six-
four chord, here exemplified by GCE; does it imply D or a T function? The typical
cadence may be written TSDT. The cadential six-four chord is inserted before D.
Schenker (1980, p229) saw the interpretation of the six-four chord as a Tonic
inversion as lacking in artistry. He asked why we would disrupt the beauty of the
cadence with a Tonic chord? Schenker was clear that the cadential six-four chord
could only be analysed with D function. Our analysis, based on pitch perception in
harmony, shows that we can analyse and perceive the chord as having a G
fundamental with D function, making strong functional sense in the cadence.
Schenker obviously thought that functional progression was important, so important
as to be decisive here. I agree.

Table 9. Potential fundamental pitches for the

second inversion triad based GCE.

Chord Fundamental Lock-on note Required Fundamental

pitch and fusing kind
harmonic tolerance (%)
C C on 4 0.8 real
GCE
G G on 4 6.8 real

26
[9.19] Using the ideas of dominance region, locking-on, and loose-fit, I have shown
that our PAS can fuse altered versions of the major triad and their inversions to
harmonic series. In this way, we perceive them as having a fundamental pitch with the
harmonic texture distinguishing the quality. There is often more than a single possible
fundamental pitch and the musical context may be decisive. It is certain that we have
musical memory, short- and long-term, and perhaps this could lead to the expectation
of function and perhaps even pitch.

[9.20] To produce the fundamental pitch sensation, I have shown that we perceive the
minor triad as fused to a harmonic series. We cannot directly derive the minor triad
from the lower harmonics of the harmonic series but we can perceive it, with pitch
tolerance, as if it were a part of a harmonic series. If, however, we had started with a
knowledge of the phenomenon of locking-on and loose-fit fusing tolerance then we
could have deduced that a minor triad could be accepted by our PAS as fitting a
harmonic series so far as fundamental pitch is concerned. This seems to me to answer
the centuries-old problem of the acceptance and derivation of the minor triad. It is
clear, the minor third need not alter the fundamental pitch but it does change the
harmonic texture to produce the quality we recognise in a minor triad. This follows
from our tolerance of imprecision in pitch and, therefore, we are an inherent part of
music.

[9.21] In my private thinking I imagine the frequency distribution of sounded musical

tones and chords as the silhouette of a mountain range and not as a line spectrum. I
think of my loose-fit template as a flexible strip that I lower onto the mountain range.
The strip has little holes or receptors centred on the ideal harmonic series spectrum.
The strip is elastic so the holes can stretch to fit peaks that may only be roughly
defined. The holes can only stretch so much, though; a tearing of the template strip
would then be a metaphor for failure to achieve harmony. I think of the engineering
notion of strain, the degree of stretch or distortion, as a metaphor for the ‘strained’
quality of some chords. It is quantifiable for the partials of a sound and so is
potentially quantifiable for a chord. We have seen above that the limit of strain for
fusing is plus or minus 8%. We often have recourse to metaphor to think about and
discuss tricky ideas. We must be careful with metaphor though; we do not want the
dog taking us for a walk.

[10] Prolongation of harmonic function

[10.1] When we sound the musical triad CEG we are sounding all of the audible
harmonics of all three musical tones. E and G are promoted from being mere
harmonics of the harmonic series for C to the level of musical tones. E and G are the
5th and 6th harmonics of C but are also the 6th and 7th of A. This necessitates a loose-fit
template for the harmonic series but the differences between 7/6 and 6/5, and 1.189
the ratio of G to E in the ETS, are small, just +1.9% and—0.9%. When we sound the
C triad we create sufficient lower harmonics of A to be able to move harmonically
between C and A, and similarly between all musical tones separated by a minor third.
This is an emergent phenomenon of the harmonic series; we mark it as the minor third
relationship. It occurs between the adjacent tones in each column of the Harmonic
Terrain and enables music to leap, harmonically, 90 degrees round the circles of fifths
and minor seconds. There is no functional progression here, rather it is equi-functional
progression. Where this occurs over time, as opposed to a simultaneous sounding of

27
musical tones, it could be described as functional prolongation. This is consistent with
the analyses above that showed that the C triad has a potential virtual fundamental A
and that the A minor triad has a potential real fundamental C. Equi-functional
progression or functional prolongation is present, for example, in the well-known
harmony sequences C-A-D-G-C (TTSDT) and C-F-D-G-C (TSSDT.)

[10.2] The pitches C, E, G, and B, equivalent to the 4th, 5th, 6th, and 7th harmonics for
the fundamental C, may be located on Figure 2. The tones E, G, B, and D all in one
column of the Harmonic Terrain, have fundamental pitches that are equivalent to the
5th, 6th, 7th, and 17th harmonics of C. Indeed, taken in appropriate order, these are
enharmonically equivalent to the 5th, 6th, 7th, and 17th harmonics of each of the tones in
the column containing C. For example: E and B are the 7th and 5th harmonics of F
(always allowing enharmony.) By similar argument to the above we conclude that C
can move harmonically, without change of function, to F and vice versa. The
previous analysis showed that F is a potential virtual fundamental of the C triad. We
can call this the tritone relationship and this occurs between the non-adjacent tones in
each column of the Harmonic Terrain. There is, therefore, a minor third and a tritone
harmonic progression based on shared lower harmonics. These are equi-functional
progressions. Note that C and F# can each fuse to the 3rd, 6th, and 11th harmonics of the
other. Also, the pitch class of the 17th harmonic (D in C) will readily fuse to the 2nd,
4th, 8th, or 16th harmonics depending on register.

[10.3] I think that this sharing of the 5th, 6th, 7th, and 17th harmonics provides strong
channels for the Phrygian or minor second harmonic progression. The musical tone
D shares these harmonics with E, G, and B and can, therefore, progress without
change of function to these tones and hence functionally to C. This process may occur
below the musical surface as we saw above for the diminished triad.

[11] Functional harmony

[11.1] I noted previously my surprise that the Subdominant F was so high in the
harmonic series for C, approximately 21st. I had the same sense of dislocation with A.
Its close association with C is taught early in music studies so it was a surprise to see
that A is the 27th harmonic of C. C is the 19th harmonic of A. It is, therefore, unlikely
that there is direct harmonic assimilation between the two tones, though fusion of one
into the harmonic series of the other is possible at lower harmonics. They are,
however, present in the harmonic series for F and D. Just as A is a virtual fundamental
of the triad CEG, D and F are virtual fundamentals of the minor triad ACE. It is,
therefore, readily seen that ACE can progress functionally to DFA. The minor triad,
ACE, is a chameleon. It has two real T fundamentals, C and A, and two virtual S
fundamentals, D and F. It has, therefore, multi-fundamental and multi-functional
potential.

[11.2] ACE is the ETS representation of the 6th, 7th, and 9th harmonics of D. The
dominance zone and the fusing tolerance ensure that our PAS, in the absence of
context, presents the fundamental to our awareness as an A. If a D tone, or a chord
with a D fundamental, were sounded the minor triad ACE would be fully assimilated
harmonically. Of course A to D is the perfect fifth functional progression. Similarly, if
F is heard then the harmonic movement would be into F. If, however, G or B is heard

28
then the virtual fundamentals, D and F, of ACE would be given life as real harmonics
in the sounds of G and B and the harmonic movement would appear to go directly to
G or B. We still have TSD progression but it would sound as if we had skipped the S
function. The harmonics of A and C are still, however, being channelled through D
and F below the surface of the score. It appears like the elision of functional harmony
because the process takes place during the life of the sound of G or B.

[11.3] C is the 3rd harmonic of F and can progress functionally by perfect fifth to F.
This takes place along a diagonal on the Harmonic Terrain. This is the strongest
functional progression. Similarly C is the 5th harmonic of A(G#) and this produces
the major third functional progression. C is also the 7th harmonic of D and so can
progress functionally to D by major second progression. These progressions can all be
seen on the Harmonic Terrain.

[11.4] The 7th harmonic of G, which is F, allows functional progression from F to G.

The equi-functional progression F to D and then the functional progression D to G is
also possible. When F is sounded as part of the chord GBDF the 7th harmonic is
promoted to a musical tone. It will alter the harmonic texture to produce the sensation
we know as the Dominant seventh, traditionally described as musically dissonant or
unstable.

[11.5] Substitution of minor triads for major triads has given rise to the man-made
minor scales. I think that minor scales are synthetic but no less artistic. There is no
question of major or minor being the better, they are just different. In minor key music
the minor mode chord raised on the Dominant is felt to be less satisfactory than the
major mode, particularly in a final cadence. Harrison (2010, p52) sees this as
explained by a functional preference for mode. I disagree, I think the problem arises
from ambiguity caused by the disparate relative strength of functional progressions,
an ambiguity inherent in the harmonic structure of the so-called natural minor scale. A
knowledge of the harmonic series and a willingness to apply it yields the following
explanation. It may be useful to look at the Harmonic Terrain (Figure 2) in following
the explanation.

[11.6] Recall that the A natural minor scale is formed solely from the tones of the C
major scale. The minor triads are DFA, ACE, and EGB. Note that, in contrast to a
major triad, the first two tones of each minor triad have the same function. When we
sound successively the A and D minor triads both C and F are also sounded. We have
both the strong functional progressions C to F and A to D with C and A both having T
function. So what are the implications for a subsequent E triad or seventh chord? If
the E minor triad, EGB, is sounded, with or without the seventh tone D added, then all
the lower harmonics of G, <GBDF>, will have been recently sounded as full musical
tones. D and F will be remembered from the D minor triad. This will create a strong D
function fundamental G with a tendency to progress strongly by fifth to C in a
following A minor triad. The D function E fundamental will then be less strong
because the G# is heard only as a 5th harmonic of E, which is much weaker than a
musical tone. The desired D to T functional progression E to A will be challenged or
displaced by the stronger D to T functional progression G to C. We wish to hear A as a
tonal centre but have created a stronger progression to C. The result is at best
ambiguous. If, on the other hand, EG#B(D) is sounded, with no G present even as a

29
harmonic (G is not a lower harmonic of E) then the E fundamental will be strongest
and effectively unchallenged. There will be only a potential virtual G fundamental
from hearing B, D, or F. The strongest functional progression will then be to the A of
the consequent T minor triad with no ambiguity. The tones E, G, and B are the 6th, 7th,
and 9th harmonics of A and will, therefore, progress functionally to A. So the
dissatisfaction that we feel with the minor E chord is not one of lack of harmony or
functional progression. It is its lack of strength to compete with the strong progression
to C. This why the major E chord is preferred. It is not because functions have a
preference for mode or because G# is the leading tone to A. It is because G# is the 5th
harmonic of E, while G is not a lower harmonic of E. This is an excellent example of
how knowledge of the harmonic series and functional progression can be applied to
explain a practical problem in music.

[11.7] When we sound the musical chord CEG(B) a virtual fundamental F could be
perceived. This phenomenon may be associated with the Phrygian cadence, the
augmented sixth chords, and the Neapolitan sixth. The Neapolitan sixth was analysed
above. With a C tonal centre the French augmented sixth chord ACDF has the D
explicitly as a real fundamental. The German and Italian augmented sixth chords have
it as a virtual fundamental. D will progress most strongly and functionally to G by
fifth. This will strengthen the sense of harmonic and functional progression of A to
G. This is the apparent minor second progression moving along the scalar diagonal on
the Harmonic Terrain, the fifth progression moves on the other diagonal. The
harmonic progression is A to D to G (typically SSD,) with the equi-functional
progression A to D taking place within the time span of the chord if necessary. Of
course, this is what happens with any chord. Even when the tones of the triad CEG are
arpeggiated, C can assimilate E and G within the life of the triad. There is internal
functional harmonic progression even when the triad is sounded as one. This happens
when we sound a musical tone. All of the harmonics are sounded together and appear
to be assimilated by the fundamental to produce the fundamental pitch sensation,
although they are still there producing the harmonic texture. A musical tone is a chord
of its harmonics. This suggests that if, somehow, we electronically substituted the 5th
harmonic of a musical tone with an inharmonic pure tone of the same amplitude but
4.8 times the fundamental frequency we would produce a musical tone with the same
fundamental but with a minor harmonic texture. I have no means of testing this.

[11.8] There has been disagreement regarding which function is expressed by

augmented sixth chords. Typically the augmented sixth chords are raised on the
flattened sixth and second degrees. Within a tonal centre C the flattened second
degree French augmented sixth chord is DFGB with D function fundamentals
typically progressing functionally to the Tonic C. The cyclic distribution of function
over the chromatic scale is compelling; through their fundamentals the flattened sixth
degree expresses S function allowing functional progression to D and the flattened
second expresses D allowing functional progression to T.

[11.9] Figure 6 shows a section of the Harmonic Terrain showing chord CEGB with
potential real fundamentals, potential virtual fundamentals, and the real pitches that
are produced only as lower harmonics. We see that sounding CEGB produces
fundamentals with possible functional progressions to D, F, A, and B; and, based on
the previous analysis, possible function prolonging progressions to C, A, E, and F.

30
Progression could take place to any of our twelve tones. Additional progressions
could take place to E, G, B, and D. It is no wonder that understanding our musical
system of only twelve tones seems to be so elusive; the harmonic connectivity is so
demonstrably high. It does not matter that all the tones in the above chord may not be
sounded. Even the root may be absent and a virtual fundamental perceived instead.
The harmonics of the sounded tones will be present, weaker than musical tones but
still there. Even if only C is sounded its harmonics are present. Fundamentals may be
real or virtual, both kinds act as channels for the assimilation of harmonics.

[11.10] It appears, then, that harmonic progression is possible from any of the
members of a column on the Harmonic Terrain to any of its own members and to any
of the members of the column to the right. All this is enabled by the harmonic series
and our PAS.

31
[12] Functional regression?

[12.1] We have seen that G can progress functionally to C; all of the harmonics of G
are absorbed into C. What about progression from C to G? All of the G harmonics are
in common and this may be sufficient to produce a sense of harmony. This movement
is typically described as functional regression or plagal. There is another way to look
at this, we already did when we examined the elision of harmony and function. In this
way of looking at the movement of C to G we maintain functional progression by
mediation through the lower harmonics of G. The plagal cadence F to C would
notionally be an elided perfect cadence, notional because the plagal cadence is a real
sensation. Functional harmonic progression may occur below the musical surface, but
we see that it can be there.

[12.2] Using this idea of functional elision it is readily seen that C can progress
functionally to E, G, B, and D below the surface. The universal conclusion is that
every tone can move harmonically to all twelve tones. There can be no greater
connectivity. All progressions will not, however, give the same sensation, strength,
facility, familiarity, grace, or pleasure. A sequence of weak harmonic progressions
might seem to lack artistry, be difficult to follow, or even be displeasing.

[12.3] It is possible to view functional regression as a development or enrichment of

a fundamental by emphasising or increasing its harmonics. This could be seen as a
form of functional prolongation.

[13] The Harmonic Helix

[13.1] The harmonic cycle from the Harmonic Terrain is shown in Figure 7. It
summarises, in another way, the flow of function and harmony in our tonal musical
system. Within each functional group, shown in the small circles, harmonic
progression is possible. We have called this equi-functional progression. The large
circle connecting the small circles indicates with arrow heads the direction of
functional progression. The three functions will, of course, rotate according to the
tonal centre. If musical time is directed into the surface of the diagram functional
progression may be visualised as a spiral, a Harmonic Helix. When this concept is
used in analysis it has to be unfolded onto two dimensions.

32
[14] Example 1. Strauss, Deutsche Motette, op. 62.

[14.1] Figure 8a shows a Strauss extract. This short example illustrates a method of
analysis based on the present theory of functional harmony. Harrison (2010, p135 et
seq.) used this extract as an example of a “red hearing,” a chordal relationship that
tempts the analyst to take up one key in place of another. Harrison experienced the
temptation of A minor but felt that the final F major triadic chord expresses a tonal
centre.

33
[14.2] Figure 8b illustrates a form of analysis. On the Harmonic Terrain I identify the
tones of chordal groups by colour. Some of the more important harmonic progressions
are indicated with arrows. This analysis treats all musical tones as potential
fundamentals for harmonic progression. The chords are all of common kinds in which
roots are readily identified. Roots typically have salient harmonic roles as
fundamentals. If necessary virtual fundamentals and harmonics of the musical tones
may also be identified but, here, there is no need. There is an abundance of functional
harmonic progressions. Equi-functional progression, prolonging function, from F to B
is also present. In this tritone progression, harmony is brokered by way of the
common harmonics sounded as musical tones.

[14.3] The functional progression from E to F, through A and C, may be the source of
the plagal sensation felt by Harrison. The D function of A and C is elided in time. This
is a good example of how an apparent functional regression, here E to F, can be
clearly shown to have strong functional progression present. This is an example of
harmonic progression through assimilation by musical tones contained in a chord that
are not the root or fundamental of the chord taken as a whole. Our discussion of such
matters may be hampered by a lack of definition or metaphor for musical sensations.
Everything we do not know explicitly has to be described in terms of what we do
know using metaphor (McGilchrist, 2010).

34
[14.4] In Figure 8b we see that harmonic progression need not be thought of as a
single stream. We see how E can flow into both A and C before they flow into F. This
also illustrates that the tones of a chord may have different functions. Pitches A and C
express D function within the chord FCFA which, when taken as a whole, has a T
function fundamental. This again illustrates the difficulty with metaphoric description.
Nothing actually flows in harmony. The interaction between fundamentals is more
akin to support, reinforcement, assimilation, or absorption, as if a tone were boosting
the confidence and strength of a succeeding one with a handshake. E may give a
harmonic boost to A and C but, because it is received by harmonics of different
number in A and C, the effect on the strength of the receiving tones may be different.
The strength of the fundamental pitch sensation and the harmonic texture may both be
affected.

[15] Example 2. Schoenberg, Verklärte Nacht, op. 4.

[15.1] Balsach (1997) used this example, Figure 9a, to illustrate his analysis of
harmony using fundamentals. Figure 9b shows the four chords analysed in a compact
form on the Harmonic Terrain. There is a high level of functional harmonic
connectivity between and within successive chords. The pervasive key of the piece is
D minor and appears to apply to the extract. The real fundamental D, of the first
chord, moving to the A of the second chord would be seen, in traditional analysis, as
regressive. The D, however, progresses functionally to the sounded G and E tones.
Elision may be sensed but functional harmonic progression is clearly demonstrable.

[15.2] The second chord acts like a German augmented sixth chord with a virtual
fundamental E, that is sounded in the next chord, progressing functionally to A.
This could gives the impression of the real fundamental A moving directly to the real
fundamental A of the third chord. The third chord could be construed as an A ninth
chord, formed from the harmonics of A only, but it could be also be seen as
combined A major and E minor triads. The fourth chord, in the form of a half-
diminished seventh, provides good opportunity for strong functional progression to a
fundamental G that appears in the next chord (not shown).

35
[15.3] Despite the somewhat musically dissonant sound of the extract it is seen to be
based on functional harmonic principles. If the third chord is played as two
consecutive triads, A major and E minor, this greatly diminishes any sense of
dissonance. This suggests that Schoenberg deliberately created a sort of harmonic
concentration or collision, containing three functions. When we sound a musical tone
or a vertically scored triad we are also compressing harmony and function in time.

[16] Example 3. Bach, Allemande, Cello Suite No. 1, BWV 1007.

[16.1] We have considered chordal examples above. This example, Figure 10, is at
the other extreme and is largely without vertical chords. Bach achieves harmony by
horizontally distributing the tones of triads and scales. Many harmonic pathways may
be traced through the extract, such is the effect of inter-weaving triadic tones
horizontally. Harmony is still there; we hear it. Our short-term musical memory is
more than adequate to follow the harmonic coherence. Bar 21 and 23 each contain all
the tones of E harmonic minor. Bar 22 contains all of the tones of G major plus an F
tone which appears to act as the bass of a Neapolitan sixth giving an alternative and
artistic Phrygian functional progression to E. Bar 24 contains all of the tones of D
major, the overall key of the piece. This extract illustrates that, although we can see
and hear that there is harmony, an unambiguously unique harmonic progression is not
present in a strict temporal sequence.

36
[17] Example 4. Analysis by Rameau.

[17.1] Figure 11a shows an example analysed by both Rameau and D’Alembert for
fundamental bass (Christensen 2004, p281.) The example was originally in figured
bass so I have simply set down the implied tones in pitch class. Figure 11b shows an
analysis of harmonic progression. Here I simply set out to use the strongest functional
progressions using only real fundamentals. All of the chords contain tones of two
functions namely TD, ST, and DS. These are the functions that appear paired in the
three major triads of the major scale. The lowest eight harmonics in a harmonic series
are also covered by only two functions. My analysis shows three streams of harmony
that are readily understood but other possibilities are present.

[17.2] Figure 11b is based on the Harmonic Terrain but is presented in the two-
dimensional form of an unrolled triple Harmonic Helix. The three streams are shown
in different colours. Also shown are the fundamental bass analyses of Rameau and
D’Alembert (Christensen 2004, p281.) Their analyses are markedly different from
mine with only a few instances of agreement. They employ many virtual
fundamentals. We see from this example that fundamental bass analysis will not

37
necessarily produce a unique solution. There may not be a single fundamental bass for
a chord or a single correct analysis. It was this realisation that led me to attempt an
experiment. I decided to set out a harmonic plan and compose to that plan, then to see
if I could recover the plan by consequent analysis.

[18] Experimental composition.

[18.1] Figure 12a shows an eight-bar composition based on a plan (Figure 12b) for a
harmonic progression of fundamentals. I deliberately decided to distribute and

38
horizontally intermingle the tones of triads and Dominant seventh chords constructed
on the fundamentals, not only within bars but also across bars. These were my only
criteria for composition apart from a pleasing sound.

[18.2] The composition requires a second-order modulation group in D. Were it not

for the D in bar 2 a first-order modulation group would have sufficed. The D was
used to produce the sensation of B major, to give a strong functional progression to E.
The plan and a possible retrospective analysis are shown in Figure 12b This shows
that there is a rough average of four fundamentals deployed per bar. There is an
abundance of distributed harmonic progressions. Function and harmony seem to rise
and fall like overlapping waves.

[18.3] Overall, the harmony seems much richer than planned. This confirms the
observation that harmony can indeed be more of an emergent cascade rather than a
clearly identifiable single path. This has appeared virtually spontaneously from a
simple plan and strategy of an inexperienced composer. The plan can be seen in the
analysis but, if I had not known the plan, I would not be able to recover it with
confidence. So it seems that even in a simple case it may be impossible to detect
uniquely a single harmony scheme even where one is known to exist.

[19] Is there another way to view harmony?

[19.1] We could consider the 3rd, 5th, 6th, and 7th harmonics of a series to be the
primary harmonics of a fundamental tone. Each of the primary harmonics, considered

39
as musical tones, would also have primary harmonics, like tributaries of a river. These
could be viewed as secondary harmonics of the original fundamental.

[19.2] Figure 13 shows, for a fundamental tone C, the primary and secondary
harmonics. This shows that there is a cascade of harmonic connections to a single
musical tone. I believe that this is pervasive in harmony. I wonder if trying to identify
harmonic progression as a single path in a piece of music is always a sensible
objective.

[19.3] The apparent minor second or Phrygian functional progression appears so

strong that for practical simplicity we could notionally regard the pitch class of the
17th harmonic as a primary harmonic even though it is not one of the lower harmonics.
As a harmonic it will not disrupt harmony and at a lower register it will readily fuse to
lower harmonics of the fundamental.

[19.4] The problems that may be encountered when trying to identify harmony using
chord names and Roman numerals to identify the fundamental bass are well known.
The truth is that all tones participate in harmony. Melody is not entirely separable
from harmony. Harmony flows through all of the tones of a score. Certainly, in simple
cases, we can identify harmonic paths and fundamentals but we should not think that
this is always possible or unique. Attempting to follow a harmony thread may not

40
generally tell us much. Tracking a snowflake tells us little about the course of a
blizzard. The skill of the composer lies in selecting those tones that convey the
sensations that he desires and this may not be revealed by attempting to track unique
harmonic pathways. Where we can identify harmony streams as triads and chords
with unambiguous fundamentals, well and good. Where we cannot, perhaps we could
be content with identifying the larger harmonic entities such as major scales and
modulation groups and how these can be related.

[19.5] Why bother to analyse harmony? What use is this? There are a variety of
reasons: some people get pleasure from the process of analysis, some are interested in
it as a way of getting closer to the composers thoughts, and composers may find it
useful. For example: if trying to evoke a sense of being lost a composer might choose
a less direct harmonic progression. An arranger can choose to maintain two harmonic
paths by assigning instruments of different timbre. A performer may wish to develop
his interpretation by using techniques to emphasise a particular harmonic route.

[19.6] Harmony is inherent and at the foundations of music. But nothing that I have
written should be taken to imply that pleasing harmony and harmonic progression are
essential in music at all times. Disharmony can serve the purposes of the composer
where, for example, he wants to communicate emotions such as fear, shock, or anger.
Dissonance can also serve the composer to convey emotions or musical narrative. The
power of art can never lie in theory (McGilchrist 2010). As art, however, we expect
music to exploit and tease the mind with interest and surprise.

[20] Conclusions

[20.1] Harmony, tonal centricity, and function (Subdominant, Tonic, and Dominant)
have been shown to arise naturally and logically from the harmonic series. These are
emergent and fundamental properties of music. Functional progression embraces
more than one specific harmonic progression.

[20.2] A hierarchical structure for the twelve-tone musical system has been developed
from the harmonic series. This structure, consistently based on function and tonal
centricity, has the pure tones of the harmonic series as a foundation and rises through
the musical tone, major triad, major scale, and modulation groups of increasing order.

[20.3] Empirical observation shows that our psycho-acoustic system acts as if it had
developed a flexible loose-fit template for the harmonic series. Other musical objects
may have templates too. The tolerance of imprecision in pitch enables us to adopt the
man-made equally-tempered scale. We are an inherent part of music; it is not just a
feature of our environment. The phenomenon of virtual pitch supports this.

[20.4] Extension of a primitive functional group STD, such as FCG, allows functions
S, T, or D to be unambiguously assigned to every tone of the chromatic scale for each
tonal centre. The primitive function group STD cycles around the circle of fifths and
the chromatic scale (a circle of minor seconds). Function is attached to the pitch of a
harmonic and to the fundamental pitch of a musical tone, triad, major scale, or
modulation group. A chord may not have a readily identifiable single fundamental and
function.

41
[20.5] There are three functional groups each of four musical tones. These three
groups correspond to the three distinct diminished seventh chords. In each of the four
distinct augmented triads the three tones each have different function.

[20.6] Functional harmonic progress from one tone to another occurs when the
fundamental of one tone is a harmonic of the other. Equi-functional harmonic
progress or functional prolongation occurs when the two tones belong to one
functional group and, therefore, have harmonics in common. For example: the
progressions of C to A and of C to F. Function may appear to be elided in time.
Harmony is shown to be so pervasive that it appears generally as a cascade rather than
a single path in music. All the musical tones of a chord participate individually in
harmonic progression.

[20.7] The Harmonic Terrain and Harmonic Helix are introduced as aids to
visualising, in a simple way, harmonic progression and the many relationships
between the twelve tones of our equally-tempered scale.

[20.8] That the minor triad is perceived as a harmonic entity is due to our psycho-
acoustic system and its experimentally observed tolerance of imprecision. Minor
scales are considered as distinct harmonic structural objects only because our psycho-
acoustic system has a loose-fit template for the harmonic series.

[20.9] The functions of the augmented sixth, Neapolitan sixth, and the cadential six-
four chords are clarified using harmonic analysis.

[20.10] In a final cadence the preference, in a minor key, for the major Dominant
chord, over the minor Dominant chord, is explained using harmonic analysis.

[20.11] Given the clear psycho-acoustic relationship between tonal music and the
harmonic series it is not credible to deny it or simply to ignore it. Music theory that
denies or ignores the basic and crucial role of the harmonic series suffers a self-
imposed poverty.

[21] References

It is preferable to list original sources. I decided, however, to list only those sources
that I have read myself; cost and accessibility have limited this. Using the references
listed below unlisted original sources can be easily identified.

Balsach, Llorenç. 1997. “Application of Virtual Pitch Theory in Music Analysis.”

Journal of New Music Research 26, no. 3: 244-265.

Beament, James. 2005. How We Hear Music. Woodbridge: The Boydell Press.

Christensen, Thomas. 2004. Rameau and Musical Thought in the Enlightenment.

Cambridge: Cambridge University Press.

Gustin, Molly. 1969. Tonality. New York: Philosophical Library.

42
Harrison, Daniel. 2010. Harmonic Function in Chromatic Music. Chicago: The
University of Chicago Press.
Helmholtz, Hermann. 1885. On the Sensations of Tone. Trans. Ellis. New York: Dover
Publications.

Hyer, Brian. 2010. “Tonality.” In The Cambridge History of Western Music Theory,
Seventh printing 2010, ed. Thomas Christensen, New York: Cambridge University
Press.

McGilchrist, Iain. 2010. The Master and his Emissary. London: Yale University Press.

Parncutt, Richard. 1989. Harmony: A Psychoacoustical Approach. Berlin: Springer-

Verlag.

Rehding, Alexander. 2008. Hugo Riemann and the Birth of Modern Musical Thought.
New York: Cambridge University Press.

Schenker, Heinrich. 1980. Harmony. Chicago: The University of Chicago Press.

Yost, William. 2009. “Pitch Perception.” Attention, Perception, & Psychophysics 71,
no. 8: 1701-1715.

[28] Acknowledgements

I thank my music teachers for their patience, enthusiasm, encouragement, and

generosity:

Paul Holroyd ( guitar performance and exam preparation,)

Rosemary Milne (theory and exam preparation,)
Marilyn McAnally (guitar performance, analysis, composition, and arrangement.)

I thank my wife, Betty, for her forbearance and her infinite love.

43
 LATER NOTES

This essay was started about 2010. Shorter essays on various topics were written over
a period of three to four years before that and adapted for the main essay. I decided to
call a halt to the writing of this essay in August 2015 and to write additional notes as I
see fit. The intention being to introduce some of the information into the body of the
essay at some time.

Note 1

Ball (2011, p197) shows a diagram based on the work of Krumhansl and Kessler
(1982) which is similar in some respects to the Harmonic Terrain. In his book Ball
uses the term harmonic terrain but in a general sense. Figure NL1 is based on that
diagram and may be compared with Figure NL2 which shows a section of the
Harmonic Terrain. Although the diagrams are different the coloured dashed lines show
clearly that they have many of the same important features. This is encouraging since
the diagram in Figure NL1 is based on psychological research. Figure NL1 shows the
perceived tonal organization of major and minor keys (not fundamental tones) as a
spatial arrangement. It also forms a torus.

Figure NL1.
The perceived tonal organization of major and minor keys based on
psychological research of Krumhansl and Kessler (1982).

44
 Figure NL2.
A section of the Harmonic Terrain

Ball, P. The Music Instinct. Vintage (2011).

Krumhansl, C. L. and Kessler, E.J. Tracing the dynamic changes in perceived tonal
organization in a spatial representation of musical keys. Psychological review 89,
pp334-68 (1982).

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Note 2

The Neapolitan sixth chord (N6)

At [9.12] I discussed the harmonic progression of the N6 chord by way of a

fundamental. Here, I will make explicit some potential harmonic progressions. The
N6 chord FAD can be seen as the first inversion of the major triad raised on the
flattened second degree, D, in C major. I showed in [9.12] that this chord has a
potential virtual fundamental of G as well as the three real fundamentals of the triad,
F, A, and D. All four of these fundamentals can progress to C and the other triadic
pitches E and G, whether E and G exist as musical tones or as heard harmonics of C.
Table N6.1 shows some potential harmonic progressions from the N6 chord. In view
of Table N6.1 it is no surprise that the N6 chord, FAD, moves harmoniously to the
tonic musical tone C or to the triad CEG.

Table N6.1. Some potential functional harmonic progressions of the

Neapolitan sixth chord.

Fundamental Fundamental Progression Progression Progression Progression

of N6 kind by major by minor by major by major
fifth to second to second to third to
F real - E G -
A real - G - E
D real - C - -
G virtual C - - -

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Note 3

I downloaded the following from Academia in April 2016.

White, Darryl, L. 2006. A proposed theoretical model for chromatic functional

harmony: the octatonic metaphor, Master of Arts Thesis. Arizona State University.

White presents “a model of chromatic functional chord relations based on the hyper-
octatonic cycle.” He uses the three functional categories T, S, and D. The functions
are applied to chords and graduated by degrees of functional strength based on the
number of tones within the chord that carry the different functions. His approach is
through harmony and not subject to scalar or voice-leading constraints. He says that
his model is designed to complement other models of functional harmony. This
appears to be an acknowledgement that his model is inadequate. The focus is on
assigning function to chords.

He states that the diminished seventh chord is the building block of the octatonic
cycle. His building block is therefore the same as a column of my Harmonic Terrain.
He combines the three distinct diminished seventh chords into three pairs or
“collections” called oct1, oct2, and oct3. These are formed into functional cycles in a
similar way to my Harmonic Terrain and Harmonic Cycle, see Figures N3.1, N3.2,
and N3.3. To assign a potential strength of function he counts the tones of a chord in
each defined lower and higher diminished seventh chord in a collection. Each
collection contains tones of two functions. Of course, many chords have tones of two
or even three functions. This is a limitation of his model. With C as tonal centre oct1
has tones of two functions in it, T for the lower diminished seventh chord and D for
the higher. Similarly, oct2 has S and T, and oct3 has D and S.

Figure N3.1
Figure 4 from White's thesis.

47
 Figure N3.2
Figure 13 from White's thesis.

White says that his “model produces a network of chromatic chord relations among
common chord types of tonal music.” Figure N3.2 “shows the relations of the three
functions in the progressive ordering. The upper-case Roman numerals stand for all
the possible chord types and their pitch levels as they are referenced to the pitch level
of the tonic. All twelve pitch levels are mapped out in terms of the three functional
categories.”

Figure N3.3
Figure 14 from White's thesis.

48
Figure N3.3 shows “a specific map where the tonic is rooted on C. The boxes from
left to right hold the roots, real or imagined, of chords belonging to oct3, oct1, and
oct2. All the chords (represented by their roots) within a box may substitute for each
other.” Note that the object in focus is the chord not the musical tone. Nevertheless, in
the “Chromatic Chord Map” the pitches are exactly the elements of my Harmonic
Terrain. White's attachment of function to chords is quite different from my
attachment of function to the musical tone or pitch. Function is conventionally
assigned to some chords, such as a tonic triad. This practice is so prevalent that it
would be silly to try to stop it. But it is mistaken to assume that chords, in general,
may be assigned a single function. A chord may take part in harmonic progression by
assimilating fundamentals using its tones of one or more functions and, in turn,
having its tones of other functions assimilated by subsequent fundamentals. There is,
therefore, difficulty in assigning a single function to a chord when functional
harmonic progression takes place to musical tones that have functions different from
that of the conventional fundamental of their containing chord. In such a case,
harmonic regression may appear to be present where, in fact, it is not. This is
demonstrated in my essay. I see this as a weakness of White's approach. He says (p48)
“The model…does not recognize functions assigned to certain scale degrees moving
in specific ways.”

“It [his model] does not contain the information necessary to judge whether a
diminished-type chord in real music—a chord that shares its diminished components
with two octatonic collections in the model—does or does not belong to a particular
functional category.” He requires the analyst to decide what the function of a
diminished chord is. This is necessary in any model because a diminished chord has
potential virtual fundamentals. This is necessary even for a known tonic centre.

White assigns degrees of function by constitution (potential) and by context (realised).

He says (p52):

“It is a potentially strong retrogressive function with constitution 3/1 that transfers
most of its functional force to the succeeding chord.”

“The specific rank...is subject to the interpreter's sense of the chord's role in the
music.”

And (p54):

“In the model, roots, real or imagined, do not contribute to progressive force...”

“Owing to the dualism of the model, just as the roots of chords do not contribute to
their potential progressive force..., so too the roots of chords will contribute to their
retrogressive force...”

And (p55):

“The root of the G7...is considered not to contribute to its progressive force towards
C.”

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And (p61):

“The roots of chords, while not contributing to their potential progressive force, may
be a significant factor in the calculation of contextual progressive force.”

And (p62):

“The interaction of the model and the music involves functional predications from the
former and functional expressions from the latter. The incongruity between the two is
resolved in a metaphorical transfer of functional meanings from the model to the
harmony.”

I find the above statements, among others, difficult to understand. They appear to be
necessary because of the complexity and inadequacy of his model.

White (p55) says that the major triad is optimised for progression and that the minor
triad is optimised for retrogression. I cannot but feel that any model that lends itself to
this statement is flawed. This quite apart from the idea that a chord can be progressive
or otherwise. It is the direction of harmonic succession that is termed progressive or
retrogressive. Further (p59), he says that two chords given equal functional force by
the model would not be likely to be regarded equally in a musical context. And on the
same page that “the definition of a forceful function relies ultimately upon the sense
of the interpreter.” This all suggest an inadequate model. What is one to make of this
statement (p60)? “The model has been left open with respect to the meanings of
certain of its features so that they may emerge in the interactive process.”

I cannot agree with White (p97) when he concludes that “the simplicity of the model
with respect to its understanding and implementation is perhaps its principal
advantage.”

50